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Commission announcementsSecurities and Exchange Commission Suspends Trading in the Securities of Five Issuers for Failure to Make Required Periodic FilingsThe U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EDT on May 10, 2011, and terminating at 11:59 p.m. EDT on May 23, 2011.
The Commission temporarily suspended trading in the securities of these five issuers due to a lack of current and accurate information about the companies because they have not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act). 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 these companies. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which 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 which may relate to this matter, they should immediately communicate it to the Delinquent Filings Group of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-64448) SEC Publishes Notice Regarding Inflation Indexing of Performance Fee RuleCommission Proposes to Remove Private Residence From Rule’s Net Worth StandardThe Securities and Exchange Commission today provided public notice of its plan to raise certain dollar thresholds that would need to be met before investment advisers can charge their clients performance fees. The SEC seeks public comment on the plan, which would satisfy a requirement of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Currently, Rule 205-3 under the Investment Advisers Act allows an adviser to charge its clients performance fees in certain circumstances. Two of the circumstances are:
Section 418 of the Dodd-Frank Act requires the SEC to issue an order to adjust for inflation these dollar amount thresholds by July 21, 2011 and every five years thereafter. As a result, the SEC issued today’s notice that it intends to issue an order to revise the dollar amount tests to $1 million for assets under management and $2 million for net worth. The Commission also proposed related amendments to Rule 205-3 that would:
The SEC also is seeking public comment on these proposed related rule amendments. Hearing requests on the SEC’s notice for an order should be received by June 20, 2011, and comments on the SEC’s proposed rule amendments should be received by July 11, 2011. (Press Rel. 2011-109) Enforcement proceedingsCommission Orders Hearings on Registration Suspension or Revocation Against Five Companies for Failure to Make Required Periodic FilingsIn conjunction with today’s trading suspension, the Commission also instituted separate public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of five companies for failure to make required periodic filings with the Commission:
In the Order, the Division of Enforcement (Division) alleges that the respective Respondents are delinquent in their required periodic filings with the Commission. In these proceedings, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the 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 judge in the proceedings 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 the proceedings issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-64449; File No. 3-14376) In the Matter of Clarion Internet, Inc.On May 10, 2011, an Administrative Law Judge issued an Order Making Findings and Revoking Registrations by Default (Default Order) in Clarion Internet, Inc., Admin. Proc. No. 3-14312. The Default Order finds that seven Respondents failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Exchange Act Rules 13a-1 and 13a-13 because each failed to make periodic filings with the Commission for a number of years. Based on these findings, the Default Order, pursuant to Section 12(j) of the Exchange Act, revokes the registration of each class of registered securities of Clarion Internet, Inc., The Clarke Corp., Clement Corp., Cochstedt International Airport, Inc., Coded Communications Corp., Collaborative Financial Network Group, Inc., and Convergent Communications, Inc. (Rel. 34-64450; File No. 3-14312) Investment company act releasesPennantPark Investment Corporation, et al.A notice has been issued giving interested persons until May 31, 2011, to request a hearing on an application filed by PennantPark Investment Corporation (Company), et al. for an order under Section 6(c) of the Investment Company Act for an exemption from Sections 18(a) and 61(a) of the Act. The order would permit the Company to adhere to a modified asset coverage requirement. (Rel. IC-29665 – May 6) UBS AG, et al.The Commission has issued a temporary order to UBS AG, et al. under Section 9(c) of the Investment Company Act with respect to an injunction issued by the U.S. District Court for the District of New Jersey on May 6, 2011. The temporary order exempts UBS AG, UBS IB Co-Investment 2001 GP Limited, UBS Financial Services Inc., UBS Alternative and Quantitative Investment LLC, UBS Willow Management, L.L.C., UBS Eucalyptus Management, L.L.C., UBS Juniper Management, L.L.C., UBS Global Asset Management (Americas) Inc. and UBS Global Asset Management (US) Inc., as well as companies of which UBS Financial Services Inc. is or becomes an affiliated person, from the provisions of Section 9(a) of the Act until the Commission takes final action on an application for a permanent order. The Commission also has issued a notice giving interested persons until June 3, 2011 to request a hearing on the application filed by applicants for a permanent order under Section 9(c) of the Act. (Rel. IC-29666 – May 9) Self-regulatory organizationsProposed Rule ChangesNASDAQ OMX PHLX filed a proposed rule change under Rule 19b-4 (SR-Phlx-2011-64) to amend Rule 3100(a)(4) 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. 34-64419) NYSE Arca filed a proposed rule change under Rule 19b-4 (SR-NYSEArca-2011-26) amending NYSE Arca Equities Rule 7.11 to include additional securities in the pilot by which such rule operates and amending NYSE Arca Equities Rule 7.23 to simplify certain aspects of the text while also conforming certain of the percentages thereunder to the proposed changes to Rule 7.11. Publication is expected in the Federal Register during the week of May 9. (Rel. 34-64422) National Stock Exchange filed a proposed rule change under Rule 19b-4 (SR-NSX-2011-06) to amend its rules to extend a pilot program regarding trading pauses in individual securities due to extraordinary market volatility to all NMS stocks and to make conforming changes to market maker quoting obligations. Publication is expected in the Federal Register during the week of May 9. (Rel. 34-64425) Chicago Stock Exchange filed a proposed rule change under Rule 19b-4 (SR-CHX-2011-09) to add all NMS stocks to the Single Securities Circuit Breaker Pilot Program. Publication is expected in the Federal Register during the week of May 9. (Rel. 34-64431) BATS Y-Exchange filed a proposed rule change under Rule 19b-4 (SR-BYX-2011-011) to extend a pilot program related to trading pauses due to extraordinary market volatility to include all NMS stocks. Publication is expected in the Federal Register during the week of May 9. (Rel. 34-64433) Chicago Board Options Exchange filed a proposed rule change under Rule 19b-4 (SR-CBOE-2011-049) related to the individual trading pause pilot and CBSX market-maker quoting obligations. Publication is expected in the Federal Register during the week of May 9. (Rel. 34-64434) BATS Exchange filed a proposed rule change under Rule 19b-4 (SR-BATS-2011-016) to extend a pilot program related to trading pauses due to extraordinary market volatility to include all NMS stocks. Publication is expected in the Federal Register during the week of May 9. (Rel. 34-64435) The Options Clearing Corporation filed a proposed rule change (SR-OCC-2011-05) under Section 19(b)(1) of the Exchange Act to provide flexibility to OCC with respect to its obligations to pay settlement amounts to clearing members generally as well as in emergency situations. Publication is expected in the Federal Register during the week of May 9. (Rel. 34-64436) Immediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by BATS Y-Exchange relating to fees for use of BATS Y-Exchange, Inc. (SR-BYX-2011-008) 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. 34-64429) A proposed rule change filed by the BATS Y-Exchange to add BYX Rule 11.22, entitled “Data Products” (SR-BYX-2011-012) 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. 34-64444) A proposed rule change filed by the BATS Exchange to add BATS Rule 11.22, entitled “Data Products” (SR-BATS-2011-017) 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. 34-64445) A proposed rule change, filed by NASDAQ OMX PHLX relating to the Options Floor Broker Subsidy (SR-Phlx-2011-62) 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. 34-64446) A proposed rule change, filed by NASDAQ OMX PHLX relating to rebates and fees for adding and removing liquidity (SR-Phlx-2011-63) 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. 34-64447) A proposed rule change filed by the EDGX Exchange (SR-EDGX-2011-13) relating to amendments to the EDGX Exchange, Inc. Fee Schedule 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. 34-64452) 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-4 Park Sterling Corp, 1043 E. MOREHEAD STREET, SUITE 201, CHARLOTTE, NC,
28204, 704-716-2134 - 0 ($18,713,046.00) Equity, (File 333-174041 -
May. 9) (BR. 07)
S-4 HERTZ GLOBAL HOLDINGS INC, 225 BRAE BOULEVARD, PARK RIDGE, NJ, 07656,
201-307-2000 - 0 ($349,020,753.00) Equity, (File 333-174042 - May. 9)
(BR. 05C)
S-3ASR Western Gas Partners LP, 1201 LAKE ROBBINS DRIVE, THE WOODLANDS, TX,
77380, 832-636-1000 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-174043 - May. 9) (BR. 02C)
F-1 TOP SHIPS INC., 1, VASSILISSIS SOFIAS STR. & MEG., ALEXANDROU STR.,
151 24, MAROUSSI, J3, 00000, 011-30-210-81-28-107 -
0 ($115,000,000.00) Equity, (File 333-174044 - May. 9) (BR. 05C)
S-1 PREMIER HOLDING CORP., 4705 WEST ADDISYN COURT, VISALIA, CA, 93291,
559-732-8177 - 1,000,000 ($250,000.00) Equity, (File 333-174049 -
May. 9) (BR. 10C)
S-8 INNOSPEC INC., 8375 SOUTH WILLOW STREET, LITTLETON, CO, 80124,
303-792-5554 - 1,600,000 ($38,419,521.84) Equity, (File 333-174050 -
May. 9) (BR. 06C)
S-4 Soleil Capital L.P., 305-537-6607 - 2,625,425 ($3,938,137.50) Equity,
(File 333-174051 - May. 9) (BR. 03B)
S-3ASR PDL BIOPHARMA, INC., 932 SOUTHWOOD BLVD, INCLINE VILLAGE, NV, 89451,
775-832-8500 - 0 ($155,250,000.00) Unallocated (Universal) Shelf,
(File 333-174052 - May. 9) (BR. 01B)
F-1 Diana Containerships Inc., PENDELIS 16, 17564 PALAIO FALIRO, ATHENS,
J3, 17564, 302109470100 - 0 ($172,500,000.00) Equity,
(File 333-174053 - May. 9) (BR. 05)
S-4 INDEPENDENCE HOLDING CO, 96 CUMMINGS POINT RD, STAMFORD, CT, 06902,
2033588000 - 967,922 ($7,400,965.80) Equity, (File 333-174054 - May. 9)
(BR. 01A)
S-8 Pharmasset Inc, 303-A COLLEGE ROAD EAST, PRINCETON, NJ, 08540,
609-613-4100 - 0 ($205,840,000.00) Equity, (File 333-174055 - May. 9)
(BR. 01C)
S-8 EXPEDITORS INTERNATIONAL OF WASHINGTON INC,
1015 THIRD AVENUE 12TH FLOOR, SEATTLE, WA, 98104, 2066743400 -
0 ($160,080,000.00) Equity, (File 333-174057 - May. 9) (BR. 05B)
S-4 HEADWATERS INC, 10653 SOUTH RIVERFRONT PARKWAY, SUITE 300,
SOUTH JORDAN, UT, 84095, 8019849400 -
0 ($400,000,000.00) Non-Convertible Debt, (File 333-174058 - May. 9)
(BR. 06A)
S-8 Destination Maternity Corp, 456 N 5TH ST, PHILADELPHIA, PA, 19123,
2158732200 - 0 ($13,566,000.00) Equity, (File 333-174059 - May. 9)
(BR. 09B)
S-8 GAYLORD ENTERTAINMENT CO /DE, ONE GAYLORD DR, NASHVILLE, TN, 37214,
6153166000 - 0 ($97,470,000.00) Equity, (File 333-174070 - May. 9)
(BR. 08A)
S-1 MEDISAFE 1 TECHNOLOGIES CORP, C/O JACOB ELHADAD, 5A HATALTAN ST,
JERUSALEM, L3, 96926, 972 2 643 2875 - 8,000,000 ($720,000.00) Equity,
(File 333-174071 - May. 9) (BR. 10B)
S-8 Swisher Hygiene Inc., 4725 PIEDMONT ROW DRIVE, SUITE 400, CHARLOTTE,
NC, 28210, 704 364 7707 - 0 ($69,882,000.00) Equity, (File 333-174072 -
May. 9) (BR. 08B)
S-3 CORCEPT THERAPEUTICS INC, 149 COMMONWEALTH DRIVE, MENLO PARK, CA,
94025, 650.688.8803 - 0 ($44,850,000.00) Unallocated (Universal) Shelf,
(File 333-174073 - May. 9) (BR. 01B)
S-4 MOBILE MINI INC, 7420 SOUTH KYRENE ROAD, SUITE #101, TEMPE, AZ, 85283,
480-894-6311 - 0 ($200,000,000.00) Non-Convertible Debt,
(File 333-174074 - May. 9) (BR. 06B)
S-3 RXI PHARMACEUTICALS CORP, 60 PRESCOTT STREET, WORCESTER, MA, 01605,
508-767-3861 - 0 ($4,526,421.90) Equity, (File 333-174076 - May. 9)
(BR. 01C)
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
3D SYSTEMS CORP DE 8.01,9.01 05/06/11
A123 SYSTEMS, INC. DE 2.02,9.01 05/09/11
ABINGTON BANCORP, INC./PA 5.07,8.01 05/06/11
ABRAXAS PETROLEUM CORP NV 2.02,9.01 05/09/11
ABRAXAS PETROLEUM CORP NV 5.07 05/09/11
ACCURAY INC DE 7.01,8.01,9.01 05/09/11
ACETO CORP NY 5.02 05/05/11
Activision Blizzard, Inc. DE 2.02,9.01 05/09/11
ACXIOM CORP DE 5.02,9.01 05/06/11
ADA-ES INC CO 7.01,9.01 05/09/11
ADEPT TECHNOLOGY INC DE 2.01,9.01 12/30/10 AMEND
Ads In Motion, Inc. DE 2.01 02/08/11 AMEND
ADTRAN INC DE 5.02,5.07,9.01 05/04/11
ADVANCED MICRO DEVICES INC DE 5.07 05/03/11
Advaxis, Inc. DE 1.01,2.03,3.02,8.01, 05/09/11
9.01
ADVENTRX PHARMACEUTICALS INC DE 2.02,9.01 05/09/11
ADVENTRX PHARMACEUTICALS INC DE 5.02 05/04/11
AES CORP DE 2.02,7.01,9.01 05/09/11
AFFYMAX INC DE 2.02,9.01 05/09/11
AFFYMETRIX INC DE 5.07,8.01 05/05/11
AKORN INC LA 1.01,2.01,9.01 05/03/11
ALASKA COMMUNICATIONS SYSTEMS GROUP I DE 2.03,3.02,9.01 05/03/11
ALEXANDRIA REAL ESTATE EQUITIES INC MD 8.01,9.01 05/05/11
Alexza Pharmaceuticals Inc. DE 2.02,9.01 05/09/11
ALKERMES INC PA 1.01,7.01,8.01,9.01 05/09/11
ALKERMES INC PA 2.02,8.01,9.01 05/09/11
ALLEGHENY TECHNOLOGIES INC DE 2.01,2.03,8.01,9.01 05/09/11
ALLIANCE BANKSHARES CORP 2.02,9.01 05/06/11
Alon USA Energy, Inc. DE 5.02,5.07,9.01 05/03/11
AMERICAN DG ENERGY INC DE 2.02,9.01 05/09/11
AMERICAN ELECTRIC POWER CO INC NY 8.01 05/04/11
AMERICAN SCIENCE & ENGINEERING, INC. MA 2.02,9.01 05/09/11
AMETEK INC/ DE 8.01 05/09/11
AMP PRODUCTIONS LTD NV 4.01,9.01 05/06/11
ANAVEX LIFE SCIENCES CORP. NV 3.02,9.01 05/04/11
APACHE CORP DE 5.02 02/09/11 AMEND
APPLIANCE RECYCLING CENTERS OF AMERIC MN 2.02,9.01 05/09/11
APRIA HEALTHCARE GROUP INC DE 2.02,9.01 05/09/11
Ardea Biosciences, Inc./DE DE 2.02,9.01 05/09/11
ARGENTEX MINING CORP DE 3.02 05/06/11
Arlington Asset Investment Corp. VA 7.01,9.01 05/09/11
Armour Residential REIT, Inc. MD 7.01,9.01 05/06/11
ASHFORD HOSPITALITY TRUST INC MD 2.02,9.01 05/08/11
ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 05/09/11
Asia Green Agriculture Corp NV 1.01,2.01,3.02,4.01, 08/20/10 AMEND
5.01,5.02,5.06
ASTORIA FINANCIAL CORP DE 8.01,9.01 05/09/11
ATRION CORP DE 2.02,9.01 05/09/11
Attitude Drinks Inc. DE 1.01,3.02,9.01 01/21/11 AMEND
ATWOOD OCEANICS INC TX 1.01,2.03,9.01 05/06/11
AuraSound, Inc. NV 4.01,9.01 05/06/11
AUTOBYTEL INC DE 2.02,9.01 05/05/11
AUXILIUM PHARMACEUTICALS INC 2.02,7.01,9.01 05/09/11
AVANIR PHARMACEUTICALS, INC. DE 2.02,9.01 05/09/11
Babcock & Wilcox Co DE 2.02,9.01 05/09/11
Bancorp, Inc. 7.01,9.01 05/09/11
BANCORPSOUTH INC MS 7.01,9.01 05/09/11
BANK JOS A CLOTHIERS INC /DE/ DE 8.01,9.01 05/09/11
BAXTER INTERNATIONAL INC DE 5.02,5.07,9.01 05/03/11
BEMIS CO INC MO 5.02,5.07 05/05/11
BIOANALYTICAL SYSTEMS INC IN 1.01,9.01 05/05/11
BIOLASE TECHNOLOGY INC DE 2.02,5.07,9.01 05/05/11
BIOMIMETIC THERAPEUTICS, INC. DE 2.02,9.01 05/09/11
Black Diamond, Inc. DE 2.02,9.01 05/09/11
BLACKBAUD INC 2.02,9.01 05/09/11
BLACKBOARD INC DE 2.02,9.01 05/09/11
BlackRock Kelso Capital CORP DE 2.02,9.01 05/09/11
BLOCKBUSTER INC DE 2.01,5.02,9.01 04/20/11
BLONDER TONGUE LABORATORIES INC DE 2.02,9.01 05/09/11
BNC BANCORP NC 7.01,9.01 05/09/11
BOLD ENERGY INC. NV 8.01 03/31/11
Bridge Capital Holdings CA 2.02,9.01 05/09/11
BROADCOM CORP CA 5.07,8.01,9.01 05/05/11
BROADSOFT INC DE 2.02,9.01 05/09/11
BROADSOFT INC DE 5.07 05/05/11
BROADWIND ENERGY, INC. DE 2.02,5.07,9.01 05/06/11
Brookdale Senior Living Inc. DE 2.02,7.01,9.01 05/09/11
BRT REALTY TRUST MA 2.02,9.01 05/09/11
BUCKEYE PARTNERS, L.P. DE 5.02 05/05/11
Camelot Entertainment Group, Inc. DE 8.01,9.01 05/09/11
CANADIAN DERIVATIVES CLEARING CORP A6 9.01 04/30/11
Capstone Therapeutics Corp. DE 3.01 05/03/11
CASCADE BANCORP OR 2.02,9.01 05/04/11
CenterState Banks, Inc. FL 7.01,9.01 05/09/11
CENTURY PROPERTIES FUND XVII CA 3.03,5.03,9.01 05/09/11
CENVEO, INC CO 5.07 05/04/11
CHESAPEAKE UTILITIES CORP DE 5.07 05/04/11
China Biologic Products, Inc. 2.02,7.01,9.01 05/09/11
China XD Plastics Co Ltd NV 1.01,2.01,8.01,9.01 05/09/11
CHURCH & DWIGHT CO INC /DE/ DE 8.01 05/05/11
CHURCHILL DOWNS INC KY 2.02,9.01 05/09/11
CINCINNATI BELL INC OH 8.01,9.01 05/07/11
CINCINNATI BELL INC OH 5.07 05/03/11
CINCINNATI FINANCIAL CORP OH 7.01,9.01 05/09/11
CITIGROUP INC DE 3.03,5.03,8.01,9.01 05/06/11
CITIGROUP INC DE 9.01 05/09/11
CLEAN DIESEL TECHNOLOGIES INC DE 8.01,9.01 05/06/11
Clean Energy Fuels Corp. DE 2.02,9.01 05/09/11
Clearwire Corp /DE DE 8.01 05/09/11
CLOUD PEAK ENERGY INC. DE 7.01,9.01 05/09/11
Cloud Peak Energy Resources LLC DE 7.01,9.01 05/09/11
CNH CAPITAL RECEIVABLES LLC DE 8.01,9.01 05/04/11
CNH CAPITAL RECEIVABLES LLC DE 8.01,9.01 05/09/11
CNO Financial Group, Inc. DE 1.01,7.01,9.01 05/06/11
COBIZ FINANCIAL INC CO 7.01 05/09/11
Compass Diversified Holdings DE 2.02,9.01 05/09/11
CONSOLIDATED CAPITAL INSTITUTIONAL PR CA 3.03,5.03,9.01 05/09/11
Core-Mark Holding Company, Inc. DE 2.02,9.01 05/09/11
CPI AEROSTRUCTURES INC NY 2.02 05/09/11
CRAY INC WA 2.02,9.01 05/09/11
Cypress Sharpridge Investments, Inc. MD 7.01,9.01 05/09/11
DCP Holding CO OH 5.02 05/03/11
DealerTrack Holdings, Inc. DE 2.02,9.01 05/09/11
Desert Hawk Gold Corp. NV 1.01,2.03,3.02,5.02, 05/03/11
5.03,9.01
DiamondRock Hospitality Co 7.01 05/06/11
DOLLAR THRIFTY AUTOMOTIVE GROUP INC DE 8.01,9.01 05/09/11
DONEGAL GROUP INC DE 8.01,9.01 05/06/11
DOUGLAS DYNAMICS, INC DE 5.07 05/04/11
DRIL-QUIP INC DE 2.02,9.01 05/09/11
DRUGSTORE COM INC DE 7.01,9.01 05/09/11
DTS, INC. DE 2.02,9.01 05/09/11
DXP ENTERPRISES INC TX 5.02,9.01 05/04/11
DYNEGY INC. DE 2.02,7.01,9.01 05/09/11
EAGLE ROCK ENERGY PARTNERS L P DE 7.01 05/09/11
EASTMAN CHEMICAL CO DE 5.03,5.07,9.01 05/05/11
EL PASO ELECTRIC CO /TX/ TX 5.02 05/06/11
Ellington Financial LLC DE 7.01,9.01 05/06/11
EMISPHERE TECHNOLOGIES INC DE 5.02 05/03/11
Employers Holdings, Inc. NV 7.01,9.01 05/09/11
Energy Recovery, Inc. DE 2.02,9.01 05/05/11
Energy Telecom, Inc. FL 8.01,9.01 05/09/11
ENPRO INDUSTRIES, INC NC 5.02,5.07 05/05/11
ENTERCOM COMMUNICATIONS CORP PA 2.02,9.01 05/09/11
EQUIFAX INC GA 5.07,7.01,9.01 05/05/11
FBL FINANCIAL GROUP INC IA 2.02 05/06/11
FEDERAL REALTY INVESTMENT TRUST MD 5.07 05/04/11
Financial Engines, Inc. DE 2.02,9.01 05/09/11
FIRST ACCEPTANCE CORP /DE/ DE 2.02,7.01,9.01 05/09/11
First California Financial Group, Inc DE 2.01,9.01 02/18/11 AMEND
FIRST FINANCIAL HOLDINGS INC /DE/ DE 7.01,9.01 05/09/11
FIRST NATIONAL CORP /VA/ 5.02,9.01 05/09/11
Firsthand Technology Value Fund, Inc. MD 8.01,9.01 05/09/11
FNB CORP/FL/ FL 8.01,9.01 05/09/11
FORCE PROTECTION INC NV 2.02,7.01,9.01 05/09/11
Fresh Market, Inc. DE 8.01 05/03/11
FTI CONSULTING INC MD 7.01,9.01 05/04/11
FURNITURE BRANDS INTERNATIONAL INC DE 5.07 05/05/11
FUSION TELECOMMUNICATIONS INTERNATION DE 1.01,2.03,9.01 05/02/11
FutureFuel Corp. DE 2.02,9.01 05/09/11
FX ENERGY INC NV 8.01,9.01 05/09/11
FX ENERGY INC NV 8.01,9.01 05/09/11
GAIAM, INC CO 2.02,9.01 05/09/11
GAMCO INVESTORS, INC. ET AL NY 5.07 05/06/11
GAMCO INVESTORS, INC. ET AL NY 8.01 05/06/11
GenMark Diagnostics, Inc. DE 2.02,9.01 05/09/11
GenOn Energy, Inc. DE 2.02,3.03,5.02,5.07, 05/03/10
9.01
GENVEC INC DE 2.02,9.01 05/09/11
GeoEye, Inc. DE 2.02,9.01 05/09/11
GeoMet, Inc. DE 2.02,9.01 05/09/11
GLADSTONE COMMERCIAL CORP MD 5.02,5.07 05/05/11
GLEACHER & COMPANY, INC. DE 8.01 05/09/11
GLOBAL AXCESS CORP NV 2.02,9.01 05/03/11
GLOBECOMM SYSTEMS INC 2.02,9.01 05/09/11
GOLDMAN SACHS GROUP INC DE 9.01 05/09/11
Grand Canyon Education, Inc. DE 2.02,9.01 05/09/11
GRAY TELEVISION INC GA 2.02,9.01 05/09/11
Great Lakes Dredge & Dock CORP DE 1.01,5.07,9.01 05/04/11
Green Energy Management Services Hold DE 1.01 05/03/11
Green Plains Renewable Energy, Inc. 5.03,5.07,9.01 05/04/11
GSI COMMERCE INC DE 8.01,9.01 05/09/11
GSP-2, INC. NV 4.01,9.01 05/04/11
GTX INC /DE/ DE 2.02,9.01 05/09/11
GULF POWER CO ME 8.01,9.01 05/09/11
HACKETT GROUP, INC. FL 2.02,9.01 05/09/11
HAMPTON ROADS BANKSHARES INC VA 7.01,9.01 05/09/11
HARDINGE INC NY 5.07 05/03/11
HARDINGE INC NY 2.02,9.01 05/06/11
HARDINGE INC NY 5.02 05/03/11
HARRIS CORP /DE/ DE 8.01 05/06/11
HCA Holdings, Inc. 1.01,2.03,9.01 05/04/11
HCC INSURANCE HOLDINGS INC/DE/ DE 7.01,9.01 05/09/11
HEADWATERS INC DE 2.02,9.01 05/09/11
HEALTHCARE REALTY TRUST INC MD 2.02,7.01,9.01 05/09/11
HEALTHSOUTH CORP DE 5.07 05/09/11
HECLA MINING CO/DE/ DE 2.02,5.07,9.01 05/09/11
Herbst Gaming, LLC NV 1.01,5.02,9.01 05/03/11
Heritage Financial Group Inc MD 2.02,9.01 05/09/11
HERTZ GLOBAL HOLDINGS INC 8.01,9.01 05/09/11
HIBERNIA HOMESTEAD BANCORP, INC. 2.02,9.01 05/06/11
Hill International, Inc. DE 2.02,9.01 05/06/11
Hondo Minerals Corp 1.01,2.01,2.03,9.01 05/04/11
Horizon Technology Finance Corp DE 5.07 05/05/11
HOSPITALITY PROPERTIES TRUST MD 2.02,9.01 05/03/11
HUTCHINSON TECHNOLOGY INC MN 5.02 05/06/11
HYPERCOM CORP DE 2.02,9.01 05/09/11
HYPERTENSION DIAGNOSTICS INC /MN MN 1.01 05/03/11
IASIS Healthcare LLC DE 2.02,9.01 05/09/11
ICON INCOME FUND EIGHT B LP DE 8.01,9.01 05/09/11
ID SYSTEMS INC DE 2.02,9.01 05/09/11
IDENTIVE GROUP, INC. DE 5.02 03/09/11 AMEND
IMATION CORP DE 5.02,5.07 05/04/11
IMERGENT INC DE 2.02,9.01 05/09/11
Industrial Income Trust Inc. MD 1.01 05/04/11
Information Services Group Inc. DE 2.02,9.01 05/09/11
INHIBITEX, INC. DE 8.01,9.01 05/09/11
INSIGNIA SYSTEMS INC/MN MN 5.02 05/09/11
INSULET CORP DE 2.02,9.01 05/09/11
INTEGRATED DEVICE TECHNOLOGY INC DE 2.02,9.01 05/09/11
INTEGRATED FREIGHT Corp FL 8.01 05/02/11
INTEL CORP DE 2.02 05/09/11
IntelGenx Technologies Corp. DE 5.07 05/09/11
INTELLIGENT SYSTEMS CORP GA 2.02,9.01 05/09/11
INTER PARFUMS INC DE 2.02,7.01,8.01,9.01 05/09/11
INTERPHASE CORP TX 8.01,9.01 05/04/11
INTERSIL CORP/DE DE 5.07 05/04/11
Interval Leisure Group, Inc. DE 2.02,9.01 05/09/11
INVESTMENT TECHNOLOGY GROUP INC DE 8.01,9.01 05/09/11
IPASS INC DE 2.02,9.01 05/09/11
Iridium Communications Inc. DE 1.02 05/06/11
Iridium Communications Inc. DE 1.02 05/06/11 AMEND
IRON MOUNTAIN INC DE 5.02 05/09/11
IRVINE SENSORS CORP/DE/ DE 3.02 04/08/11
ISABELLA BANK CORP MI 5.07 05/03/11
JAMMIN JAVA CORP. 8.01 05/06/11
JBI, INC. NV 1.01,9.01 05/05/11
JEWETT CAMERON TRADING CO LTD OR 5.02 05/09/11
JMP Group Inc. DE 7.01 05/09/11
John Bean Technologies CORP DE 2.02,5.07,9.01 05/09/11
Jpak Group, Inc. NV 5.02 05/09/11
KAMAN CORP CT 8.01 05/09/11
Kandi Technologies Corp DE 8.01,9.01 05/09/11
KANSAS CITY SOUTHERN DE 5.03,5.05,5.07,8.01, 05/04/11
9.01
KERYX BIOPHARMACEUTICALS INC DE 8.01,9.01 05/04/11
KEY ENERGY SERVICES INC MD 5.02 05/03/11
KIT digital, Inc. DE 2.01,3.02,9.01 05/03/11
KNOLL INC DE 5.07 05/05/11
Koppers Holdings Inc. PA 2.02,5.07,9.01 05/04/11
KYTO BIOPHARMA INC FL 4.01,9.01 05/09/11
LA JOLLA PHARMACEUTICAL CO DE 8.01 05/07/11
LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 05/09/11
LADISH CO INC WI 2.01,3.01,3.03,5.01, 05/06/11
5.02,5.07,9.01
LATTICE SEMICONDUCTOR CORP DE 5.07 05/03/11
Legend Oil & Gas, Ltd. CO 5.02,5.05 05/03/11
LEXINGTON REALTY TRUST MD 2.02,7.01,9.01 05/05/11
LIBERTY MEDIA CORP 2.02,8.01,9.01 05/06/11
LIBERTY MEDIA CORP 2.02,8.01,9.01 05/06/11
Limelight Networks, Inc. DE 8.01,9.01 05/09/11
LINN ENERGY, LLC DE 1.01,7.01,8.01,9.01 05/04/11
LIONBRIDGE TECHNOLOGIES INC /DE/ DE 2.02 05/09/11
LIONS GATE ENTERTAINMENT CORP /CN/ 8.01,9.01 05/09/11
LIONS GATE ENTERTAINMENT CORP /CN/ 2.02,7.01 05/05/11
LIONS GATE ENTERTAINMENT CORP /CN/ 8.01 05/09/11
LIONS GATE ENTERTAINMENT CORP /CN/ 9.01 05/09/11 AMEND
LOUISIANA-PACIFIC CORP DE 2.02,9.01 05/09/11
LUFKIN INDUSTRIES INC TX 5.02,9.01 05/05/11
LUMINEX CORP DE 2.02,9.01 05/09/11
M I HOMES INC OH 5.07 05/05/11
MAGELLAN HEALTH SERVICES INC DE 8.01 05/03/11
Magnum dOr Resources Inc NV 8.01 04/29/11
MAGNUM HUNTER RESOURCES CORP DE 2.02,7.01,9.01 05/06/11
MANAS PETROLEUM Corp NV 8.01,9.01 05/06/11
MARRIOTT INTERNATIONAL INC /MD/ DE 5.07 05/06/11
MASTEC INC FL 5.07 05/05/11
MATERION Corp 7.01,9.01 05/09/11
MATTHEWS INTERNATIONAL CORP PA 7.01,9.01 05/09/11
MAUI LAND & PINEAPPLE CO INC HI 5.07 05/05/11
MAUI LAND & PINEAPPLE CO INC HI 2.02,9.01 05/04/11
MAXIMUS INC VA 2.02,9.01 05/05/11
MCDERMOTT INTERNATIONAL INC R1 5.07,8.01,9.01 05/06/11
MCDONALDS CORP DE 7.01,9.01 05/09/11
MCG CAPITAL CORP DE 2.02,9.01 05/09/11
MEDCATH CORP DE 2.02,9.01 05/09/11
MELA SCIENCES, INC. /NY 8.01 05/09/11
METTLER TOLEDO INTERNATIONAL INC/ DE 5.07 05/09/11
MGM Resorts International DE 7.01,9.01 05/09/11
MIDDLEFIELD BANC CORP OH 2.02,9.01 05/05/11
MILLENNIA INC NV 5.01,5.02,9.01 05/08/11
MITEK SYSTEMS INC DE 1.01,3.02,9.01 05/05/11
ML BlueTrend FuturesAccess LLC DE 1.01,9.01 05/03/11
ML MACADAMIA ORCHARDS L P DE 2.02,9.01 05/09/11
MONMOUTH REAL ESTATE INVESTMENT CORP MD 2.02,7.01,9.01 05/09/11
MPG Office Trust, Inc. MD 2.02,7.01,9.01 05/09/11
MSCI Inc. DE 5.07 05/05/11
MYR GROUP INC. DE 2.02,9.01 05/09/11
NANOSPHERE INC DE 7.01,9.01 05/09/11
NATIONAL BANK OF INDIANAPOLIS CORP IN 2.02,9.01 05/09/11
NATIONAL HEALTHCARE CORP DE 2.02,9.01 03/31/11
NATURES SUNSHINE PRODUCTS INC UT 2.02,9.01 05/09/11
Net Savings Link, Inc. NV 4.01,9.01 05/09/11 AMEND
NEW PEOPLES BANKSHARES INC VA 4.01 05/09/11
NORTHEAST BANCORP /ME/ ME 2.02,9.01 05/09/11 AMEND
NOVELOS THERAPEUTICS, INC. DE 7.01,9.01 05/09/11
OCEANEERING INTERNATIONAL INC DE 5.02,5.07,8.01,9.01 05/06/11
OLD LINE BANCSHARES INC MD 2.02,9.01 05/09/11
OLIN CORP VA 7.01,9.01 05/09/11
OmniAmerican Bancorp, Inc. MD 2.02,9.01 05/09/11
ONCOGENEX PHARMACEUTICALS, INC. DE 2.02,9.01 05/09/11
ONE LIBERTY PROPERTIES INC MD 2.02,9.01 05/09/11
Oneida Financial Corp. MD 5.07,9.01 05/03/11
OPNET TECHNOLOGIES INC DE 2.02,8.01,9.01 05/09/11
ORB Automotive E9 3.02,5.02,9.01 05/04/11
Orexigen Therapeutics, Inc. DE 2.02,9.01 05/09/11
OSIRIS THERAPEUTICS, INC. DE 2.02,9.01 05/09/11
PACCAR INC DE 7.01 05/05/11
PACER INTERNATIONAL INC TN 4.01 05/04/11
PACIFIC ENTERPRISES INC CA 2.02,9.01 05/09/11
PACIFIC GOLD CORP NV 4.01,9.01 04/13/11 AMEND
Parametric Sound Corp NV 5.02,8.01,9.01 05/07/11
PARAMETRIC TECHNOLOGY CORP MA 7.01 05/06/11
PARK OHIO HOLDINGS CORP OH 2.02,9.01 05/09/11
Park Sterling Corp NC 7.01,8.01,9.01 05/08/11
PARKWAY PROPERTIES INC MD 1.01,9.01 05/06/11
PASSUR Aerospace, Inc. NY 1.01,2.03,3.02,9.01 05/09/11
PAXTON ENERGY INC NV 1.01,3.02,9.01 05/05/11
PEABODY ENERGY CORP DE 5.02,5.07,9.01 05/03/11
PENSKE AUTOMOTIVE GROUP, INC. DE 5.02,9.01 05/03/11
PENTAIR INC MN 1.01,2.03,8.01,9.01 05/09/11
People's United Financial, Inc. DE 8.01,9.01 05/09/11
PEOPLES BANCORP OF NORTH CAROLINA INC NC 5.07 05/05/11
PEPSICO INC NC 5.03,5.07,8.01,9.01 05/03/11
PETMED EXPRESS INC FL 8.01,9.01 05/09/11
PETMED EXPRESS INC FL 8.01,9.01 05/09/11
PHH CORP MD 5.02,9.01 05/06/11
PHOENIX COMPANIES INC/DE DE 2.02,9.01 05/09/11
PINNACLE ENTERTAINMENT INC. DE 8.01 05/09/11
PLAINS EXPLORATION & PRODUCTION CO DE 5.07 05/09/11
PLANTRONICS INC /CA/ DE 1.01,2.03,9.01 05/09/11
PMC SIERRA INC DE 5.02,5.03,5.07,8.01, 05/05/11
9.01
PPL Corp 7.01,9.01 05/05/11
PRESSTEK INC /DE/ DE 2.02,9.01 05/09/11
PROGAMING PLATFORMS CORP DE 4.01,9.01 05/04/11 AMEND
PSM HOLDINGS INC NV 8.01,9.01 05/03/11
PULTEGROUP INC/MI/ MI 5.02,9.01 05/09/11
Pzena Investment Management, Inc. DE 8.01,9.01 04/30/11
QUAKER CHEMICAL CORP PA 8.01,9.01 05/05/11
QUEST DIAGNOSTICS INC DE 2.02,9.01 05/09/11
QUICKSILVER RESOURCES INC DE 2.02,9.01 05/09/11
RACKSPACE HOSTING, INC. 5.07 05/03/11
RACKSPACE HOSTING, INC. 2.02,9.01 05/09/11
RAMOIL MANAGEMENT LTD DE 7.01,9.01 05/09/11
Real Goods Solar, Inc. CO 2.02,9.01 05/09/11
RED ROBIN GOURMET BURGERS INC DE 1.01,2.03,7.01,9.01 05/06/11
REINSURANCE GROUP OF AMERICA INC MO 5.02,9.01 05/09/11
REPUBLIC BANCORP INC /KY/ KY 7.01,9.01 05/09/11
REPUBLIC SERVICES, INC. DE 8.01,9.01 05/09/11
RIVERVIEW BANCORP INC WA 2.02,9.01 05/05/11
Rosetta Resources Inc. DE 7.01,9.01 05/09/11
ROSETTA STONE INC 2.02,7.01,9.01 05/09/11
RURBAN FINANCIAL CORP OH 5.07,9.01 05/05/11
SALEM COMMUNICATIONS CORP /DE/ DE 2.02,7.01,9.01 03/31/11
SAN DIEGO GAS & ELECTRIC CO CA 2.02,9.01 05/09/11
Santa Lucia Bancorp CA 2.02,8.01,9.01 05/03/11
SANTARUS INC DE 7.01,9.01 05/07/11
SARATOGA RESOURCES INC /TX TX 2.02,7.01,9.01 05/09/11
SAVIENT PHARMACEUTICALS INC DE 2.02,8.01,9.01 05/04/11
SB PARTNERS NY 2.03 04/29/11
SCHWAB CHARLES CORP DE 5.02,9.01 05/05/11
SCIQUEST INC DE 5.07 05/04/11
SCOLR Pharma, Inc. DE 2.02,9.01 05/09/11
SCOTTS LIQUID GOLD INC CO 2.02,9.01 05/09/11
SEAFARER EXPLORATION CORP DE 8.01 05/06/11
SEITEL INC DE 2.02,9.01 05/09/11
SELECT COMFORT CORP MN 5.02,7.01,9.01 05/05/11
SEMPRA ENERGY CA 2.02,9.01 05/09/11
Sensata Technologies B.V. P7 1.01,8.01,9.01 05/06/11
Sensata Technologies Holding N.V. P7 1.01,8.01,9.01 05/06/11
SERVICESOURCE INTERNATIONAL, INC. 2.02,9.01 05/09/11
Shrink Nanotechnologies, Inc. DE 1.01,7.01,9.01 05/09/11
SIGNATURE EYEWEAR INC CA 5.07 05/04/11
Sino Gas International Holdings, Inc. UT 5.02 05/03/11
Six Flags Entertainment Corp 5.02,5.07 05/09/11
SKYWEST INC UT 5.07 05/03/11
SLM CORP DE 8.01,9.01 05/09/11
SNYDER'S-LANCE, INC. NC 2.02,9.01 05/05/11
SOAPSTONE NETWORKS INC. DE 8.01 05/09/11
SOLERA HOLDINGS, INC DE 2.02,7.01,9.01 05/09/11
SOUPMAN, INC. DE 7.01,9.01 05/09/11
SOUTH JERSEY GAS CO/NEW NJ 1.01,1.02,2.03,9.01 05/05/11
SOUTHERN UNION CO DE 2.02,7.01,9.01 05/09/11
SOUTHWEST GAS CORP CA 5.03 05/09/11
SOUTHWEST IOWA RENEWABLE ENERGY, LLC IA 7.01,8.01,9.01 05/09/11
SPAR GROUP INC DE 2.02,8.01,9.01 05/06/11
SPARTON CORP OH 5.03,9.01 05/03/11
Spirit AeroSystems Holdings, Inc. DE 5.02,5.07 05/03/11
SquareTwo Financial Corp DE 8.01,9.01 05/09/11
SRI SURGICAL EXPRESS INC FL 2.02,9.01 05/09/11
SS&C Technologies Holdings Inc DE 2.02,9.01 05/09/11
SS&C TECHNOLOGIES INC DE 2.02,9.01 05/09/11
STAGE STORES INC NV 8.01,9.01 05/05/11
STEINWAY MUSICAL INSTRUMENTS INC DE 2.02,9.01 05/09/11
STERIS CORP OH 2.02,9.01 05/09/11
STERLING BANCORP NY 8.01 05/05/11
STERLING BANCSHARES INC TX 5.07,8.01,9.01 05/05/11
STERLING FINANCIAL CORP /WA/ WA 7.01,9.01 05/09/11
STEVEN MADDEN, LTD. DE 2.02,8.01,9.01 05/05/11
STIFEL FINANCIAL CORP DE 2.02,9.01 05/09/11
STRATASYS INC DE 2.02,9.01 05/04/11
STRATS (SM) TRUST FOR JPMORGAN CHASE 8.01,9.01 05/03/11
SUN HYDRAULICS CORP FL 2.02,9.01 05/09/11
Sunstone Hotel Investors, Inc. MD 5.07 05/04/11
SUPERIOR UNIFORM GROUP INC FL 5.07 05/06/11
SVB FINANCIAL GROUP 7.01,9.01 05/09/11
SYSCO CORP DE 2.02,9.01 05/09/11
SYSTEMAX INC DE 1.01,1.02,5.02,9.01 05/09/11
TECHNICAL COMMUNICATIONS CORP MA 2.02,8.01,9.01 05/09/11
TechTarget Inc 2.02,9.01 05/09/11
TELLABS INC DE 5.07,8.01 05/04/11
TENET HEALTHCARE CORP NV 8.01,9.01 05/09/11
TESCO CORP 2.02,9.01 05/05/11
Texas Rare Earth Resources Corp. NV 5.02,8.01,9.01 05/03/11
TEXTRON INC DE 5.07,7.01 05/09/11
THL Credit, Inc. DE 2.02,9.01 05/09/11
Thompson Creek Metals CO Inc. A6 2.02,9.01 05/06/11
Thompson Creek Metals CO Inc. A6 5.07 05/06/11
Thompson Creek Metals CO Inc. A6 8.01,9.01 05/09/11
TIER TECHNOLOGIES INC DE 2.02,9.01 05/09/11
Timberline Resources Corp DE 2.02,7.01,9.01 05/09/11
TIVO INC DE 1.01,7.01,9.01 05/05/11
TMST, Inc. MD 7.01,9.01 05/05/11
TOLLGRADE COMMUNICATIONS INC \PA\ PA 5.07,8.01,9.01 05/05/11
Tornier N.V. P7 2.02,9.01 05/09/11
Tower Group, Inc. DE 2.02,9.01 05/09/11
TransMontaigne Partners L.P. DE 2.02,9.01 05/09/11
TRANSUNION CORP. 2.02,9.01 05/09/11
TRAVELCENTERS OF AMERICA LLC 2.02,9.01 05/09/11
TREX CO INC DE 5.07 05/04/11
TRIMBLE NAVIGATION LTD /CA/ CA 1.01,1.02,2.03,8.01, 05/09/11
9.01
TRINITY INDUSTRIES INC DE 7.01,9.01 05/09/11
TurkPower Corp DE 5.02 05/03/11
Two Harbors Investment Corp. 9.01 05/09/11
TYSON FOODS INC DE 2.02,9.01 05/09/11
U. S. Premium Beef, LLC 7.01,9.01 05/09/11
UMH PROPERTIES, INC. MD 7.01,9.01 05/09/11
UMPQUA HOLDINGS CORP OR 7.01,9.01 05/09/11
Uni-Pixel DE 8.01,9.01 05/09/11
Uni-Pixel DE 8.01,9.01 05/09/11
Uni-Pixel DE 5.02,8.01,9.01 05/09/11
UNIFIRST CORP MA 1.01,1.02,2.03,9.01 05/05/11
UNIGENE LABORATORIES INC DE 2.02,9.01 05/09/11
UNIT CORP DE 5.07 05/04/11
United American Petroleum Corp. NV 7.01 05/05/11
UNITED STATES CELLULAR CORP DE 8.01,9.01 05/09/11
UNITEDHEALTH GROUP INC MN 7.01 05/09/11
UNITRIN INC DE 5.07 05/04/11
UNIVERSAL INSURANCE HOLDINGS, INC. DE 2.02,9.01 05/09/11
UNIVERSITY GENERAL HEALTH SYSTEM, INC NV 9.01 05/03/11 AMEND
US CONCRETE INC DE 2.02,9.01 05/06/11
US ENERGY CORP WY 8.01,9.01 05/06/11
UWHARRIE CAPITAL CORP NC 2.02,9.01 05/06/11
Valeant Pharmaceuticals International A6 2.02,9.01 05/09/11
VALIDUS HOLDINGS LTD 5.07 05/04/11
Vanda Pharmaceuticals Inc. DE 2.02,9.01 05/05/11
VENTAS INC DE 8.01,9.01 05/06/11
Verso Paper Corp. DE 2.02,9.01 05/09/11
VISHAY INTERTECHNOLOGY INC DE 7.01,9.01 05/09/11
VSE CORP DE 5.07 05/03/11
Warner Music Group Corp. DE 1.01,7.01,9.01 05/06/11
WEIKANG BIO-TECHNOLOGY GROUP CO., INC NV 4.01,9.01 05/09/11
WELLS REAL ESTATE INVESTMENT TRUST II MD 7.01 05/06/11
Westway Group, Inc. DE 8.01,9.01 05/05/11
WILSHIRE BANCORP INC 7.01,8.01,9.01 05/09/11
WISCONSIN ENERGY CORP WI 7.01,9.01 05/09/11
Wizard World, Inc. DE 1.01,5.02,9.01 05/09/11
World Surveillance Group Inc. DE 1.01,3.02,9.01 05/04/11
WORLDWIDE STRATEGIES INC NV 8.01 04/28/11
XCEL ENERGY INC MN 7.01 05/09/11
XL GROUP PLC L2 7.01,9.01 05/06/11
ZHONGPIN INC. DE 2.02,9.01 05/06/11
ZIOPHARM ONCOLOGY INC DE 8.01 05/09/11
ZOLTEK COMPANIES INC DE 2.02,9.01 05/05/11
ZORAN CORP \DE\ DE 2.02,9.01 05/09/11
http://www.sec.gov/news/digest/2011/dig051011.htm
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