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Rules and related mattersImplementation and Amendment of ExemptionsThe Commission issued notice requesting comments on a proposed rule to exempt portions of three new systems of records, “Tips, Complaints, and Referrals (TCR) Records (SEC-63)”, “SEC Security in the Workplace Incident Records (SEC-64)”, and “Investor Response Information System (IRIS) (SEC-65)”, from provisions of the Privacy Act to the extent that the records contain investigatory materials compiled for law enforcement purposes; and to make technical amendments to its inventory of exempted systems of records. In a companion release published elsewhere in the same issue of the Federal Register, the Commission issued concurrent notice to establish three new systems of records pursuant to the Privacy Act of 1974. Publication is expected in the Federal Register during the week of (date). (Rel. PA-45) Notice to Establish Three New Systems of Records and Revise Two Existing Systems of RecordsThe Commission issued notice requesting comments on a proposal to establish three new Privacy Act systems of records, “Tips, Complaints, and Referrals (TCR) Records (SEC-63)”, “SEC Security in the Workplace Incident Records (SEC-64)”, and “Investor Response Information System (IRIS) (SEC-65)”; and to revise two existing systems of records, “Personnel Management Code of Conduct and Employee Performance Files (SEC-38)”, and “Enforcement Files (SEC-42)”. In a companion release published elsewhere in the same issue of the Federal Register, the Commission issued concurrent notice of a proposed rule to exempt portions of the new systems of records from provisions of the Privacy Act, to the extent that the records contain investigatory materials compiled for law enforcement purposes; and to make technical amendments to its inventory of exempted systems of records. Publication is expected in the Federal Register during the week of (date). (Rel. PA-46) Enforcement proceedingsInitial Decision as to Thomas Michael Rittweger Declared FinalThe Commission has declared final the initial decision of an administrative law judge barring Thomas Michael Rittweger (Rittweger) from association with any broker or dealer. The initial decision found that, on September 13, 2010, the United States District Court for the Southern District of New York, SEC v. Credit Bancorp, Ltd., No. 1:99-cv-11395 (S.D.N.Y. Sept. 13, 2010), permanently enjoined Rittweger from violating the antifraud provisions of the federal securities laws, and ordered to disgorge $18,128,599.40 in ill-gotten gains plus prejudgment interest of $16,930,952.23. The court entered final judgment as to Rittweger on March 14, 2011. In a parallel criminal proceeding arising out of the same fact, he was found guilty, after a twenty-four day jury trial, of securities fraud, wire fraud, racketeering, and other crimes and is now serving a 135-month sentence at FCI Fort Dix, Fort Dix, New Jersey, that began in Jan. 27, 2006, United States v. Blech, 1:02-cr-00122 (S.D.N.Y. Jan. 31, 2002). Rittweger was a salaried employee of Credit Bancorp, Ltd. (CBL), as its managing director, North America; he was also president of its affiliate Credit Bancorp & Co. He was touted to investors as a licensed securities broker. CBL ran a Ponzi scheme wherein investors were offered the chance to borrow at below market rates and earn dividends based on their transferring securities or other assets to CBL as collateral. Rittweger would instruct the investors to send their stock certificates, used as collateral, directly to his custody. CBL funds were used for different trading strategies, business expenses, personal expenses and business investments, which were largely unprofitable. Rittweger also had control of CBL's checking account with Commerce Bank. He used it to receive his commission payments, compensate brokers, distribute dividends to customers, and fund office expenditures. The checking account had a balance of $10,691,760, the total of which was netted during the Ponzi scheme. After subtracting legitimate transfers from the money, a balance of $8.4 million remained, of which Rittweger had sole discretionary use. A November 1999 court order froze all of CBL's assets and Rittwegger's personal assets, but he continued self-dealing; and, he transferred assets totaling $2,653,063 to his wife and to unknown destinations in violation of the asset freeze. (Rel. 34-64515; File No. 3-14070) Commission Declares Decision as to David E. Zilhka FinalThe decision of an administrative law judge ordering David E. Zilkha to cease and desist from committing or causing any violations or future violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder and further ordering that, he disgorge $250,000 plus prejudgment interest is declared final. David E. Zilkha worked for Microsoft, from 1998 to 2001. He was hired on April 23, 2001, by Pequot, a registered investment adviser; and, was let go in November 2001. The law judge found that Zilkha violated securities laws when he tipped material non-public information acquired during and after his employment with Microsoft, to his future employer, Arthur J. Samberg, chairman and chief executive officer of Pequot, who then traded profitably on it and credited Zilkha with the profits. By using the information supplied to him by Zilhka, Samberg netted $14 million in profits. Zilhka, who thought he was being hired as a legitimate research analyst, was hired by Samberg for the express purpose of obtaining material non-public information on Microsoft; and, once Zilka could no longer provide the information, Samberg terminated Zilkha and paid him a prorated portion of his $250,000 salary (approximately $173,000) and a $250,000 bonus. (Rels. 34-64516; IA-3207; IC-29673; File No. 3-13913) In the Matter of Jonathan HollanderOn May 19, 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 Jonathan Hollander. The Order finds that on May 11, 2011, a Final Judgment was entered by consent against Hollander in the civil action entitled Securities and Exchange Commission v. Jonathan Hollander, Civil Action Number 11-CV-2885, in the United States District Court for the Southern District of New York. The Final Judgment permanently enjoins Hollander from future violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, orders him to pay disgorgement of $95,807, together with prejudgment interest of $31,309. The Final Judgment also orders Hollander to pay a civil penalty of $95,807 pursuant to Section 21A of the Exchange Act. The Order finds that the Commission’s complaint alleged, among other things, that Hollander, while associated with an unregistered investment adviser, received material nonpublic information from a friend about the impending corporate acquisition of Albertson’s, LLC, in January 2006. The Complaint alleged that Hollander, while in possession of the material nonpublic information about the Albertson’s acquisition, traded in Albertson securities in his brokerage account, and tipped others, who then traded on the information. Based on the above, the Order bars Hollander from association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent, with the right to reapply for association after three years. Hollander consented to the issuance of the Order without admitting or denying any of the findings in the Order except that he admitted the entry of the injunction. (Rel. IA-3208; File No. 3-14398) Commission Revokes Registration of Securities of Gener8xion Entertainment, Inc. for Failure to Make Required Periodic FilingsOn May 19, 2011, the Commission revoked the registration of each class of registered securities of Gener8xion Entertainment, Inc. (GNXE) for failure to make required periodic filings with the Commission. Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, GNXE consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Gener8xion Entertainment, Inc. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of GNXE’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the charges brought against GNXE in In the Matter of Advanced Refractive Technologies, Inc., et al., Administrative Proceeding File No. 3-14363. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Advanced Refractive Technologies, Inc., et al., Administrative Proceeding File No. 3-14363, Exchange Act Release No. 64379 (May 3, 2011). (Rel. 34-64517; File No. 3-14363) Self-regulatory organizationsAccelerated Approval of Proposed Rule ChangeThe Commission approved on an accelerated basis a proposed rule change (SR-FINRA-2011-017) submitted by the Financial Industry Regulatory Authority to amend FINRA Rule 5131 (New Issue Allocations and Distributions) to simplify the spinning provision and to delay the implementation date of paragraphs (b) and (d)(4). Publication is expected in the Federal Register during the week of May 23. (Rel. 34-64512) 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 MAGELLAN GOLD Corp, 60 SEAL WALK DRIVE P O BOX 114, THE SEA RANCH, CA,
95497, 707-884-3766 - 3,000,000 ($3,000.00) Equity, (File 333-174287 -
May. 18) (BR. 04)
S-1 AP PHARMA INC /DE/, 123 SAGINAW DRIVE, REDWOOD CITY, CA, 94063,
6503662626 - 271,221,610 ($55,600,430.05) Equity, (File 333-174288 -
May. 18) (BR. 01C)
S-3ASR TRIUMPH GROUP INC, FOUR GLENHARDIE CORPORATE CENTER,
1255 DRUMMERS LANE SUITE 200, WAYNE, PA, 19087, 6109750420 -
0 ($0.00) Other, (File 333-174289 - May. 18) (BR. 05C)
F-1 GLOBUS MARITIME LTD, 128 VOULIAGMENIS AVENUE 3RD FL, 166 74 GLYFADA,
ATHENS GREECE, J3, 00000, 30 210 960 8300 - 0 ($57,500,000.00) Equity,
(File 333-174290 - May. 18) (BR. 05C)
S-4 CENTURYLINK, INC, P O BOX 4065, 100 CENTURYLINK DR, MONROE, LA, 71203,
3183889000 - 0 ($759,145,620.00) Equity, (File 333-174291 - May. 18)
(BR. 11A)
S-3 ZIOPHARM ONCOLOGY INC, 1180 AVENUE OF THE AMERICA, 19TH FLOOR,
NEW YORK, NY, 10036, 646-214-0700 - 9,700,087 ($62,614,061.59) Equity,
(File 333-174292 - May. 18) (BR. 01C)
F-1 Taomee Holdings Ltd, 16/F, Bldg No. A-2, No. 1528 Gumei Road,
Xuhui District, Shanghai, F4, 200233, (86-21) 6128-0056 -
0 ($100,000,000.00) ADRs/ADSs, (File 333-174293 - May. 18) (BR. 03A)
S-8 PARKWAY PROPERTIES INC, ONE JACKSON PL, 188 E CAPITOL ST STE 1000,
JACKSON, MS, 39225-4647, 6019484091 - 149,573 ($2,690,819.00) Equity,
(File 333-174300 - May. 18) (BR. 08C)
S-8 SUSQUEHANNA BANCSHARES INC, 26 N CEDAR ST, LITITZ, PA, 17543,
7176264721 - 0 ($8,610,000.00) Equity, (File 333-174302 - May. 18)
(BR. 07B)
S-8 BLONDER TONGUE LABORATORIES INC, ONE JAKE BROWN RD, PO BOX 1000,
OLD BRIDGE, NJ, 08857, 9086794000 - 700,000 ($1,316,299.88) Equity,
(File 333-174303 - May. 18) (BR. 11C)
S-8 MANPOWER INC /WI/, 100 MANPOWER PLACE, MILWAUKEE, WI, 53212,
414 961-1000 - 3,000,000 ($188,820,000.00) Equity, (File 333-174305 -
May. 18) (BR. 11C)
S-8 QUANTA SERVICES INC, 1360 POST OAK BLVD, SUITE 2100, HOUSTON, TX,
77056, 7133506000 - 0 ($3,502,985.85) Equity, (File 333-174306 -
May. 18) (BR. 06B)
S-8 X RITE INC, 4300 44TH ST, GRAND RAPIDS, MI, 49512, 6168032203 -
0 ($27,450,000.00) Equity, (File 333-174307 - May. 18) (BR. 10C)
S-8 M&T BANK CORP, C/O CORPORATE REPORTING, ONE M&T PLAZA 5TH FLOOR,
BUFFALO, NY, 14203, 7168425390 - 0 ($1,394,160.00) Equity,
(File 333-174312 - May. 18) (BR. 07B)
S-8 NUCOR CORP, 1915 REXFORD RD, CHARLOTTE, NC, 28211, 7043667000 -
0 ($426,500.00) Equity, (File 333-174313 - May. 18) (BR. 06A)
S-8 MAGELLAN HEALTH SERVICES INC, 6950 COLUMBIA GATEWAY, STE 400, COLUMBIA,
MD, 21046, 4109531000 - 0 ($256,600,000.00) Equity, (File 333-174314 -
May. 18) (BR. 01B)
S-8 MAGELLAN HEALTH SERVICES INC, 6950 COLUMBIA GATEWAY, STE 400, COLUMBIA,
MD, 21046, 4109531000 - 0 ($5,132,000.00) Equity, (File 333-174315 -
May. 18) (BR. 01B)
S-8 CARDINAL FINANCIAL CORP, 8270 GREENSBORO DRIVE, SUITE 500, MCLEAN, VA,
22102, 7035843400 - 0 ($8,130,000.00) Equity, (File 333-174316 -
May. 18) (BR. 07B)
S-11 Howard Hughes Corp, ONE GALLERIA TOWER, 13355 NOEL ROAD, SUITE 950,
DALLAS, TX, 75240, 214-741-7744 - 0 ($123,051,452.00) Equity,
(File 333-174317 - May. 18) (BR. 08B)
S-3ASR Approach Resources Inc, ONE RIDGMAR CENTRE,
6500 WEST FREEWAY, SUITE 800, FORT WORTH, TX, 76116, 8179899000 -
0 ($0.00) Unallocated (Universal) Shelf, (File 333-174318 - May. 18)
(BR. 04B)
S-8 Dolby Laboratories, Inc., 100 POTRERO AVENUE, SAN FRANCISCO, CA, 94103,
415 558 0200 - 0 ($432,000,000.00) Equity, (File 333-174319 - May. 18)
(BR. 11A)
S-8 FITT HIGHWAY PRODUCTS, INC., 26381 CROWN VALLEY PARKWAY, SUITE 230,
MISSION VIEJO, CA, 92691, (949) 582-5933 -
4,500,000 ($450,000.00) Equity, (File 333-174320 - May. 18) (BR. 09A)
S-4 ENTERPRISE PRODUCTS PARTNERS L P, 1100 LOUISIANA 10TH FLOOR, HOUSTON,
TX, 77002, 7133816500 - 0 ($961,572,411.00) Equity, (File 333-174321 -
May. 18) (BR. 02C)
S-4 CENTERPOINT ENERGY RESOURCES CORP, 1111 LOUISIANA ST, HOUSTON, TX,
77002, 7132073000 - 0 ($892,998,000.00) Non-Convertible Debt,
(File 333-174322 - May. 18) (BR. 02C) 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
3DICON CORP 5.02,9.01 05/12/11
3DICON CORP 8.01,9.01 05/16/11
3M CO DE 8.01 05/18/11
3M CO DE 8.01 05/18/11
ABIOMED INC DE 2.02,9.01 05/18/11
ACADIA REALTY TRUST MD 5.02,9.01 05/17/11
ADOLOR CORP 1.01,5.07,9.01 05/17/11
ADVANCE AUTO PARTS INC DE 2.02,9.01 05/18/10
ADVANCED MEDICAL ISOTOPE Corp DE 5.03,9.01 05/18/11
AEROCENTURY CORP DE 2.02 05/13/11
ALANCO TECHNOLOGIES INC AZ 2.01,9.01 05/18/11
ALCOA INC PA 8.01,9.01 05/13/11
ALION SCIENCE & TECHNOLOGY CORP DE 2.02,7.01,8.01 05/18/11
ALKERMES INC PA 2.02,8.01,9.01 05/18/11
ALLSTATE CORP DE 7.01,9.01 05/18/11
ALLSTATE CORP DE 3.03,5.03,5.05,5.07, 05/16/11
8.01,9.01
Alveron Energy Corp. DE 5.02 05/13/11
AMERICAN REALTY CAPITAL HEALTHCARE TR MD 8.01,9.01 05/13/11
AMERISTAR CASINOS INC NV 1.01,9.01 05/16/11
AP PHARMA INC /DE/ DE 2.02,9.01 05/16/11
Apple REIT Eight, Inc. VA 5.07 05/12/11
Apple REIT Nine, Inc. VA 5.07 05/12/11
Apple REIT Seven, Inc. VA 5.07 05/12/11
APPLE REIT SIX INC 5.07 05/12/11
AQUA AMERICA INC PA 5.07 05/12/11
ARES CAPITAL CORP MD 7.01,9.01 05/18/11
ARTESIAN RESOURCES CORP DE 5.07 05/17/11
ASSURANCEAMERICA CORP NV 2.02,9.01 05/17/11
ASTORIA FINANCIAL CORP DE 8.01,9.01 05/18/11
ASTORIA FINANCIAL CORP DE 5.07 05/18/11
ASTRO MED INC /NEW/ RI 5.07,9.01 05/17/11
Atlantic Coast Financial CORP MD 5.02,9.01 05/17/11
AUDIOVOX CORP DE 2.02,8.01,9.01 05/16/11
Augme Technologies, Inc. DE 2.02,9.01 05/16/11
AVISTA CORP WA 8.01 05/16/11
AVISTA CORP WA 5.02 05/13/11
Baltic Trading Ltd 1T 5.07 05/10/11
Bank of Commerce Holdings CA 5.07 05/18/11
BENCHMARK ELECTRONICS INC TX 5.07 05/17/11
BENIHANA INC DE 1.01,3.03,9.01 05/13/11
BERKSHIRE BANCORP INC /DE/ DE 8.01 05/16/11
BERKSHIRE HILLS BANCORP INC 1.01,9.01 05/17/11
BFC FINANCIAL CORP FL 5.07 05/17/11
Bio-AMD Inc. NV 8.01,9.01 05/18/11
BIO-PATH HOLDINGS INC UT 2.02,9.01 05/17/11
BIOMARIN PHARMACEUTICAL INC DE 5.07 05/12/11
Birmingham Bloomfield Bancshares MI 5.07 05/16/11
BJS WHOLESALE CLUB INC DE 2.02,9.01 05/18/11
BNC BANCORP NC 5.07 05/17/11
BPZ RESOURCES, INC. TX 2.02,9.01 05/16/11
CA, INC. DE 5.02,9.01 05/18/11
CAESARS ENTERTAINMENT Corp DE 7.01 05/17/11
CALLIDUS SOFTWARE INC DE 8.01,9.01 05/17/11
CAMPBELL ALTERNATIVE ASSET TRUST DE 8.01 05/18/11
CAMPBELL FUND TRUST DE 8.01 05/18/11
Campbell Global Trend Fund, L.P. DE 8.01 05/18/11
CAMPBELL STRATEGIC ALLOCATION FUND LP DE 8.01 05/18/11
CARBO CERAMICS INC DE 5.07 05/17/11
CARDIO VASCULAR MEDICAL DEVICE CORP DE 5.01,5.02,9.01 05/13/11
CARRIAGE SERVICES INC DE 5.07 05/17/11
CASCADE MICROTECH INC 5.02,5.07 05/12/11
CATHAY GENERAL BANCORP DE 5.07 05/16/11
CBOE Holdings, Inc. DE 5.02,5.07,9.01 05/17/11
CECIL BANCORP INC MD 8.01,9.01 05/18/11
Celera CORP DE 3.01,3.02,3.03,5.02, 05/17/11
5.03,9.01
CELL THERAPEUTICS INC WA 3.03,5.03,7.01,9.01 05/13/11
Celldex Therapeutics, Inc. DE 1.01,9.01 05/18/11
CENTENE CORP 7.01,8.01,9.01 05/17/11
CENTURY NEXT FINANCIAL Corp LA 5.07,7.01,9.01 05/17/11
Cepheus Acquisition Corp. DE 1.01,5.01,5.02,9.01 05/18/11
CERUS CORP DE 5.02,9.01 05/12/11
CERUS CORP DE 5.02 04/14/11 AMEND
CF Industries Holdings, Inc. DE 7.01,9.01 05/18/11
CHARTER FINANCIAL CORP/GA 7.01,9.01 05/18/11
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01 05/17/11
CHECKPOINT SYSTEMS INC PA 7.01,9.01 05/17/11
CHEMUNG FINANCIAL CORP NY 5.02,9.01 05/18/11
CHESAPEAKE MIDSTREAM PARTNERS LP DE 7.01 05/18/11
CHESAPEAKE UTILITIES CORP DE 7.01,9.01 05/15/11
CHICOS FAS INC FL 2.02,9.01 05/18/11
CHINA RUNJI CEMENT INC 5.02 05/17/11
China Shenghuo Pharmaceutical Holding 2.02,9.01 05/16/11
CINCINNATI FINANCIAL CORP OH 7.01,9.01 05/18/11
CIT GROUP INC DE 8.01,9.01 05/17/11
Citi Trends Inc 2.02,9.01 05/18/11
CITIGROUP INC DE 5.02 05/17/11
Clearwire Corp /DE DE 8.01,9.01 05/18/11
CLOUD PEAK ENERGY INC. DE 7.01,9.01 05/18/11
Cloud Peak Energy Resources LLC DE 7.01,9.01 05/18/11
COBIZ FINANCIAL INC CO 7.01 05/18/11
COCA COLA BOTTLING CO CONSOLIDATED /D DE 5.02 05/16/11
CODORUS VALLEY BANCORP INC PA 5.07 05/17/11
COLLECTIVE BRANDS, INC. DE 1.01,5.02,9.01 05/18/11
COMFORT SYSTEMS USA INC 5.07 05/17/11
COMMUNITY HEALTH SYSTEMS INC DE 5.07 05/17/11
COMMUNITY HEALTH SYSTEMS INC DE 7.01 05/18/11
CONCHO RESOURCES INC DE 8.01,9.01 05/18/11
CONTANGO OIL & GAS CO DE 2.01,9.01 05/13/11
CONVERSION SERVICES INTERNATIONAL INC DE 5.02,9.01 05/05/11
CORELOGIC, INC. DE 8.01 05/18/11
COVANCE INC DE 5.02,5.07 05/12/11
CSX CORP VA 7.01 05/18/11
Cullman Bancorp, Inc. X1 5.07,9.01 05/17/11
CVB FINANCIAL CORP CA 7.01,8.01,9.01 05/18/11
DATA I/O CORP WA 5.07,7.01 05/17/11
DEERE & CO DE 2.02,7.01,8.01,9.01 05/18/11
DEERE JOHN CAPITAL CORP DE 2.02,7.01,8.01,9.01 05/18/11
Delek US Holdings, Inc. 7.01,8.01,9.01 05/18/11
DineEquity, Inc DE 5.07 05/17/11
DIONEX CORP /DE CA 2.01,3.01,3.02,3.03, 05/13/11
5.01,5.02,5.03,9.01
DOLLAR THRIFTY AUTOMOTIVE GROUP INC DE 1.01,3.03,8.01,9.01 05/18/11
Dot VN, Inc. DE 8.01,9.01 05/18/11
Dr Pepper Snapple Group, Inc. DE 8.01,9.01 05/18/11
DRIVETIME AUTOMOTIVE GROUP INC DE 1.01 05/13/11
EAGLE ROCK ENERGY PARTNERS L P DE 7.01,8.01,9.01 05/18/11
Eastern Insurance Holdings, Inc. PA 5.07 05/12/11
EATON VANCE CORP MD 2.02,9.01 04/30/11
ECB BANCORP INC NC 5.07 05/17/11
EchoStar CORP NV 8.01,9.01 05/17/11
EL PASO CORP/DE DE 5.07 05/17/11
Emrise CORP DE 7.01,9.01 05/18/11
ENDURANCE SPECIALTY HOLDINGS LTD 7.01,9.01 05/18/11
ENGLOBAL CORP NV 8.01,9.01 05/16/11
Ensco plc 1.01,1.02,2.03,9.01 05/12/11
ENTERCOM COMMUNICATIONS CORP PA 5.07 05/17/11
F&M BANK CORP VA 5.07 05/14/11
FAUQUIER BANKSHARES, INC. VA 5.07,8.01 05/17/11
FBL FINANCIAL GROUP INC IA 5.07 05/18/11
Federal Home Loan Bank of Atlanta X1 2.03 05/18/11
FIFTH THIRD BANCORP OH 8.01 05/16/11
FIRST BANCSHARES INC /MS/ MS 1.01,8.01,9.01 05/17/11
FIRST CENTURY BANKSHARES INC WV 8.01 05/17/11
First Federal of Northern Michigan Ba 5.07,9.01 05/18/11
FIRST FINANCIAL SERVICE CORP KY 7.01,9.01 05/18/11
FIRST MERCHANTS CORP IN 8.01,9.01 05/18/11
First Sentry Bancshares, Inc. WV 5.07 05/17/11
FIRSTENERGY CORP OH 5.07 05/17/11
FLAGSTAR BANCORP INC MI 5.02,5.07,9.01 05/17/11
Flagstone Reinsurance Holdings, S.A. N4 5.07 05/12/11
FLUSHING FINANCIAL CORP DE 5.07,8.01,9.01 05/17/11
FNDS3000 Corp DC 1.01,2.03,3.02,5.03, 05/12/11
9.01
FORD MOTOR CO DE 5.07 05/18/11
FRANKLIN STREET PROPERTIES CORP /MA/ 5.07 05/16/11
FURMANITE CORP DE 5.07 05/12/11
FUSION TELECOMMUNICATIONS INTERNATION DE 1.01,2.03,9.01 05/18/11
GALLAGHER ARTHUR J & CO DE 8.01,9.01 05/18/11
GENCO SHIPPING & TRADING LTD 5.07 05/12/11
GENERAL EMPLOYMENT ENTERPRISES INC IL 2.02,9.01 05/16/11
General Finance CORP DE 1.01,8.01,9.01 05/12/11
GEORGIA GULF CORP /DE/ DE 5.02,5.07,9.01 05/16/11
GLOBAL NUTECH, INC. 7.01,9.01 05/18/11
GOLDMAN SACHS GROUP INC DE 9.01 05/18/11
Government Properties Income Trust MD 5.07,8.01,9.01 05/17/11
GOVERNMENT TRUST 1 D IL 8.01,9.01 05/17/11
Grand Canyon Education, Inc. DE 5.02,5.07,9.01 05/17/11
GREAT ATLANTIC & PACIFIC TEA CO INC MD 7.01,9.01 05/17/11
GREEN BANKSHARES, INC. TN 5.07 05/12/11
GREEN EARTH TECHNOLOGIES INC DE 5.02,9.01 05/16/11
Grubb & Ellis Healthcare REIT II, Inc MD 1.01,2.03,7.01,8.01, 05/12/11
9.01
GULF POWER CO ME 8.01,9.01 05/12/11
HANOVER INSURANCE GROUP, INC. DE 5.07 05/17/11
HARRIS & HARRIS GROUP INC /NY/ NY 8.01,9.01 05/18/11
HARVEST NATURAL RESOURCES, INC. DE 8.01,9.01 05/18/11
HCC INSURANCE HOLDINGS INC/DE/ DE 7.01,9.01 05/18/11
HEALTH MANAGEMENT ASSOCIATES INC DE 5.07 05/17/11
HEALTHSOUTH CORP DE 1.01,7.01,9.01 05/18/11
HEARTLAND PAYMENT SYSTEMS INC DE 5.07 05/18/11
Heckmann CORP 5.07 05/16/11
HEIDRICK & STRUGGLES INTERNATIONAL IN DE 5.02 05/18/11
Helix Wind, Corp. NV 1.01,3.02,5.01,7.01, 05/16/11
9.01
Heritage Financial Group Inc MD 8.01,9.01 05/18/11
HERSHEY CO DE 5.02 05/14/11
Hillenbrand, Inc. IN 7.01,9.01 05/18/11
HOLLY CORP DE 5.02,5.07,9.01 05/12/11
HORIZON BANCORP /IN/ IN 7.01,9.01 05/18/11
HOST HOTELS & RESORTS, INC. MD 5.07 05/12/11
HOT TOPIC INC /CA/ CA 2.02,9.01 05/18/11
HSN, Inc. DE 5.02 05/18/11
HUDSON VALLEY HOLDING CORP NY 5.07 05/12/11
HUMAN PHEROMONE SCIENCES INC CA 1.01,2.01,3.02,8.01, 05/16/11
9.01
HUNT GLOBAL RESOURCES, INC. CO 1.01,2.01,2.03,8.01, 03/02/11 AMEND
9.01
Hyatt Hotels Corp DE 5.03,9.01 05/18/11
HYPERDYNAMICS CORP DE 1.01,8.01,9.01 05/18/11
ICEWEB INC DE 2.02,9.01 05/16/11
II-VI INC PA 8.01,9.01 05/17/11
Industrial Income Trust Inc. MD 8.01 05/18/11
INNOVATIVE SOFTWARE TECHNOLOGIES INC CA 1.02,2.03,9.01 05/13/11
INOVIO PHARMACEUTICALS, INC. 5.07 05/13/11
InsPro Technologies Corp DE 8.01,9.01 05/16/11
INTERNATIONAL BANCSHARES CORP TX 5.07 05/16/11
Intrepid Potash, Inc. DE 7.01,9.01 05/18/11
JACK IN THE BOX INC /NEW/ DE 2.02,9.01 05/18/11
JARDEN CORP DE 1.01,2.03,9.01 05/12/11
JOY GLOBAL INC DE 1.01,8.01,9.01 05/13/11
KENEXA CORP 5.02,5.07,9.01 05/18/11
KENTUCKY BANCSHARES INC /KY/ KY 8.01,9.01 05/18/11
KIT digital, Inc. DE 8.01,9.01 05/09/11
KRATOS DEFENSE & SECURITY SOLUTIONS, DE 1.01,9.01 05/15/11
Lake Shore Bancorp, Inc. X1 7.01,9.01 05/18/11
LEAP WIRELESS INTERNATIONAL INC DE 8.01,9.01 05/18/11
Legacy Bancorp, Inc. 1.01,9.01 05/17/11
Lotus Pharmaceuticals, Inc. NV 2.02,9.01 05/16/11
LyondellBasell Industries N.V. P7 5.02 05/18/11
Man AHL FuturesAccess LLC DE 3.02 05/13/11
MANNATECH INC TX 5.02,9.01 05/16/11
MARSHALL & ILSLEY CORP WI 5.07,8.01,9.01 05/17/11
MARTIN MARIETTA MATERIALS INC NC 5.07 05/12/11
Masterbeat Corp DE 5.02 05/13/11
Medefile International, Inc. NV 2.02,9.01 05/17/11
MENS WEARHOUSE INC TX 5.04,9.01 05/16/11
MENTOR GRAPHICS CORP OR 5.07,9.01 05/12/11
METABOLIX, INC. 8.01,9.01 05/18/11
METROPCS COMMUNICATIONS INC DE 5.02 05/12/11
MINISTRY PARTNERS INVESTMENT COMPANY, 5.02,5.07,9.01 05/17/11
ML Aspect FuturesAccess LLC DE 3.02 05/13/11
ML Systematic Momentum FuturesAccess DE 3.02 05/13/11
ML Transtrend DTP Enhanced FuturesAcc DE 3.02 05/13/11
ML Winton FuturesAccess LLC DE 3.02 05/13/11
Mojo Ventures, Inc DE 1.01,2.01,3.02,5.01, 05/13/11
5.02,5.06,9.01
Monarch Financial Holdings, Inc. VA 8.01,9.01 05/18/11
Monarch Financial Holdings, Inc. VA 8.01,9.01 05/18/11
Monarch Financial Holdings, Inc. VA 5.07 05/18/11
MONEYGRAM INTERNATIONAL INC 8.01,9.01 05/18/11
MONRO MUFFLER BRAKE INC NY 2.02,8.01,9.01 05/17/11
Morningstar, Inc. IL 5.02,5.07,8.01,9.01 05/17/11
MVB FINANCIAL CORP WV 5.07 05/17/11
MxEnergy Holdings Inc 1.01,1.02,5.02,9.01 05/12/11
NATIONAL HOLDINGS CORP DE 2.02,9.01 05/17/11
Naugatuck Valley Financial Corp X1 8.01,9.01 05/13/11
Naugatuck Valley Financial Corp MD 1.01,9.01 05/13/11
Naugatuck Valley Financial Corp X1 1.01,9.01 05/13/11
NEAH POWER SYSTEMS, INC. NV 7.01 05/18/11
NEWFIELD EXPLORATION CO /DE/ DE 7.01 05/17/11
Niska Gas Storage Partners LLC DE 2.02,9.01 05/18/11
NL INDUSTRIES INC NJ 5.07,7.01,9.01 05/18/11
NOBEL LEARNING COMMUNITIES INC DE 1.01,3.03,8.01,9.01 05/17/11
Norcraft Holdings, L.P. DE 8.01,9.01 05/16/11
NORFOLK SOUTHERN CORP VA 8.01,9.01 05/18/11
NORFOLK SOUTHERN CORP VA 5.02,5.07 05/18/11 AMEND
NORTHWEST PIPE CO OR 2.02,9.01 05/12/11
NT MINING Corp 5.02 05/18/11
NUCLEAR SOLUTIONS INC NV 8.01 05/14/11
NxStage Medical, Inc. DE 1.02 05/13/11
OCWEN FINANCIAL CORP FL 5.07 05/12/11
OHIO LEGACY CORP OH 5.07 05/17/11
ONYX PHARMACEUTICALS INC DE 5.02,9.01 05/18/11
ORAMED PHARMACEUTICALS INC. NV 7.01,9.01 05/18/11
ORION ENERGY SYSTEMS, INC. WI 2.02,9.01 05/18/11
PALMDALE EXECUTIVE HOMES, CORP. NV 5.02 05/15/11
PARKWAY PROPERTIES INC MD 1.01,2.01,5.02,5.03, 05/18/11
9.01
PATRIOT NATIONAL BANCORP INC CT 2.02,9.01 05/17/11
Pay Mobile, Inc NV 1.01,2.01,3.02,4.01, 05/18/11
5.01,5.02,5.03,9.01
PediatRx Inc. NV 1.01,2.03,9.01 05/18/11
PENN VIRGINIA RESOURCE PARTNERS L P DE 5.02,9.01 05/12/11
PennyMac Mortgage Investment Trust MD 5.07 05/17/11
PEPSICO INC NC 5.02 05/13/11
PETROHAWK ENERGY CORP DE 8.01,9.01 05/17/11
PETROQUEST ENERGY INC DE 5.07 05/12/11
PETSMART INC DE 2.02,9.01 05/18/11
PHYHEALTH Corp DE 8.01,9.01 05/18/11
PIONEER DRILLING CO TX 5.02,5.07 05/12/11
PIONEER NATURAL RESOURCES CO DE 5.07 05/17/11
PIXELWORKS, INC OR 5.07 05/17/11
PRIMUS GUARANTY LTD 5.07 05/17/11
PRIVATE MEDIA GROUP INC NV 5.02,9.01 05/12/11
PROASSURANCE CORP DE 5.07,9.01 05/18/11
PROGRESSIVE CORP/OH/ OH 7.01,9.01 05/18/11
PURADYN FILTER TECHNOLOGIES INC DE 2.02,7.01,9.01 05/16/11
QKL Stores Inc. DE 2.02,9.01 05/16/11
RAE SYSTEMS INC DE 1.01,9.01 05/17/11
RAYMOND JAMES FINANCIAL INC FL 5.07 02/24/11 AMEND
Real Mex Restaurants, Inc. DE 7.01,9.01 05/12/11
REPROS THERAPEUTICS INC. DE 5.02 05/18/11
RETAIL OPPORTUNITY INVESTMENTS CORP DE 8.01,9.01 01/03/11
ROGERS CORP MA 5.02,9.01 05/11/11
ROWAN COMPANIES INC DE 1.01,7.01,9.01 05/13/11
SAFEGUARD SCIENTIFICS INC PA 1.01,7.01,9.01 05/17/11
SALISBURY BANCORP INC CT 7.01,9.01 05/18/11
SANTARUS INC DE 8.01 05/17/11
SCOTTS LIQUID GOLD INC CO 8.01 05/18/11
SeaBright Holdings, Inc. DE 5.07 05/17/11
Seagate Technology plc L2 1.01,2.03,9.01 05/18/11
SELECT MEDICAL HOLDINGS CORP 8.01,9.01 05/17/11
SEMPRA ENERGY CA 5.07 05/13/11
SHUTTERFLY INC DE 5.02 05/13/11
SIGNATURE GROUP HOLDINGS INC NV 7.01,9.01 05/17/11
Sino Clean Energy Inc NV 2.02,9.01 05/17/11
Sino Green Land Corp NV 2.02,9.01 05/17/11
SINOCOKING COAL & COKE CHEMICAL INDUS FL 4.01,8.01,9.01 05/17/11
SITEL Worldwide Corp DE 1.01,2.03,5.07,9.01 05/12/11
SITEL Worldwide Corp DE 8.01,9.01 05/18/11
SkyPeople Fruit Juice, Inc FL 8.01 05/17/11
SOLITARIO EXPLORATION & ROYALTY CORP. CO 1.01,8.01,9.01 05/17/11
SOUTH CAROLINA ELECTRIC & GAS CO SC 8.01,9.01 05/17/11
SOUTH DAKOTA SOYBEAN PROCESSORS LLC 1.01,2.03,9.01 05/12/11
SOUTHERN BELLA INC DE 1.01,5.01,5.02,9.01 05/13/11
SOUTHERN FIRST BANCSHARES INC SC 5.07,7.01,9.01 05/17/11
SOUTHWEST IOWA RENEWABLE ENERGY, LLC IA 1.02,9.01 05/16/11
Spansion Inc. DE 1.01,5.02 05/12/11
SPARTAN STORES INC MI 8.01,9.01 05/17/11
SPS COMMERCE INC 5.07 05/17/11
ST. BERNARD SOFTWARE, INC. DE 2.02,9.01 05/17/11
STANCORP FINANCIAL GROUP INC OR 5.07,8.01,9.01 05/16/11
STAPLES INC DE 2.02,9.01 05/18/11
STATE BANK FINANCIAL CORP GA 2.02,8.01,9.01 05/16/11
STATE STREET Corp MA 7.01,9.01 05/18/11
StellarOne CORP VA 5.07 05/17/11
STEWARDSHIP FINANCIAL CORP NJ 5.07 05/16/11
STRATEGIC DIAGNOSTICS INC/DE/ DE 5.02,5.07 05/17/11
STRUCTURED PRODUCTS CORP CORTS TR FOR DE 8.01,9.01 05/16/11
Surge Global Energy, Inc. DE 5.02 05/18/11
SWS GROUP INC DE 5.07,7.01,9.01 05/18/11
SYNOPSYS INC DE 2.02,9.01 05/18/11
SYPRIS SOLUTIONS INC DE 1.01,2.03 05/12/11
TAIWAN FUND INC DE 7.01,9.01 04/30/11
TARGET CORP MN 2.02,8.01,9.01 05/18/11
TC PIPELINES LP DE 7.01,9.01 05/18/11
TELETOUCH COMMUNICATIONS INC DE 1.01,9.01 05/12/11
TENNECO INC DE 5.07,9.01 05/18/11
TEREX CORP DE 5.02,5.07,9.01 05/12/11
THERMO FISHER SCIENTIFIC INC. DE 8.01,9.01 05/13/11
Tianli Agritech, Inc. D8 7.01,9.01 05/16/11
TITANIUM METALS CORP DE 7.01,9.01 05/17/11
TOFUTTI BRANDS INC DE 2.02,9.01 05/17/11 AMEND
TOWER BANCORP INC PA 7.01,9.01 05/18/11
Transocean Ltd. V8 5.07 05/13/11
Treaty Energy Corp NV 5.02,9.01 05/01/11
TRIO TECH INTERNATIONAL CA 2.02,9.01 05/16/11
TRIQUINT SEMICONDUCTOR INC DE 5.07 05/13/11
TRIUMPH GROUP INC DE 9.01 05/17/11
TRUSTCO BANK CORP N Y NY 8.01,9.01 05/16/11
TSIC, Inc. DE 7.01,9.01 05/13/11
Tsingyuan Brewery Ltd. DE 4.01,9.01 05/12/11
TWIN DISC INC WI 1.01,2.03,9.01 05/18/11
Two Harbors Investment Corp. 7.01 05/18/11
Two Harbors Investment Corp. 1.01,2.03,7.01,9.01 05/17/11
UMB FINANCIAL CORP MO 8.01 05/13/11
UNIT CORP DE 1.01,2.03,8.01,9.01 05/18/11
UNITED AMERICAN HEALTHCARE CORP MI 1.01 05/18/11
UniTek Global Services, Inc. DE 2.02,9.01 05/17/11
UNITRIN INC DE 8.01 05/17/11
URSTADT BIDDLE PROPERTIES INC MD 8.01,9.01 05/16/11
USA Mobility, Inc DE 7.01,9.01 05/18/11
USANA HEALTH SCIENCES INC UT 8.01,9.01 05/18/11
VALERO ENERGY CORP/TX DE 7.01,9.01 05/18/11
VENTAS INC DE 1.01,2.01,2.03,3.02, 05/12/11
5.02,9.01
VERTEX PHARMACEUTICALS INC / MA MA 5.02,5.05,5.07 05/12/11
VONAGE HOLDINGS CORP DE 7.01 05/18/11
VYCOR MEDICAL INC DE 1.01,9.01 05/12/11
WALTER INVESTMENT MANAGEMENT CORP MD 7.01,9.01 05/18/11
WATSON PHARMACEUTICALS INC NV 5.02,5.07,9.01 05/13/11
WESTELL TECHNOLOGIES INC DE 2.02,9.01 05/18/11
Western Gas Partners LP DE 1.01,9.01 05/18/11
Western Refining, Inc. DE 7.01,9.01 05/18/11
WHITE MOUNTAINS INSURANCE GROUP LTD D0 1.01,9.01 05/17/11
WINN DIXIE STORES INC FL 2.02,9.01 05/16/11
Worlds.com, Inc. NJ 8.01 05/16/11
WRIGHT MEDICAL GROUP INC DE 9.01 01/28/11 AMEND
WYNDHAM WORLDWIDE CORP DE 5.07 05/12/11
XEROX CORP NY 8.01,9.01 05/18/11
YUKON GOLD CORP INC DE 8.01,9.01 05/18/11
http://www.sec.gov/news/digest/2011/dig051911.htm
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