RECENT 8K FILINGS November 5, 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 ------------------------------------------------------------------------------------------------------ 3D SYSTEMS CORP DE 2.02,7.01,9.01 09/30/09 99 CENTS ONLY STORES CA 2.02,9.01 11/04/09 AAA CAPITAL ENERGY FUND L.P. II NY 3.02 11/01/09 Abingdon Futures Fund LP NY 3.02 11/01/09 ACACIA RESEARCH CORP DE 8.01 11/03/09 ADAPTEC INC DE 5.02 11/02/09 ADEPT TECHNOLOGY INC CA 2.02,9.01 11/04/09 AGA Medical Holdings, Inc. DE 2.02,9.01 11/03/09 AMEND AGILYSYS INC OH 2.02,7.01,9.01 11/04/09 ALICO INC FL 5.02,7.01,9.01 11/03/09 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 11/04/09 ALLIED MOTION TECHNOLOGIES INC CO 2.02,9.01 11/04/09 ALLSTATE CORP DE 2.02,9.01 11/04/09 ALMOST FAMILY INC DE 2.02,9.01 11/04/09 ALNYLAM PHARMACEUTICALS, INC. 1.01,2.02,5.02,9.01 10/29/09 Altus Pharmaceuticals Inc. DE 5.02 10/29/09 AMBAC FINANCIAL GROUP INC DE 2.02,9.01 11/04/09 AMERICAN CAPITAL, LTD 2.02,9.01 11/03/09 AMERICAN CAPITAL, LTD 8.01,9.01 11/03/09 American Electric Technologies Inc FL 5.02 11/04/09 American Exploration Corp NV 4.01,9.01 10/28/09 AMERICAN MEDICAL SYSTEMS HOLDINGS INC DE 2.02,9.01 11/04/09 AMERICAN STATES WATER CO CA 2.02,9.01 11/04/09 AMERICAN TECHNOLOGY CORP /DE/ DE 5.02 11/04/09 AMERISTAR CASINOS INC NV 2.02,9.01 11/04/09 AMPHENOL CORP /DE/ DE 1.01,9.01 10/29/09 AMR CORP DE 8.01 11/04/09 Amtrust Financial Services, Inc. DE 2.02,9.01 11/03/09 ANALYSTS INTERNATIONAL CORP 2.02,9.01 11/04/09 Answers CORP 2.02,7.01 11/04/09 ANTIGENICS INC /DE/ DE 7.01,9.01 11/04/09 APAC CUSTOMER SERVICE INC IL 2.02,9.01 11/04/09 APPLIED MICRO CIRCUITS CORP DE 2.02,9.01 10/29/09 AQUA AMERICA INC PA 2.02,9.01 11/03/09 ARAMARK CORP DE 2.01,9.01 10/30/09 ARCH CHEMICALS INC VA 2.02,9.01 11/04/09 Argo Group International Holdings, Lt 7.01,9.01 11/04/09 ASHFORD HOSPITALITY TRUST INC MD 2.02,9.01 11/04/09 ASPEN EXPLORATION CORP DE 8.01,9.01 11/02/09 ASTORIA FINANCIAL CORP DE 8.01,9.01 11/04/09 Atlas Pipeline Holdings, L.P. DE 2.02,9.01 11/03/09 ATLAS PIPELINE PARTNERS LP DE 2.02,9.01 11/03/09 AtriCure, Inc. DE 2.02,8.01,9.01 11/04/09 ATRION CORP DE 2.02,9.01 11/04/09 AUTHENTEC INC DE 2.02,9.01 11/04/09 AUTOMATIC DATA PROCESSING INC DE 2.02,9.01 11/04/09 AVANI INTERNATIONAL GROUP INC // NV 4.01,9.01 10/30/09 BAKER HUGHES INC DE 2.02,7.01,9.01 11/04/09 BANK OF THE OZARKS INC AR 1.01,7.01,9.01 11/04/09 BASIC EARTH SCIENCE SYSTEMS INC DE 8.01,9.01 11/03/09 BECTON DICKINSON & CO NJ 2.02,8.01,9.01 11/04/09 BERKLEY W R CORP DE 5.02,9.01 11/03/09 BGC Partners, Inc. DE 2.02,9.01 11/03/09 BIDGIVE INTERNATIONAL INC DE 5.02 10/27/09 BIO KEY INTERNATIONAL INC MN 5.02 11/02/09 BIOCLINICA INC DE 2.02,9.01 11/04/09 BJS WHOLESALE CLUB INC DE 1.01,1.02,2.03,3.03,9.01 10/30/09 Black Raven Energy, Inc. NV 1.01,3.02,4.01,5.02,9.01 06/03/09 Blackrock Resources NV 5.02,8.01 09/19/09 BOSS HOLDINGS INC DE 1.01 11/02/09 BOWNE & CO INC DE 2.02,9.01 11/04/09 BRE PROPERTIES INC /MD/ MD 5.02,9.01 11/02/09 BreitBurn Energy Partners L.P. DE 5.02,9.01 10/29/09 Bridgepoint Education Inc DE 2.02,9.01 11/04/09 BRINX RESOURCES LTD 5.02 10/30/09 BRISTOL ENERGY FUND LP NY 3.02 11/01/09 Bristow Group Inc DE 2.02,9.01 11/04/09 BRYN MAWR BANK CORP PA 1.01,7.01,9.01 11/03/09 BUCKEYE TECHNOLOGIES INC DE 2.02,7.01,9.01 11/03/09 CA, INC. DE 5.02,9.01 11/04/09 CABLEVISION SYSTEMS CORP /NY DE 7.01,9.01 11/04/09 CABLEVISION SYSTEMS CORP /NY DE 2.02,9.01 11/03/09 Calibert Explorations, Inc. NV 5.02,8.01,9.01 11/03/09 Calumet Specialty Products Partners, DE 2.02,9.01 11/04/09 CAMBREX CORP DE 2.02,9.01 11/04/09 CAMPBELL FUND TRUST DE 3.02 11/01/09 Capitol Acquisition Corp DE 4.01,9.01 10/29/09 CapLease, Inc. 2.02,9.01 11/04/09 Cardiovascular Systems Inc 2.02,9.01 11/04/09 Cardium Therapeutics, Inc. DE 8.01,9.01 11/02/09 CAREER EDUCATION CORP DE 2.02,9.01 11/04/09 Caribou Coffee Company, Inc. MN 2.02,9.01 11/04/09 CATALYST HEALTH SOLUTIONS, INC. DE 2.02,9.01 11/03/09 CBEYOND, INC. 2.02,9.01 11/04/09 CBEYOND, INC. 2.02,9.01 11/04/09 AMEND CBIZ, Inc. DE 2.02,9.01 10/29/09 CBL & ASSOCIATES PROPERTIES INC DE 2.02,9.01 11/03/09 Celldex Therapeutics, Inc. DE 2.02,9.01 11/04/09 CENTRAL EUROPEAN DISTRIBUTION CORP DE 2.02,7.01,9.01 11/03/09 CEPHALON INC DE 8.01 11/02/09 CH ENERGY GROUP INC NY 8.01,9.01 11/04/09 CHANCERY RESOURCES, INC. NV 9.01 10/16/08 AMEND CHARLES RIVER LABORATORIES INTERNATIO 2.02,9.01 11/03/09 CHECKPOINT SYSTEMS INC PA 2.02 11/04/09 CHEMBIO DIAGNOSTICS, INC. NV 7.01,9.01 11/04/09 CINCINNATI BELL INC OH 2.02,7.01,9.01 11/04/09 CINTAS CORP WA 5.02 10/31/09 CISCO SYSTEMS INC CA 2.02 11/04/09 CIT GROUP INC DE 1.03,2.04,3.01,7.01,8.01,9.01 11/01/09 CLAIBORNE LIZ INC DE 1.01,2.02,9.01 11/04/09 CLAYTON WILLIAMS ENERGY INC /DE DE 2.02,7.01,9.01 11/04/09 CLEAN HARBORS INC MA 2.02,9.01 11/04/09 CLIFTON SAVINGS BANCORP INC 2.02,9.01 11/02/09 CMS ENERGY CORP MI 8.01 11/02/09 CNH Equipment Trust 2009-C DE 8.01,9.01 11/04/09 COMCAST CORP PA 2.02,9.01 11/04/09 COMMONWEALTH BANKSHARES INC VA 8.01,9.01 11/04/09 COMPELLENT TECHNOLOGIES INC DE 5.02,9.01 11/03/09 COMPX INTERNATIONAL INC DE 7.01,9.01 11/03/09 CONSECO INC DE 2.02,9.01 09/30/09 CONSOLIDATED GRAPHICS INC /TX/ TX 2.02,9.01 11/04/09 Copano Energy, L.L.C. DE 5.02 11/04/09 CORNERSTONE THERAPEUTICS INC DE 2.02,9.01 11/04/09 COTT CORP /CN/ 1.01,8.01,9.01 11/03/09 COUNTERPATH CORP NV 3.02,9.01 10/29/09 COUSINS PROPERTIES INC GA 2.02,9.01 11/04/09 COVENTRY HEALTH CARE INC DE 5.02 11/04/09 CPEX Pharmaceuticals, Inc. DE 2.02,9.01 11/04/09 CROSS COUNTRY HEALTHCARE INC DE 2.02,7.01,9.01 11/02/09 CROWN CASTLE INTERNATIONAL CORP DE 2.02,9.01 11/03/09 CYTORI THERAPEUTICS, INC. DE 5.02 10/29/09 DealerTrack Holdings, Inc. DE 2.02,9.01 11/04/09 DEVON ENERGY CORP/DE DE 2.02,9.01 11/04/09 DEXCOM INC 2.02,9.01 11/04/09 DEXCOM INC 8.01,9.01 11/04/09 DIALYSIS CORP OF AMERICA FL 2.02,9.01 11/04/09 DIAMOND HILL INVESTMENT GROUP INC OH 8.01,9.01 11/04/09 Diamond Information Institute NJ 4.01,9.01 10/27/09 DIAMOND MANAGEMENT & TECHNOLOGY CONSU DE 2.02,9.01 11/04/09 DIEDRICH COFFEE INC CA 2.02,9.01 11/03/09 DIGITAL ALLY INC 2.02,9.01 09/30/09 DigitalFX International Inc FL 8.01 11/04/09 DISCOVERY LABORATORIES INC /DE/ DE 2.02,8.01,9.01 11/04/09 Douglas Emmett Inc MD 2.02 11/03/09 DREW INDUSTRIES INC DE 7.01,9.01 11/03/09 DRYCLEAN USA INC DE 1.01,9.01 11/03/09 DUNE ENERGY INC DE 2.02,9.01 11/04/09 DUPONT FABROS TECHNOLOGY, INC. MD 2.02,7.01,9.01 11/03/09 DYNCORP INTERNATIONAL INC. DE 2.02,9.01 11/04/09 EASTON-BELL SPORTS, INC. DE 2.02,9.01 11/04/09 ECHELON CORP DE 2.02,9.01 11/04/09 ECHELON CORP DE 5.02,9.01 11/04/09 ECOTALITY, INC. NV 1.01,3.02,9.01 10/31/09 ECOTALITY, INC. NV 5.02,9.01 11/03/09 eCrypt Technologies, Inc. CO 8.01 11/03/09 EDGEWATER TECHNOLOGY INC/DE/ DE 2.02,9.01 11/04/09 Education Management LLC DE 2.02,9.01 11/04/09 El Paso Pipeline Partners, L.P. DE 2.02,9.01 11/04/09 ELECSYS CORP KS 1.01 10/30/09 ELOYALTY CORP DE 2.02,7.01,9.01 11/04/09 EMERGING CTA PORTFOLIO LP NY 3.02 11/01/09 EMERGING MEDIA HOLDINGS INC NV 1.01,7.01,9.01 10/01/09 Employers Holdings, Inc. NV 2.02,8.01,9.01 11/04/09 Encore Bancshares Inc TX 7.01,9.01 11/04/09 ENDEAVOUR INTERNATIONAL CORP NV 2.02,7.01,9.01 11/04/09 ENDO PHARMACEUTICALS HOLDINGS INC DE 7.01,9.01 11/04/09 ENERGIZER HOLDINGS INC MO 2.02,5.02 11/02/09 ENTERTAINMENT PROPERTIES TRUST MD 2.02,9.01 11/04/09 ENTRAVISION COMMUNICATIONS CORP DE 2.02,9.01 11/04/09 EQUIFAX INC GA 9.01 11/04/09 ESSA Bancorp, Inc. PA 2.02,9.01 10/30/09 ESSEX PROPERTY TRUST INC MD 2.02,9.01 09/30/09 Essex Rental Corp. DE 2.02,9.01 11/03/09 EVERGREEN SOLAR INC DE 2.02,2.05,9.01 10/30/09 EXCO RESOURCES INC TX 2.02,9.01 11/03/09 EXPEDITORS INTERNATIONAL OF WASHINGTO WA 2.02,9.01 11/03/09 EXPRESSJET HOLDINGS INC DE 2.02,9.01 09/30/09 FACET BIOTECH CORP DE 2.02,9.01 11/03/09 FAIR ISAAC CORP DE 2.02,9.01 11/04/09 FAIRFIELD FUTURES FUND LP II NY 3.02 11/01/09 FAIRPOINT COMMUNICATIONS INC DE 1.01,2.03 10/30/09 Federal Home Loan Bank of Atlanta X1 5.02 11/04/09 FEDERAL REALTY INVESTMENT TRUST MD 5.02 11/03/09 FEDERAL REALTY INVESTMENT TRUST MD 2.02,9.01 09/30/09 FERRELLGAS PARTNERS L P DE 1.01,2.03,9.01 11/02/09 FGX International Holdings LTD 2.02,9.01 11/04/09 Find the World Interactive, Inc. DE 1.01 10/29/09 FIRST CAPITAL BANCORP, INC. VA 2.02,9.01 11/02/09 FIRST KEYSTONE FINANCIAL INC 1.01,7.01,9.01 11/03/09 Flagstone Reinsurance Holdings Ltd 2.02 11/03/09 FLOTEK INDUSTRIES INC/CN/ DE 5.02,9.01 10/29/09 Forestar Group Inc. DE 2.02,7.01,9.01 11/04/09 FOSTER WHEELER AG D0 2.02,9.01 11/04/09 FPIC INSURANCE GROUP INC FL 2.02,9.01 11/04/09 FS Investment CORP MD 2.02,9.01 10/27/09 GAIAM, INC CO 2.02,9.01 11/04/09 GARMIN LTD 2.02,9.01 11/04/09 GENERAL AUTOMOTIVE CO 5.02,9.01 11/04/09 GENERAL AUTOMOTIVE CO 5.02,9.01 11/04/09 AMEND GENOMIC HEALTH INC 2.02,9.01 11/04/09 Genpact LTD D0 2.02,9.01 11/04/09 GEOSPATIAL HOLDINGS, INC. NV 1.01,1.02,2.03,3.02,5.02,8.01, 10/29/09 9.01 GETTY REALTY CORP /MD/ MD 2.02,9.01 11/03/09 GILLA INC. NV 2.01 10/31/09 GLADSTONE COMMERCIAL CORP MD 2.02,9.01 11/04/09 GLADSTONE COMMERCIAL CORP MD 1.01,9.01 11/04/09 Global Cash Access Holdings, Inc. DE 2.02,9.01 11/04/09 GLOBECOMM SYSTEMS INC 2.02,9.01 11/04/09 GMAC INC. DE 2.02,9.01 11/04/09 Government Properties Income Trust MD 2.02,9.01 11/04/09 GRANDSOUTH BANCORPORATION SC 2.02,9.01 10/30/09 H&E Equipment Services, Inc. DE 2.02,8.01,9.01 11/04/09 HARDINGE INC NY 2.03,9.01 10/30/09 HARVARD BIOSCIENCE INC DE 2.02,9.01 11/04/09 HARVEST NATURAL RESOURCES, INC. DE 8.01,9.01 11/04/09 HCC INSURANCE HOLDINGS INC/DE/ DE 2.02,9.01 11/03/09 HEADWATERS INC DE 2.02,7.01,9.01 11/04/09 HEALTH BENEFITS DIRECT CORP DE 5.01 10/29/09 HEALTH CARE REIT INC /DE/ DE 2.02,9.01 11/04/09 Health Fitness Corp /MN/ MN 2.02,9.01 11/04/09 HEALTH NET INC DE 8.01 11/04/09 HEALTHSOUTH CORP DE 2.02,7.01,9.01 11/03/09 HENRY JACK & ASSOCIATES INC DE 2.02,9.01 11/03/09 HENRY SCHEIN INC DE 2.02,9.01 09/26/09 HERBALIFE LTD. E9 5.02,8.01,9.01 10/29/09 HERTZ CORP DE 2.02,9.01 10/30/09 HERTZ GLOBAL HOLDINGS INC 2.02,9.01 10/30/09 HIBERNIA HOMESTEAD BANCORP, INC. 2.02,9.01 11/03/09 Hiland Holdings GP, LP DE 1.01,2.03,7.01,9.01 11/03/09 Hiland Partners, LP 1.01,7.01,9.01 11/03/09 HOLLY CORP DE 1.01 11/03/09 HOLLYWOOD MEDIA CORP FL 2.02,9.01 11/04/09 HOME FEDERAL BANCORP, INC. OF LOUISIA 2.02,9.01 11/04/09 Homeland Security Network, Inc. 4.01,5.03,9.01 08/21/08 HOT TOPIC INC /CA/ CA 2.02,9.01 11/04/09 HSBC USA INC /MD/ MD 8.01 11/04/09 HUDSON HIGHLAND GROUP INC DE 2.02,9.01 11/03/09 Hughes Communications, Inc. DE 2.02,9.01 11/04/09 Hughes Network Systems, LLC DE 2.02,9.01 11/04/09 Huntsman CORP DE 2.02,9.01 11/04/09 HURCO COMPANIES INC IN 1.01,5.02,9.01 10/30/09 IAC/INTERACTIVECORP DE 5.02 11/02/09 IB3 Networks, Inc. NV 5.02 11/04/09 IDEXX LABORATORIES INC /DE DE 7.01 11/03/09 IDT CORP DE 7.01,9.01 11/04/09 IMAGE SENSING SYSTEMS INC MN 2.02,9.01 11/04/09 IMMUCELL CORP /DE/ DE 2.02,9.01 11/04/09 INLAND REAL ESTATE CORP MD 2.02,7.01,9.01 09/30/09 INNOVATIVE CARD TECHNOLOGIES INC DE 5.02 11/02/09 INSIGHT ENTERPRISES INC DE 2.02,9.01 11/04/09 INTEGRA LIFESCIENCES HOLDINGS CORP DE 2.02,7.01 11/04/09 interCLICK, Inc. DE 2.02,9.01 11/04/09 INTERMUNE INC DE 8.01,9.01 11/04/09 INTERNATIONAL FLAVORS & FRAGRANCES IN NY 2.02,9.01 11/04/09 INTERNATIONAL MEDICAL STAFFING 5.03,7.01,9.01 11/04/09 INTERNATIONAL MONETARY SYSTEMS LTD /W WI 8.01,9.01 11/02/09 INTERSTATE HOTELS & RESORTS INC DE 2.02,9.01 11/04/09 INVERNESS MEDICAL INNOVATIONS INC DE 8.01 11/04/09 ION GEOPHYSICAL CORP DE 2.02,4.02,9.01 10/29/09 IPARTY CORP DE 2.02,7.01,9.01 11/04/09 Iveda Corp NV 4.01,9.01 11/04/09 AMEND J&J SNACK FOODS CORP NJ 2.02,9.01 11/03/09 JAVA DETOUR INC. DE 5.02,9.01 11/01/09 JMP Group Inc. DE 2.02,5.02,7.01,9.01 11/02/09 John Bean Technologies CORP DE 2.02,9.01 11/03/09 KAL ENERGY INC DE 8.01 10/30/09 KAPSTONE PAPER & PACKAGING CORP DE 2.02,9.01 11/04/09 KAR Auction Services, Inc. DE 5.02,5.03,8.01,9.01 10/28/09 KENSEY NASH CORP DE 5.02 11/02/09 KFORCE INC FL 2.02,9.01 11/03/09 KIMCO REALTY CORP MD 2.02 11/04/09 KIMCO REALTY CORP MD 1.01,2.01,7.01,9.01 11/04/09 KLA TENCOR CORP DE 5.02,8.01,9.01 11/04/09 KULICKE & SOFFA INDUSTRIES INC PA 5.02,9.01 10/29/09 LAKES ENTERTAINMENT INC MN 1.01,9.01 10/29/09 LANCE INC NC 5.02 10/29/09 LANDRYS RESTAURANTS INC 1.01,7.01,9.01 11/03/09 LAPOLLA INDUSTRIES INC DE 5.02,9.01 10/28/09 LEXON TECHNOLOGIES INC DE 1.01 11/03/09 LEXON TECHNOLOGIES INC DE 1.01,2.01,3.02,5.01,5.02,5.03, 10/07/09 AMEND 5.06,9.01 LIBERATOR MEDICAL HOLDINGS, INC. NV 5.02 10/29/09 Liberty Global, Inc. 2.02,7.01 11/04/09 LIGHTSTONE VALUE PLUS REAL ESTATE INV MD 8.01 11/03/09 Lightstone Value Plus Real Estate Inv MD 8.01 11/03/09 Limelight Networks, Inc. DE 2.02,9.01 11/04/09 LINN ENERGY, LLC DE 2.02,9.01 09/30/09 LKQ CORP DE 5.02 11/03/09 LOJACK CORP MA 2.02,9.01 11/04/09 LSB INDUSTRIES INC DE 1.01,9.01 11/04/09 Lumber Liquidators, Inc. DE 2.02,9.01 11/04/09 LUMINEX CORP DE 2.02,9.01 11/04/09 LYDALL INC /DE/ DE 5.02,9.01 10/30/09 MAKEMUSIC, INC. MN 2.02,9.01 11/04/09 Mandalay Media, Inc. DE 8.01,9.01 11/03/09 MANNATECH INC TX 2.02,9.01 11/03/09 MARKWEST ENERGY PARTNERS L P 1.01 10/30/09 MARSH & MCLENNAN COMPANIES, INC. DE 2.02,9.01 11/04/09 MARTHA STEWART LIVING OMNIMEDIA INC DE 2.02,9.01 11/04/09 MARTIN MIDSTREAM PARTNERS LP DE 2.02,9.01 11/04/09 MASTEC INC FL 8.01,9.01 11/03/09 MASTEC INC FL 1.01,7.01,8.01,9.01 11/03/09 McCormick & Schmicks Seafood Restaura 2.02,9.01 11/04/09 MCG CAPITAL CORP DE 2.02,9.01 11/04/09 Measurement Specialties Inc NJ 1.01,2.02,9.01 11/03/09 MEDCO HEALTH SOLUTIONS INC DE 7.01,9.01 11/04/09 MEDICIS PHARMACEUTICAL CORP DE 2.02,9.01 11/04/09 MEDIS TECHNOLOGIES LTD DE 8.01,9.01 11/04/09 MEDIVATION, INC. DE 2.02,9.01 11/04/09 Merck & Co. Inc. NJ 2.01,2.03,3.03,4.01,5.02,5.03, 11/03/09 5.05,8.01,9.01 MERCK SHARP & DOHME CORP. NJ 1.01,2.03,3.01,3.02,5.01,5.02, 11/03/09 5.03,8.01,9.01 MFA FINANCIAL, INC. MD 2.02,7.01,9.01 11/04/09 MICROCHIP TECHNOLOGY INC DE 2.02,9.01 11/04/09 MICROSTRATEGY INC DE 2.02,9.01 10/29/09 MIDWAY GAMES INC DE 8.01,9.01 11/03/09 MOBICLEAR INC. PA 3.02 10/30/09 MOBILE MINI INC DE 2.02,9.01 11/04/09 MOCON INC MN 2.02,9.01 11/04/09 MOD PAC CORP NY 2.02,9.01 11/04/09 MOLSON COORS BREWING CO CO 2.02,9.01 11/04/09 Morgans Hotel Group Co. DE 1.01,9.01 11/02/09 Motors Liquidation Co DE 7.01,9.01 11/02/09 Mueller Water Products, Inc. DE 7.01,9.01 11/04/09 MULTI FINELINE ELECTRONIX INC 2.02,9.01 11/04/09 MURPHY OIL CORP /DE DE 2.02,9.01 11/04/09 NACCO INDUSTRIES INC DE 2.02,9.01 11/04/09 NACCO INDUSTRIES INC DE 2.02,7.01,9.01 11/04/09 NATHANS FAMOUS INC DE 2.02,8.01,9.01 11/04/09 NATIONAL FINANCIAL PARTNERS CORP 7.01,9.01 11/04/09 NATURAL RESOURCE PARTNERS LP DE 2.02,9.01 11/04/09 NAVISTAR FINANCIAL CORP DE 1.01,9.01 11/04/09 NEKTAR THERAPEUTICS DE 2.02,9.01 11/04/09 NeoStem, Inc. DE 2.01,5.02,8.01,9.01 10/29/09 NETSUITE INC 2.02,9.01 11/04/09 Neutral Tandem Inc 2.02,9.01 11/04/09 NEWALLIANCE BANCSHARES INC 7.01,9.01 11/04/09 NEWPARK RESOURCES INC DE 5.03,9.01 11/03/09 NEWS CORP 2.02,9.01 11/04/09 NewStar Financial, Inc. 2.02,9.01 11/04/09 Noble Corp / Switzerland V8 5.02,9.01 10/29/09 NORTH VALLEY BANCORP CA 2.02,9.01 11/03/09 Northern Explorations Ltd. 5.02,9.01 10/27/09 NOVELOS THERAPEUTICS, INC. DE 1.01,5.03,8.01,9.01 11/03/09 NPS PHARMACEUTICALS INC DE 2.02,9.01 11/04/09 OFFICEMAX INC DE 1.01,3.02,9.01 11/03/09 OIL STATES INTERNATIONAL, INC DE 2.02,9.01 11/03/09 OMEGA PROTEIN CORP NV 2.02,9.01 11/03/09 ON SEMICONDUCTOR CORP DE 2.02,9.01 11/04/09 OPENTV CORP 2.02,9.01 11/03/09 Opexa Therapeutics, Inc. TX 2.02,9.01 11/04/09 ORASURE TECHNOLOGIES INC DE 2.02,9.01 11/04/09 ORASURE TECHNOLOGIES INC DE 7.01,9.01 11/04/09 Orexigen Therapeutics, Inc. DE 2.02,5.02,8.01,9.01 10/24/09 ORIENT EXPRESS HOTELS LTD D0 2.02,9.01 11/03/09 ORION FUTURES FUND LP NY 3.02 11/01/09 ORLEANS HOMEBUILDERS INC DE 5.02 10/29/09 OSIRIS THERAPEUTICS, INC. DE 2.02,9.01 11/04/09 OTELCO INC. DE 2.02,9.01 11/04/09 OVERLAND STORAGE INC CA 1.01,3.02,9.01 10/30/09 PACIFIC PREMIER BANCORP INC DE 7.01,9.01 11/04/09 PC GROUP, INC. DE 2.02,9.01 11/04/09 PC TEL INC DE 4.02,9.01 10/29/09 PECO II INC OH 2.02,9.01 11/04/09 PEETS COFFEE & TEA INC WA 1.01,9.01 11/02/09 Peninsula Gaming, LLC DE 1.01,2.03 10/29/09 PENN TRAFFIC CO DE 1.01,2.04,5.02,8.01,9.01 10/30/09 PENSECO FINANCIAL SERVICES CORP PA 2.02,9.01 11/02/09 PERICOM SEMICONDUCTOR CORP CA 2.02,9.01 11/04/09 PETROLEUM DEVELOPMENT CORP NV 1.01,2.01,2.03,7.01,9.01 10/29/09 PGT, Inc. DE 2.02,9.01 11/04/09 PHARMATHENE, INC DE 3.03,5.02,5.03,8.01,9.01 10/29/09 PINPOINT RECOVERY SOLUTIONS CORP DE 8.01 11/04/09 PIONEER BANKSHARES INC/VA 2.02,9.01 11/04/09 PIONEER NATURAL RESOURCES CO DE 2.02,9.01 11/03/09 Pioneer Southwest Energy Partners L.P DE 2.02,9.01 11/03/09 PLAINS ALL AMERICAN PIPELINE LP DE 2.02,7.01,9.01 11/04/09 PMFG, Inc. DE 5.02,9.01 11/03/09 POLYMER GROUP INC DE 1.01,3.02,8.01,9.01 10/30/09 POLYONE CORP 2.02,9.01 11/04/09 Polypore International, Inc. 2.02,2.05,9.01 10/30/09 Polypore International, Inc. 2.02,9.01 11/04/09 POP N GO INC DE 8.01 11/04/09 PORTLAND GENERAL ELECTRIC CO /OR/ OR 1.01,2.03,9.01 11/01/09 Primoris Services CORP DE 1.01,1.02,2.03,9.01 10/29/09 PRIVATEBANCORP, INC DE 1.01,3.02,9.01 11/02/09 PRO PHARMACEUTICALS INC NV 1.01,2.03,3.02,9.01 11/04/09 PROCERA NETWORKS INC NV 5.02 11/01/09 PRUDENTIAL FINANCIAL INC NJ 2.02,7.01,9.01 11/04/09 PULTE HOMES INC/MI/ MI 2.02,9.01 11/04/09 QUALCOMM INC/DE DE 2.02,9.01 11/04/09 QUALITY DISTRIBUTION INC FL 2.02,9.01 11/03/09 QUANTA SERVICES INC DE 2.02,9.01 11/04/09 RADIAN GROUP INC DE 2.02,9.01 11/04/09 RADIOSHACK CORP DE 5.02 11/04/09 RAE SYSTEMS INC DE 2.02,9.01 11/04/09 RAIT Financial Trust MD 2.02,9.01 11/04/09 RAND CAPITAL CORP NY 2.02,9.01 11/04/09 RCM TECHNOLOGIES INC NV 2.02,9.01 09/26/09 Real Goods Solar, Inc. CO 2.02,9.01 11/04/09 REDWOOD TRUST INC MD 2.02,9.01 11/04/09 REGENERON PHARMACEUTICALS INC NY 2.02,9.01 11/04/09 REHABCARE GROUP INC DE 1.01,8.01,9.01 11/03/09 REHABCARE GROUP INC DE 2.02,7.01,9.01 11/04/09 REINSURANCE GROUP OF AMERICA INC MO 1.01,8.01,9.01 11/03/09 RIGHTNOW TECHNOLOGIES INC MT 9.01 09/15/09 AMEND ROCKWELL MEDICAL TECHNOLOGIES INC MI 2.02,9.01 11/04/09 ROMA FINANCIAL CORP X1 2.02,9.01 11/04/09 Rosca, Inc. NV 5.01,5.03 10/30/09 RR Donnelley & Sons Co DE 2.02,9.01 11/04/09 RUBIOS RESTAURANTS INC DE 2.02,9.01 11/04/09 Sadhana Equity Investment, Inc. FL 1.01,5.01,5.02,9.01 10/29/09 SAFEGUARD SCIENTIFICS INC PA 2.02,9.01 11/04/09 SANGAMO BIOSCIENCES INC DE 2.02,9.01 11/04/09 SANMINA-SCI CORP DE 2.02,9.01 11/04/09 SANTARUS INC DE 2.02,9.01 11/04/09 SAVVIS, Inc. DE 5.02 11/03/09 SEAMLESS Corp 8.01 11/04/09 Secure America Acquisition CORP DE 1.01,2.01,2.03,3.02,3.03,5.01, 10/29/09 5.02,5.03,5.06 SENESCO TECHNOLOGIES INC DE 3.01,9.01 10/30/09 SERVICE CORPORATION INTERNATIONAL TX 2.02,9.01 11/04/09 SHENANDOAH TELECOMMUNICATIONS CO/VA/ VA 7.01,9.01 11/04/09 Shire plc 8.01,9.01 11/02/09 Shire plc 8.01,9.01 11/03/09 Shire plc 8.01,9.01 11/04/09 Shire plc 5.02,9.01 11/02/09 Silicon Graphics International Corp DE 2.02,9.01 11/04/09 SINCLAIR BROADCAST GROUP INC MD 2.02,9.01 11/04/09 Sino Fibre Communications, Inc. NV 5.02,7.01 11/04/09 SMART Modular Technologies (WWH), Inc E9 8.01 10/30/09 SMITH MICRO SOFTWARE INC DE 2.02,9.01 11/04/09 SourceForge, Inc DE 2.02,5.02,5.03,9.01 10/29/09 SOUTHERN MISSOURI BANCORP INC MO 8.01 11/04/09 Southern National Bancorp of Virginia VA 7.01,9.01 11/04/09 SOUTHERN NATURAL GAS CO DE 2.02,9.01 11/04/09 SOUTHWEST BANCORP INC OK 7.01,9.01 11/03/09 SOVRAN SELF STORAGE INC MD 2.02,9.01 11/04/09 SPEEDWAY MOTORSPORTS INC DE 2.02,9.01 11/04/09 SPORT CHALET INC DE 2.02,9.01 11/04/09 SPORT SUPPLY GROUP, INC. DE 2.02,9.01 11/04/09 SRA INTERNATIONAL INC DE 2.02,9.01 11/04/09 STAGE STORES INC NV 8.01,9.01 11/03/09 STANDARD MOTOR PRODUCTS INC NY 1.01,9.01 10/29/09 STEINER LEISURE LTD C5 1.01,2.03 11/02/09 StellarOne CORP VA 8.01,9.01 11/03/09 STEMCELLS INC DE 8.01,9.01 11/03/09 AMEND STERLING BANCORP NY 7.01,9.01 11/03/09 STEWARDSHIP FINANCIAL CORP NJ 2.02,9.01 11/03/09 STIFEL FINANCIAL CORP DE 7.01,9.01 11/04/09 STONE ENERGY CORP DE 2.02,7.01,9.01 11/03/09 Sunstone Hotel Investors, Inc. MD 2.02,9.01 11/04/09 SUNTRUST BANKS INC GA 7.01,9.01 11/04/09 SURMODICS INC MN 2.02,9.01 11/04/09 Susser Holdings CORP DE 2.02,9.01 11/04/09 SWORDFISH FINANCIAL, INC. MN 3.01,9.01 08/13/09 AMEND SYNALLOY CORP DE 2.02,9.01 11/04/09 T-3 ENERGY SERVICES INC TX 2.02,9.01 11/04/09 TACTICAL DIVERSIFIED FUTURES FUND L.P NY 3.02 11/01/09 Targa Resources Partners LP DE 2.02,9.01 09/30/09 Targa Resources, Inc. DE 2.02,9.01 09/30/09 TC PIPELINES LP DE 7.01 11/04/09 Team Finance LLC DE 2.02,7.01,9.01 11/02/09 TECUMSEH PRODUCTS CO MI 1.01,9.01 10/29/09 TEKELEC CA 2.02,9.01 11/04/09 TERRA INDUSTRIES INC MD 8.01,9.01 11/04/09 TESCO CORP 2.02,9.01 09/30/09 THOMAS PROPERTIES GROUP INC DE 8.01,9.01 11/03/09 THORATEC CORP CA 2.02,9.01 11/04/09 THQ INC DE 2.02,9.01 11/04/09 TIME WARNER INC. DE 2.02,9.01 11/04/09 TOWERSTREAM CORP DE 2.02,9.01 11/04/09 Transcept Pharmaceuticals Inc DE 7.01,9.01 11/04/09 Transocean Ltd. V8 2.02,7.01,9.01 11/04/09 Triangle Capital CORP MD 2.02,7.01,9.01 11/04/09 TRIUMPH GROUP INC / DE 8.01,9.01 11/04/09 TRW AUTOMOTIVE HOLDINGS CORP DE 2.02,9.01 11/04/09 TTM TECHNOLOGIES INC WA 2.02,9.01 11/04/09 TURBINE TRUCK ENGINES INC 5.02,9.01 11/03/09 tw telecom inc. DE 2.02,9.01 11/03/09 Two Harbors Investment Corp. 4.01,9.01 10/28/09 AMEND Tyco Electronics Ltd. D0 2.02,7.01,9.01 11/04/09 UNICO INC /AZ/ AZ 3.02,5.03,9.01 10/16/09 UNION NATIONAL FINANCIAL CORP / PA PA 2.02,9.01 09/30/09 UNITED BANKSHARES INC/WV WV 8.01 10/30/09 UNITED ONLINE INC DE 2.02,9.01 11/04/09 UNITED SECURITY BANCSHARES INC DE 2.02,9.01 11/03/09 UNITED SURGICAL PARTNERS INTERNATIONA DE 2.02,9.01 11/03/09 UNITED WESTERN BANCORP INC CO 2.02,9.01 11/04/09 UNITRIN INC DE 5.02 11/03/09 UNIVERSAL HOSPITAL SERVICES INC MN 7.01,9.01 11/04/09 UNIVERSAL TRAVEL GROUP NV 8.01,9.01 11/04/09 US AIRWAYS GROUP INC DE 2.02,9.01 11/04/09 US GEOTHERMAL INC DE 5.03,8.01,9.01 11/03/09 US GEOTHERMAL INC DE 8.01 10/29/09 UTEC, INC. 4.01 11/02/09 VALENCE TECHNOLOGY INC DE 2.02,9.01 11/04/09 VALHI INC /DE/ DE 2.02,7.01,9.01 11/04/09 VALUE LINE INC NY 5.02,8.01,9.01 11/04/09 Vanguard Natural Resources, LLC DE 2.02,7.01,9.01 11/04/09 VCG HOLDING CORP CO 8.01,9.01 11/03/09 VERIFY SMART CORP. NV 7.01 08/21/09 Vestin Realty Mortgage I, Inc. 8.01,9.01 11/03/09 Vestin Realty Mortgage II, Inc MD 8.01,9.01 11/03/09 VICAL INC DE 2.02,9.01 11/04/09 VIKING SYSTEMS INC DE 5.02 11/02/09 VIRTUS INVESTMENT PARTNERS, INC. DE 2.02,9.01 11/04/09 Vista International Technologies Inc DE 4.01,9.01 10/23/09 AMEND Vitacost.com, Inc. DE 2.02,9.01 11/04/09 Vitamin Shoppe, Inc. DE 2.02,9.01 11/04/09 VONAGE HOLDINGS CORP DE 2.02,9.01 11/04/09 WABASH NATIONAL CORP /DE DE 2.02,9.01 11/04/09 WARNACO GROUP INC /DE/ DE 2.02,9.01 11/04/09 WARRINGTON FUND LP NY 3.02 11/01/09 WATSON PHARMACEUTICALS INC NV 2.02,9.01 11/04/09 WELLCARE HEALTH PLANS, INC. DE 2.02,9.01 11/04/09 WEST SUBURBAN BANCORP INC IL 1.02 10/30/09 WESTFIELD FINANCIAL INC MA 7.01,9.01 11/04/09 WESTMONT RESOURCES INC. NV 5.02 10/16/09 WESTPORT JWH FUTURES FUND LP NY 3.02 11/01/09 WHOLE FOODS MARKET INC TX 2.02,9.01 11/04/09 WILLIAMS COAL SEAM GAS ROYALTY TRUST DE 2.02,9.01 11/04/09 WINN DIXIE STORES INC FL 5.02,9.01 11/04/09 WINTON FUTURES FUND LP (US) CO 3.02 11/01/09 WIRELESS RONIN TECHNOLOGIES INC MN 2.02,8.01,9.01 11/04/09 WOODWARD GOVERNOR CO DE 7.01 11/04/09 WSI INDUSTRIES, INC. MN 5.02 11/02/09 XETA TECHNOLOGIES INC OK 7.01,9.01 11/04/09 XTO ENERGY INC DE 2.02 11/04/09 Yayi International Inc DE 1.01,9.01 11/03/09 ZBB ENERGY CORP WI 1.01,1.02,5.02,8.01,9.01 10/31/09 ZEBRA TECHNOLOGIES CORP 2.02,9.01 11/04/09 Zumiez Inc WA 7.01,9.01 11/04/09 ZYMOGENETICS INC WA 8.01 11/02/09