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Commission announcementsSecurities and Exchange Commission Suspends Trading in the Securities of Four Issuers for Failure to Make Required Periodic FilingsThe U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EDT on April 4, 2011, through 11:59 p.m. EDT on April 15, 2011.
The Commission temporarily suspended trading in the securities of these four issuers due to a lack of current and accurate information about the companies because they have not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act). 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 these companies. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. 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 communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-64168) Securities and Exchange Commission Suspends Trading in the Securities of Five Issuers for Failure to Make Required Periodic FilingsThe U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EDT on April 4, 2011, through 11:59 p.m. EDT on April 15, 2011.
The Commission temporarily suspended trading in the securities of these five issuers due to a lack of current and accurate information about the companies because they have not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act). 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 these companies. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. 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 communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-64170) Enforcement proceedingsCommission Orders Hearings on Registration Suspension or Revocation Against Four Companies for Failure to Make Required Periodic FilingsIn conjunction with today’s trading suspension, the Commission also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of four companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the four 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 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 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. 34-64169; File No. 3-14315) Commission Orders Hearings on Registration Suspension or Revocation Against Five Companies for Failure to Make Required Periodic FilingsIn conjunction with today’s trading suspension, the Commission also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of five companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the five 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 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 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. 34-64171; File No. 3-14316) In the Matter of Thomas H. BrudermanOn April 4, 2011, the Commission issued an Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 203(f) and 203(k) of the Investment Advisers Act of 1940 and Sections 9(b) and 9(f) of the Investment Company Act of 1940 as to Thomas H. Bruderman (Order). The Order finds that from January 1, 2002 through October 2004, Thomas H. Bruderman (Bruderman), a sector trader of FMR Co.’s (Fidelity) equity trading desk, accepted compensation prohibited by Section 17(e)(1) of the Investment Company Act from representatives of brokerage firms with which he conducted business on behalf of Fidelity. The prohibited compensation Bruderman accepted primarily consisted of private airfare and extensive entertainment at his bachelor party in Miami, travel by private jet on numerous other trips and various expensive gifts. Finally, Bruderman failed to inform any manager at Fidelity that he received drugs from brokers doing business with Fidelity, a material conflict of interest to Fidelity’s clients. As a result of the conduct described above, Bruderman willfully violated Section 17(e)(1) of the Investment Company Act and was a cause of Fidelity’s violations of Section 206(2) of the Investment Advisers Act. Based on the above, the Order censures Bruderman and orders that he cease and desist from committing or causing any violations and any future violations of Section 17(e)(1) of the Investment Company Act and Section 206(2) of the Investment Advisers Act, disgorge $205,000 in ill-gotten gains plus prejudgment interest of $74,218.18, and pay a civil monetary penalty of $70,000. Bruderman consented to the issuance of the Order without admitting or denying any of the findings in the Order, except jurisdiction, which he admitted. (Rel. IA-3184; IC-29622; File No. 3-12978) Self-regulatory organizationsImmediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by NASDAQ OMX PHLX relating to QQQQ (SR-Phlx-2011-39) 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 April 4. (Rel. 34-64165) Proposed Rule ChangeThe Options Clearing Corporation filed a proposed rule change (SR-OCC-2011-03) under Section 19(b)(1) of the Exchange Act to allow for an expansion of OCC's internal cross-margining program to include the ability of a pair of affiliated clearing members to establish an internal non-proprietary cross-margining account. Publication is expected in the Federal Register during the week of April 4. (Rel. 34-64167) 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 HELICOS BIOSCIENCES CORP, ONE KENDALL SQUARE, BUILDING 200, CAMBRIDGE,
MA, 02139, 617-649-0540 - 0 ($489,680.00) Equity, (File 333-173226 -
Apr. 1) (BR. 01B)
S-3 Oncothyreon Inc., 2601 FOURTH AVENUE, SUITE 500, SEATTLE, WA, 98121,
(206) 801-2100 - 0 ($75,000,000.00) Unallocated (Universal) Shelf,
(File 333-173227 - Apr. 1) (BR. 01C)
S-4 RADIATION THERAPY SERVICES, INC., 2270 COLONIAL BOULEVARD, FT. MYERS,
FL, 33907, 239-931-7275 - 0 ($50,000,000.00) Debt, (File 333-173228 -
Apr. 1) (BR. 01A)
S-3 Oncothyreon Inc., 2601 FOURTH AVENUE, SUITE 500, SEATTLE, WA, 98121,
(206) 801-2100 - 0 ($19,933,131.60) Equity, (File 333-173229 - Apr. 1)
(BR. 01C)
S-3 Oncothyreon Inc., 2601 FOURTH AVENUE, SUITE 500, SEATTLE, WA, 98121,
(206) 801-2100 - 0 ($28,734,815.79) Equity, (File 333-173230 - Apr. 1)
(BR. 01C)
S-11 American Capital Mortgage Investment Corp., 2 BETHESDA METRO CENTER,
14TH FLOOR, BETHESDA, MD, 20814, 301-951-6122 -
0 ($500,000,000.00) Equity, (File 333-173238 - Apr. 1) (BR. 08)
S-8 NOMURA HOLDINGS INC, 9-1 NIHONBASHI 1-CHOME, CHUO-KU 103-8645,
TOKYO JAPAN, M0, 00000, 81 3-3211-1811 - 0 ($23,683,094.00) Equity,
(File 333-173244 - Apr. 1) (BR. 08C)
S-8 Quanex Building Products CORP, 1900 WEST LOOP SOUTH, SUITE 1500,
HOUSTON, TX, 77027, 7139614600 - 2,400,000 ($46,776,000.00) Equity,
(File 333-173245 - Apr. 1) (BR. 06B)
S-8 CRH PUBLIC LTD CO, BELGARD CASTLE CLONDALKIN, DUBLIN IRELAND, L2, 22,
20,000,000 ($470,758,140.00) Equity, (File 333-173246 - Apr. 1)
(BR. 06C)
S-1 HACER, INC., E. DESERT INN ROAD, #224, LAS VEGAS, NV, 89121,
305-827-8373 - 6,000,000 ($30,000.00) Equity, (File 333-173247 -
Apr. 1) (BR. )
S-1 VALER, INC., E. DESERT INN ROAD, #224, LAS VEGAS, NV, 89121,
305-827-8373 - 6,000,000 ($30,000.00) Equity, (File 333-173248 -
Apr. 1) (BR. )
S-11 OWENS MORTGAGE INVESTMENT FUND A CALIF LTD PARTNERSHIP,
2221 OLYMPIC BLVD, P O BOX 2308, WALNUT CREEK, CA, 94595,
925-280-5393 -
80,043,274 ($80,043,274.00) Limited Partnership Interests,
(File 333-173249 - Apr. 1) (BR. 08C)
S-1 REALOGY CORP, ONE CAMPUS DRIVE, PARSIPPANY, NJ, 07054, 973-407-2000 -
0 ($2,110,241,196.00) Other, (File 333-173250 - Apr. 1) (BR. 08B)
S-8 WET SEAL INC, 26972 BURBANK, FOOTHILL RANCH, CA, 92610, 7145839029 -
0 ($20,300,000.00) Equity, (File 333-173253 - Apr. 1) (BR. 09A)
S-4 REALOGY CORP, ONE CAMPUS DRIVE, PARSIPPANY, NJ, 07054, 973-407-2000 -
0 ($631,685,298.00) Equity, (File 333-173254 - Apr. 1) (BR. 08B)
S-4 SUNGARD DATA SYSTEMS INC, SUNGARD DATA SYSTEMS INC,
680 EAST SWEDESFORD RD, WAYNE, PA, 19087, 4845825512 -
0 ($1,600,000,000.00) Non-Convertible Debt, (File 333-173255 - Apr. 1)
(BR. 03A)
S-4 AT&T INC., 208 S. AKARD ST, ATTN : JAMES LACY, DALLAS, TX, 75202,
2108214105 - 0 ($3,500,000,000.00) Non-Convertible Debt,
(File 333-173256 - Apr. 1) (BR. 11B)
N-2 TORTOISE CAPITAL RESOURCES CORP, 11550 ASH STREET, SUITE 300, LEAWOOD,
KS, 66211, 913-981-1020 - 0 ($1,000,000.00) Other, (File 333-173257 -
Apr. 1) (BR. 16)
S-8 DemandTec, Inc., ONE FRANKLIN PARKWAY, BUILDING 910, SAN MATEO, CA,
94403, 650-645-7100 - 0 ($24,576,334.48) Equity, (File 333-173258 -
Apr. 1) (BR. 03B)
S-8 DISCOVERY LABORATORIES INC /DE/, 2600 KELLY ROAD, SUITE 100,
WARRINGTON, PA, 18976, 2154889300 - 250,000 ($467,500.00) Equity,
(File 333-173259 - Apr. 1) (BR. 01A)
S-4 Lantheus Medical Imaging, Inc., 331 TREBLE COVE ROAD, NORTH BILLERICA,
MA, 01862, 978-667-9531 - 0 ($150,000,000.00) Debt, (File 333-173260 -
Apr. 1) (BR. 01A)
S-3 BIODELIVERY SCIENCES INTERNATIONAL INC, 801 CORPORATE CENTER DRIVE,
SUITE 210, RALEIGH, NC, 27607, 919 582 9050 -
4,807,693 ($15,865,386.90) Equity, (File 333-173261 - Apr. 1) (BR. 01C)
S-1 Targa Resources Corp., TARGA RESOURCES PARTNERS LP,
1000 LOUISIANA STREET, SUITE 4300, HOUSTON, TX, 77002, 713-584-1000 -
0 ($231,595,000.00) Equity, (File 333-173262 - Apr. 1) (BR. 02)
S-1 Cryoport, Inc., 20382 BARENTS SEA CIRCLE, LAKE FOREST, CA, 92630,
949-470-2300 - 0 ($41,056,385.00) Equity, (File 333-173263 - Apr. 1)
(BR. 06C)
S-1 GREENMAN TECHNOLOGIES INC, 7 KIMBALL LANE, BUILDING A, LYNNFIELD, MA,
01940, 7812242411 - 10,000,000 ($10,000,000.00) Equity,
(File 333-173264 - Apr. 1) (BR. 06A)
S-8 Converted Organics Inc., 137A LEWIS WHARF, BOSTON, MA, 02110,
617 624 0111 - 0 ($4,069,429.74) Equity, (File 333-173265 - Apr. 1)
(BR. 05A)
S-3 MARSHALL EDWARDS INC, 11975 EL CAMINO REAL, SUITE 101, SAN DIEGO, CA,
92130, 858-792-6300 - 0 ($1.00) Unallocated (Universal) Shelf,
(File 333-173266 - Apr. 1) (BR. 01C)
S-4 UNIVERSAL HEALTH SERVICES INC, 367 S GULPH RD, KING OF PRUSSIA, PA,
19406, 6107683300 - 0 ($250,000,000.00) Equity, (File 333-173267 -
Apr. 1) (BR. 01C)
S-3 PLUG POWER INC, 968 ALBANY-SHAKER ROAD, LATHAM, NY, 12110, 5187827700 -
0 ($100,000,000.00) Equity, (File 333-173268 - Apr. 1) (BR. 10C)
S-8 PLUG POWER INC, 968 ALBANY-SHAKER ROAD, LATHAM, NY, 12110, 5187827700 -
13,047,055 ($24,585,308.74) Equity, (File 333-173269 - Apr. 1) (BR. 10C)
S-8 A123 SYSTEMS, INC., ARSENAL ON THE CHARLES, 321 ARSENAL STREET,
WATERTOWN, MA, 02472, 6177785700 - 0 ($19,890,000.00) Equity,
(File 333-173270 - Apr. 1) (BR. 10A)
S-3 Primerica, Inc., 3120 BRECKINRIDGE BLVD., DULUTH, GA, 30099,
7703811000 - 0 ($2,245,370,105.00) Equity, (File 333-173271 - Apr. 1)
(BR. 01A)
S-4 ONCOR ELECTRIC DELIVERY CO LLC, 1601 BRYAN STREET, ENERGY PLAZA,
DALLAS, TX, 75201, 2144862000 -
0 ($925,683,000.00) Non-Convertible Debt, (File 333-173272 - Apr. 1)
(BR. 02C)
S-8 QUIKSILVER INC, 15202 GRAHAM STREET, HUNTINGTON BEACH, CA, 92649,
714-889-2200 - 0 ($43,400,000.00) Equity, (File 333-173273 - Apr. 1)
(BR. 09B)
N-2 KKR Global Credit Opportunities Fund, 555 CALIFORNIA STREET,
50TH FLOOR, SAN FRANCISCO, CA, 94104, 415-315-3620 -
0 ($1,000,000.00) Equity, (File 333-173274 - Apr. 1) (BR. 17)
S-4 Marina District Finance Company, Inc., ONE BORGATA WAY, ATLANTIC CITY,
NJ, 08401, (609) 317-1000 - 0 ($800,000,000.00) Non-Convertible Debt,
(File 333-173275 - Apr. 1) (BR. )
S-1 Vera Bradley, Inc., 2208 PRODUCTION ROAD, FORT WAYNE, IN, 46808,
260-482-4673 - 0 ($241,034,500.00) Equity, (File 333-173277 - Apr. 1)
(BR. 09)
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
ACADIA PHARMACEUTICALS INC DE 1.01 03/28/11
ACE Ltd V8 5.03,9.01 04/01/11
ADCARE HEALTH SYSTEMS INC OH 1.01,2.02,8.01,9.01 04/01/11 AMEND
Akeena Solar, Inc. DE 5.07,8.01 03/31/11
ALAMO GROUP INC DE 1.01,9.01 03/28/11
ALIGN TECHNOLOGY INC DE 1.01,8.01,9.01 03/29/11
Allied Nevada Gold Corp. DE 7.01,9.01 03/31/11
Alphatec Holdings, Inc. DE 1.01 03/28/11
AMC ENTERTAINMENT INC DE 2.05 03/28/11
AMERCO /NV/ NV 8.01,9.01 03/29/11
AMERICAN APPAREL, INC DE 2.02,9.01 04/01/11
American Electric Technologies Inc FL 1.01,2.02,9.01 03/30/11
AMERICAN INTERNATIONAL GROUP INC DE 5.02,9.01 03/31/11
American Liberty Petroleum Corp. NV 2.03,9.01 03/28/11
AMERICAN LITHIUM MINERALS, INC. 3.02,8.01,9.01 03/24/11
American Lorain CORP NV 2.02,9.01 03/31/11
American Realty Capital Trust, Inc. DE 2.02,9.01 04/01/11
American Standard Energy Corp. DE 1.01,9.01 03/28/11
American Standard Energy Corp. DE 1.01,3.02,9.01 03/31/11
AMERICAN STATES WATER CO CA 5.02,9.01 03/28/11
AMERICAN TELSTAR INC NV 5.03,9.01 03/28/11
AMERIGON INC MI 8.01 03/31/11
AMERIGROUP CORP 5.02 03/30/11
ANGIOTECH PHARMACEUTICALS INC 8.01,9.01 03/31/11
ANTICUS INTERNATIONAL CORP NV 5.02 03/31/11
Arcland Energy Corp UT 1.01,5.02 03/31/11
ARIBA INC DE 9.01 01/27/11 AMEND
ARUBA NETWORKS, INC. DE 5.02 04/01/11
Ascent Media CORP DE 5.02 03/29/11
ATLANTIC CITY ELECTRIC CO NJ 8.01,9.01 04/01/11
Atrinsic, Inc. DE 2.02,9.01 03/31/11
ATWOOD OCEANICS INC TX 7.01,9.01 04/01/11
Avago Technologies LTD U0 1.01,1.02,2.03,5.07 03/30/11
AVEO PHARMACEUTICALS INC DE 5.02 04/01/11
AVI BIOPHARMA INC OR 1.01,8.01,9.01 04/01/11
AWARE INC /MA/ MA 5.02,9.01 04/01/11
Axius Inc. NV 5.06,9.01 03/31/11
BAKERS FOOTWEAR GROUP INC MO 2.02,5.02,7.01,9.01 03/28/11
BALQON CORP. NV 2.02,4.02 03/29/11
BANNER CORP WA 5.03,9.01 03/29/11
BARRY R G CORP /OH/ OH 2.01,9.01 03/31/11
BEACON ENTERPRISE SOLUTIONS GROUP INC NV 2.03 03/30/11
BERKELEY COFFEE & TEA, INC. NV 5.02,8.01,9.01 03/31/11
BERKSHIRE HILLS BANCORP INC 8.01,9.01 04/01/11
BIO-PATH HOLDINGS INC UT 2.02,9.01 03/31/11
BLUEGREEN CORP MA 2.02,9.01 03/31/11
Blueknight Energy Partners, L.P. DE 7.01 04/01/11
Bohai Pharmaceuticals Group, Inc. NV 1.02,9.01 03/30/11
Boomerang Systems, Inc. DE 5.02 04/01/11
BOSTON PROPERTIES INC DE 8.01,9.01 04/01/11
BOTTOMLINE TECHNOLOGIES INC /DE/ DE 1.01,2.01,9.01 03/29/11
BRADY CORP WI 5.02,9.01 03/30/11
BRANDYWINE REALTY TRUST MD 1.01,2.03 03/31/11
Bravo Brio Restaurant Group, Inc. OH 8.01,9.01 04/01/11
Brooklyn Federal Bancorp, Inc. X1 1.01,9.01 03/31/11
BUCKEYE PARTNERS, L.P. DE 9.01 01/13/11 AMEND
CACHE INC FL 2.02,9.01 04/01/11
CALIFORNIA PIZZA KITCHEN, INC. DE 5.02 03/28/11
CAMPBELL SOUP CO NJ 8.01,9.01 03/31/11
CARVER BANCORP INC DE 3.01,9.01 03/28/11
CATALYST PHARMACEUTICAL PARTNERS, INC DE 8.01,9.01 04/01/11
CECIL BANCORP INC MD 5.07 03/30/11
CENTER BANCORP INC NJ 5.02,9.01 03/28/11
Cereplast Inc NV 2.01,9.01 03/31/11
CHARTER COMMUNICATIONS, INC. /MO/ DE 5.02,9.01 04/01/11
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01 03/31/11
CHEETAH OIL & GAS LTD. NV 7.01,9.01 04/01/11
CHEMUNG FINANCIAL CORP NY 5.02 04/01/11
CHEMUNG FINANCIAL CORP NY 8.01 04/01/11
China Biologic Products, Inc. 2.02,7.01,9.01 03/31/11
China Ceetop.com, Inc. OR 4.02 03/17/11
China Logistics Group Inc FL 2.02,9.01 04/01/11
CINTEL CORP NV 1.01,3.02,9.01 03/12/11
CITIGROUP INC DE 9.01 04/01/11
CLECO CORP LA 7.01,8.01 04/01/11
CNA SURETY CORP DE 5.02 04/01/11
COAST DISTRIBUTION SYSTEM INC DE 2.02,9.01 03/31/11
Colonial Financial Services, Inc. MD 8.01,9.01 03/30/11
COMDISCO HOLDING CO INC DE 8.01,9.01 04/01/11
COMMERCE GROUP CORP /WI/ WI 8.01 03/31/11
COMMUNITY BANK SYSTEM INC DE 8.01 03/28/11
COMPOSITE TECHNOLOGY CORP NV 1.01,9.01 03/28/11
CompuCredit Holdings Corp GA 2.01,9.01 04/01/11
COMVERSE TECHNOLOGY INC/NY/ NY 5.02,9.01 03/30/11
Converted Organics Inc. DE 1.01,2.03,3.02,9.01 04/01/11
CorMedix Inc. DE 8.01,9.01 03/31/11
CORVEL CORP DE 2.02,7.01 03/31/11
CreXus Investment Corp. MD 1.01,3.02,9.01 03/28/11
Crystal Rock Holdings, Inc. DE 5.07,9.01 03/28/11
Cyclacel Pharmaceuticals, Inc. DE 4.02,5.03,9.01 03/30/11
Cytosorbents Corp 7.01,9.01 03/31/11
DAIS ANALYTIC CORP 4.02 03/29/11
DANA HOLDING CORP DE 5.02,9.01 03/28/11
DATALINK CORP MN 1.01,2.03,9.01 03/31/11
DATAWATCH CORP DE 5.02 03/31/11
DecisionPoint Systems, Inc. DE 4.01,9.01 03/28/11
DEERE & CO DE 7.01 04/01/11
Deerfield Capital Corp. MD 2.02,9.01 03/31/11
DELCATH SYSTEMS INC DE 5.02,9.01 03/31/11
DEWMAR INTERNATIONAL BMC, INC. NV 1.01,2.01,5.02,5.03, 03/31/11 AMEND
9.01
DEXCOM INC 1.01 03/29/11
DG FastChannel, Inc DE 5.02,9.01 03/29/11
Digital Realty Trust, Inc. 8.01,9.01 04/01/11
DigitalPost Interactive, Inc. NV 1.03 03/30/11
Duke Energy CORP DE 9.01 04/01/11
DUNE ENERGY INC DE 5.02 04/01/11
DUOYUAN PRINTING, INC. WY 8.01,9.01 04/01/11
E-Debit Global Corp. CO 8.01 03/31/11
EAGLE BANCORP INC MD 5.02,9.01 03/29/11
EAGLE BANCORP INC MD 5.02 03/29/11
Eagle Bulk Shipping Inc. 8.01,9.01 03/25/11
EARTHLINK INC DE 2.01,3.02,9.01 04/01/11
EGPI FIRECREEK, INC. NV 5.02 04/01/11
Energy Future Holdings Corp /TX/ TX 8.01 04/01/11
EnergySolutions, Inc. DE 2.02,9.01 03/31/11
ENSIGN GROUP, INC 5.02 03/30/11
ESSEX PROPERTY TRUST INC MD 2.03,8.01,9.01 03/31/11
FIRST ACCEPTANCE CORP /DE/ DE 5.02,9.01 03/01/11 AMEND
FIRST CHINA PHARMACEUTICAL GROUP, INC NV 2.01,3.02,5.02,5.06, 09/15/10 AMEND
9.01
FIRST M&F CORP/MS MS 7.01,9.01 04/01/11
FORD MOTOR CO DE 8.01,9.01 04/01/11
FORD MOTOR CREDIT CO LLC DE 8.01,9.01 04/01/11
Fortegra Financial Corp DE 5.02 04/01/11
FULL HOUSE RESORTS INC DE 2.01,2.03,7.01,9.01 04/01/11
GameStop Corp. DE 8.01,9.01 04/01/11
GC China Turbine Corp. NV 2.02,7.01,9.01 04/01/11
GENUINE PARTS CO GA 7.01,9.01 04/01/11
GENVEC INC DE 5.02 03/29/11
GILEAD SCIENCES INC DE 1.01,2.03,9.01 03/30/11
GLIMCHER REALTY TRUST MD 1.01,2.03,9.01 03/30/11
GOLD CREST MINES INC NV 1.01 03/28/11
GOLDMAN SACHS GROUP INC DE 9.01 04/01/11
GOODRICH CORP NY 1.01,9.01 03/31/11
GOODYEAR TIRE & RUBBER CO /OH/ OH 3.03,5.03,8.01,9.01 03/28/11
Granite Falls Energy, LLC MN 5.07 04/01/11
Great American Group, Inc. DE 2.02,9.01 03/31/11
GREEN DOT CORP DE 1.01,2.03,5.02 03/29/11
GREEN EARTH TECHNOLOGIES INC DE 8.01 03/30/11
Green Energy Live Inc NV 8.01 03/30/11
GREEN ENVIROTECH HOLDINGS CORP. DE 1.01,2.01,3.02,5.02, 03/30/11
9.01
GREYSTONE LOGISTICS, INC. 1.01 03/28/11
GSI GROUP INC A3 2.02,9.01 03/28/11
GUIDED THERAPEUTICS INC DE 2.02,7.01,9.01 04/01/11
GulfStar Energy Corp CO 1.01,3.02,9.01 03/24/11
HAWAIIAN ELECTRIC INDUSTRIES INC HI 8.01 03/31/11
Healthsport, Inc. DE 1.01,2.03,3.02,9.01 03/24/11
Healthsport, Inc. DE 1.01,3.02,9.01 03/24/11
HEINZ H J CO PA 7.01,9.01 04/01/11
HELI ELECTRONICS CORP. NV 4.01,4.02 04/01/11
Herbst Gaming, LLC NV 2.02,9.01 04/01/11
HERTZ CORP DE 5.03,9.01 03/31/11
HERTZ GLOBAL HOLDINGS INC 1.01,5.03,9.01 03/28/11
hhgregg, Inc. DE 1.01,2.03,9.01 03/29/11
High Plains Gas, Inc. NV 1.01,9.01 04/01/11
II-VI INC PA 5.02 04/01/11
Image Metrics, Inc. NV 1.01,2.03,9.01 03/28/11
INFORMATION ANALYSIS INC VA 2.02,9.01 03/30/11
INFOSPACE INC DE 1.01,7.01,9.01 03/31/11
INGRAM MICRO INC DE 5.03,9.01 03/31/11
INTEGRATED SECURITY SYSTEMS INC DE 5.02,8.01,9.01 04/01/11
INTERCONTINENTALEXCHANGE INC 8.01,9.01 04/01/11
International Coal Group, Inc. DE 8.01,9.01 03/31/11
ISA INTERNATIONALE INC DE 4.02 09/30/10
JOY GLOBAL INC DE 5.02 03/30/11
KBS Real Estate Investment Trust II, MD 8.01,9.01 02/16/11
Kennedy-Wilson Holdings, Inc. DE 7.01,9.01 04/01/11
Keyser Resources, Inc. NV 5.02,8.01,9.01 03/28/11
Keyuan Petrochemicals, Inc. NV 4.02,7.01,9.01 04/01/11
KID BRANDS, INC NJ 2.02,9.01 04/01/11
Kraton Performance Polymers, Inc. DE 8.01,9.01 03/29/11
LACLEDE GROUP INC MO 5.07 01/27/11 AMEND
Lake Victoria Mining Company, Inc. NV 7.01,9.01 03/29/11
LECG CORP DE 3.01,8.01,9.01 03/28/11
LifeCare Holdings, Inc. DE 2.02,7.01,9.01 03/30/11
LIGHTPATH TECHNOLOGIES INC DE 1.01,9.01 03/30/11
LogMeIn, Inc. DE 8.01,9.01 04/01/11
LYFE Communications, Inc. UT 5.02,9.01 04/01/11
LyondellBasell Industries N.V. P7 8.01,9.01 03/30/11
M I HOMES INC OH 8.01,9.01 04/01/11
MCCORMICK & CO INC MD 5.07 03/30/11
MEDALLION FINANCIAL CORP DE 1.01,8.01,9.01 03/28/11
Medefile International, Inc. NV 2.02,9.01 04/01/11
MEDICINOVA INC DE 7.01 04/01/11
MEDIFAST INC DE 4.02 03/31/11
MEDIFAST INC DE 7.01,9.01 03/31/11
MEDIWARE INFORMATION SYSTEMS INC NY 7.01,9.01 03/28/11
MERCURY COMPUTER SYSTEMS INC MA 1.01,9.01 03/30/11
MERIDIAN BIOSCIENCE INC OH 5.02 03/28/11
MICREL INC CA 5.02 04/01/11
MIDAMERICAN ENERGY HOLDINGS CO /NEW/ IA 5.02 03/28/11
MIMEDX GROUP, INC. FL 2.01,9.01 01/05/11 AMEND
MIPS TECHNOLOGIES INC DE 7.01 03/31/11
MOMENTA PHARMACEUTICALS INC DE 5.02,9.01 03/28/11
Morningstar, Inc. IL 7.01 04/01/11
MORTONS RESTAURANT GROUP INC DE 5.02,9.01 03/31/11
MPG Office Trust, Inc. MD 7.01,8.01,9.01 03/31/11
MULTIBAND CORP MN 7.01,9.01 04/01/11
NASDAQ OMX GROUP, INC. DE 2.02,8.01,9.01 04/01/11
NATIONAL BANKSHARES INC VA 8.01 04/01/11
NAVIGATORS GROUP INC DE 1.01,1.02,2.03,9.01 03/28/11
NEOPROBE CORP DE 1.01,5.02,7.01,9.01 03/30/11
Nevada Property 1 LLC DE 4.01,9.01 04/01/11 AMEND
NEWS CORP 5.02,9.01 03/30/11
NEXT FUEL, INC. NV 1.01,2.01,3.02,5.01, 03/28/11
5.02,5.03,5.06,9.01
NORD RESOURCES CORP DE 8.01,9.01 03/31/11
NORTH BAY RESOURCES INC DE 3.02,9.01 03/30/11
NowAuto Group, Inc. NV 4.01,9.01 04/01/11
NUTRACEA CA 5.02,8.01,9.01 04/01/11
NYSE Euronext DE 8.01,9.01 04/01/11
O CHARLEYS INC TN 7.01,9.01 04/01/11
O REILLY AUTOMOTIVE INC 7.01,9.01 04/01/11
OFFICE DEPOT INC DE 1.01,4.02,9.01 03/28/11
OLD LINE BANCSHARES INC MD 2.01,5.02,9.01 03/29/11
PACIFIC OFFICE PROPERTIES TRUST, INC. MD 2.02,9.01 12/31/10
PALMDALE EXECUTIVE HOMES, CORP. NV 4.01,9.01 03/25/11 AMEND
PALMETTO BANCSHARES INC SC 5.02,9.01 03/30/11
PENNANTPARK INVESTMENT CORP 7.01,9.01 03/30/11
PENSKE AUTOMOTIVE GROUP, INC. DE 8.01 03/31/11
PEOPLES BANCORP INC OH 5.02 04/01/11
PEOPLES FINANCIAL SERVICES CORP. PA 9.01 04/01/11
PERFICIENT INC DE 7.01,9.01 04/01/11
PERICOM SEMICONDUCTOR CORP CA 5.02 03/28/11
PERICOM SEMICONDUCTOR CORP CA 5.02 03/28/11
PFF BANCORP INC DE 8.01,9.01 03/22/11
Pharmasset Inc 7.01,9.01 04/01/11
PLUG POWER INC DE 2.02,9.01 03/31/11
Polypore International, Inc. 5.02 04/01/11
PORTLAND GENERAL ELECTRIC CO /OR/ OR 8.01,9.01 04/01/11
POSITIVEID Corp DE 3.01 03/30/11
POWER ONE INC DE 1.01,2.03,9.01 03/29/11
PPL Corp 2.01,2.03,9.01 04/01/11
PRINCETON REVIEW INC DE 3.01 03/29/11
QUAKER CHEMICAL CORP PA 5.02 03/31/11
QUESTCOR PHARMACEUTICALS INC CA 7.01 04/01/11
REPROS THERAPEUTICS INC. DE 3.01 03/29/11
RESOURCE EXCHANGE OF AMERICA CORP. FL 1.01,2.03,3.02,9.01 03/30/11
ROYAL BANCSHARES OF PENNSYLVANIA INC PA 2.02 03/31/11
ROYAL MINES & MINERALS CORP NV 3.02,5.02,9.01 03/28/11
Rx Technologies Corp. 3.02 03/31/11
S&W Seed Co DE 1.01,2.03,8.01,9.01 04/01/11
Saguaro Resources, Inc. DE 5.02,5.03,9.01 03/28/11
SAKS INC TN 1.01,2.03,7.01,9.01 03/29/11
SALESFORCE COM INC DE 5.02 03/31/11
SAVVIS, Inc. DE 8.01 04/01/11
SavWatt USA, Inc. DE 3.02,3.03,5.03 12/01/10
SCICLONE PHARMACEUTICALS INC DE 2.02,9.01 03/31/11
SEABRIDGE FREIGHT CORP. NV 2.01,3.02,5.01,9.01 03/30/11
SEAHAWK DRILLING, INC. DE 7.01,9.01 03/31/11
SENTRY PETROLEUM LTD. 7.01,9.01 04/01/11
SERVICESOURCE INTERNATIONAL, INC. 8.01,9.01 03/30/11
ServisFirst Bancshares, Inc. DE 7.01,9.01 04/01/11
Sino Clean Energy Inc NV 2.02,9.01 03/31/11
Sino Gas International Holdings, Inc. UT 2.02,7.01,9.01 03/31/11
SkyPeople Fruit Juice, Inc FL 2.02,9.01 03/31/11
SLM CORP DE 8.01 03/31/11
Solar Park Initiatives, Inc. NV 1.01,2.03,3.02,9.01 03/29/11
SOTHEBYS DE 2.04,8.01,9.01 04/01/11
SOUTH JERSEY GAS CO/NEW NJ 8.01,9.01 03/30/11
SPARTAN MOTORS INC MI 8.01,9.01 04/01/11
SRA INTERNATIONAL INC DE 8.01,9.01 03/31/11
SRA INTERNATIONAL INC DE 8.01,9.01 04/01/11
SRA INTERNATIONAL INC DE 2.06 03/30/11
Steadfast Income REIT, Inc. MD 5.02 03/28/11
STEINWAY MUSICAL INSTRUMENTS INC DE 8.01,9.01 04/01/11
STEWART ENTERPRISES INC LA 8.01,9.01 03/31/11
STIFEL FINANCIAL CORP DE 8.01 04/01/11
Strategic Storage Trust, Inc. MD 7.01,9.01 04/01/11
Summit Hotel Properties, Inc. MD 2.02,9.01 04/01/11
SUN COMMUNITIES INC MD 2.02,9.01 04/01/11
SUN RIVER ENERGY, INC CO 5.02,5.03,8.01,9.01 03/31/11
SUPERTEL HOSPITALITY INC VA 9.01 03/31/11
SYNERGY RESOURCES CORP CO 8.01 03/31/11
TALEO CORP DE 2.01,8.01,9.01 04/01/11
THOMAS GROUP INC DE 8.01 03/30/11
THOMAS PROPERTIES GROUP INC DE 5.02,9.01 03/16/11
Thwapr, Inc. NV 5.03,5.07,9.01 03/25/11
Tianli Agritech, Inc. D8 7.01,8.01,9.01 04/01/11
TITAN INTERNATIONAL INC IL 2.01,9.01 04/01/11
TRANS LUX CORP DE 2.02,9.01 03/31/11
TRANS1 INC 5.02 03/31/11
TRIMAS CORP DE 8.01,9.01 04/01/11
ULURU INC. NV 2.02,9.01 04/01/11
Uniontown Energy Inc. NV 5.02 03/21/11
UNITED ONLINE INC DE 5.02 03/30/11
UNIVERSAL HEALTH SERVICES INC DE 8.01,9.01 04/01/11
UNIVERSAL INSURANCE HOLDINGS, INC. DE 2.02,9.01 04/01/11
UWHARRIE CAPITAL CORP NC 2.02,9.01 03/31/11
VALIDIAN CORP NV 4.01,9.01 04/01/11 AMEND
VECTREN CORP IN 8.01 03/31/11
VERENIUM CORP DE 5.02 03/31/11
VIASPACE Inc. 2.02,9.01 04/01/11
VISTEON CORP DE 8.01,9.01 03/31/11
VITRO DIAGNOSTICS INC NV 1.01,9.01 03/30/11
VLOV INC. NV 8.01,9.01 04/01/11
Vystar Corp GA 5.02 03/31/11
WELLS CORE OFFICE INCOME REIT INC 5.02,8.01 03/31/11
Wells Timberland REIT, Inc. MD 1.01,8.01,9.01 04/01/11
WELLSTONE FILTER SCIENCES INC /DE/ DE 2.01,3.02,5.06,9.01 02/24/11
WHOLE FOODS MARKET INC TX 8.01 04/01/11
WIDEPOINT CORP DE 2.02,9.01 03/28/11
Wilber CORP 8.01 03/28/11
WILLIS GROUP HOLDINGS PLC L2 1.01,9.01 03/30/11
WINLAND ELECTRONICS INC MN 8.01,9.01 03/30/11
WINTON FUTURES FUND LP (US) CO 4.01,9.01 03/28/11
X-CHANGE CORP NV 5.03,9.01 03/24/11
XCEL ENERGY INC MN 7.01 04/01/11
YOU ON DEMAND HOLDINGS, INC. NV 5.02 03/30/11
YRC Worldwide Inc. DE 5.02 03/28/11
YUHE INTERNATIONAL, INC. NV 2.02,9.01 03/31/11
ZION OIL & GAS INC DE 8.01,9.01 04/01/11
Zolon Corp FL 5.03,8.01,9.01 03/31/11
http://www.sec.gov/news/digest/2011/dig040411.htm
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