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Commission announcementsSecurities and Exchange Commission Suspends Trading in the Securities of Nine 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 11, 2011, and terminating at 11:59 p.m. EDT on May 24, 2011.
The Commission temporarily suspended trading in the securities of these nine 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 Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-64458) Securities and Exchange Commission Suspends Trading in the Securities of City Network, Inc. For Failure to Make Required Periodic FilingsThe U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of City Network, Inc. (CSNY), commencing at 9:30 a.m. EDT on May 11, 2011, and terminating at 11:59 p.m. EDT on May 24, 2011. The Commission temporarily suspended trading in the securities of CSNY due to a lack of current and accurate information about the company because it has 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 this company. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspension, no quotation may be entered relating to the securities of the subject company 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 this company 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 Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-64461) SEC Seeks Public Comment to Assist in Study on Assigned Credit RatingsOn May 10, 2011, the Securities and Exchange Commission published on its website a request for public comment on the feasibility of a system in which a public or private utility or a self-regulatory organization would assign a nationally recognized statistical rating organization (NRSRO) to determine credit ratings for structured finance products. The Dodd-Frank Wall Street Reform and Consumer Protection Act mandated that the SEC study assigned ratings as part of a broader examination of credit ratings. Section 939F of the Dodd-Frank Act directs the SEC to study the credit rating process for structured finance products and the conflicts associated with the “issuer-pay” and the “subscriber-pay” models. Dodd-Frank also requires the SEC to study the feasibility of establishing a system in which a public or private utility or a self-regulatory organization assigns NRSROs to determine the credit ratings for structured finance products. In addition, the study must address the range of metrics that could be used to determine the accuracy of credit ratings for structured finance products, and alternative means for compensating NRSROs that would create incentives for accurate credit ratings for structured finance products. By July 21, 2012, the SEC is required to submit the findings of the study to Congress along with any recommendations for regulatory or statutory changes that the Commission determines should be made. To better inform the study, the request asks interested parties to provide comments, proposals, data and analysis in response to questions presented in the request. The public comment period will remain open for 120 days following publication of the request in the Federal Register. (Press Rel. 2011-108) Enforcement proceedingsCommission Orders Hearings on Registration Suspension or Revocation Against CSNY for Failure to Make Required Periodic FilingsIn conjunction with today’s trading suspension, the Commission also instituted 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 CSNY for failure to make required periodic filings with the Commission: In this Order, the Division of Enforcement (Division) alleges that City Network, Inc. is delinquent in its 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 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 proceeding will then determine whether the registration pursuant to Exchange Act Section 12 of each class of the securities of this Respondent 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. 34-64459; File No. 3-14377) Commission Orders Hearings on Registration Suspension or Revocation Against Nine Companies for Failure to Make Required Periodic FilingsIn conjunction with today’s trading suspension, the Commission also instituted 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 nine companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the nine 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 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 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. 34-64460; File No. 3-14378) In the Matter of Gordon Brent PierceOn May 11, 2011, an Administrative Law Judge issued an Order Making Findings and Imposing Sanctions by Default as to Respondents Newport Capital Corp. (Newport) and Jenirob Company Ltd. (Jenirob) (Default Order) in Gordon Brent Pierce, Admin. Proc. No. 3-13927. The Securities and Exchange Commission issued its Order Instituting Proceedings (OIP) on June 8, 2010, alleging that Newport and Jenirob violated Sections 5(a) and 5(c) of the Securities Act of 1933. As it relates to the Defaulting Respondents, the OIP alleged that Newport and Jenirob offered and sold 1.6 million shares of Lexington Resources, Inc. without a valid registration statement; Lexington’s invalid S-8 registration statement also did not cover the resales of the securities. The Default Order finds these allegations of the OIP to be true as to Newport and Jenirob. To protect the public interest, it orders that Newport Capital Corp. and Jenirob Company Ltd. cease and desist from committing or causing any violations, or any future violations, of Sections 5(a) and 5(c) of the Securities Act of 1933. In addition, Newport and Jenirob are ordered to disgorge ill-gotten gains of $5,264,466.64 and $1,983,169.11, respectively, plus prejudgment interest. The proceeding against Respondent Gordon Brent Pierce is still pending. (Rel. 33-9205; File No. 3-13927) In the Matter of Melhado, Flynn & Associates, Inc., George M. Motz and Jeanne McCarthyOn May 11, 2011, the Commission issued an Order Making Findings and Imposing Remedial Sanctions and a Cease-And-Desist Order Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Sections 203(e) and 203(k) of the Investment Advisers Act of 1940 as to Melhado, Flynn & Associates, Inc. (MFA); an Order Making Findings and Imposing Remedial Sanctions and a Cease-And-Desist Order Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940 as to George M. Motz (Motz); and an Order Making Findings and Imposing Remedial Sanctions and a Cease-And-Desist Order Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940 as to Jeanne McCarthy (McCarthy). These Orders fully resolve an administrative proceeding instituted in 2007 that involved fraudulent trade allocation (or cherry-picking), order ticket alteration, and other books and records violations at MFA between 2001 and 2005. The Orders find that MFA and Motz willfully violated, and McCarthy willfully aided and abetted and caused MFA and Motz’s violations of, Section 10(b) of the Exchange Act and Rule 10b-5 thereunder; that MFA willfully violated, and Motz and McCarthy willfully aided and abetted and caused MFA’s violations of, Sections 206(1) and 206(2) of the Advisers Act; that MFA willfully violated, and Motz and McCarthy willfully aided and abetted and caused MFA’s violations of, Section 204 of the Advisers Act and Rule 204-2(a)(3) thereunder, and Section 17(a)(1) of the Exchange Act and Rules 17a-3(a)(6)(i) and 17a-4(b)(1) thereunder; that MFA willfully violated, and Motz (but not McCarthy) willfully aided and abetted and caused MFA’s violations of Section 204 of the Advisers Act and Rules 204-2(a)(2) and 204-2(a)(6) thereunder and Section 17(a)(1) of the Exchange Act and Rules 17a-3(a)(2), 17a-4(a) and 17a-4(b)(5); that MFA and Motz willfully violated Section 207 of the Advisers Act; and that MFA violated and Motz aided and abetted and caused violations of Section 206(4) of the Advisers Act and Rule 206(4)-7 thereunder. Based on the above, the Orders direct MFA, Motz and McCarthy (Respondents) to cease and desist from committing or causing any violations and any future violations of these provisions. In addition, the Orders revoke MFA’s registrations as a broker, dealer and investment adviser with the Commission, and bar Motz and McCarthy from association with any broker, dealer, or investment adviser and prohibits them from serving or acting as an employee, officer, director, member of an advisory board, investment adviser or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor, or principal underwriter. Finally, Motz’s Order directs him to pay disgorgement and prejudgment interest totaling $864,806, which has been deemed satisfied by a restitution order in a criminal proceeding in which Motz and MFA pled guilty to securities fraud related to the cherry-picking. Respondents consented to the issuance of the Orders without admitting or denying any of the findings in the Orders. (Rels. 34-64467, IA-3199; 34-64468, IA-3200, IC-29667; Rel. 34-64469, IA-3201, IC-29668; File No. 3-12574) In the Matter of Michael Higgins, CPAOn May 11, 2011, the Commission issued an Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order against Michael Higgins. The Order finds that: (1) as the former Chief Financial Officer of Michael Baker Corporation’s energy business segment, Baker Energy, Michael Higgins regularly approved month-end manual journal entries that had been posted by Baker Energy’s Manager of Project Accounting, but did not review the supporting documentation for the manual journal entries as part of his approval process; and (2) certain of these manual journal entries were not in accordance with GAAP, resulting in the Company’s material overstatements of revenue and net income in its financial statements contained in the Form 10-K for its fiscal year 2006 (filed March 16, 2007) and in the Forms 10-Q for the first three quarters of its fiscal year 2007 (filed May 8, 2007, August 7, 2007, and November 5, 2007, respectively). As a result, Higgins caused Michael Baker’s violations of the reporting, books and records and internal controls provisions of the federal securities laws. Higgins, without admitting or denying any of the findings in the Order except as to the jurisdiction of the Commission over him, which he admitted, consented to the entry of the Order which orders him to cease and desist from committing or causing any violations and any future violations of Sections 13(a), 13(b)(2)(A) and 13(b)(2)(B) of the Securities Exchange Act of 1934 and Exchange Act Rules 12b-20, 13a-1, and 13a-13. (Rel. 34-64471; AAE Rel. 3278; File No. 3-14379) SEC Charges Investment Firm and Its President with False StatementsThe Securities and Exchange Commission obtained a court order against an investment firm purportedly located in Kirkland, Wash., and its president, who lives in Honolulu, for making false statements in a report to the SEC and refusing to allow the Commission’s staff to review the firm’s books and records. U.S. District Court Judge Leslie E. Kobayashi issued a temporary restraining order on May 9 requiring the firm to produce the firm’s books and records for examination and providing additional equitable relief. The SEC alleges that Jupiter Group Capital Advisors LLC and Rick Cho falsely reported that the advisory firm managed $153 million in 38 investor accounts. The false statements were made on Jupiter Group’s Form ADV filing – the public form used by investment advisers to register with the SEC or state securities authorities. When SEC staff sought to conduct an examination of Jupiter Group after the filing was made, Cho initially failed to respond and then later claimed that the filing referred to estimated future assets and stated that Jupiter Group has no client accounts. According to the SEC’s complaint, Cho refused to provide any evidence for his claim that the assets identified on Jupiter Group’s March 2010 Form ADV filing with the SEC belong to an unrelated business venture. He also failed to explain why the document originally filed in October 2009 was amended to show an increased number of clients and assets under management, when in reality there weren’t any client accounts. The SEC alleges that Jupiter Group did not manage $25 million or more of client assets for any reporting period, and therefore was not eligible for SEC registration. In addition, from December 2010 to the present, Jupiter Group and Cho have refused to submit to an examination. The SEC alleges that Jupiter Group violated Sections 203A, 204, and 207 of the Investment Advisers Act, and that Cho violated Section 207 of the Advisers Act and aided and abetted Jupiter Group’s violations of Sections 203A and 204 of the Advisers Act. The parties stipulated to the terms of the May 9 temporary restraining order prohibiting Jupiter Group from making false statements in Commission filings, and orders requiring Jupiter Group to submit to an examination of its books and records, requiring withdrawal of Jupiter Group’s Form ADV, prohibiting Jupiter Group and Cho from destroying documents, requiring accountings, and granting expedited discovery. The Commission also requested a preliminary injunction, permanent injunction, and civil penalties. The court set a hearing regarding the preliminary injunction for May 31, 2011 at 9:45 a.m. [SEC v. Jupiter Group Capital Advisors, LLC, and Rick Cho, United States District Court for the District of Hawaii, Case No. CV11-00291 LEK (RLP) (DHI ] (LR-21961) Commission Charges Former Michael Baker Employee With Fraud For Artificially Inflating Company’s Income, and Another Former Employee With Insider TradingThe Securities and Exchange Commission today charged Michael Baker Corporation, a company headquartered in Moon Township, Pennsylvania, and John Scullin, a former Manager of Project Accounting in the company’s former energy business segment, with falsifying the company’s accounting records which inflated the revenue and income reported to shareholders. The Commission’s complaint alleges that the company’s material financial misstatements were primarily caused by the fraudulent conduct of Scullin who prepared and caused false manual journal entries to be entered into the company’s general ledger. Scullin’s misconduct occurred against a backdrop of Michael Baker’s failure to maintain adequate internal controls over its former energy business segment’s books, records and accounts. As alleged in the Commission’s complaint, beginning in the fourth quarter of 2006 and continuing through the first three quarters of 2007, Scullin made unsupportable manual journal entries that resulted in the material overstatement of the company’s pre-tax income by 13% for the fourth quarter of 2006, and by 100%, 33% and 28% for the first three quarters of 2007. The Commission also charged Dennis Higgins, a former operations manager in Michael Baker’s energy segment, with insider trading. The Commission’s complaint alleges that Higgins sold all of his Michael Baker stock in his 401(k) account and terminated his ongoing 401(k) investments in the company upon learning of the material misstatements, and prior to the company’s February 22, 2008 public announcement that it would restate its prior financial results. Without admitting or denying the allegations in the complaint, Michael Baker consented to a permanent injunction against future violations of the reporting, books and records and internal controls provisions of the federal securities laws, including Sections 13(a), 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act and Rules 12b-20, 13a-1 and 13a-13 thereunder; Scullin consented to the entry of a final judgment permanently enjoining him against violations of the antifraud, books and records and internal controls provisions of the federal securities laws, including Sections 10(b) and 13(b)(5) of the Exchange Act and Rules 10b-5 and 13b2-1 thereunder and aiding and abetting violations of the reporting, books and records and internal controls provisions of the federal securities laws, including Sections 13(a), 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act and Rules 12b-20, 13a-1 and 13a-13 thereunder, and ordering him to pay a $35,000 civil penalty. Additionally, without admitting or denying the allegations in the complaint, Dennis Higgins consented to a permanent injunction against violations of the antifraud provisions of the federal securities laws, including Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and ordering disgorgement of $16,929.75 and prejudgment interest of $2,035.17, representing his losses avoided on account of his insider trading, and ordering him to pay a civil penalty of $16,929.75. [SEC v. Michael Baker Corporation, John Scullin and Dennis Higgins, Civil Action No. 4:11-cv-1791 (S.D. Tex. (Houston)] (LR-21962; AAE Rel. 3279) Self-regulatory organizationsImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by NASDAQ OMX BX to modify fees for non co-location services (SR-BX-2011-023) 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. 34-64439) A proposed rule change filed by The NASDAQ Stock Market to modify fees for non co-location services (SR-NASDAQ-2011-061) 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. 34-64440) A proposed rule change filed by NASDAQ OMX PHLX to modify fees for non co-location services (SR-Phlx-2011-60) 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. 34-64441) A proposed rule change, filed by NASDAQ OMX PHLX relating to Inactive Nominees (SR-Phlx-2011-59) 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. 34-64451) A proposed rule change filed by The NASDAQ Stock Market to modify fees for members using the NASDAQ Market Center (SR-NASDAQ-2011-062) 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. 34-64453) A proposed rule change filed by the Municipal Securities Rulemaking Board consisting of fee changes to its Historical Transaction Data Reports (SR-MSRB-2011-06) 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. 34-64455) A proposed rule change (SR-BX-2011-24) filed by NASDAQ OMX BX to codify the collection of the Covered Sales Fee 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. 34-64457) Proposed Rule ChangesA proposed rule change filed by Chicago Board Options Exchange relating to the strategy fee cap and clarifications to the CBOE fees schedule (SR-CBOE-2011-043) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act. Publication is expected in the Federal Register during the week of May 9. (Rel. 34-64454) Approval of Proposed Rule ChangeThe Commission granted approval of a proposed rule change submitted by The NASDAQ Stock Market (SR-NASDAQ-2011-037) pursuant to Section 19(b)(1) and Rule 19b-4 under the Securities Exchange Act of 1934 to modify Chapter V, Section 4 and Chapter VI, Section 8 of the Exchange’s rules relating to opening and halt crosses on the NASDAQ Options Market. Publication is expected in the Federal Register during the week of May 9. (Rel. 34-64463) 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-1 Silver Dragon Resources Inc., 5160 YONGE STREET, SUITE 803, TORONTO,
A6, M2N 6L9, (416) 223-8500 - 12,125,000 ($1,909,687.50) Equity,
(File 333-174077 - May. 10) (BR. 04B)
S-8 OCEANEERING INTERNATIONAL INC, 11911 FM 529, HOUSTON, TX, 77041,
713-329-4500 - 0 ($200,850,000.00) Equity, (File 333-174078 - May. 10)
(BR. 04C)
S-4 INTERACTIVE DATA CORP/MA/, 32 CROSBY DRIVE, BEDFORD, MA, 01730,
7816878800 - 700,000,000 ($700,000,000.00) Other, (File 333-174079 -
May. 10) (BR. 08A)
S-1 INTELEPEER INC, 2855 CAMPUS DRIVE, SUITE 200, SAN MATEO, CA, 94403,
650-235-8509 - 0 ($100,000,000.00) Equity, (File 333-174080 - May. 10)
(BR. )
S-1 COMPLETE GENOMICS INC, 2071 STIERLIN COURT, MOUNTAIN VIEW, CA, 94043,
(650) 943-2843 - 5,175,000 ($74,338,875.00) Equity, (File 333-174081 -
May. 10) (BR. 01B)
S-8 ROFIN SINAR TECHNOLOGIES INC, 40984 CONCEPT DRIVE, PLYMOUTH, MI, 48170,
7344555400 - 0 ($56,170,305.00) Equity, (File 333-174082 - May. 10)
(BR. 10C)
S-1 Patient Safety Technologies, Inc, TWO VENTURE PLAZA,
TWO VENTURE, SUITE 350, IRVINE,, CA, 92618, 949-387-2277 -
31,717,072 ($36,474,633.00) Equity, (File 333-174085 - May. 10)
(BR. 10C)
S-8 Huntsman CORP, 500 HUNTSMAN WAY, SALT LAKE CITY, UT, 84108,
(801) 584-5700 - 0 ($216,260,000.00) Equity, (File 333-174086 -
May. 10) (BR. 06A)
S-8 China Pharmaceuticals Inc, 24TH FLOOR, BUILDING A, ZHENGXIN MANSION,
NO. 5 OF 1ST GAOXIN ROAD, HITECH DEVZONE, XIAN CITY, F4, 00000,
00-86-029-84067215 - 1,140,000 ($4,845,000.00) Equity,
(File 333-174087 - May. 10) (BR. 01C)
S-1 ECOTALITY, INC., 80 E RIO SALADO PARKWAY, SUITE 710, TEMPE, AZ, 85281,
(480) 219-5005 - 0 ($30,000,000.00) Equity, (File 333-174088 - May. 10)
(BR. 10B)
S-8 Herbst Gaming, LLC, 3993 HOWARD HUGHES PKWY SUITE 600, LAS VEGAS, NV,
89169, (702)889-7695 - 0 ($10,000,000.00) Equity, (File 333-174089 -
May. 10) (BR. 08C)
S-8 TETRA TECHNOLOGIES INC, 24955 INTERSTATE 45 NORTH, THE WOODLANDS, TX,
77380, 2813671983 - 2,200,000 ($30,184,000.00) Equity,
(File 333-174090 - May. 10) (BR. 04C)
S-3 ENVIRONMENTAL SOLUTIONS WORLDWIDE INC, 335 CONNIE CRESCENT, CONCORD,
A6, L4K 5R2, 905-695-4142 - 42,440,907 ($5,092,908.84) Other,
(File 333-174091 - May. 10) (BR. 05A)
S-8 Neutral Tandem Inc, 550 WEST ADAMS ST, 9TH FLOOR, CHAICAGO, IL, 60661,
312-384-8040 - 0 ($9,847,044.78) Equity, (File 333-174092 - May. 10)
(BR. 11C)
S-8 TIMKEN CO, 1835 DUEBER AVE SW, CANTON, OH, 44706-2798, 3304713078 -
0 ($365,820,000.00) Equity, (File 333-174093 - May. 10) (BR. 06A)
S-8 VIST FINANCIAL CORP, 1240 BROADCASTING ROAD, WYOMISSING, PA, 19610,
6102080966 - 0 ($1,026,331.30) Equity, (File 333-174098 - May. 10)
(BR. 07C)
S-8 ENZON PHARMACEUTICALS INC, 685 ROUTE 202/206, BRIDGEWATER, NJ, 08807,
908 541 8671 - 0 ($58,212,500.00) Equity, (File 333-174099 - May. 10)
(BR. 01A)
S-8 Bergio International, Inc., 12 DANIEL ROAD, EAST FAIRFIELD, NJ, 07004,
(973) 227-3230 - 5,000,000 ($125,500.00) Equity, (File 333-174100 -
May. 10) (BR. 02B)
S-8 PHARMACYCLICS INC, PHARMACYCLICS INC, 995 E ARQUES AVE, SUNNYVALE, CA,
94085-4521, 408 774 0330 - 2,500,000 ($15,550,000.00) Equity,
(File 333-174101 - May. 10) (BR. 01B)
S-1 SANUWAVE Health, Inc., 11680 GREAT OAKS WAY, SUITE 350, ALPHARETTA, GA,
30022, 678-581-6843 - 0 ($26,230,424.00) Equity, (File 333-174102 -
May. 10) (BR. 10C)
S-1 MICROVISION INC, 6222 185TH AVE NE, REDMOND, WA, 98052, 425-936-6847 -
0 ($32,158,199.43) Equity, (File 333-174103 - May. 10) (BR. 10B)
S-3ASR AMERICAN PUBLIC EDUCATION INC, 111 W CONGRESS STREET, CHARLES TOWN, WV,
25414, 3047243700 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-174104 - May. 10) (BR. 11C)
S-8 AMERICAN PUBLIC EDUCATION INC, 111 W CONGRESS STREET, CHARLES TOWN, WV,
25414, 3047243700 - 0 ($85,500,000.00) Equity, (File 333-174105 -
May. 10) (BR. 11C)
S-3 TOWERSTREAM CORP, 55 HAMMARLUND WAY, MIDDLETOWN, RI, 02842,
(401) 848-5848 - 125,000,000 ($125,000,000.00) Equity,
(File 333-174106 - May. 10) (BR. 11C)
S-8 TOWERSTREAM CORP, 55 HAMMARLUND WAY, MIDDLETOWN, RI, 02842,
(401) 848-5848 - 200,000 ($818,000.00) Equity, (File 333-174107 -
May. 10) (BR. 11C)
S-3 Apollo Commercial Real Estate Finance, Inc.,
C/O APOLLO GLOBAL MANAGEMENT, LLC, 9 WEST 57TH STREET, 43RD FLOOR,
NEW YORK, NY, 10019, (212) 515-3200 -
0 ($500,000,000.00) Unallocated (Universal) Shelf, (File 333-174108 -
May. 10) (BR. 08A)
S-1 ANYTHINGIT INC, 17-09 ZINK PLACE, FAIR LAWN, NJ, 07410, 877-766-3050 -
39,297,960 ($5,229,296.00) Equity, (File 333-174109 - May. 10) (BR. )
S-8 MDC HOLDINGS INC, 4350 S MONACO STREET, SUITE 500, DENVER, CO, 80237,
3037731100 - 0 ($67,964,000.00) Equity, (File 333-174110 - May. 10)
(BR. 06A)
S-8 POWER ONE INC, 740 CALLE PLANO, CAMARILLO, CA, 93012, 8059878741 -
0 ($67,235,000.00) Equity, (File 333-174111 - May. 10) (BR. 10C)
S-4 Florida East Coast Holdings Corp., 7411 FULLERTON STREET, SUITE 100,
JACKSONVILLE, FL, 32256, 800-342-1131 -
0 ($130,000,000.00) Non-Convertible Debt, (File 333-174112 - May. 10)
(BR. )
S-1 SOUTHERN MISSOURI BANCORP INC, 531 VINE ST, POPLAR BLUFF, MO, 63901,
5737851421 - 0 ($28,750,000.00) Equity, (File 333-174113 - May. 10)
(BR. 07A)
S-8 SCHIFF NUTRITION INTERNATIONAL, INC., 2002 SOUTH 5070 WEST,
SALT LAKE CITY, UT, 84104-4726, 8019755000 -
1,600,000 ($15,000,000.00) Equity, (File 333-174114 - May. 10) (BR. 02A)
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
A.C. Moore Arts & Crafts, Inc. PA 2.02,7.01,9.01 05/10/11
ABRAXAS PETROLEUM CORP NV 7.01,9.01 05/10/11
ACADIA PHARMACEUTICALS INC DE 2.02,9.01 05/10/11
ACORN ENERGY, INC. DE 2.02,9.01 05/10/11
ADDVANTAGE TECHNOLOGIES GROUP INC OK 2.02,7.01,9.01 05/10/11
ADVOCAT INC DE 2.02,9.01 05/10/11
AEROFLEX HOLDING CORP. DE 2.02,8.01,9.01 05/10/11
AEROFLEX INC DE 2.02,8.01,9.01 05/10/11
AgFeed Industries, Inc. NV 2.02,9.01 05/10/11
AGREE REALTY CORP DE 5.07 05/09/11
Air Transport Services Group, Inc. DE 2.02,9.01 05/10/11
AKORN INC LA 9.01 05/03/11 AMEND
Alberto-Culver CO DE 1.02,2.01,3.01,3.03, 05/10/11
5.01,5.02,5.03,8.01,
9.01
ALLIANCE RESOURCE PARTNERS LP DE 8.01 05/04/11
ALLIED AMERICAN STEEL CORP. NV 1.01,5.03,8.01,9.01 04/27/11
ALLIED HEALTHCARE INTERNATIONAL INC NY 2.02,8.01,9.01 05/10/11
ALLOS THERAPEUTICS INC DE 2.02,8.01,9.01 05/10/11
ALMOST FAMILY INC DE 5.07 05/10/11
AMARIN CORP PLC\UK X0 2.02,9.01 05/10/11
AMB PROPERTY CORP MD 5.07 05/05/11
American Assets Trust, Inc. MD 2.02,7.01,9.01 05/10/11
AMERICAN GREETINGS CORP OH 7.01 05/04/11
AMERICAN ORIENTAL BIOENGINEERING INC CO 2.02,9.01 05/09/11
AMERICAN PETRO-HUNTER INC NV 1.01,9.01 05/04/11
AMERICAN PUBLIC EDUCATION INC DE 5.02,5.07,9.01 05/06/11
AMERICAN PUBLIC EDUCATION INC DE 2.02,9.01 05/10/11
AMERICAN SHARED HOSPITAL SERVICES CA 2.02,9.01 05/10/11
AMERICANWEST BANCORPORATION WA 7.01,9.01 05/06/11
AMPCO PITTSBURGH CORP PA 5.07 05/05/11
ANAVEX LIFE SCIENCES CORP. NV 3.02,9.01 05/04/11 AMEND
ante5, Inc. DE 2.01 05/05/11
Apollo Commercial Real Estate Finance MD 5.07 05/04/11
Apollo Commercial Real Estate Finance MD 2.02,9.01 05/10/11
APPLETON PAPERS INC/WI 2.02 04/03/11
APTARGROUP INC DE 5.02,5.07,9.01 05/04/11
ARCH CAPITAL GROUP LTD. 5.07,7.01,8.01,9.01 05/06/11
Archipelago Learning, Inc. DE 2.02,9.01 05/10/11
ARDENT MINES LTD 1.01,9.01 05/04/11
ARENA PHARMACEUTICALS INC DE 2.02,9.01 05/10/11
Artio Global Investors Inc. DE 5.07 05/06/11
ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 05/09/11
ASPEN INSURANCE HOLDINGS LTD D0 7.01,9.01 05/10/11
ASSURED GUARANTY LTD D0 2.02,5.03,5.07,9.01 05/04/11
ASTA FUNDING INC DE 2.02,9.01 05/10/11
ASTRONICS CORP NY 5.07 05/05/11
ATP OIL & GAS CORP TX 2.02,9.01 05/10/11
Attitude Drinks Inc. DE 1.01,3.02,9.01 02/01/11 AMEND
Attitude Drinks Inc. DE 1.01,3.02,9.01 03/17/11 AMEND
AUTHENTIDATE HOLDING CORP DE 1.01,5.02,5.07,8.01, 05/05/11
9.01
AVATAR HOLDINGS INC DE 2.02,7.01,9.01 05/10/11
AVON PRODUCTS INC NY 5.07,9.01 05/05/11
AXIS CAPITAL HOLDINGS LTD 5.07 05/05/11
AZTEC OIL & GAS, INC. NV 9.01 02/28/11
BALDWIN TECHNOLOGY CO INC DE 4.02 05/05/11
BANCORPSOUTH INC MS 7.01,9.01 05/10/11
Baron Energy Inc. NV 2.01,2.03,3.02,9.01 05/04/11
BARRY R G CORP /OH/ OH 2.02,9.01 05/10/11
BAZI INTERNATIONAL, INC. NV 5.07,8.01 05/06/11
BB&T CORP NC 7.01,9.01 05/10/11
BEACON POWER CORP DE 2.02,9.01 05/10/11
BIOSANTE PHARMACEUTICALS INC DE 2.02,9.01 05/10/11
BIOSPECIFICS TECHNOLOGIES CORP DE 2.02,9.01 05/10/11
BIOTIME INC CA 8.01,9.01 05/10/11
BJs RESTAURANTS INC CA 8.01,9.01 05/10/11
BlackRock Kelso Capital CORP DE 7.01,9.01 05/09/11
BlackRock Kelso Capital CORP DE 5.07 05/09/11
BLUEFLY INC DE 2.02,9.01 05/10/11
Blueknight Energy Partners, L.P. DE 2.02,9.01 05/10/11
BOND LABORATORIES, INC. NV 2.02,8.01,9.01 05/10/11
BOSTON BEER CO INC MA 7.01,9.01 05/10/11
BOSTON SCIENTIFIC CORP DE 5.02,9.01 05/04/11
Bravo Brio Restaurant Group, Inc. OH 2.02,9.01 05/10/11
BreitBurn Energy Partners L.P. DE 2.02,9.01 05/10/11
BRIDGE BANCORP INC NY 5.07,9.01 05/06/11
BRIGHTPOINT INC IN 1.01,5.02,5.07,9.01 05/10/11
BRINKS CO VA 5.02,5.03,5.07,9.01 05/06/11
BRINKS CO VA 7.01,9.01 05/10/11
Bristow Group Inc DE 2.02,9.01 05/10/11
BROADRIDGE FINANCIAL SOLUTIONS, INC. DE 2.02,9.01 05/10/11
Bronco Drilling Company, Inc. DE 7.01,9.01 05/10/11
BUFFALO WILD WINGS INC MN 5.07 05/04/11
CAESARS ENTERTAINMENT Corp DE 2.02,9.01 05/10/11
Capitol Federal Financial Inc MD 2.02,9.01 05/10/11
CARDICA INC DE 2.02,9.01 05/10/11
Care Investment Trust Inc. MD 2.02,7.01,9.01 05/10/11
CAREY W P & CO LLC DE 2.02,9.01 05/10/11
CAREY W P & CO LLC DE 7.01,9.01 05/10/11
CARMIKE CINEMAS INC DE 2.02,9.01 05/10/11
CARRIZO OIL & GAS INC TX 2.02,9.01 05/10/11
CARROLS RESTAURANT GROUP, INC. 2.02,9.01 05/10/11
Catalent Pharma Solutions, Inc. DE 2.02,9.01 05/10/11
Celanese CORP DE 7.01,9.01 05/10/11
CENTERLINE HOLDING CO DE 5.02,9.01 05/09/11
CENTRAL BANCORP INC /MA/ MA 2.02,9.01 05/09/11
CENTRAL PACIFIC FINANCIAL CORP HI 8.01,9.01 05/09/11
CENTRAL VIRGINIA BANKSHARES INC VA 2.02,9.01 05/10/11
CHARTER COMMUNICATIONS, INC. /MO/ DE 1.01,2.03,9.01 05/10/11
CHEMBIO DIAGNOSTICS, INC. NV 5.02 05/10/11
Chesapeake Lodging Trust MD 2.01,9.01 05/10/11
CHESAPEAKE MIDSTREAM PARTNERS LP DE 2.02,9.01 05/10/11
CHICAGO BRIDGE & IRON CO N V 5.07 05/04/11
CHICAGO RIVET & MACHINE CO IL 2.02,9.01 05/09/11
CHILDRENS PLACE RETAIL STORES INC 5.02,9.01 05/09/11
China Biologic Products, Inc. 2.02,7.01,9.01 05/10/11
China Information Technology, Inc. 2.02,9.01 05/10/11
CHINA VALVES TECHNOLOGY, INC NV 2.02,7.01,9.01 05/10/11
CHINDEX INTERNATIONAL INC DE 2.02,7.01,9.01 05/10/11
CHOICE HOTELS INTERNATIONAL INC /DE DE 5.02,5.07,9.01 05/05/11
CHURCH & DWIGHT CO INC /DE/ DE 5.07 05/05/11
CIT GROUP INC DE 5.07 05/10/11
CKX, Inc. DE 2.02,9.01 05/09/11
CLEAN POWER TECHNOLOGIES INC. NV 5.02,8.01 05/09/11
Clean Slate, Inc. DE 4.02 05/10/11
CLIFFS NATURAL RESOURCES INC. OH 8.01 05/06/11
Cogdell Spencer Inc. MD 5.07 05/04/11
COLONIAL PROPERTIES TRUST AL 1.01,7.01,9.01 05/10/11
COMMERCIAL NATIONAL FINANCIAL CORP /P PA 2.02 05/10/11
COMMUNITY HEALTH SYSTEMS INC DE 8.01,9.01 05/09/11
COMMUNITY TRUST BANCORP INC /KY/ KY 7.01,9.01 03/31/11
COMMVAULT SYSTEMS INC DE 2.02,9.01 05/10/11
COMPLETE GENOMICS INC DE 2.02,9.01 05/09/11
COMPUTER PROGRAMS & SYSTEMS INC DE 5.07 05/05/11
CONCEPTUS INC DE 2.02,7.01,9.01 05/10/11
CONNS INC DE 2.02,9.01 05/10/11
COOPER TIRE & RUBBER CO DE 5.07 05/06/11
CORE LABORATORIES N V P7 1.01,3.02,9.01 05/04/11
CORECARE SYSTEMS INC DE 8.01,9.01 05/01/11
CORELOGIC, INC. DE 8.01 05/09/11
CorMedix Inc. DE 2.02,9.01 05/10/11
CORNERSTONE BANCSHARES INC TN 2.02,9.01 04/27/11
COVANTA HOLDING CORP DE 5.07 05/05/11
CRACKER BARREL OLD COUNTRY STORE, INC TN 7.01,9.01 05/10/11
Crestwood Midstream Partners LP DE 2.02,9.01 05/10/11
CTS CORP IN 7.01,9.01 05/10/11
CVR ENERGY INC DE 2.02,9.01 05/09/11
CVR PARTNERS, LP DE 2.02,9.01 05/09/11
Cypress Sharpridge Investments, Inc. MD 7.01,9.01 05/10/11
DEAN FOODS CO DE 2.02,9.01 05/10/11
Deer Consumer Products, Inc. NV 2.02,9.01 05/10/11
dELiAs, Inc. DE 1.01,9.01 05/06/11
DENBURY RESOURCES INC DE 7.01 05/06/11
DIAGNOSTIC IMAGING INTERNATIONAL CORP NV 4.01,9.01 05/06/11
Dialogic Inc. DE 2.02,9.01 05/10/11
DIGIRAD CORP DE 5.07 05/05/11
DIGUANG INTERNATIONAL DEVELOPMENT CO. NV 4.01,9.01 05/04/11
DIXIE GROUP INC TN 5.07 05/10/11 AMEND
Dolan Co. DE 2.02,9.01 05/10/11
DORCHESTER MINERALS LP DE 7.01,9.01 05/10/11
DOT HILL SYSTEMS CORP DE 5.02,9.01 05/06/11
DOUGLAS DYNAMICS, INC DE 2.02,9.01 05/09/11
DOVER SADDLERY INC 2.02,9.01 05/10/11
DOVER SADDLERY INC 5.07 05/05/11
Dresser-Rand Group Inc. DE 5.07 05/10/11
DTE ENERGY CO MI 5.02,5.03,5.07,9.01 05/05/11
DTE ENERGY CO MI 2.02,9.01 05/10/11
DUCOMMUN INC /DE/ DE 5.03,5.07,9.01 05/04/11
Duke Energy CORP DE 5.07 05/05/11
Duncan Energy Partners L.P. DE 2.02,9.01 05/09/11
EAGLE ROCK ENERGY PARTNERS L P DE 7.01 05/10/11
Eco-Trade Corp DE 5.01,5.02,9.01 05/09/11
ELECTRO SCIENTIFIC INDUSTRIES INC OR 2.02,9.01 05/10/11
Ellington Financial LLC DE 2.02,7.01,9.01 05/09/11
ELRAY RESOURCES, INC. NV 1.01 05/09/11 AMEND
EMC INSURANCE GROUP INC IA 2.02,7.01,9.01 05/10/11
EMISPHERE TECHNOLOGIES INC DE 2.02,9.01 05/10/11
Encore Bancshares Inc TX 7.01,9.01 05/10/11
Encore Energy Partners LP DE 2.02,9.01 05/10/11
ENER1 INC FL 2.02,9.01 05/10/11
ENERGY CONVERSION DEVICES INC DE 2.02,5.02,9.01 05/04/11
Energy Services of America CORP DE 2.02,9.01 05/10/11
EnergySolutions, Inc. DE 2.02,9.01 05/10/11
ENGLOBAL CORP NV 2.02,9.01 05/10/11
EnteroMedics Inc 5.07 05/05/11
ENTERPRISE PRODUCTS PARTNERS L P DE 2.02,9.01 05/09/11
ENVIRONMENTAL SOLUTIONS WORLDWIDE INC FL 1.01,9.01 05/10/11
EPICEPT CORP 2.02,9.01 05/10/11
EPOCRATES INC DE 2.02,9.01 05/10/11
EQT Corp PA 3.03,5.02,5.03,5.07, 05/10/11
7.01,9.01
Essex Rental Corp. DE 2.02,9.01 05/09/11
Essex Rental Corp. DE 8.01,9.01 05/09/11
Evetsco, Inc. DE 1.01,2.03 05/09/11
ExamWorks Group, Inc. DE 1.01,2.02,2.03,9.01 05/06/11
EXPRESS SCRIPTS INC DE 5.02,5.03,5.07,9.01 05/04/11
FAIRCHILD SEMICONDUCTOR INTERNATIONAL DE 5.02,5.07,9.01 05/05/11
FARMERS CAPITAL BANK CORP KY 5.07 05/10/11
Federal Home Loan Bank of Atlanta X1 2.03 05/10/11
Federal Home Loan Bank of Boston X1 2.03 05/04/11
Federal Home Loan Bank of Chicago X1 2.03 05/04/11
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 05/04/11
Federal Home Loan Bank of Dallas 2.03,9.01 05/04/11
Federal Home Loan Bank of Des Moines X1 2.03,9.01 05/06/11
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 05/10/11
Federal Home Loan Bank of New York X1 2.03,9.01 05/04/11
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 05/04/11
Federal Home Loan Bank of San Francis X1 2.03 05/04/11
Federal Home Loan Bank of Seattle 2.03 05/04/11
Federal Home Loan Bank of Topeka 2.03,9.01 05/06/11
Feihe International Inc UT 2.02,9.01 05/10/11
FINDEX COM INC NV 1.01,9.01 05/05/11
FIRST BANCSHARES INC /MO/ MO 5.02,5.03,9.01 05/10/11
FIRST CHINA PHARMACEUTICAL GROUP, INC NV 1.01,5.02,5.03,7.01, 05/06/11
9.01
FIRST CITIZENS BANCSHARES INC /DE/ DE 2.01,9.01 01/21/11 AMEND
FIRST COMMONWEALTH FINANCIAL CORP /PA PA 2.02,9.01 05/10/11
FIRST FEDERAL BANCSHARES OF ARKANSAS TX 8.01,9.01 05/10/11
FIRST MARBLEHEAD CORP 4.02,9.01 05/09/11
FIRST MARBLEHEAD CORP 7.01,9.01 05/10/11
FIRST PACTRUST BANCORP INC MD 5.02,9.01 05/06/11
First Physicians Capital Group, Inc. DE 1.01,2.01,7.01,9.01 05/10/11
FIRSTCITY FINANCIAL CORP DE 2.02,7.01,9.01 05/10/11
FISHER COMMUNICATIONS INC WA 2.02,9.01 05/10/11
FLUIDIGM CORP DE 2.02,9.01 05/10/11
FLUSHING FINANCIAL CORP DE 7.01,9.01 05/10/11
FONAR CORP DE 8.01 05/09/11
FONAR CORP DE 2.02 03/31/11
FOREST CITY ENTERPRISES INC OH 3.02 05/10/11
FOSSIL INC DE 2.02,9.01 05/10/11
FRANKLIN ELECTRIC CO INC IN 5.07 05/06/11
FRANKLIN ELECTRIC CO INC IN 5.07 05/06/11
Fresh Harvest Products, Inc. NJ 1.01,3.02,9.01 05/04/11
FUEL TECH, INC. DE 2.02,9.01 05/09/11
FUEL TECH, INC. DE 8.01 05/10/11
FURMANITE CORP DE 2.02,7.01,9.01 05/10/11
FutureFuel Corp. DE 1.01,9.01 05/10/11
Gas Natural Inc. OH 5.02 05/05/11
GCI INC AK 7.01,9.01 05/09/11
GENERAL COMMUNICATION INC AK 7.01,9.01 05/09/11
GENERAL DYNAMICS CORP DE 5.07 05/04/11
General Maritime Corp / MI 2.02,9.01 05/10/11
GENESIS ENERGY LP DE 2.02,9.01 05/10/11
GEORESOURCES INC CO 2.02,9.01 05/09/11
GLIMCHER REALTY TRUST MD 5.07,9.01 05/05/11
Global Cash Access Holdings, Inc. DE 2.02,9.01 05/10/11
GLOBAL GREEN SOLUTIONS INC. NV 1.01,1.02,3.02,8.01, 02/21/11
9.01
GLOBE SPECIALTY METALS INC 2.02,7.01,9.01 03/31/11
GLU MOBILE INC DE 8.01 05/09/11
GMX RESOURCES INC OK 2.02,9.01 05/09/11
GOLDMAN SACHS GROUP INC DE 5.07 05/06/11
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 05/10/11
GREAT ATLANTIC & PACIFIC TEA CO INC MD 8.01,9.01 05/10/11
GRIFFIN LAND & NURSERIES INC DE 7.01,9.01 05/10/11
Grubb & Ellis Healthcare REIT II, Inc MD 1.01,9.01 05/04/11
GSE SYSTEMS INC DE 2.02 03/31/11
GSI TECHNOLOGY INC 5.02,9.01 05/04/11
H & H Imports, Inc. FL 7.01,9.01 05/06/11
Hampden Bancorp, Inc. DE 2.02,8.01,9.01 05/03/11
HANCOCK HOLDING CO MS 8.01 05/10/11
Harry & David Holdings, Inc. DE 1.01,7.01,9.01 05/09/11
HAWAIIAN ELECTRIC INDUSTRIES INC HI 2.02,9.01 05/09/11
HEALTH CARE REIT INC /DE/ DE 8.01,9.01 05/10/11
HEALTH CARE REIT INC /DE/ DE 5.07,9.01 05/05/11
HEALTH NET INC DE 7.01 05/09/11
HEALTHSOUTH CORP DE 7.01,9.01 05/10/11
HEARTLAND EXPRESS INC NV 5.07 05/05/11
HEARTLAND, INC. KY 5.02 05/09/11
Heckmann CORP 7.01,9.01 05/10/11
HERITAGE COMMERCE CORP CA 7.01,9.01 05/06/11
HESS CORP DE 5.02,5.07 05/04/11
HITTITE MICROWAVE CORP 5.07 05/05/11
Homeowners Choice, Inc. FL 2.02,9.01 05/10/11
Horizon Technology Finance Corp DE 2.02,9.01 05/10/11
HUB GROUP INC DE 5.07 05/06/11
Hudson Pacific Properties, Inc. MD 2.02,7.01,9.01 05/10/11
Huntsman CORP DE 5.02,7.01,9.01 05/05/11
IBERIABANK CORP LA 7.01,9.01 05/10/11
IMMUNOMEDICS INC DE 2.02,9.01 05/10/11
INERGY L P DE 2.02,7.01,9.01 05/10/11
INFINITY PHARMACEUTICALS, INC. DE 2.02,9.01 05/10/11
INNOSPEC INC. DE 2.02,9.01 05/09/11
Innovaro, Inc. 2.02,9.01 05/10/11
INSMED INC VA 2.02,9.01 03/31/11
INSPIRE PHARMACEUTICALS INC DE 2.02,9.01 05/10/11
INTEGRATED FREIGHT Corp FL 8.01 05/02/11 AMEND
INTELSAT S.A. N4 2.02,9.01 05/10/11
INTERNATIONAL FLAVORS & FRAGRANCES IN NY 2.02,9.01 05/10/11
INTL FCSTONE INC. DE 2.02,7.01,9.01 05/10/11
Invesco Mortgage Capital Inc. MD 2.02 05/10/11
Iridium Communications Inc. DE 2.02,9.01 05/10/11
ISECURETRAC CORP DE 5.07 05/04/11
J P MORGAN CHASE & CO DE 8.01,9.01 05/10/11
J2 GLOBAL COMMUNICATIONS INC DE 7.01 05/10/11
James River Coal CO VA 2.02,7.01,9.01 05/10/11
JEFFERIES GROUP INC /DE/ DE 5.07 05/09/11
K12 INC DE 2.02,9.01 05/10/11
Kennedy-Wilson Holdings, Inc. DE 2.02,9.01 05/09/11
KINGOLD JEWELRY, INC. DE 2.02,9.01 05/10/11
KNOLL INC DE 7.01 05/10/11
KULICKE & SOFFA INDUSTRIES INC PA 7.01,9.01 05/10/11
L-1 IDENTITY SOLUTIONS, INC. DE 8.01,9.01 05/10/11
LA JOLLA PHARMACEUTICAL CO DE 8.01 05/09/11
Latitude Solutions, Inc. NV 3.02,7.01,9.01 05/05/11
LEARNING TREE INTERNATIONAL INC DE 2.02,9.01 05/10/11
LEFT BEHIND GAMES INC. WA 7.01,9.01 05/10/11
Legend Oil & Gas, Ltd. CO 8.01 04/25/11
Lender Processing Services, Inc. DE 7.01 05/10/11
LGL GROUP INC DE 8.01,9.01 05/06/11
Lifevantage Corp CO 5.02,9.01 05/04/11
LIGAND PHARMACEUTICALS INC DE 2.02,9.01 05/10/11
Lightwave Logic, Inc. NV 7.01 05/10/11
LIHUA INTERNATIONAL INC. DE 2.02,9.01 05/10/11
LINDSAY CORP DE 5.02,8.01,9.01 05/05/11
LIONS GATE ENTERTAINMENT CORP /CN/ 8.01,9.01 05/10/11
LIONS GATE ENTERTAINMENT CORP /CN/ 7.01,9.01 05/10/11
LMI AEROSPACE INC MO 7.01,9.01 05/10/11
LORAL SPACE & COMMUNICATIONS INC. DE 2.02,9.01 05/09/11
LSI CORP DE 8.01 05/09/11
LUFKIN INDUSTRIES INC TX 5.07 05/04/11
LUNA INNOVATIONS INC DE 2.02,9.01 05/10/11
LyondellBasell Industries N.V. P7 5.07 05/05/11
MAGNUM HUNTER RESOURCES CORP DE 8.01,9.01 05/10/11
Maiden Holdings, Ltd. D0 7.01,9.01 05/10/11
MAMMATECH CORP FL 5.03 05/10/11
MANNKIND CORP DE 2.02,9.01 05/09/11
MARCHEX INC DE 1.01,5.02,5.07,7.01 05/06/11
MARKWEST ENERGY PARTNERS L P 2.02,9.01 05/09/11
MAXLINEAR INC 5.07 05/06/11
MBIA INC CT 2.02,7.01,9.01 05/10/11
McCormick & Schmicks Seafood Restaura 1.01,9.01 05/05/11
MCDERMOTT INTERNATIONAL INC R1 2.02,9.01 05/10/11
MDC HOLDINGS INC DE 2.02,7.01,9.01 05/10/11
MEADWESTVACO Corp DE 8.01 05/06/11
MEDCO HEALTH SOLUTIONS INC DE 7.01,9.01 05/10/11
Medidata Solutions, Inc. DE 2.02,9.01 05/10/11
MEMSIC Inc 2.02,9.01 05/10/11
MERCADOLIBRE INC 8.01 05/10/11
META FINANCIAL GROUP INC DE 2.02,9.01 05/10/11
MetroCorp Bancshares, Inc. TX 5.07 05/06/11
METROPCS COMMUNICATIONS INC DE 1.01,2.03,9.01 05/10/11
MGIC INVESTMENT CORP WI 5.02,5.07 05/05/11
MGP INGREDIENTS INC KS 2.02,7.01,9.01 05/10/11
MICROELECTRONICS TECHNOLOGY Co NV 5.02 05/09/11
MICROMET, INC. DE 2.02,9.01 05/10/11
MICROSOFT CORP WA 8.01,9.01 05/10/11
MICROSTRATEGY INC DE 2.02,9.01 05/04/11
MID AMERICA APARTMENT COMMUNITIES INC TN 7.01,9.01 05/10/11
Midway Gold Corp A1 7.01,9.01 05/02/11
Midway Gold Corp A1 5.07 05/05/11
Millstream Ventures, Inc. NV 1.01,9.01 05/09/11
MINN DAK FARMERS COOPERATIVE ND 7.01 05/10/11
MISONIX INC NY 2.02,9.01 05/10/11
Mistras Group, Inc. DE 1.01,9.01 05/05/11
Molycorp, Inc. DE 2.02,9.01 05/10/11
MONAR INTERNATIONAL INC. NV 8.01,9.01 05/09/11
MONARCH CASINO & RESORT INC NV 5.07 05/06/11
MONTPELIER RE HOLDINGS LTD 8.01,9.01 05/10/11
MRV COMMUNICATIONS INC DE 2.02,9.01 05/10/11
NANOSPHERE INC DE 7.01,9.01 05/10/11
NATIONAL HEALTHCARE CORP DE 5.07 05/09/11
NATURAL GAS SERVICES GROUP INC 2.02,9.01 03/31/11
NAVIGATORS GROUP INC DE 2.02,7.01,9.01 05/09/11
Neenah Paper Inc DE 2.02,9.01 05/09/11
NELNET INC NE 2.02,9.01 05/10/11
NEOPROBE CORP DE 2.02,9.01 05/09/11
NETSOL TECHNOLOGIES INC NV 2.02,9.01 05/10/11
Neutral Tandem Inc 2.02,8.01,9.01 05/10/11
New England Bancshares, Inc. 8.01,9.01 05/09/11
NEWMONT MINING CORP /DE/ DE 8.01,9.01 05/10/11
NeXt Innovation Corp. MD 1.01 05/09/11
NF Energy Saving Corp DE 8.01 05/10/11
NII HOLDINGS INC DE 5.07 05/10/11
NINE MILE SOFTWARE, INC. NV 1.01,3.02,5.01,5.02, 05/06/11
5.03,9.01
NORTHWEST PIPE CO OR 2.02,9.01 05/10/11
NOVELLUS SYSTEMS INC CA 1.01,2.03,3.02,8.01, 05/10/11
9.01
Nuance Communications, Inc. DE 1.01,2.02,9.01 05/10/11
NUPATHE INC. DE 2.02,9.01 05/10/11
NuStar Energy L.P. DE 5.02,5.07,9.01 05/05/11
NV ENERGY, INC. NV 8.01,9.01 05/09/11
NYTEX Energy Holdings, Inc. DE 2.04,9.01 05/04/11
OCCIDENTAL PETROLEUM CORP /DE/ DE 5.07 05/06/11
OCEANFIRST FINANCIAL CORP DE 5.02,5.07,9.01 05/05/11
OMEROS CORP WA 2.02,9.01 05/10/11
OMEROS CORP WA 1.01,1.02,9.01 05/10/11
ONLINE RESOURCES CORP DE 2.02,9.01 05/10/11
ORBCOMM Inc. DE 2.02,9.01 05/10/11
Otter Tail Corp MN 2.02,9.01 05/09/11
PANTRY INC DE 2.02,9.01 05/10/11
PARK CITY GROUP INC 2.02,8.01,9.01 05/10/11
PC MALL INC DE 2.02,7.01,9.01 05/10/11
PEABODY ENERGY CORP DE 7.01,9.01 05/10/11
Pebblebrook Hotel Trust MD 5.02 05/06/11
PEGASYSTEMS INC MA 2.02,9.01 05/10/11
PEGASYSTEMS INC MA 5.02 05/04/11
PENSKE AUTOMOTIVE GROUP, INC. DE 5.07,8.01,9.01 05/10/11
PEP BOYS MANNY MOE & JACK PA 7.01,9.01 05/10/11
PERKINS & MARIE CALLENDER'S INC DE 1.01 05/04/11
PETROHAWK ENERGY CORP DE 1.01,9.01 05/04/11
PG&E CORP CA 8.01,9.01 05/09/11
PHC INC /MA/ MA 2.02,9.01 05/10/11
Pike Electric CORP 2.02,9.01 05/10/11
PINNACLE DATA SYSTEMS INC OH 5.07 05/09/11
PIONEER NATURAL RESOURCES CO DE 7.01 05/10/11
PMC COMMERCIAL TRUST /TX TX 2.02,9.01 05/09/11
PREFORMED LINE PRODUCTS CO OH 1.01,9.01 05/10/11
Pregis Holding II CORP DE 2.02,9.01 05/10/11
PRESIDENTIAL LIFE CORP DE 4.02 05/10/11
Primo Water Corp DE 2.02,9.01 05/10/11
PRIMUS TELECOMMUNICATIONS GROUP INC DE 5.02 05/04/11
PRINCETON NATIONAL BANCORP INC DE 2.02,9.01 05/06/11
PRO DEX INC CO 2.02,9.01 05/10/11
PROCERA NETWORKS INC NV 2.02,9.01 05/10/11
PROFILE TECHNOLOGIES INC DE 1.03,5.02,9.01 05/09/11
Profit Planners Management, Inc. NV 8.01 05/05/11
PROGENICS PHARMACEUTICALS INC DE 2.02,9.01 03/31/11
pSivida Corp. DE 2.02,9.01 05/10/11
PUBLIC SERVICE ENTERPRISE GROUP INC NJ 7.01,9.01 05/10/11
Quanex Building Products CORP DE 2.01,8.01,9.01 03/31/11 AMEND
QUANTUM CORP /DE/ DE 5.02,9.01 05/06/11
RAM ENERGY RESOURCES INC DE 2.02,5.07,9.01 05/05/11
RANGE RESOURCES CORP DE 9.01 05/06/11 AMEND
RAYMOND JAMES FINANCIAL INC FL 7.01 05/09/11
RCLC, INC. NJ 7.01,9.01 05/04/11
RDA Holding Co. 5.02 05/04/11
RED ROCK PICTURES HOLDINGS, INC 1.01,3.02,9.01 05/06/11
REGAL ENTERTAINMENT GROUP DE 5.07 05/04/11
RENTECH INC /CO/ CO 2.02,9.01 05/10/11
RES CARE INC /KY/ KY 2.02,9.01 03/31/11
Resource Real Estate Opportunity REIT MD 1.01 05/04/11
RETAIL OPPORTUNITY INVESTMENTS CORP DE 5.07 05/05/11
REYNOLDS AMERICAN INC 5.07 05/06/11
RF MICRO DEVICES INC NC 5.02 05/04/11
Rhino Resource Partners LP DE 2.02,9.01 05/10/11
Rockville Financial, Inc. /CT/ CT 2.02,9.01 05/10/11
Rockwood Holdings, Inc. DE 7.01,9.01 05/10/11
Rockwood Holdings, Inc. DE 5.07 05/06/11
ROCKY MOUNTAIN CHOCOLATE FACTORY INC CO 2.02,7.01,9.01 05/10/11
RODMAN & RENSHAW CAPITAL GROUP, INC. DE 5.07 05/06/11
Rosetta Resources Inc. DE 5.07 05/10/11
Rotoblock CORP NV 8.01,9.01 05/10/11
Rovi Corp DE 2.02,9.01 05/10/11
RPC INC DE 8.01,9.01 05/09/11
S&T BANCORP INC PA 7.01,9.01 05/10/11
SAGA COMMUNICATIONS INC DE 2.02,9.01 05/10/11
SAJAN INC DE 2.02,9.01 05/10/11
SANMINA-SCI CORP DE 1.01,2.03,8.01,9.01 05/10/11
SANTARUS INC DE 8.01 05/09/11
SBA COMMUNICATIONS CORP FL 5.07 05/04/11
SCIENTIFIC GAMES CORP DE 2.02,9.01 05/10/11
SCOTTS MIRACLE-GRO CO OH 5.02,8.01,9.01 05/04/11
SCRIPPS E W CO /DE OH 2.02,9.01 05/10/11
SELECT MEDICAL HOLDINGS CORP 7.01,9.01 05/10/11
SERVICESOURCE INTERNATIONAL, INC. 2.02,9.01 05/09/11 AMEND
SEYCHELLE ENVIRONMENTAL TECHNOLOGIES NV 7.01,9.01 05/10/11
Shengkai Innovations, Inc. FL 8.01,9.01 05/09/11
Shire plc 8.01,9.01 05/09/11
SHORE BANCSHARES INC MD 8.01,9.01 05/09/11
SINO PAYMENTS, INC. NV 5.02 05/06/11
SMARTHEAT INC. NV 2.02,9.01 05/10/11
SNAP-ON Inc DE 8.01 05/05/11
Solo Cup CO DE 2.02,9.01 05/10/11
Somaxon Pharmaceuticals, Inc. DE 8.01 05/09/11
SOUTH HERTFORDSHIRE UNITED KINGDOM FU CO 2.01,5.07,8.01 05/05/11
SOUTHWEST GAS CORP CA 5.07 05/05/11
SPARTON CORP OH 2.02,7.01,9.01 05/10/11
SPECTRUM PHARMACEUTICALS INC DE 5.02 05/05/11
SPECTRUM PHARMACEUTICALS INC DE 5.02 05/05/11
Spring Creek Healthcare Systems, Inc. NV 5.02,9.01 05/04/11
SRA INTERNATIONAL INC DE 2.02,8.01,9.01 05/10/11
STARWOOD HOTEL & RESORTS WORLDWIDE IN MD 5.07 05/05/11
STARWOOD PROPERTY TRUST, INC. 2.02,9.01 05/10/11
Steadfast Income REIT, Inc. MD 1.01,2.01,2.03,7.01, 05/04/11
9.01
STEC, INC. CA 2.02,9.01 05/10/11
STONEMOR PARTNERS LP DE 2.02,9.01 05/10/11
STRATEGIC AMERICAN OIL CORP NV 8.01,9.01 05/09/11
Sucampo Pharmaceuticals, Inc. 2.02,9.01 05/10/11
SUNOCO INC PA 5.07 05/05/11
SUNRISE SENIOR LIVING INC DE 5.07 05/06/11
SUSQUEHANNA BANCSHARES INC PA 5.07 05/06/11
Sutor Technology Group LTD 2.02,9.01 05/10/11
Swank, Inc. DE 2.02,9.01 05/10/11
Swisher Hygiene Inc. DE 5.02,5.07,9.01 05/05/11
SYNTHESIS ENERGY SYSTEMS INC DE 2.02,9.01 05/10/11
SYSTEMAX INC DE 2.02,9.01 05/10/11
TACTICAL AIR DEFENSE SERVICES, INC. 1.01,7.01,9.01 05/02/11
Target Acquisitions I, Inc. DE 5.01,5.02,9.01 05/04/11
Target Acquisitions I, Inc. DE 4.01 05/01/11
Target Acquisitions I, Inc. DE 5.01,5.02,8.01,9.01 05/09/11
TBS International plc L2 2.02,9.01 05/09/11
TBS International plc L2 1.01,3.03,5.03,5.07, 05/06/11
9.01
TECHE HOLDING CO LA 7.01,9.01 05/10/11
TECUMSEH PRODUCTS CO MI 5.02,9.01 05/04/11
TECUMSEH PRODUCTS CO MI 2.02,9.01 05/10/11
TELULAR CORP DE 2.02,8.01,9.01 05/05/11
TEMPLE INLAND INC DE 5.07 05/06/11
TENNANT CO MN 1.01,1.02,2.03 05/05/11
TESCO CORP 5.07 05/04/11
Thrust Energy Corp. NV 5.03,8.01,9.01 05/05/11
THT Heat Transfer Technology, Inc. NV 2.02,7.01,9.01 05/10/11
Tianli Agritech, Inc. D8 7.01,9.01 05/10/11
TIVO INC DE 1.02,7.01,9.01 05/05/11 AMEND
TORTOISE CAPITAL RESOURCES CORP 8.01,9.01 05/09/11
Tower Group, Inc. DE 7.01,9.01 05/10/11
TOWERSTREAM CORP DE 2.02,8.01,9.01 05/10/11
TRADESTATION GROUP INC FL 5.02,8.01,9.01 05/09/11
TRANSATLANTIC PETROLEUM LTD. D0 5.02,9.01 05/05/11
TRANSAX INTERNATIONAL LTD CO 1.01,2.01,9.01 05/10/11
TransDigm Group INC DE 2.02,9.01 05/10/11
TRIMBLE NAVIGATION LTD /CA/ CA 7.01,9.01 05/09/11
Trunkbow International Holdings Ltd NV 2.02,9.01 05/10/11
TRUSTMARK CORP MS 7.01,9.01 05/10/11
TTM TECHNOLOGIES INC WA 8.01,9.01 05/04/11
TUFCO TECHNOLOGIES INC DE 2.02,7.01,9.01 05/09/11
TWO RIVERS WATER Co CO 7.01 05/10/11
UNITED GUARDIAN INC DE 2.02,9.01 05/10/11
UNITED PARCEL SERVICE INC DE 5.07 05/05/11
UNIWELL ELECTRONIC Corp 1.01,9.01 05/03/11
URS CORP /NEW/ DE 2.02,9.01 05/10/11
US DATAWORKS INC NV 5.02,9.01 05/04/11
UTSTARCOM INC DE 1.01,5.02,9.01 05/05/11
VALASSIS COMMUNICATIONS INC DE 5.07,7.01,9.01 05/05/11
VALIDUS HOLDINGS LTD 7.01,9.01 05/10/11
Valley Commerce Bancorp CA 2.02,9.01 04/29/11
VANGUARD HEALTH SYSTEMS INC DE 2.02,9.01 05/09/11
Vanguard Natural Resources, LLC DE 2.02,7.01,9.01 05/10/11
Vantage Drilling CO E9 2.02,7.01,9.01 05/06/11
VERIZON COMMUNICATIONS INC DE 5.07 05/05/11
VERMILLION, INC. DE 2.02,5.03,7.01,8.01, 05/06/11
9.01
VISHAY INTERTECHNOLOGY INC DE 7.01,9.01 05/09/11
vitaminspice 1.01,1.02,4.01,5.02, 05/10/11 AMEND
7.01,9.01
VITESSE SEMICONDUCTOR CORP DE 2.02,5.02,7.01,9.01 05/05/11
VOC Energy Trust 1.01,3.02,5.03,7.01, 05/04/11
9.01
VORNADO REALTY LP DE 3.02 05/10/11
VORNADO REALTY TRUST MD 5.03,8.01,9.01 05/10/11
Voyager Oil & Gas, Inc. DE 2.02,9.01 05/10/11
VWR Funding, Inc. DE 2.02,7.01 05/10/11
WALT DISNEY CO/ DE 2.02,9.01 05/10/11
Warner Music Group Corp. DE 2.02,7.01,9.01 05/09/11
WARWICK VALLEY TELEPHONE CO NY 5.02,9.01 05/05/11
WELLCARE HEALTH PLANS, INC. DE 1.01,9.01 05/05/11
WENDY'S/ARBY'S GROUP, INC. DE 2.02,9.01 04/03/11
WENDY'S/ARBY'S GROUP, INC. DE 7.01,9.01 04/03/11
WERNER ENTERPRISES INC NE 5.07 05/10/11
Willbros Group, Inc.\NEW\ 8.01,9.01 05/09/11
WILLIAMS CONTROLS INC DE 2.02,9.01 05/09/11
WILLIS GROUP HOLDINGS PLC L2 2.05 05/04/11 AMEND
WILLIS LEASE FINANCE CORP DE 2.02,7.01,9.01 05/09/11
WISCONSIN ENERGY CORP WI 5.07 05/05/11
Xenith Bankshares, Inc. VA 5.07 05/05/11
XEROX CORP NY 7.01,9.01 05/10/11
Xzeres Wind Corp. NV 5.03 05/04/11
YORK WATER CO PA 5.02 05/09/11
Zumiez Inc WA 5.02,9.01 05/06/11
http://www.sec.gov/news/digest/2011/dig051111.htm
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