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Commission announcementsSEC Seeks Public Comment on Effective Investor Education ProgramsThe Securities and Exchange Commission today published on its website a request for public comment on the effectiveness of existing investor education efforts as part of a review mandated by the Dodd-Frank Wall Street Reform and Consumer Protection Act. Section 917 of the Dodd-Frank Act directs the SEC to conduct a study of retail investors’ financial literacy and submit its findings to Congress by July 21, 2012. Among other things, Section 917 states that the study must identify “the most effective existing private and public efforts to educate investors.” The Commission is seeking public comment to better understand the details and effectiveness of current programs to help ensure that the study includes all relevant programs. “We want to know more about what’s out there and what’s working in the world of investor education,” said Lori J. Schock, Director of the SEC’s Office of Investor Education and Advocacy. The public comment period will remain open for 60 days following publication of the request in the Federal Register. As part of its investor education effort, the SEC recently upgraded its Investor.gov website devoted exclusively to investor education. The site has been redesigned and expanded with more information about a variety of topics including how to research investments and investment professionals, understand fees, and prepare for life events. The updated Investor.gov also includes materials targeted to such specific groups as members of the military, teachers, and retirees. Videos, interactive quizzes, and additional investor education resources are expected to be added to the website in coming months. (Press Rel. 2011-93) Enforcement proceedingsFederal Court Enters Order Finding Robert Glenn Bard in ContemptThe Commission announced that on April 12, 2011, United States District Judge William C. Caldwell of the United States District Court for the Middle District of Pennsylvania entered a stipulated order finding defendant Robert Glenn Bard in contempt based on Bard’s receipt of funds, control of client accounts, and participation in income activities in the financial services sector in violation of two of the Court’s previous orders. The Court ordered Bard to provide a verified accounting listing his clients and assets acquired since Aug. 11, 2009, and further ordered him to provide a notice to all clients informing them that he had been held in contempt, and that he was prohibited from controlling client money or working in the financial services sector. The Commission previously filed a civil injunctive action against Bard and his investment advisory firm, Vision Specialist Group, alleging that defendants had violated the federal securities laws through fraudulent misrepresentations regarding client investments, account performance and advisory fees, the creation of false client account statements, and forgery of client documents. The case is currently set for trial in August 2011. [SEC v. Robert Glenn Bard, et al., Civil Action No. 1:09-cv-1473 (M.D. Pa.)] (LR-21936) SEC Obtains Temporary Restraining Order, Asset Freeze and Other Relief Against Art Intellect, Inc., Patrick Merrill Brody, Laura A. Roser and Gregory D. WoodOn April 18, 2011, the Securities and Exchange Commission obtained an emergency temporary restraining order and asset freeze in an offering fraud and Ponzi scheme orchestrated by Patrick Merrill Brody (Brody) and Laura A. Roser (Roser) through Art Intellect, Inc. d/b/a Mason Hill and Virtual MG (Mason Hill), a company owned and controlled by Roser. In addition to the temporary restraining order and asset freeze, the court has appointed a receiver to preserve and marshal assets for the benefit of investors. That Receiver is Wayne Klein. The complaint alleges that, operating through Mason Hill, Brody, Roser, and Gregory D. Wood (Wood) participated in a scheme to sell investment contracts in Mason Hill in unregistered transactions, telling investors that Mason Hill will purchase distressed properties on their behalf, rehabilitate these properties, find renters for the properties and remit a guaranteed profit of 10 to 30 percent to investors on a monthly basis. The complaint further alleges that investor funds were not used to purchase properties on investors’ behalf but instead investor funds were used for Mason Hill’s operations, payments for Brody and Roser’s lavish personal expenses and that later investor funds were used to purchase properties for earlier investors, the hallmark of a classic Ponzi scheme. Mason Hill, Brody, Roser, and Wood have raised more than $2.5 million from approximately 75 investors. The Commission’s complaint charges Mason Hill, Brody, Roser and Wood with violations of Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 and Section 10(b) of the Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder, and charges Brody, Roser and Wood with violations of Section 15(a) of the Exchange Act. The complaint seeks a preliminary and permanent injunction as well as disgorgement, prejudgment interest and civil penalties from Mason Hill, Brody, Roser and Wood. [SEC v. Art Intellect, Inc., Civil No.: 2:11-cv-00357 TC (USDC Utah)] (LR-21937) Final Judgments Entered Against Former Biovail Executives Eugene Melnyk and Brian CrombieThe Securities and Exchange Commission announced today that, on April 14, 2011, the Honorable Lewis A. Kaplan of the United States District Court for the Southern District of New York entered a final consent judgment against defendant Brian Crombie, Biovail Corporation’s former chief financial officer, with respect to violations of the federal securities laws alleged by the Commission in SEC v. Biovail Corp., et al., 08 Civ. 02979, an accounting fraud case the Commission filed on March 24, 2008. Crombie consented to a final judgment that (i) permanently enjoins him from future violations of Sections 10(b) and 13(b)(5) of the Securities Exchange Act of 1934 and Exchange Act Rules 10b-5, 13b2-1 and 13b2-2 and from aiding and abetting violations of Exchange Act Sections 13(a), 13(b)(2)(A) and 13(b)(2)(B) and Rules 12b-20, 13a-1 and 13a-16; (ii) requires him to pay a civil penalty in the amount of $100,000; and (iii) bars him from serving as an officer or director of a public company for five years. Additionally, on Feb. 15, 2011, the court entered a judgment by consent against Biovail’s former chief executive officer, Eugene Melnyk, that (i) permanently enjoins Melnyk from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Exchange Act Rule 10b-5; (ii) imposes a civil penalty in the amount of $150,000; and (iii) bars Melnyk from serving as an officer or director of a public company for five years. As the Commission previously has settled all charges against the other defendants identified in the complaint, the settlements with Melnyk and Crombie provide final resolution to this matter. Biovail previously settled with the Commission by consenting to a judgment that, among other things, permanently enjoins it from violating antifraud and other provisions of the federal securities laws, imposed a $10 million civil penalty, and ordered it to pay disgorgement of $1. The Commission previously settled its claims against former Biovail vice president of corporate affairs Kenneth G. Howling by entry on Dec. 21, 2009, of a final consent judgment that permanently enjoined Howling from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Exchange Act Rule 10b-5 and imposed a civil penalty in the amount of $50,000. The Commission settled its claims against former Biovail vice president, controller and assistant secretary John Miszuk by entry on September 8, 2010, of a final consent judgment that (i) permanently enjoins him from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Exchange Act Rules 10b-5 and 13b2-1 and from aiding and abetting violations of Exchange Act Sections 13(a), 13(b)(2)(A) and 13(b)(2)(B) and Rules 12b-20, 13a-1 and 13a-16; (ii) required him to pay a civil penalty in the amount of $75,000; and (iii) bars him from serving as an officer or director of a public company for five years. [SEC v. Biovail Corporation, Eugene Melnyk, Brian Crombie, John Miszuk, and Kenneth G. Howling, 08 Civ. 02979 (LAK) (S.D.N.Y.)] (LR-21938; AAE Rel. 3271) Self-regulatory organizationsImmediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by NASDAQ OMX PHLX (SR-Phlx-2011-51) relating to Alpha Index Options has become immediately 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 18, 2011. (Rel. 34-64305) 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 TMS International Corp., 12 MONONGAHELA AVENUE, P.O. BOX 2000,
GLASSPORT, PA, 15045, 412-678-6141 - 0 ($19,359,388.50) Equity,
(File 333-173562 - Apr. 18) (BR. 06A)
F-1 CHINA MING YANG WIND POWER GROUP LTD,
Jianye Road, Mingyang Industry Park,
Natl Hi-Tech Industrial Development Zone, Zhongshan, Guangdong, PRC,
F4, 528437, 86-760-28138666 - 0 ($168,015,000.00) ADRs/ADSs,
(File 333-173563 - Apr. 18) (BR. 10A)
S-1 Peak Resorts Inc, 17409 HIDDEN VALLEY DRIVE, WILDWOOD, MO, 63025,
636-938-7474 - 0 ($40,250,000.00) Equity, (File 333-173567 - Apr. 18)
(BR. )
S-1 Technologies Scan Corp, 14517, JOSEPH-MARC-VERMETTE, MIRABEL, A8,
J7J 1X2, (450) 971-5419 - 39,150,000 ($1,957,500.00) Equity,
(File 333-173569 - Apr. 18) (BR. )
S-1 ZILLOW INC, 999 3RD AVE SUITE 4100, SEATTLE, WA, 98104, 206-470-7000 -
0 ($51,750,000.00) Equity, (File 333-173570 - Apr. 18) (BR. )
S-8 TENGION INC, 2900 POTSHOP LANE, SUITE 100, EAST NORRITON, PA, 19403,
267-960-4800 - 495,431 ($1,283,166.00) Equity, (File 333-173573 -
Apr. 18) (BR. 01A)
S-3 TENGION INC, 2900 POTSHOP LANE, SUITE 100, EAST NORRITON, PA, 19403,
267-960-4800 - 21,540,125 ($55,788,924.00) Equity, (File 333-173574 -
Apr. 18) (BR. 01A)
S-1 Infinity China 1 Acquisition Corp,
C/O INFINITY-C.S.V.C. MANAGEMENT LTD., 900 THIRD AVENUE, NEW YORK, NY,
10022, 212-317-3376 - 0 ($46,000,000.00) Equity, (File 333-173575 -
Apr. 18) (BR. )
S-3 IDENTIVE GROUP, INC., 949-250-8888 -
0 ($100,000,000.00) Unallocated (Universal) Shelf, (File 333-173576 -
Apr. 18) (BR. 03A)
S-1 Infinity China 2 Acquisition Corp,
C/O INFINITY-C.S.V.C. MANAGEMENT LTD., 900 THIRD AVENUE, NEW YORK, NY,
10022, 212-317-3376 - 0 ($46,000,000.00) Equity, (File 333-173577 -
Apr. 18) (BR. )
S-8 GNC HOLDINGS, INC., 300 SIXTH AVENUE, PITTSBURGH, PA, 15222,
(412) 288-4600 - 0 ($219,439,247.00) Equity, (File 333-173578 -
Apr. 18) (BR. 02)
S-4 LRI HOLDINGS, INC., 3011 ARMORY DRIVE, SUITE 300, NASHVILLE, TN, 37204,
615-885-9056 - 0 ($355,000,000.00) Non-Convertible Debt,
(File 333-173579 - Apr. 18) (BR. 05A)
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
99 CENTS ONLY STORES CA 2.02,9.01 04/14/11
ABRAXAS PETROLEUM CORP NV 7.01,9.01 04/18/11
ACCELERATED ACQUISITION X DE 1.01,5.03,9.01 04/18/10
AEOLUS PHARMACEUTICALS, INC. DE 1.01 04/12/11
AEP INDUSTRIES INC DE 1.01,2.03,3.03,8.01, 04/18/11
9.01
AEP INDUSTRIES INC DE 5.07 04/12/11 AMEND
AeroGrow International, Inc. NV 1.01,8.01,9.01 04/12/11
ALIMERA SCIENCES INC DE 5.02,9.01 04/14/11
Allezoe Medical Holdings Inc DE 4.01 04/18/11
AMARILLO BIOSCIENCES INC TX 5.02 04/18/11
AMARIN CORP PLC\UK X0 8.01,9.01 04/18/11
AMBASSADORS GROUP INC DE 8.01 04/14/11
AMEDISYS INC DE 7.01,9.01 04/18/11
AMERICA SERVICE GROUP INC /DE DE 8.01,9.01 04/18/11
American Environmental Energy, Inc. MN 2.01,9.01 04/06/11
AMERICAN MEDICAL SYSTEMS HOLDINGS INC DE 1.01,1.02,2.03,9.01 04/12/11
AmeriCredit Automobile Receivables Tr 1.01,9.01 04/13/11
AMICUS THERAPEUTICS INC DE 5.02,9.01 04/18/11
AMP Holding Inc. NV 1.01,3.02,9.01 12/03/10 AMEND
AMYLIN PHARMACEUTICALS INC DE 2.02,9.01 04/18/11
ANAVEX LIFE SCIENCES CORP. NV 5.02,5.07 04/11/11
ANHUI TAIYANG POULTRY CO INC DE 2.02,9.01 04/18/11
Applied Minerals, Inc. DE 3.02 04/18/11
ARADIGM CORP CA 5.02,9.01 04/15/11
ARAMARK CORP DE 1.01,2.03,8.01,9.01 04/18/11
ARCA biopharma, Inc. DE 1.01,9.01 04/15/11
ARCA biopharma, Inc. DE 1.01,9.01 04/18/11
ASHFORD HOSPITALITY TRUST INC MD 1.01,5.03,7.01,8.01, 04/13/11
9.01
AZZ INC TX 5.02 04/15/11
BADGER METER INC WI 2.02,9.01 04/18/11
BALLY TECHNOLOGIES, INC. NV 1.01,2.03,9.01 04/15/11
BANK MUTUAL CORP WI 2.02 04/14/11
BANK OF HAWAII CORP DE 2.02,9.01 04/18/11
BANKATLANTIC BANCORP INC FL 8.01,9.01 04/18/11
BASSETT FURNITURE INDUSTRIES INC VA 5.07 04/13/11
BECKMAN COULTER INC DE 8.01 04/18/11
BMB MUNAI INC NV 2.02,7.01,9.01 04/18/11
BMW Vehicle Lease Trust 2011-1 1.01,9.01 04/15/11
Bronco Drilling Company, Inc. DE 1.01,7.01,9.01 04/14/11
CAMBIUM LEARNING GROUP, INC. 1.01,5.02,9.01 04/12/11
CARDINAL FINANCIAL CORP VA 2.02,5.07,8.01,9.01 04/13/11
Cardiogenesis Corp /CA CA 8.01,9.01 04/18/11
Care Investment Trust Inc. MD 4.01 04/12/11
CCA INDUSTRIES INC DE 8.01,9.01 04/18/11
Celera CORP DE 1.01,8.01,9.01 04/18/11
Celsius Holdings, Inc. NV 2.02,8.01,9.01 04/18/11
CENTRAL VERMONT PUBLIC SERVICE CORP VT 8.01 04/15/11
Cereplast Inc NV 2.02,9.01 04/18/11
Chelsea Therapeutics International, L DE 8.01,9.01 04/18/11
CHEMICAL FINANCIAL CORP MI 2.02,9.01 04/18/11
CHINA AGRITECH INC DE 3.01,9.01 04/12/11
China Bilingual Technology & Educatio NV 7.01,9.01 04/13/11
China Growth CORP E9 1.01,2.01,3.02,4.01, 12/15/10 AMEND
5.01,5.02,5.03,5.06,
9.01
China Ritar Power Corp. UT 3.01 04/15/11
CHINA SHEN ZHOU MINING & RESOURCES, I NV 1.01,9.01 04/12/11
CITIGROUP INC DE 2.02,9.01 04/18/11
CLINICAL DATA INC DE 3.02,5.01,5.02 04/12/11
CMS ENERGY CORP MI 7.01,9.01 04/18/11
COMMERCEFIRST BANCORP INC MD 2.02,7.01,9.01 04/18/11
COMMERCIAL BARGE LINE CO DE 5.02,9.01 04/12/11
COMMUNITY BANCORP /VT VT 2.02,9.01 04/15/11
COMMUNITY HEALTH SYSTEMS INC DE 8.01,9.01 04/18/11
COMMUNITY HEALTH SYSTEMS INC DE 7.01,9.01 04/18/11
COMPUWARE CORP MI 2.02,9.01 04/13/11
CONSOL Energy Inc DE 1.01,2.01,2.03,9.01 04/12/11
Constellation Energy Partners LLC DE 7.01,8.01,9.01 04/13/11
CONTANGO OIL & GAS CO DE 2.02,9.01 04/12/11
CORCEPT THERAPEUTICS INC DE 8.01,9.01 04/15/11
CORE LABORATORIES N V P7 7.01,9.01 04/18/11
CRANE CO /DE/ DE 2.02,5.07,8.01,9.01 04/18/11
CRAY INC WA 5.02,8.01 04/13/11
CrowdGather, Inc. NV 2.01,3.02,7.01,9.01 04/15/11
CYTOKINETICS INC 8.01 04/18/11
CYTOKINETICS INC 1.01,9.01 04/18/11
DA-LITE SCREEN CO INC IN 1.01,2.01,2.04,5.01, 04/15/11
5.02,5.07,8.01,9.01
DAVE & BUSTERS INC MO 2.02,9.01 04/14/11
Deep Down, Inc. NV 2.02,9.01 04/15/11
DELTATHREE INC DE 1.01,7.01,9.01 04/14/11
Deltron, Inc. NV 4.01,9.01 04/14/11
DiamondRock Hospitality Co 2.03,7.01,9.01 04/15/11
DREW INDUSTRIES INC DE 8.01,9.01 04/18/11
DRI CORP NC 2.02,7.01,9.01 04/15/11
eHealth, Inc. DE 5.02 03/23/11
Embassy Bancorp, Inc. PA 5.02 04/15/11
EMTEC INC/NJ UT 2.02,9.01 04/15/11
ENERGY PARTNERS LTD DE 5.02 04/12/11
Energy Recovery, Inc. DE 5.02,9.01 04/15/11
ENERNOC INC DE 1.01,2.03 04/15/11
Exmovere Holdings, Inc. NV 5.02,9.01 04/08/11
FARMERS & MERCHANTS BANCORP INC OH 5.07 04/14/11
FIRST CITIZENS BANC CORP /OH OH 2.02,9.01 04/18/11
Firsthand Technology Value Fund, Inc. MD 8.01,9.01 04/18/11
FONIX CORP DE 5.02,8.01 03/30/11
FREMONT MICHIGAN INSURACORP INC MI 8.01,9.01 04/18/11
FREMONT MICHIGAN INSURACORP INC MI 8.01,9.01 04/18/11
FS Investment CORP MD 2.02,5.02,9.01 04/13/11
FUSION TELECOMMUNICATIONS INTERNATION DE 1.01,2.03 04/18/11
GAMETECH INTERNATIONAL INC DE 5.07 04/13/11
GANNETT CO INC /DE/ DE 2.02,9.01 04/18/11
GARTNER INC DE 5.02 04/13/11
Golden Minerals Co 8.01 04/13/11
GRAINGER W W INC IL 2.02,9.01 04/18/11
Graystone Co DE 8.01 04/15/11
GREEN SOLUTIONS CHINA, INC. DE 1.01,5.01,5.02,9.01 04/12/11
Hallwood Group Inc DE 2.02,9.01 04/15/11
HEALTHCARE SERVICES GROUP INC PA 8.01,9.01 04/12/11
HealthWarehouse.com, Inc. DE 2.02,9.01 04/18/11
HeartWare International, Inc. DE 8.01,9.01 04/15/11
HERCULES TECHNOLOGY GROWTH CAPITAL IN MD 1.01,2.03,3.02,8.01, 04/15/11
9.01
HESS CORP DE 1.01,1.02,2.03,9.01 04/18/11
HICKOK INC OH 1.01,2.03,5.02,9.01 04/18/11
ICU MEDICAL INC/DE DE 2.02,9.01 04/18/11
INDEPENDENT BANK CORP MA 8.01,9.01 04/15/11
INLAND REAL ESTATE CORP MD 8.01,9.01 04/14/11
INNODATA ISOGEN INC DE 5.02 04/14/11
INTEGRAMED AMERICA INC DE 7.01,9.01 04/18/11
Intellicheck Mobilisa, Inc. DE 5.02,9.01 04/12/11
J&J SNACK FOODS CORP NJ 8.01,9.01 04/18/11
JINHAO MOTOR Co NV 8.01 04/18/11
K12 INC DE 1.01,3.02,9.01 04/13/11
KBR, INC. DE 5.02,9.01 04/18/11
KERYX BIOPHARMACEUTICALS INC DE 8.01,9.01 04/18/11
KEYCORP /NEW/ OH 2.02,7.01,9.01 04/18/11
KLEVER MARKETING INC DE 2.02,9.01 12/31/10
LAM RESEARCH CORP DE 5.02 04/13/11
LENNAR CORP /NEW/ DE 5.02,5.03,5.07,9.01 04/13/11
LEXARIA CORP. NV 1.01,2.03,7.01,9.01 04/15/11
LIGAND PHARMACEUTICALS INC DE 5.02,7.01,9.01 04/18/11
LILLY ELI & CO IN 2.02,9.01 04/18/11
LITHIA MOTORS INC OR 7.01,9.01 04/18/11
LIVEPERSON INC DE 5.02,9.01 04/12/11
LOCATEPLUS HOLDINGS CORP 5.02 04/18/11
LOOKSMART LTD DE 5.02 04/18/11
LUBRIZOL Corp OH 8.01,9.01 04/18/11
M&T BANK CORP NY 2.02,9.01 04/18/11
MAD CATZ INTERACTIVE INC 1.01,3.02,9.01 04/17/11
Magnolia Solar Corp NV 8.01,9.01 04/18/11
Man AHL FuturesAccess LLC DE 3.02 04/18/11
MARSHALL EDWARDS INC DE 5.02,5.07 04/13/11
MEDISAFE 1 TECHNOLOGIES CORP DE 1.01,3.02,9.01 04/13/11
MEDTOX SCIENTIFIC INC DE 2.02,9.01 04/14/11
MFRI INC DE 5.02 04/13/11
MHI Hospitality CORP MD 1.01,2.03,3.02,3.03, 04/18/11
5.03,7.01,9.01
ML Aspect FuturesAccess LLC DE 3.02 04/18/11
ML Systematic Momentum FuturesAccess DE 3.02 04/18/11
ML Transtrend DTP Enhanced FuturesAcc DE 3.02 04/18/11
ML Winton FuturesAccess LLC DE 3.02 04/18/11
MOLINA HEALTHCARE INC DE 2.02,9.01 04/18/11
MOLSON COORS BREWING CO DE 1.01,1.02,2.03 04/12/11
MOSAIC CO DE 5.02 04/13/11
MS STRUCTURED SATURNS SERIES 2002-15 DE 8.01,9.01 04/15/11
MusclePharm Corp NV 7.01,9.01 04/18/11
MVB FINANCIAL CORP WV 5.02,9.01 04/18/11
NAVARRE CORP /MN/ MN 5.02 04/06/11 AMEND
NEOPROBE CORP DE 1.01,5.02,9.01 04/18/11
NETGEAR, INC DE 8.01,9.01 04/15/11
Neutral Tandem Inc 5.02 04/13/11
New England Bancshares, Inc. 5.02 04/12/11
NEW HAMPSHIRE THRIFT BANCSHARES INC DE 2.02,9.01 04/15/11
NEWALLIANCE BANCSHARES INC 3.01,3.03,5.01,5.02, 04/15/11
9.01
Next 1 Interactive, Inc. NV 5.02,9.01 04/05/11
NORWOOD FINANCIAL CORP PA 8.01,9.01 04/18/11
NOVAMED INC DE 7.01,9.01 04/18/11
NPS PHARMACEUTICALS INC DE 3.02 04/14/11
NUGEN HOLDINGS, INC. DE 1.01,2.03,3.02,9.01 04/12/11
NUTRI SYSTEM INC /DE/ DE 5.02 04/18/11
OFFICEMAX INC DE 5.07 04/13/11
PALM HARBOR HOMES INC /FL/ FL 1.01,9.01 04/12/11
PARK NATIONAL CORP /OH/ OH 7.01,9.01 04/18/11
PDL BIOPHARMA, INC. DE 5.02,8.01,9.01 04/13/11
PENGRAM CORP NV 7.01 04/13/11
PEOPLES BANCORP INC OH 5.02 04/18/11
Peoples Federal Bancshares, Inc. MD 5.02,9.01 04/14/11
PEOPLES FINANCIAL SERVICES CORP. PA 9.01 04/15/11
PINNACLE AIRLINES CORP DE 8.01 04/15/11
PIONEER NATURAL RESOURCES CO DE 2.02,7.01 04/18/11
Pioneer Southwest Energy Partners L.P DE 2.02,7.01 04/18/11
PONIARD PHARMACEUTICALS, INC. WA 8.01,9.01 04/12/11
PRESIDENTIAL LIFE CORP DE 5.02 04/18/11
PRICE T ROWE GROUP INC MD 5.07 04/14/11
PRINCIPAL FINANCIAL GROUP INC DE 7.01,9.01 04/18/11
RADIENT PHARMACEUTICALS Corp DE 2.02,7.01,8.01,9.01 04/18/11
REFLECT SCIENTIFIC INC UT 5.02 04/14/11
REGENERON PHARMACEUTICALS INC NY 8.01,9.01 04/18/11
RENTRAK CORP OR 5.02 04/07/11
REPUBLIC AIRWAYS HOLDINGS INC DE 5.02,9.01 04/12/11
SAKS INC TN 1.02,7.01,9.01 04/15/11
SandRidge Mississippian Trust I DE 1.01,3.02,5.03,9.01 04/12/11
SCG Financial Acquisition Corp. DE 1.01,9.01 04/12/11
SEAHAWK DRILLING, INC. DE 7.01,9.01 04/18/11
SEALY CORP DE 5.07,7.01,9.01 04/14/11
SENSIENT TECHNOLOGIES CORP WI 2.02,9.01 04/18/11
ServisFirst Bancshares, Inc. DE 2.02,9.01 04/18/11
SILGAN HOLDINGS INC DE 1.01,9.01 04/12/11
SINOBIOMED INC DE 4.01,9.01 04/14/11
STARTEK INC DE 2.02,9.01 04/18/11
STEWART ENTERPRISES INC LA 1.01,3.03,8.01,9.01 04/15/11
STREAMLINE HEALTH SOLUTIONS INC. DE 1.01,2.03,9.01 04/13/11
SULPHCO INC NV 8.01,9.01 04/15/11
TAKEDOWN ENTERTAINMENT INC. NV 7.01 04/14/11
TBS International plc L2 1.01,2.03,9.01 04/15/11
TD AMERITRADE HOLDING CORP DE 2.02,9.01 04/18/11
Technology Applications International FL 5.03,5.06,8.01,9.01 04/12/11
TELTRONICS INC DE 8.01 04/15/11
TENET HEALTHCARE CORP NV 8.01,9.01 04/18/11
Tennessee Commerce Bancorp, Inc. TN 8.01 04/18/11
TEXAS INSTRUMENTS INC DE 2.02,9.01 04/18/11
Thermon Holding Corp. DE 1.01,1.02,5.02,8.01, 04/12/11
9.01
TIBCO SOFTWARE INC DE 5.07 04/14/11
Titan Machinery Inc. DE 2.02,9.01 04/18/11
TORCH ENERGY ROYALTY TRUST DE 7.01,9.01 04/13/11
TransMontaigne Partners L.P. DE 8.01,9.01 04/18/11
Treaty Energy Corp NV 5.02,9.01 04/13/11
Tremont Fair, Inc. NV 1.01,3.02,3.03,5.03, 04/15/11
9.01
TRICO MARINE SERVICES INC DE 7.01,9.01 04/18/11
TRIPLE-S MANAGEMENT CORP 2.01,9.01 04/18/11 AMEND
TRUSTMARK CORP MS 8.01 04/15/11
Trycera Financial, Inc. NV 4.01 04/08/11
United American Petroleum Corp. NV 7.01,9.01 04/15/11
UNITED REFINING CO PA 8.01,9.01 04/14/11
UNITIL CORP NH 7.01,9.01 04/13/11
UNIVERSAL DISPLAY CORP \PA\ PA 1.01 04/18/11
UTi WORLDWIDE INC D8 3.03,5.03,8.01,9.01 04/14/11
VAIL RESORTS INC DE 1.01,9.01 04/18/11
VALSPAR CORP DE 5.02,9.01 04/13/11
Venoco, Inc. DE 1.01,9.01 04/15/11
VERTICAL HEALTH SOLUTIONS INC FL 1.01 04/15/11
ViewPoint Financial Group Inc. MD 8.01,9.01 04/15/11
VIRCO MFG CORPORATION DE 2.02,9.01 04/15/11
VISCOUNT SYSTEMS INC NV 5.03,9.01 04/18/11
Vivakor, Inc. NV 5.02 04/12/11
VONAGE HOLDINGS CORP DE 5.02 04/12/11
Warner Chilcott plc 2.05,2.06,7.01,9.01 04/14/11
WESTMOUNTAIN INDEX ADVISOR INC CO 1.01,9.01 04/07/11
WESTMOUNTAIN INDEX ADVISOR INC CO 4.01,9.01 04/15/11
Whitestone REIT TX 8.01,9.01 04/13/11
Whitestone REIT Operating Partnership DE 8.01,9.01 04/13/11
WILLIAM LYON HOMES DE 8.01 04/18/11
WILLIS GROUP HOLDINGS PLC L2 1.02 04/18/11
Wind Works Power Corp. NV 1.01,9.01 04/12/11
WINTON FUTURES FUND LP (US) CO 5.03,9.01 04/14/11
Wolverine Exploration Inc. NV 3.02,9.01 05/10/10
World Omni Auto Leasing LLC DE 8.01,9.01 12/15/09
Xun Energy, Inc. NV 2.01,5.06 04/18/11
ZIONS BANCORPORATION /UT/ UT 2.02,8.01,9.01 04/18/11
http://www.sec.gov/news/digest/2011/dig041911.htm
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