SEC News Digest, October 28, 2011

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Commission announcements

Temporary Suspension of Trading in the Securities of CuraTech Industries, Inc.

The Commission also announced the issuance of an Order of Suspension of Trading Pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Order of Suspension) against CuraTech. The Order of Suspension finds that there is a lack of current and accurate information concerning the securities of CuraTech because it has been delinquent in its required periodic reports since December 2009.

Based on the above, the Order suspends the trading in the securities of CuraTech beginning 9:30 a.m. on October 28, 2011, and terminating at 11:59 p.m. on November 10, 2011. (Rel. 34-65650)

Enforcement proceedings

In the Matter of North Shore Capital I, Inc.

An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default (Default Order) in North Shore Capital I, Inc., Admin. Proc. No. 3-14569. 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 registration of each class of registered securities of North Shore Capital I, Inc., North Shore Capital II, Inc., Northern Financial Corp. (f/k/a American Gem Corp.), Northland Cable Properties Five Limited Partnership, and Northland Cable Properties Four Limited Partnership, pursuant to Section 12(j) of the Securities Exchange Act of 1934. (Rel. 34-65649; File No. 3-14569)

Commission Revokes Registration of Securities of American Radio Empire, Inc. For Failure to Make Required Periodic Filings

On October 28, 2011, the Commission revoked the registration of each class of registered securities of American Radio Empire, Inc. (American Radio Empire) for failure to make required periodic filings with the Commission.

Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, American Radio Empire consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to American Radio Empire, Inc. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of American Radio Empire’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against American Radio Empire in In the Matter of ACS Acquisition Corp., et al., Administrative Proceeding File No. 3-14588.

Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:

No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . .

For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of ACS Acquisition Corp., et al., Administrative Proceeding File No. 3-14588, Exchange Act Release No. 65561, October 14, 2011. (Rel. 34-65651; File No. 3-14588)

In the Matter of CuraTech Industries, Inc.

In conjunction with today’s trading suspension, the Commission issued an Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934 against CuraTech Industries, Inc. (CuraTech). The Order finds that CuraTech is delinquent in its periodic filings with the Commission, having not filed any periodic reports since it filed a Form 10-Q for the period ended June 30, 2009. A hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and CuraTech 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 thereunder, are true. The judge in the proceedings will then determine whether the registration pursuant to Exchange Act Section 12 of each class of the securities of CuraTech should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in the proceedings issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-65652; File No. 3-14606)

SEC Settles Litigation With Former CEO of Veritas Software Corporation

The U.S. Securities and Exchange Commission today announced that, on October 21, 2011, the U.S. District Court for the Northern District of California entered a settled final judgment against Mark Leslie, the former CEO of Veritas Software Corporation, in SEC v. Mark Leslie, Kenneth E. Lonchar, Paul A. Sallaberry, Michael M. Cully, and Douglas S. Newton, Civil Action No. 07 CV 3444 (JF) (PSG) (N.D. Cal. filed July 2, 2007). The final judgment resolves the Commission’s case against Leslie. The Commission’s amended complaint alleges that Leslie and the remaining defendants in this action inflated Veritas’ reported revenues by approximately $20 million in connection with a software sale to AOL. The complaint further alleges that Leslie failed to disclose material information to Veritas’ independent auditors in violation of the federal securities laws.

Without admitting or denying the allegations in the complaint, Leslie consented to entry of a final judgment permanently enjoining him from future violations of Rule 13b2-2(a)(2)of the Securities Exchange Act of 1934 and ordering him to pay disgorgement and prejudgment interest of $1,550,000 and a civil penalty of $25,000. [SEC v. Mark Leslie, Kenneth E. Lonchar, Paul A. Sallaberry, Michael M. Cully, and Douglas S. Newton, Civil Action No. 07 CV 3444 (JF) (PSG) (N.D. Cal.)] (LR-22143; AAE Rel. 3333)

Investment company act releases

Citadel LLC, et al.

A notice has been issued giving interested persons until November 21, 2011 to request a hearing on an application filed by Citadel LLC (Citadel), et al. for an order to exempt certain limited liability companies and other investment vehicles formed for the benefit of eligible employees of Citadel and its affiliates from certain provisions of the Investment Company Act of 1940 (Act). Each limited liability company or other investment vehicle will be an “employees’ securities company” within the meaning of Section 2(a)(13) of the Act. (Rel. IC-29851 - October 27)

Self-regulatory organizations

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2011-137) to amend Rule 703 to conform the text of the Rule to Rule 703(f) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of October 31. (Rel. 34-65641)

A proposed rule change filed by NASDAQ OMX BX, Inc. to retire the Additional Expiration Months Pilot Program and to harmonize the BOX Trading Rules regarding listing expirations with the existing rules of other exchanges (SR-BX-2011-072) 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 October 31. (Rel. 34-65642)

Approval of Proposed Rule Changes

The Commission approved a proposed rule change (SR-Phlx-2011-123) submitted by NASDAQ OMX PHLX LLC pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 relating to the quarterly trading requirements applicable to Registered Options Traders. Publication is expected in the Federal Register during the week of October 31. (Rel. 34-65644)

The Commission approved a proposed rule change (SR-BATS-2011-033) filed by the BATS Exchange, Inc. to amend and restate the second amended and restated certificate of incorporation of BATS Global Markets, Inc. Publication is expected in the Federal Register during the week of October 31. (Rel. 34-65646)

The Commission approved a proposed rule change (SR-BYX-2011-021) filed by the BATS Y-Exchange, Inc. to amend and restate the second amended and restated certificate of incorporation of BATS Global Markets, Inc. Publication is expected in the Federal Register during the week of October 31. (Rel. 34-65647)

Proposed Rule Changes

The 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 Rule G-16, on periodic compliance examination, and Rule G-9, on preservation of records (SR-MSRB-2011-19). Publication is expected in the Federal Register during the week of October 31. (Rel. 34-65631)

The Financial Industry Regulatory Authority, Inc. has filed a proposed rule change (SR-FINRA-2011-059) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 to adopt FINRA Rule 3230 (Telemarketing) in the FINRA Consolidated Rulebook. Publication is expected in the Federal Register during the week of October 31. (Rel. 34-65645)

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-8     ADCARE HEALTH SYSTEMS INC, 5057 TROY RD, SPRINGFEILD, OH, 45502, 
        937-964-8974 - 0 ($5,457,705.20) Equity, (File 333-177531 - Oct. 27) 
        (BR. 11A)

S-1     Alternative Fuels America, Inc., 2131 HOLLYWOOD BOULEVARD, SUITE 401, 
        HOLLYWOOD, FL, 33020, 954-367-7067 - 
        26,322,088 ($26,322,088.00) Equity, (File 333-177532 - Oct. 27) (BR. 06)

S-3ASR  BMC SOFTWARE INC, 2101 CITYWEST BLVD, HOUSTON, TX, 77042-2827, 
        7139188800 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-177533 - Oct. 27) (BR. 03C)

S-4     MILAGRO OIL & GAS, INC., 1301 MCKINNEY, SUITE 500, HOUSTON, TX, 77010, 
        (713) 750-1600 - 0 ($28,650.00) Debt, (File 333-177534 - Oct. 27) 
        (BR. 04)

S-3     INNERWORKINGS INC, 600 WEST CHICAGO, SUITE 750, CHICAGO, IL, 60610, 
        312-642-3700 - 3,364,900 ($28,265,160.00) Equity, (File 333-177535 - 
        Oct. 27) (BR. 05B)

F-10    RCG Acquisition 1 Corp, 1105 N MARKET STREET, SUITE 1300, WILMINGTON, 
        DE, 19801, 917-671-7713 - 200,000 ($10,000.00) Equity, 
        (File 333-177537 - Oct. 27) (BR. )

S-1     CHARGER MINERALS CORP, 5067 EAST 26TH DRIVE, BELLINGHAM, WA, 98226, 
        360-592-4022 - 2,000,000 ($100,000.00) Equity, (File 333-177538 - 
        Oct. 27) (BR. 09)

S-3     Applied Minerals, Inc., 110 GREENE STREET, SUITE 1101, NEW YORK, NY, 
        10012, 212-226-4256 - 0 ($100,000,000.00) Equity, (File 333-177539 - 
        Oct. 27) (BR. 09A)

S-3ASR  GOODRICH CORP, 4 COLISEUM CENTRE, 2730 WEST TYVOLA ROAD, CHARLOTTE, NC, 
        28217, 7044237000 - 0 ($0.00) Debt Convertible into Equity, 
        (File 333-177542 - Oct. 27) (BR. 05B)

S-8     TRIQUINT SEMICONDUCTOR INC, 2300 NE BROOKWOOD PARKWAY, HILLSBORO, OR, 
        97124, 5036159000 - 2,000,000 ($14,040,000.00) Equity, 
        (File 333-177548 - Oct. 27) (BR. 10C)

S-8     LaPorte Bancorp, Inc., 710 INDIANA AVENUE, LAPORTE, IN, 45350, 
        (219) 362-7511 - 316,561 ($2,639,841.42) Equity, (File 333-177549 - 
        Oct. 27) (BR. 07C)

S-3ASR  COLGATE PALMOLIVE CO, 300 PARK AVE, NEW YORK, NY, 10022, 2123102000 - 
        0 ($0.00) Non-Convertible Debt, (File 333-177551 - Oct. 27) (BR. 06C)

S-3ASR  UNITED RENTALS NORTH AMERICA INC, FIVE GREENWICH OFFICE PARK, 
        GREENWICH, CT, 06830, 2036223131 - 0 ($0.00) Other, (File 333-177552 - 
        Oct. 27) (BR. 06B)

S-3     inContact, Inc., 7730 S. UNION PARK AVE., SUITE 500, NONE, MIDVALE, UT, 
        84047, (801) 320-3300 - 7,188,442 ($26,273,755.51) Equity, 
        (File 333-177553 - Oct. 27) (BR. 11A)

S-3     inContact, Inc., 7730 S. UNION PARK AVE., SUITE 500, NONE, MIDVALE, UT, 
        84047, (801) 320-3300 - 
        0 ($40,000,000.00) Unallocated (Universal) Shelf, (File 333-177554 - 
        Oct. 27) (BR. 11A)

S-8     UNIVERSAL DETECTION TECHNOLOGY, 9595 WILSHIRE BOULEVARD, SUITE 700, 
        BEVERLY HILLS, CA, 90212, 3102483655 - 
        1,200,000,000 ($300,000.00) Equity, (File 333-177555 - Oct. 27) 
        (BR. 10C)

S-3     Apollo Commercial Real Estate Finance, Inc., 
        C/O APOLLO GLOBAL MANAGEMENT, LLC, 9 WEST 57TH STREET, 43RD FLOOR, 
        NEW YORK, NY, 10019, (212) 515-3200 - 
        3,495,000 ($47,077,650.00) Equity, (File 333-177556 - Oct. 27) (BR. 08C)

S-8     CA, INC., ONE CA PLAZA, ISLANDIA, NY, 11749, 1-800-225-5224 - 
        0 ($653,100,000.00) Equity, (File 333-177558 - Oct. 27) (BR. 03A)

S-3ASR  JABIL CIRCUIT INC, 10560 NINTH ST NORTH, ST PETERSBURG, FL, 33716, 
        7275779749 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-177559 - Oct. 27) (BR. 03B)

S-8     EMERGING MEDIA HOLDINGS INC, 1809 E. BROADWAY ST., SUITE 175, OVIEDO, 
        FL, 32765, 407-620-1063 - 300,000 ($300,000.00) Equity, 
        (File 333-177560 - Oct. 27) (BR. 11C)

S-8     NETFLIX INC, 100 WINCHESTER CIRCLE, ., LOS GATOS, CA, 95032, 
        408-540-3700 - 5,700,000 ($437,874,000.00) Equity, (File 333-177561 - 
        Oct. 27) (BR. 05C)

S-3ASR  CAPITALSOURCE INC, 5404 WISCONSIN AVE, 2ND FLOOR, CHEVY CHASE, MD, 
        20815, (301) 841-2700 - 0 ($0.00) Other, (File 333-177562 - Oct. 27) 
        (BR. 07B)

S-11    American Realty Capital Global Daily Net Asset Value Trust, Inc., 
        405 PARK AVENUE, NEW YORK, NY, 10022, 212-415-6500 - 
        0 ($1,737,499,995.00) Equity, (File 333-177563 - Oct. 27) (BR. )

S-8     Genie Energy Ltd., 520 BROAD STREET, NEWARK, NJ, 07012, 973-438-3089 - 
        3,648,047 ($30,607,114.33) Equity, (File 333-177565 - Oct. 27) (BR. 02)

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

1 800 FLOWERS COM INC                   DE       2.02,9.01            10/26/11

3D SYSTEMS CORP                         DE       2.02,7.01,9.01       10/27/11

Acadia Healthcare Company, Inc.         DE       1.01,8.01            10/27/11

ACADIA REALTY TRUST                     MD       2.02,9.01            10/25/11

ACI WORLDWIDE, INC.                     DE       2.02,7.01,9.01       10/27/11

ACME PACKET INC                         DE       5.02,9.01            10/21/11

ADVANCED BATTERY TECHNOLOGIES, INC.     DE       8.01                 10/21/11

ADVANCED MICRO DEVICES INC              DE       2.02,7.01,9.01       10/27/11

Aegerion Pharmaceuticals, Inc.          DE       2.02,9.01            10/27/11

AEHR TEST SYSTEMS                       CA       5.07                 10/25/11

AETNA INC /PA/                          PA       2.02,9.01            10/27/11

AETRIUM INC                             MN       2.02,9.01            10/25/11

Affinion Group Holdings, Inc.           DE       2.02,9.01            10/27/11

AGENUS INC                              DE       2.02,9.01            10/27/11

AGREE REALTY CORP                       DE       2.02,9.01            10/27/11

AIR PRODUCTS & CHEMICALS INC /DE/       DE       5.02                 10/21/11

AIRGAS INC                              DE       2.02,9.01            10/27/11

Alexza Pharmaceuticals Inc.             DE       8.01,9.01            10/27/11

ALIGN TECHNOLOGY INC                    DE       2.02,8.01,9.01       10/27/11

ALLDIGITAL HOLDINGS, INC.               NV       4.01,9.01            10/12/11    AMEND

ALLIANCE DATA SYSTEMS CORP              DE       7.01,9.01            10/27/11

ALLIANCEBERNSTEIN HOLDING L.P.          DE       2.02,7.01,9.01       10/26/11

ALLIANCEBERNSTEIN L.P.                  DE       2.02,7.01,9.01       10/26/11

ALLIED AMERICAN STEEL CORP.             NV       1.01,9.01            10/21/11

ALLSCRIPTS HEALTHCARE SOLUTIONS, INC.   DE       5.02                 10/25/11

ALR TECHNOLOGIES INC                             1.01,9.01            10/26/11

Altisource Portfolio Solutions S.A.     N4       2.02,9.01            10/27/11

ALTRIA GROUP, INC.                      VA       2.02,9.01            10/27/11

Amarantus BioSciences, Inc.             DE       5.02                 10/23/11

American Capital Mortgage Investment    MD       2.02,9.01            10/26/11

American Midstream Partners, LP         DE       8.01,9.01            10/24/11

AMERICAN NATIONAL BANKSHARES INC        VA       2.02,9.01            10/26/11

American Railcar Industries, Inc.       ND       2.02,9.01            10/26/11

AMERICAN VANGUARD CORP                  DE       8.01,9.01            10/21/11

AMKOR TECHNOLOGY INC                    DE       2.02,9.01            10/27/11

AMPCO PITTSBURGH CORP                   PA       2.02,9.01            10/26/11

AMPHENOL CORP /DE/                      DE       2.02,9.01            10/27/11

Anthera Pharmaceuticals Inc             DE       8.01,9.01            10/25/11

APPLIANCE RECYCLING CENTERS OF AMERIC   MN       2.02                 10/27/11

Aptalis Pharma Inc                      DE       4.01,9.01            10/21/11

ARIBA INC                               DE       2.02,9.01            10/27/11

ARIBA INC                               DE       5.02,9.01            10/25/11

Arlington Asset Investment Corp.        VA       2.02,9.01            10/26/11

Arrayit Corp                            NV       8.01                 10/27/11

ARROWHEAD RESEARCH CORP                 DE       1.01,9.01            10/24/11

ARROWHEAD RESEARCH CORP                 DE       5.02                 10/26/11

Artio Global Investors Inc.             DE       5.02,7.01,9.01       10/24/11

Ascent Solar Technologies, Inc.         DE       5.07,8.01            10/27/11

ASPEN INSURANCE HOLDINGS LTD            D0       2.02,5.02,7.01,9.01  10/24/11

AT&T INC.                               DE       8.01                 10/26/11

AtheroNova Inc.                         DE       1.01                 10/22/11

Atlantic Coast Financial CORP           MD       2.02,9.01            10/27/11

ATLANTIC POWER CORP                     A1       8.01,9.01            10/26/11

AtriCure, Inc.                          DE       8.01                 10/26/11

AVID TECHNOLOGY, INC.                   DE       2.02,2.05,5.02,9.01  10/26/11

AVNET INC                               NY       2.02,9.01            10/27/11

AVON PRODUCTS INC                       NY       2.02,9.01            10/27/11

AXA FINANCIAL INC                       DE       2.02,9.01            10/27/11

BALL CORP                               IN       2.02,9.01            10/27/11

BALLY TECHNOLOGIES, INC.                NV       2.02,5.02,9.01       10/21/11

BANCFIRST CORP /OK/                     OK       7.01                 10/27/11

BANCORP RHODE ISLAND INC                         2.02,9.01            10/27/11

BANK OF GRANITE CORP                    DE       2.01,3.01,3.03,5.01, 10/21/11
                                                 5.02,5.03,9.01

BANKATLANTIC BANCORP INC                FL       3.01                 10/21/11

BB&T CORP                               NC       5.02,9.01            10/25/11

BEL FUSE INC /NJ                        NJ       2.02,9.01            10/27/11

BELDEN INC.                             DE       2.02,9.01            10/27/11

Beneficial Mutual Bancorp Inc           X1       2.02,9.01            10/27/11

BERKLEY W R CORP                        DE       2.02,9.01            10/26/11

BERRY PETROLEUM CO                      DE       2.02,2.03,9.01       10/26/11

BGC Partners, Inc.                      DE       2.02,9.01            10/27/11

Bio-Carbon Solutions International In   NV       1.01,2.01,3.02,5.02, 10/26/11
                                                 9.01
          
BIOMARIN PHARMACEUTICAL INC             DE       2.02,9.01            10/27/11

BIOVEST INTERNATIONAL INC               DE       7.01,9.01            10/27/11

BOTTOMLINE TECHNOLOGIES INC /DE/        DE       2.02,9.01            10/27/11

BRANDYWINE REALTY TRUST                 MD       2.02,9.01            10/26/11

BREEZE-EASTERN CORP                     DE       2.02,9.01            10/27/11

BRINKS CO                               VA       2.02,9.01            10/27/11

BRISTOL MYERS SQUIBB CO                 DE       2.02,9.01            10/27/11

BRUKER CORP                             DE       2.02,9.01            10/27/11

BRUNSWICK CORP                          DE       2.02,9.01            10/27/11

BRYN MAWR BANK CORP                     PA       2.02,7.01,9.01       10/27/11

BUILD A BEAR WORKSHOP INC               DE       2.02,9.01            10/27/11

Bunge LTD                                        2.02,9.01            10/27/11

BUTLER NATIONAL CORP                    DE       8.01,9.01            10/27/11

CABELAS INC                             DE       2.02,7.01,9.01       10/27/11

CABOT MICROELECTRONICS CORP             DE       2.02,9.01            10/27/11

CABOT OIL & GAS CORP                    DE       2.02,9.01            10/26/11

CAGLES INC                              GA       3.01,9.01            10/21/11

CAI International, Inc.                          2.02,9.01            10/27/11

CALIFORNIA FIRST NATIONAL BANCORP       CA       2.02,5.07,7.01,9.01  10/25/11

CALLAWAY GOLF CO                        DE       2.02,9.01            10/27/11

CALLIDUS SOFTWARE INC                   DE       2.02,9.01            10/27/11

CAMERON INTERNATIONAL CORP              DE       2.02,9.01            10/25/11

CANTEL MEDICAL CORP                     DE       5.02,8.01,9.01       10/21/11

CAPITALSOURCE INC                       DE       2.02,5.02,5.05,7.01, 10/25/11
                                                 8.01,9.01
     
CAPSTEAD MORTGAGE CORP                  MD       2.02,9.01            10/26/11

CARBO CERAMICS INC                      DE       2.02,9.01            10/27/11

CARDICA INC                             DE       2.02,9.01            10/27/11

Cardinal Ethanol LLC                    IN       5.02                 10/25/11

CARDINAL HEALTH INC                     OH       2.02,7.01,9.01       10/27/11

CardioNet, Inc.                         CA       5.02,9.01            10/25/11

Cardiovascular Systems Inc              DE       5.07                 10/25/11

Carroll Bancorp, Inc.                   MD       2.02,9.01            10/25/11

CARTERS INC                             DE       2.02,9.01            10/27/11

CARVER BANCORP INC                      DE       5.07                 10/25/11

CBRE GROUP, INC.                        DE       2.02,9.01            10/27/11

CDI CORP                                PA       1.01,2.02,2.03       10/26/11

CELADON GROUP INC                       DE       2.02,9.01            10/26/11

CELGENE CORP /DE/                       DE       2.02,9.01            10/27/11

CENTER FINANCIAL CORP                   CA       8.01,9.01            10/26/11

CERNER CORP /MO/                        DE       2.02,9.01            10/27/11

CEVA INC                                DE       2.02,9.01            10/27/11

CH ENERGY GROUP INC                     NY       2.02,9.01            10/27/11

CHARLES & COLVARD LTD                   NC       2.02,9.01            10/27/11

CHART INDUSTRIES INC                    DE       2.02,9.01            10/27/11

CHDT CORP                               FL       7.01,9.01            10/24/11

Chefs' Warehouse, Inc.                  DE       2.02,9.01            10/27/11

Chemtura CORP                           DE       1.01,2.03,9.01       10/26/11

China Advanced Construction Materials   DE       5.02,5.03,9.01       10/27/11

CHINA ADVANCED TECHNOLOGY               NV       7.01                 10/27/11

CHINA BAK BATTERY INC                   NV       3.01,9.01            10/27/11

China Bilingual Technology & Educatio   NV       5.02,9.01            09/16/11

CHINA NORTH EAST PETROLEUM HOLDINGS L   NV       5.02                 10/25/11

CHOICE HOTELS INTERNATIONAL INC /DE     DE       2.02,9.01            10/26/11

Chrysler Group LLC                      DE       2.02,9.01            10/27/11

CIGNA CORP                              DE       1.01,9.01            10/24/11

CINCINNATI FINANCIAL CORP               OH       2.02,9.01            10/27/11

CITRIX SYSTEMS INC                      DE       2.02,9.01            10/27/11

CLAYTON WILLIAMS ENERGY INC /DE         DE       2.02,9.01            10/27/11

Clearwater Paper Corp                   DE       2.02,8.01,9.01       10/26/11

CLOUD PEAK ENERGY INC.                  DE       2.02,9.01            10/27/11

CMS ENERGY CORP                         MI       2.02,9.01            10/27/11

CNH CAPITAL RECEIVABLES LLC             DE       1.02                 10/25/11

CNH CAPITAL RECEIVABLES LLC             DE       1.02                 10/25/11

CNH CAPITAL RECEIVABLES LLC             DE       1.02                 10/25/11

CNH CAPITAL RECEIVABLES LLC             DE       1.02                 10/25/11

COCA-COLA ENTERPRISES, INC.             DE       2.02                 10/27/11

COINSTAR INC                            DE       2.02,7.01,9.01       10/27/11

Colfax CORP                             DE       2.02,9.01            10/27/11

COLGATE PALMOLIVE CO                    DE       2.02,9.01            10/27/11

COLONIAL PROPERTIES TRUST               AL       2.02,7.01,9.01       10/27/11

Commercial Vehicle Group, Inc.          DE       2.02,7.01,9.01       10/26/11

COMMUNITY CAPITAL CORP /SC/             SC       5.07,9.01            10/26/11

Compass Diversified Holdings            DE       1.01,1.02,2.03,9.01  10/27/11

COMPUTER PROGRAMS & SYSTEMS INC         DE       2.02,9.01            10/27/11

CONMED CORP                             NY       2.02,9.01            10/27/11

CONSOL Energy Inc                       DE       2.02,7.01,9.01       10/27/11

CONSOLIDATED TOMOKA LAND CO             FL       7.01,9.01            10/27/11

Constant Contact, Inc.                  DE       2.02,9.01            10/27/11

CORN PRODUCTS INTERNATIONAL INC         DE       2.02,9.01            10/27/11

Coronus Solar Inc.                      A1       3.02,7.01,9.01       10/27/11

CORPORATE OFFICE PROPERTIES TRUST       MD       2.02,9.01            10/27/11

COSTAR GROUP INC                        DE       2.02,8.01,9.01       10/26/11

COSTCO WHOLESALE CORP /NEW              WA       1.01,9.01            10/25/11

CRA INTERNATIONAL, INC.                 MA       2.02,9.01            10/27/11

CREE INC                                NC       5.02,8.01,9.01       10/25/11

Crocs, Inc.                                      2.02,9.01            10/27/11

CROSS A T CO                            RI       2.02                 10/26/11

CROSS COUNTRY HEALTHCARE INC            DE       2.02,7.01,9.01       10/27/11

CRYOLIFE INC                            FL       2.02,9.01            10/27/11

CURIS INC                               DE       2.02,9.01            10/27/11

CUTERA INC                              DE       5.02,8.01            10/21/11

CVR PARTNERS, LP                        DE       7.01,9.01            10/27/11

CYTOKINETICS INC                                 2.02,9.01            10/27/11

DAM HOLDINGS INC                        NV       2.01,2.04,9.01       10/24/11

DANA HOLDING CORP                       DE       2.02,7.01,9.01       10/27/11

DAYTON POWER & LIGHT CO                 OH       8.01,9.01            10/26/11

DCT Industrial Trust Inc.               MD       5.03,9.01            10/25/11

DECKERS OUTDOOR CORP                    DE       2.02,9.01            10/27/11

DELTA APPAREL, INC                      GA       2.02,7.01,9.01       10/27/11

DELUXE CORP                             MN       2.02,9.01            10/27/11

DENTSPLY INTERNATIONAL INC /DE/         DE       2.02,9.01            10/27/11

DFC GLOBAL CORP.                        DE       2.02,9.01            10/27/11

Diamond Foods Inc                       DE       5.07,8.01            10/27/11

DIEBOLD INC                             OH       2.02,9.01            10/27/11

DIGITAL ALLY INC                                 2.02,9.01            10/26/11

Digital Realty Trust, Inc.                       2.02,7.01,9.01       10/27/11

DIGITAL RIVER INC /DE                   DE       2.02,9.01            10/27/11

DIME COMMUNITY BANCSHARES INC           DE       2.02,9.01            10/27/11

Domtar CORP                             DE       2.02,9.01            10/27/11

DONEGAL GROUP INC                       DE       2.02,9.01            10/27/11

DOVER DOWNS GAMING & ENTERTAINMENT IN   DE       2.02,7.01,9.01       10/27/11

DOVER MOTORSPORTS INC                   DE       2.02,7.01,9.01       10/27/11

DOW CHEMICAL CO /DE/                    DE       2.02,9.01            10/27/11

DPL INC                                 OH       2.02,8.01,9.01       10/26/11

DSP GROUP INC /DE/                      DE       2.02,9.01            10/27/11

DUN & BRADSTREET CORP/NW                DE       1.01,1.02,2.02,2.03, 10/25/11
                                                 7.01,9.01
     
DXP ENTERPRISES INC                     TX       2.02,9.01            10/26/11

DYAX CORP                               DE       2.02,9.01            10/27/11

EAGLE MATERIALS INC                     DE       2.02,9.01            10/27/11

EAGLE ROCK ENERGY PARTNERS L P          DE       7.01                 10/27/11

EARTHLINK INC                           DE       2.02,9.01            10/27/11

EARTHLINK INC                           DE       7.01,9.01            10/27/11

EASTMAN CHEMICAL CO                     DE       2.02                 09/30/11

Echo Global Logistics, Inc.             DE       2.02,9.01            10/27/11

Education Realty Trust, Inc.            MD       2.02,7.01,9.01       10/27/11

EL PASO ELECTRIC CO /TX/                TX       8.01                 10/25/11

ELDORADO ARTESIAN SPRINGS INC           CO       5.07                 09/26/11

ELECTRONIC ARTS INC.                    DE       2.02,9.01            10/27/11

EMCOR GROUP INC                         DE       2.02,9.01            10/27/11

Emdeon Inc.                             DE       8.01                 10/19/11

Emergent BioSolutions Inc.              DE       5.02                 10/26/11

EMPIRE DISTRICT ELECTRIC CO             KS       2.02,9.01            10/27/11

EMULEX CORP /DE/                        DE       2.02,9.01            10/27/11

ENB Financial Corp                      PA       8.01,9.01            10/26/11

ENDO PHARMACEUTICALS HOLDINGS INC       DE       2.02,9.01            10/27/11

ENDOLOGIX INC /DE/                      DE       2.02,9.01            10/27/11

ENDURANCE SPECIALTY HOLDINGS LTD                 2.02,9.01            10/27/11

ENERGEN CORP                            AL       2.02,7.01,9.01       10/26/11

Energy Recovery, Inc.                   DE       5.02                 10/21/11

ENTERPRISE FINANCIAL SERVICES CORP      DE       2.02,9.01            10/27/11

Entertainment Gaming Asia Inc.          NV       1.01,8.01,9.01       10/21/11

EPIQ SYSTEMS INC                        MO       2.02,9.01            10/27/11

EQT Corp                                PA       2.02,9.01            10/27/11

EQUITY RESIDENTIAL                      MD       2.02,9.01            10/26/11

ERESEARCHTECHNOLOGY INC /DE/            DE       2.02,9.01            10/27/11

ERIE INDEMNITY CO                       PA       8.01,9.01            10/26/11

EVANS BANCORP INC                       NY       2.02,9.01            10/27/11

Evercore Partners Inc.                  DE       2.02,2.05,2.06,9.01  10/27/11

EXELIXIS INC                            DE       2.02,9.01            10/27/11

EXELIXIS INC                            DE       3.02,8.01            10/27/11

Expedia, Inc.                                    2.02,8.01,9.01       10/27/11

Extra Space Storage Inc.                MD       2.02,9.01            10/27/11

EXXON MOBIL CORP                        NJ       2.02,7.01            10/27/11

FBR & Co.                               VA       2.02,2.05,8.01,9.01  10/25/11

Federal Home Loan Bank of Atlanta       X1       2.03                 10/27/11

Federal Home Loan Bank of Atlanta       X1       2.02,7.01,8.01,9.01  10/27/11

Federal Home Loan Bank of Boston        X1       2.02,9.01            10/21/11

Federal Home Loan Bank of Boston        X1       2.03                 10/25/11

Federal Home Loan Bank of Chicago       X1       2.02,9.01            10/27/11

Federal Home Loan Bank of Chicago       X1       2.03                 10/24/11

Federal Home Loan Bank of Cincinnati    X1       2.02,9.01            10/27/11

Federal Home Loan Bank of Cincinnati    X1       2.03,9.01            10/25/11

Federal Home Loan Bank of Dallas                 2.02,9.01            10/27/11

Federal Home Loan Bank of Des Moines    X1       2.02,7.01,9.01       10/27/11

Federal Home Loan Bank of Des Moines    X1       2.03,9.01            10/25/11

Federal Home Loan Bank of Indianapoli   X1       2.03,9.01            10/27/11

Federal Home Loan Bank of Indianapoli   X1       2.02,9.01            10/27/11

Federal Home Loan Bank of New York      X1       2.02,8.01,9.01       10/27/11

Federal Home Loan Bank of Pittsburgh    PA       2.03,9.01            10/24/11

Federal Home Loan Bank of Pittsburgh    PA       2.02,7.01,9.01       10/27/11

Federal Home Loan Bank of San Francis   X1       2.03                 10/24/11

Federal Home Loan Bank of Seattle                2.02,9.01            10/27/11

Federal Home Loan Bank of Topeka                 2.03,9.01            10/24/11

Federal Home Loan Bank of Topeka                 2.02,7.01,9.01       10/27/11

FEDERAL MOGUL CORP                      DE       2.02,7.01,9.01       10/27/11

FEDERATED INVESTORS INC /PA/            PA       2.02,9.01            10/27/11

FEI CO                                  OR       2.02,9.01            10/27/11

FIDELITY SOUTHERN CORP                  GA       1.01,2.01,8.01,9.01  10/21/11

FIFTH THIRD BANCORP                     OH       7.01,8.01,9.01       10/27/11

First American Financial Corp           DE       2.02,9.01            10/27/11

First California Financial Group, Inc   DE       2.02,9.01            10/27/11

First Clover Leaf Financial Corp.       MD       8.01,9.01            10/26/11

FIRST COMMONWEALTH FINANCIAL CORP /PA   PA       2.02,9.01            10/27/11

FIRST COMMUNITY BANCSHARES INC /NV/     NV       2.02,7.01,8.01,9.01  10/26/11

FIRST FINANCIAL HOLDINGS INC /DE/       DE       2.02,9.01            10/27/11

FIRST INDUSTRIAL REALTY TRUST INC       MD       2.02,9.01            10/26/11

FIRST RESOURCES CORP                    NV       1.01,2.03,3.02,9.01  10/22/11

FIVE STAR QUALITY CARE INC                       2.02,9.01            10/27/11

FLAGSTAR BANCORP INC                    MI       2.02,7.01,9.01       10/25/11

FORMFACTOR INC                          DE       2.02,8.01,9.01       10/12/11

FORRESTER RESEARCH INC                  DE       2.02,9.01            10/26/11

Fox Chase Bancorp Inc                            2.02,9.01            10/26/11

FRANKLIN RESOURCES INC                  DE       2.02,9.01            10/27/11

FREDERICK COUNTY BANCORP INC            MD       2.02,7.01,9.01       10/27/11

GAIN Capital Holdings, Inc.             DE       2.02,7.01,8.01,9.01  10/27/11

GFI Group Inc.                          DE       2.02,9.01            10/27/11

GILEAD SCIENCES INC                     DE       5.02                 10/25/11

GILEAD SCIENCES INC                     DE       2.02,9.01            10/27/11

GLADSTONE INVESTMENT CORPORATION\DE     DE       1.01,9.01            10/26/11

GLEACHER & COMPANY, INC.                DE       2.02,9.01            10/27/11

GLEACHER & COMPANY, INC.                DE       2.06                 10/21/11    AMEND

Glen Rose Petroleum CORP                DE       2.02,4.02,9.01       10/17/11

GLOBAL 8 ENVIRONMENTAL TECHNOLOGIES,    NV       8.01                 10/26/11

GOLDRICH MINING CO                      AK       3.02,7.01,9.01       10/26/11

GOLFSMITH INTERNATIONAL HOLDINGS INC    DE       2.02,9.01            10/27/11

GOODRICH CORP                           NY       2.02,9.01            10/27/11

GRAFTECH INTERNATIONAL LTD              DE       2.02,9.01            10/27/11

GRAPHIC PACKAGING HOLDING CO            DE       2.02,9.01            10/27/11

GREATBATCH, INC.                        DE       2.02,9.01            10/27/11

GREEN DOT CORP                          DE       2.02,9.01            10/27/11

GREENWORLD DEVELOPMENT, INC.            DE       1.01,3.02            10/27/11

GRUBB & ELLIS CO                        DE       8.01                 10/21/11

GSI TECHNOLOGY INC                               2.02,9.01            10/27/11

HANGER ORTHOPEDIC GROUP INC             DE       2.02,9.01            10/26/11

HARLEY DAVIDSON INC                     WI       5.02                 10/24/11

HARMONIC INC                            DE       2.02,9.01            10/27/11

HARSCO CORP                             DE       2.02,9.01            10/27/11

HARTE HANKS INC                         DE       2.02,9.01            10/27/11

HEALTH MANAGEMENT ASSOCIATES INC        DE       9.01                 06/30/11    AMEND

HEALTHSOUTH CORP                        DE       2.02,7.01,9.01       10/27/11

HealthSpring, Inc.                      DE       1.01,8.01,9.01       10/24/11

HealthSpring, Inc.                      DE       2.02,9.01            10/27/11

HEARTLAND PAYMENT SYSTEMS INC           DE       2.02                 10/27/11

HELIX ENERGY SOLUTIONS GROUP INC        MN       7.01,9.01            10/27/11

HERCULES OFFSHORE, INC.                 DE       2.02,9.01            10/27/11

HERITAGE BANKSHARES INC /VA             VA       2.02,8.01,9.01       10/26/11

Heritage Financial Group Inc            MD       2.02,9.01            10/26/11

HERITAGE OAKS BANCORP                   CA       2.02,9.01            10/27/11

Heritage-Crystal Clean, Inc.            DE       5.07                 10/25/11

HERSHEY CO                              DE       2.02,9.01            10/27/11

HERTZ GLOBAL HOLDINGS INC                        8.01,9.01            10/27/11

HEWLETT PACKARD CO                      DE       8.01,9.01            10/27/11

Hill-Rom Holdings, Inc.                 IN       2.02,9.01            10/27/11

HOLLY ENERGY PARTNERS LP                DE       2.02,9.01            10/27/11

HOME BANCSHARES INC                              5.02                 10/21/11

HOMEAWAY INC                            DE       2.02,9.01            10/27/11

HOPFED BANCORP INC                      DE       2.02,9.01            10/27/11

Horizon Lines, Inc.                              2.05,9.01            10/24/11

HYPERDYNAMICS CORP                      DE       5.02                 10/24/11

IBERIABANK CORP                         LA       2.02,7.01,9.01       10/26/11

ICAHN ENTERPRISES L.P.                  DE       8.01,9.01            10/27/11

ICON INCOME FUND NINE LLC                        7.01,9.01            10/27/11

ICON INCOME FUND TEN LLC                DE       7.01,9.01            10/27/11

ICONIX BRAND GROUP, INC.                DE       1.01,2.01,2.02,8.01, 10/26/11
                                                 9.01
          
IKANOS COMMUNICATIONS                   CA       2.02,9.01            10/27/11

IMAX CORP                               A6       2.02,9.01            10/27/11

ImmunoCellular Therapeutics, Ltd.       DE       5.02,5.07            10/24/11

IMMUNOGEN INC                           MA       2.02,9.01            10/27/11

IMPERIAL OIL LTD                                 2.02,9.01            10/27/11

INCYTE CORP                             DE       2.02,9.01            10/27/11

INFINERA CORP                           DE       8.01,9.01            10/26/11

INFOSPACE INC                           DE       2.02,9.01            10/27/11

INGRAM MICRO INC                        DE       2.02,9.01            10/27/11

Inova Technology Inc.                   NV       8.01,9.01            10/27/11

INSITE VISION INC                       DE       2.02,9.01            10/27/11

Intelimax Media Inc.                             7.01,9.01            10/27/11

Intellicell Biosciences, Inc.           NV       1.01,3.02,5.03,9.01  10/21/11

InterDigital, Inc.                      PA       2.02,9.01            10/26/11

INTERFACE INC                           GA       1.01,2.02,9.01       10/26/11

INTERFACE INC                           GA       2.05,8.01            10/26/11

INTERNAP NETWORK SERVICES CORP          DE       2.02,9.01            10/27/11

INTERNATIONAL PAPER CO /NEW/            NY       2.02,9.01            10/27/11

INTERNATIONAL PAPER CO /NEW/            NY       8.01,9.01            10/27/11

INTERNATIONAL SHIPHOLDING CORP          DE       2.02,9.01            10/26/11

INVACARE CORP                           OH       2.02,9.01            10/27/11

IPC The Hospitalist Company, Inc.       DE       2.02,9.01            10/27/11

IRON MOUNTAIN INC                       DE       2.02,9.01            10/27/11

ISTAR FINANCIAL INC                     MD       2.02,9.01            10/27/11

ITC Holdings Corp.                      MI       2.02,9.01            10/26/11

ITERIS, INC.                            DE       2.02,9.01            10/27/11

JDA SOFTWARE GROUP INC                  DE       2.02,9.01            10/27/11

JOHNSON CONTROLS INC                    WI       2.02,7.01,9.01       10/27/11

KADANT INC                              DE       2.02,8.01,9.01       10/26/11

KADANT INC                              DE       2.02,9.01            10/27/11

KBW, INC.                                        2.02,2.05,5.02,7.01, 10/27/11
                                                 8.01,9.01
     
KEMET CORP                              DE       2.02,7.01,9.01       10/27/11

KEMET CORP                              DE       5.02,9.01            10/25/11

KENNAMETAL INC                          PA       1.01,2.02,2.03,5.07, 10/21/11
                                                 9.01
          
KENTUCKY BANCSHARES INC /KY/            KY       2.02,9.01            10/27/11

KIRBY CORP                              NV       2.02,9.01            10/26/11

KLA TENCOR CORP                         DE       2.02,9.01            10/27/11

Kohlberg Capital CORP                   DE       8.01,9.01            10/27/11

KOPIN CORP                              DE       2.02,9.01            10/27/11

L 3 COMMUNICATIONS HOLDINGS INC         DE       2.02,9.01            10/27/11

Lake Shore Bancorp, Inc.                X1       8.01                 10/26/11

LANCASTER COLONY CORP                   OH       2.02,9.01            10/27/11

LAS VEGAS SANDS CORP                    NV       2.02,9.01            10/27/11

Lazard Ltd                              D0       2.02,9.01            10/27/11

LEGG MASON, INC.                        MD       2.02,9.01            10/27/11

LEGGETT & PLATT INC                     MO       2.02,7.01,9.01       10/27/11

LEMAITRE VASCULAR INC                            2.02,9.01            10/27/11

LEVEL 3 COMMUNICATIONS INC              DE       2.01,9.01            10/27/11    AMEND

LEXON TECHNOLOGIES INC                  DE       5.07                 10/27/11

Li3 Energy, Inc.                        NV       5.02                 10/23/11

LIBBEY INC                              DE       2.02,9.01            10/27/11

Liberty Global, Inc.                    DE       7.01                 10/26/11

Liberty Global, Inc.                    DE       2.02,7.01            10/27/11

Liberty Global, Inc.                    DE       2.02                 10/26/11    AMEND

LIBERTY PROPERTY TRUST                  MD       1.01,2.03,9.01       10/21/11

Lightlake Therapeutics Inc.             NV       4.01,9.01            08/29/11

LIHUA INTERNATIONAL INC.                DE       5.02,8.01,9.01       10/23/11

LINCOLN ELECTRIC HOLDINGS INC           OH       2.02,9.01            10/27/11

LINN ENERGY, LLC                        DE       2.02,9.01            10/27/11

LINN ENERGY, LLC                        DE       8.01,9.01            10/27/11

LITTLEFIELD CORP                        DE       2.02,9.01            10/26/11

LKQ CORP                                DE       2.02,9.01            10/27/11

LNB BANCORP INC                         OH       2.02,9.01            10/27/11

LOGITECH INTERNATIONAL SA                        2.02,9.01            10/26/11

LOUISIANA BANCORP INC                   LA       5.02,9.01            10/25/11

LSI INDUSTRIES INC                      OH       2.02,9.01            10/27/11

LTV CORP                                DE       8.01,9.01            10/20/11

Lumber Liquidators Holdings, Inc.                2.02,9.01            10/27/11

M I HOMES INC                           OH       2.02,9.01            10/27/11

MACATAWA BANK CORP                      MI       2.02,9.01            10/27/11

MACK CALI REALTY CORP                   MD       2.02,7.01,9.01       10/26/11

MACROSOLVE INC                          OK       1.01,2.03,9.01       09/30/11    AMEND

MACROSOLVE INC                          OK       1.01,2.03,9.01       10/20/11    AMEND

MAGELLAN HEALTH SERVICES INC            DE       2.02,8.01,9.01       10/27/11

MAGMA DESIGN AUTOMATION INC             DE       5.07                 10/21/11

MATERION Corp                                    2.02,9.01            10/27/11

MATERION Corp                                    7.01,9.01            10/27/11

MAXIM INTEGRATED PRODUCTS INC           DE       8.01                 10/27/11

Mead Johnson Nutrition Co               DE       2.02,9.01            10/27/11

Medytox Solutions, Inc.                 NV       1.01,8.01            10/27/11

MERCANTILE BANK CORP                    MI       5.02                 10/27/11

MERCHANTS BANCSHARES INC                DE       2.02,9.01            10/25/11

Meritage Homes CORP                     MD       2.02,9.01            10/27/11

METLIFE INC                             DE       2.02,9.01            10/27/11

MICREL INC                              CA       2.02,9.01            10/27/11

MICROS SYSTEMS INC                      MD       2.02,9.01            10/27/11

MIDAS INC                               DE       2.02                 10/27/11

MidWestOne Financial Group, Inc.        IA       2.02,9.01            10/27/11

MINE SAFETY APPLIANCES CO               PA       2.02,9.01            10/27/11

MINERALS TECHNOLOGIES INC               DE       2.02,9.01            10/27/11

MINN DAK FARMERS COOPERATIVE            ND       8.01                 10/27/11

MIPS TECHNOLOGIES INC                   DE       2.02,5.02,9.01       10/27/11

MISSION COMMUNITY BANCORP               CA       1.01,2.01,2.03,3.02, 10/21/11
                                                 9.01
          
MODINE MANUFACTURING CO                 WI       2.02,9.01            10/27/11

MONEYGRAM INTERNATIONAL INC                      2.02,9.01            10/27/11

MONOLITHIC POWER SYSTEMS INC            CA       2.02,9.01            10/27/11

MONSTER WORLDWIDE INC                   DE       2.02,9.01            10/27/11

MOODYS CORP /DE/                        DE       2.02,7.01,9.01       10/27/11

Morningstar, Inc.                       IL       2.02,9.01            10/26/11

MORTONS RESTAURANT GROUP INC            DE       2.02,9.01            10/27/11

Motorola Mobility Holdings, Inc                  2.02,9.01            10/27/11

Motorola Solutions, Inc.                DE       2.02,9.01            10/27/11

NANOMETRICS INC                         DE       2.02,9.01            10/27/11

NARA BANCORP INC                        DE       1.01,8.01,9.01       10/25/11

NATIONAL FINANCIAL PARTNERS CORP                 2.02,5.02,9.01       10/27/11

NaturalNano, Inc.                       NV       5.02                 10/17/11

NATUS MEDICAL INC                       DE       2.02,9.01            10/27/11

NAVIGANT CONSULTING INC                 DE       2.02,9.01            10/27/11

NCR CORP                                MD       2.02,9.01            10/27/11

NEOPROBE CORP                           DE       2.02,9.01            10/26/11

NET 1 UEPS TECHNOLOGIES INC                      2.02,7.01,9.01       10/27/11

Net Element, Inc.                       DE       1.01,2.03,5.02,9.01  10/24/11

NETGEAR, INC                            DE       2.02,9.01            10/27/11

NeuroMetrix, Inc.                       DE       2.02,9.01            10/27/11

New Western Energy Corp                 NV       7.01,9.01            10/26/11

NEWMARKET CORP                          VA       8.01,9.01            10/27/11

NICHOLAS FINANCIAL INC                  FL       2.02,9.01            10/27/11

Nielsen Holdings N.V.                   P7       2.02,9.01            10/27/11

NII HOLDINGS INC                        DE       2.02,9.01            10/27/11

NL INDUSTRIES INC                       NJ       7.01,9.01            10/26/11

NORTHWEST INDIANA BANCORP               IN       2.02,9.01            10/27/11

NUMEREX CORP /PA/                       PA       2.02,9.01            10/27/11

NUVASIVE INC                            DE       2.02,9.01            10/27/11

NYSE Euronext                           DE       8.01,9.01            10/27/11

O REILLY AUTOMOTIVE INC                          2.02,9.01            10/26/11

Oasis Petroleum Inc.                    DE       2.02,7.01,9.01       10/27/11

OCCIDENTAL PETROLEUM CORP /DE/          DE       2.02,8.01,9.01       10/27/11

OCLARO, INC.                            DE       2.02,3.02,5.02,5.07, 10/21/11
                                                 8.01,9.01
     
OFFICEMAX INC                           DE       2.02,9.01            10/27/11

OLD DOMINION FREIGHT LINE INC/VA        VA       2.02,9.01            10/27/11

OMNICELL, Inc                           CA       2.02,9.01            10/27/11

ON ASSIGNMENT INC                       DE       2.02,9.01            10/27/11

ONEOK INC /NEW/                         OK       7.01,8.01,9.01       10/27/11

ONEOK Partners LP                       DE       7.01,8.01,9.01       10/27/11

Onstream Media CORP                     FL       3.01                 10/27/11

ONYX PHARMACEUTICALS INC                DE       8.01                 10/27/11

OPLINK COMMUNICATIONS INC               DE       2.02,9.01            10/27/11

ORIENTAL FINANCIAL GROUP INC            PR       2.02,9.01            10/25/11

ORIGINOIL INC                           NV       8.01,9.01            10/27/11

ORRSTOWN FINANCIAL SERVICES INC         PA       7.01,9.01            10/27/11

ORTHOFIX INTERNATIONAL N V                       2.02,9.01            10/27/11

OVERSTOCK.COM, INC                      DE       2.02,9.01            10/27/11

PACER INTERNATIONAL INC                 TN       2.02,9.01            10/27/11

PACIFIC BIOSCIENCES OF CALIFORNIA INC            2.02,8.01,9.01       10/25/11

PALADIN REALTY INCOME PROPERTIES INC    MD       8.01                 10/26/11

PALOMAR MEDICAL TECHNOLOGIES INC        DE       2.02,9.01            10/27/11

PAM TRANSPORTATION SERVICES INC         DE       2.02,9.01            10/27/11

PANHANDLE OIL & GAS INC                 OK       2.01,9.01            10/27/11

PATRICK INDUSTRIES INC                  IN       2.02,9.01            10/27/11

PATTERSON UTI ENERGY INC                DE       2.02,9.01            10/27/11

PATTERSON UTI ENERGY INC                DE       3.03,5.03,9.01       10/23/11

PEABODY ENERGY CORP                     DE       1.01,2.01,2.03,8.01, 10/23/11
                                                 9.01
          
PENN VIRGINIA RESOURCE PARTNERS L P     DE       5.05,9.01            10/24/11

PENNSYLVANIA REAL ESTATE INVESTMENT T   PA       2.02,9.01            10/27/11

PEOPLES BANCORP INC                     OH       8.01                 10/27/11

PERKINELMER INC                         MA       1.01,8.01,9.01       10/25/11

PERRIGO CO                              MI       2.02,5.07,9.01       10/26/11

PFF BANCORP INC                         DE       8.01,9.01            10/20/11

PINNACLE AIRLINES CORP                  DE       8.01,9.01            10/21/11

PINNACLE DATA SYSTEMS INC               OH       2.02,9.01            10/27/11

PINNACLE ENTERTAINMENT INC.             DE       2.02,4.02,9.01       10/24/11

PMC SIERRA INC                          DE       2.02,9.01            10/27/11

PORTFOLIO RECOVERY ASSOCIATES INC       DE       2.02,9.01            10/27/11

PORTLAND GENERAL ELECTRIC CO /OR/       OR       5.03                 10/26/11

POTASH CORP OF SASKATCHEWAN INC         Z4       2.02,9.01            10/27/11

POWER ONE INC                           DE       2.02,9.01            10/27/11

POWER ONE INC                           DE       2.04,3.02,8.01,9.01  10/27/11

PRECISION CASTPARTS CORP                OR       2.02,5.02,9.01       10/27/11

PRESTIGE CAPITAL CORP                   NV       4.01,9.01            10/25/11

PRINCIPAL FINANCIAL GROUP INC           DE       2.02,9.01            10/27/11

PROCTER & GAMBLE CO                     OH       2.02                 10/27/11

PROCTER & GAMBLE CO                     OH       7.01                 10/27/11

PROVIDENT FINANCIAL HOLDINGS INC        DE       2.02,7.01,9.01       10/27/11

PSB HOLDINGS INC /WI/                   WI       2.02,9.01            10/27/11

PSS WORLD MEDICAL INC                   FL       2.02,9.01            10/27/11

PULTEGROUP INC/MI/                      MI       2.02,9.01            10/27/11

PUMA BIOTECHNOLOGY, INC.                DE       5.02,9.01            10/21/11

PVF CAPITAL CORP                        OH       5.07                 10/26/11

QEP RESOURCES, INC.                     DE       2.02,9.01            10/25/11

QKL Stores Inc.                         DE       5.02,9.01            10/21/11

QLIK TECHNOLOGIES INC                   DE       2.02,9.01            10/27/11

QLOGIC CORP                             DE       2.02,9.01            10/27/11

QUANTUM CORP /DE/                       DE       2.02,9.01            10/27/11

QUESTCOR PHARMACEUTICALS INC            CA       2.02,9.01            10/25/11

Rackwise, Inc.                          NV       8.01                 10/27/11

RADISYS CORP                            OR       2.02,5.02,9.01       10/23/11

RAYTHEON CO/                            DE       2.02,9.01            10/27/11

RCM TECHNOLOGIES INC                    NV       1.01,2.03            10/24/11

REALTY INCOME CORP                      MD       2.02,9.01            10/27/11

REGAL ENTERTAINMENT GROUP               DE       2.02,8.01,9.01       10/27/11

REGENERON PHARMACEUTICALS INC           NY       2.02,9.01            10/27/11

REGIS CORP                              MN       2.02,9.01            10/27/11

RELIANCE STEEL & ALUMINUM CO            CA       2.02,9.01            10/27/11

REPLIGEN CORP                           DE       2.02,9.01            10/27/11

REPUBLIC SERVICES, INC.                 DE       2.02,9.01            09/30/11

REVLON INC /DE/                         DE       2.02,9.01            10/27/11

RLJ Lodging Trust                       MD       2.03,9.01            10/21/11

ROPER INDUSTRIES INC                    DE       5.07                 10/27/11    AMEND

ROYAL CARIBBEAN CRUISES LTD                      2.02,7.01,9.01       10/27/11

RR Donnelley & Sons Co                  DE       5.02                 10/26/11

RTI Biologics, Inc.                     DE       2.02,9.01            10/27/11

SABA SOFTWARE INC                       DE       5.02                 10/25/11

SANFILIPPO JOHN B & SON INC             DE       2.02,9.01            10/27/11

SCANSOURCE INC                          SC       2.02,9.01            10/27/11

SCHULMAN A INC                          DE       2.02,9.01            10/26/11

SCHULMAN A INC                          DE       7.01,9.01            10/27/11

SECURE NetCheckIn Inc                   NV       5.02                 10/27/11

SEITEL INC                              DE       5.02                 10/24/11

Seneca Foods Corp                       NY       2.02,9.01            10/27/11

SENIOR HOUSING PROPERTIES TRUST         MD       2.02,9.01            10/27/11

SENOMYX INC                             DE       2.02,9.01            10/27/11

SHORE BANCSHARES INC                    MD       2.02,9.01            10/25/11

ShoreTel Inc                            CA       2.02,9.01            10/27/11

SIGNET INTERNATIONAL HOLDINGS, INC.     DE       5.02,9.01            10/26/11

SILGAN HOLDINGS INC                     DE       2.02,9.01            10/26/11

SIMPSON MANUFACTURING CO INC /CA/       DE       2.02,9.01            10/27/11

Six Flags Entertainment Corp                     2.02,9.01            10/27/11

SJW CORP                                CA       2.02,9.01            09/30/11

SL GREEN REALTY CORP                    MD       2.02,7.01,9.01       10/26/11

SOAPSTONE NETWORKS INC.                 DE       5.02,8.01            10/27/11

SolarWinds, Inc.                        DE       2.02,9.01            10/27/11

SOLTA MEDICAL INC                       DE       8.01,9.01            10/24/11

SONOCO PRODUCTS CO                      SC       8.01,9.01            10/20/11

SONUS NETWORKS INC                      DE       2.02,9.01            10/27/11

SOUTHWESTERN ENERGY CO                  DE       2.02,9.01            10/27/11

Spansion Inc.                           DE       2.02,9.01            10/27/11

SPARE BACKUP, INC.                      DE       1.01,9.01            10/27/11

Spartan Gold Ltd.                                2.04,5.01            10/21/11

SPHERIX INC                             DE       1.01,3.02,9.01       10/25/11

Spirit Airlines, Inc.                   DE       2.02,7.01,9.01       10/27/11

SPS COMMERCE INC                                 2.02,9.01            10/27/11

STANDARD PACIFIC CORP /DE/              DE       2.02,9.01            10/27/11

STANDEX INTERNATIONAL CORP/DE/          DE       2.02,9.01            09/30/11

STARTEK INC                             DE       2.02,9.01            10/27/11

STARWOOD HOTEL & RESORTS WORLDWIDE IN   MD       2.02,9.01            10/27/11

STATE BANK FINANCIAL CORP               GA       8.01,9.01            10/21/11

StellarOne CORP                         VA       2.02,9.01            10/27/11

STERLING BANCORP                        NY       7.01,9.01            10/26/11

STEWART INFORMATION SERVICES CORP       DE       2.02,9.01            10/27/11

STRATASYS INC                           DE       2.02,9.01            10/26/11

STRATEGIC AMERICAN OIL CORP             NV       4.02                 10/18/11

STRATTEC SECURITY CORP                  WI       2.02,9.01            10/27/11

STUDIO II BRANDS INC                    FL       1.01,2.01,3.02,4.02, 02/10/11    AMEND
                                                 5.02,9.01
     
SUBURBAN PROPANE PARTNERS LP            DE       7.01,8.01,9.01       10/27/11

Sucampo Pharmaceuticals, Inc.                    5.02,9.01            10/25/11

SUNTRUST BANKS INC                      GA       8.01,9.01            10/26/11

SUNTRUST BANKS INC                      GA       8.01,9.01            08/09/11    AMEND

SUPERIOR ENERGY SERVICES INC            DE       2.02,9.01            10/26/11

Support.com, Inc.                       DE       2.02,9.01            10/27/11

SUREWEST COMMUNICATIONS                 CA       2.02,9.01            10/27/11

SUREWEST COMMUNICATIONS                 CA       8.01,9.01            10/26/11

SURREY BANCORP                          NC       7.01,9.01            10/27/11

Suspect Detection Systems, Inc.         DE       8.01,9.01            10/24/11

SWIFT TRANSPORTATION Co                          5.07                 06/03/11    AMEND

Symetra Financial CORP                  DE       2.02,7.01,9.01       10/26/11

SYNOVUS FINANCIAL CORP                  GA       2.02,7.01,9.01       10/27/11

SYNTHESIS ENERGY SYSTEMS INC            DE       8.01,9.01            10/27/11

Target Acquisitions I, Inc.             DE       4.01,9.01            10/21/11

Target Acquisitions I, Inc.             DE       9.01                 10/21/11    AMEND

TC PIPELINES LP                         DE       2.02,9.01            10/26/11

TC PIPELINES LP                         DE       4.01,9.01            10/26/11

TECHE HOLDING CO                        LA       2.02,9.01            10/26/11

TECO ENERGY INC                         FL       1.01,2.03,9.01       10/25/11

TEL OFFSHORE TRUST                      TX       8.01,9.01            10/27/11

TELEDYNE TECHNOLOGIES INC               DE       2.02,8.01,9.01       10/25/11

TeleNav, Inc.                           DE       2.02,5.02,9.01       10/27/11

TELETECH HOLDINGS INC                   DE       5.02,9.01            10/27/11

TERADYNE, INC                           MA       2.02,9.01            10/26/11

TF FINANCIAL CORP                       DE       2.02,9.01            10/27/11

THERAVANCE INC                          DE       8.01,9.01            10/26/11

THERAVANCE INC                          DE       2.02,9.01            10/27/11

TIAA REAL ESTATE ACCOUNT                NY       2.02,7.01,9.01       10/27/11

TIME WARNER CABLE INC.                  DE       2.02,9.01            10/27/11

TIME WARNER CABLE INC.                  DE       7.01                 10/27/11

TIMKEN CO                               OH       2.02,9.01            10/27/11

TITAN INTERNATIONAL INC                 IL       2.02,9.01            09/30/11

TNP Strategic Retail Trust, Inc.        MD       1.01,2.01,2.03,7.01, 10/21/11
                                                 9.01
          
TOR MINERALS INTERNATIONAL INC          DE       2.02,9.01            10/27/11

TOWER FINANCIAL CORP                    IN       2.02,9.01            10/27/11

TRACTOR SUPPLY CO /DE/                  DE       8.01,9.01            10/26/11

TRAILBLAZER RESOURCES INC.              NV       2.01,5.01,5.02,5.03, 10/21/11
                                                 5.07,8.01,9.01

TRIMAS CORP                             DE       2.02,9.01            10/27/11

TYLER TECHNOLOGIES INC                  DE       2.02                 10/26/11

U S GOLD CORP                           CO       7.01,9.01            10/27/11

UHF Inc                                 MI       5.02                 10/26/11

Uni-Pixel                               DE       8.01,9.01            10/27/11

UNIFI INC                               NY       5.07                 10/26/11

UNIFI INC                               NY       2.02,7.01,8.01,9.01  10/26/11

Unilife Corp                            DE       2.02,7.01,9.01       10/27/11

UNIONBANCAL CORP                        DE       2.02,9.01            10/27/11

UNITED COMMUNITY BANKS INC              GA       2.02,9.01            10/27/11

United Continental Holdings, Inc.       DE       2.02,7.01,9.01       10/27/11

UNITED ONLINE INC                       DE       8.01                 10/27/11

UNITED SECURITY BANCSHARES INC          DE       5.02,8.01,9.01       10/24/11

UNITED THERAPEUTICS Corp                DE       2.02,9.01            10/27/11

UNITY BANCORP INC /NJ/                  NJ       2.02,9.01            10/27/11

UNIVERSAL AMERICAN CORP.                DE       2.02,9.01            10/26/11

Universal Truckload Services, Inc.      MI       1.01,2.02,9.01       10/24/11

US AIRWAYS GROUP INC                    DE       2.02,9.01            10/27/11

US AIRWAYS GROUP INC                    DE       7.01,9.01            10/27/11

USA TRUCK INC                           DE       2.02,9.01            10/21/11

UTAH MEDICAL PRODUCTS INC               UT       9.01                 03/17/11    AMEND

VALENCE TECHNOLOGY INC                  DE       1.01,9.01            10/24/11

VALIDUS HOLDINGS LTD                             2.02,9.01            10/27/11

VALIDUS HOLDINGS LTD                             2.02,9.01            10/27/11

VALLEY NATIONAL BANCORP                 NJ       2.02,9.01            10/27/11

VARIAN MEDICAL SYSTEMS INC              DE       2.02,9.01            10/27/11

VCA ANTECH INC                          DE       2.02,9.01            10/27/11

VERISIGN INC/CA                         DE       2.02,9.01            10/27/11

VERTEX PHARMACEUTICALS INC / MA         MA       2.02,9.01            10/27/11

ViewPoint Financial Group Inc.          MD       2.02,8.01,9.01       10/27/11

VIRGIN MEDIA INC.                       DE       2.02,9.01            10/27/11

VIROPHARMA INC                          DE       1.01,8.01,9.01       10/26/11

VIROPHARMA INC                          DE       2.02,9.01            10/27/11

VISTAPRINT N.V.                         P7       2.02,9.01            10/27/11

WABCO Holdings Inc.                     DE       2.02,7.01,9.01       10/27/11

WACCAMAW BANKSHARES INC                 NC       1.01,8.01,9.01       10/21/11

WARWICK VALLEY TELEPHONE CO             NY       3.02                 08/05/11    AMEND

WASHINGTON BANKING CO                   WA       2.02,8.01,9.01       10/27/11

WASHINGTON GAS LIGHT CO                 DC       8.01,9.01            10/25/11

WASHINGTON MUTUAL, INC                  WA       7.01,9.01            10/26/11

WASHINGTON POST CO                      DE       5.02,9.01            10/27/11

WASTE MANAGEMENT INC                    DE       2.02,9.01            10/27/11

WAYNE SAVINGS BANCSHARES INC /DE/       DE       2.02,9.01            10/27/11

Wayside Technology Group, Inc.          DE       2.02,9.01            10/27/11

WebXU, Inc.                             DE       2.01,9.01            10/24/11

WERNER ENTERPRISES INC                  NE       7.01,9.01            10/27/11

WEST MARINE INC                         DE       2.02,9.01            10/27/11

WESTAMERICA BANCORPORATION              CA       8.01,9.01            10/27/11

Westinghouse Solar, Inc.                DE       2.02,9.01            10/26/11

WESTWOOD ONE INC /DE/                   DE       1.01,1.02,2.01,2.03, 10/21/11
                                                 3.02,3.03,5.01,5.02,
                                                 9.01
   
WESTWOOD ONE INC /DE/                   DE       8.01,9.01            10/21/11

WINMARK CORP                            MN       7.01,8.01,9.01       10/26/11

WISCONSIN ENERGY CORP                   WI       2.02                 10/27/11

WORLD ACCEPTANCE CORP                   SC       2.02,7.01,9.01       10/27/11

WSFS FINANCIAL CORP                     DE       2.02,9.01            10/27/11

XCEL ENERGY INC                         MN       2.02,9.01            10/27/11

XFONE INC.                              NV       8.01,9.01            10/27/11

YADKIN VALLEY FINANCIAL CORP            NC       2.02,9.01            10/27/11

YADKIN VALLEY FINANCIAL CORP            NC       2.02,9.01            10/27/11    AMEND

YRC Worldwide Inc.                      DE       3.01,9.01            10/25/11

YUHE INTERNATIONAL, INC.                NV       3.01                 10/27/11

Zayo Group LLC                          DE       7.01                 10/27/11

ZIMMER HOLDINGS INC                     DE       2.02,9.01            10/27/11

ZION OIL & GAS INC                      DE       1.01,9.01            10/26/11

ZYGO CORP                               DE       2.02,9.01            10/27/11

http://www.sec.gov/news/digest/2011/dig102611.htm

SEC News Digest