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U.S. Securities and Exchange Commission

SEC News Digest

Issue 2011-164
August 24, 2011


Enforcement Proceedings

Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Six Public Companies for Failure to Make Required Periodic Filings

Today the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of six companies for failure to make required periodic filings with the Commission:

  • Magic Lantern Group, Inc. (GMLI)
     
  • Map VII Acquisition, Inc.
     
  • Memotec Communications, Inc.
     
  • Millstream II Acquisition Corp.
     
  • Modena 3, Inc.
     
  • North American Energy of Delaware, Inc. (n/k/a Ora Electronics, Inc.) (ORAE)

In this Order, the Division of Enforcement (Division) alleges that the six issuers are delinquent in their required periodic filings with the Commission.

In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the Administrative Law Judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 or 13a-16 thereunder, are true. The Administrative Law Judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-65187; File No. 3-14512)

SEC Obtains Final Judgment as to Defendant Deep Shah

The SEC announced that the Honorable Jed S. Rakoff, United States District Judge, United States District Court for the Southern District of New York, entered a Final Judgment by Default as to Deep Shah on August 23, 2011, in the SEC’s insider trading case, SEC v. Galleon Management, LP, et al., 09-CV-8811 (SDNY) (JSR). The SEC filed its action on October 16, 2009, which alleged that Raj Rajaratnam, Galleon Management, LP, Deep Shah and others engaged in a widespread insider trading scheme involving hedge funds, industry professionals, and corporate insiders.

At the time of the alleged conduct, Shah resided in Jersey City, New Jersey and, in 2007, Shah was employed at Moody’s as a lodging industry analyst. The Commission alleged that Shah violated the federal securities laws by, among other things, tipping Roomy Khan, then an individual investor, to material, nonpublic information about: (a) the July 2007 acquisition of Hilton Hotels Corp. by the Blackstone Group; and (b) the March 2007 acquisition of Kronos Inc. by Hellman & Friedman. Khan traded on the basis of this information and also tipped others, who traded. Khan and others paid Shah cash for the inside information he tipped to Khan. Shah left Moody’s in late 2007 or early 2008, and he is believed to currently reside in India. Shah has failed to appear, answer or otherwise defend the Commission’s action.

The Final Judgment permanently enjoins Shah from violations of Section 10(b) of the Exchange Act of 1934 (Exchange Act) and Exchange Act Rule 10b-5; and (2) orders him liable for over $34.5 million comprised of (a) disgorgement of ill-gotten gains of $8,201,464.96, representing Shah’s ill-gotten gains and those of his downstream tippees, (b) prejudgment interest thereon in the amount of $1,755,865.09, and (c) a civil penalty in the amount of $24,604,394.88. [SEC v. Galleon Management, LP, et al., Civil Action No. 09-CV-8811 (SDNY) (JSR)] (LR-22071)

Securities Act Registrations

The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.

Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.

S-1     EAST COAST DIVERSIFIED CORP, 120 INTERSTATE NORTH PARKWAY SE, #445, 
        ATLANTA, GA, 30339, 770-953-4184 - 28,000,000 ($448,000.00) Equity, 
        (File 333-176414 - Aug. 22) (BR. 05A)

S-1     Integrity Applications, Inc., 102 HA'AVODA STREET, P.O.BOX 432, 
        ASHKELON, L3, 78100, 972 (8) 675-7878 - 
        1,295,545 ($8,097,156.25) Equity, (File 333-176415 - Aug. 22) (BR. )

S-8     BioLineRx Ltd., P.O. BOX 45158, 19 HARTUM STREET, JERUSALEM, L3, 91450, 
        972-2-548-9100 - 10,000,000 ($3,510,000.00) Equity, (File 333-176419 - 
        Aug. 22) (BR. 01C)

S-8     OBA Financial Services, Inc., 20300 SENECA MEADOWS PARKWAY, GERMANTOWN, 
        MD, 20876, (301) 916-0742 - 648,025 ($9,286,950.25) Equity, 
        (File 333-176420 - Aug. 22) (BR. 07A)

S-8     VISTAPRINT N.V., HUDSONWEG 8, VENLO, P7, 5928 LW, 781-652-6300 - 
        0 ($176,715,000.00) Equity, (File 333-176421 - Aug. 22) (BR. 05B)

S-8     THORATEC CORP, 6035 STONERIDGE DR, PLEASANTON, CA, 94588, 9258478600 - 
        0 ($7,961,150.00) Equity, (File 333-176422 - Aug. 22) (BR. 10C)

S-4     PILGRIMS PRIDE CORP, 1770 PROMONTORY CIRCLE, GREELEY, CO, 80634, 
        9705068000 - 0 ($500,000,000.00) Non-Convertible Debt, 
        (File 333-176423 - Aug. 22) (BR. 05C)

S-3     POSITIVEID Corp, 1690 SOUTH CONGRESS AVENUE, SUITE 200, DELRAY BEACH, 
        FL, 33445, 561-805-8008 - 3,700,000 ($1,036,000.00) Equity, 
        (File 333-176424 - Aug. 22) (BR. 11C)

S-1     ante5, Inc., 10275 WAYZATA BOULEVARD, SUITE 310, MINNETONKA, MN, 55305, 
        952-426-1241 - 9,713,750 ($9,713,750.00) Equity, (File 333-176426 - 
        Aug. 22) (BR. 04)

S-1     Teamupsport Inc., 700 GILLARD ST, WALLACEBURG, A6, N8A 4Z5, 
        (519) 627-7428 - 1,950,000 ($39,000.00) Equity, (File 333-176429 - 
        Aug. 22) (BR. )

S-8     OLIN CORP, OLIN CORP, 190 CARONDELET PLAZA SUITE 1530, CLAYTON, MO, 
        63105, 3144801400 - 3,000,000 ($55,860,000.00) Equity, 
        (File 333-176432 - Aug. 22) (BR. 06C)

S-4     AMAG PHARMACEUTICALS INC., 100 HAYDEN AVENUE, LEXINGTON, MA, 02421, 
        6174983300 - 0 ($206,566,150.00) Equity, (File 333-176433 - Aug. 23) 
        (BR. 01C)

S-1     Community Choice Financial Inc., 7001 POST ROAD, SUITE 200, DUBLIN, OH, 
        43016, (614) 798-5900 - 0 ($230,000,000.00) Equity, (File 333-176434 - 
        Aug. 23) (BR. 07)

F-3ASR  NXP Semiconductors N.V., 31 40 27 43704 - 
        0 ($0.00) Unallocated (Universal) Shelf, (File 333-176435 - Aug. 23) 
        (BR. 10)

F-3     SGOCO Group, Ltd., SGOCO TECHNOLOGY PARK, LUOSHAN, JINJIANG CITY,, 
        FUJIAN,, F4, 362200, 86 (595) 8200-5598 - 0 ($9,932,422.00) Equity, 
        (File 333-176437 - Aug. 23) (BR. 11C)

Recent 8K Filings

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

1.01

Entry into a Material Definitive Agreement

1.02

Termination of a Material Definitive Agreement

1.03

Bankruptcy or Receivership

2.01

Completion of Acquisition or Disposition of Assets

2.02

Results of Operations and Financial Condition

2.03

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

2.04

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

2.05

Cost Associated with Exit or Disposal Activities

2.06

Material Impairments

3.01

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

3.02

Unregistered Sales of Equity Securities

3.03

Material Modifications to Rights of Security Holders

4.01

Changes in Registrant's Certifying Accountant

4.02

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

5.01

Changes in Control of Registrant

5.02

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

5.03

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

5.04

Temporary Suspension of Trading Under Registrant's Employee Benefit Plans

5.05

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

5.06

Change in Shell Company Status

6.01

ABS Informational and Computational Material.

6.02

Change of Servicer or Trustee.

6.03

Change in Credit Enhancement or Other External Support.

6.04

Failure to Make a Required Distribution.

6.05

Securities Act Updating Disclosure.

7.01

Regulation FD Disclosure

8.01

Other Events

9.01

Financial Statements and Exhibits

8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.

                                        STATE
NAME OF ISSUER                          CODE     8K ITEM NO.          DATE        COMMENT

ABERCROMBIE & FITCH CO /DE/             DE       2.02,8.01,9.01         08/22/11

ADVANCED PHOTONIX INC                   DE       5.07                   08/19/11

ALASKA PACIFIC BANCSHARES INC           AK       5.03,9.01              08/18/11

Allied World Assurance Co Holdings, A            8.01,9.01              08/22/11

Alpha Natural Resources, Inc.           DE       8.01                   08/22/11

ALPHARX INC                             DE       1.01,9.01              08/22/11

Ameresco, Inc.                          DE       8.01,9.01              08/22/11

AMERICAN VANGUARD CORP                  DE       8.01,9.01              08/19/11

Ampio Pharmaceuticals, Inc.             DE       7.01,8.01,9.01         08/19/11

ANN INC.                                DE       5.07                   08/16/11    AMEND

APPLIED MICRO CIRCUITS CORP             DE       5.02,5.07,9.01         08/16/11

ARCH CAPITAL GROUP LTD.                          1.01,1.02,2.03,9.01    08/18/11

ARROW ELECTRONICS INC                   NY       1.01,2.03,8.01,9.01    08/19/11

ASHLAND INC.                            KY       7.01,9.01              08/22/11

Atrinsic, Inc.                          DE       3.01                   08/16/11

AVALONBAY COMMUNITIES INC               MD       8.01,9.01              08/22/11

AVENTINE RENEWABLE ENERGY HOLDINGS IN   DE       5.02,9.01              08/19/11

BCM Energy Partners Inc.                DE       1.01,9.01              08/17/11

BELDEN INC.                             DE       5.07                   05/18/11    AMEND

BENIHANA INC                            DE       8.01,9.01              08/22/11

BIODELIVERY SCIENCES INTERNATIONAL IN   DE       8.01,9.01              08/22/11

BIOLARGO, INC.                          DE       5.02,8.01,9.01         08/18/11

BIOLASE TECHNOLOGY INC                  DE       7.01,9.01              08/18/11

BIOZONE PHARMACEUTICALS, INC.           NV       4.01,9.01              08/11/11    AMEND

BLACK HILLS CORP /SD/                   SD       5.02,9.01              08/16/11

BLUE COAT SYSTEMS INC                   DE       5.02,9.01              08/17/11

BLUE SPHERE CORP.                       NV       1.01,3.02,5.02,8.01,   08/17/11
                                                 9.01
           
Blueknight Energy Partners, L.P.        DE       7.01,9.01              08/22/11

Brazos International Exploration, Inc   NV       5.02                   08/19/11

BURLINGTON NORTHERN SANTA FE, LLC                1.01,2.03,9.01         08/17/11

CALLIDUS SOFTWARE INC                   DE       8.01                   08/18/11    AMEND

CARROLS RESTAURANT GROUP, INC.                   8.01,9.01              08/22/11

CAS MEDICAL SYSTEMS INC                 DE       5.07                   08/22/11

CATO CORP                               DE       2.02                   08/22/11

CENTRAL VALLEY COMMUNITY BANCORP        CA       1.01,3.02,3.03,5.02,   08/17/11
                                                 5.03,9.01
      
CEPHALON INC                            DE       8.01,9.01              08/22/11

Chatham Lodging Trust                   MD       1.02,9.01              08/19/11

CHEESECAKE FACTORY INC                  DE       5.07                   06/01/11    AMEND

CHINA FUND INC                          MD       7.01,9.01              07/31/11

CHINA MEDICINE CORP                     NV       4.01,9.01              08/16/11

China Shengda Packaging Group Inc.      NV       5.02                   08/19/11

CITIZENS SOUTH BANKING CORP             DE       8.01,9.01              08/22/11

CLEAN TRANSPORTATION GROUP, INC.                 1.01,2.01,5.01,5.05,   08/13/11
                                                 5.06,9.01
      
COBIZ FINANCIAL INC                     CO       8.01                   08/22/11

COLE CORPORATE INCOME TRUST, INC.       MD       8.01                   08/10/11

Cole Credit Property Trust II Inc       MD       8.01                   08/09/11

Cole Credit Property Trust III, Inc.    MD       8.01                   08/10/11

COMPASS MINERALS INTERNATIONAL INC      DE       8.01,9.01              08/22/11

CONTINUCARE CORP                                 5.07                   08/22/11

CORNING NATURAL GAS CORP                NY       8.01                   08/22/11

CPM Holdings, Inc.                               8.01                   08/22/11

CYBERDEFENDER CORP                      CA       5.02                   08/16/11

CYBERMESH INTERNATIONAL CORP.                    1.01,9.01              08/16/11

DEMAND MEDIA INC.                       DE       7.01,9.01              08/22/11

DENDREON CORP                           DE       5.02,9.01              08/18/11

DENTSPLY INTERNATIONAL INC /DE/         DE       8.01                   08/19/11

DEPOMED INC                             CA       1.01,1.02              08/22/11

DIGITAL ANGEL CORP                      DE       2.02,9.01              08/19/11

DIRECT INSITE CORP                      DE       5.02                   08/16/11

Domark International Inc.               NV       1.01,9.01              08/21/11

DRIVETIME AUTOMOTIVE GROUP INC          DE       1.01,9.01              08/16/11

Electromed, Inc.                        MN       5.02                   08/19/11

EMS TECHNOLOGIES INC                    GA       1.02,3.01,3.02,3.03,   08/19/11
                                                 5.01,5.02,5.03,8.01,
                                                 9.01
   
ENTERPRISE PRODUCTS PARTNERS L P        DE       8.01,9.01              08/19/11

ESTEE LAUDER COMPANIES INC              DE       5.02                   08/17/11

EXCO RESOURCES INC                      TX       1.01,3.03,8.01,9.01    08/19/11

EXELON CORP                             PA       8.01                   08/10/11

Farm Lands of Guinea, Inc.              NV       1.01,3.02,9.01         08/17/11

Federal Home Loan Bank of Boston        X1       2.03                   08/16/11

FIRST COMMUNITY FINANCIAL CORP          PA       8.01,9.01              08/22/11

Firsthand Technology Value Fund, Inc.            8.01,9.01              08/22/11

FIRSTMERIT CORP /OH/                    OH       5.07                   04/20/11    AMEND

FLORIDIAN FINANCIAL GROUP INC                    5.02,8.01              08/16/11

FOREST LABORATORIES INC                 DE       8.01,9.01              08/08/11

FORTUNE BRANDS INC                      DE       8.01,9.01              08/22/11

Fresh Market, Inc.                      DE       5.02,5.07              08/18/11

FUSION TELECOMMUNICATIONS INTERNATION   DE       1.01,2.03,9.01         08/22/11

GARNER INVESTMENTS INC                  WY       5.02,5.03,5.07,9.01    08/17/11

GLEACHER & COMPANY, INC.                DE       2.05,2.06,5.02,7.01,   08/22/11
                                                 8.01,9.01
      
Global Arena Holding, Inc.              DE       4.01,9.01              08/01/11

Global Ecology Corp                     NV       1.01,2.03,9.01         08/19/11

GLOBECOMM SYSTEMS INC                            5.02,9.01              06/23/11

GOLDMAN SACHS GROUP INC                 DE       9.01                   08/22/11

Great American Group, Inc.              DE       5.07                   08/16/11

GREEN MOUNTAIN COFFEE ROASTERS INC      DE       5.02,9.01              07/20/11

GreenHouse Holdings, Inc.                        1.01,3.02,8.01         08/17/11

HANCOCK HOLDING CO                      MS       5.02                   08/16/11

HARRIS INTERACTIVE INC                  DE       5.02                   08/16/11

HEALTHSOUTH CORP                        DE       7.01,9.01              08/22/11

HEMACARE CORP /CA/                      CA       9.01                   07/11/11    AMEND

Heritage Financial Group Inc            MD       1.01,2.01,8.01,9.01    08/19/11

HICKOK INC                              OH       5.02,7.01,9.01         08/22/11

Hoku Corp                               DE       1.01,2.03,9.01         08/16/11

Horizon Lines, Inc.                              1.01,9.01              08/19/11

Hubei Minkang Pharmaceutical Ltd.       NV       1.01,9.01              08/16/11

ICONIX BRAND GROUP, INC.                DE       5.07                   08/18/11

Independent Film Development CORP       NV       4.02                   08/12/11

INFRAX SYSTEMS, INC.                    NV       5.03                   08/19/11

INSIGNIA SYSTEMS INC/MN                 MN       8.01                   08/16/11

Intellicheck Mobilisa, Inc.             DE       1.01,2.03,9.01         08/17/11

Invesco Mortgage Capital Inc.           MD       5.07                   05/09/11    AMEND

IVAX DIAGNOSTICS INC                    DE       2.02,9.01              08/22/11

Juhl Wind, Inc                                   5.07,9.01              08/17/11

KENT FINANCIAL SERVICES INC             NV       7.01,9.01              08/22/11

KENT INTERNATIONAL HOLDINGS INC         NV       8.01                   08/22/11

KINETIC CONCEPTS INC                    TX       8.01,9.01              08/22/11

LEHMAN ABS CORP BOEING NOTE BACKED SE   DE       8.01,9.01              08/15/11

LEHMAN ABS CORP BOEING SECURITIES BAC   DE       8.01,9.01              08/15/11

LEHMAN ABS CORP DUKE CAPITAL NOTE BAC   DE       8.01,9.01              08/15/11

LEHMAN ABS CORP GOLD SACHS CAP I SEC    DE       8.01,9.01              08/15/11

LEHMAN ABS CORP GOLDMAN SACHS CAP 1 S   DE       8.01,9.01              08/15/11

LEHMAN ABS CORP GOLDMAN SACHS CAP 1 S   DE       8.01,9.01              08/15/11

LEHMAN ABS CORP GOLDMAN SACHS NOTE-BK   DE       8.01,9.01              08/15/11

LEHMAN ABS CORP MOTOROLA DEBENTURE BA   DE       8.01,9.01              08/09/11

Lender Processing Services, Inc.        DE       1.01,2.03,9.01         08/18/11

Lincolnway Energy, LLC                  IA       5.02                   08/19/11

LIQUIDITY SERVICES INC                           1.01,9.01              08/19/11

LONGWEI PETROLEUM INVESTMENT HOLDING    CO       1.01,9.01              08/08/11

Loreto Resources Corp.                  NV       5.02                   08/18/11

MAD CATZ INTERACTIVE INC                Z4       5.02,5.07,9.01         08/18/11

MAGNACHIP SEMICONDUCTOR Corp            DE       5.02                   08/16/11

MAGNUM HUNTER RESOURCES CORP            DE       1.01,2.03,3.02,9.01    08/16/11

MANNATECH INC                           TX       1.01,9.01              08/22/11

MARINE PETROLEUM TRUST                  TX       7.01,9.01              08/19/11

MARTIN MARIETTA MATERIALS INC           NC       8.01                   08/16/11

MATERION Corp                                    1.01,9.01              08/18/11

Mayflower Bancorp Inc                   MA       2.02,9.01              08/18/11

MedClean Technologies, Inc.             DE       4.02                   08/17/11

Medical Billing Assistance, Inc.        CO       1.01,8.01,9.01         06/30/11

MERGE HEALTHCARE INC                    DE       2.05                   08/05/11    AMEND

MGT CAPITAL INVESTMENTS INC             DE       2.02,5.02,8.01,9.01    08/16/11

MINDSPEED TECHNOLOGIES, INC             DE       2.05                   08/18/11

MOTRICITY INC                           DE       1.01,5.02,9.01         08/20/11

NATIONAL TECHNICAL SYSTEMS INC /CA/     CA       3.03,9.01              08/21/11

NaturalNano, Inc.                       NV       5.02                   08/22/11

NEOPROBE CORP                           DE       2.01,8.01,9.01         08/17/11

NetApp, Inc.                            CA       1.01,2.03              08/19/11

Network Dealer Services Holding Corp.   UT       1.01,9.01              08/17/11

NEWS CORP                                        8.01,9.01              08/22/11

Niska Gas Storage Partners LLC          DE       7.01,9.01              08/22/11

NORTHERN TRUST CORP                     DE       1.01,2.03,9.01         08/17/11

Nova Lifestyle, Inc.                    NV       1.01,3.02,9.01         08/18/11

NOVADEL PHARMA INC                      DE       1.01,7.01,9.01         08/18/11

O CHARLEYS INC                          TN       5.02,7.01,9.01         08/22/11

OMEGA HEALTHCARE INVESTORS INC          MD       1.01,1.02,2.03,9.01    08/16/11

ONCOR ELECTRIC DELIVERY CO LLC          DE       8.01                   08/19/11

ORION ENERGY SYSTEMS, INC.              WI       4.01,9.01              08/18/11

OVERSTOCK.COM, INC                      DE       1.01,2.03,9.01         08/19/11

PACIFIC MERCANTILE BANCORP              CA       1.01,3.03,5.03,9.01    08/16/11

PANTRY INC                              DE       1.01,5.02,7.01,9.01    08/16/11

PATRICK INDUSTRIES INC                  IN       5.02,9.01              08/18/11

Phillips Edison - ARC Shopping Center   MD       9.01                   06/10/11    AMEND

PHYSICIANS FORMULA HOLDINGS, INC.       DE       4.01,9.01              08/16/11

PLANTRONICS INC /CA/                    DE       1.01,9.01              08/19/11

PMI GROUP INC                           DE       7.01,9.01              08/19/11

POLARIS INDUSTRIES INC/MN               MN       1.01,2.03,9.01         08/18/11

PREMIER EXHIBITIONS, INC.               FL       1.01,9.01              08/16/11

PROGRESSIVE CORP/OH/                    OH       8.01,9.01              08/17/11

QUALITY DISTRIBUTION INC                FL       1.01,1.02,2.03,9.01    08/19/11

QUANTUM CORP /DE/                       DE       5.02,9.01              08/17/11

QUEST DIAGNOSTICS INC                   DE       8.01                   07/28/11

RADIANT SYSTEMS INC                     GA       8.01,9.01              08/22/11

RADIENT PHARMACEUTICALS Corp            DE       5.02,7.01,9.01         08/22/11

RASER TECHNOLOGIES INC                  UT       7.01,9.01              08/19/11

RAVEN INDUSTRIES INC                    SD       2.02,9.01              08/22/11

REAL ESTATE ASSOCIATES LTD VI           CA       1.01,2.01,9.01         08/16/11

REGAL BELOIT CORP                       WI       7.01,9.01              08/22/11

REGAL BELOIT CORP                       WI       1.01,9.01              08/22/11

Regeneca, Inc.                          NV       5.02,9.01              08/19/11

REGENERON PHARMACEUTICALS INC           NY       7.01,9.01              08/22/11

RICKS CABARET INTERNATIONAL INC         TX       5.07                   08/16/11

S1 CORP /DE/                            DE       8.01,9.01              08/22/11

SAN JUAN BASIN ROYALTY TRUST            TX       2.02,9.01              08/19/11

SANDY SPRING BANCORP INC                MD       8.01,9.01              08/19/11

SANTARUS INC                            DE       1.01,1.02,2.01,7.01,   08/22/11
                                                 9.01
           
SELECT COMFORT CORP                     MN       7.01,9.01              08/22/11

SHARPS COMPLIANCE CORP                  DE       2.02,9.01              08/22/11

Shengkai Innovations, Inc.              FL       4.01,9.01              08/04/11    AMEND

ShoreTel Inc                            CA       1.01,5.02              08/17/11

SIGMATRON INTERNATIONAL INC             DE       5.02                   08/17/11

SMUCKER J M CO                          OH       5.07                   08/17/11

TAIWAN FUND INC                         DE       7.01,9.01              07/31/11

TEAM HEALTH HOLDINGS INC.               DE       5.02                   08/09/11

Tennessee Valley Authority                       5.02                   08/16/11

TITAN INTERNATIONAL INC                 IL       8.01,9.01              08/22/11

TOMI Environmental Solutions, Inc.      FL       5.02                   08/17/11

TORCH ENERGY ROYALTY TRUST              DE       2.02,9.01              08/19/11

Tsingda eEDU Corp                       E9       8.01                   08/21/11

UNITED FIRE & CASUALTY CO               IA       5.03,8.01              08/19/11

UNITED FIRE & CASUALTY CO               IA       5.07                   05/18/11    AMEND

US CONCRETE INC                         DE       5.02,9.01              08/22/11

USA TRUCK INC                           DE       8.01,9.01              08/22/11

Valeant Pharmaceuticals International   A6       5.02,9.01              08/18/11

VCA ANTECH INC                          DE       1.01,2.03,8.01,9.01    08/16/11

VCA ANTECH INC                          DE       5.02,9.01              08/18/11

VERTEX PHARMACEUTICALS INC / MA         MA       8.01                   08/22/11

Vican Resources, Inc.                   NV       4.01,9.01              08/17/11    AMEND

Vitacost.com, Inc.                      DE       5.02,9.01              08/18/11

VYCOR MEDICAL INC                       DE       4.02,8.01              08/22/11    AMEND

WABASH NATIONAL CORP /DE                DE       1.01,9.01              08/22/11

WACCAMAW BANKSHARES INC                 NC       3.01,9.01              08/16/11

WELLCARE HEALTH PLANS, INC.             DE       1.02,9.01              08/18/11

WELLS REAL ESTATE INVESTMENT TRUST II   MD       7.01,9.01              08/22/11

Western Union CO                        DE       8.01,9.01              08/22/11

Win Gaming Media, Inc.                  NV       1.01,2.01,3.02,9.01    08/22/11    AMEND

WORLD WRESTLING ENTERTAINMENTINC        DE       5.02,8.01,9.01         08/22/11

WRIGHT MEDICAL GROUP INC                DE       8.01                   08/16/11

Zagg INC                                NV       5.07                   06/23/11    AMEND

Zoo Entertainment, Inc                  DE       2.02,9.01              08/22/11

AIR T INC                               DE       1.01,9.01              08/22/11

ALLIANCE DATA SYSTEMS CORP              DE       7.01,9.01              08/23/11

Alpha Natural Resources, Inc.           DE       7.01                   08/23/11

Alto Group Holdings Inc.                NV       1.01,3.02              08/17/11

AMBASSADORS INTERNATIONAL INC           DE       7.01,9.01              08/22/11

American Electric Technologies Inc      FL       5.02                   08/18/11

AMERICAN WOODMARK CORP                  VA       2.02,9.01              08/23/11

AMERITYRE CORP                          NV       2.02,5.02,8.01         03/14/11

AMTECH SYSTEMS INC                      AZ       8.01,9.01              08/17/11

APAC CUSTOMER SERVICES, INC             IL       8.01,9.01              08/17/11

ASHLAND INC.                            KY       2.01,8.01,9.01         08/23/11

ASSURED GUARANTY LTD                    D0       7.01                   08/23/11

Bacterin International Holdings, Inc.   DE       7.01,9.01              08/23/11

BAKER HUGHES INC                        DE       1.01,9.01              08/17/11

Bella Petrellas Holdings, Inc.          FL       1.01,2.01              08/22/11

BIGGEST LITTLE INVESTMENTS LP           DE       8.01                   08/22/11

BIO KEY INTERNATIONAL INC               DE       7.01,9.01              08/19/11

BOLT TECHNOLOGY CORP                    CT       2.02,5.02,9.01         08/18/11

BORDERS GROUP INC                       MI       7.01,9.01              08/22/11

BRAINSTORM CELL THERAPEUTICS INC                 5.02,9.01              08/22/11

BROADWAY FINANCIAL CORP \DE\            DE       8.01,9.01              08/23/11

Capstone Therapeutics Corp.             DE       7.01,9.01              08/23/11

CARDINAL FINANCIAL CORP                 VA       5.02,9.01              08/17/11

CITY HOLDING CO                         WV       8.01                   08/19/11

CNB FINANCIAL CORP/PA                   PA       5.07                   04/19/11    AMEND

COMMUNICATIONS SYSTEMS INC              MN       5.02                   08/11/11

CORE MOLDING TECHNOLOGIES INC           DE       8.01,9.01              08/22/11

CORINTHIAN COLLEGES INC                          2.02,9.01              08/23/11

Cornerstone Financial Corp              NJ       5.02,9.01              08/18/11

Counsel RB Capital Inc.                 FL       5.02,9.01              08/19/11

CROSS COUNTRY HEALTHCARE INC            DE       2.02,7.01,9.01         08/23/11

CVS CAREMARK CORP                       DE       3.03,8.01,9.01         08/22/11

DAKTRONICS INC /SD/                     SD       2.02,9.01              08/23/11

DealerTrack Holdings, Inc.              DE       1.01,8.01,9.01         08/19/11

Delanco Bancorp, Inc                             5.02                   08/17/11

Desert Hawk Gold Corp.                  NV       5.02                   08/22/11

DREW INDUSTRIES INC                     DE       8.01,9.01              08/22/11

EAGLE ROCK ENERGY PARTNERS L P          DE       1.01,9.01              08/18/11

Employers Holdings, Inc.                NV       8.01                   08/23/11

ENCORE WIRE CORP                        DE       5.07                   05/03/11    AMEND

ENVIRONMENTAL SOLUTIONS WORLDWIDE INC   FL       8.01,9.01              08/23/11

EURONET WORLDWIDE INC                   DE       1.01,1.02,2.03,3.03,   08/18/11
                                                 7.01,9.01
      
EURONET WORLDWIDE INC                   DE       7.01,9.01              08/22/11

Ever-Glory International Group, Inc.    FL       5.02                   08/19/11

EVERGREEN ENERGY INC                    DE       7.01,9.01              08/23/11

Federal Home Loan Bank of Chicago       X1       2.03                   08/17/11

Federal Home Loan Bank of Cincinnati    X1       2.03,9.01              08/18/11

Federal Home Loan Bank of Des Moines    X1       2.03,9.01              08/19/11

Federal Home Loan Bank of Indianapoli   X1       2.03,9.01              08/23/11

Federal Home Loan Bank of Pittsburgh    PA       2.03,9.01              08/17/11

Federal Home Loan Bank of San Francis   X1       2.03                   08/17/11

Federal Home Loan Bank of Seattle                2.03                   08/17/11

Federal Home Loan Bank of Topeka                 2.03,9.01              08/17/11

First Guaranty Bancshares, Inc.         LA       5.02                   08/18/11

GENESIS ENERGY LP                       DE       1.01,2.03,8.01,9.01    08/19/11

GLOBAL ENERGY INC                       NV       8.01                   08/23/11

Grand Canyon Education, Inc.            DE       5.02,8.01              08/23/11

GRANT PARK FUTURES FUND LIMITED PARTN   IL       7.01,9.01              08/23/11

Great Wall Builders Ltd.,               TX       1.01,2.01,3.02,5.01,   08/22/11
                                                 5.02,9.01
      
HANDY & HARMAN LTD.                     DE       5.02                   08/18/11

HCP, INC.                               MD       7.01,9.01              08/22/11

HDS INTERNATIONAL CORP.                 NV       1.01,2.03,7.01,9.01    08/22/11

HEINZ H J CO                            PA       2.02,9.01              08/23/11

HELIX ENERGY SOLUTIONS GROUP INC        MN       7.01,9.01              08/22/11

Higher One Holdings, Inc.               DE       1.01,1.02,8.01,9.01    08/22/11

HORMEL FOODS CORP /DE/                  DE       8.01,9.01              08/22/11

HOUSING PROGRAMS LTD                    CA       8.01                   08/18/11

ID SYSTEMS INC                          DE       1.01,3.02,8.01,9.01    08/22/11

Integrated Management Information, In            8.01                   08/23/11

ITERIS, INC.                            DE       8.01                   08/22/11

ITERIS, INC.                            DE       8.01                   08/23/11

KeyOn Communications Holdings Inc.      DE       5.02,9.01              08/17/11

LANTRONIX INC                           DE       5.02,9.01              08/17/11

Legend Oil & Gas, Ltd.                  CO       8.01,9.01              08/18/11

Longhai Steel Inc.                      NV       5.02                   08/23/11

LYONHEART CAPITAL, INC.                 NV       1.01,5.03              08/22/11

Magnolia Solar Corp                     NV       8.01,9.01              08/23/11

MAINSOURCE FINANCIAL GROUP              IN       8.01,9.01              08/23/11

MAXIM INTEGRATED PRODUCTS INC           DE       8.01                   08/18/11

MEADOWBROOK INSURANCE GROUP INC         MI       8.01,9.01              08/23/11

MEDASSETS INC                           DE       8.01,9.01              08/23/11

MEDTRONIC INC                           MN       2.02,9.01              08/23/11

MERRILL LYNCH DEPOSITOR INC PPLUS TRU   DE       8.01,9.01              08/15/11

MERRILL LYNCH DEPOSITOR INC PPLUS TRU   DE       8.01,9.01              08/15/11

MERRILL LYNCH DEPOSITOR INC PPLUS TRU   DE       8.01,9.01              08/15/11

MERRILL LYNCH DEPOSITOR INC PREFERRED   DE       8.01,9.01              08/15/11

MERRILL LYNCH DEPOSITOR INC PREFERRED   DE       8.01,9.01              08/15/11

META FINANCIAL GROUP INC                DE       8.01,9.01              08/23/11

METROPOLITAN HEALTH NETWORKS INC        FL       8.01,9.01              08/23/11

MINDSPEED TECHNOLOGIES, INC             DE       5.02,9.01              08/17/11

Modern Mobility Aids, Inc.              NV       8.01                   08/23/11

NATIONAL HOLDINGS CORP                  DE       2.02,9.01              08/15/11

NATIONAL WESTERN LIFE INSURANCE CO      CO       8.01                   08/19/11

NOBLE ENERGY INC                        DE       1.01                   08/17/11

NorthStar Real Estate Income Trust, I   MD       7.01                   08/11/11

NUCLEAR SOLUTIONS INC                   NV       8.01                   08/23/11

OFFICEMAX INC                           DE       5.02,9.01              08/18/11

OMNICARE INC                            DE       8.01,9.01              08/23/11

ORGANA GARDENS INTERNATIONAL                     1.01                   08/17/11

PLANTRONICS INC /CA/                    DE       5.02                   08/22/11

PPLUS Trust Series GSC-2                DE       8.01,9.01              08/15/11

PPLUS TRUST SERIES GSC-3                DE       8.01,9.01              08/15/11

PROGRESS ENERGY INC                     NC       8.01,9.01              08/23/11

PSP Industries, Inc.                    UT       5.02                   08/18/11

REALPAGE INC                            DE       1.01,7.01,9.01         08/22/11

REGAL BELOIT CORP                       WI       7.01,9.01              08/22/11

RESPECT YOUR UNIVERSE, INC.             NV       1.01,3.02,5.02,9.01    08/19/11
 
ShengdaTech, Inc.                                1.03,2.04,5.02,7.01,   08/19/11
                                                 9.01
           
Sino Clean Energy Inc                   NV       2.02,9.01              08/23/11

SIRONA DENTAL SYSTEMS, INC.             DE       8.01,9.01              08/22/11

SkyPeople Fruit Juice, Inc              FL       5.07                   08/18/11

SKYSTAR BIO-PHARMACEUTICAL CO           NV       8.01,9.01              08/22/11

SOUTHWEST AIRLINES CO                   TX       5.02                   08/17/11

STEIN MART INC                          FL       2.02,9.01              08/18/11

TAPIMMUNE INC                           NV       7.01,9.01              08/23/11

TEMPLE INLAND INC                       DE       8.01                   08/22/11

Territorial Bancorp Inc.                MD       8.01,9.01              08/18/11

THOR INDUSTRIES INC                     DE       5.02                   08/17/11

Tiger Oil & Energy, Inc.                         1.01,2.01,5.06,9.01    08/30/10    AMEND

TOMPKINS FINANCIAL CORP                 NY       5.02                   08/19/11

TRANSATLANTIC PETROLEUM LTD.            D0       1.01,3.02,8.01         06/07/11    AMEND

TransDigm Group INC                     DE       7.01,9.01              08/23/11

TUESDAY MORNING CORP/DE                 DE       2.02,8.01,9.01         08/22/11

VALASSIS COMMUNICATIONS INC             DE       5.02,9.01              08/17/11

VIVUS INC                               CA       1.01,8.01,9.01         08/23/11

VLOV INC.                               NV       8.01,9.01              08/22/11

WaferGen Bio-systems, Inc.              NV       8.01,9.01              08/23/11

WESTERN LIBERTY BANCORP                 DE       8.01,9.01              08/22/11

WILLIAMS SONOMA INC                     CA       2.02,9.01              08/23/11

 

http://www.sec.gov/news/digest/2011/082411.htm


Modified: 08/24/2011