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Commission announcementsSEC Proposes Product Definitions for SwapsThe 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 RulesThe 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 proceedingsIn the Matter of Ronald S. BloomfieldAn 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. EscobedoOn 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 releasesHighmark 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 organizationsImmediate Effectiveness of Proposed Rule ChangesA 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 ChangesThe 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 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 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 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 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
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