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Commission AnnouncementsSecurities and Exchange Commission Suspends Trading in the Securities of Six Issuers for Failure to Make Required Periodic FilingsThe U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EDT on July 20, 2011, and terminating at 11:59 p.m. EDT on August 2, 2011.
The Commission temporarily suspended trading in the securities of these six issuers due to a lack of current and accurate information about the companies because they have not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act). 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 these companies. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Group of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-64921) Commission MeetingsOpen Meeting on July 26, 2011 at 10 a.m.The Commission will hold an Open Meeting to hear oral argument in an appeal by International Power Group, Ltd. (IPWG) from action by the Depository Trust Company (DTC). DTC operates an automated, centralized system for book-entry movement of securities positions in the accounts of its Participants, broker-dealers and other firms, with respect to trades of Eligible Securities. DTC provides two levels of services to its Participants for Eligible Securies: (1) a full range of depository services including book-entry delivery and settlement, and (2) custodial service. IPWG is a Delaware corporation corporation, the common stock of which was accepted by the DTC as an Eligible Security for all purposes. On September 30, 2009, DTC issued an “Important Notice” that stated, “As a result of [certain civil litigation], DTC has suspended all services, except Custody Services, for [the common stock of IPWG].” IPWG challenges DTC’s issuance of the Important Notice. Issues likely to be considered at oral argument include whether the Commission has jurisdiction to hear IPWG’s challenge pursuant to Securities Exchange Act Section 19(f), and the extent to which DTC is required to provide fair procedures to issuers such as IPWG pursuant to Securities Exchange Act 17A(b)(3)(H). Open Meeting on July 26, 2010 at 11:00 a.m.The subject matter of the Open Meeting will be: Item 1: The Commission will consider whether to adopt Rule 13h-1 and Form 13H under Section 13(h) of the Securities Exchange Act, to establish a large trader reporting system to identify market participants that conduct a substantial amount of trading activity and collect information on their trading. Item 2: The Commission will consider whether to adopt amendments to rules and forms under the Securities Act of 1933 and Schedule 14A under the Securities Exchange Act of 1934, to replace references to credit ratings with alternative criteria. These amendments are in light of Section 939A of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Item 3: The Commission will consider whether to re-propose rules related to shelf-eligibility for asset-backed securities and request additional comment on an outstanding proposal to require asset-level information about pool assets. Item 4: The Commission will consider whether to adopt rule and form amendments under the Securities Exchange Act of 1934 and the Investment Company Act of 1940 to require an institutional investment manager that is subject to Section 13(f) of the Securities Exchange Act to report annually how it voted proxies relating to executive compensation matters as required by Section 14A of the Securities Exchange Act, which was added by the Dodd-Frank Wall Street Reform and Consumer Protection Act. 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 Premier Wealth Management, Inc. (a/k/a Premiere Wealth Management, Inc.) for Failure to Make Required Periodic FilingsOn July 20, 2011, the Commission revoked the registration of each class of registered securities of Premier Wealth Management, Inc. (a/k/a Premiere Wealth Management, Inc.) (PWMG) 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, PWMG 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 Premier Wealth Management, Inc. (a/k/a Premiere Wealth Management, Inc.) 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 PWMG’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the charges brought against PWMG in In the Matter of Apparel America, Inc. (n/k/a HSK Industries, Inc.), et al., Administrative Proceeding File No. 3-14420. 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 Apparel America, Inc. (n/k/a HSK Industries, Inc.), et al., Administrative Proceeding File No. 3-14420, Exchange Act Release No. 64648 (June 13, 2011). (Rel. 34-64919; File No. 3-14420) Commission Orders Hearings on Registration Suspension or Revocation Against Six Companies for Failure to Make Required Periodic FilingsIn conjunction with this trading suspension, the Commission today also instituted separate public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of six companies for failure to make required periodic filings with the Commission:
In the Order, the Division of Enforcement (Division) alleges that the respective Respondents are delinquent in their required periodic filings with the Commission. In these proceedings, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 or 13a-16 thereunder, are true. The judge in the proceedings 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 the proceedings issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-64920; File No. 3-14470) In the Matter of Richard D. MittaschOn July 20, 2011, the Commission issued an Order Instituting Public Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Exchange Act) and Section 203(f) of the Investment Advisers Act of 1940 (Advisers Act) and Notice of Hearing against Richard D. Mittasch. The proceedings are based on a judgment of permanent injunction entered by default in the civil action entitled Securities and Exchange Commission v. Richard D. Mittasch, et al., Civil Action Number 8:10-CV-02859-JDW-MAP, in the United States District Court for the Middle District of Florida. The judgment permanently enjoins Mittasch from violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and from aiding and abetting violations of Advisers Act Sections 206(1), 206(2), 206(4) and Rule 206(4)-8 thereunder. In the Order, the Division alleges that Mittasch was a managing member of Imperium Investment Advisors, LLC, an investment adviser registered with the Commission. Imperium was the trustee for a Florida-based hedge fund. The civil complaint against Respondent alleges that he failed to ensure that hedge fund investors’ funds were safeguarded, invested, and disbursed consistent with a trust indenture agreement between Imperium and the fund. A hearing before an administrative law judge will be scheduled to determine whether the allegations in the Order are true, to provide the Respondent an opportunity to respond to these allegations, and to determine what, if any, remedial action is appropriate in the public interest. The Order directs the Administrative Law Judge to issue an initial decision within 210 days from the date of service of the Order. (Rel. 34-64924; IA-3247; File No. 3-14475) In the Matter of Glenn M. BarikmoOn July 20, 2011, the Commission issued an Order Instituting Public Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Exchange Act) and Section 203(f) of the Investment Advisers Act of 1940 (Advisers Act) and Notice of Hearing against Glenn M. Barikmo. The proceedings are based on a judgment of permanent injunction entered by default in the civil action entitled Securities and Exchange Commission v. Glenn M. Barikmo, et al., Civil Action Number 8:10-CV-02859-JDW-MAP, in the United States District Court for the Middle District of Florida. The judgment permanently enjoins Barikmo from violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and from aiding and abetting violations of Sections 206(1), 206(2), 206(4) of the Advisers Act and Rule 206(4)-8 thereunder. In the Order, the Division alleges that Barikmo was a managing member of Imperium Investment Advisors, LLC, an investment adviser registered with the Commission. Imperium was the trustee for a Florida-based hedge fund. The civil complaint against Respondent alleges that he failed to ensure hedge fund investors’ funds were safeguarded, invested, and disbursed consistent with a trust indenture agreement between Imperium and the fund. A hearing before an administrative law judge will be scheduled to determine whether the allegations in the Order are true, to provide the Respondent an opportunity to respond to these allegations, and to determine what, if any, remedial action is appropriate in the public interest. The Order directs the Administrative Law Judge to issue an initial decision within 210 days from the date of service of the Order. (Rel. 34-64923; IA-3246; File No. 3-14474) In the Matter of Imperium Investment Advisors LLCOn July 20, 2011, the Commission issued an Order Instituting Public Administrative Proceedings Pursuant to Section 203(e) of the Investment Advisers Act of 1940 (Advisers Act) and Notice of Hearing against Imperium Investment Advisors, LLC (Imperium). The proceedings are based on a judgment of permanent injunction entered by default against Imperium in the civil action entitled Securities and Exchange Commission v. Imperium Investment Advisors, LLC, et al., Civil Action Number 8:10-CV-02859-JDW-MAP, in the United States District Court for the Middle District of Florida. The judgment permanently enjoins Imperium from violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and from aiding and abetting violations of Advisers Act Sections 206(1), 206(2), 206(4) and Rule 206(4)-8 thereunder. In the Order against Imperium, the Division of Enforcement (Division) alleges that from August 2008 to at least May 2009, Imperium was an investment adviser registered with the Commission and was trustee for a Florida-based hedge fund, Vestium Equity Fund, LLC (Vestium). The civil complaint against Imperium alleges its principals signed a trust indenture agreement with Vestium and that the trust agreement obliged Imperium to hold investor funds in a custodial account and to monitor Vestium’s investments to ensure the fund used investor proceeds only as specified in the fund’s offering materials. However, as the complaint further alleges, Imperium failed to ensure investor funds were safeguarded and used only for purposes specified in the offering documents and disbursed investor funds for investments not permitted by the trust indenture, and for investments in which Vestium’s principals had undisclosed financial interests. A hearing before an administrative law judge will be scheduled to determine whether the allegations in the Order are true, to provide the Respondent an opportunity to respond to these allegations, and to determine what, if any, remedial action is appropriate in the public interest. The Order directs the Administrative Law Judge to issue an initial decision within 210 days from the date of service of the Order. (Rel. IA-3243; File No. 3-14471) In the Matter of Dale E. St. JeanOn July 20, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 (Advisers Act) and Notice of Hearing against Dale E. St. Jean. The proceedings are based on a judgment of permanent injunction entered by default against St. Jean in the civil action entitled Securities and Exchange Commission v. Dale E. St. Jean, et al., Civil Action Number 8:10-CV-02859-JDW-MAP, in the United States District Court for the Middle District of Florida. The judgment permanently enjoins St. Jean from violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 206(1), 206(2) and 206(4) of the Advisers Act and Rule 206(4)-8 thereunder. In the Order, the Division alleges that St. Jean was a managing member of Florida-based Arcanum Equity Fund, LLC (Arcanum) and treasurer, vice president and a managing member of Vestium Management Group, LLC, which managed a second Florida-based hedge fund, Vestium Equity Fund, LLC (Vestium). The Division alleges that the complaint alleges that Respondent selected or approved investments by the hedge funds that were inconsistent with the uses of proceeds specified in the funds’ offering materials. The complaint further alleges that Respondent was aware of or approved transfers of millions of dollars of investor funds to a Canadian corporation he controlled. In addition to deviating from the funds’ stated uses of proceeds, these transfers created an undisclosed conflict of interest between Respondent and the funds’ investors. A hearing before an administrative law judge will be scheduled to determine whether the allegations in the Order are true, to provide the Respondent an opportunity to respond to these allegations, and to determine what, if any, remedial action is appropriate in the public interest. The Order directs the Administrative Law Judge to issue an initial decision within 210 days from the date of service of the Orders. (Rel. IA-3244; File No. 3-14472) In the Matter of Christopher T. PaganesOn July 20, 2011, the Commission issued an Order Instituting Public Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Exchange Act) and Section 203(f) of the Investment Advisers Act of 1940 (Advisers Act) and Notice of Hearing against Christopher T. Paganes. The proceedings are based on a judgment of permanent injunction entered by default in the civil action entitled Securities and Exchange Commission v. Christopher T. Paganes, et al., Civil Action Number 8:10-CV-02859-JDW-MAP, in the United States District Court for the Middle District of Florida. The judgment permanently enjoins Paganes from violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and from aiding and abetting violations of Sections 206(1), 206(2), 206(4) of the Advisers Act and Rule 206(4)-8 thereunder. In the Order, the Division alleges that Paganes was a managing member of Imperium Investment Advisors, LLC, an investment adviser registered with the Commission. Imperium was the trustee for a Florida-based hedge fund. The civil complaint against Respondent alleges that he failed to ensure hedge fund investors’ funds were safeguarded, invested, and disbursed consistent with a trust indenture agreement between Imperium and the fund. A hearing before an administrative law judge will be scheduled to determine whether the allegations in the Order are true, to provide the Respondent an opportunity to respond to these allegations, and to determine what, if any, remedial action is appropriate in the public interest. The Order directs the Administrative Law Judge to issue an initial decision within 210 days from the date of service of the Order. (Rel. 34-64922; IA-3245; File No. 3-14473) Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Seven Public Companies for Failure to Make Required Periodic FilingsToday the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of seven companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the seven issuers are delinquent in their required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the Administrative Law Judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 or 13a-16 thereunder, are true. The Administrative Law Judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-64927; File No. 3-14476) In the Matter of Carlo G. ChiaeseOn July 20, 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, Making Findings, and Imposing Remedial Sanctions (Order) against Carlo G. Chiaese. The Order finds that Chiaese was a registered representative between February 22, 2008 and June 28, 2010, working at an office in Westfield, New Jersey. On March 31, 2011, Chiaese pled guilty to one count of fraud in violation of Title 15, United States Code, Sections 78j(b) & 78ff, Title 17, Code of Federal Regulations, Section 240.10b-5, and Title 18, United States Code, Section 2 before the United States District Court for the District of New Jersey, in United States v. Carlo G. Chiaese, Crim. Information No. 11-CR-00193. The count of the criminal information to which Chiaese pled guilty alleged, inter alia, that Chiaese defrauded investors and obtained approximately $2.4 million in money and property by means of materially false and misleading statements and that he used the means and instrumentalities of interstate commerce, United States mails, and facilities of national securities exchanges to defraud investors. Based on the above, the Order bars Carlo G. Chiaese from association with broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization; and bars him from participating in any offering of a penny stock, including: acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock. Carlo G. Chiaese consented to the issuance of the Order without admitting or denying any of the findings, except that he admitted the entry of the criminal conviction. (Rel. 34-64932; IA-3248; File No. 3-14477) In the Matter of Thomas F. PiersonOn July 20, 2011, the Commission instituted Administrative Proceedings Pursuant to Rule 102(e) of the Commission’s Rules of Practice, Making Findings and Imposing Remedial Sanctions (Order) against Thomas F. Pierson. The Order finds that the Court in SEC v. Greenstone Holdings, Inc., et al., 10 civ. 1302 (SDNY) entered a permanent injunction against Thomas F. Pierson enjoining him from committing future violations of Sections 5 and 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. Based on the above, the Order suspends Thomas F. Pierson from appearing or practicing before the Commission as an attorney. Thomas F. Pierson consented to the issuance of the Order without admitting or denying any of the findings in the Order, except he admitted the entry of the injunction. (Rel. 34-64936; File No. 3-14478) SEC Obtains Asset Freezes Within Days of Alleged Insider Trading by Three Swiss EntitiesThe Securities and Exchange Commission announced that, on July 15, 2011, it obtained asset freezes and other emergency relief against three Swiss-based entities it has charged with insider trading. The defendants traded ahead of a July 11 public announcement that Swiss-based Lonza Group Ltd. will acquire Connecticut-based Arch Chemicals, Inc. According to the Commission’s complaint, which was filed within days of the alleged insider trading, Compania International Financiera S.A., Coudree Capital Gestion S.A., and Chartwell Asset Management Services purchased more than a million common shares of Arch Chemicals between July 5 and July 8, mostly in accounts based in London, England. Immediately after the acquisition announcement on July 11, the firms began selling the recently-purchased shares of Arch Chemicals common stock for millions of dollars in profits. The Commission’s complaint alleges that, at the time the defendants purchased the shares, they are believed to have been in possession of material, non-public information about Lonza’s proposed acquisition of Arch Chemicals. In filing its complaint in U.S. District Court for the Southern District of New York, the Commission requested emergency relief, noting that because the defendants are foreign entities and placed their trades in overseas accounts, there was a substantial risk that, upon clearance at U.S. brokerage firms, the proceeds of the trades likely would be transferred overseas. The Honorable P. Kevin Castel, acting as emergency judge, granted the Commission’s requested relief late in the day on July 15. Among other things, the court’s order froze certain assets of the defendants and ordered repatriation of all assets obtained from the trading described in the Commission’s complaint. The court has scheduled a preliminary injunction hearing in this matter for July 28. The case has been assigned to the Honorable Denise L. Cote. The Commission’s complaint charges the defendants with violating Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5. In addition to a preliminary injunction, asset freeze and other equitable relief, the complaint seeks a permanent injunction, disgorgement of illegal trading profits plus prejudgment interest, and civil monetary penalties. [SEC v. Compania International Financiera S.A., et al., Civil Action No. 11-cv-04904-DLC, United States District Court, Southern District of New York] (LR-22049) SEC Settles Insider Trading Case Involving the Securities of Brink’s Home SecurityOn July 19, 2011, the Securities and Exchange Commission filed a settled civil action in the United States District Court in New York City against Robert Doyle. The Commission alleges that Doyle unlawfully traded in securities of Brink’s Home Security. According to the Commission, between August 2009 and December 2009, Doyle misappropriated material nonpublic information showing that Tyco International, Ltd. had offered to acquire Brink’s. On the basis of this information, Doyle purchased Brink’s common stock and call options. Doyle earned $88,555 from his illegal trading in Brink’s securities. Without admitting or denying the complaint’s allegations, Doyle has agreed to settle the Commission’s charges by consenting to entry of a final judgment permanently enjoining him from violating Section 10(b) of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 10b-5 thereunder, and ordering him to pay a $44,277.50 civil penalty, $88,555 in disgorgement and $4,288.66 in prejudgment interest. [SEC v. Robert Doyle, Civil Action No. 11-cv-4964(SAS), United States District Court for the Southern District of New York] (LR-22050) Investment Company Act ReleasesRussell Exchange Traded Funds Trust, et al.An order has been issued on an application filed by Russell Exchange Traded Funds Trust, et al., for an order to permit: (a) series of certain actively managed open-end management investment companies to issue shares (Shares) redeemable in large aggregations only (Creation Units); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days from the tender of Shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares. (Rel. IC-29727 - July 19) TIAA-CREF Funds, et al.An order has been issued on an application filed by TIAA-CREF Funds, et al. for an order under Section 17(d) of the Investment Company Act and Rule 17d-1 under the Act. The order permits certain registered open-end investment companies in the same group of investment companies to enter into a special servicing agreement. (Rel. IC-29728 – July 19) Self-Regulatory OrganizationsImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by BATS Exchange to expand the short term option program (SR-BATS-2011-022) 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 18. (Rel. 34-64914) A proposed rule change filed by the Chicago Stock Exchange (SR-CHX-2011-13) regarding the obligations of Exchange-registered Institutional Brokers 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 July 18. (Rel. 34-64915) A proposed rule change filed by New York Stock Exchange (SR-NYSE-2011-35) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934 to amend the net liquid asset requirements for DMM units. Publication is expected in the Federal Register during the week of July 18. (Rel. 34-64918) Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule ChangeThe Commission has designated a longer period for Commission action under Section 19(b)(2) of the Securities Exchange Act of 1934 on proceedings to determine whether to approve or disapprove a proposed rule change (SR-NASDAQ-2011-010), submitted by The NASDAQ Stock Market, to link market data fees and transaction execution fees. Publication is expected in the Federal Register during the week of July 18. (Rel. 34-64916) 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. N-2 FS Investment Corp II, CIRA CENTRE, 2929 ARCH STREET, SUIT 675, PHILADELPHIA, PA, 19104, 215-495-1150 - 0 ($1,500,000,000.00) Equity, (File 333-175654 - Jul. 19) (BR. 18) N-2 GSV Capital Corp., 2965 WOODSIDE ROAD, WOODSIDE, CA, 94062, (650) 294-4777 - 0 ($100,000,000.00) Equity, (File 333-175655 - Jul. 19) (BR. 16) S-8 ARBOR REALTY TRUST INC, 333 EARLE OVINGTON BOULEVARD, SUITE 900, UNIONDALE, NY, 11553, 516-506-4200 - 0 ($5,612,500.00) Equity, (File 333-175656 - Jul. 19) (BR. 08B) S-8 EDGEWATER TECHNOLOGY INC/DE/, 20 HARVARD MILL SQUARE, WAKEFIELD, MA, 01880, 781-213-9854 - 700,000 ($1,918,000.00) Equity, (File 333-175660 - Jul. 19) (BR. 03B) F-1 Cathay Industrial Biotech Ltd., 3F, Building 5, 1690 Cailun Road, Zhangjiang High-tech Park, Shanghai, F4, 201203, (86)-21-5080-1916 - 0 ($200,000,000.00) ADRs/ADSs, (File 333-175661 - Jul. 19) (BR. 06A) N-2 Guggenheim Equal Weight Enhanced Equity Income Fund, 2455 CORPORATE WEST DRIVE, LISLE, IL, 60532, 630-505-3700 - 50,000 ($1,000,000.00) Equity, (File 333-175662 - Jul. 19) (BR. ) S-11 AmREIT, Inc., 8 GREENWAY PLAZA, SUITE 1000, HOUSTON, TX, 77046, (713) 860-4909 - 0 ($86,250,000.00) Equity, (File 333-175663 - Jul. 19) (BR. 08A) S-3 BIOLASE TECHNOLOGY INC, 4 CROMWELL, IRVINE, CA, 92618, 949-361-1200 - 0 ($12,227,460.00) Equity, (File 333-175664 - Jul. 19) (BR. 10A) 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 2-Track Global, Inc. 5.07 07/13/11 3D SYSTEMS CORP DE 8.01,9.01 07/19/11 ACCELERATED ACQUISITION XII DE 1.01,5.01,5.02,9.01 07/16/11 AEHR TEST SYSTEMS CA 2.02,9.01 05/31/11 AEROSONIC CORP /DE/ DE 5.07 07/14/11 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 07/19/11 Alpha Natural Resources, Inc. DE 8.01,9.01 07/19/11 ALTERA CORP DE 2.02,8.01,9.01 07/19/11 ALTERNET SYSTEMS INC NV 1.01 07/19/11 Alto Group Holdings Inc. NV 1.01,3.02 07/14/11 AMCON DISTRIBUTING CO DE 2.02,9.01 07/19/11 AMERICAN CHURCH MORTGAGE CO MN 1.01,7.01,9.01 07/13/11 AMERICAN PETRO-HUNTER INC NV 1.01,8.01,9.01 07/13/11 AMERISERV FINANCIAL INC /PA/ PA 2.02 07/19/11 ANDAIN, INC. NV 1.01,3.02,9.01 07/19/11 ANWORTH MORTGAGE ASSET CORP MD 2.02,9.01 07/19/11 APPLE INC CA 2.02,9.01 07/19/11 APTARGROUP INC DE 2.02,5.02,9.01 07/19/11 ARCADIA RESOURCES, INC NV 3.01,9.01 07/15/11 ARTESIAN RESOURCES CORP DE 1.01 07/15/11 AspenBio Pharma, Inc. CO 8.01,9.01 07/19/11 AUDIOVOX CORP DE 8.01 07/18/11 Avantair, Inc DE 5.02,9.01 07/14/11 Avery Dennison Corp DE 2.02,9.01 07/18/11 BANK OF AMERICA CORP /DE/ DE 2.02,7.01,9.01 07/19/11 Bank of New York Mellon CORP DE 2.02,9.01 07/19/11 BAR HARBOR BANKSHARES ME 8.01,9.01 07/19/11 BEACON ENTERPRISE SOLUTIONS GROUP INC NV 7.01,9.01 07/19/11 BEACON POWER CORP DE 5.07 07/13/11 BEHRINGER HARVARD SHORT TERM OPPORTUN TX 7.01,9.01 07/18/11 BioMed Realty Trust Inc MD 1.01,1.02,2.03,7.01, 07/14/11 9.01 BioSolar Inc NV 5.03,9.01 07/18/11 BIOTIME INC CA 8.01,9.01 07/19/11 BLUE SPHERE CORP. NV 1.01,9.01 07/19/11 BREEZE-EASTERN CORP DE 1.01,3.03,5.03,8.01, 07/18/11 9.01 BUCKEYE TECHNOLOGIES INC DE 7.01,8.01,9.01 07/18/11 CAPITAL ONE FINANCIAL CORP DE 1.01,7.01,8.01,9.01 07/13/11 CAPITAL SOUTHWEST CORP TX 5.07 07/19/11 Carbon Natural Gas Co DE 5.03,9.01 07/18/11 Carter Validus Mission Critical REIT, MD 1.01,2.01,2.03,9.01 07/14/11 CATALYST HEALTH SOLUTIONS, INC. DE 5.02,7.01,9.01 07/19/11 CATO CORP DE 5.02,9.01 07/19/11 CENTRAL FEDERAL CORP DE 3.01,9.01 07/19/11 CHARMING SHOPPES INC PA 1.01,2.03,9.01 07/12/11 CHARTER FINANCIAL CORP/GA 8.01,9.01 07/18/11 CHEESECAKE FACTORY INC DE 8.01,9.01 07/19/11 CHINA GREEN MATERIAL TECHNOLOGIES, IN NV 4.01,9.01 07/13/11 China Industrial Waste Management Inc NV 4.01,9.01 07/15/11 AMEND CHIPOTLE MEXICAN GRILL INC 2.02,9.01 07/19/11 CINTAS CORP WA 2.02,9.01 07/19/11 CITIZENS INC CO 8.01 07/15/11 CITIZENS INC CO 8.01 07/15/11 AMEND CLAIBORNE LIZ INC DE 7.01 07/13/11 Clark Holdings Inc. DE 1.01,9.01 07/14/11 CLOROX CO /DE/ DE 8.01,9.01 07/18/11 CLOROX CO /DE/ DE 1.01,3.03,5.03,8.01, 07/18/11 9.01 COCA COLA CO DE 2.02,9.01 07/19/11 CODORUS VALLEY BANCORP INC PA 2.02,9.01 07/18/11 Cole Credit Property Trust II Inc MD 8.01 07/19/11 COMERICA INC /NEW/ 2.02,7.01,9.01 07/19/11 COMMERCIAL BARGE LINE CO DE 5.02,9.01 07/14/11 COMPUTER TASK GROUP INC NY 7.01,9.01 07/19/11 Cornerstone Core Properties REIT, Inc MD 8.01,9.01 07/19/11 COSTCO WHOLESALE CORP /NEW WA 8.01,9.01 07/18/11 CROSS TIMBERS ROYALTY TRUST TX 2.02,9.01 07/19/11 CROSSTEX ENERGY INC DE 7.01,9.01 07/19/11 CROSSTEX ENERGY LP DE 7.01,9.01 07/19/11 CROWN HOLDINGS INC PA 2.02,9.01 07/19/11 CSX CORP VA 2.02,9.01 07/19/11 CVD EQUIPMENT CORP NY 5.02 07/14/11 CYBEX INTERNATIONAL INC NY 2.02,9.01 07/19/11 DAHUA INC DE 4.01,9.01 07/18/11 DANAHER CORP /DE/ DE 1.01,1.02,2.03,9.01 07/15/11 DELCATH SYSTEMS INC DE 1.01,8.01,9.01 07/14/11 Diamond Resorts Corp MD 8.01,9.01 07/14/11 DIGITAL ANGEL CORP DE 5.07,8.01,9.01 07/14/11 Discovery Communications, Inc. DE 5.02 07/19/11 Diversified Opportunities, Inc. DE 8.01,9.01 07/15/11 ELRAY RESOURCES, INC. NV 1.01 02/23/11 AMEND EMISPHERE TECHNOLOGIES INC DE 5.02,9.01 07/15/11 ENDEAVOUR INTERNATIONAL CORP NV 8.01,9.01 07/18/11 Energy Transfer Equity, L.P. DE 7.01,8.01,9.01 07/19/11 Energy Transfer Partners, L.P. DE 7.01,8.01,9.01 07/19/11 ENSIGN GROUP, INC 1.01,2.03,8.01,9.01 07/15/11 ENTERPRISE BANCORP INC /MA/ MA 8.01,9.01 07/19/11 ENTERPRISE FINANCIAL SERVICES CORP DE 5.02 07/14/11 ENTEST BIOMEDICAL, INC. NV 8.01,9.01 07/19/11 EOG RESOURCES INC DE 7.01 07/18/11 EQUITY LIFESTYLE PROPERTIES INC MD 2.02,9.01 07/18/11 EXAR CORP DE 2.02,9.01 07/18/11 EXELIXIS INC DE 5.02 07/18/11 EXPLORE ANYWHERE HOLDING CORP NV 2.01,3.02,5.06,9.01 02/04/11 AMEND Federal Home Loan Bank of Atlanta X1 2.03 07/19/11 Federal Home Loan Bank of Boston X1 2.03 07/13/11 Federal Home Loan Bank of Chicago X1 2.03 07/13/11 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 07/13/11 Federal Home Loan Bank of Dallas 2.03,9.01 07/13/11 Federal Home Loan Bank of Des Moines X1 2.03,9.01 07/15/11 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 07/19/11 Federal Home Loan Bank of New York X1 2.03,9.01 07/13/11 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 07/13/11 Federal Home Loan Bank of San Francis X1 2.03 07/13/11 Federal Home Loan Bank of Seattle 2.03 07/14/11 Federal Home Loan Bank of Topeka 2.03,9.01 07/13/11 Fidelity National Information Service 2.02,9.01 07/19/11 Fifth Street Finance Corp DE 8.01,9.01 07/18/11 FIRST BANCORP /PR/ PR 1.01,9.01 07/14/11 FIRST BANCORP /PR/ PR 9.01 05/30/11 AMEND FIRST BANCORP /PR/ PR 1.01,9.01 06/27/11 AMEND FIRST BANKS, INC MO 5.02,5.07,9.01 07/13/11 FIRST COMMONWEALTH FINANCIAL CORP /PA PA 7.01,9.01 07/19/11 FIRST HORIZON NATIONAL CORP TN 5.03,9.01 07/18/11 FOREST CITY ENTERPRISES INC OH 1.01,2.03,3.02,8.01, 07/19/11 9.01 Forex International Trading Corp. NV 2.02,7.01,9.01 07/18/11 FORMFACTOR INC DE 5.02 04/25/11 AMEND FORTINET INC 2.02,9.01 07/19/11 FRONTIER FUND DE 8.01 07/15/11 FULTON FINANCIAL CORP PA 2.02,9.01 07/19/11 FutureFuel Corp. DE 5.07 07/15/11 G III APPAREL GROUP LTD /DE/ DE 5.02 07/18/11 GILLA INC. NV 7.01,9.01 07/19/11 GLOBALSCAPE INC DE 8.01 07/19/11 Golden Minerals Co 1.01,8.01,9.01 07/13/11 GOLDMAN SACHS GROUP INC DE 2.02,8.01,9.01 07/19/11 GOLDMAN SACHS GROUP INC DE 9.01 07/19/11 Graham Packaging Co Inc. DE 7.01 07/19/11 Graham Packaging Co Inc. DE 8.01,9.01 07/19/11 GRAHAM PACKAGING HOLDINGS CO DE 1.01,7.01,9.01 07/15/11 GRAHAM PACKAGING HOLDINGS CO DE 8.01,9.01 07/19/11 GRAINGER W W INC IL 2.02,9.01 07/19/11 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 07/19/11 GREAT WEST LIFE & ANNUITY INSURANCE C CO 5.07 07/18/11 GREENE COUNTY BANCORP INC DE 5.02,9.01 07/18/11 Greenfield Farms Food, Inc. NV 7.01,9.01 07/18/11 GREIF INC DE 1.01,2.03,9.01 07/19/11 Grubb & Ellis Healthcare REIT II, Inc MD 7.01,9.01 07/19/11 H&R BLOCK INC MO 5.02,9.01 07/19/11 HALLIBURTON CO DE 2.02 07/18/11 HARLEY DAVIDSON INC WI 2.02,9.01 07/19/11 Hatteras Financial Corp 5.07 05/04/11 AMEND HAYNES INTERNATIONAL INC DE 5.07 02/28/11 AMEND HEALTHCARE TRUST OF AMERICA, INC. MD 8.01,9.01 03/31/10 HEARTLAND EXPRESS INC NV 2.02,9.01 07/19/11 Helios & Matheson Information Technol DE 8.01 07/18/11 Hines Global REIT, Inc. MD 8.01,9.01 07/19/11 Homeland Security Capital CORP DE 1.01,8.01,9.01 07/15/11 HUGOTON ROYALTY TRUST TX 2.02,9.01 07/19/11 Huron Consulting Group Inc. DE 5.02,9.01 07/19/11 ID SYSTEMS INC DE 1.01,2.03 07/14/11 INFINERA CORP DE 2.02,9.01 07/19/11 INFORMATION SYSTEMS ASSOCIATES, INC. FL 1.01,2.03,3.02 07/15/11 INTERNATIONAL BUSINESS MACHINES CORP NY 2.02 07/18/11 Intrepid Potash, Inc. DE 2.02,7.01,9.01 07/19/11 INTUITIVE SURGICAL INC DE 2.02,9.01 07/19/11 INX Inc DE 5.02,5.07,7.01,9.01 07/14/11 JINZANGHUANG TIBET PHARMACEUTICALS, I DE 4.01,9.01 07/13/11 JOHNSON & JOHNSON NJ 2.02,9.01 07/19/11 JOHNSON & JOHNSON NJ 8.01,9.01 07/15/11 KEYCORP /NEW/ OH 2.02,7.01,9.01 07/19/11 Keyuan Petrochemicals, Inc. NV 3.01,9.01 07/13/11 KINETIC CONCEPTS INC TX 8.01,9.01 07/19/11 KIT digital, Inc. DE 2.02,9.01 07/19/11 KLONDIKE STAR MINERAL CORP DE 1.01 07/18/11 KNOLL INC DE 2.02,9.01 07/19/11 Kodiak Oil & Gas Corp B0 1.01,7.01,9.01 07/18/11 KULICKE & SOFFA INDUSTRIES INC PA 8.01,9.01 07/19/11 L-1 IDENTITY SOLUTIONS, INC. DE 8.01,9.01 07/19/11 LACLEDE GROUP INC MO 1.01,1.02,2.03,7.01, 07/18/11 9.01 LEVEL 3 COMMUNICATIONS INC DE 2.02,7.01,8.01,9.01 07/14/11 Li-ion Motors Corp. NV 2.03,3.02,9.01 07/14/11 LINCARE HOLDINGS INC DE 2.02,9.01 07/18/11 LogMeIn, Inc. DE 7.01,9.01 07/19/11 LSB INDUSTRIES INC DE 3.02 07/19/11 LUCAS ENERGY, INC. NV 1.01,9.01 07/18/11 MAGNUM HUNTER RESOURCES CORP DE 1.01,2.02,2.03,7.01, 07/13/11 9.01 MAJIC WHEELS CORP 4.01 06/13/11 AMEND MANHATTAN ASSOCIATES INC GA 2.02,9.01 07/19/11 MERCANTILE BANK CORP MI 2.02,9.01 07/19/11 MESABI TRUST NY 2.02 07/15/11 AMEND Monotype Imaging Holdings Inc. DE 1.01,1.02,2.03,9.01 07/13/11 MORRIS PUBLISHING GROUP LLC GA 8.01 07/15/11 MOSAIC CO 2.02,9.01 07/18/11 MusclePharm Corp NV 1.01,3.02,9.01 07/07/11 MusclePharm Corp NV 7.01,9.01 07/14/11 MVC CAPITAL, INC. DE 8.01 07/14/11 Myecheck Inc. NV 1.01 07/18/11 NB Manufacturing, Inc. NV 5.01,8.01 07/12/11 NB&T FINANCIAL GROUP INC OH 2.02,7.01,9.01 07/19/11 NEOMEDIA TECHNOLOGIES INC DE 1.01,3.02,9.01 07/13/11 NEOPROBE CORP DE 1.01,8.01,9.01 05/24/11 AMEND NET TALK.COM, INC. FL 3.02 07/19/11 NEWPORT CORP NV 7.01 07/19/11 NEWS CORP 8.01 07/19/11 NINE MILE SOFTWARE, INC. NV 4.01,9.01 07/15/11 Nissan Auto Lease Trust 2011-A DE 1.01,9.01 07/14/11 NORTH CENTRAL BANCSHARES INC IA 8.01 07/19/11 NORTHERN TRUST CORP DE 5.02,9.01 07/19/11 NORTHERN TRUST CORP DE 5.05,9.01 07/19/11 NuStar GP Holdings, LLC DE 1.01,2.03,9.01 07/14/11 OCCIDENTAL PETROLEUM CORP /DE/ DE 5.02,9.01 07/13/11 OCWEN FINANCIAL CORP FL 7.01,9.01 07/19/11 Oiltanking Partners, L.P. DE 1.01,2.01,2.03,3.02, 07/13/11 5.02,5.03,9.01 OLD SECOND BANCORP INC DE 8.01 07/19/11 OMNICOM GROUP INC NY 2.02,7.01,9.01 07/19/11 OMNOVA SOLUTIONS INC OH 5.07 03/22/11 AMEND PACKAGING CORP OF AMERICA 2.02,9.01 07/18/11 PEABODY ENERGY CORP DE 2.02,9.01 07/19/11 PEOPLES FINANCIAL SERVICES CORP. PA 9.01 06/30/11 PETMED EXPRESS INC FL 8.01,9.01 07/18/11 PETROQUEST ENERGY INC DE 8.01,9.01 07/18/11 PIONEER NATURAL RESOURCES CO DE 2.02,7.01 07/19/11 Pioneer Southwest Energy Partners L.P DE 2.02,7.01 07/19/11 PLATINUM UNDERWRITERS HOLDINGS LTD D0 2.02,9.01 07/19/11 POLARIS INDUSTRIES INC/MN MN 2.02,7.01,9.01 07/19/11 PRIME GLOBAL CAPITAL GROUP Inc NV 5.02,9.01 07/19/11 PRINCIPAL FINANCIAL GROUP INC DE 7.01 07/19/11 PROGRESS SOFTWARE CORP /MA MA 5.02 07/18/11 QR Energy, LP DE 5.02 07/18/11 RAAM Global Energy Co DE 1.01,2.03,9.01 07/15/11 RADIANT LOGISTICS, INC DE 5.03,9.01 07/13/11 RANGE RESOURCES CORP DE 7.01,9.01 07/18/11 RBC Bearings INC 5.02,9.01 07/13/11 RECOVERY ENERGY, INC. NV 7.01,9.01 07/15/11 RENASANT CORP MS 2.02,9.01 07/19/11 Riverbed Technology, Inc. DE 2.02,9.01 07/19/11 Rockville Financial, Inc. /CT/ CT 5.02,9.01 07/18/11 Rockville Financial, Inc. /CT/ CT 8.01,9.01 07/19/11 ROGERS CORP MA 1.01,2.03 07/13/11 ROTECH HEALTHCARE INC DE 7.01,9.01 07/19/11 ROYAL BANCSHARES OF PENNSYLVANIA INC PA 5.02 07/15/11 ROYAL CARIBBEAN CRUISES LTD 1.01,2.03,9.01 07/15/11 RUDOLPH TECHNOLOGIES INC DE 2.02,8.01,9.01 07/19/11 RXI PHARMACEUTICALS CORP 5.07 07/15/11 Sabra Health Care REIT, Inc. MD 2.02,8.01 07/19/11 SAN JUAN BASIN ROYALTY TRUST TX 2.02,9.01 07/19/11 SANUWAVE Health, Inc. NV 4.01,9.01 07/18/11 SCOTTS LIQUID GOLD INC CO 5.02,5.03,9.01 07/13/11 SENTRY PETROLEUM LTD. 7.01,9.01 07/19/11 SKY PETROLEUM, INC. NV 7.01,9.01 07/18/11 SL GREEN REALTY CORP MD 5.07 07/15/11 AMEND SM Energy Co DE 7.01,9.01 07/19/11 SMITH A O CORP DE 2.02,9.01 07/19/11 SMUCKER J M CO OH 7.01,9.01 07/19/11 SOUTHERN UNION CO DE 7.01,8.01,9.01 07/19/11 Spectrum Brands Holdings, Inc. DE 8.01,9.01 07/14/11 STATE STREET Corp MA 2.02,9.01 07/19/11 STEEL DYNAMICS INC IN 5.02,8.01,9.01 07/14/11 STERLING BANCSHARES INC TX 2.02,9.01 07/19/11 STONE ENERGY CORP DE 7.01,9.01 07/18/11 STRYKER CORP MI 2.02,9.01 06/30/11 SUFFOLK BANCORP NY 3.01 07/18/11 Susser Holdings CORP DE 2.02,9.01 07/19/11 TABLE TRAC INC NV 5.02,9.01 07/14/11 Talon Therapeutics, Inc. 1.01,8.01,9.01 07/15/11 TAUBMAN CENTERS INC MI 2.02,9.01 07/19/11 TC PIPELINES LP DE 1.01,2.03,9.01 07/13/11 TD AMERITRADE HOLDING CORP DE 2.02,9.01 07/19/11 TIDEWATER INC DE 5.07 07/14/11 TIDEWATER INC DE 8.01,9.01 07/15/11 TitleMax Finance Corp DE 7.01 07/19/11 TMX Finance LLC DE 7.01 07/19/11 TRANSATLANTIC PETROLEUM LTD. D0 1.01,5.02,9.01 07/13/11 TRI VALLEY CORP DE 5.02,9.01 07/15/11 TSR INC DE 5.02 07/14/11 ULTRALIFE CORP DE 5.02 06/29/11 AMEND UNITED RENTALS INC /DE DE 2.02,7.01,9.01 07/19/11 UNITEDHEALTH GROUP INC MN 2.02,9.01 07/19/11 USA TRUCK INC DE 5.02 07/13/11 Valiant Health Care, Inc. FL 5.02 07/18/11 Vanity Events Holding, Inc. DE 1.01,3.02,5.02,9.01 07/13/11 VENTRUS BIOSCIENCES INC DE 8.01,9.01 07/19/11 VERDE RESOURCES, INC. NV 5.03,9.01 07/18/11 VERINT SYSTEMS INC DE 7.01,9.01 07/19/11 Vican Resources, Inc. NV 4.01 07/19/11 VISTA GOLD CORP B0 7.01 07/19/11 VMWARE, INC. DE 2.02,9.01 07/19/11 WACCAMAW BANKSHARES INC NC 8.01,9.01 07/18/11 WASHINGTON FEDERAL INC WA 2.02,7.01,9.01 07/18/11 WASHINGTON POST CO DE 8.01,9.01 07/19/11 WASTE CONNECTIONS, INC. DE 2.02,7.01,9.01 07/19/11 WebMD Health Corp. DE 2.02,9.01 07/18/11 WELLS FARGO & CO/MN DE 2.02,9.01 07/19/11 WELLS REAL ESTATE INVESTMENT TRUST II MD 1.01,5.07,9.01 07/13/11 WESTAMERICA BANCORPORATION CA 2.02,9.01 07/19/11 WHITE MOUNTAIN TITANIUM CORP NV 5.02 07/18/11 WINLAND ELECTRONICS INC MN 8.01,9.01 07/18/11 WORLD FUEL SERVICES CORP FL 7.01,9.01 07/19/11 XL GROUP PLC L2 8.01,9.01 07/18/11 AMEND XTREME GREEN PRODUCTS INC. NV 4.01,9.01 07/14/11 YAHOO INC DE 2.02,9.01 07/19/11 Zoo Entertainment, Inc DE 1.01,3.02,5.02,8.01, 07/13/11 9.01 Zoro Mining Corp. NV 5.02 07/14/11
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