RECENT 8K FILINGS November 12, 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 ------------------------------------------------------------------------------------------------------- 1st Century Bancshares, Inc. DE 2.02,9.01 11/10/08 4 KIDS ENTERTAINMENT INC NY 2.02,9.01 09/30/08 A.C. Moore Arts & Crafts, Inc. PA 2.02,7.01,9.01 11/10/08 a21, Inc. DE 1.01,3.02,5.02,9.01 11/04/08 AARON RENTS INC GA 1.01,8.01,9.01 11/04/08 ABIOMED INC DE 2.02,9.01 11/10/08 ABRAXAS PETROLEUM CORP NV 2.02,9.01 11/10/08 ABRAXAS PETROLEUM CORP NV 7.01,9.01 11/10/08 Accelerated Building Concepts CORP DE 4.02,9.01 11/10/08 Accelerated Building Concepts CORP DE 8.01,9.01 11/10/08 ACCENTIA BIOPHARMACEUTICALS INC 1.03,9.01 11/10/08 Activision Blizzard, Inc. DE 2.02,9.01 11/05/08 AMEND ACUSPHERE INC DE 2.02,9.01 11/10/08 ADA-ES INC CO 7.01,9.01 11/07/08 ADVOCAT INC DE 8.01,9.01 11/10/08 Agfeed Industries, Inc NV 7.01,9.01 11/10/08 AGY Holding Corp. DE 2.02,9.01 11/10/08 AIRVANA INC DE 1.01 11/06/08 ALDILA INC DE 7.01,9.01 11/06/08 ALLIANCE LAUNDRY HOLDINGS LLC 2.02,9.01 11/10/08 ALLIED CAPITAL CORP MD 2.02,9.01 11/10/08 ALLIED WORLD ASSURANCE CO HOLDINGS LT 5.02,9.01 11/05/08 ALLOS THERAPEUTICS INC DE 7.01,9.01 11/10/08 ALLOS THERAPEUTICS INC DE 7.01,9.01 11/10/08 AMEND ALTRIA GROUP, INC. VA 8.01,9.01 11/05/08 AMARILLO BIOSCIENCES INC TX 5.02 11/10/08 AMERICA SERVICE GROUP INC /DE DE 5.02,9.01 11/07/08 AMERICAN AXLE & MANUFACTURING HOLDING DE 1.01,2.03,9.01 11/07/08 AMERICAN CAPITAL, LTD 2.02,9.01 11/10/08 AMERICAN DG ENERGY INC DE 2.02,9.01 11/10/08 AMERICAN INDEPENDENCE CORP DE 2.02,9.01 09/30/08 AMERICAN INTERNATIONAL GROUP INC DE 2.02,7.01,9.01 11/10/08 AMERICAN INTERNATIONAL GROUP INC DE 2.02,7.01,9.01 11/10/08 AMEND American Lorain CORP DE 2.02,7.01,9.01 11/10/08 AMERICAN OIL & GAS INC NV 3.02,5.02,7.01,9.01 11/10/08 AMERICAN PHYSICIANS SERVICE GROUP INC TX 7.01,9.01 11/10/08 AMERICAN TECHNOLOGY CORP /DE/ DE 5.02 11/05/08 AMERISTAR CASINOS INC NV 2.02,9.01 11/10/08 AMYLIN PHARMACEUTICALS INC DE 2.05,9.01 11/10/08 ANALOGIC CORP MA 8.01 11/10/08 ANESIVA, INC. DE 2.04,2.05,8.01 11/08/08 ANNAPOLIS BANCORP INC MD 2.02,9.01 11/10/08 ANTHRACITE CAPITAL INC MD 2.02,8.01,9.01 11/10/08 ANTS SOFTWARE INC DE 2.02 11/10/08 APPLIED DNA SCIENCES INC NV 8.01,9.01 11/10/08 ARCH CHEMICALS INC VA 2.02,9.01 11/10/08 ARQULE INC DE 1.01,9.01 11/07/08 ARQULE INC DE 2.02,9.01 11/10/08 ARROWHEAD RESEARCH CORP DE 8.01,9.01 10/28/08 ARTES MEDICAL INC 2.02,9.01 11/10/08 ARUBA NETWORKS, INC. DE 5.02,9.01 11/06/08 ASPEN INSURANCE HOLDINGS LTD D0 7.01,9.01 11/10/08 AT&T INC. DE 8.01 11/10/08 ATHERSYS, INC / NEW DE 2.02,9.01 11/10/08 ATLANTIC CITY ELECTRIC CO NJ 8.01,9.01 11/06/08 ATMEL CORP DE 3.03,9.01 11/10/08 AUTOBYTEL INC DE 2.02,9.01 11/06/08 AUTODESK INC DE 2.02,9.01 11/04/08 AUTOIMMUNE INC DE 2.02,9.01 11/07/08 AVATAR HOLDINGS INC DE 2.02,7.01,9.01 11/10/08 AVAX TECHNOLOGIES INC DE 5.02 11/04/08 AVI BIOPHARMA INC OR 2.02,9.01 11/10/08 B2B INTERNET HOLDRSSM TRUST NY 9.01 09/30/08 BANK OF AMERICA CORP /DE/ DE 8.01,9.01 11/07/08 BEACON POWER CORP DE 2.02,9.01 11/10/08 BEARINGPOINT INC DE 2.02,9.01 11/10/08 BEAZER HOMES USA INC DE 2.02,9.01 11/10/08 Bidz.com, Inc. CA 2.02,9.01 11/10/08 BIG CAT ENERGY CORP 4.01,9.01 11/06/08 AMEND BIOCRYST PHARMACEUTICALS INC DE 9.01 08/18/08 BIOJECT MEDICAL TECHNOLOGIES INC OR 2.02,9.01 11/10/08 BIOSANTE PHARMACEUTICALS INC DE 2.02,9.01 11/10/08 BIOTECH HOLDRS TRUST 8.01,9.01 09/30/08 BIOVEST INTERNATIONAL INC DE 1.03,9.01 11/10/08 BJs RESTAURANTS INC CA 8.01,9.01 11/07/08 BLUE VALLEY BAN CORP KS 5.02 11/10/08 BMP Sunstone CORP 2.02,9.01 11/10/08 BNC BANCORP NC 2.02,9.01 11/10/08 BOWNE & CO INC DE 2.02,9.01 11/10/08 BROADBAND HOLDRS TRUST 8.01,9.01 09/30/08 Bronco Drilling Company, Inc. DE 7.01,9.01 11/10/08 Brookdale Senior Living Inc. DE 5.02 11/04/08 Buckeye GP Holdings L.P. DE 5.02,9.01 11/10/08 BUCKEYE PARTNERS L P DE 7.01 11/10/08 BUCKEYE PARTNERS L P DE 5.02,9.01 11/10/08 Bunge LTD 1.02,9.01 11/10/08 C C Media Holdings Inc DE 2.02,9.01 11/10/08 CADENCE DESIGN SYSTEMS INC DE 2.02,9.01 11/07/08 CAL MAINE FOODS INC DE 8.01 11/04/08 CALIPER LIFE SCIENCES INC DE 1.01,2.02,9.01 11/10/08 CANARGO ENERGY CORP DE 8.01 11/10/08 CapLease, Inc. 8.01 11/10/08 CAPSTONE TURBINE CORP DE 2.02,9.01 11/10/08 CARMIKE CINEMAS INC DE 2.02,9.01 11/10/08 CENTENNIAL COMMUNICATIONS CORP /DE DE 8.01,9.01 11/07/08 CENTURY ALUMINUM CO DE 2.02,9.01 11/07/08 AMEND CENTURY CASINOS INC /CO/ DE 2.02,9.01 11/07/08 CEPHEID CA 1.01 11/10/08 CHEMOKINE THERAPEUTICS CORP DE 2.02,9.01 11/10/08 CHINA AGRITECH INC 2.02,9.01 11/10/08 CHINA AGRITECH INC 5.02 10/24/08 AMEND China Armco Metals, Inc. NV 7.01,9.01 11/10/08 China Green Agriculture, Inc. NV 8.01,9.01 11/10/08 CHINA GROWTH DEVELOPMENT, INC. DE 4.01 11/05/08 China Housing & Land Development, Inc NV 1.01,2.03,9.01 11/10/08 China Ritar Power Corp. UT 2.02,7.01,9.01 11/10/08 CHINDEX INTERNATIONAL INC DE 2.02,7.01,9.01 11/10/08 Cinemark Holdings, Inc. DE 2.02,7.01,9.01 11/06/08 Cistera Networks, Inc. 2.02,8.01,9.01 11/10/08 CITIZENS INC CO 2.02,5.02,9.01 11/06/08 CITIZENS REPUBLIC BANCORP, INC. MI 2.02,5.02 11/04/08 CLAIBORNE LIZ INC DE 2.02,9.01 11/10/08 CLEAN DIESEL TECHNOLOGIES INC DE 5.02 11/06/08 Clear Channel Outdoor Holdings, Inc. DE 2.02,9.01 11/10/08 CLEARWIRE CORP 2.02,8.01,9.01 11/10/08 CLIFTON SAVINGS BANCORP INC 8.01,9.01 11/05/08 CNB CORP /SC/ SC 2.02,9.01 11/06/08 Colfax CORP DE 7.01,9.01 11/10/08 COLLECTORS UNIVERSE INC DE 7.01 11/05/08 COLLECTORS UNIVERSE INC DE 7.01 11/04/08 COLLECTORS UNIVERSE INC DE 2.02,9.01 09/30/08 COMCAST CORP PA 8.01,9.01 10/29/08 COMERICA INC /NEW/ DE 7.01,9.01 11/10/08 Compass Diversified Holdings DE 2.02,9.01 11/10/08 CONSOLIDATED CAPITAL INSTITUTIONAL PR CA 1.01,9.01 11/05/08 Converted Organics Inc. DE 8.01 11/10/08 COPsync, Inc. DE 4.01,9.01 11/10/08 Core-Mark Holding Company, Inc. DE 2.02,9.01 11/10/08 CORN PRODUCTS INTERNATIONAL INC DE 8.01,9.01 11/10/08 Cougar Biotechnology, Inc. 2.02,9.01 11/10/08 CPI AEROSTRUCTURES INC NY 2.02,9.01 11/10/08 Crusader Energy Group Inc. NV 2.02,9.01 11/10/08 CURRENT TECHNOLOGY CORP 8.01,9.01 11/10/08 CYPRESS BIOSCIENCE INC DE 2.02,9.01 11/10/08 CYTOKINETICS INC 8.01,9.01 11/10/08 CYTORI THERAPEUTICS, INC. DE 2.02,9.01 11/10/08 DECODE GENETICS INC DE 2.02,9.01 11/06/08 DEER VALLEY CORP 2.02,9.01 11/10/08 DELPHI CORP DE 2.02,9.01 11/10/08 DEXCOM INC 1.01 11/10/08 DEXCOM INC 2.02,9.01 11/10/08 DILLARDS INC DE 7.01,9.01 11/10/08 Discover Financial Services DE 7.01,9.01 11/10/08 DISCOVERY LABORATORIES INC /DE/ DE 2.02,8.01,9.01 11/07/08 DNB FINANCIAL CORP /PA/ PA 2.02,9.01 11/10/08 DOVER SADDLERY INC 2.02,9.01 11/10/08 Dresser-Rand Group Inc. DE 7.01 11/10/08 DREW INDUSTRIES INC DE 8.01,9.01 11/10/08 DRINKS AMERICAS HOLDINGS, LTD DE 8.01,9.01 10/27/08 DTS, INC. DE 2.02,9.01 11/10/08 Dynamic Natural Resources Inc. NV 5.03 10/31/08 EAGLE BANCORP INC MD 9.01 08/31/08 AMEND EARTH BIOFUELS INC DE 1.01,1.02,9.01 10/31/08 AMEND EchoStar CORP NV 5.02 11/06/08 ECOLAB INC DE 1.01,7.01,8.01,9.01 11/10/08 EDGE PETROLEUM CORP DE 2.02 11/10/08 EDISON INTERNATIONAL CA 7.01,9.01 11/07/08 EDWARDS LIFESCIENCES CORP DE 3.01 11/07/08 Emergent BioSolutions Inc. DE 2.02,9.01 11/06/08 EMERITUS CORP\WA\ WA 2.02 11/10/08 ENCORIUM GROUP INC NV 5.02 11/04/08 ENDOCARE INC DE 2.02,9.01 11/10/08 Energy Future Holdings Corp /TX/ TX 7.01,9.01 11/10/08 ENERGY PARTNERS LTD DE 2.02 11/07/08 AMEND ENERNOC INC 2.02,9.01 11/10/08 Enterprise GP Holdings L.P. DE 2.02,9.01 11/10/08 Enterprise IV CORP FL 5.03 10/24/08 Enterprise VI CORP FL 5.03 10/24/08 ENTREMED INC DE 2.02,9.01 11/06/08 ENVIRONMENTAL POWER CORP DE 2.02,9.01 11/10/08 EPIC ENERGY RESOURCES, INC. CO 2.02,9.01 11/10/08 Equity Media Holdings CORP DE 5.02,9.01 11/06/08 EQUUS TOTAL RETURN, INC. DE 8.01,9.01 11/10/08 ETRIALS WORLDWIDE INC. 2.02,9.01 11/10/08 EUROPE 2001 HOLDRS TRUST NY 8.01,9.01 09/30/08 EV Energy Partners, LP DE 9.01 08/11/08 AMEND EVERGREEN ENERGY INC DE 7.01,9.01 11/10/08 EXELON CORP PA 7.01,9.01 11/10/08 EXPRESSJET HOLDINGS INC DE 4.01 11/10/08 FAIRCHILD SEMICONDUCTOR INTERNATIONAL DE 7.01,9.01 11/10/08 FARMER BROTHERS CO CA 2.02,9.01 11/10/08 FBL FINANCIAL GROUP INC IA 1.01,2.03,9.01 11/06/08 Federal Home Loan Bank of Atlanta X1 2.03 11/05/08 Federal Home Loan Bank of Indianapoli X1 5.02,9.01 11/10/08 Federal Home Loan Bank of Indianapoli X1 2.02,9.01 11/10/08 FEDERAL HOME LOAN MORTGAGE CORP 5.02 11/04/08 FEDERAL NATIONAL MORTGAGE ASSOCIATION 2.02,7.01,9.01 11/10/08 FFD FINANCIAL CORP/OH OH 2.02,9.01 11/05/08 FINOTEC GROUP INC NV 3.02 11/03/08 FIRST ACCEPTANCE CORP /DE/ DE 2.02,7.01,9.01 11/10/08 FIRST BANCSHARES INC /MO/ MO 5.02,9.01 11/06/08 FIRST FEDERAL BANKSHARES INC DE 2.02,9.01 11/10/08 FIRST FINANCIAL HOLDINGS INC /DE/ DE 7.01,9.01 11/07/08 FIRST MIDWEST BANCORP INC DE 8.01,9.01 10/11/08 FIRST UNITED ETHANOL LLC GA 7.01,9.01 11/10/08 FIRSTCITY FINANCIAL CORP DE 2.02,7.01,9.01 11/10/08 FLINT TELECOM GROUP INC. 5.02,9.01 10/30/08 FLORIDA PUBLIC UTILITIES CO FL 5.03,8.01,9.01 11/07/08 FLUSHING FINANCIAL CORP DE 7.01,9.01 11/07/08 FMC CORP DE 7.01,9.01 11/10/08 FOAMEX INTERNATIONAL INC. DE 8.01,9.01 11/07/08 FORCE PROTECTION INC NV 2.02,7.01,9.01 11/10/08 FOUNTAIN POWERBOAT INDUSTRIES INC 3.01,9.01 11/05/08 FPL GROUP INC FL 7.01 11/10/08 FRANKLIN BANK CORP 1.03,8.01,9.01 11/04/08 FREEPORT MCMORAN COPPER & GOLD INC DE 8.01,9.01 11/10/08 FREMONT MICHIGAN INSURACORP INC MI 2.02,9.01 11/10/08 FRESH IDEAS MEDIA INC NV 1.01,2.01,3.02,5.01,5.02,9.01 11/10/08 FRONTIER COMMUNICATIONS CORP DE 2.02,9.01 09/30/08 FRONTIER COMMUNICATIONS CORP DE 8.01,9.01 11/10/08 FURMANITE CORP DE 2.02,9.01 11/10/08 GAMCO INVESTORS, INC. ET AL NY 2.02,8.01,9.01 11/07/08 GARDNER DENVER INC DE 5.02,7.01,8.01,9.01 11/03/08 GENERAL NUTRITION CENTERS, INC. 2.02,9.01 11/10/08 GENIUS PRODUCTS INC DE 7.01,9.01 11/10/08 GeoMet, Inc. DE 2.02,9.01 11/10/08 GILLA INC. NV 2.01,3.02,5.02,9.01 10/29/08 GLG Partners, Inc. DE 2.02,9.01 11/10/08 GLOBAL AXCESS CORP NV 1.01,2.04,9.01 11/07/08 GLOBAL GREEN SOLUTIONS INC. 3.02 11/10/08 GLOBAL GREEN SOLUTIONS INC. 1.01 11/10/08 GlobalOptions Group, Inc. 2.02,9.01 11/10/08 Globalstar, Inc. DE 2.02,9.01 11/10/08 GOLDEN PHOENIX MINERALS INC NV 2.05,5.02,7.01,9.01 11/04/08 GOLDLEAF FINANCIAL SOLUTIONS INC. TN 2.02,9.01 11/10/08 GRAPHON CORP/DE DE 2.02,9.01 11/04/08 GREENHILL & CO INC 1.01,9.01 11/06/08 HAGUE CORP. NV 1.01,3.02,5.01,5.02,5.06,9.01 11/04/08 HARDINGE INC NY 2.02,9.01 11/04/08 HARMONIC INC DE 5.03,9.01 11/05/08 HAWKINS INC MN 2.02,9.01 11/06/08 HCC INSURANCE HOLDINGS INC/DE/ DE 2.02,9.01 11/04/08 HEALTHCARE REALTY TRUST INC MD 2.02,7.01,9.01 11/10/08 HEALTHSOUTH CORP DE 7.01,9.01 11/10/08 HEALTHTRONICS, INC. GA 2.02,7.01,9.01 11/06/08 HEALTHWAYS, INC DE 2.02,9.01 08/31/08 HEARUSA INC DE 2.02,9.01 11/10/08 HECLA MINING CO/DE/ 2.01,3.02,8.01,9.01 11/04/08 HEMACARE CORP /CA/ CA 2.02,9.01 11/10/08 HERTZ CORP DE 2.02,9.01 11/06/08 HERTZ GLOBAL HOLDINGS INC 2.02,9.01 11/06/08 HESKA CORP DE 2.02,9.01 11/10/08 HESKA CORP DE 5.02,9.01 11/10/08 Hill International, Inc. DE 2.02,9.01 11/05/08 HOSPITALITY PROPERTIES TRUST MD 2.02,9.01 11/10/08 Houston Wire & Cable CO 2.02 11/10/08 HSBC Finance Corp 7.01,9.01 11/10/08 HUNGARIAN TELEPHONE & CABLE CORP DE 2.02,9.01 11/10/08 HUNTINGTON BANCSHARES INC/MD MD 2.02,9.01 11/10/08 I2 TECHNOLOGIES INC DE 8.01,9.01 11/07/08 IdeaEdge, Inc CO 7.01,8.01,9.01 11/10/08 IDEX CORP /DE/ DE 8.01 11/10/08 IMPAC MORTGAGE HOLDINGS INC MD 5.02 11/04/08 INDEPENDENCE HOLDING CO DE 2.02,9.01 11/10/08 INDEPENDENCE LEAD MINES CO AZ 2.01 11/06/08 INDEPENDENT BANK CORP MA 1.01,8.01,9.01 11/08/08 INDEPENDENT BANK CORP MA 1.01,8.01,9.01 11/08/08 Information Services Group Inc. DE 2.02,9.01 11/10/08 INFOSPACE INC DE 5.02 11/04/08 INLAND WESTERN RETAIL REAL ESTATE TRU MD 8.01,9.01 11/10/08 INNOTRAC CORP GA 2.02,9.01 11/10/08 Inova Technology Inc. NV 8.01 11/10/08 Inova Technology Inc. NV 5.02 05/01/08 INSMED INC VA 1.01,9.01 11/08/08 INTEGRATED BIOPHARMA INC 5.02,9.01 11/05/08 INTER PARFUMS INC DE 2.02,7.01,8.01,9.01 11/10/08 INTERACTIVE DATA CORP/MA/ DE 5.02 11/05/08 INTERNET ARCHITECTURE HOLDRSSM TRUST NY 9.01 09/30/08 INTERNET HOLDRS TRUST NY 8.01,9.01 09/30/08 INTERNET INFRASTRUCTURE HOLDRSSM TRUS NY 9.01 09/30/08 Interval Leisure Group, Inc. DE 7.01,9.01 11/10/08 INTEST CORP DE 2.02,9.01 11/05/08 INTRAOP MEDICAL CORP 8.01 11/05/08 Invesco Ltd. D0 8.01,9.01 11/10/08 INVESTMENT TECHNOLOGY GROUP INC DE 8.01,9.01 11/10/08 INX Inc DE 7.01,9.01 11/10/08 IPAYMENT INC DE 2.02,9.01 11/10/08 IRELAND INC. NV 5.02 11/04/08 IRVINE SENSORS CORP/DE/ DE 1.01,2.03,3.02 11/05/08 IRWIN FINANCIAL CORP IN 2.02,9.01 11/10/08 ISIS PHARMACEUTICALS INC DE 2.02,9.01 11/10/08 JAGGED PEAK, INC. NV 2.02,9.01 11/10/08 JAVELIN PHARMACEUTICALS, INC DE 2.02,9.01 11/10/08 JDA SOFTWARE GROUP INC DE 8.01,9.01 11/07/08 John Bean Technologies CORP DE 2.02,9.01 11/10/08 KAPSTONE PAPER & PACKAGING CORP DE 2.02,9.01 11/10/08 KERYX BIOPHARMACEUTICALS INC DE 2.02,8.01 11/10/08 KING PHARMACEUTICALS INC TN 2.02,9.01 11/06/08 KKR Financial Holdings LLC DE 2.02,5.02,9.01 11/10/08 Kohlberg Capital CORP DE 2.02 11/10/08 LADENBURG THALMANN FINANCIAL SERVICES FL 2.02,9.01 11/10/08 LAKES ENTERTAINMENT INC MN 8.01,9.01 11/04/08 LANDAMERICA FINANCIAL GROUP INC VA 2.02,9.01 09/30/08 LANDRYS RESTAURANTS INC 2.02,9.01 11/10/08 LAWSON PRODUCTS INC/NEW/DE/ DE 1.01,2.03,9.01 11/07/08 LIFE SCIENCES INC DE 5.02,8.01 09/16/08 LIGHTPATH TECHNOLOGIES INC DE 2.02,9.01 11/10/08 LIONS GATE ENTERTAINMENT CORP /CN/ 8.01 11/06/08 LIONS GATE ENTERTAINMENT INC 2.02,9.01 11/10/08 MABCURE INC. 5.02 11/07/08 MARKET 2000 PLUS HOLDRS SM TRUST NY 8.01,9.01 09/30/08 Marvel Entertainment, Inc. DE 2.02,9.01 11/04/08 MARVELL TECHNOLOGY GROUP LTD D0 1.02 11/04/08 MBIA INC CT 7.01,8.01,9.01 11/07/08 MCDONALDS CORP DE 7.01,9.01 11/10/08 Medefile International, Inc. NV 4.01,9.01 11/04/08 MEDICINES CO /DE DE 9.01 08/04/08 AMEND MEDICINOVA INC DE 7.01,9.01 11/10/08 MEDICINOVA INC DE 2.02,9.01 11/10/08 MEDICIS PHARMACEUTICAL CORP DE 2.02,9.01 11/10/08 MEDIS TECHNOLOGIES LTD DE 2.02,9.01 11/10/08 MEDIVATION, INC. DE 2.02,9.01 11/10/08 MERCANTILE BANK CORP MI 5.02 11/06/08 MERRILL LYNCH & CO INC DE 8.01,9.01 11/07/08 MICHAEL FOODS INC/NEW DE 2.02,9.01 11/10/08 MIDAMERICAN ENERGY CO IA 7.01,9.01 11/07/08 MIDAMERICAN ENERGY HOLDINGS CO /NEW/ IA 7.01,9.01 11/07/08 MIDDLEFIELD BANC CORP OH 8.01,9.01 11/07/08 MIDWAY GAMES INC DE 2.02,9.01 11/10/08 MIPSolutions, Inc. NV 5.02,9.01 11/06/08 MIVA, INC. DE 1.01,2.02,2.03,7.01,8.01,9.01 11/07/08 MONTEREY GOURMET FOODS DE 2.02,9.01 11/06/08 NATIONAL BANK OF INDIANAPOLIS CORP IN 2.02,9.01 11/10/08 NEOSE TECHNOLOGIES INC DE 2.02,8.01,9.01 11/10/08 NETLIST INC DE 2.02,5.02,9.01 11/06/08 NETSOL TECHNOLOGIES INC NV 4.02 11/10/08 NETSOL TECHNOLOGIES INC NV 5.02 11/10/08 NEWFIELD EXPLORATION CO /DE/ DE 5.02,8.01,9.01 11/06/08 NEWPARK RESOURCES INC DE 7.01,9.01 11/10/08 NEXSTAR BROADCASTING GROUP INC DE 2.02,9.01 11/10/08 NMS COMMUNICATIONS CORP DE 1.01,2.03,9.01 11/06/08 NNN 2002 VALUE FUND LLC 7.01,9.01 11/10/08 NORTEL NETWORKS CORP 2.02,2.05,5.02,8.01,9.01 11/07/08 NORTEL NETWORKS LTD 2.02,2.05,5.02,8.01,9.01 11/07/08 NORTHEAST UTILITIES MA 2.02,7.01,9.01 11/10/08 NORTHWESTERN CORP DE 7.01,9.01 11/10/08 NOVAVAX INC DE 2.02,9.01 11/10/08 NRG ENERGY, INC. DE 8.01,9.01 11/09/08 NTELOS HOLDINGS CORP 7.01,9.01 11/10/08 Nugent Engine Technologies Inc. FL 5.03 10/24/08 Nugent Engine Technologies Inc. FL 5.03 10/24/08 AMEND NuStar Energy L.P. DE 5.02,9.01 11/10/08 NuStar GP Holdings, LLC DE 5.02,9.01 11/10/08 NVIDIA CORP DE 8.01 11/10/08 NVR INC VA 5.02,9.01 11/06/08 Oak Valley Bancorp CA 8.01,9.01 11/04/08 Octavian Global Technologies, Inc. NV 4.01,9.01 10/30/08 AMEND OGE ENERGY CORP. OK 8.01,9.01 11/10/08 OGE ENERGY CORP. OK 8.01,9.01 11/10/08 OI CORP OK 2.02,9.01 11/10/08 OIL SERVICE HOLDRS TRUST NY 9.01 09/30/08 ON SEMICONDUCTOR CORP DE 8.01,9.01 10/31/08 ONCOGENEX PHARMACEUTICALS, INC. DE 2.02,9.01 11/10/08 ONEOK INC /NEW/ OK 7.01,9.01 11/10/08 ONEOK Partners LP DE 7.01,9.01 11/10/08 OPENTV CORP 2.02,9.01 11/06/08 OPTIMER PHARMACEUTICALS INC 8.01 11/10/08 ORBCOMM Inc. DE 2.02,9.01 11/10/08 Orbitz Worldwide, Inc. DE 2.02,2.05,9.01 11/10/08 Orchard Enterprises, Inc. DE 2.02,9.01 11/10/08 Orexigen Therapeutics, Inc. DE 5.02,9.01 11/09/08 PACIFIC ENTERPRISES INC CA 2.02,9.01 11/10/08 Pacific Ethanol, Inc. DE 1.01,1.02,2.02,2.03,9.01 11/07/08 PACIFIC GAS & ELECTRIC CO CA 7.01,9.01 11/07/08 PACIFICORP /OR/ OR 7.01,9.01 11/07/08 PANTRY INC DE 5.02,5.03,9.01 11/10/08 PATRIOT NATIONAL BANCORP INC CT 2.02,9.01 11/10/08 PDL BIOPHARMA, INC. DE 2.02,5.02,9.01 11/04/08 PEGASYSTEMS INC MA 5.02 11/04/08 AMEND PENNSYLVANIA COMMERCE BANCORP INC 8.01,9.01 11/10/08 PetroHunter Energy Corp MD 2.01,9.01 11/10/08 PG&E CORP CA 7.01,9.01 11/07/08 PHARMACEUTICAL HOLDRS TRUST 9.01 09/30/08 PHH CORP MD 2.02,9.01 11/10/08 Pike Electric CORP 2.02,9.01 11/10/08 PILGRIMS PRIDE CORP DE 5.02,5.04,7.01,9.01 11/04/08 PLAYBOX (US) INC. NV 1.01,5.02,9.01 10/15/08 PLUG POWER INC DE 2.02,5.02 11/10/08 PLY GEM HOLDINGS INC DE 9.01 11/05/08 PMFG, Inc. DE 2.02,7.01,9.01 11/10/08 Polypore International, Inc. 7.01,9.01 11/10/08 POMEROY IT SOLUTIONS INC DE 5.02,9.01 11/04/08 POPULAR INC 2.01,9.01 11/03/08 POWER 3 MEDICAL PRODUCTS INC NY 1.01,2.03,3.02,8.01,9.01 11/04/08 PREMIER FINANCIAL BANCORP INC KY 2.03,9.01 11/06/08 PRESSURE BIOSCIENCES INC MA 5.02 11/04/08 Prestige Brands Holdings, Inc. 7.01 11/06/08 AMEND PRIMUS GUARANTY LTD 3.01,9.01 11/07/08 PRIMUS TELECOMMUNICATIONS GROUP INC DE 2.02,9.01 11/10/08 Probe Manufacturing Inc NV 3.03,4.01,5.02 09/18/08 PROGENICS PHARMACEUTICALS INC DE 2.02,9.01 11/10/08 PROGINET CORP DE 2.02,9.01 11/07/08 PROSPECT CAPITAL CORP MD 2.02,9.01 11/10/08 PROSPERITY BANCSHARES INC TX 7.01,8.01,9.01 11/07/08 PROVIDENT FINANCIAL SERVICES INC DE 8.01,9.01 11/10/08 PUBLIC SERVICE ENTERPRISE GROUP INC NJ 7.01,9.01 11/09/08 Puda Coal, Inc. 2.02,9.01 11/10/08 PURE BIOFUELS CORP NV 1.01,2.03,3.02,9.01 11/04/08 PURE CYCLE CORP DE 2.02,9.01 11/07/08 Pzena Investment Management, Inc. DE 8.01,9.01 11/10/08 QUEPASA CORP NV 4.01,9.01 11/04/08 RADIOSHACK CORP DE 8.01,9.01 11/07/08 RAMBUS INC DE 8.01,9.01 11/07/08 RAPTOR PHARMACEUTICALS CORP. 8.01,9.01 11/10/08 RC2 CORP DE 5.02,9.01 11/05/08 READING INTERNATIONAL INC NV 2.02,9.01 11/07/08 REDWOOD TRUST INC MD 7.01,8.01,9.01 11/10/08 REGAL ENTERTAINMENT GROUP DE 8.01 11/05/08 REGENCY CENTERS CORP FL 2.02,9.01 11/10/08 Regency Energy Partners LP DE 2.02,9.01 11/10/08 REGIONAL BANK HOLDERS SM TRUST NY 9.01 09/30/08 REPROS THERAPEUTICS INC. DE 2.02,9.01 11/10/08 REPUBLIC FIRST BANCORP INC PA 8.01,9.01 11/10/08 REPUBLIC FIRST BANCORP INC PA 5.02 11/07/08 RETAIL HOLDRS TRUST NY 9.01 09/30/08 RHI Entertainment, Inc. DE 7.01 11/10/08 RIDGEWOOD ELECTRIC POWER TRUST II DE 8.01,9.01 11/10/08 ROCKWELL AUTOMATION INC DE 2.02 11/10/08 Rosetta Resources Inc. DE 2.02,9.01 11/07/08 RURAL/METRO CORP /DE/ DE 2.02,9.01 11/10/08 SAN DIEGO GAS & ELECTRIC CO CA 2.02,9.01 11/10/08 SAN JOAQUIN BANCORP CA 2.02,9.01 11/04/08 Sara Lee Corp MD 5.02 11/10/08 SAUL CENTERS INC MD 2.02,9.01 11/07/08 SCM MICROSYSTEMS INC DE 2.02,9.01 11/10/08 SEARS HOLDINGS CORP DE 5.02 11/06/08 SELECTIVE INSURANCE GROUP INC NJ 7.01,9.01 11/10/08 SEMICONDUCTOR HOLDRS TRUST NY 9.01 09/30/08 SEMPRA ENERGY CA 2.02,9.01 11/10/08 SENORX INC DE 2.02,9.01 11/10/08 Shiner International, Inc. NV 2.02,9.01 11/10/08 SILVERSTAR HOLDINGS LTD B0 2.02,8.01,9.01 11/06/08 SINGLE TOUCH SYSTEMS INC DE 4.01,5.03,9.01 11/04/08 SIX FLAGS, INC. DE 2.02,9.01 11/10/08 SKYTERRA COMMUNICATIONS INC DE 2.02,9.01 11/10/08 SKYWORKS SOLUTIONS INC DE 5.02 11/10/08 SMARTHEAT INC. NV 7.01,9.01 11/10/08 SOFTWARE HOLDRS TRUST NY 9.01 09/30/08 Solar Energy Initiatives, Inc. DE 5.02 11/04/08 Solar Power, Inc. 2.02,9.01 11/10/08 Sound Financial, Inc. 8.01,9.01 11/05/08 SOUTHERN MISSOURI BANCORP INC MO 8.01 11/10/08 SOUTHERN UNION CO DE 2.02,7.01,9.01 11/10/08 SOUTHWEST WATER CO DE 4.02,9.01 11/10/08 SPHERIX INC DE 3.01,9.01 11/07/08 Stamford Industrial Group, Inc. DE 2.02,9.01 11/10/08 STARBUCKS CORP WA 2.02,9.01 11/10/08 STARWOOD HOTEL & RESORTS WORLDWIDE IN MD 5.02,9.01 11/05/08 STATE STREET CORP MA 7.01,9.01 11/10/08 STATION CASINOS INC NV 2.02,9.01 11/10/08 STEC, INC. CA 2.02,9.01 11/10/08 Stereotaxis, Inc. DE 1.01,5.02 11/04/08 Sterling Oil & Gas CO NV 4.01,9.01 11/06/08 AMEND STEWARDSHIP FINANCIAL CORP NJ 2.02,9.01 10/30/08 AMEND STILLWATER MINING CO /DE/ DE 2.02,9.01 11/10/08 STONEMOR PARTNERS LP DE 2.02,9.01 11/10/08 Storm Cat Energy CORP 1.03,2.04,9.01 11/10/08 STRATS SM TRUST FOR Goldman Sachs Cap 8.01 11/05/08 STRATS SM TRUST FOR GOLDMAN SACHS GRO 8.01 11/05/08 STRATS SM TRUST FOR IBM CORP SEC SERI 8.01 11/05/08 STRATS SM TRUST FOR WAL-MART STORES, 8.01 11/05/08 STRATS(SM) TRUST FOR DOMINION RESOURC 8.01 11/05/08 Summit Dental Clinics, Inc. DE 5.03,8.01 11/10/08 SUN-TIMES MEDIA GROUP INC DE 2.02,7.01,9.01 11/06/08 SUNPOWER CORP 1.01,7.01,9.01 11/10/08 Sunstone Hotel Investors, Inc. MD 5.05,9.01 11/04/08 Surge Global Energy, Inc. 7.01,8.01,9.01 11/06/08 SYMANTEC CORP DE 8.01,9.01 11/10/08 SYNC2 ENTERTAINMENT CORP. 8.01 10/07/08 SYNTHETECH INC OR 1.01,2.03,9.01 11/05/08 TANDY BRANDS ACCESSORIES INC DE 2.02,9.01 11/10/08 TARRANT APPAREL GROUP CA 2.02,9.01 11/10/08 TEAM FINANCIAL INC /KS KS 5.02,9.01 11/04/08 TELECOM HOLDRS TRUST NY 8.01,9.01 09/30/08 TELKONET INC 2.02,9.01 11/10/08 TEMPLE INLAND INC DE 5.02 11/07/08 TESSERA TECHNOLOGIES INC DE 7.01,9.01 11/10/08 THERMAGE INC DE 2.02,9.01 11/10/08 THOMAS GROUP INC DE 2.02,9.01 11/04/08 TICKETMASTER ENTERTAINMENT, INC. DE 2.02,9.01 11/10/08 Timberline Resources Corp DE 7.01,9.01 11/07/08 TorreyPines Therapeutics, Inc. DE 1.01,2.01,9.01 11/06/08 Transfer Technology International Cor DE 3.02 11/10/08 Transfer Technology International Cor DE 3.02 08/26/08 AMEND TransTech Services Partners Inc. 5.02,9.01 11/07/08 TRANSWITCH CORP /DE DE 2.02,2.05,9.01 11/07/08 TRAVELCENTERS OF AMERICA LLC 2.02,9.01 11/10/08 TRIAD GUARANTY INC DE 2.02,9.01 11/10/08 TRIBUNE CO DE 2.02,9.01 09/28/08 TRICO MARINE SERVICES INC DE 7.01,9.01 11/06/08 TRIMAS CORP DE 5.02 11/10/08 TRIMAS CORP DE 2.02,9.01 11/10/08 Trubion Pharmaceuticals, Inc 2.02,9.01 11/10/08 TYSON FOODS INC DE 2.02,9.01 11/10/08 U-Store-It Trust MD 5.02,7.01,9.01 11/06/08 UDR, Inc. MD 7.01,9.01 11/10/08 ULURU INC. NV 2.02,9.01 11/10/08 UNIGENE LABORATORIES INC DE 8.01,9.01 11/10/08 UNION STREET ACQUISITION CORP. DE 8.01,9.01 11/10/08 UNITED SECURITY BANCSHARES CA 2.02,9.01 10/16/08 UNITED SURGICAL PARTNERS INTERNATIONA DE 2.02,9.01 11/10/08 UNITED WESTERN BANCORP INC CO 2.02,9.01 11/10/08 UNIVERSAL CORP /VA/ VA 5.02,9.01 11/04/08 UNIVERSAL ENERGY CORP. 4.01,9.01 11/05/08 URBAN OUTFITTERS INC PA 2.02,9.01 11/06/08 UROPLASTY INC MN 7.01,9.01 11/10/08 UTEK CORP 2.02,9.01 11/10/08 UTILITIES HOLDERS SM TRUST NY 9.01 09/30/08 UWHARRIE CAPITAL CORP NC 2.02,9.01 11/07/08 VALCOM, INC DE 8.01,9.01 11/10/08 VALENCE TECHNOLOGY INC DE 2.02,9.01 11/10/08 VALLEY FINANCIAL CORP /VA/ VA 2.02 11/10/08 VECTOR GROUP LTD DE 2.02,9.01 11/10/08 Velocity Oil & Gas, Inc. 1.01,5.02,9.01 09/29/08 Veraz Networks, Inc. DE 2.02,9.01 11/10/08 VERENIUM CORP DE 2.02,9.01 11/10/08 VIA Pharmaceuticals, Inc. DE 8.01,9.01 11/09/08 VICON INDUSTRIES INC /NY/ NY 5.02 11/05/08 Village Bank & Trust Financial Corp. 2.02,9.01 11/10/08 VION PHARMACEUTICALS INC DE 2.02,9.01 11/03/08 VIRGIN MEDIA INC. DE 1.01,9.01 11/10/08 Virgin Mobile USA, Inc. DE 2.02,9.01 11/10/08 VISA INC. DE 8.01,9.01 11/10/08 VISTA GOLD CORP 7.01,9.01 11/10/08 VOUGHT AIRCRAFT INDUSTRIES INC DE 2.02,9.01 11/10/08 Warner Chilcott Ltd D0 2.02,9.01 11/10/08 WELLMAN INC DE 1.01 11/04/08 WESTELL TECHNOLOGIES INC DE 1.02 11/05/08 Western Standard Energy Corp. NV 1.01,8.01,9.01 11/03/08 WEYCO GROUP INC WI 2.02,9.01 11/03/08 WHX CORP DE 2.02,5.03,9.01 11/07/08 WILLBROS GROUP INC R1 2.02,9.01 11/05/08 Winthrop Realty Trust OH 2.02,7.01,9.01 11/06/08 WIRELESS HOLDRS TRUST NY 8.01,9.01 09/30/08 WIZZARD SOFTWARE CORP /CO CO 7.01,9.01 11/10/08 Wolf Resources, Inc. 5.02 10/28/08 WORLD WRESTLING ENTERTAINMENTINC DE 5.02,9.01 11/06/08 XENOMICS INC FL 7.01,9.01 11/10/08 XENOPORT INC DE 8.01 11/10/08 XERIUM TECHNOLOGIES INC DE 5.02 11/04/08 XERIUM TECHNOLOGIES INC DE 2.02,9.01 11/10/08 XILINX INC DE 8.01 11/06/08 XO HOLDINGS INC DE 2.02,9.01 11/10/08 YADKIN VALLEY FINANCIAL CORP NC 2.02,9.01 11/07/08 YRC WORLDWIDE INC DE 7.01,9.01 11/10/08 ZHONGPIN INC. DE 2.02,7.01,9.01 11/10/08 ZILA INC DE 2.02,9.01 11/10/08 ZONES INC WA 8.01,9.01 11/07/08