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Commission announcementsCommission MeetingsClosed Meeting on Thursday, June 2, 2011 at 2:00 p.m.The subject matter of the Closed Meeting scheduled for Thursday, June 2, 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 Columbus Networks Corporation for Failure to Make Required Periodic FilingsOn May 26, 2011, the Commission revoked the registration of each class of registered securities of Columbus Networks Corporation (CSNW) 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, CSNW 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 Columbus Networks Corporation 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 CSNW’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the charges brought against CSNW in In the Matter of American Resource Technologies, Inc., et al., Administrative Proceeding File No. 3-14378. 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 American Resource Technologies, Inc., et al., Administrative Proceeding File No. 3-14378, Exchange Act Release No. 64460 (May 11, 2011). (Rel. 34-64548; File No. 3-14378) SEC v. Gregory Adam SeibThe Securities and Exchange Commission announced that on May 2, 2011, the Honorable Richard W. Story, United States District Court for the Northern District of Georgia entered a final judgment, by consent, against Seib, permanently enjoining him from future violations of Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 promulgated thereunder. In addition to the injunctive relief, the final judgment against Seib orders him to pay $71,654.14 in civil penalties and $71,654.14 in disgorgement together with prejudgment interest thereon in the amount of $13,393.88. The Commission’s complaint in the district court action alleged that between April 27, 2007 and July 13, 2007, Seib, while working for an unregistered investment adviser, purchased call options and shares of stock in NASDAQ-listed Cambridge Display Technology, Inc. after misappropriating confidential information about a pending merger of the company from his employer, who served as an outside director of Cambridge. [SEC v. Gregory Adam Seib, Civil Action Number 1:11-cv-626-RWS (N.D.Ga.)] (LR-21978) Court Enters Judgment Against Former Chief Financial Officer of PCSEdventures!.com, Inc., Shannon M. Stith Pursuant to SettlementOn May 24, 2011, the United States District Court for the District of Idaho entered judgment against Shannon M. Stith (Stith), the former chief financial officer of PCSEdventures!.com, Inc., enjoining her from future violations of Section 13(a) of the Securities Exchange Act of 1934 and Rules 12b-20, 13a-1, 13a-11, and 13a-14 thereunder. The judgment also provides for the payment of a civil penalty, with the amount to be determined by the court in subsequent proceedings. Stith consented to the entry of the judgment without admitting or denying the allegations in the Commission’s Complaint. The complaint previously filed in this matter alleges that in March 2007, PCS publicly announced that it had obtained a $7.15 million contract with PCS Middle East and that PCS repeated this announcement in a Form 8-K filed with the Commission. The complaint alleges that the announcement was false because it failed to disclose that payment under the purported contract was contingent upon PCS Middle East first obtaining a contract and funds from the government of the Kingdom of Saudi Arabia and that neither PCS nor PCS Middle East had a contract with Saudi Arabia. It is further alleged that PCS repeated its false claims in additional press releases and filings with the Commission and that PCS did not disclose the nonexistence of a contract with Saudi Arabia for several months, during which time the false information caused the price of PCS stock to be artificially inflated. The terms of the settlement reflect credit given to Stith by the Commission for her substantial assistance in the investigation and the fact that she has entered into a cooperation agreement to assist the Commission in the ongoing related enforcement action against PCSEdventures!.com, Inc. and Anthony A. Maher. [SEC v. PCSEdventures!.com, Inc., Anthony A. Maher, and Shannon M. Stith, Civil No. 1:10-cv-00433 (USDC Idaho)] (LR-21979) Swiss Trader Settles Insider Trading ChargesThe United State Securities and Exchange Commission today announced that on May 24, 2011, the United States District Court for the Southern District of New York entered a Final Judgment as to the Defendant Giuseppe Tullio Abatemarco, a Swiss resident. The Commission’s previously filed amended complaint, Securities and Exchange Commission v. Giuseppe Tullio Abatemarco, Civil Action No. 10 Civ. 9527 (WHP) (S.D.N.Y. filed April 20, 2011), alleges that Abatemarco engaged in illegal insider trading in connection with his purchase of the securities of Martek Biosciences Corporation, a Delaware corporation headquartered in Columbia, Maryland. Abatemarco, age 40, is a Swiss resident and insurance salesman. On Dec. 21, 2010, Martek and Royal DSM, N.V., a Dutch company, announced that DSM would commence a cash tender offer to acquire all the outstanding shares of the common stock of Martek. The price of Martek stock rose 35% after the announcement. The amended complaint further alleges that in the days preceding the announcement, Abatemarco purchased 2,616 Martek call options based on material nonpublic information about the impending tender offer that he learned from a colleague who is the common-law wife of a DSM employee who was working on the tender offer. Abatemarco knew or should have known that the information was material and nonpublic. He stood to profit by about $1.2 million from the sale of the call options. On the Commission’s motion, the court froze the sale proceeds on December 22, 2010. The amended complaint alleges that Abatemarco violated antifraud and tender offer insider trading provisions of the Securities Exchange Act of 1934 (“Exchange Act”) and Exchange Act Rules. The complaint seeks a permanent injunction, disgorgement with prejudgment interest civil money penalties. Abatemarco has consented, without admitting or denying the allegations in the amended complaint, to the entry of a proposed final judgment: (1) permanently enjoining him from violating the antifraud and tender offer insider trading provisions of the Exchange Act, and Exchange Act Rules; (2) ordering him to disgorge his trading profits in the amount of $1,193,594, plus pay prejudgment interest of $1,438.85; and (3) ordering him to pay a civil penalty of $250,667.15 pursuant to the Exchange Act. [SEC v. Giuseppe Tullio Abatemarco, 10 Civ. 9527 (WHP) (S.D.N.Y.)] (LR-21980) SEC Files Insider Trading Charges Against Former NASDAQ Managing DirectorThe Securities and Exchange Commission announced that it filed a civil injunctive action today in the United States District Court for the Southern District of New York charging Donald L. Johnson, a former managing director of The NASDAQ Stock Market, with multiple instances of insider trading. According to the SEC’s complaint, Johnson held various positions at the NASD and NASDAQ for 20 years, until his retirement from NASDAQ in September 2009. From at least January 2000 to October 2006, Johnson worked in NASDAQ’s Corporate Client Group (CCG). He then transferred to the Market Intelligence Desk, a specialized department within the CCG that provides issuers with general market updates, overviews of their company’s sector, and commentary regarding the factors influencing day-to-day trading activity in their stocks. The SEC alleges that, through his positions in the CCG and Market Intelligence Desk, Johnson had frequent and significant interactions with senior executives of NASDAQ-listed issuers, including CEOs, CFOs, and investor relations officers at his assigned companies. In those interactions, company executives routinely shared confidential information with Johnson regarding impending public announcements that could affect the price of their stocks. The executives who shared nonpublic information with Johnson did so based on the understanding that it would be kept confidential and that Johnson could not use the information for his personal benefit. According to the SEC’s complaint, Johnson unlawfully traded in advance of nine announcements of material nonpublic information involving NASDAQ-listed companies from August 2006 to July 2009. Johnson took advantage of both favorable and unfavorable information that was entrusted to him in confidence by NASDAQ and its listed companies, shorting stocks on several occasions and establishing long positions in other instances. The complaint also states that Johnson often placed the trades directly from his work computer through an online brokerage account in his wife’s name. The SEC alleges that Johnson reaped illicit profits in excess of $755,000 from his illegal trading. The SEC’s complaint charges Johnson with violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and seeks permanent injunctive relief, disgorgement of illicit profits with prejudgment interest and a monetary penalty. Johnson’s wife Dalila Lopez is named as a relief defendant in the SEC’s complaint for the purpose of recovering illicit profits in her possession. Johnson also has been charged in a parallel criminal action announced by the U.S. Department of Justice today. [SEC v. Donald L. Johnson, Defendant, and Dalila Lopez, Relief Defendant, Civil Action No. 11-CV-3618 (VM) (S.D.N.Y.)] (LR-21981; Press Rel. 2011-117) Investment company act releasesHighMark Capital Management, Inc., et al.An order has been issued on an application filed by HighMark Capital Management, Inc., et al., for an order under Sections 6(c) and 17(b) of the Investment Company Act for an exemption from Section 17(a) of the Act. The order permits certain registered investment companies (Funds) to engage in principal transactions involving money market instruments with a broker-dealer that is an affiliated person of an affiliated person of the Funds. (Rel. IC-29675 – May 24) Orders of Deregistration Under the Investment Company ActOrders have been issued under Section 8(f) of the Investment Company Act declaring that each of the following has ceased to be an investment company:
Self-regulatory organizationsImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by NASDAQ OMX PHLX (SR-Phlx-2011-68) relating to Market Access Provider fee has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of May 30. (Rel. 34-64539) A proposed rule change submitted by New York Stock Exchange to establish a revenue sharing program with Correlix, Inc. and free trial period for new users (SR-NYSE-2011-13) 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 30. (Rel. 34-64542) A proposed rule change submitted by NYSE Amex to establish a revenue sharing program with Correlix, Inc. and free trial period for new users (SR-NYSEAmex-2011-20) 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 30. (Rel. 34-64543) A proposed rule change submitted by NYSE Arca to establish a revenue sharing program with Correlix, Inc. and free trial period for new users (SR-NYSEArca-2011-12) 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 30. (Rel. 34-64544) Proposed Rule ChangeBATS Exchange filed a proposed rule change (SR-BATS-2011-018) under Section 19(b)(1) of the Securities Exchange Act of 1934 to adopt rules for the qualification, listing and delisting of companies on the exchange. Publication is expected in the Federal Register during the week of May 30. (Rel. 34-64546) 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-8 ELLIE MAE INC, 4155 HOPYARD ROAD, SUITE 200, PLEASANTON, CA, 94588,
925-227-2082 - 7,418,313 ($38,163,599.44) Equity, (File 333-174460 -
May. 25) (BR. 03A)
F-1 Velti plc, FIRST FLOOR, 28-32 PEMBROKE STREET UPPER, DUBLIN, L2, 2,
33 (0) 1234 2676 - 0 ($207,119,508.00) Equity, (File 333-174461 -
May. 25) (BR. 03B)
S-8 BCD Semiconductor Manufacturing Ltd, 800 YI SHAN ROAD, SHANGHAI, H9,
00000, 29,636,764 ($32,793,687.92) Equity, (File 333-174462 - May. 25)
(BR. 10A)
S-8 DUPONT FABROS TECHNOLOGY, INC., 1212 NEW YORK AVENUE, NW, SUITE 900,
WASHINGTON, DC, 20005, 202-728-0044 - 0 ($156,618,000.00) Equity,
(File 333-174463 - May. 25) (BR. 08C)
S-8 SAFEWAY INC, 5918 STONERIDGE MALL RD, PLEASANTON, CA, 94588,
9254673000 - 0 ($503,400,000.00) Equity, (File 333-174465 - May. 25)
(BR. 02A)
S-1 TESLA MOTORS INC, 3500 DEER CREEK RD, PALO ALTO, CA, 94070,
650-681-5000 - 6,095,000 ($158,470,000.00) Equity, (File 333-174466 -
May. 25) (BR. 05C)
S-8 Shanda Games Ltd, NO. 1 OFFICE BUILDING, NO. 690 BIBO ROAD,
PUDONG NEW AREA, SHANGHAI, F4, 201203, (86-21)5050-4740 -
10,750,000 ($37,410,000.00) Equity, (File 333-174471 - May. 25)
(BR. 03B)
S-3D AMERICAN NATIONAL BANKSHARES INC, 628 MAIN ST, DANVILLE, VA, 24541,
4347925111 - 0 ($10,285,000.00) Equity, (File 333-174473 - May. 25)
(BR. 07C)
S-8 CHIPOTLE MEXICAN GRILL INC, 1401 WYNKOOP, SUITE 500, DENVER, CO, 80202,
3035954000 - 3,610,000 ($980,764,800.00) Equity, (File 333-174474 -
May. 25) (BR. 05B)
S-8 HARVARD BIOSCIENCE INC, 84 OCTOBER HILL RD, HOLLISTON, MA, 01746,
5088938999 - 3,700,000 ($18,130,000.00) Equity, (File 333-174476 -
May. 25) (BR. 10B)
S-8 CONOCOPHILLIPS, CONOCOPHILLIPS, 600 NORTH DAIRY ASHFORD ROAD, HOUSTON,
TX, 77079, 2812931000 - 0 ($7,128,000,000.00) Equity,
(File 333-174479 - May. 25) (BR. 04C)
S-1 FUNCTION (X) INC., 150 FIFTH AVENUE, SUITE 900, NEW YORK, NY, 10001,
212-231-0092 - 14,522,597 ($159,748,567.00) Equity, (File 333-174481 -
May. 25) (BR. 03C)
S-1 FIRST CHINA PHARMACEUTICAL GROUP, INC., NUMBER 504, WEST REN MIN ROAD,
KUNMING CITY, YUNNAN PROVINCE, F4, 650000, 852-2138-1668 -
16,226,770 ($19,687,791.65) Equity, (File 333-174482 - May. 25)
(BR. 11A)
F-3 Banco Santander (Brasil) S.A., AV. JUSCELINO KUBITSCHEK, 2235,
AV. JUSCELINO KUBITSCHEK, 2041, SAO PAULO, SP, D5, 04543-011,
(55 11) 3174-8589 - 0 ($272,875,000.00) Equity, (File 333-174483 -
May. 25) (BR. 07A)
S-3 CHINA RECYCLING ENERGY CORP, 12TH FLOOR, TOWER A, CHANG AN INTL BLDG,
NO. 88 NAN GUAN ZHENG XIE, XI AN CITY, SHAN XI PROVINCE, F4, 710068,
86-29-8765-1097 - 200,000,000 ($200,000,000.00) Equity,
(File 333-174484 - May. 25) (BR. 02B)
S-3ASR Weatherford International Ltd./Switzerland, 515 POST OAK BLVD.,
HOUSTON, TX, 77027, (713) 693-4000 - 0 ($0.00) Equity,
(File 333-174485 - May. 25) (BR. 04B)
S-1 RVUE HOLDINGS, INC., 100 N.E. 3RD AVENUE, SUITE 200, FT. LAUDERDALE,
FL, 33301, 954-525-6464 - 17,249,990 ($6,520,496.00) Equity,
(File 333-174486 - May. 25) (BR. 11A)
S-4 WEST CORP, 11808 MIRACLE HILLS DR, OMAHA, NE, 68154, 4025717700 -
0 ($500,000,000.00) Non-Convertible Debt, (File 333-174487 - May. 25)
(BR. 02C)
S-3 LEGACY RESERVES LP, 303 W WALL, SUITE 1400, MIDLAND, TX, 79701,
432-689-5200 - 0 ($200,000,000.00) Equity, (File 333-174488 - May. 25)
(BR. 04A)
S-4 WEST CORP, 11808 MIRACLE HILLS DR, OMAHA, NE, 68154, 4025717700 -
0 ($650,000,000.00) Non-Convertible Debt, (File 333-174489 - May. 25)
(BR. 02C)
S-4 United Fire Group, Inc., 118 SECOND AVENUE SE, P.O. BOX 73909,
CEDAR RAPIDS,, IA, 52407, 3193995700 - 0 ($495,779,679.00) Equity,
(File 333-174491 - May. 25) (BR. )
S-1 SandRidge Permian Trust, 919 CONGRESS AVENUE,
THE BANK OF NEW YORK MELLON TRUST CO. NA, AUSTIN, TX, 78701,
512 236 6599 - 0 ($720,877,500.00) Equity, (File 333-174492 - May. 25)
(BR. )
S-1 Delphi Automotive PLC, COURTNEY ROAD, HOATH WAY, GILLINGHAM, KENT, X0,
ME8 0RU, 011-44-163-423-4422 - 0 ($100,000,000.00) Equity,
(File 333-174493 - May. 25) (BR. )
F-3 Danaos Corp, 14 AKTI KONDYLI, 185 45 PIRAEUS, ATHENS, J3, 00000,
011302104496480 - 0 ($149,422,696.80) Equity, (File 333-174494 -
May. 25) (BR. 05A)
F-1 Xueda Education Group, A-4 Xibahe Beili, Chaoyang District, Beijing,
F4, 100028, (8610) 6427-8899 - 0 ($80,000,000.00) ADRs/ADSs,
(File 333-174495 - May. 25) (BR. 11)
S-8 AVON PRODUCTS INC, 1345 AVENUE OF THE AMERICAS, NEW YORK, NY,
10105-0196, 212-282-5000 - 0 ($300,300,000.00) Equity,
(File 333-174496 - May. 25) (BR. 06A)
S-8 GALLAGHER ARTHUR J & CO, TWO PIERCE PLACE, ITASCA, IL, 60143,
6307733800 - 0 ($187,235,021.00) Equity, (File 333-174497 - May. 25)
(BR. 01B)
S-8 ACTIVE NETWORK INC, 10182 TELESIS COURT, SUITE 300, SAN DIEGO, CA,
92121, 858-964-3800 - 0 ($112,079,398.00) Equity, (File 333-174498 -
May. 25) (BR. 03A)
S-8 MANHATTAN ASSOCIATES INC, 2300 WINDY RIDGE PARKWAY SUITE 700, ATLANTA,
GA, 30339, 7709557070 - 0 ($98,308,000.00) Equity, (File 333-174499 -
May. 25) (BR. 03B)
F-3 Danaos Corp, 14 AKTI KONDYLI, 185 45 PIRAEUS, ATHENS, J3, 00000,
011302104496480 - 0 ($105,000,000.00) Other, (File 333-174500 -
May. 25) (BR. 05A)
S-1 CHINA FILMS TECHNOLOGY, INC., YUNMENG ECONOMIC AND TECH. DEV. ZONE,
FIRSTA ROAD, YUNMENG, HUBEI, F4, 432500, 086-0712-4326146 -
300,000 ($300,000.00) Equity, (File 333-174501 - May. 25) (BR. )
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 8.01,9.01 05/25/11
99 CENTS ONLY STORES CA 2.02,9.01 05/25/11
ACCESS NATIONAL CORP VA 5.07 05/24/11
Addus HomeCare Corp DE 1.01,2.03,9.01 05/24/11
AIR PRODUCTS & CHEMICALS INC /DE/ DE 5.02 05/24/11
AIRGAS INC DE 5.02,7.01,9.01 05/25/11
AKORN INC LA 8.01,9.01 05/25/11
ALEXANDERS J CORP TN 5.07 05/24/11
ALLETE INC MN 8.01,9.01 05/25/11
ALLIED DEFENSE GROUP INC DE 3.03,8.01,9.01 05/23/11
AMAG PHARMACEUTICALS INC. DE 5.07 05/24/11
AMAG PHARMACEUTICALS INC. DE 5.02,9.01 05/24/11
AMERICAN CAMPUS COMMUNITIES INC MD 1.01,2.03,9.01 05/20/11
AMERICAN ELECTRIC POWER CO INC NY 7.01 05/25/11
AMERICAN ELECTRIC POWER CO INC NY 5.03,9.01 05/24/11
AMERICAN MEDICAL ALERT CORP NY 5.02,9.01 05/19/11
AMERICAN REALTY CAPITAL HEALTHCARE TR MD 1.01,8.01,9.01 05/18/11
AMERICAN RIVER BANKSHARES CA 1.01,9.01 05/24/11
AMERICAN SPECTRUM REALTY INC MD 5.07 05/25/11
American Standard Energy Corp. DE 7.01,9.01 05/25/11
Ameris Bancorp GA 7.01,9.01 05/25/11
AMICUS THERAPEUTICS INC DE 5.02,5.07,9.01 05/24/11
AMYLIN PHARMACEUTICALS INC DE 5.07 05/24/11
AMYRIS, INC. DE 5.07 05/24/11
Ancestry.com Inc. DE 5.07 05/25/11
ANGEION CORP/MN MN 5.02,8.01,9.01 05/25/11
AON CORP DE 5.02,5.03,5.07,9.01 05/20/11
Ardea Biosciences, Inc./DE DE 5.02,5.07,7.01,9.01 05/19/11
ARGENTEX MINING CORP DE 3.02 05/20/11
ARRHYTHMIA RESEARCH TECHNOLOGY INC /D DE 5.07 05/25/11
Ascena Retail Group, Inc. DE 2.02,9.01 05/25/11
ASTORIA FINANCIAL CORP DE 5.07 05/18/11 AMEND
ATHERSYS, INC / NEW DE 8.01 05/25/11
AUXILIO INC NV 5.02,5.07 05/19/11
AVISTA CORP WA 7.01 05/25/11
BAKKEN RESOURCES INC 1.01,9.01 05/20/11
BALL CORP IN 5.02,9.01 05/24/11
BARNES & NOBLE INC DE 5.02,9.01 05/23/11
BAY BANKS OF VIRGINIA INC VA 5.02,9.01 05/19/11
BEACON POWER CORP DE 1.01,3.03 05/24/11
BIO KEY INTERNATIONAL INC DE 8.01,9.01 05/19/11
BIOCANCELL THERAPEUTICS INC. 8.01 05/19/11
BIOCRYST PHARMACEUTICALS INC DE 5.02,7.01,9.01 05/19/11
BIOHEART, INC. FL 1.01,2.03,3.02,9.01 05/16/11
Biostar Pharmaceuticals, Inc. MD 8.01,9.01 05/25/11
BIOTECH HOLDRS TRUST 8.01,9.01 05/25/11
Black Raven Energy, Inc. NV 1.01 05/17/11
BlackRock Inc. DE 1.01,2.03,9.01 05/19/11
BlackRock Kelso Capital CORP DE 8.01,9.01 05/24/11
BON TON STORES INC PA 8.01,9.01 05/24/11
BRAMPTON CREST INTERNATIONAL INC NV 5.02 05/21/11
BRE PROPERTIES INC /MD/ MD 5.07 05/24/11
BROADCOM CORP CA 8.01 05/23/11
BROWN SHOE CO INC NY 2.02,7.01,9.01 05/25/11
BRUKER CORP DE 1.01,2.03,9.01 05/24/11
CABOT MICROELECTRONICS CORP DE 8.01,9.01 05/24/11
CALIFORNIA PIZZA KITCHEN, INC. DE 8.01,9.01 05/25/11
CAMCO FINANCIAL CORP DE 7.01,9.01 05/24/11
CARRIAGE SERVICES INC DE 8.01,9.01 05/24/11
CARRIZO OIL & GAS INC TX 7.01 05/24/11
CARROLLTON BANCORP MD 5.02,9.01 05/23/11
CEDAR FAIR L P DE 5.02,8.01,9.01 05/23/11
CENTRAL EUROPEAN DISTRIBUTION CORP DE 1.01,5.02,9.01 05/19/11
CENTRAL VIRGINIA BANKSHARES INC VA 5.07 05/24/11
CHARLES & COLVARD LTD NC 5.07,9.01 05/19/11
CHEVIOT FINANCIAL CORP 2.01,9.01 03/16/11 AMEND
China Industrial Waste Management Inc NV 1.01,9.01 05/19/11
China Integrated Energy, Inc. DE 5.02,9.01 05/19/11
CIMETRIX INC NV 5.07 05/21/11
Clenergen Corp NV 5.02,8.01,9.01 05/21/11
CMS ENERGY CORP MI 5.07 05/20/11
CMSF Corp CA 1.01 05/25/11
COMARCO INC CA 5.02 05/19/11
COMMUNICATIONS SYSTEMS INC MN 5.02,5.07 05/19/11
Community Bankers Trust Corp DE 5.02,5.07,8.01 05/24/11
COMMUNITY FINANCIAL SHARES INC DE 7.01,9.01 05/25/11
COMPUTER SCIENCES CORP NV 2.02,9.01 05/25/11
COMPX INTERNATIONAL INC DE 5.07,7.01,9.01 05/25/11
Conmed Healthcare Management, Inc. DE 5.07,8.01,9.01 05/24/11
CONNS INC DE 2.02,9.01 05/25/11
Copano Energy, L.L.C. 7.01,9.01 05/18/11
CORCEPT THERAPEUTICS INC DE 5.07 05/19/11
CORE LABORATORIES N V P7 5.07 05/19/11
Core-Mark Holding Company, Inc. DE 8.01,9.01 05/24/11
CORELOGIC, INC. DE 1.01,5.02,5.07,9.01 05/19/11
CORELOGIC, INC. DE 1.01,1.02,2.03,9.01 05/20/11
CORPORATE OFFICE PROPERTIES TRUST MD 8.01,9.01 05/20/11
COSTCO WHOLESALE CORP /NEW WA 2.02,9.01 05/25/11
COVENTRY HEALTH CARE INC DE 5.07 05/25/11
CROSS COUNTRY HEALTHCARE INC DE 2.02,7.01,9.01 05/25/11
CrowdGather, Inc. NV 1.01,2.01,3.02,7.01, 05/20/11
9.01
CRYO CELL INTERNATIONAL INC DE 8.01,9.01 05/25/11
CSS INDUSTRIES INC DE 2.02,9.01 05/25/11
CUBIC ENERGY INC TX 8.01,9.01 05/24/11
CUBIST PHARMACEUTICALS INC DE 5.02 05/19/11
CVB FINANCIAL CORP CA 7.01,8.01,9.01 05/24/11
DealerTrack Holdings, Inc. DE 1.01,5.07,7.01,8.01, 05/24/11
9.01
DEVRY INC DE 7.01,9.01 05/23/11
DIGITALGLOBE INC 5.07 05/24/11
DIGITALGLOBE INC 1.01 05/25/11
DIGUANG INTERNATIONAL DEVELOPMENT CO. NV 4.01 05/25/11
DILLARDS INC DE 8.01,9.01 05/25/11
Discovery Communications, Inc. DE 5.02 05/24/11
DNB FINANCIAL CORP /PA/ PA 8.01,9.01 05/25/11
Dong Xin Chemical Co., Ltd. DE 5.01,5.02,5.03,9.01 05/12/11
DOUBLE EAGLE PETROLEUM CO MD 5.07 05/24/11
DST SYSTEMS INC DE 1.01,9.01 05/19/10
DYCOM INDUSTRIES INC FL 2.02,7.01,8.01,9.01 05/24/11
DYNAVAX TECHNOLOGIES CORP DE 8.01,9.01 05/25/11
EAGLE ROCK ENERGY PARTNERS L P DE 8.01,9.01 05/24/11
ECA Marcellus Trust I DE 8.01,9.01 05/19/11
ECHELON CORP DE 5.07 05/24/11
EDUCATIONAL DEVELOPMENT CORP DE 5.02,8.01,9.01 05/25/11
EMPIRE RESORTS INC DE 8.01,9.01 05/20/11
ENDO PHARMACEUTICALS HOLDINGS INC DE 7.01,9.01 05/25/11
ENERCORP INC CO 5.02 05/25/11
Ensco plc 1.01,5.02,5.07 05/24/11
EQUITY LIFESTYLE PROPERTIES INC MD 1.01,2.03,9.01 05/19/11
EXELON CORP PA 8.01,9.01 05/25/11
EZCORP INC DE 7.01 05/18/11
Far East Wind Power Corp. NV 5.02 04/26/11
FEDERAL HOME LOAN MORTGAGE CORP 7.01,9.01 05/25/11
FGBC Bancshares, Inc. GA 1.03,9.01 05/20/11
FIFTH THIRD BANCORP OH 8.01,9.01 05/25/11
FINANCIAL INSTITUTIONS INC NY 8.01,9.01 05/25/11
First Trinity Financial CORP 8.01 05/25/11
FLEETCOR TECHNOLOGIES INC DE 5.07 05/24/11
FLOTEK INDUSTRIES INC/CN/ DE 5.02 05/19/11
Forex International Trading Corp. NV 8.01,9.01 05/24/11
Forex International Trading Corp. NV 2.02,7.01,9.01 05/25/11
FREDERICK COUNTY BANCORP INC MD 8.01 05/25/11
FSP 303 East Wacker Drive Corp. 1.01,9.01 11/24/10
FULTON FINANCIAL CORP PA 8.01 05/25/11
GALLAGHER ARTHUR J & CO DE 8.01,9.01 05/25/11
GATX CORP NY 1.01,2.03,9.01 05/24/11
GCI INC AK 1.01,2.03,7.01,9.01 05/20/11
GEN PROBE INC DE 5.02,5.07,9.01 05/19/11
GENERAL COMMUNICATION INC AK 1.01,2.03,7.01,9.01 05/20/11
Georgia-Carolina Bancshares, Inc GA 5.07 05/23/11
GLOBAL AXCESS CORP NV 5.02 05/20/11
GLOBAL CLEAN ENERGY, INC. MD 4.01,9.01 05/18/11
Global Eagle Acquisition Corp. DE 8.01,9.01 05/25/11
GLOBAL MOBILETECH, INC. NV 2.02,9.01 05/25/11
GOLDMAN SACHS GROUP INC DE 9.01 05/25/11
Good Earth Land Sales CO FL 5.07 05/25/11
Graymark Healthcare, Inc. OK 5.02,7.01,8.01,9.01 05/22/11
Greektown Superholdings, Inc. DE 7.01,9.01 05/25/11
GRUBB & ELLIS CO DE 3.01,9.01 05/19/11
GRYPHON GOLD CORP NV 7.01,9.01 05/25/11
GUESS INC DE 2.02,9.01 05/25/11
H&E Equipment Services, Inc. DE 5.07 05/24/11
HALLIBURTON CO DE 5.07 05/19/11
HALLMARK FINANCIAL SERVICES INC NV 7.01 05/25/11
HANDY & HARMAN LTD. DE 2.02,9.01 05/25/11
HARBINGER GROUP INC. DE 7.01 05/25/11
HARRIS & HARRIS GROUP INC /NY/ NY 8.01,9.01 05/25/11
HASBRO INC RI 8.01,9.01 05/25/11
HEALTHSOUTH CORP DE 7.01,9.01 05/25/11
HEARTLAND FINANCIAL USA INC DE 5.07 05/25/11 AMEND
Helix Wind, Corp. NV 5.03,7.01 05/19/11
HEMISPHERX BIOPHARMA INC DE 1.01,5.02 05/20/11
HERCULES OFFSHORE, INC. DE 7.01,9.01 05/25/11
Heron Lake BioEnergy, LLC MN 3.02,5.02,9.01 05/19/11
Heron Lake BioEnergy, LLC MN 8.01 05/19/11
HIGHWOODS PROPERTIES INC MD 8.01,9.01 05/25/11
Honda Auto Receivables 2011-2 Owner T DE 8.01,9.01 05/25/11
Honda Auto Receivables 2011-2 Owner T DE 1.01,9.01 05/25/11
HORMEL FOODS CORP /DE/ DE 2.02,9.01 05/25/11
Incoming, Inc. NV 2.01,3.02 08/18/10 AMEND
INCYTE CORP DE 5.02,5.07,9.01 05/20/11
INDEPENDENT BANK CORP MA 5.07 05/19/11
INDEPENDENT BANK CORP MA 8.01 05/25/11
Inland Diversified Real Estate Trust, MD 1.01,2.03,8.01,9.01 05/16/11
INTERCONTINENTALEXCHANGE INC 5.02,5.07,8.01 05/19/11
Intermec, Inc. DE 5.02,5.07,9.01 05/24/11
International Stem Cell CORP 2.02,9.01 05/25/11
INTERSECTIONS INC DE 7.01,9.01 05/25/11
IRONWOOD PHARMACEUTICALS INC 8.01 05/19/11
IXIA CA 5.02,5.07,9.01 05/19/11
IXYS CORP /DE/ DE 2.02,9.01 05/19/11
JAZZ PHARMACEUTICALS INC DE 5.07 05/24/11
KADANT INC DE 7.01,9.01 05/25/11
KANSAS CITY SOUTHERN DE 1.01,2.03,9.01 05/20/11
Kansas City Southern de Mexico, S.A. O5 1.01,2.03,9.01 05/20/11
KAR Auction Services, Inc. DE 1.01,2.03,9.01 05/24/11
KBS Real Estate Investment Trust II, MD 1.01 05/21/11
KEYSTONE CONSOLIDATED INDUSTRIES INC DE 5.07 05/24/11
KIRKLAND'S, INC 2.02,9.01 05/20/11
KMG CHEMICALS INC TX 5.02,9.01 05/25/11
LIQUIDITY SERVICES INC 1.01,9.01 05/24/11
LOCAL.COM DE 7.01,9.01 05/25/11
LOJACK CORP MA 5.02,5.07 05/25/11
LORAL SPACE & COMMUNICATIONS INC. DE 5.07 05/24/11
LPL Investment Holdings Inc. DE 5.07 05/19/11
LTV CORP DE 8.01,9.01 05/18/11
LTX-CREDENCE CORP MA 2.02,9.01 05/25/11
LUMINEX CORP DE 5.07,8.01 05/24/11
MACK CALI REALTY CORP MD 5.02,5.07 05/24/11
MAGNUM HUNTER RESOURCES CORP DE 9.01 05/03/11 AMEND
MARSH & MCLENNAN COMPANIES, INC. DE 5.07 05/19/11
MASTERCARD INC DE 5.02 05/23/11
MEDICAL ACTION INDUSTRIES INC DE 7.01,9.01 05/25/11
METRO BANCORP, INC. 5.07 05/20/11
MIDDLESEX WATER CO NJ 5.07,8.01 05/25/11
Molycorp, Inc. DE 8.01 05/24/11
Morgans Hotel Group Co. DE 2.01,9.01 05/23/11
MOSAIC CO DE 7.01 05/25/11
NATIONAL HEALTH INVESTORS INC MD 8.01,9.01 05/23/11
NAVIGANT CONSULTING INC DE 5.02,9.01 05/24/11
NetApp, Inc. CA 2.02,9.01 05/25/11
NEW PEOPLES BANKSHARES INC VA 4.02 05/24/11
NEXTERA ENERGY INC FL 5.02,5.07,9.01 05/20/11
NextWave Wireless Inc. DE 5.07 05/24/11
Noranda Aluminum Holding CORP DE 7.01,9.01 05/25/11
NORTHWEST NATURAL GAS CO OR 2.06,7.01,9.01 05/24/11
NORTHWESTERN CORP DE 7.01,9.01 05/25/11
NRG ENERGY, INC. DE 1.01,9.01 05/20/11
NRG ENERGY, INC. DE 1.01,2.03,3.02,8.01, 05/24/11
9.01
NTS MORTGAGE INCOME FUND DE 1.01,9.01 05/25/11
NuStar Energy L.P. DE 7.01,9.01 05/25/11
NuStar GP Holdings, LLC DE 7.01,9.01 05/25/11
NV ENERGY, INC. NV 8.01 05/23/11
OmniAmerican Bancorp, Inc. MD 5.02,5.07,9.01 05/24/11
Oxford Resource Partners LP DE 7.01,9.01 05/25/11
PAA NATURAL GAS STORAGE LP DE 9.01 05/25/11
Pacific Biomarkers, Inc. DE 1.01,9.01 05/23/11
PACIFIC PREMIER BANCORP INC DE 5.07 05/25/11
PALADIN REALTY INCOME PROPERTIES INC MD 8.01 05/24/11
PANERA BREAD CO DE 5.03,5.07,9.01 05/19/11
PAPA JOHNS INTERNATIONAL INC DE 5.02,8.01,9.01 05/20/11
PAYCHEX INC DE 5.02,9.01 05/25/11
PEPCO HOLDINGS INC DE 7.01,9.01 05/25/11
PHARMACYCLICS INC DE 5.02 05/23/11
PHC INC /MA/ MA 1.01 05/25/11
PHYTOMEDICAL TECHNOLOGIES INC NV 1.01,1.02,7.01,9.01 05/20/11
PINNACLE AIRLINES CORP DE 5.02,9.01 05/25/11
PLUG POWER INC DE 1.01,9.01 05/24/11
POLO RALPH LAUREN CORP DE 2.02,9.01 05/25/11
POSITIVEID Corp DE 1.01,2.01,3.02,7.01, 05/23/11
9.01
PPL Corp 7.01,9.01 05/25/11
PRIVATE MEDIA GROUP INC NV 3.01,9.01 05/19/11
PROASSURANCE CORP DE 7.01,9.01 05/25/11
PROLOGIS MD 5.04,9.01 05/25/11
PSS WORLD MEDICAL INC FL 7.01,8.01,9.01 05/25/11
QUANTA SERVICES INC DE 5.02,5.03,5.07,9.01 05/19/11
Quantum Assets, Inc. 4.01,5.02,9.01 05/20/11
QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 8.01,9.01 05/25/11
RADIENT PHARMACEUTICALS Corp DE 2.02,7.01,9.01 05/25/11
RAE SYSTEMS INC DE 1.01,9.01 05/24/11
RAMTRON INTERNATIONAL CORP DE 8.01,9.01 05/25/11
RANGE RESOURCES CORP DE 1.01,2.03,3.03,7.01, 05/25/11
9.01
RAYONIER INC NC 5.07 05/19/11
RDA Holding Co. 5.02,9.01 05/19/11
REAL ESTATE ASSOCIATES LTD IV CA 1.01,2.01,9.01 05/19/11
REAL ESTATE ASSOCIATES LTD VI CA 1.01,2.01,9.01 05/19/11
Real Mex Restaurants, Inc. DE 5.02,9.01 05/19/11
Red Lion Hotels CORP WA 5.03,5.07,9.01 05/19/11
Rockville Financial, Inc. /CT/ CT 7.01,9.01 05/25/11
Rovi Corp DE 5.02,9.01 05/25/11
ROWAN COMPANIES INC DE 7.01,9.01 05/25/11
RPX Corp DE 2.02,9.01 05/25/11
SAFEWAY INC DE 5.02,5.07,9.01 05/19/11
SALIX PHARMACEUTICALS LTD 8.01,9.01 05/20/11
SANDERSON FARMS INC MS 2.02,9.01 05/24/11
SCIQUEST INC DE 5.02,9.01 05/25/11
SeaCube Container Leasing Ltd. 5.07 05/25/11
SEITEL INC DE 1.01,5.02,8.01,9.01 05/25/11
SELECT MEDICAL HOLDINGS CORP 8.01,9.01 05/24/11
SEMTECH CORP DE 2.02,7.01,9.01 05/25/11
SENESCO TECHNOLOGIES INC DE 1.01,9.01 05/19/11
Shire plc 8.01,9.01 05/24/11
Shire plc 8.01,9.01 05/25/11
SHUFFLE MASTER INC MN 5.02,9.01 05/24/11
SIGMA DESIGNS INC CA 2.02,9.01 05/25/11
SILVERSTAR MINING CORP. NV 9.01 05/23/11
SIRIUS XM RADIO INC. DE 7.01,9.01 05/25/11
SJW CORP CA 5.02 05/25/11
Skinny Nutritional Corp. NV 2.02,9.01 05/25/11
Soltera Mining Corp. NV 8.01,9.01 05/24/11
Somaxon Pharmaceuticals, Inc. DE 1.01,9.01 05/24/11
SONESTA INTERNATIONAL HOTELS CORP NY 5.07 05/25/11
Sono Resources, Inc. NV 1.01,9.01 05/18/11
SONO TEK CORP NY 7.01,9.01 05/23/11
SOUPMAN, INC. DE 1.01,9.01 05/20/11
SOUTHERN COMMUNITY FINANCIAL CORP 5.02 05/23/11
Spectrum Brands Holdings, Inc. DE 2.02,9.01 05/25/11
Spectrum Brands, Inc. DE 2.02,9.01 05/25/11
Steadfast Income REIT, Inc. MD 1.01,9.01 05/25/11
STEVEN MADDEN, LTD. DE 1.01,2.01,9.01 05/20/11
STONE ENERGY CORP DE 7.01,9.01 05/25/11
STR HOLDINGS, INC. DE 5.07 05/24/11
STRATEGIC HOTELS & RESORTS, INC 5.02,7.01,9.01 05/23/11
Sucampo Pharmaceuticals, Inc. 5.07 05/24/11
SuccessFactors, Inc. DE 5.02 05/19/11
SUNGARD CAPITAL CORP DE 8.01,9.01 05/25/11
SUPERIOR INDUSTRIES INTERNATIONAL INC CA 5.07,8.01 05/20/11
SURMODICS INC MN 2.02,7.01,9.01 05/24/11
SYCAMORE NETWORKS INC DE 2.02,9.01 05/25/11
SYNERGY RESOURCES CORP CO 1.01,2.01,9.01 05/24/11
SYNOVIS LIFE TECHNOLOGIES INC MN 2.02,9.01 05/25/11
T3 Motion, Inc. DE 1.01,3.02,9.01 05/19/11
TALBOTS INC DE 5.03,5.07,9.01 05/19/11
TANDY LEATHER FACTORY INC DE 5.02,5.07,9.01 05/18/11
TC PIPELINES LP DE 8.01 05/24/11
TENGION INC DE 1.01,9.01 05/23/11
TENNECO INC DE 8.01,9.01 05/23/11
Territorial Bancorp Inc. MD 5.07 05/24/11
TESSERA TECHNOLOGIES INC DE 5.07 05/24/11
TEXADA VENTURES INC NV 1.01,9.01 05/20/11
TIME WARNER CABLE INC. DE 1.01,5.02,5.03,5.07, 05/19/11
8.01,9.01
TIME WARNER INC. DE 5.03,5.07,9.01 05/20/11
TMST, Inc. MD 7.01,9.01 05/24/11
TOLL BROTHERS INC DE 2.02,9.01 05/25/11
TRAILER BRIDGE INC 5.02,9.01 05/24/11
TRANSCAT INC OH 2.02,9.01 05/19/11
TRIMERIS INC DE 1.01,9.01 05/25/11
Trius Therapeutics Inc DE 1.01,3.02,9.01 05/24/11
Tupper, Inc. NV 4.01,9.01 05/24/11
TUPPERWARE BRANDS CORP DE 8.01,9.01 05/25/11
TUPPERWARE BRANDS CORP DE 8.01,9.01 05/25/11
TUPPERWARE BRANDS CORP DE 8.01,9.01 05/25/11
Uniontown Energy Inc. NV 4.01,9.01 05/06/11 AMEND
UNITED FIRE & CASUALTY CO IA 1.01,8.01,9.01 05/25/11
UNIVERSITY GENERAL HEALTH SYSTEM, INC NV 9.01 05/24/11
UNIVEST CORP OF PENNSYLVANIA PA 8.01,9.01 05/25/11
Unum Group DE 5.07,8.01,9.01 05/25/11
USA Synthetic Fuel Corp DE 4.02 05/23/11
USA Synthetic Fuel Corp DE 1.01,8.01,9.01 05/16/11
VALENCE TECHNOLOGY INC DE 2.02,9.01 05/25/11
VENTRUS BIOSCIENCES INC DE 5.07 05/19/11
VERAMARK TECHNOLOGIES INC DE 5.07 05/24/11
Verigy Ltd. U0 8.01 05/24/11
VERISIGN INC/CA DE 2.02,9.01 05/25/11
VERTICAL HEALTH SOLUTIONS INC FL 5.02 04/26/11
VESTIN FUND III LLC 8.01,9.01 05/25/11
Viacom Inc. DE 8.01,9.01 05/25/11
Village Bank & Trust Financial Corp. 5.07 05/24/11
VirtualScopics, Inc. DE 5.07 05/24/11
VIVUS INC CA 8.01,9.01 05/25/11
VIVUS INC CA 7.01,9.01 05/25/11
VMWARE, INC. DE 1.01,5.07 05/19/11
VOLTERRA SEMICONDUCTOR CORP 8.01,9.01 05/25/11
WABASH NATIONAL CORP /DE DE 5.02,5.07,9.01 05/19/11
Weatherford International Ltd./Switze V8 5.07,8.01,9.01 05/19/11
WELLS FARGO & CO/MN DE 8.01 05/25/11
WELLS FARGO & CO/MN DE 9.01 05/25/11
WESTLAKE CHEMICAL CORP 5.07 05/20/11
WESTMORELAND COAL Co DE 5.07 05/24/11
Westway Group, Inc. DE 8.01,9.01 05/24/11
WILLIAMS SONOMA INC CA 1.01,3.03,5.02,5.03, 05/25/11
5.07,9.01
WINLAND ELECTRONICS INC MN 5.07 05/24/11
Z3 ENTERPRISES, INC. NV 8.01,9.01 05/24/11
ZALE CORP DE 2.02 05/25/11
Zalicus Inc. DE 5.07 05/24/11
ZAP CA 2.02,9.01 05/25/11
ZBB ENERGY CORP WI 7.01,9.01 05/24/11
ZOGENIX, INC. DE 5.07 05/24/11
ZOOM TECHNOLOGIES INC DE 3.01 05/23/11
http://www.sec.gov/news/digest/2011/dig052611.htm
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