SEC News Digest, July 8, 2011

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Commission Announcements

Commission Meetings

Closed Meeting on Thursday, July 14, 2011 at 2:00 p.m.

The subject matter of the Closed Meeting scheduled for Thursday, July 14, 2011, will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; adjudicatory matters; 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 Proceedings

In the Matter of Blake G. Williams

On July 7, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Order) against Blake G. Williams and giving notice of a hearing to determine what, if any, remedial action is appropriate against him.

In the Order the Division of Enforcement alleges that Williams was enjoined from future violations of Sections 5 and 17(a) of the Securities Act and Sections 10(b) and 15(a) of the Exchange Act and Rule 10b-5 thereunder in the civil action entitled Securities and Exchange Commission v. Williams, et al., Civil Action Number 3:10-cv-10681, in the United States District Court for the Northern District of Texas. The Commission’s complaint in that action alleges, among other things, that Williams engaged in a fraudulent scheme to sell stock in unregistered, non-exempt public offerings and to manipulate the markets for those stocks beginning in or about the middle of 2006 and continuing through at least 2008. Through this conduct, the complaint alleges that Williams violated the securities registration and anti-fraud provisions of the federal securities laws. The complaint also alleges that Williams’ conduct was part of a pervasive fraudulent scheme involving the stocks of at least a dozen microcap issuers. Moreover, the complaint alleges that Williams, in connection with these offerings, acted as an unregistered broker by, among other things, soliciting investors to invest in these offerings and providing investors with confirmation statements of their investments (See Litigation Release No. 21539).

In the federal civil injunctive action described above, Williams failed to appear and answer the Commission’s allegations. Accordingly, upon the Commission’s motion, a default judgment was entered —on which the Commission’s Order, pursuant to Section 15(b) of the Securities Exchange Act of 1934, is based—permanently enjoining Williams from violating Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 (Exchange Act) and Exchange Act Rule 10b-5 and Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933.

A hearing will be scheduled before an Administrative Law Judge to determine whether the allegations contained in the Order are true, to provide Williams an opportunity to respond to these allegations, and to determine what, if any, remedial sanctions are appropriate and in the public interest. An Administrative Law Judge will issue an initial decision no later than 210 days from the date of service of the Commission’s Order. (Rel. 34-64837; File No. 3-14456)

In the Matter of Delcott Commodity Partners

An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default as to Five Respondents (Default Order) in Delcott Commodity Partners, Admin. Proc. No. 3-14405. The Order Instituting Proceedings alleged that Respondents repeatedly failed to file required annual and quarterly reports while their securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true and revokes the registrations of each class of registered securities of Delta-Omega Technologies, Inc., Devlieg-Bullard, Inc., Digital Recording Corp., Double River Oil & Gas Co., and Drypers Corp. pursuant to Section 12(j) of the Securities Exchange Act of 1934.

The Proceeding has ended as to Respondents Delcott Commodity Partners and Diversified Realty, Inc. See Delcott Commodity Partners, Exchange Act Release Nos. 64640 (June 10, 2011) and 64830 (July 7, 2011), respectively. (Rel. 34-64838; File No. 3-14405)

In the Matter of Fontana Capital, LLC and Forrest Fontana

On July 8, 2011, the Commission issued an Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 21C of the Securities Exchange Act of 1934 and Sections 203(e) and (f) of the Investment Advisers Act of 1940 (Order) against Fontana Capital, LLC and Forrest Fontana (Respondents). The Order finds that in June 2008 and November 2008, the Respondents willfully violated Rule 105 of Regulation M on three occasions. On each occasion, in connection with a follow-on offering, Respondents participated in the public offerings after having shorted each security during the five business days prior to the pricing of the offerings. By participating in these offerings, Respondents generated $816,184 of profits for Fontana Capital’s hedge-fund clients.

The Commission’s Order censures the Respondents and orders them to cease and desist from committing or causing any violations or any future violations of Rule 105 of Regulation M and to pay disgorgement of $816,184, prejudgment interest of $3,606 and a civil penalty of $165,000. The Respondents consented to the issuance of the Order without admitting or denying the Commission’s findings, except as to the Commission’s jurisdiction over them and the subject matter of these proceedings. (Rels. 34-64839; IA-3233; File No. 3-14176)

In the Matter of Magnum D’Or Resources, Inc.

An Administrative Law Judge has issued an Initial Decision in Magnum D’Or Resources, Inc., Admin. Proc. No. 3-14359. The Order Instituting Proceedings alleged that the Respondent repeatedly failed to file required annual and quarterly reports while its securities were registered with the Securities and Exchange Commission. The Initial Decision finds these allegations to be true, determines that revocation of registration is the appropriate remedy to ensure adequate protection of investors, and revokes the registration of the securities of Magnum D’Or Resources, Inc. pursuant to Section 12(j) of the Securities Exchange Act of 1934. (Initial Decision No. 421; File No. 3-14359)

In the Matter of Locke Capital Management, Inc.

On July 8, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(e) of the Investment Advisers Act of 1940 And Notice of Hearing (Order) against Locke Capital Management, Inc. (Locke).

In the Order, the Division of Enforcement alleges that, on June 30, 2011, a final judgment was entered against Locke in the civil action entitled Securities and Exchange Commission v. Locke Capital Management, Inc. and Leila C. Jenkins, Civil Action Number 1:09-CV-00100-S, in the United States District Court for the District of Rhode Island, permanently enjoining Locke from future violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 204, 204A, 206(1), 206(2), 206(4), and 207 of the Advisers Act and Rules 204-2(a)(6), (8), (10), (15) & (16), 204A-1, and 206(4)-1(a)(5) thereunder.

The Order further states that, in view of the allegations made by the Division of Enforcement, the Commission deems it necessary and appropriate in the public interest that public administrative proceedings be instituted to determine what, if any, remedial action is appropriate in the public interest against Locke pursuant to Section 203(e) of the Advisers Act.

A hearing will be scheduled at a time and place to be determined. The Order directs the Administrative Law Judge to issue an initial decision no later than 210 days from the date of service of the Order on the respondent. (Rel. IA-3234; File No. 3-14457)

In the Matter of Leila C. Jenkins

On July 8, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 And Notice of Hearing (Order) against Leila C. Jenkins (Jenkins).

In the Order, the Division of Enforcement alleges that, on June 30, 2011, a final judgment was entered against Jenkins in the civil action entitled Securities and Exchange Commission v. Locke Capital Management, Inc. and Leila C. Jenkins, Civil Action Number 1:09-CV-00100-S, in the United States District Court for the District of Rhode Island, permanently enjoining Jenkins from future violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and Sections 206(1), 206(2), and 207 of the Advisers Act, and from aiding and abetting violations of Section 204 and 206(4) of the Advisers Act and Rules 204-2(a)(6), (8), (10), (15) & (16) and 206(4)-1(a)(5) thereunder.

The Order further states that, in view of the allegations made by the Division of Enforcement, the Commission deems it necessary and appropriate in the public interest that public administrative proceedings be instituted to determine what, if any, remedial action is appropriate in the public interest against Jenkins pursuant to Section 15(b) of the Exchange Act and Section 203(f) of the Advisers Act.

Investment Company Act Releases

COUNTRY Investors Life Assurance Company, et al.

An order has been issued pursuant to Section 26(c) of the Investment Company Act on an application filed by COUNTRY Investors Life Assurance Company and COUNTRY Investors Variable Life Account and COUNTRY Investors Variable Annuity Account (the Separate Accounts). The order permits the substitution of securities issued by certain registered investment companies and held by the Separate Accounts for shares of certain other registered investment companies. (Rel. IC-29717 – July 7)

Self-Regulatory Organizations

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change filed by the Chicago Board Options Exchange (SR-CBOE-2011-059) relating to an extension of the waiver of the transaction fee for public customer orders in SPY options executed in open outcry or in the automated improvement mechanism 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 July 11. (Rel. 34-64817)

A proposed rule change filed by the Chicago Board Options Exchange (SR-CBOE-2011-060) to amend its Fees Schedule relating to the Marketing Fee 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 July 11. (Rel. 34-64818)

A proposed rule change filed by the BATS Exchange to temporarily extend the availability of a data feed (SR-BATS-2011-020) 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 July 11. (Rel. 34-64835)

A proposed rule change filed by the BATS Y-Exchange to temporarily extend the availability of a data feed (SR-BYX-2011-014) 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 July 11. (Rel. 34-64836)

Proposed Rule Change

The Commission noticed a proposed rule change (SR-Phlx-2011-95) submitted by NASDAQ OMX PHLX pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 relating to the extension of a pilot program concerning disseminated quotations. Publication is expected in the Federal Register during the week of July 11. (Rel. 34-64833)

Securities Act Registrations

The 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     Adamis Pharmaceuticals Corp, 2658 DEL MAR HEIGHTS RD, #555, DEL MAR, 
        CA, 92014, (858) 401-3984 - 4,079,517 ($917,891.33) Equity, 
        (File 333-175383 - Jul. 7) (BR. 01A)

S-8     LEXARIA CORP., 604-602-1675 - 1,800,000 ($540,000.00) Equity, 
        (File 333-175385 - Jul. 7) (BR. 04B)

S-3ASR  PIEDMONT NATURAL GAS CO INC, 4720 PIEDMONT ROW DR, CHARLOTTE, NC, 
        28210, 7043643120 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-175386 - Jul. 7) (BR. 02A)

S-8     Enertopia Corp., 604 602-1633 - 4,720,348 ($1,274,493.96) Equity, 
        (File 333-175387 - Jul. 7) (BR. 04B)

S-8     TEGAL CORP /DE/, 2201 SOUTH MCDOWELL BLVD, PETALUMA, CA, 94954, 
        7077635600 - 0 ($376,000.00) Equity, (File 333-175388 - Jul. 7) 
        (BR. 10C)

S-1     SUNSHINE SILVER MINES Corp, 1700 LINCOLN STREET, SUITE 2600, DENVER, 
        CO, 80203, 303-668-5312 - 0 ($250,000,000.00) Equity, 
        (File 333-175389 - Jul. 7) (BR. )

S-8     AVEO PHARMACEUTICALS INC, 75 SIDNEY STREET, 4TH FLOOR, CAMBRIDGE, MA, 
        02139, 6172995000 - 0 ($60,750,000.00) Equity, (File 333-175390 - 
        Jul. 7) (BR. 01A)

S-3     Global Indemnity plc, ARTHUR COX BUILDING, EARLSFORT TERRACE, DUBLIN 2, 
        L2, -, 610-664-1500 - 0 ($1.00) Other, (File 333-175391 - Jul. 7) 
        (BR. 01C)

S-8     COPYTELE INC, 900 WALT WHITMAN RD, MELVILLE, NY, 11747, 5165495900 - 
        12,000,000 ($4,320,000.00) Equity, (File 333-175392 - Jul. 7) (BR. 03B)

S-1     SILVER SPRING NETWORKS INC, 575 BROADWAY ST., REDWOOD CITY, CA, 94063, 
        650-298-4200 - 0 ($150,000,000.00) Equity, (File 333-175393 - Jul. 7) 
        (BR. )

S-3     PHARMATHENE, INC, ONE PARK PLACE, SUITE 450, ANNAPOLIS, MD, 21401, 
        410 269 2600 - 0 ($100,000,000.00) Equity, (File 333-175394 - Jul. 7) 
        (BR. 01B)

S-1     CHESAPEAKE GRANITE WASH TRUST, 919 CONGRESS AVE STE 500, AUSTIN, TX, 
        78701, 512-236-6599 - 29,181,250 ($583,625,000.00) Equity, 
        (File 333-175395 - Jul. 7) (BR. )

S-4     JOHNSON & JOHNSON, ONE JOHNSON & JOHNSON PLZ, NEW BRUNSWICK, NJ, 08933, 
        732-524-2455 - 0 ($13,099,799,608.00) Equity, (File 333-175396 - 
        Jul. 7) (BR. 01B)

Recent 8K Filings

Form 8-K is used by companies to file current reports on the following events:

1.01

Entry into a Material Definitive Agreement

1.02

Termination of a Material Definitive Agreement

1.03

Bankruptcy or Receivership

2.01

Completion of Acquisition or Disposition of Assets

2.02

Results of Operations and Financial Condition

2.03

Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

2.04

Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement

2.05

Cost Associated with Exit or Disposal Activities

2.06

Material Impairments

3.01

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

3.02

Unregistered Sales of Equity Securities

3.03

Material Modifications to Rights of Security Holders

4.01

Changes in Registrant's Certifying Accountant

4.02

Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review

5.01

Changes in Control of Registrant

5.02

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer

5.03

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year

5.04

Temporary Suspension of Trading Under Registrant's Employee Benefit Plans

5.05

Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics

5.06

Change in Shell Company Status

6.01

ABS Informational and Computational Material.

6.02

Change of Servicer or Trustee.

6.03

Change in Credit Enhancement or Other External Support.

6.04

Failure to Make a Required Distribution.

6.05

Securities Act Updating Disclosure.

7.01

Regulation FD Disclosure

8.01

Other Events

9.01

Financial Statements and Exhibits

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


21ST CENTURY HOLDING CO                 FL       1.01,9.01            07/01/11

AAR CORP                                DE       2.02,9.01            07/06/11

ACE MARKETING & PROMOTIONS INC          NY       8.01,9.01            06/06/11

Adamis Pharmaceuticals Corp             DE       8.01                 06/30/11

Advanced BioEnergy, LLC                 DE       1.01,8.01,9.01       06/30/11

AE Biofuels, Inc.                                3.02,7.01,9.01       07/01/11

AIR LEASE CORP                          DE       1.01                 06/30/11

AIS FUTURES FUND IV LP                  DE       3.02                 06/30/11

Alamo Energy Corp.                      NV       7.01,9.01            07/07/11

ALASKA AIR GROUP INC                    DE       7.01,9.01            07/06/11

ALERE INC.                              DE       1.01,1.02,2.03,8.01, 06/30/11
                                                 9.01
          
Aleris International, Inc.              DE       5.02                 06/30/11

ALEXANDRIA REAL ESTATE EQUITIES INC     MD       1.01,2.03,9.01       06/30/11

ALLIANCE BANKSHARES CORP                         5.02                 06/30/11

Altegris QIM Futures Fund, L.P.         DE       3.02                 07/01/11

ALTEGRIS WINTON FUTURES FUND LP         CO       3.02                 07/01/11

Ameresco, Inc.                          DE       1.01,2.03,9.01       06/30/11

American Caresource Holdings, Inc.      DE       5.02                 06/30/11

AMERICAN REALTY CAPITAL HEALTHCARE TR   MD       2.01,8.01,9.01       06/30/11

Ampio Pharmaceuticals, Inc.             DE       7.01,8.01,9.01       07/05/11

ANADYS PHARMACEUTICALS INC                       8.01                 07/07/11

Applied Visual Sciences, Inc.           DE       2.04                 07/06/11

ASSURANT INC                                     5.02,9.01            07/06/11

ASSURANT INC                                     5.02                 06/08/11    AMEND

ATLANTIC TELE NETWORK INC /DE           DE       1.01,9.01            06/30/11

ATWOOD OCEANICS INC                     TX       5.07                 07/07/11    AMEND

AVISTA CORP                             WA       8.01                 07/05/11

Baby Fox International, Inc.            NV       1.01,1.02,2.01,5.01, 07/07/11
                                                 5.02,5.03,5.07,9.01
        
BASSETT FURNITURE INDUSTRIES INC        VA       2.02,9.01            07/07/11

BE Resources Inc.                       CO       5.07                 07/06/11

BEHRINGER HARVARD SHORT TERM OPPORTUN   TX       2.01,9.01            06/30/11

BGC Partners, Inc.                      DE       3.02,8.01            07/05/11

BioFuel Energy Corp.                             1.02,9.01            06/30/11

BIOVEST INTERNATIONAL INC               DE       7.01,9.01            07/07/11

BIOZONE PHARMACEUTICALS, INC.           NV       2.01,3.02,5.02,9.01  06/30/11

BLOCKBUSTER INC                         DE       7.01,9.01            07/01/11

BSD MEDICAL CORP                        DE       2.02,9.01            07/07/11

CAMPBELL FUND TRUST                     DE       3.02                 07/01/11

CANADIAN DERIVATIVES CLEARING CORP      A6       9.01                 06/30/11

Cape Bancorp, Inc.                      MD       5.02,9.01            07/05/11

CAPITAL BANK CORP                       NC       1.01,2.01,9.01       06/30/11

CarePayment Technologies, Inc.          OR       1.01,9.01            06/30/11

Carey Watermark Investors Inc                    5.07                 06/30/11

CASEY CONTAINER CORP                    NV       1.01,9.01            07/06/11

CB RICHARD ELLIS GROUP INC              DE       2.01,9.01            07/01/11

CENTER FINANCIAL CORP                   CA       1.01,9.01            07/06/11

Chatter Box Call Center Ltd.                     2.01,9.01            03/31/11

Chesapeake Lodging Trust                MD       1.01,2.01,2.03,9.01  06/30/11

CHINA AMERICA HOLDINGS, INC.            FL       1.01,2.01,3.02,5.01, 06/30/11    AMEND
                                                 5.02,5.03,7.01,9.01
        
China Auto Logistics Inc                NV       1.01,3.02,8.01,9.01  07/01/11

CHINA GENGSHENG MINERALS, INC.          NV       5.02,9.01            07/07/11

China Industrial Waste Management Inc   NV       4.01                 06/30/11

China Precision Steel, Inc.             CO       5.07                 06/30/11

China TransInfo Technology Corp.        NV       4.01,9.01            07/07/11

Cinedigm Digital Cinema Corp.           DE       1.01,3.02,9.01       07/05/11

CITIZENS SOUTH BANKING CORP             DE       8.01,9.01            07/07/11

Clean Coal Technologies Inc.            NV       5.02                 07/01/11

CLIFFS NATURAL RESOURCES INC.           OH       8.01                 06/30/11

CNO Financial Group, Inc.               DE       5.02,9.01            07/05/11

COLORADO RARE EARTHS, INC               NV       9.01                 07/06/11

COMMERCETEL CORP                        NV       5.02,9.01            07/07/11

COMMONWEALTH BANKSHARES INC             VA       1.01,7.01,9.01       07/01/11

COPYTELE INC                            DE       5.02,9.01            07/06/11

Coronus Solar Inc.                      A1       1.02,2.01,2.03,5.02, 06/30/11
                                                 7.01,9.01
     
COVENANT TRANSPORTATION GROUP INC       NV       5.02                 07/07/11

CRYOLIFE INC                            FL       1.01,2.03,9.01       06/30/11

Cyalume Technologies Holdings, Inc.     DE       1.01,9.01            06/30/11

DAWSON GEOPHYSICAL CO                   TX       1.01,2.03,9.01       06/30/11

DecisionPoint Systems, Inc.             DE       1.01,3.02,9.01       06/30/11

DecisionPoint Systems, Inc.             DE       9.01                 06/15/11    AMEND

DEFENSE INDUSTRIES INTERNATIONAL INC             5.02                 07/04/11

DEL TORO SILVER CORP.                   NV       5.02,8.01,9.01       07/06/11

DEVON ENERGY CORP/DE                    DE       1.01,9.01            07/05/11

diaDexus, Inc.                          DE       5.02                 07/05/11

DIGAGOGO VENTURES CORP                  DE       5.06,9.01            07/01/11    AMEND

DIGITAL VALLEYS CORP                    NV       7.01,9.01            06/29/11

Douglas Lake Minerals Inc.              NV       7.01,9.01            07/07/11

DRAYTON RICHDALE CORP                   NV       1.01                 07/07/11

Duke Energy CORP                        DE       1.03,8.01,9.01       07/07/11

DYNAMICS RESEARCH CORP                  MA       1.01,2.01,2.03,9.01  06/30/11

ECB BANCORP INC                         NC       1.01,3.02,9.01       06/30/11

EdgeWave, Inc.                          DE       1.01,2.03,9.01       07/07/11

EMISPHERE TECHNOLOGIES INC              DE       8.01                 07/06/11

Empowered Products, Inc.                NV       1.01,2.01,2.02,3.02, 06/30/11
                                                 4.01,5.01,5.02,5.03,
                                                 5.06
   
ENERGEN CORP                            AL       5.07                 04/27/11    AMEND

ENERGY FOCUS, INC/DE                    DE       5.02,7.01            07/06/11

Energy Transfer Partners, L.P.          DE       1.01,3.02,5.02,9.01  06/30/11

ENGLOBAL CORP                           NV       8.01,9.01            07/07/11

Enstar Group LTD                        D0       2.03                 06/30/11

ENTERGY ARKANSAS INC                    AR       5.07                 06/30/11

ESCALON MEDICAL CORP                    PA       5.07                 06/30/11

EVERGREEN ENERGY INC                    DE       7.01,9.01            07/07/11

EXACTECH INC                            FL       1.01,5.02,9.01       06/30/11

EXXON MOBIL CORP                        NJ       8.01                 06/30/11

Federal Home Loan Bank of Atlanta       X1       2.03                 07/01/11

Federal Home Loan Bank of Boston        X1       2.03                 07/01/11

Federal Home Loan Bank of Chicago       X1       2.03                 07/05/11

Federal Home Loan Bank of Dallas                 2.03,9.01            06/30/11

Federal Home Loan Bank of Des Moines    X1       2.03,9.01            07/05/11

Federal Home Loan Bank of Indianapoli   X1       2.03,9.01            07/07/11

Federal Home Loan Bank of New York      X1       2.03,5.02,9.01       07/01/11

Federal Home Loan Bank of Pittsburgh    PA       2.03,9.01            07/01/11

Federal Home Loan Bank of San Francis   X1       2.03                 07/01/11

Federal Home Loan Bank of Topeka                 2.03,9.01            07/05/11

FERRELLGAS PARTNERS L P                 DE       8.01,9.01            07/06/11

FIRST COMMUNITY CORP /SC/               SC       2.01,9.01            07/06/11

FIRST RELIANCE BANCSHARES INC           SC       5.07                 06/30/11

FIRST SOLAR, INC.                       DE       1.01,2.03,9.01       06/30/11

Florida Bank Group, Inc.                FL       3.02,9.01            06/30/11

Forestar Group Inc.                     DE       1.01,9.01            07/07/11

Fortress Investment Group LLC           DE       7.01                 07/07/11

FRONTIER FUND                           DE       8.01                 07/01/11

FTI CONSULTING INC                      MD       2.02,2.05,9.01       06/30/11

FUTURES PORTFOLIO FUND L.P.             MD       3.02                 07/01/11

GAP INC                                 DE       7.01,9.01            07/07/11

General Motors Co                                8.01                 07/01/11

GeNOsys, Inc.                           UT       5.02,9.01            06/25/11

GLOBAL NUTECH, INC.                              7.01,9.01            07/06/11

GLOBAL TRAFFIC NETWORK, INC.            DE       5.02,9.01            07/06/11

GLOBETRAC INC                           DE       8.01,9.01            07/07/11

GOLDMAN SACHS GROUP INC                 DE       9.01                 07/07/11

GOLDMAN SACHS HEDGE FUND PARTNERS LLC   DE       7.01                 07/07/11

GREENBRIER COMPANIES INC                DE       1.01,1.02,2.03,9.01  06/30/11

GREENMAN TECHNOLOGIES INC               DE       1.01,9.01            06/30/11

GRIFFIN LAND & NURSERIES INC            DE       2.02,9.01            07/07/11

Grubb & Ellis Healthcare REIT II, Inc   MD       1.01,2.01,2.03,7.01, 06/30/11
                                                 9.01
          
HARVEST NATURAL RESOURCES, INC.         DE       5.02                 07/05/11

HCC INSURANCE HOLDINGS INC/DE/          DE       7.01,9.01            07/07/11

HEINZ H J CO                            PA       1.01,1.02,2.03,9.01  06/30/11

Heron Lake BioEnergy, LLC               MN       1.01,9.01            06/30/11

HF FINANCIAL CORP                       DE       5.02                 06/30/11

HI TECH PHARMACAL CO INC                NY       2.02,9.01            07/07/11

Hill International, Inc.                DE       1.01,8.01,9.01       06/30/11

IF Bancorp, Inc.                        MD       8.01,9.01            07/07/11

IGATE CORP                              PA       5.02,9.01            07/01/11

INERGETICS INC                          DE       5.03,8.01,9.01       06/30/11

INTEGRAMED AMERICA INC                  DE       5.02                 07/01/11

INTER PARFUMS INC                       DE       8.01                 07/07/11

INTERNATIONAL SPEEDWAY CORP             FL       2.02,7.01,8.01,9.01  07/07/11

INUVO, INC.                             NV       7.01,8.01,9.01       07/05/11

Investors Heritage Capital Corp         KY       8.01,9.01            07/06/11

IRVINE SENSORS CORP/DE/                 DE       1.01,2.03,3.02,3.03, 07/01/11
                                                 9.01
          
ISECURETRAC CORP                        DE       5.02                 06/30/11

James River Coal CO                     VA       1.01,3.02,9.01       06/30/11

KEATING CAPITAL INC                              7.01,9.01            07/06/11

KENDLE INTERNATIONAL INC                OH       5.07                 07/07/11

KIRBY CORP                              NV       2.01,2.03,9.01       07/01/11

KOHLS Corp                              WI       2.02,9.01            07/07/11

KRANEM CORP                             CO       1.01,2.01,3.02,9.01  07/07/11

L & L ENERGY, INC.                      NV       5.02,8.01,9.01       07/07/11

LANDMARK BANCORP INC                    DE       7.01,9.01            07/07/11

LEAP WIRELESS INTERNATIONAL INC         DE       2.02,8.01,9.01       07/07/11

Legend Oil & Gas, Ltd.                  CO       8.01,9.01            07/06/11

Lender Processing Services, Inc.        DE       5.02                 07/06/11

LendingClub Corp                        DE       4.01,9.01            07/07/11    AMEND

LGL GROUP INC                           DE       1.01,1.02,2.03,9.01  06/30/11

LITHIA MOTORS INC                       OR       8.01,9.01            07/06/11

LOCAL.COM                               DE       1.01,9.01            06/30/11

LOCATEPLUS HOLDINGS CORP                         5.02                 07/07/11

Lumber Liquidators Holdings, Inc.                2.02,9.01            07/07/11

MAKEMUSIC, INC.                         MN       8.01,9.01            07/07/11

MARATHON OIL CORP                       DE       9.01                 06/30/11

Marathon Petroleum Corp                 DE       1.01,2.03,5.02,9.01  06/30/11

MARRIOTT INTERNATIONAL INC /MD/         DE       5.02                 07/01/11

MATTHEWS INTERNATIONAL CORP             PA       5.07                 02/17/11    AMEND

MEDICAL ACTION INDUSTRIES INC           DE       5.04,9.01            07/07/11

MENS WEARHOUSE INC                      TX       8.01,9.01            06/30/11

Mesa Energy Holdings, Inc.              DE       1.01,2.03,3.02,9.01  06/16/11

MFA FINANCIAL, INC.                     MD       5.02,9.01            06/30/11

MHI Hospitality CORP                    MD       1.01,2.03,7.01,9.01  06/30/11

MidWestOne Financial Group, Inc.        IA       8.01,9.01            07/06/11    AMEND

Millburn Multi-Markets Fund L.P.        DE       3.02                 07/01/11

MOBILE MINI INC                         DE       5.02,9.01            07/05/11

MOSAIC CO                                        8.01,9.01            06/30/11

MTR GAMING GROUP INC                    DE       7.01,8.01,9.01       07/07/11

MULTI FINELINE ELECTRONIX INC                    2.02,9.01            07/07/11

Nano Mask, Inc.                         NV       5.02                 07/01/11

NARA BANCORP INC                        DE       1.01,9.01            07/06/11

National CineMedia, Inc.                DE       1.01,2.03,9.01       07/05/11

NATIONAL INTELLIGENCE ASSOCIATION INC   NV       1.01,3.02,9.01       07/07/11

NATUS MEDICAL INC                       DE       2.02,9.01            07/07/11

Neiman Marcus, Inc.                     DE       2.02,7.01            07/07/11

NEWS CORP                                        8.01,9.01            07/07/11

nFinanSe Inc.                                    1.01,5.07,9.01       07/07/11

NORDSTROM INC                           WA       7.01,9.01            07/07/11

NORTHEAST UTILITIES                     MA       8.01                 07/06/11

NORTHSTAR REALTY                                 5.02                 07/01/11

NORTHWESTERN CORP                       DE       1.01,2.03,8.01,9.01  07/07/11

NOVELOS THERAPEUTICS, INC.              DE       5.07                 06/30/11

NSTAR/MA                                         8.01                 07/06/11

NUGEN HOLDINGS, INC.                    DE       5.02,9.01            06/30/11

OM GROUP INC                            DE       1.01,3.02,7.01,9.01  07/03/11

OMEGA HEALTHCARE INVESTORS INC          MD       8.01,9.01            07/07/11

OMEROS CORP                             WA       5.02                 06/30/11

ONCOSEC MEDICAL Inc                     NV       5.02                 02/03/11    AMEND

ONCOSEC MEDICAL Inc                     NV       5.02                 03/10/11    AMEND

ONCOSEC MEDICAL Inc                     NV       5.02                 06/21/11    AMEND

ORIGINOIL INC                           NV       1.01,2.03,9.01       07/06/11

ORION ENERGY SYSTEMS, INC.              WI       3.01,8.01,9.01       06/30/11

OXIS INTERNATIONAL INC                  DE       5.02                 06/30/11

OYO GEOSPACE CORP                       DE       2.02,8.01,9.01       07/07/11

PAREXEL INTERNATIONAL CORP              MA       1.01,2.03,9.01       06/30/11

PENFORD CORP                            WA       2.02,5.04,9.01       07/07/11

PHH CORP                                MD       5.02                 06/30/11

PHH CORP                                MD       5.02,5.03            06/30/11

PINNACLE BANKSHARES CORP                VA       5.02,9.01            07/06/11

Platinum Studios, Inc.                  CA       5.02                 06/17/11

PREFERRED APARTMENT COMMUNITIES INC     MD       1.01,9.01            06/30/11

PRICESMART INC                          DE       2.02,8.01,9.01       07/07/11

PRO DEX INC                             CO       5.02,9.01            06/30/11

PROGRESS ENERGY INC                     NC       8.01,9.01            07/07/11

PSM HOLDINGS INC                        NV       1.01,9.01            06/30/11

Pzena Investment Management, Inc.       DE       8.01,9.01            06/30/11

RAMTRON INTERNATIONAL CORP              DE       1.01,2.04,9.01       06/30/11

RAPTOR TECHNOLOGY GROUP, INC.           NV       1.01,2.01,4.01,5.01, 06/30/11
                                                 5.03,9.01
     
RCLC, INC.                              NJ       7.01,9.01            06/30/11

REGAL BELOIT CORP                       WI       1.01,2.03,9.01       06/30/11

ROBERTSON GLOBAL HEALTH SOLUTIONS COR   NV       1.01,9.01            06/30/11

ROCKY MOUNTAIN CHOCOLATE FACTORY INC    CO       2.02,9.01            07/07/11

Rovi Corp                               DE       2.02,8.01            07/06/11

SAGE FUND LP                            MD       3.02                 07/01/11

SAKS INC                                TN       7.01,9.01            07/07/11

SBA COMMUNICATIONS CORP                 FL       1.01,2.03,9.01       06/30/11

SCHOOL SPECIALTY INC                    WI       1.01,2.03,3.02,9.01  07/07/11

SCHULMAN A INC                          DE       2.02,9.01            07/06/11

SCOLR Pharma, Inc.                      DE       1.01,2.03,3.02,9.01  06/30/11

SEAHAWK DRILLING, INC.                  DE       7.01,9.01            07/06/11

SELECT COMFORT CORP                     MN       7.01,9.01            07/07/11

Select Notes Trust LT 2004-1            DE       8.01,9.01            07/01/11

SemiLEDs Corp                                    2.02,9.01            07/07/11

SERVOTRONICS INC /DE/                   DE       5.07                 07/01/11

Shire plc                                        8.01,9.01            07/07/11

SIMON PROPERTY GROUP INC /DE/           DE       1.01,5.02,9.01       07/06/11

Sino Agro Food, Inc.                    NV       7.01,9.01            07/07/11

SJW CORP                                CA       1.01,2.03,7.01,9.01  06/30/11

Solar Senior Capital Ltd.               MD       7.01,9.01            07/07/11

SOTHEBYS                                DE       5.02,9.01            06/30/11

Spansion Inc.                           DE       8.01,9.01            03/11/11

Spansion Inc.                           DE       1.01,9.01            05/12/11    AMEND

SSI Investments II Ltd                  L2       5.02                 07/01/11

STAGE STORES INC                        NV       1.01,1.02,8.01,9.01  06/30/11

STAGE STORES INC                        NV       8.01,9.01            07/07/11

STERLING CONSTRUCTION CO INC            DE       5.02                 07/07/11

STRATEGIC HOTELS & RESORTS, INC                  1.01,1.02,2.03,7.01, 06/30/11
                                                 9.01
          
STRUCTURED PRODUCTS CORP CRED ENHANCE   DE       8.01,9.01            07/01/11

STRUCTURED PRODUCTS CORP TIERS R INFL   DE       8.01,9.01            07/01/11

Suspect Detection Systems, Inc.         DE       5.02                 06/30/11

SYNTA PHARMACEUTICALS CORP                       1.01                 07/01/11

SYNTROLEUM CORP                         DE       1.01,9.01            07/06/11

TeleNav, Inc.                           DE       1.01,9.01            06/30/11

THAI CAPITAL FUND INC                            8.01                 07/07/11

Thermon Group Holdings, Inc.            DE       5.02                 07/07/11    AMEND

TIANYIN PHARMACEUTICAL CO., INC.        DE       4.02,8.01            06/10/11    AMEND

TIB FINANCIAL CORP.                     FL       1.01,2.01,9.01       07/07/11

TIDEWATER INC                           DE       5.02,9.01            06/30/11

TRANSATLANTIC HOLDINGS INC              DE       8.01,9.01            06/30/11

TRANSIT MANAGEMENT HOLDING CORP                  5.07                 06/20/11    AMEND

Tri-Tech Holding, Inc.                  E9       8.01,9.01            07/07/11

U S PRECIOUS METALS INC                 DE       5.02                 06/28/11

UNIFI INC                               NY       8.01,9.01            07/06/11

UNIFY CORP                                       1.01,1.02,2.03,3.02, 06/30/11
                                                 3.03,8.01,9.01

UNITED BANKSHARES INC/WV                WV       1.01                 06/30/11

UNIVERSAL DISPLAY CORP \PA\             PA       1.01                 07/07/11

US DATAWORKS INC                        NV       5.02                 06/30/11

US DATAWORKS INC                        NV       1.01,9.01            07/07/11

US ENERGY CORP                          WY       5.02                 07/01/11

Valeant Pharmaceuticals International   A6       5.02,9.01            07/01/11

Vanity Events Holding, Inc.             DE       1.01,1.02,5.02,9.01  06/30/11

VIEWCAST COM INC                        DE       7.01,9.01            07/06/11

Virolab, Inc.                           DE       1.01,5.02,9.01       07/01/11

Vitacost.com, Inc.                      DE       3.01,9.01            07/06/11

Vystar Corp                             GA       1.02,8.01,9.01       06/30/11

WATTS WATER TECHNOLOGIES INC            DE       5.02,9.01            07/06/11

WD 40 CO                                DE       2.02,9.01            07/07/11

WELLCARE HEALTH PLANS, INC.             DE       8.01,9.01            07/07/11

WORLD FUEL SERVICES CORP                FL       1.01,2.03            06/30/11

ZAP                                     CA       5.02                 06/30/11

Zep Inc.                                DE       2.02,7.01,9.01       07/07/11

Zumiez Inc                              WA       5.02                 07/01/11

http://www.sec.gov/news/digest/2011/dig070811.htm

SEC News Digest