| Filing Name | Filing Date | District Court | Exchange | Ticker |
|---|---|---|---|---|
| Haven Trust Bancorp, Inc. | 12/31/2009 | N.D. Georgia | Privately Traded | N/A |
| Kohlberg Capital Corporation | 12/31/2009 | S.D. New York | NASDAQ | KCAP |
| Revlon Inc. | 12/31/2009 | D. Delaware | New York SE | REV |
| Rentech, Inc. | 12/29/2009 | C.D. California | American SE | RTK |
| Genworth Financial, Inc. : Genworth Financial Wealth Management, Inc. : BJ Group Services Portfolios | 12/22/2009 | E.D. New York | Privately Traded | N/A |
| Terex Corporation | 12/21/2009 | D. Connecticut | New York SE | TEX |
| The Variable Annuity Life Insurance Company | 12/21/2009 | S.D. Texas | Privately Traded | N/A |
| State Street Corporation | 12/18/2009 | D. Massachusetts | New York SE | STT |
| NightHawk Radiology Holdings, Inc. | 12/17/2009 | D. Idaho | NASDAQ | NHWK |
| MetroPCS Communications Inc. | 12/15/2009 | N.D. Texas | New York SE | PCS |
| Sterling Financial Corporation | 12/11/2009 | E.D. Washington | NASDAQ | STSA |
| Canadian Superior Energy Inc. | 12/09/2009 | S.D. New York | American SE | SNG |
| Hard Rock Hotel San Diego : Tarsadia Hotel : HRHSD Investment Contracts | 12/08/2009 | S.D. California | Privately Traded | N/A |
| Siemens AG | 12/04/2009 | E.D. New York | New York SE | SI |
| Summit Retirement Advisors LLC : Ameriprise Financial, Inc. : Securities America, Inc. : Provident Shale Royalties Securities | 11/25/2009 | N.D. Texas | Privately Traded | N/A |
| Northwest Pipe Company | 11/20/2009 | W.D. Washington | NASDAQ | NWPX |
| CVS Caremark Corporation | 11/18/2009 | D. Rhode Island | New York SE | CVS |
| SunPower Corporation : Class A and B Common Stock | 11/18/2009 | N.D. California | NASDAQ | SPWRA |
| Sunair Services Corporation | 11/17/2009 | S.D. Florida | American SE | SNR |
| The Boeing Company | 11/13/2009 | N.D. Illinois | New York SE | BA |