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Commission announcementsVanderbilt Professor Craig Lewis Named SEC Chief Economist and Director of RiskFin DivisionThe Securities and Exchange Commission today announced that Craig M. Lewis has been named SEC Chief Economist and Director of the Division of Risk, Strategy, and Financial Innovation (RiskFin). Dr. Lewis, the Madison S. Wigginton Professor of Finance at Vanderbilt University’s Owen Graduate School of Management, is currently a visiting scholar at the SEC and will assume his new role next month. RiskFin was created in September 2009 to provide interdisciplinary analysis to help inform the Commission’s policymaking, rulemaking, enforcement and examinations. “Professor Lewis is a distinguished economist with a clear understanding of the complexities of financial markets,” said SEC Chairman Mary L. Schapiro. “As the head of the Division, he will not only lead our qualified team of expert economists, but will also help to inject strong data-driven analysis into the SEC’s decision-making process. Dr. Lewis first served as a visiting academic fellow at the SEC from January to July 2010, and subsequently returned in that same capacity in January 2011. Over this period he has provided advice on policy issues, worked on developing analytic approaches to identify violations of securities laws, and analyzed the over-the-counter derivative securities market. “His two tours as a visiting academic fellow at the SEC give him important insights into the agency’s inner workings and uniquely position him to fulfill my vision of the Division,” added Chairman Schapiro. Dr. Lewis said, “I am honored that Chairman Schapiro has offered me the opportunity to lead the Division and the SEC’s economists at this critical juncture. I look forward to fostering durable new analytic models that will promote efficient and effective work throughout the agency, from rule-writing to enforcement.” Dr. Lewis has taught corporate finance and economics since 1983 and has been on the faculty at Vanderbilt since 1986. He has won multiple awards for teaching excellence and has been a visiting professor at Dartmouth College’s Tuck School of Business, Donau University in Austria, and Goethe University in Frankfurt, Germany. In addition to teaching, Dr. Lewis has published research on volatility in stock and futures markets, margin adequacy, corporate earnings management, corporate financial policy, executive compensation, selective disclosure, and herd behavior by equity analysts. Dr. Lewis is a certified public accountant and received his undergraduate degree in accounting from Ohio State University. He completed his master’s and doctorate degrees in finance at the University of Wisconsin at Madison. RiskFin, the SEC’s first new division in 37 years, was created to act as the agency’s “think tank.” The Division encompasses the former Office of Economic Analysis, Office of Risk Assessment, and Office of Interactive Disclosure. Its staffers have expertise in disciplines including economics, risk analysis, finance, law, mathematics and statistics. (Press Rel. 2011-114) Commission MeetingsFollowing is a schedule of Commission meetings, which will be conducted under provisions of the Government in the Sunshine Act. Meetings will be scheduled according to the requirements of agenda items under consideration. Open meetings will be held in the Auditorium, Room L-002 at the Commission's headquarters building, 100 F Street, N.E., Washington, D.C. Visitors are welcome at all open meetings, insofar as space is available. Persons wishing to photograph or videotape Commission meetings must obtain permission in advance from the Secretary of the Commission. Persons wishing to tape record a Commission meeting should notify the Secretary's office 48 hours in advance of the meeting. Any member of the public who requires auxiliary aids such as a sign language interpreter or material on tape to attend a public meeting should contact SECInterpreter@SEC.gov at least three business days in advance. For any other reasonable accommodation related disability contact DisabilityProgramOfficer or call 202-551-4158. Open Meeting on Wednesday, May 25, 2011, at 9:30 a.m.The subject matter of the Open Meeting will be:
Closed Meeting on Thursday, May 26, 2011, at 2:00 p.m.The subject matter of the Closed Meeting scheduled for Thursday, May 26, 2011, will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; and other matters relating to enforcement proceedings. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551-5400. Enforcement proceedingsCommission Revokes Registration of Securities of Columbia Futures Fund for Failure to Make Required Periodic FilingsOn May 20, 2011, the Commission revoked the registration of each class of registered securities of Columbia Futures Fund 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, Columbia Futures Fund 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 Columbia Futures Fund 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 Columbia Futures Fund’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against Columbia Futures Fund in In the Matter of Columbia Futures Fund, et al., Administrative Proceeding File No. 3-14366. 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 Columbia Futures Fund, et al., Administrative Proceeding File No. 3-14366, Exchange Act Release No. 64384, May 3, 2011. (Rel. 34-64526; File No. 3-14366) Delinquent Filers’ Stock Registrations RevokedThe registrations of the registered securities of Dijji Corp., Hydro Environmental Resources, Inc. (n/k/a EXIM Internet Group, Inc.), and Hydrogen Power, Inc., have been revoked. Each had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, each violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocations were ordered in an administrative proceeding before an administrative law judge. (Rel. 34-64527; File No. 3-14367) Delinquent Filer’s Stock Registration RevokedThe registration of the registered securities of Clean Energy and Power, Inc., has been revoked. The company had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, it violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocation was ordered in an administrative proceeding before an administrative law judge. (Rel. 34-64528; File No. 3-14205) Initial Decision Ordering David W. Baldt to Cease and Desist From Committing or Causing Any Violations or Future Violations of the Securities Laws; Barring Him From Association With an Investment Adviser; and, Ordering the Disgorgement of $9,403.55 in Ill-Gotten Gains is FinalThe Commission has declared final the initial decision of an administrative law judge ordering that David W. Baldt cease and desist from committing or causing any violations or future violations of Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and Sections 206(1) and (2) of the Advisers Act; that David W. Baldt is barred from association with an investment adviser; and, that David W. Baldt disgore $9,403.35 in ill-gotten gains. David W. Baldt is a chartered financial analyst with over 37 years of experience in the securities industry, most notably in the area of fixed income. From 2003 until 2008, Baldt was the head portfolio manager for an investment firm, Schroder Investment Management North America Inc., located in Philadelphia. The law judge found that Baldt engaged in insider trading and tipping, when he recommended to his family members, particularly his daughter, Julia Baldt (Julia) and her mother and ex-wife of Baldt, Emily Kingsbury (Kingsbury), to sell their holdings in a Short-Term Fund that he managed, while in possession of material non-public information. In 2008, Julia, because of her growing concerns about the current market disruption, called Baldt and informed him that she wanted to sell some of her holdings in the Fund and was advised by Baldt to "go the full route," a coded signal that she should liquidate all of her holdings in the Fund. Baldt also recommended to Julia that Kingsbury should also liquidate her holdings. The law judge also found that Baldt's recommendations to his daughter and ex-wife to sell their holdings, breached his fiduciary duty to Schroder by tipping and committing insider trading by "misappropriat[ing] confidential information for securities trading purposes, in a breach of a duty owed to the source of the information." Baldt's recommendations to his daughter that she should sell her position ran counter to the best interests of the Short-Term Fund. Baldt was aware of the illiquid market, difficulty selling bonds at reasonable prices, and the directive from management to raise cash levels. By recommending that his family sell close to $2 million worth of shares exacerbated those difficulties faced by the Fund and was contrary to both management's directive and the best interests of the Short-Term Fund. (Rel. 33-9210; 34-64529; IA-3209; IC-29674; File No. 3-13887) Court Enters Final Judgments Against Defendant Entities in Action Alleging Fraud and Misappropriation of Investor AssetsOn May 13, 2011, the United States District Court for the Central District of California entered final judgments against defendants Easy Equity Asset Management, Inc. (EEAM), Easy Equity Management, L.P. (EEM), Easy Equity Partners, L.P. (EEP), Alero Equities The Real Estate Company, L.L.C. (AREC), and Alero I.X. Corporation (AIX) (collectively, Easy Equity). The judgments enjoin (i) Easy Equity from violations of Section 17(a) of the Securities Act of 1933, (ii) EEAM, EEM, EEP, and AREC from violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and (iii) EEM from violations of Sections 206(1), (2), and (4) of the Investment Advisers Act of 1940 and Rule 206(4)-8 thereunder. The Court ordered the Easy Equity entities to jointly and severally pay disgorgement of $3,581,913 and prejudgment interest of $126,988. The Court also ordered EEAM, EEM, EEP, and AIX to each pay a civil penalty of $725,000, and AREC to pay a civil penalty of $650,000. On Nov. 4, 2010, the Commission filed its complaint against Easy Equity, Alero O. Mack, Jr. (Mack), and Steven Enrico Lopez, Sr. (Lopez) alleging that from 2007 through as late as March 2010, approximately $4 million in investor funds were obtained through various fraudulent investment schemes. The Commission’s case against Mack and Lopez is continuing. For further information, see Litigation Release No. 21731 (Nov. 4, 2010). [SEC v. Alero Odell Mack, Jr., et al., Civil Action No. CV 10-8383 DSF (PJWx) (C.D. Cal.)] (LR-21973) Self-regulatory organizationsImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by NYSE Arca to permit the listing of additional expiration months if such expiration months are listed on another exchange (SR-NYSEArca-2011-28) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of May 23. (Rel. 34-64518) A proposed rule change filed by NYSE Amex to permit the listing of additional expiration months if such expiration months are listed on another exchange (SR-NYSEAmex-2011-33) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of May 23. (Rel. 34-64519) A proposed rule change, filed by NASDAQ OMX PHLX relating to Qualified Contingent Cross fees (SR-Phlx-2011-66) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of May 23. (Rel. 34-64520) The Commission issued notice of filing and immediate effectiveness of proposed rule change (SR-NYSEArca-2011-29) filed by NYSE Arca under Rule 19b-4 of the Securities Exchange Act of 1934 to reduce the minimum order entry size of a mid-point passive liquidity order from 100 shares to one share. Publication is expected in the Federal Register during the week of May 23. (Rel. 34-64523) Proposed Rule ChangesNYSE Amex has filed a proposed rule change (SR-NYSEAmex-2011-34) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 amending NYSE Amex Equities Rule 70.40(3) to permit member organizations to engage in proprietary trading from their approved booth premises in certain OTC Bulletin Board and OTC Markets securities. Publication is expected in the Federal Register during the week of May 23. (Rel. 34-64521) The New York Stock Exchange has filed a proposed rule change (SR-NYSE-2011-22) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 amending NYSE Rule 70.40(3) to permit member organizations to engage in proprietary trading from their approved booth premises in certain OTC Bulletin Board and OTC Markets securities. Publication is expected in the Federal Register during the week of May 23. (Rel. 34-64522) 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-3ASR MDU RESOURCES GROUP INC, 1200 WEST CENTURY AVENUE, BISMARCK, ND, 58503,
701-530-1059 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-174326 - May. 19) (BR. 04B)
S-8 TRIQUINT SEMICONDUCTOR INC, 2300 NE BROOKWOOD PARKWAY, HILLSBORO, OR,
97124, 5036159000 - 6,901,096 ($91,025,456.24) Equity,
(File 333-174327 - May. 19) (BR. 10C)
S-8 IRVINE SENSORS CORP/DE/, 3001 REDHILL AVE, COSTA MESA, CA, 92626,
7145498211 - 0 ($6,510,000.00) Equity, (File 333-174328 - May. 19)
(BR. 10B)
S-3 EMCLAIRE FINANCIAL CORP, 612 MAIN ST, EMLENTON, PA, 16373, 7248672311 -
290,004 ($4,657,464.00) Equity, (File 333-174329 - May. 19) (BR. 07A)
S-8 STANDARD MOTOR PRODUCTS INC, 37 18 NORTHERN BLVD, LONG ISLAND CITY, NY,
11101, 7183920200 - 1,200,000 ($17,028,000.00) Equity,
(File 333-174330 - May. 19) (BR. 10C)
S-3 TRUSTCO BANK CORP N Y, 5 SARNOWSKI DRIVE, GLENVILLE, NY, 12302,
5183773311 - 125,000,000 ($125,000,000.00) Equity, (File 333-174331 -
May. 19) (BR. 07B)
N-2 GABELLI UTILITY TRUST, 1 CORPORATE CENTER, RYE, NY, 10580, 9149215083 -
0 ($100,000,000.00) Unallocated (Universal) Shelf, (File 333-174333 -
May. 19) (BR. 22)
S-1 UMAX GROUP CORP, STAWISINSKIEGO 4G/78, TORUN, R9, TORUN, 48601221388 -
4,000,000 ($80,000.00) Equity, (File 333-174334 - May. 19) (BR. )
S-3ASR IMMUNOGEN INC, 830 WINTER ST, WALTHAM, MA, 02451, (781)895-0600 -
0 ($0.00) Unallocated (Universal) Shelf, (File 333-174335 - May. 19)
(BR. 01A)
S-8 NORDSTROM INC, 1617 SIXTH AVENUE, SEATTLE, WA, 98101-4407, 2066282111 -
0 ($147,536,000.00) Equity, (File 333-174336 - May. 19) (BR. 09B)
S-4 Peninsula Gaming, LLC, 400 EAST 3RD STREET, DUBUQUE, IA, 52001,
563-583-7005 - 130,000,000 ($130,000,000.00) Non-Convertible Debt,
(File 333-174337 - May. 19) (BR. 05C)
S-1 KEYSTONE CONSOLIDATED INDUSTRIES INC, 5430 LBJ FWY STE 1740,
THREE LINCOLN CENTRE, DALLAS, TX, 75240, 2144580028 -
3,025,483 ($30,254,830.00) Equity, (File 333-174338 - May. 19) (BR. 06B)
S-8 SBT Bancorp, Inc., 760 HOPMEADOW STREET, P.O. BOX 248, SIMSBURY, CT,
06070, 860-408-5493 - 100,000 ($2,000,000.00) Equity,
(File 333-174339 - May. 19) (BR. 07C)
S-8 BIOJECT MEDICAL TECHNOLOGIES INC, 20245 SW 95TH AVENUE, TUALATIN, OR,
97062, 5036928001 - 0 ($65,000.00) Equity, (File 333-174340 - May. 19)
(BR. 10A)
F-3ASR Home Inns & Hotels Management Inc., LANE NO. 421 CHANG PING ROAD,
JING AN DISTRICT, SHANGHAI, F4, 200041, (8621) 3218-9988 -
0 ($305,512,208.26) ADRs/ADSs,
0 ($184,000,000.00) Non-Convertible Debt, (File 333-174341 - May. 19)
(BR. 08B)
S-8 Bank of New York Mellon CORP, ONE WALL STREET, NEW YORK, NY, 10286,
212-495-1784 - 30,000,000 ($847,500,000.00) Equity, (File 333-174342 -
May. 19) (BR. 07C)
S-8 CBOE Holdings, Inc., 400 SOUTH LASALLE, CHICAGO, IL, 60605,
312 786 7200 - 0 ($47,681,312.00) Equity, (File 333-174344 - May. 19)
(BR. 08)
S-1 Mobad Service Corp, 3211 OCEAN DRIVE, VERO BEACH, FL, 32963,
772.234.9999 - 50,000,000 ($22,500,000.00) Equity, (File 333-174345 -
May. 19) (BR. )
S-3ASR VENTAS INC, 111 SOUTH WACKER DRIVE, SUITE 4800, CHICAGO, IL, 60606,
(877) 483-6827 - 0 ($1,356,746,397.00) Equity, (File 333-174346 -
May. 19) (BR. 08C)
S-8 AUTHENTIDATE HOLDING CORP, CONNELL CORPORATE CENTER,
300 CONNELL DRIVE, 5TH FLOOR, BERKELEY HEIGHTS, NJ, 07922, 9087871700 -
10,000,000 ($11,170,110.50) Equity, (File 333-174347 - May. 19)
(BR. 03B)
S-3 PDI INC, MORRIS CORPORATE CENTER 1, BUILDING A, 300 INTERPACE PARKWAY,
PARSIPPANY, NJ, 07054, 8622077800 -
0 ($75,000,000.00) Unallocated (Universal) Shelf, (File 333-174348 -
May. 19) (BR. 03A)
S-8 CORE MOLDING TECHNOLOGIES INC, 800 MANOR PARK DRIVE, P O BOX 28183,
COLUMBUS, OH, 43228, 8006666960 - 0 ($499,637.00) Equity,
(File 333-174349 - May. 19) (BR. 06B)
S-8 GERON CORP, 230 CONSTITUTION DRIVE, MENLO PARK, CA, 94025, 6504737700 -
33,537,826 ($179,855,527.55) Equity, (File 333-174350 - May. 19)
(BR. 01A)
S-8 PALMETTO BANCSHARES INC, 301 HILLCREST DR, P O BOX 49, LAURENS, SC,
29360, 8649844551 - 0 ($6,000,000.00) Equity, (File 333-174351 -
May. 19) (BR. 07B)
S-8 ENDURANCE SPECIALTY HOLDINGS LTD, 4 PAR LA VILLE ROAD,
HAMILTON HM 08 BERMUDA, D0, 00000, 441-278-0400 -
0 ($8,548,000.00) Equity, (File 333-174352 - May. 19) (BR. 01C)
Recent 8K FilingsForm 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. STATE
NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT
3Power Energy Group Inc. NV 1.01,2.01,3.02,5.02, 05/13/11 AMEND
5.03,5.06,9.01
5to1 Holding Corp. DE 1.01,3.03,5.07,8.01, 05/16/11
9.01
A. H. Belo CORP DE 5.07 05/18/11
AAON INC NV 5.07,8.01,9.01 05/17/11
ADAMS RESOURCES & ENERGY, INC. DE 5.07 05/19/11
Ads In Motion, Inc. DE 4.01 02/08/11 AMEND
AEROPOSTALE INC 2.02,9.01 05/19/11
AGENUS INC DE 8.01,9.01 05/18/11
ALASKA PACIFIC BANCSHARES INC AK 5.07,9.01 05/17/11
ALION SCIENCE & TECHNOLOGY CORP DE 2.02,7.01,8.01 05/19/11 AMEND
ALKERMES INC PA 5.02,9.01 05/17/11
Allezoe Medical Holdings Inc DE 4.01 04/18/11 AMEND
Allied Nevada Gold Corp. DE 7.01,9.01 05/19/11
Ally Master Owner Trust 1.01,8.01,9.01 05/18/11
ALTRIA GROUP, INC. VA 5.07,7.01,9.01 05/19/11
AMERIANA BANCORP IN 7.01,9.01 05/19/11
AMERICAN NATIONAL BANKSHARES INC VA 5.07 05/19/11
American Realty Capital Trust, Inc. DE 2.02,8.01,9.01 05/17/11
AMERICAN TOWER CORP /MA/ DE 5.07,8.01,9.01 05/18/11
AMERISOURCEBERGEN CORP DE 5.07 02/17/11 AMEND
AMPAL-AMERICAN ISRAEL CORP NY 2.02,7.01,9.01 05/19/11
ANGIODYNAMICS INC DE 5.02,9.01 05/13/11
Annec Green Refractories Corp DE 8.01,9.01 05/17/11
APD ANTIQUITIES, INC. NV 5.02 05/13/11
Aquilex Holdings LLC DE 2.02,9.01 05/16/11
ARCH CHEMICALS INC VA 1.01,1.02,2.03,8.01, 05/13/11
9.01
Archipelago Learning, Inc. DE 3.01 05/16/11
ARUBA NETWORKS, INC. DE 2.02,9.01 05/19/11
Asia Carbon Industries, Inc. MD 8.01,9.01 05/19/11
ASTORIA FINANCIAL CORP DE 8.01,9.01 05/19/11
ATHENA SILVER CORP CA 7.01,9.01 05/19/11
ATHEROS COMMUNICATIONS INC DE 8.01 05/19/11
Augme Technologies, Inc. DE 2.02,9.01 05/16/11 AMEND
AUTODESK INC DE 2.02,9.01 05/19/11
AUTOMATIC DATA PROCESSING INC DE 5.02,9.01 05/19/11
BANCORP RHODE ISLAND INC 5.07,9.01 05/18/11
Bancorp, Inc. 5.07 05/12/11
BAR HARBOR BANKSHARES ME 5.07 05/17/11
BAY BANKS OF VIRGINIA INC VA 5.03,5.07,9.01 05/16/11
Beacon Federal Bancorp, Inc. MD 5.07 05/19/11
BEHRINGER HARVARD MULTIFAMILY REIT I 7.01,9.01 05/19/11
BELDEN INC. DE 5.03,5.07,9.01 05/18/11
Beneficial Mutual Bancorp Inc X1 7.01,9.01 05/19/11
Bidz.com, Inc. CA 5.07 05/17/11
Biodel Inc 5.03,8.01,9.01 05/17/11
BIOZONE PHARMACEUTICALS, INC. NV 2.01,3.02,5.06,9.01 05/16/11
BJs RESTAURANTS INC CA 8.01,9.01 05/18/11
BlackRock Inc. DE 1.01,2.03,9.01 05/19/11
BON TON STORES INC PA 2.02,9.01 05/19/11
BOSTON PROPERTIES INC DE 5.07 05/17/11
BOSTON PROPERTIES LTD PARTNERSHIP DE 5.07 05/17/11
BOTETOURT BANKSHARES INC VA 5.07 05/19/11
Bridgepoint Education Inc DE 8.01 05/18/11
BRIGGS & STRATTON CORP WI 8.01,9.01 05/16/11
BRIGHAM EXPLORATION CO DE 1.01,2.03,9.01 05/16/11
BROADRIDGE FINANCIAL SOLUTIONS, INC. DE 9.01 01/07/11 AMEND
BROCADE COMMUNICATIONS SYSTEMS INC DE 2.02,9.01 05/19/11
BUCKLE INC NE 2.02,9.01 05/19/11
BUCYRUS INTERNATIONAL INC DE 7.01,9.01 05/19/11
BURLINGTON NORTHERN SANTA FE, LLC 1.01,2.03,9.01 05/16/11
C & F FINANCIAL CORP VA 8.01,9.01 05/18/11
CACI INTERNATIONAL INC /DE/ DE 1.01,9.01 05/17/11
CALLAWAY GOLF CO DE 5.07 05/18/11
CARNIVAL CORP DE 1.01,1.02,2.03 05/18/11
CARTERS INC DE 5.07 05/13/11
CASUAL MALE RETAIL GROUP INC DE 2.02,9.01 05/19/11
CATERPILLAR INC DE 7.01 05/19/11
CC Media Holdings Inc 5.07 05/17/11
CDI CORP PA 5.02,5.07 05/16/11
CECO ENVIRONMENTAL CORP DE 5.07 05/17/11
Cereplast Inc NV 1.01,3.02,9.01 05/18/11
Chelsea Therapeutics International, L DE 5.07 05/18/11
CHESAPEAKE ENERGY CORP OK 7.01,8.01,9.01 05/16/11
CHICOS FAS INC FL 2.02,9.01 05/18/11
CHILDRENS PLACE RETAIL STORES INC 2.02,9.01 05/19/11
CHINA AUTOMOTIVE SYSTEMS INC DE 3.01,9.01 05/16/11
China Integrated Energy, Inc. DE 3.01 05/16/11
CHINA JO-JO DRUGSTORES, INC. 4.01,9.01 05/19/11 AMEND
China MediaExpress Holdings, Inc. DE 3.01,9.01 05/17/11
CHINA SHOUGUAN MINING Corp NV 1.01 05/06/11
China Wind Systems, Inc DE 2.02,9.01 05/16/11
CHROMCRAFT REVINGTON INC DE 2.02,5.07,9.01 05/13/11
Chrysler Group LLC DE 8.01,9.01 05/19/11
CIMAREX ENERGY CO DE 5.07 05/18/11
CITIGROUP INC DE 9.01 05/16/11
CLAIBORNE LIZ INC DE 7.01,9.01 05/18/11
CLEAN TRANSPORTATION GROUP, INC. 1.01,9.01 05/13/11
Clear Channel Outdoor Holdings, Inc. DE 5.02,5.07 05/16/11
Clearwater Paper Corp DE 5.07 05/09/11 AMEND
CODEXIS INC 1.01 05/16/11
Colfax CORP DE 5.07 05/18/11
COMFORT SYSTEMS USA INC 7.01,9.01 05/18/11
Compass Diversified Holdings DE 5.07 05/19/11
COMSTOCK RESOURCES INC NV 5.07 05/19/11
COMVERSE TECHNOLOGY INC/NY/ NY 8.01 05/18/11
CONSOLIDATED EDISON INC NY 5.07 05/16/11
Contango ORE, Inc. DE 2.02,9.01 05/19/11
CONTINENTAL MATERIALS CORP DE 2.02,9.01 05/18/11
CORPORATE OFFICE PROPERTIES TRUST MD 7.01 05/19/11
COST PLUS INC/CA/ CA 2.02,9.01 05/19/11
CREDIT ACCEPTANCE CORP MI 5.07 05/19/11
CREDO PETROLEUM CORP DE 8.01,9.01 05/18/11
CRIMSON EXPLORATION INC. 5.07 05/17/11
DATARAM CORP NJ 1.01,9.01 05/11/11 AMEND
DECKERS OUTDOOR CORP DE 1.01,7.01,9.01 05/19/11
Deep Down, Inc. NV 2.02,9.01 05/18/11
DEL MONTE CORP 5.02,7.01,9.01 05/13/11
DELTA AIR LINES INC /DE/ DE 7.01,9.01 05/19/11
DemandTec, Inc. DE 9.01 03/11/11 AMEND
DEWMAR INTERNATIONAL BMC, INC. NV 1.01,5.02,5.03,9.01 05/17/11 AMEND
DIAMOND OFFSHORE DRILLING INC DE 8.01,9.01 05/16/11
DiamondRock Hospitality Co 7.01,9.01 05/19/11
DIME COMMUNITY BANCSHARES INC DE 5.07 05/19/11
Discovery Communications, Inc. DE 5.02,5.07 05/17/11
DOLLAR TREE INC VA 2.02,7.01,9.01 05/19/11
DORCHESTER MINERALS LP DE 5.07 05/11/11
Dorman Products, Inc. PA 1.02,5.07 05/18/11
DREW INDUSTRIES INC DE 5.07 05/18/11
Duke Energy Carolinas, LLC NC 8.01,9.01 05/19/11
DYNAVAX TECHNOLOGIES CORP DE 3.01 05/13/11
E TRADE FINANCIAL CORP DE 1.01,9.01 05/16/11
EASTON-BELL SPORTS, INC. DE 1.01,9.01 05/13/11
ECOLOGY COATINGS, INC. NV 1.01 05/19/11
ECOLOGY COATINGS, INC. NV 1.01 05/19/11 AMEND
EDGAR ONLINE INC DE 7.01 05/13/11
EMCOR GROUP INC DE 9.01 05/19/11
Empire Sports & Entertainment Holding NV 5.02,5.03,9.01 05/12/11
Encompass Group Affiliates, Inc FL 1.01,9.01 05/13/11
ENERGIZER HOLDINGS INC MO 1.01,2.03,7.01,9.01 05/16/11
ENERGY XXI (BERMUDA) LTD D0 3.02,7.01,9.01 05/16/11
ENGLOBAL CORP NV 8.01,9.01 05/18/11
EnteroMedics Inc 7.01,9.01 05/18/11
ENTERPRISE FINANCIAL SERVICES CORP DE 1.01,8.01,9.01 05/18/11
ENZON PHARMACEUTICALS INC DE 8.01,9.01 05/19/11
EVOLVING SYSTEMS INC DE 5.02,9.01 05/19/11
FARMERS & MERCHANTS BANCORP DE 5.07,8.01,9.01 05/16/11
FAUQUIER BANKSHARES, INC. VA 7.01,9.01 05/17/11
Federal Home Loan Bank of Chicago X1 2.03 05/16/11
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 05/16/11
Federal Home Loan Bank of Des Moines X1 2.03,9.01 05/17/11
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 05/19/11
Federal Home Loan Bank of New York X1 2.03,9.01 05/16/11
Federal Home Loan Bank of New York X1 8.01,9.01 05/19/11
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 05/16/11
Federal Home Loan Bank of San Francis X1 2.03 05/16/11
Federal Home Loan Bank of Seattle 2.03 05/16/11
Federal Home Loan Bank of Topeka 2.03,9.01 05/16/11
First Advantage Bancorp 5.07 05/18/11
First Business Financial Services, In 5.07 05/16/11
FIRST FINANCIAL CORP /IN/ IN 8.01,9.01 05/18/11
First Financial Northwest, Inc. WA 5.07 05/18/11
FIRST FINANCIAL SERVICE CORP KY 2.02,9.01 05/19/11
FIRST FINANCIAL SERVICE CORP KY 5.07 05/18/11
FIRSTCITY FINANCIAL CORP DE 5.03,9.01 05/18/11
FIRSTFED FINANCIAL CORP DE 8.01,9.01 05/17/11
FLEXIBLE SOLUTIONS INTERNATIONAL INC NV 2.02 05/16/11
FLORIDIAN FINANCIAL GROUP INC 5.02 05/13/11
FLOWERS FOODS INC GA 2.02,9.01 05/19/11
FNB CORP/FL/ FL 8.01 05/18/11
Forbes Energy Services Ltd. D0 8.01,9.01 05/16/11
FutureFuel Corp. DE 7.01,9.01 05/19/11
GameStop Corp. DE 2.02,9.01 05/19/11
GAP INC DE 2.02,9.01 05/19/11
General Finance CORP DE 1.01,8.01,9.01 05/12/11 AMEND
GLOBAL DIVERSIFIED INDUSTRIES INC 5.07 05/06/11
GOLDMAN SACHS GROUP INC DE 9.01 05/19/11
Google Inc. DE 8.01,9.01 05/16/11
GREAT PLAINS ENERGY INC MO 8.01,9.01 05/16/11
GREENMAN TECHNOLOGIES INC DE 2.02,9.01 05/19/11
GRYPHON GOLD CORP NV 7.01,9.01 05/18/11
GRYPHON GOLD CORP NV 1.01,9.01 05/13/11
HASBRO INC RI 8.01,9.01 05/19/11
HEARUSA INC DE 1.01,1.03,2.03,2.04, 05/16/11
9.01
HEARUSA INC DE 3.01,9.01 05/17/11
HERCULES TECHNOLOGY GROWTH CAPITAL IN MD 5.02,9.01 05/18/11
HOPFED BANCORP INC DE 5.02,5.07 05/18/11
HOST HOTELS & RESORTS, INC. MD 7.01,8.01,9.01 05/19/11
HOST HOTELS & RESORTS, INC. MD 8.01,9.01 05/19/11
HYPERCOM CORP DE 1.02,8.01 05/19/11
HYUNDAI ABS FUNDING CORP DE 1.01,9.01 05/18/11
IA GLOBAL INC DE 1.01 05/17/11
INDUSTRIAL MINERALS INC DE 7.01,9.01 05/17/11
INFINITY PHARMACEUTICALS, INC. DE 5.07,8.01,9.01 05/18/11
Inland American Real Estate Trust, In MD 8.01 05/13/11
INPHI Corp DE 5.07 05/17/11
INSIGHT ENTERPRISES INC DE 5.07 05/18/11
INTEGRAL SYSTEMS INC /MD/ MD 1.01,5.02,9.01 05/15/11
INTERNAP NETWORK SERVICES CORP DE 8.01 05/17/11
INTERNATIONAL LEASE FINANCE CORP CA 7.01,9.01 05/19/11
INTEVAC INC CA 5.02,5.07,9.01 05/18/11
INTUIT INC DE 2.02,9.01 05/19/11
INVESTORS TITLE CO NC 5.07 05/18/11
IPG PHOTONICS CORP DE 8.01 05/04/11
IRON MOUNTAIN INC DE 1.01 05/19/11
ITC Holdings Corp. MI 1.01,1.02,2.03,9.01 05/17/11
IVAX DIAGNOSTICS INC DE 8.01,9.01 05/19/11
IXYS CORP /DE/ DE 2.02,9.01 05/19/11
James River Coal CO VA 8.01 05/13/11
JUNIATA VALLEY FINANCIAL CORP PA 5.07,8.01,9.01 05/17/11
KELLOGG CO DE 1.01,2.03,9.01 05/16/11
KeyOn Communications Holdings Inc. DE 1.01,9.01 05/17/11
KEYSTONE CONSOLIDATED INDUSTRIES INC DE 1.01,2.03,8.01 05/19/11
KITE REALTY GROUP TRUST MD 8.01,9.01 05/19/11
Lake Shore Bancorp, Inc. X1 5.07 05/18/11
Lender Processing Services, Inc. DE 5.07 05/19/11
LEXINGTON REALTY TRUST MD 8.01,9.01 05/13/11
LIGHTPATH TECHNOLOGIES INC DE 8.01,9.01 05/19/11
LIMITED BRANDS INC DE 5.02 05/17/11
Limoneira CO DE 8.01,9.01 05/19/11
Lithium Exploration Group, Inc. NV 1.01,9.01 05/13/11
LoopNet, Inc. DE 5.07 05/17/11
LTS Nutraceuticals, Inc. NV 4.01,8.01,9.01 05/12/11
M&T BANK CORP NY 2.01,3.02,5.02,8.01, 05/13/11
9.01
MADISON GAS & ELECTRIC CO WI 5.02,5.07 05/17/11
MASSEY ENERGY CO DE 8.01 05/19/11
MATRIXX RESOURCE HOLDINGS, INC. DE 8.01 05/17/11
Mellanox Technologies, Ltd. L3 5.02,5.07,9.01 05/16/11
MERRILL LYNCH & CO., INC. DE 1.01,9.01 05/19/11
METABOLIX, INC. 1.01,7.01,9.01 05/19/11
MF Global Holdings Ltd. DE 2.02,9.01 05/19/11
MGE ENERGY INC WI 5.02,5.07 05/17/11
MGT CAPITAL INVESTMENTS INC DE 8.01,9.01 05/19/11
MICHAELS STORES INC DE 5.02 05/13/11
MICRON TECHNOLOGY INC DE 8.01 05/18/11
Midway Gold Corp A1 7.01,9.01 05/17/11
MINDSPEED TECHNOLOGIES, INC DE 5.02,9.01 05/16/11
MONTPELIER RE HOLDINGS LTD 5.07 05/18/11
MORGAN STANLEY DE 5.02,5.07,9.01 05/18/11
MORRIS PUBLISHING GROUP LLC GA 8.01 05/17/11
National Asset Recovery Corp. NV 8.01,9.01 05/13/11
NATIONAL OILWELL VARCO INC DE 5.07 05/19/11
Native American Energy Group, Inc. DE 8.01,9.01 05/18/11
NCO Group, Inc. DE 2.02,7.01,9.01 05/17/11
Neenah Paper Inc DE 5.07,8.01,9.01 05/18/11
NET TALK.COM, INC. FL 1.01,3.02,5.02 05/18/11
NETWORK ENGINES INC DE 7.01,9.01 05/18/11
NEW FRONTIER MEDIA INC CO 1.01,9.01 05/13/11
New York & Company, Inc. 2.02,9.01 05/19/11
NEXAIRA WIRELESS INC. NV 1.01,2.03,3.02,9.01 05/16/11
NIVS IntelliMedia Technology Group, I DE 3.01,4.01,7.01,8.01, 05/14/11
9.01
NORDSON CORP OH 2.02,9.01 05/19/11
Northwest Bancshares, Inc. MD 5.07 05/18/11 AMEND
Ocean Shore Holding Co. 5.07 05/18/11
OGE ENERGY CORP. OK 8.01,9.01 05/19/11
OGLETHORPE POWER CORP GA 7.01,9.01 05/19/11
OIL STATES INTERNATIONAL, INC DE 8.01,9.01 05/19/11
OKLAHOMA GAS & ELECTRIC CO OK 8.01,9.01 05/19/11
OMEGA PROTEIN CORP NV 8.01,9.01 05/18/11
OmniAmerican Bancorp, Inc. MD 8.01,9.01 05/19/11
OMNOVA SOLUTIONS INC OH 7.01,9.01 05/19/11
ONEOK INC /NEW/ OK 1.01,7.01,9.01 05/19/11
OPNEXT INC 2.02,9.01 05/19/11
ORASURE TECHNOLOGIES INC DE 5.02,5.07,9.01 05/17/11
OXYGEN BIOTHERAPEUTICS, INC. DE 5.02 05/13/11
P&F INDUSTRIES INC DE 1.01 05/13/11
Pacific Ethanol, Inc. DE 5.07 05/19/11
PALMETTO BANCSHARES INC SC 5.07,7.01,9.01 05/19/11
PARAMETRIC TECHNOLOGY CORP MA 5.02 05/17/11
PARK BANCORP INC DE 5.07 05/17/11
PARK CITY GROUP INC 8.01 05/19/11
Pay Mobile, Inc NV 4.01 05/17/11
PEREGRINE PHARMACEUTICALS INC DE 8.01,9.01 05/19/11
PETROHAWK ENERGY CORP DE 5.07 05/19/11
PHARMACEUTICAL PRODUCT DEVELOPMENT IN NC 5.07 05/18/11
PICO HOLDINGS INC /NEW CA 5.07 05/13/11
PIONEER POWER SOLUTIONS, INC. DE 1.01,9.01 05/13/11
PLUG POWER INC DE 3.03,5.03,9.01 05/19/11
PLURISTEM THERAPEUTICS INC NV 5.07 05/19/11
POWER EFFICIENCY CORP DE 8.01,9.01 05/17/11
Primerica, Inc. DE 5.07 05/18/11
Primo Water Corp DE 5.07,8.01,9.01 05/18/11
PROVIDENCE SERVICE CORP DE 5.02,5.07,9.01 05/17/11
PULSE ELECTRONICS CORP PA 5.02 05/19/11
Pzena Investment Management, Inc. DE 5.07 05/17/11
QEP RESOURCES, INC. DE 5.02,5.07 05/18/11
RANGE RESOURCES CORP DE 5.02,5.07,9.01 05/18/11
RAVEN INDUSTRIES INC SD 2.02,9.01 05/19/11
RAYMOND JAMES FINANCIAL INC FL 7.01,9.01 05/17/11
RealD Inc. DE 1.01,5.02,8.01,9.01 05/19/11
RED ROBIN GOURMET BURGERS INC DE 2.02,9.01 05/19/11
Regency Energy Partners LP DE 1.01,9.01 05/19/11
RESERVE PETROLEUM CO DE 5.07,8.01 05/17/11
RESPONSYS INC CA 2.02,9.01 05/19/11
REVLON CONSUMER PRODUCTS CORP DE 1.01,7.01,9.01 05/19/11
REVLON INC /DE/ DE 1.01,7.01,9.01 05/19/11
REX ENERGY CORP DE 1.01 05/13/11
RFG Acquisition II Inc. 1.01,3.02,9.01 05/16/11
RLJ Lodging Trust MD 1.01,9.01 05/13/11
ROSS STORES INC DE 2.02,9.01 05/19/11
ROYAL BANCSHARES OF PENNSYLVANIA INC PA 2.02,5.07,9.01 05/13/11
RUSH ENTERPRISES INC \TX\ TX 5.07 05/17/11
SALESFORCE COM INC DE 2.02,9.01 05/19/11
SEARS HOLDINGS CORP DE 2.02,9.01 05/19/11
SEFE, INC. NV 5.02 03/31/11
SELECTIVE INSURANCE GROUP INC NJ 7.01,9.01 05/19/11
SHOE CARNIVAL INC IN 2.02,9.01 05/19/11
Siga Resources Inc. 1.01,3.02,9.01 05/18/11
SkyShop Logistics, Inc. 1.01,3.02,9.01 05/16/11
SMG Indium Resources Ltd. DE 8.01 05/19/11
Smooth Global (China) Holdings, Inc. NV 2.01,3.02,5.01,5.02, 09/30/10
9.01
SOUTHCOAST FINANCIAL CORP SC 8.01,9.01 04/22/11
SPARTAN STORES INC MI 5.02 05/17/11
SpectrumDNA, Inc. DE 8.01 05/19/11
Standard Gold CO 5.02,9.01 05/13/11
STANDARD PACIFIC CORP /DE/ DE 5.07 05/18/11
STARTEK INC DE 5.03,9.01 03/31/11 AMEND
State Auto Financial CORP OH 8.01,9.01 05/16/11
STATE BANK FINANCIAL CORP GA 7.01,9.01 05/19/11
STERLING BANCORP NY 8.01 05/18/11
SUNOCO INC PA 2.05,2.06,9.01 05/18/11
SUNOCO LOGISTICS PARTNERS L.P. DE 2.01,9.01 05/16/11
TAKEDOWN ENTERTAINMENT INC. NV 7.01 05/05/11
TALEO CORP DE 5.07 05/17/11
TANDY BRANDS ACCESSORIES INC DE 4.01,9.01 05/16/11
TIDEWATER INC DE 8.01,9.01 05/16/11
TIDEWATER INC DE 8.01,9.01 05/16/11
TIDEWATER INC DE 2.02,9.01 05/19/11
TIFFANY & CO DE 8.01,9.01 05/19/11
TITAN INTERNATIONAL INC IL 8.01,9.01 05/19/11
TOMI Environmental Solutions, Inc. FL 1.01,9.01 05/19/11
TOMPKINS FINANCIAL CORP NY 5.07 05/16/11
TORO CO DE 2.02,9.01 05/19/11
TRANSATLANTIC PETROLEUM LTD. D0 1.01,2.02,2.03,3.01, 05/17/11
9.01
TRI VALLEY CORP DE 8.01 05/19/11
TRICO MARINE SERVICES INC DE 1.01,2.01,3.03,7.01, 05/13/11
8.01,9.01
TRUSTCO BANK CORP N Y NY 8.01,9.01 05/19/11
TRX INC/GA GA 1.01 05/19/11
UFood Restaurant Group, Inc. NV 4.02 05/03/11
UNITED FIRE & CASUALTY CO IA 5.07,7.01,8.01,9.01 05/18/11
UNITED REFINING CO PA 1.01,2.03,9.01 05/18/11
UNITED SECURITY BANCSHARES INC DE 8.01,9.01 05/19/11
UNITED STATES CELLULAR CORP DE 5.07 05/17/11
UNITED STATES CELLULAR CORP DE 5.02 05/17/11
UNITED SURGICAL PARTNERS INTERNATIONA DE 7.01,9.01 05/19/11
Universal Bioenergy, Inc. 5.03,8.01,9.01 05/19/11
Universal Business Payment Solutions DE 8.01,9.01 05/13/11
UNIVERSAL HEALTH SERVICES INC DE 5.07,9.01 05/18/11
US ECOLOGY, INC. DE 7.01,9.01 05/19/11
US GEOTHERMAL INC DE 8.01 05/19/11
USA Mobility, Inc DE 5.07 05/18/11
VERIFONE SYSTEMS, INC. DE 8.01 05/19/11
Vicor Technologies, Inc. DE 5.03,8.01,9.01 05/13/11
VIRGIN MEDIA INC. DE 8.01 05/16/11
Vyteris, Inc. NV 8.01,9.01 05/13/11
WABASH NATIONAL CORP /DE DE 7.01,9.01 05/19/11
WALTER INVESTMENT MANAGEMENT CORP MD 7.01,9.01 05/19/11
Warner Chilcott plc 5.07 05/17/11
WATERSTONE FINANCIAL INC WI 5.07 05/19/11
WESTAR ENERGY INC /KS KS 5.02,7.01,9.01 05/19/11
WESTFIELD FINANCIAL INC MA 7.01,9.01 05/19/11
WIKILOAN INC. 5.03,5.07,9.01 05/17/11
WILLIAMS SONOMA INC CA 2.02,8.01,9.01 05/19/11
WILMINGTON TRUST CORP DE 5.01,5.02,5.03,8.01, 05/13/11
9.01
WISCONSIN POWER & LIGHT CO WI 5.07 05/17/11
World Energy Solutions, Inc. DE 5.07 05/17/11
XFONE INC. NV 8.01,9.01 05/19/11
ZIOPHARM ONCOLOGY INC DE 8.01,9.01 05/18/11
Zumiez Inc WA 2.02,9.01 05/19/11
http://www.sec.gov/news/digest/2011/dig052011.htm
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