Pending Case List

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Case Type Lead Motion Due Company Name Symbol Cusip/ISIN Class Begin Class End Expanded
Class Begin		 Expanded
Class End
Pending 06/19/2011 1st Centennial Bancorp FCEN 319424107 04/13/2006 01/23/2009
Pending 08/30/2011 A-Power Energy Generation Systems, Ltd. APWR BOJCH38 03/31/2008 06/27/2011
Pending 05/04/2004 Activision, Inc. ATVI 004930202 02/01/2001 12/17/2002
Pending 04/15/2002 Actrade Financial Technologies Ltd. ACRT 004931101 03/11/1999 07/02/2002
Pending 05/31/2011 Advanced Battery Technologies, Inc. ABAT 00752H102 03/16/2009 03/29/2011 11/24/2008 03/30/2011
Pending 10/08/2010 Advanta Corp and KPMG LLP N/A N/A 06/24/2007 11/08/2009
Pending 12/13/2009 Advanta Corp. VARIOUS VARIOUS 10/31/2006 11/27/2007
Pending 12/12/2011 Aeropostale, Inc. ARO 007865108 02/03/2011 08/03/2011
Pending 12/17/2011 AgFeed Industries, Inc. FEED 00846L101 03/16/2009 08/02/2011 03/12/2008 09/29/2011
Pending 01/06/2012 Agnico-Eagle Mines Limited AEM 008474108 04/29/2010 10/19/2011
Pending 10/10/2009 Align Technology, Inc. ALGN 016255101 01/30/2007 10/24/2007
Pending 04/11/2011 All American Group, Inc. COHM.PK 016437105 11/08/2010 02/10/2011
Pending 11/22/2011 Allos Therapeutics, Inc. ALTH 019777101 07/20/2011 07/20/2011
Pending 10/05/2009 Allscripts-Misys Healthcare Solutions Inc. MDRX 01988P108 05/08/2007 02/13/2008
Pending 10/02/2010 Almost Family, Inc. AFAM 020409108 11/04/2009 06/30/2010 08/05/2008 06/30/2010
Pending 10/12/2010 Alphatec Holdings, Inc. ATEC 02081G102 12/18/2009 08/05/2010
Pending 03/08/2011 Alternate Energy Holdings Inc. AEHI 02147K105 09/20/2006 12/14/2010
Pending 05/18/2010 AMAG Pharmaceuticals, Inc. AMAG 00163U106 01/21/2010 03/19/2010
Pending 08/09/2010 Amedisys, Inc. AMED 023436108 02/23/2010 05/13/2010 08/02/2005 07/12/2010
Pending 10/24/2010 American Apparel, Inc. APP 023850100 12/20/2006 08/17/2010 12/19/2006 08/17/2010
Pending 09/16/2007 American Capital Corporation and Royal Palm Capital Group, Inc. ACCN/RYPL VARIOUS 09/01/2002 06/30/2006 08/01/2002 05/05/2006
Pending 04/21/2009 American Express Company AXP 025816109 03/01/2007 11/12/2008
Pending 07/21/2008 American International Group ("AIG") AIG VARIOUS 05/11/2007 05/09/2008 03/16/2006 09/16/2008
Pending 10/12/2010 American Public Education, Inc. APEI 02913V103 02/22/2010 08/05/2010
Pending 06/06/2011 American Superconductor Corp. AMSC 030111108 11/02/2010 04/05/2011 07/29/2010 04/05/2011
Pending 06/18/2007 Amgen, Inc. AMGN 031162100 05/04/2005 03/09/2007 05/04/2005 05/10/2007
Pending 08/23/2010 Anadarko Petroleum Corp. APC VARIOUS 06/12/2009 06/09/2010
Pending 01/10/2009 Anadigics, Inc. ANAD 032515108 07/25/2007 02/12/2008 02/12/2007 10/22/2008
Pending 11/10/2009 Anixter International, Inc. AXE 035290105 01/29/2008 10/20/2008
Pending 10/15/2010 Apollo Group APOL 037604105 12/07/2009 08/03/2010 02/12/2007 08/03/2010
Pending 01/02/2007 Apollo Group Inc. APOL 037604105 11/28/2001 10/18/2006
Pending 08/16/2011 Apple REIT Nine, Inc. Apple REIT Ten, Inc. N/A N/A 06/16/2008 06/17/2011
Pending 01/26/2009 Aracruz Celulose S.A. ARA VARIOUS 04/07/2008 10/02/2008
Pending 06/30/2008 Arbitron, Inc. ARB 03875Q108 06/19/2007 11/26/2007
Pending 11/19/2010 Arena Pharmaceuticals, Inc. ARNA 040047102 05/11/2009 09/16/2010 12/08/2008 09/17/2010
Pending 09/23/2008 ArthroCare Corporation ARTC 043136100 01/24/2008 07/18/2008
Pending 11/30/2010 AspenBio Pharma, Inc. APPY 045346103 02/22/2007 07/19/2010
Pending 05/18/2010 AthenaHealth, Inc. ATHN 031285828 10/29/2009 02/25/2010
Pending 09/17/2011 Atheros Communications Inc. ATHR 04743P108 01/05/2011 06/03/2011
Pending 09/06/2011 Avon Products, Inc. AVP 054303102 07/31/2006 05/24/2011
Pending 07/11/2010 BancorpSouth, Inc. BXS 059692103 07/23/2009 02/25/2010
Pending 04/03/2011 Bank of America Corporation BAC 060505104 01/20/2010 10/19/2010 07/23/2009 10/19/2010
Pending 11/22/2011 Bank of America Corporation BAC 060505104 02/25/2011 08/05/2011
Pending 07/21/2008 Bank of America Corporation/ARS BAC 05/22/2003 02/13/2008
Pending 02/17/2010 Bank of America Preferred BAC VARIOUS 01/24/2008 01/19/2010
Pending 03/23/2009 Bank of America Securities, Derivative ERISA Litigation BAC 060505104 10/09/2008 01/20/2009 09/18/2008 01/21/2009
Pending 12/28/2007 BankAtlantic Bancorp, Inc. BBX 065908501 11/09/2005 10/25/2007
Pending 11/17/2008 BankUnited Financial Corporation BKUNA 06652B103 04/18/2006 06/18/2008
Pending 05/03/2009 Barclays Bank Plc BACR VARIOUS 04/28/2006 03/04/2009
Pending 05/11/2009 Barclays Bank Plc, American Depositary Shares, Series 4 BCS-C 06739H511 12/03/2007 03/12/2009
Pending 05/03/2009 Barclays Bank Plc, American Depositary Shares, Series 5 BCS-D 06739H362 04/08/2008 04/13/2009
Pending 11/21/2010 Baxter International Inc. BAX 071813109 09/17/2009 05/03/2010
Pending 05/16/2008 Bear Stearns Companies Inc. BSC 073902108 12/14/2006 03/14/2008
Pending 04/19/2011 Best Buy Co., Inc. BBY 086516101 09/14/2010 12/13/2010
Pending 07/06/2009 Bidz.com Securities Litigation BIDZ N/A 08/13/2007 11/26/2007 08/13/2007 11/27/2007
Pending 09/06/2011 Biomimetic Therapeutics, Inc. BMTI 09064X101 10/14/2009 05/11/2011 10/14/2009 05/16/2011
Pending 10/22/2011 BJ's Wholesale Club, Inc. BJ 05548J106 06/29/2011 06/29/2011
Pending 06/14/2008 Blackstone Group L.P., The BX 09253U108 06/21/2007 04/15/2008
Pending 10/29/2011 Blue Coat Systems, Inc. BCSI 09534T508 11/24/2009 05/27/2010
Pending 06/08/2010 Boston Scientific Corporation BSX 101137107 04/20/2009 03/12/2010
Pending 07/20/2010 BP PLC BP VARIOUS 03/04/2009 04/20/2010 06/30/2005 06/01/2010
Pending 04/12/2011 Broadwind Energy, Inc. BWEN 11161T108 03/17/2009 08/09/2010
Pending 02/20/2011 Bucyrus International, Inc. BUCY 118759109 11/15/2010 12/22/2010
Pending 05/09/2008 Camtek Ltd. CAMT M20791105 11/22/2005 12/20/2006
Pending 08/02/2010 Canadian Solar, Inc. (Canadian Company) CSIQ 136635109 03/03/2010 06/01/2010 10/13/2009 06/01/2010
Pending 01/04/2011 Capella Education Company CPLA 139594105 02/16/2010 08/13/2010
Pending 09/15/2009 Caraco Pharmaceutical Laboratories, Ltd. CPD 14075T107 05/29/2008 06/25/2009
Pending 10/26/2009 CardioNet, Inc. Securities Litigation BEAT 14159L103 04/30/2009 06/30/2009 04/30/2009 07/10/2009
Pending 08/22/2011 Carlyle Capital Corporation VARIOUS 06/19/2007 03/17/2008
Pending 11/18/2008 Carter's Inc. CRI 146229109 02/21/2006 07/24/2007 02/01/2006 07/24/2007
Pending 08/07/2010 Cascal N.V. HOO B2NW6Y2 05/21/2010 05/21/2010
Pending 02/11/2009 CBS Corporation CBS 124857202 02/26/2008 10/10/2008
Pending 08/13/2010 Celera Corp. CRA 15100E106 04/24/2008 07/22/2009
Pending 06/13/2011 Celera Corp. CRA 15100E106 04/11/2011 04/11/2011
Pending 03/16/2007 Celestica Inc. CLS 15101Q108 07/27/2006 12/12/2006 01/27/2005 01/30/2007
Pending 05/11/2010 Cell Therapeutics, Inc. CTIC 150934503 05/05/2009 03/19/2010 05/05/2009 03/19/2010
Pending 12/23/2011 Central European Distribution Corp. CEDC 153435102 08/05/2010 02/28/2011
Pending 11/14/2011 Central Vermont Public Services Corp. CV 155771108 05/30/2011 05/30/2011
Pending 05/08/2009 Century Aluminum Company CENX 156431108 01/28/2009 03/09/2009 04/24/2008 03/02/2009
Pending 04/26/2009 Chesapeake Energy Corporation CHK 165167107 07/10/2008 02/25/2009 07/10/2008 07/10/2008
Pending 04/12/2011 China Agritech, Inc. CAGC 16937A200 02/08/2010 02/03/2011 02/08/2010 03/11/2011
Pending 12/23/2011 China Automotive Systems, Inc. CAAS 16936R105 03/25/2010 03/17/2011 03/20/2010 03/17/2011
Pending 05/31/2011 China Century Dragon Media, Inc. CDM 16936D205 02/08/2011 03/26/2011
Pending 01/31/2011 China Education Alliance, Inc. CEU VARIOUS 03/31/2009 11/29/2010
Pending 05/31/2011 China Electric Motor, Inc. CELM 16890A205 01/29/2010 03/30/2011 01/28/2010 03/30/2011
Pending 01/21/2008 China Expert Technology, Inc. CXTI.PK 16938D104 11/14/2006 10/01/2007
Pending 12/14/2010 China Green Agriculture, Inc. CGA 16943W105 11/12/2009 09/01/2010
Pending 05/24/2011 China Integrated Energy, Inc. CBEH 16948P105 03/31/2010 03/16/2011 03/31/2010 04/21/2011
Pending 05/31/2011 China Intelligent Lighting and Electronics, Inc. CIL 16890G202 06/18/2010 03/29/2011
Pending 04/05/2011 China MediaExpress Holdings, Inc. CCME 169442100 11/08/2010 02/03/2011 05/14/2010 03/11/2011
Pending 09/16/2011 China Medicine Corporation CHME 169491107 11/30/2006 03/23/2011
Pending 10/31/2010 China Naturual Gas, Inc. CHNG 168910206 03/10/2010 08/19/2010
Pending 01/30/2012 China Organic Agriculture, Inc. CNOA.PK 16943A103 11/12/2008 03/24/2010 11/12/2008 05/17/2011
Pending 09/30/2011 China Security and Surveillance Technology, Inc. CSR 16942J105 04/21/2011 04/21/2011
Pending 04/05/2011 China Valves Technology, Inc. CVVT 169476207 01/12/2010 01/13/2011
Pending 01/01/2012 Ciber, Inc. CBR 17163B102 12/15/2010 08/03/2011
Pending 05/30/2011 Cisco Systems, Inc. CSCO 17275R102 05/12/2010 02/09/2011 02/03/2010 02/09/2011
Pending 09/23/2008 CIT Group Inc. VARIOUS VARIOUS 04/18/2007 03/05/2008
Pending 01/07/2008 Citigroup Inc. C 172967101 04/17/2006 11/02/2007 01/01/2004 01/15/2009
Pending 01/05/2009 CitiGroup Inc. Bond Action Litigation VARIOUS 02/23/2007 04/18/2008
Pending 05/12/2009 Citigroup Inc., Series AA C-PP 172967572 03/02/2006 03/13/2009
Pending 06/02/2009 Citigroup Inc., Series F C-M 172967556 05/06/2008 04/03/2009
Pending 12/23/2008 Citigroup Mortgage Loan Trust Inc. N/A VARIOUS 01/01/2007 03/19/2008
Pending 05/27/2008 Citigroup, Inc./ARS C 03/26/2003 02/13/2008
Pending 07/19/2010 City of Miami N/A VARIOUS 09/30/2005 11/17/2009
Pending 02/04/2002 CNA Financial Corp. CNA 126117100 02/11/1997 02/10/2000
Pending 12/16/2011 CNinsure, Inc. CISG 18976M103 03/02/2010 09/14/2011
Pending 03/25/2011 Coinstar, Inc. CSTR 19259P300 10/28/2010 01/13/2011 10/28/2010 02/03/2011
Pending 07/08/2011 Community Health Systems, Inc. CYH 203668108 07/27/2006 04/08/2011 07/27/2006 04/11/2011
Pending 06/13/2010 Compellent Technologies, Inc. CML 20452A108 10/28/2009 04/07/2010
Pending 08/02/2011 Computer Sciences Corp. CSC 205363104 08/11/2010 05/25/2011 05/21/2009 05/25/2011
Pending 10/05/2009 Conseco CNO 208464883 08/04/2005 03/17/2008
Pending 11/04/2003 Constar International, Inc. CNST 21036U107 11/14/2002 09/05/2003
Pending 11/21/2008 Constellation Energy Group, Inc. CEG 210371100 01/30/2008 09/16/2008
Pending 10/31/2011 Constellation Energy Group, Inc. CEG 210371100 04/28/2011 04/28/2011
Pending 09/07/2004 Corinthian Colleges, Inc. COCO 218868107 08/27/2003 06/23/2004 08/27/2003 07/30/2004
Pending 11/01/2010 Corinthian Colleges, Inc. COCO 218868107 10/30/2007 08/19/2010
Pending 04/02/2010 Countrywide Financial Corporation N/A VARIOUS 10/28/2001 01/14/2010
Pending 03/29/2011 Countrywide Financial Corporation N/A VARIOUS 08/30/2005 01/14/2008
Pending 11/02/2009 Coventry Health Care, Inc. CVH 222862104 02/09/2007 10/22/2008
Pending 04/06/2010 CRM Holdings CRMH G2554P103 12/21/2005 11/05/2008
Pending 07/11/2010 CTVCommScope, Inc. CTV 203372107 04/29/2008 10/30/2008
Pending 10/22/2010 CVB Financial Corporation CVBF 126600105 10/21/2009 08/09/2010
Pending 01/18/2010 CVS Caremark Corporation CVS 126650100 05/05/2009 11/04/2009
Pending 12/05/2005 Dana Corporation DCN 235811106 03/23/2005 09/14/2005 02/11/2004 10/10/2005
Pending 06/28/2011 Deer Consumer Products, Inc. DEER 24379J200 03/31/2009 03/17/2011
Pending 07/19/2010 Denbury Resources, Inc./Encore Acquisition Co. EAC 29255W100 03/10/2010 03/10/2010
Pending 10/03/2011 Dendreon Corporation DNDN 24823Q107 01/07/2011 08/03/2011 04/29/2010 08/03/2011
Pending 03/27/2009 Deutsche Alt-A Securities, Inc. N/A VARIOUS 05/01/2006 06/27/2008
Pending 04/25/2009 Deutsche Bank AG DUA, DCE VARIOUS 10/10/2006 02/24/2009
Pending 05/29/2009 Deutsche Bank AG DTK 25154A108 02/12/2008 03/30/2009
Pending 08/20/2011 Deutsche Bank AG DB VARIOUS 01/03/2007 01/16/2009
Pending 12/31/2010 DeVry Inc. DV 251893103 10/25/2007 08/13/2010
Pending 01/06/2012 Diamond Foods, Inc. DMND 252603105 04/05/2011 11/01/2011 12/09/2010 11/04/2011
Pending 08/30/2010 Diebold, Inc. DBD 253651103 06/30/2005 01/15/2008
Pending 11/17/2009 Direxion Daily Financial Bear 3X Shares FAZ 25459W490 11/03/2008 04/09/2009
Pending Direxion Energy Bear 3X Shares Fund ERY 25459W342 11/05/2008 08/24/2010
Pending 09/19/2010 DJSP Enterprises, Inc. DJSP VARIOUS 03/16/2010 05/27/2010
Pending 01/24/2012 DryShips, Inc. (non- U.S. co.) DRYS B0647S2 12/01/2008 12/31/2010
Pending 09/03/2011 Duncan Energy Partners, L.P. DEP 265026104 07/14/2011 07/14/2011
Pending 11/21/2010 Duoyuan Global, Inc. DGW 266043108 11/09/2009 09/13/2010
Pending 11/19/2010 Duoyuan Printing, Inc. DYP 26605B109 11/06/2009 09/13/2010
Pending 04/04/2011 Dynegy Inc. DYN 26817G300 08/13/2010 02/01/2011
Pending 12/01/2007 E*Trade Financial Corporation ETFC 269246104 12/14/2006 09/25/2007 04/20/2006 11/09/2007
Pending 06/02/2008 E*Trade Financial Corporation/ARS ETFC 04/02/2003 02/13/2008
Pending 10/02/2001 Ebay, Inc EABY 704508100 09/24/1998 05/14/2001
Pending 09/12/2011 Ebix, Inc. EBIX 278715206 05/06/2009 06/30/2011
Pending 10/11/2010 Education Management Corporation EDMC 28140M103 10/02/2009 08/03/2010 10/02/2009 08/16/2010
Pending 10/03/2010 Elan Corporation, plc ELN 284131208 06/17/2008 07/29/2008
Pending 04/26/2011 Elan Corporation, PLC ELN VARIOUS 07/02/2009 08/05/2009
Pending 05/03/2010 Electronic Game Card, Inc. EGMI 285716106 04/05/2007 02/19/2010
Pending 02/23/2009 Emcore Corporation EMKR 290846104 06/12/2007 03/17/2008
Pending 11/13/2011 Emdeon, Inc. EM 29084T104 08/04/2011 08/04/2011
Pending 10/29/2011 Encore Energy Partners LP ENP 29257A106 07/11/2011 07/11/2011
Pending 10/17/2011 Ener1, Inc. HEV 29267A203 01/10/2011 08/15/2011
Pending 12/08/2009 Energy Solutions, Inc. ES 292756202 11/14/2007 10/14/2008
Pending 06/28/2011 Epicor Software Corporation EPIC 29426L108 04/04/2011 04/04/2011
Pending 05/03/2011 Equinix, Inc. EQIX 29444U502 07/29/2010 10/05/2010
Pending 08/22/2008 Evergreen Investment Company EUBAX, EUBBX, EUBCX, EUBIX VARIOUS 06/23/2005 06/23/2008
Pending 09/23/2011 Fairfax Financial Holdings Ltd. FRFHF 303901102 05/21/2003 03/22/2006
Pending 11/30/2010 FalconStor Software, Inc. FALC 306137100 02/05/2009 09/29/2010
Pending 09/15/2008 FCStone Group, Inc. FCSX 31308T100 04/10/2008 07/09/2008 11/15/2007 07/09/2008
Pending 01/20/2008 Federal Home Loan Mortgage Company FRE 313400301 08/01/2006 11/19/2007 08/01/2006 11/23/2007
Pending 10/17/2008 Federal Home Loan Mortgage Corp. 'Freddie Mac' FRE VARIOUS 11/21/2007 08/05/2008
Pending 11/07/2008 Federal National Mortgage Association "Fannie Mae" FNM VARIOUS 11/16/2007 09/05/2008 11/09/2007 09/11/2008
Pending 11/22/2004 Federal National Mortgage Association (Fannie Mae) FNM VARIOUS 10/11/2000 09/22/2004
Pending 11/22/2004 Federal National Mortgage Association (Fannie Mae) FNM VARIOUS 04/17/2001 09/27/2005
Pending 08/19/2008 Fifth Third Bancorp FITB VARIOUS 10/19/2007 06/17/2008
Pending 05/20/2001 Financial Web.com Inc FWEBE 742476104 11/30/1999 04/20/2000
Pending 07/05/2005 FindWhat.com FWHT 317794105 01/05/2004 05/04/2005
Pending 05/14/2011 Finisar Corporation FNSR 31787A507 12/02/2010 03/08/2011 12/01/2010 03/08/2011
Pending 01/19/2002 Finity Holdings Inc FNTY 197351208 10/27/1997 11/12/1999
Pending 07/06/2010 First Regional Bancorp FRGB 33615C101 01/01/2007 01/29/2010
Pending 01/08/2008 Flamel Technologies, SA FLML 338488109 03/23/2007 10/31/2007
Pending 09/10/2010 Ford Motor Company Capital Trust II F-S 345395206 06/21/2010 06/30/2010
Pending 12/30/2007 FormFactor, Inc. FORM 346375108 04/26/2006 10/24/2007
Pending 09/28/2006 FoxHollow Technologies, Inc. FOXH 35166A103 05/13/2005 01/26/2006
Pending 11/13/2007 Fremont General Corporation FMT 357288109 05/09/2006 02/27/2007
Pending 01/16/2012 FriendFinder Networks, Inc. FFN 358453306 05/11/2011 11/14/2011
Pending 06/14/2010 Frontier Financial Corporation FTBK 35907K204 07/22/2008 03/16/2010
Pending 05/18/2010 Fuqi International, Inc. FUQI VARIOUS 05/15/2009 03/17/2010
Pending 07/05/2011 Fushi Copperweld, Inc. FSIN 36113E107 08/14/2007 03/29/2011 08/14/2007 05/04/2011
Pending 05/02/2011 FXCM, Inc. FXCM 302693106 12/01/2010 03/03/2011
Pending 12/02/2008 General Electric Company GE 369604103 09/25/2008 10/01/2008
Pending 05/02/2009 General Electric Company GE 369604103 01/23/2009 02/27/2009 09/25/2008 03/19/2009
Pending 02/04/2011 Genoptix, Inc. GXDX 37243V100 07/31/2009 06/15/2010
Pending 01/07/2011 Gentiva Health Services, Inc. GTIV 37247A102 07/31/2008 07/20/2010
Pending 03/21/2011 Genzyme Corp. GENZ 372917104 07/23/2010 10/18/2010
Pending 09/27/2009 Genzyme Corporation GENZ 372917104 06/26/2008 07/21/2009
Pending 02/21/2011 Geron Corporation GERN 374163103 07/31/2010 12/06/2010
Pending 05/24/2011 Gerova Financial Group GFC B3XMJ40 01/20/2010 01/20/2010
Pending 07/05/2011 Gerova Financial Group (Bermudan Company) GFC B3XMJ40 01/08/2010 02/23/2011
Pending 12/03/2010 GlobalSantaFe Corporation GSF 013956111 10/02/2007 04/20/2010
Pending 02/03/2012 GMX Resources, Inc. GMXR 38011M108 07/17/2008 03/10/2011
Pending 12/03/2010 Goldman Sachs Co./Hudson Mezzanine Funding GS VARIOUS 12/05/2006 09/30/2010
Pending 06/25/2010 Goldman Sachs Group Inc. Securities Litigation GS 38141G104 10/15/2009 04/16/2010 12/14/2006 06/09/2010
Pending 11/08/2011 Great Atlantic Pacific Tea Company, Inc., The GAP 390064103 07/23/2009 12/10/2010
Pending 08/29/2011 Green Bankshares, Inc. GRNB 394361208 06/16/2011 06/16/2011
Pending 01/17/2011 Green Bankshares, Inc. GRNB 394361208 01/19/2010 11/09/2010
Pending 11/29/2010 Green Mountain Coffee Roasters Securities Litigation GMCR 393122106 07/28/2010 09/28/2010
Pending 01/30/2012 Green Mountain Coffee Roasters, Inc. II GMCR 393122106 02/02/2011 11/09/2011
Pending 02/09/2009 GS Mortgage Securities Corp. N/A VARIOUS 01/31/2007 12/11/2008
Pending 04/07/2009 GS Mortgage Securities Corp. N/A VARIOUS 02/06/2006 02/06/2009
Pending 01/10/2012 Guaranty Financial Group, Inc. GFGFQ 40108N106 12/12/2007 08/24/2009
Pending 06/29/2011 Gulf Resources, Inc. GFRE 40251W309 03/16/2009 04/26/2011
Pending 12/22/2009 Hansen Medical, Inc. HNSN 411307101 05/01/2008 10/18/2009
Pending 11/10/2008 Hansen Natural Corporation HANS 411310105 05/23/2007 11/08/2007 05/23/2007 11/23/2007
Pending 03/23/2009 HarborView Mortgage Loan Trust N/A VARIOUS 04/26/2006 05/14/2008
Pending 11/30/2007 Harmon International Industries Inc. HAR 413086109 04/26/2007 09/24/2007
Pending 06/01/2010 Hartford Financial Services Group, Inc., The HIG 416515104 12/10/2007 02/05/2009
Pending 12/27/2011 HCA Holdings, Inc. HCA 40412C101 03/09/2011 10/28/2011
Pending 07/06/2010 Heckmann Corporation HEK 422680108 10/02/2008 05/08/2009 05/20/2008 05/08/2009
Pending 11/12/2011 Hewlett-Packard Securities Litigation HPQ 428236103 11/22/2010 08/18/2011
Pending 08/23/2008 Home Equity Mortgage Trust HEMT VARIOUS
Pending 01/20/2012 Hospira, Inc. HSP 441060100 03/24/2009 10/17/2011
Pending 06/27/2011 HQ Sustainable Maritime Industries, Inc. HQS 40426A208 05/11/2009 04/01/2011
Pending 03/22/2011 Human Genome Sciences, Inc. HGSI 444903108 12/07/2007 01/22/2008
Pending 01/10/2012 Human Genome Sciences, Inc. HGSI 444903108 07/20/2009 11/11/2010
Pending 07/21/2009 Idearc 8% Senior Notes N/A 451663AC2 03/27/2008 03/30/2009
Pending 07/07/2009 Idearc, Inc. IDARQ.PK 451663108 08/10/2007 03/31/2009
Pending 01/05/2007 Ikanos Communications Inc. IKAN 45173E105 09/22/2005 10/04/2006
Pending 10/10/2006 Imax Corp. IMAX 45245E109 02/17/2006 08/09/2006 10/28/2004 08/09/2006
Pending 11/01/2009 Immersion Corporation IMMR 452521107 05/03/2007 06/30/2009
Pending 01/17/2012 Imperial Holdings, Inc. IFT 452834104 02/07/2011 09/28/2011
Pending 10/31/2011 Imperial Sugar Company IPSU 453096208 12/29/2010 08/05/2011
Pending 06/12/2007 IndyMac Bancorp Inc. IMB, IDMCQ, IDMC.PK 456607100 01/26/2006 01/25/2007
Pending 08/10/2008 IndyMac Bancorp, Inc. IMB 456607100 08/16/2007 05/12/2008 03/01/2007 05/12/2008
Pending 07/13/2009 IndyMac Pass-Through Certificates N/A VARIOUS 02/24/2006 05/14/2009
Pending 04/20/2009 ING Groep N.V. IDG 456837707 09/27/2007 02/17/2009
Pending 04/06/2009 ING Group N.V. ISF and IGK VARIOUS 06/08/2007 02/05/2009
Pending 05/23/2009 Insight Enterprises, Inc. NSIT 45765U103 01/30/2007 02/06/2009 04/22/2004 02/06/2009
Pending 01/13/2009 Internap Network Services Corp. INAP 45885A300 03/28/2007 03/18/2008
Pending 09/28/2009 International Game Technology IGT 459902102 11/01/2007 10/30/2008
Pending 02/03/2012 IntraLinks Holdings, Inc. IL 46118H104 02/17/2011 11/10/2011
Pending 10/08/2010 Intuitive Surgical, Inc. ISRG 46120E602 02/01/2008 01/07/2009
Pending 10/18/2008 Inyx, Inc. IYXI.PK 461868101 03/31/2005 07/02/2007
Pending 02/25/2011 iShares Silver Trust and ETF Securities Ltd. Silver Trust SLV, SIVR VARIOUS 03/01/2008 12/27/2010
Pending 06/13/2008 iStar Financial Inc. SFI 45031U101 12/13/2007 02/27/2008
Pending 04/24/2011 Itron, Inc. ITRI 465741106 04/28/2010 02/16/2011
Pending 01/02/2011 ITT Educational Services, Inc. ESI 45068B109 10/23/2008 08/13/2010
Pending 02/21/2011 J Crew Group, Inc. JCG 46612H402 11/23/2010 12/14/2010
Pending 07/06/2009 J. Ezra Merkin and Gabriel Capital Corporation Litigation N/A N/A 12/22/2003 12/16/2008
Pending 03/23/2009 J.P. Morgan Acceptance Corporation N/A VARIOUS 02/02/2006 03/26/2008
Pending 09/26/2011 JBI, Inc. JBII 46611B109 08/28/2009 07/20/2011
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Pending 09/11/2009 JPMorgan Chase Co./ARS JPM 46625H100 07/10/2004 02/13/2008
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Pending 01/31/2009 KV Pharmaceutical Company KV-A, KV-B, KVPHP VARIOUS 02/15/2008 11/12/2008 05/31/2007 11/12/2008
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Pending 10/25/2010 Landwin Partners Fund I, LLC N/A N/A 01/16/2006 05/01/2007
Pending 07/24/2010 Las Vegas Sands Corp. LVS 517834107 08/01/2007 11/06/2008 06/13/2007 11/11/2008
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Pending 04/03/2009 Madoff/Beacon Associates LLC N/A N/A 08/09/2004 01/27/2009
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Pending 02/23/2009 Madoff/FM Low Volatility Fund N/A N/A 04/08/2008 12/24/2008
Pending 02/15/2009 Madoff/Gabriel Capital L.P. N/A N/A 12/12/2002 12/12/2008
Pending 03/13/2009 Madoff/Herald USA Fund, Herald Luxemburg Fund, Primeo Select Funds and Thema International Fund N/A N/A 01/12/2002 01/12/2008 01/12/2002 01/12/2009
Pending 06/19/2009 Madoff/Ivy Asset Management Corporation N/A N/A 01/01/1999 04/20/2009
Pending 10/30/2009 Madoff/J.P. Jennerett Associates Investors N/A N/A 01/01/1996 09/01/2009
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Pending 03/28/2009 Madoff/Optimal Strategic US Equity Fund N/A N/A 01/27/2004 12/10/2008
Pending 12/11/2011 Magnum d'Or Resources Inc. MDORE 55970P203 07/02/2008 04/13/2010
Pending 04/01/2011 MannKind Corporation MNKD 56400P201 06/25/2010 01/19/2011 06/25/2010 01/20/2011
Pending 09/08/2009 Manulife Financial Corporation MFC 56501R106 03/28/2008 06/19/2009
Pending 06/28/2010 Massey Energy Company MEE 576206106 10/28/2009 04/21/2010 02/01/2008 05/16/2010
Pending 07/22/2011 Massey Energy Company MEE 576206106 01/29/2011 05/23/2011
Pending 09/15/2009 Matrixx Initiatives MTXX 57685L105 12/22/2007 06/15/2009
Pending 07/12/2004 Matrixx Initiatives, Inc. MTXX 57685L105 10/22/2003 02/06/2004
Pending 06/06/2005 MBIA, Inc. MBI 55262C100 08/05/2003 03/30/2005
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Pending 02/01/2011 Mecox Lane Limited MCOX 58403M102 10/26/2010 12/03/2010
Pending 11/20/2009 Medical Capital Investors N/A N/A 09/18/2006 09/21/2009
Pending 05/17/2011 Medifast, Inc. MED 58470H101 03/04/2010 03/10/2011
Pending 05/10/2010 Medivation, Inc. MDVN 58501N101 07/17/2008 03/02/2010
Pending 02/09/2009 Medtronic, Inc. MDT 585055106 11/19/2007 11/17/2008
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Pending 03/29/1997 Mercury Finance Company MFN 589395102 02/23/1994 01/29/1997
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Pending 12/21/2010 Meta Financial Group, Inc. CASH 59100U108 05/14/2009 10/12/2010 05/14/2009 10/15/2010
Pending 01/02/2012 MF Global Holdings Ltd. MFGLQ.PK VARIOUS 05/20/2011 10/31/2011 11/05/2009 10/31/2011
Pending 10/18/2009 MGM Mirage MGM 552953101 08/02/2007 03/05/2009
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Pending 09/19/2011 Mindray Medical International Ltd. MR 602675100 01/11/2010 08/09/2010
Pending 09/27/2010 Monsanto Company MON 01/07/2009 05/27/2010
Pending 09/26/2007 Moody's Corporation MCO 615369105 10/25/2006 07/10/2007
Pending 12/12/2008 Morgan Asset Management, Inc. MKIBX VARIOUS 12/06/2004 10/03/2007
Pending 07/02/2010 Morgan Keegan Company, Inc. VARIOUS VARIOUS 06/06/2005 07/14/2009 12/06/2004 07/14/2009
Pending 04/30/2008 Morgan Stanley MS 617446448
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Pending 07/10/2010 Mortgages Ltd. and Radical Bunny, LLC N/A N/A 09/01/2005 06/03/2008
Pending 10/08/2007 Motorola, Inc. MOT 620076109 07/19/2006 01/04/2007
Pending 10/11/2011 Motricity, Inc. MOTR 620107102 06/17/2010 08/11/2011
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Pending 03/31/2008 Municipal Mortgage Equity, LLC MMA 62624B101 01/30/2003 01/28/2008 05/03/2004 01/29/2008
Pending 10/10/2000 NAHC, Inc. NAHC 62874P107 04/05/1999 11/22/1999
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Pending 09/18/2011 News Corporation NWSA 65248E104 03/03/2011 07/11/2011
Pending 03/11/2005 News Corporation FOX 35138T107 01/07/2005 01/10/2005
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Pending 11/24/2008 Nomura Asset Acceptance Corporation NMR VARIOUS 07/29/2005 01/31/2008
Pending 07/18/2009 Nortel Corp. NRTLQ 656568508 05/02/2008 09/17/2008
Pending 10/23/2010 Northern Trust Corporation NTRS 665859104 10/17/2007 10/20/2009
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Pending 01/19/2010 Northwest Pipe Company NWPX 667746101 04/23/2008 11/11/2009
Pending 01/06/2009 NovaStar Mortgage Funding Trust N/A VARIOUS 05/26/2006 11/10/2008
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Pending 11/08/2008 NVIDIA Corp. NVDA 67066G104 11/08/2007 07/02/2008
Pending 12/16/2003 NYSE Specialists Litigation 10/17/1998 10/15/2003
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Pending 01/13/2012 Olympus Corporation OCPNY; OCPNF VARIOUS 11/07/2006 11/07/2011
Pending 11/27/2010 Omni Energy Services Corp. OMNI 68210T208 06/04/2010 06/04/2010
Pending 10/24/2011 Omnicare, Inc. OCR 681904108 01/10/2007 08/05/2010
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Pending 07/13/2009 Oppenheimer Rochester Funds Group Sec Litig. (AMT - FREE Municipals Fund) VARIOUS VARIOUS 05/13/2006 10/21/2008 05/13/2006 10/21/2008
Pending 07/13/2009 Oppenheimer Rochester Funds Group Sec Litig. (AMT - FREE New York Municipals Fund) VARIOUS VARIOUS 05/21/2006 10/21/2008
Pending 05/12/2009 Oppenheimer Rochester Funds Group Sec Litig. (Oppenheimer Rochester National Municipals Fund) VARIOUS VARIOUS 03/13/2006 10/21/2008 03/13/2006 10/21/2008
Pending 04/20/2009 Oppenheimer Rochester Funds Group Sec Litig.(Oppenheimer California Municipal Fund) OPCAX, OCABX, OCACX VARIOUS 09/27/2006 11/28/2008 09/27/2006 11/28/2008
Pending 06/23/2009 Oppenheimer Rochester Funds Group Sec Litig.(Oppenheimer New Jersey Municipal Funds) VARIOUS VARIOUS 04/24/2006 10/21/2008 04/24/2006 10/21/2008
Pending 06/29/2009 Oppenheimer Rochester Funds Group Sec Litig.(Oppenheimer Pennsylvania Municipal Funds) VARIOUS VARIOUS 11/28/2005 11/28/2008 09/27/2006 11/26/2008
Pending 04/26/2009 Oppenheimer Rochester Funds Group Sec Litig.(Oppenheimer Rochester Fund) VARIOUS VARIOUS 02/26/2006 10/21/2008 02/26/2006 10/21/2008
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Pending 02/14/2005 Pfizer, Inc. PFE 717081103 11/01/2000 11/10/2004 10/31/2000 12/16/2004
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Pending 06/10/2003 Pharmacia Corporation PHA 71713U102 04/17/2000 08/21/2001 04/17/2000 08/22/2001
Pending 12/29/2008 Pilgrim's Pride Corporation PGPDQ.PK 721467108 05/05/2008 09/24/2008
Pending 12/27/2009 Pitney Bowes, Inc. PBI 724479100 07/30/2007 10/29/2007
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Pending 06/19/2010 ProShares Ultra QQQ Fund QLD 74347R206 06/21/2006 04/20/2010
Pending 06/14/2010 ProShares UltraShort SmallCap 600 Fund SDD 74347R792 01/25/2007 04/15/2010
Pending 01/24/2010 Provident Energy/Shale Royalties N/A N/A 11/25/2006 11/25/2009
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Pending 12/22/2009 R. H. Donnelly Corporation RHDCQ 74955W307 07/26/2007 05/28/2009
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Pending 03/13/2009 Royal Bank of Scotland Group plc RBS VARIOUS 03/01/2007 01/19/2009
Pending 03/28/2011 Royal Bank of Scotland Group plc (The) RBS VARIOUS 04/08/2005 01/19/2009
Pending 10/03/2011 Royal Caribbean Cruises Ltd. RCL VARIOUS 01/27/2011 07/28/2011 04/23/2009 07/28/2011
Pending 01/12/2008 Sanofi-Aventis SNY VARIOUS 02/17/2006 06/13/2007
Pending 09/17/2011 Satcon Technology Corporation SATC 803893106 03/04/2010 07/05/2011
Pending 01/24/2009 Savient Pharmaceuticals Inc. SVNT 80517Q100 12/13/2007 10/24/2008
Pending 03/18/2008 Schering-Plough Corporation SGP 806605101 07/24/2006 01/14/2008
Pending 10/19/2007 Scholastic Corp. SCHL 807066105 03/18/2005 03/23/2006
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Pending 09/24/2001 Scientific-Atlanta, Inc. SFA 808655104 04/19/2001 07/19/2001 01/18/2001 08/16/2001
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Pending 11/08/2011 Sequans Communications S.A. SQNS 817323108 04/15/2011 07/27/2011
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Pending 04/01/2005 Silicon Image, Inc. SIMG 82705T102 10/19/2004 01/24/2005
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Pending 06/20/2011 SkyPeople Fruit Juice, Inc. SPU 83086T208 03/31/2010 04/04/2011
Pending 03/31/2008 SLM Corporation SLM 78442P106 01/18/2007 01/03/2008
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Pending 07/27/2004 Smith Barney and Salomon Brothers Funds Various VARIOUS 03/22/1999 03/22/2004
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Pending 04/26/2010 Smithtown Bancorp, Inc. SMTB 832449102 03/13/2008 02/01/2010
Pending 12/14/2010 SolarWinds, Inc. SWI 83416B109 02/08/2010 07/21/2010
Pending 08/25/2008 Sonoco Products Co. SON 835495102 02/07/2007 09/18/2007
Pending 01/26/2009 SouthWest Water Company SWWC 845331107 03/16/2006 11/09/2008 05/10/2005 11/07/2008
Pending 05/09/2009 Sprint Nextel Corporation S 852061100 10/26/2006 02/27/2008
Pending 05/17/2010 St. Jude Medical, Inc. STJ 790849103 04/22/2009 10/26/2009
Pending 02/17/2010 State Street Corporation STT 857477103 10/17/2006 10/19/2009
Pending 01/05/2010 STEC, Inc. Securities Litigation STEC 784774101 06/16/2009 11/03/2009 06/16/2009 11/03/2009
Pending 12/09/2011 Stereotaxis, Inc. STXS 85916J102 02/28/2011 08/09/2011
Pending 02/09/2010 Sterling Financial Corporation STSA 859319105 07/23/2008 01/13/2009
Pending 08/23/2010 Stewardship Credit Arbitrage Fund, LLC N/A N/A 02/07/2006 10/07/2008
Pending 11/28/2010 Stewardship Credit Arbitrage Fund/EY N/A N/A 03/15/2006 10/22/2008
Pending 02/28/2009 STRATS Trust for Ambac Financial Group, Inc. N/A 784786204 08/02/2007 04/22/2008
Pending 12/14/2010 Strayer Education STRA 863236105 11/01/2007 08/13/2010 11/01/2007 10/13/2010
Pending 11/10/2009 Structured Asset Mortgage Investments II and The Bear Stearns Companies VARIOUS VARIOUS 03/06/2006 07/09/2009 03/06/2006 09/11/2009
Pending 03/16/2010 Stryker Corporation SYK 863667101 01/25/2007 11/13/2008
Pending 10/12/2009 Sturm, Ruger Company RGR 864159108 04/23/2007 10/29/2007
Pending 06/14/2011 Subaye, Inc. SBAY 86428D104 12/29/2009 04/07/2011
Pending 12/19/2011 Suffolk Bancorp SUBK 864739107 03/12/2010 08/10/2011
Pending 01/17/2010 SunPower Corporation VARIOUS VARIOUS 04/17/2008 11/16/2009
Pending 07/14/2009 SunTrust Banks, Inc. STI-PZ 867885105 02/26/2008 05/18/2009
Pending 10/17/2005 Symbol Technologies, Inc. SBL 871508107 05/10/2004 08/01/2005 04/29/2003 08/01/2005
Pending 06/09/2003 Symbol Technologies, Inc./Telxon Corp. SBL 871508107 11/30/2000 04/10/2003
Pending 09/05/2009 Synovus Financial Corporation SNV 87161C105 01/24/2008 01/21/2009
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Pending 03/11/2009 TD Ameritrade and the Reserve Yield Plus Fund RYPTX; RYPQX VARIOUS 07/27/2007 09/16/2008
Pending 03/07/2011 Tekelec TKLC 879101103 02/11/2010 08/05/2010
Pending 02/19/2010 Terex Corporation TEX 880779103 02/20/2008 09/04/2008 02/20/2008 02/11/2009
Pending 10/12/2009 Textron, Inc. TXT 883203101 07/17/2007 01/29/2009
Pending 01/12/2010 The Boeing Company BA 097023105 05/04/2009 06/22/2009
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Pending 01/03/2011 The St. Joe Company JOE 790148100 02/19/2008 10/12/2010
Pending 08/05/2011 The Timberland Company TBL 887100105 02/17/2011 05/04/2011
Pending 12/20/2009 The9, Ltd. NCTY VARIOUS 11/15/2006 07/15/2009
Pending 10/22/2007 Thornburg Mortgage Inc. THMR.PK VARIOUS 10/06/2005 08/17/2007
Pending 01/01/2011 Thornburg Mortgage Inc. THMRQ.PK VARIOUS 01/01/2006 01/31/2007
Pending 12/26/2008 Thornburg Mortgage, Inc. TMA VARIOUS 07/23/2008 10/29/2008
Pending 07/20/2010 TierOne Corporation TONE 88650R10 08/08/2008 05/14/2010
Pending 03/04/2011 Tongxin International, Ltd. TXIC B3B2CK9 05/15/2009 12/14/2010
Pending 04/09/2010 Toyota Motor Corporation TM VARIOUS 08/04/2009 02/02/2010 12/22/2006 02/02/2010
Pending 07/12/2010 Transocean, Ltd. RIG H8817H100 08/05/2009 05/07/2010 08/05/2009 06/01/2010
Pending 10/11/2011 Travelzoo, Inc. TZOO 89421Q106 04/21/2011 07/21/2011
Pending 03/30/2009 Triad Guaranty Inc. TGIC 895925105 10/26/2006 11/10/2008
Pending 11/07/2005 TXU Corp. TXU 873168108 09/15/2004 10/13/2004
Pending 01/05/2009 UBS Financial Services Inc. N/A VARIOUS 05/30/2006 09/15/2008
Pending 11/10/2009 UCBH Holdings, Inc. VARIOUS VARIOUS 04/24/2008 09/08/2009
Pending 03/15/2010 Ultra Basics Materials ProShares Fund UYM 74347R776 01/30/2007 01/13/2010
Pending 11/24/2009 Ultra Financials ProShares Fund UYG 74347R743 01/30/2007 09/21/2009
Pending 11/24/2009 Ultra Oil Gas Fund DIG 74347R719 02/01/2007 11/16/2009
Pending 02/01/2010 UltraShort Basics Materials ProShares Fund SMN 74347R651 02/01/2007 12/03/2009
Pending 11/24/2009 UltraShort DJ-AIG-Crude Oil ProShares Fund SCO 74347W809 11/25/2008 09/21/2009
Pending 11/30/2009 UltraShort Dow 30 ProShares Fund DXD 74347R867 01/30/2007 09/30/2009
Pending 10/20/2009 UltraShort Financials ProShares Fund SKF 74347R628 02/01/2007 08/20/2009
Pending 11/24/2009 UltraShort FTSE/Xinhua ProShares Fund FXP 74347R321 11/06/2007 09/21/2009
Pending 11/04/2009 UltraShort MSCI Emerging Markets ProShare Fund EEV 74347R354 11/01/2007 09/04/2009
Pending 11/24/2009 UltraShort Oil and Gas ProShares Fund DUG 74347R586 01/30/2007 09/21/2009
Pending 10/05/2009 UltraShort Real Estate Pro Shares Fund SRS 74347R552 02/01/2007 08/05/2009
Pending 04/12/2010 UltraShort Russell MidCap Value ProShares Fund SJL 74347R438 02/13/2007 02/04/2010
Pending 11/24/2009 UltraShort SP 500 ProShares Fund SDS 74347R883 07/11/2006 09/21/2009
Pending 05/17/2011 United Western Bancorp, Inc. UWBK 913201109 09/17/2009 03/11/2011
Pending 08/16/2008 Universal Food Beverage Company, Inc. UFBV.PK 02/16/2006
Pending 06/15/2011 Universal Travel Group, Inc. UTA 91388Q202 01/19/2010 04/12/2011
Pending 09/11/2001 US Wireless Corporation USWEQ 90339C106 07/14/1998 05/26/2001
Pending 08/07/2000 Ustman Technologies, Inc. USTX 916911100 06/06/2000 06/06/2000
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Pending 05/17/2011 Vestas Wind Systems A/S VARIOUS VARIOUS 10/27/2009 10/25/2010
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Pending 09/16/2002 Vivendi Universal, S.A. V 92581S204 10/30/2000 08/14/2002
Pending 01/02/2011 Vivus, Inc. VVUS 928551100 09/09/2009 07/15/2010
Pending 11/20/2007 W Holding Company WHI 929251106 04/24/2006 06/26/2007
Pending 08/08/2008 Wachovia Corp. WB 929903102 05/08/2006 04/11/2008 05/08/2006 09/29/2008
Pending 02/22/2010 Washington Mutual Asset Acceptance Corporation Pass-Through Certificates N/A VARIOUS 03/23/2007 10/30/2009
Pending 03/15/2009 Washington Mutual Bank and WaMu Mortgage Pass through Certificates Market Cap N/A N/A VARIOUS 12/30/2005 01/12/2009
Pending 09/20/2004 Washington Mutual, Inc. WM 939322103 04/15/2003 06/28/2004
Pending 12/27/2010 Washington Post Company WPO 939640108 07/31/2009 08/13/2010
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Pending 05/09/2011 Weatherford International, Ltd. WFT H27013103 04/25/2007 03/01/2011
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