SEC News Digest November 15 2011


2011-220 issue
November 15, 2011

Announcement of Committee The SEC held a shadowing event for National High School student finance

Securities and Exchange Commission today announced that, in order to obtain some direct knowledge about the work of government in order to protect investors, to study finance, to enable high school students, and some of the headquarters in Washington DC shadowing event was held in the office of the region.

Students are involved in the Academy of one of the Academy on the theme of the five carriers, which is part of the (NAF) Financial, National Academy Foundation. More than 250 students have visited the office of the SEC this week in Washington, Atlanta, Boston, Denver, Los Angeles, Miami, Salt Lake City, San Francisco. They are, I have heard from other leaders of the SEC of group discussion and Elisse Walter and Toroiparedesu Commission SEC, which are paired with professionals with SEC in order to observe the working hours. Staff of the SEC, he enjoys the opportunity to volunteer to be a shadow, describe their work, to interact with the next generation of American financial experts from various departments and offices.

"By shadowing employees of SEC of the day, can learn about the mission of the SEC about the work we're doing on a daily basis for on behalf of students, investors, and to achieve it," Kathy Deputy Director of the SEC and advocacy office of Floyd, of investor education. "They are We are looking forward to pique students' interest and potential career paths to consider its own financial services industry and public services in the agency such as the SEC."

JD Hoye, President of Foundation National Academy Foundation, the National Academy, look at real-world applications of what they are learning at school, students with the experience to hone the skills needed to excel in their career through a partnership with. SEC, "he added offers, students stressed the relevance of class work, exposing them to career paths available, it is possible to obtain a window on an important part of the financial industry . You "

Shadowing programs, SEC, the federal financial regulators and diversity of the labor force at all levels, if possible, be determined Dodd asked first inner-city high school, a girls' high school and the partner In order to provide mentoring, school of ethnic minorities, mainly high school, the establishment or strengthening financial literacy program can be achieved the target in section 342 of Frank law.

Academy of Finance is more than 200 people to reach more than 20,000 students, there is a nationwide network of approximately 500 Academy NAF them. Student of the Academy of Finance, accounting problem, banks, credit, economics, financial planning, are taught a curriculum that covers international finance, securities. The curriculum is complemented by work-based learning experience and job shadowing.

At the beginning of this year, SEC, you steer the student shadow program at the headquarters in Washington, DC, the host program for high school students is 28, since the SEC's Regional Office for Sun as well as a Prince George County, Maryland from the local Academy of Finance has been expanded to place. Academy of Finance students will be back on the day of shadowing another planned for spring 2012. (Press release DDBJ 242 from 2011 )

Committee meetings Closed meeting on Monday November 21, 2011 at 2:00 pm

Subject matter of the closed meeting will be scheduled as follows: November 21, 2011 (Monday). Check out also armed forces federal credit union . Reconciliation with the institution of injunctive action, and other matters related to the settlement and enforcement procedures and agency administrative procedures.

Change of priorities from time to time, the committee will require a change in the scheduling of meeting items. For more information and, if any, additional confirmation of the matters to be, whether it is deleted or postponed, please contact: 5400 (202) from 551 the secretariat.

Enforcement proceedings Shares of delinquent filer registration revocation

Registration of securities of companies registered CuraTech Industries has been revoked. I could not repeat it, to submit the required annual and quarterly reports with the Securities and Exchange Commission. Therefore, investors are to be able to make decisions based on the information, currently, there is a need to disclose accurate financial information to the public public companies, has been in violation of important provisions of federal securities laws. The revocation was ordered in administrative proceedings before the administrative law judge. (Relative to 65 747 from 34 , from 14,606. 3 File No)

The Committee fails to cancel the registration of securities of Avicena group headquarters to make the filing required periodic

On November 15, 2011, the Committee is to perform the required periodic filings to the Commission, was revoked the registration of each class of securities registered (Avicena group) Avicena Group, Inc. for the failure.

It is not except in the case of jurisdiction recognized, deny or admit the findings of a Cabinet Order, in Avicena Group is of the order that the registration cancellation of securities and the findings in accordance with the provisions of (j) Article 12 of the Securities Exchange Act of 1934 Avicena group's consent, 13A-1, we found that the failure to comply with the rules and (a), and based on this group of Avicena 13A-13 section 13 of the Securities Exchange Act of 1934 (Exchange Act) entry securities based on the (j) Article 12 of the Exchange Act to revoke the registration of each class. This order is a matter of advanced remote communications solutions, procedures that have been raised against Avicena Group, Inc., La, file No administrative procedures. Was solved from three 14,608.

Brokers and dealers should be alert to (j), in relevant part Article 12 of the Exchange Act, which provides as follows. Check out also i love you megany best friend.

Induce the purchase or sale of, or affect the transaction of all means or any means of interstate commerce, registered in the members of stock exchanges nationwide, the dealer has been or broker, or the use of e-mail them In order to, and shall not be the kind of security which has been revoked or suspended. . . .

. For more information, advanced remote communications solutions, Inc. et al. Order, in the third issue of file administrative procedures, in accordance with (j) Article 12 of the Securities Exchange Act of 1934 and the administrative procedures, please enacted a notice of a hearing - October 31, 65661,2011 release number 14608, the Exchange Act. (Relative to 65 748 from 34 , from 14,608. 3 File No)

The SEC, through a scheme to deceive the public offering investors with a U.S. Treasury strip charge the Philadelphia-based business owners

Securities and Exchange Commission today, U.S. District Court for the Southern District of TL Gilliams Tyrone L. Gilliams and his company charging fraud and New York, LLC, in order to embezzle approximately $ 5 million from investors through a scheme which provides the U.S. Treasury, including the strip filed a complaint to. According to the complaint Gilliams and TLG of the SEC, from April 2011, with the trading of U.S. Treasury STRIPS program, claimed that, among other things, at least in June 2010. According to the complaint, he argues that the pool Gilliams, in large-scale buying and selling of Treasury strips, trading program, was engaged to be substantially risk-free return and bring a week of one hundred fifths You are using the money of investors.

U.S. Treasury STRIPS will be paid every six months over the term of the bond, interest payments on the individual components of U.S. Treasury bonds. These strips can be traded separately as other securities. . "Independent of the principal trading and securities interest" derived from the programs that are implemented by the Ministry of Finance for STRIPS entitled term, to facilitate this type of transaction

The complaint further, claiming that his representation of the opposite strip trading program for the Ministry of Finance, Gilliams is also the investment of funds received from investors in any strip of U.S. Treasuries, U.S. Treasury strips was not invested in any program. Rather, including the expenditure of private school tuition for children and his rent payment Gilliams hotels, night clubs, airfare, designer apparel, jewelry, luxury car, the car, to support his lavish lifestyle I was using the money for embezzlement. In addition, the complaint alleges that, Gilliams, in the Ritz-Carlton in Philadelphia, in Philadelphia has reached the zenith star-studded on December 18, 2010, in the tie gala black sponsored by some that the cause of the TLG, the so-called celebrity charity events, spend at least $ 765,000.

After February 2011, the embezzlement of $ 5,000,000 shortly, complaints Gilliams ", the fund Black Fox" intent of the TLG has been shown to increase the amount of "undefined" of funds from investors related to the Gilliams claims that the documents submitted unregistered entities that are created by the Commission. Claims that have been recent efforts to raise funds for Gilliams from investors is also a complaint.

The complaint claims that had used a series of middlemen architect Gilliams, of fraudulent scheme, had access to the control itself further investors and investment funds who. Gilliams has promised to mediate a variety of fee finder, Gilliams is paid a portion of the middlemen from the $ 5,000,000 he finally obtained. Gilliams is potential for trading program that is claimed to strip his treasury strips and Treasury transactions, including information about his own experience of return expected rate of return, and the minimum value of the frequency of trading and investment broker, is expected that provides detailed information of investors. According to the complaint, in the case of almost all of the information was false.

Based on the rule 10b-5 and in violation of (b) Section 10 of the Securities Exchange Act of 1934 (a) and Section 17 of the Securities Act of 1933 TLG years of complaints and charges Gilliams SEC. Check out also www.mobilehome bankruptcy buyout loan.com. SEC is seeking civil penalties of financial interest and injunctive relief, restitution of ill-gotten gains, prejudgment of. See Also army navy fcu.

U.S. Attorney 's Office for the Southern District of New York, today filed an indictment charging wire fraud and securities fraud in the Gilliams. Committee would like to thank the office of U.S. Attorney for the Federal Bureau of Investigation for the Southern District of New York and, of support on this issue.

The SEC's investigation is continuing. L. Gilliams versus Tyrone [SEC, Jr. And TL Gilliams, LLC; number 11-CV-8201 civil litigation (SDNY)] ( LR-22152 )

SEC captures, with the consent final judgment against Donald Longueuil Longoria and Marc Anthony

Jed S. Rakoff is the SEC Honorable Mention, U.S. District Judge, United States District Court for the Southern District of New York, that you have entered a final judgment on consent in regard to Mark Anthony Longoria on November 9, 2 011 announced, in the case of insider trading of the SEC, ,11-CV-0753 (SDNY) La Marque Anthony Longoria vs. SEC September 12, 2011 (JSR), like Donald Longueuil agree on the final judgment you shall be. Check out also advance payday fullerton .

The SEC charged the four employees and consultants of the two professional network for insider trading of hedge funds and other investors falling illegally, filed a complaint that on February 3, 2011. On February 8, 2011, SEC is 4, which is traded on confidential information as a consultant for a network of experts, were obtained from employees of a company's technology and illegally Moonlighting hedge fund based in New York Charge the portfolio managers and analysts of the hedge fund, has submitted an amended complaint. Method, based on material from more than $ 30 million deal Advanced Micro Devices ("AMD"), Seagate Technology, Western Digital, and Fairchild Semiconductor, Marvell Technology Group Ltd. (hereinafter referred to as "Marvell" below) offset the non-public information about companies such as. Rates are for traders was the first of the SEC investigation of insider trading continued, including a network of experts. Check out also 197.

SEC, the supply chain manager Longo, of AMD, has claimed that confidential information was involved in the internal sales of AMD on various operational units of the company. In addition, at least in 2009, Longoria, information like this in the previous quarter earnings announcement, in order to provide him the information in quarterly sales and profit margins "top line" to the company's release, AMD's financial paid a friend who worked in the department. Check out also 140. Because it can be used to buy and sell securities, in from 2006 to 2010, Longoria is on a regular basis, you can use the inside information this primary Global Research LLC and ("PGR" below) has provided the client of PGR. Longoria received a total of $ 178 850 and its clients to communicate with the PGR. Check out also best buy online payment hsbc.

The final judgment was entered against Longoria: a enjoins him from violations of (b) 10b-5 Section 10 of the Securities Exchange Act of 1934 ("Exchange Act"), Exchange Act Rule permanently (1) , for the return of ill-gotten gains ill-gotten gains of $ 178,850 of orders (2) prejudgment interest of the Securities Act of year (a) 1933, of $ 18,328.94 total of $ 197,178.94 together with section 17, he is not responsible for, and (3 public company bar him from acting as officers or directors of the permanent). See Also karosusados. com. Based on the agreement of Longoria to cooperate with the SEC, the European Commission, did not seek civil penalties. Check out also benefit payday in 1 hour .

For Longueuil, SEC is Longueuil, between he worked as a Managing Director in the (capital "empire" below) Capital Management LLC empire, on reported earnings in May 2008, as it will be published by Marvel is Longueuil was claimed to have received the material nonpublic information. From Noah Freeman co-defendants received information from a paid consultant Jiau Longueuil, of Winifred co-defendants, in the PGR, has received this information. Had received information from the employees of Marvell himself Jiau. After receiving the nonpublic information, South Shore is the capital of the empire occurred in order to purchase 800,000 shares or more shares of Marvell. Days later, Marvel, when it announced a better-than-expected quarterly results, the empire, containing a total of more than $ 2. See Also advanceplus uk .5 million profit.

Final judgment has been entered for the Longueuil: Orders (2), he enjoins him from violations of (b) Section 10 of the Exchange Act and Rule 10b-5 and Exchange Act permanently (1) In addition to pay for the return of ill-gotten gains in the amount of $ 250,000, $ 102,832.60 interest on the amount of $ 352,832.60 prejudgment total. Based on the agreement of Longueuil to cooperate with the SEC, the European Commission, did not seek civil penalties. Check out also benefit payday in 1 hour . In addition, on 27 September 2011, the European Commission, nationwide dealer broker of all that issued the order of consent to the administrative procedures involved, dealer, investment adviser, municipal bonds, adviser municipality, agent, or transfer Ronguiyuba from related organizations and statistical evaluation was observed. See Also belco credit union. [La Marque Anthony Longoria vs. SEC, number eleven-CV-0753 civil litigation (SDNY) (JSR)] ( LR-22153 )

Joseph is a problem LaRocco LeadDog Capital Markets, LLC, and Chris Messalas, of the teacher.

On November 15, 2011, the Commission issued an order in accordance with established administrative 21C of the Securities Exchange Act of 1934, and (b) 8A of the Securities Act of 1933 (Securities Act), Section 15, Symposium-and- stop instruction to quit (Exchange Act), Section 203 (e), and 203 (f) 203 (k) of section 9 of the Act of the investment adviser (Common law) 1940, the Investment Company Act of year 1940 (b), Joseph LaRocco Securities and Exchange Commission rules of practice for the capital markets (e) LeadDog (order), LLC (LeadDog), and Chris Messalas (Messalas), Article 102 of the teacher and regulations. (LaRocco) (collectively the respondents).

According to the order, the executive (f), LaRocco owner LeadDog, an unregistered investment adviser, and its general partner, and Messalas, they are investors to invest in a hedge fund controlled through a material misrepresentation after investigation shall not be liable for any claims that can induce. Omission or misrepresentation, the answer about the particular, as an expert in securities history negative regulation () Messalas ", compensation () is, to the fund to act recklessly or intentionally, done allegedly an important fact LaRocco has been received by Messalas and related to the investment, a substantial ownership interest in (iii) Messalas ", he is to oversee the investment of funds, control of some of the companies and the same. In addition, a substantial hidden from conflicts and related party transactions for the benefit or misrepresented to the respondents, and a low investment liquidity of investment funds. See Also loancompanys. In addition the department argues that, to induce the investment of the elderly one to invest in the fund, the respondents, half are represented falsely that it is a liquid at least of the assets of the fund, to be marked to market daily can accept the value complies with accounting principles generally such other fund assets that LeadDog investors to exit the fund at any time.

LaRocco and Messalas has caused a violation of the LeadDog of section 17 and the instigation and support deliberately (; The department, respondents Section 10 (a), of the Exchange Act 17 of the Securities Act based on the 10B-5 deliberately (b had violated the rules) and Section 10 of the instruction based on the rule 10b-5 Securities Act) claims that, of the Exchange Act and (b), Messalas LeadDog and is deliberately and Common law rule 206 (4) -8 violation of section 206 of any order issued thereunder to (4), Messalas, violations of orders pursuant to section 206 (4) This rule -8 206 (4), LaRocco and the Common law and the support and the support and instigation of LeadDog abetting the violation based on Messalas "section 206 (4) -8 (4) 206 Common law and regulations Noto LeadDog.

Hearing, to determine whether it is the allegations that are included in the order, and to establish a defense to the claim of the respondents, Government the opportunity to determine whether it is the public interest and appropriate corrective action is will be scheduled before a judge of the law. The Committee is to make decisions within 300 days from the date of the initial service of the order, ordered the administrative law judge in this procedure. (Rels. from 33 to 9,277 , up 65,750 from 34, 14623 IA-3314, IC-29861, file number from 3)

Self-regulatory organization Immediate effect of the proposed rule change

The financial industry regulatory authority, Inc in order to update the cross-reference of the rules in the (SR-FINRA-2011-065) specific rules of FINRA. The proposed rule changes submitted by the, (b) (3) Securities Exchange Act has been enabled under (A) of Article 19. Publication is expected in the Federal Register during the week of November 14. See Also powered by mybb new york general liability insurance. (Relative to 65 722 from 34 )

Founded in Chicago in accordance with the rules for registration has become effective under the (b) to (Article 19, providing an extension of the compliance time-limit of qualification (106 from SR-CBOE-2011) 3. See Also ameriloan affiliates .6A of rules that are proposed options exchange, has submitted three changes) of the Securities Exchange Act of year (a) 1934. Publication is expected in the Federal Register during the week of November 14. See Also powered by mybb new york general liability insurance. (Relative to 65 732 from 34 )

Rule changes have been proposed regulatory financial industry has been submitted, the associated companies (from SR-FINRA-2011 066) that Article 19 (b) (trading index arbitrage, the definition of a system audit trail order of program trade (A) of the Securities Exchange Act of 1934 has become effective in accordance with 3). Publication is expected in the Federal Register during the week of November 14. See Also powered by mybb new york general liability insurance. (Relative to 65 737 from 34 )

The proposed rule changes

New York Stock Exchange LLC, the changes of the draft rules governing 19B-4 under the Securities Exchange Act of 1934 to feature the traditional floor trading to codify certain to be executed by the designated market makers (SR-NYSE- was submitted to the provisions 2011-56). Publication is expected in the Federal Register during the week of November 14. See Also powered by mybb new york general liability insurance. (Relative to 65 736 from 34 )

Registration of the Securities Act of

Following registration statements are filed with the SEC in accordance with the Securities Act of 1933. Check out also loan for money now. Information that has been reported as the following will be displayed. If applicable, if the name of the depositor or the underwriters to manage the number of issued par value, form, name, address, phone security (if available) to present (of the securities being offered the title and the number and / or ). Submitted to the branch number and date of the file, assigned, and statements, if there is a new problem is specified.

The registration statement to obtain a copy of the paper is, people may be seen in public branch of the reference of the Commission 100 F Street NE, in Washington, DC, see the information on the Web site of the Commission , please Publicdocs. See Also american express credit unsecure .Htm Http://Www.Sec.Gov/answers/ . In most cases, you can use the location search function, to display this information to download the http://www.sec.gov/edgar/searchedgar/companysearch.html .

 S-1 BioAmber Inc., the 3850 Annapolis LANE NORTH, SUITE 180, Plymouth, Minnesota, 55447-5476,612-747-4423 - 0 ($ 150,000,000.00) Equity, (From file 333 177 917 - May 14, 11) (BR.) S-1 Eurocan Holdings Co., Ltd., 1 UNION SQUARE WEST, SUITE 610, NEW YORK, NY, 10003,212-419-4924 - ($ 50,000. Check out also advantagecashservices.00) Equity 5,000,000, from 177,918 (File 333 - May 14, 11) (BR.) CITICENTER COMMUNICATIONS, Inc. S-8 Sequans, 19 LE Parvis, of BATIMENT, PARIS LA DEFENSE, I0, 92073,0170721600 - 4018948 ($ 22,659,158.20) Equity, (File 333 from 177 919 - May 14, 11) (BR. See Also apply for a debit card . 10C) S-8 MGIC INVESTMENT CORP, 250 EAST KILBOURN AVENUE, MILWAUKEE, WI, 53202, 4143476480 - 1,000,000 ($ 3,090,000. See Also ameriloan account .00) Equity, from 177,920 (File 333 - 01A May 14, 11) (BR.) Platinum Studios S-1 (strain), 11400 W. OLYMPIC BOULEVARD, SUITE 1400, LOS ANGELES, CA, 90064, 8100 from (301) 807 - ($ 431,200.00) Equity 98,000,000 (177,921 from 333 file - May 14, 11) (BR. Check out also banks/credit unions . 05C) S-3ASR JP Morgan Chase & Co., 270 PARK AVE, 38 FL, NEW YORK, NY, 10017, 2122706000 - 0 ($ 0.00) are not assigned (Universal) Shelf, (From file 333 177 923 - May 14, 11) (BR. 12A) S-3ASR Rocks CO / DE /, Clorox Company, 1221 BROADWAY, OAKLAND, CA, Liabilities 0 ($ 0.00), from 94612-1888,5102717000 (177,931 from 333 file - November 14) (BR. Check out also bank of america credit cards . 06C) SB QUEBEC, 12 ST-LOUIS ST, financial MINISTERE DES, Quebec QC Canada GIR 5L3, A8, 00000, (- November 14 177 932 from file 333) ($ 2,370,662,657.25) 0 non-convertible bonds (BR. DN) S-1 PBF Energy, 1 Sylvan Way, Parsippany, NJ ,07054,973 -455 -7500 - 0 ($ 100,000,000.00) Equity, (File 333 from 177 933 - May 14, 11) (BR. See Also debitcardcashadvances.) Of ST, 800 Boylston S-8 FIRST MARBLE CORP. , 34th floor, Boston, MA, 02199-8157,617 638-2000 - 11,406,698 ($ 9,809,760.28) Equity, (From file 333 177 935 - May 14, 11) (BR. 07B) S-8 storage Nisukagasu Partners, LLC, 1001 Fannin STREET, SUITE 2500, Houston, Texas, 77002, 1890 from (281) 404 - 0 ($ 37,482,692.00) Equity, (From file 333 177 936 - May 14, 11) (BR. See Also arizona state credit union . 02A) S-8 ZUOAN FASHION (strain), ROOM 213 ~ 215 Block 8, 1150 LUOCHUAN MIDDLE ROAD but not of NO, SHANGHAI 200072, F4, 00000, 86 21-5653-5557 - 0 ($ 2,844,185.00) are not assigned (Universal) Shelf, (From file 333 177 937 - May 14, 11) (BR. 09) 1251 AVENUE Inc. Rodman & Renshaw S-3 Capital Group, the Americas, 20TH FLOOR, NEW YORK, NY, 10020,2123560500 - 8866667 ($ 13,300,000.00) Equity, (File 333 from 177 945 - May 14, 11) (BR. 12A) Combustion CORP, 3125 EAST LAURELHURST DRIVE NE, SEATTLE, WA the S-1 ClearSign, 98105,206-522-7898 - 0 debt ($ 28,983,880.00), from 177,946 (File 333 - May 14, 11) (BR.) S-3ASR Monsanto CO / NEW /, 800 N LINDBERGH BLVD, St. Louis, MO, 63167, 3146941000 - 0 ($ 0.00) are not assigned (Universal) Shelf, (From file 333 177 947 - May 14, 11) (BR. 05B) S-8 PUBLIX SUPER MARKETS INC, 3300 PUBLIX CORPORATE PARKWAY, Lakeland, Florida, 33811,863-688-1188 - billion ($ 2,020,000,000.00) Equity, (From file 333 177 948 - May 14, 11) (BR. 02C) Corp / DC UTILITIES rural financial cooperatives nationwide S-3ASR /, From 6691,7034671800, 20,701 20,166 cooperative way, Dulles, VA - Liabilities 0 ($ 0.00), (from a file 333 177 949 - May 14, 11) (BR. 07A) F-3 Celestica INC, 844 DON MILLS ROAD, Toronto, A6, MC3 1V7 ,416-448-5800 - Other 0 ($ 1.00), (from a file 333 177 950 - May 14, 11) (BR. Check out also where can i find a home in albany ga with bad credit. 03A) S-3 BLUEFLY INC, 42 WEST ST 39th, NEW YORK, NY, 10018,2129448000 - 3666665 ($ 8,213,330. See Also advancemetoday complaints .00) Equity, (File 333 from 177 951 - May 14, 11) (BR. 02B) S-8 ADEPT TECHNOLOGY INC, 5960 Inglewood DRIVE, Pleasanton, California 94588, 0 ($ 2,148,653.00) Equity, from 9252453400 (177 952 from file 333 - November 14) (BR. 10A) S-1 TMG ENERGY CORP, C / O FLEMING PLLC, 49 FRONT STREET, STE 206, Rockville Centre, NY, 11570,917 881 8040 - 20052883 ($ 1,022,697. Check out also america first credit union .04) Equity, (File 333 from 177 953 - May 14, 11) (BR.) S-8 AEHR test system, 400 Kato Terrace, Fremont, California, 94539,5106239400 - 1549344 ($ 1,333,416. See Also officer.16) Equity, (File 333 from 177 954 - May 14, 11) (BR. 10A) Trust fund's strategic allocation of the first N-2, 120 East Liberty STREET, SUITE 400, Wheaton, IL ,60187,630-765-8000 - 1,000 ($ 20,000.00) Equity, (File 333 from 177 955 - May 14, 11) (BR.) N-2 FIRST TRUST solutions Global Resource Fund, 120 East Liberty STREET, SUITE 400, Wheaton, IL ,60187,630-765-8000 - 1,000 ($ 25,000.00) Equity, (File 333 from 177 956 - May 14, 11) (BR.) Nitrogen Partners LP S-8 Rentech, 10877 Wilshire Boulevard, SUITE 600, LOS ANGELES, CA ,90024,310-571-9800 - 0 ($ 77,360,625.00) Equity, (From file 333 177 957 - May 14, 11) (BR. 05C) S-4 EAGLE ROCK ENERGY Partners, LP, WEDGE tower, LA STREET year 1415, SUITE 2700, Houston, TX ,77002,281-408-1200 - Liabilities 0 ($ 300,000,000.00), (from a file 333 177 958 - May 14, 11) (BR. 04B) N-2 Permal hedge fund strategy, 55 WATER STREET, FLOOR 32, NEW YORK, NY, 10041,888-777-0102 - 0 ($ 1,000,000. See Also 9561.00) Equity, from 177,961 (File 333 - May 14, 11) (BR.) Health S-1 Opko, (share), 4400 Biscayne BLVD. , SUITE 900, MIAMI, FL, 33137, 305-575-6015 - 4494380 ($ 23,191,000.00) Equity, from 177,962 (File 333 - May 14, 11) (BR. 10B) Property Trust, Inc. S-11 revenue Jones Lang LaSalle, 200 EAST Randolph Drive, Chicago, IL ,60601,312-782-5800 - 0 ($ 3,000,000,000.00) Equity, (File 333 from 177 963 - May 14, 11) (BR. Check out also search apartments in raleigh nc that take eic. 08B) S-3 OYO Geo CORP, 7007 PINEMONT DR, Houston, TX, 77040,7139864444. Check out also pdl.now. - 1290950 ($ 103,185,633.50) Equity, (File 177,964 from 333 - November 14) (BR. 10B) S-3 MITEK SYSTEMS INC, 8911 Balboa AVE, SUITE B, SAN DIEGO, CA, 92123, 858-503-7810 - 0 ($ 106,728,000.00) are not assigned (Universal) Shelf, 333177965 - 1114BR. 03A S-1 Midstates4400 POST OAK PARKWAYSUITE 1900 77027713-595-9400 - 0$ 400,000,000. See Also paybay online shopping.00 333177966 - 1114BR. S-3 Aegerion1140 ROUTE 22 EASTSUITE 304 088079087041300 - 0$ 125,000,000.00333177967 - 1114BR.01A S-8INC207194043 650943-2843 - 1555357$ 7,045,767.21333177968 - 1114BR. 01B S-8 PDI INCMORRIS1300 INTERPACE PARKWAY NJ070548622077800 - 3030694$ 21,017,863.00 333177969 - 1114BR. 03A S-8 NeurogesX2215 BRIDGEPOINTE PARKWAYSUITE 200 94404650-358-3300 - 1,000,000$ 1,200,000.00 333177970 - 1114BR. 01A S-1 NBH101SUITE 1900BOSTONMA02110 617-342-7000 - 0$ 250,000,000.00333177971 - 1114 BR. S-122872 AVENIDA Empresa 713-8000 CA92688949 - 0$ 95,829,975.12 333177972 - 1114BR. S-8 MEMSIC800018459787380900 - 125$ 3,831,250.00333177974 - 1114BR. 10B S-3ASR OLD REPUBLIC INTERNATIONAL CORP307 N MICHIGAN AVECHICAGOIL 606013123468100 - 1,000,000$ 8,420,000.00 333177975 - 1114BR. 01B S-8 NEUSTAR INC21575CIRCLEVA20166571-434-5400 - 0$ 681,091.64333177976 - 1114BR. 11A S-831025 ELDORADO BOULEVARDBLDG2000 CO8002172088810000$ 227,924,042.96 333177977 - 1114BR. 11C S-8 NEUSTAR INC21575CIRCLEVA20166571-434-5400 - 961646$ 31,407,358.36333177978 - 1114BR. 11A S-8 NEUSTAR INC21575CIRCLEVA20166571-434-5400 - 355825$ 11,621,244.50333177979 - 1114BR. 11A S-8 AxoGen13859 PROGRESS BLVD SUITE 100FL32615 386462-6817 - 230$ 6,394,000.00333177980 - 1114BR. 10B 
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8-K100 FNEDChttp://www.sec.gov/Web/ publicdocs.htm http://www.sec.gov/edgar/searchedgar/companysearch.html

  STATE    NO ISSUER8K DATE   AARON'S INC GA 5.02,7.01,9.01 11/07/11 AASTROMMI 7.01,8.01,9.01 11/14/11 INC NV 2.01,5.06,7.01,9.01 07/13/11DE 2.02,9.01 11/14/11 ACIInc DE 1.01,2.03,9.01 11/14/11 ADEONADE 2.02,9.01 11/14/11 ADINO ENERGY CORP MT 2.01,5.03,8.01,9.01 11/03/11 ADVENTRXINC DE 1.01,8.01,9.01 11/11/11 AegionDE 5.02,9.01 11/10/11 AeroGrowNV 2.02,7.01,9.01 11/14/11 AES CORP DE 2.05,2.06,7.01 11/07/11 LLC NV 2.02,9.01 11/14/11 AGMD 2.02,9.01 11/14/11 AGENT155 MEDIANV 3.02 11/01/11 AGYDE 2.02,9.01 11/11/11 AIRCORP DE 8.01,9.01 11/14/11 ALIMERADE 7.01,9.01 11/11/11 20115 DE 1.01,8.01,9.01 11/09/11 AMERICANGROUP INC DE 1.01,9.01 11/10/11 NV 4.01 11/08/11 NV 1.01,1.02,2.01,5.0111/08/11 9.01 AMERICAN CAPITAL REALTY HEALTHCARE TR MD 2.02,9.01 11/14/11 MD 7.01,9.01 11/11/11 MD 2.02,7.01,9.01 11/14/11 MD 1.01 11/07/11 AMERICAN SHARED HOSPITAL SERVICES CA 2.02,9.01 11/14/11 AMERIGROUP CORP 1.01,8.01,9.01 11/10/11 AMERISOURCEBERGEN CORP DE 1.01,2.03,8.01,9.01 11/14/11 AMERITRANS CAPITAL CORP DE 3.01 11/08/11 AMICO GAMES CORP. NV 1.01,5.07,9.01 11/08/11 AMSCAN HOLDINGS INC DE 8.01,9.01 11/14/11 ANADIGICS INC DE 5.02,9.01 11/14/11 ANCHOR BANCORP WISCONSIN INC WI 3.01 11/10/11 Apple REIT Ten, Inc. VA 2.01 11/10/11 ARADIGM CORP CA 2.02,9.01 11/10/11 ARCA biopharma, Inc. DE 8.01,9.01 11/11/11 Armour Residential REIT, Inc. MD 7.01,9.01 11/14/11 AROTECH CORP DE 2.02,9.01 11/14/11 ARRHYTHMIA RESEARCH TECHNOLOGY INC /D DE 2.02,9.01 11/14/11 ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 11/14/11 ASSET ACCEPTANCE CAPITAL CORP 1.01,2.03,9.01 11/14/11 ASTEA INTERNATIONAL INC DE 2.02,9.01 11/14/11 ATHERSYS, INC / NEW DE 1.01,3.02,9.01 11/11/11 ATHERSYS, INC / NEW DE 1.01,1.02,2.02,9.01 11/11/11 ATLANTIC POWER CORP A1 2.02,9.01 11/11/11 AUBURN NATIONAL BANCORPORATION, INC DE 8.01,9.01 11/08/11 AURORA DIAGNOSTICS HOLDINGS LLC 8.01,9.01 11/14/11 AUTOBYTEL INC DE 2.02,9.01 11/10/11 AUTONATION, INC. DE 5.02,9.01 11/09/11 AUXILIUM PHARMACEUTICALS INC 7.01,9.01 11/14/11 AUXILIUM PHARMACEUTICALS INC 5.07 11/11/11 AMEND AVIV REIT, INC. MD 2.02,9.01 11/14/11 AXIAL VECTOR ENGINE CORP NV 5.02 11/14/11 AXION INTERNATIONAL HOLDINGS, INC. CO 2.02,9.01 11/14/11 AxoGen, Inc. MN 4.01,9.01 09/30/11 AMEND Babcock & Wilcox Co DE 5.02,9.01 11/11/11 BADGER METER INC WI 8.01,9.01 11/11/11 BAKKEN RESOURCES INC 5.02 11/10/11 BANK OF AMERICA CORP /DE/ DE 8.01,9.01 11/14/11 Banks.com, Inc. FL 2.02,9.01 11/14/11 BARD CR INC /NJ/ NJ 8.01 11/10/11 BFC FINANCIAL CORP FL 1.01,7.01,9.01 11/11/11 BIOCRYST PHARMACEUTICALS INC DE 1.01 11/11/11 BIODELIVERY SCIENCES INTERNATIONAL IN DE 8.01,9.01 11/14/11 BioMed Realty Trust Inc MD 7.01 11/14/11 BIOTIME INC CA 7.01,9.01 11/14/11 BIRNER DENTAL MANAGEMENT SERVICES INC CO 2.02,9.01 11/14/11 Blink Couture Inc. DE 1.01,9.01 11/10/11 BLONDER TONGUE LABORATORIES INC DE 2.02,9.01 11/14/11 BLUEGREEN CORP MA 1.01,7.01,9.01 11/11/11 BOEING CAPITAL CORP DE 1.01,2.03,9.01 11/10/11 BOEING CO DE 1.01,2.03,9.01 11/10/11 BofI Holding, Inc. DE 1.01,7.01 11/14/11 BOND LABORATORIES, INC. NV 2.02,9.01 11/14/11 BRINKS CO VA 5.02,5.03,9.01 11/13/11 BROOKS AUTOMATION INC DE 5.02 11/08/11 CABOT MICROELECTRONICS CORP DE 8.01,9.01 11/14/11 CADUCEUS SOFTWARE SYSTEMS CORP. NV 1.01,3.02,9.01 11/04/11 CALAVO GROWERS INC CA 1.01,2.03,9.01 11/11/11 CALIFORNIA WATER SERVICE GROUP DE 5.07 05/24/11 AMEND CAMBIUM LEARNING GROUP, INC. 2.02,9.01 11/08/11 CAMBRIDGE HEART INC DE 2.02,9.01 11/14/11 CANANDAIGUA NATIONAL CORP NY 7.01,9.01 11/14/11 CANTERBURY PARK HOLDING CORP MN 2.02,9.01 11/11/11 Capella Healthcare, Inc. DE 2.02,7.01,9.01 11/11/11 CAREER EDUCATION CORP DE 8.01,9.01 11/14/11 CAREER EDUCATION CORP DE 8.01,9.01 11/11/11 CarePayment Technologies, Inc. OR 5.02 11/07/11 CARMAX AUTO FUNDING LLC DE 8.01,9.01 11/10/11 CARROLS RESTAURANT GROUP, INC. 5.02 07/21/11 CASCADE BANCORP OR 2.02,9.01 11/14/11 CATALYST HEALTH SOLUTIONS, INC. DE 5.02,9.01 11/10/11 CDSI HOLDINGS INC DE 2.01,9.01 11/04/11 AMEND CELADON GROUP INC DE 5.02 10/25/11 CENTERLINE HOLDING CO DE 2.02,9.01 11/14/11 Cereplast Inc NV 1.01,7.01,9.01 11/10/11 CHEMUNG FINANCIAL CORP NY 2.02,9.01 11/14/11 CHENIERE ENERGY INC DE 1.01,8.01,9.01 11/11/11 Cheniere Energy Partners, LP DE 1.01,8.01,9.01 11/11/11 Chesapeake Lodging Trust MD 7.01,9.01 11/14/11 CHICAGO RIVET & MACHINE CO IL 2.02,9.01 11/08/11 CHIMERA INVESTMENT CORP DE 7.01,9.01 11/14/11 CHINA HEALTH RESOURCE, INC. DE 1.01 11/08/11 CHINA JO-JO DRUGSTORES, INC. 2.02,9.01 11/14/11 China Marketing Media Holdings, Inc. TX 4.01,9.01 10/19/11 AMEND China Nutrifruit Group LTD NV 2.02,7.01,9.01 11/14/11 China TransInfo Technology Corp. NV 2.02,7.01,9.01 11/14/11 ChinaNet Online Holdings, Inc. NV 2.02,9.01 11/10/11 CIFC Corp. DE 2.02,9.01 11/14/11 CIGNA CORP DE 1.01,9.01 11/10/11 CIT GROUP INC DE 8.01,9.01 11/14/11 CITIZENS BANCSHARES CORP /GA/ GA 2.02,9.01 11/14/11 CITY HOLDING CO WV 1.01,8.01,9.01 11/14/11 CLAIRES STORES INC DE 2.02,9.01 11/14/11 Cleantech Solutions International, In DE 7.01,9.01 11/09/11 CNB FINANCIAL CORP/PA PA 5.02,9.01 11/08/11 CODORUS VALLEY BANCORP INC PA 5.02,9.01 11/08/11 Colfax CORP DE 7.01,9.01 11/14/11 COMMERCETEL CORP NV 1.01,3.02,9.01 11/09/11 COMMUNITY FINANCIAL CORP /VA/ VA 2.02,9.01 11/14/11 Computer Software Innovations, Inc. DE 2.02,9.01 11/14/11 COMTECH TELECOMMUNICATIONS CORP /DE/ DE 5.02,8.01,9.01 11/14/11 Conmed Healthcare Management, Inc. DE 2.02,9.01 11/14/11 CONOCOPHILLIPS DE 5.02 11/10/11 CONSTELLATION ENERGY GROUP INC MD 8.01 11/14/11 Constellation Energy Partners LLC DE 7.01,8.01,9.01 11/10/11 Cooper-Standard Holdings Inc. DE 2.02,9.01 11/11/11 CoroWare, Inc, DE 4.01 11/09/11 AMEND CORPORATE PROPERTY ASSOCIATES 15 INC MD 7.01,9.01 11/14/11 Corporate Property Associates 17 - Gl MD 8.01,9.01 11/14/11 CORTEX PHARMACEUTICALS INC/DE/ DE 2.02,9.01 11/14/11 COVER ALL TECHNOLOGIES INC DE 2.02,9.01 11/10/11 AMEND CPS TECHNOLOGIES CORP/DE/ DE 2.02 11/10/11 CRAY INC WA 7.01,9.01 11/14/11 CRIMSON EXPLORATION INC. 7.01,9.01 11/10/11 CSB BANCORP INC /OH OH 5.02 11/10/11 CTI INDUSTRIES CORP DE 2.02,9.01 11/14/11 CUMULUS MEDIA INC DE 2.02,9.01 11/14/11 Cyber Informatix, Inc. NV 4.01,9.01 11/14/11 Cyclacel Pharmaceuticals, Inc. DE 2.02,9.01 11/14/11 DAYSTAR TECHNOLOGIES INC DE 2.02,5.02,9.01 11/10/11 DCP Midstream Partners, LP DE 1.01,1.02,2.03,7.01, 11/10/11 9.01 DEL TORO SILVER CORP. NV 7.01,9.01 11/14/11 DELTA APPAREL, INC GA 5.07 11/10/11 Delta Tucker Holdings, Inc. DE 2.02,9.01 11/14/11 DELTEK, INC DE 8.01,9.01 11/14/11 Desert Gateway, Inc. OK 5.03 11/08/11 DFC GLOBAL CORP. DE 5.02,9.01 11/14/11 DIEBOLD INC OH 5.02 11/07/11 DILLARDS INC DE 2.02,9.01 11/11/11 DineEquity, Inc DE 7.01,9.01 11/14/11 DIODES INC /DEL/ DE 2.02,7.01,9.01 11/08/11 DOCUMENT SECURITY SYSTEMS INC NY 2.02,4.02,9.01 11/10/11 Dolby Laboratories, Inc. DE 5.02,9.01 11/07/11 DOW CHEMICAL CO /DE/ DE 8.01,9.01 11/04/11 DPL INC OH 8.01,9.01 11/08/11 DREAMS INC UT 2.02,9.01 11/14/11 DUKE REALTY CORP IN 7.01,9.01 11/14/11 DUKE REALTY LIMITED PARTNERSHIP/ IN 7.01,9.01 11/14/11 DUNE ENERGY INC DE 8.01,9.01 11/10/11 DYNEGY INC. DE 2.02,7.01,9.01 11/14/11 EAGLE ROCK ENERGY PARTNERS LP DE 8.01,9.01 11/14/11 ECOLAB INC DE 8.01 10/31/11 EDIETS COM INC DE 2.02,9.01 11/14/11 EGAIN COMMUNICATIONS CORP DE 5.07 11/11/11 eLayaway, Inc. DE 5.02 11/08/11 ELECTRO SCIENTIFIC INDUSTRIES INC OR 5.07 08/11/11 AMEND ELECTRONIC SYSTEMS TECHNOLOGY INC WA 8.01,9.01 11/11/11 ELIZABETH ARDEN INC FL 5.07 11/09/11 ELLIE MAE INC DE 5.02,7.01,9.01 11/11/11 EMAGIN CORP DE 2.02,9.01 11/10/11 Emergent BioSolutions Inc. DE 5.02,9.01 11/07/11 EMERSON RADIO CORP DE 2.02,9.01 11/14/11 EMISPHERE TECHNOLOGIES INC DE 7.01,9.01 11/14/11 EMMIS COMMUNICATIONS CORP IN 1.01,8.01 11/10/11 EMPIRE ENERGY CORP UT 8.01,9.01 11/10/11 Emrise CORP DE 2.02,7.01,9.01 11/14/11 ENDO PHARMACEUTICALS HOLDINGS INC DE 8.01 11/11/11 ENERGY CONVERSION DEVICES INC DE 2.02,9.01 11/14/11 ENERGY INCOME & GROWTH FUND 7.01,9.01 11/14/11 Energy Recovery, Inc. DE 7.01,9.01 11/14/11 ENTERCOM COMMUNICATIONS CORP PA 7.01,9.01 11/14/11 ENTREMED INC DE 2.02,9.01 11/14/11 EnviroStar, Inc. DE 2.02,5.07,8.01,9.01 11/11/11 EPOCRATES INC DE 7.01 11/09/11 ESCALADE INC IN 8.01,9.01 11/09/11 EV Energy Partners, LP DE 7.01,8.01,9.01 11/08/11 Evercore Partners Inc. DE 1.01,7.01,9.01 11/11/11 EVERGREEN ENERGY INC DE 5.02,9.01 11/13/11 EVOLUTION PETROLEUM CORP NV 2.02,9.01 11/11/11 EXELON CORP PA 8.01 11/14/11 EXPRESS SCRIPTS INC DE 7.01,9.01 11/14/11 Feihe International Inc UT 2.02,9.01 11/14/11 FERRO CORP OH 7.01,9.01 11/11/11 Fifth Street Finance Corp DE 2.02,9.01 11/14/11 First American Silver Corp. NV 7.01,9.01 11/10/11 FIRST BANCSHARES INC /MO/ MO 2.02,9.01 11/14/11 FIRST MARBLEHEAD CORP 1.01,2.01,8.01,9.01 11/14/11 FIRST PACTRUST BANCORP INC MD 8.01,9.01 11/14/11 First Trinity Financial CORP 8.01,9.01 11/10/11 Forbes Energy Services Ltd. D0 8.01,9.01 11/08/11 FOREVER VALUABLE COLLECTIBLES, INC. CO 4.01 11/14/11 Fortegra Financial Corp DE 2.02 11/10/11 FREDS INC TN 5.07 08/22/11 AMEND FRONTIER COMMUNICATIONS CORP DE 7.01,9.01 11/14/11 FS Energy & Power Fund DE 2.02,3.03,9.01 11/08/11 FS Investment CORP MD 2.02,3.03,5.02,9.01 11/08/11 FUEL DOCTOR HOLDINGS, INC. DE 1.01,2.01,3.02,3.03, 08/24/11 AMEND 5.01,5.02,5.06,9.01 GAIN Capital Holdings, Inc. DE 5.02,9.01 11/14/11 Galena Biopharma, Inc. 2.02,9.01 11/14/11 GALLAGHER ARTHUR J & CO DE 8.01,9.01 11/14/11 GEN PROBE INC DE 5.02 11/07/11 General Maritime Corp / MI 1.01 11/10/11 GENESCO INC TN 5.07 06/22/11 AMEND GERON CORP DE 2.05,5.02,8.01 11/11/11 GERON CORP DE 1.02 11/14/11 GETTY REALTY CORP /MD/ MD 5.03,9.01 11/10/11 GIGA TRONICS INC CA 1.01,3.02,3.03,5.01, 11/08/11 5.02,5.03,9.01 Global Entertainment Holdings, Inc. NV 4.01,9.01 11/14/11 GLOBAL PAYMENTS INC GA 5.07 11/14/11 AMEND Global Pharm Holdings Group, Inc. DE 9.01 08/03/11 AMEND GLOBAL POWER EQUIPMENT GROUP INC. DE 2.02,9.01 11/14/11 Golden Minerals Co 2.02,9.01 11/14/11 GOLDMAN SACHS GROUP INC DE 9.01 11/14/11 GOODYEAR TIRE & RUBBER CO /OH/ OH 5.02,9.01 11/08/11 GRAFTECH INTERNATIONAL LTD DE 8.01 11/10/11 GREAT ATLANTIC & PACIFIC TEA CO INC MD 7. See Also pay day loans.01,9.01 11/11/11 Greektown Superholdings, Inc. DE 2.02,9.01 11/14/11 GREEN BANKSHARES, INC. TN 2.02,9.01 11/14/11 GREEN ENERGY GROUP INC. FL 4.01,9.01 11/14/11 Green Plains Renewable Energy, Inc. IA 7.01,9.01 11/10/11 GREER BANCSHARES INC SC 7.01,9.01 11/11/11 GROUP 1 AUTOMOTIVE INC DE 7.01,8.01,9.01 11/10/11 Grubb & Ellis Healthcare REIT II, Inc MD 7.01,9.01 11/14/11 GRYPHON GOLD CORP NV 7.01,9.01 11/14/11 GULF RESOURCES, INC. DE 2.02,8.01,9.01 11/14/11 GULFPORT ENERGY CORP DE 5.07 06/16/11 AMEND GXS Worldwide, Inc. DE 2.02,9.01 11/14/11 HALLIBURTON CO DE 1.01,9.01 11/08/11 HALLMARK FINANCIAL SERVICES INC NV 7.01,9.01 11/11/11 HANDY & HARMAN LTD. DE 2.02,9.01 11/10/11 HANMI FINANCIAL CORP DE 8.01,9.01 11/14/11 HARDWIRED INTERACTIVE, INC. NV 1.01,2.01,3.02,4.01, 11/03/11 5.01,5.02,5.06,9.01 HAWTHORN BANCSHARES, INC. MO 2.02,9.01 11/10/11 HAWTHORN BANCSHARES, INC. MO 8.01 11/10/11 HEALTH CARE REIT INC /DE/ DE 8.01 11/14/11 HEALTHCARE TRUST OF AMERICA, INC. MD 2.02,9.01 11/14/11 HEALTHSTREAM INC TN 8.01,9.01 11/14/11 Heckmann CORP 8.01 11/09/11 HESKA CORP DE 2.02,9.01 09/30/11 HIGHLANDS BANKSHARES INC /WV/ WV 2.02,9.01 11/14/11 Highpower International, Inc. DE 2.02,7.01,9.01 11/14/11 Hillenbrand, Inc. IN 9.01 08/31/11 AMEND HNI CORP IA 8.01,9.01 11/14/11 Horizon Lines, Inc. 5.02,9.01 11/14/11 HORIZON PHARMA, INC. DE 2.02,9.01 11/14/11 HORTON DR INC /DE/ DE 2.02,9.01 11/11/11 HOST HOTELS & RESORTS, INC. MD 8.01 11/14/11 HOST HOTELS & RESORTS, INC. MD 8.01,9.01 11/14/11 HOST HOTELS & RESORTS, INC. MD 8.01,9.01 11/14/11 Hyatt Hotels Corp DE 7.01 11/14/11 IDEX CORP /DE/ DE 5.03,9.01 11/07/11 IDT CORP DE 8.01 11/14/11 IHS Inc. DE 7.01 11/14/11 IKONICS CORP 2.02,9.01 11/10/11 Imperial Holdings, Inc. 2.02,9.01 11/14/11 IMPERIAL INDUSTRIES INC DE 2.02,9.01 11/14/11 IMPERIAL PETROLEUM INC NV 5.02,9.01 11/08/11 Independent Film Development CORP NV 4.01 07/27/11 AMEND INFINITY PHARMACEUTICALS, INC. DE 7.01,9.01 11/14/11 INFORMATION ANALYSIS INC VA 2.02,9.01 11/10/11 Inland American Real Estate Trust, In MD 7.01,9.01 11/11/11 INNOTRAC CORP GA 2.02,9.01 11/14/11 INSIGNIA SYSTEMS INC/MN MN 8.01 11/07/11 InsPro Technologies Corp DE 8.01,9.01 11/14/11 IntelGenx Technologies Corp. DE 8.01 11/14/11 INTELLIGENT SYSTEMS CORP GA 2.02,9.01 11/14/11 INTERNATIONAL BUSINESS MACHINES CORP NY 1.01,2.03,9.01 11/10/11 INTERNATIONAL RECTIFIER CORP /DE/ DE 5.02,5.07,7.01,9.01 11/11/11 INTRICON CORP PA 1.01,8.01 09/26/11 INUVO, INC. NV 7.01,9.01 09/30/11 INVESTORS TITLE CO NC 2.02,9.01 11/14/11 IO World Media, Inc FL 1.01,2.01,3.02,9.01 11/07/11 ION GEOPHYSICAL CORP DE 7.01 11/14/11 IPAYMENT INC DE 2.02,9.01 11/14/11 ISLAND BREEZE INTERNATIONAL, INC. DE 1.01,3.02,8.01,9.01 11/14/11 IVAX DIAGNOSTICS INC DE 2.02,9.01 11/14/11 Iveda Solutions, Inc. NV 5.02 11/07/11 Iveda Solutions, Inc. NV 9.01 04/30/11 AMEND JC PENNEY CO INC DE 2.02,9.01 11/14/11 JACK IN THE BOX INC /NEW/ DE 2.02,9.01 11/14/11 JACOBS ENTERTAINMENT INC DE 2.02,9.01 11/14/11 Jones Lang LaSalle Income Property Tr MD 1.01,5.02,5.03,5.05, 11/11/11 8.01,9.01 KANSAS CITY SOUTHERN DE 8.01,9.01 11/10/11 KATY INDUSTRIES INC DE 2.02,9.01 11/11/11 KENEXA CORP 2.01,9.01 11/14/11 Kentucky First Federal Bancorp 5.07 11/10/11 KILROY REALTY CORP MD 8.01,9.01 11/10/11 KINDRED HEALTHCARE, INC DE 8.01,9.01 11/14/11 KNIGHT CAPITAL GROUP, INC. DE 5.02,9.01 11/07/11 AMEND Kodiak Oil & Gas Corp B0 1.01,2.03,3.02,8.01, 11/14/11 9.01 Kodiak Oil & Gas Corp B0 8.01,9.01 11/14/11 Kodiak Oil & Gas Corp B0 7.01,9.01 11/14/11 KV PHARMACEUTICAL CO /DE/ DE 4.02,7.01,9.01 11/07/11 LANDAUER INC DE 7.01,9.01 11/14/11 Lantheus Medical Imaging, Inc. DE 2.02 11/14/11 Laredo Oil, Inc. DE 5.07 11/06/11 LAYNE CHRISTENSEN CO DE 7.01,9.01 11/11/11 LEGACY RESERVES LP DE 8.01 11/14/11 LGL GROUP INC DE 1.01,5.02,9.01 11/10/11 Lifevantage Corp CO 2.02,9.01 11/14/11 LIGHTSTONE VALUE PLUS REAL ESTATE INV MD 8.01 11/14/11 Lightstone Value Plus Real Estate Inv MD 8.01 11/14/11 LIVEWIRE ERGOGENICS INC. 5.03,5.07,9.01 09/20/11 LOWES COMPANIES INC NC 2.02,5.02,9.01 11/11/11 LSI CORP DE 5.02,5.03,9.01 11/08/11 LUNA INNOVATIONS INC DE 2.02,9.01 11/14/11 MACE SECURITY INTERNATIONAL INC DE 2.02,9.01 11/14/11 Marathon Petroleum Corp DE 7.01 11/14/11 MARCHEX INC DE 7.01 11/14/11 Marriott Vacations Worldwide Corp DE 5.02 11/07/11 MARTIN MIDSTREAM PARTNERS LP DE 8.01,9.01 11/14/11 MATTHEWS INTERNATIONAL CORP PA 8.01,9.01 11/14/11 MAXIMUS INC VA 2.02,9.01 11/10/11 MCDONALDS CORP DE 7.01,9.01 11/10/11 MCGRAW-HILL COMPANIES INC NY 8.01,9.01 11/04/11 MEDCATH CORP DE 2.02,5.02,9.01 11/08/11 Mercantile Bancorp, Inc. DE 3.01,7.01,9.01 11/08/11 MEREDITH CORP IA 5.07 11/09/11 MESA LABORATORIES INC /CO CO 2.02,9.01 11/09/11 MEXCO ENERGY CORP CO 2.02,9.01 11/14/11 MICHAEL FOODS GROUP, INC. DE 2.02,9.01 11/14/11 MID AMERICA APARTMENT COMMUNITIES INC TN 7.01,9.01 11/14/11 MIDAMERICAN ENERGY HOLDINGS CO /NEW/ IA 8.01 11/10/11 MINN DAK FARMERS COOPERATIVE ND 8.01 11/14/11 MIPS TECHNOLOGIES INC DE 5.02 11/09/11 MIPSolutions, Inc. NV 4.01 11/01/11 MITEK SYSTEMS INC DE 2.02,9.01 11/14/11 MMRGlobal, Inc. DE 2.02,9.01 11/14/11 MONEYGRAM INTERNATIONAL INC 5.03,7.01,8.01,9.01 11/14/11 MONSANTO CO /NEW/ DE 8.01 11/14/11 AMEND MONSANTO CO /NEW/ DE 8.01 11/14/11 AMEND MOTRICITY INC DE 1.01,2.02,2.03,9.01 11/14/11 MULTI COLOR Corp OH 2.02,8.01,9.01 11/08/11 MUNICIPAL MORTGAGE & EQUITY LLC DE 5.07 11/09/11 NATIONAL SECURITY GROUP INC DE 7.01,9.01 11/14/11 NATURAL GAS SERVICES GROUP INC 2.02,9.01 11/08/11 NATURAL HEALTH TRENDS CORP DE 2.02,8.01,9.01 11/14/11 NAVARRE CORP /MN/ MN 5.07 09/15/11 AMEND NEAH POWER SYSTEMS, INC. NV 1.01,3.02,3.03,5.02, 11/10/11 5.03,9.01 Neonode, Inc DE 5.07 11/11/11 NeoStem, Inc. DE 2.02,8.01,9.01 11/11/11 NETLIST INC DE 8.01 11/14/11 NETLOGIC MICROSYSTEMS INC DE 8.01 11/11/11 NeurogesX Inc CA 8.01,9.01 11/14/11 New England Bancshares, Inc. 2.02,9.01 11/14/11 New England Bancshares, Inc. 8.01,9.01 11/14/11 NEW FRONTIER MEDIA INC CO 2.02,9.01 11/14/11 NEW HAMPSHIRE THRIFT BANCSHARES INC DE 8.01,9.01 11/10/11 New Mountain Finance Corp DE 2.02,9.01 11/14/11 New Western Energy Corp NV 7.01,9.01 11/09/11 NEWS CORP 8.01,9.01 11/11/11 NICOR INC IL 5.02,9.01 11/10/11 Nissan Auto Receivables 2011-B Owner DE 1.01,8.01,9.01 11/09/11 NISSAN AUTO RECEIVABLES CORP II DE 8.01,9.01 11/09/11 NNN 2002 VALUE FUND LLC 5.02 11/10/11 NNN 2003 VALUE FUND LLC 5.02 11/10/11 NOBILITY HOMES INC FL 1.01,2.06,8.01,9.01 10/25/11 NORCRAFT COMPANIES LP 2.02,9.01 11/11/11 NORFOLK SOUTHERN CORP VA 8.01,9.01 11/14/11 NOVADEL PHARMA INC DE 1.01 11/14/11 NOVAVAX INC DE 5.02,9.01 11/07/11 NUPATHE INC. DE 2.02,9.01 11/14/11 NX Global, Inc NV 1.01,5.02 11/11/11 Obscene Jeans Corp. FL 5.02 11/02/11 OCEANEERING INTERNATIONAL INC DE 7.01 11/11/11 OFFICE DEPOT INC DE 5.02,9.01 11/14/11 OGE ENERGY CORP. OK 8.01 11/09/11 OKLAHOMA GAS & ELECTRIC CO OK 8.01 11/09/11 OLIN CORP VA 7.01,9.01 11/14/11 OMEGA PROTEIN CORP NV 8.01 11/09/11 Oncothyreon Inc. DE 3.02 11/10/11 Opexa Therapeutics, Inc. TX 8.01,9.01 11/11/11 Opko Health, Inc. DE 8.01,9.01 11/14/11 Opko Health, Inc. DE 9.01 10/11/11 AMEND Opko Health, Inc. DE 9.01 10/13/11 AMEND OptimumBank Holdings, Inc. FL 2.02,9.01 11/14/11 Orange 21 Inc. DE 2.02,9.01 11/14/11 ORB Automotive E9 1.01,3.02,9.01 11/09/11 ORBIT INTERNATIONAL CORP DE 2.02,9.01 11/08/11 Oritani Financial Corp DE 8.01,9.01 11/14/11 ORMAT TECHNOLOGIES, INC. DE 5.07 05/04/11 AMEND OURPETS CO CO 2.02,9.01 11/11/11 PAA NATURAL GAS STORAGE LP DE 5.02 11/09/11 PACIFIC OFFICE PROPERTIES TRUST, INC. MD 2.02,9.01 11/14/11 PARK CITY GROUP INC 2.02,8.01,9.01 11/14/11 PATRIOT NATIONAL BANCORP INC CT 2.02,9.01 11/09/11 PAWS Pet Company, Inc. IL 2.02,9.01 11/14/11 PC CONNECTION INC DE 8.01,9.01 11/14/11 PEABODY ENERGY CORP DE 8.01,9.01 11/07/11 PENN VIRGINIA RESOURCE PARTNERS LP DE 7.01,9.01 11/14/11 PennyMac Mortgage Investment Trust MD 1.01,2.03,9.01 11/07/11 PFSWEB INC DE 2.02 11/10/11 PG&E CORP CA 8.01 11/10/11 Phillips Edison - ARC Shopping Center MD 2.02,9.01 11/14/11 PHOTOTRON HOLDINGS, INC. DE 1.01,2.03 10/08/11 AMEND PINNACLE DATA SYSTEMS INC OH 1.01,8.01,9.01 11/10/11 PITNEY BOWES INC /DE/ DE 5.02,7.01,9.01 11/11/11 AMEND PLAINS ALL AMERICAN PIPELINE LP DE 1.01,7.01,9.01 11/09/11 PLAYERS NETWORK NV 5.02 11/08/11 PLC SYSTEMS INC B0 2.02,9.01 11/14/11 PMC SIERRA INC DE 8.01 11/10/11 POKERTEK, INC. NC 1.01,9.01 11/08/11 POWER SOLUTIONS INTERNATIONAL, INC. DE 2.02,9.01 11/14/11 Pregis Holding II CORP DE 2.02,9.01 11/14/11 PRESSTEK INC /DE/ DE 2.02,9.01 11/14/11 PRIMUS TELECOMMUNICATIONS GROUP INC DE 2.02,9.01 11/14/11 Protea Biosciences Group, Inc. DE 1.01,2.01,3.02,4.01, 09/02/11 AMEND 5.01,5.02,5.03,5.06, 9.01 PROTEONOMIX, INC. DE 8.01 11/14/11 pSivida Corp. DE 8.01,9.01 11/10/11 PULASKI FINANCIAL CORP MO 8.01,9.01 11/10/11 QKL Stores Inc. DE 2.02,9.01 11/14/11 QR Energy, LP DE 2.02,9.01 11/14/11 Quanex Building Products CORP DE 2.05,2.06,7.01,9.01 11/07/11 QUEPASA CORP NV 2.02,7.01,9.01 11/14/11 QUEPASA CORP NV 2.01,9.01 11/09/11 AMEND QUICKLOGIC CORPORATION CA 5.07 04/28/11 AMEND RACKSPACE HOSTING, INC. 5.02,9.01 11/09/11 RADIO ONE, INC. DE 5.02 11/07/11 RadNet, Inc. DE 1.01,2.01,8.01,9.01 11/07/11 AMEND RAINMAKER SYSTEMS INC DE 3.01,5.02 11/09/11 RAINMAKER SYSTEMS INC DE 2.02,7.01,9.01 11/14/11 RAMCO GERSHENSON PROPERTIES TRUST MD 7.01,9.01 11/14/11 RED MOUNTAIN RESOURCES, INC. FL 1.01 11/09/11 REDWOOD TRUST INC MD 7.01,8.01,9.01 11/14/11 REGENERON PHARMACEUTICALS INC NY 7.01,9.01 11/14/11 REPROS THERAPEUTICS INC. DE 8.01,9.01 11/14/11 REYNOLDS AMERICAN INC 1.01,2.02,9.01 11/11/11 ROBBINS & MYERS, INC. OH 5.02 11/12/11 Rockville Financial, Inc. /CT/ CT 5.07,9.01 11/14/11 RUDDICK CORP NC 2.01,5.02,9.01 11/07/11 Saga Energy, Inc. FL 1.01,2.01,5.06,9.01 11/11/11 SAKS INC TN 1.01,9.01 11/11/11 SALIX PHARMACEUTICALS LTD 1.01,8.01,9.01 11/08/11 SANMINA-SCI CORP DE 5.02 11/08/11 Santander Holdings USA, Inc. PA 8.01,9.01 11/08/11 SCANA CORP SC 7.01,9.01 11/14/11 SemGroup Corp DE 2.02,9.01 11/14/11 SERVICEMASTER CO DE 2.02,7.01,9.01 11/14/11 Shiner International, Inc. NV 2.02,9.01 11/11/11 SHORE BANCSHARES INC MD 5.07 04/26/11 AMEND SILVERSTAR MINING CORP. NV 4.01 10/24/11 AMEND SINOHUB, INC. DE 2.02,7.01,9.01 11/14/11 SMF ENERGY CORP DE 2.02,9.01 11/14/11 SMITH & WESSON HOLDING CORP NV 7.01 11/14/11 SMITH AO CORP DE 9.01 08/26/11 AMEND SMITH MICRO SOFTWARE INC DE 5.07 06/24/11 AMEND Snap Interactive, Inc DE 2.01,9.01 11/14/11 SOLERA HOLDINGS, INC DE 8.01,9.01 11/14/11 SOTHEBYS DE 2.02,9.01 11/07/11 SOUTHERN CONNECTICUT BANCORP INC CT 8.01 09/30/11 AMEND SOUTHWALL TECHNOLOGIES INC /DE/ DE 2.02,9.01 11/14/11 SPANISH BROADCASTING SYSTEM INC DE 2.02,9.01 11/10/11 SPHERIX INC DE 2.02,9.01 11/11/11 STAGE STORES INC NV 8.01,9.01 11/10/11 STANDARD MICROSYSTEMS CORP DE 5.02 11/10/11 STANLEY BLACK & DECKER, INC. CT 8.01,9.01 11/14/11 STRATEGIC DIAGNOSTICS INC/DE/ DE 2.02,9.01 11/14/11 STRATUS PROPERTIES INC DE 2.02,9.01 11/14/11 STRAYER EDUCATION INC MD 8.01,9.01 11/09/11 SUFFOLK BANCORP NY 3.01,9.01 11/08/11 SUMMIT FINANCIAL SERVICES GROUP INC FL 2.02,9.01 11/14/11 SunCoke Energy, Inc. 7.01,9.01 11/14/11 SUNESIS PHARMACEUTICALS INC DE 2.02,9.01 11/14/11 SUNLINK HEALTH SYSTEMS INC OH 5.07 11/07/11 SUNTRUST BANKS INC GA 5.02 11/07/11 SUPER DEAL.COM, INC. FL 4.01,9.01 11/14/11 Sutor Technology Group LTD 2.02,7.01,9.01 11/14/11 SUTRON CORP VA 2.02,9.01 11/09/11 SUTRON CORP VA 5.02 11/01/11 Swank, Inc. DE 2.02,9.01 11/10/11 Swisher Hygiene Inc. DE 2.02,7.01,9.01 11/14/11 SYNAGEVA BIOPHARMA CORP DE 4.01,9.01 11/02/11 AMEND SYNERGY RESOURCES CORP CO 2.02,8.01,9.01 11/14/11 TAKE TWO INTERACTIVE SOFTWARE INC DE 8.01,9.01 11/10/11 TAUBMAN CENTERS INC MI 8.01,9.01 11/14/11 TECHPRECISION CORP 2.02,9.01 11/14/11 TELESTONE TECHNOLOGIES CORP CO 1.01,3.02 11/07/11 TELETECH HOLDINGS INC DE 7.01 11/09/11 TENGION INC DE 2.02,9.01 11/14/11 TETRA TECHNOLOGIES INC DE 5.02,9.01 11/11/11 TEXAS INSTRUMENTS INC DE 9.01 11/14/11 AMEND THERAVANCE INC DE 7.01,9.01 11/14/11 THERMADYNE HOLDINGS CORP /DE DE 5.02,9.01 11/07/11 Thermon Group Holdings, Inc. DE 2.02,9.01 11/14/11 Thermon Holding Corp. DE 2.02,9.01 11/14/11 THUNDER MOUNTAIN GOLD INC NV 1.01,3.02,8.01,9.01 11/14/11 Tianli Agritech, Inc. D8 7.01,9.01 11/14/11 TIDEWATER INC DE 8.01,9.01 11/08/11 TIDEWATER INC DE 8.01,9.01 11/10/11 TII NETWORK TECHNOLOGIES, INC. DE 2.02,9.01 10/24/11 TIMBERLAND BANCORP INC WA 2.02,9.01 11/10/11 Timberline Resources Corp DE 7.01,9.01 10/31/11 TOWERSTREAM CORP DE 2.02,9.01 11/14/11 TRANSATLANTIC HOLDINGS INC DE 8.01,9.01 11/14/11 TRANSATLANTIC PETROLEUM LTD. D0 1.01,9.01 11/07/11 TRANSGENOMIC INC DE 1.01,9.01 11/08/11 TRIAD GUARANTY INC DE 2.02,9.01 11/11/11 Triangle Petroleum Corp NV 8.01,9.01 11/14/11 TRIMBLE NAVIGATION LTD /CA/ CA 5.02,5.03,9.01 11/09/11 Trunkbow International Holdings Ltd NV 2.02,9.01 11/14/11 TUESDAY MORNING CORP/DE DE 5.07 11/09/11 US Premium Beef, LLC 7.01,9.01 11/14/11 UDR, Inc. MD 7.01,9.01 11/14/11 UNIFI INC NY 7.01,9.01 11/14/11 UNIGENE LABORATORIES INC DE 8.01,9.01 11/14/11 UNILENS VISION INC 8.01,9.01 11/14/11 United Community Bancorp X1 2.02,9.01 11/11/11 UNITED COMMUNITY FINANCIAL CORP OH 2.02,9.01 11/14/11 UNITED INSURANCE HOLDINGS CORP. DE 5.02 08/15/11 AMEND UROLOGIX INC MN 5.02,5.07 11/08/11 US DATAWORKS INC NV 2.02,9.01 11/14/11 US HOME SYSTEMS INC DE 2.02,9.01 11/10/11 UTG INC 1.01 11/09/11 VALENCE TECHNOLOGY INC DE 8.01 11/10/11 VALLEY FORGE COMPOSITE TECHNOLOGIES, FL 4.02,9.01 10/28/11 AMEND VANGUARD HEALTH SYSTEMS INC DE 9.01 09/01/11 AMEND VASOMEDICAL INC DE 9.01 09/04/11 AMEND VECTREN CORP IN 1.01,2.03,9.01 11/10/11 VelaTel Global Communications, Inc. NV 1.01,9.01 11/08/11 VENTRUS BIOSCIENCES INC DE 8.01,9.01 11/14/11 VENTRUS BIOSCIENCES INC DE 8.01,9.01 11/14/11 Verecloud, Inc. NV 2.02,9.01 11/14/11 VERIFONE SYSTEMS, INC. DE 1.01 11/12/11 VERMILLION, INC. DE 5.02 11/08/11 Vestin Realty Mortgage I, Inc. 1.01 10/03/11 AMEND Vestin Realty Mortgage II, Inc MD 1.01 10/03/11 AMEND VIEWCAST COM INC DE 2.02,9.01 11/14/11 VIRGIN MEDIA INC. DE 8.01 11/10/11 VISUALANT INC NV 1.01,9.01 11/09/11 VORNADO REALTY TRUST MD 8.01 11/07/11 VORNADO REALTY TRUST MD 1.01,2.03,9.01 11/07/11 Vuzix Corp DE 2.04 09/30/11 WEBSTER PREFERRED CAPITAL CORP CT 8.01,9.01 11/14/11 WEST COAST BANCORP /NEW/OR/ OR 5.02 11/08/11 WESTERN DIGITAL CORP DE 5.07 11/10/11 WESTINGHOUSE AIR BRAKE TECHNOLOGIES C DE 1.01,1.02,2.03,9.01 11/07/11 WESTMORELAND COAL Co DE 2.02,9.01 11/08/11 Willbros Group, Inc.\NEW\ 2.02,9.01 11/07/11 WORLD FINANCIAL NETWORK CREDIT CARD M DE 1.01,9.01 11/09/11 WORLD FINANCIAL NETWORK CREDIT CARD M DE 1.01,8.01,9.01 11/09/11 XCEL ENERGY INC MN 8.01 11/14/11 XERIUM TECHNOLOGIES INC DE 5.02,7.01,9.01 11/08/11 Yayi International Inc DE 2.02,9.01 11/14/11 ZBB ENERGY CORP WI 5.02,5.07 11/09/11 ZBB ENERGY CORP WI 2.02,9.01 11/14/11 ZION OIL & GAS INC DE 5.07 11/14/11 AMEND 

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