 |
|
SEC NEWS DIGEST
Issue 2007-205 October 24, 2007
COMMISSION ANNOUNCEMENTS
SEC WINS FIRST-EVER FEDERAL AGENCY PRO BONO LEADERSHIP AWARD
On October 25, the Securities and Exchange Commission will receive the
inaugural Federal Agency Pro Bono Leadership Award for its outstanding
commitment to the local community and helping others in need. The
award from the Interagency Pro Bono Working Group is the federal
government's highest honor for efforts to promote pro bono service by
employees.
"The SEC has a longstanding tradition of encouraging our staff to help
in the community and serve others in need," said SEC Chairman
Christopher Cox. "Our pro bono coordinator, Anita Purcell, deserves
tremendous credit for her dedication and leadership in these
remarkable pro bono initiatives. The hard work of SEC employees is the
hallmark of the agency's success, and that's just as true in
volunteerism as it is with enforcement, rule writing, and other
aspects of the SEC's mission. This award recognizes that many people
are benefiting from the generous volunteer spirit at the SEC."
Laura Klein, chair of the Interagency Pro Bono Working Group, said,
"The SEC has demonstrated the kind of leadership and commitment to
government pro bono efforts that we hope will serve as an example to
other agencies. The SEC's senior management support and dedicated pro
bono coordinator provide an environment that encourages its legal
staff to explore pro bono opportunities. We hope other agencies will
follow the SEC's lead."
Earlier this year, the SEC was selected as one of the top places to
work in the federal government. The agency ranked third in the Best
Places to Work rankings produced by the Partnership for Public Service
and American University's Institute for the Study of Public Policy
Implementation (ISPPI), using data from a federal government survey
administered by the Office of Personnel Management.
In this latest accolade, the SEC is being recognized for developing an
outstanding pro bono program and recently organizing several pro bono
events and initiatives, including a Pro Bono Fair, the Government Pro
Bono Week 2006 Volunteer Appreciation Luncheon, and an Accountant's
Pro Bono Opportunity Program.
SEC employees have participated in a variety of pro bono activities to
help low-income people experiencing difficult plights in the local
community. For example, one SEC attorney represented a woman whose ex-
husband was refusing to pay child support and then attempted to
separate their two daughters by suing for custody of one of them. The
SEC attorney negotiated an agreement that enabled the woman to
maintain primary custody of both girls, and reached a child support
agreement incorporating automatic garnishment of the father's wages.
Other SEC attorneys have assisted tenants who were being evicted from
their homes without just cause before their leases had terminated. SEC
attorneys also have participated in the D.C. Bar Pro Bono Advice and
Referral Clinic, where they help provide legal advice and draft legal
correspondence for those in need.
The SEC will receive the award during the Federal Government Pro Bono
Recognition Reception, which will take place Oct. 25 at 5:30 p.m. at
the E. Barrett Prettyman Federal Courthouse in Washington, D.C. U.S.
District Court Chief Judge Thomas Hogan and D.C. Circuit Chief Judge
Doug Ginsburg will present the award.
The Interagency Pro Bono Working Group was established by a 1996
Executive Order for federal agencies to develop pro bono policies and
programs that encourage their attorneys to engage in pro bono service.
The Working Group assists federal agencies and organizes events
throughout the year to encourage more government attorneys to
participate in pro bono work. (Press Rel. 2007-220)
ENFORCEMENT PROCEEDINGS
IN THE MATTER OF PAUL NIGHT, JOHN MONTANA AND WORLDWIDE T&P, INC.
On October 23, an Administrative Law Judge issued an Order Making
Findings and Imposing Remedial Sanctions by Default as to two
Respondents in Paul E. Knight, John L. Montana, and Worldwide T&P,
Inc., Administrative Proceeding No. 3-12654. The Order Instituting
Proceedings alleged that, on May 23, 2007, the U.S. District Court for
the Southern District of Indiana permanently enjoined John L. Montana
and Worldwide T&P, Inc., 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
Exchange Act Rule 10b-5.
The Default Order concludes that, pursuant to Sections 15(b)(4) and
15(b)(6) of the Exchange Act, it is in the public interest to bar
Worldwide from acting as a broker or dealer and to bar Montana from
associating with any broker or dealer.
On October 18, the Commission accepted an Offer of Settlement from
Paul E. Knight, the third Respondent in the proceeding. (Rel. 34-
56687; File No. 3-12654)
COMMISSION REVOKES REGISTRATIONS OF SECURITIES OF FIVE ISSUERS FOR
FAILURE TO MAKE REQUIRED PERIODIC FILINGS
On October 24, the Commission instituted a settled proceeding pursuant
to Section 12(j) of the Securities Exchange Act of 1934 revoking the
registration of each class of registered securities of each of the
following issuers for failure to make required periodic filings with
the Commission (ticker symbols provided where available).
* Alpha Generation, Inc.
* Grand Central Silver Mines, Inc. (GSLM)
* Hydromaid International, Inc. (HYII)
* iPhone2, Inc.
* Liquitek Enterprises, Inc.
Without admitting or denying the findings of the order pertaining to
that issuer, except as to jurisdiction, which each admitted, each of
the foregoing issuers separately consented to the entry of an order
pertaining to that issuer finding that it had failed to comply with
Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13
thereunder and revoking the registration of each class of the issuer's
securities pursuant to Section 12(j) of the Exchange Act
Brokers and dealers should be alert to the fact that Exchange Act
Section 12(j) provides, in pertinent part, as follows:
No member of a national securities exchange, broker, or dealer shall
make use of the mails or any means or instrumentality of interstate
commerce to effect any transaction in, or to induce the purchase or
sale of, any security the registration of which has been and is
suspended or revoked . . . .
For further information contact:
* Gregory G. Faragasso, Assistant Director, (202) 551-4734
* Neil J. Welch, Jr., Branch Chief, (202) 551-4731
Additional Materials Available at www.sec.gov
--Order Instituting Proceedings, Making Findings and Revoking
Registration of Securities Pursuant to Section 12(j) of the
Securities Exchange Act of 1934, In the Matter of Alpha
Generation, Inc., Administrative Proceeding File No. 3-12879,
Exchange Act Release No. 34-56693 (October 24)
--Order Instituting Proceedings, Making Findings and Revoking
Registration of Securities Pursuant to Section 12(j) of the
Securities Exchange Act of 1934, In the Matter of Grand Central
Silver Mines, Inc., Administrative Proceeding File No. 3-12878,
Exchange Act Release No. 34-56692 (October 24)
--Order Instituting Proceedings, Making Findings and Revoking
Registration of Securities Pursuant to Section 12(j) of the
Securities Exchange Act of 1934, In the Matter of Hydromaid
International, Inc., Administrative Proceeding File No. 3-12877,
Exchange Act Release No. 34-56691 (October 24)
--Order Instituting Proceedings, Making Findings and Revoking
Registration of Securities Pursuant to Section 12(j) of the
Securities Exchange Act of 1934, In the Matter of iPhone2, Inc.,
Administrative Proceeding File No. 3-12876, Exchange Act Release
No. 34-56690 (October 24)
--Order Instituting Proceedings, Making Findings and Revoking
Registration of Securities Pursuant to Section 12(j) of the
Securities Exchange Act of 1934, In the Matter of Liquitek
Enterprises, Inc., Administrative Proceeding File No. 3-12875,
Exchange Act Release No. 34-56689 (October 24)
SEC OBTAINS ASSET FREEZE AGAINST CALYPSO FINANCIAL, LLC, EMILEE
PETERSEN GOLDING AND SEVERAL RELATED DEFENDANTS AND RELIEF DEFENDANTS
The Commission has filed a civil action seeking a permanent injunction
against Calypso Financial, LLC, Emilee Petersen Golding (Petersen) and
six other entities in connection with Calypso and Petersen's
fraudulent offers and sales of approximately $20 million in notes. The
Court also froze the assets of Calypso, Petersen, the six other
defendants and the assets of the three relief defendants, all of which
are related to Petersen, for a period of 14 days.
The complaint alleges the defendants have obtained investments of at
least $20 million from the fraudulent offering of notes issued by
Calypso and the other six entities, all of which are controlled by
Petersen. The defendants allegedly promised returns to investors of 4%
to 15% a month ostensibly through investments in real estate. However,
it is alleged that the defendants actually operated a Ponzi scheme in
which returns paid to earlier investors were paid from funds invested
by new investors. It is also alleged that Petersen made a variety of
misrepresentations to investors in the offer of notes issued by her
companies including: (1) funds invested in the notes would be used to
develop real estate or invest in other business ventures; and (2) the
high rates of return were the result of her successful operations. The
Commission's complaint further alleges that Petersen provided
fictitious financial statements to investors to solicit their funds.
Finally, it is alleged that the defendants' operations generated only
minimal income, investor funds were used primarily to pay the high
interest due to other noteholders, and that Petersen used some of the
invested funds to make personal investments for herself and to lease
three cars and to pay for cosmetic surgery
It is alleged that through this conduct the defendants violated
Section 17(a) of the Securities Act of 1933 and Section 10(b) of the
Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5
thereunder. [SEC v. Calypso Financial, LLC, Calypso Financial One,
LLC, Calypso Financial Two, LLC, Calypso Financial Three, LLC, Calypso
Financial Four, LLC, Calypso Financial Five, LLC, Calypso Financial
Six, LLC, and Emilee Petersen Golding and relief defendants Siren
Network, LLC, Capri Development, LLC and WTG Development Gateway, LLC,
Case No. 2:07 CV 807B, USDC D.Ut.] (LR-20344)
INVESTMENT COMPANY ACT RELEASES
MMA PRAXIS MUTUAL FUNDS, ET AL.
An order has been issued giving interested on an application filed by
MMA Praxis Mutual Funds, et al., under Section 17(b) of the Investment
Company Act. The order permits certain entities excluded from the
definition of investment company under Section 3(c)(10) or 3(c)(11) of
the Act to transfer certain classes of assets held in separate
accounts to a series of a registered open-end management investment
company in exchange for shares of that series. (Rel. IC-28016 -
October 22)
CITI INVESTOR SERVICES, INC. F/N/A THE BISYS GROUP, INC., ET AL.
The Commission has issued an order to Citi Investor Services, Inc.
f/n/a The BISYS Group, Inc. (BISYS), et al. under Section 9(c) of the
Investment Company Act exempting applicants and any other company of
which BISYS is or becomes an affiliated person from Section 9(a) of
the Act with respect to an injunction entered by the U.S. District
Court for the Southern District of New York on July 27, 2007. (Rel.
IC-28017- October 22)
RYDEX ETF TRUST, ET AL.
An order has been issued on an application filed by Rydex ETF Trust,
et al. The order amends a prior order that permits: (a) certain open-
end management investment companies (Initial Funds) to issue shares
redeemable in large aggregations only; (b) secondary market
transactions in shares to occur at negotiated market prices; (c)
dealers to sell shares to secondary market purchasers unaccompanied by
a prospectus when prospectus delivery is not required by the
Securities Act of 1933; and (d) 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 applicants to
offer new series using international equity securities indices and
fixed income securities indices. In addition, the amended order
deletes a condition related to future relief. (Rel. IC-28018 - October
23)
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE
A proposed rule change and Amendment No. 1 filed by the NASDAQ Stock
Market (SR-NASDAQ-2007-081) to establish a new service called Nasdaq
Regulation Reconnaissance Service ("Reg Recon") to assist Nasdaq
members in their efforts to comply with applicable regulatory
requirements 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. 34-56683)
ACCELERATED APPROVAL OF PROPOSED RULE CHANGE
The Commission published notice and granted accelerated approval of a
proposed rule change (File No. SR-OCC-2007-12) filed by the Options
Clearing Corporation under Section 19(b)(1) of the Securities Exchange
Act of 1934. The proposed rule change allows OCC to clear and settle
options on exchange traded fund shares generally known as Leveraged
ETF Shares. Publication is expected in the Federal Register during the
week of October 22. (Rel. 34-56684)
NOTICE OF PROPOSED RULE CHANGES
The New York Stock Exchange filed a proposed rule change (SR-NYSE-
2007-53) and Amendments No. 1 and 2 thereto under Section 19(b)(1) of
the Securities Exchange Act of 1934 to amend NYSE Rule 342.13.
Publication is expected in the Federal Register during the week of
October 22. (Rel. 34-56686)
The Commission published notice of a proposed rule change (SR-NYSE-
2007-77), as modified by Amendment Nos. 1, 2, and 3 thereto, filed by
the New York Stock Exchange to amend listing fees for Structured
Products. Publication is expected in the Federal Register during the
week of October 22. (Rel. No. 34-56688)
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 CONSTELLATION BRANDS, INC., 370 WOODCLIFF DRIVE, SUITE 300, FAIRPORT,
NY, 14450, 585-218-3600 - 14,000,000 ($348,250,000.00) Equity,
(File 333-146849 - Oct. 23) (BR. 09A)
SB-2 IRONCLAD PERFORMANCE WEAR CORP, 1111 EAST EL SEGUNDO BLVD., EL SEGUNDO,
CA, 91045, 310-577-5820 - 5,250,000 ($2,100,000.00) Equity,
(File 333-146852 - Oct. 23) (BR. 02A)
S-1 Ausam Energy Corp, 1430 1122 4TH ST S W, CALGARY ALBERTA, A0, T2R 1M1,
403-215-2380 - 53,096,202 ($135,926,277.12) Equity, (File 333-146853 -
Oct. 23) (BR. 04)
S-3 SILVERLEAF RESORTS INC, 1221 RIVERBEND DR, SUITE 120, DALLAS, TX,
75247, 2146311166 - 0 ($54,039,630.00) Equity,
0 ($100,000,000.00) Other, (File 333-146854 - Oct. 23) (BR. 08C)
S-1 AMTECH SYSTEMS INC, 131 S CLARK DR, TEMPE, AZ, 85281, 6029675146 -
2,300,000 ($34,500,000.00) Equity, (File 333-146856 - Oct. 23) (BR. 10A)
SB-2 EP GLOBAL COMMUNICATIONS INC, 416 MAIN STREET, JOHNSTOWN, PA, 15901,
814-361-3860 - 86,016,826 ($60,211.78) Equity, (File 333-146858 -
Oct. 23) (BR. 05A)
SB-2 FERO INDUSTRIES, INC., 17 REEVES CRESCENT, RED DEER, A0, T4P 2Z4,
403-803-7800 - 3,500,000 ($105,000.00) Equity, (File 333-146859 -
Oct. 23) (BR. 03)
S-4 INVERNESS MEDICAL INNOVATIONS INC, 51 SAWYER ROAD, SUITE 200, WALTHAM,
MA, 02453, 7816473900 - 0 ($38,000,000.00) Equity, (File 333-146860 -
Oct. 23) (BR. 01A)
S-3 NextWave Wireless Inc., 12670 HIGH BLUFF DRIVE, SAN DIEGO, CA, 92130,
858 480-3100 - 4,304,420 ($25,180,857.00) Equity, (File 333-146861 -
Oct. 23) (BR. 11A)
S-8 Camelot Entertainment Group, Inc., 2020 MAIN STREET, #990, IRVINE, CA,
92614, 949-777-1090 - 20,000,000 ($60,000.00) Other, (File 333-146862 -
Oct. 23) (BR. 05A)
S-3 TRUSTCO BANK CORP N Y, 5 SARNOWSKI DRIVE, GLENVILLE, NY, 12302,
5183773311 - 2,000,000 ($20,360,000.00) Equity, (File 333-146863 -
Oct. 23) (BR. 07B)
S-8 EMC CORP, 176 SOUTH STREET, HOPKINTON, MA, 01748-9103, 5084351000 -
414,704 ($9,393,045.60) Equity, (File 333-146865 - Oct. 23) (BR. 03C)
SB-2 Edgemont Mining Inc., 5744 HIGHWAY NO. 6, COLDSTREAM, BRITISH COLUMBIA,
A1, V1B 3E1, 250-558-5085 - 1,200,000 ($24,000.00) Equity,
(File 333-146866 - Oct. 23) (BR. 04)
S-11 PALADIN REALTY INCOME PROPERTIES INC, 10880 WILSHIRE BLVD, SUITE 1400,
LOS ANGELES, CA, 90024, 310-996-8704 -
52,526,316 ($520,000,000.00) Equity, (File 333-146867 - Oct. 23)
(BR. 08B)
S-8 BP PLC, 1 ST JAMES'S SQUARE, LONDON, SW1Y 4PD, X0, 00000,
442074964000 - 1,200,000 ($15,140,280.00) Equity, (File 333-146868 -
Oct. 23) (BR. 04B)
S-3 BANK HOLDINGS, 9990 DOUBLE R BLVD, RENO, NV, 89521, 7758538600 -
0 ($9,813,659.00) Equity, (File 333-146869 - Oct. 23) (BR. 07A)
S-8 BP PLC, 1 ST JAMES'S SQUARE, LONDON, SW1Y 4PD, X0, 00000,
442074964000 - 150,000,000 ($150,000,000.00) Other, (File 333-146870 -
Oct. 23) (BR. 04B)
S-8 BP PLC, 1 ST JAMES'S SQUARE, LONDON, SW1Y 4PD, X0, 00000,
442074964000 - 222,000,000 ($2,800,951,800.00) Equity,
(File 333-146873 - Oct. 23) (BR. 04B)
S-8 DIGITAL ALLY INC, 4831 WEST 136TH ST #300, LEAWOOD, KS, 66224,
913-814-7774 - 0 ($8,770,200.00) Equity, (File 333-146874 - Oct. 23)
(BR. 11B)
S-8 ETERNAL TECHNOLOGIES GROUP INC, 200 SOUTH KNOWLES AVE, WINTER PARK, FL,
32790, 4076222040 - 2,500,000 ($1,875,000.00) Equity,
(File 333-146875 - Oct. 23) (BR. 05B)
F-6 China Nepstar Chain Drugstore Ltd.,
6TH FLOOR, TOWER B, XINNENGYUAN BUILDING,
NANHAI ROAD, NANSHAN DISTRICT, SHENZHEN, F4, 518054, 86-755-26433366 -
0 ($5,000,000.00) ADRs/ADSs, (File 333-146876 - Oct. 23) (BR. 01)
S-8 RICHARDSON ELECTRONICS LTD/DE, 40W267 KESLINGER RD, LAFOX, IL, 60147,
7082082200 - 200,000 ($1,466,000.00) Equity, (File 333-146878 -
Oct. 23) (BR. 10C)
S-8 RICHARDSON ELECTRONICS LTD/DE, 40W267 KESLINGER RD, LAFOX, IL, 60147,
7082082200 - 900,000 ($6,597,000.00) Equity, (File 333-146879 -
Oct. 23) (BR. 10C)
S-1 Del Frisco's Restaurant Group, LLC, 224 EAST DOUGLAS, SUITE 700,
WICHITA, KS, 67202, 316-264-8899 - 0 ($100,000,000.00) Equity,
(File 333-146880 - Oct. 23) (BR. )
S-4 SUMMIT FINANCIAL GROUP INC, 300 NORTH MAIN ST, MOOREFIELD, WV, 26836,
3045381000 - 712,809 ($10,040,410.00) Equity, (File 333-146882 -
Oct. 23) (BR. 07C)
SB-2 Global Industries Corp., 1917 WEST 4TH AVE, SUITE 386, VANCOUVER, A1,
V601M7, 6047195380 - 5,750,000 ($575,000.00) Equity, (File 333-146883 -
Oct. 23) (BR. )
S-8 SALON MEDIA GROUP INC, 101 SPEAR STREET, SUITE 203, SAN FRANCISCO, CA,
94105, 4158828720 - 800,000 ($1,251,055.00) Equity, (File 333-146885 -
Oct. 23) (BR. 11B)
S-8 SALON MEDIA GROUP INC, 101 SPEAR STREET, SUITE 203, SAN FRANCISCO, CA,
94105, 4158828720 - 875,000 ($1,356,250.00) Equity, (File 333-146886 -
Oct. 23) (BR. 11B)
S-8 HOLOGIC INC, 35 CROSBY DRIVE, BEDFORD, MA, 01730, 7819997300 -
13,238,310 ($884,583,874.20) Equity, (File 333-146887 - Oct. 23)
(BR. 10B)
S-1 XDx, Inc., 3260 BAYSHORE BOULEVARD, BRISBANE, CA, 94005, 415-287-2300 -
0 ($86,250,000.00) Equity, (File 333-146888 - Oct. 23) (BR. )
S-8 SPICY PICKLE FRANCHISING INC, 90 MADISON ST #700, DENVER, CO, 80206,
303-297-1902 - 7,500,000 ($13,087,500.00) Equity, (File 333-146889 -
Oct. 23) (BR. 05B)
S-8 ENERGY EXPLORATION TECHNOLOGIES /, 505 3RD STREET, S.W., SUITE 1400,,
CALGARY, T2P 3E6, A0, 90035, 403-264-7020 -
2,830,223 ($10,170,734.00) Equity, (File 333-146890 - Oct. 23) (BR. 04A)
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
-------------------------------------------------------------------------------------------------------
1 800 FLOWERS COM INC DE 2.02,9.01 10/23/07
ACTEL CORP CA 2.02,9.01 10/23/07
ACTUANT CORP WI 5.02,5.03,8.01,9.01 10/17/07
ADC TELECOMMUNICATIONS INC MN 1.01,7.01,9.01 10/21/07
Advanced BioEnergy, LLC DE 1.01,2.03,3.02,9.01 10/17/07
Advaxis, Inc. DE 1.01,3.02,9.01 10/17/07
AFLAC INC GA 2.02,9.01 10/23/07
AFS SenSub Corp. 1.01,9.01 10/18/07
AFTERMARKET TECHNOLOGY CORP DE 2.02,7.01,9.01 10/23/07
AGILENT TECHNOLOGIES INC DE 8.01,9.01 09/10/07
AGL RESOURCES INC GA 8.01 10/19/07
AK STEEL HOLDING CORP DE 2.02,9.01 10/23/07
ALABAMA NATIONAL BANCORPORATION DE 2.02,9.01 10/23/07
ALBEMARLE CORP VA 2.02,9.01 10/22/07
Allegiant Travel CO NV 1.01,5.02,5.03,9.01 10/17/07
ALLIANCE DATA SYSTEMS CORP DE 1.01,2.03,8.01,9.01 10/22/07
Alphatec Holdings, Inc. DE 2.02,9.01 10/23/07
ALTERA CORP DE 7.01,9.01 10/23/07
AMAZON COM INC DE 2.02,9.01 10/23/07
AMERICA FIRST TAX EXEMPT INVESTORS LP DE 1.01,8.01,9.01 10/18/07
AMERICAN ECOLOGY CORP DE 2.02,9.01 10/23/07
AMERICAN SKIING CO /ME DE 8.01,9.01 10/19/07
AMSURG CORP TN 2.02,7.01,9.01 10/23/07
ANADIGICS INC DE 2.02,9.01 10/23/07
ANNAPOLIS BANCORP INC MD 5.03,9.01 10/22/07
API Nanotronics Corp. 3.02 10/22/07
APPLIED INDUSTRIAL TECHNOLOGIES INC OH 2.02,5.02,9.01 10/23/07
ARES CAPITAL CORP MD 1.01,9.01 10/18/07
Argo Group International Holdings, Lt 8.01,9.01 08/07/07 AMEND
Argyle Security Acquisition CORP 2.02,9.01 10/18/07
Arlington Tankers Ltd. D0 2.02,9.01 10/23/07
ARMSTRONG WORLD INDUSTRIES INC PA 1.01,9.01 10/22/07
ARROW ELECTRONICS INC NY 2.02,9.01 10/23/07
ART TECHNOLOGY GROUP INC DE 2.02,9.01 10/23/07
ARTHROCARE CORP DE 2.02,9.01 10/22/07
ASAP SHOW, INC. NV 1.01 10/22/07
ASBURY AUTOMOTIVE GROUP INC DE 5.02,9.01 10/23/07
Aspreva Pharmaceuticals CORP A1 1.01,5.02,9.01 10/17/07
AT&T INC. DE 2.02,9.01 10/23/07
ATHEROGENICS INC GA 5.02 10/17/07
Authorize.Net Holdings, Inc. DE 2.02,9.01 10/22/07
Avalon Oil & Gas, Inc. CO 5.02 10/22/07
AVANT IMMUNOTHERAPEUTICS INC DE 1.01,3.03,5.02,9.01 10/22/07
AVASOFT, INC. NV 1.01,2.01,3.02,5.02,9.01 10/23/07
AVERY DENNISON CORPORATION DE 2.02,9.01 10/23/07
AVISTA CORP WA 8.01 10/15/07
Bank of New York Mellon CORP 2.02,9.01 10/18/07
BANKUNITED FINANCIAL CORP FL 2.02,9.01 10/23/07
BARD C R INC /NJ/ NJ 2.02,9.01 10/23/07
BASIC EARTH SCIENCE SYSTEMS INC DE 8.01,9.01 10/19/07
Bear Stearns Asset Backed Securities DE 1.01,9.01 10/19/07
Bear Stearns Asset Backed Securities DE 1.01,9.01 10/19/07
BEAR STEARNS COMPANIES INC DE 8.01,9.01 10/22/07
BENIHANA INC DE 2.02,9.01 10/23/07
BERKLEY W R CORP DE 2.02,9.01 10/22/07
BEST CARE INC NV 1.01,2.01,3.02,5.01,5.06,9.01 10/19/07
BIOENVISION INC DE 8.01 10/22/07
BIOGEN IDEC INC. DE 2.02,9.01 10/23/07
BJs RESTAURANTS INC CA 1.01,2.03 10/17/07
BJs RESTAURANTS INC CA 8.01,9.01 10/23/07
BLOUNT INTERNATIONAL INC DE 5.02,9.01 10/17/07
BofI Holding, Inc. DE 1.01,5.02,7.01,9.01 10/23/07
BOMBAY CO INC DE 5.02 10/18/07
BREK ENERGY CORP NV 1.01,9.01 10/22/07
BROADCOM CORP CA 2.02,9.01 10/23/07
BRUNSWICK CORP DE 5.02 10/23/07
BTU INTERNATIONAL INC DE 2.02,9.01 10/23/07
BUCKEYE TECHNOLOGIES INC DE 2.02,7.01,9.01 10/22/07
BURLINGTON NORTHERN SANTA FE CORP DE 2.02 09/30/07
C H ROBINSON WORLDWIDE INC DE 2.02,9.01 10/23/07
CabelTel International Corp NV 3.01,9.01 10/16/07
Calamos Asset Management, Inc. /DE/ 2.02,8.01,9.01 10/23/07
CANARGO ENERGY CORP DE 7.01,9.01 10/23/07
CANDELA CORP /DE/ DE 2.02,9.01 10/23/07
CAPITAL BANK CORP NC 2.02,9.01 10/23/07
CAPITAL CITY BANK GROUP INC FL 2.02,9.01 10/23/07
CAPRIUS INC DE 8.01,9.01 10/22/07
CARDIMA INC DE 4.01,9.01 10/19/07
CARMAX INC VA 5.02,5.03,9.01 10/23/07
CARTERS INC DE 2.02,9.01 10/23/07
CASCADE MICROTECH INC 2.02,9.01 10/23/07
CAVALIER HOMES INC DE 2.02 10/23/07
CBRL GROUP INC TN 7.01,9.01 10/23/07
CEC ENTERTAINMENT INC KS 2.02,2.03,8.01,9.01 10/19/07
Celanese CORP DE 2.02,7.01,9.01 10/22/07
CELL GENESYS INC DE 5.03,9.01 10/17/07
CENTENE CORP 2.02,9.01 10/23/07
CENTERPOINT ENERGY RESOURCES CORP DE 1.01,9.01 10/18/07
CENTEX CORP NV 2.02,7.01,8.01,9.01 10/23/07
Central Iowa Energy, LLC IA 1.01,2.03 10/23/07
CENTRAL VALLEY COMMUNITY BANCORP CA 5.02 10/17/07
CENTRUE FINANCIAL CORP DE 2.02,9.01 10/22/07
CERAGENIX PHARMACEUTICALS, INC. DE 7.01,9.01 10/22/07
CHAMPIONS BIOTECHNOLOGY, INC. DE 5.02 10/22/07
CHARLES & COLVARD LTD NC 2.02 10/23/07
CHECKFREE CORP \GA\ DE 8.01 10/23/07
CHICOS FAS INC FL 5.02,9.01 10/19/07
CHINA EDUCATION ALLIANCE INC. NC 5.02 10/15/07
CHUBB CORP NJ 2.02,9.01 10/23/07
CIB MARINE BANCSHARES INC WI 5.02 10/23/07
CIT GROUP INC DE 8.01,9.01 10/22/07
CIT GROUP INC DE 8.01,9.01 10/23/07
CITIGROUP INC DE 9.01 10/17/07
Citizens Community Bancorp Inc. MD 5.03,8.01,9.01 10/18/07
CITIZENS FINANCIAL CORP /KY/ KY 3.01,9.01 10/23/07
CITIZENS SOUTH BANKING CORP DE 2.02,9.01 10/22/07
CLARKSTON FINANCIAL CORP 2.02,9.01 10/19/07
Clean Energy Fuels Corp. DE 1.01,9.01 10/17/07
CNB CORP /MI/ MI 8.01 10/22/07
CNS RESPONSE, INC. DE 5.02 10/17/07
COGNIGEN NETWORKS INC CO 1.01,1.02,2.03,2.04,3.02,5.01, 08/21/07
9.01
COLUMBUS MCKINNON CORP NY 2.02,9.01 10/23/07
COMMUNITY BANK SYSTEM INC DE 2.02,9.01 10/22/07
COMMUNITY WEST BANCSHARES / CA 2.02,9.01 10/23/07
COMPASS MINERALS INTERNATIONAL INC DE 1.01,2.03,9.01 10/19/07
COMPUTER TASK GROUP INC NY 2.02,9.01 10/23/07
Con-way Inc. DE 2.02,9.01 10/23/07
Conmed Healthcare Management, Inc. DE 1.01,9.01 10/22/07
COOPER INDUSTRIES LTD 2.02,9.01 10/23/07
CORTLAND BANCORP INC OH 2.02 10/23/07
COSI INC DE 5.02 10/17/07
CSG SYSTEMS INTERNATIONAL INC DE 2.02,9.01 10/23/07
CWABS Asset-Backed Certificates Trust DE 7.01,9.01 10/23/07
CYBERSOURCE CORP DE 8.01,9.01 10/23/07
CYMER INC NV 5.02 10/16/07
CYMER INC NV 2.02,9.01 10/23/07
CYTOKINETICS INC 8.01,9.01 10/23/07
Data Domain, Inc. DE 2.02,9.01 10/23/07
DATAWATCH CORP DE 5.02,9.01 10/19/07
DealerTrack Holdings, Inc. DE 1.01,9.01 10/18/07
DEBT RESOLVE INC DE 8.01,9.01 10/17/07
Delek US Holdings, Inc. 8.01,9.01 10/17/07
DELPHI FINANCIAL GROUP INC/DE DE 2.02,9.01 10/23/07
DIXIE GROUP INC TN 1.01,9.01 10/23/07
DRI CORP NC 2.02,7.01,9.01 10/23/07
DRIL-QUIP INC DE 3.03,5.03,9.01 10/17/07
DRYCLEAN USA INC DE 1.01,9.01 10/22/07
DRYCLEAN USA INC DE 9.01 10/22/07 AMEND
DST SYSTEMS INC DE 2.02,9.01 10/22/07
DUNE ENERGY INC DE 1.02 10/17/07
DUPONT E I DE NEMOURS & CO DE 2.02 10/23/07
DURECT CORP DE 8.01 10/19/07
EAST PENN FINANCIAL CORP 2.02,9.01 10/22/07
EASTERN VIRGINIA BANKSHARES INC VA 2.02,9.01 10/19/07
EBIX INC DE 5.02 10/22/07
ECHELON CORP DE 2.02,9.01 10/23/07
Ecology Coatings, Inc. NV 1.01,9.01 10/22/07
EDAC TECHNOLOGIES CORP WI 2.02,9.01 10/22/07
EESTech, Inc. 1.01,3.02,9.01 10/09/07
ELECTRONICS FOR IMAGING INC DE 7.01,9.01 10/22/07
ELECTRONICS FOR IMAGING INC DE 2.02,9.01 10/23/07
Elixir Gaming Technologies, Inc. NV 1.01,3.02,9.01 10/19/07
Emergent BioSolutions Inc. DE 2.02,9.01 10/02/07 AMEND
EMPIRE ENERGY CORP UT 1.01,2.03,8.01,9.01 09/27/07
ENDWAVE CORP DE 2.02,9.01 10/23/07
Energy Future Holdings Corp /TX/ TX 2.02,9.01 10/23/07
EnerJex Resources, Inc. NV 7.01,8.01,9.01 10/23/07
ENOVA SYSTEMS INC CA 1.01,9.01 10/17/07
ENTRUST INC MD 2.02,9.01 10/23/07
EPICOR SOFTWARE CORP DE 2.02,9.01 10/23/07
EPIQ SYSTEMS INC MO 2.02,9.01 10/23/07
EPIX Pharmaceuticals, Inc. 8.01 10/23/07
EQUITABLE RESOURCES INC /PA/ PA 5.03,9.01 10/17/07
ERF Wireless, Inc. NV 1.01,2.01,9.01 10/17/07
EVERGREENBANCORP INC WA 2.02,8.01,9.01 10/18/07
Exterra Energy Inc. NV 2.01,5.01,8.01,9.01 10/22/07
FACEPRINT GLOBAL SOLUTIONS INC WY 5.02,9.01 10/22/07
FAIRPOINT COMMUNICATIONS INC DE 8.01,9.01 10/23/07
Federal Home Loan Bank of Atlanta X1 2.03 10/17/07
Federal Home Loan Bank of Boston X1 2.03 10/17/07
Federal Home Loan Bank of Chicago X1 2.03 10/18/07
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 10/17/07
Federal Home Loan Bank of Des Moines X1 2.03,9.01 10/17/07
Federal Home Loan Bank of Indianapoli X1 1.01 10/19/07
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 10/17/07
Federal Home Loan Bank of New York X1 2.03,9.01 10/17/07
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 10/17/07
Federal Home Loan Bank of San Francis X1 2.03 10/17/07
Federal Home Loan Bank of Seattle 2.03 10/22/07
Federal Home Loan Bank of Topeka 2.03 10/17/07
FEDERAL NATIONAL MORTGAGE ASSOCIATION 5.03,7.01,9.01 10/16/07 AMEND
FFMLT 2007 FFB-SS 1.01,9.01 10/19/07
FFMLT TRUST 2005-FFA DE 1.01,9.01 10/19/07
FIRST BANCORP OF INDIANA INC IN 2.02,5.03,9.01 10/17/07
FIRST FINANCIAL HOLDINGS INC /DE/ DE 2.02,9.01 10/23/07
FIRST SECURITY GROUP INC/TN TN 2.02 10/23/07
FIRSTBANK CORP MI 8.01,9.01 10/23/07
FIRSTMERIT CORP /OH/ OH 2.02,9.01 10/23/07
FLEXTRONICS INTERNATIONAL LTD. U0 2.02,9.01 10/23/07
Fluid Media Networks, Inc. 2.01,2.03,9.01 10/17/07
FNB CORP \VA\ VA 2.02,9.01 10/23/07
FNB CORP/FL/ FL 1.01,9.01 10/17/07
FNB United Corp. NC 5.02,9.01 10/18/07
FNBH BANCORP INC MI 5.02 10/18/07
FORSTER DRILLING CORP NV 2.02,9.01 10/22/07
FOUR OAKS FINCORP INC NC 8.01,9.01 10/23/07
Freedom Acquisition Holdings, Inc. DE 3.01,9.01 10/23/07
Freescale Semiconductor Holdings I, L D0 2.02,9.01 10/23/07
FREMONT GENERAL CORP NV 5.03,8.01,9.01 10/23/07
GALLAGHER ARTHUR J & CO DE 2.02,9.01 10/23/07
GAMETECH INTERNATIONAL INC DE 7.01,9.01 10/19/07
GANNETT CO INC /DE/ DE 5.02,9.01 10/22/07
GASCO ENERGY INC NV 1.01,9.01 10/22/07
GATEWAY FINANCIAL HOLDINGS INC NC 2.02,9.01 10/23/07
GENAERA CORP DE 8.01,9.01 10/23/07
GENESEE & WYOMING INC DE 8.01,9.01 10/19/07
GENTA INC DE/ DE 8.01,9.01 10/23/07
Global BPO Services Corp DE 8.01,9.01 10/17/07
Global Ink Supply Inc. DE 1.01,5.02 10/23/07
GOLDEN STAR RESOURCES LTD 1.01,2.02,8.01,9.01 10/23/07
Gottaplay Interactive, Inc. NV 8.01 10/17/07
GPS INDUSTRIES, INC. NV 2.01,3.02,9.01 10/18/07
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 10/19/07
GREAT SOUTHERN BANCORP INC MD 2.02,9.01 10/18/07
GREEN BANKSHARES, INC. TN 2.02,7.01,9.01 10/22/07
GREEN PLAINS RENEWABLE ENERGY, INC. IA 7.01,9.01 10/23/07
GRYPHON GOLD CORP NV 7.01,9.01 10/23/07
GSAA Home Equity Trust 2006-S1 DE 1.01,9.01 10/19/07
GSAA Home Equity Trust 2007-S1 DE 1.01,9.01 10/19/07
GSAMP Trust 2006-S3 DE 1.01,9.01 10/19/07
GSAMP Trust 2006-S5 DE 1.01,9.01 10/19/07
GSAMP Trust 2006-S6 DE 1.01,9.01 10/19/07
GSI GROUP INC A3 2.02,9.01 10/23/07
HABERSHAM BANCORP GA 2.02,9.01 09/30/07
HALLIBURTON CO DE 2.02 10/21/07
HANSEN NATURAL CORP DE 8.01 10/16/07
Harbin Electric, Inc 1.01,9.01 10/17/07
Harbor Acquisition Corp. DE 8.01,9.01 08/20/07 AMEND
HARMONIC INC DE 2.02,9.01 10/23/07
HARRIS INTERACTIVE INC DE 8.01 10/22/07
HEALTHCARE REALTY TRUST INC MD 2.02,9.01 10/23/07
HEALTHSTREAM INC TN 2.02,7.01,9.01 10/23/07
HERITAGE OAKS BANCORP CA 2.02,9.01 10/22/07
HEXCEL CORP /DE/ DE 2.02,7.01,8.01,9.01 10/22/07
Hill International, Inc. DE 3.03,8.01,9.01 08/23/07
HINES REAL ESTATE INVESTMENT TRUST IN 9.01 09/25/07 AMEND
HOKU SCIENTIFIC INC DE 2.02,5.02,5.03,9.01 10/18/07
HOLOGIC INC DE 9.01 10/22/07 AMEND
HOME FEDERAL BANCORP IN 2.02,9.01 10/23/07
HORNBECK OFFSHORE SERVICES INC /LA DE 9.01 08/08/07 AMEND
HOUSEHOLD AFFINITY CREDIT CARD MASTER DE 9.01 10/15/07
HUB GROUP INC DE 2.02,9.01 09/30/07
IA GLOBAL INC DE 1.01,9.01 10/22/07
IBERIABANK CORP LA 7.01,9.01 10/22/07
IHOP CORP DE 2.02,9.01 10/23/07
II-VI INC PA 2.02,9.01 10/23/07
ILLUMINA INC DE 2.02,9.01 10/23/07
IMAGE SENSING SYSTEMS INC MN 2.02,9.01 10/23/07
IMMUNOSYN CORP 5.02,8.01,9.01 10/12/07
Indigo-Energy, Inc. NV 5.02,8.01,9.01 10/09/06
INFINERA CORP DE 2.02,9.01 10/23/07
INHIBITEX, INC. 8.01 10/18/07
INTELLIGENTIAS, INC. 3.02,9.01 10/19/07
Inter-Atlantic Financial, Inc. DE 8.01,9.01 10/16/07
INTERNATIONAL RECTIFIER CORP /DE/ DE 1.01,5.02,9.01 10/23/07
INTERNATIONAL SPEEDWAY CORP FL 1.01 10/19/07
INTERNET AMERICA INC TX 1.01,3.02,3.03,5.03,9.01 10/23/07
IRWIN FINANCIAL CORP IN 8.01,9.01 10/23/07
ITERIS, INC. DE 1.01,9.01 10/17/07
ITERIS, INC. DE 2.02,9.01 10/23/07
J P MORGAN CHASE & CO DE 9.01 10/19/07
JETBLUE AIRWAYS CORP DE 2.02,9.01 10/23/07
JETBLUE AIRWAYS CORP DE 7.01,9.01 10/23/07
JOURNAL COMMUNICATIONS INC 2.02,9.01 10/23/07
JUNIPER NETWORKS INC DE 2.02,9.01 10/23/07
KELLY SERVICES INC DE 2.02,9.01 10/23/07
KILROY REALTY CORP MD 2.02,9.01 10/22/07
KINETIC CONCEPTS INC /TX/ TX 9.01 09/30/07
KINGLAKE RESOURCES INC. NV 5.02 10/23/07
KNOLL INC DE 7.01 10/23/07
KNOLL INC DE 7.01 10/23/07
KOPIN CORP DE 3.01,9.01 10/23/07
KYPHON INC DE 2.04,8.01,9.01 10/17/07
LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 10/23/07
LABRANCHE & CO INC DE 2.02,9.01 10/23/07
Lake Shore Bancorp, Inc. X1 2.02,9.01 10/23/07
LAND O LAKES INC 5.02 10/23/07
LAYNE CHRISTENSEN CO DE 8.01,9.01 10/23/07
LEADIS TECHNOLOGY INC DE 2.02,9.01 10/23/07
LEE ENTERPRISES, INC DE 5.02,9.01 10/22/07
LEESPORT FINANCIAL CORP PA 2.02,5.02,9.01 10/16/07
LEVEL 3 COMMUNICATIONS INC DE 2.02,8.01,9.01 10/23/07
LEXMARK INTERNATIONAL INC /KY/ DE 2.02,2.05,9.01 10/22/07
LIBERTY PROPERTY TRUST MD 2.02,9.01 10/22/07
LIBERTY PROPERTY TRUST MD 2.06 10/04/07 AMEND
LIBERTY STAR URANIUM & METALS CORP. NV 7.01,9.01 10/17/07
Lightstone Value Plus Real Estate Inv MD 2.01,2.03 10/17/07
LINCARE HOLDINGS INC DE 2.02,9.01 10/22/07
LIQUIDITY SERVICES INC 1.01,2.03 10/17/07
LOCKHEED MARTIN CORP MD 2.02,9.01 10/23/07
LOGICVISION INC DE 3.01,9.01 10/22/07
LOGICVISION INC DE 2.02,9.01 10/23/07
LONGWEI PETROLEUM INVESTMENT HOLDING CO 2.01,3.02,5.01,5.02,5.06,9.01 10/16/07
LOUISIANA-PACIFIC CORP DE 2.06 10/18/07
MANHATTAN ASSOCIATES INC GA 2.02,5.02,5.03,9.01 10/18/07
MANOR CARE INC DE 7.01 10/23/07
MARTEN TRANSPORT LTD DE 2.02,9.01 10/22/07
MDI, INC. DE 1.01,2.01 10/23/07
MDU RESOURCES GROUP INC DE 2.02,7.01,9.01 10/23/07
MED GEN INC NV 1.01,8.01 10/23/07
MFA MORTGAGE INVESTMENTS MD 5.02,9.01 10/22/07
MGM MIRAGE DE 1.01,3.02,9.01 10/17/07
MICROCHIP TECHNOLOGY INC DE 2.02,9.01 09/30/07
MISSION COMMUNITY BANCORP CA 2.03,9.01 10/19/07
Monarch Financial Holdings, Inc. VA 2.02,7.01,9.01 10/19/07
MONROE BANCORP IN 2.02 10/23/07
MOTIVE INC DE 4.01,9.01 10/17/07
MRV COMMUNICATIONS INC DE 5.03,9.01 10/18/07
MSC INDUSTRIAL DIRECT CO INC NY 1.02,9.01 10/18/07
MSGI SECURITY SOLUTIONS, INC NV 8.01,9.01 10/22/07
MUELLER INDUSTRIES INC DE 2.02,9.01 10/23/07
NATHANIEL ENERGY CORP NV 7.01,9.01 10/23/07
NATIONWIDE HEALTH PROPERTIES INC MD 3.01,9.01 10/23/07
NAUTILUS, INC. WA 1.01,5.02,9.01 10/17/07
NBT BANCORP INC DE 2.02,9.01 10/22/07
Neenah Paper Inc DE 8.01,9.01 10/22/07
NEUSTAR INC 1.01,7.01,9.01 10/18/07
NEW YORK TIMES CO NY 2.02,9.01 10/23/07
NEWTEK BUSINESS SERVICES INC NY 1.01,9.01 10/19/07
NexCen Brands, Inc. DE 9.01 08/07/07 AMEND
NON INVASIVE MONITORING SYSTEMS INC / FL 5.02,8.01 10/17/07
NORTHEAST BANCORP /ME/ ME 2.02,7.01,9.01 09/30/07
Northfield Bancorp, Inc. X1 2.02,9.01 10/22/07
NOVELLUS SYSTEMS INC CA 2.02,9.01 10/23/07
NTS REALTY HOLDINGS LP DE 9.01 08/15/07 AMEND
O2DIESEL CORP 1.01,3.02,9.01 10/17/07
OCCAM NETWORKS INC/DE DE 8.01,9.01 10/18/07
OMNICOM GROUP INC NY 2.02,7.01,9.01 10/23/07
ON2 TECHNOLOGIES, INC. DE 1.01,7.01,9.01 10/17/07
Orchids Paper Products CO /DE DE 5.02,9.01 10/23/07
OSHKOSH TRUCK CORP WI 5.03,9.01 10/19/07
OWENS & MINOR INC/VA/ VA 2.02,9.01 10/22/07
PACIFIC PREMIER BANCORP INC DE 2.02,9.01 09/30/07
PAR TECHNOLOGY CORP DE 2.02 09/30/07
PARKE BANCORP, INC. NJ 2.02,9.01 10/23/07
PARKVALE FINANCIAL CORP PA 2.02,9.01 10/19/07
PARTNERRE LTD 2.02,9.01 10/22/07
PATRIOT INVESTMENT CORP NV 5.02 10/08/07
PENTAIR INC MN 2.02,9.01 10/23/07
PEOPLES BANCORPORATION INC /SC/ SC 2.02,9.01 10/22/07
PEOPLES FINANCIAL SERVICES CORP/ PA 9.01 09/30/07
PERVASIVE SOFTWARE INC DE 2.02,9.01 10/23/07
PetroHunter Energy Corp MD 1.01,3.02,5.02,9.01 10/17/07
PHARMACEUTICAL PRODUCT DEVELOPMENT IN NC 2.02,9.01 10/23/07
PHARSIGHT CORP CA 5.03,9.01 10/18/07
PHASE FORWARD INC DE 2.02,5.02,7.01,9.01 10/22/07
PHOENIX TECHNOLOGIES LTD DE 2.02,9.01 10/23/07
PLANETLINK COMMUNICATIONS INC GA 2.01,2.03,3.02,9.01 10/19/07
PLANTRONICS INC /CA/ DE 2.02,7.01,9.01 10/23/07
PLATINUM ENERGY RESOURCES INC DE 8.01,9.01 10/22/07
PLATINUM UNDERWRITERS HOLDINGS LTD D0 2.02,9.01 10/23/07
PLUG POWER INC DE 5.02,9.01 10/18/07
POOL CORP DE 2.02,7.01,9.01 10/23/07
Power of The Dream Ventures Inc DE 5.03 04/10/07 AMEND
PREMIER FINANCIAL BANCORP INC KY 2.02,9.01 10/23/07
PRIVATEBANCORP, INC DE 2.02,8.01 10/23/07 AMEND
PROSPERITY BANCSHARES INC TX 2.02,9.01 10/23/07
PROVIDENT FINANCIAL HOLDINGS INC DE 2.02,9.01 10/23/07
PULASKI FINANCIAL CORP MO 2.02,9.01 10/23/07
QLOGIC CORP DE 2.02,9.01 10/23/07
QUAKER CHEMICAL CORP PA 1.01 10/17/07
QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 1.02 10/17/07
RAAC Series 2007-SP3 Trust DE 8.01,9.01 10/23/07
RANCHER ENERGY CORP. NV 3.02 10/23/07
RAPTOR PHARMACEUTICALS CORP. 1.01,2.01,3.02,8.01,9.01 10/17/07
RAYMOND JAMES FINANCIAL INC FL 2.02,7.01,9.01 10/23/07
RAYONIER INC NC 2.02,9.01 10/23/07
RELIANCE STEEL & ALUMINUM CO CA 5.02,9.01 10/17/07
RF MICRO DEVICES INC NC 2.02 10/23/07
RIDGEWOOD ELECTRIC POWER TRUST V DE 8.01,9.01 10/22/07
RIDGEWOOD POWER GROWTH FUND /NJ DE 8.01,9.01 10/22/07
River Rock Entertainment Authority XX 1.01,9.01 08/08/07
Riverbed Technology, Inc. DE 2.02,9.01 10/23/07
ROBBINS & MYERS INC OH 2.02 10/15/07
ROCKY BRANDS, INC. OH 2.02,9.01 10/23/07
ROHM & HAAS CO DE 2.02,9.01 10/23/07
SALIX PHARMACEUTICALS LTD 8.01,9.01 10/23/07
SAN JOAQUIN BANCORP CA 2.02,9.01 10/18/07
SANDY SPRING BANCORP INC MD 2.02,9.01 10/23/07
SAVE THE WORLD AIR INC NV 5.02 10/19/07
SAVVIS, Inc. DE 2.02,9.01 10/23/07
SCHULMAN A INC DE 5.02 10/17/07
SEABRIGHT INSURANCE HOLDINGS INC 2.02,9.01 10/23/07
SEATTLE GENETICS INC /WA DE 2.02,9.01 10/23/07
SEAWAY VALLEY CAPITAL CORP DE 2.01,3.02,5.06 10/23/07
SEQUA CORP /DE/ DE 2.04,9.01 10/23/07
SHARPS COMPLIANCE CORP DE 2.02,9.01 10/23/07
SHERWIN WILLIAMS CO OH 2.02,9.01 10/23/07
SHORE BANCSHARES INC MD 2.02,9.01 10/18/07
SIERRA BANCORP CA 2.02,9.01 10/22/07
SILICON STORAGE TECHNOLOGY INC CA 2.02,9.01 10/23/07
SILICON STORAGE TECHNOLOGY INC CA 5.02,9.01 10/23/07 AMEND
SKYFLYER INC. NV 2.01,2.03,9.01 10/17/07
SL GREEN REALTY CORP MD 2.02,7.01,8.01,9.01 10/22/07
SLM FUNDING LLC DE 9.01 10/23/07
SMITH INTERNATIONAL INC DE 2.02,9.01 10/23/07
SOLUTIA INC DE 7.01,9.01 10/23/07
SONGZAI INTERNATIONAL HOLDING GROUP I NV 4.01,9.01 10/19/07
Southeastern Bank Financial CORP GA 2.02,9.01 10/19/07
SOUTHEASTERN BANKING CORP GA 2.02,9.01 10/23/07
SOUTHERN UNION CO DE 1.01,9.01 10/19/07
SP Acquisition Holdings, Inc. NY 8.01,9.01 10/16/07
SPACEHAB INC \WA\ WA 3.01,9.01 10/19/07
SRA INTERNATIONAL INC DE 9.01 06/20/07 AMEND
STAGE STORES INC NV 8.01,9.01 10/22/07
STANDARD PARKING CORP DE 8.01,9.01 10/23/07
STARM Mortgage Loan Trust 2007-4 DE 8.01,9.01 09/24/07 AMEND
STERLING BANCSHARES INC TX 2.02,9.01 10/23/07
STERLING FINANCIAL CORP /WA/ WA 8.01,9.01 10/22/07
STEVEN MADDEN, LTD. DE 8.01,9.01 10/18/07
STOCKERYALE INC MA 2.02,9.01 10/23/07
SUPERTEX INC CA 9.01 10/23/07
SUSQUEHANNA BANCSHARES INC PA 2.02,9.01 10/23/07
Symmetry Medical Inc. DE 5.02,9.01 10/17/07
SYMYX TECHNOLOGIES INC DE 5.02 10/16/07
SYNTAX-BRILLIAN CORP DE 3.01,9.01 10/17/07
TARGET LOGISTICS INC DE 8.01 10/23/07
TCF FINANCIAL CORP DE 2.02,9.01 10/23/07
TD AMERITRADE HOLDING CORP DE 2.02,9.01 10/23/07
TECHNOLOGY RESOURCES INC FL 8.01 09/14/07
TELLABS INC DE 2.02,9.01 10/23/07
TENNANT CO MN 2.02,9.01 10/23/07
TEXAS CAPITAL BANCSHARES INC/TX DE 2.02,9.01 10/17/07
Thorium Power, Ltd NV 5.02,9.01 10/23/07
TIMBERLAND BANCORP INC WA 5.02 10/19/07
TIMKEN CO OH 8.01 10/23/07
TORTOISE CAPITAL RESOURCES CORP 8.01,9.01 10/18/07
TOTAL SYSTEM SERVICES INC GA 2.02,7.01,9.01 10/22/07
TRADESTATION GROUP INC FL 2.02,9.01 10/23/07
TREE TOP INDUSTRIES, INC. NV 1.01,9.01 10/19/07
TRIMBLE NAVIGATION LTD /CA/ CA 2.02,9.01 10/23/07
TRIPLE-S MANAGEMENT CORP 5.03,5.05,9.01 10/16/07
TRUSTMARK CORP MS 2.02,9.01 10/23/07
TWIN DISC INC WI 2.02,7.01,8.01 10/19/07
UAL CORP /DE/ DE 2.02,9.01 10/23/07
UIL HOLDINGS CORP CT 8.01,9.01 10/23/07
UMB FINANCIAL CORP MO 2.02,5.02,8.01,9.01 10/23/07
UNIONBANCAL CORP DE 5.02 10/23/07
UNISYS CORP DE 2.02,9.01 09/30/07
UNITED COMMUNITY BANKS INC GA 2.02,9.01 10/23/07
United Financial Bancorp Inc 1.01,9.01 10/17/07
United Financial Bancorp, Inc. MD 1.01,9.01 10/17/07
UNITED PAN AM FINANCIAL CORP CA 2.02,9.01 10/22/07
UNITED PARCEL SERVICE INC DE 2.03,9.01 10/19/07
UNIVERSAL STAINLESS & ALLOY PRODUCTS DE 2.02,9.01 10/23/07
UNIVERSAL TRAVEL GROUP NV 1.01,9.01 10/17/07
URANIUM ENERGY CORP NV 5.03,7.01,9.01 10/21/07
USG CORP DE 2.02,9.01 10/23/07
UTAH MEDICAL PRODUCTS INC UT 2.02 10/23/07
VASCULAR SOLUTIONS INC DE 5.03,9.01 10/19/07
VEECO INSTRUMENTS INC DE 7.01,9.01 10/22/07
VENTURE FINANCIAL GROUP INC WA 2.02,9.01 10/23/07
VIASPACE Inc. NV 1.01,2.03,9.01 10/18/07
VIRAGEN INC DE 1.03 10/18/07
VIRAGEN INTERNATIONAL INC DE 1.03 10/18/07
VIRGINIA FINANCIAL GROUP INC VA 2.02,8.01,9.01 10/23/07
VITRAN CORP INC 8.01 10/23/07
Vocus, Inc. DE 2.02,9.01 10/23/07
WADDELL & REED FINANCIAL INC DE 2.02,9.01 10/23/07
WARWICK VALLEY TELEPHONE CO NY 8.01,9.01 10/23/07
WASTE CONNECTIONS INC/DE DE 7.01 10/23/07
WATERS CORP /DE/ DE 2.02,9.01 10/23/07
WAUSAU PAPER CORP. WI 2.02,2.03,2.05,9.01 10/19/07
WEBSTER FINANCIAL CORP DE 2.02,9.01 10/23/07
WELLS FARGO & CO/MN DE 9.01 10/23/07
Western Union CO DE 2.02,9.01 10/23/07
WEYERHAEUSER CO WA 5.03,8.01,9.01 10/18/07
WHIRLPOOL CORP /DE/ DE 2.02,9.01 10/23/07
WHITNEY HOLDING CORP LA 2.02,9.01 09/30/07
WINTRUST FINANCIAL CORP IL 2.02,9.01 10/22/07
WORLD ACCEPTANCE CORP SC 2.02,7.01,9.01 10/23/07
XFONE INC NV 1.01,9.01 10/23/07
XL CAPITAL LTD 2.02,9.01 10/23/07
XTENT INC 2.03 10/17/07
XTO ENERGY INC DE 2.02 10/23/07
Zealous Trading Group, Inc. NV 4.01,5.02,9.01 10/22/07
http://www.sec.gov/news/digest/2007/dig102407.htm
|
