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Commission AnnouncementsReport on Administrative ProceedingsThe Report on Administrative Proceedings for the Period April 1, 2011 through September 30, 2011 has been issued, giving summary statistical information on the Commission’s administrative proceedings caseload. The report is published in the SEC Docket and appears on the Commission’s website. (Rel. 34-65691) Commission MeetingsClosed Meeting on Thursday, November 10, 2011 at 2:00 p.m. The subject matter of the Closed Meeting scheduled for Thursday, November 10, 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 RULES AND RELATED MATTERSRescission of Outdated Rules and Forms, and Amendments to Correct ReferencesOn November 4, 2011, the Securities and Exchange Commission adopted amendments to (i) rescind the Commission’s rules and forms adopted under the Public Utility Holding Company Act of 1935 (PUHCA), which has been repealed, and (ii) amend other Commission rules and forms to eliminate references to PUHCA, correct outdated references due to enactment of other laws, and make other ministerial corrections. The rule amendments will be effective upon publication in the Federal Register. The full text of the release adopting the amendments is available on the Commission’s website. (Rels. 33-9273, 34-65686, 39-2480, IA-3310, and IC-29855) ENFORCEMENT PROCEEDINGSIn the Matter of Aqua Society, Inc.An Administrative Law Judge has issued an Initial Decision (Decision) in Aqua Society, Inc., Admin. Proc. No. 3-14463. The Order Instituting Proceedings alleged that Respondent repeatedly failed to file required annual and quarterly reports while its securities were registered with the Securities and Exchange Commission. The Decision finds these allegations to be true and revokes the registration of each class of registered securities of Aqua Society, Inc., pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Exchange Act). The proceeding has ended as to the remaining Respondents. See Aqua Society, Inc., Exchange Act Release Nos. 65004 (Aug. 2, 2011) and 65194 (Aug. 25, 2011). (Initial Decision No. 439; File No. 3-14463) In the Matter of 1st Global Stock Transfer LLC and Helen BagleyOn November 4, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Sections 17A(c)(3) and 17A(c)(4) of the Securities Exchange Act of 1934, and Notice of Hearing against 1st Global Stock Transfer LLC and Helen Bagley. The Order alleges that on August 1, 2011, after the Commission’s motion for summary judgment against the Respondents was granted, a final judgment was entered against the Respondents by the District Court in SEC v. CMKM Diamonds, Inc., et al., 2:08-cv-0437-LRH-RJJ (D. Nev.), permanently enjoining them from violating the securities registration provisions of the Securities Act, and additionally permanently barring Bagley from participating in an offering of penny stock. The Order further alleges that in granting the Commission summary judgment, the Court concluded that it was undisputed that Bagley was the individual who removed the restrictive legends from stock certificates for at least 270 billion shares of CMKM Diamonds, Inc. stock and that both Respondents were necessary participants and substantial factors in the sale of unrestricted CMKM stock in violation of Section 5 of the Securities Act. A hearing will be held to determine whether the allegations in the Order are true, and what, if any remedial action is appropriate in the public interest against the Respondents. The Administrative Law Judge is expected to issue an initial decision within 210 days from service of the Order. (Rel. 34-65693; File No. 3-14614) Federal Court Enters Judgments of Permanent Injunction and Other Relief Against Defendants Christopher M. Dubeau and Atlantis Technology GroupPlease see the November 30th issue of the Digest for an amended version of this summary. The United States District Court for the Southern District of Florida has entered final judgments against defendants Christopher M. Dubeau and Atlantis Technology Group, enjoining them from violating the antifraud provisions of the federal securities laws. The Court’s final judgments, issued on October 31, 2011, enjoin Dubeau and Atlantis from violations of Section 10(b) and Rule 10b-5 of the Securities Exchange Act of 1934, and also enjoin Dubeau from violations of Section 17(a) of the Securities Act of 1933. In addition to granting injunctive relief, the Court permanently barred Dubeau from participating in an offering of a penny stock and from acting as an officer or director of any public company. The Court also ordered Dubeau to disgorge his ill-gotten gains of $312,000.00, plus prejudgment interest in the amount of $12,947.93, and pay a civil penalty of $100,000.00. The Commission’s Complaint against Dubeau and Atlantis, filed September 30, 2010, alleges that from at least August 7, 2009 through April 5, 2010, they issued numerous false press releases claiming, among other things, that Atlantis’ subsidiary, Global Online Television Corporation (GOTV), offered internet protocol television and video phone services to consumers, and claiming that GOTV had relationships with television networks to offer their content to Atlantis subscribers. The Complaint further alleges these claims were not true because, at the time Atlantis issued its press releases, GOTV was not able to offer internet protocol television services to consumers or video phone service, and it did not have relationships with television networks to offer content to its subscribers. [SEC v. Atlantis Technology Group and Christopher M. Dubeau, Civil Action No. 10-61824-CIV-ZLOCH (S.D. Fla.)] (LR-22146A) SELF-REGULATORY ORGANIZATIONSProposed Rule ChangesNYSE Amex LLC filed a proposed rule change (SR-NYSEAMEX-2011-84) pursuant to Section 19(b)(1) of the Securities Exchange Act proposing a one-year pilot program adding new Rule 107C to establish a Retail Liquidity Program to attract additional retail order flow to the Exchange for NYSE Amex Equities traded securities. Publication is expected in the Federal Register during the week of November 7. (Rel. 34-65671) New York Stock Exchange LLC filed a proposed rule change (SR-NYSE-2011-55) pursuant to Section 19(b)(1) of the Securities Exchange Act proposing a one-year pilot program adding new Rule 107C to establish a Retail Liquidity Program to attract additional retail order flow to the Exchange for NYSE-listed securities. Publication is expected in the Federal Register during the week of November 7. (Rel. 34-65672) Immediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by BATS Exchange, Inc. to modify the market opening procedures of BATS Options (SR-BATS-2011-045) 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 November 7. (Rel. 34-65676) 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 Verastem, Inc., 215 FIRST STREET, SUITE 440, CAMBRIDGE, MA, 02142, 617-252-9300 - 0 ($50,000,000.00) Equity, (File 333-177677 - Nov. 3) (BR. 01) S-8 MINDSPEED TECHNOLOGIES, INC, 4000 MACARTHUR BOULEVARD, EAST TOWER, NEWPORT BEACH, CA, 92660, 9495793000 - 140,000 ($779,100.00) Equity, (File 333-177678 - Nov. 3) (BR. 10B) S-4 SUPERIOR ENERGY SERVICES INC, 1105 PETERS ROAD, HARVEY, LA, 70058, 5043624321 - 0 ($2,318,033,959.00) Equity, (File 333-177679 - Nov. 3) (BR. 04A) S-3ASR MDC HOLDINGS INC, 4350 S MONACO STREET, SUITE 500, DENVER, CO, 80237, 3037731100 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-177680 - Nov. 3) (BR. 06A) S-8 NBCUniversal Media, LLC, 30 ROCKEFELLER PLAZA, NEW YORK, NY, 10112, 2126644444 - 0 ($100,000,000.00) Other, (File 333-177681 - Nov. 3) (BR. 11C) S-3 WISCONSIN PUBLIC SERVICE CORP, 700 NORTH ADAMS STREET, PO BOX 19001, GREEN BAY, WI, 54307-9001, 9204331459 - 500,000,000 ($500,000,000.00) Debt, (File 333-177682 - Nov. 3) (BR. 02B) S-8 ATLAS AIR WORLDWIDE HOLDINGS INC, 2000 WESTCHESTER AVENUE, PURCHASE, NY, 10577-2543, 9147018000 - 0 ($32,208,000.00) Equity, (File 333-177704 - Nov. 3) (BR. 05A) S-8 PLANTRONICS INC /CA/, 345 ENCINAL ST, SANTA CRUZ, CA, 95061-1802, 8314265858 - 1,700,000 ($54,502,000.00) Equity, (File 333-177705 - Nov. 3) (BR. 11C) S-3ASR CBS CORP, 51 WEST 52ND STREET, 35TH FLOOR, NEW YORK, NY, 10019, 2129754321 - 0 ($0.00) Debt, 0 ($0.00) Equity, (File 333-177706 - Nov. 3) (BR. 11A) S-3 Banc of America Merrill Lynch Commercial Mortgage Inc., BANK OF AMERICA CORPORATE CENTER, 100 NORTH TYRON ST, CHARLOTTE, NC, 28255, 7043862400 - 1,000,000 ($1,000,000.00) Mortgage Backed Securities, (File 333-177707 - Nov. 3) (BR. OSF) S-1 Divine Skin Inc., 1135 KANE CONCOURSE DRIVE, 6TH FLOOR, MIAMI, FL, 33154, 305-908-1608 - 8,183,021 ($2,945,897.56) Equity, (File 333-177708 - Nov. 3) (BR. 06A) S-3 OPTIMER PHARMACEUTICALS INC, 10110 SORRENTO VALLEY ROAD, SUITE C, SAN DIEGO, CA, 92121, 8589090736 - 0 ($200,000,000.00) Unallocated (Universal) Shelf, (File 333-177709 - Nov. 3) (BR. 01B) S-1 LINKEDIN CORP, 2029 STIERLIN COURT, MOUNTAIN VIEW, CA, 94043, 650-687-3600 - 0 ($500,000,000.00) Equity, (File 333-177710 - Nov. 3) (BR. 03C) S-4 DEL MONTE CORP, ONE MARITIME PLAZA, SAN FRANCISCO, CA, 94111, 415-247-3477 - 0 ($1,300,000,000.00) Other, (File 333-177718 - Nov. 3) (BR. 04B) S-3 ONCOGENEX PHARMACEUTICALS, INC., 1522 217TH PLACE S.E., BOTHELL, WA, 98021, 4254879500 - 0 ($60,000,000.00) Debt Convertible into Equity, (File 333-177719 - Nov. 3) (BR. 01A) S-3ASR PHH CORP, 3000 LEADENHALL ROAD, MT. LAUREL, NJ, 08054, 856-917-1744 - 0 ($0.00) Other, (File 333-177723 - Nov. 3) (BR. 07B) S-8 CARTERS INC, THE PROSCENIUM, 1170 PEACHTREE STREET NE SUITE 900, ATLANTA, GA, 30309, (404) 745-2700 - 3,725,000 ($140,544,250.00) Equity, (File 333-177724 - Nov. 3) (BR. 09A) S-3 Neonode, Inc, 4550 NORRIS CANYON ROAD, SAN RAMON, CA, 94583, 925-355-2000 - 19,423,723 ($108,287,367.00) Equity, (File 333-177726 - Nov. 3) (BR. 11C) RECENT 8K FILINGSForm 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT 3M CO DE 8.01 11/02/11 ABERCROMBIE & FITCH CO /DE/ DE 2.02,7.01,9.01 11/03/11 ABIOMED INC DE 2.02,9.01 11/03/11 ABOVENET INC DE 2.02,7.01,9.01 11/03/11 ACADIA REALTY TRUST MD 9.01 11/02/11 ACCELRYS, INC. DE 2.02,9.01 11/03/11 ACTUATE CORP DE 2.02,9.01 11/01/11 Addus HomeCare Corp DE 2.02,2.06,7.01,9.01 11/03/11 ADEPT TECHNOLOGY INC DE 2.02,9.01 11/03/11 ADVANCED ANALOGIC TECHNOLOGIES INC DE 8.01,9.01 11/03/11 ADVANCED MICRO DEVICES INC DE 2.05,9.01 11/03/11 AKORN INC LA 2.02 11/02/11 AMEND ALAMO GROUP INC DE 2.02,9.01 11/02/11 ALBANY INTERNATIONAL CORP /DE/ DE 2.02,9.01 11/02/11 ALIMERA SCIENCES INC DE 2.02,9.01 11/03/11 Alkermes plc. L2 2.02,9.01 11/03/11 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 11/03/11 ALLIANCE ONE INTERNATIONAL, INC. VA 2.02,9.01 09/30/11 ALLIANT ENERGY CORP WI 2.02,9.01 11/03/11 ALLIANT TECHSYSTEMS INC DE 2.02,9.01 11/03/11 ALLIED MOTION TECHNOLOGIES INC CO 2.02,9.01 11/03/11 Allied World Assurance Co Holdings, A 2.02,9.01 11/03/11 ALLOS THERAPEUTICS INC DE 2.02,9.01 11/03/11 ALLSCRIPTS HEALTHCARE SOLUTIONS, INC. DE 2.02,7.01,9.01 11/03/11 Alpha Natural Resources, Inc. DE 2.02,9.01 11/03/11 AlphaMetrix Managed Futures LLC DE 3.02 11/01/11 ALTAIR NANOTECHNOLOGIES INC Z4 2.02,9.01 11/03/11 AMBER RESOURCES CO OF COLORADO DE 1.01,1.02 09/01/11 AMERIANA BANCORP IN 2.02,9.01 11/01/11 AMERICAN AIRLINES INC DE 8.01 11/03/11 AMERICAN AXLE & MANUFACTURING HOLDING DE 1.01,8.01,9.01 10/31/11 AMERICAN BILTRITE INC DE 2.02,9.01 11/02/11 AMERICAN CRYSTAL SUGAR CO /MN/ MN 7.01 11/03/11 AMERICAN EAGLE OUTFITTERS INC DE 2.02,9.01 11/02/11 AMERICAN EQUITY INVESTMENT LIFE HOLDI IA 2.02 11/02/11 AMERICAN STATES WATER CO CA 8.01,9.01 11/02/11 Amerilithium Corp. NV 8.01,9.01 10/26/11 AMERISTAR CASINOS INC NV 2.02,9.01 11/03/11 AMN HEALTHCARE SERVICES INC DE 2.02,9.01 11/03/11 AMR CORP DE 8.01 11/03/11 ANALYSTS INTERNATIONAL CORP 2.02,9.01 11/03/11 ANSYS INC DE 2.02,9.01 11/03/11 APACHE CORP DE 2.02,9.01 11/03/11 Apollo Global Management LLC DE 2.02,9.01 11/03/11 APOLLO INVESTMENT CORP MD 8.01,9.01 09/30/11 Approach Resources Inc DE 2.02,7.01,9.01 11/02/11 ARIAD PHARMACEUTICALS INC DE 2.02,7.01,8.01,9.01 11/03/11 ARKANOVA ENERGY CORP. NV 1.01,2.03,9.01 11/03/11 ARKANSAS BEST CORP /DE/ DE 5.02,9.01 11/01/11 As Seen On TV, Inc. FL 1.01,3.02,5.02,8.01, 10/28/11 9.01 Ascent Solar Technologies, Inc. DE 5.02,9.01 11/03/11 ASTORIA FINANCIAL CORP DE 8.01,9.01 11/03/11 ASTRONICS CORP NY 2.02,9.01 11/03/11 ATLANTIC TELE NETWORK INC /DE DE 2.02,9.01 11/02/11 ATLAS AIR WORLDWIDE HOLDINGS INC DE 2.02,9.01 11/03/11 AUTHENTEC INC DE 2.02,9.01 11/03/11 AUTOLIV INC DE 5.02,9.01 11/03/11 AUTONATION, INC. DE 7.01,9.01 11/03/11 AUXILIUM PHARMACEUTICALS INC 7.01,9.01 11/03/11 AVI BIOPHARMA INC OR 2.02,9.01 11/03/11 Bacterin International Holdings, Inc. DE 7.01,9.01 11/03/11 BALDWIN & LYONS INC IN 7.01,9.01 09/30/11 BALL CORP IN 8.01 11/01/11 BANCORPSOUTH INC MS 5.07 11/03/11 AMEND BB&T CORP NC 7.01,9.01 11/03/11 BEAM INC DE 2.02,7.01,9.01 11/03/11 bebe stores, inc. CA 2.02,9.01 11/03/11 BELO CORP DE 2.02,9.01 11/03/11 BFC FINANCIAL CORP FL 8.01,9.01 11/02/11 BG Medicine, Inc. DE 2.02,8.01,9.01 11/03/11 BILL BARRETT CORP 2.02,7.01,9.01 11/03/11 BION ENVIRONMENTAL TECHNOLOGIES INC CO 3.02,7.01,9.01 10/31/11 BIOZONE PHARMACEUTICALS, INC. NV 2.03,2.04,3.02,9.01 10/28/11 BlackRock Kelso Capital CORP DE 2.02,7.01,9.01 11/03/11 BLOUNT INTERNATIONAL INC DE 2.02,9.01 11/03/11 BLUE VALLEY BAN CORP KS 2.02,7.01,9.01 11/03/11 BlueLinx Holdings Inc. DE 2.02,9.01 11/03/11 BOINGO WIRELESS INC DE 2.02,9.01 11/03/11 BOISE CASCADE HOLDINGS, L.L.C. DE 2.02,9.01 11/03/11 BOISE INC. DE 2.02,9.01 11/03/11 BON TON STORES INC PA 2.02,9.01 11/03/11 BONANZA GOLD CORP. DE 3.02 10/27/11 Booz Allen Hamilton Holding Corp DE 2.02,9.01 11/03/11 BOYD GAMING CORP NV 1.01,2.03,9.01 11/02/11 Bristow Group Inc DE 5.02,9.01 11/01/11 BROADRIDGE FINANCIAL SOLUTIONS, INC. DE 2.02,9.01 11/03/11 Brooklyn Federal Bancorp, Inc. X1 1.01,9.01 10/28/11 C&D TECHNOLOGIES INC DE 5.04,9.01 11/03/11 CACHE INC FL 2.02,9.01 11/03/11 CADENCE PHARMACEUTICALS INC 2.02,9.01 11/03/11 Cadista Holdings Inc. DE 5.02 10/31/11 Calamos Asset Management, Inc. /DE/ 2.02,9.01 11/03/11 CALGON CARBON CORPORATION DE 2.02,9.01 11/03/11 CALIFORNIA WATER SERVICE GROUP DE 2.02,9.01 11/03/11 CALIPER LIFE SCIENCES INC DE 2.02,9.01 11/03/11 CALLON PETROLEUM CO DE 2.02,7.01,9.01 11/02/11 CAMBREX CORP DE 2.02,9.01 11/03/11 CANADIAN DERIVATIVES CLEARING CORP A6 9.01 10/31/11 CAPITAL ONE FINANCIAL CORP DE 7.01 11/03/11 CAPITAL SENIOR LIVING CORP DE 2.02,7.01,9.01 11/02/11 CapLease, Inc. 2.02,9.01 11/03/11 CAREFUSION Corp 5.07 11/02/11 CARMAX AUTO FUNDING LLC DE 1.01,8.01,9.01 11/02/11 CASCADE MICROTECH INC 2.02,9.01 11/01/11 CAVCO INDUSTRIES INC DE 2.02,9.01 11/03/11 CBOE Holdings, Inc. DE 2.02,9.01 11/03/11 CBS CORP DE 2.02,9.01 11/03/11 CDI CORP PA 5.02 10/28/11 CEC ENTERTAINMENT INC KS 2.02,8.01,9.01 11/01/11 CEDAR FAIR L P DE 2.02,9.01 11/03/11 CENTER BANCORP INC NJ 2.02,9.01 10/27/11 CENTRUE FINANCIAL CORP DE 5.02 09/21/11 AMEND CHASE PACKAGING CORP NJ 7.01,9.01 11/01/11 CHEMBIO DIAGNOSTICS, INC. NV 7.01,9.01 11/03/11 CHINA VALVES TECHNOLOGY, INC NV 4.01,9.01 11/03/11 CHIQUITA BRANDS INTERNATIONAL INC NJ 2.02,9.01 11/03/11 CHYRON CORP NY 2.02,9.01 11/03/11 CIMAREX ENERGY CO DE 2.02,7.01,9.01 11/03/11 CINCINNATI BELL INC OH 2.02,7.01,9.01 11/03/11 CINCINNATI BELL INC OH 1.01,9.01 10/31/11 Ciralight Global, Inc. NV 7.01,9.01 11/02/11 CIRCOR INTERNATIONAL INC DE 2.02,5.02,9.01 11/02/11 CITIZENS BANCORP OF VIRGINIA INC VA 2.02,9.01 11/03/11 Clearwire Corp /DE DE 2.02,8.01,9.01 11/03/11 COACH INC MD 5.07 11/03/11 Coastal Carolina Bancshares, Inc. SC 2.02,5.02,7.01,9.01 11/02/11 COBIZ FINANCIAL INC CO 5.02,9.01 10/28/11 COGENT COMMUNICATIONS GROUP INC 2.02,5.02,9.01 11/03/11 COLE KENNETH PRODUCTIONS INC NY 2.02,9.01 11/02/11 Coleman Cable, Inc. DE 2.02,9.01 11/03/11 COLUMBIA LABORATORIES INC DE 2.02,9.01 11/03/11 Columbia Seligman Premium Technology MD 7.01,9.01 11/03/11 COMERICA INC /NEW/ 7.01,9.01 11/03/11 Command Center, Inc. WA 4.01 11/01/11 COMMERCETEL CORP NV 5.02,9.01 10/31/11 COMMITTED CAPITAL ACQUISITION Corp DE 8.01,9.01 10/28/11 COMMUNITY CAPITAL CORP /SC/ SC 2.01,3.01,3.03,5.01, 10/31/11 9.01 COMMUNITY WEST BANCSHARES / CA 1.01,5.02,9.01 11/02/11 COMPLETE GENOMICS INC DE 5.07 06/22/11 AMEND Compressco Partners, L.P. DE 2.02,9.01 11/03/11 COMPX INTERNATIONAL INC DE 2.02,7.01,9.01 11/02/11 Comstock Homebuilding Companies, Inc. DE 1.01,9.01 10/31/11 Con-way Inc. DE 2.02,9.01 11/03/11 CONCHO RESOURCES INC DE 2.02,7.01,9.01 11/02/11 Consolidated Communications Holdings, DE 2.02,9.01 11/03/11 CONTINENTAL RESOURCES INC OK 2.02,7.01,9.01 11/02/11 Converted Organics Inc. DE 1.01,2.03,3.02,9.01 11/02/11 Convio, Inc. DE 2.02,9.01 11/03/11 COPYTELE INC DE 5.07 10/26/11 CORELOGIC, INC. DE 2.02,9.01 11/02/11 CoreSite Realty Corp MD 2.02,9.01 11/03/11 CORNERSTONE THERAPEUTICS INC DE 2.02,9.01 11/03/11 CORRECTIONS CORP OF AMERICA MD 2.02,9.01 11/02/11 COWEN GROUP, INC. 5.02 10/31/11 CROWN MEDIA HOLDINGS INC DE 2.02,9.01 11/03/11 CRYOLIFE INC FL 1.01,2.03,8.01,9.01 10/28/11 CUMBERLAND PHARMACEUTICALS INC 2.02,9.01 11/03/11 CVR ENERGY INC DE 1.01,7.01,9.01 11/02/11 CVS CAREMARK CORP DE 2.02,9.01 11/03/11 CYTORI THERAPEUTICS, INC. DE 2.02,9.01 11/03/11 DAVITA INC DE 2.02,9.01 11/03/11 Delanco Bancorp, Inc 2.02,9.01 11/03/11 Delek US Holdings, Inc. 2.02,9.01 11/02/11 DELTATHREE INC DE 2.03 11/03/11 DENBURY RESOURCES INC DE 2.02,9.01 11/03/11 DEX ONE Corp DE 2.02,7.01,9.01 11/03/11 DIGI INTERNATIONAL INC DE 2.02,9.01 11/03/11 DIME COMMUNITY BANCSHARES INC DE 7.01 11/02/11 DineEquity, Inc DE 2.02,9.01 11/03/11 DIRECTV DE 2.02 11/03/11 DIRECTV HOLDINGS LLC DE 2.02 11/03/11 DOLLAR THRIFTY AUTOMOTIVE GROUP INC DE 1.01 11/03/11 Domtar CORP DE 5.02 11/03/11 DOUBLE EAGLE PETROLEUM CO MD 2.02,7.01,9.01 11/02/11 DRIVETIME AUTOMOTIVE GROUP INC DE 1.01,9.01 10/28/11 Duke Energy CORP DE 2.02,9.01 11/03/11 DURECT CORP DE 2.02,9.01 11/03/11 Dutch Gold Resources Inc CO 4.01,9.01 03/18/11 AMEND Dutch Gold Resources Inc CO 1.01,2.01,5.02,9.01 01/11/10 AMEND DYAX CORP DE 5.02,7.01,9.01 11/01/11 Dynastar Holdings, Inc. NV 8.01 11/02/11 Eagle Ford Oil & Gas Corp NV 9.01 10/31/11 EASTMAN KODAK CO NJ 2.02,9.01 11/03/11 ECHELON CORP DE 2.02,8.01,9.01 11/03/11 EDEN ENERGY CORP NV 3.02 11/01/11 EDUCATION MANAGEMENT CORPORATION 5.07 10/28/11 Education Realty Trust, Inc. MD 1.01,7.01,9.01 11/03/11 EGPI FIRECREEK, INC. NV 5.02 11/01/11 EINSTEIN NOAH RESTAURANT GROUP INC DE 2.02,9.01 11/03/11 ELIZABETH ARDEN INC FL 2.02,9.01 11/03/11 Ellington Financial LLC DE 8.01,9.01 11/02/11 Emergent BioSolutions Inc. DE 1.01 11/01/11 Emergent BioSolutions Inc. DE 2.02,9.01 11/03/11 EMERITUS CORP\WA\ WA 2.02 10/03/11 ENCORE CAPITAL GROUP INC DE 8.01,9.01 11/03/11 Encore Energy Partners LP DE 2.02,9.01 11/03/11 ENERGIZER HOLDINGS INC MO 2.02,9.01 11/03/11 Energy Recovery, Inc. DE 2.02,9.01 11/03/11 ENGLOBAL CORP NV 5.02,9.01 11/03/11 ENPRO INDUSTRIES, INC NC 2.02,9.01 11/03/11 Ensco plc 2.02,9.01 11/02/11 ENSIGN GROUP, INC 2.02,9.01 11/02/11 ENTRAVISION COMMUNICATIONS CORP DE 2.02,9.01 11/03/11 ENTROPIC COMMUNICATIONS INC DE 2.02,9.01 11/03/11 ENZON PHARMACEUTICALS INC DE 2.02,9.01 11/03/11 EQUITY ONE, INC. 2.02,4.02,7.01,9.01 11/02/11 ERIE INDEMNITY CO PA 2.02,9.01 11/03/11 ESSEX PROPERTY TRUST INC MD 2.02,9.01 09/30/11 ESTEE LAUDER COMPANIES INC DE 2.02,8.01,9.01 11/03/11 Eureka Financial Corp. 2.02,9.01 11/02/11 EXACT SCIENCES CORP DE 2.02,9.01 11/03/11 ExamWorks Group, Inc. DE 2.02,9.01 11/03/11 Excel Trust, Inc. MD 2.02,9.01 11/02/11 Exelis Inc. IN 5.02 10/28/11 EXTERRAN HOLDINGS INC. DE 2.02,9.01 11/03/11 EXTERRAN PARTNERS, L.P. DE 2.02,9.01 11/03/11 FBL FINANCIAL GROUP INC IA 2.02 11/03/11 Federal Home Loan Bank of Atlanta X1 2.03 11/03/11 Federal Home Loan Bank of Boston X1 2.03 11/01/11 Federal Home Loan Bank of Chicago X1 2.03 10/31/11 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 10/31/11 Federal Home Loan Bank of Des Moines X1 2.03,9.01 11/01/11 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 11/01/11 Federal Home Loan Bank of New York X1 2.03,9.01 11/01/11 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 10/31/11 Federal Home Loan Bank of San Francis X1 2.03 11/01/11 Federal Home Loan Bank of Seattle 2.03 11/01/11 Federal Home Loan Bank of Topeka 2.03,9.01 11/01/11 FEDERAL HOME LOAN MORTGAGE CORP 2.02,9.01 11/03/11 FEDERAL REALTY INVESTMENT TRUST MD 2.02,9.01 11/03/11 FIDELITY BANCORP INC PA 2.02,9.01 11/03/11 FIDUS INVESTMENT Corp MD 2.02,7.01,9.01 11/03/11 FIRST MARBLEHEAD CORP 2.02,7.01,9.01 11/02/11 FIRST MERCHANTS CORP IN 5.02,9.01 11/03/11 FIRST OF LONG ISLAND CORP NY 8.01,9.01 11/01/11 FLUOR CORP DE 2.02,9.01 11/03/11 FMC CORP DE 7.01,9.01 11/03/11 FOCUS GOLD Corp 2.01,3.02,9.01 10/25/11 FORD MOTOR CREDIT CO LLC DE 8.01,9.01 11/01/11 Fortress Investment Group LLC DE 2.02,9.01 11/03/11 Fortress Investment Group LLC DE 7.01 11/03/11 FRESH DEL MONTE PRODUCE INC E9 8.01,9.01 11/02/11 Fresh Market, Inc. DE 1.01 10/28/11 AMEND FRONTIER COMMUNICATIONS CORP DE 2.02,7.01,9.01 09/30/11 FTI CONSULTING INC MD 2.02,7.01,9.01 11/02/11 FURNITURE BRANDS INTERNATIONAL INC DE 2.02,9.01 11/02/11 FusionTech, Inc. NV 8.01 11/03/11 GCI INC AK 2.02,9.01 11/02/11 Geeknet, Inc DE 2.02,9.01 11/03/11 Geeknet, Inc DE 2.02,9.01 11/03/11 AMEND GENERAL COMMUNICATION INC AK 2.02,9.01 11/02/11 General Motors Co 8.01 11/01/11 Genpact LTD D0 2.02,9.01 11/03/11 GENTIVA HEALTH SERVICES INC DE 2.02,9.01 11/03/11 GENWORTH FINANCIAL INC DE 2.02,9.01 11/03/11 GEORGIA GULF CORP /DE/ DE 2.02,7.01,9.01 11/02/11 GERON CORP DE 2.02,9.01 11/03/11 GIBRALTAR INDUSTRIES, INC. DE 2.02,7.01,9.01 11/02/11 GIGA TRONICS INC CA 1.01,3.02,3.03,5.01, 10/31/11 5.02,5.03,9.01 GIGA TRONICS INC CA 4.01,9.01 11/03/11 GLADSTONE CAPITAL CORP MD 1.01,3.03,5.03,9.01 10/28/11 GLOBAL HEALTH VOYAGER INC DE 1.01,2.01,3.02,9.01 10/06/11 GLOBAL PARTNERS LP 2.02,7.01,9.01 11/03/11 GLU MOBILE INC DE 2.02,9.01 11/03/11 GMX RESOURCES INC OK 1.01,2.02,3.02,9.01 11/02/11 GMX RESOURCES INC OK 1.01,9.01 11/02/11 AMEND GOLDEN PHOENIX MINERALS INC NV 1.01 10/28/11 GOLDMAN SACHS GROUP INC DE 9.01 11/03/11 GOODRICH PETROLEUM CORP DE 9.01 11/02/11 GP STRATEGIES CORP DE 2.02,9.01 11/03/11 GRANITE CONSTRUCTION INC DE 2.02,9.01 11/02/11 GREAT PLAINS ENERGY INC MO 2.02,9.01 09/30/11 Green Plains Renewable Energy, Inc. IA 1.01,2.03,9.01 10/28/11 GREENBRIER COMPANIES INC OR 2.02,9.01 11/03/11 H&E Equipment Services, Inc. DE 2.02,8.01,9.01 11/03/11 Hampden Bancorp, Inc. DE 1.01,2.02,5.02,5.07, 10/31/11 8.01,9.01 HANOVER INSURANCE GROUP, INC. DE 2.02,7.01,9.01 11/02/11 HANSEN NATURAL CORP DE 2.02,9.01 11/03/11 Harbin Electric, Inc 1.01,3.01,3.03,5.01, 10/28/11 5.02,5.03,9.01 HARLAND CLARKE HOLDINGS CORP DE 2.02,9.01 11/03/11 HARRIS CORP /DE/ DE 5.07,8.01 10/28/11 Hartman Short Term Income Properties MD 4.01 11/03/11 HAVERTY FURNITURE COMPANIES INC MD 2.02,9.01 09/30/11 HAWAIIAN ELECTRIC INDUSTRIES INC HI 2.02,9.01 11/03/11 HEALTH CARE REIT INC /DE/ DE 2.02,9.01 11/03/11 HENNESSY ADVISORS INC 7.01,9.01 10/31/11 HERCULES TECHNOLOGY GROWTH CAPITAL IN MD 2.02,9.01 11/03/11 HERSHA HOSPITALITY TRUST MD 2.02,9.01 11/02/11 HICKORY TECH CORP MN 2.02,9.01 11/03/11 HOLOGIC INC DE 1.01,5.02 11/01/11 Homeland Security Capital CORP DE 2.01,8.01,9.01 10/31/11 HORNBECK OFFSHORE SERVICES INC /LA DE 2.02,9.01 11/03/11 HUGHES Telematics, Inc. DE 1.01,7.01,9.01 11/02/11 AMEND HXT HOLDINGS, INC. DE 5.03,9.01 11/02/11 IAC/INTERACTIVECORP DE 2.02,7.01,8.01 11/03/11 ICG GROUP, INC. DE 2.02,9.01 11/03/11 IDACORP INC ID 2.02,7.01,9.01 11/03/11 IDT CORP DE 5.02,9.01 10/28/11 IDT CORP DE 2.01,7.01,9.01 10/28/11 IGATE CORP PA 2.02,9.01 11/03/11 iGo, Inc. DE 2.02,9.01 11/03/11 IHS Inc. DE 7.01 11/03/11 IMAGE SENSING SYSTEMS INC MN 2.02,9.01 11/03/11 IMMERSION CORP DE 2.02,9.01 11/03/11 inContact, Inc. DE 2.02,9.01 11/03/11 INFINITY PROPERTY & CASUALTY CORP OH 2.02,9.01 11/03/11 Information Services Group Inc. DE 2.02,9.01 11/03/11 INFOSPACE INC DE 4.02 10/30/11 INLAND REAL ESTATE CORP MD 2.02,7.01,9.01 11/03/11 INNERWORKINGS INC 2.02,9.01 11/03/11 Innophos Holdings, Inc. 1.01,9.01 10/31/11 INSIGNIA SYSTEMS INC/MN MN 2.02,9.01 11/02/11 INSULET CORP DE 2.02,9.01 11/03/11 INTEGRAMED AMERICA INC DE 2.02,9.01 11/03/11 Intellicheck Mobilisa, Inc. DE 2.02,9.01 11/03/11 interclick, inc. DE 1.01,9.01 10/31/11 Intermec, Inc. DE 2.02,7.01,9.01 11/03/11 INTERMUNE INC DE 2.02,9.01 11/03/11 INTERNATIONAL RECTIFIER CORP /DE/ DE 2.02,9.01 11/03/11 Interval Leisure Group, Inc. DE 2.02,9.01 11/03/11 INVESTMENT TECHNOLOGY GROUP INC DE 2.02,9.01 11/03/11 IPARTY CORP DE 2.02,7.01,9.01 11/03/11 IRIDEX CORP DE 2.02,9.01 11/03/11 IRIS INTERNATIONAL INC DE 2.02,9.01 11/03/11 IsoRay, Inc. MN 1.01,9.01 10/31/11 J&J SNACK FOODS CORP NJ 2.02,9.01 11/03/11 J2 GLOBAL COMMUNICATIONS INC DE 2.02,7.01,9.01 11/02/11 JACOBS ENTERTAINMENT INC DE 1.01,2.01,9.01 10/28/11 JONES LANG LASALLE INC MD 2.02,9.01 11/03/11 K SWISS INC DE 2.02,9.01 11/03/11 Kallo Inc. NV 1.01,9.01 11/02/11 KAMAN CORP CT 7.01,9.01 11/03/11 KELLOGG CO DE 2.02,9.01 11/03/11 KERYX BIOPHARMACEUTICALS INC DE 2.02,5.02,9.01 10/31/11 KEYCORP /NEW/ OH 7.01,9.01 11/03/11 KEYNOTE SYSTEMS INC DE 2.02,9.01 11/03/11 KINDRED HEALTHCARE, INC DE 2.02,7.01,8.01,9.01 11/02/11 KINETIC CONCEPTS INC TX 1.01,5.02,7.01,9.01 11/02/11 KKR Financial Holdings LLC DE 2.02,5.02,8.01,9.01 11/03/11 KLA TENCOR CORP DE 8.01,9.01 11/03/11 Kodiak Oil & Gas Corp B0 1.01,2.01,2.03,7.01, 10/28/11 9.01 KOHLS Corp WI 2.02,9.01 11/03/11 Koppers Holdings Inc. PA 2.02,9.01 11/03/11 Kraig Biocraft Laboratories, Inc WY 1.01,9.01 10/28/11 KRATOS DEFENSE & SECURITY SOLUTIONS, DE 2.02,9.01 11/03/11 KRONOS INTERNATIONAL INC DE 7.01,9.01 11/03/11 KRONOS WORLDWIDE INC 7.01,9.01 11/03/11 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 11/03/11 LAMAR ADVERTISING CO/NEW DE 2.02,9.01 11/03/11 LAS VEGAS RAILWAY EXPRESS, INC. DE 5.02 11/02/11 AMEND LEGACY RESERVES LP DE 2.02,9.01 11/02/11 Lender Processing Services, Inc. DE 7.01 11/03/11 LEVI STRAUSS & CO DE 5.02,9.01 10/31/11 LIBBEY INC DE 5.02,9.01 10/31/11 Liberty Global, Inc. DE 2.02,7.01 11/02/11 Liberty Global, Inc. DE 2.02,7.01 11/03/11 LIFE PARTNERS HOLDINGS INC TX 8.01,9.01 11/03/11 LIFETIME BRANDS, INC DE 1.01,2.03,9.01 11/02/11 LIGHTPATH TECHNOLOGIES INC DE 2.02,9.01 11/03/11 LIN TV CORP. DE 2.02,9.01 11/03/11 LINKEDIN CORP DE 2.02,9.01 11/03/11 LIONBRIDGE TECHNOLOGIES INC /DE/ DE 2.02,9.01 11/03/11 LITTELFUSE INC /DE DE 2.02,9.01 11/03/11 Live Nation Entertainment, Inc. DE 2.02,9.01 11/03/11 LIVEPERSON INC DE 2.02,5.02,9.01 11/01/11 LKA INTERNATIONAL INC /DE/ DE 1.01,9.01 11/01/11 LOCAL.COM DE 1.01,9.01 06/30/11 AMEND LOTON, CORP NV 4.01,9.01 10/27/11 LSB FINANCIAL CORP IN 2.02,9.01 11/03/11 M & F WORLDWIDE CORP DE 2.02,9.01 11/03/11 MAC-GRAY CORP DE 2.02,9.01 11/03/11 Mackenzie Taylor Minerals Inc. NV 5.01 11/02/11 Macy's, Inc. DE 2.02,9.01 11/03/11 MAGNETEK, INC. DE 3.01,9.01 11/02/11 Maiden Holdings, Ltd. D0 2.02,8.01,9.01 11/02/11 Main Street Capital CORP MD 2.02,9.01 11/03/11 MANNKIND CORP DE 2.02,9.01 11/03/11 Marine Drive Mobile Corp. NV 1.01,2.01,3.02,5.02, 09/12/11 AMEND 5.06,9.01 MARINEMAX INC DE 2.02,9.01 11/03/11 MARLIN BUSINESS SERVICES CORP 2.02,9.01 11/03/11 MATRIX SERVICE CO DE 2.02,9.01 11/02/11 MAUI LAND & PINEAPPLE CO INC HI 2.02,9.01 11/02/11 MAXWELL TECHNOLOGIES INC DE 2.02,9.01 11/03/11 MCG CAPITAL CORP DE 2.02,9.01 11/03/11 MCGRATH RENTCORP CA 2.02,9.01 11/03/11 MDC HOLDINGS INC DE 2.02,7.01,9.01 11/03/11 MEADOWBROOK INSURANCE GROUP INC MI 2.02,7.01,9.01 10/31/11 MEDALLION FINANCIAL CORP DE 2.02,9.01 11/02/11 MEDASSETS INC DE 2.02,9.01 11/03/11 MEDIA GENERAL INC VA 5.02 11/01/11 MEDIFAST INC DE 5.02,8.01,9.01 10/31/11 MEDIVATION, INC. DE 8.01,9.01 11/03/11 MERCADOLIBRE INC 2.02,7.01,9.01 11/02/11 MERCER INTERNATIONAL INC. WA 2.02,9.01 11/03/11 MERGE HEALTHCARE INC DE 2.02,9.01 11/01/11 MERRILL LYNCH DEPOSITOR INC PREFERRED NY 8.01,9.01 11/01/11 METALICO INC 2.02,9.01 11/03/11 METTLER TOLEDO INTERNATIONAL INC/ DE 2.02,9.01 11/03/11 MF Global Holdings Ltd. DE 1.02,1.03,2.04,3.01, 10/31/11 8.01,9.01 MGM Resorts International DE 2.02,9.01 11/03/11 MICROCHIP TECHNOLOGY INC DE 2.02,9.01 11/03/11 MID AMERICA APARTMENT COMMUNITIES INC TN 2.02,9.01 11/03/11 MID AMERICA APARTMENT COMMUNITIES INC TN 1.01,2.03,9.01 11/01/11 Midway Gold Corp A1 7.01,9.01 11/01/11 MidWestOne Financial Group, Inc. IA 7.01,9.01 11/03/11 Millburn Multi-Markets Fund L.P. DE 3.02 11/01/11 MOBILE MINI INC DE 2.02,9.01 11/03/11 MOHAWK INDUSTRIES INC DE 2.02,9.01 11/03/11 MoSys, Inc. CA 2.02,9.01 11/03/11 MOVE INC DE 2.02,9.01 11/03/11 MTR GAMING GROUP INC DE 2.02,9.01 11/03/11 MUELLER INDUSTRIES INC DE 5.02,5.03,8.01,9.01 11/01/11 Mueller Water Products, Inc. DE 7.01 11/03/11 MULTI FINELINE ELECTRONIX INC 2.02,9.01 11/03/11 MWI Veterinary Supply, Inc. DE 1.01,2.02,9.01 11/01/11 NANOVIRICIDES, INC. NV 1.01,9.01 11/01/11 National CineMedia, Inc. DE 2.02,9.01 11/03/11 NATIONAL MENTOR HOLDINGS, INC. DE 5.02,9.01 10/28/11 NATIONAL PRESTO INDUSTRIES INC WI 8.01,9.01 11/02/11 Neiman Marcus, Inc. DE 2.02,7.01 11/03/11 NESTOR PARTNERS NJ 3.02 11/01/11 NetSpend Holdings, Inc. DE 2.02,9.01 11/03/11 NETSUITE INC DE 2.02,9.01 11/03/11 NETWORK 1 FINANCIAL GROUP, INC. DE 3.02,9.01 10/28/11 NEW YORK MORTGAGE TRUST INC MD 2.02,7.01,9.01 11/03/11 NEWS CORP 8.01,9.01 11/03/11 NIC INC CO 2.02,7.01,9.01 11/03/11 Niska Gas Storage Partners LLC DE 2.02,9.01 11/03/11 NL INDUSTRIES INC NJ 7.01,9.01 11/03/11 NORDSTROM INC WA 7.01,9.01 11/03/11 NORTEL NETWORKS CORP 8.01,9.01 11/01/11 NORTHERN MINERALS INC. NV 4.01,9.01 10/24/11 AMEND Northfield Bancorp, Inc. X1 8.01,9.01 11/03/11 NORTHSTAR REALTY FINANCE CORP. MD 2.02,9.01 11/03/11 NORTHSTAR REALTY FINANCE CORP. MD 1.01,7.01,9.01 10/28/11 NPS PHARMACEUTICALS INC DE 2.02,9.01 11/03/11 NRG ENERGY, INC. DE 2.02,9.01 11/03/11 NU SKIN ENTERPRISES INC DE 5.02 10/25/11 NVR INC VA 5.02,9.01 11/03/11 NxStage Medical, Inc. DE 2.02,9.01 11/03/11 NYSE Euronext DE 2.02,9.01 11/03/11 O CHARLEYS INC TN 2.02,7.01,9.01 11/03/11 Oculus Innovative Sciences, Inc. CA 2.02,9.01 11/03/11 OGE ENERGY CORP. OK 2.02,9.01 11/03/11 OKLAHOMA GAS & ELECTRIC CO OK 2.02,9.01 11/03/11 ONCOGENEX PHARMACEUTICALS, INC. DE 2.02,9.01 11/03/11 ONLINE DISRUPTIVE TECHNOLOGIES, INC. NV 1.01,9.01 11/01/11 OPENWAVE SYSTEMS INC DE 2.02,9.01 11/03/11 OPTICAL CABLE CORP VA 8.01,9.01 11/01/11 OPTIMER PHARMACEUTICALS INC 2.02,9.01 11/03/11 Orbitz Worldwide, Inc. DE 2.02,9.01 11/03/11 Orexigen Therapeutics, Inc. DE 5.02,9.01 11/01/11 AMEND ORIENT EXPRESS HOTELS LTD D0 2.02,9.01 11/02/11 ORION ENERGY SYSTEMS, INC. WI 2.02,8.01,9.01 11/02/11 Orion Marine Group Inc 2.02,9.01 11/03/11 OUTDOOR CHANNEL HOLDINGS INC 2.02,9.01 11/03/11 OWENS MORTGAGE INVESTMENT FUND A CALI CA 4.01 11/03/11 Oxford Resource Partners LP DE 2.02,9.01 11/03/11 OXIGENE INC DE 5.07,8.01,9.01 10/31/11 OXIGENE INC DE 8.01,9.01 11/03/11 PAIN THERAPEUTICS INC DE 2.02,9.01 11/03/11 Park Sterling Corp NC 2.01,5.02,8.01,9.01 11/01/11 PARKER DRILLING CO /DE/ DE 2.02,9.01 11/03/11 PARLUX FRAGRANCES INC DE 2.02,9.01 11/02/11 PAWS Pet Company, Inc. IL 2.01,3.02,4.01,5.01, 08/13/11 AMEND 5.02,5.03,5.06,9.01 PC CONNECTION INC DE 2.02,9.01 11/03/11 PDF SOLUTIONS INC DE 2.02,9.01 11/03/11 PENN VIRGINIA CORP VA 2.02,7.01,9.01 11/02/11 PENNSYLVANIA REAL ESTATE INVESTMENT T PA 2.02,9.01 10/27/11 PEOPLESTRING CORP DE 8.01,9.01 10/28/11 PERFICIENT INC DE 2.02,9.01 11/03/11 PERKINELMER INC MA 2.02,9.01 11/03/11 PERMA FIX ENVIRONMENTAL SERVICES INC DE 2.02,9.01 11/03/11 PETROLEUM DEVELOPMENT CORP NV 2.02,9.01 11/03/11 PETROQUEST ENERGY INC DE 2.02 11/03/11 PG&E CORP CA 2.02,7.01,9.01 11/03/11 PGT, Inc. DE 2.02 11/02/11 PHYSICIANS FORMULA HOLDINGS, INC. DE 2.02,7.01,9.01 11/03/11 Piedmont Office Realty Trust, Inc. MD 2.02,8.01,9.01 11/03/11 PINNACLE AIRLINES CORP DE 2.02,9.01 11/03/11 PIONEER DRILLING CO TX 2.02 11/03/11 PLANAR SYSTEMS INC OR 2.02,9.01 11/03/11 PLUG POWER INC DE 2.02,9.01 11/03/11 PLURISTEM THERAPEUTICS INC NV 8.01 11/03/11 PNC FINANCIAL SERVICES GROUP INC PA 2.02,9.01 11/03/11 PNM RESOURCES INC NM 2.02,9.01 11/03/11 Polypore International, Inc. 7.01,9.01 11/03/11 POOL CORP DE 7.01,9.01 11/03/11 PORTLAND GENERAL ELECTRIC CO /OR/ OR 2.02,9.01 11/03/11 POWER INTEGRATIONS INC CA 2.02,9.01 11/03/11 POWERSECURE INTERNATIONAL, INC. DE 2.02,7.01,9.01 11/03/11 POZEN INC /NC 2.02,9.01 11/03/11 PPL Corp 2.02,7.01,9.01 11/03/11 PRECISION OPTICS Corp INC MA 1.01,9.01 10/31/11 PROCTER & GAMBLE Co OH 7.01 11/03/10 PROGRESS ENERGY INC NC 2.02,9.01 11/03/11 PROGRESS ENERGY INC NC 5.02 10/31/11 Prologis, Inc. MD 5.07 05/10/11 AMEND PROS Holdings, Inc. DE 2.02,9.01 11/03/11 PROTECTIVE LIFE CORP DE 2.02,9.01 11/02/11 PRUDENTIAL FINANCIAL INC NJ 7.01,9.01 11/03/11 pSivida Corp. DE 8.01 11/03/11 PSYCHEMEDICS CORP DE 2.02,9.01 08/10/11 PUBLIC MEDIA WORKS INC DE 5.02 11/03/11 QC Holdings, Inc. KS 2.02,8.01,9.01 11/01/11 QKL Stores Inc. DE 3.01 10/28/11 QLT INC/BC A1 2.02,9.01 11/03/11 Quanex Building Products CORP DE 5.02,9.01 10/31/11 QUANTUM CORP /DE/ DE 5.07 08/17/11 AMEND QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 1.01,3.02,9.01 11/02/11 QUEST SOFTWARE INC CA 2.02,9.01 11/03/11 RAND CAPITAL CORP NY 2.02,9.01 11/03/11 READING INTERNATIONAL INC NV 2.02,9.01 11/03/11 REALNETWORKS INC WA 2.02,9.01 11/03/11 Red Lion Hotels CORP WA 1.01,2.01,9.01 11/02/11 Red Lion Hotels CORP WA 2.02,9.01 11/03/11 RED ROBIN GOURMET BURGERS INC DE 2.02,9.01 11/03/11 REDWOOD TRUST INC MD 2.02,7.01,9.01 11/03/11 Regency Energy Partners LP DE 2.02,7.01,9.01 11/03/11 REGENERON PHARMACEUTICALS INC NY 7.01 11/03/11 REGIONS FINANCIAL CORP DE 7.01,9.01 11/03/11 RENTRAK CORP OR 2.02,9.01 11/03/11 RES CARE INC /KY/ KY 2.02,9.01 11/03/11 RESOURCE AMERICA, INC. DE 1.01,2.03 10/28/11 Resource Capital Corp. MD 2.02,9.01 11/02/11 RETAIL OPPORTUNITY INVESTMENTS CORP DE 2.02,9.01 11/03/11 River Rock Entertainment Authority XX 1.01,7.01,8.01,9.01 11/02/11 ROCHESTER MEDICAL CORPORATION MN 2.02,9.01 11/03/11 ROCKWELL MEDICAL TECHNOLOGIES INC MI 2.02,9.01 11/03/11 ROSETTA STONE INC 2.02,7.01,9.01 11/03/11 ROSS STORES INC DE 2.02,9.01 11/03/11 ROYAL GOLD INC DE 2.02,9.01 11/03/11 Sabra Health Care REIT, Inc. MD 2.02,9.01 11/02/11 SAGA COMMUNICATIONS INC DE 2.02,9.01 11/03/11 SAKS INC TN 7.01,9.01 11/03/11 SALEM COMMUNICATIONS CORP /DE/ DE 2.02,7.01,9.01 09/30/11 Sally Beauty Holdings, Inc. 8.01,9.01 11/03/11 SALLY HOLDINGS LLC DE 8.01,9.01 11/03/11 SAN DIEGO GAS & ELECTRIC CO CA 2.02,9.01 11/03/11 SANDRIDGE ENERGY INC DE 2.02,9.01 11/03/11 SAPIENT CORP DE 2.02,9.01 11/03/11 Sara Lee Corp MD 2.02,9.01 11/03/11 SARATOGA RESOURCES INC /TX TX 7.01,9.01 11/01/11 SBT Bancorp, Inc. CT 2.02,9.01 11/01/11 SCIENTIFIC LEARNING CORP DE 2.02 11/03/11 SCIQUEST INC DE 2.02,9.01 11/03/11 Scripps Networks Interactive, Inc. OH 2.02,7.01,9.01 11/03/11 SEACOAST BANKING CORP OF FLORIDA FL 8.01 11/02/11 SeaCube Container Leasing Ltd. 1.01,2.03,7.01,9.01 11/03/11 Seagate Technology plc L2 7.01 11/03/11 SEATTLE GENETICS INC /WA DE 2.02,9.01 11/03/11 Select Notes Trust LT 2004-1 DE 8.01,9.01 11/01/11 SEMPRA ENERGY CA 2.02,9.01 11/03/11 SENESCO TECHNOLOGIES INC DE 8.01,9.01 11/03/11 SensiVida Medical Technologies, Inc. NJ 5.02 11/03/11 SEQUENOM INC DE 2.02,9.01 11/03/11 Seven Arts Entertainment Inc. NV 8.01,9.01 11/03/11 Shire plc 8.01,9.01 11/02/11 Sino-Global Shipping America, Ltd. VA 8.01,9.01 11/02/11 Six Flags Entertainment Corp 8.01,9.01 11/03/11 SKULLCANDY, INC. 2.02,9.01 11/03/11 SKYWORKS SOLUTIONS, INC. DE 8.01 10/31/11 SKYWORKS SOLUTIONS, INC. DE 2.02,9.01 11/03/11 SM Energy Co DE 7.01,9.01 11/03/11 SMSA Treemont Acquisition Corp NV 1.01,2.01,3.02,4.01, 05/13/11 AMEND 5.01,5.02,5.06,9.01 SOLERA HOLDINGS, INC DE 2.02,7.01,9.01 11/03/11 Solera National Bancorp, Inc. DE 7.01,9.01 11/03/11 SOLTA MEDICAL INC DE 2.03 10/31/11 Soltera Mining Corp. NV 8.01,9.01 11/03/11 Somaxon Pharmaceuticals, Inc. DE 2.02,9.01 11/03/11 SONESTA INTERNATIONAL HOTELS CORP NY 1.01,8.01,9.01 11/02/11 Sound Financial, Inc. 2.02,9.01 11/03/11 SOUTH HERTFORDSHIRE UNITED KINGDOM FU CO 8.01,9.01 10/28/11 SOUTHERN CALIFORNIA GAS CO CA 2.02,9.01 11/03/11 SOVRAN SELF STORAGE INC MD 2.02,9.01 11/02/11 Spectra Energy Corp. DE 2.02,9.01 11/03/11 Spirit AeroSystems Holdings, Inc. DE 2.02,9.01 11/03/11 SPOT MOBILE INTERNATIONAL LTD. DE 5.02 10/28/11 SquareTwo Financial Corp DE 8.01,9.01 11/03/11 SRS LABS INC DE 2.02,9.01 11/03/11 ST JOE CO FL 2.02,9.01 11/03/11 STARBUCKS CORP WA 2.02,9.01 11/03/11 STARTEK INC DE 5.02,9.01 11/03/11 State Auto Financial CORP OH 5.02 10/28/11 STEIN MART INC FL 1.01,9.01 10/28/11 StellarOne CORP VA 8.01,9.01 11/03/11 STERLING GROUP VENTURES INC NV 1.01,9.01 10/31/11 STONEMOR PARTNERS LP DE 1.01,2.03,9.01 10/28/11 STRATEGIC HOTELS & RESORTS, INC 2.02,9.01 11/02/11 STRAYER EDUCATION INC MD 2.02,5.02,9.01 10/31/11 Stream Global Services, Inc. DE 2.02,9.01 11/02/11 STRUCTURED PRODUCTS CORP CORTS TR FOR DE 8.01,9.01 10/31/11 STRUCTURED PRODUCTS CORP CORTS TRUST DE 8.01,9.01 11/01/11 STRUCTURED PRODUCTS CORP TIERS R INFL DE 8.01,9.01 11/01/11 STW RESOURCES HOLDING CORP. NV 1.01,2.03,9.01 10/30/11 Sucampo Pharmaceuticals, Inc. 2.02,9.01 11/03/11 SUNOCO INC PA 2.02,7.01,9.01 11/03/11 SUNPOWER CORP DE 2.02,9.01 11/03/11 SUNPOWER CORP DE 5.02,9.01 10/30/11 SURMODICS INC MN 2.02,9.01 11/03/11 SWIFT ENERGY CO 2.02,9.01 11/03/11 SWIFT ENERGY CO 2.02 11/03/11 AMEND SXC Health Solutions Corp. A6 2.02 11/03/11 Symmetry Medical Inc. DE 8.01,9.01 11/03/11 Symmetry Medical Inc. DE 8.01,9.01 11/03/11 AMEND SYNAGEVA BIOPHARMA CORP DE 2.01,3.03,5.02,5.03, 11/02/11 5.07,8.01,9.01 TE Connectivity Ltd. V8 2.02,7.01,9.01 11/03/11 TELETECH HOLDINGS INC DE 2.02,9.01 11/02/11 TELIK INC DE 2.02,9.01 11/03/11 TERADATA CORP /DE/ 2.02,7.01,9.01 11/03/11 Territorial Bancorp Inc. MD 8.01,9.01 08/04/11 Territorial Bancorp Inc. MD 8.01,9.01 08/04/11 TESORO CORP /NEW/ DE 2.02,9.01 11/02/11 TESORO CORP /NEW/ DE 7.01,9.01 11/03/11 TESSERA TECHNOLOGIES INC DE 2.02,9.01 11/03/11 THERAGENICS CORP DE 2.02 11/03/11 THESTREET, INC. DE 2.02,9.01 11/02/11 THOMAS PROPERTIES GROUP INC DE 2.02,9.01 11/02/11 THORATEC CORP CA 1.01 11/01/11 Titanium Group LTD D8 4.01,9.01 11/01/11 Total Nutraceutical Solutions, Inc. NV 1.01,9.01 10/28/11 Tower International, Inc. DE 2.02,7.01,9.01 11/03/11 TRAILER BRIDGE INC 1.01,9.01 10/31/11 TRANSATLANTIC HOLDINGS INC DE 8.01,9.01 11/03/11 TRANSCEND SERVICES INC DE 1.01,9.01 11/02/11 TRIDENT MICROSYSTEMS INC DE 1.02,2.02,9.01 11/01/11 TRIUMPH GROUP INC DE 2.02,9.01 11/01/11 TrueBlue, Inc. WA 7.01,9.01 11/02/11 TUTOR PERINI Corp MA 2.02,9.01 11/03/11 U S PHYSICAL THERAPY INC /NV NV 2.02,8.01 11/03/11 UIL HOLDINGS CORP CT 2.02,7.01,9.01 11/03/11 ULTRALIFE CORP DE 2.02,9.01 11/03/11 UNITEDHEALTH GROUP INC MN 7.01 11/03/11 UNITIL CORP NH 7.01,9.01 11/02/11 UNIVERSAL ELECTRONICS INC DE 2.02,9.01 11/03/11 US AIRWAYS GROUP INC DE 2.02,9.01 11/03/11 US BANCORP \DE\ DE 8.01,9.01 11/03/11 US CONCRETE INC DE 5.02 10/28/11 USA Synthetic Fuel Corp DE 5.07,8.01,9.01 10/28/11 Valeant Pharmaceuticals International A6 2.02,9.01 11/03/11 VALHI INC /DE/ DE 2.02,7.01,9.01 11/03/11 VALIDUS HOLDINGS LTD 8.01,9.01 09/23/11 VALLEY FORGE COMPOSITE TECHNOLOGIES, FL 4.02,9.01 10/28/11 Vanguard Natural Resources, LLC DE 2.02,7.01,9.01 11/03/11 VEECO INSTRUMENTS INC DE 7.01,9.01 11/03/11 VERAMARK TECHNOLOGIES INC DE 2.02,9.01 11/02/11 VIKING SYSTEMS INC DE 2.02,9.01 11/03/11 VISTEON CORP DE 2.02,7.01,9.01 11/03/11 VIVUS INC CA 8.01,9.01 11/03/11 VOLT INFORMATION SCIENCES, INC. NY 7.01,9.01 11/02/11 Vulcan Materials CO NJ 2.02,9.01 11/02/11 Walter Energy, Inc. DE 2.02,9.01 11/03/11 WARNACO GROUP INC /DE/ DE 2.02,9.01 11/02/11 WEB.COM GROUP, INC. DE 2.02,9.01 11/03/11 WebMD Health Corp. DE 1.01,3.03,9.01 11/02/11 WESTAR ENERGY INC /KS KS 2.02,9.01 11/03/11 Western Refining, Inc. DE 2.02,9.01 11/03/11 WISCONSIN ENERGY CORP WI 7.01,9.01 11/03/11 WNC CALIFORNIA HOUSING TAX CREDITS II CA 2.02,9.01 11/03/11 WORLD WRESTLING ENTERTAINMENTINC DE 2.02,9.01 11/03/11 XATA CORP /MN/ MN 2.02,9.01 11/03/11 XFONE INC. NV 8.01 11/03/11 XO GROUP INC. DE 2.02,9.01 11/03/11 Xylem Inc. IN 5.02 10/28/11 Yayi International Inc DE 4.02 10/31/11 Zayo Group LLC DE 7.01,9.01 11/03/11 ZIOPHARM ONCOLOGY INC DE 8.01,9.01 11/03/11 Zoo Entertainment, Inc DE 1.01,9.01 10/28/11 ZYNEX INC NV 2.02,9.01 11/03/11
http://www.sec.gov/news/digest/2011/dig110411.htm
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