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Commission announcementsTenaris to Pay $5.4 Million in SEC’s First-Ever Deferred Prosecution AgreementThe Securities and Exchange Commission today entered into a Deferred Prosecution Agreement (DPA) with Tenaris S.A. in its first-ever use of the approach to facilitate and reward cooperation in SEC investigations. The agreement with Tenaris involves allegations that the global manufacturer of steel pipe products violated the Foreign Corrupt Practices Act (FCPA) by bribing Uzbekistan government officials during a bidding process to supply pipelines for transporting oil and natural gas. The SEC alleges that Tenaris made almost $5 million in profits when it was subsequently awarded several contracts by the Uzbekistan government. Under the terms of the DPA, Tenaris must pay $5.4 million in disgorgement and prejudgment interest. Tenaris is the first company to enter into a DPA with the SEC, an approach announced last year to encourage individuals and companies to provide information about misconduct and assist with an SEC investigation. When Tenaris conducted a thorough, worldwide internal review of its operations and controls, it discovered FCPA violations by personnel in Uzbekistan and informed the SEC. In response to its findings, Tenaris reviewed its controls and compliance measures and significantly enhanced its anti-corruption policies and practices. Tenaris has agreed to cooperate further with the SEC, Justice Department, and any other law enforcement agency in connection with this case. Tenaris also agreed to pay a $3.5 million criminal penalty in a Non-Prosecution Agreement announced today by the Justice Department. “The Tenaris foreign bribery scheme was unacceptable and unlawful, but the company’s response demonstrated high levels of corporate accountability and cooperation,” said Robert Khuzami, Director of the SEC’s Division of Enforcement. “The company’s immediate self-reporting, thorough internal investigation, full cooperation with SEC staff, enhanced anti-corruption procedures, and enhanced training made it an appropriate candidate for the Enforcement Division’s first Deferred Prosecution Agreement. Effective enforcement of the securities laws includes acknowledging and providing credit to those who fully and completely support our investigations and who display an exemplary commitment to compliance, cooperation, and remediation.” Cheryl Scarboro, Chief of the SEC Enforcement Division’s FCPA Unit, added, “Tenaris’s conduct was clearly in violation of the FCPA. The company’s employees bribed government officials in Uzbekistan to obtain government contracts. But when Tenaris discovered the illegal conduct, it took noteworthy steps to address the violations and significantly enhance its anti-corruption policies and practices to remediate weaknesses in its internal controls.” Tenaris is incorporated in Luxembourg and its American Depositary Receipts (TS) are listed on the New York Stock Exchange. According to the DPA, the SEC alleges that Tenaris bid on a series of contracts in 2006 and 2007 and bribed Uzbekistan officials to gain access to confidential bids by competitors. Tenaris used the information to revise its own bids, and as a result was awarded several contracts by the Uzbekistan government. Under the terms of the DPA, the SEC will refrain from prosecuting the company in a civil action for its violations if Tenaris complies with certain undertakings. Among other things, Tenaris has agreed to enhance its policies, procedures, and controls to strengthen compliance with the FCPA and anti-corruption practices. Tenaris will implement due diligence requirements related to the retention and payment of agents, provide detailed training on the FCPA and other anti-corruption laws, require certification of compliance with anti-corruption policies, and notify the SEC of any complaints, charges, or convictions against Tenaris or its employees related to violations of any anti-bribery or securities laws. Tenaris has agreed to continue to fully cooperate with the SEC in its investigation. The SEC’s investigation was conducted by Karen L. Martinez, Assistant Director of the Salt Lake Regional Office, and William B. McKean of the Enforcement Division’s FCPA Unit. The SEC acknowledges the assistance of the Department of Justice’s Fraud Section and the Federal Bureau of Investigation in this case. The SEC’s investigation is continuing. For more information about this enforcement action, contact: Cheryl Scarboro For general questions about Deferred Prosecution Agreements, contact: Robert Khuzami (Press Rel. 2011-112) Enforcement proceedingsIn the Matter of Richard L. GobleOn May 16, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing (Order) against Richard L. Goble based upon the entry of a permanent injunction against him in the United States District Court for the Middle District of Florida (Securities and Exchange Commission v. North American Clearing, Inc., et al., Civil Action Number 6:08-cv-829-ORL-35KRS). In the Order, the Division of Enforcement alleges that on April 27, 2011, the District Court permanently enjoined Goble from future violations of Sections 10(b), 15(c)(3), and 17(a) of the Securities Exchange Act of 1934 and Rules 10b-5, 15c3-3, and 17a-3 thereunder. The Division further alleges that the District Court permanently enjoined Goble from attempting to secure any securities licenses or engaging in the securities business. A hearing will be scheduled before an Administrative Law Judge to determine whether the allegations contained in the Order are true, to provide Goble an opportunity to dispute these allegations, and to determine what, if any, remedial sanctions are appropriate and in the public interest. The Order requires the Administrative Law Judge to issue an initial decision no later than 210 days from the date of service of the Order pursuant to Rule 360(a)(2) of the Commission’s Rules of Practice. (Rel. 34-64503; File No. 3-14390) Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Eight Public Companies For Failure to Make Required Periodic FilingsOn May 16, 2011, the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of eight companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the eight issuers are delinquent in their required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the Administrative Law Judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The Administrative Law Judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-64504; File No. 3-14391) Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Seven Public Companies For Failure to Make Required Periodic FilingsOn May 16, 2011, the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of seven companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the seven issuers are delinquent in their required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the Administrative Law Judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The Administrative Law Judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-64505; File No. 3-14392) In the Matter of Daniel Sholom FrishbergOn May 16, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (Order) against Daniel Sholom Frishberg, a resident of Houston, Texas. The Order finds that, on March 30, 2011, a judgment was entered by consent against Respondent, permanently enjoining him from future violations of Sections 206(1) and 206(2) of the Investment Advisers Act of 1940, in the civil action entitled Securities and Exchange Commission v. Daniel Sholom Frishberg, Civil Action Number 4:11-cv-1097, in the United States District Court for the Southern District of Texas. The Order further finds that the Commission’s complaint alleged that, in connection with two separate promissory note offerings to clients of Daniel Frishberg Financial Services, Inc. (DFFS), a registered investment adviser Frishberg controlled, Frishberg violated Section 206(2) by approving unsuitable investments for recommendation to his advisory clients. In addition, the complaint alleged that Frishberg aided and abetted the Section 206(1) and 206(2) violations committed by DFFS officer Albert Fase Kaleta and by DFFS. Frishberg approved investments despite undisclosed conflicts of interest between himself and DFFS on the one hand and the DFFS clients on the other. Frishberg knew such conflicts had not been disclosed to clients or recklessly disregarded whether such conflicts had been disclosed to clients. Based on the above, the Order bars Frishberg from association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent. Frishberg consented to the issuance of the Order without admitting or denying any of the findings except as to the entry of the judgment, which he admitted. (Rel. IA-3206; File No. 3-14393) In the Matter of Tom Hirsch, Berta Walder, Howard Walder, and Harish P. ShahOn May 17, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing (Order) against Tom Hirsch, Berta Walder, Howard Walder, and Harish P. Shah (the Respondents). The Division of Enforcement (Division) alleges that from at least January 2006 until June 2008, in connection with the sale of investment contracts or promissory notes through Radical Bunny, LLC, the Respondents raised $197 million from investors nationwide, made misrepresentations and omissions to investors about the safety and security of the investment and the applicability of the securities laws to their offering, and otherwise engaged in a variety of conduct that operated as a fraud and deceit on investors. The Division further alleges that the Respondents sold unregistered securities and acted as unregistered broker-dealers. The Division further alleges that on April 28, 2011, a final judgment was entered against the Respondents permanently enjoining each of them from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 and Sections 10(b) and (15)(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, in the civil action entitled Securities and Exchange Commission v. Radical Bunny, LLC, et al., Civil Action Number CV 09-1560-PHX-SRB, in the United States District Court for the District of Arizona. A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide the Respondents the opportunity to dispute these allegations, and to determine what remedial sanctions, if any, are appropriate. The Commission directed that an administrative law judge issue an initial decision no later than 210 days from the date of service of this order. (Rel. 34-64507; File No. 3-14394) In the Matter of Steven T. KobayashiOn May 17, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions (Order) against Steven T. Kobayashi. The Order, which is based on the entry of an injunction on April 26, 2011 in Securities and Exchange Commission v. Steven T. Kobayashi (Civil Action Number 11-cv-00981-CW) in the United States District Court for the Northern District of California, finds that the Commission filed a complaint against Kobayashi, who was a registered financial adviser in the Walnut Creek, California offices of UBS Financial Services, Inc. between 2004 and 2009. From 2005 through 2009 Kobayashi managed Life Settlement Partners, LLC, (LSP), a California-based pooled investment fund which invested in life settlement policies. The Commission’s complaint alleges that, in connection with the sale of securities, Kobayashi misappropriated funds from his UBS clients’ accounts. The complaint further alleges that Kobayashi misappropriated millions of dollars from LSP. The complaint also alleges that Kobayashi acted as an unregistered broker-dealer by selling interests in LSP. On April 26, 2011 a final judgment was entered by consent against Kobayashi, permanently enjoining him from future violations of Sections 10(b) and 15(a) of the Exchange Act and Rule 10b-5 thereunder. Based on the above, the Order bars Steven T. Kobayashi from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, nationally recognized statistical rating organization, and from participating in the offer of any penny stock. Steven T. Kobayashi consented to the issuance of the Order without admitting or denying any of the findings except he admitted the entry of the final judgment. (Rel. 34-64508; File No. 3-14395) Investment company act releasesRussell Investment Management Company, et al.An order has been issued on an application filed by Russell Investment Management Company, et al. to permit: (a) series of registered open-end management investment companies to issue shares that can be redeemed in large aggregations only (Creation Units); (b) secondary market transactions in shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days after the tender of shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire shares of the series. (Rel. IC-29671 – May 16) Self-regulatory organizationsAccelerated Approval of Proposed Rule ChangesThe Commission approved on an accelerated basis a proposed rule change filed by the National Securities Clearing Corporation (SR-NSCC-2011-02) pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934. The proposed rule change modifies certain haircuts currently applied to Eligible Clearing Fund Securities. Publication is expected in the Federal Register during the week of May 16. (Rel. 34-64487) The Commission approved on an accelerated basis a proposed rule change filed by the Fixed Income Clearing Corporation (SR-FICC-2011-03) pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934. The proposed rule change modifies certain haircuts currently applied to Eligible Clearing Fund Securities and Eligible Participants Fund Securities. Publication is expected in the Federal Register during the week of May 16. (Rel. 34-64488) 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 GLACIER WATER SERVICES INC, 1385 PARK CENTER DRIVE, VISTA, CA,
92081-8338, 7605601111 - 0 ($86,250,000.00) Equity, (File 333-174162 -
May. 13) (BR. 02A)
S-3ASR Cypress Sharpridge Investments, Inc., 437 MADISON AVENUE, 33RD FLOOR,
NEW YORK, NY, 10022, (212) 612-3210 - 0 ($0.00) Equity,
(File 333-174163 - May. 13) (BR. 08C)
S-3ASR CENTENE CORP, 7700 FORSYTH BLVD., ST LOUIS, MO, 63105, 3147254477 -
0 ($0.00) Debt, (File 333-174164 - May. 13) (BR. 01B)
S-8 CAMTEK LTD, INDUSTRIAL ZONE PO BOX 631,
MIGDAL HAEMEK 011-972-6-644-0521, ISRAEL 10556, L3, 00000,
600,000 ($1,968,000.00) Equity, (File 333-174165 - May. 13) (BR. 10A)
S-1 BATS Global Markets, Inc., 8050 MARSHALL DRIVE, SUITE 120, LENEXA, KS,
66214, (913) 815-7000 - 0 ($100,000,000.00) Equity, (File 333-174166 -
May. 13) (BR. )
S-1 SAFECODE DRUG TECHNOLOGIES CORP., 6 MAEVER HAMILTAH STREET, JERUSALEM,
L3, 97761, 97225021322 - 20,000,000 ($100,000.00) Equity,
(File 333-174167 - May. 13) (BR. )
S-3 PROCERA NETWORKS INC, 4121 CLIPPER COURT, FREMONT, CA, 94538,
510-230-2777 - 4,000,000 ($39,160,000.00) Equity, (File 333-174168 -
May. 13) (BR. 03C)
F-3 CAMTEK LTD, INDUSTRIAL ZONE PO BOX 631,
MIGDAL HAEMEK 011-972-6-644-0521, ISRAEL 10556, L3, 00000,
4,000,000 ($38,160,000.00) Equity, (File 333-174169 - May. 13) (BR. 10A)
S-8 POTASH CORP OF SASKATCHEWAN INC, 122 1ST AVE S, STE 500, SASKATOON,
SASKATCHEWAN CANADA, A9, S7K 7G3, 3069338500 -
3,000,000 ($156,930,000.00) Equity, (File 333-174170 - May. 13)
(BR. 05A)
S-8 Polypore International, Inc., (704) 588-5310 -
0 ($199,500,000.00) Equity, (File 333-174172 - May. 13) (BR. 06A)
S-8 CASTLE A M & CO, 3400 N WOLF RD, FRANKLIN PARK, IL, 60131, 7084557111 -
750,000 ($13,500,000.00) Equity, (File 333-174174 - May. 13) (BR. 05C)
S-4 NBCUniversal Media, LLC, 30 ROCKEFELLER PLAZA, NEW YORK, NY, 10112,
2126644444 - 0 ($9,100,000,000.00) Non-Convertible Debt,
(File 333-174175 - May. 13) (BR. 01)
S-1 Douglas Lake Minerals Inc., SUITE 500, 666 BURRARD STREET, VANCOUVER,
A1, V6C 3P6, (604) 642-6165 - 55,589,789 ($27,516,945.56) Equity,
(File 333-174191 - May. 13) (BR. 04C)
S-1 Vanguard Energy Corp, 1999 AVENUE OF THE STARS, SUITE 1100,
LOS ANGELES, CA, 90067, 310-556-8400 - 0 ($33,022,500.00) Other,
(File 333-174194 - May. 13) (BR. )
S-8 ROGERS CORP, P.O. BOX 188, ONE TECHNOLOGY DRIVE, ROGERS, CT,
06263-0188, 860-779-5756 - 415,000 ($19,392,950.00) Equity,
(File 333-174195 - May. 13) (BR. 06A)
S-1 JH Designs, Inc., 11271 VENTURA BLVD., #511, STUDIO CITY, CA, 91604,
(818) 472-6001 - 1,170,000 ($234,000.00) Equity, (File 333-174196 -
May. 13) (BR. )
F-9 Nova Scotia Power Inc, P.O. BOX 910, HALIFAX, A5, B3J 2W5,
902-428-6096 - 0 ($521,811,730.00) Equity, (File 333-174197 - May. 13)
(BR. 02)
S-1 China United Insurance Service, Inc., BUILDING 4F, HESHENG PLAZA,
NO 26 YOUSHENG SOUTH RD JINSHUI DISTRICT, ZHENGZHOU, HENAN, F4, 00000,
415-955-8900 - 1,000,000 ($15,000.00) Equity, (File 333-174198 -
May. 13) (BR. )
S-3 FLOTEK INDUSTRIES INC/CN/, 2930 W. SAM HOUSTON PARKWAY N, SUITE 300,
HOUSTON, TX, 77043, 7138499911 - 0 ($34,157,800.00) Equity,
(File 333-174199 - May. 13) (BR. 06A)
S-8 CADENCE DESIGN SYSTEMS INC, 2655 SEELY ROAD BLDG 5, SAN JOSE, CA,
95134, 4089431234 - 0 ($151,114,561.00) Equity, (File 333-174200 -
May. 13) (BR. 03C)
S-8 CADENCE DESIGN SYSTEMS INC, 2655 SEELY ROAD BLDG 5, SAN JOSE, CA,
95134, 4089431234 - 0 ($41,360,000.00) Equity, (File 333-174201 -
May. 13) (BR. 03C)
S-8 CADENCE DESIGN SYSTEMS INC, 2655 SEELY ROAD BLDG 5, SAN JOSE, CA,
95134, 4089431234 - 0 ($402,953.00) Equity, (File 333-174202 - May. 13)
(BR. 03C)
S-3 ADVENTRX PHARMACEUTICALS INC, 12390 EL CAMINO REAL, SUITE 150,
SAN DIEGO, CA, 92130, 8585520866 - 0 ($41,836,775.57) Equity,
(File 333-174203 - May. 13) (BR. 01A)
S-8 EnergyConnect Group Inc, 5335 SW MEADOWS ROAD, SUITE 325, LAKE OSWEGO,
OR, 97035, 8664887642 - 1,250,000 ($275,000.00) Equity,
(File 333-174204 - May. 13) (BR. 03B)
S-8 RLJ Lodging Trust, 3 BETHESDA METRO CENTER, SUITE 1000, BETHESDA, MD,
20814, 301-280-7777 - 0 ($88,550,000.00) Equity, (File 333-174205 -
May. 13) (BR. 08C)
S-4 FERRELLGAS L P, 7500 COLLEGE BOULEVARD, STE 1000, OVERLAND PARK, KS,
66210, 9136611500 - 0 ($500,000,000.00) Debt, (File 333-174206 -
May. 13) (BR. 02A)
S-3 RICKS CABARET INTERNATIONAL INC, 10959 CUTTEN ROAD, HOUSTON, TX, 77066,
2813976730 - 404,082 ($4,206,493.60) Equity, (File 333-174207 -
May. 13) (BR. 05B)
S-11 Springleaf REIT Inc., 1345 AVENUE OF THE AMERICAS, NEW YORK, NY, 10105,
212-479-7116 - 0 ($500,000,000.00) Equity, (File 333-174208 - May. 13)
(BR. )
S-8 SALESFORCE COM INC, THE LANDMARK, ONE MARKET STREET STE.300,
SAN FRANCISCO, CA, 94105, 4,039,519 ($515,006,981.46) Equity,
(File 333-174209 - May. 13) (BR. 03B)
S-1 Midland States Bancorp, Inc., 133 WEST JEFFERSON STREET, EFFINGHAM, IL,
62401, (217) 342-2141 - 0 ($75,000,000.00) Equity, (File 333-174210 -
May. 13) (BR. )
S-1 BANCTEC INC, 2701 E GRAUWYLER RD, IRVING, TX, 75061, 9725796000 -
0 ($75,000,000.00) Equity, (File 333-174211 - May. 13) (BR. 03C)
S-8 RENTECH INC /CO/, 10877 WILSHIRE BLVD, #710, LOS ANGELES, CA, 90024,
310-571-9800 - 15,000,000 ($14,550,000.00) Equity, (File 333-174212 -
May. 13) (BR. 05C)
S-3 AspenBio Pharma, Inc., 1585 S. PERRY STREET, CASTLE ROCK, CO, 80104,
(303) 794-2000 - 0 ($1,741.50) Equity, (File 333-174213 - May. 13)
(BR. 01C)
S-4 COSTAR GROUP INC, 1331 L STREET NW, WASHINGTON, DC, 20005, 2023466500 -
0 ($213,290,737.36) Equity, (File 333-174214 - May. 13) (BR. 03C)
S-8 Dialogic Inc., 926 ROCK AVENUE, SUITE 20, SAN JOSE, CA, 95131,
4087509575 - 1,415,172 ($6,781,605.04) Equity, (File 333-174215 -
May. 13) (BR. 03C)
F-3 TEEKAY TANKERS LTD., C/O TEEKAY CORPORATION, 4TH FLOOR,,
BELVEDERE BUILDING, 69 PITTS BAY ROAD, HAMILTON, D0, HM08,
(441)298-2530 - 0 ($742,631,825.00) Equity, (File 333-174216 - May. 13)
(BR. 05C)
S-4 ASBURY AUTOMOTIVE GROUP INC, 2905 PREMIERE PARKWAY NW, SUITE 300,
DULUTH, GA, 30097, 770-418-8200 -
0 ($200,000,000.00) Debt Convertible into Equity, (File 333-174217 -
May. 13) (BR. 02B)
S-8 VALUECLICK INC/CA, 30699 RUSSELL RANCH DRIVE, SUITE 250,
WESTLAKE VILLAGE, CA, 91362, 818 575-4500 -
311,289 ($377,151.00) Equity, (File 333-174218 - May. 13) (BR. 11C)
S-8 Green Plains Renewable Energy, Inc., 9420 UNDERWOOD AVE., STE. 100,
OMAHA, NE, 68114, 402-884-8700 - 0 ($16,140,000.00) Equity,
(File 333-174219 - May. 13) (BR. 06C)
F-3ASR Teekay LNG Partners L.P., 4TH FLOOR, BELVEDERE BUILDING,
69 PITTS BAY ROAD, HAMILTON, D0, HM 08, (441) 298-2530 -
0 ($662,730,384.00) Equity, (File 333-174220 - May. 13) (BR. 05C)
F-3ASR Teekay Offshore Partners L.P., 4TH FLOOR, BELVEDERE BUILDING,
69 PITTS BAY ROAD, HAMILTON, D0, HM 08, (441) 298-2530 -
0 ($666,220,225.00) Limited Partnership Interests, (File 333-174221 -
May. 13) (BR. 05C)
S-1 Puissant Industries, Inc., 3701 EDMONTON RD., COLUMBIA, KY, 42728,
(270)385-9877 - 107,000 ($214,000.00) Equity, (File 333-174222 -
May. 13) (BR. )
S-1 RED METAL RESOURCES, LTD., 195 PARK AVENUE, THUNDER BAY, A6, P7B 1B9,
807-345-5380 - 9,442,999 ($4,343,780.00) Equity, (File 333-174223 -
May. 16) (BR. 04C)
F-1 FLINT INT'L SERVICES, INC., 5732 HIGHWAY & WEST, UNIT 15, VAUGHAN, A6,
L4L 3A2, 877-439-3001 - 500,000 ($500,000.00) Other, (File 333-174224 -
May. 16) (BR. )
S-1 Enduro Resource Partners LLC, 777 MAIN STREET, SUITE 800, FORT WORTH,
TX, 76102, 817-744-8200 - 0 ($375,000,000.00) Equity,
(File 333-174225 - May. 16) (BR. 04)
S-4 Black Elk Energy Offshore Operations, LLC, 11451 KATY FREEWAY,
SUITE 500, HOUSTON, TX, 77079, 281-598-8600 -
0 ($150,000,000.00) Non-Convertible Debt, (File 333-174226 - May. 16)
(BR. )
S-1 Bond Street Holdings Inc, 5301 BLUE LAGOON DRIVE, SUITE 200, MIAMI, FL,
33126, 3057406000 - 0 ($150,000,000.00) Equity, (File 333-174227 -
May. 16) (BR. 07)
S-3ASR Google Inc., 1600 AMPHITHEATRE PARKWAY, MOUNTAIN VIEW, CA, 94043,
650 623 4000 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-174228 - May. 16) (BR. 03A)
S-8 Kosmos Energy Ltd., CLARENDON HOUSE, 2 CHURCH STREET, HAMILTON, D0,
HM 11, (214) 445-9600 - 0 ($620,090,809.70) Other, (File 333-174234 -
May. 16) (BR. 04A)
S-3 ENBRIDGE ENERGY PARTNERS LP, 21 W SUPERIOR ST STE 400,
LAKE SUPERIOR PLACE, DULUTH, MN, 55802-2067, 2187250100 -
0 ($500,000,000.00) Equity, (File 333-174235 - May. 16) (BR. 04B)
S-1 China Fitness & Beauty Inc., RM 36, 3/F, BLOCK 1 HUAXIE INTL BUILDING,
16# JIANG XI STREET, WUHOU DISTRICT, CHEUNG DU, SI CHUAN, F4, 610041,
415-955-8900 - 491,939 ($4,919.39) Equity, (File 333-174236 - May. 16)
(BR. )
S-8 Caribou Coffee Company, Inc., 3900 LAKEBREEZE AVENUE, BROOKLYN CENTER,
MN, 55429, 763-592-2200 - 0 ($9,861,250.00) Equity, (File 333-174237 -
May. 16) (BR. 05B)
S-1 VALUE SUISSE INTERNATIONAL INVESTMENTS, 1000 N. WEST STREET,
SUITE 1200, WILMINGTON, DE, 19801, 914 984 5597 -
19,909,435 ($9,954,718.00) Equity, (File 333-174238 - May. 16) (BR. )
S-8 Tim Hortons Inc., 874 SINCLAIR ROAD, OAKVILLE, A6, L6K 2Y1,
(905) 845-6511 - 1,000,000 ($49,460,000.00) Equity, (File 333-174239 -
May. 16) (BR. 05B)
S-1 Development Capital Group, Inc., 101 PLAZA REAL SOUTH #201, BOCA RATON,
FL, 33432, 760-840-9409 - 1,100,000 ($110,000.00) Equity,
(File 333-174240 - May. 16) (BR. )
S-8 LIONBRIDGE TECHNOLOGIES INC /DE/, 1050 WINTER STREET,
1050 WINTER STREET, WALTHAM, MA, 02154, 7818906612 -
4,500,000 ($15,390,000.00) Equity, (File 333-174241 - May. 16) (BR. 02A)
S-8 EBAY INC, 2145 HAMILTON AVENUE, SAN JOSE, CA, 95125, 408-376-7400 -
204,525 ($691,294.50) Equity, (File 333-174242 - May. 16) (BR. 02A)
F-3ASR CREDIT SUISSE GROUP AG, 8070 SWITZERLAND, PO BOX A, ZURICH, V8, 00000,
0114772721616 - 0 ($0.00) Other, (File 333-174243 - May. 16) (BR. 08C)
S-3 ARTESIAN RESOURCES CORP, 664 CHURCHMANS RD, NEWARK, DE, 19702,
3024536900 - 0 ($30,000,000.00) Equity, (File 333-174244 - May. 16)
(BR. 02C)
S-1 Regional Management Corp., 509 WEST BUTLER ROAD, GREENVILLE, SC, 29607,
864-422-8011 - 0 ($100,000,000.00) Equity, (File 333-174245 - May. 16)
(BR. )
S-1 Nationstar Mortgage Holdings Inc., 350 HIGHLAND DRIVE, LEWISVILLE, TX,
75067, (469) 549-2000 - 0 ($400,000,000.00) Equity, (File 333-174246 -
May. 16) (BR. )
S-3 TECHNICAL COMMUNICATIONS CORP, 100 DOMINO DR, CONCORD, MA, 01742,
9782875100 - 0 ($5,000,000.00) Equity, (File 333-174247 - May. 16)
(BR. 11C)
S-1 Digital Domain Media Group, Inc., 8881 SOUTH US HIGHWAY 1,
PORT ST. LUCIE, FL, 34952, 772-345-8300 - 0 ($115,000,000.00) Equity,
(File 333-174248 - May. 16) (BR. )
S-8 INTERSIL CORP/DE, 1001 MURPHY RANCH ROAD, SUITE 1, MILPITAS, CA, 95035,
408-432-8888 - 7,500,000 ($111,825,000.00) Equity, (File 333-174249 -
May. 16) (BR. 10B)
S-8 TECHNICAL COMMUNICATIONS CORP, 100 DOMINO DR, CONCORD, MA, 01742,
9782875100 - 0 ($1,886,000.00) Equity, (File 333-174250 - May. 16)
(BR. 11C)
S-3 PALATIN TECHNOLOGIES INC, 4C CEDAR BROOK DRIVE, CRANBURY, NJ, 08512,
609-495-2200 - 21,575,000 ($21,575,000.00) Equity, (File 333-174251 -
May. 16) (BR. 01B)
S-1 Piper Acquisition II, Inc., 2901 W. COAST HWY, #350, NEWPORT BEACH, CA,
92663, 949-270-7444 - 36,280,213 ($3,990,823.45) Equity,
(File 333-174252 - May. 16) (BR. )
S-1 Prescott Holdings, Inc., 1616 WESTGATE CIRCLE, BRENTWOOD, TN, 37027,
(615) 778-8767 - 190,000 ($19,000.00) Equity, (File 333-174253 -
May. 16) (BR. )
S-3 AVEO PHARMACEUTICALS INC, 75 SIDNEY STREET, 4TH FLOOR, CAMBRIDGE, MA,
02139, 6172995000 - 0 ($150,000,000.00) Unallocated (Universal) Shelf,
(File 333-174254 - May. 16) (BR. 01A)
S-3 TRANS1 INC, 301 GOVERNMENT CENTER DRIVE, WILMINGTON, NC, 28403,
(910) 332-1700 - 0 ($50,000,000.00) Unallocated (Universal) Shelf,
(File 333-174255 - May. 16) (BR. 10C)
S-8 RESOURCE AMERICA, INC., ONE CRESCENT DRIVE, SUITE 203,
NAVY YARD CORPORATE CENTER, PHILADELPHIA, PA, 19112, 215-546-5005 -
800,000 ($4,884,000.00) Equity, (File 333-174256 - May. 16) (BR. 08C)
S-8 PALATIN TECHNOLOGIES INC, 4C CEDAR BROOK DRIVE, CRANBURY, NJ, 08512,
609-495-2200 - 4,488,696 ($3,905,165.52) Equity, (File 333-174257 -
May. 16) (BR. 01B)
S-1 I AM SMART TECHNOLOGY, INC, 1536 WYNKOOP STREET, SUITE 5B, DENVER, CO,
80202, 303 726 1211 - 6,000,000 ($18,000,000.00) Equity,
(File 333-174258 - May. 16) (BR. )
S-8 PETROQUEST ENERGY INC, 400 E KALISTE SALOOM RD SUITE 6000, LAFAYETTE,
LA, 70508, 3372327028 - 3 ($11,085,113.00) Equity, (File 333-174260 -
May. 16) (BR. 04A)
S-1 Immobiliare Global Investments, Inc., 13575 58TH STREET N., SUITE 140,
CLEARWATER, FL, 33760, 602-885-9792 -
25,000,000 ($12,500,000.00) Equity, (File 333-174261 - May. 16) (BR. )
S-4 GYMBOREE CORP, 500 HOWARD STREET, SAN FRANCISCO, CA, 94105,
415-278-7000 - 0 ($400,000,000.00) Non-Convertible Debt,
(File 333-174262 - May. 16) (BR. 09A)
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
3Power Energy Group Inc. NV 1.01,2.01,3.02,5.02, 05/13/11
5.03,5.06,9.01
ABAKAN, INC NV 5.02 05/11/11
ABIOMED INC DE 5.02 05/09/11
ADAMS GOLF INC DE 5.07 05/10/11
ADAMS RESOURCES & ENERGY, INC. DE 2.02 03/31/11
ADCARE HEALTH SYSTEMS INC OH 2.02,9.01 05/13/11
ADVENTRX PHARMACEUTICALS INC DE 5.02 05/11/11
AGILENT TECHNOLOGIES INC DE 2.02,9.01 05/13/11
AGY Holding Corp. DE 2.02,9.01 05/13/11
Air Transport Services Group, Inc. DE 1.01,1.02,2.01,2.03 05/09/11
ALASKA PACIFIC BANCSHARES INC AK 2.02,9.01 05/13/11
Alexza Pharmaceuticals Inc. DE 8.01 05/11/11
Alliance Holdings GP, L.P. DE 4.01,9.01 05/10/11
ALLIANCE RESOURCE PARTNERS LP DE 4.01,9.01 05/10/11
ALLIANT ENERGY CORP WI 5.07 05/10/11
ALLIED AMERICAN STEEL CORP. NV 1.01,5.03,8.01,9.01 04/27/11 AMEND
Allied World Assurance Co Holdings, A 7.01,9.01 05/13/11 AMEND
American Mining Corp NV 3.03,5.03 05/10/11
American Railcar Industries, Inc. ND 5.02,9.01 05/09/11
AMERICAN RIVER BANKSHARES CA 7.01,9.01 05/12/11
AMERICAN SPECTRUM REALTY INC MD 8.01,9.01 05/13/11
AMERICAN STATES WATER CO CA 5.02,5.07,9.01 05/10/11
AMERIGON INC MI 8.01,9.01 05/12/11
AMERON INTERNATIONAL CORP DE 2.02,9.01 05/12/11
AMKOR TECHNOLOGY INC DE 5.02 05/12/11
ANTARES PHARMA, INC. DE 8.01,9.01 05/13/11
Apple REIT Ten, Inc. VA 8.01,9.01 05/11/11
ARADIGM CORP CA 2.02,9.01 05/12/11
ARRIS GROUP INC DE 8.01 05/13/11
Ascent Media CORP DE 8.01,9.01 05/13/11
ASSURED GUARANTY LTD D0 5.02,9.01 05/13/11
Athens Bancshares Corp 5.07 05/11/11
Atlas Energy, L.P. DE 2.02,9.01 05/12/11
ATLAS PIPELINE PARTNERS LP DE 7.01,9.01 05/12/11
ATMOS ENERGY CORP TX 1.01,7.01,9.01 05/12/11
Attitude Drinks Inc. DE 3.02 05/06/11
Avantair, Inc DE 2.02,9.01 05/12/11
AVISTA CORP WA 7.01 05/13/11
Axiom Gold & Silver Corp 5.03,9.01 05/13/11
BANNER CORP WA 7.01,9.01 05/12/11
BEACON POWER CORP DE 1.01,3.03,8.01 05/12/11
Beneficial Mutual Bancorp Inc X1 5.02,9.01 05/09/11
BENIHANA INC DE 8.01,9.01 05/13/11
BIMINI CAPITAL MANAGEMENT, INC. MD 2.02,9.01 05/13/11
Biodel Inc 8.01,9.01 05/12/11
BIODELIVERY SCIENCES INTERNATIONAL IN DE 1.01,9.01 05/12/11
BIOMIMETIC THERAPEUTICS, INC. DE 8.01,9.01 05/12/11
BION ENVIRONMENTAL TECHNOLOGIES INC CO 5.02 05/13/11
BIONOVO INC DE 5.02,5.07,9.01 05/10/11
Bitstream Inc. DE 2.02,9.01 05/13/11
Blackhawk Fund NV 1.01,5.01,5.02,9.01 05/06/11
BLUEGREEN CORP MA 2.02,9.01 05/13/11
Blueknight Energy Partners, L.P. DE 1.01,7.01,9.01 05/12/11
BOSTON SCIENTIFIC CORP DE 5.02 05/10/11
BOTETOURT BANKSHARES INC VA 2.02,9.01 05/13/11
Bridgepoint Education Inc DE 8.01 05/12/11
BROWN SHOE CO INC NY 1.01,2.03,2.04,3.03, 05/13/11
9.01
BUILD A BEAR WORKSHOP INC DE 5.02,5.07 05/12/11
Cal Dive International, Inc. DE 5.07 05/10/11
CALLON PETROLEUM CO DE 5.07 05/12/11
CANTERBURY PARK HOLDING CORP MN 2.02,9.01 05/13/11
CAPITAL GROWTH SYSTEMS INC /FL/ FL 8.01,9.01 05/13/11
Cardinal Ethanol LLC IN 7.01 05/12/11
CARDINAL HEALTH INC OH 1.01,1.02,2.03,9.01 05/12/11
CASCADE TECHNOLOGIES CORP WY 1.01 05/06/11
CENTRUE FINANCIAL CORP DE 2.02,9.01 05/13/11
CENTURY CASINOS INC /CO/ DE 2.02 03/31/11
CENTURY CASINOS INC /CO/ DE 5.02 05/12/11
CEPHALON INC DE 8.01 05/12/11
CHEMBIO DIAGNOSTICS, INC. NV 7.01,9.01 05/13/11
CHEMUNG FINANCIAL CORP NY 5.02,5.07,9.01 05/11/11
CHESAPEAKE MIDSTREAM PARTNERS LP DE 7.01,9.01 05/09/11
CHICAGO RIVET & MACHINE CO IL 5.07 05/10/11
China Advanced Construction Materials DE 2.02,7.01,9.01 05/13/11
China Direct Industries, Inc. FL 1.01,3.02,5.02,9.01 05/06/11 AMEND
China Electronics Holdings, Inc. NV 5.03,9.01 08/03/10 AMEND
China Integrated Energy, Inc. DE 8.01,9.01 05/13/11
CHINA RUITAI INTERNATIONAL HOLDINGS C DE 4.01,9.01 04/14/11 AMEND
China Tel Group Inc NV 1.01,1.02,3.02,8.01, 05/10/11
9.01
China XD Plastics Co Ltd NV 2.02,9.01 03/31/11
ChromaDex Corp. 5.07 05/10/11
CIB MARINE BANCSHARES INC WI 8.01,9.01 05/13/11
Cinemark Holdings, Inc. DE 1.01,8.01,9.01 05/09/11
Citadel Exploration, Inc. NV 1.01,2.01,3.02,5.01, 05/13/11
5.02,5.06,8.01,9.01
CLEAN DIESEL TECHNOLOGIES INC DE 2.02,9.01 05/12/11
Clearwater Paper Corp DE 5.07 05/09/11
CMS ENERGY CORP MI 7.01,9.01 05/13/11
CNB CORP /SC/ SC 5.07 05/10/11
COEUR D ALENE MINES CORP ID 5.07 05/10/11
COHU INC DE 1.01,5.02,5.07 05/11/11
Cole Credit Property Trust II Inc MD 8.01,9.01 05/11/11
Cole Credit Property Trust III, Inc. MD 8.01 05/10/11
COLONIAL COMMERCIAL CORP NY 2.02,9.01 05/13/11
Commercial Vehicle Group, Inc. DE 5.02,5.03,5.07,9.01 05/12/11
COMMONWEALTH BANKSHARES INC VA 5.02,7.01,9.01 05/10/11
COMMONWEALTH BANKSHARES INC VA 2.02,9.01 05/13/11
COMMONWEALTH BANKSHARES INC VA 3.01 05/09/11
COMMUNITY SHORES BANK CORP MI 5.07 05/12/11
COMMUNITYCORP 5.07 04/27/11
COMPASS MINERALS INTERNATIONAL INC DE 5.07 05/11/11
COMVERSE TECHNOLOGY INC/NY/ NY 8.01 05/12/11
Conmed Healthcare Management, Inc. DE 8.01,9.01 05/13/11
COSI INC DE 2.02,7.01,9.01 05/12/11
CPS TECHNOLOGIES CORP/DE/ DE 2.02 04/02/11
CRC Health CORP DE 5.02 05/13/11
CRESCENT FINANCIAL CORP NC 2.02,9.01 05/13/11
Crestwood Midstream Partners LP DE 7.01,9.01 05/13/11
CROGHAN BANCSHARES INC OH 5.07 05/10/11
CURTISS WRIGHT CORP DE 5.03 05/10/11
CVS CAREMARK CORP DE 5.03,5.07,9.01 05/11/11
Cypress Sharpridge Investments, Inc. MD 5.07 05/11/11
Danvers Bancorp, Inc. DE 5.07,8.01,9.01 05/13/11
DARLING INTERNATIONAL INC DE 5.07 05/10/11
DATALINK CORP MN 5.02,5.07 05/12/11
DCP Midstream Partners, LP DE 5.02 05/11/11
DIME COMMUNITY BANCSHARES INC DE 2.02,9.01 04/27/11
DIODES INC /DEL/ DE 2.02,7.01,9.01 05/09/11
Diversified Opportunities, Inc. DE 1.01,2.01,3.02,5.01, 05/09/11
5.02,5.06,9.01
DJSP Enterprises, Inc. D8 8.01 05/06/11
DOMINION RESOURCES INC /VA/ VA 5.07 05/12/11
DST SYSTEMS INC DE 5.07,8.01 05/10/11
DYAX CORP DE 5.03,5.07,9.01 05/12/11
E TRADE FINANCIAL CORP DE 5.07,9.01 05/12/11
EDIETS COM INC DE 1.01,9.01 05/12/11
EGPI FIRECREEK, INC. NV 1.01,2.01,9.01 05/09/11
Empire Sports & Entertainment Holding NV 1.01,3.02,9.01 05/12/11
Employers Holdings, Inc. NV 5.02,8.01,9.01 05/13/11
ENBRIDGE ENERGY PARTNERS LP DE 8.01,9.01 05/12/11
Encore Bancshares Inc TX 5.07 05/12/11
ENTERGY MISSISSIPPI INC MS 8.01,9.01 05/13/11
EnviroStar, Inc. DE 2.02,9.01 05/13/11
EQUITY ONE, INC. 2.02,7.01 05/13/11
Eureka Financial Corp. 2.02,9.01 05/12/11
EURO SOLAR PARKS, INC. NV 5.01 05/11/11
EVERGREEN SOLAR INC DE 2.02,9.01 05/12/11
ExamWorks Group, Inc. DE 1.01,2.01,3.02,9.01 05/10/11
EZENIA INC DE 2.02,7.01,9.01 03/31/11
Fairmount Bancorp, Inc. MD 8.01,9.01 05/12/11
Federal Home Loan Bank of Atlanta X1 7.01,8.01,9.01 05/13/11
Federal Home Loan Bank of Des Moines X1 7.01,9.01 05/13/11
FEI CO OR 1.01,5.07,9.01 05/12/11
FIRST CAPITAL BANCORP, INC. VA 5.02,9.01 05/12/11
FIRST COMMUNITY BANK CORP OF AMERICA FL 8.01 05/13/11
FIRST FINANCIAL SERVICE CORP KY 4.02,9.01 05/09/11
FIRST POTOMAC REALTY TRUST MD 1.01,9.01 05/10/11
FIVE STAR QUALITY CARE INC 1.01,2.03,5.07,8.01, 05/12/11
9.01
FLAGSTAR BANCORP INC MI 7.01,9.01 04/26/11 AMEND
FLATBUSH FEDERAL BANCORP INC 2.02,9.01 05/12/11
Fortegra Financial Corp DE 2.02 05/12/11
FreightCar America, Inc. DE 5.07 05/11/11
FRONTIER OIL CORP /NEW/ WY 8.01,9.01 05/13/11
FRONTIER OIL CORP /NEW/ WY 8.01,9.01 05/13/11
FS Investment CORP MD 2.02,9.01 05/13/11
Gas Natural Inc. OH 8.01,9.01 05/12/11
Geeknet, Inc DE 5.02,5.03,5.07,9.01 05/10/11
GENCOR INDUSTRIES INC DE 2.02,9.01 05/13/11
GenMark Diagnostics, Inc. DE 5.02 05/13/11
Genpact LTD D0 5.07 05/10/11
GENTIVA HEALTH SERVICES INC DE 5.02,5.05,5.07,9.01 05/12/11
GLEN BURNIE BANCORP MD 5.07,8.01 05/12/11
Global Immune Technologies Inc. WY 5.02 05/12/11
GOLDEN QUEEN MINING CO LTD A1 5.02 05/02/11
GRAFTECH INTERNATIONAL LTD DE 8.01,9.01 05/13/11
GRAYSON BANKSHARES INC VA 2.02,5.02,5.07,7.01, 05/13/11
9.01
GRIFFIN LAND & NURSERIES INC DE 5.07 05/10/11
Grubb & Ellis Healthcare REIT II, Inc MD 7.01,9.01 05/12/11
Guaranty Financial Group Inc. DE 1.03,5.02,5.03,8.01, 05/11/11
9.01
Hanesbrands Inc. MD 5.02,9.01 05/11/11
HARBINGER GROUP INC. DE 1.01,3.02,3.03,5.02, 05/12/11
5.03,5.07,9.01
HARLAND CLARKE HOLDINGS CORP DE 2.02,9.01 05/12/11
HCC INSURANCE HOLDINGS INC/DE/ DE 8.01 05/13/11
HEALTHCARE REALTY TRUST INC MD 1.01,9.01 05/13/11
HeartWare International, Inc. DE 5.07,9.01 05/12/11
HELIX ENERGY SOLUTIONS GROUP INC MN 5.02,5.07,9.01 05/13/11
HICKOK INC OH 2.02,9.01 05/13/11
HIGHWOODS PROPERTIES INC MD 5.07 05/12/11
HOLLY CORP DE 8.01,9.01 05/13/11
HST Global, Inc. DE 5.02 12/31/10
HYPERCOM CORP DE 7.01,9.01 05/12/11
HYPERDYNAMICS CORP DE 8.01,9.01 05/06/11
HYPERERA INC NV 4.02 04/18/11
ICON INCOME FUND EIGHT B LP DE 1.02,9.01 05/10/11
IDEX CORP /DE/ DE 1.01,7.01,9.01 05/10/11
IGATE CORP PA 7.01,9.01 05/12/11
INFORMATION ANALYSIS INC VA 2.02,9.01 05/12/11
Infusion Brands International, Inc. NV 2.01,3.02,9.01 05/09/11
INLAND WESTERN RETAIL REAL ESTATE TRU MD 5.02,7.01,9.01 05/10/11
INNOSPEC INC. DE 5.03,5.07,9.01 05/11/11
INSIGNIA SYSTEMS INC/MN MN 8.01 05/09/11
INTEGRATED ENVIRONMENTAL TECHNOLOGIES NV 5.02 05/09/11
International Stem Cell CORP 5.02,9.01 05/11/11
INTERSTATE POWER & LIGHT CO IA 5.07 05/10/11
INUVO, INC. NV 3.01,7.01,9.01 05/09/11
ITT Corp IN 5.07 05/10/11
IVAX DIAGNOSTICS INC DE 2.02,9.01 05/13/11
JAVO BEVERAGE CO INC DE 8.01,9.01 05/13/11
KBS Real Estate Investment Trust II, MD 7.01 12/31/10
KBS Real Estate Investment Trust, Inc MD 7.01 12/31/10
KENNAMETAL INC PA 5.02,9.01 05/11/11
KENSEY NASH CORP DE 9.01 01/28/11 AMEND
KEYSTONE CONSOLIDATED INDUSTRIES INC DE 2.02,7.01,9.01 05/13/11
KRONOS WORLDWIDE INC 5.07,7.01,9.01 05/12/11
LA JOLLA PHARMACEUTICAL CO DE 8.01 05/12/11
LA JOLLA PHARMACEUTICAL CO DE 8.01 05/13/11
LACLEDE GROUP INC MO 7.01,9.01 05/13/11
LAMPERD LESS LETHAL INC NV 8.01 05/13/11
LANNETT CO INC DE 2.02,9.01 05/11/11
LEAR CORP DE 5.07,8.01,9.01 05/12/11
LECTEC CORP /MN/ MN 1.01,9.01 05/09/11
LIBERATOR MEDICAL HOLDINGS, INC. NV 2.02,9.01 05/13/11
LIBERTY PROPERTY TRUST MD 5.07 05/11/11
LIFE PARTNERS HOLDINGS INC TX 8.01 05/09/11
LifeCare Holdings, Inc. DE 2.02,7.01,9.01 05/12/11
LIGHTSTONE VALUE PLUS REAL ESTATE INV MD 8.01 05/13/11
Lightstone Value Plus Real Estate Inv MD 8.01 05/13/11
LIME ENERGY CO. DE 1.01,9.01 05/11/11
LIONS GATE ENTERTAINMENT CORP /CN/ 1.01,2.03,9.01 05/13/11
LOCATEPLUS HOLDINGS CORP 5.02 05/13/11
LSB FINANCIAL CORP IN 2.02,9.01 05/13/11
LSI CORP DE 5.07 05/11/11
M & F WORLDWIDE CORP DE 2.02,9.01 05/12/11
MAGNUM HUNTER RESOURCES CORP DE 8.01,9.01 05/13/11
MAINSTREET BANKSHARES INC VA 8.01 05/12/11
MARKEL CORP VA 5.02,5.03,5.07,9.01 05/09/11
MARSHALL EDWARDS INC DE 1.02,2.01,3.02,5.03, 05/09/11 AMEND
8.01,9.01
MDU RESOURCES GROUP INC DE 5.07 04/26/11 AMEND
MEDASSETS INC DE 5.02 05/13/11
MERCURY GENERAL CORP CA 5.07 05/11/11
MERU NETWORKS INC DE 5.02 05/12/11
MICROSTRATEGY INC DE 5.07 05/09/11
Midas Medici Group Holdings, Inc. 7.01,8.01,9.01 05/09/11
MIDDLEFIELD BANC CORP OH 5.07 05/11/11
Moggle, Inc. DE 1.01,3.02,9.01 05/05/11
MOHAWK INDUSTRIES INC DE 5.07 05/11/11
Momentive Performance Materials Inc. DE 2.02,9.01 05/13/11
MOMENTIVE SPECIALTY CHEMICALS INC. NJ 2.02,9.01 05/13/11
MULTI COLOR Corp OH 2.02,8.01,9.01 05/11/11
NANOSPHERE INC DE 1.01,9.01 05/13/11
NATIONAL FUEL GAS CO NJ 7.01,9.01 05/13/11
Natural Resources USA Corp 4.01,9.01 05/11/11
Natural Resources USA Corp 1.01,9.01 05/11/11
Net Savings Link, Inc. NV 7.01,9.01 05/13/11
NETSUITE INC 1.01,9.01 05/10/11
NEUROLOGIX INC/DE DE 2.02,9.01 05/13/11
NEUROLOGIX INC/DE DE 5.07 05/10/11
Nevada Gold Holdings, Inc. DE 5.02 05/11/11
NEW ENERGY SYSTEMS GROUP NV 8.01,9.01 05/13/11
NEW YORK MORTGAGE TRUST INC MD 5.07 05/10/11
NewStar Financial, Inc. 5.07 05/11/11
NGP Capital Resources Co MD 5.07 05/11/11
NISOURCE INC/DE DE 5.07 05/10/11
NORCRAFT COMPANIES LP 2.02,9.01 05/13/11
NORFOLK SOUTHERN CORP VA 5.02,5.07 05/13/11
NORTEL NETWORKS CORP 8.01 05/12/11
NORTH EUROPEAN OIL ROYALTY TRUST DE 2.02,9.01 04/30/11
NORTHEAST UTILITIES MA 5.07 05/10/11
NOVELLUS SYSTEMS INC CA 5.02,5.07,9.01 05/10/11
NUTRITION 21 INC NY 2.02,9.01 05/13/11
Oakwood Acquisition Corp DE 1.02 05/12/11
OHIO VALLEY BANC CORP OH 5.07 05/11/11
ONCOR ELECTRIC DELIVERY CO LLC DE 8.01 05/11/11
OPHTHALMIC IMAGING SYSTEMS CA 5.01 05/12/11
OPHTHALMIC IMAGING SYSTEMS CA 7.01,9.01 05/13/11
OSI RESTAURANT PARTNERS, LLC DE 7.01 05/12/11
OTELCO INC. DE 5.02,5.07 05/12/11
OWENS & MINOR INC/VA/ VA 8.01 05/13/11
PACIFIC GAS & ELECTRIC Co CA 5.07 05/11/11
PACIFIC GAS & ELECTRIC Co CA 8.01,9.01 05/13/11
PACKAGING CORP OF AMERICA 5.07,7.01,9.01 05/10/11
PACWEST BANCORP DE 5.07 05/10/11
PALMETTO BANCSHARES INC SC 8.01 05/13/11
PARKWAY PROPERTIES INC MD 5.07 05/13/11
PDI INC 5.02,9.01 05/13/11
PDL BIOPHARMA, INC. DE 8.01,9.01 05/10/11
PENN MILLERS HOLDING CORP 5.07 05/11/11
PG&E CORP CA 5.07 05/11/11
PG&E CORP CA 8.01,9.01 05/13/11
Phillips Edison - ARC Shopping Center MD 1.01,2.02,7.01,9.01 05/11/11
PICO HOLDINGS INC /NEW CA 2.02 05/09/11
Pinewood Acquisition Corp DE 1.01 05/12/11
PLUG POWER INC DE 5.02,5.07,9.01 05/13/11
Polypore International, Inc. 5.07 05/12/11
PONIARD PHARMACEUTICALS, INC. WA 2.02,9.01 05/13/11
POTASH CORP OF SASKATCHEWAN INC 5.02,5.07,9.01 05/13/11
POTLATCH CORP DE 5.07 05/12/11 AMEND
PRINCETON NATIONAL BANCORP INC DE 5.07 05/10/11
ProPhase Labs, Inc. NV 2.02,9.01 05/13/11
PRUDENTIAL BANCORP INC OF PENNSYLVANI 2.02,9.01 05/13/11
PULTEGROUP INC/MI/ MI 5.07 05/11/11
Quad/Graphics, Inc. WI 2.02,9.01 05/10/11
QUEPASA CORP NV 2.01,9.01 02/28/11 AMEND
RADIENT PHARMACEUTICALS Corp DE 7.01,9.01 05/11/11 AMEND
Regal Group, Inc. NV 5.02 05/13/11
RENT A CENTER INC DE 5.07,8.01,9.01 05/12/11
RENTECH INC /CO/ CO 5.02,5.07,9.01 05/11/11
Resource Real Estate Opportunity REIT MD 2.01 05/13/11
REVLON CONSUMER PRODUCTS CORP DE 8.01,9.01 05/13/11
REVLON INC /DE/ DE 8.01,9.01 05/13/11
REXNORD LLC DE 2.02,9.01 05/12/11
RigNet, Inc. DE 5.07 05/11/11
RIMAGE CORP MN 5.02,5.07 05/11/11
Riverview Financial Corp PA 5.07 05/11/11
ROTATE BLACK INC NV 8.01,9.01 05/13/11
SAGA COMMUNICATIONS INC DE 5.07 05/09/11
Sagent Pharmaceuticals, Inc. DE 2.02,9.01 05/13/11
SALAMON GROUP INC 2.01,3.01,5.01,5.02, 05/13/11
7.01,9.01
SALAMON GROUP INC 9.01 05/13/11 AMEND
SALIX PHARMACEUTICALS LTD 8.01,9.01 05/09/11
SATCON TECHNOLOGY CORP DE 5.02 05/10/11
SBT Bancorp, Inc. CT 5.07 05/10/11
SCIENTIFIC GAMES CORP DE 5.02,9.01 05/12/11
SEATTLE GENETICS INC /WA DE 1.01,2.03 05/09/11
SELECT COMFORT CORP MN 5.02 05/09/11 AMEND
SENIOR HOUSING PROPERTIES TRUST MD 1.01,9.01 05/12/11
Sensata Technologies Holding N.V. P7 5.07 05/10/11
SERVOTRONICS INC /DE/ DE 2.02,9.01 05/12/11
Shengkai Innovations, Inc. FL 2.02,9.01 05/13/11
Siberian Energy Group Inc. NV 1.01,2.01,3.02,5.01, 04/27/11
5.02,9.01
SIONIX CORP NV 3.02,9.01 04/06/11 AMEND
SMART BALANCE, INC. DE 5.07,8.01,9.01 05/11/11
SMARTPAY EXPRESS, INC. NV 5.02 05/01/11
Socialwise, Inc. (formerly known as I CO 5.03,9.01 05/12/11
SOLAR ENERTECH CORP DE 2.02,5.02,9.01 05/09/11
SOLIGENIX, INC. DE 2.02,9.01 05/13/11
SONIC CORP DE 8.01,9.01 05/13/11
SPEEDEMISSIONS INC FL 2.02,9.01 05/13/11
SPHERIX INC DE 2.02,9.01 05/13/11
ST JUDE MEDICAL INC MN 5.02,9.01 05/12/11
STAGE STORES INC NV 8.01,9.01 05/12/11
Steadfast Income REIT, Inc. MD 9.01 05/05/11 AMEND
STRATUS PROPERTIES INC DE 5.07 05/12/11
STUDIO II BRANDS INC FL 1.01,2.01,3.02,5.02, 02/10/11 AMEND
9.01
SUPERMEDIA INC. DE 5.07 05/11/11
SYMANTEC CORP DE 5.02 05/09/11
SYNCHRONOSS TECHNOLOGIES INC 5.07 05/10/11
T3 Motion, Inc. DE 1.01,9.01 05/09/11
Talecris Biotherapeutics Holdings Cor DE 8.01 05/12/11
Tanke Biosciences Corp NV 9.01 02/09/11 AMEND
TAYLOR CALVIN B BANKSHARES INC MD 5.07 05/11/11
TE Connectivity Ltd. V8 5.02,9.01 05/09/11
TECHNEST HOLDINGS INC NV 9.01 03/04/11 AMEND
Thermon Holding Corp. DE 1.01,1.02,2.04,5.02, 05/10/11
5.03,9.01
Thompson Creek Metals CO Inc. A6 8.01,9.01 05/13/11
THOR INDUSTRIES INC DE 8.01,9.01 05/13/11
TIB FINANCIAL CORP. FL 2.02,9.01 05/12/11
TITAN INTERNATIONAL INC IL 5.07,9.01 05/12/11
TOLLGRADE COMMUNICATIONS INC \PA\ PA 2.01,3.01,3.03,5.01, 05/10/11
5.02,5.03,8.01,9.01
TOWN SPORTS INTERNATIONAL HOLDINGS IN DE 5.02,5.07,9.01 05/12/11
TPC Group Inc. DE 2.02,7.01,9.01 05/13/11
Travelport LTD D0 2.02,9.01 05/13/11
TRIAD GUARANTY INC DE 2.02,9.01 05/13/11
TRIMAS CORP DE 5.07 05/10/11
TRIUMPH GROUP INC DE 2.02,9.01 05/09/11
TRUSTMARK CORP MS 5.07,8.01,9.01 05/10/11
TRX INC/GA GA 2.02,9.01 03/31/11
TUPPERWARE BRANDS CORP DE 5.07 05/11/11
UDR, Inc. MD 5.03,5.07,9.01 05/12/11
UIL HOLDINGS CORP CT 7.01,9.01 05/13/11
UNI CORE HOLDINGS CORP UT 8.01 05/13/11
UNICO AMERICAN CORP NV 2.02 05/13/11
UNIPROP MANUFACTURED HOUSING COMMUNIT MI 5.02 05/13/11
UNITED RENTALS INC /DE DE 5.07 05/11/11
UNITED STATIONERS INC DE 5.02,5.07,8.01,9.01 05/11/11
UNIVERSAL BIOSENSORS INC DE 5.07 05/12/11
URANIUM RESOURCES INC /DE/ DE 1.01,8.01,9.01 05/12/11
US DATAWORKS INC NV 1.01,9.01 05/09/11
US HOME SYSTEMS INC DE 2.02,9.01 05/12/11
Vanity Events Holding, Inc. DE 1.01,2.03,3.02,9.01 05/10/11
Vantage Drilling CO E9 8.01,9.01 05/10/11
VECTREN CORP IN 5.02,5.03,5.07,8.01 05/13/11
VECTREN CORP IN 7.01 05/13/11
VECTREN CORP IN 5.02 05/13/11 AMEND
VERTICAL HEALTH SOLUTIONS INC FL 4.01,9.01 05/11/11
VISHAY INTERTECHNOLOGY INC DE 1.01,2.03,3.02,7.01, 05/13/11
8.01,9.01
VISTA GOLD CORP B0 2.02,7.01,9.01 05/11/11
VITAL IMAGES INC MN 5.07 05/12/11
Vulcan Materials CO NJ 5.07 05/13/11
W&T OFFSHORE INC TX 2.01,7.01,9.01 05/11/11
Warner Music Group Corp. DE 8.01,9.01 05/13/11
WATERS CORP /DE/ DE 5.02,5.07 05/10/11
WELLS CORE OFFICE INCOME REIT INC 2.01,9.01 05/12/11
WELLS FARGO & CO/MN DE 8.01 05/12/11
WERNER ENTERPRISES INC NE 5.02 05/10/11
WESTAR ENERGY INC /KS KS 8.01 05/09/11
Westway Group, Inc. DE 8.01,9.01 05/12/11
Willbros Group, Inc.\NEW\ 2.02,9.01 05/09/11
Wizard World, Inc. DE 1.01,5.02,9.01 05/13/11
XCEL ENERGY INC MN 7.01 05/13/11
XENOPORT INC DE 5.07 05/11/11
XERIUM TECHNOLOGIES INC DE 7.01,9.01 05/05/11
XNE, Inc. NV 1.01,3.02,5.02,9.01 05/05/11
YAHOO INC DE 7.01,9.01 05/12/11
YOUNG INNOVATIONS INC MO 1.01,5.07,9.01 05/10/11
Zayo Group LLC DE 2.02,7.01,9.01 05/12/11
Zhongbao International, Inc. NV 2.01 02/11/11 AMEND
ZION OIL & GAS INC DE 8.01,9.01 05/13/11
3M CO DE 5.02,7.01 05/10/11
A123 SYSTEMS, INC. DE 5.02,9.01 05/12/11
AASTROM BIOSCIENCES INC MI 2.02,9.01 05/16/11
ACELRX PHARMACEUTICALS INC DE 2.02,5.02,9.01 05/11/11
ACTIVE POWER INC DE 5.07 05/12/11
ADPT Corp DE 1.01 05/11/11
ADVENT SOFTWARE INC /DE/ DE 5.02,5.07,9.01 05/11/11
ADVENT SOFTWARE INC /DE/ DE 1.01,9.01 05/12/11
AFFIRMATIVE INSURANCE HOLDINGS INC DE 2.02,9.01 05/16/11
AGILYSYS INC OH 2.02,7.01,9.01 05/16/11
AIR LEASE CORP DE 2.02,9.01 05/16/11
ALASKA AIR GROUP INC DE 7.01,9.01 05/13/11
ALBEMARLE CORP VA 5.03,5.07,9.01 05/11/11
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 05/16/11
ALLIANCE RESOURCE PARTNERS LP DE 8.01 05/10/11
ALLIED AMERICAN STEEL CORP. NV 8.01,9.01 05/16/11
ALLOS THERAPEUTICS INC DE 1.01 05/10/11
Alon USA Energy, Inc. DE 5.02 05/13/11
Alpha Natural Resources, Inc. DE 8.01,9.01 05/16/11
ALTERA CORP DE 5.07 05/10/11
AMERICAN EXPRESS CO NY 7.01 05/16/11
AMERICAN EXPRESS CREDIT ACCOUNT MASTE DE 8.01 05/16/11
AMERICAN SPECTRUM REALTY INC MD 2.02,9.01 05/16/11
AMERISTAR CASINOS INC NV 8.01,9.01 05/16/11
ANAVEX LIFE SCIENCES CORP. NV 5.02,9.01 05/09/11
ANGEION CORP/MN MN 5.02,9.01 05/04/11
ANGIOTECH PHARMACEUTICALS INC 2.02,9.01 05/16/11
ANGIOTECH PHARMACEUTICALS INC 1.01,1.02,2.03,3.03, 05/12/11
5.01,5.02,5.03,8.01,
9.01
ANIXTER INTERNATIONAL INC DE 5.07 05/12/11
AON CORP DE 5.02,9.01 05/10/11
APOLLO GROUP INC AZ 8.01 05/13/11
Apple REIT Eight, Inc. VA 8.01,9.01 05/12/11
APPLIANCE RECYCLING CENTERS OF AMERIC MN 5.07 05/12/11
ARES CAPITAL CORP MD 7.01,9.01 05/16/11
AROTECH CORP DE 2.02,9.01 05/16/11
ARTHROCARE CORP DE 5.07 05/12/11
Atlantic Coast Financial CORP MD 5.07,8.01 05/16/11
Atlas Capital Holdings, Inc. NV 1.01,8.01,9.01 05/10/11
Atlas Therapeutics Corp NV 9.01 03/03/11 AMEND
ATS CORP DE 2.02,9.01 05/16/11
AUDIOVOX CORP DE 9.01 05/16/11 AMEND
Avalon Holding Group, Inc. NV 4.01 05/04/11
AVALONBAY COMMUNITIES INC MD 5.07 05/11/11
Avantair, Inc DE 7.01,9.01 05/16/11
AXION INTERNATIONAL HOLDINGS, INC. CO 1.01,5.02,9.01 05/10/11
BALDWIN TECHNOLOGY CO INC DE 2.02,8.01,9.01 05/10/11
BANKATLANTIC BANCORP INC FL 8.01,9.01 05/16/11
Banks.com, Inc. FL 2.02,9.01 05/16/11
Banyan Rail Services Inc. DE 5.02 05/13/11
Behringer Harvard Opportunity REIT II MD 7.01 03/31/11
BERRY PETROLEUM CO DE 5.07 05/11/11
BILL BARRETT CORP 5.02,5.07,9.01 05/12/11
BIOANALYTICAL SYSTEMS INC IN 2.02,9.01 05/12/11
Biostar Pharmaceuticals, Inc. MD 2.02,8.01,9.01 05/16/11
BIRNER DENTAL MANAGEMENT SERVICES INC CO 2.02,9.01 05/16/11
Bridgeline Digital, Inc. DE 2.02,9.01 05/16/11
BRIGHAM EXPLORATION CO DE 1.01,2.03,7.01,8.01, 05/16/11
9.01
BUCKEYE TECHNOLOGIES INC DE 8.01,9.01 05/13/11
C H ROBINSON WORLDWIDE INC DE 5.07 05/12/11
CABELAS INC DE 7.01,9.01 05/16/11
CADENCE DESIGN SYSTEMS INC DE 5.02,5.07,9.01 05/10/11
CAESARS ENTERTAINMENT Corp DE 1.01 05/16/11
CALECO PHARMA CORP. NV 1.01,9.01 05/10/11
CALGON CARBON CORPORATION DE 8.01,9.01 05/12/11
CAMBIUM LEARNING GROUP, INC. 2.02,9.01 05/10/11
CAMBRIDGE HEART INC DE 2.02,9.01 03/31/11
CANYON COPPER CORP. 3.02,9.01 05/11/11
CAPELLA EDUCATION CO 5.07 05/10/11
CAPITAL ONE FINANCIAL CORP DE 7.01,9.01 05/13/11
CAPITAL TRUST INC MD 2.02,9.01 05/10/11
Carbon Sciences, Inc. NV 5.03,9.01 05/09/11
Caribou Coffee Company, Inc. MN 5.07 05/16/11
CARROLLTON BANCORP MD 5.07 05/10/11
CASEYS GENERAL STORES INC IA 7.01 05/16/11
CATALYST PHARMACEUTICAL PARTNERS, INC DE 8.01,9.01 05/16/11
Celera CORP DE 5.02 05/10/11
CENTRAL FEDERAL CORP DE 2.02,9.01 05/16/11
CEPHALON INC DE 1.01,5.07,9.01 05/10/11
CEPHALON INC DE 5.02 05/10/11 AMEND
Cereplast Inc NV 2.02,9.01 05/16/11
CHARLES RIVER LABORATORIES INTERNATIO 5.07 05/10/11
CHARTER COMMUNICATIONS, INC. /MO/ DE 1.01,2.03,8.01,9.01 05/10/11
CHASE CREDIT CARD MASTER TRUST NY 8.01,9.01 05/16/11
Chemtura CORP DE 1.01,2.03,8.01,9.01 08/27/10 AMEND
Chemtura CORP DE 1.01,1.02,2.03,3.02, 11/10/10 AMEND
3.03,5.02,5.03,9.01
CHINA CLEAN ENERGY INC DE 2.02,7.01,9.01 05/16/11
CHINA DAQING M&H PETROLEUM, INC. NV 1.01 05/13/11
China Direct Industries, Inc. FL 2.02,7.01,9.01 05/16/11
CHINA GENGSHENG MINERALS, INC. NV 2.02,8.01,9.01 05/16/11
China Green Energy Industries, Inc. NV 2.02,7.01,9.01 05/16/11
CHINA GREEN MATERIAL TECHNOLOGIES, IN NV 2.02,9.01 05/16/11
China Industrial Waste Management Inc NV 2.02,9.01 05/16/11
China Information Technology, Inc. 7.01,9.01 05/16/11
China Internet Cafe Holdings Group, I 1.01,3.02,5.03,7.01, 02/16/11 AMEND
9.01
CHINACAST EDUCATION CORP DE 2.02,9.01 05/10/11
CHOICE BANCORP, INC. WI 5.02,9.01 05/16/11
CIFC Deerfield Corp. DE 2.02,9.01 05/16/11
CIT GROUP INC DE 8.01,9.01 05/16/11
CITIBANK OMNI-S MASTER TRUST 8.01 05/16/11
CITIZENS BANCSHARES CORP /GA/ GA 2.02,9.01 05/16/11
CITY CAPITAL CORP NV 8.01 05/15/11
CLAIRES STORES INC DE 2.02,9.01 05/16/11
CLAYTON WILLIAMS ENERGY INC /DE DE 7.01,9.01 05/16/11
CleanTech Innovations, Inc. NV 2.02,9.01 05/16/11
CLIFFS NATURAL RESOURCES INC. OH 2.01,2.03,9.01 05/10/11
CMG HOLDINGS, INC. NV 1.02,9.01 05/16/11
CNO Financial Group, Inc. DE 7.01,9.01 05/16/11
COCA COLA BOTTLING CO CONSOLIDATED /D DE 5.07,8.01,9.01 05/10/11
Cogo Group, Inc. MD 1.01,2.03,9.01 05/11/11
COMCAM INTERNATIONAL INC DE 1.01,9.01 03/24/11 AMEND
COMCAST CORP PA 5.07 05/11/11
COMDISCO HOLDING CO INC DE 2.02,9.01 05/16/11
COMMUNITY BANK SYSTEM INC DE 8.01 05/16/11
Computer Software Innovations, Inc. DE 2.02,9.01 05/16/11
Computer Software Innovations, Inc. DE 5.07 05/10/11
CONTANGO OIL & GAS CO DE 2.02,9.01 05/10/11
CORELOGIC, INC. DE 8.01,9.01 05/16/11
Coronus Solar Inc. A1 1.01,1.02,2.01,3.02, 05/16/11
7.01,9.01
CSX CORP VA 7.01 05/16/11
CUMULUS MEDIA INC DE 2.02,9.01 05/16/11
CUMULUS MEDIA INC DE 1.01,2.03,8.01,9.01 04/29/11
Cushing MLP Total Return Fund DE 8.01,9.01 05/12/11
CYPRESS SEMICONDUCTOR CORP /DE/ DE 5.02,5.07,7.01,9.01 05/12/11
CYTODYN INC CO 8.01 05/16/11
DARDEN RESTAURANTS INC FL 7.01,9.01 05/16/11
DAYSTAR TECHNOLOGIES INC DE 2.02,9.01 05/16/11
DELPHI FINANCIAL GROUP INC/DE DE 5.07 05/10/11
DELTATHREE INC DE 2.02,2.03,9.01 05/16/11
diaDexus, Inc. DE 2.02,5.02,9.01 05/12/11
DIGITAL ANGEL CORP DE 2.02,9.01 05/16/11
DILLARDS INC DE 2.02,9.01 05/13/11
DISH Network CORP NV 5.02,9.01 05/16/11
DOCUMENT SECURITY SYSTEMS INC NY 1.01,2.01,8.01,9.01 05/12/11
Dolan Co. DE 1.01,9.01 05/11/11
Dolat Ventures, Inc. NV 4.01,9.01 05/03/11 AMEND
DREAMS INC UT 2.02,9.01 05/16/11
DRI CORP NC 2.02,7.01,9.01 05/16/11
DRIL-QUIP INC DE 5.07 05/11/11
DTE ENERGY CO MI 7.01,9.01 05/16/11
DTS, INC. DE 5.02,5.03,5.07,8.01, 05/12/11
9.01
DTS, INC. DE 8.01,9.01 05/16/11
Duff & Phelps Corp DE 5.07 05/12/11
DYNATRONICS CORP UT 2.02,9.01 05/16/11
EastBridge Investment Group Corp AZ 1.01,9.01 04/12/11
EASTMAN KODAK CO NJ 5.07 05/11/11
EASYLINK SERVICES INTERNATIONAL CORP DE 7.01,9.01 05/16/11
ECB BANCORP INC NC 2.02,9.01 05/16/11
Ecoemissions Solutions Inc. DE 8.01,9.01 05/13/11
Edwards Lifesciences Corp DE 5.02,5.07,8.01,9.01 05/12/11
EMPIRE ENERGY CORP UT 5.02 05/13/11
Emrise CORP DE 2.02,7.01,9.01 05/16/11
ENDURANCE SPECIALTY HOLDINGS LTD 5.07,8.01,9.01 05/16/11
ENDWAVE CORP DE 2.02,9.01 05/16/11
ENERGIZER HOLDINGS INC MO 7.01,8.01,9.01 05/16/11
ENERGY FOCUS, INC/DE DE 2.02 05/12/11
ENOVA SYSTEMS INC CA 2.02,9.01 05/12/11
Ensco plc 2.02,9.01 05/16/11
ENTERTAINMENT PROPERTIES TRUST MD 5.07 05/11/11
ENTREMED INC DE 2.02,9.01 05/16/11
ENZON PHARMACEUTICALS INC DE 5.02,5.07,9.01 05/10/11
EPL Intermediate, Inc. DE 8.01 05/13/11
Excaliber Enterprises, Ltd. NV 1.01,2.01,3.02,4.01, 05/11/11
5.01,5.02,5.03,5.06,
9.01
Exobox Technologies Corp. NV 1.01,2.01 05/06/11
FAIRPOINT COMMUNICATIONS INC DE 2.02,9.01 05/16/11
FARMER BROTHERS CO CA 2.02,8.01,9.01 05/10/11
FEDERAL SIGNAL CORP /DE/ DE 7.01,9.01 05/16/11
FERRO CORP OH 7.01,9.01 05/16/11
First Advantage Bancorp 2.02,9.01 05/16/11
First Advantage Bancorp 5.02 05/10/11
FIRST ASIA HOLDINGS Ltd A6 3.02 05/16/11
FIRST MID ILLINOIS BANCSHARES INC DE 1.01,3.02,3.03 05/13/11
FIRST UNITED CORP/MD/ MD 5.07 05/12/11
FIRST WEST VIRGINIA BANCORP INC WV 2.02,9.01 05/13/11
FIRSTMERIT CORP /OH/ OH 5.04,9.01 05/16/11
FLUOROPHARMA MEDICAL, INC. 1.01,2.01,3.02,5.01, 05/16/11
5.02,5.03,5.06,9.01
FOOTSTAR INC DE 9.01 04/05/11 AMEND
FORWARD INDUSTRIES INC NY 2.02,5.02,9.01 05/10/11
FOUR OAKS FINCORP INC NC 2.02 02/18/11 AMEND
FREMONT MICHIGAN INSURACORP INC MI 2.02,8.01,9.01 05/16/11
FRONTIER COMMUNICATIONS CORP DE 5.07 05/16/11
FS Investment CORP MD 2.02,9.01 05/10/11
FUNCTION (X) INC. DE 8.01 05/16/11
FXCM Inc. 2.02,7.01,9.01 05/16/11
GAIAM, INC CO 5.07 05/12/11
GAIN Capital Holdings, Inc. DE 2.02,7.01,9.01 05/16/11
Game Trading Technologies, Inc. DE 1.01,5.02,9.01 05/11/11
GameStop Corp. DE 5.02 05/16/11
GAMETECH INTERNATIONAL INC DE 8.01 05/11/11
Gaming Partners International CORP NV 5.07 05/10/11
GARDNER DENVER INC DE 5.02 05/10/11
GATEWAY ENERGY CORP/NE DE 9.01 05/16/11
GC NET LEASE REIT, INC. 1.01,2.01,2.03,7.01, 05/13/11
9.01
GENERAL CABLE CORP /DE/ DE 5.07 05/12/11
GENERAL MILLS INC DE 8.01,9.01 05/16/11
GENERAL MILLS INC DE 5.02 05/16/11
Genpact LTD D0 5.02,9.01 05/10/11
Genpact LTD D0 5.02 05/11/11
GENTA INC DE/ DE 2.02,9.01 05/16/11
GEOSPATIAL HOLDINGS, INC. NV 1.01,3.02,7.01,9.01 04/27/11
GERON CORP DE 5.02,5.07,9.01 05/11/11
Gevo, Inc. DE 7.01,8.01 05/16/11
GigOptix, Inc. DE 2.02,8.01,9.01 05/16/11
GLIMCHER REALTY TRUST MD 1.01,8.01,9.01 05/16/11
Global Pharm Holdings Group, Inc. DE 2.02,9.01 05/16/11
GLOBAL POWER EQUIPMENT GROUP INC. DE 2.02,9.01 05/16/11
GMV Wireless, Inc. NV 1.01,3.02,9.01 05/16/11
GOLDEN STAR RESOURCES LTD 5.02,5.07 05/11/11
GOLDMAN SACHS GROUP INC DE 9.01 05/16/11
Graham Packaging Co Inc. DE 3.02 05/10/11
GRAHAM PACKAGING HOLDINGS CO DE 3.02 05/10/11
GRANITE CITY FOOD & BREWERY LTD MN 1.01,2.03,3.02,3.03, 05/10/11
5.01,5.02,5.03,5.07,
9.01
Graymark Healthcare, Inc. OK 2.02,9.01 05/16/11
GREAT SOUTHERN BANCORP INC MD 5.07 05/11/11
GREENBRIER COMPANIES INC DE 1.02 05/16/11
GROUP 1 AUTOMOTIVE INC DE 5.07,8.01,9.01 05/13/11
GRYPHON GOLD CORP NV 7.01,9.01 05/16/11
GSI GROUP INC A3 7.01,9.01 05/16/11
GSI GROUP INC A3 5.07 05/11/11
GSI GROUP INC A3 2.02,9.01 05/16/11
HAMPTON ROADS BANKSHARES INC VA 2.02,7.01,9.01 05/11/11
HANDY & HARMAN LTD. DE 2.02,9.01 05/16/11
HANGER ORTHOPEDIC GROUP INC DE 5.07 05/12/11
HARMONIC INC DE 5.02,9.01 05/10/11
HASTINGS ENTERTAINMENT INC TX 2.02,9.01 05/16/11
HAWTHORN BANCSHARES, INC. MO 2.02,9.01 05/16/11
HEALTHCARE TRUST OF AMERICA, INC. MD 1.01,2.02,2.03,9.01 05/13/11
HEALTHSOUTH CORP DE 7.01,9.01 05/16/11
HEARUSA INC DE 5.02 05/09/11
HELEN OF TROY LTD 2.02,9.01 05/10/11
Helix Wind, Corp. NV 3.02,5.02,5.03,7.01, 05/10/11
9.01
HERCULES OFFSHORE, INC. DE 5.02,5.07,7.01,8.01, 05/10/11
9.01
HIGHLANDS BANKSHARES INC /VA/ VA 5.07 05/11/11
HIGHLANDS BANKSHARES INC /WV/ WV 5.07 05/10/08
HIGHLANDS BANKSHARES INC /WV/ WV 2.02,9.01 05/16/11
HNI CORP IA 5.02,5.07 05/10/11
HOOPER HOLMES INC NY 2.02,9.01 05/13/11
HOSPITALITY PROPERTIES TRUST MD 5.07,8.01,9.01 05/11/11
Hyatt Hotels Corp DE 1.01,8.01,9.01 05/15/11
HYPERDYNAMICS CORP DE 8.01,9.01 05/16/11
ICU MEDICAL INC/DE DE 5.02,5.07,9.01 05/13/11
IGATE CORP PA 1.01,2.01,2.03,5.02, 05/10/11
8.01,9.01
IMMUCELL CORP /DE/ DE 2.02,9.01 05/16/11
IMPAX LABORATORIES INC DE 5.07 05/10/11
IMPERIAL PETROLEUM INC NV 3.02,9.01 05/12/11
INFORMATION ARCHITECTS CORP NC 5.02 05/16/11
Information Services Group Inc. DE 5.07 05/16/11
INNOTRAC CORP GA 2.02,9.01 05/16/11
INSIGNIA SYSTEMS INC/MN MN 8.01 05/13/11
INSPIRE PHARMACEUTICALS INC DE 2.01,3.01,3.02,3.03, 05/13/11
5.01,5.02,5.03,9.01
INTEGRAL SYSTEMS INC /MD/ MD 7.01,8.01,9.01 05/16/11
INTEGRYS ENERGY GROUP, INC. WI 5.03,5.07,9.01 05/11/11
INTELLIGENT COMMUNICATION ENTERPRISE PA 2.01,9.01 05/10/11
INTERACTIVE DATA CORP/MA/ DE 2.02,9.01 05/16/11
INTERCONTINENTALEXCHANGE INC 8.01,9.01 05/16/11
Intermec, Inc. DE 2.01,2.03,7.01,8.01, 05/13/11 AMEND
9.01
INVIVO THERAPEUTICS HOLDINGS CORP. NV 2.02,9.01 05/13/11
IsoRay, Inc. MN 2.02,9.01 05/16/11
ISTA PHARMACEUTICALS INC DE 7.01,8.01 05/11/11
J C PENNEY CO INC DE 2.02,9.01 05/16/11
J2 GLOBAL COMMUNICATIONS INC DE 5.07 05/12/11
JACKSONVILLE BANCORP INC /FL/ FL 2.02,9.01 05/16/11
JACOBS ENTERTAINMENT INC DE 2.02,9.01 05/16/11
James River Coal CO VA 9.01 04/15/11 AMEND
Jiangbo Pharmaceuticals, Inc. FL 5.02,9.01 05/12/11
Kandi Technologies Corp DE 8.01,9.01 05/16/11
KATY INDUSTRIES INC DE 2.02,9.01 05/16/11
KINDER MORGAN ENERGY PARTNERS L P DE 7.01 05/16/11
KINDER MORGAN MANAGEMENT LLC DE 7.01 05/16/11
KINDER MORGAN, INC. DE 7.01 05/16/11
KINDRED HEALTHCARE, INC DE 8.01,9.01 05/16/11
Kirin International Holding, Inc. NV 4.01,9.01 05/03/11
KNIGHT CAPITAL GROUP, INC. DE 5.07 05/11/11
KOHLS Corp WI 5.02,5.03,5.07,8.01, 05/12/11
9.01
KRANEM CORP CO 1.01,2.01,3.02,5.01, 05/16/11
5.02,5.06,9.01
KRATOS DEFENSE & SECURITY SOLUTIONS, DE 8.01,9.01 05/16/11
KRONOS WORLDWIDE INC 7.01,9.01 05/13/11
Kurrant Mobile Catering, Inc. CO 5.03,9.01 05/14/11
LABORATORY CORP OF AMERICA HOLDINGS DE 5.07 05/11/11
LBI MEDIA HOLDINGS INC 2.02,9.01 05/16/11
LEGACY RESERVES LP DE 5.07 05/11/11
LENNOX INTERNATIONAL INC DE 5.02,5.07 05/12/11
LEVI STRAUSS & CO DE 5.02,9.01 05/16/11
LIGHTING SCIENCE GROUP CORP DE 1.01,1.02,3.02 05/10/11
Lightwave Logic, Inc. NV 5.02,7.01,9.01 05/12/11
LINN ENERGY, LLC DE 1.01,2.03,8.01,9.01 05/10/11
LOCAL.COM DE 5.02,9.01 05/11/11
LOJACK CORP MA 5.02 05/16/11
LONGWEI PETROLEUM INVESTMENT HOLDING CO 4.02 05/13/11
LOWES COMPANIES INC NC 2.02,9.01 05/16/11
MACE SECURITY INTERNATIONAL INC DE 2.02,9.01 05/16/11
Macquarie CNL Global Income Trust, In MD 1.01 05/13/11
Madison Enterprises Group, Inc. DE 2.01,5.01,5.02,5.03, 05/10/11
9.01
MAGNACHIP SEMICONDUCTOR Corp DE 1.01,9.01 05/11/11
MANTECH INTERNATIONAL CORP DE 1.01,5.02,5.07,8.01, 05/12/11
9.01
Marina Biotech, Inc. DE 2.02,9.01 05/16/11
MARINE GROWTH VENTURES INC 4.02,9.01 05/10/11
MARSHALL EDWARDS INC DE 1.01,3.02,5.07,9.01 05/16/11
MASCO CORP /DE/ DE 5.02,5.07 05/10/11
MASSEY ENERGY CO DE 8.01,9.01 05/16/11
MATTSON TECHNOLOGY INC DE 1.01,9.01 05/11/11
Maxray Optical Technology Co. Ltd. DE 8.01 05/12/11
Medefile International, Inc. NV 5.02,9.01 05/10/11
MedQuist Holdings Inc. DE 2.02,9.01 05/16/11
MERCER GOLD CORP. NV 5.02,7.01,9.01 05/16/11
MERCER INTERNATIONAL INC. WA 8.01,9.01 05/16/11
METLIFE INC DE 8.01,9.01 05/16/11
MGM Resorts International DE 7.01 05/16/11
MICROFINANCIAL INC MA 5.07 05/12/11
MID WISCONSIN FINANCIAL SERVICES INC WI 2.02,9.01 05/13/11
MMRGlobal, Inc. DE 2.02,9.01 05/16/11
MOKITA, INC. NV 1.01,2.03,9.01 05/13/11
MoSys, Inc. CA 5.02,9.01 05/10/11
MUELLER INDUSTRIES INC DE 5.02,9.01 05/11/11
MULTIBAND CORP MN 2.02,9.01 05/16/11
NACCO INDUSTRIES INC DE 5.07 05/11/11
NAPCO SECURITY TECHNOLOGIES, INC DE 2.02,9.01 05/16/11
NASDAQ OMX GROUP, INC. DE 8.01,9.01 05/16/11
NATIONAL BEVERAGE CORP DE 5.02 05/11/11
NATIONAL INSTRUMENTS CORP /DE/ DE 5.02,5.07,9.01 05/10/11
NATIONAL MENTOR HOLDINGS, INC. DE 2.02,9.01 05/16/11
NCO Group, Inc. DE 2.02,7.01,9.01 05/16/11
Neiman Marcus, Inc. DE 1.01,2.03,8.01 05/16/11
Net Savings Link, Inc. NV 7.01,9.01 05/16/11
NETSOL TECHNOLOGIES INC NV 5.07 05/10/11
NeuroMetrix, Inc. DE 5.07 05/16/11
New Concept Energy, Inc. NV 2.02,9.01 05/13/11
NEW DRAGON ASIA CORP FL 5.07 05/13/11
NEW ENERGY SYSTEMS GROUP NV 4.02 03/31/11
NEW HAMPSHIRE THRIFT BANCSHARES INC DE 5.07 05/12/11
NEW PEOPLES BANKSHARES INC VA 8.01 05/16/11
Niska Gas Storage Partners LLC DE 5.02 05/12/11
NORD RESOURCES CORP DE 8.01,9.01 05/13/11
NORTHERN TRUST CORP DE 8.01,9.01 05/16/11
NORTHWEST BANCORPORATION INC WA 7.01,9.01 05/16/11
NOVADEL PHARMA INC DE 2.02,9.01 03/31/11
NOVELLUS SYSTEMS INC CA 1.01,2.03,9.01 05/12/11
NUCLEAR SOLUTIONS INC NV 5.02 05/16/11
Nutrastar International Inc. NV 2.02,7.01,9.01 05/16/11
NUTRI SYSTEM INC /DE/ DE 5.07 05/12/11
NYSE Euronext DE 8.01 05/16/11
Oconee Federal Financial Corp. 2.02,9.01 05/16/11
OMEGA PROTEIN CORP NV 7.01,9.01 05/16/11
Onstream Media CORP FL 2.02,9.01 05/16/11
Options Media Group Holdings, Inc. NV 1.01,3.02,5.02 05/10/11
ORTHOVITA INC 1.01,5.02,8.01,9.01 05/16/11
PACIFIC CAPITAL BANCORP /CA/ DE 5.07 05/11/11
PACIFIC GAS & ELECTRIC Co CA 7.01,9.01 05/13/11
PACIFIC GOLD CORP NV 1.01,8.01 05/12/11
PACIFIC OFFICE PROPERTIES TRUST, INC. MD 2.02,9.01 05/16/11
PACIFICHEALTH LABORATORIES INC DE 1.01,3.02 05/12/11
PALATIN TECHNOLOGIES INC DE 2.02,9.01 05/16/11
Patriot Coal CORP DE 5.07 05/12/11
PDL BIOPHARMA, INC. DE 1.01,2.03,3.02,8.01, 05/10/11
9.01
PENGRAM CORP NV 1.01,2.01,9.01 05/12/11
PFSWEB INC DE 8.01 05/11/11
PG&E CORP CA 7.01,9.01 05/13/11
PHOTONIC PRODUCTS GROUP INC NJ 2.02,9.01 05/16/11
PLUG POWER INC DE 5.02,5.07,9.01 05/12/11 AMEND
PLY GEM HOLDINGS INC DE 2.02,9.01 05/16/11
POKERTEK, INC. NC 3.02,9.01 05/12/11
PORTLAND GENERAL ELECTRIC CO /OR/ OR 5.03,5.07,9.01 05/11/11
PostRock Energy Corp DE 1.01,5.02,5.07 05/10/11
POWER SOLUTIONS INTERNATIONAL, INC. NV 2.01,5.01,9.01 04/29/11 AMEND
PREMIER FINANCIAL BANCORP INC KY 7.01,9.01 05/16/11
PRESIDENTIAL LIFE CORP DE 2.02,9.01 03/31/11
PRIMEDIA INC DE 8.01,9.01 05/16/11
PROGRESS ENERGY INC NC 5.07 05/11/11
PROGRESS ENERGY INC NC 7.01,9.01 03/31/11
PROLOGIS MD 1.01,9.01 05/16/11
Provision Holding, Inc. NV 1.01 04/27/11
PUBLIC SERVICE ENTERPRISE GROUP INC NJ 7.01,9.01 05/16/11
QUIKSILVER INC DE 5.02 05/13/11
RADIAN GROUP INC DE 5.02,5.07,9.01 05/10/11
RAE SYSTEMS INC DE 2.02,9.01 05/16/11
RAILAMERICA INC /DE DE 8.01 05/16/11
RAINMAKER SYSTEMS INC CA 2.02,7.01,9.01 05/16/11
RAMOIL MANAGEMENT LTD DE 1.01,2.01,9.01 05/16/11
RAND WORLDWIDE INC DE 2.02,9.01 05/16/11
Rapid Holdings Inc. NV 5.03,8.01,9.01 05/11/11
RASER TECHNOLOGIES INC UT 2.02,8.01,9.01 05/16/11
RDA Holding Co. 2.02,9.01 05/16/11
Real Goods Solar, Inc. CO 5.07 05/13/11
Real Mex Restaurants, Inc. DE 5.02 05/10/11
RED TRAIL ENERGY, LLC 2.02,9.01 05/12/11
REDtone Asia Inc NV 2.01,9.01 08/02/10 AMEND
REPROS THERAPEUTICS INC. DE 2.02,9.01 05/16/11
REVA Medical, Inc. DE 7.01,9.01 05/16/11
Rock-Tenn CO GA 8.01 05/16/11
Rodobo International Inc NV 2.02,9.01 05/16/11
ROLLINS INC DE 8.01,9.01 05/11/11
Rosetta Resources Inc. DE 1.01,2.03,7.01,9.01 05/16/11
RYDER SYSTEM INC FL 8.01 05/16/11
S&W Seed Co DE 2.02,9.01 05/16/11
SCANA CORP SC 7.01,9.01 05/16/11
SCHULMAN A INC DE 8.01,9.01 05/16/11
Secure Luggage Solutions Inc. 4.02 05/13/11
SemGroup Corp DE 2.02,9.01 05/16/11
SENESCO TECHNOLOGIES INC DE 2.02,9.01 05/16/11
SERVICEMASTER CO DE 2.02,7.01,9.01 05/16/11
SGB International Holdings Inc. A1 5.02,9.01 05/11/11
Shiner International, Inc. NV 2.02,9.01 05/16/11
SIERRA MONITOR CORP /CA/ CA 5.07 05/11/11
SILVERLEAF RESORTS INC 2.01,2.04,3.01,3.03, 05/11/11
5.01,5.02,5.07,7.01,
9.01
SinoCubate, Inc NV 9.01 12/31/10
SINOHUB, INC. DE 4.02,8.01,9.01 05/12/11
SINOHUB, INC. DE 2.02,7.01,9.01 05/16/11
SIRIUS XM RADIO INC. DE 8.01 05/12/11
SMSA Treemont Acquisition Corp NV 1.01,2.01,3.02,4.01, 05/13/11
5.01,5.02,5.06,9.01
SMUCKER J M CO OH 7.01,9.01 05/16/11
Snap Interactive, Inc DE 2.02,9.01 05/16/11
Solar Power, Inc. CA 2.02,9.01 05/16/11
SOMBRIO CAPITAL CORP NV 5.03,9.01 05/12/11
SONOMAWEST HOLDINGS INC DE 1.01 05/10/11
SORL Auto Parts Inc DE 7.01,9.01 05/16/11
SOUTHERN CALIFORNIA EDISON CO CA 8.01,9.01 05/12/11
SOUTHERN MICHIGAN BANCORP INC MI 5.07 05/12/11
SOUTHWALL TECHNOLOGIES INC /DE/ DE 5.07 05/11/11
SP Bancorp, Inc. MD 2.02,9.01 05/16/11
SP Bancorp, Inc. MD 7.01,9.01 05/16/11
SPANISH BROADCASTING SYSTEM INC DE 2.02,8.01,9.01 05/16/11
Spring Creek Healthcare Systems, Inc. NV 5.02,9.01 05/04/11 AMEND
SPRINT NEXTEL CORP KS 5.07 05/10/11
STARWOOD PROPERTY TRUST, INC. 8.01,9.01 05/10/11
STELLAR PHARMACEUTICALS INC 2.02,9.01 05/16/11
STRATUS PROPERTIES INC DE 2.02,9.01 05/16/11
STRYKER CORP MI 8.01,9.01 05/16/11
SUMMIT FINANCIAL SERVICES GROUP INC FL 2.02,9.01 05/16/11
SUNGARD CAPITAL CORP DE 5.02,7.01,9.01 05/12/11
SUPERCONDUCTOR TECHNOLOGIES INC DE 5.07 05/16/11
SWIFT ENERGY CO 5.02,5.03,9.01 05/10/11
Swisher Hygiene Inc. DE 2.02,7.01,9.01 05/16/11
SYPRIS SOLUTIONS INC DE 5.07 05/10/11
TAYLOR CAPITAL GROUP INC DE 5.07,8.01,9.01 05/16/11
TEKELEC CA 5.07 05/13/11
TELIK INC DE 2.02,9.01 05/16/11
TELKONET INC UT 2.02,9.01 05/16/11
Tempco, Inc. NV 5.02 05/11/11
TEXAS INSTRUMENTS INC DE 9.01 05/16/11
TheraBiogen, Inc. NV 5.02,9.01 03/10/11 AMEND
THERAVANCE INC DE 8.01,9.01 05/15/11
THT Heat Transfer Technology, Inc. NV 2.02,7.01,9.01 05/16/11
Tianli Agritech, Inc. D8 2.02,7.01,9.01 05/16/11
TIENS BIOTECH GROUP USA INC 2.02,9.01 05/16/11
TIER TECHNOLOGIES INC DE 5.02,9.01 05/16/11
TII NETWORK TECHNOLOGIES, INC. DE 2.02,9.01 05/16/11
Tim Hortons Inc. A6 5.07 05/13/11
TODA INTERNATIONAL HOLDINGS INC. E9 5.07 05/15/11
Tower Group, Inc. DE 7.01,9.01 05/16/11
Transcept Pharmaceuticals Inc DE 7.01,9.01 05/14/11
Transcept Pharmaceuticals Inc DE 2.02,9.01 05/16/11
TRANSCONTINENTAL REALTY INVESTORS INC NV 2.02,5.07,9.01 05/11/11
TRANSIT MANAGEMENT HOLDING CORP 2.01,3.02,5.01,5.02, 05/13/11
5.03,9.01
TRAVELCENTERS OF AMERICA LLC 5.02,5.07,8.01,9.01 05/12/11
Tree.com, Inc. DE 1.01,8.01,9.01 05/12/11
TRILLIANT EXPLORATION CORP NV 4.01,4.02,9.01 02/08/11 AMEND
TURBOSONIC TECHNOLOGIES INC DE 1.01,9.01 05/16/11
UNILENS VISION INC 8.01,9.01 05/16/11
Unilife Corp DE 2.02,7.01,9.01 05/16/11
Uniontown Energy Inc. NV 4.01 05/06/11
UNIVERSAL CITY DEVELOPMENT PARTNERS L 7.01 05/16/11
USG CORP DE 5.07 05/11/11
Valeant Pharmaceuticals International A6 5.02,5.07,9.01 05/16/11
VALLEY FORGE COMPOSITE TECHNOLOGIES, FL 7.01 05/16/11
VALPEY FISHER CORP MD 5.07 05/12/11
VALSPAR CORP DE 2.02,9.01 05/16/11
Vertro, Inc. DE 7.01,9.01 05/16/11
VIEWCAST COM INC DE 2.02,9.01 05/16/11
VirtualScopics, Inc. DE 2.02,9.01 05/16/11
VLOV INC. NV 8.01,9.01 05/16/11
Vringo Inc DE 2.02,9.01 05/16/11
Vyteris, Inc. NV 9.01 04/01/11 AMEND
WACHOVIA PREFERRED FUNDING CORP DE 5.07 05/10/11
WaferGen Bio-systems, Inc. 2.02,9.01 05/16/11
WALTER INVESTMENT MANAGEMENT CORP MD 5.02,5.07,9.01 05/16/11
WARNACO GROUP INC /DE/ DE 5.07 05/11/11
WASHINGTON POST CO DE 5.07 05/12/11
WASTE MANAGEMENT INC DE 1.01 05/09/11
WATTS WATER TECHNOLOGIES INC DE 5.07,8.01 05/11/11
WESTINGHOUSE AIR BRAKE TECHNOLOGIES C DE 5.02,5.07,8.01,9.01 05/11/11
Whitestone REIT TX 7.01,9.01 05/16/11
Whitestone REIT TX 5.07 05/16/11
Whitestone REIT TX 2.02,7.01,9.01 05/16/11
Whitestone REIT Operating Partnership DE 7.01,9.01 05/16/11
WHITNEY HOLDING CORP LA 8.01,9.01 05/16/11
Wind Works Power Corp. NV 1.02 05/05/11
WINLAND ELECTRONICS INC MN 2.02,9.01 05/16/11
WORKSTREAM INC A6 1.01,2.03,9.01 05/10/11
Xenith Bankshares, Inc. VA 7.01,9.01 05/13/11
XERIUM TECHNOLOGIES INC DE 8.01,9.01 05/16/11
XO HOLDINGS INC DE 2.02,9.01 05/16/11
YAHOO INC DE 7.01,9.01 05/15/11
Your Event, Inc. NV 5.01,9.01 02/04/11 AMEND
ZBB ENERGY CORP WI 2.02,9.01 05/16/11
ZOGENIX, INC. DE 2.02,9.01 05/16/11
Zoo Entertainment, Inc DE 2.02,9.01 05/16/11
http://www.sec.gov/news/digest/2011/dig051711.htm
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