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SEC NEWS DIGEST
Issue 2007-148 August 2, 2007
ENFORCEMENT PROCEEDINGS
COMMISSION REVOKES REGISTRATION OF SECURITIES OF GUIDELINE CAPITAL,
INC. FOR FAILURE TO MAKE REQUIRED PERIODIC FILINGS
On August 2, the Commission revoked the registration of each class of
registered securities of Guideline Capital, Inc. (Guideline Capital)
for failure to make required periodic filings with the Commission.
Without admitting or denying the findings in the order, except as to
jurisdiction, which it admitted, Guideline Capital consented to the
entry of an Order Making Findings and Revoking Registration of
Securities Pursuant to Section 12(j) of the Securities Exchange Act of
1934 as to Guideline Capital, Inc. finding that it had failed to
comply with Section 13(a) of the Securities Exchange Act of 1934
(Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the
registration of each class of Guideline Capital's securities pursuant
to Section 12(j) of the Exchange Act. This order settled the charges
brought against Guideline Capital in the Matter of Bentley Commerce
Corp., et al., Administrative Proceeding File No. 3-12702.
Brokers and dealers should be alert to the fact that Exchange Act
Section 12(j) provides, in pertinent part, as follows:
No member of a national securities exchange, broker, or dealer shall
make use of the mails or any means or instrumentality of interstate
commerce to effect any transaction in, or to induce the purchase or
sale of, any security the registration of which has been and is
suspended or revoked . . . .
For further information see Order Instituting Administrative
Proceedings and Notice of Hearing Pursuant to Section 12(j) of the
Securities Exchange Act of 1934, In the Matter of Bentley Commerce
Corp., et al., Administrative Proceeding File No. 3-12702, Exchange
Act Release No. 56099 (July 19, 2007). (Rel. 34-56188; File No. 3-
12702)
ADDITIONS AND CORRECTIONS
An inaccurate cite appeared in yesterday's Digest in an article
entitled "IN THE MATTER OF GLOBAL ASSET PARTNERS AND JOSEPH LAVIN".
The cite should have appeared as follows: [SEC v. Joseph C. Lavin and
Global Asset Partners, Civil Action No. CV 07-1188 RSL, USDC, WD
Wash., Seattle Division] (LR-20220)
The Accounting and Auditing Enforcement release number was not
included in yesterday's Digest in an article entitled "SEC FILES
ACTION AGAINST INTEGRATED SILICON SOLUTION AND ITS FORMER CFO FOR
IMPROPER STOCK OPTIONS BACKDATING". The number is AAE Rel. 2661.
INVESTMENT COMPANY ACT RELEASES
AARP FUNDS, ET AL.
A notice has been issued giving interested persons until August 27 to
request a hearing on an application filed by AARP Funds, et al. for an
order granting an exemption from Section 15(a) of the Investment
Company Act and Rule 18f-2 under the Act. The order would permit the
applicants to enter into and materially amend sub-advisory agreements
without shareholder approval. (Rel. IC-27918 - July 31)
DWS ADVISOR FUNDS, ET AL.
A notice has been issued giving interested persons until August 24 to
request a hearing on an application filed by DWS Advisor Funds, et
al., for an order to supercede an existing order under Section
12(d)(1)(J) of the Investment Company Act granting an exemption from
Section 12(d)(1)(G)(i)(II) of the Act. (Rel. IC-27919 - July 31)
LEHMAN BROTHERS ASSET MANAGEMENT LLC, ET AL.
A notice has been issued giving interested persons until August 27 to
request a hearing on an application filed by Lehman Brothers Asset
Management LLC, et al., for an order under Sections 6(c) and 17(b) of
the Investment Company Act for an exemption from Section 17(a) of the
Act. The order would permit certain registered investment companies
(Funds) to engage in principal transactions involving taxable money
market instruments and repurchase agreements with a broker dealer that
is an affiliated person of an affiliated person of the Funds. (Rel.
IC-27920 - August 1)
SELF-REGULATORY ORGANIZATIONS
PROPOSED RULE CHANGES
The New York Stock Exchange filed a proposed rule change (SR-NYSE-
2007-67) relating to NYSE Rule 2 ("Member," "Membership," "Member
Firm," etc.). Publication in the Federal Register is expected during
the week of August 6. (Rel. 34-56173)
The National Association of Securities Dealers (n/k/a Financial
Industry Regulatory Authority, Inc.) filed a proposed rule change (SR-
NASD-2007-055) relating to Interpretative Material 9216, Violations
Appropriate for Disposition Under Plan Pursuant to SEC Rule 19d-
1(c)(2). Publication in the Federal Register is expected during the
week of August 6. (Rel. 34-56175)
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A proposed rule change (SR-CBOE-2007-89) filed by the Chicago Board
Options Exchange to extend the duration of CBOE Rule 6.45A(b)
pertaining to orders represented in open outcry has become effective
under Section 19(b)(3)(A) of the Securities Exchange Act of 1934.
Publication in the Federal Register is expected during the week of
August 6. (Rel. 34-56177)
A proposed rule change (SR-NYSEArca-2007-72) filed by NYSE Arca to
modify the Auction Only Limit Order type has become effective under
Section 19(b)(3)(A) of the Securities Exchange Act of 1934.
Publication in the Federal Register is expected during the week of
August 6. (Rel. 34-56180)
A proposed rule change (SR-NYSE-2007-70) and Amendment No. 1 thereto
filed by the New York Stock Exchange to amend the gross FOCUS fee has
become effective under Section 19(b)(3)(A) of the Securities Exchange
Act of 1934. Publication in the Federal Register is expected during
the week of August 6. (Rel. 34-56181)
APPROVAL OF PROPOSED RULE CHANGE
The Commission approved a proposed rule change (SR-NASD-2007-034), as
modified by Amendment No. 1, submitted by National Association of
Securities Dealers proposing to create NASD Rule 1160 (Firm Contact
Information) regarding the reporting and annual review of designated
contact information to NASD. Publication in the Federal Register is
expected during the week of August 6. (Rel. 34-56179)
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:
. In most cases, this information is also
available on the Commission's website: .
S-8 KERYX BIOPHARMACEUTICALS INC, 750 LEXINGTON AVENUE, ., NEW YORK, NY,
10022, 212-531-5965 - 6,250,000 ($52,624,000.00) Equity,
(File 333-145003 - Aug. 1) (BR. 01B)
S-8 PLAINS EXPLORATION & PRODUCTION CO, 700 MILAM STREET, SUITE 3100,
HOUSTON, TX, 77002, 8322396000 - 3,400,000 ($147,220,000.00) Equity,
(File 333-145004 - Aug. 1) (BR. 04A)
F-1 ELBIT VISION SYSTEMS LTD, PO BOX 140, NEW INDUSTRIAL PARK BLDG 7,
YOQNEAM ISRAEL, L3, 20692, 97249936414 -
31,433,262 ($8,644,147.00) Equity, (File 333-145005 - Aug. 1) (BR. 10B)
SB-2 ReoStar Energy CORP, 5416 BIRCHMAN AVENUE, FORT WOTH, TX, 76107,
1-800-462-4633 -
28,103,310 ($28,103,310.00) Debt Convertible into Equity,
(File 333-145006 - Aug. 1) (BR. 04A)
S-8 CERUS CORP, 2411 STANWELL DR, CONCORD, CA, 94520, 9252886000 -
0 ($3,753,000.00) Equity, (File 333-145007 - Aug. 1) (BR. 10A)
S-8 DUCOMMUN INC /DE/, 23301 WILMINGTON AVE., CARSON, CA, 90745,
3105137280 - 0 ($15,747,000.00) Equity, (File 333-145008 - Aug. 1)
(BR. 05A)
S-3 LA JOLLA PHARMACEUTICAL CO, 6455 NANCY RIDGE DR, SAN DIEGO, CA, 92121,
8584526600 - 0 ($77,000,000.00) Equity, (File 333-145009 - Aug. 1)
(BR. 01B)
S-8 CALLIDUS SOFTWARE INC, 160 WEST SANTA CLARA STREET, 15TH FLOOR,
SAN JOSE, CA, 95113, 0 ($18,028,600.00) Equity, (File 333-145010 -
Aug. 1) (BR. 03B)
SB-2 Nova Technologies USA, Inc., (850) 897-6733 -
2,000,000 ($1,000,000.00) Equity, (File 333-145011 - Aug. 1) (BR. 10)
SB-2 STERLING GOLD CORP, 200 SOUTH MAIN, SUITE 1, POCATELLO, ID, 83204,
(208) 232-5603 - 18,562,500 ($15,963,750.00) Equity, (File 333-145012 -
Aug. 1) (BR. 04A)
S-8 RANDGOLD RESOURCES LTD, 011-44-1534-735-333 -
0 ($53,766,644.42) Equity, (File 333-145013 - Aug. 1) (BR. 04B)
S-8 NARA BANCORP INC, 3731 WILSHIRE BLVD, SUITE 1000, LOS ANGELES, CA,
90010, 2136391700 - 0 ($20,280,000.00) Equity, (File 333-145014 -
Aug. 1) (BR. 07C)
S-8 DOW CHEMICAL CO /DE/, 2030 DOW CENTER, MIDLAND, MI, 48674-2030,
989-636-1000 - 30,000,000 ($1,293,000,000.00) Equity,
(File 333-145015 - Aug. 1) (BR. 06B)
SB-2 FIRSTGOLD CORP., 3108 GABBERT DRIVE, SUITE 210, CAMERON PARK, CA,
95682, 9164493913 - 21,817,569 ($13,090,541.00) Equity,
(File 333-145016 - Aug. 1) (BR. 04A)
S-8 SAVVIS, Inc., 1 SAVVIS PARKWAY, TOWN & COUNTRY, MO, 63017,
314-628-7000 - 0 ($60,688,000.00) Equity, (File 333-145017 - Aug. 1)
(BR. 08C)
S-8 RADYNE CORP, 3138 E ELWOOD ST, PHOENIX, AZ, 85034, 6024379620 -
0 ($1,557,291.39) Equity, (File 333-145018 - Aug. 1) (BR. 11C)
S-8 CONSTAR INTERNATIONAL INC, ONE CROWN WAY, PHILADELPHIA, PA, 19154-4,
215 698 5100 - 850,000 ($4,641,000.00) Equity, (File 333-145022 -
Aug. 1) (BR. 06C)
S-8 CONSTAR INTERNATIONAL INC, ONE CROWN WAY, PHILADELPHIA, PA, 19154-4,
215 698 5100 - 50,000 ($273,000.00) Equity, (File 333-145024 - Aug. 1)
(BR. 06C)
S-8 CV THERAPEUTICS INC, 3172 PORTER DR, PALO ALTO, CA, 94304, 6503848500 -
4,900,000 ($55,125,000.00) Equity, (File 333-145025 - Aug. 1) (BR. 01A)
SB-2 GAMMACAN INTERNATIONAL INC, 11 BEN GURION ST., 54100, GIVAT SHMUEL, L3,
V6C 2V6, 780-708-0495 - 16,583,753 ($8,126,039.00) Equity,
(File 333-145026 - Aug. 1) (BR. 01B)
S-8 UNITED COMMUNITY BANKS INC, P O BOX 398, 59 HIGHWAY 515, BLAIRSVILLE,
GA, 30512, 5818073041 - 500,000 ($11,855,000.00) Equity,
(File 333-145027 - Aug. 1) (BR. 07C)
S-8 UNITED COMMUNITY BANKS INC, P O BOX 398, 59 HIGHWAY 515, BLAIRSVILLE,
GA, 30512, 5818073041 - 1,650,000 ($39,121,500.00) Equity,
(File 333-145029 - Aug. 1) (BR. 07C)
S-8 FIRST SECURITY GROUP INC/TN, 817 BROAD STREET, CHATTANOOGA, TN, 37402,
423-308-2000 - 750,000 ($7,492,500.00) Equity, (File 333-145030 -
Aug. 1) (BR. 07A)
S-3D FIRST NATIONAL COMMUNITY BANCORP INC, 102 EAST DRINKER STREET, DUMORE,
PA, 18512, 7173486438 - 0 ($24,130,000.00) Equity, (File 333-145032 -
Aug. 1) (BR. 07A)
S-8 SCIELE PHARMA, INC., FIVE CONCOURSE PARKWAY, SUITE 1800, ATALANTA, GA,
30328, 678-341-1436 - 0 ($51,326,000.00) Equity, (File 333-145033 -
Aug. 1) (BR. 09)
S-8 GROUP 1 AUTOMOTIVE INC, 950 ECHO LANE, STE 100, HOUSTON, TX, 77024,
7134676268 - 1,000,000 ($34,870,000.00) Equity,
0 ($25,000,000.00) Other, (File 333-145034 - Aug. 1) (BR. 02A)
S-3 POKERTEK INC, 1020 CREWS ROAD, SUITE J, MATTHEWS, NC, 28106,
7048490867 - 1,949,999 ($23,731,488.00) Equity, (File 333-145035 -
Aug. 1) (BR. 06B)
S-8 Dolan Media CO, 706 SECOND AVENUE SOUTH, SUITE 1200, MINNEAPOLIS, MN,
55402, (612) 317-9420 - 0 ($50,651,307.00) Equity, (File 333-145036 -
Aug. 1) (BR. 05B)
S-8 BUSINESS OBJECTS S.A., 4089536000 - 0 ($59,428,107.52) Equity,
(File 333-145037 - Aug. 1) (BR. 03B)
S-8 DUPONT E I DE NEMOURS & CO, 1007 MARKET ST, WILMINGTON, DE, 19898,
3027741000 - 20,000,000 ($944,800,000.00) Equity, (File 333-145038 -
Aug. 1) (BR. 06B)
S-3ASR BUSINESS OBJECTS S.A., 4089536000 - 0 ($44,290,000.00) Equity,
(File 333-145039 - Aug. 1) (BR. 03B)
S-4 Securus Technologies, Inc., 14651 DALLAS PARKWAY, SUITE 600, DALLAS,
TX, 75254, 972-277-0300 - 0 ($40,268,000.00) Non-Convertible Debt,
(File 333-145040 - Aug. 1) (BR. 11)
S-8 WPP GROUP PLC, 27 FARM ST, LONDON, X0, WIJ 5RJ, 011442074082204 -
4,824,238 ($54,390,178.52) Equity, (File 333-145041 - Aug. 1) (BR. 11C)
S-8 GERON CORP, 230 CONSTITUTION DRIVE, MENLO PARK, CA, 94025, 6504737700 -
2,000,000 ($13,600,000.00) Other, (File 333-145042 - Aug. 1) (BR. 01A)
S-8 HUDSON VALLEY HOLDING CORP, 21 SCARSDALE ROAD, YONKERS, NY, 10707,
9149616100 - 900,000 ($54,000,000.00) Equity, (File 333-145043 -
Aug. 1) (BR. 07A)
S-8 YAHOO INC, 4083493300 - 6,765,994 ($50,594,208.96) Equity,
(File 333-145044 - Aug. 1) (BR. 03B)
S-3ASR YAHOO INC, 4083493300 - 8,400,706 ($198,508,682.78) Equity,
(File 333-145045 - Aug. 1) (BR. 03B)
S-8 YAHOO INC, 4083493300 - 0 ($1,535,950,000.00) Equity,
(File 333-145046 - Aug. 1) (BR. 03B)
S-3 NETSCOUT SYSTEMS INC, 9786144000 - 0 ($120,000,000.00) Equity,
(File 333-145047 - Aug. 1) (BR. 03B)
S-3ASR INTERCONTINENTALEXCHANGE INC, 2100 RIVEREDGE PARKWAY, SUITE 500,
ATLANTA, GA, 30328, 7708574700 - 0 ($0.00) Equity, (File 333-145048 -
Aug. 1) (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:
. In most cases, this information is also
available on the Commission's website: .
STATE
NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT
-------------------------------------------------------------------------------------------------------
1ST CONSTITUTION BANCORP NJ 2.02,9.01 08/01/07
1st Pacific Bancorp CA 2.02,9.01 07/26/07
ACA Capital Holdings Inc 2.02,8.01,9.01 07/31/07
ACCELLENT INC 2.02,9.01 06/30/07
ACCELRYS, INC. DE 2.02,9.01 08/01/07
ACCEPTANCE INSURANCE COMPANIES INC DE 8.01 07/27/07
ACME PACKET INC DE 2.02,9.01 08/01/07
ADMINISTAFF INC \DE\ DE 2.02,9.01 08/01/07
Advance America, Cash Advance Centers DE 8.01,9.01 07/31/07
ADVANCED MEDICAL OPTICS INC DE 8.01,9.01 08/01/07
AFFYMETRIX INC DE 5.02,9.01 07/27/07
ALDILA INC DE 2.02,7.01,9.01 08/01/07
ALLERGAN INC DE 2.02,5.03,9.01 07/30/07
ALLIANCE HEALTHCARD INC 2.02,9.01 08/01/07
ALLIANT TECHSYSTEMS INC DE 5.02,9.01 07/31/07
ALLTEL CORP DE 2.02,9.01 08/01/07
ALMOST FAMILY INC DE 1.01 07/31/07
ALPHARMA INC DE 2.02,9.01 07/31/07
Alternative Loan Trust 2007-HY8C DE 9.01 07/31/07
Alternative Loan Trust 2007-OA9 9.01 07/30/07
AMBIENT CORP /NY DE 8.01,9.01 08/01/07
AMERIANA BANCORP IN 2.02,9.01 07/31/07
AMERICAN CAPITAL STRATEGIES LTD 2.02,9.01 07/31/07
AMERICAN CHURCH MORTGAGE CO MN 1.01 07/26/07
AMERICAN CHURCH MORTGAGE CO MN 1.01,2.03,9.01 07/26/07 AMEND
AMERICAN ENERGY PRODUCTION INC 1.01,9.01 07/25/07
AMERICAN EQUITY INVESTMENT LIFE HOLDI IA 7.01,9.01 08/01/07
AMERICAN FINANCIAL GROUP INC OH 2.02,9.01 06/30/07
AMERICAN MOLD GUARD INC 2.02,9.01 08/01/07
American Reprographics CO DE 5.02,9.01 07/27/07
AMERIGAS PARTNERS LP DE 2.02,9.01 08/01/07
AMERIGROUP CORP 1.01 07/26/07
AMERISOURCEBERGEN CORP DE 8.01,9.01 07/31/07
AMERISTAR CASINOS INC NV 2.02,9.01 08/01/07
AMICAS, Inc. DE 2.02,9.01 07/31/07
ANADYS PHARMACEUTICALS INC 2.02,2.05,5.02,8.01,9.01 07/30/07
ANALYSTS INTERNATIONAL CORP 1.01,9.01 07/26/07
AON CORP DE 2.02,8.01,9.01 07/31/07
AP PHARMA INC /DE/ DE 2.02,9.01 06/30/07
APARTMENT INVESTMENT & MANAGEMENT CO MD 5.02 07/30/07
ARCH CHEMICALS INC VA 5.02,5.03,9.01 07/26/07
ARES CAPITAL CORP MD 7.01,9.01 07/31/07
ASHFORD HOSPITALITY TRUST INC MD 2.02,9.01 08/01/07
ASSISTED LIVING CONCEPTS INC NV 2.02,9.01 07/31/07
ASSURED GUARANTY LTD 1.01,1.02,2.03 07/31/07
ASTEC INDUSTRIES INC TN 8.01,9.01 08/01/07
ASTORIA FINANCIAL CORP DE 2.02,9.01 08/01/07
ATMEL CORP DE 2.02,9.01 08/01/07
ATMI INC DE 5.03,9.01 07/27/07
AVENTINE RENEWABLE ENERGY HOLDINGS IN DE 2.02,9.01 07/31/07
AVISTA CORP WA 2.02,9.01 08/01/07
AVP INC DE 2.02,7.01,9.01 07/31/07
AXCELIS TECHNOLOGIES INC DE 2.02,9.01 08/01/07
AXT INC DE 2.02,5.03,9.01 07/30/07
BALLY TOTAL FITNESS HOLDING CORP DE 1.03,8.01,9.01 07/27/07
BANCINSURANCE CORP OH 2.02,9.01 08/01/07
BankFinancial CORP 7.01,9.01 07/31/07
BEA SYSTEMS INC DE 3.01 07/09/07
Bear Stearns Asset Backed Securities DE 1.01,6.02 07/13/07
BEAZER HOMES USA INC DE 8.01,9.01 08/01/07
BECKMAN COULTER INC DE 2.02,9.01 08/01/07
BENIHANA INC DE 2.02,9.01 08/01/07
BERKSHIRE HILLS BANCORP INC 7.01,9.01 08/01/07
BERRY PETROLEUM CO DE 2.02,9.01 08/01/07
Bidz.com, Inc. CA 2.02,9.01 07/31/07
BIG 5 SPORTING GOODS CORP DE 2.02,9.01 08/01/07
BLACK BOX CORP DE 1.01 07/26/07
BNCCORP INC DE 2.02,9.01 07/30/07
BNS HOLDING, INC. 8.01,9.01 08/01/07
Boardwalk Bancorp Inc NJ 1.01,5.02,9.01 07/26/07
BOYD GAMING CORP NV 2.02,5.02,5.03,9.01 08/01/07
BRE PROPERTIES INC /MD/ MD 2.02,8.01,9.01 07/31/07
BREEZE-EASTERN CORP DE 2.02,9.01 08/01/07
BROOKFIELD HOMES CORP DE 2.02,9.01 08/01/07
BROWN FORMAN CORP DE 5.02 07/26/07
BRUNSWICK CORP DE 2.02,9.01 08/01/07
BTHC VII Inc DE 1.01,2.01,3.02,4.01,5.01,5.02, 07/27/07
5.03,5.06,9.01
CA, INC. DE 2.02,9.01 08/01/07
CALLAWAY GOLF CO DE 2.02,9.01 08/01/07
Camelot Entertainment Group, Inc. DE 5.02 07/31/07
CANCER THERAPEUTICS INC DE 1.01,5.02 07/31/07
Canyon Bancorp 5.02,9.01 07/31/07
CAPITAL BANK CORP NC 5.02,9.01 08/01/07
CAPITAL ONE FINANCIAL CORP DE 5.05,9.01 07/26/07
CARDIOGENESIS CORP /CA CA 5.02,9.01 07/30/07
Cardium Therapeutics, Inc. 8.01,9.01 07/30/07
CAREY W P & CO LLC DE 2.02,9.01 08/01/07
CastlePoint Holdings, Ltd. D0 7.01,9.01 07/30/07
CELL GENESYS INC DE 5.02,9.01 07/30/07
CENTENNIAL COMMUNICATIONS CORP /DE DE 8.01 08/01/07
CENTRAL EUROPEAN DISTRIBUTION CORP DE 2.02,9.01 07/31/07
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 08/01/07
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 08/01/07
CHEMED CORP DE 2.02,9.01 08/01/07
CHICAGO BRIDGE & IRON CO N V 2.02,9.01 08/01/07
CHICOPEE BANCORP, INC. 5.03,9.01 07/26/07
CHINA SHEN ZHOU MINING & RESOURCES, I NV 2.01,3.02,5.01,5.03,5.06,9.01 09/15/06 AMEND
CHOICEONE FINANCIAL SERVICES INC MI 2.02,9.01 08/01/07
CIGNA CORP DE 2.02 08/01/07
CIMAREX ENERGY CO DE 9.01 08/01/07
CIRRUS LOGIC INC DE 5.02,9.01 07/26/07
CISCO SYSTEMS INC CA 5.02 07/26/07
Citicorp Mortgage Securities Trust, S DE 8.01,9.01 07/12/07 AMEND
CITIZENS COMMUNICATIONS CO DE 2.02,9.01 06/30/07
CKX, Inc. DE 1.01,9.01 08/01/07
CLARION TECHNOLOGIES INC/DE/ DE 1.01,9.01 03/30/07
CLECO CORP LA 2.02,9.01 06/30/07
CLEVELAND CLIFFS INC OH 2.03 07/26/07
CLIFTON SAVINGS BANCORP INC 2.02,9.01 08/01/07
CLST Holdings, Inc. DE 1.01,9.01 07/26/07
CMALT (CitiMortgage Alternative Loan DE 8.01,9.01 07/12/07 AMEND
CME GROUP INC. DE 1.01,2.03,9.01 07/27/07
CNA FINANCIAL CORP DE 1.01,9.01 08/01/07
Cobalis Corp NV 2.04,8.01 07/23/07
COBRA ELECTRONICS CORP DE 1.01,5.02,9.01 07/26/07
Cogent, Inc. DE 2.02,9.01 08/01/07
COGNIZANT TECHNOLOGY SOLUTIONS CORP 2.02,9.01 08/01/07
COMMERCIAL NATIONAL FINANCIAL CORP /P PA 2.02 07/31/07
Community Bancorp NV 8.01,9.01 07/30/07
COMMUNITY CENTRAL BANK CORP MI 2.02,9.01 08/01/07
COMMUNITY FINANCIAL SHARES INC DE 2.02,9.01 07/31/07
COMMUNITY FIRST INC TN 1.01,7.01,9.01 08/01/07
COMPUCREDIT CORP GA 2.02,9.01 08/01/07
COMPUWARE CORP MI 2.02,9.01 07/26/07
CONCUR TECHNOLOGIES INC WA 2.02,9.01 08/01/07
CONNS INC DE 5.02 08/01/07
CONSOLIDATED GRAPHICS INC /TX/ TX 2.02,9.01 08/01/07
CONSOLIDATED GRAPHICS INC /TX/ TX 2.02,9.01 08/01/07
Cooper-Standard Holdings Inc. DE 1.01,2.03,9.01 07/26/07
CORINTHIAN COLLEGES INC 2.02 08/01/07
CORPORATE OFFICE PROPERTIES TRUST MD 2.02,9.01 07/31/07
Cougar Biotechnology, Inc. 1.01 07/27/07
COX RADIO INC DE 2.02,9.01 08/01/07
CRESCENT REAL ESTATE EQUITIES CO TX 8.01,9.01 08/01/07
CROWN CASTLE INTERNATIONAL CORP DE 2.02,9.01 07/31/07
CRYOLIFE INC FL 3.03,5.02,5.03,5.05,9.01 07/30/07
CYBERSOURCE CORP DE 8.01,9.01 08/01/07
DATATRAK INTERNATIONAL INC OH 8.01,9.01 07/31/07
DAVI SKIN, INC. NV 1.01,9.01 06/21/07
DAVI SKIN, INC. NV 5.02 07/02/07
DAWSON GEOPHYSICAL CO TX 2.02,9.01 08/01/07
DAYTON POWER & LIGHT CO OH 8.01,9.01 07/27/07
DDI CORP CA 2.02,9.01 08/01/07
DENTSPLY INTERNATIONAL INC /DE/ DE 2.02,9.01 07/31/07
DEVON ENERGY CORP/DE DE 8.01 08/01/07
DEVON ENERGY CORP/DE DE 2.02,9.01 08/01/07
DIGI INTERNATIONAL INC DE 5.02 07/30/07
Discover Financial Services DE 1.01,9.01 07/26/07
DOL RESOURCES INC WY 5.01,5.02,9.01 07/27/07
Dolby Laboratories, Inc. DE 2.02,9.01 08/01/07
DOMINION RESOURCES INC /VA/ VA 2.02,9.01 08/01/07
Dorman Products, Inc. PA 2.02,9.01 06/30/07
DOW JONES & CO INC DE 8.01,9.01 07/31/07
DOW JONES & CO INC DE 5.02,9.01 07/31/07
DPL INC OH 5.02,8.01,9.01 07/27/07
DRESS BARN INC CT 2.02 08/01/07
DREW INDUSTRIES INC DE 2.02,7.01,9.01 07/31/07
DRI CORP NC 7.01,9.01 08/01/07
DUKE REALTY CORP IN 2.02,9.01 07/26/07
DUKE REALTY LIMITED PARTNERSHIP/ IN 2.02,9.01 07/26/07
Dussault Apparel Inc. 5.02 07/19/07
Dussault Apparel Inc. 1.01,9.01 07/19/07
DYNEGY INC. DE 7.01,9.01 08/01/07
E-Z-EM, Inc. DE 2.02,7.01,9.01 08/01/07
ECLIPSYS CORP DE 2.02,9.01 08/01/07
EDGAR ONLINE INC DE 2.02,5.03,9.01 07/31/07
Education Realty Trust, Inc. MD 2.02,7.01,9.01 07/31/07
EFJ INC DE 2.02,9.01 08/01/07
ELECTRO OPTICAL SCIENCES INC /NY 1.01,3.02,9.01 07/31/07
ELECTRONIC ARTS INC DE 2.02,9.01 08/01/07
ELECTRONIC DATA SYSTEMS CORP /DE/ DE 2.02,9.01 08/01/07
EMS TECHNOLOGIES INC GA 2.02,9.01 08/01/07
ENBRIDGE ENERGY PARTNERS LP DE 2.02,9.01 06/30/07
ENBRIDGE ENERGY PARTNERS LP DE 8.01,9.01 06/30/07
ENCORE ACQUISITION CO DE 2.02,9.01 07/31/07
ENDO PHARMACEUTICALS HOLDINGS INC DE 2.02,9.01 08/01/07
ENDOCARE INC DE 2.02,9.01 08/01/07
ENER1 INC FL 5.02 07/31/07
ENERGEN CORP AL 7.01,9.01 07/31/07
Energy Quest Inc. NV 1.01 07/31/07
ENGLOBAL CORP NV 8.01,9.01 07/26/07
ENGLOBAL CORP NV 8.01,9.01 07/31/07
ENTERCOM COMMUNICATIONS CORP PA 2.02,9.01 08/01/07
ENTERGY CORP /DE/ DE 1.02,5.02 07/26/07
EQUITY RESIDENTIAL MD 2.02,9.01 07/31/07
ERIE INDEMNITY CO PA 2.02,5.02,8.01,9.01 08/01/07
ESS TECHNOLOGY INC CA 2.02,9.01 08/01/07
EXAR CORP DE 5.02,9.01 07/30/07
EXECUTE SPORTS INC NV 1.01,2.03,3.02,8.01,9.01 08/01/07
Extra Space Storage Inc. MD 2.02,9.01 08/01/07
FAMILY HEALTHCARE SOLUTIONS INC NV 3.02 07/31/07
FAMILYMEDS GROUP, INC. NV 5.02,9.01 07/31/07
FAMOUS DAVES OF AMERICA INC MN 2.02,9.01 08/01/07
FEDERAL REALTY INVESTMENT TRUST MD 2.02,9.01 08/01/07
FedFirst Financial CORP X1 2.02,9.01 07/31/07
FelCor Lodging Trust Inc MD 2.02,9.01 07/31/07
FiberTower CORP DE 7.01,9.01 08/01/07
FINANCIAL INSTITUTIONS INC NY 2.02,9.01 07/26/07
FIRST BUSEY CORP /NV/ NV 2.01,5.02,5.03,9.01 07/31/07
First Federal of Northern Michigan Ba 2.02,9.01 07/30/07
FIRST KEYSTONE CORP PA 2.02 08/01/07
FIRST MERCURY FINANCIAL CORP DE 2.02,9.01 08/01/07
FIRST MIDWEST BANCORP INC DE 7.01,9.01 08/01/07
FIRST STATE BANCORPORATION NM 1.01,9.01 07/27/07
FIRSTBANK CORP MI 1.01,2.03 07/30/07
FLAGSTAR BANCORP INC MI 2.02,9.01 07/31/07
FLANDERS CORP NC 2.02 06/30/07
FOLDERA, INC 3.02,9.01 07/27/07
FOREST OIL CORP NY 1.01,7.01,8.01,9.01 07/31/07
FOREVERGREEN WORLDWIDE CORP NV 5.02 07/31/07
Foundation Coal Holdings, Inc. DE 2.02,9.01 08/01/07
FPIC INSURANCE GROUP INC FL 2.02,9.01 08/01/07
FROZEN FOOD EXPRESS INDUSTRIES INC TX 1.01,2.02,9.01 07/31/07
FURNITURE BRANDS INTERNATIONAL INC DE 2.02,9.01 08/01/07
GALAXY ENERGY CORP CO 1.01,9.01 12/29/06 AMEND
GARMIN LTD 2.02,9.01 08/01/07
GASCO ENERGY INC NV 7.01,9.01 08/01/07
GASCO ENERGY INC NV 2.02,9.01 06/30/07
GateHouse Media, Inc. DE 8.01,9.01 08/01/07
GE Dealer Floorplan Master Note Trust DE 8.01,9.01 08/01/07
GEN PROBE INC DE 2.02,9.01 08/01/07
GENAERA CORP DE 8.01,9.01 08/01/07
GENCO SHIPPING & TRADING LTD 2.02,9.01 08/01/07
GENERAL DATACOMM INDUSTRIES INC DE 2.03,9.01 07/30/07
GENERAL MARITIME CORP/ 7.01 08/01/07
GENERAL MILLS INC DE 8.01 08/01/07
GENERAL MOTORS CORP DE 8.01 08/01/07
GENESEE & WYOMING INC DE 2.02,9.01 08/01/07
GENTA INC DE/ DE 8.01,9.01 08/01/07
GENTIVA HEALTH SERVICES INC DE 2.02,9.01 08/01/07
GEODYNE ENERGY INCOME LTD PARTNERSHIP OK 2.01,9.01 07/11/07 AMEND
GEODYNE ENERGY INCOME LTD PARTNERSHIP OK 2.01,9.01 07/11/07 AMEND
GEODYNE ENERGY INCOME LTD PARTNERSHIP OK 2.01,9.01 07/11/07 AMEND
GEODYNE INSTITUTIONAL PENSION ENERGY OK 2.01,9.01 07/11/07 AMEND
Georgetown Bancorp, Inc. X1 2.02,9.01 07/30/07
GETTY IMAGES INC DE 2.02,2.05,9.01 07/30/07
GLADSTONE INVESTMENT CORPORATION\DE DE 8.01,9.01 08/01/07
Global Cash Access Holdings, Inc. DE 8.01,9.01 07/31/07
GLOBAL TRAFFIC NETWORK, INC. DE 1.01,9.01 07/26/07
GLU MOBILE INC 2.02,9.01 08/01/07
GOODYEAR TIRE & RUBBER CO /OH/ OH 2.01,9.01 07/31/07
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 07/27/07
GREAT AMERICAN FINANCIAL RESOURCES IN DE 2.02,9.01 06/30/07
GREER BANCSHARES INC SC 5.02,9.01 07/26/07
GRIFFIN LAND & NURSERIES INC DE 7.01,9.01 08/01/07
GuangZhou Global Telecom, Inc. FL 1.01,2.03,3.02,9.01 08/01/07
GULFMARK OFFSHORE INC DE 2.02,9.01 08/01/07
Hammonds Industries, Inc. NV 5.02,8.01,9.01 07/31/07
Hana Biosciences Inc DE 1.01,9.01 07/31/07
HAPC, Inc. DE 1.01,9.01 07/31/07
HARLEYSVILLE GROUP INC DE 2.02,9.01 08/01/07
HARTE HANKS INC DE 5.02,7.01,9.01 07/31/07
HEALTH CARE PROPERTY INVESTORS INC MD 5.02,9.01 07/26/07
HEALTH GRADES INC DE 2.02,9.01 08/01/07
HEALTH NET INC DE 2.02,9.01 08/01/07
HEALTHSOUTH CORP DE 8.01,9.01 07/31/07
HealthSpring, Inc. DE 2.02,9.01 07/31/07
HEARTLAND OIL & GAS CORP NV 3.02,5.02,8.01 07/27/07
HELMERICH & PAYNE INC DE 2.02,9.01 08/01/07
HENRY JACK & ASSOCIATES INC DE 5.02,9.01 07/31/07
HEPALIFE TECHNOLOGIES INC FL 1.01 07/26/07
HILTON HOTELS CORP DE 2.02,9.01 07/31/07
HINES HORTICULTURE INC DE 3.01,9.01 07/26/07
HOMELAND ENERGY SOLUTIONS LLC 1.01 07/26/07
HORACE MANN EDUCATORS CORP /DE/ DE 2.02,9.01 08/01/07
HORIZON OFFSHORE INC DE 2.02,8.01,9.01 08/01/07
Horne International, Inc. DE 2.02,9.01 08/01/07
HOSPIRA INC DE 5.02 08/01/07
HOSPITALITY PROPERTIES TRUST MD 2.02,8.01,9.01 07/26/07
Houston Wire & Cable CO 2.02 08/01/07
HUDSON VALLEY HOLDING CORP NY 2.02,8.01,9.01 07/31/07
HUMAN GENOME SCIENCES INC DE 2.02,9.01 08/01/07
Huntsman CORP DE 2.01,9.01 08/01/07
ICF International, Inc. DE 8.01,9.01 08/01/07
ICU MEDICAL INC/DE DE 1.01,3.03,8.01,9.01 07/30/07
IMATION CORP DE 1.01,3.03,9.01 07/30/07
IMMUNICON CORP 2.02,9.01 08/01/07
IMMUNOGEN INC MA 8.01,9.01 08/01/07
Implantable Vision, Inc. UT 7.01,9.01 07/31/07
INSITUFORM TECHNOLOGIES INC DE 2.02,9.01 07/26/07
INSURE.COM, INC DE 2.02,7.01,9.01 08/01/07
Intellect Neurosciences, Inc. 8.01,9.01 07/30/07
Intellect Neurosciences, Inc. 8.01,9.01 07/26/07
INTELLIGROUP INC NJ 5.02 07/26/07
INTER PARFUMS INC DE 1.01 07/30/07
INTERNATIONAL BUSINESS MACHINES CORP NY 5.02 07/31/07
INTERNET AMERICA INC TX 1.01,7.01,9.01 07/27/07
INTERVOICE INC TX 1.01,9.01 07/27/07
INVERNESS MEDICAL INNOVATIONS INC DE 2.02,9.01 08/01/07
INVISA INC 1.01 08/01/07
INVITROGEN CORP DE 1.01,5.02,9.01 07/26/07
INVITROGEN CORP DE 2.02,9.01 08/01/07
IRON MOUNTAIN INC DE 2.02,9.01 08/01/07
IRWIN FINANCIAL CORP IN 2.02,9.01 08/01/07
ISTA PHARMACEUTICALS INC DE 2.02,9.01 08/01/07
ITC DELTACOM INC DE 8.01,9.01 07/31/07
ITEX CORP NV 2.01,2.03,8.01,9.01 08/01/07
ITLA CAPITAL CORP CA 7.01 08/01/07
itLinkz Group, Inc. FL 1.01,3.02,5.01,9.01 07/30/07
ITRON INC /WA/ WA 2.02,9.01 08/01/07
ITRONICS INC TX 2.02 07/26/07
J P MORGAN CHASE & CO DE 9.01 07/30/07
JAGGED PEAK, INC. NV 7.01,9.01 08/01/07
JARDEN CORP DE 1.01,9.01 07/30/07
JAVELIN PHARMACEUTICALS, INC DE 5.03,9.01 07/26/07
JONES APPAREL GROUP INC PA 1.01,2.02,9.01 07/27/07
K2 INC DE 1.01,8.01,9.01 07/30/07
KBR, INC. DE 5.02 07/28/07
Keewatin Windpower Corp. NV 3.02,7.01,9.01 07/27/07
KENDLE INTERNATIONAL INC OH 2.02,9.01 08/01/07
KFORCE INC FL 2.02,9.01 07/31/07
KRAFT FOODS INC VA 2.02,9.01 08/01/07
LA JOLLA PHARMACEUTICAL CO DE 5.02 07/26/07
LANDAMERICA FINANCIAL GROUP INC VA 2.02,8.01,9.01 06/30/07
LAS VEGAS SANDS CORP NV 2.02,9.01 08/01/07
Lawson Software, Inc. MN 1.01 07/31/07
Lazard Ltd D0 2.02,9.01 08/01/07
LBO CAPITAL CORP CO 8.01 07/25/07
LEAPFROG ENTERPRISES INC 2.02,9.01 08/01/07
Legacy Bancorp, Inc. DE 7.01,9.01 08/01/07
LEMAITRE VASCULAR INC 2.02,9.01 08/01/07
LHC Group, Inc 4.02 07/31/07
LIFETIME BRANDS, INC DE 5.02 07/31/07
LIPID SCIENCES INC/ AZ 1.01,9.01 07/31/07
LIQUIDITY SERVICES INC 2.02,9.01 08/01/07
LITTELFUSE INC /DE DE 7.01,9.01 08/01/07
Live Nation, Inc. DE 5.02 07/31/07
LOCAL.COM DE 1.01,3.02,9.01 07/31/07
LOJACK CORP MA 2.02,9.01 08/01/07
LOOKSMART LTD DE 5.02 07/26/07
LOUISIANA BANCORP INC LA 2.02,9.01 08/01/07
LUBRIZOL CORP OH 5.02 07/31/07
lululemon athletica inc. DE 3.02,5.03,9.01 07/26/07
M45 Mining Resources, Inc. NV 4.01,9.01 07/22/07
MACKINAC FINANCIAL CORP /MI/ MI 8.01 08/01/07
MAGUIRE PROPERTIES INC MD 2.02,7.01,9.01 07/31/07
MANATRON INC MI 8.01,9.01 08/01/07
MANITOWOC CO INC WI 5.03,8.01,9.01 07/26/07
MANITOWOC CO INC WI 1.02,9.01 08/01/07
MANTECH INTERNATIONAL CORP DE 2.02,7.01,9.01 08/01/07
MARKETAXESS HOLDINGS INC 2.02,9.01 08/01/07
MARTHA STEWART LIVING OMNIMEDIA INC DE 2.02,9.01 08/01/07
MASTERCARD INC DE 2.02,7.01,9.01 08/01/07
MEADOWBROOK INSURANCE GROUP INC MI 2.02,9.01 07/30/07
MEADWESTVACO CORP DE 2.02,9.01 08/01/07
MEDAREX INC NJ 5.02 07/26/07
MERCHANTS BANCSHARES INC DE 2.02,9.01 07/30/07
METAL MANAGEMENT INC DE 5.02 07/26/07
MF Global Ltd. D0 2.02,9.01 08/01/07
MGIC INVESTMENT CORP WI 2.06,5.02 07/26/07
MILLENNIUM BANKSHARES CORP VA 5.02 07/26/07
MIPS TECHNOLOGIES INC DE 2.02,9.01 06/30/07
MOBILITY ELECTRONICS INC DE 1.02,2.02,9.01 07/27/07
MOCON INC MN 2.02,9.01 07/31/07
MOLEX INC DE 2.05 06/18/07 AMEND
MONMOUTH REAL ESTATE INVESTMENT CORP MD 5.02,9.01 07/26/07
MONROE BANCORP IN 7.01,9.01 08/01/07
MOODYS CORP /DE/ DE 2.02,7.01,8.01,9.01 08/01/07
MortgageIT Securities Corp. Mortgage DE 2.01,9.01 05/31/07
MOVIE GALLERY INC DE 1.01,9.01 07/31/07
MWI Veterinary Supply, Inc. DE 2.02,9.01 08/01/07
MWI Veterinary Supply, Inc. DE 5.03,9.01 07/30/07
MYLAN LABORATORIES INC PA 5.02 07/27/07
NABI BIOPHARMACEUTICALS DE 2.02,9.01 08/01/07
Nalco Finance Holdings LLC 2.02,9.01 07/31/07
Nalco Holding CO 2.02,8.01,9.01 07/31/07
Nalco Holdings LLC DE 2.02,9.01 07/31/07
NAPSTER INC DE 2.02,9.01 08/01/07
NATHANIEL ENERGY CORP NV 5.01 07/27/07
NATIONAL FINANCIAL PARTNERS CORP 2.02,9.01 08/01/07
NATIONWIDE FINANCIAL SERVICES INC/ DE 2.02,7.01 08/01/07
NATIONWIDE HEALTH PROPERTIES INC MD 2.02,9.01 08/01/07
NEENAH FOUNDRY CO WI 5.02,8.01,9.01 07/26/07
NELNET INC NE 8.01,9.01 07/31/07
NEOGEN CORP MI 5.02,9.01 07/26/07
NETLIST INC DE 5.02,9.01 07/26/07
NEW ENGLAND REALTY ASSOCIATES LIMITED MA 8.01,9.01 08/01/07
NEW FRONTIER ENERGY INC CO 1.01,9.01 07/31/07 AMEND
NEW JERSEY RESOURCES CORP NJ 2.02,9.01 08/01/07
NEW MEDIUM ENTERPRISES INC NV 3.02 08/01/07
NEW WORLD BRANDS INC DE 1.01,2.03,2.04,9.01 07/26/07
NEWALLIANCE BANCSHARES INC 2.02,9.01 07/31/07
NEWBRIDGE BANCORP NC 2.01,9.01 07/31/07
Newcastle Mortgage Securities Trust 2 8.01,9.01 07/12/07
NEWS CORP 1.01,8.01,9.01 07/31/07
NEXTPHASE WIRELESS, INC. NV 4.01,9.01 06/07/07 AMEND
NIC INC CO 2.02,7.01,9.01 08/01/07
NITROMED INC DE 2.02,9.01 08/01/07
NOBLE ENERGY INC DE 2.02,9.01 08/01/07
NORTEL NETWORKS CORP 5.02,9.01 08/01/07
NORTEL NETWORKS LTD 5.02,9.01 01/08/07
NORTH EUROPEAN OIL ROYALTY TRUST DE 2.02,9.01 07/31/07
NORTH VALLEY BANCORP CA 8.01,9.01 08/01/07
NORTHERN BORDER PIPELINE CO TX 2.02,7.01 08/01/07
NORTHERN ETHANOL, INC. DE 1.01,9.01 07/09/07
NORTHROP GRUMMAN CORP /DE/ DE 1.01,9.01 07/30/07
NORTHWAY FINANCIAL INC 2.02,9.01 08/01/07
NOVAMED INC DE 2.02,9.01 08/01/07
NowAuto Group, Inc. NV 2.02,7.01,9.01 08/01/07
NUVELO INC DE 2.02,2.05,5.02,9.01 08/01/07
NYSE Euronext DE 8.01 08/01/07
OCEANEERING INTERNATIONAL INC DE 2.02,9.01 08/01/07
OCWEN FINANCIAL CORP FL 2.02,9.01 07/31/07
OFFICEMAX INC DE 2.02,5.02,8.01,9.01 07/26/07
OGDEN GOLF CO CORP UT 5.02 08/01/07
OIL STATES INTERNATIONAL, INC DE 2.02,9.01 07/31/07
ON ASSIGNMENT INC DE 2.02,9.01 08/01/07
ONLINE RESOURCES CORP DE 1.01,9.01 07/26/07
OPENWAVE SYSTEMS INC DE 5.02,5.03,9.01 07/26/07
OPNET TECHNOLOGIES INC DE 2.02,9.01 08/01/07
OPTICAL COMMUNICATION PRODUCTS INC DE 8.01,9.01 08/01/07
OSHKOSH TRUCK CORP WI 2.02,9.01 08/01/07
OSTEOTECH INC DE 2.02,9.01 08/01/07
OVERSTOCK.COM, INC UT 1.02,9.01 08/01/07
Owens Corning DE 1.01,1.02,9.01 07/26/07
Owens Corning DE 2.02,9.01 08/01/07
OXIGENE INC DE 1.01,5.02,9.01 07/27/07
PACER INTERNATIONAL INC TN 5.02 07/31/07
PACIFIC CAPITAL BANCORP /CA/ CA 2.02,4.02,5.02,9.01 08/01/07
PACIFIC SUNWEAR OF CALIFORNIA INC CA 1.01,9.01 07/27/07
PANERA BREAD CO DE 7.01,9.01 08/01/07
PARALLEL PETROLEUM CORP DE 1.01,2.03,9.01 07/26/07
PARKER DRILLING CO /DE/ DE 2.02,9.01 08/01/07
PARKER HANNIFIN CORP OH 2.02,7.01,9.01 08/01/07
PDF SOLUTIONS INC DE 2.02,7.01,9.01 07/31/07
PEAK INTERNATIONAL LTD D0 2.02,9.01 08/01/07
PEDIATRIC PROSTHETICS INC 1.01,3.02,9.01 07/27/07
PENN OCTANE CORP DE 1.01 07/26/07
PENNSYLVANIA REAL ESTATE INVESTMENT T PA 5.02,9.01 07/26/07
PENSON WORLDWIDE INC DE 2.02,9.01 08/01/07
PEOPLES COMMUNITY BANCORP INC /MD/ MD 2.02,9.01 07/31/07
PetroHunter Energy Corp MD 2.03,9.01 07/31/07
PGT, Inc. DE 2.02,9.01 08/01/07
PHOTRONICS INC CT 2.02,9.01 08/01/07
PLANETOUT INC DE 2.02,9.01 08/01/07
PONIARD PHARMACEUTICALS, INC. WA 8.01,9.01 07/31/07
POWER INTEGRATIONS INC CA 2.02,5.03,9.01 07/30/07
POWER INTEGRATIONS INC CA 8.01,9.01 08/01/07
POWERWAVE TECHNOLOGIES INC DE 2.02,9.01 07/30/07
PRE PAID LEGAL SERVICES INC OK 5.02 06/30/07
PRIMEDIA INC DE 1.01,2.01,2.03,5.02,8.01,9.01 08/01/07
PROSPECT ENERGY CORP MD 8.01,9.01 08/01/07
PROSPERITY BANCSHARES INC TX 7.01,9.01 08/01/07
PROSPERO MINERALS CORP. NV 5.02 07/26/07
PROTOCALL TECHNOLOGIES INC NV 2.02,9.01 07/31/07
PRUDENTIAL FINANCIAL INC NJ 2.02,7.01,9.01 08/01/07
PUBLIC SERVICE ENTERPRISE GROUP INC NJ 2.02,9.01 08/01/07
PUBLIX SUPER MARKETS INC FL 2.02,9.01 08/01/07
QUAKER CHEMICAL CORP PA 2.02,9.01 08/01/07
QUALITY SYSTEMS INC CA 8.01,9.01 07/31/07
QUALITY SYSTEMS INC CA 8.01 07/30/07
QUANTUM CORP /DE/ DE 2.02,9.01 08/01/07
QWEST COMMUNICATIONS INTERNATIONAL IN DE 2.02 08/01/07
RAINMAKER SYSTEMS INC CA 2.02,7.01,9.01 08/01/07
RC2 CORP DE 2.02,9.01 07/31/07
REALTY INCOME CORP MD 2.02,9.01 08/01/07
REDWOOD TRUST INC MD 7.01,9.01 08/01/07
REGENERON PHARMACEUTICALS INC NY 2.02,9.01 08/01/07
REGENERX BIOPHARMACEUTICALS INC DE 7.01,9.01 07/31/07
REHABCARE GROUP INC DE 2.02,7.01,9.01 08/01/07
RELIV INTERNATIONAL INC DE 2.02,9.01 08/01/07
RENAISSANCERE HOLDINGS LTD 2.02,9.01 07/31/07
RESPONSE GENETICS INC 1.01,9.01 07/26/07
RICKS CABARET INTERNATIONAL INC TX 7.01,9.01 07/31/07
Rim Semiconductor CO UT 1.01,2.03,3.02,9.01 07/26/07
RIO VISTA ENERGY PARTNERS LP DE 1.01,2.01,8.01,9.01 07/26/07
RNS SOFTWARE, INC. NV 1.01,9.01 07/31/07
ROCKFORD CORP AZ 7.01,9.01 07/30/07
ROCKY MOUNTAIN CHOCOLATE FACTORY INC CO 7.01,9.01 08/01/07
RR Donnelley & Sons Co DE 2.02,9.01 08/01/07
RTI INTERNATIONAL METALS INC OH 2.02,9.01 07/31/07
RUBICON FINANCIAL INC DE 5.02,5.03,9.01 07/30/07
RUDOLPH TECHNOLOGIES INC DE 5.03,9.01 07/26/07
RYERSON INC. DE 2.02,8.01,9.01 08/01/07
Sabine Pass LNG, L.P. DE 8.01,9.01 08/01/07
SAIC, Inc. DE 1.01,9.01 07/31/07
Saint James CO NC 4.01,9.01 07/13/07 AMEND
SALISBURY BANCORP INC CT 8.01,9.01 08/01/07
SALTON INC DE 1.01,1.02,9.01 07/31/07
SAUER DANFOSS INC DE 2.02,9.01 08/01/07
SCBT FINANCIAL CORP SC 8.01,9.01 08/01/07
SCM MICROSYSTEMS INC DE 5.02,9.01 07/31/07
SELECTICA INC DE 8.01,9.01 07/27/07
SENOMYX INC DE 1.01,9.01 08/01/07
SENTRY TECHNOLOGY CORP 8.01,9.01 07/31/07
SGS International, Inc. DE 4.01 07/27/07
SHAW GROUP INC LA 4.02 07/27/07
Shire plc 8.01,9.01 07/27/07
SHUTTERFLY INC 2.02,9.01 08/01/07
SIENA TECHNOLOGIES, INC. NV 1.01,3.02,5.02,9.01 08/01/07
SIERRA MONITOR CORP /CA/ CA 2.02,9.01 08/01/07
SINCLAIR BROADCAST GROUP INC MD 2.02,9.01 08/01/07
SIRENZA MICRODEVICES INC DE 2.02,7.01,9.01 08/01/07
SK REALTY VENTURES INC 5.01,5.02 07/27/07
Skilled Healthcare Group, Inc. DE 5.02,9.01 07/26/07
SLADES FERRY BANCORP MA 7.01,9.01 08/01/07
SMITH MICRO SOFTWARE INC DE 2.01,9.01 08/01/07
SMUCKER J M CO OH 5.02 07/27/07
SONIC INNOVATIONS INC DE 2.02,9.01 07/31/07
SOUTHWESTERN ENERGY CO AR 7.01 08/01/07
SOUTHWESTERN PUBLIC SERVICE CO NM 8.01 07/30/07
SOVRAN SELF STORAGE INC MD 2.02,9.01 08/01/07
SPARTAN STORES INC MI 2.02,9.01 08/01/07
SPATIALIGHT INC NY 5.03 07/26/07
SPX CORP DE 2.02,9.01 08/01/07
STAKTEK HOLDINGS INC DE 2.02,9.01 08/01/07
STARBUCKS CORP WA 2.02,9.01 08/01/07
STEEL DYNAMICS INC IN 8.01,9.01 07/31/07
STERLING BANCORP NY 2.02,7.01,9.01 07/31/07
STERLING BANCSHARES INC TX 8.01 07/30/07
STERLING FINANCIAL CORP /WA/ WA 8.01,9.01 08/01/07
Stewart & Stevenson LLC DE 5.02,9.01 07/30/07
STONE ENERGY CORP DE 1.02 08/01/07
STONERIDGE INC OH 2.02 08/01/07
STRATTEC SECURITY CORP WI 2.02,9.01 07/31/07
SUN-TIMES MEDIA GROUP INC DE 8.01,9.01 07/31/07
SUPERIOR BANCORP DE 5.02,7.01,9.01 07/26/07
SYCAMORE NETWORKS INC DE 3.01,9.01 07/27/07
SYNPLICITY INC CA 2.02,9.01 08/01/07
T-3 ENERGY SERVICES INC TX 2.02,9.01 07/31/07
Tabatha V, Inc. CO 5.01,9.01 06/22/07
TASTY BAKING CO PA 2.02,7.01,9.01 08/01/07
TATONKA OIL & GAS, INC. CO 1.01,2.01,9.01 07/12/07
TECHE HOLDING CO LA 2.02,8.01,9.01 07/27/07
TEKELEC CA 2.02,9.01 08/01/07
TERRA SYSTEMS CORP UT 7.01,9.01 08/01/07
THERMAGE INC DE 2.02,9.01 08/01/07
THERMOGENESIS CORP DE 2.02,5.02,8.01,9.01 07/30/07
Thornburg Mortgage Securities Trust 2 DE 8.01,9.01 07/31/07
THQ INC DE 2.02,9.01 08/01/07
TIME WARNER CABLE INC. DE 2.02,9.01 08/01/07
TIME WARNER INC DE 2.02,9.01 08/01/07
TOLLGRADE COMMUNICATIONS INC \PA\ PA 5.02,7.01,9.01 08/01/07
TORCH ENERGY ROYALTY TRUST DE 8.01,9.01 07/26/07
TORTOISE CAPITAL RESOURCES CORP 8.01,9.01 07/30/07
TOWER AUTOMOTIVE INC DE 1.01,9.01 07/31/07
TRANSOCEAN INC E9 7.01,9.01 07/31/07
TRANSOCEAN INC E9 2.02,7.01 08/01/07
TRANSOCEAN INC E9 7.01,9.01 08/01/07 AMEND
TRI VALLEY CORP DE 5.02 08/01/07
TRIAD GUARANTY INC DE 8.01 08/01/07
TRW AUTOMOTIVE HOLDINGS CORP DE 2.02,9.01 08/01/07
TUPPERWARE BRANDS CORP DE 2.02,9.01 07/31/07
TUPPERWARE BRANDS CORP DE 5.02 08/01/07
TVI CORP MD 1.01,9.01 07/27/07
UGI CORP /PA/ PA 2.02,9.01 08/01/07
UGI UTILITIES INC PA 2.02,9.01 08/01/07
UNITED STATES LIME & MINERALS INC TX 2.02,9.01 07/31/07
UNITED STATIONERS INC DE 5.02 07/26/07
UNIVERSAL GUARDIAN HOLDINGS INC DE 2.05 07/30/07
UNIVERSAL STAINLESS & ALLOY PRODUCTS DE 8.01,9.01 07/31/07
Unum Group DE 2.02,7.01,9.01 08/01/07
URS CORP /NEW/ DE 5.02,9.01 08/01/07
USANA HEALTH SCIENCES INC UT 4.01,9.01 07/10/07 AMEND
USEC INC DE 2.02,9.01 08/01/07
VASCULAR SOLUTIONS INC DE 5.02 07/27/07
VELOCITY ASSET MANAGEMENT INC DE 1.01,3.02 07/27/07
VENTAS INC DE 1.01,2.03,9.01 07/27/07
VENTURE FINANCIAL GROUP INC WA 2.02,9.01 07/31/07
VERTEX PHARMACEUTICALS INC / MA MA 5.02 07/31/07
VICTORY RENEWABLE FUELS LLC 1.02,9.01 07/26/07
VINEYARD NATIONAL BANCORP CA 2.02,9.01 08/01/07
VIRAGE LOGIC CORP CA 2.02,9.01 08/01/07
VIRGINIA FINANCIAL GROUP INC VA 2.02,9.01 07/31/07
VIROPHARMA INC DE 2.02,9.01 08/01/07
VISTEON CORP DE 2.02,7.01,9.01 08/01/07
VIVUS INC CA 2.02,9.01 08/01/07
Voyager Learning CO DE 2.02,9.01 07/26/07
Voyager Petroleum, Inc. NV 5.02 06/17/07
W HOLDING CO INC PR 7.01,9.01 07/26/07
WACHOVIA ASSET SECURITIZATION INC 200 8.01,9.01 07/25/07
WACHOVIA ASSET SECURITIZATION INC AST 8.01,9.01 07/25/07
WALT DISNEY CO/ DE 2.02,9.01 08/01/07
WASTE INDUSTRIES USA INC NC 2.02,9.01 07/31/07
WAYNE SAVINGS BANCSHARES INC /DE/ DE 4.01,9.01 08/01/07
WebMD Health Corp. DE 5.02 07/26/07
WEBSITE PROS INC DE 2.02,9.01 08/01/07
WEIGHT WATCHERS INTERNATIONAL INC VA 2.02,9.01 08/01/07
WELLMAN INC DE 2.01,2.05,7.01,9.01 07/26/07
WELLS REAL ESTATE FUND I GA 7.01,9.01 08/01/07
WELLS REAL ESTATE FUND II GA 7.01,9.01 08/01/07
WELLS REAL ESTATE FUND II-OW GA 7.01,9.01 08/01/07
WELLS REAL ESTATE FUND III L P GA 7.01,9.01 08/01/07
WELLS REAL ESTATE FUND IX LP GA 7.01,9.01 08/01/07
WELLS REAL ESTATE FUND VIII LP GA 7.01,9.01 08/01/07
WELLS REAL ESTATE FUND X L P GA 7.01,9.01 08/01/07
WELLS REAL ESTATE FUND XI L P GA 7.01,9.01 08/01/07
WELLS REAL ESTATE FUND XII LP GA 7.01,9.01 08/01/07
WELLS REAL ESTATE FUND XIII L P 7.01,9.01 08/01/07
WELLS REAL ESTATE FUND XIV LP GA 7.01,9.01 08/01/07
WESBANCO INC WV 8.01,9.01 08/01/07
WESTERN DIGITAL CORP DE 5.02,9.01 07/31/07
Western Goldfields Inc. A6 2.02,9.01 08/01/07
WESTWOOD HOLDINGS GROUP INC DE 5.02 07/27/07
WHX CORP DE 1.01 07/27/07
WINLAND ELECTRONICS INC MN 2.02,9.01 08/01/07
WORKSTREAM INC 2.02,9.01 07/25/07
WORTHINGTON INDUSTRIES INC OH 8.01,9.01 08/01/07
WSFS FINANCIAL CORP DE 2.02,9.01 07/26/07
WVS FINANCIAL CORP PA 5.03,9.01 07/31/07
WYNDHAM WORLDWIDE CORP DE 2.02,7.01,9.01 08/01/07
XCEL ENERGY INC MN 8.01 07/30/07
YTB International, Inc. NY 1.01 07/27/07
YTB International, Inc. NY 2.02,9.01 08/01/07
ZAREBA SYSTEMS INC MN 2.01,9.01 08/01/07
ZHONGPIN INC. DE 2.02,7.01,9.01 08/01/07
ZILA INC DE 5.02,9.01 07/26/07
ZOOM TECHNOLOGIES INC DE 1.01,8.01,9.01 07/26/07
http://www.sec.gov/news/digest/2007/dig080207.htm
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