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Enforcement ProceedingsAdministrative Proceeding Instituted Against Vladimir Boris Bugarski, Vladislav Walter Bugarski, and Aleksander Negovan BugarskiThe Commission announced that on August 1, 2011, it issued an Order Instituting Public Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing (Order or OIP) against Vladimir Boris Bugarski (Boris), Vladislav Walter Bugarski (Walter) and Aleksander Negovan Bugarski (Aleks) (jointly Respondents). The Division of Enforcement alleges in the Order that on June 27, 2011, in a civil action in the United States District Court for the Central District of California, Western Division, entitled: Securities and Exchange Commission v. mUrgent Corporation, Vladimir Boris Bugarski, et al., Civil Action No. 11-CV-00626-DOC (SSx), a judgment was entered against Respondents enjoining them from future violations of Sections 5 and 17(a) of the Securities Act of 1933 (Securities Act), Sections 10(b) and 15(a) of the Exchange Act and Rule 10b-5 thereunder. Respondents were each also prohibited pursuant to Section 21(d)(2) of the Exchange Act from acting as an officer or director of any issuer that has a class of securities registered pursuant to Section 12 of the Exchange Act or that is required to file reports pursuant to Section 15(d) of the Exchange Act. The Order finds that the Commission’s Complaint alleged that since at least 2008, mUrgent Corporation, a family-controlled, private company located in Santa Ana, California, and Respondents as its principals raised approximately $9.6 million from at least 130 investors through unregistered offerings by making material misrepresentations and omissions concerning the company’s financing plans and business performance. The Complaint further alleged that Respondents created and utilized a “boiler-room” to sell mUrgent stock. A hearing will be scheduled before an Administrative Law Judge to determine whether the allegations contained in the OIP are true, to afford Respondents an opportunity to respond, and to determine what, if any, remedial sanctions are appropriate and in the public interest. The OIP requires the Administrative Law Judge to issue an initial decision no later than 210 days from the date of service of the Order, pursuant to Rule 360(a)(2) of the Commission’s Rules of Practice. (Rel. 34-65003; File No. 3-14496) Commission Revokes Registration of Securities of Powerraise, Inc. for Failure to Make Required Periodic FilingsOn August 2, 2011, the Commission revoked the registration of each class of registered securities of PowerRaise, Inc. (PORS) 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, PORS 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 PowerRaise, 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 PORS’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the charges brought against PORS in In the Matter of Aqua Society, Inc., et al., Administrative Proceeding File No. 3-14463. 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 Aqua Society, Inc., et al., Administrative Proceeding File No. 3-14463, Exchange Act Release No. 64871 (July 13, 2011). (Rel. 34-65004; File No. 3-14463) In the Matter of James E. PrattOn August 2, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission’s Rules of Practice, Makings Findings and Imposing Remedial Sanctions (Order) against James E. Pratt. The Order finds that Mr. Pratt is and has been an attorney licensed to practice in the state of New York. On May 4, 2011, the court entered an order permanently enjoining Mr. Pratt, by consent, from future violations of Sections 5(a) and 5(c) of the Securities Act of 1933. The Commission’s complaint alleged, among other things, that Mr. Pratt worked with co-defendants Frank Calmes, Lynn Rowntree, and Manny Shulman to distribute shares of newly quoted micro-cap companies to the public without the required registration statements being filed with the Commission. The Complaint further alleged that as part of this process, Mr. Pratt obtained shares in these micro-cap companies and sold the shares despite the fact that no registration statement had been filed or was in effect with the Commission with respect to the shares. In addition, the Complaint alleged that Pratt wrote letters to the companies’ transfer agents falsely stating that the shares he held, and those held by the co-defendants, were exempt from the registration requirements of the federal securities laws. Based on the above, the Order suspends James E. Pratt from appearing or practicing before the Commission as an attorney. Mr. Pratt 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. 34-65005; File No. 3-14494) In the Matter of Scott F. GelbardOn August 2, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Exchange Act), Making Findings, and Imposing Remedial Sanctions (Order) against Scott F. Gelbard. The Order finds that on July 26, 2011, in the civil action SEC v. The Regency Group, LLC, et al., Civil Action No. 09-cv-00497, the United States District Court for the District of Colorado entered a final judgment by consent against Gelbard, permanently enjoining him from future violations of: (1) the anti-fraud provisions of Exchange Act Section 10(b), Exchange Act Rule 10b-5, and Section 17(a) of the Securities Act of 1933 (Securities Act); (2) the securities registration provisions of Securities Act Sections 5(a) and 5(c); (3) the broker-dealer registration provisions of Section 15(a) of the Exchange Act; and (4) the securities ownership disclosure provisions of Exchange Act Sections 13(d) and 16(a), and Rules 13d-1(a), 13d-2(a), and 16a-3 thereunder. The Order further finds that Gelbard, age 35, was a member of The Regency Group, LLC, a Colorado limited liability company. According to the Order, the Commission's complaint, filed on March 9, 2009 (Complaint), alleges that Gelbard acted as an underwriter in the unregistered distribution of shares in Xpention Genetics, Inc. (Xpention) and HS3 Technologies, Inc. (HS3) stock. The Complaint also alleges that Gelbard acted as an unregistered dealer by selling Xpention and HS3 shares to investors -- from an acquired inventory of shares -- for his own account and to raise funds for his clients Xpention and HS3, as part of his regular businesses. The Complaint further alleges that, as part of his regular businesses, Gelbard solicited investors to buy such shares, handled their money, and directed the transfer of shares to them. The Order finds that Gelbard’s unregistered dealer activities occurred from at least 2004 through 2007. The Order bars Gelbard from association with any broker or dealer, based on the injunctions entered against him. The respondent consented to the issuance of the Order without admitting or denying the findings in the Order, except as to the entry of the civil injunctions. For further information, see Lit. Rel. No. 20937 (March 9, 2009). (In the Matter of Scott F. Gelbard - Rel. 34-65006; File No. 3-14495 In the Matter of Franz N. TudorThe Securities and Exchange Commission announced today that on July 26, 2011, the Honorable Richard J. Sullivan of the United States District Court for the Southern District of New York, entered a final judgment against Franz Tudor in SEC v. Tudor, 10-CV-8598, an insider trading case the SEC filed on November 12, 2010. The SEC charged Tudor, who was a registered representative and a proprietary trader at the broker-dealer Schottenfeld Group, LLC, with using inside information to trade ahead of the November 29, 2009 announced acquisition of Axcan Pharma Inc. In its complaint, the SEC alleged that Arthur Cutillo and Brien Santarlas, two former attorneys with the international law firm of Ropes & Gray LLP, misappropriated from their law firm material, nonpublic information concerning the acquisition of Axcan, and tipped the inside information, through another attorney, to Zvi Goffer, a proprietary trader at Schottenfeld, in exchange for kickbacks. The SEC further alleged that Goffer tipped the inside information to Tudor, who traded in the securities of Axcan. To settle the SEC’s charges, Tudor consented to the entry of a final judgment that: (i) permanently enjoins him from violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder; and (ii) orders him to pay disgorgement of $70,807, plus prejudgment interest of $7,331. No penalty was imposed based on Tudor’s sworn financial statements. In a related SEC administrative proceeding, Tudor consented, without admitting or denying the findings in the Order, to the entry of an SEC Order barring him from association with any investment adviser, broker, dealer, municipal securities dealer, or transfer agent. Tudor previously pled guilty to charges of securities fraud and conspiracy to commit securities fraud in a related criminal case, United States v. Franz Tudor, 09-CR-1057 (S.D.N.Y.), and is awaiting sentencing. (Rel. 34-65009; File No. 3-14497); [SEC v. Franz Tudor, Civil Action No. 10-CV-8598 (S.D.N.Y.) (RJS)] (LR-22056) In the Matter of Jordan H. Mintz, Esq.Pursuant to Rule 102(e)(5) of the Commission’s Rules of Practice, Jordan H. Mintz, Esq. has applied for and been granted reinstatement of his privilege to appear and practice before the Commission as an attorney. Mr. Mintz was suspended from appearing and practicing before the Commission as an attorney on January 26, 2009. His reinstatement is effective immediately. (Rel. 34-65012; AAE Rel. 3309; File No. 3-13350) SEC Charges Biopharmaceutical Company, Executives, and Others with Securities FraudThe Securities and Exchange Commission announced that on August 1, 2011, it charged Immunosyn Corporation (Immunosyn) and Argyll Biotechnologies, LLC (Argyll), both based in San Diego, California, with securities fraud in connection with materially misleading statements during 2006-2010 regarding the status of regulatory approvals for Immunosyn’s sole product, a drug derived from goat blood referred to as “SF-1019.” The Commission also charged Stephen D. Ferrone (Ferrone), of Lake Forest, Illinois, who was Immunosyn’s Chief Executive Officer (CEO), Douglas McClain Jr. (McClain Jr.), of Savannah, Georgia, who was Immunosyn’s Chief Financial Officer, Douglas McClain, Sr. (McClain Sr.), of Boerne, Texas, who was Argyll’s Chief Scientific Officer, and James T. Miceli (Miceli), of Poway, California, who was Argyll’s CEO, all with securities fraud; and it also charged Argyll, McClain, Jr., McClain, Sr., Miceli, Argyll Equities, LLC (Argyll Equities), based in San Diego, California, and Padmore Holdings, Ltd. (Padmore), an offshore entity, all with insider trading. The Commission’s complaint, filed in federal court in Chicago, alleges that Immunosyn misleadingly stated in public filings with the Commission that Argyll, Immunosyn’s controlling shareholder, planned to commence the regulatory approval process for human clinical trials for SF-1019 in the U.S. or that regulatory approval was underway. The complaint alleges that these statements misled investors because the statements omitted to disclose that the U.S. Food and Drug Administration (FDA) had already twice issued clinical holds on drug applications for SF-1019, which prohibited clinical trials involving SF-1019 from occurring. The complaint also alleges that Immunosyn misleadingly stated that the regulatory approval process in Europe for human clinical trials for SF-1019 was imminent or underway, when in fact Argyll never submitted an application in Europe to conduct human clinical trials. The Complaint alleges that McClain Jr., McClain Sr., and Miceli engaged in insider trading by raising approximately $20 million from their sale of Immunosyn shares while knowing that Immunosyn was making misrepresentations about the regulatory status of SF-1019. The Complaint alleges that they sold most of these shares through Argyll and Argyll Equities, which McClain Jr. and Miceli jointly owned, and Padmore, which McClain Jr., McClain Sr., and Miceli jointly owned. The Complaint also alleges that McClain Sr. made misstatements about the status of regulatory approval of SF-1019 in a video on Immunosyn’s public website, and in a 2008 presentation in which he sold Immunosyn stock he owned through Padmore to patients at a Texas holistic clinic, some of whom were terminally ill. The Complaint alleges that McClain Sr. raised approximately $300,000 from these patients but never gave them the shares they bought. The Commission’s complaint seeks a final judgment permanently enjoining the defendants from future violations of the antifraud provisions of the federal securities laws, ordering each defendant to disgorge all ill-gotten gains, plus prejudgment interest, ordering each defendant to pay civil penalties, and barring Ferrone, McClain Jr., McClain Sr. and Miceli from serving as an officer or director of a public company. The Commission acknowledges the assistance of the U.S. Food and Drug Administration. [SEC v. Stephen D. Ferrone, Douglas A. McClain, Jr., Douglas A. McClain, Sr., James T. Miceli, Immunosyn Corporation, Argyll Biotechnologies, LLC, Argyll Equities, LLC, and Padmore Holdings, Ltd., 1:11-cv-05223 (USDC N.D. Ill.)] (LR-22057) Investment Company Act ReleasesNotice of Applications for Deregistration under the Investment Company ActFor the month of July 2011, a notice has been issued giving interested persons until August 23, 2011, to request a hearing on any of the following applications for an order under Section 8(f) of the Investment Company Act declaring that the applicant has ceased to be an investment company:
(Rel. IC-29739 – July 29) BofA Funds Series Trust, et al.A notice has been issued giving interested persons until August 23, 2011, to request a hearing on an application filed by BofA Funds Series Trust, et al., for an order under Sections 6(c) and 17(b) of the Investment Company Act for an exemption from Section 17(a) of the Act. The order would permit certain registered investment companies (Funds) to engage in principal transactions involving taxable money market instruments and repurchase agreements with a broker-dealer that is an affiliated person of an affiliated person of the Funds. (Rel. IC-29741 – August 1) Self-Regulatory OrganizationsImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by New York Stock Exchange amending the fees charged for the Floor Member Continuing Education Program for qualified floor members pursuant to NYSE Rule 103A, from a fixed flat fee of $80 per training module to a fixed flat fee of $150 per qualified member per bi-annual session for a total cost per member per year of $300 (SR-NYSE-2011-37) has become effective pursuant to 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. 34-64997) A proposed rule change filed by the International Securities Exchange (SR-ISE-2011-44) relating two market data feeds has become immediately 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. 34-65000) A proposed rule change filed by NASDAQ OMX BX (SR-BX-2011-050) to amend Chapter VI, Section 15 (Automatic Quote Cancellation) of the BOX Trading Rules has become effective pursuant to 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. 34-65001) A proposed rule change filed by the International Securities Exchange (SR-ISE-2011-50) relating to market data fees has become immediately 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. 34-65002) Securities Act RegistrationsThe following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. S-1 LITTLEFIELD CORP, 2501 NORTH LAMAR BLVD., ATTN: SEC COMPLIANCE, AUSTIN, TX, 78705, 5124765141 - 7,520,489 ($5,226,740.00) Equity, (File 333-175918 - Aug. 1) (BR. 05B) S-1 XUNNA INFORMATION TECHNOLOGY INC., 700 SOUTH HENDERSON ROAD, SUITE 202, KING OF PRUSSIA, PA, 19406, (267) 471-5867 - 680,000 ($6,800.00) Equity, (File 333-175919 - Aug. 1) (BR. ) S-3 GERMAN AMERICAN BANCORP, INC., 711 MAIN ST, P O BOX 810, JASPER, IN, 47546, 8124821314 - 0 ($100,000,000.00) Equity, (File 333-175920 - Aug. 1) (BR. 07A) S-1 PEERLESS SYSTEMS CORP, 300 ATLANTIC STREET, SUITE 301, STAMFORD, CT, 06901, 203-350-0044 - 4,000 ($30,000.00) Equity, (File 333-175921 - Aug. 1) (BR. 03C) S-3D QUESTAR CORP, 180 EAST 100 SOUTH ST, PO BOX 45433, SALT LAKE CITY, UT, 84145, 8015345000 - 0 ($364,800,000.00) Equity, (File 333-175924 - Aug. 1) (BR. 02C) N-2 Cushing Royalty & Income Fund, C/O SWANK CAPITAL, LLC, 8117 PRESTON ROAD, SUITE 440, DALLAS, TX, 75225, 214-692-6334 - 0 ($1,000,000.00) Equity, (File 333-175925 - Aug. 1) (BR. ) S-8 VIVUS INC, 1172 CASTRO ST, STE 200, MOUNTAIN VIEW, CA, 94040, 6509345265 - 0 ($4,848,000.00) Equity, (File 333-175926 - Aug. 1) (BR. 01C) S-8 Harvard Illinois Bancorp, Inc., 58 NORTH AYER STREET, HARVARD, IL, 60033, (815) 943-5261 - 109,856 ($895,249.00) Equity, (File 333-175927 - Aug. 1) (BR. 07C) S-4 FriendFinder Networks Inc., 6800 BROKEN SOUND PARKWAY, BOCA RATON, FL, 33487, (561) 912-7000 - 254,797,636 ($254,797,636.00) Debt, 250,849,125 ($250,849,125.00) Debt Convertible into Equity, (File 333-175928 - Aug. 1) (BR. 03C) S-3 Limoneira CO, 1141 CUMMINGS ROAD, SANTA PAULA, CA, 93060, (805) 525-5541 - 0 ($100,000,000.00) Equity, (File 333-175929 - Aug. 1) (BR. 09) S-3 Great Wolf Resorts, Inc., 525 JUNCTION ROAD, SUITE 6000 SOUTH, MADISON, WI, 53717, 608-662-4700 - 0 ($200,000,000.00) Equity, (File 333-175930 - Aug. 1) (BR. 08B) S-1 VOCERA COMMUNICATIONS, INC., 525 RACE STREET, SUITE 150, SAN JOSE, CA, 95126-3495, 408-882-5100 - 0 ($80,000,000.00) Equity, (File 333-175932 - Aug. 1) (BR. ) S-8 CROSS A T CO, ONE ALBION RD, LINCOLN, RI, 02865, 4013331200 - 900,000 ($12,811,500.00) Equity, (File 333-175933 - Aug. 1) (BR. 09B) S-1 M/A-COM Technology Solutions Holdings, Inc., 100 CHELMSFORD STREET, LOWELL, MA, 01851, 650-619-1747 - 0 ($230,000,000.00) Equity, (File 333-175934 - Aug. 1) (BR. ) S-8 LOCAL.COM, ONE TECHNOLOGY DRIVE, BUILDING G, IRVINE, CA, 92618, (949) 784-0800 - 0 ($3,625,000.00) Equity, (File 333-175935 - Aug. 1) (BR. 03A) S-1 Kraig Biocraft Laboratories, Inc, 120 N. WASHINGTON SQUARE, SUITE 805, LANSING, MI, 48933, (517) 336-0807 - 63,600,000 ($7,504,800.00) Equity, (File 333-175936 - Aug. 1) (BR. 06B) S-3 Echo Therapeutics, Inc., 8 PENN CENTER, 1628 JFK BLVD, SUITE 300, PHILADELPHIA, PA, 19103, 215-717-4100 - 0 ($75,000,000.00) Equity, (File 333-175938 - Aug. 1) (BR. 10A) N-2 Kohlberg Capital CORP, 295 MADISON AVENUE, 6TH FLOOR, NEW YORK, NY, 10017, 212-455-8300 - 0 ($200,000,000.00) Equity, (File 333-175939 - Aug. 1) (BR. 22) S-1 Liftech Industries Inc., 4081 WEST 8TH STREET, LOS ANGELES, CA, 90005, 213-446-4653 - 0 ($250,000.00) Other, (File 333-175941 - Aug. 1) (BR. ) Recent 8K FilingsForm 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT ACCELR8 TECHNOLOGY CORP CO 1.01,9.01 07/20/11 AMEND ACCURAY INC DE 2.03,3.02,8.01,9.01 07/26/11 ACORDA THERAPEUTICS INC 2.02,9.01 06/30/11 ACXIOM CORP DE 5.02 07/25/11 AMEND AECOM TECHNOLOGY CORP DE 5.07 03/03/11 AMEND AGILYSYS INC OH 1.02,2.01,5.02,5.03, 107/27/11 5.07,8.01,9.0 Alamo Energy Corp. NV 1.01,2.03,3.02,9.01 07/26/11 ALIGN TECHNOLOGY INC DE 2.02,9.01 08/01/11 ALIMERA SCIENCES INC DE 5.02,9.01 07/28/11 ALKERMES INC PA 2.02,8.01,9.01 08/01/11 Allegiant Travel CO NV 2.02,9.01 08/01/11 ALLIANCE BANKSHARES CORP 2.02,9.01 07/26/11 ALLIANCEBERNSTEIN HOLDING L.P. DE 2.02,7.01,9.01 07/29/11 ALLIANCEBERNSTEIN L.P. DE 2.02,7.01,9.01 07/29/11 ALLIANT TECHSYSTEMS INC DE 8.01,9.01 08/01/11 ALLIED HEALTHCARE INTERNATIONAL INC NY 1.01,3.03,5.02,8.01, 08/01/11 9.01 Allied World Assurance Co Holdings, A 5.03,9.01 07/27/11 ALLSTATE CORP DE 2.02,9.01 08/01/11 ALNYLAM PHARMACEUTICALS, INC. 2.02,9.01 08/01/11 AMAG PHARMACEUTICALS INC. DE 5.02,9.01 08/01/11 AMERICAN NATIONAL BANKSHARES INC VA 9.01 07/01/11 AMEND American Reprographics CO DE 1.01,5.02,9.01 08/01/11 AMERICAN RESTAURANT CONCEPTS INC 1.01,3.02,5.02,9.01 07/26/11 AMERICAN SAFETY INSURANCE HOLDINGS LT 5.07 08/01/11 ANNALY CAPITAL MANAGEMENT INC MD 2.02,9.01 08/01/11 ANSYS INC DE 2.01,9.01 08/01/11 Antero Resources Finance Corp DE 1.01,2.03,9.01 07/27/11 ARIAD PHARMACEUTICALS INC DE 8.01,9.01 08/01/11 ARMSTRONG WORLD INDUSTRIES INC PA 2.02,5.05,7.01,8.01, 08/01/11 9.01 ASSET ACCEPTANCE CAPITAL CORP 5.07 05/12/11 AMEND AT&T INC. DE 8.01 08/01/11 Athens Bancshares Corp 2.02,9.01 07/29/11 ATWOOD OCEANICS INC TX 7.01 08/01/11 AUBURN NATIONAL BANCORPORATION INC DE 2.02,9.01 07/29/11 AUXILIUM PHARMACEUTICALS INC 2.02,7.01,9.01 08/01/11 Bacterin International Holdings, Inc. DE 1.01,1.02,2.03,3.02, 07/29/11 7.01,9.01 BAKKEN RESOURCES INC 5.02 07/26/11 BALLANTYNE STRONG, INC. DE 5.02 07/26/11 BANCORPSOUTH INC MS 5.02,9.01 07/28/11 BANK OF THE JAMES FINANCIAL GROUP INC VA 2.02,9.01 08/01/11 BANKATLANTIC BANCORP INC FL 7.01,9.01 08/01/11 BARD C R INC /NJ/ NJ 5.02 07/28/11 BEL FUSE INC /NJ NJ 5.02,9.01 07/27/11 BGC Partners, Inc. DE 1.01,2.03,3.02,8.01, 07/28/11 9.01 BIOCANCELL THERAPEUTICS INC. 8.01 07/27/11 BIOSTEM U.S. CORP NV 1.02,5.02 07/31/11 Birmingham Bloomfield Bancshares MI 5.03,9.01 07/26/11 BlueLinx Holdings Inc. DE 3.02 07/28/11 Bohai Pharmaceuticals Group, Inc. NV 5.02,9.01 07/28/11 BOSTON SCIENTIFIC CORP DE 5.02,9.01 07/26/11 CalAmp Corp. DE 5.07 07/28/11 CANANDAIGUA NATIONAL CORP NY 2.02,9.01 06/30/11 Cape Bancorp, Inc. MD 2.02,9.01 07/29/11 Cardium Therapeutics, Inc. DE 8.01,9.01 07/28/11 CASTLE A M & CO MD 5.07 04/27/11 AMEND CDW Corp DE 2.02,9.01 08/01/11 CELADON GROUP INC DE 5.02 07/27/11 CHART INDUSTRIES INC DE 7.01,9.01 07/27/11 CHESAPEAKE MIDSTREAM PARTNERS LP DE 8.01,9.01 07/26/11 CHIMERA INVESTMENT CORP DE 2.02,9.01 08/01/11 China Biologic Products, Inc. 8.01,9.01 08/01/11 CHINA NUVO SOLAR ENERGY INC NV 1.01,9.01 08/01/11 CHOICE HOTELS INTERNATIONAL INC /DE DE 2.02,9.01 08/01/11 CHRISTOPHER & BANKS CORP DE 5.07 07/27/11 CHURCH & DWIGHT CO INC /DE/ DE 5.02 07/29/11 CleanTech Biofuels, Inc. 1.01,9.01 07/29/11 CLECO CORP LA 5.07 07/29/11 AMEND CNA FINANCIAL CORP DE 2.02,9.01 08/01/11 COBIZ FINANCIAL INC CO 7.01 08/01/11 COGNEX CORP MA 2.02,9.01 08/01/11 COGNEX CORP MA 5.07 04/27/11 AMEND Coleman Cable, Inc. DE 9.01 05/16/11 AMEND COLUMBIA BAKERIES INC NV 5.02 06/30/11 COLUMBIA BANKING SYSTEM INC WA 8.01 07/07/11 COLUMBUS MCKINNON CORP NY 5.02 08/01/11 COMMERCIAL BARGE LINE CO DE 5.02 07/28/11 COMMERCIAL METALS CO DE 1.01,3.03,5.03,8.01, 07/30/11 9.01 COMMUNITY FINANCIAL SHARES INC DE 2.02,9.01 07/29/11 COMSTOCK RESOURCES INC NV 2.02,9.01 06/30/11 CONCEPTUS INC DE 5.02,9.01 08/01/11 CONMED CORP NY 2.02,5.02,9.01 07/28/11 CONNS INC DE 1.01,1.02,2.03,9.01 07/28/11 CONVERGYS CORP OH 2.02,9.01 08/01/11 Coronus Solar Inc. A1 5.02,7.01,9.01 08/01/11 CORPORATE EXECUTIVE BOARD CO DE 2.02,9.01 08/01/11 CRACKER BARREL OLD COUNTRY STORE, INC TN 5.02,7.01,9.01 07/27/11 CREDIT ACCEPTANCE CORP MI 2.02,9.01 08/01/11 CreXus Investment Corp. MD 2.02,9.01 08/01/11 CUTERA INC DE 2.02,9.01 08/01/11 CVB FINANCIAL CORP CA 7.01,8.01,9.01 08/01/11 CYTRX CORP DE 8.01,9.01 08/01/11 DATALINK CORP MN 1.01,2.03 07/28/11 DAYTON POWER & LIGHT CO OH 8.01,9.01 07/27/11 Delta Tucker Holdings, Inc. DE 2.02,7.01,8.01,9.01 08/01/11 DEPOMED INC CA 2.02,9.01 08/01/11 DIAMOND HILL INVESTMENT GROUP INC OH 8.01 08/01/11 Discover Card Execution Note Trust DE 8.01 07/28/11 Dividend Capital Total Realty Trust I 5.07 06/22/11 AMEND DJSP Enterprises, Inc. D8 2.01 08/01/11 DJSP Enterprises, Inc. D8 5.02 08/01/11 DORAL FINANCIAL CORP PR 2.02,7.01,9.01 07/28/11 DPL INC OH 2.02,8.01,9.01 07/28/11 DREW INDUSTRIES INC DE 2.02,7.01,9.01 08/01/11 DUKE REALTY CORP IN 5.07 04/27/11 AMEND DUKE REALTY LIMITED PARTNERSHIP/ IN 5.07 04/27/11 AMEND DUOYUAN PRINTING, INC. WY 8.01,9.01 07/28/11 DYNEGY INC. DE 5.02 07/26/11 EASTMAN KODAK CO NJ 1.01,3.03,5.03,9.01 08/01/11 EDAC TECHNOLOGIES CORP WI 1.01,2.03,9.01 07/27/11 ELEPHANT TALK COMMUNICATIONS INC CA 5.02,9.01 08/01/11 EMPIRE DISTRICT ELECTRIC CO KS 5.07 04/28/11 AMEND ENCORE CAPITAL GROUP INC DE 2.02,9.01 08/01/11 END FUEL CORP FL 3.02 07/31/11 ENGLOBAL CORP NV 5.02,9.01 08/01/11 ERESEARCHTECHNOLOGY INC /DE/ DE 2.02,5.03,9.01 07/27/11 Estate Vault, Inc. NV 5.02,9.01 07/29/11 Eureka Financial Corp. 2.02,9.01 07/29/11 ExlService Holdings, Inc. DE 2.02,9.01 08/01/11 ExlService Holdings, Inc. DE 2.01,7.01,9.01 06/06/11 AMEND EXTREME NETWORKS INC DE 2.02,9.01 08/01/11 Feihe International Inc UT 7.01,9.01 08/01/11 FIRST BANCORP /NC/ NC 2.02,9.01 08/01/11 First Federal of Northern Michigan Ba 2.02,9.01 07/29/11 FIRST FINANCIAL HOLDINGS INC /DE/ DE 7.01,9.01 08/01/11 First Guaranty Bancshares, Inc. LA 2.02 06/30/11 FIRST NATIONAL CORP /VA/ 2.02,8.01,9.01 08/01/11 FIRST NIAGARA FINANCIAL GROUP INC DE 1.01,7.01,9.01 07/30/11 FIRST PACTRUST BANCORP INC MD 7.01,9.01 08/01/11 First Surgical Partners Inc. DE 1.01,2.01,3.02,3.03, 12/31/10 AMEND 5.01,5.02,5.06,9.01 FORD MOTOR CREDIT CO LLC DE 8.01,9.01 08/01/11 FORMFACTOR INC DE 2.02,9.01 07/29/11 AMEND FREMONT MICHIGAN INSURACORP INC MI 2.01,3.03,5.01,5.02, 08/01/11 5.03,8.01,9.01 FRONTIER COMMUNICATIONS CORP DE 8.01,9.01 08/01/11 GATX CORP NY 8.01,9.01 08/01/11 GENCO SHIPPING & TRADING LTD 5.02 08/01/11 GENERAL CABLE CORP /DE/ DE 2.02,9.01 08/01/11 General Maritime Corp / MI 5.07 05/12/11 AMEND GeoEye, Inc. DE 2.02,9.01 08/01/11 GERBER SCIENTIFIC INC CT 8.01,9.01 08/01/11 GERMAN AMERICAN BANCORP, INC. IN 2.02,8.01,9.01 07/26/11 GERMAN AMERICAN BANCORP, INC. IN 7.01,9.01 08/01/11 GERON CORP DE 1.01,2.03,3.02 08/01/11 Gevo, Inc. DE 2.02,9.01 08/01/11 GIGA TRONICS INC CA 8.01 07/26/11 GLADSTONE INVESTMENT CORPORATION\DE DE 2.02,9.01 08/01/11 GORMAN RUPP CO OH 2.02,9.01 07/28/11 Grand Canyon Education, Inc. DE 5.07 05/17/11 AMEND GRAY TELEVISION INC GA 2.02,9.01 08/01/11 GREAT SOUTHERN BANCORP INC MD 7.01 08/01/11 Green Technology Solutions, Inc. DE 1.01,2.03,3.02,9.01 07/28/11 Grubb & Ellis Healthcare REIT II, Inc MD 9.01 05/26/11 AMEND GRYPHON GOLD CORP NV 1.01,2.03,3.02,7.01, 07/27/11 9.01 Guaranty Bancorp DE 7.01,9.01 08/01/11 Guidance Software, Inc. DE 2.02,7.01,9.01 08/01/11 GULF ISLAND FABRICATION INC LA 5.02,5.03,9.01 07/28/11 HAEMONETICS CORP MA 2.02,9.01 07/02/11 HANSEN MEDICAL INC 5.07 06/15/11 AMEND HARDINGE INC NY 1.01,2.03 07/26/11 HARRIS & HARRIS GROUP INC /NY/ NY 5.02,9.01 08/01/11 HASCO Medical, Inc. FL 2.03,9.01 05/13/11 AMEND HCA Holdings, Inc. 1.01,2.03,9.01 07/26/11 HEALTH MANAGEMENT ASSOCIATES INC DE 9.01 06/30/11 AMEND Helix Wind, Corp. NV 3.02,5.03,7.01 07/28/11 HERBALIFE LTD. E9 2.02,8.01,9.01 08/01/11 HERITAGE COMMERCE CORP CA 2.02,9.01 06/30/11 HERITAGE COMMERCE CORP CA 7.01,8.01,9.01 08/01/11 Heritage Financial Group Inc MD 7.01,9.01 08/01/11 HMS HOLDINGS CORP 1.01 07/26/11 HOLOGIC INC DE 2.02,5.02,9.01 06/28/11 HOMEFED CORP DE 5.07,7.01,9.01 07/29/11 HOPFED BANCORP INC DE 2.02,9.01 08/01/11 HORIZON BANCORP /IN/ IN 7.01,9.01 08/01/11 Horizon Lines, Inc. 5.07 06/08/11 AMEND HUGHES Telematics, Inc. DE 7.01,9.01 08/01/11 HUMAN GENOME SCIENCES INC DE 3.02 07/29/11 HUMANA INC DE 2.02,7.01,9.01 08/01/11 ICF International, Inc. DE 2.02,9.01 08/01/11 IDEXX LABORATORIES INC /DE DE 1.01,2.03,9.01 07/26/11 iMetrik M2M Solutions Inc. NV 7.01,9.01 07/29/11 IMPERIAL CAPITAL BANCORP, INC. DE 1.03,9.01 07/20/11 INDEPENDENT BANK CORP /MI/ MI 2.02,9.01 08/01/11 INERGY L P DE 1.01,2.03,9.01 07/28/11 Infrared Systems International NV 2.01,9.01 06/22/11 AMEND Inland American Real Estate Trust, In MD 1.01 07/28/11 INSITUFORM TECHNOLOGIES INC DE 1.01,9.01 07/26/11 INSPERITY, INC. DE 2.02,9.01 08/01/11 INSWEB CORP 1.01,2.02,7.01,9.01 05/02/11 INTEGRA BANK CORP IN 1.03,2.04,5.02,5.03, 07/29/11 9.01 INTEGRATED DEVICE TECHNOLOGY INC DE 2.02,9.01 08/01/11 INTEGRATED ENVIRONMENTAL TECHNOLOGIES NV 4.02 07/22/11 AMEND INTERNATIONAL STAR INC NV 7.01,9.01 08/01/11 INTEVAC INC CA 2.02,9.01 08/01/11 IPASS INC DE 5.07 06/07/11 AMEND JACK IN THE BOX INC /NEW/ DE 2.02,9.01 08/01/11 JEFFERSON BANCSHARES INC TN 2.02,9.01 07/29/11 Jiangbo Pharmaceuticals, Inc. FL 3.01,9.01 07/26/11 Kaiser Federal Financial Group, Inc. MD 5.02,9.01 07/26/11 KALEIDOSCOPE VENTURE CAPITAL INC. NV 5.02 07/28/11 KKR Financial Holdings LLC DE 2.02,8.01,9.01 08/01/11 LAYNE CHRISTENSEN CO DE 5.02,7.01,9.01 08/01/11 LIBBEY INC DE 5.02,5.03,7.01,9.01 07/26/11 LIME ENERGY CO. DE 5.02,9.01 07/22/11 LOEWS CORP DE 2.02,9.01 08/01/11 LORILLARD, INC. DE 7.01,9.01 08/01/11 LOUISIANA BANCORP INC LA 2.02,8.01,9.01 08/01/11 MALVERN FEDERAL BANCORP INC X1 2.02,9.01 07/29/11 MDC PARTNERS INC A6 5.02,9.01 07/27/11 MEDASSETS INC DE 2.02,9.01 08/01/11 MEDCO HEALTH SOLUTIONS INC DE 8.01,9.01 07/29/11 MEDIA TECHNOLOGIES, INC. NV 1.01,2.01,5.02,9.01 08/01/11 MEDICAL ACTION INDUSTRIES INC DE 5.04,9.01 08/01/11 MERCURY GENERAL CORP CA 2.02,9.01 08/01/11 MERIDIAN INTERSTATE BANCORP INC 7.01,9.01 08/01/11 MetroCorp Bancshares, Inc. TX 7.01,9.01 08/01/11 MHI Hospitality CORP MD 1.01,2.03,7.01,9.01 08/01/11 MID AMERICA APARTMENT COMMUNITIES INC TN 1.01,2.03,8.01,9.01 07/29/11 MID WISCONSIN FINANCIAL SERVICES INC WI 5.02 08/01/11 Millburn Multi-Markets Fund L.P. DE 3.02 08/01/11 MILLER ENERGY RESOURCES, INC. 4.02 07/28/11 MILLER ENERGY RESOURCES, INC. 7.01,9.01 08/01/11 MINDEN BANCORP, INC. LA 2.02,9.01 08/01/11 MINERALS TECHNOLOGIES INC DE 8.01,9.01 07/27/11 MISSION COMMUNITY BANCORP CA 5.02 07/26/11 MPG Office Trust, Inc. MD 2.02,7.01,9.01 08/01/11 MVC CAPITAL, INC. DE 8.01 07/31/11 NATIONAL FINANCIAL PARTNERS CORP 2.02,9.01 08/01/11 NATIONAL PRESTO INDUSTRIES INC WI 2.02,9.01 07/29/11 NATIONAL PROPERTY INVESTORS 5 CA 5.07 07/27/11 NATURAL GAS SERVICES GROUP INC 5.02 07/29/11 NCR CORP MD 1.01,8.01,9.01 07/26/11 Neenah Paper Inc DE 8.01,9.01 08/01/11 New Western Energy Corp NV 7.01,9.01 07/29/11 NEWBRIDGE BANCORP NC 7.01,9.01 08/01/11 Northfield Bancorp, Inc. X1 2.02,5.05,9.01 07/27/11 NTELOS HOLDINGS CORP 5.02,9.01 07/29/11 NV ENERGY, INC. NV 2.02,7.01,9.01 08/01/11 Ocean Shore Holding Co. 2.01,9.01 08/01/11 OCTUS INC NV 1.01,2.04 07/19/11 OCWEN FINANCIAL CORP FL 5.03,9.01 07/27/11 OIL STATES INTERNATIONAL, INC DE 2.02,9.01 08/01/11 OLD NATIONAL BANCORP /IN/ IN 8.01,9.01 07/29/11 OLD NATIONAL BANCORP /IN/ IN 2.02,9.01 08/01/11 OMNI BIO PHARMACEUTICAL, INC. CO 5.02 07/31/11 OmniAmerican Bancorp, Inc. MD 2.02,9.01 08/01/11 OmniAmerican Bancorp, Inc. MD 7.01,9.01 08/01/11 OPENWAVE SYSTEMS INC DE 2.02,2.05,9.01 07/27/11 ORBCOMM Inc. DE 9.01 08/01/11 AMEND Orbitz Worldwide, Inc. DE 1.01 11/01/10 AMEND Oritani Financial Corp DE 8.01,9.01 08/01/11 OXFORD INDUSTRIES INC GA 5.02,8.01 07/26/11 PAETEC Holding Corp. 8.01,9.01 07/31/11 PAETEC Holding Corp. 1.01,9.01 07/31/11 PB Capital International, Inc DE 1.01,9.01 08/01/11 PCS EDVENTURES COM INC ID 5.02,7.01,9.01 07/28/11 PDI INC 8.01,9.01 08/01/11 PEABODY ENERGY CORP DE 8.01 07/26/11 PENSECO FINANCIAL SERVICES CORP PA 2.02,9.01 08/01/11 PETMED EXPRESS INC FL 5.07 07/29/11 PETMED EXPRESS INC FL 8.01,9.01 08/01/11 PINNACLE BANKSHARES CORP VA 2.02,9.01 07/29/11 PIONEER NATURAL RESOURCES CO DE 7.01 08/01/11 PLAINSCAPITAL CORP TX 1.01,2.03,9.01 07/26/11 PLANTRONICS INC /CA/ DE 2.02,7.01,9.01 08/01/11 Polypore International, Inc. 2.02,9.01 08/01/11 Polypore International, Inc. 2.02,9.01 08/01/11 Porter Bancorp, Inc. KY 7.01,9.01 07/29/11 Porter Bancorp, Inc. KY 8.01 07/20/11 POWER ONE INC DE 5.07 05/03/11 AMEND POWER SOLUTIONS INTERNATIONAL, INC. 9.01 04/29/11 AMEND PREMIER FINANCIAL BANCORP INC KY 7.01,9.01 08/01/11 PRIVATEBANCORP, INC DE 7.01,9.01 08/01/11 PROGRESS SOFTWARE CORP /MA MA 5.02,7.01,9.01 07/27/11 Protalix BioTherapeutics, Inc. FL 8.01,9.01 08/01/11 Quadrant 4 Systems Corp FL 8.01,9.01 07/28/11 Quadrant 4 Systems Corp FL 8.01,9.01 07/28/11 QUALITY DISTRIBUTION INC FL 2.02,9.01 08/01/11 RED MOUNTAIN RESOURCES, INC. FL 8.01 07/08/11 AMEND RELIANCE STEEL & ALUMINUM CO CA 2.03,9.01 07/26/11 RENAISSANCE LEARNING INC WI 8.01,9.01 07/27/11 REYNOLDS AMERICAN INC 1.01,1.02,2.03,9.01 07/29/11 Roadrunner Transportation Systems, In DE 5.02,9.01 07/27/11 ROGERS CORP MA 2.02,9.01 08/01/11 Rosetta Resources Inc. DE 7.01,9.01 08/01/11 RUDOLPH TECHNOLOGIES INC DE 2.02,9.01 08/01/11 S1 CORP /DE/ DE 2.02,9.01 08/01/11 SAGA COMMUNICATIONS INC DE 5.07 05/09/11 AMEND SAIA INC DE 7.01,9.01 07/27/11 SCBT FINANCIAL CORP SC 7.01,9.01 07/29/11 SELECTICA INC DE 1.01,9.01 07/28/11 SERACARE LIFE SCIENCES INC 8.01,9.01 08/01/11 Shire plc 8.01,9.01 07/29/11 Shire plc 5.02,9.01 07/27/11 Shire plc 8.01,9.01 08/01/11 SIGNATURE GROUP HOLDINGS INC NV 1.01,2.01,8.01,9.01 07/29/11 Skilled Healthcare Group, Inc. DE 2.02,9.01 08/01/11 Smart-tek Solutions Inc NV 5.07 07/29/11 SMITH A O CORP DE 5.02,9.01 08/01/11 SOUTHERN COPPER CORP/ DE 2.02,9.01 07/29/11 SOUTHWESTERN ENERGY CO DE 2.02,9.01 08/01/11 SPANISH BROADCASTING SYSTEM INC DE 3.01,9.01 07/26/11 STANDARD MICROSYSTEMS CORP DE 2.01,9.01 05/19/11 AMEND STRATASYS INC DE 2.02,9.01 07/27/11 SUFFOLK BANCORP NY 2.02,3.01,7.01 07/28/11 SUMMIT FINANCIAL GROUP INC WV 2.02,9.01 08/01/11 SUN HEALTHCARE GROUP INC DE 2.02,9.01 08/01/11 SunCoke Energy, Inc. 1.01,2.03,9.01 07/26/11 SUNLINK HEALTH SYSTEMS INC OH 1.01,3.02,7.01,9.01 07/28/11 Suspect Detection Systems, Inc. DE 5.02,9.01 07/27/11 SWS GROUP INC DE 1.01,2.03,3.02,5.02, 07/29/11 5.03,7.01,9.01 SYMANTEC CORP DE 5.02 07/26/11 Tanke Biosciences Corp NV 5.02,9.01 07/26/11 TECHE HOLDING CO LA 5.02,5.03,9.01 07/27/11 TEXAS INDUSTRIES INC DE 8.01,9.01 07/29/11 TGC INDUSTRIES INC TX 2.02,9.01 08/01/11 THERMOENERGY CORP DE 5.02 07/26/11 THL Credit, Inc. DE 2.02,9.01 08/01/11 TIRE INTERNATIONAL ENVIRONMENTAL SOLU NV 1.01 08/01/11 Titan Holding Group, Inc. FL 1.01 08/01/11 TNP Strategic Retail Trust, Inc. MD 1.01,7.01,9.01 07/26/11 TOR MINERALS INTERNATIONAL INC DE 2.02,9.01 07/28/11 TRACTOR SUPPLY CO /DE/ DE 5.02,9.01 08/01/11 TRANSDEL PHARMACEUTICALS INC DE 8.01 07/26/11 TREX CO INC DE 2.02,9.01 08/01/11 Tri-Tech Holding, Inc. E9 8.01,9.01 08/01/11 Trio Merger Corp. DE 8.01,9.01 08/01/11 U. S. Premium Beef, LLC 1.01,2.03,9.01 07/28/11 UDR, Inc. MD 2.02,9.01 08/01/11 ULURU INC. NV 1.01,9.01 07/28/11 UMPQUA HOLDINGS CORP OR 7.01,9.01 08/01/11 UNITED BANKSHARES INC/WV WV 8.01 07/26/11 UNIVERSAL DETECTION TECHNOLOGY CA 3.02,8.01 07/20/11 UNIVEST CORP OF PENNSYLVANIA PA 5.02 07/31/11 USA Mobility, Inc DE 7.01,9.01 07/28/11 VALHI INC /DE/ DE 5.02 07/26/11 VALUECLICK INC/CA DE 5.07 07/28/11 AMEND VAPOR CORP. NV 4.01,9.01 07/29/11 VERIFONE SYSTEMS, INC. DE 7.01 07/29/11 VIRGIN MEDIA INC. DE 1.02,2.04,8.01,9.01 07/26/11 VIRTUSA CORP 2.02,2.03,9.01 07/27/11 VISTEON CORP DE 5.02,9.01 07/28/11 VITESSE SEMICONDUCTOR CORP DE 5.02,7.01,9.01 05/05/11 AMEND VIVUS INC CA 2.02,9.01 08/01/11 VLOV INC. NV 8.01,9.01 08/01/11 Volcano Corp DE 2.02,9.01 08/01/11 WaferGen Bio-systems, Inc. NV 7.01,9.01 07/28/11 WARNACO GROUP INC /DE/ DE 2.02,9.01 08/01/11 WASHINGTON REAL ESTATE INVESTMENT TRU MD 5.02,9.01 07/28/11 WASHINGTON REAL ESTATE INVESTMENT TRU MD 5.07 05/17/11 AMEND WATERS CORP /DE/ DE 1.01,1.02,2.03 07/28/11 WAYNE SAVINGS BANCSHARES INC /DE/ DE 5.07 08/01/11 WAYNE SAVINGS BANCSHARES INC /DE/ DE 7.01,9.01 08/01/11 WELLS REAL ESTATE FUND IX LP GA 7.01,9.01 08/01/11 WELLS REAL ESTATE FUND VIII LP GA 7.01,9.01 08/01/11 WELLS REAL ESTATE FUND X L P GA 7.01,9.01 08/01/11 WELLS REAL ESTATE FUND XI L P GA 7.01,9.01 08/01/11 WELLS REAL ESTATE FUND XII LP GA 7.01,9.01 08/01/11 WELLS REAL ESTATE FUND XIII L P 7.01,9.01 08/01/11 WELLS REAL ESTATE FUND XIV LP GA 7.01,9.01 08/01/11 WERNER ENTERPRISES INC NE 5.02 07/29/11 WILLAMETTE VALLEY VINEYARDS INC OR 1.01 08/01/11 WINDSTREAM CORP DE 8.01,9.01 07/31/11 WINNEBAGO INDUSTRIES INC IA 5.02 07/29/11 WORLD FINANCIAL NETWORK CREDIT CARD M DE 8.01 08/01/11 ZIONS BANCORPORATION /UT/ UT 9.01 08/01/11 ZIOPHARM ONCOLOGY INC DE 2.02,9.01 08/01/11
http://www.sec.gov/news/digest/2011/dig080211.htm
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