RECENT 8K FILINGS November 12, 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 ------------------------------------------------------------------------------------------------------ A123 SYSTEMS, INC. DE 2.02,9.01 11/10/09 ADOBE SYSTEMS INC DE 2.05 11/10/09 Advanced Life Sciences Holdings, Inc. 2.02,9.01 11/10/09 ADVENTRX PHARMACEUTICALS INC DE 2.02,9.01 11/10/09 AeroGrow International, Inc. NV 1.01 11/09/09 AES CORP DE 1.01,3.02,9.01 11/06/09 Agfeed Industries, Inc NV 2.02,9.01 11/10/09 Agfeed Industries, Inc NV 1.01,9.01 09/09/09 AMEND AGY Holding Corp. DE 5.02 11/04/09 AHERN RENTALS INC 8.01,9.01 11/09/09 AKORN INC LA 2.02,9.01 11/10/09 ALASKA AIR GROUP INC DE 7.01,9.01 11/10/09 All State Properties Holdings, Inc. NV 4.01 11/06/09 ALLIANCE FINANCIAL CORP /NY/ NY 7.01 11/10/09 ALLIANCE LAUNDRY HOLDINGS LLC 2.02,9.01 11/09/09 ALLIANCE LAUNDRY HOLDINGS LLC 2.02,9.01 11/09/09 AMEND ALLIED WORLD ASSURANCE CO HOLDINGS LT 7.01,9.01 11/10/09 ALLIED WORLD ASSURANCE CO HOLDINGS LT 5.02 11/10/09 AMEND ALSERES PHARMACEUTICALS INC /DE DE 1.01,3.02,9.01 11/04/09 AMARU INC NV 8.01 11/02/09 AMB PROPERTY CORP MD 3.02,8.01,9.01 11/10/09 AMERICAN APPAREL, INC DE 2.02,9.01 11/10/09 American Caresource Holdings, Inc. DE 2.02,9.01 11/09/09 American Electric Technologies Inc FL 2.02,9.01 11/09/09 AMERICAN TONERSERV CORP. DE 2.02,9.01 11/10/09 AmeriCredit Prime Automobile Receivab 8.01,9.01 11/10/09 Ameris Bancorp GA 8.01,9.01 11/09/09 ANESIVA, INC. DE 1.02,2.04 11/04/09 ANTHRACITE CAPITAL INC MD 2.02,9.01 11/10/09 APAC CUSTOMER SERVICE INC IL 7.01,9.01 11/05/09 APARTMENT INVESTMENT & MANAGEMENT CO MD 7.01,9.01 11/10/09 ARCADIA RESOURCES, INC NV 5.02,9.01 09/10/09 ARCH COAL INC DE 7.01,9.01 11/10/09 ARENA PHARMACEUTICALS INC DE 2.02,9.01 11/09/09 Arlington Asset Investment Corp. VA 2.02,9.01 11/09/09 Armour Residential REIT, Inc. MD 1.01,9.01 11/04/09 ARMSTRONG WORLD INDUSTRIES INC PA 5.02 11/09/09 ARVINMERITOR INC IN 2.02,9.01 09/30/09 ASSURED GUARANTY LTD D0 7.01 11/10/09 ASSURED GUARANTY LTD D0 2.02,9.01 11/10/09 ASTEA INTERNATIONAL INC DE 2.02,9.01 11/10/09 ATLANTIS TECHNOLOGY GROUP NV 4.01,9.01 11/09/09 ATMOS ENERGY CORP TX 2.02,9.01 11/10/09 ATWOOD OCEANICS INC TX 7.01,9.01 11/10/09 AUTHENTIDATE HOLDING CORP DE 1.01,9.01 11/10/09 BAKBONE SOFTWARE INC A6 2.02,9.01 11/10/09 BALLANTYNE STRONG, INC. DE 2.02,9.01 11/09/09 BEAZER HOMES USA INC DE 2.02,9.01 11/10/09 BIOCANCELL THERAPEUTICS INC. 8.01 11/09/09 BITSTREAM INC DE 2.02,9.01 11/10/09 BLONDER TONGUE LABORATORIES INC DE 2.02,9.01 11/10/09 BLUEFLY INC DE 2.02,9.01 11/10/09 BOEING CO DE 8.01 11/09/09 BOSTON PRIVATE FINANCIAL HOLDINGS INC MA 7.01,9.01 11/10/09 Brekford International Corp. DE 1.01,2.03,9.01 11/04/09 Bristow Group Inc DE 5.02 11/09/09 BROADPOINT GLEACHER SECURITIES GROUP, NY 7.01,9.01 11/09/09 Bronco Drilling Company, Inc. DE 7.01,9.01 11/10/09 Brookdale Senior Living Inc. DE 1.01,7.01,9.01 11/09/09 Burger King Holdings Inc DE 5.02,9.01 11/04/09 CABLEVISION SYSTEMS CORP /NY DE 5.03,9.01 11/10/09 CAGLES INC GA 2.02,9.01 11/10/09 CAPSTEAD MORTGAGE CORP MD 7.01,8.01,9.01 11/10/09 CARDIONET INC CA 2.02,9.01 11/10/09 CARMAX INC VA 8.01 11/10/09 CARTERS INC DE 4.02 11/09/09 CAVIUM NETWORKS, INC. 1.01,3.02,9.01 11/06/09 Celsion CORP MD 2.02 11/10/09 Celsius Holdings, Inc. NV 2.02,7.01,9.01 11/02/09 CENTURY CASINOS INC /CO/ DE 5.02,9.01 11/10/09 CENTURY PROPERTIES FUND XIX CA 1.01,2.03,9.01 11/04/09 CHARLES & COLVARD LTD NC 1.01,9.01 11/10/09 CHDT CORP FL 8.01,9.01 11/05/09 China Architectural Engineering, Inc. DE 5.02 11/05/09 China Holdings Acquisition Corp. DE 8.01,9.01 11/10/09 CHINACAST EDUCATION CORP DE 2.02,9.01 11/09/09 CHIPOTLE MEXICAN GRILL INC 8.01,9.01 11/09/09 CINCINNATI FINANCIAL CORP OH 7.01,9.01 11/10/09 Clearwire Corp /DE DE 1.01,3.02,5.03,7.01,8.01,9.01 11/09/09 Clearwire Corp /DE DE 2.02,9.01 11/10/09 CLENERGEN Corp NV 1.01,2.01,3.02,5.01,5.02, 11/05/09 5.06,9.01 COACHMEN INDUSTRIES INC IN 8.01,9.01 11/04/09 COFFEE HOLDING CO INC NV 7.01,9.01 11/10/09 COMBINATORX, INC DE 1.02,9.01 11/10/09 COMFORT SYSTEMS USA INC 7.01,9.01 11/10/09 COMMERCIAL METALS CO DE 7.01,9.01 11/09/09 COMVERSE TECHNOLOGY INC/NY/ NY 5.02 11/06/09 CONSOLIDATED WATER CO LTD E6 2.02,9.01 11/09/09 CONTANGO OIL & GAS CO DE 2.02,9.01 11/09/09 Copano Energy, L.L.C. DE 5.02 11/10/09 Corporate Equity Investments, Inc. FL 5.03 07/31/09 AMEND CPI AEROSTRUCTURES INC NY 2.02 11/10/09 CPS TECHNOLOGIES CORP/DE/ DE 2.02 09/26/09 CRACKER BARREL OLD COUNTRY STORE, INC TN 1.01,2.03,7.01,9.01 11/06/09 CRM Holdings, Ltd. 8.01 11/04/09 CrowdGather, Inc. NV 1.01,2.01,2.03,3.02,7.01,9.01 11/09/09 CROWN CRAFTS INC DE 2.02,9.01 11/10/09 CUMBERLAND PHARMACEUTICALS INC 2.02,9.01 11/10/09 CVB FINANCIAL CORP CA 7.01,8.01,9.01 11/09/09 DAWSON GEOPHYSICAL CO TX 2.02,9.01 11/10/09 DEARBORN BANCORP INC /MI/ MI 8.01 11/06/09 DEPOMED INC CA 8.01,9.01 11/09/09 Destination Maternity Corp DE 1.01,5.02,5.03,9.01 11/04/09 DEVELOPERS DIVERSIFIED REALTY CORP OH 8.01,9.01 11/09/09 DIEBOLD INC OH 2.02,9.01 11/10/09 Discover Financial Services DE 7.01,9.01 11/10/09 Doral Energy Corp. NV 4.02,9.01 11/04/09 DOW CHEMICAL CO /DE/ DE 8.01,9.01 10/06/09 Dresser-Rand Group Inc. DE 7.01,9.01 11/09/09 DREW INDUSTRIES INC DE 8.01,9.01 11/09/09 DTE ENERGY CO MI 2.02,9.01 11/10/09 DUKE REALTY CORP IN 5.02,9.01 11/09/09 DYNAVAX TECHNOLOGIES CORP DE 1.01,9.01 11/09/09 ECOLOCAP SOLUTIONS INC. NV 7.01,9.01 11/09/09 ECOSPHERE TECHNOLOGIES INC DE 1.01 11/09/09 EDGE PETROLEUM CORP DE 2.02,9.01 11/09/09 Education Realty Trust, Inc. MD 7.01,9.01 11/10/09 ELEPHANT TALK COMMUNICATIONS INC CA 1.01,3.02 10/30/09 Emdeon Inc. DE 2.02,9.01 11/10/09 ENCISION INC CO 1.01,9.01 11/04/09 ENERNOC INC 5.02,9.01 11/04/09 Enhance Skin Products Inc NV 1.01,2.01,3.02,5.01,5.02,5.06, 08/20/08 AMEND \ 9.01 Entergy Texas, Inc. TX 8.01,9.01 11/10/09 ENTERTAINMENT PROPERTIES TRUST MD 7.01,8.01,9.01 11/09/09 ENTERTAINMENT PROPERTIES TRUST MD 8.01,9.01 11/10/09 ENTORIAN TECHNOLOGIES INC DE 2.02,9.01 11/10/09 EPICEPT CORP 2.02,9.01 11/10/09 EPLUS INC DE 2.02,9.01 11/05/09 EQUITY LIFESTYLE PROPERTIES INC MD 2.02,7.01,9.01 11/10/09 EQUITY ONE, INC. 2.02,7.01 11/10/09 EQUUS TOTAL RETURN, INC. DE 8.01,9.01 11/06/09 EVANS BOB FARMS INC DE 2.02,9.01 11/10/09 EVERGREENBANCORP INC WA 5.02,8.01,9.01 11/05/09 FEDERAL AGRICULTURAL MORTGAGE CORP 2.02,9.01 11/09/09 Federal Home Loan Bank of Atlanta X1 2.03 11/10/09 Federal Home Loan Bank of Boston X1 2.03 11/04/09 Federal Home Loan Bank of Chicago X1 2.03 11/04/09 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 11/04/09 Federal Home Loan Bank of Des Moines X1 2.03,9.01 11/04/09 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 11/04/09 Federal Home Loan Bank of New York X1 2.03,9.01 11/04/09 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 11/04/09 Federal Home Loan Bank of San Francis X1 2.03 11/04/09 Federal Home Loan Bank of Seattle 2.03 11/09/09 Federal Home Loan Bank of Topeka 2.03 11/05/09 FEDEX CORP DE 8.01 11/09/09 FIRST CAPITAL BANCORP, INC. VA 1.02,8.01,9.01 11/09/09 FIRST COMMUNITY BANCSHARES INC /NV/ NV 7.01,9.01 11/10/09 FIRST DATA CORP DE 8.01,9.01 11/10/09 First Federal of Northern Michigan Ba 2.02,9.01 11/09/09 FIRST FINANCIAL BANCORP /OH/ OH 7.01,9.01 11/10/09 FIRST NATIONAL BANCSHARES INC /SC/ SC 3.01,9.01 11/04/09 FIRST WEST VIRGINIA BANCORP INC WV 2.02,9.01 11/09/09 FIRSTCITY FINANCIAL CORP DE 2.02,7.01,9.01 11/10/09 FIRSTCITY FINANCIAL CORP DE 1.01,9.01 11/02/09 FLOTEK INDUSTRIES INC/CN/ DE 3.01,5.02,8.01,9.01 11/05/09 FORGENT NETWORKS INC DE 3.01,9.01 11/02/09 FOSSIL INC DE 2.02,9.01 11/10/09 FPL GROUP INC FL 8.01,9.01 11/10/09 FRANKLIN COVEY CO UT 8.01 11/09/09 FRANKLIN ELECTRIC CO INC IN 7.01,9.01 11/10/09 FREMONT MICHIGAN INSURACORP INC MI 2.02,5.02,8.01,9.01 11/10/09 FUQI INTERNATIONAL, INC. DE 2.02,7.01,9.01 11/09/09 FX ENERGY INC NV 2.02,8.01,9.01 11/09/09 GENERAL CABLE CORP /DE/ DE 8.01,9.01 11/10/09 GENERAL STEEL HOLDINGS INC NV 7.01,9.01 11/10/09 GENEREX BIOTECHNOLOGY CORP DE 3.01,9.01 11/09/09 GENWORTH FINANCIAL INC DE 2.02,9.01 11/10/09 GEOTEC, INC. FL 5.02 11/10/09 GigOptix, Inc. 2.01,3.02,9.01 11/09/09 GILEAD SCIENCES INC DE 5.02 11/04/09 Global Entertainment Holdings, Inc. NV 4.01,9.01 10/27/09 GLOBALSCAPE INC DE 2.02,9.01 11/10/09 GOLDEN STAR RESOURCES LTD 2.02,9.01 11/09/09 Google Inc. DE 8.01,9.01 11/09/09 GRANITE CITY FOOD & BREWERY LTD MN 2.02,9.01 11/09/09 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 11/06/09 Graphics Properties Holdings, Inc. DE 2.02,9.01 06/19/09 Graphics Properties Holdings, Inc. DE 2.02,9.01 10/19/09 GREEN BANKSHARES, INC. TN 8.01,9.01 11/09/09 GREEN PLAINS RENEWABLE ENERGY, INC. IA 2.02,9.01 11/09/09 GUIDED THERAPEUTICS INC DE 9.01 11/10/09 GULF RESOURCES, INC. DE 8.01,9.01 11/04/09 GULFSTREAM INTERNATIONAL GROUP INC DE 2.02,9.01 11/10/09 HACKETT GROUP, INC. FL 2.02,9.01 11/10/09 HANSEN MEDICAL INC 4.02 11/09/09 Harris Stratex Networks, Inc. DE 8.01 11/10/09 HAWK CORP DE 2.02,9.01 11/09/09 Healthsport, Inc. DE 1.01,3.02,5.01,5.02,9.01 11/04/09 HeartWare International, Inc. DE 8.01,9.01 11/09/09 HEARUSA INC DE 2.02,9.01 11/10/09 HELICOS BIOSCIENCES CORP DE 7.01,9.01 11/09/09 HEWITT ASSOCIATES INC DE 2.02,9.01 11/10/09 Homeowners Choice, Inc. FL 2.02,9.01 11/04/09 HOOPER HOLMES INC NY 2.02,9.01 11/06/09 HORIZON FINANCIAL CORP WA 2.02,9.01 11/09/09 HORIZON FINANCIAL CORP WA 3.01,9.01 11/06/09 HOSPIRA INC DE 8.01 11/10/09 HOUSTON AMERICAN ENERGY CORP DE 7.01,9.01 11/09/09 HPC POS SYSTEM, CORP. NV 8.01,9.01 11/09/09 HSBC Finance Corp 7.01,9.01 11/10/09 HUDSON CITY BANCORP INC DE 7.01,9.01 11/10/09 Huifeng Bio-Pharmaceutical Technology NV 5.02 09/21/09 HUNTINGTON BANCSHARES INC/MD MD 7.01,9.01 11/10/09 ICF International, Inc. DE 5.02,9.01 11/05/09 II-VI INC PA 8.01,9.01 11/06/09 IKONICS CORP 2.02,9.01 11/06/09 INDEPENDENCE HOLDING CO DE 2.02,9.01 09/30/09 INLAND REAL ESTATE CORP MD 8.01 11/10/09 INLAND REAL ESTATE CORP MD 1.01,9.01 11/10/09 INTELLIGENT SYSTEMS CORP GA 8.01,9.01 11/09/09 INTERNATIONAL RECTIFIER CORP /DE/ DE 7.01,9.01 11/09/09 International Stem Cell CORP 5.02,9.01 11/05/09 INTERSECTIONS INC DE 2.02,7.01,9.01 11/09/09 INX Inc DE 2.02,7.01,9.01 11/10/09 JAKKS PACIFIC INC DE 1.01,2.03,3.02,9.01 11/04/09 JAVELIN PHARMACEUTICALS, INC DE 2.02,9.01 11/10/09 JAZZ PHARMACEUTICALS INC DE 1.01,2.03,2.04,3.02,9.01 11/10/09 JEDEDIAH RESOURCES CORP. 5.02 11/09/09 JOHNSONDIVERSEY HOLDINGS INC DE 1.01,7.01,9.01 11/09/09 KAR Auction Services, Inc. DE 2.02,9.01 11/09/09 KLA TENCOR CORP DE 5.02,8.01 11/04/09 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 11/10/09 Lake Victoria Mining Company, Inc. NV 3.02 11/06/09 LAKELAND BANCORP INC NJ 7.01,9.01 11/10/09 LAM RESEARCH CORP DE 5.02,5.03,9.01 11/05/09 LECG CORP DE 1.01,9.01 11/04/09 Liberty Global, Inc. 8.01 11/09/09 Liberty Global, Inc. 8.01,9.01 11/10/09 LIBERTY MEDIA CORP 2.02,8.01,9.01 11/09/09 LIBERTY MEDIA CORP 2.02,8.01,9.01 11/09/09 Life Technologies Corp DE 8.01 11/09/09 Limelight Networks, Inc. DE 8.01,9.01 11/04/09 LIMITED BRANDS INC DE 8.01,9.01 11/10/09 LNB BANCORP INC OH 5.02,9.01 11/05/09 LONGWEI PETROLEUM INVESTMENT HOLDING CO 1.01,3.02,9.01 10/26/09 MAD CATZ INTERACTIVE INC 2.02,9.01 11/10/09 Maidenform Brands, Inc. DE 2.02,9.01 11/10/09 MANAS PETROLEUM Corp NV 1.01 07/08/09 MANPOWER INC /WI/ WI 8.01 10/27/09 MARINER ENERGY INC DE 5.02 11/04/09 MARKWEST ENERGY PARTNERS L P 2.02,9.01 11/09/09 MASTEC INC FL 1.01,2.03,3.02,9.01 11/04/09 MCDONALDS CORP DE 7.01,9.01 11/09/09 MDI, INC. DE 2.01,9.01 09/08/09 AMEND MedClean Technologies, Inc. DE 5.02,8.01,9.01 11/10/09 MEDIA GENERAL INC VA 8.01 11/06/09 MEDICAL PROPERTIES TRUST INC 1.01,9.01 11/09/09 MERCARI COMMUNICATIONS GROUP LTD CO 1.01,3.02,5.01,5.02,9.01 11/09/09 MERCURY COMPUTER SYSTEMS INC MA 7.01,9.01 11/10/09 MEREDITH CORP IA 5.02,9.01 11/04/09 MERIDIAN RESOURCE CORP TX 2.02,9.01 11/09/09 Meruelo Maddux Properties, Inc. DE 7.01,9.01 11/05/09 MIDDLEBY CORP DE 2.02,9.01 11/09/09 MIDEX GOLD CORP. NV 5.01 09/02/09 MIDEX GOLD CORP. NV 4.01 08/12/09 AMEND Momentive Performance Materials Inc. DE 2.02,9.01 11/10/09 MRV COMMUNICATIONS INC DE 2.02,9.01 11/09/09 MSB FINANCIAL CORP. X1 8.01,9.01 11/09/09 MSCI Inc. DE 8.01,9.01 11/05/09 MUNICIPAL MORTGAGE & EQUITY LLC DE 8.01 11/04/09 MWI Veterinary Supply, Inc. DE 7.01,9.01 11/10/09 NATIONWIDE HEALTH PROPERTIES INC MD 8.01,9.01 11/10/09 Neenah Paper Inc DE 2.02,9.01 11/09/09 Neonode, Inc DE 4.01 11/05/09 NeoStem, Inc. DE 5.02 11/04/09 NEULION, INC. 2.02,7.01,9.01 11/10/09 New England Bancshares, Inc. 2.02,9.01 11/09/09 NEW PEOPLES BANKSHARES INC VA 2.02,9.01 11/10/09 NewPage CORP DE 2.02,9.01 11/10/09 NEXTFIT, INC. NV 1.01,9.01 11/10/09 Nicaragua Rising Inc. NV 5.01,5.02 11/05/09 NICHOLAS FINANCIAL INC FL 8.01,9.01 11/10/09 Niusule Biotech Corp. 5.02,9.01 11/06/09 NORTHERN STATES FINANCIAL CORP /DE/ DE 2.02,8.01,9.01 11/10/09 NORTHERN TRUST CORP DE 5.05,8.01,9.01 11/10/09 NORTHROP GRUMMAN CORP /DE/ DE 8.01,9.01 11/08/09 OCEANFIRST FINANCIAL CORP DE 8.01,9.01 11/10/09 OGE ENERGY CORP. OK 8.01,9.01 11/10/09 OMNICITY CORP. NV 3.02,5.02 11/10/09 ON ASSIGNMENT INC DE 5.02 11/10/09 ONVIA INC DE 2.02,9.01 11/10/09 ORACLE CORP 8.01 11/09/09 Orbitz Worldwide, Inc. DE 1.01,3.02,8.01,9.01 11/04/09 OVERSTOCK.COM, INC UT 8.01,9.01 11/09/09 OYO GEOSPACE CORP DE 8.01,9.01 11/10/09 PARK NATIONAL CORP /OH/ OH 7.01,9.01 11/10/09 PARKERVISION INC FL 1.01,8.01,9.01 11/10/09 PEABODY ENERGY CORP DE 7.01,9.01 11/10/09 Peninsula Gaming, LLC DE 2.02 11/10/09 People's United Financial, Inc. DE 7.01,9.01 11/10/09 PEOPLES FINANCIAL SERVICES CORP. PA 5.02 11/10/09 PEPSICO INC NC 8.01,9.01 11/10/09 PERCEPTRON INC/MI MI 1.01,2.02,5.02,9.01 11/05/09 PHARMACEUTICAL HOLDRS TRUST 8.01,9.01 11/10/09 PHC INC /MA/ MA 2.02,9.01 11/10/09 PLC SYSTEMS INC 2.02,9.01 11/10/09 PMC COMMERCIAL TRUST /TX TX 2.02,9.01 11/09/09 POST PROPERTIES INC GA 5.02,9.01 11/10/09 PowerShares DB Multi-Sector Commodity DE 8.01,9.01 11/10/09 PowerShares DB US Dollar Index Trust DE 8.01,9.01 11/10/09 PRAXAIR INC DE 8.01,9.01 11/06/09 Precision Aerospace Components, Inc. 8.01 11/09/09 PRESIDENTIAL LIFE CORP DE 2.02,5.03,8.01,9.01 11/09/09 PRICELINE COM INC DE 2.02,7.01,9.01 11/09/09 ProGreen Properties, Inc. DE 2.03,3.02,9.01 11/05/09 PROGRESSIVE CORP/OH/ OH 7.01,9.01 11/10/09 PROSPER MARKETPLACE INC DE 1.01,2.03,3.02,5.02 11/10/09 Public Storage MD 1.01,9.01 11/04/09 QUADRAMED CORP DE 2.02,9.01 11/05/09 RadNet, Inc. DE 8.01,9.01 11/09/09 RALCORP HOLDINGS INC /MO MO 5.02,7.01,9.01 11/10/09 RALCORP HOLDINGS INC /MO MO 2.02,7.01,9.01 11/10/09 REALOGY CORP DE 2.02,9.01 11/10/09 REGIONS FINANCIAL CORP DE 7.01,9.01 11/10/09 REGIONS FINANCIAL CORP DE 8.01,9.01 11/05/09 RELM WIRELESS CORP NV 2.02,9.01 11/10/09 REPROS THERAPEUTICS INC. DE 3.01,9.01 11/06/09 Revolutions Medical CORP NV 1.01,3.02,9.01 11/05/09 RHI Entertainment, Inc. DE 2.02,9.01 11/10/09 ROCK OF AGES CORP DE 2.02 11/10/09 Rockville Financial Inc. 8.01 11/10/09 RONSON CORP NJ 1.01,2.03,8.01,9.01 11/05/09 Rosca, Inc. NV 5.01,5.03 10/30/09 AMEND SANTARUS INC DE 8.01 11/09/09 SAUER DANFOSS INC DE 5.02 11/09/09 Scripps Networks Interactive, Inc. OH 1.01,9.01 11/05/09 SGS International, Inc. DE 2.02,9.01 11/10/09 Sino Clean Energy Inc NV 8.01,9.01 11/06/09 SKY PETROLEUM, INC. NV 7.01,9.01 11/09/09 Smart Ventures Inc. NV 5.01,5.02,8.01,9.01 08/25/08 AMEND SMITH A O CORP DE 7.01,9.01 11/10/09 SMITHTOWN BANCORP INC NY 8.01 11/09/09 SMSA El Paso II Acquisition Corp NV 1.01,3.02,5.01,5.02,8.01,9.01 11/05/09 Socialwise, Inc. (formerly known as I CO 1.01,9.01 11/09/09 SOTHEBYS DE 2.02,9.01 11/05/09 Source Gold Corp. NE 5.02 11/06/09 SPAR GROUP INC DE 8.01,9.01 11/10/09 SPARTA COMMERCIAL SERVICES, INC. NV 3.02,9.01 11/06/09 SPECTRUM PHARMACEUTICALS INC DE 1.01,9.01 11/06/09 SPEEDEMISSIONS INC FL 2.02,9.01 11/10/09 SPHERIX INC DE 7.01,9.01 11/09/09 SPORT CHALET INC DE 5.02 11/09/09 SPRINT NEXTEL CORP KS 2.05,9.01 11/09/09 SPRINT NEXTEL CORP KS 8.01,9.01 11/09/09 STANCORP FINANCIAL GROUP INC OR 5.02,8.01,9.01 11/09/09 STATE STREET Corp MA 7.01,9.01 11/10/09 STELLAR PHARMACEUTICALS INC 2.02,9.01 11/06/09 AMEND STERLING BANCORP NY 5.02 11/04/09 STERLING CHEMICALS INC DE 2.02,7.01,9.01 11/10/09 STEVEN MADDEN, LTD. 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