|
|
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 SOURCE CORP IN 5.02,5.07 04/26/12 3D SYSTEMS CORP DE 5.02 04/27/12 8X8 INC /DE/ DE 1.01 04/27/12 ABAXIS INC CA 5.02 04/25/12 ABBOTT LABORATORIES IL 5.07 04/27/12 AbitibiBowater Inc. DE 2.02,8.01,9.01 05/01/12 ACACIA RESEARCH CORP DE 8.01 04/26/12 Acadia Healthcare Company, Inc. DE 7.01,9.01 05/01/12 Accenture plc L2 5.02,9.01 04/27/12 ACCENTURE SCA 5.02,9.01 04/27/12 ACME PACKET INC DE 1.01,8.01,9.01 04/25/12 ACURA PHARMACEUTICALS, INC NY 2.02,9.01 05/01/12 AECOM TECHNOLOGY CORP DE 5.02 04/25/12 Aegerion Pharmaceuticals, Inc. DE 2.02,9.01 05/01/12 AEROSONIC CORP /DE/ DE 2.02,9.01 04/30/12 AFFILIATED MANAGERS GROUP INC DE 2.02,8.01,9.01 05/01/12 AGCO CORP /DE DE 2.02,9.01 05/01/12 AGCO CORP /DE DE 5.07 05/01/12 AGL RESOURCES INC GA 2.02,9.01 05/01/12 AGL RESOURCES INC GA 8.01,9.01 05/01/12 ALASKA COMMUNICATIONS SYSTEMS GROUP I DE 2.02,9.01 05/01/12 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 05/01/12 ALLSCRIPTS HEALTHCARE SOLUTIONS, INC. DE 8.01,9.01 04/30/12 Alternative Energy Partners, Inc. FL 1.01,9.01 05/01/12 AMAG PHARMACEUTICALS INC. DE 2.02,9.01 05/01/12 AMAZON COM INC DE 7.01 05/01/12 AMERIANA BANCORP IN 2.02,9.01 04/30/12 American Assets Trust, Inc. MD 2.02,7.01,9.01 05/01/12 AMERICAN AXLE & MANUFACTURING HOLDING DE 5.02,5.07,9.01 04/25/12 AMERICAN BAR ASSOCIATION MEMBERS / NO IL 1.01,1.02 04/25/12 AMERICAN CAPITAL, LTD 2.02,9.01 05/01/12 American Electric Technologies Inc FL 5.02 04/25/12 AMSURG CORP TN 7.01,9.01 05/01/12 Amtrust Financial Services, Inc. DE 2.02,9.01 05/01/12 AMYRIS, INC. DE 5.02 04/25/12 ANADIGICS INC DE 2.02,9.01 05/01/12 APRIA HEALTHCARE GROUP INC DE 2.02,9.01 05/01/12 APRIA HEALTHCARE GROUP INC DE 7.01 05/01/12 ARCH COAL INC DE 2.02,9.01 05/01/12 ARCH COAL INC DE 7.01,9.01 05/01/12 ARCHER DANIELS MIDLAND CO DE 2.02,9.01 05/01/12 ARENA PHARMACEUTICALS INC DE 2.02,9.01 05/01/12 ARRAY BIOPHARMA INC DE 5.02,9.01 04/26/12 ARROW ELECTRONICS INC NY 2.02,9.01 05/01/12 ASB Bancorp Inc 2.02,9.01 05/01/12 ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 05/01/12 ASPEN TECHNOLOGY INC /DE/ DE 2.02,9.01 05/01/12 ASTRONICS CORP NY 2.02,9.01 05/01/12 Atkore International Holdings Inc. DE 2.02 04/26/12 Atlantic Coast Financial CORP MD 2.02,9.01 05/01/12 Atlas Energy, L.P. DE 2.01,9.01 04/30/12 Atlas Energy, L.P. DE 5.07 04/26/12 Atlas Resource Partners, L.P. 1.01,2.01,2.03,3.02, 04/30/12 7.01,8.01,9.01 Atlas Therapeutics Corp NV 5.02 04/30/12 ATWOOD OCEANICS INC TX 7.01,9.01 04/30/12 ATWOOD OCEANICS INC TX 2.02,9.01 05/01/12 Aurum, Inc. DE 5.02 04/30/12 AUTOLIV INC DE 8.01,9.01 04/30/12 AUTOMATIC DATA PROCESSING INC DE 2.02,9.01 05/01/12 AVON PRODUCTS INC NY 2.02,9.01 05/01/12 BANCTRUST FINANCIAL GROUP INC AL 2.02,9.01 04/30/12 Bankrate, Inc. DE 2.02,9.01 05/01/12 BankUnited, Inc. DE 7.01,9.01 05/01/12 BAR HARBOR BANKSHARES ME 1.01 05/01/12 BAZI INTERNATIONAL, INC. NV 2.03,9.01 04/25/12 BB&T CORP NC 5.03,8.01,9.01 04/27/12 BECTON DICKINSON & CO NJ 2.02,9.01 05/01/12 BIDGIVE INTERNATIONAL INC DE 5.02 04/26/12 BIG 5 SPORTING GOODS CORP DE 2.02,9.01 05/01/12 BIO RAD LABORATORIES INC DE 2.02,9.01 05/01/12 BIO REFERENCE LABORATORIES INC NJ 1.01,9.01 04/27/12 BIOGEN IDEC INC. DE 2.02,9.01 05/01/12 BIOSPECIFICS TECHNOLOGIES CORP DE 7.01,9.01 05/01/12 Bizzingo, Inc. NV 7.01,9.01 05/01/12 BKF CAPITAL GROUP INC DE 8.01,9.01 05/01/12 BLACKSANDS PETROLEUM, INC. NV 1.01,2.03,9.01 04/09/12 BLUE RIDGE REAL ESTATE CO PA 5.07 04/10/12 AMEND BMC SOFTWARE INC DE 5.02,9.01 04/26/12 BNC BANCORP NC 2.02,9.01 04/30/12 BNC BANCORP NC 1.01,9.01 04/27/12 BOOKS A MILLION INC DE 5.02 04/25/12 AMEND BRE PROPERTIES INC /MD/ MD 2.02,8.01,9.01 05/01/12 Bridgepoint Education Inc DE 2.02,9.01 05/01/12 BROADCOM CORP CA 2.02,9.01 05/01/12 BROADCOM CORP CA 9.01 02/17/12 AMEND BROADRIDGE FINANCIAL SOLUTIONS, INC. DE 8.01,9.01 05/01/12 BRUKER CORP DE 2.02,9.01 05/01/12 BTU INTERNATIONAL INC DE 2.02,9.01 05/01/12 Buckeye Oil & Gas, Inc. FL 8.01,9.01 04/30/12 Business Development Corp of America MD 8.01,9.01 05/01/12 CAESARS ENTERTAINMENT Corp DE 2.02,9.01 05/01/12 CALAVO GROWERS INC CA 5.07 04/25/12 CALGON CARBON CORPORATION DE 2.02,5.07,9.01 04/27/12 CALIX, INC 2.02,9.01 05/01/12 Campus Crest Communities, Inc. MD 2.02,9.01 04/30/12 CANAL CAPITAL CORP DE 4.01,9.01 04/18/12 Cape Bancorp, Inc. MD 5.07,7.01,9.01 04/30/12 CAPITAL CITY BANK GROUP INC FL 2.02,9.01 03/31/12 Capital Group Holdings, Inc. MN 4.01 04/26/12 CAPITAL ONE FINANCIAL CORP DE 1.01,2.01,9.01 05/01/12 CAPITAL SOUTHWEST CORP TX 2.02,9.01 05/01/12 CAPITOL BANCORP LTD MI 5.02 05/01/12 Capitol Federal Financial Inc MD 1.01,2.01,9.01 04/27/12 Capitol Federal Financial Inc MD 2.02,9.01 04/30/12 Carbonite Inc DE 2.02,9.01 05/01/12 CARDICA INC DE 2.02,9.01 05/01/12 CASTLE A M & CO MD 2.02,9.01 05/01/12 Catalent Pharma Solutions, Inc. DE 2.01,9.01 02/17/12 AMEND CAVIUM, INC. DE 2.02,9.01 05/01/12 CBL & ASSOCIATES PROPERTIES INC DE 2.02,9.01 04/30/12 CBOE Holdings, Inc. DE 2.02,9.01 05/01/12 CBS CORP DE 2.02,9.01 05/01/12 CD INTERNATIONAL ENTERPRISES, INC. FL 8.01 04/30/12 CENTERLINE HOLDING CO DE 1.01,9.01 04/25/12 CENTRAL EUROPEAN MEDIA ENTERPRISES LT 2.02,9.01 04/30/12 Cereplast Inc NV 1.01,9.01 04/30/12 CERUS CORP DE 2.02,9.01 05/01/12 CF Industries Holdings, Inc. DE 1.01,1.02,2.03,9.01 05/01/12 CHART INDUSTRIES INC DE 7.01,9.01 05/01/12 CHARTER COMMUNICATIONS, INC. /MO/ DE 5.02,8.01,9.01 04/30/12 CHARTER FINANCIAL CORP/GA 2.02,9.01 04/30/12 CHEESECAKE FACTORY INC DE 8.01,9.01 05/01/12 Chefs' Warehouse, Inc. DE 1.01,2.01,2.03,9.01 04/25/12 AMEND ChemoCentryx, Inc. DE 5.02,7.01,9.01 04/25/12 Chemtura CORP DE 2.02,9.01 05/01/12 Chesapeake Lodging Trust MD 2.02,9.01 05/01/12 Chrysler Group LLC DE 8.01,9.01 05/01/12 CIGNA CORP DE 5.07 04/25/12 Ciralight Global, Inc. NV 5.02 04/24/12 CIRCOR INTERNATIONAL INC DE 1.01,1.02,3.03,5.03, 05/01/12 9.01 CITIZENS REPUBLIC BANCORP, INC. MI 5.02,5.07 04/25/12 CITY HOLDING CO WV 7.01,9.01 05/01/12 CNL Healthcare Trust, Inc. MD 9.01 02/16/12 AMEND CNO Financial Group, Inc. DE 2.02,9.01 05/01/12 Cobalt International Energy, Inc. 2.02,9.01 05/01/12 COBIZ FINANCIAL INC CO 7.01 05/01/12 CODORUS VALLEY BANCORP INC PA 7.01,9.01 05/01/12 COLLECTIVE BRANDS, INC. DE 8.01,9.01 05/01/12 COLLECTIVE BRANDS, INC. DE 8.01,9.01 05/01/12 COLONIAL PROPERTIES TRUST AL 5.07 04/25/12 COMSTOCK RESOURCES INC NV 2.01,9.01 04/30/12 Con-way Inc. DE 2.02,9.01 05/01/12 CONCURRENT COMPUTER CORP/DE DE 2.02,9.01 05/01/12 Congaree Bancshares Inc SC 2.02,9.01 05/01/12 CONNS INC DE 1.01,7.01,9.01 05/01/12 CONOCOPHILLIPS DE 1.01,2.01,5.02,8.01, 04/26/12 9.01 Converted Organics Inc. DE 8.01 04/27/12 Convio, Inc. DE 5.02 04/25/12 CORN PRODUCTS INTERNATIONAL INC DE 2.02,9.01 05/01/12 CORNING INC /NY NY 5.02,5.03,5.07,8.01, 04/26/12 9.01 CREDEX CORP FL 4.01,9.01 04/16/12 AMEND CROSSROADS SYSTEMS INC DE 5.07 04/25/12 CSG SYSTEMS INTERNATIONAL INC DE 2.02,9.01 05/01/12 CUMMINS INC IN 2.02,9.01 05/01/12 CVR ENERGY INC DE 2.02,9.01 05/01/12 CVR PARTNERS, LP DE 2.02,9.01 05/01/12 CYNOSURE INC 2.02,9.01 05/01/12 CYTORI THERAPEUTICS, INC. DE 1.02 04/30/12 DATA I/O CORP WA 2.02,9.01 03/31/12 DCP Midstream Partners, LP DE 5.02,9.01 04/25/12 DELTA NATURAL GAS CO INC KY 8.01,9.01 05/01/12 DENTSPLY INTERNATIONAL INC /DE/ DE 2.02,9.01 05/01/12 Destination Maternity Corp DE 8.01,9.01 05/01/12 DIAMOND HILL INVESTMENT GROUP INC OH 8.01 05/01/12 DIEBOLD INC OH 5.07 04/26/12 DIGITALGLOBE INC 2.02,9.01 05/01/12 DineEquity, Inc DE 2.02,9.01 05/01/12 DOMINOS PIZZA INC 2.02,9.01 05/01/12 Dorman Products, Inc. PA 2.02,9.01 05/01/12 DST SYSTEMS INC DE 2.02,9.01 05/01/12 DUPONT E I DE NEMOURS & CO DE 5.07 04/25/12 DXP ENTERPRISES INC TX 1.01,7.01,9.01 04/30/12 DYNAMIC MATERIALS CORP DE 2.02,9.01 05/01/12 EAGLE BANCORP INC MD 1.01,8.01,9.01 04/30/12 EAGLE ROCK ENERGY PARTNERS L P DE 7.01 04/30/12 Earn-A-Car Inc. NV 1.01,2.01,5.01,5.02, 12/07/11 AMEND 5.06,9.01 EARTH DRAGON RESOURCES INC. 2.04,3.02 04/27/12 EBAY INC DE 5.02 05/01/12 EBIX INC DE 1.01,1.02,2.03,9.01 04/26/12 ECOLAB INC DE 2.02,9.01 05/01/12 ECOLOGY COATINGS, INC. NV 3.02 05/01/12 ELECTRONIC SYSTEMS TECHNOLOGY INC WA 8.01,9.01 04/30/12 EMERSON ELECTRIC CO MO 2.02,9.01 05/01/12 EMULEX CORP /DE/ DE 5.02 04/26/12 ENBRIDGE ENERGY PARTNERS LP DE 2.02,9.01 04/30/12 Encore Bancshares Inc TX 8.01 05/01/12 ENDO PHARMACEUTICALS HOLDINGS INC DE 2.02,9.01 05/01/12 ENDOCYTE INC DE 7.01 04/27/12 ENERGIZER HOLDINGS INC MO 5.07 01/30/12 AMEND Energy Future Holdings Corp /TX/ TX 2.02,9.01 05/01/12 Energy Transfer Equity, L.P. DE 1.01,9.01 04/29/12 Energy Transfer Partners, L.P. DE 1.01,3.02,9.01 04/29/12 ENTERPRISE FINANCIAL SERVICES CORP DE 2.02,9.01 04/30/12 ENTERTAINMENT PROPERTIES TRUST MD 2.02,9.01 04/30/12 ENVESTNET, INC. DE 2.01,3.02,8.01,9.01 05/01/12 ENVIRONMENTAL TECTONICS CORP PA 5.03,9.01 04/26/12 EPOCRATES INC DE 2.02,9.01 05/01/12 ESCALADE INC IN 5.07 04/27/12 EVEREST RE GROUP LTD D0 5.02,9.01 05/01/12 EXACT SCIENCES CORP DE 2.02,9.01 05/01/12 EXACTECH INC FL 2.02,7.01,9.01 05/01/12 Exterra Energy Inc. NV 1.03,8.01 12/15/11 FARMERS NATIONAL BANC CORP /OH/ OH 5.07 04/26/12 Federal Home Loan Bank of Atlanta X1 2.03 05/01/12 Federal Home Loan Bank of Boston X1 2.03 04/25/12 Federal Home Loan Bank of Chicago X1 2.03 04/25/12 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 04/26/12 Federal Home Loan Bank of Dallas 2.03,9.01 04/25/12 Federal Home Loan Bank of Des Moines X1 2.03,9.01 04/27/12 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 05/01/12 Federal Home Loan Bank of New York X1 8.01 05/01/12 Federal Home Loan Bank of New York X1 2.03,9.01 04/26/12 Federal Home Loan Bank of Pittsburgh PA 2.02,7.01,9.01 05/01/12 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 04/25/12 Federal Home Loan Bank of San Francis X1 2.03 04/25/12 Federal Home Loan Bank of Seattle 2.03 04/25/12 Federal Home Loan Bank of Topeka 2.03,9.01 04/25/12 FedFirst Financial Corp 2.02,9.01 04/30/12 FEI CO OR 2.02,9.01 05/01/12 FelCor Lodging Trust Inc MD 2.02,9.01 05/01/12 FEMALE HEALTH CO WI 2.02,9.01 05/01/12 FIDELITY SOUTHERN CORP GA 5.07 04/26/12 FIRST BANCORP /NC/ NC 2.02,8.01,9.01 05/01/12 FIRST BUSINESS FINANCIAL SERVICES, IN WI 7.01,9.01 05/01/12 First Federal of Northern Michigan Ba 2.02,9.01 05/01/12 FIRST NATIONAL CORP /VA/ 2.02,9.01 04/30/12 FIRST NORTHERN COMMUNITY BANCORP CA 2.02,7.01,9.01 04/30/12 FIRST UNITED CORP/MD/ MD 2.02,9.01 04/27/12 FIRSTENERGY CORP OH 2.02,9.01 05/01/12 FISERV INC WI 2.02,9.01 05/01/12 FLEETCOR TECHNOLOGIES INC DE 1.01,7.01,9.01 04/27/12 FLEXTRONICS INTERNATIONAL LTD. U0 2.02,9.01 05/01/12 Florida Bank Group, Inc. FL 2.02,5.07,9.01 04/25/12 FORD MOTOR CO DE 8.01,9.01 05/01/12 FORMFACTOR INC DE 2.02,9.01 05/01/12 FOSTER L B CO PA 2.02,9.01 05/01/12 FOSTER WHEELER AG V8 2.02,9.01 05/01/12 FRANKLIN STREET PROPERTIES CORP /MA/ 2.02,9.01 05/01/12 FRESH DEL MONTE PRODUCE INC E9 2.02,9.01 05/01/12 FROZEN FOOD EXPRESS INDUSTRIES INC TX 2.02,9.01 05/01/12 G&K SERVICES INC MN 2.02,9.01 05/01/12 GALECTIN THERAPEUTICS INC NV 1.01,9.01 05/01/12 GALLAGHER ARTHUR J & CO DE 2.02,9.01 05/01/12 GALLERY MANAGEMENT HOLDING CORP 9.01 04/30/12 GAP INC DE 7.01,9.01 04/30/12 GAYLORD ENTERTAINMENT CO /DE DE 2.02,9.01 05/01/12 GEN PROBE INC DE 1.01,9.01 04/29/12 General Growth Properties, Inc. DE 5.07 04/27/12 General Growth Properties, Inc. DE 2.02,7.01,9.01 05/01/12 GENESEE & WYOMING INC DE 2.02,9.01 05/01/12 Genpact LTD D0 2.02,9.01 05/01/12 GENWORTH FINANCIAL INC DE 2.02,9.01 05/01/12 GENWORTH FINANCIAL INC DE 5.02,5.03,9.01 04/30/12 GERON CORP DE 5.02 04/27/12 Gevo, Inc. DE 2.02,9.01 05/01/12 GLADSTONE CAPITAL CORP MD 2.02,9.01 05/01/12 GLATFELTER P H CO PA 2.02,9.01 05/01/12 GOOD SAM ENTERPRISES, LLC DE 8.01,9.01 04/23/12 Government Properties Income Trust MD 2.02,9.01 05/01/12 Great Lakes Dredge & Dock CORP DE 2.02,9.01 05/01/12 GREAT SOUTHERN BANCORP INC MD 1.01,2.01,9.01 04/27/12 GRIFFIN LAND & NURSERIES INC DE 8.01,9.01 04/25/12 Griffin-American Healthcare REIT II, MD 7.01,9.01 05/01/12 GRYPHON GOLD CORP NV 7.01,9.01 05/01/12 GTX INC /DE/ DE 5.02 04/29/12 Halo Companies, Inc. DE 3.02,4.01 04/30/12 HAMPTON ROADS BANKSHARES INC VA 2.02,7.01,9.01 05/01/12 HANDY & HARMAN LTD. DE 2.02,9.01 05/01/12 HANOVER INSURANCE GROUP, INC. DE 2.02,9.01 04/30/12 HARLAND CLARKE HOLDINGS CORP DE 2.02,7.01,9.01 05/01/12 HARLEYSVILLE GROUP INC DE 2.01,3.01,3.03,5.01, 05/01/12 5.02,5.03,9.01 HARRIS CORP /DE/ DE 2.02,2.05,2.06,7.01, 04/27/12 9.01 HARRIS CORP /DE/ DE 2.02,7.01,9.01 05/01/12 HASCO Medical, Inc. FL 9.01 03/01/12 AMEND HCC INSURANCE HOLDINGS INC/DE/ DE 2.02,9.01 05/01/12 HCP, INC. MD 2.02,9.01 05/01/12 HCP, INC. MD 5.07 04/26/12 HEALTHCARE REALTY TRUST INC MD 2.02,7.01,9.01 05/01/12 HEARTLAND PAYMENT SYSTEMS INC DE 2.02,8.01,9.01 05/01/12 Heritage Financial Group Inc MD 2.02,9.01 04/30/12 HFF, Inc. DE 2.02,9.01 04/30/12 HICKORY TECH CORP MN 2.02,9.01 05/01/12 Higher One Holdings, Inc. DE 9.01 05/01/12 HOLOGIC INC DE 1.01,7.01,9.01 04/29/12 Home Federal Bancorp, Inc. of Louisia LA 2.02,9.01 05/01/12 HORTON D R INC /DE/ DE 8.01,9.01 04/25/12 HOSPIRA INC DE 2.02,8.01,9.01 04/30/12 HOST HOTELS & RESORTS, INC. MD 8.01,9.01 01/01/11 HOST HOTELS & RESORTS, INC. MD 8.01,9.01 05/01/12 HSBC Finance Corp 8.01,9.01 05/01/12 HSBC USA INC /MD/ MD 8.01,9.01 05/01/12 HUDSON HIGHLAND GROUP INC DE 2.05,5.02,5.03,5.07, 04/26/12 9.01 HUDSON HIGHLAND GROUP INC DE 2.02,9.01 05/01/12 HUNT J B TRANSPORT SERVICES INC AR 5.02,5.07 04/26/12 Huntsman CORP DE 2.02,9.01 05/01/12 HYDROMER INC NJ 8.01 05/01/12 IMPAX LABORATORIES INC DE 2.02,9.01 05/01/12 IMPERIAL SUGAR CO /NEW/ TX 1.01,3.02,3.03,5.02, 05/01/12 8.01,9.01 INDEPENDENT BANK CORP MA 7.01,8.01,9.01 05/01/12 Innophos Holdings, Inc. 8.01,9.01 05/01/12 INSIGNIA SYSTEMS INC/MN MN 8.01,9.01 04/26/12 INSITE VISION INC DE 2.02,9.01 05/01/12 Interactive Brokers Group, Inc. DE 5.07 04/26/12 INTERFACE INC GA 5.03,9.01 05/01/12 Intermec, Inc. DE 1.01,2.02,2.04,5.02, 04/30/12 7.01,9.01 INTERPUBLIC GROUP OF COMPANIES, INC. DE 2.02,9.01 04/26/12 InZon CORP NV 5.02 04/30/12 IPG PHOTONICS CORP DE 2.02,9.01 05/01/12 IRIS INTERNATIONAL INC DE 5.02,5.07,9.01 04/27/12 IRONWOOD PHARMACEUTICALS INC 2.02,9.01 05/01/12 ITRON INC /WA/ WA 8.01,9.01 05/01/12 JACOBS ENGINEERING GROUP INC /DE/ DE 2.02 04/30/12 Jones Lang LaSalle Income Property Tr MD 7.01 04/26/12 KAMAN CORP CT 7.01 05/01/12 KBS Real Estate Investment Trust III, MD 1.01,2.01,2.03,9.01 04/30/12 KEY TRONIC CORP WA 2.02,9.01 05/01/12 KEYNOTE SYSTEMS INC DE 2.02,9.01 05/01/12 KFORCE INC FL 2.02,9.01 05/01/12 KILROY REALTY CORP MD 2.02,9.01 04/30/12 KINDER MORGAN ENERGY PARTNERS L P DE 8.01,9.01 04/30/12 Kraton Performance Polymers, Inc. DE 2.02,9.01 04/30/12 Kraton Performance Polymers, Inc. DE 2.02,9.01 05/01/12 KULICKE & SOFFA INDUSTRIES INC PA 2.02,9.01 05/01/12 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 05/01/12 LACLEDE GROUP INC MO 1.01 04/30/12 LACROSSE FOOTWEAR INC WI 5.07 04/27/12 Lake Shore Bancorp, Inc. X1 2.02,9.01 05/01/12 Latitude Solutions, Inc. NV 5.02 04/22/12 LEGG MASON, INC. MD 2.02,9.01 05/01/12 LEHMAN BROTHERS HOLDINGS INC. PLAN TR 7.01,9.01 04/27/12 LIBBEY INC DE 7.01,9.01 04/30/12 LIME ENERGY CO. DE 5.02 04/27/12 LINCOLN ELECTRIC HOLDINGS INC OH 5.07 04/26/12 LIQUIDITY SERVICES INC DE 7.01,9.01 05/01/12 LOJACK CORP MA 2.02,9.01 05/01/12 Lumos Networks Corp. VA 5.02,9.01 04/26/12 MAD CATZ INTERACTIVE INC Z4 1.01,9.01 04/25/12 MAINSOURCE FINANCIAL GROUP IN 5.02,5.07,7.01,9.01 04/25/12 MAKEMUSIC, INC. MN 2.02,9.01 05/01/12 MAM SOFTWARE GROUP, INC. DE 5.02 04/27/12 Marathon Petroleum Corp DE 2.02,9.01 05/01/12 Market Leader, Inc. WA 2.02,9.01 05/01/12 MARLIN BUSINESS SERVICES CORP 2.02,9.01 04/30/12 MARSH & MCLENNAN COMPANIES, INC. DE 2.02,9.01 05/01/12 MARTIN MARIETTA MATERIALS INC NC 2.02,7.01,9.01 05/01/12 MASCO CORP /DE/ DE 7.01 05/01/12 MAXIMUS INC VA 2.01 04/30/12 MBIA INC CT 5.07 05/01/12 MDU RESOURCES GROUP INC DE 2.02,7.01,9.01 04/30/12 MEDICINES CO /DE DE 1.01 04/25/12 Medidata Solutions, Inc. DE 2.02,9.01 05/01/12 MEMC ELECTRONIC MATERIALS INC DE 5.02,8.01 04/25/12 MERIDIAN BIOSCIENCE INC OH 2.02,9.01 04/26/12 Mesa Energy Holdings, Inc. DE 4.02 09/30/11 MHI Hospitality CORP MD 2.02,9.01 05/01/12 MOHEGAN TRIBAL GAMING AUTHORITY 2.02,9.01 05/01/12 MOHEGAN TRIBAL GAMING AUTHORITY 2.02,9.01 05/01/12 Monotype Imaging Holdings Inc. DE 2.02,9.01 05/01/12 Morgans Hotel Group Co. DE 2.02,9.01 05/01/12 Motorola Mobility Holdings, Inc 2.02,9.01 05/01/12 Motorola Solutions, Inc. DE 5.07 04/30/12 MULTI COLOR Corp OH 5.02 04/25/12 MYRIAD GENETICS INC DE 2.02,9.01 05/01/12 NANOSPHERE INC DE 2.02,9.01 05/01/12 National Interstate CORP OH 5.07,8.01 04/26/12 NATIONAL PRESTO INDUSTRIES INC WI 2.02,9.01 04/27/12 NATIONAL TECHNICAL SYSTEMS INC /CA/ CA 2.02,9.01 04/30/12 Native American Energy Group, Inc. DE 8.01,9.01 05/01/12 Neenah Paper Inc DE 8.01,9.01 05/01/12 NEOMEDIA TECHNOLOGIES INC DE 1.01,3.02,9.01 04/26/12 NEOPHOTONICS CORP DE 1.01,3.02,5.02,9.01 04/27/12 NetApp, Inc. CA 1.02,2.04 04/26/12 NETSOL TECHNOLOGIES INC NV 2.02 05/01/12 NetSpend Holdings, Inc. DE 8.01 04/27/12 NEWS CORP 8.01,9.01 05/01/12 NEWTEK BUSINESS SERVICES, INC. NY 1.01,2.03,9.01 04/25/12 NISOURCE INC/DE DE 2.02,9.01 05/01/12 NORTH VALLEY BANCORP CA 1.02,9.01 04/30/12 NORTHLAND CABLE PROPERTIES SEVEN LIMI WA 2.01,9.01 04/27/12 NTS MORTGAGE INCOME FUND DE 1.01,5.02,7.01,8.01, 04/30/12 9.01 NUTRI SYSTEM INC /DE/ DE 2.02,7.01,9.01 05/01/12 Nuveen Mortgage Opportunity Term Fund MA 2.02,9.01 04/25/12 O CHARLEYS INC TN 3.01 04/03/12 AMEND Oaktree Capital Group, LLC DE 7.01 05/01/12 OCZ TECHNOLOGY GROUP INC DE 2.02,9.01 05/01/12 OFFICE DEPOT INC DE 2.02,9.01 05/01/12 OFFICE DEPOT INC DE 5.02 04/26/12 OMNICARE INC DE 7.01,9.01 05/01/12 ON4 COMMUNICATIONS INC. DE 5.03,5.07,9.01 03/13/12 ONEOK INC /NEW/ OK 2.02,7.01,9.01 05/01/12 ONEOK Partners LP DE 2.02,7.01,9.01 05/01/12 OnTarget360 Group, Inc. DE 5.02 05/01/12 OPEN TEXT CORP A6 9.01 04/25/12 OPENTABLE INC DE 2.02,9.01 05/01/12 OptimumBank Holdings, Inc. FL 2.02,9.01 05/01/12 ORBITAL SCIENCES CORP /DE/ DE 5.02,5.07,9.01 04/25/12 ORIENTAL FINANCIAL GROUP INC PR 5.07 04/25/12 ORRSTOWN FINANCIAL SERVICES INC PA 7.01,9.01 05/01/12 OSAGE EXPLORATION & DEVELOPMENT INC DE 1.01,2.03,3.02,9.01 04/27/12 OSI SYSTEMS INC DE 5.02,9.01 04/27/12 OSL HOLDINGS INC. 1.01,9.01 04/26/12 P F CHANGS CHINA BISTRO INC 8.01,9.01 05/01/12 P F CHANGS CHINA BISTRO INC 2.02,7.01,9.01 05/01/12 PACIFIC BIOSCIENCES OF CALIFORNIA INC 2.02,9.01 05/01/12 PAPA JOHNS INTERNATIONAL INC DE 2.02,9.01 05/01/12 PAREXEL INTERNATIONAL CORP MA 2.02 04/30/12 PARK ELECTROCHEMICAL CORP NY 2.02,9.01 05/01/12 Park Sterling Corp NC 2.02,7.01,9.01 05/01/12 PARKERVISION INC FL 8.01,9.01 05/01/12 PARTNERRE LTD 2.02,8.01,9.01 04/30/12 Patient Safety Technologies, Inc DE 7.01,9.01 05/01/12 PC MALL INC DE 5.02 04/25/12 Pebblebrook Hotel Trust MD 2.02,9.01 04/26/12 PEETS COFFEE & TEA INC WA 2.02,7.01,9.01 05/01/12 PENN VIRGINIA RESOURCE PARTNERS L P DE 2.02,7.01,9.01 04/27/12 PENNS WOODS BANCORP INC PA 5.02,5.07 04/25/12 Peoples Federal Bancshares, Inc. MD 2.02,9.01 04/30/12 PEP BOYS MANNY MOE & JACK PA 2.02,9.01 05/01/12 PEP BOYS MANNY MOE & JACK PA 8.01 05/01/12 PERICOM SEMICONDUCTOR CORP CA 2.02,9.01 05/01/12 PFIZER INC DE 2.02,9.01 05/01/12 PHH CORP MD 1.01,2.02,2.03,5.02, 04/27/12 8.01,9.01 Phillips 66 DE 1.01,2.01,2.03,5.03, 04/26/12 5.05,9.01 PIEDMONT NATURAL GAS CO INC NC 5.02 04/30/12 PINNACLE ENTERTAINMENT INC. DE 2.02,9.01 05/01/12 PIONEER NATURAL RESOURCES CO DE 8.01 05/01/12 Plan A Promotions, Inc. UT 8.01 04/27/12 PLANTRONICS INC /CA/ DE 2.02,7.01,9.01 05/01/12 PLATINUM ENERGY SOLUTIONS, INC. NV 5.07 04/30/12 POKERTEK, INC. NC 2.02,9.01 05/01/12 POLARIS INDUSTRIES INC/MN MN 5.02,5.07 04/26/12 POZEN INC /NC 2.02,9.01 05/01/12 PREFORMED LINE PRODUCTS CO OH 5.07 04/30/12 PREMIER ALLIANCE GROUP, INC. NV 5.03 04/30/12 PREMIER FINANCIAL BANCORP INC KY 2.02,9.01 05/01/12 PRGX GLOBAL, INC. GA 2.02,9.01 04/30/12 Primerica, Inc. DE 2.02,7.01,9.01 05/01/12 ProIndia International, Inc. DE 5.02 04/30/12 Prologis, Inc. MD 2.02,7.01,9.01 05/01/12 PS BUSINESS PARKS INC/CA CA 2.02,5.07,9.01 04/30/12 PUBLIX SUPER MARKETS INC FL 2.02,9.01 05/01/12 QUICKLOGIC CORPORATION CA 2.02,9.01 05/01/12 RADIAN GROUP INC DE 2.02,9.01 05/01/12 RAMBUS INC DE 5.02,5.07,9.01 04/26/12 Raptor Pharmaceutical Corp DE 1.01,8.01,9.01 04/30/12 RCM TECHNOLOGIES INC NV 2.02,9.01 05/01/12 ReachLocal Inc 2.02,9.01 05/01/12 REGAL ENTERTAINMENT GROUP DE 2.02,8.01,9.01 04/30/12 REGIS CORP MN 5.02,9.01 04/30/12 RESEARCH FRONTIERS INC DE 7.01,9.01 04/30/12 Revett Minerals Inc. A6 5.02 05/01/12 REVLON CONSUMER PRODUCTS CORP DE 1.01,9.01 04/30/12 REVLON INC /DE/ DE 1.01,9.01 04/30/12 REX ENERGY CORP DE 2.02,7.01,9.01 05/01/12 RIVIERA HOLDINGS CORP NV 1.01,2.01,8.01,9.01 04/25/12 ROCKY MOUNTAIN CHOCOLATE FACTORY INC CO 1.01,7.01,9.01 04/27/12 ROGERS CORP MA 2.02,7.01,9.01 05/01/12 ROSETTA STONE INC 5.02,9.01 05/01/12 Rovi Corp DE 5.07 05/01/12 ROYALE ENERGY INC CA 8.01,9.01 04/30/12 RPX Corp DE 5.02 04/26/12 RPX Corp DE 2.02,9.01 05/01/12 Rubicon Technology, Inc. DE 2.02,9.01 05/01/12 RUBY TUESDAY INC GA 7.01,8.01,9.01 05/01/12 RURBAN FINANCIAL CORP OH 5.07 04/26/12 SAIA INC DE 5.07 04/24/12 Samson Oil & Gas LTD C3 2.02,9.01 04/29/12 SANFILIPPO JOHN B & SON INC DE 2.02,9.01 05/01/12 SAUL CENTERS INC MD 2.02,9.01 05/01/12 SAVIENT PHARMACEUTICALS INC DE 7.01 05/01/12 SBA COMMUNICATIONS CORP FL 2.02,9.01 04/30/12 SCG Financial Acquisition Corp. DE 3.01,8.01 05/01/12 SEACHANGE INTERNATIONAL INC DE 5.02,9.01 04/30/12 SEARS HOLDINGS CORP DE 8.01,9.01 04/30/12 SEARS HOLDINGS CORP DE 2.02,9.01 05/01/12 SEARS HOLDINGS CORP DE 5.02 04/25/12 SELECT MEDICAL HOLDINGS CORP 7.01,9.01 05/01/12 SENESCO TECHNOLOGIES INC DE 8.01,9.01 05/01/12 SERVICESOURCE INTERNATIONAL, INC. 2.02,9.01 04/30/12 AMEND ServisFirst Bancshares, Inc. DE 5.07 04/26/12 SEVCON, INC. DE 2.02,9.01 05/01/12 Shire plc 8.01,9.01 05/01/12 SILICON IMAGE INC DE 2.02,9.01 05/01/12 Silver Falcon Mining, Inc. DE 8.01 04/27/12 SimplePons, Inc. DE 7.01,8.01,9.01 04/30/12 SIRIUS XM RADIO INC. DE 2.02,9.01 05/01/12 Solar Capital Ltd. MD 2.02,9.01 05/01/12 Solar Senior Capital Ltd. MD 2.02,9.01 05/01/12 SOLTA MEDICAL INC DE 2.02,9.01 05/01/12 SOUTHERN MICHIGAN BANCORP INC MI 7.01 05/01/12 SOUTHERN USA RESOURCES INC. DE 5.02,9.01 04/25/12 SOUTHWEST IOWA RENEWABLE ENERGY, LLC IA 8.01,9.01 05/01/12 SOUTHWEST IOWA RENEWABLE ENERGY, LLC IA 1.01,9.01 04/25/12 SPARE BACKUP, INC. DE 1.01 05/01/12 SPARTAN MOTORS INC MI 2.02,9.01 05/01/12 Spirit Airlines, Inc. DE 2.02,9.01 04/30/12 Spirit Airlines, Inc. DE 7.01,9.01 05/01/12 Spirit Airlines, Inc. DE 7.01,9.01 05/01/12 Sport Tech Enterprises, Inc. NV 5.02 04/27/12 STANDARD MOTOR PRODUCTS INC NY 8.01,9.01 04/30/12 STANDARD REGISTER CO OH 5.02,9.01 04/30/12 STANDEX INTERNATIONAL CORP/DE/ DE 2.02,9.01 03/31/12 Station Casinos LLC NV 5.02 04/30/12 Steel Excel Inc. DE 2.02,7.01,9.01 05/01/12 STEWART INFORMATION SERVICES CORP DE 5.07 04/27/12 STILLWATER MINING CO /DE/ DE 5.07 04/26/12 STRATEGIC HOTELS & RESORTS, INC 2.02,9.01 05/01/12 STURM RUGER & CO INC DE 8.01,9.01 05/01/12 STURM RUGER & CO INC DE 2.02,8.01,9.01 05/01/12 SunCoke Energy, Inc. 2.02,7.01,9.01 05/01/12 SUNGARD DATA SYSTEMS INC DE 2.02,9.01 05/01/12 SUNRISE SENIOR LIVING INC DE 2.02,9.01 05/01/12 SURREY BANCORP NC 5.07 04/26/12 SYNTHESIS ENERGY SYSTEMS INC DE 8.01 05/01/12 SYSTEMAX INC DE 2.02,9.01 05/01/12 TEAM HEALTH HOLDINGS INC. DE 2.02,9.01 05/01/12 TECHNE CORP /MN/ MN 2.02,9.01 05/01/12 TECHNE CORP /MN/ MN 8.01,9.01 05/01/12 TECO ENERGY INC FL 2.02,9.01 05/01/12 TELEFLEX INC DE 2.02,2.06,9.01 04/26/12 TELEFLEX INC DE 7.01,9.01 05/01/12 TeleNav, Inc. DE 5.02,9.01 04/26/12 TESCO CORP 1.01,7.01,9.01 04/25/12 Texas Rare Earth Resources Corp. NV 5.07 04/25/12 TFS Financial CORP DE 2.02,9.01 05/01/12 TFS Financial CORP DE 7.01,9.01 05/01/12 THORATEC CORP CA 2.02,9.01 05/01/12 TNS INC 2.02,7.01,9.01 05/01/12 TORCHMARK CORP DE 5.07,9.01 04/26/12 Tree.com, Inc. DE 2.02,9.01 05/01/12 TreeHouse Foods, Inc. DE 5.02,5.07,9.01 04/26/12 TripAdvisor, Inc. DE 2.02,9.01 05/01/12 TrovaGene Inc. DE 5.03,5.07,9.01 04/27/12 TRUE RELIGION APPAREL INC DE 5.07 04/25/12 TRUE RELIGION APPAREL INC DE 2.02,9.01 05/01/12 TRW AUTOMOTIVE HOLDINGS CORP DE 2.02,9.01 05/01/12 TTM TECHNOLOGIES INC WA 2.02,9.01 05/01/12 TWIN DISC INC WI 1.01,3.03,9.01 05/01/12 U.S. SILICA HOLDINGS, INC. DE 5.02,9.01 04/28/12 Ubiquiti Networks, Inc. DE 2.02,9.01 05/01/12 UMPQUA HOLDINGS CORP OR 1.02,9.01 05/01/12 UNION CARBIDE CORP /NEW/ NY 4.02 04/27/12 UNIT CORP DE 2.02,9.01 05/01/12 UNITED BANCSHARES INC/OH OH 5.02,9.01 04/30/12 UNITED RENTALS INC /DE DE 8.01 05/01/12 UNITED STATES LIME & MINERALS INC TX 5.07 04/27/12 UNITY BANCORP INC /NJ/ NJ 5.07 04/26/12 UNIVERSAL AMERICAN CORP. DE 2.02,9.01 04/30/12 UNIVERSAL TECHNICAL INSTITUTE INC DE 2.02,9.01 05/01/12 Unum Group DE 2.02,9.01 05/01/12 Unum Group DE 8.01,9.01 05/01/12 UROLOGIX INC MN 3.01 04/30/12 US ECOLOGY, INC. DE 2.02,9.01 05/01/12 USA TECHNOLOGIES INC PA 5.02,8.01,9.01 04/26/12 USEC INC DE 2.02,9.01 05/01/12 VALERO ENERGY CORP/TX DE 2.02,9.01 05/01/12 VALLEY NATIONAL BANCORP NJ 7.01,9.01 05/01/12 VANGUARD HEALTH SYSTEMS INC DE 2.02,7.01,9.01 04/30/12 Venoco, Inc. DE 2.02,9.01 05/01/12 Verisk Analytics, Inc. DE 2.02,9.01 05/01/12 ViewPoint Financial Group Inc. 8.01,9.01 04/30/12 VIRGINIA COMMERCE BANCORP INC 5.07 04/25/12 VIROPHARMA INC DE 2.02,9.01 05/01/12 VITRAN CORP INC A6 5.07 04/30/12 Vocus, Inc. DE 2.02,9.01 05/01/12 WARNACO GROUP INC /DE/ DE 5.02,9.01 04/25/12 Warner Chilcott plc 2.06,7.01,9.01 04/30/12 WARREN RESOURCES INC MD 2.02,7.01,9.01 05/01/12 WARWICK VALLEY TELEPHONE CO NY 5.07 04/25/12 WATTS WATER TECHNOLOGIES INC DE 2.02,9.01 05/01/12 WebMD Health Corp. DE 2.02,9.01 05/01/12 WELLS FARGO & COMPANY/MN DE 8.01 05/01/12 WELLS REAL ESTATE FUND IX LP GA 7.01,9.01 05/01/12 WELLS REAL ESTATE FUND VIII LP GA 7.01,9.01 05/01/12 WELLS REAL ESTATE FUND XI L P GA 7.01,9.01 05/01/12 WELLS REAL ESTATE FUND XII LP GA 7.01,9.01 05/01/12 WELLS REAL ESTATE FUND XIII L P 7.01,9.01 05/01/12 WELLS REAL ESTATE FUND XIV LP GA 7.01,9.01 05/01/12 Wendy's Co DE 8.01,9.01 04/30/12 WESTLAKE CHEMICAL CORP 2.02,9.01 05/01/12 WESTMORELAND COAL Co DE 2.02,9.01 04/26/12 WILLIAMS COMPANIES INC DE 4.02 04/26/12 Williams Partners L.P. 5.03,9.01 04/27/12 WISCONSIN ENERGY CORP WI 2.02 05/01/12 WMI HOLDINGS CORP. WA 8.01,9.01 04/30/12 WOLVERINE WORLD WIDE INC /DE/ MI 7.01,9.01 05/01/12 WORLD ACCEPTANCE CORP SC 1.01,2.03,8.01,9.01 05/01/12 WORLD FUEL SERVICES CORP FL 2.02,7.01,9.01 05/01/12 WRIGHT MEDICAL GROUP INC DE 2.02,9.01 05/01/12 XTREME HEALTHCARE Corp DE 3.02,5.01,5.02,5.03 04/30/12 Xun Energy, Inc. NV 1.01,9.01 04/30/12 ZIONS BANCORPORATION /UT/ UT 8.01,9.01 04/26/12
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