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SEC NEWS DIGEST
Issue 2007-202 October 19, 2007
COMMISSION ANNOUNCEMENTS
SEC DISTRIBUTES $356 MILLION TO DEFRAUDED FANNIE MAE INVESTORS
Investor Protection Agency's "Fair Funds" Distributions to Fraud
Victims Top $3 Billion Mark
The Securities and Exchange Commission today announced that checks
totaling more than $356 million are going in today's mail to investors
harmed by the financial fraud at Fannie Mae (Federal National Mortgage
Association) between 1998 and 2004. With today's payments, the SEC has
distributed more than $3 billion overall since the agency was given
authority to send financial penalties from SEC enforcement actions to
the victims of financial fraud.
Today's $356,128,500 going to individual investors, pension plans and
other victims represents the entirety of the money Fannie Mae paid to
settle the SEC's fraud charges last year, plus interest. Prior to the
enactment of the Fair Funds provisions of the Sarbanes-Oxley Act of
2002, the SEC was required to send financial penalties from its
enforcement actions to the U.S. Treasury instead of to harmed
investors.
"The SEC is continuing to make highly effective use of the authority
provided by Congress in the Sarbanes-Oxley Act to return more money to
injured investors as quickly as possible," said SEC Chairman
Christopher Cox. "The $350 million penalty paid by Fannie Mae was one
of the largest in Commission history, and now all of it is going to
its rightful owners - the victims of this fraud."
Linda Chatman Thomsen, Director of the Division of Enforcement, added,
"I am very pleased that we were able to swiftly recompense
shareholders after creation of the Fair Fund."
The Fair Fund for Fannie Mae victims resulted from an enforcement
action in May 2006 in which Fannie Mae paid $350 million to settle SEC
charges that it issued materially false and misleading financial
statements in SEC filings and in various reports disseminated to
investors. Final judgment was entered in August 2006, and the U.S.
District Court of the District of Columbia approved the establishment
of the Fair Fund in April 2007.
Questions regarding the Fair Fund distribution should be directed to
the fund's court-appointed distribution agent:
* Call toll-free:1-800-760-6903(Monday-Friday, 9:00 a.m.-7:00 p.m. ET)
* Visit the settlement Web site: www.SECFannieMaeSettlement.com
* E-mail: mail@SECFannieMaeSettlement.com
* Write to: SEC Fannie Mae Settlement, 201 S. Lyndale Avenue, Suite S-
3, P.O. Box 1883, Faribault, MN 55021-7138. (Press Rel. 2007-219)
ENFORCEMENT PROCEEDINGS
COMMISSION DECLARES INITIAL DECISION FINAL AS TO TERRENCE J. O'DONNELL
The decision of an administrative law judge barring Terrence J.
O'Donnell of Loxahatchee, Florida from association with any broker or
dealer, provided that O'Donnell may apply for association in the event
that the injunction in SEC v. Zwick, No. 03-CV-2742 (S.D.N.Y.) is no
longer in effect has become final.
O'Donnell was a trader affiliated with Suncoast Capital Group, Ltd.
(Suncoast), a registered broker-dealer. After a three-week trial, the
Zwick jury returned a verdict that O'Donnell had aided and abetted
violations of the antifraud provisions. The jury concluded that
O'Donnell had participated in a scheme by which a bond trader employed
by New York Life Insurance Company ("New York Life") was bribed by a
Suncoast sales representative. As part of the scheme, Suncoast charged
undisclosed excessive markups and markdowns on transactions for New
York Life. Between 1997 and 1999, O'Donnell executed twenty of the
twenty-seven fraudulently excessive trades at issue.
The law judge granted the Division of Enforcement's motion for summary
disposition. As noted, the initial decision bars O'Donnell from
association with any broker or dealer, with the right to reapply for
association if the injunction in SEC v. Zwick, is no longer in effect.
The initial decision provides that the Commission may condition
reentry on a number of factors, including, but not limited to,
O'Donnell's satisfaction of the disgorgement award with prejudgment
and postjudgment interest, and payment of the civil monetary penalty
ordered against him in SEC v. Zwick. (Rel. 34-56670 Finality Order;
File No. 3-12640)
IN THE MATTER OF PAUL E. KNIGHT, ET AL.
On October 18, the Commission issued an Order Making Findings and
Imposing Remedial Sanctions Pursuant to Section 15(b) of the
Securities Exchange Act of 1934 (Order) against Paul E. Knight
(Knight).
The Order finds that on Oct. 15, 2003, the Commission filed a
complaint in the U.S. District Court for the Southern District of
Indiana (Court), captioned SEC v. John L. Montana, et al., Case No.
1:03-CV-1513. The Commission's complaint alleged that, from at least
October 1999 until April 2000, in connection with the sale of
interests in a purported trading program, Knight made
misrepresentations and omissions of material fact to investors
regarding the purported trading program, including the investment's
rate of return, the safety of the investment and the use of investors'
funds. The complaint further alleged that Knight sold unregistered
securities and acted as an unregistered broker-dealer by effectuating
transactions in securities for the accounts of others.
The Order finds that on Nov. 22, 2006, the Court granted the
Commission's motion for summary judgment against Knight. The Order
further finds that on May 23, 2007, a final judgment was entered
against Knight permanently enjoining him from future violations of
Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, Sections
10(b), 15(a)(1) and 15(c)(1) of the Securities Exchange Act of 1934
and Rule 10b-5 thereunder. The Order also finds that in the final
judgment the Court ordered that Knight and his corporation, P.K. Trust
& Holding, Inc., be jointly and severally liable for disgorgement of
$1,750,945, representing profits or other financial gain resulting
from the conduct alleged in the Complaint, together with prejudgment
interest thereon in the amount of $900,874, for a total of $2,651,819.
Knight was also ordered to pay a civil penalty in the amount of
$110,000.
Based on the above, the Order bars Knight from association with any
broker or dealer. Knight, without admitting or denying the findings
contained in the Order except as to jurisdiction, consented to the
issuance of the Order. (Rel. 34-56676; File No. 3-12654)
THE COMMISSION DISMISSES ITS CLAIMS FOR DISGORGEMENT AND CIVIL
PENALTIES AGAINST ALL DEFENDANTS
The Commission announced that on October 11 it dismissed its claims
for disgorgement and civil penalties against Defendants William
DeLoach, Rosario Licata and Maria Garcia. In light of DeLoach's 97
month prison sentence, Licata's 63 month prison sentence and Garcia's
63 month prison sentence and orders to pay $18,979,473.98,
$6,791,187.58 and $9,489,913.61, respectively, in restitution in the
parallel criminal case, the Commission dismissed its disgorgement and
civil penalties claims against them. For further information see U.S.
v. DeLoach, et al., Crim. Action No. 06-CR-20583 (S.D. Fla.). [SEC v.
William DeLoach, Maria M. Garcia and Rosario F. Licata, Case No. 06-
22329-CIV-GOLD (S.D. Fla.)] (LR-20340)
INVESTMENT COMPANY ACT RELEASES
PROSHARES TRUST, ET AL.
An order has been issued on an application filed by ProShares Trust,
et al. The order amends an existing order that permits: (a) series of
an open-end management investment company (Initial Funds) to issue
shares of limited redeemability that would trade in the secondary
market at negotiated prices; (b) dealers to sell the shares to
purchasers in the secondary market unaccompanied by a prospectus, when
prospectus delivery is not required by the Securities Act of 1933; and
(c) certain affiliated persons of the Initial Funds to deposit
securities into, and receive securities from, the Initial Funds in
connection with the purchase and redemption of aggregations of the
shares. The amended order permits certain new series to be offered
using additional domestic equity securities indices and certain
international equity securities indices and debt securities indices.
(Rel. IC-28014 - October 17)
WISDOMTREE INVESTMENTS, INC., ET AL.
An order has been issued on an application filed by WisdomTree
Investments, Inc., et al. The order amends a prior order that permits:
(a) open-end management investment companies, whose series are based
on certain equity securities indices, to issue shares redeemable only
in large aggregations; (b) secondary market transactions in the shares
of the series to occur at negotiated prices; (c) dealers to sell
shares to purchasers in the secondary market unaccompanied by a
prospectus when prospectus delivery is not required by the Securities
Act of 1933; (d) certain affiliated persons of the series to deposit
securities into, and receive securities from, the series in connection
with the purchase and redemption of aggregations of the series'
shares, (e) under certain circumstances, the series that track certain
foreign equity securities indexes to pay redemption proceeds more than
seven days after the tender of the series' shares, and (f) certain
management investment companies and unit investment trusts outside of
the same group of investment companies as the series to acquire shares
of the series. The amended order permits the applicants to offer
additional series that hold fixed income securities. In addition, the
amended order deletes a condition related to future relief in the
prior order. (Rel. IC-28015 - October 17)
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A proposed rule change (SR-NYSEArca-2007-107) filed by NYSE Arca.
relating to NYSE Arca Marketplace's trading sessions 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 22. (Rel. 34-56666)
A proposed rule change (SR-FINRA-2007-017) filed by the Financial
Industry Regulatory Authority to amend rules relating to reporting of
odd-lot transactions 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 22. (Rel. 34-56669)
A proposed rule change (SR-ISE-2007-88) filed by the International
Securities Exchange relating to the qualified contingent trade
exemption 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 22. (Rel. 34-56671)
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-4 PAETEC Holding Corp., (585) 340-2500 - 0 ($217,491,539.00) Equity,
(File 333-146778 - Oct. 18) (BR. 11A)
SB-2 APPLIED NEUROSOLUTIONS INC, 50 LAKEVIEW PARKWAY S, STE 111,
VERNON HILLS, IL, 60061, 847 573 8000 -
29,538,988 ($5,694,960.00) Equity, (File 333-146779 - Oct. 18) (BR. 01B)
F-1 Melco PBL Entertainment (Macau) LTD,
THE PENTHOUSE, 38TH FLOOR, THE CENTRIUM, 60 WYNDHAM STREET, CENTRAL,
K3, 00000, (852) 3151-3777 - 0 ($800,000,000.00) ADRs/ADSs,
(File 333-146780 - Oct. 18) (BR. 08A)
SB-2 Toyzap.com, Inc., 629 DEFOREST, COPPELL, TX, 75019, 9723930100 -
2,000,000 ($150,000.00) Equity, (File 333-146781 - Oct. 18) (BR. 05)
S-3 PETRO RESOURCES CORP, 777 POST OAK BLVD #910, HOUSTON, TX, 77056,
832-369-6986 - 2,013,233 ($4,791,495.00) Equity, (File 333-146782 -
Oct. 18) (BR. 04C)
F-6 LONGTOP FINANCIAL TECHNOLOGIES LTD, 15/F, BLOCK A, CHUANGXIN BUILDING,
SOFTWARE PARK, XIAMEN, F4, 361005, (86-592) 2396-888 -
100,000,000 ($5,000,000.00) Equity, (File 333-146783 - Oct. 18) (BR. 03)
F-1 AGRIA CORP, ROOM 706, 7/F, HUANTAI BUILDING,
NO. 12A, SOUTH STREET ZHONGGUANCUN, HAIDIAN DISTRICT, BEIJING, F4,
100081, (86-10) 6210 9288 - 175,000,000 ($175,000,000.00) ADRs/ADSs,
(File 333-146785 - Oct. 18) (BR. 09)
F-6 CORIMON C A, PO BOX 025323, MIAMI, FL, 33102-5323, 5822035555 -
50,000,000 ($2,500,000.00) ADRs/ADSs, (File 333-146786 - Oct. 18)
(BR. 06B)
SB-2 UROPLASTY INC, 5420 FELTL ROAD, MINNETONKA, MN, 55343, (952) 426-6140 -
0 ($11,500,000.00) Equity, (File 333-146787 - Oct. 18) (BR. 10C)
S-8 EL CAPITAN PRECIOUS METALS INC, 10876 E. TIERRA DRIVE, SCOTTSDALE, AZ,
85259, 480-948-0724 - 3,000,000 ($1,650.00) Equity, (File 333-146788 -
Oct. 18) (BR. 04C)
S-8 ACCELERIZE NEW MEDIA INC, 6477 HWY 93 S. SUITE 303, WHITEFISH, MT,
59937, 406-270-1874 - 10,000,000 ($2,057,500.00) Equity,
(File 333-146789 - Oct. 18) (BR. 03)
S-8 CHINA NATURAL RESOURCES INC, ROOM 2105 WEST TOWER SHUN TAK CENTRE,
200 CONNAUGHT ROAD C, SHEUNG WAN, K3, -, 01185228107205 -
2,300,000 ($85,100,000.00) Equity, (File 333-146790 - Oct. 18) (BR. 04)
SB-2 Suraj Ventures, Inc., RHEMA HOUSE, YARIRD, VERSOVE,
ANDEHERI (W), MUMBAI, K7, 400061, 91 22 26398512 -
970,000 ($48,500.00) Equity, (File 333-146791 - Oct. 18) (BR. 04)
S-8 GENESIS MICROCHIP INC /DE, 2525 AUGUSTINE DRIVE, SANTA CLARA,, CA,
95054, (408) 919-8442 - 10,425,048 ($83,460,384.00) Equity,
(File 333-146792 - Oct. 18) (BR. 10B)
S-8 ALADDIN KNOWLEDGE SYSTEMS LTD, 15 BEIT IVED ST, TEL AVIV ISRAEL, L5,
61110, 9725375795 - 250,000 ($5,902,500.00) Equity, (File 333-146793 -
Oct. 18) (BR. 03C)
S-8 ACI WORLDWIDE, INC., 120 BROADWAY, SUITE 3350, NEW YORK, NY, 10271,
402-390-7600 - 0 ($47,060,000.00) Equity, (File 333-146794 - Oct. 18)
(BR. 03C)
N-2 Van Kampen Global Equity Dividend & Income Fund, 522 FIFTH AVENUE,
NEW YORK, NY, 10036, 212-296-6990 - 0 ($1,000,000.00) Equity,
(File 333-146795 - Oct. 18) (BR. 16)
SB-2 China International Enterprises Corp.,
NO. 5 FLOOR 6, BLOCK A, SKYWORTH BLDG.,
HI-TECH INDUSTRIAL PARK, NANSHAN DISTRIC, SHENZHEN, F4, 518057,
212-232-0120 - 9,970,000 ($2,392,800.00) Equity, (File 333-146796 -
Oct. 18) (BR. 09)
S-3 O2DIESEL CORP, 1601 FIFTH AVENUE, SUITE 2100, SEATTLE, WA, 98101,
18,984,888 ($7,973,653.00) Equity, (File 333-146797 - Oct. 18) (BR. 02B)
S-8 EARTH SEARCH SCIENCES INC, 1729 MONTANA HIGHWAY 35, KALLSPELL, MT,
59901, 4067515200 - 15,000,000 ($52.96) Equity, (File 333-146798 -
Oct. 18) (BR. 04C)
S-3 MARCHEX INC, 413 PINE STREET, SUITE 500, SEATTLE, WA, 98101,
206-774-5000 - 0 ($7,200,480.42) Equity, (File 333-146800 - Oct. 18)
(BR. 03B)
S-1 Commodities & Currencies Trust, 7501 WISCONSIN AVE, SUITE 1000,
BETHESDA, MD, 20814, 240-497-6400 - 0 ($50,400,000.00) Equity,
(File 333-146801 - Oct. 18) (BR. )
SB-2 Mantra Venture Group Ltd., 1205 - 207 WEST HASTINGS STREET, VANCOUVER,
A1, V6B 1H7, 6046092898 - 5,072,578 ($1,268,144.50) Equity,
(File 333-146802 - Oct. 18) (BR. )
S-1 WHX CORP, 555 THEODORE FREMD AVENUE, RYE, NY, 10580, 9149254413 -
0 ($170,000,000.00) Equity, (File 333-146803 - Oct. 18) (BR. 06A)
S-8 DUPONT FABROS TECHNOLOGY, INC., 1212 NEW YORK AVENUE, NW, SUITE 900,
WASHINGTON, DC, 20005, 202-728-0044 - 4,624,745 ($4,624.75) Equity,
(File 333-146804 - Oct. 18) (BR. 08)
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
--------------------------------------------------------------------------------------------------------
3DICON CORP 1.01,3.02,9.01 10/12/07
ABIGAIL ADAMS NATIONAL BANCORP INC DE 5.03,9.01 10/16/07
ABLEAUCTIONS COM INC FL 4.01,9.01 10/17/07
ACCENTIA BIOPHARMACEUTICALS INC 2.03,3.02,7.01,8.01,9.01 10/12/07
ACUITY BRANDS INC DE 8.01 10/17/07
ADVANCE DISPLAY TECHNOLOGIES INC CO 5.02,9.01 10/12/07
ADVANCED MICRO DEVICES INC DE 2.02,7.01,9.01 10/18/07
AFFILIATED MANAGERS GROUP INC DE 1.01,2.03,3.02,9.01 10/12/07
AFS SenSub Corp. 8.01,9.01 10/18/07
Aftersoft Group DE 4.02 10/12/07
ALABAMA POWER CO AL 5.03,8.01,9.01 10/15/07
ALABAMA POWER CO AL 8.01,9.01 10/11/07
ALFACELL CORP DE 2.02,9.01 10/15/07
ALLEGRO BIODIESEL CORP DE 1.01,1.02 10/13/07
ALLIANCE BANCORP INC OF PENNSYLVANIA X1 2.02,8.01,9.01 10/17/07
ALLOY INC DE 5.03,9.01 10/11/07 AMEND
ALTERA CORP DE 5.02,9.01 10/15/07
Altus Pharmaceuticals Inc. DE 5.02 10/15/07
AMCORE FINANCIAL INC NV 2.02,9.01 10/18/07
AMERICAN BIO MEDICA CORP NY 5.03,9.01 10/16/07
AMERICAN RIVER BANKSHARES CA 2.02,9.01 10/18/07
AMERICAN RIVER BANKSHARES CA 8.01,9.01 10/18/07
AMERICAN STANDARD COMPANIES INC DE 2.02,7.01,9.01 10/18/07
American Telecom Services Inc 3.01,9.01 10/16/07
AMERICAS CARMART INC TX 5.02 10/16/07
ANWORTH MORTGAGE ASSET CORP MD 8.01,9.01 10/11/07
APOLLO GOLD CORP 1.01,2.03,9.01 10/12/07
APOLLO INVESTMENT CORP MD 7.01,9.01 10/17/07
APPLIX INC /MA/ MA 5.01,5.02,8.01,9.01 10/17/07
ARBITRON INC DE 2.02,9.01 10/18/07
ARKANSAS BEST CORP /DE/ DE 8.01,9.01 10/18/07
ARROW RESOURCES DEVELOPMENT INC DE 5.02 10/15/07
Aspreva Pharmaceuticals CORP A1 1.01,8.01,9.01 10/17/07
ASSOCIATED BANC-CORP WI 2.02,9.01 10/18/07
ASTORIA FINANCIAL CORP DE 2.02,9.01 10/18/07
AUDIOVOX CORP DE 1.01,9.01 10/14/07
AURELIO RESOURCE CORP NV 5.02,9.01 10/18/07
AURIGA LABORATORIES, INC. DE 8.01,9.01 10/15/07
AVAX TECHNOLOGIES INC DE 5.02,9.01 10/02/07
AVAYA INC DE 2.02,5.02,9.01 10/18/07
AVICI SYSTEMS INC DE 2.02,9.01 10/18/07
AVISTAR COMMUNICATIONS CORP DE 2.02,9.01 10/18/07
BABYUNIVERSE, INC. FL 1.01,2.01,2.03,5.01,5.02,5.03, 10/12/07
9.01
BANCFIRST CORP /OK/ OK 2.02,9.01 10/18/07
BANCTRUST FINANCIAL GROUP INC AL 1.01,2.01,8.01,9.01 10/15/07
BANK OF AMERICA CORP /DE/ DE 2.02,7.01,8.01,9.01 10/18/07
BANK OF GRANITE CORP DE 5.03,9.01 10/15/07
BARNWELL INDUSTRIES INC DE 5.02 09/26/07
BAUSCH & LOMB INC NY 8.01,9.01 10/18/07
BAXTER INTERNATIONAL INC DE 2.02,9.01 10/18/07
BB&T CORP NC 2.02,9.01 10/18/07
BELL MICROPRODUCTS INC CA 3.01,9.01 10/17/07
BIOPURE CORP DE 5.02,8.01,9.01 10/16/07
BIOVEST INTERNATIONAL INC DE 1.01,2.03,3.02,7.01,9.01 10/12/07
BJs RESTAURANTS INC CA 8.01,9.01 10/17/07
BLACK BOX CORP DE 5.02,9.01 10/13/07
BLACK HILLS CORP /SD/ SD 8.01,9.01 10/18/07
BLACKROCK PETROLEUM CORP. NV 5.02,8.01,9.01 10/12/07
BODYTEL SCIENTIFIC INC. NV 4.01 09/28/07
BOISE CASCADE HOLDINGS, L.L.C. DE 8.01 10/15/07
BOYSTOYS COM INC DE 4.01 10/18/07
Bridge Capital Holdings CA 2.02,9.01 10/18/07
BRIGGS & STRATTON CORP WI 2.02,9.01 10/18/07
BRIGHT HORIZONS FAMILY SOLUTIONS INC DE 2.02,9.01 10/17/07
BRITTON & KOONTZ CAPITAL CORP MS 8.01,9.01 10/16/07
BROWN FORMAN CORP DE 7.01,9.01 10/17/07
BUILD A BEAR WORKSHOP INC DE 2.02,9.01 10/18/07
CABELAS INC DE 2.02,7.01,9.01 10/18/07
CADENCE FINANCIAL CORP MS 2.02,9.01 10/18/07
CALIFORNIA MICRO DEVICES CORP CA 2.02,9.01 10/18/07
CAMPBELL FUND TRUST MD 3.02 10/01/07
CAPITAL ONE FINANCIAL CORP DE 2.02,7.01,8.01,9.01 10/18/07
CAPITAL SENIOR LIVING CORP DE 7.01,9.01 10/18/07
CAPITOL BANCORP LTD MI 2.02 10/18/07
CAREER EDUCATION CORP DE 8.01 10/17/07
CATERPILLAR INC DE 7.01 10/18/07
CDW CORP IL 1.01,1.02,2.03,3.01,3.03,5.01, 10/12/07
5.02,5.03,9.01
CENTRAL BANCORP INC /MA/ MA 8.01,9.01 10/18/07
CERNER CORP /MO/ DE 2.02,8.01,9.01 10/15/07
CHAMPION ENTERPRISES INC MI 2.02,9.01 10/17/07
CHEMUNG FINANCIAL CORP NY 2.02,9.01 09/30/07
Cheniere Energy Partners, L.P. DE 8.01,9.01 10/18/07
CHINA FUND INC MD 7.01,9.01 09/01/07
CHITTENDEN CORP /VT/ VT 2.02,9.01 10/18/07
CITIZENS FINANCIAL SERVICES INC PA 2.02,9.01 10/18/07
CITIZENS REPUBLIC BANCORP, INC. MI 2.02,9.01 10/18/07
CITY HOLDING CO WV 2.02,9.01 10/17/07
CLARCOR INC DE 1.01,3.02,8.01,9.01 10/17/07
CLX INVESTMENT COMPANY, INC. CO 1.01,2.01,3.02 10/15/07
COFFEE PACIFICA INC NV 5.02 10/15/07
COGNIZANT TECHNOLOGY SOLUTIONS CORP 1.01,9.01 10/18/07
COLONIAL BANCGROUP INC DE 5.03,9.01 10/17/07
COMMUNITY BANCORP /VT VT 8.01,9.01 10/18/07
COMMUNITY BANKS INC /PA/ PA 2.02,9.01 10/18/07
COMMUNITY CAPITAL CORP /SC/ SC 8.01 10/17/07
COMPX INTERNATIONAL INC DE 7.01,9.01 10/17/07
CONSOLIDATED GRAPHICS INC /TX/ TX 2.02,9.01 10/18/07
CONSOLIDATED GRAPHICS INC /TX/ TX 2.02,9.01 10/18/07
Constellation Energy Partners LLC DE 8.01 10/18/07
CONSUMER PORTFOLIO SERVICES INC CA 2.02,9.01 10/17/07
CONTINENTAL AIRLINES INC /DE/ DE 2.02,7.01,9.01 10/18/07
Copano Energy, L.L.C. DE 8.01,9.01 10/17/07
Covidien Ltd. D0 8.01,9.01 10/18/07
CREE INC NC 2.02,9.01 10/18/07
CROWN CASTLE INTERNATIONAL CORP DE 5.02 10/17/07
CROWN CASTLE INTERNATIONAL CORP DE 5.02 10/17/07
Customer Acquisition Network Holdings DE 9.01 10/17/07 AMEND
CYBERSOURCE CORP DE 2.02,9.01 10/18/07
CYPRESS SEMICONDUCTOR CORP /DE/ DE 2.02,9.01 10/18/07
CYTEC INDUSTRIES INC/DE/ DE 2.02,5.02,9.01 10/18/07
DANAHER CORP /DE/ DE 2.02,9.01 10/17/07
DCAP GROUP INC DE 5.02,9.01 10/16/07
DCB FINANCIAL CORP OH 2.02,9.01 10/18/07
DEARBORN BANCORP INC /MI/ MI 2.02,9.01 10/16/07
DEARBORN BANCORP INC /MI/ MI 8.01,9.01 10/17/07
DEPOMED INC CA 5.02 10/12/07
DOW JONES & CO INC DE 2.02,9.01 10/18/07
DREW INDUSTRIES INC DE 8.01,9.01 10/17/07
DUSKA THERAPEUTICS, INC. NV 5.02 10/15/07
DYNEX CAPITAL INC VA 2.03 10/16/07
EAGLE BANCORP INC MD 2.02,7.01,9.01 10/18/07
EAGLE BANCORP/MT 2.02 10/18/07
Epic Bancorp 2.02,9.01 10/18/07
EQUITABLE FINANCIAL CORP 8.01,9.01 10/17/07
EXACT SCIENCES CORP DE 7.01,9.01 10/18/07
EXCEL TECHNOLOGY INC DE 2.02,9.01 09/28/07
EXELON CORP PA 7.01,8.01,9.01 10/11/07
FAIRCHILD SEMICONDUCTOR INTERNATIONAL DE 2.02 10/18/07
FAIRPOINT COMMUNICATIONS INC DE 8.01,9.01 10/18/07
Federal Home Loan Bank of Atlanta X1 2.03 10/15/07
Federal Home Loan Bank of Boston X1 2.03 10/16/07
Federal Home Loan Bank of Chicago X1 2.03 10/16/07
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 10/15/07
Federal Home Loan Bank of Des Moines X1 2.03,9.01 10/16/07
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 10/16/07
Federal Home Loan Bank of New York X1 2.03,9.01 10/16/07
Federal Home Loan Bank of New York X1 2.02,8.01,9.01 10/18/07
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 10/15/07
Federal Home Loan Bank of San Francis X1 2.03 10/15/07
Federal Home Loan Bank of Seattle 2.03 10/17/07
Federal Home Loan Bank of Topeka 2.03 10/16/07
FEDERAL MOGUL CORP MI 2.02,9.01 10/18/07
FIDELITY D & D BANCORP INC PA 2.02,9.01 10/17/07
FIRST COMMONWEALTH FINANCIAL CORP /PA PA 2.02,9.01 10/18/07
FIRST COMMUNITY BANK CORP OF AMERICA FL 2.02,9.01 10/17/07
First Federal of Northern Michigan Ba 1.01,9.01 10/12/07
FIRST HORIZON NATIONAL CORP TN 2.02,9.01 09/30/07
FIRST HORIZON NATIONAL CORP TN 7.01,9.01 09/30/07
FIRST M&F CORP/MS MS 2.02,7.01,9.01 10/18/07
FIRST MERCHANTS CORP IN 2.02,9.01 09/30/07
Flex Fuels Energy, Inc. NV 5.02,9.01 10/16/07
FNB CORP/FL/ FL 2.02,9.01 10/18/07
Fortress International Group, Inc. DE 2.02,9.01 10/17/07
FREMONT GENERAL CORP NV 5.04 10/18/07
FULTON FINANCIAL CORP PA 5.02 10/18/07
GALAXY ENERGY CORP CO 3.01,9.01 10/15/07
GENE LOGIC INC DE 5.02,9.01 10/12/07 AMEND
GENE LOGIC INC DE 1.01,8.01,9.01 10/18/07 AMEND
GENERAL MOTORS CORP DE 8.01 10/18/07
GENTA INC DE/ DE 8.01,9.01 10/18/07
GENUINE PARTS CO GA 2.02,9.01 10/18/07
GILEAD SCIENCES INC DE 2.02,9.01 10/18/07
GLOBAL ENTERTAINMENT CORP NV 2.02,9.01 10/15/07
GOAMERICA INC DE 1.01,3.01,5.02,9.01 10/01/07
Golden Star Resource Corp. NV 5.02 10/17/07
Google Inc. DE 2.02,8.01,9.01 10/18/07
GRAMERCY CAPITAL CORP MD 2.02,7.01,9.01 10/17/07
GUARANTY FEDERAL BANCSHARES INC DE 2.02,8.01,9.01 10/17/07
GULFMARK OFFSHORE INC DE 2.02,9.01 10/18/07
H2Diesel Holdings, Inc FL 8.01 10/11/07
HALF ROBERT INTERNATIONAL INC /DE/ DE 2.02,8.01,9.01 10/18/07
HANCOCK HOLDING CO MS 8.01,9.01 10/16/07
HARLEYSVILLE NATIONAL CORP PA 2.02,9.01 10/18/07
HARLEYSVILLE NATIONAL CORP PA 2.02,9.01 10/18/07 AMEND
HASTINGS ENTERTAINMENT INC TX 5.02 10/16/07
HEARTLAND FINANCIAL USA INC DE 2.02,9.01 10/18/07
HERSHEY CO DE 2.02,9.01 10/18/07
HNI CORP IA 2.02,9.01 10/18/07
HOME BANCSHARES INC 2.02,7.01 10/18/07
HORIZON BANCORPORATION INC FL 9.01 10/18/07
HORIZON FINANCIAL CORP WA 2.02,9.01 10/18/07
House of Taylor Jewelry, Inc. NV 1.01,3.02,5.02,9.01 10/12/07
HSBC Home Equity Loan Trust (USA) 200 9.01 10/18/07
HSW International, Inc. DE 4.01,9.01 09/19/07 AMEND
HUNGARIAN TELEPHONE & CABLE CORP DE 2.01,7.01,9.01 10/18/07
HUNTINGTON BANCSHARES INC/MD MD 2.02,9.01 10/18/07
HUTCHINSON TECHNOLOGY INC MN 1.01,9.01 10/12/07
I/OMAGIC CORP NV 8.01 10/18/07
IBT BANCORP INC PA 2.02,5.03,9.01 10/16/07
ICU MEDICAL INC/DE DE 1.01,9.01 10/18/07
IDEX CORP /DE/ DE 2.02,9.01 10/18/07
IMAGEWARE SYSTEMS INC DE 3.01,9.01 10/15/07
IMCLONE SYSTEMS INC DE 1.01,9.01 10/17/07
IMH Secured Loan Fund, LLC DE 2.02,9.01 10/17/07
IMPERIALI INC FL 1.01 10/17/07
INFORMATICA CORP DE 2.02,9.01 10/18/07
Information Services Group Inc. DE 8.01,9.01 10/18/07
INFOSPACE INC DE 1.01,9.01 10/15/07
INNOVATIVE SOFTWARE TECHNOLOGIES INC CA 3.02,5.02 10/12/07
INSTEEL INDUSTRIES INC NC 2.02,9.01 10/18/07
INSWEB CORP DE 2.02,7.01,9.01 10/18/07
INTERLINK ELECTRONICS INC DE 5.02 10/12/07
INTUITIVE SURGICAL INC DE 2.02,9.01 10/18/07
INVERTED PARADIGMS CORP DE 5.02 10/17/07
IRELAND INC. NV 4.01 10/15/07
IVANY MINING INC DE 5.02 10/15/07
iVoice Technology, Inc. NJ 8.01,9.01 10/18/07
IVOICE, INC /NJ NJ 8.01,9.01 10/09/07
J P MORGAN CHASE & CO DE 7.01,9.01 10/18/07
J P MORGAN CHASE & CO DE 9.01 10/18/07
JOURNAL REGISTER CO DE 2.02,7.01,9.01 10/18/07
KANA SOFTWARE INC DE 2.02,9.01 10/12/07
Kimball Hill, Inc. IL 8.01 10/18/07
KING PHARMACEUTICALS INC TN 2.02,2.05,2.06,9.01 10/17/07
KINGSTON SYSTEMS INC DE 1.01,9.01 10/18/07
KNIGHT TRANSPORTATION INC AZ 2.02,9.01 10/17/07
Kohlberg Capital CORP DE 2.02,7.01 10/17/07
KVH INDUSTRIES INC \DE\ DE 2.02,9.01 10/18/07
LANDSTAR SYSTEM INC DE 2.02,9.01 10/18/07
LANGUAGE ACCESS NETWORK, INC. NV 1.01,2.01,3.02,8.01,9.01 08/01/07 AMEND
LASERCARD CORP DE 2.02,9.01 10/18/07
Legacy Bancorp, Inc. DE 7.01,9.01 10/18/07
LEGACY RESERVES L P 9.01 08/03/07 AMEND
LEVI STRAUSS & CO DE 8.01,9.01 10/18/07
LIBERATOR MEDICAL HOLDINGS, INC. NV 4.01,9.01 08/20/07 AMEND
LIMCO-PIEDMONT INC DE 5.02,9.01 10/18/07
LINCOLN EDUCATIONAL SERVICES CORP NJ 5.02,9.01 10/18/07
LIQUIDITY SERVICES INC 5.02,9.01 10/02/07
LIQUIDITY SERVICES INC 5.02,9.01 10/02/07 AMEND
LKQ CORP DE 1.01,2.01,5.02,8.01,9.01 10/12/07
LUBYS INC DE 2.02,9.01 08/29/07
LUFKIN INDUSTRIES INC TX 5.02,9.01 10/18/07
MANNATECH INC TX 4.01,9.01 10/18/07
MARKWEST ENERGY PARTNERS L P 5.02,8.01 10/12/07
McCormick & Schmicks Seafood Restaura 5.02,9.01 10/16/07
MCGRAW-HILL COMPANIES INC NY 2.02,7.01,9.01 10/18/07
MEDIA GENERAL INC VA 2.02,9.01 10/18/07
MGP INGREDIENTS INC KS 7.01 10/18/07
MGP INGREDIENTS INC KS 7.01,9.01 10/18/07
MICROS SYSTEMS INC MD 5.03 10/17/07
MIDCAROLINA FINANCIAL CORP NC 8.01,9.01 10/18/07
MIDLAND CO OH 1.01,3.03,8.01,9.01 10/16/07
Millennium India Acquisition CO Inc. DE 8.01,9.01 10/16/07
MISSION WEST PROPERTIES INC CA 2.02 10/17/07
MODINE MANUFACTURING CO WI 2.02,9.01 10/17/07
MODINE MANUFACTURING CO WI 8.01,9.01 10/17/07
MOHAWK INDUSTRIES INC DE 2.02,9.01 10/18/07
MOVIE GALLERY INC DE 3.01,9.01 10/16/07
MS STRUCTURED SATURNS SERIES 2002-15 DE 8.01,9.01 10/15/07
MTS MEDICATION TECHNOLOGIES, INC /DE/ DE 5.02,7.01,9.01 10/18/07
MVP Network, Inc. NV 8.01,9.01 10/17/07
NANOPHASE TECHNOLOGIES CORPORATION IL 2.02,9.01 10/18/07
NANOVIRICIDES, INC. NV 1.01,3.02,9.01 10/18/07
NASDAQ STOCK MARKET INC DE 8.01,9.01 10/18/07
NATIONAL BANKSHARES INC VA 2.02,9.01 09/30/07
NATIONAL HEALTH REALTY INC MD 8.01 10/16/07
Naugatuck Valley Financial Corp X1 2.02,5.03,9.01 10/16/07
NAUTILUS, INC. WA 1.01,2.02,2.05,9.01 10/12/07
Network Communications, Inc. GA 2.02,9.01 10/16/07
NEUTRON ENTERPRISES INC NV 3.02,5.02,9.01 10/12/07
NEW CENTURY FINANCIAL CORP MD 7.01,9.01 10/15/07
New Design Cabinets, Inc. 5.03,8.01 10/11/07
NEW HAMPSHIRE THRIFT BANCSHARES INC DE 2.02,9.01 10/15/07
NEXEN INC A0 5.02 10/15/07
NNN Apartment REIT, Inc. MD 9.01 08/01/07 AMEND
NNN Apartment REIT, Inc. MD 9.01 08/29/07 AMEND
NNN Healthcare/Office REIT, Inc. MD 1.01,2.03,9.01 10/12/07
NOBLE CORP 2.02,9.01 10/17/07
NORTHERN STATES POWER CO /WI/ WI 8.01 10/15/07
Northfield Bancorp, Inc. X1 8.01,9.01 10/17/07
NOVA BIOSOURCE FUELS, INC. NV 7.01,9.01 10/18/07
NOVASTAR FINANCIAL INC MD 1.01,2.05,3.01,5.02,9.01 10/12/07
NOVASTAR MORTGAGE FUNDING CORP DE 1.01 10/12/07
NOVASTAR MORTGAGE FUNDING CORP DE 1.01 10/12/07
Novastar Mortgage Funding Trust, Seri DE 1.01 10/12/07
Novastar Mortgage Funding Trust, Seri DE 1.01 10/12/07
NPS PHARMACEUTICALS INC DE 8.01,9.01 10/18/07
NTELOS HOLDINGS CORP 5.02,9.01 10/17/07
NUCOR CORP DE 2.02,9.01 10/18/07
OAKLEY INC WA 2.02 10/18/07
OLD DOMINION FREIGHT LINE INC/VA VA 3.01,5.02 10/15/07
OMNICELL, Inc CA 2.02,9.01 10/18/07
Oncologix Tech Inc. NV 5.02 10/12/07
ONEOK Partners LP DE 5.02,9.01 10/18/07
ONEOK Partners LP DE 8.01,9.01 10/18/07
ORBITAL SCIENCES CORP /DE/ DE 2.02,9.01 10/18/07
Organic To Go Food CORP DE 1.01,3.02,9.01 10/12/07
ORIENTAL FINANCIAL GROUP INC PR 5.02,9.01 10/17/07
ORTHOVITA INC 1.01,9.01 10/12/07
OSIRIS THERAPEUTICS, INC. DE 7.01,9.01 10/17/07
OXFORD INDUSTRIES INC GA 7.01 10/18/07
PACIFIC CONTINENTAL CORP OR 2.02,9.01 10/17/07
PACKAGING CORP OF AMERICA 2.02,7.01,9.01 10/17/07
PACKETEER INC DE 2.02,9.01 10/18/07
Paradigm Oil & Gas, Inc. NV 4.01,9.01 10/15/07 AMEND
PARKER HANNIFIN CORP OH 2.02,7.01,9.01 10/18/07
PATRICK INDUSTRIES INC IN 9.01 05/18/07 AMEND
PENNSYLVANIA COMMERCE BANCORP INC 2.02,9.01 10/18/07
People's United Financial, Inc. DE 2.02,9.01 10/17/07
People's United Financial, Inc. DE 7.01 10/18/07
PEOPLES BANCORP OF NORTH CAROLINA INC NC 2.02,9.01 10/15/07
PFIZER INC DE 2.02,2.05,2.06,9.01 10/15/07
PINNACLE BANCSHARES INC AL 8.01,9.01 10/18/07
PINNACLE WEST CAPITAL CORP AZ 5.02 10/16/07
PIPEX PHARMACEUTICALS, INC. DE 8.01 10/15/07
PLANETLINK COMMUNICATIONS INC GA 5.02,8.01,9.01 10/10/07
PLATINUM ENERGY RESOURCES INC DE 8.01,9.01 10/17/07
PMC SIERRA INC DE 2.02,9.01 10/18/07
PMC SIERRA INC DE 1.01,5.02,8.01,9.01 10/17/07
PMI GROUP INC DE 7.01 10/18/07
PNC FINANCIAL SERVICES GROUP INC PA 2.02,9.01 10/18/07
PNC FINANCIAL SERVICES GROUP INC PA 2.02,9.01 10/18/07
POPE & TALBOT INC /DE/ DE 1.01,9.01 10/16/07
PPG INDUSTRIES INC PA 2.02,9.01 10/18/07
PREMIERE GLOBAL SERVICES, INC. GA 2.02,9.01 10/18/07
PREMIERWEST BANCORP OR 2.02,9.01 10/18/07
PROGENICS PHARMACEUTICALS INC DE 8.01 10/18/07
PROTECTIVE LIFE INSURANCE CO TN 9.01 10/12/07
PROVIDENT BANKSHARES CORP MD 2.02,5.03,9.01 10/17/07
PULASKI FINANCIAL CORP MO 8.01,9.01 10/15/07
QI SYSTEMS INC 5.02,9.01 10/04/07
QLT INC/BC A1 2.02,9.01 10/18/07
QRS MUSIC TECHNOLOGIES INC DE 8.01 10/18/07
QWEST COMMUNICATIONS INTERNATIONAL IN DE 5.02,9.01 10/17/07
RAM ENERGY RESOURCES INC DE 1.01,3.02,8.01,9.01 10/16/07
RED HAT INC DE 5.02,9.01 10/12/07
RELIANCE STEEL & ALUMINUM CO CA 2.02,9.01 10/18/07
REPROS THERAPEUTICS INC. DE 8.01,9.01 10/18/07
REPUBLIC SERVICES INC DE 7.01,8.01 10/18/07
RESEARCH FRONTIERS INC DE 1.01 10/16/07
RF MONOLITHICS INC /DE/ DE 2.02,9.01 10/18/07
Rhino Outdoor International, Inc. 1.01,2.01,9.01 10/15/07
RICKS CABARET INTERNATIONAL INC TX 1.01,9.01 10/17/07
RIVER VALLEY BANCORP IN 2.02,9.01 10/16/07
ROCK OF AGES CORP DE 7.01,9.01 10/18/07
RUBBER RESEARCH ELASTOMERICS INC MN 8.01 10/12/07
RUBIOS RESTAURANTS INC DE 7.01,9.01 10/18/07
RURBAN FINANCIAL CORP OH 2.02,7.01,9.01 10/17/07
SAN JUAN BASIN ROYALTY TRUST TX 8.01,9.01 10/18/07
SANDISK CORP DE 2.02,9.01 10/18/07
SANTANDER DRIVE AUTO RECEIVABLES LLC DE 1.02,8.01,9.01 10/15/07
SANTANDER DRIVE AUTO RECEIVABLES LLC DE 8.01,9.01 10/18/07
SCPIE HOLDINGS INC DE 5.02,9.01 10/16/07
SEACOAST BANKING CORP OF FLORIDA FL 2.02,9.01 10/16/07
SECURED INVESTMENT RESOURCES FUND LP DE 8.01 10/15/07
Security Capital Assurance Ltd D0 2.02,9.01 10/16/07
Security With Advanced Technology, In CO 5.03,9.01 10/15/07
SENESCO TECHNOLOGIES INC DE 7.01,9.01 10/12/07
Silver Dragon Resources Inc. DE 7.01,9.01 10/18/07
SIMEX TECHNOLOGIES INC DE 2.01 10/12/07
SIMMONS FIRST NATIONAL CORP AR 2.02 10/18/07
SIMPSON MANUFACTURING CO INC /CA/ DE 8.01,9.01 10/17/07
SOUTH DAKOTA SOYBEAN PROCESSORS LLC 1.01,2.03 10/10/07
SOUTH FINANCIAL GROUP INC SC 2.02,9.01 10/18/07
SOUTHERN COMMUNITY FINANCIAL CORP 2.02,9.01 10/18/07
SOUTHERN MISSOURI BANCORP INC MO 2.02,9.01 10/17/07
SOUTHWEST AIRLINES CO TX 2.02 09/30/07
SOUTHWEST BANCORP INC OK 2.02,7.01,9.01 10/18/07
SPACEHAB INC \WA\ WA 5.02 10/16/07
SPEAR & JACKSON INC NV 2.01,9.01 10/18/07
SPECTRASCIENCE INC MN 8.01,9.01 10/17/07
SPORT SUPPLY GROUP, INC. DE 7.01,9.01 10/17/07
ST JUDE MEDICAL INC MN 2.02,9.01 10/18/07
ST MARY LAND & EXPLORATION CO DE 7.01,9.01 10/17/07
Stargold Mines, Inc. 5.02 10/15/07
STEEL DYNAMICS INC IN 2.02,9.01 10/16/07
STONERIDGE INC OH 1.01,8.01,9.01 10/12/07
STRATUS PROPERTIES INC DE 1.01,9.01 10/12/07
SUNPOWER CORP CA 2.02,9.01 10/18/07
SUNTRUST BANKS INC GA 2.02,7.01,9.01 10/18/07
SURMODICS INC MN 9.01 07/31/07 AMEND
SUTRON CORP VA 2.02,9.01 10/15/07
SVI Media, Inc. NV 1.01,5.02,9.01 10/16/07
SYNALLOY CORP DE 2.02,9.01 10/18/07
TELEFLEX INC DE 1.01,9.01 10/14/07
TEMPUR PEDIC INTERNATIONAL INC DE 2.02,7.01,9.01 10/18/07
TENNECO INC DE 5.02,9.01 10/17/07
TERADYNE, INC MA 2.02,9.01 10/17/07
TETRA TECHNOLOGIES INC DE 2.02,9.01 10/16/07
TEXTRON INC DE 2.02,9.01 10/18/07
THOMAS GROUP INC DE 2.02,9.01 10/16/07
THOMAS GROUP INC DE 5.02,9.01 10/15/07
TIFFANY & CO DE 8.01 10/17/07 AMEND
Timberline Resources Corp 3.02,7.01,9.01 09/30/07
TONGA CAPITAL CORP CO 5.02,8.01,9.01 10/16/07
TOUCHSTONE SOFTWARE CORP /CA/ DE 8.01 10/18/07
Trans-Science Corp CA 5.01,5.02,9.01 08/17/07
Trans-Science Corp CA 3.02 10/03/07
TRINITY INDUSTRIES INC DE 7.01,9.01 10/18/07
ULTRATECH INC DE 2.01,9.01 10/18/07
UMPQUA HOLDINGS CORP OR 2.02,9.01 10/18/07
UNIFI INC NY 2.06 10/15/07
UNION PACIFIC CORP UT 2.02,9.01 10/18/07
UNION PACIFIC RAILROAD CO/DE DE 2.02,9.01 10/18/07
United Financial Bancorp Inc 8.01,9.01 10/15/07
UNITED PARCEL SERVICE INC DE 5.02,9.01 10/15/07
UNITEDHEALTH GROUP INC MN 2.02,9.01 10/18/07
UNITY BANCORP INC /NJ/ NJ 2.02,9.01 10/18/07
US XPRESS ENTERPRISES INC NV 5.01,5.02 10/12/07
USA Mobility, Inc DE 5.02,9.01 10/17/07
USA TRUCK INC DE 2.02,9.01 09/30/07
UTSTARCOM INC DE 2.02,9.01 10/17/07
V F CORP PA 1.01,1.02,2.03,9.01 10/15/07
VALLEY NATIONAL BANCORP NJ 2.02,9.01 10/17/07
VALMONT INDUSTRIES INC DE 2.02,9.01 10/17/07
VASCULAR SOLUTIONS INC DE 2.02,9.01 10/18/07
VENTANA MEDICAL SYSTEMS INC DE 2.02,9.01 10/18/07
VeruTEK Technologies, Inc. 5.02 10/12/07
VeruTEK Technologies, Inc. 3.02 10/17/07
Vestin Realty Mortgage I, Inc. 8.01,9.01 10/16/07
Vestin Realty Mortgage II, Inc 8.01,9.01 10/16/07
VIASPACE Inc. NV 4.01,9.01 10/17/07
VIEWPOINT CORP DE 1.01,3.02,9.01 10/18/07
VITESSE SEMICONDUCTOR CORP DE 5.02,9.01 10/15/07
Volcano CORP DE 1.01,8.01,9.01 10/17/07
W-H ENERGY SERVICES INC TX 5.03,9.01 10/16/07
WATSCO INC FL 2.02,9.01 10/18/07
Watson Wyatt Worldwide, Inc. DE 7.01,8.01,9.01 10/18/07
WESCO INTERNATIONAL INC DE 2.02,9.01 10/18/07
WEST BANCORPORATION INC IA 2.02,9.01 10/18/07
WEST PHARMACEUTICAL SERVICES INC PA 5.02,9.01 10/16/07
WESTERN PLAINS ENERGY LLC KS 8.01 10/16/07
WFN CREDIT CO LLC DE 8.01,9.01 10/15/07
Whos Your Daddy Inc NV 7.01,9.01 10/17/07
WINMARK CORP MN 2.02,7.01,9.01 10/18/07
WIRELESS RONIN TECHNOLOGIES INC MN 1.01,9.01 10/12/07
WSI INDUSTRIES, INC. MN 8.01,9.01 10/17/07
WVS FINANCIAL CORP PA 2.02,9.01 10/17/07
WYETH DE 2.02,9.01 10/18/07
XCEL ENERGY INC MN 8.01 10/15/07
XENOMICS INC FL 1.01,3.02,9.01 10/12/07
XILINX INC DE 2.02,9.01 10/18/07
Zep Inc. DE 8.01 10/17/07
ZHONE TECHNOLOGIES INC DE 2.02,9.01 10/18/07
ZILA INC DE 2.02,9.01 10/15/07
ZIONS BANCORPORATION /UT/ UT 2.02,9.01 10/18/07
http://www.sec.gov/news/digest/2007/dig101907.htm
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