|
|
1.01 |
Entry into a Material Definitive Agreement |
1.02 |
Termination of a Material Definitive Agreement |
1.03 |
Bankruptcy or Receivership |
2.01 |
Completion of Acquisition or Disposition of Assets |
2.02 |
Results of Operations and Financial Condition |
2.03 |
Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant |
2.04 |
Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement |
2.05 |
Cost Associated with Exit or Disposal Activities |
2.06 |
Material Impairments |
3.01 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing |
3.02 |
Unregistered Sales of Equity Securities |
3.03 |
Material Modifications to Rights of Security Holders |
4.01 |
Changes in Registrant's Certifying Accountant |
4.02 |
Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review |
5.01 |
Changes in Control of Registrant |
5.02 |
Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer |
5.03 |
Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year |
5.04 |
Temporary Suspension of Trading Under Registrant's Employee Benefit Plans |
5.05 |
Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics |
5.06 |
Change in Shell Company Status |
6.01 |
ABS Informational and Computational Material. |
6.02 |
Change of Servicer or Trustee. |
6.03 |
Change in Credit Enhancement or Other External Support. |
6.04 |
Failure to Make a Required Distribution. |
6.05 |
Securities Act Updating Disclosure. |
7.01 |
Regulation FD Disclosure |
8.01 |
Other Events |
9.01 |
Financial Statements and Exhibits |
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT ----------------------------------------------------------------------------------------- 3M CO DE 5.02,5.07,9.01 05/08/12 ABERCROMBIE & FITCH CO /DE/ DE 5.02,9.01 05/07/12 ABOVENET INC DE 2.02,9.01 05/09/12 ABRAXAS PETROLEUM CORP NV 5.07 05/04/12 ABRAXAS PETROLEUM CORP NV 2.02,7.01 05/09/12 Accretive Health, Inc. DE 2.02,9.01 05/09/12 ACELRX PHARMACEUTICALS INC DE 2.02,9.01 05/08/12 ACHILLION PHARMACEUTICALS INC DE 2.02,9.01 05/09/12 Activision Blizzard, Inc. DE 2.02,9.01 05/09/12 ADAMS RESOURCES & ENERGY, INC. DE 2.02 05/09/12 ADVANCED CELL TECHNOLOGY, INC. DE 2.02,9.01 05/08/12 AEROCENTURY CORP DE 2.02 05/08/12 ALBANY MOLECULAR RESEARCH INC DE 2.02,9.01 05/09/12 ALBEMARLE CORP VA 5.07 05/09/12 ALEXANDER & BALDWIN INC HI 2.02,9.01 05/09/12 ALION SCIENCE & TECHNOLOGY CORP DE 3.02,8.01 03/31/12 AMEND Alliance HealthCare Services, Inc CA 2.02,9.01 05/09/12 Allied World Assurance Co Holdings, A 5.03,5.07,9.01 05/03/12 ALTERRA CAPITAL HOLDINGS Ltd 2.02,5.07,8.01,9.01 05/08/12 AMERICAN GREETINGS CORP OH 8.01,9.01 05/09/12 AMERICAN INTERNATIONAL INDUSTRIES INC NV 8.01 05/01/12 AMERICAN PACIFIC CORP DE 2.02,9.01 05/09/12 AMERICAN REALTY CAPITAL NEW YORK RECO MD 8.01 05/09/12 AMERICAN REALTY CAPITAL NEW YORK RECO MD 2.01,9.01 05/04/12 American Realty Capital Properties, I MD 2.02,9.01 05/08/12 AMERICAN SUPERCONDUCTOR CORP /DE/ DE 5.02 05/09/12 AMERISAFE INC TX 2.02,9.01 05/09/12 AMYRIS, INC. DE 1.01,2.03 05/04/12 AMYRIS, INC. DE 5.02 05/03/12 AMEND Anoteros, Inc. NV 8.01,9.01 05/08/12 Anthera Pharmaceuticals Inc DE 5.02,5.07 05/08/12 AOL Inc. DE 2.02,9.01 05/09/12 Apollo Residential Mortgage, Inc. MD 2.02,9.01 05/08/12 Apple REIT Ten, Inc. VA 2.01,9.01 05/04/12 ARCHER DANIELS MIDLAND CO DE 5.02,9.01 05/03/12 ARDEN GROUP INC DE 2.02,9.01 05/09/12 ARIAD PHARMACEUTICALS INC DE 2.02,7.01,8.01,9.01 05/09/12 Armour Residential REIT, Inc. MD 7.01,9.01 05/08/12 AMEND ARROW ELECTRONICS INC NY 5.07 05/04/12 ASSOCIATED BANC-CORP WI 8.01 04/24/12 ASTA FUNDING INC DE 2.02,9.01 05/09/12 ATHENA SILVER CORP DE 7.01,9.01 05/03/12 AUBURN NATIONAL BANCORPORATION, INC DE 8.01,9.01 05/08/12 AuraSound, Inc. NV 5.02 05/03/12 AURORA DIAGNOSTICS HOLDINGS LLC 8.01,9.01 05/09/12 AUXILIO INC NV 1.01,2.03,3.02,9.01 05/09/12 AUXILIUM PHARMACEUTICALS INC 7.01,9.01 05/09/12 AVANIR PHARMACEUTICALS, INC. DE 1.01 05/07/12 AVENTINE RENEWABLE ENERGY HOLDINGS IN DE 2.02,9.01 05/09/12 AVON PRODUCTS INC NY 5.07 05/03/12 AWARE INC /MA/ MA 5.02 05/04/12 AXIS CAPITAL HOLDINGS LTD 5.02,5.07,9.01 05/03/12 AXIS CAPITAL HOLDINGS LTD 5.02,9.01 12/08/11 AMEND Babcock & Wilcox Co DE 2.02,5.07,9.01 05/08/12 BALDWIN & LYONS INC IN 5.07 05/08/12 BALLY TECHNOLOGIES, INC. NV 5.03,9.01 05/03/12 BANCORPSOUTH INC MS 5.02,9.01 05/08/12 BANK MUTUAL CORP WI 5.07 05/07/12 BANK OF AMERICA CORP /DE/ DE 5.07 05/09/12 BARNWELL INDUSTRIES INC DE 2.02,9.01 05/09/12 Bella Petrellas Holdings, Inc. FL 1.01,2.01,2.05,5.03, 05/07/12 5.07,8.01,9.01 BEMIS CO INC MO 1.01,5.07,9.01 05/03/12 BERKSHIRE HILLS BANCORP INC 7.01,9.01 05/08/12 BEST BUY CO INC MN 7.01,9.01 05/09/12 BIOCANCELL THERAPEUTICS INC. 5.02,8.01 05/06/12 BIOCLINICA INC DE 2.02,9.01 05/09/12 BIOLASE TECHNOLOGY INC DE 2.02,9.01 05/09/12 BIOMARIN PHARMACEUTICAL INC DE 5.02,5.07,9.01 05/08/12 BlackRock Kelso Capital CORP DE 5.07,7.01,9.01 05/09/12 Blueknight Energy Partners, L.P. DE 2.02,9.01 05/09/12 BMC SOFTWARE INC DE 2.02,9.01 05/09/12 BRAZIL FAST FOOD CORP DE 2.02,9.01 05/04/12 BreitBurn Energy Partners L.P. DE 1.01,1.02 05/08/12 Bridge Capital Holdings CA 2.02,9.01 05/09/12 BROADRIDGE FINANCIAL SOLUTIONS, INC. DE 7.01,9.01 05/08/12 BROADWIND ENERGY, INC. DE 2.02,7.01,9.01 05/09/12 BROOKLINE BANCORP INC DE 7.01,9.01 05/09/12 Burger King Holdings Inc DE 2.02,9.01 05/09/12 C&J Energy Services, Inc. DE 2.02,7.01,9.01 05/09/12 Calumet Specialty Products Partners, DE 1.01,7.01,9.01 05/08/12 CAMAC Energy Inc. DE 2.02,9.01 05/09/12 CapLease, Inc. 2.02,9.01 05/08/12 Carbonite Inc DE 7.01,9.01 05/09/12 CAROLINA POWER & LIGHT CO NC 5.07 05/07/12 CBRE GROUP, INC. DE 5.02,7.01,9.01 05/08/12 CENTRAL VERMONT PUBLIC SERVICE CORP VT 2.02,7.01,9.01 05/09/12 CENTURYLINK, INC LA 2.02,9.01 05/09/12 CHICAGO RIVET & MACHINE CO IL 5.07 05/08/12 China Biologic Products, Inc. 2.02,7.01,9.01 05/09/12 CHINA VALVES TECHNOLOGY, INC NV 2.02,7.01,9.01 05/09/12 CINCINNATI FINANCIAL CORP OH 7.01,9.01 05/09/12 CISCO SYSTEMS, INC. CA 2.02 05/09/12 CLECO CORP LA 1.01,2.03,9.01 05/08/12 CLOROX CO /DE/ DE 1.01,1.02,2.03,9.01 05/04/12 CNB FINANCIAL CORP/PA PA 8.01,9.01 05/08/12 CNO Financial Group, Inc. DE 7.01,9.01 05/09/12 CNO Financial Group, Inc. DE 5.03,5.07,7.01,9.01 05/09/12 COEUR D ALENE MINES CORP ID 5.07 05/08/12 COHEN & STEERS INC DE 5.02,5.07 05/08/12 COHU INC DE 5.02,5.07 05/09/12 Compass Diversified Holdings DE 2.02,9.01 05/09/12 COMPX INTERNATIONAL INC DE 2.02,7.01,9.01 05/08/12 COMSTOCK RESOURCES INC NV 5.07 05/08/12 Con-way Inc. DE 5.07 05/08/12 CONSOLIDATED GRAPHICS INC /TX/ TX 2.02,9.01 05/09/12 CONSTELLATION BRANDS, INC. DE 1.01,1.02,2.03,9.01 05/03/12 ContinuityX Solutions, Inc. DE 1.01,2.01,3.02,5.01, 11/08/11 AMEND 5.02,9.01 Cooper-Standard Holdings Inc. DE 2.02,9.01 05/09/12 Copano Energy, L.L.C. 2.02,9.01 05/09/12 CORCEPT THERAPEUTICS INC DE 2.02,7.01,9.01 05/03/12 CORE MOLDING TECHNOLOGIES INC DE 5.07 05/09/12 CORE MOLDING TECHNOLOGIES INC DE 2.02,9.01 05/09/12 COUSINS PROPERTIES INC GA 2.02,9.01 05/09/12 CPI International Holding Corp. 2.02,9.01 05/09/12 CROSS BORDER RESOURCES, INC. NV 1.01,5.02 05/08/12 CUMMINS INC IN 5.02,5.07,9.01 05/08/12 CYNOSURE INC 5.07 05/09/12 CYTORI THERAPEUTICS, INC. DE 2.02,9.01 05/09/12 DANAHER CORP /DE/ DE 5.02,5.07,9.01 05/08/12 DEAN FOODS CO DE 2.02,9.01 05/09/12 DEERE & CO DE 7.01 05/09/12 DELCATH SYSTEMS INC DE 2.02,9.01 05/08/12 DEVON ENERGY CORP/DE DE 1.01,9.01 05/07/12 DIAMOND OFFSHORE DRILLING INC DE 8.01,9.01 05/09/12 Digital Generation, Inc. DE 2.02,9.01 05/09/12 DIGITAL RIVER INC /DE DE 1.01 05/08/12 DIRECTV DE 5.07 05/03/12 DOLE FOOD CO INC DE 8.01,9.01 05/09/12 DOLLAR THRIFTY AUTOMOTIVE GROUP INC DE 2.02,9.01 05/09/12 DOMINION RESOURCES INC /VA/ VA 5.07 05/08/12 DORCHESTER MINERALS, L.P. DE 2.02,7.01,9.01 05/09/12 DOT HILL SYSTEMS CORP DE 1.01 05/04/12 DOT HILL SYSTEMS CORP DE 2.02,9.01 05/09/12 DOT HILL SYSTEMS CORP DE 1.01 05/04/12 AMEND DTE ENERGY CO MI 5.02,5.07,9.01 05/03/12 Duke Energy CORP DE 5.07 05/03/12 EBIX INC DE 2.02,8.01,9.01 05/08/12 ECHELON CORP DE 2.02,9.01 05/09/12 Edgen Group Inc. DE 2.02,9.01 05/09/12 ELRAY RESOURCES, INC. NV 1.01,5.01,5.02 05/04/12 EMISPHERE TECHNOLOGIES INC DE 2.02,9.01 05/09/12 ENCORE CAPITAL GROUP INC DE 2.02,9.01 05/09/12 Energy Transfer Equity, L.P. DE 2.02,9.01 05/08/12 Energy Transfer Partners, L.P. DE 2.02,9.01 05/08/12 EnergySolutions, Inc. DE 2.02,9.01 05/09/12 EnerSys DE 2.02,9.01 05/09/12 ENVESTNET, INC. DE 2.02,9.01 05/09/12 EPICEPT CORP 2.02,9.01 05/09/12 EQUITY LIFESTYLE PROPERTIES INC MD 5.07 05/08/12 ESCO TECHNOLOGIES INC MO 2.02,7.01,9.01 05/09/12 ExamWorks Group, Inc. DE 2.02,5.07,9.01 05/09/12 EXTREME NETWORKS INC DE 5.02,9.01 05/07/12 FARMERS CAPITAL BANK CORP KY 5.02,9.01 05/08/12 Federal Home Loan Bank of Boston X1 2.03 05/03/12 FEDERAL NATIONAL MORTGAGE ASSOCIATION 2.02,7.01,9.01 05/09/12 FINANCIAL INSTITUTIONS INC NY 7.01,9.01 05/09/12 FINANCIAL INSTITUTIONS INC NY 5.02,5.07 05/09/12 First California Financial Group, Inc DE 7.01,9.01 05/09/12 FIRST CITIZENS BANCSHARES INC /DE/ DE 2.02,7.01,9.01 05/09/12 FIRST NATIONAL CORP /VA/ 3.02,8.01,9.01 05/07/12 FLEETCOR TECHNOLOGIES INC DE 2.02,9.01 05/09/12 Forestar Group Inc. DE 5.07 05/08/12 FRANKLIN ELECTRIC CO INC IN 5.07 05/04/12 FUNCTION (X) INC. DE 8.01,9.01 05/09/12 Fushi Copperweld, Inc. NV 2.02,9.01 05/03/12 FutureFuel Corp. DE 2.02,9.01 05/09/12 FXCM Inc. 2.02,7.01,9.01 05/09/12 GAIAM, INC CO 2.02,9.01 05/09/12 GAIN Capital Holdings, Inc. DE 2.02,7.01,9.01 05/09/12 GASTAR EXPLORATION LTD 2.02,9.01 05/09/12 GEORESOURCES INC CO 2.02,9.01 05/08/12 GEORGIA GULF CORP /DE/ DE 3.03,8.01,9.01 05/09/12 GLATFELTER P H CO PA 5.07 05/08/12 GLIMCHER REALTY TRUST MD 8.01 05/09/12 Global Eagle Acquisition Corp. DE 5.02,9.01 05/08/12 Global Indemnity plc L2 8.01,9.01 05/09/12 GLOBECOMM SYSTEMS INC 2.02,9.01 05/09/12 GOOD TIMES RESTAURANTS INC NV 3.01 05/09/12 GRACO INC MN 5.02 05/08/12 GRAINGER W W INC IL 1.01,9.01 05/08/12 GRAMERCY CAPITAL CORP MD 2.02,7.01,9.01 05/08/12 GRANITE CITY FOOD & BREWERY LTD. MN 2.02,9.01 05/08/12 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 05/04/12 Green Endeavors, Inc. UT 3.02 05/09/12 Green Global Investments, Inc. FL 1.01,9.01 05/08/12 AMEND GreenHaven Continuous Commodity Index DE 8.01 05/09/12 GSE Holding, Inc. DE 2.02,9.01 05/09/12 GULFPORT ENERGY CORP DE 2.02,9.01 05/08/12 HARDINGE INC NY 7.01,9.01 05/09/12 HARDINGE INC NY 7.01,9.01 05/09/12 HAWAIIAN ELECTRIC INDUSTRIES INC HI 2.02,9.01 05/08/12 HEADWATERS INC DE 1.01,2.03,3.02,9.01 05/07/12 HEARTLAND PAYMENT SYSTEMS INC DE 5.07 05/04/12 HeartWare International, Inc. DE 8.01,9.01 05/08/12 Heelys, Inc. DE 2.02,9.01 05/09/12 HICKORY TECH CORP MN 5.07 05/08/12 HICKORY TECH CORP MN 7.01 05/08/12 Hill-Rom Holdings, Inc. IN 5.02 05/08/12 Hilltop Holdings Inc. MD 8.01,9.01 05/09/12 HOME BANCORP, INC. LA 5.07 05/09/12 Home Federal Bancorp, Inc. MD 7.01,9.01 05/09/12 HOME LOAN SERVICING SOLUTIONS, LTD. E9 8.01 05/08/12 HomeStreet, Inc. WA 7.01,9.01 05/09/12 HUBBELL INC CT 5.07 05/08/12 HUNTINGTON INGALLS INDUSTRIES, INC. DE 2.02,9.01 05/09/12 Huntsman CORP DE 5.07 05/03/12 ICEWEB INC DE 5.02,9.01 05/02/12 iGo, Inc. DE 2.02,9.01 05/09/12 IMH Financial Corp DE 7.01,9.01 05/09/12 INFOSPACE INC DE 2.02,9.01 05/09/12 INSMED INC VA 7.01,9.01 05/08/12 INSULET CORP DE 2.02,9.01 05/09/12 INTER PARFUMS INC DE 2.02,7.01,8.01,9.01 05/09/12 INTERNAP NETWORK SERVICES CORP DE 5.02 05/09/12 INTERNATIONAL BUSINESS MACHINES CORP NY 7.01 05/09/12 INTERNATIONAL PAPER CO /NEW/ NY 5.07 05/07/12 INTL FCSTONE INC. DE 2.02,7.01,9.01 05/09/12 IntraLinks Holdings, Inc. DE 2.02,5.02,9.01 05/03/12 Invesco Ltd. D0 7.01,9.01 05/09/12 IRONCLAD PERFORMANCE WEAR CORP 2.02,7.01,9.01 05/09/12 IZEA Holdings, Inc. NV 3.02,9.01 05/08/12 IZEA Holdings, Inc. NV 8.01,9.01 05/09/12 JACK IN THE BOX INC /NEW/ DE 7.01,9.01 05/09/12 JAMESON STANFORD RESOURCES Corp 5.03,9.01 04/27/12 Jinmimi Network Inc NV 4.01,9.01 05/07/12 KAR Auction Services, Inc. DE 9.01 05/07/12 AMEND KAYDON CORP DE 2.02,9.01 05/09/12 KAYDON CORP DE 5.07 05/08/12 KEATING CAPITAL INC 8.01,9.01 05/09/12 KELLY SERVICES INC DE 2.02,9.01 05/09/12 KENEXA CORP 5.07 05/03/12 KINDER MORGAN ENERGY PARTNERS L P DE 7.01 05/08/12 KINDER MORGAN MANAGEMENT LLC DE 7.01 05/08/12 KINDER MORGAN, INC. DE 7.01 05/08/12 KINGOLD JEWELRY, INC. DE 2.02,9.01 05/09/12 Kips Bay Medical, Inc. DE 2.02,9.01 05/09/12 KIT digital, Inc. DE 2.02,9.01 05/03/12 KITE REALTY GROUP TRUST MD 5.07 05/09/12 KNIGHT CAPITAL GROUP, INC. DE 5.07 05/09/12 KNIGHT TRANSPORTATION INC AZ 7.01,9.01 05/08/12 KRATOS DEFENSE & SECURITY SOLUTIONS, DE 1.01,8.01,9.01 05/09/12 KRONOS INTERNATIONAL INC DE 7.01,9.01 05/09/12 KRONOS WORLDWIDE INC 7.01,9.01 05/09/12 LAKES ENTERTAINMENT INC MN 2.02,9.01 05/09/12 LANNETT CO INC DE 2.02,9.01 05/08/12 Lantheus Medical Imaging, Inc. DE 1.01,9.01 05/03/12 LEXINGTON REALTY TRUST MD 7.01 05/02/12 AMEND LIBBEY INC DE 7.01,9.01 05/09/12 LIN TV CORP. DE 2.02,9.01 05/09/12 LIQUIDITY SERVICES INC DE 7.01,9.01 05/09/12 Live Nation Entertainment, Inc. DE 2.02,9.01 05/09/12 LORAL SPACE & COMMUNICATIONS INC. DE 2.02,9.01 05/09/12 LOUISIANA-PACIFIC CORP DE 8.01,9.01 05/09/12 LOWES COMPANIES INC NC 5.02,9.01 05/03/12 LSB INDUSTRIES INC DE 2.02,9.01 05/09/12 LUNA INNOVATIONS INC DE 2.02,9.01 05/09/12 M I HOMES INC OH 1.01,2.03,5.02,5.07, 05/08/12 9.01 MACATAWA BANK CORP MI 5.07 05/08/12 Macy's, Inc. DE 2.02,9.01 05/09/12 MAGICJACK VOCALTEC LTD L3 7.01 05/09/12 AMEND MAGNETEK, INC. DE 2.02 05/09/12 Maidenform Brands, Inc. DE 2.02,9.01 05/09/12 MALVERN FEDERAL BANCORP INC X1 2.02,9.01 05/03/12 MANAS PETROLEUM Corp NV 1.01,8.01,9.01 05/07/12 MANAS PETROLEUM Corp NV 1.01,8.01,9.01 05/07/12 AMEND MANNKIND CORP DE 2.02,9.01 05/09/12 MARATHON OIL CORP DE 8.01,9.01 05/09/12 Marina Biotech, Inc. DE 1.01,9.01 05/03/12 McEwen Mining Inc. CO 2.02,9.01 05/08/12 MCMORAN EXPLORATION CO /DE/ DE 7.01,9.01 05/09/12 MEMC ELECTRONIC MATERIALS INC DE 2.02,9.01 05/09/12 MEMC ELECTRONIC MATERIALS INC DE 8.01,9.01 05/09/12 MERCADOLIBRE INC 2.02,7.01,9.01 05/08/12 MICRO IMAGING TECHNOLOGY, INC. CA 5.02 05/07/12 Mid-Con Energy Partners, LP DE 2.02,7.01,9.01 05/08/12 Midway Gold Corp A1 7.01,9.01 05/09/12 MINE SAFETY APPLIANCES CO PA 5.07 05/08/12 MKS INSTRUMENTS INC MA 5.02,5.07 05/07/12 MModal Inc. DE 2.02,9.01 05/08/12 Mojo Organics, Inc. DE 5.02 05/09/12 Momentive Performance Materials Inc. DE 8.01,9.01 05/09/12 MONARCH COMMUNITY BANCORP INC MD 2.02,9.01 05/04/12 MONMOUTH REAL ESTATE INVESTMENT CORP MD 2.02,7.01,9.01 05/09/12 Monster Beverage Corp DE 2.02,9.01 05/09/12 MTR GAMING GROUP INC DE 2.02,9.01 05/09/12 MURPHY OIL CORP /DE DE 5.07 05/09/12 MYR GROUP INC. DE 2.02,9.01 05/09/12 NATIONAL BANKSHARES INC VA 8.01,9.01 05/09/12 NATIONAL WESTERN LIFE INSURANCE CO CO 2.02,9.01 05/09/12 Neenah Paper Inc DE 2.02,9.01 05/09/12 NETWORK EQUIPMENT TECHNOLOGIES INC DE 2.02,9.01 05/09/12 Neuralstem, Inc. DE 2.02,8.01,9.01 05/08/12 New Mountain Finance Corp DE 2.02,9.01 05/08/12 NEWFIELD EXPLORATION CO /DE/ DE 5.07 05/04/12 NEWS CORP 2.02,9.01 05/09/12 NEWS CORP 8.01,9.01 05/09/12 NL INDUSTRIES INC NJ 7.01,9.01 05/09/12 NORTHLAND CABLE PROPERTIES SEVEN LIMI WA 2.01,9.01 05/09/12 NORTHSTAR REALTY FINANCE CORP. MD 1.01,9.01 05/03/12 NVR INC VA 5.07 05/08/12 O CHARLEYS INC TN 3.01,9.01 04/20/12 OCCIDENTAL PETROLEUM CORP /DE/ DE 5.07 05/04/12 OCEANEERING INTERNATIONAL INC DE 5.02,5.07,8.01,9.01 05/04/12 OHIO VALLEY BANC CORP OH 5.02,8.01,9.01 05/09/12 Ohr Pharmaceutical Inc 7.01,8.01 05/06/12 Oiltanking Partners, L.P. DE 2.02,9.01 05/09/12 OLD POINT FINANCIAL CORP VA 7.01,9.01 05/09/12 ONE LIBERTY PROPERTIES INC MD 2.02,9.01 05/09/12 OPNET TECHNOLOGIES INC DE 5.02,9.01 05/03/12 ORAMED PHARMACEUTICALS INC. NV 7.01,9.01 05/09/12 Orexigen Therapeutics, Inc. DE 2.02,9.01 05/09/12 ORIGINOIL INC NV 8.01,9.01 05/09/12 ORMAT TECHNOLOGIES, INC. DE 2.02,9.01 05/09/12 OSAGE EXPLORATION & DEVELOPMENT INC DE 5.02,9.01 05/06/12 OXIGENE INC DE 2.02,9.01 05/09/12 PACIFIC MERCANTILE BANCORP CA 5.02,7.01,9.01 05/06/12 PACIFIC MERCANTILE BANCORP CA 2.02,9.01 05/07/12 Pacira Pharmaceuticals, Inc. DE 2.02,9.01 05/09/12 PAN AMERICAN GOLDFIELDS LTD DE 5.02 05/08/12 PANHANDLE EASTERN PIPE LINE CO LP DE 7.01,9.01 05/08/12 PARKER DRILLING CO /DE/ DE 8.01,9.01 05/09/12 PATHEON INC 2.05,2.06 05/08/12 PC MALL INC DE 2.02,9.01 05/09/12 PCS EDVENTURES COM INC ID 2.03,9.01 05/03/12 PENN NATIONAL GAMING INC PA 1.01,9.01 05/07/12 PENSKE AUTOMOTIVE GROUP, INC. DE 5.07 05/09/12 PEOPLES BANCORP INC OH 7.01,9.01 05/09/12 PEOPLES EDUCATIONAL HOLDINGS MN 5.02 05/07/12 PERFORMANCE TECHNOLOGIES INC \DE\ DE 2.02 03/31/12 PETMED EXPRESS INC FL 8.01,9.01 05/07/12 PetroLogistics LP DE 1.01,5.02,5.03,9.01 05/03/12 PHH CORP MD 5.02,9.01 05/03/12 PINNACLE WEST CAPITAL CORP AZ 7.01,9.01 05/09/12 PIZZA INN HOLDINGS, INC /MO/ MO 2.02,9.01 05/09/12 PLAINS ALL AMERICAN PIPELINE LP DE 1.01,9.01 05/09/12 PLAINSCAPITAL CORP TX 8.01,9.01 05/08/12 PLAINSCAPITAL CORP TX 1.01,5.02,9.01 05/08/12 PLURISTEM THERAPEUTICS INC NV 8.01 05/09/12 PMFG, Inc. DE 2.02,9.01 05/09/12 POKERTEK, INC. NC 8.01,9.01 05/09/12 POTASH AMERICA, INC. NV 7.01,9.01 05/08/12 POWELL INDUSTRIES INC NV 2.02,9.01 05/08/12 POZEN INC /NC 1.01 05/07/12 PRESIDENTIAL LIFE CORP DE 2.02 03/31/12 Primoris Services Corp DE 2.02,5.07,8.01,9.01 05/04/12 PROTECTIVE LIFE CORP DE 2.02,9.01 05/08/12 ProUroCare Medical Inc. NV 3.02 05/07/12 PROVIDENCE SERVICE CORP DE 2.02,7.01,9.01 05/09/12 PRUDENTIAL FINANCIAL INC NJ 5.03,5.07,9.01 05/08/12 pSivida Corp. DE 2.02,9.01 05/09/12 Q LOTUS HOLDINGS INC NV 1.01,2.03,9.01 05/01/12 QUANTUM CORP /DE/ DE 2.02,9.01 05/09/12 QUEST SOFTWARE INC CA 8.01,9.01 05/09/12 RADIO ONE, INC. DE 2.02,9.01 05/03/12 RAMTRON INTERNATIONAL CORP DE 5.02,9.01 05/07/12 RARUS TECHNOLOGIES INC NV 1.01,9.01 05/08/12 RBC LIFE SCIENCES, INC. DE 2.02 05/07/12 READING INTERNATIONAL INC NV 2.02,9.01 05/09/12 RealD Inc. DE 8.01,9.01 05/08/12 REALTY INCOME CORP MD 5.07 05/08/12 RED MOUNTAIN RESOURCES, INC. FL 8.01 04/23/12 AMEND Regency Energy Partners LP DE 2.02,7.01,9.01 05/09/12 RELM WIRELESS CORP NV 2.02,9.01 05/09/12 Renewable Energy Group, Inc. 2.02,9.01 05/09/12 REPROS THERAPEUTICS INC. DE 8.01,9.01 05/09/12 RESPONSYS INC CA 2.02,9.01 05/09/12 RigNet, Inc. DE 2.02,9.01 05/09/12 Riverview Financial Corp PA 8.01,9.01 05/08/12 Rock-Tenn CO GA 7.01,9.01 05/09/12 ROGERS CORP MA 5.02,5.07 05/04/12 ROLLINS INC DE 8.01,9.01 05/08/12 Rose Rock Midstream, L.P. 2.02,9.01 05/09/12 Rosetta Resources Inc. DE 7.01,9.01 05/09/12 RUBY TUESDAY INC GA 1.01,9.01 05/07/12 RYLAND GROUP INC MD 7.01,9.01 05/09/12 S&T BANCORP INC PA 7.01,9.01 05/09/12 Samson Oil & Gas LTD C3 8.01,9.01 05/07/12 Santander Drive Auto Receivables Trus DE 1.01,8.01,9.01 05/07/12 Santander Drive Auto Receivables Trus DE 8.01,9.01 05/09/12 SATCON TECHNOLOGY CORP DE 2.02,9.01 05/09/12 SAVIENT PHARMACEUTICALS INC DE 1.01,2.03,3.02,7.01, 05/07/12 9.01 SCICLONE PHARMACEUTICALS INC DE 2.02,9.01 05/09/12 SCIENTIFIC GAMES CORP DE 2.02,9.01 05/09/12 SemGroup Corp DE 2.02,9.01 05/09/12 SI Financial Group, Inc. 8.01,9.01 05/08/12 SI Financial Group, Inc. 7.01,9.01 05/09/12 SIGMA DESIGNS INC CA 2.01,9.01 05/04/12 Silicon Graphics International Corp DE 2.02,9.01 05/09/12 SINGING MACHINE CO INC DE 5.02,9.01 05/07/12 SMF ENERGY CORP DE 1.01,1.03,7.01,9.01 04/27/12 SOAPSTONE NETWORKS INC. DE 8.01 05/09/12 SOUTHERN UNION CO DE 7.01,9.01 05/08/12 SOUTHWESTERN ENERGY CO DE 7.01 05/04/12 SPARTON CORP OH 7.01,9.01 05/09/12 Spectrum Brands Holdings, Inc. DE 2.02,9.01 05/09/12 SPX CORP DE 5.02,5.07,9.01 05/03/12 SRS LABS INC DE 2.02,9.01 05/09/12 SS&C Technologies Holdings Inc DE 8.01,9.01 05/09/12 SS&C Technologies Holdings Inc DE 1.01,2.01,2.03,9.01 05/09/12 STAG Industrial, Inc. 8.01,9.01 05/09/12 STANCORP FINANCIAL GROUP INC OR 5.07 05/07/12 Start Scientific, Inc. UT 5.02 05/03/12 State Auto Financial CORP OH 2.02,5.02,5.07,8.01, 05/03/12 9.01 STATER BROS HOLDINGS INC DE 2.02,9.01 05/08/12 STIFEL FINANCIAL CORP DE 2.02,9.01 05/09/12 STONEMOR PARTNERS LP DE 2.02,9.01 05/09/12 STRATS (SM) TRUST FOR JPMORGAN CHASE 8.01,9.01 05/01/12 STRATS SM TRUST FOR IBM CORP SEC SERI 8.01,9.01 04/30/12 Strats(SM) Trust for JPMorgan Chase C 8.01,9.01 05/01/12 STRATS(SM) Trust For Morgan Stanley S 8.01,9.01 05/01/12 StrikeForce Technologies Inc. NJ 1.01,3.02,9.01 05/03/12 Sucampo Pharmaceuticals, Inc. 2.02,9.01 05/09/12 SUNLINK HEALTH SYSTEMS INC OH 4.02,8.01,9.01 05/08/12 SUNPOWER CORP DE 4.01,9.01 05/03/12 SUPERIOR UNIFORM GROUP INC FL 8.01 05/09/12 SUPERMEDIA INC. DE 7.01 05/09/12 SUPERTEX INC CA 2.02,9.01 05/08/12 SUPREME INDUSTRIES INC DE 5.02,9.01 05/03/12 Susser Holdings CORP DE 2.02 05/09/12 SVB FINANCIAL GROUP 7.01,9.01 05/09/12 Swank, Inc. DE 2.02,9.01 05/09/12 SXC Health Solutions Corp. A6 8.01,9.01 05/09/12 Symetra Financial CORP DE 5.07 05/04/12 SYNCHRONOSS TECHNOLOGIES INC 8.01 05/09/12 TALBOTS INC DE 8.01,9.01 05/05/12 TEGAL CORP /DE/ DE 5.02 05/03/12 TELIK INC DE 2.02,9.01 05/09/12 TELULAR CORP DE 2.02,8.01,9.01 05/03/12 Terreno Realty Corp MD 5.07 05/04/12 TESLA MOTORS INC DE 2.02,9.01 05/09/12 TETRA TECHNOLOGIES INC DE 2.02,9.01 05/09/12 Thompson Creek Metals CO Inc. A6 7.01,9.01 05/07/12 TILLY'S, INC. DE 1.01,2.03 05/03/12 Tim Hortons Inc. A6 2.02,5.02,7.01,8.01, 05/09/12 9.01 TIMKEN CO OH 5.07 05/08/12 TOOTSIE ROLL INDUSTRIES INC VA 5.07 03/31/12 TRANS1 INC 5.02 05/03/12 TRANSACT TECHNOLOGIES INC DE 2.02 05/09/12 TRC COMPANIES INC /DE/ DE 2.02,9.01 05/07/12 Trunity Holdings, Inc. DE 1.01,2.01,3.02,4.01, 01/24/12 AMEND 5.01,5.02,5.06,8.01, 9.01 TRX INC/GA GA 2.02,9.01 03/31/12 TUCOWS INC /PA/ PA 2.02,9.01 05/08/12 TYCO INTERNATIONAL LTD V8 8.01,9.01 05/08/12 UMH PROPERTIES, INC. MD 7.01,9.01 05/09/12 UNION BANKSHARES INC VT 2.02,9.01 05/09/12 UNITED GUARDIAN INC DE 2.02,9.01 05/09/12 UNITED INSURANCE HOLDINGS CORP. DE 2.02,5.07,9.01 05/09/12 UniTek Global Services, Inc. DE 2.02,2.03,9.01 05/03/12 UNIVERSAL DISPLAY CORP \PA\ PA 2.02 05/09/12 UNIVERSAL INSURANCE HOLDINGS, INC. DE 2.02,9.01 05/09/12 VADDA ENERGY CORP FL 1.01 05/04/12 VALHI INC /DE/ DE 2.02,7.01,9.01 05/08/12 VASCULAR SOLUTIONS INC MN 5.07 05/04/12 VERIZON COMMUNICATIONS INC DE 5.07 05/03/12 VERSAR INC DE 5.02,9.01 05/08/12 Verso Paper Corp. DE 1.01,2.03,9.01 05/04/12 Verso Paper Corp. DE 1.01,8.01,9.01 05/09/12 VIASYSTEMS GROUP INC DE 2.02,3.01,5.02,5.07, 05/08/12 9.01 VIRTUSA CORP 2.02,8.01,9.01 05/08/12 Vitamin Shoppe, Inc. DE 5.02 05/08/12 VOCERA COMMUNICATIONS, INC. 2.02,5.02,9.01 05/07/12 Vocus, Inc. DE 9.01 02/24/12 AMEND VWR Funding, Inc. DE 2.02,7.01 05/09/12 W&T OFFSHORE INC TX 2.02,9.01 05/08/12 Walker & Dunlop, Inc. MD 2.02,9.01 05/09/12 WALTER INVESTMENT MANAGEMENT CORP MD 2.02,9.01 05/09/12 Warner Chilcott plc 5.07 05/08/12 WEBSTER FINANCIAL CORP DE 8.01 05/08/12 WebXU, Inc. DE 1.01,9.01 05/03/12 WEINGARTEN REALTY INVESTORS /TX/ TX 5.07 05/08/12 WERNER ENTERPRISES INC NE 7.01,9.01 05/08/12 WESTAR ENERGY INC /KS KS 2.02,9.01 05/09/12 Western Union CO DE 7.01,9.01 05/09/12 Westinghouse Solar, Inc. DE 1.01,5.02,8.01,9.01 05/07/12 Whitestone REIT TX 2.02,9.01 05/09/12 Whitestone REIT Operating Partnership DE 2.02,9.01 05/09/12 WILLIAMS CONTROLS INC DE 2.02,9.01 05/01/12 Winthrop Realty Trust OH 5.07 05/08/12 WIRELESS RONIN TECHNOLOGIES INC MN 2.02,7.01,9.01 05/09/12 WISCONSIN ENERGY CORP WI 5.07 05/03/12 WNC HOUSING TAX CREDIT FUND IV L P SE CA 5.07 05/08/12 WNC HOUSING TAX CREDIT FUND V LP SERI CA 5.07 05/08/12 WORTHINGTON ENERGY, INC. NV 1.01,2.03,3.02,5.02, 04/18/12 9.01 XPO Logistics, Inc. DE 2.02,9.01 05/09/12 YAHOO INC DE 5.02,8.01,9.01 05/03/12 ZAGG Inc NV 8.01,9.01 05/09/12 Zayo Group LLC DE 4.02 05/07/12 Zayo Group LLC DE 2.02,7.01,9.01 05/09/12
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