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SEC NEWS DIGEST
Issue 2007-190 October 2, 2007
COMMISSION ANNOUNCEMENTS
COMMISSIONER NAZARETH ANNOUNCES INTENTION TO LEAVE SEC
Securities and Exchange Commissioner Annette L. Nazareth today
announced her intention to leave the Commission to return to the
private sector. In her nine years at the Commission, as a Commissioner
and previously as Director of the SEC's Division of Market Regulation,
Ms. Nazareth has applied her financial markets expertise to a broad
range of issues affecting investors and the securities markets.
The Commission adopted a number of significant reforms during her
tenure. In particular, Ms. Nazareth played a key role in the
Commission's efforts to modernize its national market system rules.
The Commission's new rules recognized the transformation of securities
markets from primarily floor-based environments to more fully
electronic venues and created a level playing field with greater
competition among markets of varying models and better pricing for
investors.
Ms. Nazareth also championed the introduction of prudential regulatory
principles to the Commission's work under the Consolidated Supervised
Entity program, a voluntary supervisory regime for the nation's
largest investment bank holding companies. A primary focus of this
program is its risk management infrastructure at these systemically
important financial entities.
Among her other accomplishments, Ms. Nazareth played a key role in the
Commission's response to the tragic events of September 11, 2001. As
Director of the Division of Market Regulation at the time, she helped
lead the Commission's efforts to assure the successful reopening of
the securities exchanges.
Ms. Nazareth has served as the Commission's representative on the
Financial Stability Forum since its inception in 1999. The FSF
promotes international financial stability through information
exchange and international cooperation in financial supervision and
surveillance. The FSF brings together on a regular basis national
authorities responsible for financial stability in significant
international financial centers.
"My years at the Commission have been the most rewarding of my
career," Ms. Nazareth said. "It has been a privilege to work with such
a talented professional staff who are truly committed to the SEC's
mission of investor protection and fair and efficient markets. I am
also grateful to have had the opportunity to serve under four very
dedicated and gifted Chairmen - Arthur Levitt, Harvey Pitt, William
Donaldson and Chris Cox."
"Over nearly a decade of public service, Annette Nazareth has
dedicated herself to the causes of investor protection and the
improvement of our capital markets," said SEC Chairman Christopher
Cox. "As a Commissioner, she brought to her responsibilities the
extensive understanding of both the markets and the SEC that only a
former Division Director could provide, along with her considerable
knowledge and expertise as a Wall Street professional. Her commitment
to investors, and to this agency, has been unsurpassed. As the
Commission's long-standing representative to the global organization
charged with the promotion of international financial stability,
Annette has worked tirelessly to strengthen America's cooperation and
integration with markets throughout the world. And her legacy of
leadership at the helm of the Division of Market Regulation laid the
groundwork for the dramatic changes that continue to take place in the
evolution of our securities exchanges. It has been an honor and a
privilege to serve with her on the Commission - to which she added
professionalism, collegiality, wise judgment, and an always-welcome
sense of humor. The world's markets, this agency, her fellow
Commissioners, and I will long be in her debt."
Prior to joining the Commission, Ms. Nazareth held several positions
in the financial services industry, including at Smith Barney, Lehman
Brothers and Mabon Nugent. She began her career as an attorney at
Davis Polk & Wardwell. She is a graduate of Brown University and
Columbia University School of Law.
Ms. Nazareth has not set a date for her departure from the Commission,
but has notified President Bush that she does not wish to be re-
nominated. Her term ended on June 5, 2007, but Commissioners may
remain in their positions for up to 18 months beyond a term's end,
unless a successor is appointed sooner. (Press Rel. 2007-210)
CORRECTIONS AND ADDITIONS
The litigation cite for a summary in yesterday's Digest entitled
"COMMISSION SETTLES ENFORCEMENT PROCEEDINGS AGAINST FORMER DYNEGY
CHIEF FINANCIAL OFFICER AND OTHER FORMER EXECUTIVES" is as follows:
[SEC v. Robert D. Doty, Jr., Civil Action No. 4:07-CV-03186 (S.D.
Tex.); SEC v. Gene S. Foster, et al., Civil Action No. H:03-2044 (S.D.
Tex.)] (LR-20320; AAE Rel. 2739).
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A proposed rule change filed by The Depository Trust Company to revise
its procedures with respect to processing of certain voluntary events
in its Reorganization service and clarifying legal considerations set
forth in its procedures (SR-DTC-2007-09) has become effective pursuant
to Section 19(b)(3)(A) of the Securities Exchange Act of 1934.
Publication is expected in the Federal Register during the week of
October 1. (Rel. 34-56538)
A proposed rule change (SR-NYSEArca-2007-95) filed by NYSE Arca to
amend Rules 7.34 and 7.35 has become effective pursuant to Section
19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is
expected in the Federal Register during the week of October 1. (Rel.
34-56545)
A proposed rule change (SR-NYSE-2007-84) filed by the New York Stock
Exchange relating to NYSE Rule 104.10(6) (Dealings with Specialists)
has become effective under Section 19(b)(3)(A) under the Securities
Exchange Act of 1934. Publication is expected in the Federal Register
during the week of October 1. (Rel. 34-56554)
A proposed rule change filed by the New York Stock Exchange relating
to NYSE Rule 124 (Odd-Lot Orders) (SR-NYSE-2007-82) 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 October 1. (Rel. 34-56551)
A proposed rule change (SR-NYSE-2007-86) filed by the New York Stock
Exchange to extend the moratorium on the qualification and
registration of new Registered Competitive Market Makers and new
Competitive Traders, governed by Rules 107A and 110, respectively, for
an additional three months 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 October 1. (Rel.
34-56556)
A proposed rule change (SR-NSX-2007-10) filed by the National Stock
Exchange to extend the effective period for Rule 2.12 regarding third-
party routing services in respect of orders entered into NSX BLADESM
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 October 1. (Rel. 34-56587)
APPROVAL OF PROPOSED RULE CHANGES
The Commission approved a proposed rule change (SR-NASD-2006-109)
filed by the National Association of Securities Dealers (n/k/a
Financial Industry Regulatory Authority, Inc.), through its wholly
owned subsidiary, NASD Dispute Resolution, Inc. (n/k/a, FINRA Dispute
Resolution, Inc.), regarding a proposal to amend rules relating to
representation in arbitration and mediation. Publication is expected
in the Federal Register during the week of October 1. (Rel. 34-56540)
A proposed rule change (SR-Phlx-2007-62) filed by the Philadelphia
Stock Exchange relating to the extension and expansion of a Pilot
Program to quote certain option series in increments of $0.01 has been
approved pursuant to Section 19(b)(2) of the Securities Exchange Act
of 1934. Publication is expected in the Federal Register during the
week of October 1. (Rel. 34-56563)
A proposed rule change (SR-CBOE-2007-98) filed by the Chicago Board
Options Exchange regarding the extension and expansion of the Penny
Pilot Program has been approved pursuant to Section 19(b)(2) of the
Securities Exchange Act of 1934. Publication is expected in the
Federal Register during the week of October 1. (Rel. 34-56565)
A proposed rule change (SR-BSE-2007-40) filed by the Boston Stock
Exchange to extend and expand the pilot program to quote certain
options in pennies has been approved pursuant to Section 19(b)(2) of
the Securities Exchange Act of 1934. Publication is expected in the
Federal Register during the week of October 1. (Rel. 34-56566).
A proposed rule change (SR-NYSEArca-2007-88) filed by NYSE Arca to
extend and expand the pilot program to quote certain options in
pennies has been approved pursuant to Section 19(b)(2) of the
Securities Exchange Act of 1934. Publication is expected in the
Federal Register during the week of October 1. (Rel. 34-56568)
The Commission approved a proposed rule change (SR-FINRA-2007-001)
submitted by the Financial Industry Regulatory Authority under Rule
19b-4 of the Securities Exchange Act of 1934 relating to the reporting
of foreign equity securities to the Order Audit Trail System.
Publication is expected in the Federal Register during the week of
October 1. (Rel. 34-56571)
The Commission approved a proposed rule change (SR-CHX-2007-16), as
modified by Amendment No. 1, pursuant to Section 19(b)(1) of the
Securities Exchange Act of 1934 filed by the Chicago Stock Exchange to
amend its bylaws to confirm that an exchange director cannot
participate in the determination of any matter involving an issuer of
a security listed or to be listed on the exchange if the director is a
director, officer, or employee of the issuer. Publication is expected
in the Federal Register during the week of October 1. (Rel. 34-56573).
PROPOSED RULE CHANGES
A proposed rule change (SR-Phlx-2007-63) relating to short interest
reporting has been filed by the Philadelphia Stock Exchange under
Section 19(b)(1) of the Securities Exchange Act. Publication is
expected in the Federal Register during the week of October 1. (Rel.
34-56541)
The Depository Trust Company filed a proposed rule change (SR-DTC-
2007-10) under Section 19(b)(1) of the Exchange Act that would
implement a new issue information dissemination service for municipal
securities. Publication is expected in the Federal Register during the
week of October 1. (Rel. 34-56552)
The American Stock Exchange (SR-Amex-2007-65), Boston Stock Exchange
(SR-BSE-2007-45), Chicago Board Options Exchange (SR-CBOE-2007-64),
and International Securities Exchange (SR-ISE-2007-44) filed proposed
rule changes under Rule 19b-4 of the Securities and Exchange Act of
1934 relating to the definition of a Complex Trade. NYSE Arca, Inc.
filed a proposed a proposed rule change (SR-NYSEArca-2007-65) and
Amendment No. 1 thereto under Rule 19b-4 of the Securities and
Exchange Act of 1934 relating to the definition of a Complex Trade.
Publication is expected in the Federal Register during the week of
October 1. (Rel. 34-56555)
The NASDAQ Stock Market filed a proposed rule change (SR-NASDAQ-2007-
068), and Amendment No. 1 thereto, to amend its Limited Liability
Company Agreement. Publication is expected in the Federal Register
during the week of October 1. (Rel. 34-56581)
The Financial Industry Regulatory Authority (f/k/a the National
Association of Securities Dealers, Inc. (NASD)) filed a proposed rule
change (SR-FINRA-2007-008) under Section 19(b)(1) of the Securities
Exchange Act of 1934 relating to an amendment to the definition of
Office of Supervisory Jurisdiction in NASD Rule 3010(g)(1) to exempt
locations that solely conduct final approval of research reports.
Publication is expected in the Federal Register during the week of
October 1. (Rel. 34-56585)
The NASDAQ Stock Market filed a proposed rule change and Amendment No.
1 thereto (SR-NASDAQ-2007-069) under Rule 19b-4 of the Securities
Exchange Act of 1934 to eliminate its rule governing the relation of a
Nasdaq Market Maker's quotations to the prevailing market. Publication
is expected in the Federal Register during the week of October 1.
(Rel. 34-56586)
ACCELERATED APPROVAL OF PROPOSED RULE CHANGES
The Commission granted accelerated approval to a proposed rule change
(SR-CBOE-2007-103) filed by the Chicago Board Options Exchange to
trade shares of the iShares FTSE/Xinhua China 25 Index Fund pursuant
to unlisted trading privileges. Publication is expected in the Federal
Register during the week of October 1. (Rel. 34-56559)
A proposed rule change (SR-ISE-2007-74), as modified by Amendment No.
1, filed by the International Securities Exchange relating to an
extension and expansion of the Penny Pilot Program has been approved
on an accelerated basis pursuant to Section 19(b)(2) of the Securities
Exchange Act of 1934. Publication is expected in the Federal Register
during the week of October 1. (Rel. 34-56564)
A proposed rule change (SR-Amex-2007-96), as modified by Amendment No.
1, filed by the American Stock Exchange relating to an extension and
expansion of the Options Quoting Pilot Program has been approved on an
accelerated basis pursuant to Section 19(b)(2) of the Securities
Exchange Act of 1934. Publication is expected in the Federal Register
during the week of October 1. (Rel. 34-56567)
SECURITIES ACT REGISTRATIONS
The following registration statements have been filed with the SEC
under the Securities Act of 1933. The reported information appears as
follows: Form, Name, Address and Phone Number (if available) of the
issuer of the security; Title and the number and/or face amount of the
securities being offered; Name of the managing underwriter or
depositor (if applicable); File number and date filed; Assigned
Branch; and a designation if the statement is a New Issue.
Registration statements may be obtained in person or by writing to the
Commission's Public Reference Branch at 100 F Street, N.E.,
Washington, D.C. 20549-1090 or at the following e-mail box address:
publicinfo@sec.gov. In most cases, this information is also available
on the Commission's website: www.sec.gov.
SB-2 Jesters Resources, Inc., 201- 6188 PATTERSON AVENUE, BURNABY, A1,
V5H 2M1, (604)725-4836 - 2,000,000 ($200,000.00) Equity,
(File 333-146401 - Oct. 1) (BR. 04)
S-8 Renegy Holdings, Inc., 301 W. WARNER ROAD, SUITE 132, TEMPE, AZ, 85284,
480-556-5555 - 1,316,696 ($11,184,229.28) Equity, (File 333-146402 -
Oct. 1) (BR. 10A)
S-4 PANOLAM INDUSTRIES INTERNATIONAL INC, 20 PROGRESS DRIVE, SHELTON, CT,
06484, 2039251556 - 0 ($151,000,000.00) Debt, (File 333-146403 -
Oct. 1) (BR. 06)
SB-2 MICROCHANNEL TECHNOLOGIES CORP, 216 - 1628 WEST 1ST AVENUE, VANCOUVER,
A1, V6J1G1, 604-659-5005 - 53,864,600 ($538,646.00) Equity,
(File 333-146404 - Oct. 1) (BR. 01)
SB-2 Velocity Oil & Gas, Inc., 2200 POST OAK BLVD, SUITE 340, HOUSTON, TX,
77056, 713-457-0610 - 2,340,000 ($234,000.00) Equity,
(File 333-146405 - Oct. 1) (BR. 04)
SB-2 Oro Volcanico Corp., 1, PLACE VILLE MARIE, SUITE 2821, MONTREAL, A8,
H3B4R4, 514-286-1999 - 34 ($1.71) Equity, (File 333-146407 - Oct. 1)
(BR. 04)
SB-2 Contact Minerals Corp., SUITE 206 - 475 HOWE STREET, VANCOUVER, A1,
V6C 2B3, 604-629-1007 - 3,640,000 ($728,000.00) Equity,
(File 333-146408 - Oct. 1) (BR. 04)
S-8 TERADATA CORP /DE/, 1700 SOUTH PATTERSON BOULEVARD, DAYTON, OH, 45479,
937-445-5000 - 20,000,000 ($484,600,000.00) Equity, (File 333-146409 -
Oct. 1) (BR. 03B)
S-8 TERADATA CORP /DE/, 1700 SOUTH PATTERSON BOULEVARD, DAYTON, OH, 45479,
937-445-5000 - 4,000,000 ($96,920,000.00) Equity, (File 333-146410 -
Oct. 1) (BR. 03B)
S-3 ACURA PHARMACEUTICALS, INC, 616 N. NORTH COURT, SUITE 120, PALATINE,
IL, 60067, 847-705-7709 - 384,099,399 ($576,149,099.00) Equity,
(File 333-146416 - Oct. 1) (BR. 01A)
S-8 EMC CORP, 176 SOUTH STREET, HOPKINTON, MA, 01748-9103, 5084351000 -
13,406,930 ($276,584,965.90) Equity, (File 333-146417 - Oct. 1)
(BR. 03C)
S-3 SULPHCO INC, 850 SPICE ISLANDS DRIVE, SPARKS, NV, 89431, 775-829-1310 -
9,087,859 ($71,339,693.15) Equity, (File 333-146418 - Oct. 1) (BR. 06B)
SB-2 Boo Koo Holdings, Inc, 4951 AIRPORT PARKWAY, #660, ADDISON,, TX, 75001,
303-940-2090 - 24,626,201 ($48,995,545.00) Equity, (File 333-146419 -
Oct. 1) (BR. 08A)
S-3ASR LIMITED BRANDS INC, THREE LIMITED PKWY, P O BOX 16000, COLUMBUS, OH,
43216, 6144157000 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-146420 - Oct. 1) (BR. 02C)
F-3 Silicon Motion Technology CORP, NO. 20-1, TAIYUAN STREET, JHUBEI CITY,
HSINCHU COUNTY, F5, 302, 886-3-552-6888 - 0 ($36,850,793.00) Equity,
(File 333-146421 - Oct. 1) (BR. 10C)
S-3 Chelsea Therapeutics International, Ltd.,
13950 BALLANTYNE CORPORATE PLACE, UNIT 325, CHARLOTTE, NC, 28277,
704-341-1516 - 0 ($60,000,000.00) Unallocated (Universal) Shelf,
(File 333-146422 - Oct. 1) (BR. 01A)
S-4 NATIONAL PENN BANCSHARES INC, PHILADELPHIA AND READING AVES,
PO BOX 547, BOYERTOWN, PA, 19512, 1-800-822-3321 -
4,256,585 ($151,321,596.75) Equity, (File 333-146423 - Oct. 1) (BR. 07A)
SB-2 SOLOMON TECHNOLOGIES INC, 7375 BENEDICT AVENUE, BENEDICT, MD, 20612,
3012744479 - 0 ($6,315,744.26) Equity, (File 333-146424 - Oct. 1)
(BR. 10C)
S-8 Flagstone Reinsurance Holdings Ltd, CRAWFORD HOUSE 23 CHURCH ST,
HAMILTON BERMUDA HM 11, D0, 00000, 6,000,000 ($79,560,000.00) Equity,
(File 333-146425 - Oct. 1) (BR. 01A)
S-8 VION PHARMACEUTICALS INC, 4 SCIENCE PARK, NEW HAVEN, CT, 06511,
2034984210 - 0 ($2,317,433.25) Equity, (File 333-146426 - Oct. 1)
(BR. 01C)
SB-2 BIOFORCE NANOSCIENCES HOLDINGS, INC., 1615 GOLDEN ASPEN DRIVE, AMES,
IA, 50010, 515-233-8333 - 6,314,000 ($4,170,100.00) Equity,
(File 333-146427 - Oct. 1) (BR. 10A)
S-3 EV Energy Partners, LP, 1001 FANNIN, SUITE 800, HOUSTON, TX, 77002,
713-659-3500 - 0 ($974,608,574.00) Equity, (File 333-146428 - Oct. 1)
(BR. 04C)
SB-2 ADVANCED CELL TECHNOLOGY, INC., 381 PLANTATION STREET, WORCESTER, MA,
01605, 508-756-1212 - 0 ($6,437,669.00) Equity, (File 333-146430 -
Oct. 1) (BR. 01C)
S-8 ACTIVISION INC /NY, 3100 OCEAN PARK BLVD, STE 1000, SANTA MONICA, CA,
90405, 3102552000 - 0 ($375,206,305.00) Equity, (File 333-146431 -
Oct. 1) (BR. 03B)
SB-2 UPSTREAM BIOSCIENCES INC., SUITE 100 - 570 WEST 7TH AVENUE, VANCOUVER,
A1, V5Z 4S6, 604-707-5800 - 4,745,002 ($1,826,825.77) Equity,
(File 333-146432 - Oct. 1) (BR. 01C)
S-1 Targa Resources Partners LP, 1000 LOUISIANA, SUITE 4300, HOUSTON, TX,
77002, (713)584-1000 -
14,375,000 ($412,562,500.00) Limited Partnership Interests,
(File 333-146436 - Oct. 1) (BR. 02)
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
-------------------------------------------------------------------------------------------------------
ABRAXAS PETROLEUM CORP NV 7.01,9.01 10/01/07
ACE SECURITIES CORP DE 8.01,9.01 09/28/07
ACG HOLDINGS INC DE 8.01 10/01/07
ACXIOM CORP DE 5.02,9.01 10/01/07
ACXIOM CORP DE 1.02,9.01 10/01/07
ADVANCED PRODUCTS GROUP INC DE 1.01,2.01,3.02,4.01,5.01,5.02, 09/27/07
5.06,9.01
ADVENTRX PHARMACEUTICALS INC DE 8.01,9.01 10/01/07
AMB PROPERTY CORP MD 8.01,9.01 09/27/07
AMB PROPERTY LP DE 8.01,9.01 09/27/07
AMERICAN DENTAL PARTNERS INC DE 1.01,2.01,7.01,9.01 09/25/07
AMERICAN PACIFIC CORP DE 7.01,9.01 10/01/07
AMERICAN SOIL TECHNOLOGIES INC NV 4.01,5.03 09/27/07
AMERICAN STATES WATER CO CA 7.01,9.01 10/01/07
American Telecom Services Inc 2.02,9.01 10/01/07
AMERICAN TOWER CORP /MA/ DE 1.01,1.02,2.03 10/01/07
AMYLIN PHARMACEUTICALS INC DE 8.01,9.01 10/01/07
ANGIODYNAMICS INC DE 2.02,9.01 09/28/07
ARCH COAL INC DE 7.01,9.01 10/01/07
Ascent Solar Technologies, Inc. DE 8.01 09/28/07
AVERY DENNISON CORPORATION DE 1.01,2.03,8.01,9.01 09/25/07
AVP INC DE 5.02,9.01 09/28/07
B&G Foods, Inc. DE 5.02 09/25/07
BALLY TOTAL FITNESS HOLDING CORP DE 8.01,9.01 10/01/07
BANCFIRST CORP /OK/ OK 8.01 10/01/07
BANK OF AMERICA CORP /DE/ DE 8.01,9.01 10/01/07
Baoshinn Corp NV 8.01 09/28/07
BAUSCH & LOMB INC NY 7.01 09/28/07
BEACON POWER CORP DE 5.03,9.01 09/27/07
Bear Stearns Asset Backed Securities DE 9.01 08/30/07 AMEND
BELO CORP DE 5.02,8.01,9.01 09/28/07
BERKSHIRE HILLS BANCORP INC 7.01,9.01 10/01/07
BLACK GAMING, LLC 1.01,1.02,5.02,9.01 09/26/07
BlackRock Inc. DE 2.01,3.02,9.01 10/01/07
BLUE COAT SYSTEMS INC DE 8.01,9.01 10/01/07
BLUE RIDGE PAPER PRODUCTS INC 5.02 09/30/07
Bonfire Productions, Inc. NV 5.02 09/28/07
BOWNE & CO INC DE 5.03 09/26/07
Brooklyn Federal Bancorp, Inc. X1 5.02,9.01 09/25/07
C-COR INC PA 1.01,8.01,9.01 09/28/07
CADIZ INC DE 3.02 10/01/07
Cal Dive International, Inc. DE 8.01,9.01 09/28/07
CAL MAINE FOODS INC DE 2.02,9.01 10/01/07
CALLISTO PHARMACEUTICALS INC DE 3.02,5.03,9.01 09/25/07
Capital One Auto Receivables LLC DE 8.01,9.01 10/01/07
CARDIMA INC DE 4.02,9.01 08/30/07 AMEND
CastlePoint Holdings, Ltd. D0 1.01,2.03,3.02,9.01 09/27/07
CATALINA MARKETING CORP/DE DE 2.01,3.01,3.03,5.01,5.02,9.01 10/01/07
CATUITY INC DE 8.01 09/30/07
CENTRAL EUROPEAN DISTRIBUTION CORP DE 7.01,9.01 10/01/07
CENTRAL VALLEY COMMUNITY BANCORP CA 5.02,9.01 10/01/07
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 09/27/07
CHEMOKINE THERAPEUTICS CORP DE 9.01 10/01/07
CHILDRENS PLACE RETAIL STORES INC 5.02,8.01,9.01 09/24/07
CIRTRAN CORP NV 5.02,9.01 08/31/07
Cistera Networks, Inc. NV 4.01,9.01 09/26/07
CITIGROUP INC DE 7.01,9.01 10/01/07
CLASSIC COSTUME CORP INC DE 5.01,5.02,9.01 09/25/07
CLEVELAND CLIFFS INC OH 8.01 09/28/07
COCA COLA ENTERPRISES INC DE 8.01,9.01 09/27/07
COGNOS INC CA 1.01,9.01 09/28/07
Commercial Vehicle Group, Inc. DE 1.01,8.01,9.01 09/28/07
COMMUNICATIONS SYSTEMS INC MN 5.02,9.01 09/27/07
COMPUSONICS VIDEO CORP CO 8.01 09/30/07
Comverge, Inc. DE 9.01 07/23/07 AMEND
Con-way Inc. DE 5.02,9.01 10/01/07
CRAWFORD & CO GA 5.02,9.01 09/28/07
CSMC Asset-Backed Trust 2007-NC1 DE 6.02 08/31/07
CVS CAREMARK CORP DE 4.01,9.01 09/25/07
CVS CAREMARK CORP DE 2.02,9.01 10/01/07
CYTYC CORP DE 8.01,9.01 10/01/07
DARDEN RESTAURANTS INC FL 2.01,9.01 10/01/07
DAVI SKIN, INC. NV 5.02 09/23/07
DCAP GROUP INC DE 8.01,9.01 10/01/07
DEERE & CO DE 7.01 10/01/07
DELTA MUTUAL INC 3.02 09/25/07
Deutsche Alt-A Securities Mortgage Lo DE 8.01,9.01 10/01/07
DEVCON INTERNATIONAL CORP FL 1.01,2.01,9.01 09/25/07
Diamond Foods Inc DE 7.01,9.01 10/01/07
DIOMED HOLDINGS INC NV 1.01,3.02,9.01 09/28/07
DISTRIBUTED ENERGY SYSTEMS CORP DE 1.01,9.01 09/26/07
DISTRIBUTION MANAGEMENT SERVICES INC 8.01,9.01 08/20/07
DOCUCON INCORPORATED DE 4.01,5.02,8.01,9.01 10/01/07
Driftwood Ventures, Inc. NV 5.01,5.02,9.01 10/01/07
Duke Energy CORP DE 8.01,9.01 10/01/07
DUKE REALTY CORP IN 1.01,8.01,9.01 09/27/07
DUKE REALTY LIMITED PARTNERSHIP/ IN 1.01,9.01 09/27/07
DYADIC INTERNATIONAL INC DE 5.02,8.01,9.01 09/27/07
EastBridge Investment Group Corp AZ 1.01 09/27/07
EBAY INC DE 1.01,1.02,2.06,9.01 09/28/07
EMCORE CORP NJ 8.01,9.01 09/28/07
ENDEAVOUR INTERNATIONAL CORP NV 5.02 09/25/07
ENDURANCE SPECIALTY HOLDINGS LTD 1.01,5.02,9.01 10/01/07
ENERGIZER HOLDINGS INC MO 8.01 10/01/07
ENERGY WEST INC MT 2.02,7.01,9.01 10/01/07
ESPEED INC DE 2.02,9.01 09/26/07
eTelecare Global Solutions, Inc. 1.01 10/01/07
EV Energy Partners, LP DE 8.01,9.01 10/01/07
Federal Home Loan Bank of Dallas 2.03 09/25/07
FINISH LINE INC /IN/ IN 8.01,9.01 09/28/07
FIRST BANKS, INC MO 8.01 10/01/07
FIRST COMMUNITY BANCSHARES INC /NV/ NV 8.01,9.01 10/01/07
FIRST DEFIANCE FINANCIAL CORP OH 5.02,9.01 09/27/07
FIRST INDUSTRIAL LP DE 1.01,1.02,2.03,9.01 09/28/07
FIRST INDUSTRIAL REALTY TRUST INC MD 1.01,1.02,2.03,9.01 09/28/07
FIRST NIAGARA FINANCIAL GROUP INC DE 5.02,9.01 10/01/07
FIRST REGIONAL BANCORP CA 8.01,9.01 09/25/07
FLEXTRONICS INTERNATIONAL LTD. U0 8.01,9.01 10/01/07
Fluid Media Networks, Inc. 5.02,9.01 09/21/07
FONAR CORP DE 2.02 06/30/07
FOUNTAIN POWERBOAT INDUSTRIES INC 2.02 09/27/07
GENAERA CORP DE 5.02,8.01,9.01 09/26/07
GENELABS TECHNOLOGIES INC /CA CA 8.01,9.01 10/01/07
GENELINK INC 5.02 09/27/07
GEODYNE ENERGY INCOME LTD PARTNERSHIP OK 2.01,9.01 09/25/07
GEODYNE ENERGY INCOME LTD PARTNERSHIP OK 2.01,9.01 09/12/07 AMEND
GeoMet, Inc. DE 8.01,9.01 10/01/07
GERMAN AMERICAN BANCORP, INC. IN 1.01,2.03,9.01 09/28/07
Girasolar, Inc. DE 2.02,9.01 09/25/07
GLOBAL AXCESS CORP NV 1.01,2.03,9.01 09/28/07
GMX RESOURCES INC OK 7.01,9.01 10/01/07
Gold Run Inc. DE 5.02,8.01 09/17/07
GOTTSCHALKS INC DE 1.01,9.01 10/01/07
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 09/28/07
GREAT CHINA INTERNATIONAL HOLDINGS, I NV 1.01,2.03,9.01 09/28/07
GREAT LAKES BANCORP, INC. DE 5.02,8.01,9.01 09/27/07
GREATER BAY BANCORP CA 8.01 09/28/07
HALLMARK FINANCIAL SERVICES INC NV 5.03,9.01 10/01/07
HARSCO CORP DE 5.02,9.01 10/01/07
HEARTLAND OIL & GAS CORP NV 8.01 09/30/07
HINES REAL ESTATE INVESTMENT TRUST IN 8.01 09/28/07
HINES REAL ESTATE INVESTMENT TRUST IN 1.01,2.01,7.01,9.01 09/25/07
HORIZON OFFSHORE INC DE 8.01,9.01 09/28/07
HORNBY INTERNATIONAL INC/CA 5.02 09/18/07
IA GLOBAL INC DE 1.01,9.01 09/28/07
IKANOS COMMUNICATIONS CA 1.01,2.05,2.06,8.01,9.01 09/28/07
ILLINOIS TOOL WORKS INC DE 2.03 09/27/07
IMPERIAL INDUSTRIES INC DE 8.01,9.01 10/01/07
INNOVEX INC MN 2.02,2.05,2.06,5.02,9.01 09/28/07
INTEGRATED BIOPHARMA INC DE 2.02,9.01 10/01/07
INTERNATIONAL BANCSHARES CORP TX 8.01 10/01/07
INTERNATIONAL FLAVORS & FRAGRANCES IN NY 1.01,2.03,9.01 09/27/07
INTERSTATE BAKERIES CORP/DE/ DE 7.01,9.01 09/28/07
INVERNESS MEDICAL INNOVATIONS INC DE 5.02 09/27/07
IPARTY CORP DE 5.02 09/26/07
J P MORGAN CHASE & CO DE 9.01 09/27/07
JOHNSON & JOHNSON NJ 8.01,9.01 09/27/07
KBS Real Estate Investment Trust, Inc MD 1.01 09/25/07
KEITHLEY INSTRUMENTS INC OH 5.02 09/25/07
KEY ENERGY SERVICES INC MD 5.02,9.01 09/26/07
KEYSTONE AUTOMOTIVE INDUSTRIES INC CA 8.01 09/24/07
KEYSTONE CONSOLIDATED INDUSTRIES INC DE 8.01 09/28/07
KOHLER CAPITAL II CORP FL 1.01,5.01,5.02,5.03 09/17/07
KROGER CO OH 8.01,9.01 10/01/07
L-1 IDENTITY SOLUTIONS, INC. DE 2.02,7.01,9.01 10/01/07
LAMAR ADVERTISING CO/NEW DE 8.01,9.01 10/01/07
LAURIER INTERNATIONAL INC 1.01,5.01,5.02,9.01 09/27/07
Lev Pharmaceuticals Inc DE 8.01,9.01 10/01/07
LHC Group, Inc 8.01,9.01 10/01/07
LIFESCIENCES OPPORTUNITIES INC FL 1.01,9.01 09/07/07
Lifevantage Corp CO 2.03,3.02,9.01 09/27/07
LIGHTPATH TECHNOLOGIES INC DE 2.02,9.01 10/01/07
LL&E ROYALTY TRUST TX 2.02,9.01 10/01/07
LUMINENT MORTGAGE CAPITAL INC 1.01,2.03,5.02,7.01,8.01,9.01 09/25/07
MAGNACHIP SEMICONDUCTOR LLC 1.01,9.01 09/28/07
MAIR HOLDINGS INC MN 4.01,9.01 09/25/07
MARTEK BIOSCIENCES CORP DE 7.01,9.01 10/01/07
MCCORMICK & CO INC MD 5.02,9.01 10/01/07
MEMORY PHARMACEUTICALS CORP 5.02 09/25/07
Mercantile Bancorp, Inc. DE 8.01,9.01 09/27/07
MERIDIAN HOLDINGS INC CO 8.01 09/28/07
MESA AIR GROUP INC NV 8.01 09/27/07
MESA OFFSHORE TRUST TX 2.02,9.01 10/01/07
MESA ROYALTY TRUST/TX TX 2.02,9.01 09/21/07
METALLINE MINING CO NV 5.02,8.01,9.01 10/01/07
MFA MORTGAGE INVESTMENTS MD 7.01,9.01 10/01/07
MFRI INC DE 8.01 10/01/07
MIDDLESEX WATER CO NJ 5.03 10/01/07
MIDWEST BANC HOLDINGS INC DE 1.01,2.03,5.02,9.01 09/25/07
Monarch Financial Holdings, Inc. VA 7.01,9.01 09/25/07
MONMOUTH REAL ESTATE INVESTMENT CORP MD 7.01,9.01 10/01/07
Morningstar, Inc. IL 5.02,9.01 09/28/07
MOTIVE INC DE 5.02,9.01 09/25/07
MRU HOLDINGS INC DE 7.01,9.01 10/01/07
MRV COMMUNICATIONS INC DE 8.01,9.01 06/26/07 AMEND
MSTI Holdings, Inc. DE 9.01 07/18/07 AMEND
MULTI MEDIA TUTORIAL SERVICES INC DE 4.01,9.01 10/01/07
MUZAK HOLDINGS LLC DE 5.02 09/28/07
NASDAQ STOCK MARKET INC DE 1.02,2.04 09/25/07
NASH FINCH CO DE 8.01,9.01 09/26/07
NATIONAL SEMICONDUCTOR CORP DE 5.02,8.01,9.01 10/01/07
NAVTEQ CORP DE 1.01,9.01 10/01/07
NBTY INC DE 1.02 09/30/07
NEOMEDIA TECHNOLOGIES INC DE 5.02,8.01,9.01 09/26/07
NEUROBIOLOGICAL TECHNOLOGIES INC /CA/ DE 3.01 09/28/07
NEW HAMPSHIRE THRIFT BANCSHARES INC DE 2.01,5.02,5.03,9.01 10/01/07
NEW YORK MORTGAGE TRUST INC MD 7.01,8.01,9.01 10/01/07
NEWALLIANCE BANCSHARES INC 5.02,9.01 09/25/07
NEWBRIDGE BANCORP NC 1.01,5.02,9.01 09/27/07
NightHawk Radiology Holdings Inc 2.01,9.01 07/16/07 AMEND
NORTEL NETWORKS CORP 8.01,9.01 09/28/07
NORTEL NETWORKS LTD 8.01,9.01 09/28/07
NORTHERN STATES POWER CO MN 8.01 09/26/07
NORTHWEST NATURAL GAS CO OR 5.02,8.01,9.01 09/26/07
NPS PHARMACEUTICALS INC DE 1.01,8.01,9.01 09/26/07
NUTRITION 21 INC NY 2.02,9.01 09/28/07
Obagi Medical Products, Inc. DE 7.01,9.01 10/01/07
OCEAN BIO CHEM INC FL 5.03 09/27/07
OMEGA PROTEIN CORP NV 8.01 10/01/07
ON SEMICONDUCTOR CORP DE 5.02,9.01 09/26/07
ONEOK Partners LP DE 7.01,9.01 10/01/07
OPHTHALMIC IMAGING SYSTEMS CA 1.01,2.03 09/25/07
ORTEC INTERNATIONAL INC DE 1.01,1.02,8.01 09/26/07
OVERLAND STORAGE INC CA 5.02,8.01,9.01 09/25/07
PALM INC DE 2.02,9.01 10/01/07
PARLUX FRAGRANCES INC DE 4.01,9.01 09/26/07
PARTNERRE LTD 5.02,9.01 09/26/07
PENN TRAFFIC CO DE 1.01,5.02,7.01,9.01 10/01/07
PetroHunter Energy Corp MD 8.01 10/01/07
PETROLEUM DEVELOPMENT CORP NV 7.01,9.01 09/28/07
Pharmasset Inc 8.01,9.01 10/01/07
PIONEER DRILLING CO TX 5.02,9.01 09/28/07
PLY GEM HOLDINGS INC DE 8.01,9.01 09/28/07
PNC FINANCIAL SERVICES GROUP INC PA 8.01,9.01 09/28/07
PRE PAID LEGAL SERVICES INC OK 2.02,9.01 09/30/07
PRG SCHULTZ INTERNATIONAL INC GA 3.02 09/25/07
PROGRESSIVE GAMING INTERNATIONAL CORP NV 9.01 09/26/07 AMEND
PROSPECT CAPITAL CORP MD 9.01 10/01/07
PROTECTIVE LIFE INSURANCE CO TN 9.01 09/27/07
PRUDENTIAL FINANCIAL INC NJ 8.01 10/01/07
PSI CORP NV 8.01 09/20/07
pSivida LTD C3 2.02,9.01 08/31/07
PVF CAPITAL CORP OH 1.01,9.01 09/25/07
QUIDEL CORP /DE/ DE 1.01,2.03,9.01 09/27/07
RANGE RESOURCES CORP DE 1.01,2.03,8.01,9.01 10/01/07
RASC Series 2007-EMX1 Trust DE 6.02 09/27/07
RBS GLOBAL INC DE 1.01,9.01 09/26/07
REDDY ICE HOLDINGS INC DE 8.01 09/27/07
REGENERON PHARMACEUTICALS INC NY 8.01,9.01 10/01/07
RELM WIRELESS CORP NV 1.01,8.01,9.01 09/28/07
Renegy Holdings, Inc. DE 1.01,2.01,3.02,5.01,5.02,9.01 10/01/07
REYNOLDS AMERICAN INC 5.02,9.01 09/26/07
SAIC, Inc. DE 5.02,9.01 10/01/07
SAMARITAN PHARMACEUTICALS INC NV 8.01,9.01 10/01/07
SANTA FE ENERGY TRUST TX 8.01,9.01 10/01/07
SCANSOURCE INC SC 1.01,1.02,2.03,9.01 09/28/07
SCHWEITZER MAUDUIT INTERNATIONAL INC DE 2.05,2.06,9.01 10/01/07
SELIGMAN NEW TECHNOLOGIES FUND II INC MD 8.01 09/28/07
SELIGMAN NEW TECHNOLOGIES FUND, INC 8.01 09/28/07
SENESCO TECHNOLOGIES INC DE 2.02,9.01 10/01/07
Shire plc 8.01,9.01 10/01/07
SMART MOVE, INC. DE 1.01,3.02,9.01 09/26/07
SOLUTIA INC DE 7.01,9.01 10/01/07
SONOSITE INC 8.01 10/01/07
SOUTHERN COMMUNITY FINANCIAL CORP 5.02 09/27/07
SPECTRASCIENCE INC MN 9.01 09/28/07
Spectrum Brands, Inc. WI 2.03,5.02,9.01 09/27/07
SPORT SUPPLY GROUP, INC. DE 5.02,7.01,9.01 09/28/07
Storm Cat Energy CORP 7.01,9.01 10/01/07
STRUCTURED PRODUCTS CORP CORTS TR FOR DE 8.01 09/26/07
SUNRISE SENIOR LIVING INC DE 8.01,9.01 09/28/07
SVI Media, Inc. NV 5.02 09/25/07
SYMBOLLON CORP DE 1.01,3.02 09/27/07
SYNTEC BIOFUEL INC WA 2.01,9.01 09/28/07
Synvista Therapeutics, Inc. DE 8.01,9.01 10/01/07
T-3 ENERGY SERVICES INC TX 8.01,9.01 10/01/07
TALEO CORP DE 8.01,9.01 09/28/07
TECHNOLOGY INVESTMENT CAPITAL CORP MD 8.01,9.01 10/01/07
TELEFLEX INC DE 2.01,9.01 10/01/07
TERRA INDUSTRIES INC MD 8.01,9.01 09/28/07
TEXAS CAPITAL BANCSHARES INC/TX DE 1.01,9.01 09/27/07
THINKENGINE NETWORKS, INC. 2.03,3.02,9.01 09/28/07
THOMAS & BETTS CORP TN 8.01,9.01 08/15/07
THOMAS GROUP INC DE 5.02 09/21/07 AMEND
Thomas Weisel Partners Group, Inc. DE 1.01,3.02,7.01,9.01 09/30/07
TIB FINANCIAL CORP. FL 5.02,9.01 09/27/07
TIENS BIOTECH GROUP USA INC 4.01,8.01,9.01 09/26/07
TomoTherapy Inc 2.02,9.01 10/01/07
TOPSPIN MEDICAL INC 1.01,5.02,9.01 09/25/07
TORBAY HOLDINGS INC DE 5.02,9.01 09/25/07
Touchstone Mining LTD NV 1.01,1.02,3.02,9.01 09/26/07
TRANSNET CORP DE 7.01,9.01 09/28/07
TRANSOCEAN INC E9 1.01,2.03,8.01,9.01 09/28/07
TRANSWITCH CORP /DE DE 7.01,9.01 10/01/07
TRC COMPANIES INC /DE/ DE 8.01,9.01 09/27/07
TRIDENT MICROSYSTEMS INC DE 5.02,5.03,9.01 09/28/07
TSB Financial CORP NC 1.01,9.01 09/28/07
TXCO Resources Inc DE 7.01,9.01 09/27/07
Tyco Electronics Ltd. D0 7.01,9.01 09/27/07
UNITED COMMUNITY FINANCIAL CORP OH 1.01,9.01 09/25/07
UNITED PARCEL SERVICE INC DE 8.01,9.01 09/30/07
UNIVERSAL HOSPITAL SERVICES INC MN 7.01,9.01 10/01/07
URANIUM 308 CORP. NV 1.01,2.01,5.02,8.01,9.01 09/21/07
Uranium Star Corp. NV 1.01,9.01 10/01/07
VALSPAR CORP DE 7.01,9.01 10/01/07
VARIAN MEDICAL SYSTEMS INC DE 5.02 09/27/07
VECTREN CORP IN 8.01 09/28/07
VERTIS INC DE 8.01,9.01 10/01/07
ViewPoint Financial Group X1 1.01,9.01 09/29/07
VIKING SYSTEMS INC DE 8.01 09/30/07
VOLTERRA SEMICONDUCTOR CORP 5.03,9.01 09/28/07
VONAGE HOLDINGS CORP DE 8.01,9.01 09/25/07
Warner Chilcott Ltd D0 8.01,9.01 10/01/07
WESTAR ENERGY INC /KS KS 7.01,8.01,9.01 10/01/07
WILLOW FINANCIAL BANCORP, INC. PA 2.02,4.02,9.01 09/28/07
WISCONSIN ELECTRIC POWER CO WI 1.01,2.01,9.01 09/28/07
WISCONSIN ENERGY CORP WI 1.01,8.01,9.01 09/28/07
WORLD OMNI AUTO RECEIVABLES LLC DE 8.01,9.01 09/26/07
WORTHINGTON INDUSTRIES INC OH 8.01 09/26/07
WYNN RESORTS LTD 1.01,9.01 09/28/07
XCEL ENERGY INC MN 8.01 09/26/07
YARDVILLE NATIONAL BANCORP NJ 5.02 09/26/07
ZALE CORP DE 1.01 10/01/07
http://www.sec.gov/news/digest/2007/dig100207.htm
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