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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 1st Century Bancshares, Inc. DE 4.01,9.01 11/04/11 A.C. Moore Arts & Crafts, Inc. PA 8.01 11/03/11 A123 SYSTEMS, INC. DE 1.01 10/31/11 ACCENTIA BIOPHARMACEUTICALS INC 1.01,9.01 10/31/11 ACETO CORP NY 2.02,9.01 11/03/11 ACORDA THERAPEUTICS INC 2.02,9.01 09/30/11 ACTIVE NETWORK INC DE 8.01 11/04/11 ACURA PHARMACEUTICALS, INC NY 1.01,9.01 10/31/11 ADCARE HEALTH SYSTEMS INC OH 1.01,9.01 10/31/11 AEROPOSTALE INC 2.02,9.01 11/03/11 AES CORP DE 2.02,7.01,9.01 11/04/11 AFFILIATED MANAGERS GROUP INC DE 1.01,9.01 11/03/11 AGL RESOURCES INC GA 5.04,9.01 11/04/11 AIS FUTURES FUND IV LP DE 3.02 10/31/11 Aleris International, Inc. DE 2.02,9.01 11/04/11 Alexza Pharmaceuticals Inc. DE 5.02 11/04/11 Alon Refining Krotz Springs, Inc. DE 2.02 11/03/11 Alon USA Energy, Inc. DE 2.02 11/03/11 AlphaMetrix Managed Futures III LLC DE 3.02 11/01/11 ALST Casino Holdco, LLC DE 1.01,2.01,5.02,5.03, 11/01/11 9.01 ALTAIR NANOTECHNOLOGIES INC Z4 4.01,9.01 11/02/11 AMAG PHARMACEUTICALS INC. DE 2.02,2.05,5.02,9.01 11/03/11 AMARIN CORP PLC\UK X0 3.03,9.01 11/04/11 AMEREN CORP MO 2.02,8.01,9.01 11/04/11 AMERICAN DEFENSE SYSTEMS INC DE 5.02,8.01,9.01 11/02/11 AMERICAN DENTAL PARTNERS INC DE 1.01,9.01 10/31/11 AMERICAN EXPRESS CO NY 5.02,9.01 11/04/11 AMERICAN INTERNATIONAL GROUP INC DE 2.02,9.01 11/03/11 AMERICAN RIVER BANKSHARES CA 4.01,9.01 11/01/11 AMERICAN VANGUARD CORP DE 2.02,9.01 11/04/11 AMP Holding Inc. NV 1.01,2.03,3.02,9.01 10/31/11 AOXING PHARMACEUTICAL COMPANY, INC. FL 8.01,9.01 11/03/11 APACHE CORP DE 5.02 11/01/11 Apollo Commercial Real Estate Finance MD 2.02,9.01 11/03/11 Apple REIT Ten, Inc. VA 1.01 11/01/11 APPLIANCE RECYCLING CENTERS OF AMERIC MN 2.02,5.02,9.01 11/02/11 Applied Nanotech Holdings, Inc TX 5.02 10/31/11 APRIA HEALTHCARE GROUP INC DE 2.02,9.01 11/04/11 ARBOR REALTY TRUST INC MD 2.02,9.01 11/03/11 Ardea Biosciences, Inc./DE DE 2.02,9.01 11/04/11 Argo Group International Holdings, Lt 2.02,9.01 11/03/11 ARI NETWORK SERVICES INC /WI WI 5.02,9.01 10/31/11 ASSISTED LIVING CONCEPTS INC NV 2.02,9.01 11/04/11 ASSURED EQUITIES V CORP 5.05,5.07 11/04/11 Augme Technologies, Inc. DE 5.02 10/31/11 Augme Technologies, Inc. DE 5.07 11/01/11 Avantair, Inc DE 5.07 11/03/11 AVIAT NETWORKS, INC. DE 1.01,9.01 11/02/11 BAKERS FOOTWEAR GROUP INC MO 2.02,7.01,9.01 11/03/11 Bank of the Carolinas CORP NC 2.02,9.01 11/03/11 BANKUNITED FINANCIAL CORP FL 8.01,9.01 10/28/11 Banyan Rail Services Inc. DE 3.02 10/31/11 BillMyParents, Inc. CO 1.01,9.01 11/01/11 BIO REFERENCE LABORATORIES INC NJ 1.01 11/02/11 Bio-Carbon Solutions International In NV 1.01,2.01,3.02,9.01 11/03/11 BIOZONE PHARMACEUTICALS, INC. NV 3.02,9.01 10/31/11 Bitzio, Inc. NV 1.01,2.01,9.01 11/04/11 BLACK HILLS CORP /SD/ SD 2.02,9.01 11/02/11 BLUE RIDGE REAL ESTATE CO PA 1.01,9.01 10/31/11 BlueLinx Holdings Inc. DE 5.02,9.01 10/31/11 BON TON STORES INC PA 5.02 10/31/11 BOVIE MEDICAL CORP DE 1.01,2.03 11/03/11 Bridge Capital Holdings CA 2.02,9.01 11/03/11 BRINKER INTERNATIONAL INC DE 5.07,7.01,9.01 11/03/11 BROADCOM CORP CA 8.01,9.01 11/02/11 BROADVIEW NETWORKS HOLDINGS INC DE 5.02 11/04/11 BROADWIND ENERGY, INC. DE 2.02,7.01,9.01 11/04/11 Brookdale Senior Living Inc. DE 2.02,7.01,9.01 11/03/11 BUCKEYE PARTNERS, L.P. DE 5.07 06/07/11 AMEND Butte Highlands Mining Company, Inc. DE 4.01 11/01/11 CAMDEN PROPERTY TRUST TX 2.02,9.01 11/03/11 CAMDEN PROPERTY TRUST TX 5.02 08/09/11 AMEND CARDINAL HEALTH INC OH 5.02,5.07,8.01,9.01 08/02/11 AMEND CARRIAGE SERVICES INC DE 2.02,9.01 11/03/11 CARRIAGE SERVICES INC DE 5.02,8.01,9.01 11/03/11 CARROLS RESTAURANT GROUP, INC. 5.02 11/01/11 CASCADE BANCORP OR 4.01,9.01 10/31/11 CBL & ASSOCIATES PROPERTIES INC DE 5.02 10/31/11 CBRE GROUP, INC. DE 2.01,9.01 10/31/11 CENTRAL EUROPEAN DISTRIBUTION CORP DE 2.02,7.01,9.01 11/04/11 CENTRAL VALLEY COMMUNITY BANCORP CA 4.01,9.01 11/04/11 CENTURY NEXT FINANCIAL Corp LA 2.02,9.01 11/04/11 Chemtura CORP DE 5.02 11/01/11 CHESAPEAKE ENERGY CORP OK 2.01,7.01,8.01,9.01 11/02/11 CHESAPEAKE UTILITIES CORP DE 2.02,9.01 11/04/11 CHICOPEE BANCORP, INC. 8.01,9.01 11/03/11 CHINA FIRE & SECURITY GROUP, INC. 2.01,3.01,3.03,5.01, 11/03/11 5.02,5.03,9.01 CHURCH & DWIGHT CO INC /DE/ DE 2.02,9.01 11/04/11 CIENA CORP DE 1.01 11/03/11 CIFC Corp. DE 5.02 11/01/11 CINCINNATI FINANCIAL CORP OH 7.01,9.01 11/04/11 Cinemark Holdings, Inc. DE 2.02,7.01,9.01 11/04/11 CIT GROUP INC DE 1.01 11/04/11 CLAIBORNE LIZ INC DE 1.01,2.01,7.01,9.01 10/31/11 Clear Skies Solar, Inc DE 1.02 10/31/11 CLOUD PEAK ENERGY INC. DE 7.01,9.01 11/04/11 CME GROUP INC. DE 1.01,2.03,9.01 11/01/11 COBRA ELECTRONICS CORP DE 1.01,3.03,9.01 11/03/11 Cogdell Spencer Inc. MD 2.02,7.01,9.01 11/03/11 COLOMBIA CLEAN POWER & FUELS, INC NV 5.03,9.01 11/04/11 Colony Financial, Inc. MD 8.01 10/27/11 COMFORT SYSTEMS USA INC 2.02,8.01,9.01 11/03/11 COMTECH TELECOMMUNICATIONS CORP /DE/ DE 1.01,9.01 10/31/11 CONSOLIDATED EDISON INC NY 2.02,9.01 11/03/11 Constellation Energy Partners LLC DE 2.02,9.01 11/04/11 CONTINENTAL RESOURCES INC OK 5.02 11/02/11 CONVENIENTCAST INC. NV 1.01,2.01,5.01,5.02, 10/28/11 AMEND 9.01 Cooper Industries plc 8.01 11/01/11 Copano Energy, L.L.C. 2.02,9.01 11/03/11 CORPORATE EXECUTIVE BOARD CO DE 8.01,9.01 11/04/11 COSTAR GROUP INC DE 8.01 11/04/11 COWEN GROUP, INC. 2.02,9.01 11/04/11 CROSSTEX ENERGY INC DE 2.02,9.01 11/04/11 CROSSTEX ENERGY LP DE 2.02,9.01 11/04/11 CubeSmart MD 2.02,7.01,9.01 11/03/11 Deep Down, Inc. NV 5.02 11/03/11 DEVRY INC DE 7.01,9.01 11/03/11 DEWMAR INTERNATIONAL BMC, INC. NV 1.01,9.01 10/28/11 DIGIRAD CORP DE 2.02,9.01 11/04/11 Digital Generation, Inc. DE 5.07,9.01 11/01/11 DIXIE GROUP INC TN 2.02,9.01 11/04/11 DIXIE GROUP INC TN 7.01,9.01 11/04/11 DOVER MOTORSPORTS INC DE 3.01,9.01 11/04/11 DREW INDUSTRIES INC DE 7.01,9.01 11/02/11 DRIL-QUIP INC DE 2.02,9.01 11/04/11 DRINKS AMERICAS HOLDINGS, LTD DE 1.01,3.02,9.01 11/01/11 DTE ENERGY CO MI 2.02,7.01,9.01 11/04/11 DUNE ENERGY INC DE 1.01 11/01/11 DYNEGY INC. DE 7.01,9.01 11/03/11 Eagle Ford Oil & Gas Corp NV 9.01 06/24/11 AMEND EASTERN AMERICAN NATURAL GAS TRUST DE 2.02,9.01 11/04/11 Eastern Insurance Holdings, Inc. PA 2.02,9.01 11/03/11 ECA Marcellus Trust I DE 2.02,9.01 11/04/11 Echo Global Logistics, Inc. DE 5.07 06/08/11 AMEND ECOTALITY, INC. NV 2.02,9.01 11/02/11 EDGEWATER TECHNOLOGY INC/DE/ DE 8.01,9.01 11/04/11 ELECTRONICS FOR IMAGING INC DE 7.01,9.01 11/04/11 Ellington Financial LLC DE 7.01,9.01 11/04/11 EMC INSURANCE GROUP INC IA 1.01,7.01,9.01 11/02/11 Empowered Products, Inc. NV 9.01 06/30/11 AMEND ENERGY PARTNERS LTD DE 2.02,9.01 11/03/11 ENTERGY CORP /DE/ DE 7.01,9.01 11/04/11 Evercore Partners Inc. DE 9.01 08/19/11 AMEND EXELON CORP PA 7.01,9.01 11/04/11 EXIDE TECHNOLOGIES DE 5.07 09/16/11 AMEND EXTERRAN HOLDINGS INC. DE 5.02,9.01 11/04/11 FARMERS & MERCHANTS BANCORP DE 4.01,9.01 11/01/11 Federal Home Loan Bank of Indianapoli X1 5.02,5.07,9.01 11/01/11 Federal Home Loan Bank of Pittsburgh PA 2.02,7.01,9.01 11/04/11 FIRST BUSINESS FINANCIAL SERVICES, IN WI 5.02 11/03/11 FIRST BUSINESS FINANCIAL SERVICES, IN WI 5.02,9.01 11/03/11 First Clover Leaf Financial Corp. MD 5.02,9.01 10/21/11 FIRST COLOMBIA GOLD CORP. NV 5.02 10/31/11 FIRST MERCHANTS CORP IN 8.01 11/02/11 AMEND FIRST UNITED CORP/MD/ MD 2.02,9.01 11/03/11 FLUOR CORP DE 5.02,9.01 11/03/11 FMC TECHNOLOGIES INC DE 5.02,9.01 11/04/11 FONAR CORP DE 8.01 11/03/11 FORCE PROTECTION INC NV 1.01,8.01,9.01 10/31/11 FOSTER WHEELER AG V8 5.07 11/01/11 FOX PETROLEUM INC. NV 2.01,2.03 11/03/11 FRESH START PRIVATE MANAGEMENT, INC. NV 1.01,1.02,2.01,3.02, 10/31/11 5.01,5.03,5.06,9.01 FTI CONSULTING INC MD 7.01,9.01 11/02/11 Fushi Copperweld, Inc. NV 2.02,9.01 11/03/11 FUSION TELECOMMUNICATIONS INTERNATION DE 2.03 11/04/11 GAMETECH INTERNATIONAL INC DE 8.01 11/02/11 GAP INC DE 2.02,9.01 11/03/11 Gas Natural Inc. OH 1.01,2.03,9.01 11/02/11 GASTAR EXPLORATION LTD 2.02,5.02,7.01,9.01 11/03/11 GERMAN AMERICAN BANCORP, INC. IN 2.02,8.01,9.01 11/01/11 GLEN BURNIE BANCORP MD 2.02,9.01 11/03/11 Global Aviation Holdings Inc. DE 8.01,9.01 11/03/11 GLOBAL HEALTH VENTURES INC. NV 1.01,3.02,8.01,9.01 10/27/11 GLOBAL INDUSTRIES LTD LA 2.02,9.01 11/03/11 Global Pharm Holdings Group, Inc. DE 8.01,9.01 11/04/11 GOLDMAN SACHS GROUP INC DE 9.01 11/04/11 GOLDMAN SACHS HEDGE FUND PARTNERS LLC DE 7.01 11/04/11 GRAY TELEVISION INC GA 2.02,9.01 11/04/11 GREAT PLAINS ENERGY INC MO 8.01 11/04/11 GREAT PLAINS ENERGY INC MO 7.01,9.01 11/04/11 GreenHouse Holdings, Inc. 1.01,3.02,9.01 11/01/11 GTX INC /DE/ DE 2.02,9.01 11/04/11 GUIDED THERAPEUTICS INC DE 7.01,9.01 11/04/11 HALLIBURTON CO DE 8.01 11/04/11 Hartman Short Term Income Properties MD 2.01 11/04/11 HARVARD BIOSCIENCE INC DE 2.02,9.01 11/03/11 Heavy Earth Resources, Inc. 5.02 11/01/11 HERCULES TECHNOLOGY GROWTH CAPITAL IN MD 1.01,2.03,9.01 11/02/11 Hines Global REIT, Inc. MD 1.01,5.02,9.01 10/31/11 HINES REAL ESTATE INVESTMENT TRUST IN 1.01,5.02 10/31/11 HOME PROPERTIES INC MD 7.01,9.01 11/03/11 Horsehead Holding Corp 2.02,9.01 11/04/11 HOTEL OUTSOURCE MANAGEMENT INTERNATIO DE 1.01,9.01 11/02/11 HSBC USA INC /MD/ MD 8.01 11/04/11 HUMANA INC DE 5.02,9.01 11/04/11 iBio, Inc. DE 5.02 11/01/11 IDACORP INC ID 7.01,9.01 11/04/11 IDEX CORP /DE/ DE 5.02,9.01 11/01/11 IMATION CORP DE 5.02 11/02/11 IMMUNOMEDICS INC DE 2.02,9.01 11/04/11 INHIBITEX, INC. DE 2.02,9.01 11/04/11 INSIGNIA SYSTEMS INC/MN MN 8.01 11/04/11 InspireMD, Inc. DE 5.02,5.07,9.01 10/31/11 interclick, inc. DE 5.02,9.01 10/31/11 INTERLINE BRANDS, INC./DE DE 2.02,9.01 11/04/11 INTEST CORP DE 2.02 11/02/11 INTRICON CORP PA 1.01 10/31/11 Island Radio, Inc. NV 8.01,9.01 11/04/11 ISTA PHARMACEUTICALS INC DE 5.02 11/01/11 ITT Corp IN 2.01,5.02,5.03,7.01, 10/31/11 9.01 JPMORGAN CHASE & CO DE 8.01,9.01 11/04/11 JPMORGAN CHASE & CO DE 8.01,9.01 11/04/11 JPMORGAN CHASE & CO DE 8.01,9.01 11/04/11 Kearny Financial Corp. X1 5.07,9.01 11/03/11 Kearny Financial Corp. X1 2.02,9.01 11/04/11 KINETIC CONCEPTS INC TX 7.01,9.01 11/04/11 KINETIC CONCEPTS INC TX 8.01,9.01 11/04/11 KKR & Co. L.P. DE 2.02,9.01 11/04/11 KLA TENCOR CORP DE 5.07 11/03/11 KNIGHT CAPITAL GROUP, INC. DE 5.02,9.01 10/31/11 Kodiak Oil & Gas Corp B0 2.02,9.01 11/03/11 KRANEM CORP CO 2.02,4.02 11/04/11 AMEND LAS VEGAS SANDS CORP NV 8.01,9.01 11/04/11 LEAP WIRELESS INTERNATIONAL INC DE 2.02,9.01 10/31/11 LEXINGTON REALTY TRUST MD 2.02,7.01,9.01 11/03/11 LIMITED BRANDS INC DE 2.02,7.01 10/29/11 LKQ CORP DE 1.01,2.03 11/01/11 LoopNet, Inc. DE 8.01 11/04/11 Lumos Networks Corp. VA 1.01,5.02,5.03,9.01 10/31/11 LYRIS, INC. 2.02,9.01 11/04/11 LYRIS, INC. 5.02 11/04/11 Macquarie Infrastructure CO LLC DE 2.02,9.01 11/02/11 Madison Square Garden Co DE 2.02,9.01 11/04/11 MAINLAND RESOURCES INC. 1.01,9.01 10/31/11 MANPOWER INC /WI/ WI 8.01,9.01 11/03/11 MARATHON OIL CORP DE 2.01 11/01/11 MASTEC INC FL 2.02,7.01,9.01 11/03/11 Max Cash Media Inc NV 1.01,2.03,3.02,5.06 08/09/11 MCGRAW-HILL COMPANIES INC NY 8.01,9.01 11/04/11 MCJUNKIN RED MAN HOLDING CORP DE 8.01,9.01 11/04/11 Medytox Solutions, Inc. NV 1.01,2.01,9.01 11/04/11 Medytox Solutions, Inc. NV 1.01 11/04/11 AMEND MERCER GOLD CORP. NV 5.03,9.01 11/04/11 MERITOR INC IN 5.02 11/03/11 METROPOLITAN HEALTH NETWORKS INC FL 5.07 06/14/11 MGE ENERGY INC WI 2.02,9.01 11/04/11 MICROELECTRONICS TECHNOLOGY Co NV 5.02 11/02/11 MICROELECTRONICS TECHNOLOGY Co NV 2.01,9.01 11/04/11 AMEND MIDAMERICAN ENERGY CO IA 7.01,9.01 11/04/11 MIDAMERICAN ENERGY HOLDINGS CO /NEW/ IA 7.01,9.01 11/04/11 MIDDLESEX WATER CO NJ 2.02,9.01 11/04/11 Midwest Energy Emissions Corp. DE 4.02 10/31/11 MONARCH COMMUNITY BANCORP INC MD 2.02,9.01 11/01/11 MOOG INC NY 2.02,9.01 11/04/11 Morningstar, Inc. IL 7.01 11/04/11 MUELLER INDUSTRIES INC DE 8.01,9.01 11/04/11 MusclePharm Corp NV 1.01,3.02,5.03,9.01 10/25/11 National American University Holdings DE 5.02,5.07,8.01,9.01 10/31/11 NATIONAL FUEL GAS CO NJ 2.02,9.01 11/03/11 NATIONAL HEALTHCARE CORP DE 2.02,8.01,9.01 11/03/11 NAVIGATORS GROUP INC DE 2.02,7.01,9.01 11/03/11 NBC ACQUISITION CORP DE 1.01,5.02,9.01 11/03/11 NEOPHOTONICS CORP DE 2.02,9.01 11/04/11 NEW ENERGY TECHNOLOGIES, INC. 7.01,9.01 11/04/11 NEWS CORP 8.01,9.01 11/04/11 NEXTERA ENERGY INC FL 2.02,9.01 11/04/11 NGL Energy Partners LP DE 1.01,2.01,3.02,5.02, 11/01/11 5.03,7.01,9.01 NNN 2002 VALUE FUND LLC 5.02 09/14/11 NNN 2003 VALUE FUND LLC 5.02 09/14/11 NORMAN CAY DEVELOPMENT, INC. NV 5.02 11/04/11 NORTH AMERICAN ENERGY RESOURCES, INC. 2.01,2.03,9.01 11/03/11 NORTH VALLEY BANCORP CA 4.01,9.01 11/01/11 NORTHWEST NATURAL GAS CO OR 2.02,9.01 11/04/11 NSTAR/MA 2.02,9.01 11/04/11 NTELOS HOLDINGS CORP 1.01,2.01,5.02,5.03, 10/31/11 9.01 NYTEX Energy Holdings, Inc. DE 1.01,9.01 11/04/11 OFFICEMAX INC DE 5.02 10/31/11 OIL STATES INTERNATIONAL, INC DE 2.02,9.01 11/03/11 OLYMPIC STEEL INC OH 2.02,9.01 11/04/11 OmniAmerican Bancorp, Inc. MD 2.02,9.01 11/04/11 ONE Bio, Corp. 4.01,9.01 10/25/11 AMEND Opexa Therapeutics, Inc. TX 2.02,9.01 11/04/11 OptimumBank Holdings, Inc. FL 3.01 11/04/11 Options Media Group Holdings, Inc. NV 5.02 11/01/11 ORION ENERGY SYSTEMS, INC. WI 5.02 10/31/11 ORMAT TECHNOLOGIES, INC. DE 2.02,9.01 11/02/11 OSIRIS THERAPEUTICS, INC. DE 2.02,9.01 11/04/11 Otter Tail Corp MN 2.02,5.02,9.01 11/03/11 OWENS MORTGAGE INVESTMENT FUND A CALI CA 4.01 11/03/11 PACIFICORP /OR/ OR 7.01,9.01 11/04/11 PAETEC Holding Corp. 2.02,9.01 11/04/11 PALMETTO BANCSHARES INC SC 2.02,9.01 11/04/11 PARKERVISION INC FL 3.01,9.01 11/02/11 PATHEON INC 5.02,9.01 11/01/11 PDC 2002 D LTD PARTNERSHIP 3.03,5.03,5.07,9.01 10/28/11 PDC 2003-A LP WV 3.03,5.03,5.07,9.01 10/28/11 PDC 2003-B LP WV 3.03,5.03,5.07,9.01 10/28/11 PDC 2003-C LP WV 3.02,5.03,5.07,9.01 10/28/11 PDC 2003-D LP WV 3.03,5.03,5.07,9.01 10/28/11 PEOPLES BANCORPORATION INC /SC/ SC 2.02,9.01 11/03/11 PEPCO HOLDINGS INC DE 2.02,7.01,9.01 11/03/11 PEPCO HOLDINGS INC DE 7.01,9.01 11/03/11 PEPSICO INC NC 7.01,9.01 11/04/11 Perfumania Holdings, Inc. FL 2.02,9.01 11/03/11 PERMA FIX ENVIRONMENTAL SERVICES INC DE 1.01,2.01,2.03,3.02, 10/31/11 5.02,9.01 Pharmasset Inc 8.01,9.01 11/01/11 PharMerica CORP DE 2.02,9.01 11/03/11 PHOENIX COMPANIES INC/DE DE 2.02,9.01 11/02/11 PHOTOMEDEX INC DE 1.01,5.02,9.01 11/04/11 PIEDMONT NATURAL GAS CO INC NC 5.02 11/01/11 Pike Electric CORP 5.02,5.07,9.01 11/03/11 PINNACLE WEST CAPITAL CORP AZ 1.01,1.02,2.03,7.01, 11/04/11 9.01 PLAINS EXPLORATION & PRODUCTION CO DE 2.02,7.01,9.01 11/04/11 PLUMAS BANCORP CA 4.01,9.01 11/01/11 PNM RESOURCES INC NM 1.01,9.01 11/04/11 POWER SOLUTIONS INTERNATIONAL, INC. DE 1.01,2.03,9.01 10/31/11 PREMIER EXHIBITIONS, INC. FL 1.01,1.02,3.02,9.01 10/31/11 PREMIER FINANCIAL BANCORP INC KY 2.02,9.01 11/04/11 PROASSURANCE CORP DE 2.02,7.01,9.01 11/02/11 PROFESSIONAL VETERINARY PRODUCTS LTD NE 1.01,9.01 10/31/11 Propell Corporation. DE 1.01,3.02,9.01 10/23/11 ProUroCare Medical Inc. NV 1.01,2.03,9.01 10/31/11 Public Storage MD 2.02,9.01 09/30/11 Pzena Investment Management, Inc. DE 8.01 10/26/11 Q LOTUS HOLDINGS INC NV 1.01,2.03,9.01 11/02/11 QUIKSILVER INC DE 5.02 10/31/11 RAIT Financial Trust MD 7.01,9.01 10/28/11 RALCORP HOLDINGS INC /MO MO 2.01,9.01 11/04/11 ReachLocal Inc DE 8.01,9.01 11/04/11 REALPAGE INC DE 9.01 08/24/11 AMEND RED MOUNTAIN RESOURCES, INC. FL 3.02 11/01/11 RED MOUNTAIN RESOURCES, INC. FL 3.02 11/04/11 REGAL BELOIT CORP WI 9.01 11/04/11 AMEND REGENCY CENTERS CORP FL 2.02,9.01 11/03/11 REXAHN PHARMACEUTICALS, INC. DE 8.01,9.01 11/04/11 River Rock Entertainment Authority XX 1.01,2.02,9.01 10/31/11 ROBERTS REALTY INVESTORS INC GA 1.01,9.01 10/31/11 ROCKWELL MEDICAL TECHNOLOGIES INC MI 3.02,9.01 11/01/11 RODMAN & RENSHAW CAPITAL GROUP, INC. DE 1.01,3.02,5.02,9.01 10/31/11 ROFIN SINAR TECHNOLOGIES INC DE 2.02,9.01 09/30/11 ROYAL BANCSHARES OF PENNSYLVANIA INC PA 2.02 11/01/11 RT Technologies, Inc. NV 3.02,5.02 10/27/11 SABINE ROYALTY TRUST TX 2.02,9.01 11/03/11 SANTARUS INC DE 1.01 11/03/11 SANTARUS INC DE 1.01,1.02,7.01,9.01 08/22/11 AMEND SCOTTS LIQUID GOLD INC CO 5.02 11/01/11 SEALED AIR CORP/DE DE 8.01,9.01 11/03/11 SELECT MEDICAL HOLDINGS CORP 2.02,9.01 11/03/11 SemGroup Corp DE 2.01,9.01 11/01/11 SENSIENT TECHNOLOGIES CORP WI 2.01,8.01,9.01 11/02/11 SHORE BANCSHARES INC MD 8.01 11/03/11 SILVERSTAR MINING CORP. NV 4.01,9.01 10/27/11 SinoCubate, Inc NV 1.01,9.01 09/26/11 SITEL Worldwide Corp DE 5.02,9.01 10/31/11 SITEL Worldwide Corp DE 8.01,9.01 11/04/11 SM Energy Co DE 7.01,9.01 11/03/11 SOUTHERN MISSOURI BANCORP INC MO 5.07 10/17/11 SOUTHWESTERN ENERGY CO DE 1.01 11/04/11 Spectra Energy Partners, LP DE 2.02,9.01 11/04/11 Spine Pain Management, Inc DE 8.01 11/02/11 SPRINT NEXTEL CORP KS 8.01 11/04/11 SPRINT NEXTEL CORP KS 8.01 11/04/11 STARWOOD PROPERTY TRUST, INC. 2.02,9.01 11/04/11 STEELCASE INC MI 8.01 11/04/11 STELLAR RESOURCES LTD NV 8.01,9.01 11/01/11 STEPAN CO DE 2.03,9.01 11/01/11 Stereotaxis, Inc. DE 1.01,5.02,9.01 10/31/11 STERLING BANCORP NY 8.01 11/03/11 STR HOLDINGS, INC. DE 2.02,9.01 11/03/11 STRATS (SM) TRUST FOR JPMORGAN CHASE 8.01,9.01 11/01/11 STRATS SM TRUST FOR IBM CORP SEC SERI 8.01,9.01 10/31/11 Strats(SM) Trust for JPMorgan Chase C 8.01,9.01 11/01/11 STRATS(SM) Trust For Morgan Stanley S 8.01,9.01 11/01/11 STURM RUGER & CO INC DE 7.01 11/03/11 SUBAYE, INC. 5.02 11/01/11 SUMMIT FINANCIAL GROUP INC WV 3.03,5.03,9.01 11/03/11 SUNPEAKS VENTURES, INC. 5.03,9.01 11/03/11 SYNALLOY CORP DE 2.02,9.01 11/04/11 TD AMERITRADE HOLDING CORP DE 1.01 10/31/11 TECUMSEH PRODUCTS CO MI 2.02,9.01 11/03/11 TELEPHONE & DATA SYSTEMS INC /DE/ DE 2.02,9.01 11/04/11 TENET HEALTHCARE CORP NV 5.07 11/03/11 TETRA TECHNOLOGIES INC DE 2.02,9.01 11/04/11 THOR INDUSTRIES INC DE 2.02,9.01 11/02/11 Timberline Resources Corp DE 3.01,5.02,7.01,9.01 10/31/11 TORCH ENERGY ROYALTY TRUST DE 8.01,9.01 11/02/11 TRANS1 INC 2.02,9.01 11/01/11 TRANSATLANTIC HOLDINGS INC DE 8.01,9.01 11/04/11 TRANSCAT INC OH 2.02,5.02,8.01,9.01 10/31/11 Transcept Pharmaceuticals Inc DE 2.05 07/15/11 AMEND Transocean Ltd. V8 1.01,1.02,2.03,9.01 11/01/11 TREDEGAR CORP VA 2.02,9.01 11/02/11 TreeHouse Foods, Inc. DE 2.02,7.01,9.01 11/04/11 Tropicana Las Vegas Hotel & Casino, I DE 1.01,9.01 11/02/11 U S GOLD CORP CO 7.01,9.01 11/04/11 UFP TECHNOLOGIES INC DE 2.02,9.01 11/03/11 UIL HOLDINGS CORP CT 7.01,9.01 11/04/11 ULTRA PETROLEUM CORP 2.02,9.01 09/30/11 UNISOURCE ENERGY CORP AZ 7.01,9.01 11/04/11 UNITED STATES CELLULAR CORP DE 2.02,9.01 09/30/11 UQM TECHNOLOGIES INC CO 5.02,9.01 11/01/11 URBAN OUTFITTERS INC PA 1.01,9.01 10/31/11 US BANCORP \DE\ DE 7.01,9.01 11/04/11 US CONCRETE INC DE 1.01,2.02,9.01 11/03/11 US GEOTHERMAL INC DE 4.01,9.01 11/04/11 USA REAL ESTATE INVESTMENT TRUST /CA CA 4.01,9.01 11/04/11 USEC INC DE 2.02,9.01 11/04/11 Valley Commerce Bancorp CA 4.01,9.01 11/01/11 Vanda Pharmaceuticals Inc. DE 2.02,9.01 11/04/11 VECTOR GROUP LTD DE 2.02,9.01 11/03/11 VECTREN CORP IN 2.02 11/04/11 VENTAS INC DE 2.02,9.01 11/04/11 VIASAT INC DE 1.01,9.01 10/31/11 W R GRACE & CO DE 5.02 11/03/11 Warner Chilcott plc 2.02,9.01 11/04/11 WASHINGTON POST CO DE 2.02,9.01 11/04/11 WATTS WATER TECHNOLOGIES INC DE 5.02 10/31/11 WEB.COM GROUP, INC. DE 9.01 10/27/11 AMEND WELLS CORE OFFICE INCOME REIT INC 9.01 09/28/11 AMEND WESTFIELD FINANCIAL INC MA 7.01,9.01 11/02/11 WESTINGHOUSE AIR BRAKE TECHNOLOGIES C DE 8.01,9.01 11/03/11 WHITING USA TRUST I DE 2.02,9.01 11/04/11 Wildcap Energy Inc. NV 5.02,8.01 08/10/11 WILLIAM LYON HOMES DE 7.01,8.01,9.01 11/04/11 WINDSTREAM CORP DE 2.02,9.01 11/04/11 Winthrop Realty Trust OH 2.01,2.02,7.01,8.01, 11/03/11 9.01 WIRELESS RONIN TECHNOLOGIES INC MN 2.02,9.01 11/03/11 WNC CALIFORNIA HOUSING TAX CREDITS LP CA 5.07 11/03/11 World Omni Auto Receivables Trust 201 DE 1.01,8.01,9.01 11/02/11 XCEL ENERGY INC MN 7.01 11/04/11 YRC Worldwide Inc. DE 2.02,9.01 11/04/11 ZOOM TECHNOLOGIES INC DE 1.01,9.01 11/03/11 Zoom Telephonics, Inc. DE 8.01,9.01 11/04/11
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