|
|
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 3M CO DE 8.01 07/29/11 3M CO DE 8.01 07/29/11 3M CO DE 8.01 07/29/11 Abingdon Futures Fund LP NY 3.02 08/01/11 ACACIA RESEARCH CORP DE 8.01 08/01/11 ACACIA RESEARCH CORP DE 8.01 08/01/11 ACACIA RESEARCH CORP DE 8.01 08/01/11 ACE MARKETING & PROMOTIONS INC NY 3.02 07/18/11 ACI WORLDWIDE, INC. DE 8.01,9.01 08/02/11 ACTUATE CORP DE 2.02,9.01 08/02/11 ADCARE HEALTH SYSTEMS INC OH 1.01,2.03 07/27/11 ADEPT TECHNOLOGY INC DE 5.02,9.01 07/29/11 ADVANCED ENERGY INDUSTRIES INC DE 1.01,5.02,9.01 08/01/11 ADVISORY BOARD CO DE 2.02,9.01 08/02/11 AETNA INC /PA/ PA 5.02 07/29/11 AETNA INC /PA/ PA 5.07 05/20/11 AMEND AgFeed Industries, Inc. NV 1.01 07/29/11 AgFeed Industries, Inc. NV 7.01,9.01 08/02/11 AGL RESOURCES INC GA 8.01,9.01 08/02/11 AirTouch Communications, Inc. DE 1.01,3.02,9.01 07/29/11 AIS FUTURES FUND IV LP DE 3.02 07/31/11 AKORN INC LA 1.01,7.01,9.01 08/02/11 AKORN INC LA 2.02,9.01 08/02/11 Alexza Pharmaceuticals Inc. DE 5.02,5.03,5.07,9.01 07/28/11 ALLEGHENY TECHNOLOGIES INC DE 8.01,9.01 08/01/11 ALLIANCE FINANCIAL CORP /NY/ NY 7.01,9.01 08/02/11 ALLIANT TECHSYSTEMS INC DE 5.02,5.07,9.01 08/01/11 ALLSCRIPTS HEALTHCARE SOLUTIONS, INC. DE 2.02,7.01,9.01 08/02/11 Ally Financial Inc. DE 2.02,9.01 08/02/11 AlphaMetrix Managed Futures III LLC ( DE 3.02 08/01/11 Alphatec Holdings, Inc. DE 5.02,9.01 07/27/11 ALTERRA CAPITAL HOLDINGS Ltd 5.02,9.01 08/02/11 Alto Group Holdings Inc. NV 1.01,3.02 08/02/11 AMBASSADORS GROUP INC DE 5.02,9.01 08/01/11 AMBIENT CORP /NY DE 5.05,9.01 07/28/11 AMEDISYS INC DE 2.02,7.01,9.01 08/02/11 AMERICAN CAPITAL, LTD 2.02,9.01 08/02/11 AMERICAN FINANCIAL GROUP INC OH 2.02,9.01 08/01/11 AMERICAN PUBLIC EDUCATION INC DE 2.02,9.01 08/02/11 AMERICAN TOWER CORP /MA/ DE 2.02,9.01 08/02/11 AMERIGON INC MI 8.01 07/30/11 Ameris Bancorp GA 7.01,9.01 08/02/11 AMERISAFE INC TX 2.02,9.01 08/02/11 AMREP CORP. OK 5.02,5.03,9.01 07/28/11 AMYRIS, INC. DE 2.02,9.01 08/02/11 AMYRIS, INC. DE 5.02 08/02/11 ANTS SOFTWARE INC DE 3.02 07/20/11 APOLLO GROUP INC AZ 1.01,7.01,9.01 08/02/11 AQUA AMERICA INC PA 1.01 07/26/11 ARCHER DANIELS MIDLAND CO DE 2.02,9.01 08/02/11 ARENA PHARMACEUTICALS INC DE 8.01 08/02/11 ARIAD PHARMACEUTICALS INC DE 2.02,7.01,8.01,9.01 08/02/11 ARKANSAS BEST CORP /DE/ DE 2.02,9.01 08/02/11 Ascent Capital Group, Inc. DE 5.02,9.01 08/01/11 ASTORIA FINANCIAL CORP DE 2.02,9.01 08/02/11 ASTRONICS CORP NY 8.01,9.01 08/02/11 ATLANTIC POWER CORP A1 5.07 06/24/11 ATLANTIC TELE NETWORK INC /DE DE 2.02,8.01,9.01 08/02/11 ATLAS AIR WORLDWIDE HOLDINGS INC DE 2.02,9.01 08/02/11 ATLAS PIPELINE PARTNERS LP DE 2.02,9.01 08/02/11 AtriCure, Inc. DE 2.02,9.01 08/02/11 AuraSound, Inc. NV 5.02,9.01 07/27/11 AVIS BUDGET GROUP, INC. DE 1.01,7.01,9.01 08/01/11 AVNET INC NY 8.01,9.01 08/01/11 BASIC ENERGY SERVICES INC 8.01,9.01 07/27/11 BECTON DICKINSON & CO NJ 2.02,9.01 08/02/11 BEHRINGER HARVARD REIT I INC MD 7.01,9.01 08/02/11 Beneficial Mutual Bancorp Inc X1 7.01,9.01 08/02/11 BERKSHIRE HILLS BANCORP INC 7.01,9.01 08/02/11 BEST BUY CO INC MN 2.03,9.01 07/27/11 Beyond Commerce NV 8.01 07/28/11 BIG 5 SPORTING GOODS CORP DE 2.02,9.01 08/02/11 BIO RAD LABORATORIES INC DE 2.02,9.01 08/02/11 BLACK BOX CORP DE 2.02,9.01 08/02/11 Black Raven Energy, Inc. NV 1.01,2.01,2.03,7.01, 07/27/11 9.01 BLASTGARD INTERNATIONAL INC CO 5.07,9.01 08/02/11 BLUESKY SYSTEMS CORP 1.01,9.01 07/27/11 Boardwalk Pipeline Partners, LP DE 2.02,9.01 08/01/11 BOEING CAPITAL CORP DE 8.01,9.01 07/28/11 BofI Holding, Inc. DE 7.01,9.01 07/29/11 Booz Allen Hamilton Holding Corp DE 5.02 07/31/11 BOSTON BEER CO INC MA 2.02,9.01 08/02/11 BOSTON PROPERTIES INC DE 2.02,9.01 08/01/11 BOSTON PROPERTIES LTD PARTNERSHIP DE 2.02,9.01 08/01/11 Brenham Oil & Gas Corp. NV 1.01,8.01,9.01 06/30/11 Bridge Capital Holdings CA 2.02,9.01 08/02/11 Bridgepoint Education Inc DE 2.02,9.01 08/02/11 BRISTOL ENERGY FUND LP NY 3.02 08/01/11 BRUKER CORP DE 8.01 08/02/11 BTU INTERNATIONAL INC DE 2.02,9.01 08/02/11 Bullfrog Gold Corp. DE 5.02 07/27/11 BUTLER NATIONAL CORP DE 1.01,3.03,9.01 08/02/11 Calamos Asset Management, Inc. /DE/ 2.02,9.01 08/02/11 CALGON CARBON CORPORATION DE 2.02,9.01 08/02/11 CALIFORNIA FIRST NATIONAL BANCORP CA 2.02,7.01,9.01 08/02/11 CALIPER LIFE SCIENCES INC DE 2.02,9.01 08/02/11 CAMBREX CORP DE 2.02,9.01 08/02/11 Capitol Federal Financial Inc MD 5.07 08/02/11 AMEND CAPSALUS CORP NV 7.01,9.01 07/28/11 CARDINAL FINANCIAL CORP VA 7.01,9.01 08/02/11 CAROLINA BANK HOLDINGS INC NC 2.02,9.01 08/02/11 CARROLLTON BANCORP MD 2.02,9.01 08/01/11 CARROLS RESTAURANT GROUP, INC. 1.01 07/27/01 CASCADE MICROTECH INC 2.02,9.01 08/02/11 CASCADE TECHNOLOGIES CORP WY 5.02 08/01/11 CASEY CONTAINER CORP NV 8.01,9.01 08/02/11 CASEYS GENERAL STORES INC IA 5.03,9.01 07/29/11 CASTLE A M & CO MD 2.02,9.01 08/02/11 CAVIUM, INC. DE 2.02,9.01 08/02/11 CBIZ, Inc. DE 2.02,9.01 07/27/11 CBS CORP DE 2.02,9.01 08/02/11 CCFNB BANCORP INC PA 2.02,9.01 08/02/11 CDSI HOLDINGS INC DE 1.01,3.02,5.02,5.03, 07/27/11 9.01 Celanese CORP DE 5.02,9.01 08/01/11 CENTER BANCORP INC NJ 2.02,9.01 07/28/11 CenterState Banks, Inc. FL 7.01,9.01 08/02/11 CEPHALON INC DE 2.02,9.01 08/02/11 CHARLES RIVER LABORATORIES INTERNATIO 2.02,9.01 08/02/11 CHARTER COMMUNICATIONS, INC. /MO/ DE 2.02,9.01 08/02/11 CHECKPOINT SYSTEMS INC PA 2.02 08/02/11 Chefs' Warehouse, Inc. DE 5.02,5.03,8.01,9.01 08/02/11 CHEROKEE INC DE 5.02,9.01 07/27/11 Chesapeake Lodging Trust MD 2.02,9.01 08/02/11 CHINA BAK BATTERY INC NV 2.02,9.01 08/02/11 CHINA JO-JO DRUGSTORES, INC. 1.01,5.02,8.01,9.01 08/01/11 Chrysler Group LLC DE 8.01,9.01 08/02/11 CITIZENS SOUTH BANKING CORP DE 7.01,9.01 08/02/11 CLOUD PEAK ENERGY INC. DE 2.02,9.01 08/02/11 CMS Bancorp, Inc. DE 2.02,9.01 08/02/11 CNB CORP /MI/ MI 8.01,9.01 08/01/11 CNL Properties Trust, Inc. MD 1.01,8.01,9.01 07/29/11 COACH INC MD 2.02,9.01 08/02/11 COAST DISTRIBUTION SYSTEM INC DE 1.01,9.01 07/27/11 COGNIZANT TECHNOLOGY SOLUTIONS CORP 2.02,9.01 08/02/11 COMMUNITY TRUST BANCORP INC /KY/ KY 7.01,9.01 06/30/11 COMMVAULT SYSTEMS INC DE 2.02,9.01 08/02/11 COMPX INTERNATIONAL INC DE 7.01,9.01 08/01/11 COMTECH TELECOMMUNICATIONS CORP /DE/ DE 5.02,9.01 08/01/11 Con-way Inc. DE 1.01,8.01,9.01 08/02/11 Cooper Industries plc 8.01,9.01 08/01/11 COOPER TIRE & RUBBER CO DE 1.01,2.03,9.01 07/27/11 CORGENIX MEDICAL CORP/CO NV 1.01,9.01 07/28/11 CORVEL CORP DE 2.02,9.01 08/02/11 CRACKER BARREL OLD COUNTRY STORE, INC TN 5.02,9.01 07/27/11 CRESCENT FINANCIAL CORP NC 2.02,9.01 08/02/11 CSG SYSTEMS INTERNATIONAL INC DE 2.02,9.01 08/02/11 Delanco Bancorp, Inc 2.02,9.01 08/01/11 DELTATHREE INC DE 5.07 08/01/11 DENNYS CORP DE 2.02,9.01 08/02/11 DIGITALGLOBE INC 2.02,9.01 08/02/11 DineEquity, Inc DE 2.02,9.01 08/02/11 DIRECTV DE 5.02,9.01 07/28/11 Dolan Co. DE 2.02,9.01 08/02/11 DOLLAR FINANCIAL CORP DE 5.02 07/27/11 DREW INDUSTRIES INC DE 7.01,9.01 08/01/11 Duke Energy CORP DE 2.02,9.01 08/02/11 DUKE REALTY CORP IN 2.02,8.01,9.01 07/27/11 DUKE REALTY LIMITED PARTNERSHIP/ IN 2.02,8.01,9.01 07/27/11 DYNAMIC MATERIALS CORP DE 2.02,9.01 08/02/11 EchoStar CORP NV 5.02 08/01/11 EMERGING CTA PORTFOLIO LP NY 3.02 08/01/11 EMERSON ELECTRIC CO MO 2.02,9.01 08/02/11 EMTEC INC/NJ UT 2.02,9.01 08/01/11 Energy Transfer Equity, L.P. DE 3.01 07/29/11 Energy Transfer Partners, L.P. DE 1.01,1.02,2.03,9.01 07/28/11 ENPRO INDUSTRIES, INC NC 8.01,9.01 08/01/11 ENTERGY CORP /DE/ DE 2.02,7.01,9.01 08/02/11 ENTERPRISE FINANCIAL SERVICES CORP DE 7.01,9.01 08/02/11 EQUITY LIFESTYLE PROPERTIES INC MD 2.01,2.02,3.02,9.01 08/01/11 ERIE INDEMNITY CO PA 2.02,9.01 08/02/11 ESCO TECHNOLOGIES INC MO 2.02,7.01,9.01 08/02/11 ESSA Bancorp, Inc. PA 2.02,9.01 07/27/11 EURO SOLAR PARKS, INC. NV 3.02,8.01,9.01 07/29/11 EXACT SCIENCES CORP DE 2.02,9.01 08/02/11 EXACTECH INC FL 2.02,7.01,9.01 08/02/11 ExamWorks Group, Inc. DE 2.02,9.01 08/02/11 Federal Home Loan Bank of Atlanta X1 2.03 08/02/11 Federal Home Loan Bank of Chicago X1 2.03 07/27/11 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 07/27/11 Federal Home Loan Bank of Des Moines X1 2.03,9.01 07/29/11 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 08/02/11 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 07/27/11 Federal Home Loan Bank of San Francis X1 2.03 07/27/11 Federal Home Loan Bank of Seattle 2.03 07/27/11 Federal Home Loan Bank of Topeka 2.03,9.01 07/27/11 FEI CO OR 2.02,9.01 08/02/11 FelCor Lodging Trust Inc MD 2.02,9.01 08/02/11 FERRO CORP OH 2.02,9.01 08/01/11 Fidelity National Financial, Inc. 1.01,3.02,8.01,9.01 07/27/11 FIFTH THIRD BANCORP OH 8.01,9.01 08/02/11 Financial Engines, Inc. DE 2.02,9.01 08/02/11 FINANCIAL INSTITUTIONS INC NY 7.01,9.01 08/02/11 First California Financial Group, Inc DE 7.01,9.01 08/02/11 FIRST COMMUNITY BANCSHARES INC /NV/ NV 7.01,9.01 08/02/11 FIRST KEYSTONE CORP PA 2.02 07/29/11 FIRST M&F CORP/MS MS 8.01,9.01 08/02/11 FIRST MERCHANTS CORP IN 8.01,9.01 08/01/11 FIRSTENERGY CORP OH 2.02,9.01 08/02/11 FLOW INTERNATIONAL CORP WA 5.02,9.01 08/01/11 FLUSHING FINANCIAL CORP DE 7.01,9.01 08/02/11 FMC CORP DE 2.02,9.01 08/01/11 FORD MOTOR CO DE 8.01,9.01 08/02/11 FORD MOTOR CREDIT CO LLC DE 8.01,9.01 08/02/11 FOREST OIL CORP NY 2.02,9.01 08/02/11 FORTUNE INDUSTRIES, INC. DE 5.02 07/31/11 FOSTER WHEELER AG V8 2.02,9.01 08/02/11 FRANKLIN RESOURCES INC DE 2.02,9.01 08/02/11 FRANKLIN STREET PROPERTIES CORP /MA/ 2.02,9.01 08/02/11 FRESH DEL MONTE PRODUCE INC E9 2.02,9.01 08/02/11 Freshwater Technologies Inc. NV 3.03,5.03,8.01 07/27/11 FRISCHS RESTAURANTS INC OH 5.02 07/27/11 GALLAGHER ARTHUR J & CO DE 8.01,9.01 08/02/11 GARTNER INC DE 2.02,5.02,9.01 08/02/11 GAYLORD ENTERTAINMENT CO /DE DE 2.02,9.01 08/02/11 General Growth Properties, Inc. DE 7.01,9.01 08/01/11 General Growth Properties, Inc. DE 2.02,7.01,9.01 08/02/11 GENESEE & WYOMING INC DE 2.02,9.01 08/02/11 GENESEE & WYOMING INC DE 1.01,2.03,8.01,9.01 07/29/11 Genpact LTD D0 2.02,9.01 08/02/11 GigOptix, Inc. DE 2.02,9.01 08/02/11 GLADSTONE COMMERCIAL CORP MD 2.02,9.01 08/02/11 GLEACHER & COMPANY, INC. DE 2.02,5.02,9.01 07/28/11 GLOBE SPECIALTY METALS INC 2.01,2.03,8.01,9.01 07/28/11 GLU MOBILE INC DE 1.01,2.01,2.02,3.02, 07/28/11 5.02,9.01 GOODYEAR TIRE & RUBBER CO /OH/ OH 5.02,9.01 08/01/11 GOODYEAR TIRE & RUBBER CO /OH/ OH 5.07 04/12/11 AMEND Government Properties Income Trust MD 2.02,9.01 08/02/11 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 08/02/11 Great Lakes Dredge & Dock CORP DE 2.02,9.01 08/02/11 Great Wolf Resorts, Inc. DE 2.02,9.01 08/02/11 GREEN EQUITY HOLDINGS, INC. NV 1.01 08/02/11 GREEN EQUITY HOLDINGS, INC. NV 5.02 07/25/11 AMEND GRIFFON CORP DE 2.02,9.01 08/01/11 GRYPHON GOLD CORP NV 7.01,9.01 08/02/11 HAMPTON ROADS BANKSHARES INC VA 1.01,8.01,9.01 08/01/11 HANCOCK HOLDING CO MS 8.01,9.01 08/01/11 HARRIS CORP /DE/ DE 2.02,7.01,8.01,9.01 08/02/11 HAWKINS INC MN 2.02,9.01 08/01/11 HCP, INC. MD 2.02,9.01 08/02/11 HEADWATERS INC DE 2.02,9.01 08/02/11 HEALTH CARE REIT INC /DE/ DE 1.01,2.03,9.01 07/27/11 HEALTH NET INC DE 8.01 08/01/11 HEALTHCARE REALTY TRUST INC MD 2.02,9.01 08/02/11 HEALTHCARE TRUST OF AMERICA, INC. MD 1.01,8.01,9.01 08/01/11 HEALTHCARE TRUST OF AMERICA, INC. MD 7.01,9.01 08/02/11 HealthSpring, Inc. DE 2.02,9.01 08/02/11 HealthWarehouse.com, Inc. DE 5.02 08/01/11 HENRY SCHEIN INC DE 2.02,9.01 06/25/11 HERTZ CORP DE 2.02,7.01,9.01 08/02/11 HERTZ GLOBAL HOLDINGS INC 2.02,7.01,8.01 08/02/11 HF FINANCIAL CORP DE 2.02,9.01 08/02/11 Higher One Holdings, Inc. DE 2.02,7.01,9.01 08/02/11 Home Federal Bancorp, Inc. MD 7.01,9.01 08/02/11 HomeTown Bankshares Corp 2.02,9.01 07/28/11 HORIZON BANCORP /IN/ IN 8.01,9.01 08/02/11 HORIZON PHARMA, INC. DE 5.03,9.01 08/02/11 Hyatt Hotels Corp DE 2.02,9.01 08/02/11 IASIS Healthcare LLC DE 2.02,9.01 08/02/11 II-VI INC PA 2.02,9.01 08/02/11 IMPAX LABORATORIES INC DE 2.02,9.01 08/02/11 INDEPENDENCE REALTY TRUST, INC MD 8.01,9.01 07/28/11 INDEPENDENT BANK CORP MA 8.01 08/02/11 Innophos Holdings, Inc. 5.07,8.01,9.01 04/28/11 INSITE VISION INC DE 2.02,9.01 08/02/11 INSMED INC VA 8.01,9.01 08/01/11 INSTITUTIONAL FINANCIAL MARKETS, INC. MD 9.01 05/31/11 AMEND INSULET CORP DE 2.02,9.01 08/02/11 INSWEB CORP 2.02 08/01/11 INTERPHASE CORP TX 1.01,3.03,8.01,9.01 07/29/11 INTERPUBLIC GROUP OF COMPANIES, INC. DE 2.02,9.01 07/28/11 IntraLinks Holdings, Inc. DE 5.07 07/27/11 INVESTORS CAPITAL HOLDINGS LTD MA 5.01,5.02 08/02/11 INVESTORS TITLE CO NC 2.02,9.01 08/02/11 ION GEOPHYSICAL CORP DE 2.02,7.01,9.01 08/02/11 IPG PHOTONICS CORP DE 2.02,8.01,9.01 07/28/11 ISLE OF CAPRI CASINOS INC DE 5.02,9.01 08/01/11 ISSUER DIRECT CORP 2.02,9.01 08/02/11 Kaiser Federal Financial Group, Inc. MD 7.01,9.01 08/02/11 KEMET CORP DE 7.01,9.01 08/02/11 KEMET CORP DE 5.02,5.07,9.01 07/27/11 KEY TRONIC CORP WA 5.02 07/27/11 KEYCORP /NEW/ OH 8.01,9.01 08/02/11 KFORCE INC FL 2.02,9.01 08/02/11 Kodiak Oil & Gas Corp B0 3.01,7.01,9.01 08/01/11 KONA GRILL INC DE 5.02,8.01,9.01 07/28/11 KULICKE & SOFFA INDUSTRIES INC PA 2.02,9.01 08/02/11 Lantis Laser Inc. NV 2.01,9.01 05/23/11 AMEND LBO CAPITAL CORP CO 8.01 07/24/11 LCNB CORP OH 8.01 07/27/11 LEAP WIRELESS INTERNATIONAL INC DE 5.02,5.07,8.01,9.01 07/28/11 LEXMARK INTERNATIONAL INC /KY/ DE 1.01,5.03,8.01,9.01 07/28/11 Liberty Global, Inc. 2.03,9.01 08/02/11 Liberty Global, Inc. 2.02,7.01 08/02/11 LIMITED BRANDS INC DE 8.01 08/02/11 LINCOLN NATIONAL CORP IN 2.02,9.01 08/02/11 LINN ENERGY, LLC DE 8.01,9.01 08/02/11 LIONBRIDGE TECHNOLOGIES INC /DE/ DE 9.01 08/02/11 LIQUIDITY SERVICES INC 2.02,9.01 08/02/11 LIQUIDITY SERVICES INC 7.01,9.01 08/02/11 LITTLEFIELD CORP DE 2.02,9.01 07/27/11 LOCAL.COM DE 1.01,1.02,9.01 07/29/11 LogMeIn, Inc. DE 5.02,9.01 08/02/11 LOJACK CORP MA 2.02,9.01 08/02/11 Lone Pine Resources Inc. DE 2.02,9.01 08/02/11 LOOKSMART LTD DE 2.02,9.01 08/02/11 lululemon athletica inc. DE 5.02 07/28/11 Lumber Liquidators Holdings, Inc. 5.02 07/27/11 LYDALL INC /DE/ DE 2.02,9.01 08/02/11 MACE SECURITY INTERNATIONAL INC DE 8.01,9.01 08/02/11 Magnolia Solar Corp NV 8.01,9.01 08/02/11 MAP Pharmaceuticals, Inc. DE 8.01,9.01 08/02/11 MARATHON OIL CORP DE 2.02,9.01 08/02/11 Marathon Petroleum Corp DE 2.02,9.01 08/02/11 MARLIN BUSINESS SERVICES CORP 2.02,9.01 08/02/11 MARTIN MARIETTA MATERIALS INC NC 2.02,7.01,9.01 08/02/11 MCKESSON CORP DE 5.03,5.07,8.01,9.01 07/27/11 MDU RESOURCES GROUP INC DE 2.02,7.01,9.01 06/30/11 MEDCO HEALTH SOLUTIONS INC DE 8.01,9.01 07/29/11 Medical Design Studios, Inc. NV 5.02 08/01/11 MEDNAX, INC. FL 2.02,9.01 08/02/11 MERCER INTERNATIONAL INC. WA 2.02,9.01 08/02/11 MERCURY COMPUTER SYSTEMS INC MA 2.02,5.02,9.01 08/02/11 MERITOR INC IN 2.02,9.01 08/02/11 METROPCS COMMUNICATIONS INC DE 2.02,9.01 08/02/11 MIDSOUTH BANCORP INC LA 8.01,9.01 07/29/11 MINDSPEED TECHNOLOGIES, INC DE 5.02 07/28/11 MOLINA HEALTHCARE INC DE 7.01,9.01 08/01/11 MOLSON COORS BREWING CO DE 2.02,8.01,9.01 08/02/11 MONOLITHIC POWER SYSTEMS INC CA 2.02,9.01 08/02/11 Morgans Hotel Group Co. DE 8.01,9.01 08/01/11 Morgans Hotel Group Co. DE 2.02,9.01 08/02/11 Motors Liquidation Co DE 8.01,9.01 08/02/11 MPG Office Trust, Inc. MD 7.01,8.01,9.01 08/01/11 Myriad Interactive Media, Inc. DE 5.02,9.01 07/29/11 NATIONAL FINANCIAL PARTNERS CORP 7.01,9.01 08/02/11 NATIONAL PROPERTY INVESTORS 4 CA 1.01,9.01 07/28/11 AMEND NEWS CORP 8.01,9.01 08/02/11 NextWave Wireless Inc. DE 1.01,9.01 08/01/11 NGP Capital Resources Co MD 2.01,7.01,9.01 07/28/11 NIC INC CO 2.02,7.01,9.01 08/02/11 NISOURCE INC/DE DE 2.02,9.01 08/02/11 NL INDUSTRIES INC NJ 7.01,9.01 08/01/11 NOBEL LEARNING COMMUNITIES INC DE 5.07 08/02/11 NORTEL NETWORKS CORP 8.01 07/29/11 NORTH EUROPEAN OIL ROYALTY TRUST DE 2.02,9.01 07/31/11 NORTH VALLEY BANCORP CA 2.02,9.01 08/02/11 NORTHEAST BANCORP /ME/ ME 2.02,9.01 06/30/11 NORTHEAST UTILITIES MA 2.02,9.01 08/02/11 NORTHERN CALIFORNIA BANCORP INC 5.03,9.01 07/29/11 NOVAVAX INC DE 1.01 08/02/11 NPC INTERNATIONAL INC KS 2.02,9.01 08/02/11 NPS PHARMACEUTICALS INC DE 2.02,9.01 08/02/11 NU SKIN ENTERPRISES INC DE 2.02,9.01 08/02/11 NUPATHE INC. DE 1.01,3.02,7.01,9.01 08/02/11 NVR INC VA 5.07 07/28/11 AMEND NYSE Euronext DE 2.02,9.01 08/02/11 NYXIO TECHNOLOGIES Corp NV 5.02,9.01 07/27/11 Och-Ziff Capital Management Group LLC DE 7.01 08/02/11 Och-Ziff Capital Management Group LLC DE 2.02,8.01,9.01 08/02/11 OFFICEMAX INC DE 2.02,5.02,9.01 07/27/11 OMNIVISION TECHNOLOGIES INC DE 5.02 07/28/11 ONCOR ELECTRIC DELIVERY CO LLC DE 2.02,9.01 08/02/11 ONEOK INC /NEW/ OK 1.01,1.02,2.03,7.01, 08/02/11 9.01 ONEOK Partners LP DE 1.01,1.02,2.03,7.01, 08/02/11 9.01 Onstream Media CORP FL 3.02 07/28/11 OPENTABLE INC DE 2.02,5.02,8.01,9.01 08/01/11 OPNET TECHNOLOGIES INC DE 2.02,8.01,9.01 08/02/11 Orient Paper Inc. NV 2.02,9.01 07/28/11 ORION FUTURES FUND LP NY 3.02 08/01/11 OVERSEAS SHIPHOLDING GROUP INC DE 2.02,8.01,9.01 08/02/11 Panacea Global, Inc. NV 5.02,9.01 07/26/11 PANHANDLE OIL & GAS INC OK 5.02,5.03,9.01 08/02/11 PAPA JOHNS INTERNATIONAL INC DE 2.02,9.01 08/02/11 PARAMETRIC TECHNOLOGY CORP MA 5.02 07/29/11 PARK NATIONAL CORP /OH/ OH 7.01,9.01 08/02/11 PARKER HANNIFIN CORP OH 2.02,7.01,9.01 08/02/11 PARKWAY PROPERTIES INC MD 2.02,9.01 08/01/11 PARTNERRE LTD 2.02,9.01 08/01/11 PEETS COFFEE & TEA INC WA 2.02,9.01 08/02/11 Pegasi Energy Resources Corporation. NV 1.01,3.02,7.01,9.01 07/28/11 PENN VIRGINIA CORP VA 1.01,5.05,7.01,9.01 07/27/11 PENNSYLVANIA REAL ESTATE INVESTMENT T PA 2.02,9.01 07/28/11 PEOPLES EDUCATIONAL HOLDINGS MN 7.01,9.01 08/02/11 PETROLEUM DEVELOPMENT CORP NV 1.01,9.01 07/27/11 PFIZER INC DE 2.02,9.01 08/02/11 Pharmasset Inc 7.01 08/02/11 PINNACLE WEST CAPITAL CORP AZ 2.02,7.01,9.01 06/30/11 POST PROPERTIES INC GA 2.02,9.01 08/01/11 POTLATCH CORP DE 7.01,9.01 08/02/11 POTOMAC FUTURES FUND LP NY 3.02 08/01/11 POWER INTEGRATIONS INC CA 2.02,9.01 08/02/11 Primerica, Inc. DE 2.02,7.01,9.01 08/02/11 PRINCIPAL FINANCIAL GROUP INC DE 2.02,9.01 08/01/11 PROCERA NETWORKS INC NV 5.02 07/29/11 PROSPECT GLOBAL RESOURCES INC. NV 1.01,8.01,9.01 07/27/11 PROSPERITY BANCSHARES INC TX 7.01,9.01 08/02/11 PUBLIX SUPER MARKETS INC FL 2.02,9.01 08/01/11 QCR HOLDINGS INC DE 8.01,9.01 08/02/11 QUEST SOFTWARE INC CA 2.02,9.01 08/02/11 QUICKLOGIC CORPORATION CA 2.02,9.01 08/02/11 QUIDEL CORP /DE/ DE 2.02,9.01 08/02/11 RADIAN GROUP INC DE 2.02,9.01 08/02/11 RADIENT PHARMACEUTICALS Corp DE 1.01,2.03,9.01 08/02/11 RBS GLOBAL INC DE 2.02,9.01 08/02/11 ReachLocal Inc DE 9.01 08/02/11 Real Mex Restaurants, Inc. DE 1.01,3.03,5.02,5.07, 07/27/11 9.01 RealD Inc. DE 5.02,5.07,8.01,9.01 07/29/11 REALTY INCOME CORP MD 5.03,9.01 08/01/11 Reef Oil & Gas Income & Development F TX 1.01,2.01,9.01 06/24/11 REPUBLIC AIRWAYS HOLDINGS INC DE 2.02,9.01 08/02/11 Resource Capital Corp. MD 2.02,9.01 06/30/11 RESOURCES CONNECTION INC DE 8.01,9.01 07/28/11 REVA Medical, Inc. DE 2.02,7.01,9.01 08/01/11 REVONERGY INC NV 5.02 07/31/11 REX ENERGY CORP DE 2.02,7.01,9.01 08/02/11 Roadrunner Transportation Systems, In DE 8.01,9.01 08/01/11 Rockville Financial, Inc. /CT/ CT 2.02,9.01 08/02/11 ROWAN COMPANIES INC DE 2.02,9.01 08/02/11 RPX Corp DE 2.02,9.01 08/02/11 RTI INTERNATIONAL METALS INC OH 1.01,2.02,9.01 07/29/11 S1 CORP /DE/ DE 7.01,9.01 08/02/11 S1 CORP /DE/ DE 8.01,9.01 08/02/11 S1 CORP /DE/ DE 8.01,9.01 08/02/11 Samson Oil & Gas LTD C3 2.02,9.01 07/28/11 SaVi Media Group, Inc. NV 1.01,3.02,7.01,9.01 08/02/11 SBA COMMUNICATIONS CORP FL 2.02,9.01 08/01/11 SCBT FINANCIAL CORP SC 8.01,9.01 08/02/11 SCBT FINANCIAL CORP SC 5.02,9.01 07/28/11 SCBT FINANCIAL CORP SC 1.01,2.01,9.01 07/29/11 SEACOAST BANKING CORP OF FLORIDA FL 2.02,7.01,9.01 07/28/11 SEALED AIR CORP/DE DE 5.02 07/28/11 SELECTIVE INSURANCE GROUP INC NJ 7.01 08/01/11 Shearson American REIT, Inc. NV 4.01,9.01 07/11/11 SIGNATURE GROUP HOLDINGS INC NV 8.01 07/29/11 SILGAN HOLDINGS INC DE 1.01,1.02,2.03,7.01, 07/28/11 9.01 SILICON IMAGE INC DE 2.02,9.01 08/02/11 SIRIUS XM RADIO INC. DE 2.02,9.01 08/02/11 Skilled Healthcare Group, Inc. DE 8.01,9.01 08/02/11 SM Energy Co DE 2.02,7.01,9.01 08/01/11 SMITH MICRO SOFTWARE INC DE 2.02,9.01 08/02/11 SMUCKER J M CO OH 1.01,2.03,9.01 07/29/11 Solar Capital Ltd. MD 2.02,9.01 08/02/11 Solar Senior Capital Ltd. MD 2.02,9.01 08/02/11 SOLTA MEDICAL INC DE 2.02,9.01 08/02/11 Somaxon Pharmaceuticals, Inc. DE 1.01,1.02,2.02,3.02, 07/28/11 9.01 Sono Resources, Inc. NV 7.01,9.01 08/02/11 SONUS NETWORKS INC DE 2.02,9.01 08/02/11 SpectrumDNA, Inc. DE 5.02,8.01 07/22/11 SPRINT NEXTEL CORP KS 5.02 08/01/11 SPRINT NEXTEL CORP KS 5.02 08/01/11 STANLEY BLACK & DECKER, INC. CT 7.01,9.01 08/01/11 STARTEK INC DE 1.01 07/27/11 STARWOOD PROPERTY TRUST, INC. 2.02,9.01 08/02/11 STATE BANK FINANCIAL CORP GA 5.02 07/27/11 STERIS CORP OH 2.02,5.02,5.07,8.01, 07/28/11 9.01 SuccessFactors, Inc. DE 2.02,9.01 08/02/11 SUN COMMUNITIES INC MD 1.01,2.03,9.01 07/27/11 SUNOCO LOGISTICS PARTNERS L.P. DE 1.01,9.01 07/28/11 Super Micro Computer, Inc. CA 2.02,9.01 08/02/11 SUPERMEDIA INC. DE 2.02,7.01,9.01 08/02/11 SYNCHRONOSS TECHNOLOGIES INC 2.02,9.01 08/01/11 SYNERGY PHARMACEUTICALS, INC. FL 7.01,9.01 08/02/11 Synutra International, Inc. DE 2.02,9.01 08/02/11 TACTICAL DIVERSIFIED FUTURES FUND L.P NY 3.02 08/01/11 TALBOTS INC DE 1.01,3.03,8.01,9.01 08/01/11 TANGER FACTORY OUTLET CENTERS INC NC 2.02,7.01,9.01 08/02/11 TANGER FACTORY OUTLET CENTERS INC NC 5.07 08/02/11 AMEND TEAM HEALTH HOLDINGS INC. DE 2.02,9.01 08/02/11 TEAMSTAFF INC NJ 8.01 08/01/11 TECHNE CORP /MN/ MN 2.02,9.01 08/02/11 TECHNE CORP /MN/ MN 8.01,9.01 08/02/11 TELULAR CORP DE 2.02,8.01,9.01 07/28/11 TENET HEALTHCARE CORP NV 2.02,9.01 08/02/11 TENET HEALTHCARE CORP NV 5.02 08/02/11 TETRIDYN SOLUTIONS INC NV 1.01,2.03,9.01 07/28/11 Texas Roadhouse, Inc. DE 2.02,9.01 08/01/11 THERMOGENESIS CORP DE 5.02,9.01 07/29/11 TITANIUM METALS CORP DE 7.01,9.01 08/01/11 TITANIUM METALS CORP DE 2.02,7.01,9.01 08/02/11 TNS INC 2.02,7.01,9.01 08/01/11 Tower International, Inc. DE 5.02 07/27/11 TRIMBLE NAVIGATION LTD /CA/ CA 2.02,9.01 08/02/11 TWIN DISC INC WI 2.02,7.01,9.01 08/02/11 U S GOLD CORP CO 5.02,7.01,9.01 07/27/11 UIL HOLDINGS CORP CT 8.01,9.01 08/02/11 Uni-Pixel DE 8.01,9.01 08/02/11 UNION FIRST MARKET BANKSHARES CORP VA 8.01,9.01 08/02/11 UNION FIRST MARKET BANKSHARES CORP VA 8.01,9.01 07/29/11 UNIT CORP DE 2.02,9.01 08/02/11 UNITED SURGICAL PARTNERS INTERNATIONA DE 2.02,9.01 08/02/11 UNIVERSAL AMERICAN CORP. DE 2.02,9.01 08/01/11 Unum Group DE 2.02,9.01 08/02/11 URANIUM 308 CORP. NV 3.02,9.01 07/27/11 US CONCRETE INC DE 7.01 08/02/11 US ECOLOGY, INC. DE 2.02,9.01 08/02/11 US ENERGY CORP WY 5.07 06/24/11 AMEND UTAH MEDICAL PRODUCTS INC UT 9.01 03/17/11 AMEND VALLEY NATIONAL BANCORP NJ 7.01,9.01 08/02/11 VALUECLICK INC/CA DE 1.01,2.02,9.01 08/01/11 Vantage Drilling CO E9 5.02,5.07,8.01,9.01 07/28/11 VASCULAR SOLUTIONS INC MN 2.02,9.01 08/02/11 Venoco, Inc. DE 2.02,9.01 08/02/11 Verisk Analytics, Inc. DE 2.02,9.01 08/02/11 VIRTUS INVESTMENT PARTNERS, INC. DE 5.07 04/28/11 AMEND VISHAY INTERTECHNOLOGY INC DE 2.02,7.01,9.01 08/02/11 Vocus, Inc. DE 8.01 07/29/11 VSE CORP DE 2.02,9.01 07/28/11 VSE CORP DE 8.01 07/29/11 VWR Funding, Inc. DE 7.01,9.01 08/02/11 WABASH NATIONAL CORP /DE DE 2.02,9.01 08/02/11 WARRINGTON FUND LP NY 3.02 08/01/11 WASHINGTON MUTUAL, INC WA 7.01,9.01 08/01/11 WATTS WATER TECHNOLOGIES INC DE 2.02,9.01 08/02/11 WAYNE SAVINGS BANCSHARES INC /DE/ DE 2.02,9.01 08/02/11 WebMD Health Corp. DE 2.02,7.01,9.01 08/02/11 WESTAR ENERGY INC /KS KS 5.02,7.01,9.01 08/02/11 WESTLAKE CHEMICAL CORP 2.02,9.01 08/02/11 WEYCO GROUP INC WI 2.02,9.01 08/02/11 White River Capital Inc IN 2.02,9.01 08/02/11 WILLIAMS COMPANIES INC DE 5.02 07/27/11 WILSHIRE BANCORP INC 2.02,9.01 07/26/11 WINDSTREAM CORP DE 1.01,9.01 07/31/11 WINDSTREAM CORP DE 7.01,8.01,9.01 07/31/11 AMEND WORLD FUEL SERVICES CORP FL 2.02,7.01,9.01 08/02/11 XL GROUP PLC L2 2.02,9.01 08/02/11 ZIPREALTY INC 2.02,9.01 08/02/11
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