RECENT 8K FILINGS October 16, 2009 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 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 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 ------------------------------------------------------------------------------------------------------ ABBOTT LABORATORIES IL 2.02,9.01 10/14/09 ACORDA THERAPEUTICS INC 7.01,9.01 10/14/09 ADTRAN INC DE 2.02,9.01 10/13/09 AFH Acquisition III, Inc. DE 4.01 10/01/09 AFH ACQUISITION IV, INC. DE 4.01 10/01/09 AFH Acquisition IX, Inc. DE 4.01 10/01/09 AFH ACQUISITION V, INC. DE 4.01 10/01/09 AFH ACQUISITION VI, INC. DE 4.01 10/01/09 AFH ACQUISITION VII, INC. DE 4.01 10/01/09 AFH Acquisition VIII, Inc. DE 4.01 10/01/09 AFH ACQUISITION X, INC. DE 4.01 10/01/09 AFH ACQUISITION XI, INC. DE 4.01 10/01/09 AFH ACQUISITION XII, INC. DE 4.01 10/01/09 AFH HOLDING II, INC. DE 4.01 10/01/09 AFH Holding III, Inc. DE 4.01 10/01/09 AFH Holding IV, Inc. DE 4.01 10/01/09 AFH HOLDING V, INC DE 4.01 10/01/09 AFH HOLDING VI, INC. DE 4.01 10/01/09 AFH HOLDING VII, INC. DE 4.01 10/01/09 AIRTRAN HOLDINGS INC NV 1.01,2.03,9.01 10/07/09 Alexza Pharmaceuticals Inc. DE 9.01 08/26/09 AMEND All State Properties Holdings, Inc. NV 4.01 09/30/09 AMEND ALLIANCE FINANCIAL CORP /NY/ NY 2.02,9.01 10/14/09 ALLSTATE CORP DE 8.01,9.01 10/12/09 Alon USA Energy, Inc. DE 8.01,9.01 10/13/09 AMEREN CORP MO 5.02,9.01 10/09/09 AMERICAN TOWER CORP /MA/ DE 8.01,9.01 10/13/09 Amtrust Financial Services, Inc. DE 8.01 10/08/09 ANTIVIRAL TECHNOLOGIES, INC. NV 5.03,9.01 10/14/09 APPALACHIAN BANCSHARES INC GA 3.01,9.01 10/07/09 APTARGROUP INC DE 2.02,9.01 10/14/09 ARGYLE SECURITY, INC. 5.02,8.01,9.01 10/09/09 AspenBio Pharma, Inc. CO 8.01,9.01 10/14/09 Avago Technologies LTD U0 7.01,9.01 10/14/09 AXIS CAPITAL HOLDINGS LTD 2.02,9.01 10/14/09 BAKERS FOOTWEAR GROUP INC MO 8.01,9.01 10/14/09 BANK OF THE OZARKS INC AR 2.02,7.01,9.01 10/13/09 BAYWOOD INTERNATIONAL INC NV 1.01,1.02,2.01,5.02,5.03,9.01 10/09/09 BILL BARRETT CORP 7.01,9.01 10/13/09 BIOANALYTICAL SYSTEMS INC IN 5.02,9.01 10/08/09 BIOSANTE PHARMACEUTICALS INC DE 1.01,2.01,2.03,5.02,5.03,7.01, 10/14/09 9.01 BJs RESTAURANTS INC CA 8.01,9.01 10/14/09 BLAST APPLICATIONS, INC. DE 2.01 10/14/09 Blugrass Energy, Inc. NV 1.01,7.01,9.01 10/01/09 Blugrass Energy, Inc. NV 5.02 07/16/09 BTHC X INC DE 8.01 10/09/09 CALGON CARBON CORPORATION DE 8.01,9.01 10/12/09 CALGON CARBON CORPORATION DE 5.02 10/14/09 CATHAY GENERAL BANCORP DE 1.01,7.01,8.01,9.01 10/13/09 CBS CORP DE 8.01,9.01 10/14/09 CBS CORP DE 7.01,9.01 10/14/09 CC Media Holdings Inc DE 5.02 10/13/09 CELL GENESYS INC DE 2.01,3.01,3.03,5.01,5.02,7.01, 10/14/09 9.01 Cell Wireless CORP NV 5.02 10/13/09 CENTENNIAL COMMUNICATIONS CORP /DE DE 2.02,9.01 10/13/09 CENTRAL PACIFIC FINANCIAL CORP HI 5.02 10/13/09 CENTURY BANCORP INC MA 2.02,9.01 10/14/09 CENTURYTEL INC LA 8.01,9.01 10/12/09 CF Industries Holdings, Inc. DE 1.01 10/13/09 CH ENERGY GROUP INC NY 5.02,9.01 10/13/09 Chaparral Energy, Inc. DE 8.01,9.01 10/13/09 Chaparral Energy, Inc. DE 8.01,9.01 10/14/09 CHARLOTTE RUSSE HOLDING INC 2.01,3.01,5.03,8.01,9.01 10/13/09 CHEESECAKE FACTORY INC DE 8.01,9.01 10/14/09 China Industrial Waste Management Inc NV 8.01,9.01 10/10/09 CHINA YIDA HOLDING, CO. DE 7.01,9.01 10/13/09 CISCO SYSTEMS INC CA 8.01,9.01 10/12/09 CITIZENS & NORTHERN CORP PA 8.01,9.01 10/14/09 CKX, Inc. DE 8.01,9.01 10/13/09 CLEAR CHANNEL COMMUNICATIONS INC TX 5.02 10/13/09 CLECO CORP LA 8.01 10/14/09 CNB CORP /SC/ SC 2.02,9.01 09/28/09 COMMERCE BANCSHARES INC /MO/ MO 2.02,9.01 10/14/09 COMMONWEALTH BIOTECHNOLOGIES INC VA 8.01 10/09/09 COMSTOCK RESOURCES INC NV 1.01,2.03,9.01 10/09/09 CONAGRA FOODS INC /DE/ DE 7.01 10/14/09 CONEXANT SYSTEMS INC DE 8.01,9.01 10/14/09 CONSECO INC DE 7.01,9.01 10/13/09 CORCEPT THERAPEUTICS INC 1.01,3.02,8.01,9.01 10/12/09 DAVIDSON INCOME REAL ESTATE LP DE 1.01,9.01 10/08/09 DCP Holding CO OH 8.01,9.01 10/14/09 DECODE GENETICS INC DE 8.01 10/14/09 DOCUMENT SECURITY SYSTEMS INC NY 1.01,9.01 10/08/09 DOLE FOOD CO INC DE 8.01,9.01 10/13/09 DPL INC OH 7.01,9.01 10/13/09 DRAGON PHARMACEUTICAL INC FL 4.01 10/09/09 EchoStar CORP NV 1.02 10/14/09 ELEMENT 21 GOLF CO DE 5.02,9.01 10/12/09 EMPIRE RESORTS INC DE 1.01,1.02,5.02,8.01,9.01 10/09/09 ENSCO INTERNATIONAL INC DE 8.01,9.01 10/13/09 Ethos Environmental, Inc. NV 1.01,2.03,3.02,9.01 10/13/09 EURO GROUP OF COMPANIES, INC. DE 8.01 10/14/09 Federal Home Loan Bank of Chicago X1 2.03 10/07/09 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 10/07/09 Federal Home Loan Bank of Des Moines X1 2.03,9.01 10/09/09 Federal Home Loan Bank of Topeka 2.03 10/08/09 FERO INDUSTRIES, INC. CO 1.01,9.01 10/13/09 FERO INDUSTRIES, INC. CO 1.01,9.01 10/13/09 AMEND Fibrocell Science, Inc. DE 1.01,3.02,5.03,9.01 10/13/09 FINLAY ENTERPRISES INC /DE DE 5.02 10/12/09 FIRST CITIZENS BANC CORP /OH OH 2.02,9.01 10/09/09 Ford Credit Floorplan Master Owner Tr DE 1.01,9.01 10/14/09 FRANKLIN FINANCIAL SERVICES CORP /PA/ PA 8.01,9.01 10/14/09 GASCO ENERGY INC NV 7.01,9.01 10/14/09 Gate To Wire Solutions, Inc. NV 4.01 10/14/09 AMEND GAZOO ENERGY GROUP, INC. 4.01 08/03/09 AMEND GENEREX BIOTECHNOLOGY CORP DE 8.01,9.01 10/14/09 GENEREX BIOTECHNOLOGY CORP DE 7.01,9.01 10/14/09 GENESIS GROUP HOLDINGS INC 4.01 10/08/09 GENWORTH FINANCIAL INC DE 5.02 10/14/09 GEORESOURCES INC CO 2.02,9.01 10/13/09 GIGA TRONICS INC CA 8.01,9.01 10/13/09 GLOBALSCAPE INC DE 8.01 10/12/09 Golden Minerals Co 8.01,9.01 08/21/09 GRAINGER W W INC IL 2.02,9.01 09/30/09 Graymark Healthcare, Inc. OK 1.01,5.02,9.01 10/13/09 GREENSHIFT CORP DE 8.01 10/13/09 GSC INVESTMENT CORP. MD 5.02 10/13/09 GULFSTREAM INTERNATIONAL GROUP INC DE 1.01,2.03,9.01 10/07/09 HANDLEMAN CO /MI/ MI 1.02 10/09/09 Hard Rock Hotel Holdings, LLC DE 1.01 10/09/09 HEALTHCARE SERVICES GROUP INC PA 2.02,9.01 10/13/09 HERCULES OFFSHORE, INC. DE 1.01,2.03,9.01 10/08/09 HOME FEDERAL BANCORP, INC. OF LOUISIA 7.01,9.01 10/14/09 HOST HOTELS & RESORTS, INC. MD 2.02,9.01 10/14/09 HOTEL OUTSOURCE MANAGEMENT INTERNATIO DE 1.01,9.01 10/12/09 ICF International, Inc. DE 8.01,9.01 10/12/09 ICP Solar Technologies Inc. 1.01,2.03,3.02,9.01 10/08/09 ING USA Global Funding Trust 1 IA 8.01,9.01 10/01/09 INNOVEX INC MN 5.02,9.01 10/12/09 INTEGRAMED AMERICA INC DE 7.01,9.01 10/14/09 INTEL CORP DE 2.02 10/13/09 InterAmerican Gaming, Inc. NV 4.01 10/13/09 AMEND INTERNATIONAL GAME TECHNOLOGY NV 7.01,9.01 10/14/09 INVESTORS REAL ESTATE TRUST ND 7.01,9.01 10/14/09 IRELAND INC. NV 3.02 10/09/09 ITRONICS INC TX 3.02 10/07/09 J P MORGAN CHASE & CO DE 2.02,9.01 10/14/09 JACKSONVILLE BANCORP INC IL 2.02,9.01 10/14/09 JAG MEDIA GROUP, INC. CO 4.01,7.01,9.01 10/13/09 AMEND JOE'S JEANS INC. DE 1.01,5.02,8.01,9.01 10/08/09 JOHNSONDIVERSEY HOLDINGS INC DE 1.01,2.03,3.02,8.01,9.01 10/07/09 KAISER ALUMINUM CORP DE 8.01,9.01 10/13/09 KAR Holdings, Inc. DE 8.01 10/14/09 KIT digital, Inc. DE 7.01,9.01 10/06/09 Lake Shore Bancorp, Inc. X1 8.01,9.01 10/14/09 Language Line Holdings, Inc. 7.01,9.01 10/12/09 Language Line, Inc. 7.01,9.01 10/12/09 Lateral Media, Inc. DE 1.02,5.02 10/07/09 Laufer Bridge Enterprises, Inc. NV 9.01 10/14/09 AMEND LEHMAN BROTHERS HOLDINGS INC DE 7.01,9.01 10/14/09 LEXICON PHARMACEUTICALS, INC./DE DE 1.01,9.01 10/14/09 LILLY ELI & CO IN 2.05,2.06 10/13/09 LINEAR TECHNOLOGY CORP /CA/ DE 2.02,9.01 10/13/09 LUFKIN INDUSTRIES INC TX 2.02,9.01 10/14/09 Lumonall Inc. NV 4.01 10/13/09 AMEND LYDALL INC /DE/ DE 5.02,8.01,9.01 10/14/09 Management Energy, Inc. 1.01,9.01 10/08/09 Mandalay Media, Inc. DE 5.02,9.01 10/07/09 MARINE PRODUCTS CORP DE 8.01,9.01 10/13/09 MATECH Corp. DE 5.02 10/08/09 MEDINA INTERNATIONAL HOLDINGS, INC. CO 2.01,9.01 08/18/08 AMEND MEDIS TECHNOLOGIES LTD DE 1.01,3.02,9.01 10/08/09 MERIDIAN RESOURCE CORP TX 3.01,5.02 10/13/09 MICROWAVE FILTER CO INC /NY/ NY 4.01 10/13/09 AMEND Midway Gold Corp 7.01,9.01 10/13/09 MMR Information Systems, Inc. DE 2.02,9.01 10/12/09 MOHEGAN TRIBAL GAMING AUTHORITY 2.02,9.01 10/14/09 MOHEGAN TRIBAL GAMING AUTHORITY 8.01,9.01 10/14/09 Monarch Financial Holdings, Inc. VA 5.02,5.03,9.01 06/01/06 Monarch Financial Holdings, Inc. VA 5.02,9.01 10/14/09 MOTOROLA INC DE 5.02 10/08/09 MRV COMMUNICATIONS INC DE 1.01,2.02,5.02,9.01 10/08/09 MSC INDUSTRIAL DIRECT CO INC NY 5.02 10/13/09 NATIONAL HEALTHCARE CORP DE 8.01 10/14/09 NATIONAL PATENT DEVELOPMENT CORP DE 1.01,9.01 10/07/09 NEW HAMPSHIRE THRIFT BANCSHARES INC DE 2.02,9.01 10/14/09 NEW YORK TIMES CO NY 8.01 10/14/09 NEWALLIANCE BANCSHARES INC 5.02,9.01 10/14/09 NEWFIELD EXPLORATION CO /DE/ DE 8.01,9.01 10/14/09 NEXMED INC NV 3.01,9.01 10/08/09 NNN 2003 VALUE FUND LLC 2.03 10/10/09 NOBLE CONSOLIDATED INDUSTRIES CORP NV 1.01,1.02 10/14/09 NowAuto Group, Inc. NV 2.02,7.01,9.01 10/14/09 OMNI BIO PHARMACEUTICAL, INC. CO 5.02 10/09/09 Oncothyreon Inc. DE 8.01,9.01 10/14/09 OPTICON SYSTEMS 5.02,9.01 08/14/09 P&F INDUSTRIES INC DE 5.03,8.01,9.01 10/08/09 PACIFIC MERCANTILE BANCORP CA 8.01,9.01 10/13/09 PACIFIC PREMIER BANCORP INC DE 7.01,9.01 10/13/09 Pana-Minerales S.A. NV 4.01 10/14/09 AMEND POWERSECURE INTERNATIONAL, INC. DE 8.01,9.01 10/14/09 PRIMEDIA INC DE 7.01,9.01 10/14/09 PROGENICS PHARMACEUTICALS INC DE 8.01,9.01 10/14/09 PROGRESSIVE CORP/OH/ OH 2.02,9.01 10/14/09 QUALITY DISTRIBUTION INC FL 1.01,8.01,9.01 10/14/09 QUESTCOR PHARMACEUTICALS INC CA 5.02,9.01 10/09/09 QUICK MED TECHNOLOGIES INC NV 8.01 10/14/09 AMEND RAPTOR NETWORKS TECHNOLOGY INC 8.01,9.01 10/12/09 Reef Global Energy IV, L.P. NV 8.01 10/10/09 Reef Global Energy VI, L.P. 8.01 10/10/09 Reef Global Energy VII, L.P. 8.01 10/10/09 Reef Global Energy VIII, L.P. NV 8.01 10/10/09 Reef Oil & Gas Income & Development F TX 8.01 10/10/09 REGENERX BIOPHARMACEUTICALS INC DE 5.02,8.01 10/08/09 REPROS THERAPEUTICS INC. DE 1.01,8.01,9.01 10/07/09 RPC INC DE 8.01,9.01 10/13/09 RUBIOS RESTAURANTS INC DE 8.01,9.01 10/14/09 SAIC, Inc. 7.01,9.01 10/14/09 SANFILIPPO JOHN B & SON INC DE 8.01,9.01 10/09/09 SBA COMMUNICATIONS CORP FL 5.02,9.01 10/13/09 SCHWAB CHARLES CORP DE 8.01 10/14/09 SIGMA DESIGNS INC CA 1.01,7.01,9.01 10/12/09 SIMMONS CO DE 9.01 10/13/09 AMEND Sinoenergy CORP NV 1.01,3.01,9.01 10/08/09 SKY PETROLEUM, INC. NV 7.01,9.01 10/14/09 SKYSTAR BIO-PHARMACEUTICAL CO NV 7.01,9.01 10/13/09 SLM Student Loan Trust 2003-14 DE 8.01,9.01 10/14/09 SLM Student Loan Trust 2004-1 DE 8.01,9.01 10/14/09 SLM Student Loan Trust 2004-10 DE 8.01,9.01 10/14/09 SLM Student Loan Trust 2004-5 DE 8.01,9.01 10/14/09 SmartMetric, Inc. 4.01,9.01 10/02/09 SOLITARIO EXPLORATION & ROYALTY CORP. CO 1.01,3.02,5.02,9.01 10/14/09 Solo Cup CO DE 5.02,9.01 10/14/09 Southern National Bancorp of Virginia VA 5.03,9.01 10/13/09 Southern National Bancorp of Virginia VA 8.01,9.01 10/14/09 SPARTAN STORES INC MI 2.02,9.01 10/14/09 STANLEY FURNITURE CO INC. DE 2.02,9.01 10/14/09 Starent Networks, Corp. DE 1.01,5.02,8.01,9.01 10/12/09 STEELCLOUD INC VA 8.01,9.01 10/14/09 STRATS (SM) TRUST FOR JPMORGAN CHASE 8.01,9.01 10/01/09 Strats(SM) Trust for JPMorgan Chase C 8.01,9.01 10/01/09 STRATS(SM) Trust For Morgan Stanley S 8.01,9.01 10/01/09 SUN HYDRAULICS CORP FL 5.02 10/09/09 SUN RIVER ENERGY, INC CO 8.01 10/09/09 Sunstone Hotel Investors, Inc. MD 2.02,9.01 10/14/09 Surge Global Energy, Inc. 5.02,8.01 10/14/09 SWINGING PIG PRODUCTIONS INC FL 4.01,9.01 08/06/09 AMEND SYNTROLEUM CORP DE 1.01,1.02,9.01 10/14/09 TC PIPELINES LP DE 5.02 10/14/09 TEAMSTAFF INC NJ 8.01 10/09/09 Terra Energy Resources, Ltd. 4.01 06/24/09 AMEND TETRA TECHNOLOGIES INC DE 8.01,9.01 10/14/09 TIERONE CORP 2.06,4.02 10/13/09 Tirex CORP 9.01 10/13/09 TNT DESIGNS INC 1.01,3.03,5.03,9.01 10/14/09 TODD SHIPYARDS CORP WA 8.01 10/14/09 Treaty Energy Corp NV 1.01,1.02,9.01 07/30/09 TRIMERIS INC DE 2.02,9.01 10/14/09 Triplecrown Acquisition Corp. DE 8.01,9.01 10/13/09 TRONOX INC DE 7.01,8.01 10/14/09 U S GOLD CORP CO 7.01,9.01 10/14/09 U. S. Premium Beef, LLC 8.01,9.01 10/13/09 UAL CORP /DE/ DE 1.01,2.03,9.01 10/13/09 UMB FINANCIAL CORP MO 7.01,9.01 10/13/09 United Refining Energy Corp DE 8.01,9.01 10/13/09 United Refining Energy Corp DE 8.01,9.01 10/14/09 UNITED WESTERN BANCORP INC CO 7.01,9.01 10/14/09 URANERZ ENERGY CORP. NV 7.01,8.01,9.01 10/13/09 URANIUM ENERGY CORP NV 7.01,9.01 10/14/09 VALENCE TECHNOLOGY INC DE 1.01,2.06,9.01 10/13/09 Vanda Pharmaceuticals Inc. DE 1.01,9.01 10/12/09 VERTICAL BRANDING, INC. DE 2.02,2.04,5.02,8.01,9.01 08/28/09 VIRAGE LOGIC CORP CA 1.01,3.02,7.01,9.01 10/09/09 VITESSE SEMICONDUCTOR CORP DE 1.01,7.01,9.01 10/09/09 VSB BANCORP INC NY 2.02,9.01 10/14/09 WARREN RESOURCES INC MD 7.01,9.01 10/14/09 Waste2Energy Holdings, Inc. DE 1.01,2.03,3.02,9.01 10/09/09 WD 40 CO DE 2.02,9.01 10/14/09 WEGENER CORP DE 5.02,8.01,9.01 10/08/09 WINDSTREAM CORP DE 1.01,2.03,9.01 10/08/09 Winthrop Realty Trust OH 8.01,9.01 10/12/09 WPT ENTERPRISES INC 1.01,2.02,8.01 07/29/09 AMEND XILINX INC DE 2.02,9.01 10/14/09 Zep Inc. DE 2.02,9.01 10/14/09 Zep Inc. DE 1.01,2.03,7.01,9.01 10/14/09 ZIOPHARM ONCOLOGY INC DE 8.01,9.01 10/14/09 21ST CENTURY HOLDING CO FL 8.01 10/13/09 ACADIA PHARMACEUTICALS INC DE 2.05,5.02 10/14/09 ACCURIDE CORP DE 7.01 10/15/09 ACORDA THERAPEUTICS INC 8.01,9.01 10/14/09 ADVANCED MICRO DEVICES INC DE 2.02,7.01,9.01 10/15/09 Advanced Voice Recognition Systems, I NV 1.01,9.01 10/09/09 ALTERNATE ENERGY HOLDINGS, INC. NV 4.01,9.01 10/05/09 AMEND American Eagle Energy Inc. NV 5.03,7.01,9.01 10/05/09 American Eagle Energy Inc. NV 4.01 08/07/09 AMEND AMERICAN EXPRESS CO NY 7.01 10/15/09 AMERICAN INTERNATIONAL GROUP INC DE 8.01,9.01 10/12/09 AMERICAN RIVER BANKSHARES CA 7.01,9.01 10/15/09 AMKOR TECHNOLOGY INC DE 5.02,9.01 10/08/09 AMPHENOL CORP /DE/ DE 2.02,9.01 10/15/09 AMT Group, Inc. NV 4.01,9.01 08/11/09 ANGIOTECH PHARMACEUTICALS INC 2.02,4.02 10/11/09 Answers CORP 1.01 10/13/09 ANTS SOFTWARE INC DE 3.02 09/04/09 ANWORTH MORTGAGE ASSET CORP MD 5.02,9.01 10/08/09 ASHFORD HOSPITALITY TRUST INC MD 1.01 10/13/09 ATLANTIC AMERICAN CORP GA 8.01,9.01 10/15/09 ATMOS ENERGY CORP TX 5.02,8.01 10/12/09 AUDIOVOX CORP DE 2.02,8.01 10/13/09 AVENTINE RENEWABLE ENERGY HOLDINGS IN DE 5.02,8.01,9.01 10/09/09 AVNET INC NY 8.01,9.01 10/14/09 BANK OF FLORIDA CORP FL 5.02 06/17/09 BARD C R INC /NJ/ NJ 5.02 10/14/09 BAXTER INTERNATIONAL INC DE 2.02,9.01 10/15/09 BEACON ENTERPRISE SOLUTIONS GROUP INC NV 3.02 10/09/09 BEHRINGER HARVARD MULTIFAMILY REIT I 1.01 10/12/09 BOISE INC. DE 8.01 10/14/09 BROOKLINE BANCORP INC DE 2.02 10/15/09 BROOKS AUTOMATION INC DE 2.02,9.01 10/15/09 CABELAS INC DE 7.01,9.01 10/15/09 CALL NOW INC FL 2.04 10/14/09 CALPINE CORP DE 8.01,9.01 10/15/09 Camden Learning CORP DE 8.01,9.01 10/15/09 CAPITAL CORP OF THE WEST CA 8.01,9.01 10/13/09 CAPITAL GOLD CORP NV 2.02,9.01 10/15/09 CAPITAL ONE FINANCIAL CORP DE 7.01,9.01 10/14/09 Cardium Therapeutics, Inc. DE 1.01,8.01,9.01 10/15/09 CASEYS GENERAL STORES INC IA 7.01 10/15/09 CENTRA FINANCIAL HOLDINGS INC WV 8.01 10/09/09 CHASE CREDIT CARD MASTER TRUST NY 8.01,9.01 10/15/09 Chemtura CORP DE 7.01,9.01 10/15/09 China Direct Industries, Inc. FL 1.01,9.01 10/14/09 CHINA EDUCATION ALLIANCE INC. NC 8.01,9.01 10/13/09 CHINA PEDIATRIC PHARMACEUTICALS, INC. NV 1.01,2.01,3.02,5.01,5.02,5.06, 10/06/09 AMEND 9.01 CITIBANK OMNI-S MASTER TRUST 8.01 10/15/09 CITIGROUP INC DE 2.02,9.01 10/15/09 CITIZENS FINANCIAL CORP/DE/ DE 2.02,9.01 10/14/09 CLAIMSNET COM INC DE 1.01,2.03,9.01 10/13/09 CME GROUP INC. DE 1.01,9.01 10/09/09 COGNIZANT TECHNOLOGY SOLUTIONS CORP 8.01 10/15/09 Copano Energy, L.L.C. DE 5.02,8.01,9.01 10/14/09 CORRECTIONS CORP OF AMERICA MD 5.02,9.01 10/15/09 COUSINS PROPERTIES INC GA 8.01,9.01 10/15/09 Crocs, Inc. 1.01,9.01 10/14/09 CROWN HOLDINGS INC PA 2.02,9.01 10/14/09 Cryoport, Inc. NV 5.03,9.01 10/09/09 CUBIST PHARMACEUTICALS INC DE 2.02,9.01 10/15/09 CYPRESS SEMICONDUCTOR CORP /DE/ DE 2.02,9.01 10/15/09 CYTRX CORP DE 1.01,9.01 10/12/09 DARA BioSciences, Inc. DE 1.01,8.01,9.01 10/13/09 DATALINK CORP MN 2.02,9.01 10/14/09 DEL GLOBAL TECHNOLOGIES CORP NY 1.01,5.02,9.01 10/15/09 DIGUANG INTERNATIONAL DEVELOPMENT CO. NV 7.01,9.01 10/15/09 DOLLAR THRIFTY AUTOMOTIVE GROUP INC DE 2.02,9.01 10/15/09 DONEGAL GROUP INC DE 8.01,9.01 10/15/09 DORCHESTER MINERALS LP DE 2.02,7.01,9.01 10/15/09 Dot VN, Inc. DE 1.01,2.03,9.01 10/12/09 DRI CORP NC 5.03,9.01 10/09/09 DSW Inc. OH 8.01,9.01 10/15/09 DUOYUAN PRINTING, INC. WY 5.03,9.01 10/15/09 DYNAMIC APPLICATIONS CORP DE 1.01,5.02,9.01 10/13/09 DYNATRONICS CORP UT 3.01,7.01,9.01 10/13/09 EATON VANCE CORP MD 7.01,9.01 09/30/09 ECOLOCAP SOLUTIONS INC. NV 7.01,9.01 10/14/09 eCrypt Technologies, Inc. CO 4.01 10/15/09 AMEND EDUCATIONAL DEVELOPMENT CORP DE 2.02,9.01 10/15/09 EL PASO CORP/DE DE 7.01,9.01 10/15/09 EMCORE CORP NJ 5.02 10/08/09 ENBRIDGE ENERGY PARTNERS LP DE 3.02 10/14/09 ENERGIZER HOLDINGS INC MO 2.02 10/12/09 ENERGIZER HOLDINGS INC MO 5.02 10/12/09 AMEND ENERGY XXI (BERMUDA) LTD D0 8.01,9.01 10/15/09 EnerLume Energy Management Corp. CO 5.02 10/15/09 EnerLume Energy Management Corp. CO 5.02 10/15/09 AMEND ENSCO INTERNATIONAL INC DE 2.02,9.01 10/15/09 ENTERGY CORP /DE/ DE 2.02,9.01 10/15/09 ENTERPRISE PRODUCTS PARTNERS L P DE 8.01,9.01 10/15/09 ENZO BIOCHEM INC NY 2.02,7.01,9.01 10/14/09 ESPEY MFG & ELECTRONICS CORP NY 4.01 10/01/09 AMEND EVOLVING SYSTEMS INC DE 5.02,9.01 10/15/09 Exobox Technologies Corp. NV 8.01,9.01 10/14/09 FAIR ISAAC CORP DE 5.02 10/14/09 FAIRCHILD SEMICONDUCTOR INTERNATIONAL DE 2.02 10/15/09 Federal Home Loan Bank of Atlanta X1 2.03 10/15/09 Federal Home Loan Bank of Boston X1 2.03 10/08/09 Federal Home Loan Bank of Chicago X1 2.03 10/13/09 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 10/13/09 Federal Home Loan Bank of Dallas 2.03,9.01 10/08/09 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 10/09/09 Federal Home Loan Bank of New York X1 2.03,9.01 10/09/09 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 10/13/09 Federal Home Loan Bank of San Francis X1 2.03 10/09/09 Federal Home Loan Bank of Topeka 2.03 10/13/09 FINISAR CORP DE 1.01,2.03,3.02,9.01 10/15/09 FPL GROUP INC FL 2.03 10/15/09 GANNETT CO INC /DE/ DE 5.02,9.01 10/15/09 GENEREX BIOTECHNOLOGY CORP DE 1.01,9.01 10/14/09 GENZYME CORP MA 5.02 10/01/09 GLOBAL ENTERTAINMENT CORP NV 2.02,9.01 10/15/09 GOLDMAN SACHS GROUP INC DE 2.02,8.01,9.01 10/15/09 Google Inc. DE 2.02,8.01,9.01 10/15/09 GOTTSCHALKS INC DE 7.01,9.01 10/13/09 GRAYBAR ELECTRIC CO INC NY 1.01 10/09/09 Great American Group, Inc. DE 1.01,9.01 10/08/09 GRIFFON CORP DE 5.02 10/09/09 GROUP 1 AUTOMOTIVE INC DE 2.02,7.01,9.01 10/13/09 HARLEY DAVIDSON INC WI 2.02,2.05,9.01 10/14/09 HARRIS CORP /DE/ DE 5.02 10/13/09 HEALTHCARE TRUST OF AMERICA, INC. MD 8.01 10/08/09 HECLA MINING CO/DE/ DE 1.01,2.03,9.01 10/14/09 HEMISPHERX BIOPHARMA INC DE 5.05 10/15/09 HERCULES TECHNOLOGY GROWTH CAPITAL IN MD 2.02,9.01 10/15/09 HOME BANCSHARES INC 2.02,7.01,9.01 10/15/09 HUDSON HOLDING CORP DE 5.02,9.01 10/12/09 HUTCHINSON TECHNOLOGY INC MN 5.02,9.01 10/09/09 Hydrogen Motors, Inc. NV 4.01,9.01 10/06/09 HYPERDYNAMICS CORP DE 7.01,8.01,9.01 10/15/09 iBio, Inc. DE 4.01,9.01 10/12/09 IKANOS COMMUNICATIONS CA 9.01 08/21/09 AMEND IMMUNOMEDICS INC DE 8.01,9.01 10/15/09 INLAND WESTERN RETAIL REAL ESTATE TRU MD 5.02,7.01,9.01 10/13/09 INNODATA ISOGEN INC DE 1.01,5.02,9.01 10/11/09 INTEGRATED ELECTRICAL SERVICES INC DE 4.02,9.01 09/15/09 AMEND INTERNATIONAL BUSINESS MACHINES CORP NY 2.02 10/15/09 ION GEOPHYSICAL CORP DE 8.01 10/13/09 J P MORGAN CHASE & CO DE 7.01,9.01 10/15/09 JOE'S JEANS INC. DE 2.02,9.01 10/15/09 KNOLL INC DE 2.02,9.01 10/15/09 KOSS CORP DE 2.02,9.01 10/13/09 L & L INTERNATIONAL HOLDINGS, INC NV 1.01,3.02,7.01,9.01 10/15/09 LADISH CO INC WI 1.01,9.01 10/09/09 LANCE INC NC 8.01,9.01 10/13/09 LANDSTAR SYSTEM INC DE 2.02,9.01 10/14/09 LANNETT CO INC DE 5.02,9.01 10/13/09 LANTRONIX INC DE 3.01 10/14/09 Lazard Group LLC DE 5.02,9.01 10/14/09 Lazard Ltd D0 5.02,9.01 10/14/09 LEVEL 3 COMMUNICATIONS INC DE 1.01,2.03,9.01 10/15/09 LHC Group, Inc 8.01,9.01 10/15/09 Lifevantage Corp CO 2.02,9.01 10/15/09 LIHUA INTERNATIONAL INC. DE 3.01,5.02 10/11/09 LIVEDEAL INC NV 5.02 10/08/09 LORAL SPACE & COMMUNICATIONS INC. DE 5.02 10/15/09 LUBYS INC DE 2.02,2.05,2.06,9.01 10/15/09 MACE SECURITY INTERNATIONAL INC DE 3.01,9.01 10/09/09 MAUI LAND & PINEAPPLE CO INC HI 1.01,2.03,8.01 10/09/09 MCCLATCHY CO DE 9.01 10/15/09 MERIDIAN RESOURCE CORP TX 1.01 10/14/09 MESA AIR GROUP INC NV 1.01,9.01 10/13/09 MGP INGREDIENTS INC KS 7.01,9.01 10/15/09 MGT CAPITAL INVESTMENTS INC DE 1.01 10/08/09 MIDWAY GAMES INC DE 1.01,2.01,2.05,9.01 10/01/09 MISSION BROADCASTING INC DE 1.01,2.03 10/08/09 MISSION WEST PROPERTIES INC CA 2.02 10/14/09 MOHEGAN TRIBAL GAMING AUTHORITY 2.02,9.01 10/15/09 MOHEGAN TRIBAL GAMING AUTHORITY 2.02,9.01 10/15/09 MONMOUTH REAL ESTATE INVESTMENT CORP MD 1.01,7.01,8.01,9.01 10/15/09 MSC SOFTWARE CORP DE 1.01,3.01,3.03,5.01,5.02,5.03, 10/13/09 8.01,9.01 NATIONAL BANKSHARES INC VA 2.02,9.01 09/30/09 NATIONAL BEVERAGE CORP DE 5.02,9.01 10/13/09 NATIONAL PENN BANCSHARES INC PA 5.02 10/15/09 NAVISITE INC DE 2.02,9.01 10/15/09 NEOMAGIC CORP DE 1.01,5.01,5.02,7.01,9.01 10/12/09 NEW CENTURY COMPANIES INC DE 1.01,2.01,2.03,3.02,9.01 10/09/09 NEWBRIDGE BANCORP NC 8.01,9.01 10/15/09 NEXSTAR BROADCASTING GROUP INC DE 1.01,2.03,9.01 10/08/09 NOBLE ENERGY INC DE 7.01 10/15/09 Noble Innovations Inc NV 7.01,9.01 10/11/09 North American Gold & Minerals Fund NV 4.01,9.01 10/12/09 Omniture, Inc. DE 2.02,9.01 10/15/09 OSI PHARMACEUTICALS INC DE 8.01 10/15/09 PACIFIC CONTINENTAL CORP OR 1.01,8.01,9.01 10/14/09 PACIFIC GAS & ELECTRIC CO CA 8.01 10/15/09 PARALLEL PETROLEUM CORP DE 1.01,8.01,9.01 10/13/09 PARAMOUNT GOLD & SILVER CORP. 7.01,9.01 10/15/09 Perfumania Holdings, Inc. FL 8.01 10/15/09 PetroAlgae Inc. DE 1.01 10/09/09 PFIZER INC DE 8.01,9.01 10/14/09 PG&E CORP CA 8.01 10/15/09 PHOENIX FOOTWEAR GROUP INC DE 1.01,2.02,3.03,9.01 10/09/09 POLARIS INDUSTRIES INC/MN MN 2.02,7.01 10/15/09 Porter Bancorp, Inc. KY 2.02,9.01 10/15/09 PPG INDUSTRIES INC PA 2.02,9.01 10/15/09 Premier Power Renewable Energy, Inc. DE 9.01 07/30/09 AMEND PRIMUS TELECOMMUNICATIONS GROUP INC DE 5.02 10/13/09 PRINCETON ACQUISITIONS INC CO 4.01,5.02,9.01 10/13/09 PROCTER & GAMBLE CO OH 7.01 10/15/09 Protalix BioTherapeutics, Inc. FL 8.01,9.01 10/15/09 Protalix BioTherapeutics, Inc. FL 8.01,9.01 10/15/09 AMEND PROTECTIVE LIFE CORP DE 1.01,9.01 10/09/09 PROTECTIVE LIFE INSURANCE CO TN 1.01 10/09/09 QUAINT OAK BANCORP INC 7.01,9.01 10/14/09 QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 4.02 10/09/09 RALCORP HOLDINGS INC /MO MO 5.02,8.01,9.01 10/15/09 REGIONS FINANCIAL CORP DE 5.02,9.01 10/15/09 RIGHTNOW TECHNOLOGIES INC MT 5.02 10/14/09 RONSON CORP NJ 1.01,8.01,9.01 10/08/09 Rovi Corp DE 5.02 10/09/09 ROYAL MINES & MINERALS CORP NV 7.01,9.01 10/15/09 SAFEWAY INC DE 2.02,9.01 10/15/09 SANMINA-SCI CORP DE 5.02,9.01 10/14/09 SAVIENT PHARMACEUTICALS INC DE 8.01,9.01 10/15/09 SAVOY RESOURCES CORP CO 1.01 10/13/09 SCHWAB CHARLES CORP DE 2.02,9.01 10/15/09 Secure America Acquisition CORP DE 8.01,9.01 10/15/09 SEITEL INC DE 5.02 10/15/09 SERVICE CORPORATION INTERNATIONAL TX 8.01,9.01 10/15/09 Signature Exploration & Production Co DE 1.01,3.02,5.02,9.01 10/08/09 SIMMONS FIRST NATIONAL CORP AR 2.02,9.01 10/15/09 SITESEARCH CORP 5.02 10/13/09 SOUTHERN UNION CO DE 7.01,9.01 10/15/09 SOUTHWEST AIRLINES CO TX 2.02 09/30/09 SP Acquisition Holdings, Inc. NY 3.01,8.01,9.01 10/13/09 Spansion Inc. DE 5.02 10/14/09 SPARE BACKUP, INC. DE 1.01 10/14/09 Starent Networks, Corp. DE 8.01,9.01 10/15/09 STARINVEST GROUP, INC. NV 3.02 10/15/09 STATE BANCORP INC NY 2.02,9.01 10/15/09 STATER BROS HOLDINGS INC DE 8.01,9.01 10/11/09 STELLAR PHARMACEUTICALS INC 7.01,9.01 10/15/09 STERLING FINANCIAL CORP /WA/ WA 5.02,9.01 10/12/09 STERLING FINANCIAL CORP /WA/ WA 1.01,9.01 10/09/09 STEWART INFORMATION SERVICES CORP DE 1.01,2.03,3.02,8.01,9.01 10/08/09 STILLWATER MINING CO /DE/ DE 2.02,3.02,9.01 10/14/09 STOCKERYALE INC MA 1.01,2.01,9.01 10/13/09 STONERIDGE INC OH 1.01,9.01 10/09/09 STUDENT LOAN CORP DE 2.02,9.01 10/13/09 SuccessFactors, Inc. DE 2.02,9.01 10/15/09 SUFFOLK BANCORP NY 2.02 10/15/09 SUNAIR SERVICES CORP FL 8.01 10/09/09 SWS GROUP INC DE 5.03,9.01 10/15/09 TELESTONE TECHNOLOGIES CORP CO 5.02 10/15/09 TEMPUR PEDIC INTERNATIONAL INC DE 2.02,7.01,9.01 10/15/09 TEREX CORP DE 8.01,9.01 10/15/09 Titanium Asset Management Corp 8.01,9.01 10/14/09 TODD SHIPYARDS CORP WA 8.01 10/15/09 TOLL BROTHERS INC DE 8.01,9.01 10/14/09 TORCH ENERGY ROYALTY TRUST DE 3.01,9.01 10/09/09 TORTOISE CAPITAL RESOURCES CORP 2.02,9.01 10/12/09 ULTRATECH INC DE 2.02,9.01 10/15/09 UMPQUA HOLDINGS CORP OR 2.02,9.01 10/15/09 UNIVERSAL FOREST PRODUCTS INC MI 2.02,9.01 10/15/09 URANERZ ENERGY CORP. NV 7.01,9.01 10/15/09 VALENCE TECHNOLOGY INC DE 1.01,9.01 10/14/09 VAXGEN INC DE 1.01,9.01 10/14/09 VERAMARK TECHNOLOGIES INC DE 4.01,9.01 10/01/09 AMEND VIDEO DISPLAY CORP GA 2.02,9.01 10/15/09 WEIS MARKETS INC PA 9.01 10/15/09 WEST MARINE INC DE 2.02,9.01 10/15/09 Western Iowa Energy, L.L.C. IA 7.01,9.01 10/09/09 WESTMOUNTAIN DISTRESSED DEBT INC 5.02 10/13/09 WESTMOUNTAIN INDEX ADVISOR INC 5.02 10/13/09 WESTWOOD ONE INC /DE/ DE 1.01,2.06,9.01 10/14/09 WINMARK CORP MN 2.02,7.01,9.01 10/14/09 WINNEBAGO INDUSTRIES INC IA 1.01,1.02,2.02 10/13/09 WINNEBAGO INDUSTRIES INC IA 2.02,7.01,9.01 10/15/09 WORLD HEART CORP A6 8.01,9.01 10/15/09 WORLDGATE COMMUNICATIONS INC DE 1.01,1.02,9.01 10/08/09 WYETH DE 1.02,3.01,3.03,5.01,5.02,5.03, 10/15/09 9.01 XSUNX INC CO 8.01,9.01 10/06/09