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Commission AnnouncementsSEC Suspends Trading in the Securities of Uniontown Energy Inc.On June 1, 2011, the Securities and Exchange Commission ordered the temporary suspension of trading in the securities of Uniontown Energy, Inc., commencing at 9:30 a.m. EDT on June 1, 2011, and terminating at 11:59 p.m. EDT on June 14, 2011. The Commission ordered this trading suspension because of questions that have arisen regarding the accuracy and adequacy of publicly disseminated information concerning, among other things, Uniontown Energy’s acquisition oil and gas properties, and the promotion of Uniontown Energy’s stock. Uniontown Energy is quoted on the OTCBB under the symbol “UTOG.” The Commission cautions brokers, dealers, shareholders, and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by Uniontown Energy. Further, brokers and dealers should be alert to the fact that, pursuant to Rule 15c2-11 under the Exchange Act, at the termination of the trading suspension, no quotation may be entered unless and until they have strictly complied with all of the provisions of the rule. If any broker or dealer has any questions as to whether or not it has complied with the rule, it should not enter any quotation but immediately contact the staff in the Division of Trading and Markets, Office of Interpretation and Guidance, at (202) 551-5760. If any broker or dealer is uncertain as to what is required by Rule 15c2-11, it should refrain from entering quotations relating to the securities of Uniontown Energy until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. If any broker or dealer enters any quotation that is in violation of the rule, the Commission will consider the need for prompt enforcement action. The SEC’s Office of Investor Education and Advocacy has information for investors and members of the general public on topics directly related to this action by the SEC. See http://www.sec.gov/investor/antispaminitiative.htm for a compilation of helpful links. (Rel. 34-64576) Enforcement proceedingsBich Quyen Nguyen SanctionedBich Quyen Nguyen (Nguyen), of Los Gatos, California, has been barred from association with any broker or dealer. The sanction was ordered in an administrative proceeding before an administrative law judge, following a court-ordered injunction against her. In January 2011, Nguyen was permanently enjoined from violating the antifraud and registration provisions of the federal securities laws based on her involvement in a fraudulent scheme in connection with the sale of unregistered securities. For a period of several years starting in January 2006, Nguyen participated in unregistered offers and sales of securities in Sun Investment Savings and Loan and Sun Group investment clubs, soliciting investors through a multi-level marketing scheme operated from an Anaheim, California, hotel. Nguyen offered investors several types of investments that purportedly generated high-yield returns, making false and misleading statements and otherwise engaging in a variety of conduct which operated as a fraud and deceit on investors. (Rel. 34-64569; File No. 3-14211) In the Matter of Belsen Getty, LLC, Terry M. Deru, and Andrew W. LimpertOn May 31, 2011, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940 against Belsen Getty, LLC, Terry M. Deru, and Andrew W. Limpert. The Division of Enforcement alleges that Belsen Getty, LLC (Belsen Getty), a registered investment adviser, Terry M. Deru (Deru), Belsen Getty’s managing member, and Andrew W. Limpert (Limpert), a former principal of Belsen Getty, violated various provisions of the federal securities laws through numerous instances of failure to disclose conflicts, breaches of fiduciary duty, and misrepresentations or omissions to Belsen Getty clients. The Division of Enforcement alleges that in November 2006, Deru and Limpert became involved in founding Nine Mile Software, Inc. (Nine Mile), a software company. Deru and Limpert were major shareholders in Nine Mile, and Limpert became Chairman of the Board. Deru and Limpert obtained start-up money for Nine Mile by selling restricted Nine Mile stock to Belsen Getty clients and others. Nine Mile commenced an initial public offering of its common stock in November 2007. The vast majority of the offering (92%) was sold to Belsen Getty clients, based on advice from Deru or Limpert. In October and November 2008, Belsen Getty, using its discretionary trading authority, effected trades of Nine Mile stock in client accounts without informing the clients of risk or conflicts. Belsen Getty, through Deru and Limpert, also recommended to its clients other high-risk investments in which Deru and Limpert had a financial interest while making material misrepresentations or omissions about the investments. A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Belsen Getty, Deru and Limpert an opportunity to respond to those allegations, and to determine what sanctions, if any, are appropriate and in the public interest. The Order directs the administrative law judge to issue an initial decision within 300 days from the date of service of the Order Instituting Proceedings. (Rel. 33-9214; 34-64572; IA-3212; IC-29685; File No. 3-14404) Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Seven Public Companies for Failure to Make Required Periodic FilingsOn May 31, 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. 34-64573; File No. 3-14405) Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Seven Public Companies for Failure to Make Required Periodic FilingsOn May 31, 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. 34-64574; File No. 3-14406) In the Matter of Larry FeinblumOn May 31, 2011, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 (Exchange Act), and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (Order) against Larry Feinblum (Feinblum). The Order finds that Respondent Feinblum and Jennifer Kim (Kim), two traders then associated with Morgan Stanley & Co., Inc. (MS & Co. or the firm), engaged in fraudulent conduct that had the effect of concealing from risk managers the extent of the risk associated with their proprietary trading and that ultimately contributed to millions of dollars of losses in their trading books. The Order finds that from at least October through December 2009, Respondent and Kim executed numerous trades in certain securities that they traded for MS & Co. that created net risk positions substantially in excess of limits that could be exceeded only with supervisory approval. The Order further finds that to conceal from the firm that their trading exceeded internal net risk position limitations, Respondent (an Executive Director and Kim’s supervisor) and Kim entered in MS & Co.’s risk management system swap orders -- on at least thirty-two occasions -- that they had no intention of executing and that they promptly canceled after entering the orders in the system. The Order also finds that Respondent and Kim entered these orders for the sole purpose of temporarily and artificially reducing the net risk exposure in the securities, as recorded in certain of the firm’s risk management systems, in order to pursue a strategy that sought to profit from price differences between U.S. and foreign markets. The Order finds that Respondent and Kim cancelled the swap orders after they knew that the risk management systems had captured false and misleading information about their net risk exposure and continued to execute their arbitrage trading strategy at positions beyond MS and Co.’s net risk limits. As a result of Respondent’s and Kim’s misconduct, MS & Co. unwound the unauthorized trading positions, ultimately sustaining a loss of approximately $24.47 million. Based on the above, the Order orders Feinblum to cease and desist from committing or causing any violations and any future violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. The Order also bars Feinblum from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization for a period of two (2) years, and requires Feinblum to pay a $150,000 civil penalty. Feinblum consented to the issuance of the Order without admitting or denying any of the findings in the Order. (Rel. 34-64575; IA-3213; File No. 3-14407) Self-regulatory organizationsImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by the International Securities Exchange (SR-ISE-2011-29) relating to Second Market fees 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 June 6. (Rel. 34-64562) A proposed rule change filed by NASDAQ OMX PHLX (SR-Phlx-2011-70) to modify the functionality of NASDAQ OMX PSX’s Post-Only Order 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 June 6. (Rel. 34-64563) A proposed rule change filed by NASDAQ OMX BX to permit the exchange to list series with additional expiration months if such series are listed on another exchange (SR-BX-2011-029) 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 June 6. (Rel. 34-64570) A proposed rule change filed by NASDAQ OMX PHLX (SR-Phlx-2011-72) extending the pilot period to allow cabinet trading to take place below $1 per option contract has become 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 June 6. (Rel. 34-64571) 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 ADVENTO, INC., 8 JIANG GANG QU, STE 402, HANGZHOU, F4, 310000,
011-86-13083976291 - 2,000,000 ($100,000.00) Equity, (File 333-174607 -
May. 31) (BR. )
S-3 Whitestone REIT, 2600 SOUTH GESSNER, SUITE 500, HOUSTON, TX, 77063,
713-827-9595 - 1,000,000 ($12,920,000.00) Equity, (File 333-174608 -
May. 31) (BR. 08C)
S-3ASR Vulcan Materials CO, 1200 URBAN CENTER DRIVE, BIRMINGHAM, AL, 35242,
(205) 298-3000 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-174609 - May. 31) (BR. 04A)
S-8 Team Nation Holdings CORP, 4667 MACARTHUR BOULEVARD, SUITE 150,
NEWPORT BEACH, CA, 92660, 949-885-9892 -
250,000,000 ($125,000.00) Equity, (File 333-174610 - May. 31) (BR. 08B)
S-8 Ensco plc, 6 CHESTERFIELD GARDENS, LONDON, X0, W1J5BQ, 4402076594660 -
0 ($104,528,353.00) ADRs/ADSs, (File 333-174611 - May. 31) (BR. 04B)
S-8 DONEGAL GROUP INC, 1195 RIVER RD PO BOX 302, MARIETTA, PA, 17547-0302,
7174261931 - 0 ($53,970,000.00) Equity, (File 333-174612 - May. 31)
(BR. 01A)
S-8 BIOCUREX INC, 7080 RIVER RD, STE 215, RICHMOND, A1, V6X 1X5,
6042079150 - 14,500,000 ($580,000.00) Equity, (File 333-174613 -
May. 31) (BR. 10C)
S-8 HANSEN NATURAL CORP, 550 MONICA CIRCLE, SUITE 201, CORONA, CA, 92880,
909-739-6200 - 0 ($508,370,000.00) Equity, (File 333-174614 - May. 31)
(BR. 09A)
S-8 KINDRED HEALTHCARE, INC, 680 SOUTH FOURTH STREET, LOUISVILLE, KY,
40202, 5025967300 - 0 ($71,310,000.00) Equity, (File 333-174615 -
May. 31) (BR. 11C)
S-8 ZEBRA TECHNOLOGIES CORP, 475 HALF DAY ROAD, SUITE 500, LINCOLNSHIRE,
IL, 60069, 847-634-6700 - 0 ($302,610,000.00) Equity,
(File 333-174616 - May. 31) (BR. 10C)
S-8 INTERNATIONAL TOWER HILL MINES LTD, 1177 WEST HASTING STREET,
SUITE 2300, VANCOUVER, A1, V6E 2K3, 604-683-6332 -
7,501,932 ($55,100,440.08) Equity, (File 333-174617 - May. 31) (BR. 04A)
S-8 CH ENERGY GROUP INC, 284 SOUTH AVE, POUGHKEEPSIE, NY, 12601,
8454522000 - 400,000 ($20,760,000.00) Equity, (File 333-174618 -
May. 31) (BR. 02A)
S-8 SERVICE CORPORATION INTERNATIONAL, 1929 ALLEN PKWY, P O BOX 130548,
HOUSTON, TX, 77019, 7135225141 - 0 ($113,050,000.00) Equity,
(File 333-174619 - May. 31) (BR. 11A)
S-8 BOSTON SCIENTIFIC CORP, ONE BOSTON SCIENTIFIC PL, NATICK, MA,
01760-1537, 508-650-8000 - 15,000,000 ($99,300,000.00) Equity,
(File 333-174620 - May. 31) (BR. 10A)
S-8 Constant Contact, Inc., 1601 TRAPELO ROAD, SUITE 329, WALTHAM, MA,
02451, 781-472-8100 - 9,549,463 ($224,364,633.19) Equity,
(File 333-174621 - May. 31) (BR. 11C)
S-8 BOSTON SCIENTIFIC CORP, ONE BOSTON SCIENTIFIC PL, NATICK, MA,
01760-1537, 508-650-8000 - 145,600,000 ($963,872,000.00) Equity,
(File 333-174622 - May. 31) (BR. 10A)
S-1 VIKING SYSTEMS INC, 134 FLANDERS ROAD, WESTBOROUGH, MA, 01581,
508-366-3668 - 16,278,805 ($4,883,642.00) Equity, (File 333-174623 -
May. 31) (BR. 10C)
S-4 SILGAN HOLDINGS INC, 4 LANDMARK SQ, STAMFORD, CT, 06901, 2039757110 -
0 ($1,264,361,562.00) Equity, (File 333-174624 - May. 31) (BR. 06A)
S-3 PERNIX THERAPEUTICS HOLDINGS, INC., 33219 FOREST WEST STREET, MAGNOLIA,
TX, 77354, (832) 934-1825 - 2,000,000 ($94,880,000.00) Equity,
(File 333-174629 - May. 31) (BR. 01B)
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
1st Century Bancshares, Inc. DE 5.07 05/31/11
A123 SYSTEMS, INC. DE 5.07 05/25/11
ACTUATE CORP DE 5.07 05/25/11
Advance America, Cash Advance Centers DE 8.01 05/26/11
AETHLON MEDICAL INC NV 7.01,9.01 05/26/11
AFFYMAX INC DE 8.01,9.01 05/31/11
AGILYSYS INC OH 1.01,5.02,9.01 05/28/11
AK STEEL HOLDING CORP DE 5.07 05/26/11
ALCOA INC PA 8.01 05/27/11
ALERE INC. DE 8.01,9.01 05/31/11
ALEXION PHARMACEUTICALS INC DE 8.01,9.01 05/30/11
ALLIANCE FINANCIAL CORP /NY/ NY 8.01,9.01 05/31/11
Amarantus BioSciences, Inc. DE 1.01,2.01,3.02,5.01, 05/25/11 AMEND
5.02,5.03,9.01
AMBASSADORS INTERNATIONAL INC DE 2.01,5.02,5.03,9.01 05/25/11
AMCON DISTRIBUTING CO DE 1.01,2.01,2.03,7.01, 05/26/11
9.01
Ameresco, Inc. DE 5.07 05/26/11
American Eagle Energy Inc. NV 1.01,9.01 05/19/11 AMEND
AMERIGROUP CORP 8.01 05/27/11
AML COMMUNICATIONS INC DE 2.01,3.01,3.03,5.01, 05/27/11
5.02,5.03,5.07,8.01,
9.01
AP PHARMA INC /DE/ DE 1.02 05/24/11
APEX 1, INC. DE 5.03,5.07 05/20/11
APOLLO GROUP INC AZ 8.01 05/25/11
APOLLO INVESTMENT CORP MD 2.02,9.01 05/31/11
APPLIED MATERIALS INC /DE DC 1.01,1.02,2.03,9.01 05/25/11
ARCH COAL INC DE 8.01,9.01 05/31/11
ARETE INDUSTRIES INC CO 1.01,8.01,9.01 05/25/11
ASHLAND INC. KY 1.01,8.01,9.01 05/30/11
ATHENA SILVER CORP CA 7.01,9.01 05/20/11 AMEND
AVEO PHARMACEUTICALS INC DE 1.01,3.02,8.01,9.01 05/31/11
AVISTAR COMMUNICATIONS CORP DE 5.02 05/24/11
Bacterin International Holdings, Inc. DE 1.01,3.02,9.01 05/31/11
BANK JOS A CLOTHIERS INC /DE/ DE 8.01,9.01 05/31/11
Benefit Solutions Outsourcing Corp. FL 5.03,9.01 05/31/11
BLACK HILLS CORP /SD/ SD 5.07 05/31/11
Boardwalk Pipeline Partners, LP DE 1.01,9.01 05/27/11
CAMCO FINANCIAL CORP DE 5.07 05/24/11 AMEND
CAMDEN PROPERTY TRUST TX 7.01 05/31/11
CARDINAL BANKSHARES CORP VA 5.02 05/27/11
CARMAX INC VA 5.02 05/24/11
CENTRAL GARDEN & PET CO DE 5.02 05/24/11
CENTRAL VERMONT PUBLIC SERVICE CORP VT 1.01,8.01,9.01 05/27/11
CHEMBIO DIAGNOSTICS, INC. NV 4.01,9.01 05/31/11
CHENIERE ENERGY INC DE 7.01,9.01 05/31/11
CHENIERE ENERGY INC DE 7.01,9.01 05/31/11
Cheniere Energy Partners, L.P. DE 7.01,9.01 05/31/11
Chesapeake Lodging Trust MD 5.07 05/26/11
CHEVRON CORP DE 8.01 05/24/11
CHICOPEE BANCORP, INC. 5.07 05/25/11
CHICOS FAS INC FL 7.01,9.01 05/31/11
CHINA AGRITECH INC DE 5.02 05/27/11
CHINA CHANGJIANG MINING & NEW ENERGY DE 4.01,4.02 01/05/11
CHINA EDUCATION ALLIANCE INC. NC 1.01,9.01 05/31/11
CHINA ELECTRIC MOTOR, INC. DE 5.02,9.01 05/27/11
CHINA TRANSPORTATION INTERNATIONAL HO 5.02 05/25/11
CHINA-BIOTICS, INC DE 5.02,9.01 01/16/11 AMEND
CHIQUITA BRANDS INTERNATIONAL INC NJ 5.07 05/26/11
CHUGACH ELECTRIC ASSOCIATION INC AK 5.03,9.01 05/26/11
CIB MARINE BANCSHARES INC WI 5.07 05/26/11
CIGNA CORP DE 7.01 05/31/11
CIGNA CORP DE 5.02,9.01 05/25/11
Cinemark Holdings, Inc. DE 8.01,9.01 05/31/11
CINEMARK USA INC /TX TX 8.01,9.01 05/31/11
Circle Entertainment, Inc. DE 8.01 05/24/11
Citi Trends Inc 5.07 05/25/11
CLAIBORNE LIZ INC DE 7.01 05/26/11
CLEAN WIND ENERGY TOWER, INC. NV 8.01 05/31/11
CLEVELAND BIOLABS INC DE 8.01 05/27/11
CMS ENERGY CORP MI 8.01 05/26/11
Cole Credit Property Trust II Inc MD 5.07 05/26/11
Cole Credit Property Trust III, Inc. MD 5.07 05/26/11
Cole Credit Property Trust Inc MD 5.07 05/25/11
CommonWealth REIT MD 5.03,8.01,9.01 05/26/11
COMPETITIVE TECHNOLOGIES INC DE 1.01,9.01 05/31/11
COMVERSE TECHNOLOGY INC/NY/ NY 2.02,9.01 05/31/11
COPYTELE INC DE 1.01,9.01 05/27/11
Cornerstone Core Properties REIT, Inc MD 5.07,8.01 05/11/11
CORNERSTONE HEALTHCARE PLUS REIT, INC MD 7.01 05/27/11
COVENTRY HEALTH CARE INC DE 8.01,9.01 05/31/11
CRAFT BREWERS ALLIANCE, INC. WA 5.07 05/25/11
CRONOS GLOBAL INCOME FUND XV LP CA 2.02,9.01 05/31/11
CRONOS GLOBAL INCOME FUND XVI LP CA 2.02,9.01 05/31/11
Cryoport, Inc. NV 5.02,9.01 05/25/11
CSS INDUSTRIES INC DE 2.05,5.02,9.01 05/24/11
DAYTON POWER & LIGHT CO OH 1.01,9.01 05/24/11
DELTA OIL & GAS INC 5.07 05/27/11
DITECH NETWORKS INC DE 5.02 05/26/11
DJSP Enterprises, Inc. D8 1.01,9.01 05/27/11
Domark International Inc. NV 1.01,9.01 05/27/11
Douglas Emmett Inc MD 5.07 05/31/11
DPL INC OH 1.01,9.01 05/24/11
E-Debit Global Corp. CO 8.01 05/30/11
EL PASO ELECTRIC CO /TX/ TX 5.07 05/26/11
ELECTRONIC ARTS INC. DE 1.01,9.01 05/27/11
Emergent BioSolutions Inc. DE 1.01 05/26/11
EMPIRE DISTRICT ELECTRIC CO KS 8.01 05/27/11
Employers Holdings, Inc. NV 5.07 05/26/11
ENDO PHARMACEUTICALS HOLDINGS INC DE 5.07 05/25/11
ENDO PHARMACEUTICALS HOLDINGS INC DE 7.01,9.01 05/31/11
ENDO PHARMACEUTICALS HOLDINGS INC DE 9.01 05/31/11
EnerSys DE 2.02,9.01 05/31/11
Ensco plc 1.01,2.01,2.03,5.02, 05/31/11
5.07,9.01
ENVIRONMENTAL TECTONICS CORP PA 2.02,9.01 05/27/11
ENZON PHARMACEUTICALS INC DE 5.02,8.01,9.01 05/26/11
EPICEPT CORP 1.01,2.03,9.01 05/27/11
EQUIFAX INC GA 7.01,9.01 05/31/11
EQUITY LIFESTYLE PROPERTIES INC MD 1.01,2.02,2.03,3.02, 05/31/11
9.01
ESSA Bancorp, Inc. PA 7.01,9.01 05/27/11
Eternal Energy Corp. 1.01,9.01 05/19/11 AMEND
ETHAN ALLEN INTERIORS INC DE 1.01,9.01 05/31/11
Excaliber Enterprises, Ltd. NV 5.03,9.01 05/23/11
EXOPACK HOLDING CORP 1.01,3.03,8.01,9.01 05/24/11
EXXON MOBIL CORP NJ 5.07 05/25/11
FAIRPOINT COMMUNICATIONS INC DE 7.01,9.01 05/31/11
Federal Home Loan Bank of Atlanta X1 2.03 05/31/11
Federal Home Loan Bank of Boston X1 2.03 05/25/11
Federal Home Loan Bank of Chicago X1 7.01,9.01 05/31/11
Federal Home Loan Bank of Chicago X1 2.03 05/25/11
Federal Home Loan Bank of Dallas 2.03,9.01 05/24/11
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 05/31/11
Federal Home Loan Bank of New York X1 2.03,9.01 05/25/11
Federal Home Loan Bank of New York X1 8.01 05/31/11
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 05/25/11
Federal Home Loan Bank of San Francis X1 2.03 05/26/11
Federal Home Loan Bank of Seattle 2.03 05/25/11
FEDERAL MOGUL CORP DE 5.07 05/25/11
FIDELITY SOUTHERN CORP GA 1.01,3.02,9.01 05/26/11
FIRST INTERSTATE BANCSYSTEM INC MT 5.07 05/24/11
FIRST PACTRUST BANCORP INC MD 8.01 05/25/11
FIRST PACTRUST BANCORP INC MD 5.02,9.01 05/27/11
FIRST ROBINSON FINANCIAL CORP DE 2.02,9.01 05/31/11
FNBH BANCORP INC MI 2.02,9.01 05/31/11
Forbes Energy Services Ltd. D0 1.01,8.01,9.01 05/24/11
Forestar Group Inc. DE 7.01,8.01,9.01 05/31/11
FOUR RIVERS BIOENERGY INC. NV 1.01,9.01 05/24/11
FRONTIER COMMUNICATIONS CORP DE 7.01,9.01 05/31/11
FSB Community Bankshares Inc X1 5.07,9.01 05/25/11
FULLCIRCLE REGISTRY INC NV 8.01,9.01 05/31/11
GALLAGHER ARTHUR J & CO DE 8.01,9.01 05/31/11
GAMCO INVESTORS, INC. ET AL NY 1.01,2.03,9.01 05/25/11
GEOKINETICS INC DE 1.01,2.03,9.01 05/24/11
GLOBAL HEALTH VENTURES INC. NV 9.01 12/08/09 AMEND
GLOBAL PARI-MUTUEL SERVICES, INC. NV 2.01,9.01 05/25/11
GOLDMAN SACHS GROUP INC DE 9.01 05/31/11
Government Properties Income Trust MD 1.01,2.01,9.01 05/24/11
GRANITE CITY FOOD & BREWERY LTD MN 3.02 05/24/11
Great Lakes Dredge & Dock CORP DE 8.01,9.01 05/31/11
Grubb & Ellis Healthcare REIT II, Inc MD 7.01,9.01 05/31/11
GRYPHON GOLD CORP NV 1.01,2.03,3.02,9.01 05/27/11
GRYPHON GOLD CORP NV 5.02 05/31/11
H & H Imports, Inc. FL 7.01,9.01 05/31/11
HARRIS & HARRIS GROUP INC /NY/ NY 7.01,9.01 05/31/11
HCP, INC. MD 5.02,7.01,9.01 05/26/11
HEALTHWAYS, INC DE 8.01,9.01 05/31/11
HEMACARE CORP /CA/ CA 5.07 05/25/11
HERSHA HOSPITALITY TRUST MD 1.01,5.02,5.07,9.01 05/26/11
HF FINANCIAL CORP DE 8.01,9.01 05/31/11
HIBBETT SPORTS INC 5.07 05/26/11
HOME BANCSHARES INC 7.01,9.01 05/31/11
Homeland Security Capital CORP DE 1.01,9.01 05/27/11
Homeland Security Network, Inc. 8.01,9.01 05/25/11
Horizon Lines, Inc. 3.01 05/24/11
HOST HOTELS & RESORTS L.P. DE 8.01 05/27/11
HSBC USA INC /MD/ MD 5.05,9.01 05/25/11
HSW International, Inc. DE 3.01 05/27/11
IGATE CORP PA 5.02 05/10/11 AMEND
IGI LABORATORIES, INC DE 5.07 05/26/11
INFINITY PROPERTY & CASUALTY CORP OH 5.07 05/25/11
INLAND WESTERN RETAIL REAL ESTATE TRU MD 7.01,9.01 05/31/11
INNERWORKINGS INC 8.01 05/26/11
International Stem Cell CORP 4.02 05/25/11
Interval Leisure Group, Inc. DE 5.07 05/24/11
Intrepid Potash, Inc. DE 5.07 05/25/11
INVIVO THERAPEUTICS HOLDINGS CORP. NV 9.01 10/26/10 AMEND
IRON MOUNTAIN INC DE 8.01 05/31/11
IRONWOOD PHARMACEUTICALS INC 8.01 05/25/11
KADANT INC DE 5.02,5.07,9.01 05/25/11
KEATING CAPITAL INC 7.01,9.01 05/27/11
Keyuan Petrochemicals, Inc. NV 4.01,9.01 05/24/11
KINETIC CONCEPTS INC TX 5.07 05/24/11
KRAFT FOODS INC VA 5.07 05/24/11
Kurrant Mobile Catering, Inc. CO 5.03,9.01 05/27/11
LEVEL 3 COMMUNICATIONS INC DE 8.01,9.01 05/25/11
Li3 Energy, Inc. NV 7.01,9.01 05/31/11
LINCOLN NATIONAL CORP IN 5.03,5.07,9.01 05/31/11
LIONS GATE ENTERTAINMENT CORP /CN/ 2.02,9.01 05/31/11
LogMeIn, Inc. DE 5.07 05/26/11
M&T BANK CORP NY 3.03,5.03,8.01,9.01 05/26/11
MACKINAC FINANCIAL CORP /MI/ MI 5.07 05/25/11
MARKEL CORP VA 8.01,9.01 05/25/11
MARLIN BUSINESS SERVICES CORP 5.07 05/25/11
MARTEN TRANSPORT LTD DE 1.01,2.03,9.01 05/27/11
MARTHA STEWART LIVING OMNIMEDIA INC DE 5.02 05/31/11
MASSEY ENERGY CO DE 8.01 05/25/11
Mattersight Corp DE 2.01,5.02,5.03,7.01, 05/28/11
9.01
MAXYGEN INC DE 5.07,8.01,9.01 05/27/11
MCCLATCHY CO DE 8.01,9.01 05/27/11
Medical Care Technologies Inc. NV 4.02 05/19/11
MICREL INC CA 5.06,8.01,9.01 05/31/11
MISSION WEST PROPERTIES INC CA 5.07 05/26/11
MPG Office Trust, Inc. MD 8.01,9.01 05/27/11
NABI BIOPHARMACEUTICALS DE 5.02,5.07 05/25/11
NATIONAL PROPERTY INVESTORS 5 CA 1.01,9.01 05/26/11
NAVIGANT CONSULTING INC DE 1.01,1.02,2.03,9.01 05/27/11
NAVIGATORS GROUP INC DE 5.07,8.01,9.01 05/26/11
NAVISTAR INTERNATIONAL CORP DE 7.01 05/31/11
NCO Group, Inc. DE 5.07 05/26/11
NETREIT, INC. MD 8.01 05/26/11 AMEND
NEW YORK MORTGAGE TRUST INC MD 8.01,9.01 05/31/11
NGL Energy Partners LP DE 1.01,7.01,9.01 05/24/11
Nielsen Holdings N.V. P7 5.07 05/24/11
NOBLE GROUP HOLDINGS INC 2.01,5.02 05/27/11
NORTH BAY RESOURCES INC DE 1.01,9.01 05/31/11
NORTH VALLEY BANCORP CA 5.07 05/26/11
NORTHERN TRUST CORP DE 7.01,9.01 05/31/11
NORTHSTAR REALTY 5.07 05/26/11
NORWOOD FINANCIAL CORP PA 2.01,5.02,9.01 05/31/11
NOVADEL PHARMA INC DE 1.01,9.01 05/31/11
NU SKIN ENTERPRISES INC DE 5.07,7.01,8.01 05/24/11
NUVASIVE INC DE 5.07 05/25/11
Omagine, Inc. DE 1.01,7.01,9.01 05/31/11
OneBeacon Insurance Group, Ltd. D0 5.02,5.07,9.01 05/25/11
ONEOK INC /NEW/ OK 5.07 05/27/11
OPTIMER PHARMACEUTICALS INC 8.01,9.01 05/27/11
OSIRIS THERAPEUTICS, INC. DE 5.07 05/26/11
P&F INDUSTRIES INC DE 5.07 05/25/11
PAETEC Holding Corp. 1.01,2.03,8.01,9.01 05/31/11
Pay Mobile, Inc NV 1.01,2.01,3.02,4.01, 05/18/11 AMEND
5.01,5.02,5.03,9.01
Pay Mobile, Inc NV 1.01,2.01,3.02,4.01, 12/31/10 AMEND
5.01,5.02,5.03,9.01
PC CONNECTION INC DE 5.07 05/25/11
PDF SOLUTIONS INC DE 5.02 05/30/11
PENTAIR INC MN 8.01 05/26/11
PERNIX THERAPEUTICS HOLDINGS, INC. MD 1.01,9.01 05/31/11
PFF BANCORP INC DE 8.01,9.01 05/20/11
PHILLIPS VAN HEUSEN CORP /DE/ DE 2.02,9.01 05/31/11
PHOTRONICS INC CT 1.02,3.01 05/24/11
PIONEER POWER SOLUTIONS, INC. DE 5.02,9.01 05/31/11
Platinum Studios, Inc. CA 5.02 05/17/11
POST PROPERTIES INC GA 5.02,9.01 05/25/11
POZEN INC /NC 8.01 05/26/11
PREMIER EXHIBITIONS, INC. FL 2.02,9.01 05/31/11
PREMIERE GLOBAL SERVICES, INC. GA 5.02,9.01 05/31/11
PREMIERWEST BANCORP OR 5.07 05/31/11
PRIDE INTERNATIONAL INC DE 1.01,1.02,2.01,3.01, 05/31/11
3.03,5.01,5.02,5.03,
5.07
Profit Planners Management, Inc. NV 3.02 05/26/11
PROLOGIS MD 2.01 05/25/11
QLT INC/BC A1 5.02,5.07 05/25/11
Quad/Graphics, Inc. WI 5.07 05/16/11 AMEND
Quanex Building Products CORP DE 7.01,9.01 05/31/11
RED HAT INC DE 5.02 03/22/11 AMEND
RED ROBIN GOURMET BURGERS INC DE 1.01,3.03,5.03,5.07, 05/26/11
9.01
REGAL BELOIT CORP WI 7.01 05/31/11
REGAL ENTERTAINMENT GROUP DE 5.07 05/04/11 AMEND
REGENCY CENTERS CORP FL 8.01,9.01 05/23/11 AMEND
REINSURANCE GROUP OF AMERICA INC MO 1.01,2.03,9.01 05/27/11
RigNet, Inc. DE 1.01,9.01 05/27/11
ROCKY BRANDS, INC. OH 5.07 05/25/11
ROSETTA STONE INC 5.07 05/26/11
RUDOLPH TECHNOLOGIES INC DE 5.07 05/25/11
Sagebrush Gold Ltd. NV 1.01,2.01,3.02,3.03, 05/24/11
9.01
SAVIENT PHARMACEUTICALS INC DE 5.07,8.01,9.01 05/24/11
SemiLEDs Corp 4.01,9.01 05/25/11
SEYCHELLE ENVIRONMENTAL TECHNOLOGIES NV 7.01,9.01 05/31/11
SFN Group Inc. DE 7.01,9.01 05/31/11
SIERRA BANCORP CA 5.07 05/25/11
Signature Exploration & Production Co DE 7.01,9.01 05/31/11
SIGNATURE GROUP HOLDINGS INC NV 5.02,9.01 05/27/11
SIGNET JEWELERS LTD 8.01 05/31/11
Sino Agro Food, Inc. NV 7.01,9.01 05/30/11
Sound Financial, Inc. 5.07 05/25/11
SOVRAN SELF STORAGE INC MD 5.03,9.01 05/31/11
St. Joseph Bancorp, Inc. MD 5.07,9.01 05/25/11
STAAR SURGICAL CO DE 5.07 05/28/11
STATE BANK FINANCIAL CORP GA 5.07 05/25/11
Stereotaxis, Inc. DE 5.07 05/25/11
Stratus Media Group, Inc NV 5.02 05/24/11
STRUCTURED PRODUCTS CORP CORTS TRUST DE 8.01,9.01 05/25/11
STRYKER CORP MI 5.02,8.01,9.01 05/27/11
Summer Infant, Inc. DE 9.01 03/24/11 AMEND
SUN COMMUNITIES INC MD 1.01,8.01,9.01 05/31/11
SunOpta Inc. 8.01 05/31/11
Support.com, Inc. DE 5.02,5.07,9.01 05/25/11
SUPREME INDUSTRIES INC DE 1.01,2.03,3.02 05/25/11
SUREWEST COMMUNICATIONS CA 5.07 05/25/11
SYMBION INC/TN DE 8.01,9.01 05/31/11
TALEO CORP DE 1.01 05/23/11
TALON INTERNATIONAL, INC. DE 8.01,9.01 05/31/11
TAMM Oil & Gas Corp. NV 8.01,9.01 05/31/11
TBS International plc L2 3.02,7.01 05/31/11
TELETECH HOLDINGS INC DE 5.07,7.01,9.01 05/26/11
Tennessee Commerce Bancorp, Inc. TN 1.01,8.01,9.01 05/25/11
TODA INTERNATIONAL HOLDINGS INC. E9 1.01,2.01,3.02,4.01, 03/15/11 AMEND
5.01,5.02,5.06,9.01
TRUMP ENTERTAINMENT RESORTS, INC. DE 2.01,9.01 05/24/11
TRX INC/GA GA 5.07 05/25/11
TUFCO TECHNOLOGIES INC DE 5.07 05/26/11
TUFCO TECHNOLOGIES INC DE 5.02,9.01 05/31/11
Two Harbors Investment Corp. 1.01,8.01,9.01 05/31/11
U S GOLD CORP CO 7.01,9.01 05/31/11
UNITED FIRE & CASUALTY CO IA 8.01,9.01 05/31/11
UNR HOLDINGS INC FL 5.03,9.01 05/23/11
Vanity Events Holding, Inc. DE 1.01,8.01,9.01 05/24/11
VENTRUS BIOSCIENCES INC DE 8.01,9.01 05/31/11
VICAL INC DE 5.07 05/26/11
VIDEO DISPLAY CORP GA 1.01,2.01,9.01 05/26/11
VIROPHARMA INC DE 1.01 05/25/11
Vitacost.com, Inc. DE 3.01,5.02,8.01,9.01 05/24/11
VMWARE, INC. DE 5.07 05/25/11
Vringo Inc DE 3.01,9.01 05/24/11
WASHINGTON REAL ESTATE INVESTMENT TRU MD 5.02,9.01 05/26/11
WAYNE SAVINGS BANCSHARES INC /DE/ DE 2.02,9.01 05/31/11
WAYNE SAVINGS BANCSHARES INC /DE/ DE 5.02,9.01 05/31/11
WCA WASTE CORP DE 1.01,2.03,7.01,9.01 05/25/11
WEBSTER FINANCIAL CORP DE 5.02,9.01 05/13/11
WELLS FARGO & CO/MN DE 9.01 05/31/11
WENDY'S/ARBY'S GROUP, INC. DE 5.03,5.07,9.01 05/26/11
WESTELL TECHNOLOGIES INC DE 8.01 05/31/11
WESTERN DIGITAL CORP DE 8.01,9.01 05/30/11
WHITE MOUNTAINS INSURANCE GROUP LTD D0 5.02,5.07 05/25/11
WINTRUST FINANCIAL CORP IL 5.02,5.07,9.01 05/26/11
Wizard World, Inc. DE 1.01,5.02,9.01 05/25/11
World Surveillance Group Inc. DE 1.01,2.01,3.02,8.01, 05/25/11
9.01
X-CHANGE CORP NV 8.01,9.01 05/25/11
XETA TECHNOLOGIES INC OK 7.01,9.01 05/31/11
XETA TECHNOLOGIES INC OK 1.02,2.01,3.01,3.03, 05/26/11
5.01,5.02,5.03,5.07,
9.01
Yongye International, Inc. NV 1.01,3.02,7.01,8.01, 05/30/11
9.01
YUM BRANDS INC NC 5.03,9.01 05/27/11
ZANETT INC DE 3.01,9.01 05/24/11
http://www.sec.gov/news/digest/2011/dig060111.htm
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