 |
Home | Previous Page | |
|
||
 |
|
|
|
||
 |
|
|
|
|
|||||||||||||||
|
|
|||||||||||||||
|
 |
Enforcement proceedingsIn the Matter of Mitchell, Porter & Williams, Inc.An Administrative Law Judge has issued an Order Making Findings and Imposing Remedial Sanctions by Default (Default Order) in Mitchell, Porter & Williams, Inc., Admin. Proc. No. 3-14219. The Order Instituting Proceedings (OIP) alleged that Respondents operated a multi-million dollar Ponzi scheme that targeted retiring city workers. It further stated that, on Oct. 26, 2010, the U.S. District Court for the Central District of California entered a judgment against Respondents, permanently enjoining them from future violations of several antifraud, registration, and record-keeping provisions of the federal securities laws. The Default Order finds the allegations of the OIP to be true. It concludes that it is in the public interest to bar Thomas L. Mitchell from association with a broker, dealer, investment adviser, municipal securities dealer, or transfer agent, pursuant to Section 15(b)(6)(A) of the Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940; and to revoke the registration of Mitchell, Porter & Williams, Inc., as an investment adviser, pursuant to Section 203(e) of the Investment Advisers Act of 1940. (Rel. 34-64438; File No. 3-14219) In the Matter of Aletheia Research and Management, Inc., Peter J. Eichler, Jr., and Roger B. PeikinOn May 9, 2011, the Commission issued an Order Instituting Administrative Proceedings, Pursuant to Sections 15(b) of the Securities Exchange Act of 1934 and Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act, Making Findings, and Imposing Remedial Sanctions and A Cease-and-Desist Order against Aletheia Research and Management, Inc. (Aletheia), Peter J. Eichler, Jr. (Eichler), and Roger B. Peikin (Peikin). Aletheia is a registered investment adviser based in Santa Monica, California that manages approximately $7 billion for retail accounts, institutional clients, and two private hedge funds. Eichler is Aletheia’s co-founder, CEO and largest shareholder. Peikin is Aletheia’s co-founder and second largest shareholder and was Aletheia’s chief compliance officer during the conduct described below. The Order finds that: (1) Aletheia and Peikin disseminated proposals to client and potential clients that failed to disclose requested information regarding prior Commission examinations in violation of Section 206(2) of the Advisers Act; (2) Aletheia and Peikin failed to implement existing procedures to enforce Aletheia’s policies regarding responding to requests for proposals from prospective institutional clients in violation of Section 206(4) of the Advisers Act and Rule 206(4)-7; (3) Aletheia, Eichler and Peikin failed to have an annual surprise examination of Aletheia’s hedge funds and to provide the hedge fund investors with quarterly account statements, or provide the hedge fund investors with timely annual audit reports in violation of Section 206(4) of the Advisers Act and Rule 206(4)-2(a); and (4) Aletheia, Eichler and Peikin failed to make and/or keep copies of the employees’ acknowledgments of receipt of Aletheia’s code of ethics in violation of Section 204(a) of the Advisers Act and Rule 204-2(a)(12). Based upon the above, Aletheia, Eichler and Peikin consented to a censure and were ordered to cease-and-desist from future violations of the above provisions and were ordered to pay civil penalties in the amounts of $200,000, $100,000 and $100,000, respectively. In addition, Aletheia was ordered to comply with certain undertakings. (Rel. 34-64442; IA-3197; File No. 3-14374) Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Eight Public Companies for Failure to Make Required Periodic FilingsOn May 9, 2011, the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of eight companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the eight issuers are delinquent in their required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the Administrative Law Judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The Administrative Law Judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-64443; File No. 3-14375) Self-regulatory organizationsImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by the Chicago Board Options Exchange to amend the CBOE Stock Exchange fees schedule (SR-CBOE-2011-045) 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 9. (Rel. 34-64414) A proposed rule change filed by the Chicago Stock Exchange (SR-CHX-2011-08) related to the treatment of customer orders and the prohibition against trading ahead of customer orders 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 May 9. (Rel. 34-64418) The Commission issued notice of filing and immediate effectiveness of proposed rule change (SR-NASDAQ-2011-059) filed by The NASDAQ Stock Market under Rule 19b-4 of the Securities Exchange Act of 1934 to establish a midpoint peg post-only order. Publication is expected in the Federal Register during the week of May 9. (Rel. 34-64430) Proposed Rule ChangesThe NASDAQ OMX PHLX filed a proposed rule change (SR-Phlx-2011-56) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder, to establish a Qualified Contingent Cross Order for execution on the floor of the Exchange. Publication is expected in the Federal Register during the week of May 9. (Rel. 34-64415) New York Stock Exchange filed a proposed rule change under Rule 19b-4 (SR-NYSE-2011-21) amending Rule 80C to include additional securities in the pilot by which such rule operates and amending Rule 104 to simplify certain aspects of the text while also conforming certain of the percentages thereunder to the proposed changes to Rule 80C. Publication is expected in the Federal Register during the week of May 9. (Rel. 34-64420) NYSE Amex filed a proposed rule change under Rule 19b-4 (SR-NYSEAmex-2011-32) amending Rule 80C - NYSE Amex Equities to include additional securities in the pilot by which such rule operates and amending Rule 104 - NYSE Amex Equities to simplify certain aspects of the text while also conforming certain of the percentages thereunder to the proposed changes to Rule 80C. Publication is expected in the Federal Register during the week of May 9. (Rel. 34-64421) International Securities Exchange filed a proposed rule change under Rule 19b-4 (SR-ISE-2011-28) to amend Rule 2102 (Hours of Business) to expand the applicability of trading pauses to cover all NMS stocks. Publication is expected in the Federal Register during the week of May 9. (Rel. 34-64423) Financial Industry Regulatory Authority filed a proposed rule change under Rule 19b-4 (SR-FINRA-2011-023) to amend FINRA Rule 6121 (trading halts due to extraordinary market volatility) and FINRA Rule 6272 (character of quotations) to include all NMS stocks. Publication is expected in the Federal Register during the week of May 9. (Rel. 34-64424) The NASDAQ Stock Market filed a proposed rule change under Rule 19b-4 (SR-NASDAQ-2011-067) to amend Rule 4120(a)(11) to include additional securities in the pilot by which such rule operates and amend Rule 4613(a) to simplify certain aspects of the text while also conforming certain of the percentages thereunder to the proposed changes to Rule 4120(a)(11). Publication is expected in the Federal Register during the week of May 9. (Rel. 34-64426) NASDAQ OMX BX filed a proposed rule change under Rule 19b-4 (SR-BX-2011-025) to amend IM-4120-3 to include additional securities in the pilot by which such rule operates and amend Rule 4613(a) to simplify certain aspects of the text while also conforming certain of the percentages thereunder to the proposed changes to price move percentages that trigger a circuit breaker pilot pause. Publication is expected in the Federal Register during the week of May 9. (Rel. 34-64427) EDGX Exchange filed a proposed rule change under Rule 19b-4 (SR-EDGX-2011-14) to amend EDGX Rules 11.13 and 11.14 to include additional securities in the pilot by which such rule operates. Publication is expected in the Federal Register during the week of May 9. (Rel. 34-64428) EDGA Exchange filed a proposed rule change under Rule 19b-4 (SR-EDGA-2011-15) to amend EDGA Rules 11.13 and 11.14 to include additional securities in the pilot by which such rule operates. Publication is expected in the Federal Register during the week of May 9. (Rel. 34-64432) Accelerated Approval of Proposed Rule ChangeThe Commission granted accelerated approval of a proposed rule change, as modified by Amendment Nos. 1 and 2 (SR-BX-2010-059), submitted by NASDAQ OMX BX pursuant to Rule 19b-4 under the Securities Exchange Act of 1934, to create a listing market on the exchange. Publication is expected in the Federal Register during the week of May 9. (Rel. 34-64437) 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 iGo, Inc., 17800 N. PERIMETER DR., SCOTTSDALE, AZ, 85255, 4805960061 -
0 ($8,220,000.00) Equity, (File 333-173969 - May. 6) (BR. 03C)
S-4 HUTCHINSON TECHNOLOGY INC, 40 W HIGHLAND PARK, HUTCHINSON, MN, 55350,
3205873797 - 0 ($111,673,817.00) Equity, (File 333-173970 - May. 6)
(BR. 10B)
S-8 EINSTEIN NOAH RESTAURANT GROUP INC, 555 ZANG STREET, SUITE 300,
LAKEWOOD, CO, 80228, 3035688000 - 1,000,000 ($15,570,000.00) Equity,
(File 333-173971 - May. 6) (BR. 05B)
S-1 Mericol, Inc., 5795 AVE. DECELLES, STE. 511, MONTREAL, A8, H3S2C4,
5149636339 - 6,000,000 ($60,000.00) Equity, (File 333-173972 - May. 6)
(BR. )
S-3D MONMOUTH REAL ESTATE INVESTMENT CORP, 3499 ROUTE 9 N, SUITE 3-C,
JUNIPER BUSINESS PLAZA, FREEHOLD, NJ, 07728, 7325779996 -
3,000,000 ($24,780,000.00) Equity, (File 333-173973 - May. 6) (BR. 08B)
S-8 NOKIA CORP, KEILALAHDENTIE 4, P O BOX 226, ESPOO FINLAND, H9, 00000,
0358018071 - 0 ($84,084,000.00) Equity, (File 333-173974 - May. 6)
(BR. 11A)
S-8 Le Gaga Holdings Ltd, Unit 1105, The Metropolis Tower,
10 Metropolis Tower, Hung Hom, Kowloon, K3, 00000,
0 ($23,292,510.10) ADRs/ADSs, (File 333-173979 - May. 6) (BR. 09)
S-1 HomeStreet, Inc., 2000 TWO UNION SQUARE, 601 UNION STREET, STE. 2000,
SEATTLE, WA, 98101, 206-623-3050 - 0 ($210,000,000.00) Equity,
(File 333-173980 - May. 6) (BR. )
S-8 Lumber Liquidators Holdings, Inc., 3000 JOHN DEERE ROAD, TOANO, VA,
23168, 757-259-4280 - 1,000,000 ($25,790,000.00) Equity,
(File 333-173981 - May. 6) (BR. 06B)
S-8 AMERISOURCEBERGEN CORP, 1300 MORRIS DRIVE, CHESTERBROOK, PA,
19087-5594, 6107277000 - 0 ($163,400,000.00) Equity, (File 333-173982 -
May. 6) (BR. 09B)
S-4 Laredo Petroleum, Inc., 15 W. SIXTH STREET, SUITE 1800, TULSA, OK,
74119, 918-513-4570 - 0 ($350,000,000.00) Debt, (File 333-173984 -
May. 6) (BR. )
S-8 CITY NATIONAL CORP, 400 N ROXBURY DR, BEVERLY HILLS, CA, 90210,
3108886000 - 0 ($57,345,000.00) Equity, (File 333-173985 - May. 6)
(BR. 07A)
S-8 PREFORMED LINE PRODUCTS CO, P.O. BOX 91129, CLEVELAND, OH, 44101,
500,000 ($33,390,000.00) Equity, (File 333-173986 - May. 6) (BR. 06B)
S-3ASR SHUTTERFLY INC, 2800 BRIDGE PARKWAY, REDWOOD CITY, CA, 94065,
650-610-5200 - 4,013,809 ($251,123,960.00) Equity, (File 333-173987 -
May. 6) (BR. 11C)
S-8 AMETEK INC/, 1100 CASSATT ROAD, PO BOX 1764, BERWYN, PA, 19312,
610-647-2121 - 8,500,000 ($382,797,500.00) Equity, (File 333-173988 -
May. 6) (BR. 10A)
S-8 SOURCEFIRE INC, 9770 PATUXENT WOODS DRIVE, COLUMBIA, MD, 21046,
4102901616 - 0 ($29,419,054.00) Equity, (File 333-173989 - May. 6)
(BR. 03B)
S-8 PENN VIRGINIA CORP, 100 MATSONFORD ROAD SUITE 200,
FOUR RADNOR CORPORATE CENTER, RADNOR, PA, 19087, 6106878900 -
0 ($16,385,725.00) Equity, (File 333-173990 - May. 6) (BR. 04C)
S-3 CAMBIUM LEARNING GROUP, INC., 17855 NORTH DALLAS PARKWAY, SUITE 400,
DALLAS, TX, 75287, 214-932-9500 - 0 ($82,035,136.68) Equity,
(File 333-174001 - May. 6) (BR. 05B)
S-4 CAMBIUM LEARNING GROUP, INC., 17855 NORTH DALLAS PARKWAY, SUITE 400,
DALLAS, TX, 75287, 214-932-9500 -
0 ($175,000,000.00) Non-Convertible Debt, (File 333-174004 - May. 6)
(BR. 05B)
S-8 UNIVERSAL DETECTION TECHNOLOGY, 9595 WILSHIRE BOULEVARD, SUITE 700,
BEVERLY HILLS, CA, 90212, 3102483655 -
600,000,000 ($540,000.00) Equity, (File 333-174010 - May. 6) (BR. 10C)
S-8 ACME PACKET INC, 100 CROSBY DRIVE, BEDFORD, MA, 01730, 781-328-4400 -
0 ($202,050,000.00) Equity, (File 333-174012 - May. 6) (BR. 03A)
S-8 HALOZYME THERAPEUTICS INC, 11388 SORRENTO VALLEY ROAD, SAN DIEGO, CA,
92121-1345, (858) 794-8889 - 0 ($38,400,000.00) Equity,
(File 333-174013 - May. 6) (BR. 01A)
S-4 LIFEPOINT HOSPITALS, INC., 103 POWELL COURT, SUITE 200, BRENTWOOD, TN,
37027, 615-372-8500 - 0 ($400,000,000.00) Equity, (File 333-174014 -
May. 6) (BR. 01B)
S-8 MICHAEL BAKER CORP, AIRSIDE BUSINESS PARK, 100 AIRSIDE DRIVE,
MOON TOWNSHIP, PA, 15108, 4122696300 - 0 ($48,720,000.00) Equity,
(File 333-174015 - May. 6) (BR. 08C)
S-3 MARCHEX INC, 520 PIKE STREET, SUITE 2000, SEATTLE, WA, 98101,
206-774-5000 - 0 ($7,052,192.76) Equity, (File 333-174016 - May. 6)
(BR. 03B)
S-1 LRR Energy, L.P., HERITAGE PLAZA, SUITE 4600, 1111 BAGBY STREET,
HOUSTON, TX, 77002, (713) 292-9510 - 0 ($281,750,000.00) Equity,
(File 333-174017 - May. 6) (BR. )
S-8 VERSANT CORP, 255 SHORELINE, SUITE 450, REDWOOD CITY, CA, 94065,
650-232-2400 - 0 ($4,139,200.00) Equity, (File 333-174018 - May. 6)
(BR. 03B)
S-8 COHERENT INC, 5100 PATRICK HENRY DR, SANTA CLARA, CA, 95054,
4087644000 - 0 ($410,596,998.00) Equity, (File 333-174019 - May. 6)
(BR. 10A)
S-3 Excel Trust, Inc., 17140 BERNARDO CENTER DRIVE, SUITE 300, SAN DIEGO,
CA, 92128, (858) 613-1800 -
0 ($600,000,000.00) Unallocated (Universal) Shelf, (File 333-174020 -
May. 6) (BR. 08C)
S-3 Alliance Holdings GP, L.P., P.O. BOX 22027, TULSA, OK, 74121,
918-295-7600 - 523,122 ($25,591,128.24) Equity, (File 333-174021 -
May. 6) (BR. 04B)
S-3 Excel Trust, Inc., 17140 BERNARDO CENTER DRIVE, SUITE 300, SAN DIEGO,
CA, 92128, (858) 613-1800 - 0 ($13,363,510.00) Equity,
(File 333-174022 - May. 6) (BR. 08C)
S-3 Excel Trust, Inc., 17140 BERNARDO CENTER DRIVE, SUITE 300, SAN DIEGO,
CA, 92128, (858) 613-1800 - 0 ($38,767,442.00) Other,
(File 333-174023 - May. 6) (BR. 08C)
S-8 MAP Pharmaceuticals, Inc., 2400 BAYSHORE PARKWAY, SUITE 200,
MOUNTAIN VIEW, CA, 94043, 650-386-3100 -
1,215,000 ($18,613,800.00) Equity, (File 333-174024 - May. 6) (BR. 01A)
S-8 ALLERGAN INC, 2525 DUPONT DRIVE, IRVINE, CA, 92612, 7142464500 -
0 ($1,719,132,906.00) Equity, (File 333-174025 - May. 6) (BR. 01B)
S-3 SPS COMMERCE INC, 333 SOUTH SEVENTH STREET, SUITE 1000, MINNEAPOLIS,
MN, 55402, 612-435-9400 - 0 ($23,185,439.00) Equity, (File 333-174026 -
May. 6) (BR. 03B)
S-1 KV PHARMACEUTICAL CO /DE/, ONE CORPORATE WOODS DRIVE, BRIDGETON, MO,
63044, 3146456600 - 0 ($74,142,117.00) Equity, (File 333-174027 -
May. 6) (BR. 01B)
S-8 ECOLAB INC, ECOLAB CORPORATE CENTER, 370 WABASHA STREET NORTH, ST PAUL,
MN, 55102, 6512932233 - 0 ($78,375,000.00) Equity, (File 333-174028 -
May. 6) (BR. 06A)
S-3ASR HERSHA HOSPITALITY TRUST, 44 HERSHA DRIVE, HARRISBURG, PA, 17102,
7172364400 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-174029 - May. 6) (BR. 08B)
S-1 Hyde Park Acquisition Corp. II, 500 FIFTH AVENUE, 50TH FLOOR, NEW YORK,
NY, 10110, 212-644-3450 - 0 ($115,000,000.00) Equity,
(File 333-174030 - May. 6) (BR. )
S-1 KV PHARMACEUTICAL CO /DE/, ONE CORPORATE WOODS DRIVE, BRIDGETON, MO,
63044, 3146456600 - 0 ($36,815,000.00) Equity, (File 333-174031 -
May. 6) (BR. 01B)
S-8 TETRA TECH INC, 3475 EAST FOOTHILL BOULEVARD, PASADENA, CA, 91107,
6263514664 - 0 ($56,500,000.00) Equity, (File 333-174032 - May. 6)
(BR. 06A)
S-8 CAVIUM NETWORKS, INC., 805 EAST MIDDLEFIELD ROAD, MOUNTAIN VIEW, CA,
94043, 650-623-7000 - 2,316,916 ($103,577,729.78) Equity,
(File 333-174033 - May. 6) (BR. 10A)
S-8 SANGAMO BIOSCIENCES INC, 501 CANAL BLVD, POINT RICHMOND TECH CNTR.,
RICHMOND, CA, 94804, 5109706000 - 0 ($9,243,444.28) Equity,
(File 333-174034 - May. 6) (BR. 01C)
S-3ASR COLONIAL PROPERTIES TRUST, 2101 SIXTH AVE N STE 750, STE 750,
BIRMINGHAM, AL, 35203, 205-250-8700 -
0 ($0.00) Unallocated (Universal) Shelf, (File 333-174035 - May. 6)
(BR. 08A)
F-1 Nobao Renewable Energy Holdings Ltd, BUILDING 4, NO.150 YONG HE ROAD,
SHANGHAI, F4, 200072, 8621 66520666 - 0 ($300,000,000.00) ADRs/ADSs,
(File 333-174036 - May. 6) (BR. 06C)
S-3 GeoMet, Inc., 909 FANNIN, SUITE 3208, HOUSTON, TX, 77010,
(713) 659-3855 - 4,354,688 ($52,256,256.00) Other, (File 333-174037 -
May. 6) (BR. 04A)
S-3 KAR Auction Services, Inc., 13085 HAMILTON CROSSING BOULEVARD, CARMEL,
IN, 46032, (800) 923-3725 - 0 ($1,932,982,709.00) Equity,
(File 333-174038 - May. 6) (BR. 02A)
S-8 Thermon Group Holdings, Inc., 100 THERMON DRIVE, SAN MARCOS, TX, 78666,
512-396-5801 - 0 ($50,747,265.60) Equity, (File 333-174039 - May. 6)
(BR. 10)
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
57th Street General Acquisition Corp 8.01,9.01 05/05/11
5V Inc. DE 5.03,9.01 05/03/11
A123 SYSTEMS, INC. DE 5.02,9.01 05/04/11 AMEND
AARON'S INC GA 5.07 05/03/11
ACETO CORP NY 2.02,9.01 05/06/11
ADDVANTAGE TECHNOLOGIES GROUP INC OK 2.02,7.01,9.01 04/26/11
AGL RESOURCES INC GA 7.01,9.01 05/06/11
AGL RESOURCES INC GA 8.01,9.01 05/06/11
Air Transport Services Group, Inc. DE 2.02 05/02/11
Aircastle LTD D0 7.01,9.01 05/05/11
AIVTECH INTERNATIONAL GROUP CO. NV 5.02,9.01 04/15/11
ALAMO GROUP INC DE 5.07 05/05/11
ALAMO GROUP INC DE 2.02,8.01,9.01 05/04/11
ALASKA AIR GROUP INC DE 8.01 05/05/11
ALCOA INC PA 7.01,9.01 05/06/11
ALIMERA SCIENCES INC DE 2.02 05/05/11 AMEND
Allegiant Travel CO NV 7.01,8.01,9.01 05/06/11
ALLIANT TECHSYSTEMS INC DE 5.02 05/02/11
Allied Nevada Gold Corp. DE 2.02,9.01 05/05/11
Allied World Assurance Co Holdings, A 7.01,9.01 05/06/11
Ally Auto Assets LLC DE 1.01,8.01,9.01 05/05/11
Alon Refining Krotz Springs, Inc. DE 1.01,2.02,5.02 05/03/11
Alon USA Energy, Inc. DE 1.01,2.02,5.02 05/03/11
ALPHA PRO TECH LTD DE 2.02,9.01 05/05/11
ALTERRA CAPITAL HOLDINGS Ltd 7.01,9.01 05/06/11
AMCOL INTERNATIONAL CORP DE 5.07 05/05/11
AMERICA SERVICE GROUP INC /DE DE 8.01,9.01 05/06/11
American Caresource Holdings, Inc. DE 2.02,9.01 05/05/11
AMERICAN INTERNATIONAL GROUP INC DE 2.02,9.01 05/05/11
AMERICAN STATES WATER CO CA 2.02,9.01 05/06/11
AMERICAN VANGUARD CORP DE 2.02,9.01 05/04/11
AMERICAS CARMART INC TX 1.01,2.03,9.01 05/02/11
AMKOR TECHNOLOGY INC DE 5.07 05/03/11
Ancestry.com Inc. DE 7.01,9.01 05/06/11
ANDERSONS INC OH 5.07 05/06/11
ANGELES PARTNERS XII CA 1.01,2.03,9.01 05/02/11
ANNAPOLIS BANCORP INC MD 8.01,9.01 05/06/11
APCO OIL & GAS INTERNATIONAL INC 2.02,9.01 05/05/11
APEX 1, INC. DE 5.01,5.02 05/06/11
APOGEE ENTERPRISES, INC. MN 5.02,9.01 01/19/11 AMEND
Apple REIT Ten, Inc. VA 1.01 05/04/11
AQUA AMERICA INC PA 2.02,9.01 05/06/11
ARBOR REALTY TRUST INC MD 2.02,9.01 05/06/11
ARCHER DANIELS MIDLAND CO DE 5.02,9.01 05/05/11
ARIAD PHARMACEUTICALS INC DE 2.02,7.01,8.01,9.01 05/04/11
ASPEN TECHNOLOGY INC /DE/ DE 5.02,9.01 05/04/11
ASSOCIATED ESTATES REALTY CORP OH 5.07,9.01 05/04/11
ATWOOD OCEANICS INC TX 7.01 05/06/11
AVIS BUDGET GROUP, INC. DE 2.03,7.01,9.01 05/03/11
AVISTA CORP WA 2.02,9.01 05/06/11
AXA FINANCIAL INC DE 2.02,9.01 05/05/11
BAKERS FOOTWEAR GROUP INC MO 2.02,7.01,9.01 05/05/11
BALLANTYNE STRONG, INC. DE 2.02,5.07,9.01 05/04/11
BEHRINGER HARVARD REIT I INC MD 7.01,9.01 05/05/11
BERKSHIRE HILLS BANCORP INC 5.07,8.01,9.01 05/05/11
BIOFIELD CORP \DE\ DE 5.03,9.01 04/13/11
BIOPACK ENVIRONMENTAL SOLUTIONS INC. NV 5.02 05/02/11
BioScrip, Inc. DE 2.02 05/06/11
Blueknight Energy Partners, L.P. DE 1.01,9.01 05/03/11
Bollente Companies Inc. NV 1.01,8.01,9.01 05/05/11
BRE PROPERTIES INC /MD/ MD 8.01,9.01 05/06/11
BRISTOL MYERS SQUIBB CO DE 5.07 05/03/11
Bronco Drilling Company, Inc. DE 2.02,9.01 05/06/11
Business Development Solutions, Inc. DE 5.02 05/06/11
CABLEVISION SYSTEMS CORP /NY DE 2.02,9.01 05/05/11
CABLEVISION SYSTEMS CORP /NY DE 7.01,9.01 05/06/11
CAMPBELL FUND TRUST DE 3.02 05/06/11
CAPSTEAD MORTGAGE CORP MD 7.01,9.01 05/06/11
CAREY W P & CO LLC DE 1.01,2.01,2.03,9.01 05/02/11
CARRIAGE SERVICES INC DE 2.02,9.01 05/05/11
Carter Validus Mission Critical REIT, MD 7.01,8.01,9.01 05/06/11
CASTLE A M & CO MD 2.02,9.01 05/06/11
CC Media Holdings Inc 2.02,9.01 05/06/11
Celanese CORP DE 1.01,7.01,8.01,9.01 05/02/11
CELL THERAPEUTICS INC WA 3.01,7.01,9.01 05/03/11
CENTRAL VERMONT PUBLIC SERVICE CORP VT 5.07 05/03/11
CENTRAL VERMONT PUBLIC SERVICE CORP VT 7.01 05/06/11
CENTRAL VERMONT PUBLIC SERVICE CORP VT 5.07 05/03/11 AMEND
CENTURY PROPERTIES FUND XIX CA 1.01,2.03,9.01 05/02/11
CENTURY PROPERTIES FUND XVII CA 1.01,2.03,9.01 05/02/11
CF Industries Holdings, Inc. DE 2.02,9.01 05/06/11
CHART INDUSTRIES INC DE 7.01,9.01 05/04/11
Chatham Lodging Trust MD 8.01 05/03/11
CHENIERE ENERGY INC DE 2.02,9.01 05/06/11
Cheniere Energy Partners, L.P. DE 2.02,9.01 05/06/11
China Agricorp, Inc NV 1.01,2.01,3.02,5.01, 02/11/11 AMEND
5.02,5.03,9.01
China Carbon Graphite Group, Inc. NV 2.02,9.01 05/05/11
China Printing & Packaging, Inc. NV 5.02 05/03/11
China Renewable Construction Material DE 5.03,9.01 05/03/11
CHS INC MN 8.01 05/06/11
CHURCH & DWIGHT CO INC /DE/ DE 2.02,9.01 05/06/11
CIMAREX ENERGY CO DE 2.02,7.01,9.01 05/06/11
CIRCOR INTERNATIONAL INC DE 5.02,5.07 05/04/11
CLAIMSNET COM INC DE 1.01,2.03,4.02,9.01 05/03/11
CLEAR CHANNEL COMMUNICATIONS INC TX 2.02,9.01 05/06/11
Clear Channel Outdoor Holdings, Inc. DE 2.02,9.01 05/06/11
CLEAR-LITE HOLDINGS, INC. NV 5.02,9.01 05/06/10
Cleartronic, Inc. FL 5.03,5.07,9.01 01/24/11
Cogdell Spencer Inc. MD 7.01 05/06/11
Coleman Cable, Inc. DE 2.02,9.01 05/05/11
COLONIAL PROPERTIES TRUST AL 8.01,9.01 05/06/11
COLUMBUS MCKINNON CORP NY 8.01,9.01 05/06/11
COMMERCIAL METALS CO DE 5.02,7.01,9.01 05/03/11
CommonWealth REIT MD 2.02,9.01 05/06/11
COMPETITIVE TECHNOLOGIES INC DE 5.07 05/06/11
CONEXANT SYSTEMS INC DE 5.07 05/03/11
CONSOL Energy Inc DE 5.07 05/04/11
CONSOLIDATED CAPITAL INSTITUTIONAL PR CA 1.01,9.01 05/04/11
Consolidation Services, Inc. DE 1.01,5.02,9.01 05/02/11
CONSTELLATION ENERGY GROUP INC MD 2.02,9.01 05/05/11
Constellation Energy Partners LLC DE 2.02,9.01 05/06/11
Cooper Industries plc 5.02,5.07 05/02/11
CORE MOLDING TECHNOLOGIES INC DE 2.02,9.01 05/05/11
CORELOGIC, INC. DE 8.01,9.01 05/06/11
CORPORATE PROPERTY ASSOCIATES 14 INC MD 2.01,3.03,5.01,9.01 05/02/11
CORPORATE PROPERTY ASSOCIATES 16 GLOB MD 1.01,2.01,2.03,3.02, 05/02/11
5.02,5.03,9.01
Corporate Property Associates 17 - Gl MD 2.01,9.01 05/02/11
COVANTA HOLDING CORP DE 8.01,9.01 05/05/11
COWEN GROUP, INC. 2.02,9.01 05/06/11
CRAWFORD & CO GA 5.07 05/05/11
CROSSTEX ENERGY INC DE 2.02,9.01 05/06/11
CROSSTEX ENERGY LP DE 2.02,9.01 05/06/11
DANA HOLDING CORP DE 5.07 05/04/11
DCP Midstream Partners, LP DE 2.02,9.01 05/05/11
DEX ONE Corp DE 5.07 05/03/11
DIGIRAD CORP DE 2.02,9.01 05/06/11
DOMINOS PIZZA INC 5.02,5.07 05/02/11
Domtar CORP DE 5.07 05/04/11
DOT HILL SYSTEMS CORP DE 5.07 05/02/11
DUN & BRADSTREET CORP/NW DE 5.02,5.03,5.07,9.01 05/03/11
EASTON-BELL SPORTS, INC. DE 2.02,9.01 05/05/11
ECOLAB INC DE 5.07,8.01,9.01 05/05/11
Education Realty Trust, Inc. MD 5.02,5.07,9.01 05/04/11
Elite Energies, Inc. DE 3.02,5.02,9.01 04/26/11
EMC CORP MA 5.07 05/04/11
EMCORE CORP NJ 2.02,7.01,9.01 05/05/11
ENB Financial Corp PA 5.07,7.01,9.01 05/03/11
ENERGIZER HOLDINGS INC MO 1.01,1.02,2.03,9.01 05/02/11
ENERGY PARTNERS LTD DE 2.02,9.01 05/04/11
ENERGY XXI (BERMUDA) LTD D0 1.01,9.01 05/05/11
ENPRO INDUSTRIES, INC NC 2.02,9.01 05/06/11
Ensco plc 8.01,9.01 05/06/11
ENVIRONMENTAL SOLUTIONS WORLDWIDE INC FL 1.01,2.03,3.02,9.01 05/03/11
ENZON PHARMACEUTICALS INC DE 2.02,9.01 05/06/11
EOG RESOURCES INC DE 2.02,7.01,9.01 05/05/11
EOG RESOURCES INC DE 5.07 05/06/11
ESCALON MEDICAL CORP PA 1.01,9.01 04/29/11
Euramerica Holdings Corp. DE 3.02,9.01 05/05/11
EVCARCO, INC. NV 1.01,9.01 05/03/11
ExamWorks Group, Inc. DE 2.01,9.01 02/28/11 AMEND
Excel Trust, Inc. MD 2.02,9.01 05/05/11
EXOPACK HOLDING CORP 2.02 05/06/11
EXPEDITORS INTERNATIONAL OF WASHINGTO WA 5.02,5.07 05/04/11
EXPEDITORS INTERNATIONAL OF WASHINGTO WA 2.02,9.01 05/05/11
EXTREME NETWORKS INC DE 8.01,9.01 05/06/11
FARO TECHNOLOGIES INC FL 8.01,9.01 05/04/11
FEDERAL NATIONAL MORTGAGE ASSOCIATION 2.02,7.01,9.01 05/06/11
FEMALE HEALTH CO WI 2.02,9.01 05/06/11
FiberTower CORP DE 2.02,9.01 05/05/11
FIRST FEDERAL BANCSHARES OF ARKANSAS TX 3.01 05/04/11
FIRST FINANCIAL BANCORP /OH/ OH 7.01,9.01 05/05/11 AMEND
FIRST FINANCIAL HOLDINGS INC /DE/ DE 7.01,9.01 05/06/11
FIRST KEYSTONE CORP PA 2.02 05/05/11
FIRST MERCHANTS CORP IN 5.02,5.07 05/03/11
FLUOR CORP DE 5.03,5.07,9.01 05/05/11
FRANKLIN ELECTRIC CO INC IN 7.01,9.01 05/06/11
FRANKLIN ELECTRIC CO INC IN 7.01 05/06/11
FRANKLIN ELECTRIC CO INC IN 2.02,9.01 05/06/11 AMEND
FRESH DEL MONTE PRODUCE INC E9 5.07 05/04/11
GAMCO INVESTORS, INC. ET AL NY 2.02,9.01 05/06/11
GANNETT CO INC /DE/ DE 5.07 05/03/11
GARDNER DENVER INC DE 5.07 05/03/11
GASTAR EXPLORATION LTD 2.02,9.01 05/05/11
GBS Enterprises Inc NV 7.01,9.01 05/05/11
Geeknet, Inc DE 2.02,9.01 05/04/11 AMEND
GENERAL DYNAMICS CORP DE 5.02 03/02/11 AMEND
General Motors Co 8.01 05/03/11
GENTA INC DE/ DE 8.01 05/06/11
GEO GROUP INC FL 1.01,2.02,5.03,5.07, 05/02/11
9.01
Gevo, Inc. DE 2.02,9.01 05/06/11
GIBRALTAR INDUSTRIES, INC. DE 2.02,5.07,7.01,9.01 05/04/11
GigOptix, Inc. DE 8.01,9.01 04/28/11
Global Indemnity plc L2 2.02,9.01 05/05/11
Golub Capital BDC, Inc. DE 2.02,9.01 05/06/11
GREAT PLAINS ENERGY INC MO 5.02,5.07,8.01,9.01 05/03/11
GREAT SOUTHERN BANCORP INC MD 7.01 03/31/11
GREEN BANKSHARES, INC. TN 1.01,3.02,9.01 05/06/11
GREEN MOUNTAIN COFFEE ROASTERS INC DE 1.01,3.02,8.01,9.01 05/05/11
Grubb & Ellis Healthcare REIT II, Inc MD 9.01 05/04/11 AMEND
GSI COMMERCE INC DE 5.02,9.01 05/03/11
GTX INC /DE/ DE 5.03,5.07,9.01 05/05/11
HACKETT GROUP, INC. FL 5.07,8.01 05/06/11
HALOZYME THERAPEUTICS INC DE 2.02,5.02,5.07,9.01 05/05/11
HAMPSHIRE GROUP LTD DE 1.01,2.01,5.02,8.01, 05/02/11
9.01
HANSEN NATURAL CORP DE 8.01,9.01 05/06/11
HARRIS & HARRIS GROUP INC /NY/ NY 5.02,5.07,8.01,9.01 05/05/11
HENNESSY ADVISORS INC 2.02,7.01,9.01 05/06/11
HERE ENTERPRISES, INC. NV 5.02 05/06/11
HERITAGE FINANCIAL CORP /WA/ WA 5.07 05/04/11
Heritage-Crystal Clean, Inc. DE 2.02,9.01 05/05/11
HEXCEL CORP /DE/ DE 5.02,5.07 05/05/11
High Plains Gas, Inc. NV 1.01,9.01 05/06/11
HIGHLAND BUSINESS SERVICES, INC. NV 1.01,9.01 05/06/11
HIGHLANDS BANCORP, INC. NJ 5.07 05/03/11
HOME PROPERTIES INC MD 7.01,9.01 05/05/11
HORIZON BANCORP /IN/ IN 5.07 05/05/11
Horsehead Holding Corp 2.02,9.01 05/06/11
HOST HOTELS & RESORTS, INC. MD 8.01,9.01 05/05/11
Houston Wire & Cable CO 5.02,5.07,8.01,9.01 05/03/11
HUNT GLOBAL RESOURCES, INC. CO 2.03,3.02,9.01 05/02/11
Huron Consulting Group Inc. DE 5.07 05/02/11
HUTCHINSON TECHNOLOGY INC MN 8.01,9.01 05/06/11
HUTCHINSON TECHNOLOGY INC MN 1.01,3.03,9.01 05/06/11
IASIS Healthcare LLC DE 1.01,2.03,3.03,7.01, 05/06/11
9.01
IBERIABANK CORP LA 7.01,9.01 05/06/11
ICAD INC DE 2.02,9.01 05/03/11
ICON Equipment & Corporate Infrastruc DE 7.01,9.01 05/06/11
ICON INCOME FUND EIGHT B LP DE 7.01,9.01 05/06/11
ICON INCOME FUND NINE LLC 7.01,9.01 05/06/11
ICON INCOME FUND TEN LLC DE 7.01,9.01 05/06/11
ICON LEASING FUND ELEVEN, LLC DE 7.01,9.01 05/06/11
ICON LEASING FUND TWELVE, LLC DE 7.01,9.01 05/06/11
IHS Inc. DE 5.07 05/05/11
INHIBITEX, INC. DE 2.02,9.01 05/06/11
INSULET CORP DE 5.07 05/04/11
INTERCONTINENTALEXCHANGE INC 8.01 05/06/11
INTERLINE BRANDS, INC./DE DE 2.02,9.01 05/06/11
INTERNATIONAL BANCSHARES CORP TX 2.02,9.01 05/06/11
International Coal Group, Inc. DE 2.02,9.01 05/06/11
International Coal Group, Inc. DE 8.01 05/05/11
INTERNATIONAL FLAVORS & FRAGRANCES IN NY 5.02,5.07 05/03/11
INTERNATIONAL SILVER INC AZ 8.01,9.01 04/25/11 AMEND
International Stem Cell CORP 5.03,5.07,9.01 05/03/11
INTEST CORP DE 2.02,8.01,9.01 05/04/11
IRIS INTERNATIONAL INC DE 8.01 05/06/11
ISLE OF CAPRI CASINOS INC DE 5.02,8.01,9.01 05/04/11
J2 GLOBAL COMMUNICATIONS INC DE 2.02,7.01,9.01 05/05/11
JAMMIN JAVA CORP. 3.02,8.01,9.01 05/05/11
Jetblack Corp NV 5.01,5.02,8.01 05/02/11
JOHNSON OUTDOORS INC WI 2.02,9.01 05/06/11
JONES LANG LASALLE INC MD 7.01,9.01 05/06/11
JOURNAL COMMUNICATIONS INC 5.07 05/04/11
K SWISS INC DE 2.02,9.01 05/06/11
Kaiser Federal Financial Group, Inc. MD 2.02,9.01 05/06/11
KAYDON CORP DE 2.02,9.01 05/06/11
KAYDON CORP DE 5.07 05/04/11
KIMCO REALTY CORP MD 5.07 05/04/11
Kohlberg Capital CORP DE 2.02,9.01 05/06/11
KRISPY KREME DOUGHNUTS INC NC 8.01 05/05/11
KSW INC NY 2.02,9.01 05/05/11
KSW INC NY 5.07 05/05/11
LA-Z-BOY INC MI 5.03,7.01,9.01 05/03/11
LABRANCHE & CO INC DE 2.02,9.01 05/06/11
LAM RESEARCH CORP DE 8.01,9.01 05/06/11
LECTEC CORP /MN/ MN 1.01,9.01 05/03/11
LEHMAN ABS CORP KRAFT FOODS NOTE BACK DE 8.01,9.01 05/02/11
Li3 Energy, Inc. NV 1.01,2.03,3.02 05/02/11
Lightwave Logic, Inc. NV 1.01,3.02,9.01 05/03/11
LIMITED BRANDS INC DE 2.02,7.01,9.01 05/05/11
LIONBRIDGE TECHNOLOGIES INC /DE/ DE 5.02,5.07 05/03/11
LIONS GATE ENTERTAINMENT CORP /CN/ 7.01 05/05/11
LIQUIDITY SERVICES INC 7.01,9.01 05/05/11
LKQ CORP DE 5.02,5.07,7.01,8.01, 05/02/11
9.01
LMI AEROSPACE INC MO 2.02,7.01,9.01 05/06/11
LMI AEROSPACE INC MO 2.02,7.01,9.01 05/06/11 AMEND
LNB BANCORP INC OH 5.02,5.07 05/03/11
LOOKSMART LTD DE 2.02,9.01 05/03/11
LSB INDUSTRIES INC DE 8.01 05/06/11
Lumber Liquidators Holdings, Inc. 5.02,5.07,9.01 05/06/11
MACERICH CO MD 1.01,2.03,9.01 05/02/11
MAD CATZ INTERACTIVE INC Z4 7.01,9.01 05/05/11
MADISON GAS & ELECTRIC CO WI 2.02,9.01 05/06/11
Madison Square Garden Co DE 2.02,9.01 05/06/11
MASSEY ENERGY CO DE 8.01 05/04/11
MBT FINANCIAL CORP MI 5.07 05/05/11
MEADOWBROOK INSURANCE GROUP INC MI 2.02,7.01,9.01 05/02/11
MEDALLION FINANCIAL CORP DE 2.02,9.01 05/05/11
MEDASSETS INC DE 5.02 05/06/11
Medical Care Technologies Inc. NV 1.01,9.01 04/28/11
MEDICINOVA INC DE 1.01,9.01 05/05/11
MEDIVATION, INC. DE 2.02,9.01 05/06/11
MERCHANTS BANCSHARES INC DE 5.02,5.07,9.01 05/03/11
METRO BANCORP, INC. 5.02 05/06/11
MEXICO FUND INC MD 7.01,9.01 04/30/11
MGE ENERGY INC WI 2.02,9.01 05/06/11
MGM Resorts International DE 7.01 05/06/11
MICROVISION INC DE 1.01,3.02,9.01 05/04/11
MIDDLESEX WATER CO NJ 2.02,9.01 05/06/11
MMRGlobal, Inc. DE 2.02,9.01 05/04/11
MONARCH COMMUNITY BANCORP INC MD 2.02,9.01 05/03/11
MONEYGRAM INTERNATIONAL INC 1.01,9.01 05/04/11
MUELLER INDUSTRIES INC DE 5.07,8.01,9.01 05/06/11
MYLAN INC. PA 5.07 05/06/11
NATHANS FAMOUS INC DE 1.01 05/04/11
National American University Holdings DE 5.02,9.01 05/02/11
NATIONAL FUEL GAS CO NJ 2.02,9.01 05/05/11
NATIONAL HEALTH INVESTORS INC MD 7.01,9.01 05/05/11
NATIONAL HEALTH INVESTORS INC MD 5.07 05/05/11
NATIONAL WESTERN LIFE INSURANCE CO CO 2.02,9.01 05/06/11
NCR CORP MD 8.01 05/04/11
NeuMedia, Inc. DE 5.02 04/27/11
Nevada Gold Holdings, Inc. DE 5.02 05/02/11
NEW DRAGON ASIA CORP FL 8.01 05/06/11
NEW YORK MORTGAGE TRUST INC MD 7.01 05/06/11
NEWCASTLE INVESTMENT CORP MD 2.02,9.01 05/06/11
Next 1 Interactive, Inc. NV 1.02 05/02/11
NIC INC CO 5.07 05/03/11
NORTHEAST BANCORP /ME/ ME 2.02,9.01 05/06/11
NORTHEAST UTILITIES MA 8.01,9.01 05/06/11
NORTHWEST BIOTHERAPEUTICS INC DE 1.01,3.02 05/02/11
NOVAMED INC DE 2.01,3.01,3.03,5.01, 05/04/11
5.02,5.03,5.07,8.01,
9.01
NYSE Euronext DE 1.01,9.01 05/02/11
O REILLY AUTOMOTIVE INC 5.02,5.07 05/03/11
OCCIDENTAL PETROLEUM CORP /DE/ DE 5.02,5.03,7.01,9.01 05/05/11
OIL STATES INTERNATIONAL, INC DE 5.02,9.01 05/03/11
OLYMPIC STEEL INC OH 2.02,9.01 05/06/11
OMEGA PROTEIN CORP NV 2.02,9.01 05/05/11
Oncothyreon Inc. DE 2.02,9.01 05/06/11
Onteco Corp NV 4.02,9.01 03/28/11 AMEND
Opexa Therapeutics, Inc. TX 2.02,9.01 05/06/11
OPTIMER PHARMACEUTICALS INC 2.02,9.01 05/05/11
Orient Paper Inc. NV 2.02,8.01,9.01 05/02/11
OWENS ILLINOIS INC /DE/ DE 5.07 05/05/11
OYO GEOSPACE CORP DE 2.02,9.01 05/06/11
PACIFIC OFFICE PROPERTIES TRUST, INC. MD 1.01,2.01,9.01 05/02/11
Pebblebrook Hotel Trust MD 8.01,9.01 05/03/11
PENN VIRGINIA CORP VA 1.01,5.02,5.07,7.01, 05/04/11
9.01
PENNICHUCK CORP NH 2.02,9.01 05/05/11
PENNICHUCK CORP NH 5.07 05/05/11
PENSECO FINANCIAL SERVICES CORP PA 5.07 05/03/11
PEPCO HOLDINGS INC DE 2.02,7.01,9.01 05/05/11
PEPSICO INC NC 8.01,9.01 05/03/11
Perfumania Holdings, Inc. FL 2.02,9.01 05/05/11
PHOTOTRON HOLDINGS, INC. DE 1.01,2.03,9.01 05/03/11
PIPER JAFFRAY COMPANIES DE 5.07 05/04/11
PIXELWORKS, INC OR 1.01,8.01,9.01 05/06/11
PLUG POWER INC DE 1.01,3.03,9.01 05/05/11
PMFG, Inc. DE 1.01,9.01 05/06/11
PNM RESOURCES INC NM 2.02,9.01 05/06/11
POOL CORP DE 5.07,7.01,9.01 05/05/11
POWER ONE INC DE 5.07 05/03/11
POWERWAVE TECHNOLOGIES INC DE 2.02 05/05/11
PREMIER FINANCIAL BANCORP INC KY 2.02,9.01 05/05/11
PRICELINE COM INC DE 2.02,5.02,7.01,9.01 05/05/11
PROTECTIVE LIFE CORP DE 1.01,9.01 04/29/11 AMEND
PROTECTIVE LIFE INSURANCE CO TN 1.01,9.01 04/29/11 AMEND
Public Storage MD 9.01 03/31/11
Public Storage MD 5.07 05/05/11
RADIO ONE, INC. DE 8.01,9.01 03/03/11
RAMTRON INTERNATIONAL CORP DE 5.02 05/03/11
RAND CAPITAL CORP NY 2.02,9.01 05/06/11
RANGE RESOURCES CORP DE 8.01 05/06/11
RDA Holding Co. 5.02 05/02/11
REDWOOD TRUST INC MD 7.01,9.01 05/06/11
REGENCY CENTERS CORP FL 5.02,5.07,9.01 05/03/11
Reliance Bancshares, Inc. MO 5.07 05/03/11
Reliance Bancshares, Inc. MO 7.01,8.01,9.01 05/03/11
Resolute Energy Corp DE 2.02,9.01 05/06/11
RGC RESOURCES INC VA 2.02,9.01 05/04/11
RIGEL PHARMACEUTICALS INC DE 1.02,9.01 05/06/11
RLI CORP IL 5.07,8.01,9.01 05/05/11
RLI CORP IL 5.03,9.01 05/05/11
RLI CORP IL 5.02,9.01 05/05/11
ROMA FINANCIAL CORP X1 2.02,9.01 05/06/11
Rosetta Resources Inc. DE 2.02,9.01 05/05/11
ROTATE BLACK INC NV 8.01,9.01 05/06/11
ROTECH HEALTHCARE INC DE 2.02,9.01 05/06/11
ROYAL GOLD INC DE 7.01,8.01,9.01 05/05/11
Ruths Hospitality Group, Inc. DE 2.02,9.01 05/06/11
RYDER SYSTEM INC FL 5.07 05/06/11
SABINE ROYALTY TRUST TX 2.02,9.01 05/04/11
SAIA INC DE 5.02,9.01 05/02/11
SANDY SPRING BANCORP INC MD 5.07 05/04/11
Santa Fe Gold CORP DE 8.01,9.01 04/25/11
SCANA CORP SC 8.01,9.01 05/05/11
SEABOARD CORP /DE/ DE 2.02,9.01 05/05/11
SELECT MEDICAL HOLDINGS CORP 2.02,9.01 05/05/11
Select Notes Trust LT 2004-1 DE 8.01,9.01 05/02/11
SENTRY PETROLEUM LTD. 7.01,9.01 05/06/11
SHEERVISION, INC. DE 5.02,9.01 05/06/11
SHENANDOAH TELECOMMUNICATIONS CO/VA/ VA 7.01,9.01 05/06/11
Shire plc 8.01,9.01 05/06/11
SHUFFLE MASTER INC MN 5.02,9.01 05/02/11
SIGMA ALDRICH CORP DE 7.01,9.01 05/03/11
SIGMA ALDRICH CORP DE 5.03,5.07,9.01 05/03/11
SILGAN HOLDINGS INC DE 2.02,9.01 05/04/11
SIRONA DENTAL SYSTEMS, INC. DE 2.02,9.01 05/06/11
Skilled Healthcare Group, Inc. DE 5.02,5.07,9.01 05/02/11
SKY DIGITAL STORES CORP. NV 1.01,2.01,3.02,4.01, 05/05/11
5.01,5.02,5.03,5.06,
9.01
SMART ONLINE INC DE 2.03,3.02 05/04/11
SMITH & WESSON HOLDING CORP NV 5.03,9.01 05/03/11
SMTC CORP DE 2.02,9.01 05/05/11
SOUTHERN UNION CO DE 5.07 05/04/11
SOUTHWEST AIRLINES CO TX 2.02,9.01 04/30/11
SPANISH BROADCASTING SYSTEM INC DE 1.01,9.01 05/02/11
SPHERIX INC DE 8.01,9.01 05/06/11
SPS COMMERCE INC 1.01,9.01 05/05/11
STAAR SURGICAL CO DE 2.02,7.01,9.01 05/03/11
STARTEK INC DE 1.01,5.02,7.01,9.01 05/05/11
STARWOOD PROPERTY TRUST, INC. 5.07 05/05/11
STEPAN CO DE 2.02,5.07,9.01 05/03/11
STERLING BANCORP NY 5.07 05/06/11
STONERIDGE INC OH 2.02,9.01 05/06/11
STRATS SM TRUST FOR IBM CORP SEC SERI 8.01,9.01 04/29/11
Strats(SM) Trust for JPMorgan Chase C 8.01,9.01 05/02/11
STRATS(SM) Trust For Morgan Stanley S 8.01,9.01 05/02/11
STRUCTURED PRODUCTS CORP CORTS TR FOR DE 8.01,9.01 05/02/11
STRUCTURED PRODUCTS CORP CORTS TRUST DE 8.01,9.01 05/02/11
STRUCTURED PRODUCTS CORP TIERS R INFL DE 8.01,9.01 05/02/11
Sucampo Pharmaceuticals, Inc. 5.02,9.01 05/02/11
SUNPOWER CORP DE 5.02,5.07,8.01 05/03/11
SUNRISE SENIOR LIVING INC DE 2.02,9.01 05/06/11
SUPERIOR INDUSTRIES INTERNATIONAL INC CA 2.02 05/06/11
SUSQUEHANNA BANCSHARES INC PA 7.01,9.01 05/06/11
SYNERGY PHARMACEUTICALS, INC. FL 1.01,5.02,9.01 05/02/11
TABLE TRAC INC NV 8.01 05/06/11
TELEPHONE & DATA SYSTEMS INC /DE/ DE 2.02,9.01 03/31/11
Tennessee Commerce Bancorp, Inc. TN 7.01,9.01 05/06/11
TESORO CORP /NEW/ DE 5.02,5.07,7.01,9.01 05/04/11
TETRA TECHNOLOGIES INC DE 2.02,9.01 05/06/11
TETRA TECHNOLOGIES INC DE 5.07 05/03/11
TETRIDYN SOLUTIONS INC NV 1.01,2.03,9.01 05/04/11
THOMAS & BETTS CORP TN 5.02,5.07,9.01 05/03/11
THOMAS PROPERTIES GROUP INC DE 2.02,9.01 05/05/11
Titan Machinery Inc. DE 1.01,8.01,9.01 05/05/11
TOTAL SYSTEM SERVICES INC GA 5.07 05/03/11
Tower Group, Inc. DE 5.07 05/05/11
Travelport LTD D0 2.01,9.01 05/05/11
TRIMBLE NAVIGATION LTD /CA/ CA 5.02,5.07 05/03/11
Tropicana Entertainment Inc. DE 5.07 05/02/11
TWO RIVERS WATER Co CO 7.01 05/06/11
U S GLOBAL INVESTORS INC TX 2.02,9.01 05/05/11
U S PHYSICAL THERAPY INC /NV NV 7.01 05/06/11
U S PRECIOUS METALS INC DE 5.02 04/29/11
U-Store-It Trust MD 2.02,7.01,9.01 05/05/11
ULTRA PETROLEUM CORP 2.02,9.01 03/31/11
Under Armour, Inc. MD 5.07 05/03/11
UNION PACIFIC CORP UT 5.07 05/05/11
United Continental Holdings, Inc. DE 8.01,9.01 05/06/11
UNITED MORTGAGE TRUST MD 7.01,9.01 05/06/11
UNITED STATES CELLULAR CORP DE 2.02,9.01 03/31/11
UNITIL CORP NH 7.01,9.01 05/06/11
US CONCRETE INC DE 2.02,9.01 05/06/11
USA TRUCK INC DE 5.07 05/04/11
UTSTARCOM INC DE 2.02,9.01 05/06/11
UTSTARCOM INC DE 2.02,9.01 05/06/11
VERISIGN INC/CA DE 5.02 05/03/11
VIASYSTEMS GROUP INC DE 5.07 05/06/11
VICON INDUSTRIES INC /NY/ NY 2.02,9.01 05/05/11
VIEWCAST COM INC DE 1.01,3.02,3.03,9.01 05/04/11
VIKING SYSTEMS INC DE 2.02,9.01 05/06/11
VIVUS INC CA 2.02,9.01 05/02/11
VSE CORP DE 8.01 05/03/11
VWR Funding, Inc. DE 7.01,9.01 05/06/11
W&T OFFSHORE INC TX 1.01,2.03,7.01,9.01 05/05/11
WACHOVIA PREFERRED FUNDING CORP DE 5.02,9.01 05/06/11
WALTER INVESTMENT MANAGEMENT CORP MD 2.02,9.01 05/06/11
Warner Chilcott plc 2.02,9.01 05/06/11
WARWICK VALLEY TELEPHONE CO NY 5.02,9.01 05/05/11
WASHINGTON POST CO DE 2.02,9.01 05/06/11
WEIGHT WATCHERS INTERNATIONAL INC VA 2.02,9.01 05/06/11
WEINGARTEN REALTY INVESTORS /TX/ TX 2.02,9.01 05/04/11
WELLCARE HEALTH PLANS, INC. DE 2.02,9.01 05/06/11
WELLS CORE OFFICE INCOME REIT INC 1.01 05/04/11
WELLS FARGO & CO/MN DE 5.02,5.07,9.01 05/03/11
WELLS FARGO & CO/MN DE 9.01 05/06/11
WELLS REAL ESTATE INVESTMENT TRUST II MD 2.02,9.01 05/06/11
WESCO FINANCIAL CORP CA 2.02,9.01 05/06/11
WEST PHARMACEUTICAL SERVICES INC PA 5.02,5.07,9.01 05/03/11
WESTAR ENERGY INC /KS KS 8.01,9.01 05/06/11
Western Asset Mortgage Defined Opport MD 2.02,9.01 05/03/11
WESTFIELD FINANCIAL INC MA 7.01,9.01 05/06/11
Westinghouse Solar, Inc. DE 8.01 05/05/11
WINNER MEDICAL GROUP INC NV 8.01,9.01 05/06/11
Winthrop Realty Trust OH 2.02,7.01,8.01,9.01 05/05/11
Xzeres Wind Corp. NV 5.02,9.01 05/03/11
YORK WATER CO PA 2.02,9.01 05/06/11
YRC Worldwide Inc. DE 2.02,9.01 05/06/11
ZEALOUS, INC. NV 5.02 05/05/11
ZIX CORP TX 7.01,9.01 05/06/11
http://www.sec.gov/news/digest/2011/dig050911.htm
|