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Commission AnnouncementsSEC Charges FDA Chemist With Insider Trading Ahead of Drug Approval AnnouncementsThe Securities and Exchange Commission today charged a U.S. Food and Drug Administration (FDA) chemist with insider trading on confidential information about upcoming announcements of FDA drug approval decisions, generating more than $3.6 million in illicit profits and avoided losses. The SEC alleges that Cheng Yi Liang illegally traded in advance of at least 27 public announcements about FDA drug approval decisions involving 19 publicly traded companies. Some announcements concerned the FDA’s approval of new drugs while others concerned negative FDA decisions. In each instance, he traded in the same direction as the announcement. Liang went to great lengths to conceal his insider trading. He traded in seven brokerage accounts, none of which were in his name. One belonged to his 84-year-old mother who lives in China. In a parallel action, criminal charges filed by the Department of Justice against Liang were unsealed today. “Liang victimized both the investors who were disadvantaged by his theft of inside information and the American citizens whose trust he violated by placing private gain above public good,” said Robert Khuzami, Director of the SEC’s Division of Enforcement. Daniel M. Hawke, Chief of the SEC’s Market Abuse Unit, added, “The insider trading laws apply to employees of the federal government just as they do to Wall Street traders, corporate insiders, or hedge fund executives. Many government agencies like the FDA routinely possess and generate confidential market-moving information. Federal employees who misappropriate such information to engage in insider trading risk exposing themselves to potential civil and criminal charges for violating the federal securities laws.” According to the SEC’s complaint filed in the U.S. District Court for the District of Maryland (Greenbelt Division), Liang works in the FDA’s Center for Drug Evaluation and Research. Beginning as early as July 2006, Liang purchased shares for a profit before 19 positive announcements regarding FDA decisions, shorted stock for a profit before six negative announcements, and sold shares to avoid losses before two negative announcements. For example, the SEC alleges that Liang traded in advance of an FDA announcement approving Clinical Data’s application for the drug Viibryd. Liang accessed a confidential FDA database that contained critical documents and information about the FDA’s review of Clinical Data’s application, and then used that information to purchase more than 46,000 shares of Clinical Data at a cost of more than $700,000. After the markets closed on Friday, Jan. 21, 2011, the FDA issued a press release approving Viibryd. Clinical Data’s stock price rose by more than 67 percent the following Monday and Liang sold his entire Clinical Data position in less than 15 minutes for a profit of approximately $380,000. The SEC alleges that Liang used the trading profits for his own personal benefit. Checks totaling at least $1.2 million were written from the accounts he used for trading to a bank account in his name, to him or his wife directly, or to credit card companies to pay off balances in accounts in his or his wife’s name. Nearly $65,000 worth of checks were written from the brokerage accounts to car dealerships to purchase vehicles later registered to Liang and his wife. The SEC’s complaint alleges that Liang violated Section 17(a) of the Securities Act of 1933, and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and seeks a permanent injunction against future violations, disgorgement of unlawful trading profits and losses avoided plus prejudgment interest, and a financial penalty. The SEC’s complaint names Liang’s wife Yi Zhuge and the account holders for the seven trading accounts he used – Liang’s mother Hui Juan Chen, his son Andrew Liang, Shuhua Zhu, Zhongshan Chen, and Honami Toda – as relief defendants for the purpose of recovering ill-gotten funds to which they have no legitimate claim. Criminal charges by the Department of Justice against Andrew Liang were unsealed today in the District of Maryland. The SEC’s investigation was conducted by Deborah Tarasevich, Carolyn Welshhans, Owen Granke, and Ricky Sachar – members of the SEC’s Market Abuse Unit in Washington, D.C. The SEC’s litigation effort will be led by Matthew Martens and David Williams. The SEC thanks the Department of Justice’s Criminal Fraud Section, the Federal Bureau of Investigation, the Department of Health and Human Services Office of Inspector General, and the U.S. Attorney’s Office for the District of Maryland for their ongoing assistance in this matter. The SEC’s investigation is continuing. (Press Rel. 2011-76) Commission MeetingsClosed Meeting on Tuesday, April 5, 2011 at 2:00 p.m.The subject matter of the Closed Meeting scheduled for Tuesday, April 5, 2011, will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; 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. Enforcement ProceedingsSecurities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Eight Public Companies for Failure to Make Required Periodic FilingsOn March 28, 2011, the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of eight companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the eight issuers are delinquent in their required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the Administrative Law Judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The Administrative Law Judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-64139; File No. 3-14312) In the Matter of Joseph R. PorcheAn Administrative Law Judge has issued an Order Making Findings and Imposing Remedial Sanction by Default (Default Order) in Joseph R. Porche, Administrative Proceeding No. 3-14197. The Order Instituting Proceedings (OIP) alleged that Respondent participated in a fraudulent offering of unregistered securities, and, as a result, he was enjoined from future violations of various provisions of the Securities Act of 1933 and the Securities Exchange Act of 1934 (Exchange Act) by the U.S. District Court for the Central District of California. The Default Order finds these allegations to be true and concludes that, pursuant to Section 15(b)(6) of the Exchange Act, it is in the public interest to bar Respondent from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical ratings organization. (Rel. 34-64142; File No. 3-14197) Investment Company Act ReleasesNotice of Applications for Deregistration under the Investment Company ActFor the month of March 2011, a notice has been issued giving interested persons until April 19, 2011, to request a hearing on any of the following applications for an order under Section 8(f) of the Investment Company Act declaring that the applicant has ceased to be an investment company:
(Rel. IC-29618 – March 25) Fairholme VP Series Fund, Inc., et al.A notice has been issued giving interested persons until April 22, 2011, to request a hearing on an application filed by Fairholme VP Series Fund, Inc. and Fairholme Capital Management LLC (together, Applicants). Applicants request an exemptive order of the Securities and Exchange Commission pursuant to Section 6(c) of the Act, granting exemptions from Sections 9(a), 13(a), 15(a) and 15(b) of the 1940 Act and Rules 6e-2(b)(15) and 6e-3(T)(b)(15) thereunder, in cases where a life insurance company separate account supporting variable life insurance contracts (VLI Account(s)) holds shares of an existing portfolio of the Fairholme Corporation (Existing Fund) or a “Future Fund,” as defined below, (any Existing Fund or Future Fund is referred to herein as a “Fund,” and collectively, Funds) and one or more of the following other types of investors also hold shares of the Funds: (1) life insurance company separate accounts supporting variable annuity contracts (VA Accounts), whether or not the life insurance company is an affiliated person of the insurance company depositor of any VLI Account, (2) VLI Accounts supporting scheduled or flexible premium variable life insurance contracts, whether or not the life insurance company is an affiliated person of the insurance company depositor of any other VLI Account, (3) general accounts of insurance company depositors of VA Accounts and/or VLI Accounts, (4) the Fund’s investment adviser or future fund’s investment adviser (or an affiliated person of the investment adviser), or (5) qualified group pension plans and group retirement plans in accordance with Section 817(h) of the Internal Revenue Code outside the separate account context. A “Future Fund” is any investment company (or investment portfolio or series thereof), other than an Existing Fund, designed to be sold to VLI Accounts and to which Applicants and its affiliates may in the future serve as investment manager, investment subadviser, administrator, principal underwriter, or sponsor. (Rel. IC-29619 – March 28) Self-Regulatory OrganizationsImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by NASDAQ OMX BX (SR-BX-2011-015) amending Chapter XI of the BOX Trading Rules to Harmonize them with Rules of the Financial Industry Regulatory Authority, Inc. and Other Options Exchanges. Publication is expected in the Federal Register during the week of March 28. (Rel. 34-64120) A proposed rule change filed by NYSE Amex (SR-NYSEAmex-2011-17) deleting Rule 346 NYSE Amex Equities and adopting new Rule 3270 NYSE Amex Equities to correspond with rule changes filed by the Financial Industry Regulatory Authority, Inc. has become effective. Publication is expected in the Federal Register during the week of March 28. (Rel. 34-64130) A proposed rule change filed by New York Stock Exchange (SR-NYSE-2011-12) deleting NYSE Rule 346 and adopting new Rule 3270 to correspond with rule changes filed by the Financial Industry Regulatory Authority, Inc. has become effective. Publication is expected in the Federal Register during the week of March 28. (Rel. 34-64131) NYSE Amex filed with the Securities and Exchange Commission a proposed rule change under Rule 19b-4 (SR-NYSEAmex-2011-19) amending NYSE Amex Equities Rule 440B (Short Sales) to modify its procedures for handling certain short sale orders during a period when the short sale price test restrictions of Rule 201 of Regulation SHO under the Securities Exchange Act of 1934 are in effect. Publication is expected in the Federal Register during the week of March 28. (Rel. 34-64133) New York Stock Exchange filed a proposed rule change under Rule 19b-4 (SR-NYSE-2011-11) amending its Rule 440B (Short Sales) to modify its procedures for handling certain short sale orders during a period when the short sale price test restrictions of Rule 201 of Regulation SHO under the Securities Exchange Act of 1934 are in effect. Publication is expected in the Federal Register during the week of March 28. (Rel. 34-64136) Approval of Proposed Rule ChangesA proposed rule change (SR-CBOE-2011-010), as modified by Amendment No. 1, filed by the Chicago Board Options Exchange relating to bylaw and related rule changes has been approved pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of March 28. (Rel. 34-64127) A proposed rule change (SR-C2-2011-003), as modified by Amendment No. 1, filed by the C2 Options Exchange relating to bylaw and related rule changes has been approved pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of March 28. (Rel. 34-64128) Proposed Rule ChangeBATS Exchange filed a proposed rule change (SR-BATS-2011-009) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 to create a directed order program on a 6-month pilot basis. Publication is expected in the Federal Register during the week of March 28. (Rel. 34-64132) 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 SCHLUMBERGER LTD /NV/, 5599 SAN FELIPE, 17TH FLOOR, HOUSTON, TX, 77056,
7135132000 - 30,000,000 ($2,574,300,000.00) Equity, (File 333-173055 -
Mar. 25) (BR. 04C)
S-1 Victory LG Inc., 1844 S. 3850 WEST #B, SALT LAKE CITY, UT, 84104,
877-262-5154 - 8,000,000 ($8,000.00) Equity, (File 333-173056 -
Mar. 25) (BR. )
S-4 Dycom Investments Inc, 11770 US HIGHWAY 1, SUITE 101,
PALM BEACH GARDENS, FL, 33408, 561.627.7171 - 0 ($187,500,000.00) Debt,
(File 333-173057 - Mar. 25) (BR. 06)
S-1 ORAMED PHARMACEUTICALS INC., 2 ELZA STREET, JERUSALEM, L3, 93706,
011 972-54-7909058 - 13,993,217 ($3,778,168.00) Equity,
(File 333-173058 - Mar. 25) (BR. 01B)
S-3 DYCOM INDUSTRIES INC, 11770 U.S. HIGHWAY 1, SUITE 101,
PALM BEACH GARDENS, FL, 33408, 5616277171 - 0 ($400,000,000.00) Other,
(File 333-173059 - Mar. 25) (BR. 06A)
S-8 Trius Therapeutics Inc, 6310 NANCY RIDGE DR SUITE 105, SAN DIEGO, CA,
92121, 858-452-0370 - 0 ($5,388,049.15) Equity, (File 333-173060 -
Mar. 25) (BR. 01B)
S-8 CISCO SYSTEMS INC, 170 WEST TASMAN DR, SAN JOSE, CA, 95134-1706,
4085264000 - 752,089 ($3,501,795.39) Equity, (File 333-173061 -
Mar. 25) (BR. 03C)
S-8 CISCO SYSTEMS INC, 170 WEST TASMAN DR, SAN JOSE, CA, 95134-1706,
4085264000 - 151,187 ($2,607,975.75) Equity, (File 333-173062 -
Mar. 25) (BR. 03C)
F-1 Arcos Dorados Holdings Inc., Roque Saenz Pena 432, B1636FFB Olivos,
Buenos Aires, C1, None, 011 54 11 4711 2000 -
0 ($1,077,461,550.00) Equity, (File 333-173063 - Mar. 25) (BR. 05)
S-8 NOKIA CORP, KEILALAHDENTIE 4, P O BOX 226, ESPOO FINLAND, H9, 00000,
0358018071 - 0 ($48,312,000.00) Equity, (File 333-173064 - Mar. 25)
(BR. 11B)
F-3ASR NOKIA CORP, KEILALAHDENTIE 4, P O BOX 226, ESPOO FINLAND, H9, 00000,
0358018071 - 0 ($0.00) Debt, (File 333-173065 - Mar. 25) (BR. 11B)
S-8 KOPIN CORP, 695 MYLES STANDISH BLVD, TAUNTON, MA, 02780, 5088246696 -
0 ($28,243,432.00) Equity, (File 333-173066 - Mar. 25) (BR. 10B)
S-8 ON TRACK INNOVATIONS LTD, P O BOX 32, ZHR INDUSTRIAL ZONE,
ROSH PINAISRAEL, L3, 2126616500 - 950,000 ($2,251,500.00) Equity,
(File 333-173075 - Mar. 25) (BR. 10C)
S-3 ENERGY PARTNERS LTD, 201 ST CHARLES AVENUE, NEW ORLEANS, LA, 70170,
5045691875 - 0 ($400,000,000.00) Other, (File 333-173076 - Mar. 25)
(BR. 04A)
S-8 Oconee Federal Financial Corp., 115 E. NORTH SECOND STREET, SENECA, SC,
29678, (864) 882-2765 - 0 ($1.00) Equity, (File 333-173077 - Mar. 25)
(BR. 07)
S-8 AT&T INC., 208 S. AKARD ST, ATTN : JAMES LACY, DALLAS, TX, 75202,
2108214105 - 100,000,000 ($2,789,000,000.00) Equity, (File 333-173078 -
Mar. 25) (BR. 11B)
S-8 AT&T INC., 208 S. AKARD ST, ATTN : JAMES LACY, DALLAS, TX, 75202,
2108214105 - 90,000,000 ($2,510,100,000.00) Equity, (File 333-173079 -
Mar. 25) (BR. 11B)
S-1 REMY INTERNATIONAL, INC., 600 CORPORATION DRIVE, PENDLETON, IN, 46064,
800-372-3555 - 0 ($100,000,000.00) Equity, (File 333-173081 - Mar. 25)
(BR. 05C)
S-8 Atlas Energy, L.P., 110 W. 7TH, SUITE 2300, TULSA, OK, 74119,
918-574-3549 - 0 ($117,792,500.00) Equity, (File 333-173082 - Mar. 25)
(BR. 02A)
S-8 FUNDTECH LTD, C/O FUNDTECH CORP, 30 MONTGOMERY ST STE 501, JERSEY CITY,
NJ, 07302, 2019461100 - 750,000 ($13,177,500.00) Equity,
(File 333-173083 - Mar. 25) (BR. 03B)
S-8 ACCENTIA BIOPHARMACEUTICALS INC, 324 SOUTH HYDE PARK AVE, SUITE 350,
TAMPA, FL, 33606, 8138642562 - 0 ($27,112,323.39) Equity,
(File 333-173091 - Mar. 25) (BR. 01B)
S-8 BIOVEST INTERNATIONAL INC, 324 S HYDE PARK AVE, SUITE 350, TAMPA, FL,
33606, 813-864-2554 - 0 ($21,166,781.66) Equity, (File 333-173092 -
Mar. 25) (BR. 01B)
S-8 PC MALL INC, 2555 WEST 190TH STREET, TORRANCE, CA, 90504, 3103545600 -
0 ($3,619,038.00) Equity, (File 333-173093 - Mar. 25) (BR. 02C)
F-9 THOMSON REUTERS CORP /CAN/, 3 TIMES SQUARE, NEW YORK, NY, 10036,
6462234000 - 3,000,000,000 ($3,000,000,000.00) Debt, (File 333-173094 -
Mar. 25) (BR. 05C)
S-8 ALIMERA SCIENCES INC, 6120 WINDWARD PARKWAY, STE 290, ALPHARETTA, GA,
30005, 6789905740 - 0 ($8,733,878.96) Equity, (File 333-173095 -
Mar. 25) (BR. 01C)
S-4 FTI CONSULTING INC, 500 EAST PRATT STREET, SUITE 1400, BALTIMORE, MD,
21202, 561- 515-1900 - 0 ($400,000,000.00) Other, (File 333-173096 -
Mar. 25) (BR. 08A)
S-8 NATIONAL RESEARCH CORP, 1245 Q STREET, LINCOLN, NE, 68508, 4024752525 -
300,000 ($9,244,500.00) Equity, (File 333-173097 - Mar. 25) (BR. 01B)
S-3 DARA BioSciences, Inc., 8601 SIX FORKS ROAD SUITE 160, RALEIGH, NC,
27615, 919-861-0202 - 0 ($30,000,000.00) Unallocated (Universal) Shelf,
(File 333-173098 - Mar. 25) (BR. 01B)
S-3 KRATOS DEFENSE & SECURITY SOLUTIONS, INC., 4820 EASTGATE MALL, .,
SAN DIEGO, CA, 92121, 858-812-7300 -
0 ($300,000,000.00) Unallocated (Universal) Shelf, (File 333-173099 -
Mar. 25) (BR. 11A)
N-2 LEGG MASON PERMAL GLOBAL ALTERNATIVES FUND INC., 55 WATER STREET,
NEW YORK, NY, 10041, 888-777-0102 - 0 ($1,000,000.00) Equity,
(File 333-173101 - Mar. 25) (BR. 16)
S-4 Affinion Group, Inc., 6 HIGH RIDGE PARK, STAMFORD, CT, 06905,
(203) 956-1000 - 0 ($471,461,250.00) Non-Convertible Debt,
(File 333-173103 - Mar. 25) (BR. 03A)
S-3D Apartment Trust of America, Inc., 4901 DICKENS ROAD, SUITE 101,
RICHMOND, VA, 23230, 804-237-1335 - 0 ($95,000,000.00) Equity,
(File 333-173104 - Mar. 25) (BR. 08A)
S-4 Affinion Group Holdings, Inc., 6 HIGH RIDGE PARK, STAMFORD, CT, 06905,
(203) 956-1000 - 0 ($320,287,500.00) Non-Convertible Debt,
(File 333-173105 - Mar. 25) (BR. 03A)
S-4 HUNTSMAN INTERNATIONAL LLC, 500 HUNTSMAN WAY, SALT LAKE CITY, UT,
84108, 8015845700 - 0 ($530,000,000.00) Other, (File 333-173106 -
Mar. 25) (BR. 06A)
S-1 IntraLinks Holdings, Inc., C/O INTRALINKS, INC.,
150 E. 42ND STREET, 8TH FLOOR, NEW YORK, NY, 10017, 212-543-7700 -
0 ($279,864,000.00) Equity, (File 333-173107 - Mar. 25) (BR. 03B)
S-1 Marina Biotech, Inc., 3830 MONTE VILLA PARKWAY, BOTHELL, WA, 98021,
4259083600 - 0 ($15,000,000.00) Equity, (File 333-173108 - Mar. 25)
(BR. 01B)
S-3 BGC Partners, Inc., 499 PARK AVENUE, NEW YORK, NY, 10022,
212-610-2200 - 0 ($93,600,000.00) Equity, (File 333-173109 - Mar. 25)
(BR. 08C)
F-3 BIRKS & MAYORS INC., 1240 SQUARE PHILLIPS, MONTREAL, A8, H3B 3H4,
5143972511 - 0 ($1,308,810.66) Equity, (File 333-173110 - Mar. 25)
(BR. 02C)
S-4 PETROHAWK ENERGY CORP, 1000 LOUISIANA SUITE 5600, HOUSTON, TX, 77002,
8322042700 - 0 ($400,000,000.00) Debt, (File 333-173111 - Mar. 25)
(BR. 04A)
S-4 ACCELLENT INC, 200 WEST 7TH AVE, COLLEGEVILL, PA, 19426, 866-899-1392 -
0 ($315,000,000.00) Non-Convertible Debt, (File 333-173112 - Mar. 25)
(BR. 10A)
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
A123 SYSTEMS, INC. DE 8.01,9.01 03/28/11
AgFeed Industries, Inc. NV 5.02,9.01 03/22/11
AGILYSYS INC OH 5.02,9.01 03/25/11
AGY Holding Corp. DE 2.02,9.01 03/25/11
ALASKA PACIFIC BANCSHARES INC AK 2.02,9.01 03/28/11
ALLIANCE ONE INTERNATIONAL, INC. VA 5.02,5.03,9.01 03/23/11
Alpha Natural Resources, Inc. DE 9.01 03/28/11
ALPHATRADE COM NV 1.03 03/28/11
Altra Holdings, Inc. DE 3.01 03/18/11 AMEND
AMERICAN APPAREL, INC DE 1.01,3.02,3.03,9.01 03/24/11
AMERICAN APPAREL, INC DE 3.01,9.01 03/22/11
AMERICAN DEFENSE SYSTEMS INC DE 2.01,9.01 03/22/11
AMERICAN EXPRESS CO NY 7.01 03/28/11
American Tire Distributors Holdings, 5.02 03/24/11
AMERISTAR CASINOS INC NV 1.01,9.01 03/25/11
ANADIGICS INC DE 5.02,9.01 03/28/11
Apollo Senior Floating Rate Fund Inc. 8.01,9.01 03/24/11
Approach Resources Inc DE 7.01,9.01 03/28/11
ARCA biopharma, Inc. DE 5.02 03/22/11
ARES CAPITAL CORP MD 1.01,2.03,3.02,8.01, 03/28/11
9.01
ARGENTEX MINING CORP DE 8.01,9.01 03/28/11
ARIAD PHARMACEUTICALS INC DE 8.01,9.01 03/28/11
ASSOCIATED BANC-CORP WI 8.01,9.01 03/28/11
ATMEL CORP DE 5.02 03/24/11
ATTUNE RTD NV 4.01,9.01 01/14/11 AMEND
AVI BIOPHARMA INC OR 5.02,9.01 03/23/11
BANK JOS A CLOTHIERS INC /DE/ DE 7.01,9.01 03/28/11
BCS Solutions, Inc. FL 5.03,9.01 03/28/11
BEHRINGER HARVARD MID TERM VALUE ENHA TX 1.01,3.03,5.03,9.01 03/22/11
BigBand Networks, Inc. DE 5.02,9.01 03/25/11
BIMINI CAPITAL MANAGEMENT, INC. MD 2.02,9.01 03/24/11
BIOLARGO, INC. DE 1.01,9.01 03/24/11
BIOPHARM ASIA, INC. NV 1.01,7.01,9.01 03/25/11
BOTETOURT BANKSHARES INC VA 2.02,9.01 03/28/11
BROOKFIELD HOMES CORP DE 5.07,7.01,9.01 03/25/11
BROWN SHOE CO INC NY 7.01,9.01 03/28/11
Buddha Steel, Inc. DE 1.01,1.02,4.02,5.06, 03/28/11
9.01
BUILD A BEAR WORKSHOP INC DE 5.02,9.01 03/22/11
Burlington Coat Factory Investments H 5.02 03/28/11
CANTERBURY PARK HOLDING CORP MN 2.02,9.01 03/28/11
CAPSTEAD MORTGAGE CORP MD 7.01,9.01 03/25/11
CHDT CORP FL 7.01,9.01 03/28/11
Chemtura CORP DE 1.01,2.03,9.01 03/22/11
China Century Dragon Media, Inc. DE 3.01,4.01,4.02,7.01, 03/22/11
8.01,9.01
China Direct Industries, Inc. FL 7.01,9.01 03/28/11
CHINA FUND INC MD 7.01,9.01 02/28/11
China Shandong Industries, Inc. DE 5.03,9.01 03/25/11
China Shengda Packaging Group Inc. NV 2.02,7.01,9.01 03/28/11
CHOICE HOTELS INTERNATIONAL INC /DE DE 7.01,9.01 03/28/11
CIBER INC DE 1.01,5.02,9.01 03/28/11
CIENA CORP DE 5.07 03/23/11
CISCO SYSTEMS INC CA 8.01 03/24/11
CLAIBORNE LIZ INC DE 2.02,8.01,9.01 03/28/11
CLAIBORNE LIZ INC DE 7.01,9.01 03/28/11
Coleman Cable, Inc. DE 8.01,9.01 03/28/11
Colfax CORP DE 5.02,9.01 03/24/11
COMFORT SYSTEMS USA INC 5.02,9.01 03/24/11
COMMUNITY BANCORP /VT VT 8.01,9.01 03/22/11
COMMUNITY BANK SYSTEM INC DE 8.01,9.01 03/25/11
CONSPIRACY ENTERTAINMENT HOLDINGS INC UT 1.01,2.03,3.02,9.01 03/11/11
COVANTA HOLDING CORP DE 2.01,9.01 03/28/11
CRACKER BARREL OLD COUNTRY STORE, INC TN 1.01,1.02,5.02 03/28/11
CRAFT BREWERS ALLIANCE, INC. WA 1.01,9.01 03/27/11
CreXus Investment Corp. MD 8.01,9.01 03/28/11
CROSS COUNTRY HEALTHCARE INC DE 5.02 03/28/11
CSS INDUSTRIES INC DE 5.02 03/22/11
CTD HOLDINGS INC FL 1.01,2.03,9.01 03/22/11
Cyalume Technologies Holdings, Inc. DE 2.02,9.01 03/28/11
DAIS ANALYTIC CORP 1.01,2.03,3.02,9.01 03/23/11
DARLING INTERNATIONAL INC DE 1.01,9.01 03/25/11
Deer Consumer Products, Inc. NV 8.01,9.01 03/28/11
DELTA MUTUAL INC DE 7.01 03/28/11
DELTATHREE INC DE 2.03 03/28/11
DEPOMED INC CA 8.01 03/25/11
DIAMOND OFFSHORE DRILLING INC DE 7.01 03/04/11
DigiPath,Inc. NV 1.01,3.02 03/23/11
DOVER Corp DE 8.01 03/28/11
DOVER SADDLERY INC 1.01,2.03,7.01 03/28/11
DTE ENERGY CO MI 7.01,9.01 03/28/11
EASTMAN KODAK CO NJ 8.01 03/25/11
EBAY INC DE 7.01,9.01 03/27/11
ECOLOGY COATINGS, INC. NV 5.02 03/28/11
EL CAPITAN PRECIOUS METALS INC NV 8.01 03/18/11
ELECTRONIC SYSTEMS TECHNOLOGY INC WA 8.01,9.01 03/24/11
EnteroMedics Inc 1.01,8.01,9.01 03/28/11
Environmental Infrastructure Holdings DE 8.01 03/25/11
ESSA Bancorp, Inc. PA 5.02,9.01 03/22/11
Federal Home Loan Bank of Dallas 2.03,9.01 03/22/11
FEMALE HEALTH CO WI 5.07 03/24/11
FINISAR CORP DE 1.01,9.01 03/22/11
FIRST WEST VIRGINIA BANCORP INC WV 2.02,9.01 03/25/11
FLATBUSH FEDERAL BANCORP INC 2.02,9.01 03/28/11
FLOTEK INDUSTRIES INC/CN/ DE 7.01,9.01 03/28/11
Ford Credit Floorplan Master Owner Tr DE 6.04 03/23/11
FUEL TECH, INC. DE 5.02,9.01 03/22/11
FULL HOUSE RESORTS INC DE 1.02,7.01,9.01 03/24/11
FUQI INTERNATIONAL, INC. DE 7.01,9.01 03/28/11
GenMark Diagnostics, Inc. DE 1.01,5.02,9.01 03/24/11
GENOMIC HEALTH INC 5.02 03/23/11
GEORESOURCES INC CO 7.01,9.01 03/25/11
GILEAD SCIENCES INC DE 1.01,9.01 03/23/11
GLADSTONE COMMERCIAL CORP MD 1.01,9.01 03/25/11
Global Gate Property Corp. NV 4.02 03/14/11
Global Indemnity plc L2 5.02 03/28/11
GLOBALSCAPE INC DE 8.01 03/28/11
Golden Growers Cooperative MN 5.07 03/24/11
GOLDMAN SACHS GROUP INC DE 9.01 03/28/11
GOODYEAR TIRE & RUBBER CO /OH/ OH 8.01 03/28/11
Graymark Healthcare, Inc. OK 2.02,9.01 03/28/11
GREENBRIER COMPANIES INC DE 2.02,7.01 03/28/11
GSI COMMERCE INC DE 1.01,3.03,5.02,7.01, 03/25/11
8.01,9.01
GSI GROUP INC A3 2.02,9.01 03/28/11
HALLMARK FINANCIAL SERVICES INC NV 1.01,9.01 03/25/11
Harry & David Holdings, Inc. DE 1.01,1.03,2.04,7.01, 03/27/11
9.01
HAWAIIAN ELECTRIC INDUSTRIES INC HI 2.03,9.01 03/24/11
HCP, INC. MD 1.02,8.01,9.01 03/22/11
HEALTHCARE REALTY TRUST INC MD 1.02 03/28/11
HEALTHMED SERVICES LTD NV 1.01,2.01,5.01,5.02 03/23/11
HEINZ H J CO PA 7.01,9.01 03/28/11
Hellenic Solutions Corp E9 1.01,2.03,3.02,5.01, 03/22/11
5.02,9.01
HELMERICH & PAYNE INC DE 7.01,9.01 03/28/11
HERITAGE OAKS BANCORP CA 5.02,9.01 03/23/11
HERTZ GLOBAL HOLDINGS INC 8.01,9.01 03/28/11
HEWLETT PACKARD CO DE 5.03,5.07 03/23/11
Highpower International, Inc. DE 2.02,7.01,9.01 03/28/11
HOT TOPIC INC /CA/ CA 2.02,2.05,5.02,7.01, 03/28/11
9.01
HUDSON CITY BANCORP INC DE 2.01,9.01 03/23/11
IMPERIAL INDUSTRIES INC DE 2.02,9.01 03/28/11
Inland American Real Estate Trust, In MD 7.01,9.01 03/28/11
INNODATA ISOGEN INC DE 5.02 03/28/11
INPHI Corp DE 9.01 03/28/11
INTEGRATED ENVIRONMENTAL TECHNOLOGIES NV 4.02 03/24/11
INTER PARFUMS INC DE 1.01 03/28/11
Iron Eagle Group, Inc. DE 3.02,8.01 02/04/11
IVAX DIAGNOSTICS INC DE 2.02,9.01 03/28/11
IXIA CA 5.02,9.01 03/22/11
JAZZ PHARMACEUTICALS INC DE 5.02 03/25/11
JOHNSON CONTROLS INC WI 5.07 01/26/11 AMEND
JONES GROUP INC PA 5.02 03/24/11
KENDLE INTERNATIONAL INC OH 5.02 03/24/11
Kennedy-Wilson Holdings, Inc. DE 7.01,8.01,9.01 03/28/11
KENT FINANCIAL SERVICES INC NV 7.01,9.01 03/28/11
KENT INTERNATIONAL HOLDINGS INC NV 1.01,2.01,5.06,9.01 03/22/11
LAKES ENTERTAINMENT INC MN 7.01,9.01 03/25/11
LEARNING TREE INTERNATIONAL INC DE 5.07 03/23/11
LECTEC CORP /MN/ MN 1.01,9.01 03/23/11
Lightwave Logic, Inc. NV 7.01,9.01 03/28/11
LITHIA MOTORS INC OR 7.01,8.01,9.01 03/28/11
LKQ CORP DE 1.01,2.03,9.01 03/25/11
LTC PROPERTIES INC MD 7.01,9.01 03/28/11
LTX-CREDENCE CORP MA 1.02,8.01,9.01 03/25/11
LUBRIZOL Corp OH 8.01,9.01 03/28/11
LUBRIZOL Corp OH 8.01,9.01 03/28/11
lululemon athletica inc. DE 8.01,9.01 03/28/11
MACATAWA BANK CORP MI 5.07,7.01,9.01 03/25/11
MAGNUM HUNTER RESOURCES CORP DE 1.01,8.01,9.01 03/25/11
Majestic Capital, Ltd. 8.01,9.01 03/28/11
MARRIOTT INTERNATIONAL INC /MD/ DE 2.02,9.01 03/28/11
MCMORAN EXPLORATION CO /DE/ DE 7.01,8.01,9.01 03/28/11
MEADWESTVACO Corp DE 7.01,9.01 03/28/11
MEDCO HEALTH SOLUTIONS INC DE 7.01 03/28/11
MEDQUIST INC NJ 3.01,5.02,9.01 03/23/11
Meiguo Ventures I, Inc. 5.01 03/23/11
MENTOR GRAPHICS CORP OR 8.01,9.01 03/28/11
MERCER INSURANCE GROUP INC PA 2.01,3.02,3.03,5.01, 03/28/11
5.02,5.03,9.01
MERISEL INC /DE/ DE 1.01,5.01,5.02,7.01, 03/21/11
9.01
METRO BANCORP, INC. 5.02 03/28/11
MMEX Mining Corp 3.02,5.03,8.01,9.01 03/22/11
MONMOUTH REAL ESTATE INVESTMENT CORP MD 5.02 03/28/11
NABORS INDUSTRIES LTD D0 8.01,9.01 03/28/11
NANOSPHERE INC DE 5.02,9.01 03/22/11
NATIONAL FUEL GAS CO NJ 7.01,9.01 03/28/11
Neonode, Inc DE 3.03,5.03,9.01 03/25/11
Net Savings Link, Inc. NV 7.01,9.01 03/28/11
nFinanSe Inc. 1.01,9.01 03/22/11
Nielsen Holdings N.V. P7 1.01,2.03 03/23/11
NIVS IntelliMedia Technology Group, I DE 7.01,8.01,9.01 03/28/11
Noble Corp / Switzerland V8 7.01,9.01 03/28/11
NORTHERN OIL & GAS, INC. 7.01,9.01 03/28/11
NOVELL INC DE 8.01 03/23/11
Nutrastar International Inc. NV 2.02,7.01,9.01 03/28/11
Oasis Petroleum Inc. DE 8.01 03/25/11
OCEANEERING INTERNATIONAL INC DE 7.01 03/25/11 AMEND
OCZ TECHNOLOGY GROUP INC DE 1.01,2.01,2.02,7.01, 03/22/11
9.01
OGLETHORPE POWER CORP GA 5.02 03/28/11
OMEGA PROTEIN CORP NV 8.01,9.01 03/25/11
ON THE MOVE SYSTEMS CORP. FL 1.01,2.01,9.01 03/25/11
ONYX PHARMACEUTICALS INC DE 8.01 03/28/11
OPNEXT INC 5.02 03/22/11
Optex Systems Holdings Inc DE 1.01,9.01 03/22/11
OPTICAL CABLE CORP VA 8.01,9.01 03/28/11
Oraco Resources, Inc. NV 1.01,9.01 03/25/11
ORAMED PHARMACEUTICALS INC. NV 8.01,9.01 03/28/11
Owens Corning DE 5.02 03/24/11
Pacific Ethanol, Inc. DE 2.02,9.01 03/28/11
PACIFIC OFFICE PROPERTIES TRUST, INC. MD 7.01 03/28/11
PAPA JOHNS INTERNATIONAL INC DE 5.02,9.01 03/25/11 AMEND
Patient Safety Technologies, Inc DE 1.01,9.01 03/25/11
PEABODY ENERGY CORP DE 7.01,9.01 03/28/11
Pebblebrook Hotel Trust MD 1.01 03/22/11
PENN MILLERS HOLDING CORP 2.02,9.01 03/28/11
Pet Airways Inc. IL 2.02,9.01 03/28/11
PETSMART INC DE 5.02,9.01 03/22/11 AMEND
PFSWEB INC DE 8.01 03/23/11
Pharmasset Inc 5.07 03/23/11
PHARMATHENE, INC DE 2.02,9.01 03/28/11
PHH CORP MD 8.01,9.01 03/25/11
Phillips Edison - ARC Shopping Center MD 7.01,8.01 03/23/11
PHILLIPS VAN HEUSEN CORP /DE/ DE 2.02,9.01 03/28/11
Phreadz, Inc. NV 8.01,9.01 02/28/11
PIONEER NATURAL RESOURCES CO DE 7.01 03/28/11
PNM RESOURCES INC NM 5.02 03/28/11
Pregis Holding II CORP DE 1.01,1.02,2.03 03/23/11
PRIVATEBANCORP, INC DE 7.01,9.01 03/28/11
PROGRESS SOFTWARE CORP /MA MA 2.02,9.01 03/28/11
PROVIDENCE & WORCESTER RAILROAD CO/RI RI 4.02 03/28/11
PROVIDENCE SERVICE CORP DE 5.02,9.01 03/22/11
PTS INC/NV/ NV 5.03,9.01 03/25/11
PUBLIC SERVICE ENTERPRISE GROUP INC NJ 7.01,9.01 03/28/11
PULTEGROUP INC/MI/ MI 1.02,9.01 03/25/11
Reach Messaging Holdings, Inc. DE 5.02,9.01 02/02/11
RED HAT INC DE 5.02,9.01 03/22/11
Regency Energy Partners LP DE 1.01,3.02,7.01,9.01 03/23/11
REPROS THERAPEUTICS INC. DE 2.02,9.01 03/28/11
RETAIL VENTURES INC OH 2.02,9.01 03/28/11
RigNet, Inc. DE 2.02,9.01 03/28/11
ROBBINS & MYERS, INC. OH 5.07 03/22/11
Rock-Tenn CO GA 8.01,9.01 03/28/11
Rongfu Aquaculture, Inc. NV 4.01,9.01 03/23/11
Rongfu Aquaculture, Inc. NV 4.02 12/08/10 AMEND
Sanswire Corp. DE 1.01,9.01 03/22/11
SCHIFF NUTRITION INTERNATIONAL, INC. DE 9.01 03/25/11 AMEND
SCHLUMBERGER LTD /NV/ P8 7.01,9.01 03/28/11
SERVICEMASTER CO DE 2.02,7.01,9.01 03/28/11
SES SOLAR INC. 8.01 03/28/11
SIGNATURE GROUP HOLDINGS INC NV 8.01 03/22/11
SILICON LABORATORIES INC DE 5.02,9.01 03/28/11
SKYWORKS SOLUTIONS INC DE 5.03,9.01 03/28/11
Solera National Bancorp, Inc. DE 5.02 03/22/11
SOUPMAN, INC. DE 4.01,9.01 03/07/11 AMEND
SOUTHWALL TECHNOLOGIES INC /DE/ DE 2.02,9.01 03/28/11
Spansion Inc. DE 1.01 03/23/11
STAAR SURGICAL CO DE 7.01,9.01 03/28/11
STARBUCKS CORP WA 5.02,5.07 03/23/11
STEELE RESOURCES CORP NV 1.01,9.01 03/23/11
SuccessFactors, Inc. DE 5.03 03/22/11
Summer Infant, Inc. DE 1.01,2.01,2.03,3.02, 03/24/11
9.01
SUPERGEN INC DE 5.02 03/28/11
TALON INTERNATIONAL, INC. DE 2.02,9.01 03/28/11
TearLab Corp DE 2.02,9.01 03/28/11
TearLab Corp DE 5.02 08/27/10
TECHNOLOGY RESEARCH CORP FL 1.01,3.03,7.01,9.01 03/28/11
TELEDYNE TECHNOLOGIES INC DE 5.02 03/28/11
TELEFLEX INC DE 1.01,2.01,9.01 03/22/11
TESCO CORP 3.01 03/24/11 AMEND
TESORO CORP /NEW/ DE 7.01,9.01 03/28/11
TESSERA TECHNOLOGIES INC DE 7.01,9.01 03/28/11
Texas Rare Earth Resources Corp. NV 5.02,9.01 03/22/11
TEXTRON INC DE 1.01,1.02,2.03,9.01 03/23/11
THT Heat Transfer Technology, Inc. NV 2.02,7.01,9.01 03/28/11
TIDEWATER INC DE 8.01,9.01 03/22/11
TNP Strategic Retail Trust, Inc. MD 5.02,9.01 03/24/11
TPC Group Inc. DE 5.02,9.01 03/25/11
TransDigm Group INC DE 1.01,9.01 03/25/11
Triangle Petroleum Corp NV 7.01,9.01 03/28/11
TYCO INTERNATIONAL LTD V8 1.01,1.02,2.03,9.01 03/24/11
UIL HOLDINGS CORP CT 8.01,9.01 03/24/11
UNIFI INC NY 4.01,9.01 03/22/11
UNITED FIRE & CASUALTY CO IA 2.01,9.01 03/28/11
Universal Solar Technology, Inc. NV 5.02,9.01 03/28/11
VALERO ENERGY CORP/TX DE 7.01,9.01 03/28/11
VERIGY HOLDING CO. LTD. U0 1.01,1.02,5.02,8.01, 03/25/11
9.01
Verigy Ltd. U0 1.01,1.02,5.02,8.01, 03/25/11
9.01
Viacom Inc. DE 8.01,9.01 03/24/11
VISA INC. DE 8.01,9.01 03/25/11
VisiTrade, Inc. NV 1.01,5.03,8.01,9.01 03/28/11
VISTEON CORP DE 7.01,8.01,9.01 03/28/11
VOLKSWAGEN AUTO LEASE/LOAN UNDERWRITT DE 8.01,9.01 03/24/11
Walter Energy, Inc. DE 8.01,9.01 03/24/11
WALTER INVESTMENT MANAGEMENT CORP MD 7.01,8.01,9.01 03/28/11
WELLCARE HEALTH PLANS, INC. DE 5.02,9.01 03/24/11
Winland Ocean Shipping Corp TX 3.03,5.03,9.01 03/22/11
Xenacare Holdings, Inc. FL 5.02,8.01,9.01 03/24/11
XL GROUP PLC L2 1.01,2.03,9.01 03/25/11
Zayo Group LLC DE 5.02,9.01 03/24/11
Zep Inc. DE 8.01 03/24/11
http://www.sec.gov/news/digest/2011/dig032911.htm
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