 |
|
SEC NEWS DIGEST
Issue 2007-144 July 27, 2007
COMMISSION ANNOUNCEMENTS
JAMES OVERDAHL NAMED SEC CHIEF ECONOMIST TO HEAD OFFICE OF ECONOMIC
ANALYSIS
On July 26, the Commission announced that Dr. James A. Overdahl has
been named SEC Chief Economist and will lead the Commission's Office
of Economic Analysis. Dr. Overdahl has served as Chief Economist of
the Commodity Futures Trading Commission since 2002.
SEC Chairman Christopher Cox said, "The Commission is extremely
fortunate to welcome Jim back to the agency at this time. He will
bring deep and wide experience to the agency, and his considerable
experience as a federal regulator makes him ideally suited to ensure
that rigorous economic analysis is fully integrated into the
Commission's rulemaking and policymaking process."
Dr. Overdahl, a specialist in financial derivatives, is returning to
the SEC, where he served as a Senior Financial Economist in the Office
of Economic Analysis from 1989 to 1992. In addition, he has nearly two
decades of experience in senior positions at federal financial
regulatory agencies. As the CFTC's Chief Economist, he currently leads
an independent office with responsibility for providing expert
economic advice, including policy analysis, economic research, expert
testimony, and education. He previously served as Senior Financial
Economist in the Risk Analysis Division of the Office of the
Comptroller of the Currency for seven years, where he performed work
in risk assessment and testing of risk measurement models. He also
worked for four years as Senior Financial Economist in the CFTC's
Division of Economic Analysis, conducting research on derivative
instruments and assisting the Division of Enforcement at that agency.
Prior to his government service, Dr. Overdahl was an in-house
consultant for Strategic Petroleum, Inc., of Dallas, Texas, on issues
involving derivatives trading and asset management. He has taught
economics and finance at the University of Texas, Georgetown
University, and Johns Hopkins University, and is currently an adjunct
professor at George Washington University. He earned his Ph.D. in
Economics from Iowa State University in 1984.
Dr. Overdahl is the co-author of several leading financial books in
multiple editions, including "Financial Derivatives," "Futures,
Options, and Swaps," and "Understanding Futures Markets." He has
written extensively on derivatives, trading practices, options, stock
exchange regulation, and enforcement related issues, including in the
Journal of Law and Economics, The Business Lawyer, the Journal of
Derivatives, and the Journal of Financial and Quantitative Analysis.
Dr. Overdahl said, "I look forward to working with Chairman Cox and
the Commissioners on the many challenging policy issues before the
SEC. I am eager to expand upon the efforts of my predecessors in this
position to ensure that rigorous economic analysis is integrated into
all aspects of the SEC's operations."
Dr. Overdahl will start at the SEC on Aug. 6, 2007. He replaces
Chester Spatt, who is leaving the SEC at the end of July to return as
the Mellon Bank Professor of Finance and Director of the Center for
Financial Markets at Carnegie Mellon University's Tepper School of
Business. (Press Rel. 2007-150)
SEC GIVES REGULATORY APPROVAL FOR NASD AND NYSE CONSOLIDATION
On July 26, the Commission gave final regulatory approval related to
the consolidation of the member firm regulatory functions of the
National Association of Securities Dealers, Inc. and NYSE Regulation,
Inc., a wholly-owned subsidiary of New York Stock Exchange LLC. The
Commission approved rule changes that allow for the consolidation of
member firm regulation into a single, consolidated self-regulatory
organization. The consolidated organization will be known as the
Financial Industry Regulatory Authority, or FINRA.
The consolidation is intended to help streamline the broker-dealer
regulatory system, combine technologies, and permit the establishment
of a single set of rules governing membership matters, with the aim of
enhancing oversight of U.S. securities firms and assuring investor
protection.
FINRA will operate under SEC oversight. It will be responsible for
regulating all securities firms that do business with the public,
including with respect to professional training, testing and licensing
of registered persons, arbitration and mediation. FINRA also will be
responsible, by contract, for regulating The Nasdaq Stock Market,
Inc., the American Stock Exchange LLC, and the International
Securities Exchange, LLC. Finally, FINRA will be responsible for
operating industry utilities, such as trade reporting facilities and
other over-the-counter operations. NYSE Regulation, Inc. will continue
to be responsible for the regulatory oversight of trading on the NYSE.
SEC Chairman Christopher Cox said, "The consolidation of NASD's and
NYSE's member firm regulatory functions is an important step toward
making our self-regulatory system not only more efficient, but more
effective in protecting investors. The Commission will work closely
with FINRA to eliminate unnecessarily duplicative regulation,
including consolidating and strengthening what until now have been two
different member rulebooks and two different enforcement systems."
The Commission's order approving the amendments to NASD's By-Laws is
available on the Commission's Web site at
http://www.sec.gov/rules/sro/nasd/2007/34-56145.pdf. (Press Rel. 2007-
151)
ENFORCEMENT PROCEEDINGS
COMMISSION ISSUES ORDER DISMISSING PROCEEDING AGAINST TERRY HARRIS
The Commission has dismissed an administrative proceeding against
Terry Harris. An administrative law judge had barred Harris from
association with any registered or unregistered investment adviser,
based in part on Harris's January 2005 criminal conviction in Alabama
for failure to register properly as an investment adviser under
Alabama law. However, subsequent to the law judge's decision, the
Alabama Court of Criminal Appeals reversed Harris's conviction.
Because it has been reversed, Harris's conviction could no longer
serve as the basis for a Commission sanction of Harris. As a result,
the Commission dismissed the proceeding against Harris. (Rel. IA-2622;
File No. 3-12171)
IN THE MATTER OF JOHN J. AMORE
On July 26, the Commission issued an Order Instituting Administrative
Proceedings Pursuant to Section 15(b) of the Securities Exchange Act
of 1934 Making Findings and Imposing Remedial Sanctions (the Order)
against John J. Amore (Amore). The Order finds that from approximately
March 2002 through September 2003, Amore was the Chief Executive
Officer of A.B. Watley Group, Inc., the parent corporation of A.B.
Watley, Inc., a day trading firm registered with the Commission as a
broker-dealer. For a portion of the time in which he engaged in the
conduct underlying the information described below, Respondent was
associated with a broker-dealer registered with the Commission.
The Order further finds that on Dec. 3, 2004, Amore pleaded guilty to
one count of mail fraud, a felony, and one count of conspiracy to
commit securities fraud, a felony, in a sealed proceeding in the U.S.
District Court in the Eastern District of New York. U.S. v. Amore, No.
04-CR1042 (E.D.N.Y. Dec. 3, 2004). The counts of the criminal
information in the case in which Amore pleaded guilty alleged, inter
alia, that while Amore was associated with a broker-dealer, he
participated in a scheme to use material confidential information
improperly obtained from broker-dealers' "squawk boxes" to trade ahead
of the broker-dealers' institutional orders.
Based on the above, the Order bars Amore from association with any
broker or dealer. Amore consented to the issuance of the Order without
admitting or denying any of the findings in the Order except as to his
guilty plea, which he admits. (Rel. 34-56144; File No. 3-12713)
SEC CHARGES BROKER-DEALER WITH REGISTRATION AND ANTIFRAUD VIOLATIONS
The Commission announced the filing on May 11, 2007, of a complaint in
the U.S. District Court for the Middle District of Florida against
Angelo Ragone, and his wholly-owned firm, New York Partnership
Exchange, Inc. The Commission's complaint alleges that New York Asset
Exchange, through Ragone, illegally operated as an unregistered
broker-dealer by trading millions of dollars in limited partnership
interests for its own account and the accounts of others in exchange
for transaction based compensation. Moreover, the complaint alleges
that the defendants defrauded customers of their trading proceeds by
misrepresenting that their trades were delayed and by improperly
withholding portions of payments due sellers.
Without admitting or denying the Commission's allegations, Ragone and
New York Partnership Exchange consented to the entry of final
judgments that permanently enjoin them from future violations of
Sections 10(b) and 15(a)(1) of the Securities Exchange Act of 1934 and
Rule 10b-5 there under, and Sections 17(a)(1), (2), and (3) of the
Securities Act of 1933. The defendants have also agreed to disgorge,
jointly and severally with each other, their ill-gotten gains of
$24,120 plus prejudgment interest of $5,510.67, and to each pay
individually a civil penalty in the amount of $35,000 for a total of
$70,000. [SEC v. Ragone and New York Partnership Exchange, Inc., Civil
Action Number 8:07-cv-816 (M.D. Fla.)] (LR-20215)
COURT FINDS INTERNATIONAL ENERGY AND RESOURCES, INC. IN CONTEMPT OF
SUBPOENA ENFORCEMENT ORDER AND ASSESSES DAILY FINE
The Commission announced that, on July 6, 2007, the Honorable A.
Howard Matz, U.S. District Judge for the Central District of
California, entered an order finding International Energy and
Resources, Inc. (IER) in contempt of the court's previous subpoena
enforcement order to produce documents. The court also ordered IER to
pay a daily fine in the amount of $1,000 for each day, after July 13,
2007, that it fails to produce all of the documents as required by the
subpoena enforcement order. IER is a Texas corporation with offices in
Dallas, Texas and Scottsdale, Arizona.
The Commission's application for contempt and supporting papers allege
that in December 2006, the court entered an order compelling IER to
produce all documents, in response to two Commission subpoenas, no
later than Jan. 17, 2007. The Commission further alleged that the
subpoenas were issued pursuant to a formal order of private
investigation entitled in the Matter of International Energy and
Resources, Inc., which concerns possible violations of the
registration and antifraud provisions of the federal securities laws
in connection with the offer, purchase, or sale of securities related
to purported gold mining interests in Arizona.
According to the Commission's application and supporting documents,
IER failed to produce any documents after the court issued the
December subpoena enforcement order. The district court found that, as
set forth in the Commission's application, IER had no valid
justification for its failure to comply with the order. [In the Matter
of Certain Administrative Subpoenas of the SEC v. International Energy
and Resources, Inc., Case No. CV 06-07694 AHM (JTLx) (C.D. Cal.)] (LR-
20216)
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>.
S-1 VELOCITY EXPRESS CORP, ONE MORNINGSIDE DRIVE NORTH,
BUILDING B SUITE 300, WESTPORT, X1, 06880, 203-349-4160 -
6,736,831 ($5,793,675.00) Equity, (File 333-144866 - Jul. 26) (BR. 05C)
S-8 AMERICAN MEDICAL TECHNOLOGIES INC/DE, 5555 BEAR LANE, STE 1100,
CORPUS CHRISTI, TX, 78405, 3612891145 - 0 ($400,000.00) Equity,
(File 333-144867 - Jul. 26) (BR. 10A)
S-1 Pioneer Southwest Energy Partners L.P.,
5205 N. O'CONNOR BLVD., SUITE 200, IRVING, TX, 75039, (972) 444-9001 -
0 ($301,857,000.00) Equity, (File 333-144868 - Jul. 26) (BR. 04)
S-8 IKANOS COMMUNICATIONS, 47669 FREMONT BLVD., FREMONT, CA, 94538,
(510) 979-0400 - 300,000 ($2,112,000.00) Equity, (File 333-144869 -
Jul. 26) (BR. 11B)
S-8 LAKELAND INDUSTRIES INC, 701-7 KOEHLER AVENUE, RONKONKOMA, NY, 11779,
6319819700 - 253,000 ($3,536,940.00) Other, (File 333-144870 - Jul. 26)
(BR. 10B)
S-1 NRDC Acquisition Corp., 3 MANHATTANVILLE ROAD, PURCHASE, NY, 10577,
9142728067 - 57,500,000 ($402,500,000.00) Equity, (File 333-144871 -
Jul. 26) (BR. 09)
S-8 DIGI INTERNATIONAL INC, 11001 BREN ROAD EAST, MINNETONKA, MN, 55343,
6129123444 - 0 ($36,850,000.00) Equity, (File 333-144872 - Jul. 26)
(BR. 03B)
S-8 DIGI INTERNATIONAL INC, 11001 BREN ROAD EAST, MINNETONKA, MN, 55343,
6129123444 - 0 ($7,370,000.00) Equity, (File 333-144873 - Jul. 26)
(BR. 03B)
S-3ASR MARATHON OIL CORP, P O BOX 3128, HOUSTON, TX, 77253-3128, 7136296600 -
0 ($0.00) Other, (File 333-144874 - Jul. 26) (BR. 04B)
SB-2 DATA STORAGE CONSULTING SERVICES, INC., 11679 E. BERRY PLACE,
ENGLEWOOD, CO, 80111, (303) 883-9334 - 800,000 ($200,000.00) Equity,
(File 333-144877 - Jul. 26) (BR. 03)
S-8 Kodiak Oil & Gas Corp, SUITE 330 1625 BROADWAY, DENVER, CO, 90202,
303-592-8070 - 3,593,500 ($16,134,815.00) Equity, (File 333-144878 -
Jul. 26) (BR. 04C)
SB-2 WHISPERING OAKS INTERNATIONAL INC, 7080 RIVER RD, STE 215, RICHMOND,
A1, V6X 1X5, 6042079150 - 0 ($12,431,370.00) Equity, (File 333-144879 -
Jul. 26) (BR. 10C)
S-3 NANOGEN INC, 10398 PACIFIC CENTER COURT, SAN DIEGO, CA, 92121,
858 410 4600 - 0 ($50,000,000.00) Equity, (File 333-144880 - Jul. 26)
(BR. 10B)
SB-2 TEKOIL & GAS CORP, 25050 I-45 NORTH, SUITE 525, THE WOODLANDS, TX,
77380, 281-364-6950 - 10,425,000 ($15,637,500.00) Equity,
(File 333-144881 - Jul. 26) (BR. 04B)
S-8 MICROTUNE INC, (972) 673-1600 - 0 ($2,299,500.00) Equity,
(File 333-144882 - Jul. 26) (BR. 10B)
S-8 MOTORCAR PARTS AMERICA INC, 2929 CALIFORNIA STREET, TORRANCE, CA,
90503, 3109724057 - 0 ($2,178,750.00) Equity, (File 333-144883 -
Jul. 26) (BR. 10B)
S-1 ARAMARK CORP, 1101 MARKET STREET, PHILADELPHIA, PA, 19107, 2152383000 -
0 ($1.00) Equity, (File 333-144884 - Jul. 26) (BR. 05A)
S-8 GEORGIA GULF CORP /DE/, 115 PERIMETER CENTER PLACE, STE. 460, ATLANTA,
GA, 30346, 7703954500 - 0 ($45,462,500.00) Equity, (File 333-144885 -
Jul. 26) (BR. 06B)
SB-2 WIZZARD SOFTWARE CORP /CO, 5001 BAUM BOULEVARD, SUITE 770, PITTSBURGH,
PA, 15213, 4126210902 - 6,658,536 ($15,113,413.20) Equity,
(File 333-144886 - Jul. 26) (BR. 03B)
S-1 MOTORCAR PARTS AMERICA INC, 2929 CALIFORNIA STREET, TORRANCE, CA,
90503, 3109724057 - 0 ($51,221,588.16) Equity, (File 333-144887 -
Jul. 26) (BR. 10B)
SB-2 SN Strategies Corp., 1077 Balboa Avenue, Laguna Beach, CA, 92651,
1,025,000 ($102,500.00) Equity, (File 333-144888 - Jul. 26) (BR. )
S-4 Echo Healthcare Acquisition Corp.,
8000 TOWERS CRESCENT DRIVE, SUITE 1300, VIENNA, VA, 22182,
703-448-7688 - 17,941,180 ($139,313,262.70) Equity, (File 333-144889 -
Jul. 26) (BR. 09)
S-8 SINA CORP, 1313 GENEVA DRIVE, SUNNYVALE, CA, 94089, 4085480000 -
5,000,000 ($227,250,000.00) Equity, (File 333-144890 - Jul. 26)
(BR. 03C)
S-1 Stamford Industrial Group, Inc., ONE LANDMARK SQUARE,, 22ND FLOOR,
STAMFORD,, CT, 06901, 203.428.2040 - 0 ($44,973,816.96) Equity,
(File 333-144891 - Jul. 26) (BR. 06C)
S-8 IMPLANT SCIENCES CORP, 107 AUDUBON ROAD #5, WAKEFIELD, MA, 01880-1246,
7812460700 - 500,000 ($915,000.00) Equity, (File 333-144892 - Jul. 26)
(BR. 10B)
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
-------------------------------------------------------------------------------------------------------
1 800 CONTACTS INC DE 8.01,9.01 07/25/07
1ST INDEPENDENCE FINANCIAL GROUP, INC DE 5.02 07/26/07
3M CO DE 2.02,9.01 07/26/07
ABAXIS INC CA 2.02,9.01 07/26/07
ABX AIR INC 1.01,3.03,9.01 07/25/07
ACACIA RESEARCH CORP DE 2.02,9.01 07/26/07
ACCESS NATIONAL CORP VA 2.02,7.01,9.01 07/25/07
ACCESS PHARMACEUTICALS INC DE 1.01 07/20/07
ACCESS PHARMACEUTICALS INC DE 1.01 07/25/07
ACTEL CORP CA 2.02,2.06,9.01 07/20/07
ACUITY BRANDS INC DE 5.02 07/23/07
Advance America, Cash Advance Centers DE 2.02,8.01,9.01 07/25/07
Advanced BioPhotonics Inc. DE 5.02 07/23/07
ADVENT SOFTWARE INC /DE/ DE 2.02,9.01 07/25/07 AMEND
AEROFLEX INC DE 8.01,9.01 07/26/07
AETNA INC /PA/ PA 2.02,9.01 07/26/07
AIRGAS INC DE 2.02,9.01 07/25/07
ALASKA AIR GROUP INC DE 2.02,9.01 07/26/07
ALASKA COMMUNICATIONS SYSTEMS GROUP I DE 2.02,9.01 07/26/07
ALEXANDER & BALDWIN INC HI 2.02,9.01 07/26/07
ALFA INTERNATIONAL HOLDINGS CORP. DE 7.01 07/25/07
ALLEGHENY TECHNOLOGIES INC DE 8.01,9.01 07/26/07
Alliance Distributors Holding Inc. DE 5.02,9.01 07/26/07
ALLIANCEBERNSTEIN HOLDING L.P. DE 2.02,7.01,9.01 07/25/07
ALLIANCEBERNSTEIN L.P. DE 2.02,7.01,9.01 07/25/07
ALTAIR NANOTECHNOLOGIES INC A6 1.01,9.01 07/20/07
ALTRUST FINANCIAL SERVICES INC 5.02,9.01 07/25/07
AMBASSADORS GROUP INC DE 2.02,9.01 07/17/07
AMERICAN BANCORP OF NEW JERSEY INC NJ 2.02,9.01 07/20/07
AMERICAN COMMERCIAL LINES INC. DE 2.02,7.01,9.01 07/25/07
AMERICAN MEDICAL ALERT CORP NY 7.01,9.01 07/26/07
American Natural Energy Corp OK 9.01 07/16/07 AMEND
AMERICAN STANDARD COMPANIES INC DE 1.01,9.01 07/23/07
AMERICANWEST BANCORPORATION WA 2.02,9.01 07/26/07
AmeriCredit Automobile Receivables Tr 8.01,9.01 07/26/07
AMERISOURCEBERGEN CORP DE 8.01,9.01 07/26/07
AMGEN INC DE 2.02,9.01 07/26/07
ANALYSTS INTERNATIONAL CORP 2.02,7.01,8.01,9.01 07/26/07
ANCHOR BANCORP WISCONSIN INC WI 8.01,9.01 07/24/07
ANESIVA, INC. DE 2.02,9.01 07/26/07
ANWORTH MORTGAGE ASSET CORP MD 2.02,9.01 07/26/07
AOB BIOTECH INC 5.02,8.01 07/25/07
APACHE CORP DE 2.02,9.01 07/26/07
APPLE HOSPITALITY FIVE INC VA 1.01,8.01,9.01 07/25/07
APPLIX INC /MA/ MA 2.02,9.01 07/26/07
ART TECHNOLOGY GROUP INC DE 2.02,9.01 07/26/07
ASBURY AUTOMOTIVE GROUP INC DE 2.02,7.01,9.01 07/26/07
ASBURY AUTOMOTIVE GROUP INC DE 7.01,9.01 07/25/07
ASIAINFO HOLDINGS INC DE 2.02,9.01 07/19/07
ASIAINFO HOLDINGS INC DE 8.01 07/19/07
ASPEN INSURANCE HOLDINGS LTD D0 2.02,7.01,9.01 07/26/07
ASSOCIATED BANC-CORP WI 7.01 07/25/07
ASSOCIATED ESTATES REALTY CORP OH 2.02,9.01 06/30/07
ASTRONICS CORP NY 1.01,2.04,9.01 07/26/07
ATHEROGENICS INC GA 2.02,9.01 07/26/07
AUTOLIV INC DE 2.02,9.01 07/25/07
AUTONATION INC /FL DE 2.02,9.01 07/26/07
AUTONATION INC /FL DE 1.01,1.02,9.01 07/25/07
AVAX TECHNOLOGIES INC DE 5.02,9.01 07/20/07
AVID TECHNOLOGY INC DE 2.02,2.05,9.01 07/23/07
AVX CORP DE 2.02,9.01 06/30/07
BA Credit Card Funding, LLC DE 8.01,9.01 07/26/07
BALL CORP IN 2.02,5.02,9.01 07/26/07
Banc of America Commercial Mortgage I DE 8.01,9.01 07/26/07
BANCORP RHODE ISLAND INC 2.02,9.01 07/26/07
BANCTRUST FINANCIAL GROUP INC AL 2.06 07/20/07
BANK HOLDINGS NV 2.02,9.01 07/26/07
BANK OF FLORIDA CORP FL 2.02,9.01 07/26/07
BANKUNITED FINANCIAL CORP FL 2.02,9.01 07/26/07
BANNER CORP WA 8.01,9.01 07/24/07
BARRETT BUSINESS SERVICES INC MD 2.02,9.01 07/25/07
BAY NATIONAL CORP 2.02,9.01 07/26/07
BCAP LLC Trust 2007-AA4 8.01,9.01 06/29/07
BEAZER HOMES USA INC DE 1.01,1.02,2.02,2.03,9.01 07/25/07
BECTON DICKINSON & CO NJ 2.02,9.01 07/26/07
BELDEN INC. DE 2.02,9.01 07/26/07
BELDEN INC. DE 1.01,9.01 07/23/07
BIOCORAL INC DE 4.02,9.01 07/20/07
BIOCRYST PHARMACEUTICALS INC DE 5.02,9.01 07/26/07
BLACK & DECKER CORP MD 2.02,7.01,9.01 07/26/07
BLOCKBUSTER INC DE 2.02,9.01 07/26/07
BMC SOFTWARE INC DE 5.02 07/24/07
BORGWARNER INC DE 2.02,9.01 06/30/07
BOSTON FINANCIAL QUALIFIED HOUSING TA DE 4.01 03/31/07
BOSTON FINANCIAL QUALIFIED HOUSING TA DE 4.01 03/31/07
BOSTON FINANCIAL QUALIFIED HOUSING TA DE 4.01 03/31/07
BOSTON FINANCIAL QUALIFIED HOUSING TA DE 4.01 03/31/07
BOSTON FINANCIAL TAX CREDIT FUND PLUS MA 4.01 03/31/07
BOSTON FINANCIAL TAX CREDIT FUND VII MA 4.01 03/31/07
BOSTON FINANCIAL TAX CREDIT FUND VIII 4.01 03/31/07
BOSTON PRIVATE FINANCIAL HOLDINGS INC MA 2.02,5.02,7.01,9.01 07/23/07
BRANDYWINE REALTY TRUST MD 2.02,9.01 07/25/07
BRIGHT HORIZONS FAMILY SOLUTIONS INC DE 2.02,9.01 07/26/07
BRISTOL MYERS SQUIBB CO DE 2.02,9.01 07/26/07
BRISTOL MYERS SQUIBB CO DE 2.02,9.01 04/26/07 AMEND
BROADCOM CORP CA 1.01,9.01 07/19/07
BROADVISION INC DE 2.02,9.01 07/26/07
BROOKS AUTOMATION INC DE 8.01,9.01 07/26/07
BRUNSWICK CORP DE 2.02,9.01 07/26/07
BRYN MAWR BANK CORP PA 2.02,7.01,9.01 07/26/07
BUILD A BEAR WORKSHOP INC DE 2.02,9.01 07/26/07
Builders FirstSource, Inc. DE 2.02,9.01 07/26/07
BUILDING MATERIALS HOLDING CORP DE 2.02,9.01 07/26/07
Bunge LTD 2.02,9.01 07/26/07
C&D TECHNOLOGIES INC DE 1.01,9.01 07/20/07
CABOT CORP DE 2.02,9.01 07/25/07
CABOT MICROELECTRONICS CORP DE 2.01,9.01 07/26/07
CABOT OIL & GAS CORP DE 2.02,9.01 07/25/07
CACHE INC FL 2.02,9.01 07/25/07
CACHE INC FL 2.02,9.01 07/25/07
CAI International, Inc. 2.02 07/25/07
CALGON CARBON CORPORATION DE 8.01,9.01 07/26/07
CALLIDUS SOFTWARE INC 2.02,9.01 07/26/07
CAPITOL BANCORP LTD MI 7.01 07/26/07
CAPSOURCE FINANCIAL INC CO 5.02,9.01 07/20/07
CAPSOURCE FINANCIAL INC CO 1.01,2.01,2.03,3.02,9.01 05/01/06 AMEND
CARBO CERAMICS INC DE 2.02,7.01,9.01 07/26/07
CARDINAL HEALTH INC OH 7.01,8.01,9.01 07/26/07
CARDTRONICS INC DE 1.01,2.01,2.03,9.01 07/20/07
CARPENTER TECHNOLOGY CORP DE 2.02,9.01 07/26/07
CARRIER ACCESS CORP DE 5.03,9.01 07/20/07
CASH AMERICA INTERNATIONAL INC TX 2.02,9.01 07/26/07
CATAPULT COMMUNICATIONS CORP CA 2.02,5.03,9.01 07/24/07
CATHAY GENERAL BANCORP DE 2.02,9.01 07/26/07
CAVCO INDUSTRIES INC DE 2.02,9.01 07/26/07
CDI CORP PA 2.02,9.01 07/26/07
CELADON GROUP INC DE 2.02,9.01 07/25/07
CELEBRATE EXPRESS, INC. 2.02,9.01 07/26/07
CELGENE CORP /DE/ DE 2.02,9.01 07/26/07
CENTRAL PACIFIC FINANCIAL CORP HI 2.02,9.01 07/26/07
CERIDIAN CORP /DE/ DE 2.02,9.01 07/26/07
CHAMPION PARTS INC IL 1.01,9.01 07/26/07
ChaseFlex Trust Series 2007-M1 DE 8.01,9.01 07/26/07
CHEMED CORP DE 8.01,9.01 07/25/07
CHENIERE ENERGY INC DE 2.01,8.01,9.01 07/26/07
CHINA MINERALS TECHNOLOGIES, INC. NV 1.01,2.03,9.01 07/26/07
China VoIP & Digital Telecom Inc. NV 1.01,9.01 07/26/07
Chinese Manufacturers Online Corp DE 5.02 07/10/07
CHYRON CORP NY 5.05,8.01,9.01 07/26/07
CICERO INC DE 5.02 07/23/07
CIMAREX ENERGY CO DE 9.01 07/25/07
CIRCUIT RESEARCH LABS INC AZ 4.01,9.01 07/20/07
Citicorp Mortgage Securities Trust, S DE 9.01 07/26/07
CLEARWIRE CORP 5.02,7.01,9.01 07/26/07
CLECO CORP LA 5.02,5.03,9.01 07/20/07
CNET NETWORKS INC DE 2.02,7.01,9.01 07/26/07
COBIZ INC CO 7.01,9.01 07/25/07
COCA COLA ENTERPRISES INC DE 2.02 07/26/07
COGNEX CORP MA 2.02,9.01 07/25/07
COGNEX CORP MA 5.02 07/26/07
COHERENT INC DE 2.02,8.01,9.01 07/26/07
COLONIAL PROPERTIES TRUST AL 2.02,7.01,9.01 07/26/07
COLUMBIA SPORTSWEAR CO OR 2.02,7.01,9.01 07/26/07
COMCAST CORP PA 2.02,9.01 07/26/07
COMMERCE GROUP INC /MA MA 2.02,9.01 07/26/07
Community Bancorp NV 8.01,9.01 07/25/07
Community Bancorp NV 7.01,9.01 07/24/07
CONEXANT SYSTEMS INC DE 2.02,9.01 07/26/07
CONMED CORP NY 2.02,9.01 07/26/07
CONSOL ENERGY INC 2.02,9.01 07/26/07
Constellation Energy Partners LLC DE 1.01,2.01,3.02,3.03,5.03,7.01, 07/25/07
9.01
COSTAR GROUP INC 2.02,9.01 07/25/07
COVAD COMMUNICATIONS GROUP INC DE 2.02,9.01 07/26/07
COWLITZ BANCORPORATION WA 2.02,9.01 07/26/07
CRITICAL PATH INC CA 5.02 07/20/07
Crocs, Inc. 2.02,9.01 07/26/07
CROSS TIMBERS ROYALTY TRUST TX 2.02,9.01 07/26/07
CSS INDUSTRIES INC DE 2.02,9.01 07/26/07
CUMMINS INC IN 2.02,9.01 07/26/07
CURAGEN CORP DE 2.02,9.01 07/26/07
CYBER DEFENSE SYSTEMS INC FL 1.01,5.02,8.01,9.01 07/25/07
CYMER INC NV 2.02,9.01 07/26/07
DADE BEHRING HOLDINGS INC DE 1.01,3.03,9.01 07/25/07
DAYTON SUPERIOR CORP DE 2.02,9.01 07/26/07
DELTA WOODSIDE INDUSTRIES INC /SC/ SC 7.01,9.01 07/19/07
DELTIC TIMBER CORP DE 2.02,9.01 07/25/07
DELUXE CORP MN 2.02,9.01 07/26/07
Dex Media, Inc./new DE 2.02,9.01 07/26/07
DIAMOND OFFSHORE DRILLING INC DE 2.02,9.01 07/26/07
DIAMOND OFFSHORE DRILLING INC DE 7.01,9.01 07/26/07
DIGITAL RIVER INC /DE DE 2.02,9.01 07/26/07
DIOMED HOLDINGS INC NV 2.02,9.01 07/26/07
DOVER DOWNS GAMING & ENTERTAINMENT IN DE 2.02,7.01,9.01 07/26/07
DOVER MOTORSPORTS INC DE 2.02,7.01,9.01 07/26/07
DOW CHEMICAL CO /DE/ DE 2.02,9.01 07/26/07
DUKE REALTY CORP IN 2.02,9.01 07/25/07
DUKE REALTY LIMITED PARTNERSHIP/ IN 2.02,9.01 07/25/07
Duncan Energy Partners L.P. DE 2.02,9.01 07/25/07
Duncan Energy Partners L.P. DE 5.02,7.01,9.01 07/20/07
DUNE ENERGY INC DE 9.01 05/15/07 AMEND
DYNAMIC MATERIALS CORP DE 2.02,9.01 07/26/07
EAGLE BROADBAND INC TX 2.02,9.01 07/23/07
Eagle Hospitality Properties Trust, I MD 8.01 07/20/07
EARTHLINK INC DE 2.02,9.01 07/26/07
EASTERN CO CT 2.02,7.01,9.01 07/26/07
EASTMAN CHEMICAL CO DE 2.02 07/26/07
EATON VANCE CORP MD 3.02 07/26/07
EMCOR GROUP INC DE 2.02,9.01 06/30/07
EMVELCO CORP. DE 1.01,9.01 07/19/07
ENCOMPASS HOLDINGS, INC. NV 5.02 07/25/07
ENCORIUM GROUP INC NV 8.01,9.01 07/26/07
ENERGEN CORP AL 2.02,9.01 07/25/07
Energtek 2.01,5.03,9.01 07/19/07
Energy Transfer Equity, L.P. DE 7.01,8.01,9.01 07/26/04
Energy Transfer Partners, L.P. DE 7.01,8.01,9.01 07/26/07
ENTERPRISE BANCORP INC /MA/ MA 2.02,7.01,9.01 07/26/07
Enterprise GP Holdings L.P. DE 5.02,7.01,9.01 07/20/07
ENTERPRISE PRODUCTS PARTNERS L P DE 2.02,9.01 07/25/07
ENTERPRISE PRODUCTS PARTNERS L P DE 5.02,7.01,9.01 07/20/07
EQUISTAR CHEMICALS LP DE 2.02,9.01 07/26/07
EQUITABLE RESOURCES INC /PA/ PA 2.02,9.01 07/26/07
ESSA Bancorp, Inc. PA 2.02,9.01 07/25/07
eTelecare Global Solutions, Inc. 1.01,1.02,9.01 07/20/07
EVERGREEN SOLAR INC DE 2.02,9.01 07/26/07
EVERGREENBANCORP INC WA 2.02,8.01,9.01 07/25/07
EXELIXIS INC DE 8.01 07/26/07
EXXON MOBIL CORP NJ 2.02,7.01 07/26/07
FALCONSTOR SOFTWARE INC DE 2.02,9.01 07/26/07
FAMILYMEDS GROUP, INC. NV 1.02,8.01 07/24/07
FBR CAPITAL MARKETS CORP 2.02 07/25/07
Federal Home Loan Bank of Atlanta X1 2.03 07/23/07
Federal Home Loan Bank of Boston X1 2.03 07/24/07
Federal Home Loan Bank of Chicago X1 2.03 07/24/07
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 07/23/07
Federal Home Loan Bank of Cincinnati X1 8.01,9.01 07/24/07
Federal Home Loan Bank of Des Moines X1 2.03,9.01 07/23/07
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 07/23/07
Federal Home Loan Bank of New York X1 2.03,9.01 07/23/07
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 07/23/07
Federal Home Loan Bank of San Francis X1 2.03 07/23/07
Federal Home Loan Bank of Seattle 2.03 07/25/07
Federal Home Loan Bank of Topeka 2.03 07/24/07
FIDELITY D & D BANCORP INC PA 2.02,9.01 07/25/07
FIRST BANKS, INC MO 2.02,9.01 06/30/07
First California Financial Group, Inc DE 2.02,7.01,9.01 07/26/07
First Clover Leaf Financial Corp. MD 8.01,9.01 07/25/07
FIRST COMMUNITY BANCSHARES INC /NV/ NV 7.01 07/25/07
FIRST INDIANA CORP IN 4.01 07/25/07
FIRST MARINER BANCORP MD 2.02,9.01 07/24/07
FIRST MID ILLINOIS BANCSHARES INC DE 2.02,9.01 06/30/07
FIRST POTOMAC REALTY TRUST MD 2.02,7.01,9.01 07/25/07
FIRST STATE BANCORPORATION NM 5.02 06/29/07 AMEND
FIRST WEST VIRGINIA BANCORP INC WV 2.02,9.01 07/26/07
FIRSTBANK CORP MI 2.02,9.01 07/26/07
FIRSTFED FINANCIAL CORP DE 7.01,9.01 06/30/07
FIRSTFED FINANCIAL CORP DE 2.02,9.01 06/30/07
FLEXTRONICS INTERNATIONAL LTD. U0 2.02,9.01 07/26/07
Florida East Coast Industries, Inc. 8.01,9.01 07/26/07
FMC CORP DE 2.02,9.01 07/25/07
FNB United Corp. NC 7.01,9.01 07/26/07
FOAMEX INTERNATIONAL INC DE 5.02,9.01 07/20/07
FOLDERA, INC 2.05,5.02,7.01,9.01 07/20/07
FORD MOTOR CO DE 2.02,9.01 07/26/07
FORD MOTOR CREDIT CO LLC DE 2.02,9.01 07/26/07
Fortress Investment Group LLC DE 8.01,9.01 07/26/07
FOSTER L B CO PA 2.02,9.01 07/25/07
FOUNDRY NETWORKS INC DE 2.02,9.01 07/26/07
FRANKLIN BANK CORP 9.01 05/08/07 AMEND
FRANKLIN RESOURCES INC DE 2.02,9.01 07/26/07
FREEPORT MCMORAN COPPER & GOLD INC DE 2.02,9.01 07/25/07
FreightCar America, Inc. DE 2.02,9.01 07/26/07
FRIEDMAN BILLINGS RAMSEY GROUP INC VA 2.02,8.01,9.01 07/26/07
FRIEDMAN BILLINGS RAMSEY GROUP INC VA 9.01 07/26/07
FTD Group, Inc. 5.02,9.01 07/24/07
GAP INC DE 5.02,5.03,9.01 07/24/07
GASCO ENERGY INC NV 7.01,9.01 07/25/07
GATEWAY FINANCIAL HOLDINGS INC NC 2.02 07/26/07
GATX CORP NY 2.02,7.01,9.01 07/26/07
GB&T BANCSHARES INC GA 2.02,7.01,9.01 07/25/07
GENCO SHIPPING & TRADING LTD 1.01,2.03,9.01 07/20/07
GENERAL MOTORS CORP DE 1.01 07/25/07
GENESIS MICROCHIP INC /DE DE 2.02,9.01 07/26/07
GENLYTE GROUP INC DE 2.02,9.01 07/26/07
Gentor Resources, Inc. FL 1.01,8.01 07/23/07
GENWORTH FINANCIAL INC DE 2.02,9.01 07/26/07
GLIMCHER REALTY TRUST MD 2.02,9.01 07/25/07
GLOBAL GREEN SOLUTIONS INC. 1.01,7.01,9.01 07/25/07
GLOBAL PAYMENTS INC GA 2.02,9.01 07/26/07
GlobalOptions Group, Inc. DE 1.01,1.02,3.02,5.03,9.01 07/25/07
Goodman Global Inc 2.02,9.01 07/26/07
GOODRICH CORP NY 1.01,2.02,5.03,9.01 07/24/07
GOODYEAR TIRE & RUBBER CO /OH/ OH 2.02 07/26/07
GRACO INC MN 2.02 06/29/07
GRANITE CONSTRUCTION INC DE 2.02,9.01 07/25/07
GSAA Home Equity Trust 2007-7 DE 8.01,9.01 06/28/07 AMEND
GTX INC /DE/ DE 1.01,1.02,5.03,9.01 07/24/07
HAMPTON ROADS BANKSHARES INC VA 8.01 07/25/07
Hanesbrands Inc. MD 2.02,7.01,9.01 07/26/07
HANMI FINANCIAL CORP DE 2.02,9.01 07/26/07
HARSCO CORP DE 2.02 07/26/07
HARTFORD FINANCIAL SERVICES GROUP INC DE 2.02,9.01 07/26/07
HEALTH ENHANCEMENT PRODUCTS INC NV 3.02 07/26/07
HEARST ARGYLE TELEVISION INC DE 2.02,7.01,9.01 07/26/07
HERITAGE FINANCIAL CORP /WA/ WA 2.02,7.01,9.01 07/26/07
HERITAGE OAKS BANCORP CA 7.01,9.01 07/26/07
HI/FN INC DE 2.01,9.01 07/23/07
HILB ROGAL & HOBBS CO VA 2.02,9.01 07/25/07
HINES HORTICULTURE INC DE 3.01,9.01 07/20/07
HITTITE MICROWAVE CORP 2.02,9.01 07/26/07
HOLLY ENERGY PARTNERS LP DE 7.01,9.01 07/26/07
HORNBECK OFFSHORE SERVICES INC /LA DE 1.01,9.01 07/20/07
HORTON D R INC /DE/ DE 2.02,9.01 07/26/07
HOST AMERICA CORP DE 3.02,7.01,9.01 07/23/07
HUDSON HIGHLAND GROUP INC DE 2.02,9.01 07/25/07
HUTTIG BUILDING PRODUCTS INC DE 2.02,9.01 07/25/07
HYDROGEN HYBRID TECHNOLOGIES, INC. NV 7.01,9.01 07/19/07
Hyperion Energy, Inc. CO 1.01 07/26/07
IA GLOBAL INC DE 1.01 07/25/07
IA GLOBAL INC DE 5.03,8.01,9.01 07/26/07
IA GLOBAL INC DE 1.01 07/25/07 AMEND
ICT GROUP INC PA 2.02,9.01 07/26/07
IEC ELECTRONICS CORP DE 2.02,9.01 07/26/07
IKANOS COMMUNICATIONS CA 2.02,9.01 07/26/07
IKON OFFICE SOLUTIONS INC OH 2.02,9.01 07/26/07
IMMUNOGEN INC MA 5.02,9.01 07/23/07
INCYTE CORP DE 2.02,9.01 07/26/07
INDYMAC MBS INC RESIDENTIAL ASSET SEC 8.01 07/25/07
IndyMac RAST 2004-R2 8.01 07/25/07
INFORTE CORP DE 3.01,3.03,5.01,5.02,8.01,9.01 07/26/07
INFOUSA INC DE 1.01,9.01 07/20/07
INGRAM MICRO INC DE 2.02,5.02,9.01 07/26/07
INKSURE TECHNOLOGIES INC. DE 5.02 07/26/07
INNOVATIVE CARD TECHNOLOGIES INC DE 3.01 07/26/07
INNOVATIVE SOLUTIONS & SUPPORT INC PA 2.02 07/25/07
INTEGRATED DEVICE TECHNOLOGY INC DE 2.02,9.01 07/26/07
INTEGRATED SILICON SOLUTION INC DE 2.02,9.01 07/26/07
INTEGRATED SURGICAL SYSTEMS INC DE 5.03,9.01 07/24/07
Intellect Neurosciences, Inc. 1.01,3.02,9.01 07/21/07
INTELLIGROUP INC NJ 2.02,9.01 07/26/07
Interactive Brokers Group, Inc. DE 2.02,9.01 07/26/07
INTERACTIVE DATA CORP/MA/ DE 2.02,9.01 07/26/07
INTERCONTINENTALEXCHANGE INC 2.02,9.01 07/26/07
INTERLINK ELECTRONICS INC DE 1.01 07/25/07
International Coal Group, Inc. DE 7.01,9.01 07/26/07
International Coal Group, Inc. DE 8.01,9.01 07/25/07
INTERNATIONAL SHIPHOLDING CORP DE 2.02,9.01 07/25/07
INVENTURE GROUP, INC. DE 2.02,9.01 07/26/07
INVERNESS MEDICAL INNOVATIONS INC DE 8.01,9.01 07/25/07
INVISA INC 1.01 07/25/07
IPC HOLDINGS LTD 2.02,5.02,9.01 07/25/07
ISCO INTERNATIONAL INC DE 7.01,9.01 07/26/07
Isilon Systems, Inc. DE 2.02,9.01 07/26/07
ITT EDUCATIONAL SERVICES INC DE 2.02 07/26/07
IXIA CA 2.02,5.02,9.01 07/26/07
J&J SNACK FOODS CORP NJ 2.02,9.01 07/26/07
JACKSONVILLE BANCORP INC /FL/ FL 2.02,9.01 07/26/07
JANUS CAPITAL GROUP INC DE 2.02,5.02,8.01,9.01 07/24/07
JAVELIN PHARMACEUTICALS, INC DE 8.01,9.01 07/26/07
Jayhawk Energy, Inc. CO 1.01,2.01,3.02,5.01,5.06,9.01 07/26/07
JOHNSON OUTDOORS INC WI 2.02,9.01 07/26/07
K SWISS INC DE 2.02,9.01 07/26/07
KBS Real Estate Investment Trust, Inc MD 1.01,2.03 07/20/07
KEITHLEY INSTRUMENTS INC OH 2.02,9.01 07/26/07
KELLOGG CO DE 2.02 07/26/07
KEMET CORP DE 2.02,9.01 07/26/07
KIMBERLY CLARK CORP DE 5.02,9.01 07/25/07
KIRBY CORP NV 2.02,9.01 07/25/07
KLA TENCOR CORP DE 2.02,9.01 07/26/07
KULICKE & SOFFA INDUSTRIES INC PA 2.02,9.01 07/26/07
L 3 COMMUNICATIONS HOLDINGS INC DE 2.02,9.01 07/26/07
LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 07/26/07
LANCE INC NC 2.02,9.01 07/26/07
LANDMARK BANCORP INC DE 2.02,8.01,9.01 07/26/07
LANDRYS RESTAURANTS INC 2.04,8.01,9.01 07/24/07
LATTICE SEMICONDUCTOR CORP DE 2.02,9.01 07/02/07
LEE ENTERPRISES, INC DE 2.02,9.01 07/23/07
LEMAITRE VASCULAR INC 5.02,7.01,9.01 07/24/07
LENNOX INTERNATIONAL INC DE 5.03,8.01,9.01 07/20/07
LEXINGTON RESOURCES INC NV 5.02,9.01 07/23/07
LHC Group, Inc 2.02,9.01 07/25/07
LIFE TIME FITNESS INC MN 2.02,9.01 07/26/07
LIGHTPATH TECHNOLOGIES INC DE 3.02 07/26/07
LINCOLN ELECTRIC HOLDINGS INC OH 2.02,9.01 07/26/07
LITHIA MOTORS INC OR 2.02,9.01 07/26/07
LKQ CORP DE 2.02,9.01 07/26/07
LNB BANCORP INC OH 2.02,9.01 07/26/07
LOJACK CORP MA 1.01,1.02,2.03,9.01 07/20/07
LUMINEX CORP DE 2.02,9.01 07/25/07
LYONDELL CHEMICAL CO DE 2.02,9.01 07/26/07
MAGMA DESIGN AUTOMATION INC DE 2.02,9.01 07/26/07
MANOR CARE INC DE 2.02,9.01 07/26/07
MATRIA HEALTHCARE INC DE 2.02,9.01 07/26/07
MBIA INC CT 2.02,9.01 07/26/07
MBIA INC CT 8.01,9.01 07/25/07
MBT FINANCIAL CORP MI 2.02,9.01 07/26/07
McAfee, Inc. DE 2.02,9.01 07/26/07
MCDERMOTT INTERNATIONAL INC R1 1.01,2.03,9.01 07/20/07
MCKESSON CORP DE 2.02,9.01 07/26/07
MDC HOLDINGS INC DE 2.02,7.01,9.01 07/25/07
MEDecision, Inc. PA 2.02,9.01 07/26/07
MERCURY COMPUTER SYSTEMS INC MA 2.02,2.06,9.01 07/23/07
MERIT MEDICAL SYSTEMS INC UT 2.02,9.01 07/26/07
MERRILL LYNCH & CO INC DE 8.01,9.01 07/26/07
METTLER TOLEDO INTERNATIONAL INC/ DE 2.02,9.01 07/25/07
MICROCHIP TECHNOLOGY INC DE 2.02,9.01 06/30/07
MICROFINANCIAL INC MA 1.02,2.02,9.01 07/20/07
MICROSEMI CORP DE 2.02 07/26/07
MICROTUNE INC DE 2.02,9.01 07/26/07
MID PENN BANCORP INC PA 2.02,9.01 07/25/07
MID WISCONSIN FINANCIAL SERVICES INC WI 2.02,9.01 07/26/07
Mid-America Bancshares, Inc. TN 2.02,7.01,9.01 07/26/07
MIDDLEBURG FINANCIAL CORP VA 2.02,9.01 07/20/07
MIDSOUTH BANCORP INC LA 2.02 07/25/07
MIDWEST AIR GROUP INC WI 2.02,9.01 07/26/07
MILLENNIUM CELL INC DE 1.01,1.02,3.02,8.01,9.01 07/25/07
MILLENNIUM CHEMICALS INC DE 2.02,9.01 07/26/07
MILLENNIUM PHARMACEUTICALS INC DE 2.02 07/26/07
MKS INSTRUMENTS INC MA 2.02,9.01 07/26/07
MONARCH CASINO & RESORT INC NV 2.02 07/25/07
MONMOUTH CAPITAL CORP NJ 7.01,9.01 07/26/07
MONMOUTH REAL ESTATE INVESTMENT CORP MD 7.01,9.01 07/26/07
Monogram Biosciences, Inc. DE 2.02,8.01,9.01 07/26/07
MONTPELIER RE HOLDINGS LTD D0 7.01 07/26/07
MOTHERS WORK INC DE 2.02,9.01 07/24/07
MPS GROUP INC FL 2.02,9.01 07/26/07
MRV COMMUNICATIONS INC DE 5.02 07/20/07
MSTI Holdings, Inc. DE 5.02 07/20/07
MTC TECHNOLOGIES INC DE 5.02,9.01 07/20/07
MULTI FINELINE ELECTRONIX INC 9.01 01/12/07 AMEND
MYLAN LABORATORIES INC PA 2.02,9.01 07/25/07
MYRIAD GENETICS INC DE 8.01,9.01 07/26/07
NANOPHASE TECHNOLOGIES CORPORATION IL 2.02,9.01 07/26/07
NARA BANCORP INC DE 2.02,9.01 07/25/07
NARA BANCORP INC DE 5.02,8.01,9.01 07/25/07
NATHANIEL ENERGY CORP NV 1.01,2.03 07/19/07
NATIONAL BANCSHARES CORP /OH/ OH 2.02,9.01 07/26/07
NATIONAL CITY CORP DE 2.02,9.01 07/26/07
NATIONAL INSTRUMENTS CORP /DE/ DE 2.02,9.01 07/26/07
NaturalNano , Inc. NV 1.01,5.02,9.01 07/20/07
NAVIGANT CONSULTING INC DE 2.02,5.03,8.01,9.01 07/25/07
NAVIGANT CONSULTING INC DE 8.01 07/25/07 AMEND
NETGEAR, INC DE 2.02,9.01 07/26/07
NETSCOUT SYSTEMS INC DE 1.01,2.03,9.01 07/20/07
NETSCOUT SYSTEMS INC DE 2.02,9.01 07/26/07
NEW CENTURY FINANCIAL CORP MD 7.01,9.01 07/23/07
NEWELL RUBBERMAID INC DE 2.02,7.01,9.01 07/26/07
NEXIA HOLDINGS INC NV 3.02 07/26/07
NextWave Wireless Inc. DE 5.02 05/17/07 AMEND
NICHOLAS FINANCIAL INC FL 2.02,9.01 07/26/07
NII HOLDINGS INC DE 2.02,9.01 07/26/07
No Borders, Inc. NV 5.02,8.01,9.01 07/25/07
NOBLE CORP 1.01,2.03,9.01 07/24/07
NORDSTROM INC WA 8.01 07/26/07
NORTH VALLEY BANCORP CA 2.02,9.01 07/26/07
NORTHERN STATES FINANCIAL CORP /DE/ DE 2.02 07/26/07
NORTHLAND CABLE PROPERTIES EIGHT LIMI WA 8.01,9.01 07/26/07
NORTHLAND CABLE PROPERTIES SEVEN LIMI WA 8.01,9.01 07/26/07
Northstar Neuroscience, Inc. WA 2.02,9.01 07/26/07
NSTAR/MA MA 2.02,9.01 06/30/07
NUTRACEUTICAL INTERNATIONAL CORP DE 2.02,9.01 07/26/07
NUVEEN INVESTMENTS INC DE 2.02,7.01,9.01 07/26/07
OFFICE DEPOT INC DE 2.02,9.01 07/26/07
Oilsands Quest Inc 5.03,9.01 07/24/07
OLD DOMINION FREIGHT LINE INC/VA VA 2.02,9.01 07/26/07
OLD NATIONAL BANCORP /IN/ IN 5.02 07/25/07 AMEND
OLD REPUBLIC INTERNATIONAL CORP DE 9.01 07/26/07
OLIN CORP VA 7.01,9.01 07/25/07
OMEGA HEALTHCARE INVESTORS INC MD 2.02,9.01 07/26/07
Omni Financial Services, Inc. GA 2.02,9.01 07/25/07
OMNIRELIANT HOLDINGS, INC. NV 4.01,9.01 07/17/07
ONLINE RESOURCES CORP DE 2.02 07/26/07
ORIENTAL FINANCIAL GROUP INC PR 2.02,9.01 07/26/07
ORTEC INTERNATIONAL INC DE 3.02 07/25/07
OSIRIS THERAPEUTICS, INC. DE 7.01,9.01 07/26/07
OVERHILL FARMS INC NV 8.01,9.01 07/26/07
OVERSEAS SHIPHOLDING GROUP INC DE 2.02,9.01 07/25/07
OWENS ILLINOIS INC /DE/ DE 2.02 07/25/07
PALOMAR MEDICAL TECHNOLOGIES INC DE 2.02,9.01 07/26/07
PAR TECHNOLOGY CORP DE 2.02 06/30/07
PARALLEL PETROLEUM CORP DE 8.01,9.01 07/26/07
PAVILION BANCORP INC 5.02 04/19/07
PAYLESS SHOESOURCE INC /DE/ DE 5.02 07/26/07
PC CONNECTION INC DE 2.02,9.01 07/26/07
PEDIATRIX MEDICAL GROUP INC FL 8.01,9.01 07/26/07
PENNANTPARK INVESTMENT CORP 8.01 07/26/07
PERICOM SEMICONDUCTOR CORP CA 9.01 09/07/05 AMEND
PERKINELMER INC MA 2.02,9.01 07/26/07
PharMerica CORP DE 5.03,9.01 07/23/07
PHARSIGHT CORP CA 2.02,9.01 07/26/07
PHOENIX COMPANIES INC/DE DE 2.02,9.01 06/30/07
Piedmont Mining Company, Inc. NC 3.02,7.01,9.01 07/20/07
PINNACLE BANKSHARES CORP VA 2.02,9.01 07/25/07
PINNACLE WEST CAPITAL CORP AZ 2.02,7.01,9.01 06/30/07
PIPEX PHARMACEUTICALS, INC. DE 5.02,9.01 07/20/07
PIXELWORKS, INC OR 2.02,9.01 07/26/07
PLATINUM UNDERWRITERS HOLDINGS LTD D0 2.02,9.01 06/30/07
PLATINUM UNDERWRITERS HOLDINGS LTD D0 8.01 07/26/07
PLAYERS NETWORK 3.03,5.02,9.01 07/20/07
PLAYERS NETWORK 3.02 07/20/07
PNM RESOURCES INC NM 5.02,8.01 07/26/07
POLARIS INDUSTRIES INC/MN MN 7.01 07/26/07
POLARIS INDUSTRIES INC/MN MN 5.02,9.01 07/26/07
POLYMER GROUP INC DE 8.01 07/05/07
POTASH CORP OF SASKATCHEWAN INC 2.02,9.01 07/26/07
POTLATCH CORP DE 2.02,9.01 07/26/07
POWER ONE INC DE 2.02,9.01 07/26/07
PowerShares DB Multi-Sector Commodity DE 8.01 07/26/07
POZEN INC /NC 2.02,9.01 07/26/07
PPL CORP PA 8.01,9.01 07/26/07
PPL ENERGY SUPPLY LLC 8.01,9.01 07/26/07
PRE PAID LEGAL SERVICES INC OK 2.02,9.01 06/30/07
PRECISION CASTPARTS CORP OR 2.02,9.01 07/24/07
PREMIERE GLOBAL SERVICES, INC. GA 2.02,9.01 07/26/07
PRESSTEK INC /DE/ DE 2.02,9.01 06/30/07
PREVENTION INSURANCE COM NV 4.01 07/26/07
PRIMEDIA INC DE 8.01 07/26/07
PRINCETON REVIEW INC DE 1.01,1.02,3.02,5.02,5.03,8.01, 07/22/07
9.01
PROGRESSIVE CORP/OH/ OH 2.02,9.01 07/26/07
PROLOGIS MD 2.02,9.01 07/26/07
ProUroCare Medical Inc. 1.01 07/21/07
PROVIDENT FINANCIAL SERVICES INC DE 2.02,7.01,9.01 07/26/07
PROVIDENT FINANCIAL SERVICES INC DE 2.02,9.01 07/25/07
PULASKI FINANCIAL CORP MO 2.02,9.01 07/24/07
PULTE HOMES INC/MI/ MI 2.02,9.01 07/25/07
PUREDEPTH, INC. CO 5.02,9.01 07/20/07
QLOGIC CORP DE 2.02,9.01 07/26/07
QLT INC/BC A1 2.02,9.01 07/26/07
QUADRAMED CORP DE 1.01,9.01 07/22/07
QUANEX CORP DE 7.01 07/25/07
QUEST GROUP INTERNATIONAL INC NV 1.02,3.02,9.01 07/20/07
QUESTAR CORP UT 2.02,9.01 07/25/07
QUIDEL CORP /DE/ DE 2.02,9.01 07/26/07
R H DONNELLEY CORP DE 7.01,9.01 07/26/07
R H DONNELLEY CORP DE 2.02,9.01 07/26/07
Rackable Systems, Inc. DE 2.02,9.01 07/26/07
RADIANT SYSTEMS INC GA 2.02,9.01 07/26/07
RADISYS CORP OR 2.02,9.01 07/26/07
RAMBUS INC DE 2.02,9.01 07/26/07
RAMCO GERSHENSON PROPERTIES TRUST MD 2.02,9.01 07/25/07
RAND CAPITAL CORP NY 2.02 07/26/07
RANGE RESOURCES CORP DE 2.02,9.01 07/25/07
RAYTHEON CO/ DE 2.02,9.01 07/26/07
RC2 CORP DE 7.01,9.01 07/26/07
REDDY ICE HOLDINGS INC DE 2.02,9.01 07/26/07
REGAL ENTERTAINMENT GROUP DE 2.02,8.01,9.01 07/26/07
RENASANT CORP MS 2.02,9.01 07/25/07
REPROS THERAPEUTICS INC. DE 8.01,9.01 07/25/07
REPUBLIC SERVICES INC DE 8.01,9.01 07/26/07
REPUBLIC SERVICES INC DE 2.02,9.01 07/26/07
Residential Asset Securitization Trus 9.01 07/26/07
RESPIRONICS INC DE 2.02 07/25/07
REX ENERGY CORP DE 8.01,9.01 07/25/07
RG America, Inc. NV 5.02 07/25/07
RIMAGE CORP MN 2.02,8.01,9.01 07/25/07
Riverbed Technology, Inc. DE 2.02,9.01 07/26/07
ROCKWELL COLLINS INC DE 2.02,7.01,9.01 07/26/07
ROCKY BRANDS, INC. OH 5.02,9.01 07/20/07
ROME BANCORP INC DE 2.02,9.01 07/25/07
ROO GROUP INC DE 1.01,3.02,9.01 01/25/07 AMEND
ROYAL CARIBBEAN CRUISES LTD 2.02,7.01,9.01 06/30/07
RTW INC /MN/ MN 2.02,9.01 07/26/07
SAFEGUARD SCIENTIFICS INC PA 5.02 07/25/07
SAGEMARK COMPANIES LTD NY 1.02,5.02,8.01 07/20/07
SAPIENT CORP DE 5.02 07/21/07
SCHWEITZER MAUDUIT INTERNATIONAL INC DE 2.02,9.01 07/26/07
SCIENTIFIC LEARNING CORP DE 1.01,5.02,9.01 07/24/07
SEI INVESTMENTS CO PA 1.01,2.02,2.03,8.01,9.01 07/24/07
SELECTIVE INSURANCE GROUP INC NJ 2.02,7.01,9.01 07/26/07
SHENANDOAH TELECOMMUNICATIONS CO/VA/ VA 2.02,9.01 07/25/07
Shire plc 2.02,9.01 07/26/07
Shire plc 8.01,9.01 07/25/07
SI Financial Group, Inc. X1 2.02,9.01 07/25/07
Silver State Bancorp 2.02,8.01,9.01 07/24/07
SIMPSON MANUFACTURING CO INC /CA/ DE 2.02,9.01 07/26/07
SIMTROL INC DE 1.01,2.03,9.01 07/20/07
SIX FLAGS, INC. DE 2.02,9.01 07/26/07
SMITHTOWN BANCORP INC NY 9.01 07/25/07
SONA MOBILE HOLDINGS CORP DE 5.02,9.01 07/26/07
SONUS NETWORKS INC DE 2.02,9.01 07/26/07
Soundview Home Loan Trust 2007-OPT3 DE 2.01,9.01 06/21/07
SOUTHERN CO DE 2.02 07/26/07
SPARTA COMMERCIAL SERVICES, INC. NV 1.01,9.01 07/20/07
SPARTAN MOTORS INC MI 2.02,7.01,9.01 07/26/07
SPARTAN MOTORS INC MI 7.01,9.01 07/26/07
SPATIALIGHT INC NY 3.03,5.03,9.01 07/13/07
SPECTRUM PHARMACEUTICALS INC DE 1.01,8.01,9.01 07/20/07
Spirit AeroSystems Holdings, Inc. DE 2.02,9.01 07/26/07
STAMPS.COM INC DE 2.02,5.02,9.01 07/20/07
STANCORP FINANCIAL GROUP INC OR 2.02,7.01,9.01 07/26/07
State Auto Financial CORP OH 2.02,7.01,9.01 07/24/07
STRAYER EDUCATION INC MD 2.02,9.01 07/26/07
STURM RUGER & CO INC DE 5.03,9.01 07/20/07
SUBURBAN PROPANE PARTNERS LP DE 7.01,8.01,9.01 07/26/07
SUBURBAN PROPANE PARTNERS LP DE 7.01,8.01,9.01 07/26/07
SUN-TIMES MEDIA GROUP INC DE 1.01,3.03,9.01 07/23/07
SUNOCO LOGISTICS PARTNERS LP DE 2.02,7.01,9.01 07/24/07
SUNPOWER CORP CA 1.01,2.03,8.01,9.01 07/26/07
SUPERIOR UNIFORM GROUP INC FL 2.02,9.01 07/26/07
SUPPORTSOFT INC DE 2.02,9.01 07/26/07
SUREWEST COMMUNICATIONS CA 8.01,9.01 07/25/07
Surfect Holdings, Inc NV 1.01,2.03,3.02,9.01 07/20/07
SURREY BANCORP NC 7.01,9.01 07/26/07
SUSSEX BANCORP NJ 2.02,8.01,9.01 07/24/07
SVB FINANCIAL GROUP 2.02,8.01,9.01 07/26/07
SYNERGY FINANCIAL GROUP INC /NJ/ NJ 2.02,9.01 07/25/07
SYNOVUS FINANCIAL CORP GA 1.01,5.02,9.01 07/26/07
SYNTEL INC MI 2.02,9.01 07/26/07
TCF FINANCIAL CORP DE 2.02,7.01,9.01 07/25/07
TECH OPS SEVCON INC DE 2.02 06/30/07
TECH OPS SEVCON INC DE 2.02,9.01 06/30/07 AMEND
TECHNITROL INC PA 2.02,9.01 07/26/07
TELEDYNE TECHNOLOGIES INC DE 2.02,5.02,9.01 07/24/07
TELLABS INC DE 1.01,2.02,5.03,9.01 07/24/07
TENNECO INC DE 2.02,9.01 07/26/07
TEPPCO PARTNERS LP DE 2.02,9.01 07/25/07
TEREX CORP DE 2.02,9.01 07/26/07
TERRA INDUSTRIES INC MD 2.02,9.01 07/26/07
TERRA NITROGEN CO L P /DE DE 2.02,9.01 07/26/07
TERREMARK WORLDWIDE INC DE 7.01,9.01 07/18/07
TETON ENERGY CORP DE 7.01,9.01 07/26/07
TF FINANCIAL CORP DE 2.02 07/26/07
THERAVANCE INC DE 2.02,9.01 07/26/07
THERMO FISHER SCIENTIFIC INC. DE 2.02,9.01 07/26/07
THESTREET COM DE 2.02,9.01 07/26/07
THIRD WAVE TECHNOLOGIES INC /WI DE 2.02,9.01 07/26/07
THOMAS & BETTS CORP TN 2.01,9.01 07/25/07
TIB FINANCIAL CORP. FL 2.02,9.01 07/24/07
TIDEWATER INC DE 2.02,9.01 07/26/07
TIMBERLAND BANCORP INC WA 2.02,9.01 07/24/07
TOMPKINS FINANCIAL CORP NY 2.01,8.01,9.01 07/24/07
TOOTSIE ROLL INDUSTRIES INC VA 8.01 06/30/07
TORBAY HOLDINGS INC DE 1.01,3.02,5.01,9.01 06/29/07
TORRENT ENERGY CORP CO 7.01,9.01 07/23/07
TOTAL SYSTEM SERVICES INC GA 1.01,5.02,9.01 07/26/07
TRANSATLANTIC HOLDINGS INC DE 2.02 07/26/07
TRANSBOTICS CORP DE 5.02,9.01 07/25/07
TRANSCEND SERVICES INC DE 2.02,9.01 07/26/07
TRAVELERS COMPANIES, INC. MN 2.02,9.01 07/26/07
TRAVELZOO INC DE 2.02,9.01 07/25/07
TREX CO INC DE 5.02,9.01 07/20/07
TRIAD GUARANTY INC DE 2.02,9.01 07/25/07
TRINITY CAPITAL CORP 7.01,8.01,9.01 07/25/07
TRIQUINT SEMICONDUCTOR INC DE 2.02 07/25/07 AMEND
Trubion Pharmaceuticals, Inc 1.01,9.01 07/24/07
TUMBLEWEED COMMUNICATIONS CORP DE 2.02,9.01 07/26/07
TYLER TECHNOLOGIES INC DE 2.02 07/25/07
UAP HOLDING CORP DE 8.01,9.01 07/26/07
ULTRATECH INC DE 2.02,9.01 07/26/07
UNION BANKSHARES INC VT 2.02,9.01 07/25/07
UNITED AMERICA INDEMNITY, LTD E9 2.02,9.01 07/25/07
UNITED BANKSHARES INC/WV WV 2.02,9.01 07/26/07
UNITED COMMUNITY FINANCIAL CORP OH 1.01,9.01 07/24/07
UNITED PAN AM FINANCIAL CORP CA 2.02,9.01 07/25/07
UNIVEST CORP OF PENNSYLVANIA PA 2.02 07/25/07
US AIRWAYS GROUP INC DE 2.02,9.01 07/26/07
US AIRWAYS GROUP INC DE 7.01,9.01 07/26/07
US XPRESS ENTERPRISES INC NV 2.02,9.01 07/25/07
USB HOLDING CO INC DE 2.02,9.01 07/25/07
UST INC DE 2.02,9.01 07/26/07
uWink, Inc. UT 7.01,8.01,9.01 07/25/07
VALSPAR CORP DE 5.02 07/26/07
VARIAN SEMICONDUCTOR EQUIPMENT ASSOCI DE 2.02,9.01 07/26/07
VCA ANTECH INC DE 2.02,8.01,9.01 07/26/07
VERISIGN INC/CA DE 2.02,9.01 07/26/07
ViewPoint Financial Group X1 8.01,9.01 07/25/07
VIGNETTE CORP DE 2.02,9.01 07/26/07
VISICU INC DE 2.02,9.01 07/26/07
VOIP INC 1.01,2.03,9.01 07/20/07
Volcom Inc 2.02,7.01,9.01 07/26/07
VORNADO REALTY LP DE 2.01,9.01 05/24/07 AMEND
VORNADO REALTY TRUST MD 2.01,9.01 05/24/07 AMEND
Voyager Learning CO DE 7.01,9.01 07/26/07
W-H ENERGY SERVICES INC TX 2.02,7.01,9.01 07/26/07
WaMu Mortgage Pass-Through Certificat DE 9.01 06/26/07 AMEND
Washington Mutual Mortgage Pass-Throu DE 9.01 06/27/07 AMEND
WELLMAN INC DE 2.02,9.01 07/25/07
WENDYS INTERNATIONAL INC OH 2.02,9.01 07/26/07
Wentworth Energy, Inc. OK 5.02 07/26/07
WEST MARINE INC DE 2.02,9.01 07/26/07
WESTAMERICA BANCORPORATION CA 8.01 07/26/07
WESTBOROUGH FINANCIAL SERVICES INC MA 8.01,9.01 07/24/07
WESTERN ALLIANCE BANCORPORATION 7.01 07/25/07
WESTERN DIGITAL CORP DE 2.02,9.01 07/26/07
WESTINGHOUSE AIR BRAKE TECHNOLOGIES C DE 2.02,5.02,8.01,9.01 07/25/07
WEYCO GROUP INC WI 5.03,9.01 07/26/07
WEYCO GROUP INC WI 2.02,9.01 07/26/07
Willdan Group, Inc. DE 5.02,7.01,9.01 07/23/07
Wilson Creek Mining Corp. NV 5.02 07/26/07
WOLVERINE TUBE INC DE 2.02,9.01 07/26/07
WORLD ACCEPTANCE CORP SC 2.02,7.01,9.01 07/26/07
WORLD FUEL SERVICES CORP FL 7.01,9.01 07/26/07
WORLD HEART CORP A6 1.01 07/20/07
WORLD WRESTLING ENTERTAINMENTINC DE 5.02,9.01 07/20/07
XM SATELLITE RADIO HOLDINGS INC DE 2.02,9.01 07/26/07
ZIMMER HOLDINGS INC DE 2.02,9.01 07/25/07
ZOLL MEDICAL CORP MA 2.02,9.01 07/26/07
ZONES INC WA 2.02,9.01 07/26/07
http://www.sec.gov/news/digest/2007/dig072707.htm
|
