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SEC NEWS DIGEST
Issue 2007-152 August 8, 2007
RULES AND RELATED MATTERS
SEC AMENDS REGULATION SHO
On August 7, the Commission issued a release adopting amendments to
Rules 200 and 203 of Regulation SHO. The amendments will further
reduce fails to deliver in certain equity securities by eliminating
the grandfather provision of Regulation SHO. The amendments also
modify the close-out requirement for fails to deliver resulting from
sales of threshold securities pursuant to Rule 144 of the Securities
Act of 1933. In addition, the amendments update the market decline
limitation referenced in Regulation SHO. The amendments will be
effective 60 days from the date of publication of the amendments in
the Federal Register. Publication is expected in the Federal Register
during the week of August 13. (Rel. 34-56212)
SEC RE-PROPOSES AMENDMENTS TO REGULATION SHO
On August 7, the Commission issued a release re-proposing amendments
to Rule 203 of Regulation SHO. The re-proposed amendments are intended
to further reduce fails to deliver in certain equity securities by
proposing to eliminate the options market maker exception to the
close-out requirement of Regulation SHO. In addition, the release
proposes amendments to Rule 200 of Regulation SHO that would modify
the long sale marking requirements of Regulation SHO to require that
broker-dealers marking a sale as "long" document the present location
of the securities being sold. The comment period for the proposals
will end 30 days from the date of publication of the proposals in the
Federal Register. Publication is expected in the Federal Register
during the week of August 13. (Rel. 34-56213)
ENFORCEMENT PROCEEDINGS
ACTION BROUGHT AGAINST STEVEN E. MUTH TO ENFORCE COMMISSION ORDER
REQUIRING PAYMENT OF DISGORGEMENT, PREJUDGMENT INTEREST, AND PENALTIES
On August 7, the Commission commenced proceedings to collect
disgorgement plus prejudgment interest and a civil penalty previously
ordered in a Commission administrative proceeding against Steven E.
Muth, a resident of Denver, Colorado. The complaint, filed pursuant to
Section 21(e) of the Securities Exchange Act of 1934, requests a
federal court to order Muth to comply with the Commission's Order and
pay $14,204.75 of disgorgement, $18,756.05 in prejudgment interest,
and a $770,000 civil money penalty. The complaint charges that Muth
failed to comply with the terms of a prior Commission order imposing
remedial sanctions issued on Oct. 3, 2005, In the Matter of Steve E.
Muth, et al., 2005 SEC LEXIS 2488, Administrative Proceeding File No.
3-11346. [SEC v. Steven E. Muth, Civ. No. 07-CV-01655-MSK (D. Colo.)]
(LR-20229)
SEC WINS JUDGMENTS AGAINST PLATFORMS WIRELESS INTERNATIONAL
CORPORATION AND FOUR OF ITS OFFICERS
On August 6, the U.S. District Court for the Southern District of
California entered final judgments against Platforms Wireless
International Corp. (Platforms) and three of its current or former
officers, William C. Martin, former President, Chief Executive Officer
and Chairman of the Board of Directors, Robert D. Perry, former
President, and Francois M. Draper, former Chief Operating Officer, for
violating anti-fraud provisions of the federal securities laws. The
Court also entered final judgment against Platforms, Martin, and
Draper for violations of the registration requirements of the federal
securities laws. By order dated July 31, 2007, the Court also entered
final judgment against Charles B. Nelson, Senior Vice President and
Chief Financial Officer, for violating anti-fraud provisions of the
federal securities laws.
The Commission's complaint alleged that during 2000 and 2001 the
defendants issued a series of fraudulent press releases which falsely
portrayed Platforms' business activities. Platforms claimed to have an
aerial system, the ARC System, for transmitting cellular telephone
calls and other types of electronic data, using either fixed-wing
aircraft or a blimp to carry transmission equipment. However, many of
the statements in the press releases were fraudulent. During the
period when the defendants were issuing the statements in the press
releases, they were profiting from payments they received from the
company, from illegal stock sales into the secondary market, and/or
from stock sales made directly to investors.
The Court's orders enjoin Platforms, Martin, Draper and Nelson from
future violations of Section 10(b) of the Securities Exchange Act of
1934 and Rule 10b-5, enjoin Platforms and Martin from future
violations of Section 5 of the Securities Act of 1933, impose officer
and director and penny stock bars of various lengths against all
individual defendants except Nelson, and orders that defendants pay a
total of $355,000 in penalties and $3,324,695 in disgorgement and
prejudgment interest.[SEC v. PLATFORMS WIRELESS INTERNATIONAL CORP.,
WILLIAM C. MARTIN, CHARLES B. NELSON, ROBERT D. PERRY, FRANCOIS M.
DRAPER, and VICTOR L. ZILLER, Civil Action No. 04 CV 2105 JM
(AJB)(S.D.CA)] (LR-20230)
SELF-REGULATORY ORGANIZATIONS
PROPOSED RULE CHANGE
The National Association of Securities Dealers (n/k/a Financial
Industry Regulatory Authority, Inc.) filed a proposed rule change (SR-
NASD-2007-044) to expand the class of entities permitted to use the
delta hedging exemption from equity options position limits.
Publication is expected in the Federal Register during the week of
August 13. (Rel. 34-56207)
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE
The Commission issued notice of immediate effectiveness of a proposed
rule change (SR-NYSE-2007-65) filed by the New York Stock Exchange
relating to Rule 79A.30 (Miscellaneous Requirements on Stock Market
Procedures). Publication is expected in the Federal Register during
the week of August 13. (Rel. 34-56209)
ACCELERATED APPROVAL OF PROPOSED RULE CHANGE
The Commission granted accelerated approval to a proposed rule change
modifying an aspect of the definition of independent director (SR-
Amex-2007-58) submitted by the American Stock Exchange. Publication is
expected in the Federal Register during the week of August 13. (Rel.
34-56210)
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: <www.sec.gov>.
SB-2 MEDICALCV INC, 9725 SOUTH ROBERT TRAIL, INVER GROVE HEIGHTS, MN, 55077,
6514523000 - 0 ($4,077,450.00) Equity, (File 333-145169 - Aug. 7)
(BR. 10B)
S-8 QIAGEN NV, SPOORSTRAAT 50, KJ VENLO, P7, 5911, 31-77-320-8400 -
0 ($87,718,673.00) Equity, (File 333-145171 - Aug. 7) (BR. 01B)
S-8 SIRF TECHNOLOGY HOLDINGS INC, 217 DEVCON DRIVE, SAN JOSE, CA, 95112,
408-467-0410 - 2,097,310 ($8,074,643.50) Equity, (File 333-145173 -
Aug. 7) (BR. 10C)
S-3ASR SIRF TECHNOLOGY HOLDINGS INC, 217 DEVCON DRIVE, SAN JOSE, CA, 95112,
408-467-0410 - 5,992,159 ($117,266,551.63) Equity, (File 333-145174 -
Aug. 7) (BR. 10C)
S-8 INTEST CORP, 7 ESTERBROOK LANE, CHERRY HILL, NJ, 08003, 856-424-6886 -
500,000 ($2,115,000.00) Equity, (File 333-145176 - Aug. 7) (BR. 10B)
F-6 SANOFI-AVENTIS, 174 AVENUE DE FRANCE, PARIS, I0, 75013, 33153774400 -
500,000,000 ($25,000,000.00) ADRs/ADSs, (File 333-145177 - Aug. 7)
(BR. 01C)
S-8 Bristow Group Inc, 2000 W SAM HOUSTON PARKWAY SOUTH, SUITE 1700,
HOUSTON, TX, 77042, 7132677600 - 1,200,000 ($50,736,000.00) Equity,
(File 333-145178 - Aug. 7) (BR. 05B)
S-8 PETMED EXPRESS INC, 1441 SW 29 AVENUE, POMPANO BEACH, FL, 33069,
9549794788 - 1,000,000 ($14,890,000.00) Equity, (File 333-145179 -
Aug. 7) (BR. 01B)
S-8 PETMED EXPRESS INC, 1441 SW 29 AVENUE, POMPANO BEACH, FL, 33069,
9549794788 - 200,000 ($2,978,000.00) Equity, (File 333-145180 - Aug. 7)
(BR. 01B)
SB-2 GISSER AUTOMOTIVE CONCEPTS INC, 52 EDISON COURT, UNIT E, MONSEY, NY,
10952, 845 356 8008 - 10,000,000 ($10,000,000.00) Equity,
(File 333-145181 - Aug. 7) (BR. 05)
S-8 ELECTRONIC ARTS INC, 209 REDWOOD SHORES PARKWAY, REDWOOD CITY, CA,
94065, 650-628-1500 - 10,500,000 ($509,722,500.00) Equity,
(File 333-145182 - Aug. 7) (BR. 03A)
SB-2 Trina Quan, SUITE 150 - 10161 PARK RUN DRIVE, LAS VEGAS, NV, 89145,
702-835-6868 - 1,130,000 ($56,500.00) Equity, (File 333-145183 -
Aug. 7) (BR. 05)
S-8 HEALTHCARE REALTY TRUST INC, 3310 WEST END AVE, FOURTH FL SUITE 700,
NASHVILLE, TN, 37203, 6152699175 - 0 ($55,621,630.00) Equity,
(File 333-145184 - Aug. 7) (BR. 08B)
S-1 AMERICAN PUBLIC EDUCATION INC, 111 W CONGRESS STREET, CHARLES TOWN, WV,
25414, 3047243700 - 0 ($92,000,000.00) Equity, (File 333-145185 -
Aug. 7) (BR. 11)
S-3ASR WEST PHARMACEUTICAL SERVICES INC, 101 GORDON DR, P O BOX 645,
LIONVILLE, PA, 19341-0645, 6105942900 - 47,510 ($1,907,051.00) Equity,
(File 333-145186 - Aug. 7) (BR. 06B)
S-8 ADVANCED MICRO DEVICES INC, ONE AMD PL, MS 68, SUNNYVALE, CA,
94088-3453, 4087322400 - 8,000,000 ($105,120,000.00) Equity,
(File 333-145187 - Aug. 7) (BR. 10A)
S-8 EXXON MOBIL CORP, 5959 LAS COLINAS BLVD, IRVING, TX, 75039-2298,
9724441000 - 50,000,000 ($4,185,250,000.00) Equity, (File 333-145188 -
Aug. 7) (BR. 04A)
N-2 Cohen & Steers Global Income Builder, Inc, 280 PARK AVENUE, NEW YORK,
NY, 10017, 212-832-3232 - 0 ($1,000,000.00) Equity, (File 333-145189 -
Aug. 7) (BR. 22)
S-8 DUN & BRADSTREET CORP/NW, 103 JFK PARKWAY, 103 JFK PARKWAY,
SHORT HILLS, NJ, 07078, 9739215500 - 0 ($38,904,000.00) Equity,
(File 333-145191 - Aug. 7) (BR. 11C)
S-8 TECHNEST HOLDINGS INC, 10411 MOTOR CITY DRIVE, #650, BETHESDA, MD,
20817, 301-767-2810 - 827,721 ($405,583.29) Equity, (File 333-145192 -
Aug. 7) (BR. 10C)
S-4 NASDAQ STOCK MARKET INC, ONE LIBERTY PLAZA, NEW YORK, NY, 10006,
2128584750 - 0 ($2,008,500,736.00) Equity, (File 333-145193 - Aug. 7)
(BR. 06C)
S-8 National Interstate CORP, 3250 INTERSTATE DRIVE, RICHFIELD, OH, 44286,
(330) 659-8900 - 250,000 ($6,395,000.00) Equity, (File 333-145194 -
Aug. 7) (BR. 01A)
SB-2 ORCA INTERNATIONAL LANGUAGE SCHOOLS INC., 1685 - 58A STREET, DELTA, A1,
V4L 1X5, 604-817-0534 - 1,935,000 ($193,500.00) Equity,
(File 333-145195 - Aug. 7) (BR. )
S-8 SYMYX TECHNOLOGIES INC, 3100 CENTRAL EXPRESS WAY, SANTA CLARA, CA,
95051, 4087642000 - 0 ($69,582,605.00) Equity, (File 333-145196 -
Aug. 7) (BR. 01C)
S-3ASR ACTUANT CORP, ATTN: CHAD DELUKA, 13000 WEST SILVER SPRING DRIVE,
BUTLER, WI, 53007, 262-373-7438 - 0 ($0.00) Debt, (File 333-145197 -
Aug. 7) (BR. 06A)
SB-2 CHINA ORGANIC AGRICULTURE, INC., ERMAPAO GREEN RICE LIMITED,
EAST PING FENG XIANG ZHENG FU, QIAN GUO,
SONGYUAN CITY, JILIN PROVINCE, F4, 131108, 310-441-1888 -
20,000,000 ($21,000,000.00) ADRs/ADSs, (File 333-145198 - Aug. 7)
(BR. 02)
S-8 TETRA TECH INC, 3475 EAST FOOTHILL BOULEVARD, PASADENA, CA, 91107,
6263514664 - 0 ($8,044,000.00) Equity, (File 333-145199 - Aug. 7)
(BR. 06A)
S-3ASR AMYLIN PHARMACEUTICALS INC, 9360 TOWNE CENTRE DR, SUITE 110, SAN DIEGO,
CA, 92121, 6195522200 -
0 ($575,000,000.00) Debt Convertible into Equity, (File 333-145200 -
Aug. 7) (BR. 01C)
S-8 TETRA TECH INC, 3475 EAST FOOTHILL BOULEVARD, PASADENA, CA, 91107,
6263514664 - 0 ($60,330,000.00) Equity, (File 333-145201 - Aug. 7)
(BR. 06A)
S-8 AMYLIN PHARMACEUTICALS INC, 9360 TOWNE CENTRE DR, SUITE 110, SAN DIEGO,
CA, 92121, 6195522200 - 0 ($46,680,000.00) Equity, (File 333-145202 -
Aug. 7) (BR. 01C)
F-1 FreeSeas Inc., 93 AKTI MIAOULI, PIRAEUS, J3, 18233, 30-210-4528770 -
0 ($60,000,000.00) Equity, (File 333-145203 - Aug. 7) (BR. 05B)
S-8 PHARMOS CORP, 99 WOOD AVENUE SOUTH, SUITE 301, ISELIN, NJ, 08830,
7324529556 - 1,500,000 ($2,970,800.00) Equity, (File 333-145204 -
Aug. 7) (BR. 01B)
S-8 UNIVERSAL CORP /VA/, 1501 NORTH HAMILTON STREET, PO BOX 25099,
RICHMOND, VA, 23230, 8043599311 - 2,000,000 ($110,310,000.00) Equity,
(File 333-145205 - Aug. 7) (BR. 05A)
S-3 EPIQ SYSTEMS INC, 501 KANSAS AVENUE, KANSAS CITY, KS, 66105-1309,
9136219500 - 0 ($150,000,000.00) Other, (File 333-145206 - Aug. 7)
(BR. 03A)
S-8 COLUMBIA BANKING SYSTEM INC, 1102 BROADWAY PLAZA, TACOMA, WA, 98402,
2533051900 - 0 ($2,350,612.00) Equity, (File 333-145207 - Aug. 7)
(BR. 07C)
S-3ASR SCANA CORP, 1426 MAIN ST, MAIL CODE - 051, COLUMBIA, SC, 29201,
8032179000 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-145208 - Aug. 7) (BR. 02A)
S-3 Lawson Software, Inc., 380 ST PETER STREET, ST PAUL, MN, 55102,
651-767-7000 - 0 ($240,000,000.00) Debt Convertible into Equity,
(File 333-145209 - Aug. 7) (BR. 03)
F-10 NORTH AMERICAN PALLADIUM LTD, NORTH AMERICAN PALLADIUM STD,
130 ADELAIDE STREET W SUITE 2116, TORONTO ONTARIO CANA, A6, M5H3P5,
4163602655 - 0 ($382,679.50) Equity, (File 333-145210 - Aug. 7)
(BR. 04B)
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 8K ITEM NO.
NAME OF ISSUER CODE DATE COMMENT
1 800 CONTACTS INC DE 8.01,9.01 08/07/07
3D SYSTEMS CORP DE 2.02,7.01,9.01 08/06/07
AAON INC NV 5.02,8.01,9.01 07/18/07
ACCURIDE CORP DE 2.02,9.01 08/07/07
ACORDA THERAPEUTICS INC 2.02,9.01 08/07/07
ACTEL CORP CA 5.02 08/01/07
AcuNetx, Inc. NV 5.02 08/01/07
ADA-ES INC CO 7.01,9.01 08/07/07
ADAM INC GA 2.02,9.01 08/07/07
ADAPTEC INC DE 2.02,2.05,9.01 08/07/07
ADVANCED MEDICAL OPTICS INC DE 7.01 08/06/07
AEROSONIC CORP /DE/ DE 5.02,9.01 07/31/07
AETNA INC /PA/ PA 5.02 08/06/07
AGILYSYS INC OH 8.01 08/02/07
ALDILA INC DE 7.01,9.01 08/01/07
ALEXION PHARMACEUTICALS INC DE 5.02 08/01/07
Allegiant Travel CO NV 2.02,9.01 08/06/07
Alliance Bancorp Trust 2007-OA1 6.02,9.01 08/01/07
ALLIED HEALTHCARE INTERNATIONAL INC NY 2.02,9.01 08/07/07
ALLIED MOTION TECHNOLOGIES INC CO 2.02,5.02,9.01 08/02/07
ALLOS THERAPEUTICS INC DE 2.02,9.01 08/07/07
ALLOY INC DE 1.01,2.01,8.01,9.01 04/20/07 AMEND
ALLSCRIPTS HEALTHCARE SOLUTIONS INC DE 2.02,9.01 08/07/07
ALLSTATE LIFE GLOBAL FUNDING DE 9.01 08/01/07
ALMOST FAMILY INC DE 2.02,9.01 06/30/07
Alon USA Energy, Inc. DE 2.02,9.01 08/07/07
Alpha Natural Resources, Inc. DE 2.02,9.01 08/07/07
ALPINE AIR EXPRESS INC/DE DE 7.01,9.01 08/06/07
AMERICAN BANK NOTE HOLOGRAPHICS INC DE 2.02,5.02,9.01 08/06/07
American Caresource Holdings, Inc. DE 2.02,9.01 08/02/07
AMERICAN ENTERPRISE DEVELOPMENT CORP TX 1.01,9.01 03/31/06 AMEND
AMERICAN EXPRESS CO NY 7.01 08/06/07
AMERICAN ITALIAN PASTA CO DE 2.02,5.02,8.01,9.01 08/02/07
AMERICAN SCIENCE & ENGINEERING INC MA 2.02,9.01 08/06/07
AMERICAN SUPERCONDUCTOR CORP /DE/ DE 1.01,5.02,9.01 08/03/07
AMERICANWEST BANCORPORATION WA 7.01,9.01 08/07/07
AMICUS THERAPEUTICS INC DE 2.02,9.01 08/07/07
AMPAL-AMERICAN ISRAEL CORP NY 2.01,7.01,9.01 08/07/07
ANADARKO PETROLEUM CORP DE 5.02,9.01 08/06/07
ANALYTICAL SURVEYS INC CO 4.01 07/30/07 AMEND
ARC WIRELESS SOLUTIONS INC UT 2.02,9.01 08/06/07
ARDEN GROUP INC DE 2.02,9.01 08/07/07
ARGENTEX MINING CORP NV 3.02 07/30/07
ARGONAUT GROUP INC DE 1.01,9.01 08/06/07
Argyle Security Acquisition CORP 5.02 08/01/07
ASI TECHNOLOGY CORP NV 2.02,9.01 08/07/07
ASPECT MEDICAL SYSTEMS INC DE 5.02,9.01 08/07/07
ASPEN INSURANCE HOLDINGS LTD D0 7.01,9.01 08/07/07
ASYST TECHNOLOGIES INC CA 2.02,9.01 08/02/07
Atlas Energy Resources, LLC DE 2.02,9.01 08/06/07
ATMOS ENERGY CORP TX 2.02,9.01 08/07/07
ATRION CORP DE 2.02,9.01 08/07/07
ATS CORP DE 2.02,9.01 08/07/07
ATS MEDICAL INC MN 2.02,5.02,9.01 08/01/07
ATWOOD OCEANICS INC TX 2.02,7.01,9.01 08/07/07
AURIGA LABORATORIES, INC. DE 2.02,7.01,9.01 08/07/07
AVON PRODUCTS INC NY 1.01,2.03,9.01 08/06/07
AXESSTEL INC NV 2.02,9.01 08/07/07
AXIS CAPITAL HOLDINGS LTD 2.02,9.01 08/06/07
BAKER MICHAEL CORP PA 5.02,9.01 08/03/07
BAKER MICHAEL CORP PA 2.02,9.01 08/07/07
Bancorp, Inc. 2.02,9.01 08/06/07
BankFinancial CORP 8.01,9.01 08/07/07
BARRIER THERAPEUTICS INC DE 2.02,9.01 08/07/07
Basic Services, Inc. NV 8.01 08/03/07
BEA SYSTEMS INC DE 5.02 08/06/07
Bear Stearns Mortgage Funding Trust 2 DE 9.01 02/28/07 AMEND
BERKSHIRE HILLS BANCORP INC 8.01,9.01 08/07/07
Bidz.com, Inc. CA 2.02,9.01 08/06/07
BILL BARRETT CORP 2.02,7.01,9.01 08/07/07
BIO RAD LABORATORIES INC DE 2.02,9.01 06/30/07
BIOCRYST PHARMACEUTICALS INC DE 1.01,3.02,9.01 08/06/07
BIOMARIN PHARMACEUTICAL INC DE 2.02,9.01 08/07/07
BioMed Realty Trust Inc MD 2.02,8.01 08/06/07
BioMed Realty Trust Inc MD 1.01,2.03,9.01 08/01/07
BITSTREAM INC DE 2.02,9.01 08/07/07
BLUE NILE INC DE 2.02,9.01 08/06/07 AMEND
BLUEFLY INC DE 5.02,9.01 08/06/07
BlueLinx Holdings Inc. DE 2.02,9.01 08/07/07
BOOTS & COOTS INTERNATIONAL WELL CONT DE 2.02,9.01 08/06/07
BORGWARNER INC DE 5.02 08/03/07
BOSTON BEER CO INC MA 2.02,9.01 08/07/07
BRIGHAM EXPLORATION CO DE 2.02,7.01,9.01 08/06/07
Brilliant Technologies, CORP 8.01 08/01/07
BROADCOM CORP CA 5.02 08/06/07
Bronco Drilling Company, Inc. DE 7.01,9.01 08/07/07
BSD MEDICAL CORP DE 7.01,9.01 08/06/07
BUCA INC /MN MN 2.02,5.02,9.01 08/07/07
BUCKEYE TECHNOLOGIES INC DE 5.02 08/07/07
BULLION RIVER GOLD CORP 1.01,2.03 08/03/07
CALIFORNIA COASTAL COMMUNITIES INC DE 2.02,9.01 08/06/07
CALLISTO PHARMACEUTICALS INC DE 1.01,3.02,5.03,9.01 08/01/07
CAM COMMERCE SOLUTIONS INC DE 2.02,9.01 08/07/07
CAMBREX CORP DE 2.02,9.01 08/07/07
CARDIODYNAMICS INTERNATIONAL CORP CA 8.01,9.01 08/07/07
CARMIKE CINEMAS INC DE 2.02,9.01 08/07/07
CASCADE MICROTECH INC 5.02 08/01/07
CASPIAN INTERNATIONAL OIL CORP DE 5.02 08/01/07
CBRE Realty Finance Inc 2.02,7.01,9.01 08/06/07
CBRL GROUP INC TN 7.01,9.01 08/07/07
CELL GENESYS INC DE 2.02,9.01 08/07/07
Centennial Bank Holdings, Inc. DE 2.02,7.01 08/02/07
CENTERPOINT ENERGY INC 8.01 08/02/07
CEPHEID CA 2.02,9.01 08/07/07
CHARLES RIVER LABORATORIES INTERNATIO 2.02,9.01 08/07/07
CHART INDUSTRIES INC DE 5.02,5.03,8.01,9.01 08/02/07
CHECKFREE CORP \GA\ DE 1.01,3.03,5.02,9.01 08/02/07
CHINA BROADBAND INC 4.01,9.01 08/01/07
CHINA BROADBAND INC 1.01,2.01,2.03,3.02,5.01,5.02, 01/23/07 AMEND
9.01
China Water & Drinks Inc.. NV 5.02,9.01 07/27/07
China Water & Drinks Inc.. NV 5.02,9.01 07/24/07
CHURCH & DWIGHT CO INC /DE/ DE 2.02,9.01 08/07/07
CHURCHILL DOWNS INC KY 2.02,9.01 08/07/07
CINCINNATI FINANCIAL CORP OH 2.02,9.01 08/07/07
CISCO SYSTEMS INC CA 2.02 08/07/07
CIT GROUP INC DE 8.01,9.01 08/07/07
CITIBANK CREDIT CARD MASTER TRUST I DE 8.01 08/07/07
CMS ENERGY CORP MI 8.01 08/07/07
Cobalis Corp NV 8.01 08/01/07
COCA COLA ENTERPRISES INC DE 8.01,9.01 07/31/07
COGENT COMMUNICATIONS GROUP INC 2.02,9.01 08/07/07
COLLAGENEX PHARMACEUTICALS INC DE 2.02,9.01 08/07/07
COLUMBIA LABORATORIES INC DE 2.02,9.01 08/07/07
COMFORCE CORP DE 2.02,9.01 08/02/07
COMMUNITY BANKS INC /PA/ PA 8.01,9.01 08/07/07
COMMUNITY CAPITAL CORP /SC/ SC 8.01 08/07/07
COMMUNITY FINANCIAL CORP /VA/ VA 2.02 07/25/07
COMPUDYNE CORP NV 5.02,9.01 08/06/07
Comtech Group Inc MD 1.01,9.01 08/01/07
Comtech Group Inc MD 2.02,9.01 08/07/07
CONNS INC DE 2.02,9.01 08/07/07
CONSECO INC DE 2.02,9.01 08/06/07
COOPER TIRE & RUBBER CO DE 1.01,5.02,9.01 08/03/07
CORNELL COMPANIES INC DE 2.02,9.01 08/07/07
CORRECTIONS CORP OF AMERICA MD 2.02,5.02,9.01 08/06/07
CORTLAND BANCORP INC OH 2.02 08/07/07
CORVEL CORP DE 5.02,7.01,9.01 08/07/07
CREDIT ACCEPTANCE CORPORATION MI 2.02,9.01 08/02/07
CREE INC NC 2.02,9.01 08/07/07
CRESCENT BANKING CO GA 2.02,9.01 08/03/07
CRIMSON EXPLORATION INC. 5.02,9.01 08/01/07
CRITICAL PATH INC CA 5.02 08/01/07
CRM Holdings, Ltd. 2.02,9.01 08/07/07
CYBERONICS INC DE 5.02,9.01 08/01/07
CYNOSURE INC 2.02,9.01 08/07/07
CYTORI THERAPEUTICS, INC. DE 5.02 08/02/07
D&E COMMUNICATIONS INC PA 2.02,9.01 08/06/07
DATAJUNGLE SOFTWARE INC NV 1.01,3.02,5.02,9.01 08/01/07
DATAMEG CORP DE 8.01 07/25/07
DCT Industrial Trust Inc. MD 2.02,9.01 08/07/07
DEAN FOODS CO DE 2.02,9.01 08/07/07
DECODE GENETICS INC DE 2.02,9.01 08/01/07
Deep Down, Inc. NV 2.03 08/07/07
Delek US Holdings, Inc. 2.02,9.01 08/07/07
DENDREON CORP DE 2.02,9.01 08/07/07
DEPOMED INC CA 2.02,9.01 08/07/07
Deutsche Alt-A Securities Mortgage Lo DE 6.02,9.01 08/01/07
DIAMOND MANAGEMENT & TECHNOLOGY CONSU DE 2.02,9.01 08/07/07
DIAMOND OFFSHORE DRILLING INC DE 7.01,9.01 08/06/07
DigitalFX International Inc FL 8.01 08/01/07
DISCOVERY LABORATORIES INC /DE/ DE 2.02,8.01,9.01 08/02/07
Dividend Capital Total Realty Trust I MD 1.01,2.01,2.03,9.01 08/01/07
DOLLAR THRIFTY AUTOMOTIVE GROUP INC DE 2.02,9.01 08/07/07
DONALDSON CO INC DE 1.01 07/27/07
DORCHESTER MINERALS LP DE 2.02,7.01,9.01 06/30/07
DRI CORP NC 7.01,9.01 08/07/07
Duke Energy CORP DE 2.02,9.01 08/07/07
DUNE ENERGY INC DE 8.01,9.01 08/07/07
DURECT CORP DE 2.02,9.01 08/07/07
E COM VENTURES INC FL 1.01,9.01 08/02/07
EBIX INC DE 2.02,5.02,9.01 07/31/07
EBIX INC DE 7.01 08/07/07
ECASH, INC DE 5.02,9.01 08/06/07
ECOLAB INC DE 8.01,9.01 08/07/07
EL PASO CORP/DE DE 2.02,7.01,9.01 08/07/07
ELECTRO ENERGY INC FL 8.01 08/01/07
EMAGIN CORP DE 2.02,9.01 08/07/07
EMC INSURANCE GROUP INC IA 2.02,7.01,9.01 08/07/07
Emergency Medical Services CORP DE 2.02,9.01 08/07/07
Emergent BioSolutions Inc. DE 2.02,9.01 08/06/07
EMERSON ELECTRIC CO MO 2.02,7.01,9.01 08/07/07
EMISPHERE TECHNOLOGIES INC DE 2.02,9.01 08/07/07
EMS TECHNOLOGIES INC GA 5.03,9.01 08/03/07
ENCYSIVE PHARMACEUTICALS INC DE 2.02,9.01 08/06/07
ENCYSIVE PHARMACEUTICALS INC DE 8.01 08/06/07
ENERNOC INC 2.02,9.01 08/07/07
EnerSys DE 5.02,9.01 08/02/07
ENGLOBAL CORP NV 2.02,9.01 08/07/07
ENOVA SYSTEMS INC CA 1.01,3.02,9.01 07/25/07 AMEND
ENTERTAINMENT DISTRIBUTION CO INC DE 2.02,9.01 08/07/07
EPIQ SYSTEMS INC MO 8.01,9.01 08/07/07
EPIX Pharmaceuticals, Inc. 2.02,9.01 08/07/07
EPLUS INC DE 1.01,9.01 08/02/07
ERESEARCHTECHNOLOGY INC /DE/ DE 2.02,9.01 08/02/07
ESCO TECHNOLOGIES INC MO 2.02,7.01,9.01 08/07/07
EVANS SYSTEMS INC TX 8.01,9.01 08/01/07
EVANS SYSTEMS INC TX 5.02 06/15/07
Ever-Glory International Group, Inc. FL 5.02 07/30/07
Evercore Partners Inc. DE 2.02,9.01 08/07/07
EXCO RESOURCES INC TX 2.02,9.01 08/06/07
EXELIXIS INC DE 2.02,9.01 08/07/07
EXIDE TECHNOLOGIES DE 2.02,9.01 08/07/07
Expedia, Inc. 5.02,9.01 08/07/07
EXTREME NETWORKS INC DE 2.02,9.01 08/01/07
FCStone Group, Inc. DE 1.01,8.01,9.01 08/03/07
Federal Home Loan Bank of Atlanta X1 2.03 08/01/07
Federal Home Loan Bank of Atlanta X1 5.02,7.01 08/06/07
Federal Home Loan Bank of Boston X1 2.03 08/02/07
Federal Home Loan Bank of Boston X1 2.02,9.01 08/07/07
Federal Home Loan Bank of Chicago X1 2.03 08/01/07
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 08/02/07
Federal Home Loan Bank of Dallas 2.03 08/01/07
Federal Home Loan Bank of Des Moines X1 2.03,9.01 08/03/07
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 08/01/07
Federal Home Loan Bank of New York X1 2.03,5.05,9.01 08/02/07
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 08/01/07
Federal Home Loan Bank of San Francis X1 2.03 08/01/07
Federal Home Loan Bank of Seattle 2.03 08/06/07
Federal Home Loan Bank of Topeka 2.03 08/01/07
FEDERAL SIGNAL CORP /DE/ DE 7.01,9.01 08/06/07
FERMAVIR PHARMACEUTICALS, INC. FL 4.02,9.01 08/01/07
FiberTower CORP DE 2.02,9.01 08/07/07
FIFTH THIRD BANCORP OH 8.01,9.01 08/01/07
FINANCIAL SECURITY ASSURANCE HOLDINGS NY 2.02,9.01 08/06/07
Firepond, Inc. DE 1.01 08/06/07
FIRST COMMONWEALTH FINANCIAL CORP /PA PA 7.01,9.01 08/07/07
FIRST SOUTH BANCORP INC /VA/ VA 2.02,9.01 07/17/07 AMEND
FIRSTENERGY CORP OH 2.02,9.01 08/07/07
FLUOR CORP DE 2.02,9.01 08/07/07
FLUSHING FINANCIAL CORP DE 7.01,9.01 08/07/07
FOCUS ENHANCEMENTS INC DE 2.03,9.01 08/01/07
Fox Chase Bancorp Inc X1 2.02,9.01 08/07/07
FREMONT MICHIGAN INSURACORP INC MI 2.02,9.01 08/07/07
FTI CONSULTING INC MD 7.01,9.01 08/03/07
FULTON FINANCIAL CORP PA 8.01 08/07/07
FULTON FINANCIAL CORP PA 7.01,8.01,9.01 08/07/07
FX ENERGY INC NV 2.02,9.01 08/07/07
GAIAM INC CO 2.02,9.01 08/07/07
GASTAR EXPLORATION LTD 7.01,9.01 08/07/07
GENERAL MILLS INC DE 2.03,9.01 08/03/07
GENTA INC DE/ DE 2.02,9.01 08/07/07
GENVEC INC DE 2.02,9.01 08/07/07
GEVITY HR INC FL 2.02 08/07/07
GEVITY HR INC FL 1.01,5.02,9.01 08/03/07
GILEAD SCIENCES INC DE 1.01,9.01 05/10/07
GLIMCHER REALTY TRUST MD 1.01,2.03,9.01 08/07/07
Global Resource CORP CO 9.01 09/22/06 AMEND
GMH Communities Trust MD 2.02,9.01 08/06/07
GOAMERICA INC DE 1.01,2.03,3.02,5.02,5.03,9.01 08/01/07
GOLDEN GRAIN ENERGY 1.01 08/01/07
GOLDMAN SACHS HEDGE FUND PARTNERS LLC DE 7.01 08/07/07
GOLDMAN SACHS HEDGE FUND PARTNERS LLC DE 3.02 08/07/07
GOLFSMITH INTERNATIONAL HOLDINGS INC DE 2.02,9.01 08/07/07
GOODRICH PETROLEUM CORP DE 8.01,9.01 08/07/07
GRANITE CITY FOOD & BREWERY LTD MN 2.02,9.01 08/07/07
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 08/03/07
GRAPHIC PACKAGING CORP DE 2.02,8.01,9.01 08/06/07
GREATBATCH, INC. DE 2.02,9.01 08/07/07
GREATER BAY BANCORP CA 2.02,9.01 08/07/07
GRYPHON GOLD CORP NV 3.02,7.01,9.01 08/07/07
GUARDIAN TECHNOLOGIES INTERNATIONAL I DE 9.01 08/07/07
GUITAR CENTER INC DE 2.02,8.01 08/07/07
H&R BLOCK INC MO 1.01 08/01/07
HARLEYSVILLE GROUP INC DE 7.01 08/07/07
HARLEYSVILLE GROUP INC DE 5.02,8.01,9.01 08/07/07
HARRIS CORP /DE/ DE 2.02,7.01,9.01 08/07/07
Harris Stratex Networks, Inc. DE 2.02,9.01 08/07/07
HEALTH CARE REIT INC /DE/ DE 2.02,9.01 08/07/07
HEALTHEXTRAS INC DE 2.02,9.01 08/06/07
HealthMarkets, Inc. DE 1.01,5.02,5.05,9.01 08/02/07
HEALTHTRONICS, INC. GA 2.02,7.01,9.01 06/30/07
Heelys, Inc. DE 9.01 08/07/07
HEMOSENSE INC DE 1.01,8.01,9.01 08/06/07
HEMOSENSE INC DE 2.02,9.01 08/07/07
HENRY SCHEIN INC DE 2.02,9.01 03/31/07
HEWITT ASSOCIATES INC DE 2.02,8.01,9.01 08/07/07
HFF, Inc. DE 2.02,9.01 08/06/07
Highland Distressed Opportunities, In 7.01,9.01 08/07/07
HINES HORTICULTURE INC DE 3.01,9.01 08/06/07
HOME PROPERTIES INC MD 7.01,9.01 08/06/07
HRPT PROPERTIES TRUST MD 2.02,9.01 08/07/07
Huron Consulting Group Inc. DE 2.02,9.01 06/30/07
I-LEVEL MEDIA GROUP INC NV 5.02 08/06/07
IASIS Healthcare LLC DE 2.02,9.01 08/07/07
IBASIS INC DE 1.01,9.01 08/01/07
IDENIX PHARMACEUTICALS INC 2.02,9.01 08/02/07
II-VI INC PA 2.02,9.01 08/07/07
IMERGENT INC DE 8.01 08/06/07
IMPERIAL PETROLEUM INC NV 1.01,5.02,9.01 08/02/07
INDEPENDENT BANK CORP MA 8.01 08/01/07
INDEVUS PHARMACEUTICALS INC DE 1.01,2.03,3.02,8.01,9.01 08/06/07
INDEVUS PHARMACEUTICALS INC DE 2.02,9.01 08/07/07
INFORM WORLDWIDE HOLDINGS INC FL 1.01 07/31/07
INSIGHT ENTERPRISES INC DE 2.02,9.01 08/07/07
INSIGHT HEALTH SERVICES HOLDINGS CORP 1.01,1.02,3.02,3.03,5.01,5.02, 08/01/07
8.01,9.01
INTEGRA LIFESCIENCES HOLDINGS CORP DE 2.02,9.01 08/07/07
INTEGRA LIFESCIENCES HOLDINGS CORP DE 1.01,7.01,9.01 08/06/07
InterDigital, Inc. PA 8.01,9.01 08/07/07
Intermec, Inc. DE 5.02 08/06/07
INTERNATIONAL BUSINESS MACHINES CORP NY 8.01,9.01 08/07/07
INTERNATIONAL FLAVORS & FRAGRANCES IN NY 2.02 06/30/07
International Securities Exchange Hol 2.02,9.01 08/07/07
Intersearch Group Inc FL 2.02,9.01 08/07/07
INTRUSION INC DE 2.02,9.01 08/07/07
INVERNESS MEDICAL INNOVATIONS INC DE 1.01,8.01,9.01 08/06/07
INVESTORS TITLE CO NC 2.02,9.01 06/30/07
IPG PHOTONICS CORP DE 2.02,9.01 08/07/07
ISOTIS INC DE 1.01,2.02,9.01 08/06/07
ITEX CORP NV 7.01,9.01 08/07/07
J P MORGAN CHASE & CO DE 9.01 08/03/07
J2 GLOBAL COMMUNICATIONS INC DE 2.02,7.01,9.01 08/06/07
J2 GLOBAL COMMUNICATIONS INC DE 5.02 08/03/07
JACK IN THE BOX INC /NEW/ DE 5.03,8.01,9.01 08/02/07
JAVA DETOUR INC. DE 1.01,2.01,9.01 08/02/07
JL HALSEY CORP 8.01,9.01 08/03/07
KAMAN CORP CT 5.02,9.01 08/07/07
KBS Real Estate Investment Trust, Inc MD 2.01,9.01 07/16/07 AMEND
KING PHARMACEUTICALS INC TN 2.02,9.01 08/07/07
KMG America CORP VA 2.02,9.01 08/07/07
KOPIN CORP DE 2.02,9.01 08/07/07
KSW INC NY 2.02,9.01 08/02/07
L 3 COMMUNICATIONS HOLDINGS INC DE 5.02,8.01,9.01 08/01/07
LADENBURG THALMANN FINANCIAL SERVICES FL 2.02,9.01 08/07/07
LADISH CO INC WI 8.01,9.01 08/06/07
LEAP WIRELESS INTERNATIONAL INC DE 2.02,9.01 08/07/07
Legacy Bancorp, Inc. DE 7.01,9.01 08/06/07
LINCOLN EDUCATIONAL SERVICES CORP NJ 2.02,9.01 08/07/07
LITTLE SQUAW GOLD MINING CO AK 8.01,9.01 08/02/07
LMI AEROSPACE INC MO 2.02,9.01 08/07/07
LOGIC DEVICES INC CA 2.03,9.01 08/07/07
LOOKSMART LTD DE 5.02,9.01 08/02/07
LTC PROPERTIES INC MD 2.02,9.01 08/07/07
LUFKIN INDUSTRIES INC TX 5.02,9.01 08/02/07
LUMINENT MORTGAGE CAPITAL INC 7.01,9.01 08/07/07
MACROVISION CORP DE 1.01,2.02,5.02,9.01 08/06/07
MADISON GAS & ELECTRIC CO WI 2.02,9.01 08/07/07
MAJESTIC STAR CASINO LLC IN 2.02,9.01 06/30/07
MANPOWER INC /WI/ WI 1.01,9.01 08/01/07
MARINE GROWTH VENTURES INC 1.01,9.01 07/30/07
MARSH & MCLENNAN COMPANIES, INC. DE 2.02,9.01 08/07/07
MARSH & MCLENNAN COMPANIES, INC. DE 1.01,9.01 08/06/07
MARTIN MARIETTA MATERIALS INC NC 2.02,7.01,9.01 08/07/07
MARTIN MIDSTREAM PARTNERS LP DE 2.02,9.01 08/07/07
MATHSTAR INC MN 2.02,9.01 08/07/07
MAUI LAND & PINEAPPLE CO INC HI 2.02,9.01 08/03/07
MCCLATCHY CO DE 5.02 08/06/07
McCormick & Schmicks Seafood Restaura 2.02,9.01 08/07/07
MCDERMOTT INTERNATIONAL INC R1 2.02,9.01 08/07/07
MCF CORP DE 2.02,9.01 08/07/07
MEDIACOM COMMUNICATIONS CORP DE 2.02,9.01 08/07/07
MEDICIS PHARMACEUTICAL CORP DE 2.02,9.01 08/07/07
MEDIWARE INFORMATION SYSTEMS INC NY 5.02,9.01 08/02/07
METABOLIX, INC. DE 2.02,9.01 08/07/07
MGE ENERGY INC WI 2.02,9.01 08/07/07
MGIC INVESTMENT CORP WI 7.01,9.01 08/07/07
MHI Hospitality CORP MD 2.02,9.01 08/07/07
MICROTEK MEDICAL HOLDINGS, INC GA 1.01,8.01,9.01 08/07/07
MICRUS ENDOVASCULAR CORP 2.02,9.01 08/07/07
MIDDLESEX WATER CO NJ 8.01 08/07/07
MIDDLETON DOLL CO WI 2.01 08/01/07
MILLER INDUSTRIES INC /TN/ TN 2.02,9.01 08/07/07
MOBILE MINI INC DE 2.02,9.01 08/07/07
MOD PAC CORP NY 2.02,9.01 08/07/07
Mogul Energy International, Inc. DE 8.01,9.01 07/30/07
MOHEGAN TRIBAL GAMING AUTHORITY 2.02,9.01 08/07/07
MOLSON COORS BREWING CO CO 2.02,9.01 08/07/07
MOMENTA PHARMACEUTICALS INC DE 2.02,9.01 08/07/07
MONMOUTH REAL ESTATE INVESTMENT CORP MD 7.01,9.01 08/06/07
MPC CORP CO 8.01,9.01 08/07/07
MSC SOFTWARE CORP DE 2.02,9.01 08/07/07
MUELLER INDUSTRIES INC DE 5.02,9.01 08/02/07
MUNICIPAL MORTGAGE & EQUITY LLC DE 8.01,9.01 08/02/07
MxEnergy Holdings Inc 1.01,9.01 08/01/07
NATHANIEL ENERGY CORP NV 5.02 07/30/07
NATIONAL HEALTH INVESTORS INC MD 2.02 06/30/07
NATIONAL HEALTH REALTY INC MD 1.01,8.01,9.01 08/03/07
NATIONAL HOME HEALTH CARE CORP DE 3.01,9.01 08/02/07
NATURAL GAS SERVICES GROUP INC 2.02 06/30/07
NAVARRE CORP /MN/ MN 2.02,9.01 08/06/07
NBTY INC DE 5.02,9.01 08/02/07
NBTY INC DE 7.01,9.01 08/06/07
NDS GROUP PLC X0 2.02,9.01 08/07/07
NEW CENTURY BANCORP INC NC 2.02,8.01,9.01 08/06/07
NEW YORK MORTGAGE TRUST INC MD 2.02,7.01,9.01 08/06/07
Nexxus Lighting, Inc. DE 1.01,9.01 08/03/07
NIAGARA MOHAWK POWER CORP /NY/ NY 5.02 08/07/07
NICOR INC IL 7.01,9.01 08/07/07
NMT MEDICAL INC DE 2.02,9.01 08/07/07
NNN Apartment REIT, Inc. MD 1.01,2.01,2.03,7.01,9.01 08/01/07
NORTHEAST BANCORP /ME/ ME 2.02,7.01 08/03/07
NOVEN PHARMACEUTICALS INC DE 2.02 08/07/07
NPS PHARMACEUTICALS INC DE 1.01,2.02,2.03,3.02,8.01,9.01 08/07/07
Nuance Communications, Inc. DE 2.02,9.01 08/07/07
Nuance Communications, Inc. DE 8.01,9.01 08/07/07
ODYSSEY MARINE EXPLORATION INC NV 8.01,9.01 08/07/07
OGDEN GOLF CO CORP UT 5.02 08/01/07 AMEND
OHIO VALLEY BANC CORP OH 5.02 05/09/07
ONYX PHARMACEUTICALS INC DE 2.02,9.01 08/07/07
OPENTV CORP 2.02,9.01 08/02/07
OPHTHALMIC IMAGING SYSTEMS CA 2.02,7.01,9.01 08/03/07
OPTIMAL GROUP INC 7.01 08/07/07
ORIGEN FINANCIAL INC DE 2.02,9.01 08/06/07
ORTHOFIX INTERNATIONAL N V 2.02,9.01 08/07/07
ORTHOVITA INC 2.02,8.01,9.01 08/03/07
OSTEOTECH INC DE 5.02 08/01/07
PACIFIC GAS & ELECTRIC CO CA 2.02,7.01,9.01 08/07/07
PAPA JOHNS INTERNATIONAL INC DE 2.02,9.01 08/07/07
PAREXEL INTERNATIONAL CORP MA 2.02,9.01 08/06/07
Patriot Capital Funding, Inc. DE 2.02,9.01 08/07/07
PEABODY ENERGY CORP DE 7.01,9.01 08/07/07
PEDIATRIX MEDICAL GROUP INC FL 2.02,8.01,9.01 08/07/07
PEERLESS SYSTEMS CORP DE 5.02,9.01 08/02/07
PEOPLES EDUCATIONAL HOLDINGS MN 1.01,9.01 08/07/07
PERFORMANCE FOOD GROUP CO TN 2.02,9.01 08/07/07
PERICOM SEMICONDUCTOR CORP CA 2.02,9.01 08/07/07
PERINI CORP MA 2.02,9.01 06/30/07
PERMA FIX ENVIRONMENTAL SERVICES INC DE 2.02,9.01 08/07/07
PETROQUEST ENERGY INC DE 2.02 08/07/07
PG&E CORP CA 2.02,7.01,9.01 08/07/07
PHARMACOPEIA DRUG DISCOVERY INC DE 7.01,9.01 08/07/07
PHOTON DYNAMICS INC CA 5.02 08/01/07
PIER 1 IMPORTS INC/DE DE 8.01,9.01 08/07/07
PINNACLE AIRLINES CORP DE 2.02,9.01 08/07/07
PINNACLE ENTERTAINMENT INC DE 2.02,9.01 08/07/07
PIONEER FINANCIAL SERVICES INC MO 4.01,9.01 07/27/07 AMEND
PIONEER NATURAL RESOURCES CO DE 2.02,9.01 08/07/07
PIONEER NATURAL RESOURCES CO DE 8.01 08/07/07
PLAINS EXPLORATION & PRODUCTION CO DE 2.02,7.01,9.01 08/07/07
PLANAR SYSTEMS INC OR 2.02,9.01 08/07/07
PLAYBOY ENTERPRISES INC DE 2.02,9.01 08/07/07
POLYMEDICA CORP MA 7.01,9.01 08/01/07
POWER AIR CORP NV 5.02 08/02/07
POWER ONE INC DE 5.02 08/01/07
Prestige Brands Holdings, Inc. 2.02,7.01,9.01 08/07/07
PRIMEDIA INC DE 8.01,9.01 08/07/07 AMEND
PROFUTURES DIVERSIFIED FUND L P DE 4.01,9.01 07/16/07 AMEND
Propex Inc. DE 2.02,9.01 08/07/07
PROTON LABORATORIES INC WA 1.01,5.01,5.02,5.03 07/27/07
PROVIDENCE SELECT FUND LP 4.02 08/02/07
PROVIDENCE SERVICE CORP DE 1.01,2.01,2.03,3.02,9.01 08/01/07
PXRE GROUP LTD 7.01,9.01 08/07/07
QUIPP INC FL 2.02,9.01 08/06/07
RADIO ONE INC DE 5.02,9.01 08/06/07
RALCORP HOLDINGS INC /MO MO 2.02,9.01 07/18/07
RAM Holdings Ltd. D0 1.01,5.02,7.01,9.01 08/01/07
RANCHER ENERGY CORP. NV 5.02,7.01,9.01 08/03/07
RBS GLOBAL INC DE 2.02,9.01 08/07/07
REGENT COMMUNICATIONS INC DE 2.02,9.01 08/07/07
RELM WIRELESS CORP NV 1.01,9.01 08/02/07
RENOVIS INC DE 2.02,9.01 08/07/07
RESMED INC DE 2.02,9.01 08/07/07
RESOURCE AMERICA INC DE 2.02,9.01 06/30/07
REWARDS NETWORK INC DE 2.02,9.01 08/07/07
REX ENERGY CORP DE 5.02,9.01 08/01/07
RIGEL PHARMACEUTICALS INC DE 2.02,9.01 08/07/07
ROBERTS REALTY INVESTORS INC GA 8.01,9.01 08/07/07
ROCK OF AGES CORP DE 2.02,9.01 08/07/07
Rock-Tenn CO GA 1.01,9.01 08/06/07
Rosetta Resources Inc. DE 7.01,9.01 08/06/07
RPC INC DE 8.01,9.01 08/07/07
RR Donnelley & Sons Co DE 8.01,9.01 08/02/07
SALEM COMMUNICATIONS CORP /DE/ DE 2.02,7.01,9.01 08/07/07
SALTON INC DE 1.01,9.01 08/06/07
SANDERS MORRIS HARRIS GROUP INC TX 2.02,7.01,9.01 08/07/07
SANTANDER DRIVE AUTO RECEIVABLES LLC DE 6.01,8.01,9.01 08/06/07
SCICLONE PHARMACEUTICALS INC DE 2.02,9.01 08/07/07
SCIELE PHARMA, INC. DE 8.01,9.01 08/03/07
SCOLR Pharma, Inc. DE 2.02,9.01 08/07/07
SENESCO TECHNOLOGIES INC DE 1.01,9.01 08/01/07
Sequoia Mortgage Trust 2007-3 1.01,9.01 07/27/07
Shire plc 8.01,9.01 08/07/07
SIGMATEL INC DE 2.02,9.01 08/07/07
SILVERADO GOLD MINES LTD A1 8.01,9.01 08/06/07
Skilled Healthcare Group, Inc. DE 2.02,9.01 08/07/07
SL GREEN REALTY CORP MD 2.01,9.01 08/01/07
SLM CORP DE 8.01 08/06/07
Solar Power, Inc. NV 4.02 07/25/07 AMEND
Somaxon Pharmaceuticals, Inc. DE 2.02,9.01 08/07/07
SONUS NETWORKS INC DE 2.02,5.02,9.01 08/07/07
SOURCE INTERLINK COMPANIES INC DE 1.01,2.01,5.02,9.01 08/01/07
SOURCEFIRE INC DE 2.02,9.01 08/02/07
SOUTHSIDE BANCSHARES INC TX 2.02,9.01 08/06/07
SOYO GROUP INC NV 4.02 08/07/07
SPANISH BROADCASTING SYSTEM INC DE 2.02,9.01 08/07/07
Spectrum Brands, Inc. WI 2.02,9.01 08/07/07
SPIRIT FINANCE CORP 1.01,1.02,2.03,5.01,5.02 08/01/07
SPORT HALEY INC CO 8.01,9.01 08/03/07
SPRINT NEXTEL CORP KS 5.02,9.01 08/07/07
SRKP 10 INC DE 1.01,3.02,9.01 08/03/07
SRKP 5 INC 1.01,3.02,9.01 08/03/07
STATER BROS HOLDINGS INC DE 7.01,9.01 08/06/07
STEVEN MADDEN, LTD. DE 2.02,9.01 08/07/07
STILLWATER MINING CO /DE/ DE 2.02,9.01 08/06/07
STRUCTURED PRODUCTS CORP CASTSM STEP DE 8.01,9.01 08/01/07
STRUCTURED PRODUCTS CORP CORTS TR FOR DE 8.01,9.01 08/01/07
STRUCTURED PRODUCTS CORP CORTS TR FOR DE 8.01,9.01 08/01/07
STRUCTURED PRODUCTS CORP CORTS TR II DE 8.01,9.01 08/01/07
STRUCTURED PRODUCTS CORP CORTS TR III DE 8.01,9.01 08/01/07
STRUCTURED PRODUCTS CORP CORTS TRUST DE 8.01,9.01 08/01/07
STRUCTURED PRODUCTS CORP TIERS R INFL DE 8.01,9.01 08/01/07
STRUCTURED PRODUCTS CORPTIERS PRINC P DE 8.01,9.01 08/01/07
SUBURBAN PROPANE PARTNERS LP DE 5.02 08/06/07
SULPHCO INC NV 4.02 08/07/07
SUMTOTAL SYSTEMS INC DE 7.01,9.01 08/07/07
SUN MICROSYSTEMS, INC. DE 2.05,5.03,8.01 08/01/07
SUNAIR SERVICES CORP FL 2.01,8.01,9.01 08/01/07
Sunburst Holding CORP DE 8.01 08/07/07
Super Micro Computer, Inc. CA 2.02,9.01 08/07/07
SUREWEST COMMUNICATIONS CA 2.02,9.01 08/07/07
TAL International Group, Inc. DE 2.02,9.01 08/06/07
TARGACEPT INC 2.02,9.01 08/07/07
TARGET CORP MN 9.01 08/07/07
TARGETED GENETICS CORP /WA/ WA 8.01,9.01 08/06/07
Tarpon Industries, Inc. MI 1.01,3.02,9.01 08/03/07
TECHNE CORP /MN/ MN 2.02,9.01 08/07/07
TECHNICAL COMMUNICATIONS CORP MA 2.02,9.01 08/07/07
TECHNOLOGY INVESTMENT CAPITAL CORP MD 2.02,9.01 08/07/07
TechTarget Inc 2.02,9.01 06/30/07
TECTON CORP NV 8.01 08/03/07
Telanetix,Inc DE 2.02,9.01 08/07/07
TELECOMMUNICATION SYSTEMS INC /FA/ 5.02 08/01/07
TELEPHONE & DATA SYSTEMS INC /DE/ DE 2.02,9.01 08/07/07
TELETECH HOLDINGS INC DE 2.02,8.01,9.01 08/05/07
TENET HEALTHCARE CORP NV 2.02,9.01 08/07/07
Tennessee Valley Authority 7.01,8.01,9.01 08/01/07
TESORO CORP /NEW/ DE 2.02,9.01 08/07/07
THAXTON GROUP INC SC 8.01,9.01 07/30/07
THOR INDUSTRIES INC DE 2.02,8.01,9.01 08/06/07
TOFUTTI BRANDS INC DE 5.02,9.01 08/06/07
TOPSPIN MEDICAL INC 8.01,9.01 08/02/07
TRANSNATIONAL FINANCIAL NETWORK INC CA 1.01 08/02/07
TREATY OAK BANCORP INC TX 2.02,9.01 08/06/07
TREDEGAR CORP VA 2.02,9.01 08/07/07
TriView Global Fund, LLC DE 4.02 08/02/07
TRUEYOU.COM DE 3.02,5.01 07/18/07
TRUMP ENTERTAINMENT RESORTS, INC. DE 2.02,7.01,9.01 08/07/07
TXCO Resources Inc DE 2.02,9.01 08/01/07
TYCO INTERNATIONAL LTD /BER/ D0 2.02,9.01 08/07/07
U S PHYSICAL THERAPY INC /NV NV 7.01 08/06/07
U S WIRELESS DATA INC DE 5.02 08/01/07
U-Store-It Trust MD 2.02,9.01 08/06/07
U-Store-It Trust MD 1.01,1.02,5.02,9.01 08/06/07
UDR, Inc. MD 7.01,9.01 08/07/07
UIL HOLDINGS CORP CT 8.01,9.01 08/07/07
UNICA CORP 2.02,9.01 08/07/07
UNIFIRST CORP MA 3.02 08/07/07
UNISOURCE ENERGY CORP AZ 2.02,9.01 08/06/07
UNITED ONLINE INC DE 2.02,9.01 08/07/07
UNITED STATES CELLULAR CORP DE 2.02,9.01 08/07/07
UNITY BANCORP INC /NJ/ NJ 8.01,9.01 08/07/07
UNIVERSAL AMERICAN FINANCIAL CORP NY 2.02,7.01 08/03/07
UNIVERSAL COMPRESSION HOLDINGS INC DE 2.02,9.01 08/07/07
Universal Compression Partners, L.P. DE 2.02,9.01 08/07/07
UNIVERSAL CORP /VA/ VA 2.02,5.02,8.01,9.01 08/07/07
UNIVERSAL TECHNICAL INSTITUTE INC DE 2.02,9.01 08/07/07
UNIVERSAL TRAVEL GROUP NV 1.01,2.01,2.03,3.02,9.01 08/06/07
VARIAN MEDICAL SYSTEMS INC DE 1.01,2.03,3.03 07/27/07 AMEND
VAXGEN INC DE 5.02,9.01 08/01/07
VERENIUM CORP DE 2.02,9.01 08/06/07
VICAL INC DE 2.02,9.01 08/07/07
VIRAGE LOGIC CORP CA 8.01,9.01 08/07/07
VITAL IMAGES INC MN 2.02,9.01 08/07/07
VIVUS INC CA 2.02,9.01 08/01/07
W&T OFFSHORE INC TX 2.02,9.01 08/07/07
WARNACO GROUP INC /DE/ DE 2.02,9.01 08/07/07
Warner Music Group Corp. DE 2.02,7.01,9.01 08/07/07
WARREN RESOURCES INC MD 7.01,9.01 08/07/07
WASHINGTON GROUP INTERNATIONAL INC DE 2.02,9.01 08/06/07
WATERFORD GAMING LLC DE 8.01 08/07/07
Watson Wyatt Worldwide, Inc. DE 1.01 07/27/07
WEB.COM, INC. MN 2.02,9.01 08/07/07
WEINGARTEN REALTY INVESTORS /TX/ TX 5.02 08/01/07
Wells Timberland REIT, Inc. MD 1.01,8.01 08/03/07
WESTAFF INC DE 5.02,9.01 08/01/07
WHERIFY WIRELESS INC DE 1.01,3.02,9.01 08/01/07
WORLDGATE COMMUNICATIONS INC DE 8.01,9.01 08/01/07
WPCS INTERNATIONAL INC DE 1.01,2.01,9.01 08/01/07
WPT ENTERPRISES INC 2.02,9.01 08/07/07
Wright Express CORP 2.02,8.01,9.01 08/07/07
XETA TECHNOLOGIES INC OK 8.01,9.01 08/03/07
XOMA LTD /DE/ DE 5.02,9.01 08/03/07
XTENT INC 2.02,9.01 08/07/07
YOUBET COM INC DE 2.02,9.01 08/07/07
YTB International, Inc. NY 1.01,9.01 08/03/07
YTB International, Inc. NY 7.01,9.01 08/07/07
ZANETT INC DE 2.02,9.01 08/02/07
ZAREBA SYSTEMS INC MN 9.01 08/01/07 AMEND
ZIPREALTY INC 2.02,9.01 08/07/07
http://www.sec.gov/news/digest/2007/dig080807.htm
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