RECENT 8K FILINGS November 3, 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 CONSTITUTION BANCORP NJ 2.02,9.01 11/02/09 ACNB CORP PA 2.02,9.01 11/02/09 ADMINISTAFF INC \DE\ DE 2.02,9.01 11/02/09 ADVANCED CELL TECHNOLOGY, INC. DE 8.01 10/31/09 Advanced Life Sciences Holdings, Inc. 1.01,9.01 10/29/09 ADVISORY BOARD CO DE 2.02,7.01,9.01 11/02/09 AEHR TEST SYSTEMS CA 5.02 10/27/09 Affinity Group Holding, Inc. DE 1.01,9.01 10/30/09 AFFINITY GROUP INC DE 1.01,9.01 10/30/09 AGR TOOLS, INC. NV 1.01,1.02,9.01 10/29/09 AGY Holding Corp. DE 5.02 10/27/09 ALABAMA POWER CO AL 3.02 10/30/09 Alexza Pharmaceuticals Inc. DE 8.01 11/02/09 ALLETE INC MN 8.01,9.01 11/02/09 ALLETE INC MN 8.01 11/02/09 ALLIANCE FINANCIAL CORP /NY/ NY 8.01,9.01 11/02/09 AMAZON COM INC DE 7.01,9.01 11/02/09 AMBASSADORS GROUP INC DE 5.02,9.01 10/30/09 AMERICA SERVICE GROUP INC /DE DE 8.01 11/02/09 AMERICAN AXLE & MANUFACTURING HOLDING DE 1.01,3.03,5.03,8.01,9.01 10/30/09 AMERICAN ENERGY GROUP LTD NV 1.01,7.01,9.01 10/29/09 AMERICAN PHYSICIANS SERVICE GROUP INC TX 2.02,9.01 11/02/09 AMERICAN REALTY INVESTORS INC NV 5.02 11/02/09 AMERISOURCEBERGEN CORP DE 8.01 10/30/09 AMYLIN PHARMACEUTICALS INC DE 1.01 10/30/09 AMYLIN PHARMACEUTICALS INC DE 8.01,9.01 10/30/09 ANGELES INCOME PROPERTIES LTD 6 CA 5.02 10/27/09 ANGELES INCOME PROPERTIES LTD II CA 5.02 10/27/09 ANGELES OPPORTUNITY PROPERTIES LTD CA 5.02 10/27/09 ANGELES PARTNERS X CA 5.02 10/27/09 ANGELES PARTNERS XI CA 5.02 10/27/09 ANGELES PARTNERS XII CA 5.02 10/27/09 ANNAPOLIS BANCORP INC MD 2.02,9.01 11/02/09 Argo Group International Holdings, Lt 2.02,9.01 11/02/09 ARMSTRONG WORLD INDUSTRIES INC PA 1.01 10/27/09 ARRAY BIOPHARMA INC DE 8.01,9.01 11/02/09 ARYx Therapeutics, Inc. DE 2.05,8.01,9.01 10/27/09 ASPEN INSURANCE HOLDINGS LTD D0 5.02 10/27/09 ASPYRA INC CA 1.01,5.02,9.01 10/27/09 ASSET ACCEPTANCE CAPITAL CORP 1.01,2.02,9.01 10/27/09 ASSURE DATA INC NV 1.01 10/30/09 Atlantic Southern Financial Group, In 2.02,9.01 10/30/09 ATS CORP DE 7.01,9.01 11/02/09 ATS MEDICAL INC MN 2.02,9.01 11/02/09 AUXILIUM PHARMACEUTICALS INC 7.01,9.01 11/02/09 AVIS BUDGET GROUP, INC. DE 2.02,9.01 11/02/09 AXCESS INTERNATIONAL INC/TX DE 8.01,9.01 11/01/09 BALDOR ELECTRIC CO MO 2.02,9.01 10/29/09 BALLY TECHNOLOGIES, INC. NV 2.02,9.01 10/29/09 BANCORPSOUTH INC MS 7.01,9.01 11/02/09 BANCTRUST FINANCIAL GROUP INC AL 2.02,9.01 10/29/09 BANK OF FLORIDA CORP FL 2.02,8.01,9.01 11/02/09 Bank of New York Mellon CORP 9.01 11/02/09 BEHRINGER HARVARD MULTIFAMILY REIT I 1.01,2.03 10/28/09 Bergio International, Inc. DE 5.02 10/29/09 BIOFORM MEDICAL INC DE 2.02,9.01 11/02/09 BLACK & DECKER CORP MD 8.01 11/02/09 Blugrass Energy, Inc. NV 1.01,7.01,9.01 10/22/09 BOSTON SCIENTIFIC CORP DE 5.02 10/27/09 Bridge Capital Holdings CA 2.02,9.01 11/02/09 Brookdale Senior Living Inc. DE 2.02,7.01,9.01 11/02/09 Buckeye GP Holdings L.P. 2.02,7.01,9.01 11/02/09 BUCKEYE PARTNERS, L.P. DE 2.02,7.01,9.01 11/02/09 C & F FINANCIAL CORP VA 2.02,9.01 10/30/09 CALECO PHARMA CORP. NV 1.01,7.01,9.01 10/27/09 CALIFORNIA COASTAL COMMUNITIES INC DE 1.03,2.04,8.01,9.01 10/27/09 Camden Learning CORP DE 8.01,9.01 11/02/09 CAPITALSOURCE INC DE 2.02,7.01,9.01 11/02/09 Cardinal Ethanol LLC IN 5.02 10/27/09 CARMIKE CINEMAS INC DE 2.02,9.01 11/02/09 CARPENTER TECHNOLOGY CORP DE 2.02,9.01 11/02/09 CARROLS RESTAURANT GROUP, INC. 2.02,9.01 11/02/09 CASEYCORP ENTERPRISES, INC 2.01,9.01 10/02/09 AMEND CCO HOLDINGS LLC 7.01 10/30/09 CEDAR SHOPPING CENTERS INC MD 1.01,3.02,5.02 10/30/09 CENTER BANCORP INC NJ 2.02,9.01 10/28/09 CENTRA FINANCIAL HOLDINGS INC WV 2.02,9.01 11/02/09 CENTRAL VERMONT PUBLIC SERVICE CORP VT 5.02 10/29/09 CENTURY PROPERTIES FUND XIV CA 5.02 10/27/09 CENTURY PROPERTIES FUND XIX CA 5.02 10/27/09 CENTURY PROPERTIES FUND XV CA 5.02 10/27/09 CENTURY PROPERTIES FUND XVI CA 5.02 10/27/09 CENTURY PROPERTIES FUND XVII CA 5.02 10/27/09 CENTURY PROPERTIES GROWTH FUND XXII CA 5.02 10/27/09 Cereplast Inc NV 8.01,9.01 11/02/09 CFS BANCORP INC IN 2.02,9.01 11/02/09 CHARTER COMMUNICATIONS INC /MO/ DE 7.01 10/30/09 CHIMERA INVESTMENT CORP DE 2.02,9.01 11/02/09 China Information Security Technology 5.02,9.01 11/02/09 China Information Security Technology 5.02,9.01 11/02/09 AMEND CHINA RECYCLING ENERGY CORP 1.01,9.01 11/02/09 CHINA RECYCLING ENERGY CORP 1.01 11/02/09 Clark Holdings Inc. DE 5.02 10/27/09 CLARUS CORP DE 2.02,9.01 11/02/09 CLECO CORP LA 2.02,9.01 09/30/09 CLOROX CO /DE/ DE 2.02,7.01,9.01 11/02/09 CNA FINANCIAL CORP DE 2.02,9.01 11/02/09 COEUR D ALENE MINES CORP ID 1.01,2.03,9.01 10/27/09 COGNEX CORP MA 2.02,9.01 11/02/09 COMM BANCORP INC PA 2.02,9.01 10/30/09 COMMUNITY CAPITAL CORP /SC/ SC 2.02,8.01,9.01 10/30/09 Comstock Homebuilding Companies, Inc. DE 1.01,9.01 10/30/09 COMSTOCK RESOURCES INC NV 2.02,9.01 09/30/09 CONSOLIDATED CAPITAL GROWTH FUND CA 5.02 10/27/09 CONSOLIDATED CAPITAL INSTITUTIONAL PR CA 5.02 10/27/09 CONSOLIDATED CAPITAL INSTITUTIONAL PR CA 5.02 10/27/09 CONSOLIDATED CAPITAL INSTITUTIONAL PR CA 5.02 10/27/09 CONSOLIDATED CAPITAL PROPERTIES III CA 5.02 10/27/09 CONSOLIDATED CAPITAL PROPERTIES IV CA 5.02 10/27/09 CONSOLIDATED GRAPHICS INC /TX/ TX 5.03 11/02/09 CONSOLIDATED TOMOKA LAND CO FL 5.02,9.01 10/30/09 CONSTELLATION BRANDS, INC. DE 7.01,9.01 11/01/09 COOPER TIRE & RUBBER CO DE 2.02,9.01 11/02/09 CRAWFORD & CO GA 1.01,9.01 10/27/09 Crown Oil & Gas Inc. NV 3.02,9.01 10/30/09 CUTERA INC DE 2.02,9.01 11/02/09 CVB FINANCIAL CORP CA 2.02 10/21/09 CYTEC INDUSTRIES INC/DE/ DE 5.02,9.01 10/27/09 DARDEN RESTAURANTS INC FL 5.02,9.01 11/02/09 DARLING INTERNATIONAL INC DE 7.01,9.01 11/02/09 DAVIDSON DIVERSIFIED REAL ESTATE II L DE 5.02 10/27/09 DAVIDSON DIVERSIFIED REAL ESTATE III DE 5.02 10/27/09 DAVIDSON GROWTH PLUS LP DE 5.02 10/27/09 DAVIDSON INCOME REAL ESTATE LP DE 5.02 10/27/09 DAWSON GEOPHYSICAL CO TX 7.01,9.01 11/02/09 DEAN FOODS CO DE 2.02,9.01 11/02/09 DELUXE CORP MN 5.02,7.01,9.01 10/30/09 DENBURY RESOURCES INC DE 8.01,9.01 11/01/09 DENBURY RESOURCES INC DE 7.01,8.01,9.01 11/02/09 DIEBOLD INC OH 5.02,9.01 10/30/09 Digital Realty Trust, Inc. MD 5.02 10/27/09 Digitiliti Inc DE 8.01 10/30/09 DIVERSIFIED FUTURES TRUST I DE 8.01,9.01 11/02/09 Dolby Laboratories, Inc. DE 5.02,9.01 10/27/09 DOLLAR FINANCIAL CORP DE 5.02,9.01 10/30/09 DOLLAR FINANCIAL CORP DE 2.02,9.01 11/02/09 DOUBLE EAGLE PETROLEUM CO MD 2.02,7.01,9.01 10/29/09 DOVER MOTORSPORTS INC DE 2.02,2.05,7.01,9.01 10/30/09 DREXEL BURNHAM LAMBERT REAL ESTATE AS NY 5.02 10/27/09 DRINKS AMERICAS HOLDINGS, LTD DE 2.03 10/27/09 DUCOMMUN INC /DE/ DE 2.02,9.01 11/02/09 DUPONT E I DE NEMOURS & CO DE 5.03,9.01 11/01/09 E TRADE FINANCIAL CORP DE 8.01 10/30/09 EASTMAN CHEMICAL CO DE 8.01,9.01 11/02/09 EDCI HOLDINGS, INC. DE 2.02,9.01 11/02/09 ENCORE ACQUISITION CO DE 8.01,9.01 10/31/09 ENCORE CAPITAL GROUP INC DE 7.01,9.01 11/02/09 ENERGY FOCUS, INC/DE DE 7.01 11/02/09 ENOVA SYSTEMS INC CA 2.02,9.01 10/30/09 ENTERCOM COMMUNICATIONS CORP PA 2.02,9.01 11/02/09 ENTERGY CORP /DE/ DE 7.01,9.01 10/30/09 Enterprise Acquisition Corp. DE 1.01,8.01,9.01 10/28/09 EPICOR SOFTWARE CORP DE 2.02,9.01 10/29/09 Eternal Energy Corp. 5.02,8.01,9.01 10/29/09 EXCO RESOURCES INC TX 7.01,9.01 11/02/09 EXELON CORP PA 7.01,9.01 11/02/09 Expedia, Inc. 7.01 10/30/09 Extra Space Storage Inc. MD 2.02,9.01 11/02/09 Federal Home Loan Bank of Dallas 2.03,9.01 10/27/09 FFD FINANCIAL CORP/OH OH 2.02,9.01 10/29/09 FIRST FINANCIAL HOLDINGS INC /DE/ DE 7.01,9.01 11/02/09 FIRST MARINER BANCORP MD 2.02,9.01 10/30/09 FIRST MERCHANTS CORP IN 2.02,9.01 11/02/09 FIRST MERCURY FINANCIAL CORP DE 2.02,9.01 11/02/09 FIRST SOLAR, INC. DE 5.02 11/02/09 FIRST STATE BANCORPORATION NM 2.02,9.01 11/02/09 FIRSTFED FINANCIAL CORP DE 2.02,9.01 09/30/09 FIRSTFED FINANCIAL CORP DE 7.01,9.01 09/30/09 FIVE STAR QUALITY CARE INC 2.02,9.01 11/02/09 FLANDERS CORP NC 2.02,9.01 11/02/09 FNB BANCORP/CA/ 2.02,9.01 10/30/09 FORD MOTOR CO DE 2.02,9.01 11/02/09 FORD MOTOR CREDIT CO LLC DE 2.02,9.01 11/02/09 FOREST OIL CORP NY 2.02,7.01,9.01 11/02/09 FOX STRATEGIC HOUSING INCOME PARTNERS CA 5.02 10/27/09 Freescale Semiconductor Holdings I, L D0 5.02,9.01 10/28/09 FREESCALE SEMICONDUCTOR INC DE 5.02,9.01 10/28/09 FUELCELL ENERGY INC DE 1.01,9.01 10/27/09 Fushi Copperweld, Inc. NV 1.01,9.01 10/27/09 FUTURES STRATEGIC TRUST DE 8.01,9.01 11/02/09 General Motors Co DE 8.01 09/02/09 GENESCO INC TN 1.01,2.04,8.01,9.01 11/02/09 Genpact LTD D0 5.02 10/30/09 GIGA TRONICS INC CA 8.01,9.01 10/30/09 GLOBALSCAPE INC DE 8.01 11/02/09 Great American Group, Inc. DE 8.01,9.01 10/29/09 Great Spirits Inc CO 5.01,5.02,9.01 10/26/09 GREATER ATLANTIC FINANCIAL CORP DE 1.01,9.01 10/30/09 GreenHaven Continuous Commodity Index DE 1.01,9.01 11/02/09 GREENLIGHT CAPITAL RE, LTD. 2.02 11/02/09 GSI COMMERCE INC DE 1.01,3.02 10/27/09 GT Solar International, Inc. DE 2.02,7.01,9.01 11/02/09 GT Solar International, Inc. DE 5.02,9.01 10/28/09 GTC BIOTHERAPEUTICS INC MA 1.01,3.02,8.01,9.01 11/02/09 GTX INC /DE/ DE 8.01,9.01 11/02/09 Guidance Software, Inc. DE 2.02,7.01,9.01 11/02/09 GUIDED THERAPEUTICS INC DE 8.01 11/02/09 HAEMONETICS CORP MA 2.02,9.01 11/02/09 Hampden Bancorp, Inc. DE 2.02,8.01,9.01 10/29/09 HANOVER INSURANCE GROUP, INC. DE 2.02,9.01 11/02/09 HARRINGTON WEST FINANCIAL GROUP INC/C 8.01,9.01 11/02/09 HAWAIIAN ELECTRIC INDUSTRIES INC HI 2.02,9.01 11/02/09 HCA INC/TN DE 5.02,9.01 10/28/09 HCW PENSION REAL ESTATE FUND LTD PART MA 5.02 10/27/09 Healthsport, Inc. DE 4.01,9.01 09/14/09 HELIX ENERGY SOLUTIONS GROUP INC MN 7.01,9.01 11/02/09 HELIX ENERGY SOLUTIONS GROUP INC MN 7.01,9.01 11/02/09 AMEND HF FINANCIAL CORP DE 7.01,9.01 11/02/09 HMN FINANCIAL INC DE 2.02,9.01 10/20/09 HOLLY ENERGY PARTNERS LP DE 7.01,9.01 11/02/09 HOME PROPERTIES INC MD 5.02,9.01 10/28/09 HOUSING PROGRAMS LTD CA 5.02 10/27/09 HSW International, Inc. DE 1.01,2.01,2.03,7.01,9.01 10/30/09 HUMAN GENOME SCIENCES INC DE 2.02,9.01 10/29/09 HUMANA INC DE 2.02,7.01,9.01 11/02/09 HUTCHINSON TECHNOLOGY INC MN 2.02,9.01 09/27/09 IMAGE SENSING SYSTEMS INC MN 7.01,9.01 11/02/09 IMERGENT INC DE 2.02,9.01 11/02/09 IMH Secured Loan Fund, LLC DE 7.01,9.01 11/02/09 IMPAC MORTGAGE HOLDINGS INC MD 1.01,1.02,2.03 10/30/09 INCOME OPPORTUNITY REALTY INVESTORS I NV 8.01,9.01 10/26/09 INCOME OPPORTUNITY REALTY INVESTORS I NV 5.02 11/02/09 INFERX CORP DE 2.01,3.02,5.02,8.01,9.01 10/27/09 infoGROUP Inc. DE 8.01,9.01 11/01/09 infoGROUP Inc. DE 2.02,9.01 11/02/09 INLAND WESTERN RETAIL REAL ESTATE TRU MD 7.01,9.01 11/02/09 INN OF THE MOUNTAIN GODS RESORTS & CA 7.01 10/30/09 Innophos Holdings, Inc. 8.01 11/02/09 INSITUFORM TECHNOLOGIES INC DE 7.01,9.01 11/02/09 INSITUFORM TECHNOLOGIES INC DE 2.02,9.01 10/27/09 INSULET CORP DE 1.01,9.01 10/29/09 INTEGRATED BIOPHARMA INC 4.01,9.01 10/30/09 INTELLIGROUP INC NJ 2.02,9.01 11/02/09 INTERNATIONAL BANCSHARES CORP TX 2.02 11/02/09 INTERNATIONAL PAPER CO /NEW/ NY 5.02 10/30/09 INTERNATIONAL SHIPHOLDING CORP DE 2.02,5.02,5.03,9.01 11/02/09 INTEVAC INC CA 7.01,9.01 11/02/09 INTRICON CORP PA 2.02,7.01,9.01 10/28/09 AMEND IPC The Hospitalist Company, Inc. DE 2.02,9.01 11/02/09 Iridium Communications Inc. 5.02,7.01,9.01 10/27/09 Ironwood Gold Corp NV 1.01,9.01 11/02/09 Iveda Corp NV 4.01 11/02/09 JEFFERSON BANCSHARES INC TN 2.02,9.01 10/29/09 KENNAMETAL INC PA 5.02 10/27/09 KOPIN CORP DE 2.02,9.01 11/02/09 Kraton Polymers LLC 1.01,9.01 10/30/09 LADISH CO INC WI 2.02,9.01 10/30/09 LAS VEGAS SANDS CORP NV 7.01 11/02/09 LEAPFROG ENTERPRISES INC 2.02,9.01 11/02/09 Liberty Global, Inc. 7.01 10/30/09 LIFETIME BRANDS, INC DE 1.01,2.03,9.01 10/30/09 LL&E ROYALTY TRUST TX 2.02,9.01 11/02/09 LOEWS CORP DE 2.02,9.01 09/30/09 LONGWEI PETROLEUM INVESTMENT HOLDING CO 1.01,3.02,9.01 10/29/09 LOOKSMART LTD DE 2.02,5.02,8.01,9.01 10/28/09 MAGUIRE PROPERTIES INC MD 2.02,5.03,7.01,9.01 10/30/09 Mandalay Media, Inc. DE 5.02,8.01,9.01 10/27/09 Manitex International, Inc. MI 1.01,2.03,9.01 07/09/09 MANNKIND CORP 2.02,9.01 11/02/09 MARLIN BUSINESS SERVICES CORP 2.02,5.02,9.01 09/30/09 MASIMO CORP DE 8.01,9.01 11/02/09 Master Silicon Carbide Industries, In DE 8.01 11/02/09 MATTHEWS INTERNATIONAL CORP PA 5.02,9.01 10/28/09 MEDNAX, INC. FL 2.02,9.01 11/02/09 MERCURY GENERAL CORP CA 2.02,9.01 11/02/09 METROCORP BANCSHARES INC 5.02,9.01 10/29/09 MICROFLUIDICS INTERNATIONAL CORP DE 2.02 11/02/09 MIDSOUTH BANCORP INC LA 8.01,9.01 10/29/09 MINN DAK FARMERS COOPERATIVE ND 8.01 11/02/09 ML MACADAMIA ORCHARDS L P DE 5.02 10/27/09 MOBICLEAR INC. PA 5.02 10/27/09 MODAVOX INC 8.01 11/02/09 MORRIS PUBLISHING GROUP LLC GA 8.01 10/30/09 MOTORCAR PARTS AMERICA INC NY 1.01,2.02,2.03,9.01 10/28/09 Motors Liquidation Co DE 7.01,9.01 10/31/09 MOVE INC DE 4.02 10/30/09 MVC CAPITAL, INC. DE 8.01 10/31/09 MYERS INDUSTRIES INC OH 2.01,9.01 10/30/09 MyStarU.com,Inc. 5.02 11/02/09 N-VIRO INTERNATIONAL CORP DE 8.01,9.01 10/30/09 NACCO INDUSTRIES INC DE 1.01,9.01 10/27/09 NATIONAL HEALTH INVESTORS INC MD 2.02,7.01,9.01 09/30/09 NATIONAL HOUSING PARTNERSHIP REALTY F MD 5.02 10/27/09 NATIONAL PENN BANCSHARES INC PA 5.03,8.01 10/27/09 NATIONAL PRESTO INDUSTRIES INC WI 2.02,9.01 10/30/09 NATIONAL PROPERTY INVESTORS 4 CA 5.02 10/27/09 NATIONAL PROPERTY INVESTORS 5 CA 5.02 10/27/09 NATIONAL PROPERTY INVESTORS 6 CA 5.02 10/27/09 NATIONAL PROPERTY INVESTORS 8 /CA/ CA 5.02 10/27/09 NATIONAL PROPERTY INVESTORS III CA 5.02 10/27/09 NATIONAL TAX CREDIT INVESTORS II CA 5.02 10/27/09 NATIONAL TAX CREDIT PARTNERS L P CA 5.02 10/27/09 NATUS MEDICAL INC DE 2.02,9.01 11/02/09 NAVISTAR INTERNATIONAL CORP DE 7.01,9.01 11/02/09 Neenah Paper Inc DE 8.01,9.01 11/02/09 NETLIST INC DE 1.01,9.01 10/31/09 NETREIT CA 8.01 10/16/09 AMEND NETSOL TECHNOLOGIES INC NV 2.02 10/30/09 Network Cadence, Inc. NV 5.02,9.01 10/27/09 NEULION, INC. 2.01,3.02,9.01 10/31/09 NEWTEK BUSINESS SERVICES INC NY 8.01,9.01 10/28/09 NEXT INC/TN DE 1.01,2.03,9.01 10/30/09 NEXTFIT, INC. NV 1.01,3.02,9.01 11/02/09 nFinanSe Inc. NV 8.01 11/01/09 NORCRAFT COMPANIES LP 2.02,9.01 11/02/09 North American Gold & Minerals Fund NV 3.02,8.01,9.01 11/01/09 North American Gold & Minerals Fund NV 3.02,8.01,9.01 11/02/09 NORTH EUROPEAN OIL ROYALTY TRUST DE 2.02,9.01 10/31/09 NORTH STATE BANCORP NC 2.02,9.01 11/02/09 NORTHEAST UTILITIES MA 2.02,7.01,9.01 10/30/09 NORTHSTAR REALTY 1.01,3.02 10/28/09 NORTHWESTERN CORP DE 7.01,9.01 11/02/09 NovaRay Medical, Inc. DE 1.01,3.02,3.03,9.01 10/27/09 NOVELL INC DE 5.02,9.01 10/29/09 OLIN CORP VA 7.01,9.01 11/02/09 ON ASSIGNMENT INC DE 2.02,9.01 11/02/09 ON4 COMMUNICATIONS INC. DE 2.01 11/02/09 Otter Tail Ag Enterprises, LLC MN 1.03,2.04,7.01,9.01 10/30/09 OXFORD RESIDENTIAL PROPERTIES I LTD P MD 5.02 10/27/09 OXIGENE INC DE 1.01,5.02,9.01 10/08/09 AMEND PACIFIC GAS & ELECTRIC CO CA 7.01,9.01 10/30/09 PAMRAPO BANCORP INC DE 2.02,9.01 10/30/09 PARK NATIONAL CORP /OH/ OH 8.01 10/30/09 PARK NATIONAL CORP /OH/ OH 8.01,9.01 11/02/09 PARK OHIO HOLDINGS CORP OH 2.02,9.01 11/02/09 PEAPACK GLADSTONE FINANCIAL CORP NJ 2.02,9.01 11/02/09 PERRIGO CO MI 2.02,9.01 11/02/09 PERRY ELLIS INTERNATIONAL INC FL 1.01,9.01 10/27/09 PETMED EXPRESS INC FL 8.01,9.01 11/02/09 PG&E CORP CA 7.01,9.01 10/30/09 PHARMACYCLICS INC DE 2.02,9.01 10/29/09 PINNACLE WEST CAPITAL CORP AZ 7.01,9.01 11/02/09 PLUG POWER INC DE 5.02,5.03,9.01 10/28/09 Power Sports Factory, Inc MN 1.02 10/19/09 PRAXAIR INC DE 8.01,9.01 10/30/09 Prestige Brands Holdings, Inc. 7.01,9.01 10/28/09 PRICELINE COM INC DE 7.01 10/30/09 PRINCIPAL FINANCIAL GROUP INC DE 2.02,9.01 09/30/09 PROASSURANCE CORP DE 2.02,7.01,9.01 11/02/09 PUBLIX SUPER MARKETS INC FL 2.02,9.01 11/02/09 Purple Communications, Inc. DE 2.05 10/28/09 QUALITY SYSTEMS INC CA 2.02,8.01,9.01 10/28/09 Quest Energy Partners, L.P. DE 1.01,9.01 10/30/09 QUEST RESOURCE CORP NV 1.01,9.01 10/30/09 QUICKSILVER RESOURCES INC DE 8.01,9.01 11/02/09 QWEST COMMUNICATIONS INTERNATIONAL IN DE 8.01,9.01 11/02/09 REAL ESTATE ASSOCIATES LTD II CA 5.02 10/27/09 REAL ESTATE ASSOCIATES LTD III CA 5.02 10/27/09 REAL ESTATE ASSOCIATES LTD IV CA 5.02 10/27/09 REAL ESTATE ASSOCIATES LTD V CA 5.02 10/27/09 REAL ESTATE ASSOCIATES LTD VI CA 5.02 10/27/09 REAL ESTATE ASSOCIATES LTD VII CA 5.02 10/27/09 REAL ESTATE ASSOCIATES LTD/CA CA 5.02 10/27/09 REGAL BELOIT CORP WI 2.02,9.01 11/02/09 REGIS CORP MN 5.02,9.01 10/29/09 Reis, Inc. MD 5.02 10/31/09 REPUBLIC AIRWAYS HOLDINGS INC DE 5.02,8.01 10/27/09 REPUBLIC AIRWAYS HOLDINGS INC DE 5.02,9.01 10/29/09 REPUBLIC FIRST BANCORP INC PA 8.01 11/02/09 REPUBLIC SERVICES, INC. DE 2.02,9.01 09/30/09 REVLON CONSUMER PRODUCTS CORP DE 8.01 11/02/09 REVLON INC /DE/ DE 8.01 11/02/09 ROGERS CORP MA 2.02,7.01,9.01 11/02/09 ROWAN COMPANIES INC DE 1.01,1.02,3.03,5.02,5.03,9.01 10/29/09 RSC Holdings Inc. DE 7.01 11/02/09 RUDOLPH TECHNOLOGIES INC DE 2.02,9.01 09/30/09 RURBAN FINANCIAL CORP OH 2.02,9.01 10/29/09 RYERSON INC. DE 2.02,9.01 11/02/09 SAFETY INSURANCE GROUP INC DE 2.02,9.01 11/02/09 SALISBURY BANCORP INC CT 2.02,9.01 11/02/09 SAVVIS, Inc. DE 5.02,9.01 10/27/09 Search By Headlines.com Inc. NV 5.02 10/29/09 Searchlight Minerals Corp. NV 7.01,9.01 11/02/09 SECURITY FEDERAL CORP SC 2.02,9.01 10/30/09 SHELTER PROPERTIES II LTD PARTNERSHIP SC 5.02 10/27/09 SHELTER PROPERTIES IV LIMITED PARTNER SC 5.02 10/27/09 SHELTER PROPERTIES V LIMITED PARTNERS CA 5.02 10/27/09 Shengtai Pharmaceutical, Inc. 5.02,9.01 10/31/09 SILVER BUTTE Co NV 5.02 10/28/09 SIMMONS CO DE 1.01,9.01 10/30/09 Sino Clean Energy Inc NV 3.02,9.01 10/30/09 SIX FLAGS, INC. DE 2.02,9.01 11/02/09 Skinny Nutritional Corp. NV 4.01,9.01 10/27/09 SOUTHWESTERN ENERGY CO DE 7.01 10/30/09 SPARTAN STORES INC MI 7.01 11/02/09 SRS LABS INC DE 2.02,9.01 11/02/09 ST MARY LAND & EXPLORATION CO DE 2.02,9.01 11/02/09 STANDARD PARKING CORP DE 2.02,7.01 11/02/09 STANDARD PARKING CORP DE 8.01,9.01 11/02/09 STANLEY WORKS CT 8.01,9.01 11/02/09 Starent Networks, Corp. DE 2.02,9.01 11/02/09 STARWOOD HOTEL & RESORTS WORLDWIDE IN MD 7.01 11/02/09 SUBAYE.COM, INC. DE 5.02 11/02/09 SULPHCO INC NV 7.01,9.01 11/02/09 Summer Infant, Inc. DE 2.02,4.02,9.01 11/02/09 SUN HYDRAULICS CORP FL 2.02,9.01 11/02/09 SUNESIS PHARMACEUTICALS INC DE 1.01,3.02,5.03,9.01 10/27/09 SUPERIOR UNIFORM GROUP INC FL 7.01,9.01 11/02/09 SWS GROUP INC DE 2.02,9.01 11/02/09 SYKES ENTERPRISES INC FL 2.02,9.01 11/02/09 SYNCHRONOSS TECHNOLOGIES INC 2.02,9.01 11/02/09 SYNIVERSE HOLDINGS INC DE 2.02,9.01 11/02/09 SYNOVUS FINANCIAL CORP GA 7.01,9.01 11/02/09 Synutra International, Inc. DE 5.02,9.01 10/30/09 SYSCO CORP DE 2.02,9.01 11/02/09 TASTY BAKING CO PA 2.02,7.01,8.01,9.01 11/02/09 TBS INTERNATIONAL LTD 8.01,9.01 10/30/09 TECHNITROL INC PA 2.02,9.01 11/02/09 Telanetix,Inc DE 1.01,2.01,8.01,9.01 10/27/09 TERRA INDUSTRIES INC MD 8.01,9.01 11/01/09 TESSERA TECHNOLOGIES INC DE 8.01,9.01 10/30/09 TGC INDUSTRIES INC TX 2.02,9.01 11/02/09 THOMAS PROPERTIES GROUP INC DE 2.02,9.01 11/02/09 TIBCO SOFTWARE INC DE 1.01,2.03,9.01 11/02/09 Tim Hortons Inc. A6 2.02,9.01 10/30/09 AMEND TNP Strategic Retail Trust, Inc. MD 4.01,9.01 10/27/09 TNS INC 2.02,7.01,9.01 11/02/09 TOR MINERALS INTERNATIONAL INC DE 8.01,9.01 10/28/09 TRAILER BRIDGE INC 5.02 11/02/09 TRANSACT TECHNOLOGIES INC DE 2.02,9.01 11/02/09 TRANSCONTINENTAL REALTY INVESTORS INC NV 5.02 11/02/09 Transocean Ltd. V8 7.01,9.01 11/02/09 Tres Estrellas Enterprises, Inc. 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DE 1.01,8.01,9.01 10/27/09 VIVUS INC CA 8.01,9.01 10/29/09 VORNADO REALTY TRUST MD 8.01,9.01 11/02/09 WaferGen Bio-systems, Inc. NV 5.02,9.01 10/27/09 Walter Energy, Inc. DE 5.02 10/27/09 Warner Chilcott plc L2 1.01,2.01,2.03,5.02,8.01,9.01 10/30/09 WASHINGTON POST CO DE 2.02,9.01 10/30/09 WELLCARE HEALTH PLANS, INC. DE 5.02,9.01 10/29/09 WELLS REAL ESTATE FUND II GA 7.01,9.01 11/02/09 WELLS REAL ESTATE FUND II-OW GA 7.01,9.01 11/02/09 WELLS REAL ESTATE FUND III L P GA 7.01,9.01 11/02/09 WELLS REAL ESTATE FUND IX LP GA 7.01,9.01 11/02/09 WELLS REAL ESTATE FUND VIII LP GA 7.01,9.01 11/02/09 WELLS REAL ESTATE FUND X L P GA 7.01,9.01 11/02/09 WELLS REAL ESTATE FUND XI L P GA 7.01,9.01 11/02/09 WELLS REAL ESTATE FUND XII LP GA 7.01,9.01 11/02/09 WELLS REAL ESTATE FUND XIII L P 7.01,9.01 11/02/09 WELLS REAL ESTATE FUND XIV LP GA 7.01,9.01 11/02/09 WESBANCO INC WV 5.02 11/02/09 WILLIS GROUP HOLDINGS LTD D0 1.01,9.01 10/28/09 Winthrop Realty Trust OH 1.01,3.02,5.02,8.01,9.01 11/01/09 Wonder Auto Technology, Inc NV 2.02,7.01,9.01 11/02/09 WORLD MONITOR TRUST II SERIES D DE 8.01,9.01 11/02/09 WORLD MONITOR TRUST II SERIES F DE 8.01,9.01 11/02/09 WPT ENTERPRISES INC 8.01,9.01 10/29/09 WPT ENTERPRISES INC 8.01 11/02/09 YOUNG BROADCASTING INC /DE/ DE 7.01,9.01 10/28/09 YRC WORLDWIDE INC DE 7.01,8.01,9.01 11/02/09