RECENT 8K FILINGS December 16, 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 Century Bancshares, Inc. DE 5.02,9.01 12/14/09 1st Pacific Bancorp CA 1.01,3.01,5.02,8.01,9.01 12/10/09 AbitibiBowater Inc. DE 1.01,2.03,8.01,9.01 12/09/09 Abraxis BioScience, Inc. DE 5.02 12/10/09 ACACIA RESEARCH CORP DE 7.01,9.01 12/14/09 ACCURAY INC DE 1.01 12/11/09 ACHILLION PHARMACEUTICALS INC 8.01,9.01 12/14/09 ADDVANTAGE TECHNOLOGIES GROUP INC OK 2.02,7.01,9.01 12/15/09 ADOBE SYSTEMS INC DE 2.02,9.01 12/15/09 ADVANCED MEDICAL INSTITUTE INC. NV 5.02 12/08/09 Advaxis, Inc. DE 8.01,9.01 12/15/09 AES CORP DE 2.06,7.01 12/11/09 Aircastle LTD D0 7.01,9.01 12/14/09 ALICO INC FL 2.02,9.01 12/14/09 ALLEGHENY TECHNOLOGIES INC DE 5.02 12/09/09 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 12/15/09 ALLIANCE HEALTHCARD INC 2.02,9.01 12/11/09 AMERICAN EXPRESS CO NY 7.01 12/15/09 AMERICAN INTERNATIONAL VENTURES INC / DE 5.02 12/10/09 AMERICAN OIL & GAS INC NV 7.01,9.01 12/15/09 AMERICAN SUPERCONDUCTOR CORP /DE/ DE 5.02 12/11/09 AMERISOURCEBERGEN CORP DE 8.01,9.01 12/15/09 AMYLIN PHARMACEUTICALS INC DE 8.01,9.01 12/15/09 ANGELES INCOME PROPERTIES LTD II CA 1.01,9.01 12/09/09 ANSYS INC DE 5.02 12/09/09 ante4, Inc DE 5.02 12/09/09 APOLLO GOLD CORP B0 1.01,9.01 12/09/09 APOLLO INVESTMENT CORP MD 8.01,9.01 12/15/09 ARI NETWORK SERVICES INC /WI WI 2.02,9.01 12/15/09 ARIAD PHARMACEUTICALS INC DE 8.01,9.01 12/14/09 ARKANSAS BEST CORP /DE/ DE 1.01,2.03,5.02,8.01,9.01 12/09/09 ARRAY BIOPHARMA INC DE 1.01,9.01 12/13/09 Arrayit Corp NV 3.02,5.02,9.01 12/11/09 ARVINMERITOR INC IN 7.01,9.01 12/14/09 ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 12/15/09 ASHLAND INC. KY 8.01 12/15/09 ASPEN EXPLORATION CORP DE 1.01,5.02 12/15/09 ATHENAHEALTH INC DE 5.02,9.01 12/11/09 ATHEROS COMMUNICATIONS INC DE 2.01,9.01 12/15/09 ATP OIL & GAS CORP TX 5.03,9.01 12/09/09 AUSTRALIAN OIL & GAS CORP DE 8.01,9.01 12/15/09 AVNET INC NY 8.01,9.01 12/14/09 BAKERS FOOTWEAR GROUP INC MO 2.02,7.01,9.01 12/09/09 BANK OF NEW ENGLAND CORP MA 1.03 11/30/09 BEAR STEARNS DEPOSITOR INC TRUST CERT 8.01,9.01 12/01/09 BEST BUY CO INC MN 2.02,9.01 12/15/09 BIO RAD LABORATORIES INC DE 3.01 12/09/09 BIOFORM MEDICAL INC DE 5.02 12/09/09 BION ENVIRONMENTAL TECHNOLOGIES INC CO 1.01,7.01,9.01 11/20/09 BJS WHOLESALE CLUB INC DE 5.02,9.01 12/10/09 BLACK HAWK EXPLORATION 1.01,2.01,9.01 12/10/09 BLACKBOARD INC DE 8.01,9.01 12/14/09 Blue Gem Enterprise 1.01,7.01,9.01 12/08/09 BOSTON BEER CO INC MA 2.02,9.01 12/15/09 BRINX RESOURCES LTD 5.03,8.01,9.01 12/11/09 BROADCOM CORP CA 8.01 12/14/09 BRT REALTY TRUST MA 2.02,9.01 12/14/09 BUCKLE INC NE 8.01,9.01 12/15/09 CABELAS INC DE 7.01,9.01 12/15/09 CALIFORNIA MICRO DEVICES CORP CA 1.01,3.03,5.02,8.01,9.01 12/11/09 CALIFORNIA MICRO DEVICES CORP CA 1.01,8.01,9.01 12/14/09 CANAL Corp VA 8.01,9.01 12/14/09 CAPITAL GROWTH SYSTEMS INC /FL/ FL 2.01,9.01 11/20/08 AMEND CAPITAL ONE FINANCIAL CORP DE 7.01,9.01 12/14/09 CARDIONET INC CA 5.02,8.01 12/14/09 Cardium Therapeutics, Inc. DE 8.01,9.01 12/14/09 CAREER EDUCATION CORP DE 8.01,9.01 12/14/09 CAREER EDUCATION CORP DE 8.01 12/14/09 CARLISLE COMPANIES INC DE 2.05,2.06 12/09/09 CASELLA WASTE SYSTEMS INC DE 8.01 12/15/09 CASEYS GENERAL STORES INC IA 7.01 12/15/09 CATERPILLAR INC DE 5.03,9.01 12/08/09 CBL & ASSOCIATES PROPERTIES INC DE 5.02,7.01,9.01 12/11/09 CEPHALON INC DE 8.01 12/11/09 Chaparral Energy, Inc. DE 1.02 12/15/09 CHARTER COMMUNICATIONS INC /MO/ DE 5.02,7.01,9.01 12/10/09 AMEND CHASE CREDIT CARD MASTER TRUST NY 8.01,9.01 12/15/09 Chemtura CORP DE 7.01,9.01 12/15/09 CHILDRENS PLACE RETAIL STORES INC 1.01,5.02,9.01 12/11/09 China Interactive Education, Inc. NV 1.01,2.01,3.02,5.01,5.02,5.06, 12/15/09 9.01 CHINA NORTH EAST PETROLEUM HOLDINGS L NV 1.01,9.01 12/11/09 CHORDIANT SOFTWARE INC DE 7.01,9.01 12/15/09 CITIBANK OMNI-S MASTER TRUST 8.01 12/15/09 CITIGROUP INC DE 9.01 12/15/09 Clearwire Corp /DE DE 1.01,2.03,5.05,9.01 12/09/09 Coda Octopus Group, Inc. DE 5.02,9.01 12/14/09 COHERENT INC DE 5.02 12/09/09 COLUMBIA BANCORP \OR\ OR 5.02 12/03/09 CONVENIENTCAST INC. NV 5.02 12/14/09 CORRECTIONS CORP OF AMERICA MD 5.02 12/09/09 CROWN HOLDINGS INC PA 5.02,9.01 12/10/09 CSP INC /MA/ MA 2.02,9.01 12/14/09 Cyclacel Pharmaceuticals, Inc. DE 3.01,9.01 12/09/09 DELTA AIR LINES INC /DE/ DE 7.01,9.01 12/15/09 DELTEK, INC DE 1.01,9.01 12/15/09 Deltron, Inc. NV 8.01 10/22/09 AMEND DIAMOND OFFSHORE DRILLING INC DE 7.01,9.01 12/15/09 DiamondRock Hospitality Co 8.01,9.01 12/15/09 DIGITAL ANGEL CORP DE 1.01,2.03,3.02,7.01,9.01 12/14/09 DOCUMENT SECURITY SYSTEMS INC NY 1.01,2.03,3.02,9.01 12/15/09 DREAMS INC UT 7.01,9.01 12/15/09 EDGE PETROLEUM CORP DE 1.01,7.01,8.01,9.01 12/09/09 Electric Moto Corp /DE/ DE 8.01,9.01 12/15/09 ELEMENT 21 GOLF CO DE 1.01,9.01 12/10/09 EMERGING MEDIA HOLDINGS INC NV 9.01 10/01/09 AMEND ENCORE ACQUISITION CO DE 1.01,9.01 12/09/09 ENERGY XXI (BERMUDA) LTD D0 5.02,5.03,9.01 12/11/09 ENERGY XXI (BERMUDA) LTD D0 8.01,9.01 12/15/09 ENERGY XXI (BERMUDA) LTD D0 5.02 12/11/09 ENPRO INDUSTRIES, INC NC 5.02,9.01 12/11/09 ENSCO INTERNATIONAL INC DE 2.02,9.01 12/14/09 ENTREMED INC DE 8.01,9.01 12/11/09 ev3 Inc. DE 5.02,5.05,9.01 12/10/09 EVERGREEN ENERGY INC DE 3.02 12/09/09 FACET BIOTECH CORP DE 1.01,9.01 12/15/09 FACTSET RESEARCH SYSTEMS INC DE 2.02,9.01 12/15/09 FAIRCHILD SEMICONDUCTOR INTERNATIONAL DE 5.02 12/09/09 Federal Home Loan Bank of Atlanta X1 2.03 12/15/09 Federal Home Loan Bank of Boston X1 2.03 12/09/09 Federal Home Loan Bank of Chicago X1 2.03 12/09/09 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 12/09/09 Federal Home Loan Bank of Des Moines X1 2.03,9.01 12/09/09 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 12/09/09 Federal Home Loan Bank of Indianapoli X1 5.02,9.01 12/11/09 Federal Home Loan Bank of New York X1 2.03,9.01 12/09/09 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 12/09/09 Federal Home Loan Bank of San Francis X1 2.03 12/09/09 Federal Home Loan Bank of Seattle 2.03 12/14/09 Federal Home Loan Bank of Topeka 2.03 12/09/09 FERRO CORP OH 5.02,9.01 12/11/09 FIRST REAL ESTATE INVESTMENT TRUST OF NJ 2.02,9.01 12/15/09 FLINT TELECOM GROUP INC. NV 1.01,2.03,2.04,9.01 12/09/09 FPL GROUP INC FL 5.02 10/16/09 AMEND FRANKLIN CREDIT HOLDING CORP/DE/ DE 8.01,9.01 12/15/09 FRANKLIN FINANCIAL SERVICES CORP /PA/ PA 5.02 12/10/09 Freescale Semiconductor Holdings I, L D0 8.01 12/15/09 FREESCALE SEMICONDUCTOR INC DE 8.01 12/15/09 FRONTIER COMMUNICATIONS CORP DE 8.01,9.01 12/15/09 FRONTIER FINANCIAL CORP /WA/ WA 8.01,9.01 12/15/09 GEN PROBE INC DE 8.01,9.01 12/10/09 GEORGIA POWER CO GA 8.01,9.01 12/08/09 GERBER SCIENTIFIC INC CT 2.02,8.01 12/15/09 GERMAN AMERICAN BANCORP, INC. IN 1.01,2.03,9.01 12/10/09 GERON CORP DE 5.02 12/14/09 GigOptix, Inc. DE 1.01,9.01 12/09/09 GLOBAL PARTNERS LP 3.03,8.01,9.01 12/09/09 GRANITE CITY FOOD & BREWERY LTD MN 3.01,9.01 12/11/09 GREENBRIER COMPANIES INC DE 8.01,9.01 12/15/09 Guinness Exploration, Inc NV 5.02 12/10/09 GVC VENTURE CORP DE 5.03,9.01 12/11/09 Hana Biosciences Inc DE 5.02 12/09/09 HANSEN NATURAL CORP DE 7.01,9.01 12/15/09 HARDINGE INC NY 1.01,2.03,9.01 12/10/09 HARDINGE INC NY 8.01,9.01 12/10/09 HARLEY DAVIDSON INC WI 5.02 12/09/09 HAWKER BEECHCRAFT ACQUISITION CO LLC DE 7.01,9.01 12/15/09 HEMACARE CORP /CA/ CA 1.01,2.03,9.01 12/09/09 HERSHA HOSPITALITY TRUST MD 1.01,9.01 12/11/09 HESS CORP DE 8.01,9.01 12/09/09 Horsehead Holding Corp 1.02,9.01 12/11/09 HOST HOTELS & RESORTS L.P. DE 8.01,9.01 12/15/09 HOST HOTELS & RESORTS, INC. MD 8.01,9.01 12/15/09 Hyatt Hotels Corp DE 5.02 12/09/09 ICF International, Inc. DE 1.01,8.01,9.01 12/10/09 IMAGE ENTERTAINMENT INC DE 1.01,2.04,8.01,9.01 12/09/09 IMS HEALTH INC DE 8.01,9.01 12/15/09 INDIANA COMMUNITY BANCORP IN 8.01,9.01 12/15/09 INTELLIGROUP INC NJ 1.01,9.01 12/10/09 INTELLON CORP DE 8.01,9.01 12/11/09 INTELLON CORP DE 1.01,5.02,9.01 12/14/09 INTERNATIONAL ABSORBENTS INC A1 1.01,8.01,9.01 12/14/09 INTERNET ARCHITECTURE HOLDRSSM TRUST NY 8.01,9.01 12/15/09 INTERNET HOLDRS TRUST NY 8.01,9.01 12/15/09 INTERVEST BANCSHARES CORP DE 5.02 12/10/09 IOWA TELECOMMUNICATIONS SERVICES INC IA 7.01,9.01 12/15/09 IRIDEX CORP DE 5.02,9.01 12/09/09 KILLBUCK BANCSHARES INC OH 8.01,9.01 12/15/09 Kohlberg Capital CORP DE 4.02,5.02,7.01,9.01 12/10/09 KRAFT FOODS INC VA 7.01,9.01 12/15/09 Kraton Polymers LLC 5.02,9.01 12/08/09 KV PHARMACEUTICAL CO /DE/ DE 5.02 12/11/09 KV PHARMACEUTICAL CO /DE/ DE 8.01,9.01 12/15/09 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 12/15/09 LAKELAND FINANCIAL CORP IN 7.01,9.01 12/15/09 LAND O LAKES INC 8.01 12/15/09 LANDEC CORP \CA\ CA 1.01,5.02,9.01 12/10/09 LAW ENFORCEMENT ASSOCIATES CORP NV 8.01,9.01 12/11/09 LEAPFROG ENTERPRISES INC 5.02 12/14/09 Liberty Global, Inc. 7.01 12/15/09 LIFEPOINT HOSPITALS, INC. 5.02,9.01 12/09/09 LIGAND PHARMACEUTICALS INC DE 1.01 12/09/09 Lightning Gaming, Inc. NV 1.01,3.02,9.01 12/08/09 Liquor Group Wholesale, Inc. 4.01 12/15/09 LNB BANCORP INC OH 7.01,9.01 12/15/09 MAGELLAN HEALTH SERVICES INC DE 8.01,9.01 12/15/09 MARKET 2000 PLUS HOLDRS SM TRUST NY 8.01,9.01 12/15/09 MAXXAM INC DE 3.03 12/11/09 MEADWESTVACO Corp DE 5.03,9.01 12/11/09 MECHANICAL TECHNOLOGY INC NY 1.01,9.01 12/15/09 MEDICINOVA INC DE 8.01,9.01 12/15/09 MEDIWARE INFORMATION SYSTEMS INC NY 1.01,7.01,9.01 12/11/09 MEGOLA INC 1.01,8.01,9.01 12/11/09 MENTOR GRAPHICS CORP OR 5.03,9.01 12/10/09 MERIDIAN BIOSCIENCE INC OH 8.01 12/15/09 MERIDIAN INTERSTATE BANCORP INC 5.02,9.01 12/09/09 MGP INGREDIENTS INC KS 5.02,9.01 11/11/09 MICRON TECHNOLOGY INC DE 5.03 12/10/09 MIDAS INC DE 1.01,3.03,9.01 12/14/09 ModusLink Global Solutions Inc DE 5.02,9.01 12/09/09 MONTEREY GOURMET FOODS DE 2.01,2.04,3.01,3.02,3.03,5.01, 12/10/09 5.02,5.03,9.01 MORGAN CREEK ENERGY CORP NV 5.02,9.01 12/08/09 MOSAIC CO DE 1.01 12/09/09 MOSAIC CO DE 5.02 12/09/09 National Golf Emporium, Inc. NV 5.02 12/10/09 NATURAL GAS SERVICES GROUP INC 5.02 12/15/09 NEOGENOMICS INC NV 5.02,9.01 12/07/09 NEPHROS INC DE 1.01,9.01 12/14/09 NEUSTAR INC 5.02,9.01 12/09/09 NEW ENERGY SYSTEMS GROUP NV 1.01,9.01 12/11/09 NEWMONT MINING CORP /DE/ DE 8.01,9.01 12/14/09 NewStar Financial, Inc. 1.01,5.02,8.01,9.01 12/11/09 NEXAIRA WIRELESS INC. 1.01,2.01,3.02,5.02,9.01 12/14/09 AMEND NEXAIRA WIRELESS INC. 1.01,2.01,3.02,5.02,9.01 12/14/09 AMEND NII HOLDINGS INC DE 1.01,2.03,9.01 12/09/09 NORTHSTAR REALTY 5.02 12/15/09 Oak Ridge Financial Services, Inc. NC 5.02,9.01 12/10/09 OCEAN SHORE HOLDING CO X1 8.01,9.01 12/14/09 Ocean Shore Holding Co. NJ 8.01,9.01 12/14/09 OIL STATES INTERNATIONAL, INC DE 8.01,9.01 12/15/09 ONLINE RESOURCES CORP DE 5.02 12/14/09 OVERSEAS SHIPHOLDING GROUP INC DE 8.01,9.01 12/11/09 PACER INTERNATIONAL INC TN 5.02,9.01 12/15/09 PEOPLES EDUCATIONAL HOLDINGS MN 7.01,9.01 12/15/09 PepperBall Technologies, Inc. CO 1.01,2.03,3.02,9.01 12/10/09 PIMI AGRO CLEANTECH, INC. DE 8.01,9.01 12/14/09 PINNACLE ENTERTAINMENT INC DE 5.02,9.01 12/10/09 PITNEY BOWES INC /DE/ DE 2.05,7.01 12/15/09 POINT BLANK SOLUTIONS, INC. DE 1.01,5.02,9.01 12/09/09 POTASH CORP OF SASKATCHEWAN INC 1.01,1.02,2.03,9.01 12/14/09 PPL CORP PA 7.01 12/15/09 PREMIER FINANCIAL BANCORP INC KY 2.03,9.01 12/11/09 PRICELINE COM INC DE 8.01,9.01 12/15/09 PROVIDENCE & WORCESTER RAILROAD CO/RI RI 5.02 12/15/09 PROVIDENT FINANCIAL HOLDINGS INC DE 7.01,9.01 12/15/09 PTM Publications INC NV 5.02 10/27/09 PUBLIC SERVICE CO OF NEW HAMPSHIRE NH 2.03,9.01 12/14/09 Pure Earth, Inc. DE 1.01,3.02,3.03,5.03,9.01 11/30/09 AMEND QLT INC/BC A1 8.01,9.01 12/15/09 QUESTCOR PHARMACEUTICALS INC CA 5.02,9.01 12/10/09 RACKSPACE HOSTING, INC. 5.02,7.01,8.01,9.01 12/14/09 RAILAMERICA INC /DE DE 5.02,9.01 12/15/09 Raptor Pharmaceutical Corp DE 1.01,9.01 12/09/09 RAYONIER INC NC 5.02,9.01 12/10/09 RED HAT INC DE 2.02,9.01 12/15/09 RENTECH INC /CO/ CO 2.02,9.01 12/14/09 RENTRAK CORP OR 1.01,9.01 12/14/09 RETAIL VENTURES INC OH 4.02 12/15/09 RETAIL VENTURES INC OH 2.02,9.01 12/15/09 RHI Entertainment, Inc. DE 5.02 12/09/09 ROCK OF AGES CORP DE 1.01 12/15/09 SALEM COMMUNICATIONS CORP /DE/ DE 8.01,9.01 12/15/09 SALEM COMMUNICATIONS CORP /DE/ DE 5.02,8.01,9.01 12/10/09 SANDRIDGE ENERGY INC DE 1.01,8.01,9.01 12/09/09 Searchlight Minerals Corp. NV 7.01,9.01 12/15/09 SEATTLE GENETICS INC /WA DE 1.01,9.01 12/14/09 SELECT COMFORT CORP MN 8.01,9.01 12/14/09 SEMTECH CORP DE 1.01,2.01,7.01,8.01,9.01 12/09/09 SHERWIN WILLIAMS CO OH 5.02 12/14/09 SILICON IMAGE INC DE 1.01,5.02 12/09/09 SINOHUB, INC. DE 1.01,9.01 12/10/09 AMEND SIRONA DENTAL SYSTEMS, INC. DE 1.01,9.01 12/11/09 SKY PETROLEUM, INC. NV 7.01,9.01 12/15/09 SL GREEN REALTY CORP MD 5.02,9.01 12/09/09 SMOKY MARKET FOODS INC NV 7.01 12/15/09 SPARTECH CORP DE 2.02,9.01 12/14/09 SPONGETECH DELIVERY SYSTEMS INC DE 1.01,9.01 12/14/09 Sports Properties Acquisition Corp. DE 8.01,9.01 12/15/09 SUNAIR SERVICES CORP FL 8.01,9.01 12/14/09 SUNPOWER CORP DE 7.01,9.01 12/15/09 Susser Holdings CORP DE 5.02,9.01 12/10/09 Susser Holdings CORP DE 9.01 11/13/07 AMEND SWORDFISH FINANCIAL, INC. MN 4.01,9.01 12/04/09 AMEND SYMANTEC CORP DE 8.01,9.01 12/14/09 SYNERGETICS USA INC 2.02,5.02,9.01 12/09/09 TARA GOLD RESOURCES CORP. NV 2.01 12/03/09 TECHTEAM GLOBAL INC DE 5.02,5.03,9.01 12/09/09 TECUMSEH PRODUCTS CO MI 5.02,9.01 12/15/09 TEREX CORP DE 5.02 12/09/09 THERAVANCE INC DE 8.01 12/15/09 TIDEWATER INC DE 8.01,9.01 12/09/09 TIDEWATER INC DE 5.02,9.01 12/11/09 TIMBERLAND BANCORP INC WA 2.02,9.01 12/11/09 TIME WARNER CABLE INC. DE 5.02 12/09/09 TN-K ENERGY GROUP INC. DE 7.01,9.01 12/15/09 TOPSPIN MEDICAL INC 5.02 12/09/09 TOYS R US INC DE 7.01,9.01 12/15/09 Transcept Pharmaceuticals Inc DE 7.01,9.01 12/14/09 TRANSWITCH CORP /DE DE 7.01,9.01 12/15/09 TREDEGAR CORP VA 5.02,5.03,8.01,9.01 12/09/09 TRIMAS CORP DE 7.01,8.01,9.01 12/14/09 TRUSTCO BANK CORP N Y NY 8.01,9.01 12/15/09 TSR INC DE 3.01,9.01 12/15/09 TTM TECHNOLOGIES INC WA 8.01,9.01 12/14/09 Tyco Electronics Ltd. D0 5.03,9.01 12/15/09 TYCO INTERNATIONAL LTD /BER/ D0 8.01 12/14/09 UPSTREAM BIOSCIENCES INC. 1.01,1.02,2.01,2.06,3.02,5.02, 12/04/09 7.01,9.01 UQM TECHNOLOGIES INC CO 1.01,2.01,9.01 12/15/09 VENTURE LENDING & LEASING IV INC MD 5.02 12/15/09 Venture Lending & Leasing V, Inc. MD 5.02 12/15/09 VERMILLION, INC. DE 1.01,8.01,9.01 12/10/09 VINEYARD NATIONAL BANCORP CA 1.03,9.01 12/15/09 VOXWARE INC DE 8.01,9.01 12/10/09 WALTER INVESTMENT MANAGEMENT CORP MD 2.02,9.01 12/15/09 Waste2Energy Holdings, Inc. DE 1.01,2.03,3.02,9.01 12/11/09 WCA WASTE CORP 1.01,7.01,9.01 12/09/09 WELLS FARGO & CO/MN DE 8.01,9.01 12/14/09 WEYERHAEUSER CO WA 7.01,9.01 12/10/09 WINDSTREAM CORP DE 8.01,9.01 12/15/09 WISCONSIN ELECTRIC POWER CO WI 8.01,9.01 12/08/09 WNC CALIFORNIA HOUSING TAX CREDITS LP CA 2.02,9.01 12/15/09 WPCS INTERNATIONAL INC DE 2.02,7.01,9.01 12/15/09 XILINX INC DE 5.02 12/15/09 XPLORE TECHNOLOGIES CORP DE 1.01,1.02,2.03,9.01 12/10/09 XTO ENERGY INC DE 1.01,5.02,9.01 12/13/09 YESDTC HOLDINGS, INC. NV 1.01,2.03,3.02,5.02,9.01 12/11/09 York Resources, Inc. NV 5.01 12/09/09 YOUNG INNOVATIONS INC MO 8.01 12/15/09 Zoro Mining Corp. NV 8.01 12/15/09 ZST Digital Networks, Inc. DE 5.02 12/11/09 ZYMOGENETICS INC WA 8.01 12/15/09