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SEC NEWS DIGEST
Issue 2007-139 July 20, 2007
COMMISSION ANNOUNCEMENTS
SEC SUSPENDS TRADING IN SECURITIES OF FOURTEEN COMPANIES FOR FAILURE
TO MAKE REQUIRED PERIODIC FILINGS
The U.S. Securities and Exchange Commission announced the temporary
suspension of trading of the securities of the following issuers,
commencing at 9:30 a.m. EDT on July 20, 2007, and terminating at 11:59
p.m. EDT on Aug. 2, 2007:
* American Pad & Paper Co. (APPPQ)
* The CattleSale Co. (CTLE)
* CHS Electronics, Inc. (CHSWQ)
* Cypost Corp. (CYPO)
* Gen-ID Lab Services, Inc. (GDLB)
* Global Business Information Directory, Inc. (GBDI)
* Golf Communities of America, Inc. (GFCM)
* GSL Holdings, Inc. (GSLHF)
* Industrial Rubber Innovations, Inc. (IRBB)
* Instapay Systems, Inc. (IPYS)
* Midland, Inc.
* Orbit Brands Corp. (OBBCQ)
* Signal Apparel Co., Inc. (SIAYQ)
* United Specialties, Inc. (n/k/a WaterColor Holdings, Inc.)
(WCHG)
The Commission temporarily suspended trading in the securities of the
foregoing companies due to a lack of current and accurate information
about the companies because they have not filed certain periodic
reports with the Commission. This order was entered pursuant to
Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act).
The Commission cautions brokers, dealers, shareholders and prospective
purchasers that they should carefully consider the foregoing
information along with all other currently available information and
any information subsequently issued by these companies. Brokers and
dealers should be alert to the fact that, pursuant to Exchange Act
Rule 15c2-11, at the termination of the trading suspensions, no
quotation may be entered relating to the securities of the subject
companies unless and until the broker or dealer has strictly complied
with all of the provisions of the rule. If any broker or dealer is
uncertain as to what is required by the rule, it should refrain from
entering quotations relating to the securities of these companies that
have been subject to trading suspensions until such time as it has
familiarized itself with the rule and is certain that all of its
provisions have been met. Any broker or dealer with questions
regarding the rule should contact the staff of the Securities and
Exchange Commission in Washington, DC at (202) 551-5720. If any broker
or dealer enters any quotation which is in violation of the rule, the
Commission will consider the need for prompt enforcement action. (Rel.
34-56110)
ENFORCEMENT PROCEEDINGS
COMMISSION ORDERS HEARINGS ON REGISTRATION REVOCATION AGAINST FOURTEEN
DELINQUENT COMPANIES FOR FAILURE TO MAKE REQUIRED PERIODIC FILINGS
In conjunction with the above-referenced trading suspension, the
Commission also today instituted two public administrative proceedings
to determine whether to revoke or suspend for a period not exceeding
twelve months the registration of each class of the securities of the
fourteen companies for failure to make required periodic filings with
the Commission:
In the Matter of American Pad & Paper Co., et al., Administrative
Proceeding File No. 3-12705
* American Pad & Paper Co. (APPPQ)
* CHS Electronics, Inc. (CHSWQ)
* Cypost Corp. (CYPO)
* Golf Communities of America, Inc. (GFCM)
* Midland, Inc.
* Signal Apparel Co., Inc. (SIAYQ)
* United Specialties, Inc. (n/k/a WaterColor Holdings, Inc.)
(WCHG)
In the Matter of The CattleSale Co., et al., Administrative Proceeding
File No. 3-12706
* The CattleSale Co. (CTLE)
* Gen-ID Lab Services, Inc. (GDLB)
* Global Business Information Directory, Inc. (GBDI)
* GSL Holdings, Inc. (GSLHF)
* Industrial Rubber Innovations, Inc. (IRBB)
* Instapay Systems, Inc. (IPYS)
* Orbit Brands Corp. (OBBCQ)
In each of these Orders, the Division of Enforcement (Division)
alleges that the issuers are delinquent in their required periodic
filings with the Commission. In each of these proceedings, instituted
pursuant to Securities Exchange Act of 1934 (Exchange Act) Section
12(j), a hearing will be scheduled before an Administrative Law Judge.
At those hearings, the judge will hear evidence from the Division and
the respondents to determine whether the allegations of the Division
contained in the Order, which the Division alleges constitute a
failure to comply with Exchange Act Section 13(a) and Rules 13a-1 and
13a-13 thereunder, are true. The judge in each proceeding will then
determine whether the registrations pursuant to Exchange Act Section
12 of the securities of the respective respondents should be revoked
or suspended for a period not exceeding twelve months. The Commission
ordered that the Administrative Law Judge in each proceeding issue an
initial decision not later than 120 days from the date of service of
the order instituting proceedings.
If any broker, dealer or other person has any information which may
relate to this matter, they should immediately communicate it to the
Delinquent Filings Branch of the Division of Enforcement at (202) 551-
5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-56111; File
No. 3-12705; File No. 3-12706)
SEC FILES SETTLED ACTIONS AGAINST FOUR FORMER EXECUTIVES OF SMARTFORCE
PLC CONCERNING IMPROPER REVENUE RECOGNITION
The Commission filed civil actions in U.S. District Court in New
Hampshire against former SmartForce Chief Financial Officer David C.
Drummond and two former vice presidents of finance, Patrick E. Murphy
and John P. Hayes, in connection with the software company's
overstatement of revenue by $113.6 million and net income by $127
million during a 3½-year period ending in mid-2002. The Commission
also filed a separate injunctive action against Patrick T. Chew,
former controller of SmartForce's subsidiary in the United States
(SmartForce US). The four former SmartForce executives will pay civil
penalties in a total amount of $325,000 in these District Court
actions.
According to the Commission's Complaints, SmartForce's financial
statements failed to comply with generally accepted accounting
principles (GAAP) as a result of the defendants' conduct regarding the
improper recognition of revenue from various types of transactions,
including multiple-element arrangements, reciprocal transactions, and
reseller agreements. SmartForce, which was based in Redwood,
California, has since merged into SkillSoft PLC, and is now based in
Hew Hampshire, according to the Complaint.
In the District Court action against Drummond, Murphy, and Hayes, the
Commission alleged that each violated Section 13(b)(5) of the Exchange
Act and aided and abetted the company's violations of Sections 13(a),
13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act and Rules 12b-20, 13a-
1 and 13a-13 thereunder. Each defendant consented to the entry of a
final judgment that requires them to pay civil penalties as follows:
$125,000 for Drummond, $100,000 for Murphy, and $75,000 for Hayes.
Drummond, Murphy, and Hayes neither admitted nor denied the
allegations in the Commission's Complaint. In the action against Chew,
he consented to the entry of a final judgment that enjoins him from
future violations of Section 13(b)(5) of the Exchange Act and Rule
13b2-2 thereunder, and from aiding and abetting the company's
violations of Sections 13(a), 13(b)(2)(A) and 13(b)(2)(B) of the
Exchange Act and Rules 12b-20, 13a-1 and 13a-13 thereunder. The final
judgment also requires Chew to pay $85,885 in disgorgement and
prejudgment interest and a civil penalty of $25,000. Chew consented to
entry of the judgment without admitting or denying the allegations of
the Complaint. In the related administrative proceeding, which was
instituted against Drummond, Murphy, and Hayes, each is required to
pay total disgorgement and prejudgment interest as follows: $573,979
for Drummond, $567,866 for Murphy, and $862,395 for Hayes. The
administrative order further bars Murphy and Hayes from practicing
before the Commission as accountants, with the right to apply for
reinstatement after two years. The administrative order also requires
that Drummond, Murphy, and Hayes cease and desist from committing or
causing any violations or future violations of Section 13(b)(5) of the
Exchange Act; and from causing any violations and any future
violations of Sections 13(a), 13(b)(2)(A) and 13(b)(2)(B) of the
Exchange Act and Rules 12b-20, 13a-1 and 13a-13 thereunder. Drummond,
Murphy and Hayes neither admitted nor denied the findings in that
administrative order. [SEC v. David C. Drummond, John P. Hayes, and
Patrick E. Murphy, Civil Action No. 07 CV 219 JM (D.N.H.); SEC v.
Patrick T. Chew., Civil Action No. 07 CV 220 PB (D.N.H.)] (LR-20202;
AAE Rel. 2649)
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A proposed rule change (SR-Amex-2007-73) filed by the American Stock
Exchange relating to extension of the iShares® Russell 2000® Index
Fund Option Pilot Program until January 18, 2008 has become effective
pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of
1934. Publication is expected in the Federal Register during the week
of July 23. (Rel. 34-56090x)
A proposed rule change (SR-ISE-2007-57) filed by the International
Securities Exchange relating to clarifying the fee schedule has become
effective under Section 19(b)(3)(A) of the Act. Publication is
expected in the Federal Register during the week of July 23. (Rel. 34-
56091)
A proposed rule change filed by the Chicago Board Options Exchange to
extend two pilot programs until July 18, 2008 related to the
Exchange's Automated Improvement Mechanism has become effective under
Section 19(b)(3)(A) of the Securities Exchange Act of 1934 (SR-CBOE-
2007-80). Publication is expected in the Federal Register during the
week of July 23. (Rel. 34-56094)
PROPOSED RULE CHANGE
The International Securities Exchange filed a proposed rule change
relating to ISEE Select market data fees (SR-ISE-2007-58). Publication
is expected in the Federal Register during the week of July 23. (Rel.
34-56093)
SECURITIES ACT REGISTRATIONS
The following registration statements have been filed with the SEC
under the Securities Act of 1933. The reported information appears as
follows: Form, Name, Address and Phone Number (if available) of the
issuer of the security; Title and the number and/or face amount of the
securities being offered; Name of the managing underwriter or
depositor (if applicable); File number and date filed; Assigned
Branch; and a designation if the statement is a New Issue.
Registration statements may be obtained in person or by writing to the
Commission's Public Reference Branch at 100 F Street, N.E.,
Washington, D.C. 20549-1090 or at the following e-mail box address:
<publicinfo@sec.gov>. In most cases, this information is also
available on the Commission's website: <www.sec.gov>.
SB-2 Nevaeh Enterprises Ltd., 25 JIN HUA STREET, CHANG CHUN, JI LIN, F4,
130000, 136-6430-8646 - 5,500,000 ($55,000.00) Equity,
(File 333-144681 - Jul. 19) (BR. 03)
N-2 Federated Enhanced Treasury Income Fund, 5800 CORPORATE DRIVE,
PITTSBURGH, PA, 15237-7000, 412-288-7403 -
50,000 ($1,000,000.00) Equity, (File 333-144682 - Jul. 19) (BR. 22)
S-3ASR IRON MOUNTAIN INC, 745 ATLANTIC AVENUE, BOSTON, MA, 02111, 6175354766 -
0 ($0.00) Unallocated (Universal) Shelf, (File 333-144683 - Jul. 19)
(BR. 05B)
S-1 ENTHRUST FINANCIAL SERVICES INC, 47 SCHOOL AVENUE, CHATHAM, NJ, 07928,
9736354047 - 0 ($86,250,000.00) Equity, (File 333-144684 - Jul. 19)
(BR. 11A)
S-3 Western Goldfields Inc., 2 BLOOR STREET, SUITE 2102, P.O. BOX 110,
TORONTO, A6, M4W 3E2, (416) 324-6000 -
6,056,180 ($15,806,629.80) Equity, (File 333-144685 - Jul. 19) (BR. 04)
S-4 PNC FINANCIAL SERVICES GROUP INC, ONE PNC PLAZA, 249 FIFTH AVENUE,
PITTSBURGH, PA, 15222, 412-762-2000 - 0 ($103,994,966.00) Equity,
(File 333-144686 - Jul. 19) (BR. 07B)
F-1 Paragon Shipping Inc., VOULA CENTER, 102-104 V. PAVLOU STREET,
VOULA 16673, ATHENS, J3, 00000, 011-30-210-891-4600 -
0 ($201,250,000.00) Equity, (File 333-144687 - Jul. 19) (BR. 05C)
S-3 VASCULAR SOLUTIONS INC, 6464 SYCAMORE COURT NORTH, MINNEAPOLIS, MN,
55369, 7636564300 - 2,319,713 ($22,338,836.00) Equity,
(File 333-144688 - Jul. 19) (BR. 10C)
S-8 UNITED BANCORPORATION OF ALABAMA INC, P O BOX DRAWER 8, ATMORE, AL,
36502, 2053682525 - 308,000 ($6,160,000.00) Equity, (File 333-144689 -
Jul. 19) (BR. 07C)
S-8 ALLSTATE CORP, 2775 SANDERS ROAD, NORTHBROOK, IL, 60062, 8474025000 -
0 ($30,000,000.00) Other, (File 333-144691 - Jul. 19) (BR. 01A)
S-8 ALLSTATE CORP, 2775 SANDERS ROAD, NORTHBROOK, IL, 60062, 8474025000 -
0 ($70,000,000.00) Other, (File 333-144692 - Jul. 19) (BR. 01A)
S-8 ALLSTATE CORP, 2775 SANDERS ROAD, NORTHBROOK, IL, 60062, 8474025000 -
0 ($613,100,000.00) Equity, (File 333-144693 - Jul. 19) (BR. 01A)
S-8 RENASANT CORP, 209 TROY ST, P O BOX 709, TUPELO, MS, 38802,
6016801001 - 265,000 ($3,069,250.00) Equity, (File 333-144694 -
Jul. 19) (BR. 07B)
S-3 MICROMET, INC., 2110 RUTHERFORD, ROAD, CARLSBAD, CA, 92008,
7604944200 - 0 ($38,848,433.00) Equity, (File 333-144695 - Jul. 19)
(BR. 01A)
S-3D CITIZENS SOUTH BANKING CORP, 245 WEST MAIN AVENUE, GASTONIA, NC,
28052-4140, 7048685200 - 2,000,000 ($25,540,000.00) Other,
(File 333-144696 - Jul. 19) (BR. 07C)
S-8 MF Global Ltd., 717 FIFTH AVENUE, 9TH FLOOR, NEW YORK, NY, 10022,
(441) 295-5950 - 0 ($756,000,000.00) Equity, (File 333-144697 -
Jul. 19) (BR. 06C)
S-8 AMERICAN TECHNOLOGY CORP /DE/, 15378 AVENUE OF SCIENCE, SUITE 100,
SAN DIEGO, CA, 92128, 858-676-1112 - 0 ($6,437,500.00) Equity,
(File 333-144698 - Jul. 19) (BR. 11B)
S-3 NORTHWEST INDIANA BANCORP, 9204 COLUMBIA AVE, MUNSTER, IN, 46321,
2198369690 - 200,000 ($6,148,000.00) Equity, (File 333-144699 -
Jul. 19) (BR. 07B)
S-8 SOVEREIGN BANCORP INC, 1500 MARKET ST, PHILADELPHIA, PA, 19102,
2155574630 - 1,000,000 ($21,950,000.00) Equity, (File 333-144700 -
Jul. 19) (BR. 07C)
S-8 INTERACTIVE SYSTEMS WORLDWIDE INC /DE, TWO ANDREWS DR, SECOND FL,
WEST PATERSON, NJ, 07424, 9732568181 - 1,478,034 ($634,694.00) Equity,
(File 333-144701 - Jul. 19) (BR. 03B)
SB-2 NEW CENTURY COMPANIES INC, 11111 SANTA MONICA BLVD, SUITE 210,
BEVERLY HILLS, CA, 90210, 3109143007 -
3,000,000 ($1,980,000.00) Equity, (File 333-144702 - Jul. 19) (BR. 10B)
S-3 ACCREDITED HOME LENDERS INC, 11000 BROKEN LAND PARKWAY,
NORWEST BANK MINNESOTA, COLUMBIA, MD, 21044, 8586762100 -
0 ($1,000,000.00) Mortgage Backed Securities, (File 333-144703 -
Jul. 19) (BR. 05)
S-1 United Refining Energy Corp, 823 ELEVENTH AVENUE, NEW YORK, NY, 10019,
212-956-5803 - 0 ($842,000,100.00) Equity, (File 333-144704 - Jul. 19)
(BR. )
S-8 Crocs, Inc., 6328 MONARCH PARK PLACE, NIWOT, CO, 80503, 3038487000 -
0 ($417,780,000.00) Equity, (File 333-144705 - Jul. 19) (BR. 06C)
S-3 MDI, INC., 10226 SAN PEDRO AVENUE, SAN ANTONIO, TX, 78216,
210-582-2664 - 5,456,122 ($7,147,520.00) Equity, (File 333-144706 -
Jul. 19) (BR. 10B)
S-8 NORTH STATE BANCORP, 6200 FALLS OF NEUSE RD, RALEIGH, NC, 27609,
9198559925 - 612,958 ($11,719,757.00) Equity, (File 333-144707 -
Jul. 19) (BR. 07C)
S-8 NORTH STATE BANCORP, 6200 FALLS OF NEUSE RD, RALEIGH, NC, 27609,
9198559925 - 176,279 ($3,370,455.00) Equity, (File 333-144708 -
Jul. 19) (BR. 07C)
S-8 ID SYSTEMS INC, ONE UNIVERSITY PLAZA, HACKENSACK, NJ, 07601,
2016709000 - 0 ($23,642,850.00) Equity, (File 333-144709 - Jul. 19)
(BR. 08B)
S-8 NORTH STATE BANCORP, 6200 FALLS OF NEUSE RD, RALEIGH, NC, 27609,
9198559925 - 100,000 ($1,912,000.00) Equity, (File 333-144710 -
Jul. 19) (BR. 07C)
S-8 Encore Bancshares Inc, NINE GREENWAY PLAZA SUITE 1000, HOUSTON, TX,
77046, 713.787.3118 - 1,489,000 ($33,070,690.00) Equity,
(File 333-144713 - Jul. 19) (BR. 07)
S-1 FIRST SOLAR, INC., 4050 EAST COTTON CENTER BLVD, BUILDING 6, SUITE 68,
PHOENIX, AZ, 85040, (602) 414-9300 -
11,097,500 ($1,240,367,575.00) Equity, (File 333-144714 - Jul. 19)
(BR. 10B)
S-8 NETEZZA CORP, 200 CROSSING BOULEVARD, FRAMINGHAM, MA, 01702,
(508) 665-6800 - 10,678,473 ($48,159,913.23) Equity, (File 333-144715 -
Jul. 19) (BR. 03C)
S-1 Quest Energy Partners, L.P., 9520 N. MAY, SUITE 300, OKLAHOMA CITY, OK,
73120, 405-488-1304 - 0 ($211,312,500.00) Equity, (File 333-144716 -
Jul. 19) (BR. )
S-4 ARCHSTONE SMITH OPERATING TRUST, 9200 E PANORAMA CIRCLE, STE 400,
ENGLEWOOD, CO, 80112, 3037085959 - 0 ($1,653,555,647.25) Other,
(File 333-144717 - Jul. 19) (BR. 08A)
S-1 Golden Pond Healthcare, Inc., 18 ARROWHEAD WAY, DARIEN, CT, 06820,
203-655-3215 - 0 ($251,562,500.00) Other, (File 333-144718 - Jul. 19)
(BR. )
S-3 INTERNATIONAL ASSETS HOLDING CORP, 220 CENTRAL PARKWAY, SUITE 2060,
ALTAMONTE SPRINGS, FL, 32701, 407-741-5334 - 0 ($1,883,593.75) Equity,
(File 333-144719 - Jul. 19) (BR. 06A)
RECENT 8K FILINGS
Form 8-K is used by companies to file current reports on the following
events:
1.01 Entry into a Material Definitive Agreement
1.02 Termination of a Material Definitive Agreement
1.03 Bankruptcy or Receivership
2.01 Completion of Acquisition or Disposition of Assets
2.02 Results of Operations and Financial Condition
2.03 Creation of a Direct Financial Obligation or an Obligation under an
Off-Balance Sheet Arrangement of a Registrant
2.04 Triggering Events That Accelerate or Increase a Direct Financial Obligation
under an Off-Balance Sheet Arrangement
2.05 Cost Associated with Exit or Disposal Activities
2.06 Material Impairments
3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or
Standard; Transfer of Listing
3.02 Unregistered Sales of Equity Securities
3.03 Material Modifications to Rights of Security Holders
4.01 Changes in Registrant's Certifying Accountant
4.02 Non-Reliance on Previously Issued Financial Statements or a Related Audit
Report or Completed Interim Review
5.01 Changes in Control of Registrant
5.02 Departure of Directors or Principal Officers; Election of Directors;
Appointment of Principal Officers
5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
5.04 Temporary Suspension of Trading Under Registrant's Employee Benefit Plans
5.05 Amendments to the Registrant's Code of Ethics, or Waiver of a
Provision of the Code of Ethics
6.01. ABS Informational and Computational Material.
6.02. Change of Servicer or Trustee.
6.03. Change in Credit Enhancement or Other External Support.
6.04. Failure to Make a Required Distribution.
6.05. Securities Act Updating Disclosure.
7.01 Regulation FD Disclosure
8.01 Other Events
9.01 Financial Statements and Exhibits
8-K reports may be obtained in person or by writing to the
Commission's Public Reference Branch at 100 F Street, N.E.,
Washington, D.C. 20549-1090 or at the following e-mail box address:
<publicinfo@sec.gov>. In most cases, this information is also
available on the Commission's website: <www.sec.gov>.
STATE
NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT
-------------------------------------------------------------------------------------------------------
Abraxis BioScience, Inc. DE 5.02,9.01 07/14/07
ACUITY BRANDS INC DE 8.01,9.01 07/17/07
ADVANCED MICRO DEVICES INC DE 2.02,7.01,9.01 07/19/07
AEI INCOME & GROWTH FUND 24 LLC DE 2.01,9.01 07/13/07
AFS SenSub Corp. 1.01,9.01 07/17/07
Akeena Solar, Inc. DE 5.02,8.01,9.01 07/18/07
ALBANY INTERNATIONAL CORP /DE/ DE 2.05 07/16/07
Alexza Pharmaceuticals Inc. DE 5.02 07/18/07
Alliance Bancorp Trust 2007-OA1 1.03,9.01 07/13/07
ALLSTATE CORP DE 2.02,9.01 07/18/07
Alternative Loan Trust 2007-18CB DE 8.01,9.01 06/29/07
AMCON DISTRIBUTING CO DE 2.02,9.01 07/19/07
AMERICAN MEDIA OPERATIONS INC DE 5.02 07/18/07
American Natural Energy Corp OK 7.01,9.01 07/05/07
AMERICAN RIVER BANKSHARES CA 2.02,9.01 07/19/07
AMERICAN RIVER BANKSHARES CA 7.01,9.01 07/19/07
American Telecom Services Inc 8.01,9.01 07/18/07
AMERICREDIT CORP TX 1.01,9.01 07/17/07
AMPEX CORP /DE/ DE 2.04,9.01 07/19/07
AMS HEALTH SCIENCES INC OK 3.01 07/19/07
ANNAPOLIS BANCORP INC MD 8.01,9.01 07/16/07
ARAMARK CORP DE 5.02,9.01 07/18/07
ARBITRON INC DE 2.02,9.01 07/19/07
ARCADIA RESOURCES, INC NV 5.02,9.01 07/13/07
ARENA PHARMACEUTICALS INC DE 2.02,9.01 07/19/07
ARROW INTERNATIONAL INC PA 5.02,9.01 07/13/07
ASSOCIATED BANC-CORP WI 2.02,9.01 07/19/07
ASSURANT INC 8.01,9.01 07/18/07
ASTORIA FINANCIAL CORP DE 2.02,9.01 07/18/07
ATHEROGENICS INC GA 8.01 07/19/07
ATLANTIC BANCGROUP INC FL 2.02,9.01 07/19/07
ATLANTIC SYNDICATION NETWORK INC NV 5.02 07/13/07
AUBURN NATIONAL BANCORPORATION INC DE 2.02,9.01 07/18/07
AURELIO RESOURCE CORP NV 8.01,9.01 07/19/07
AVICI SYSTEMS INC DE 2.02,9.01 07/19/07
AVID TECHNOLOGY INC DE 2.02,5.02,9.01 07/15/07
AVITAR INC /DE/ DE 1.01,9.01 07/13/07
BA Credit Card Funding, LLC DE 8.01,9.01 07/19/07
Bancorp, Inc. 1.01,9.01 07/13/07
BANK OF AMERICA CORP /DE/ DE 2.02,7.01,8.01,9.01 07/19/07
BAXTER INTERNATIONAL INC DE 2.02,9.01 07/19/07
BB&T CORP NC 2.02,9.01 06/30/07
BCAPB LLC Trust 2007-AB1 8.01,9.01 07/19/07
BEACH FIRST NATIONAL BANCSHARES INC SC 2.02,9.01 07/19/07
Bear Stearns Asset Backed Securities DE 9.01 07/13/07
Bear Stearns Mortgage Funding Trust 2 DE 8.01,9.01 06/29/07
BEIJING MED PHARM CORP 1.01,9.01 07/14/07
BIOFIELD CORP \DE\ DE 5.02,8.01 07/19/07
BIOMARIN PHARMACEUTICAL INC DE 1.01 07/16/07
BJs RESTAURANTS INC CA 8.01,9.01 07/18/07
BJs RESTAURANTS INC CA 8.01,9.01 07/19/07
BMB MUNAI INC 1.01,2.03,3.02,9.01 07/13/07
BON TON STORES INC PA 5.02,9.01 07/19/07
Bridge Capital Holdings CA 2.02,9.01 07/19/07
Bridge Capital Holdings CA 2.02,9.01 07/19/07
BROADCOM CORP CA 2.02,9.01 07/19/07
BROOKE CORP KS 2.01,5.02,9.01 07/18/07
BWAY Holding CO DE 7.01 07/19/07
CALIFORNIA MICRO DEVICES CORP CA 2.02,9.01 07/19/07
CALIPER LIFE SCIENCES INC DE 5.02 07/16/07
CALLAWAY GOLF CO DE 2.02,9.01 07/18/07
CAMERON INTERNATIONAL CORP DE 1.01,5.02,9.01 07/16/07
CanAm Uranium Corp NV 3.03,5.03,8.01,9.01 07/09/07
CAPITAL ONE FINANCIAL CORP DE 2.02,7.01,8.01,9.01 07/19/07
CAPITOL BANCORP LTD MI 2.02 07/19/07
CAPTECH FINANCIAL GROUP, INC FL 5.03,9.01 07/16/07
CARBO CERAMICS INC DE 5.02 07/17/07
Cardinal Ethanol LLC 1.01 07/16/07
CardioVascular BioTherapeutics, Inc. DE 8.01 07/18/07
CARRINGTON LABORATORIES INC /TX/ TX 8.01,9.01 07/19/07
CARTOON ACQUISITION, INC. DE 4.01,9.01 07/02/04 AMEND
CASCADE BANCORP OR 2.02,9.01 07/17/07
CATERPILLAR INC DE 7.01 07/19/07
Celanese CORP DE 7.01,8.01,9.01 07/19/07
Celsia Technologies, Inc. NV 1.01,3.02,5.02 07/13/07
CERIDIAN CORP /DE/ DE 8.01,9.01 07/16/07
CF Industries Holdings, Inc. DE 5.02 07/18/07
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 07/19/07
Cheniere Energy Partners, L.P. DE 8.01,9.01 07/19/07
CHINA FUND INC MD 7.01,9.01 06/01/07
CHITTENDEN CORP /VT/ VT 2.02,9.01 07/19/07
CHL Mortgage Pass-Through Trust 2007- DE 8.01,9.01 06/28/07
CIB MARINE BANCSHARES INC WI 7.01 07/19/07
CITIZENS REPUBLIC BANCORP, INC. MI 2.02,9.01 07/19/07
CKE RESTAURANTS INC DE 7.01,9.01 07/17/07
CLAIBORNE LIZ INC DE 5.02 07/13/07
CLEARWIRE CORP 7.01,9.01 07/19/07
CNB CORP /MI/ MI 5.02,8.01,9.01 07/19/07
COMARCO INC CA 5.02,5.03,9.01 07/19/07
COMMONWEALTH BANKSHARES INC VA 8.01,9.01 07/19/07
COMMUNITY BANK SYSTEM INC DE 2.02,9.01 07/18/07
Con-way Inc. DE 2.02,9.01 06/30/07
CONAGRA FOODS INC /DE/ DE 5.02 07/19/07 AMEND
CONSOLIDATED TOMOKA LAND CO FL 9.01 07/18/07
CONTINENTAL AIRLINES INC /DE/ DE 2.02,7.01,9.01 07/19/07
COOPER INDUSTRIES LTD 2.02,9.01 07/19/07
Copano Energy, L.L.C. DE 8.01,9.01 07/18/07
COPART INC CA 5.02,9.01 07/18/07
CORE MOLDING TECHNOLOGIES INC DE 1.01,2.03,3.03,5.03,8.01,9.01 07/16/07
CORINTHIAN COLLEGES INC 5.02 07/13/07
CORNERSTONE BANCSHARES INC TN 2.02,9.01 07/19/07
CORNING INC /NY NY 8.01 07/18/07
COTT CORP /CN/ 1.01,2.02,9.01 07/17/07
CROSS COUNTRY HEALTHCARE INC DE 8.01,9.01 07/18/07
CTS CORP IN 5.02 07/18/07 AMEND
CYBERONICS INC DE 5.02 07/13/07
CYBERSOURCE CORP DE 2.02,9.01 07/19/07
CYPRESS SEMICONDUCTOR CORP /DE/ DE 2.02,9.01 07/19/07
CYTEC INDUSTRIES INC/DE/ DE 2.02,9.01 07/19/07
DANAHER CORP /DE/ DE 2.02,9.01 07/18/07
DCB FINANCIAL CORP OH 2.02,9.01 07/19/07
DEER VALLEY CORP 4.01,9.01 07/16/07
Deerfield Triarc Capital Corp MD 7.01,8.01,9.01 07/19/07
DELPHI CORP DE 2.05,8.01,9.01 07/13/07
DELTA WOODSIDE INDUSTRIES INC /SC/ SC 1.01,5.02,7.01,9.01 07/18/07
DESTINY MEDIA TECHNOLOGIES INC CO 5.02 07/16/07
DEVON ENERGY CORP/DE DE 8.01,9.01 07/18/07
DIGITAL RECORDERS INC NC 7.01,9.01 07/19/07
DOLLAR FINANCIAL CORP DE 5.02,9.01 07/13/07
Double-Take Software, Inc. DE 8.01,9.01 07/19/07
DOW JONES & CO INC DE 2.02,9.01 07/19/07
DOW JONES & CO INC DE 5.02,9.01 07/19/07
Dresser-Rand Group Inc. DE 5.02,9.01 07/16/07
DST SYSTEMS INC DE 2.02,5.02,9.01 07/17/07
DYNABAZAAR INC DE 8.01,9.01 07/18/07
DYNEGY INC. DE 7.01,9.01 07/18/07
EAGLE BANCORP INC MD 2.02,7.01,9.01 07/19/07
EAGLE BANCORP/MT 2.02 07/19/07
EAGLE FINANCIAL SERVICES INC VA 2.02,9.01 07/19/07
EAST WEST BANCORP INC 2.02,9.01 06/30/07
EMC INSURANCE GROUP INC IA 7.01 07/19/07
ENTERGY CORP /DE/ DE 2.02,9.01 07/19/07
ENVIRONMENTAL SERVICE PROFESSIONALS, NV 4.02,9.01 07/18/07 AMEND
ENVIRONMENTAL TECTONICS CORP PA 2.02,3.01,9.01 07/16/07
EPLUS INC DE 3.01,9.01 07/18/07
EquiFirst Loan Securitization Trust 2 8.01,9.01 06/27/07
EQUINIX INC DE 1.01,7.01,9.01 07/18/07
ESB FINANCIAL CORP PA 2.02,9.01 07/18/07
ESCHELON TELECOM INC 8.01,9.01 07/18/07
EXAR CORP DE 2.02,8.01,9.01 07/19/07
FAIRCHILD SEMICONDUCTOR INTERNATIONAL DE 2.02 07/19/07
FAIRPOINT COMMUNICATIONS INC DE 5.02,8.01,9.01 07/19/07
Federal Home Loan Bank of Atlanta X1 2.03 07/16/07
Federal Home Loan Bank of Boston X1 2.03 07/16/07
Federal Home Loan Bank of Chicago X1 2.03 07/16/07
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 07/17/07
Federal Home Loan Bank of Dallas 2.03 07/13/07
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 07/16/07
Federal Home Loan Bank of New York X1 2.02,2.03,8.01,9.01 07/16/07
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 07/16/07
Federal Home Loan Bank of San Francis X1 2.03 07/16/07
Federal Home Loan Bank of Seattle 2.03 07/18/07
Federal Home Loan Bank of Topeka 2.03 07/16/07
FIDELITY BANCORP INC PA 2.02,8.01,9.01 07/18/07
FIFTH THIRD BANCORP OH 2.02,7.01,9.01 07/19/07
FIRST BUSEY CORP /NV/ NV 2.02,9.01 07/17/07
FIRST COMMUNITY BANCORP /CA/ CA 2.02,9.01 07/17/07
FIRST DATA CORP DE 2.02,9.01 07/19/07
FIRST FINANCIAL CORP /IN/ IN 2.02,9.01 07/19/07
FIRST FINANCIAL HOLDINGS INC /DE/ DE 2.02,9.01 07/19/07
FIRST HORIZON NATIONAL CORP TN 2.02,9.01 06/30/07
FIRST HORIZON NATIONAL CORP TN 7.01,9.01 06/30/07
FIRST M&F CORP/MS MS 2.02,7.01,9.01 07/18/07
FIRSTPLUS FINANCIAL GROUP INC NV 8.01,9.01 07/18/07
FLEETWOOD ENTERPRISES INC/DE/ DE 2.02,9.01 07/12/07
FLORIDA ROCK INDUSTRIES INC FL 7.01,9.01 07/19/07
FNB CORP/FL/ FL 2.02,5.02,9.01 07/18/07
FRANKLIN FINANCIAL SERVICES CORP /PA/ PA 8.01,9.01 07/12/07
Freescale Semiconductor Holdings I, L D0 2.02,9.01 07/19/07
Fuel Systems Solutions, Inc. DE 1.01,9.01 07/18/07
GATEWAY FINANCIAL HOLDINGS INC NC 7.01 07/19/07
GEM SOLUTIONS, INC. DE 1.01,2.03,9.01 07/13/07
GEN PROBE INC DE 8.01 07/17/07
GENCO SHIPPING & TRADING LTD 7.01 07/19/07
GENERAL MOTORS CORP DE 8.01 07/19/07
Geneva Resources, Inc. NV 5.02,8.01,9.01 07/12/07
GENUINE PARTS CO GA 2.02,9.01 07/19/07
GILEAD SCIENCES INC DE 2.02,9.01 07/19/07
GOLDEN TELECOM INC DE 3.02,9.01 07/17/07
Google Inc. DE 2.02,8.01,9.01 07/19/07
GRAMERCY CAPITAL CORP MD 2.02,7.01,8.01,9.01 07/18/07
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 07/13/07 AMEND
GREENE COUNTY BANCORP INC DE 8.01 07/18/07
GS FINANCIAL CORP LA 7.01,9.01 07/18/07
GTA-IB, LLC FL 1.01,1.02 07/13/07
GULFPORT ENERGY CORP DE 1.01,2.03,9.01 07/19/07
HAIGHTS CROSS COMMUNICATIONS INC DE 8.01,9.01 07/18/07
HANOVER COMPRESSOR CO / DE 8.01,9.01 07/19/07
HARLEY DAVIDSON INC WI 2.02,9.01 07/19/07
HARLEYSVILLE NATIONAL CORP PA 2.02,9.01 07/19/07
HARLEYSVILLE NATIONAL CORP PA 5.02,9.01 07/19/07
Heritage Financial Group DC 2.02,8.01,9.01 07/17/07
HERSHEY CO DE 2.02,9.01 07/01/07
HERSHEY CO DE 5.02,9.01 07/19/07
HERSHEY CO DE 1.01,9.01 07/19/07
HINES HORTICULTURE INC DE 3.01,5.02 07/17/07
HINES HORTICULTURE INC DE 3.01,7.01,9.01 07/13/07
HNI CORP IA 2.02,9.01 07/19/07
HOLLYWOOD MEDIA CORP FL 1.01,9.01 07/16/07
HOME BANCSHARES INC 2.02,7.01 07/19/07
HOME FEDERAL BANCORP INC 2.02,9.01 07/19/07
HONEYWELL INTERNATIONAL INC DE 2.02,9.01 07/19/07
HORIZON BANCORP /IN/ IN 5.02,9.01 07/16/07
HORIZON FINANCIAL CORP WA 2.02,9.01 07/19/07
HOUSEHOLD AFFINITY CREDIT CARD MASTER DE 9.01 07/16/07
HUNTINGTON BANCSHARES INC/MD MD 2.02,9.01 07/19/07
HUTTON HOLDINGS CORP NV 4.01,9.01 07/18/07
I FLOW CORP /DE/ DE 1.01,9.01 07/16/07
ILLINOIS TOOL WORKS INC DE 2.02,9.01 06/30/07
ILLUMINA INC DE 9.01 01/26/07
IMATION CORP DE 2.02,7.01,9.01 07/19/07
IMPERIAL OIL LTD 8.01,9.01 07/19/07
INDEPENDENT BANK CORP MI 2.02,7.01,9.01 07/19/07
INDUSTRIAL MINERALS INC DE 3.02 07/09/07 AMEND
INFORMATICA CORP DE 2.02,9.01 07/19/07
INSIGNIA SYSTEMS INC/MN MN 2.02,9.01 07/18/07
INSTEEL INDUSTRIES INC NC 2.02,9.01 07/19/07
Integrated Management Information, In 5.02 07/18/07
INTEGRATED SURGICAL SYSTEMS INC DE 5.02 07/16/07
IntelGenx Technologies Corp. DE 5.02 07/19/07
INTERNATIONAL BUSINESS MACHINES CORP NY 2.02 07/18/07
INTERNATIONAL GAME TECHNOLOGY NV 2.02 07/19/07
INTERNATIONAL RECTIFIER CORP /DE/ DE 7.01 07/13/07
INTERWOVEN INC CA 2.02,9.01 07/19/07
INTUITIVE SURGICAL INC DE 2.02,9.01 07/19/07
INVENDA CORP DE 1.01,9.01 07/19/07
IPORUSSIA INC DE 4.01,9.01 07/17/07
ISOLAGEN INC DE 7.01 07/19/07
ITT CORP IN 5.02,9.01 07/18/07
J P MORGAN CHASE & CO DE 7.01,9.01 07/19/07
J.P. Morgan Mortgage Acquisition Trus DE 8.01,9.01 07/19/07 AMEND
J.P. Morgan Mortgage Acquisition Trus DE 8.01,9.01 07/19/07 AMEND
JAKKS PACIFIC INC DE 5.02,9.01 07/17/07
Jazz Technologies, Inc. DE 2.02,7.01,9.01 07/16/07
JK Acquisition Corp. 8.01 07/16/07
JOHNSON CONTROLS INC WI 2.02,7.01,9.01 07/18/07
JUNIATA VALLEY FINANCIAL CORP PA 2.02,8.01 07/19/07
K TEL INTERNATIONAL INC MN 8.01,9.01 07/17/07
K2 INC DE 8.01,9.01 07/18/07
KELLOGG CO DE 2.05 07/19/07
KELLWOOD CO DE 2.01,9.01 07/13/07
KINDRED HEALTHCARE, INC DE 1.01,8.01,9.01 07/18/07
KINETIC CONCEPTS INC /TX/ TX 5.02 07/17/07
KING PHARMACEUTICALS INC TN 1.01,8.01,9.01 07/14/07
KITTY HAWK INC DE 7.01,9.01 07/19/07
KLEVER MARKETING INC DE 7.01 06/19/07
KNIGHT TRANSPORTATION INC AZ 2.02,9.01 07/18/07
KVH INDUSTRIES INC \DE\ DE 2.02,9.01 07/19/07
L-1 IDENTITY SOLUTIONS, INC. DE 2.01,3.02 07/13/07
LANDSTAR SYSTEM INC DE 2.02,5.02,9.01 07/19/07
LEESPORT FINANCIAL CORP PA 5.02,9.01 07/13/07
LEGGETT & PLATT INC MO 2.02,9.01 07/19/07
Lehman XS Trust 2007-10H DE 8.01,9.01 06/29/07 AMEND
Lexaria Corp. 3.02 07/19/07
LQ CORP INC DE 8.01,9.01 07/18/07
LSB BANCSHARES INC /NC/ NC 2.02,8.01,9.01 07/19/07
LUBYS INC DE 1.01,1.02,2.03,9.01 07/19/07
LYONDELL CHEMICAL CO DE 1.01,9.01 07/16/07
M&T BANK CORP NY 1.01,8.01,9.01 07/18/07
MAGELLAN HEALTH SERVICES INC DE 8.01 07/17/07
MANPOWER INC /WI/ WI 2.02,9.01 07/19/07
MARCUS CORP WI 5.02,9.01 07/18/07
McAfee, Inc. DE 5.02 07/13/07
MCCLATCHY CO DE 9.01 07/18/07
MCMORAN EXPLORATION CO /DE/ DE 2.02,9.01 07/19/07
MEADE INSTRUMENTS CORP DE 8.01,9.01 07/12/07
MEADOWBROOK INSURANCE GROUP INC MI 8.01,9.01 07/19/07
MEDIA GENERAL INC VA 2.02,9.01 07/19/07
MEDIS TECHNOLOGIES LTD DE 1.01 07/17/07
Mercantile Bancorp, Inc. DE 1.01,2.02,2.03,9.01 07/18/07
MERIX CORP OR 2.05 07/13/07
MGIC INVESTMENT CORP WI 2.02,9.01 07/19/07
MICROSOFT CORP WA 2.02,9.01 07/19/07
MIDCAROLINA FINANCIAL CORP NC 8.01,9.01 07/19/07
MIDLAND CO OH 2.02,9.01 07/19/07
Millennium India Acquisition CO Inc. DE 7.01,8.01,9.01 07/19/07
MISSION WEST PROPERTIES INC CA 2.02 07/18/07
MOBILEPRO CORP DE 1.01,8.01,9.01 07/18/07
MODENA I INC DE 4.01,9.01 07/18/07
Mogul Energy International, Inc. DE 7.01,9.01 07/12/07
MOHAWK INDUSTRIES INC DE 2.02,9.01 07/19/07
MONMOUTH REAL ESTATE INVESTMENT CORP MD 7.01,9.01 07/18/07
MOTOROLA INC DE 2.02,9.01 07/19/07
MS STRUCTURED SATURNS SERIES 2001-7 DE 8.01,9.01 07/16/07
MS STRUCTURED SATURNS SERIES 2002-10 DE 8.01,9.01 07/16/07
MS STRUCTURED SATURNS SERIES 2002-5 DE 8.01,9.01 07/16/07
MS STRUCTURED SATURNS SERIES 2003-13 DE 8.01,9.01 07/16/07
MS STRUCTURED SATURNS SERIES 2003-16 DE 8.01,9.01 07/16/07
MS STRUCTURED SATURNS SERIES 2003-5 DE 8.01,9.01 07/16/07
MS STRUCTURED SATURNS SERIES 2003-7 DE 8.01,9.01 07/16/07
MS STRUCTURED SATURNS SERIES 2003-9 DE 8.01,9.01 07/16/07
MultiCell Technologies, Inc. DE 1.02,9.01 07/18/07
NABI BIOPHARMACEUTICALS DE 5.02 07/16/07
NANOSENSORS INC 5.02,9.01 07/17/07
NASDAQ STOCK MARKET INC DE 2.02,9.01 07/19/07
NASH FINCH CO DE 2.02,9.01 07/19/07
NATIONAL BANKSHARES INC VA 2.02,9.01 04/30/07
NATIONAL PENN BANCSHARES INC PA 2.02,7.01 07/19/07
NATURADE INC DE 1.03 07/19/07
Naugatuck Valley Financial Corp X1 2.02,9.01 07/19/07
Neenah Paper Inc DE 8.01,9.01 07/19/07
NEWMONT MINING CORP /DE/ DE 5.02 06/04/07 AMEND
NEXIA HOLDINGS INC NV 4.01 07/19/07
NIKE INC OR 1.01,9.01 07/19/07
NOBLE CORP 2.02,9.01 07/19/07
NORTHERN TRUST CORP DE 5.03,9.01 07/17/07
NT MEDIA CORP OF CALIFORNIA INC DE 8.01,9.01 07/18/07
NUCOR CORP DE 2.02,9.01 07/19/07
O2DIESEL CORP 1.01 07/17/07
OAKLEY INC WA 2.02 07/19/07
Oasys Mobile, Inc. DE 1.03,9.01 07/18/07
OMNICELL, Inc CA 2.02,9.01 07/19/07
Oncologix Tech Inc. NV 8.01,9.01 07/16/07
ORASURE TECHNOLOGIES INC DE 7.01,9.01 07/19/07
OSHKOSH TRUCK CORP WI 5.02 05/15/07 AMEND
OSI PHARMACEUTICALS INC DE 8.01 07/19/07
PACKAGING CORP OF AMERICA 2.02,9.01 07/18/07
PACKETEER INC DE 2.02,9.01 07/19/07
PALL CORP NY 8.01,9.01 07/19/07
PAR PHARMACEUTICAL COMPANIES, INC. DE 5.02 07/17/07
PARALLEL PETROLEUM CORP DE 8.01,9.01 07/19/07
Park Place Energy Corp. NV 1.01,9.01 07/04/07
PARTNERS TRUST FINANCIAL GROUP INC 1.01,5.02,9.01 07/19/07
PEOPLES BANCORP IN 9.01 06/30/07
PEOPLES BANCORP OF NORTH CAROLINA INC NC 2.02,9.01 07/16/07
PERFORMANCE TECHNOLOGIES INC \DE\ DE 8.01,9.01 07/16/07
PETER KIEWIT SONS INC /DE/ DE 5.02 07/16/07
PHOENIX TECHNOLOGIES LTD DE 2.02,9.01 07/19/07
PIERRE FOODS INC NC 2.02,9.01 07/18/07
PMC SIERRA INC DE 2.02,9.01 07/19/07
PNC FINANCIAL SERVICES GROUP INC PA 2.02,9.01 07/19/07
PNC FINANCIAL SERVICES GROUP INC PA 2.02,9.01 07/19/07
PNC FINANCIAL SERVICES GROUP INC PA 2.02,9.01 07/19/07
POLYCOM INC DE 2.02,9.01 07/19/07
POLYMEDICA CORP MA 5.02 07/18/07
POLYONE CORP 5.02 07/16/07
POOL CORP DE 2.02,7.01,9.01 07/19/07
POPULAR INC 2.02,9.01 07/18/07
PPG INDUSTRIES INC PA 2.02,9.01 07/19/07
PPG INDUSTRIES INC PA 1.01,9.01 07/19/07
PREMIERWEST BANCORP OR 2.02,9.01 07/19/07
Prescient Applied Intelligence, Inc. DE 1.02,9.01 07/17/07
PRICE COMMUNICATIONS CORP NY 8.01,9.01 07/18/07
Pricester.Com, Inc. NV 5.02 07/13/07
PROCERA NETWORKS INC NV 1.01,3.02,8.01,9.01 07/17/07
Promotora Valle Hermosa CORP FL 8.01,9.01 07/15/07
PROSPECT MEDICAL HOLDINGS INC DE 5.02 07/14/07
PROVIDENT BANKSHARES CORP MD 2.02,9.01 07/19/07
PURE VANILLA EXCHANGE INC NV 1.01,3.02,9.01 07/11/07
QUADRAMED CORP DE 5.02,9.01 07/16/07
Quest Minerals & Mining Corp UT 4.02,9.01 07/19/07
QUOVADX INC DE 8.01,9.01 07/18/07
RAIT Financial Trust MD 2.02,7.01,9.01 07/19/07
REGAL BELOIT CORP WI 5.02,9.01 07/18/07
REGIONS FINANCIAL CORP DE 5.03,9.01 07/19/07
REIDCO ACQUISITION I INC DE 4.01,9.01 06/11/07 AMEND
REIT AMERICAS, INC. MD 1.01,8.01,9.01 07/13/07
RELIANCE STEEL & ALUMINUM CO CA 2.02,9.01 07/19/07
REPUBLIC BANCORP INC /KY/ KY 7.01,9.01 07/19/07
RG America, Inc. NV 5.02 07/19/07
RIVER VALLEY BANCORP IN 2.02,9.01 07/17/07
RIVERVIEW BANCORP INC WA 2.02,9.01 07/17/07
RLI CORP IL 7.01,9.01 07/18/07
ROYALITE PETROLEUM CO INC. NV 4.01,9.01 07/17/07
RPM TECHNOLOGIES INC DE 1.01,2.03,3.02,9.01 07/13/07
SAFEWAY INC DE 2.02,9.01 07/19/07
SALIX PHARMACEUTICALS LTD 8.01,9.01 07/19/07
SAN JOAQUIN BANCORP CA 2.02,9.01 07/17/07
SANDISK CORP DE 2.02,9.01 07/19/07
SANDY SPRING BANCORP INC MD 2.02,9.01 07/19/07
SCHIFF NUTRITION INTERNATIONAL, INC. DE 2.02,5.02,8.01,9.01 07/19/07
SCHOLASTIC CORP DE 2.02,9.01 07/19/07
SCIELE PHARMA, INC. DE 8.01,9.01 07/12/07
SCIELE PHARMA, INC. DE 8.01,9.01 07/16/07
SEAGATE TECHNOLOGY E9 2.02,9.01 07/19/07
SENOMYX INC DE 1.01,9.01 07/18/07
Sensata Technologies B.V. P7 5.02,9.01 07/17/07
SHANDONG ZHOUYUAN SEED & NURSERY CO., DE 1.01,9.01 05/16/07
SHANDONG ZHOUYUAN SEED & NURSERY CO., DE 2.02,9.01 07/16/07
SHERWIN WILLIAMS CO OH 2.02,5.02,9.01 07/17/07
SHORE FINANCIAL CORP VA 7.01,9.01 07/17/07
SIMMONS FIRST NATIONAL CORP AR 2.02 07/19/07
SKYLYFT Media Group, Inc. DE 5.02 07/19/07
SLM FUNDING LLC DE 9.01 07/19/07
SONTRA MEDICAL CORP MN 1.01,3.02,9.01 07/16/07
SONTRA MEDICAL CORP MN 1.01,3.02,5.02,9.01 06/15/07 AMEND
SOUTH FINANCIAL GROUP INC SC 2.02,9.01 07/19/07
SOUTH TEXAS OIL CO NV 2.01,8.01,9.01 07/18/07
SOUTHERN COMMUNITY FINANCIAL CORP 2.02,9.01 07/19/07
SOUTHWEST BANCORP INC OK 2.02,7.01,9.01 07/19/07
SOVEREIGN BANCORP INC PA 2.02,9.01 07/18/07
Spansion Inc. DE 2.02,9.01 07/19/07
SPRINT NEXTEL CORP KS 7.01,9.01 07/19/07
STERLING FINANCIAL CORP /PA/ PA 1.01,8.01,9.01 07/19/07
STERLING FINANCIAL CORP /PA/ PA 8.01,9.01 07/19/07
STRYKER CORP MI 2.02,9.01 06/30/07
SUN BANCORP INC /NJ/ NJ 8.01,9.01 07/19/07
SUNPOWER CORP CA 9.01 07/19/07
SUNPOWER CORP CA 2.02,9.01 07/19/07
SUNTRUST BANKS INC GA 2.02,7.01,9.01 07/19/07
Sutura, Inc. 1.01,2.03,8.01,9.01 07/16/07
SVB FINANCIAL GROUP 2.02,9.01 07/18/07
SYCAMORE NETWORKS INC DE 2.02,9.01 07/19/07
SYMS CORP NJ 5.03,9.01 07/12/07
SYNALLOY CORP DE 2.02,9.01 07/19/07
SYSCO CORP DE 5.05,8.01,9.01 07/13/07
TD AMERITRADE HOLDING CORP DE 2.02,9.01 07/19/07
TEMPUR PEDIC INTERNATIONAL INC DE 2.02,7.01,9.01 07/19/07
TENNECO INC DE 8.01,9.01 07/19/07
Tennessee Commerce Bancorp, Inc. TN 2.02,7.01,9.01 07/19/07
Tennessee Commerce Bancorp, Inc. TN 5.02,7.01,9.01 07/16/07 AMEND
TERADYNE, INC MA 2.02,9.01 07/18/07
TEXTRON INC DE 2.02,8.01,9.01 07/19/07
THIRD WAVE TECHNOLOGIES INC /WI DE 1.01 07/13/07
THORNBURG MORTGAGE INC MD 2.02,9.01 07/19/07
TOLLGRADE COMMUNICATIONS INC \PA\ PA 2.02,9.01 07/18/07
TORVEC INC NY 1.01 07/18/07
TRACEGUARD TECHNOLOGIES, INC. 5.02,9.01 07/15/07
TREX CO INC DE 2.03,3.02,9.01 07/17/07
TRIARC COMPANIES INC DE 7.01 07/19/07
TRIMERIS INC DE 2.02,9.01 07/18/07
TRM CORP OR 2.02,7.01,9.01 07/18/07
TRX INC/GA GA 5.02 07/13/07
TRX INC/GA GA 1.01 07/13/07
UMPQUA HOLDINGS CORP OR 2.01,7.01,9.01 07/19/07
UMPQUA HOLDINGS CORP OR 2.02,7.01,9.01 07/19/07 AMEND
UNION PACIFIC CORP UT 2.02,9.01 07/19/07
UNION PACIFIC RAILROAD CO/DE DE 2.02,9.01 07/19/07
UNIONBANCAL CORP DE 2.02,9.01 07/19/07
UNITED COMMUNITY FINANCIAL CORP OH 2.02,9.01 07/19/07
UNITED RETAIL GROUP INC/DE DE 1.01,9.01 07/19/07
UNITEDHEALTH GROUP INC MN 2.02,9.01 07/19/07
UNIVERSAL COMPRESSION HOLDINGS INC DE 2.04,9.01 07/13/07
URANIUM RESOURCES INC /DE/ DE 8.01,9.01 07/19/07
Uranium Star Corp. NV 8.01,9.01 07/19/07
USA TRUCK INC DE 2.02 06/30/07
UTSTARCOM INC DE 5.03,8.01,9.01 07/18/07
uVuMobile, Inc 1.02,5.02,8.01 07/16/07
V F CORP PA 2.02,7.01,9.01 07/19/07
VALENTIS INC DE 2.01,4.01,5.01,5.02,5.06,8.01, 07/13/07
9.01
VALLEY NATIONAL BANCORP NJ 2.02,9.01 07/18/07
VALMONT INDUSTRIES INC DE 2.02,9.01 07/18/07
VASCULAR SOLUTIONS INC DE 2.02,9.01 07/19/07
VERIDIGM, INC. DE 4.01,5.02,9.01 07/02/07 AMEND
VERIZON COMMUNICATIONS INC DE 8.01 07/19/07
VERTRUE INC DE 1.01,8.01,9.01 07/18/07
VIRAGEN INC DE 2.04 07/13/07
VITRAN CORP INC 8.01 07/19/07
Vocalscape Networks, Inc. NV 3.02 07/16/07
VULCAN MATERIALS CO NJ 2.02,9.01 07/18/07
W&T OFFSHORE INC TX 7.01,8.01,9.01 07/19/07
WESCO INTERNATIONAL INC DE 2.02,9.01 07/19/07
WEST BANCORPORATION INC IA 2.02,9.01 07/19/07
WEST CORP DE 2.02,9.01 07/18/07
WESTAMERICA BANCORPORATION CA 2.02 07/17/07
Western Refining, Inc. DE 5.02,9.01 07/19/07
WESTFIELD FINANCIAL INC MA 2.02,7.01,9.01 07/18/07
WILLIAMS SCOTSMAN INTERNATIONAL INC DE 1.01,8.01,9.01 07/18/07
WORLD ACCEPTANCE CORP SC 7.01 07/19/07
Wornick CO DE 1.01,8.01,9.01 07/16/07
WVS FINANCIAL CORP PA 2.02,9.01 07/19/07
WYETH DE 2.02,9.01 07/19/07
XILINX INC DE 2.02,9.01 07/19/07
ZIM CORP A6 8.01 07/16/07
ZIONS BANCORPORATION /UT/ UT 2.02,9.01 07/19/07
ZULU ENERGY CORP. CO 5.02,9.01 07/18/07
http://www.sec.gov/news/digest/2007/dig072007.htm
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