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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 SOURCE CORP IN 3.01 04/19/12 ACADIA REALTY TRUST MD 8.01 04/24/12 Accelerated Acquisition XV, Inc DE 5.03 04/23/12 ACORDA THERAPEUTICS INC 8.01,9.01 04/25/12 AGENUS INC DE 2.02,9.01 04/25/12 AIR LEASE CORP DE 8.01 04/24/12 AKAMAI TECHNOLOGIES INC DE 2.02,5.02,9.01 04/25/12 ALICO INC FL 5.02 04/19/12 ALION SCIENCE & TECHNOLOGY CORP DE 5.02 04/23/12 ALLEGHENY TECHNOLOGIES INC DE 2.02,9.01 04/25/12 ALLEGHENY TECHNOLOGIES INC DE 8.01,9.01 04/25/12 Allegiant Travel CO NV 2.02,9.01 04/25/12 Alliance Bancorp, Inc. of Pennsylvani PA 2.02,5.07,9.01 04/25/12 Allied Nevada Gold Corp. DE 7.01,9.01 04/23/12 Ally Financial Inc. DE 1.02 04/25/12 ALPHA & OMEGA SEMICONDUCTOR Ltd 2.02,9.01 04/25/12 AMBASSADORS GROUP INC DE 2.02,9.01 04/23/12 AMEREN CORP MO 5.07 04/24/12 AMERICAN BIO MEDICA CORP NY 1.01,1.02,5.02,9.01 04/20/12 AMERICAN CAMPUS COMMUNITIES INC MD 2.02,7.01,9.01 04/24/12 AMERICAN ELECTRIC POWER CO INC NY 5.07 04/24/12 AMERICAN INTERNATIONAL VENTURES INC / DE 1.01,7.01,9.01 04/25/12 American Patriot Financial Group, Inc TN 5.02 07/28/11 American Realty Capital Trust III, In MD 2.03 04/20/12 Ameris Bancorp GA 2.02,9.01 04/24/12 AMERISERV FINANCIAL INC /PA/ PA 5.07 04/25/12 AMPAL-AMERICAN ISRAEL CORP NY 5.02 04/25/12 Ancestry.com Inc. DE 2.02,8.01,9.01 04/25/12 APPLIANCE RECYCLING CENTERS OF AMERIC MN 2.02 04/25/12 APTARGROUP INC DE 2.02,9.01 04/25/12 ARCH CAPITAL GROUP LTD. 2.02,9.01 04/25/12 ARRIS GROUP INC DE 2.02,9.01 04/25/12 ASHFORD HOSPITALITY TRUST INC MD 2.02,9.01 04/25/12 ASPEN INSURANCE HOLDINGS LTD D0 2.02,7.01,9.01 04/25/12 ASSOCIATED BANC-CORP WI 3.03,5.03,5.07,9.01 04/24/12 ASSOCIATED ESTATES REALTY CORP OH 2.02,9.01 04/24/12 ASSOCIATED MATERIALS, LLC DE 5.02 04/19/12 ASSURANT INC 2.02,9.01 04/25/12 ATMI INC DE 2.02,9.01 04/25/12 AUTONATION, INC. DE 2.02,9.01 04/25/12 AVALONBAY COMMUNITIES INC MD 2.02,9.01 04/25/12 Avery Dennison Corp DE 2.02,9.01 04/25/12 AVI BIOPHARMA INC OR 5.02,8.01,9.01 04/24/12 AVX Corp DE 2.02,9.01 04/25/12 BANK JOS A CLOTHIERS INC /DE/ DE 8.01,9.01 04/25/12 BANK OF KENTUCKY FINANCIAL CORP KY 5.02,5.07 04/20/12 BankUnited, Inc. DE 2.02,9.01 04/25/12 BANNER CORP WA 5.02,5.07,9.01 04/24/12 BAR HARBOR BANKSHARES ME 2.02 03/31/12 BARRETT BUSINESS SERVICES INC MD 2.02,9.01 04/24/12 BAYLAKE CORP WI 2.02,9.01 04/20/12 AMEND BEACON ENTERPRISE SOLUTIONS GROUP INC NV 7.01,9.01 04/25/12 BeesFree, Inc. NV 5.02,9.01 04/22/12 BERKSHIRE HILLS BANCORP INC 2.02,8.01,9.01 04/24/12 BioNeutral Group, Inc NV 5.02,9.01 04/24/12 BIOTIME INC CA 1.01 04/19/12 BJs RESTAURANTS INC CA 8.01,9.01 04/24/12 BOEING CAPITAL CORP DE 2.02,9.01 04/25/12 BOEING CO DE 2.02,9.01 04/25/12 BOK FINANCIAL CORP ET AL OK 5.07,7.01 04/24/12 BOSTON PRIVATE FINANCIAL HOLDINGS INC MA 2.02,9.01 04/25/12 BROADVISION INC DE 2.02,9.01 04/25/12 BROOKLINE BANCORP INC DE 2.02,9.01 04/25/12 BROWN & BROWN INC FL 5.02 04/24/12 BUCKEYE TECHNOLOGIES INC DE 2.02,7.01,9.01 04/24/12 BUCKEYE TECHNOLOGIES INC DE 7.01,8.01,9.01 04/24/12 CADENCE DESIGN SYSTEMS INC DE 2.02,9.01 04/25/12 CALIFORNIA FIRST NATIONAL BANCORP CA 2.02,7.01,9.01 04/25/12 CALIFORNIA WATER SERVICE GROUP DE 8.01,9.01 04/25/12 CAMPBELL SOUP CO NJ 5.02 04/23/12 CASCADE CORP OR 8.01,9.01 04/25/12 CATERPILLAR FINANCIAL SERVICES CORP DE 2.02,9.01 04/25/12 CATERPILLAR INC DE 2.02,9.01 04/25/12 CATERPILLAR INC DE 7.01 04/25/12 CELADON GROUP INC DE 2.02,4.02,7.01,8.01, 04/24/12 9.01 CENTRAL VIRGINIA BANKSHARES INC VA 3.01,9.01 04/23/12 CHEESECAKE FACTORY INC DE 2.02,9.01 04/25/12 Cheviot Financial Corp. MD 5.07 04/24/12 CHICOPEE BANCORP, INC. 2.02,9.01 04/25/12 CHILDRENS PLACE RETAIL STORES INC 5.02,9.01 04/19/12 China Biologic Products, Inc. 2.04,5.02,9.01 04/25/12 CHOICEONE FINANCIAL SERVICES INC MI 2.02,9.01 04/25/12 CHRISTOPHER & BANKS CORP DE 5.02 04/13/12 AMEND Chrysler Group LLC DE 1.02 04/25/12 CHUBB CORP NJ 5.07 04/24/12 CIRRUS LOGIC INC DE 1.01,2.02,2.03,7.01, 04/25/12 9.01 CITIZENS BANCSHARES CORP /GA/ GA 5.02 04/25/12 CITRIX SYSTEMS INC DE 2.02,9.01 04/25/12 CITY NATIONAL CORP DE 8.01,9.01 04/25/12 CLAYTON WILLIAMS ENERGY INC /DE DE 2.02,9.01 04/25/12 CLEARSIGN COMBUSTION CORP WA 8.01,9.01 04/24/12 Clearwater Paper Corp DE 2.02,9.01 04/25/12 COCA-COLA ENTERPRISES, INC. DE 5.07 04/25/12 COMERICA INC /NEW/ DE 1.01,5.02,9.01 04/20/12 COMMUNITY BANK SYSTEM INC DE 2.02,9.01 04/24/12 COMMUNITY HEALTH SYSTEMS INC DE 8.01,9.01 04/25/12 COMMUNITY TRUST BANCORP INC /KY/ KY 5.07 04/24/12 Compressco Partners, L.P. DE 5.02,9.01 04/24/12 CONSOLIDATED TOMOKA LAND CO FL 7.01,9.01 04/25/12 CONSOLIDATED TOMOKA LAND CO FL 7.01 04/25/12 AMEND CORELOGIC, INC. DE 2.02,9.01 04/25/12 CORNING INC /NY NY 2.02,9.01 03/31/12 CORONADO BIOSCIENCES INC DE 8.01,9.01 04/24/12 CORONADO BIOSCIENCES INC DE 5.02,9.01 04/19/12 CRAY INC WA 1.01,8.01,9.01 04/24/12 CREDO PETROLEUM CORP DE 4.02 04/19/12 Crocs, Inc. 2.02,9.01 04/25/12 CROWN CASTLE INTERNATIONAL CORP DE 2.02,9.01 04/25/12 CTS CORP IN 2.02,9.01 04/24/12 CULLEN/FROST BANKERS, INC. TX 2.02,9.01 04/25/12 CVB FINANCIAL CORP CA 8.01 04/25/12 Cyalume Technologies Holdings, Inc. DE 5.02,9.01 04/19/12 CYBEROPTICS CORP MN 2.02,9.01 04/25/12 CYTOKINETICS INC 8.01,9.01 04/25/12 DANA HOLDING CORP DE 2.02,7.01,9.01 04/25/12 DATALINK CORP MN 2.02,9.01 04/25/12 DAWSON GEOPHYSICAL CO TX 7.01,9.01 04/25/12 DEER VALLEY CORP 8.01,9.01 04/18/12 DELTA AIR LINES INC /DE/ DE 2.02,9.01 04/25/12 DEPOMED INC CA 8.01 04/24/12 Destination Maternity Corp DE 8.01,9.01 04/19/12 DEVRY INC DE 2.02,9.01 04/24/12 DICE HOLDINGS, INC. DE 2.02,9.01 04/25/12 DIEBOLD INC OH 2.02,9.01 04/25/12 Domark International Inc. NV 7.01 04/25/12 DOVER Corp DE 3.02,8.01,9.01 04/25/12 DOVER DOWNS GAMING & ENTERTAINMENT IN DE 7.01,9.01 04/25/12 Dr Pepper Snapple Group, Inc. DE 2.02,9.01 04/24/12 DUCKWALL ALCO STORES INC KS 7.01,8.01 04/19/12 DYNAMICS RESEARCH CORP MA 2.02,9.01 04/24/12 EASTERN CO CT 2.02,7.01,9.01 04/25/12 EDAC TECHNOLOGIES CORP WI 2.02,9.01 04/25/12 eHealth, Inc. DE 5.02 04/19/12 EMCLAIRE FINANCIAL CORP PA 7.01,9.01 04/25/12 EMERSON ELECTRIC CO MO 7.01 04/25/12 EMULEX CORP /DE/ DE 2.02,9.01 04/25/12 ENCORE WIRE CORP DE 2.02,7.01,9.01 04/24/12 ENERGEN CORP AL 2.02,7.01,9.01 04/25/12 ENERGY KING, INC. 5.02,9.01 04/25/12 ENOVA SYSTEMS INC CA 1.01,3.02,8.01,9.01 04/23/12 Enstar Group LTD D0 5.02 04/19/12 ENTEST BIOMEDICAL, INC. NV 1.01,5.03,9.01 04/16/12 EQUIFAX INC GA 2.02,9.01 04/25/12 EQUINIX INC DE 2.02,9.01 04/25/12 EQUITY RESIDENTIAL MD 2.02,9.01 04/25/12 ERIE INDEMNITY CO PA 5.05,9.01 04/25/12 ETHAN ALLEN INTERIORS INC DE 5.07 11/15/11 AMEND EURONET WORLDWIDE INC DE 2.02,9.01 04/24/12 EVEREST RE GROUP LTD D0 2.02,9.01 04/25/12 ExactTarget, Inc. DE 1.02 04/20/12 EXPEDITORS INTERNATIONAL OF WASHINGTO WA 8.01 04/19/12 FAIR ISAAC CORP DE 2.02,9.01 04/25/12 FAIR ISAAC CORP DE 5.02,9.01 04/25/12 FAIRCHILD SEMICONDUCTOR INTERNATIONAL DE 5.05 04/20/12 FAMOUS DAVES OF AMERICA INC MN 2.02,9.01 04/25/12 FARMERS & MERCHANTS BANCORP INC OH 5.07 04/19/12 FBR & Co. VA 2.02,9.01 04/24/12 Federal Home Loan Bank of Dallas 2.03,9.01 04/19/12 FEDERAL HOME LOAN MORTGAGE CORP 2.02,9.01 04/25/12 FERRO CORP OH 2.02,9.01 04/25/12 Fidelity National Financial, Inc. 2.02,9.01 04/25/12 Fifth Street Finance Corp DE 1.01,2.03,9.01 04/23/12 FINANCIAL INSTITUTIONS INC NY 2.02,9.01 04/25/12 FIRST CITIZENS BANCSHARES INC /DE/ DE 5.07 04/23/12 First Clover Leaf Financial Corp. MD 8.01,9.01 04/25/12 FIRST COMMUNITY BANCSHARES INC /NV/ NV 5.07,8.01,9.01 04/24/12 FIRST FINANCIAL BANCORP /OH/ OH 2.02,9.01 04/25/12 FIRST FINANCIAL BANKSHARES INC TX 5.03,5.07,7.01,9.01 04/24/12 FIRST MID ILLINOIS BANCSHARES INC DE 2.02,9.01 03/31/12 FIRST MIDWEST BANCORP INC DE 2.02,7.01,9.01 04/25/12 FIRST NIAGARA FINANCIAL GROUP INC DE 7.01,9.01 04/25/12 FIRST OTTAWA BANCSHARES INC DE 2.02,9.01 04/25/12 FIRST PLACE FINANCIAL CORP /DE/ DE 7.01,9.01 04/25/12 FIRST SOUTH BANCORP INC /VA/ VA 2.02,9.01 04/24/12 Firsthand Technology Value Fund, Inc. 8.01,9.01 04/24/12 FLUSHING FINANCIAL CORP DE 2.02,9.01 04/24/12 FMC CORP DE 3.03,5.03,5.07,8.01, 04/24/12 9.01 FMC TECHNOLOGIES INC DE 2.02,9.01 04/24/12 FNB BANCORP/CA/ 2.02,9.01 04/25/12 Ford Credit Auto Owner Trust 2012-B DE 8.01,9.01 04/25/12 FORWARD INDUSTRIES INC NY 5.02 04/19/12 GASCO ENERGY INC NV 7.01,9.01 04/24/12 GENERAL COMMUNICATION INC AK 5.03 04/19/12 GENERAL DYNAMICS CORP DE 2.02,9.01 04/25/12 GEOPETRO RESOURCES CO CA 8.01 04/24/12 GEORESOURCES INC CO 1.01,7.01,9.01 04/24/12 Georgia-Carolina Bancshares, Inc GA 5.02 04/23/12 Georgia-Carolina Bancshares, Inc GA 2.02,7.01,9.01 04/25/12 GLEACHER & COMPANY, INC. DE 5.03,7.01,9.01 04/19/12 GLOBAL GOLD CORP DE 5.02 04/20/12 GLOBAL PARTNERS LP 5.02 04/19/12 Global Technologies Group, Inc. FL 8.01,9.01 04/25/12 GLOBETRAC INC DE 1.01,3.02,9.01 04/24/12 GNC HOLDINGS, INC. DE 2.02,8.01,9.01 04/25/12 Goldspan Resources, Inc. NV 8.01,9.01 04/05/12 GRAINGER W W INC IL 5.07 04/25/12 GREAT SOUTHERN BANCORP INC MD 2.02,9.01 04/24/12 Green Ballast, Inc. DE 5.02,8.01,9.01 04/20/12 Guanwei Recycling Corp. NV 1.01,9.01 04/20/12 GYMBOREE CORP DE 2.02,9.01 04/25/12 H&R BLOCK INC MO 2.05,5.02,8.01,9.01 04/19/12 HALCON RESOURCES CORP DE 1.01,7.01,8.01,9.01 04/24/12 HARLEY DAVIDSON INC WI 2.02,9.01 04/25/12 HARLEYSVILLE GROUP INC DE 5.07,8.01,9.01 04/24/12 Hartman Short Term Income Properties MD 1.01,9.01 04/25/12 HESS CORP DE 2.02,7.01,9.01 04/25/12 HOLLY ENERGY PARTNERS LP DE 7.01,9.01 04/25/12 HOLLYWOOD MEDIA CORP FL 1.01,9.01 04/22/12 HOME BANCORP, INC. LA 2.02,9.01 04/24/12 Homeowners Choice, Inc. FL 8.01,9.01 04/25/12 Honda Auto Receivables 2012-2 Owner T DE 8.01,9.01 04/25/12 Honda Auto Receivables 2012-2 Owner T DE 1.01,9.01 04/25/12 Hondo Minerals Corp 3.02 04/25/12 HORACE MANN EDUCATORS CORP /DE/ DE 2.02,9.01 04/25/12 HOST HOTELS & RESORTS, INC. MD 1.01,8.01,9.01 04/24/12 HOST HOTELS & RESORTS, INC. MD 2.02,9.01 04/25/12 HSN, Inc. DE 1.01,2.01,2.03,7.01, 04/24/12 9.01 HUDSON CITY BANCORP INC DE 7.01,9.01 04/25/12 HUDSON CITY BANCORP INC DE 2.02,9.01 04/25/12 HUDSON VALLEY HOLDING CORP NY 2.02,9.01 04/25/12 HUNTINGTON BANCSHARES INC/MD MD 8.01,9.01 04/25/12 Huron Consulting Group Inc. DE 2.02,9.01 04/25/12 HUTTIG BUILDING PRODUCTS INC DE 5.07 04/23/12 INFINERA CORP DE 2.02,9.01 04/25/12 INLAND REAL ESTATE CORP MD 1.01,2.03,9.01 04/23/12 INTEGRA LIFESCIENCES HOLDINGS CORP DE 2.02,7.01,9.01 04/25/12 INTEGRATED SILICON SOLUTION INC DE 2.02,9.01 04/25/12 Interactive Intelligence Group, Inc. IN 2.02,9.01 03/31/12 InterDigital, Inc. PA 2.02,9.01 04/25/12 INTERFACE INC GA 2.02,9.01 04/25/12 INTERNATIONAL COMMERCIAL TELEVISION I NV 3.02 04/23/12 INTERSIL CORP/DE DE 2.02,7.01,9.01 04/25/12 IPARTY CORP DE 2.02,9.01 04/25/12 ITC Holdings Corp. MI 2.02,9.01 04/24/12 ITRON INC /WA/ WA 2.02,9.01 04/25/12 J.P. Morgan Chase Commercial Mortgage DE 8.01,9.01 04/25/12 JAKKS PACIFIC INC DE 1.01,5.02,9.01 04/21/12 JARDEN CORP DE 2.02,9.01 04/25/12 JMP Group Inc. DE 2.02,9.01 04/25/12 JONES GROUP INC PA 2.02,7.01,9.01 04/25/12 KAISER ALUMINUM CORP DE 2.02,9.01 04/25/12 KBR, INC. DE 2.02,9.01 04/25/12 KBS Real Estate Investment Trust II, MD 8.01 04/19/12 KELLOGG CO DE 5.07 04/20/12 KENNAMETAL INC PA 5.02 04/20/12 KENSEY NASH CORP DE 5.07 12/07/11 AMEND Kids Only Market, Inc. 5.02 04/19/12 KKR Financial Holdings LLC DE 2.02,8.01,9.01 04/25/12 KNIGHT TRANSPORTATION INC AZ 2.02,9.01 04/25/12 Kohlberg Capital CORP DE 8.01 04/19/12 L 3 COMMUNICATIONS HOLDINGS INC DE 5.02,5.07,9.01 04/24/12 LAKELAND FINANCIAL CORP IN 2.02,9.01 04/25/12 LANTRONIX INC DE 1.01,3.02,8.01,9.01 04/24/12 Laredo Petroleum Holdings, Inc. DE 1.01,2.03,7.01,8.01, 04/24/12 9.01 LAS VEGAS SANDS CORP NV 2.02,9.01 04/25/12 LEAP WIRELESS INTERNATIONAL INC DE 2.02,9.01 04/25/12 LECROY CORP DE 2.02,9.01 04/25/12 LEGACY RESERVES LP DE 5.02,9.01 04/19/12 AMEND LENNOX INTERNATIONAL INC DE 7.01,9.01 04/24/12 LIGHTCOLLAR, INC. 8.01 03/09/12 AMEND LILLY ELI & CO IN 2.02,9.01 04/25/12 LITHIA MOTORS INC OR 2.02,7.01,8.01,9.01 04/25/12 LODGENET INTERACTIVE CORP DE 2.02,9.01 04/24/12 LogMeIn, Inc. DE 2.02,9.01 04/25/12 LORILLARD, INC. DE 2.02,9.01 04/25/12 LSI CORP DE 2.02,9.01 04/25/12 LUCAS ENERGY, INC. NV 9.01 04/24/12 lululemon athletica inc. DE 8.01,9.01 04/25/12 Lumber Liquidators Holdings, Inc. 2.02,9.01 04/25/12 LYRIS, INC. 1.01,5.02 04/19/12 MACK CALI REALTY CORP MD 8.01,9.01 04/25/12 MAGNACHIP SEMICONDUCTOR Corp DE 2.02,9.01 04/25/12 Magnolia Solar Corp NV 8.01,9.01 04/25/12 MARINE PRODUCTS CORP DE 8.01,9.01 04/25/12 MARINE PRODUCTS CORP DE 2.02,9.01 04/25/12 MARKETAXESS HOLDINGS INC 2.02,8.01,9.01 04/25/12 Marlborough Software Development Hold DE 4.01,9.01 04/20/12 Mastech Holdings, Inc. PA 2.02,9.01 04/25/12 MATTSON TECHNOLOGY INC DE 2.02,9.01 04/25/12 MCCLATCHY CO DE 9.01 03/25/12 MEADOWBROOK INSURANCE GROUP INC MI 7.01,8.01,9.01 04/19/12 MEADWESTVACO Corp DE 2.02,9.01 04/25/12 MEDICINES CO /DE DE 2.02,9.01 04/25/12 MEDICINES CO /DE DE 5.03,8.01,9.01 04/24/12 MEREDITH CORP IA 2.02,9.01 04/25/12 MEREDITH CORP IA 2.02,9.01 04/25/12 METLIFE INC DE 7.01,9.01 04/23/12 MICROSEMI CORP DE 2.02,9.01 04/25/12 MID PENN BANCORP INC PA 2.02,8.01,9.01 04/25/12 MIDDLEFIELD BANC CORP OH 2.02,9.01 04/24/12 Midstates Petroleum Company, Inc. DE 1.01,2.01,3.02,3.03, 04/19/12 5.03,7.01,9.01 MINE SAFETY APPLIANCES CO PA 2.02,9.01 04/25/12 MKS INSTRUMENTS INC MA 2.02,9.01 04/25/12 MOLEX INC DE 2.02,9.01 04/25/12 MONTPELIER RE HOLDINGS LTD 2.02,9.01 04/25/12 Motorola Solutions, Inc. DE 2.02,9.01 04/25/12 MusclePharm Corp NV 8.01,9.01 04/24/12 NABORS INDUSTRIES LTD D0 2.02,9.01 04/24/12 NASDAQ OMX GROUP, INC. DE 2.02,7.01,8.01,9.01 04/25/12 NATIONAL OILWELL VARCO INC DE 2.02,9.01 04/25/12 Nationstar Mortgage Holdings Inc. DE 1.01,2.03,9.01 04/25/12 Net Element, Inc. DE 1.01,5.02,5.03,9.01 04/19/12 NETGEAR, INC DE 2.02,9.01 04/25/12 NEW YORK TIMES CO NY 5.07 04/25/12 NEWBRIDGE BANCORP NC 2.02,9.01 04/25/12 NEWFIELD EXPLORATION CO /DE/ DE 2.02,7.01,9.01 04/24/12 NEWLINK GENETICS CORP 8.01,9.01 04/25/12 NEXTERA ENERGY INC FL 2.02,9.01 04/25/12 NGL Energy Partners LP DE 1.01,2.03,3.02,8.01, 04/20/12 9.01 Nielsen Holdings N.V. P7 2.02,9.01 04/25/12 NiMin Energy Corp. A0 8.01,9.01 04/25/12 NOBLE ENERGY INC DE 5.07 04/24/12 Noranda Aluminum Holding CORP DE 2.02,8.01,9.01 04/24/12 NORTH VALLEY BANCORP CA 1.02,9.01 04/24/12 NORTHRIM BANCORP INC AK 2.02,9.01 04/24/12 NORTHROP GRUMMAN CORP /DE/ 2.02,9.01 04/25/12 NORTHWESTERN CORP DE 2.02,7.01,9.01 04/25/12 NORTHWESTERN CORP DE 1.01,9.01 04/25/12 NORWOOD FINANCIAL CORP PA 5.07 04/24/12 NuStar Energy L.P. DE 2.02,9.01 04/25/12 NuStar GP Holdings, LLC DE 2.02,9.01 04/25/12 Oak Valley Bancorp CA 2.02,7.01,9.01 04/20/12 OCEANEERING INTERNATIONAL INC DE 2.02,8.01,9.01 04/25/12 OCLARO, INC. DE 4.02,8.01 04/23/12 Oculus Innovative Sciences, Inc. CA 1.01,5.03,9.01 04/22/12 OLD SECOND BANCORP INC DE 2.02,9.01 04/25/12 Opera Jet International Ltd DE 2.01,3.02,5.06,9.01 02/06/12 AMEND Orchids Paper Products CO /DE DE 2.02,8.01,9.01 04/25/12 ORGANOVO HOLDINGS, INC. DE 5.02,9.01 04/18/12 Orgenesis Inc. NV 1.01,5.02,9.01 04/24/12 ORIGINOIL INC NV 8.01,9.01 04/25/12 Owens Corning DE 2.02,9.01 04/25/12 OWENS ILLINOIS INC /DE/ DE 2.02,9.01 04/25/12 PACIFIC FINANCIAL CORP WA 7.01 04/25/12 PALADIN REALTY INCOME PROPERTIES INC MD 8.01 04/25/12 PALL CORP NY 5.07 04/19/12 AMEND PAM TRANSPORTATION SERVICES INC DE 2.02,9.01 04/25/12 PAPERWORKS INC. NV 8.01 04/23/12 PARAMETRIC TECHNOLOGY CORP MA 2.02,9.01 04/25/12 PARK NATIONAL CORP /OH/ OH 1.01,3.03,9.01 04/25/12 PARKE BANCORP, INC. NJ 5.07 04/24/12 PATAPSCO BANCORP INC MD 5.02 04/23/12 PEERLESS SYSTEMS CORP DE 2.02,9.01 04/25/12 PENSKE AUTOMOTIVE GROUP, INC. DE 2.02,7.01,8.01,9.01 04/19/12 PEOPLES FINANCIAL CORP /MS/ MS 2.02,9.01 04/25/12 PEPCO HOLDINGS INC DE 1.01,2.03,9.01 04/24/12 PHAR MOR INC PA 7.01 04/25/12 PIONEER NATURAL RESOURCES CO DE 2.02,7.01 04/25/12 Pioneer Southwest Energy Partners L.P DE 2.02,7.01 04/25/12 PLATINUM UNDERWRITERS HOLDINGS LTD D0 5.07 04/24/12 PLUMAS BANCORP CA 2.02,9.01 04/25/12 PNC FINANCIAL SERVICES GROUP, INC. PA 8.01,9.01 04/25/12 POWERWAVE TECHNOLOGIES INC DE 1.01,2.05,7.01 04/24/12 PPG INDUSTRIES INC PA 5.07 04/19/12 PRAXAIR INC DE 2.02,9.01 04/25/12 PREMIER EXHIBITIONS, INC. FL 1.01,2.01,2.03,8.01, 04/20/12 9.01 PREMIERWEST BANCORP OR 2.02,9.01 04/24/12 PRINCETON NATIONAL BANCORP INC DE 3.01 04/18/12 AMEND PROGENICS PHARMACEUTICALS INC DE 8.01,9.01 04/25/12 PROGRESS SOFTWARE CORP /MA MA 2.05,7.01,9.01 04/23/12 PROGRESSIVE CORP/OH/ OH 5.07,8.01 04/20/12 QEP RESOURCES, INC. DE 2.02,9.01 04/24/12 QKL Stores Inc. DE 5.02,9.01 04/20/12 QR Energy, LP DE 2.01,9.01 04/20/12 QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 1.01,2.01,2.03,8.01, 04/19/12 9.01 QUIDEL CORP /DE/ DE 2.02,9.01 04/25/12 RAMCO GERSHENSON PROPERTIES TRUST MD 2.02,7.01,9.01 04/24/12 RAYMOND JAMES FINANCIAL INC FL 5.02,5.03,7.01,9.01 04/20/12 RealD Inc. DE 1.01,2.03,9.01 04/19/12 AMEND Regency Energy Partners LP DE 7.01,8.01,9.01 04/25/12 REGIONS FINANCIAL CORP DE 5.02,5.03,9.01 04/19/12 RENASANT CORP MS 2.02,9.01 04/24/12 REPUBLIC FIRST BANCORP INC PA 2.02,9.01 04/24/12 ROCKWELL AUTOMATION INC DE 2.02,9.01 04/25/12 Rockwood Holdings, Inc. DE 2.02,9.01 04/25/12 ROLLINS INC DE 8.01,9.01 04/24/12 ROLLINS INC DE 2.02,9.01 04/25/12 ROLLINS INC DE 8.01,9.01 04/24/12 Rosetta Resources Inc. DE 7.01,9.01 04/25/12 ROWAN COMPANIES INC DE 7.01,9.01 04/25/12 RPC INC DE 8.01,9.01 04/25/12 RPC INC DE 2.02,9.01 04/25/12 RURBAN FINANCIAL CORP OH 2.02,9.01 04/24/12 RYLAND GROUP INC MD 2.02,9.01 04/25/12 S&T BANCORP INC PA 5.07 04/23/12 SavWatt USA, Inc. DE 1.01,3.02,5.02,9.01 03/31/12 SCBT FINANCIAL CORP SC 2.01,8.01,9.01 04/24/12 SCHOLASTIC CORP DE 5.02 04/19/12 SEABOARD CORP /DE/ DE 5.07 04/23/12 SEACOR HOLDINGS INC /NEW/ DE 2.02,9.01 04/24/12 SEFE, INC. NV 2.03,3.02,9.01 04/25/12 SELECTIVE INSURANCE GROUP INC NJ 2.02,7.01,9.01 04/25/12 Sensata Technologies Holding N.V. P7 2.02,8.01,9.01 04/25/12 SERACARE LIFE SCIENCES INC 8.01,9.01 04/24/12 SERVICE CORPORATION INTERNATIONAL TX 2.02,9.01 04/25/12 SEVERN BANCORP INC MD 5.07 04/25/12 SHERWIN WILLIAMS CO OH 1.01,2.03,9.01 04/25/12 SI Financial Group, Inc. 2.02,9.01 04/25/12 SILICON LABORATORIES INC DE 2.02,9.01 04/25/12 Silver Falcon Mining, Inc. DE 8.01 04/23/12 Six Flags Entertainment Corp 2.02,9.01 04/25/12 SKECHERS USA INC DE 2.02,9.01 04/25/12 SMITH MICRO SOFTWARE INC DE 1.01,3.03,5.03,9.01 04/19/12 Snap Interactive, Inc DE 5.03,9.01 04/19/12 SOCKET MOBILE, INC. DE 5.07 04/25/12 SOUTHERN CO DE 8.01 04/24/12 SOUTHERN CO DE 2.02 04/25/12 SOUTHERN MISSOURI BANCORP INC MO 2.02,9.01 04/23/12 SPHERIX INC DE 3.01 04/20/12 SPRINT NEXTEL CORP KS 2.02,9.01 04/25/12 STAGE STORES INC NV 5.02,8.01,9.01 04/19/12 STANLEY FURNITURE CO INC. DE 8.01 04/25/12 STEELE RESOURCES CORP NV 1.01 04/20/12 STEINER LEISURE Ltd C5 2.02,9.01 03/31/12 StellarOne CORP VA 8.01,9.01 04/25/12 STERICYCLE INC DE 2.02,9.01 03/31/12 STERLING BANCORP NY 2.02,7.01,9.01 04/23/12 STERLING FINANCIAL CORP /WA/ WA 2.02,9.01 04/25/12 SUN BANCORP INC /NJ/ NJ 2.02,8.01 04/24/12 SUN BANCORP INC /NJ/ NJ 5.02 04/19/12 SUN RIVER ENERGY, INC CO 8.01 04/25/12 SUNPEAKS VENTURES, INC. 1.01,9.01 04/24/12 SUNTRUST BANKS INC GA 5.02,5.07,8.01 04/24/12 SUSQUEHANNA BANCSHARES INC PA 2.02,9.01 04/25/12 Sweetwater Resources, Inc. NV 1.01 04/25/12 Symetra Financial CORP DE 2.02,9.01 04/25/12 SYMMETRICOM INC DE 2.02,9.01 04/25/12 Synacor, Inc. DE 2.02,9.01 04/25/12 SYNERGETICS USA INC 5.02,9.01 04/23/12 SYNERGY RESOURCES CORP CO 1.01,9.01 04/23/12 TANGER FACTORY OUTLET CENTERS INC NC 9.01 04/24/12 AMEND TARGACEPT INC 2.05,5.02,8.01,9.01 04/24/12 TC PIPELINES LP DE 2.02,9.01 04/24/12 TCF FINANCIAL CORP DE 2.02,7.01,9.01 04/25/12 TE Connectivity Ltd. V8 2.02,7.01,9.01 04/25/12 TELEDYNE TECHNOLOGIES INC DE 2.02,9.01 04/25/12 TEREX CORP DE 2.02,7.01,9.01 04/25/12 THERMO FISHER SCIENTIFIC INC. DE 2.02,9.01 04/25/12 THEWEBDIGEST CORP. FL 5.03,9.01 04/23/12 TIMBERLAND BANCORP INC WA 2.02,9.01 04/24/12 TIMKEN CO OH 2.02,9.01 04/24/12 TITAN INTERNATIONAL INC IL 2.02,9.01 04/25/12 TOOTSIE ROLL INDUSTRIES INC VA 2.02,9.01 03/31/12 Tower Group, Inc. DE 1.01,9.01 04/25/12 TRACTOR SUPPLY CO /DE/ DE 2.02,9.01 04/25/12 Transcept Pharmaceuticals Inc DE 8.01,9.01 04/25/12 TRIQUINT SEMICONDUCTOR INC DE 2.02,2.05,9.01 04/25/12 TrueBlue, Inc. WA 2.02,9.01 04/25/12 TUPPERWARE BRANDS CORP DE 2.02,9.01 04/25/12 U.S. RARE EARTHS, INC NV 4.02 04/23/12 UGI CORP /PA/ PA 1.01,9.01 04/19/12 ULTIMATE SOFTWARE GROUP INC DE 2.02,9.01 04/24/12 UNITED RENTALS INC /DE DE 8.01 04/25/12 UNIVEST CORP OF PENNSYLVANIA PA 2.02,9.01 04/25/12 Upstream Worldwide, Inc. DE 1.01,3.02,5.02 04/24/12 UROLOGIX INC MN 5.02,9.01 04/19/12 US AIRWAYS GROUP INC DE 2.02,9.01 04/25/12 US AIRWAYS GROUP INC DE 7.01,9.01 04/25/12 US GEOTHERMAL INC DE 2.01,8.01,9.01 04/25/12 UTAH MEDICAL PRODUCTS INC UT 2.02 04/25/12 V F CORP PA 5.07 04/24/12 VAPOR CORP. NV 1.01,9.01 12/06/11 VARIAN MEDICAL SYSTEMS INC DE 2.02,8.01,9.01 04/25/12 Verso Paper Corp. DE 8.01,9.01 04/25/12 VIASPACE Inc. 5.02,9.01 04/19/12 VIRGIN MEDIA INC. DE 2.02,9.01 04/25/12 VITRAN CORP INC A6 2.02,9.01 04/24/12 Vringo Inc DE 8.01,9.01 04/25/12 VSB BANCORP INC NY 5.07 04/24/12 W R GRACE & CO DE 2.02,9.01 04/25/12 WARWICK VALLEY TELEPHONE CO NY 7.01,9.01 04/25/12 WASTE CONNECTIONS, INC. DE 2.02,7.01,9.01 04/25/12 WATSON PHARMACEUTICALS INC NV 7.01,9.01 04/25/12 WELLPOINT, INC IN 2.02,9.01 04/25/12 WESBANCO INC WV 2.02,9.01 04/25/12 WESTFIELD FINANCIAL INC MA 8.01,9.01 04/25/12 WESTWOOD HOLDINGS GROUP INC DE 5.03,9.01 04/19/12 WHITING PETROLEUM CORP DE 2.02,9.01 04/25/12 WILLIAMS COMPANIES INC DE 2.02,9.01 04/25/12 Williams Partners L.P. 2.02,9.01 04/25/12 WISCONSIN PUBLIC SERVICE CORP WI 5.03,9.01 04/23/12 WYNDHAM WORLDWIDE CORP DE 2.02,9.01 04/25/12 WYNN RESORTS LTD 7.01,9.01 04/23/12 XILINX INC DE 2.02,9.01 04/25/12 ZIPCAR INC 2.02,9.01 04/25/12
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