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Enforcement ProceedingsApparel America, Inc. (n/k/a HSK Industries, Inc.)An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default as to Five Respondents (Default Order) in Apparel America, Inc. (n/k/a HSK Industries, Inc.), Admin. Proc. No. 3-14420. 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 Apparel America, Inc. (n/k/a HSK Industries, Inc.), Decora Industries, Inc., Diversicon Holdings Corp., Flagship Global Health, Inc., and Integrated Transportation Network Group, Inc., pursuant to Section 12(j) of the Securities Exchange Act of 1934. The proceeding has ended as to Respondent Premier Wealth Management, Inc. (a/k/a Premiere Wealth Management, Inc.). See Apparel America, Inc. (n/k/a HSK Industries, Inc.), Exchange Act Release No. 64919 (July 20, 2011). (Rel. 34-64995; File No. 3-14420) SEC Suspends Divine Capital Markets, LLC From Participating in Penny Stock OfferingsCease-and-Desist Orders, Suspensions, and Monetary Sanctions Imposed Against Divine CEO Danielle Hughes, and Broker Michael BuonomoOn August 1, 2011, the Securities and Exchange Commission settled an administrative proceeding and imposed cease-and-desist orders, suspensions, and monetary sanctions against Divine Capital Markets, LLC (Divine), Divine’s majority owner and Chief Executive Officer Danielle Hughes, and former Divine registered representative Michael Buonomo for violations of Sections 5(a) and (c) of the Securities Act of 1933 in connection with the sale of unregistered securities of Advanced Optics Electronics, Inc. (ADOT). Without admitting or denying the findings, except as to jurisdiction, which they admitted, the Respondents consented to the following: Divine consented to the entry of an Order imposing a censure; requiring that it cease and desist from committing or causing any violations and any future violations of Sections 5(a) and (c) of the Securities Act; suspending it from participating in any offering of penny stock for a period of twelve months; and requiring that it pay disgorgement of $33,762, prejudgment interest of $6,921, and a civil penalty in the amount of $60,000. Hughes consented to the entry of an Order suspending her from association in a supervisory capacity with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating agency for a period of four months; and requiring her to pay a civil money penalty in the amount of $25,000. Buonomo consented to the entry of an Order requiring that he cease and desist from committing or causing any violations and any future violations of Sections 5(a) and (c) of the Securities Act; suspending him from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating agency for a period of twelve months; and requiring him to pay disgorgement of $29,017 and prejudgment interest of $5,948, but waiving payment of such amount except for $3,000 based upon his demonstrated inability to pay. The Orders resolve the proceeding captioned In the Matter of Divine Capital Markets, LLC, Danielle Hughes, and Michael Buonomo. (Rels. 33-9247; 33-9248; 34-64998; 34-64999; File No. 3-14274) SEC Obtains Court Orders Continuing Freeze on More Than $32 Million in Assets of Three Swiss Entities in Insider Trading CaseThe Securities and Exchange Commission announced today that it has obtained court orders continuing asset freezes on more than $32 million in assets controlled by three Swiss entities charged with insider trading ahead of a July 11, 2011 public announcement that Swiss-based Lonza Group Ltd. will acquire Connecticut-based Arch Chemicals, Inc. The Commission filed its action on July 15, 2011, in the U.S. District Court for the Southern District of New York, and the court issued a temporary asset freeze that day against defendants Compania International Financiera S.A. (Compania), Coudree Capital Gestion S.A. (Coudree), and Chartwell Asset Management Services (Chartwell). The District Court has now entered orders continuing those asset freezes in specific amounts based on the size of the defendants’ profits plus potential penalty amounts. The Court entered an asset freeze order by consent as to defendants Compania and Coudree on July 26, 2011, freezing approximately $14.7 million of their assets. After a hearing as to defendant Chartwell on July 28, 2011, the court entered an order on July 29, 2011, freezing over $18 million of its assets. The Commission’s complaint was filed within days of the alleged insider trading. According to the Commission’s filings, Compania and Coudree purchased more than 687,000 common shares of Arch Chemicals between July 5 and July 8, mostly in accounts based in London, England. During the same time period, Chartwell purchased contracts for difference (CFDs) equivalent to 425,300 Arch Chemicals common shares through a brokerage account in London. The Court noted in its opinion and order that CFDs constitute securities as defined by the federal securities laws. Immediately after the acquisition announcement on July 11, the firms began selling the recently-purchased Arch Chemicals common stock and CFDs for millions of dollars in profits. The Commission’s complaint alleges that, at the time the defendants purchased the securities, they are believed to have been in possession of material, non-public information about Lonza’s proposed acquisition of Arch Chemicals. After a hearing on July 28, 2011, before the Honorable Denise L. Cote in the United States District Court for the Southern District of New York, the District Court on July 29, 2011, ordered an asset freeze against Chartwell in the amount of the trading profits ($4,651,995) plus a potential civil penalty of three times that amount ($13,955,985), totaling $18,607,980. The Court further ordered Chartwell to repatriate all assets obtained from the activities described in the Complaint to the United States, and to refrain from destroying any potentially discoverable materials related to the Complaint. In the Court’s Opinion and Order issued on July 29, Judge Cote found that “the discovery collected by the [Commission] … reveals a pattern of trading [by Chartwell] in the context of a tip that is not just consistent with, but also suggestive of, insider trading,” and concluded that the relief sought by the Commission was thus warranted because “there is a likelihood that the [Commission] will succeed on the merits in establishing a 10(b) violation” by Chartwell. Previously, on July 26, 2011, the District Court issued an asset freeze order by consent as to defendants Compania and Coudree. Those defendants have deposited $14,784,006 into a court-controlled bank account pending the outcome of the Commission’s action, including more than $7 million in trading profits, after agreeing to the entry of the asset freeze. 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. The Commission’s investigation is continuing. The Commission acknowledges the assistance of the FINRA Office of Fraud Detection and Market Intelligence in its investigation. [SEC v. Compania International Financiera S.A., et al., Civil Action No. 11-cv-04904-DLC (USDC SDNY)] (LR-22055) Self-Regulatory OrganizationsProposed Rule ChangesThe Financial Industry Regulatory Authority filed a proposed rule change (SR-FINRA-2011-035) to adopt FINRA Rules 2210 (Communications with the Public), 2212 (Use of Investment Companies Rankings in Retail Communications), 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings), 2214 (Requirements for the Use of Investment Analysis Tools), 2215 (Communications with the Public Regarding Security Futures), and 2216 (Communications with the Public About Collateralized Mortgage Obligations (CMOs)) in the Consolidated FINRA Rulebook. Publication is expected to in the Federal Register during the week of August 1. (Rel. 34-64984) The Chicago Stock Exchange filed a proposed rule change (SR-CHX-2011-21) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to amend Article 20, Rule 9 (Cancellation of Transactions) and Interpretation and Policy .01 thereunder regarding the cancellation of the stock leg of stock-option transactions done on the Exchange. Publication is expected to in the Federal Register during the week of August 1. (Rel. 34-64985) NYSE Amex filed a proposed rule change (SR-NYSEAmex-2011-54) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 to amend the definition of approved person to exclude foreign affiliates, create a new definition of “foreign securities affiliate,” eliminate the application process for approved persons, and make related technical and conforming changes. Publication is expected to in the Federal Register during the week of August 1. (Rel. 34-64987) New York Stock Exchange filed a proposed rule change (SR-NYSE-2011-36) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 to amend the definition of approved person to exclude foreign affiliates, create a new definition of “foreign securities affiliate,” eliminate the application process for approved persons, and make related technical and conforming changes. Publication is expected to in the Federal Register during the week of August 1. (Rel. 34-64988) Immediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by the EDGA Exchange (SR-EDGA-2011-23) relating to amendments to the EDGA Exchange, Inc. Fee Schedule has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected to in the Federal Register during the week of August 1. (Rel. 34-64989) A proposed rule change filed by the EDGX Exchange (SR-EDGX-2011-22) relating to amendments to the EDGX Exchange, Inc. Fee Schedule has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected to in the Federal Register during the week of August 1. (Rel. 34-64990) A proposed rule change filed by the International Securities Exchange (SR-ISE-2011-43) relating to fees and rebates for adding and removing liquidity has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected to in the Federal Register during the week of August 1. ((Rel. 34-64992) Approval of Proposed Rule ChangeThe Commission approved a proposed rule change (SR-CBOE-2011-039) submitted by Chicago Board Options Exchange pursuant to Rule 19b-4 under the Securities Exchange Act of 1934, to list and trade single stock dividend options. Publication is expected to in the Federal Register during the week of August 1. (Rel. 34-64991) Securities Act RegistrationsThe following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. S-8 HORIZON PHARMA, INC., 1033 SKOKIE BLVD, SUITE 355, NORTHBROOK, IL,
60062, 224-383-3000 - 0 ($52,693,061.00) Equity, (File 333-175876 -
Jul. 29) (BR. 01B)
S-1 INTERMOLECULAR INC, 3011 NORTH FIRST STREET, SAN JOSE, CA, 95134,
(408) 582-5700 - 0 ($200,000,000.00) Equity, (File 333-175877 -
Jul. 29) (BR. )
S-1 Ignite Restaurant Group, Inc., 9900 WESTPARK DRIVE, SUITE 300, HOUSTON,
TX, 77063, (713) 336-7500 - 0 ($100,000,000.00) Equity,
(File 333-175878 - Jul. 29) (BR. )
S-8 REPUBLIC SERVICES, INC., 18500 N. ALLIED WAY, PHOENIX, AZ, 85054,
480 627 2700 - 0 ($627,795,000.00) Equity, (File 333-175879 - Jul. 29)
(BR. 06B)
S-1 ARGOS THERAPEUTICS INC, 4233 TECHNOLOGY DR, DURHAM, NC, 27704,
9192876300 - 0 ($86,250,000.00) Equity, (File 333-175880 - Jul. 29)
(BR. )
S-1 eCampusCash Inc., 4445 OVERLAND AVE, CULVER CITY, CA, 90230,
800-385-3602 - 20,000,000 ($10,000,000.00) Equity, (File 333-175881 -
Jul. 29) (BR. )
S-8 BMC SOFTWARE INC, 2101 CITYWEST BLVD, HOUSTON, TX, 77042-2827,
7139188800 - 0 ($910,431,450.00) Equity, (File 333-175882 - Jul. 29)
(BR. 03C)
S-1 Lithium Exploration Group, Inc., 3200 N. HAYDEN ROAD, SUITE 300,
SCOTTSDALE, AZ, 85251, 480-641-4790 - 3,939,759 ($5,988,434.00) Equity,
(File 333-175883 - Jul. 29) (BR. 04A)
S-8 TOWN SPORTS INTERNATIONAL HOLDINGS INC, 5 PENN PLAZA, 4TH FLOOR,
NEW YORK, NY, 10001, (212) 246-6700 - 0 ($3,910,000.00) Equity,
(File 333-175884 - Jul. 29) (BR. 05C)
S-8 INTERNAP NETWORK SERVICES CORP, 250 WILLIAMS STREET, SUITE E100,
ATLANTA, GA, 30303, 404-302-9700 - 0 ($25,240,000.00) Equity,
(File 333-175885 - Jul. 29) (BR. 03A)
S-3ASR TEXTRON INC, 40 WESTMINSTER ST, PROVIDENCE, RI, 02903, 4014212800 -
0 ($0.00) Unallocated (Universal) Shelf, (File 333-175886 - Jul. 29)
(BR. 05C)
S-1 Dalian Seafood Enterprises Ltd., 21-2-6-1 JIN HAI HUA, YUAN DONG YUAN,
XIGANGQU DISTRICT, DALIAN, LIAONING, F4, 116000, 86-130-505-00108 -
2,000,000 ($100,000.00) Equity, (File 333-175887 - Jul. 29) (BR. 02)
S-8 NEUROCRINE BIOSCIENCES INC, 12780 EL CAMINO REAL, SAN DIEGO, CA, 92130,
(858) 617-7600 - 0 ($43,230,000.00) Equity, (File 333-175889 - Jul. 29)
(BR. 01B)
S-8 LANDSTAR SYSTEM INC, 13410 SUTTON PARK DRIVE SOUTH, JACKSONVILLE, FL,
32224, 9043901234 - 0 ($284,460,000.00) Equity, (File 333-175890 -
Jul. 29) (BR. 05B)
N-2 DoubleLine Opportunistic Credit Fund, C/O DOUBLELINE CAPITAL LP,
333 SOUTH GRAND AVENUE, 18TH FLOOR, LOS ANGELES, CA, 90071,
213-633-8200 - 40,000 ($1,000,000.00) Equity, (File 333-175891 -
Jul. 29) (BR. )
S-3ASR NORTHERN TRUST CORP, 50 S LASALLE ST, CHICAGO, IL, 60603, 3126306000 -
0 ($0.00) Other, (File 333-175892 - Jul. 29) (BR. 07C)
S-8 FIRSTMERIT CORP /OH/, 111 CASCADE PLAZA, 7TH FLOOR, AKRON, OH, 44308,
3309966300 - 5,000,000 ($73,650,000.00) Equity, (File 333-175894 -
Jul. 29) (BR. 07C)
S-8 FRESH DEL MONTE PRODUCE INC, 241 SEVILLA AVENUE, 12TH FLOOR,
C/O DEL MONTE FRESH PRODUCE CO, CORAL GABLES, FL, 33134, 3055208400 -
3,000,000 ($74,610,000.00) Equity, (File 333-175895 - Jul. 29) (BR. 09A)
S-8 GREEN MOUNTAIN COFFEE ROASTERS INC, 33 COFFEE LANE, WATERBURY, VT,
05676, 8022445621 - 0 ($537,884,078.00) Equity, (File 333-175896 -
Jul. 29) (BR. 04C)
S-8 STATE INVESTORS BANCORP, INC., 1041 VETERANS BOULEVARD, METAIRIE, LA,
70005, (504) 832-9400 - 0 ($584,000.00) Equity, (File 333-175898 -
Jul. 29) (BR. 07)
S-8 WINTRUST FINANCIAL CORP, 727 N BANK LANE, LAKE FOREST, IL, 60045,
8476154096 - 0 ($98,698,600.00) Equity, (File 333-175899 - Jul. 29)
(BR. 07C)
S-8 GameStop Corp., 625 WESTPORT PARKWAY, GRAPEVINE, TX, 76051,
817-424-2000 - 9,250,000 ($215,802,500.00) Equity, (File 333-175900 -
Jul. 29) (BR. 02C)
S-3 RAIT Financial Trust, 1818 MARKET, 28TH FL, PHILADELPHIA, PA, 19103,
2158617900 - 0 ($4,722,687.00) Other, (File 333-175901 - Jul. 29)
(BR. 08C)
S-3ASR LACLEDE GROUP INC, 720 OLIVE ST, ST LOUIS, MO, 63101, 3143420500 -
285,222 ($10,827,027.00) Equity, (File 333-175903 - Jul. 29) (BR. 02A)
S-8 INTUITIVE SURGICAL INC, 4085232100 - 180,000 ($70,772,400.00) Equity,
(File 333-175904 - Jul. 29) (BR. 10B)
S-1 AP PHARMA INC /DE/, 123 SAGINAW DRIVE, REDWOOD CITY, CA, 94063,
6503662626 - 240,000,011 ($74,256,003.40) Equity, (File 333-175905 -
Jul. 29) (BR. 01C)
S-4 PETROHAWK ENERGY CORP, 1000 LOUISIANA SUITE 5600, HOUSTON, TX, 77002,
8322042700 - 0 ($600,000,000.00) Debt, (File 333-175906 - Jul. 29)
(BR. 04A)
S-8 PLUG POWER INC, 968 ALBANY-SHAKER ROAD, LATHAM, NY, 12110, 5187827700 -
1,000,000 ($2,155,000.00) Equity, (File 333-175907 - Jul. 29) (BR. 10C)
S-8 SL INDUSTRIES INC, 520 FELLOWSHIP ROAD, SUITE A114, MT LAUREL, NJ,
08054, 8567271500 - 135,000 ($3,304,800.00) Equity, (File 333-175908 -
Jul. 29) (BR. 10C)
S-8 AGILYSYS INC, 28925 FOUNTAIN PARKWAY, SOLON, OH, 44139, 4405198700 -
3,000,000 ($28,140,000.00) Equity, (File 333-175909 - Jul. 29) (BR. 10A)
S-8 ADOBE SYSTEMS INC, 345 PARK AVE, SAN JOSE, CA, 95110-2704, 4085366000 -
0 ($20,654,735.41) Equity, (File 333-175910 - Jul. 29) (BR. 03C)
S-8 PERRY ELLIS INTERNATIONAL INC, 3000 NW 107TH AVENUE, MIAMI, FL, 33172,
3055922830 - 0 ($12,442,500.00) Equity, (File 333-175911 - Jul. 29)
(BR. 09B)
S-8 AFFILIATED MANAGERS GROUP INC, 600 HALE STREET, /, PRIDES CROSSING, MA,
01965, 6177473300 - 0 ($409,140,000.00) Equity, (File 333-175912 -
Jul. 29) (BR. 06B)
S-1 BALQON CORP., 1420 240TH ST., HARBOR CITY, CA, 90710, (310) 326-3056 -
8,246,101 ($7,318,415.00) Equity, (File 333-175913 - Jul. 29) (BR. 10A)
S-8 BANCFIRST CORP /OK/, 101 N BROADWAY STE 200, OKLAHOMA CITY, OK,
73102-8401, 4052701000 - 0 ($45,711,439.00) Equity, (File 333-175914 -
Jul. 29) (BR. 07C)
S-1 South Valley Bancorp, Inc., P O BOX 5210, KLAMATH FALLS, OR, 97601,
541 880-5210 - 0 ($46,000,000.00) Equity, (File 333-175915 - Jul. 29)
(BR. )
S-3ASR Hanesbrands Inc., 1000 EAST HANES MILL ROAD, WINSTON-SALEM, NC, 27105,
(336) 519-4400 - 0 ($0.00) Equity, (File 333-175916 - Jul. 29) (BR. 09B)
N-2 Peerless Value Opportunity Fund, 300 ATLANTIC STREET, SUITE 301,
STAMFORD, CT, 06901, 203-350-0040 - 2,000 ($1.00) Equity,
(File 333-175917 - Jul. 29) (BR. 22)
Recent 8K FilingsForm 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT 57th Street General Acquisition Corp DE 1.01,2.01,3.02,3.03, 07/29/11 AMEND 5.01,5.03,5.06,8.01, 9.01, A. H. Belo CORP DE 2.02,9.01 07/27/11 ABINGTON BANCORP, INC./PA 2.02,9.01 07/29/11 ACADIA REALTY TRUST MD 2.02,9.01 07/26/11 ACCELRYS, INC. DE 1.01,9.01 07/28/11 ACORN ENERGY, INC. DE 1.01,9.01 07/25/11 ACRO INC. NV 3.02,5.01,5.03,9.01 07/28/11 Addus HomeCare Corp DE 1.01,2.03,9.01 07/26/11 Aleris International, Inc. DE 4.02 07/28/11 ALLETE INC MN 2.02,9.01 07/29/11 ALLIANCE BANKSHARES CORP 1.01,9.01 07/27/11 ALLIED HEALTHCARE INTERNATIONAL INC NY 8.01,9.01 07/29/11 Allied World Assurance Co Holdings, A 8.01,9.01 07/28/11 ALSERES PHARMACEUTICALS INC /DE DE 1.01 07/21/11 Alternative Energy Partners, Inc. FL 1.01 07/29/11 Alto Group Holdings Inc. NV 8.01 07/25/11 AMERICAN AXLE & MANUFACTURING HOLDING DE 2.02,7.01,9.01 07/29/11 American Caresource Holdings, Inc. DE 5.02 07/25/11 AMERICAN ELECTRIC POWER CO INC NY 2.02,9.01 07/29/11 AMERICAN RESTAURANT CONCEPTS INC 5.02 07/29/11 AMERICAN STATES WATER CO CA 5.02 07/26/11 AMERICAN STATES WATER CO CA 5.07 05/10/11 AMEND AMERIGON INC MI 9.01 05/16/11 AMEND AMERIGROUP CORP 2.02,9.01 07/29/11 Amerilithium Corp. NV 1.01,9.01 07/22/11 AMGEN INC DE 2.02,9.01 07/29/11 Amtrust Financial Services, Inc. DE 2.02,9.01 07/28/11 Anthera Pharmaceuticals Inc DE 2.02,9.01 07/29/11 AON CORP DE 2.02,9.01 07/29/11 APARTMENT INVESTMENT & MANAGEMENT CO MD 2.02,9.01 07/29/11 Apple REIT Eight, Inc. VA 2.02,9.01 07/27/11 Apple REIT Nine, Inc. VA 2.02,9.01 07/27/11 Apple REIT Seven, Inc. VA 2.02,9.01 07/27/11 APPLE REIT SIX INC 2.02,9.01 07/27/11 ARCH COAL INC DE 2.02,9.01 07/29/11 AspenBio Pharma, Inc. CO 5.03,9.01 07/29/11 Atlas Therapeutics Corp NV 5.02 07/29/11 BANCTRUST FINANCIAL GROUP INC AL 2.02,9.01 07/29/11 Bank of Commerce Holdings CA 7.01,9.01 07/29/11 BANKATLANTIC BANCORP INC FL 2.02,9.01 07/27/11 BARNES GROUP INC DE 2.02 07/29/11 BCM Energy Partners Inc. DE 5.02 05/31/11 BE Resources Inc. CO 7.01,9.01 07/27/11 BEASLEY BROADCAST GROUP INC DE 2.02,9.01 07/29/11 BECTON DICKINSON & CO NJ 5.02,5.03,9.01 07/26/11 BELO CORP DE 5.02,5.03,9.01 07/28/11 BENCHMARK ELECTRONICS INC TX 2.02,9.01 07/28/11 BG Medicine, Inc. DE 5.02,9.01 07/25/11 BIOANALYTICAL SYSTEMS INC IN 5.02 07/25/11 Biodel Inc 1.01 07/25/11 Biodel Inc 5.07 03/01/11 AMEND Black Diamond, Inc. DE 8.01 07/29/11 Blackwater Midstream Corp. 8.01,9.01 07/28/11 BLUE SPHERE CORP. NV 1.01,5.02,8.01,9.01 07/27/11 BNC BANCORP NC 2.02,9.01 07/29/11 BreitBurn Energy Partners L.P. DE 1.01,7.01,8.01,9.01 07/26/11 BRITTON & KOONTZ CAPITAL CORP MS 2.02,9.01 07/29/11 BROWN FORMAN CORP DE 2.02,5.02,5.07,7.01, 07/29/11 9.01 BUTLER NATIONAL CORP DE 2.02,9.01 07/29/11 C & F FINANCIAL CORP VA 2.02,9.01 07/28/11 CA, INC. DE 7.01,9.01 07/29/11 CABOT OIL & GAS CORP DE 7.01,8.01,9.01 07/27/11 CADENCE DESIGN SYSTEMS INC DE 5.02 07/28/11 CALPINE CORP DE 2.02,9.01 07/29/11 CAMDEN PROPERTY TRUST TX 2.02,9.01 07/28/11 CAPITALSOURCE INC DE 2.02,7.01,9.01 07/29/11 Capitol Federal Financial Inc MD 2.02,9.01 07/29/11 Carbon Natural Gas Co DE 2.01 07/27/11 CARLISLE COMPANIES INC DE 5.07 05/13/11 AMEND CASCADE BANCORP OR 2.02,9.01 07/26/11 CB RICHARD ELLIS GROUP INC DE 1.01,2.03,9.01 07/26/11 CELL THERAPEUTICS INC WA 2.02,7.01,9.01 07/29/11 CENTRAL BANCORP INC /MA/ MA 2.02,9.01 07/27/11 CH ENERGY GROUP INC NY 2.02,9.01 07/29/11 CHARTER COMMUNICATIONS, INC. /MO/ DE 5.07 04/26/11 AMEND CHESAPEAKE ENERGY CORP OK 2.02,9.01 07/28/11 CHEVRON CORP DE 2.02 07/29/11 CHICAGO BRIDGE & IRON CO N V 7.01,9.01 07/29/11 CHICOS FAS INC FL 1.01,1.02,2.03,9.01 07/27/11 CHINA EDUCATION ALLIANCE INC. NC 8.01,9.01 07/29/11 CHINA FUND INC MD 5.02 07/28/11 CHINA GREEN MATERIAL TECHNOLOGIES, IN NV 5.02,9.01 07/12/11 CHINA SECURITY & SURVEILLANCE TECHNOL DE 8.01,9.01 07/29/11 CHIQUITA BRANDS INTERNATIONAL INC NJ 1.01,1.02,2.03 07/26/11 CHOICEONE FINANCIAL SERVICES INC MI 2.02,9.01 07/29/11 CIRRUS LOGIC INC DE 5.07 07/29/11 CITIZENS REPUBLIC BANCORP, INC. MI 7.01,9.01 07/29/11 CLAIMSNET COM INC DE 1.01,2.03,9.01 07/27/11 CMS Bancorp, Inc. DE 5.02 07/29/11 AMEND COBRA ELECTRONICS CORP DE 2.02,8.01,9.01 07/29/11 Colfax CORP DE 2.02,5.02,9.01 07/27/11 COLUMBIA BANKING SYSTEM INC WA 2.02,8.01,9.01 07/28/11 Community Bankers Trust Corp DE 2.02,9.01 07/28/11 COMVERSE TECHNOLOGY INC/NY/ NY 5.02,9.01 07/27/11 CONNECTICUT WATER SERVICE INC / CT CT 1.01,9.01 07/29/11 Cooper Industries plc 8.01,9.01 07/28/11 CORTLAND BANCORP INC OH 2.02,9.01 07/29/11 COVENTRY HEALTH CARE INC DE 2.02,9.01 07/29/11 CREDITRISKMONITOR COM INC NV 8.01,9.01 07/29/11 CRIMSON EXPLORATION INC. 5.02,9.01 07/29/11 AMEND CURTISS WRIGHT CORP DE 2.02,9.01 07/28/11 CYBERDEFENDER CORP CA 1.01,2.03,3.02,9.01 07/25/11 DEVELOPERS DIVERSIFIED REALTY CORP OH 2.02,9.01 07/28/11 DG FastChannel, Inc DE 1.01,2.01,9.01 07/25/11 DIAMOND HILL INVESTMENT GROUP INC OH 2.02,9.01 07/29/11 DIGIRAD CORP DE 1.01,9.01 07/26/11 Digital Realty Trust, Inc. 8.01 07/29/11 Digital Realty Trust, Inc. 5.07 04/25/11 AMEND DISCOVERY LABORATORIES INC /DE/ DE 8.01,9.01 07/29/11 DOCUMENT SECURITY SYSTEMS INC NY 1.01,2.03,9.01 07/26/11 DONALDSON CO INC DE 8.01,9.01 07/29/11 DONEGAL GROUP INC DE 2.02,9.01 07/29/11 Dongsheng Pharmaceutical Internationa DE 5.02,9.01 07/25/11 E DIGITAL CORP DE 8.01,9.01 07/28/11 EAST WEST BANCORP INC 5.02,9.01 07/26/11 ELECTRONIC ARTS INC. DE 5.07,9.01 07/28/11 ELEPHANT TALK COMMUNICATIONS INC CA 8.01,9.01 07/29/11 EMC INSURANCE GROUP INC IA 7.01,9.01 07/29/11 EMCLAIRE FINANCIAL CORP PA 2.02,9.01 07/29/11 ENBRIDGE ENERGY PARTNERS LP DE 2.02,9.01 07/28/11 Encore Bancshares Inc TX 2.02,9.01 07/29/11 ENDEAVOUR INTERNATIONAL CORP NV 1.01,2.03 07/25/11 Energy Future Holdings Corp /TX/ TX 2.02,9.01 07/29/11 Enservco Corp DE 5.07 07/28/11 EXCO RESOURCES INC TX 8.01,9.01 07/27/11 EZENIA INC DE 5.03,5.07,9.01 07/26/11 FAUQUIER BANKSHARES, INC. VA 2.02,9.01 07/28/11 FBR & Co. VA 8.01 07/27/11 Federal Home Loan Bank of New York X1 8.01 07/29/11 Federal Home Loan Bank of San Francis X1 2.02,7.01,9.01 07/28/11 FedFirst Financial Corp 2.02,9.01 07/29/11 FIRST BANKS, INC MO 2.02,9.01 07/29/11 FIRST FINANCIAL BANCORP /OH/ OH 5.07 05/24/11 AMEND FIRST FINANCIAL BANKSHARES INC TX 2.02,9.01 07/21/11 AMEND FIRST MARINER BANCORP MD 2.02,9.01 07/29/11 FIRST NORTHERN COMMUNITY BANCORP CA 2.02,7.01,9.01 07/28/11 FIRST OF LONG ISLAND CORP NY 2.02,9.01 07/28/11 FIRST PACTRUST BANCORP INC MD 2.02,9.01 07/29/11 FIRST POTOMAC REALTY TRUST MD 2.02,7.01,9.01 07/28/11 FIRST ROBINSON FINANCIAL CORP DE 5.07 07/28/11 FORTUNE BRANDS INC DE 2.01,7.01,9.01 07/29/11 Fox Chase Bancorp Inc 2.02,9.01 07/27/11 Francesca's Holdings CORP 1.01,2.03,9.01 07/27/11 FREDERICK'S OF HOLLYWOOD GROUP INC /N NY 1.01,2.03,9.01 07/29/11 FSB Community Bankshares Inc X1 2.02,9.01 07/28/11 GALLAGHER ARTHUR J & CO DE 8.01,9.01 07/29/11 GALLAGHER ARTHUR J & CO DE 8.01,9.01 07/29/11 GARDNER DENVER INC DE 5.02,9.01 07/25/11 GARTNER INC DE 5.07 06/02/11 AMEND GASCO ENERGY INC NV 1.01,8.01,9.01 07/28/11 GateHouse Media, Inc. DE 2.02,9.01 07/28/11 GENESEE & WYOMING INC DE 5.02,9.01 07/26/11 Genesis Biopharma, Inc NV 1.01,3.02,9.01 07/25/11 GENTA INC DE/ DE 8.01 07/29/11 GETTY REALTY CORP /MD/ MD 2.02,9.01 07/28/11 GIGA TRONICS INC CA 2.02,9.01 07/28/11 GLACIER BANCORP INC DE 2.02,9.01 07/28/11 GLOBAL CLEAN ENERGY, INC. MD 4.01 05/18/11 AMEND GLOBALSCAPE INC DE 8.01 07/29/11 Globalstar, Inc. DE 5.02 07/28/11 GOLDMAN SACHS GROUP INC DE 9.01 07/29/11 GRAHAM CORP DE 5.07,8.01 07/28/11 GREEN EQUITY HOLDINGS, INC. NV 5.02 07/29/11 GREENE COUNTY BANCORP INC DE 2.02,9.01 07/27/11 GreenHaven Continuous Commodity Index DE 8.01 07/29/11 GTJ REIT, Inc. MD 2.05 07/25/11 Guaranty Bancorp DE 1.01,3.02,3.03,9.01 07/27/11 GULF ISLAND FABRICATION INC LA 2.02,9.01 07/28/11 GULF ISLAND FABRICATION INC LA 8.01,9.01 07/28/11 HARMONY METALS, INC. FL 8.01 07/28/11 Hartman Short Term Income Properties MD 2.01 07/28/11 AMEND HELMERICH & PAYNE INC DE 2.02,9.01 07/29/11 HERITAGE FINANCIAL CORP /WA/ WA 2.02,8.01,9.01 07/28/11 HERITAGE OAKS BANCORP CA 7.01,9.01 07/29/11 High Plains Gas, Inc. NV 1.02,9.01 07/29/11 HMS HOLDINGS CORP 2.02,9.01 07/29/11 Home Federal Bancorp, Inc. MD 2.02,9.01 07/29/11 Homeland Security Capital CORP DE 5.07 07/25/11 HONEYWELL INTERNATIONAL INC DE 8.01 07/29/11 Horizon Lines, Inc. 2.02,5.02,7.01,9.01 07/28/11 Industrial Income Trust Inc. MD 8.01 07/29/11 INNOVATIVE SOLUTIONS & SUPPORT INC PA 2.02,9.01 07/27/11 Intcomex, Inc. DE 1.01,1.02,2.03,9.01 07/25/11 INTEGRAL SYSTEMS INC /MD/ MD 2.01,3.01,3.03,5.01, 07/28/11 5.02,5.03,9.01 INTERFACE INC GA 5.07 07/29/11 AMEND INTERPHASE CORP TX 2.02,9.01 07/28/11 Investors Bancorp Inc DE 2.02,9.01 07/28/11 ISABELLA BANK CORP MI 2.02,9.01 07/28/11 ISTA PHARMACEUTICALS INC DE 2.02,9.01 07/28/11 ITT Corp IN 2.02,7.01,9.01 07/29/11 J&J SNACK FOODS CORP NJ 8.01,9.01 07/29/11 JUNIATA VALLEY FINANCIAL CORP PA 2.02,8.01,9.01 07/28/11 KAYDON CORP DE 2.02,9.01 07/29/11 KBS Legacy Partners Apartment REIT, I MD 1.01,2.03 07/25/11 KBW, INC. 2.02,7.01,9.01 07/29/11 KEY ENERGY SERVICES INC MD 1.01,2.02,2.03,9.01 07/29/11 KINDRED HEALTHCARE, INC DE 9.01 06/01/11 AMEND KRANEM CORP CO 1.01,2.01,3.02,5.01, 07/29/11 AMEND 5.02,5.06,9.01 KRATOS DEFENSE & SECURITY SOLUTIONS, DE 1.01,2.01,5.07,8.01, 07/28/11 9.01 KRONOS WORLDWIDE INC 7.01,9.01 07/28/11 KVH INDUSTRIES INC \DE\ DE 2.02,9.01 07/29/11 LACLEDE GROUP INC MO 2.02,7.01,9.01 07/29/11 LAKELAND BANCORP INC NJ 7.01,9.01 07/29/11 LANSDOWNE SECURITY, INC. TX 2.01,9.01 02/11/11 AMEND Laufer Bridge Enterprises, Inc. NV 1.01,9.01 07/29/11 LAW ENFORCEMENT ASSOCIATES CORP NV 1.03 07/27/11 Liberty Global, Inc. 5.02 07/26/11 Liberty Global, Inc. 2.03,9.01 07/29/11 Liberty Global, Inc. 2.02,7.01 07/28/11 AMEND LIFEPOINT HOSPITALS, INC. 2.02,9.01 07/29/11 LORILLARD, INC. DE 5.02,9.01 07/28/11 LORILLARD, INC. DE 5.03,9.01 07/28/11 LOUISIANA-PACIFIC CORP DE 2.02,9.01 07/29/11 LTV CORP DE 8.01,9.01 07/20/11 LyondellBasell Industries N.V. P7 2.02,7.01,9.01 07/29/11 M&T BANK CORP NY 9.01 05/13/11 AMEND MAGELLAN HEALTH SERVICES INC DE 2.02,9.01 07/29/11 MAJESCO ENTERTAINMENT CO DE 5.02,9.01 07/25/11 Manhattan Bancorp CA 1.01,2.03,9.01 07/25/11 MARTHA STEWART LIVING OMNIMEDIA INC DE 5.02 07/29/11 MASS MEGAWATTS WIND POWER INC MA 2.02,9.01 07/29/11 MATERION Corp 2.02,9.01 07/29/11 MCCLATCHY CO DE 5.02,9.01 07/25/11 MEDCO HEALTH SOLUTIONS INC DE 8.01,9.01 07/29/11 MediaMind Technologies Inc. DE 3.01,3.02,5.01,5.02, 07/25/11 5.03,9.01 MEDIANET GROUP TECHNOLOGIES INC NV 3.02 07/24/11 MEDICINES CO /DE DE 5.02,9.01 07/26/11 MEDTRONIC INC MN 8.01 07/28/11 Merck & Co. Inc. NJ 2.02,2.05,9.01 07/29/11 Meritage Homes CORP MD 2.02,9.01 07/29/11 MINERALS TECHNOLOGIES INC DE 2.02,9.01 07/28/11 Monotype Imaging Holdings Inc. DE 2.02,9.01 07/29/11 MOOG INC NY 2.02,9.01 07/29/11 MOUNTAIN NATIONAL BANCSHARES INC TN 5.07 07/27/11 MPHASE TECHNOLOGIES INC NJ 8.01,9.01 07/29/11 MULTI COLOR Corp OH 2.02,9.01 07/28/11 Nalco Holding CO 1.01 07/20/11 AMEND NATIONAL BANCSHARES CORP /OH/ OH 2.02 06/30/11 NAUTILUS, INC. WA 1.01,9.01 07/25/11 NEW FRONTIER MEDIA INC CO 9.01 05/13/11 AMEND NEWELL RUBBERMAID INC DE 2.02,7.01,9.01 07/29/11 NEWMONT MINING CORP /DE/ DE 2.02,9.01 07/29/11 NEWPARK RESOURCES INC DE 2.02,9.01 07/28/11 NTS MORTGAGE INCOME FUND DE 1.01,9.01 07/28/11 NuStar Energy L.P. DE 2.02,9.01 07/29/11 NuStar GP Holdings, LLC DE 2.02,9.01 07/29/11 OCEANFIRST FINANCIAL CORP DE 7.01,9.01 07/29/11 OGE ENERGY CORP. OK 5.02,9.01 07/26/11 OLD REPUBLIC INTERNATIONAL CORP DE 2.02,9.01 06/30/11 OMNICARE INC DE 8.01,9.01 12/31/10 OneBeacon Insurance Group, Ltd. D0 2.02,9.01 07/29/11 OneBeacon Insurance Group, Ltd. D0 2.02,9.01 07/29/11 Opko Health, Inc. DE 5.02 07/27/11 OPTI INC CA 8.01 07/29/11 Owens Corning DE 1.01,9.01 07/27/11 PALMETTO BANCSHARES INC SC 2.02,9.01 07/29/11 PATRICK INDUSTRIES INC IN 2.02,9.01 07/29/11 Patriot Coal CORP DE 8.01 07/27/11 PEOPLES BANCORP INC OH 2.02,8.01,9.01 07/29/11 Peoples Federal Bancshares, Inc. MD 2.02,9.01 07/28/11 PERMA FIX ENVIRONMENTAL SERVICES INC DE 5.02,9.01 07/25/11 Pharmasset Inc 2.02,9.01 07/25/11 PHH CORP MD 2.02,9.01 07/28/11 PHH CORP MD 7.01,8.01 07/29/11 PILGRIMS PRIDE CORP DE 7.01 07/29/11 PILGRIMS PRIDE CORP DE 7.01 07/29/11 PINNACLE AIRLINES CORP DE 2.02 07/29/11 PLUG POWER INC DE 5.07 05/13/11 AMEND PLUMAS BANCORP CA 1.01,9.01 07/25/11 POSITIVEID Corp DE 1.01,8.01,9.01 07/27/11 AMEND POWER INTEGRATIONS INC CA 5.07 06/27/11 AMEND PROVIDENT FINANCIAL HOLDINGS INC DE 2.02,7.01,9.01 07/28/11 PROVIDENT FINANCIAL SERVICES INC DE 2.02,7.01,9.01 07/29/11 PROVIDENT FINANCIAL SERVICES INC DE 5.07,9.01 07/28/11 AMEND PROVIDENT NEW YORK BANCORP DE 5.02 07/28/11 QUESTCOR PHARMACEUTICALS INC CA 2.02,9.01 07/26/11 RAIT Financial Trust MD 2.02,9.01 07/29/11 RAYONIER INC NC 5.07 07/29/11 AMEND REALPAGE INC DE 2.01,7.01,9.01 07/29/11 RED TRAIL ENERGY, LLC 5.07 06/23/11 AMEND Regency Energy Partners LP DE 3.01,7.01,9.01 07/29/11 REPUBLIC FIRST BANCORP INC PA 2.02,9.01 07/29/11 REPUBLIC SERVICES, INC. DE 5.07 05/12/11 AMEND Rhino Resource Partners LP DE 7.01,9.01 07/25/11 RIMAGE CORP MN 2.02,8.01,9.01 07/28/11 ROMA FINANCIAL CORP X1 2.02,9.01 07/29/11 RURBAN FINANCIAL CORP OH 2.02,9.01 07/28/11 Ruths Hospitality Group, Inc. DE 2.02,9.01 07/29/11 Ruths Hospitality Group, Inc. DE 5.02,7.01,9.01 07/26/11 SALISBURY BANCORP INC CT 2.02,8.01,9.01 07/29/11 SANDISK CORP DE 5.02 07/28/11 SAVANNAH BANCORP INC GA 2.02 06/30/11 SBA COMMUNICATIONS CORP FL 5.07 05/04/11 AMEND SBT Bancorp, Inc. CT 2.02,9.01 07/29/11 SCBT FINANCIAL CORP SC 2.02,9.01 07/29/11 SEACOR HOLDINGS INC /NEW/ DE 2.02,9.01 07/25/11 Seagate Technology plc L2 5.02 07/27/11 SEAHAWK DRILLING, INC. DE 7.01,9.01 07/29/11 Selga Inc NV 1.01,9.01 07/11/11 SIGNET JEWELERS LTD 8.01 07/29/11 SILGAN HOLDINGS INC DE 2.02,9.01 07/27/11 SILLENGER EXPLORATION CORP. NV 1.01,3.02 07/29/11 SKYLINE CORP IN 2.02,9.01 07/29/11 SOEFL INC. NV 1.01,3.03,5.03,9.01 07/25/11 SOLTA MEDICAL INC DE 5.07 06/02/11 AMEND Southeastern Bank Financial CORP GA 2.02,9.01 07/29/11 Southern National Bancorp of Virginia VA 2.02,9.01 07/28/11 SOUTHWESTERN ENERGY CO DE 7.01 07/29/11 SPARTECH CORP DE 5.07 03/17/11 AMEND STAMPS.COM INC DE 2.02,9.01 07/28/11 STANDARD MICROSYSTEMS CORP DE 5.07 07/28/11 STANDARD REGISTER CO OH 5.02,9.01 07/27/11 STANDARD REGISTER CO OH 2.02,9.01 07/03/11 STARWOOD PROPERTY TRUST, INC. 5.02 07/28/11 STERLING BANCORP NY 7.01,9.01 07/27/11 STRATEGIC HOTELS & RESORTS, INC 1.01,2.03,7.01,9.01 07/28/11 STURM RUGER & CO INC DE 7.01 07/28/11 SUREWEST COMMUNICATIONS CA 2.02,9.01 07/28/11 TAIWAN FUND INC DE 5.02 07/28/11 TECHE HOLDING CO LA 2.02,9.01 07/27/11 TECHS LOANSTAR, INC. NV 1.01,9.01 07/29/11 Teleconnect Inc. OK 4.02,9.01 07/20/11 AMEND TELLABS INC DE 8.01 07/28/11 TELLABS INC DE 5.07 05/04/11 AMEND TENNANT CO MN 2.02,9.01 07/28/11 AMEND TENNECO INC DE 2.02,9.01 07/29/11 TESSERA TECHNOLOGIES INC DE 2.02,9.01 07/28/11 Teucrium Commodity Trust 8.01 07/29/11 TIDEWATER INC DE 8.01 07/28/11 TIRE INTERNATIONAL ENVIRONMENTAL SOLU NV 1.01 07/29/11 TOOTSIE ROLL INDUSTRIES INC VA 2.02,9.01 07/02/11 Tornier N.V. P7 5.02 07/27/11 TORO CO DE 1.01,1.02,2.03,9.01 07/28/11 TORO CO DE 5.02,7.01,9.01 07/29/11 TRANSATLANTIC HOLDINGS INC DE 8.01,9.01 07/28/11 TRANSCAT INC OH 2.02,9.01 07/26/11 Triangle Petroleum Corp NV 1.01,9.01 07/28/11 TRIUMPH GROUP INC DE 5.07 07/27/11 Two Harbors Investment Corp. 1.01,2.03,9.01 07/26/11 Unilife Corp DE 2.02,7.01,9.01 07/29/11 UNITED BANCSHARES INC/OH OH 2.02,7.01,9.01 06/30/11 UNITED ONLINE INC DE 8.01 07/29/11 UNIVERSAL STAINLESS & ALLOY PRODUCTS DE 2.02,9.01 07/29/11 Universal Truckload Services, Inc. MI 2.02,9.01 07/28/11 USANA HEALTH SCIENCES INC UT 5.02 07/26/11 USChina Taiwan Inc NV 2.02,8.01 03/31/11 VALIDIAN CORP NV 8.01,9.01 07/27/11 Valley Commerce Bancorp CA 2.02,9.01 07/28/11 Vanity Events Holding, Inc. DE 5.07 07/26/11 VASCO DATA SECURITY INTERNATIONAL INC DE 2.02,9.01 07/26/11 VGTel, Inc. 4.01,9.01 07/27/11 VIAD CORP DE 2.02,9.01 07/29/11 VIVUS INC CA 8.01,9.01 07/29/11 WASHINGTON BANKING CO WA 2.02,8.01,9.01 07/29/11 WASHINGTON FEDERAL INC WA 5.02,9.01 07/29/11 WASTE CONNECTIONS, INC. DE 7.01 07/28/11 WATSCO INC FL 1.01,2.03,9.01 07/26/11 WELLS FARGO & CO/MN DE 9.01 07/29/11 WEST BANCORPORATION INC IA 2.02,9.01 07/29/11 WEST COAST BANCORP /NEW/OR/ OR 2.02,9.01 07/29/11 WEYERHAEUSER CO WA 2.02,9.01 07/28/11 WHITE MOUNTAINS INSURANCE GROUP LTD D0 2.02,9.01 07/29/11 WILEY JOHN & SONS, INC. NY 8.01 07/29/11 WILLIAMS COMPANIES INC DE 7.01,9.01 07/28/11 WINTRUST FINANCIAL CORP IL 3.03,5.03,9.01 07/28/11 WINTRUST FINANCIAL CORP IL 5.07 05/26/11 AMEND WISCONSIN ENERGY CORP WI 5.07 05/05/11 AMEND WisdomTree Investments, Inc. DE 2.02,9.01 07/28/11 WMS INDUSTRIES INC /DE/ DE 1.01,9.01 07/25/11 Wonder Auto Technology, Inc NV 5.02,9.01 07/25/11 WORLD HEART CORP DE 2.05,5.02,8.01,9.01 07/26/11 WPCS INTERNATIONAL INC DE 2.02,9.01 07/29/11 WPCS INTERNATIONAL INC DE 7.01,9.01 07/29/11 WSFS FINANCIAL CORP DE 8.01,9.01 07/29/11 YAHOO INC DE 1.01,7.01,9.01 07/29/11 Zhongchai Machinery, Inc. NV 3.03,8.01 07/29/11 ZILLOW INC WA 3.02,9.01 07/25/11 ZION OIL & GAS INC DE 8.01,9.01 07/29/11
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