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Commission AnnouncementsCommission Adopts Amendments to Include New Applicant Types on Form IDThe Securities and Exchange Commission (“Commission”) adopted a final rule to amend Form ID to include additional applicant types and corresponding definitions in order to improve the Commission’s internal procedures for processing filings, including by routing Form ID filings to the appropriate internal office or division. The new applicant types include persons that currently file on EDGAR but who are not separately listed on Form ID, persons that currently file forms with the Commission in paper but who may be required to file on EDGAR in the future, and persons who will be required to meet certain new filing obligations under the Securities Exchange Act of 1934, including provisions added by the Dodd-Frank Wall Street Reform and Consumer Protection Act. Publication of the final rule is expected in the Federal Register during the week of September 6, 2011. (Rel. Nos. 33-9256; 34-65244; 39-2478; IC-29780) Enforcement ProceedingsIn the Matter of Sequenom, Inc.The Commission announced the issuance of an Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order (Order) against Sequenom, Inc. (Sequenom). The Order finds that Sequenom made material misrepresentations regarding the performance of its prenatal screening test for Down syndrome in certain filings with the Commission, and as a result, violated Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder, as well as Section 13(a) of the Exchange Act and Rules 12b-20, 13a-1, and 13a-11 thereunder. The Order requires Sequenom to cease and desist from committing or causing any violations and any future violations of the securities laws referenced above. Sequenom consented to the issuance of the Order without admitting or denying any of the findings in the Order. (Rel. No. 34-65247; File No. 3-14524). Commission Revokes Registration of Securities of Excellency Investment Realty Trust, Inc. for Failure to Make Required Periodic FilingsOn September 02, 2011, the Commission revoked the registration of each class of the registered securities of Excellency Investment Realty Trust, Inc. (Excellency Investment Realty Trust) for failure to make required periodic filings with the Commission. Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, Excellency Investment Realty Trust consented to the entry of an Order Instituting Proceedings Pursuant to Section 12(j) of the Securities Exchange Act of 1934, Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Excellency Investment Realty Trust, Inc. finding that it failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of Excellency Investment Realty Trust’s securities pursuant to Section 12(j) of the Exchange Act. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows: No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transition in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked…. For further information see Order Instituting Administrative Proceedings Pursuant to Section 12(j) of the Securities Exchange Act of 1934, Making Findings, and Revoking Registration of Securities, In the Matter of Excellency Investment Realty Trust, Inc. Administrative Proceeding File No. 3-14525, Exchange Act Release No. 34-65248, September 2, 2011) In the Matter of Robert FeinblattThe Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions against Robert Feinblatt. The Order finds that Feinblatt was a co-founder and principal at Trivium Capital Management Funds, LLC (Trivium), a Delaware limited liability company and registered investment adviser based in New York, New York. He has held a Series 7 securities license. On January 10, 2011, the Commission filed a civil action against Feinblatt in SEC v. Feinblatt et al., Civil Action No. 11-CV-0170 (SDNY). On June 28, 2011, the Commission amended its complaint. On July 18, the Court entered an order permanently enjoining Feinblatt, by consent, from future violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Commission’s complaint alleged that, in connection with the purchase, offer or sale of securities, Feinblatt knew, recklessly disregarded, or should have known, that the material non-public information he received from a tipper was disclosed or misappropriated in breach of a fiduciary duty, or similar relationship of trust and confidence, and Feinblatt is liable for the trading that occurred in Trivium funds because he effectuated trades on behalf of Trivium, controlled Trivium and/or unlawfully tipped inside information to Trivium. Based on the foregoing, the Order bars Feinblatt from association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent, with the right to apply for reentry after 5 years to the appropriate self-regulatory organization, or if there is none, to the Commission. Robert Feinblatt consented to the issuance of the Order without admitting or denying the findings in the Order, except he admitted to the entry of the injunction and the conviction. (Rel. No. IA-3270; File No. 3-14526). SEC Halts Fraud Conducted By Purported Life Settlement CompanyThe Commission today announced that it has obtained an emergency court order to halt an alleged $4.5 million investment scheme by a Los Angeles-based company that purports to broker life settlements. The Commission alleges that Daniel C.S. Powell and his company Christian Stanley Inc. have spent the past seven years creating the illusion that it was a legitimate company involved in the life settlement industry. Contrary to what investors were told, Christian Stanley has never purchased or generated any revenue as a result of brokering the sale of a single life settlement, and has barely derived any revenue from any of its purported business ventures. Instead, Powell has simply used the Christian Stanley name as a vehicle to raise at least $4.5 million in an unregistered offering of debenture notes, and spent most of the money for purposes unrelated to its ostensible business operations. Powell misused investor funds to finance his stays at luxury hotels, visits to nightclubs and restaurants, and purchases of high-end vehicles. The Honorable George H. King for the U.S. District Court for the Central District of California yesterday granted the Commission’s request for a temporary restraining order and asset freeze against Powell and his companies. The court also appointed Robb Evans & Associates LLC as temporary receiver over the entities. According to the Commission’s complaint, Powell raised funds from at least 50 investors nationwide in the fraudulent debenture offering, promising investors fixed interest returns ranging from 5 to 15.5 percent annually for five-year terms. Powell claimed the notes were backed by assets such as a gold mine in Nevada and a coal mine in Kentucky that he said held coal deposits valued at $11.8 billion. The Commission alleges that instead of using investor money to purchase life settlements or develop the coal and gold mines, Powell and Christian Stanley instead used investors’ money for such unrelated purposes as sales commissions and Ponzi-like payments to existing note holders. Among Powell’s other personal expenditures with investor funds were $21,000 toward his school loans, more than $5,000 for cowboy boots, and nearly $5,000 to register for a dating service. The Commission’s complaint alleges that Christian Stanley and Powell violated Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder; and seeks preliminary and permanent injunctions, appointment of a permanent receiver, disgorgement of ill-gotten gains with prejudgment interest thereon, and financial penalties, against each of them. The Commission’s complaint also names Christian Stanley, LLC and Daniel Christian Stanley Powell Realty Holdings, Inc., entities that Powell controls, as relief defendants, seeking disgorgement of their ill-gotten gains. Judge King has scheduled a court hearing for Sept. 15, 2011, on the Commission’s motion for a preliminary injunction. [Securities and Exchange Commission v. Christian Stanley, Inc. and Daniel C.S. Powell, et al. Case No. CV 11-07147 GHK (MANx ) ] (LR-22082). Self-Regulatory OrganizationsProposed Rule ChangeThe Commission issued notice of a proposed rule change submitted by NYSE Arca, Inc. (SR-NYSEArca-2011-63), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934, to list and trade shares of the United States Metals Index Fund, the United States Agriculture Index Fund and the United States Copper Index Fund under NYSE Arca Equities Rule 8.200. Publication is expected in the Federal Register during the week of September 6th. (Rel. No. 34-65249) Immediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by the NASDAQ Stock Market LLC to modify fees for members using the NASDAQ Market Center (SR-NASDAQ-2011-120) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of September 6th. (Rel. No. 34-65246) A proposed rule change filed by the Chicago Board Options Exchange, Incorporated to delete obsolete language from the CBOE Stock Exchange fees schedule (SR-CBOE-2011-084) 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 September 6th. (Rel. No. 34-65250) 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-1 FORUM ENERGY TECHNOLOGIES, INC., 8807 W SAM HOUSTON PKWY NORTH,
SUITE 200, HOUSTON, TX, 77040, 713-351-7900 -
0 ($300,000,000.00) Equity, (File 333-176603 - Sep. 1) (BR. 04B)
S-11 PREFERRED APARTMENT COMMUNITIES INC, 3625 CUMBERLAND BOULEVARD,
SUITE 400, ATLANTA, GA, 30339, 770 818 4100 -
0 ($174,810,000.00) Equity, (File 333-176604 - Sep. 1) (BR. 08C)
S-4 OIL STATES INTERNATIONAL, INC, THREE ALLEN CENTER,
333 CLAY STREET, SUITE 4620, HOUSTON, TX, 77002, 713-652-0582 -
0 ($600,000,000.00) Debt, (File 333-176605 - Sep. 1) (BR. 04C)
S-3ASR GRAPHIC PACKAGING HOLDING CO, 814 LIVINGSTON COURT, MARIETTA, GA,
30067, (770) 644-3000 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-176606 - Sep. 1) (BR. 09B)
S-3 PHARMATHENE, INC, ONE PARK PLACE, SUITE 450, ANNAPOLIS, MD, 21401,
410 269 2600 - 0 ($12,599,389.00) Equity, (File 333-176607 - Sep. 1)
(BR. 01B)
S-8 ATA Inc., 8TH FLOOR, TOWER E, 6 GONGYUAN WEST ST., JIAN GUO MEN NEI,
BEIJING, F4, 100005, 8610-6518-1122 -
336,307 ($1,439,393.96) ADRs/ADSs, (File 333-176608 - Sep. 1) (BR. 11C)
S-8 AGENUS INC, 162 FIFTH AVENUE SUITE 900, NEW YORK, NY, 10010,
212-994-8200 - 300,000 ($147,000.00) Equity, (File 333-176609 - Sep. 1)
(BR. 01B)
S-1 Sanchez Energy Corp, 1111 BAGBY STREET, SUITE 1600, HOUSTON, TX, 77002,
713-783-8000 - 0 ($150,000,000.00) Equity, (File 333-176613 - Sep. 1)
(BR. 04)
S-1 Zoom Telephonics, Inc., 207 SOUTH STREET, BOSTON, MA, 02111,
617-423-1072 - 10,901,244 ($2,943,336.00) Equity, (File 333-176614 -
Sep. 1) (BR. 11C)
S-1 US CONCRETE INC, 2925 BRIARPARK, SUITE 1050, HOUSTON, TX, 77042,
713-499-6200 - 0 ($8,453,000.00) Debt Convertible into Equity,
(File 333-176615 - Sep. 1) (BR. 06A)
S-3ASR UDR, Inc., 1745 SHEA CENTER DRIVE, SUITE 200, HIGHLANDS RANCH, CO,
80129, 720-283-6120 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-176616 - Sep. 1) (BR. 08C)
F-1 BONTAN CORP INC, 47 AVENUE ROAD, SUITE 200, TORONTO, A6, M5R 2G3,
416-929-1806 - 61,102,500 ($13,258,875.00) Equity, (File 333-176618 -
Sep. 1) (BR. 04B)
S-8 ABIOMED INC, 22 CHERRY HILL DR, DANVERS, MA, 01923, 9787775410 -
3,200,000 ($36,352,000.00) Equity, (File 333-176620 - Sep. 1) (BR. 10A)
S-3 Trius Therapeutics Inc, 6310 NANCY RIDGE DR SUITE 105, SAN DIEGO, CA,
92121, 858-452-0370 -
0 ($100,000,000.00) Unallocated (Universal) Shelf, (File 333-176621 -
Sep. 1) (BR. 01B)
S-3 LIME ENERGY CO., 1280 LANDMEIER ROAD, ELK GROVE, IL, 60007,
8474371666 - 0 ($50,000,000.00) Unallocated (Universal) Shelf,
(File 333-176622 - Sep. 1) (BR. 10B)
N-2 Hatteras Multi-Strategy Fund, L.P.,
8540 COLONNADE CENTER DRIVE, SUITE 401, RALEIGH, NC, 27615,
(919) 846-2324 - 0 ($600,000,000.00) Limited Partnership Interests,
(File 333-176623 - Sep. 1) (BR. 18)
N-2 Hatteras Multi-Strategy TEI Fund, L.P.,
8540 COLONNADE CENTER DRIVE, SUITE 401, RALEIGH, NC, 27615,
(919) 846-2324 - 0 ($600,000,000.00) Limited Partnership Interests,
(File 333-176624 - Sep. 1) (BR. 18)
N-2 Hatteras Multi-Strategy TEI Institutional Fund, L.P.,
8540 COLONNADE CENTER DRIVE, SUITE 401, RALEIGH, NC, 27615,
919.846.2324 - 0 ($1,000,000,000.00) Limited Partnership Interests,
(File 333-176625 - Sep. 1) (BR. 18)
S-8 CELLCYTE GENETICS CORP, PMB189, 14205 SE 36TH, SUITE 100, BELLEVUE, WA,
98006, 425-519-3755 - 40,000,000 ($140,000.00) Equity,
(File 333-176631 - Sep. 1) (BR. 01B)
F-3 Searchmedia Holdings Ltd, 1990 S. BUNDY BLVD., LOS ANGELES, CA, 90025,
310-694-8150 - 0 ($14,954,454.00) Equity, (File 333-176634 - Sep. 1)
(BR. 11A)
S-3 ChromaDex Corp., 10005 MUIRLANDS BLVD., STE. G, FIRST FLOOR, IRVINE,
CA, 92618, 949-419-0288 - 0 ($64,313,391.00) Equity, (File 333-176636 -
Sep. 1) (BR. 01A)
N-2 PROSPECT CAPITAL CORP, 10 EAST 40TH STREET 44TH FL, NEW YORK, NY,
10016, 212-448-0702 - 0 ($219,325,000.00) Other, (File 333-176637 -
Sep. 1) (BR. 16)
S-8 AFFYMETRIX INC, 3420 CENTRAL EXPRESSWAY, SANTA CLARA, CA, 95051,
4087315000 - 7,000,000 ($36,050,000.00) Equity, (File 333-176638 -
Sep. 1) (BR. 10A)
N-2 Hatteras Multi-Strategy Institutional Fund, L.P.,
8540 COLONNADE CENTER DRIVE, SUITE 401, RALEIGH, NC, 27615,
919.846.2324 - 0 ($500,000,000.00) Limited Partnership Interests,
(File 333-176639 - Sep. 1) (BR. 18)
S-4 MERGE HEALTHCARE INC, 200 E. RANDOLPH STREET, 24TH FLOOR, CHICAGO, IL,
60601-3436, 312-565-6868 - 0 ($52,000,000.00) Non-Convertible Debt,
(File 333-176640 - Sep. 1) (BR. 03C)
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
AB&T Financial CORP NC 5.02 09/01/11
ACTUATE CORP DE 4.01,9.01 08/27/11
AeroGrow International, Inc. NV 2.02,7.01,9.01 09/01/11
ALBEMARLE CORP VA 8.01 09/01/11
Allegiant Travel CO NV 7.01,9.01 09/01/11
ALLSTATE LIFE INSURANCE CO 1.01,9.01 09/01/11
ALTERRA CAPITAL HOLDINGS Ltd 1.01,7.01,9.01 08/26/11
AMBASE CORP DE 8.01 09/01/11
AMERIGROUP CORP 8.01 08/30/11
AMSURG CORP TN 7.01,9.01 09/01/11
Anchor Bancorp WA 2.02,9.01 08/31/11
ANGEION CORP/MN MN 2.02,9.01 09/01/11
Anoteros, Inc. NV 1.01,9.01 06/30/11
Aptalis Pharma Inc DE 2.01,2.03,9.01 08/31/11
ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 09/01/11
ASTRONICS CORP NY 1.01,2.03,9.01 08/31/11
AT&T INC. DE 8.01 08/31/11
ATMEL CORP DE 1.01,2.03 08/30/11
ATWOOD OCEANICS INC TX 7.01,9.01 08/31/11
ATWOOD OCEANICS INC TX 7.01,9.01 08/31/11
AUXILIUM PHARMACEUTICALS INC 1.01,7.01,9.01 08/31/11
BAKKEN RESOURCES INC 5.07 09/01/11
BANK OF AMERICA CORP /DE/ DE 3.03,5.03,8.01,9.01 08/31/11
BERTHEL GROWTH & INCOME TRUST I DE 2.01 08/26/11
BIOLIFE SOLUTIONS INC DE 1.02 09/01/11
BIOSPECIFICS TECHNOLOGIES CORP DE 1.01,7.01,9.01 09/01/11
Bizzingo, Inc. NV 5.02 08/19/11
Bonanza Goldfield Corp. NV 5.02,9.01 08/29/11
BRUNSWICK CORP DE 2.05 08/30/11
BWAY PARENT COMPANY, INC. DE 5.02 08/29/11
CAMERON INTERNATIONAL CORP DE 1.01,8.01,9.01 08/31/11
Capitol Federal Financial Inc MD 8.01,9.01 09/01/11
CAPSTONE TURBINE Corp DE 5.07 08/26/11
Cardium Therapeutics, Inc. DE 8.01,9.01 08/26/11
CARMAX INC VA 8.01 08/31/11
CEDAR FAIR L P DE 5.02 08/29/11
CENTRAL VERMONT PUBLIC SERVICE CORP VT 8.01,9.01 09/01/11
CERADYNE INC DE 5.02,7.01,9.01 08/29/11
CHARMING SHOPPES INC PA 2.02,9.01 09/01/11
CHART INDUSTRIES INC DE 7.01,9.01 08/31/11
China Century Dragon Media, Inc. DE 3.01,7.01,9.01 08/22/11
China Energy Recovery, Inc. DE 1.01 08/31/11
China Forestry Industry Group, Inc. CA 5.07 09/01/11
China TMK Battery Systems Inc. NV 5.02 09/01/11
Chrysler Group LLC DE 8.01,9.01 09/01/11
CIENA CORP DE 2.02,9.01 09/01/11
CIRCLE STAR ENERGY CORP. NV 9.01 06/15/11 AMEND
CIT GROUP INC DE 8.01,9.01 08/30/11
CLAIRES STORES INC DE 2.02,9.01 08/31/11
Clark Holdings Inc. DE 8.01,9.01 09/01/11
CLEAN WIND ENERGY TOWER, INC. NV 1.01,2.03,3.02,9.01 08/31/11
CMS ENERGY CORP MI 7.01,9.01 09/01/11
COCA COLA CO DE 2.03 09/01/11
COINSTAR INC DE 7.01,8.01 08/29/11
CONTANGO OIL & GAS CO DE 2.02,9.01 08/29/11
Cooper-Standard Holdings Inc. DE 8.01,9.01 09/01/11
CORPORATE OFFICE PROPERTIES TRUST MD 9.01 08/05/11 AMEND
COSI INC DE 5.02,9.01 08/29/11
COSTCO WHOLESALE CORP /NEW WA 2.02,5.02 08/31/11
CPI CORP DE 5.02,9.01 03/18/11 AMEND
CREDO PETROLEUM CORP DE 8.01,9.01 08/31/11
CREENERGY Corp NV 1.01,9.01 08/23/11
CROGHAN BANCSHARES INC OH 1.01,9.01 08/31/11
CURIS INC DE 5.02 08/29/11
CYCLE COUNTRY ACCESSORIES CORP NV 1.01,8.01,9.01 08/26/11
CYS Investments, Inc. MD 5.02,5.03,8.01,9.01 09/01/11
DEERE & CO DE 7.01 09/01/11
DELTA APPAREL, INC GA 2.02,7.01,9.01 08/31/11 AMEND
DENTSPLY INTERNATIONAL INC /DE/ DE 1.01,2.01,9.01 08/31/11
Discover Financial Services DE 1.01,7.01 08/31/11
Domtar CORP DE 8.01,9.01 09/01/11
DUNKIN' BRANDS GROUP, INC. DE 7.01,9.01 08/31/11
ELECTRO RENT CORP CA 8.01,9.01 09/01/11
Empire Post Media, Inc. NV 1.01,2.01,3.02,9.01 09/01/11
Empowered Products, Inc. NV 2.01,2.02,3.02,5.01 06/30/11 AMEND
ENERGY XXI (BERMUDA) LTD D0 8.01,9.01 09/01/11
ESTERLINE TECHNOLOGIES CORP DE 2.02,9.01 09/01/11
EVERGREEN ENERGY INC DE 1.01 08/30/11
EXCELSIOR LASALLE PROPERTY FUND INC 8.01 08/31/11
Expedia, Inc. 5.02,9.01 09/01/11
EXPRESS-1 EXPEDITED SOLUTIONS INC DE 5.07,8.01 09/01/11
Federal Home Loan Bank of Atlanta X1 2.03 09/01/11
Federal Home Loan Bank of Boston X1 2.03 08/26/11
Federal Home Loan Bank of Chicago X1 2.03 08/29/11
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 08/29/11
Federal Home Loan Bank of Dallas 2.03,9.01 08/30/11
Federal Home Loan Bank of Des Moines X1 2.03,9.01 08/30/11
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 09/01/11
Federal Home Loan Bank of New York X1 2.03,9.01 08/29/11
Federal Home Loan Bank of New York X1 8.01 09/01/11
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 08/29/11
Federal Home Loan Bank of San Francis X1 2.03 08/29/11
Federal Home Loan Bank of Seattle 2.03 08/29/11
Federal Home Loan Bank of Topeka 2.03,9.01 08/29/11
FELAFEL CORP 8.01 06/27/11
FERO INDUSTRIES, INC. CO 1.01,2.03,3.02,
5.02,9.01 07/29/11
FIFTH THIRD BANCORP OH 8.01,9.01 09/01/11
FINISAR CORP DE 2.02,9.01 09/01/11
FINISH LINE INC /IN/ IN 8.01,9.01 09/01/11
Flagstone Reinsurance Holdings, S.A. N4 7.01 09/01/11
FNDS3000 Corp DC 8.01,9.01 09/01/11
FORD MOTOR CO DE 8.01,9.01 09/01/11
FORD MOTOR CREDIT CO LLC DE 8.01,9.01 09/01/11
FRIEDMAN INDUSTRIES INC TX 5.07 09/01/11
GAP INC DE 7.01,9.01 09/01/11
GENTEX CORP MI 5.02 08/29/11
GENUINE PARTS CO GA 8.01,9.01 09/01/11
GeoEye, Inc. DE 1.01 08/30/11
Global Geophysical Services Inc DE 8.01,9.01 08/31/11
GOLDMAN SACHS GROUP INC DE 9.01 09/01/11
Granite Falls Energy, LLC MN 1.01,7.01,8.01,9.01 08/26/11
Granite Falls Energy, LLC MN 1.01,7.01,8.01,9.01 08/26/11 AMEND
GRYPHON GOLD CORP NV 5.02,7.01,9.01 09/01/11
GTJ REIT, Inc. MD 1.01,2.03 08/26/11
GULFMARK OFFSHORE INC DE 8.01,9.01 08/30/11
GULFMARK OFFSHORE INC DE 7.01,9.01 09/01/11
H&R BLOCK INC MO 2.02,9.01 09/01/11
HEALTH CARE REIT INC /DE/ DE 8.01,9.01 09/01/11
HealthMarkets, Inc. DE 5.02,9.01 09/01/11 AMEND
HEALTHSOUTH CORP DE 1.02,7.01,9.01 09/01/11
Hillenbrand, Inc. IN 2.01,8.01,9.01 08/31/11
HNI CORP IA 2.05 08/11/11
HOLLY ENERGY PARTNERS LP DE 1.01,9.01 08/31/11
HollyFrontier Corp DE 1.01,9.01 08/31/11
HPC POS SYSTEM, CORP. NV 5.02 09/01/11
ILLINOIS TOOL WORKS INC DE 1.01,2.03,9.01 08/31/11
Independent Film Development CORP NV 4.01,9.01 07/27/11 AMEND
India Globalization Capital, Inc. MD 5.07 08/25/11
INDIANA COMMUNITY BANCORP IN 8.01 08/26/11
INFINITY PROPERTY & CASUALTY CORP OH 1.01,9.01 08/29/11
INSPERITY, INC. DE 1.01,8.01 08/30/11
INTEGRATED ENVIRONMENTAL TECHNOLOGIES NV 5.07 09/30/10 AMEND
INTERNATIONAL DEVELOPMENT & ENVIRONME NV 1.01,5.02,9.01 08/22/11
Iron Eagle Group, Inc. DE 1.01,9.01 05/19/11
ITEX CORP NV 8.01 09/01/11
J CREW GROUP INC DE 2.02,8.01,9.01 08/30/11
JOY GLOBAL INC DE 1.01,9.01 08/29/11
JUNIPER NETWORKS INC DE 5.03 09/01/11
Kaiser Federal Financial Group, Inc. MD 8.01,9.01 08/30/11
KEATING CAPITAL INC 7.01 08/29/11
KEYCORP /NEW/ OH 8.01 09/01/11
KOHLS Corp WI 2.02,9.01 09/01/11
LAM RESEARCH CORP DE 7.01,9.01 08/30/11
LATTICE SEMICONDUCTOR CORP DE 5.02,9.01 08/31/11
LEAR CORP DE 5.02 08/30/11
LEVEL 3 COMMUNICATIONS INC DE 8.01,9.01 09/01/11 AMEND
LIQUIDITY SERVICES INC 1.01,3.02,8.01,9.01 09/01/11
LKQ CORP DE 5.07 05/02/11 AMEND
Location Based Technologies, Inc. NV 5.07,7.01,9.01 08/30/11
LOCKHEED MARTIN CORP MD 1.01,1.02,2.03,9.01 08/26/11
Loreto Resources Corp. NV 5.02 08/25/11 AMEND
LUCAS ENERGY, INC. NV 1.01,9.01 08/31/11
Mantra Venture Group Ltd. 1.01,9.01 08/25/11
Marina District Development Company, NJ 8.01 09/01/11
Marina District Finance Company, Inc. NJ 8.01 09/01/11
MATTSON TECHNOLOGY INC DE 5.02,9.01 08/31/11
MEDCATH CORP DE 1.01,9.01 08/26/11
METHODE ELECTRONICS INC DE 2.02,9.01 09/01/11
MGP INGREDIENTS INC KS 5.02,5.03,7.01,
8.01,9.01 08/25/11
Millstream Ventures, Inc. NV 1.01,2.01,5.01,
5.06,9.01 09/01/11 AMEND
MITEL NETWORKS CORP 2.02,9.01 09/01/11
MOLSON COORS BREWING CO DE 5.02,9.01 08/29/11
MORGANS FOODS INC OH 1.01 08/30/11
MORRIS PUBLISHING GROUP LLC GA 4.01,9.01 08/16/11 AMEND
MOVADO GROUP INC NY 2.02,9.01 09/01/11
MS STRUCTURED ASSET CORP DE 8.01,9.01 12/01/03 AMEND
MS STRUCTURED ASSET CORP DE 8.01,9.01 04/15/03 AMEND
MS STRUCTURED ASSET CORP CBT SERIES 2 DE 8.01,9.01 08/25/11
MS STRUCTURED SATURNS SERIES 2002-14 DE 8.01,9.01 03/15/04 AMEND
MS STRUCTURED SATURNS SERIES 2003-15 DE 8.01,9.01 06/01/04 AMEND
MS STRUCTURED SATURNS SERIES 2004-2 DE 8.01,9.01 08/16/04 AMEND
MS STRUCTURED SATURNS SERIES 2005-2 DE 8.01,9.01 07/01/05 AMEND
MS STRUCTURED SATURNS SERIES 2005-3 DE 8.01,9.01 09/01/11
NAVIGANT CONSULTING INC DE 5.02,9.01 08/30/11
NAVISTAR INTERNATIONAL CORP DE 2.06 07/29/11 AMEND
NEUROCRINE BIOSCIENCES INC CA 1.02,5.02 08/31/11
NeuroMetrix, Inc. DE 8.01,9.01 09/01/11
NEWPORT CORP NV 7.01 09/01/11
NEWS CORP 8.01,9.01 09/01/11
NEXTERA ENERGY INC FL 8.01 09/01/11
NGL Energy Partners LP DE 1.01,7.01,9.01 08/31/11
NGP Capital Resources Co MD 7.01,9.01 09/01/11
NICHOLAS FINANCIAL INC FL 8.01,9.01 09/01/11
NightCulture, Inc. NV 5.03 08/26/11
NISOURCE INC/DE DE 5.02,9.01 09/01/11
NORD RESOURCES CORP DE 5.02,8.01,9.01 08/30/11
NORDSON CORP OH 2.01,7.01,9.01 08/26/11
NORDSTROM INC WA 7.01,9.01 09/01/11
OGE ENERGY CORP. OK 8.01 08/26/11
ONEOK INC /NEW/ OK 7.01,9.01 08/31/11
ONEOK Partners LP DE 7.01,9.01 08/31/11
ONVIA INC DE 5.03,9.01 08/30/11
ORAGENICS INC FL 5.02,5.03,5.07,9.01 08/29/11
Orange 21 Inc. DE 5.01 08/26/11
OVERSTOCK.COM, INC DE 8.01,9.01 09/01/11
OXIGENE INC DE 2.05,5.02,8.01,9.01 08/30/11
Pacific Biomarkers, Inc. DE 2.01,5.02,5.03,5.07,
9.01 08/29/11
PACKAGING CORP OF AMERICA 5.02,7.01,9.01 08/30/11
PAWS Pet Company, Inc. IL 1.01,9.01 08/26/11
PDI INC 8.01,9.01 08/25/11
Pegasus Tel, Inc DE 1.01,9.01 06/06/11 AMEND
PennantPark Floating Rate Capital Ltd 7.01 09/01/11
PENNANTPARK INVESTMENT CORP 7.01 09/01/11
PENSON WORLDWIDE INC DE 8.01,9.01 09/01/11
PIEDMONT NATURAL GAS CO INC NC 5.02 09/01/11
PIER 1 IMPORTS INC/DE DE 7.01,9.01 09/01/11
PIZZA INN INC /MO/ MO 5.03,9.01 08/26/11
POWER SOLUTIONS INTERNATIONAL, INC. DE 7.01 08/25/11 AMEND
PRESSTEK INC /DE/ DE 1.01,9.01 09/01/11
Puda Coal, Inc. 8.01,9.01 08/30/11
QCR HOLDINGS INC DE 8.01,9.01 09/01/11
QCR HOLDINGS INC DE 8.01,9.01 09/01/11
QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 1.01,2.03,3.02,9.01 08/31/11
QUANTUM SOLAR POWER CORP. 5.02,9.01 08/31/11
QUIKSILVER INC DE 2.02,9.01 09/01/11
RADIOSHACK CORP DE 1.01,9.01 09/01/11
RARUS MINERALS INC NV 1.01,2.03,9.01 09/01/11
REPROS THERAPEUTICS INC. DE 8.01,9.01 09/01/11
RIGHTNOW TECHNOLOGIES INC MT 7.01 08/31/11
RVUE HOLDINGS, INC. NV 3.03,5.02,5.03,
5.07,9.01 08/29/11
SAKS INC TN 7.01,9.01 09/01/11
SALAMON GROUP INC 5.02 09/01/11
Santaro Interactive Entertainment Co NV 1.01,3.02,9.01 08/29/11
SCHWAB CHARLES CORP DE 2.01,9.01 09/01/11
SENIOR HOUSING PROPERTIES TRUST MD 1.01,9.01 08/31/11
SFN Group Inc. DE 5.02,9.01 02/28/11 AMEND
Shire plc 8.01,9.01 09/01/11
Shire plc 8.01,9.01 09/01/11
Six Flags Entertainment Corp 5.02,9.01 08/30/11
SL GREEN REALTY CORP MD 5.02 08/31/11
SPARE BACKUP, INC. DE 1.01 09/01/11
ST JOE CO FL 5.02 08/29/11
SUNPOWER CORP DE 1.01 08/26/11
SURGE COMPONENTS INC NY 5.03,9.01 08/31/10 AMEND
TANDY BRANDS ACCESSORIES INC DE 2.02,9.01 08/31/11
TIDEWATER INC DE 8.01,9.01 08/29/11
TIVO INC DE 1.01 08/29/11
TJX COMPANIES INC /DE/ DE 5.04,9.01 08/26/11
TORVEC INC NY 8.01 08/26/11
UDR, Inc. MD 5.03,9.01 08/29/11
UDR, Inc. MD 1.01,8.01,9.01 09/01/11
UIL HOLDINGS CORP CT 2.03,9.01 08/29/11
UTi WORLDWIDE INC D8 2.02,9.01 09/01/11
VALCOM, INC DE 5.02,8.01,9.01 08/26/11
VALUECLICK INC/CA DE 2.01,3.02,5.02,
8.01,9.01 08/30/11
VECTREN CORP IN 8.01 09/01/11
VGTel, Inc. 3.02,5.02,8.01,9.01 09/01/11
VIDEO DISPLAY CORP GA 5.07 08/30/11
ViewPoint Financial Group Inc. MD 5.07 05/24/11 AMEND
VIRGIN MEDIA INC. DE 5.07,8.01 09/01/11
VIVUS INC CA 8.01,9.01 09/01/11
Warner Chilcott plc 8.01 09/01/11
WELLS CORE OFFICE INCOME REIT INC 8.01 08/31/11
WELLS FARGO & CO/MN DE 8.01 09/01/11
WELLS REAL ESTATE INVESTMENT TRUST II MD 8.01 09/01/11
WESTMOUNTAIN INDEX ADVISOR INC CO 5.02 08/24/11
WINNER MEDICAL GROUP INC NV 7.01,9.01 09/01/11
WIRELESS AGE COMMUNICATIONS INC NV 2.02,9.01 08/22/11
WORLD ACCEPTANCE CORP SC 1.01,2.03,9.01 08/31/11
XOMA LTD /DE/ DE 5.02,8.01,9.01 08/31/11
http://www.sec.gov/news/digest/2011/dig090211.htm
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