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Rules and Related MattersOrder Temporarily Exempting the Floor Broker Operations of Broker-Dealers With Market Access That Handle Orders on a Manual Basis From the Automated Controls Requirement of Rule 15c3-5(c)(1)(ii) and Rule 15c3-5(c)(2)The Commission issued an order temporarily exempting the floor broker operations of broker-dealers with market access that handle orders on a manual basis from the automated controls requirement of Rule 15c3-5(c)(1)(ii) and Rule 15c3-5(c)(2) under the Securities Exchange Act of 1934. This temporary exemption will be effective until November 30, 2011. Publication of the order is expected in the Federal Register during the week of August 15. (Rel. 34-65132) ENFORCEMENT PROCEEDINGSIn the Matter of Samaritan Pharmaceuticals, Inc., et al.An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default as to Five Respondents (Default Order) in Samaritan Pharmaceuticals, Inc., Admin. Proc. No. 3-14423. The Order Instituting Proceedings alleged that Respondents repeatedly failed to file required annual and quarterly reports while their securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true and revokes the registrations of each class of registered securities of Samaritan Pharmaceuticals, Inc., Seaena, Inc., Seirios International, Inc. (f/k/a Exactly Sportswear, Inc.), Sento Corp., and Shoe Pavilion, Inc., pursuant to Section 12(j) of the Securities Exchange Act of 1934. The proceeding is still pending as to Silver Eagle Resources Ltd. (n/k/a Mercator Minerals Ltd.). The proceeding has ended as to Simex Technologies, Inc. (n/k/a CT Holdings, Inc.) and Sola Resource Corp. (n/k/a Cancana Resources Corp.). See Samaritan Pharmaceuticals, Inc., Exchange Act Release Nos. 64866 (July 13, 2011) and 64951 (July 25, 2011), respectively. (Rel. 34-65129; File No. 3-14423) In the Matter of SHC Corp. (f/k/a Victormaxx Technologies, Inc.), et al.An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default as to Six Respondents (Default Order) in SHC Corp. (f/k/a Victormaxx Technologies, Inc.), Admin. Proc. No. 3-14426. The Order Instituting Proceedings alleged that Respondents repeatedly failed to file required annual and quarterly reports while their securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true and revokes the registrations of each class of registered securities of SHC Corp. (f/k/a Victormaxx Technologies, Inc.), Shells Seafood Restaurants, Inc., SLS Industries, Inc., Softlock.com, Inc. (n/k/a The Cap One Group, Inc.), Solar Satellite Communication, Inc., and Sonoran Energy, Inc., pursuant to Section 12(j) of the Securities Exchange Act of 1934. The proceeding has ended as to SI Restructuring, Inc. (f/k/a Schlotzsky’s, Inc.). See SHC Corp. (f/k/a Victormaxx Technologies, Inc.), Exchange Act Release No. 64894 (July 15, 2011). (Rel. 34-65130; File No. 3-14426) In the Matter of SFH II Acquisition Corp., et al.On August 15, 2011, an Administrative Law Judge issued an Order Making Findings and Revoking Registrations by Default as to Six Respondents (Default Order) in SFH II Acquisition Corp., Admin. Proc. No. 3-14453. The Default Order finds that Respondents failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Exchange Act Rules 13a-1 and 13a-13 because each failed to make periodic filings with the Commission for a number of years. Based on these findings, the Default Order, pursuant to Section 12(j) of the Exchange Act, revokes the registration of each class of registered securities of SFH II Acquisition Corp., Sforza Enterprises, Inc., Silverzipper.com, Inc., Sky Scientific, Inc., Snake Eyes Golf Clubs, Inc. (f/k/a Golf Technology Holding, Inc.), and Soccer Concepts, Inc. The proceeding remains open as to Silver Star Capital Holdings, Inc. (Rel. 34-65131; File No. 3-14453) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by NASDAQ OMX PHLX to amend the clearly erroneous rule in light of changes to the single stock trading pause process (SR-PHLX-2011-114) 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. 34-65106) A proposed rule change filed by BATS Y-Exchange to amend BYX Rule 11.17, entitled “Clearly Erroneous Executions,” (SR-BYX-2011-019) 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. 34-65112) A proposed rule change filed by BATS Exchange to amend BATS Rule 11.17, entitled “Clearly Erroneous Executions,” (SR-BATS-2011-028) 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. 34-65113) A proposed rule change filed by National Stock Exchange to amend NSX Rule 11.19(c) relating to clearly erroneous transactions (SR-NSX-2011-10) 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. 34-65114) A proposed rule change filed by Chicago Stock Exchange to amend Article 20, Rule 10, Governing Clearly Erroneous Executions (SR-CHX-2011-22) 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. 34-65115) Proposed Rule ChangesThe Options Clearing Corporation filed a proposed rule change (SR-OCC-2011-10) under Section 19(b)(1) of the Exchange Act that would revise its By-Laws and Rules to establish a clearing fund amount intended to support losses under a defined set of default scenarios. Publication is expected in the Federal Register during the week of August 15. (Rel. 34-65119) The NASDAQ Stock Market filed a proposed rule change (SR-NASDAQ-2011-105) under Section 19(b)(1) of the Securities Exchange Act of 1934 to establish an Acceptable Trade Range for quotes and orders entered on The NASDAQ Options Market. Publication is expected in the Federal Register during the week of August 15. (Rel. 34-65125) NYSE Arca filed a proposed rule change (SR-NYSEArca-2011-51) under Section 19(b)(1) of the Securities Exchange Act of 1934 to list and trade TrimTabs Float Shrink ETF under NYSE Arca Equities Rule 8.600. Publication is expected in the Federal Register during the week of August 15. (Rel. 34-65126) Approval of Proposed Rule ChangeThe Commission approved a proposed rule change (SR-NYSE-2011-20) submitted by the New York Stock Exchange to add new section 907.00 to the Listed Company Manual setting forth certain complimentary products and services that are offered to currently and newly listed issuers. Publication is expected in the Federal Register during the week of August 15. (Rel. 34-65127) 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 GEORGIA GULF CORP /DE/, 115 PERIMETER CENTER PLACE, STE. 460, ATLANTA, GA, 30346, 7703954500 - 0 ($28,854,000.00) Equity, (File 333-176255 - Aug. 12) (BR. 06B) S-1 Meganet Corp, 2510 E. SUNSET RD., UNIT 5-777, LAS VEGAS, NV, 89120, 702-987-0087 - 10,000,000 ($2,000,000.00) Equity, (File 333-176256 - Aug. 12) (BR. 11) S-1 ATLANTIC POWER CORP, 200 CLARENDON STREET, FLOOR 25, BOSTON, MA, 02116, 617-977-2701 - 0 ($230,000,000.00) Equity, (File 333-176257 - Aug. 12) (BR. 02B) S-1 Dream Homes Ltd, PO BOX 627, FORKED RIVER, X1, 08731, 7323005619 - 5,000,000 ($5,000,000.00) Equity, (File 333-176258 - Aug. 12) (BR. ) S-4 EXTERRAN HOLDINGS INC., 1209 ORANGE STREET, WILMINGTON, DE, 19801, 713-335-7000 - 0 ($350,000,000.00) Non-Convertible Debt, (File 333-176259 - Aug. 12) (BR. 06B) S-1 Rose Rock Midstream, L.P., TWO WARREN PLACE, 6120 S. YALE AVENUE, SUITE 700, TULSA, OK, 74136-4216, (918) 524-8100 - 0 ($181,125,000.00) Equity, (File 333-176260 - Aug. 12) (BR. ) S-8 SONDE RESOURCES CORP., SUITE 3200, 500 - 4TH AVENUE S.W., CALGARY ALBERTA CANADA, A0, T2P2V6, 403-294-1411 - 6,230,144 ($14,547,386.00) Equity, (File 333-176261 - Aug. 12) (BR. 04B) S-1 CYOPTICS INC, 9999 HAMILTON BLVD, BREINIGSVILLE, PA, 18031, 484-397-2000 - 0 ($100,000,000.00) Equity, (File 333-176262 - Aug. 12) (BR. ) S-1 Matador Resources Co, 5400 LBJ FREEWAY, STE. 1500, DALLAS, TX, 75240, 972-371-5200 - 0 ($150,000,000.00) Equity, (File 333-176263 - Aug. 12) (BR. ) S-8 SYSTEMAX INC, 11 HARBOR PARK DR, PORT WASHINGTON, NY, 11050, 5166087000 - 7,482,500 ($100,190,675.00) Equity, (File 333-176264 - Aug. 12) (BR. 02C) S-1 Mid-Con Energy Partners, LP, 2431 E. 61ST STREET, SUITE 850, TULSA, OK, 74136, 918-743-7575 - 0 ($140,000,000.00) Limited Partnership Interests, (File 333-176265 - Aug. 12) (BR. 04) S-8 WELLS FARGO & CO/MN, 420 MONTGOMERY STREET, SAN FRANCISCO, CA, 94163, 6126671234 - 0 ($30,000,000.00) Other, (File 333-176266 - Aug. 12) (BR. ) S-8 SEALED AIR CORP/DE, 200 RIVERFRONT BOULEVARD, ELMWOOD PARK, NJ, 07407-1033, 201-791-7600 - 0 ($3,666,000.00) Equity, (File 333-176267 - Aug. 12) (BR. 09A) S-8 OCEAN BIO CHEM INC, 4041 SW 47TH AVE, FORT LAUDERDALE, FL, 33314, 9545876280 - 964,200 ($2,632,266.00) Equity, (File 333-176268 - Aug. 12) (BR. 06C) S-3 AMTECH SYSTEMS INC, 131 S CLARK DR, TEMPE, AZ, 85281, 6029675146 - 153,090 ($1,757,473.20) Equity, (File 333-176269 - Aug. 12) (BR. 10A) S-8 INTERLEUKIN GENETICS INC, 135 BEAVER ST, WATHAM, MA, 02452, 1-781-398-0700 - 2,000,000 ($700,000.00) Equity, (File 333-176270 - Aug. 12) (BR. 01C) S-8 QUINSTREET, INC, 950 TOWER LANE, 6TH FLOOR, FOSTER CITY, CA, 94404, 650-578-7700 - 2,689,371 ($34,047,436.86) Equity, (File 333-176272 - Aug. 12) (BR. 03) S-8 HELIX BIOMEDIX INC, 22118 20TH AVE SE, SUITE 204, BOTHELL, WA, 98021, 425 402 8400 - 12,000,000 ($2,711,350.00) Equity, (File 333-176273 - Aug. 12) (BR. 01A) S-3 Orsus Xelent Technologies Inc, 12TH FL, TOWER B, CHAOWAI MEN OFF BLDG, 26 CHAOWAI STREET,, CHAOYANG DISC, BEIJING, F4, 100020, 86-10-8563777 - 0 ($6,000,000.00) Equity, (File 333-176274 - Aug. 12) (BR. 11A) S-8 SEALED AIR CORP/DE, 200 RIVERFRONT BOULEVARD, ELMWOOD PARK, NJ, 07407-1033, 201-791-7600 - 0 ($76,986,000.00) Equity, (File 333-176275 - Aug. 12) (BR. 09A) S-3ASR Extra Space Storage Inc., 2795 COTTONWOOD PARKWAY, SUITE 400, SALT LAKE CITY, UT, 84121, 801-562-5556 - 0 ($0.00) Other, (File 333-176276 - Aug. 12) (BR. 08B) S-3ASR Extra Space Storage Inc., 2795 COTTONWOOD PARKWAY, SUITE 400, SALT LAKE CITY, UT, 84121, 801-562-5556 - 0 ($1.00) Equity, (File 333-176277 - Aug. 12) (BR. 08B) S-8 FAMOUS DAVES OF AMERICA INC, 12701 WHITEWATER DRIVE, SUITE 200, MINNETONKA, MN, 55343, 952-294-1300 - 0 ($8,103,500.00) Equity, (File 333-176278 - Aug. 12) (BR. 05A) S-1 WESTMOUNTAIN INDEX ADVISOR INC, 2186 S. HOLLY ST., SUITE 104, DENVER, CO, 80222, (303) 800-0678 - 8,357,619 ($8,357,619.00) Equity, (File 333-176280 - Aug. 12) (BR. 08A) S-8 Globalstar, Inc., 300 HOLIDAY SQUARE BLVD.,, COVINGTON,, LA, 70433, 408-933-4000 - 7,000,000 ($3,850,000.00) Equity, (File 333-176281 - Aug. 12) (BR. 11C) S-8 SKYWORKS SOLUTIONS, INC., 20 SYLVAN ROAD, WOBURN, MA, 01801, 6179355150 - 0 ($281,010,000.00) Equity, (File 333-176282 - Aug. 12) (BR. 10C) S-8 REGAL BELOIT CORP, 200 STATE ST, BELOIT, WI, 53511, 6083648800 - 500,000 ($25,485,000.00) Equity, (File 333-176283 - Aug. 12) (BR. 10C) S-8 CALIPER LIFE SCIENCES INC, 68 ELM STREET, ., HOPKINTON, MA, 01748, 508-435-9500 - 0 ($10,575,000.00) Equity, (File 333-176284 - Aug. 12) (BR. 10A) S-8 SKYWORKS SOLUTIONS, INC., 20 SYLVAN ROAD, WOBURN, MA, 01801, 6179355150 - 0 ($14,790,000.00) Equity, (File 333-176285 - Aug. 12) (BR. 10C) S-8 SKYWORKS SOLUTIONS, INC., 20 SYLVAN ROAD, WOBURN, MA, 01801, 6179355150 - 2,550,000 ($50,286,000.00) Equity, (File 333-176286 - Aug. 12) (BR. 10C) S-1 Carbon Natural Gas Co, 1700 BROADWAY, SUITE 2020, DENVER, CO, 80290, 720-407-7043 - 0 ($42,222,222.00) Equity, (File 333-176287 - Aug. 12) (BR. 08C) S-8 CENVEO, INC, ONE CANTERBURY GREEN, 201 BROAD STREET, STAMFORD, CT, 06901, 2035953000 - 1,290,839 ($6,339,416.00) Equity, (File 333-176289 - Aug. 12) (BR. 05A) S-3ASR TANGER FACTORY OUTLET CENTERS INC, 3200 NORTHLINE AVENUE SUITE 360, GREENSBORO, NC, 27408, 3362923010 - 12,133,220 ($280,884,043.00) Equity, (File 333-176290 - Aug. 12) (BR. 08C) S-8 BioScrip, Inc., 100 CLEARBROOK ROAD, ELMSFORD, NY, 10523, 914 460 1600 - 6,837,476 ($5.51) Equity, (File 333-176291 - Aug. 12) (BR. 01B) S-3 QUANTUM FUEL SYSTEMS TECHNOLOGIES WORLDWIDE, INC., 17872 CARTWRIGHT ROAD, IRVINE, CA, 92614, 949-399-4500 - 0 ($4,252,727.00) Equity, (File 333-176292 - Aug. 12) (BR. 05B) S-11 Pembrook Realty Capital LLC, 767 THIRD AVENUE, 18TH FLOOR, NEW YORK, NY, 10017, 646-388-5906 - 0 ($100,000,000.00) Equity, (File 333-176293 - Aug. 12) (BR. ) S-3 CUMULUS MEDIA INC, 3280 PEACHTREE ROAD N.W., SUITE 2300, ATLANTA, GA, 30305, 4049490700 - 0 ($76,036,868.16) Equity, (File 333-176294 - Aug. 12) (BR. 11C) S-4 PHOTOMEDEX INC, 147 KEYSTONE DRIVE, MONTGOMERYVILLE, PA, 18936, 2156193600 - 0 ($178,874,579.91) Equity, (File 333-176295 - Aug. 12) (BR. 10C) S-3ASR Extra Space Storage Inc., 2795 COTTONWOOD PARKWAY, SUITE 400, SALT LAKE CITY, UT, 84121, 801-562-5556 - 0 ($82,914,749.07) Equity, (File 333-176296 - Aug. 12) (BR. 08B) S-1 FusionStorm Global, Inc., 8 CEDAR STREET, SUITE 54A, WOBURN, MA, 01801, 781-782-1900 - 0 ($175,000,000.00) Equity, (File 333-176297 - Aug. 12) (BR. ) S-1 Stratus Media Group, Inc, 3 EAST DE LA GUERRA ST., SANTA BARBARA, CA, 93101, 805-884-9977 - 58,975,000 ($30,077,250.00) Equity, (File 333-176298 - Aug. 12) (BR. 09) S-1 Bay Peak 1 Opportunity Corp., 169 BOLSA AVENUE, MILL VALLEY, CA, 94941, 415-287-4080 - 2,457,016 ($6,314,531.12) Equity, (File 333-176299 - Aug. 12) (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
3DICON CORP 5.02,9.01 08/08/11
57th Street General Acquisition Corp DE 2.02,9.01 08/11/11
AASTROM BIOSCIENCES INC MI 1.01,3.03,9.01 08/11/11
ACELRX PHARMACEUTICALS INC DE 2.02,9.01 08/11/11
ADAMS RESOURCES & ENERGY, INC. DE 2.02 08/12/11
AGY Holding Corp. DE 2.02,5.02,9.01 08/12/11
ALASKA AIR GROUP INC DE 7.01,9.01 08/12/11
ALLIANT ENERGY CORP WI 5.02,9.01 08/12/11
Alto Group Holdings Inc. NV 1.01,3.02 08/11/11
AMBASSADORS GROUP INC DE 5.02 08/12/11
AMERICA WEST RESOURCES, INC. NV 5.02 08/12/11
American Caresource Holdings, Inc. DE 2.02,9.01 08/11/11
American Casino & Entertainment Prope DE 2.02,9.01 08/12/11
AMERISERV FINANCIAL INC /PA/ PA 1.01,3.02,3.03,5.02, 08/12/11
5.03,8.01,9.01
AMERISOURCEBERGEN CORP DE 8.01,9.01 08/11/11
AMPAL-AMERICAN ISRAEL CORP NY 3.01 08/12/11
ANIXTER INTERNATIONAL INC DE 8.01,9.01 08/08/11
APOLLO INVESTMENT CORP MD 8.01,9.01 08/11/11
APPLIED ENERGETICS, INC. DE 8.01 08/02/11
APPLIED INDUSTRIAL TECHNOLOGIES INC OH 5.02,9.01 08/09/11
ARENA PHARMACEUTICALS INC DE 5.02 08/12/11
ARETE INDUSTRIES INC CO 4.01,9.01 08/09/11
ARKANOVA ENERGY CORP. NV 7.01,9.01 08/12/11
ATLANTIC POWER CORP A1 2.02,8.01,9.01 08/12/11
AVANIR PHARMACEUTICALS, INC. DE 8.01,9.01 08/11/11
BARRETT BUSINESS SERVICES INC MD 7.01 08/11/11
BB&T CORP NC 8.01,9.01 08/12/11
BIGLARI HOLDINGS INC. IN 2.02,9.01 08/12/11
BION ENVIRONMENTAL TECHNOLOGIES INC CO 7.01,9.01 08/11/11
BLUE RIDGE REAL ESTATE CO PA 1.01,2.03 08/10/11
Bluerock Enhanced Multifamily Trust, MD 5.07,8.01 08/08/11
BMB MUNAI INC NV 5.02 08/08/11
Booz Allen Hamilton Holding Corp DE 5.07 08/10/11
BORGWARNER INC DE 5.02 08/10/11
BRAINY BRANDS COMPANY, INC. DE 1.01,2.03,3.02,9.01 08/11/11
BROADVIEW INSTITUTE INC MN 5.07 08/10/11
Brookdale Senior Living Inc. DE 7.01,9.01 08/11/11
CALECO PHARMA CORP. NV 5.02 08/08/11
CAMBIUM LEARNING GROUP, INC. 2.02,3.02,9.01 08/09/11
CANTERBURY PARK HOLDING CORP MN 2.02,9.01 08/12/11
CAPELLA EDUCATION CO 5.02,9.01 08/11/11
CAPITAL ONE FINANCIAL CORP DE 1.01,8.01,9.01 08/08/11
CASELLA WASTE SYSTEMS INC DE 7.01,9.01 08/12/11
CATERPILLAR INC DE 7.01 08/12/11
CENTRAL FEDERAL CORP DE 2.02,9.01 08/12/11
CENTURY CASINOS INC /CO/ DE 2.02 06/30/11
CH ENERGY GROUP INC NY 8.01,9.01 08/11/11
CHINA AUTOMOTIVE SYSTEMS INC DE 2.02,9.01 08/09/11
China CGame, Inc. DE 1.01,7.01,9.01 08/12/11
CHINA JO-JO DRUGSTORES, INC. 8.01,9.01 08/12/11
China TransInfo Technology Corp. NV 2.02,7.01,9.01 08/12/11
CHINACAST EDUCATION CORP DE 2.02,9.01 08/09/11
CHURCHILL DOWNS INC KY 8.01 08/09/11
CIB MARINE BANCSHARES INC WI 8.01,9.01 08/12/11
Citibank, N.A., as depositor of Citib X1 1.01,9.01 08/09/11
CITIZENS BANCSHARES CORP /GA/ GA 2.02,9.01 08/12/11
Clear Channel Outdoor Holdings, Inc. DE 5.02,9.01 08/11/11
CLIFTON SAVINGS BANCORP INC 5.07,8.01,9.01 08/11/11
CLOUD PEAK ENERGY INC. DE 1.01,2.03,9.01 08/11/11
CNB FINANCIAL CORP/PA PA 5.02 08/09/11
Cobalt International Energy, Inc. 5.07 04/28/11 AMEND
CommonWealth REIT MD 5.07 08/12/11 AMEND
Community Partners Bancorp NJ 1.01,3.03,5.02,5.03, 08/08/11
8.01,9.01
COMSCORE, INC. DE 1.01,2.01,3.02,9.01 08/11/11
Comstock Homebuilding Companies, Inc. DE 2.02,9.01 08/12/11
Conmed Healthcare Management, Inc. DE 2.02,9.01 08/12/11
CONTINUCARE CORP 8.01 08/12/11
CTI INDUSTRIES CORP DE 2.02,9.01 08/12/11
CTPARTNERS EXECUTIVE SEARCH INC. DE 8.01,9.01 08/11/11
CUMULUS MEDIA INC DE 2.02,9.01 08/12/11
CUMULUS MEDIA INC DE 2.01,8.01,9.01 08/01/11 AMEND
DATAMILL MEDIA CORP. 1.02 06/22/11 AMEND
DAWSON GEOPHYSICAL CO TX 7.01,9.01 08/12/11
Deep Down, Inc. NV 2.02,9.01 08/11/11
Delta Tucker Holdings, Inc. DE 1.01,9.01 08/10/11
DEVRY INC DE 8.01,9.01 08/11/11
DEVRY INC DE 2.02,9.01 08/11/11
Diamond Resorts Corp MD 8.01,9.01 08/12/11
DIGITAL ALLY INC 2.02,9.01 08/11/11
DILLARDS INC DE 2.02,9.01 08/11/11
DIODES INC /DEL/ DE 2.02,7.01,9.01 08/09/11
DIRECT INSITE CORP DE 2.02,9.01 08/11/11
DMH INTERNATIONAL, INC. NV 1.01,2.03,9.01 08/11/11
DOLLAR TREE INC VA 7.01,9.01 08/12/11
Eagle Ford Oil & Gas Corp NV 1.01,2.01,9.01 08/11/11
EARTHSTONE ENERGY INC DE 2.02,9.01 08/12/11
EASTMAN CHEMICAL CO DE 5.07 08/12/11 AMEND
EASTON-BELL SPORTS, INC. DE 2.02,9.01 08/11/11
Edgen Murray II, L.P. DE 2.02 08/12/11
EL PASO CORP/DE DE 8.01 08/10/11
ELECTRO SCIENTIFIC INDUSTRIES INC OR 5.02,5.07,9.01 08/11/11
Electromed, Inc. MN 5.02,9.01 08/08/11
ELECTRONIC ARTS INC. DE 2.01,3.02,9.01 08/12/11
Empeiria Acquisition Corp DE 8.01,9.01 08/11/11
ENTERGY CORP /DE/ DE 8.01 08/09/11
ENTERPRISE PRODUCTS PARTNERS L P DE 8.01,9.01 08/10/11
EVERGREEN ENERGY INC DE 2.02,9.01 08/12/11
EVERTEC, Inc. PR 2.02,9.01 08/12/11
FIRST BANCORP /PR/ PR 2.02,8.01,9.01 08/08/11
FIRST UNITED CORP/MD/ MD 5.02 08/12/11
Firsthand Technology Value Fund, Inc. 8.01,9.01 08/12/11
FIVE STAR QUALITY CARE INC 5.07 08/12/11 AMEND
FLIR SYSTEMS INC OR 1.01,9.01 08/09/11
FOREST OIL CORP NY 5.07 05/11/11 AMEND
Fortegra Financial Corp DE 2.02 08/11/11
FOSSIL INC DE 5.02,9.01 08/11/11
FPIC INSURANCE GROUP INC FL 5.07,9.01 08/12/11
FROZEN FOOD EXPRESS INDUSTRIES INC TX 8.01 08/09/11
FS Energy & Power Fund DE 2.02,9.01 08/10/11
FS Investment CORP MD 2.02,5.07,9.01 06/22/11
FUSION TELECOMMUNICATIONS INTERNATION DE 1.01,2.03,9.01 08/11/11
FUSION-IO, INC. DE 2.01,9.01 08/11/11
GAYLORD ENTERTAINMENT CO /DE DE 1.01,3.03,7.01,9.01 08/12/11
Geeknet, Inc DE 5.02,5.03,8.01,9.01 08/11/11
GENCOR INDUSTRIES INC DE 2.02,9.01 08/12/11
GENVEC INC DE 1.01,3.03,5.03,9.01 08/11/11
GEORESOURCES INC CO 7.01,9.01 08/10/11
GLOBAL AXCESS CORP NV 2.02,9.01 08/11/11
Global Pharm Holdings Group, Inc. DE 2.02,9.01 08/12/11
Government Properties Income Trust MD 5.07 08/12/11 AMEND
Grubb & Ellis Healthcare REIT II, Inc MD 9.01 05/26/11 AMEND
GSI GROUP INC A3 2.02,9.01 08/11/11
GSI GROUP INC A3 5.02 08/08/11
Harbin Electric, Inc 2.02,9.01 08/09/11
Harbor BioSciences, Inc. DE 5.02 08/11/11
HDS INTERNATIONAL CORP. NV 1.01,2.03,9.01 08/11/11
HEALTHWAYS, INC DE 5.05,9.01 08/10/11
HFF, Inc. DE 8.01,9.01 08/09/11
HICKOK INC OH 2.02,9.01 06/30/11
HICKORY TECH CORP MN 2.03,9.01 08/12/11
HOSPITALITY PROPERTIES TRUST MD 5.07 08/12/11 AMEND
HSBC Finance Corp 1.01,9.01 08/10/11
HSBC USA INC /MD/ MD 1.01,9.01 08/10/11
Huifeng Bio-Pharmaceutical Technology NV 4.01 08/09/11
IEC ELECTRONICS CORP DE 2.02,9.01 08/08/11
IMPERIAL INDUSTRIES INC DE 2.02,9.01 08/12/11
INDEPENDENCE HOLDING CO DE 2.02,9.01 06/30/11
INGLES MARKETS INC NC 2.02,9.01 08/12/11
INOVIO PHARMACEUTICALS, INC. 5.03,9.01 08/10/11
interclick, inc. DE 5.02,9.01 08/09/11
INTERNATIONAL FUEL TECHNOLOGY INC NV 3.02 08/09/11
INTL FCSTONE INC. DE 7.01 08/12/11
INVESTMENT TECHNOLOGY GROUP INC DE 5.02 08/12/11
iTech Medical, Inc. DE 8.01,9.01 08/12/11
J C PENNEY CO INC DE 2.02,9.01 08/12/11
JBI, INC. NV 5.02,9.01 08/08/11
John Bean Technologies CORP DE 5.07 08/12/11 AMEND
JONES GROUP INC PA 8.01,9.01 08/12/11
Kearny Financial Corp. X1 2.02,9.01 08/12/11
KEYSTONE CONSOLIDATED INDUSTRIES INC DE 2.02,7.01,9.01 08/12/11
KNOLOGY INC DE 8.01,9.01 08/12/11
KULICKE & SOFFA INDUSTRIES INC PA 5.02,9.01 08/09/11
LEXARIA CORP. NV 1.01,7.01,9.01 08/12/11
LIFE PARTNERS HOLDINGS INC TX 8.01,9.01 08/11/11
LIGHTING SCIENCE GROUP CORP DE 1.01,2.03,5.07,9.01 08/08/11
LIGHTSTONE VALUE PLUS REAL ESTATE INV MD 8.01 08/12/11
Lightstone Value Plus Real Estate Inv MD 8.01 08/12/11
LITHIA MOTORS INC OR 8.01,9.01 08/12/11
LL&E ROYALTY TRUST TX 8.01,9.01 08/12/11
LML PAYMENT SYSTEMS INC A1 2.02,5.07,7.01,9.01 08/10/11
LMP CAPITAL & INCOME FUND INC. 8.01,9.01 08/12/11
LUFKIN INDUSTRIES INC TX 8.01,9.01 08/12/11
Max Cash Media Inc NV 1.01,2.03,3.02 08/09/11
Mayflower Bancorp Inc MA 5.02,5.03,9.01 08/11/11
MCJUNKIN RED MAN HOLDING CORP DE 2.02,9.01 08/12/11
Measurement Specialties Inc NJ 8.01,9.01 08/11/11
MEDIACOM BROADBAND LLC DE 2.02,9.01 08/12/11
MEDIACOM LLC NY 2.02,9.01 08/12/11
MEXCO ENERGY CORP CO 2.02,9.01 08/12/11
MF Global Holdings Ltd. DE 5.07 08/11/11
MICROSEMI CORP DE 5.03,9.01 08/09/11
MID AMERICA APARTMENT COMMUNITIES INC TN 7.01,9.01 08/12/11
MIDAS INC DE 8.01 08/11/11
Midway Gold Corp A1 7.01,9.01 06/27/11
MINDSPEED TECHNOLOGIES, INC DE 5.07 04/05/11 AMEND
Mojo Ventures, Inc. DE 1.01,9.01 05/24/11
Momentive Performance Materials Inc. DE 2.02,9.01 08/12/11
MOMENTIVE SPECIALTY CHEMICALS INC. NJ 2.02,9.01 08/12/11
MONRO MUFFLER BRAKE INC NY 5.07 08/09/11
MORGANS FOODS INC OH 1.01 08/10/11
MUNICIPAL MORTGAGE & EQUITY LLC DE 5.02,9.01 08/10/11
MYMETICS CORP DE 1.01 08/04/11
National Interstate CORP OH 8.01,9.01 08/10/11
NATURAL ALTERNATIVES INTERNATIONAL IN DE 1.01,8.01,9.01 08/08/11
NETWORK EQUIPMENT TECHNOLOGIES INC DE 5.02,5.07 08/09/11
NEW FRONTIER ENERGY INC CO 7.01 08/12/11
New Generation Biofuels Holdings, Inc FL 1.01,8.01 08/10/11
New York & Company, Inc. 1.01,2.03 08/10/11
NORTH EUROPEAN OIL ROYALTY TRUST DE 2.02,9.01 07/31/11
NORTHERN OIL & GAS, INC. 1.01,2.03,9.01 08/08/11
NOVADEL PHARMA INC DE 2.02,9.01 08/12/11
Nutrastar International Inc. NV 2.02,7.01,9.01 08/12/11
OMNI BIO PHARMACEUTICAL, INC. CO 1.01,3.02,5.02 08/08/11
optionsXpress Holdings, Inc. DE 8.01,9.01 08/11/11
ORBIT INTERNATIONAL CORP DE 2.02,9.01 08/09/11
Orbitz Worldwide, Inc. DE 5.02,9.01 08/08/11
OSI RESTAURANT PARTNERS, LLC DE 7.01 08/11/11
PDL BIOPHARMA, INC. DE 7.01,9.01 08/12/11
PENN MILLERS HOLDING CORP 2.02,9.01 08/12/11
PFSWEB INC DE 2.02 08/11/11
PLY GEM HOLDINGS INC DE 2.02,9.01 08/12/11
PNM RESOURCES INC NM 8.01,9.01 08/11/11
PostRock Energy Corp DE 1.01,1.02,2.01,3.02, 08/08/11
7.01,9.01
POW! ENTERTAINMENT, INC. DE 7.01,9.01 08/09/11
POWER SOLUTIONS INTERNATIONAL, INC. 9.01 04/29/11 AMEND
PRIMUS TELECOMMUNICATIONS GROUP INC DE 5.07,8.01,9.01 08/08/11
Prologis, Inc. MD 7.01 08/11/11
PSM HOLDINGS INC NV 1.01,2.01,3.02,9.01 08/08/11
PSYCHEMEDICS CORP DE 2.02,9.01 08/10/11
RALCORP HOLDINGS INC /MO MO 1.01,9.01 08/08/11
RAMTRON INTERNATIONAL CORP DE 2.02,9.01 07/20/11 AMEND
REAL ESTATE ASSOCIATES LTD II CA 1.01,2.01,9.01 08/10/11
RECOVERY ENERGY, INC. NV 1.01,9.01 02/26/10 AMEND
RED ROBIN GOURMET BURGERS INC DE 5.02,8.01,9.01 08/09/11
RMD Technologies, Inc. CA 1.01 05/01/11
ROCKY MOUNTAIN CHOCOLATE FACTORY INC CO 5.07 08/11/11
RODMAN & RENSHAW CAPITAL GROUP, INC. DE 2.02,9.01 08/12/11
Rosetta Resources Inc. DE 7.01,9.01 08/11/11
ROYAL BANCSHARES OF PENNSYLVANIA INC PA 2.02,9.01 08/11/11
Sagebrush Gold Ltd. NV 5.02 08/08/11
SALIX PHARMACEUTICALS LTD 2.02,9.01 08/08/11
SAN DIEGO GAS & ELECTRIC CO CA 5.07 08/12/11 AMEND
SANDRIDGE ENERGY INC DE 1.01,9.01 08/10/11
SandRidge Permian Trust 1.01,9.01 08/10/11
Savoy Energy Corp NV 4.01,9.01 08/11/11
SBT Bancorp, Inc. CT 1.01,3.02,3.03,5.02, 08/08/11
5.03,8.01,9.01
SCHIFF NUTRITION INTERNATIONAL, INC. DE 9.01 05/31/11 AMEND
SENIOR HOUSING PROPERTIES TRUST MD 5.07 08/12/11 AMEND
SERVOTRONICS INC /DE/ DE 2.02,9.01 08/12/11
Shiner International, Inc. NV 2.02,9.01 08/12/11
Shire plc 8.01,9.01 08/12/11
SIONIX CORP NV 5.02 08/09/11
SKY PETROLEUM, INC. NV 1.01,2.03,7.01,8.01, 08/10/11
9.01
SOLIGENIX, INC. DE 2.02,9.01 08/12/11
SOUPMAN, INC. DE 1.01,9.01 07/29/11
SOUTHWALL TECHNOLOGIES INC /DE/ DE 2.02,9.01 08/12/11
SPANISH BROADCASTING SYSTEM INC DE 2.02,9.01 08/12/11
SPHERIX INC DE 2.02,9.01 08/12/11
STAGE STORES INC NV 8.01,9.01 08/11/11
Steadfast Income REIT, Inc. MD 9.01 06/28/11 AMEND
STEPAN CO DE 5.02 08/11/11
Strategic Storage Trust, Inc. MD 7.01,9.01 08/12/11
SUFFOLK BANCORP NY 4.02 08/10/11
SunOpta Inc. 5.07 08/12/11 AMEND
SUNTRUST BANKS INC GA 5.02,8.01,9.01 08/08/11
SUPERIOR UNIFORM GROUP INC FL 8.01 08/12/11
SYNALLOY CORP DE 5.02 08/12/11
SYSTEMAX INC DE 5.07 06/14/11 AMEND
TACTICAL AIR DEFENSE SERVICES, INC. 1.01,3.02,5.03,7.01, 08/12/11
9.01
TANDY LEATHER FACTORY INC DE 2.02,9.01 08/11/11
TECHS LOANSTAR, INC. NV 1.01,3.02,5.01,5.02, 08/12/11
5.03,9.01
TESSERA TECHNOLOGIES INC DE 5.02,5.03,7.01,9.01 08/10/11
THERMADYNE HOLDINGS CORP /DE DE 2.02,9.01 08/12/11
TITANIUM METALS CORP DE 7.01,9.01 08/12/11
TIVO INC DE 8.01,9.01 08/11/11
TNP Strategic Retail Trust, Inc. MD 9.01 05/26/11 AMEND
TOPSPIN MEDICAL INC 5.02 08/10/11
TORTOISE CAPITAL RESOURCES CORP 8.01,9.01 08/08/11
TRANSATLANTIC HOLDINGS INC DE 8.01,9.01 08/12/11
TRANSCEND SERVICES INC DE 1.01,9.01 08/10/11
TRANSCONTINENTAL GAS PIPE LINE COMPAN DE 1.01,2.03,9.01 08/12/11
Tree.com, Inc. DE 2.02,9.01 08/12/11
Tree.com, Inc. DE 9.01 05/12/11 AMEND
TRIAD GUARANTY INC DE 2.02,9.01 08/12/11
TRW AUTOMOTIVE HOLDINGS CORP DE 5.07 05/18/11 AMEND
TUFCO TECHNOLOGIES INC DE 2.02,7.01,9.01 08/11/11
U. S. Premium Beef, LLC 7.01,9.01 08/12/11
UMPQUA HOLDINGS CORP OR 5.02 08/12/11
UNICO AMERICAN CORP NV 2.02 06/30/11
UNISOURCE ENERGY CORP AZ 2.03,9.01 08/08/11
United Community Bancorp X1 8.01,9.01 08/11/11
UNITED COMMUNITY FINANCIAL CORP OH 2.02,9.01 08/12/11
UNITEDHEALTH GROUP INC MN 5.07 05/23/11 AMEND
URANERZ ENERGY CORP. NV 5.03,9.01 08/08/11
UROLOGIX INC MN 3.01,5.02 08/09/11
US HOME SYSTEMS INC DE 2.02,9.01 08/11/11
Valley Commerce Bancorp CA 5.07 05/25/11
VALLEY FINANCIAL CORP /VA/ VA 8.01,9.01 08/12/11
VALLEY FORGE COMPOSITE TECHNOLOGIES, FL 5.02 08/08/11
VALPEY FISHER CORP MD 2.02,9.01 08/12/11
VARIAN SEMICONDUCTOR EQUIPMENT ASSOCI DE 5.07,8.01,9.01 08/11/11
Venture Lending & Leasing V, Inc. MD 5.02 08/10/11
VirnetX Holding Corp DE 5.07 05/26/11 AMEND
VistaGen Therapeutics, Inc. NV 2.01,9.01 05/11/11 AMEND
VSE CORP DE 9.01 06/06/11 AMEND
Vulcan Materials CO NJ 5.07 05/13/11 AMEND
WELLS FARGO & CO/MN DE 9.01 08/12/11
WELLS FARGO & CO/MN DE 9.01 08/12/11
WELLS REAL ESTATE INVESTMENT TRUST II MD 2.02,9.01 08/12/11
WILLIAMS CONTROLS INC DE 2.02,9.01 08/04/11
XcelMobility Inc. NV 5.02 08/12/11
YAHOO INC DE 9.01 07/29/11 AMEND
ZION OIL & GAS INC DE 8.01,9.01 08/12/11
Zumiez Inc WA 5.02 08/08/11
Zurvita Holdings, Inc. DE 1.01,3.02 08/08/11
http://www.sec.gov/news/digest/2011/dig081511.htm
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