|
|
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 Officer |
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 5.02,9.01 12/20/11 ABIOMED INC DE 7.01 12/22/11 ACACIA RESEARCH CORP DE 8.01 12/06/11 ACACIA RESEARCH CORP DE 8.01 12/21/11 AETRIUM INC MN 5.02,9.01 11/28/11 AMEND ALLOS THERAPEUTICS INC DE 5.02,9.01 12/21/11 Alphatec Holdings, Inc. DE 1.01 12/19/11 ALTERRA CAPITAL HOLDINGS Ltd 1.01,9.01 12/19/11 AMARIN CORP PLC\UK X0 5.02,8.01,9.01 12/23/11 AMERICAN AXLE & MANUFACTURING HOLDING DE 5.02 12/22/11 American Caresource Holdings, Inc. DE 5.02 12/19/11 American Exploration Corp NV 1.02,9.01 12/21/11 American Petroleum Tankers Parent LLC DE 1.01,9.01 12/20/11 Aquilex Holdings LLC DE 8.01,9.01 12/23/11 Aquilex Holdings LLC DE 1.01,2.03,7.01,8.01, 12/20/11 9.01 Arista Power, Inc. NY 3.03,5.03,9.01 12/22/11 ASSOCIATED BANC-CORP WI 5.02,9.01 12/21/11 AUTHENTIDATE HOLDING CORP DE 5.03,5.07,9.01 12/21/11 AUXILIO INC NV 5.02,9.01 12/19/11 AUXILIUM PHARMACEUTICALS INC 5.02,9.01 12/23/11 Avery Dennison Corp DE 1.01,2.03,9.01 12/22/11 AVISTAR COMMUNICATIONS CORP DE 1.01,2.01,2.03 12/22/11 B2B INTERNET HOLDRSSM TRUST NY 8.01,9.01 12/22/11 Bank of New York Mellon CORP DE 8.01 12/23/11 BankUnited, Inc. DE 8.01,9.01 12/22/11 Behringer Harvard Opportunity REIT I, MD 1.01,8.01 12/20/11 BENCHMARK ELECTRONICS INC TX 8.01,9.01 12/21/11 BERKLEY W R CORP DE 5.02 12/21/11 BERTHEL GROWTH & INCOME TRUST I DE 2.01,8.01,9.01 12/19/11 BIOCANCELL THERAPEUTICS INC. 5.03 12/19/11 BioCube, INC. DE 1.01,8.01,9.01 12/19/11 Biostar Pharmaceuticals, Inc. MD 9.01 10/11/11 AMEND Blackwater Midstream Corp. 1.01,2.01,2.03,9.01 12/22/11 Blue Earth, Inc. NV 1.01,9.01 12/19/11 BOTETOURT BANKSHARES INC VA 8.01,9.01 12/23/11 BROADBAND HOLDRS TRUST 8.01,9.01 12/22/11 BROADWIND ENERGY, INC. DE 5.02 12/20/11 CARMAX INC VA 5.02,9.01 12/21/11 CCFNB BANCORP INC PA 5.02,9.01 12/21/11 Celanese CORP DE 5.02 12/20/11 CHINA EDUCATION ALLIANCE INC. NC 3.01,9.01 12/21/11 CHINA HGS REAL ESTATE INC. F4 1.01,4.02,9.01 03/16/11 CHINA SHEN ZHOU MINING & RESOURCES, I NV 5.02,5.07,8.01 12/20/11 CHRISTOPHER & BANKS CORP DE 2.02 12/22/11 AMEND CIG WIRELESS CORP. NV 1.01,3.02 12/20/11 CINCINNATI BELL INC OH 8.01,9.01 12/20/11 CIRCLE STAR ENERGY CORP. NV 1.01,9.01 12/21/11 CLEAN WIND ENERGY TOWER, INC. NV 5.02,5.07 12/16/11 COMMERCE BANCSHARES INC /MO/ MO 8.01 12/23/11 COMMUNITYCORP 5.02 12/23/11 COMPASS BIOTECHNOLOGIES INC. NV 1.01,3.02,9.01 08/19/11 Comstock Mining Inc. NV 5.02,9.01 12/21/11 CPM Holdings, Inc. 5.02 12/21/11 CVR ENERGY INC DE 5.02,9.01 12/19/11 CVR PARTNERS, LP DE 5.02,9.01 12/20/11 Cyalume Technologies Holdings, Inc. DE 1.01,9.01 12/22/11 CYCLONE POWER TECHNOLOGIES INC FL 1.01,9.01 12/20/11 DGSE COMPANIES INC NV 5.02 12/20/11 DITECH NETWORKS INC DE 1.01 12/21/11 DYNEGY HOLDINGS, LLC DE 7.01,9.01 12/22/11 DYNEX CAPITAL INC VA 1.01,9.01 12/23/11 EAGLE BANCORP INC MD 5.02,9.01 12/21/11 ENOVA SYSTEMS INC CA 5.02 12/19/11 ENTERCOM COMMUNICATIONS CORP PA 7.01,9.01 12/23/11 EPICEPT CORP 8.01,9.01 12/20/11 EUROPE 2001 HOLDRS TRUST NY 8.01,9.01 12/22/11 ExamWorks Group, Inc. DE 5.02 12/19/11 Federal Home Loan Bank of Chicago X1 3.03,7.01 12/23/11 FEDERAL HOME LOAN MORTGAGE CORP 7.01,9.01 12/23/11 Feihe International Inc UT 4.01,9.01 12/23/11 Feihe International Inc UT 9.01 12/23/11 AMEND FIELDPOINT PETROLEUM CORP CO 7.01,9.01 12/21/11 Fifth Season International, Inc. DE 5.02,9.01 12/23/11 FIRST ACCEPTANCE CORP /DE/ DE 1.01,1.02,5.02,5.03, 12/21/11 8.01,9.01 FIRST HORIZON NATIONAL CORP TN 8.01 12/23/11 FIRSTCITY FINANCIAL CORP DE 1.01,2.03,9.01 12/20/11 Freeze Tag, Inc. DE 3.02,9.01 11/29/11 FUELCELL ENERGY INC DE 5.02,9.01 12/19/11 GelTech Solutions, Inc. DE 1.01 12/20/11 GENEREX BIOTECHNOLOGY CORP DE 8.01 12/22/11 GENTA INC DE/ DE 8.01 12/23/11 GERON CORP DE 5.02 12/10/11 Global Growth Trust, Inc. MD 9.01 10/17/11 AMEND GOLDMAN SACHS GROUP INC DE 9.01 12/23/11 Graymark Healthcare, Inc. OK 3.01 12/21/11 Graystone Co DE 2.03,3.02,8.01 12/23/11 GREENMAN TECHNOLOGIES INC DE 1.01,2.03,3.02,9.01 12/19/11 GRUBB & ELLIS CO DE 5.02 12/19/11 GSP-2, INC. NV 1.01,3.01 12/20/11 Guardian 8 Holdings 5.02,8.01,9.01 12/14/11 Guitammer Co NV 1.01,3.02,9.01 12/21/11 GulfStar Energy Corp CO 5.02 12/20/11 HARLEYSVILLE GROUP INC DE 5.02 12/20/11 HeartWare International, Inc. DE 5.02 12/21/11 HEMISPHERX BIOPHARMA INC DE 5.02 12/19/11 HERCULES OFFSHORE, INC. DE 3.02,8.01 12/22/11 Heritage Financial Group Inc MD 8.01,9.01 12/21/11 HIBERNIA BANCORP, INC. 5.02 12/22/11 ICAD INC DE 1.01,2.03,8.01 12/22/11 INTEGRA LIFESCIENCES HOLDINGS CORP DE 5.02,9.01 12/20/11 INTERNATIONAL ISOTOPES INC TX 1.01,1.02 12/20/11 INTERNET ARCHITECTURE HOLDRSSM TRUST NY 8.01,9.01 12/22/11 INTERNET HOLDRS TRUST NY 8.01,9.01 12/22/11 INTERNET INFRASTRUCTURE HOLDRSSM TRUS NY 8.01,9.01 12/22/11 Invesco Ltd. D0 1.01,9.01 06/03/11 JBI, INC. NV 8.01,9.01 12/23/11 Kaiser Federal Financial Group, Inc. MD 5.02,5.07,9.01 12/22/11 KBS Strategic Opportunity REIT, Inc. MD 1.01,2.03 12/20/11 Lake Shore Bancorp, Inc. X1 5.02,5.03,9.01 12/21/11 LANDAUER INC DE 5.02,8.01,9.01 12/21/11 LEHMAN BROTHERS HOLDINGS INC DE 7.01,9.01 12/23/11 LIQUIDMETAL TECHNOLOGIES INC DE 1.01 12/20/11 LIVEDEAL INC NV 8.01,9.01 12/21/11 Lone Pine Holdings, Inc NV 5.02 12/20/11 M & F WORLDWIDE CORP DE 2.01,3.01,3.03,5.02, 12/21/11 5.03,5.07,8.01,9.01 MAINLAND RESOURCES INC. 1.02,8.01,9.01 12/21/11 MANHATTAN ASSOCIATES INC GA 5.02,9.01 12/19/11 Marina Biotech, Inc. DE 1.01,3.02,3.03,5.03, 12/22/11 8.01,9.01 MARKET 2000 PLUS HOLDRS SM TRUST NY 8.01,9.01 12/22/11 MDC HOLDINGS INC DE 5.02 12/22/11 Measurement Specialties Inc NJ 1.01,9.01 12/23/11 METLIFE INC DE 5.02,9.01 12/20/11 MF Global Holdings Ltd. DE 1.03,7.01,9.01 12/19/11 Mid-Con Energy Partners, LP DE 1.01,2.01,2.03,3.02, 12/20/11 5.02,5.03,9.01 Midway Gold Corp A1 7.01,9.01 12/20/11 MINN DAK FARMERS COOPERATIVE ND 5.02 12/19/11 MISSION BROADCASTING INC DE 5.02,9.01 12/19/11 MORTONS RESTAURANT GROUP INC DE 8.01,9.01 12/23/11 MWI Veterinary Supply, Inc. DE 5.02 12/23/11 MYR GROUP INC. DE 1.01,1.02,2.03,9.01 12/21/11 N-VIRO INTERNATIONAL CORP DE 1.02 12/15/11 NASH FINCH CO DE 1.01,9.01 12/23/11 NEW CENTURY BANCORP INC NC 1.01,8.01,9.01 12/20/11 NEWS CORP 8.01,9.01 12/23/11 NF Energy Saving Corp DE 5.02 12/20/11 NGL Energy Partners LP DE 9.01 11/01/11 AMEND NIKE INC OR 2.02,9.01 12/20/11 NORTH BAY RESOURCES INC DE 1.02,9.01 12/21/11 NTS MORTGAGE INCOME FUND DE 1.01,9.01 12/22/11 NYSE Euronext DE 8.01,9.01 12/21/11 Obagi Medical Products, Inc. DE 1.01,3.03,5.03,9.01 12/23/11 ON SEMICONDUCTOR CORP DE 1.01,2.03,9.01 12/23/11 Orange 21 Inc. DE 1.01,2.03,9.01 12/21/11 Orient Paper Inc. NV 4.01,8.01,9.01 12/23/11 Orient Paper Inc. NV 8.01,9.01 12/23/11 PARLUX FRAGRANCES INC DE 1.01,7.01,9.01 12/15/11 PATHFINDER BANCORP INC DE 8.01 12/23/11 PENSECO FINANCIAL SERVICES CORP PA 5.02,9.01 12/23/11 PEOPLES BANCORPORATION INC /SC/ SC 1.01,9.01 12/19/11 PEPTIDE TECHNOLOGIES, INC. NV 1.01,5.02,9.01 12/14/11 PERFICIENT INC DE 5.02,9.01 12/22/11 Perfumania Holdings, Inc. FL 1.01,5.03,7.01,9.01 12/23/11 Perfumania Holdings, Inc. FL 1.01,5.03,7.01,9.01 12/23/11 PLAINSCAPITAL CORP TX 8.01 12/22/11 POLYONE CORP 1.01,1.02,2.01,2.03, 12/21/11 9.01 PONIARD PHARMACEUTICALS, INC. WA 1.01,1.02,8.01,9.01 12/21/11 POPULAR INC 5.02,9.01 12/22/11 PostRock Energy Corp DE 1.01,9.01 12/19/11 POWERDYNE INTERNATIONAL, INC. DE 2.01,5.01,5.06,9.01 02/07/11 AMEND Premier Beverage Group Corp NV 2.01,3.02,4.01,5.01, 10/19/11 AMEND 5.02,5.03,9.01 PREMIER EXHIBITIONS, INC. FL 1.01,8.01,9.01 12/20/11 PREMIER HOLDING CORP. NV 5.01,9.01 12/23/11 Premier Power Renewable Energy, Inc. DE 5.02 12/23/11 PROTECT PHARMACEUTICAL Corp NV 5.02,9.01 12/23/11 PROVIDENT FINANCIAL SERVICES INC DE 5.03,9.01 12/21/11 Reliance Bancshares, Inc. MO 5.02,8.01 11/15/11 REPROS THERAPEUTICS INC. DE 8.01,9.01 12/22/11 REPUBLIC AIRWAYS HOLDINGS INC DE 8.01 12/20/11 RESPONSE GENETICS INC 5.02,8.01,9.01 12/21/11 ROBERTS REALTY INVESTORS INC GA 5.02,9.01 12/22/11 ROBERTS REALTY INVESTORS INC GA 1.01,9.01 12/19/11 ROCHESTER MEDICAL CORPORATION MN 5.02,9.01 12/21/11 ROOMLINX INC NV 1.01,9.01 12/19/11 RUDOLPH TECHNOLOGIES INC DE 7.01 12/23/11 Sanchez Energy Corp DE 1.01,2.01,3.02,9.01 12/19/11 SATCON TECHNOLOGY CORP DE 3.01 12/20/11 SCBT FINANCIAL CORP SC 1.01,9.01 12/19/11 SCHULMAN A INC DE 5.07 12/08/11 SEALED AIR CORP/DE DE 8.01,9.01 12/21/11 SEARCH BY HEADLINES.COM CORP. NV 5.02 12/22/11 SERVICEMASTER CO DE 1.01,9.01 12/21/11 Shengkai Innovations, Inc. FL 5.07,8.01,9.01 12/23/11 SHUTTERFLY INC DE 7.01,9.01 12/23/11 SILGAN HOLDINGS INC DE 5.02,9.01 12/21/11 SKY PETROLEUM, INC. NV 8.01 12/23/11 SOFTWARE HOLDRS TRUST NY 8.01,9.01 12/22/11 Solar Energy Initiatives, Inc. DE 5.03,9.01 12/22/11 SOLTA MEDICAL INC DE 8.01 12/20/11 SPECTRUM PHARMACEUTICALS INC DE 5.02 12/23/11 Spirit Airlines, Inc. DE 3.02 12/21/11 SPX CORP DE 1.01,9.01 12/22/11 Standard Gold CO 1.01,3.02,5.02,9.01 12/16/11 AMEND STANDARD PACIFIC CORP /DE/ DE 1.01,3.03,9.01 12/20/11 STEIN MART INC FL 2.02,9.01 12/23/11 STEINWAY MUSICAL INSTRUMENTS INC DE 5.02,9.01 12/20/11 STR HOLDINGS, INC. DE 5.02 12/19/11 SUMMIT FINANCIAL GROUP INC WV 5.02 12/20/11 SUN RIVER ENERGY, INC CO 8.01,9.01 12/21/11 SUNPOWER CORP DE 1.01,3.02,5.02,5.07, 12/21/11 8.01,9.01 SUNPOWER CORP DE 5.02,9.01 12/23/11 Support.com, Inc. DE 5.07 05/25/11 AMEND SYNOVUS FINANCIAL CORP GA 5.02 12/22/11 Tamir Biotechnology, Inc. DE 5.02 12/16/11 TELECOM HOLDRS TRUST NY 8.01,9.01 12/22/11 TELESTONE TECHNOLOGIES CORP CO 5.02,5.07,7.01,8.01, 12/20/11 9.01 THQ INC DE 5.07 07/28/11 AMEND TIER TECHNOLOGIES INC DE 5.02,9.01 12/20/11 TIFFANY & CO DE 8.01 12/21/11 Titanium Asset Management Corp DE 5.02 12/19/11 TMST, Inc. MD 7.01,9.01 12/22/11 Total Nutraceutical Solutions, Inc. NV 1.01,2.03,5.07,9.01 12/20/11 Transocean Ltd. V8 8.01 12/23/11 TRUSTCO BANK CORP N Y NY 5.02,8.01 12/20/11 TurkPower Corp DE 1.01,9.01 12/20/11 UNITED FIRE & CASUALTY CO IA 1.01,2.03 12/23/11 UTILITIES HOLDERS SM TRUST NY 8.01,9.01 12/22/11 VALENCE TECHNOLOGY INC DE 1.01,9.01 12/22/11 VALIDUS HOLDINGS LTD 1.01,2.03 12/20/11 Verso Paper Corp. DE 3.01,9.01 12/21/11 Vican Resources, Inc. NV 1.01,2.01,3.02,3.03, 12/20/11 5.01,5.02,5.03,5.07, 9.01 VIPER POWERSPORTS INC NV 5.02 12/22/11 VIROPHARMA INC DE 1.01,8.01,9.01 12/22/11 VIRTUAL PIGGY, INC. DE 5.02 12/19/11 VISA INC. DE 8.01,9.01 12/23/11 VistaGen Therapeutics, Inc. NV 1.01,3.02,5.03,9.01 12/22/11 Whitestone REIT TX 1.01,2.01,2.03,7.01, 12/22/11 9.01 Whitestone REIT Operating Partnership DE 1.01,2.01,2.03,7.01, 12/22/11 9.01 WIDEPOINT CORP DE 5.07 12/19/11 Williams Partners L.P. 3.02,7.01,9.01 12/21/11 WILLIS LEASE FINANCE CORP DE 5.07 05/18/11 AMEND WINN DIXIE STORES INC FL 8.01,9.01 12/23/11 WINNER MEDICAL GROUP INC NV 4.01,8.01,9.01 12/23/11 WIRELESS HOLDRS TRUST NY 8.01,9.01 12/22/11 World Energy Solutions, Inc. DE 2.01,9.01 10/17/11 AMEND Zep Inc. DE 1.01,2.03,9.01 12/19/11 ZION OIL & GAS INC DE 1.01 12/20/11
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