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SEC NEWS DIGEST
Issue 2007-159 August 17, 2007
ENFORCEMENT PROCEEDINGS
SEC CHARGES MARC DUCHESNE, JEFFREY HAYDEN, GREGORY MOFFITT, AND ROBERT
PARSLEY WITH MARKET MANIPULATION
On August 16, the Securities and Exchange Commission filed a civil
action in the United States District Court for the District of
Columbia against Marc T. Duchesne, Jeffrey A. Hayden, Gregory A.
Moffitt, Robert S. Parsley, and Nationwide Capital Corporation for
participating in a fraudulent scheme concerning Nationwide.
The complaint alleges that, in August and September 2002, defendants
Duchesne, Hayden, Moffitt, and Parsley carried out a scheme to
manipulate the price of Nationwide's stock. The scheme was
orchestrated by Duchesne, and began with a matched trade between
Duchesne and Hayden that inflated Nationwide's stock price from
pennies to $9.35 per share. The complaint alleges that, thereafter,
Duchesne, Hayden, and Parsley bought or sold Nationwide shares at
inflated prices to increase the price of Nationwide stock, to generate
volume, and to prime the market for the manipulated shares. The
complaint further alleges that Nationwide, Duchesne, and Moffitt
disseminated false and misleading information regarding Nationwide's
financial condition and business prospects, as part of the
manipulative scheme. This information included a false press release,
false public filings, and a website that falsely portrayed Nationwide
and its business prospects. According to the complaint, the object of
the scheme was to artificially inflate the price of Nationwide stock,
to induce public investors to purchase Nationwide stock, to support
Nationwide's attempt to acquire other companies, and to enable certain
of the defendants to profit from selling Nationwide stock at
artificially-inflated prices. The scheme collapsed on Oct. 1, 2002,
when the Commission suspended trading in Nationwide securities.
The complaint charges each of the defendants with violating the
antifraud provisions of the federal securities laws, Section 10(b) of
the Securities Exchange Act of 1934 and Rule 10b-5 thereunder.
Duchesne and Hayden are also charged with violating Section 17(a) of
the Securities Act of 1933, which is also an antifraud provision.
Nationwide is also charged with violating the issuer reporting
provisions, Section 15(d) of the Exchange Act and Rules 15d-11 and
15d-13 thereunder, and Duchesne and Moffitt are charged with aiding
and abetting those violations. Nationwide, Moffitt and Parsley have
consented to the entry of judgments against them, without admitting or
denying the allegations in the SEC's complaint. Specifically,
Nationwide has consented to the entry of an injunction against future
violations of Sections 10(b) and 15(d) of the Exchange Act and Rules
15d-11, 15d-13, and 10b-5 thereunder. Moffitt has consented to the
entry of an injunction against future violations of Section 10(b) of
the Exchange Act and Rule 10b-5 thereunder, and from aiding and
abetting violations of Section 15(d) of the Exchange Act and Rules
15d-11 and 15d-13. Moffitt has also consented to the entry of an order
barring him from participating in offerings of penny stocks and
barring him from serving as an officer or director of a public
company. Parsley has consented to the entry of an injunction against
future violations of Section 10(b) of the Exchange Act and Rule 10b-5
thereunder, and has consented to the entry of an order requiring him
to pay a $75,000 civil penalty, and barring him from participating in
offerings of penny stocks. The requested relief is subject to court
approval. [SEC v. Marc T. Duchesne, Jeffrey A. Hayden, Gregory A.
Moffitt, Robert S. Parsley, and Nationwide Capital Corporation, Civil
Action No. 07-cv-01475, JDB, D.D.C. Aug. 16, 2007] (LR-20246; Press
Rel. 2007-166)
SEC CHARGES ADDITIONAL BROCADE EXECUTIVE FOR ROLE IN STOCK OPTION
BACKDATING SCHEME
On August 17, the Commission filed fraud charges against Michael J.
Byrd, a former Chief Financial Officer and Chief Operating Officer of
Brocade Communications Systems, Inc., alleging that he disregarded
indications that other senior corporate executives were improperly
backdating stock option grants at the company. The Commission alleges
that Byrd, of Saratoga, Calif., learned of instances in which
Brocade's then-CEO and others were backdating options for certain
individuals, yet failed to ensure that the company properly accounted
for the option expenses and disclosed them to investors.
The Commission's complaint, filed in federal district court in San
Francisco, Calif., alleges that Brocade's CEO repeatedly granted
valuable "in-the-money" options to employees and executives, but
signed backdated grant paperwork to avoid reporting significant
expenses associated with the grants. According to the Commission, Byrd
received information suggesting certain executive grants were being
backdated, but failed to take appropriate action to determine the
scope of the misconduct or to ensure that the options were properly
accounted for by the company. The complaint cites instances in which
Brocade purported to grant options to executives on dates before they
had even been hired by the company; according to the Commission, Byrd
was personally involved in interviewing some of these executives and
thus on notice that option paperwork was being falsified so that the
employees could receive favorably priced options.
The Commission further alleges that Byrd himself received a backdated
option grant after becoming the company's Chief Operating Officer in
2001, and filed a disclosure statement with the Commission falsely
stating that the options had been granted on an earlier date.
The complaint charges Byrd with violations of Section 17(a) of the
Securities Act, Sections 10(b), 13(a), 13(b)(2)(A), 13(b)(2)(B),
13(b)(5), and 16(a) of the Securities Exchange Act, and Rules 10b-5,
12b-20, 13a-1, 13a-13, 13b2-1, 13b2-2, and 16a-3 thereunder, and seeks
relief including disgorgement of ill-gotten gains and civil monetary
penalties. [SEC v. Michael J. Byrd, Case No. C 07-4223 WHA, N.D. Cal.,
Aug. 17, 2007] (LR-20247)
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A proposed rule change (SR-ISE-2007-70) filed with the Commission by
the International Securities Exchange relating to ISE Open/Close Trade
Profile Fees has become effective under Section 19(b)(3)(A) of the
Securities Exchange Act of 1934. Publication is expected in the
Federal Register during the week of August 20. (Rel. 34-56254)
A proposed rule change filed by the Philadelphia Stock Exchange (SR-
Phlx-2007-51) relating to an increase in the maximum number of quoters
permitted in an option has become effective pursuant to Section
19(b)(3)(A) of the Securities Exchange Act of 1934. (Rel. 34-56261)
A proposed rule change (SR-Amex-2007-86) filed with the Commission by
the American Stock Exchange to extend a pilot program that increases
position and exercise limits for equity options and options on the
Nasdaq-100 Tracking Stock has become effective under Section
19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is
expected in the Federal Register during the week of August 20. (Rel.
34-56262)
A proposed rule change (SR-ISE-2007-69) filed by the International
Securities Exchange relating to the extension of a pilot period to
increase position limits and exercise limits for equity options and
options on the Nasdaq-100 Tracking Stock has become effective under
Section 19(b)(3)(A) of the Securities Exchange Act of 1934.
Publication is expected in the Federal Register during the week of
August 20. (Rel. 34-56263)
A proposed rule change (SR-NYSEArca-2007-84) filed by NYSE Arca to
extend the position and exercise limit pilot program has become
effective under Section 19(b)(3)(A) of the Securities Exchange Act of
1934. Publication is expected in the Federal Register during the week
of August 20. (Rel. 34-56264)
A proposed rule change (SR-FINRA-2007-002) filed with the Commission
by the Financial Industry Regulatory Authority to extend a pilot
program that increases position and exercise limits for certain equity
options has become effective under Section 19(b)(3)(A) of the
Securities Exchange Act of 1934. Publication is expected in the
Federal Register during the week of August 20. (Rel. 34-56265)
A proposed rule change (SR-CBOE-2007-97) filed by the Chicago Board
Options Exchange relating to the extension of a pilot program that
increases the standard position and exercise limits for certain
options traded on CBOE has become effective under Section 19(b)(3)(A)
of the Securities Exchange Act of 1934. Publication is expected in the
Federal Register during the week of August 20. (Rel. 34-56266)
A proposed rule change (SR-Phlx-2007-58) filed by the Philadelphia
Stock Exchange relating to the extension of the position limits pilot
program has become effective under Section 19(b)(3)(A) of the
Securities Exchange Act of 1934. Publication is expected in the
Federal Register during the week of August 20. (Rel. 34-56267)
A proposed rule change (SR-BSE-2007-41) filed with the Commission by
the Boston Stock Exchange to extend the time period for the position
limits pilot program has become effective under Section 19(b)(3)(A) of
the Securities Exchange Act of 1934. Publication is expected in the
Federal Register during the week of August 20. (Rel. 34-56268)
ACCELERATED APPROVAL OF PROPOSED RULE CHANGES
The Commission provided notice of and granted accelerated approval to
a proposed rule change(SR-Amex-2007-75), as modified by Amendments No.
1 and 2, filed by the American Stock Exchange under Rule 19b-4 of the
Securities Exchange Act of 1934 to establish a Directed Order Program.
Publication is expected in the Federal Register during the week of
August 20. (Rel. 34-56269)
The Commission issued notice of filing and order granting accelerated
approval of a proposed rule change (SR-NYSE-2007-74) filed by New York
Stock Exchange under Rule 19b-4 of the Securities Exchange Act of 1934
to amend Sections 703.22 and 802.01D of the Exchange's Listed Company
Manual regarding the listing and trading of Index-Linked Securities.
Publication is expected in the Federal Register during the week of
August 20. (Rel. 34-56271)
PROPOSED RULE CHANGE
A proposed rule change has been filed by the Chicago Board Options
Exchange (SR-CBOE-2007-98) regarding expansion of the Penny Pilot
Program under Section 19(b)(2) of the Securities Exchange Act of 1934.
Publication is expected in the Federal Register during the week of
August 20. (Rel. 34-56276)
APPROVAL OF PROPOSED RULE CHANGE
The Commission granted approval to a proposed rule change (SR-CBOE-
2007-26), as modified by Amendment No. 3, submitted under Rule 19b-4
of the Securities Exchange Act of 1934 by the Chicago Board Options
Exchange to list and trade credit default basket options, and
designated credit default basket options as standardized options under
Rule 9b-1 of the Act. Publication is expected in the Federal Register
during the week of August 20. (Rel. 34-56275)
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-8 TALEO CORP, 4140 DUBLIN BOULEVARD, SUITE 400, DUBLIN, CA, 94568,
9254523000 - 0 ($18,204,869.55) Equity, (File 333-145489 - Aug. 16)
(BR. 03A)
S-1 RELIANT TECHNOLOGIES INC, 464 ELLIS STREET, MOUNTAIN VIEW, CA, 94043,
650-605-2200 - 0 ($95,000,000.00) Equity, (File 333-145490 - Aug. 16)
(BR. 10C)
S-3 CATERPILLAR FINANCIAL FUNDING CORP, 4040 SOUTH EASTERN AVENUE,
SUITE 344, LAS VEGAS, NV, 89119, 6153411000 -
0 ($2,500,000,000.00) Asset-Backed Securities, (File 333-145491 -
Aug. 16) (BR. 05D)
SB-2 BLUEGATE CORP, 701 NORTH POST OAK ROAD, SUITE 600, HOUSTON, TX, 77024,
7136861100 - 41,234,731 ($16,493,892.40) Equity, (File 333-145492 -
Aug. 16) (BR. 08A)
S-1 3D SYSTEMS CORP, 26081 AVENUE HALL, VALENCIA, CA, 91355, 6612955600 -
0 ($26,800,000.00) Equity, (File 333-145493 - Aug. 16) (BR. 03A)
S-3 SPARTAN STORES INC, 850 76TH ST SW, P O BOX 8700, GRAND RAPIDS, MI,
49518, 6168782000 -
110,000,000 ($110,000,000.00) Debt Convertible into Equity,
(File 333-145494 - Aug. 16) (BR. 02B)
S-8 CBIZ, Inc., 6050 OAK TREE BOULEVARD, SOUTH, SUITE 500, CLEVELAND, OH,
44131, 2164479000 - 1,000,000 ($7,150,000.00) Equity,
(File 333-145495 - Aug. 16) (BR. 08A)
SB-2 Jingwei International LTD, ROOM 1605, TIANAN HI-TECH PLAZA TOWER A,,
TIANAN CYBER PARK,, FUTIAN DISTRICT, SHENZHEN,, F4, 518040,
86 75583433290 - 0 ($33,983,950.00) Equity, (File 333-145496 - Aug. 16)
(BR. 08C)
S-3 GENELABS TECHNOLOGIES INC /CA, 505 PENOBSCOT DR, REDWOOD CITY, CA,
94063, 6503969500 - 0 ($50,000,000.00) Equity, (File 333-145497 -
Aug. 16) (BR. 01A)
SB-2 Gurata Gold, Inc., 1403 - 1200 ALBERNI STREET, VANCOUVER, A1, V6E 1A6,
604 417 9933 - 20,000,000 ($100,000.00) Equity, (File 333-145498 -
Aug. 16) (BR. )
S-8 HAYNES INTERNATIONAL INC, 1020 WEST PARK AVE, PO BOX 9013, KOKOMO, IN,
46904, 3174566005 - 500,000 ($36,540,000.00) Equity, (File 333-145499 -
Aug. 16) (BR. 06A)
S-8 WESTSTAR FINANCIAL SERVICES CORP, 79 WOODFIN PLACE, ASHEVILLE, NC,
28801, 8282322902 - 125,000 ($1,453,750.00) Other, (File 333-145500 -
Aug. 16) (BR. 07B)
S-8 OSTEOTECH INC, 51 JAMES WAY, EATONTOWN, NJ, 07724, 7325422800 -
0 ($8,162,000.00) Equity, (File 333-145501 - Aug. 16) (BR. 10C)
S-3 ELITE PHARMACEUTICALS INC /DE/, 165 LUDLOW AVENUE, NORTHVALE, NJ,
07647, 2017502646 - 4,220,122 ($9,199,866.00) Equity,
(File 333-145502 - Aug. 16) (BR. 01A)
S-8 HERLEY INDUSTRIES INC /NEW, 101 NORTH POINTE BOULEVARD, LANCASTER, PA,
17601-4133, 7177358117 - 500,000 ($7,362,500.00) Equity,
(File 333-145503 - Aug. 16) (BR. 05B)
S-3 VIA Pharmaceuticals, Inc., 750 BATTERY STREET, SUITE 330,
SAN FRANCISCO, CA, 94111, 415-283-2200 - 0 ($24,454,214.43) Equity,
(File 333-145504 - Aug. 16) (BR. 01A)
S-8 VIA Pharmaceuticals, Inc., 750 BATTERY STREET, SUITE 330,
SAN FRANCISCO, CA, 94111, 415-283-2200 -
848,538 ($1,803,226.31) Equity, (File 333-145505 - Aug. 16) (BR. 01A)
S-8 INSIGNIA SYSTEMS INC/MN, 6470 SYCAMORE COURT NORTH, MAPLE GROVE, MN,
55369, 7633926200 - 250,000 ($1,221,250.00) Equity, (File 333-145506 -
Aug. 16) (BR. 06B)
SB-2 Roughneck Supplies Inc., 5254 GREEN ST. UNIT 10, HALIFAX, A5, B3H1N7,
9002-880-0188 - 1,000,000 ($50,000.00) Equity, (File 333-145507 -
Aug. 16) (BR. )
SB-2 CRYSTAL INTERNATIONAL TRAVEL GROUP, INC., 641 SHUNPIKE RD., SUITE 333,
CHATHAM, NJ, 07928, 9732104966 - 6,387,365 ($191,620.95) Equity,
(File 333-145508 - Aug. 16) (BR. 05B)
S-4 HAYES LEMMERZ INTERNATIONAL INC, 15300 CENTENNIAL DRIVE, NORTHVILLE,
MI, 48167, 7347375084 - 0 ($177,112,000.00) Non-Convertible Debt,
(File 333-145509 - Aug. 16) (BR. 05B)
S-3 KULICKE & SOFFA INDUSTRIES INC, 1005 VIRGINIA DRIVE, FT. WASHINGTON,
PA, 19034, 2157846000 -
0 ($110,000,000.00) Debt Convertible into Equity, (File 333-145510 -
Aug. 16) (BR. 10B)
S-4 HERITAGE OAKS BANCORP, 545 12TH ST, PASO ROBLES, CA, 93446,
8052395200 - 922,817 ($14,875,810.00) Equity, (File 333-145511 -
Aug. 16) (BR. 07B)
S-8 Eddie Bauer Holdings, Inc., 15010 NE 36TH STREET, REDMOND, WA, 98052,
(425) 755-7671 - 0 ($44,674,500.00) Equity, (File 333-145512 - Aug. 16)
(BR. 02)
S-3ASR Lawson Software, Inc., 380 ST PETER STREET, ST PAUL, MN, 55102,
651-767-7000 - 0 ($240,000,000.00) Debt Convertible into Equity,
(File 333-145513 - Aug. 16) (BR. 03)
SB-2 Identity Rehab CORP, 535 16th Street, SUITE 700, Denver, CO, 80202,
303-339-8010 - 0 ($10,820,782.00) Equity, (File 333-145515 - Aug. 16)
(BR. )
S-8 ACME UNITED CORP, 60 ROUND HILL ROAD, FAIRFIELD, CT, 06824,
203-254-6060 - 200,000 ($2,922,911.00) Equity, (File 333-145516 -
Aug. 16) (BR. 06A)
S-3ASR CENTRAL GARDEN & PET CO, 1340 TREAT BOULEVARD, SUITE 600, WALNUT CREEK,
CA, 94597, 9259484000 - 0 ($0.00) Other, (File 333-145517 - Aug. 16)
(BR. 02B)
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
-------------------------------------------------------------------------------------------------------
21ST CENTURY INSURANCE GROUP CA 8.01,9.01 08/15/07
3DICON CORP 7.01,9.01 08/16/07
4 KIDS ENTERTAINMENT INC NY 1.01,3.03,5.03,8.01,9.01 08/15/07
ACCENTIA BIOPHARMACEUTICALS INC 7.01,9.01 08/15/07
ACCREDITED HOME LENDERS HOLDING CO DE 3.01,8.01,9.01 08/13/07
ACCURAY INC CA 2.02,9.01 08/16/07
ACE COMM CORP MD 3.01,9.01 08/10/07
ACG HOLDINGS INC DE 8.01,9.01 08/14/07
ACORN FACTOR, INC. DE 7.01,9.01 08/15/07
ADOBE SYSTEMS INC DE 1.01,2.03,9.01 08/13/07
Agfeed Industries, Inc NV 2.02 08/14/07
AIR BROOK AIRPORT EXPRESS INC NJ 1.01,5.01,5.02,9.01 08/16/07
AIR METHODS CORP DE 8.01 08/13/07
Airbee Wireless, Inc. DE 3.02,5.02,8.01 07/01/07 AMEND
ALDILA INC DE 7.01,9.01 08/15/07
ALION SCIENCE & TECHNOLOGY CORP DE 2.02,7.01 08/15/07
ALLIED DEFENSE GROUP INC DE 2.02,9.01 08/14/07
ALLIED HEALTHCARE INTERNATIONAL INC NY 5.02 08/10/07
ALLOY INC DE 1.01,2.03,9.01 08/15/07
ALPHA INNOTECH CORP DE 2.02 08/13/07
Alternative Loan Trust 2007-22 DE 8.01,9.01 08/16/07
AMCORE FINANCIAL INC NV 5.02,9.01 08/15/07
AMEREX GROUP, INC. OK 2.03,3.02,5.02,9.01 08/14/07
AMERICAN FINANCIAL REALTY TRUST 8.01 08/16/07
ANALYSTS INTERNATIONAL CORP 5.02,9.01 08/15/07
ANDREW CORP DE 8.01,9.01 08/16/07
ANNTAYLOR STORES CORP DE 5.02,9.01 08/10/07
APOLLO GOLD CORP 2.02,9.01 08/15/07
APPLIED INDUSTRIAL TECHNOLOGIES INC OH 8.01,9.01 08/13/07
ARGON ST, Inc. DE 1.01,9.01 08/12/07
Ascent Solar Technologies, Inc. DE 3.02,9.01 08/16/07
AUTHENTIDATE HOLDING CORP DE 8.01,9.01 08/15/07
AUTODESK INC DE 2.02,9.01 08/16/07
AUTOLIV INC DE 5.02 08/16/07
AUXILIUM PHARMACEUTICALS INC 8.01,9.01 08/15/07
Averion International Corp. 2.02,9.01 08/15/07
AVERY DENNISON CORPORATION DE 1.01,2.03 08/10/07
BACKWEB TECHNOLOGIES LTD 2.02,9.01 08/14/07
BALLY TOTAL FITNESS HOLDING CORP DE 1.01,8.01,9.01 08/15/07
BANKRATE INC FL 7.01,9.01 08/16/07
Barrington Broadcasting Group LLC DE 2.02,7.01,9.01 08/13/07
BEA SYSTEMS INC DE 2.02,9.01 08/16/07
BELL MICROPRODUCTS INC CA 3.01,9.01 08/14/07
Bidz.com, Inc. CA 5.02,9.01 08/16/07
BILL BARRETT CORP 7.01,9.01 08/16/07
BIOENVISION INC DE 8.01,9.01 08/16/07
BIOTIME INC CA 2.02,9.01 08/15/07
BLUEFLY INC DE 3.01 08/13/07
BOSTON CAPITAL REAL ESTATE INVESTMENT MD 1.01,2.03,9.01 08/10/07
BOWNE & CO INC DE 8.01 08/16/07
BRE PROPERTIES INC /MD/ MD 8.01,9.01 08/15/07
BV Financial, Inc. X1 8.01,9.01 08/16/07
C H ROBINSON WORLDWIDE INC DE 8.01,9.01 08/16/07
CAPITAL GROWTH SYSTEMS INC /FL/ FL 1.01 08/10/07
Cardium Therapeutics, Inc. 5.02,9.01 08/14/07
CARRINGTON LABORATORIES INC /TX/ TX 2.02,9.01 08/14/07
CARVER BANCORP INC DE 2.02,9.01 08/14/07
CASCADE MICROTECH INC 5.02,9.01 08/10/07
CASH AMERICA INTERNATIONAL INC TX 5.02,7.01,9.01 08/10/07
CASPIAN SERVICES INC NV 2.02,7.01,9.01 08/16/07
CEL SCI CORP CO 7.01,9.01 08/14/07
CENTERLINE HOLDING CO DE 5.02,9.01 08/10/07
CEPHALON INC DE 8.01,9.01 08/16/07
CF Industries Holdings, Inc. DE 5.02 08/13/07
CHAMPIONS BIOTECHNOLOGY, INC. DE 5.02,9.01 08/13/07
CHARLES & COLVARD LTD NC 1.01,9.01 08/14/07
CHENIERE ENERGY INC DE 7.01,9.01 08/15/07
Cheniere Energy Partners, L.P. DE 7.01,9.01 08/15/07
CHILDRENS INTERNET INC NV 1.01,9.01 08/09/07
CHINA AGRITECH INC 2.02,9.01 08/15/07
China Housing & Land Development, Inc NV 2.02,9.01 08/16/07
China Public Security Technology, Inc 5.02,9.01 08/16/07
China Shenghuo Pharmaceutical Holding 2.02,7.01,9.01 08/16/07
China VoIP & Digital Telecom Inc. NV 8.01,9.01 08/16/07
CHL Mortgage Pass-Through Trust 2007- DE 8.01,9.01 08/16/07
CHL Mortgage Pass-Through Trust 2007- DE 8.01,9.01 07/30/07
CHL Mortgage Pass-Through Trust 2007- DE 8.01,9.01 08/16/07
CINCINNATI FINANCIAL CORP OH 7.01,9.01 08/16/07
CITIGROUP INC DE 5.02 08/15/07
CKX, Inc. DE 9.01 06/01/07 AMEND
COHERENT INC DE 3.01,9.01 08/13/07
COLOMBIA GOLDFIELDS LTD 2.02,9.01 08/14/07
COMMERCIAL BANCSHARES INC \OH\ OH 5.02 08/13/07
COMMSCOPE INC DE 8.01,9.01 08/16/07
COMPX INTERNATIONAL INC DE 7.01,9.01 08/15/07
CONTINENTAL MATERIALS CORP DE 1.01,2.03,8.01,9.01 08/13/07
CONTINENTAL RESOURCES INC OK 7.01 08/16/07
COOPERATIVE BANKSHARES INC NC 8.01,9.01 08/16/07
CORINTHIAN COLLEGES INC 1.01,9.01 08/10/07
CORRECTIONS CORP OF AMERICA MD 5.02,9.01 08/10/07
COUNTRYWIDE FINANCIAL CORP DE 8.01,9.01 08/15/07
COUSINS PROPERTIES INC GA 5.03,9.01 08/14/07
CREDO PETROLEUM CORP CO 8.01,9.01 08/15/07
CSK AUTO CORP DE 5.02,5.03,9.01 08/10/07
CTI INDUSTRIES CORP DE 2.02,9.01 08/15/07
CV THERAPEUTICS INC DE 8.01,9.01 08/14/07
DANA CORP VA 8.01,9.01 08/13/07
DARDEN RESTAURANTS INC FL 8.01,9.01 08/16/07
DCB FINANCIAL CORP OH 8.01 08/16/07
DECKERS OUTDOOR CORP DE 3.01,9.01 08/13/07
DELL INC DE 4.02,8.01,9.01 08/13/07
DELTA FINANCIAL CORP DE 1.01,2.02,3.02,9.01 08/13/07
DESERT CAPITAL REIT INC MD 5.02 08/16/07
Deutsche Alt-B Securities Mortgage Lo 8.01,9.01 08/16/07 AMEND
DIGITAL POWER CORP CA 2.02,9.01 08/14/07
DJO INC DE 8.01,9.01 08/09/07
DOMINION HOMES INC OH 2.02,7.01,9.01 08/14/07
ELECTRONIC CLEARING HOUSE INC NV 1.01 08/10/07
ELIZABETH ARDEN INC FL 1.01,2.02,9.01 08/15/07
EMC CORP MA 8.01 08/02/07
EMERITUS CORP\WA\ WA 1.01,1.02,2.03,8.01,9.01 08/15/07
EMPIRE RESORTS INC DE 5.03,9.01 08/10/07
Emrise CORP DE 1.01,9.01 08/13/07
ENER1 INC FL 7.01,9.01 08/15/07
ENER1 INC FL 7.01,9.01 08/16/07
ENGLOBAL CORP NV 8.01,9.01 08/07/07
ENHERENT CORP DE 3.02 08/13/07
ENZON PHARMACEUTICALS INC DE 8.01,9.01 08/16/07
EP MEDSYSTEMS INC NJ 2.02,9.01 08/14/07
EPLUS INC DE 2.02,9.01 03/31/06
EQUUS TOTAL RETURN, INC. DE 2.02,5.02,8.01,9.01 08/10/07
ERHC Energy Inc CO 5.02 08/12/07
ESTEE LAUDER COMPANIES INC DE 2.02,9.01 08/16/07
ETERNAL TECHNOLOGIES GROUP INC DE 2.01 08/16/07
EVANS SYSTEMS INC TX 5.03 07/25/07
EYI INDUSTRIES INC. 1.01 08/10/07
EZCORP INC DE 8.01,9.01 08/16/07
FAIRPOINT COMMUNICATIONS INC DE 2.02,7.01,8.01,9.01 08/09/07 AMEND
Falcon Ridge Development Inc. NV 8.01,9.01 08/15/07
Federal Home Loan Bank of Atlanta X1 2.03 08/13/07
Federal Home Loan Bank of Chicago X1 2.03 08/14/07
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 08/13/07
Federal Home Loan Bank of Dallas 2.03 08/10/07
Federal Home Loan Bank of Des Moines X1 2.03,9.01 08/14/07
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 08/14/07
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 08/13/07
Federal Home Loan Bank of San Francis X1 2.03 08/13/07
Federal Home Loan Bank of Seattle 2.03 08/16/07
Federal Home Loan Bank of Seattle 7.01,9.01 08/16/07
FEDERAL NATIONAL MORTGAGE ASSOCIATION 2.02,9.01 08/16/07
FEDERAL NATIONAL MORTGAGE ASSOCIATION 7.01,9.01 08/16/07
FIFTH THIRD BANCORP OH 8.01,9.01 08/16/07
FIFTH THIRD BANCORP OH 8.01,9.01 08/16/07
FIRST CHARTER CORP /NC/ NC 8.01,9.01 08/15/07
FIRST NATIONAL LINCOLN CORP /ME/ ME 8.01 08/16/07
FIRSTENERGY CORP OH 7.01 08/15/07
FIRSTFED FINANCIAL CORP DE 7.01,9.01 07/31/07
FIRSTWAVE TECHNOLOGIES INC GA 8.01,9.01 08/14/07
FIRSTWAVE TECHNOLOGIES INC GA 2.02,7.01,9.01 08/14/07
FISERV INC WI 5.03,9.01 08/14/07
FLOWERS FOODS INC GA 2.02,9.01 08/16/07
FORCE PROTECTION INC NV 1.01,9.01 08/13/07
FORRESTER RESEARCH INC DE 3.01,9.01 08/13/07
FORWARD INDUSTRIES INC NY 1.01,5.02 08/14/07
FRONTIER FINANCIAL CORP /WA/ WA 5.03,9.01 08/15/07
FROZEN FOOD EXPRESS INDUSTRIES INC TX 5.02,8.01,9.01 08/15/07
FSB Community Bankshares Inc X1 8.01,9.01 08/14/07
FTD Group, Inc. 2.02,9.01 08/16/07
FUNDSTECH CORP DC 5.03,9.01 08/15/07
FUSION TELECOMMUNICATIONS INTERNATION 2.02,9.01 08/14/07
GAMMACAN INTERNATIONAL INC DE 8.01 08/07/07
GENELABS TECHNOLOGIES INC /CA CA 5.02,9.01 08/10/07
GENIUS PRODUCTS INC DE 1.01,2.03,9.01 08/10/07
GEOPETRO RESOURCES CO 1.01,3.02,7.01,9.01 08/13/07
Golden West Brewing Company, Inc. CA 2.02,7.01 08/16/07
GRAHAM CORP DE 5.02,9.01 08/15/07
GS CARBON CORP DE 2.01,9.01 07/01/07
GS Cleantech Corp DE 2.01,2.03,9.01 07/01/07
HAIGHTS CROSS COMMUNICATIONS INC DE 2.02,9.01 08/16/07
HAIGHTS CROSS COMMUNICATIONS INC DE 1.01,5.01,5.02,5.03,9.01 08/10/07
HANOVER CAPITAL MORTGAGE HOLDINGS INC MD 1.01,2.03,3.02,9.01 08/10/07
HANSEN MEDICAL INC 2.02,9.01 08/14/07
Harbor Acquisition Corp. DE 8.01,9.01 08/16/07
HARLEYSVILLE NATIONAL CORP PA 5.03,9.01 08/09/07
HARLEYSVILLE NATIONAL CORP PA 5.03,9.01 08/09/07 AMEND
HARRIS INTERACTIVE INC DE 1.01,3.02,9.01 08/16/07
HARVEY ELECTRONICS INC NY 1.02,9.01 08/10/07
HAYES LEMMERZ INTERNATIONAL INC DE 5.02 08/10/07
HEALTHCARE REALTY TRUST INC MD 2.06 08/13/07
HEPALIFE TECHNOLOGIES INC FL 7.01,9.01 08/13/07
HERTZ GLOBAL HOLDINGS INC 5.02,9.01 08/14/07
HEWLETT PACKARD CO DE 2.02,9.01 08/16/07
HIGHWATER ETHANOL LLC 1.01,9.01 07/26/07
HOLLY CORP DE 7.01,9.01 08/15/07
Holmes Master Issuer 6.03,8.01 08/15/07
Horizon Lines, Inc. 7.01,8.01,9.01 08/13/07
HUNGARIAN TELEPHONE & CABLE CORP DE 7.01,9.01 08/16/07
HURCO COMPANIES INC IN 9.01 07/31/07
HYPERCOM CORP DE 2.05 08/15/07 AMEND
ICO INC TX 7.01,9.01 08/16/07
IHOP CORP DE 5.02,9.01 08/13/07
IMPAC MORTGAGE HOLDINGS INC MD 7.01 08/15/07
IMPERIAL INDUSTRIES INC DE 2.02,7.01,9.01 08/14/07
INCOME OPPORTUNITY REALTY INVESTORS I NV 2.02,9.01 08/14/07
INDYMAC MBS INC 9.01 08/16/07
INLAND WESTERN RETAIL REAL ESTATE TRU MD 8.01 08/15/07
INLAND WESTERN RETAIL REAL ESTATE TRU MD 8.01,9.01 08/15/07 AMEND
INTEGRATED ELECTRICAL SERVICES INC DE 7.01,9.01 08/15/07
INTELLI CHECK INC DE 5.02,9.01 08/13/07
INTER TEL (DELAWARE), INC DE 2.01,3.01,5.01,9.01 08/16/07
INTERLINK ELECTRONICS INC DE 1.01,8.01,9.01 08/15/07
INTRA ASIA ENTERTAINMENT CORP NV 2.02,9.01 08/16/07
IPARTY CORP DE 1.01,2.01,2.03,8.01,9.01 08/15/07
IR BIOSCIENCES HOLDINGS INC DE 7.01,9.01 08/16/07
ITC Holdings Corp. MI 8.01,9.01 08/15/07
IWT TESORO CORP NV 8.01,9.01 08/15/07
J C PENNEY CO INC DE 2.02,9.01 08/16/07
JEFFERSONVILLE BANCORP NY 2.02,8.01,9.01 08/15/07
KEMET CORP DE 2.01,9.01 08/16/07
KINGS ROAD ENTERTAINMENT INC DE 4.02,9.01 06/13/07 AMEND
KOHLS CORPORATION WI 2.02,7.01,9.01 08/16/07
KVH INDUSTRIES INC \DE\ DE 1.01,9.01 08/10/07
LAKELAND BANCORP INC NJ 8.01,9.01 08/16/07
LAMSON & SESSIONS CO OH 1.01,3.03,9.01 08/15/07
LandBank Group Inc DE 5.02 08/10/07
LEAR CORP DE 5.02,9.01 08/14/07
LEXINGTON REALTY TRUST MD 1.01,8.01,9.01 08/10/07
LIQUIDITY SERVICES INC 5.05,9.01 08/13/07
LUMERA CORP 5.02,9.01 08/14/07
MASTR Adjustable Rate Mortgages Trust DE 2.01,9.01 07/23/07
MATRITECH INC/DE/ DE 1.01,9.01 08/10/07
MATRIX SERVICE CO DE 8.01,9.01 08/13/07
MCMORAN EXPLORATION CO /DE/ DE 1.01,2.01,2.03,9.01 08/06/07 AMEND
MDU RESOURCES GROUP INC DE 1.01,2.03 08/15/07
MEDCATH CORP DE 8.01,9.01 08/14/07
MEXICAN RESTAURANTS INC TX 2.02,9.01 08/13/07
MGP INGREDIENTS INC KS 2.02,7.01,9.01 08/16/07
MICRONETICS INC DE 2.02,9.01 08/15/07
MICROWAVE FILTER CO INC /NY/ NY 5.02 08/16/07
MIDCAROLINA FINANCIAL CORP NC 8.01,9.01 08/13/07
MIPS TECHNOLOGIES INC DE 5.02 08/09/07
Molecular Insight Pharmaceuticals, In MA 5.02,9.01 08/16/07
MONTANA ACQUISITION CORP DE 8.01 05/01/07
MONTANA ACQUISITION CORP DE 3.03,4.01,9.01 04/08/05
Morgan Stanley Capital I Trust 2007-H DE 8.01,9.01 07/31/07
MOSAIC CO 7.01,9.01 07/31/07
MOVIE GALLERY INC DE 1.01,9.01 08/15/07
MRS FIELDS FAMOUS BRANDS LLC DE 5.02 08/10/07
MRU HOLDINGS INC DE 7.01,9.01 08/16/07
MxEnergy Holdings Inc 8.01,9.01 08/16/07
MYRIAD GENETICS INC DE 8.01,9.01 08/16/07
N-VIRO INTERNATIONAL CORP DE 2.02,9.01 08/15/07
NATIONAL CITY CORP DE 8.01,9.01 08/16/07
NAUTILUS, INC. WA 1.01,5.02,9.01 08/13/07
NAUTILUS, INC. WA 5.02 08/13/07
NAVISITE INC DE 1.01,5.02,9.01 08/10/07
Neonode, Inc DE 4.01,9.01 08/10/07 AMEND
NEOPHARM INC DE 7.01,9.01 08/16/07
NETLIST INC DE 1.02 08/14/07
NETWORK 1 SECURITY SOLUTIONS INC DE 2.02,9.01 08/10/07
New 360 CA 1.01,2.01,2.03,3.02,3.03,5.01, 08/13/07
5.03,9.01
New 360 CA 1.01,2.01,2.03,3.02,3.03,5.01, 08/13/07 AMEND
5.03,9.01
NEW MEDIUM ENTERPRISES INC NV 1.01,5.02 08/16/07
New North Penn Bancorp Inc PA 1.01 08/10/07
New Oriental Energy & Chemical Corp. DE 2.02,9.01 08/13/07
NEWPARK RESOURCES INC DE 7.01,9.01 08/14/07
NEWS CORP 8.01,9.01 08/16/07
Nielsen CO B.V. P7 2.02,9.01 08/16/07
NNN Apartment REIT, Inc. MD 9.01 06/12/07 AMEND
NORDSTROM INC WA 2.02,5.02,7.01,9.01 08/16/07
North Penn Bancorp, Inc. PA 1.01 08/10/07
NOVA BIOSOURCE FUELS, INC. NV 1.01,7.01,9.01 08/15/07
NOVASTAR FINANCIAL INC MD 3.03,9.01 08/16/07
NTELOS HOLDINGS CORP 8.01 08/16/07
Ocean Power Technologies, Inc. NJ 5.02 08/10/07
OFFICEMAX INC DE 5.02,9.01 08/12/07
OLD POINT FINANCIAL CORP VA 7.01,9.01 08/14/07
OMEGA PROTEIN CORP NV 8.01 08/14/07
Omni Financial Services, Inc. GA 7.01,9.01 08/16/07
ONLINE RESOURCES CORP DE 2.01,3.02,9.01 08/10/07
Orbitz Worldwide, Inc. DE 5.02 08/16/07
Ottawa Savings Bancorp, Inc. X1 8.01 08/15/07
PAINCARE HOLDINGS INC CT 2.02,7.01,9.01 08/16/07
Paladin Holdings Inc/FL FL 7.01,8.01,9.01 08/16/07
Palomine Mining Inc. 4.01,5.02,9.01 07/31/07 AMEND
PANHANDLE OIL & GAS INC OK 5.02,7.01,9.01 08/16/07
PARKER HANNIFIN CORP OH 8.01,9.01 08/16/07
Patient Safety Technologies, Inc DE 2.01,2.03,5.02,8.01,9.01 08/10/07
PETROLEUM DEVELOPMENT CORP NV 8.01,9.01 08/16/07
PETROQUEST ENERGY INC DE 8.01 08/16/07
PFF BANCORP INC DE 8.01,9.01 08/13/07
PFSWEB INC DE 2.02 08/14/07
PHARMACYCLICS INC DE 2.02,9.01 08/16/07
PHOTON DYNAMICS INC CA 3.01,9.01 08/13/07
PHOTRONICS INC CT 2.02,9.01 08/15/07
POGO PRODUCING CO DE 2.01,9.01 08/14/07
POLYMEDIX INC 7.01,9.01 08/13/07
PORTA SYSTEMS CORP DE 2.02,9.01 08/13/07
POSITRON CORP TX 3.02 08/15/07
Prime Mortgage Trust 2007-1 DE 9.01 03/30/07
Princeton Security Technologies, Inc. NJ 5.02 08/13/07
PROFESSIONALS DIRECT INC MI 7.01,8.01,9.01 08/16/07
Project Development Pacific, Inc. NV 5.02 08/10/07
PRUDENTIAL BANCORP INC OF PENNSYLVANI 7.01,9.01 08/15/07
QMED INC DE 5.02 08/10/07
QUANTUM CORP /DE/ DE 5.03 08/13/07
QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 5.02 08/10/07
Quicksilver Gas Services LP DE 1.01,2.01,2.03,3.02,5.02, 08/10/07
5.03,9.01
QUICKSILVER RESOURCES INC DE 5.02,9.01 08/15/07
RADIAN GROUP INC DE 2.03 08/15/07
RadNet, Inc. NY 8.01,9.01 08/15/07
RAINMAKER SYSTEMS INC CA 5.02,9.01 08/14/07
RALI Series 2007 QS9 Trust DE 8.01,9.01 07/30/07 AMEND
RAPTOR NETWORKS TECHNOLOGY INC 2.02,4.02,9.01 08/14/07 AMEND
RAVEN INDUSTRIES INC SD 2.02,9.01 08/16/07
ReAble Therapeutics Finance LLC DE 8.01,9.01 08/09/07
REDDY ICE HOLDINGS INC DE 5.02 08/12/07
REGENT COMMUNICATIONS INC DE 8.01,9.01 08/15/07
Restore Medical, Inc. DE 5.02 08/10/07
RF MICRO DEVICES INC NC 1.01,8.01,9.01 08/12/07
Riverbed Technology, Inc. DE 5.02,9.01 08/14/07
ROYAL GOLD INC DE 2.02,9.01 08/16/07
ROYAL INVEST INTERNATIONAL CORP. DE 1.01 07/25/07
ROYAL INVEST INTERNATIONAL CORP. DE 8.01 06/05/07
Sabine Pass LNG, L.P. DE 7.01,9.01 08/15/07
SACO I Trust 2007-1 DE 1.03,9.01 08/09/07
SAMARITAN PHARMACEUTICALS INC NV 8.01,9.01 08/16/07
SAN HOLDINGS INC CO 2.02,9.01 08/16/07
SAST 2007-3 VA 8.01,9.01 08/03/07
SCBT FINANCIAL CORP SC 5.02 08/16/07
SCO GROUP INC DE 8.01,9.01 08/14/07
SECURED DIGITAL APPLICATIONS INC DE 2.02,9.01 08/15/07
SEDONA CORP PA 7.01,9.01 08/16/07
SELECTICA INC DE 3.01,9.01 08/13/07
Seligman LaSalle International Real E MD 7.01 08/16/07
SemGroup Energy Partners, L.P. DE 2.02,9.01 08/15/07
SHANGHAI CENTURY ACQUISITION CORP F4 8.01,9.01 08/16/07
SHEARSON FINANCIAL NETWORK INC NV 1.01,9.01 06/18/07
SHEARSON FINANCIAL NETWORK INC NV 2.02 08/14/07
Shire plc 8.01,9.01 08/15/07
SHUMATE INDUSTRIES INC DE 2.02,7.01,9.01 08/14/07
Sibling Entertainment Group, Inc. NY 1.01,3.02,9.01 02/28/07 AMEND
SIGMA ALDRICH CORP DE 8.01,9.01 08/14/07
SIRENZA MICRODEVICES INC DE 1.01,8.01,9.01 08/12/07
SMART MOVE, INC. DE 2.02,9.01 08/15/07
SoftNet Technology Corp. NV 4.01,9.01 08/16/07
SOVRAN ACQUISITION LTD PARTNERSHIP MD 2.01,9.01 08/07/07 AMEND
SOVRAN SELF STORAGE INC MD 2.01,9.01 08/07/07 AMEND
SPARTAN MOTORS INC MI 7.01,9.01 08/16/07
SPATIALIGHT INC NY 4.02 08/09/07
SPEEDEMISSIONS INC FL 7.01 08/16/07
SPEEDUS CORP DE 2.02,9.01 08/14/07
Stamford Industrial Group, Inc. DE 2.02 08/14/07 AMEND
STELLAR PHARMACEUTICALS INC 8.01 08/15/07
Surfect Holdings, Inc NV 5.02 08/10/07
TAL International Group, Inc. DE 1.01,2.03,9.01 08/15/07
TBS INTERNATIONAL LTD 7.01,9.01 08/15/07
TEKELEC CA 2.05,5.02,5.03,9.01 08/10/07
TEL INSTRUMENT ELECTRONICS CORP NJ 2.02 08/16/07
THOMAS & BETTS CORP TN 1.01,8.01,9.01 08/15/07
TIBCO SOFTWARE INC DE 5.02,9.01 08/14/07
TIFFANY & CO DE 8.01,9.01 08/16/07
TII NETWORK TECHNOLOGIES, INC. DE 8.01,9.01 08/14/07
TMT CAPITAL CORP FL 1.01,9.01 08/15/07
TOPPS CO INC DE 1.01,5.02 08/10/07
TRANSCAT INC OH 8.01 08/15/07
TransDigm Group INC DE 1.01,9.01 08/10/07
TRIPLE-S MANAGEMENT CORP 5.05,9.01 08/14/07
ULTRALIFE BATTERIES INC DE 1.01,9.01 08/15/07
UNITED ONLINE INC DE 5.02 08/13/07
UNITED STATIONERS INC DE 8.01,9.01 08/15/07
US HOME SYSTEMS INC DE 2.02,5.02,9.01 08/13/07
USA TRUCK INC DE 8.01,9.01 08/15/07
Utah Uranium Corp. NV 1.01,9.01 06/29/07
UTSTARCOM INC DE 3.01,9.01 08/13/07
Vector Intersect Security Acquisition DE 4.01,5.02 08/01/07
VECTREN CORP IN 8.01 08/15/07
VERSAR INC DE 2.02 07/24/07
VERTICALNET INC PA 2.02,3.03,5.03,8.01,9.01 08/14/07
VERTRUE INC DE 1.01,1.02,2.03,3.01,3.03,5.01, 08/16/07
5.02,5.03,8.01
VION PHARMACEUTICALS INC DE 8.01,9.01 08/15/07
VIRGIN MEDIA INC. DE 8.01,9.01 08/15/07
VITAL SIGNS INC NJ 8.01,9.01 08/15/07
VOIP INC 3.03,8.01,9.01 08/16/07
W HOLDING CO INC PR 8.01,9.01 08/15/07
WALGREEN CO IL 8.01,9.01 08/16/07
WaMu Asset Acceptance Corp. DE 6.01 08/16/07
Watson Wyatt Worldwide, Inc. DE 2.02,9.01 08/16/07
WEALTHCRAFT SYSTEMS INC. NV 7.01,9.01 08/10/07
WELLCARE HEALTH PLANS, INC. DE 1.01,9.01 08/10/07
WELLS REAL ESTATE FUND XI L P GA 7.01,9.01 08/16/07
WELLS REAL ESTATE FUND XII LP GA 7.01,9.01 08/16/07
WELLS REAL ESTATE FUND XIII L P 7.01,9.01 08/16/07
WELLS REAL ESTATE FUND XIV LP GA 7.01,9.01 08/16/07
Wentworth Energy, Inc. OK 8.01 08/14/07
WESTBOROUGH FINANCIAL SERVICES INC MA 1.01,8.01,9.01 08/14/07
WESTERN ASSET EMERGING MARKETS DEBT F 8.01,9.01 08/16/07
WESTERN ASSET EMERGING MARKETS FLOATI MD 8.01,9.01 08/16/07
WESTERN ASSET EMERGING MARKETS INCOME MD 8.01,9.01 08/16/07
WESTERN ASSET EMERGING MARKETS INCOME MD 8.01,9.01 08/16/07
WESTERN ASSET GLOBAL HIGH INCOME FUND 8.01,9.01 08/16/07
WESTERN ASSET GLOBAL PARTNERS INCOME MD 8.01,9.01 08/16/07
WESTERN ASSET HIGH INCOME FUND II INC 8.01,9.01 08/16/07
WESTERN ASSET HIGH INCOME FUND INC. MD 8.01,9.01 08/16/07
WESTERN ASSET HIGH INCOME OPPORTUNITY MD 8.01,9.01 08/16/07
WESTERN ASSET INFLATION MANAGEMENT FU 8.01,9.01 08/16/07
WESTERN ASSET MANAGED HIGH INCOME FUN NY 8.01,9.01 08/16/07
WESTERN ASSET WORLDWIDE INCOME FUND I MD 8.01,9.01 08/16/07
WESTERN ASSET ZENIX INCOME FUND INC. 8.01,9.01 08/16/07
Western Refining, Inc. DE 8.01,9.01 08/16/07
Western Refining, Inc. DE 9.01 05/31/07
WESTERN SIZZLIN CORP DE 2.02,9.01 08/14/07
WHERIFY WIRELESS INC DE 5.02 08/13/07
WHOLE FOODS MARKET INC TX 8.01,9.01 08/15/07
WILLBROS GROUP INC R1 8.01 08/15/07
WORTHINGTON INDUSTRIES INC OH 7.01,9.01 08/16/07
XCEL ENERGY INC MN 2.02,9.01 08/16/07
XINHUA CHINA LTD NV 5.02 08/01/07
XINHUA CHINA LTD NV 5.02 08/06/07
XINHUA CHINA LTD NV 4.01,9.01 07/25/07
XOMA LTD /DE/ DE 1.01,9.01 08/14/07
ZONES INC WA 8.01 08/15/07
ZYGO CORP DE 2.02,9.01 08/16/07
http://www.sec.gov/news/digest/2007/dig081707.htm
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