RECENT 8K FILINGS November 16, 2010 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  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 ------------------------------------------------------------------------------------------------------ 4 KIDS ENTERTAINMENT INC NY 2.02,8.01,9.01 11/15/10 ABRAXAS PETROLEUM CORP NV 2.02,9.01 11/15/10 ABSOLUTE LIFE SOLUTIONS, INC. NV 8.01,9.01 11/15/10 Access Plans Inc 8.01,9.01 11/12/10 ADEONA PHARMACEUTICALS, INC. DE 2.02 11/15/10 ADVANCED PHOTONIX INC DE 1.01,3.02,8.01,9.01 11/04/10 AEROPOSTALE INC 7.01,9.01 11/15/10 Air Transport Services Group, Inc. DE 2.02,7.01,9.01 11/15/10 AKORN INC LA 8.01 11/09/10 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 11/15/10 ALLIED WORLD ASSURANCE CO HOLDINGS LT 1.01,2.03,9.01 11/09/10 ALLSCRIPTS HEALTHCARE SOLUTIONS, INC. DE 8.01,9.01 11/11/10 ALTERRA CAPITAL HOLDINGS Ltd 7.01,9.01 11/15/10 American Electric Technologies Inc FL 2.02,9.01 11/11/10 American Energy Fields, Inc. DE 5.02 11/09/10 AMERICAN EXPRESS CO NY 7.01 11/15/10 AMERICAN EXPRESS RECEIVABLES FINANCIN DE 8.01 11/15/10 AMERICAN LEARNING Corp NY 2.02,9.01 11/15/10 American Standard Energy Corp. DE 1.01 09/30/10 AMERISTAR CASINOS INC NV 1.01,9.01 11/10/10 ANAREN INC NY 5.07 11/03/10 Animal Health International, Inc. DE 2.02,9.01 11/15/10 ante5, Inc. DE 2.01 11/12/10 AP PHARMA INC /DE/ DE 2.02,9.01 11/15/10 APAC CUSTOMER SERVICES, INC IL 7.01,9.01 11/10/10 APACHE CORP DE 1.01,2.01,2.03,7.01,8.01,9.01 11/10/10 AMEND APARTMENT INVESTMENT & MANAGEMENT CO MD 7.01,9.01 11/15/10 APOLLO CAPITAL GROUP, INC. FL 5.02 11/15/10 APPLETON PAPERS INC/WI 5.02 11/12/10 Applied Nanotech Holdings, Inc TX 1.01 11/12/10 ARYx Therapeutics, Inc. DE 2.02,9.01 11/15/10 ASSURANT INC 8.01,9.01 11/12/10 ASTEA INTERNATIONAL INC DE 2.02,9.01 11/15/10 Atrinsic, Inc. DE 2.02,9.01 11/15/10 AUTHENTEC INC DE 9.01 09/03/10 AMEND AUTOBYTEL INC DE 2.02,9.01 11/11/10 AUTOZONE INC NV 1.01,2.03,9.01 11/08/10 AVANIR PHARMACEUTICALS, INC. DE 5.02,8.01 11/10/10 AVERY DENNISON CORPORATION DE 8.01,9.01 11/15/10 Bacterin International Holdings, Inc. DE 2.02,9.01 11/15/10 Banks.com, Inc. FL 2.02,9.01 11/15/10 Behringer Harvard Opportunity REIT II MD 7.01,9.01 11/15/10 BENIHANA INC DE 2.02,9.01 11/15/10 BFC FINANCIAL CORP FL 1.01 11/08/10 BIBB CORP NV 1.02,9.01 11/15/10 BigBand Networks, Inc. DE 5.02,9.01 11/10/10 BIOMARIN PHARMACEUTICAL INC DE 3.02 11/10/10 BioMed Realty L P 9.01 11/15/10 BioMed Realty Trust Inc MD 9.01 11/15/10 Biostar Pharmaceuticals, Inc. MD 8.01,9.01 11/15/10 BIOTIME INC CA 2.02,9.01 11/15/10 BITSTREAM INC DE 2.02,9.01 11/15/10 BITSTREAM INC DE 9.01 06/03/10 AMEND BLACK NICKEL ACQUISITION CORP III 4.01,9.01 11/12/10 BONANZA OIL & GAS, INC. NV 8.01 11/15/10 Border Management, Inc. NV 5.02 11/10/10 BRIGHTPOINT INC IN 7.01,9.01 11/15/10 BRINKS CO VA 2.06,5.02,5.03,7.01,9.01 11/11/10 BROADCAST INTERNATIONAL INC UT 1.01,9.01 11/15/10 BROADCOM CORP CA 5.02 11/11/10 AMEND BROADWIND ENERGY, INC. DE 5.02,9.01 11/15/10 BRUSH ENGINEERED MATERIALS INC 7.01,9.01 11/15/10 BSD MEDICAL CORP DE 1.01,8.01,9.01 11/15/10 BUCYRUS INTERNATIONAL INC DE 1.01,7.01,9.01 11/14/10 CABELAS INC DE 7.01,9.01 11/15/10 Campus Crest Communities, Inc. MD 8.01,9.01 11/15/10 CAPITAL ONE FINANCIAL CORP DE 7.01,9.01 11/12/10 CAPITOL BANCORP LTD MI 2.02,9.01 11/15/10 CAPITOL FEDERAL FINANCIAL 8.01 11/15/10 CASEYS GENERAL STORES INC IA 7.01 11/15/10 CATERPILLAR INC DE 7.01,9.01 11/15/10 CDW Corp DE 5.02,9.01 11/12/10 Celsion CORP DE 2.02,9.01 11/15/10 Celsius Holdings, Inc. NV 2.02,7.01,9.01 11/10/10 CENTRUE FINANCIAL CORP DE 2.02,9.01 11/12/10 Cereplast Inc NV 2.02,9.01 11/15/10 CH2M HILL COMPANIES LTD OR 8.01 11/12/10 CHART INDUSTRIES INC DE 7.01,9.01 11/15/10 CHASE CREDIT CARD MASTER TRUST NY 8.01,9.01 11/15/10 China Armco Metals, Inc. NV 2.02,9.01 11/15/10 China Industrial Waste Management Inc NV 7.01,8.01,9.01 11/15/10 CHINA JO-JO DRUGSTORES, INC. 8.01,9.01 11/15/10 China Nutrifruit Group LTD NV 2.02,7.01,9.01 11/15/10 China Shenghuo Pharmaceutical Holding 2.02,9.01 11/12/10 China VoIP & Digital Telecom Inc. NV 5.03 07/26/10 Cinemark Holdings, Inc. DE 1.01,8.01,9.01 11/08/10 CIT GROUP INC DE 8.01,9.01 11/15/10 CITADEL BROADCASTING CORP DE 2.02,9.01 11/15/10 CITIBANK OMNI-S MASTER TRUST 8.01 11/15/10 CITIZENS BANCSHARES CORP /GA/ GA 2.02,9.01 11/15/10 CLEAN DIESEL TECHNOLOGIES INC DE 8.01,9.01 11/15/10 CLECO CORP LA 1.01,9.01 11/09/10 CLINICAL DATA INC DE 9.01 11/15/10 CME GROUP INC. DE 5.02,9.01 11/09/10 CMS Bancorp, Inc. DE 2.02,9.01 11/15/10 CNH CAPITAL RECEIVABLES LLC DE 8.01,9.01 11/15/10 CODORUS VALLEY BANCORP INC PA 5.02 11/15/10 Cole Credit Property Trust III, Inc. MD 8.01,9.01 11/11/10 COMMERCETEL CORP NV 9.01 11/02/10 AMEND COMPREHENSIVE CARE CORP DE 2.02,9.01 11/15/10 Computer Software Innovations, Inc. DE 2.02,9.01 11/15/10 Converted Organics Inc. DE 2.01,3.02,9.01 11/15/10 AMEND Cooper-Standard Holdings Inc. DE 2.02,7.01,9.01 11/15/10 CORE MOLDING TECHNOLOGIES INC DE 2.02,9.01 11/11/10 CORINTHIAN COLLEGES INC 7.01 11/15/10 CORPORATE PROPERTY ASSOCIATES 15 INC MD 7.01,9.01 11/15/10 CORPORATE PROPERTY ASSOCIATES 16 GLOB MD 7.01,9.01 11/12/10 Corporate Property Associates 17 - Gl MD 8.01,9.01 11/12/10 COSTCO WHOLESALE CORP /NEW WA 1.01,9.01 11/11/10 COURIER CORP MA 2.02,8.01,9.01 11/15/10 COVER ALL TECHNOLOGIES INC DE 2.02,9.01 11/15/10 AMEND CPI AEROSTRUCTURES INC NY 2.02 10/28/10 CPI INTERNATIONAL, INC. DE 1.01,9.01 11/15/10 CRC Health CORP DE 2.02,9.01 11/15/10 DAYSTAR TECHNOLOGIES INC DE 2.02,9.01 11/15/10 DEEP WELL OIL & GAS INC NV 1.01,3.02,9.01 11/09/10 DELTA APPAREL, INC GA 5.02,5.07,9.01 11/11/10 diaDexus, Inc. DE 2.02,9.01 11/15/10 DIAGNOSTIC IMAGING INTERNATIONAL CORP NV 3.02,9.01 11/11/10 Dialogic Inc. DE 4.01,9.01 11/09/10 DiamondRock Hospitality Co 7.01,9.01 11/15/10 DineEquity, Inc DE 8.01 11/15/10 DIRECT INSITE CORP DE 2.02,9.01 11/11/10 Discovery Communications, Inc. DE 8.01 11/12/10 DOVER CORP DE 7.01,9.01 11/15/10 DPAC TECHNOLOGIES CORP CA 2.02,9.01 11/15/10 DREAMS INC UT 2.02,9.01 11/15/10 DREW INDUSTRIES INC DE 8.01,9.01 11/08/10 DTE ENERGY CO MI 7.01,9.01 11/15/10 Duke Energy CORP DE 7.01,9.01 11/15/10 DUKE REALTY CORP IN 8.01 11/15/10 DUKE REALTY LIMITED PARTNERSHIP/ IN 8.01 11/15/10 DYNEGY INC. DE 7.01,9.01 11/15/10 E-Debit Global Corp. CO 8.01 11/15/10 EAGLE ROCK ENERGY PARTNERS L P DE 7.01 11/12/10 ECLIPS MEDIA TECHNOLOGIES, INC. FL 3.02,5.02 11/15/10 EDIETS COM INC DE 2.02,9.01 11/15/10 Education Realty Trust, Inc. MD 7.01,9.01 11/15/10 EGAIN COMMUNICATIONS CORP DE 5.07 11/11/10 El Paso Pipeline Partners, L.P. DE 1.01,7.01,8.01,9.01 11/12/10 Electromed, Inc. MN 8.01,9.01 11/15/10 ELECTRONIC SYSTEMS TECHNOLOGY INC WA 8.01,9.01 11/10/10 EMC INSURANCE GROUP INC IA 7.01 11/11/10 EMERSON RADIO CORP DE 2.02,9.01 11/15/10 Emrise CORP DE 2.02,7.01,9.01 11/15/10 ENDO PHARMACEUTICALS HOLDINGS INC DE 7.01,9.01 11/15/10 ENDO PHARMACEUTICALS HOLDINGS INC DE 8.01,9.01 11/15/10 ENDURANCE SPECIALTY HOLDINGS LTD 7.01,9.01 11/15/10 ENERGY FOCUS, INC/DE DE 2.02 11/11/10 Energy Future Holdings Corp /TX/ TX 8.01 11/12/10 ENTECH SOLAR, INC. DE 5.02 11/11/10 ENTECH SOLAR, INC. DE 5.02 11/11/10 EQUITY LIFESTYLE PROPERTIES INC MD 2.02,7.01,9.01 11/15/10 ESSEX PROPERTY TRUST INC MD 7.01,9.01 11/15/10 ESTEE LAUDER COMPANIES INC DE 5.07 11/09/10 AMEND EURO GROUP OF COMPANIES, INC. DE 5.02 11/15/10 EXELIXIS INC DE 8.01 11/12/10 EXPRESS-1 EXPEDITED SOLUTIONS INC DE 2.02,9.01 11/15/10 EZENIA INC DE 2.02,7.01,9.01 11/15/10 Federal Home Loan Bank of Des Moines X1 2.03,9.01 11/09/10 AMEND Federal Home Loan Bank of San Francis X1 5.02,5.07,9.01 11/10/10 FINISAR CORP DE 2.02,9.01 11/11/10 FIRST BANCSHARES INC /MO/ MO 2.02,9.01 11/15/10 FIRST BLUSH BRANDS, INC. DE 1.01,2.01,3.02,5.01,5.02,5.03, 05/12/10 AMEND 5.06,9.01 First California Financial Group, Inc DE 7.01,9.01 11/15/10 FIRST CHESTER COUNTY CORP PA 8.01,9.01 11/15/10 FIRST POTOMAC REALTY TRUST MD 7.01 11/15/10 FIRST POTOMAC REALTY TRUST MD 1.01,2.03,9.01 11/09/10 FLEXTRONICS INTERNATIONAL LTD. U0 8.01,9.01 11/15/10 FORCE PROTECTION INC NV 7.01,9.01 10/15/10 AMEND FS Investment CORP MD 2.02,9.01 11/09/10 FX Real Estate & Entertainment Inc. 1.03,2.01,9.01 11/08/10 GAINSCO INC TX 1.01,2.02 11/09/10 Gaming Partners International CORP NV 2.02,9.01 11/15/10 Gas Natural Inc. OH 1.01,9.01 11/09/10 GC NET LEASE REIT, INC. 9.01 09/23/10 AMEND Geeknet, Inc DE 5.03,9.01 11/09/10 General Moly, Inc DE 8.01,9.01 11/15/10 GENUINE PARTS CO GA 8.01,9.01 11/15/10 GENWORTH FINANCIAL INC DE 2.02,9.01 11/15/10 GEOGLOBAL RESOURCES INC. DE 1.01,8.01,9.01 11/08/10 GeoMet, Inc. DE 5.02,5.07,9.01 11/09/10 GeoPharma, Inc. FL 5.02 11/11/10 Global Aviation Holdings Inc. DE 2.02,7.01,9.01 11/15/10 GLOBAL HEALTH VENTURES INC. NV 5.02,9.01 11/12/10 GLOBAL PARTNERS LP 1.01,9.01 11/11/10 GLOBAL POWER EQUIPMENT GROUP INC. DE 2.02,9.01 11/15/10 GLOBAL TRAFFIC NETWORK, INC. DE 2.02,9.01 11/11/10 GlobalOptions Group, Inc. 2.02,9.01 11/15/10 GlobalOptions Group, Inc. 5.07 11/11/10 GRAN TIERRA ENERGY, INC. NV 1.01,9.01 12/18/09 Great Lakes Dredge & Dock CORP DE 7.01,9.01 11/15/10 GREENMAN TECHNOLOGIES INC DE 1.01,2.03,3.02,7.01,9.01 11/09/10 GROUP 1 AUTOMOTIVE INC DE 5.02,8.01,9.01 11/10/10 GTSI CORP DE 2.02,9.01 11/15/10 GYMBOREE CORP DE 2.02,9.01 11/15/10 Hallwood Group Inc DE 2.02,9.01 11/12/10 HAMPTON ROADS BANKSHARES INC VA 8.01,9.01 11/15/10 HARBINGER GROUP INC. DE 1.01,2.03 11/15/10 HARMONIC INC DE 9.01 09/15/10 AMEND HASTINGS ENTERTAINMENT INC TX 2.02,9.01 11/15/10 HAVERTY FURNITURE COMPANIES INC MD 5.02,9.01 11/15/10 HEALTH CARE REIT INC /DE/ DE 8.01,9.01 11/12/10 HEALTHCARE TRUST OF AMERICA, INC. MD 7.01,9.01 11/15/10 HEALTHCARE TRUST OF AMERICA, INC. MD 2.02,9.01 11/15/10 HEALTHCARE TRUST OF AMERICA, INC. MD 7.01,9.01 11/15/10 HeartWare International, Inc. DE 7.01,8.01,9.01 11/14/10 HELICOS BIOSCIENCES CORP DE 3.01 11/12/10 HESKA CORP DE 2.02,9.01 11/15/10 HIGHLANDS BANKSHARES INC /WV/ WV 2.02,9.01 11/15/10 HIGHWOODS PROPERTIES INC MD 5.02 11/15/10 HOME TOUCH HOLDING Co NV 1.01,3.02,5.02,9.01 11/15/10 HOMELAND RESOURCES LTD. NV 4.01 11/10/10 HSBC Finance Corp 8.01,9.01 11/12/10 Huntsman CORP DE 1.01,2.03,9.01 11/12/10 ICAHN ENTERPRISES L.P. DE 1.01,2.03,8.01,9.01 11/12/10 IDENTIVE GROUP, INC. DE 1.01,3.02,3.03,9.01 11/14/10 INFORMATION ANALYSIS INC VA 2.02,9.01 11/11/10 INLAND REAL ESTATE CORP MD 7.01,9.01 11/11/10 INNOTRAC CORP GA 2.02,9.01 11/15/10 INTEGRYS ENERGY GROUP, INC. WI 8.01,9.01 11/15/10 INTERACTIVE DATA CORP/MA/ DE 2.02,8.01,9.01 11/05/10 IPAYMENT INC DE 2.02,9.01 11/15/10 IRVINE SENSORS CORP/DE/ DE 1.01,2.03,3.02 11/08/10 Isilon Systems, Inc. DE 1.01,8.01,9.01 11/14/10 ITEX CORP NV 7.01,9.01 11/08/10 IVAX DIAGNOSTICS INC DE 2.02,9.01 11/15/10 JACK IN THE BOX INC /NEW/ DE 8.01,9.01 11/15/10 JARDEN CORP DE 1.01,2.03,9.01 11/09/10 KAISER ALUMINUM CORP DE 5.02,9.01 11/09/10 Kaiser Federal Financial Group, Inc. MD 8.01,9.01 11/15/10 KAMAN CORP CT 8.01,9.01 11/15/10 KENMAR GLOBAL TRUST DE 1.01,1.02,9.01 11/12/10 Kentucky First Federal Bancorp 5.07 11/11/10 KITE REALTY GROUP TRUST MD 7.01,9.01 11/15/10 Kiwibox.Com, Inc. DE 7.01,9.01 11/15/10 KRATOS DEFENSE & SECURITY SOLUTIONS, DE 1.01,8.01,9.01 11/13/10 KRONOS WORLDWIDE INC 7.01,9.01 11/15/10 LANNETT CO INC DE 2.02,9.01 11/11/10 LAS VEGAS SANDS CORP NV 5.02,9.01 11/13/10 LBI MEDIA HOLDINGS INC 2.02,9.01 11/15/10 LEE ENTERPRISES, INC DE 2.02,9.01 11/08/10 AMEND LHC Group, Inc 5.02,9.01 11/15/10 LianDi Clean Technology Inc. NV 2.02,9.01 11/15/10 LIBERTY STAR URANIUM & METALS CORP. NV 1.01,3.02,8.01 10/20/10 LIGHTPATH TECHNOLOGIES INC DE 8.01,9.01 11/15/10 LML PAYMENT SYSTEMS INC A1 2.02,7.01,9.01 11/12/10 LOWES COMPANIES INC NC 2.02,9.01 11/15/10 MACE SECURITY INTERNATIONAL INC DE 2.02,9.01 11/15/10 MAGNUM HUNTER RESOURCES CORP DE 1.01,1.02,8.01,9.01 11/12/10 Magyar Bancorp, Inc. DE 2.02,9.01 11/15/10 MAKEMUSIC, INC. MN 5.02,8.01,9.01 11/10/10 Marina Biotech, Inc. DE 2.02,9.01 11/10/10 AMEND MASIMO CORP DE 8.01 11/04/10 MASS MEGAWATTS WIND POWER INC MA 7.01 11/15/10 MCGRAW-HILL COMPANIES INC NY 5.02 11/10/10 MEDASSETS INC DE 7.01,9.01 11/15/10 MEDCATH CORP DE 5.02,9.01 11/09/10 MEDIACOM COMMUNICATIONS CORP DE 8.01,9.01 11/15/10 MERRILL LYNCH & CO., INC. DE 1.01,2.01,9.01 11/08/10 Merriman Holdings, Inc DE 2.02,9.01 11/15/10 MESA LABORATORIES INC /CO CO 2.02,9.01 11/10/10 MESA OFFSHORE TRUST TX 2.02,9.01 11/15/10 METLIFE INC DE 8.01,9.01 11/15/10 Midway Gold Corp A1 1.01,9.01 11/12/10 Millennium India Acquisition CO Inc. DE 2.02,8.01,9.01 11/15/10 MINN DAK FARMERS COOPERATIVE ND 8.01 11/15/10 MISONIX INC NY 2.02,9.01 11/15/10 Molycorp, Inc. DE 2.02,9.01 11/15/10 MONMOUTH REAL ESTATE INVESTMENT CORP MD 5.02 11/08/10 Monster Offers NV 1.01,2.03,3.02,7.01,9.01 11/05/10 MPHASE TECHNOLOGIES INC NJ 8.01,9.01 11/15/10 AMEND MULTIMEDIA GAMES INC TX 7.01,9.01 11/15/10 MYLAN INC. PA 8.01,9.01 11/15/10 Myrexis, Inc. DE 5.07 11/11/10 MZT Holdings, Inc. DE 8.01,9.01 11/15/10 National Investment Managers Inc. FL 7.01,9.01 11/15/10 Naugatuck Valley Financial Corp X1 1.02,9.01 11/12/10 NCI, Inc. DE 5.02,9.01 11/10/10 NCO Group, Inc. DE 2.02,7.01,9.01 11/15/10 NETLIST INC DE 2.02,9.01 11/15/10 NEXT GENERATION ENERGY CORP. NV 8.01 10/22/10 NORD RESOURCES CORP DE 2.02,9.01 11/15/10 NORDSTROM INC WA 2.02,7.01,9.01 11/15/10 NORTECH SYSTEMS INC MN 1.01,9.01 11/15/10 NORTH EUROPEAN OIL ROYALTY TRUST DE 2.02,9.01 10/31/10 NORTHERN MINERALS INC. NV 4.01 10/20/10 NORTHWESTERN CORP DE 7.01,9.01 11/15/10 NowAuto Group, Inc. NV 2.02,7.01,9.01 11/15/10 NU HORIZONS ELECTRONICS CORP DE 8.01 11/15/10 NUTRACEA CA 8.01,9.01 11/11/10 Nutrastar International Inc. NV 2.02,7.01,9.01 11/15/10 NUTRITION 21 INC NY 2.02,9.01 11/12/10 Oasis Petroleum Inc. DE 2.02,9.01 11/09/10 Obagi Medical Products, Inc. DE 1.01,9.01 11/15/10 OCEANEERING INTERNATIONAL INC DE 7.01 11/15/10 OI CORP OK 5.07,7.01,9.01 11/15/10 OLD POINT FINANCIAL CORP VA 7.01,9.01 11/15/10 Oncothyreon Inc. DE 4.01,9.01 11/11/10 ONVIA INC DE 2.02,5.02,5.03,8.01,9.01 11/09/10 Optelecom-NKF, Inc. DE 3.01 06/17/10 OPTION PLACEMENT, INC. NV 1.01,2.01,3.02,5.01,5.02,5.03, 11/15/10 5.06,5.07,9.01 Orange 21 Inc. DE 2.02,9.01 11/15/10 Pacific Ethanol, Inc. DE 2.02,9.01 11/15/10 PACTIV CORP DE 8.01,9.01 11/12/10 PAETEC Holding Corp. 7.01,9.01 11/15/10 PAETEC Holding Corp. 8.01,9.01 11/15/10 PALATIN TECHNOLOGIES INC DE 2.02,9.01 11/15/10 PARK OHIO HOLDINGS CORP OH 9.01 08/31/10 AMEND PARKVIEW GROUP INC 1.01,2.01,3.02,4.01,5.01,5.02, 11/10/10 5.06,8.01,9.01 PAULSON CAPITAL CORP OR 2.02,9.01 11/15/10 PLUM CREEK TIMBER CO INC DE 2.03,9.01 11/15/10 PLY GEM HOLDINGS INC DE 2.02 11/15/10 PORTFOLIO RECOVERY ASSOCIATES INC DE 1.02 11/10/10 POWERSECURE INTERNATIONAL, INC. DE 7.01,9.01 11/10/10 PowerShares DB G10 Currency Harvest F DE 8.01 11/15/10 PRECISION OPTICS CORPORATION INC MA 1.01,9.01 11/15/10 PRIMUS TELECOMMUNICATIONS GROUP INC DE 2.02,9.01 11/15/10 PROFESSIONAL VETERINARY PRODUCTS LTD NE 7.01,9.01 11/12/10 PROGRESS ENERGY INC NC 7.01,9.01 09/30/10 PROS Holdings, Inc. DE 5.02,9.01 11/15/10 QKL Stores Inc. DE 2.02,9.01 11/15/10 QUANTUM CORP /DE/ DE 1.01,1.02,2.03,3.02,8.01,9.01 11/09/10 Rand Logistics, Inc. DE 7.01,9.01 11/10/10 REDWOOD TRUST INC MD 7.01,8.01,9.01 11/15/10 REGENERON PHARMACEUTICALS INC NY 5.02,9.01 11/15/10 RESMED INC DE 5.07 11/11/10 Resolute Energy Corp DE 2.02,9.01 11/15/10 RIGHTNOW TECHNOLOGIES INC MT 8.01,9.01 11/15/10 RODMAN & RENSHAW CAPITAL GROUP, INC. DE 2.02,8.01 11/15/10 ROWAN COMPANIES INC DE 7.01,9.01 11/15/10 RVUE HOLDINGS, INC. NV 2.01 05/13/10 AMEND RXI PHARMACEUTICALS CORP 2.02,9.01 11/15/10 S&W Seed Co DE 2.02,9.01 11/15/10 SALAMON GROUP INC 4.01 11/15/10 AMEND Sally Beauty Holdings, Inc. 1.01,1.02,2.03 11/12/10 SALLY HOLDINGS LLC DE 1.01,1.02,2.03 11/12/10 Santa Lucia Bancorp CA 2.02,9.01 11/15/10 SCANA CORP SC 7.01,9.01 11/15/10 Secure Luggage Solutions Inc. 1.01,9.01 11/07/10 SELECT MEDICAL HOLDINGS CORP 5.02,9.01 11/10/10 SENESCO TECHNOLOGIES INC DE 2.02,9.01 11/15/10 SENETEK PLC /ENG/ 1.01 11/09/10 SERVICEMASTER CO DE 2.02,7.01,9.01 11/15/10 SI Financial Group, Inc. MD 1.01,9.01 11/10/10 SI Financial Group, Inc. X1 1.01,9.01 11/10/10 SIGMA ALDRICH CORP DE 5.02,7.01,9.01 11/14/10 SILGAN HOLDINGS INC DE 8.01,9.01 11/15/10 SILICA RESOURCES CORP NV 5.02 11/07/10 Solar Power, Inc. CA 2.02,9.01 11/15/10 SOLERA HOLDINGS, INC DE 5.07 11/10/10 SOUTH AMERICAN GOLD CORP. NV 5.02,9.01 11/09/10 SouthPeak Interactive CORP DE 2.02,9.01 11/15/10 SP Bancorp, Inc. MD 2.02,9.01 11/15/10 SPAR GROUP INC DE 8.01,9.01 11/12/10 SPHERIX INC DE 2.02,9.01 11/15/10 Spirit AeroSystems Holdings, Inc. DE 8.01,9.01 11/15/10 Spirit AeroSystems Holdings, Inc. DE 8.01,9.01 11/15/10 ST. BERNARD SOFTWARE, INC. DE 2.02,9.01 11/15/10 STATION CASINOS INC NV 2.02,9.01 11/15/10 STEIN MART INC FL 8.01,9.01 11/10/10 Stereotaxis, Inc. DE 1.01,9.01 11/10/10 SUMMIT FINANCIAL SERVICES GROUP INC FL 2.02,9.01 11/15/10 Sunstone Hotel Investors, Inc. MD 8.01,9.01 11/09/10 SWIFT ENERGY CO 1.01,8.01,9.01 11/11/10 SYMANTEC CORP DE 8.01 11/15/10 SYSCO CORP DE 5.07 11/12/10 TBS International plc L2 1.01,7.01,9.01 11/15/10 TC PIPELINES LP DE 7.01,9.01 11/15/10 TELEPHONE & DATA SYSTEMS INC /DE/ DE 8.01,9.01 11/15/10 THRESHOLD PHARMACEUTICALS INC DE 8.01,9.01 11/12/10 THT Heat Transfer Technology, Inc. NV 2.02,7.01,9.01 11/15/10 TII NETWORK TECHNOLOGIES, INC. DE 2.02,9.01 11/15/10 Timberline Resources Corp DE 7.01,9.01 11/15/10 TIME WARNER CABLE INC. DE 1.01,9.01 11/09/10 Todays Alternative Energy Corp NY 5.02,9.01 10/31/10 Topaz Resources, Inc. FL 8.01 11/15/10 TOR MINERALS INTERNATIONAL INC DE 2.02,9.01 11/11/10 TOWER BANCORP INC PA 8.01,9.01 11/15/10 TRANS1 INC 2.02,9.01 11/09/10 TRANSATLANTIC PETROLEUM LTD. D0 9.01 08/24/10 AMEND TransDigm Group INC DE 2.02,9.01 11/15/10 TRICO MARINE SERVICES INC DE 1.01,9.01 11/12/10 TRIMERIS INC DE 2.02,9.01 11/15/10 TTM TECHNOLOGIES INC WA 5.02,9.01 11/11/10 U S PHYSICAL THERAPY INC /NV NV 7.01 11/15/10 UDR, Inc. MD 7.01,9.01 11/15/10 ULURU INC. NV 2.02,9.01 11/15/10 UNILENS VISION INC 8.01,9.01 09/15/10 Unilife Corp DE 2.01,7.01,9.01 11/15/10 UNISOURCE ENERGY CORP AZ 2.03,9.01 11/09/10 UNITED COMMUNITY FINANCIAL CORP OH 2.02,9.01 11/12/10 UniTek Global Services, Inc. DE 7.01,8.01,9.01 11/10/10 UNIVERSAL HOSPITAL SERVICES INC MN 7.01,9.01 11/15/10 UNIVERSAL POWER GROUP INC. TX 2.02,9.01 11/11/10 UPSTREAM BIOSCIENCES INC. 8.01,9.01 11/12/10 US BANCORP \DE\ DE 8.01,9.01 11/15/10 US CONCRETE INC DE 2.02,9.01 11/15/10 US DATAWORKS INC NV 2.02,9.01 11/15/10 Vanda Pharmaceuticals Inc. DE 7.01,9.01 11/15/10 VIASPACE Inc. 2.02,9.01 11/15/10 VIEWCAST COM INC DE 2.02,9.01 11/15/10 VIRTUAL MEDICAL INTERNATIONAL, INC. NV 1.01 11/12/10 VISA INC. DE 8.01 11/15/10 Vitacost.com, Inc. DE 7.01,9.01 11/15/10 VLOV INC. NV 8.01,9.01 11/15/10 VOICESERVE INC DE 5.02 11/05/10 Voyager Oil & Gas, Inc. DE 2.02,9.01 11/15/10 WABASH NATIONAL CORP /DE DE 7.01,9.01 11/15/10 WaferGen Bio-systems, Inc. 7.01,9.01 11/15/10 WALTER INVESTMENT MANAGEMENT CORP MD 7.01,9.01 11/15/10 WELLCARE HEALTH PLANS, INC. DE 1.01,9.01 11/09/10 Willdan Group, Inc. DE 2.02,9.01 11/11/10 WINLAND ELECTRONICS INC MN 1.01,8.01,9.01 11/15/10 Wise Metals Group LLC DE 1.02 11/15/10 WORLD WRESTLING ENTERTAINMENTINC DE 5.02,9.01 11/12/10 XOMA LTD /DE/ DE 5.02,9.01 11/15/10 YTB International, Inc. DE 2.02,9.01 11/12/10