Published pursuant to provisions of General Business Law [Art. 23-A, § 359-e(2)] DEALERS; BROKERS
300 Seventh Street NY Member LLC230 Park Ave., Suite 1831, New York, NY 10169State or country in which incorporated — DelawareAccentia Biopharmaceuticals, Inc.324 S. Hyde Ave., Suite 350, Tampa, FL 33606State or country in which incorporated — FloridaAlliance Affiliated Equities CorporationOne Ward Pkwy., Suite 345, Kansas City, MO 64112State or country in which incorporated — TexasAxial Capital Institutional, LP101 Park Ave., 47th Fl., New York, NY 10178Partnership — Axial Capital Partners GP, LLCBehringer Harvard Holdings, LLC15601 Dallas Pkwy., Suite 600, Addison, TX 75001State or country in which incorporated — Delaware limited liability companyBrigade Leveraged Capital Structures Fund LPc/o Brigade Capital GP, LLC, 717 Fifth Ave., Suite 1301, New York, NY 10022Partnership — Brigade Capital GP, LLC, general partnerBrigade Leveraged Capital Structures Offshore Ltd.c/o Ogier Fiduciary Services (Cayman) Limited, P.O. Box 1234, Queensgate House, S. Church St., George Town, Grand Cayman, KY1- 1108, Cayman IslandsState or country in which incorporated — Cayman IslandsCabot Oak Grove Acquisition LLC100 Summer St., 23rd Fl., Boston, MA 02110Partnership — DelawareCaip Global Partners, Ltd.c/o Ogier Fiduciary Services (Cayman) Limited, Queensgate House, S. Church St., P.O. Box 1234, Grand Cayman KY1-1108, Cayman IslandsState or country in which incorporated — Cayman IslandsCaip Global Partners, LPc/o Caip Capital, LLC, 137 Rowayton Ave., Suite 200, Rowayton, CT 06853Partnership — Caip Capital, LLC, general partnerCallum & Burks Securities1335 Noel Rd., Dallas, TX 75240State or country in which incorporated — TexasChardan China Investments, LLC625 Broadway, Suite 1111, San Diego, CA 92101State or country in which incorporated — DelawareClay Capital Fund, LP37 Maple St., 2nd Fl., Summit, NJ 07901Partnership — Clay Capital, GP, LLCCovega Corporation10335 Guilford Rd., Jessup, MD 20794State or country in which incorporated — DelawareDerycz Scientific, Inc.10990 Wilshire Blvd., Suite 1410, Los Angeles, CA 90024FILP Capital Reserves Limited Partnership82 Devonshire St., Boston, MA 02109Partnership — Fidelity Investors Management Corp.First United Ethanol, LLCTwo W. Broad St., Camilla, GA 31730Partnership — GeorgiaGibraltar Maunakea S, LLC509 E. Montecito St., 2nd Fl, Santa Barbara, CA 93103Griffiths McBurney Corp.c/o GMP Securities L.P., 145 King St. W, Suite 300, Toronto, Ontario M5H 1J8State or country in which incorporated — CanadaHighland Opportunity Fund, Ltd.c/o Admiral Administration, Ltd., Admiral Financial Center, 5th Fl., 90 Fort St., P.O. Box 32021 SMB, Grand Cayman, BWIState or country in which incorporated — Cayman IslandsHighland Opportunity Fund, L.P.c/o Highland Financial Holdings Group, LLC, 51 Madison Ave., Suite 2000, New York, NY 10010Partnership — Highland Financial Holdings, LLCHighland Special Opportunity Fund, Ltd.c/o Admiral Administrative, Ltd., Admiral Financial Center, 5th Fl., 90 Fort St., P.O. Box 32021 SMB, Grand Cayman, BWIState or country in which incorporated — Cayman IslandsHighland Spectrum Fund, L.P.c/o Highland Financial Holdings Group, LLC, 51 Madison Ave., Suite 2000, New York, NY 10010Partnership — Highland Financial Holdings, LLCHighland Spectrum Fund, Ltd.c/o Admiral Administration, Ltd., Admiral Financial Center, 5th Fl., P.O. Box 32021 SMB, 90 Fort St., Grand Cayman, BWIState or country in which incorporated — Cayman IslandsHSBC Global Emerging Markets Equity Freestyle Fund452 Fifth Ave., New York, NY 10018State or country in which incorporated — DelawareHudson Waterside LLC630 Fifth Ave., 28th Fl., New York, NY 10111IBG Trading, LLC1691 Michigan Ave., Suite 240, Miami, FL 33139State or country in which incorporated — FloridaLazard Freres & Co. LLC30 Rockefeller Plaza, 50th Fl., New York, NY 10020Lesser-Goldsmith Enterprises, Ltd.Four Market St., South Burlington, VT 05403State or country in which incorporated — VermontLyrical-Antheus Realty Partners II, L.P.405 Park Ave., 6th Fl., New York, NY 10022State or country in which incorporated — DelawareMagellan Minerals Ltd.#575-1111 W. Hastings St., Vancouver, British Columbia, V6E 2J3State or country in which incorporated — CanadaMeridian Horizon Fund II, L.P.c/o Meridian Capital Partners, Inc., 20 Corporate Woods Blvd., 4th Fl., Albany, NY 12211State or country in which incorporated — DelawareMountain Lake Partners, L.P.c/o Katahdin Group, LLC, 540 Madison Ave., Suite 30A, New York, NY 10022Partnership — Katahdin Group, LLCMUUS Horizon Fund228 Saugatuck Ave., Suite 103, Westport, CT 06880Partnership — MUUS HorizonNelson Energy Programs, Inc.2220 MacNaughton Lane, Lake Stevens, WA 98258State or country in which incorporated — WashingtonOriginate Growth Fund #1A, L.P.c/o Originate Ventures LLC, 205 Webster St., Bethlehem, PA 18015Partnership — Originate Ventures LLCOriginate Growth Fund #1Q, L.P.c/o Originate Ventures LLC, 205 Webster St., Bethlehem, PA 18015Partnership — Originate Ventures LLCPFPC Distributors, Inc.760 Moore Rd., King of Prussia, PA 19406State or country in which incorporated — MassachusettsPharmos Corporation99 Wood Ave. S, Suite 311, Iselin, NJ 08830State or country in which incorporated — NevadaPoal FH Partners, LLC1725 Avenue M, Brooklyn, NY 11230State or country in which incorporated — DelawarePraetorian Institutional LLCc/o Praetorian Capital Management LLC, 119 Washington Ave., Suite 600, Miami Beach, FL 33139Partnership — Praetorian GP LLCPrincipal Investors Fund, Inc.—California Insured Intermediate Municipal FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandPrincipal Investors Fund, Inc.—California Municipal Bond FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandPrincipal Investors Fund, Inc.—Equity Income Fund IThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandPrincipal Investors Fund, Inc.—High Yield Fund IIThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandPrincipal Investors Fund, Inc.—Income FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandPrincipal Investors Fund, Inc.—MidCap Stock FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandPrincipal Investors Fund, Inc.—Mortgage Securities FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandPrincipal Investors Fund, Inc.—Short-Term Income FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandPrincipal Investors Fund, Inc.—Strategic Asset Management Balanced PortfolioThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandPrincipal Investors Fund, Inc.—Strategic Asset Management Conservative Balanced PortfolioThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandPrincipal Investors Fund, Inc.—Strategic Asset Management Conservative Growth PortfolioThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandPrincipal Investors Fund, Inc.—Strategic Asset Management Flexible Income PortfolioThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandPrincipal Investors Fund, Inc.—Strategic Asset Management Strategic Growth PortfolioThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandPrincipal Investors Fund, Inc.—Tax-Exemption Bond Fund IThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandPrincipal Investors Fund, Inc.—West Coast Equity FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandRangeley Capital Partners, LPc/o Rangeley Capital GP, LLC, 595 Madison Ave., 17th Fl., New York, NY 10022Partnership — Rangeley Capital GP, LLCSpartan Capital Partners, LPWoolworth Bldg., 17th Fl., 233 Broadway, New York, NY 10279Partnership — Spartan Asset Management, LLCSteelhead Pathfinder Fund, Ltd.c/o M&C Corporate Services Limited, P.O. Box 309GT, Ugland House,S. Church St., George Town, Grand Cayman, Cayman IslandsTopaz Fund, L.P.1111 Kane Concourse, Suite 404, Bay Harbor Islands, FL 33154Partnership — Crystal Advisors, L.L.C.United American Healthcare Corporation300 River Place, Suite 4950, Detroit, MI 48207State or country in which incorporated — MichiganVRCities, Inc.P.O. Box 2224, Niagara Falls, NY 14302State or country in which incorporated — New YorkWestfield Development Partners V, LLLP717 17 St., Suite 2000, Denver, CO 80202Partnership — Westfield Capital Partners V, LLC
Published pursuant to provisions of General Business Law [Art. 23-A, § 359-e(8), as amended] SECURITIES BY DEALERS; BROKERS; SYNDICATE MANAGERS
300 Seventh Street NY Member LLC230 Park Ave., Suite 1831, New York, NY 10169State or country in which incorporated — DelawareSecurity(ies) — Membership interestsIssuer of security(ies) — 300 Seventh Street NY Member LLCAddress of issuer — Same as aboveState or country in which organized — DelawareAccentia Biopharmaceuticals, Inc.324 S. Hyde Ave., Suite 350, Tampa, FL 33606State or country in which incorporated — FloridaSecurity(ies) — Common stockIssuer of security(ies) — Accentia Biopharmaceuticals, Inc.Address of issuer — Same as aboveState or country in which organized — FloridaAlliance Affiliated Equities CorporationOne Ward Pkwy., Suite 345, Kansas City, MO 64112State or country in which incorporated — TexasSecurity(ies) — Partnership interestsIssuer of security(ies) — Texas Keystone 2006 Natural Gas Limited Partnership IIIAddress of issuer — 560 Epsilon Dr., Pittsburgh, PA 15238State or country in which organized — PennsylvaniaAllianz Global Investors Distributors, LLC2187 Atlantic St., 7th Fl., Stamford, CT 06902State or country in which incorporated — DelawareSecurity(ies) — Shares of common stockIssuer of security(ies) — Allianz RCM Global EcoTrends FundAddress of issuer — Allianz Global Investors Fund Management LLC, 1345 Avenue of the Americas, New York, NY 10105State or country in which organized — MassachusettsAxial Capital Institutional, LP101 Park Ave., 47th Fl., New York, NY 10178Security(ies) — Limited partnership interestsIssuer of security(ies) — Axial Capital Institutional, LPAddress of issuer — Same as aboveState or country in which organized — DelawareBabson Capital Securities Inc.One Memorial Dr., Cambridge, MA 02142State or country in which incorporated — MassachusettsSecurity(ies) — Shares of beneficial interestIssuer of security(ies) — The MassMutual Premier Funds—MassMutualPremier Focused International FundAddress of issuer — Same as aboveState or country in which organized — MassachusettsBehringer Harvard Holdings, LLC.15601 Dallas Pkwy., Suite 600, Addison, TX 75001State or country in which incorporated — Delaware limited liability companySecurity(ies) — Deferred compensation obligationsIssuer of security(ies) — Behringer Harvard Holdings, LLC.Address of issuer — Same as aboveState or country in which organized — DelawareBiogy, Inc.3450 Pierce St., San Francisco, CA 94123State or country in which incorporated — DelawareSecurity(ies) — Common stockIssuer of security(ies) — Biogy, Inc.Address of issuer — Same as aboveState or country in which organized — DelawareBrigade Leveraged Capital Structures Fund LPc/o Brigade Capital GP, LLC, 717 Fifth Ave., Suite 1301, New York, NY 10022Security(ies) — Limited partnership interestsIssuer of security(ies) — Brigade Leveraged Capital Structures Fund LPAddress of issuer — Same as aboveState or country in which organized — DelawareBrigade Leveraged Capital Structures Offshore Ltd.c/o Ogier Fiduciary Services (Cayman) Limited, P.O. Box 1234, Queensgate House, S. Church St., George Town, Grand Cayman KY1-1108, Cayman IslandsState or country in which incorporated — Cayman IslandsSecurity(ies) — Common shares, par value $0.01 (U.S.) per shareIssuer of security(ies) — Brigade Leveraged Capital Structures Offshore Ltd.Address of issuer — Same as aboveState or country in which organized — Cayman IslandsBuy Side, Inc.; (2) Northland Security, Inc.205 N. Michigan Ave., Suite 4400, Chicago, IL 60601; (2) 45 S. 7th St., Suite 2500, Minneapolis, MN 55402State or country in which incorporated — (1) Delaware; (2) MinnesotaSecurity(ies) — Series A senior convertible preferredIssuer of security(ies) — Buy Side, Inc.Address of issuer — 205 N. Michigan Ave., Suite 440, Chicago, IL 60601State or country in which organized — DelawareCabot Oak Grove Acquisition LLC100 Summer St., 23rd Fl., Boston, MA 02110State or country in which incorporated — DelawareSecurity(ies) — Tenancy in common interest in real estateIssuer of security(ies) — Cabot Oak Grove Acquisition LLCAddress of issuer — Same as aboveState or country in which organized — DelawareCaip Global Partners, LP.c/o Calp Capital, LLC, 137 Rowayton Ave., Suite 200, Rowayton, CT 06853Security(ies) — Limited partnership interestsIssuer of security(ies) — Caip Global Partners, LPAddress of issuer — Same as aboveState or country in which organized — DelawareCaip Global Partners, Ltd.c/o Ogier Fiduciary Services (Cayman) Limited, Queensgate House, S. Church St., P.O. Box 1234, Grand Cayman KY1-1108, Cayman IslandsState or country in which incorporated — Cayman IslandsSecurity(ies) — Common shares, par value $0.01 (U.S.) per shareIssuer of security(ies) — Caip Global Partners, Ltd.Address of issuer — Same as aboveState or country in which organized — Cayman IslandsChardan China Investments, LLC625 Broadway, Suite 1111, San Diego, CA 92101State or country in which incorporated — DelawareSecurity(ies) — Offering of limited liability interestsIssuer of security(ies) — Chardan China Investments, LLCAddress of issuer — Same as aboveState or country in which organized — DelawareCitigroup Global Markets Inc.388 Greenwich St., New York, NY 10013State or country in which incorporated — New YorkSecurity(ies) — Units of fractional undivided interestIssuer of security(ies) — Equity Focus Trusts—Strategic 10 Portfolio, 2007 Series DAddress of issuer — Same as aboveState or country in which organized — New YorkCitigroup Global Markets Inc.388 Greenwich St., New York, NY 10013State or country in which incorporated — New YorkSecurity(ies) — Units of fractional undivided interestIssuer of security(ies) — Equity Focus Trusts—Strategic S&P Industrial Portfolio, 2007 Series DAddress of issuer — Same as aboveState or country in which organized — New YorkCitigroup Global Markets Inc.388 Greenwich St., New York, NY 10013State or country in which incorporated — New YorkSecurity(ies) — Units of fractional undivided interestIssuer of security(ies) — Equity Focus Trusts—S.T.A.R.T. 2007 Series DAddress of issuer — Same as aboveState or country in which organized — New YorkCitigroup Mortgage Loan Trust Inc.390 Greenwich St., New York, NY 10013State or country in which incorporated — DelawareSecurity(ies) — Citigroup Mortgage Loan Trust 2006-AR9, MortgagePass-Through Certificates, Series 2006-AR9Issuer of security(ies) — Citigroup Mortgage Loan Trust Inc.Address of issuer — Same as aboveState or country in which organized — DelawareClay Capital Fund, LP37 Maple St., 2nd Fl., Summit, NJ 07901Security(ies) — Limited partnership interestsIssuer of security(ies) — Clay Capital Fund, LPAddress of issuer — Same as aboveState or country in which organized — DelawareClaymore Securities, Inc.2455 Corporate W. Dr., Lisle, IL 60532State or country in which incorporated — DelawareSecurity(ies) — 10,000,000 units of undivided interestIssuer of security(ies) — Closed-End Covered Call and Income Portfolio (2-year), Series 5Address of issuer — Same as aboveState or country in which organized — KansasClaymore Securities, Inc.2455 Corporate W. Dr., Lisle, IL 60532State or country in which incorporated — DelawareSecurity(ies) — 10,000,000 units of undivided interestIssuer of security(ies) — Closed-End Covered Preferred and Income Portfolio, Series 6Address of issuer — Same as aboveState or country in which organized — KansasClaymore Securities, Inc.2455 Corporate W. Dr., Lisle, IL 60532State or country in which incorporated — DelawareSecurity(ies) — 10,000,000 units of undivided interestIssuer of security(ies) — Delta Global Canadian Energy Trust, Series 6Address of issuer — Same as aboveState or country in which organized — KansasClaymore Securities, Inc.2455 Corporate W. Dr., Lisle, IL 60532State or country in which incorporated — DelawareSecurity(ies) — 10,000,000 units of undivided interestIssuer of security(ies) — Strategic Equity Allocation Trust, Series 10Address of issuer — Same as aboveState or country in which organized — KansasCovega Corporation10335 Guilford Rd., Jessup, MD 20794State or country in which incorporated — DelawareSecurity(ies) — Series A convertible preferred stockIssuer of security(ies) — Covega CorporationAddress of issuer — Same as aboveState or country in which organized — DelawareDermage, Inc.225 E. 14th St., #1C, New York, NY 10003State or country in which incorporated — North CarolinaSecurity(ies) — Common stockIssuer of security(ies) — Dermage, Inc.Address of issuer — Same as aboveState or country in which organized — North CarolinaDermage, Inc.225 E. 14th St., #1C, New York, NY 10003State or country in which incorporated — North CarolinaSecurity(ies) — Options for common stockIssuer of security(ies) — Dermage, Inc.Address of issuer — Same as aboveState or country in which organized — North CarolinaDermage, Inc.225 E. 14th St., #1C, New York, NY 10003State or country in which incorporated — North CarolinaSecurity(ies) — Preferred stockIssuer of security(ies) — Dermage, Inc.Address of issuer — Same as aboveState or country in which organized — North CarolinaDerycz Scientific, Inc.10990 Wilshire Blvd., Suite 1410, Los Angeles, CA 90024State or country in which incorporated — NevadaSecurity(ies) — Units consisting of common stock and warrantsIssuer of security(ies) — Derycz Scientific, Inc.Address of issuer — Same as aboveState or country in which organized — NevadaDeutsche Bank Securities Inc.; (2) J.P. Morgan Securities Inc.; (3)Lehman Brothers Inc.; (4) Morgan Stanley & Co. Incorporated60 Wall St., New York, NY 10005; (2) 270 Park Ave., New York, NY 10017; (3) 745 7th Ave., New York, NY 10019; (4) 1585 Broadway, New York, NY 10036State or country in which incorporated — (1)–(4) DelawareSecurity(ies) — % fixed rate subordinated notes due 2015Issuer of security(ies) — Hellas Telecommunications IIAddress of issuer — 8–10, rue Mathias Hardt L-1717 LuxembourgState or country in which organized — LuxembourgDeutsche Bank Securities Inc.; (2) J.P. Morgan Securities Inc.; (3)Lehman Brothers Inc.; (4) Morgan Stanley & Co. Incorporated60 Wall St., New York, NY 10005; (2) 270 Park Ave., New York, NY 10017; (3) 745 7th Ave., New York, NY 10019; (4) 1585 Broadway, New York, NY 10036State or country in which incorporated — (1)–(4) DelawareSecurity(ies) — Floating rate senior PIK notes due 2015Issuer of security(ies) — Hellas Telecommunications IIAddress of issuer — 8–10, rue Mathias Hardt L-1717 LuxembourgState or country in which organized — LuxembourgDeutsche Bank Securities Inc.; (2) J.P. Morgan Securities Inc.; (3) Lehman Brothers Inc.; (4) Morgan Stanley & Co. Incorporated60 Wall St., New York, NY 10005; (2) 270 Park Ave., New York, NY 10017; (3) 745 7th Ave., New York, NY 10019; (4) 1585 Broadway, New York, NY 10036State or country in which incorporated — (1)–(4) DelawareSecurity(ies) — Floating rate subordinated notes due 2015Issuer of security(ies) — Hellas Telecommunications IIAddress of issuer — 8–10, rue Mathias Hardt L-1717 LuxembourgState or country in which organized — LuxembourgDeutsche Bank Securities Inc.; (2) J.P. Morgan Securities Inc.; (3) Lehman Brothers Inc.; (4) Morgan Stanley & Co. Incorporated60 Wall St., New York, NY 10005; (2) 270 Park Ave., New York, NY 10017; (3) 745 7th Ave., New York, NY 10019; (4) 1585 Broadway, New York, NY 10036State or country in which incorporated — (1)–(4) DelawareSecurity(ies) — Senior secured floating rate notes due 2012Issuer of security(ies) — Hellas Telecommunications IIAddress of issuer — 8–10, rue Mathias Hardt L-1717 LuxembourgState or country in which organized — LuxembourgEducation Station, LLC650 NE. Holladay St., Suite 1400, Portland, OR 97232State or country in which incorporated — DelawareSecurity(ies) — Awards pursuant to the company's nonqualified deferred compensation planIssuer of security(ies) — Education Station, LLCAddress of issuer — Same as aboveState or country in which organized — DelawareEnigmatec Corporation Limited25 Bucklersbury, 4th Fl., London, EC4N 8DA, United KingdomState or country in which incorporated — United KingdomSecurity(ies) — B ordinary sharesIssuer of security(ies) — Enigmatec Corporation LimitedAddress of issuer — Same as aboveState or country in which organized — United KingdomFederated Securities Corp.1001 Liberty Ave., Pittsburgh, PA 15222-3779State or country in which incorporated — MassachusettsSecurity(ies) — Shares of beneficial interestIssuer of security(ies) — Federated MDT Series—Federated MDT All Cap Core FundAddress of issuer — 5800 Corporate Dr., Pittsburgh, PA 15237-7000State or country in which organized — MassachusettsFederated Securities Corp.1001 Liberty Ave., Pittsburgh, PA 15222-3779State or country in which incorporated — MassachusettsSecurity(ies) — Shares of beneficial interestIssuer of security(ies) — Federated MDT Series—Federated MDT Balanced FundAddress of issuer — 5800 Corporate Dr., Pittsburgh, PA 15237-7000State or country in which organized — MassachusettsFederated Securities Corp.1001 Liberty Ave., Pittsburgh, PA 15222-3779State or country in which incorporated — MassachusettsSecurity(ies) — Shares of beneficial interestIssuer of security(ies) — Federated MDT Series—Federated MDT Large Cap Growth FundAddress of issuer — 5800 Corporate Dr., Pittsburgh, PA 15237-7000State or country in which organized — MassachusettsFederated Securities Corp.1001 Liberty Ave., Pittsburgh, PA 15222-3779State or country in which incorporated — MassachusettsSecurity(ies) — Shares of beneficial interestIssuer of security(ies) — Federated MDT Series—Federated MDT Mid Cap Growth FundAddress of issuer — 5800 Corporate Dr., Pittsburgh, PA 15237-7000State or country in which organized — MassachusettsFederated Securities Corp.1001 Liberty Ave., Pittsburgh, PA 15222-3779State or country in which incorporated — MassachusettsSecurity(ies) — Shares of beneficial interestIssuer of security(ies) — Federated MDT Series—Federated MDT Small Cap Core FundAddress of issuer — 5800 Corporate Dr., Pittsburgh, PA 15237-7000State or country in which organized — MassachusettsFederated Securities Corp.1001 Liberty Ave., Pittsburgh, PA 15222-3779State or country in which incorporated — MassachusettsSecurity(ies) — Shares of beneficial interestIssuer of security(ies) — Federated MDT Series—Federated MDT Small Cap Growth FundAddress of issuer — 5800 Corporate Dr., Pittsburgh, PA 15237-7000State or country in which organized — MassachusettsFederated Securities Corp.1001 Liberty Ave., Pittsburgh, PA 15222-3779State or country in which incorporated — MassachusettsSecurity(ies) — Shares of beneficial interestIssuer of security(ies) — Federated MDT Series—Federated MDT Small Cap Value FundAddress of issuer — 5800 Corporate Dr., Pittsburgh, PA 15237-7000State or country in which organized — MassachusettsFederated Securities Corp.1001 Liberty Ave., Pittsburgh, PA 15222-3779State or country in which incorporated — MassachusettsSecurity(ies) — Shares of beneficial interestIssuer of security(ies) — Federated MDT Series—Federated MDT Tax Aware/All Cap Core FundAddress of issuer — 5800 Corporate Dr., Pittsburgh, PA 15237-7000State or country in which organized — MassachusettsFederated Securities CorporationFederated Investors Tower, 1001 Liberty Ave., Pittsburgh, PA 15222-3779State or country in which incorporated — PennsylvaniaSecurity(ies) — Shares of beneficial interest, no par valueIssuer of security(ies) — Federated Income Securities Trust—Federated Stock and California Muni FundAddress of issuer — 5800 Corporate Dr., Pittsburgh, PA 15237-7000State or country in which organized — MassachusettsFILP Capital Reserves Limited Partnership82 Devonshire St., Boston, MA 02109Security(ies) — Limited partnership unitsIssuer of security(ies) — FILP Capital Reserves Limited PartnershipAddress of issuer — Same as aboveState or country in which organized — DelawareFirst Trust Portfolios L.P.1001 Warrenville Rd., Lisle, IL 60532Security(ies) — 10,000 units of undivided interestIssuer of security(ies) — FT 1292 (ETF Equity Allocation Portfolio, 1st Quarter 2007 Series)Address of issuer — Same as aboveState or country in which organized — IllinoisFirst Trust Portfolios L.P.1001 Warrenville Rd., Lisle, IL 60532Security(ies) — 10,000 units of undivided interestIssuer of security(ies) — FT 1293 (ETF Growth and Income Portfolio, 1st Quarter 2007 Series)Address of issuer — Same as aboveState or country in which organized — IllinoisFirst Trust Portfolios L.P.1001 Warrenville Rd., Lisle, IL 60532Security(ies) — 10,000 units of undivided interestIssuer of security(ies) — FT 1306 (S&P 500 Protected PortfolioK, December 2006 Series)Address of issuer — Same as aboveState or country in which organized — IllinoisFirst Trust Portfolios L.P.1001 Warrenville Rd., Lisle, IL 60532Security(ies) — 10,000 units of undivided interestIssuer of security(ies) — FT 1311 (Tax-Advantaged Dividend Income Portfolio, Series 4)Address of issuer — Same as aboveState or country in which organized — IllinoisFirst Trust Portfolios L.P.1001 Warrenville Rd., Lisle, IL 60532Security(ies) — 10,000 units of undivided interestIssuer of security(ies) — FT 1313 (Balanced Income Select Portfolio Series)Address of issuer — Same as aboveState or country in which organized — IllinoisFirst Trust Portfolios L.P.1001 Warrenville Rd., Lisle, IL 60532Security(ies) — 10,000 units of undivided interestIssuer of security(ies) — FT 1314 (Retail Portfolio, Series 10)Address of issuer — Same as aboveState or country in which organized — IllinoisFirst United Ethanol, LLCTwo W. Broad St., Camilla, GA 31730State or country in which incorporated — GeorgiaSecurity(ies) — Limited liability company membership unitsIssuer of security(ies) — First United Ethanol, LLCAddress of issuer — Same as aboveState or country in which organized — GeorgiaFittipaldi Logistics, Inc.903 Clint Moore Rd., Boca Raton, FL 33487State or country in which incorporated — NevadaSecurity(ies) — Series F convertible preferred stockIssuer of security(ies) — Fittipaldi Logistics, Inc.Address of issuer — Same as aboveState or country in which organized — NevadaFixed Income Securities, L.P.18925 Base Camp Rd., Suite 203, Monument, CO 80132-3415Security(ies) — 10,000 units of undivided interestIssuer of security(ies) — Advisor's Disciplined Trust 125 (High 50 Dividend Strategy Portfolio, Series 15)Address of issuer — Same as aboveState or country in which organized — New YorkFMR Corp.82 Devonshire St., Boston, MA 02109State or country in which incorporated — DelawareSecurity(ies) — Performance options-equityIssuer of security(ies) — FMR Corp.Address of issuer — Same as aboveState or country in which organized — DelawareGibraltar Maunakea S, LLC509 E. Montecito St., 2nd Fl., Santa Barbara, CA 93103Security(ies) — Tenant in common interestsIssuer of security(ies) — Gibraltar Maunakea S, LLCAddress of issuer — Same as aboveState or country in which organized — DelawareGoldman, Sachs & Co.; (2) BNY Capital Markets, Inc.; (3) KeyBanc Capital Markets; (4) A.G. Edwards & Sons, Inc.; (5) Banc of America Securities LLC85 Broad St., New York, NY 10004; (2) One Wall St., New York, NY 10286; (3) 800 Superior Ave., Cleveland, OH 44114; (4) One N. Jefferson Ave., St. Louis, MO 63103; (5) Nine W. 57th St., New York, NY 10019State or country in which incorporated — (1) New York partnership; (2) New York; (3) Ohio; (4) Delaware; (5) Delaware limited liability companySecurity(ies) — First mortgage bonds, 5.70% series due 2037Issuer of security(ies) — Avista CorporationAddress of issuer — 1411 E. Mission Ave., Spokane, WA 99202State or country in which organized — WashingtonGoldman, Sachs & Co.; (2) Morgan Stanley & Co. Incorporated85 Broad St., New York, NY 10004; (2) 1585 Broadway, NY 10036State or country in which incorporated — (1) New York partnership; (2) DelawareSecurity(ies) — % senior notes due 2013Issuer of security(ies) — ESCO CorporationAddress of issuer — 1650 NW. Naito Pkwy., Suite 200, Portland, OR 97209State or country in which organized — DelawareGoldman, Sachs & Co.; (2) Morgan Stanley & Co. Incorporated85 Broad St., New York, NY 10004; (2) 1585 Broadway, NY 10036State or country in which incorporated — (1) New York partnership; (2) DelawareSecurity(ies) — Senior floating rate notes due 2013Issuer of security(ies) — ESCO CorporationAddress of issuer — 1650 NW. Naito Pkwy., Suite 200, Portland, OR 97209State or country in which organized — DelawareGriffiths McBurney Corp.c/o GMP Securities L.P., 145 King St. W, Suite 300, Toronto, Ontario, M5H 1J8State or country in which incorporated — CanadaSecurity(ies) — Common stock, no par valueIssuer of security(ies) — U.S. Gold CorporationAddress of issuer — 2201 Kipling St., Suite 100, Lakewood, CO 80215-1545State or country in which organized — ColoradoGriffiths McBurney Corp.c/o GMP Securities L.P., 145 King St. W, Suite 300, Toronto, Ontario, M5H 1J8State or country in which incorporated — CanadaSecurity(ies) — Exchangeable sharesIssuer of security(ies) — US Gold Canadian Acquisition CorporationAddress of issuer — 2201 Kipling St., Suite 100, Lakewood, CO 80215-1545State or country in which organized — Alberta, CanadaGriffiths McBurney Corp.c/o GMP Securities L.P., 145 King St. W, Suite 300, Toronto, Ontario, M5H 1J8State or country in which incorporated — CanadaSecurity(ies) — Options to purchase common stockIssuer of security(ies) — U.S. Gold CorporationAddress of issuer — 2201 Kipling St., Suite 100, Lakewood, CO 80215-1545State or country in which organized — ColoradoGriffiths McBurney Corp.c/o GMP Securities L.P., 145 King St. W, Suite 300, Toronto, Ontario, M5H 1J8State or country in which incorporated — CanadaSecurity(ies) — Warrants to purchase common stockIssuer of security(ies) — U.S. Gold CorporationAddress of issuer — 2201 Kipling St., Suite 100, Lakewood, CO 80215-1545State or country in which organized — ColoradoHartford Mutual Funds, Inc., The—Hartford LargeCap Growth Fund, The200 Hopmeadow St., Simsbury, CT 06089Security(ies) — Shares of common stockIssuer of security(ies) — The Hartford Mutual Funds, Inc.—The Hartford LargeCap Growth FundAddress of issuer — 200 Hopmeadow St., Simsbury, CT 06089State or country in which organized — MarylandHighland Opportunity Fund, Ltd.c/o Admiral Administration, Ltd., Admiral Financial Center, 5th Fl., 90 Fort St., P.O. Box 32021 SMB, Grand Cayman, BWIState or country in which incorporated — Cayman IslandsSecurity(ies) — Common sharesIssuer of security(ies) — Highland Opportunity Fund, Ltd.Address of issuer — Same as aboveState or country in which organized — Cayman IslandsHighland Opportunity Fund, L.P.c/o Highland Financial Holdings Group, LLC, 51 Madison Ave., Suite 2000, New York, NY 10010Security(ies) — Limited partnership interestsIssuer of security(ies) — Highland Opportunity Fund, L.P.Address of issuer — Same as aboveState or country in which organized — DelawareHighland Special Opportunity Fund, L.P.c/o Highland Financial Holdings Group, LLC, 51 Madison Ave., Suite 2000, New York, NY 10010Security(ies) — Limited partnership interestsIssuer of security(ies) — Highland Special Opportunity Fund, L.P.Address of issuer — Same as aboveState or country in which organized — DelawareHighland Special Opportunity Fund, Ltd.c/o Admiral Administration, Ltd., Admiral Financial Center, 5th Fl., 90 Fort St., P.O. Box 32021 SMB, Grand Cayman, BWISecurity(ies) — Participating sharesIssuer of security(ies) — Highland Special Opportunity Fund, Ltd.Address of issuer — Same as aboveState or country in which organized — Cayman IslandsHighland Spectrum Fund, L.P.c/o Highland Financial Holdings Group, LLC, 51 Madison Ave., Suite 2000, New York, NY 10010Security(ies) — Limited partnership interestsIssuer of security(ies) — Highland Spectrum Fund, L.P.Address of issuer — Same as aboveState or country in which organized — DelawareHighland Spectrum Fund, Ltd.c/o Admiral Administration, Ltd., Admiral Financial Center, 5th Fl., 90 Fort St., P.O. Box 32021 SMB, Grand Cayman, BWIState or country in which incorporated — Cayman IslandsSecurity(ies) — Participating sharesIssuer of security(ies) — Highland Spectrum Fund, Ltd.Address of issuer — Same as aboveState or country in which organized — Cayman IslandsHSBC Global Emerging Markets Equity Freestyle Fund452 Fifth Ave., New York, NY 10018State or country in which incorporated — DelawareSecurity(ies) — Limited liability companyIssuer of security(ies) — HSBC Global Emerging Markets Equity Fund, LLCAddress of issuer — Same as aboveState or country in which organized — DelawareHudson Housing Securities LLC630 Fifth Ave., 28th Fl., New York, NY 10111Security(ies) — Limited liability company interestsIssuer of security(ies) — Hudson Waterside LLCAddress of issuer — Same as aboveState or country in which organized — DelawareHudson Waterside LLC630 Fifth Ave., 28th Fl., New York, NY 10111Security(ies) — Limited liability company interestsIssuer of security(ies) — Hudson Waterside LLCAddress of issuer — Same as aboveState or country in which organized — DelawareJ.P. Morgan Securities, Inc.; (2) Merrill Lynch, Pierce, Fenner & Smith277 Park Ave., New York, NY 10172; (2) Four World Financial Center, New York, NY 10080State or country in which incorporated — (1)–(2) DelawareSecurity(ies) — 3.75% senior convertible notes due 2013Issuer of security(ies) — MannKind CorporationAddress of issuer — 28903 N. Ave. Paine, Valencia, CA 91355State or country in which organized — DelawareJ.P. Morgan Securities, Inc.; (2) Merrill Lynch, Pierce, Fenner & Smith277 Park Ave., New York, NY 10172; (2) Four World Financial Center, New York, NY 10080State or country in which incorporated — (1)–(2) DelawareSecurity(ies) — Common stockIssuer of security(ies) — MannKind CorporationAddress of issuer — 28903 N. Ave. Paine, Valencia, CA 91355State or country in which organized — DelawareLazard Freres & Co. LLC, an affiliate of Lazard & Co., Limited30 Rockefeller Plaza, 50th Fl., New York, NY 10020Security(ies) — Limited partnership interestIssuer of security(ies) — Saw Mill Capital Partners, LPAddress of issuer — 555 Pleasantville Rd., South Bldg., Suite 220, Briarcliff Manor, NY 10510State or country in which organized — DelawareLesser-Goldsmith Enterprises, Ltd.Four Market St., South Burlington, VT 05403Security(ies) — Subordinated promissory notesIssuer of security(ies) — Lesser-Goldsmith Enterprises, Ltd.Address of issuer — Same as aboveState or country in which organized — VermontLyrical-Antheus Realty Partners II, L.P.405 Park Ave., 6th Fl., New York, NY 10022State or country in which incorporated — DelawareSecurity(ies) — Limited partnership interestIssuer of security(ies) — Lyrical-Antheus Realty Partners II, L.P.Address of issuer — Same as aboveState or country in which organized — DelawareMagellan Minerals Ltd.#575 — 1111 W. Hastings St., Vancouver, British Columbia, V6E 2J3State or country in which incorporated — CanadaSecurity(ies) — Common stockIssuer of security(ies) — Magellan Minerals Ltd.Address of issuer — Same as aboveState or country in which organized — CanadaMedical Provider Financial Corporation IV2100 S. State College Blvd., Anaheim, CA 92806State or country in which incorporated — NevadaSecurity(ies) — Redeemable secured notesIssuer of security(ies) — Medical Provider Financial Corporation IVAddress of issuer — 3770 Howard Hughes Pkwy., Suite 301, La Vegas, NV 89109State or country in which organized — NevadaMeridian Capital Partners, LLC1266 Furnace Brook Pkwy., Quincy, MA 02169Security(ies) — Tenant in common interestsIssuer of security(ies) — Lakeside San Antonio TIC, LLCAddress of issuer — c/o Eliason, Inc., P.O. Box 548, Hwy. 155, St. Germain, WI 54558-0219State or country in which organized — TexasMeridian Horizon Fund II, L.P.c/o Meridian Capital Partners, Inc., 20 Corporate Woods Blvd., 4th Fl., Albany, NY 12211Security(ies) — Limited partnership interests of Meridian Horizon Fund II, L.P.Issuer of security(ies) — Meridian Horizon Fund II, L.P.Address of issuer — Same as aboveState or country in which organized — DelawareMerrill Lynch, Pierce, Fenner & Smith Incorporated; (2) Credit SuisseSecurities (USA) LLC; (3) Needham & Company, LLC; (4) Thomas Weisel Partners, LLCFour World Financial Center, New York, NY 10281; (2) 11 Madison Ave., New York, NY 10010; (3) 445 Park Ave., New York, NY 10022; (4) One Montgomery St., San Francisco, CA 94104State or country in which incorporated — (1) Delaware; (2)–(4) Delaware limited liability companySecurity(ies) — Common stockIssuer of security(ies) — FEI CompanyAddress of issuer — 5350 NE. Dawson Creek Dr., Hillsboro, OR 97124-5793State or country in which organized — OregonMML Distributors, LLC1414 Main St., Springfield, MA 01144-1013State or country in which incorporated — MassachusettsSecurity(ies) — Shares of beneficial interestIssuer of security(ies) — MassMutual Select Funds—MassMutual Select Mid-Cap Value FundAddress of issuer — 1295 State St., Springfield, MA 01111State or country in which organized — MassachusettsMountain Lake Partners, L.P.c/o Katahdin Group, LLC, 540 Madison Ave., Suite 30A, New York, NY 10022Security(ies) — Limited partnership interestsIssuer of security(ies) — Mountain Lake Partners, L.P.Address of issuer — Same as aboveState or country in which organized — DelawareMUUS Horizon Fund II228 Saugatuck Ave., Suite 103, Westport, CT 06880Security(ies) — Limited partnership interestsIssuer of security(ies) — MUUS Horizon Fund IIAddress of issuer — Same as aboveState or country in which organized — DelawareNelson Energy Programs, Inc.2220 MacNaughton Lane, Lake Stevens, WA 98258State or country in which incorporated — WashingtonSecurity(ies) — Partnership unitsIssuer of security(ies) — Nelson Energy Partners 2006-B, L.P.Address of issuer — Same as aboveState or country in which organized — NevadaONI Medical Systems Inc.301 Ballardvale St., Suite 4, Wilmington, MA 01887State or country in which incorporated — DelawareSecurity(ies) — Convertible promissory notesIssuer of security(ies) — ONI Medical Systems Inc.Address of issuer — Same as aboveState or country in which organized — DelawareOriginate Growth Fund #1A, L.P.c/o Originate Ventures LLC, 205 Webster St., Bethlehem, PA 18015Security(ies) — Limited partnership interestsIssuer of security(ies) — Originate Growth Fund #1A, L.P.Address of issuer — Same as aboveState or country in which organized — DelawareOriginate Growth Fund #1Q, L.P.c/o Originate Ventures LLC, 205 Webster St., Bethlehem, PA 18015Security(ies) — Limited partnership interestsIssuer of security(ies) — Originate Growth Fund #1Q, L.P.Address of issuer — Same as aboveState or country in which organized — DelawarePelion Financial Group, Inc.650 Fifth Ave., 6th Fl., New York, NY 10022State or country in which incorporated — DelawareSecurity(ies) — Senior convertible notes due 2007Issuer of security(ies) — Pelion Financial Group, Inc.Address of issuer — Same as aboveState or country in which organized — DelawarePFPC Distributors, Inc.760 Moore Rd., King of Prussia, PA 19406State or country in which incorporated — MassachusettsSecurity(ies) — Shares of common stockIssuer of security(ies) — Highland Funds I—Highland Equity Opportunities FundAddress of issuer — Highland Capital Management, L.P., Two Galleria Tower, 13455 Noel Rd., Suite 1300, Dallas, TX 75240State or country in which organized — DelawarePharmos Corporation99 Wood Ave. S, Suite 311, Iselin, NJ 08830State or country in which incorporated — NevadaSecurity(ies) — Common stock, par value, $.03 per shareIssuer of security(ies) — Pharmos CorporationAddress of issuer — Same as aboveState or country in which organized — NevadaPoal FH Partners, LLC1725 Ave. M, Brooklyn, NY 11230State or country in which incorporated — DelawareSecurity(ies) — Limited liability company membership interestsIssuer of security(ies) — Poal FH Partners, LLCAddress of issuer — Same as aboveState or country in which organized — DelawarePond Equities Inc.4522 Fort Hamilton Pkwy., Brooklyn, NY 11219State or country in which incorporated — New YorkSecurity(ies) — Promissory notesIssuer of security(ies) — Amedia Networks, Inc.Address of issuer — Two Corbett Way, Eatontown, NJ 07724State or country in which organized — DelawarePraetorian Institutional LLCc/o Praetorian Capital Management LLC, 119 Washington Ave., Suite 600, Miami Beach, FL 33139Security(ies) — Company membership interestsIssuer of security(ies) — Praetorian Institutional LLCAddress of issuer — Same as aboveState or country in which organized — DelawarePrincipal Investors Fund, Inc.—Bond & Mortgage Securities Fund The Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock — class CIssuer of security(ies) — Principal Investors Fund, Inc.—Bond & Mortgage Securities FundAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—California Insured Intermediate Municipal FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock — class AIssuer of security(ies) — Principal Investors Fund, Inc.—California Insured Intermediate Municipal FundAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—California Insured Intermediate Municipal FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock — class BIssuer of security(ies) — Principal Investors Fund, Inc.—California Insured Intermediate Municipal FundAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—California Insured Intermediate Municipal FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock — class CIssuer of security(ies) — Principal Investors Fund, Inc.—California Insured Intermediate Municipal FundAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—California Municipal Bond FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock — class AIssuer of security(ies) — Principal Investors Fund, Inc.—California Municipal Bond FundAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—California Municipal Bond FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock — class BIssuer of security(ies) — Principal Investors Fund, Inc.—California Municipal Bond FundAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—California Municipal Bond FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock — class CIssuer of security(ies) — Principal Investors Fund, Inc.—California Municipal Bond FundAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Disciplined LargCap Blend FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock — class CIssuer of security(ies) — Principal Investors Fund, Inc.—Disciplined LargeCap Blend FundAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Disciplined LargeCap Blend FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—institutional classIssuer of security(ies) — Principal Investors Fund, Inc.—Disciplined LargeCap Blend FundAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Diversified International FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class CIssuer of security(ies) — Principal Investors Fund, Inc.—Diversified International FundAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Diversified International FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—institutional classIssuer of security(ies) — Principal Investors Fund, Inc.—Diversified International FundAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Equity Income Fund IThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class AIssuer of security(ies) — Principal Investors Fund, Inc.—Equity Income Fund IAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Equity Income Fund IThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class BIssuer of security(ies) — Principal Investors Fund, Inc.—Equity Income Fund IAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Equity Income Fund IThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class CIssuer of security(ies) — Principal Investors Fund, Inc.—Equity Income Fund IAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Government & High Quality Bond FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class CIssuer of security(ies) — Principal Investors Fund, Inc.—Government & High Quality Bond FundAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—High Yield Fund IIThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class AIssuer of security(ies) — Principal Investors Fund, Inc.—High Yield Fund IIAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—High Yield Fund IIThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class BIssuer of security(ies) — Principal Investors Fund, Inc.—High Yield Fund IIAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—High Yield Fund IIThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class CIssuer of security(ies) — Principal Investors Fund, Inc.—High Yield Fund IIAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Income FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class AIssuer of security(ies) — Principal Investors Fund, Inc.—Income FundAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Income FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class BIssuer of security(ies) — Principal Investors Fund, Inc.—Income FundAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Income FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class CIssuer of security(ies) — Principal Investors Fund, Inc.—Income FundAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Inflation Protection FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class CIssuer of security(ies) — Principal Investors Fund, Inc.—Inflation Protection FundAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—International Emerging Markets FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class CIssuer of security(ies) — Principal Investors Fund, Inc.—International Emerging Markets FundAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—LargeCap Growth FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class CIssuer of security(ies) — Principal Investors Fund, Inc.—LargeCap Growth FundAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—LargeCap S&P 500 Index FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class CIssuer of security(ies) — Principal Investors Fund, Inc.—LargeCap S&P 500 Index FundAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—LargeCap Value FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class CIssuer of security(ies) — Principal Investors Fund, Inc.—LargeCap Value FundAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—MidCap Blend FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class CIssuer of security(ies) — Principal Investors Fund, Inc.—MidCap Blend FundAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Mid Cap Blend FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—institutional classIssuer of security(ies) — Principal Investors Fund, Inc.—MidCap Blend FundAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Mid Cap Blend FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—institutional classIssuer of security(ies) — Principal Investors Fund, Inc.—MidCap Blend FundAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Mid Cap Stock FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class AIssuer of security(ies) — Principal Investors Fund, Inc.—MidCap Stock FundAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Mid Cap Stock FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class BIssuer of security(ies) — Principal Investors Fund, Inc.—MidCap Stock FundAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Mid Cap Stock FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class CIssuer of security(ies) — Principal Investors Fund, Inc.—MidCap Stock FundAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Mortgage Securities FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class AIssuer of security(ies) — Principal Investors Fund, Inc.—Mortgage Securities FundAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Mortgage Securities FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class BIssuer of security(ies) — Principal Investors Fund, Inc.—Mortgage Securities FundAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Money Market FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class CIssuer of security(ies) — Principal Investors Fund, Inc.—Money Market FundAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Partners LargeCap Blend FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class CIssuer of security(ies) — Principal Investors Fund, Inc.—Partners LargeCap Blend FundAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Partners LargeCap Blend Fund IThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class AIssuer of security(ies) — Principal Investors Fund, Inc.—Partners LargeCap Blend Fund IAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Partners LargeCap Growth Fund IThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class CIssuer of security(ies) — Principal Investors Fund, Inc.—Partners LargeCap Growth Fund IAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Partners LargeCap Growth Fund IIThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class CIssuer of security(ies) — Principal Investors Fund, Inc.—Partners LargeCap Growth Fund IIAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Partners LargeCap Value FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class CIssuer of security(ies) — Principal Investors Fund, Inc.—Partners LargeCap Value FundAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Partners MidCap Growth FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class CIssuer of security(ies) — Principal Investors Fund, Inc.—Partners MidCap Growth FundAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Partners MidCap Growth FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—institutional classIssuer of security(ies) — Principal Investors Fund, Inc.—Partners MidCap Growth FundAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Partners MidCap Growth Fund IThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class CIssuer of security(ies) — Principal Investors Fund, Inc.—Partners MidCap Growth Fund IAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Partners MidCap Value FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class CIssuer of security(ies) — Principal Investors Fund, Inc.—Partners MidCap Value FundAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Partners SmallCap Growth Fund IIThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class CIssuer of security(ies) — Principal Investors Fund, Inc.—Partners MidCap Growth Fund IIAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Preferred Securities FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class CIssuer of security(ies) — Principal Investors Fund, Inc.—Preferred Securities FundAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Preferred Securities FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—institutional classIssuer of security(ies) — Principal Investors Fund, Inc.—Preferred Securities FundAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Principal LifeTime 2010 FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class CIssuer of security(ies) — Principal Investors Fund, Inc.—Principal LifeTime 2010 FundAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Principal LifeTime 2020 FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class CIssuer of security(ies) — Principal Investors Fund, Inc.—Principal LifeTime 2020 FundAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Principal LifeTime 2030 FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class CIssuer of security(ies) — Principal Investors Fund, Inc.—Principal LifeTime 2030 FundAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Principal LifeTime 2040 FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class CIssuer of security(ies) — Principal Investors Fund, Inc.—Principal LifeTime 2040 FundAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Principal LifeTime 2050 FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class CIssuer of security(ies) — Principal Investors Fund, Inc.—Principal LifeTime 2050 FundAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Principal LifeTime Strategic Income FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class CIssuer of security(ies) — Principal Investors Fund, Inc.—Principal LifeTime Strategic Income FundAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Real Estate FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class CIssuer of security(ies) — Principal Investors Fund, Inc.—Real Estate FundAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Short-Term Bond FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class CIssuer of security(ies) — Principal Investors Fund, Inc.—Short-Term Bond FundAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Short-Term Income FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class AIssuer of security(ies) — Principal Investors Fund, Inc.—Short-Term Income FundAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Short-Term Income FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class CIssuer of security(ies) — Principal Investors Fund, Inc.—Short-Term Bond FundAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—SmallCap Blend FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class CIssuer of security(ies) — Principal Investors Fund, Inc.—SmallCap Blend FundAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—SmallCap Growth FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class AIssuer of security(ies) — Principal Investors Fund, Inc.—SmallCap Growth FundAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—SmallCap Growth FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class BIssuer of security(ies) — Principal Investors Fund, Inc.—SmallCap Growth FundAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—SmallCap Growth FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class CIssuer of security(ies) — Principal Investors Fund, Inc.—SmallCap Growth FundAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—SmallCap Value FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class CIssuer of security(ies) — Principal Investors Fund, Inc.—SmallCap Value FundAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Strategic Asset Management Balanced PortfolioThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—advisors preferred classIssuer of security(ies) — Principal Investors Fund, Inc.—Strategic Asset Management Balanced PortfolioAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Strategic Asset Management Balanced PortfolioThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—advisors select classIssuer of security(ies) — Principal Investors Fund, Inc.—Strategic Asset Management Balanced PortfolioAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Strategic Asset Management Balanced PortfolioThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—advisors signature classIssuer of security(ies) — Principal Investors Fund, Inc.—Strategic Asset Management Balanced PortfolioAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Strategic Asset Management Balanced PortfolioThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class AIssuer of security(ies) — Principal Investors Fund, Inc.—Strategic Asset Management Balanced PortfolioAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Strategic Asset Management Balanced PortfolioThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class BIssuer of security(ies) — Principal Investors Fund, Inc.—Strategic Asset Management Balanced PortfolioAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Strategic Asset Management Balanced PortfolioThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class CIssuer of security(ies) — Principal Investors Fund, Inc.—Strategic Asset Management Balanced PortfolioAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Strategic Asset Management Balanced PortfolioThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class JIssuer of security(ies) — Principal Investors Fund, Inc.—Strategic Asset Management Balanced PortfolioAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Strategic Asset Management Balanced PortfolioThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—preferred classIssuer of security(ies) — Principal Investors Fund, Inc.—Strategic Asset Management Balanced PortfolioAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Strategic Asset Management Balanced PortfolioThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—select classIssuer of security(ies) — Principal Investors Fund, Inc.—Strategic Asset Management Balanced PortfolioAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Strategic Asset Management Conservative Balanced PortfolioThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—advisors preferred classIssuer of security(ies) — Principal Investors Fund, Inc.—Strategic Asset Management Conservative Balanced PortfolioAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Strategic Asset Management Conservative Balanced PortfolioThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common Stock—advisors selectIssuer of security(ies) — Principal Investors Fund, Inc.—Strategic Asset Management Conservative Balanced PortfolioAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Strategic Asset Management Conservative Balanced PortfolioThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common Stock—advisors signature classIssuer of security(ies) — Principal Investors Fund, Inc.—Strategic Asset Management Conservative Balanced PortfolioAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Strategic Asset Management Conservative Balanced PortfolioThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class AIssuer of security(ies) — Principal Investors Fund, Inc.—Strategic Asset Management Conservative Balanced PortfolioAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Strategic Asset Management Conservative Balanced PortfolioThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class BIssuer of security(ies) — Principal Investors Fund, Inc.—Strategic Asset Management Conservative Balanced PortfolioAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Strategic Asset Management Conservative Balanced PortfolioThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class CIssuer of security(ies) — Principal Investors Fund, Inc.—Strategic Asset Management Conservative Balanced PortfolioAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Strategic Asset Management Conservative Balanced PortfolioThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class JIssuer of security(ies) — Principal Investors Fund, Inc.—Strategic Asset Management Conservative Balanced PortfolioAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Strategic Asset Management Conservative Balanced PortfolioThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—preferred classIssuer of security(ies) — Principal Investors Fund, Inc.—Strategic Asset Management Conservative Balanced PortfolioAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Strategic Asset Management Conservative Balanced PortfolioThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—select classIssuer of security(ies) — Principal Investors Fund, Inc.—Strategic Asset Management Conservative Balanced PortfolioAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Strategic Asset Management Conservative Growth PortfolioThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—advisors preferred classIssuer of security(ies) — Principal Investors Fund, Inc.—Strategic Asset Management Conservative Growth PortfolioAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Strategic Asset Management Conservative Growth PortfolioThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—advisors select classIssuer of security(ies) — Principal Investors Fund, Inc.—Strategic Asset Management Conservative Growth PortfolioAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Strategic Asset Management Conservative Growth PortfolioThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—advisors signature classIssuer of security(ies) — Principal Investors Fund, Inc.—Strategic Asset Management Conservative Growth PortfolioAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Strategic Asset Management Conservative Growth PortfolioThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class AIssuer of security(ies) — Principal Investors Fund, Inc.—Strategic Asset Management Conservative Growth PortfolioAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Strategic Asset Management Conservative Growth PortfolioThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class BIssuer of security(ies) — Principal Investors Fund, Inc.—Strategic Asset Management Conservative Growth PortfolioAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Strategic Asset Management Conservative Growth PortfolioThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class CIssuer of security(ies) — Principal Investors Fund, Inc.—Strategic Asset Management Conservative Growth PortfolioAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Strategic Asset Management Conservative Growth PortfolioThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class JIssuer of security(ies) — Principal Investors Fund, Inc.—Strategic Asset Management Conservative Growth PortfolioAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Strategic Asset Management Conservative Growth PortfolioThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—preferred classIssuer of security(ies) — Principal Investors Fund, Inc.—Strategic Asset Management Conservative Growth PortfolioAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Strategic Asset Management Conservative Growth PortfolioThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—select classIssuer of security(ies) — Principal Investors Fund, Inc.—Strategic Asset Management Conservative Growth PortfolioAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Strategic Asset Management Flexible Income PortfolioThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—advisors preferred classIssuer of security(ies) — Principal Investors Fund, Inc.—Strategic Asset Management Flexible Income PortfolioAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Strategic Asset Management Flexible Income PortfolioThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—advisors select classIssuer of security(ies) — Principal Investors Fund, Inc.—Strategic Asset Management Flexible Income PortfolioAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Strategic Asset Management Flexible Income PortfolioThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—advisors signature classIssuer of security(ies) — Principal Investors Fund, Inc.—Strategic Asset Management Flexible Income PortfolioAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Strategic Asset Management Flexible Income PortfolioThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class AIssuer of security(ies) — Principal Investors Fund, Inc.—Strategic Asset Management Flexible Income PortfolioAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Strategic Asset Management Flexible Income PortfolioThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common Stock—class BIssuer of security(ies) — Principal Investors Fund, Inc.—Strategic Asset Management Flexible Income PortfolioAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Strategic Asset Management Flexible Income PortfolioThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class CIssuer of security(ies) — Principal Investors Fund, Inc.—Strategic Asset Management Flexible Income PortfolioAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Strategic Asset Management Flexible Income PortfolioThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class JIssuer of security(ies) — Principal Investors Fund, Inc.—Strategic Asset Management Flexible Income PortfolioAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Strategic Asset Management Flexible Income PortfolioThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—preferred classIssuer of security(ies) — Principal Investors Fund, Inc.—Strategic Asset Management Flexible Income PortfolioAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Strategic Asset Management Flexible Income PortfolioThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—select classIssuer of security(ies) — Principal Investors Fund, Inc.—Strategic Asset Management Flexible Income PortfolioAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Strategic Asset Management Strategic Growth PortfolioThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—advisors preferred classIssuer of security(ies) — Principal Investors Fund, Inc.—Strategic Asset Management Strategic Growth PortfolioAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Strategic Asset Management Strategic Growth PortfolioThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—advisors select classIssuer of security(ies) — Principal Investors Fund, Inc.—Strategic Asset Management Strategic Growth PortfolioAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Strategic Asset Management Strategic Growth PortfolioThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—advisors signature classIssuer of security(ies) — Principal Investors Fund, Inc.—Strategic Asset Management Strategic Growth PortfolioAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Strategic Asset Management Strategic Growth PortfolioThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class AIssuer of security(ies) — Principal Investors Fund, Inc.—Strategic Asset Management Strategic Growth PortfolioAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Strategic Asset Management Strategic Growth PortfolioThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class BIssuer of security(ies) — Principal Investors Fund, Inc.—Strategic Asset Management Strategic Growth PortfolioAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Strategic Asset Management Strategic Growth PortfolioThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class CIssuer of security(ies) — Principal Investors Fund, Inc.—Strategic Asset Management Strategic Growth PortfolioAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Strategic Asset Management Strategic Growth PortfolioThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class JIssuer of security(ies) — Principal Investors Fund, Inc.—Strategic Asset Management Strategic Growth PortfolioAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Strategic Asset Management Strategic Growth PortfolioThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—preferred classIssuer of security(ies) — Principal Investors Fund, Inc.—Strategic Asset Management Strategic Growth PortfolioAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Strategic Asset Management Strategic Growth PortfolioThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—select classIssuer of security(ies) — Principal Investors Fund, Inc.—Strategic Asset Management Strategic Growth PortfolioAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Tax-Exempt Bond Fund IThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class AIssuer of security(ies) — Principal Investors Fund, Inc.—Tax-Exempt Bond Fund IAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Tax-Exempt Bond Fund IThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class BIssuer of security(ies) — Principal Investors Fund, Inc.—Tax-Exempt Bond Fund IAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Tax-Exempt Bond Fund IThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class CIssuer of security(ies) — Principal Investors Fund, Inc.—Tax-Exempt Bond Fund IAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—Ultra Short Bond FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class CIssuer of security(ies) — Principal Investors Fund, Inc.—Ultra Short Bond FundAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—West Coast Equity FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class AIssuer of security(ies) — Principal Investors Fund, Inc.—West Coast Equity FundAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—West Coast Equity FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class BIssuer of security(ies) — Principal Investors Fund, Inc.—West Coast Equity FundAddress of issuer — Same as aboveState or country in which organized — IowaPrincipal Investors Fund, Inc.—West Coast Equity FundThe Principal Financial Group, Des Moines, IA 50392-0200State or country in which incorporated — MarylandSecurity(ies) — Common stock—class CIssuer of security(ies) — Principal Investors Fund, Inc.—West Coast Equity FundAddress of issuer — Same as aboveState or country in which organized — IowaRangeley Capital Partners, LPc/o Rangeley Capital GP, LLC, 595 Madison Ave., 17th Fl., New York, NY 10022Security(ies) — Limited partnership interestsIssuer of security(ies) — Rangeley Capital GP, LLCAddress of issuer — Same as aboveState or country in which organized — DelawareSAGE Electrochromics, Inc.One Sage Way, Faribault, MN 55021State or country in which incorporated — New JerseySecurity(ies) — 8% convertible promissory notesIssuer of security(ies) — SAGE Electrochromics, Inc.Address of issuer — Same as aboveState or country in which organized — New JerseySpartan Capital Partners, L.P.Woolworth Bldg., 17th Fl., 233 Broadway, New York, NY 10279Security(ies) — Limited partnership interestsIssuer of security(ies) — Spartan Asset Management, LLCAddress of issuer — Same as aboveState or country in which organized — DelawareSteelhead Pathfinder Fund, Ltd.c/o M&C Corporate Services Limited, P.O. Box 309GT, Ugland House, South Church St., George Town, Grand Cayman, Cayman IslandsSecurity(ies) — Redeemable participating sharesIssuer of security(ies) — Steelhead Pathfinder Fund, Ltd.Address of issuer — Same as aboveState or country in which organized — Cayman IslandsSynacor, Inc.40 La Riviere Dr., Suite 300, Buffalo, NY 14202State or country in which incorporated — DelawareSecurity(ies) — 695,147 shares of common stockIssuer of security(ies) — Synacor, Inc.Address of issuer — Same as aboveState or country in which organized — DelawareTopaz Fund, L.P.1111 Kane Concourse, Suite 404, Bay Harbor Islands, FL 33154Security(ies) — Limited partnership interestsIssuer of security(ies) — Topaz Fund, L.P.Address of issuer — Same as aboveState or country in which organized — DelawareUnited American Healthcare Corporation300 River Place, Suite 4950, Detroit, MI 48207State or country in which incorporated — MichiganSecurity(ies) — Common shares underlying the warrantsIssuer of security(ies) — United American Healthcare CorporationAddress of issuer — Same as aboveState or country in which organized — MichiganUnited American Healthcare Corporation300 River Place, Suite 4950, Detroit, MI 48207State or country in which incorporated — MichiganSecurity(ies) — Units consisting of common stock, no par value, with warrantsIssuer of security(ies) — United American Healthcare CorporationAddress of issuer — Same as aboveState or country in which organized — MichiganVan Kampen Funds Inc.One Parkview Plaza, Oakbrook Terrace, IL 60181-5555State or country in which incorporated — DelawareSecurity(ies) — 75,000 units of undivided interestIssuer of security(ies) — Ardour Global Alternative Energy Portfolio 2007-1Address of issuer — Same as aboveState or country in which organized — New YorkVan Kampen Funds Inc.One Parkview Plaza, Oakbrook Terrace, IL 60181-5555State or country in which incorporated — DelawareSecurity(ies) — 75,000 units of undivided interestIssuer of security(ies) — BRIC Opportunity Portfolio 2007-1Address of issuer — Same as aboveState or country in which organized — New YorkVan Kampen Funds Inc.One Parkview Plaza, Oakbrook Terrace, IL 60181-5555State or country in which incorporated — DelawareSecurity(ies) — 75,000 units of undivided interestIssuer of security(ies) — The Dow Jones Total Market Portfolio, Enhanced Index Strategy 2006-4Address of issuer — Same as aboveState or country in which organized — New YorkVan Kampen Funds Inc.One Parkview Plaza, Oakbrook Terrace, IL 60181-5555State or country in which incorporated — DelawareSecurity(ies) — 75,000 units of undivided interestIssuer of security(ies) — Enhanced Sector Strategy, Basic Materials Portfolio 2006-4Address of issuer — Same as aboveState or country in which organized — New YorkVan Kampen Funds Inc.One Parkview Plaza, Oakbrook Terrace, IL 60181-5555State or country in which incorporated — DelawareSecurity(ies) — 75,000 units of undivided interestIssuer of security(ies) — Enhanced Sector Strategy, Consumer Goods Portfolio 2006-4Address of issuer — Same as aboveState or country in which organized — New YorkVan Kampen Funds Inc.One Parkview Plaza, Oakbrook Terrace, IL 60181-5555State or country in which incorporated — DelawareSecurity(ies) — 75,000 units of undivided interestIssuer of security(ies) — Enhanced Sector Strategy, Consumer Services Portfolio 2006-4Address of issuer — Same as aboveState or country in which organized — New YorkVan Kampen Funds Inc.One Parkview Plaza, Oakbrook Terrace, IL 60181-5555State or country in which incorporated — DelawareSecurity(ies) — 75,000 units of undivided interestIssuer of security(ies) — Enhanced Sector Strategy, Energy Portfolio 2006-4Address of issuer — Same as aboveState or country in which organized — New YorkVan Kampen Funds Inc.One Parkview Plaza, Oakbrook Terrace, IL 60181-5555State or country in which incorporated — DelawareSecurity(ies) — 75,000 units of undivided interestIssuer of security(ies) — Enhanced Sector Strategy, Financials Portfolio 2006-4Address of issuer — Same as aboveState or country in which organized — New YorkVan Kampen Funds Inc.One Parkview Plaza, Oakbrook Terrace, IL 60181-5555State or country in which incorporated — DelawareSecurity(ies) — 75,000 units of undivided interestIssuer of security(ies) — Enhanced Sector Strategy, Health Care Portfolio 2006-4Address of issuer — Same as aboveState or country in which organized — New YorkVan Kampen Funds Inc.One Parkview Plaza, Oakbrook Terrace, IL 60181-5555State or country in which incorporated — DelawareSecurity(ies) — 75,000 units of undivided interestIssuer of security(ies) — Enhanced Sector Strategy, Industrials Portfolio 2006-4Address of issuer — Same as aboveState or country in which organized — New YorkVan Kampen Funds Inc.One Parkview Plaza, Oakbrook Terrace, IL 60181-5555State or country in which incorporated — DelawareSecurity(ies) — 75,000 units of undivided interestIssuer of security(ies) — Enhanced Sector Strategy, Sector Rotation Portfolio 2006-4Address of issuer — Same as aboveState or country in which organized — New YorkVan Kampen Funds Inc.One Parkview Plaza, Oakbrook Terrace, IL 60181-5555State or country in which incorporated — DelawareSecurity(ies) — 75,000 units of undivided interestIssuer of security(ies) — Enhanced Sector Strategy, Telecommunications Portfolio 2006-4Address of issuer — Same as aboveState or country in which organized — New YorkVan Kampen Funds Inc.One Parkview Plaza, Oakbrook Terrace, IL 60181-5555State or country in which incorporated — DelawareSecurity(ies) — 75,000 units of undivided interestIssuer of security(ies) — Enhanced Sector Strategy, Utilities Portfolio 2006-4Address of issuer — Same as aboveState or country in which organized — New YorkVan Kampen Funds Inc.One Parkview Plaza, Oakbrook Terrace, IL 60181-5555State or country in which incorporated — DelawareSecurity(ies) — 75,000 units of undivided interestIssuer of security(ies) — S&P Japan Enhanced Index Strategy Portfolio 2007-1Address of issuer — Same as aboveState or country in which organized — New YorkVan Kampen Funds Inc.One Parkview Plaza, Oakbrook Terrace, IL 60181-5555State or country in which incorporated — DelawareSecurity(ies) — 75,000 units of undivided interestIssuer of security(ies) — Van Kampen Preferred Securities Portfolio, Series 10Address of issuer — Same as aboveState or country in which organized — New YorkVRCities, Inc.P.O. Box 2224, Niagara Falls, NY 14302State or country in which incorporated — New YorkSecurity(ies) — Common stockIssuer of security(ies) — VRCities, Inc.Address of issuer — Same as aboveState or country in which organized — New YorkWestfield Development Partners V, LLLP717 17th St., Suite 2000, Denver, CO 80202Security(ies) — Limited partnership interestsIssuer of security(ies) — Westfield Development Partners V, LLLPAddress of issuer — Same as aboveState or country in which organized — ColoradoWhite Pacific Securities, Inc.231 Sansome St., 4th Fl., San Francisco, CA 94104State or country in which incorporated — NevadaSecurity(ies) — Tenant in common interestsIssuer of security(ies) — Forest Oaks Apartments, LLCAddress of issuer — c/o Woodlark Capital, LLC, 170 Hamilton Ave., White Plains, NY 10601State or country in which organized — DelawareWireless Ronin Technologies, Inc.14700 Martin Dr., Eden Prairie, MN 55344State or country in which incorporated — MinnesotaSecurity(ies) — Common stockIssuer of security(ies) — Wireless Ronin Technologies, Inc.Address of issuer — Same as aboveState or country in which organized — Minnesota
