|
|
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 ABERCROMBIE & FITCH CO /DE/ DE 2.02,8.01,9.01 08/22/11 ADVANCED PHOTONIX INC DE 5.07 08/19/11 ALASKA PACIFIC BANCSHARES INC AK 5.03,9.01 08/18/11 Allied World Assurance Co Holdings, A 8.01,9.01 08/22/11 Alpha Natural Resources, Inc. DE 8.01 08/22/11 ALPHARX INC DE 1.01,9.01 08/22/11 Ameresco, Inc. DE 8.01,9.01 08/22/11 AMERICAN VANGUARD CORP DE 8.01,9.01 08/19/11 Ampio Pharmaceuticals, Inc. DE 7.01,8.01,9.01 08/19/11 ANN INC. DE 5.07 08/16/11 AMEND APPLIED MICRO CIRCUITS CORP DE 5.02,5.07,9.01 08/16/11 ARCH CAPITAL GROUP LTD. 1.01,1.02,2.03,9.01 08/18/11 ARROW ELECTRONICS INC NY 1.01,2.03,8.01,9.01 08/19/11 ASHLAND INC. KY 7.01,9.01 08/22/11 Atrinsic, Inc. DE 3.01 08/16/11 AVALONBAY COMMUNITIES INC MD 8.01,9.01 08/22/11 AVENTINE RENEWABLE ENERGY HOLDINGS IN DE 5.02,9.01 08/19/11 BCM Energy Partners Inc. DE 1.01,9.01 08/17/11 BELDEN INC. DE 5.07 05/18/11 AMEND BENIHANA INC DE 8.01,9.01 08/22/11 BIODELIVERY SCIENCES INTERNATIONAL IN DE 8.01,9.01 08/22/11 BIOLARGO, INC. DE 5.02,8.01,9.01 08/18/11 BIOLASE TECHNOLOGY INC DE 7.01,9.01 08/18/11 BIOZONE PHARMACEUTICALS, INC. NV 4.01,9.01 08/11/11 AMEND BLACK HILLS CORP /SD/ SD 5.02,9.01 08/16/11 BLUE COAT SYSTEMS INC DE 5.02,9.01 08/17/11 BLUE SPHERE CORP. NV 1.01,3.02,5.02,8.01, 08/17/11 9.01 Blueknight Energy Partners, L.P. DE 7.01,9.01 08/22/11 Brazos International Exploration, Inc NV 5.02 08/19/11 BURLINGTON NORTHERN SANTA FE, LLC 1.01,2.03,9.01 08/17/11 CALLIDUS SOFTWARE INC DE 8.01 08/18/11 AMEND CARROLS RESTAURANT GROUP, INC. 8.01,9.01 08/22/11 CAS MEDICAL SYSTEMS INC DE 5.07 08/22/11 CATO CORP DE 2.02 08/22/11 CENTRAL VALLEY COMMUNITY BANCORP CA 1.01,3.02,3.03,5.02, 08/17/11 5.03,9.01 CEPHALON INC DE 8.01,9.01 08/22/11 Chatham Lodging Trust MD 1.02,9.01 08/19/11 CHEESECAKE FACTORY INC DE 5.07 06/01/11 AMEND CHINA FUND INC MD 7.01,9.01 07/31/11 CHINA MEDICINE CORP NV 4.01,9.01 08/16/11 China Shengda Packaging Group Inc. NV 5.02 08/19/11 CITIZENS SOUTH BANKING CORP DE 8.01,9.01 08/22/11 CLEAN TRANSPORTATION GROUP, INC. 1.01,2.01,5.01,5.05, 08/13/11 5.06,9.01 COBIZ FINANCIAL INC CO 8.01 08/22/11 COLE CORPORATE INCOME TRUST, INC. MD 8.01 08/10/11 Cole Credit Property Trust II Inc MD 8.01 08/09/11 Cole Credit Property Trust III, Inc. MD 8.01 08/10/11 COMPASS MINERALS INTERNATIONAL INC DE 8.01,9.01 08/22/11 CONTINUCARE CORP 5.07 08/22/11 CORNING NATURAL GAS CORP NY 8.01 08/22/11 CPM Holdings, Inc. 8.01 08/22/11 CYBERDEFENDER CORP CA 5.02 08/16/11 CYBERMESH INTERNATIONAL CORP. 1.01,9.01 08/16/11 DEMAND MEDIA INC. DE 7.01,9.01 08/22/11 DENDREON CORP DE 5.02,9.01 08/18/11 DENTSPLY INTERNATIONAL INC /DE/ DE 8.01 08/19/11 DEPOMED INC CA 1.01,1.02 08/22/11 DIGITAL ANGEL CORP DE 2.02,9.01 08/19/11 DIRECT INSITE CORP DE 5.02 08/16/11 Domark International Inc. NV 1.01,9.01 08/21/11 DRIVETIME AUTOMOTIVE GROUP INC DE 1.01,9.01 08/16/11 Electromed, Inc. MN 5.02 08/19/11 EMS TECHNOLOGIES INC GA 1.02,3.01,3.02,3.03, 08/19/11 5.01,5.02,5.03,8.01, 9.01 ENTERPRISE PRODUCTS PARTNERS L P DE 8.01,9.01 08/19/11 ESTEE LAUDER COMPANIES INC DE 5.02 08/17/11 EXCO RESOURCES INC TX 1.01,3.03,8.01,9.01 08/19/11 EXELON CORP PA 8.01 08/10/11 Farm Lands of Guinea, Inc. NV 1.01,3.02,9.01 08/17/11 Federal Home Loan Bank of Boston X1 2.03 08/16/11 FIRST COMMUNITY FINANCIAL CORP PA 8.01,9.01 08/22/11 Firsthand Technology Value Fund, Inc. 8.01,9.01 08/22/11 FIRSTMERIT CORP /OH/ OH 5.07 04/20/11 AMEND FLORIDIAN FINANCIAL GROUP INC 5.02,8.01 08/16/11 FOREST LABORATORIES INC DE 8.01,9.01 08/08/11 FORTUNE BRANDS INC DE 8.01,9.01 08/22/11 Fresh Market, Inc. DE 5.02,5.07 08/18/11 FUSION TELECOMMUNICATIONS INTERNATION DE 1.01,2.03,9.01 08/22/11 GARNER INVESTMENTS INC WY 5.02,5.03,5.07,9.01 08/17/11 GLEACHER & COMPANY, INC. DE 2.05,2.06,5.02,7.01, 08/22/11 8.01,9.01 Global Arena Holding, Inc. DE 4.01,9.01 08/01/11 Global Ecology Corp NV 1.01,2.03,9.01 08/19/11 GLOBECOMM SYSTEMS INC 5.02,9.01 06/23/11 GOLDMAN SACHS GROUP INC DE 9.01 08/22/11 Great American Group, Inc. DE 5.07 08/16/11 GREEN MOUNTAIN COFFEE ROASTERS INC DE 5.02,9.01 07/20/11 GreenHouse Holdings, Inc. 1.01,3.02,8.01 08/17/11 HANCOCK HOLDING CO MS 5.02 08/16/11 HARRIS INTERACTIVE INC DE 5.02 08/16/11 HEALTHSOUTH CORP DE 7.01,9.01 08/22/11 HEMACARE CORP /CA/ CA 9.01 07/11/11 AMEND Heritage Financial Group Inc MD 1.01,2.01,8.01,9.01 08/19/11 HICKOK INC OH 5.02,7.01,9.01 08/22/11 Hoku Corp DE 1.01,2.03,9.01 08/16/11 Horizon Lines, Inc. 1.01,9.01 08/19/11 Hubei Minkang Pharmaceutical Ltd. NV 1.01,9.01 08/16/11 ICONIX BRAND GROUP, INC. DE 5.07 08/18/11 Independent Film Development CORP NV 4.02 08/12/11 INFRAX SYSTEMS, INC. NV 5.03 08/19/11 INSIGNIA SYSTEMS INC/MN MN 8.01 08/16/11 Intellicheck Mobilisa, Inc. DE 1.01,2.03,9.01 08/17/11 Invesco Mortgage Capital Inc. MD 5.07 05/09/11 AMEND IVAX DIAGNOSTICS INC DE 2.02,9.01 08/22/11 Juhl Wind, Inc 5.07,9.01 08/17/11 KENT FINANCIAL SERVICES INC NV 7.01,9.01 08/22/11 KENT INTERNATIONAL HOLDINGS INC NV 8.01 08/22/11 KINETIC CONCEPTS INC TX 8.01,9.01 08/22/11 LEHMAN ABS CORP BOEING NOTE BACKED SE DE 8.01,9.01 08/15/11 LEHMAN ABS CORP BOEING SECURITIES BAC DE 8.01,9.01 08/15/11 LEHMAN ABS CORP DUKE CAPITAL NOTE BAC DE 8.01,9.01 08/15/11 LEHMAN ABS CORP GOLD SACHS CAP I SEC DE 8.01,9.01 08/15/11 LEHMAN ABS CORP GOLDMAN SACHS CAP 1 S DE 8.01,9.01 08/15/11 LEHMAN ABS CORP GOLDMAN SACHS CAP 1 S DE 8.01,9.01 08/15/11 LEHMAN ABS CORP GOLDMAN SACHS NOTE-BK DE 8.01,9.01 08/15/11 LEHMAN ABS CORP MOTOROLA DEBENTURE BA DE 8.01,9.01 08/09/11 Lender Processing Services, Inc. DE 1.01,2.03,9.01 08/18/11 Lincolnway Energy, LLC IA 5.02 08/19/11 LIQUIDITY SERVICES INC 1.01,9.01 08/19/11 LONGWEI PETROLEUM INVESTMENT HOLDING CO 1.01,9.01 08/08/11 Loreto Resources Corp. NV 5.02 08/18/11 MAD CATZ INTERACTIVE INC Z4 5.02,5.07,9.01 08/18/11 MAGNACHIP SEMICONDUCTOR Corp DE 5.02 08/16/11 MAGNUM HUNTER RESOURCES CORP DE 1.01,2.03,3.02,9.01 08/16/11 MANNATECH INC TX 1.01,9.01 08/22/11 MARINE PETROLEUM TRUST TX 7.01,9.01 08/19/11 MARTIN MARIETTA MATERIALS INC NC 8.01 08/16/11 MATERION Corp 1.01,9.01 08/18/11 Mayflower Bancorp Inc MA 2.02,9.01 08/18/11 MedClean Technologies, Inc. DE 4.02 08/17/11 Medical Billing Assistance, Inc. CO 1.01,8.01,9.01 06/30/11 MERGE HEALTHCARE INC DE 2.05 08/05/11 AMEND MGT CAPITAL INVESTMENTS INC DE 2.02,5.02,8.01,9.01 08/16/11 MINDSPEED TECHNOLOGIES, INC DE 2.05 08/18/11 MOTRICITY INC DE 1.01,5.02,9.01 08/20/11 NATIONAL TECHNICAL SYSTEMS INC /CA/ CA 3.03,9.01 08/21/11 NaturalNano, Inc. NV 5.02 08/22/11 NEOPROBE CORP DE 2.01,8.01,9.01 08/17/11 NetApp, Inc. CA 1.01,2.03 08/19/11 Network Dealer Services Holding Corp. UT 1.01,9.01 08/17/11 NEWS CORP 8.01,9.01 08/22/11 Niska Gas Storage Partners LLC DE 7.01,9.01 08/22/11 NORTHERN TRUST CORP DE 1.01,2.03,9.01 08/17/11 Nova Lifestyle, Inc. NV 1.01,3.02,9.01 08/18/11 NOVADEL PHARMA INC DE 1.01,7.01,9.01 08/18/11 O CHARLEYS INC TN 5.02,7.01,9.01 08/22/11 OMEGA HEALTHCARE INVESTORS INC MD 1.01,1.02,2.03,9.01 08/16/11 ONCOR ELECTRIC DELIVERY CO LLC DE 8.01 08/19/11 ORION ENERGY SYSTEMS, INC. WI 4.01,9.01 08/18/11 OVERSTOCK.COM, INC DE 1.01,2.03,9.01 08/19/11 PACIFIC MERCANTILE BANCORP CA 1.01,3.03,5.03,9.01 08/16/11 PANTRY INC DE 1.01,5.02,7.01,9.01 08/16/11 PATRICK INDUSTRIES INC IN 5.02,9.01 08/18/11 Phillips Edison - ARC Shopping Center MD 9.01 06/10/11 AMEND PHYSICIANS FORMULA HOLDINGS, INC. DE 4.01,9.01 08/16/11 PLANTRONICS INC /CA/ DE 1.01,9.01 08/19/11 PMI GROUP INC DE 7.01,9.01 08/19/11 POLARIS INDUSTRIES INC/MN MN 1.01,2.03,9.01 08/18/11 PREMIER EXHIBITIONS, INC. FL 1.01,9.01 08/16/11 PROGRESSIVE CORP/OH/ OH 8.01,9.01 08/17/11 QUALITY DISTRIBUTION INC FL 1.01,1.02,2.03,9.01 08/19/11 QUANTUM CORP /DE/ DE 5.02,9.01 08/17/11 QUEST DIAGNOSTICS INC DE 8.01 07/28/11 RADIANT SYSTEMS INC GA 8.01,9.01 08/22/11 RADIENT PHARMACEUTICALS Corp DE 5.02,7.01,9.01 08/22/11 RASER TECHNOLOGIES INC UT 7.01,9.01 08/19/11 RAVEN INDUSTRIES INC SD 2.02,9.01 08/22/11 REAL ESTATE ASSOCIATES LTD VI CA 1.01,2.01,9.01 08/16/11 REGAL BELOIT CORP WI 7.01,9.01 08/22/11 REGAL BELOIT CORP WI 1.01,9.01 08/22/11 Regeneca, Inc. NV 5.02,9.01 08/19/11 REGENERON PHARMACEUTICALS INC NY 7.01,9.01 08/22/11 RICKS CABARET INTERNATIONAL INC TX 5.07 08/16/11 S1 CORP /DE/ DE 8.01,9.01 08/22/11 SAN JUAN BASIN ROYALTY TRUST TX 2.02,9.01 08/19/11 SANDY SPRING BANCORP INC MD 8.01,9.01 08/19/11 SANTARUS INC DE 1.01,1.02,2.01,7.01, 08/22/11 9.01 SELECT COMFORT CORP MN 7.01,9.01 08/22/11 SHARPS COMPLIANCE CORP DE 2.02,9.01 08/22/11 Shengkai Innovations, Inc. FL 4.01,9.01 08/04/11 AMEND ShoreTel Inc CA 1.01,5.02 08/17/11 SIGMATRON INTERNATIONAL INC DE 5.02 08/17/11 SMUCKER J M CO OH 5.07 08/17/11 TAIWAN FUND INC DE 7.01,9.01 07/31/11 TEAM HEALTH HOLDINGS INC. DE 5.02 08/09/11 Tennessee Valley Authority 5.02 08/16/11 TITAN INTERNATIONAL INC IL 8.01,9.01 08/22/11 TOMI Environmental Solutions, Inc. FL 5.02 08/17/11 TORCH ENERGY ROYALTY TRUST DE 2.02,9.01 08/19/11 Tsingda eEDU Corp E9 8.01 08/21/11 UNITED FIRE & CASUALTY CO IA 5.03,8.01 08/19/11 UNITED FIRE & CASUALTY CO IA 5.07 05/18/11 AMEND US CONCRETE INC DE 5.02,9.01 08/22/11 USA TRUCK INC DE 8.01,9.01 08/22/11 Valeant Pharmaceuticals International A6 5.02,9.01 08/18/11 VCA ANTECH INC DE 1.01,2.03,8.01,9.01 08/16/11 VCA ANTECH INC DE 5.02,9.01 08/18/11 VERTEX PHARMACEUTICALS INC / MA MA 8.01 08/22/11 Vican Resources, Inc. NV 4.01,9.01 08/17/11 AMEND Vitacost.com, Inc. DE 5.02,9.01 08/18/11 VYCOR MEDICAL INC DE 4.02,8.01 08/22/11 AMEND WABASH NATIONAL CORP /DE DE 1.01,9.01 08/22/11 WACCAMAW BANKSHARES INC NC 3.01,9.01 08/16/11 WELLCARE HEALTH PLANS, INC. DE 1.02,9.01 08/18/11 WELLS REAL ESTATE INVESTMENT TRUST II MD 7.01,9.01 08/22/11 Western Union CO DE 8.01,9.01 08/22/11 Win Gaming Media, Inc. NV 1.01,2.01,3.02,9.01 08/22/11 AMEND WORLD WRESTLING ENTERTAINMENTINC DE 5.02,8.01,9.01 08/22/11 WRIGHT MEDICAL GROUP INC DE 8.01 08/16/11 Zagg INC NV 5.07 06/23/11 AMEND Zoo Entertainment, Inc DE 2.02,9.01 08/22/11 AIR T INC DE 1.01,9.01 08/22/11 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 08/23/11 Alpha Natural Resources, Inc. DE 7.01 08/23/11 Alto Group Holdings Inc. NV 1.01,3.02 08/17/11 AMBASSADORS INTERNATIONAL INC DE 7.01,9.01 08/22/11 American Electric Technologies Inc FL 5.02 08/18/11 AMERICAN WOODMARK CORP VA 2.02,9.01 08/23/11 AMERITYRE CORP NV 2.02,5.02,8.01 03/14/11 AMTECH SYSTEMS INC AZ 8.01,9.01 08/17/11 APAC CUSTOMER SERVICES, INC IL 8.01,9.01 08/17/11 ASHLAND INC. KY 2.01,8.01,9.01 08/23/11 ASSURED GUARANTY LTD D0 7.01 08/23/11 Bacterin International Holdings, Inc. DE 7.01,9.01 08/23/11 BAKER HUGHES INC DE 1.01,9.01 08/17/11 Bella Petrellas Holdings, Inc. FL 1.01,2.01 08/22/11 BIGGEST LITTLE INVESTMENTS LP DE 8.01 08/22/11 BIO KEY INTERNATIONAL INC DE 7.01,9.01 08/19/11 BOLT TECHNOLOGY CORP CT 2.02,5.02,9.01 08/18/11 BORDERS GROUP INC MI 7.01,9.01 08/22/11 BRAINSTORM CELL THERAPEUTICS INC 5.02,9.01 08/22/11 BROADWAY FINANCIAL CORP \DE\ DE 8.01,9.01 08/23/11 Capstone Therapeutics Corp. DE 7.01,9.01 08/23/11 CARDINAL FINANCIAL CORP VA 5.02,9.01 08/17/11 CITY HOLDING CO WV 8.01 08/19/11 CNB FINANCIAL CORP/PA PA 5.07 04/19/11 AMEND COMMUNICATIONS SYSTEMS INC MN 5.02 08/11/11 CORE MOLDING TECHNOLOGIES INC DE 8.01,9.01 08/22/11 CORINTHIAN COLLEGES INC 2.02,9.01 08/23/11 Cornerstone Financial Corp NJ 5.02,9.01 08/18/11 Counsel RB Capital Inc. FL 5.02,9.01 08/19/11 CROSS COUNTRY HEALTHCARE INC DE 2.02,7.01,9.01 08/23/11 CVS CAREMARK CORP DE 3.03,8.01,9.01 08/22/11 DAKTRONICS INC /SD/ SD 2.02,9.01 08/23/11 DealerTrack Holdings, Inc. DE 1.01,8.01,9.01 08/19/11 Delanco Bancorp, Inc 5.02 08/17/11 Desert Hawk Gold Corp. NV 5.02 08/22/11 DREW INDUSTRIES INC DE 8.01,9.01 08/22/11 EAGLE ROCK ENERGY PARTNERS L P DE 1.01,9.01 08/18/11 Employers Holdings, Inc. NV 8.01 08/23/11 ENCORE WIRE CORP DE 5.07 05/03/11 AMEND ENVIRONMENTAL SOLUTIONS WORLDWIDE INC FL 8.01,9.01 08/23/11 EURONET WORLDWIDE INC DE 1.01,1.02,2.03,3.03, 08/18/11 7.01,9.01 EURONET WORLDWIDE INC DE 7.01,9.01 08/22/11 Ever-Glory International Group, Inc. FL 5.02 08/19/11 EVERGREEN ENERGY INC DE 7.01,9.01 08/23/11 Federal Home Loan Bank of Chicago X1 2.03 08/17/11 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 08/18/11 Federal Home Loan Bank of Des Moines X1 2.03,9.01 08/19/11 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 08/23/11 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 08/17/11 Federal Home Loan Bank of San Francis X1 2.03 08/17/11 Federal Home Loan Bank of Seattle 2.03 08/17/11 Federal Home Loan Bank of Topeka 2.03,9.01 08/17/11 First Guaranty Bancshares, Inc. LA 5.02 08/18/11 GENESIS ENERGY LP DE 1.01,2.03,8.01,9.01 08/19/11 GLOBAL ENERGY INC NV 8.01 08/23/11 Grand Canyon Education, Inc. DE 5.02,8.01 08/23/11 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 08/23/11 Great Wall Builders Ltd., TX 1.01,2.01,3.02,5.01, 08/22/11 5.02,9.01 HANDY & HARMAN LTD. DE 5.02 08/18/11 HCP, INC. MD 7.01,9.01 08/22/11 HDS INTERNATIONAL CORP. NV 1.01,2.03,7.01,9.01 08/22/11 HEINZ H J CO PA 2.02,9.01 08/23/11 HELIX ENERGY SOLUTIONS GROUP INC MN 7.01,9.01 08/22/11 Higher One Holdings, Inc. DE 1.01,1.02,8.01,9.01 08/22/11 HORMEL FOODS CORP /DE/ DE 8.01,9.01 08/22/11 HOUSING PROGRAMS LTD CA 8.01 08/18/11 ID SYSTEMS INC DE 1.01,3.02,8.01,9.01 08/22/11 Integrated Management Information, In 8.01 08/23/11 ITERIS, INC. DE 8.01 08/22/11 ITERIS, INC. DE 8.01 08/23/11 KeyOn Communications Holdings Inc. DE 5.02,9.01 08/17/11 LANTRONIX INC DE 5.02,9.01 08/17/11 Legend Oil & Gas, Ltd. CO 8.01,9.01 08/18/11 Longhai Steel Inc. NV 5.02 08/23/11 LYONHEART CAPITAL, INC. NV 1.01,5.03 08/22/11 Magnolia Solar Corp NV 8.01,9.01 08/23/11 MAINSOURCE FINANCIAL GROUP IN 8.01,9.01 08/23/11 MAXIM INTEGRATED PRODUCTS INC DE 8.01 08/18/11 MEADOWBROOK INSURANCE GROUP INC MI 8.01,9.01 08/23/11 MEDASSETS INC DE 8.01,9.01 08/23/11 MEDTRONIC INC MN 2.02,9.01 08/23/11 MERRILL LYNCH DEPOSITOR INC PPLUS TRU DE 8.01,9.01 08/15/11 MERRILL LYNCH DEPOSITOR INC PPLUS TRU DE 8.01,9.01 08/15/11 MERRILL LYNCH DEPOSITOR INC PPLUS TRU DE 8.01,9.01 08/15/11 MERRILL LYNCH DEPOSITOR INC PREFERRED DE 8.01,9.01 08/15/11 MERRILL LYNCH DEPOSITOR INC PREFERRED DE 8.01,9.01 08/15/11 META FINANCIAL GROUP INC DE 8.01,9.01 08/23/11 METROPOLITAN HEALTH NETWORKS INC FL 8.01,9.01 08/23/11 MINDSPEED TECHNOLOGIES, INC DE 5.02,9.01 08/17/11 Modern Mobility Aids, Inc. NV 8.01 08/23/11 NATIONAL HOLDINGS CORP DE 2.02,9.01 08/15/11 NATIONAL WESTERN LIFE INSURANCE CO CO 8.01 08/19/11 NOBLE ENERGY INC DE 1.01 08/17/11 NorthStar Real Estate Income Trust, I MD 7.01 08/11/11 NUCLEAR SOLUTIONS INC NV 8.01 08/23/11 OFFICEMAX INC DE 5.02,9.01 08/18/11 OMNICARE INC DE 8.01,9.01 08/23/11 ORGANA GARDENS INTERNATIONAL 1.01 08/17/11 PLANTRONICS INC /CA/ DE 5.02 08/22/11 PPLUS Trust Series GSC-2 DE 8.01,9.01 08/15/11 PPLUS TRUST SERIES GSC-3 DE 8.01,9.01 08/15/11 PROGRESS ENERGY INC NC 8.01,9.01 08/23/11 PSP Industries, Inc. UT 5.02 08/18/11 REALPAGE INC DE 1.01,7.01,9.01 08/22/11 REGAL BELOIT CORP WI 7.01,9.01 08/22/11 RESPECT YOUR UNIVERSE, INC. NV 1.01,3.02,5.02,9.01 08/19/11 ShengdaTech, Inc. 1.03,2.04,5.02,7.01, 08/19/11 9.01 Sino Clean Energy Inc NV 2.02,9.01 08/23/11 SIRONA DENTAL SYSTEMS, INC. DE 8.01,9.01 08/22/11 SkyPeople Fruit Juice, Inc FL 5.07 08/18/11 SKYSTAR BIO-PHARMACEUTICAL CO NV 8.01,9.01 08/22/11 SOUTHWEST AIRLINES CO TX 5.02 08/17/11 STEIN MART INC FL 2.02,9.01 08/18/11 TAPIMMUNE INC NV 7.01,9.01 08/23/11 TEMPLE INLAND INC DE 8.01 08/22/11 Territorial Bancorp Inc. MD 8.01,9.01 08/18/11 THOR INDUSTRIES INC DE 5.02 08/17/11 Tiger Oil & Energy, Inc. 1.01,2.01,5.06,9.01 08/30/10 AMEND TOMPKINS FINANCIAL CORP NY 5.02 08/19/11 TRANSATLANTIC PETROLEUM LTD. D0 1.01,3.02,8.01 06/07/11 AMEND TransDigm Group INC DE 7.01,9.01 08/23/11 TUESDAY MORNING CORP/DE DE 2.02,8.01,9.01 08/22/11 VALASSIS COMMUNICATIONS INC DE 5.02,9.01 08/17/11 VIVUS INC CA 1.01,8.01,9.01 08/23/11 VLOV INC. NV 8.01,9.01 08/22/11 WaferGen Bio-systems, Inc. NV 8.01,9.01 08/23/11 WESTERN LIBERTY BANCORP DE 8.01,9.01 08/22/11 WILLIAMS SONOMA INC CA 2.02,9.01 08/23/11
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