![]() |
![]() |
|||||||||||||||
![]() |
|
![]() |
![]() |
Rules and Related MattersBeneficial Ownership Reporting Requirements and Security-Based SwapsThe Securities and Exchange Commission today proposed to readopt without change the relevant portions of existing rules that govern beneficial ownership determinations under Sections 13 and 16 of the Securities Exchange Act of 1934. The proposed rulemaking is being undertaken to preserve the application of our existing beneficial ownership rules to persons who purchase or sell security-based swaps after the effective date of new Section 13(o) under the Exchange Act, which was added by Section 766 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The proposals to readopt, without change, the relevant portions of Exchange Act Rules 13d-3 and 16a-1 are intended to clarify that following the July 16, 2011 statutory effective date of Section 13(o), persons who purchase or sell security-based swaps will remain within the scope of these rules to the same extent as they are now. Public comments on the rule proposal should be received by April 15, 2011. (Rel. 34-64087) Commission AnnouncementsSEC Charges Kentucky Steel Company Executives With Insider TradingThe Securities and Exchange Commission today charged four executives at a Louisville-based steel processing company and four of their family and friends with illegal insider trading in advance of the company’s acquisition. The SEC alleges that Patrick Carroll, William “Tad” Carroll, David Mark Calcutt and David Stitt – who are vice presidents of sales at Steel Technologies – traded based on confidential information about their company’s acquisition by Mitsui & Co. (USA) Inc. Three of the four executives illegally tipped family members or friends. The ring of eight traders together purchased $578,000 of Steel Technologies stock in the month prior to the public announcement of the acquisition and made $320,000 in illegal profits. Merri Jo Gillette, Director of the SEC’s Chicago Regional Office, said, “Our complaint alleges that these high-level salespeople exploited their insider status for monetary gain, and their friends and family knowingly used confidential information to gain an illegal advantage over other traders in the market.” Specifically, the SEC alleges that Patrick Carroll tipped his son James Carroll, and Calcutt tipped his brother Christopher Calcutt. David Stitt tipped his friend John Monroe, who then tipped another friend Stephen Somers. According to the SEC’s complaint filed in U.S. District Court for the Western District of Kentucky, Patrick and Tad Carroll are brothers of Michael Carroll, who is the president and chief operating officer of Steel Technologies. Patrick traded after Michael introduced him to Mitsui representatives who were touring the Steel Technologies facility where Patrick worked. Patrick tipped his son James, who then purchased his own Steel Technologies stock shortly before the acquisition was publicly announced. Tad bought more than $84,000 of Steel Technologies stock approximately one week before the public announcement following his own communications with Michael. The SEC alleges that before getting inside information about the forthcoming acquisition, Calcutt liquidated nearly all of his company stock. However after he went on a hunting trip with Michael Carroll, Calcutt soon started aggressively buying Steel Technologies stock at higher prices. He also tipped his brother Christopher Calcutt, who then sold all of his shares in another company for a loss and used that money to buy Steel Technologies stock on margin to increase his illicit gains. According to the SEC’s complaint, Stitt, Monroe and Somers have known each other since childhood. Stitt learned about the forthcoming acquisition on the Friday before the public announcement and immediately purchased Steel Technologies stock that same day. Over the weekend, Stitt told Monroe about the forthcoming acquisition. On Monday, Monroe passed the inside information to Somers. That same day, Monroe told his broker to immediately open a new account so he could buy Steel Technologies stock. Somers also immediately traded based on the inside information. During the SEC’s investigation, Stitt and Monroe contradicted each other’s testimony about their communications and advance knowledge of the acquisition. The SEC’s complaint charges the eight defendants with securities fraud in violation of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Commission seeks permanent injunctive relief, disgorgement of illicit profits with prejudgment interest, and the imposition of monetary penalties against all defendants. Jake Schmidt, Pesach Glaser and James A. Davidson of the SEC’s Chicago Regional Office conducted the SEC’s investigation. The SEC’s litigation will be led by Daniel J. Hayes. The SEC’s investigation is continuing. The SEC thanks FINRA for its cooperation and assistance in this matter. For more information about this enforcement action, contact: Robert J. Burson (Press Rel. 2011-69) Commission MeetingsClosed Meeting on Thursday, March 24, 2011 at 2:00 p.m.The subject matter of the Closed Meeting scheduled for Thursday, March 24, 2011 will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; a regulatory matter regarding a financial institution; and other matters relating to enforcement proceedings. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551-5400. Self-Regulatory OrganizationsImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by NYSE Amex (SR-NYSEAmex-2011-14) adopting rules related to Qualified Contingent Cross orders has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of March 21. (Rel. 34-64085) A proposed rule change filed by the New York Stock Exchange amending NYSE Rule 36 to permit written communications to be sent electronically between the Designated Market Maker Unit’s post location on the floor and the DMM Unit’s off-floor offices and to persons permitted to provide non-trading related services to the DMM under Rule 98 (SR-NYSE-2011-10) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of March 21. (Rel. 34-64088) A proposed rule change filed by NYSE Amex amending NYSE Amex Equities Rule 36 to permit written communications to be sent electronically between the Designated Market Maker Unit’s post location on the floor and the DMM Unit’s off-floor offices and to persons permitted to provide non-trading related services to the DMM under NYSE Amex Equities Rule 98 (SR-NYSEAmex-2011-16) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of March 21. (Rel. 34-64089) Securities Act RegistrationsThe following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. S-1 IF Bancorp, Inc., 201 E. CHERRY ST, WATSEKA, IL, 60970, (815) 432-2476 - 0 ($48,122,550.00) Equity, (File 333-172843 - Mar. 16) (BR. ) S-1 SINGLE TOUCH SYSTEMS INC, 2235 ENCINITAS BLVD. SUITE 210, ENCINITAS, CA, 92024, 7604380100 - 0 ($1,573,497.12) Equity, (File 333-172844 - Mar. 16) (BR. 03C) S-1 CORTINA SYSTEMS INC, 1376 BORDEAUX DRIVE, SUNNYVALE, CA, 94089, 408-481-2330 - 0 ($100,000,000.00) Equity, (File 333-172845 - Mar. 16) (BR. ) S-1 Reef 2011 - 2012 Drilling Program, 1901 N. CENTRAL EXPRESSWAY, SUITE 300, RICHARDSON, TX, 75080, 972-437-6792 - 0 ($225,000,000.00) Limited Partnership Interests, (File 333-172846 - Mar. 16) (BR. ) S-8 Vale S.A., AVENIDA GRACA ARANHA #26, RIO DE JANEIRO, D5, 20005-900, 552138144540 - 0 ($563,050,000.00) Equity, (File 333-172847 - Mar. 16) (BR. 04A) S-8 HANSEN MEDICAL INC, 380 NORTH BERNARDO AVENUE, MOUNTAIN VIEW, CA, 94043, 650 404 5800 - 2,906,044 ($5,841,148.44) Equity, (File 333-172848 - Mar. 16) (BR. 10B) S-3 PRO PHARMACEUTICALS INC, 189 WELLS ST, STE 200, NEWTON, MA, 02459, 6175590033 - 0 ($50,000,000.00) Equity, (File 333-172849 - Mar. 16) (BR. 01B) S-1 Unique Underwriters, Inc., 5650 COLLEYVILLE ROAD, COLLEYVILLE, TX, 76034, 8172813200 - 8,333,333 ($600,000.00) Equity, (File 333-172850 - Mar. 16) (BR. ) S-1 MetLife Insurance CO of Connecticut, 1300 HALL BOULEVARD, BLOOMFIELD, CT, 06002, 860-277-0111 - 0 ($20,000,000.00) Other, (File 333-172860 - Mar. 16) (BR. 01B) S-8 SATCON TECHNOLOGY CORP, 27 DRYDOCK AVENUE, BOSTON, MA, 02210, 6178972400 - 0 ($1,165,000.00) Equity, (File 333-172861 - Mar. 16) (BR. 10C) S-3D Inland American Real Estate Trust, Inc., 2901 BUTTERFIELD ROAD, OAK BROOK, IL, 60523, 630-218-8000 - 0 ($803,000,000.00) Equity, (File 333-172862 - Mar. 16) (BR. 08A) S-3 CCRE Commercial Mortgage Securities, L.P., 110 EAST 59TH STREET, NEW YORK, NY, 10022, 212-938-5000 - 1,000,000 ($1,000,000.00) Mortgage Backed Securities, (File 333-172863 - Mar. 16) (BR. ) S-8 MAGNACHIP SEMICONDUCTOR Corp, C/O MAGNACHIP SEMICONDUCTOR S.A., 74, RUE DE MERL, LUXEMBOURG, N4, L-2146, (352) 45-62-62 - 3,637,950 ($35,537,328.66) Equity, (File 333-172864 - Mar. 16) (BR. 10B) S-1 Augme Technologies, Inc., 43 WEST 24TH STREET, SUITE 11B, NEW YORK, NY, 10010, 800-825-8135 - 3,462,215 ($13,364,149.00) Equity, (File 333-172865 - Mar. 16) (BR. 11C) S-8 LPL Investment Holdings Inc., ONE BEACON STREET , FLOOR 22, BOSTON, MA, 02108, 617 423 3644 - 0 ($401,673,862.81) Equity, (File 333-172866 - Mar. 16) (BR. 08B) S-3 METALLINE MINING CO, 885 WEST GEORGIA STREET, SUITE 2200, VANCOUVER, A1, V6C 3E8, 604-687-5800 - 2,545,976 ($2,775,139.00) Equity, (File 333-172868 - Mar. 16) (BR. 04B) N-2 Eaton Vance Floating-Rate Income Trust, TWO INTERNATIONAL PLACE, BOSTON, MA, 02110, 617-482-8260 - 60,169 ($1,000,008.78) Equity, (File 333-172869 - Mar. 16) (BR. 16) N-2 EATON VANCE SENIOR FLOATING RATE TRUST, TWO INTERNATIONAL PLACE, BOSTON, MA, 02110, 617-482-8260 - 58,549 ($1,000,016.92) Equity, (File 333-172870 - Mar. 16) (BR. 16) S-8 REALNETWORKS INC, 2601 ELLIOTT AVENUE, STE 1000, SEATTLE, WA, 98121, 2066742700 - 0 ($7,280,000.00) Equity, (File 333-172871 - Mar. 16) (BR. 03B) S-3 DELL INC, ONE DELL WAY, STED, ROUND ROCK, TX, 78682-2244, 5127284737 - 0 ($1.00) Debt, (File 333-172872 - Mar. 16) (BR. 03B) S-8 ZHONE TECHNOLOGIES INC, 7195 OAKPORT STREET, OAKLAND, CA, 94621, 5107777000 - 1,504,552 ($3,290,784.35) Equity, (File 333-172876 - Mar. 16) (BR. 11B) S-8 PRINCETON REVIEW INC, 111 SPEEN STREET, SUITE 550, FRAMINGHAM, MA, 01701, 508-663-5050 - 2,337,500 ($4,002,000.00) Equity, (File 333-172878 - Mar. 16) (BR. 11C) S-4 BERRY PLASTICS CORP, 101 OAKLEY ST, P O BOX 959, EVANSVILLE, IN, 47710, 8124242904 - 800 ($800.00) Debt, (File 333-172879 - Mar. 16) (BR. 06A) S-8 VORNADO REALTY TRUST, 888 SEVENTH AVE, NEW YORK, NY, 10019, 212-894-7000 - 17,256,258 ($1,489,560,190.56) Equity, (File 333-172880 - Mar. 16) (BR. 08C) S-8 SOLTA MEDICAL INC, 25881 INDUSTRIAL BOULEVARD, HAYWARD, CA, 94545, 5107822286 - 2,700,000 ($7,956,000.00) Equity, (File 333-172881 - Mar. 16) (BR. 10C) S-1 ChromaDex Corp., 10005 MUIRLANDS BLVD., STE. G, FIRST FLOOR, IRVINE, CA, 92618, 949-419-0288 - 0 ($5,731,014.00) Equity, (File 333-172882 - Mar. 16) (BR. 01A) N-2 Duff & Phelps Global Utility & Midstream Energy Income Fund Inc., 200 SOUTH WACKER DRIVE, SUITE 500, CHICAGO, IL, 60606, (312) 368-5510 - 250,000 ($5,000,000.00) Equity, (File 333-172883 - Mar. 16) (BR. ) S-3 PINNACLE ENTERTAINMENT INC., 8918 SPANISH RIDGE AVENUE, LAS VEGAS, NV, 89148, 702-541-7777 - 0 ($2,494,000.00) Equity, (File 333-172884 - Mar. 16) (BR. 08B) N-2 FIDUCIARY/CLAYMORE MLP OPPORTUNITY FUND, 2455 CORPORATE WEST DRIVE, LISLE, IL, 60532, 630-505-3700 - 0 ($200,000,000.00) Equity, (File 333-172885 - Mar. 16) (BR. 16) Recent 8K FilingsForm 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT 1st United Bancorp, Inc. FL 7.01,8.01,9.01 03/16/11 3D SYSTEMS CORP DE 8.01,9.01 03/11/11 AAR CORP DE 2.02,9.01 03/15/11 Accredited Members Holding Corp CO 1.01 03/10/11 ACORN ENERGY, INC. DE 5.02 03/10/11 ADA-ES INC CO 7.01,9.01 03/16/11 ADVENT SOFTWARE INC /DE/ DE 5.02,5.03,9.01 03/10/11 AE Biofuels, Inc. 1.01,2.03,7.01,9.01 03/09/11 AEI NET LEASE INCOME & GROWTH FUND XX MN 2.01,9.01 03/10/11 AEROPOSTALE INC 5.02 03/16/11 ALEXION PHARMACEUTICALS INC DE 7.01 03/15/11 ALION SCIENCE & TECHNOLOGY CORP DE 1.01,2.03,9.01 03/11/11 ALTAIR NANOTECHNOLOGIES INC 1.02 03/10/11 AMCOL INTERNATIONAL CORP DE 1.01,1.02,9.01 03/11/11 AMEREN CORP MO 8.01 03/16/11 AMERICAN TOWER CORP /MA/ DE 5.02,8.01,9.01 03/10/11 Ampio Pharmaceuticals, Inc. DE 1.01,3.02,9.01 03/10/11 ANADYS PHARMACEUTICALS INC 5.02 03/11/11 ANGIOTECH PHARMACEUTICALS INC 2.02,9.01 03/16/11 ANN INC. DE 5.03,9.01 03/15/11 APPLIANCE RECYCLING CENTERS OF AMERIC MN 1.01 03/10/11 Arlington Asset Investment Corp. VA 7.01,9.01 03/16/11 ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 03/15/11 ASURE SOFTWARE INC DE 2.02,9.01 03/16/11 AtriCure, Inc. DE 1.01,2.03,9.01 03/15/11 AURORA GOLD CORP DE 8.01,9.01 03/16/11 AUTHENTIDATE HOLDING CORP DE 5.02 03/10/11 AVALON HOLDINGS CORP OH 5.02 03/11/11 AVATAR HOLDINGS INC DE 2.02,7.01,9.01 03/16/11 BALLANTYNE STRONG, INC. DE 2.02,9.01 03/15/11 BANK OF AMERICA CORP /DE/ DE 5.02,9.01 03/16/11 Bank of Commerce Holdings CA 7.01,9.01 03/16/11 BASIC ENERGY SERVICES INC 5.02,9.01 03/10/11 BAZI INTERNATIONAL, INC. NV 3.02,8.01 03/14/11 BEACON POWER CORP DE 2.02,3.01,9.01 03/16/11 BG Medicine, Inc. DE 2.02,8.01,9.01 03/16/11 BIO KEY INTERNATIONAL INC DE 2.02,9.01 03/16/11 BIODELIVERY SCIENCES INTERNATIONAL IN DE 1.01,3.02,9.01 03/11/11 BIOLASE TECHNOLOGY INC DE 7.01,9.01 03/16/11 BION ENVIRONMENTAL TECHNOLOGIES INC CO 7.01,8.01,9.01 03/01/11 BIOSANTE PHARMACEUTICALS INC DE 2.02,9.01 03/16/11 BioScrip, Inc. DE 2.02 03/11/11 BLOUNT INTERNATIONAL INC DE 5.02,9.01 03/10/11 Blueknight Energy Partners, L.P. DE 2.02,9.01 12/31/10 BOSTON PRIVATE FINANCIAL HOLDINGS INC MA 7.01,9.01 03/16/11 BPZ RESOURCES, INC. TX 2.02,9.01 03/15/11 Bridge Capital Holdings CA 8.01,9.01 03/16/11 BROADWAY FINANCIAL CORP \DE\ DE 9.01 03/15/11 AMEND BUCKEYE PARTNERS, L.P. DE 7.01,9.01 03/16/11 BUCKEYE TECHNOLOGIES INC DE 7.01,8.01,9.01 03/14/11 CALLON PETROLEUM CO DE 2.02,7.01,9.01 03/14/11 CAPITAL TRUST INC MD 1.01 03/14/11 CENTURY ALUMINUM CO DE 5.02 01/31/11 AMEND CEPHALON INC DE 1.01,5.02,5.03,8.01, 03/10/11 9.01 CHARTER COMMUNICATIONS, INC. /MO/ DE 5.02,9.01 03/15/11 CHINA AGRITECH INC DE 8.01,9.01 03/13/11 CHINA SHEN ZHOU MINING & RESOURCES, I NV 5.02 03/16/11 China Tel Group Inc NV 1.01,9.01 03/14/11 CHINDEX INTERNATIONAL INC DE 2.02,7.01,9.01 03/16/11 CHINDEX INTERNATIONAL INC DE 9.01 12/31/10 AMEND CIGNA CORP DE 7.01 03/16/11 CINCINNATI BELL INC OH 7.01,9.01 03/16/11 CISCO SYSTEMS INC CA 1.01,5.02,8.01,9.01 03/15/11 Clearwater Paper Corp DE 7.01,9.01 03/16/11 COMARCO INC CA 5.02,9.01 03/10/11 COMMUNICATIONS SYSTEMS INC MN 5.02,9.01 03/14/11 Conforce International, Inc. DE 3.02 03/16/11 CONVERGYS CORP OH 1.01,1.02,2.03,9.01 03/11/11 CoroWare, Inc, DE 3.02 03/10/11 Covidien plc 5.02,9.01 03/16/11 CYTODYN INC CO 4.02,9.01 03/11/11 DATARAM CORP NJ 2.02,9.01 03/16/11 DAVITA INC DE 1.01,1.02,3.03, 03/10/11 5.03, 9.01 DecisionPoint Systems, Inc. DE 9.01 12/31/10 AMEND DemandTec, Inc. DE 2.01,9.01 03/16/11 DEPOMED INC CA 1.02,8.01 03/15/11 Derycz Scientific Inc NV 7.01 03/16/11 diaDexus, Inc. DE 5.02,7.01 03/10/11 DIAMOND OFFSHORE DRILLING INC DE 5.03,9.01 03/15/11 Digital Realty Trust, Inc. 7.01 03/11/11 Diversified Restaurant Holdings, Inc. NV 1.01,5.02 03/10/11 DJO Finance LLC DE 1.01,8.01,9.01 03/10/11 DOVER SADDLERY INC 2.02,7.01,9.01 03/16/11 DREW INDUSTRIES INC DE 5.02 03/10/11 Duff & Phelps Corp DE 5.02 03/11/11 DXP ENTERPRISES INC TX 2.02,9.01 12/31/10 EAGLE ROCK ENERGY PARTNERS L P DE 8.01,9.01 03/15/11 EASTMAN KODAK CO NJ 5.02 03/14/11 EGPI FIRECREEK, INC. NV 5.02,9.01 03/10/11 ELEPHANT TALK COMMUNICATIONS INC CA 7.01,9.01 03/16/11 Employers Holdings, Inc. NV 7.01,9.01 03/15/11 ENDOLOGIX INC /DE/ DE 2.02 03/16/11 Enertopia Corp. 1.01,3.02,7.01,9.01 11/17/10 Ensco plc 8.01,9.01 03/08/11 EQUITY ONE, INC. 2.02,7.01 03/15/11 ESB FINANCIAL CORP PA 8.01,9.01 03/15/11 EXACT SCIENCES CORP DE 7.01,9.01 03/15/11 EXELON CORP PA 8.01,9.01 03/16/11 Explortex Energy Inc. NV 1.01,9.01 03/15/11 Explortex Energy Inc. NV 1.02,8.01 03/15/11 AMEND Feihe International Inc UT 7.01,9.01 03/16/11 FIRST MARBLEHEAD CORP 9.01 12/31/10 FITWAYVITAMINS, INC. NV 4.01,9.01 03/10/11 FLINT TELECOM GROUP INC. NV 9.01 10/25/10 AMEND FLINT TELECOM GROUP INC. NV 9.01 10/25/10 AMEND Forex International Trading Corp. NV 1.01,2.01,3.02,5.01, 12/30/10 AMEND 9.01 Fortegra Financial Corp DE 2.01 03/11/11 FOSTER L B CO PA 7.01,9.01 03/15/11 FX ENERGY INC NV 8.01,9.01 03/16/11 GALLAGHER ARTHUR J & CO DE 7.01 03/16/11 Gaming Partners International CORP NV 5.02 03/09/11 General Maritime Corp / MI 2.02,8.01,9.01 03/16/11 GENERAL STEEL HOLDINGS INC NV 2.02,7.01,9.01 03/16/11 GEORGIA POWER CO GA 8.01 03/14/11 Global Immune Technologies Inc. WY 5.02 03/16/11 GLOBAL NUTECH, INC. 7.01,9.01 03/16/11 GLOWPOINT INC DE 2.02,9.01 03/16/11 GMV Wireless, Inc. NV 8.01 03/15/10 Good Earth Land Sales CO FL 1.01,3.02,5.01,5.02, 03/16/11 9.01 GRACO INC MN 1.01,2.03,9.01 03/11/11 Great East Bottles & Drinks (China) H FL 8.01,9.01 03/09/11 Great Lakes Dredge & Dock CORP DE 2.01,9.01 01/03/11 AMEND GREAT SOUTHERN BANCORP INC MD 8.01,9.01 03/16/11 Greatmat Technology Corp NV 4.01,9.01 03/02/11 AMEND GREEN MOUNTAIN COFFEE ROASTERS INC DE 5.07 03/10/11 GTSI CORP DE 2.02,9.01 03/11/11 AMEND GUESS INC DE 2.02,9.01 03/16/11 H&E Equipment Services, Inc. DE 7.01 03/16/11 HARRIS CORP /DE/ DE 7.01,9.01 03/16/11 HARVEST NATURAL RESOURCES, INC. DE 2.02,9.01 03/16/11 HCA Holdings, Inc. 1.01,1.02,3.03,5.02, 03/09/11 5.03,8.01,9.01 HILLMAN COMPANIES INC DE 1.01,2.03,8.01,9.01 03/11/11 Hilltop Holdings Inc. MD 5.02 03/10/11 HOUSTON AMERICAN ENERGY CORP DE 5.02,9.01 03/16/11 Houston Wire & Cable CO 2.02,9.01 03/15/11 IBERIABANK CORP LA 5.02 03/10/11 ICOP DIGITAL, INC CO 1.01,2.01,5.03,9.01 03/16/11 ID SYSTEMS INC DE 2.02 03/09/11 AMEND IDACORP INC ID 8.01,9.01 03/16/11 INCYTE CORP DE 8.01,9.01 03/15/11 INSPERITY, INC. DE 7.01 03/14/11 INSPIRE PHARMACEUTICALS INC DE 5.02,8.01 03/16/11 Intcomex, Inc. DE 1.01,9.01 03/16/11 INTELLIGENT SYSTEMS CORP GA 8.01,9.01 03/16/11 INTERLEUKIN GENETICS INC DE 5.02 03/11/11 International Stem Cell CORP 8.01,9.01 03/16/11 ITRON INC /WA/ WA 5.02,8.01,9.01 03/14/11 JAVO BEVERAGE CO INC DE 8.01,9.01 03/15/11 JBI, INC. NV 4.01,9.01 03/10/11 Joway Health Industries Group Inc NV 8.01,9.01 03/15/11 KENEXA CORP 9.01 10/01/10 AMEND KEY ENERGY SERVICES INC MD 7.01,9.01 03/15/11 KEYSTONE AUTOMOTIVE OPERATIONS INC PA 8.01 03/16/11 KINGOLD JEWELRY, INC. DE 2.02,8.01,9.01 03/16/11 KIRBY CORP NV 1.01,9.01 03/13/11 Kirin International Holding, Inc. NV 5.03,5.07,9.01 03/10/11 Kohlberg Capital CORP DE 1.01,2.03,3.02,9.01 03/16/11 KULICKE & SOFFA INDUSTRIES INC PA 5.02 03/15/11 KV PHARMACEUTICAL CO /DE/ DE 1.01,2.03 03/15/11 L-1 IDENTITY SOLUTIONS, INC. DE 8.01 03/15/11 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 03/16/11 LAKELAND BANCORP INC NJ 8.01,9.01 03/16/11 Lantheus Medical Imaging, Inc. DE 1.01,3.03,7.01,8.01, 03/14/11 9.01 LAWSON PRODUCTS INC/NEW/DE/ DE 7.01,9.01 03/16/11 LEFT BEHIND GAMES INC. WA 7.01,9.01 03/16/11 LEXICON PHARMACEUTICALS, INC./DE DE 9.01 07/30/10 AMEND LGL GROUP INC DE 2.02,7.01,9.01 03/15/11 LGL GROUP INC DE 7.01,9.01 03/16/11 LIBERTY MEDIA CORP 8.01 03/15/11 Lightwave Logic, Inc. NV 7.01,9.01 03/16/11 LIN TV CORP. DE 2.02,9.01 03/16/11 LORAL SPACE & COMMUNICATIONS INC. DE 2.02,9.01 03/15/11 MAGNUM HUNTER RESOURCES CORP DE 8.01,9.01 03/16/11 MAGNUM HUNTER RESOURCES CORP DE 1.01,3.02,9.01 03/16/11 MAGNUM HUNTER RESOURCES CORP DE 8.01,9.01 01/05/11 AMEND Magyar Bancorp, Inc. DE 7.01,9.01 03/16/11 Maiden Holdings, Ltd. D0 8.01,9.01 03/15/11 MAM SOFTWARE GROUP, INC. DE 8.01,9.01 03/16/11 MAMMATECH CORP FL 1.01,2.01,3.02,4.01, 03/11/11 5.01,5.02,9.01 MAMMATECH CORP FL 1.01,2.01,3.02,4.01, 03/11/11 5.01,5.02,9.01 MANAGEMENT NETWORK GROUP INC 3.03,5.02,5.03,9.01 03/10/11 MARCUS CORP WI 2.02,9.01 03/16/11 MARKWEST ENERGY PARTNERS L P 7.01,9.01 03/16/11 MEDICAL PROPERTIES TRUST INC 5.02 03/11/11 MEDIVATION, INC. DE 2.02,9.01 03/16/11 MedQuist Holdings Inc. DE 2.02,9.01 03/15/11 MEDTRONIC INC MN 8.01,9.01 03/10/11 MILLER HERMAN INC MI 2.02,9.01 03/16/11 MIMEDX GROUP, INC. FL 2.01,9.01 01/05/11 AMEND ML SELECT FUTURES I LP DE 5.03,9.01 03/16/11 Molecular Insight Pharmaceuticals, In MA 1.02,8.01,9.01 03/11/11 Monster Offers NV 1.01,3.02 03/14/11 MORGANS FOODS INC OH 8.01 03/14/11 MORRIS PUBLISHING GROUP LLC GA 8.01 03/14/11 MORTONS RESTAURANT GROUP INC DE 8.01,9.01 03/16/11 Motorola Mobility Holdings, Inc 5.02,9.01 03/10/11 Motors Liquidation Co DE 7.01,9.01 03/10/11 MOVADO GROUP INC NY 1.01 03/11/11 MPHASE TECHNOLOGIES INC NJ 8.01,9.01 03/16/11 MS STRUCTURED SATURNS SERIES 2002-14 DE 8.01,9.01 03/15/11 MYMETICS CORP DE 4.02,9.01 03/09/11 NATIONAL PENN BANCSHARES INC PA 1.01,7.01,9.01 03/16/11 NATIONAL QUALITY CARE INC DE 4.01,9.01 03/04/11 NATURES SUNSHINE PRODUCTS INC UT 2.02,9.01 03/16/11 NEPHROS INC DE 1.02,3.02,5.03,8.01, 03/10/11 9.01 Neuralstem, Inc. DE 2.02,7.01,9.01 03/16/11 NGAS Resources Inc A1 1.01,9.01 03/10/11 NOVELOS THERAPEUTICS, INC. DE 5.02 03/10/11 NTS REALTY HOLDINGS LP DE 8.01,9.01 03/15/11 OMNICARE INC DE 7.01,9.01 03/16/11 ON SEMICONDUCTOR CORP DE 5.02 03/12/11 ONCOSEC MEDICAL Inc NV 1.01,9.01 03/14/11 OPNEXT INC 5.02,8.01,9.01 03/08/11 ORBCOMM Inc. DE 2.02,9.01 03/16/11 Orient Paper Inc. NV 8.01,9.01 03/10/11 OXIGENE INC DE 3.01,8.01,9.01 03/10/11 PANTRY INC DE 5.07 03/15/11 PARK ELECTROCHEMICAL CORP NY 8.01,9.01 03/15/11 Park Sterling Corp NC 5.02,9.01 03/10/11 PARKER DRILLING CO /DE/ DE 5.03,9.01 03/11/11 PATTERSON COMPANIES, INC. MN 8.01,9.01 03/15/11 Pebblebrook Hotel Trust MD 7.01,8.01,9.01 03/15/11 PEGASYSTEMS INC MA 2.02,9.01 03/16/11 PENNSYLVANIA REAL ESTATE INVESTMENT T PA 5.02 03/10/11 PENNSYLVANIA REAL ESTATE INVESTMENT T PA 5.02 03/11/11 PEPSICO INC NC 5.02 03/11/11 PERNIX THERAPEUTICS HOLDINGS, INC. MD 1.01,1.02 03/14/11 PLC SYSTEMS INC B0 5.02,9.01 03/11/11 POZEN INC /NC 5.02 03/14/11 PROGRESSIVE CORP/OH/ OH 7.01,9.01 03/16/11 Promap Corp CO 5.02 03/14/11 PROVECTUS PHARMACEUTICALS INC NV 4.02 03/14/11 QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 1.01,3.02 03/10/11 QUEST SOFTWARE INC CA 5.02 03/10/11 REALNETWORKS INC WA 2.02 03/16/11 REGENERX BIOPHARMACEUTICALS INC DE 8.01,9.01 03/16/11 Reliance Bancshares, Inc. MO 5.02 03/11/11 REPROS THERAPEUTICS INC. DE 8.01,9.01 03/16/11 RESOURCE AMERICA, INC. DE 1.01,9.01 03/10/11 REXAHN PHARMACEUTICALS, INC. DE 4.02 03/15/11 RGC RESOURCES INC VA 1.01,2.03,9.01 03/14/11 RIVAL TECHNOLOGIES INC NV 4.01,9.01 03/15/11 ROCKWELL AUTOMATION INC DE 1.01,1.02,2.03,9.01 03/14/11 Rodobo International Inc NV 8.01,9.01 03/15/11 RURBAN FINANCIAL CORP OH 1.01,2.02,2.06,7.01, 03/09/11 9.01 S&T BANCORP INC PA 2.02,9.01 03/15/11 S1 CORP /DE/ DE 7.01,9.01 03/16/11 SAFEWAY INC DE 5.02,9.01 03/15/11 Santander Holdings USA, Inc. PA 7.01,9.01 03/15/11 SATCON TECHNOLOGY CORP DE 5.03,9.01 03/11/11 SCICLONE PHARMACEUTICALS INC DE 2.02,8.01,9.01 03/16/11 SED INTERNATIONAL HOLDINGS INC 2Q 8.01,9.01 03/14/11 SEFE, INC. NV 2.03,9.01 03/11/11 SILVER LEGACY CAPITAL CORP 2.02,9.01 03/16/11 SILVERLEAF RESORTS INC 2.02,9.01 03/10/11 SINCLAIR BROADCAST GROUP INC MD 1.01,2.03,9.01 03/15/11 SINOHUB, INC. DE 7.01,9.01 03/16/11 Skinny Nutritional Corp. NV 5.03,5.07,9.01 03/11/11 SOMERSET HILLS BANCORP NJ 5.02,9.01 03/15/11 SOUPMAN, INC. DE 4.01,9.01 03/07/11 AMEND SOUTHWALL TECHNOLOGIES INC /DE/ DE 8.01,9.01 03/16/11 STANLEY BLACK & DECKER, INC. CT 1.01,1.02,2.03,9.01 03/11/11 STERLING GROUP VENTURES INC NV 3.02 03/11/11 STRATEGIC AMERICAN OIL CORP NV 7.01,9.01 03/16/11 STRATEGIC HOTELS & RESORTS, INC 1.01,8.01,9.01 03/11/11 SUPERIOR INDUSTRIES INTERNATIONAL INC CA 2.02 03/16/11 SYNTROLEUM CORP DE 8.01,9.01 03/15/11 T3 Motion, Inc. DE 2.03 03/10/11 TAMM Oil & Gas Corp. NV 8.01,9.01 03/16/11 Team Nation Holdings CORP 1.02,3.02 03/16/11 TENGION INC DE 1.01,2.03,3.02,9.01 03/14/11 TIER TECHNOLOGIES INC DE 5.03,9.01 03/15/11 TIVO INC DE 1.01,2.03,3.02,9.01 03/16/11 TORO CO DE 5.07,7.01,9.01 03/15/11 Transcept Pharmaceuticals Inc DE 2.02,7.01,9.01 03/14/11 Transocean Ltd. V8 7.01,9.01 03/16/11 Triangle Petroleum Corp NV 1.01,8.01,9.01 03/10/11 TRUESPORT ALLIANCES & ENTERTAINMENT L NV 5.02 03/15/11 Two Harbors Investment Corp. 1.01,8.01,9.01 03/16/11 TWO RIVERS WATER Co CO 7.01 03/16/11 United States Oil & Gas Corp DE 3.02,7.01,9.01 03/15/11 UNIVERSAL HEALTH SERVICES INC DE 1.01,8.01,9.01 03/15/11 Vantage Drilling CO E9 2.02,9.01 03/16/11 Warner Chilcott plc 8.01,9.01 03/16/11 WATERS CORP /DE/ DE 1.01,2.03 03/15/11 WAVE SYSTEMS CORP DE 2.02,9.01 03/15/11 WEST PHARMACEUTICAL SERVICES INC PA 7.01,9.01 03/16/11 WESTERN LIBERTY BANCORP DE 5.02,7.01,9.01 03/10/11 WRIGHT MEDICAL GROUP INC DE 2.03,7.01,9.01 03/14/11 XERIUM TECHNOLOGIES INC DE 5.02,9.01 03/14/11 XERIUM TECHNOLOGIES INC DE 2.02,9.01 03/10/11 ZOGENIX, INC. DE 8.01 03/16/11
http://www.sec.gov/news/digest/2011/dig031711.htm
|