RECENT 8K FILINGS November 16, 2009 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 Officers 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 obtained in person or by writing to the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. 20549-1090 or at the following e-mail box address: publicinfo@sec.gov. In most cases, this information is also available on the Commission's website: www.sec.gov. STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT ------------------------------------------------------------------------------------------------------- ACCELERIZE NEW MEDIA INC DE 8.01,9.01 11/13/09 ADAMS RESOURCES & ENERGY, INC. DE 2.02 11/13/09 ADEX MEDIA, INC. DE 2.02,7.01,9.01 11/12/09 ADVANCED CELL TECHNOLOGY, INC. DE 1.01,2.03,3.02,5.03,9.01 10/01/09 ADVANCED CELL TECHNOLOGY, INC. DE 1.01,2.03,3.02,5.03,9.01 10/01/09 AMEND ADVANT E CORP DE 2.02,9.01 11/12/09 ADVANTA CORP DE 8.01 11/08/09 ADVENT SOFTWARE INC /DE/ DE 5.02,5.03,9.01 11/12/09 AEROCENTURY CORP DE 2.02 11/13/09 AFC ENTERPRISES INC MN 2.02,9.01 11/12/09 AGILENT TECHNOLOGIES INC DE 2.02,9.01 11/13/09 Air Transport Services Group, Inc. DE 2.02,9.01 11/12/09 AIRVANA INC DE 8.01,9.01 11/13/09 ALASKA PACIFIC BANCSHARES INC AK 2.02,9.01 09/30/09 Alphametrix Managed Futures LLC (Aspe 5.02 09/30/09 ALTERNATE ENERGY HOLDINGS, INC. NV 7.01,9.01 11/12/09 Alternative Energy Development Corp NV 5.02 11/10/09 AMAZON GOLDSANDS LTD. NV 5.02 11/09/09 American Home Food Products, Inc. NY 8.01 11/13/09 American Lorain CORP DE 2.02,9.01 11/12/09 American Tire Distributors Holdings, 7.01 11/13/09 AMERICAN TONERSERV CORP. DE 5.02 11/06/09 AMERICAN TOWER CORP /MA/ DE 8.01,9.01 11/13/09 AMERICANWEST BANCORPORATION WA 8.01,9.01 11/13/09 ANADARKO PETROLEUM CORP DE 5.02,9.01 11/10/09 APOLLO SOLAR ENERGY, INC. NV 1.01 11/09/09 ARCH COAL INC DE 7.01,9.01 11/12/09 ARCTIC CAT INC MN 1.01,1.02,9.01 11/10/09 ARGENTEX MINING CORP NV 3.02 11/12/09 Artio Global Investors Inc. DE 7.01,9.01 11/13/09 Artio Global Investors Inc. DE 2.02,9.01 11/13/09 Ascent Media CORP DE 2.02,9.01 11/13/09 ASSURE DATA INC NV 1.01,2.01,5.02,9.01 11/12/09 ASTROTECH Corp \WA\ WA 2.02,9.01 11/12/09 ATLANTIC AMERICAN CORP GA 2.02,9.01 09/30/09 AuraSound, Inc. NV 5.03,9.01 11/09/09 AWARE INC /MA/ MA 2.01,5.02 11/13/09 AWARE INC /MA/ MA 2.01,5.02 11/13/09 BCO HYDROCARBON LTD NV 8.01,9.01 11/12/09 BE Resources Inc. CO 7.01,9.01 11/13/09 BERKELEY TECHNOLOGY LTD 2.02,7.01 09/30/09 Betawave Corp. 1.01 11/09/09 BIO KEY INTERNATIONAL INC MN 2.02,9.01 11/13/09 BIO KEY INTERNATIONAL INC MN 1.01 07/02/09 AMEND Biostar Pharmaceuticals, Inc. MD 2.02,9.01 11/12/09 BOEING CAPITAL CORP DE 1.01,2.03,9.01 11/13/09 BOEING CO DE 1.01,2.03,9.01 11/13/09 BOISE CASCADE HOLDINGS, L.L.C. DE 2.02,9.01 11/13/09 BORGWARNER INC DE 5.02,8.01 11/11/09 BRIDGFORD FOODS CORP CA 7.01,9.01 11/09/09 BRINKS CO VA 5.02,5.03,8.01 11/13/09 BRUKER CORP DE 5.02 11/11/09 CA, INC. DE 8.01,9.01 11/13/09 CADENCE PHARMACEUTICALS INC 8.01 11/12/09 CADENCE PHARMACEUTICALS INC 7.01,9.01 11/13/09 Camden Learning CORP DE 8.01,9.01 11/13/09 CAPITAL ONE FINANCIAL CORP DE 8.01,9.01 11/13/09 CAPITAL ONE FINANCIAL CORP DE 7.01,9.01 11/13/09 CARDICA INC DE 5.02,9.01 11/11/09 Cardium Therapeutics, Inc. DE 8.01,9.01 11/10/09 CareFusion Corp DE 8.01,9.01 11/13/09 CASEYCORP ENTERPRISES, INC 8.01 09/25/09 AMEND CASTLE GROUP INC 2.02,9.01 09/30/09 CATALYST GROUP HOLDINGS CORP. DE 1.01,9.01 11/06/09 CC Media Holdings Inc DE 2.02,9.01 11/09/09 CCO HOLDINGS LLC 1.01 11/10/09 CHARTER COMMUNICATIONS INC /MO/ DE 1.01 11/10/09 CHEESECAKE FACTORY INC DE 8.01,9.01 11/12/09 CHEMED CORP DE 5.03,9.01 11/10/09 Chemtura CORP DE 7.01,9.01 11/13/09 CHICAGO RIVET & MACHINE CO IL 2.02,9.01 11/10/09 CHICOS FAS INC FL 1.01 11/11/09 CHINA DIGITAL COMMUNICATION GROUP NV 7.01,9.01 11/13/09 CHINA GENGSHENG MINERALS, INC. NV 2.02,9.01 11/13/09 China Holdings Acquisition Corp. DE 8.01,9.01 11/13/09 China Nutrifruit Group LTD NV 2.02,7.01,9.01 11/13/09 CHINA SHEN ZHOU MINING & RESOURCES, I NV 2.02,9.01 11/13/09 CHINA VALVES TECHNOLOGY, INC NV 2.02,7.01,9.01 11/13/09 Chino Commercial Bancorp CA 1.01 07/01/09 CHURCHILL DOWNS INC KY 1.01,9.01 11/11/09 CHYRON CORP NY 5.02,9.01 11/09/09 CIB MARINE BANCSHARES INC WI 2.01,9.01 11/13/09 CISCO SYSTEMS INC CA 1.01,2.03,9.01 11/09/09 CISCO SYSTEMS INC CA 5.02 09/09/09 AMEND CKE RESTAURANTS INC DE 2.02,9.01 11/11/09 Clear Channel Outdoor Holdings, Inc. DE 2.02,9.01 11/09/09 CLST HOLDINGS, INC. DE 7.01,9.01 11/13/09 CME GROUP INC. DE 7.01 11/13/09 CNA FINANCIAL CORP DE 1.01,9.01 11/09/09 CNB Financial Corp. MA 8.01,9.01 11/12/09 CNH Equipment Trust 2009-C DE 1.01,9.01 11/10/09 COASTAL BANKING CO INC SC 2.02,9.01 11/12/09 Cogdell Spencer Inc. MD 8.01,9.01 11/13/09 Comstock Homebuilding Companies, Inc. DE 2.02,3.01,8.01,9.01 11/09/09 COMTECH TELECOMMUNICATIONS CORP /DE/ DE 8.01,9.01 11/13/09 COMTEX NEWS NETWORK INC DE 2.02,9.01 11/13/09 CONEXANT SYSTEMS INC DE 3.02,5.02 11/11/09 Cono Italiano, Inc. NV 1.01,2.01,3.02,4.01,5.03,5.06, 11/12/09 9.01 CONSECO INC DE 1.01,3.02,8.01,9.01 11/13/09 CONTINENTAL AIRLINES INC /DE/ DE 5.02,9.01 11/13/09 Copano Energy, L.L.C. DE 7.01,9.01 11/13/09 CORNERSTONE THERAPEUTICS INC DE 5.02 11/11/09 COVENTRY HEALTH CARE INC DE 5.02 11/13/09 CPG INTERNATIONAL INC. DE 7.01,9.01 09/30/09 CRIMSON EXPLORATION INC. 1.01,2.03,9.01 11/06/09 CYTOMEDIX INC DE 5.02,8.01,9.01 11/12/09 DAVIDSON INCOME REAL ESTATE LP DE 1.01,9.01 11/10/09 DAYSTAR TECHNOLOGIES INC DE 5.02,9.01 11/09/09 DENBURY RESOURCES INC DE 7.01,8.01,9.01 11/12/09 DIGITAL FUEL INC DE 1.01,8.01,9.01 11/12/09 DIODES INC /DEL/ DE 1.01,2.03 11/10/09 Dividend Capital Total Realty Trust I MD 2.02,9.01 11/13/09 DOLLAR FINANCIAL CORP DE 5.02 11/11/09 Douglas Lake Minerals Inc. NV 1.01,9.01 11/07/09 DREAMS INC UT 2.02,9.01 11/12/09 DRYCLEAN USA INC DE 2.02,5.03,9.01 11/13/09 DUN & BRADSTREET CORP/NW DE 5.02,9.01 11/12/09 DYNAMIC ALERT LTD NV 1.01,5.02 11/13/09 DYNATRONICS CORP UT 2.02,9.01 11/13/09 ECOLOGY COATINGS, INC. NV 3.02 11/13/09 ECOSYSTEM CORP 1.01,3.02 11/09/09 eCrypt Technologies, Inc. CO 8.01 11/12/09 EDGEWATER TECHNOLOGY INC/DE/ DE 5.02,9.01 11/12/09 EDIETS COM INC DE 2.02,9.01 11/12/09 ELECTRONIC SYSTEMS TECHNOLOGY INC WA 8.01,9.01 11/13/09 EMC INSURANCE GROUP INC IA 7.01 11/11/09 EMC INSURANCE GROUP INC IA 5.02,9.01 11/11/09 EMPIRE RESORTS INC DE 2.04,3.02,5.01,5.03,8.01,9.01 11/09/09 ENCORIUM GROUP INC NV 5.02,8.01,9.01 11/07/09 ENDO PHARMACEUTICALS HOLDINGS INC DE 8.01,9.01 11/11/09 ENDURANCE SPECIALTY HOLDINGS LTD 7.01,9.01 11/13/09 ETHAN ALLEN INTERIORS INC DE 7.01,9.01 11/13/09 Ever-Glory International Group, Inc. FL 2.02,9.01 11/09/09 Federal Home Loan Bank of Chicago X1 2.03 11/09/09 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 11/09/09 Federal Home Loan Bank of Dallas 2.03,9.01 11/09/09 Federal Home Loan Bank of Des Moines X1 2.03,9.01 11/09/09 Federal Home Loan Bank of Topeka 2.03 11/09/09 Fifth Street Finance Corp DE 7.01,9.01 11/13/09 FIRST BANCSHARES INC /MO/ MO 2.02,9.01 11/12/09 FIRSTFED FINANCIAL CORP DE 4.01,9.01 11/09/09 FLUOR CORP DE 5.02 11/09/09 Fortress International Group, Inc. DE 2.02,9.01 11/13/09 FRANKLIN ELECTRONIC PUBLISHERS INC PA 2.02,9.01 11/13/09 FTI CONSULTING INC MD 1.01,2.03,8.01,9.01 11/09/09 GAINSCO INC TX 2.02,5.03,9.01 11/09/09 GENESIS GROUP HOLDINGS INC 5.02 07/10/09 GeoMet, Inc. DE 2.02,9.01 11/13/09 GLOBAL HOLDINGS INC NV 5.01,5.02 11/04/09 AMEND GLOBE SPECIALTY METALS INC 2.02,7.01,9.01 11/12/09 GMX RESOURCES INC OK 8.01 11/12/09 Golden Aria Corp. 9.01 11/13/09 GREEN BUILDERS, INC TX 2.04 11/10/09 GREEN MOUNTAIN COFFEE ROASTERS INC DE 1.01,2.01,8.01,9.01 11/13/09 GSC INVESTMENT CORP. MD 1.01,9.01 11/12/09 GSE SYSTEMS INC DE 2.02 09/30/09 Guidance Software, Inc. DE 5.02,9.01 11/13/09 HACKETT GROUP, INC. FL 1.01,3.02,5.02,9.01 11/10/09 HAGUE CORP. NV 5.02 10/01/09 HALLMARK FINANCIAL SERVICES INC NV 2.02,9.01 11/12/09 HAWKER BEECHCRAFT ACQUISITION CO LLC DE 7.01 11/12/09 HCC INSURANCE HOLDINGS INC/DE/ DE 1.01,7.01,8.01,9.01 11/10/09 HEALTHCARE TRUST OF AMERICA, INC. MD 7.01,9.01 11/13/09 Heelys, Inc. DE 5.03,9.01 11/11/09 I FLOW CORP /DE/ DE 8.01 11/13/09 ICAGEN INC DE 3.01,9.01 11/12/09 IMPERIAL CAPITAL BANCORP, INC. DE 8.01 11/06/09 IMPERIAL INDUSTRIES INC DE 2.02,9.01 11/13/09 India Globalization Capital, Inc. MD 3.01,9.01 11/11/09 INSITE VISION INC DE 5.02 11/09/09 INSULET CORP DE 1.01,8.01,9.01 11/13/09 AMEND INTEGRATED ELECTRICAL SERVICES INC DE 4.02,9.01 09/15/09 AMEND INTERNATIONAL BARRIER TECHNOLOGY INC/ 7.01,9.01 11/12/09 INTERNATIONAL FUEL TECHNOLOGY INC NV 5.02,9.01 09/30/09 INTERNATIONAL RECTIFIER CORP /DE/ DE 5.02,5.03,9.01 11/09/09 IPAYMENT INC DE 2.02,9.01 11/13/09 Ironwood Gold Corp NV 5.02 11/12/09 IVAX DIAGNOSTICS INC DE 2.02,9.01 11/12/09 J C PENNEY CO INC DE 2.02,9.01 11/13/09 JACK IN THE BOX INC /NEW/ DE 5.02 11/12/09 James River Coal CO VA 8.01,9.01 11/13/09 Jasper Ventures Inc. NV 5.02,5.03,8.01,9.01 11/09/09 JDS UNIPHASE CORP /CA/ DE 5.02,5.03,9.01 11/09/09 JEFFERSONVILLE BANCORP NY 2.02,8.01,9.01 11/11/09 JOE'S JEANS INC. DE 1.01,5.02,9.01 11/09/09 KeyOn Communications Holdings Inc. DE 1.01,9.01 11/13/09 KINGSTONE COMPANIES, INC. DE 2.01,9.01 06/30/09 AMEND Koppers Holdings Inc. PA 8.01,9.01 11/12/09 KV PHARMACEUTICAL CO /DE/ DE 8.01,9.01 11/13/09 L & L INTERNATIONAL HOLDINGS, INC NV 1.01,3.02,7.01,9.01 11/13/09 LAKELAND FINANCIAL CORP IN 8.01,9.01 11/12/09 LAWSON PRODUCTS INC/NEW/DE/ DE 5.02,9.01 11/13/09 LEE ENTERPRISES, INC DE 2.02,9.01 11/12/09 LEHMAN BROTHERS HOLDINGS INC DE 7.01,9.01 11/13/09 LEXARIA CORP. 7.01,9.01 11/13/09 Liberty Global, Inc. 7.01 11/13/09 Life Technologies Corp DE 3.02 11/10/09 LSB FINANCIAL CORP IN 2.02,9.01 11/13/09 LUBRIZOL CORP OH 5.02,9.01 11/10/09 MAGNUM HUNTER RESOURCES CORP DE 1.01,9.01 11/10/09 MARSH & MCLENNAN COMPANIES, INC. DE 8.01,9.01 11/13/09 MAXIMUS INC VA 8.01 11/12/09 AMEND MEDIA SCIENCES INTERNATIONAL INC 2.02,9.01 11/13/09 MEDICAL CONNECTIONS HOLDINGS, INC. FL 5.01,5.02,5.03,9.01 11/12/09 MEDICINOVA INC DE 7.01 11/12/09 MEDIS TECHNOLOGIES LTD DE 5.02 11/13/09 MERGE HEALTHCARE INC DE 1.01,9.01 11/13/09 MICHAEL FOODS INC/NEW DE 2.02,9.01 11/13/09 MICRON TECHNOLOGY INC DE 8.01 11/09/09 MID WISCONSIN FINANCIAL SERVICES INC WI 2.02,9.01 11/13/09 MILLER DIVERSIFIED CORP NV 1.01,2.01,3.01,5.01,5.06,9.01 11/11/09 MIPS TECHNOLOGIES INC DE 5.02,9.01 11/12/09 MOTOROLA INC DE 5.02 11/10/09 MTR GAMING GROUP INC DE 5.02 11/09/09 MULTISYS LANGUAGE SOLUTIONS INC NV 1.01,9.01 11/09/09 MUTUALFIRST FINANCIAL INC MD 7.01,9.01 11/13/09 MZT Holdings, Inc. DE 8.01,9.01 11/13/09 NACCO INDUSTRIES INC DE 5.02,9.01 11/10/09 NATIONAL FUEL GAS CO NJ 7.01,9.01 11/12/09 AMEND NATIONAL SECURITY GROUP INC DE 7.01,9.01 11/13/09 NATIONWIDE FINANCIAL SERVICES INC/ DE 2.02,9.01 11/13/09 NATURAL RESOURCE PARTNERS LP DE 1.01,9.01 11/12/09 NAVARRE CORP /MN/ MN 1.01,2.03,9.01 11/12/09 NEENAH ENTERPRISES, INC. 1.01 11/10/09 NETLIST INC DE 7.01,9.01 11/11/09 NETWORK EQUIPMENT TECHNOLOGIES INC DE 5.02,9.01 11/09/09 New Concept Energy, Inc. NV 2.02,9.01 11/13/09 New Generation Biofuels Holdings, Inc FL 2.02,7.01,9.01 11/13/09 NEWELL RUBBERMAID INC DE 5.02,9.01 11/10/09 NextWave Wireless Inc. DE 5.02,9.01 11/11/09 NORTH EUROPEAN OIL ROYALTY TRUST DE 2.02,9.01 10/31/09 NPC INTERNATIONAL INC KS 2.02,9.01 11/13/09 NUMEREX CORP /PA/ PA 2.02,9.01 11/13/09 AMEND OAK RIDGE MICRO-ENERGY INC CO 5.02 11/09/09 OLD POINT FINANCIAL CORP VA 5.02,9.01 11/13/09 OLD POINT FINANCIAL CORP VA 7.01,9.01 11/13/09 Opexa Therapeutics, Inc. TX 5.03,9.01 11/11/09 OPTIMAL GROUP INC 7.01,9.01 11/13/09 Orchard Enterprises, Inc. DE 2.02,9.01 11/13/09 Orchard Enterprises, Inc. DE 3.01,9.01 11/12/09 ORE PHARMACEUTICAL HOLDINGS INC. DE 2.02,9.01 11/13/09 OSI RESTAURANT PARTNERS, LLC DE 7.01 11/13/09 OXYGEN BIOTHERAPEUTICS, INC. DE 3.02,5.03,9.01 11/09/09 Pacific Coast National Bancorp CA 1.01,8.01,9.01 11/09/09 PACWEST BANCORP DE 2.01,9.01 08/28/09 AMEND Pansoft CO LTD D8 8.01,9.01 11/13/09 PDF SOLUTIONS INC DE 4.01,9.01 11/10/09 PDL BIOPHARMA, INC. DE 7.01,9.01 11/13/09 PENFORD CORP WA 2.02,9.01 11/13/09 PENFORD CORP WA 2.05,2.06 08/27/09 AMEND PENN NATIONAL GAMING INC PA 5.02 11/09/09 PIONEER NATURAL RESOURCES CO DE 1.01,9.01 11/09/09 Pioneer Southwest Energy Partners L.P DE 1.01,7.01,9.01 11/11/09 PLANGRAPHICS INC CO 1.01,5.01,5.02 11/09/09 PLY GEM HOLDINGS INC DE 2.02,9.01 11/10/09 POLYMER GROUP INC DE 2.02,9.01 11/12/09 PPOL INC CA 4.01 11/13/09 AMEND PRECISION CASTPARTS CORP OR 5.02 11/11/09 PREMIER FINANCIAL BANCORP INC KY 2.02,9.01 11/11/09 Prospect Acquisition Corp DE 1.01,8.01,9.01 11/12/09 Prospect Acquisition Corp DE 8.01,9.01 11/12/09 PROTALEX INC DE 1.01,1.02,2.03,3.02,5.01,5.02, 11/11/09 9.01 PSYCHIATRIC SOLUTIONS INC DE 8.01,9.01 11/13/09 PUBLIC SERVICE CO OF OKLAHOMA OK 8.01,9.01 11/13/09 PURADYN FILTER TECHNOLOGIES INC DE 2.02,7.01,9.01 11/13/09 RAIT Financial Trust MD 7.01,9.01 11/04/09 RANCHO SANTA MONICA DEVELOPMENTS INC. 4.01,9.01 11/13/09 Ready Mix, Inc. NV 2.02,9.01 11/13/09 RECOVERY ENERGY, INC. NV 1.01,2.01,3.02,9.01 11/06/09 Red Lion Hotels CORP WA 5.02,9.01 11/11/09 RENHUANG PHARMACEUTICALS INC NV 4.02 11/13/09 AMEND RESEARCH PHARMACEUTICAL SERVICES, INC DE 2.02,9.01 11/13/09 SCHWEITZER MAUDUIT INTERNATIONAL INC DE 1.01,9.01 11/11/09 SCM MICROSYSTEMS INC DE 8.01,9.01 11/13/09 SCO GROUP INC DE 5.02 11/13/09 Searchlight Minerals Corp. NV 1.01,3.02,3.03,7.01,9.01 11/12/09 SEITEL INC DE 2.02,9.01 11/13/09 SemGroup Energy Partners, L.P. DE 2.02,9.01 09/30/09 SERVOTRONICS INC /DE/ DE 2.02,9.01 11/12/09 SHARPS COMPLIANCE CORP DE 7.01,9.01 11/12/09 ShengdaTech, Inc. 2.02,7.01,9.01 11/13/09 Shire plc 8.01,9.01 11/12/09 SILICON STORAGE TECHNOLOGY INC CA 1.01,5.02,8.01,9.01 11/12/09 Sino Clean Energy Inc NV 8.01,9.01 11/13/09 SKYWORKS SOLUTIONS INC DE 5.02 11/10/09 SL INDUSTRIES INC NJ 2.02,9.01 11/12/09 SMF ENERGY CORP DE 2.02,9.01 11/12/09 Socialwise, Inc. (formerly known as I CO 3.02 11/12/09 SOLIGENIX, INC. DE 2.02,9.01 11/13/09 Solo Cup CO DE 2.02,9.01 11/12/09 SORL Auto Parts Inc DE 7.01,9.01 11/13/09 SOUTH TEXAS OIL CO NV 3.01,5.02,9.01 11/05/09 Specialty Underwriters Alliance, Inc. DE 3.01,3.03,5.01,5.02,5.03,9.01 11/13/09 SPECTRUM PHARMACEUTICALS INC DE 7.01 11/13/09 SPEEDUS CORP DE 5.02,9.01 11/11/09 ST. BERNARD SOFTWARE, INC. CA 2.02,9.01 11/12/09 STAMPS.COM INC DE 8.01 11/09/09 STELLAR RESOURCES LTD NV 1.02,9.01 11/13/09 Stream Global Services, Inc. DE 5.02,9.01 11/09/09 SUBAYE, INC. 5.02 11/12/09 SUBURBAN PROPANE PARTNERS LP DE 5.02,9.01 11/10/09 Summer Infant, Inc. DE 5.02,9.01 11/09/09 SUPERIOR INDUSTRIES INTERNATIONAL INC CA 8.01,9.01 11/09/09 SUPERIOR UNIFORM GROUP INC FL 8.01 11/12/09 Superior Well Services, INC DE 7.01,9.01 11/13/09 Superior Well Services, INC DE 7.01,9.01 11/13/09 Sutor Technology Group LTD 2.02,9.01 11/13/09 Sutor Technology Group LTD 8.01 11/13/09 TAYLOR CAPITAL GROUP INC DE 5.02 11/13/09 TELIK INC DE 2.02,9.01 11/13/09 Tennessee Valley Authority 1.01,2.03,9.01 11/09/09 Terra Nova Financial Group Inc IL 2.02,9.01 11/13/09 TETON ENERGY CORP DE 3.01,9.01 11/09/09 TFS Financial CORP DE 2.02,9.01 11/13/09 THERMO FISHER SCIENTIFIC INC. DE 8.01,9.01 11/13/09 THOR INDUSTRIES INC DE 8.01,9.01 11/13/09 TICKETMASTER ENTERTAINMENT, INC. DE 2.02,8.01 11/09/09 AMEND TIDELANDS BANCSHARES INC 7.01,9.01 11/12/09 AMEND TIENS BIOTECH GROUP USA INC 2.02,9.01 11/13/09 TIERONE CORP 3.01,9.01 11/11/09 Tower Group, Inc. DE 2.01,9.01 11/13/09 TRACK DATA CORP DE 2.02 11/13/09 TRANSATLANTIC PETROLEUM LTD. D0 2.02,9.01 11/13/09 TRANSTECH INDUSTRIES INC DE 8.01 11/13/09 TRANSWITCH CORP /DE DE 3.01,8.01,9.01 11/09/09 TRX INC/GA GA 2.02,9.01 11/13/09 TUCOWS INC /PA/ PA 2.02,9.01 11/11/09 U. S. Premium Beef, LLC 7.01,9.01 11/13/09 U.S. Shipping Partners L.P. DE 1.01 11/12/09 United Financial Bancorp, Inc. MD 8.01,9.01 11/12/09 United Refining Energy Corp DE 8.01,9.01 11/13/09 US FARMS, INC. NV 5.02 10/10/09 USG CORP DE 5.02 11/11/09 VARIAN INC DE 5.02 11/12/09 VERISIGN INC/CA DE 2.01,9.01 11/09/09 VIEWCAST COM INC DE 1.02,5.02 11/12/09 VINYL PRODUCTS, INC. DE 4.02 11/10/09 VISION SCIENCES INC /DE/ NY 2.02,9.01 11/12/09 VISTA GOLD CORP 7.01,9.01 11/12/09 Vitacost.com, Inc. DE 1.01,9.01 11/06/09 VIVUS INC CA 8.01,9.01 11/11/09 WALT DISNEY CO/ DE 5.02 11/12/09 WESTERN LIBERTY BANCORP DE 1.02,9.01 11/12/09 WindTamer Corp NY 7.01,9.01 11/13/09 WINLAND ELECTRONICS INC MN 2.02,9.01 11/12/09 WIRELESS RONIN TECHNOLOGIES INC MN 1.01,9.01 11/12/09 X RITE INC MI 2.02,9.01 11/13/09 XCEL ENERGY INC MN 8.01 11/12/09 XERIUM TECHNOLOGIES INC DE 2.02,9.01 11/06/09 XL CAPITAL LTD 8.01 11/12/09 YOUBET COM INC DE 1.01,3.03,8.01,9.01 11/11/09 ZION OIL & GAS INC DE 8.01,9.01 11/13/09 ZYNEX INC NV 1.01,9.01 11/12/09 ZYNEX INC NV 8.01,9.01 11/13/09