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Rules and Related MattersTechnical Amendments to Commission Rules and Forms Related to the FASB’s Accounting Standards CodificationThe Securities and Exchange Commission adopted technical amendments to various rules and forms under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Investment Company Act of 1940. These revisions were necessary to conform those rules and forms to the FASB Accounting Standards Codification. The technical amendments include revision of certain rules in Regulation S-X, certain items in Regulation S-K, and various rules and forms prescribed under the Securities Act, Exchange Act and Investment Company Act. The technical amendments will be effective on the date of publication in the Federal Register. (Rel. 33-9250; 34-65052; IC-29748) Enforcement ProceedingsSEC Charges Stifel, Nicolaus and Former Executive With Fraud in Sale of Investments to Wisconsin School DistrictsOn August 10, 2011, the Securities and Exchange Commission charged Stifel, Nicolaus & Co., Inc., a St. Louis-based broker-dealer, and former Stifel Senior Vice President David W. Noack with defrauding five Wisconsin school districts by selling them unsuitably risky and complex investments funded largely with borrowed money. Filed in the U.S. District Court for the Eastern District of Wisconsin, the SEC’s complaint alleges that Stifel and Noack created a proprietary program to help the school districts fund retiree benefits by investing in notes linked to the performance of synthetic collateralized debt obligations (CDOs). The school districts established trusts that invested $200 million in three transactions from June to December 2006, paid for largely with borrowed funds. According to the SEC’s complaint, Stifel and Noack misrepresented the risk of the investments and failed to disclose material facts to the school districts. In the end, the investments were a complete failure, but generated significant fees for Stifel and Noack. According to the SEC’s complaint, the five school districts are the Kenosha Unified School District, Kimberly Area School District, School District of Waukesha, West Allis-West Milwaukee School District, and Whitefish Bay School District. The SEC alleges that Stifel and Noack made sweeping assurances to the school districts, misrepresenting that it would take “15 Enrons” – a catastrophic, overnight collapse – for the investments to fail. They also misrepresented that 30 of the 105 companies in the portfolio would have to default and that 100 of the top 800 companies in the world would have to fail before the school districts would suffer a loss of their principal. The SEC alleges that among material facts that Stifel and Noack failed to disclose were the portfolio in the first transaction performing poorly from the outset, credit rating agencies placing 10 percent of the portfolio on negative watch within 36 days of closing, and certain CDO providers expressing concerns about the risks of Stifel’s proprietary program and declining to participate in it. According to the SEC’s complaint, Stifel and Noack sold the school districts an unsuitable product that did not meet their investment needs. The school districts had no prior experience with investing in CDOs and related instruments. Stifel and Noack knew that the school districts lacked the requisite sophistication and experience to independently evaluate the risks of the investment, and knew that the school districts relied on Stifel and Noack’s recommendations. The school districts contributed $37.3 million toward the $200 million investment and borrowed the remaining $162.7 million. The SEC alleges that the heavy use of leverage and the structure of the synthetic CDOs exposed the school districts to a heightened risk of catastrophic loss. The investments steadily declined in value in 2007 and 2008 as the CDO portfolios suffered a series of downgrades. By 2010, the school districts learned that the second and third investments were a complete loss and that the lender had seized all of the trusts’ assets. The school districts suffered a complete loss of their investment and suffered credit rating downgrades for failing to provide additional funds to the trusts they established. The SEC alleges that Stifel and Noack violated Section 17(a) of the Securities Act of 1933, and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The SEC also alleges that Stifel violated and Noack aided and abetted violations of Section 15(c)(1)(A) of the Securities Exchange Act of 1934. The SEC seeks permanent injunctions, disgorgement of ill-gotten gains with prejudgment interest, and financial penalties. [SEC v. Stifel, Nicolaus & Co., Inc. and David W. Noack, Civil Action No. 2:11-cv-00755-AEG, United States District Court, Eastern District of Wisconsin] (LR-22064) Investment Company Act ReleasesJ.P. Morgan Securities LLC, et al.The Commission has issued a permanent order to J.P. Morgan Securities LLC, et al. under Section 9(c) of the Investment Company Act with respect to an injunction issued by the U.S. District Court for the District of New Jersey on July 8, 2011. The permanent order exempts J.P. Morgan Securities LLC (JPMS), Bear Stearns Asset Management Inc., Bear Stearns Health Innoventures Management, L.L.C., BSCGP Inc., Constellation Growth Capital LLC, Constellation Ventures Management II, LLC, Highbridge Capital Management, LLC, JF International Management Inc., JPMorgan Asset Management (UK) Limited, JPMorgan Distribution Services, Inc., J.P. Morgan Institutional Investments, Inc., J.P. Morgan Investment Management Inc., J.P. Morgan Latin America Management Company, LLC, J.P. Morgan Partners, LLC, J.P. Morgan Private Investments Inc., OEP Co-Investors Management II, Ltd., OEP Co-Investors Management III, Ltd., Security Capital Research & Management Incorporated, Sixty Wall Street GP Corporation, Sixty Wall Street Management Company, LLC, and Technology Coinvestors Management, LLC, as well as companies of which JPMS is or becomes an affiliated person, from the provisions of Section 9(a) of the Act. (Rel. IC-29749 – August 8) Highmark Funds and Highmark Capital Management, Inc.An order has been issued on an application filed by HighMark Funds and HighMark Capital Management, Inc. for an exemption from Section 15(a) of the Investment Company Act and Rule 18f-2 under the Act. The order permits the applicants to enter into and materially amend subadvisory agreements without shareholder approval. (Rel. IC-29750 – August 8) Self-Regulatory OrganizationsImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by OneChicago to allow for four decimal point pricing for block and exchange for physical (EFPs) trades (SR-OC-2011-01) has become effective pursuant to Section 19(b)(7) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of August 8. (Rel. 34-65053) A proposed rule change filed by the International Securities Exchange to adopt the content outline for the Proprietary Traders Qualification Examination (Series 56) (SR-ISE-2011-36) 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 August 8. (Rel. 34-65054) A proposed rule change filed by The NASDAQ Stock Market to adopt a limited category of principal registration for proprietary traders (SR-NASDAQ-2011-106) 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 August 8. (Rel. 34-65055) A proposed rule change filed by NASDAQ OMX BX to adopt a limited category of principal registration for proprietary traders (SR-BX-2011-053) 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 August 8. (Rel. 34-65056) A proposed rule change filed by NASDAQ OMX PHLX to extend the pilot period of amendments to the clearly erroneous rule (SR-PHLX-2011-110) 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 August 8. (Rel. 34-65058) A proposed rule change filed by NASDAQ OMX BX to extend the pilot period of amendments to the clearly erroneous rule (SR-BX-2011-054) 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 August 8. (Rel. 34-65059) A proposed rule change filed by Chicago Board Options Exchange related to the extension of a CBSX clearly erroneous policy pilot program (SR-CBOE-2011-077) 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 August 8. (Rel. 34-65060) A proposed rule change filed by the International Securities Exchange to amend ISE Rule 2128 to extend the pilot program (SR-ISE-2011-51) 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 August 8. (Rel. 34-65061) A proposed rule change filed by New York Stock Exchange relating to credits to supplemental liquidity providers (SR-NYSE-2011-39) 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 August 8. (Rel. 34-65062) A proposed rule change filed by The NASDAQ Stock Market regarding a clerical change to NASDAQ Options Market rules (SR-NASDAQ-2011-110) 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 August 8. (Rel. 34-65063) A proposed rule change filed by the New York Stock Exchange amending NYSE Rule 128, Clearly Erroneous Executions, to extend the effective date of the pilot until January 31, 2012, (SR-NYSE-2011-41) 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 August 8. (Rel. 34-65064) A proposed rule change filed by NYSE Arca amending NYSE Arca Rule 7.10, Clearly Erroneous Executions, to extend the effective date of the pilot until January 31, 2012, (SR-NYSEArca-2011-56) 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 August 8. (Rel. 34-65065) A proposed rule change filed by NYSE Amex amending NYSE Amex Equities Rule 128, Clearly Erroneous Executions, to extend the effective date of the pilot until January 31, 2012, (SR-NYSEAmex-2011-58) 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 August 8. (Rel. 34-65066) A proposed rule change filed by National Stock Exchange to extend the pilot program regarding clearly erroneous executions (SR-NSX-2011-09) 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 August 8. (Rel. 34-65067) A proposed rule change filed by The NASDAQ Stock Market to extend the pilot period of amendments to the clearly erroneous rule (SR-NASDAQ-2011-114) 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 August 8. (Rel. 34-65068) A proposed rule change submitted by NASDAQ OMX PHLX to correct a typographical error in Exchange Rule 1080 (SR-Phlx-2011-106) 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 August 8. (Rel. 34-65069) 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 Home Treasure Finders, Inc., 440 HIMALAYA AVE., BROOMFIELD, CO, 80220, (720) 273-2398 - 392,580 ($392,580.00) Equity, (File 333-176154 - Aug. 9) (BR. 02) S-8 RYLAND GROUP INC, 24025 PARK SORRENTO, SUITE 400, CALABASAS, CA, 91302, 8182237500 - 0 ($38,925,000.00) Equity, (File 333-176155 - Aug. 9) (BR. 06A) S-8 RYLAND GROUP INC, 24025 PARK SORRENTO, SUITE 400, CALABASAS, CA, 91302, 8182237500 - 0 ($2,283,600.00) Equity, (File 333-176156 - Aug. 9) (BR. 06A) S-3ASR BOSTON PROPERTIES INC, 800 BOYLSTON STREET, SUITE 1900, BOSTON, MA, 02199, 6172363300 - 0 ($0.00) Equity, (File 333-176157 - Aug. 9) (BR. 08A) S-3ASR BOSTON PROPERTIES INC, 800 BOYLSTON STREET, SUITE 1900, BOSTON, MA, 02199, 6172363300 - 0 ($0.00) Equity, (File 333-176158 - Aug. 9) (BR. 08A) S-3 ASTRONICS CORP, 130 COMMERCE WAY, -, EAST AURORA, NY, 14052-2191, 716-805-1599 - 0 ($150,000,000.00) Unallocated (Universal) Shelf, (File 333-176160 - Aug. 9) (BR. 05A) S-8 TRAVELCENTERS OF AMERICA LLC, 400 CENTRE STREET, NEWTON, MA, 02458, 617-964-8389 - 0 ($13,470,000.00) Equity, (File 333-176161 - Aug. 9) (BR. 02A) S-8 CONSOLIDATED TOMOKA LAND CO, 1530 CORNERSTONE BLVD., STE. 100, DAYTONA BEACH, FL, 32117, 386-274-2202 - 96,000 ($2,666,880.00) Equity, (File 333-176162 - Aug. 9) (BR. 08C) S-8 People's United Financial, Inc., C/O PEOPLE'S BANK, 850 MAIN STREET, BRIDGEPORT, CT, 06604, 203-338-4114 - 0 ($4,942,080.00) Equity, (File 333-176163 - Aug. 9) (BR. 07C) S-8 BLUE SPHERE CORP., 35 ASUTA STREET, PO BOX 857, EVEN YEHUDA, L3, 40500, 972-9-8917438 - 18,000,000 ($3,240,000.00) Equity, (File 333-176164 - Aug. 9) (BR. 03A) S-8 STERICYCLE INC, 28161 NORTH KEITH DRIVE, -, LAKE FOREST, IL, 60045, 8473675910 - 3,000,000 ($246,270,000.00) Equity, (File 333-176165 - Aug. 9) (BR. 06A) S-8 CA, INC., ONE CA PLAZA, ISLANDIA, NY, 11749, 1-800-225-5224 - 0 ($916,870,334.00) Equity, (File 333-176166 - Aug. 9) (BR. 03A) S-8 STERIS CORP, 5960 HEISLEY RD, MENTOR, OH, 44060, 4403542600 - 1,600,000 ($47,696,000.00) Equity, (File 333-176167 - Aug. 9) (BR. 10C) S-8 Transfer Technology International Corp., 2203 N LOIS AVE, SUITE 704, TAMPA, FL, 33607, 813-600-4081 - 15,000,000 ($150,000.00) Equity, (File 333-176168 - Aug. 9) (BR. 02A) S-1 ALTERNATIVE ENERGY MEDIA, INC., 3160 CAMINO DEL RIO SOUTH, SUITE #310, SAN DIEGO, CA, 92108, 619-917-9093 - 2,500,000 ($25,000.00) Equity, (File 333-176169 - Aug. 9) (BR. ) S-8 Urban Barns Foods Inc., 7170 GLOVER ROAD, MILNER, A1, V0X 1T0, (604) 888-0420 - 7,000,000 ($154,000.00) Equity, (File 333-176170 - Aug. 9) (BR. 04A) S-8 JUNIPER NETWORKS INC, 1194 NORTH MATHILDA AVE, SUNNYVALE, CA, 94089, 4087452000 - 30,000,000 ($626,700,000.00) Equity, (File 333-176171 - Aug. 9) (BR. 03A) S-3 WEBMEDIABRANDS INC., 50 WASHINGTON STREET, 9TH FLOOR, STE. 912, NORWALK, CT, 06854, 203-662-2800 - 7,882,255 ($8,434,012.85) Equity, (File 333-176172 - Aug. 9) (BR. 02A) S-8 Alexza Pharmaceuticals Inc., 2091 STIERLIN COURT, MOUNTAIN VIEW, CA, 94043, 650.944.7000 - 0 ($10,050,000.00) Equity, (File 333-176173 - Aug. 9) (BR. 01A) S-8 EnteroMedics Inc, 2800 Patton Rd, St Paul, MN, 55113, 0 ($4,340,000.00) Equity, (File 333-176174 - Aug. 9) (BR. 10B) S-8 ADOLOR CORP, 700 PENNSYLVANIA DRIVE, EXTON, PA, 19341, 0 ($4,780,000.00) Equity, (File 333-176175 - Aug. 9) (BR. 01C) S-8 ORION ENERGY SYSTEMS, INC., 1204 PILGRIM ROAD, PLYMOUTH, WI, 53073, 800-660-9340 - 0 ($5,497,500.00) Equity, (File 333-176176 - Aug. 9) (BR. 11C) S-8 ASTEC INDUSTRIES INC, 1725 SHEPHERD ROAD, CHATTANOOGA, TN, 37421, 4238995898 - 800,000 ($27,024,000.00) Equity, (File 333-176177 - Aug. 9) (BR. 10A) S-3ASR AFLAC INC, 1932 WYNNTON RD, COLUMBUS, GA, 31999, 7063233431 - 6,000,000 ($237,540,000.00) Equity, (File 333-176178 - Aug. 9) (BR. 01A) S-8 INFORMATICA CORP, 100 CARDINAL WAY, REDWOOD CITY, CA, 94063, 6503855000 - 250,000 ($125,425,000.00) Equity, (File 333-176179 - Aug. 9) (BR. 03C) S-8 ELECTRONICS FOR IMAGING INC, 303 VELOCITY WAY, FOSTER CITY, CA, 94404, 6503573500 - 2,000,000 ($33,820,000.00) Equity, (File 333-176180 - Aug. 9) (BR. 03C) S-8 ELECTRONIC ARTS INC., 209 REDWOOD SHORES PARKWAY, REDWOOD CITY, CA, 94065, 650-628-1500 - 13,500,000 ($256,400,000.00) Equity, (File 333-176181 - Aug. 9) (BR. 03A) N-2 VII Peaks-KBR Co-Optivist Income BDC II, Inc., 255 SHORELINE DRIVE, SUITE 428, REDWOOD CITY, CA, 94065, (877-700-0527 - 0 ($750,000,000.00) Equity, (File 333-176182 - Aug. 9) (BR. ) S-8 LEFT BEHIND GAMES INC., 25060 HANCOCK AVE, STE 103, BOX 110, MURRIETA, CA, 92562, 951-894-6597 - 1,000,000,000 ($1,000,000.00) Equity, (File 333-176183 - Aug. 9) (BR. 03B) S-8 ELDORADO GOLD CORP /FI, SUITE 1188 - BENTALL 5, 550 BURRARD STREET, VANCOUVER, A1, V6C 2B5, (604) 687-4018 - 17,937,921 ($324,496,990.89) Equity, (File 333-176184 - Aug. 9) (BR. 04B) S-8 MEDICIS PHARMACEUTICAL CORP, 7720 DOBSON ROAD, SCOTTSDALE, AZ, 85256, 2125992000 - 0 ($32,050,000.00) Equity, (File 333-176185 - Aug. 9) (BR. 01B) S-8 AUTHENTEC INC, 100 RIALTO ROAD, SUITE 100, MELBOURNE, FL, 32901, 321-308-1300 - 4,500,000 ($13,410,000.00) Equity, (File 333-176186 - Aug. 9) (BR. 10A) S-8 GULF ISLAND FABRICATION INC, GULF ISLAND FABRICATION INC, 583 THOMPSON RD, HOUMA, LA, 70361, 5048722100 - 0 ($13,970,000.00) Equity, (File 333-176187 - Aug. 9) (BR. 06A) S-4 MEMC ELECTRONIC MATERIALS INC, 501 PEARL DRIVE (CITY OF O'FALLON), ST. PETERS, MO, 63376, 6364745000 - 0 ($550,000,000.00) Non-Convertible Debt, (File 333-176188 - Aug. 9) (BR. 10B) S-3 Manitex International, Inc., 7402 W. 100TH PLACE, BRIDGEVIEW, IL, 60455, 708-430-7500 - 0 ($17,000,000.00) Unallocated (Universal) Shelf, (File 333-176189 - Aug. 9) (BR. 10C) S-3ASR MEMC ELECTRONIC MATERIALS INC, 501 PEARL DRIVE (CITY OF O'FALLON), ST. PETERS, MO, 63376, 6364745000 - 0 ($3,307,400.50) Equity, (File 333-176190 - Aug. 9) (BR. 10B) S-8 PROCERA NETWORKS INC, 4121 CLIPPER COURT, FREMONT, CA, 94538, 510-230-2777 - 400,000 ($3,428,000.00) Equity, (File 333-176191 - Aug. 9) (BR. 03C) S-8 AMERICAN FINANCIAL GROUP INC, ONE EAST FOURTH STREET, SUITE 919, CINCINNATI, OH, 45202, 5135792121 - 1,500,000 ($46,507,500.00) Equity, (File 333-176192 - Aug. 9) (BR. 01C) 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 ABRAXAS PETROLEUM CORP NV 2.02,9.01 08/09/11 ACHILLION PHARMACEUTICALS INC DE 2.02,9.01 08/08/11 ACORN ENERGY, INC. DE 2.02,9.01 08/09/11 ADAMS GOLF INC DE 2.02,9.01 08/09/11 ADDVANTAGE TECHNOLOGIES GROUP INC OK 2.02,7.01,9.01 08/09/11 ADVANCED ANALOGIC TECHNOLOGIES INC DE 2.02,9.01 08/09/11 ADVANCED CELL TECHNOLOGY, INC. DE 5.02 08/01/11 ADVOCAT INC DE 2.02,9.01 08/09/11 AGENUS INC DE 5.02 08/09/11 AgFeed Industries, Inc. NV 5.07 08/02/11 AGILYSYS INC OH 2.02,7.01,9.01 08/09/11 AIR LEASE CORP DE 1.01 08/09/11 ALASKA PACIFIC BANCSHARES INC AK 2.02,9.01 08/08/11 ALBANY INTERNATIONAL CORP /DE/ DE 2.02,9.01 08/08/11 ALICO INC FL 2.02,9.01 06/08/11 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 08/09/11 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 08/09/11 Alliance HealthCare Services, Inc DE 2.02,2.05,5.02,9.01 08/08/11 Allied World Assurance Co Holdings, A 8.01 08/09/11 ALLOS THERAPEUTICS INC DE 1.01,9.01 08/08/11 AMAG PHARMACEUTICALS INC. DE 1.01,8.01,9.01 08/08/11 AMARIN CORP PLC\UK X0 2.02,9.01 08/09/11 AMERIANA BANCORP IN 2.02,9.01 08/09/11 American Assets Trust, Inc. MD 2.02,7.01,9.01 08/09/11 American Electric Technologies Inc FL 5.02 08/03/11 AMERICAN EXPRESS CREDIT CORP DE 1.01 08/03/11 ANGIOTECH PHARMACEUTICALS INC 2.02,9.01 08/09/11 Anthera Pharmaceuticals Inc DE 1.01,5.02,9.01 08/05/11 ANTS SOFTWARE INC DE 1.01,3.02,9.01 08/03/11 AOL Inc. DE 2.02,9.01 08/09/11 AP PHARMA INC /DE/ DE 2.02,9.01 08/08/11 APARTMENT INVESTMENT & MANAGEMENT CO MD 7.01,9.01 08/09/11 Apartment Trust of America, Inc. 8.01 07/17/11 APCO OIL & GAS INTERNATIONAL INC 2.02,9.01 08/08/11 Apollo Global Management LLC DE 2.02,9.01 08/09/11 APPLETON PAPERS INC/WI 2.02,9.01 08/08/11 APPLIED INDUSTRIAL TECHNOLOGIES INC OH 2.02,9.01 08/09/11 ARCH COAL INC DE 7.01,9.01 08/09/11 Archipelago Learning, Inc. DE 2.02,9.01 08/09/11 ARENA PHARMACEUTICALS INC DE 2.02,9.01 08/09/11 Armour Residential REIT, Inc. MD 7.01,9.01 08/08/11 ARQULE INC DE 8.01 08/09/11 ARRAY BIOPHARMA INC DE 1.01,9.01 08/05/11 ARROWHEAD RESEARCH CORP DE 5.07 08/08/11 Artio Global Investors Inc. DE 7.01,9.01 08/09/11 ASBURY AUTOMOTIVE GROUP INC DE 5.02 08/09/11 ASSOCIATED ESTATES REALTY CORP OH 2.01,9.01 08/09/11 ASSURED GUARANTY LTD D0 2.02,9.01 08/08/11 ASTRONICS CORP NY 2.02,9.01 08/09/11 ATHENA SILVER CORP CA 7.01,9.01 08/09/11 ATP OIL & GAS CORP TX 2.02,9.01 08/08/11 AUTOBYTEL INC DE 2.02,9.01 08/04/11 AVATAR HOLDINGS INC DE 2.02,9.01 08/09/11 AVENTINE RENEWABLE ENERGY HOLDINGS IN DE 2.02,9.01 08/08/11 Bancorp of New Jersey, Inc. NJ 2.02,9.01 08/09/11 BANCORPSOUTH INC MS 8.01,9.01 08/09/11 BARNWELL INDUSTRIES INC DE 2.02,9.01 08/09/11 BAYHILL CAPITAL CORP DE 1.01,9.01 08/08/11 BEACON POWER CORP DE 2.02,9.01 08/09/11 BEAZER HOMES USA INC DE 2.02,9.01 08/09/11 BIOANALYTICAL SYSTEMS INC IN 2.02,9.01 08/09/11 BIOSPECIFICS TECHNOLOGIES CORP DE 2.02,9.01 08/08/11 BlackRock Kelso Capital CORP DE 7.01 08/09/11 BLONDER TONGUE LABORATORIES INC DE 9.01 08/09/11 BLOUNT INTERNATIONAL INC DE 2.02,9.01 08/09/11 BLUE DOLPHIN ENERGY CO DE 2.01,9.01 08/09/11 BLUE VALLEY BAN CORP KS 2.02,7.01,9.01 08/09/11 BMB MUNAI INC NV 3.01,7.01,9.01 08/03/11 Booz Allen Hamilton Holding Corp DE 2.02,9.01 08/09/11 BOSTON PROPERTIES INC DE 8.01,9.01 08/09/11 BOSTON PROPERTIES LTD PARTNERSHIP DE 8.01 08/09/11 BRIGHAM EXPLORATION CO DE 2.02,7.01,9.01 08/08/11 Bristow Group Inc DE 7.01,9.01 08/09/11 Brookdale Senior Living Inc. DE 2.02,7.01,9.01 08/08/11 BUCKEYE PARTNERS, L.P. DE 5.02,9.01 08/03/11 BUCKEYE PARTNERS, L.P. DE 2.02,9.01 08/05/11 CAESARS ENTERTAINMENT Corp DE 2.02,9.01 08/09/11 CALLON PETROLEUM CO DE 2.02,7.01,9.01 08/08/11 CANADIAN DERIVATIVES CLEARING CORP A6 9.01 07/31/11 CAPITAL TRUST INC MD 2.02,9.01 08/03/11 CAPSTONE TURBINE Corp DE 2.02,9.01 08/09/11 CARDICA INC DE 2.02,9.01 08/09/11 Care Investment Trust Inc. MD 2.02,7.01,9.01 08/09/11 CARPENTER TECHNOLOGY CORP DE 8.01 08/09/11 CARRIZO OIL & GAS INC TX 2.02,9.01 08/09/11 CARVER BANCORP INC DE 2.02 08/05/11 CASPIAN SERVICES INC NV 1.01,2.03,3.02,5.01, 08/03/11 8.01,9.01 Celsion CORP DE 2.02,9.01 08/09/11 CENTRAL VIRGINIA BANKSHARES INC VA 2.02,9.01 08/09/11 CENTRUE FINANCIAL CORP DE 2.02,9.01 08/09/11 CHARTER COMMUNICATIONS, INC. /MO/ DE 8.01,9.01 08/09/11 China Advanced Construction Materials DE 8.01,9.01 08/09/11 China Biologic Products, Inc. 2.02,7.01,9.01 08/09/11 CHINA EDUCATION INTERNATIONAL, INC. 5.02,7.01,9.01 08/05/11 China Power Technology, Inc. NV 5.02 08/09/11 CHINDEX INTERNATIONAL INC DE 2.02,7.01,9.01 08/09/11 CITY NATIONAL BANCSHARES CORP NJ 7.01,8.01 08/04/11 Clearwater Paper Corp DE 7.01,9.01 08/09/11 CNB FINANCIAL CORP/PA PA 8.01 08/09/11 COLONIAL PROPERTIES TRUST AL 5.07 04/27/11 AMEND COMARCO INC CA 2.04 08/03/11 COMDISCO HOLDING CO INC DE 2.02,9.01 08/09/11 COMMUNITY SHORES BANK CORP MI 2.02,9.01 08/04/11 Compass Diversified Holdings DE 2.02,9.01 08/09/11 COMVERGE, INC. DE 2.02,9.01 08/09/11 CONNS INC DE 2.02,9.01 08/09/11 Constellation Energy Partners LLC DE 7.01 08/08/11 CorMedix Inc. DE 2.02,9.01 08/09/11 Cornerstone OnDemand Inc DE 7.01,9.01 08/08/11 CORPORATE OFFICE PROPERTIES TRUST MD 1.01,2.03 08/05/11 COST PLUS INC/CA/ CA 2.02,9.01 08/08/11 CPI AEROSTRUCTURES INC NY 2.02 08/09/11 CREDITRISKMONITOR COM INC NV 2.02,9.01 08/08/11 CREE INC NC 2.02,9.01 08/09/11 Crexendo, Inc. DE 2.02,9.01 08/09/11 CROWN CRAFTS INC DE 5.07,8.01,9.01 08/09/11 CVS CAREMARK CORP DE 8.01,9.01 08/09/11 Cyber Supply Inc. NV 1.01,5.02 08/08/11 CYTORI THERAPEUTICS, INC. DE 2.02,9.01 08/09/11 CYTRX CORP DE 2.02,9.01 08/09/11 DCB FINANCIAL CORP OH 2.02,9.01 08/09/11 Deer Consumer Products, Inc. NV 2.02,9.01 08/09/11 DELCATH SYSTEMS INC DE 7.01,9.01 08/09/11 Delek US Holdings, Inc. 7.01,9.01 08/09/11 DEMAND MEDIA INC. DE 2.02,9.01 08/09/11 DEMAND MEDIA INC. DE 1.01,1.02,2.01,8.01, 08/04/11 9.01 Desert Hawk Gold Corp. NV 4.02 08/08/11 DIGAGOGO VENTURES CORP DE 1.01,2.03,3.02,7.01, 08/08/11 9.01 Diligent Board Member Services, Inc. DE 7.01,9.01 08/09/11 Discovery Communications, Inc. DE 1.01,2.03,9.01 08/08/11 DONALDSON CO INC DE 5.02,7.01,9.01 08/09/11 DOVER SADDLERY INC 2.02,9.01 08/09/11 DPAC TECHNOLOGIES CORP CA 1.01,5.07,9.01 08/03/11 DREW INDUSTRIES INC DE 8.01,9.01 08/08/11 DTE ENERGY CO MI 5.02,9.01 08/08/11 DUCOMMUN INC /DE/ DE 2.02,9.01 08/08/11 Duncan Energy Partners L.P. DE 2.02,9.01 08/08/11 EAGLE MATERIALS INC DE 5.02,5.07 08/03/11 EBIX INC DE 2.02,8.01,9.01 08/09/11 ECHELON CORP DE 5.02,9.01 08/06/11 ECO VENTURES GROUP, INC. NV 2.01,3.02,5.01,5.02, 07/26/11 5.03,5.07,8.01 EDELMAN FINANCIAL GROUP INC. TX 2.02,7.01,9.01 08/09/11 EDGAR ONLINE INC DE 5.07 08/04/11 ELECTRO RENT CORP CA 2.02,9.01 08/04/11 Ellington Financial LLC DE 2.02,7.01,9.01 08/08/11 EMC INSURANCE GROUP INC IA 2.02,7.01,9.01 08/09/11 EMISPHERE TECHNOLOGIES INC DE 2.02,9.01 08/09/11 ENCORE CAPITAL GROUP INC DE 7.01,9.01 08/09/11 ENDO PHARMACEUTICALS HOLDINGS INC DE 2.02,9.01 08/09/11 EnergySolutions, Inc. DE 9.01 08/09/11 ENPRO INDUSTRIES, INC NC 8.01,9.01 08/03/11 Ensco plc 2.02,9.01 08/08/11 ENTERPRISE PRODUCTS PARTNERS L P DE 2.02,9.01 08/08/11 Entertainment Gaming Asia Inc. NV 2.02,5.07,9.01 08/05/11 ENVESTNET, INC. DE 2.02,9.01 08/09/11 EPOCRATES INC DE 2.02,9.01 08/09/11 ERHC Energy Inc CO 8.01,9.01 08/05/11 Essex Rental Corp. DE 2.02,9.01 08/08/11 EXPRESS SCRIPTS INC DE 1.01,2.03,9.01 08/05/11 Federal Home Loan Bank of Atlanta X1 2.03 08/09/11 Federal Home Loan Bank of Boston X1 2.03 08/04/11 Federal Home Loan Bank of Chicago X1 2.03 08/03/11 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 08/04/11 Federal Home Loan Bank of Des Moines X1 2.03,9.01 08/05/11 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 08/09/11 Federal Home Loan Bank of New York X1 2.03,9.01 08/03/11 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 08/03/11 Federal Home Loan Bank of San Francis X1 2.03 08/03/11 Federal Home Loan Bank of Seattle 2.03 08/03/11 Federal Home Loan Bank of Topeka 2.03,9.01 08/03/11 Feihe International Inc UT 2.02,9.01 08/09/11 FIRST INTERSTATE BANCSYSTEM INC MT 5.02,9.01 08/09/11 FIRST PACTRUST BANCORP INC MD 7.01,9.01 08/09/11 FIRSTCITY FINANCIAL CORP DE 2.02,7.01,9.01 08/09/11 Firsthand Technology Value Fund, Inc. 8.01,9.01 08/09/11 Florida Bank Group, Inc. FL 2.02,9.01 08/09/11 FLUIDIGM CORP DE 2.02,9.01 08/09/11 FOSSIL INC DE 2.02,9.01 08/09/11 FPIC INSURANCE GROUP INC FL 8.01,9.01 08/08/11 Fuel Systems Solutions, Inc. 9.01 08/09/11 FURMANITE CORP DE 2.02,7.01,9.01 08/09/11 Fushi Copperweld, Inc. NV 2.02,9.01 08/04/11 FX ENERGY INC NV 8.01,9.01 08/09/11 FX ENERGY INC NV 8.01,9.01 08/09/11 GALLAGHER ARTHUR J & CO DE 7.01,9.01 08/09/11 GALLAGHER ARTHUR J & CO DE 8.01,9.01 08/09/11 General Maritime Corp / MI 5.07,9.01 08/09/11 GENVEC INC DE 2.02,9.01 08/09/11 GENWORTH FINANCIAL INC DE 2.02,9.01 08/09/11 GEO GROUP INC FL 2.02,9.01 08/03/11 GEOGLOBAL RESOURCES INC. DE 8.01,9.01 08/09/11 GIBRALTAR INDUSTRIES, INC. DE 5.02,9.01 08/08/11 Global Cash Access Holdings, Inc. DE 2.02,9.01 08/09/11 GLOBAL CROSSING LTD 5.07 08/04/11 GLOBAL POWER EQUIPMENT GROUP INC. DE 1.01,9.01 08/05/11 GLOWPOINT, INC. DE 1.01,3.02,5.03 08/03/11 Golden Minerals Co 2.02,9.01 08/08/11 GOLDEN PHOENIX MINERALS INC NV 1.01,3.02,7.01,9.01 08/03/11 GOLDEN STAR RESOURCES LTD 2.02,9.01 08/08/11 Golub Capital BDC, Inc. DE 5.02 08/04/11 GRAND RIVER COMMERCE INC MI 5.02 08/03/11 GRANITE CITY FOOD & BREWERY LTD MN 2.02,9.01 08/09/11 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 08/09/11 GRAY TELEVISION INC GA 7.01 08/08/11 GREEN PLANET GROUP, INC. NV 8.01 06/06/11 GREENLIGHT CAPITAL RE, LTD. 2.02,9.01 06/30/11 GREENMAN TECHNOLOGIES INC DE 2.02,9.01 08/08/11 GROUP 1 AUTOMOTIVE INC DE 8.01,9.01 08/08/11 GSE SYSTEMS INC DE 2.02 06/30/11 GTSI CORP DE 8.01,9.01 08/05/11 GTX INC /DE/ DE 2.02,9.01 08/09/11 HACKETT GROUP, INC. FL 2.02,9.01 08/09/11 HANOVER INSURANCE GROUP, INC. DE 2.02,9.01 08/08/11 HEALTH CARE REIT INC /DE/ DE 8.01,9.01 08/09/11 HEALTHSOUTH CORP DE 7.01,9.01 08/09/11 Heckmann CORP 2.02,2.05,9.01 08/09/11 HECLA MINING CO/DE/ DE 2.02,8.01,9.01 08/09/11 HIGHLAND BUSINESS SERVICES, INC. NV 5.02 08/02/11 Horizon Lines, Inc. 1.01,9.01 08/05/11 Horizon Technology Finance Corp DE 2.02,9.01 08/09/11 HOSPITALITY PROPERTIES TRUST MD 2.02,9.01 08/09/11 Hubei Minkang Pharmaceutical Ltd. NV 1.01,9.01 08/01/11 Hyatt Hotels Corp DE 1.01,7.01,8.01,9.01 08/04/11 HYPERCOM CORP DE 1.02,2.01,3.01,3.03, 08/04/11 5.01,5.02,5.03,9.01 IDENTIVE GROUP, INC. DE 7.01 08/09/11 inContact, Inc. DE 3.02,5.02,9.01 08/03/11 INERGY L P DE 2.02,7.01,9.01 08/09/11 INFINITY PHARMACEUTICALS, INC. DE 2.02,9.01 08/09/11 INNOSPEC INC. DE 2.02,9.01 08/08/11 INSIGNIA SYSTEMS INC/MN MN 8.01 08/09/11 INSMED INC VA 7.01 08/08/11 INSTEEL INDUSTRIES INC NC 8.01,9.01 08/09/11 INSTITUTIONAL FINANCIAL MARKETS, INC. MD 2.02,9.01 08/09/11 INTER PARFUMS INC DE 2.02,7.01,8.01,9.01 08/09/11 INTERNATIONAL FLAVORS & FRAGRANCES IN NY 2.02,9.01 08/09/11 INTL FCSTONE INC. DE 2.02,7.01,9.01 08/09/11 Invesco Ltd. D0 7.01 08/09/11 IPC The Hospitalist Company, Inc. DE 1.01,1.02,2.03,7.01 08/04/11 iTech Medical, Inc. DE 5.02,8.01,9.01 06/20/11 JACK IN THE BOX INC /NEW/ DE 5.03,9.01 08/04/11 James River Coal CO VA 2.02,7.01,9.01 08/09/11 James River Coal CO VA 8.01 08/05/11 James River Coal CO VA 5.07 06/21/11 AMEND JONES SODA CO WA 1.02 08/04/11 KAR Auction Services, Inc. DE 2.02,9.01 08/09/11 KFORCE INC FL 8.01 08/04/11 KINDRED HEALTHCARE, INC DE 2.02,7.01,9.01 08/08/11 KINGOLD JEWELRY, INC. DE 2.02,9.01 08/08/11 KITE REALTY GROUP TRUST MD 2.03 08/03/11 LANDAUER INC DE 2.02,9.01 08/09/11 LANDMARK BANCORP INC DE 2.02,8.01,9.01 08/09/11 LANTRONIX INC DE 1.02,5.02,9.01 08/05/11 LECROY CORP DE 1.01,1.02,2.03,8.01, 08/08/11 9.01 LEXICON PHARMACEUTICALS, INC./DE DE 2.02 08/08/11 LEXICON PHARMACEUTICALS, INC./DE DE 5.07 04/28/11 AMEND LGL GROUP INC DE 5.07,8.01,9.01 08/04/11 LIHUA INTERNATIONAL INC. DE 2.02,9.01 08/09/11 LIME ENERGY CO. DE 1.01,9.01 08/05/11 LIONS GATE ENTERTAINMENT CORP /CN/ 2.02,9.01 08/09/11 LOCAL.COM DE 7.01,9.01 08/09/11 LOEWS CORP DE 5.02,9.01 08/09/11 LORAL SPACE & COMMUNICATIONS INC. DE 2.02,9.01 08/09/11 LUNA INNOVATIONS INC DE 2.02,9.01 08/09/11 MAGNETEK, INC. DE 5.02,5.03,9.01 08/04/11 MAGNUM HUNTER RESOURCES CORP DE 2.02,7.01,9.01 08/09/11 MALVERN FEDERAL BANCORP INC X1 2.02,9.01 07/29/11 AMEND MARKWEST ENERGY PARTNERS L P 2.02,9.01 08/08/11 MASIMO CORP DE 2.02,7.01,9.01 08/09/11 MASS MEGAWATTS WIND POWER INC MA 5.03 08/05/11 MBIA INC CT 2.02,7.01,9.01 08/09/11 MEADOWBROOK INSURANCE GROUP INC MI 7.01,9.01 08/09/11 Medidata Solutions, Inc. DE 2.02,9.01 08/09/11 Medidata Solutions, Inc. DE 5.02,9.01 08/08/11 MEDIFAST INC DE 8.01 08/05/11 MEDIVATION, INC. DE 2.02,9.01 08/09/11 Medley Capital Corp DE 1.01,2.03,9.01 08/04/11 MEMC ELECTRONIC MATERIALS INC DE 8.01,9.01 08/09/11 MEMC ELECTRONIC MATERIALS INC DE 8.01,9.01 08/09/11 MERCURY COMPUTER SYSTEMS INC MA 7.01,9.01 08/09/11 MERIDIAN INTERSTATE BANCORP INC 8.01,9.01 08/09/11 MERRILL LYNCH DEPOSITOR INC PREFERRED DE 8.01,9.01 08/01/11 MF Global Holdings Ltd. DE 1.01,9.01 08/03/11 MHI Hospitality CORP MD 2.02,9.01 08/09/11 MICHAEL BAKER CORP PA 2.02,9.01 08/09/11 MICHAEL BAKER CORP PA 5.02,9.01 08/08/11 MILLER INDUSTRIES INC /TN/ TN 2.02,9.01 08/09/11 Mistras Group, Inc. DE 2.02,9.01 08/09/11 MOSAIC CO 7.01,9.01 08/05/11 AMEND MOTRICITY INC DE 1.01,2.02,2.03,5.02, 08/04/11 9.01 MRV COMMUNICATIONS INC DE 2.02,9.01 08/09/11 MYR GROUP INC. DE 2.02,9.01 08/09/11 MYRIAD GENETICS INC DE 2.02,9.01 08/09/11 NANOPHASE TECHNOLOGIES CORPORATION IL 5.02,5.07 08/09/11 NANOPHASE TECHNOLOGIES CORPORATION IL 5.02,5.07 08/09/11 AMEND NANOSPHERE INC DE 2.02,9.01 08/09/11 NASB FINANCIAL INC MO 2.02,9.01 06/30/11 NATIONAL FUEL GAS CO NJ 7.01,9.01 08/08/11 NATIONAL HEALTH INVESTORS INC MD 5.07 05/05/11 AMEND NATURES SUNSHINE PRODUCTS INC UT 2.02,5.07,9.01 08/09/11 NAVISTAR INTERNATIONAL CORP DE 7.01,9.01 08/09/11 Neenah Paper Inc DE 2.02,9.01 08/08/11 NELNET INC NE 2.02,9.01 08/09/11 NETGEAR, INC DE 5.02,9.01 08/07/11 NeurogesX Inc CA 2.02,8.01,9.01 08/09/11 NeurogesX Inc CA 1.01,2.03,3.02,9.01 08/05/11 Neutral Tandem Inc 2.02,9.01 08/09/11 New England Bancshares, Inc. 8.01,9.01 08/08/11 NEWFIELD EXPLORATION CO /DE/ DE 5.03,9.01 08/08/11 NEWPARK RESOURCES INC DE 7.01,9.01 08/09/11 NEXSTAR BROADCASTING GROUP INC DE 2.02,9.01 08/09/11 Next 1 Interactive, Inc. NV 7.01,9.01 08/08/11 NGP Capital Resources Co MD 2.02,9.01 08/09/11 NOBEL LEARNING COMMUNITIES INC DE 2.01,3.01,3.03,5.01, 08/09/11 5.02,5.03,8.01,9.01 NORTEK INC DE 2.02 08/09/11 NORTH CENTRAL BANCSHARES INC IA 2.02,9.01 08/09/11 NORTH SPRINGS RESOURCES CORP. NV 1.01,2.03,3.02,9.01 08/08/11 Novelis Inc. A6 2.02,9.01 08/09/11 Nuance Communications, Inc. DE 2.02,9.01 08/09/11 OMEROS CORP WA 2.02,9.01 08/09/11 OMNICOMM SYSTEMS INC DE 5.02,5.07,7.01,9.01 08/04/11 Oncothyreon Inc. DE 2.02,9.01 08/08/11 ORBCOMM Inc. DE 2.02,9.01 08/09/10 Orbitz Worldwide, Inc. DE 2.02,9.01 08/09/11 OSI SYSTEMS INC DE 8.01,9.01 08/09/11 Otter Tail Corp MN 2.02,9.01 08/08/11 PACIFIC PREMIER BANCORP INC DE 7.01,9.01 06/30/11 PAETEC Holding Corp. 2.02,9.01 08/09/11 PALADIN REALTY INCOME PROPERTIES INC MD 1.01,8.01,9.01 08/03/11 PALL CORP NY 5.02,9.01 08/04/11 PANTRY INC DE 2.02,9.01 08/09/11 PARAMETRIC TECHNOLOGY CORP MA 9.01 05/31/11 AMEND PARKWAY PROPERTIES INC MD 2.02,9.01 08/01/11 PC MALL INC DE 2.02,9.01 08/09/11 PEGASYSTEMS INC MA 2.02,9.01 08/09/11 PERICOM SEMICONDUCTOR CORP CA 2.02,9.01 08/09/11 Pernix Group, Inc. 5.02,8.01 08/02/11 PG&E CORP CA 5.02,5.03,9.01 08/08/11 Pharmasset Inc 8.01,9.01 08/09/11 Piedmont Office Realty Trust, Inc. MD 2.02,9.01 08/09/11 PLUG POWER INC DE 2.02,9.01 08/09/11 PNM RESOURCES INC NM 2.02,7.01 08/08/11 POKERTEK, INC. NC 2.02,9.01 08/09/11 POZEN INC /NC 8.01,9.01 08/05/11 PPLUS Trust Series LMG-3 8.01,9.01 08/01/11 PPlus Trust Series LMG-4 DE 8.01,9.01 08/01/11 PRESSURE BIOSCIENCES INC MA 1.01,2.03,3.02 08/09/11 PRGX GLOBAL, INC. GA 5.02 08/05/11 PRIMUS GUARANTY LTD 2.02,9.01 08/09/11 PRINCETON NATIONAL BANCORP INC DE 5.02 08/03/11 PROGENICS PHARMACEUTICALS INC DE 2.02,9.01 06/30/11 PROVIDENT NEW YORK BANCORP DE 2.05,9.01 08/09/11 PUBLIC MEDIA WORKS INC DE 1.01,3.02,9.01 07/29/11 PUBLIC SERVICE CO OF COLORADO CO 8.01,9.01 08/09/11 PUBLIC SERVICE ENTERPRISE GROUP INC NJ 7.01,9.01 08/09/11 PUBLIX SUPER MARKETS INC FL 2.02,9.01 08/09/11 PULSE ELECTRONICS CORP PA 2.02,9.01 08/09/11 QUESTCOR PHARMACEUTICALS INC CA 7.01,9.01 08/09/11 RAIT Financial Trust MD 7.01,9.01 07/29/11 RALCORP HOLDINGS INC /MO MO 2.02,7.01,9.01 08/09/11 RCM TECHNOLOGIES INC NV 2.02,9.01 08/09/11 REAL ESTATE ASSOCIATES LTD VI CA 8.01 08/08/11 REAL ESTATE ASSOCIATES LTD VII CA 8.01 08/08/11 RED MOUNTAIN RESOURCES, INC. FL 1.01,5.02,9.01 08/08/11 REGENERX BIOPHARMACEUTICALS INC DE 5.02,5.07 08/03/11 RELM WIRELESS CORP NV 2.02,9.01 08/09/11 REPROS THERAPEUTICS INC. DE 2.02,9.01 08/09/11 RESPONSYS INC CA 2.02,9.01 08/09/11 Rhino Resource Partners LP DE 2.02,9.01 08/09/11 River Rock Entertainment Authority XX 1.01,9.01 08/03/11 Roadrunner Transportation Systems, In DE 7.01,9.01 08/09/11 ROCKY MOUNTAIN CHOCOLATE FACTORY INC CO 1.01,2.03 08/08/11 Rosetta Resources Inc. DE 7.01,9.01 08/09/11 ROTECH HEALTHCARE INC DE 2.02,9.01 08/09/11 Rovi Corp DE 2.02,9.01 08/09/11 Sagent Pharmaceuticals, Inc. DE 2.02,9.01 08/09/11 SAJAN INC DE 2.02,9.01 08/09/11 SALIX PHARMACEUTICALS LTD 2.02,9.01 08/08/11 SAN DIEGO GAS & ELECTRIC CO CA 2.02,9.01 08/09/11 Santa Fe Gold CORP DE 1.01,9.01 05/18/11 SATCON TECHNOLOGY CORP DE 2.02,9.01 08/09/11 SAVIENT PHARMACEUTICALS INC DE 2.02,9.01 08/04/11 SCICLONE PHARMACEUTICALS INC DE 2.02,5.03,9.01 08/05/11 SCIENTIFIC GAMES CORP DE 2.02,9.01 08/09/11 SCIENTIFIC INDUSTRIES INC DE 8.01 08/09/11 SCRIPPS E W CO /DE OH 2.02,9.01 08/09/11 Scripps Networks Interactive, Inc. OH 2.02,7.01,9.01 08/09/11 SEABOARD CORP /DE/ DE 2.02,9.01 08/09/11 SEMPRA ENERGY CA 2.02,9.01 08/09/11 Seneca Foods Corp NY 5.07 08/04/11 SentiSearch, Inc. DE 5.07,9.01 08/05/11 SENTRY PETROLEUM LTD. 7.01,9.01 08/09/11 SGB International Holdings Inc. A1 2.01,3.02,5.01,5.02, 05/11/11 AMEND 5.03,5.06,9.01 ShoreTel Inc CA 2.02,9.01 08/09/11 SIGMATRON INTERNATIONAL INC DE 5.02 08/08/11 Sino Clean Energy Inc NV 5.02,9.01 08/08/11 SINOCOKING COAL & COKE CHEMICAL INDUS FL 8.01,9.01 08/09/11 SMART BALANCE, INC. DE 1.01,2.03,8.01,9.01 08/03/11 SMARTHEAT INC. NV 2.02,9.01 08/09/11 SMF ENERGY CORP DE 8.01,9.01 08/09/11 Solar Energy Initiatives, Inc. DE 5.02 08/02/11 SOLAZYME INC DE 1.01 08/05/11 Solo Cup CO DE 2.02,9.01 08/09/11 SOLUTIA INC DE 5.02 08/05/11 Sono Resources, Inc. NV 7.01,9.01 08/09/11 Sound Financial, Inc. 2.02,9.01 08/03/11 SOUTHERN CALIFORNIA GAS CO CA 2.02,9.01 08/09/11 SOUTHERN COPPER CORP/ DE 8.01 08/02/11 SOUTHERN UNION CO DE 2.02,7.01,9.01 08/09/11 STANLEY BLACK & DECKER, INC. CT 7.01,9.01 08/09/11 STRATS SM TRUST FOR IBM CORP SEC SERI 8.01,9.01 07/29/11 Strats(SM) Trust for JPMorgan Chase C 8.01,9.01 08/01/11 STRATS(SM) Trust For Morgan Stanley S 8.01,9.01 08/01/11 STRATTEC SECURITY CORP WI 2.02,9.01 08/09/11 SUN HYDRAULICS CORP FL 2.02,9.01 08/08/11 SunOpta Inc. 8.01 08/09/11 SUNPOWER CORP DE 1.01,1.02,2.02,2.03, 08/09/11 9.01 SUNTRUST BANKS INC GA 5.02,8.01,9.01 08/09/11 SUPREME INDUSTRIES INC DE 2.02,9.01 08/09/11 SUTRON CORP VA 5.02 08/02/11 SYNERGETICS USA INC 5.02,9.01 08/08/11 Synutra International, Inc. DE 2.02,9.01 08/09/11 SYPRIS SOLUTIONS INC DE 2.02,7.01,9.01 08/09/11 TAKE TWO INTERACTIVE SOFTWARE INC DE 7.01 08/09/11 TAUBMAN CENTERS INC MI 7.01,9.01 08/08/11 TC Global, Inc. 5.02,8.01 04/01/11 TELEPHONE & DATA SYSTEMS INC /DE/ DE 2.02,8.01,9.01 08/08/11 TENGION INC DE 2.02,5.02,9.01 08/03/11 THERMO FISHER SCIENTIFIC INC. DE 9.01 07/12/11 AMEND Thompson Creek Metals CO Inc. A6 2.02,9.01 08/08/11 TIDEWATER INC DE 7.01,9.01 08/04/11 TIER TECHNOLOGIES INC DE 2.02,9.01 08/09/11 Timberline Resources Corp DE 2.02,7.01,9.01 08/08/11 Titanium Asset Management Corp DE 5.02 08/03/11 TMX Finance LLC DE 8.01,9.01 08/09/11 TNP Strategic Retail Trust, Inc. MD 1.01,9.01 08/03/11 Tornier N.V. P7 2.02,9.01 08/09/11 Tower Group, Inc. DE 7.01,9.01 08/09/11 TRANSACT TECHNOLOGIES INC DE 2.02,9.01 08/09/11 TRANSATLANTIC HOLDINGS INC DE 8.01,9.01 08/08/11 TransDigm Group INC DE 2.02,9.01 08/09/11 TRAVELCENTERS OF AMERICA LLC 2.02,9.01 08/09/11 TREX CO INC DE 5.02,9.01 08/03/11 tw telecom inc. DE 2.02,9.01 08/08/11 U.S. Auto Parts Network, Inc. DE 2.02,9.01 08/09/11 Umami Sustainable Seafood Inc. NV 2.03 08/03/11 UMH PROPERTIES, INC. MD 2.02,9.01 06/30/11 UNIGENE LABORATORIES INC DE 7.01,9.01 08/09/11 UNION PACIFIC CORP UT 8.01,9.01 08/04/11 UNITED GUARDIAN INC DE 2.02,9.01 08/09/11 UNITRIN INC DE 8.01,9.01 08/06/11 UNIVERSAL CORP /VA/ VA 5.02,5.03,5.07,9.01 08/04/11 URS CORP /NEW/ DE 2.02,9.01 08/09/11 US BANCORP \DE\ DE 8.01 08/09/11 US ENERGY CORP WY 2.02,9.01 08/08/11 VCA ANTECH INC DE 2.01,9.01 08/09/11 Verdant Automotive Corp DE 3.02,5.07 07/11/11 Verdant Automotive Corp DE 1.01 08/08/11 VERENIUM CORP DE 2.02,9.01 08/09/11 VIASYSTEMS GROUP INC DE 2.02,9.01 08/09/11 VirtualScopics, Inc. DE 2.02,9.01 08/09/11 Vitacost.com, Inc. DE 2.02,5.02,9.01 08/04/11 Voyager Oil & Gas, Inc. DE 2.02,9.01 08/09/11 W P CAREY & CO LLC DE 2.02,9.01 08/09/11 W P CAREY & CO LLC DE 7.01,9.01 08/09/11 WALT DISNEY CO/ DE 2.02,9.01 08/09/11 WARREN RESOURCES INC MD 2.02,7.01,9.01 08/09/11 WARWICK VALLEY TELEPHONE CO NY 1.01,2.01,2.03,3.02, 08/05/11 9.01 WASHINGTON REAL ESTATE INVESTMENT TRU MD 1.01,9.01 08/05/11 Wesco Aircraft Holdings, Inc 2.02,9.01 08/09/11 WESCO INTERNATIONAL INC 7.01,9.01 08/09/11 WEST COAST BANCORP /NEW/OR/ OR 8.01 08/05/11 WILLIS LEASE FINANCE CORP DE 2.02,7.01,9.01 08/08/11 Wind Works Power Corp. NV 1.01,9.01 08/03/11 WINTRUST FINANCIAL CORP IL 5.02 08/03/11 WIZZARD SOFTWARE CORP /CO CO 7.01,9.01 08/09/11 WMS INDUSTRIES INC /DE/ DE 2.02,2.05,9.01 08/04/11 World Surveillance Group Inc. DE 9.01 05/25/11 AMEND XERIUM TECHNOLOGIES INC DE 2.02,9.01 08/08/11 XODTEC LED, INC. NV 1.01,3.02,9.01 08/05/11 YOUBLAST GLOBAL, INC. DE 8.01,9.01 08/08/11 ZHONGPIN INC. DE 2.02,9.01 08/08/11 ZIONS BANCORPORATION /UT/ UT 9.01 08/08/11
http://www.sec.gov/news/digest/2011/dig081011.htm
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