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U.S. Securities and Exchange Commission

SEC News Digest

Issue 2011-232
December 2, 2011


Commission announcements

Commission Meetings

Closed Meeting on Wednesday, December 7, 2011 at 9:30 a.m.


The subject matter of the Closed Meeting scheduled for Wednesday, December 7, 2011 will be: a matter 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.


Enforcement Proceedings

SEC Moves for Court Enforcement of Order Suspending Attorney William J. Reilly from Practicing as an Attorney before Commission

The Securities and Exchange Commission announced that on December 1, 2011, it charged that William J. Reilly, a New York attorney residing in Boca Raton, Florida, knowingly violated an order suspending him from appearing or practicing as an attorney before the SEC. The SEC seeks court enforcement of its suspension order.

The SEC’s application alleges that the SEC on October 27, 2009 suspended Reilly from appearing or practicing as an attorney before the SEC, with the right to apply for reinstatement after three years. The application further alleges that a registration statement on Form S-8 filed with the SEC on June 21, 2011 incorporated as an exhibit a legal opinion letter signed by Reilly. By this conduct, Reilly knowingly violated the terms of the order suspending him from appearing or practicing before the SEC as an attorney.

The application seeks court enforcement under Section 21(e) of the Securities Exchange Act of 1934 of the SEC’s 2009 order. [SEC v. William J. Reilly, 9:11-CV-81322-DMM (S.D. Fla.)] (LR-22173)

Investment company act releases

Notice of Applications for Deregistration under the Investment Company Act of 1940

For the month of November 2011, a notice has been issued giving interested persons until December 29, 2011, to request a hearing on any of the following applications for an order under Section 8(f) of the Investment Company Act of 1940 declaring that the applicant has ceased to be an investment company:

  • Veracity Funds [File No. 811-21483]
     
  • Old Mutual Emerging Managers Fund, L.L.C. [File No. 811-21898]
     
  • Old Mutual Emerging Managers Institutional Fund, L.L.C. [File No. 811-21997]
     
  • Old Mutual Emerging Managers Master Fund, L.L.C. [File No. 811-21912]
     
  • Larch Lane Multi-Strategy Fund, L.L.C. [File No. 811-21896]
     
  • Larch Lane Multi-Strategy Institutional Fund, L.L.C. [File No. 811-21998]
     
  • Larch Lane Multi-Strategy Master Fund, L.L.C. [File No. 811-21911]
     
  • Hatteras Ramius Advantage Fund [File No. 811-22285]
     
  • Hatteras Ramius Advantage Institutional Fund [File No. 811-22284]
     
  • Ibero-America Fund, Inc. [File No. 811-5189]
     
  • EquiTrust Series Fund, Inc. [File No. 811-2125]
     
  • Legg Mason Light Street Trust, Inc. [File No. 811-8943]
     
  • Metzler/Payden Investment Group [File No. 811-21085]
     
  • EquiTrust Variable Insurance Series Fund [File No. 811-5069]

(Rel. IC-29878 – November 30)

Self-Regulatory Organizations

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change submitted by The Nasdaq Stock Market LLC to eliminate Exchange Directed Orders (SR-NASDAQ-2011-159) 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 December 5. (Rel. 34-65854)

A proposed rule change submitted by The Nasdaq Stock Market LLC relating to the customer rebate to add liquidity (SR-NASDAQ-2011-162) 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 December 5. (Rel. 34-65858)

A proposed rule change filed by the International Securities Exchange, LLC (SR-ISE-2011-77) relating to network and gateway fees 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 December 5. (Rel. 34-65861)

Proposed Rule Changes

NYSE Arca, Inc. filed a proposed rule change (SR-NYSEArca-2011-84) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 relating to the listing and trading of the Russell Global Opportunity ETF; Russell Bond ETF; and Russell Real Return ETF under NYSE Arca Equities Rule 8.600. Publication is expected in the Federal Register during the week of December 5. (Rel. 34-65859)

NYSE Arca, Inc. filed a proposed rule change (SR-NYSEArca-2011-85) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to the listing and trading of SPDR SSgA Real Assets ETF; SPDR SSgA Income Allocation ETF; SPDR SSgA Conservative Global Allocation ETF; SPDR SSgA Global Allocation ETF; and SPDR SSgA Aggressive Global Allocation ETF under NYSE Arca Equities Rule 8.600. Publication is expected in the Federal Register during the week of December 5. (Rel. 34-65860)

NYSE Arca, Inc. filed a proposed rule change (SR-NYSEArca-2011-86) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to list and trade the Accuvest Global Opportunities ETF under NYSE Arca Equities Rule 8.600. Publication is expected in the Federal Register during the week of December 5. (Rel. 34-65862)

Securities Act Registrations

The 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-3     OCZ TECHNOLOGY GROUP INC, 6373 SAN IGNACIO AVENUE, SAN JOSE,, CA, 
        95119-1200, 408-733-8400 - 0 ($150,000,000.00) Equity, 
        (File 333-178247 - Dec. 1) (BR. 03A)

S-3ASR  CORNING INC /NY, ONE RIVERFRONT PLAZA, CORNING, NY, 14831, 6079749000 - 
        0 ($0.00) Unallocated (Universal) Shelf, (File 333-178248 - Dec. 1) 
        (BR. 06C)

S-3     ICAHN ENTERPRISES L.P., 767 FIFTH AVENUE, SUITE 4700, NEW YORK, NY, 
        10153, 212-702-4300 - 0 ($500,000,000.00) Equity, (File 333-178249 - 
        Dec. 1) (BR. 05B)

S-1     North Texas Energy, Inc., 5057 KELLER SPRINGS ROAD, SUITE 300, ADDISON, 
        TX, 75001, 469-718-5572 - 2,000,000 ($2,000,000.00) Equity, 
        (File 333-178251 - Dec. 1) (BR. )

S-3ASR  NSTAR/MA, 800 BOYLSTON ST, BOSTON, MA, 02199, 6174242000 - 
        0 ($8,405,600.00) Equity, (File 333-178256 - Dec. 1) (BR. 02A)

S-8     BROOKFIELD ASSET MANAGEMENT INC., BCE PLACE 181 BAY ST, 
        STE 300 PO BOX 762, TORONTO ONTARIO, A6, M5J2T3, 4163639491 - 
        16,045,075 ($414,925,639.50) Equity, (File 333-178260 - Dec. 1) 
        (BR. 08B)

S-8     GUIDED THERAPEUTICS INC, 4955 AVALON RIDGE PKWY, SUITE 300, NORCROSS, 
        GA, 30071, 7702428723 - 5,800,000 ($5,510,000.00) Other, 
        (File 333-178261 - Dec. 1) (BR. 10C)

S-3ASR  GENERAL ELECTRIC CAPITAL CORP, 3135 EASTON TURNPIKE, FAIRFIELD, CT, 
        06828-0001, 203-373-2211 - 0 ($0.00) Other, (File 333-178262 - Dec. 1) 
        (BR. 07A)

S-8     CISCO SYSTEMS, INC., 170 WEST TASMAN DR, SAN JOSE, CA, 95134-1706, 
        4085264000 - 819,935 ($3,125,217.78) Equity, (File 333-178266 - Dec. 1) 
        (BR. 03C)

S-3     Dehaier Medical Systems Ltd, NO.15 WEST 4TH RING NORTH ROAD, 
        EAST PLAZA, ROOM 908, HAIDIAN DISTRICT, BEIJING, F4, 100195, 
        (8610) 5166-0080 - 0 ($25,000,000.00) Equity, (File 333-178268 - 
        Dec. 1) (BR. 10A)

S-8     ChinaNet Online Holdings, Inc., NO.3 MIN ZHUANG ROAD, BUILDING 6,, 
        YU QUAN HUI GU TUSPARK,, HAIDIAN DISTRICT, BEIJING,, F4, 100195, 
        888-419-9455 - 5,000,000 ($5,425,000.00) Equity, (File 333-178269 - 
        Dec. 1) (BR. 11C)

S-1     Annie's, Inc., 1610 FIFTH STREET, BERKELEY, CA, 94613, 800-288-1089 - 
        0 ($100,000,000.00) Equity, (File 333-178270 - Dec. 1) (BR. )

Recent 8K Filings

Form 8-K is used by companies to file current reports on the following events:

1.01

Entry into a Material Definitive Agreement

1.02

Termination of a Material Definitive Agreement

1.03

Bankruptcy or Receivership

2.01

Completion of Acquisition or Disposition of Assets

2.02

Results of Operations and Financial Condition

2.03

Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

2.04

Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement

2.05

Cost Associated with Exit or Disposal Activities

2.06

Material Impairments

3.01

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

3.02

Unregistered Sales of Equity Securities

3.03

Material Modifications to Rights of Security Holders

4.01

Changes in Registrant's Certifying Accountant

4.02

Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review

5.01

Changes in Control of Registrant

5.02

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer

5.03

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year

5.04

Temporary Suspension of Trading Under Registrant's Employee Benefit Plans

5.05

Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics

5.06

Change in Shell Company Status

6.01

ABS Informational and Computational Material.

6.02

Change of Servicer or Trustee.

6.03

Change in Credit Enhancement or Other External Support.

6.04

Failure to Make a Required Distribution.

6.05

Securities Act Updating Disclosure.

7.01

Regulation FD Disclosure

8.01

Other Events

9.01

Financial Statements and Exhibits

8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.

                                        STATE
NAME OF ISSUER                          CODE     8K ITEM NO.          DATE        COMMENT

1st FRANKLIN FINANCIAL CORP             GA       5.06                 11/28/11

8X8 INC /DE/                            DE       9.01                 09/15/11    AMEND

99 CENTS ONLY STORES                    CA       7.01                 12/01/11

ACI WORLDWIDE, INC.                     DE       8.01,9.01            12/01/11

AEROPOSTALE INC                                  2.02                 11/30/11

AGCO CORP /DE                           DE       8.01,9.01            12/01/11

ALLETE INC                              MN       8.01                 12/01/11

AMARIN CORP PLC\UK                      X0       1.01                 11/28/11

American Capital Agency Corp                     1.01,1.02,8.01,9.01  11/29/11

AMERICAN DEFENSE SYSTEMS INC            DE       3.01,8.01,9.01       12/01/11

AMERICAN EAGLE OUTFITTERS INC           DE       2.02,9.01            11/30/11

AMERICAN SOFTWARE INC                   GA       2.02,9.01            12/01/11

Apple REIT Eight, Inc.                  VA       2.02,9.01            11/30/11

Apple REIT Nine, Inc.                   VA       2.02,9.01            11/30/11

Apple REIT Seven, Inc.                  VA       2.02,9.01            11/30/11

APPLE REIT SIX INC                               2.02,9.01            11/30/11

Apple REIT Ten, Inc.                    VA       2.02,9.01            11/30/11

Armour Residential REIT, Inc.           MD       5.03,5.07,9.01       12/01/11

Ascena Retail Group, Inc.               DE       2.02,9.01            12/01/11

ASSOCIATED BANC-CORP                    WI       8.01,9.01            11/30/11

Atlas Capital Holdings, Inc.            NV       1.01,9.01            11/16/11    AMEND

Atrinsic, Inc.                          DE       5.02                 11/25/11

ATWOOD OCEANICS INC                     TX       7.01                 11/30/11

AUXILIUM PHARMACEUTICALS INC                     7.01,9.01            12/01/11

Avago Technologies LTD                  U0       2.02,7.01,9.01       12/01/11

BAKER HUGHES INC                        DE       8.01                 11/18/11

BankFinancial CORP                               8.01,9.01            11/30/11

BARNES & NOBLE INC                      DE       2.02,9.01            12/01/11

BILL BARRETT CORP                                5.02,7.01,9.01       12/01/11

BIOMARIN PHARMACEUTICAL INC             DE       1.01                 11/30/11

BLOCKBUSTER INC                         DE       7.01,9.01            09/30/11

BLUE NILE INC                           DE       5.02,7.01,9.01       11/28/11

BLUE RIDGE REAL ESTATE CO               PA       8.01                 11/30/11

BON TON STORES INC                      PA       2.02,9.01            12/01/11

BOYD GAMING CORP                        NV       1.01,8.01,9.01       11/28/11

BRT REALTY TRUST                        MA       1.02                 11/30/11

CADIZ INC                               DE       3.02                 11/30/11

CANTEL MEDICAL CORP                     DE       5.02,9.01            11/28/11

Cardiovascular Systems Inc              DE       8.01                 11/30/11

CARVER BANCORP INC                      DE       3.01                 11/30/11

CASTLE A M & CO                         MD       8.01,9.01            12/01/11

CDI CORP                                PA       1.01,2.03            11/30/11

CELL THERAPEUTICS INC                   WA       5.02,8.01            11/29/11

Celsion CORP                            DE       5.03,7.01,9.01       11/27/11

CHARMING SHOPPES INC                    PA       2.02,9.01            12/01/11

CHINA AGRITECH INC                      DE       8.01                 12/01/11

China Modern Agricultural Information   NV       2.02,9.01            12/01/11

Chrysler Group LLC                      DE       8.01,9.01            12/01/11

CHS INC                                 MN       1.01                 11/29/11

CIG WIRELESS CORP.                      NV       5.02,8.01            11/28/11

Clearwire Corp /DE                      DE       8.01,9.01            12/01/11

CNL LIFESTYLE PROPERTIES INC            MD       7.01,9.01            12/01/11

COFFEE HOLDING CO INC                   NV       8.01,9.01            12/01/11

Colfax CORP                             DE       5.02                 11/27/11

COMVERGE, INC.                          DE       1.01,9.01            11/29/11

Delta Tucker Holdings, Inc.             DE       8.01                 12/01/11

DELTATHREE INC                          DE       5.02                 12/01/11

DIAMOND HILL INVESTMENT GROUP INC       OH       8.01,9.01            12/01/11

DILLARDS INC                            DE       8.01,9.01            11/30/11

DOMINION RESOURCES INC /VA/             VA       8.01,9.01            11/30/11

Douglas Emmett Inc                      MD       5.02,9.01            12/01/11

EASTERN CO                              CT       3.01,9.01            12/01/11

EchoStar CORP                           NV       2.02,7.01,9.01       11/30/11

EDAC TECHNOLOGIES CORP                  WI       4.01,9.01            11/30/11

EDIETS COM INC                          DE       1.01,3.02,5.02,9.01  11/29/11

EDIETS COM INC                          DE       3.01,9.01            11/30/11

EDUCATION MANAGEMENT CORPORATION                 1.01,2.03,9.01       11/30/11

Embassy Bancorp, Inc.                   PA       8.01                 12/01/11

EMERALD DAIRY INC                       NV       1.01,2.03,2.04,8.01, 10/26/11
                                                 9.01
          
EMPIRE RESORTS INC                      DE       8.01,9.01            12/01/11

ENBRIDGE ENERGY PARTNERS LP             DE       7.01,9.01            12/01/11

ENDO PHARMACEUTICALS HOLDINGS INC       DE       7.01,9.01            12/01/11

ENTECH SOLAR, INC.                      DE       5.02                 11/26/11

EPOCH HOLDING CORP                      DE       5.07                 12/01/11

EVOLVING SYSTEMS INC                    DE       5.02,9.01            12/01/11

Exelis Inc.                             IN       7.01,9.01            12/01/11

EXOPACK HOLDING CORP                             5.02                 11/28/11

EXTREME NETWORKS INC                    DE       8.01                 12/01/11

FEDERAL AGRICULTURAL MORTGAGE CORP               8.01,9.01            12/01/11

Federal Home Loan Bank of Atlanta       X1       2.03                 12/01/11

Federal Home Loan Bank of Boston        X1       2.03                 11/29/11

Federal Home Loan Bank of Cincinnati    X1       2.03,9.01            11/29/11

Federal Home Loan Bank of New York      X1       2.03,9.01            11/28/11

Federal Home Loan Bank of Pittsburgh    PA       2.03,9.01            11/28/11

Federal Home Loan Bank of Seattle                2.03                 11/28/11

Federal Home Loan Bank of Topeka                 2.03,9.01            11/28/11

FIRST BANCORP /PR/                      PR       2.02,7.01,9.01       12/01/11

FIRST MIDWEST BANCORP INC               DE       7.01,9.01            12/01/11

FIRST NIAGARA FINANCIAL GROUP INC       DE       7.01,9.01            12/01/11

FIRST PACTRUST BANCORP INC              MD       1.01,9.01            11/28/11

FORD MOTOR CO                           DE       8.01,9.01            12/01/11

FORD MOTOR CREDIT CO LLC                DE       8.01,9.01            12/01/11

Gaming Partners International CORP      NV       8.01,9.01            12/01/11

GAP INC                                 DE       7.01,9.01            12/01/11

Georgetown Bancorp, Inc.                X1       8.01,9.01            11/28/11

GLOBAL INDUSTRIES LTD                   LA       5.03,5.07,8.01,9.01  11/30/11

GLOBAL INDUSTRIES LTD                   LA       1.01,1.02,2.01,2.04, 11/30/11
                                                 3.01,3.03,5.01,5.02
        
GOLDMAN SACHS GROUP INC                 DE       8.01,9.01            11/30/11

GOLDMAN SACHS GROUP INC                 DE       9.01                 12/01/11

Guangzhou Global Telecom, Inc.          FL       1.01,2.04,9.01       11/28/11

HANDY & HARMAN LTD.                     DE       5.07                 11/29/11

HANOVER INSURANCE GROUP, INC.           DE       1.01,1.02,2.03,9.01  11/28/11

HELICOS BIOSCIENCES CORP                DE       1.01,9.01            11/30/11

HIGHWATER ETHANOL LLC                            7.01,9.01            12/01/11

Hoku Corp                               DE       1.01,2.03,9.01       11/30/11

HOLLY ENERGY PARTNERS LP                DE       7.01,9.01            12/01/11

HOMEAWAY INC                            DE       7.01,9.01            11/30/11

Horsehead Holding Corp                           5.02                 12/01/11

HORTON D R INC /DE/                     DE       1.01,2.03,9.01       11/29/11

ICAHN ENTERPRISES L.P.                  DE       8.01,9.01            12/01/11

INOVIO PHARMACEUTICALS, INC.                     1.01,9.01            12/01/11

Intcomex, Inc.                          DE       5.02,9.01            12/01/11

ION GEOPHYSICAL CORP                    DE       5.02,7.01,9.01       11/28/11

IRIS INTERNATIONAL INC                  DE       1.01,1.02,3.03,5.03, 11/28/11
                                                 9.01
          
ISLE OF CAPRI CASINOS INC               DE       2.02,9.01            12/01/11

ITC Holdings Corp.                      MI       1.01,2.03,9.01       11/29/11

ITEX CORP                               NV       1.01,2.03,7.01,8.01, 12/01/11
                                                 9.01
          
J CREW GROUP INC                        DE       2.02,9.01            12/01/11

J. CREW INC.                            DE       2.02,9.01            12/01/11

JMP Group Inc.                          DE       7.01                 12/01/11

JONES GROUP INC                         PA       1.01,2.03,9.01       12/01/11

Kaiser Federal Financial Group, Inc.    MD       8.01,9.01            11/29/11

KAR Auction Services, Inc.              DE       5.02                 12/01/11

KEWAUNEE SCIENTIFIC CORP /DE/           DE       2.02,9.01            11/30/11

KOHLS Corp                              WI       2.02,9.01            12/01/11

KROGER CO                               OH       2.02,7.01,9.01       12/01/11

LAKES ENTERTAINMENT INC                 MN       8.01,9.01            11/30/11

LEAP WIRELESS INTERNATIONAL INC         DE       1.01,9.01            11/30/11

LIBERTY PROPERTY TRUST                  MD       1.01,3.02            11/30/11

LIFE PARTNERS HOLDINGS INC              TX       8.01,9.01            12/01/11

LINN ENERGY, LLC                        DE       5.02                 11/30/11

LSB INDUSTRIES INC                      DE       5.07,8.01            12/01/11    AMEND

lululemon athletica inc.                DE       2.02,9.01            12/01/11

LyondellBasell Industries N.V.          P7       5.02                 11/25/11

LYRIS, INC.                                      1.01,9.01            11/28/11

MACC PEI LIQUIDATING TRUST                       1.01,9.01            11/28/11

MAGMA DESIGN AUTOMATION INC             DE       1.01,8.01,9.01       11/30/11

MAGMA DESIGN AUTOMATION INC             DE       2.02,9.01            12/01/11

Maidenform Brands, Inc.                 DE       5.02,9.01            12/01/11

MAINSOURCE FINANCIAL GROUP              IN       8.01,9.01            12/01/11

MEDL Mobile Holdings, Inc.              NV       5.02                 11/25/11

Merck & Co. Inc.                        NJ       5.02,9.01            12/01/11

MISCOR GROUP, LTD.                      IN       2.02,9.01            12/01/11

MITEL NETWORKS CORP                              2.02,9.01            12/01/11

MOOG INC                                NY       5.02,9.01            12/01/11

MOOG INC                                NY       8.01,9.01            11/30/11

Morgans Hotel Group Co.                 DE       5.02,8.01            11/30/11

MOVADO GROUP INC                        NY       2.02,9.01            12/01/11

Nalco Holding CO                                 5.07,9.01            11/30/11

NATIONAL FUEL GAS CO                    NJ       8.01,9.01            11/28/11

NATIONAL RURAL UTILITIES COOPERATIVE    DC       2.03                 12/01/11

NBC ACQUISITION CORP                    DE       7.01,9.01            11/28/11

NCO Group, Inc.                         DE       7.01,8.01,9.01       11/30/11

NEOGEN CORP                             MI       5.03,9.01            11/28/11

NETREIT, INC.                           MD       5.02                 11/25/11

NEW ENERGY TECHNOLOGIES, INC.                    7.01,9.01            11/30/11

New Leaf Brands, Inc.                   NV       5.02,8.01            11/22/11

NEW YORK MORTGAGE TRUST INC             MD       7.01,9.01            12/01/11

NORDSTROM INC                           WA       7.01,9.01            12/01/11

NORTHWEST BIOTHERAPEUTICS INC           DE       1.01,3.02            11/25/11

NOVELOS THERAPEUTICS, INC.              DE       7.01,9.01            12/01/11

NSTAR/MA                                         8.01,9.01            12/01/11

OCWEN FINANCIAL CORP                    FL       7.01,9.01            12/01/11

ORMAT TECHNOLOGIES, INC.                DE       1.01,9.01            12/01/11

PAPA JOHNS INTERNATIONAL INC            DE       1.01,2.03,9.01       11/30/11

PARLUX FRAGRANCES INC                   DE       7.01                 11/30/11

PATRIOT NATIONAL BANCORP INC            CT       3.01                 11/28/11

PennantPark Floating Rate Capital Ltd            7.01,9.01            12/01/11

PERCEPTRON INC/MI                       MI       8.01,9.01            11/30/11

PERVASIP CORP                           NY       1.01,2.03,3.02,3.03  11/23/11

PG&E CORP                               CA       8.01,9.01            12/01/11

Phillips Edison - ARC Shopping Center   MD       8.01,9.01            12/01/11

PIER 1 IMPORTS INC/DE                   DE       7.01,9.01            12/01/11

Point.360                               CA       5.07                 11/30/11

PRINCIPAL FINANCIAL GROUP INC           DE       7.01,9.01            11/30/11

Protalix BioTherapeutics, Inc.          FL       8.01,9.01            12/01/11

PROVIDENT FINANCIAL HOLDINGS INC        DE       5.07,9.01            11/29/11

PVH CORP. /DE/                          DE       2.02,9.01            12/01/11

RADIENT PHARMACEUTICALS Corp            DE       3.02,7.01,9.01       11/30/11

REPROS THERAPEUTICS INC.                DE       7.01,9.01            12/01/11

Rosetta Resources Inc.                  DE       7.01,9.01            11/30/11

Sabra Health Care REIT, Inc.            MD       7.01,9.01            12/01/11

Sagebrush Gold Ltd.                     NV       3.02,8.01,9.01       11/21/11

SAKS INC                                TN       7.01,9.01            12/01/11

SCANSOURCE INC                          SC       5.07                 12/01/11

SCHIFF NUTRITION INTERNATIONAL, INC.    DE       5.02,9.01            11/29/11

Scripps Networks Interactive, Inc.      OH       1.01,9.01            12/01/11

SEACOR HOLDINGS INC /NEW/               DE       7.01,9.01            11/30/11

SENESCO TECHNOLOGIES INC                DE       8.01,9.01            12/01/11

Shrink Nanotechnologies, Inc.           DE       5.02                 11/01/11

SIGNATURE GROUP HOLDINGS, INC.          NV       8.01                 11/28/11

SIGNET JEWELERS LTD                              8.01                 12/01/11

SILVERSTAR MINING CORP.                 NV       3.02                 11/30/11

SOHU COM INC                            DE       1.01,8.01,9.01       11/29/11

SONESTA INTERNATIONAL HOTELS CORP       NY       8.01,9.01            12/01/11

SOUTHCOAST FINANCIAL CORP               SC       3.03,8.01,9.01       11/28/11

SOUTHERN UNION CO                       DE       5.04                 11/30/11

STELLAR PHARMACEUTICALS INC                      8.01,9.01            12/01/11

Stereotaxis, Inc.                       DE       1.01,2.03,7.01,9.01  11/30/11

Stratus Media Group, Inc                NV       8.01,9.01            12/01/11

SUPERIOR INDUSTRIES INTERNATIONAL INC   CA       8.01                 11/28/11

SYCAMORE NETWORKS INC                   DE       2.02,9.01            12/01/11

SYNERGY PHARMACEUTICALS, INC.           FL       1.01,5.03,8.01,9.01  11/29/11

SYNOPSYS INC                            DE       1.01,8.01,9.01       11/30/11

SYNTA PHARMACEUTICALS CORP                       1.01,9.01            11/30/11

T3 Motion, Inc.                         DE       5.02                 11/30/11

TALBOTS INC                             DE       2.02,2.05,9.01       11/29/11

TAMM Oil & Gas Corp.                    NV       8.01,9.01            12/01/11

TCF FINANCIAL CORP                      DE       8.01,9.01            11/30/11

TENET HEALTHCARE CORP                   NV       1.01,2.03,9.01       11/29/11

TEXAS INDUSTRIES INC                    DE       1.02                 11/30/11

TEXAS INDUSTRIES INC                    DE       7.01,9.01            12/01/11

TORTOISE CAPITAL RESOURCES CORP                  1.01,1.02,5.02,9.01  11/30/11

TRANSATLANTIC HOLDINGS INC              DE       8.01,9.01            12/01/11

TRANSCEND SERVICES INC                  DE       5.02                 11/30/11

Transcept Pharmaceuticals Inc           DE       8.01                 11/30/11

TRANZYME INC                            DE       1.01,2.03,9.01       12/01/11

U.S. RARE EARTHS, INC                   NV       5.02                 12/01/11

UIL HOLDINGS CORP                       CT       7.01,9.01            12/01/11

Ulta Salon, Cosmetics & Fragrance, In   DE       2.02,9.01            12/01/11

UNION FIRST MARKET BANKSHARES CORP      VA       8.01,9.01            12/01/11

UNITED SURGICAL PARTNERS INTERNATIONA   DE       7.01,9.01            12/01/11

US NATURAL GAS CORP                     FL       5.03,9.01            11/30/11

UTi WORLDWIDE INC                       D8       2.02,9.01            12/01/11

VALIDUS HOLDINGS LTD                             7.01,9.01            12/01/11

VERDE RESOURCES, INC.                   NV       5.02                 11/28/11

VERSANT CORP                            CA       2.02,5.02,7.01,9.01  11/28/11

VERTICAL HEALTH SOLUTIONS INC           FL       1.01,2.03,3.02,9.01  11/25/11

VIEWCAST COM INC                        DE       5.07                 11/30/11

VOLITIONRX LTD                          DE       5.03                 12/01/11

WABASH NATIONAL CORP /DE                DE       8.01                 11/22/11

WALT DISNEY CO/                         DE       8.01,9.01            11/29/11

WASHINGTON MUTUAL, INC                  WA       7.01,9.01            11/30/11

WebXU, Inc.                             DE       5.02                 11/29/11

WELLS FARGO & CO/MN                     DE       9.01                 12/01/11

WERNER ENTERPRISES INC                  NE       5.02                 11/28/11

WESTERN LIBERTY BANCORP                 DE       5.02,9.01            11/28/11

WILLIAMS COMPANIES INC                  DE       8.01,9.01            12/01/11

WORTHINGTON INDUSTRIES INC              OH       8.01                 12/01/11

XL GROUP PLC                            L2       5.02,8.01,9.01       11/28/11

YRC Worldwide Inc.                      DE       5.02,5.03,5.07,8.01, 11/30/11
                                                 9.01
          
ZANETT INC                              DE       1.01                 11/08/11

ZOLTEK COMPANIES INC                    DE       2.02,9.01            11/29/11

Zumiez Inc                              WA       2.02,9.01            12/01/11

 

http://www.sec.gov/news/digest/2011/dig120211.htm

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Modified: 12/02/2011