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Commission AnnouncementsSEC Staff Issues Summary Report of Sweep Examination of Structured Products Sold to Retail InvestorsThe Securities and Exchange Commission staff today issued a report identifying common weaknesses seen in sales of structured securities products and describing measures by broker-dealers to better protect retail investors from fraud and abusive sales practices. The report summarizes the results of a sweep examination of the retail structured securities products business of 11 broker-dealers, covering a cross-section of the industry. Structured securities products generally do not represent ownership of a particular asset (such as stock in a manufacturing company); instead, the products promise returns to investors based on the performance of one or more underlying assets. Among other things, the staff observed that broker-dealers might have:
Potential supervisory deficiencies were observed as well. In particular, there appears to have been a lack of training requirements for supervisors and registered representatives that market structured products to their customers. The report contains recommendations for improved surveillance of sales practices and enhanced training for sales and supervisory personnel. “Sales of structured products to retail investors have increased over recent years and may continue to increase as they are marketed as a higher return investment alternative,” said Carlo di Florio, Director of the SEC’s Office of Compliance Inspections and Examinations. “This report could help companies strengthen their compliance programs to better address the issues we observed during our sweep and in subsequent exams.” Mr. di Florio added, “Beyond this report, we are monitoring the way in which these products evolve, and are considering additional steps in the near future relating to structured securities products that may further bolster investor protection.” The staff report states that larger broker-dealers should focus on issues such as:
The staff report states that smaller retail broker-dealers should focus on:
The examinations underlying the report, which concluded in 2009, were conducted by the following staff from the Office of Compliance Inspections and Examinations: New York Regional Office: John M. Nee, Rosanne R. Smith, Linda Lettieri, Sonam Varghese, Lourdes Caballes, Ethan J. Allfree, Ellen N. Hersh, Jennifer Fournier, Susan Castillo, Kathleen Kuzmen, Dee-Ann DiSalvo, Christy Wolanski, Tamara R. Heller, Sarah J. Curran and Savitri Singh. Chicago Regional Office: Thomas F. Murphy, Daniel R. Gregus, James J. Malo, Marianne E. Neidhart, Joshua M. Herbst, Stephen G. Vilim, John G. Haworth, Edward W. Holland, Ambar Freyre, David W. Kinsella, Christopher Caprio, Anna M. Mieszaniec, Thomas P. Conroy and John T. Brodersen. (Press Rel. 2011-157) Enforcement ProceedingsCommission Declares Decision as to Erez Bahar, CA Final The Commission has declared final an initial decision denying temporarily Erez Bahar, CA, the privilege of appearing or practicing before the Commission as an accountant for a period of two years. The initial decision found that Erez Bahar, a licensed Chartered Accountant (CA) in Canada since 2004, supervised the field work for the audit of the 2007 financial statements of International Commercial Television, Inc. (ICTV). ICTV had been a public company since 2002. It sold products through infomercials. The initial decision found that Bahar engaged in improper professional conduct within the meaning of Section 4 of the Securities Exchange Act of 1934 and Rule 102(e)(1)(ii) of the Commission's Rules of Practice. The initial decision concluded that Bahar had failed to properly plan the audit and to exercise professional skepticism in the face of several red flags. Further, Bahar's course of conduct failed to detect improper revenue recognition by ICTV that materially overstated revenue and net income. The initial decision also found that in 2010, ICTV settled charges stemming from the events at issue in this proceeding in a civil action brought by the Commission; the court enjoined ICTV from violating the reporting and record-keeping provisions of the Exchange Act. SEC v. Int'l Commercial Television, Inc., No. 3:10-cv-05555-BHS (W.D. Wash. Sept. 8, 2010). (Rel. 34-64970; AAE Rel. 3306; File No. 3-13997) Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Seven Public Companies for Failure to Make Required Periodic FilingsToday the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of seven companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the seven issuers are delinquent in their required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the Administrative Law Judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The Administrative Law Judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-64971; File No. 3-14489) Commission Revokes Registration of Securities of Medicor Ltd. for Failure to Make Required Periodic FilingsOn July 27, 2011, the Commission revoked the registration of each class of registered securities of Medicor Ltd. 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, Medicor Ltd. 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 Medicor Ltd. 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 Medicor Ltd.’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against Medicor Ltd. in In the Matter of M.B.A. Holdings, Inc., et al., Administrative Proceeding File No. 3-14466. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
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 M.B.A. Holdings, Inc., et al., Administrative Proceeding File No. 3-14466, Exchange Act Release No. 64881, July 14, 2011. (Rel. 34-64972; File No. 3-14466) SEC Charges Liquor Giant Diageo with FCPA ViolationsThe Securities and Exchange Commission today charged one of the world’s largest producers of premium alcoholic beverages with widespread violations of the Foreign Corrupt Practices Act (FCPA) stemming from more than six years of improper payments to government officials in India, Thailand, and South Korea. The Commission found that London-based Diageo plc paid more than $2.7 million through its subsidiaries to obtain lucrative sales and tax benefits relating to its Johnnie Walker and Windsor Scotch whiskeys, among other brands. Diageo agreed to pay more than $16 million to settle the Commission’s charges. The company also agreed to cease and desist from further violations of the FCPA’s books and records and internal controls provisions. The Commission also found that from 2004 to mid-2008, Diageo paid approximately $12,000 per month – totaling nearly $600,000 – to retain the consulting services of a Thai government and political party official. This official lobbied other high-ranking Thai government officials extensively on Diageo’s behalf in connection with pending multi-million dollar tax and customs disputes, contributing to Diageo’s receipt of certain favorable decisions by the Thai government. According to the Commission’s order, Diageo also paid 100 million in Korean currency (more than $86,000 in U.S. dollars) to a customs official in South Korea as a reward for his role in the government’s decision to grant Diageo significant tax rebates. Diageo also improperly paid travel and entertainment expenses for South Korean customs and other government officials involved in these tax negotiations. Separately, Diageo routinely made hundreds of gift payments to South Korean military officials in order to obtain and retain liquor business. The Commission’s order found that Diageo and its subsidiaries failed properly to account for these illicit payments in their books and records. Instead, they concealed the payments to government officials by recording them as legitimate expenses for third-party vendors or private customers, or categorizing them in false or overly vague terms or, in some instances, failing to record them at all. Diageo lacked sufficient internal controls to detect and prevent the wrongful payments and improper accounting. The Commission’s order found that Diageo violated Sections 13(b)(2)(A) and 13(b)(2)(B) of the Securities Exchange Act of 1934. Without admitting or denying the findings, Diageo agreed to cease and desist from further violations and pay $11,306,081 in disgorgement, prejudgment interest of $2,067,739, and a financial penalty of $3 million. Diageo cooperated with the SEC’s investigation and implemented certain remedial measures, including the termination of employees involved in the misconduct and significant enhancements to its FCPA compliance program. (Rel. 34-64978; AAE Rel. 3307; File No. 3-14490)\ In the Matter of Gordon Brent PierceOn July 27, 2011, an Administrative Law Judge issued an Initial Decision as to Respondent Gordon Brent Pierce (Pierce) in Gordon Brent Pierce, Admin. Proc. No. 3-13927. The Securities and Exchange Commission issued its Order Instituting Proceedings (OIP) on June 8, 2010, alleging that Pierce violated Sections 5(a) and 5(c) of the Securities Act of 1933 (Securities Act). The OIP alleged that Pierce controlled two offshore companies, Newport Capital Corp. (Newport) and Jenirob Company Ltd. (Jenirob) and caused them to offer and sell 1.6 million shares of Lexington Resources, Inc. (Lexington), a now defunct oil and gas company, without a valid registration statement or exemption from registration. The Initial Decision finds that Pierce committed the alleged violations. To protect the public interest, it orders that Pierce cease and desist from committing or causing any violations or future violations of Sections 5(a) and 5(c) of the Securities Act and any rules or regulations thereunder. The Initial Decision further orders that Pierce disgorge ill-gotten gains of $7,247,635.75, plus prejudgment interest. The Administrative Law Judge previously found Newport and Jenirob in default. See Gordon Brent Pierce, Securities Act Release No. 9205 (May 11, 2011). (Initial Decision No. 425; File No. 3-13927) Investment Company Act ReleasesHarris & Harris Group, Inc.A certification has been issued pursuant to Section 851(e) of the Internal Revenue Code of 1986, as amended, that Harris & Harris Group, Inc. was, for the fiscal year ended December 31, 2010, principally engaged in the furnishing of capital to other corporations which are principally engaged in the development or exploitation of inventions, technological improvements, new processes or products not previously generally available. (Rel. IC-29736 - July 22) Self-Regulatory OrganizationsDesignation of Longer Period for Commission Action on Proposed Rule ChangeThe Commission has designated a longer period for Commission action under Section 19(b)(2) of the Securities Exchange Act of 1934 on a proposed rule change (SR-NASDAQ-2011-073) filed by The NASDAQ Stock Market to adopt additional listing requirements for reverse mergers. Publication is expected in the Federal Register during the week of July 25. (Rel. 34-64956) Immediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by BATS Exchange (SR-BATS-2011-023) to Amend BATS Rules in Connection with the Elimination of a Directed Order Program for BATS Options 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 July 25. (Rel. 34-64957) A proposed rule change filed by Financial Industry Regulatory Authority under Rule 19b-4 regarding cancellation or rescheduling fees for qualification examinations and continuing education sessions (SR-FINRA-2011-026) 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 July 25. (Rel. 34-64961) A proposed rule change filed by EDGA Exchange to amend EDGA Rule 11.5(c)(8) regarding the description of the Non-Displayed order type (SR-EDGA-2011-21) 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 July 25. (Rel. 34-64962) A proposed rule change filed by NYSE Amex (SR-NYSEAmex-2011-50) amending Commentary .07 to NYSE Amex Rule 904 to increase position limits for options on the SPDR® S&P 500® Exchange-Traded Fund, which list and trade under the option symbol SPY, and to update the names and one trading symbol for the options reflected therein, including SPY, 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 July 25. (Rel. 34-64966) Proposed Rule ChangeNYSE Arca filed a proposed rule change (SR-NYSEArca-2011-48) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to list and trade shares of the Teucrium Wheat Fund, the Teucrium Soybean Fund and the Teucrium Sugar Fund under NYSE Arca Equities Rule 8.200, Commentary .02. Publication is expected in the Federal Register during the week of July 25. (Rel. 34-64967) Securities Act RegistrationsThe following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. S-8 SYMANTEC CORP, 350 ELLIS STREET, MOUNTAIN VIEW, CA, 94043, 650-527-2900 - 0 ($3,625,844.00) Equity, (File 333-175783 - Jul. 26) (BR. 03C) S-8 MEDCO HEALTH SOLUTIONS INC, 100 PARSONS POND DR, FRANKLIN LAKES, NJ, 07417, 2012693400 - 0 ($960,828,000.00) Equity, (File 333-175784 - Jul. 26) (BR. 01B) S-8 Vuance Ltd, PO BOX 5039, QADIMA, L3, 60920, 972-9-889-0800 - 4,000,000 ($486,500.00) Equity, (File 333-175785 - Jul. 26) (BR. 10C) S-8 QNB CORP, 10 NORTH THIRD STREET, QUAKERTOWN, PA, 18951-9005, 2155385600 - 30,000 ($694,800.00) Equity, (File 333-175788 - Jul. 26) (BR. 07C) S-8 CHINA INFRASTRUCTURE CONSTRUCTION Corp, SHIDAI CAIFU TIANDI SUITE 1906-1909, 1 HANGFENG ROAD FENGTAI DISTRICT, BEIJING, F4, 100070, 86-10-5170-9287 - 1,150,000 ($1,012,000.00) Equity, (File 333-175789 - Jul. 26) (BR. 06C) S-1 CG Automotive Group, Inc., 940 NW 144TH ST., MIAMI, FL, 33168, (626) 335-7750 - 3,600,000 ($360,000.00) Equity, (File 333-175790 - Jul. 26) (BR. ) S-3ASR HCA Holdings, Inc., ONE PARK PLZ, NASHVILLE, TN, 37203, 6153449551 - 0 ($0.00) Debt, (File 333-175791 - Jul. 26) (BR. 01A) S-1 Auto Home Lock, Inc., 112 NORTH CURRY STREET, CARSON CITY, NV, 89703, 775.321.8215 - 2,000,000 ($60,000.00) Equity, (File 333-175792 - Jul. 26) (BR. ) S-8 Marina Biotech, Inc., 3830 MONTE VILLA PARKWAY, BOTHELL, WA, 98021, 4259083600 - 6,500,000 ($1,300,000.00) Equity, (File 333-175793 - Jul. 26) (BR. 01B) S-1 EMISPHERE TECHNOLOGIES INC, 240 CEDAR KNOLLS RD., SUITE 200, CEDAR KNOLLS, NJ, 07927, 973-532-8000 - 7,310,744 ($7,383,851.44) Equity, (File 333-175794 - Jul. 26) (BR. 01A) S-8 ANDAIN, INC., 350 S. CENTER STREET, SUITE 500, RENO, NV, 89501, 775-333-5997 - 2,000,000 ($10,600.00) Equity, (File 333-175795 - Jul. 26) (BR. 01C) F-10 BAYTEX ENERGY CORP., 2800, 520 3RD AVE SW, CALGARY, A0, T2P 0R3, 587-952-3000 - 529,150,000 ($529,150,000.00) Equity, (File 333-175796 - Jul. 26) (BR. 04A) N-2 LAZARD MULTI-STRATEGY 1099 FUND, 30 ROCKEFELLER PLAZA, NEW YORK, NY, 10112-6300, 212 632 1584 - 0 ($1,000,000.00) Equity, (File 333-175797 - Jul. 26) (BR. ) S-8 NORTHROP GRUMMAN CORP /DE/, 1840 CENTURY PK E, C/O NORTHROP GRUMMAN CORP, LOS ANGELES, CA, 90067, 310-201-1630 - 46,211,556 ($2,975,562,091.00) Equity, (File 333-175798 - Jul. 26) (BR. 05B) S-1 Momentive Performance Materials Inc., 22 CORPORATE WOODS BLVD, 2ND FLOOR, ALBANY, NY, 12211, 518-533-4703 - 0 ($525,687,000.00) Non-Convertible Debt, (File 333-175800 - Jul. 26) (BR. 06C) F-3 Baytex Energy USA Ltd., 600 17TH STREET, SUITE 1600 S., DENVER, CO, 80202, 303-825-2777 - 529,150,000 ($529,150,000.00) Equity, (File 333-175801 - Jul. 26) (BR. ) Recent 8K FilingsForm 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT 3M CO DE 2.02,9.01 07/26/11 AARON'S INC GA 2.02,9.01 07/25/11 AASTROM BIOSCIENCES INC MI 1.01,9.01 07/26/11 AbitibiBowater Inc. DE 5.02 07/20/11 ACCURAY INC DE 2.02,7.01,8.01,9.01 07/26/11 ACCURIDE CORP DE 5.02 07/26/11 ACE Ltd V8 2.02,9.01 07/26/11 ACHILLION PHARMACEUTICALS INC DE 5.02,9.01 07/22/11 ACI WORLDWIDE, INC. DE 2.02,7.01,9.01 07/26/11 ACI WORLDWIDE, INC. DE 8.01,9.01 07/26/11 ACTIVE POWER INC DE 2.02,9.01 07/26/11 ACTIVE POWER INC DE 5.07 05/12/11 AMEND ADDVANTAGE TECHNOLOGIES GROUP INC OK 2.02,7.01,9.01 07/26/11 ADVANCED ENERGY INDUSTRIES INC DE 2.02,9.01 07/25/11 AECOM TECHNOLOGY CORP DE 1.01,2.03,9.01 07/20/11 AFFILIATED MANAGERS GROUP INC DE 2.02,8.01,9.01 07/26/11 AGCO CORP /DE DE 5.02,9.01 07/26/11 AIR PRODUCTS & CHEMICALS INC /DE/ DE 5.03,9.01 07/21/11 AK STEEL HOLDING CORP DE 2.02,9.01 07/26/11 AK STEEL HOLDING CORP DE 7.01,9.01 07/26/11 Alexza Pharmaceuticals Inc. DE 8.01,9.01 07/26/11 Allied World Assurance Co Holdings, A 8.01 07/25/11 AMAG PHARMACEUTICALS INC. DE 2.02,8.01,9.01 07/26/11 AMAZON COM INC DE 2.02,9.01 07/26/11 American Capital Agency Corp 2.02,5.02,5.03,9.01 07/26/11 AMERICAN REALTY CAPITAL HEALTHCARE TR MD 2.01 07/22/11 AMETEK INC/ DE 2.02,9.01 07/26/11 AMN HEALTHCARE SERVICES INC DE 1.01,2.03 07/25/11 AMYLIN PHARMACEUTICALS INC DE 2.02,9.01 07/26/11 ANADARKO PETROLEUM CORP DE 2.02,9.01 07/25/11 ANIXTER INTERNATIONAL INC DE 2.02,9.01 07/26/11 ante5, Inc. DE 1.01,3.02,8.01,9.01 07/26/11 ante5, Inc. DE 7.01,9.01 07/26/11 APPLETON PAPERS INC/WI 5.02 07/25/11 ARCH CAPITAL GROUP LTD. 2.02,9.01 07/25/11 ARROW ELECTRONICS INC NY 8.01,9.01 07/26/11 ARROW ELECTRONICS INC NY 5.07 07/26/11 AMEND ASBURY AUTOMOTIVE GROUP INC DE 2.02,7.01,8.01,9.01 07/26/11 ASSOCIATED BANC-CORP WI 8.01,9.01 07/26/11 ASSOCIATED ESTATES REALTY CORP OH 2.02,9.01 06/30/11 Augme Technologies, Inc. DE 2.01,3.02,5.02,8.01, 07/22/11 9.01 AVENTINE RENEWABLE ENERGY HOLDINGS IN DE 5.02,7.01 07/20/11 Avery Dennison Corp DE 2.02,9.01 07/26/11 AWARE INC /MA/ MA 2.02,9.01 07/26/11 B&G Foods, Inc. DE 2.02,7.01,9.01 07/26/11 Bacterin International Holdings, Inc. DE 7.01,9.01 07/26/11 Baltic Trading Ltd 1T 2.02,9.01 07/26/11 BANCORPSOUTH INC MS 2.02,7.01,9.01 07/25/11 BANK MUTUAL CORP WI 2.02 07/22/11 BE Resources Inc. CO 7.01,9.01 07/25/11 BEMIS CO INC MO 1.01,9.01 07/21/11 BERKLEY W R CORP DE 2.02,9.01 07/25/11 BGC Partners, Inc. DE 1.01,2.03,3.02,8.01,07/25/11 9.01 BIODELIVERY SCIENCES INTERNATIONAL IN DE 8.01,9.01 07/25/11 BIOGEN IDEC INC. DE 2.02,9.01 07/26/11 BIOMODA INC/NM 1.02,8.01,9.01 07/25/11 BION ENVIRONMENTAL TECHNOLOGIES INC CO 5.02,7.01,8.01,9.01 07/18/11 Blue Wolf Mongolia Holdings Corp. D8 8.01,9.01 07/20/11 BOSTON PRIVATE FINANCIAL HOLDINGS INC MA 2.02 07/26/11 BRADY CORP WI 5.02,9.01 07/20/11 BROADSOFT, INC. DE 5.07 05/05/11 AMEND BUFFALO WILD WINGS INC MN 2.02,9.01 07/26/11 C H ROBINSON WORLDWIDE INC DE 2.02,9.01 07/26/11 CABOT CORP DE 2.02,9.01 07/26/11 CAI International, Inc. 2.02,9.01 07/26/11 Calamos Asset Management, Inc. /DE/ 5.07 07/21/11 CALLAWAY GOLF CO DE 2.02,9.01 07/26/11 CAMDEN NATIONAL CORP ME 2.02,9.01 07/26/11 Campus Crest Communities, Inc. MD 5.07 04/25/11 AMEND CAPELLA EDUCATION CO 2.02,9.01 07/26/11 CAPITAL CITY BANK GROUP INC FL 2.02,9.01 06/30/11 CAPITAL GROWTH SYSTEMS INC /FL/ FL 8.01,9.01 07/26/11 CAPITAL SOUTHWEST CORP TX 2.02,9.01 07/26/11 CAPITAL TRUST INC MD 5.03,9.01 07/20/11 CARDTRONICS INC DE 1.01,2.01,9.01 07/25/11 CARLISLE COMPANIES INC DE 2.02,9.01 07/26/11 Celsion CORP DE 1.01,3.02,3.03,7.01,07/20/11 9.01 CENTENE CORP 2.02,9.01 07/26/11 CENTRAL BANCORP INC /MA/ MA 5.07,8.01,9.01 07/21/11 CENTURY PROPERTIES FUND XIV CA 2.01 07/21/11 CERADYNE INC DE 7.01,9.01 07/26/11 CEVA INC DE 2.02,9.01 07/26/11 Chelsea Therapeutics International, L DE 2.02,9.01 07/26/11 Chelsea Therapeutics International, L DE 8.01,9.01 07/26/11 Chelsea Therapeutics International, L DE 1.01,9.01 07/26/11 CHEMBIO DIAGNOSTICS, INC. NV 1.01,2.03 07/26/11 CHEMED CORP DE 2.02,9.01 07/26/11 Chesapeake Lodging Trust MD 9.01 05/10/11 AMEND China Advanced Construction Materials DE 8.01 07/26/11 China Green Lighting Ltd 4.01,4.02,9.01 05/13/11 AMEND Chrysler Group LLC DE 2.02,9.01 07/26/11 CIGNA CORP DE 5.02 07/26/11 CIT GROUP INC DE 2.02,9.01 07/26/11 CITIZENS BANCORP OF VIRGINIA INC VA 2.02,9.01 07/25/11 CITIZENS FINANCIAL SERVICES INC PA 2.02,9.01 07/26/11 CLOROX CO /DE/ DE 8.01,9.01 07/26/11 CNB FINANCIAL CORP/PA PA 2.02,9.01 07/25/11 COGNIZANT TECHNOLOGY SOLUTIONS CORP 8.01 07/26/11 COMMERCETEL CORP NV 5.02,9.01 07/22/11 Commercial Vehicle Group, Inc. DE 2.02,7.01,9.01 07/26/11 COMMUNICATION INTELLIGENCE CORP DE 5.07 07/14/11 Community Partners Bancorp NJ 3.03,5.03,8.01,9.01 07/20/11 COMMUNITY WEST BANCSHARES / CA 2.02,9.01 07/26/11 COMPUWARE CORP MI 2.02,9.01 07/21/11 Comstock Homebuilding Companies, Inc. DE 8.01,9.01 07/21/11 CONSOL Energy Inc DE 8.01 07/20/11 Convenience TV Inc. NV 5.03,9.01 07/20/11 CORELOGIC, INC. DE 7.01,9.01 07/26/11 CORNING INC /NY NY 5.07 04/28/11 AMEND COVENANT TRANSPORTATION GROUP INC NV 2.02,9.01 07/26/11 Covidien plc 2.02,9.01 07/26/11 Coyote Resources, Inc. NV 7.01,9.01 07/26/11 CSB BANCORP INC /OH OH 2.02,9.01 07/26/11 CSS INDUSTRIES INC DE 2.02,9.01 07/26/11 CTS CORP IN 2.02,9.01 07/26/11 CUMMINS INC IN 2.02,7.01,9.01 07/26/11 CVR PARTNERS, LP DE 7.01,9.01 07/26/11 CYNOSURE INC 2.02,9.01 07/26/11 CYTRX CORP DE 8.01,9.01 07/26/11 DATA I/O CORP WA 5.03 07/20/11 DATAWATCH CORP DE 5.02,9.01 07/20/11 DAWSON GEOPHYSICAL CO TX 2.02,8.01,9.01 07/26/11 DELPHI FINANCIAL GROUP INC/DE DE 2.02,9.01 07/26/11 DELTA PETROLEUM CORP/CO CO 7.01,9.01 07/25/11 Diamond Resorts Corp MD 1.01,3.02,9.01 07/21/11 DICE HOLDINGS, INC. DE 2.02,9.01 07/26/11 DIGITALGLOBE INC 1.01 07/26/11 Dolan Co. DE 1.01,2.01,2.03,9.01 07/25/11 DOLLAR THRIFTY AUTOMOTIVE GROUP INC DE 1.01,2.03,8.01,9.01 07/21/11 Domark International Inc. NV 5.02 07/26/11 DOMINOS PIZZA INC 2.02,8.01,9.01 07/26/11 Dorman Products, Inc. PA 2.02,9.01 07/26/11 Double Eagle Holdings, Ltd. NV 8.01 07/25/11 Douglas Lake Minerals Inc. NV 7.01,9.01 07/25/11 DreamWorks Animation SKG, Inc. 2.02,9.01 07/26/11 DRI CORP NC 7.01,9.01 07/26/11 DSP GROUP INC /DE/ DE 1.01,2.02,3.03,5.03,07/25/11 9.01 Eagle Bancorp Montana, Inc. 2.02,9.01 07/26/11 EAGLE ROCK ENERGY PARTNERS L P DE 7.01,8.01,9.01 07/26/11 EASTMAN KODAK CO NJ 2.02,9.01 07/26/11 ECB BANCORP INC NC 2.02,9.01 07/25/11 ECO Building Products, Inc. CO 5.03,9.01 07/15/11 eHealth, Inc. DE 2.02,9.01 07/26/11 ELECTRO SCIENTIFIC INDUSTRIES INC OR 2.02,9.01 07/26/11 ELECTRONIC ARTS INC. DE 2.02,9.01 07/26/11 EMULEX CORP /DE/ DE 5.02,8.01,9.01 07/25/11 ENERGY KING, INC. 1.01,3.02,5.02,9.01 06/30/11 AMEND Energy Transfer Partners, L.P. DE 7.01,8.01,9.01 07/26/11 ESSEX PROPERTY TRUST INC MD 7.01,9.01 07/26/11 ESTERLINE TECHNOLOGIES CORP DE 1.01,2.03,9.01 07/20/11 EXAR CORP DE 2.02,9.01 07/26/11 FBR & Co. VA 2.02,9.01 07/26/11 Federal Home Loan Bank of Boston X1 2.03 07/20/11 Federal Home Loan Bank of Chicago X1 2.02,9.01 07/26/11 Federal Home Loan Bank of Chicago X1 2.03 07/20/11 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 07/20/11 Federal Home Loan Bank of Des Moines X1 2.03,9.01 07/22/11 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 07/26/11 Federal Home Loan Bank of New York X1 2.03,9.01 07/20/11 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 07/20/11 Federal Home Loan Bank of San Francis X1 2.03 07/20/11 Federal Home Loan Bank of Seattle 2.03 07/20/11 Federal Home Loan Bank of Topeka 2.03,9.01 07/20/11 FEDERAL HOME LOAN MORTGAGE CORP 2.02,9.01 07/26/11 FIRST BUSEY CORP /NV/ NV 2.02,9.01 07/26/11 First California Financial Group, Inc DE 2.02,9.01 07/26/11 FIRST CORP /CN/ CO 8.01,9.01 07/15/11 FIRST DEFIANCE FINANCIAL CORP OH 2.02,9.01 07/25/11 First Financial Northwest, Inc. WA 2.02,9.01 07/25/11 First Physicians Capital Group, Inc. DE 1.01,2.01,7.01,9.01 07/26/11 FIRST PLACE FINANCIAL CORP /DE/ DE 8.01,9.01 07/26/11 FIRSTBANK CORP MI 2.02,8.01,9.01 07/26/11 FIRSTBANK CORP MI 8.01,9.01 07/26/11 FIRSTMERIT CORP /OH/ OH 2.02,9.01 07/26/11 FISERV INC WI 2.02,9.01 07/26/11 FMC TECHNOLOGIES INC DE 2.02,9.01 07/25/11 Ford Credit Auto Owner Trust 2011-B DE 8.01,9.01 07/26/11 FORD MOTOR CO DE 2.02,9.01 07/26/11 FORD MOTOR CREDIT CO LLC DE 2.02,9.01 07/26/11 FORMFACTOR INC DE 2.02,9.01 07/26/11 Furiex Pharmaceuticals, Inc. DE 8.01,9.01 07/26/11 GALLAGHER ARTHUR J & CO DE 2.02,9.01 07/26/11 GATX CORP NY 5.02,5.03,9.01 07/22/11 GATX CORP NY 5.07 04/22/11 AMEND GCI INC AK 1.01,2.03 07/22/11 GENCO SHIPPING & TRADING LTD 2.02,9.01 07/26/11 GENERAL COMMUNICATION INC AK 1.01,2.03 07/22/11 GEOGLOBAL RESOURCES INC. DE 8.01,9.01 07/26/11 GERBER SCIENTIFIC INC CT 8.01,9.01 07/26/11 GILEAD SCIENCES INC DE 2.02,9.01 07/26/11 GRACO INC MN 2.03 07/26/11 Grand Canyon Education, Inc. DE 3.01 07/26/11 GREENE COUNTY BANCORP INC DE 8.01 07/20/11 GROUP 1 AUTOMOTIVE INC DE 2.02,9.01 07/26/11 HAEMONETICS CORP MA 5.07 07/26/11 HALLIBURTON CO DE 5.07 07/26/11 AMEND HARTE HANKS INC DE 5.02,9.01 07/25/11 HASTINGS ENTERTAINMENT INC TX 1.01,9.01 07/21/11 Hatteras Financial Corp 2.02,9.01 07/26/11 HAWAIIAN HOLDINGS INC DE 2.02,9.01 07/26/11 HCA Holdings, Inc. 8.01,9.01 07/26/11 HEALTHSOUTH CORP DE 1.01,7.01,9.01 07/26/11 AMEND HEIDRICK & STRUGGLES INTERNATIONAL IN DE 2.02,9.01 07/26/11 HELIX ENERGY SOLUTIONS GROUP INC MN 2.02,7.01,9.01 07/25/11 HERSHEY CO DE 2.02,9.01 07/26/11 HF FINANCIAL CORP DE 2.02,9.01 07/25/11 AMEND Hines Global REIT, Inc. MD 1.01 07/20/11 HOLLY ENERGY PARTNERS LP DE 7.01,9.01 07/26/11 HOSPITALITY PROPERTIES TRUST MD 1.01,9.01 07/25/11 HUTCHINSON TECHNOLOGY INC MN 2.02,9.01 07/26/11 ICON CASH FLOW PARTNERS L P SEVEN DE 5.02 07/26/11 ICON ECI FUND FIFTEEN, L.P. DE 5.02 07/26/11 ICON Equipment & Corporate Infrastruc DE 5.02 07/26/11 ICON INCOME FUND NINE LLC 5.02 07/26/11 ICON INCOME FUND TEN LLC DE 5.02 07/26/11 ICON LEASING FUND ELEVEN, LLC DE 5.02 07/26/11 ICON LEASING FUND TWELVE, LLC DE 5.02 07/26/11 IHS Inc. DE 1.01,7.01,9.01 07/26/11 ILLINOIS TOOL WORKS INC DE 2.02,9.01 07/26/11 ILLUMINA INC DE 2.02,9.01 07/26/11 IMATION CORP DE 2.02,9.01 07/26/11 iMetrik M2M Solutions Inc. NV 7.01,9.01 07/25/11 INDIANA COMMUNITY BANCORP IN 2.02,9.01 07/26/11 INDIANA COMMUNITY BANCORP IN 2.02,9.01 07/26/11 AMEND INPHI Corp DE 2.02,9.01 07/26/11 INSTITUTIONAL FINANCIAL MARKETS, INC. MD 1.01,2.03,9.01 07/22/11 Intellicell Biosciences, Inc. NV 2.01,5.03,9.01 06/30/11 Intellicell Biosciences, Inc. NV 1.01,2.01,3.02,5.01,06/03/11 AMEND 5.02,5.03,9.01 INTER PARFUMS INC DE 2.02 07/26/11 INTERNATIONAL FLAVORS & FRAGRANCES IN NY 8.01,9.01 07/26/11 INTERNATIONAL GAME TECHNOLOGY NV 2.02,9.01 07/26/11 INTERNATIONAL RECTIFIER CORP /DE/ DE 5.02,8.01 07/20/11 Invesco Ltd. D0 2.02 07/26/11 IROBOT CORP DE 2.02,9.01 07/26/11 ITERIS, INC. DE 2.02,9.01 07/26/11 JACOBS ENGINEERING GROUP INC /DE/ DE 2.02,9.01 07/25/11 JDA SOFTWARE GROUP INC DE 2.02,9.01 07/26/11 JETBLUE AIRWAYS CORP DE 2.02,9.01 07/26/11 JETBLUE AIRWAYS CORP DE 7.01,9.01 07/26/11 JETBLUE AIRWAYS CORP DE 5.02 07/25/11 JOURNAL COMMUNICATIONS INC 2.02,9.01 07/26/11 JUNIPER NETWORKS INC DE 2.02,9.01 07/26/11 KEYNOTE SYSTEMS INC DE 2.02,9.01 07/26/11 Keyuan Petrochemicals, Inc. NV 8.01,9.01 07/26/11 KILROY REALTY CORP MD 2.02,9.01 07/25/11 KIMCO REALTY CORP MD 2.02 07/26/11 KINDER MORGAN ENERGY PARTNERS L P DE 5.02 07/20/11 KINDER MORGAN MANAGEMENT LLC DE 5.02 07/20/11 KINETIC CONCEPTS INC TX 9.01 06/30/11 Kohlberg Capital CORP DE 8.01,9.01 07/26/11 KONA GRILL INC DE 2.02,9.01 07/26/11 L-1 IDENTITY SOLUTIONS, INC. DE 1.01,1.02,3.01,3.03,07/25/11 5.01,5.02,5.03,9.01 LANDEC CORP \CA\ CA 2.02,9.01 07/26/11 LAS VEGAS SANDS CORP NV 2.02,9.01 07/26/11 LCA VISION INC DE 2.02,9.01 07/26/11 LENNOX INTERNATIONAL INC DE 2.02,9.01 07/26/11 LEXMARK INTERNATIONAL INC /KY/ DE 2.02,9.01 07/26/11 Liberty Gold Corp. DE 3.03,5.03,8.01,9.01 04/21/11 LIBERTY PROPERTY TRUST MD 2.02,9.01 07/26/11 LifeCare Holdings, Inc. DE 1.01,8.01,9.01 07/21/11 LIGAND PHARMACEUTICALS INC DE 7.01,9.01 07/26/11 LNB BANCORP INC OH 7.01,9.01 07/26/11 LOCKHEED MARTIN CORP MD 2.02,9.01 07/26/11 Lumber Liquidators Holdings, Inc. 2.02,9.01 07/26/11 MACE SECURITY INTERNATIONAL INC DE 8.01,9.01 07/26/11 MAGELLAN HEALTH SERVICES INC DE 5.02,9.01 07/25/11 Magyar Bancorp, Inc. DE 2.02,9.01 07/26/11 MAINSOURCE FINANCIAL GROUP IN 2.02,9.01 07/26/11 MARKWEST ENERGY PARTNERS L P 5.02,8.01,9.01 07/21/11 MARTHA STEWART LIVING OMNIMEDIA INC DE 2.02,9.01 07/26/11 MCDONALDS CORP DE 5.03 07/21/11 MEADE INSTRUMENTS CORP DE 5.07 07/21/11 MEDALLION FINANCIAL CORP DE 8.01,9.01 07/21/11 MEDCO HEALTH SOLUTIONS INC DE 8.01,9.01 07/26/11 MEDIFAST INC DE 8.01 07/26/11 MERCHANTS BANCSHARES INC DE 5.07 05/03/11 AMEND MERIDIAN INTERSTATE BANCORP INC 2.02,9.01 07/26/11 MICRON TECHNOLOGY INC DE 1.01,2.03,3.02,9.01 07/26/11 MILLER HERMAN INC MI 5.02 07/22/11 MPG Office Trust, Inc. MD 1.01,3.02,9.01 07/25/11 AMEND MUELLER INDUSTRIES INC DE 2.02,9.01 07/26/11 MURPHY OIL CORP /DE DE 1.01,9.01 07/25/11 MUSTANG ALLIANCES, INC. 5.02,9.01 07/25/11 NARA BANCORP INC DE 2.02,9.01 07/25/11 NATIONAL OILWELL VARCO INC DE 2.02,9.01 07/26/11 NATIONAL SECURITY GROUP INC DE 8.01,9.01 07/22/11 NATIONAL TECHNICAL SYSTEMS INC /CA/ CA 1.01,2.01,9.01 07/20/11 Naugatuck Valley Financial Corp MD 2.02,9.01 07/25/11 NAUTILUS, INC. WA 1.01,9.01 07/20/11 NBT BANCORP INC DE 2.02,9.01 07/25/11 NEPHROS INC DE 1.01,2.02,8.01,9.01 07/25/11 Net Savings Link, Inc. NV 5.06,9.01 07/25/11 Niska Gas Storage Partners LLC DE 7.01,9.01 07/26/11 NISOURCE INC/DE DE 5.02,9.01 07/26/11 NOBEL LEARNING COMMUNITIES INC DE 8.01 07/25/11 NORFOLK SOUTHERN CORP VA 5.02,5.03 07/26/11 NORFOLK SOUTHERN CORP VA 2.02,7.01,9.01 07/26/11 NOVASTAR FINANCIAL INC MD 5.07 07/26/11 NUTRI SYSTEM INC /DE/ DE 5.02,9.01 07/20/11 OCCIDENTAL PETROLEUM CORP /DE/ DE 2.02,8.01,9.01 07/26/11 Ocean Shore Holding Co. 2.02,9.01 07/26/11 OFFICE DEPOT INC DE 2.02,9.01 07/26/11 OHIO VALLEY BANC CORP OH 2.02,9.01 06/30/11 OIL STATES INTERNATIONAL, INC DE 5.07 05/17/11 OMNICARE INC DE 2.02,9.01 07/26/11 ONE Bio, Corp. 1.01,9.01 07/08/11 OPTICAL CABLE CORP VA 1.01,9.01 07/25/11 optionsXpress Holdings, Inc. DE 2.02,9.01 07/26/11 Oritani Financial Corp DE 2.02,9.01 07/25/11 OWENS & MINOR INC/VA/ VA 2.02,9.01 07/25/11 PACCAR INC DE 2.02,9.01 07/26/11 PANERA BREAD CO DE 2.02,7.01,9.01 07/26/11 PARAMETRIC TECHNOLOGY CORP MA 2.02,9.01 07/26/11 Patriot Coal CORP DE 2.02,9.01 07/26/11 PediatRx Inc. NV 2.02,9.01 07/26/11 PediatRx Inc. NV 8.01,9.01 07/25/11 PENNSYLVANIA REAL ESTATE INVESTMENT T PA 5.02,9.01 07/20/11 PENSKE AUTOMOTIVE GROUP, INC. DE 8.01,9.01 07/26/11 PENTAIR INC MN 2.02,9.01 07/26/11 PEOPLES BANCORP INC OH 2.02,9.01 07/26/11 PERVASIVE SOFTWARE INC DE 2.02,9.01 07/26/11 PFF BANCORP INC DE 8.01,9.01 07/18/11 PHARMACEUTICAL PRODUCT DEVELOPMENT IN NC 2.02,9.01 07/26/11 POWERWAVE TECHNOLOGIES INC DE 1.01 07/20/11 PRECISION OPTICS CORPORATION INC MA 1.01,9.01 07/20/11 PRGX GLOBAL, INC. GA 2.02,9.01 07/25/11 PRIVATEBANCORP, INC DE 2.02,9.01 07/26/11 PROFILE TECHNOLOGIES INC DE 7.01,9.01 07/22/11 PROSPECT MEDICAL HOLDINGS INC DE 8.01,9.01 07/22/11 PROVIDENT FINANCIAL HOLDINGS INC DE 5.02 07/21/11 PROVIDENT NEW YORK BANCORP DE 2.02,9.01 07/25/11 Pzena Investment Management, Inc. DE 2.02,9.01 06/30/11 QUANTUM SOLAR POWER CORP. 5.02 07/22/11 RADIOSHACK CORP DE 8.01,9.01 06/30/11 RAMCO GERSHENSON PROPERTIES TRUST MD 2.02,7.01,9.01 07/26/11 RANGE RESOURCES CORP DE 2.02,9.01 07/25/11 Raptor Pharmaceutical Corp DE 8.01,9.01 07/25/11 RCM TECHNOLOGIES INC NV 1.01,2.03 07/21/11 RDA Holding Co. 1.01,5.02 07/20/11 RECOVERY ENERGY, INC. NV 4.02 07/25/11 Regency Energy Partners LP DE 7.01,8.01,9.01 07/26/11 REGIONS FINANCIAL CORP DE 2.02,7.01,9.01 07/26/11 RENAISSANCERE HOLDINGS LTD D0 2.02,9.01 07/26/11 RENT A CENTER INC DE 2.02,9.01 07/25/11 Resource Real Estate Opportunity REIT MD 7.01 07/21/11 RF MICRO DEVICES INC NC 2.02,9.01 07/26/11 Rock-Tenn CO GA 5.02 07/26/11 ROCKY BRANDS, INC. OH 2.02,9.01 07/26/11 Rosetta Resources Inc. DE 7.01,9.01 07/26/11 ROWAN COMPANIES INC DE 7.01,9.01 07/26/11 RUSH ENTERPRISES INC \TX\ TX 2.02,9.01 07/26/11 S&T BANCORP INC PA 8.01,9.01 07/25/11 SALEM COMMUNICATIONS CORP /DE/ DE 5.02 07/20/11 SCIENTIFIC GAMES CORP DE 5.02,9.01 07/20/11 SCOLR Pharma, Inc. DE 2.02,9.01 07/26/11 Seneca Foods Corp NY 1.01,2.03,9.01 07/20/11 SERACARE LIFE SCIENCES INC 2.02,5.02,9.01 07/25/11 SIGMA ALDRICH CORP DE 2.02,7.01,9.01 07/26/11 SIGMATRON INTERNATIONAL INC DE 5.02 07/26/11 SILVER HORN MINING LTD. DE 8.01,9.01 07/26/11 SIMON PROPERTY GROUP INC /DE/ DE 2.02,7.01,9.01 07/26/11 SOCKET MOBILE, INC. DE 2.02,9.01 06/30/11 SOLUTIA INC DE 2.02,9.01 07/25/11 SONIC AUTOMOTIVE INC DE 2.02,7.01,9.01 07/26/11 SOUTHERN CO DE 2.04,8.01 07/20/11 SOUTHERN FIRST BANCSHARES INC SC 2.02,9.01 07/26/11 SOUTHERN MISSOURI BANCORP INC MO 1.01,3.02,3.03,5.02,07/19/11 5.03,8.01,9.01 SOUTHWEST BANCORP INC OK 2.02,7.01,9.01 07/25/11 SPARTAN MOTORS INC MI 2.02,9.01 07/26/11 SRA INTERNATIONAL INC DE 1.01,1.02,2.03,3.01,07/20/11 3.03,5.01,5.02,5.03, 9.01 STRATS SM TRUST FOR Goldman Sachs Cap 8.01,9.01 07/15/11 STRATS SM TRUST FOR GOLDMAN SACHS GRO 8.01,9.01 07/15/11 STRATS SM TRUST FOR JPMORGAN CHASE & 8.01,9.01 07/15/11 STRATS SM TRUST FOR WAL-MART STORES, 8.01,9.01 07/15/11 STRATS(SM) TRUST FOR DOMINION RESOURC 8.01,9.01 07/15/11 STRATS(SM) TRUST FOR GEN ELEC CAP COR 8.01,9.01 07/15/11 STRATS(SM) Trust For Goldman Sachs Ca 8.01,9.01 07/15/11 STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 07/15/11 STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 07/15/11 STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 07/15/11 STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 07/15/11 STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 07/15/11 SUN BANCORP INC /NJ/ NJ 2.02,9.01 06/30/11 SunCoke Energy, Inc. 8.01,9.01 07/20/11 SUPERGEN INC DE 2.01,3.02,5.02,5.03,07/20/11 9.01 SUPERTEX INC CA 2.02,9.01 07/26/11 Surge Global Energy, Inc. DE 5.02,9.01 07/25/11 AMEND SUSSEX BANCORP NJ 2.02,5.02,9.01 07/20/11 SVB FINANCIAL GROUP 7.01,9.01 07/26/11 SYMANTEC CORP DE 7.01,9.01 07/26/11 SYNALLOY CORP DE 2.02,9.01 07/26/11 TEAM INC TX 1.01,2.02,9.01 07/26/11 TELLABS INC DE 2.02,2.05,9.01 07/25/11 TEMPUR PEDIC INTERNATIONAL INC DE 2.02,7.01,9.01 07/26/11 TENNECO INC DE 5.07 05/18/11 AMEND TII NETWORK TECHNOLOGIES, INC. DE 4.01,9.01 07/22/11 TIMBERLAND CO DE 5.07,8.01 07/15/11 TMST, Inc. MD 7.01,9.01 07/25/11 TOTAL SYSTEM SERVICES INC GA 2.02,7.01,9.01 07/26/11 Transfer Technology International Cor DE 3.02,8.01 07/25/11 TRI COUNTY FINANCIAL CORP /MD/ MD 2.02,9.01 07/22/11 TRIDENT MICROSYSTEMS INC DE 5.02,9.01 07/20/11 TRUSTMARK CORP MS 2.02,9.01 07/26/11 Tsingda eEDU Corp E9 1.01,3.02,9.01 07/12/11 Under Armour, Inc. MD 2.02,9.01 07/26/11 UNITED FIRE & CASUALTY CO IA 2.02,9.01 07/26/11 UNITED STATIONERS INC DE 2.02,9.01 07/25/11 Urban Barns Foods Inc. NV 3.02,9.01 07/22/11 US CONCRETE INC DE 5.02,9.01 07/26/11 USA TECHNOLOGIES INC PA 2.02,9.01 07/26/11 USANA HEALTH SCIENCES INC UT 2.02,9.01 07/26/11 UTAH MEDICAL PRODUCTS INC UT 2.02 07/26/11 VALERO ENERGY CORP/TX DE 2.02,9.01 07/26/11 VICOR CORP DE 2.02,9.01 07/26/11 Vicor Technologies, Inc. DE 1.01,9.01 07/22/11 ViewPoint Financial Group Inc. MD 5.02,8.01,9.01 07/21/11 VIST FINANCIAL CORP PA 2.02,9.01 07/26/11 Vocus, Inc. DE 2.02,9.01 07/26/11 W R GRACE & CO DE 2.02,9.01 07/26/11 WADDELL & REED FINANCIAL INC DE 2.02,9.01 07/26/11 Warner Music Group Corp. DE 1.01,1.02,2.03,5.02,07/20/11 5.03,8.01,9.01 WATERS CORP /DE/ DE 2.02,9.01 07/26/11 WATSCO INC FL 2.02,7.01,9.01 07/26/11 WATSON PHARMACEUTICALS INC NV 2.02,9.01 07/26/11 Waxess Holdings, Inc. DE 5.03,5.07,9.01 07/21/11 Weatherford International Ltd./Switze V8 2.02,7.01,9.01 07/26/11 WEBSENSE INC DE 2.02,9.01 07/26/11 WELLS REAL ESTATE FUND XIV LP GA 2.01,9.01 07/21/11 WESBANCO INC WV 2.02,7.01,9.01 07/26/11 WEST SUBURBAN BANCORP INC IL 1.01,1.02,5.02,9.01 07/20/11 WESTERN PLAINS ENERGY LLC KS 8.01 07/22/11 Western Union CO DE 2.02,7.01,9.01 07/26/11 WESTINGHOUSE AIR BRAKE TECHNOLOGIES C DE 2.02,8.01,9.01 07/26/11 World Surveillance Group Inc. DE 7.01,9.01 07/26/11 WVS FINANCIAL CORP PA 8.01,9.01 07/26/11 YELLOW7, Inc TX 8.01,9.01 07/08/11 Zevotek, Inc DE 8.01 07/19/11 ZIX CORP TX 2.02,9.01 07/26/11 ZIX CORP TX 5.02,9.01 07/21/11 ZIX CORP TX 5.02 07/21/11 ZORAN CORP \DE\ DE 2.02,9.01 07/26/11
http://www.sec.gov/news/digest/2011/dig072711.htm
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