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Commission AnnouncementsCommission MeetingsClosed Meeting on Thursday, September 8, 2011, at 2:00 p.m.The subject matter of the Closed Meeting scheduled for Thursday, September 8, 2011 will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; and other matters relating to enforcement proceedings. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551-5400. Enforcement ProceedingsIn the Matter of M (2003) PLC (f/k/a Marconi PLC) et al.An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default as to Four Respondents (Default Order) in M (2003) PLC (f/k/a Marconi PLC), Admin. Proc. No. 3-14470. The Order Instituting Proceedings alleged that Respondents repeatedly failed to file required annual and quarterly reports while their securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true and revokes the registrations of each class of registered securities of MM2 Group, Inc., Nayna Networks, Inc., NCT Group, Inc., and Neptune Industries, Inc. (f/k/a Move Films, Inc.), pursuant to Section 12(j) of the Securities Exchange Act of 1934. The proceeding has ended as to Respondent M (2003) PLC (f/k/a Marconi PLC). See M (2003) PLC (f/k/a Marconi PLC), Securities Exchange Act Release No. 65229 (August 31, 2011). The proceeding is still ongoing as to Respondent Mayfair Mining & Minerals, Inc. (Rel. No. 65242; File No. 3-14470). Commission Charges Hedge Fund Manager and Company Insiders in $3.9 Million Insider Trading SchemeOn August 31, 2011, the Securities and Exchange Commission charged James F. Turner II and his New Jersey-based hedge fund firm Clay Capital Management, LLC with engaging in an insider trading scheme that involved the securities of three companies – Moldflow Corporation, Autodesk, Inc. and Salesforce.com, Inc. The SEC also charged Turner’s brother-in-law Scott A. Vollmar, Turner’s friend Scott A. Robarge and Vollmar’s neighbor Mark A. Durbin for their roles in the scheme. In total, the scheme generated illicit gains of nearly $3.9 million. Filed in the U.S. District Court for the District of New Jersey, the SEC’s complaint alleges that Vollmar was a director of business development for Autodesk and tipped Turner and Durbin with inside information about Autodesk’s planned tender offer for Moldflow in advance of Autodesk’s public merger announcement on May 1, 2008. Turner traded on the information in his personal accounts, his family members’ accounts and the account of his hedge fund, Clay Capital Fund, LP. Turner also tipped Robarge about the tender offer and recommended that several other friends and family members purchase Moldflow stock. Robarge and Durbin traded on the inside information in their personal accounts. Robarge also recommended that one of his friends buy Moldflow stock. In total, the traders made illicit gains of $2.3 million from their trading in Moldflow stock. According to the SEC’s complaint, Vollmar also tipped Turner with inside information about Autodesk’s fourth quarter 2008 earnings in advance of Autodesk’s public earnings announcement on February 26, 2008. Turner traded on the information in his personal accounts, his family members’ accounts and the Clay Fund’s account. He again tipped Robarge and recommended that several other friends and family members sell short Autodesk stock and purchase Autodesk put options. In total, the traders made illicit gains of nearly $1.1 million from their trading in Autodesk securities. The SEC’s complaint further alleges that Robarge, a recruiting technology manager for Salesforce at the time, tipped Turner with confidential information about Salesforce’s performance in advance of the company’s public earnings announcement on February 27, 2008. Turner traded on the inside information in his personal accounts, his family members’ accounts and the Clay Fund’s account. Turner also recommended that several other friends and family members, including Vollmar, purchase Salesforce stock and call options. Robarge traded on the information in his personal account and recommended that one of his friends buy Salesforce securities. In total, the traders made illicit gains of nearly $500,000 from their trading in Salesforce securities. The SEC alleges that Clay Capital, Turner and Vollmar violated Section 17(a) of the Securities Act of 1933 and that Clay Capital, Turner, Vollmar, Robarge and Durbin violated Sections 10(b) and 14(e) of the Securities Exchange Act of 1934 and Rules 10b-5 and 14e-3 thereunder. The complaint seeks permanent injunctions, disgorgement of ill-gotten gains with prejudgment interest, and civil penalties. Without admitting or denying the SEC’s allegations, Robarge and Durbin have consented to the entry of final judgments permanently enjoining them from violating Sections 10(b) and 14(e) of the Exchange Act and Rules 10b-5 and 14e-3 thereunder. Robarge also agreed to pay disgorgement of $232,591.91, prejudgment interest of $31,884.93, and a penalty of $232,591.91. Durbin agreed to pay disgorgement of $8,391.26, prejudgment interest of $1,110.86, and a penalty of $8,391.26. The SEC appreciates the assistance of the Financial Industry Regulatory Authority (FINRA) and also thanks the U.S. Attorney’s Office for the District of New Jersey and the Federal Bureau of Investigation for their assistance in this matter. [SEC v. Clay Capital Management, LLC, et al., Civil Action No. 2:11-cv-05020-DMC-JAD (D.N.J.)] (LR-22080) Commission Charges Massachusetts-Based Attorney For Violating An Investment Adviser Bar And His Son For Failing To Disclose His Father’s Bar To Advisory ClientsThe Securities and Exchange Commission announced that it filed a civil injunctive action today in federal district court in Massachusetts against John A. “Jack” Grant (“Jack Grant”), Sage Advisory Group, LLC, a Massachusetts-based investment adviser registered with the Commission, and its sole principal, owner, and employee, Benjamin Lee Grant (“Lee Grant”). The Commission’s complaint alleges that Jack Grant, a lawyer and former stockbroker, has violated and continues to violate a Commission bar from association with investment advisers by associating with his son Lee Grant’s investment advisory firm, Sage, and by acting as an investment adviser himself. The Complaint further alleges that Jack Grant, Lee Grant and Sage fraudulently failed to disclose Jack Grant’s barred status and disciplinary history to Sage’s advisory clients. According to the Complaint, the Commission filed a previous enforcement action against Jack Grant in 1988 alleging that he sold $5,500,000 of unregistered securities and misappropriated investors’ funds. At that time, Jack Grant agreed to settle the case and to settle related administrative proceedings that resulted in a July 1988 Order issued by the Commission barring Jack Grant from association with broker, dealers, and investment advisers. Notwithstanding his bar from associating with investment advisers, Jack Grant did not remove himself from the securities business. Jack Grant continued to advise individuals and small businesses on the management of their assets and investments, including prior brokerage customers. He retooled his service as the Law Offices of Jack Grant, and continued providing investment advice, using his son, Lee Grant, to help implement his investment advice. The Complaint alleges that from at least 1998, Jack Grant has advised clients to invest through his son Lee Grant, who worked first as an associated person of an investment adviser, then as a registered representative of a broker-dealer and, since 2005, as the principal and sole director of a registered investment adviser, Sage. Lee Grant has been fully aware of Jack Grant’s bar from associating with investment advisers, but allowed his association with Sage nonetheless. Jack Grant, Lee Grant, and Sage failed to inform their advisory clients that Jack Grant is barred from associating with investment advisers. They also failed to disclose Jack Grant’s other disciplinary history: his suspension from practicing law for one year, imposed in 1994 following an indictment and conviction for bankruptcy fraud. The Commission’s complaint alleges that Jack Grant, Sage and Lee Grant violated Section 206 of the Investment Advisers Act of 1940 (“Advisers Act”) and that Sage and Lee Grant violated Section 207 of the Advisers Act. The Commission seeks, among other things, the entry of a permanent injunction, disgorgement of ill-gotten gains plus pre-judgment interest, and the imposition of civil monetary penalties against Jack Grant, Sage and Lee Grant. The Commission filed a separate civil injunctive action against Sage and Lee Grant on September 29, 2010, alleging that Sage and Lee Grant made material misrepresentations and omissions to his former brokerage customers in order to induce them to transfer their assets to Sage, his new advisory firm. That action is still pending. For further information, see Litigation Release No. 21672 (September 29, 2010)(SEC charges Massachusetts-based investment adviser with fraud). [Securities and Exchange Commission v. John A. Grant, Sage Advisory Group, LLC and Benjamin Lee Grant, 1:11-CV-11538 (D. Mass. September 1, 2011)] (LR-22081). Investment Company Act ReleasesRidgeworth Funds And Ridgeworth Capital Management, Inc.An order has been issued on an application filed by RidgeWorth Funds and RidgeWorth Capital Management, Inc., for an exemption from Section 15(a) of the Investment Company Act of 1940 (Act) and Rule 18f-2 under the Act. The order permits the applicants to enter into and materially amend subadvisory agreements without shareholder approval. See Rel. No. IC- 29773 (August 30, 2011). American Capital, Ltd.An order has been issued under Section 61(a)(3)(B) of the Investment Company Act of 1940 on an application filed by American Capital, Ltd. The order approves applicant’s proposal to grant stock options to non-employee directors under applicant’s 2010 stock option plan. See Rel. No. IC-29774 (August 30, 2011). Horizon Technology Finance Corporation, et al.A notice has been issued giving interested persons until September 26, 2011 to request a hearing on an application filed by Horizon Technology Finance Corporation (Company), et al. for an order under Section 6(c) of the Investment Company Act of 1940 (Act) for an exemption from Sections 18(a) and 61(a) of the Act. The order would permit the Company to adhere to a modified asset coverage requirement. See Rel. No. IC-29777 (August 31, 2011). Self-Regulatory OrganizationsProposed Rule ChangeThe Commission issued a notice of filing of a proposed rule change by the Municipal Securities Rulemaking Board (MSRB) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934, consisting of amendments to MSRB Rule G-20 (Gifts and Gratuities) and related amendments to MSRB Rule G-8 (Books and Records) and MSRB Rule G-9 (Preservation of Records), and to clarify that certain interpretations by the Financial Industry Regulatory Authority and the National Association of Securities Dealers would be applicable to municipal advisors (SR-MSRB-2011-10). Publication is expected in the Federal Register during the week of September 6th. (Rel. No. 34-65234) Immediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by the Financial Industry Regulatory Authority (SR-FINRA-2011-041) proposing to adopt the selection specifications and content outline for the Operations Professional (“Series 99”) examination program has become effective. Publication is expected in the Federal Register during the week of August 29th. (Rel. No. 34-65222). A proposed rule change filed by Chicago Board Options Exchange, Incorporated to retire a pilot program and to harmonize CBOE’s rules regarding listing expirations with the existing rules of other exchanges (SR-CBOE-2011-080) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act. Publication is expected in the Federal Register during the week of September 6th. (Rel. No. 34-65241) A proposed rule change filed by the Financial Industry Regulatory Authority (SR-FINRA-2011-042) proposing to amend the FINRA By-Laws to establish a fee for a person to take the Series 99 examination has become effective. Publication is expected in the Federal Register during the week of August 29th. (Rel. No. 34-65221) A proposed rule change (SR-Phlx-2011-119) filed by NASDAQ OMX PHLX LLC, relating to Reversal and Conversion Strategies 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 September 6th. (Rel. No. 34-65228) A proposed rule change filed by NASDAQ OMX BX, Inc. to change the name and modify the contents of the BX Ouch BBO Feed (SR-BX-2011-059) 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 September 6th. (Rel. No. 34-65226) A proposed rule change filed by the C2 Options Exchange, Incorporated (SR-C2-2011-019) related to trading halts 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 September 6th. (Rel. No. 34-65232) A proposed rule change filed by Chicago Board Options Exchange, Incorporated to extend the compliance deadline for qualification pursuant to Rule 3.6A (SR-CBOE-2011-081) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of September 6th. (Release No. 34-65224). The Commission issued notice of filing and immediate effectiveness of proposed rule change (SR-Phlx-2011-122) filed by NASDAQ OMX PHLX LLC under Rule 19b-4 of the Securities Exchange Act of 1934 to modify fees for NASDAQ OMX PSX. Publication is expected in the Federal Register during the week of September 6th. (Rel. No. 34-65233) A proposed rule change submitted by NYSE Arca, Inc. (SR-NYSEArca-2011-65), amending its Options Fee Schedule for co-location services to correct several typographical errors, 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 September 6th. (Rel. No. 34-65236) A proposed rule change submitted by New York Stock Exchange LLC (SR-NYSE-2011-46), amending its Price List for co-location services to correct several typographical errors, 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 September 6th. (Rel. No. 34-65237) A proposed rule change submitted by NYSE Arca, Inc. (SR-NYSEArca-2011-64), amending its Equities Schedule of Fees and Services for Exchange Services (“Fee Schedule”) for co-location services to correct several typographical errors, 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 September 6th. (Rel. No. 34-65238) A proposed rule change submitted by NYSE Amex LLC (SR-NYSEAmex-2011-66), amending its Options Fee Schedule for co-location services to correct several typographical errors, 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 September 6th. (Rel. No. 34-65239) A proposed rule change submitted by NYSE Amex LLC (SR-NYSEAmex-2011-65), amending its Equities Price List for co-location services to correct several typographical errors, 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 September 6th. (Rel. No. 34-65240) Securities Act RegistrationsThe following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. S-8 Innovative Product Opportunities Inc., 7235 - 88077 BELSHIRE GATE,
MISSISSAUGA, A6, L5N8M1, 347-789-7131 -
150,000,000 ($12,000,000.00) Equity, (File 333-176570 - Aug. 31)
(BR. 02)
S-4 PITTSBURGH & WEST VIRGINIA RAILROAD, 55 EDISON AVENUE, WEST BABYLON,
NY, 11704, 2127500373 - 1,623,250 ($18,948,197.00) Equity,
(File 333-176571 - Aug. 31) (BR. 08C)
S-8 ROLLINS INC, 2170 PIEDMONT RD NE, ATLANTA, GA, 30324, 4048882000 -
1,000,000 ($18,950,000.00) Equity, (File 333-176578 - Aug. 31) (BR. 08C)
S-8 CSG SYSTEMS INTERNATIONAL INC, 9555 MAROON CIRCLE, ENGLEWOOD, CO,
80112, 3037962850 - 3,400,000 ($43,078,000.00) Equity,
(File 333-176579 - Aug. 31) (BR. 03B)
S-8 CSG SYSTEMS INTERNATIONAL INC, 9555 MAROON CIRCLE, ENGLEWOOD, CO,
80112, 3037962850 - 750,000 ($9,502,500.00) Equity, (File 333-176580 -
Aug. 31) (BR. 03B)
S-1 Your Internet Defender, Inc, 20 EAST SUNRISE HIGHWAY- SUITE 202,
VALLEY STREAM, NY, 11581, 516 303 8100 -
42,600,000 ($2,130,000.00) Equity, (File 333-176581 - Aug. 31) (BR. )
S-4 MedQuist Holdings Inc., 9009 CAROTHERS PARKWAY, FRANKLIN, TN, 37067,
866-295-4600 - 0 ($9,172,783.00) Equity, (File 333-176582 - Aug. 31)
(BR. 03C)
S-8 PMX Communities, Inc., 3701 FAU BLVD., SUITE 210, BOCA RATON, FL,
33431, 561-210-5349 - 4,500,000 ($450,000.00) Equity,
(File 333-176583 - Aug. 31) (BR. 03C)
S-1 Tsingda eEDU Corp, NO. 0620, YONGLEYINGSHIWENHUANAN RD.,
YONGLEDIAN TOWN, TONGZHOU DISTRICT, BEIJING, F4, 00000,
86-10-62690290 - 3,000,000 ($13,680,000.00) Equity, (File 333-176585 -
Aug. 31) (BR. 11C)
S-1 MOBITV INC, 6425 CHRISTIE AVE 5TH FL, EMERYVILLE, CA, 94608,
510-450-5000 - 0 ($75,000,000.00) Equity, (File 333-176586 - Aug. 31)
(BR. )
S-1 Dynamic Nutra Enterprises Holdings, Inc., 3929 BROWNING PLACE, RALEIGH,
NC, 27609, 919-637-9302 - 2,040,000 ($204,100.00) Equity,
(File 333-176587 - Aug. 31) (BR. )
S-8 LIMITED BRANDS INC, THREE LIMITED PKWY, P O BOX 16000, COLUMBUS, OH,
43216, 6144157000 - 0 ($260,540,000.00) Equity, (File 333-176588 -
Aug. 31) (BR. 09B)
S-3ASR FelCor Lodging Trust Inc, 545 E JOHN CARPENTER FREEWAY, SUITE 1300,
IRVING, TX, 75062, 9724444900 - 0 ($0.00) Equity, (File 333-176589 -
Aug. 31) (BR. 08B)
S-8 Teavana Holdings Inc, 3630 PEACHTREE ROAD, SUITE 1480, ATLANTA, GA,
30326, (404)995-8200 - 2,329,197 ($56,855,698.77) Equity,
(File 333-176590 - Aug. 31) (BR. 02)
S-8 APPLIANCE RECYCLING CENTERS OF AMERICA INC /MN, 7400 EXCELSIOR BLVD,
MINNEAPOLIS, MN, 55426-4502, 6129309000 - 0 ($2,912,000.00) Equity,
(File 333-176591 - Aug. 31) (BR. 02A)
S-4 PRETIUM PACKAGING L L C, 8112 MARYLAND AVE, SUITE 250, ST LOUIS, MO,
63105, 3147278200 - 0 ($150,000,000.00) Non-Convertible Debt,
(File 333-176592 - Aug. 31) (BR. )
S-3 GASCO ENERGY INC, 8 INVERNESS DRIVE EAST, SUITE 100, ENGLEWOOD, CO,
80112, 3034830044 - 0 ($100,000,000.00) Other, (File 333-176593 -
Aug. 31) (BR. 04B)
S-8 VelaTel Global Communications, Inc., 12526 HIGH BLUFF DRIVE, STE 155,
SAN DIEGO, CA, 92130, 760-230-8986 - 1,056,867 ($158,530.02) Equity,
(File 333-176596 - Aug. 31) (BR. 11A)
S-8 DYNAMICS RESEARCH CORP, 60 FRONTAGE ROAD, ANDOVER, MA, 01810-5498,
9784759090 - 250,000 ($2,428,750.00) Equity, (File 333-176597 -
Aug. 31) (BR. 03B)
S-8 GRAPHIC PACKAGING HOLDING CO, 814 LIVINGSTON COURT, MARIETTA, GA,
30067, (770) 644-3000 - 15,000,000 ($57,600,000.00) Equity,
(File 333-176598 - Aug. 31) (BR. 09B)
S-8 BLUE COAT SYSTEMS INC, 420 NORTH MARY AVENUE, SUNNYVALE, CA, 94085,
4082202200 - 400,000 ($5,324,000.00) Equity, (File 333-176599 -
Aug. 31) (BR. 03C)
S-8 TRANS1 INC, 301 GOVERNMENT CENTER DRIVE, WILMINGTON, NC, 28403,
(910) 332-1700 - 0 ($6,304,000.00) Equity, (File 333-176600 - Aug. 31)
(BR. 10C)
S-4 ECOLAB INC, ECOLAB CORPORATE CENTER, 370 WABASHA STREET NORTH, ST PAUL,
MN, 55102, 6512932233 - 0 ($3,290,076,580.60) Equity,
(File 333-176601 - Aug. 31) (BR. 06A)
S-8 LEGG MASON, INC., 100 INTERNATIONAL DRIVE, BALTIMORE, MD, 21202,
4105390000 - 6,500,000 ($172,770,000.00) Equity, (File 333-176602 -
Aug. 31) (BR. 06A)
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 Advanced Voice Recognition Systems, I NV 4.01,9.01 08/25/11 Advaxis, Inc. DE 1.01,3.02,9.01 08/29/11 AgriSolar Solutions, Inc. CO 3.02 08/26/11 AIRGAS INC DE 5.07,8.01,9.01 08/29/11 ALLETE INC MN 2.03,9.01 08/25/11 ALLIED DEFENSE GROUP INC DE 3.03,7.01,9.01 08/31/11 Alveron Energy Corp. DE 5.02 08/30/11 AMERICAN SOFTWARE INC GA 2.02,9.01 08/31/11 AMERON INTERNATIONAL CORP DE 8.01,9.01 08/26/11 AMKOR TECHNOLOGY INC DE 8.01,9.01 08/30/11 Artisanal Brands, Inc. NY 5.02,9.01 08/29/11 ATHENAHEALTH INC DE 2.01,9.01 08/31/11 Augme Technologies, Inc. DE 1.01,2.01,2.03,3.02, 5.02,8.01,9.01 08/25/11 BANK JOS A CLOTHIERS INC /DE/ DE 2.02,9.01 08/31/11 Bank of the Carolinas CORP NC 1.01,3.01 08/25/11 BERRY PETROLEUM CO DE 5.04 08/31/11 Big Bear Mining Corp. NV 1.01,3.02,5.01, 5.02,9.01 08/24/11 BIG LOTS INC OH 2.02,9.01 08/25/11 BillMyParents, Inc. CO 5.02 08/30/11 BioMed Realty Trust Inc MD 8.01,9.01 08/31/11 BioPharma Manufacturing Solutions Inc 3.02,5.01,5.02,5.03 08/31/11 BLUE DOLPHIN ENERGY CO DE 3.01,9.01 08/31/11 BMB MUNAI INC NV 1.01,9.01 08/31/11 BROWN FORMAN CORP DE 2.02,9.01 08/31/11 Business Development Corp of America MD 1.01,2.01,2.03, 8.01,9.01 08/25/11 C&J Energy Services, Inc. DE 2.02,7.01,9.01 08/31/11 CAPITALSOURCE INC DE 8.01,9.01 08/31/11 CARNIVAL CORP DE 5.07 04/13/11 AMEND CDI CORP PA 5.02,9.01 08/30/11 CELL THERAPEUTICS INC WA 8.01 08/31/11 CELL THERAPEUTICS INC WA 2.02,7.01,9.01 08/31/11 China CGame, Inc. DE 3.01 08/31/11 CIRCUS & ELDORADO JOINT VENTURE 5.02 08/29/11 CLAIMSNET COM INC DE 1.01,2.03,9.01 08/29/11 CLEAN TRANSPORTATION GROUP, INC. 1.01,2.01,5.01, 5.05,5.06,9.01 08/29/11 AMEND CleanTech Biofuels, Inc. 5.02,9.01 08/25/11 COLDWATER CREEK INC DE 2.02,5.02,9.01 08/31/11 COLLECTORS UNIVERSE INC DE 2.02,9.01 08/26/11 COLOMBIA CLEAN POWER & FUELS, INC NV 7.01,9.01 08/31/11 COLORADO WYOMING RESERVE CO WY 5.02,8.01 08/30/11 Community Alliance, Inc. NV 4.01,9.01 06/02/11 Computer Vision Systems Laboratories DE 5.03,9.01 08/31/11 COOPER COMPANIES INC DE 2.02,9.01 08/31/11 CORVEL CORP DE 1.01,2.03,9.01 08/25/11 COWEN GROUP, INC. 5.07 08/31/11 CPI CORP DE 2.02,9.01 08/31/11 CRA INTERNATIONAL, INC. MA 8.01,9.01 08/30/11 CRONOS GLOBAL INCOME FUND XV LP CA 2.02,9.01 08/31/11 CRONOS GLOBAL INCOME FUND XVI LP CA 2.02,9.01 08/31/11 CRYO CELL INTERNATIONAL INC DE 5.02,5.07,9.01 08/26/11 DAEGIS INC. DE 2.02,9.01 08/31/11 Dehaier Medical Systems Ltd 5.07 08/25/11 DELTA APPAREL, INC GA 2.02 08/31/11 DELTA MUTUAL INC DE 4.02 08/30/11 DENDREON CORP DE 5.02,9.01 08/30/11 Discover Card Execution Note Trust DE 1.01,8.01,9.01 08/30/11 DIVALL INSURED INCOME PROPERTIES 2 LI WI 7.01,8.01,9.01 08/29/11 Dr Pepper Snapple Group, Inc. DE 7.01,9.01 08/31/11 DynaVox Inc. 2.02,5.02,9.01 08/30/11 DYNEX CAPITAL INC VA 7.01,9.01 08/31/11 EGAIN COMMUNICATIONS CORP DE 2.02,9.01 08/31/11 EL CAPITAN PRECIOUS METALS INC NV 1.01,1.02,3.03, 5.03,8.01,9.01 08/25/11 ELITE PHARMACEUTICALS INC /DE/ DE 5.03,9.01 08/31/11 ENDO PHARMACEUTICALS HOLDINGS INC DE 2.01,9.01 06/17/11 AMEND Enstar Group LTD D0 5.02 08/27/11 ENTECH SOLAR, INC. DE 1.01,3.02,9.01 08/30/11 EQUITY LIFESTYLE PROPERTIES INC MD 2.02,7.01,9.01 08/30/11 Ever-Glory International Group, Inc. FL 5.02,9.01 08/31/11 FACT CORP CO 3.02 08/30/11 FelCor Lodging Trust Inc MD 8.01,9.01 08/30/11 AMEND FENTURA FINANCIAL INC MI 5.02 08/25/11 FIRST ACCEPTANCE CORP /DE/ DE 2.02,7.01,9.01 08/31/11 First Clover Leaf Financial Corp. MD 8.01,9.01 08/23/11 AMEND FIRST MARINER BANCORP MD 3.01,9.01 08/30/11 FIRST PACTRUST BANCORP INC MD 8.01,9.01 08/30/11 First Trinity Financial CORP 1.01,8.01,9.01 08/25/11 Flagstone Reinsurance Holdings, S.A. N4 5.02 08/25/11 FORTUNE BRANDS INC DE 5.02,9.01 08/25/11 Fresh Market, Inc. DE 2.02,9.01 08/31/11 FRESH START PRIVATE HOLDINGS, INC. NV 4.01,9.01 08/15/11 GENESCO INC TN 2.02,9.01 08/31/11 GENTOR RESOURCES, INC. FL 8.01,9.01 08/25/11 GEOKINETICS INC DE 3.02 08/29/11 GOLDMAN SACHS GROUP INC DE 9.01 08/31/11 Grace 2, Inc. DE 3.02 06/09/11 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 08/31/11 Great Lakes Dredge & Dock CORP DE 8.01,9.01 08/30/11 GTSI CORP DE 1.01,8.01,9.01 08/26/11 H & H Imports, Inc. FL 1.01,3.02,9.01 08/29/11 HARRIS CORP /DE/ DE 5.02,9.01 08/26/11 Helix Wind, Corp. NV 3.02,8.01 08/29/11 HIGHLANDS BANCORP, INC. NJ 8.01 08/30/11 HORIZON PHARMA, INC. DE 2.02,9.01 08/31/11 Hyatt Hotels Corp DE 2.01,7.01,9.01 08/31/11 HYPERTENSION DIAGNOSTICS INC /MN MN 1.01,5.02,9.01 08/30/11 IMAGINE MEDIA LTD DE 4.01,9.01 08/26/11 IMH Financial Corp DE 7.01,9.01 08/30/11 INTERNATIONAL COMMERCIAL TELEVISION I NV 5.02 08/29/11 INTERNATIONAL PAPER CO /NEW/ NY 1.01,1.02,2.03,9.01 08/26/11 Ironwood Gold Corp NV 1.01,5.02,7.01,9.01 08/25/11 JOY GLOBAL INC DE 2.02,7.01,9.01 08/31/11 KERYX BIOPHARMACEUTICALS INC DE 8.01,9.01 08/31/11 KOSS CORP DE 2.02,9.01 08/30/11 Kraton Performance Polymers, Inc. DE 5.02 08/29/11 LANTRONIX INC DE 5.02 08/13/11 LEAP WIRELESS INTERNATIONAL INC DE 1.01,3.03,5.03,9.01 08/30/11 Loreto Resources Corp. NV 5.02 08/25/11 LTX-CREDENCE CORP MA 2.02,9.01 08/31/11 MAGELLAN PETROLEUM CORP /DE/ DE 2.02,9.01 08/31/11 Manhattan Bancorp CA 4.02 08/25/11 Marine Drive Mobile Corp. NV 1.01,9.01 08/30/11 AMEND MEDICAL PROPERTIES TRUST INC 5.07 05/19/11 AMEND MICROELECTRONICS TECHNOLOGY Co NV 1.01 08/30/11 AMEND MICRONETICS INC DE 5.02,9.01 08/29/11 MINE SAFETY APPLIANCES CO PA 8.01 08/31/01 MISCOR GROUP, LTD. IN 1.01,9.01 08/30/11 MOBILE STAR CORP DE 3.02 08/31/11 MS STRUCTURED ASSET CORP DE 8.01,9.01 04/15/03 AMEND MS STRUCTURED ASSET CORP DE 8.01,9.01 06/02/03 AMEND MS STRUCTURED ASSET CORP DE 8.01,9.01 08/15/03 AMEND MS STRUCTURED ASSET CORP DE 8.01,9.01 07/15/03 AMEND MS STRUCTURED ASSET CORP CBT SERIES 2 DE 8.01,9.01 01/25/10 AMEND MS STRUCTURED SATURNS SERIES 2001-4 DE 8.01,9.01 09/02/03 AMEND MS STRUCTURED SATURNS SERIES 2001-6 DE 8.01,9.01 06/30/03 AMEND MS STRUCTURED SATURNS SERIES 2001-6 DE 8.01,9.01 04/02/07 AMEND MS STRUCTURED SATURNS SERIES 2002-11 DE 8.01,9.01 06/01/04 AMEND MS STRUCTURED SATURNS SERIES 2002-15 DE 8.01,9.01 04/15/04 AMEND MS STRUCTURED SATURNS SERIES 2003-6 DE 8.01,9.01 08/16/04 AMEND MS STRUCTURED SATURNS SERIES 2003-7 DE 8.01,9.01 07/15/04 AMEND MS STRUCTURED SATURNS SERIES 2004-4 DE 8.01,9.01 08/16/04 AMEND MS STRUCTURED SATURNS SERIES 2004-6 DE 8.01,9.01 08/16/04 AMEND MS STRUCTURED SATURNS SERIES 2005-1 DE 8.01,9.01 02/15/05 AMEND MS STRUCTURED SATURNS SERIES 2005-3 DE 8.01,9.01 03/01/06 AMEND MS STRUCTURED TILES SERIES 2005-1 DE 8.01,9.01 02/02/06 AMEND NATIONAL BANK OF INDIANAPOLIS CORP IN 5.02,9.01 08/26/11 NEW ENERGY TECHNOLOGIES, INC. 5.02,7.01,9.01 08/31/11 New England Bancshares, Inc. 5.02,8.01,9.01 08/26/11 NEWS CORP 8.01,9.01 08/31/11 NORTHRIM BANCORP INC AK 8.01,9.01 08/18/11 NOVADEL PHARMA INC DE 8.01,9.01 08/30/11 NUTRITION 21 INC NY 1.01,1.03,2.04,9.01 08/26/11 NYXIO TECHNOLOGIES Corp NV 1.01,9.01 08/18/11 OLD REPUBLIC INTERNATIONAL CORP DE 5.07 06/01/11 AMEND OneBeacon Insurance Group, Ltd. D0 2.06,8.01,9.01 08/31/11 OPENWAVE SYSTEMS INC DE 7.01,9.01 08/31/11 OPLINK COMMUNICATIONS INC DE 5.02,9.01 08/31/11 Options Media Group Holdings, Inc. NV 5.02 08/25/11 optionsXpress Holdings, Inc. DE 5.07 08/30/11 Orient Paper Inc. NV 5.02,5.07,8.01,9.01 08/28/11 OXFORD INDUSTRIES INC GA 2.02,9.01 08/31/11 OXIS INTERNATIONAL INC DE 5.02,5.07 08/25/11 PALADIN REALTY INCOME PROPERTIES INC MD 8.01 08/31/11 PARTNERRE LTD 5.07 08/26/11 AMEND PENN TREATY AMERICAN CORP PA 8.01,9.01 08/31/11 PERNIX THERAPEUTICS HOLDINGS, INC. MD 1.01,5.02,8.01,9.01 08/29/11 PG&E CORP CA 8.01 08/30/11 PIONEER DRILLING CO TX 7.01,9.01 08/31/11 PIONEER NATURAL RESOURCES CO DE 5.02 08/25/11 PITTSBURGH & WEST VIRGINIA RAILROAD PA 8.01,9.01 08/31/11 PRIVATEBANCORP, INC DE 7.01,9.01 08/31/11 QUALSTAR CORP CA 2.02,9.01 08/31/11 RAILAMERICA INC /DE DE 1.01,1.02,2.03, 7.01,9.01 08/29/11 Reach Messaging Holdings, Inc. DE 1.01,2.03,3.02,9.01 08/25/11 REALNETWORKS INC WA 3.03,5.03,8.01,9.01 08/30/11 Red Lion Hotels CORP WA 5.02,9.01 08/30/11 REINSURANCE GROUP OF AMERICA INC MO 7.01,9.01 08/31/11 REX AMERICAN RESOURCES Corp DE 2.02,9.01 08/31/11 Rhino Resource Partners LP DE 8.01 08/25/11 ROADSHIPS HOLDINGS, INC. DE 1.02,9.01 08/31/11 RPC INC DE 8.01,9.01 08/30/11 SAIC, Inc. 2.02,9.01 08/31/11 SCIENTIFIC GAMES CORP DE 1.01,2.03,9.01 08/25/11 SEI HOLDINGS, INC. FL 1.01,5.03 08/30/11 SemGroup Corp DE 1.01 08/31/11 SERVIDYNE, INC. GA 2.01,3.01,3.03,5.01, 5.02,5.03,5.07,9.01 08/26/11 SKULLCANDY, INC. 1.01,9.01 08/26/11 Solar Senior Capital Ltd. MD 1.01,2.03,9.01 08/26/11 SOONER HOLDINGS INC /OK/ OK 1.01,2.01,3.02,5.01, 5.02,5.03,5.06,9.01 02/14/11 AMEND STEINER LEISURE Ltd C5 5.02 08/30/11 SUBAYE, INC. 5.02 08/25/11 SUFFOLK BANCORP NY 3.01 08/26/11 SUPERTEX INC CA 5.07 08/19/11 SyntheMed, Inc. DE 5.07 08/25/11 SYSCO CORP DE 5.02 08/25/11 TAKEDOWN ENTERTAINMENT INC. NV 1.01,3.02,9.01 08/30/11 TELEPHONE & DATA SYSTEMS INC /DE/ DE 8.01,9.01 08/31/11 TELIK INC DE 1.01,9.01 08/30/11 TEXAS INDUSTRIES INC DE 1.01,2.03,9.01 08/25/11 TORON INC. NV 1.01,3.02,9.01 08/23/11 TransDigm Group INC DE 7.01,9.01 08/31/11 Treaty Energy Corp NV 1.01,9.01 08/04/11 U S GOLD CORP CO 7.01,9.01 08/31/11 UNITED INSURANCE HOLDINGS CORP. DE 1.01,5.02 08/29/11 URANIUM ENERGY CORP NV 7.01,9.01 08/31/11 US GEOTHERMAL INC DE 2.03,9.01 08/30/11 Vantage Drilling CO E9 7.01,9.01 08/31/11 VASCO DATA SECURITY INTERNATIONAL INC DE 8.01,9.01 08/30/11 VERISIGN INC/CA DE 2.02,9.01 08/31/11 VERISIGN INC/CA DE 7.01,9.01 08/31/11 VISCOUNT SYSTEMS INC NV 5.02 08/26/11 VIVUS INC CA 8.01 08/31/11 WASHINGTON MUTUAL, INC WA 7.01,9.01 08/30/11 WEINGARTEN REALTY INVESTORS /TX/ TX 1.01,2.03,7.01,9.01 08/29/11 WELLS FARGO & CO/MN DE 9.01 08/31/11 WEST BANCORPORATION INC IA 1.01,9.01 08/31/11 Westway Group, Inc. DE 1.01,3.02,8.01,9.01 08/30/11 WINN DIXIE STORES INC FL 2.02,9.01 08/29/11 YRC Worldwide Inc. DE 5.02,8.01 08/30/11 ZALE CORP DE 2.02 08/31/11 Zoo Entertainment, Inc DE 3.01 08/25/11 ZORAN CORP \DE\ DE 2.01,3.01,3.03,5.01, 5.02,5.03,5.07,9.01 08/30/11 Zumiez Inc WA 2.02,9.01 08/31/11 Zumiez Inc WA 1.01,1.02,9.01 08/29/11
http://www.sec.gov/news/digest/2011/dig090111.htm
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