SEC News Digest, November 7, 2011

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Commission announcements

Daniel Gallagher Sworn in as SEC Commissioner

The Securities and Exchange Commission today announced that Daniel M. Gallagher has been sworn into office as an SEC Commissioner.

Commissioner Gallagher was administered the oath of federal office on Friday evening by U.S. District Judge J. Frederick Motz, and officially assumed his Commissioner role at the SEC today.

Appointed to the SEC by President Barack Obama on Oct. 24, 2011, Commissioner Gallagher returns to the agency where he previously worked for four years as a counsel to prior Commissioners and as Deputy Director of the Division of Trading and Markets.

“I’m looking forward to working together with Dan on the complex issues facing our markets,” said SEC Chairman Mary L. Schapiro.

“I am extraordinarily excited to have to opportunity to return to the Commission at such a critical time for both investors and the securities markets,” Commissioner Gallagher said. “I look forward to working with my fellow Commissioners and the remarkable staff of the agency as we strive to protect investors, maintain fair and efficient markets and promote capital formation.”

Commissioner Gallagher’s first tenure at the SEC began in January 2006, serving as a counsel to SEC Commissioner Paul S. Atkins and later as a counsel to SEC Chairman Christopher Cox. He worked primarily on major matters before the Commission involving the Division of Trading and Markets and the Division of Enforcement.

After joining the Division of Trading and Markets as a Deputy Director in 2008, he played a key role in the SEC’s response to the financial crisis and other key issues before the Commission at the time, including credit rating agencies and credit default swaps. He served as Co-Acting Director of the Trading and Markets Division from April 2009 to January 2010, after which he left the agency to become a partner in the Washington, D.C., office of WilmerHale.

Prior to his initial SEC service as a staff member, Commissioner Gallagher was the General Counsel and Senior Vice President of Fiserv Securities, Inc., where he was responsible for managing all of the firm’s legal and regulatory matters. Commissioner Gallagher began his career in private practice, advising clients on broker-dealer regulatory issues, and representing clients in SEC and SRO enforcement proceedings.

Commissioner Gallagher earned his JD, magna cum laude, from the Catholic University of America, where he was a member of the law review. He graduated from Georgetown University with a BA in English. (Press Rel. 2011-232)

Enforcement proceedings

In the Matter of Intercom Systems, Inc.

An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default (Default Order) in Intercom Systems, Inc., Admin. Proc. No. 3-14580. 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 Intercom Systems, Inc., International Management & Research Corp., International Research & Development Corp. (n/k/a IRDC Estate, Inc.), and Ipix Corp., pursuant to Section 12(j) of the Securities Exchange Act of 1934. (Rel. 34-65696; File No. 3-14580)

In the Matter of Mayfair Mining & Minerals, Inc., in M (2003) PLC (f/k/a/ Marconi PLC)

An Administrative Law Judge has issued an Initial Decision (Decision) as to Mayfair Mining & Minerals, Inc., in M (2003) PLC (f/k/a/ Marconi PLC), Admin. Proc. No. 3-14470. The Order Instituting Proceedings alleged that Respondent Mayfair Mining & Minerals, Inc., repeatedly failed to file required annual and quarterly reports while its securities were registered with the Securities and Exchange Commission. The Decision finds these allegations to be true and revokes the registration of each class of registered securities of Mayfair Mining & Minerals, Inc., pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Exchange Act).

The proceeding has ended as to the remaining Respondents. See M (2003) PLC (f/k/a Marconi PLC), Exchange Act Release Nos. 65229 (Aug. 31, 2011) and 65242 (Sept. 1, 2011). Initial Decision No. 440; File No. 3-14470)

In the Matter of Ronald St. Clair, CPA and Lawrence Swan, CA

On November 7, 2011, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order. The Order finds that from at least July 2007 through September 2008, Ronald St. Clair and Lawrence Swan offered and sold interests in the unregistered Boston Trading and Research LLC (BTR) investment program to 269 investors who invested approximately $19.7 million. BTR was a purported foreign currency trading program that obtained approximately $40 million from approximately 1000 investors. Neither BTR nor the interests in its investment program was registered with the Commission. Likewise, neither St. Clair nor Swan was registered with the Commission as a broker-dealer nor were they associated persons of any registered broker-dealer.

Based on the above, the Order requires St. Clair and Swan to each pay disgorgement and prejudgment interest in the amount of $308,802.17, $50,000.00 in penalties and orders St. Clair and Swan to cease and desist from committing or causing any violations and any future violations of Sections 5(a) and 5(c) of the Securities Act, and Section 15(a) of the Exchange Act. The Order further bars St. Clair and Swan from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization; prohibits St. Clair and Swan from serving or acting as an employee, officer, director, member of an advisory board, investment adviser or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor, or principal underwriter; and bars St. Clair and Swan from participating in any offering of a penny stock, including: acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock; with the right to apply for reentry after one year to the appropriate self-regulatory organization, or if there is none, to the Commission. St. Clair and Swan consented to the issuance of the Order without admitting or denying any of the findings.

BTR and its principals, Craig Karlis and Ahmet Devrim Akyil were the subject of a separate enforcement action filed by the Commission in October 2010 charging them with, among other things, violating the antifraud provisions of the federal securities laws.

For further information, see Litigation Release No. 21712 (October 28, 2010) SEC Charges Massachusetts-Based Company and its Principals with Multi-Million Dollar Foreign Currency Trading Fraud). (Rels. 33-9274; 34-65698; IC-29856; File No. 3-14615)

Former President of StarMedia Subsidiary Agrees to Fraud Settlement With SEC

The U.S. Securities and Exchange Commission today announced that on November 3, 2011, the U.S. District Court for the Southern District of New York entered a settled final judgment, in Securities and Exchange Commission v. Fernando J. Espuelas et al., Civil Action No. 06 CV 2435 (RJH) (S.D.N.Y. filed Mar. 29, 2006), as to Walther Möller, the former President of AdNet, S.A. de. C.V., a Mexican subsidiary of StarMedia Network, Inc. StarMedia is a now-defunct Internet portal that was based in New York City. The Commission’s amended complaint alleges that for fiscal year 2000 and the first two quarters of fiscal year 2001, StarMedia’s books and records, and its filings with the Commission, misstated the quality and amount of the company’s revenue. The amended complaint also alleges that StarMedia executives made misstatements regarding the company’s revenue to certain entities from which it was attempting to obtain financing. In its amended complaint, the Commission alleged violations of the federal securities laws by eight former StarMedia executives.

Without admitting or denying the allegations in the amended complaint, Möller consented to the entry of the Final Judgment permanently enjoining him from future violations of the antifraud provisions and corporate books and records provisions of the federal securities laws, and from aiding and abetting violations of the periodic reporting and books and records provisions.

Möller is a Mexican citizen residing in Mexico. Three defendants remain in the litigation. [SEC v. Fernando J. Espuelas et al., Civil Action No. 06 CV 2435 (RJH) (S.D.N.Y.)] (LR-22147; AAE Rel. 3335)

Self-regulatory organizations

Proposed Rule Changes

C2 Options Exchange, Incorporated has filed, pursuant to Rule 19b-4 under the Securities Exchange Act of 1934, a proposed rule change (SR-C2-2011-031), as modified by Amendment No. 1 thereto, concerning industry directors and the nomination of representative directors. Publication is expected in the Federal Register during the week of November 7. (Rel. 34-65681)

Chicago Board Options Exchange, Incorporated has filed, pursuant to Rule 19b-4 under the Securities Exchange Act of 1934, a proposed rule change (SR-CBOE-2011-099), as modified by Amendment No. 1 thereto, concerning industry directors and the nomination of representative directors. Publication is expected in the Federal Register during the week of November 7. (Rel. 34-65682)

The Commission issued notice of a proposed rule change submitted by NASDAQ OMX BX, Inc. (SR-BX-2011-073), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934, to modify Rule 7034 regarding low latency network connections. Publication is expected in the Federal Register during the week of November 7. (Rel. 34-65687)

The Commission issued notice of a proposed rule change submitted by The NASDAQ Stock Market LLC (SR-NASDAQ-2011-146), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934, to modify Rule 7034 regarding low latency network connections. Publication is expected in the Federal Register during the week of November 7. (Rel. 34-65688)

The Commission issued notice of a proposed rule change submitted by NASDAQ OMX PHLX LLC (SR-Phlx-2011-142), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934, to modify its co-location fee schedule regarding low latency network connections. Publication is expected in the Federal Register during the week of November 7. (Rel. 34-65689)

Financial Industry Regulatory Authority, Inc. filed a proposed rule change (SR-FINRA-2011-063) under Section 19(b)(1) of the Securities Exchange Act of 1934 relating to amending the Order Audit Trail System Rules. Publication is expected in the Federal Register during the week of November 7. (Rel. 34-65692)

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change filed by Chicago Board Options Exchange, Incorporated to extend the compliance deadline for registration and qualification pursuant to Rule 3.6A (SR-CBOE-2011-104) 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 November 7. (Rel. 34-65677)

A proposed rule change filed by the International Securities Exchange, LLC (SR-ISE-2011-67) relating to market data fees 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 November 7. (Rel. 34-65678)

A proposed rule change filed by the EDGX Exchange, Inc. (SR-EDGX-2011-34) relating to amendments to the EDGX Exchange, Inc. Fee Schedule 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 November 7. (Rel. 34-65683)

A proposed rule change filed by the EDGA Exchange, Inc. (SR-EDGA-2011-35) relating to amendments to the EDGA Exchange, Inc. Fee Schedule 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 November 7. (Rel. 34-65684)

A proposed rule change filed by the EDGA Exchange, Inc. (SR-EDGA-2011-36) relating to amendments to the EDGA Exchange, Inc. Fee Schedule 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 November 7. (Rel. 34-65685)

A proposed rule change filed by the Chicago Board Options Exchange, Incorporated (SR-CBOE-2011-103) to clarify the process for the qualification of the Customer Large Trade Discount 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 November 7. (Rel. 34-65690)

A proposed rule change filed by BATS Exchange, Inc. related to fees for use of BATS Exchange, Inc. (SR-BATS-2011-046) 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 November 7. (Rel. 34-65694)

Approval of Proposed Rule Changes

The Commission approved a proposed rule change by the Municipal Securities Rulemaking Board (MSRB) pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934, consisting of proposed amendments regarding professional qualifications and information concerning associated persons (SR-MSRB-2011-17). Publication is expected in the Federal Register during the week of November 7. (Rel. 34-65679)

The Commission approved a proposed rule change, as amended (SR-FINRA-2011-051), filed by the Financial Industry Regulatory Authority, Inc. (“FINRA”), under Rule 19b-4 of the Securities Exchange Act of 1934 to adopt new rules that will allow FINRA to grant exemptions from certain equity trade reporting obligations for alternative trading systems meeting specified criteria. Publication is expected in the Federal Register during the week of November 7. (Rel. 34-65695)

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     CARDINAL HEALTH INC, 7000 CARDINAL PLACE, DUBLIN, OH, 43017, 
        6147573033 - 18,000,000 ($803,880,000.00) Equity, (File 333-177728 - 
        Nov. 4) (BR. 09B)
 
S-8     NATHANS FAMOUS INC, 1400 OLD COUNTRY RD, STE 400, WESTBURY, NY, 11590, 
        5163388500 - 0 ($2,866,270.00) Equity, (File 333-177736 - Nov. 4) 
        (BR. 05B)
 
N-2     Arden Sage Multi-Strategy Fund, L.L.C., 909 THIRD AVENUE, 28TH FLOOR, 
        NEW YORK, NY, 10022, 212-908-9660 - 
        1 ($300,000,000.00) Limited Partnership Interests, (File 333-177737 - 
        Nov. 4) (BR. 18)
 
N-2     Arden Sage Multi-Strategy Institutional Fund, L.L.C., 
        909 3RD AVENUE, 28TH FLOOR, NEW YORK, NY, 10022, (212) 908-9660 - 
        1 ($300,000,000.00) Limited Partnership Interests, (File 333-177738 - 
        Nov. 4) (BR. 18)
 
S-8     CURTISS WRIGHT CORP, 10 WATERVIEW BOULEVARD, 2ND FLOOR, PARSIPPANY, NJ, 
        07054, 9735413700 - 1,200,000 ($39,720,000.00) Equity, 
        (File 333-177739 - Nov. 4) (BR. 06A)
 
S-B     PROVINCE OF MANITOBA, 1251 AVE OF THE AMERICAS, 
        C/O CANADIAN CONSULATE GENERAL, NEW YORK, NY, 10020, 
        0 ($750,000,000.00) Other, (File 333-177740 - Nov. 4) (BR. DN)
 
S-3ASR  EDISON INTERNATIONAL, 2244 WALNUT GROVE AVE, STE 369, P O BOX 800, 
        ROSEMEAD, CA, 91770, (626) 302-2222 - 0 ($0.00) Equity, 
        (File 333-177743 - Nov. 4) (BR. 02B)
 
S-1     SECURE DIGITAL, INC., 855 HINOTES COURT, LYNDEN, WA 98264, LYNDEN, WA, 
        98264, 360-540-2241 - 8,312,500 ($498,750.00) Equity, 
        (File 333-177744 - Nov. 4) (BR. 03B)
 
S-8     FITT HIGHWAY PRODUCTS, INC., 26381 CROWN VALLEY PARKWAY, SUITE 230, 
        MISSION VIEJO, CA, 92691, (949) 582-5933 - 500,000 ($25,000.00) Equity, 
        (File 333-177745 - Nov. 4) (BR. 09A)
 
S-1     ABC Records Management & Data Storage Inc., 
        FLAT A, 22/F, BLOCK 11, WONDERLAND VILLA, KWAI CHUNG, HONG KONG, F4, 
        00000000, 852-6677-3973 - 1,960,000 ($19,600.00) Equity, 
        (File 333-177746 - Nov. 4) (BR. )
 
S-8     EXTERRAN HOLDINGS INC., 1209 ORANGE STREET, WILMINGTON, DE, 19801, 
        713-335-7000 - 0 ($9,840,000.00) Equity, (File 333-177747 - Nov. 4) 
        (BR. 06B)
 
S-3     SPHERIX INC, 6430 ROCKLEDGE DRIVE, #503, BETHESDA, MD, 20817, 
        301-897-2540 - 0 ($2,002,422.00) Equity, (File 333-177748 - Nov. 4) 
        (BR. 06C)
 
S-4     W&T OFFSHORE INC, 0 ($600,000,000.00) Non-Convertible Debt, 
        (File 333-177749 - Nov. 4) (BR. 04A)
 
S-3ASR  HAWAIIAN ELECTRIC INDUSTRIES INC, 900 RICHARDS ST, HONOLULU, HI, 96813, 
        8085435662 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-177750 - Nov. 4) (BR. 02C)
 
S-8     CERUS CORP, 2550 STANWELL DRIVE, CONCORD, CA, 94520, 9252886000 - 
        0 ($5,250,000.00) Equity, (File 333-177751 - Nov. 4) (BR. 10A)
 
S-8     GOODYEAR TIRE & RUBBER CO /OH/, 1144 E MARKET ST, AKRON, OH, 44316, 
        2167962121 - 0 ($127,680,000.00) Equity, (File 333-177752 - Nov. 4) 
        (BR. 06A)
 
S-11    LIGHTSTONE VALUE PLUS REAL ESTATE INVESTMENT TRUST II INC, 
        326 THIRD STREET, LAKEWOOD, NJ, 08701, 732 367 0129 - 0 ($1.00) Equity, 
        (File 333-177753 - Nov. 4) (BR. 08C)
 
S-3     Ellington Financial LLC, 53 Forest Ave, Greenwich, ct, 06870, 
        203-698-1200 - 0 ($750,000,000.00) Unallocated (Universal) Shelf, 
        (File 333-177754 - Nov. 4) (BR. 08A)
 
S-3     PROCTER & GAMBLE Co, ONE PROCTER & GAMBLE PLAZA, CINCINNATI, OH, 45202, 
        5139831100 - 100,000 ($6,305,500.00) Equity, (File 333-177755 - Nov. 4) 
        (BR. 06B)
 
S-4     VAIL RESORTS INC, 390 INTERLOCKEN CRESCENT, SUITE 1000, BROOMFIELD, CO, 
        80021, 303-404-1800 - 0 ($390,000,000.00) Debt, (File 333-177756 - 
        Nov. 4) (BR. 05C)
 
S-3ASR  LAS VEGAS SANDS CORP, 3355 LAS VEGAS BOULEVARD, SOUTH, ROOM 1A, 
        LAS VEGAS, NV, 89109, (702) 414-1000 - 
        0 ($0.00) Unallocated (Universal) Shelf, (File 333-177757 - Nov. 4) 
        (BR. 08B)
 
S-3ASR  PROCTER & GAMBLE Co, ONE PROCTER & GAMBLE PLAZA, CINCINNATI, OH, 45202, 
        5139831100 - 14,500,000 ($914,297,500.00) Equity, (File 333-177760 - 
        Nov. 4) (BR. 06B)
 
S-3ASR  THOMAS & BETTS CORP, 8155 T&B BOULEVARD, MEMPHIS, TN, 38125, 
        9012525000 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-177761 - Nov. 4) (BR. 11A)
 
S-3ASR  PROCTER & GAMBLE Co, ONE PROCTER & GAMBLE PLAZA, CINCINNATI, OH, 45202, 
        5139831100 - 0 ($0.00) Debt, (File 333-177762 - Nov. 4) (BR. 06B)
 
S-8     POLYCOM INC, 4750 WILLOW ROAD, PLEASANTON, CA, 94588-2708, 9259246000 - 
        9,481 ($7,110.75) Equity, (File 333-177763 - Nov. 4) (BR. 11C)
 
S-1     T Bancshares, Inc., 15950 DALLAS PARKWAY, STE 525, DALLAS, TX, 75248, 
        (972) 720-9000 - 0 ($5,823,914.00) Equity, (File 333-177766 - Nov. 4) 
        (BR. 07C)
 
S-3ASR  HARLEY DAVIDSON INC, 3700 W JUNEAU AVE, MILWAUKEE, WI, 53208, 
        4143424680 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-177767 - Nov. 4) (BR. 05B)
 
S-3     MERGE HEALTHCARE INC, 200 E. RANDOLPH STREET, 24TH FLOOR, CHICAGO, IL, 
        60601-3436, 312-565-6868 - 0 ($213,105,000.00) Other, 
        (File 333-177768 - Nov. 4) (BR. 03C)
 
S-8     RENTRAK CORP, ONE AIRPORT CTR, 7700 N E AMBASSADOR PL, PORTLAND, OR, 
        97220, 5032847581 - 0 ($41,695,829.00) Equity, (File 333-177769 - 
        Nov. 4) (BR. 05C)
 
S-8     MERCURY COMPUTER SYSTEMS INC, 201 RIVERNECK ROAD, CHELMSFORD, MA, 
        01824, 9782561300 - 300,000 ($4,275,000.00) Equity, (File 333-177770 - 
        Nov. 4) (BR. 10B)
 
S-8     MERCURY COMPUTER SYSTEMS INC, 201 RIVERNECK ROAD, CHELMSFORD, MA, 
        01824, 9782561300 - 1,029,060 ($14,664,105.00) Equity, 
        (File 333-177771 - Nov. 4) (BR. 10B)

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

1st Century Bancshares, Inc.            DE       4.01,9.01            11/04/11
 
A.C. Moore Arts & Crafts, Inc.          PA       8.01                 11/03/11
 
A123 SYSTEMS, INC.                      DE       1.01                 10/31/11
 
ACCENTIA BIOPHARMACEUTICALS INC                  1.01,9.01            10/31/11
 
ACETO CORP                              NY       2.02,9.01            11/03/11
 
ACORDA THERAPEUTICS INC                          2.02,9.01            09/30/11
 
ACTIVE NETWORK INC                      DE       8.01                 11/04/11
 
ACURA PHARMACEUTICALS, INC              NY       1.01,9.01            10/31/11
 
ADCARE HEALTH SYSTEMS INC               OH       1.01,9.01            10/31/11
 
AEROPOSTALE INC                                  2.02,9.01            11/03/11
 
AES CORP                                DE       2.02,7.01,9.01       11/04/11
 
AFFILIATED MANAGERS GROUP INC           DE       1.01,9.01            11/03/11
 
AGL RESOURCES INC                       GA       5.04,9.01            11/04/11
 
AIS FUTURES FUND IV LP                  DE       3.02                 10/31/11
 
Aleris International, Inc.              DE       2.02,9.01            11/04/11
 
Alexza Pharmaceuticals Inc.             DE       5.02                 11/04/11
 
Alon Refining Krotz Springs, Inc.       DE       2.02                 11/03/11
 
Alon USA Energy, Inc.                   DE       2.02                 11/03/11
 
AlphaMetrix Managed Futures III LLC     DE       3.02                 11/01/11
 
ALST Casino Holdco, LLC                 DE       1.01,2.01,5.02,5.03, 11/01/11
                                                 9.01
          
ALTAIR NANOTECHNOLOGIES INC             Z4       4.01,9.01            11/02/11
 
AMAG PHARMACEUTICALS INC.               DE       2.02,2.05,5.02,9.01  11/03/11
 
AMARIN CORP PLC\UK                      X0       3.03,9.01            11/04/11
 
AMEREN CORP                             MO       2.02,8.01,9.01       11/04/11
 
AMERICAN DEFENSE SYSTEMS INC            DE       5.02,8.01,9.01       11/02/11
 
AMERICAN DENTAL PARTNERS INC            DE       1.01,9.01            10/31/11
 
AMERICAN EXPRESS CO                     NY       5.02,9.01            11/04/11
 
AMERICAN INTERNATIONAL GROUP INC        DE       2.02,9.01            11/03/11
 
AMERICAN RIVER BANKSHARES               CA       4.01,9.01            11/01/11
 
AMERICAN VANGUARD CORP                  DE       2.02,9.01            11/04/11
 
AMP Holding Inc.                        NV       1.01,2.03,3.02,9.01  10/31/11
 
AOXING PHARMACEUTICAL COMPANY, INC.     FL       8.01,9.01            11/03/11
 
APACHE CORP                             DE       5.02                 11/01/11
 
Apollo Commercial Real Estate Finance   MD       2.02,9.01            11/03/11
 
Apple REIT Ten, Inc.                    VA       1.01                 11/01/11
 
APPLIANCE RECYCLING CENTERS OF AMERIC   MN       2.02,5.02,9.01       11/02/11
 
Applied Nanotech Holdings, Inc          TX       5.02                 10/31/11
 
APRIA HEALTHCARE GROUP INC              DE       2.02,9.01            11/04/11
 
ARBOR REALTY TRUST INC                  MD       2.02,9.01            11/03/11
 
Ardea Biosciences, Inc./DE              DE       2.02,9.01            11/04/11
 
Argo Group International Holdings, Lt            2.02,9.01            11/03/11
 
ARI NETWORK SERVICES INC /WI            WI       5.02,9.01            10/31/11
 
ASSISTED LIVING CONCEPTS INC            NV       2.02,9.01            11/04/11
 
ASSURED EQUITIES V CORP                          5.05,5.07            11/04/11
 
Augme Technologies, Inc.                DE       5.02                 10/31/11
 
Augme Technologies, Inc.                DE       5.07                 11/01/11
 
Avantair, Inc                           DE       5.07                 11/03/11
 
AVIAT NETWORKS, INC.                    DE       1.01,9.01            11/02/11
 
BAKERS FOOTWEAR GROUP INC               MO       2.02,7.01,9.01       11/03/11
 
Bank of the Carolinas CORP              NC       2.02,9.01            11/03/11
 
BANKUNITED FINANCIAL CORP               FL       8.01,9.01            10/28/11
 
Banyan Rail Services Inc.               DE       3.02                 10/31/11
 
BillMyParents, Inc.                     CO       1.01,9.01            11/01/11
 
BIO REFERENCE LABORATORIES INC          NJ       1.01                 11/02/11
 
Bio-Carbon Solutions International In   NV       1.01,2.01,3.02,9.01  11/03/11
 
BIOZONE PHARMACEUTICALS, INC.           NV       3.02,9.01            10/31/11
 
Bitzio, Inc.                            NV       1.01,2.01,9.01       11/04/11
 
BLACK HILLS CORP /SD/                   SD       2.02,9.01            11/02/11
 
BLUE RIDGE REAL ESTATE CO               PA       1.01,9.01            10/31/11
 
BlueLinx Holdings Inc.                  DE       5.02,9.01            10/31/11
 
BON TON STORES INC                      PA       5.02                 10/31/11
 
BOVIE MEDICAL CORP                      DE       1.01,2.03            11/03/11
 
Bridge Capital Holdings                 CA       2.02,9.01            11/03/11
 
BRINKER INTERNATIONAL INC               DE       5.07,7.01,9.01       11/03/11
 
BROADCOM CORP                           CA       8.01,9.01            11/02/11
 
BROADVIEW NETWORKS HOLDINGS INC         DE       5.02                 11/04/11
 
BROADWIND ENERGY, INC.                  DE       2.02,7.01,9.01       11/04/11
 
Brookdale Senior Living Inc.            DE       2.02,7.01,9.01       11/03/11
 
BUCKEYE PARTNERS, L.P.                  DE       5.07                 06/07/11    AMEND
 
Butte Highlands Mining Company, Inc.    DE       4.01                 11/01/11
 
CAMDEN PROPERTY TRUST                   TX       2.02,9.01            11/03/11
 
CAMDEN PROPERTY TRUST                   TX       5.02                 08/09/11    AMEND
 
CARDINAL HEALTH INC                     OH       5.02,5.07,8.01,9.01  08/02/11    AMEND
 
CARRIAGE SERVICES INC                   DE       2.02,9.01            11/03/11
 
CARRIAGE SERVICES INC                   DE       5.02,8.01,9.01       11/03/11
 
CARROLS RESTAURANT GROUP, INC.                   5.02                 11/01/11
 
CASCADE BANCORP                         OR       4.01,9.01            10/31/11
 
CBL & ASSOCIATES PROPERTIES INC         DE       5.02                 10/31/11
 
CBRE GROUP, INC.                        DE       2.01,9.01            10/31/11
 
CENTRAL EUROPEAN DISTRIBUTION CORP      DE       2.02,7.01,9.01       11/04/11
 
CENTRAL VALLEY COMMUNITY BANCORP        CA       4.01,9.01            11/04/11
 
CENTURY NEXT FINANCIAL Corp             LA       2.02,9.01            11/04/11
 
Chemtura CORP                           DE       5.02                 11/01/11
 
CHESAPEAKE ENERGY CORP                  OK       2.01,7.01,8.01,9.01  11/02/11
 
CHESAPEAKE UTILITIES CORP               DE       2.02,9.01            11/04/11
 
CHICOPEE BANCORP, INC.                           8.01,9.01            11/03/11
 
CHINA FIRE & SECURITY GROUP, INC.                2.01,3.01,3.03,5.01, 11/03/11
                                                 5.02,5.03,9.01

CHURCH & DWIGHT CO INC /DE/             DE       2.02,9.01            11/04/11
 
CIENA CORP                              DE       1.01                 11/03/11
 
CIFC Corp.                              DE       5.02                 11/01/11
 
CINCINNATI FINANCIAL CORP               OH       7.01,9.01            11/04/11
 
Cinemark Holdings, Inc.                 DE       2.02,7.01,9.01       11/04/11
 
CIT GROUP INC                           DE       1.01                 11/04/11
 
CLAIBORNE LIZ INC                       DE       1.01,2.01,7.01,9.01  10/31/11
 
Clear Skies Solar, Inc                  DE       1.02                 10/31/11
 
CLOUD PEAK ENERGY INC.                  DE       7.01,9.01            11/04/11
 
CME GROUP INC.                          DE       1.01,2.03,9.01       11/01/11
 
COBRA ELECTRONICS CORP                  DE       1.01,3.03,9.01       11/03/11
 
Cogdell Spencer Inc.                    MD       2.02,7.01,9.01       11/03/11
 
COLOMBIA CLEAN POWER & FUELS, INC       NV       5.03,9.01            11/04/11
 
Colony Financial, Inc.                  MD       8.01                 10/27/11
 
COMFORT SYSTEMS USA INC                          2.02,8.01,9.01       11/03/11
 
COMTECH TELECOMMUNICATIONS CORP /DE/    DE       1.01,9.01            10/31/11
 
CONSOLIDATED EDISON INC                 NY       2.02,9.01            11/03/11
 
Constellation Energy Partners LLC       DE       2.02,9.01            11/04/11
 
CONTINENTAL RESOURCES INC               OK       5.02                 11/02/11
 
CONVENIENTCAST INC.                     NV       1.01,2.01,5.01,5.02, 10/28/11    AMEND
                                                 9.01
          
Cooper Industries plc                            8.01                 11/01/11
 
Copano Energy, L.L.C.                            2.02,9.01            11/03/11
 
CORPORATE EXECUTIVE BOARD CO            DE       8.01,9.01            11/04/11
 
COSTAR GROUP INC                        DE       8.01                 11/04/11
 
COWEN GROUP, INC.                                2.02,9.01            11/04/11
 
CROSSTEX ENERGY INC                     DE       2.02,9.01            11/04/11
 
CROSSTEX ENERGY LP                      DE       2.02,9.01            11/04/11
 
CubeSmart                               MD       2.02,7.01,9.01       11/03/11
 
Deep Down, Inc.                         NV       5.02                 11/03/11
 
DEVRY INC                               DE       7.01,9.01            11/03/11
 
DEWMAR INTERNATIONAL BMC, INC.          NV       1.01,9.01            10/28/11
 
DIGIRAD CORP                            DE       2.02,9.01            11/04/11
 
Digital Generation, Inc.                DE       5.07,9.01            11/01/11
 
DIXIE GROUP INC                         TN       2.02,9.01            11/04/11
 
DIXIE GROUP INC                         TN       7.01,9.01            11/04/11
 
DOVER MOTORSPORTS INC                   DE       3.01,9.01            11/04/11
 
DREW INDUSTRIES INC                     DE       7.01,9.01            11/02/11
 
DRIL-QUIP INC                           DE       2.02,9.01            11/04/11
 
DRINKS AMERICAS HOLDINGS, LTD           DE       1.01,3.02,9.01       11/01/11
 
DTE ENERGY CO                           MI       2.02,7.01,9.01       11/04/11
 
DUNE ENERGY INC                         DE       1.01                 11/01/11
 
DYNEGY INC.                             DE       7.01,9.01            11/03/11
 
Eagle Ford Oil & Gas Corp               NV       9.01                 06/24/11    AMEND
 
EASTERN AMERICAN NATURAL GAS TRUST      DE       2.02,9.01            11/04/11
 
Eastern Insurance Holdings, Inc.        PA       2.02,9.01            11/03/11
 
ECA Marcellus Trust I                   DE       2.02,9.01            11/04/11
 
Echo Global Logistics, Inc.             DE       5.07                 06/08/11    AMEND
 
ECOTALITY, INC.                         NV       2.02,9.01            11/02/11
 
EDGEWATER TECHNOLOGY INC/DE/            DE       8.01,9.01            11/04/11
 
ELECTRONICS FOR IMAGING INC             DE       7.01,9.01            11/04/11
 
Ellington Financial LLC                 DE       7.01,9.01            11/04/11
 
EMC INSURANCE GROUP INC                 IA       1.01,7.01,9.01       11/02/11
 
Empowered Products, Inc.                NV       9.01                 06/30/11    AMEND
 
ENERGY PARTNERS LTD                     DE       2.02,9.01            11/03/11
 
ENTERGY CORP /DE/                       DE       7.01,9.01            11/04/11
 
Evercore Partners Inc.                  DE       9.01                 08/19/11    AMEND
 
EXELON CORP                             PA       7.01,9.01            11/04/11
 
EXIDE TECHNOLOGIES                      DE       5.07                 09/16/11    AMEND
 
EXTERRAN HOLDINGS INC.                  DE       5.02,9.01            11/04/11
 
FARMERS & MERCHANTS BANCORP             DE       4.01,9.01            11/01/11
 
Federal Home Loan Bank of Indianapoli   X1       5.02,5.07,9.01       11/01/11
 
Federal Home Loan Bank of Pittsburgh    PA       2.02,7.01,9.01       11/04/11
 
FIRST BUSINESS FINANCIAL SERVICES, IN   WI       5.02                 11/03/11
 
FIRST BUSINESS FINANCIAL SERVICES, IN   WI       5.02,9.01            11/03/11
 
First Clover Leaf Financial Corp.       MD       5.02,9.01            10/21/11
 
FIRST COLOMBIA GOLD CORP.               NV       5.02                 10/31/11
 
FIRST MERCHANTS CORP                    IN       8.01                 11/02/11    AMEND
 
FIRST UNITED CORP/MD/                   MD       2.02,9.01            11/03/11
 
FLUOR CORP                              DE       5.02,9.01            11/03/11
 
FMC TECHNOLOGIES INC                    DE       5.02,9.01            11/04/11
 
FONAR CORP                              DE       8.01                 11/03/11
 
FORCE PROTECTION INC                    NV       1.01,8.01,9.01       10/31/11
 
FOSTER WHEELER AG                       V8       5.07                 11/01/11
 
FOX PETROLEUM INC.                      NV       2.01,2.03            11/03/11
 
FRESH START PRIVATE MANAGEMENT, INC.    NV       1.01,1.02,2.01,3.02, 10/31/11
                                                 5.01,5.03,5.06,9.01
       
FTI CONSULTING INC                      MD       7.01,9.01            11/02/11
 
Fushi Copperweld, Inc.                  NV       2.02,9.01            11/03/11
 
FUSION TELECOMMUNICATIONS INTERNATION   DE       2.03                 11/04/11
 
GAMETECH INTERNATIONAL INC              DE       8.01                 11/02/11
 
GAP INC                                 DE       2.02,9.01            11/03/11
 
Gas Natural Inc.                        OH       1.01,2.03,9.01       11/02/11
 
GASTAR EXPLORATION LTD                           2.02,5.02,7.01,9.01  11/03/11
 
GERMAN AMERICAN BANCORP, INC.           IN       2.02,8.01,9.01       11/01/11
 
GLEN BURNIE BANCORP                     MD       2.02,9.01            11/03/11
 
Global Aviation Holdings Inc.           DE       8.01,9.01            11/03/11
 
GLOBAL HEALTH VENTURES INC.             NV       1.01,3.02,8.01,9.01  10/27/11
 
GLOBAL INDUSTRIES LTD                   LA       2.02,9.01            11/03/11
 
Global Pharm Holdings Group, Inc.       DE       8.01,9.01            11/04/11
 
GOLDMAN SACHS GROUP INC                 DE       9.01                 11/04/11
 
GOLDMAN SACHS HEDGE FUND PARTNERS LLC   DE       7.01                 11/04/11
 
GRAY TELEVISION INC                     GA       2.02,9.01            11/04/11
 
GREAT PLAINS ENERGY INC                 MO       8.01                 11/04/11
 
GREAT PLAINS ENERGY INC                 MO       7.01,9.01            11/04/11
 
GreenHouse Holdings, Inc.                        1.01,3.02,9.01       11/01/11
 
GTX INC /DE/                            DE       2.02,9.01            11/04/11
 
GUIDED THERAPEUTICS INC                 DE       7.01,9.01            11/04/11
 
HALLIBURTON CO                          DE       8.01                 11/04/11
 
Hartman Short Term Income Properties    MD       2.01                 11/04/11
 
HARVARD BIOSCIENCE INC                  DE       2.02,9.01            11/03/11
 
Heavy Earth Resources, Inc.                      5.02                 11/01/11
 
HERCULES TECHNOLOGY GROWTH CAPITAL IN   MD       1.01,2.03,9.01       11/02/11
 
Hines Global REIT, Inc.                 MD       1.01,5.02,9.01       10/31/11
 
HINES REAL ESTATE INVESTMENT TRUST IN            1.01,5.02            10/31/11
 
HOME PROPERTIES INC                     MD       7.01,9.01            11/03/11
 
Horsehead Holding Corp                           2.02,9.01            11/04/11
 
HOTEL OUTSOURCE MANAGEMENT INTERNATIO   DE       1.01,9.01            11/02/11
 
HSBC USA INC /MD/                       MD       8.01                 11/04/11
 
HUMANA INC                              DE       5.02,9.01            11/04/11
 
iBio, Inc.                              DE       5.02                 11/01/11
 
IDACORP INC                             ID       7.01,9.01            11/04/11
 
IDEX CORP /DE/                          DE       5.02,9.01            11/01/11
 
IMATION CORP                            DE       5.02                 11/02/11
 
IMMUNOMEDICS INC                        DE       2.02,9.01            11/04/11
 
INHIBITEX, INC.                         DE       2.02,9.01            11/04/11
 
INSIGNIA SYSTEMS INC/MN                 MN       8.01                 11/04/11
 
InspireMD, Inc.                         DE       5.02,5.07,9.01       10/31/11
 
interclick, inc.                        DE       5.02,9.01            10/31/11
 
INTERLINE BRANDS, INC./DE               DE       2.02,9.01            11/04/11
 
INTEST CORP                             DE       2.02                 11/02/11
 
INTRICON CORP                           PA       1.01                 10/31/11
 
Island Radio, Inc.                      NV       8.01,9.01            11/04/11
 
ISTA PHARMACEUTICALS INC                DE       5.02                 11/01/11
 
ITT Corp                                IN       2.01,5.02,5.03,7.01, 10/31/11
                                                 9.01
          
JPMORGAN CHASE & CO                     DE       8.01,9.01            11/04/11
 
JPMORGAN CHASE & CO                     DE       8.01,9.01            11/04/11
 
JPMORGAN CHASE & CO                     DE       8.01,9.01            11/04/11
 
Kearny Financial Corp.                  X1       5.07,9.01            11/03/11
 
Kearny Financial Corp.                  X1       2.02,9.01            11/04/11
 
KINETIC CONCEPTS INC                    TX       7.01,9.01            11/04/11
 
KINETIC CONCEPTS INC                    TX       8.01,9.01            11/04/11
 
KKR & Co. L.P.                          DE       2.02,9.01            11/04/11
 
KLA TENCOR CORP                         DE       5.07                 11/03/11
 
KNIGHT CAPITAL GROUP, INC.              DE       5.02,9.01            10/31/11
 
Kodiak Oil & Gas Corp                   B0       2.02,9.01            11/03/11
 
KRANEM CORP                             CO       2.02,4.02            11/04/11    AMEND
 
LAS VEGAS SANDS CORP                    NV       8.01,9.01            11/04/11
 
LEAP WIRELESS INTERNATIONAL INC         DE       2.02,9.01            10/31/11
 
LEXINGTON REALTY TRUST                  MD       2.02,7.01,9.01       11/03/11
 
LIMITED BRANDS INC                      DE       2.02,7.01            10/29/11
 
LKQ CORP                                DE       1.01,2.03            11/01/11
 
LoopNet, Inc.                           DE       8.01                 11/04/11
 
Lumos Networks Corp.                    VA       1.01,5.02,5.03,9.01  10/31/11
 
LYRIS, INC.                                      2.02,9.01            11/04/11
 
LYRIS, INC.                                      5.02                 11/04/11
 
Macquarie Infrastructure CO LLC         DE       2.02,9.01            11/02/11
 
Madison Square Garden Co                DE       2.02,9.01            11/04/11
 
MAINLAND RESOURCES INC.                          1.01,9.01            10/31/11
 
MANPOWER INC /WI/                       WI       8.01,9.01            11/03/11
 
MARATHON OIL CORP                       DE       2.01                 11/01/11
 
MASTEC INC                              FL       2.02,7.01,9.01       11/03/11
 
Max Cash Media Inc                      NV       1.01,2.03,3.02,5.06  08/09/11
 
MCGRAW-HILL COMPANIES INC               NY       8.01,9.01            11/04/11
 
MCJUNKIN RED MAN HOLDING CORP           DE       8.01,9.01            11/04/11
 
Medytox Solutions, Inc.                 NV       1.01,2.01,9.01       11/04/11
 
Medytox Solutions, Inc.                 NV       1.01                 11/04/11    AMEND
 
MERCER GOLD CORP.                       NV       5.03,9.01            11/04/11
 
MERITOR INC                             IN       5.02                 11/03/11
 
METROPOLITAN HEALTH NETWORKS INC        FL       5.07                 06/14/11
 
MGE ENERGY INC                          WI       2.02,9.01            11/04/11
 
MICROELECTRONICS TECHNOLOGY Co          NV       5.02                 11/02/11
 
MICROELECTRONICS TECHNOLOGY Co          NV       2.01,9.01            11/04/11    AMEND
 
MIDAMERICAN ENERGY CO                   IA       7.01,9.01            11/04/11
 
MIDAMERICAN ENERGY HOLDINGS CO /NEW/    IA       7.01,9.01            11/04/11
 
MIDDLESEX WATER CO                      NJ       2.02,9.01            11/04/11
 
Midwest Energy Emissions Corp.          DE       4.02                 10/31/11
 
MONARCH COMMUNITY BANCORP INC           MD       2.02,9.01            11/01/11
 
MOOG INC                                NY       2.02,9.01            11/04/11
 
Morningstar, Inc.                       IL       7.01                 11/04/11
 
MUELLER INDUSTRIES INC                  DE       8.01,9.01            11/04/11
 
MusclePharm Corp                        NV       1.01,3.02,5.03,9.01  10/25/11
 
National American University Holdings   DE       5.02,5.07,8.01,9.01  10/31/11
 
NATIONAL FUEL GAS CO                    NJ       2.02,9.01            11/03/11
 
NATIONAL HEALTHCARE CORP                DE       2.02,8.01,9.01       11/03/11
 
NAVIGATORS GROUP INC                    DE       2.02,7.01,9.01       11/03/11
 
NBC ACQUISITION CORP                    DE       1.01,5.02,9.01       11/03/11
 
NEOPHOTONICS CORP                       DE       2.02,9.01            11/04/11
 
NEW ENERGY TECHNOLOGIES, INC.                    7.01,9.01            11/04/11
 
NEWS CORP                                        8.01,9.01            11/04/11
 
NEXTERA ENERGY INC                      FL       2.02,9.01            11/04/11
 
NGL Energy Partners LP                  DE       1.01,2.01,3.02,5.02, 11/01/11
                                                 5.03,7.01,9.01

NNN 2002 VALUE FUND LLC                          5.02                 09/14/11
 
NNN 2003 VALUE FUND LLC                          5.02                 09/14/11
 
NORMAN CAY DEVELOPMENT, INC.            NV       5.02                 11/04/11
 
NORTH AMERICAN ENERGY RESOURCES, INC.            2.01,2.03,9.01       11/03/11
 
NORTH VALLEY BANCORP                    CA       4.01,9.01            11/01/11
 
NORTHWEST NATURAL GAS CO                OR       2.02,9.01            11/04/11
 
NSTAR/MA                                         2.02,9.01            11/04/11
 
NTELOS HOLDINGS CORP                             1.01,2.01,5.02,5.03, 10/31/11
                                                 9.01
          
NYTEX Energy Holdings, Inc.             DE       1.01,9.01            11/04/11
 
OFFICEMAX INC                           DE       5.02                 10/31/11
 
OIL STATES INTERNATIONAL, INC           DE       2.02,9.01            11/03/11
 
OLYMPIC STEEL INC                       OH       2.02,9.01            11/04/11
 
OmniAmerican Bancorp, Inc.              MD       2.02,9.01            11/04/11
 
ONE Bio, Corp.                                   4.01,9.01            10/25/11    AMEND
 
Opexa Therapeutics, Inc.                TX       2.02,9.01            11/04/11
 
OptimumBank Holdings, Inc.              FL       3.01                 11/04/11
 
Options Media Group Holdings, Inc.      NV       5.02                 11/01/11
 
ORION ENERGY SYSTEMS, INC.              WI       5.02                 10/31/11
 
ORMAT TECHNOLOGIES, INC.                DE       2.02,9.01            11/02/11
 
OSIRIS THERAPEUTICS, INC.               DE       2.02,9.01            11/04/11
 
Otter Tail Corp                         MN       2.02,5.02,9.01       11/03/11
 
OWENS MORTGAGE INVESTMENT FUND A CALI   CA       4.01                 11/03/11
 
PACIFICORP /OR/                         OR       7.01,9.01            11/04/11
 
PAETEC Holding Corp.                             2.02,9.01            11/04/11
 
PALMETTO BANCSHARES INC                 SC       2.02,9.01            11/04/11
 
PARKERVISION INC                        FL       3.01,9.01            11/02/11
 
PATHEON INC                                      5.02,9.01            11/01/11
 
PDC 2002 D LTD PARTNERSHIP                       3.03,5.03,5.07,9.01  10/28/11
 
PDC 2003-A LP                           WV       3.03,5.03,5.07,9.01  10/28/11
 
PDC 2003-B LP                           WV       3.03,5.03,5.07,9.01  10/28/11
 
PDC 2003-C LP                           WV       3.02,5.03,5.07,9.01  10/28/11
 
PDC 2003-D LP                           WV       3.03,5.03,5.07,9.01  10/28/11
 
PEOPLES BANCORPORATION INC /SC/         SC       2.02,9.01            11/03/11
 
PEPCO HOLDINGS INC                      DE       2.02,7.01,9.01       11/03/11
 
PEPCO HOLDINGS INC                      DE       7.01,9.01            11/03/11
 
PEPSICO INC                             NC       7.01,9.01            11/04/11
 
Perfumania Holdings, Inc.               FL       2.02,9.01            11/03/11
 
PERMA FIX ENVIRONMENTAL SERVICES INC    DE       1.01,2.01,2.03,3.02, 10/31/11
                                                 5.02,9.01
     
Pharmasset Inc                                   8.01,9.01            11/01/11
 
PharMerica CORP                         DE       2.02,9.01            11/03/11
 
PHOENIX COMPANIES INC/DE                DE       2.02,9.01            11/02/11
 
PHOTOMEDEX INC                          DE       1.01,5.02,9.01       11/04/11
 
PIEDMONT NATURAL GAS CO INC             NC       5.02                 11/01/11
 
Pike Electric CORP                               5.02,5.07,9.01       11/03/11
 
PINNACLE WEST CAPITAL CORP              AZ       1.01,1.02,2.03,7.01, 11/04/11
                                                 9.01
          
PLAINS EXPLORATION & PRODUCTION CO      DE       2.02,7.01,9.01       11/04/11
 
PLUMAS BANCORP                          CA       4.01,9.01            11/01/11
 
PNM RESOURCES INC                       NM       1.01,9.01            11/04/11
 
POWER SOLUTIONS INTERNATIONAL, INC.     DE       1.01,2.03,9.01       10/31/11
 
PREMIER EXHIBITIONS, INC.               FL       1.01,1.02,3.02,9.01  10/31/11
 
PREMIER FINANCIAL BANCORP INC           KY       2.02,9.01            11/04/11
 
PROASSURANCE CORP                       DE       2.02,7.01,9.01       11/02/11
 
PROFESSIONAL VETERINARY PRODUCTS LTD    NE       1.01,9.01            10/31/11
 
Propell Corporation.                    DE       1.01,3.02,9.01       10/23/11
 
ProUroCare Medical Inc.                 NV       1.01,2.03,9.01       10/31/11
 
Public Storage                          MD       2.02,9.01            09/30/11
 
Pzena Investment Management, Inc.       DE       8.01                 10/26/11
 
Q LOTUS HOLDINGS INC                    NV       1.01,2.03,9.01       11/02/11
 
QUIKSILVER INC                          DE       5.02                 10/31/11
 
RAIT Financial Trust                    MD       7.01,9.01            10/28/11
 
RALCORP HOLDINGS INC /MO                MO       2.01,9.01            11/04/11
 
ReachLocal Inc                          DE       8.01,9.01            11/04/11
 
REALPAGE INC                            DE       9.01                 08/24/11    AMEND
 
RED MOUNTAIN RESOURCES, INC.            FL       3.02                 11/01/11
 
RED MOUNTAIN RESOURCES, INC.            FL       3.02                 11/04/11
 
REGAL BELOIT CORP                       WI       9.01                 11/04/11    AMEND
 
REGENCY CENTERS CORP                    FL       2.02,9.01            11/03/11
 
REXAHN PHARMACEUTICALS, INC.            DE       8.01,9.01            11/04/11
 
River Rock Entertainment Authority      XX       1.01,2.02,9.01       10/31/11
 
ROBERTS REALTY INVESTORS INC            GA       1.01,9.01            10/31/11
 
ROCKWELL MEDICAL TECHNOLOGIES INC       MI       3.02,9.01            11/01/11
 
RODMAN & RENSHAW CAPITAL GROUP, INC.    DE       1.01,3.02,5.02,9.01  10/31/11
 
ROFIN SINAR TECHNOLOGIES INC            DE       2.02,9.01            09/30/11
 
ROYAL BANCSHARES OF PENNSYLVANIA INC    PA       2.02                 11/01/11
 
RT Technologies, Inc.                   NV       3.02,5.02            10/27/11
 
SABINE ROYALTY TRUST                    TX       2.02,9.01            11/03/11
 
SANTARUS INC                            DE       1.01                 11/03/11
 
SANTARUS INC                            DE       1.01,1.02,7.01,9.01  08/22/11    AMEND
 
SCOTTS LIQUID GOLD INC                  CO       5.02                 11/01/11
 
SEALED AIR CORP/DE                      DE       8.01,9.01            11/03/11
 
SELECT MEDICAL HOLDINGS CORP                     2.02,9.01            11/03/11
 
SemGroup Corp                           DE       2.01,9.01            11/01/11
 
SENSIENT TECHNOLOGIES CORP              WI       2.01,8.01,9.01       11/02/11
 
SHORE BANCSHARES INC                    MD       8.01                 11/03/11
 
SILVERSTAR MINING CORP.                 NV       4.01,9.01            10/27/11
 
SinoCubate, Inc                         NV       1.01,9.01            09/26/11
 
SITEL Worldwide Corp                    DE       5.02,9.01            10/31/11
 
SITEL Worldwide Corp                    DE       8.01,9.01            11/04/11
 
SM Energy Co                            DE       7.01,9.01            11/03/11
 
SOUTHERN MISSOURI BANCORP INC           MO       5.07                 10/17/11
 
SOUTHWESTERN ENERGY CO                  DE       1.01                 11/04/11
 
Spectra Energy Partners, LP             DE       2.02,9.01            11/04/11
 
Spine Pain Management, Inc              DE       8.01                 11/02/11
 
SPRINT NEXTEL CORP                      KS       8.01                 11/04/11
 
SPRINT NEXTEL CORP                      KS       8.01                 11/04/11
 
STARWOOD PROPERTY TRUST, INC.                    2.02,9.01            11/04/11
 
STEELCASE INC                           MI       8.01                 11/04/11
 
STELLAR RESOURCES LTD                   NV       8.01,9.01            11/01/11
 
STEPAN CO                               DE       2.03,9.01            11/01/11
 
Stereotaxis, Inc.                       DE       1.01,5.02,9.01       10/31/11
 
STERLING BANCORP                        NY       8.01                 11/03/11
 
STR HOLDINGS, INC.                      DE       2.02,9.01            11/03/11
 
STRATS (SM) TRUST FOR JPMORGAN CHASE             8.01,9.01            11/01/11
 
STRATS SM TRUST FOR IBM CORP SEC SERI            8.01,9.01            10/31/11
 
Strats(SM) Trust for JPMorgan Chase C            8.01,9.01            11/01/11
 
STRATS(SM) Trust For Morgan Stanley S            8.01,9.01            11/01/11
 
STURM RUGER & CO INC                    DE       7.01                 11/03/11
 
SUBAYE, INC.                                     5.02                 11/01/11
 
SUMMIT FINANCIAL GROUP INC              WV       3.03,5.03,9.01       11/03/11
 
SUNPEAKS VENTURES, INC.                          5.03,9.01            11/03/11
 
SYNALLOY CORP                           DE       2.02,9.01            11/04/11
 
TD AMERITRADE HOLDING CORP              DE       1.01                 10/31/11
 
TECUMSEH PRODUCTS CO                    MI       2.02,9.01            11/03/11
 
TELEPHONE & DATA SYSTEMS INC /DE/       DE       2.02,9.01            11/04/11
 
TENET HEALTHCARE CORP                   NV       5.07                 11/03/11
 
TETRA TECHNOLOGIES INC                  DE       2.02,9.01            11/04/11
 
THOR INDUSTRIES INC                     DE       2.02,9.01            11/02/11
 
Timberline Resources Corp               DE       3.01,5.02,7.01,9.01  10/31/11
 
TORCH ENERGY ROYALTY TRUST              DE       8.01,9.01            11/02/11
 
TRANS1 INC                                       2.02,9.01            11/01/11
 
TRANSATLANTIC HOLDINGS INC              DE       8.01,9.01            11/04/11
 
TRANSCAT INC                            OH       2.02,5.02,8.01,9.01  10/31/11
 
Transcept Pharmaceuticals Inc           DE       2.05                 07/15/11    AMEND
 
Transocean Ltd.                         V8       1.01,1.02,2.03,9.01  11/01/11
 
TREDEGAR CORP                           VA       2.02,9.01            11/02/11
 
TreeHouse Foods, Inc.                   DE       2.02,7.01,9.01       11/04/11
 
Tropicana Las Vegas Hotel & Casino, I   DE       1.01,9.01            11/02/11
 
U S GOLD CORP                           CO       7.01,9.01            11/04/11
 
UFP TECHNOLOGIES INC                    DE       2.02,9.01            11/03/11
 
UIL HOLDINGS CORP                       CT       7.01,9.01            11/04/11
 
ULTRA PETROLEUM CORP                             2.02,9.01            09/30/11
 
UNISOURCE ENERGY CORP                   AZ       7.01,9.01            11/04/11
 
UNITED STATES CELLULAR CORP             DE       2.02,9.01            09/30/11
 
UQM TECHNOLOGIES INC                    CO       5.02,9.01            11/01/11
 
URBAN OUTFITTERS INC                    PA       1.01,9.01            10/31/11
 
US BANCORP \DE\                         DE       7.01,9.01            11/04/11
 
US CONCRETE INC                         DE       1.01,2.02,9.01       11/03/11
 
US GEOTHERMAL INC                       DE       4.01,9.01            11/04/11
 
USA REAL ESTATE INVESTMENT TRUST /CA    CA       4.01,9.01            11/04/11
 
USEC INC                                DE       2.02,9.01            11/04/11
 
Valley Commerce Bancorp                 CA       4.01,9.01            11/01/11
 
Vanda Pharmaceuticals Inc.              DE       2.02,9.01            11/04/11
 
VECTOR GROUP LTD                        DE       2.02,9.01            11/03/11
 
VECTREN CORP                            IN       2.02                 11/04/11
 
VENTAS INC                              DE       2.02,9.01            11/04/11
 
VIASAT INC                              DE       1.01,9.01            10/31/11
 
W R GRACE & CO                          DE       5.02                 11/03/11
 
Warner Chilcott plc                              2.02,9.01            11/04/11
 
WASHINGTON POST CO                      DE       2.02,9.01            11/04/11
 
WATTS WATER TECHNOLOGIES INC            DE       5.02                 10/31/11
 
WEB.COM GROUP, INC.                     DE       9.01                 10/27/11    AMEND
 
WELLS CORE OFFICE INCOME REIT INC                9.01                 09/28/11    AMEND
 
WESTFIELD FINANCIAL INC                 MA       7.01,9.01            11/02/11
 
WESTINGHOUSE AIR BRAKE TECHNOLOGIES C   DE       8.01,9.01            11/03/11
 
WHITING USA TRUST I                     DE       2.02,9.01            11/04/11
 
Wildcap Energy Inc.                     NV       5.02,8.01            08/10/11
 
WILLIAM LYON HOMES                      DE       7.01,8.01,9.01       11/04/11
 
WINDSTREAM CORP                         DE       2.02,9.01            11/04/11
 
Winthrop Realty Trust                   OH       2.01,2.02,7.01,8.01, 11/03/11
                                                 9.01
          
WIRELESS RONIN TECHNOLOGIES INC         MN       2.02,9.01            11/03/11
 
WNC CALIFORNIA HOUSING TAX CREDITS LP   CA       5.07                 11/03/11
 
World Omni Auto Receivables Trust 201   DE       1.01,8.01,9.01       11/02/11
 
XCEL ENERGY INC                         MN       7.01                 11/04/11
 
YRC Worldwide Inc.                      DE       2.02,9.01            11/04/11
 
ZOOM TECHNOLOGIES INC                   DE       1.01,9.01            11/03/11
 
Zoom Telephonics, Inc.                  DE       8.01,9.01            11/04/11

http://www.sec.gov/news/digest/2011/dig110711.htm

SEC News Digest