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Commission AnnouncementsSecurities and Exchange Commission Suspends Trading in the Securities of Heli Electronics Corp.The Securities and Exchange Commission announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act), of trading in the securities of Heli Electronics Corp. (HELI), a Nevada corporation with headquarters and operations in the People’s Republic of China, at 9:30 a.m. EDT on March 21, 2011, and terminating at 11:59 p.m. EDT on April 1, 2011. Questions have arisen regarding the accuracy and completeness of information contained in HELI’s public filings with the Commission concerning, among other things, the company’s cash balances and accounts receivable. The company has failed to disclose that the company’s independent auditor has resigned due to accounting irregularities involving (a) discrepancies between HELI’s accounting records for cash balances and official bank statements obtained by the auditors from the company’s bank, (b) discrepancies concerning the existence and location of company customers, and (c) the possibility that accounting records could have been falsified. Due to these irregularities, the company’s auditor has resigned from its engagement to audit the company’s consolidated financial statements for the year ended Dec. 31, 2010, and has withdrawn its audit opinion issued June 15, 2010 relating to the audit of the company’s consolidated financial statements as of Dec. 31, 2009 and 2008. The Commission cautions brokers, dealers, shareholders, and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by the company. Further, brokers and dealers should be alert to the fact that, pursuant to Rule 15c2-11 under the Exchange Act, at the termination of the trading suspension, no quotation may be entered unless and until they have strictly complied with all of the provisions of the rule. If any broker or dealer has any questions as to whether or not it has complied with the rule, such broker or dealer should not enter any quotation but immediately contact the staff in the Division of Trading and Markets, Office of Interpretation and Guidance, at (202) 551-5760. If any broker or dealer is uncertain as to what is required by Rule 15c2-11, it should refrain from entering quotations relating to HELI’s securities until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. If any broker, dealer, or other person has any information which may relate to this matter, they should immediately contact Kara N. Brockmeyer, Assistant Director, at (202) 551-4767, or Ansu N. Banerjee, Senior Counsel, at (202) 551-5673, or by e-mail at brockmeyerk@sec.gov or banerjeea@sec.gov. (Rel. 34-64101) Enforcement ProceedingsIn the Matter of Monroe L. BeachyOn March 18, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against Monroe L. Beachy. The Order finds that on Feb. 18, 2011, the United States District Court for the Northern District of Ohio entered a final judgment by consent against Beachy in the civil action entitled Securities and Exchange Commission v. Monroe L. Beachy, Case No. 11-cv-320-SL, permanently enjoining Beachy from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Order finds that the Commission’s complaint alleged that, among other things, from the early 1980’s through June 2010, Beachy sold investment contracts to investors in at least 29 states. The complaint further alleged that, in connection with the sale of investment contracts, Beachy made false statements to investors regarding how their funds were being invested, sent false account statements to investors with false account balances, knowingly and intentionally hid his losses, and otherwise engaged in a variety of conduct which operated as a fraud and deceit on investors. The complaint also alleged that Beachy sold unregistered securities. Based on the above, the Order bars Beachy from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. The Order also prohibits Beachy from participating in an offering of penny stock. Beachy consented to the issuance of the Order without admitting or denying any of the findings therein, except as to the entry of the judgment and the Commission’s jurisdiction over him. (Rel. 34-64100; File No. 3-14299) Self-Regulatory OrganizationsAccelerated Approval of Proposed Rule ChangesThe Commission granted accelerated approval to a proposed rule change (SR-EDGA-2011-07) submitted by EDGA Exchange pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to delete the description of and all references to Step-up orders in EDGA Rules. Publication is expected in the Federal Register during the week of March 21. (Rel. 34-64094) The Commission granted accelerated approval to a proposed rule change (SR-EDGX-2011-06) submitted by EDGX Exchange pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to delete the description of and all references to Step-up orders in EDGX Rules. Publication is expected in the Federal Register during the week of March 21. (Rel. 34-64095) Approval of Proposed Rule ChangeThe Commission approved a proposed rule change filed by NASDAQ OMX BX (SR-BX-2010-079) to amend Chapter IV of the BOX Rules to allow Executing Participants to provide BOX a list of the Order Flow Providers for which the Executing Participants will provide Directed Order services. Publication is expected in the Federal Register during the week of March 21. (Rel. 34-64097) Immediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by NASDAQ OMX PHLX relating to singly listed options (SR-Phlx-2011-34) 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. 34-64096) 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-8 NUPATHE INC., 227 WASHINGTON STREET, SUITE 200, CONSHOHOCKEN, PA,
19428, 484-567-0130 - 499,070 ($3,832,857.60) Equity,
(File 333-172911 - Mar. 18) (BR. 01A)
S-1 US CONCRETE INC, 2925 BRIARPARK, SUITE 1050, HOUSTON, TX, 77042,
713-499-6200 - 0 ($7,292,054.25) Equity, (File 333-172917 - Mar. 18)
(BR. 06A)
S-1 Gulf United Energy, Inc., 3555 TIMMONS LANE, SUITE 1510, HOUSTON, TX,
77027, (713) 942-6575 - 96,288,726 ($47,944,393.00) Equity,
(File 333-172918 - Mar. 18) (BR. 04B)
S-8 ING GROEP NV, AMSTELVEENSEWEG 500, 1081 KL AMSTERDAM,
PO BOX 810, 1000 AV, AMSTERDAM, P7, 0000, 01131205418534 -
0 ($213,840,000.00) ADRs/ADSs, (File 333-172919 - Mar. 18) (BR. 01A)
S-8 ING GROEP NV, AMSTELVEENSEWEG 500, 1081 KL AMSTERDAM,
PO BOX 810, 1000 AV, AMSTERDAM, P7, 0000, 01131205418534 -
0 ($23,760,000.00) ADRs/ADSs, (File 333-172920 - Mar. 18) (BR. 01A)
S-8 ING GROEP NV, AMSTELVEENSEWEG 500, 1081 KL AMSTERDAM,
PO BOX 810, 1000 AV, AMSTERDAM, P7, 0000, 01131205418534 -
0 ($23,760,000.00) ADRs/ADSs, (File 333-172921 - Mar. 18) (BR. 01A)
S-8 Shengkai Innovations, Inc., NO. 106 ZHONGHUAN SOUTH ROAD,
AIRPORT INDUSTRIAL PARK, TIANJIN,, F4, 300350, (8622) 5883-8509 -
2,670,661 ($15,009,114.82) Equity, (File 333-172922 - Mar. 18) (BR. 06B)
S-1 Mainstream Entertainment, Inc., 11637 ORPINGTON ST., ORLANDO, FL,
32817, 407-207-0400 - 3,045,870 ($152,293.50) Equity,
(File 333-172924 - Mar. 18) (BR. 05C)
F-3 Santander UK plc, 2 TRITON SQUARE, REGENT'S PLACE, LONDON, X0, NW1 3AN,
011 44 870 607 6000 - 0 ($5,000,000,000.00) Non-Convertible Debt,
(File 333-172925 - Mar. 18) (BR. 07A)
S-8 ATLANTIC POWER CORP, 200 CLARENDON STREET, FLOOR 25, BOSTON, MA, 02116,
617-977-2701 - 0 ($14,930,000.00) Equity, (File 333-172926 - Mar. 18)
(BR. 02)
S-8 RUDOLPH TECHNOLOGIES INC, PO BOX 1000, ONE RUDOLPH RD, FLANDERS, NJ,
07836, 9736911300 - 1,052,768 ($10,117,100.48) Equity,
(File 333-172927 - Mar. 18) (BR. 10C)
S-1 AMERICAN BAR ASSOCIATION MEMBERS / NORTHERN TRUST COLLECTIVE TR,
C/O NORTHERN TRUST INVESTMENTS, N.A., 50 SOUTH LASALLE STREET, CHICAGO,
IL, 60603, 312-630-6000 - 0 ($470,000,000.00) Equity,
(File 333-172928 - Mar. 18) (BR. 08A)
S-3 SOLITARIO EXPLORATION & ROYALTY CORP., 4251 KIPLING STREET, SUITE 390,
WHEAT RIDGE, CO, 80033, 3035341030 -
0 ($75,000,000.00) Unallocated (Universal) Shelf, (File 333-172929 -
Mar. 18) (BR. 04B)
S-8 PNC FINANCIAL SERVICES GROUP INC, ONE PNC PLAZA, 249 FIFTH AVENUE,
PITTSBURGH, PA, 15222, 412-762-2000 - 0 ($15,646,250.00) Equity,
(File 333-172930 - Mar. 18) (BR. 07B)
S-8 PNC FINANCIAL SERVICES GROUP INC, ONE PNC PLAZA, 249 FIFTH AVENUE,
PITTSBURGH, PA, 15222, 412-762-2000 - 0 ($35,000,000.00) Other,
(File 333-172931 - Mar. 18) (BR. 07B)
S-1 Allison Transmission Holdings Inc, 4700 West 10th Street, Indianapolis,
IN, 46222, (317) 242-5000 - 0 ($750,000,000.00) Equity,
(File 333-172932 - Mar. 18) (BR. )
S-8 GREENBRIER COMPANIES INC, ONE CENTERPOINTE DR, STE 200, LAKE OSWEGO,
OR, 97035, 5036847000 - 0 ($24,730,000.00) Equity, (File 333-172933 -
Mar. 18) (BR. 05A)
S-1 NORTHRIDGE VENTURES INC., 2325 HURONTARIO STREET, SUITE 204, TORONTO,
A6, L5A 4C7, 6476285375 - 24,000,000 ($120,000.00) Equity,
(File 333-172934 - Mar. 18) (BR. 03C)
S-3 MITCHAM INDUSTRIES INC, 8141 SH 75 SOUTH, PO BOX 1175, HUNTSVILLE, TX,
77342, 9362912277 - 0 ($60,000,000.00) Unallocated (Universal) Shelf,
(File 333-172935 - Mar. 18) (BR. 06B)
S-8 AUTODESK INC, 111 MCINNIS PKWY, SAN RAFAEL, CA, 94903, 4155075000 -
0 ($155,591,866.00) Equity, (File 333-172936 - Mar. 18) (BR. 03B)
S-8 INTEL CORP, 2200 MISSION COLLEGE BLVD, RNB-4-151, SANTA CLARA, CA,
95054, 4087658080 - 17,499,822 ($308,922,494.00) Equity,
(File 333-172937 - Mar. 18) (BR. 10B)
S-4 Momentive Performance Materials Inc., 22 CORPORATE WOODS BLVD,
2ND FLOOR, ALBANY, NY, 12211, 518-533-4703 -
0 ($845,000,000.00) Non-Convertible Debt, (File 333-172938 - Mar. 18)
(BR. 06C)
S-3 Akeena Solar, Inc., 1475 S. BASCOM AVE., SUITE 101, CAMPBELL, CA,
95008-0528, 408-402-9400 - 15,744,000 ($8,265,600.00) Equity,
(File 333-172939 - Mar. 18) (BR. 06C)
N-2 NUVEEN INSURED TAX FREE ADVANTAGE MUNICIPAL FUND,
333 WEST WACKER DRIVE, CHICAGO, IL, 60606, 3129178146 -
1,000 ($10,000.00) Equity, (File 333-172940 - Mar. 18) (BR. 18)
S-3ASR DOMINION RESOURCES INC /VA/, 120 TREDEGAR STREET, RICHMOND, VA, 23219,
8048192000 - 0 ($0.00) Equity, (File 333-172941 - Mar. 18) (BR. 02A)
S-4 Ally Financial Inc., MAIL CODE: 482-B08-D76, 200 RENAISSANCE CENTER,
DETROIT, MI, 48265, 866-710-4623 -
0 ($1,750,000,000.00) Non-Convertible Debt, (File 333-172942 - Mar. 18)
(BR. 07C)
S-4 Hexion U.S. Finance Corp., 180 EAST BROAD STREET, COLUMBUS, OH, 43215,
(614) 225-4000 - 0 ($440,000,000.00) Non-Convertible Debt,
(File 333-172943 - Mar. 18) (BR. 06B)
S-1 CHINA ALUMINUM FOIL, INC., BUILDING NO.35, NO.1 CUI ZHU STREET,,
HIGH-TECH DEVELOPMENT AREA,, ZHENGZHOU CITY, HENAN PROVINCE, F4, 0,
(86) 371-67539696 - 10,100,000 ($20,200,000.00) Equity,
(File 333-172944 - Mar. 18) (BR. 07B)
S-4 UNITED BANKSHARES INC/WV, 300 UNITED CTR, 500 VIRGINIA ST E,
CHARLESTON, WV, 25301, 3044248800 - 0 ($190,086,998.00) Equity,
(File 333-172945 - Mar. 18) (BR. 07A)
N-2 Centre Lane Investment Corp., ONE GRAND CENTRAL PLACE,
60 E. 42ND STREET, SUITE 1400, NEW YORK, NY, 10165, (646) 843-0710 -
0 ($100,000,000.00) Equity, (File 333-172946 - Mar. 18) (BR. )
N-2 Versus Global Multi-Manager Real Estate Income Fund LLC,
7100 E BELLEVIEW AVE, SUITE 306, GREENWOOD VILLAGE, CO, 80111-1632,
303-895-3773 - 0 ($750,000,000.00) Equity, (File 333-172947 - Mar. 18)
(BR. )
S-3 SOCKET MOBILE, INC., 39700 EUREKA DRIVE, NEWARK, CA, 94560-4808,
5109333000 - 282,485 ($549,433.33) Equity, (File 333-172948 - Mar. 18)
(BR. 03B)
S-4 RSC Equipment Rental, Inc., 6929 E. GREENWAY PARKWAY, SUITE 200,
SCOTTSDALE, AZ, 85254, 480-348-5918 -
0 ($650,000,000.00) Non-Convertible Debt, (File 333-172949 - Mar. 18)
(BR. 06C)
S-8 SOCKET MOBILE, INC., 39700 EUREKA DRIVE, NEWARK, CA, 94560-4808,
5109333000 - 381,974 ($742,939.43) Equity, (File 333-172950 - Mar. 18)
(BR. 03B)
S-4 SITEL Worldwide Corp, Two American Center,
3102 West End Avenue, Suite 1000, Nashville, TN, 37303,
(615) 301-7100 - 0 ($300,000,000.00) Non-Convertible Debt,
(File 333-172952 - Mar. 18) (BR. )
S-1 Arcade China Acquisition Corp, 62 LASALLE ROAD, SUITE 304,
WEST HARTFORD, CT, 06107, 860-236-6320 - 0 ($98,900,000.00) Equity,
(File 333-172953 - Mar. 18) (BR. )
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
57th Street General Acquisition Corp 1.01,8.01,9.01 03/17/11
ACCELERATED ACQUISITION X DE 1.01,5.06,9.01 03/18/11
ACCURAY INC DE 8.01,9.01 03/18/11
ADVANT E CORP DE 2.02,9.01 03/18/11
AEOLUS PHARMACEUTICALS, INC. DE 1.01 03/16/11
AFFYMAX INC DE 1.01,8.01,9.01 03/18/11
AGCO CORP /DE DE 5.02,9.01 03/18/11
ALEXANDER & BALDWIN INC HI 8.01,9.01 03/18/11
AMERICAN BILTRITE INC DE 2.02,9.01 03/16/11
American Caresource Holdings, Inc. DE 2.02,9.01 03/17/11
American Exploration Corp NV 1.01,9.01 03/14/11
AMERICAN EXPRESS CO NY 7.01 03/18/11
AMERICAN INDEPENDENCE CORP DE 2.02,9.01 12/31/10
AMERICANWEST BANCORPORATION WA 7.01,9.01 03/15/11
AMERIGO ENERGY, INC. DE 4.01,8.01,9.01 03/17/11
ANSYS INC DE 5.02,9.01 03/14/11
Apple REIT Ten, Inc. VA 2.01,9.01 03/15/11
Archipelago Learning, Inc. DE 1.01,9.01 03/15/11
ARIAD PHARMACEUTICALS INC DE 8.01,9.01 03/17/11
ASPEN INSURANCE HOLDINGS LTD D0 7.01,9.01 03/18/11
ATHEROS COMMUNICATIONS INC DE 5.07,8.01,9.01 03/18/11
ATLANTIC POWER CORP A1 2.02,9.01 03/18/11
Attitude Drinks Inc. DE 1.01,3.02,9.01 03/17/11
AUXILIO INC NV 1.01,3.02,9.01 05/08/09 AMEND
Bacterin International Holdings, Inc. DE 7.01,9.01 03/18/11
BALLY TECHNOLOGIES, INC. NV 5.02,9.01 03/17/11
BANKUNITED FINANCIAL CORP FL 8.01,9.01 03/11/11
BankUnited, Inc. DE 5.02 03/16/11
BARRY R G CORP /OH/ OH 1.01,9.01 03/15/11
BB&T CORP NC 8.01,9.01 03/18/11
BIO-PATH HOLDINGS INC UT 3.02 03/17/11
Black Diamond, Inc. DE 8.01,9.01 03/17/11
BOISE INC. DE 5.02,8.01,9.01 03/14/11
BORGWARNER INC DE 8.01 03/18/11
BRIDGE BANCORP INC NY 5.02 03/18/11
Brooklyn Federal Bancorp, Inc. X1 5.02,9.01 03/15/11
BRT REALTY TRUST MA 1.01,2.03,9.01 03/15/11
BUCKEYE PARTNERS, L.P. DE 1.01,9.01 03/17/11
CALIFORNIA GOLD CORP. NH 4.01,9.01 07/08/10 AMEND
CALLON PETROLEUM CO DE 5.02,7.01,9.01 03/17/11
CAPITAL GOLD CORP NV 1.01,8.01,9.01 03/17/11
CAREER EDUCATION CORP DE 5.02,9.01 03/17/11
CARMAX AUTO FUNDING LLC DE 8.01,9.01 03/17/11
CATERPILLAR INC DE 7.01 03/18/11
CATERPILLAR INC DE 8.01 03/18/11
CBS CORP DE 1.01,2.03,9.01 03/16/11
CBS CORP DE 5.02,9.01 03/16/11
Celera CORP DE 4.02 03/17/11
Celera CORP DE 1.01,2.02,5.02,9.01 03/17/11
CENTRAL BANCORP INC /MA/ MA 5.02,9.01 03/17/11
CENTRAL VALLEY COMMUNITY BANCORP CA 8.01 03/16/11
CENTRUE FINANCIAL CORP DE 2.02,9.01 03/18/11
Chanticleer Holdings, Inc. 5.03,5.07,9.01 03/18/11
CHARTER COMMUNICATIONS, INC. /MO/ DE 8.01 03/17/11
CHDT CORP FL 7.01,9.01 03/16/11
CHEMUNG FINANCIAL CORP NY 8.01 03/17/11
CHEVIOT FINANCIAL CORP 2.01,9.01 03/16/11
CHINA AGRITECH INC DE 4.01,5.02,8.01,9.01 03/13/11
China Botanic Pharmaceutical 7.01,9.01 03/14/11
China Grand Resorts, Inc. NV 4.01,9.01 03/16/10
CHINA ORGANIC AGRICULTURE, INC. 5.02 03/18/11
CISCO SYSTEMS INC CA 8.01,9.01 03/17/11
COASTAL BANKING CO INC SC 2.02,9.01 03/17/11
Cogo Group, Inc. MD 2.02,9.01 03/16/11
COINSTAR INC DE 5.02 03/18/11
Colony Financial, Inc. MD 9.01 06/30/10 AMEND
CONSOLIDATED WATER CO LTD E6 2.02,9.01 03/16/11
Coronus Solar Inc. A1 1.02,2.01,7.01,9.01 03/18/11
CORPORATE EXECUTIVE BOARD CO DE 1.01,2.03,7.01,9.01 03/16/11
CORTEX PHARMACEUTICALS INC/DE/ DE 2.02,9.01 03/18/11
Counsel RB Capital Inc. FL 1.01,3.02,8.01,9.01 03/15/11
Covidien plc 5.07 03/15/11
CPEX Pharmaceuticals, Inc. DE 8.01,9.01 03/18/11
CREDIT ACCEPTANCE CORP MI 7.01,9.01 03/18/11
CYBERMESH INTERNATIONAL CORP. 4.01,9.01 03/11/11
CYTOKINETICS INC 8.01 03/18/11
DANA HOLDING CORP DE 5.02 03/14/11
DEERE & CO DE 7.01 03/18/11
DIGITAL RIVER INC /DE DE 5.02,8.01,9.01 03/16/11
Dresser-Rand Group Inc. DE 1.01,2.03,7.01,9.01 03/15/11
DTE ENERGY CO MI 2.02,9.01 03/18/11
DUOYUAN PRINTING, INC. WY 8.01 03/18/11
DUPONT FABROS TECHNOLOGY, INC. MD 8.01 03/17/11
EBIX INC DE 2.02,9.01 03/14/11
ecoTECH Energy Group Inc. NV 2.01,9.01 03/16/11
EDISON INTERNATIONAL CA 8.01,9.01 03/16/11
EDISON MISSION ENERGY DE 8.01,9.01 03/16/11
EFL OVERSEAS, INC. NV 5.02 03/17/11
EGPI FIRECREEK, INC. NV 1.01,2.01,9.01 03/14/11
EGPI FIRECREEK, INC. NV 1.01,2.01,9.01 03/14/11
EL PASO CORP/DE DE 8.01,9.01 03/18/11
ENGLOBAL CORP NV 8.01,9.01 03/17/11
EQUUS TOTAL RETURN, INC. DE 8.01,9.01 03/18/11
F&M BANK CORP VA 8.01,9.01 03/18/11
FAIRWAY PROPERTIES, INC. NV 8.01 03/18/11
Federal Home Loan Bank of Des Moines X1 8.01,9.01 03/18/11
FENTURA FINANCIAL INC MI 4.01,9.01 02/04/11 AMEND
FERRELLGAS PARTNERS L P DE 1.01,8.01,9.01 03/15/11
FINISH LINE INC /IN/ IN 5.02,9.01 03/14/11
Firefish, Inc NV 4.01,9.01 03/17/11
First Advantage Bancorp 5.02 03/18/11
FIRST FEDERAL BANCSHARES OF ARKANSAS TX 8.01 03/18/11
FIRST FINANCIAL BANCORP /OH/ OH 5.02 03/14/11
FIRST PLACE FINANCIAL CORP /DE/ DE 5.02 03/18/11
Flagstone Reinsurance Holdings, S.A. 8.01,9.01 03/15/11
FORCE PROTECTION INC NV 5.02 03/14/11
FORCE PROTECTION INC NV 5.02 03/14/11
Friendly Auto Dealers, Inc. NV 5.03,8.01 03/18/11
Fuelstream INC DE 8.01 03/17/11
FULTON FINANCIAL CORP PA 5.02,7.01,9.01 03/18/11
GC NET LEASE REIT, INC. 9.01 12/30/09 AMEND
GENERAL MILLS INC DE 8.01,9.01 03/18/11
GENTA INC DE/ DE 8.01 03/18/11
GENWORTH FINANCIAL INC DE 5.02 03/18/11
GOLD STANDARD MINING CORP. NV 4.01 02/25/11 AMEND
GOLDMAN SACHS GROUP INC DE 5.02 03/16/11
GOLDMAN SACHS GROUP INC DE 8.01 03/18/11
GRAFTECH INTERNATIONAL LTD DE 8.01 03/14/11
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 02/28/11
GREEN ENVIROTECH HOLDINGS CORP. DE 1.01,9.01 03/16/11
GREENBRIER COMPANIES INC DE 2.02,9.01 03/17/11
GRIFFON CORP DE 1.01,1.02,2.03,9.01 03/14/11
Guidance Software, Inc. DE 5.03,9.01 03/18/11
GULFPORT ENERGY CORP DE 8.01,9.01 03/18/11 AMEND
HEADWATERS INC DE 1.01,1.02,2.03,9.01 10/27/09 AMEND
HealthMarkets, Inc. DE 5.02 03/16/11
Heartland Bridge Capital, Inc. DE 4.01,4.02,9.01 03/11/11
HURCO COMPANIES INC IN 5.07 03/17/11
IGATE CORP PA 5.02 03/17/11
III TO I MARITIME PARTNERS CAYMAN I L 8.01 03/10/11
ILLUMINA INC DE 1.01,2.03,3.02,8.01, 03/14/11
9.01
IMPAX LABORATORIES INC DE 5.02 03/14/11
IMPERIAL CAPITAL BANCORP, INC. DE 1.03,9.01 02/18/11
INDEPENDENCE HOLDING CO DE 2.02,9.01 03/17/11
Infusion Brands International, Inc. NV 1.01,3.02 03/15/11
INNOTRAC CORP GA 5.02 03/16/11
INTELLIGENT SYSTEMS CORP GA 8.01,9.01 03/18/11
Intermec, Inc. DE 7.01 03/18/11
INTERNATIONAL BUSINESS MACHINES CORP NY 8.01 03/18/11
Invesco Ltd. D0 5.02 03/15/11
J P MORGAN CHASE & CO DE 8.01,9.01 03/18/11
JDA SOFTWARE GROUP INC DE 5.02 01/28/11
Jiangbo Pharmaceuticals, Inc. FL 5.02,9.01 03/15/11
JO-ANN STORES INC OH 5.07 03/18/11
KBR, INC. DE 8.01 03/18/11
KEYCORP /NEW/ OH 8.01,9.01 03/18/11
KIT digital, Inc. DE 5.02 03/14/11
LABARGE INC DE 8.01 03/18/11
LaSalle Hotel Properties MD 7.01,8.01,9.01 03/17/11
LATTICE SEMICONDUCTOR CORP DE 5.02 03/17/11
LBI MEDIA HOLDINGS INC 1.01,2.03,9.01 03/18/11
LEFT BEHIND GAMES INC. WA 7.01,9.01 03/17/11
LEHMAN BROTHERS HOLDINGS INC DE 7.01,9.01 03/18/11
LEXARIA CORP. 3.02,7.01,9.01 03/17/11
Limoneira CO DE 8.01,9.01 03/17/11
LOWES COMPANIES INC NC 5.02 03/17/11
LTX-CREDENCE CORP MA 5.02 03/16/11
LUBRIZOL Corp OH 8.01,9.01 03/18/11
LyondellBasell Industries N.V. P7 2.02 03/18/11 AMEND
MAINLAND RESOURCES INC. 1.01,9.01 03/14/11
Man AHL FuturesAccess LLC DE 3.02 03/18/11
MARSHALL EDWARDS INC DE 1.01,8.01,9.01 03/17/11
MEDCO HEALTH SOLUTIONS INC DE 8.01,9.01 03/18/11
MedPro Safety Products, Inc. NV 5.02 03/14/11
MEMSIC Inc 2.02,9.01 03/14/11
MET PRO CORP PA 2.02,9.01 03/18/11
METROPCS COMMUNICATIONS INC DE 5.03,9.01 03/14/11
MICRO IMAGING TECHNOLOGY, INC. CA 4.01,9.01 02/18/11
MIDWEST GENERATION LLC DE 8.01,9.01 03/16/11
MILLER PETROLEUM INC TN 4.02 03/17/11
ML Aspect FuturesAccess LLC DE 3.02 03/18/11
ML BlueTrend FuturesAccess LLC DE 3.02 03/18/11
ML Systematic Momentum FuturesAccess DE 3.02 03/18/11
ML Transtrend DTP Enhanced FuturesAcc DE 3.02 03/18/11
ML Winton FuturesAccess LLC DE 3.02 03/18/11
Morgans Hotel Group Co. DE 5.02 03/14/11
MOTRICITY INC DE 1.01,9.01 03/12/11
MSCI Inc. DE 1.01,2.03,9.01 03/14/11
Muscato Group, Inc. NV 4.01,9.01 03/14/11
MWI Veterinary Supply, Inc. DE 1.01 03/14/11
NACCO INDUSTRIES INC DE 2.02,7.01,9.01 03/18/11
NCR CORP MD 8.01 03/14/11
NETWORK 1 SECURITY SOLUTIONS INC DE 5.02,9.01 03/14/11
NEW DRAGON ASIA CORP FL 4.01 03/17/11
New Generation Biofuels Holdings, Inc FL 5.02,9.01 03/14/11
NEW PEOPLES BANKSHARES INC VA 2.03,9.01 03/17/11
NEW YORK MORTGAGE TRUST INC MD 8.01,9.01 03/18/11
Next 1 Interactive, Inc. NV 1.01,2.03,9.01 03/11/11
Noble Corp / Switzerland V8 8.01 03/15/11
NON INVASIVE MONITORING SYSTEMS INC / FL 1.01,9.01 03/14/11
NORTHROP GRUMMAN CORP /DE/ DE 7.01,9.01 03/18/11
NTS MORTGAGE INCOME FUND DE 1.01,9.01 03/15/11
NUPATHE INC. DE 2.02,9.01 03/18/11
NYSE Euronext DE 5.03,9.01 03/18/11
OCZ TECHNOLOGY GROUP INC DE 1.01,2.03,3.02,9.01 03/14/11
Opko Health, Inc. DE 7.01,8.01,9.01 03/18/11
ORMAT TECHNOLOGIES, INC. DE 7.01,9.01 03/18/11
OURPETS CO CO 2.02,9.01 03/16/11
PDI INC 5.02 03/14/11
People's United Financial, Inc. DE 5.02,7.01 03/16/11
PEPSICO INC NC 8.01,9.01 03/18/11
PERRY ELLIS INTERNATIONAL INC FL 2.02,9.01 03/18/11
PHC INC /MA/ MA 1.01,8.01,9.01 03/18/11
PLAINSCAPITAL CORP TX 8.01 03/17/11
Polypore International, Inc. 8.01,9.01 03/17/11
POSITIVEID Corp DE 1.01 02/24/11
POSITIVEID Corp DE 3.01 03/15/11
Prepaid Card Holdings, Inc. NV 4.01,4.02 03/18/11 AMEND
Protalix BioTherapeutics, Inc. FL 1.01,8.01,9.01 03/17/11
PROVIDENCE SERVICE CORP DE 5.02 03/18/11
PROVIDENT FINANCIAL HOLDINGS INC DE 8.01,9.01 03/17/11
QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 2.02,9.01 03/18/11
QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 2.02,9.01 03/18/11 AMEND
QUEST SOFTWARE INC CA 5.02 03/14/11
RAM ENERGY RESOURCES INC DE 1.01,9.01 03/17/11
REGIONS FINANCIAL CORP DE 8.01,9.01 03/18/11
REPROS THERAPEUTICS INC. DE 3.01 03/15/11
REVONERGY INC NV 1.01,9.01 03/14/11
RiverSource LaSalle International Rea MD 7.01,9.01 03/18/11
ROLLINS INC DE 8.01,9.01 03/16/11
ROTECH HEALTHCARE INC DE 1.01,2.03,7.01,9.01 03/17/11
SANDERS MORRIS HARRIS GROUP INC TX 2.01,9.01 12/31/10 AMEND
SANDRIDGE ENERGY INC DE 1.01,2.03,9.01 03/15/11
SEACHANGE INTERNATIONAL INC DE 2.02,9.01 03/17/11
SED INTERNATIONAL HOLDINGS INC 2Q 1.01,8.01,9.01 03/17/11
SENETEK PLC /ENG/ 1.01,2.01,3.02,9.01 03/16/11
SENTRY PETROLEUM LTD. 7.01,9.01 03/17/11
SERVIDYNE, INC. GA 2.02,9.01 03/16/11
ShengdaTech, Inc. 3.01,9.01 03/16/11
Shrink Nanotechnologies, Inc. DE 1.01,3.02,4.01,7.01, 03/18/11
8.01,9.01
SILVERLEAF RESORTS INC 1.01,2.03,9.01 03/17/11
SL INDUSTRIES INC NJ 3.01,9.01 03/14/11
SMUCKER J M CO OH 8.01 03/18/11
Sonora Resources Corp. NV 4.01,9.01 02/03/11 AMEND
SOUTHWEST IOWA RENEWABLE ENERGY, LLC IA 8.01,9.01 03/18/11
SS&C Technologies Holdings Inc DE 5.02,8.01,9.01 03/15/11
STAAR SURGICAL CO DE 5.02 03/15/11
STANDARD PACIFIC CORP /DE/ DE 5.02,9.01 03/16/11
STEC, INC. CA 5.02,9.01 03/14/11
SUPERGEN INC DE 5.03,9.01 03/17/11
SWS GROUP INC DE 7.01,9.01 03/18/11
T REIT LIQUIDATING TRUST VA 7.01,9.01 03/18/11
TELETECH HOLDINGS INC DE 7.01,9.01 03/17/11
Tianli Agritech, Inc. D8 2.02,7.01,9.01 03/17/11
TIANYIN PHARMACEUTICAL CO., INC. DE 8.01,9.01 03/18/11
TIANYIN PHARMACEUTICAL CO., INC. DE 3.03,8.01 03/18/11
TIGRENT INC CO 8.01,9.01 03/17/11
TITAN PHARMACEUTICALS INC DE 1.01,2.03,3.02,9.01 03/15/11
Titanium Asset Management Corp DE 2.02,9.01 03/18/11
TOLL BROTHERS INC DE 5.03,5.07,9.01 03/16/11
Total Nutraceutical Solutions, Inc. NV 4.01,9.01 03/01/11 AMEND
TPC Group Inc. DE 5.02,7.01,9.01 03/18/11
TRI VALLEY CORP DE 7.01,9.01 03/16/11
TRW AUTOMOTIVE HOLDINGS CORP DE 8.01 03/14/11
TTM TECHNOLOGIES INC WA 4.01 03/14/11
TTM TECHNOLOGIES INC WA 4.01,9.01 11/11/10 AMEND
UGI CORP /PA/ PA 1.01,2.03 03/16/11
UNITED NATURAL FOODS INC DE 5.02,9.01 03/14/11
UNITED THERAPEUTICS Corp DE 5.02,9.01 03/15/11
URANIUM 308 CORP. NV 3.02,9.01 03/10/11
US BANCORP \DE\ DE 8.01,9.01 03/18/11
US HOME SYSTEMS INC DE 2.02,9.01 03/17/11
UTAH MEDICAL PRODUCTS INC UT 7.01 03/18/11
VALMONT INDUSTRIES INC DE 5.02 03/18/11
Vaughan Foods, Inc. OK 2.02 03/17/11
VENTRUS BIOSCIENCES INC DE 7.01,8.01,9.01 03/18/11
VERAMARK TECHNOLOGIES INC DE 5.02,9.01 03/14/11
Viacom Inc. DE 5.07,8.01,9.01 03/15/11
VILLAGE SUPER MARKET INC NJ 7.01,9.01 03/18/11
VIROPHARMA INC DE 8.01,9.01 03/18/11
VISCOUNT SYSTEMS INC NV 3.02 03/03/11
VISTA GOLD CORP B0 2.02,7.01 03/17/11
VITRO DIAGNOSTICS INC NV 5.02 03/17/11
WALT DISNEY CO/ DE 5.02,9.01 03/17/11
WASHINGTON GAS LIGHT CO DC 8.01 03/18/11
WAUSAU PAPER CORP. WI 5.02 03/18/11
WELLS FARGO & CO/MN DE 5.03,9.01 03/17/11
WELLS FARGO & CO/MN DE 8.01,9.01 03/18/11
WESTELL TECHNOLOGIES INC DE 1.01,9.01 03/18/11
Western Iowa Energy, L.L.C. IA 1.01,9.01 02/28/11
Western Refining, Inc. DE 8.01 03/17/11
WGL HOLDINGS INC VA 8.01 03/18/11
Willbros Group, Inc.\NEW\ 2.02,9.01 03/14/11
WINDSTREAM CORP DE 1.01,2.03,9.01 03/16/11
WORLDWIDE STRATEGIES INC NV 8.01 03/16/11
ZION OIL & GAS INC DE 8.01,9.01 03/18/11
Zurvita Holdings, Inc. DE 1.01,3.02 03/15/11
http://www.sec.gov/news/digest/2011/dig032111.htm
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