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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 Century Bancshares, Inc. DE 2.02,9.01 03/31/12 3D SYSTEMS CORP DE 7.01,9.01 05/08/12 A123 SYSTEMS, INC. DE 5.02 05/02/12 AAON INC NV 2.02,9.01 05/08/12 AASTROM BIOSCIENCES INC MI 5.07 05/02/12 ACACIA RESEARCH CORP DE 9.01 01/12/12 AMEND ACADIA PHARMACEUTICALS INC DE 2.02,9.01 05/08/12 ACCURAY INC DE 2.02,9.01 05/08/12 ACORN ENERGY, INC. DE 7.01,9.01 05/08/12 ADA-ES INC CO 2.02,9.01 05/08/12 ADDVANTAGE TECHNOLOGIES GROUP INC OK 2.02,7.01,9.01 05/08/12 Aegion Corp DE 7.01,9.01 05/08/12 AEROCENTURY CORP DE 5.02 05/03/12 AEROCENTURY CORP DE 5.02 05/03/12 AMEND AeroGrow International, Inc. NV 8.01,9.01 05/08/12 AG Mortgage Investment Trust, Inc. MD 2.02,9.01 05/08/12 AGREE REALTY CORP DE 5.07 05/07/12 Aircastle LTD D0 7.01,9.01 05/07/12 AKORN INC LA 2.02,5.07,9.01 05/04/12 ALBANY MOLECULAR RESEARCH INC DE 5.02,9.01 05/04/12 ALCOA INC PA 7.01,9.01 05/08/12 ALLIANCE BANKSHARES CORP 1.01,9.01 05/03/12 Alliance HealthCare Services, Inc CA 5.07 05/04/12 Allied Nevada Gold Corp. DE 2.02,9.01 05/07/12 Allied Nevada Gold Corp. DE 5.07 05/03/12 ALLSCRIPTS HEALTHCARE SOLUTIONS, INC. DE 7.01,9.01 05/08/12 Alphatec Holdings, Inc. DE 2.02,9.01 05/08/12 Alphatec Holdings, Inc. DE 1.01,9.01 05/08/12 ALSERES PHARMACEUTICALS INC /DE DE 8.01 05/02/12 ALSERES PHARMACEUTICALS INC /DE DE 1.01 05/03/12 ALTERA CORP DE 1.01,1.02,2.03,9.01 05/08/12 AMARIN CORP PLC\UK X0 2.02,9.01 05/08/12 AMBASSADORS GROUP INC DE 1.01,5.02,9.01 05/07/12 AMEDISYS INC DE 2.02,7.01,9.01 05/08/12 Ameresco, Inc. DE 2.02,9.01 05/08/12 AMERICAN AIRLINES INC DE 8.01 05/08/12 American Realty Capital Properties, I MD 8.01 05/08/12 American Reprographics CO DE 2.02,9.01 05/08/12 AMR CORP DE 8.01 05/08/12 AMYRIS, INC. DE 2.02,9.01 05/08/12 AMYRIS, INC. DE 5.02 05/02/12 Apollo Global Management LLC DE 2.02,9.01 05/08/12 Archipelago Learning, Inc. DE 2.02,9.01 05/08/12 ARES CAPITAL CORP MD 2.02,7.01,9.01 05/08/12 Armour Residential REIT, Inc. MD 7.01,9.01 05/08/12 ARROWHEAD RESEARCH CORP DE 2.02,9.01 05/08/12 ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 05/08/12 ATLANTIC POWER CORP A1 2.02,9.01 05/07/12 Atlas Energy, L.P. DE 2.02,9.01 05/07/12 Atlas Resource Partners, L.P. 2.02,9.01 05/07/12 ATRION CORP DE 2.02,9.01 05/08/12 Augme Technologies, Inc. DE 2.02,9.01 05/08/12 AUTOLIV INC DE 5.02,5.07,8.01,9.01 05/08/12 AVANIR PHARMACEUTICALS, INC. DE 2.02,5.02,9.01 05/02/12 Avantair, Inc DE 5.02 05/02/12 Baby Fox International, Inc. NV 5.03,5.07,9.01 04/17/12 Bacterin International Holdings, Inc. DE 7.01,9.01 05/08/12 BAHAMAS CONCIERGE, INC. NV 8.01 05/03/12 Bancorp of New Jersey, Inc. NJ 2.02,9.01 05/08/12 Bank of the Carolinas CORP NC 2.02,9.01 05/04/12 BARRY R G CORP /OH/ OH 2.02,9.01 05/08/12 BB&T CORP NC 7.01,9.01 05/08/12 BERKSHIRE HATHAWAY INC DE 5.07 05/05/12 BIO KEY INTERNATIONAL INC DE 2.02,9.01 05/08/12 Bio-Matrix Scientific Group, Inc. DE 1.01,9.01 04/26/12 BIOCANCELL THERAPEUTICS INC. 8.01 05/02/12 BIONOVO INC DE 5.02,5.07 05/03/11 BIOSANTE PHARMACEUTICALS INC DE 2.02,9.01 05/08/12 Bizzingo, Inc. NV 1.01,3.02,7.01,9.01 05/04/12 BJs RESTAURANTS INC CA 8.01,9.01 05/08/12 BLOUNT INTERNATIONAL INC DE 2.02,9.01 05/07/12 BLUE NILE INC DE 2.02,9.01 05/08/12 BRIDGE BANCORP INC NY 5.07,9.01 05/04/12 BROADRIDGE FINANCIAL SOLUTIONS, INC. DE 2.02,9.01 05/08/12 BROADRIDGE FINANCIAL SOLUTIONS, INC. DE 2.06 03/13/12 AMEND BROADSOFT, INC. DE 5.07 05/04/12 BUFFALO WILD WINGS INC MN 5.02,5.07,9.01 05/02/12 CADENCE DESIGN SYSTEMS INC DE 5.07 05/04/12 CAESARS ENTERTAINMENT Corp DE 1.01,9.01 05/07/12 CAFEPRESS INC. DE 5.02,9.01 05/03/12 CALIFORNIA GOLD CORP. NV 5.02 05/04/12 CALLON PETROLEUM CO DE 2.02,7.01,9.01 05/07/12 CAMDEN NATIONAL CORP ME 5.02,9.01 05/01/12 CAPITAL BANK CORP NC 2.02,9.01 05/07/12 CAPITAL ONE FINANCIAL CORP DE 5.02,5.07 05/08/12 CardioNet, Inc. CA 2.02,9.01 05/08/12 Carlyle Group L.P. DE 1.01,3.03,5.02,5.03, 05/02/12 8.01,9.01 CARRIZO OIL & GAS INC TX 2.02,9.01 05/08/12 CARROLLTON BANCORP MD 8.01,9.01 05/08/12 CARROLS RESTAURANT GROUP, INC. 2.02,9.01 05/08/12 CAS MEDICAL SYSTEMS INC DE 2.02,9.01 05/08/12 CDI CORP PA 2.02,8.01,9.01 05/02/12 CDI CORP PA 5.07 05/03/12 CENTRAL VIRGINIA BANKSHARES INC VA 2.02,9.01 05/08/12 CHARTER COMMUNICATIONS, INC. /MO/ DE 2.02,9.01 05/08/12 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 05/07/12 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 05/07/12 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 05/07/12 Chatham Lodging Trust MD 2.02,9.01 05/07/12 CHECKPOINT SYSTEMS INC PA 5.02,9.01 05/08/12 CHEMBIO DIAGNOSTICS, INC. NV 7.01,9.01 05/08/12 CHESAPEAKE MIDSTREAM PARTNERS LP DE 2.02,9.01 05/08/12 CHESAPEAKE UTILITIES CORP DE 7.01,9.01 05/06/12 CHICAGO RIVET & MACHINE CO IL 2.02,9.01 05/04/12 China Natural Gas, Inc. DE 5.02,9.01 05/02/12 CHINACAST EDUCATION CORP DE 3.01,9.01 05/02/12 CHIQUITA BRANDS INTERNATIONAL INC NJ 2.02,9.01 05/08/12 CHURCH & DWIGHT CO INC /DE/ DE 5.07 05/03/12 CIBER INC DE 2.02,9.01 05/08/12 CIBER INC DE 1.01,2.03,9.01 05/07/12 CICERO INC DE 4.01,9.01 05/02/12 CIT GROUP INC DE 8.01,9.01 05/04/12 Cleantech Solutions International, In DE 1.01,3.02,9.01 05/04/12 Clovis Oncology, Inc. DE 2.02,9.01 05/08/12 CMS ENERGY CORP MI 8.01,9.01 05/08/12 COACH INC MD 5.02,9.01 05/07/12 Colfax CORP DE 2.02,9.01 05/08/12 COMFORT SYSTEMS USA INC 7.01,9.01 05/08/12 COMMVAULT SYSTEMS INC DE 2.02,9.01 05/08/12 CONNS INC DE 2.02,9.01 05/08/12 CONVERGYS CORP OH 2.02,8.01,9.01 05/08/12 Core-Mark Holding Company, Inc. DE 2.02,9.01 05/08/12 Corporate Capital Trust, Inc. MD 5.07,9.01 05/03/12 CORPORATE PROPERTY ASSOCIATES 16 GLOB MD 7.01,9.01 05/08/12 COVANCE INC DE 5.02 05/08/12 CPI AEROSTRUCTURES INC NY 2.02 05/07/12 Crestwood Midstream Partners LP DE 2.02,9.01 05/08/12 Crexendo, Inc. DE 2.02,9.01 05/08/12 CROSSTEX ENERGY INC DE 1.01,7.01,9.01 05/07/12 CROSSTEX ENERGY INC DE 2.02,9.01 05/08/12 CROSSTEX ENERGY LP DE 1.01,7.01,9.01 05/07/12 CROSSTEX ENERGY LP DE 2.02,9.01 05/08/12 CROWN DYNAMICS CORP DE 1.01,3.02,5.06,9.01 01/18/12 AMEND CTI INDUSTRIES CORP DE 2.02,9.01 05/07/12 CURIS INC DE 2.02,9.01 05/08/12 CURTISS WRIGHT CORP DE 5.02,5.07 05/04/12 CYS Investments, Inc. MD 7.01,9.01 05/08/12 DCP Midstream Partners, LP DE 2.02,9.01 05/07/12 DealerTrack Holdings, Inc. DE 2.02,9.01 05/08/12 DealerTrack Holdings, Inc. DE 7.01,9.01 05/08/12 DEMAND MEDIA INC. DE 2.02,9.01 05/08/12 Demandware Inc DE 2.02,9.01 05/08/12 DEPOMED INC CA 2.02,9.01 05/08/12 diaDexus, Inc. DE 2.02,9.01 05/08/12 Digital Domain Media Group, Inc. FL 1.01,2.03,3.02,9.01 05/06/12 DIRECTV DE 2.02 05/08/12 Discovery Communications, Inc. DE 2.02,9.01 05/08/12 DISH Network CORP NV 8.01,9.01 05/07/12 DISH Network CORP NV 5.07 05/02/12 Dolan Co. DE 2.02,9.01 05/08/12 DOUGLAS DYNAMICS, INC DE 2.02,9.01 05/07/12 DOUGLAS DYNAMICS, INC DE 5.07 05/02/12 DOVER SADDLERY INC 2.02,5.07,9.01 05/02/11 Dresser-Rand Group Inc. DE 5.07 05/08/12 DRIL-QUIP INC DE 2.02,9.01 05/07/12 Duke Energy CORP DE 8.01,9.01 05/08/12 DUNKIN' BRANDS GROUP, INC. DE 7.01,9.01 05/08/12 DYNAVAX TECHNOLOGIES CORP DE 8.01,9.01 05/08/12 EARTHLINK INC DE 7.01,9.01 05/08/12 EAST COAST DIVERSIFIED CORP NV 1.01,3.02,9.01 04/20/12 EASTMAN CHEMICAL CO DE 5.02,5.03,5.07,9.01 05/03/12 EchoStar CORP NV 5.07 05/03/12 EDELMAN FINANCIAL GROUP INC. TX 2.02,7.01,9.01 05/08/12 EGAIN COMMUNICATIONS CORP DE 2.02,9.01 05/08/12 Ellington Financial LLC DE 2.02,7.01,8.01,9.01 05/07/12 EMC INSURANCE GROUP INC IA 2.02,7.01,9.01 05/08/12 EMCORE CORP NJ 7.01,8.01,9.01 05/07/12 Employers Holdings, Inc. NV 2.02,8.01,9.01 05/08/12 ENTRAVISION COMMUNICATIONS CORP DE 2.02,9.01 05/08/12 EOG RESOURCES INC DE 2.02,7.01,9.01 05/02/12 EPAM Systems, Inc. DE 2.02,9.01 05/08/12 EQT Corp PA 1.01,9.01 05/08/12 ESSEX PROPERTY TRUST INC MD 7.01,9.01 05/08/12 Essex Rental Corp. DE 2.02,9.01 05/07/12 EverBank Financial Corp DE 1.01,8.01,9.01 05/02/12 EVOLVING SYSTEMS INC DE 2.02,8.01,9.01 05/08/12 FAC PROPERTYS LLC NY 2.01 05/08/12 FactorShares 2X: Gold Bull/S&P500 Bea 8.01 05/07/12 FactorShares 2X: Oil Bull/S&P500 Bear 8.01 05/07/12 FactorShares 2X: S&P500 Bull/TBond Be 8.01 05/07/12 FactorShares 2X: S&P500 Bull/USD Bear 8.01 05/07/12 FactorShares 2X: TBond Bull/S&P500 Be 8.01 05/07/12 FBR & Co. VA 8.01,9.01 05/08/12 Federal Home Loan Bank of Atlanta X1 2.03 05/08/12 Federal Home Loan Bank of Chicago X1 2.03 05/02/12 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 05/02/12 Federal Home Loan Bank of Des Moines X1 2.03,9.01 05/04/12 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 05/08/12 Federal Home Loan Bank of New York X1 2.03,9.01 05/02/12 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 05/02/12 Federal Home Loan Bank of San Francis X1 2.03 05/02/12 Federal Home Loan Bank of Seattle 2.03 05/02/12 Federal Home Loan Bank of Topeka 2.03,9.01 05/02/12 FEDERAL REALTY INVESTMENT TRUST MD 8.01,9.01 05/08/12 Fiesta Restaurant Group, Inc. DE 1.01,2.02,5.01,5.02, 05/07/12 9.01 FIFTH THIRD BANCORP OH 7.01,9.01 05/08/12 Financial Engines, Inc. DE 2.02,9.01 05/08/12 FIRST PACTRUST BANCORP INC MD 7.01,8.01,9.01 05/08/12 FIRSTMERIT CORP /OH/ OH 7.01,9.01 05/08/12 FLUOR CORP DE 5.03,5.07,9.01 05/03/12 Fortress Investment Group LLC DE 7.01 05/08/12 FOSSIL INC DE 2.02,9.01 05/08/12 FreightCar America, Inc. DE 2.02,9.01 05/08/12 FRONTIER COMMUNICATIONS CORP DE 8.01,9.01 05/08/12 FUEL TECH, INC. DE 2.02,9.01 05/08/12 FULLER H B CO MN 8.01,9.01 05/07/12 FURMANITE CORP DE 2.02,7.01,9.01 05/08/12 GALLAGHER ARTHUR J & CO DE 8.01,9.01 05/08/12 GALLAGHER ARTHUR J & CO DE 8.01,9.01 05/08/12 GALLAGHER ARTHUR J & CO DE 5.07,7.01,9.01 05/08/12 GAMETECH INTERNATIONAL INC DE 1.01,5.02,9.01 05/07/12 Gas Natural Inc. OH 8.01,9.01 05/07/12 GAYLORD ENTERTAINMENT CO /DE DE 2.02,9.01 05/08/12 GAYLORD ENTERTAINMENT CO /DE DE 2.02,9.01 05/08/12 AMEND GENERAC HOLDINGS INC. DE 2.02,9.01 05/08/12 General Finance CORP DE 8.01,9.01 05/08/12 General Maritime Corp / MI 1.03,2.02,7.01,9.01 05/03/12 GenMark Diagnostics, Inc. DE 2.02,9.01 05/08/12 GENTA INC DE/ DE 8.01,9.01 05/08/12 GEORESOURCES INC CO 8.01,9.01 05/07/12 GEORGETOWN CORP NV 1.01,3.02,5.01,5.02, 05/08/12 9.01 Global Cash Access Holdings, Inc. DE 2.02,9.01 05/08/12 GLOBAL PARTNERS LP 2.02,7.01,9.01 05/08/12 Global Technologies Group, Inc. FL 8.01,9.01 05/07/12 GLOBALSCAPE INC DE 2.02,9.01 05/08/12 GOODRICH PETROLEUM CORP DE 2.02,9.01 05/07/12 GRAHAM CORP DE 2.02,9.01 05/08/12 GRANITE CONSTRUCTION INC DE 2.02,9.01 05/07/12 GREEN BANKSHARES, INC. TN 2.02,9.01 05/07/12 Green Planet Bio Engineering Co. Ltd. 4.01,9.01 05/08/12 AMEND GREYSTONE LOGISTICS, INC. 2.02,7.01,9.01 05/08/12 GRIFFON CORP DE 2.02,9.01 05/08/12 GSI GROUP INC A3 2.02,9.01 05/08/12 GSI TECHNOLOGY INC 5.02,9.01 05/02/12 GSV Capital Corp. MD 2.02,9.01 05/08/12 GTX INC /DE/ DE 8.01,9.01 05/08/12 GTX INC /DE/ DE 2.02,9.01 05/08/12 GULFPORT ENERGY CORP DE 1.01,9.01 05/07/12 HACKETT GROUP, INC. FL 2.02,5.07,9.01 05/04/12 HALCON RESOURCES CORP DE 2.02,8.01,9.01 05/08/12 HALF ROBERT INTERNATIONAL INC /DE/ DE 5.02 05/06/12 HALLMARK FINANCIAL SERVICES INC NV 2.02,9.01 05/08/12 HANMI FINANCIAL CORP DE 7.01,9.01 05/08/12 Hartman Short Term Income Properties MD 2.01 05/07/12 HCSB FINANCIAL CORP SC 5.07 05/08/12 HEALTH CARE REIT INC /DE/ DE 2.02,9.01 05/07/12 HEALTHCARE TRUST OF AMERICA, INC. MD 8.01 05/04/12 HEALTHSOUTH CORP DE 5.02,5.07 05/08/12 HECLA MINING CO/DE/ DE 2.02,8.01,9.01 05/08/12 HENRY SCHEIN INC DE 2.02,9.01 03/31/12 HERCULES TECHNOLOGY GROWTH CAPITAL IN MD 2.02,9.01 05/08/12 HERITAGE COMMERCE CORP CA 7.01,9.01 05/08/12 Heritage-Crystal Clean, Inc. DE 5.02,5.07 05/03/12 HERSHA HOSPITALITY TRUST MD 1.01,9.01 05/03/12 HEXCEL CORP /DE/ DE 5.03,9.01 05/03/12 Hill International, Inc. DE 2.02,9.01 05/07/12 HUNTINGTON INGALLS INDUSTRIES, INC. DE 5.02,5.07,9.01 05/02/12 ICAD INC DE 2.02,9.01 05/07/12 IEC ELECTRONICS CORP DE 2.02,9.01 05/08/12 IMATION CORP DE 5.02 05/08/12 IMMUNOMEDICS INC DE 2.02,9.01 05/08/12 IMPAX LABORATORIES INC DE 8.01 05/02/12 INFINITY PHARMACEUTICALS, INC. DE 2.02,9.01 05/08/12 INNOSPEC INC. DE 2.02,9.01 05/07/12 INSMED INC VA 2.02,9.01 05/08/12 InspireMD, Inc. DE 2.02,9.01 05/08/12 INSTITUTIONAL FINANCIAL MARKETS, INC. MD 1.01,9.01 05/02/12 INTELSAT S.A. N4 2.02,9.01 05/08/12 INTERLINE BRANDS, INC./DE DE 2.02,9.01 05/08/12 INTERNATIONAL FLAVORS & FRAGRANCES IN NY 2.02,9.01 05/08/12 Internet Patents Corp 2.02,9.01 05/07/12 INTERSIL CORP/DE DE 8.01,9.01 05/08/12 Interval Leisure Group, Inc. DE 2.02,9.01 05/08/12 INVESTMENT TECHNOLOGY GROUP INC DE 8.01,9.01 05/08/12 Investview, Inc. NV 8.01 05/07/12 ISIS PHARMACEUTICALS INC DE 2.02,9.01 05/08/12 ITT EDUCATIONAL SERVICES INC DE 5.07 05/08/12 JACKSONVILLE BANCORP INC /FL/ FL 2.02,9.01 05/08/12 Jazz Pharmaceuticals plc L2 2.02,9.01 05/08/12 Jive Software, Inc. DE 2.02,9.01 05/08/12 JOHNSON & JOHNSON NJ 8.01 05/08/12 K12 INC DE 2.02,9.01 05/08/12 Kennedy-Wilson Holdings, Inc. DE 2.02,9.01 05/07/12 Kentucky First Federal Bancorp 2.02,9.01 05/07/12 KERYX BIOPHARMACEUTICALS INC DE 1.01,2.02,9.01 05/04/12 Kosmos Energy Ltd. D0 2.02,7.01,9.01 05/07/12 KRATOS DEFENSE & SECURITY SOLUTIONS, DE 1.01,3.02,8.01,9.01 05/08/12 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 05/08/12 LANDAUER INC DE 2.02,7.01,9.01 05/07/12 LEARNING TREE INTERNATIONAL INC DE 2.02,9.01 05/08/12 LEARNING TREE INTERNATIONAL INC DE 8.01,9.01 05/08/12 Liberty Global, Inc. DE 2.03 05/04/12 Lightwave Logic, Inc. NV 1.01,9.01 05/02/12 LINN ENERGY, LLC DE 8.01,9.01 05/08/12 LINN ENERGY, LLC DE 8.01,9.01 05/08/12 LIONBRIDGE TECHNOLOGIES INC /DE/ DE 2.02,9.01 05/08/12 LIVEPERSON INC DE 2.02,9.01 05/08/12 LMI AEROSPACE INC MO 2.02,9.01 05/08/12 LMI AEROSPACE INC MO 7.01,9.01 05/08/12 LORILLARD, INC. DE 8.01 04/10/12 AMEND LUNA INNOVATIONS INC DE 1.01,7.01,9.01 05/07/12 M/A-COM Technology Solutions Holdings DE 2.02,9.01 05/08/12 MACROSOLVE INC OK 2.02,9.01 05/08/12 MAGICJACK VOCALTEC LTD L3 7.01 05/08/12 MAGNUM HUNTER RESOURCES CORP DE 1.01,2.03,9.01 05/02/12 MARRIOTT INTERNATIONAL INC /MD/ DE 5.03,5.07,8.01,9.01 05/04/12 MARTIN MIDSTREAM PARTNERS LP DE 2.02,9.01 05/02/12 MARVELL TECHNOLOGY GROUP LTD D0 5.02 05/03/12 MATERION Corp 7.01,9.01 05/08/12 Max Cash Media Inc NV 4.01,9.01 05/04/12 MCDONALDS CORP DE 7.01,9.01 05/08/12 MEDICIS PHARMACEUTICAL CORP DE 2.02,8.01,9.01 05/02/12 MEDIVATION, INC. DE 2.02,9.01 05/08/12 MEDIWARE INFORMATION SYSTEMS INC NY 2.02,9.01 05/08/12 MEMSIC Inc 2.02,9.01 05/08/12 MERCURY COMPUTER SYSTEMS INC MA 7.01,9.01 05/08/12 MERGE HEALTHCARE INC DE 2.02,5.02,9.01 05/07/12 METTLER TOLEDO INTERNATIONAL INC/ DE 5.07 05/03/12 MFA FINANCIAL, INC. MD 7.01 05/07/12 MICHAEL BAKER CORP PA 2.02,9.01 05/08/12 MICROSTRATEGY INC DE 2.02,9.01 05/02/12 MILLER INDUSTRIES INC /TN/ TN 2.02,9.01 05/08/12 MOLSON COORS BREWING CO DE 2.02,9.01 05/08/12 MOLSON COORS BREWING CO DE 5.02,9.01 05/07/12 MULTIMEDIA GAMES HOLDING COMPANY, INC TX 5.02,5.05,8.01,9.01 05/02/12 NANOMETRICS INC DE 1.01,2.03,9.01 04/23/12 NANOSPHERE INC DE 7.01,9.01 05/08/12 NCI BUILDING SYSTEMS INC DE 1.01,2.03,8.01,9.01 05/02/12 New England Bancshares, Inc. 2.02,9.01 05/08/12 NEW YORK TUTOR Co NV 8.01 05/03/12 NEWS CORP 8.01,9.01 05/08/12 NEWTEK BUSINESS SERVICES, INC. NY 2.02,9.01 05/08/12 NEXSTAR BROADCASTING GROUP INC DE 2.02,9.01 05/08/12 NGP Capital Resources Co MD 2.02,9.01 05/08/12 NORCRAFT COMPANIES LP 2.02,9.01 05/08/12 NORTEK INC DE 5.07 05/08/12 NuStar Energy L.P. DE 1.01,2.03,9.01 05/02/12 NV ENERGY, INC. NV 2.02,7.01,9.01 05/07/12 NxStage Medical, Inc. DE 2.02,9.01 05/08/12 OBA Financial Services, Inc. MD 2.02,9.01 04/24/12 Ocean Electric Inc. 3.02 04/27/12 Och-Ziff Capital Management Group LLC DE 5.07 05/08/12 OFFICEMAX INC DE 2.02,9.01 05/08/12 OLD LINE BANCSHARES INC MD 2.02,9.01 05/07/12 OMEGA HEALTHCARE INVESTORS INC MD 2.02,9.01 05/08/12 OmniAmerican Bancorp, Inc. MD 7.01,9.01 05/08/12 Otter Tail Corp MN 2.02,9.01 05/07/12 OUTDOOR CHANNEL HOLDINGS INC 2.02,9.01 05/08/12 Pacific Coast Oil Trust DE 1.01,3.02,5.03,9.01 05/02/12 Pacific Ethanol, Inc. DE 1.01,1.02,2.03,8.01, 05/04/12 9.01 PAIN THERAPEUTICS INC DE 2.02,9.01 05/08/12 PANTRY INC DE 2.02,9.01 05/08/12 PAR PHARMACEUTICAL COMPANIES, INC. DE 2.02,9.01 05/08/12 Patriot Coal CORP DE 1.01,2.02,4.02,9.01 05/07/12 PEREGRINE PHARMACEUTICALS INC DE 5.02 05/04/12 PERMA FIX ENVIRONMENTAL SERVICES INC DE 2.02,9.01 05/08/12 PERRIGO CO MI 2.02,9.01 05/08/12 PETMED EXPRESS INC FL 8.01,9.01 05/07/12 PETMED EXPRESS INC FL 8.01,9.01 05/07/12 PHARMATHENE, INC DE 2.02,9.01 05/08/12 Pike Electric CORP 2.02,9.01 05/08/12 PIONEER DRILLING CO TX 2.02,9.01 05/07/12 POST PROPERTIES INC GA 2.02,9.01 05/07/12 POTLATCH CORP DE 5.07 05/07/12 PREMIER ALLIANCE GROUP, INC. NV 4.02 05/04/12 PREMIER HOLDING CORP. NV 5.02 05/02/12 Primerica, Inc. DE 8.01,9.01 05/08/12 Primo Water Corp DE 2.02,9.01 05/08/12 PROGENICS PHARMACEUTICALS INC DE 2.02,5.02,9.01 03/31/12 PROGRESS ENERGY INC NC 8.01,9.01 05/08/12 Prologis, Inc. MD 5.02,5.03,5.07,9.01 05/03/12 PSYCHEMEDICS CORP DE 2.02,9.01 05/08/12 PUBLIC SERVICE ENTERPRISE GROUP INC NJ 7.01,9.01 05/08/12 PULSE ELECTRONICS CORP PA 2.02,9.01 05/08/12 QUALITY DISTRIBUTION INC FL 7.01,9.01 05/07/12 QUALITY DISTRIBUTION INC FL 2.02,9.01 05/07/12 QUESTCOR PHARMACEUTICALS INC CA 7.01 05/08/12 QUICKSILVER RESOURCES INC DE 2.02,9.01 05/08/12 RACKSPACE HOSTING, INC. 5.07 05/02/12 RDA Holding Co. 2.02,9.01 05/08/12 Real Goods Solar, Inc. CO 2.02,9.01 05/08/12 REGENERON PHARMACEUTICALS INC NY 1.01,9.01 05/07/12 REPUBLIC SERVICES, INC. DE 1.01,2.03,3.03,9.01 05/08/12 RESPONSE BIOMEDICAL CORP A1 2.02,9.01 05/07/12 RETAIL OPPORTUNITY INVESTMENTS CORP DE 5.07 05/02/12 RF MICRO DEVICES INC NC 5.02 05/08/12 RING ENERGY, INC. NV 1.01,8.01 05/03/12 RIVERVIEW BANCORP INC WA 2.02,9.01 05/07/12 Roadrunner Transportation Systems, In DE 7.01,9.01 05/08/12 Rockville Financial, Inc. /CT/ CT 7.01,9.01 05/08/12 RODMAN & RENSHAW CAPITAL GROUP, INC. DE 5.07 05/04/12 Rosetta Resources Inc. DE 2.02,9.01 05/08/12 ROSETTA STONE INC 2.02,7.01,9.01 05/08/12 ROYALE ENERGY INC CA 7.01,8.01,9.01 05/07/12 Rubicon Technology, Inc. DE 2.02,9.01 05/08/12 RUBY TUESDAY INC GA 8.01,9.01 05/07/12 RVPlus Inc. DE 9.01 05/04/12 AMEND SAGA COMMUNICATIONS INC DE 2.02,9.01 05/08/12 SANTARUS INC DE 2.02,9.01 05/08/12 SAVIENT PHARMACEUTICALS INC DE 3.01 05/04/12 SCOTTS MIRACLE-GRO CO OH 2.02,9.01 05/08/12 SCRIPPS E W CO /DE OH 2.02,9.01 05/08/12 SEARCH BY HEADLINES.COM CORP. NV 1.01,2.03,9.01 05/07/12 Searchlight Minerals Corp. NV 7.01,9.01 05/08/12 SEATTLE GENETICS INC /WA DE 2.02,9.01 05/08/12 SECURITY FEDERAL CORP SC 2.02,9.01 05/07/12 SELECT COMFORT CORP MN 7.01,9.01 05/08/12 SELECT MEDICAL HOLDINGS CORP 7.01,8.01,9.01 05/07/12 Shea Homes Limited Partnership CA 2.02,9.01 05/07/12 SITEL Worldwide Corp DE 8.01,9.01 05/07/12 SNYDER'S-LANCE, INC. NC 2.02,9.01 05/08/12 SOLERA HOLDINGS, INC DE 2.02,7.01,9.01 05/08/12 Sonora Resources Corp. 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DE 2.02,7.01,9.01 05/08/12 SURMODICS INC MN 2.02,8.01,9.01 05/08/12 SWIFT TRANSPORTATION Co 5.07,7.01,9.01 05/08/12 SWS GROUP INC DE 2.02,9.01 05/08/12 SYSCO CORP DE 2.02,9.01 05/07/12 TAL International Group, Inc. DE 8.01,9.01 05/03/12 TANGOE INC DE 2.02,9.01 05/08/12 TECHNEST HOLDINGS INC NV 1.01,3.03,9.01 05/02/12 TECHNICAL COMMUNICATIONS CORP MA 2.02,8.01,9.01 05/03/12 TechTarget Inc 2.02,5.02,9.01 05/04/12 TENET HEALTHCARE CORP NV 2.02,9.01 05/08/12 Terreno Realty Corp MD 1.01 05/03/12 TESORO CORP /NEW/ DE 5.07 05/03/12 TIB FINANCIAL CORP. FL 2.02,9.01 05/07/12 Timberline Resources Corp DE 2.02,7.01,9.01 05/08/12 Titanium Asset Management Corp DE 2.02,9.01 05/08/12 TITANIUM METALS CORP DE 2.02,7.01,9.01 05/08/12 Tornier N.V. P7 2.02,9.01 05/08/12 Tower Group, Inc. DE 7.01,9.01 05/08/12 TRANSAKT LTD. A0 1.01,9.01 05/08/12 TransDigm Group INC DE 2.02,9.01 05/08/12 TRANSGENOMIC INC DE 2.02,9.01 05/08/12 TransMontaigne Partners L.P. 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DE 2.02,9.01 05/08/12 UQM TECHNOLOGIES INC CO 1.01,1.02,5.02,9.01 05/02/12 URANIUM ENERGY CORP NV 7.01,9.01 05/08/12 URS CORP /NEW/ DE 2.02,9.01 05/08/12 US BANCORP \DE\ DE 8.01,9.01 05/08/12 UTAH MEDICAL PRODUCTS INC UT 5.07 05/04/12 VALASSIS COMMUNICATIONS INC DE 5.02,5.07,7.01,9.01 05/03/12 Vanda Pharmaceuticals Inc. DE 2.02,9.01 05/08/12 VERISIGN INC/CA DE 7.01,9.01 05/08/12 VIRGINIA COMMERCE BANCORP INC 8.01 05/08/12 VIRTUAL PIGGY, INC. DE 1.01,3.02,9.01 05/02/12 Vishay Precision Group, Inc. DE 2.02,9.01 05/08/12 Vitamin Shoppe, Inc. DE 2.02,9.01 05/08/12 VITESSE SEMICONDUCTOR CORP DE 2.02 05/08/12 Vocus, Inc. DE 8.01 05/04/12 VOLITIONRX LTD DE 1.01,2.01,3.02,5.01, 10/06/11 AMEND 5.02,5.03,5.06,8.01, 9.01 Voyager Oil & Gas, Inc. DE 2.02,9.01 05/08/12 W P CAREY & CO LLC DE 7.01,9.01 05/08/12 WALT DISNEY CO/ DE 2.02,9.01 05/08/12 WALTER INVESTMENT MANAGEMENT CORP MD 1.01,5.07 05/02/12 WELLS FARGO & COMPANY/MN DE 9.01 05/08/12 Wells Timberland REIT, Inc. MD 1.01 05/07/12 Wendy's Co DE 2.02,9.01 05/08/12 Wendy's Co DE 7.01,9.01 05/08/12 Wendy's Co DE 8.01,9.01 05/08/12 WERNER ENTERPRISES INC NE 5.07 05/08/12 WEST PHARMACEUTICAL SERVICES INC PA 8.01,9.01 05/08/12 Western Asset Mortgage Defined Opport MD 2.02,9.01 05/03/12 WILLIS LEASE FINANCE CORP DE 2.02,7.01,9.01 05/07/12 WISCONSIN ENERGY CORP WI 7.01,9.01 05/08/12 WORTHINGTON INDUSTRIES INC OH 1.01,1.02,2.03,8.01, 05/04/12 9.01 WPCS INTERNATIONAL INC DE 1.01,9.01 05/03/12 Xenith Bankshares, Inc. VA 5.02,5.07,9.01 05/03/12 XERIUM TECHNOLOGIES INC DE 2.02,9.01 05/08/12 XL GROUP PLC L2 2.02,9.01 05/08/12 XO GROUP INC. DE 2.02,9.01 05/08/12 YORK WATER CO PA 2.02,9.01 05/02/12 YORK WATER CO PA 5.07 05/07/12 Zeltiq Aesthetics Inc DE 3.01,5.02 05/02/12 ZIPREALTY INC 2.02,9.01 05/08/12 ZIPREALTY INC 5.02,9.01 05/07/12 ZYNEX INC NV 2.02,9.01 05/08/12
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