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Enforcement proceedingsSecurities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Seven Public Companies for Failure to Make Required Periodic FilingsOn May 23, 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. 34-64536; File No. 3-14401) Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Seven Public Companies for Failure to Make Required Periodic FilingsOn May 23, 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 or 13a-16 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. 34-64537; File No. 3-14402) SEC Sues Two Houston Area Real Estate Developers for Misrepresentations in Connection with Fund OfferingsOn May 20, 2011, the Commission filed suit in U.S. District Court for the Southern District of Texas against Houston area real estate developers David Wallace and Costa Bajjali in connection with two fund offerings. This suit is a related case to SEC v. Albert Fase Kaleta and Kaleta Capital Management, Case No. 4:09-cv-03674 (filed Nov. 13, 2009) and SEC v. Daniel Sholom Frishberg, Case No. 4:11-cv-01097 (filed March 23, 2011). The Commission’s complaint alleges that from November 2006 through December 2008, Wallace and Bajjali offered and sold interests in the Wallace Bajjali Investment Fund II, L.P. (WB Fund) and the Laffer Frishberg Wallace Economic Opportunity Fund, L.P. (LFW Fund). The complaint further alleges that the private placement memoranda (PPMs) for these funds stated that investment in any one business would be limited—to 33% in WB Fund and 20% in the LFW Fund. Both funds exceeded the PPMs’ stated limitations by investing heavily in Business Radio Networks, L.P. d/b/a BizRadio, a struggling media company. As a result, they subjected the Funds’ investors to substantially greater investment risk than the Fund’s written materials disclosed. The complaint alleges that Wallace and Bajjali violated the Sections 17(a)(2) and (a)(3) of the Securities Act of 1933. Without admitting or denying the Commission’s allegations, Wallace and Bajjali each consented to the entry of a permanent injunction and to pay a $60,000 civil penalty. [SEC v. David Wallace and Costa Bajjali, Civ. Action No. 4:11-cv-01932 (United States District Court for the Southern District of Texas, Houston Division)] (LR-21974) SEC Charges e-Smart Technologies and Senior Executives with Securities FraudOn May 13, 2011, the Securities and Exchange Commission filed a civil action in the United States District Court for the District of Columbia against e-Smart Technologies, Inc. (e-Smart) and related individuals and entities, charging them with securities fraud and other violations of the federal securities laws. The Commission alleges, among other things, that e-Smart, its Chief Executive Officer, Mary A. Grace (Grace), and its Chief Technology Officer, Tamio Saito (Saito), each violated the anti-fraud provisions of the federal securities laws by making materially fraudulent statements to the public in e-Smart’s 2006 annual report filed with the Commission on Oct. 24, 2007. In that filing, Grace and Saito falsely represented that e-Smart’s product—a multi-functional biometric identification verification system (also known as a “smart card”)—had certain technical capabilities that it did not actually possess and was ready for immediate deployment, when in fact it was not. The complaint further alleges that e-Smart and its CEO Grace issued a fraudulent press release on Feb. 26, 2008, claiming that e-Smart had executed a contract with a well-known South Korean company for the sale of twenty million e-Smart “smart cards.” In actuality, the executed supply contract did not include any obligation on the part of the South Korean company to purchase even a single “smart card.” Additionally, the complaint alleges that from approximately early 2005 through 2007, e-Smart, Grace, two related companies, IVI Smart Technologies, Inc. (n/k/a e-Smart Technologies International, Inc.) (IVI) and Intermarket Ventures, Inc. (Intermarket), and three stock promoters acting as unregistered broker-dealers, Kenneth A. Wolkoff (Wolkoff), George Sobol (Sobol), and Robert J. Rowen (Rowen), each violated the registration requirements of the Securities Act of 1933 (Securities Act) through unregistered stock offerings of approximately four hundred million shares of e-Smart stock, which generated tens of millions of dollars in ill-gotten gains. The Commission’s complaint also alleges that e-Smart failed to make required periodic reports, failed to keep and maintain accurate books and records and failed to devise and maintain effective internal accounting controls. The complaint alleges that Grace aided and abetted these violations. The complaint further alleges that Grace and Saito violated the ownership reporting requirements for officers of a public company by failing to file reports of ownership and changes of ownership with the Commission, and that Grace violated the certification requirements for a principal officer of a public company by certifying false SEC filings. The complaint further alleges that e-Smart violated Sections 5(a) and (c) of the Securities Act and Sections 10(b), 13(a), and 13(b)(2)(A) and (B) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 10b-5, 12b-20, 13a-1, 13a-11, and 13a-13 thereunder. The complaint alleges that Grace violated Sections 5(a) and (c) of the Securities Act and Sections 10(b) and 16(a) of the Exchange Act and Rules 10b-5, 13a-14 and 16a-3 thereunder and that Grace aided and abetted violations of Section 13(a), 13(b)(2)(A) and (B) of the Exchange Act and Rules 12b-20, 13a-1, 13a-11 and 13a-13 thereunder. The complaint alleges that IVI, Intermarket, Wolkoff, Sobol and Rowen violated Sections 5(a) and (c) of the Securities Act, and Wolkoff, Sobol and Rowen also violated Section 15(a) of the Exchange Act. Finally, the complaint alleges that Saito violated Sections 10(b) and 16(a) of the Exchange Act and Rules 10b-5 and 16a-3 thereunder. In its complaint, the Commission seeks a final judgment permanently enjoining the defendants from future violations of the foregoing provisions, ordering each defendant to disgorge all ill-gotten gains, plus prejudgment interest, ordering each defendant to provide an accounting of all monies received, ordering each defendant to pay civil penalties, barring Grace, Saito, Wolkoff, Sobol and Rowen from engaging in any offering of a penny stock, and barring Grace and Saito from serving as an officer or director of a public company. [SEC v. e-Smart Technologies, Inc., et al., United States District Court for the District of Columbia, Civil Action No. 1:11-cv-00896-JEB] (LR-21976) Self-regulatory organizationsImmediate Effectiveness of Proposed Rule ChangeA proposed rule change (SR-NASDAQ-2011-069) filed by The NASDAQ Stock Market relating to routing fees 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. 34-64534) 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 SaasMAX, Inc., 3270 CAMINITO EASTBLUFF, #95, LA JOLLA, CA, 92037,
858-518-0447 - 1,000,500 ($200,100.00) Equity, (File 333-174403 -
May. 23) (BR. )
S-1 M Street Gallery Inc., 815 W BOYNTON BEACH BLVD. UNIT 4-101,
BOYNTON BEACH, FL, 33426, 561-200-7721 - 145,000 ($14,500.00) Equity,
(File 333-174404 - May. 23) (BR. )
S-1 Ceres, Inc., 1535 RANCHO CONEJO BLVD., THOUSAND OAKS, CA, 91320,
805-376-6500 - 0 ($100,000,000.00) Equity, (File 333-174405 - May. 23)
(BR. )
S-3 Willbros Group, Inc.\NEW\, 4400 POST OAK PARKWAY, SUITE 1000, HOUSTON,
TX, 77027, 713-403-8000 -
0 ($300,000,000.00) Unallocated (Universal) Shelf, (File 333-174406 -
May. 23) (BR. 04C)
S-3ASR COSTAR GROUP INC, 1331 L STREET NW, WASHINGTON, DC, 20005, 2023466500 -
0 ($0.00) Unallocated (Universal) Shelf, (File 333-174407 - May. 23)
(BR. 03C)
S-8 Legend Oil & Gas, Ltd., 601 UNION ST STE 4500, SEATTLE, WA, 98106,
206-838-9735 - 4,500,000 ($9,855,000.00) Equity, (File 333-174413 -
May. 23) (BR. 04)
S-8 COMCAST CORP, 78,500,000 ($1,946,015,000.00) Equity, (File 333-174416 -
May. 23) (BR. 11C)
S-8 COMCAST CORP, 0 ($64,454,000.00) Equity, (File 333-174417 - May. 23)
(BR. 11C)
S-1 ATEL 15, LLC, ATEL FINANCIAL SERVICES, LLC,
600 CALIFORNIA STREET, 6TH FLOOR, SAN FRANCISCO, CA, 94108,
415-989-8800 - 0 ($150,000,000.00) Equity, (File 333-174418 - May. 23)
(BR. )
S-1 PAETEC Holding Corp., (585) 340-2500 - 0 ($4,921,507.00) Equity,
(File 333-174419 - May. 23) (BR. 11A)
S-1 UNITED COMMUNITY BANKS INC, P O BOX 398, 59 HIGHWAY 515, BLAIRSVILLE,
GA, 30512, 5818073041 - 0 ($36,002,077.50) Equity, (File 333-174420 -
May. 23) (BR. 07C)
S-8 RADIAN GROUP INC, 1601 MARKET STREET, 12TH FLOOR, PHILADELPHIA, PA,
19103, 2155646600 - 3,150,000 ($14,710,500.00) Equity,
(File 333-174428 - May. 23) (BR. 01B)
S-3ASR APACHE CORP, 2000 POST OAK BLVD, STE 100, HOUSTON, TX, 77056-4400,
7132966000 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-174429 - May. 23) (BR. 04B)
N-2 BABSON CAPITAL GLOBAL FLOATING RATE & INCOME FUND,
C/O BABSON CAPITAL MANAGEMENT LLC, 201 SOUTH COLLEGE STREET, STE. 2400,
CHARLOTTE, NC, 28244, 704-347-6798 - 40,000 ($1,000,000.00) Equity,
(File 333-174430 - May. 23) (BR. )
N-2 CALAMOS GLOBAL TOTAL RETURN FUND, 2020 CALAMOS COURT,
C/O CALAMOS ADVISORS LLC, NAPERVILLE, IL, 60563, 6302451046 -
0 ($75,000,000.00) Equity, (File 333-174431 - May. 23) (BR. 16)
S-4 VALASSIS COMMUNICATIONS INC, 19975 VICTOR PARKWAY, LIVONIA, MI, 48152,
3135913000 - 0 ($260,000,000.00) Non-Convertible Debt,
(File 333-174432 - May. 23) (BR. 11A)
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
57th Street General Acquisition Corp DE 1.01,2.01,3.02,3.03, 05/23/11 AMEND
5.01,5.03,5.06,8.01,
9.01
ABERCROMBIE & FITCH CO /DE/ DE 2.02,8.01,9.01 05/23/11
AETNA INC /PA/ PA 5.02,5.07,9.01 05/20/11
AFC ENTERPRISES INC MN 5.07 05/19/11
AKAMAI TECHNOLOGIES INC DE 5.02,5.07,9.01 05/18/11
ALIGN TECHNOLOGY INC DE 5.02,5.07,9.01 05/19/11
ALLSTATE CORP DE 1.01,9.01 05/17/11
Alon Refining Krotz Springs, Inc. DE 8.01 05/20/11
Alon USA Energy, Inc. DE 8.01 05/20/11
Altisource Portfolio Solutions S.A. N4 5.02,5.07 05/18/11
AMBASSADORS INTERNATIONAL INC DE 7.01,9.01 05/20/11
American Railcar Industries, Inc. ND 7.01,9.01 05/23/11
American Retail Group, Inc. NV 1.01,2.01,3.02,4.01, 02/11/11 AMEND
5.01,5.02,5.06,9.01
AMERICAN RIVER BANKSHARES CA 5.07,8.01,9.01 05/20/11
American Water Works Company, Inc. DE 7.01,9.01 05/23/11
AMGEN INC DE 5.07,9.01 05/20/11
AMSURG CORP TN 5.02,9.01 05/19/11
AMSURG CORP TN 5.07 05/19/11
AMYLIN PHARMACEUTICALS INC DE 2.03,9.01 05/23/11
ANDAIN, INC. NV 1.01,1.02,3.02,9.01 05/22/11 AMEND
ANN INC. DE 5.07 05/18/11
ANNAPOLIS BANCORP INC MD 5.07 05/23/11
ANTARES PHARMA, INC. DE 5.02,5.07,9.01 05/17/11
ARCA biopharma, Inc. DE 5.07 05/20/11
ARES CAPITAL CORP MD 2.02,7.01,9.01 05/23/11
ARGENTEX MINING CORP DE 3.02 05/17/11
Argo Group International Holdings, Lt 7.01,9.01 05/23/11
ASHLAND INC. KY 7.01,9.01 05/23/11
Asia Green Agriculture Corp NV 1.01,2.01,3.02,4.01, 08/20/10 AMEND
5.01,5.02,5.06,9.01
ASSURED GUARANTY LTD D0 7.01 05/23/11
Atlantic Southern Financial Group, In 1.03,9.01 05/20/11
AtriCure, Inc. DE 5.07 05/18/11
AVON PRODUCTS INC NY 5.02 05/20/11
AXION INTERNATIONAL HOLDINGS, INC. CO 2.02,9.01 05/19/11
AXT INC DE 5.07 05/23/11
B&G Foods, Inc. DE 5.07 05/17/11
BANK OF THE JAMES FINANCIAL GROUP INC VA 5.07,9.01 05/17/11
BEL FUSE INC /NJ NJ 5.07 05/23/11
BioScrip, Inc. DE 1.01 05/18/11
BLACK BOX CORP DE 5.02,8.01 05/17/11
Blue Earth, Inc. NV 9.01 12/30/10 AMEND
BLUE NILE INC DE 1.01,2.03,5.07,9.01 05/17/11
BOTTOMLINE TECHNOLOGIES INC /DE/ DE 8.01,9.01 05/23/11
BRIGHTPOINT INC IN 2.05,9.01 05/17/11
Bronco Drilling Company, Inc. DE 1.01,8.01,9.01 05/17/11
BTU INTERNATIONAL INC DE 5.07 05/20/11
BUCYRUS INTERNATIONAL INC DE 8.01,9.01 05/20/11
CAESARS ENTERTAINMENT Corp DE 1.01,2.03,7.01,9.01 05/16/11 AMEND
CALLIDUS SOFTWARE INC DE 1.01,2.03,3.02,8.01, 05/17/11
9.01
CAMBIUM LEARNING GROUP, INC. 1.01,5.02,5.07,9.01 05/17/11
CAMPBELL SOUP CO NJ 2.02,9.01 05/23/11
CARMIKE CINEMAS INC DE 5.02,5.07,9.01 05/20/11
CASEYS GENERAL STORES INC IA 1.01,1.02,2.03,9.01 05/23/11
CASH AMERICA INTERNATIONAL INC TX 5.07,8.01 05/18/11
CATALYST PHARMACEUTICAL PARTNERS, INC DE 5.07 05/20/11
CATERPILLAR INC DE 8.01,9.01 05/23/11
CDW Corp DE 1.01,2.03,8.01,9.01 05/19/11
CenterState Banks, Inc. FL 7.01,9.01 05/22/11
CenterState Banks, Inc. FL 7.01,9.01 05/23/11
CenterState Banks, Inc. FL 1.01,9.01 05/22/11
CENTRAL PACIFIC FINANCIAL CORP HI 5.07 05/20/11 AMEND
CEVA INC DE 5.07 05/17/11
CHILDRENS PLACE RETAIL STORES INC 5.07,9.01 05/20/11
China Bilingual Technology & Educatio NV 2.02,9.01 05/19/11
China Century Dragon Media, Inc. DE 3.01,7.01,9.01 05/17/11
CHINA FIRE & SECURITY GROUP, INC. 8.01,9.01 05/23/11
CHINA FIRE & SECURITY GROUP, INC. 1.01,9.01 05/23/11
China inSure Holdings, Inc NV 1.01,5.03 05/20/11
CHINA NORTH EAST PETROLEUM HOLDINGS L NV 8.01 05/23/11
CIBER INC DE 5.07 05/18/11
CINCINNATI FINANCIAL CORP OH 7.01,9.01 05/20/11
CINTAS CORP WA 8.01,9.01 05/18/11
CITIZENS & NORTHERN CORP PA 5.07 05/19/11 AMEND
CITIZENS FIRST CORP KY 5.07 05/18/11
CLAIBORNE LIZ INC DE 5.02,5.07,9.01 05/19/11
CLIFFS NATURAL RESOURCES INC. OH 5.07 05/17/11
CNL Macquarie Global Growth Trust, In MD 1.01,2.01,2.03,8.01, 05/17/11
9.01
COBIZ FINANCIAL INC CO 5.07 05/19/11
COHEN & STEERS INC 5.07 05/19/11
COMMAND SECURITY CORP NY 5.02,9.01 05/17/11
COMMERCIAL BANCSHARES INC \OH\ OH 5.07 05/19/11
COMMONWEALTH BANKSHARES INC VA 5.03,8.01,9.01 05/17/11
COMMUNITY BANK SHARES OF INDIANA INC IN 5.03,5.07,9.01 05/17/11
CONCHO RESOURCES INC DE 1.01,2.03,9.01 05/18/11
Convio, Inc. DE 5.07 05/19/11
Copano Energy, L.L.C. 5.02,5.07,8.01 05/17/11
CORTEX PHARMACEUTICALS INC/DE/ DE 2.02,9.01 05/23/11
COSTAR GROUP INC DE 1.01,7.01,8.01,9.01 05/20/11
COVER ALL TECHNOLOGIES INC DE 8.01,9.01 05/23/11
CRANE CO /DE/ DE 5.02,9.01 05/23/11
CRYOLIFE INC FL 5.07 05/18/11
CSG SYSTEMS INTERNATIONAL INC DE 5.02,5.07,9.01 05/17/11
CVB FINANCIAL CORP CA 5.07 05/18/11
CVR ENERGY INC DE 5.07 05/18/11
CVR ENERGY INC DE 9.01 04/13/11 AMEND
CVR ENERGY INC DE 1.01,9.01 04/07/11 AMEND
CVR PARTNERS, LP DE 5.02,9.01 05/23/11
CYMER INC NV 5.02,5.07,9.01 05/19/11
DDI CORP CA 5.07 05/17/11
Denarii Resources Inc. NV 3.01,9.01 05/10/11 AMEND
DENNYS CORP DE 5.07 05/18/11
Digerati Technologies, Inc. NV 8.01,9.01 05/19/11
Digital Systems, Inc. CO 7.01,9.01 05/18/11
Discover Financial Services DE 7.01,9.01 05/23/11
DIVERSIFIED GLOBAL HOLDINGS GROUP INC FL 1.01,2.01,3.02,8.01, 05/02/11
9.01
DOMINION RESOURCES BLACK WARRIOR TRUS DE 2.02,9.01 05/19/11
DORAL FINANCIAL CORP PR 7.01,9.01 05/23/11
EAGLE MATERIALS INC DE 5.02 05/17/11
EastBridge Investment Group Corp AZ 1.01,9.01 05/23/11
EBIX INC DE 5.02 05/17/11
ELOYALTY CORP DE 5.02,5.07 05/17/11
Emergent BioSolutions Inc. DE 5.07 05/19/11
ENERGY FOCUS, INC/DE DE 3.01 05/18/11
EQUITY RESIDENTIAL MD 8.01,9.01 05/23/11
EVCARCO, INC. NV 5.02,9.01 05/15/11
Extra Space Storage Inc. MD 5.07 05/17/11
FAIRCHILD SEMICONDUCTOR INTERNATIONAL DE 1.01,1.02,2.03,9.01 05/20/11
FARMER BROTHERS CO CA 1.01,5.02,9.01 05/18/11
Federal Home Loan Bank of Pittsburgh PA 5.02 05/23/11
Fidelity National Information Service 5.07 05/18/11
FIFTH THIRD BANCORP OH 7.01,9.01 05/23/11
FIRST ACCEPTANCE CORP /DE/ DE 5.02,9.01 05/17/11
FIRST CAPITAL BANCORP, INC. VA 5.07 05/18/11
FIRST CAPITAL INC IN 5.07 05/18/11
FIRST COMMUNITY BANCSHARES INC /NV/ NV 3.02,9.01 05/20/11
FIRST COMMUNITY CORP /SC/ SC 5.07 05/18/11
FIRST POTOMAC REALTY TRUST MD 5.02,5.07,9.01 05/19/11
FIRSTMERIT CORP /OH/ OH 7.01,9.01 05/23/11
FLOWSERVE CORP NY 3.03,5.03,5.07,9.01 05/19/11
FNB United Corp. NC 2.02,4.02,9.01 05/23/11
Forex International Trading Corp. NV 2.02,7.01,9.01 05/23/11
FOSTER L B CO PA 5.02,5.07,8.01,9.01 05/23/11
FRISCHS RESTAURANTS INC OH 5.02,9.01 05/23/11
FS Investment CORP MD 2.02,9.01 05/23/11
FX ENERGY INC NV 5.07 05/19/11
GENERAL DYNAMICS CORP DE 8.01 05/23/11
GENTA INC DE/ DE 8.01,9.01 05/23/11
GERMAN AMERICAN BANCORP, INC. IN 5.07 05/19/11
GLADSTONE INVESTMENT CORPORATION\DE DE 2.02,9.01 05/23/11
GLOBAL INDUSTRIES LTD LA 5.07 05/18/11
Globalstar, Inc. DE 5.07 05/17/11
Golden Minerals Co 5.07 05/19/11
GOLDEN STAR RESOURCES LTD 5.02,5.07 05/17/11 AMEND
GOLDMAN SACHS GROUP INC DE 9.01 05/23/11
GOODRICH CORP NY 1.01,1.02,2.03,9.01 05/20/11
GOODRICH PETROLEUM CORP DE 5.07 05/19/11
GOODRICH PETROLEUM CORP DE 5.02 04/05/11 AMEND
GRAPHIC PACKAGING HOLDING CO DE 5.02,5.07 05/19/11
Graymark Healthcare, Inc. OK 5.07 05/18/11
GREAT PLAINS ENERGY INC MO 7.01,9.01 05/23/11
GROUP 1 AUTOMOTIVE INC DE 7.01,9.01 05/20/11
GT Solar International, Inc. DE 2.02,7.01,9.01 05/23/11
HARVEST NATURAL RESOURCES, INC. DE 2.01,2.04,5.02,5.07, 05/17/11
9.01
HASBRO INC RI 5.02,5.07,9.01 05/19/11
Helios & Matheson Information Technol DE 1.01 05/17/11
HENRY SCHEIN INC DE 5.07 05/18/11
Herbst Gaming, LLC NV 5.03,9.01 05/20/11
HomeTown Bankshares Corp 5.02,5.07 05/17/11
HURCO COMPANIES INC IN 5.07 03/17/11 AMEND
ICONIX BRAND GROUP, INC. DE 1.01,2.03,3.02,9.01 05/17/11
IDACORP INC ID 5.07,8.01 05/23/11
IDENTIVE GROUP, INC. DE 8.01,9.01 05/23/11
IMPERIAL SUGAR CO /NEW/ TX 1.01,9.01 05/20/11
INFINERA CORP DE 5.07 05/20/11
INLAND REAL ESTATE CORP MD 7.01,9.01 05/23/11
INSMED INC VA 5.07 05/18/11
INSPERITY, INC. DE 7.01 05/20/11
INTEGRA LIFESCIENCES HOLDINGS CORP DE 5.02,5.07,9.01 05/17/11
INTEGRYS ENERGY GROUP, INC. WI 1.01,2.03,9.01 05/17/11
INTEST CORP DE 8.01 05/19/11
INTREorg SYSTEMS INC. TX 5.02 05/17/11
INVACARE CORP OH 5.02,5.07,9.01 05/19/11
IP TECHNOLOGY SERVICES, INC. DE 5.01,5.02 05/23/11
Iridium Communications Inc. DE 5.02 05/18/11
ITRACKR SYSTEMS INC FL 5.01,8.01,9.01 05/20/11
J P MORGAN CHASE & CO DE 5.02,5.07 05/17/11
JAMBA, INC. DE 2.02,5.02,5.07,8.01, 05/19/11
9.01
JUNIPER NETWORKS INC DE 5.02,5.03,5.07,9.01 05/18/11
KEATING CAPITAL INC 5.07 05/20/11
KENSINGTON LEASING, LTD. NV 2.01,3.02,5.01,5.02, 05/20/11
9.01
KIT digital, Inc. DE 2.01,3.02,9.01 05/17/11
KNIGHT TRANSPORTATION INC AZ 5.07,8.01,9.01 05/19/11
Kodiak Oil & Gas Corp B0 7.01,9.01 05/23/11
KOSS CORP DE 8.01,9.01 05/19/11
KRISPY KREME DOUGHNUTS INC NC 2.02,7.01,9.01 05/23/11
KRISPY KREME DOUGHNUTS INC NC 8.01,9.01 05/23/11
LA JOLLA PHARMACEUTICAL CO DE 8.01 05/18/11
Lantheus Medical Imaging, Inc. DE 2.02 05/23/11
LAS VEGAS RAILWAY EXPRESS, INC. DE 5.02 05/23/11
LAS VEGAS RAILWAY EXPRESS, INC. DE 5.02 05/23/11
LEAP WIRELESS INTERNATIONAL INC DE 2.03,9.01 05/23/11
LEHMAN BROTHERS HOLDINGS INC DE 7.01,9.01 05/23/11
LEVEL 3 COMMUNICATIONS INC DE 1.01,9.01 05/20/11
LEVEL 3 COMMUNICATIONS INC DE 5.07,8.01,9.01 05/19/11
LIGHTPATH TECHNOLOGIES INC DE 8.01,9.01 05/23/11
LoopNet, Inc. DE 1.01,9.01 05/20/11
LUNA INNOVATIONS INC DE 1.01,1.02,2.03,5.02, 05/18/11
7.01,9.01
MACATAWA BANK CORP MI 8.01 05/23/11
MAMMATECH CORP FL 5.03 05/23/11 AMEND
MB FINANCIAL INC /MD MD 7.01 05/23/11
MCCLATCHY CO DE 5.02,5.07 05/18/11
MCDONALDS CORP DE 5.07,7.01,9.01 05/18/11
MEADOWBROOK INSURANCE GROUP INC MI 5.07 05/19/11
MEDIA SCIENCES INTERNATIONAL INC 8.01,9.01 05/23/11
MEDICIS PHARMACEUTICAL CORP DE 5.02,5.07 05/17/11
MEDIFAST INC DE 8.01 05/18/11
MERCANTILE BANK CORP MI 5.02 05/20/11
MERCARI COMMUNICATIONS GROUP LTD CO 5.02 04/06/11
MERIDIAN INTERSTATE BANCORP INC 5.07 05/18/11
MODINE MANUFACTURING CO WI 5.02 05/18/11
MOMENTIVE SPECIALTY CHEMICALS INC. NJ 1.01,2.03,9.01 05/18/11
MONEYGRAM INTERNATIONAL INC 1.01,1.02,2.03,3.02, 05/18/11
3.03,5.03,5.07,9.01
Morgans Hotel Group Co. DE 5.07 05/18/11
MORTONS RESTAURANT GROUP INC DE 5.07 05/19/11
MS STRUCTURED SATURNS SERIES 2001-4 DE 8.01,9.01 05/17/11
MS STRUCTURED SATURNS SERIES 2002-15 DE 8.01,9.01 05/17/11
MULTI FINELINE ELECTRONIX INC 5.02,9.01 05/19/11
NASB FINANCIAL INC MO 3.01,9.01 03/31/11
NASH FINCH CO DE 9.01 05/23/11
NASH FINCH CO DE 5.03,5.07 05/23/11 AMEND
National Asset Recovery Corp. NV 3.02,5.01,9.01 05/13/11
NATIONAL INTELLIGENCE ASSOCIATION INC NV 5.02 05/19/11
NATIONAL SECURITY GROUP INC DE 5.07 05/20/11
NATIONAL SEMICONDUCTOR CORP DE 8.01,9.01 05/23/11
Net Savings Link, Inc. NV 7.01,9.01 05/23/11
NetApp, Inc. CA 5.02 05/17/11
NEVADA GOLD & CASINOS INC NV 1.01,9.01 05/20/11
NEW DRAGON ASIA CORP FL 5.07 05/20/11
New Generation Biofuels Holdings, Inc FL 1.01 05/17/11
NEWPORT CORP NV 5.02,5.07,9.01 05/17/11
Norcraft Holdings, L.P. DE 1.01,8.01,9.01 05/20/11
Norcraft Holdings, L.P. DE 7.01,8.01,9.01 05/20/11
NORFOLK SOUTHERN CORP VA 1.01,2.03,9.01 05/18/11
NORTHEAST COMMUNITY BANCORP INC X1 8.01,9.01 05/20/11
NORTHERN STATES FINANCIAL CORP /DE/ DE 5.07 05/19/11
Northfield Bancorp, Inc. X1 7.01 05/23/11
NORTHROP GRUMMAN CORP /DE/ DE 5.02,5.03,5.07 05/17/11
NOVAGEN SOLAR INC. NV 5.01 05/18/11
NOVELOS THERAPEUTICS, INC. DE 5.02,9.01 05/18/11
Novo Energies Corp FL 1.01,8.01,9.01 05/20/11
NYSE Euronext DE 8.01 02/23/11
O CHARLEYS INC TN 5.07 05/18/11
OBA Financial Services, Inc. MD 5.02,8.01,9.01 05/19/11
OCEANEERING INTERNATIONAL INC DE 7.01 05/23/11
OFFICE DEPOT INC DE 5.02,9.01 05/23/11
OLD DOMINION FREIGHT LINE INC/VA VA 5.07 05/17/11
OLD NATIONAL BANCORP /IN/ IN 5.07 05/19/11
Omnitek Engineering Corp CA 3.02 05/23/11
ONCOR ELECTRIC DELIVERY CO LLC DE 7.01,9.01 05/23/11
Oneida Financial Corp. MD 5.07,9.01 05/03/11 AMEND
OPENWAVE SYSTEMS INC DE 2.02,9.01 05/23/11
OptimumBank Holdings, Inc. FL 3.01 05/17/11
Oraco Resources, Inc. NV 1.01,2.01,3.02,5.01, 05/20/11
5.02,5.06,8.01,9.01
Orion Marine Group Inc 5.02,5.07 05/19/11
OWENS-ILLINOIS GROUP INC DE 1.01,2.03,7.01,8.01, 05/19/11
9.01
PAR PHARMACEUTICAL COMPANIES, INC. DE 1.01,5.07 05/23/11
Pebblebrook Hotel Trust MD 5.07 05/20/11
PediatRx Inc. NV 1.01,2.03,9.01 05/23/11
PEOPLES LIBERATION INC DE 5.02 05/17/11
PERMIAN BASIN ROYALTY TRUST TX 2.02,9.01 05/20/11
PERRY ELLIS INTERNATIONAL INC FL 2.02,9.01 05/23/11
PETROLEUM DEVELOPMENT CORP NV 2.02,7.01,9.01 05/20/11
PHOENIX COMPANIES INC/DE DE 5.02,5.07 05/17/11
PHOTOMEDEX INC DE 8.01 05/23/11
PHOTOTRON HOLDINGS, INC. DE 3.02,5.02,9.01 05/17/11
PIONEER BANKSHARES INC/VA 5.07 05/18/11
PLEXUS CORP WI 5.07 02/16/11 AMEND
PNC FINANCIAL SERVICES GROUP INC PA 2.02,9.01 05/23/11
POPULAR INC 7.01,9.01 05/23/11
POWERSECURE INTERNATIONAL, INC. DE 7.01,9.01 05/19/11
PREMIER EXHIBITIONS, INC. FL 5.02 05/19/11
PRINCIPAL FINANCIAL GROUP INC DE 5.02,5.07 05/17/11
PROVIDENT FINANCIAL SERVICES INC DE 8.01,9.01 05/19/11
QR Energy, LP DE 2.02,9.01 05/23/11
QUICKSILVER RESOURCES INC DE 5.07 05/18/11
RADIOSHACK CORP DE 5.02,5.03,5.07,8.01, 05/19/11
9.01
Radius Health, Inc. 1.01,2.01,3.02,5.01, 05/17/11
5.02,5.06,9.01
RAILAMERICA INC /DE DE 5.07 05/19/11
RAIT Financial Trust MD 5.07,8.01,9.01 05/17/11
RBS GLOBAL INC DE 1.01,9.01 05/23/11
READING INTERNATIONAL INC NV 8.01,9.01 05/19/11
Reef Oil & Gas Income & Development F TX 1.01,9.01 05/20/11
REGENCY CENTERS CORP FL 8.01 05/20/11
REGIONS FINANCIAL CORP DE 7.01,9.01 05/23/11
REVA Medical, Inc. DE 7.01,9.01 05/22/11
Roadrunner Transportation Systems, In DE 5.07 05/17/11
Rock-Tenn CO GA 8.01 05/20/11
RoomStore, Inc. VA 5.02 05/20/11
RR Donnelley & Sons Co DE 5.07 05/19/11
RTG VENTURES INC FL 5.02,9.01 05/23/11
SAN JUAN BASIN ROYALTY TRUST TX 2.02,9.01 05/23/11
SARATOGA INVESTMENT CORP. MD 2.02,9.01 05/23/11
SCHULMAN A INC DE 5.02,9.01 05/19/11
SCHWAB CHARLES CORP DE 5.02,5.07,9.01 05/17/11
Seagate Technology plc L2 8.01 05/20/11
SEAHAWK DRILLING, INC. DE 7.01,9.01 05/20/11
SELECTIVE INSURANCE GROUP INC NJ 7.01,9.01 05/23/11
SFN Group Inc. DE 5.02 05/23/11
SHAW GROUP INC LA 7.01,9.01 05/23/11
SHERIDAN GROUP INC DE 9.01 04/20/11 AMEND
SHERWIN WILLIAMS CO OH 8.01 05/20/11
Sino Clean Energy Inc NV 7.01 05/23/11
SKYWORKS SOLUTIONS INC DE 1.01,8.01,9.01 05/17/11
Socialwise, Inc. (formerly known as I CO 1.01,3.02,9.01 05/20/11
SOMERSET HILLS BANCORP NJ 5.02,9.01 05/19/11
SOUTHEASTERN BANKING CORP GA 5.07 05/19/11
SP Bancorp, Inc. MD 5.07,9.01 05/19/11
SPAN AMERICA MEDICAL SYSTEMS INC SC 5.07 02/18/11 AMEND
SPIRE Corp MA 5.07 05/19/11
SPS COMMERCE INC 1.01,2.01,9.01 05/17/11
SRI SURGICAL EXPRESS INC FL 5.07 05/19/11
ST JOE CO FL 5.07 05/17/11
STAG Industrial, Inc. 2.02,9.01 05/23/11
STATE STREET Corp MA 7.01,9.01 05/23/11
STEWART INFORMATION SERVICES CORP DE 5.02 05/17/11
STONE ENERGY CORP DE 1.01,5.02,5.07 05/20/11
STONERIDGE INC OH 5.02,9.01 05/17/11
SUN BANCORP INC /NJ/ NJ 8.01 05/18/11
SUNERGY INC NV 1.01,3.02,9.01 05/20/11
SUNGARD CAPITAL CORP DE 5.02,9.01 05/17/11
SUSQUEHANNA BANCSHARES INC PA 5.02 05/17/11
SYNERGY PHARMACEUTICALS, INC. FL 1.01,9.01 05/17/11
TECH DATA CORP FL 2.02,9.01 05/23/11
TechniScan, Inc. DE 1.01,2.03,9.01 05/13/11
TELEPHONE & DATA SYSTEMS INC /DE/ DE 1.02,2.04,8.01,9.01 05/19/11
TELEPHONE & DATA SYSTEMS INC /DE/ DE 5.07 05/19/11
Tennessee Valley Authority 8.01 05/18/11
Terreno Realty Corp MD 2.01,7.01,9.01 05/20/11
Terreno Realty Corp MD 5.07 05/18/11
TEXAS INSTRUMENTS INC DE 8.01,9.01 05/16/11
TEXAS INSTRUMENTS INC DE 8.01,9.01 05/23/11
TII NETWORK TECHNOLOGIES, INC. DE 5.02,5.07,9.01 05/18/11
TOREADOR RESOURCES CORP DE 1.01,9.01 05/18/11
TOWER BANCORP INC PA 9.01 04/26/11 AMEND
TOWERSTREAM CORP DE 8.01,9.01 05/19/11
TRANS WORLD ENTERTAINMENT CORP NY 2.02,7.01,9.01 05/19/11
TransMontaigne Partners L.P. DE 7.01,9.01 05/23/11
TRIAD GUARANTY INC DE 5.02,5.07 05/17/11
TrueBlue, Inc. WA 7.01,9.01 05/23/11
TRUSTCO BANK CORP N Y NY 5.07 05/19/11
Two Harbors Investment Corp. 5.07,7.01,9.01 05/17/11
Umami Sustainable Seafood Inc. NV 2.02,9.01 05/17/11
UNION FIRST MARKET BANKSHARES CORP VA 8.01,9.01 05/23/11
UNITED REFINING CO PA 8.01,9.01 05/23/11
UNITED STATES CELLULAR CORP DE 1.02,2.04,8.01,9.01 05/19/11
UNITEDHEALTH GROUP INC MN 8.01,9.01 05/23/11
UNIVERSAL CORP /VA/ VA 2.02,8.01,9.01 05/19/11
US AIRWAYS GROUP INC DE 1.01,7.01,9.01 05/20/11
VALIDUS HOLDINGS LTD 5.07 05/04/11 AMEND
Vantage Drilling CO E9 8.01,9.01 05/20/11
Verigy Ltd. U0 2.02,9.01 05/23/11
VERISIGN INC/CA DE 5.02 05/18/11
VERTEX PHARMACEUTICALS INC / MA MA 8.01 05/23/11
VIAD CORP DE 5.07 05/17/11
VILLAGE SUPER MARKET INC NJ 8.01 05/23/11
VIRGIN MEDIA INC. DE 1.01 05/20/11
Vitacost.com, Inc. DE 3.01,9.01 05/18/11
WABASH NATIONAL CORP /DE DE 7.01,9.01 05/23/11
WACCAMAW BANKSHARES INC NC 3.01,9.01 05/17/11
WASHINGTON BANKING CO WA 5.07 05/23/11
WASHINGTON REAL ESTATE INVESTMENT TRU MD 5.03,5.07,8.01,9.01 05/17/11
WCA WASTE CORP DE 8.01,9.01 05/20/11 AMEND
WHITNEY HOLDING CORP LA 5.04,9.01 05/23/11
Willbros Group, Inc.\NEW\ 8.01,9.01 05/20/11
Winwheel Bullion Inc. 5.03 05/19/11
Zhongbao International, Inc. NV 2.02,9.01 03/31/11
ZIONS BANCORPORATION /UT/ UT 9.01 05/23/11
ZIOPHARM ONCOLOGY INC DE 8.01,9.01 05/20/11
http://www.sec.gov/news/digest/2011/dig052411.htm
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