RECENT 8K FILINGS November 6, 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 ------------------------------------------------------------------------------------------------------ 1st FRANKLIN FINANCIAL CORP GA 1.01 11/05/09 21ST CENTURY HOLDING CO FL 2.02,9.01 11/05/09 ABERCROMBIE & FITCH CO /DE/ DE 2.02,7.01,9.01 11/05/09 ABIOMED INC DE 2.02,9.01 11/05/09 AbitibiBowater Inc. DE 8.01,9.01 10/30/09 AbitibiBowater Inc. DE 1.01,5.02,9.01 10/30/09 ABOVENET INC DE 2.02,7.01,9.01 11/05/09 Abraxis BioScience, Inc. DE 2.02,9.01 11/05/09 ACCELRYS, INC. DE 2.02,9.01 11/05/09 ACCREDITED BUSINESS CONSOLIDATORS COR PA 2.01 11/04/09 ACI WORLDWIDE, INC. DE 2.02,7.01,9.01 11/05/09 ACORN ENERGY, INC. DE 1.01,9.01 11/05/09 Action Fashions, Ltd. CO 1.01,3.02 10/20/09 Activision Blizzard, Inc. DE 2.02,9.01 11/05/09 Adama Technologies Corp DE 5.02,9.01 11/02/09 Addus HomeCare Corp DE 1.01,2.03,5.02,9.01 11/02/09 ADVANCED ENERGY INDUSTRIES INC DE 8.01 11/03/09 Advaxis, Inc. DE 1.01,2.03,3.02,9.01 10/30/09 AEP INDUSTRIES INC DE 5.03,9.01 11/05/09 AeroGrow International, Inc. NV 1.01 10/30/09 AEROPOSTALE INC 7.01,9.01 11/05/09 Affinia Group Intermediate Holdings I DE 2.02,9.01 11/05/09 AFFYMAX INC DE 2.02,9.01 11/04/09 AIR METHODS CORP DE 2.02,9.01 11/05/09 AIS FUTURES FUND IV LP DE 3.02 10/31/09 ALEXANDRIA REAL ESTATE EQUITIES INC MD 2.02,9.01 11/05/09 ALKERMES INC PA 2.02,9.01 11/05/09 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 11/05/09 ALLIED CAPITAL CORP MD 2.02,9.01 11/05/09 Alon USA Energy, Inc. DE 2.02,5.02,9.01 11/04/09 Alphametrix Managed Futures LLC (Aspe 3.02 11/02/09 ALTAIR NANOTECHNOLOGIES INC A6 2.02,9.01 11/05/09 Altra Holdings, Inc. DE 8.01,9.01 11/04/09 AMASYS CORP DE 1.01 10/29/09 AMBASSADORS INTERNATIONAL INC DE 2.02,7.01,9.01 11/04/09 AMERICAN AIRLINES INC DE 8.01 11/04/09 AMERICAN APPAREL, INC DE 7.01,9.01 11/05/09 AMERICAN EAGLE OUTFITTERS INC DE 2.02,9.01 11/05/09 AMERICAN EQUITY INVESTMENT LIFE HOLDI IA 7.01,9.01 11/04/09 AMERICAN HOMEPATIENT INC DE 2.02,9.01 11/04/09 AMERICAN ITALIAN PASTA CO DE 5.02,9.01 11/05/09 AMERICAN PHYSICIANS CAPITAL INC MI 5.03,9.01 10/29/09 AMERICAN PUBLIC EDUCATION INC DE 2.02,9.01 11/05/09 American Railcar Industries, Inc. ND 2.02,9.01 11/04/09 American Reprographics CO DE 2.02,2.06,5.02,9.01 10/28/09 AMERICAN SCIENCE & ENGINEERING INC MA 2.02,9.01 11/05/09 AMERICAN SHARED HOSPITAL SERVICES CA 2.02,9.01 11/05/09 AMERICAN VANGUARD CORP DE 2.02,9.01 11/04/09 AMERISAFE INC TX 2.02,9.01 11/05/09 AMPHENOL CORP /DE/ DE 1.01,2.03,9.01 11/05/09 ANDERSONS INC OH 2.02 11/04/09 ANGELES INCOME PROPERTIES LTD II CA 2.01,9.01 10/30/09 ANSYS INC DE 2.02,9.01 11/05/09 ARBINET Corp DE 2.02,9.01 11/05/09 ARCH CHEMICALS INC VA 5.02,9.01 10/30/09 ARES CAPITAL CORP MD 2.02,7.01,9.01 11/05/09 ARIAD PHARMACEUTICALS INC DE 2.02,7.01,9.01 11/05/09 ARISTOTLE CORP DE 2.02,9.01 09/30/09 ARQULE INC DE 2.02,9.01 11/05/09 ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 11/05/09 ASTRONICS CORP NY 2.02,9.01 11/05/09 ATHERSYS, INC / NEW DE 2.02,9.01 11/05/09 ATLAS ENERGY, INC. DE 5.02 10/30/09 ATMEL CORP DE 2.02,9.01 11/05/09 AVIS BUDGET GROUP, INC. DE 5.03,9.01 11/05/09 AXCELIS TECHNOLOGIES INC DE 2.02,9.01 11/05/09 Bank of Commerce Holdings CA 5.02,9.01 11/05/09 BANK OF FLORIDA CORP FL 8.01,9.01 11/05/09 BANK OF GRANITE CORP DE 5.02,9.01 10/30/09 Bank of the Carolinas CORP NC 2.02,9.01 11/05/09 BankGreenville Financial CORP SC 2.02,9.01 11/05/09 BARRY R G CORP /OH/ OH 5.02 11/04/09 BB&T CORP NC 7.01,9.01 11/05/09 BCB BANCORP INC 1.01,9.01 11/05/09 BEACH FIRST NATIONAL BANCSHARES INC SC 1.01,2.02,9.01 11/05/09 BEACON POWER CORP DE 2.02,8.01,9.01 11/04/09 BEARINGPOINT INC DE 2.01 10/30/09 bebe stores, inc. CA 2.02,9.01 11/05/09 BEHRINGER HARVARD SHORT TERM OPPORTUN TX 2.04 10/30/09 BEKEM METALS INC UT 1.01,2.01,9.01 11/03/09 BELL MICROPRODUCTS INC CA 2.02,9.01 11/05/09 BF ACQUISITION GROUP V INC FL 1.01,2.01,3.02,5.02,9.01 10/05/09 BIOJECT MEDICAL TECHNOLOGIES INC OR 2.02,9.01 11/04/09 BIOLASE TECHNOLOGY INC DE 2.02,5.02,9.01 11/05/09 BIOMIMETIC THERAPEUTICS, INC. DE 8.01 11/05/09 BIONOVO INC DE 2.02,9.01 11/05/09 BIOSPECIFICS TECHNOLOGIES CORP DE 2.02,9.01 11/05/09 BJS WHOLESALE CLUB INC DE 2.02,9.01 11/05/09 BlackRock Kelso Capital CORP DE 2.02,7.01,9.01 11/05/09 BLUE COAT SYSTEMS INC DE 2.02,2.05,8.01,9.01 11/05/09 Blue Earth Solutions, Inc. 5.02 11/04/09 BLUE NILE INC DE 2.02,9.01 11/05/09 BlueLinx Holdings Inc. DE 2.02,9.01 11/05/09 BOEING CO DE 8.01,9.01 11/05/09 BOSTON BEER CO INC MA 2.02,9.01 11/05/09 BOSTON SCIENTIFIC CORP DE 5.02 11/03/09 BRAMPTON CREST INTERNATIONAL INC NV 5.02,9.01 10/30/09 AMEND Brink's Home Security Holdings, Inc. VA 2.02,9.01 11/05/09 BROADWAY FINANCIAL CORP \DE\ DE 2.02,9.01 11/05/09 BRUSH ENGINEERED MATERIALS INC 7.01,9.01 11/05/09 BSQUARE CORP /WA WA 2.02,9.01 11/05/09 C H ROBINSON WORLDWIDE INC DE 8.01,9.01 11/05/09 CA, INC. DE 1.01,3.03,9.01 11/05/09 CADENCE PHARMACEUTICALS INC 2.02,9.01 11/05/09 CAI International, Inc. 2.02,9.01 11/05/09 Cal Dive International, Inc. DE 5.02,7.01,9.01 10/31/09 CALECO PHARMA CORP. NV 1.01,7.01,9.01 11/01/09 CALIFORNIA COASTAL COMMUNITIES INC DE 3.01,9.01 11/04/09 CALIFORNIA PIZZA KITCHEN, INC. DE 2.02,9.01 11/05/09 CAMCO FINANCIAL CORP DE 8.01 10/20/09 CAPITAL SENIOR LIVING CORP DE 2.02,7.01,9.01 11/04/09 CARDINAL HEALTH INC OH 2.02,7.01,9.01 11/05/09 CareFusion Corp DE 2.02,7.01,9.01 11/05/09 CAREY W P & CO LLC DE 2.02,9.01 11/05/09 CARRIAGE SERVICES INC DE 1.01,2.02,2.03,9.01 11/04/09 CAS MEDICAL SYSTEMS INC DE 2.02,9.01 11/05/09 CAVCO INDUSTRIES INC DE 2.02,9.01 11/05/09 CBL & ASSOCIATES PROPERTIES INC DE 1.01,2.03,5.02,9.01 11/05/09 CBS CORP DE 2.02,9.01 11/05/09 CELL THERAPEUTICS INC WA 2.02,9.01 11/05/09 CENTRAL BANCORP INC /MA/ MA 2.02,9.01 11/03/09 CENTRAL EUROPEAN DISTRIBUTION CORP DE 1.01,2.01,3.02,9.01 10/30/09 CENTURYTEL INC LA 2.02,9.01 11/05/09 CHAMPION ENTERPRISES INC MI 1.01,9.01 11/05/09 CHASE PACKAGING CORP NJ 7.01,9.01 11/02/09 CHERRY TANKERS INC. DE 2.01,3.02,5.01,5.02,5.03,5.06, 10/30/09 9.01 CHESAPEAKE UTILITIES CORP DE 2.02,9.01 11/05/09 CHESAPEAKE UTILITIES CORP DE 5.02 11/04/09 AMEND CHILDRENS PLACE RETAIL STORES INC 7.01,9.01 11/05/09 CHINA GREEN CREATIVE, INC. 5.03 11/04/09 CHINA RECYCLING ENERGY CORP 5.02 11/05/09 China Tel Group Inc NV 1.02,5.02,9.01 11/02/09 CHOICE HOTELS INTERNATIONAL INC /DE DE 2.02,9.01 11/05/09 CHYRON CORP NY 2.02,9.01 11/05/09 CIB MARINE BANCSHARES INC WI 1.03,5.03,7.01,9.01 10/29/09 CIGNA CORP DE 2.02 09/30/09 Citizens Community Bancorp Inc. MD 2.02,7.01,9.01 10/30/09 CITIZENS FIRST BANCORP INC DE 2.06 10/30/09 AMEND Clearwire Corp /DE DE 7.01,9.01 11/05/09 CLIFFS NATURAL RESOURCES INC. OH 1.01 10/30/09 CLOROX CO /DE/ DE 8.01,9.01 11/04/09 CLST HOLDINGS, INC. DE 1.01,2.01,2.03,9.01 11/10/08 AMEND CLST HOLDINGS, INC. DE 1.01,2.03,9.01 12/12/08 AMEND COHERENT INC DE 2.02,9.01 11/05/09 COINSTAR INC DE 2.02,9.01 11/05/09 COINSTAR INC DE 7.01,9.01 11/05/09 COINSTAR INC DE 5.02 11/03/09 COLE KENNETH PRODUCTIONS INC NY 2.02,9.01 11/05/09 COLUMBIA LABORATORIES INC DE 2.02,9.01 11/05/09 COMFORCE CORP DE 1.01,2.02,2.03,9.01 11/03/09 Community Partners Bancorp NJ 2.02,9.01 11/05/09 CONCHO RESOURCES INC DE 2.02,9.01 11/05/09 CONNS INC DE 2.02,9.01 11/05/09 CONSECO INC DE 2.02,9.01 09/30/09 Consolidated Communications Holdings, DE 2.02,9.01 11/05/09 Constant Contact, Inc. DE 2.02,9.01 11/05/09 CONTINENTAL RESOURCES INC OK 2.02,5.02,7.01,9.01 11/05/09 CONTINUCARE CORP 2.02,9.01 11/05/09 COOPER TIRE & RUBBER CO DE 5.02,7.01,9.01 10/30/09 Copano Energy, L.L.C. DE 7.01,9.01 11/04/09 CORNELL COMPANIES INC DE 2.02,9.01 11/05/09 Cornerstone Financial Corp NJ 2.02,9.01 11/03/09 CORPORATE EXECUTIVE BOARD CO DE 8.01,9.01 11/05/09 CORRECTIONS CORP OF AMERICA MD 2.02,9.01 11/04/09 CORTLAND BANCORP INC OH 5.02,7.01 11/02/09 COURIER CORP MA 2.02,8.01,9.01 11/05/09 COUSINS PROPERTIES INC GA 8.01,9.01 11/05/09 COWEN GROUP, INC. 1.01,2.01,2.03,3.03,5.01,5.02, 11/02/09 5.03,8.01,9.01 Cowen Holdings, Inc. DE 2.01,3.01,3.03,4.01,5.01,5.02, 11/02/09 8.01,9.01 CRM Holdings, Ltd. 2.02,9.01 11/05/09 Crocs, Inc. 2.02,9.01 11/05/09 CROWN MEDIA HOLDINGS INC DE 2.02,9.01 09/30/09 CTC Media, Inc. 2.02,9.01 11/05/09 CVS CAREMARK CORP DE 2.02,9.01 11/05/09 CVS CAREMARK CORP DE 8.01,9.01 11/05/09 DECOR PRODUCTS INTERNATIONAL, INC. FL 4.01,9.01 10/29/09 Deer Consumer Products, Inc. NV 2.02,9.01 11/05/09 Delek US Holdings, Inc. 2.02,9.01 11/05/09 DELTA PETROLEUM CORP/CO CO 2.02,9.01 11/05/09 DENBURY RESOURCES INC DE 2.02,9.01 11/05/09 DENBURY RESOURCES INC DE 1.01,9.01 10/31/09 DG FastChannel, Inc DE 2.02,9.01 11/05/09 DILLARDS INC DE 7.01,9.01 11/05/09 DIRECTV GROUP INC DE 2.02 11/05/09 DIRECTV HOLDINGS LLC DE 2.02 11/05/09 DOLLAR TREE INC VA 2.02,7.01,9.01 11/05/09 Domark International Inc. NV 4.01,4.02,5.06,9.01 10/06/09 AMEND DOMINION RESOURCES INC /VA/ VA 7.01,9.01 11/05/09 DORCHESTER MINERALS LP DE 2.02,7.01,9.01 09/30/09 DOT HILL SYSTEMS CORP DE 2.02,9.01 11/05/09 Douglas Lake Minerals Inc. NV 5.02 11/04/09 Dr Pepper Snapple Group, Inc. DE 2.02,9.01 11/05/09 DVL INC /DE/ DE 1.01,4.01,5.02,9.01 10/30/09 DYNAVAX TECHNOLOGIES CORP DE 5.02,9.01 11/03/09 DYNEGY INC. DE 2.02,7.01,9.01 11/05/09 DYNEGY INC. DE 8.01,9.01 11/05/09 Eagle Bulk Shipping Inc. 2.02,7.01,9.01 11/04/09 EAGLE ROCK ENERGY PARTNERS L P DE 2.02,7.01,9.01 11/04/09 Eastern Insurance Holdings, Inc. PA 2.02,7.01,9.01 11/05/09 Echo Global Logistics, Inc. DE 2.02,9.01 11/04/09 ECLIPSYS CORP DE 2.02,9.01 11/05/09 EINSTEIN NOAH RESTAURANT GROUP INC DE 2.02,9.01 11/05/09 ELITE PHARMACEUTICALS INC /DE/ DE 3.02,8.01,9.01 10/30/09 EMERGING CTA PORTFOLIO LP NY 1.01,9.01 10/30/09 EMS TECHNOLOGIES INC GA 2.02,9.01 11/05/09 ENERGY CONVERSION DEVICES INC DE 9.01 08/19/09 AMEND Energy Recovery, Inc. DE 2.02,9.01 11/05/09 EnergySolutions, Inc. DE 2.02,9.01 11/04/09 ENERNOC INC 2.02,9.01 11/05/09 ENVIRONMENTAL POWER CORP DE 8.01 11/03/09 EOG RESOURCES INC DE 2.02,7.01,9.01 11/05/09 EQUIFAX INC GA 8.01,9.01 11/04/09 EQUITY ONE, INC. 2.02,7.01,9.01 11/04/09 ESCALADE INC IN 2.02,9.01 11/05/09 EVOLUTION RESOURCES, INC. NV 1.01,9.01 10/30/09 EXELON CORP PA 8.01,9.01 10/28/09 EXIDE TECHNOLOGIES DE 2.02,5.02,9.01 09/30/09 EXTERRAN HOLDINGS INC. DE 2.02,9.01 11/05/09 EXTERRAN PARTNERS, L.P. DE 2.02,9.01 11/05/09 EZCORP INC DE 2.01,2.02,9.01 11/05/09 FARO TECHNOLOGIES INC FL 2.02,9.01 11/05/09 FASHION NET INC 4.01 07/30/09 AMEND FAUQUIER BANKSHARES, INC. VA 2.02,9.01 11/04/09 FBL FINANCIAL GROUP INC IA 2.02 11/05/09 Federal Home Loan Bank of Atlanta X1 2.03 11/05/09 Federal Home Loan Bank of Boston X1 2.03 11/02/09 Federal Home Loan Bank of Chicago X1 2.03 11/02/09 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 11/02/09 Federal Home Loan Bank of Des Moines X1 2.03,9.01 11/02/09 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 11/02/09 Federal Home Loan Bank of New York X1 2.03,9.01 11/02/09 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 11/02/09 Federal Home Loan Bank of San Francis X1 2.03 11/02/09 Federal Home Loan Bank of Seattle 2.03 11/04/09 FEDERAL NATIONAL MORTGAGE ASSOCIATION 2.02,7.01,9.01 11/05/09 FIDELITY BANCORP INC PA 2.02,9.01 11/05/09 Fidelity National Information Service 5.02,9.01 10/30/09 FIRST BANCORP /NC/ NC 2.02,9.01 11/04/09 First Bankshares, Inc. VA 1.01,9.01 10/30/09 FIRST CITIZENS BANCSHARES INC /DE/ DE 2.02,7.01,8.01,9.01 11/05/09 FIRST FRANKLIN CORP DE 2.02,9.01 11/04/09 FIRST INDUSTRIAL REALTY TRUST INC MD 2.02,9.01 11/04/09 FIRSTMERIT CORP /OH/ OH 8.01,9.01 11/05/09 FISHER COMMUNICATIONS INC WA 2.02,9.01 11/05/09 FLOWSERVE CORP NY 1.01,2.03,9.01 10/30/09 FNDS3000 Corp DC 1.01,2.03,3.02,9.01 11/02/09 FORCE PROTECTION INC NV 5.02,9.01 10/30/09 FORGENT NETWORKS INC DE 5.02,8.01,9.01 10/29/09 FRONTIER OIL CORP /NEW/ WY 2.02,9.01 11/05/09 Fuel Systems Solutions, Inc. 2.02,9.01 11/05/09 FUND.COM INC. DE 1.01,2.04,9.01 11/02/09 FURNITURE BRANDS INTERNATIONAL INC DE 2.02,9.01 11/04/09 FX ENERGY INC NV 7.01,9.01 11/05/09 FX Real Estate & Entertainment Inc. DE 1.01,3.02 10/30/09 GAP INC DE 2.02,9.01 11/05/09 GC China Turbine Corp. NV 1.01,2.01,3.02,5.01,5.02,5.06, 10/30/09 9.01 GCI INC AK 1.01,2.02,2.03,7.01,9.01 11/03/09 GENERAL COMMUNICATION INC AK 1.01,2.02,2.03,7.01,9.01 11/03/09 GENERAL NUTRITION CENTERS, INC. 2.02,9.01 11/05/09 GENESIS ENERGY LP DE 2.02,9.01 11/05/09 GENOPTIX INC 2.02,9.01 11/05/09 GENVEC INC DE 2.02,9.01 11/05/09 GEORGIA GULF CORP /DE/ DE 2.02,7.01,9.01 11/04/09 GIBRALTAR INDUSTRIES, INC. DE 2.02,7.01,9.01 11/04/09 GLATFELTER P H CO PA 2.02,9.01 11/03/09 GLG Partners, Inc. DE 2.02,9.01 11/05/09 GLIMCHER REALTY TRUST MD 1.01,9.01 11/05/09 GLOBAL INDUSTRIES LTD LA 2.02,9.01 11/04/09 GLOBAL PARTNERS LP 2.02,7.01,9.01 11/05/09 Globalstar, Inc. DE 2.02,7.01,9.01 11/05/09 GMX RESOURCES INC OK 1.01,2.01,8.01,9.01 11/01/09 GOLDMAN SACHS HEDGE FUND PARTNERS LLC DE 7.01 11/05/09 GOLDMAN SACHS HEDGE FUND PARTNERS LLC DE 3.02 11/05/09 GOODRICH PETROLEUM CORP DE 2.02,9.01 11/04/09 GP STRATEGIES CORP DE 2.02,9.01 11/05/09 GRAMERCY CAPITAL CORP MD 2.02,7.01,9.01 11/05/09 GRANITE CITY FOOD & BREWERY LTD MN 1.01,9.01 10/31/09 GRAPHIC PACKAGING HOLDING CO DE 2.02,9.01 11/05/09 GROUP 1 AUTOMOTIVE INC DE 8.01,9.01 11/05/09 GSI GROUP INC A3 2.02,3.01,7.01,9.01 11/03/09 GTSI CORP DE 2.02,9.01 11/05/09 GULFPORT ENERGY CORP DE 2.02,9.01 11/05/09 GYMBOREE CORP DE 2.02,9.01 11/05/09 HAIN CELESTIAL GROUP INC DE 2.02,9.01 11/05/09 HAMPSHIRE GROUP LTD DE 2.02,9.01 11/05/09 Hana Biosciences Inc DE 5.02 10/30/09 HANMI FINANCIAL CORP DE 1.01,2.02,9.01 11/02/09 HANSEN NATURAL CORP DE 2.02,9.01 11/05/09 HARDINGE INC NY 2.02,9.01 11/03/09 HARDINGE INC NY 2.03,9.01 10/30/09 AMEND Harris Stratex Networks, Inc. DE 2.02,7.01,9.01 11/05/09 Harry & David Holdings, Inc. DE 2.02,7.01,9.01 11/05/09 HAVERTY FURNITURE COMPANIES INC MD 2.02,9.01 09/30/09 HAWKER BEECHCRAFT ACQUISITION CO LLC DE 2.02,9.01 11/05/09 HAWKER BEECHCRAFT ACQUISITION CO LLC DE 2.06 10/30/09 AMEND HCA INC/TN DE 2.02,7.01,9.01 11/05/09 HeartWare International, Inc. DE 2.02,9.01 11/04/09 HERCULES TECHNOLOGY GROWTH CAPITAL IN MD 2.02,9.01 11/05/09 HERSHA HOSPITALITY TRUST MD 2.02,9.01 11/04/09 hhgregg, Inc. DE 2.02,9.01 11/05/09 HOLLY CORP DE 2.02,9.01 11/05/09 HOME DIAGNOSTICS INC DE 2.02,9.01 11/05/09 HORNBECK OFFSHORE SERVICES INC /LA DE 2.02,9.01 11/05/09 Horsehead Holding Corp 2.02,9.01 11/05/09 HRPT PROPERTIES TRUST MD 2.02,9.01 11/05/09 HUDSON CITY BANCORP INC DE 8.01,9.01 11/05/09 HUDSON CITY BANCORP INC DE 8.01,9.01 11/05/09 HUDSON VALLEY HOLDING CORP NY 8.01,9.01 11/03/09 HUNTINGTON BANCSHARES INC/MD MD 8.01,9.01 11/05/09 Huron Consulting Group Inc. DE 2.02,5.02,8.01,9.01 11/03/09 I FLOW CORP /DE/ DE 2.02,9.01 11/05/09 I2 TECHNOLOGIES INC DE 2.02,7.01,9.01 11/05/09 I2 TECHNOLOGIES INC DE 1.01,3.03,8.01,9.01 11/04/09 IBASIS INC DE 7.01,9.01 11/05/09 ICAGEN INC DE 2.02,9.01 11/05/09 ICAHN ENTERPRISES L.P. DE 2.02,9.01 11/05/09 ICF International, Inc. DE 2.02,9.01 11/05/09 ICONIX BRAND GROUP, INC. DE 2.01,2.03,9.01 10/30/09 ID SYSTEMS INC DE 2.02,9.01 11/03/09 IDEARC INC. DE 1.01,9.01 10/30/09 IDERA PHARMACEUTICALS, INC. DE 2.02,9.01 11/05/09 ILLINOIS TOOL WORKS INC DE 5.02,9.01 11/05/09 IMAX CORP A6 1.01,2.02,9.01 11/04/09 IMS HEALTH INC DE 8.01,9.01 11/05/09 inContact, Inc. DE 2.02,9.01 11/05/09 INCYTE CORP DE 2.02,9.01 11/05/09 INFINITY PROPERTY & CASUALTY CORP OH 2.02,9.01 11/05/09 Information Services Group Inc. DE 2.02,9.01 11/04/09 INGRAM MICRO INC DE 7.01,9.01 11/05/09 INNERWORKINGS INC 2.02,9.01 11/05/09 INNODATA ISOGEN INC DE 2.02,9.01 11/05/09 INSPIRE PHARMACEUTICALS INC DE 2.02,9.01 11/05/09 INTEGRAMED AMERICA INC DE 2.02,9.01 11/05/09 INTEGRYS ENERGY GROUP, INC. WI 2.02,9.01 11/04/09 INTEL CORP DE 7.01 11/04/09 INTELSAT LTD 1.01,9.01 10/30/09 INTERMUNE INC DE 2.02,9.01 11/05/09 INTERNAP NETWORK SERVICES CORP DE 2.02,9.01 11/05/09 INTERNATIONAL BUSINESS MACHINES CORP NY 9.01 11/03/09 INTERNATIONAL GAME TECHNOLOGY NV 2.02,9.01 11/05/09 INTERNATIONAL RECTIFIER CORP /DE/ DE 2.02,7.01,9.01 11/05/09 INTERNET CAPITAL GROUP INC DE 2.02,9.01 11/05/09 INVENTIV HEALTH INC DE 2.02,7.01,9.01 09/30/09 Invesco Mortgage Capital Inc. 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NV 4.01 11/05/09 AMEND TARGACEPT INC 2.02,9.01 11/05/09 TARGETED GENETICS CORP /WA/ WA 1.02 11/05/09 TEAMSTAFF INC NJ 3.02,5.02,8.01,9.01 11/02/09 TECHNOLOGY RESEARCH CORP FL 2.02,9.01 11/05/09 TELEPHONE & DATA SYSTEMS INC /DE/ DE 2.02,9.01 09/30/09 TERADATA CORP /DE/ 2.02,7.01,9.01 11/05/09 TERRA INDUSTRIES INC MD 1.01,2.03 10/26/09 THERAGENICS CORP DE 2.02 11/05/09 THERMOGENESIS CORP DE 2.02,9.01 11/05/09 TICC Capital Corp. MD 2.02,9.01 11/05/09 TIME WARNER CABLE INC. DE 2.02,9.01 11/05/09 Titan Energy Worldwide, Inc. NV 5.02,8.01,9.01 10/30/09 Titanium Asset Management Corp 5.02 11/01/09 TITANIUM METALS CORP DE 2.02,7.01,9.01 11/05/09 Tower Group, Inc. DE 2.02,9.01 11/05/09 TRANSATLANTIC PETROLEUM LTD. D0 8.01 11/04/09 TRANSGENOMIC INC DE 2.02,9.01 11/05/09 Travelport LTD D0 2.02,9.01 11/05/09 TRAVELZOO INC DE 5.02 10/31/09 TRICO MARINE SERVICES INC DE 2.02,9.01 11/04/09 TRICO MARINE SERVICES INC DE 1.01,1.02,2.03,9.01 10/30/09 TRINITY INDUSTRIES INC DE 2.03 11/05/09 Trubion Pharmaceuticals, Inc DE 2.02,9.01 11/05/09 TUTOR PERINI Corp MA 2.02,9.01 09/30/09 TXCO Resources Inc DE 8.01,9.01 11/03/09 U S PHYSICAL THERAPY INC /NV NV 2.02 11/05/09 UAL CORP /DE/ DE 5.02 11/01/09 ULTRATECH INC DE 1.01,9.01 10/30/09 UNITED STATES CELLULAR CORP DE 2.02,9.01 09/30/09 UNIVERSAL CORP /VA/ VA 2.02,8.01,9.01 11/05/09 UNIVERSAL ELECTRONICS INC DE 2.02,9.01 11/05/09 UNIVERSAL ELECTRONICS INC DE 5.02 10/30/09 UNIVERSAL TRAVEL GROUP NV 8.01,9.01 11/05/09 URBAN OUTFITTERS INC PA 2.02,9.01 11/05/09 US CONCRETE INC DE 2.02,9.01 11/05/09 US GEOTHERMAL INC DE 7.01,9.01 11/05/09 UTSTARCOM INC DE 2.02,9.01 11/05/09 VALIDUS HOLDINGS LTD 2.02,9.01 11/05/09 VALIDUS HOLDINGS LTD 2.02,9.01 11/05/09 VALIDUS HOLDINGS LTD 2.02,9.01 11/05/09 VARIAN INC DE 2.02,9.01 11/04/09 Veraz Networks, Inc. DE 2.02,9.01 11/05/09 VERISIGN INC/CA DE 2.02,9.01 11/05/09 Verso Paper Corp. DE 2.02,9.01 11/05/09 Vertro, Inc. DE 7.01,9.01 11/03/09 VIASAT INC CA 2.02,9.01 11/05/09 ViewPoint Financial Group X1 2.02,9.01 11/05/09 VIRGINIA ELECTRIC & POWER CO VA 7.01,9.01 11/05/09 VIRTUSA CORP 1.01,2.02,7.01,9.01 10/30/09 VISION GLOBAL SOLUTIONS INC A6 5.02,9.01 11/03/09 VOICE MOBILITY INTERNATIONAL INC NV 3.02,5.02,9.01 11/04/09 Volcano Corp DE 2.02,9.01 11/05/09 Voyager Learning CO DE 2.02,8.01,9.01 11/05/09 Vyteris Holdings (Nevada), Inc. NV 3.02 10/30/09 W&T OFFSHORE INC TX 2.02,9.01 11/05/09 WARREN RESOURCES INC MD 2.02,7.01,8.01,9.01 11/03/09 Watson Wyatt Worldwide, Inc. DE 2.02,9.01 11/05/09 WebMD Health Corp. DE 5.02 10/30/09 WENDY'S/ARBY'S GROUP, INC. DE 2.02,9.01 11/05/09 WENDY'S/ARBY'S GROUP, INC. DE 7.01,9.01 11/05/09 WEST PHARMACEUTICAL SERVICES INC PA 2.05 11/05/09 WINTRUST FINANCIAL CORP IL 1.01,2.03,9.01 10/30/09 WIRELESS RONIN TECHNOLOGIES INC MN 1.01,9.01 11/04/09 World Energy Solutions, Inc. DE 8.01,9.01 10/30/09 World Omni Automobile Lease Securitiz DE 1.01,8.01,9.01 11/02/09 World Series of Golf, Inc. 1.01,9.01 10/30/09 WORLD WRESTLING ENTERTAINMENTINC DE 2.02,9.01 11/05/09 YADKIN VALLEY FINANCIAL CORP NC 2.01,9.01 04/17/09 AMEND Zep Inc. DE 5.04,9.01 11/05/09 ZYMOGENETICS INC WA 2.02,9.01 11/05/09