RECENT 8K FILINGS February 1, 2011 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 United Bancorp, Inc. FL 8.01 01/31/11 57th Street General Acquisition Corp 8.01,9.01 01/31/11 AMEND ABERCROMBIE & FITCH CO /DE/ DE 5.02,9.01 01/31/11 ACCURIDE CORP DE 7.01,9.01 01/31/11 ACNB CORP PA 8.01,9.01 01/25/11 ADOLOR CORP 1.01,3.03,9.01 01/31/11 Alberto-Culver CO DE 2.02,9.01 01/31/11 Allegiant Travel CO NV 2.02,9.01 01/31/11 ALLERGAN INC DE 1.01,9.01 01/28/11 Alpha Natural Resources, Inc. DE 1.01,8.01,9.01 01/31/11 ALTAIR NANOTECHNOLOGIES INC 7.01,9.01 01/31/11 ALTRIA GROUP, INC. VA 7.01,9.01 01/31/11 AMARIN CORP PLC\UK X0 2.02,9.01 01/31/11 AMB PROPERTY CORP MD 8.01,9.01 01/30/11 AMERICAN TELSTAR INC CO 3.03,5.03,5.07,8.01,9.01 01/31/11 AMERICAN TOWER CORP /MA/ DE 7.01 01/31/11 AMICUS THERAPEUTICS INC DE 5.02 01/25/11 AMP Holding Inc. NV 1.01,3.02,9.01 12/03/10 AMEND Amtrust Financial Services, Inc. DE 1.01,2.03,9.01 01/28/11 AOL Inc. DE 8.01 01/31/11 AOL Inc. DE 5.02 01/26/11 APPLIANCE RECYCLING CENTERS OF AMERIC MN 1.01,8.01 01/24/11 ARGAN INC DE 2.05,8.01 01/27/11 ASIAINFO-LINKAGE, INC DE 2.02,7.01,9.01 01/31/11 ATWOOD OCEANICS INC TX 1.01,2.03,9.01 01/31/11 Auburn Bancorp, Inc. 1.01,9.01 01/26/11 AUBURN NATIONAL BANCORPORATION INC DE 2.02,9.01 01/28/11 AVT, Inc. NV 4.01 10/20/10 AMEND BALQON CORP. NV 1.01 01/25/11 BANCTRUST FINANCIAL GROUP INC AL 2.02,9.01 01/28/11 BANK OF AMERICA CORP /DE/ DE 5.02,8.01,9.01 01/25/11 BANKATLANTIC BANCORP INC FL 1.01,9.01 01/28/11 BAR HARBOR BANKSHARES ME 2.02 01/31/11 BARD C R INC /NJ/ NJ 2.02,9.01 01/31/11 BAYLAKE CORP WI 2.02,9.01 01/31/11 BCSB Bancorp Inc. 2.02,8.01,9.01 01/31/11 Belenus Acquisition Corp. DE 1.01,5.01,5.02,9.01 12/10/10 AMEND Beneficial Mutual Bancorp Inc X1 2.02,9.01 01/28/11 BIOPHARM ASIA, INC. NV 5.02 01/27/11 BODY CENTRAL CORP 5.02,9.01 01/25/11 BORDERS GROUP INC MI 7.01,9.01 01/30/11 BRAMPTON CREST INTERNATIONAL INC NV 5.02 01/25/11 C&D TECHNOLOGIES INC DE 5.02,5.07,9.01 01/31/11 Calpian, Inc. TX 1.01,2.01,3.02 01/25/11 CANYON COPPER CORP. 7.01,9.01 01/26/11 CAPITAL BANK CORP NC 2.02,9.01 01/31/11 CAPITALSOURCE INC DE 2.02,7.01 01/30/11 CARACO PHARMACEUTICAL LABORATORIES LT MI 2.02,9.01 01/30/11 CARNIVAL CORP DE 5.02,9.01 01/28/11 CASCADE BANCORP OR 1.01,2.02,3.03,5.02,5.03,9.01 01/28/11 CAVIUM NETWORKS, INC. DE 1.01,2.01,2.02,3.02,5.02,9.01 01/25/11 CCA INDUSTRIES INC DE 8.01,9.01 01/31/11 CDEX INC NV 5.02,9.01 01/25/11 CENTER BANCORP INC NJ 2.02,5.02,9.01 01/28/11 CENTURY ALUMINUM CO DE 5.02,9.01 01/31/11 CEVA INC DE 2.02,9.01 01/31/11 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 01/28/11 CHEROKEE INC DE 1.01,2.03,5.02,8.01,9.01 01/28/11 CHINA SECURITY & SURVEILLANCE TECHNOL DE 8.01,9.01 01/31/11 CHRISTOPHER & BANKS CORP DE 5.02,7.01,9.01 01/08/11 AMEND CINCINNATI BELL INC OH 5.02 01/29/11 CISCO SYSTEMS INC CA 1.01,2.03 01/31/11 CITIZENS REPUBLIC BANCORP, INC. MI 7.01,9.01 01/31/11 Clean Energy Fuels Corp. DE 8.01,9.01 01/31/11 Clenergen Corp NV 5.02 01/26/11 COFFEE HOLDING CO INC NV 2.02,8.01,9.01 01/31/11 COHU INC DE 5.02 01/25/11 COLE KENNETH PRODUCTIONS INC NY 5.02,8.01,9.01 01/31/11 COLONIAL PROPERTIES TRUST AL 5.02 01/25/11 COMARCO INC CA 1.02,9.01 01/25/11 COMCAST CORP PA 1.01,2.01,5.02,5.05,9.01 01/28/11 Commercial Vehicle Group, Inc. DE 1.01 01/28/11 COSTCO WHOLESALE CORP /NEW WA 5.07,8.01,9.01 01/27/11 Covidien plc 2.02,9.01 01/31/11 CPI INTERNATIONAL, INC. DE 2.02,7.01 01/28/11 CRA INTERNATIONAL, INC. MA 5.03,9.01 01/25/11 CrowdGather, Inc. NV 7.01,9.01 01/31/11 DALIAN CAPITAL GROUP, INC. DE 5.02 01/31/11 DANA HOLDING CORP DE 1.01,7.01,9.01 01/25/11 DARDEN RESTAURANTS INC FL 7.01,9.01 01/31/11 DAVI LUXURY BRAND GROUP, INC. 5.02,8.01 01/25/11 DEFENSE INDUSTRIES INTERNATIONAL INC 5.02 01/26/11 DENMARK BANCSHARES INC WI 2.02,9.01 01/29/11 DENNYS CORP DE 5.02,9.01 01/26/11 DICKS SPORTING GOODS INC DE 8.01 01/28/11 DIME COMMUNITY BANCSHARES INC DE 2.02,9.01 01/27/11 Dolan Co. DE 5.02,9.01 01/27/11 Domark International Inc. NV 4.01,9.01 01/07/11 AMEND Dorman Products, Inc. PA 5.02,9.01 01/31/11 DREW INDUSTRIES INC DE 8.01,9.01 01/31/11 DSP GROUP INC /DE/ DE 2.02,9.01 01/31/11 EASTMAN CHEMICAL CO DE 2.02,9.01 12/31/10 EMC INSURANCE GROUP INC IA 1.01,7.01,9.01 01/28/11 ENCISION INC CO 2.02,9.01 01/31/11 ENERGY PARTNERS LTD DE 7.01 01/31/11 ENPRO INDUSTRIES, INC NC 1.01,8.01,9.01 01/28/11 ENTREMED INC DE 5.02 01/27/11 EPL Intermediate, Inc. DE 5.02 01/25/11 EPL Intermediate, Inc. DE 5.02 01/27/11 EPL Intermediate, Inc. DE 5.02 09/29/10 AMEND EPLUS INC DE 7.01,9.01 01/27/11 Excel Trust, Inc. MD 1.01,3.03,5.03,9.01 01/28/11 EXTREME NETWORKS INC DE 2.02,5.02,5.03,9.01 01/25/11 EXXON MOBIL CORP NJ 2.02,7.01 12/31/10 Fabrinet E9 2.02,5.02,9.01 01/28/11 FARMERS NATIONAL BANC CORP /OH/ OH 1.01,8.01,9.01 01/26/11 Federal Home Loan Bank of Dallas 2.03,9.01 01/25/11 Financial Engines, Inc. DE 8.01 01/31/11 FIRST BANCORP /PR/ PR 5.02 01/25/11 FIRST CAPITAL INC IN 2.02,9.01 01/28/11 FIRST MERCHANTS CORP IN 5.02 01/26/11 FIRST NATIONAL CORP /VA/ 2.02,9.01 01/31/11 FIRST NIAGARA FINANCIAL GROUP INC DE 5.02,9.01 01/31/11 FIRST OTTAWA BANCSHARES INC DE 2.02 01/31/11 FIVE STAR QUALITY CARE INC 3.01 01/31/11 FOREST CITY ENTERPRISES INC OH 3.02 01/31/11 Fresh Traffic Group Inc. NV 9.01 01/28/11 AMEND FusionTech, Inc. NV 1.01,2.01,3.02,5.01,5.02,5.03, 11/22/10 AMEND 5.06,8.01,9.01 GANNETT CO INC /DE/ DE 2.02,9.01 01/31/11 GENERAL ELECTRIC CO NY 1.01,2.01 01/28/11 GeoMet, Inc. DE 5.02,9.01 01/26/11 GLADSTONE INVESTMENT CORPORATION\DE DE 2.02,9.01 01/31/11 GLOBAL EARTH ENERGY, INC. NH 1.01,3.02,3.03,9.01 01/31/11 Global Gate Property Corp. NV 1.01,9.01 01/31/11 Global Security Agency Inc. NV 3.02 12/09/10 AMEND Great East Bottles & Drinks (China) H FL 5.02 01/28/11 GREEN ENVIROTECH HOLDINGS CORP. DE 3.02,5.02,9.01 01/25/11 Guaranty Bancorp DE 2.02,7.01,9.01 01/28/11 GUIDED THERAPEUTICS INC DE 7.01,9.01 01/31/11 HABER INC DE 8.01,9.01 01/31/11 HAEMONETICS CORP MA 2.02,9.01 01/31/11 HARSCO CORP DE 5.02,9.01 01/25/11 HASCO Medical, Inc. FL 1.01,2.01,2.02,3.02,5.01,5.03, 05/12/09 AMEND 5.06,9.01 HAVERTY FURNITURE COMPANIES INC MD 5.02,9.01 01/31/11 HELIOS ADVANTAGE INCOME FUND, INC. MD 5.02 01/25/11 HELIOS HIGH INCOME FUND, INC MD 5.02 01/25/11 HELIOS HIGH YIELD FUND 5.02 01/25/11 HELIOS MULTI-SECTOR HIGH INCOME FUND, MD 5.02 01/25/11 HELIOS STRATEGIC INCOME FUND, INC MD 5.02 01/25/11 HELIOS STRATEGIC MORTGAGE INCOME FUND MD 5.02 01/25/11 HELIOS TOTAL RETURN FUND INC MD 5.02 01/25/11 HERITAGE BANKSHARES INC /VA VA 2.02,8.01,9.01 01/28/11 HERITAGE OAKS BANCORP CA 5.02,9.01 01/26/11 HF FINANCIAL CORP DE 2.02,8.01,9.01 01/31/11 HINES REAL ESTATE INVESTMENT TRUST IN 8.01 01/31/11 HOLLY CORP DE 7.01,9.01 01/31/11 HOLOGIC INC DE 2.02,9.01 01/31/11 HONEYWELL INTERNATIONAL INC DE 1.01,9.01 01/27/11 HOPFED BANCORP INC DE 2.02,9.01 01/31/11 HSW International, Inc. DE 1.01,8.01 01/26/11 HUDSON HOLDING CORP DE 1.01,2.02,2.06,9.01 01/26/11 HUNT J B TRANSPORT SERVICES INC AR 2.02,5.02,9.01 01/27/11 HUNTINGTON BANCSHARES INC/MD MD 7.01,9.01 01/31/11 ICU MEDICAL INC/DE DE 2.02,9.01 01/31/11 IHS Inc. DE 5.02 01/28/11 ILLINOIS TOOL WORKS INC DE 2.02,9.01 01/31/11 Image Metrics, Inc. NV 4.02 01/25/11 IMAX CORP A6 3.01,8.01,9.01 01/31/11 IMPERIAL CAPITAL BANCORP, INC. DE 1.03,5.02,9.01 01/20/11 IMPERIAL OIL LTD 2.02,9.01 01/31/11 INFORMATICA CORP DE 5.02 01/25/11 INGLES MARKETS INC NC 2.02,9.01 01/31/11 INTEGRA BANK CORP IN 2.02,9.01 01/31/11 INTEGRATED DEVICE TECHNOLOGY INC DE 2.02,9.01 01/31/11 INTEL CORP DE 2.02,7.01,9.01 01/31/11 INTERACTIVE DATA CORP/MA/ DE 7.01 01/31/11 INTERACTIVE DATA CORP/MA/ DE 2.02 01/31/11 INTERNATIONAL LEASE FINANCE CORP CA 1.01,2.03,9.01 01/31/11 INTERNATIONAL RECTIFIER CORP /DE/ DE 2.02,9.01 01/31/11 JACKSONVILLE BANCORP INC /FL/ FL 2.02,9.01 01/31/11 JEFFERSON BANCSHARES INC TN 2.02,9.01 01/28/11 JMP Group Inc. DE 5.02 01/26/11 JONES SODA CO WA 8.01,9.01 01/31/11 KBS Legacy Partners Apartment REIT, I MD 1.01 01/25/11 KIT digital, Inc. DE 2.01,2.02,3.02,9.01 01/25/11 Kohlberg Capital CORP DE 1.02,9.01 01/31/11 KRAFT FOODS INC VA 7.01,9.01 01/28/11 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 01/31/11 Lake Shore Bancorp, Inc. X1 2.02,9.01 01/31/11 LAMPERD LESS LETHAL INC NV 8.01 01/31/11 LENNAR CORP /NEW/ DE 5.02 01/12/11 AMEND LEVEL 3 COMMUNICATIONS INC DE 2.03 01/31/11 LEXARIA CORP. 7.01,9.01 01/31/11 AMEND LIGAND PHARMACEUTICALS INC DE 1.01,8.01,9.01 01/26/11 Limelight Networks, Inc. DE 5.02 01/25/11 LSB INDUSTRIES INC DE 8.01 01/31/11 MAGNUM HUNTER RESOURCES CORP DE 8.01,9.01 01/31/11 MAGNUM HUNTER RESOURCES CORP DE 8.01,9.01 01/31/11 MAINLAND RESOURCES INC. 8.01,9.01 01/19/11 MAINLAND RESOURCES INC. 7.01,9.01 01/31/11 Manhattan Bancorp CA 1.01 01/25/11 MANHATTAN PHARMACEUTICALS INC DE 8.01,9.01 01/31/11 MAP Pharmaceuticals, Inc. DE 1.01,7.01,9.01 01/28/11 MASIMO CORP DE 1.01,7.01,9.01 01/28/11 MASSEY ENERGY CO DE 1.01,8.01,9.01 01/31/11 MAUI LAND & PINEAPPLE CO INC HI 2.05 01/25/11 MAXWELL TECHNOLOGIES INC DE 8.01 01/31/11 MAXYGEN INC DE 8.01,9.01 01/31/11 MCINTOSH BANCSHARES INC /GA/ GA 1.01 01/31/11 MCKESSON CORP DE 2.02,9.01 01/31/11 MEDALLION FINANCIAL CORP DE 1.01,2.03,9.01 01/28/11 MediaMind Technologies Inc. DE 8.01,9.01 01/31/11 Meritage Homes CORP MD 5.02 01/28/11 METALICO INC 1.01,2.03,3.02,8.01,9.01 01/27/11 MetroCorp Bancshares, Inc. TX 5.02 01/28/11 Mexus Gold US NV 4.01 10/26/10 AMEND MICRONETICS INC DE 2.02,9.01 01/28/11 MILLER HERMAN INC MI 5.02,7.01,9.01 01/28/11 MOOG INC NY 2.02,9.01 01/31/10 MORTONS RESTAURANT GROUP INC DE 5.02,9.01 01/25/11 Motorola Solutions, Inc. DE 5.02,9.01 01/25/11 MOTRICITY INC DE 1.01,3.02,7.01,9.01 01/30/11 MS STRUCTURED ASSET CORP CBT SERIES 2 DE 8.01,9.01 01/25/11 MUTUALFIRST FINANCIAL INC MD 8.01,9.01 01/31/11 NATIONAL MENTOR HOLDINGS, INC. DE 1.01,8.01,9.01 01/27/11 Naugatuck Valley Financial Corp X1 2.02,9.01 01/27/11 NCR CORP MD 5.03,9.01 01/26/11 NET TALK.COM, INC. FL 3.02,8.01,9.01 01/28/11 NetSpend Holdings, Inc. DE 8.01,9.01 01/31/11 Nevada Gold Holdings, Inc. DE 5.02 01/25/10 Noble Corp / Switzerland V8 8.01,9.01 01/31/11 NOVAVAX INC DE 8.01 01/31/11 NOVELLUS SYSTEMS INC CA 2.02,9.01 01/31/11 NuStar Energy L.P. DE 2.02,9.01 01/31/11 NuStar GP Holdings, LLC DE 2.02,9.01 01/31/11 NUVILEX, INC. NV 4.02 11/30/10 Oak Valley Bancorp CA 2.02,7.01,9.01 01/28/11 OLD NATIONAL BANCORP /IN/ IN 2.02,9.01 01/31/11 OLIN CORP VA 2.02,9.01 01/31/11 OLIN CORP VA 2.05,2.06 01/31/11 AMEND ON SEMICONDUCTOR CORP DE 8.01,9.01 01/26/11 OptimumBank Holdings, Inc. FL 7.01,9.01 01/31/11 OXIGENE INC DE 8.01,9.01 01/31/11 PALL CORP NY 5.02 01/28/11 PANTRY INC DE 5.02 08/31/10 AMEND PARKS AMERICA, INC NV 5.02,9.01 01/28/11 PAYCHEX INC DE 5.02,9.01 01/31/11 PEOPLES BANCORP OF NORTH CAROLINA INC NC 2.02,9.01 01/31/11 PERMA FIX ENVIRONMENTAL SERVICES INC DE 2.02,9.01 01/28/11 PETMED EXPRESS INC FL 8.01,9.01 01/31/11 PHILLIPS VAN HEUSEN CORP /DE/ DE 5.02,9.01 01/28/11 PIEDMONT NATURAL GAS CO INC NC 1.01,1.02,9.01 01/25/11 PIMI AGRO CLEANTECH, INC. DE 1.01,3.02,9.01 01/25/11 PLAINS EXPLORATION & PRODUCTION CO DE 2.02,7.01,9.01 01/31/11 PLUM CREEK TIMBER CO INC DE 2.02,9.01 01/31/11 PMC SIERRA INC DE 2.01,9.01 01/28/11 AMEND POPULAR INC 8.01,9.01 01/27/11 POWER INTEGRATIONS INC CA 5.02 01/25/11 PPL Corp 2.01,9.01 01/31/11 Prepaid Card Holdings, Inc. NV 4.01 01/31/11 Progressive Care Inc. DE 5.03 01/27/11 PROLOGIS MD 8.01,9.01 01/30/11 QUALITY SYSTEMS, INC CA 2.02,8.01,9.01 01/26/11 QUALSTAR CORP CA 5.02 01/28/11 QUEST DIAGNOSTICS INC DE 8.01,9.01 01/31/11 RADIENT PHARMACEUTICALS Corp DE 1.02,7.01,9.01 01/30/11 RED ROBIN GOURMET BURGERS INC DE 7.01,9.01 01/31/11 REDWOOD TRUST INC MD 8.01,9.01 01/31/11 REINSURANCE GROUP OF AMERICA INC MO 2.02,9.01 01/31/11 RESOURCE ACQUISITION GROUP, INC. NY 3.02 12/31/10 REVA Medical, Inc. DE 2.02,7.01,9.01 01/31/11 RFS HOLDING LLC 1.01,9.01 01/27/11 Rock-Tenn CO GA 5.07 01/28/11 ROPER INDUSTRIES INC DE 2.02,9.01 01/31/11 RSC Holdings Inc. DE 5.02 01/25/11 RUDOLPH TECHNOLOGIES INC DE 2.02 01/31/11 S&T BANCORP INC PA 2.02,9.01 01/31/11 SAIA INC DE 2.02,9.01 01/31/11 SANDERSON FARMS INC MS 5.02,9.01 01/27/11 SANFILIPPO JOHN B & SON INC DE 5.02,9.01 01/25/11 Sara Lee Corp MD 5.02 01/28/11 SAVIENT PHARMACEUTICALS INC DE 8.01,9.01 01/31/11 SEACOAST BANKING CORP OF FLORIDA FL 2.02,7.01,9.01 01/26/11 Sebring Software, Inc. NV 1.01,2.01,2.03,5.01,5.02,5.03, 10/25/10 AMEND 5.07,9.01 SEGWAY IV CORP NJ 4.01,9.01 01/24/11 AMEND SEGWAY IV CORP NJ 4.01,9.01 01/24/11 AMEND SHAW GROUP INC LA 7.01,9.01 01/31/11 SINOHUB, INC. DE 5.02,8.01,9.01 01/25/11 SJW CORP CA 5.02 01/28/11 Solar Capital Ltd. MD 2.02,7.01,9.01 01/31/11 Solera National Bancorp, Inc. DE 2.02,9.01 01/31/11 SOUTHERN COMMUNITY FINANCIAL CORP 2.02,9.01 01/31/11 SOUTHERN COPPER CORP/ DE 5.03,9.01 01/27/11 SOUTHSIDE BANCSHARES INC TX 2.02,9.01 01/27/11 SOUTHWEST BANCORP INC OK 1.01 01/27/11 SPOT MOBILE INTERNATIONAL LTD. DE 3.02 01/25/11 StellarOne CORP VA 8.01,9.01 01/31/11 STRATS SM TRUST FOR Goldman Sachs Cap 8.01,9.01 01/18/11 STRATS SM TRUST FOR GOLDMAN SACHS GRO 8.01,9.01 01/18/11 STRATS SM TRUST FOR JPMORGAN CHASE & 8.01,9.01 01/18/11 STRATS SM TRUST FOR WAL-MART STORES, 8.01,9.01 01/18/11 STRATS(SM) TRUST FOR DOMINION RESOURC 8.01,9.01 01/18/11 STRATS(SM) TRUST FOR GEN ELEC CAP COR 8.01,9.01 01/18/11 STRATS(SM) Trust For Goldman Sachs Ca 8.01,9.01 01/18/11 STRATTEC SECURITY CORP WI 2.02,9.01 01/27/11 SUNOVIA ENERGY TECHNOLOGIES INC NV 5.02,9.01 01/31/11 SUNRISE SENIOR LIVING INC DE 5.02 01/25/11 Swisher Hygiene Inc. DE 5.02,9.01 01/28/11 TBS International plc L2 1.01,2.03,3.02,3.03,5.03,7.01, 01/25/11 9.01 TC Power Management Corp. 5.02,9.01 01/31/11 TearLab Corp DE 5.02 01/27/11 TELEFLEX INC DE 5.02,7.01,9.01 01/30/11 TELLABS INC DE 8.01 01/27/11 TEXAS PACIFIC LAND TRUST 2.02,9.01 01/31/11 THERMOENERGY CORP DE 8.01 01/24/11 THOMAS & BETTS CORP TN 2.02,9.01 01/31/11 TIB FINANCIAL CORP. FL 3.01,9.01 01/25/11 TIDEWATER INC DE 8.01,9.01 01/28/11 TIGRENT INC CO 7.01 01/24/11 TODD SHIPYARDS CORP WA 1.01,9.01 01/13/11 TOMPKINS FINANCIAL CORP NY 5.02,5.03,9.01 01/25/11 TORTOISE CAPITAL RESOURCES CORP 2.02,9.01 08/13/10 TORVEC INC NY 7.01 01/27/11 Transcept Pharmaceuticals Inc DE 7.01,9.01 01/31/11 TransDigm Group INC DE 7.01,9.01 01/31/11 TRICO MARINE SERVICES INC DE 5.02 01/17/11 tw telecom inc. DE 8.01 01/27/11 TWO RIVERS WATER Co CO 7.01 01/31/11 Ulta Salon, Cosmetics & Fragrance, In DE 5.02,9.01 01/25/11 Unilife Corp DE 2.02,7.01,9.01 01/31/11 UNITED BANCSHARES INC/OH OH 2.02,7.01,9.01 01/31/11 UNITED ONLINE INC DE 8.01 01/31/11 URANIUM 308 CORP. NV 3.02,9.01 01/25/11 US BANCORP \DE\ DE 8.01,9.01 01/28/11 US Dry Cleaning Services Corp DE 8.01,9.01 01/21/11 US ENERGY CORP WY 8.01,9.01 01/31/11 Valley Commerce Bancorp CA 2.02,9.01 01/28/11 VALLEY FINANCIAL CORP /VA/ VA 2.02,9.01 01/31/11 VALLEY NATIONAL BANCORP NJ 7.01,9.01 01/28/11 VALLEY NATIONAL BANCORP NJ 5.03,9.01 01/25/11 Verecloud, Inc. NV 5.07,8.01,9.01 01/28/11 VirnetX Holding Corp DE 4.02 01/25/11 VISA INC. DE 5.02,5.03,5.07,9.01 01/27/11 VIST FINANCIAL CORP PA 2.02,9.01 01/25/11 VISUALANT INC NV 2.01,9.01 01/24/11 VISUALANT INC NV 8.01,9.01 01/27/11 VMWARE, INC. DE 5.02 01/27/11 Volcano Corp DE 8.01 01/26/11 WADDELL & REED FINANCIAL INC DE 2.02,9.01 01/31/11 WELLS FARGO & CO/MN DE 9.01 01/31/11 WELLS MID-HORIZON VALUE-ADDED FUND I 7.01,9.01 01/31/11 WELLS REAL ESTATE FUND IX LP GA 7.01,8.01,9.01 01/31/11 WELLS REAL ESTATE FUND VIII LP GA 7.01,8.01,9.01 01/31/11 WELLS REAL ESTATE FUND X L P GA 7.01,8.01,9.01 01/31/11 WELLS REAL ESTATE FUND XI L P GA 7.01,8.01,9.01 01/31/11 WELLS REAL ESTATE FUND XII LP GA 7.01,8.01,9.01 01/31/11 WELLS REAL ESTATE FUND XIII L P 7.01,8.01,9.01 01/31/11 WELLS REAL ESTATE FUND XIV LP GA 7.01,8.01,9.01 01/31/11 WEST COAST BANCORP /NEW/OR/ OR 5.02 01/25/11 WEST MARINE INC DE 1.01,9.01 01/28/11 Westway Group, Inc. DE 5.02,9.01 01/31/11 WSB Holdings Inc DE 2.02,9.01 01/27/11 X-CHANGE CORP NV 8.01,9.01 01/31/10 XCEL ENERGY INC MN 7.01 01/31/11 YOUBLAST GLOBAL, INC. DE 5.02 01/24/11 ZIONS BANCORPORATION /UT/ UT 7.01,9.01 01/31/11 ZOLL MEDICAL CORP MA 5.03,9.01 01/26/11