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U.S. Securities and Exchange Commission

SEC News Digest

Issue 2011-81
April 27, 2011

Commission announcements

SEC Proposes Product Definitions for Swaps

The Securities and Exchange Commission today voted unanimously to propose rules further defining the terms “swap,” “security-based swap,” and “security-based swap agreement.” 

The Commission also proposed rules regarding “mixed swaps” and books and records for “security-based swap agreements.” 

The rules were proposed jointly with the Commodity Futures Trading Commission (CFTC) and stem from the Dodd-Frank Wall Street Reform and Consumer Protection Act.

“The proposed definitions balance several policy and legal issues in a way I believe is practical, takes into account the specific nature of derivatives contracts, and is consistent with existing securities regulations,” said SEC Chairman Mary L. Schapiro.  “The proposal seeks to provide guidance in rules and interpretations by using clear and objective criteria that should clarify whether a particular instrument is a swap regulated by the CFTC, a security-based swap regulated by the SEC, or a mixed swap regulated by both agencies.”

Public comments on the rule proposal should be received within 60 days after it is published in the Federal Register.

The SEC still has several more rules it must propose under Title VII of the Dodd-Frank Act and continues to welcome comments on those rulemakings that have already been proposed.  When all of those rulemaking proposals have been completed, the SEC will consider what additional opportunity for public comment would be appropriate for its Dodd-Frank Act Title VII rules. (Press Rel. 2011-99)

SEC Proposes Rule Amendments to Remove Credit Rating References in Exchange Act Rules

The Securities and Exchange Commission today voted unanimously to propose amendments that would remove references to credit ratings in several rules under the Exchange Act. 

These proposals represent the next step in a series of actions taken under the Dodd-Frank Wall Street Reform and Consumer Protection Act to remove references to credit ratings within agency rules and, where appropriate, replace them with alternative criteria.  

Under Dodd-Frank, federal agencies must review how their existing regulations rely on credit ratings as an assessment of creditworthiness.  At the conclusion of this review, each agency is required to report to Congress on how the agency modified these references to replace them with alternative standards that the agency determined to be appropriate.

Public comments on the rule amendments should be received within 60 days after they are published in the Federal Register. (Press Rel. 2011-100)

Enforcement proceedings

In the Matter of Ronald S. Bloomfield

An Administrative Law Judge has issued a Corrected Initial Decision in Ronald S. Bloomfield, Admin. Proc. 3-13871 (April 26, 2011) as to the four Respondents remaining after the Commission accepted a settlement from Eugene Miller. See Ronald S. Bloomfield, Exchange Act Release No. 62750 (Aug. 20, 2010). The Corrected Initial Decision omits portions of the Initial Decision issued on April 14, 2011, based on concerns of the Treasury Department’s Office of Financial Crimes Enforcement. The Corrected Initial Decision finds that: (1) Ronald S. Bloomfield (Bloomfield), Victor Labi (Labi), and John Earl Martin, Sr. (Martin), willfully violated Sections 5(a) and 5(c) of the Securities Act of 1933; (2) Robert Gorgia (Gorgia) failed reasonably to supervise Bloomfield, Labi, and Martin with a view to preventing their violations within the meaning of Sections 15(b)(4) and 15(b)(6) of the Securities Exchange Act of 1934 (Exchange Act); and these four Respondents willfully aided, abetted, and caused the broker-dealer’s violations of Section 17(a) of the Exchange Act and Exchange Act Rule 17a-8.

The Initial Decision orders these four Respondents to cease and desist from future violations of the statutes and rules they violated; orders disgorgement from Bloomfield ($272,342), Labi ($152,483), and Martin ($964,868), plus prejudgment interest; bars these four Respondents from association with any broker or dealer and from participating in any offering of penny stock; and requires each to pay a $100,000 civil money penalty. (Initial Decision No. 416-A; File No. 3-13871)

In the Matter of Joshua F. Escobedo

On April 26, 2011, the Commission issued Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against Joshua F. Escobedo (Escobedo). The Order finds that Escobedo does not hold any securities licenses, and that on April 7, 2011, a judgment was entered by consent against Escobedo, permanently enjoining him from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, Sections 10(b) and 15(a) of the Exchange Act and Rule 10b-5 thereunder, in the civil action entitled Securities and Exchange Commission v. Mike Watson Capital, LLC, et al., Civil Action Number 2:11-CV-00275 (DB), in the United States District Court for the District of Utah. The Order further finds that the Commission’s complaint in the civil action alleged that, among other things, Escobedo and others engaged in the offering of Mike Watson Capital, LLC (MWC) securities, which were not registered with the Commission as required under the law, and made materially false representations to investors regarding, among other things, the intended use of the proceeds from the sale of such securities, and the real estate holdings, equity, and positive cash flow from operations of MWC, in contravention of the antifraud provisions of the federal securities laws.

Based on the above, the Order bars Escobedo from association with any broker or dealer, investment adviser, municipal securities dealer, or transfer agent, and also bars Escobedo from participating in any offering of a penny stock. Escobedo consented to the issuance of the Order without admitting or denying any of the findings in the Order, except he admitted the entry of the injunction. (Rel. 34-64344; File No. 3-14358)

Investment company act releases

Highmark Capital Management, Inc., et al.

A notice has been issued giving interested persons until May 23, 2011, to request a hearing on an application filed by HighMark Capital Management, Inc., et al., for an order under Sections 6(c) and 17(b) of the Investment Company Act for an exemption from Section 17(a) of the Act. The order would permit certain registered investment companies (Funds) to engage in principal transactions involving money market instruments with a broker-dealer that is an affiliated person of an affiliated person of the Funds. (Rel. IC-29660 - April 26)

Fairholme VP Series Fund, Inc., et al.

An order has been issued on an application filed by Fairholme VP Series Fund, Inc., pursuant to Section 6(c) of the Investment Company Act, as amended, granting relief from the provisions of Section 9(a), 13(a), 15(a) and 15(b) of the Act and Rules 6e-2(b)(15) and 6e-3(T)(b)(15) thereunder. (Rel. IC-29661 - April 26)

Self-regulatory organizations

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change filed by the New York Stock Exchange (SR-NYSE-2011-18) to amend Rule 72(d) regarding agency cross transactions 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 25. (Rel. 34-64334)

A proposed rule change filed by NYSE Amex (SR-NYSEAmex-2011-25) to amend Rule 72(d) – NYSE Amex Equities regarding agency cross transactions 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 25. (Rel. 34-64335)

A proposed rule change filed by the International Securities Exchange relating to option expiration months open for trading on the Exchange (SR-ISE-2011-26) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of April 25. (Rel. 34-64343)

Proposed Rule Changes

The Financial Industry Regulatory Authority filed a proposed rule change (SR-FINRA-2011-017) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder that proposes to amend FINRA Rule 5131 (New Issue Allocations and Distributions) to simplify the spinning provision and to delay the implementation date of paragraphs (b) and (d)(4). Publication is expected in the Federal Register during the week of April 25. (Rel. 34-64341)

NYSE Arca has filed a proposed rule change (SR-NYSEArca-2011-17) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to the listing and trading of the Madrona Forward Domestic ETF, Madrona Forward International ETF, and Madrona Forward Global Bond ETF. Publication is expected in the Federal Register during the week of April 25. (Rel. 34-64342)

Securities Act Registrations

The 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     Raptor Pharmaceutical Corp, 9 COMMERCIAL BLVD, SUITE 200, NOVATO, CA, 
        94949, 415-382-1390 - 6,000,000 ($20,820,000.00) Equity, 
        (File 333-173719 - Apr. 26) (BR. 01C)

S-3     Raptor Pharmaceutical Corp, 9 COMMERCIAL BLVD, SUITE 200, NOVATO, CA, 
        94949, 415-382-1390 - 0 ($50,000,000.00) Unallocated (Universal) Shelf, 
        (File 333-173720 - Apr. 26) (BR. 01C)

S-1     Aleris Corp, 25825 SCIENCE PARK DRIVE, SUITE 400, BEACHWOOD, OH, 44122, 
        (216) 910-3400 - 0 ($100,000,000.00) Equity, (File 333-173721 - 
        Apr. 26) (BR. )

S-1     BlueLinx Holdings Inc., 4300 WILDWOOD PARKWAY, ATLANTA, GA, 30339, 
        770-953-7000 - 0 ($60,000,000.00) Equity, (File 333-173722 - Apr. 26) 
        (BR. 06C)

S-8     Solar Park Initiatives, Inc., 818 A1A NORTH, SUITE 202,, 
        PONTE VEDRA BEACH, FL, 32082, (904) 644-6090 - 
        5,000,000 ($125,000.00) Equity, (File 333-173723 - Apr. 26) (BR. 11C)

S-8     KIMBERLY CLARK CORP, 351 PHELPS DRIVE, IRVING, TX, 75038, 9722811200 - 
        17,000,000 ($1,124,040,000.00) Equity, (File 333-173725 - Apr. 26) 
        (BR. 09A)

S-8     FIRST NIAGARA FINANCIAL GROUP INC, 6950 SOUTH TRANSIT ROAD, PO BOX 514, 
        LOCKPORT, NY, 14095, 7166257500 - 8,110,304 ($104,483,404.73) Equity, 
        (File 333-173726 - Apr. 26) (BR. 07B)

S-8     NIKE INC, ONE BOWERMAN DR, BEAVERTON, OR, 97005-6453, 5036713173 - 
        0 ($200,000,000.00) Equity, (File 333-173727 - Apr. 26) (BR. 06C)

S-1     THUNDER MOUNTAIN GOLD INC, 5248 W. CHINDEN, BOISE, ID, 83714, 
        208-658-1037 - 7,676,271 ($2,498,626.21) Equity, (File 333-173728 - 
        Apr. 26) (BR. 04A)

S-8     BOOKS A MILLION INC, 402 INDUSTRIAL LN, BIRMINGHAM, AL, 35211, 
        2059423737 - 100,000 ($433,000.00) Equity, (File 333-173729 - Apr. 26) 
        (BR. 02A)

S-3     AXA EQUITABLE LIFE INSURANCE CO, 1290 AVENUE OF THE AMERICAS, NEW YORK, 
        NY, 10104, 2125541234 - 0 ($2,000,000,000.00) Other, (File 333-173731 - 
        Apr. 26) (BR. 01A)

S-8     STRAYER EDUCATION INC, 2303 DULLES STATION BOULEVARD, HERNDON, VA, 
        20171, 703-561-1600 - 0 ($47,348,000.00) Equity, (File 333-173732 - 
        Apr. 26) (BR. 11A)

S-4     ASSOCIATED MATERIALS, LLC, 3773 STATE ROAD, CUYAHOGA FALLS, OH, 44223, 
        330 929 1811 - 0 ($730,000,000.00) Non-Convertible Debt, 
        (File 333-173733 - Apr. 26) (BR. 06C)

Recent 8K Filings

Form 8-K is used by companies to file current reports on the following events:

1.01

Entry into a Material Definitive Agreement

1.02

Termination of a Material Definitive Agreement

1.03

Bankruptcy or Receivership

2.01

Completion of Acquisition or Disposition of Assets

2.02

Results of Operations and Financial Condition

2.03

Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

2.04

Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement

2.05

Cost Associated with Exit or Disposal Activities

2.06

Material Impairments

3.01

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

3.02

Unregistered Sales of Equity Securities

3.03

Material Modifications to Rights of Security Holders

4.01

Changes in Registrant's Certifying Accountant

4.02

Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review

5.01

Changes in Control of Registrant

5.02

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer

5.03

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year

5.04

Temporary Suspension of Trading Under Registrant's Employee Benefit Plans

5.05

Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics

5.06

Change in Shell Company Status

6.01

ABS Informational and Computational Material.

6.02

Change of Servicer or Trustee.

6.03

Change in Credit Enhancement or Other External Support.

6.04

Failure to Make a Required Distribution.

6.05

Securities Act Updating Disclosure.

7.01

Regulation FD Disclosure

8.01

Other Events

9.01

Financial Statements and Exhibits

8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.

                                        STATE
NAME OF ISSUER                          CODE     8K ITEM NO.          DATE        COMMENT

1ST SOURCE CORP                         IN       5.02,5.07            04/21/11

3M CO                                   DE       2.02,9.01            04/26/11

ABINGTON BANCORP, INC./PA                        8.01                 04/25/11

ACCURAY INC                             DE       7.01,8.01,9.01       04/26/11

ACME PACKET INC                         DE       2.02,9.01            04/26/11

ACTIVE POWER INC                        DE       2.02,9.01            04/26/11

ACTUATE CORP                            DE       2.02,9.01            04/26/11

ADEN SOLUTIONS INC.                     NV       5.02,9.01            04/21/11    AMEND

ADOBE SYSTEMS INC                       DE       5.02,5.03,5.07,9.01  04/21/11

Advanced BioEnergy, LLC                 DE       5.02                 04/20/11

ADVENT SOFTWARE INC /DE/                DE       2.02,9.01            04/26/11

AeroGrow International, Inc.            NV       1.01,3.03            04/20/11

AFFILIATED MANAGERS GROUP INC           DE       2.02,8.01,9.01       04/26/11

AGCO CORP /DE                           DE       2.02,9.01            04/26/11

AGCO CORP /DE                           DE       1.01,5.07,9.01       04/21/11

AK STEEL HOLDING CORP                   DE       2.02,9.01            04/26/11

AK STEEL HOLDING CORP                   DE       7.01,9.01            04/26/11

ALABAMA POWER CO                        AL       5.03,5.07,9.01       04/22/11

Alliance Bancorp, Inc. of Pennsylvani   PA       2.02,7.01,9.01       04/26/11

ALLIANCE DATA SYSTEMS CORP              DE       7.01,9.01            04/26/11

Alliance Holdings GP, L.P.              DE       2.02,9.01            04/26/11

ALLIANCE RESOURCE PARTNERS LP           DE       2.02,9.01            04/26/11

Allied Nevada Gold Corp.                DE       7.01,9.01            04/26/11

Ally Financial Inc.                     DE       7.01,9.01            04/26/11

ALTERA CORP                             DE       9.01                 04/26/11

Altra Holdings, Inc.                    DE       2.02,9.01            04/26/11

AMAZON COM INC                          DE       2.02,9.01            04/26/11

AMCOL INTERNATIONAL CORP                DE       2.02,9.01            04/26/11

AMEDISYS INC                            DE       2.02,7.01,9.01       04/26/11

American Capital Agency Corp                     2.02,9.01            04/25/11

AMERICAN EXPRESS CO                     NY       5.02                 04/20/11

American Realty Capital Trust, Inc.     DE       8.01,9.01            04/25/11

Ameris Bancorp                          GA       2.02,9.01            04/26/11

AMPCO PITTSBURGH CORP                   PA       2.02,9.01            04/25/11

AMSURG CORP                             TN       7.01,9.01            04/26/11

AMTECH SYSTEMS INC                      AZ       5.02,9.01            04/20/11

ANAVEX LIFE SCIENCES CORP.              NV       3.02,8.01,9.01       04/20/11

Animal Health International, Inc.       DE       8.01,9.01            04/26/11

ANIXTER INTERNATIONAL INC               DE       2.02,9.01            04/26/11

API Technologies Corp.                  DE       1.01,1.02,2.03,9.01  04/20/11

APOLLO INVESTMENT CORP                  MD       8.01,9.01            04/25/11

ARBITRON INC                            DE       2.02,9.01            04/26/11

ARCH CAPITAL GROUP LTD.                          2.02,7.01,9.01       04/25/11

ARCH COAL INC                           DE       2.02,9.01            04/26/11

ARKANSAS BEST CORP /DE/                 DE       5.07                 04/21/11

ASBURY AUTOMOTIVE GROUP INC             DE       5.07                 04/26/11

ASHLAND INC.                            KY       2.02,9.01            04/26/11

ASHLAND INC.                            KY       7.01,9.01            04/26/11

ASIAINFO-LINKAGE, INC                   DE       5.02,5.07,9.01       04/21/11

ASSOCIATED BANC-CORP                    WI       5.07,8.01,9.01       04/26/11

ASSOCIATED ESTATES REALTY CORP          OH       2.02,9.01            03/31/11

ASTROTECH Corp \WA\                     WA       5.07,9.01            04/20/11

Atlantic Coast Financial CORP           MD       2.02,9.01            04/26/11

Atrinsic, Inc.                          DE       5.02                 04/20/11

ATWOOD OCEANICS INC                     TX       7.01,9.01            04/26/11

AuraSound, Inc.                         NV       5.02                 04/26/11

AUTONATION, INC.                        DE       2.02,9.01            04/26/11

AVX Corp                                DE       2.02,9.01            04/26/11

AWARE INC /MA/                          MA       2.02,9.01            04/26/11

B&G Foods, Inc.                         DE       2.02,7.01,9.01       04/26/11

Bancorp, Inc.                                    2.02,9.01            04/26/11

BANCORPSOUTH INC                        MS       2.02,7.01,9.01       04/25/11

BANK OF HAWAII CORP                     DE       5.07                 04/22/11

BANKATLANTIC BANCORP INC                FL       2.02,9.01            04/25/11

BANKATLANTIC BANCORP INC                FL       8.01,9.01            04/26/11

BANKUNITED FINANCIAL CORP               FL       8.01,9.01            04/21/11

BE Resources Inc.                       CO       4.01,9.01            04/25/11    AMEND

BECTON DICKINSON & CO                   NJ       2.02,9.01            04/26/11

BEHRINGER HARVARD SHORT TERM OPPORTUN   TX       1.01                 04/20/11

BERKLEY W R CORP                        DE       2.02,9.01            04/25/11

BIOSPECIFICS TECHNOLOGIES CORP          DE       2.02,9.01            04/26/11    AMEND

BlueLinx Holdings Inc.                  DE       1.01,9.01            04/26/11

BOK FINANCIAL CORP ET AL                OK       2.02,9.01            04/26/11

BOSTON PRIVATE FINANCIAL HOLDINGS INC   MA       2.02                 04/26/11

BRIDGE BANCORP INC                      NY       2.02,9.01            04/25/11

BRITTON & KOONTZ CAPITAL CORP           MS       2.02,9.01            04/25/11

BROADBAND HOLDRS TRUST                           8.01,9.01            04/26/11

BROADCOM CORP                           CA       2.02,9.01            04/26/11

BROOKS AUTOMATION INC                   DE       1.01,2.02,8.01,9.01  04/20/11

BROWN SHOE CO INC                       NY       2.02,9.01            04/26/11

BUFFALO WILD WINGS INC                  MN       2.02,9.01            04/26/11

C H ROBINSON WORLDWIDE INC              DE       2.02,9.01            04/26/11

CAI International, Inc.                          2.02,9.01            04/26/11

CALIBRUS, INC.                          NV       8.01,9.01            04/26/11

Calumet Specialty Products Partners,    DE       1.01,1.02,2.03,9.01  04/21/11

CALYPSO WIRELESS INC                    DE       5.02,8.01            04/22/11

CAMCO FINANCIAL CORP                    DE       5.02                 04/20/11

CAMDEN NATIONAL CORP                    ME       2.02,9.01            04/26/11

CANO PETROLEUM, INC                              5.07                 04/21/11

CANO PETROLEUM, INC                              3.01                 11/10/10    AMEND

Cape Bancorp, Inc.                      MD       2.02,7.01,9.01       04/25/11

CAPELLA EDUCATION CO                             2.02,9.01            04/26/11

CAPITAL GROWTH SYSTEMS INC /FL/         FL       8.01,9.01            04/25/11

CARLISLE COMPANIES INC                  DE       2.02,9.01            04/26/11

CARPENTER TECHNOLOGY CORP               DE       2.02,9.01            04/26/11

CASCADE BANCORP                         OR       1.01,3.02,9.01       04/20/11

CASCADE FINANCIAL CORP                  WA       2.02,9.01            04/26/11

Celanese CORP                           DE       2.02,7.01,9.01       04/26/11

CENTENE CORP                                     2.02,9.01            04/26/11

CENTERPOINT ENERGY INC                           5.07                 04/21/11

CenterState Banks, Inc.                 FL       2.02,9.01            04/26/11

CERADYNE INC                            DE       2.02,9.01            04/26/11

CFS BANCORP INC                         IN       7.01,9.01            04/26/11

CHEMUNG FINANCIAL CORP                  NY       8.01                 04/26/11

CHEMUNG FINANCIAL CORP                  NY       8.01,9.01            04/11/11    AMEND

Cheniere Energy Partners, L.P.          DE       5.02                 04/21/11

CHICAGO BRIDGE & IRON CO N V                     2.02,9.01            04/26/11

CHICOPEE BANCORP, INC.                           2.02,9.01            04/25/11

China Direct Industries, Inc.           FL       5.07                 04/22/11

CHINA NORTH EAST PETROLEUM HOLDINGS L   NV       2.01,9.01            04/26/11

CITIGROUP INC                           DE       5.02,5.07,9.01       04/21/11

CLAYTON WILLIAMS ENERGY INC /DE         DE       7.01,9.01            04/26/11

CLAYTON WILLIAMS ENERGY INC /DE         DE       7.01,9.01            04/26/11

COACH INC                               MD       2.02,9.01            04/26/11

COBIZ FINANCIAL INC                     CO       8.01                 04/25/11

COCA COLA CO                            DE       2.02,9.01            04/26/11

CODEXIS INC                                      5.02                 04/20/11

COLLECTORS UNIVERSE INC                 DE       7.01,9.01            03/31/11

COLUMBIA LABORATORIES INC               DE       8.01,9.01            04/26/11

COLUMBIA LABORATORIES INC               DE       1.01,1.02,2.01,8.01, 04/20/11    AMEND
                                                 9.01
          
COMERICA INC /NEW/                               7.01,9.01            04/26/11

COMMUNITY TRUST BANCORP INC /KY/        KY       7.01,9.01            03/31/11

Congaree Bancshares Inc                 SC       2.02,9.01            04/26/11

COOPER TIRE & RUBBER CO                 DE       2.02,9.01            04/26/11

CSB BANCORP INC /OH                     OH       2.02,9.01            04/25/11

CTD HOLDINGS INC                        FL       4.01,9.01            04/25/11

CUMMINS INC                             IN       2.02,7.01,9.01       04/26/11

DDI CORP                                CA       2.02,9.01            04/26/11

DealerTrack Holdings, Inc.              DE       1.01,8.01,9.01       04/20/11

Deer Consumer Products, Inc.            NV       8.01,9.01            04/15/11

DEERE JOHN CAPITAL CORP                 DE       9.01                 04/21/11

DEL MONTE CORP                                   1.01,2.03,3.03,8.01, 04/26/11
                                                 9.01
          
DEL MONTE FOODS CO                      DE       8.01,9.01            04/26/11

DELCATH SYSTEMS INC                     DE       7.01,9.01            04/26/11

DELPHI FINANCIAL GROUP INC/DE           DE       2.02,9.01            04/26/11

DELTA AIR LINES INC /DE/                DE       2.02,9.01            04/26/11

DELTA AIR LINES INC /DE/                DE       1.01,2.03            04/20/11

Delta Entertainment Group, Inc.         FL       5.02,9.01            04/19/11

Denarii Resources Inc.                  NV       1.01,9.01            02/09/11

Denarii Resources Inc.                  NV       1.01,9.01            02/28/11

Denarii Resources Inc.                  NV       1.01,9.01            04/14/11

DENMARK BANCSHARES INC                  WI       2.02,9.01            04/26/11

DEVRY INC                               DE       2.02,9.01            04/26/11

Dorman Products, Inc.                   PA       2.02,9.01            04/26/11

DreamWorks Animation SKG, Inc.                   2.02,9.01            04/26/11

Eagle Bancorp Montana, Inc.                      2.02,8.01,9.01       04/26/11

EAST WEST BANCORP INC                            2.02,9.01            04/26/11

ECOLAB INC                              DE       2.02,9.01            04/26/11

EcoReady Corp                           FL       1.01,3.02,9.01       04/21/11

Edwards Lifesciences Corp               DE       8.01                 04/26/11

eHealth, Inc.                           DE       2.02,9.01            04/26/11

ELECTRONIC ARTS INC.                    DE       5.02                 04/25/11

EMCORE CORP                             NJ       1.01,3.02,9.01       04/26/11

ENTERPRISE FINANCIAL SERVICES CORP      DE       5.07                 04/21/11

ENTROPIC COMMUNICATIONS INC             DE       2.02,9.01            04/26/11

EXPRESS, INC.                                    1.01,5.02,9.01       04/23/11

EZENIA INC                              DE       5.02,9.01            04/25/11

FBR CAPITAL MARKETS CORP                VA       2.02,9.01            04/26/11

Federal Home Loan Bank of Atlanta       X1       2.03                 04/26/11

Federal Home Loan Bank of Boston        X1       2.03                 04/20/11

Federal Home Loan Bank of Chicago       X1       2.03                 04/20/11

Federal Home Loan Bank of Cincinnati    X1       2.03,9.01            04/21/11

Federal Home Loan Bank of Des Moines    X1       2.03,9.01            04/22/11

Federal Home Loan Bank of Indianapoli   X1       2.03,9.01            04/20/11

Federal Home Loan Bank of New York      X1       2.03,9.01            04/20/11

Federal Home Loan Bank of Pittsburgh    PA       2.03,9.01            04/20/11

Federal Home Loan Bank of San Francis   X1       2.03                 04/20/11

Federal Home Loan Bank of Seattle                2.03                 04/20/11

Federal Home Loan Bank of Topeka                 2.03,9.01            04/21/11

FEDERAL HOME LOAN MORTGAGE CORP                  2.02,9.01            04/26/11

FEDERAL SIGNAL CORP /DE/                DE       5.02                 04/20/11

Feigeda Electronic Technology, Inc.     DE       4.01,4.02,9.01       02/19/11

FelCor Lodging Trust Inc                MD       8.01,9.01            04/26/11

FIRST BUSEY CORP /NV/                   NV       2.02,8.01,9.01       04/26/11

FIRST COMMUNITY BANCSHARES INC /NV/     NV       7.01,9.01            04/26/11

FIRST DEFIANCE FINANCIAL CORP           OH       2.02,9.01            04/25/11

FIRST FINANCIAL CORP /IN/               IN       5.02,5.07            04/20/11

First Financial Northwest, Inc.         WA       2.02,9.01            04/25/11

First Savings Financial Group Inc       IN       2.02,9.01            04/22/11

FIRSTMERIT CORP /OH/                    OH       2.02,9.01            04/26/11

FNB BANCORP/CA/                                  2.02,9.01            04/26/11

FORD MOTOR CO                           DE       2.02,9.01            04/26/11

FORD MOTOR CREDIT CO LLC                DE       2.02,9.01            04/26/11

FORMFACTOR INC                          DE       2.02,5.02,9.01       04/22/11

FRANKLIN FINANCIAL SERVICES CORP /PA/   PA       7.01,9.01            04/26/11

FRANKLIN FINANCIAL SERVICES CORP /PA/   PA       2.02,9.01            04/26/11

GAIN Capital Holdings, Inc.             DE       1.01,9.01            04/21/11

GENTA INC DE/                           DE       8.01,9.01            04/26/11

Global Cornerstone Holdings Ltd         D8       8.01                 04/20/11

GLOBAL ENTERTAINMENT CORP               NV       5.02,9.01            09/14/10

GOLDMAN SACHS GROUP INC                 DE       9.01                 04/26/11

GRACO INC                               MN       5.07                 04/21/11

GRANT PARK FUTURES FUND LIMITED PARTN   IL       7.01                 04/26/11

GRAPHON CORP/DE                         DE       8.01                 04/25/11

GREAT SOUTHERN BANCORP INC              MD       2.02,9.01            04/26/11

GRIFFON CORP                            DE       5.02                 04/20/11

GROUP 1 AUTOMOTIVE INC                  DE       2.02,9.01            04/26/11

Grubb & Ellis Healthcare REIT II, Inc   MD       1.01,9.01            04/20/11

GRYPHON GOLD CORP                       NV       7.01,9.01            04/25/11

GS FINANCIAL CORP                       LA       5.07,7.01,9.01       04/26/11

GULFMARK OFFSHORE INC                   DE       2.02,9.01            04/25/11

HANCOCK FABRICS INC                     DE       2.02,9.01            04/26/11

HARBINGER GROUP INC.                    DE       8.01,9.01            04/25/11

HARLEYSVILLE GROUP INC                  DE       2.02,9.01            04/26/11

HARMONY METALS, INC.                    FL       5.02,8.01,9.01       04/21/11

Hatteras Financial Corp                          2.02,9.01            04/26/11

HAWAIIAN HOLDINGS  INC                  DE       2.02,9.01            04/26/11

HEALTH MANAGEMENT ASSOCIATES INC        DE       2.02,9.01            04/25/11

HEALTHY FAST FOOD INC                   NV       5.02,5.03,5.07,9.01  04/20/11

HEIDRICK & STRUGGLES INTERNATIONAL IN   DE       2.02,9.01            04/26/11

HELIX ENERGY SOLUTIONS GROUP INC        MN       2.02,7.01,9.01       04/25/11

HERSHEY CO                              DE       2.02,9.01            04/26/11

HERTZ CORP                              DE       2.02,7.01,9.01       04/26/11

HERTZ GLOBAL HOLDINGS INC                        2.02,7.01,9.01       04/26/11

Hoku Corp                               DE       9.01                 08/16/10    AMEND

HOLLY CORP                              DE       7.01,9.01            04/25/11

HOME BANCORP, INC.                      LA       2.02,9.01            04/26/11

Homeowners Choice, Inc.                 FL       5.02                 04/21/11

HONEYWELL INTERNATIONAL INC             DE       5.02                 04/25/11

HORACE MANN EDUCATORS CORP /DE/         DE       2.02,9.01            04/26/11

HOSPIRA INC                             DE       2.02,8.01,9.01       04/25/11

HUMANA INC                              DE       5.07                 04/21/11

HUMANA INC                              DE       2.02,7.01,9.01       04/26/11

HUTCHINSON TECHNOLOGY INC               MN       2.02,9.01            04/26/11

IAC/INTERACTIVECORP                     DE       2.02,7.01            04/26/11

iGo, Inc.                               DE       5.02,5.07,9.01       04/21/11

II-VI INC                               PA       2.02,9.01            04/26/11

ILLINOIS TOOL WORKS INC                 DE       2.02,9.01            04/26/11

ILLUMINA INC                            DE       2.02,9.01            04/26/11

IMAGEWARE SYSTEMS INC                   DE       8.01,9.01            04/26/11

IMATION CORP                            DE       2.02,9.01            04/26/11

IMH Financial Corp                      DE       1.01,2.03,5.01,5.02, 04/20/11
                                                 5.03,8.01,9.01

INDEPENDENT BANK CORP /MI/              MI       7.01,9.01            04/26/11

INDIANA COMMUNITY BANCORP               IN       2.02,9.01            04/26/11

INTEGRATED SURGICAL SYSTEMS INC         DE       1.01                 04/20/11

INTERPLAY ENTERTAINMENT CORP            DE       8.01                 04/25/11

INTUITIVE SURGICAL INC                  DE       5.02,5.07,9.01       04/21/11

IROBOT CORP                             DE       2.02,9.01            04/26/11

Jacksonville Bancorp, Inc.              MD       5.07                 04/26/11

JACOBS ENGINEERING GROUP INC /DE/       DE       2.02,9.01            04/25/11

JAKKS PACIFIC INC                       DE       2.02,9.01            04/26/11

JDA SOFTWARE GROUP INC                  DE       5.02                 03/30/11

JDA SOFTWARE GROUP INC                  DE       2.02,9.01            04/26/11

KANSAS CITY LIFE INSURANCE CO           MO       5.07                 04/26/11

KAR Auction Services, Inc.              DE       8.01,9.01            04/26/11

KAR Auction Services, Inc.              DE       1.01,2.03,9.01       04/26/11

KENTUCKY BANCSHARES INC /KY/            KY       2.02,9.01            04/26/11

KEYNOTE SYSTEMS INC                     DE       2.02,9.01            04/26/11

KIMBERLY CLARK CORP                     DE       5.02,5.07,9.01       04/26/11

KINDRED HEALTHCARE, INC                 DE       2.02,7.01,9.01       04/25/11

KINETIC CONCEPTS INC                    TX       9.01                 03/31/11

KNOLOGY INC                             DE       2.02,9.01            04/26/11

La Cortez Energy, Inc.                  NV       8.01                 04/25/11

LADISH CO INC                           WI       2.02,9.01            04/25/11

LANDMARK BANCORP INC                    DE       2.02,8.01,9.01       04/26/11

Lantis Laser Inc.                       NV       1.01,9.01            04/22/11

Lawson Software, Inc.                   DE       1.01,8.01,9.01       04/26/11

LCA VISION INC                          DE       2.02,9.01            04/26/11

LEAP WIRELESS INTERNATIONAL INC         DE       5.02                 04/20/11

LECTEC CORP /MN/                        MN       1.01,9.01            04/25/11

LEFT BEHIND GAMES INC.                  WA       7.01,9.01            04/26/11

LENNOX INTERNATIONAL INC                DE       2.02,9.01            04/26/11

LEXMARK INTERNATIONAL INC /KY/          DE       2.02,9.01            04/26/11

LIBERTY PROPERTY TRUST                  MD       2.02,9.01            04/26/11

Life Technologies Corp                  DE       2.02,7.01,9.01       04/26/11

LIFE TIME FITNESS INC                   MN       5.02,5.07,9.01       04/21/11

LIGHTPATH TECHNOLOGIES INC              DE       8.01,9.01            04/26/11

LIGHTPATH TECHNOLOGIES INC              DE       8.01,9.01            04/26/11

LINCOLN ELECTRIC HOLDINGS INC           OH       2.02,9.01            04/26/11

LKQ CORP                                DE       8.01,9.01            04/25/11

LOCATEPLUS HOLDINGS CORP                         8.01                 04/26/11

LOCKHEED MARTIN CORP                    MD       2.02,9.01            04/26/11

LORILLARD, INC.                         DE       2.02,9.01            04/26/11

LTV CORP                                DE       8.01,9.01            04/20/11

LUBRIZOL Corp                           OH       8.01,9.01            04/26/11

LUBYS INC                               DE       1.01,5.02,9.01       04/20/11

MARKWEST ENERGY PARTNERS L P                     7.01,8.01,9.01       04/21/11

MASTEC INC                              FL       7.01,8.01,9.01       04/21/11

MCCLATCHY CO                            DE       9.01                 03/27/11

MCGRAW-HILL COMPANIES INC               NY       2.02,7.01,9.01       04/26/11

MediaMind Technologies Inc.             DE       8.01,9.01            04/26/11

MERCURY COMPUTER SYSTEMS INC            MA       2.02,9.01            04/26/11

MERIDIAN BIOSCIENCE INC                 OH       2.02,8.01,9.01       04/21/11

MERIDIAN INTERSTATE BANCORP INC                  2.02,9.01            04/26/11

MERU NETWORKS INC                       DE       5.02                 04/20/11

METALLINE MINING CO                     NV       5.03,5.07,8.01,9.01  04/20/11

MGIC INVESTMENT CORP                    WI       8.01                 04/21/11

Midas Medici Group Holdings, Inc.                9.01                 02/28/11    AMEND

MIPS TECHNOLOGIES INC                   DE       2.02,9.01            04/26/11

MOSAIC CO                               DE       2.03,3.03            04/26/11

MS STRUCTURED SATURNS SERIES 2002-15    DE       8.01                 04/26/11

MUELLER INDUSTRIES INC                  DE       2.02,9.01            04/26/11

NABORS INDUSTRIES LTD                   D0       2.02,9.01            04/26/11

NARA BANCORP INC                        DE       2.02,9.01            04/25/11

NAVIGANT CONSULTING INC                 DE       5.07                 04/25/11

NAVISITE INC                            DE       1.02,2.01,3.01,3.03, 04/21/11
                                                 5.01,5.02,5.03,9.01
        
NB&T FINANCIAL GROUP INC                OH       2.02,7.01,9.01       04/26/11

NBT BANCORP INC                         DE       2.02,9.01            04/25/11

NEW ENERGY SYSTEMS GROUP                NV       1.01,2.03,9.01       04/21/11

NEW ENERGY TECHNOLOGIES, INC.                    7.01,9.01            04/21/11

Niska Gas Storage Partners LLC          DE       7.01,9.01            04/26/11

Nissan Auto Receivables 2011-A Owner    DE       1.01,9.01            04/25/11

NORTEK INC                              DE       7.01,9.01            04/26/11

NORTH CENTRAL BANCSHARES INC            IA       5.02,9.01            04/26/11

NORTHWEST BANCORPORATION INC            WA       2.02,9.01            04/26/11

Northwest Bancshares, Inc.              MD       2.02,9.01            04/25/11

NORTHWEST INDIANA BANCORP               IN       2.02,9.01            04/26/11

NORTHWEST RESOURCES, INC.               NV       8.01                 04/23/11

NOVELOS THERAPEUTICS, INC.              DE       7.01,9.01            04/26/11

NTS MORTGAGE INCOME FUND                DE       1.01,9.01            04/25/11

NUVILEX, INC.                           NV       4.02                 11/11/10    AMEND

Oak Valley Bancorp                      CA       2.02,7.01,9.01       04/21/11

Ocean Shore Holding Co.                          2.02,9.01            04/26/11

OFFICE DEPOT INC                        DE       2.02,9.01            04/26/11

ON ASSIGNMENT INC                       DE       5.02                 04/26/11

Oneida Financial Corp.                  MD       2.02,9.01            04/25/11

optionsXpress Holdings, Inc.            DE       2.02,9.01            04/26/11

ORACLE CORP                                      5.02                 04/25/11

Orchids Paper Products CO /DE           DE       1.01,2.03,9.01       04/25/11

Oritani Financial Corp                  DE       2.02,9.01            04/26/11

OSI SYSTEMS INC                         DE       2.02,9.01            04/26/11

OWENS & MINOR INC/VA/                   VA       2.02,9.01            04/25/11

PALADIN REALTY INCOME PROPERTIES INC    MD       8.01                 04/21/11

PALM HARBOR HOMES INC /FL/              FL       2.01,5.02,9.01       04/25/11

PARKE BANCORP, INC.                     NJ       8.01,9.01            04/26/10

Pebblebrook Hotel Trust                 MD       1.01,7.01,9.01       04/22/11

PENTAIR INC                             MN       2.02,9.01            04/26/11

PEOPLES BANCORP INC                     OH       2.02,9.01            04/26/11

PEOPLES FINANCIAL SERVICES CORP.        PA       5.07                 04/26/11

PEOPLESTRING CORP                       DE       1.01,8.01,9.01       04/20/11

PEOPLESTRING CORP                       DE       1.01,8.01,9.01       04/20/11    AMEND

PHARMACEUTICAL PRODUCT DEVELOPMENT IN   NC       2.02,9.01            04/26/11

Pharmasset Inc                                   2.02,9.01            04/25/11

PHILLIPS VAN HEUSEN CORP /DE/           DE       7.01,9.01            04/26/11

PINNACLE AIRLINES CORP                  DE       2.02                 04/26/11

PIONEER POWER SOLUTIONS, INC.           DE       1.01,1.02,2.03       04/20/11

PLASTRON ACQUISITION CORP II            DE       1.01,4.01,5.02,9.01  03/31/11

PNC FINANCIAL SERVICES GROUP INC        PA       2.02,9.01            04/26/11

POPULAR INC                                      2.02,9.01            04/25/11

POTASH AMERICA, INC.                    NV       5.02,7.01,9.01       04/21/11

POTLATCH CORP                           DE       2.02,9.01            04/26/11

PRGX GLOBAL, INC.                       GA       2.02,9.01            04/25/11

PRIMUS TELECOMMUNICATIONS GROUP INC     DE       4.01,9.01            04/20/11

PRIVATEBANCORP, INC                     DE       2.02,9.01            04/26/11

PROLOGIS                                MD       1.01,2.03,9.01       04/21/11

PROSPECT GLOBAL RESOURCES INC.          NV       1.01,3.02,5.02,9.01  04/20/11

PROVIDENT NEW YORK BANCORP              DE       2.02,9.01            04/25/11

PSP Industries, Inc.                    UT       5.02                 04/20/11

QCR HOLDINGS INC                        DE       2.02,9.01            04/25/11

QLOGIC CORP                             DE       5.02,9.01            04/21/11

QUAKER CHEMICAL CORP                    PA       2.02,9.01            04/26/11

QUESTCOR PHARMACEUTICALS INC            CA       2.02,9.01            04/26/11

RADIOSHACK CORP                         DE       7.01,9.01            04/25/11    AMEND

RAMTRON INTERNATIONAL CORP              DE       5.02,9.01            04/20/11

RAYONIER INC                            NC       2.02,9.01            04/26/11

ReachLocal Inc                          DE       2.02,9.01            04/26/11

REGEN BIOLOGICS INC                     DE       1.01,1.03,2.03,9.01  04/21/11

Regency Energy Partners LP              DE       7.01,8.01,9.01       04/26/11

REGENERON PHARMACEUTICALS INC           NY       8.01,9.01            04/26/11

RENAISSANCE LEARNING INC                WI       2.02,9.01            04/20/11

RENT A CENTER INC DE                             2.02,9.01            04/25/11

REPLIGEN CORP                           DE       2.02,9.01            04/21/11

REPUBLIC BANCORP INC /KY/               KY       5.07                 04/21/11

Resolute Energy Corp                    DE       5.02,9.01            04/25/11

RETRACTABLE TECHNOLOGIES INC            TX       8.01,9.01            04/25/11

RF MICRO DEVICES INC                    NC       2.02,9.01            04/26/11

Rhino Resource Partners LP              DE       7.01,9.01            04/26/11

RICKS CABARET INTERNATIONAL INC         TX       8.01,9.01            04/22/11

Riverdale Mining Inc.                   NV       1.01,9.01            02/23/11

ROCKY BRANDS, INC.                      OH       2.02,9.01            04/26/11

ROPER INDUSTRIES INC                    DE       2.02,9.01            04/26/11

RSC Holdings Inc.                       DE       5.02,5.07            04/20/11

RXI PHARMACEUTICALS CORP                         5.02                 04/21/11

RYDER SYSTEM INC                        FL       2.02,9.01            04/26/11

S&T BANCORP INC                         PA       2.02,9.01            04/26/11

SANGAMO BIOSCIENCES INC                 DE       2.02,9.01            04/26/11

SANMINA-SCI CORP                        DE       7.01                 04/26/11

SAVANNAH BANCORP INC                    GA       5.07                 04/21/11

SCANA CORP                              SC       5.07,9.01            04/21/11

SCHIFF NUTRITION INTERNATIONAL, INC.    DE       5.02,9.01            04/26/11

SeaBright Holdings, Inc.                DE       2.02,9.01            04/26/11

SEN YU INTERNATIONAL HOLDINGS, INC.     DE       7.01,9.01            04/26/11

SENSIENT TECHNOLOGIES CORP              WI       5.03,9.01            04/21/11

SFN Group Inc.                          DE       2.02                 04/26/11

ShoreTel Inc                            CA       2.02,9.01            04/26/11

SIERRA BANCORP                          CA       2.02,9.01            04/25/11

SIERRA MONITOR CORP /CA/                CA       2.02,9.01            04/26/11

SIGMA ALDRICH CORP                      DE       2.02,7.01,9.01       04/26/11

SILICON IMAGE INC                       DE       2.02,9.01            04/26/11

SIMMONS FIRST NATIONAL CORP             AR       8.01,9.01            04/25/11

SMART Modular Technologies (WWH), Inc   E9       8.01,9.01            04/26/11

SMURFIT-STONE CONTAINER Corp            DE       2.02,9.01            04/26/11

Snap Interactive, Inc                   DE       2.02,9.01            04/25/11

Socialwise, Inc. (formerly known as I   CO       1.01,5.02,9.01       04/26/11

SOCKET MOBILE, INC.                     DE       2.02,9.01            03/31/11

SOHU COM INC                            DE       1.01,2.02,9.01       04/22/11

SOMERSET HILLS BANCORP                  NJ       2.02,9.01            04/26/11

SOMERSET HILLS BANCORP                  NJ       7.01,9.01            04/26/11

SONIC AUTOMOTIVE INC                    DE       2.02,7.01,9.01       04/26/11

SOUTHERN FIRST BANCSHARES INC           SC       2.02,9.01            04/26/11

SOUTHWEST GEORGIA FINANCIAL CORP        GA       2.02,9.01            03/31/11

SPARTAN MOTORS INC                      MI       2.02,8.01            04/26/11

SPEEDWAY MOTORSPORTS INC                DE       5.07                 04/20/11

STANLEY BLACK & DECKER, INC.            CT       2.02,9.01            04/26/11

STATE BANCORP INC                       NY       7.01,9.01            04/26/11

STATE BANCORP INC                       NY       5.02                 04/21/11

STEWART INFORMATION SERVICES CORP       DE       7.01,9.01            04/23/11

STRATS(SM) TRUST FOR DOMINION RESOURC            8.01,9.01            04/15/11

STURM RUGER & CO INC                    DE       2.02,8.01,9.01       04/26/11

STW RESOURCES HOLDING CORP.             NV       1.01,9.01            04/17/11

SUBAYE, INC.                                     5.02                 04/21/11

SuccessFactors, Inc.                    DE       2.02,9.01            04/26/11

SUNOCO LOGISTICS PARTNERS L.P.          DE       2.02,7.01,9.01       04/26/11

SUNTRUST BANKS INC                      GA       5.02,9.01            04/25/11

Super Micro Computer, Inc.              CA       2.02,9.01            04/26/11

SUPERIOR ENERGY SERVICES INC            DE       1.01,2.03,8.01,9.01  04/20/11

SUPERTEL HOSPITALITY INC                VA       1.01,9.01            04/26/11

SVB FINANCIAL GROUP                              5.02,5.07            04/21/11

SWIFT TRANSPORTATION CO                          2.02,9.01            04/25/11

SYNOVUS FINANCIAL CORP                  GA       2.02,7.01,9.01       04/26/11

TAIWAN FUND INC                         DE       7.01,9.01            03/31/11

TANGER FACTORY OUTLET CENTERS INC       NC       2.02,7.01,9.01       04/26/11

Targa Resources Corp.                   DE       1.01,9.01            04/20/11

TC PIPELINES LP                         DE       2.02,9.01            04/26/11

TELEFLEX INC                            DE       2.01,9.01            04/26/11

TELEFLEX INC                            DE       7.01,9.01            04/26/11

TELLABS INC                             DE       2.02,9.01            04/26/11

TIMKEN CO                               OH       2.02,9.01            04/26/11

TORCHMARK CORP                          DE       2.02,9.01            04/26/11

TOTAL SYSTEM SERVICES INC               GA       2.02,7.01,9.01       04/26/11

Tower International, Inc.               DE       5.02                 04/20/11

TOWN SPORTS INTERNATIONAL HOLDINGS IN   DE       2.02,9.01            04/26/11

TRANSATLANTIC HOLDINGS INC              DE       2.02,9.01            04/26/11

TRUSTMARK CORP                          MS       2.02,9.01            04/26/11

Trycera Financial, Inc.                 NV       1.01,3.02,9.01       04/21/11

Trycera Financial, Inc.                 NV       4.01,9.01            04/08/11    AMEND

UGI CORP /PA/                           PA       1.01,9.01            04/21/11

ULTIMATE SOFTWARE GROUP INC             DE       2.02,9.01            04/26/11

UMB FINANCIAL CORP                      MO       2.02,9.01            04/26/11

UMB FINANCIAL CORP                      MO       8.01,9.01            04/26/11

Under Armour, Inc.                      MD       2.02,9.01            04/26/11

UNIFY CORP                                       5.02                 04/21/11

Uniontown Energy Inc.                   NV       1.01,2.01            04/08/11

UNITED BANCORP INC /OH/                 OH       2.02,5.07,9.01       04/20/11

UNITED BANKSHARES INC/WV                WV       2.02,9.01            04/26/11

United Financial Bancorp, Inc.                   2.02,5.02,5.07,9.01  04/21/11    AMEND

UNITED PARCEL SERVICE INC               DE       2.02,9.01            04/26/11

UNITED STATES STEEL CORP                DE       2.02,9.01            04/26/11

UNITED STATIONERS INC                   DE       2.02,9.01            04/25/11

UNITIL CORP                             NH       5.07                 04/21/11

UNIVERSAL DETECTION TECHNOLOGY          CA       8.01,9.01            04/25/11

URANIUM ENERGY CORP                     NV       7.01,9.01            04/26/11

UROPLASTY INC                           MN       5.02,9.01            04/25/11

US AIRWAYS GROUP INC                    DE       2.02,9.01            04/26/11

US AIRWAYS GROUP INC                    DE       7.01,9.01            04/26/11

USANA HEALTH SCIENCES INC               UT       2.02,9.01            04/26/11

VAIL RESORTS INC                        DE       1.01,2.03,3.03,8.01, 04/25/11
                                                 9.01
          
VALERO ENERGY CORP/TX                   DE       2.02,9.01            04/26/11

VICOR CORP                              DE       2.02,9.01            04/26/11

VINYL PRODUCTS, INC.                    DE       1.01,2.01,2.03,3.02, 12/31/10    AMEND
                                                 5.01,5.02,9.01

VISANT CORP                                      2.05,9.01            04/26/11

VISION INDUSTRIES CORP                  FL       5.02                 04/21/11

VIST FINANCIAL CORP                     PA       2.02,9.01            04/26/11

Vitacost.com, Inc.                      DE       8.01,9.01            04/26/11

Vitamin Shoppe, Inc.                    DE       2.02,9.01            04/26/11

Vocus, Inc.                             DE       2.02,9.01            04/26/11

VORNADO REALTY LP                       DE       2.02,8.01,9.01       04/25/11

VORNADO REALTY TRUST                    MD       2.02,8.01,9.01       04/25/11

W R GRACE & CO                          DE       2.02,9.01            04/26/11

W&T OFFSHORE INC                        TX       2.02,9.01            04/26/11

WACCAMAW BANKSHARES INC                 NC       5.02                 04/13/11

WADDELL & REED FINANCIAL INC            DE       2.02,9.01            04/26/11

WASTE CONNECTIONS, INC.                 DE       7.01                 04/26/11

WATERS CORP /DE/                        DE       2.02,9.01            04/26/11

WEBSENSE INC                            DE       2.02,9.01            04/26/11

WEBSTER FINANCIAL CORP                  DE       8.01                 04/26/11

WESBANCO INC                            WV       2.02,7.01,9.01       04/26/11

WESTERGAARD COM INC                     DE       1.01,3.02,9.01       04/13/11

WESTERGAARD COM INC                     DE       4.01,9.01            04/22/11

WESTERGAARD COM INC                     DE       1.01,2.01,3.02,5.02, 02/11/11    AMEND
                                                 5.03,5.06,9.01

Western Dubuque Biodiesel, LLC          IA       7.01,9.01            04/26/11

Western Union CO                        DE       2.02,7.01,9.01       04/26/11

WESTINGHOUSE AIR BRAKE TECHNOLOGIES C   DE       2.02,8.01,9.01       04/26/11

Willbros Group, Inc.\NEW\                        1.01,5.02,9.01       04/21/11

WILMINGTON TRUST CORP                   DE       8.01,9.01            04/20/11

XENOPORT INC                            DE       8.01                 04/25/11

XO HOLDINGS INC                         DE       5.02                 04/20/11

ZHONGTIAN MOULD TECHNOLOGIES INC                 4.01,4.02,9.01       04/26/11    AMEND

ZIX CORP                                TX       2.02,9.01            04/26/11

 

http://www.sec.gov/news/digest/2011/dig042711.htm


Modified: 04/27/2011