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Commission announcementsSEC Suspends Trading in Securities of Magnum D’Or Resources, Inc.The Securities and Exchange Commission announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act), of trading in the securities of Magnum d’Or Resources, Inc. (Magnum), of Hudson, Colorado at 9:30 a.m. EDT on April 29, 2011, and terminating at 11:59 p.m. EDT on May 12, 2011. The Commission temporarily suspended trading in the securities of Magnum because of questions that have been raised about the accuracy and adequacy of publicly disseminated information concerning, among other things the company’s current financial condition and operations. The Commission cautions brokers, dealers, shareholders, and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by the company. Further, brokers and dealers should be alert to the fact that, pursuant to Rule 15c2-11 under the Exchange Act, at the termination of the trading suspension, no quotation may be entered unless and until they have strictly complied with all of the provisions of the rule. If any broker or dealer has any questions as to whether or not he has complied with the rule, he should not enter any quotation but immediately contact the staff in the Division of Trading and Markets, Office of Interpretation and Guidance, at (202) 551-5777. If any broker or dealer is uncertain as to what is required by Rule 15c2-11, he should refrain from entering quotations relating to Magnum’s securities until such time as he has familiarized himself with the rule and is certain that all of its provisions have been met. If any broker or dealer enters any quotation that is in violation of the rule, the Commission will consider the need for prompt enforcement action. If any broker, dealer or other person has any information that may relate to this matter, they should immediately contact Elisha L. Frank, Assistant Regional Director, Miami Regional Office of the Securities and Exchange Commission at (305) 982-6392. (Rel. 34-64367) Rules and related mattersSEC Extends the Comment Period for “Listing Standards for Compensation Committees”The Securities and Exchange Commission has extended the comment period for a release proposing a new rule and rule amendments to implement the provisions of Section 952 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, which added Section 10C to the Securities Exchange Act of 1934, Release No. 33-9199, “Listing Standards for Compensation Committees,” from April 29, 2011 to May 19, 2011. (Rels. 33-9203; 34-64366; File No. S7-13-11) Enforcement proceedingsSecurities and Exchange Commission Institutes Administrative Proceedings Against Magnum D’Or Resources Inc. for Failure to Make Required Periodic FilingsSEC v. Magnum d’Or Resources, Inc., et al.On April 29, 2011, the Commission issued an Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934 (the Order) against Magnum d’Or Resources, Inc. (Magnum) to determine whether the registration of its securities should be suspended for a period not exceeding twelve months or revoked for failure to file required periodic reports pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Exchange Act). In the Order, the Division of Enforcement (Division) alleges that Magnum failed to comply with Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13 thereunder by failing to file periodic reports required by these provisions. A hearing will be scheduled before an Administrative Law Judge to provide Magnum an opportunity to respond to the allegations of the Division contained in the Order, to determine whether these allegations are true, and to determine whether it is necessary and appropriate for the protection of investors to suspend for a period not exceeding twelve months or revoke the registration of Magnum’s securities. The Commission ordered that the Administrative Law Judge in these proceedings issue an initial decision not later than 120 days from the date of service of the Order. The Securities and Exchange Commission also filed a civil action in the United States District Court for the Southern District of Florida against Magnum d’Or Resources, Inc. and its former chief executive officer and president Joseph J. Glusic of Henderson, Nevada, for antifraud and registration violations and against Dwight Flatt of Delray Beach, Florida, David Della Sciucca, Jr. of Fort Lauderdale, Florida, and Shannon Allen of Miami, Florida for registration violations. According to the SEC’s complaint, Magnum issued stock pursuant to false Form S-8 registration statements, and used bogus consultants to funnel more than $7 million in illicit stock proceeds back into the company. The SEC alleges that in facilitating this kickback scheme, Magnum garnered the assistance of Flatt, Sciucca, and Allen who liquidated Magnum S-8 stock, kept a portion of the sales proceeds, and then returned more than $7 million of the remaining sales proceeds to Magnum under the guise of loan agreements. The SEC’s complaint also alleges that Magnum made false and misleading statements in its Form S-8 registration statements and in various press releases during the relevant time period. The SEC alleges that Magnum and Glusic violated Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The SEC also alleges Section 5(a) and 5(c) violations against Flatt, Sciucca, and Allen. Without admitting or denying the allegations in the Commission’s complaint, and subject to court approval, Glusic and Allen have consented to the entry of judgments that would enjoin them from future violations of Sections 5(a) and 5(c) of the Securities Act, and enjoin Glusic from future violations of Section 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. Glusic has also agreed to pay disgorgement of $1,878 with prejudgment interest of $231, and a $50,000 civil penalty. Glusic has further agreed to entry of an order imposing permanent officer and director and penny stock bars. Allen has agreed to pay disgorgement of $80,742 with prejudgment interest of $6,258 and a $25,000 civil penalty. He has also agreed to entry of an order imposing a five-year penny stock bar and requiring him to surrender for cancellation approximately 1.4 million shares of Magnum common stock. The Commission acknowledges the assistance of the Financial Industry Regulatory Authority (FINRA) in this matter. (Administrative Proceeding - Rel. 34-64368, File No.3-14359); [SEC v. Magnum d’Or Resources, Inc., et al., Civil Action No. 0:11-cv-60920, USDC, S.D. FL] (LR-21951) In the Matter of John W. LawtonOn April 29, 2011, an Administrative Law Judge issued an Initial Decision barring John W. Lawton (Lawton) from association with an investment adviser, broker, dealer, municipal securities dealer, or transfer agent, in John W. Lawton, Admin. Proc. No. 3-14162. Lawton was enjoined from violating Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act), Exchange Act Rule 10b-5, Sections 206(1), (2), and (4) of the Investment Advisers Act of 1940 (Advisers Act), and Advisers Act Rule 206(4)-8, and from aiding and abetting violations of Sections 206(1), (2), and (4) of the Advisers Act, and Advisers Act Rule 206(4)-8 in SEC v. Lawton, No. 09-cv-00368 (D. Minn. July 13, 2009). Lawton also pled guilty to one count of mail fraud and one count of false statements in United States v. Lawton, No. 09-cr-319-PAM (D. Minn.). On October 19, 2010, Lawton was sentenced to a total prison term of seventy months, followed by three years of supervised release, and was ordered to pay a $200 special assessment and restitution of $7,091,230.75. The Initial Decision does not bar Lawton from association with a municipal advisor or nationally recognized statistical rating organization, two newly created industry bars under the Dodd-Frank Wall Street Reform and Consumer Protection Act. To do so would impermissibly attach “new legal consequences to events completed before [the statute’s] enactment.” Landgraf v. USI Film Products, 511 U.S. 244, 269-70 (1994). (Initial Decision No. 419; File No. 3-14162) SEC Charges Former Hedge Fund Professional With Insider TradingThe Securities and Exchange Commission today charged Jonathan Hollander, a former hedge fund professional, with insider trading in Albertson’s, LLC based on material nonpublic information regarding an impending acquisition of ABS that Hollander received from a friend who was employed by the financial advisor retained by ABS in connection with impending acquisition. The Complaint alleges that Hollander traded ABS securities on the basis of the material nonpublic information and also tipped a family member and another friend (the tippees) who also traded ABS securities. As a result of their trading, Hollander and his tippees generated $95,807 in illegal profits. The Complaint alleges that on Jan. 12, 2006, Hollander purchased a total of 5,600 shares of ABS stock in his personal brokerage accounts. The Complaint further alleges that around the same time Hollander’s family member purchased 425 ABS call options. The Complaint also alleges that on Jan. 17, 2006, the next business day after visiting with Hollander, Hollander’s friend purchased 25 ABS call options and on January 18, he purchased an additional 15 ABS call options. On Monday, Jan. 23, 2006, prior to the opening of trading, ABS announced it would be acquired by a consortium of buyers. Following the public announcement, Hollander’s tippees sold their ABS holdings. Hollander’s family member made a profit of $72,815 and his friend made a profit of $5,250. Hollander earned a profit of $17,742 in his own brokerage accounts. Without admitting or denying the SEC’s allegations, Hollander agreed to settle the charges against him. The settlement is pending final approval by the court. Specifically, Hollander consented to the entry of a final judgment permanently enjoining him from violating Section 10(b) of the Exchange Act of 1934 and Rule 10b-5 thereunder, ordering him to pay disgorgement of $95,807 plus prejudgment interest of and imposing a civil penalty of $95,807. Hollander also consented to the entry of a Commission order, based upon the entry of a final judgment, barring him from association with a broker, dealer, investment adviser, municipal securities dealer or transfer agent with the right to reapply after three years. The SEC acknowledges the assistance of the United States Attorney’s Office for the Southern District of New York and the Federal Bureau of Investigation in connection with this matter. [SEC v. Jonathan Hollander, Civil Action No. 11-CV-2885 (S.D.N.Y.)] (LR-21950) Self-regulatory organizationsProposed Rule ChangesThe Chicago Board Options Exchange filed a proposed rule change (SR-CBOE-2011-041) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder, to establish Qualified Contingent Cross Orders. Publication is expected in the Federal Register during the week of May 2. (Rel. 34-64354) The Depository Trust Company filed a proposed rule change (SR-DTC-2011-05) pursuant to Section 19(b)(1) of the Act that would amend DTC’s rules relating to its Memo Segregation Service to no longer permit stock loan or stock loan return-related turnaround deliveries for a security when there is a deficit in the Memo Segregation account. Publication is expected in the Federal Register during the week of May 2. (Rel. 34-64360) Immediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by the International Securities Exchange to permit the listing of series with $0.50 and $1 strike price increments on certain options used to calculate volatility indexes (SR-ISE-2011-27) 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 May 2. (Rel. 34-64359) A proposed rule change filed by EDGX Exchange to extend the pilot period of the inbound router, as described in EDGX Rule 2.12(b) (SR-EDGX-2011-12) 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 May 2. (Rel. 34-64361) A proposed rule change filed by EDGA Exchange to extend the pilot period of the inbound router, as described in EDGA Rule 2.12(b) (SR-EDGA-2011-13) 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 May 2. (Rel. 34-64362) Approval of Proposed Rule ChangeThe Commission approved a proposed rule change submitted by the Financial Industry Regulatory Authority (SR-FINRA-2011-012) pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934 relating to TRACE Reporting of Asset-Backed Securities. Publication is expected in the Federal Register during the week of May 2. (Rel. 34-64364) 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 OSI SYSTEMS INC, 12525 CHADRON AVE, HAWTHORNE, CA, 90250, 3109780516 -
0 ($49,437,000.00) Equity, (File 333-173758 - Apr. 28) (BR. 10B)
S-3ASR TIME WARNER CABLE INC., 60 COLUMBUS CIRCLE, 17TH FLOOR, NEW YORK, NY,
10023, 212-364-8200 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-173760 - Apr. 28) (BR. 11A)
S-1 China Kangtai Cactus Bio-tech, Inc., 99 TAIBEI ROAD,,
LIMIN ECONOMIC AND TECHNOLOGICAL DEVELOP,
HARBIN, HEILONGJIANG PROVINCE,, F4, 150025, 86-451-57351189 -
3,000,000 ($1,260,000.00) Equity, (File 333-173761 - Apr. 28) (BR. 01B)
F-1 Yandex N.V., Laan Copes Van CattenBurch 52, The Hague, P7, 2585,
+31-70-3454700 - 0 ($1,000,000,000.00) Equity, (File 333-173766 -
Apr. 28) (BR. 03B)
N-2 CALAMOS CONVERTIBLE OPPORTUNITIES & INCOME FUND, 2020 CALAMOS COURT,
C/O CALAMOS ADVISORS LLC, NAPERVILLE, IL, 60653, 6302451046 -
0 ($250,000,000.00) Equity, (File 333-173767 - Apr. 28) (BR. 16)
S-8 GOLFSMITH INTERNATIONAL HOLDINGS INC, 11000 N IH-35, AUSTIN, TX,
78753-3195, 5128378810 - 0 ($3,120,000.00) Equity, (File 333-173768 -
Apr. 28) (BR. 02B)
S-8 NeuroMetrix, Inc., 62 FOURTH AVENUE, WALTHAM, MA, 02451,
(781) 890-9989 - 0 ($122,947.00) Equity, (File 333-173769 - Apr. 28)
(BR. 10B)
S-8 GOLD RESERVE INC, 926 W SPRAGUE AVENUE, SUITE 200, SPOKANE, WA, 99201,
5096231500 - 1,232,226 ($2,082,462.00) Equity, (File 333-173771 -
Apr. 28) (BR. 04C)
S-1 Teavana Holdings Inc, ONE LIVE OAK CENTER, 3475 LENOX RD STE 960, GA,
30326, 0 ($100,000,000.00) Equity, (File 333-173775 - Apr. 28) (BR. )
S-8 AEOLUS PHARMACEUTICALS, INC., 26361 CROWN VALLEY PARKWAY, SUITE 150,
MISSION VIEJO, CA, 92691, 9494819825 -
5,000,000 ($2,475,000.00) Equity, (File 333-173776 - Apr. 28) (BR. 01C)
S-8 PLURISTEM THERAPEUTICS INC, MATAM ADVANCED TECHNOLOGY PARK,
BUILDING NO. 20, HAIFA, L3, 31905, 972-74-710-7171 -
5,368,849 ($11,369,168.27) Equity, (File 333-173777 - Apr. 28) (BR. 01B)
S-8 CalAmp Corp., 1401 N. RICE AVENUE, OXNARD, CA, 93030, 8059879000 -
3,000,000 ($9,360,000.00) Equity, (File 333-173778 - Apr. 28) (BR. 11C)
S-8 INSITUFORM TECHNOLOGIES INC, 17988 EDISON AVENUE, CHESTERFIELD, MO,
63005, 6365308000 - 250,000 ($6,135,000.00) Equity, (File 333-173779 -
Apr. 28) (BR. 06A)
S-3ASR FIRST FINANCIAL BANCORP /OH/, 201 E 4TH STREET, SUITE 2000, CINCINNATI,
OH, 45202, 5139795782 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-173780 - Apr. 28) (BR. 07C)
S-3ASR BRIGHTPOINT INC, 7635 INTERACTIVEWAY, SUITE 200, INDIANAPOLIS, IN,
46278, 800-952-2355 - 0 ($0.00) Equity, (File 333-173781 - Apr. 28)
(BR. 10A)
S-8 SAP AG, DIETMAR-HOPP-ALLEE 16, WALLDORF, 2M, 69190, 0114962277 -
2,364,000 ($150,634,080.00) Equity, (File 333-173782 - Apr. 28)
(BR. 03C)
S-3ASR ETFS SILVER TRUST, ETF SECURITIES USA LLC,
555 CALIFORNIA STREET, SUITE 2900, SAN FRANCISCO, CA, 94104,
415-404-6332 - 0 ($0.00) Equity, (File 333-173783 - Apr. 28) (BR. 08B)
S-8 HEWLETT PACKARD CO, 3000 HANOVER ST, MS 1050, PALO ALTO, CA, 94304,
6508571501 - 100,000,000 ($4,051,000,000.00) Equity, (File 333-173784 -
Apr. 28) (BR. 03C)
S-8 W R GRACE & CO, 7500 GRACE DRIVE, COLUMBIA, MD, 21044, 410 531 4000 -
0 ($85,470,000.00) Equity, (File 333-173785 - Apr. 28) (BR. 06B)
S-4 MICHAELS STORES INC, 8000 BENT BRANCH DR, ********, IRVING, TX, 75063,
(972)409-1300 - 0 ($800,000,000.00) Equity, (File 333-173786 - Apr. 28)
(BR. 02B)
S-8 UNIVERSAL AMERICAN SPIN CORP., SIX INTERNATIONAL DRIVE, SUITE 190,
RYE BROOK, NY, 10573, 914-934-5200 - 0 ($69,800,000.00) Equity,
(File 333-173787 - Apr. 28) (BR. 01)
S-8 Transfer Technology International Corp., 2203 N LOIS AVE, SUITE 704,
TAMPA, FL, 33607, 813-600-4081 - 15,000,000 ($150,000.00) Equity,
(File 333-173788 - Apr. 28) (BR. 02A)
S-1 NEAH POWER SYSTEMS, INC., 22122 20TH AVE SE,, SUITE 161, BOTHELL, WA,
98021, 425-424-3324 - 31,000,000 ($310,000.00) Equity,
(File 333-173789 - Apr. 28) (BR. 10B)
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 5.07 04/21/11 AMEND
3D SYSTEMS CORP DE 2.02,7.01,9.01 04/28/11
ABAXIS INC CA 2.02,9.01 04/28/11
ACADIA REALTY TRUST MD 2.02,9.01 04/26/11
Accretive Health, Inc. DE 5.02 04/25/11
ACI WORLDWIDE, INC. DE 2.02,7.01,9.01 04/28/11
ACTIVE POWER INC DE 8.01,9.01 04/28/11
ACURA PHARMACEUTICALS, INC NY 2.02,9.01 04/28/11
ACURA PHARMACEUTICALS, INC NY 5.07 04/28/11
ADOLOR CORP 2.02,9.01 04/28/11
Aegerion Pharmaceuticals, Inc. DE 2.02,8.01,9.01 04/28/11
AETNA INC /PA/ PA 2.02,9.01 04/28/11
AETRIUM INC MN 2.02,9.01 04/27/11
AGENUS INC DE 2.02,9.01 04/28/11
ALASKA COMMUNICATIONS SYSTEMS GROUP I DE 2.02,9.01 04/28/11
ALEXANDER & BALDWIN INC HI 5.07 04/26/11
ALLEGHANY CORP /DE DE 2.02,9.01 04/28/11
Allegiant Travel CO NV 2.02,9.01 04/28/11
Alliance Bancorp, Inc. of Pennsylvani PA 5.07,8.01 04/27/11
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 04/28/11
ALMOST FAMILY INC DE 2.02,9.01 04/28/11
Alon USA Energy, Inc. DE 5.02 04/27/11
Altisource Portfolio Solutions S.A. N4 2.02,9.01 04/28/11
AMEDISYS INC DE 7.01 04/26/11
AMERICA SERVICE GROUP INC /DE DE 2.02,9.01 04/28/11
AMERICAN APPAREL, INC DE 1.01,3.02,3.03,9.01 04/21/11
AMERICAN APPAREL, INC DE 9.01 04/21/11 AMEND
AMERICAN GREETINGS CORP OH 2.02,9.01 04/28/11
American Paramount Gold Corp. NV 1.01,3.02,9.01 04/26/11
American Railcar Industries, Inc. ND 2.02,9.01 04/27/11
AMERIPRISE FINANCIAL INC DE 5.07 04/27/11
AMERISOURCEBERGEN CORP DE 2.02,8.01,9.01 04/28/11
AMERISTAR CASINOS INC NV 5.02,9.01 04/25/11
AMETEK INC/ DE 2.02,8.01,9.01 04/28/11
AMKOR TECHNOLOGY INC DE 2.02,9.01 04/28/11
Ancestry.com Inc. DE 2.02,8.01,9.01 04/28/11
Anchor Funding Services, Inc. DE 1.01,9.01 04/26/11
ANWORTH MORTGAGE ASSET CORP MD 2.02,9.01 04/28/11
AP PHARMA INC /DE/ DE 1.01,3.02,3.03,5.02, 04/24/11
8.01,9.01
APACHE CORP DE 2.02,9.01 04/28/11
ARCH COAL INC DE 7.01,9.01 04/28/11
ARIBA INC DE 2.02,9.01 04/28/11
Arno Therapeutics, Inc DE 5.02,9.01 04/25/11
ARQULE INC DE 5.02,9.01 04/27/11
Artio Global Investors Inc. DE 7.01,9.01 04/28/11
ASPEN INSURANCE HOLDINGS LTD D0 2.02,7.01,9.01 04/28/11
ASPEN INSURANCE HOLDINGS LTD D0 7.01,9.01 04/28/11 AMEND
ASSET ACCEPTANCE CAPITAL CORP 2.02,9.01 04/28/11
ASSURED GUARANTY LTD D0 2.02,9.01 04/28/11
ATHENAHEALTH INC DE 2.02,9.01 04/28/11
ATLAS PIPELINE PARTNERS LP DE 5.02 04/26/11
AVEO PHARMACEUTICALS INC DE 2.02,9.01 04/28/11
AVNET INC NY 2.02,9.01 04/28/11
Axcan Intermediate Holdings Inc. DE 9.01 02/11/11 AMEND
AXIS CAPITAL HOLDINGS LTD 2.02,9.01 04/28/11
BALL CORP IN 2.02,5.07,9.01 04/27/11
BANCORP RHODE ISLAND INC 2.02,9.01 04/28/11
BANK OF FLORIDA CORP FL 5.07 04/26/11
BANK OF NEW ENGLAND CORP MA 1.03 03/31/11
Bank of the Carolinas CORP NC 5.02 04/27/11
BankFinancial CORP 8.01,9.01 04/28/11
BANNER CORP WA 5.07,9.01 04/26/11
BANNER CORP WA 2.02,9.01 04/27/11
BAR HARBOR BANKSHARES ME 2.02 04/28/11
BB&T CORP NC 8.01,9.01 04/28/11
BCB BANCORP INC 2.02,9.01 04/28/11
BCB BANCORP INC 5.07 04/28/11
Beacon Federal Bancorp, Inc. MD 2.02,9.01 04/28/11
BEL FUSE INC /NJ NJ 2.02,9.01 04/28/11
BEL FUSE INC /NJ NJ 2.02,8.01,9.01 04/28/11
BELO CORP DE 2.02,8.01,9.01 04/27/11
BEMIS CO INC MO 2.02,9.01 04/28/11
BERRY PETROLEUM CO DE 2.02,9.01 04/28/11
BigBand Networks, Inc. DE 2.02,9.01 04/28/11
BIGGEST LITTLE INVESTMENTS LP DE 4.01 04/06/11 AMEND
BIOMARIN PHARMACEUTICAL INC DE 2.02,9.01 04/28/11
BioScrip, Inc. DE 5.03,5.07 04/20/11
BORDERS GROUP INC MI 5.02,9.01 04/22/11
BORGWARNER INC DE 2.02 03/31/11
BOTTOMLINE TECHNOLOGIES INC /DE/ DE 2.02,9.01 04/28/11
BRANDYWINE REALTY TRUST MD 2.02,9.01 04/27/11
Bridge Capital Holdings CA 2.02,9.01 04/28/11
BRIGGS & STRATTON CORP WI 2.02,9.01 04/28/11
BRINKS CO VA 2.02,9.01 04/28/11
BRISTOL MYERS SQUIBB CO DE 2.02,9.01 04/28/11
BROADVISION INC DE 2.02,9.01 04/28/11
BRUKER CORP DE 2.02,9.01 04/28/11
BRUNSWICK CORP DE 2.02,9.01 04/28/11
BRYN MAWR BANK CORP PA 2.02,5.07,7.01,9.01 04/28/11
BUILD A BEAR WORKSHOP INC DE 5.02,7.01,9.01 04/28/11
Bunge LTD 2.02,9.01 04/28/11
CABELAS INC DE 2.02,7.01,9.01 04/28/11
CABOT MICROELECTRONICS CORP DE 2.02,9.01 04/28/11
CABOT OIL & GAS CORP DE 2.02,9.01 04/27/11
Calamos Asset Management, Inc. /DE/ 2.02,9.01 04/28/11
CalAmp Corp. DE 2.02,9.01 04/28/11
CALIX, INC 2.02,9.01 04/28/11
CALLAWAY GOLF CO DE 2.02,9.01 04/28/11
CAMERON INTERNATIONAL CORP DE 2.02,9.01 04/24/11
CAPITAL PROPERTIES INC /RI/ RI 5.07,9.01 04/26/11
CAPITAL SOUTHWEST CORP TX 2.02,9.01 04/28/11
CARBO CERAMICS INC DE 2.02,9.01 04/28/11
CARDINAL HEALTH INC OH 2.02,7.01,9.01 04/28/11
CARDTRONICS INC DE 2.02,9.01 04/28/11
CARTERS INC DE 2.02,9.01 04/27/11
CAVCO INDUSTRIES INC DE 2.01,9.01 04/23/11
CAVIUM NETWORKS, INC. DE 2.02,9.01 04/28/11
CDI CORP PA 2.02 04/28/11
CELGENE CORP /DE/ DE 2.02,9.01 04/28/11
CENTENE CORP 2.04,5.07,9.01 04/26/11
CENTER FINANCIAL CORP CA 2.02,9.01 04/27/11
CEPHEID CA 5.02,5.07,8.01 04/26/11
CERNER CORP /MO/ DE 2.02,9.01 04/28/11
CERUS CORP DE 2.02,9.01 04/28/11
CFS BANCORP INC IN 2.02,9.01 03/31/11
CFS BANCORP INC IN 5.02,5.07 04/26/11
CH ENERGY GROUP INC NY 5.02,5.07,9.01 04/26/11
CH ENERGY GROUP INC NY 2.02,9.01 04/28/11
CHARLES & COLVARD LTD NC 2.02,9.01 04/28/11
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 04/27/11
CHINA BAK BATTERY INC NV 2.02,9.01 04/28/11
China Fruits Corportion DE 4.02 04/15/11
CHINA GREEN MATERIAL TECHNOLOGIES, IN NV 4.01,9.01 04/22/11
China Integrated Energy, Inc. DE 5.02,9.01 04/28/11
China New Greenfood Co., Ltd NV 1.01,2.01,3.02,4.01, 01/28/11 AMEND
5.01,5.02,5.06,9.01
China Shengda Packaging Group Inc. NV 4.01 04/28/11
China Shengda Packaging Group Inc. NV 4.01 04/28/11 AMEND
CHOICEONE FINANCIAL SERVICES INC MI 2.02,9.01 04/28/11
Chrysler Group LLC DE 7.01,9.01 04/28/11
CHUBB CORP NJ 5.07 04/26/11
CIRRUS LOGIC INC DE 2.02,9.01 04/28/11
CITIZENS BANCORP OF VIRGINIA INC VA 2.02,9.01 04/28/11
CITIZENS FINANCIAL SERVICES INC PA 2.02,9.01 04/28/11
CITIZENS HOLDING CO /MS/ MS 5.07 04/26/11
CITIZENS REPUBLIC BANCORP, INC. MI 2.02,9.01 04/28/11
CITY HOLDING CO WV 5.07 04/27/11
CME GROUP INC. DE 2.02,9.01 04/28/11
CMS Bancorp, Inc. DE 5.02 04/28/11
CMS ENERGY CORP MI 2.02,9.01 04/28/11
CNA FINANCIAL CORP DE 5.07 04/27/11
COINSTAR INC DE 2.02,7.01,9.01 04/28/11
COLGATE PALMOLIVE CO DE 2.02,9.01 04/28/11
COLOMBIA CLEAN POWER & FUELS, INC NV 1.01,5.02,9.01 04/21/11
COLONIAL PROPERTIES TRUST AL 2.02,7.01,9.01 04/28/11
COLUMBIA BANKING SYSTEM INC WA 2.02,8.01,9.01 04/27/11
COLUMBIA SPORTSWEAR CO OR 2.02,7.01,9.01 04/28/11
Commercial Vehicle Group, Inc. DE 1.01,1.02,2.03,3.03, 04/26/11
8.01,9.01
COMMUNITY CAPITAL CORP /SC/ SC 2.02,9.01 04/28/11
COMMUNITY FIRST BANCORP SC 5.07,8.01 04/25/11
COMMUNITY HEALTH SYSTEMS INC DE 7.01,9.01 04/28/11
CONMED CORP NY 2.02,9.01 04/28/11
CONSOL Energy Inc DE 2.02,7.01,9.01 04/28/11
CONSOLIDATED TOMOKA LAND CO FL 5.03,5.07,9.01 04/28/11
Constant Contact, Inc. DE 2.02,9.01 04/28/11
CONSTELLATION ENERGY GROUP INC MD 8.01,9.01 04/28/11
CONSTELLATION ENERGY GROUP INC MD 1.01,9.01 04/28/11
CORPORATE OFFICE PROPERTIES TRUST MD 2.05,2.06 04/25/11
CORPORATE OFFICE PROPERTIES TRUST MD 2.02,9.01 04/28/11
CORTLAND BANCORP INC OH 2.02,9.01 04/28/11
COSI INC DE 2.02,9.01 04/27/11
COSTAR GROUP INC DE 1.01,9.01 04/27/11
CRA INTERNATIONAL, INC. MA 2.02,9.01 04/28/11
Crocs, Inc. 2.02,9.01 04/28/11
Crocs, Inc. 5.02 04/28/11
CROSS A T CO RI 2.02 04/28/11
CROSS BORDER RESOURCES, INC. NV 1.01,9.01 04/26/11
CROWN CASTLE INTERNATIONAL CORP DE 2.02,9.01 04/27/11
CRYOLIFE INC FL 2.02,9.01 04/28/11
CURIS INC DE 2.02,9.01 04/28/11
Danvers Bancorp, Inc. DE 2.02,9.01 03/31/11
DATAWATCH CORP DE 2.02,5.07,9.01 04/26/11
DECKERS OUTDOOR CORP DE 2.02,9.01 04/28/11
DELTA APPAREL, INC GA 2.02,7.01,9.01 04/28/11
DELUXE CORP MN 2.02,9.01 04/28/11
DENMARK BANCSHARES INC WI 5.07 04/26/11
DENTSPLY INTERNATIONAL INC /DE/ DE 2.02,9.01 04/28/11
DEVELOPERS DIVERSIFIED REALTY CORP OH 2.02,9.01 04/27/11
DEVELOPERS DIVERSIFIED REALTY CORP OH 8.01,9.01 04/28/11
Diamond Foods Inc DE 5.02 04/27/11
DICE HOLDINGS, INC. DE 2.02,9.01 04/27/11
Digerati Technologies, Inc. NV 8.01,9.01 04/27/11
Digital Realty Trust, Inc. 2.02,7.01,9.01 04/28/11
DIGITAL RIVER INC /DE DE 2.02,9.01 04/28/11
Diligent Board Member Services, Inc. DE 8.01 04/27/11
Discovery Communications, Inc. DE 2.02,9.01 04/28/11
DNB FINANCIAL CORP /PA/ PA 5.07,9.01 04/27/11
DOLLAR FINANCIAL CORP DE 2.02,9.01 04/28/11
DOMINION RESOURCES INC /VA/ VA 2.02,9.01 04/28/11
Domtar CORP DE 2.02,9.01 04/28/11
DORAL FINANCIAL CORP PR 8.01 04/21/11
DOVER DOWNS GAMING & ENTERTAINMENT IN DE 2.02,7.01,9.01 04/28/11
DOVER MOTORSPORTS INC DE 2.02,7.01,9.01 04/28/11
DOW CHEMICAL CO /DE/ DE 2.02,9.01 04/28/11
Dresser-Rand Group Inc. DE 2.02,9.01 04/28/11
DRUGSTORE COM INC DE 2.02,8.01,9.01 04/28/11
DSP GROUP INC /DE/ DE 2.02,9.01 04/28/11
DYNAMIC MATERIALS CORP DE 2.02,9.01 04/28/11
DYNAMICS RESEARCH CORP MA 2.02,9.01 04/27/11
DYNAMICS RESEARCH CORP MA 2.02,9.01 04/27/11 AMEND
E TRADE FINANCIAL CORP DE 8.01,9.01 04/25/11
EARTHLINK INC DE 2.02,9.01 04/28/11
EASTERN CO CT 5.07 04/27/11
EASTMAN CHEMICAL CO DE 2.02,9.01 03/31/11
EASTMAN KODAK CO NJ 2.02,9.01 04/28/11
ELIZABETH ARDEN INC FL 2.02,9.01 04/28/11
EMPIRE DISTRICT ELECTRIC CO KS 2.02,9.01 04/28/11
ENB Financial Corp PA 8.01,9.01 04/27/11
ENCORE WIRE CORP DE 2.02,7.01,9.01 04/27/11
ENDO PHARMACEUTICALS HOLDINGS INC DE 2.02,9.01 04/28/11
ENERGY XXI (BERMUDA) LTD D0 2.02,9.01 04/27/11
Enertopia Corp. NV 1.01,3.02,7.01,9.01 04/28/11
ENTERPRISE FINANCIAL SERVICES CORP DE 2.02,9.01 04/28/11
ENVIRONMENTAL SERVICE PROFESSIONALS, NV 8.01,9.01 04/27/11
ENXNET INC OK 7.01,9.01 04/27/11
EPICEPT CORP 5.02,9.01 04/27/11
EPIQ SYSTEMS INC MO 2.02,9.01 04/28/11
EPLUS INC DE 5.02,9.01 02/28/11 AMEND
EPOCRATES INC DE 5.07 04/27/11
EQT Corp PA 2.02,9.01 04/28/11
EQUITY RESIDENTIAL MD 2.02,9.01 04/27/11
ESSA Bancorp, Inc. PA 2.02,9.01 04/27/11
EVANS BANCORP INC NY 2.02,9.01 04/27/11
Evercore Partners Inc. DE 2.02,9.01 04/28/11
EVERGREEN SOLAR INC DE 2.02,7.01,9.01 04/27/11
EXELON CORP PA 8.01,9.01 04/28/11
EXELON CORP PA 1.01,9.01 04/28/11
Expedia, Inc. 2.02,7.01,8.01,9.01 04/28/11
EXTREME NETWORKS INC DE 2.02,9.01 04/28/11
EXXON MOBIL CORP NJ 2.02,7.01 04/28/11
FALCONSTOR SOFTWARE INC DE 2.02,9.01 04/28/11
Federal Home Loan Bank of Atlanta X1 2.02,9.01 04/28/11
Federal Home Loan Bank of Atlanta X1 2.03 04/28/11
Federal Home Loan Bank of Boston X1 2.03 04/25/11
Federal Home Loan Bank of Chicago X1 2.02,9.01 04/28/11
Federal Home Loan Bank of Chicago X1 2.03 04/25/11
Federal Home Loan Bank of Cincinnati X1 2.02,9.01 04/28/11
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 04/25/11
Federal Home Loan Bank of Dallas 2.02,9.01 04/28/11
Federal Home Loan Bank of Des Moines X1 2.02,7.01,9.01 04/28/11
Federal Home Loan Bank of Des Moines X1 2.03,9.01 04/26/11
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 04/28/11
Federal Home Loan Bank of Indianapoli X1 2.02,9.01 04/28/11
Federal Home Loan Bank of New York X1 2.02,8.01,9.01 04/28/11
Federal Home Loan Bank of New York X1 2.03,9.01 04/25/11
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 04/25/11
Federal Home Loan Bank of Pittsburgh PA 2.02,7.01,9.01 04/28/11
Federal Home Loan Bank of San Francis X1 2.03 04/25/11
Federal Home Loan Bank of Seattle 2.03 04/25/11
Federal Home Loan Bank of Seattle 2.02,9.01 04/28/11
Federal Home Loan Bank of Topeka 2.03,9.01 04/26/11
Federal Home Loan Bank of Topeka 2.02,7.01,9.01 04/28/11
FEDERAL MOGUL CORP DE 2.02,7.01,9.01 04/28/11
FEDERATED INVESTORS INC /PA/ PA 2.02,9.01 04/28/11
Feihe International Inc UT 7.01,9.01 04/28/11
FIDELITY D & D BANCORP INC PA 2.02,9.01 04/27/11
Fidelity National Financial, Inc. 2.02,9.01 04/28/11
First American Financial Corp DE 2.02,9.01 04/28/11
First Bancorp, Inc /ME/ ME 8.01 04/27/11
First Bancorp, Inc /ME/ ME 5.07 04/27/11
First California Financial Group, Inc DE 2.02,9.01 04/28/11
FIRST CENTURY BANKSHARES INC WV 5.07,8.01,9.01 04/26/11
FIRST CITIZENS BANCSHARES INC /DE/ DE 5.07 04/25/11
FIRST FINANCIAL BANCORP /OH/ OH 2.02,9.01 04/27/11
FIRST FINANCIAL BANKSHARES INC TX 5.07,7.01,9.01 04/26/11
FIRST FINANCIAL HOLDINGS INC /DE/ DE 2.02,9.01 04/28/11
FIRST INDUSTRIAL REALTY TRUST INC MD 5.02,9.01 04/28/11
FIRST INDUSTRIAL REALTY TRUST INC MD 2.02,9.01 04/27/11
FIRST MERCHANTS CORP IN 2.02,9.01 04/28/11
FIRST MERCHANTS CORP IN 2.02,9.01 04/28/11
FIVE STAR QUALITY CARE INC 2.02,9.01 04/28/11
FLUIDIGM CORP DE 1.01 04/24/11
FMC CORP DE 5.07 04/26/11
FORRESTER RESEARCH INC DE 2.02,9.01 04/28/11
FORTUNE INDUSTRIES, INC. DE 4.02 04/26/11
Fox Chase Bancorp Inc 2.02,9.01 04/28/11
Franklin Financial Corp VA 8.01,9.01 04/25/11
FRANKLIN RESOURCES INC DE 2.02,9.01 04/28/11
FREESTONE RESOURCES, INC. NV 3.02 04/28/11
Freshwater Technologies Inc. NV 1.01,9.01 04/25/11
FULTON FINANCIAL CORP PA 7.01,9.01 04/28/11
Furiex Pharmaceuticals, Inc. DE 2.02,9.01 04/28/11
GATX CORP NY 5.07 04/22/11
GEN PROBE INC DE 2.02,9.01 04/28/11
GENESEE & WYOMING INC DE 2.02,8.01,9.01 04/28/11
Georgetown Bancorp, Inc. X1 5.07,9.01 04/26/11
GeoVax Labs, Inc. DE 2.02,9.01 04/27/11
GEOVIC MINING CORP. DE 7.01,9.01 04/28/11
GFI Group Inc. DE 2.02,9.01 04/28/11
GLATFELTER P H CO PA 8.01,9.01 04/28/11
Global Geophysical Services Inc DE 5.02,9.01 04/27/11
GLOBALSCAPE INC DE 8.01 04/28/11
GNC HOLDINGS, INC. DE 2.02,9.01 04/28/11
GOLDMAN SACHS GROUP INC DE 9.01 04/28/11
GOLFSMITH INTERNATIONAL HOLDINGS INC DE 2.02,9.01 04/28/11
Graham Packaging Co Inc. DE 2.02,9.01 04/28/11
GRAHAM PACKAGING HOLDINGS CO DE 2.02,9.01 04/28/11
GREATBATCH, INC. DE 2.02,9.01 04/28/11
GREEN DOT CORP DE 2.02,9.01 04/28/11
GREENBRIER COMPANIES INC DE 8.01,9.01 04/27/11
GSI COMMERCE INC DE 2.02,9.01 04/28/11
GT Solar International, Inc. DE 5.02 04/22/11
GULF RESOURCES, INC. DE 8.01,9.01 04/28/11
HANGER ORTHOPEDIC GROUP INC DE 2.02,9.01 04/27/11
HARMAN INTERNATIONAL INDUSTRIES INC / DE 2.02,7.01,9.01 04/28/11
HARMONIC INC DE 2.02,9.01 04/28/11
HARRIS INTERACTIVE INC DE 2.02,8.01,9.01 04/25/11
HARSCO CORP DE 2.02,9.01 04/28/11
HARTE HANKS INC DE 2.02,9.01 04/28/11
Hartman Short Term Income Properties MD 2.01 04/27/11
HEALTHSOUTH CORP DE 2.02,7.01,9.01 04/28/11
HealthSpring, Inc. DE 2.02,9.01 04/28/11
HealthWarehouse.com, Inc. DE 7.01 04/28/11
HELMERICH & PAYNE INC DE 2.02,9.01 04/28/11
HERCULES OFFSHORE, INC. DE 2.02,9.01 04/28/11
HERITAGE BANKSHARES INC /VA VA 2.02,8.01,9.01 04/27/11
HEXCEL CORP /DE/ DE 7.01,9.01 04/27/11
HIGHLANDS BANCORP, INC. NJ 2.02,9.01 04/27/11
Hill-Rom Holdings, Inc. IN 2.02,9.01 04/27/11
HITTITE MICROWAVE CORP 2.02,9.01 04/28/11
HOLLY ENERGY PARTNERS LP DE 2.02,9.01 04/28/11
HOST HOTELS & RESORTS, INC. MD 2.02,9.01 04/28/11
HS3 TECHNOLOGIES INC. 1.01,9.01 04/27/10
Hudson Pacific Properties, Inc. MD 1.01,3.02 04/26/11
HUMAN GENOME SCIENCES INC DE 2.02,9.01 04/28/11
IA GLOBAL INC DE 5.02,9.01 04/26/11
ICAHN ENTERPRISES L.P. DE 8.01,9.01 04/28/11
IKANOS COMMUNICATIONS CA 2.02,9.01 04/28/11
IMAGING3 INC CA 8.01 04/27/11
IMAX CORP A6 2.02,9.01 04/28/11
IMMUNOGEN INC MA 2.02,9.01 04/28/11
IMPERIAL OIL LTD 2.02,9.01 04/28/11
INDEPENDENT BANK CORP /MI/ MI 5.02,5.07 04/26/11
INDIANA COMMUNITY BANCORP IN 5.07 04/26/11
INFINERA CORP DE 2.02,9.01 04/28/11
INGRAM MICRO INC DE 2.02,9.01 04/28/11
INNODATA ISOGEN INC DE 2.02,9.01 04/28/11
INTEGRA LIFESCIENCES HOLDINGS CORP DE 2.02,7.01,9.01 04/28/11
INTEGRATED FREIGHT Corp FL 5.02,8.01 04/08/11
Integrated Management Information, In 1.01 04/22/11
InterDigital, Inc. PA 2.02,9.01 04/27/11
INTERMUNE INC DE 2.02,9.01 04/28/11
INTERNAP NETWORK SERVICES CORP DE 2.02,9.01 04/28/11
INTERNATIONAL BUSINESS MACHINES CORP NY 5.07 04/26/11
INTERNATIONAL PAPER CO /NEW/ NY 2.02,9.01 04/28/11
INVACARE CORP OH 2.02,9.01 04/28/11
Investors Bancorp Inc DE 2.02,9.01 04/28/11
IRON MOUNTAIN INC DE 2.02,9.01 04/28/11
ISTAR FINANCIAL INC MD 2.02,9.01 04/28/11
ITC Holdings Corp. MI 2.02,9.01 04/27/11
ITERIS, INC. DE 5.02 04/22/11
JACKSONVILLE BANCORP INC /FL/ FL 5.07 04/28/11
JAVO BEVERAGE CO INC DE 8.01,9.01 04/28/11
JDA SOFTWARE GROUP INC DE 5.02 04/26/11
JONES GROUP INC PA 1.01,2.03,9.01 04/28/11
KADANT INC DE 2.02,9.01 04/27/11
KADANT INC DE 2.02,9.01 04/28/11
KAISER ALUMINUM CORP DE 2.02,9.01 04/27/11
KBS Real Estate Investment Trust, Inc MD 1.01 04/22/11
KBW, INC. 2.02,7.01,9.01 04/28/11
KENNAMETAL INC PA 2.02,9.01 04/28/11
KEY TECHNOLOGY INC OR 2.02,9.01 04/28/11
KIRBY CORP NV 2.02,9.01 04/27/11
Kirin International Holding, Inc. NV 5.02 04/27/11
Kirin International Holding, Inc. NV 1.01,2.01,3.02,4.01, 03/01/11 AMEND
9.01
KLA TENCOR CORP DE 2.02,9.01 04/28/11
KONA GRILL INC DE 2.02,9.01 04/27/11
KOPIN CORP DE 2.02,9.01 04/28/11
L 3 COMMUNICATIONS HOLDINGS INC DE 5.07 04/26/11
Lake Shore Bancorp, Inc. X1 2.02,8.01,9.01 04/28/11
LANCASTER COLONY CORP OH 2.02,9.01 04/28/11
Laufer Bridge Enterprises, Inc. NV 8.01,9.01 04/28/11
LAWSON PRODUCTS INC/NEW/DE/ DE 2.02,9.01 04/28/11
Legacy Bancorp, Inc. 2.02,9.01 04/28/11
LEGGETT & PLATT INC MO 2.02,7.01,9.01 04/28/11
LEHMAN BROTHERS HOLDINGS INC DE 7.01,9.01 04/27/11
LEMAITRE VASCULAR INC 2.02,9.01 04/28/11
Lender Processing Services, Inc. DE 2.02,9.01 04/28/11
LEXMARK INTERNATIONAL INC /KY/ DE 5.02,5.07,8.01,9.01 04/28/11
LIBBEY INC DE 2.02,9.01 04/28/11
Life Technologies Corp DE 5.02,5.03,5.07,9.01 04/28/11
LIGHTING SCIENCE GROUP CORP DE 1.01,2.01,3.02,9.01 04/22/11
LIGHTPATH TECHNOLOGIES INC DE 2.02,9.01 04/28/11
Lightyear Network Solutions, Inc. NV 3.02 04/27/11
LINN ENERGY, LLC DE 2.02,9.01 03/31/11
LITTLEFIELD CORP DE 2.02,9.01 04/27/11
LIVEPERSON INC DE 5.02,9.01 04/22/11
LKQ CORP DE 2.02,9.01 04/28/11
LOCKHEED MARTIN CORP MD 5.07,9.01 04/28/11
LOGITECH INTERNATIONAL SA 2.02,9.01 04/27/11
LoopNet, Inc. DE 1.01,8.01,9.01 04/27/11
LSI INDUSTRIES INC OH 2.02,9.01 04/28/11
LUBRIZOL Corp OH 2.02,8.01,9.01 04/27/11
M I HOMES INC OH 2.02,9.01 04/28/11
MACATAWA BANK CORP MI 2.02,9.01 04/28/11
MACK CALI REALTY CORP MD 2.02,7.01,9.01 04/27/11
MAGNUM HUNTER RESOURCES CORP DE 8.01,9.01 04/13/11 AMEND
MARINE PRODUCTS CORP DE 5.07 04/26/11
MATERION Corp 2.02,9.01 04/28/11
MAXLINEAR INC 2.02,9.01 04/28/11
MAXWELL TECHNOLOGIES INC DE 2.02,9.01 04/28/11
MB FINANCIAL INC /MD MD 2.02,9.01 04/27/11
MCGRAW-HILL COMPANIES INC NY 5.07 04/27/11
MDC PARTNERS INC A6 2.02,7.01,9.01 04/28/11
Mead Johnson Nutrition Co DE 2.02,5.07,9.01 04/26/11
MEDCO HEALTH SOLUTIONS INC DE 2.02,9.01 04/28/11
MEDICINES CO /DE DE 5.02,9.01 04/26/11
MERCER GOLD CORP. NV 5.02 04/25/11
Meritage Homes CORP MD 2.02,9.01 04/28/11
METALICO INC 2.02,9.01 04/28/11
MICREL INC CA 1.01 04/22/11
MICROS SYSTEMS INC MD 2.02,9.01 04/28/11
MICROSEMI CORP DE 2.02,9.01 04/28/11
MICROSOFT CORP WA 2.02,9.01 04/28/11
MidWestOne Financial Group, Inc. IA 2.02,9.01 04/28/11
Milwaukee Iron Arena Football, Inc 4.01,9.01 04/28/11
MINE SAFETY APPLIANCES CO PA 2.02,9.01 04/28/11
MINERALS TECHNOLOGIES INC DE 2.02,9.01 04/28/11
Monarch Financial Holdings, Inc. VA 2.02,9.01 04/28/11
MONEYGRAM INTERNATIONAL INC 2.02,9.01 04/28/11
MONEYGRAM INTERNATIONAL INC 5.02,9.01 04/26/11
MONOLITHIC POWER SYSTEMS INC CA 2.02,9.01 04/28/11
MONSTER WORLDWIDE INC DE 2.02,9.01 04/28/11
Morningstar, Inc. IL 2.02,9.01 04/27/11
MoSys, Inc. CA 2.02,9.01 04/28/11
Motorola Mobility Holdings, Inc 2.02,9.01 04/28/11
Motorola Solutions, Inc. DE 2.02,9.01 04/28/11
Motors Liquidation Co DE 8.01 04/21/11
MULTIBAND CORP MN 5.02,9.01 04/25/11
NANOMETRICS INC DE 2.02,9.01 04/28/11
NASH FINCH CO DE 2.02,9.01 04/28/11
NATIONAL BANCSHARES CORP /OH/ OH 2.02 03/31/11
NATIONAL INSTRUMENTS CORP /DE/ DE 2.02,9.01 04/28/11
NATIONAL PENN BANCSHARES INC PA 7.01,9.01 04/26/11
NATURES SUNSHINE PRODUCTS INC UT 5.02,9.01 04/22/11
NATUS MEDICAL INC DE 2.02,9.01 04/28/11
NAUTILUS, INC. WA 2.02,9.01 04/28/11
NCR CORP MD 2.02,9.01 04/28/11
NETGEAR, INC DE 2.02,9.01 04/28/11
NETSCOUT SYSTEMS INC DE 2.02,9.01 04/28/11
NETSUITE INC 2.02,9.01 04/28/11
NeurogesX Inc CA 8.01,9.01 04/28/11
NeuroMetrix, Inc. DE 2.02,9.01 04/28/11
NEW YORK TIMES CO NY 5.07 04/27/11
NewCardio, Inc. DE 2.03,9.01 04/21/11
NICHOLAS FINANCIAL INC FL 7.01,9.01 04/27/11
Nielsen Holdings N.V. P7 2.02,9.01 04/28/11
NII HOLDINGS INC DE 2.02,9.01 04/28/11
NOBLE ENERGY INC DE 2.02,9.01 04/28/11
NORTEK INC DE 1.01,1.02,2.03,9.01 04/28/11
NORTHERN OIL & GAS, INC. 4.01,9.01 04/26/11
Northfield Bancorp, Inc. X1 2.02,9.01 04/27/11
NORTHRIM BANCORP INC AK 2.02,9.01 04/26/11
NORWOOD FINANCIAL CORP PA 5.07 04/26/11
NOVELL INC DE 1.01,2.01,3.01,3.03, 04/25/11
5.01,5.02,5.03,8.01,
9.01
NPC INTERNATIONAL INC KS 2.02,9.01 04/26/11
NSTAR/MA 2.02,9.01 04/28/11
NUMEREX CORP /PA/ PA 2.02,9.01 04/28/11
NUTRACEUTICAL INTERNATIONAL CORP DE 2.02,9.01 04/28/11
NYSE Euronext DE 2.02,9.01 04/28/11
O REILLY AUTOMOTIVE INC 2.02,9.01 04/27/11
OCCIDENTAL PETROLEUM CORP /DE/ DE 2.02,8.01,9.01 01/28/11
OCLARO, INC. DE 2.02,9.01 04/28/11
OFFICEMAX INC DE 2.02,9.01 04/28/11
OIL STATES INTERNATIONAL, INC DE 2.02,9.01 04/27/11
OLD REPUBLIC INTERNATIONAL CORP DE 2.02,9.01 03/31/11
OLIN CORP VA 2.02,9.01 04/28/11
OMNICARE INC DE 2.02,9.01 04/28/11
ON ASSIGNMENT INC DE 2.02,9.01 04/28/11
Oncothyreon Inc. DE 8.01,9.01 04/28/11
ONYX PHARMACEUTICALS INC DE 7.01,8.01 04/28/11
OPENWAVE SYSTEMS INC DE 2.02,9.01 04/28/11
OPTICAL CABLE CORP VA 1.01,9.01 04/22/11
ORRSTOWN FINANCIAL SERVICES INC PA 2.02,9.01 04/28/11
Orsus Xelent Technologies Inc DE 5.03,9.01 04/27/11
OSHKOSH CORP WI 2.02,9.01 04/28/11
OVERSTOCK.COM, INC DE 2.02,9.01 04/28/11
PACER INTERNATIONAL INC TN 2.02,5.03,5.07,9.01 04/28/11
PACIFIC PREMIER BANCORP INC DE 2.02,9.01 03/31/11
PALOMAR MEDICAL TECHNOLOGIES INC DE 2.02,9.01 04/28/11
Park Sterling Corp NC 2.02,7.01,8.01,9.01 04/28/11
PATHFINDER BANCORP INC DE 8.01 04/27/11
PATRICK INDUSTRIES INC IN 2.02,9.01 04/28/11
PATTERSON UTI ENERGY INC DE 2.02,7.01,9.01 04/28/11
PDF SOLUTIONS INC DE 2.02,9.01 04/28/11
PEAPACK GLADSTONE FINANCIAL CORP NJ 5.07 04/26/11
PENSKE AUTOMOTIVE GROUP, INC. DE 2.02,7.01,9.01 04/28/11
PEPSICO INC NC 2.02,9.01 04/28/11
PHARMACYCLICS INC DE 7.01,8.01,9.01 04/26/11
PINNACLE BANKSHARES CORP VA 8.01 04/28/11
PINNACLE ENTERTAINMENT INC. DE 2.02,9.01 04/28/11
PLATINUM UNDERWRITERS HOLDINGS LTD D0 5.07 04/27/11
PLUMAS BANCORP CA 2.02,9.01 04/28/11
PMC SIERRA INC DE 2.02,9.01 04/28/11
POLYONE CORP 2.02,9.01 04/28/11
POTASH CORP OF SASKATCHEWAN INC 2.02,9.01 04/28/11
PRAXAIR INC DE 5.02,5.07 04/26/11
PREVENTION INSURANCE COM INC 5.03,9.01 04/27/11
PRIMEDIA INC DE 2.02,7.01,9.01 04/28/11
PRIVATEBANCORP, INC DE 7.01,9.01 04/28/11
PRO PHARMACEUTICALS INC NV 1.01,9.01 04/22/11
PROCTER & GAMBLE CO OH 2.02 04/28/11
PROVIDENT FINANCIAL SERVICES INC DE 2.02,7.01,9.01 04/28/11
PUBLIC MEDIA WORKS INC DE 7.01,9.01 04/28/11
PULASKI FINANCIAL CORP MO 5.02 04/27/11
PULTEGROUP INC/MI/ MI 2.02,9.01 04/28/11
PVF CAPITAL CORP OH 2.02,9.01 04/27/11
Pzena Investment Management, Inc. DE 2.02,9.01 03/31/11
QLIK TECHNOLOGIES INC DE 2.02,9.01 04/28/11
QUAINT OAK BANCORP INC 2.02,9.01 04/28/11
QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 3.02 04/22/11
QUIDEL CORP /DE/ DE 2.02,9.01 04/28/11
RADIANT SYSTEMS INC GA 2.02,9.01 04/28/11
RAILAMERICA INC /DE DE 2.02,9.01 04/27/11
RAMCO GERSHENSON PROPERTIES TRUST MD 5.03,9.01 04/28/11
RAYTHEON CO/ DE 2.02,9.01 04/28/11
RDA Holding Co. 5.02,9.01 04/24/11
REALTY INCOME CORP MD 2.02,9.01 04/28/11
REGAL ENTERTAINMENT GROUP DE 2.02,8.01,9.01 04/28/11
Reliance Bancshares, Inc. MO 5.02,9.01 04/25/11
RELIANCE STEEL & ALUMINUM CO CA 2.02,9.01 04/28/11
RENAISSANCE LEARNING INC WI 5.07,8.01,9.01 04/27/11
REPUBLIC FIRST BANCORP INC PA 5.07 04/26/11
REPUBLIC SERVICES, INC. DE 2.02,9.01 03/31/11
Reshoot Production CO NV 5.02 04/22/11
RESMED INC DE 2.02,9.01 04/28/11
RETAIL VENTURES INC OH 3.02 04/28/11
REVLON INC /DE/ DE 2.02,9.01 04/28/11
RIMAGE CORP MN 2.02,9.01 04/28/11
RLI CORP IL 2.01,9.01 04/28/11
Rock-Tenn CO GA 8.01,9.01 04/27/11
ROMA FINANCIAL CORP X1 5.07 04/27/11
Rosetta Resources Inc. DE 7.01,9.01 04/28/11
ROWAN COMPANIES INC DE 7.01,9.01 04/28/11
ROWAN COMPANIES INC DE 5.07 04/28/11
ROYAL CARIBBEAN CRUISES LTD 2.02,7.01,9.01 04/28/11
RPC INC DE 5.07 04/26/11
RTI Biologics, Inc. DE 2.02,9.01 04/28/11
RURBAN FINANCIAL CORP OH 2.02,9.01 04/27/11
RYLAND GROUP INC MD 5.07 04/27/11
S&W Seed Co DE 8.01,9.01 04/28/11
SAFEWAY INC DE 2.02,9.01 04/28/11
SAIA INC DE 2.02,9.01 04/28/11
SANFILIPPO JOHN B & SON INC DE 2.02,9.01 04/28/11
Santaro Interactive Entertainment Co NV 4.01,9.01 04/18/11 AMEND
SARATOGA RESOURCES INC /TX TX 1.01,3.02,9.01 04/21/11 AMEND
SAUL CENTERS INC MD 1.01,2.03,9.01 03/23/11
SAVVIS, Inc. DE 1.01,8.01,9.01 04/26/11
SAVVIS, Inc. DE 2.02,9.01 04/27/11
SCANSOURCE INC SC 2.02,9.01 04/28/11
SCHWEITZER MAUDUIT INTERNATIONAL INC DE 8.01 04/27/11
SEABOARD CORP /DE/ DE 5.07 04/25/11
SEACOAST BANKING CORP OF FLORIDA FL 2.02,7.01,9.01 04/25/11
Sebring Software, Inc. NV 1.01,2.01,2.03,5.01, 10/25/10 AMEND
5.02,5.03,5.07,9.01
SEN YU INTERNATIONAL HOLDINGS, INC. DE 4.02 04/28/11
SENIOR HOUSING PROPERTIES TRUST MD 2.02,9.01 04/27/11
SEVERN BANCORP INC MD 5.07 04/28/11
Shire plc 2.02,9.01 04/28/11
SI Financial Group, Inc. 2.02,9.01 04/27/11
Sino Gas International Holdings, Inc. UT 5.02 04/25/11
SJW CORP CA 2.02,5.07,9.01 03/31/11
Sky Harvest Windpower Corp. NV 5.01,9.01 04/28/11
SKYWORKS SOLUTIONS INC DE 2.02,9.01 04/28/11
SL GREEN REALTY CORP MD 2.02,7.01,9.01 04/27/11
SMART Modular Technologies (WWH), Inc E9 1.01,9.01 04/26/11
SMITH MIDLAND CORP DE 1.01,2.03,9.01 04/26/11
Solera National Bancorp, Inc. DE 2.02,9.01 04/28/11
SONIC FOUNDRY INC MD 2.02,9.01 04/28/11
Sonora Resources Corp. NV 1.01,9.01 04/15/11
SOUTHCOAST FINANCIAL CORP SC 2.02,9.01 04/22/11
SOUTHERN COMMUNITY FINANCIAL CORP 2.02,9.01 04/28/11
SOUTHERN COPPER CORP/ DE 5.07 04/28/11
SOUTHERN MISSOURI BANCORP INC MO 2.02,9.01 04/25/11
SPAN AMERICA MEDICAL SYSTEMS INC SC 2.02,9.01 04/28/11
Spansion Inc. DE 2.02,9.01 04/28/11
SPRINGLEAF FINANCE CORP IN 8.01 04/28/11
SPRINGLEAF FINANCE INC IN 8.01 04/28/11
SPRINT NEXTEL CORP KS 2.02,9.01 04/28/11
SPS COMMERCE INC 2.02,9.01 04/28/11
ST LAWRENCE SEAWAY CORP DE 2.01,8.01 04/22/11
STANDARD MICROSYSTEMS CORP DE 9.01 11/12/10 AMEND
STANDARD PACIFIC CORP /DE/ DE 2.02,9.01 04/28/11
STANDEX INTERNATIONAL CORP/DE/ DE 2.02,9.01 03/31/11
STARTEK INC DE 2.02,9.01 04/28/11
STARWOOD HOTEL & RESORTS WORLDWIDE IN MD 2.02,9.01 04/28/11
StellarOne CORP VA 2.02 04/28/11
STERLING BANCORP NY 2.02,7.01,9.01 04/26/11
STEWART INFORMATION SERVICES CORP DE 2.02,9.01 04/28/11
STILLWATER MINING CO /DE/ DE 8.01 04/28/11
STRAYER EDUCATION INC MD 2.02,5.02,5.07,9.01 04/26/11
STREAMLINE HEALTH SOLUTIONS INC. DE 5.02,9.01 04/22/11
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 04/15/11
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 04/15/11
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 04/15/11
STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 04/15/11
STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 04/15/11
STRUCTURED PRODUCTS CORP CORTS TR FOR DE 8.01,9.01 04/27/11
STRUCTURED PRODUCTS CORP CORTS TRUST DE 8.01 04/27/11
SuccessFactors, Inc. DE 1.01 04/26/11
SUN COMMUNITIES INC MD 2.02,9.01 04/28/11
SUN RIVER ENERGY, INC CO 3.02,5.03,9.01 04/25/11
SUNGARD CAPITAL CORP DE 2.02,9.01 04/28/11
SUNPOWER CORP DE 8.01,9.01 04/28/11
SUPERIOR ENERGY SERVICES INC DE 2.02,9.01 04/27/11
SUPERVALU INC DE 5.02 04/21/11
Support.com, Inc. DE 2.02,9.01 04/28/11
SupportSave Solutions Inc 5.02 04/23/11
SUREWEST COMMUNICATIONS CA 2.02,9.01 04/28/11
Surna Inc. NV 1.01,9.01 04/28/11
TACTICAL AIR DEFENSE SERVICES, INC. 1.01,3.02,5.03,7.01, 04/24/11
9.01
TAL International Group, Inc. DE 2.02,9.01 04/27/11
TALEO CORP DE 1.01,2.03,9.01 04/22/11
TAYLOR CAPITAL GROUP INC DE 7.01,9.01 04/28/11
TAYLOR CAPITAL GROUP INC DE 2.02,9.01 04/28/11
TBS International plc L2 7.01,9.01 04/27/11 AMEND
TC PIPELINES LP DE 7.01,9.01 04/28/11
Team Nation Holdings CORP 5.03,9.01 04/28/11
TechniScan, Inc. DE 2.04 04/23/11
TELECOMMUNICATION SYSTEMS INC /FA/ MD 2.02,9.01 04/28/11
TELEDYNE TECHNOLOGIES INC DE 5.02,5.07 04/26/11
TELEFLEX INC DE 5.02,5.07 04/22/11
TeleNav, Inc. DE 2.02,9.01 04/28/11
TEMPUR PEDIC INTERNATIONAL INC DE 5.07 04/26/11
TERADYNE, INC MA 2.02,9.01 04/27/11
TERRACE VENTURES INC NV 1.01,7.01,9.01 04/26/11
TESORO CORP /NEW/ DE 1.01,9.01 04/19/11 AMEND
TESSCO TECHNOLOGIES INC DE 2.02,9.01 04/27/11
TESSCO TECHNOLOGIES INC DE 5.03,9.01 04/25/11
TESSERA TECHNOLOGIES INC DE 2.02,9.01 04/28/11
Texas Rare Earth Resources Corp. NV 5.02,9.01 04/21/11
TF FINANCIAL CORP DE 2.02,9.01 04/28/11
THERAVANCE INC DE 2.02,9.01 04/28/11
TIMBERLAND BANCORP INC WA 2.02,9.01 04/26/11
TIMBERLAND CO DE 1.01 04/26/11
TIME WARNER CABLE INC. DE 2.02,9.01 04/28/11
TOLLGRADE COMMUNICATIONS INC \PA\ PA 8.01,9.01 04/27/11
TOOTSIE ROLL INDUSTRIES INC VA 2.02,9.01 04/02/11
TOWER FINANCIAL CORP IN 2.02,9.01 04/28/11
TRACTOR SUPPLY CO /DE/ DE 7.01,8.01,9.01 04/28/11
TRANSATLANTIC PETROLEUM LTD. D0 1.01,3.02,8.01,9.01 04/23/11
TreeHouse Foods, Inc. DE 5.03,5.07,9.01 04/28/11
TRICO BANCSHARES / CA 8.01,9.01 04/28/11
TRIMAS CORP DE 2.02,9.01 04/28/11
TRINITY INDUSTRIES INC DE 2.02,7.01,9.01 04/27/11
Tropicana Las Vegas Hotel & Casino, I DE 1.01,9.01 04/25/11
TRUE RELIGION APPAREL INC DE 2.02,9.01 04/28/11
TUPPERWARE BRANDS CORP DE 2.02,9.01 04/28/11
TYCO INTERNATIONAL LTD V8 2.02,8.01,9.01 04/28/11
UNIFI INC NY 2.02,7.01,8.01,9.01 04/27/11
UNION DRILLING INC DE 1.01,2.03,9.01 04/27/11
UNIONBANCAL CORP DE 2.02,9.01 04/28/11
UNISYS CORP DE 5.07,8.01,9.01 04/27/11
UNITED COMMUNITY BANKS INC GA 2.02,9.01 04/28/11
UNITED COMMUNITY FINANCIAL CORP OH 8.01,9.01 04/28/11
UNITED STATES LIME & MINERALS INC TX 2.02,9.01 04/27/11
UNITED THERAPEUTICS Corp DE 2.02,9.01 04/28/11
UNITY BANCORP INC /NJ/ NJ 2.02,9.01 04/28/11
UNITY BANCORP INC /NJ/ NJ 7.01,9.01 04/28/11
UNIVERSAL AMERICAN CORP. NY 2.02,3.02,5.07,9.01 04/26/11
UNIVERSAL AMERICAN SPIN CORP. DE 3.02 04/26/11
URANIUM ENERGY CORP NV 7.01,9.01 04/28/11
URBAN OUTFITTERS INC PA 1.01 04/25/11
URBAN OUTFITTERS INC PA 8.01,9.01 04/27/11
URS CORP /NEW/ DE 7.01,9.01 04/26/11
USANA HEALTH SCIENCES INC UT 1.01,2.03,9.01 04/27/11
UTAH MEDICAL PRODUCTS INC UT 2.02 04/28/11
VALASSIS COMMUNICATIONS INC DE 2.02,9.01 04/28/11
VARIAN SEMICONDUCTOR EQUIPMENT ASSOCI DE 2.02,9.01 04/28/11
VASCULAR SOLUTIONS INC MN 1.01,5.07,8.01,9.01 04/22/11
VCA ANTECH INC DE 2.02,9.01 04/28/11
VECTREN CORP IN 8.01 04/27/11
VERISIGN INC/CA DE 2.02,8.01,9.01 04/27/11
Viacom Inc. DE 2.02,9.01 04/28/11
ViewPoint Financial Group Inc. MD 2.02,8.01,9.01 04/28/11
VIROPHARMA INC DE 2.02,9.01 04/28/11
VIST FINANCIAL CORP PA 5.07 04/26/11
VISTAPRINT N.V. P7 2.02,9.01 04/28/11
VITAL IMAGES INC MN 1.01,5.02,8.01,9.01 04/25/11
VITAL IMAGES INC MN 8.01,9.01 04/27/11
VOLTERRA SEMICONDUCTOR CORP 5.07 04/22/11
Vystar Corp GA 2.04,9.01 04/22/11
WASHINGTON REAL ESTATE INVESTMENT TRU MD 2.02,7.01,9.01 04/28/11
WASTE MANAGEMENT INC DE 2.02,9.01 04/28/11
Wayside Technology Group, Inc. DE 2.02,9.01 04/28/11
WEIGHT WATCHERS INTERNATIONAL INC VA 1.01,1.02,9.01 04/27/11
WEST BANCORPORATION INC IA 2.02,9.01 04/28/11
WEST COAST BANCORP /NEW/OR/ OR 5.07 04/26/11
WEST MARINE INC DE 2.02,9.01 04/28/11
WEST PHARMACEUTICAL SERVICES INC PA 2.02,7.01,9.01 04/28/11
WESTAMERICA BANCORPORATION CA 8.01,9.01 04/28/11
WESTERN ALLIANCE BANCORPORATION NV 5.07 04/26/11
WESTFIELD FINANCIAL INC MA 2.02,9.01 04/27/11
WINMARK CORP MN 5.07,7.01,8.01,9.01 04/27/11
WORLD ACCEPTANCE CORP SC 2.02,7.01,8.01,9.01 04/28/11
WORTHINGTON INDUSTRIES INC OH 8.01 04/28/11
WSB Holdings Inc DE 5.07 04/27/11
WSB Holdings Inc DE 2.02,9.01 04/26/11
WSFS FINANCIAL CORP DE 2.02,9.01 04/28/11
X-CHANGE CORP NV 1.02,7.01,9.01 04/28/11
XCEL ENERGY INC MN 2.02,9.01 04/28/11
Xzeres Wind Corp. NV 1.01,7.01 04/25/11
YADKIN VALLEY FINANCIAL CORP NC 2.02,9.01 04/28/11
ZIMMER HOLDINGS INC DE 2.02,9.01 04/28/11
ZOGENIX, INC. DE 5.02 04/27/11
ZOLL MEDICAL CORP MA 2.02,9.01 04/28/11
ZOLL MEDICAL CORP MA 5.07 02/10/11 AMEND
Zolon Corp FL 4.01,9.01 04/27/11
Zoro Mining Corp. NV 3.02 04/26/11
http://www.sec.gov/news/digest/2011/dig042911.htm
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