RECENT 8K FILINGS November 2, 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 ------------------------------------------------------------------------------------------------------ 21ST CENTURY HOLDING CO FL 2.02,8.01,9.01 10/29/09 A. H. Belo CORP DE 2.02,9.01 10/30/09 ABINGTON BANCORP, INC./PA 2.02,9.01 10/30/09 AccountAbilities, Inc. 5.02 10/30/09 ACTIVANT SOLUTIONS INC /DE/ DE 5.03,9.01 10/30/09 ADA-ES INC CO 1.01 10/26/09 Adrenalina NV 5.02,9.01 08/12/09 ADVANCED ENERGY INDUSTRIES INC DE 5.02,8.01 10/26/09 ADVANT E CORP DE 5.03,8.01,9.01 10/30/09 AECOM TECHNOLOGY CORP DE 5.02 10/26/09 Affinion Group, Inc. DE 2.02,9.01 10/30/09 ALLETE INC MN 2.02,9.01 10/30/09 ALLIANCEBERNSTEIN HOLDING L.P. DE 2.02,7.01,9.01 10/29/09 ALLIANCEBERNSTEIN L.P. DE 2.02,7.01,9.01 10/29/09 ALLIANT ENERGY CORP WI 2.02,9.01 10/30/09 ALLIED CAPITAL CORP MD 1.01,9.01 10/26/09 AMBASSADORS INTERNATIONAL INC DE 2.06 10/29/09 AMBASSADORS INTERNATIONAL INC DE 2.02,4.02,8.01,9.01 10/29/09 AMEND AMEREN CORP MO 2.02,8.01,9.01 10/30/09 AMERICAN AXLE & MANUFACTURING HOLDING DE 2.02,7.01,8.01,9.01 10/30/09 American Capital Agency Corp 1.01,9.01 10/30/09 AMERICAN CRYSTAL SUGAR CO /MN/ MN 7.01 10/30/09 AMERICANWEST BANCORPORATION WA 2.02,9.01 10/29/09 AMERIGROUP CORP 2.02,9.01 10/30/09 AML COMMUNICATIONS INC DE 2.02,9.01 10/28/09 AMPHENOL CORP /DE/ DE 8.01,9.01 10/29/09 ANESIVA, INC. DE 8.01,9.01 10/30/09 ANGELES INCOME PROPERTIES LTD 6 CA 1.01,9.01 10/26/09 AON CORP DE 2.02,9.01 10/30/09 APARTMENT INVESTMENT & MANAGEMENT CO MD 2.02,9.01 10/30/09 ARCH COAL INC DE 2.02,9.01 10/30/09 ARENA PHARMACEUTICALS INC DE 8.01 10/30/09 ARES CAPITAL CORP MD 1.01,9.01 10/26/09 ARRHYTHMIA RESEARCH TECHNOLOGY INC /D DE 2.02,9.01 10/30/09 ARTFEST INTERNATIONAL INC DE 1.01,9.01 10/28/09 ATLANTIC COAST FEDERAL CORP X1 2.02,9.01 10/30/09 ATLANTIC TELE NETWORK INC /DE DE 2.02,9.01 10/29/09 AVATAR HOLDINGS INC DE 5.02 10/26/09 AVIS BUDGET GROUP, INC. DE 1.01,9.01 10/29/09 Avro Energy Inc. NV 1.01 10/24/09 AXT INC DE 5.02,9.01 10/26/09 AYERS EXPLORATION INC. NV 1.01,3.02,9.01 10/27/09 Bancorp of New Jersey, Inc. NJ 2.02,9.01 10/30/09 BANCTRUST FINANCIAL GROUP INC AL 1.01,9.01 10/28/09 Bank of Commerce Holdings CA 9.01 10/30/09 BARNES GROUP INC DE 2.02,9.01 10/30/09 BEARINGPOINT INC DE 7.01,9.01 10/30/09 BEASLEY BROADCAST GROUP INC DE 2.02,9.01 10/30/09 BEHRINGER HARVARD REIT I INC MD 1.01,7.01,8.01,9.01 10/29/09 BERRY PETROLEUM CO DE 2.02,9.01 09/30/09 BEVERLY NATIONAL CORP MA 5.02,9.01 10/26/09 BGC Partners, Inc. DE 8.01 10/23/09 BigBand Networks, Inc. DE 5.02,9.01 10/28/09 BIOCUREX INC A1 5.02,8.01,9.01 10/26/09 BioScrip, Inc. DE 2.02,5.02,9.01 10/28/09 BLACK HILLS CORP /SD/ SD 2.02,9.01 10/29/09 BLUE RIDGE REAL ESTATE CO PA 1.02 10/28/09 BOEING CAPITAL CORP DE 8.01,9.01 10/22/09 BOTETOURT BANKSHARES INC VA 8.01 10/30/09 BRINKER INTERNATIONAL INC DE 7.01,9.01 10/29/09 BROADWIND ENERGY, INC. DE 2.02,9.01 10/30/09 BRT REALTY TRUST MA 8.01 10/26/09 Builders FirstSource, Inc. DE 8.01,9.01 10/30/09 CALGON CARBON CORPORATION DE 8.01 10/30/09 Calibert Explorations, Inc. NV 8.01,9.01 10/30/09 CALPINE CORP DE 2.02,9.01 10/30/09 CAMDEN PROPERTY TRUST TX 2.02,9.01 10/29/09 CANAL Corp VA 8.01,9.01 10/29/09 CAPITALSOURCE INC DE 5.02 10/02/09 CARPENTER TECHNOLOGY CORP DE 5.02 10/30/09 CASCADE BANCORP OR 1.01,2.02,2.03,3.02,9.01 10/26/09 CASH AMERICA INTERNATIONAL INC TX 7.01,9.01 10/30/09 CB RICHARD ELLIS GROUP INC DE 8.01,9.01 10/30/09 CEDAR SHOPPING CENTERS INC MD 1.01,2.06,3.02,9.01 10/26/09 CELL THERAPEUTICS INC WA 2.02,7.01,9.01 10/30/09 CENTRA FINANCIAL HOLDINGS INC WV 5.02,9.01 10/27/09 CENTRAL VERMONT PUBLIC SERVICE CORP VT 7.01 10/30/09 CERUS CORP DE 1.01,3.03,9.01 10/28/09 CHART INDUSTRIES INC DE 7.01,9.01 10/29/09 CHEVRON CORP DE 2.02 10/30/09 CHICOPEE BANCORP, INC. 2.02,9.01 10/29/09 CHINA JO-JO DRUGSTORES, INC. 1.01,9.01 10/27/09 China MediaExpress Holdings, Inc. DE 8.01,9.01 10/29/09 China MediaExpress Holdings, Inc. DE 3.01,9.01 10/23/09 CHINA MEDICINE CORP 1.01,8.01,9.01 10/26/09 CHOICEONE FINANCIAL SERVICES INC MI 2.02,9.01 10/30/09 CINTEL CORP NV 5.02 10/26/09 CIT GROUP INC DE 1.01,2.03,8.01,9.01 10/28/09 CITIGROUP INC DE 8.01,9.01 10/30/09 CLIFFS NATURAL RESOURCES INC. OH 2.02,9.01 10/29/09 CMS ENERGY CORP MI 2.02,9.01 10/30/09 CMS ENERGY CORP MI 7.01,9.01 10/30/09 CNA SURETY CORP DE 2.02 10/30/09 COACHMEN INDUSTRIES INC IN 7.01,9.01 10/30/09 COMMERCIAL METALS CO DE 2.02,9.01 10/30/09 CONAGRA FOODS INC /DE/ DE 5.02 10/26/09 CONMED CORP NY 1.01,9.01 10/30/09 CONSOLIDATED TOMOKA LAND CO FL 5.03,8.01,9.01 10/29/09 CONSTELLATION ENERGY GROUP INC MD 2.02,9.01 10/29/09 CONSTELLATION ENERGY GROUP INC MD 1.01,9.01 10/30/09 COVENTRY HEALTH CARE INC DE 2.02,9.01 10/30/08 COWLITZ BANCORPORATION WA 2.02,9.01 10/29/09 CREE INC NC 5.02,9.01 10/29/09 Cryoport, Inc. NV 4.02 10/26/09 CUMMINS INC IN 2.02,7.01,9.01 10/30/09 CURTISS WRIGHT CORP DE 2.02,9.01 10/29/09 Cyclacel Pharmaceuticals, Inc. DE 3.01,9.01 10/27/09 CYMER INC NV 8.01 10/26/09 CYPRESS SEMICONDUCTOR CORP /DE/ DE 3.01,9.01 10/29/09 Danvers Bancorp, Inc. DE 2.01,5.02,8.01,9.01 10/30/09 DEBT RESOLVE INC DE 5.02,9.01 10/29/09 DECODE GENETICS INC DE 1.01,2.03 10/26/09 DEL MONTE FOODS CO DE 1.01,9.01 10/27/09 DELTEK, INC DE 1.01,9.01 10/30/09 DENMARK BANCSHARES INC WI 2.02,9.01 10/29/09 Digimarc CORP DE 2.02,9.01 10/29/09 DigitalFX International Inc FL 5.02 10/26/09 DigitalPost Interactive, Inc. NV 7.01 10/29/09 DineEquity, Inc DE 2.02,9.01 10/27/09 DIONEX CORP /DE CA 5.02,9.01 10/26/09 DOMINION RESOURCES INC /VA/ VA 2.02,9.01 10/30/09 Domtar CORP DE 2.02,9.01 10/30/09 DONEGAL GROUP INC DE 8.01,9.01 10/30/09 Dorman Products, Inc. PA 2.02,9.01 10/30/09 DOW CHEMICAL CO /DE/ DE 8.01 10/30/09 Dresser-Rand Group Inc. DE 2.02,9.01 10/29/09 DRI CORP NC 1.01,3.02,3.03,9.01 10/26/09 DRINKS AMERICAS HOLDINGS, LTD DE 5.02 10/26/09 DTE ENERGY CO MI 2.02,7.01,9.01 10/30/09 Duke Energy CORP DE 2.02,9.01 10/30/09 DUPONT E I DE NEMOURS & CO DE 5.02,9.01 10/26/09 ELANDIA INTERNATIONAL INC. DE 4.01 10/27/09 Embassy Bancorp, Inc. PA 1.01 10/26/09 EMMIS COMMUNICATIONS CORP IN 7.01 10/28/09 ENCISION INC CO 2.02,9.01 10/29/09 ENDOLOGIX INC /DE/ DE 2.02,9.01 10/27/09 Energy Future Holdings Corp /TX/ TX 2.02,9.01 10/30/09 EnerSys DE 7.01,9.01 10/30/09 ENOVA SYSTEMS INC CA 1.01,3.02,9.01 10/29/09 Enterprise GP Holdings L.P. DE 5.02,5.03,7.01,9.01 10/27/09 Equinox International, Inc. NV 5.02 10/29/09 ESTEE LAUDER COMPANIES INC DE 2.02,9.01 10/30/09 EVANS BANCORP INC NY 2.02,9.01 10/28/09 FACET BIOTECH CORP DE 1.01 10/26/09 Federal Home Loan Bank of Atlanta X1 8.01,9.01 10/30/09 Federal Home Loan Bank of San Francis X1 2.02,7.01,9.01 10/29/09 Federal Home Loan Bank of Seattle 2.02,9.01 10/29/09 FEDEX CORP DE 8.01 10/30/09 FedFirst Financial CORP X1 2.02,9.01 10/30/09 FENARIO INC 5.01,5.02,9.01 10/28/09 FIDELITY D & D BANCORP INC PA 2.02,9.01 10/29/09 Find the World Interactive, Inc. DE 4.01,9.01 10/22/09 FINLAY ENTERPRISES INC /DE DE 7.01,9.01 10/30/09 FINOTEC GROUP INC NV 5.02,8.01 04/15/09 FIRST ADVANTAGE CORP DE 2.02,9.01 10/28/09 FIRST COMMUNITY BANCSHARES INC /NV/ NV 2.02,9.01 10/28/09 FIRST COMMUNITY BANCSHARES INC /NV/ NV 7.01 10/29/09 FIRST COMMUNITY BANK CORP OF AMERICA FL 2.02,9.01 10/30/09 FIRST FINANCIAL BANKSHARES INC TX 2.02,9.01 10/22/09 First Guaranty Bancshares, Inc. LA 5.02 10/01/09 AMEND FIRST MERCHANTS CORP IN 8.01,9.01 10/30/09 FIRST MID ILLINOIS BANCSHARES INC DE 2.02,9.01 09/30/09 FIRST NORTHERN COMMUNITY BANCORP CA 2.02,7.01,9.01 10/29/09 FIRST PLACE FINANCIAL CORP /DE/ DE 2.02,7.01,9.01 10/29/09 FIRST POTOMAC REALTY TRUST MD 2.02,7.01,9.01 10/29/09 FIRSTFED FINANCIAL CORP DE 5.02 10/30/09 FORMCAP CORP. NV 8.01 10/30/09 FOUR OAKS FINCORP INC NC 2.02,9.01 10/29/09 FOUR OAKS FINCORP INC NC 8.01,9.01 10/26/09 Fox Chase Bancorp Inc X1 2.02,9.01 10/29/09 FRANKLIN CREDIT HOLDING CORP/DE/ DE 1.01 10/29/09 FRONTIER COMMUNICATIONS CORP DE 8.01,9.01 10/30/09 FSB Community Bankshares Inc X1 2.02,9.01 10/29/09 GARTNER INC DE 2.02,9.01 10/30/09 General Maritime Corp / MI 7.01,8.01 10/30/09 GENEREX BIOTECHNOLOGY CORP DE 8.01,9.01 10/29/09 GENTEK INC DE 3.01,3.02,5.01,5.02,5.03,9.01 10/28/09 GERON CORP DE 8.01,9.01 10/30/09 GLIMCHER REALTY TRUST MD 2.02,9.01 10/29/09 Goldpoint Resources, Inc. NV 8.01 10/30/09 GRAHAM CORP DE 2.02,8.01,9.01 10/29/09 GREAT PLAINS ENERGY INC MO 7.01,9.01 10/30/09 Grubb & Ellis Healthcare REIT II, Inc MD 1.01,9.01 10/26/09 HAMPTON ROADS BANKSHARES INC VA 2.02,7.01,8.01,9.01 10/30/09 HANCOCK FABRICS INC DE 7.01,8.01,9.01 10/30/09 HARLEYSVILLE NATIONAL CORP PA 2.02,9.01 10/30/09 HARRAHS ENTERTAINMENT INC DE 8.01 10/22/09 HEALTH CARE REIT INC /DE/ DE 5.02 10/29/09 HENRY JACK & ASSOCIATES INC DE 1.01,9.01 10/29/09 HERBALIFE LTD. E9 8.01,9.01 10/29/09 HERITAGE OAKS BANCORP CA 2.02,9.01 10/29/09 HERTZ CORP DE 2.02,7.01,9.01 10/26/09 HERTZ GLOBAL HOLDINGS INC 2.02,7.01,9.01 10/26/09 HFF, Inc. DE 5.02,9.01 10/27/09 HINES REAL ESTATE INVESTMENT TRUST IN 8.01 10/30/09 HIRSCH INTERNATIONAL CORP NY 1.01,2.03,3.01,3.03,5.01,5.02, 10/29/09 8.01,9.01 HMS HOLDINGS CORP 2.02,7.01,9.01 10/30/09 Home Federal Bancorp, Inc. MD 2.02,9.01 10/30/09 HUNT J B TRANSPORT SERVICES INC AR 1.01,9.01 10/28/09 HUNTINGTON BANCSHARES INC/MD MD 7.01,9.01 10/30/09 ICAD INC DE 2.02,9.01 10/28/09 ICONIX BRAND GROUP, INC. DE 1.01,2.02,9.01 10/26/09 IMPAC MORTGAGE HOLDINGS INC MD 3.02 10/27/09 IMPERIAL OIL LTD 2.02 10/29/09 Ingen Technologies, Inc. GA 4.01 10/29/09 INHIBITEX, INC. 3.02,8.01,9.01 10/29/09 INNOSPEC INC. DE 2.02,9.01 10/29/09 INNOVATIVE SOLUTIONS & SUPPORT INC PA 5.02 10/26/09 INTERLEUKIN GENETICS INC DE 1.01,9.01 10/26/09 INTERLINE BRANDS, INC./DE DE 2.02,9.01 10/30/09 INTERMOUNTAIN COMMUNITY BANCORP ID 2.02,9.01 10/30/09 INTERNATIONAL FLAVORS & FRAGRANCES IN NY 2.05,5.03,9.01 10/27/09 INTERNATIONAL WIRE GROUP INC DE 8.01,9.01 10/30/09 INTERPRO MANAGEMENT CORP. NV 4.01,9.01 10/26/09 INVESTORS TITLE CO NC 2.02,9.01 10/30/09 IRVINE SENSORS CORP/DE/ DE 7.01,9.01 10/30/09 ISTAR FINANCIAL INC MD 2.02,9.01 10/30/09 ITT CORP IN 2.02,7.01,9.01 10/30/09 JAVELIN PHARMACEUTICALS, INC DE 1.01,9.01 10/30/09 KBR, INC. DE 5.02,9.01 10/26/09 Kentucky USA Energy, Inc. KY 7.01,9.01 10/27/09 KFORCE INC FL 7.01 10/28/09 Kodiak Oil & Gas Corp 8.01,9.01 10/30/09 L-1 IDENTITY SOLUTIONS, INC. DE 2.02,9.01 10/28/09 LACLEDE GROUP INC MO 2.02,7.01,9.01 10/30/09 LACLEDE GROUP INC MO 2.02,7.01,9.01 10/30/09 Lake Shore Bancorp, Inc. X1 2.02,9.01 10/30/09 LANCE INC NC 2.02,9.01 10/30/09 LEFT BEHIND GAMES INC. WA 7.01,9.01 10/30/09 LEGG MASON INC MD 5.02,9.01 10/27/09 LINCOLN ELECTRIC HOLDINGS INC OH 2.02,9.01 10/30/09 Lithium Corp 5.02 10/25/09 LNB BANCORP INC OH 2.02,9.01 10/30/09 MACATAWA BANK CORP MI 2.02,9.01 10/30/09 MACERICH CO MD 8.01,9.01 10/30/09 MAGELLAN HEALTH SERVICES INC DE 2.02,9.01 10/30/09 MAGNA ENTERTAINMENT CORP DE 8.01,9.01 09/27/09 MAGNA ENTERTAINMENT CORP DE 1.02,5.02 10/30/09 Mandalay Media, Inc. DE 8.01,9.01 10/28/09 Mandalay Media, Inc. DE 8.01,9.01 10/29/09 MAP Pharmaceuticals, Inc. DE 8.01,9.01 10/29/09 MAP VI ACQUISITION, INC. DE 5.02,9.01 10/13/09 MATRIXX INITIATIVES INC DE 8.01 10/27/09 MCG CAPITAL CORP DE 5.03,9.01 10/29/09 MDC HOLDINGS INC DE 2.02,7.01,9.01 10/30/09 MDC PARTNERS INC A6 7.01,9.01 10/29/09 MDU RESOURCES GROUP INC DE 2.02,7.01,9.01 09/30/09 Mead Johnson Nutrition Co DE 8.01,9.01 10/30/09 MERCER INSURANCE GROUP INC PA 2.02,8.01,9.01 10/28/09 MERCHANTS BANCSHARES INC DE 2.02,9.01 10/29/09 MESA AIR GROUP INC NV 8.01,9.01 10/27/09 MIDAMERICAN ENERGY CO IA 7.01,9.01 10/30/09 MIDAMERICAN ENERGY HOLDINGS CO /NEW/ IA 7.01,9.01 10/30/09 MIDDLEBURG FINANCIAL CORP VA 2.02,8.01,9.01 10/28/09 MIDDLESEX WATER CO NJ 2.02,9.01 10/30/09 MOHEGAN TRIBAL GAMING AUTHORITY 1.01,2.03,9.01 10/26/09 MONARCH COMMUNITY BANCORP INC MD 2.02,9.01 10/29/09 MONEYGRAM INTERNATIONAL INC 2.02 10/30/09 MONSANTO CO /NEW/ DE 5.03,9.01 10/27/09 Morningstar, Inc. IL 2.02,9.01 10/29/09 MSB FINANCIAL CORP. X1 2.02,9.01 10/30/09 MUELLER INDUSTRIES INC DE 8.01,9.01 10/30/09 MULTI COLOR Corp OH 5.02 10/30/09 Musician's Exchange NV 4.01,9.01 10/26/09 NAVARRE CORP /MN/ MN 2.02,9.01 10/29/09 NCI BUILDING SYSTEMS INC DE 5.02 10/26/09 NETREIT CA 8.01,9.01 08/21/09 AMEND NEWPARK RESOURCES INC DE 2.02,9.01 10/29/09 NICOR INC IL 2.02,9.01 10/30/09 NISOURCE INC/DE DE 2.02,9.01 10/30/09 NORTEL NETWORKS CORP 1.01 10/30/09 NORTEL NETWORKS LTD 1.01 10/30/09 NORTHERN OIL & GAS, INC. 1.01,7.01,9.01 10/29/09 Northfield Bancorp, Inc. X1 8.01,9.01 10/28/09 NORTHWEST BANCORPORATION INC WA 2.02,9.01 10/30/09 NYSE Euronext DE 2.02,9.01 10/30/09 ODYSSEY RE HOLDINGS CORP DE 3.01,3.03,5.02 10/28/09 OFFICE DEPOT INC DE 7.01 10/29/09 OGE ENERGY CORP. OK 2.02,9.01 10/30/09 OKLAHOMA GAS & ELECTRIC CO OK 2.02,9.01 10/30/09 ONCOR ELECTRIC DELIVERY CO LLC DE 2.02,9.01 10/30/09 OneBeacon Insurance Group, Ltd. D0 2.02,9.01 10/30/09 OneBeacon Insurance Group, Ltd. D0 2.02,9.01 10/30/09 OPTIMAL GROUP INC 1.01,7.01,8.01,9.01 10/30/09 ORAGENICS INC FL 5.02,5.03,9.01 10/30/09 Orchard Enterprises, Inc. DE 5.02,8.01,9.01 10/15/09 Oritani Financial Corp. 2.02,9.01 10/30/09 ORRSTOWN FINANCIAL SERVICES INC PA 2.02,9.01 10/29/09 OSG America L.P. DE 8.01,9.01 10/29/09 Otter Tail Corp MN 2.02,9.01 10/29/09 P&F INDUSTRIES INC DE 8.01,9.01 10/27/09 PACIFICORP /OR/ OR 7.01,9.01 10/30/09 PALMETTO BANCSHARES INC SC 2.02,9.01 10/30/09 PARLUX FRAGRANCES INC DE 1.01,8.01,9.01 10/29/09 PATHFINDER BANCORP INC DE 2.02,9.01 09/30/09 PC TEL INC DE 2.02,9.01 10/29/09 PENSKE AUTOMOTIVE GROUP, INC. DE 2.02,7.01,9.01 10/30/09 PEPCO HOLDINGS INC DE 7.01,9.01 10/30/09 PEPLIN INC DE 2.02,9.01 10/30/09 PERFORMANCE TECHNOLOGIES INC \DE\ DE 2.02 09/30/09 PEROT SYSTEMS CORP DE 5.02,9.01 10/26/09 PHH CORP MD 5.02,9.01 10/26/09 PHOENIX COMPANIES INC/DE DE 5.02,9.01 10/26/09 PLUMAS BANCORP CA 2.02,9.01 10/30/09 POINT BLANK SOLUTIONS, INC. DE 1.01,2.03,9.01 10/29/09 PORTLAND GENERAL ELECTRIC CO /OR/ OR 7.01,9.01 10/30/09 POTLATCH CORP DE 8.01,9.01 10/29/09 POWERWAVE TECHNOLOGIES INC DE 2.02,9.01 10/29/09 PPL CORP PA 7.01,9.01 10/23/09 PREMIER EXHIBITIONS, INC. FL 5.02 10/23/09 PRIVATEBANCORP, INC DE 1.01,8.01,9.01 10/28/09 PROGRESS ENERGY INC NC 2.02,9.01 10/30/09 PROLOGIS MD 1.01,9.01 10/27/09 PROVIDENT FINANCIAL HOLDINGS INC DE 8.01,9.01 10/29/09 PSB GROUP INC MI 8.01,9.01 10/30/09 PUBLIC SERVICE ENTERPRISE GROUP INC NJ 7.01,9.01 10/30/09 PUGET ENERGY INC /WA WA 5.02 10/30/09 Quadra Projects Inc. 1.01,9.01 10/30/09 QUESTAR CORP UT 2.02,9.01 10/28/09 QUIKSILVER INC DE 1.01,9.01 10/29/09 RADIANT SYSTEMS INC GA 2.02,9.01 10/29/09 RADIO ONE INC DE 2.02,9.01 10/29/09 RBC Bearings INC 2.02,9.01 10/30/09 REGENCY CENTERS CORP FL 2.02,9.01 10/30/09 REPUBLIC SERVICES, INC. DE 5.02,5.03,9.01 10/28/09 REVLON INC /DE/ DE 5.02 10/28/09 RGC RESOURCES INC VA 1.01,9.01 10/28/09 RUDDICK CORP NC 2.02,9.01 10/29/09 Ruths Hospitality Group, Inc. DE 2.02,9.01 10/30/09 Santa Lucia Bancorp CA 2.02,9.01 10/30/09 SBA COMMUNICATIONS CORP FL 2.02,8.01,9.01 10/29/09 SCHNITZER STEEL INDUSTRIES INC OR 5.03,9.01 10/28/09 SCHULMAN A INC DE 5.02 10/15/09 SCIENTIFIC GAMES CORP DE 7.01,8.01,9.01 10/29/09 SCIVANTA MEDICAL CORP DE 1.01,9.01 10/29/09 SELECTIVE INSURANCE GROUP INC NJ 1.01,7.01,9.01 10/30/09 SENECA FOODS CORP /NY/ NY 5.02,9.01 10/30/09 SHARPS COMPLIANCE CORP DE 5.02 10/28/09 Shire plc 2.02,9.01 10/30/09 SIERRA BANCORP CA 2.02,9.01 10/30/09 SILVERADO GOLD MINES LTD A1 8.01,9.01 10/27/09 SIMMONS CO DE 8.01,9.01 10/28/09 SIMON PROPERTY GROUP INC /DE/ DE 2.02,7.01,9.01 10/30/09 SIMPSON MANUFACTURING CO INC /CA/ DE 2.02,9.01 10/29/09 SINOCOM PHARMACEUTICAL, INC. NV 1.01,9.01 10/28/09 Skyview Development Corp. DE 4.01,9.01 10/02/09 Skyview Holdings Corp. DE 4.01,9.01 10/02/09 SMUCKER J M CO OH 1.01,2.03,9.01 10/29/09 Solar Energy Initiatives, Inc. DE 5.02 10/28/09 SOLITARIO EXPLORATION & ROYALTY CORP. CO 8.01,9.01 10/30/09 SORL Auto Parts Inc DE 4.01,9.01 10/30/09 AMEND SOUTH TEXAS OIL CO NV 1.03 10/29/09 Southern National Bancorp of Virginia VA 7.01,9.01 10/30/09 Southern National Bancorp of Virginia VA 1.01,8.01,9.01 10/29/09 SOUTHWALL TECHNOLOGIES INC /DE/ DE 8.01 10/28/09 SOUTHWESTERN ENERGY CO DE 7.01 10/30/09 STANCORP FINANCIAL GROUP INC OR 5.02,9.01 10/28/09 STANDARD MOTOR PRODUCTS INC NY 8.01,9.01 10/30/09 STEALTH MEDIALABS INC NV 5.03,8.01 10/30/09 STEWART INFORMATION SERVICES CORP DE 2.02,9.01 10/29/09 STRATEGIC HOTELS & RESORTS, INC 8.01,9.01 10/29/09 STRYKER CORP MI 5.02,8.01,9.01 10/29/09 STURM RUGER & CO INC DE 7.01 10/29/09 SUMMIT FINANCIAL GROUP INC WV 2.02,9.01 10/30/09 SUREWEST COMMUNICATIONS CA 2.02,9.01 10/29/09 SYPRIS SOLUTIONS INC DE 1.01,2.01,3.03,7.01,9.01 10/26/09 TD AMERITRADE HOLDING CORP DE 2.04 10/26/09 TECHE HOLDING CO LA 2.02,9.01 10/28/09 TECHNE CORP /MN/ MN 8.01,9.01 10/29/09 TECO ENERGY INC FL 2.02,5.03,9.01 10/29/09 TEJON RANCH CO DE 2.02,9.01 10/29/09 Tennessee Valley Authority 5.02 10/27/09 TFS Financial CORP DE 8.01,9.01 10/29/09 TIANYIN PHARMACEUTICAL CO., INC. DE 1.01,3.02,7.01,9.01 09/29/09 TIBCO SOFTWARE INC DE 9.01 08/21/09 AMEND Tim Hortons Inc. A6 2.02,8.01,9.01 10/30/09 TMST, Inc. MD 8.01 10/26/09 TOMPKINS FINANCIAL CORP NY 2.02,8.01,9.01 10/28/09 TRANSATLANTIC PETROLEUM LTD. D0 8.01 10/30/09 Treaty Energy Corp NV 5.02,9.01 10/20/09 Tree.com, Inc. DE 1.01,2.02,2.03,9.01 10/30/09 TRICO BANCSHARES / CA 2.02,9.01 09/30/09 TRX INC/GA GA 1.01,2.03,9.01 10/26/09 TURNSTONE SYSTEMS INC DE 8.01 10/30/09 Two Harbors Investment Corp. 1.01,2.01,3.02,4.01,5.01,5.02, 10/28/09 5.06,8.01,9.01 UCBH HOLDINGS INC DE 5.02 10/29/09 UIL HOLDINGS CORP CT 2.02,7.01,9.01 10/30/09 ULTICOM INC NJ 2.02,5.03,9.01 09/30/09 ULTRA PETROLEUM CORP 2.02,9.01 10/30/09 UMB FINANCIAL CORP MO 5.02,7.01,9.01 10/29/09 UNITED BANCORP INC /MI/ MI 2.02,7.01,9.01 10/30/09 UNITED SECURITY BANCSHARES INC DE 1.01,9.01 10/26/09 United States 12 Month Oil Fund, LP DE 7.01,9.01 10/30/09 United States Gasoline Fund, LP DE 7.01,9.01 10/30/09 United States Heating Oil Fund, LP DE 7.01,9.01 10/30/09 United States Natural Gas Fund, LP 7.01,9.01 10/30/09 United States Oil Fund, LP DE 7.01,9.01 10/30/09 United States Short Oil Fund, LP DE 7.01,9.01 10/30/09 UNITED STATIONERS INC DE 2.02,9.01 10/29/09 UNIVERSAL HEALTH SERVICES INC DE 2.02,9.01 10/29/09 USA Mobility, Inc DE 2.02,8.01,9.01 10/28/09 USA Mobility, Inc DE 7.01,9.01 10/29/09 VALLEY FINANCIAL CORP /VA/ VA 2.02,9.01 10/30/09 VASCO DATA SECURITY INTERNATIONAL INC DE 2.02,9.01 10/27/09 VECTREN CORP IN 2.02 10/29/09 VEECO INSTRUMENTS INC DE 8.01,9.01 10/28/09 VIA Pharmaceuticals, Inc. DE 1.01,9.01 10/30/09 VISTA GOLD CORP 7.01,9.01 10/28/09 vitaminspice 4.01,9.01 10/26/09 AMEND VITESSE SEMICONDUCTOR CORP DE 1.01,2.03,3.02,5.03,7.01,8.01, 10/29/09 9.01 VLOV INC. NV 1.01,3.02,5.03,9.01 10/27/09 VOIS Inc. 5.02,5.03,8.01,9.01 10/29/09 WASHINGTON MUTUAL, INC WA 7.01,9.01 10/29/09 WATSON PHARMACEUTICALS INC NV 5.02,9.01 10/30/09 Wayside Technology Group, Inc. DE 2.02,9.01 10/29/09 WCA WASTE CORP 7.01,9.01 10/30/09 Western Gas Partners LP DE 1.01,1.02,2.03,7.01,9.01 10/29/09 WESTERN PLAINS ENERGY LLC KS 8.01 10/26/09 WESTSPHERE ASSET CORPORATION, INC CO 8.01 10/30/09 WEYERHAEUSER CO WA 2.02,9.01 10/30/09 WHITE MOUNTAINS INSURANCE GROUP LTD D0 2.02,9.01 10/30/09 Wilber CORP 8.01,9.01 10/30/09 WILSHIRE BANCORP INC CA 2.02,9.01 10/27/09 Wind Works Power Corp. NV 1.01,9.01 10/27/09 WIZZARD SOFTWARE CORP /CO CO 8.01 10/29/09 WMS INDUSTRIES INC /DE/ DE 2.02,9.01 10/26/09 Wonder Auto Technology, Inc NV 1.01,9.01 10/30/09 WORLDGATE COMMUNICATIONS INC DE 1.01,2.03,9.01 10/28/09 XCEL ENERGY INC MN 7.01 10/30/09 YRC WORLDWIDE INC DE 1.01 10/26/09 YRC WORLDWIDE INC DE 2.02,5.02,7.01,8.01,9.01 10/29/09 ZALE CORP DE 2.02 10/29/09 ZEALOUS, INC. NV 4.01,9.01 10/29/09 AMEND ZION OIL & GAS INC DE 8.01,9.01 10/30/09 ZYMOGENETICS INC WA 5.02 10/28/09