RECENT 8K FILINGS November 15, 2010 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 2.02,9.01 11/11/10 8X8 INC /DE/ DE 7.01 11/09/10 A. H. Belo CORP DE 5.02,9.01 11/10/10 AASTROM BIOSCIENCES INC MI 1.01,1.02,5.03,9.01 11/08/10 ABAKAN, INC NV 5.02,7.01,9.01 10/20/10 AbitibiBowater Inc. DE 8.01,9.01 11/05/10 Abtech Holdings, Inc. NV 1.01,9.01 11/09/10 ACACIA RESEARCH CORP DE 8.01 11/11/10 ACCELLENT INC 8.01,9.01 11/11/10 ACCELRYS, INC. DE 8.01 11/10/10 Access Plans Inc 8.01,9.01 11/11/10 Access to Money, Inc. OR 2.02,9.01 11/12/10 ACORN ENERGY, INC. DE 1.01,2.02,2.06,5.02,9.01 11/08/10 ADA-ES INC CO 2.02,9.01 11/11/10 Adamis Pharmaceuticals Corp DE 1.01,3.02,5.02,9.01 11/09/10 ADAMS RESOURCES & ENERGY, INC. DE 2.02 09/30/10 Adrenalina NV 1.01,3.02,5.03,9.01 11/09/10 Advanced Life Sciences Holdings, Inc. 2.02,9.01 11/12/10 ADVANT E CORP DE 2.02,9.01 11/11/10 Advaxis, Inc. DE 1.01,2.03,3.02,9.01 11/05/10 AECOM TECHNOLOGY CORP DE 2.02,9.01 11/11/10 AEROCENTURY CORP DE 2.02 11/12/10 AFLAC INC GA 5.02,9.01 11/12/10 AFS SenSub Corp. 1.01,9.01 11/10/10 AGILENT TECHNOLOGIES INC DE 2.02,9.01 11/12/10 AGY Holding Corp. DE 2.02,9.01 11/12/10 AI DOCUMENT SERVICES, INC. DE 4.01,9.01 11/11/10 Aircastle LTD D0 7.01,9.01 11/11/10 ALEXANDERS J CORP TN 2.02,7.01,9.01 11/11/10 ALL AMERICAN GROUP INC IN 2.02,9.01 11/12/10 ALLEGHENY TECHNOLOGIES INC DE 7.01,9.01 11/11/10 ALLIANCEBERNSTEIN HOLDING L.P. DE 7.01,9.01 11/11/10 ALLIANCEBERNSTEIN L.P. DE 7.01,9.01 11/11/10 ALLIED HEALTHCARE PRODUCTS INC DE 7.01,9.01 11/11/10 Allis Chalmers Energy Inc. DE 1.01,5.02,9.01 11/05/10 Ally Auto Assets LLC DE 1.01,8.01,9.01 11/12/10 Alpha Natural Resources, Inc. DE 8.01 11/09/10 AMBAC FINANCIAL GROUP INC DE 5.02 11/05/10 AMBASSADORS INTERNATIONAL INC DE 2.02,9.01 11/11/10 AMCON DISTRIBUTING CO DE 2.02 11/12/10 AMERICAN APPAREL, INC DE 8.01 11/10/10 American Caresource Holdings, Inc. DE 2.02,9.01 11/11/10 American Casino & Entertainment Prope DE 2.02,9.01 11/12/10 AMERICAN CRYSTAL SUGAR CO /MN/ MN 5.07 11/09/10 AMERICAN PACIFIC CORP DE 7.01,9.01 11/12/10 American Paramount Gold Corp. NV 7.01,9.01 11/09/10 AMERICAN REALTY INVESTORS INC NV 5.07 09/16/10 American Reprographics CO DE 8.01,9.01 11/12/10 AMERICAN SPECTRUM REALTY INC MD 2.02,9.01 11/12/10 AMERICAN SUPERCONDUCTOR CORP /DE/ DE 8.01,9.01 11/10/10 AMERICAN TONERSERV CORP. DE 5.02 11/05/10 Amerilithium Corp. NV 8.01,9.01 11/02/10 AMERITRANS CAPITAL CORP DE 5.02 11/10/10 Ampio Pharmaceuticals, Inc. DE 1.01,3.02,5.02,8.01,9.01 11/05/10 AMSCAN HOLDINGS INC DE 7.01,9.01 11/12/10 ANADARKO PETROLEUM CORP DE 5.02 11/09/10 ANDAIN, INC. NV 4.01,9.01 09/09/09 ANGELES PARTNERS X CA 1.01,9.01 11/11/10 APACHE CORP DE 1.01,2.01,2.03,7.01,9.01 11/10/10 Apollo Commercial Real Estate Finance MD 5.02 11/10/10 APOLLO SOLAR ENERGY, INC. NV 1.01 11/12/10 APOLO GOLD & ENERGY INC. NV 5.02,5.03,5.07,9.01 10/29/10 APPLIED MICRO CIRCUITS CORP DE 1.01 11/08/10 Approach Resources Inc DE 1.01,9.01 11/10/10 ARADIGM CORP CA 2.02,9.01 11/11/10 ARBINET Corp DE 1.01,2.02,8.01,9.01 11/10/10 ARBINET Corp DE 1.01,9.01 11/10/10 ARCHER DANIELS MIDLAND CO DE 5.07 11/04/10 ARENA PHARMACEUTICALS INC DE 8.01 11/09/10 Argo Group International Holdings, Lt 5.02,9.01 11/09/10 Armour Residential REIT, Inc. MD 2.02,9.01 11/12/10 Ascent Solar Technologies, Inc. DE 1.01,8.01,9.01 11/11/10 ASHFORD HOSPITALITY TRUST INC MD 5.03,9.01 11/09/10 ASPEN INSURANCE HOLDINGS LTD D0 1.01,2.03,7.01,9.01 11/12/10 Atlantic Broadband Finance, LLC DE 8.01,9.01 11/12/10 Atlantic Green Power Holding Co DE 4.02 11/12/10 ATLANTIC POWER CORP A1 2.02,9.01 11/10/10 Atlas Energy Resources, LLC DE 1.01,8.01,9.01 11/08/10 ATLAS ENERGY, INC. DE 1.01,5.02,8.01,9.01 11/08/10 Atlas Pipeline Holdings, L.P. DE 1.01,3.02,8.01,9.01 11/08/10 ATLAS PIPELINE PARTNERS LP DE 1.01,8.01,9.01 11/08/10 AUTHENTEC INC DE 2.05 11/12/10 AUTHENTIDATE HOLDING CORP DE 2.02,9.01 11/11/10 AUTOBYTEL INC DE 2.01,9.01 09/16/10 AMEND AUTOMATIC DATA PROCESSING INC DE 5.07 11/11/10 AVIAT NETWORKS, INC. DE 5.07 11/09/10 AXION INTERNATIONAL HOLDINGS, INC. CO 5.02 11/08/10 B Green Innovations, Inc. NJ 8.01,9.01 11/03/10 Babcock & Wilcox Co DE 7.01 11/12/10 Bancorp, Inc. 7.01,9.01 11/10/10 BARRETT BUSINESS SERVICES INC MD 7.01,9.01 11/11/10 BECTON DICKINSON & CO NJ 8.01,9.01 11/08/10 Behringer Harvard Opportunity REIT II MD 9.01 09/17/10 AMEND BELDEN INC. DE 8.01,9.01 11/11/10 BELL INDUSTRIES INC /NEW/ CA 2.02,9.01 11/12/10 BERRY PLASTICS CORP DE 7.01,9.01 11/10/10 BIO BRIDGE SCIENCE INC DE 5.02 11/11/10 BIODELIVERY SCIENCES INTERNATIONAL IN DE 8.01,9.01 11/12/10 BIOJECT MEDICAL TECHNOLOGIES INC OR 2.02,9.01 11/10/10 BIONOVO INC DE 8.01,9.01 11/10/10 BIONOVO INC DE 2.02,9.01 11/11/10 BIOSANTE PHARMACEUTICALS INC DE 2.02,9.01 11/12/10 BIRNER DENTAL MANAGEMENT SERVICES INC CO 2.02,9.01 11/11/10 BlackRock Inc. DE 1.01,3.02,9.01 11/08/10 Blue Earth, Inc. DE 4.01,5.03,9.01 10/29/10 BLUEGREEN CORP MA 2.02,9.01 11/09/10 BMC SOFTWARE INC DE 5.03 11/10/10 BMP Sunstone CORP DE 2.02,9.01 11/09/10 BNC BANCORP NC 7.01,9.01 11/11/10 BNL FINANCIAL CORP IA 8.01 11/08/10 BOYD GAMING CORP NV 1.01,2.03,3.03,8.01,9.01 11/09/10 BRINKER INTERNATIONAL INC DE 5.07,7.01,8.01,9.01 11/10/10 Bronco Drilling Company, Inc. DE 7.01,9.01 10/31/10 Brookdale Senior Living Inc. DE 1.01,9.01 11/08/10 BROOKS AUTOMATION INC DE 5.02 11/08/10 BRUSH ENGINEERED MATERIALS INC 1.01,9.01 11/10/10 BSQUARE CORP /WA WA 2.02,9.01 11/11/10 Burger King Holdings Inc DE 8.01,9.01 11/12/10 Burger King Holdings Inc DE 8.01,9.01 11/12/10 BUTLER NATIONAL CORP DE 8.01,9.01 11/11/10 CALIFORNIA PIZZA KITCHEN, INC. DE 2.02,9.01 11/11/10 CALYPSO MEDIA SERVICES GROUP, INC DE 1.02 11/10/10 Campus Crest Communities, Inc. MD 5.02 10/22/10 AMEND CANTERBURY PARK HOLDING CORP MN 2.02,9.01 11/12/10 CAPITAL BANK CORP NC 2.02,9.01 11/12/10 CAPRIUS INC DE 5.02,9.01 11/05/10 CAPRIUS INC DE 1.01,7.01,9.01 11/10/10 Capstone Therapeutics Corp. DE 3.01 11/11/10 CAPSTONE TURBINE Corp DE 1.01,9.01 11/09/10 CARDICA INC DE 2.02,9.01 11/11/10 CARDINAL BANKSHARES CORP VA 8.01,9.01 11/12/10 CARDINAL HEALTH INC OH 1.01,9.01 11/09/10 CARDIONET INC CA 1.01,9.01 11/05/10 Cardium Therapeutics, Inc. DE 8.01,9.01 11/08/10 CARDTRONICS INC DE 5.02,9.01 11/10/10 Caribou Coffee Company, Inc. MN 2.02,9.01 11/11/10 CARMAX AUTO FUNDING LLC DE 8.01,9.01 11/10/10 CASCADE BANCORP OR 1.01,9.01 11/05/10 CATERPILLAR INC DE 5.02 11/11/10 AMEND CECO ENVIRONMENTAL CORP DE 2.02,9.01 11/11/10 CENTERLINE HOLDING CO DE 2.02,9.01 09/30/10 CENTRAL FEDERAL CORP DE 2.02,9.01 11/12/10 CERUS CORP DE 1.01,8.01,9.01 11/10/10 Chemtura CORP DE 1.01,1.02,2.03,3.02,3.03,5.02, 11/10/10 5.03,9.01 Chemtura CORP DE 8.01,9.01 11/12/10 CHESAPEAKE UTILITIES CORP DE 7.01,9.01 11/09/10 China Armco Metals, Inc. NV 7.01,9.01 11/11/10 CHINA ELECTRIC MOTOR, INC. DE 2.02,7.01,9.01 11/11/10 CHINA JO-JO DRUGSTORES, INC. 8.01,9.01 11/12/10 CHINA MARINE FOOD GROUP LTD NV 2.02,9.01 11/10/10 CHINA SHEN ZHOU MINING & RESOURCES, I NV 5.02 11/12/10 China SHESAYS Medical Cosmetology Inc NV 1.01,3.02,9.01 11/12/10 China TransInfo Technology Corp. NV 2.02,7.01,9.01 11/12/10 CIB MARINE BANCSHARES INC WI 5.02,8.01,9.01 11/12/10 CIBER INC DE 8.01,9.01 11/09/10 CINCINNATI BELL INC OH 1.01,2.03,8.01,9.01 11/12/10 Cinedigm Digital Cinema Corp. DE 2.02,9.01 11/11/10 Cinedigm Digital Cinema Corp. DE 8.01,9.01 11/11/10 CIT GROUP INC DE 8.01,9.01 11/10/10 CLAIBORNE LIZ INC DE 2.02,9.01 11/12/10 CLAYTON WILLIAMS ENERGY INC /DE DE 7.01,9.01 11/12/10 Clean Energy Fuels Corp. DE 1.01,9.01 11/10/10 Clearfield, Inc. MN 2.02,5.02,9.01 11/11/10 CLIFTON SAVINGS BANCORP INC 1.01,9.01 11/08/10 CNB CORP /MI/ MI 8.01 08/01/10 Cobalt International Energy, Inc. 2.02,9.01 11/12/10 COCA COLA BOTTLING CO CONSOLIDATED /D DE 2.02,9.01 11/10/10 COCA-COLA ENTERPRISES, INC. DE 8.01,9.01 11/12/10 Cole Credit Property Trust II Inc MD 5.02 11/10/10 Cole Credit Property Trust III, Inc. MD 5.02 11/11/10 Colfax CORP DE 5.02 11/09/10 COMARCO INC CA 3.01 11/12/10 COMFORT SYSTEMS USA INC 7.01,9.01 11/12/10 Commercial Vehicle Group, Inc. DE 5.02,9.01 11/09/10 COMMUNITY BANCORP /VT VT 5.02,9.01 11/10/10 COMMUNITY FINANCIAL CORP /VA/ VA 2.02,9.01 11/12/10 COMPUTER SCIENCES CORP NV 9.01 11/09/10 Computer Software Innovations, Inc. DE 1.01,2.03,9.01 11/05/10 COMVERGE, INC. DE 1.01,2.03,3.02,9.01 11/05/10 Conmed Healthcare Management, Inc. DE 2.02,9.01 11/11/10 CONSTELLATION ENERGY GROUP INC MD 8.01,9.01 11/12/10 CONVERSION SERVICES INTERNATIONAL INC DE 5.02,9.01 11/11/10 CoreSite Realty Corp MD 2.02,7.01,9.01 11/12/10 CORPORATE PROPERTY ASSOCIATES 14 INC MD 8.01,9.01 11/10/10 CORPORATE PROPERTY ASSOCIATES 14 INC MD 7.01,9.01 11/12/10 Corporate Resource Services, Inc. DE 2.01,9.01 08/27/10 AMEND CORTEX PHARMACEUTICALS INC/DE/ DE 2.02,9.01 11/12/10 COSI INC DE 2.02,7.01,9.01 11/11/10 COVANCE INC DE 1.01,2.03,9.01 11/08/10 COVER ALL TECHNOLOGIES INC DE 2.02,9.01 11/11/10 Covidien plc 5.02 11/11/10 CRANE CO /DE/ DE 8.01,9.01 11/12/10 CRIMSON EXPLORATION INC. 2.02,9.01 11/10/10 CROSSTEX ENERGY INC DE 7.01,9.01 11/10/10 CROSSTEX ENERGY LP DE 7.01,9.01 11/10/10 CTC Media, Inc. 1.01 11/12/10 CUMBERLAND PHARMACEUTICALS INC 2.02,9.01 11/11/10 CYBERDEFENDER CORP CA 2.02,9.01 11/08/10 Cyclacel Pharmaceuticals, Inc. DE 2.02,9.01 11/11/10 Danvers Bancorp, Inc. DE 8.01,9.01 11/12/10 DARLING INTERNATIONAL INC DE 2.02,9.01 11/09/10 DAWSON GEOPHYSICAL CO TX 7.01,9.01 11/10/10 DCB FINANCIAL CORP OH 8.01,9.01 11/12/10 Deep Down, Inc. NV 7.01 11/12/10 Denarii Resources Inc. NV 1.01,9.01 10/21/10 DENNYS CORP DE 8.01,9.01 11/09/10 Derycz Scientific Inc NV 3.02,9.01 10/29/10 Derycz Scientific Inc NV 5.02,9.01 11/05/10 DEVRY INC DE 7.01,9.01 11/10/10 DEVRY INC DE 8.01 11/12/10 DIAMOND OFFSHORE DRILLING INC DE 7.01,9.01 11/12/10 DIGITAL ALLY INC 2.02,9.01 09/30/10 DIGITAL ANGEL CORP DE 2.02,9.01 11/11/10 DigitalPost Interactive, Inc. NV 2.01,9.01 08/31/10 AMEND DIODES INC /DEL/ DE 1.01,9.01 11/05/10 DIODES INC /DEL/ DE 2.02,7.01,9.01 11/08/10 DOCUMENT CAPTURE TECHNOLOGIES, INC. 5.02,9.01 11/03/10 DOLLAR TREE INC VA 7.01,9.01 11/11/10 DTE ENERGY CO MI 2.02,9.01 11/12/10 DUNE ENERGY INC DE 2.02,9.01 11/10/10 DXP ENTERPRISES INC TX 9.01 11/12/10 DYNATRONICS CORP UT 2.02,9.01 11/11/10 DYNEGY INC. DE 7.01,9.01 11/12/10 Eagle Bulk Shipping Inc. 2.02,9.01 11/08/10 EastBridge Investment Group Corp AZ 1.01,9.01 09/26/10 EASTERN LIGHT CAPITAL, INC. DE 8.01,9.01 11/12/10 EASTMAN KODAK CO NJ 5.02,9.01 11/12/10 EASTON-BELL SPORTS, INC. DE 2.02,9.01 11/10/10 EBIX INC DE 2.02,9.01 11/09/10 ECOLOCAP SOLUTIONS INC. NV 7.01,9.01 11/10/10 Ellington Financial LLC DE 8.01,9.01 11/10/10 EMAGIN CORP DE 2.02,9.01 11/12/10 EMERGING VISION INC NY 8.01 11/11/10 Empire Sports & Entertainment Holding NV 5.02 11/11/10 ENBRIDGE ENERGY PARTNERS LP DE 1.01,7.01,9.01 11/10/10 Endeavor Power Corp NV 1.01,2.03,3.02,5.02,8.01,9.01 11/10/10 ENERGY CONVERSION DEVICES INC DE 5.02,9.01 11/10/10 ENOVA SYSTEMS INC CA 2.02,9.01 11/12/10 Ensco plc 2.02,9.01 11/12/10 ENTERGY ARKANSAS INC AR 8.01,9.01 11/12/10 ENTREMED INC DE 2.02,9.01 11/12/10 EnviroStar, Inc. DE 2.02,9.01 11/12/10 ENZON PHARMACEUTICALS INC DE 5.05 11/10/10 EPICEPT CORP 1.01,8.01,9.01 11/05/10 EPIQ SYSTEMS INC MO 5.02 11/04/10 EQUUS TOTAL RETURN, INC. DE 8.01,9.01 11/10/10 ESCO TECHNOLOGIES INC MO 2.02,7.01,9.01 11/11/10 Essex Rental Corp. DE 7.01,9.01 11/11/10 ESTEE LAUDER COMPANIES INC DE 5.02,5.07,9.01 11/09/10 EV Energy Partners, LP DE 7.01,9.01 11/08/10 EVOLUTION PETROLEUM CORP NV 2.02,9.01 11/11/10 EXCO RESOURCES INC TX 1.01,9.01 11/10/10 EXPRESSJET HOLDINGS INC DE 8.01,9.01 10/31/10 EXPRESSJET HOLDINGS INC DE 2.01,3.01,3.03,5.01,5.02,5.03, 11/10/10 5.07,8.01,9.01 EXTERRAN HOLDINGS INC. DE 7.01,9.01 11/12/10 FALCONSTOR SOFTWARE INC DE 8.01,9.01 11/10/10 Federal Home Loan Bank of Atlanta X1 2.03 11/12/10 Federal Home Loan Bank of Boston X1 2.03 11/08/10 Federal Home Loan Bank of Chicago X1 2.03 11/08/10 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 11/08/10 Federal Home Loan Bank of Dallas 2.03,9.01 11/08/10 Federal Home Loan Bank of Des Moines X1 2.03,9.01 11/12/10 Federal Home Loan Bank of Des Moines X1 2.02,5.02,5.07,7.01,9.01 11/08/10 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 11/08/10 Federal Home Loan Bank of New York X1 2.03,9.01 11/08/10 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 11/08/10 Federal Home Loan Bank of San Francis X1 2.03 11/08/10 Federal Home Loan Bank of Seattle 2.03 11/08/10 Federal Home Loan Bank of Topeka 2.03,9.01 11/08/10 FEEL GOLF CO INC CA 1.01,9.01 05/21/10 FENTURA FINANCIAL INC MI 1.01,2.02,9.01 11/12/10 FERRELLGAS PARTNERS L P DE 1.01,8.01,9.01 11/09/10 First Advantage Bancorp 2.02,9.01 11/10/10 First California Financial Group, Inc DE 1.01,7.01,9.01 11/05/10 FIRST COMMUNITY FINANCIAL CORP PA 5.02 11/09/10 FIRST MERCURY FINANCIAL CORP DE 8.01,9.01 11/12/10 FIRST MIDWEST BANCORP INC DE 7.01,9.01 11/09/10 FIRST NORTHERN COMMUNITY BANCORP CA 5.02 11/10/10 FIRST WEST VIRGINIA BANCORP INC WV 2.02,9.01 11/10/10 FLOTEK INDUSTRIES INC/CN/ DE 2.02,9.01 11/09/10 FLOWERS FOODS INC GA 2.02,9.01 11/11/10 FNBH BANCORP INC MI 2.02,9.01 11/12/10 FOOT LOCKER INC NY 5.02,9.01 11/05/10 FOREST LABORATORIES INC DE 5.02,9.01 11/09/10 Fortress International Group, Inc. DE 2.02,9.01 11/12/10 FOSTER WHEELER AG V8 5.02,8.01 11/09/10 FRONTIER OIL CORP /NEW/ WY 1.01,9.01 11/09/10 FSP 303 East Wacker Drive Corp. 7.01,9.01 11/12/10 FSP 50 South Tenth Street Corp 7.01,9.01 11/12/10 FSP GALLERIA NORTH CORP 7.01,9.01 11/12/10 FULLCIRCLE REGISTRY INC NV 8.01,9.01 11/11/10 Furiex Pharmaceuticals, Inc. DE 2.02,8.01,9.01 11/10/10 GBS Enterprises Inc NV 1.01,3.02,7.01,9.01 11/05/10 GC China Turbine Corp. NV 1.01,1.02,5.02,9.01 11/08/10 GC NET LEASE REIT, INC. 9.01 08/27/10 AMEND General Finance CORP DE 8.01,9.01 11/11/10 General Growth Properties, Inc. DE 1.01,2.01,3.02,3.03,5.02,5.03, 11/09/10 8.01,9.01 General Motors Co 2.02,9.01 11/10/10 GENESIS FINANCIAL INC WA 1.01,2.03,7.01,9.01 11/11/10 GENSPERA INC DE 7.01,9.01 11/10/10 GENTA INC DE/ DE 2.02,9.01 11/11/10 GENTOR RESOURCES, INC. FL 8.01,9.01 11/11/10 GLOBAL AXCESS CORP NV 1.01,9.01 11/10/10 GLOWPOINT INC DE 2.02,9.01 11/11/10 GLU MOBILE INC DE 7.01 11/11/10 GOLDFIELD CORP DE 2.02,9.01 11/12/10 Google Inc. DE 5.02 11/08/10 GRIFFON CORP DE 9.01 11/12/10 AMEND Grubb & Ellis Apartment REIT, Inc. MD 1.01,9.01 11/05/10 Grubb & Ellis Healthcare REIT II, Inc MD 7.01,9.01 11/11/10 GRYPHON GOLD CORP NV 2.02,7.01,9.01 11/12/10 GUIDED THERAPEUTICS INC DE 8.01,9.01 11/12/10 GULF RESOURCES, INC. DE 5.02,8.01,9.01 11/06/10 GULFMARK OFFSHORE INC DE 7.01,9.01 11/11/10 GYMBOREE CORP DE 7.01 11/12/10 H&R BLOCK INC MO 7.01,9.01 11/11/10 HALLMARK FINANCIAL SERVICES INC NV 2.02,9.01 11/10/10 Harbin Electric, Inc 2.02,9.01 11/09/10 HARMONIC INC DE 5.02,8.01 11/11/10 HARRIS & HARRIS GROUP INC /NY/ NY 8.01,9.01 11/12/10 HARRIS CORP /DE/ DE 1.01,9.01 11/06/10 HEADWATERS INC DE 5.02,9.01 11/11/10 HEALTHCARE TRUST OF AMERICA, INC. MD 7.01,9.01 11/11/10 HealthWarehouse.com, Inc. DE 1.01,1.02,2.03,3.02,5.03,9.01 11/08/10 Heelys, Inc. DE 2.02,9.01 11/11/10 Heelys, Inc. DE 5.02,9.01 08/25/10 HEIDRICK & STRUGGLES INTERNATIONAL IN DE 5.02 11/05/10 Helios & Matheson North America Inc. DE 5.02 11/11/10 HENRY JACK & ASSOCIATES INC DE 5.02,5.07,9.01 11/09/10 HERITAGE FINANCIAL CORP /WA/ WA 1.01,2.01,7.01,9.01 11/05/10 HERITAGE OAKS BANCORP CA 2.02,9.01 11/09/10 Hines Global REIT, Inc. MD 9.01 09/08/10 AMEND HomeTown Bankshares Corp 2.02,9.01 11/08/10 HORIZON BANCORP /IN/ IN 1.01 11/10/10 HORNE INTERNATIONAL, INC. DE 5.02 11/12/10 HORTON D R INC /DE/ DE 2.02,9.01 11/12/10 Howard Hughes Corp DE 1.01,3.02,5.02,5.03,5.05,9.01 11/09/10 Huron Consulting Group Inc. DE 7.01,9.01 11/12/10 ICON CASH FLOW PARTNERS L P SEVEN DE 7.01,9.01 11/12/10 ICON Equipment & Corporate Infrastruc DE 7.01,9.01 11/12/10 ICON INCOME FUND EIGHT B LP DE 7.01,9.01 11/12/10 ICON INCOME FUND NINE LLC 7.01,9.01 11/12/10 ICON INCOME FUND TEN LLC DE 7.01,9.01 11/12/10 ICON LEASING FUND ELEVEN, LLC DE 7.01,9.01 11/12/10 ICON LEASING FUND ELEVEN, LLC DE 7.01,9.01 11/12/10 ICON LEASING FUND TWELVE, LLC DE 7.01,9.01 11/12/10 IKANOS COMMUNICATIONS CA 8.01,9.01 11/11/10 IMERGENT INC DE 5.02,9.01 11/11/10 IMPERIAL INDUSTRIES INC DE 2.02,9.01 11/12/10 INCOME OPPORTUNITY REALTY INVESTORS I NV 5.07 09/16/10 INDEPENDENT BANK CORP MA 8.01 11/11/10 Industrial Income Trust Inc. MD 7.01,9.01 11/10/10 INFOSPACE INC DE 5.02,7.01,9.01 11/11/10 InfuSystem Holdings, Inc DE 1.01,3.03,9.01 09/12/10 Inland American Real Estate Trust, In MD 7.01,9.01 11/12/10 Inland Diversified Real Estate Trust, MD 1.01,2.01,8.01,9.01 11/05/10 Innovaro, Inc. 2.02,9.01 11/12/10 INOLIFE TECHNOLOGIES, INC. 4.01,9.01 11/12/10 INTEL CORP DE 7.01,9.01 11/12/10 INTELLIGENT SYSTEMS CORP GA 2.02,9.01 11/12/10 INTERLEUKIN GENETICS INC DE 2.02,9.01 11/11/10 INTERNATIONAL RECTIFIER CORP /DE/ DE 7.01 11/11/10 INTERNATIONAL RECTIFIER CORP /DE/ DE 5.07,7.01,9.01 11/12/10 INTEVAC INC CA 5.02,9.01 10/05/10 AMEND Invesco Ltd. D0 7.01 11/10/10 INVESTMENT TECHNOLOGY GROUP INC DE 5.02,9.01 11/11/10 ISLAND BREEZE INTERNATIONAL, INC. DE 8.01,9.01 11/09/10 J C PENNEY CO INC DE 2.02,9.01 11/12/10 JACK IN THE BOX INC /NEW/ DE 5.02 11/08/10 JACOBS ENTERTAINMENT INC DE 2.02,9.01 11/11/10 JETBLUE AIRWAYS CORP DE 5.02 11/08/10 Jingwei International LTD NV 2.01,7.01,9.01 11/09/10 JONES SODA CO WA 2.02,9.01 11/11/10 KACHING KACHING, INC. DE 4.02,9.01 08/12/10 AMEND KAR Auction Services, Inc. DE 1.01,8.01,9.01 11/11/10 KATY INDUSTRIES INC DE 2.02,9.01 11/12/10 KB HOME DE 3.02,5.02,9.01 11/09/10 KEMET CORP DE 3.01 11/11/10 KEY TECHNOLOGY INC OR 2.02,9.01 11/11/10 KINGOLD JEWELRY, INC. DE 2.02,9.01 11/12/10 KIRBY CORP NV 1.01,9.01 11/09/10 KNIGHT TRANSPORTATION INC AZ 8.01,9.01 11/11/10 Kraton Performance Polymers, Inc. DE 5.02,9.01 11/05/10 Kun Run Biotechnology, Inc. NV 7.01 11/11/10 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 11/11/10 LAMPERD LESS LETHAL INC NV 8.01 11/11/10 Laufer Bridge Enterprises, Inc. NV 3.02,9.01 11/11/10 AMEND LESCARDEN INC NY 3.02,5.02,9.01 11/10/10 LGL GROUP INC DE 7.01,9.01 11/11/10 LIBERTY MEDIA CORP 8.01,9.01 11/10/10 LIGHTPATH TECHNOLOGIES INC DE 2.02,9.01 11/11/10 LIHUA INTERNATIONAL INC. DE 1.01,9.01 11/05/10 Lincolnway Energy, LLC IA 5.07 11/09/10 LITHIUM TECHNOLOGY CORP DE 1.01,8.01,9.01 11/11/10 LOWES COMPANIES INC NC 5.03,9.01 11/12/10 LyondellBasell Industries N.V. P7 5.02,9.01 11/05/10 LYRIS, INC. 2.02,9.01 11/12/10 M I HOMES INC OH 1.01,2.03,8.01,9.01 11/12/10 MAGNETEK, INC. DE 5.02,5.07 11/10/10 MAGNETEK, INC. DE 2.02 11/11/10 Magnolia Solar Corp NV 8.01,9.01 11/10/10 MAINSOURCE FINANCIAL GROUP IN 7.01,9.01 11/11/10 MALVERN FEDERAL BANCORP INC X1 5.02 11/08/10 MARCO COMMUNITY BANCORP INC FL 5.07 11/09/10 MARRIOTT INTERNATIONAL INC /MD/ DE 8.01,9.01 11/12/10 MATTHEWS INTERNATIONAL CORP PA 2.02,9.01 11/11/10 MAXIM INTEGRATED PRODUCTS INC DE 5.07 11/09/10 MCMORAN EXPLORATION CO /DE/ DE 8.01,9.01 11/11/10 MEDIA SCIENCES INTERNATIONAL INC 1.01,1.02,2.01,5.02,9.01 11/08/10 MEDIANET GROUP TECHNOLOGIES INC NV 8.01 10/27/10 Medidata Solutions, Inc. DE 8.01 11/11/10 MEDTOX SCIENTIFIC INC DE 7.01,9.01 11/12/10 MERCER INTERNATIONAL INC. WA 8.01,9.01 11/11/10 MERGE HEALTHCARE INC DE 2.02,5.02,9.01 11/05/10 MERIDIAN BIOSCIENCE INC OH 2.02,9.01 11/11/10 METHODE ELECTRONICS INC DE 5.02,9.01 11/08/10 METLIFE INC DE 7.01,9.01 11/11/10 METROPCS COMMUNICATIONS INC DE 1.01,7.01,9.01 11/05/10 MGM Resorts International DE 8.01,9.01 11/08/10 MI 2009 Inc. DE 7.01,8.01,9.01 10/25/10 MICROMET, INC. DE 1.01,8.01,9.01 11/10/10 MICROSEMI CORP DE 2.02,9.01 11/11/10 MID WISCONSIN FINANCIAL SERVICES INC WI 2.02,9.01 11/12/10 MIDDLEBURG FINANCIAL CORP VA 7.01,9.01 11/11/10 MIPS TECHNOLOGIES INC DE 5.02,5.07,8.01,9.01 11/11/10 MISSION COMMUNITY BANCORP CA 8.01,9.01 11/10/10 ML Systematic Momentum FuturesAccess DE 3.02 11/12/10 ML Winton FuturesAccess LLC DE 3.02 11/12/10 MOHEGAN TRIBAL GAMING AUTHORITY 2.02,9.01 11/12/10 MOHEGAN TRIBAL GAMING AUTHORITY 8.01 11/12/10 Momentive Performance Materials Inc. DE 1.01,2.03,4.01,9.01 11/05/10 MOMENTIVE SPECIALTY CHEMICALS INC. NJ 1.01,2.03,9.01 11/05/10 MoSys, Inc. CA 1.01,3.03,5.03,9.01 11/10/10 Mountain Renewables, Inc. NV 5.02,9.01 11/10/10 MPG Office Trust, Inc. MD 1.02,5.02,7.01,9.01 11/10/10 MULTI COLOR Corp OH 8.01,9.01 11/11/10 MULTIMEDIA GAMES INC TX 2.02,9.01 11/11/10 MULTIMEDIA GAMES INC TX 5.02 11/09/10 NACCO INDUSTRIES INC DE 5.02 11/12/10 NATIONAL BANK OF INDIANAPOLIS CORP IN 2.02,9.01 11/12/10 NATIONAL PENN BANCSHARES INC PA 7.01,9.01 11/11/10 NATIONAL SECURITY GROUP INC DE 7.01,9.01 11/12/10 NATIONAL SECURITY GROUP INC DE 7.01,9.01 11/12/10 AMEND NEOPROBE CORP DE 1.01,2.02,3.02,8.01,9.01 11/07/10 NeoStem, Inc. DE 8.01,9.01 11/12/10 NET 1 UEPS TECHNOLOGIES INC 5.02 11/12/10 Net Savings Link, Inc. NV 5.03 11/08/10 NETEZZA CORP 2.01,3.01,3.03,5.01,9.01 11/10/10 NEUROLOGIX INC/DE DE 2.02,9.01 11/12/10 New Concept Energy, Inc. NV 5.07,8.01 10/28/10 NEW ENERGY SYSTEMS GROUP NV 2.01,3.02,7.01,9.01 11/10/10 NEWFIELD EXPLORATION CO /DE/ DE 8.01,9.01 11/12/10 NEWS CORP 5.02,9.01 11/09/10 NEWTEK BUSINESS SERVICES INC NY 2.02,9.01 11/10/10 Nielsen CO B.V. P7 1.01,2.03,9.01 11/09/10 Niska Gas Storage Partners LLC DE 2.02,9.01 11/10/10 Niusule Bio-pharmaceutical Corp. 1.01,2.01,3.02,9.01 12/28/09 NOBEL LEARNING COMMUNITIES INC DE 9.01 11/12/10 NORTEK INC DE 7.01,9.01 11/10/10 NOVADEL PHARMA INC DE 2.02,9.01 11/12/10 NTN BUZZTIME INC DE 2.02,9.01 11/11/10 NUPATHE INC. DE 2.02,9.01 11/11/10 NUTRA PHARMA CORP CA 1.01,3.02,9.01 11/08/10 NVIDIA CORP DE 2.02,9.01 11/11/10 Oconee Federal Financial Corp. X1 1.01,9.01 11/12/10 Odimo INC DE 1.01,2.01,3.02,5.01,5.02,5.03, 11/11/10 5.06,9.01 Odyssey Oil & Gas, Inc. FL 1.01,2.01,9.01 10/08/10 OLD NATIONAL BANCORP /IN/ IN 8.01,9.01 11/09/10 OPLINK COMMUNICATIONS INC DE 5.07 11/10/10 Optelecom-NKF, Inc. DE 1.01,7.01,9.01 11/10/10 ORCHID CELLMARK INC 5.07 11/09/10 OSI RESTAURANT PARTNERS, LLC DE 7.01,9.01 11/12/10 OSTEOTECH INC DE 5.07,7.01,9.01 11/09/10 OVERLAND STORAGE INC CA 2.02,9.01 11/12/10 OXFORD RESIDENTIAL PROPERTIES I LTD P MD 1.01,9.01 11/10/10 P F CHANGS CHINA BISTRO INC 5.02,9.01 11/12/10 PALMETTO BANCSHARES INC SC 5.02,9.01 11/12/10 PAM TRANSPORTATION SERVICES INC DE 8.01,9.01 11/12/10 Paradigm Holdings, Inc WY 2.02,9.01 11/11/10 PARLUX FRAGRANCES INC DE 5.02,9.01 11/08/10 Patriot Coal CORP DE 8.01 11/09/10 PATRIOT SCIENTIFIC CORP DE 2.02,9.01 11/09/10 PEETS COFFEE & TEA INC WA 8.01 11/10/10 PENFORD CORP WA 2.02,9.01 11/12/10 Peninsula Gaming, LLC DE 2.02,9.01 11/10/10 PENN MILLERS HOLDING CORP 2.02,9.01 11/12/10 PENNICHUCK CORP NH 1.01,9.01 11/11/10 PERCEPTRON INC/MI MI 2.02,9.01 11/10/10 PETROLEUM DEVELOPMENT CORP NV 1.01,2.03,9.01 11/12/10 PHARMACYCLICS INC DE 7.01,9.01 11/11/10 PHARMATHENE, INC DE 2.02,9.01 11/11/10 PHAZAR CORP DE 7.01,9.01 11/11/10 PLATINUM ENERGY RESOURCES INC DE 5.03,9.01 11/04/10 PNC FINANCIAL SERVICES GROUP INC PA 8.01,9.01 11/05/10 Point.360 CA 2.02,9.01 11/12/10 POLYMER GROUP INC DE 2.02,9.01 11/11/10 Polypore International, Inc. 8.01,9.01 11/11/10 PPG INDUSTRIES INC PA 1.01,9.01 11/08/10 Pregis Holding II CORP DE 2.02,9.01 11/12/10 PREMIER HOLDING CORP. NV 8.01 11/10/10 PRESIDENTIAL REALTY CORP/DE/ DE 2.02,9.01 11/10/10 PRICESMART INC DE 5.05,9.01 11/12/10 PRIME STAR GROUP INC NV 8.01,9.01 11/09/10 Primoris Services CORP DE 2.02,8.01,9.01 11/09/10 Primoris Services CORP DE 1.01,7.01,9.01 11/08/10 PRIMUS GUARANTY LTD 8.01,9.01 11/10/10 PRIMUS GUARANTY LTD 2.02,9.01 11/11/10 PRIMUS TELECOMMUNICATIONS GROUP INC DE 8.01,9.01 11/11/10 PRIMUS TELECOMMUNICATIONS GROUP INC DE 1.01,9.01 11/10/10 PRIVATE MEDIA GROUP INC NV 5.02,9.01 11/07/10 PROASSURANCE CORP DE 7.01,9.01 11/11/10 PROTEONOMIX, INC. DE 8.01 11/11/10 PRUDENTIAL FINANCIAL INC NJ 8.01,9.01 11/11/10 PRUDENTIAL FINANCIAL INC NJ 2.03 11/12/10 PUBLIC MEDIA WORKS INC DE 1.01,3.02 11/08/10 PUGET ENERGY INC /WA WA 5.02 11/12/10 PURESPECTRUM, INC. 1.01,3.02,5.01,9.01 10/29/10 Quad/Graphics, Inc. WI 2.02,9.01 11/10/10 QUALSTAR CORP CA 2.02,9.01 11/11/10 RAINMAKER SYSTEMS INC CA 2.02,7.01,9.01 11/11/10 RAMCO GERSHENSON PROPERTIES TRUST MD 7.01,9.01 11/12/10 Raptor Pharmaceutical Corp DE 8.01,9.01 11/08/10 Regency Energy Partners LP DE 8.01,9.01 11/12/10 REPUBLIC AIRWAYS HOLDINGS INC DE 1.01,9.01 11/11/10 REXNORD LLC DE 2.02,9.01 11/10/10 River Rock Entertainment Authority XX 5.02 11/06/10 RUSH ENTERPRISES INC \TX\ TX 5.02,9.01 11/06/10 SALAMON GROUP INC 4.01 11/12/10 SALIX PHARMACEUTICALS LTD 2.02,9.01 11/08/10 SANMINA-SCI CORP DE 5.02 11/08/10 SANUWAVE Health, Inc. NV 2.02,9.01 11/12/10 SCBT FINANCIAL CORP SC 8.01,9.01 11/11/10 SCOTTS MIRACLE-GRO CO OH 5.02,9.01 11/11/10 SEA 2 SKY CORP NV 1.01,2.01,3.02,5.01,5.02,5.03, 11/12/10 9.01 SeaCube Container Leasing Ltd. 2.02,9.01 11/11/10 SED INTERNATIONAL HOLDINGS INC DE 2.02,9.01 11/12/10 SERVICE CORPORATION INTERNATIONAL TX 7.01,9.01 11/11/10 SERVOTRONICS INC /DE/ DE 2.02,9.01 11/11/10 ShengdaTech, Inc. 2.02,7.01,9.01 11/08/10 Shengtai Pharmaceutical, Inc. 5.03,8.01,9.01 11/12/10 Shiner International, Inc. NV 2.02,9.01 11/11/10 SIGMA LABS, INC. NV 1.01,2.01,3.02,4.01,5.01,5.02, 11/05/10 AMEND 5.03,5.06,5.07 SILVERLEAF RESORTS INC 2.02,9.01 11/09/10 Sino American Oil Co NV 2.01 11/08/10 Sino Clean Energy Inc NV 2.02,9.01 11/12/10 Sino Clean Energy Inc NV 1.01,9.01 08/24/10 Sino Green Land Corp NV 5.02,9.01 10/01/10 SINOCOKING COAL & COKE CHEMICAL INDUS FL 8.01,9.01 11/10/10 SINOHUB, INC. DE 2.02,7.01,9.01 11/12/10 SKYWORKS SOLUTIONS INC DE 5.02 11/09/10 SmartMetric, Inc. 8.01,9.01 11/10/10 Solar Energy Initiatives, Inc. DE 8.01 11/11/10 SOUTHERN CONNECTICUT BANCORP INC CT 1.02,9.01 11/12/10 SOUTHERN MICHIGAN BANCORP INC MI 7.01,9.01 11/12/10 SouthPeak Interactive CORP DE 1.01,9.01 11/08/10 SOUTHWALL TECHNOLOGIES INC /DE/ DE 2.02,9.01 11/12/10 SOUTHWESTERN ENERGY CO DE 1.01 11/12/10 SPANISH BROADCASTING SYSTEM INC DE 2.02,9.01 11/12/10 SPECTRUM GROUP INTERNATIONAL, INC. NY 2.03 11/12/10 SPEEDEMISSIONS INC FL 2.02,9.01 11/12/10 Sport Endurance, Inc. NV 8.01 11/09/10 Sport Endurance, Inc. NV 8.01 11/09/10 SRKP 23 Inc DE 1.01 11/12/10 STAGE STORES INC NV 8.01,9.01 11/12/10 STAMPS.COM INC DE 5.02 11/05/10 STANDARD MICROSYSTEMS CORP DE 5.02 11/10/10 STANDARD MOTOR PRODUCTS INC NY 1.01,1.02,8.01,9.01 11/10/10 STAR GAS PARTNERS LP DE 8.01,9.01 11/11/10 STAR GAS PARTNERS LP DE 5.02,9.01 11/12/10 State Auto Financial CORP OH 8.01,9.01 11/05/10 STATER BROS HOLDINGS INC DE 8.01,9.01 11/12/10 STATER BROS HOLDINGS INC DE 8.01,9.01 11/12/10 Stereotaxis, Inc. DE 8.01,9.01 11/11/10 STERLING FINANCIAL CORP /WA/ WA 8.01,9.01 11/12/10 STONE ENERGY CORP DE 1.01,2.03,7.01,8.01,9.01 11/09/10 STR HOLDINGS, INC. DE 2.02,9.01 11/12/10 Strategic Storage Trust, Inc. MD 1.01,9.01 11/08/10 STRATS (SM) TRUST FOR JPMORGAN CHASE 8.01,9.01 11/01/10 STRATS SM TRUST FOR IBM CORP SEC SERI 8.01,9.01 10/29/10 Strats(SM) Trust for JPMorgan Chase C 8.01,9.01 11/01/10 STRATS(SM) Trust For Morgan Stanley S 8.01,9.01 11/01/10 STRATUS PROPERTIES INC DE 2.02,9.01 11/12/10 Structural Enhancement Technologies C X0 5.02,9.01 10/28/10 SUBURBAN PROPANE PARTNERS LP DE 2.02,9.01 11/11/10 Sucampo Pharmaceuticals, Inc. 7.01,9.01 11/12/10 SUN RIVER ENERGY, INC CO 4.01,9.01 10/26/10 SunOpta Inc. 2.02,9.01 11/11/10 SUNPOWER CORP DE 2.02,2.03,9.01 11/11/10 SUPERTEL HOSPITALITY INC VA 2.02,9.01 11/10/10 Sutor Technology Group LTD 2.02,9.01 11/12/10 SWORDFISH FINANCIAL, INC. MN 5.03,9.01 09/03/10 SYDYS CORP NV 1.01,1.02,2.03,3.02,9.01 10/28/10 SYNCHRONOSS TECHNOLOGIES INC 7.01,9.01 11/12/10 SYNCHRONOSS TECHNOLOGIES INC 9.01 07/19/10 AMEND SYNNEX CORP DE 1.01,9.01 11/11/10 SYNTA PHARMACEUTICALS CORP 1.01,8.01,9.01 11/10/10 TARGET CORP MN 5.02 11/10/10 AMEND TECHPRECISION CORP 2.02,9.01 11/11/10 TEEN EDUCATION GROUP, INC. DE 1.01,2.01,3.02,4.01,5.01,5.02, 11/12/10 5.03,5.06,9.01 TEJON RANCH CO DE 8.01,9.01 11/10/10 TEMPUR PEDIC INTERNATIONAL INC DE 7.01,9.01 11/11/10 TERREMARK WORLDWIDE INC. DE 1.01,9.01 11/08/10 TESCO CORP 1.01,7.01 11/11/10 TESSERA TECHNOLOGIES INC DE 5.02,9.01 11/12/10 TETRA TECH INC DE 2.02,9.01 11/10/10 Tianli Agritech, Inc. D8 2.02,7.01,9.01 11/11/10 Tim Hortons Inc. A6 2.02,9.01 11/10/10 TIMKEN CO OH 5.02 11/09/10 TNP Strategic Retail Trust, Inc. MD 9.01 07/12/10 AMEND TOREADOR RESOURCES CORP DE 2.02,9.01 11/09/10 TOREADOR RESOURCES CORP DE 8.01,9.01 11/11/10 TORO CO DE 1.01,9.01 11/09/10 Tower Group, Inc. DE 7.01,9.01 11/11/10 Tower International, Inc. DE 2.02,7.01,9.01 11/11/10 TOWERSTREAM CORP DE 1.01,3.03,5.03,8.01,9.01 11/08/10 TOWERSTREAM CORP DE 5.07 11/08/10 TRANS LUX CORP DE 3.01,9.01 11/10/10 Trans-Pacific Aerospace Company, Inc. NV 5.02,9.01 11/10/10 TRANSATLANTIC PETROLEUM LTD. D0 1.01,3.02 11/08/10 Transcept Pharmaceuticals Inc DE 2.02,9.01 11/11/10 TRANSCONTINENTAL REALTY INVESTORS INC NV 5.07 09/16/10 TRI COUNTY FINANCIAL CORP /MD/ 8.01,9.01 11/12/10 TRIAD GUARANTY INC DE 2.02,9.01 11/11/10 Triangle Petroleum Corp NV 8.01,9.01 11/10/10 Triangle Petroleum Corp NV 7.01,9.01 11/11/10 TRICO MARINE SERVICES INC DE 1.02,8.01,9.01 11/08/10 Trius Therapeutics Inc DE 2.02,9.01 11/11/10 TRX INC/GA GA 2.02,9.01 09/30/10 TSR INC DE 5.07 11/10/10 TUCOWS INC /PA/ PA 2.02,9.01 11/10/10 TUESDAY MORNING CORP/DE DE 5.07 11/12/10 U. S. Premium Beef, LLC 7.01,9.01 11/12/10 UFood Restaurant Group, Inc. NV 8.01,9.01 11/10/10 United Community Bancorp X1 5.07 11/10/10 UNITED PARCEL SERVICE INC DE 8.01,9.01 11/08/10 UNITED STATIONERS INC DE 5.02,9.01 11/12/10 UROLOGIX INC MN 5.02,5.07 11/09/10 US Highland, Inc. OK 5.02 11/03/10 Valiant Health Care, Inc. FL 1.01,2.04,3.02,5.02,9.01 11/09/10 Vanda Pharmaceuticals Inc. DE 5.02,9.01 11/12/10 Vanity Events Holding, Inc. DE 3.02,5.02,9.01 11/02/10 Vanity Events Holding, Inc. DE 1.01,2.03,3.02,9.01 07/29/10 AMEND Vaughan Foods, Inc. OK 2.02,9.01 11/11/10 VCG HOLDING CORP CO 2.02,9.01 11/12/10 VENTAS INC DE 9.01 11/08/10 VERMILLION, INC. DE 1.01,2.02,7.01,8.01,9.01 11/10/10 Vertro, Inc. DE 2.02,7.01,9.01 11/04/10 AMEND Viacom Inc. DE 2.02,9.01 11/11/10 VIDAROO Corp 5.02,9.01 11/10/10 VISTA GOLD CORP B0 2.02,7.01,9.01 11/09/10 VIVUS INC CA 2.02,9.01 11/08/10 Voice Assist, Inc. NV 1.01,2.01,9.01 09/30/10 Vu1 CORP CA 3.02,5.02 11/05/10 VWR Funding, Inc. DE 2.02,7.01 11/12/10 VYCOR MEDICAL INC DE 1.01,9.01 11/05/10 WALGREEN CO IL 5.02,8.01,9.01 11/10/10 WALT DISNEY CO/ DE 2.02,9.01 11/11/10 WASHINGTON POST CO DE 5.02,9.01 11/11/10 WELLS FARGO & CO/MN DE 9.01 11/12/10 WENDY'S/ARBY'S GROUP, INC. DE 2.02,9.01 10/03/10 WENDY'S/ARBY'S GROUP, INC. DE 7.01,9.01 10/03/10 WES Consulting, Inc. FL 1.01,5.02,9.01 07/23/09 AMEND WESTERN DIGITAL CORP DE 5.07 11/11/10 Western Gas Partners LP DE 1.01,9.01 11/09/10 Western Refining, Inc. DE 7.01,9.01 11/12/10 WESTMORELAND COAL Co DE 2.02,9.01 11/08/10 Willbros Group, Inc.\NEW\ DE 2.02,9.01 11/08/10 Williams Partners L.P. 1.01,7.01,9.01 11/09/10 WINNER MEDICAL GROUP INC NV 2.02,9.01 11/12/10 WINTRUST FINANCIAL CORP IL 7.01,9.01 11/09/10 WOUND MANAGEMENT TECHNOLOGIES, INC. TX 7.01,9.01 11/11/10 WUHAN GENERAL GROUP (CHINA), INC NV 2.02,9.01 11/10/10 WWA GROUP INC NV 1.01,2.01,7.01,9.01 10/31/10 XCEL ENERGY INC MN 8.01 11/05/10 XERIUM TECHNOLOGIES INC DE 2.02,9.01 11/05/10 Yankee Holding Corp. DE 2.02,9.01 11/12/10 Zayo Group LLC DE 2.02,7.01,9.01 11/12/10 ZBB ENERGY CORP WI 2.02,9.01 11/11/10 ZBB ENERGY CORP WI 5.02,5.03,5.07 11/10/10 ZION OIL & GAS INC DE 8.01,9.01 11/11/10 ZIOPHARM ONCOLOGY INC DE 5.02 11/08/10 Zoo Entertainment, Inc DE 2.02,9.01 11/11/10