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1.01 |
Entry into a Material Definitive Agreement |
1.02 |
Termination of a Material Definitive Agreement |
1.03 |
Bankruptcy or Receivership |
2.01 |
Completion of Acquisition or Disposition of Assets |
2.02 |
Results of Operations and Financial Condition |
2.03 |
Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant |
2.04 |
Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement |
2.05 |
Cost Associated with Exit or Disposal Activities |
2.06 |
Material Impairments |
3.01 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing |
3.02 |
Unregistered Sales of Equity Securities |
3.03 |
Material Modifications to Rights of Security Holders |
4.01 |
Changes in Registrant's Certifying Accountant |
4.02 |
Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review |
5.01 |
Changes in Control of Registrant |
5.02 |
Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer |
5.03 |
Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year |
5.04 |
Temporary Suspension of Trading Under Registrant's Employee Benefit Plans |
5.05 |
Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics |
5.06 |
Change in Shell Company Status |
6.01 |
ABS Informational and Computational Material. |
6.02 |
Change of Servicer or Trustee. |
6.03 |
Change in Credit Enhancement or Other External Support. |
6.04 |
Failure to Make a Required Distribution. |
6.05 |
Securities Act Updating Disclosure. |
7.01 |
Regulation FD Disclosure |
8.01 |
Other Events |
9.01 |
Financial Statements and Exhibits |
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT 3D SYSTEMS CORP DE 5.07 05/17/11 AbitibiBowater Inc. DE 2.02,9.01 05/17/11 Access to Money, Inc. OR 2.02,9.01 05/16/11 ADEONA PHARMACEUTICALS, INC. DE 2.02,9.01 05/16/11 Ads In Motion, Inc. DE 1.01,2.03,3.02,9.01 05/13/11 Advance America, Cash Advance Centers DE 5.07 05/17/11 Affinia Group Intermediate Holdings I DE 2.05,2.06 05/13/11 AFLAC INC GA 8.01 05/17/11 Air Transport Services Group, Inc. DE 2.02,7.01,9.01 05/17/11 ALIMERA SCIENCES INC DE 1.01,2.03,3.02,7.01, 05/16/11 9.01 ALTAIR NANOTECHNOLOGIES INC 1.01,7.01,9.01 05/17/11 Alto Group Holdings Inc. NV 5.03,9.01 05/17/11 AMERICAN DENTAL PARTNERS INC DE 1.01,8.01,9.01 05/12/11 American Electric Technologies Inc FL 2.02,5.02,5.07,9.01 05/11/11 American Lorain CORP NV 2.02,9.01 05/16/11 AMERICAN MEDICAL ALERT CORP NY 2.02,9.01 05/11/11 AMERICAN NATIONAL BANKSHARES INC VA 8.01,9.01 05/17/11 AMERICAN REALTY INVESTORS INC NV 2.02,5.07,9.01 05/11/11 AMERIGON INC MI 2.01,8.01,9.01 05/16/11 AMERIGROUP CORP 5.05,5.07 05/12/11 AMFIL TECHNOLOGIES, INC. NY 5.02 05/17/11 AMKOR TECHNOLOGY INC DE 7.01,9.01 05/17/11 AMKOR TECHNOLOGY INC DE 8.01,9.01 05/17/11 AMSURG CORP TN 8.01 05/11/11 AMYLIN PHARMACEUTICALS INC DE 8.01,9.01 05/16/11 ANALOG DEVICES INC MA 2.02,9.01 05/17/11 ANCHOR BANCORP WISCONSIN INC WI 3.01 05/13/11 ANHUI TAIYANG POULTRY CO INC DE 2.02,9.01 05/17/11 ANSYS INC DE 5.02,5.03,5.07,9.01 05/11/11 Antero Resources Finance Corp DE 2.02,9.01 05/16/11 APAC CUSTOMER SERVICES, INC IL 7.01,9.01 05/12/11 Apple REIT Ten, Inc. VA 9.01 03/15/11 AMEND Apple REIT Ten, Inc. VA 9.01 03/25/11 AMEND Apple REIT Ten, Inc. VA 9.01 03/04/11 AMEND APRICUS BIOSCIENCES, INC. NV 5.02,5.07 05/16/11 ARK RESTAURANTS CORP NY 2.02,9.01 05/16/11 ARROW RESOURCES DEVELOPMENT INC DE 4.02 05/17/11 AMEND ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 05/17/11 ASSET ACCEPTANCE CAPITAL CORP 5.07 05/12/11 ASSURANT INC 5.03,5.07,9.01 05/12/11 ASTRO MED INC /NEW/ RI 2.02,9.01 05/17/11 AUXILIO INC NV 2.02,9.01 05/17/11 AVISTA CORP WA 5.07 05/12/11 AVNET INC NY 5.02,9.01 05/12/11 AVNET INC NY 8.01,9.01 05/17/11 BANK OF GRANITE CORP DE 5.07 05/16/11 BANKATLANTIC BANCORP INC FL 5.07 05/17/11 BEACON ENTERPRISE SOLUTIONS GROUP INC NV 7.01,9.01 05/16/11 BEHRINGER HARVARD MULTIFAMILY REIT I 7.01,9.01 05/17/11 BEHRINGER HARVARD REIT I INC MD 7.01,9.01 05/17/11 BERKLEY W R CORP DE 5.07 05/17/11 BERKSHIRE BANCORP INC /DE/ DE 5.07 05/12/11 BIOCRYST PHARMACEUTICALS INC DE 5.02,5.07,9.01 05/12/11 BIODELIVERY SCIENCES INTERNATIONAL IN DE 1.01,9.01 05/12/11 AMEND BJs RESTAURANTS INC CA 8.01,9.01 05/17/11 BlackRock Inc. DE 5.02 05/17/11 Blugrass Energy, Inc. NV 3.03,5.03 05/16/11 Bollente Companies Inc. NV 2.01,9.01 05/16/11 Bollente Companies Inc. NV 2.01,9.01 05/16/11 AMEND BORGWARNER INC DE 7.01,9.01 05/16/11 BRAINSTORM CELL THERAPEUTICS INC 7.01,9.01 05/17/11 BRAMPTON CREST INTERNATIONAL INC NV 1.01,3.02,5.01,5.02, 05/13/11 9.01 BRIGHAM EXPLORATION CO DE 8.01,9.01 05/16/11 BRITTON & KOONTZ CAPITAL CORP MS 8.01,9.01 05/17/11 BROADCAST INTERNATIONAL INC UT 5.02,9.01 05/12/11 BROADWAY FINANCIAL CORP \DE\ DE 2.02,9.01 05/16/11 BTHC XV, Inc. DE 1.01,2.03,9.01 01/21/11 BUCKEYE PARTNERS, L.P. DE 1.02 05/17/11 Bullion Monarch Mining, Inc. (NEW) UT 2.02,9.01 05/17/11 BUTLER NATIONAL CORP DE 8.01,9.01 05/17/11 CANYON COPPER CORP. 5.02 05/17/11 CAPITAL ONE FINANCIAL CORP DE 5.02,5.03,5.07,9.01 05/11/11 CASCADE FINANCIAL CORP WA 8.01,9.01 05/17/11 CB RICHARD ELLIS GROUP INC DE 5.07 05/11/11 CBIZ, Inc. DE 5.07 05/12/11 CENTERLINE HOLDING CO DE 2.02,9.01 03/31/10 CENTURYLINK, INC LA 8.01,9.01 05/17/11 CF Industries Holdings, Inc. DE 5.07 05/11/11 China Carbon Graphite Group, Inc. NV 2.02,9.01 05/17/11 China Chemical Corp. DE 2.02,9.01 05/17/11 China Complant Group Inc NV 2.01 03/31/11 China Direct Industries, Inc. FL 2.02,7.01,9.01 05/17/11 China Direct Industries, Inc. FL 7.01,9.01 05/17/11 China Redstone Group, Inc. DE 5.02 03/13/11 CHINA VALVES TECHNOLOGY, INC NV 5.02,9.01 05/17/11 ChinaNet Online Holdings, Inc. NV 2.02,9.01 05/17/11 Cinemark Holdings, Inc. DE 5.07 05/12/11 CKX, Inc. DE 1.01,5.02,8.01,9.01 05/17/11 COAST DISTRIBUTION SYSTEM INC DE 2.02,9.01 05/16/11 COLDWATER CREEK INC DE 1.01,2.02,2.03,9.01 05/17/11 Coleman Cable, Inc. DE 2.01,8.01,9.01 05/16/11 Colonial Financial Services, Inc. MD 8.01,9.01 05/16/11 COMMERCIAL BARGE LINE CO DE 2.02,9.01 05/16/11 CompuCredit Holdings Corp GA 3.01,5.07 05/12/11 Comstock Mining Inc. NV 2.02,9.01 05/17/11 CONNECTICUT WATER SERVICE INC / CT CT 8.01 05/12/11 CONNECTICUT WATER SERVICE INC / CT CT 5.07,8.01,9.01 05/12/11 CONOCOPHILLIPS DE 5.03,5.07,9.01 05/11/11 Copano Energy, L.L.C. 7.01,9.01 05/16/11 CORPORATE OFFICE PROPERTIES TRUST MD 5.07 05/12/11 CORPORATE PROPERTY ASSOCIATES 15 INC MD 7.01,9.01 05/17/11 CORPORATE PROPERTY ASSOCIATES 16 GLOB MD 7.01,9.01 05/17/11 Corporate Property Associates 17 - Gl MD 8.01,9.01 05/17/11 CORRECTIONS CORP OF AMERICA MD 5.02,5.07,9.01 05/11/11 CrowdGather, Inc. NV 7.01,9.01 05/17/11 Cushing MLP Total Return Fund DE 8.01,9.01 05/17/11 CYTRX CORP DE 1.01,9.01 05/13/11 DARLING INTERNATIONAL INC DE 7.01,9.01 05/16/11 DCB FINANCIAL CORP OH 2.02,9.01 05/17/11 DEARBORN BANCORP INC /MI/ MI 8.01 05/17/11 DELL INC DE 2.02,9.01 05/17/11 DIAMOND OFFSHORE DRILLING INC DE 7.01,9.01 05/17/11 DIAMOND OFFSHORE DRILLING INC DE 8.01,9.01 05/17/11 DiamondRock Hospitality Co 7.01,9.01 05/16/11 DiamondRock Hospitality Co 1.01,9.01 05/12/11 DICKS SPORTING GOODS INC DE 2.02,9.01 05/17/11 DreamWorks Animation SKG, Inc. 1.01,9.01 05/13/11 DYNEX CAPITAL INC VA 5.07 05/11/11 E-Debit Global Corp. CO 8.01 05/16/11 EAGLE ROCK ENERGY PARTNERS L P DE 8.01,9.01 05/17/11 EAGLE ROCK ENERGY PARTNERS L P DE 2.01,7.01,9.01 05/17/11 AMEND EARTHLINK INC DE 1.01,2.03,9.01 05/17/11 EASTERN VIRGINIA BANKSHARES INC VA 5.07 05/12/11 EcoGlobal Holdings Corp WI 5.02 05/13/11 EDGAR ONLINE INC DE 5.02 05/12/11 eHealth, Inc. DE 8.01 05/11/11 El Paso Pipeline Partners, L.P. DE 8.01 05/13/11 ELECTRONIC SYSTEMS TECHNOLOGY INC WA 8.01,9.01 05/16/11 Ellington Financial LLC DE 5.07 05/16/11 ELOYALTY CORP DE 5.02 05/11/11 EMERSON ELECTRIC CO MO 7.01 05/17/11 Employers Holdings, Inc. NV 7.01,9.01 05/17/11 EPICOR SOFTWARE CORP DE 1.02,2.03,2.04,3.01, 05/16/11 3.02,3.03,5.01,5.03, 9.01 EPICOR SOFTWARE CORP DE 5.02 05/16/11 EPL Intermediate, Inc. DE 8.01,9.01 05/17/11 EQUUS TOTAL RETURN, INC. DE 8.01,9.01 05/17/11 Europa Acquisition IV, Inc. NV 1.01,5.01,5.02,9.01 05/12/11 Ever-Glory International Group, Inc. FL 2.02,9.01 05/11/11 EVERGREEN ENERGY INC DE 7.01,9.01 05/17/11 ExamWorks Group, Inc. DE 1.01,2.03,9.01 05/12/11 Exterra Energy Inc. NV 4.01 05/16/10 AMEND Extra Space Storage Inc. MD 8.01,9.01 05/11/11 EZCORP INC DE 5.02,8.01,9.01 05/11/11 Fairmount Bancorp, Inc. MD 1.01,9.01 05/11/11 FARO TECHNOLOGIES INC FL 5.07 05/12/11 Federal Home Loan Bank of Atlanta X1 2.03 05/17/11 Federal Home Loan Bank of Boston X1 2.03 05/11/11 Federal Home Loan Bank of Chicago X1 2.03 05/11/11 Federal Home Loan Bank of Dallas 2.03,9.01 05/11/11 Federal Home Loan Bank of Des Moines X1 2.03,9.01 05/13/11 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 05/12/11 Federal Home Loan Bank of New York X1 2.03,9.01 05/11/11 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 05/11/11 Federal Home Loan Bank of San Francis X1 2.03 05/11/11 Federal Home Loan Bank of Seattle 2.03 05/11/11 Federal Home Loan Bank of Topeka 2.03,9.01 05/11/11 FIELDPOINT PETROLEUM CORP CO 2.02,7.01,9.01 05/16/11 First American Silver Corp. NV 1.01,3.02,9.01 04/15/11 FIRST BANCORP /NC/ NC 5.07 05/12/11 FIRST KEYSTONE CORP PA 5.07,7.01,9.01 05/17/11 FIRST MARBLEHEAD CORP 2.02,9.01 05/16/11 FIRST PLACE FINANCIAL CORP /DE/ DE 3.01,8.01,9.01 05/17/11 FISHER COMMUNICATIONS INC WA 5.03,5.07 05/11/11 FLOTEK INDUSTRIES INC/CN/ DE 7.01,9.01 05/17/11 FNB CORP/FL/ FL 1.01,8.01,9.01 05/13/11 FORMCAP CORP. NV 1.01 05/17/11 Full Circle Capital Corp MD 7.01,9.01 05/17/11 FXCM Inc. 8.01,9.01 05/17/11 GALLAGHER ARTHUR J & CO DE 1.01,2.01,9.01 05/12/11 GC China Turbine Corp. NV 2.02,7.01,9.01 05/16/11 General Maritime Corp / MI 5.03,5.07,9.01 05/12/11 GENERAL STEEL HOLDINGS INC NV 7.01,9.01 05/17/11 GENTA INC DE/ DE 8.01,9.01 05/17/11 GENTEX CORP MI 5.07 05/12/11 GEOGLOBAL RESOURCES INC. DE 2.02,8.01,9.01 05/11/11 GEOKINETICS INC DE 2.02,9.01 05/16/11 GILEAD SCIENCES INC DE 5.02,5.03,5.07,9.01 05/12/11 GLOBALSCAPE INC DE 5.02,9.01 05/13/11 GOLDEN QUEEN MINING CO LTD A1 7.01,9.01 05/17/11 GOLDMAN SACHS GROUP INC DE 9.01 05/17/11 Google Inc. DE 8.01,9.01 05/16/11 GRANITE CITY FOOD & BREWERY LTD MN 8.01,9.01 05/17/11 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 05/17/11 GRAPHON CORP/DE DE 8.01 05/11/11 GSI GROUP INC A3 2.02,9.01 05/17/11 GUIDED THERAPEUTICS INC DE 2.02,7.01,9.01 05/17/11 GULF RESOURCES, INC. DE 2.02,8.01,9.01 05/16/11 Gulf United Energy, Inc. NV 7.01,9.01 05/17/11 Hallwood Group Inc DE 2.02,9.01 05/16/11 HAMPSHIRE GROUP LTD DE 2.02,9.01 05/12/11 HANCOCK HOLDING CO MS 8.01,9.01 05/13/11 HARTFORD FINANCIAL SERVICES GROUP INC DE 5.02 05/13/11 HASTINGS ENTERTAINMENT INC TX 2.02,9.01 05/16/11 HAUPPAUGE DIGITAL INC DE 2.02,9.01 05/17/11 HAWAIIAN HOLDINGS INC DE 8.01 05/16/11 HCP, INC. MD 7.01,9.01 05/17/11 HEARUSA INC DE 5.02 05/11/11 HEICO CORP FL 5.04,9.01 05/17/11 HERSHA HOSPITALITY TRUST MD 1.01,3.03,5.03,9.01 05/11/11 HEWLETT PACKARD CO DE 2.02,9.01 05/17/11 HOME DEPOT INC DE 2.02,9.01 05/17/11 INCOME OPPORTUNITY REALTY INVESTORS I NV 2.02,5.07,9.01 05/11/11 INLAND REAL ESTATE CORP MD 8.01,9.01 05/17/11 INSTEEL INDUSTRIES INC NC 5.02,8.01,9.01 05/17/11 INTEGRATED ELECTRICAL SERVICES INC DE 2.02,9.01 05/16/11 INTEL CORP DE 7.01 05/17/11 Iveda Solutions, Inc. NV 5.02 05/13/11 JACK IN THE BOX INC /NEW/ DE 7.01,9.01 05/17/11 JAGGED PEAK, INC. NV 2.02,9.01 05/17/11 John Bean Technologies CORP DE 7.01,9.01 05/16/11 KAR Auction Services, Inc. DE 5.07,8.01 05/12/11 Kentucky First Federal Bancorp 2.02,9.01 05/16/11 KINETIC CONCEPTS INC TX 8.01,9.01 05/17/11 LA JOLLA PHARMACEUTICAL CO DE 8.01 05/16/11 LANDAUER INC DE 5.07 02/10/11 AMEND LCA VISION INC DE 5.02,5.07,7.01,9.01 05/17/11 LEAP WIRELESS INTERNATIONAL INC DE 8.01,9.01 05/17/11 LEAP WIRELESS INTERNATIONAL INC DE 8.01,9.01 05/17/11 LEGGETT & PLATT INC MO 5.07 05/12/11 LEUCADIA NATIONAL CORP NY 5.02,5.07 05/16/11 Liberty Global, Inc. 7.01 05/16/11 Liberty Global, Inc. 8.01,9.01 05/17/11 Lifevantage Corp CO 2.02,9.01 05/17/11 LYFE Communications, Inc. UT 5.02 05/13/11 M&F BANCORP INC /NC/ NC 2.02,9.01 05/16/11 MAINLAND RESOURCES INC. 7.01,9.01 05/17/11 MANITOWOC CO INC WI 1.01,2.03,9.01 05/13/11 Marina Biotech, Inc. DE 1.01,8.01,9.01 05/17/11 MARKWEST ENERGY PARTNERS L P 7.01,9.01 05/17/11 MATTEL INC /DE/ DE 5.07 05/13/11 MAXWELL TECHNOLOGIES INC DE 5.02,5.05,5.07,8.01, 05/11/11 9.01 MediaMind Technologies Inc. DE 5.02 05/17/11 MEDICINOVA INC DE 2.02,9.01 05/17/11 MEDICINOVA INC DE 7.01 05/17/11 MERCER INTERNATIONAL INC. WA 7.01,9.01 05/17/11 MERCURY COMPUTER SYSTEMS INC MA 7.01,9.01 05/17/11 METALS USA HOLDINGS CORP. DE 5.07 05/11/11 MGM Resorts International DE 7.01 05/17/11 MIDDLEBY CORP DE 5.07 05/11/11 MONEYGRAM INTERNATIONAL INC 8.01 05/12/11 MONEYGRAM INTERNATIONAL INC 5.02,5.07,9.01 05/11/11 Monotype Imaging Holdings Inc. DE 5.02,5.07,9.01 05/13/11 Morningstar, Inc. IL 7.01,9.01 05/17/11 MULTI COLOR Corp OH 1.01 05/12/11 NATIONAL SECURITY GROUP INC DE 7.01,9.01 05/16/11 Neiman Marcus, Inc. DE 1.01,2.03 05/17/11 NEOGEN CORP MI 5.02,9.01 05/17/11 NEW JERSEY RESOURCES CORP NJ 1.01,2.03,9.01 05/12/11 NEWPOWER HOLDINGS INC DE 8.01 05/11/11 NGL Energy Partners LP DE 1.01,5.02,5.03,7.01, 05/10/11 9.01 NORTEL NETWORKS CORP 2.02,9.01 05/16/11 NORTHSTAR REALTY 1.01,9.01 05/11/11 NORTHWEST BANCORPORATION INC WA 5.02,5.07 05/16/11 NTELOS HOLDINGS CORP 7.01,9.01 05/16/11 NUCOR CORP DE 5.03,5.07,9.01 05/12/11 NYSE Euronext DE 8.01,9.01 05/17/11 O CHARLEYS INC TN 2.02,7.01,9.01 05/17/11 OBA Financial Services, Inc. MD 5.02,5.07,9.01 05/16/11 OLD SECOND BANCORP INC DE 1.01,8.01,9.01 05/16/11 Oneida Financial Corp. MD 8.01,9.01 05/16/11 OPTI INC CA 8.01 05/16/11 Orange 21 Inc. DE 2.02,9.01 05/16/11 ORIENT EXPRESS HOTELS LTD D0 2.02,9.01 05/17/11 Paradigm Holdings, Inc WY 2.02,9.01 05/17/11 Parametric Sound Corp NV 1.01,2.03,9.01 05/11/11 Pay Mobile, Inc NV 4.01 05/17/11 People's United Financial, Inc. DE 8.01,9.01 05/17/11 People's United Financial, Inc. DE 8.01 05/16/11 PETROHAWK ENERGY CORP DE 8.01,9.01 05/17/11 Philip Morris International Inc. VA 1.01,2.03,8.01,9.01 05/11/11 PHOTRONICS INC CT 2.02,9.01 05/16/11 PIER 1 IMPORTS INC/DE DE 7.01,9.01 05/17/11 PIONEER DRILLING CO TX 7.01,9.01 05/17/11 PIONEER DRILLING CO TX 8.01 05/17/11 PITTSBURGH & WEST VIRGINIA RAILROAD PA 5.03,9.01 05/17/11 PLAINSCAPITAL CORP TX 5.07 05/11/11 PLC SYSTEMS INC B0 2.02,9.01 05/16/11 PPL Corp 1.01,2.03,9.01 05/13/11 Prepaid Card Holdings, Inc. NV 5.03,8.01,9.01 05/17/11 PRIDE INTERNATIONAL INC DE 8.01,9.01 05/17/11 PRIMEDIA INC DE 1.01,9.01 05/15/11 PRIMUS TELECOMMUNICATIONS GROUP INC DE 1.01,2.02,9.01 05/13/11 PRIMUS TELECOMMUNICATIONS GROUP INC DE 5.02 05/11/11 PRIMUS TELECOMMUNICATIONS GROUP INC DE 7.01 05/17/11 PROFILE TECHNOLOGIES INC DE 4.01,4.02,9.01 05/12/11 PROGAMING PLATFORMS CORP DE 4.01,9.01 05/04/11 AMEND ProUroCare Medical Inc. NV 1.01,2.03 05/12/11 PROVIDENT NEW YORK BANCORP DE 7.01,9.01 05/17/11 PYRAMID OIL CO CA 2.02,9.01 05/16/11 QUALSTAR CORP CA 5.02 05/13/11 QUANTUM CORP /DE/ DE 2.02,9.01 05/17/11 RADIENT PHARMACEUTICALS Corp DE 1.01,7.01,9.01 05/16/11 RADIENT PHARMACEUTICALS Corp DE 7.01,9.01 05/17/11 AMEND Rapid Holdings Inc. NV 2.01,4.01,5.01,5.02, 05/12/11 5.03,5.06,9.01 REDWOOD TRUST INC MD 7.01,9.01 05/17/11 REGEN BIOLOGICS INC DE 1.01,1.03,8.01,9.01 05/11/11 Regenicin, Inc. NV 5.02,9.01 05/11/11 REX ENERGY CORP DE 5.07,7.01,9.01 05/12/11 ROGERS CORP MA 5.07 05/12/11 RXI PHARMACEUTICALS CORP 2.02,3.01,9.01 05/12/11 SAKS INC TN 2.02,9.01 05/17/11 SAUL CENTERS INC MD 5.07,8.01,9.01 05/13/11 SCIENTIFIC INDUSTRIES INC DE 8.01 05/17/11 SCRIPPS E W CO /DE OH 5.07 05/12/11 SELECT MEDICAL HOLDINGS CORP 5.07 05/12/11 SENIOR HOUSING PROPERTIES TRUST MD 5.07,8.01,9.01 05/16/11 Sensata Technologies B.V. P7 1.01,1.02,2.03,8.01, 05/11/11 9.01 Sensata Technologies Holding N.V. P7 1.01,1.02,2.03,8.01, 05/11/11 9.01 SENTRY PETROLEUM LTD. 7.01,9.01 05/17/11 SERVICE CORPORATION INTERNATIONAL TX 5.02,5.07,9.01 05/11/11 SIGA TECHNOLOGIES INC DE 1.01,8.01,9.01 05/13/11 SIGA TECHNOLOGIES INC DE 1.01,5.07,9.01 05/17/11 Sino Clean Energy Inc NV 5.02,9.01 05/16/11 SINOCOKING COAL & COKE CHEMICAL INDUS FL 8.01,9.01 05/16/11 SKYWEST INC UT 5.02,9.01 05/11/11 SKYWORKS SOLUTIONS INC DE 5.03,5.07 05/11/11 SMF ENERGY CORP DE 2.02,5.02,9.01 05/11/11 SMITHFIELD FOODS INC VA 2.02,9.01 05/17/11 Snap Interactive, Inc DE 7.01,9.01 05/17/11 Somaxon Pharmaceuticals, Inc. DE 7.01,8.01,9.01 05/13/11 Spine Pain Management, Inc DE 5.02,5.07 05/11/11 SquareTwo Financial Corp DE 1.01,2.03,9.01 05/13/11 ST. BERNARD SOFTWARE, INC. DE 1.01,2.03,9.01 05/12/11 Structural Enhancement Technologies C X0 4.01,9.01 04/05/11 Structural Enhancement Technologies C X0 7.01,9.01 03/11/11 SUBAYE, INC. 5.02 05/12/11 SUFFOLK BANCORP NY 5.02 05/16/11 Summit Hotel Properties, Inc. MD 2.02,9.01 05/16/11 SUNWIN INTERNATIONAL NEUTRACEUTICALS, 7.01,9.01 05/17/11 SUPERIOR UNIFORM GROUP INC FL 8.01 05/17/11 SUTRON CORP VA 2.02,5.07,9.01 05/11/11 SWIFT ENERGY CO 1.01,2.03,9.01 05/17/11 SXC Health Solutions Corp. A6 5.02,5.07 05/11/11 Symetra Financial CORP DE 5.07 05/11/11 SYPRIS SOLUTIONS INC DE 2.02,7.01,9.01 05/17/11 T3 Motion, Inc. DE 5.03,8.01,9.01 05/13/11 TAL International Group, Inc. DE 1.01,2.03,9.01 05/13/11 TANGER FACTORY OUTLET CENTERS INC NC 5.07,7.01,9.01 05/13/11 TAYLOR CAPITAL GROUP INC DE 5.07,8.01,9.01 05/17/11 AMEND TEAMSTAFF INC NJ 2.02,8.01,9.01 05/17/11 TECHNOLOGY RESEARCH CORP FL 3.01,3.03,5.01,5.02, 05/16/11 5.03,9.01 TESSERA TECHNOLOGIES INC DE 5.02 05/12/11 TEXAS CAPITAL BANCSHARES INC/TX 5.02,5.07 05/17/11 THERAVANCE INC DE 8.01,9.01 05/17/11 TJX COMPANIES INC /DE/ DE 2.02,9.01 05/17/11 TOFUTTI BRANDS INC DE 2.02,9.01 05/17/11 TOR MINERALS INTERNATIONAL INC DE 5.07 05/13/11 Tower International, Inc. DE 5.02 05/17/11 TOYOTA MOTOR CREDIT CORP CA 7.01,9.01 05/17/11 TRANS LUX CORP DE 2.02,9.01 05/16/11 TRANS1 INC 2.02,9.01 05/12/11 TRANSDEL PHARMACEUTICALS INC DE 5.02 05/13/11 TRANSWITCH CORP /DE DE 1.01,8.01,9.01 05/17/11 TrueBlue, Inc. WA 5.07 05/11/11 TRUSTCO BANK CORP N Y NY 8.01,9.01 05/17/11 TUCANA LITHIUM CORP. NV 1.01,3.02,5.03,9.01 05/03/11 U S GOLD CORP CO 7.01,9.01 05/17/11 U S PHYSICAL THERAPY INC /NV NV 5.07,8.01 05/17/11 ULTIMATE SOFTWARE GROUP INC DE 5.07 05/17/11 ULURU INC. NV 2.02,9.01 05/17/11 URANIUM ENERGY CORP NV 1.01,8.01,9.01 05/11/11 URBAN OUTFITTERS INC PA 2.02,9.01 05/16/11 Vangent, Inc. DE 2.02,9.01 05/17/11 Vangent, Inc. DE 9.01 09/15/10 AMEND Vaughan Foods, Inc. OK 2.02 05/16/11 VECTREN CORP IN 5.02 05/11/11 VENTAS INC DE 5.07,8.01,9.01 05/12/11 Vertro, Inc. DE 7.01,8.01,9.01 05/11/11 VIASAT INC DE 2.02,9.01 05/17/11 VIASPACE Inc. 2.02,9.01 05/17/11 VICOR CORP DE 8.01,9.01 05/16/11 VIVUS INC CA 7.01,9.01 05/17/11 Vocus, Inc. DE 8.01 05/11/11 Voyager Oil & Gas, Inc. DE 2.02,9.01 05/17/11 Vystar Corp GA 2.02,7.01,9.01 05/17/11 WACCAMAW BANKSHARES INC NC 5.02 05/13/11 WAL MART STORES INC DE 2.02,9.01 05/17/11 WASTE MANAGEMENT INC DE 5.07 05/13/11 WEBMEDIABRANDS INC. DE 1.01,2.01,3.02,5.02, 05/11/11 8.01,9.01 WEST SUBURBAN BANCORP INC IL 5.07 05/11/11 Westway Group, Inc. DE 2.02,9.01 05/16/11 WESTWOOD ONE INC /DE/ DE 2.02,9.01 05/16/11 Whitestone REIT Operating Partnership DE 2.02,7.01,9.01 05/16/11 WILLIAMS CONTROLS INC DE 5.07 02/22/11 WIZZARD SOFTWARE CORP /CO CO 7.01 05/17/11 WRIGHT MEDICAL GROUP INC DE 5.07 05/11/11 XFONE INC. NV 2.02,9.01 05/17/11 XZERES Corp. NV 5.03 05/16/11 AMEND YRC Worldwide Inc. DE 1.01,8.01,9.01 05/16/11 YUHE INTERNATIONAL, INC. NV 2.02,9.01 05/16/11 ZIONS BANCORPORATION /UT/ UT 9.01 05/16/11 ZIPCAR INC 1.01,9.01 05/11/11
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