RECENT 8K FILINGS October 7, 2008 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 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 ------------------------------------------------------------------------------------------------------- a21, Inc. DE 5.02,9.01 09/30/08 ABC Funding, Inc NV 3.02,5.02,8.01,9.01 10/01/08 ABLEAUCTIONS COM INC FL 8.01 08/27/08 AMEND ABRAXAS PETROLEUM CORP NV 7.01,9.01 10/06/08 ABRAXAS PETROLEUM CORP NV 1.01,9.01 10/06/08 ACCENTURE SCA 3.02 09/30/08 ADA-ES INC CO 1.01,2.01,3.02,7.01,9.01 10/01/08 AEP INDUSTRIES INC DE 8.01,9.01 10/06/08 ALION SCIENCE & TECHNOLOGY CORP DE 1.01,2.03,9.01 10/03/08 ALLIANCE FINANCIAL CORP /NY/ NY 7.01 10/06/08 ALLIED CAPITAL CORP MD 2.04,8.01 09/30/08 ALLIED HEALTHCARE PRODUCTS INC DE 1.01,2.03,9.01 09/30/08 ALLSCRIPTS HEALTHCARE SOLUTIONS INC DE 8.01,9.01 10/06/08 ALTAIR NANOTECHNOLOGIES INC A6 1.01,3.02,3.03,7.01,9.01 10/06/08 Alternative Asset Management Acquisit DE 7.01 10/06/08 AMACORE GROUP, INC. DE 1.01,3.02,3.03,5.03,9.01 09/30/08 AMAZON GOLDSANDS LTD. NV 5.02 10/03/08 AMAZON GOLDSANDS LTD. NV 5.02 10/06/08 AMERICAN EXPRESS CO NY 7.01 10/06/08 AMERICAN TONERSERV CORP. DE 1.01 10/06/08 Amiworld, Inc. NV 1.01,7.01,9.01 09/30/08 Amiworld, Inc. NV 1.01,7.01,9.01 09/30/08 ANCHOR BANCORP WISCONSIN INC WI 8.01,9.01 10/06/08 ANESIVA, INC. DE 1.01,1.02,2.03,3.02,9.01 09/30/08 APARTMENT INVESTMENT & MANAGEMENT CO MD 8.01 09/30/08 APPLIED MICRO CIRCUITS CORP DE 2.05 08/20/08 Applied Nanotech Holdings, Inc TX 8.01,9.01 10/03/08 APRECIA INC CT 4.01,9.01 09/24/08 ARBITRON INC DE 7.01,9.01 10/06/08 ARGYLE SECURITY, INC. 1.01,2.03,5.02,9.01 09/30/08 ARIAD PHARMACEUTICALS INC DE 8.01,9.01 10/03/08 Arkanova Energy Corp NV 1.01,2.01,9.01 10/03/08 Asia Interactive Media Inc. NV 5.01,5.02 09/29/08 ATHENAHEALTH INC DE 1.01,2.03 09/30/08 Atlantic Southern Financial Group, In 2.06 10/01/08 AURELIO RESOURCE CORP NV 1.02,7.01,9.01 10/06/08 AUTOMATIC DATA PROCESSING INC DE 8.01,9.01 06/30/08 AVANEX CORP DE 2.05,2.06,5.02 09/30/08 AXION INTERNATIONAL HOLDINGS, INC. CO 8.01 08/14/08 AXION INTERNATIONAL HOLDINGS, INC. CO 1.01,2.03,3.02,8.01 09/29/08 BALDOR ELECTRIC CO MO 8.01,9.01 09/29/08 BANK OF AMERICA CORP /DE/ DE 2.02,7.01,8.01,9.01 10/06/08 Bank of New York Mellon CORP 2.03 09/30/08 Banks.com, Inc. FL 2.04 09/30/08 BEACH FIRST NATIONAL BANCSHARES INC SC 8.01,9.01 09/30/08 Behringer Harvard Opportunity REIT I, MD 7.01,9.01 10/06/08 BERKSHIRE HILLS BANCORP INC 8.01,9.01 10/06/08 Bidz.com, Inc. CA 2.02,9.01 10/01/08 BIG CAT ENERGY CORP 7.01,9.01 10/06/08 Bioenergy Inc. NV 5.01,5.02 09/29/08 BORDERS GROUP INC MI 3.02,9.01 10/06/08 BSD MEDICAL CORP DE 7.01,9.01 10/06/08 CANO PETROLEUM, INC 1.02,2.01,2.03,5.02,9.01 09/30/08 Capmark Financial Group Inc. NV 5.02,9.01 09/24/08 AMEND CARDINAL HEALTH INC OH 8.01 10/06/08 Cavico Corp 5.01,9.01 10/01/08 CB RICHARD ELLIS REALTY TRUST MD 2.01 09/30/08 Celanese CORP DE 8.01,9.01 10/03/08 CENTURY PROPERTIES GROWTH FUND XXII CA 1.01,9.01 09/29/08 CHATSWORTH DATA SOLUTIONS, INC. 1.01,2.03,9.01 09/30/08 CHYRON CORP NY 8.01,9.01 10/06/08 CIB MARINE BANCSHARES INC WI 1.01,9.01 10/03/08 CITIGROUP AAA ENERGY FUND II LP 3.02 10/01/08 Citigroup Abingdon Futures Fund LP 3.02 10/01/08 CITIGROUP DIVERSIFIED FUTURES FUND LP 3.02 10/01/08 CITIGROUP EMERGING CTA PORTFOLIO LP 3.02 10/01/08 CITIGROUP ORION FUTURES FUND LP 3.02 10/01/08 CITIZENS FIRST CORP KY 5.02 09/30/08 CLARIENT, INC DE 7.01,9.01 10/06/08 CLEVELAND CLIFFS INC OH 8.01,9.01 10/06/08 CLEVELAND CLIFFS INC OH 1.01,3.02,5.02 10/02/08 CLINICAL DATA INC DE 9.01 08/04/08 AMEND CNL LIFESTYLE PROPERTIES INC MD 7.01 10/06/08 COLORADO INTERSTATE GAS CO DE 3.03,8.01,9.01 09/30/08 COMBINATORX, INC DE 8.01,9.01 10/06/08 CONCEPTUS INC DE 1.01,9.01 10/01/08 CONCORD CAMERA CORP NJ 3.01,9.01 10/01/08 CONSOLIDATED CAPITAL PROPERTIES IV CA 1.01,9.01 09/29/08 CONSOLIDATED CAPITAL PROPERTIES IV CA 2.01,9.01 09/30/08 Cornerstone Growth & Income REIT, Inc MD 5.02 09/30/08 CROSSTEX ENERGY INC DE 7.01,9.01 10/02/08 CROSSTEX ENERGY LP DE 7.01,9.01 10/02/08 CURRENT TECHNOLOGY CORP 8.01,9.01 10/06/08 DAVIDSON DIVERSIFIED REAL ESTATE II L DE 1.01,9.01 09/29/08 DAVIDSON INCOME REAL ESTATE LP DE 1.01,9.01 09/29/08 DCAP GROUP INC DE 3.01,9.01 10/01/08 DECODE GENETICS INC DE 3.01,9.01 09/30/08 DENDREON CORP DE 6.04,8.01 10/06/08 DG FastChannel, Inc DE 2.01,5.02,9.01 10/02/08 Discover Card Execution Note Trust DE 6.05 10/01/08 DISCOVER CARD MASTER TRUST I DE 6.05 10/01/08 DOT HILL SYSTEMS CORP DE 1.01 09/30/08 Double-Take Software, Inc. DE 2.02,9.01 10/06/08 DOVER SADDLERY INC 4.01,9.01 09/22/08 AMEND DUPONT E I DE NEMOURS & CO DE 5.02 10/02/08 DYNASIL CORP OF AMERICA NJ 1.01,2.03,5.02,8.01 09/30/08 EBAY INC DE 2.02,2.05,8.01,9.01 10/03/08 Echo Therapeutics, Inc. DE 1.01,2.03,3.02,5.03,9.01 09/30/08 EESTech, Inc. 8.01 10/02/08 El Paso Pipeline Partners, L.P. DE 1.01,2.01,2.03,3.02,7.01,9.01 09/30/08 Emergent BioSolutions Inc. DE 1.01 09/30/08 ENDOCARE INC DE 5.02,9.01 09/30/08 ENERGY CONVERSION DEVICES INC DE 5.02,7.01,9.01 09/30/08 Energy Infrastructure Acquisition Cor DE 7.01 10/03/08 AMEND ENERNOC INC 5.02,7.01,9.01 10/03/08 EPIX Pharmaceuticals, Inc. 8.01 10/06/08 EQUINIX INC DE 1.01,2.03 09/30/08 ESSA Bancorp, Inc. PA 5.02,9.01 09/30/08 EVANS BOB FARMS INC DE 1.01,2.03,9.01 09/30/08 EXIDE TECHNOLOGIES DE 2.02,7.01,9.01 10/06/08 FAR EAST ENERGY CORP 1.01,5.02,9.01 10/01/08 AMEND FEDERAL AGRICULTURAL MORTGAGE CORP 1.01,5.02 09/30/08 Federal Home Loan Bank of Dallas 2.03 09/30/08 Federal Sports & Entertainment, Inc. NV 5.02 09/30/08 FiberTower CORP DE 7.01,8.01,9.01 10/06/08 FIRST ACCEPTANCE CORP /DE/ DE 5.02,9.01 10/01/08 FIRST MARBLEHEAD CORP 5.02,9.01 09/30/08 FISCHER WATT GOLD CO INC NV 1.01,8.01,9.01 10/01/08 FLOWSERVE CORP NY 8.01,9.01 10/06/08 FREEPORT MCMORAN COPPER & GOLD INC DE 1.01 10/01/08 FreightCar America, Inc. DE 1.01,2.03,9.01 09/30/08 FRIEDMAN BILLINGS RAMSEY GROUP INC VA 7.01,9.01 10/03/08 FUSION TELECOMMUNICATIONS INTERNATION 1.01,2.03,3.02,9.01 10/03/08 Future Canada China Environment Inc. NV 5.02 09/30/08 G III APPAREL GROUP LTD /DE/ DE 1.01,5.02,9.01 10/03/08 G&K SERVICES INC MN 1.01,2.03,9.01 10/01/08 G&K SERVICES INC MN 2.02,9.01 10/06/08 GATEWAY FINANCIAL HOLDINGS INC NC 2.03,2.06,8.01 09/30/08 GENAERA CORP DE 8.01,9.01 10/06/08 GENTA INC DE/ DE 8.01,9.01 10/06/08 GERMAN AMERICAN BANCORP, INC. IN 1.01,2.03 09/30/08 GETTING READY CORP 4.01,5.03,9.01 09/30/08 GLOBAL PARTNERS LP 7.01,9.01 10/06/08 GLOBALSCAPE INC DE 5.02,9.01 10/06/08 GOLDEN RIVER RESOURCES CORP. DE 4.02,9.01 10/03/08 GOLDEN STAR RESOURCES LTD 5.02,9.01 09/30/08 GOUVERNEUR BANCORP INC DE 5.03,8.01,9.01 10/03/08 GSI COMMERCE INC DE 1.01,7.01,9.01 10/05/08 HANCOCK HOLDING CO MS 5.02,8.01 10/01/08 HANDLEMAN CO /MI/ MI 1.01 10/01/08 HANOVER CAPITAL MORTGAGE HOLDINGS INC MD 2.02 09/30/08 HARDINGE INC NY 1.01,9.01 09/30/08 HARRAHS ENTERTAINMENT INC DE 1.01,8.01,9.01 10/02/08 HARTFORD FINANCIAL SERVICES GROUP INC DE 1.01,2.02,3.02,9.01 10/06/08 HARTMARX CORP/DE DE 2.02,9.01 10/01/08 HARVARD BIOSCIENCE INC DE 1.01,2.01,9.01 09/30/08 HARVARD BIOSCIENCE INC DE 2.05 07/26/05 AMEND HEALTH NET INC DE 1.01 09/30/08 HealthMarkets, Inc. DE 2.01,2.05,9.01 09/30/08 HERCULES INC DE 8.01 10/06/08 HIGHBURY FINANCIAL INC DE 1.01,2.03,9.01 10/01/08 HILB ROGAL & HOBBS CO VA 5.02 09/30/08 Hill-Rom Holdings, Inc. IN 2.05,2.06,7.01,9.01 09/30/08 Hong Kong Highpower Technology, Inc. DE 2.02,7.01,9.01 10/02/08 HORIZON BANCORP /IN/ IN 8.01,9.01 10/06/08 I/OMAGIC CORP NV 5.02 09/30/08 IBASIS INC DE 2.03,9.01 09/30/08 ICX TECHNOLOGIES INC 5.02 10/01/08 IDEX CORP /DE/ DE 7.01,9.01 10/01/08 IDT CORP DE 2.02,9.01 10/06/08 IMH Secured Loan Fund, LLC DE 7.01,9.01 10/06/08 IMPLANT SCIENCES CORP MA 1.01,7.01,9.01 10/03/08 India Globalization Capital, Inc. MD 1.01,2.03,3.02,9.01 09/30/08 INFOSPACE INC DE 5.02 10/02/08 INGERSOLL RAND CO LTD 5.02,9.01 10/04/08 INNOTRAC CORP GA 1.01,5.02,7.01,9.01 10/05/08 Intermec, Inc. DE 5.02,9.01 10/03/08 INTERNAP NETWORK SERVICES CORP DE 1.01,2.03,8.01,9.01 09/30/08 INTERNATIONAL ASSETS HOLDING CORP DE 3.02,7.01 10/01/08 INTERNATIONAL MONETARY SYSTEMS LTD /W WI 1.01,2.03 09/29/08 International Power Group, Ltd. DE 5.02 10/01/08 IRELAND INC. NV 7.01,9.01 10/02/08 ISCO INTERNATIONAL INC DE 8.01 10/01/08 J C PENNEY CO INC DE 5.02,9.01 10/06/08 J P MORGAN CHASE & CO DE 9.01 10/02/08 JONES SODA CO WA 8.01 10/06/08 KAL ENERGY INC DE 1.01,5.02,7.01,9.01 10/01/08 KANSAS CITY SOUTHERN DE 8.01,9.01 10/06/08 KAPSTONE PAPER & PACKAGING CORP DE 5.02,9.01 10/03/08 Karat Platinum, Inc. 1.01,2.03,8.01,9.01 09/16/08 KAYNE ANDERSON ENERGY DEVELOPMENT CO MD 8.01,9.01 10/03/08 KENT FINANCIAL SERVICES INC NV 5.02,9.01 09/30/08 KENT INTERNATIONAL HOLDINGS INC 5.02 09/30/08 KITE REALTY GROUP TRUST MD 1.01,9.01 10/02/08 Koppers Holdings Inc. PA 2.01 10/01/08 KOPPERS INC PA 2.01 10/01/08 LAKES ENTERTAINMENT INC MN 1.01,9.01 09/30/08 LANGER INC NY 3.01,9.01 10/03/08 LEGG MASON INC MD 1.02 09/30/08 LIBERTY STAR URANIUM & METALS CORP. NV 5.02 09/30/08 LIGHTING SCIENCE GROUP CORP DE 1.01,9.01 10/02/08 LILLY ELI & CO IN 8.01,9.01 10/06/08 LIVEDEAL INC NV 5.02 10/01/08 LONGWEI PETROLEUM INVESTMENT HOLDING CO 5.02 10/03/08 MAGUIRE PROPERTIES INC MD 5.02,7.01,9.01 10/02/08 MASTEC INC FL 1.01,7.01,8.01,9.01 10/04/08 MAX CAPITAL GROUP LTD. 1.01,9.01 10/01/08 MCDERMOTT INTERNATIONAL INC R1 5.02,9.01 09/30/08 MedPro Safety Products, Inc. NV 1.01,8.01,9.01 09/08/08 MERRIMAC INDUSTRIES INC DE 2.02,9.01 10/06/08 METROPCS COMMUNICATIONS INC DE 8.01,9.01 10/06/08 MGM MIRAGE DE 1.01,2.03,7.01,9.01 09/30/08 MGM MIRAGE DE 7.01,9.01 10/06/08 MGM MIRAGE DE 1.01,9.01 09/30/08 MICROMET, INC. DE 1.01,3.02,8.01,9.01 09/29/08 MICRUS ENDOVASCULAR CORP 2.02,9.01 10/06/08 MIDAMERICAN ENERGY HOLDINGS CO /NEW/ IA 8.01,9.01 10/06/08 MILESTONE SCIENTIFIC INC/NJ DE 5.02,8.01,9.01 10/01/08 Millennium India Acquisition CO Inc. DE 8.01,9.01 10/06/08 MINDSPEED TECHNOLOGIES, INC DE 1.01,2.03,9.01 09/30/08 Mining Oil, Inc. TX 1.01 09/22/08 MobiVentures Inc. NV 1.01,2.03,3.02,9.01 09/23/08 Mondo Acquisition II, Inc. 1.01,5.01,5.02,5.03,9.01 09/30/08 MRV COMMUNICATIONS INC DE 2.02,8.01,9.01 10/02/08 Mueller Water Products, Inc. DE 5.02,9.01 09/30/08 MV Oil Trust DE 7.01,9.01 10/06/08 National City Mortgage Capital LLC 6.02 10/01/08 National City Mortgage Capital Trust 6.02 10/01/08 National Investment Managers Inc. FL 8.01,9.01 10/01/08 NEENAH ENTERPRISES, INC. 8.01,9.01 09/30/08 NETFLIX INC DE 2.02,9.01 10/06/08 NETWORK CN INC DE 5.02 09/30/08 NeuroMetrix, Inc. 2.05 09/30/08 NEW HORIZONS WORLDWIDE INC DE 1.01,1.02,2.03,9.01 10/01/08 NEXTPHASE WIRELESS, INC. NV 1.01,3.02,3.03,7.01,9.01 09/30/08 NORTHWEST BIOTHERAPEUTICS INC DE 1.01,2.03,3.02,9.01 10/01/08 NOVA BIOSOURCE FUELS, INC. NV 7.01,9.01 10/06/08 Nuance Communications, Inc. DE 8.01,9.01 10/03/08 OFFICEMAX INC DE 8.01,9.01 10/06/08 ON SEMICONDUCTOR CORP DE 5.02 10/01/08 Organic To Go Food CORP DE 1.01,3.02,9.01 10/03/08 OSIRIS THERAPEUTICS, INC. DE 1.01 09/30/08 OWENS & MINOR INC/VA/ VA 1.01,8.01,9.01 09/30/08 OXFORD RESIDENTIAL PROPERTIES I LTD P MD 2.01,9.01 09/30/08 Pacific Coast National Bancorp CA 3.02 09/30/08 PARLUX FRAGRANCES INC DE 2.02,9.01 10/06/08 Patient Access Solutions, Inc. 5.02,9.01 10/02/08 PEETS COFFEE & TEA INC WA 5.02,7.01,9.01 10/03/08 PENN TRAFFIC CO DE 8.01,9.01 09/30/08 PEOPLES FINANCIAL CORP /MS/ MS 8.01,9.01 10/06/08 PERFICIENT INC DE 7.01,9.01 10/06/08 PETROQUEST ENERGY INC DE 1.01,2.03,7.01,9.01 09/30/08 PHARMATHENE, INC DE 1.01,3.02,9.01 09/30/08 PHASE FORWARD INC DE 8.01,9.01 10/02/08 PIONEER DRILLING CO TX 5.02,9.01 10/06/08 PLURISTEM THERAPEUTICS INC NV 7.01 10/06/08 PONIARD PHARMACEUTICALS, INC. WA 2.03,9.01 09/30/08 POST PROPERTIES INC GA 1.01,2.03,9.01 10/02/08 POWERCOLD CORP NV 8.01 10/01/08 PPLUS Trust Series JPM-1 DE 8.01,9.01 06/16/08 Prime Sun Power Inc NV 1.01,5.02 09/22/08 PRINCETON REVIEW INC DE 2.01,9.01 07/24/08 AMEND PROGRESS ENERGY INC NC 5.02 09/30/08 PROLIANCE INTERNATIONAL, INC. DE 1.01,2.03,9.01 09/30/08 PROVECTUS PHARMACEUTICALS INC NV 8.01,9.01 10/06/08 PURE BIOFUELS CORP NV 5.02 09/29/08 Purple Beverage Company, Inc. NV 7.01,9.01 10/06/08 PVF CAPITAL CORP OH 1.01,2.06,5.02,8.01,9.01 09/30/08 REGI U S INC OR 4.01,9.01 10/03/08 AMEND RESEARCH FRONTIERS INC DE 1.01 09/29/08 RESIDENTIAL CAPITAL, LLC DE 1.01 09/30/08 RESMED INC DE 1.01,2.03,9.01 09/30/08 RESOURCE AMERICA INC DE 1.01,9.01 09/30/08 RIGHTNOW TECHNOLOGIES INC MT 2.02,9.01 10/06/08 Rockwood Holdings, Inc. DE 7.01,9.01 10/06/08 Rodobo International Inc NV 1.01,2.01,3.02,3.03,4.01,5.02, 09/30/08 5.03,5.06,9.01 ROLLINS INC DE 8.01,9.01 10/01/08 ROTECH HEALTHCARE INC DE 5.02 10/06/08 ROYAL CARIBBEAN CRUISES LTD 7.01 10/06/08 Ruths Hospitality Group, Inc. DE 5.02,9.01 10/06/08 SABINE ROYALTY TRUST TX 2.02,9.01 10/03/08 SALAMON GROUP INC 5.02 10/01/08 SALEM COMMUNICATIONS CORP /DE/ DE 5.02 09/30/08 Sally Beauty Holdings, Inc. 5.02,9.01 10/03/08 SANGUI BIOTECH INTERNATIONAL INC CO 5.02,8.01,9.01 02/14/07 SAUL CENTERS INC MD 9.01 09/30/08 SEA CONTAINERS LTD /NY/ 8.01,9.01 09/30/08 Searchlight Minerals Corp. NV 5.02,7.01,9.01 10/06/08 Secure America Acquisition CORP DE 8.01,9.01 10/06/08 Select Notes Trust LT 2004-1 DE 8.01,9.01 10/01/08 SENSE TECHNOLOGIES INC B0 4.01 09/23/08 AMEND SEREFEX CORP DE 1.03 10/02/08 SHELTER PROPERTIES VI LIMITED PARTNER CA 1.01,9.01 09/29/08 SHELTER PROPERTIES VII LTD PARTNERSHI SC 1.01,9.01 09/29/08 SKYWORKS SOLUTIONS INC DE 5.02 10/06/08 SLM CORP DE 8.01 09/30/08 Smart Ventures Inc. NV 8.01,9.01 08/15/08 AMEND SMF ENERGY CORP DE 5.02 10/01/08 SMITH BARNEY BRISTOL ENERGY FUND LP 3.02 10/01/08 SMITH BARNEY POTOMAC FUTURES FUND LP 3.02 10/01/08 SMITH BARNEY TIDEWATER FUTURES FUND L 3.02 10/01/08 SMITH BARNEY WARRINGTON FUND L P 3.02 10/01/08 SMITH BARNEY WESTPORT FUTURES FUND LP 3.02 10/01/08 SOUTHERN NATURAL GAS CO DE 3.03,8.01,9.01 09/30/08 SPAR GROUP INC DE 1.01,1.02,3.02,9.01 09/30/08 SportsQuest, Inc. NJ 1.01,2.01,3.02,5.01,9.01 09/29/08 STEC, INC. CA 7.01,9.01 10/02/08 STERLING CHEMICALS INC DE 5.02 10/03/08 STEWART INFORMATION SERVICES CORP DE 8.01 09/30/08 Stratus Media Group, Inc NV 4.01,9.01 08/04/08 AMEND STRUCTURED PROD CORP TIERS CORP BND-B DE 8.01,9.01 10/01/08 STRUCTURED PRODUCTS CORP CASTSM STEP DE 8.01,9.01 10/01/08 STRUCTURED PRODUCTS CORP TIERS R INFL DE 8.01,9.01 10/01/08 SUNAIR SERVICES CORP FL 2.02,8.01,9.01 09/30/08 SUNGARD DATA SYSTEMS INC DE 1.01,9.01 09/29/08 AMEND SUNPOWER CORP 8.01 10/03/08 SUPERVALU INC DE 5.03,9.01 10/02/08 SUPREME INDUSTRIES INC DE 1.01,1.02,9.01 09/30/08 SWISS HELVETIA FUND, INC. 5.03,9.01 09/11/08 SyntheMed, Inc. DE 3.02 09/30/08 AMEND TANDY BRANDS ACCESSORIES INC DE 5.02,8.01,9.01 10/01/08 Tank Sports, Inc. CA 4.01 10/03/08 Tennessee Valley Authority 8.01 09/30/08 TENNESSEE VALLEY FINANCIAL HOLDINGS I TN 8.01,9.01 10/06/08 TERRA INDUSTRIES INC MD 3.02 09/30/08 TETRA TECH INC DE 5.02 10/03/08 THORNBURG MORTGAGE INC MD 1.01,2.03,3.02,8.01,9.01 09/30/08 TICC Capital Corp. MD 7.01,9.01 10/06/08 TITAN PHARMACEUTICALS INC DE 5.02 10/03/08 TJX COMPANIES INC /DE/ DE 5.02 09/30/08 TOWER BANCORP INC PA 8.01,9.01 10/06/08 TRIMBLE NAVIGATION LTD /CA/ CA 2.02,7.01,9.01 10/05/08 TRX INC/GA GA 1.01 10/06/08 TVI CORP MD 1.01,8.01,9.01 09/30/08 UIL HOLDINGS CORP CT 8.01 10/03/08 Uni-Pixel DE 8.01,9.01 10/06/08 UNIGENE LABORATORIES INC DE 1.01,2.03,3.02,9.01 09/30/08 UNION DRILLING INC DE 1.01,2.03,9.01 09/30/08 UNITED COMMUNITY BANKS INC GA 7.01,9.01 10/06/08 UNITED INSURANCE HOLDINGS CORP. DE 2.01,3.03,5.01,5.02,5.03,5.06, 09/30/08 9.01 US CONCRETE INC DE 5.02 10/06/08 USA TECHNOLOGIES INC PA 7.01 10/01/08 V2K International Inc 2.03,9.01 09/30/08 VALENCE TECHNOLOGY INC DE 8.01 09/30/08 VALPEY FISHER CORP MD 5.02 09/30/08 VERISIGN INC/CA DE 1.01 10/03/08 VERTICAL BRANDING, INC. DE 5.02,9.01 10/01/08 VERTIS INC DE 7.01,9.01 09/25/08 Vicor Technologies, Inc. DE 7.01,9.01 10/06/08 VIGNETTE CORP DE 2.02,9.01 10/03/08 VINEYARD NATIONAL BANCORP CA 5.02 10/06/08 WEIKANG BIO-TECHNOLOGY GROUP CO INC 9.01 07/22/08 AMEND WHERIFY WIRELESS INC DE 1.01 10/01/08 WILLIS GROUP HOLDINGS LTD D0 1.01,2.01,2.03,9.01 10/01/08 Wonder Auto Technology, Inc NV 1.01,9.01 10/01/08 WYNDHAM WORLDWIDE CORP DE 2.02,9.01 10/06/08 XPLORE TECHNOLOGIES CORP DE 1.01,2.03,9.01 09/30/08 ZAREBA SYSTEMS INC MN 1.01,9.01 10/06/08 ZBB ENERGY CORP WI 1.02,8.01,9.01 10/01/08 Zep Inc. DE 5.02,5.03,8.01,9.01 09/29/08