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Enforcement ProceedingsSecurities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Eleven Public Companies for Failure to Make Required Periodic FilingsOn August 10, 2011, 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 eleven companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the eleven 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. 34-65096; File No. 3-14502) Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Six Public Companies for Failure to Make Required Periodic FilingsOn August 10, 2011, the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of six companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the six issuers are delinquent in their required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the Administrative Law Judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 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. 34-65097; File No. 3-14503) SEC Charges New York Businessman and Two Houston-Area Firms With Conducting a Fraudulent $10 Million Note OfferingOn August 10, 2011, the Securities and Exchange Commission filed suit in the United States District Court for the Southern District of Texas against Damian Omar Valdez of New York and two Houston-area firms he controlled, Evolution Capital Advisors (Evolution Capital) and Evolution Investment Group I (EIGI). Evolution Capital was an investment adviser registered with the Commission until June 2010. The firms and Valdez raised at least than $10 million from more than 80 investors through two fraudulent note offerings. The Commission alleges that, in the offerings, Valdez, Evolution Capital, and EIGI falsely promised that the notes were safe and secured by assets guaranteed by the United States government. The defendants also falsely promised that they would use leverage to purchase the assets securing the notes. In fact, according to the Commission’s complaint, the assets securing the notes were subject to significant, undisclosed default and prepayment risk. Moreover, the defendants never obtained leverage to purchase the assets. The Commission further alleges that the defendants paid themselves more than $2.4 million in fees and expenses and used approximately $2.7 million from the second note offering to make Ponzi-like payments to investors in the first note offering. As a result of defaults and prepayments on the underlying assets, the failure to obtain leverage, and the excessive Ponzi-like payments and fees, the Commission alleges that the defendants do not have sufficient assets to repay investors in accordance with the notes. The complaint alleges that Evolution Capital and EIGI violated the anti-fraud provisions of Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The complaint also alleges that Valdez and Evolution Capital aided and abetted the violations and that Valdez is liable as the control person for the firms. The complaint further alleges that Valdez and Evolution Capital violated Sections 206(1) and 206(2) of the Investment Advisers Act of 1940. The complaint requests permanent injunctions, disgorgement of ill-gotten gains plus prejudgment interest, and civil penalties against the Defendants. In addition, the Commission has filed a motion asking the Court to issue an asset freeze, appoint a receiver to collect, marshal, manage and distribute these assets for the benefit of investors, and to enter a preliminary injunction. [SEC v. Evolution Capital Advisors, et al., Civ. Action No. 4:11-cv-02945 (United States District Court for the Southern District of Texas, Houston Division)] (LR-22065) SEC Charges Former Investment Fund Associate With Insider TradingThe Securities and Exchange Commission today charged Toby G. Scammell, age 26, who reaped illegal profits of over $192,000 from insider trading after he learned from his girlfriend about the impending acquisition of Marvel Entertainment, Inc. by the Walt Disney Company. The SEC charged Scammell with insider trading in its complaint filed in the United States District Court for the Central District of California and has alleged that Scammell purchased highly speculative Marvel call options for less than $5500. After the August 31, 2009 announcement that Marvel would be acquired by Disney, Marvel’s stock price increased over 25% and Scammell sold the Marvel options for a profit of more than $192,000 — a 3000% return in less than one month. The SEC alleges that Scammell’s girlfriend worked on the Marvel acquisition while she was an extern in the Disney corporate strategy department. According to the complaint, Scammell’s girlfriend learned confidential information about the deal, including that Disney would pay $50 per share for Marvel and that the deal would be announced by Labor Day. Scammell purchased Marvel call options with strike prices of $50 and $45 even though Marvel had never traded above $41.74. The SEC alleges that most of the Marvel options Scammell purchased were set to expire on September 19, 2009, just a few weeks after Disney announced it would acquire Marvel. The complaint states that Scammell’s trades were so unusual that his purchase of options represented 100% of the market in many instances. At the time he purchased the Marvel call options, Scammell worked as an associate at an investment fund in Northern California, according to the complaint. The SEC also alleges that just before he purchased many of the Marvel securities, Scammell searched the internet for the terms “insider trading,” “material, non-public information,” and “Rule 10b-5.” According to the complaint, Scammell secretly used his brother’s money to purchase the majority of the Marvel call options. The SEC alleges that Scammell’s brother gave him authority to manage his finances when he was deployed to serve in Iraq with the U.S. Army and this arrangement continued when Scammell’s brother returned to the United States. However, Scammell never told his brother that he had invested his money in Marvel or that his brother’s account had increased by more than $100,000 in less than one month as a result of the Marvel trades, according to the complaint. The SEC’s complaint alleges that Scammell violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The SEC seeks a permanent injunction, disgorgement of ill-gotten gains with prejudgment interest, and civil penalties. The SEC’s investigation is ongoing. [SEC v. Toby G. Scammell, United States District Court for the Central District of California, Civil Action No. CV11-6597-DSF (MRWx)](LR-22066) Investment Company Act ReleasesPax World Funds Series Trust I, et al.A notice has been issued giving interested persons until September 6, 2011, to request a hearing on an application filed by Pax World Funds Series Trust I, et al., for an order exempting applicants from Section 15(a) of the Investment Company Act and Rule 18f-2 under the Act. The order would permit the applicants to enter into and materially amend subadvisory agreements without shareholder approval and would grant relief from certain disclosure requirements. (Rel. IC-29751 – August 10) Self-Regulatory OrganizationsImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by the Chicago Board Options Exchange (SR-CBOE-2011-076) related to the extension of the CBSX individual stock trading pause pilot program 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 August 15. (Rel. 34-65070) A proposed rule change filed by the Financial Industry Regulatory Authority (SR-FINRA-2011-038) to extend the effective date of the trading pause pilot 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 August 15. (Rel. 34-65071) A proposed rule change filed by the International Securities Exchange (SR-ISE-2011-52) to amend ISE Rule 2102 to extend the pilot program 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 August 15. (Rel. 34-65072) A proposed rule change filed by EDGX Exchange to amend EDGX Rule 11.13 to extend the operation of a pilot program pursuant to the rule until January 31, 2012 (SR-EDGX-2011-24) has become immediately 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 August 15. (Rel. 34-65073) A proposed rule change filed by EDGA Exchange to amend EDGA Rule 11.13 to extend the operation of a pilot program pursuant to the rule until January 31, 2012 (SR-EDGA-2011-25) has become immediately 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 August 15. (Rel. 34-65074) A proposed rule change filed by Financial Industry Regulatory Authority to extend the pilot period of amendments to FINRA Rule 11892 governing clearly erroneous transactions (SR-FINRA-2011-037) has become immediately 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 August 15. (Rel. 34-65075) A proposed rule change filed by BATS Exchange (SR-BATS-2011-024) related to fees for use of BATS Exchange, Inc. 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 August 15. (Rel. 34-65076) A proposed rule change filed by BATS Y-Exchange to extend pilot program related to clearly erroneous execution reviews (SR-BYX-2011-017) has become immediately 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 August 15. (Rel. 34-65077) A proposed rule change filed by Chicago Stock Exchange to extend the pilot program relating to clearly erroneous transactions (SR-CHX-2011-24) has become immediately 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 August 15. (Rel. 34-65078) A proposed rule change filed by BATS Exchange to extend pilot program related to clearly erroneous execution reviews (SR-BATS-2011-026) has become immediately 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 August 15. (Rel. 34-65079) A proposed rule change filed by Chicago Stock Exchange (SR-CHX-2011-23) to extend the pilot program relating to individual securities circuit breakers 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 August 15. (Rel. 34-65080) A proposed rule change filed by BATS Exchange (SR-BATS-2011-027) to extend the pilot program related to trading pauses due to extraordinary market volatility 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 August 15. (Rel. 34-65081) A proposed rule change filed by BATS Y-Exchange (SR-BYX-2011-018) to extend the pilot program related to trading pauses due to extraordinary market volatility 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 August 15. (Rel. 34-65082) A proposed rule change filed by NASDAQ OMX PHLX (SR-Phlx-2011-113) to extend the pilot period of the trading pause for NMS Stocks 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 August 15. (Rel. 34-65083) A proposed rule change filed by the International Securities Exchange relating to fees and rebates for certain complex orders (SR-ISE-2011-49) 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 August 15. (Rel. 34-65084) A proposed rule change filed by BATS Exchange related to fees for use of BATS Exchange, Inc. (SR-BATS-2011-025) 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 August 15. (Rel. 34-65085) A proposed rule change filed by the Financial Industry Regulatory Authority (SR-FINRA-2011-036) to increase the position limit for options on the Standard and Poor’s Depositary Receipts Trust 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 August 15. (Rel. 34-65086) A proposed rule change filed by the International Securities Exchange (SR-ISE-2011-47) to adopt tier-based rebates for Qualified Contingent Cross orders and Solicitation orders 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 August 15. (Rel. 34-65087) A proposed rule change filed by NYSE Arca (SR-NYSEArca-2011-55) amending NYSE Arca Equities Rule 7.11, which provides for trading pauses in individual securities due to extraordinary market volatility, to extend the pilot until January 31, 2012 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 August 15. (Rel. 34-65088) A proposed rule change filed by NYSE Amex (SR-NYSEAmex-2011-57) amending NYSE Amex Equities Rule 80C, which provides for trading pauses in individual securities due to extraordinary market volatility, to extend the pilot until January 31, 2012 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 August 15. (Rel. 34-65089) A proposed rule change filed by New York Stock Exchange (SR-NYSE-2011-40) amending NYSE Rule 80C, which provides for trading pauses in individual securities due to extraordinary market volatility, to extend the pilot until January 31, 2012 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 August 15. (Rel. 34-65090) A proposed rule change filed by EDGA Exchange (SR-EDGA-2011-24) amending EDGA Rule 11.14 to extend the operation of the single stock circuit breaker pilot program until January 31, 2012 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 August 15. (Rel. 34-65091) A proposed rule change filed by EDGX Exchange (SR-EDGX-2011-23) amending EDGX Rule 11.14 to extend the operation of the single stock circuit breaker pilot program until January 31, 2012 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 August 15. (Rel. 34-65092) A proposed rule change filed by NASDAQ OMX BX (SR-BX-2011-055) to extend the pilot period of the trading pause for NMS Stocks 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 August 15. (Rel. 34-65093) A proposed rule change filed by The NASDAQ Stock Market (SR-NASDAQ-2011-115) to extend the pilot period of the trading pause for NMS Stocks 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 August 15. (Rel. 34-65094) A proposed rule change filed by the National Stock Exchange (SR-NSX-2011-08) to amend its rules to extend pilot program regarding trading pauses in individual securities due to extraordinary market volatility 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 August 15. (Rel. 34-65095) A proposed rule change filed by the Chicago Board Options Exchange to amend the CBOE Stock Exchange fees schedule to waive the trading permit holder application fee on the CBOE Stock Exchange for the month of August 2011 (SR-CBOE-2011-070) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. (Rel. 34-65057) 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 FelCor Lodging Trust Inc, 545 E JOHN CARPENTER FREEWAY, SUITE 1300, IRVING, TX, 75062, 9724444900 - 3,200,000 ($10,496,000.00) Equity, (File 333-176193 - Aug. 10) (BR. 08B) S-8 WALT DISNEY CO/, 500 SOUTH BUENA VISTA ST, BURBANK, CA, 91521, 8185601000 - 0 ($8,222,958,572.40) Equity, (File 333-176194 - Aug. 10) (BR. 05C) S-1 TECHNEST HOLDINGS INC, 10411 MOTOR CITY DRIVE, #650, BETHESDA, MD, 20817, 301-767-2810 - 18,300,000 ($915,000.00) Equity, (File 333-176195 - Aug. 10) (BR. 10C) S-8 CYBEROPTICS CORP, 5900 GOLDEN HILLS DR, MINNEAPOLIS, MN, 55416, 6125425000 - 150,000 ($1,260,000.00) Equity, (File 333-176196 - Aug. 10) (BR. 10A) S-3 TELULAR CORP, 311 SOUTH WACKER DRIVE, SUITE 4300, CHICAGO, IL, 60606, 3123798397 - 0 ($35,000,000.00) Equity, (File 333-176197 - Aug. 10) (BR. 11C) S-8 TELULAR CORP, 311 SOUTH WACKER DRIVE, SUITE 4300, CHICAGO, IL, 60606, 3123798397 - 350,000 ($2,304,750.00) Equity, (File 333-176198 - Aug. 10) (BR. 11C) S-8 DTS, INC., 5220 LAS VIRGENES ROAD, CALABASAS, CA, 91302, 818 436-1000 - 0 ($22,796,800.00) Equity, (File 333-176199 - Aug. 10) (BR. 11C) S-8 ST JUDE MEDICAL INC, ONE ST JUDE MEDICAL DRIVE, ST PAUL, MN, 55117, 6517562000 - 20,000,000 ($846,600,000.00) Equity, (File 333-176200 - Aug. 10) (BR. 10C) S-8 CARMIKE CINEMAS INC, 1301 FIRST AVE, COLUMBUS, GA, 31901, 7065763400 - 0 ($8,736,000.00) Equity, (File 333-176201 - Aug. 10) (BR. 05B) S-8 FNB CORP/FL/, F.N.B. CORPORATION, ONE F.N.B. BOULEVARD, HERMITAGE, PA, 16148, 724-981-6000 - 900,000 ($8,842,500.00) Equity, (File 333-176202 - Aug. 10) (BR. 07A) S-8 Morningstar, Inc., 22 WEST WASHINGTON STREET, CHICAGO, IL, 60602, (312) 696-6000 - 0 ($409,496,360.00) Equity, (File 333-176203 - Aug. 10) (BR. 06B) S-8 PROGENICS PHARMACEUTICALS INC, 777 OLD SAW MILL RIVER ROAD, TARRYTOWN, NY, 10591, 9147892800 - 2,000,000 ($10,720,000.00) Equity, (File 333-176204 - Aug. 10) (BR. 01B) S-8 Valeant Pharmaceuticals International, Inc., 7150 MISSISSAUGA ROAD, MISSISSAUGA, ONTARIO, A6, 00000, 905 286-3000 - 10,500,000 ($397,005,000.00) Equity, (File 333-176205 - Aug. 10) (BR. 01C) S-8 UNICO AMERICAN CORP, 23251 MULHOLLAND DR, WOODLAND HILLS, CA, 91364, 8185919800 - 200,000 ($2,047,000.00) Equity, (File 333-176206 - Aug. 10) (BR. 01C) S-8 CEVA INC, 1943 LANDINGS DRIVE, MOUNTAIN VIEW, CA, 94043, 650-417-7900 - 2,436,907 ($65,260,369.46) Equity, (File 333-176207 - Aug. 10) (BR. 10A) S-8 Bancorp, Inc., 302-385-5000 - 1,400,000 ($10,934,000.00) Equity, (File 333-176208 - Aug. 10) (BR. 07C) S-3 SCICLONE PHARMACEUTICALS INC, 950 TOWER LANE, SUITE 900, FOSTER CITY, CA, 94404-2125, 650-358-3456 - 8,298,110 ($50,950,395.40) Equity, (File 333-176209 - Aug. 10) (BR. 01C) S-8 ACCELRYS, INC., 10188 TELESIS COURT, SUITE 100, SAN DIEGO, CA, 92121-3752, (858) 799-5000 - 0 ($150,760,675.52) Equity, (File 333-176210 - Aug. 10) (BR. 03C) S-8 HARMONIC INC, 549 BALTIC WAY, SUNNYVALE, CA, 94089, 4085422500 - 0 ($11,040,000.00) Equity, (File 333-176211 - Aug. 10) (BR. 11C) S-8 ACADIA PHARMACEUTICALS INC, 3911 SORRENTO VALLEY BLVD, SAN DIEGO, CA, 92121, 858-558-2871 - 0 ($201,000.00) Equity, (File 333-176212 - Aug. 10) (BR. 01B) S-8 PHYSICIANS FORMULA HOLDINGS, INC., 1055 WEST 8TH STREET, AZUSA, CA, 91702, 626-334-3395 - 0 ($788,200.00) Equity, (File 333-176214 - Aug. 10) (BR. 06A) S-8 GENVEC INC, 65 W WATKINS MILL RD, GAITHERSBURG, MD, 20878, 2406320740 - 812,000 ($1,737,680.00) Equity, (File 333-176215 - Aug. 10) (BR. 01A) S-8 SANDISK CORP, 601 MCCARTHY BLVD., MILPITAS, CA, 95035, 4088011000 - 14,441,523 ($530,148,309.33) Equity, (File 333-176217 - Aug. 10) (BR. 03B) S-3ASR NEWFIELD EXPLORATION CO /DE/, 363 NORTH SAM HOUSTON PARKWAY EAST, SUITE 100, HOUSTON, TX, 77060, 281-847-6000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-176218 - Aug. 10) (BR. 04B) S-8 CBIZ, Inc., 6050 OAK TREE BOULEVARD, SOUTH, SUITE 500, CLEVELAND, OH, 44131, 2164479000 - 1,000,000 ($6,590,000.00) Equity, (File 333-176219 - Aug. 10) (BR. 03A) S-4 BRIGHAM EXPLORATION CO, 6300 BRIDGE POINT PARKWAY, BLDG 2 SUITE 500, AUSTIN, TX, 78730, 5124273300 - 0 ($300,000,000.01) Non-Convertible Debt, (File 333-176220 - Aug. 10) (BR. 04A) S-8 BTU INTERNATIONAL INC, 23 ESQUIRE ROAD, NORTH BILLERICA, MA, 01862, 5086674111 - 600,000 ($3,270,000.00) Equity, (File 333-176221 - Aug. 10) (BR. 10A) S-8 IF Bancorp, Inc., 201 E. CHERRY ST, WATSEKA, IL, 60970, (815) 432-2476 - 0 ($1.00) Equity, (File 333-176222 - Aug. 10) (BR. 07) 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 1st Century Bancshares, Inc. DE 2.02,9.01 06/30/11 3M CO DE 1.01,2.03,9.01 08/05/11 AbitibiBowater Inc. DE 2.02,9.01 08/10/11 ACADIA PHARMACEUTICALS INC DE 2.02,9.01 08/10/11 Accretive Health, Inc. DE 2.02,9.01 08/10/11 ACORDA THERAPEUTICS INC 8.01,9.01 08/10/11 ACTIVE NETWORK INC DE 2.02,9.01 08/10/11 ADOLOR CORP 8.01,9.01 08/10/11 ADVANCE AUTO PARTS INC DE 2.02,9.01 08/10/11 ADVANCED ENERGY INDUSTRIES INC DE 5.02,8.01,9.01 08/08/11 ADVENTRX PHARMACEUTICALS INC DE 8.01,9.01 08/09/11 ADVOCAT INC DE 7.01,9.01 08/10/11 AeroGrow International, Inc. NV 1.02 08/05/11 Affinia Group Intermediate Holdings I DE 2.02,9.01 08/10/11 Air Transport Services Group, Inc. DE 2.02,7.01,9.01 08/10/11 AirTouch Communications, Inc. DE 1.01,3.02,9.01 08/05/11 ALIGN TECHNOLOGY INC DE 1.01 08/04/11 ALLIANCEBERNSTEIN HOLDING L.P. DE 7.01,9.01 08/09/11 ALLIANCEBERNSTEIN L.P. DE 7.01,9.01 08/09/11 ALPHA & OMEGA SEMICONDUCTOR Ltd 2.02,9.01 08/10/11 Alpha Natural Resources, Inc. DE 8.01 08/10/11 ALTAIR NANOTECHNOLOGIES INC Z4 5.02 08/04/11 AMARIN CORP PLC\UK X0 8.01,9.01 08/10/11 Ameresco, Inc. DE 2.02,9.01 08/10/11 AMERICAN DG ENERGY INC DE 2.02,9.01 08/10/11 AMERICAN ELECTRIC POWER CO INC NY 7.01 08/10/11 AMERICAN INDEPENDENCE CORP DE 2.02,9.01 06/30/11 AMERICAN ORIENTAL BIOENGINEERING INC CO 2.02,9.01 08/09/11 American Realty Capital Trust III, In MD 8.01,9.01 08/10/11 AMERIGON INC MI 2.02,9.01 08/09/11 ANCHOR BANCORP WISCONSIN INC WI 5.07 08/04/11 ante5, Inc. DE 1.01,5.02,9.01 08/04/11 APRIA HEALTHCARE GROUP INC DE 2.02,9.01 08/10/11 ARADIGM CORP CA 2.02,9.01 08/09/11 ARDEN GROUP INC DE 2.02,9.01 08/10/11 ARROW ELECTRONICS INC NY 8.01,9.01 08/08/11 ASTROTECH Corp \WA\ WA 3.03,9.01 08/10/11 ASURE SOFTWARE INC DE 2.02,9.01 08/10/11 ATHERSYS, INC / NEW DE 2.02,9.01 08/10/11 Atlas Capital Holdings, Inc. NV 8.01,9.01 08/10/11 AUBURN NATIONAL BANCORPORATION INC DE 8.01,9.01 08/09/11 AUTOMATIC DATA PROCESSING INC DE 5.02 08/10/11 AVNET INC NY 2.02,8.01,9.01 08/10/11 BALLANTYNE STRONG, INC. DE 2.02,9.01 08/08/11 Bank of New York Mellon CORP DE 8.01,9.01 08/10/11 BASIC ENERGY SERVICES INC 2.03,8.01,9.01 08/05/11 BEMIS CO INC MO 5.02,9.01 08/05/11 Bio-Carbon Systems International Inc. NV 5.02 08/06/11 BIOJECT MEDICAL TECHNOLOGIES INC OR 2.02,9.01 08/10/11 BIOLASE TECHNOLOGY INC DE 2.02,8.01,9.01 08/10/11 BioScrip, Inc. DE 2.02,5.02 08/04/11 BIOTIME INC CA 2.02,9.01 08/09/11 Bohai Pharmaceuticals Group, Inc. NV 1.01,2.01,9.01 08/08/11 BOTETOURT BANKSHARES INC VA 2.02,9.01 08/10/11 Bristow Group Inc DE 7.01,9.01 08/09/11 AMEND BROADVIEW NETWORKS HOLDINGS INC DE 8.01,9.01 08/09/11 CABLEVISION SYSTEMS CORP /NY DE 2.02,9.01 08/09/11 CALIFORNIA GOLD CORP. NH 8.01,9.01 08/04/11 CAMDEN PROPERTY TRUST TX 5.02,9.01 08/09/11 CAPITAL ONE FINANCIAL CORP DE 7.01,8.01,9.01 08/10/11 CAPITAL ONE FINANCIAL CORP DE 7.01,9.01 08/10/11 AMEND CARBONICS CAPITAL CORP DE 2.01,2.03,3.02,5.01, 08/17/10 AMEND 5.02,9.01 Cardiovascular Systems Inc DE 5.02 08/04/11 CAS MEDICAL SYSTEMS INC DE 2.02,9.01 08/10/11 CASUAL MALE RETAIL GROUP INC DE 5.07 08/04/11 Ceelox Inc. NV 1.02,2.01,5.07,9.01 08/09/11 CENTRAL VERMONT PUBLIC SERVICE CORP VT 7.01 08/10/11 CFS BANCORP INC IN 7.01,9.01 08/09/11 CH2M HILL COMPANIES LTD DE 8.01 08/10/11 CHESAPEAKE MIDSTREAM PARTNERS LP DE 2.02,9.01 08/09/11 CHICAGO RIVET & MACHINE CO IL 2.02,9.01 08/09/11 China Information Technology, Inc. 2.02,9.01 08/10/11 CHINA VALVES TECHNOLOGY, INC NV 2.02,7.01,9.01 08/09/11 China Youth Media, Inc. DE 5.02,7.01,9.01 06/21/11 AMEND CISCO SYSTEMS INC CA 2.02 08/10/11 CIT GROUP INC DE 5.02,9.01 08/05/11 CLEAN WIND ENERGY TOWER, INC. NV 1.01,2.03,3.02,9.01 08/08/11 Cleantech Solutions International, In DE 7.01,9.01 08/08/11 Clearwire Corp /DE DE 5.02,8.01,9.01 08/08/11 CLOUD PEAK ENERGY INC. DE 7.01,9.01 08/10/11 Coleman Cable, Inc. DE 1.01,9.01 08/04/11 Colt Defense LLC DE 5.02 08/10/11 CombiMatrix Corp DE 2.02,9.01 08/10/11 COMMUNICATIONS SYSTEMS INC MN 2.02,9.01 08/09/11 COMPUTER SCIENCES CORP NV 2.02,9.01 08/08/11 CONNECTICUT WATER SERVICE INC / CT CT 8.01,9.01 08/10/11 CONSOLIDATED WATER CO LTD E6 2.02,9.01 08/09/11 Converted Organics Inc. DE 1.01,2.03,9.01 08/10/11 CORE LABORATORIES N V P7 5.07 05/25/11 AMEND CORE MOLDING TECHNOLOGIES INC DE 2.02,9.01 08/10/11 Coronus Solar Inc. A1 1.01,7.01,9.01 08/09/11 CORVEL CORP DE 5.02,5.03,5.07,9.01 08/04/11 CPI AEROSTRUCTURES INC NY 2.02 08/10/11 CRACKER BARREL OLD COUNTRY STORE, INC TN 5.02,9.01 08/09/11 CRI HOTEL INCOME PARTNERS L P DE 1.02 08/10/11 DANAHER CORP /DE/ DE 2.01,9.01 06/24/11 AMEND DEERE & CO DE 7.01 08/10/11 DELCATH SYSTEMS INC DE 7.01,9.01 08/03/11 DELL INC DE 8.01 08/10/11 Denarii Resources Inc. NV 5.02,9.01 06/09/11 DIGAGOGO VENTURES CORP DE 1.01,2.01,2.03,3.02, 08/09/11 9.01 DIGAGOGO VENTURES CORP DE 5.02 08/09/11 DIGAGOGO VENTURES CORP DE 5.06,9.01 08/09/11 AMEND Douglas Lake Minerals Inc. NV 1.01,9.01 08/05/11 DSW Inc. OH 8.01,9.01 08/10/11 DTE ENERGY CO MI 2.02,9.01 08/10/11 E-Debit Global Corp. CO 8.01 08/09/11 EMMAUS HOLDINGS, INC. DE 5.02 08/04/11 EnerSys DE 2.02,5.07,7.01,9.01 08/04/11 ENTERPRISE PRODUCTS PARTNERS L P DE 8.01,9.01 08/09/11 EQUITY LIFESTYLE PROPERTIES INC MD 8.01 08/09/11 EVOLUTION PETROLEUM CORP NV 8.01,9.01 08/03/11 Eworld Interactive, Inc. FL 1.01,5.02,9.01 08/08/11 EXCO RESOURCES INC TX 5.02,9.01 08/04/11 EXOPACK HOLDING CORP 1.02,5.02,9.01 08/04/11 Explortex Energy Inc. NV 1.01,9.01 08/09/11 EXTREME NETWORKS INC DE 5.02 08/10/11 FARMERS NATIONAL BANC CORP /OH/ OH 8.01 08/09/11 FEDERAL AGRICULTURAL MORTGAGE CORP 2.02,9.01 08/09/11 FIELDPOINT PETROLEUM CORP CO 7.01,9.01 08/09/11 FIELDPOINT PETROLEUM CORP CO 7.01,9.01 08/10/11 FIRST BANCORP /NC/ NC 7.01,9.01 08/10/11 FIRST CAPITAL BANCORP, INC. VA 2.02,9.01 08/08/11 FIRST MIDWEST BANCORP INC DE 7.01,9.01 08/10/11 FORCE PROTECTION INC NV 5.02 08/05/11 Fortress International Group, Inc. DE 2.02,9.01 08/10/11 FUSION TELECOMMUNICATIONS INTERNATION DE 1.01,2.03,9.01 08/10/11 FUSION TELECOMMUNICATIONS INTERNATION DE 1.01,2.03,9.01 08/10/11 FutureFuel Corp. DE 2.02,9.01 08/09/11 FX ENERGY INC NV 7.01,9.01 08/10/11 FX ENERGY INC NV 1.01,9.01 08/09/11 GASCO ENERGY INC NV 2.02,9.01 08/09/11 GENESIS ENERGY LP DE 2.01,7.01,9.01 08/10/11 Genpact LTD D0 5.02,9.01 08/05/11 GeoMet, Inc. DE 2.02,9.01 08/10/11 GEORESOURCES INC CO 2.02,9.01 08/08/11 Gevo, Inc. DE 8.01 08/09/11 GLADSTONE CAPITAL CORP MD 1.01,9.01 08/09/11 Global Geophysical Services Inc DE 8.01,9.01 08/09/11 Global Telecom & Technology, Inc. DE 2.02,9.01 08/10/11 GOLDMAN SACHS GROUP INC DE 9.01 08/10/11 Graymark Healthcare, Inc. OK 2.02,9.01 08/10/11 GREAT SOUTHERN BANCORP INC MD 7.01 08/10/11 GUIDED THERAPEUTICS INC DE 7.01,9.01 08/10/11 HALLADOR ENERGY CO CO 5.02 08/09/11 HALLMARK FINANCIAL SERVICES INC NV 2.02,5.02,9.01 08/09/11 HANDY & HARMAN LTD. DE 2.02,9.01 08/10/11 HARMAN INTERNATIONAL INDUSTRIES INC / DE 2.02,7.01,9.01 08/10/11 HARRIS & HARRIS GROUP INC /NY/ NY 8.01,9.01 08/10/11 Hatteras Financial Corp 5.02 08/04/11 HAWKER BEECHCRAFT ACQUISITION CO LLC DE 5.02,9.01 08/09/11 Heelys, Inc. DE 2.02,9.01 08/10/11 HERBALIFE LTD. E9 5.02,9.01 08/04/11 HF FINANCIAL CORP DE 2.02,9.01 07/25/11 AMEND Hidden Ladder, Inc. FL 5.01,5.02,9.01 07/27/11 Hill International, Inc. DE 2.02,9.01 08/08/11 Homeowners Choice, Inc. FL 1.01 08/08/11 HONEYWELL INTERNATIONAL INC DE 5.02 08/04/11 HQ SUSTAINABLE MARITIME INDUSTRIES, I DE 3.01 06/24/11 AMEND HSBC Finance Corp 8.01,9.01 08/10/11 HSBC USA INC /MD/ MD 8.01,9.01 08/10/11 Hudson Pacific Properties, Inc. MD 2.02,7.01,9.01 08/10/11 IA GLOBAL INC DE 2.02 08/10/11 ICAGEN INC DE 2.02,9.01 08/10/11 ID SYSTEMS INC DE 2.02,9.01 08/10/11 Industrial Income Trust Inc. MD 1.01,2.01,2.03,9.01 08/04/11 INDUSTRIAL SERVICES OF AMERICA INC /F FL 2.02,9.01 08/09/11 INLAND WESTERN RETAIL REAL ESTATE TRU MD 8.01,9.01 08/10/11 Innovaro, Inc. 2.02,9.01 08/10/11 IntraLinks Holdings, Inc. DE 8.01 08/04/11 IntraLinks Holdings, Inc. DE 2.02,9.01 08/10/11 INTRICON CORP PA 2.02,7.01,9.01 08/10/11 INUVO, INC. NV 2.02,7.01,9.01 08/10/11 IRONCLAD PERFORMANCE WEAR CORP 2.02,7.01,9.01 08/10/11 ISTAR FINANCIAL INC MD 5.02 08/04/11 ISTAR FINANCIAL INC MD 5.07 06/01/11 AMEND J P MORGAN CHASE & CO DE 8.01,9.01 08/10/11 JACK IN THE BOX INC /NEW/ DE 2.02,9.01 08/10/11 JAMMIN JAVA CORP. 1.01,5.02,9.01 01/27/11 JEFFERSONVILLE BANCORP NY 2.02,8.01,9.01 08/10/11 JOHNSON OUTDOORS INC WI 2.02,9.01 08/10/11 KAMAN CORP CT 7.01,9.01 08/10/11 KELLY SERVICES INC DE 2.02,8.01,9.01 08/10/11 KEY ENERGY SERVICES INC MD 2.01,7.01,9.01 08/09/11 KEYW HOLDING CORP MD 2.01,9.01 08/05/11 KFORCE INC FL 5.07 06/21/11 AMEND KID BRANDS, INC NJ 1.01,1.02,2.03,9.01 08/08/11 Kips Bay Medical, Inc. DE 2.02,9.01 08/10/11 KOHLS Corp WI 5.02,9.01 08/10/11 KV PHARMACEUTICAL CO /DE/ DE 1.01,2.01,7.01,9.01 08/08/11 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 08/10/11 LAKELAND FINANCIAL CORP IN 5.02,9.01 08/10/11 LAKES ENTERTAINMENT INC MN 2.02,9.01 08/10/11 LEAR CORP DE 5.02,8.01,9.01 08/09/11 LEARNING TREE INTERNATIONAL INC DE 2.02,9.01 08/10/11 LIBERTY MEDIA CORP 2.02,8.01,9.01 08/09/11 LL&E ROYALTY TRUST TX 8.01,9.01 08/10/11 Macy's, Inc. DE 2.02,9.01 08/10/11 Madison Bancorp Inc MD 2.02,9.01 08/05/11 Maidenform Brands, Inc. DE 2.02,9.01 08/10/11 MANAGEMENT NETWORK GROUP INC 2.02,9.01 08/10/11 Manitex International, Inc. MI 2.02,9.01 08/10/11 MARKWEST ENERGY PARTNERS L P 5.02 08/05/11 Mattersight Corp DE 2.02,7.01,9.01 08/10/11 Max Cash Media Inc NV 3.02 08/01/11 MB FINANCIAL INC /MD 7.01 08/10/11 MCJUNKIN RED MAN HOLDING CORP DE 8.01,9.01 08/10/11 MEDCATH CORP DE 2.02,9.01 08/09/11 MEDCO HEALTH SOLUTIONS INC DE 8.01,9.01 08/10/11 Medical Care Technologies Inc. NV 1.01,3.02,9.01 08/04/11 MEDICIS PHARMACEUTICAL CORP DE 1.01 08/04/11 MEDNAX, INC. FL 5.02,9.01 08/07/11 MEDNAX, INC. FL 5.07 05/05/11 AMEND MERCURY GENERAL CORP CA 2.02,9.01 08/01/11 MESA LABORATORIES INC /CO CO 2.02,9.01 08/10/11 Midas Medici Group Holdings, Inc. 7.01,9.01 08/05/11 ML MACADAMIA ORCHARDS L P DE 2.02,9.01 08/10/11 Modern Mobility Aids, Inc. NV 1.01,9.01 08/04/11 MORGAN GROUP HOLDING CO 2.02,7.01,9.01 08/04/11 Mueller Water Products, Inc. DE 7.01,8.01,9.01 08/10/11 MultiPlayer Online Dragon, Inc. NV 7.01,9.01 08/09/11 NATIONAL PENN BANCSHARES INC PA 7.01,9.01 08/10/11 NEOPROBE CORP DE 8.01,9.01 08/10/11 Neutral Tandem Inc 5.07 05/25/11 AMEND NEWS CORP 2.02,9.01 08/10/11 NEWTEK BUSINESS SERVICES INC NY 2.02,7.01,9.01 08/10/11 NORCRAFT COMPANIES LP 2.02,9.01 08/10/11 NORTHERN STATES FINANCIAL CORP /DE/ DE 5.04,9.01 08/10/11 Northwest Bancshares, Inc. MD 8.01,9.01 08/10/11 Nova Lifestyle, Inc. NV 1.01,2.01,3.02,5.01, 06/27/11 AMEND 5.02,5.03,5.06,8.01, 9.01 NT MEDIA CORP OF CALIFORNIA INC DE 5.03,8.01,9.01 08/09/11 NuStar Energy L.P. DE 1.01,2.03,9.01 08/09/11 NUTRACEA CA 1.01,9.01 12/29/10 AMEND NYXIO TECHNOLOGIES Corp NV 5.02 08/09/11 Oilsands Quest Inc 8.01,9.01 08/10/11 OLD LINE BANCSHARES INC MD 2.02,9.01 08/10/11 Omnitek Engineering Corp CA 5.02 08/10/11 OMNOVA SOLUTIONS INC OH 7.01,9.01 08/10/11 Onstream Media CORP FL 8.01,9.01 08/09/11 OPEN TEXT CORP A6 2.02,9.01 08/10/11 OVERHILL FARMS INC NV 1.01 08/04/11 OXIGENE INC DE 2.02,9.01 08/10/11 Pacific Copper Corp. DE 5.02 08/10/11 PAR TECHNOLOGY CORP DE 2.02 08/10/11 PAREXEL INTERNATIONAL CORP MA 2.02,9.01 08/09/11 PARK CITY GROUP INC 2.02,8.01,9.01 08/10/11 PAWS Pet Company, Inc. IL 2.01,2.03,3.02,4.01, 08/13/10 AMEND 5.01,5.02,5.03,5.06, 9.01 PEABODY ENERGY CORP DE 7.01,9.01 08/10/11 Pegasi Energy Resources Corporation. NV 4.02 08/04/11 PENN VIRGINIA CORP VA 1.01,9.01 08/05/11 PEPSICO INC NC 8.01 08/08/11 PHARMACYCLICS INC DE 8.01,9.01 08/09/11 PHOTOTRON HOLDINGS, INC. DE 1.01,2.03,9.01 07/18/11 Pinnacle Foods Finance LLC DE 2.02,9.01 08/10/11 PINNACLE WEST CAPITAL CORP AZ 7.01,9.01 08/10/11 PMC COMMERCIAL TRUST /TX TX 2.02,9.01 08/09/11 POLO RALPH LAUREN CORP DE 2.02,9.01 08/10/11 PostRock Energy Corp DE 2.02,9.01 08/10/11 POWER EFFICIENCY CORP DE 5.02 08/04/11 POWERSECURE INTERNATIONAL, INC. DE 7.01,9.01 08/10/11 POWRTEC CORP DE 5.02,7.01,9.01 08/09/11 Premier Power Renewable Energy, Inc. DE 5.03,5.07,9.01 08/05/11 PRESSTEK INC /DE/ DE 2.02,9.01 08/10/11 Primo Water Corp DE 2.02,9.01 08/10/11 Primoris Services Corp DE 8.01,9.01 08/09/11 Primoris Services Corp DE 5.07 05/06/11 AMEND ProPhase Labs, Inc. NV 2.02,9.01 08/10/11 Puda Coal, Inc. 3.01,8.01,9.01 08/04/11 QCR HOLDINGS INC DE 8.01,9.01 08/10/11 Quad/Graphics, Inc. WI 2.02,9.01 08/09/11 QUESTAR CORP UT 5.07 08/10/11 AMEND QUINSTREET, INC DE 2.02,9.01 08/10/11 RADIO ONE, INC. DE 2.02,8.01,9.01 08/04/11 RadNet, Inc. DE 2.02,9.01 08/09/11 RAMTRON INTERNATIONAL CORP DE 8.01,9.01 08/10/11 READING INTERNATIONAL INC NV 2.02,9.01 08/04/11 READING INTERNATIONAL INC NV 8.01,9.01 08/04/11 Renewable Energy Group, Inc. 1.01,2.03,9.01 08/04/11 RENTECH INC /CO/ CO 2.02,9.01 08/09/11 RESPECT YOUR UNIVERSE, INC. NV 3.02 08/05/11 RigNet, Inc. DE 2.02,9.01 08/10/11 RPC INC DE 8.01,9.01 08/09/11 SANUWAVE Health, Inc. NV 2.02,9.01 08/10/11 SAVE THE WORLD AIR INC NV 3.02,9.01 07/31/11 SeaCube Container Leasing Ltd. 2.02,9.01 08/09/11 SecureAlert, Inc. UT 1.01,2.02,9.01 08/04/11 SERVICE CORPORATION INTERNATIONAL TX 7.01,9.01 08/10/11 Shengkai Innovations, Inc. FL 4.01,8.01,9.01 08/04/11 SIGMA ALDRICH CORP DE 5.07 05/03/11 AMEND SILVER BULL RESOURCES, INC. NV 1.01,5.02,8.01,9.01 08/04/11 SMTC CORP DE 2.02,9.01 08/09/11 SNYDER'S-LANCE, INC. NC 2.02,9.01 08/09/11 SOAPSTONE NETWORKS INC. DE 8.01 08/10/11 Solera National Bancorp, Inc. DE 7.01,9.01 08/10/11 SOUTHCOAST FINANCIAL CORP SC 2.02,9.01 08/05/11 SOUTHWESTERN PUBLIC SERVICE CO NM 8.01,9.01 08/10/11 Spirit Airlines, Inc. DE 8.01,9.01 08/10/11 STATER BROS HOLDINGS INC DE 2.02,9.01 08/09/11 Steadfast Income REIT, Inc. MD 2.02,9.01 08/10/11 STERLING CONSTRUCTION CO INC DE 2.02,9.01 08/08/11 STERLING CONSTRUCTION CO INC DE 5.07 05/06/11 AMEND STEWART ENTERPRISES INC LA 5.02,9.01 08/10/11 STRATEGIC HOTELS & RESORTS, INC 2.02,9.01 08/04/11 Strategic Mining Corp 4.01,5.02,9.01 08/04/11 STRATS (SM) TRUST FOR JPMORGAN CHASE 8.01,9.01 08/01/11 SUFFOLK BANCORP NY 2.02,8.01,9.01 08/10/11 SUN BANCORP INC /NJ/ NJ 1.01,3.02,9.01 08/10/11 SUNGARD CAPITAL CORP DE 1.01,9.01 08/04/11 SUNOCO INC PA 8.01,9.01 08/09/11 SunOpta Inc. 2.02,9.01 08/10/11 Sunstone Hotel Investors, Inc. MD 5.07 08/05/11 AMEND SUPERCONDUCTOR TECHNOLOGIES INC DE 1.01,2.02,9.01 08/09/11 Susser Holdings CORP DE 2.02,9.01 08/10/11 SYNTROLEUM CORP DE 8.01,9.01 08/09/11 TEAM HEALTH HOLDINGS INC. DE 5.02,9.01 08/09/11 TearLab Corp DE 2.02,9.01 08/10/11 Telanetix,Inc DE 1.01,9.01 08/05/11 TELOS CORP MD 2.02 08/10/11 TELOS CORP MD 7.01,9.01 08/10/11 TEREX CORP DE 1.01,8.01,9.01 08/05/11 Texas Rare Earth Resources Corp. NV 7.01,9.01 08/09/11 THERMO FISHER SCIENTIFIC INC. DE 8.01,9.01 08/09/11 TIAA REAL ESTATE ACCOUNT NY 7.01,9.01 08/10/11 TIER TECHNOLOGIES INC DE 8.01,9.01 08/10/11 TMS International Corp. DE 7.01,9.01 08/10/11 TOREADOR RESOURCES CORP DE 1.01,8.01,9.01 08/09/11 TORON INC. NV 5.02 08/05/11 TRANSATLANTIC PETROLEUM LTD. D0 2.02,5.02,7.01,9.01 08/04/11 TRANSATLANTIC PETROLEUM LTD. D0 7.01,9.01 08/04/11 AMEND TREDEGAR CORP VA 5.07 05/23/11 AMEND TRUSTMARK CORP MS 7.01,9.01 08/10/11 UIL HOLDINGS CORP CT 7.01,9.01 08/10/11 ULTRA PETROLEUM CORP 2.02,9.01 06/30/11 Uni-Pixel DE 8.01,9.01 08/10/11 VALERO ENERGY CORP/TX DE 7.01,9.01 08/10/11 VANTONE INTERNATIONAL GROUP, INC. NV 8.01,9.01 08/05/11 VERIFONE SYSTEMS, INC. DE 9.01 08/04/11 AMEND Vertro, Inc. DE 2.02,7.01 08/10/11 VISION SCIENCES INC /DE/ DE 2.02,9.01 08/10/11 VISION SCIENCES INC /DE/ DE 5.02,8.01,9.01 08/10/11 VISTA GOLD CORP B0 2.02,7.01 08/10/11 VISTAPRINT N.V. P7 5.02 08/08/11 VLOV INC. NV 8.01,9.01 08/10/11 VOLT INFORMATION SCIENCES, INC. NY 5.02,9.01 08/02/11 WARWICK VALLEY TELEPHONE CO NY 5.02 08/05/11 WEBMEDIABRANDS INC. DE 2.02,9.01 08/10/11 WEST PHARMACEUTICAL SERVICES INC PA 5.02 08/04/11 WILLIS GROUP HOLDINGS PLC L2 8.01,9.01 08/10/11 WINNER MEDICAL GROUP INC NV 2.02,9.01 08/10/11 WINTRUST FINANCIAL CORP IL 7.01,9.01 08/02/11 WORLD WRESTLING ENTERTAINMENTINC DE 5.02 08/05/11 WORLDGATE COMMUNICATIONS INC DE 5.02 08/05/11 XcelMobility Inc. NV 4.01,9.01 08/04/11 XENOPORT INC DE 8.01 08/09/11 XO GROUP INC. DE 8.01,9.01 08/09/11 Yongye International, Inc. NV 2.02,7.01,8.01,9.01 08/09/11 ZOGENIX, INC. DE 2.02,9.01 08/10/11
http://www.sec.gov/news/digest/2011/dig081111.htm
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