RECENT 8K FILINGS November 4, 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 7.01,9.01 11/02/09 3PAR Inc. DE 5.02,9.01 10/28/09 ABERCROMBIE & FITCH CO /DE/ DE 8.01,9.01 11/03/09 ACCEPTANCE INSURANCE COMPANIES INC DE 8.01 11/02/09 ACCREDITED BUSINESS CONSOLIDATORS COR PA 2.01,7.01,8.01 11/03/09 ACORDA THERAPEUTICS INC 2.02,9.01 11/03/09 Action Fashions, Ltd. CO 1.01 10/16/09 ADA-ES INC CO 7.01,9.01 11/03/09 ADAMS GOLF INC DE 1.01,7.01,9.01 11/03/09 Advance Nanotech, Inc. DE 5.02 10/28/09 Advaxis, Inc. DE 8.01,9.01 10/28/09 AFFYMAX INC DE 5.02,9.01 10/29/09 AFS SenSub Corp. 1.01,9.01 10/30/09 AGA Medical Holdings, Inc. DE 2.02,9.01 11/03/09 ALBANY INTERNATIONAL CORP /DE/ DE 2.02,9.01 11/02/09 Alliance Holdings GP, L.P. DE 7.01,9.01 11/03/09 ALLIANCE RESOURCE PARTNERS LP DE 7.01,9.01 11/03/09 Allis Chalmers Energy Inc. DE 2.02,7.01,9.01 11/03/09 ALLOS THERAPEUTICS INC DE 2.02,9.01 11/03/09 Alpha Natural Resources, Inc. DE 2.02,9.01 11/03/09 Altra Holdings, Inc. DE 2.02,9.01 11/02/09 AMBASSADORS INTERNATIONAL INC DE 7.01,9.01 11/02/09 AMBASSADORS INTERNATIONAL INC DE 9.01 10/29/09 AMEND AMBASSADORS INTERNATIONAL INC DE 9.01 10/29/09 AMEND AMEDISYS INC DE 7.01,9.01 11/03/09 AMERICAN APPAREL, INC DE 1.01,5.02,9.01 10/28/09 AMERICAN CHURCH MORTGAGE CO MN 5.02 11/02/09 AMERICAN EXPRESS RECEIVABLES FINANCIN DE 1.01,9.01 10/30/09 American Express Receivables Financin DE 1.01,9.01 10/30/09 AMERICAN HOMEPATIENT INC DE 8.01,9.01 10/30/09 AMERICAN TOWER CORP /MA/ DE 2.02,9.01 11/03/09 AMERISOURCEBERGEN CORP DE 2.02,8.01,9.01 11/03/09 AMICAS, Inc. DE 2.02,9.01 11/03/09 AMICUS THERAPEUTICS INC DE 5.02,9.01 10/28/09 ANADARKO PETROLEUM CORP DE 2.02,7.01,9.01 11/02/09 ANGELES INCOME PROPERTIES LTD 6 CA 1.01,9.01 10/28/09 Animal Health International, Inc. DE 2.02,9.01 11/03/09 ANTHRACITE CAPITAL INC MD 1.01,2.03,8.01,9.01 10/30/09 ANWORTH MORTGAGE ASSET CORP MD 2.02,9.01 11/03/09 APPALACHIAN BANCSHARES INC GA 3.02 10/28/09 Approach Resources Inc DE 2.02,7.01,9.01 11/03/09 Approach Resources Inc DE 1.01,2.03,9.01 10/30/09 ARCHER DANIELS MIDLAND CO DE 2.02,9.01 09/30/09 Ardea Biosciences, Inc./DE DE 7.01,9.01 11/02/09 ARGENTEX MINING CORP NV 3.02 11/03/09 ARKANSAS BEST CORP /DE/ DE 5.02 10/29/09 ARRAY BIOPHARMA INC DE 1.01,5.02,9.01 10/29/09 ARTS WAY MANUFACTURING CO INC DE 8.01,9.01 11/02/09 ATLAS MINING CO ID 5.03,8.01,9.01 10/30/09 AXIS CAPITAL HOLDINGS LTD 2.02,9.01 11/02/09 BAKER MICHAEL CORP PA 5.03,9.01 10/29/09 BANCFIRST CORP /OK/ OK 1.01,9.01 10/28/09 BANCORPSOUTH INC MS 7.01 11/02/09 AMEND BANK JOS A CLOTHIERS INC /DE/ DE 8.01,9.01 11/03/09 BANK MUTUAL CORP WI 5.02 11/02/09 BARRY R G CORP /OH/ OH 2.02,5.02,9.01 10/29/09 BEACON ENTERPRISE SOLUTIONS GROUP INC NV 3.02 10/28/09 BEARD CO /OK OK 5.03,9.01 11/02/09 BECKMAN COULTER INC DE 1.01,9.01 10/28/09 BEHRINGER HARVARD SHORT TERM OPPORTUN TX 1.01,2.03,9.01 10/28/09 BELO CORP DE 2.02,9.01 11/03/09 BELO CORP DE 7.01,9.01 11/03/09 Bergio International, Inc. DE 4.01,9.01 10/22/09 AMEND BERKSHIRE HATHAWAY INC DE 1.01,8.01,9.01 11/02/09 BIG 5 SPORTING GOODS CORP DE 2.02,9.01 11/03/09 BigBand Networks, Inc. DE 2.02,9.01 11/03/09 BigBand Networks, Inc. DE 2.02,9.01 11/03/09 BILL BARRETT CORP 2.02,7.01,9.01 11/03/09 BIO RAD LABORATORIES INC DE 2.02,9.01 09/30/09 BIO-PATH HOLDINGS INC UT 8.01,9.01 11/02/09 Biostar Pharmaceuticals, Inc. MD 1.01,3.02,9.01 11/02/09 BJs RESTAURANTS INC CA 8.01,9.01 11/03/09 BLACK & DECKER CORP MD 8.01,9.01 11/03/09 BLACK & DECKER CORP MD 1.01,5.02,5.03,9.01 11/02/09 BLACKBOARD INC DE 2.02,9.01 11/03/09 BLOUNT INTERNATIONAL INC DE 2.02,9.01 11/03/09 BLUE DOLPHIN ENERGY CO DE 2.02,9.01 11/02/09 BLUEGREEN CORP MA 2.03 11/03/09 BlueStar Financial Group, Inc. NV 5.02 11/03/09 BofI Holding, Inc. DE 2.02,9.01 11/03/09 BOISE CASCADE HOLDINGS, L.L.C. DE 5.02 10/28/09 BOISE INC. DE 2.02,9.01 11/03/09 Bonds.com Group, Inc. DE 2.02,9.01 10/28/09 BORGWARNER INC DE 2.02,9.01 10/28/09 BRAINSTORM CELL THERAPEUTICS INC 3.02 10/28/09 BRE PROPERTIES INC /MD/ MD 2.02,8.01,9.01 11/02/09 BROADPOINT GLEACHER SECURITIES GROUP, NY 7.01,9.01 11/03/09 BROADRIDGE FINANCIAL SOLUTIONS, INC. DE 1.01,2.02,9.01 11/02/09 BROOKFIELD HOMES CORP DE 2.02,9.01 10/29/09 BURLINGTON NORTHERN SANTA FE CORP DE 1.01,8.01,9.01 11/02/09 CALIFORNIA COASTAL COMMUNITIES INC DE 3.01,9.01 10/28/09 CAMERON INTERNATIONAL CORP DE 2.02,9.01 11/03/09 CANARGO ENERGY CORP DE 1.01,1.03,2.03,8.01,9.01 10/29/09 Capitol Acquisition Corp DE 1.01,3.03,5.01,5.02,5.06,8.01 10/28/09 CARMAX AUTO FUNDING LLC DE 1.01,8.01,9.01 10/30/09 CARROLLTON BANCORP MD 7.01,9.01 11/03/09 CB RICHARD ELLIS GROUP INC DE 8.01,9.01 11/03/09 CCO HOLDINGS LLC 1.01 10/30/09 CEDAR FAIR L P DE 2.02,9.01 11/03/09 CENTERPOINT ENERGY INC 7.01,9.01 11/03/09 CENTRA FINANCIAL HOLDINGS INC WV 8.01,9.01 11/02/09 CENTURY PROPERTIES FUND XVI CA 1.01,9.01 10/28/09 CHARMING SHOPPES INC PA 1.01,1.02,8.01,9.01 10/30/09 CHARTER COMMUNICATIONS INC /MO/ DE 1.01 10/30/09 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 11/02/09 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 11/02/09 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 11/02/09 CHEMUNG FINANCIAL CORP NY 2.02,9.01 09/30/09 CHESAPEAKE ENERGY CORP OK 2.02,7.01,9.01 10/28/09 CHICAGO BRIDGE & IRON CO N V 7.01,9.01 11/03/09 China Carbon Graphite Group, Inc. 5.02,5.03,9.01 10/28/09 China Carbon Graphite Group, Inc. 9.01 10/12/09 AMEND China Housing & Land Development, Inc NV 5.02,8.01 11/03/09 China MediaExpress Holdings, Inc. DE 2.01,2.02,2.03,3.02,4.01,5.01, 10/15/09 AMEND 5.02,5.06,9.01 CHURCH & DWIGHT CO INC /DE/ DE 2.02,9.01 11/03/09 CIGNA CORP DE 5.02,5.03 10/28/09 CIMAREX ENERGY CO DE 2.02,7.01,9.01 11/03/09 CITIZENS INC CO 8.01 10/30/09 CKX, Inc. DE 5.02 10/30/09 CLARIENT, INC DE 2.02,9.01 11/03/09 Clear Skies Solar, Inc DE 1.01,3.02,9.01 11/03/09 CNS RESPONSE, INC. DE 8.01,9.01 10/29/09 CNS RESPONSE, INC. DE 8.01,9.01 11/02/09 Cogent, Inc. DE 2.02,9.01 11/03/09 COGNIZANT TECHNOLOGY SOLUTIONS CORP 2.02,9.01 11/03/09 Colfax CORP DE 2.02,9.01 11/03/09 COMBINATORX, INC DE 2.02,8.01,9.01 11/03/09 COMFORT SYSTEMS USA INC 2.02,8.01,9.01 11/03/09 COMMUNITY FINANCIAL SHARES INC DE 2.02,9.01 10/30/09 Con-way Inc. DE 2.02,9.01 11/03/09 CONEXANT SYSTEMS INC DE 5.02,9.01 10/29/09 CONSOLIDATED CAPITAL PROPERTIES IV CA 1.01,9.01 10/28/09 CONSTITUTION MINING CORP NV 8.01,9.01 11/02/09 CONTINENTAL AIRLINES INC /DE/ DE 8.01,9.01 11/02/09 CORPORATE EXECUTIVE BOARD CO DE 2.02,9.01 11/02/09 CORVEL CORP DE 2.02,9.01 11/03/09 CRA INTERNATIONAL, INC. MA 5.02 10/30/09 CREDITRISKMONITOR COM INC NV 2.02,9.01 11/03/09 CreXus Investment Corp. MD 2.02,9.01 11/03/09 CRYOLIFE INC FL 5.02 11/03/09 CUMULUS MEDIA INC DE 2.02,9.01 11/03/09 CVR ENERGY INC DE 2.02,9.01 11/02/09 Cyclacel Pharmaceuticals, Inc. DE 2.02,9.01 11/03/09 DANA HOLDING CORP DE 2.02,7.01,9.01 11/03/09 DAVITA INC DE 2.02,9.01 11/03/09 DELL INC DE 2.01,9.01 11/03/09 DENBURY RESOURCES INC DE 2.02,9.01 11/01/09 DENDREON CORP DE 8.01,9.01 10/30/09 DIAMOND HILL INVESTMENT GROUP INC OH 8.01 11/03/09 DIEBOLD INC OH 2.02,9.01 11/03/09 DIEDRICH COFFEE INC CA 1.01,9.01 11/02/09 DIGITAL RIVER INC /DE DE 2.02,9.01 11/03/09 DigitalPost Interactive, Inc. NV 1.01,3.02,9.01 10/23/09 DIONICS INC DE 1.01,1.02,3.02,5.01,5.02,9.01 10/30/09 Discover Card Execution Note Trust DE 8.01 10/30/09 DISCOVER CARD MASTER TRUST I DE 8.01 10/30/09 Discovery Communications, Inc. DE 2.02,9.01 11/03/09 Dolby Laboratories, Inc. DE 2.02,8.01,9.01 11/03/09 DOLLAR THRIFTY AUTOMOTIVE GROUP INC DE 1.01,7.01,9.01 10/28/09 Doral Energy Corp. NV 1.01,9.01 10/28/09 DREW INDUSTRIES INC DE 2.02,7.01,9.01 11/02/09 DUANE READE HOLDINGS INC 2.02,9.01 11/03/09 Duff & Phelps Corp DE 2.02,9.01 11/03/09 DUKE REALTY CORP IN 1.01,2.02,7.01,9.01 10/28/09 DUKE REALTY LIMITED PARTNERSHIP/ IN 2.02,5.03,7.01,9.01 10/28/09 EDGAR ONLINE INC DE 2.02,9.01 11/03/09 EL PASO CORP/DE DE 2.02,9.01 11/03/09 ELANDIA INTERNATIONAL INC. DE 4.01,9.01 09/30/09 AMEND ELECTRONIC GAME CARD INC NV 5.02,9.01 09/02/08 ELECTRONIC GAME CARD INC NV 5.02,9.01 02/01/09 ELECTRONIC GAME CARD INC NV 5.02,9.01 09/01/09 ELECTRONIC GAME CARD INC NV 5.02 10/28/09 ELECTRONIC GAME CARD INC NV 5.02 10/30/09 ELECTRONIC GAME CARD INC NV 5.02,9.01 11/03/09 EMCLAIRE FINANCIAL CORP PA 2.01,9.01 08/28/09 AMEND Emergency Medical Services CORP DE 2.02,9.01 11/03/09 EMERSON ELECTRIC CO MO 2.02,7.01,9.01 11/03/09 ENCORE ACQUISITION CO DE 1.01,3.03,9.01 10/31/09 ENDOLOGIX INC /DE/ DE 1.01,1.02,2.03 10/30/09 ENERGY XXI (BERMUDA) LTD D0 2.02,9.01 11/02/09 ENSIGN GROUP, INC 2.02,8.01,9.01 10/29/09 ENTORIAN TECHNOLOGIES INC DE 1.01,5.03,8.01,9.01 10/28/09 ENZON PHARMACEUTICALS INC DE 2.02,9.01 11/03/09 EPICEPT CORP 3.01,9.01 11/02/09 EQUIFAX INC GA 7.01,9.01 11/02/09 EVOLVING SYSTEMS INC DE 2.02 11/03/09 EXACT SCIENCES CORP DE 2.02,9.01 11/03/09 EXPEDITORS INTERNATIONAL OF WASHINGTO WA 2.02,9.01 11/02/09 FACET BIOTECH CORP DE 2.02,9.01 11/03/09 Federal Home Loan Bank of Atlanta X1 5.02 11/03/09 Federal Home Loan Bank of Atlanta X1 2.03 11/03/09 Federal Home Loan Bank of Boston X1 2.03 10/28/09 Federal Home Loan Bank of Chicago X1 2.03 10/28/09 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 10/28/09 Federal Home Loan Bank of Des Moines X1 2.03,9.01 10/28/09 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 10/28/09 Federal Home Loan Bank of New York X1 2.03,9.01 10/28/09 Federal Home Loan Bank of New York X1 8.01,9.01 11/03/09 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 10/28/09 Federal Home Loan Bank of San Francis X1 2.03 10/28/09 Federal Home Loan Bank of Seattle 2.03 11/02/09 FEDEX CORP DE 5.02 10/30/09 FEI CO OR 2.02,9.01 11/03/09 FelCor Lodging Trust Inc MD 2.02,9.01 11/03/09 FERRO CORP OH 8.01,9.01 11/02/09 FERRO CORP OH 7.01,9.01 11/03/09 FIRST BANCORP /PR/ PR 2.02,9.01 10/30/09 FIRST BUSEY CORP /NV/ NV 8.01,9.01 10/29/09 FIRST KEYSTONE CORP PA 2.02 11/03/09 FIRST MERCHANTS CORP IN 2.02,9.01 11/03/09 FIRST MERCHANTS CORP IN 5.03,9.01 11/03/09 FIRST NATIONAL BANCSHARES INC /SC/ SC 2.02,9.01 10/30/09 FIRST REPUBLIC PREFERRED CAPITAL CORP 3.03,5.03,9.01 11/02/09 FLAGSTAR BANCORP INC MI 2.02,7.01,9.01 11/03/09 FORD MOTOR CO DE 8.01,9.01 11/02/09 FORD MOTOR CREDIT CO LLC DE 8.01,9.01 11/03/09 FRANKLIN STREET PROPERTIES CORP /MA/ 2.02,9.01 11/03/09 Fresenius Kabi Pharmaceuticals Holdin 5.02 11/01/09 FRONTIER COMMUNICATIONS CORP DE 2.02,9.01 09/30/09 GARB OIL & POWER CORP UT 2.01,5.01,9.01 10/27/09 GASCO ENERGY INC NV 2.02,9.01 11/03/09 GASTAR EXPLORATION LTD 1.01,7.01,9.01 10/28/09 GAYLORD ENTERTAINMENT CO /DE DE 2.02,9.01 11/03/09 General Finance CORP DE 8.01,9.01 11/03/09 GENESEE & WYOMING INC DE 2.02,9.01 11/03/09 GERMAN AMERICAN BANCORP, INC. IN 2.02,8.01,9.01 10/29/09 GLADSTONE INVESTMENT CORPORATION\DE DE 2.02,9.01 11/03/09 GLOBAL AXCESS CORP NV 2.02,9.01 11/03/09 GLU MOBILE INC 2.02,9.01 11/03/09 Golden Minerals Co 2.02,9.01 11/03/09 Golden Pond Healthcare, Inc. DE 3.01,8.01,9.01 11/03/09 GRAHAM PACKAGING HOLDINGS CO DE 8.01,9.01 11/02/09 Grand Canyon Education, Inc. DE 2.02,9.01 11/03/09 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 10/30/09 Great Lakes Dredge & Dock CORP DE 2.02,9.01 11/03/09 HARTE HANKS INC DE 2.02,9.01 11/03/09 HARTFORD FINANCIAL SERVICES GROUP INC DE 2.02,9.01 11/03/09 HARTFORD FINANCIAL SERVICES GROUP INC DE 2.02,9.01 11/03/09 HAWKINS INC MN 5.03,9.01 10/28/09 HCP, INC. MD 2.02,9.01 11/03/09 HEALTH NET INC DE 2.02,9.01 11/03/09 HEARTLAND PAYMENT SYSTEMS INC DE 2.02,8.01,9.01 11/03/09 HECLA MINING CO/DE/ DE 2.02,9.01 11/02/09 HERBALIFE LTD. E9 2.02,9.01 11/02/09 HERBST GAMING INC NV 8.01 10/30/09 HFF, Inc. DE 2.02,9.01 11/02/09 HOLLY ENERGY PARTNERS LP DE 7.01,9.01 11/03/09 HOLLY ENERGY PARTNERS LP DE 1.01,9.01 11/03/09 Home System Group 5.02 10/30/09 HUBBELL INC CT 8.01,9.01 10/28/09 HYPERCOM CORP DE 2.02,9.01 11/03/09 ICAHN ENTERPRISES L.P. DE 8.01,9.01 11/03/09 ILLUMINA INC DE 5.02 10/28/09 IMERGENT INC DE 7.01,9.01 11/03/09 IMERGENT INC DE 2.02,9.01 11/02/09 AMEND IMMERSION CORP DE 5.02 10/28/09 IMPAX LABORATORIES INC DE 2.02,9.01 11/03/09 Imperial Resources, Inc. NV 8.01 11/03/09 IMPERIAL SUGAR CO /NEW/ TX 8.01,9.01 11/03/09 INLAND WESTERN RETAIL REAL ESTATE TRU MD 7.01,9.01 11/03/09 INTEGRA LIFESCIENCES HOLDINGS CORP DE 5.03 11/03/09 INTEGRAMED AMERICA INC DE 4.02 11/03/09 INTERCONTINENTALEXCHANGE INC 2.02,9.01 11/03/09 INTERSTATE HOTELS & RESORTS INC DE 1.01 10/28/09 Investors Bancorp Inc DE 5.02,5.03,8.01,9.01 10/27/09 INVO Bioscience, Inc. NV 1.01,3.02,9.01 10/28/09 iPCS, INC DE 2.02,9.01 11/03/09 IPG PHOTONICS CORP DE 2.02,9.01 11/03/09 ISTA PHARMACEUTICALS INC DE 2.02,9.01 11/03/09 James River Coal CO VA 1.01,2.02,3.03,7.01,9.01 11/03/09 JOHNSON & JOHNSON NJ 8.01,9.01 11/03/09 KIMCO REALTY CORP MD 5.02,9.01 11/03/09 KINDRED HEALTHCARE, INC DE 2.02,7.01,9.01 11/02/09 KONA GRILL INC DE 1.01,5.02,9.01 10/29/09 KRAFT FOODS INC VA 2.02,7.01,9.01 11/03/09 KRAFT FOODS INC VA 8.01,9.01 11/03/09 KRATOS DEFENSE & SECURITY SOLUTIONS, DE 2.02,9.01 11/03/09 KRONOS WORLDWIDE INC 2.02,7.01,9.01 11/02/09 LAKES ENTERTAINMENT INC MN 7.01,9.01 10/28/09 Laufer Bridge Enterprises, Inc. NV 3.02,5.03,9.01 11/03/09 LEAP TECHNOLOGY INC / DE DE 5.02 11/02/09 LEHMAN ABS CORP BACKED TRUST CERTS SE DE 8.01,9.01 10/15/09 LHC Group, Inc 8.01,9.01 11/03/09 LOUISIANA-PACIFIC CORP DE 2.02,9.01 11/03/09 LYDALL INC /DE/ DE 2.02,9.01 11/03/09 MACATAWA BANK CORP MI 5.02,5.03,9.01 10/29/09 MAGELLAN MIDSTREAM PARTNERS LP DE 2.02,9.01 11/03/09 MAGELLAN MIDSTREAM PARTNERS LP DE 8.01,9.01 11/03/09 MAKO Surgical Corp. DE 2.02,9.01 11/03/09 MAN SHING AGRICULTURAL HOLDINGS, INC NV 4.01,9.01 10/29/09 MANHATTAN PHARMACEUTICALS INC DE 3.02,8.01,9.01 10/28/09 Manitex International, Inc. MI 7.01,9.01 10/20/09 AMEND MARATHON OIL CORP DE 2.02,9.01 11/03/09 MARKET 2000 PLUS HOLDRS SM TRUST NY 8.01,9.01 11/03/09 MARTIN MARIETTA MATERIALS INC NC 2.02,7.01,9.01 11/03/09 Marvel Entertainment, Inc. DE 2.02,9.01 11/03/09 MASIMO CORP DE 2.02,9.01 11/03/09 MASTERCARD INC DE 2.02,7.01,9.01 11/03/09 MATRIX SERVICE CO DE 2.02,9.01 11/03/09 MAUI LAND & PINEAPPLE CO INC HI 2.02,9.01 10/30/09 MAXWELL TECHNOLOGIES INC DE 2.02,9.01 11/03/09 MEDCO HEALTH SOLUTIONS INC DE 2.02,9.01 11/03/09 MEDIANET GROUP TECHNOLOGIES INC NV 1.01,9.01 10/29/09 MEDIVATION, INC. DE 8.01,9.01 11/03/09 MEDIWARE INFORMATION SYSTEMS INC NY 2.02,9.01 11/03/09 MEDQUIST INC NJ 1.02 10/28/09 Metals USA Holdings Corp. DE 2.02,9.01 10/19/09 MGP INGREDIENTS INC KS 5.02,7.01,9.01 11/02/09 MICROMET, INC. DE 1.01,8.01,9.01 10/28/09 MICRONETICS INC DE 2.02,9.01 11/03/09 MID PENN BANCORP INC PA 2.02,8.01,9.01 11/02/09 Midway Gold Corp 7.01,9.01 11/03/09 Monotype Imaging Holdings Inc. DE 1.01,2.03,9.01 10/30/09 Monotype Imaging Holdings Inc. DE 2.02,9.01 11/03/09 MONTPELIER RE HOLDINGS LTD 2.02,7.01,9.01 11/03/09 MOQIZONE HOLDING Corp DE 5.02 11/02/09 Mueller Water Products, Inc. DE 2.02,9.01 11/03/09 MULTI COLOR Corp OH 2.02,9.01 11/02/09 MYRIAD GENETICS INC DE 2.02,9.01 11/03/09 NATIONAL FINANCIAL PARTNERS CORP 2.02,9.01 11/03/09 National Interstate CORP OH 2.02,5.02,8.01,9.01 10/28/09 National Investment Managers Inc. FL 8.01,9.01 10/29/09 NATIONAL PENN BANCSHARES INC PA 8.01 11/03/09 NATIONAL PENN BANCSHARES INC PA 2.02,7.01 10/29/09 NATIONAL PENN BANCSHARES INC PA 1.01,5.02,9.01 11/03/09 NCI, Inc. DE 2.02,7.01,9.01 11/03/09 NEOGENOMICS INC NV 5.02,9.01 10/28/09 NEOPROBE CORP DE 2.02,9.01 11/02/09 NESS TECHNOLOGIES INC 2.02,7.01,8.01,9.01 11/03/09 NETFLIX INC DE 8.01,9.01 11/03/09 NETLIST INC DE 2.02,9.01 11/02/09 NETLOGIC MICROSYSTEMS INC 2.02 11/03/09 NEVADA GOLD & CASINOS INC NV 5.02,9.01 11/02/09 NEW CENTURY BANCORP INC NC 2.02,9.01 10/30/09 NEW ENGLAND REALTY ASSOCIATES LIMITED MA 2.01,9.01 10/28/09 New Generation Biofuels Holdings, Inc FL 4.01,9.01 10/16/09 AMEND NEW YORK MORTGAGE TRUST INC MD 2.02,7.01,9.01 11/03/09 NEWPOWER HOLDINGS INC DE 8.01,9.01 11/02/09 NEXAIRA WIRELESS INC. NV 5.03,7.01,9.01 10/26/09 Nexxus Lighting, Inc. DE 7.01,9.01 11/03/09 Nexxus Lighting, Inc. DE 1.01,2.03,3.02,9.01 10/29/09 NL INDUSTRIES INC NJ 2.02,7.01,9.01 11/02/09 NORTH CENTRAL BANCSHARES INC IA 2.02,9.01 11/03/09 NORTHWEST NATURAL GAS CO OR 2.02,9.01 09/30/09 NORTHWESTERN CORP DE 8.01 11/03/09 Novelis Inc. A6 2.02,9.01 11/03/09 O A K FINANCIAL CORP MI 2.02,9.01 11/02/09 OccuLogix, Inc. 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