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Commission AnnouncementsSecurities and Exchange Commission Suspends Trading in the Securities of Six Issuers for Failure to Make Required Periodic FilingsThe U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EDT on August 18, 2011, and terminating at 11:59 p.m. EDT on August 31, 2011.
The Commission temporarily suspended trading in the securities of these six issuers due to a lack of current and accurate information about the companies because they have not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act). The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by these companies. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-65155) Securities and Exchange Commission Suspends Trading in the Securities of Five Issuers for Failure to Make Required Periodic FilingsThe U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EDT on August 18, 2011, and terminating at 11:59 p.m. EDT on August 31, 2011.
The Commission temporarily suspended trading in the securities of these five issuers due to a lack of current and accurate information about the companies because they have not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act). The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by these companies. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-65157) Commission MeetingsFollowing is a schedule of Commission meetings, which will be conducted under provisions of the Government in the Sunshine Act. Meetings will be scheduled according to the requirements of agenda items under consideration. Open meetings will be held in the Auditorium, Room L-002 at the Commission's headquarters building, 100 F Street, N.E., Washington, D.C. Visitors are welcome at all open meetings, insofar as space is available. Persons wishing to photograph or videotape Commission meetings must obtain permission in advance from the Secretary of the Commission. Persons wishing to tape record a Commission meeting should notify the Secretary's office 48 hours in advance of the meeting. Any member of the public who requires auxiliary aids such as a sign language interpreter or material on tape to attend a public meeting should contact SECInterpreter@SEC.gov at least three business days in advance. For any other reasonable accommodation related disability contact DisabilityProgramOfficer or call 202-551-4158. Open Meeting on Wednesday, August 24, 2011, at 10:00 a.m.The Securities and Exchange Commission will hold an Open Meeting to hear oral argument in an appeal by Eric J. Brown, Matthew J. Collins, Kevin J. Walsh, and Mark W. Wells (collectively, Respondents) and a cross-appeal by the Division of Enforcement from an initial decision of an administrative law judge. Brown and Walsh were formerly associated with registered broker-dealer Prime Capital Services, Inc. (Prime Capital), and Collins and Wells are currently associated with Prime Capital. The law judge found that, in sales of variable annuities to elderly customers, Respondents violated Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Exchange Act Rule 10b-5, and Exchange Act Section 17(a) and Exchange Act Rule 17a-3. The law judge also found that Collins failed to reasonably supervise Brown within the meaning of Exchange Act Sections 15(b)(4)(E) and 15(b)(6). For these violations, the law judge issued cease-and-desist orders against Respondents, ordered Respondents to disgorge commissions earned from selling certain variable annuities, barred Respondents from associating with a broker, dealer, or investment adviser, and imposed a third-tier civil monetary penalty of $130,000 against each Respondent. Issues likely to be considered at oral argument include whether Respondents violated the above provisions and, if so, the extent to which, under the circumstances, sanctions are warranted. For further information, please contact the Office of the Secretary at (202) 551-5400. Closed Meeting on Thursday, August 25, 2011, at 2:00 p.m.The subject matter of the Closed Meeting scheduled for Thursday, August 25, 2011 will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; and other matters relating to enforcement proceedings. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551-5400. Rules and Related MattersSuspension of the Duty to File Reports for Classes of Asset-Backed Securities Under Section 15(d) of the Securities Exchange Act of 1934The Commission amended its rules relating to the Exchange Act reporting obligations of asset-backed securities issuers in light of the statutory changes to Section 15(d) of the Exchange Act, as amended by Section 942(a) of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The rule amendments include a provision for the suspension of the reporting obligations for asset-backed securities issuers as to any semi-annual fiscal period, if, at the beginning of the semi-annual fiscal period, there are no longer asset-backed securities of the class sold in a registered transaction held by non-affiliates of the depositor. The rule amendments are effective 30 days after publication in the Federal Register. (Rels. 34-65148; S7-02-11) Enforcement ProceedingsCommission Orders Hearings on Registration Suspension or Revocation Against Six Companies for Failure to Make Required Periodic FilingsIn conjunction with this trading suspension, the Commission today also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration 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 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 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. 34-65154; File No. 3-14507) Commission Orders Hearings on Registration Suspension or Revocation Against Five Companies for Failure to Make Required Periodic FilingsIn conjunction with this trading suspension, the Commission today also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of five companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the five 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 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 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. 34-65156; File No. 3-14508) Court Enters Judgments Against Operators of Multi-Million Dollar Securities FraudThe Securities and Exchange Commission announced that on August 12, 2011, the United States District Court for the Central District of California entered judgments against Westmoore Management, LLC, Westmoore Investment, L.P., Westmoore Capital Management, Inc., Westmoore Capital, LLC, (collectively, the Westmoore Entity Defendants) and Matthew Jennings, who served as the CEO and general partner of the corporate defendants. The Commission’s complaint, filed on June 15, 2010, alleged that Jennings operated an undisclosed Ponzi-like fraudulent scheme through the Westmoore Entity Defendants and their subsidiaries in violation of the federal securities laws. The complaint also alleged that the defendants raised over $53 million in 2008 in multiple offerings, one of which promised returns as high as 130% annually. The Commission alleged that the defendants misrepresented its offerings to potential investors by (1) promising high periodic returns, (2) lying about their use of offering proceeds, and (3) misleading investors about the performance of their investments and businesses. The Commission also alleged that Jennings directed the company’s accountants to operate a corporate shell game in which the various Westmoore bank accounts were treated as one integrated account from which funds, regardless of their source, could be used to pay promised returns. Without admitting or denying the Commission’s allegations, except as to jurisdiction, Jennings and the Westmoore defendants consented to the judgments, which permanently enjoin them from violating Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 and Section 10(b) and Rule 10b-5 of the Securities Exchange Act of 1934. The judgment against the Westmoore Entity Defendants also orders (1) disgorgement of ill-gotten gains and prejudgment interest in an amount to be determined by the Court and (2) the appointment of a permanent receiver over the Westmoore Entity Defendants’ assets. The final judgment against Jennings also (1) orders him to pay a civil penalty of $130,000 and disgorgement and pre-judgment interest totaling $362,265.06 and (2) bars him from serving as an officer or director of any publicly-traded company for a period of five years. Investors with questions may contact the permanent receiver, David A. Gill, at (310) 277-0077. [SEC v. Westmoore Management, LLC, Westmoore Investment, L.P., Westmoore Capital Management, Inc., Westmoore Capital, LLC, and Matthew Jennings, Civil Action No. SACV 10-849-AG (MLGx) (Central District of California] (LR-22069) Investment Company Act ReleasesING Asia Pacific High Dividend Equity Income Fund, et al.An order has been issued on an application filed by ING Asia Pacific High Dividend Equity Income Fund, et al., under Section 6(c) of the Investment Company Act for an exemption from Section 19(b) of the Act and Rule 19b-1 under the Act. The order permits certain registered closed-end management investment companies to make periodic distributions of long-term capital gains with respect to their outstanding common stock as frequently as monthly in any taxable year, and as frequently as distributions are specified by or in accordance with the terms of any outstanding preferred stock that such investment companies may issue. (Rel. IC-29754 – August 16) Self-Regulatory OrganizationsImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by Chicago Mercantile Exchange to adopt a new rule regarding liens on collateral that relates solely to CME’s futures clearing operations (File No. SR-CME-2011-01) 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. 34-65141) A proposed rule change filed by BATS Y-Exchange related to fees for use of BATS Y-Exchange (SR-BYX-2011-016) 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. 34-65143) A proposed rule change filed by Chicago Board Options Exchange to amend certain registration and qualification requirements (SR-CBOE-2011-075) 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. 34-65147) A proposed rule change filed by The NASDAQ Stock Market (SR-NASDAQ-2011-113) regarding clerical changes to its rules 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. 34-65150) Approval of Proposed Rule ChangeThe Commission granted approval of a proposed rule change (SR-Phlx-2011-89) submitted by NASDAQ OMX PHLX pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 relating to Alpha Index options. Publication is expected in the Federal Register during the week of August 15. (Rel. 34-65149) 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 Zyto Corp, 1266 South 1380 West, Orem, UT, 84058, 5,000,000 ($250,000.00) Equity, (File 333-176355 - Aug. 17) (BR. 10) S-4 FNB United Corp., 150 SOUTH FAYETTEVILLE STREET, P O BOX 1328, ASHEBORO, NC, 27203, 3366268300 - 0 ($12,794,396.22) Equity, (File 333-176357 - Aug. 17) (BR. 07B) S-3ASR PROGRESSIVE CORP/OH/, 6300 WILSON MILLS RD, MAYFIELD VILLAGE, OH, 44143, 4404615000 - 0 ($0.00) Non-Convertible Debt, (File 333-176358 - Aug. 17) (BR. 01B) S-8 PROSPER MARKETPLACE INC, 111 SUTTER STREET, 22ND FLOOR, SAN FRANCISCO, CA, 94104, 415-593-5400 - 3,550,875 ($426,105.00) Equity, (File 333-176361 - Aug. 17) (BR. 07C) S-1 Centor Inc., 4667A DUNDAS ST. WEST, ETIBICOKE, A6, M9A 1A4, 416-418-1582 - 4,950,000 ($99,000.00) Equity, (File 333-176362 - Aug. 17) (BR. ) S-8 PREMIER ALLIANCE GROUP, INC., 4521 SHARON ROAD, SUITE 300, CHARLOTTE, NC, 28211, 704-521-8078 - 10,000,000 ($9,000,000.00) Equity, (File 333-176363 - Aug. 17) (BR. 03A) S-8 HECLA MINING CO/DE/, 6500 N MINERAL DRIVE SUITE 200, NONE, COEUR D'ALENE, ID, 83815-9408, 2087694100 - 1,500,000 ($10,770,000.00) Equity, (File 333-176364 - Aug. 17) (BR. 04A) S-8 AP PHARMA INC /DE/, 123 SAGINAW DRIVE, REDWOOD CITY, CA, 94063, 6503662626 - 90,000,000 ($27,000,000.00) Equity, (File 333-176365 - Aug. 17) (BR. 01C) S-8 AP PHARMA INC /DE/, 123 SAGINAW DRIVE, REDWOOD CITY, CA, 94063, 6503662626 - 500,000 ($150,000.00) Equity, (File 333-176366 - Aug. 17) (BR. 01C) S-4 SUSQUEHANNA BANCSHARES INC, 26 N CEDAR ST, LITITZ, PA, 17543, 7176264721 - 0 ($216,261,858.10) Equity, (File 333-176367 - Aug. 17) (BR. 07B) S-8 BAYLAKE CORP, 217 N FOURTH AVE, PO BOX 9, STURGEON BAY, WI, 54235-0009, 9207435551 - 750,000 ($3,037,500.00) Equity, (File 333-176368 - Aug. 17) (BR. 07C) S-8 CAI International, Inc., 415-788-0100 - 0 ($4,296,000.00) Equity, (File 333-176369 - Aug. 17) (BR. 06A) S-3ASR CURRENCYSHARES SWISS FRANC TRUST, C/O RYDEX INVESTMENTS, ATTN: TIM MEYER, 9601 BLACKWELL ROAD, SUITE 500, ROCKVILLE, MD, 20850, 301-296-5129 - 0 ($877,863,000.00) Other, (File 333-176370 - Aug. 17) (BR. 08B) S-8 KADANT INC, ONE TECHNOLOGY PARK DRIVE, WESTFORD, MA, 01886, (978) 776-2000 - 333,000 ($6,652,800.00) Equity, (File 333-176371 - Aug. 17) (BR. 10B) S-3 CombiMatrix Corp, 310 GODDARD, SUITE 150, IRVINE, CA, 92618, 949-753-0624 - 0 ($1.00) Other, (File 333-176372 - Aug. 17) (BR. 10A) S-8 Carbonite Inc, 177 HUNTINGTON AVENUE, BOSTON, MA, 02115, 6175871140 - 0 ($30,059,512.14) Equity, (File 333-176373 - Aug. 17) (BR. 03C) S-3 Apollo Commercial Real Estate Finance, Inc., C/O APOLLO GLOBAL MANAGEMENT, LLC, 9 WEST 57TH STREET, 43RD FLOOR, NEW YORK, NY, 10019, (212) 515-3200 - 0 ($30,540,000.00) Equity, (File 333-176375 - Aug. 17) (BR. 08C) 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 8.01,9.01 08/16/11 Access to Money, Inc. OR 1.01,8.01,9.01 08/15/11 ADCARE HEALTH SYSTEMS INC OH 8.01,9.01 08/17/11 ADVANCED CELL TECHNOLOGY, INC. DE 1.01,2.02,3.02,5.02, 07/01/11 9.01 AirTouch Communications, Inc. DE 1.01,3.02,9.01 08/15/11 AMERCO /NV/ NV 8.01,9.01 07/20/11 American Express Issuance Trust DE 8.01 08/17/11 American Lorain CORP NV 2.02,9.01 08/17/11 ARETE INDUSTRIES INC CO 1.02,7.01,9.01 08/12/11 ARRAY BIOPHARMA INC DE 5.02 08/15/11 ASSURANCEAMERICA CORP NV 2.02,9.01 08/16/11 ATRION CORP DE 8.01,9.01 08/16/11 AVATAR HOLDINGS INC DE 1.01,5.02 08/12/11 Beacon Federal Bancorp, Inc. MD 1.01,8.01,9.01 08/17/11 BILL BARRETT CORP 7.01,9.01 08/17/11 BioRestorative Therapies, Inc. NV 5.03,8.01,9.01 08/15/11 BIOZONE PHARMACEUTICALS, INC. NV 4.01,9.01 08/11/11 BJS WHOLESALE CLUB INC DE 2.02,9.01 08/17/11 BLOUNT INTERNATIONAL INC DE 1.01,2.01,9.01 08/15/11 BMX Development Corp. 1.01,9.01 08/15/11 BOB EVANS FARMS INC DE 2.02,9.01 08/17/11 BOND LABORATORIES, INC. NV 2.02,9.01 08/16/11 BRITTON & KOONTZ CAPITAL CORP MS 8.01,9.01 08/17/11 Brooklyn Federal Bancorp, Inc. X1 1.01,7.01,9.01 08/16/11 BSB Bancorp, Inc. MD 1.01,9.01 08/12/11 C & F FINANCIAL CORP VA 8.01,9.01 08/17/11 C H ROBINSON WORLDWIDE INC DE 5.07 05/12/11 AMEND CABCO SERIES 2004-1 TRUST (GOLDMAN SA 8.01,9.01 08/15/11 CABCO SERIES 2004-101 TRUST (GOLDMAN 8.01,9.01 08/15/11 CAMAC Energy Inc. DE 7.01,9.01 08/17/11 CHARLES & COLVARD LTD NC 1.01,1.02,3.03,9.01 08/15/11 Chatham Lodging Trust MD 2.03,9.01 08/16/11 Chatham Lodging Trust MD 2.02,9.01 08/08/11 CHICOS FAS INC FL 2.02,9.01 08/17/11 CHICOS FAS INC FL 2.02,9.01 08/17/11 China Carbon Graphite Group, Inc. NV 2.02,9.01 08/15/11 China Growth CORP E9 1.01 12/15/10 AMEND China Information Technology, Inc. 3.02,7.01,9.01 08/17/11 China Internet Cafe Holdings Group, I 2.02,9.01 08/16/11 CHINA NORTH EAST PETROLEUM HOLDINGS L NV 9.01 08/17/11 AMEND CIGNA CORP DE 5.07 04/27/11 AMEND CIRCLE STAR ENERGY CORP. NV 3.02,5.02,7.01,9.01 08/16/11 CITADEL BROADCASTING CORP DE 8.01 08/16/11 Citadel EFT, Inc. NV 8.01 08/17/11 Citi Trends Inc 2.02,9.01 08/17/11 Citibank, N.A., as depositor of Citib X1 8.01 08/17/11 CLIFFS NATURAL RESOURCES INC. OH 1.01,2.03,9.01 08/11/11 CNL LIFESTYLE PROPERTIES INC MD 2.01,9.01 08/02/11 COLLECTIVE BRANDS, INC. DE 1.01,2.03,9.01 08/16/11 Colt Defense LLC DE 5.02,5.03,9.01 08/17/11 COMMUNICATION INTELLIGENCE CORP DE 5.02,9.01 08/11/11 CONOLOG CORP DE 1.01,5.02,9.01 08/12/11 CONTINENTAL MATERIALS CORP DE 2.02,9.01 08/16/11 CREE INC NC 2.01,3.02,5.02,7.01, 08/17/11 9.01 CROWN CRAFTS INC DE 2.02,9.01 08/17/11 CYANOTECH CORP NV 5.02,9.01 08/17/11 CYTRX CORP DE 1.02 08/12/11 DEERE & CO DE 2.02,7.01,8.01,9.01 08/17/11 DEERE JOHN CAPITAL CORP DE 2.02,7.01,8.01,9.01 08/17/11 DEL MONTE CORP 5.02 08/15/11 DELTA AIR LINES INC /DE/ DE 8.01,9.01 08/17/11 EAGLE ROCK ENERGY PARTNERS L P DE 3.02,7.01,9.01 08/16/11 EATON VANCE CORP MD 2.02,9.01 07/31/11 ELECTRIC CAR COMPANY, INC. DE 4.01,9.01 08/02/11 AMEND ELITE PHARMACEUTICALS INC /DE/ DE 5.03,9.01 08/12/11 EMPIRE RESORTS INC DE 3.01,5.02,9.01 08/11/11 Encore Bancshares Inc TX 5.02,9.01 08/17/11 ENDEAVOUR INTERNATIONAL CORP NV 7.01,9.01 08/16/11 EnerSys DE 8.01,9.01 08/17/11 ENZON PHARMACEUTICALS INC DE 5.02 08/11/11 Federal Home Loan Bank of Boston X1 2.03 08/12/11 FERRO CORP OH 5.07 04/29/11 AMEND FIELDPOINT PETROLEUM CORP CO 2.02,7.01,9.01 08/15/11 Firemans Contractors, Inc. NV 5.03 08/16/11 FIRST FEDERAL BANCSHARES OF ARKANSAS TX 5.02 08/17/11 FIRST FINANCIAL BANCORP /OH/ OH 1.01,7.01,9.01 08/15/11 AMEND First Savings Financial Group Inc IN 1.01,3.02,3.03,5.03, 08/11/11 8.01,9.01 First Sentry Bancshares, Inc. WV 2.02,9.01 08/16/11 FIRST SOLAR, INC. DE 5.02,9.01 08/16/11 FLEXSTEEL INDUSTRIES INC MN 2.02,9.01 08/16/11 FLIR SYSTEMS INC OR 1.01,7.01,9.01 08/16/11 FLOWERS FOODS INC GA 2.02,9.01 08/17/11 FLUSHING FINANCIAL CORP DE 8.01,9.01 08/17/11 GEOPETRO RESOURCES CO CA 5.07 08/12/11 GOLDMAN SACHS GROUP INC DE 9.01 08/17/11 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 08/17/11 Graystone Co DE 5.07,8.01 08/16/11 Graystone Co DE 8.01 08/15/11 GREEN BANKSHARES, INC. TN 1.01,9.01 08/15/11 GTSI CORP DE 1.01,2.01,8.01,9.01 08/15/11 GTSI CORP DE 1.01,2.03,9.01 08/12/11 Hallwood Group Inc DE 2.02,9.01 08/17/11 HAMPSHIRE GROUP LTD DE 1.01,2.02,5.02,9.01 08/11/11 HDS INTERNATIONAL CORP. NV 1.01,2.01,2.03,3.02, 08/17/11 5.01,5.02,5.03,8.01, 9.01 HealthMarkets, Inc. DE 5.02,9.01 08/11/11 HERITAGE FINANCIAL CORP /WA/ WA 8.01 08/17/11 Heritage Financial Group Inc MD 8.01,9.01 08/17/11 HOSPIRA INC DE 5.02,9.01 08/17/11 HOT TOPIC INC /CA/ CA 2.02,9.01 08/17/11 iGambit, Inc. DE 2.02,9.01 08/17/11 INFRASTRUCTURE DEVELOPMENTS CORP. 4.01,9.01 08/04/11 INLAND REAL ESTATE CORP MD 8.01,9.01 08/17/11 INSTITUTIONAL FINANCIAL MARKETS, INC. MD 8.01,9.01 08/17/11 INTERNATIONAL RECTIFIER CORP /DE/ DE 2.02,9.01 08/17/11 INTERNET AMERICA INC TX 2.02,9.01 08/17/11 INTERPUBLIC GROUP OF COMPANIES, INC. DE 8.01,9.01 08/17/11 Invesco Mortgage Capital Inc. MD 8.01 08/17/11 Investors Bancorp Inc DE 1.01,9.01 08/16/11 INX Inc DE 5.02 08/16/11 ITT Corp IN 5.02 08/16/11 JDS UNIPHASE CORP /CA/ DE 2.02,9.01 08/17/11 Kearny Financial Corp. X1 8.01,9.01 08/17/11 Kentucky First Federal Bancorp 5.03,9.01 08/11/11 KEYSTONE CONSOLIDATED INDUSTRIES INC DE 8.01,9.01 08/17/11 Lantheus Medical Imaging, Inc. DE 2.02 08/17/11 Legend Mining Inc. 1.01,5.01,5.02,9.01 07/28/11 LIBERTY STAR URANIUM & METALS CORP. NV 5.02,9.01 08/10/11 Lightwave Logic, Inc. NV 5.07 08/17/11 Lotus Pharmaceuticals, Inc. NV 2.02,9.01 08/15/11 MAGNETEK, INC. DE 2.02 08/17/11 MAM SOFTWARE GROUP, INC. DE 5.02 08/11/11 Man AHL FuturesAccess LLC DE 3.02 08/12/11 Manitex International, Inc. MI 7.01,9.01 08/17/11 MEDCATH CORP DE 2.02,9.01 08/17/11 Merriman Holdings, Inc DE 5.02 08/11/11 Midway Gold Corp A1 2.02,7.01,9.01 08/16/11 MIPS TECHNOLOGIES INC DE 5.02,9.01 08/11/11 ML Aspect FuturesAccess LLC DE 3.02 08/12/11 ML Systematic Momentum FuturesAccess DE 3.02 08/12/11 ML Winton FuturesAccess LLC DE 3.02 08/12/11 MONEYGRAM INTERNATIONAL INC 1.01 08/12/11 MORRIS PUBLISHING GROUP LLC GA 8.01 08/15/11 MOTRICITY INC DE 1.01,5.02,7.01,9.01 08/12/11 MYRIAD GENETICS INC DE 8.01,9.01 08/15/11 NABORS INDUSTRIES LTD D0 1.01,8.01,9.01 08/16/11 NATIONAL OILWELL VARCO INC DE 5.03,9.01 08/17/11 NEOPROBE CORP DE 5.02,5.07,8.01,9.01 08/15/11 NEOPROBE CORP DE 5.02,5.07,8.01,9.01 08/15/11 AMEND NetApp, Inc. CA 2.02,9.01 08/17/11 NetApp, Inc. CA 5.02 08/17/11 NetSpend Holdings, Inc. DE 8.01,9.01 08/17/11 NEW CENTURY BANCORP INC NC 8.01,9.01 08/12/11 NEWS CORP 8.01,9.01 08/16/11 NGP Capital Resources Co MD 7.01,9.01 08/17/11 NORTEL NETWORKS CORP 2.02,9.01 08/11/11 NORTHERN TRUST CORP DE 7.01,9.01 08/17/11 NUTRACEA CA 8.01 08/15/11 Nutrastar International Inc. NV 5.02,9.01 08/17/11 NVE CORP /NEW/ MN 5.07 08/15/11 AMEND ODYSSEY PICTURES CORP NV 3.02 08/16/11 OGLETHORPE POWER CORP GA 2.03,8.01,9.01 08/16/11 Optionable Inc 8.01 08/12/11 ORTHOFIX INTERNATIONAL N V 5.07 08/16/11 PACIFIC MERCANTILE BANCORP CA 2.02,9.01 08/15/11 PAETEC Holding Corp. 1.01,3.03,8.01,9.01 08/16/11 Peoples Federal Bancshares, Inc. MD 5.07,9.01 08/16/11 PERMA FIX ENVIRONMENTAL SERVICES INC DE 1.01,2.01,9.01 08/12/11 PETSMART INC DE 2.02,9.01 08/17/11 PHC INC /MA/ MA 2.02,9.01 08/17/11 PHH CORP MD 1.01,8.01,9.01 08/12/11 PHOTRONICS INC CT 2.02,9.01 08/16/11 PINNACLE FINANCIAL PARTNERS INC TN 5.02,9.01 08/12/11 PLAINS ALL AMERICAN PIPELINE LP DE 1.01,9.01 08/11/11 POLARIS INDUSTRIES INC/MN MN 5.03,9.01 08/15/11 POPULAR INC 5.02,9.01 08/15/11 PostRock Energy Corp DE 9.01 08/08/11 AMEND PREMIER EXHIBITIONS, INC. FL 8.01,9.01 08/17/11 PROGRESSIVE CORP/OH/ OH 7.01,9.01 08/17/11 Protalix BioTherapeutics, Inc. FL 8.01,9.01 08/17/11 Pulse Beverage Corp NV 5.03,9.01 08/11/11 Q LOTUS HOLDINGS INC 1.01,2.03,3.02,9.01 08/12/11 QUEST DIAGNOSTICS INC DE 5.07 08/12/11 AMEND Rand Logistics, Inc. DE 7.01,9.01 08/15/11 Red Lion Hotels CORP WA 5.02 08/16/11 RED MOUNTAIN RESOURCES, INC. FL 3.02,8.01 08/16/11 REGENERON PHARMACEUTICALS INC NY 8.01,9.01 08/17/11 RENAISSANCE LEARNING INC WI 8.01,9.01 08/17/11 Rockville Financial, Inc. /CT/ CT 8.01 08/17/11 RYLAND GROUP INC MD 5.02 08/15/11 SEACOAST BANKING CORP OF FLORIDA FL 8.01,9.01 08/15/11 Sono Resources, Inc. NV 1.01,9.01 08/11/11 SOUTHERN UNION CO DE 8.01,9.01 08/16/11 SOUTHERN UNION CO DE 8.01,9.01 08/17/11 SPECTRUM PHARMACEUTICALS INC DE 2.04,3.02 08/15/11 STAPLES INC DE 2.02,9.01 08/17/11 STAR GAS PARTNERS LP DE 7.01 08/17/11 STELLAR PHARMACEUTICALS INC 7.01,9.01 08/17/11 STRATEGIC AMERICAN OIL CORP NV 8.01,9.01 08/17/11 STRUCTURED PROD TIERS CORP BOND-BCKD DE 8.01,9.01 08/15/11 STRUCTURED PRODUCTS CORP COR TRUST FO DE 8.01,9.01 08/15/11 STRUCTURED PRODUCTS CORP CORTS TRUST DE 8.01,9.01 08/15/11 STRUCTURED PRODUCTS CORP CORTS TRUST DE 8.01,9.01 08/15/11 SUPERIOR OIL & GAS CO NV 8.01 08/16/11 SYNOPSYS INC DE 2.02,9.01 08/17/11 SYNTHESIS ENERGY SYSTEMS INC DE 7.01,9.01 08/17/11 Tara Minerals Corp. NV 1.01 08/08/11 TARGET CORP MN 2.02,8.01,9.01 08/17/11 TASER INTERNATIONAL INC 8.01 08/16/11 TaxMasters, Inc. NV 8.01 08/17/11 TEMPLE INLAND INC DE 8.01,9.01 08/13/11 Tennessee Commerce Bancorp, Inc. TN 2.02,9.01 07/28/11 AMEND TERRACE VENTURES INC NV 7.01 08/16/11 TESCO CORP 5.02 08/10/11 Texas Rare Earth Resources Corp. NV 7.01,9.01 08/16/11 Texas Roadhouse, Inc. DE 1.01,1.02,2.03,9.01 08/12/11 TIDEWATER INC DE 1.01,2.03,9.01 08/15/11 Tim Hortons Inc. A6 5.02 08/11/11 AMEND TITAN PHARMACEUTICALS INC DE 8.01,9.01 08/16/11 TMS International Corp. DE 5.02,9.01 08/16/11 TRANS LUX CORP DE 2.02,9.01 08/17/11 TRANSCONTINENTAL REALTY INVESTORS INC NV 2.02,9.01 08/15/11 Transocean Ltd. V8 5.02 08/17/11 Transocean Ltd. V8 7.01,9.01 08/17/11 Transocean Ltd. V8 5.07 05/13/11 AMEND TRICO MARINE SERVICES INC DE 1.03,5.02,8.01 08/11/11 Trius Therapeutics Inc DE 5.02 08/11/11 TRUDY CORP DE 4.01,9.01 08/17/11 United States Oil & Gas Corp DE 2.02,9.01 08/17/11 UniTek Global Services, Inc. DE 2.02,9.01 08/16/11 UWHARRIE CAPITAL CORP NC 2.02,9.01 06/07/11 Valley Commerce Bancorp CA 5.07 08/15/11 VISHAY INTERTECHNOLOGY INC DE 5.02,9.01 08/17/11 WESTERGAARD COM INC DE 1.01,2.01,3.02,5.02, 02/11/11 AMEND 5.03,5.06,9.01 Westinghouse Solar, Inc. DE 1.01,3.03,9.01 08/16/11 WHITE MOUNTAINS INSURANCE GROUP LTD D0 8.01,9.01 08/17/11 WILLIAM LYON HOMES DE 8.01 08/15/11 WILLIAMS COMPANIES INC DE 8.01,9.01 08/16/11 WINLAND ELECTRONICS INC MN 2.02,9.01 08/11/11 WORKSTREAM INC A6 1.01,3.02,5.02,9.01 08/15/11 ZOGENIX, INC. DE 8.01 08/17/11
http://www.sec.gov/news/digest/2011/dig081811.htm
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