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SEC NEWS DIGEST
Issue 2007-235 December 7, 2007
ENFORCEMENT PROCEEDINGS
FORMER UNITED HEALTH GROUP CEO/CHAIRMAN SETTLES STOCK OPTIONS
BACKDATING CASE FOR $468 MILLION
Settlement is Largest to Date in an Options Backdating Case
On December 6, the Commission announced a record $468 million settled
enforcement action in an options backdating case against William W.
McGuire, M.D., the former Chief Executive Officer and Chairman of the
Board of UnitedHealth Group Inc. The settlement is the first with an
individual under the "clawback" provision (Section 304) of the
Sarbanes-Oxley Act to deprive corporate executives of their stock sale
profits and bonuses earned while their companies were misleading
investors.
The Commission's complaint alleges that during a 12-year period,
McGuire repeatedly caused the company to grant undisclosed, in-the-
money stock options to himself and other UnitedHealth officers and
employees without recording in the company's books and disclosing to
shareholders material amounts of compensation expenses as required by
applicable accounting rules. Without admitting or denying the SEC's
charges, McGuire agreed to a $468 million settlement that includes a
$7 million civil penalty and reimbursement to the Minneapolis-based
health care company for all incentive- and equity-based compensation
he received from 2003 through 2006.
The Commission's complaint alleges that from at least 1994 through
2005, McGuire looked back over a window of time and picked grant dates
for UnitedHealth options that coincided with dates of historically low
quarterly closing prices for the company's common stock, resulting in
grants of in-the-money options. According to the complaint, McGuire
signed and approved backdated documents falsely indicating that the
options had actually been granted on these earlier dates when
UnitedHealth's stock price was at or near these low points. These
inaccurate documents caused the company to understate compensation
expenses for stock options, and were routinely provided to the
company's external auditors in connection with their audits and
reviews of UnitedHealth's financial statements.
According to the SEC's complaint, UnitedHealth filed with the
Commission quarterly and annual reports, proxy statements, and
registration statements that McGuire knew, or was reckless in not
knowing, contained materially false and misleading statements
concerning the true grant dates and proper exercise prices of stock
options. Because of McGuire's misconduct, investors were misled to
believe that stock options were granted with strike prices not less
than the fair market value of UnitedHealth's stock on the date of
grant and in accordance with the terms of the company's stock option
plans. In March 2007, UnitedHealth restated its financial statements
for each year from 1994 through 2005, and disclosed material
cumulative pre-tax errors in stock-based compensation accounting that
totaled $1.526 billion for that period.
The Commission's complaint further alleges that from 1994 through
2005, McGuire personally received more than 44 million split-adjusted
UnitedHealth options, most or all of which were backdated. McGuire
exercised and sold more than 11 million of these backdated options for
an in-the-money gain of more than $6 million. McGuire also received
nearly $5 million of incentive-based cash bonuses in 2005 and 2006
tied to earnings per share targets that UnitedHealth would not have
achieved under financial statements restated due to errors in stock-
based compensation accounting.
Without admitting or denying the allegations of the Commission's
complaint, McGuire consented to the entry of an order permanently
enjoining him from violating or aiding and abetting violations of the
antifraud, reporting, record-keeping, internal controls, proxy
statement, certification, and securities ownership reporting
provisions of the federal securities laws, and barring him from
serving as an officer or director of a public company for a period of
10 years. McGuire will (i) disgorge ill-gotten gains of $10,997,596
with $1,697,492 in prejudgment interest, (ii) pay a $7 million civil
penalty, and (iii) pursuant to Section 304 of the Sarbanes-Oxley Act,
reimburse UnitedHealth for all incentive- and equity-based
compensation he received from 2003 through 2006, totaling
approximately $448 million in cash bonuses, profits from the exercise
and sale of UnitedHealth stock, and unexercised UnitedHealth options.
Under the terms of the settlement, McGuire's disgorgement plus
prejudgment interest and his Section 304 reimbursement would be deemed
satisfied by his return to UnitedHealth of approximately $600 million
in cash and UnitedHealth options pursuant to the terms of his separate
settlement with the company, also announced today, resolving
employment claims and shareholder derivative lawsuits filed against
McGuire in state and federal courts in Minnesota. McGuire's settlement
with the SEC is subject to the approval of the U.S. District Court for
the District of Minnesota.
The Commission acknowledges the assistance of the U.S. Attorney's
Office for the Southern District of New York and the U.S. Postal
Inspection Service. The Commission's investigation is continuing. [SEC
v. William W. McGuire, M.D., Civil Action No. C.A. No. 07-CV-4779-
JMR/FLN (D. Minn. 2007)] (LR-20387; Press Rel. 2007-255)
JURY TRIAL RESULTS IN VERDICT AGAINST SEC DEFENDANT; SEC TO RETRY CASE
AGAINST TWO OTHERS
The Commission announced today that on Nov. 29, 2007, a federal jury
returned a verdict in the SEC's favor on all securities fraud charges
against former registered representative Sheldon A. Strauss of
Cleveland, Ohio, a defendant in a previously-filed civil injunctive
action involving a multi-faceted scheme to manipulate the stock price
of Competitive Technologies, Inc., (CTT), a technology development
company located in Fairfield, Connecticut. In addition, the jury was
unable to reach verdicts on most of the charges against two remaining
defendants: Richard A. Kwak, a registered representative formerly
associated with a broker-dealer in San Diego, CA and Stephen J.
Wilson, a registered representative formerly associated with a broker-
dealer in Media, PA. Yesterday, the SEC informed the Court that it
will retry its case against Kwak and Wilson at a future date. The
verdict against Strauss followed a three-week trial in Bridgeport,
Connecticut before the Honorable Janet Hall, U.S. District Court Judge
for the District of Connecticut.
The Commission's complaint, filed against a total of eight defendants
on Aug. 11, 2004, alleged that the defendants participated in a scheme
to manipulate and inflate the price of CTT stock from at least July
1998 to June 2001. The complaint alleged that the defendants
artificially raised and maintained the price of CTT's stock and
created a false or misleading appearance with respect to the market
for CTT stock through manipulative practices such as placing buy
orders at or near the close of the market in order to inflate the
reported closing price ("marking the close"), placing successive buy
orders in small amounts at increasing prices ("painting the tape"),
and using accounts they controlled or serviced to place pre-arranged
buy and sell orders in virtually identical amounts (placing "matched
trades").
The SEC also announced that on Oct. 26, 2007 and on Oct. 31, 2007, the
Court in this case entered final judgments by consent against four of
the original defendants: CTT; Frank McPike of Ridgefield, Connecticut,
the former CEO of CTT; John R. Glushko, formerly a registered
representative associated with a broker-dealer in Las Vegas, Nevada;
and former registered representative Thomas C. Kocherhans of Orem,
Utah.
The judgments against CTT, McPike, Glushko and Kocherhans, to which
they consented without admitting or denying the Commission's
allegations, enjoin them from violating Sections 9(a) and 10(b) of the
Securities and Exchange Act of 1934 (Exchange Act) and Rule 10b-5
thereunder and, as to Glushko and Kocherhans only, Section 17(a) of
the Securities Act of 1933 (Securities Act). Additionally, McPike and
Kocherhans have agreed to pay civil penalties of $60,000 and $50,000,
respectively. Glushko was also held liable for $10,000 in disgorgement
plus $8,308 in prejudgment interest, but payment of the disgorgement
and prejudgment interest amounts were waived and no penalty was
imposed based upon Glushko's financial condition. The Court will
determine whether additional sanctions, including a bar from serving
as an officer or director of any public company, are warranted against
McPike at a later date.
The jury found Strauss liable for violating Sections 9(a) and 10(b) of
the Exchange Act and Rule 10b-5 thereunder and Section 17(a) of the
Securities Act. In addition, the jury found Strauss liable for aiding
and abetting defendant and former registered representative Chauncey
Steele's violations of Sections 9(a) and 10(b) of the Exchange Act.
Steele previously settled the Commission's action against him in 2005.
The district court will determine the appropriate sanctions and
remedies against Strauss at a later date. In addition, the jury found
that Kwak and Wilson had not violated Section 17(a) of the Securities
Act, but the jury could not reach a verdict on the remaining charges
against them, including Sections 9(a) and 10(b) of the Exchange Act.
For further information about the Commission's action in SEC v.
Competitive Technologies, Inc., et al., see Litigation Release
No.18827 (Aug. 11, 2004), Litigation Release No. 19320 (Aug. 2, 2005),
and Exchange Act Release No. 56785 (Nov. 14, 2007). [SEC v.
Competitive Technologies, Inc., et. al., Civil Action No. 304 CV 1331
JCH (District of Connecticut)] (LR-20388)
SEC PARTIALLY SETTLES SECURITIES FRAUD CHARGES AGAINST REGINALD HALL
The Commission announced today that it has partially settled its
enforcement action, which involves charges of a deliberate "pump and
dump" scheme to defraud investors in the stock of Aimsi Technologies,
Inc. against Defendant Reginald Hall, the Chief Executive Officer of
Aimsi Technologies, Inc. On December 3, the Honorable Louis L. Stanton
of the U.S. District Court for the Southern District of New York
entered a partial final judgment against Hall that enjoined him from
violating Sections 17(a) of the Securities Act of 1933 and 10(b) of
the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The
judgment also prohibits Hall from acting as an officer or director of
a public company, and requires him to pay a civil penalty, and
disgorgement and prejudgment interest in an amount to be determined by
the Court upon motion by the Commission. The Commission filed its
action on an emergency basis on May 16, 2005, alleging that Aimsi
Technologies, Inc., Hall and a group of stock promoters engaged in a
deliberate "pump and dump" scheme to defraud investors, in which
Defendants acquired a substantial stake in the shares of Aimsi,
orchestrated a fraudulent promotional campaign to drive up the price
and trading volume of Aimsi's stock, and then sold their shares at a
substantial profit to the investing public after their plan succeeded.
The complaint alleges that before the Commission suspended trading in
Aimsi's stock on Dec. 15, 2004, the Defendants earned illicit trading
profits of at least $3.1 million. In connection with the Commission's
filing of the complaint, it also obtained a temporary restraining
order that, among other things, froze Defendants' assets. The
complaint charges violations of Section 17(a) of the Securities Act of
1933, Section 10(b) of the Securities Exchange Act of 1934, and Rule
10b-5. The litigation is pending against the remaining Defendants.
[SEC v. Aimsi Technologies, Inc., et al., 05 CV 4724 (LLS) (S.D.N.Y.)]
(LR-20389)
SELF-REGULATORY ORGANIZATIONS
APPROVAL OF PROPOSED RULE CHANGE
The Commission granted approval of a proposed rule change (SR-CHX-
2007-22) filed by the Chicago Stock Exchange under Section 19(b)(1) of
the Securities Exchange Act of 1934 to amend rules relating to the
execution of odd lot market orders. Publication is expected in the
Federal Register during the week of December 10. (Rel. 34-56900)
PROPOSED RULE CHANGES
The American Stock Exchange filed a proposed rule change and Amendment
No. 1 thereto (SR-Amex-2007-20) under Rule 19b-4 of the Securities
Exchange Act of 1934 related to amending complex orders procedures.
Publication is expected in the Federal Register during the week of
December 10. (Rel. 34-56901)
NYSE Arca, through its wholly owned subsidiary, NYSE Arca Equities,
Inc., filed a proposed rule change (SR-NYSEArca-2007-122) relating to
certain modifications to the initial listing standards for Index-
Linked Securities pursuant to Rule 19b-4 under the Securities Exchange
Act of 1934. Publication is expected in the Federal Register during
the week of December 10. (Rel. 34-56907)
NYSE Arca filed a proposed rule change (SR-NYSEArca-2007-121) relating
to Rule 6.37B and the quoting obligations of Lead Market Makers.
Publication is expected in the Federal Register during the week of
December 10. (Rel. 34-56908)
NYSE Arca, through its wholly owned subsidiary, NYSE Arca Equities,
Inc., filed a proposed rule change (SR-NYSEArca-2007-125) relating to
the continued listing standards for Equity Index-Linked Securities
pursuant to Rule 19b-4 under the Securities Exchange Act of 1934.
Publication is expected in the Federal Register during the week of
December 10. (Rel. 34-56918)
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE
A proposed rule change filed by The NASDAQ Stock Market (SR-NASDAQ-
2007-087) to modify fees for members using the Nasdaq Market Center
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 December 10. (Rel. 34-56905)
ACCELERATED APPROVAL OF PROPOSED RULE CHANGES
The Commission published notice of, and granted accelerated approval
to, a proposed rule change (SR-NYSEArca-2007-103), as modified by
Amendment No. 1 thereto, submitted by NYSE Arca, through its wholly
owned subsidiary, NYSE Arca Equities, Inc., pursuant to Rule 19b-4
under the Securities Exchange Act of 1934 to amend the initial listing
standards for Other Securities. Publication is expected in the Federal
Register during the week of December 10. (Rel. 34-56906)
The Commission issued notice of, and granted accelerated approval to,
a proposed rule change (SR-NASDAQ-2007-071), as modified by Amendment
Nos. 1, 2, and 3 thereto, submitted by The NASDAQ Stock Market
pursuant to Rule 19b-4 under the Securities Exchange Act of 1934
relating to generic listing and trading rules for securities linked to
the performance of indexes, commodities, and currencies. Publication
is expected in the Federal Register during the week of December 10.
(Rel. 34-56910)
JOINT INDUSTRY PLAN RELEASES
ELEVENTH SUBSTANTIVE AMENDMENT TO THE SECOND RESTATEMENT OF THE
CONSOLIDATED TAPE ASSOCIATION PLAN
The Consolidated Tape Association has filed an amendment to the CTA
Plan (CTA Plan) to permit Participants to report to the Processor the
actual number of shares for each transaction (exclusive of odd-lots),
rather than to report the number of round lots for each transaction.
Publication is expected in the Federal Register during the week of
December 10. (Rel. 34-56904)
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 MICRO IMAGING TECHNOLOGY, INC., 23456 S POINTE DR, LAGUNA HILLS, CA,
92653-1512, 9497709347 - 3,000,000 ($750,000.00) Equity,
(File 333-147854 - Dec. 6) (BR. 03A)
S-1 BERLINER COMMUNICATIONS INC, 20 BUSHES LANE, ELMWOOD PARK, NJ, 07407,
201.791.3200 - 1,295,047 ($1,579,957.34) Equity, (File 333-147855 -
Dec. 6) (BR. 11C)
S-3 GLADSTONE COMMERCIAL CORP, 1521 WESTBRANCH DRIVE, MCLEAN, VA, 22102,
703-287-5800 - 0 ($300,000,000.00) Equity, (File 333-147856 - Dec. 6)
(BR. 08C)
S-4 Oracle Healthcare Acquisition Corp., 200 GREENWICH AVENUE, GREENWICH,
CT, 06830, 203-862-7900 - 35,916,667 ($281,586,669.00) Equity,
(File 333-147857 - Dec. 6) (BR. 09)
S-3 AUDIBLE INC, 1 WASHINGTON PARK, 16TH FLOOR, NEWARK, NJ, 07102,
9738200400 - 5,897,335 ($67,052,698.95) Equity, (File 333-147858 -
Dec. 6) (BR. 02A)
SB-2 BUCKEYE VENTURES, INC., 4455 LAMONT ST, SUITE 3, SAN DIEGO, CA, 92109,
858 272 6600 - 6,316,854 ($631,685.00) Equity, (File 333-147861 -
Dec. 6) (BR. 06A)
F-6 REED ELSEVIER NV, RADARWEG 29, 1043 NX AMSTERDAM, THE NETHERLANDS, P7,
00000, 011442071665660 - 50,000,000 ($2,500,000.00) ADRs/ADSs,
(File 333-147862 - Dec. 6) (BR. 05C)
F-6 VITRO SAB DE CV, AVE RICARDO MAGAIN 400, GARZA GARCIA,
MEXICO NUEVO LEON, O5, 66265, 5283291200 -
100,000,000 ($5,000,000.00) ADRs/ADSs, (File 333-147863 - Dec. 6)
(BR. 06A)
F-6 REED ELSEVIER PLC, 1-3 STRAND, LONDON WC2N 5JR, X0, 00000,
011442071665660 - 50,000,000 ($2,500,000.00) ADRs/ADSs,
(File 333-147864 - Dec. 6) (BR. 05C)
S-1 GLG Partners, Inc., 390 PARK AVENUE, 20TH FLOOR, NEW YORK, NY, 10022,
212-224-7200 - 84,150,406 ($727,348,062.00) Equity, (File 333-147865 -
Dec. 6) (BR. 06C)
S-8 IRIDEX CORP, 1212 TERRA BELLA AVE, MOUNTAIN VIEW, CA, 94043,
6509404700 - 269,000 ($1,932,140.00) Equity, (File 333-147866 - Dec. 6)
(BR. 10B)
S-8 Amtrust Financial Services, Inc., 59 MAIDEN LANE, 6TH FLOOR, NEW YORK,
NY, 10038, (212) 220-7120 - 0 ($62,446,760.00) Equity,
(File 333-147867 - Dec. 6) (BR. 01B)
S-8 CHAUS BERNARD INC, 800 SECAUCUS ROAD, NEW YORK, NY, 10018, 2018634646 -
0 ($59,000.00) Equity, (File 333-147868 - Dec. 6) (BR. 09B)
S-8 NUCLEAR SOLUTIONS INC, 1050 CONNECTICUT AVENUE, N.W.,SUITE 1000,
WASHINGTON, DC, 20036, 2027723133 - 5,000,000 ($2,600,000.00) Equity,
(File 333-147869 - Dec. 6) (BR. 01B)
S-8 EMULEX CORP /DE/, 3333 SUSAN STREET, COSTA MESA, CA, 92626,
7146625600 - 0 ($30,857,054.00) Equity, (File 333-147870 - Dec. 6)
(BR. 03B)
S-4 Catalent Pharma Solutions, Inc., 14 SCHOOLHOUSE ROAD, SOMERSET, NJ,
08873, (732) 537-6200 - 0 ($893,455,000.00) Non-Convertible Debt,
(File 333-147871 - Dec. 6) (BR. )
S-8 SIERRA WIRELESS INC, 1,733,178 ($28,042,820.04) Equity,
(File 333-147872 - Dec. 6) (BR. 11C)
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
-------------------------------------------------------------------------------------------------------
99 CENTS ONLY STORES CA 5.03,9.01 11/30/07
ABERCROMBIE & FITCH CO /DE/ DE 7.01,9.01 12/06/07
Acadia Resources Inc. NV 1.01,2.01,5.01,5.02,5.06,9.01 11/28/07
ACCENTURE SCA 3.02 11/30/07
ACCEPTANCE INSURANCE COMPANIES INC DE 8.01,9.01 12/06/07
ACTEL CORP CA 7.01,9.01 12/06/07
ACTIVISION INC /NY DE 1.01,3.02,3.03,5.02,9.01 12/01/07
ADVANCED TECHNOLOGIES GROUP LTD NV 8.01 12/05/07
AEHR TEST SYSTEMS CA 5.03,9.01 12/05/07
AEROPOSTALE INC 7.01,9.01 12/06/07
ALBEMARLE CORP VA 8.01,9.01 11/30/07
ALDILA INC DE 1.01,2.01,9.01 11/30/07
ALEXANDER & BALDWIN INC HI 8.01,9.01 11/30/07
ALLERGAN INC DE 5.02,9.01 12/03/07
Allied Security Holdings LLC DE 5.02 12/04/07
Allis Chalmers Energy Inc. DE 1.01,5.02,9.01 12/06/07
AMERCO /NV/ NV 7.01,9.01 12/06/07
AMERICAN AFFORDABLE HOUSING II LIMITE MA 8.01 12/06/07
AMERICAN CONSUMERS INC GA 2.03,9.01 11/30/07
AMERICAN SOFTWARE INC GA 2.02,9.01 12/06/07
AMERICAN SOIL TECHNOLOGIES INC NV 1.01 10/31/07
AMERIWEST ENERGY CORP. NV 4.01 12/06/07
AMIS HOLDINGS INC 5.02 12/01/07
AMSURG CORP TN 5.02,9.01 12/01/07
ANALOGIC CORP MA 2.02,9.01 12/06/07
Andover Medical, Inc. DE 7.01,9.01 12/05/07
ANNTAYLOR STORES CORP DE 7.01,9.01 12/06/07
ARQULE INC DE 8.01,9.01 11/29/07
ARUBA NETWORKS, INC. DE 1.01,2.03,9.01 11/30/07
ATRION CORP DE 5.03,9.01 12/03/07
AVAX TECHNOLOGIES INC DE 1.01,5.02,9.01 12/01/07
AXSYS TECHNOLOGIES INC DE 1.01,2.01,5.02,9.01 11/30/07
Bancorp of New Jersey, Inc. NJ 8.01,9.01 12/06/07
Bancorp, Inc. 2.01,3.02,9.01 11/30/07
BANK JOS A CLOTHIERS INC /DE/ DE 7.01,9.01 12/06/07
BANK OF FLORIDA CORP FL 7.01,9.01 12/05/07
BIG DOG HOLDINGS INC DE 2.02,9.01 12/05/07
BIG LOTS INC OH 2.02,8.01,9.01 11/30/07
BON TON STORES INC PA 8.01,9.01 12/05/07
BOSTON FINANCIAL TAX CREDIT FUND PLUS MA 7.01,9.01 12/06/07
BPI Energy Holdings, Inc. 2.02,9.01 12/05/07
Bradford Bancorp Inc /MD 8.01,9.01 12/06/07
BRIGGS & STRATTON CORP WI 1.01,8.01,9.01 11/27/07
Bronco Drilling Company, Inc. DE 8.01 12/06/07
Brooklyn Federal Bancorp, Inc. X1 1.01,9.01 12/04/07
C&D TECHNOLOGIES INC DE 2.02,5.02,5.03,9.01 12/04/07
C-BASS 2007-CB5 Trust DE 1.03 11/30/07
CALAIS RESOURCES INC 3.02 11/30/07
CALPINE CORP DE 7.01,9.01 12/05/07
CANYON COPPER CORP. 1.01,5.02,7.01,9.01 11/30/07
Cape Bancorp, Inc. MD 8.01,9.01 12/06/07
CAPITAL GROWTH SYSTEMS INC /FL/ FL 1.01,3.02,9.01 11/30/07
CASCADE CORP OR 5.02 12/02/07
CASCADE MICROTECH INC 5.02,9.01 12/05/07
CASELLA WASTE SYSTEMS INC DE 2.02,5.02,9.01 12/03/07
CASEYS GENERAL STORES INC IA 2.02,9.01 12/06/07
CBL & ASSOCIATES PROPERTIES INC DE 1.01,2.03,9.01 11/30/07
CCH II LLC 5.02,9.01 11/30/07
CCO HOLDINGS LLC 5.02,9.01 11/30/07
CENTENE CORP 7.01,9.01 12/06/07
CENTEX CORP NV 8.01 12/06/07
Centro NP LLC MD 1.01,2.01,9.01 11/30/07
CHARTER COMMUNICATIONS HOLDINGS LLC DE 5.02,9.01 11/30/07
CHARTER COMMUNICATIONS INC /MO/ DE 5.02,9.01 11/30/07
CHARYS HOLDING CO INC 4.01,9.01 11/28/07
CHECKFREE CORP \GA\ DE 5.02,7.01,9.01 11/30/07
CHEESECAKE FACTORY INC DE 8.01,9.01 12/03/07
CHEMBIO DIAGNOSTICS, INC. NV 7.01,9.01 12/06/07
CHESAPEAKE ENERGY CORP OK 8.01,9.01 12/03/07
CINCINNATI BELL INC OH 1.01,7.01,9.01 11/30/07
CINTAS CORP WA 1.01,9.01 12/04/07
CMS ENERGY CORP MI 1.01,9.01 11/30/07
COBIZ FINANCIAL INC CO 7.01,9.01 12/04/07
COGNIGEN NETWORKS INC CO 2.01,8.01,9.01 11/30/07
Commerce Planet UT 7.01,9.01 12/06/07
COMMONWEALTH EDISON CO IL 8.01,9.01 10/26/07
COMMSCOPE INC DE 8.01,9.01 12/06/07
COMTECH TELECOMMUNICATIONS CORP /DE/ DE 1.01,8.01,9.01 12/06/07
Comverge, Inc. DE 1.01,9.01 12/05/07
CONSOLIDATED CAPITAL INSTITUTIONAL PR CA 1.01,2.03,9.01 11/30/07
CONSOLIDATED CAPITAL INSTITUTIONAL PR CA 1.01,2.03,9.01 11/30/07
CONSOLIDATED CAPITAL PROPERTIES IV CA 1.01,2.03,9.01 11/30/07
CONVERSION SERVICES INTERNATIONAL INC DE 1.01,5.02,9.01 12/03/07
CORNERSTONE BANCORP/SC SC 5.02,9.01 12/05/07
CORNERSTONE REALTY FUND LLC CA 8.01,9.01 12/03/07
COVANTA HOLDING CORP DE 5.02,9.01 12/06/07
Covidien Ltd. D0 2.02,9.01 12/06/07
CRITICAL PATH INC CA 8.01,9.01 12/05/07
Customer Acquisition Network Holdings DE 1.01,2.03,9.01 11/30/07
CYBER DIGITAL INC NY 1.01 11/30/07
Deja Foods Inc 1.03,3.03,5.01,5.02,5.03,9.01 12/03/07
DEL GLOBAL TECHNOLOGIES CORP NY 5.03,9.01 12/05/07
dELiAs, Inc. DE 5.02 12/03/07
DEVELOPERS DIVERSIFIED REALTY CORP OH 5.02 12/01/07
DEVRY INC DE 8.01,9.01 12/06/07
DIVX INC 5.02,9.01 11/30/07
DOMINION MINERALS CORP DE 5.02,9.01 12/03/07
DOMINOS PIZZA INC 1.01,9.01 12/03/07
DOW JONES & CO INC DE 5.02,9.01 12/06/07
DURECT CORP DE 8.01,9.01 12/06/07
Eastern Insurance Holdings, Inc. PA 8.01,9.01 12/05/07
EDAC TECHNOLOGIES CORP WI 8.01,9.01 12/05/07
EL PASO CORP/DE DE 5.03,9.01 12/06/07
ELECTRONIC DATA SYSTEMS CORP /DE/ DE 5.02 12/04/07
EMC INSURANCE GROUP INC IA 5.03 12/03/07
EMERSON RADIO CORP DE 5.02,9.01 12/01/07
EMMIS COMMUNICATIONS CORP IN 5.03,9.01 12/04/07
EMPIRE DISTRICT ELECTRIC CO KS 8.01 12/04/07
Emrise CORP DE 1.01,1.02,2.03,3.02,9.01 11/30/07
EN POINTE TECHNOLOGIES INC DE 2.02 12/05/07
EN2GO INTERNATIONAL INC NV 4.01,9.01 12/06/07 AMEND
Endeavor Explorations Inc. NV 5.01,5.02 12/06/07
ENDO PHARMACEUTICALS HOLDINGS INC DE 7.01,9.01 12/06/07
ENERGEN CORP AL 8.01 12/04/07
Energy Infrastructure Acquisition Cor DE 1.01,7.01,9.01 12/03/07
EnteroMedics Inc 8.01 12/03/07
ENVIRONMENTAL POWER CORP DE 1.01 11/30/07
EQUISTAR CHEMICALS LP DE 3.03,9.01 12/06/07
ESCO TECHNOLOGIES INC MO 1.01,2.01,2.03,9.01 11/30/07
EXELIXIS INC DE 7.01 12/05/07
EXELON CORP PA 8.01,9.01 10/26/07
EXELON GENERATION CO LLC 8.01,9.01 10/26/07
Expedia, Inc. 5.02 12/04/07
Exterra Energy Inc. NV 5.02 12/05/07
FAMILY DOLLAR STORES INC DE 2.02,9.01 12/06/07
FAMOUS DAVES OF AMERICA INC MN 5.02,9.01 12/03/07
Federal Home Loan Bank of Atlanta X1 2.03 12/03/07
Federal Home Loan Bank of Boston X1 2.03 12/03/07
Federal Home Loan Bank of Chicago X1 2.03 12/03/07
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 12/04/07
Federal Home Loan Bank of Des Moines X1 2.03,9.01 12/03/07
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 12/03/07
Federal Home Loan Bank of New York X1 2.03,9.01 12/03/07
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 12/03/07
Federal Home Loan Bank of San Francis X1 2.03 12/03/07
Federal Home Loan Bank of Seattle 2.03 12/06/07
Federal Home Loan Bank of Topeka 2.03 12/03/07
FERRELLGAS PARTNERS L P DE 2.02,7.01,9.01 10/31/07
FERRELLGAS PARTNERS L P DE 2.02,8.01,9.01 07/31/07
FGX International Holdings LTD 2.02,7.01,9.01 12/06/07
FINISH LINE INC /IN/ IN 2.02,9.01 12/06/07
FIRST INVESTORS FINANCIAL SERVICES GR TX 2.02,9.01 12/06/07
FIRST POTOMAC REALTY TRUST MD 1.01,9.01 11/30/07
FLEETWOOD ENTERPRISES INC/DE/ DE 2.02,9.01 12/06/07
FLOW INTERNATIONAL CORP WA 1.01,9.01 12/04/07
Fortress International Group, Inc. DE 1.01,2.01,3.02,8.01,9.01 11/30/07
FREEPORT MCMORAN COPPER & GOLD INC DE 1.01 11/30/07
Frontier Airlines Holdings, Inc. DE 8.01,9.01 12/05/07
GANDER MOUNTAIN CO MN 2.02,9.01 12/06/07
GAP INC DE 7.01,9.01 12/06/07
GEMINI EXPLORATIONS, INC. NV 3.02 12/05/07
GENITOPE CORP DE 5.03,9.01 12/03/07
GEODYNE ENERGY INCOME LTD PARTNERSHIP OK 9.01 11/15/07 AMEND
GEODYNE ENERGY INCOME LTD PARTNERSHIP OK 9.01 11/15/07 AMEND
GEODYNE ENERGY INCOME LTD PARTNERSHIP OK 9.01 11/15/07 AMEND
GEODYNE INSTITUTIONAL PENSION ENERGY OK 9.01 11/15/07 AMEND
GEODYNE INSTITUTIONAL PENSION ENERGY TX 9.01 11/15/07 AMEND
GEOKINETICS INC DE 7.01,9.01 12/03/07
GEORGIA POWER CO GA 8.01,9.01 11/29/07
GIGABEAM CORP DE 3.01,9.01 11/30/07
GLOBAL CASINOS INC UT 1.01,9.01 12/05/07
GLOBAL CROSSING LTD 2.02,7.01,9.01 12/06/07
GLOBAL INDUSTRIES LTD LA 8.01 11/26/07
GOLD HORSE INTERNATIONAL, INC. FL 1.01,2.03,3.02,7.01,9.01 11/30/07
GOLD RESOURCE CORP CO 3.02,9.01 12/05/07
Golden Aria Corp. 1.01,2.01,3.02,5.02,9.01 10/15/07
Golden Pond Healthcare, Inc. DE 8.01,9.01 11/08/07
Golden West Brewing Company, Inc. CA 1.01,3.02,5.02,9.01 12/04/07
GOOD TIMES RESTAURANTS INC NV 1.01 12/06/07
GOODYEAR TIRE & RUBBER CO /OH/ OH 8.01,9.01 12/06/07
Gottaplay Interactive, Inc. NV 5.02 12/06/07
GOTTSCHALKS INC DE 2.02,9.01 12/06/07
GRAHAM CORP DE 1.01,1.02,9.01 12/05/07
GREAT ATLANTIC & PACIFIC TEA CO INC MD 8.01 12/03/07 AMEND
GREEN PLAINS RENEWABLE ENERGY, INC. IA 8.01,9.01 12/05/07
HANCOCK FABRICS INC DE 7.01,8.01,9.01 12/05/07
HANDLEMAN CO /MI/ MI 2.02,9.01 12/06/07
Harbor Acquisition Corp. DE 1.01,9.01 10/17/06 AMEND
Harry & David Holdings, Inc. DE 1.01 11/30/07
HARVARD BIOSCIENCE INC DE 1.01,2.01,9.01 11/30/07
HARVARD BIOSCIENCE INC DE 2.05 07/26/05 AMEND
Hawaiian Telcom Communications, Inc. DE 2.01,9.01 11/30/07
HAYNES INTERNATIONAL INC DE 5.02 12/04/07
HECLA MINING CO/DE/ DE 5.03,9.01 12/03/07
HELMERICH & PAYNE INC DE 5.02,9.01 12/04/07
HENNESSY ADVISORS INC 2.02,9.01 12/06/07
HERLEY INDUSTRIES INC /NEW DE 5.02 12/04/07
HEXCEL CORP /DE/ DE 7.01,9.01 12/06/07
HOMELAND ENERGY SOLUTIONS LLC 1.01,2.03,5.02,7.01,9.01 11/30/07
HOPFED BANCORP INC DE 5.03,9.01 12/05/07
ICF International, Inc. DE 5.03,9.01 12/05/07
INDYMAC BANCORP INC DE 7.01,9.01 12/05/07
InfoLinx Communications Ltd. NV 8.01 12/05/06
InfuSystem Holdings, Inc DE 1.01,2.01,2.02,2.03,5.02,5.03, 12/06/07 AMEND
5.06,8.01,9.01
Inland American Real Estate Trust, In MD 5.03,9.01 12/06/07
INNERWORKINGS INC 2.01,8.01,9.01 11/30/07
Innophos Holdings, Inc. 5.03 12/06/07
INOVIO BIOMEDICAL CORP 5.03,9.01 11/30/07
INSIGHTFUL CORP DE 8.01,9.01 12/03/07
Intcomex, Inc. DE 5.05,9.01 12/03/07
INTEGRA BANK CORP IN 7.01,9.01 12/06/07
INTERNATIONAL RECTIFIER CORP /DE/ DE 5.02 12/02/07
ION GEOPHYSICAL CORP DE 5.02,7.01 12/01/07
ION GEOPHYSICAL CORP DE 3.02,3.03,9.01 12/06/07
ION MEDIA NETWORKS INC. DE 1.01,9.01 11/30/07
Isilon Systems, Inc. DE 5.02 11/30/07
ITERIS, INC. DE 8.01 11/30/07
ITEX CORP NV 7.01,9.01 12/06/07
ITRON INC /WA/ WA 5.03 12/04/07
J P MORGAN CHASE & CO DE 9.01 12/05/07
JACOBS FINANCIAL GROUP, INC. DE 1.01,9.01 12/03/07
JAMBA, INC. DE 5.02,9.01 12/01/07
JCM PARTNERS LLC DE 3.02 12/01/07
JMAR TECHNOLOGIES INC DE 5.02 12/01/07
JMP Group Inc. DE 1.01 11/30/07
JOHN D. OIL & GAS CO 1.01,2.03,9.01 11/30/07
KBS Real Estate Investment Trust, Inc MD 1.01,2.01,2.03,8.01,9.01 11/15/07
KINDER MORGAN ENERGY PARTNERS L P DE 7.01 12/05/07
KINDER MORGAN MANAGEMENT LLC DE 7.01 12/05/07
KIRKLANDS INC 2.02,9.01 11/30/07
KOHLS CORPORATION WI 7.01,9.01 12/06/07
KORN FERRY INTERNATIONAL DE 2.02,9.01 12/06/07
KRISPY KREME DOUGHNUTS INC NC 2.02,7.01,9.01 12/06/07
LABOR READY INC WA 7.01,8.01,9.01 12/03/07
LAKELAND INDUSTRIES INC DE 2.02,9.01 12/06/07
LANCASTER COLONY CORP OH 8.01 12/06/07
LANGER INC NY 8.01,9.01 12/06/07
LCC INTERNATIONAL INC DE 1.01,9.01 11/30/07
LEAF Equipment Leasing Income Fund II DE 1.01,2.01,2.03 11/30/07
Legacy Bancorp, Inc. DE 7.01,9.01 12/06/07
LEGACY RESERVES LP DE 7.01,9.01 12/06/07
LEHMAN BROTHERS HOLDINGS INC DE 5.02,9.01 12/06/07
Liberator BDC Inc. 5.03,9.01 12/04/07
LIGAND PHARMACEUTICALS INC DE 5.02,5.03,9.01 12/06/07
LIPID SCIENCES INC/ AZ 8.01 12/03/07
LIQUIDITY SERVICES INC 2.02,9.01 12/06/07
LOGILITY INC GA 2.02,9.01 12/06/07
Lotus Pharmaceuticals, Inc. 7.01,9.01 12/05/07 AMEND
LUDVIK CAPITAL INC DE 8.01,9.01 11/14/07
LYONDELL CHEMICAL CO DE 3.03,9.01 12/06/07
MACK CALI REALTY CORP MD 5.02,8.01,9.01 12/04/07
MAD CATZ INTERACTIVE INC 5.02,9.01 11/30/07
MAGMA DESIGN AUTOMATION INC DE 8.01 12/06/07
MAJESCO ENTERTAINMENT CO DE 5.02,8.01,9.01 12/06/07
MANNATECH INC TX 5.03,9.01 11/30/07
MAXIMUS INC VA 5.03,9.01 12/05/07
MAXUS REALTY TRUST INC. 1.01,2.01,2.03,9.01 11/30/07
MBIA INC CT 8.01,9.01 12/06/07
MCMORAN EXPLORATION CO /DE/ DE 1.01 11/30/07
MEDALLION FINANCIAL CORP DE 8.01,9.01 12/05/07
MEDICAL PROPERTIES TRUST INC 1.01,1.02,2.03,7.01,9.01 11/30/07
MEMORY PHARMACEUTICALS CORP 3.01,9.01 12/05/07
MENS WEARHOUSE INC TX 5.03,9.01 12/04/07
MERRILL LYNCH & CO INC DE 8.01,9.01 12/06/07
MERRILL LYNCH DEPOSITOR INC PREFERRED DE 8.01,9.01 12/03/07
METHODE ELECTRONICS INC DE 2.02,9.01 12/06/07
METRO ONE TELECOMMUNICATIONS INC OR 5.02,7.01,9.01 11/30/07
MINISTRY PARTNERS INVESTMENT CORP CA 5.02 12/01/07
MOHAWK INDUSTRIES INC DE 5.03,9.01 12/04/07
MORRIS PUBLISHING GROUP LLC GA 2.01,2.04,9.01 11/30/07
MoSys, Inc. CA 5.02,9.01 12/03/07
MOVADO GROUP INC NY 2.02,9.01 12/06/07
MPC CORP CO 1.01,8.01,9.01 12/05/07
MPC CORP CO 1.01,9.01 12/03/07
MQ ASSOCIATES INC 5.02 11/30/07
MS STRUCTURED SATURNS SERIES 2002-11 DE 8.01,9.01 12/03/07
MS STRUCTURED SATURNS SERIES 2003-15 DE 8.01,9.01 12/03/07
MS STRUCTURED SATURNS SERIES 2003-8 DE 8.01,9.01 12/03/07
MS STRUCTURED SATURNS SERIES 2004-1 DE 8.01,9.01 12/03/07
MTI TECHNOLOGY CORP DE 5.02 11/30/07
MyStarU.com,Inc. 4.01,9.01 10/31/07 AMEND
NAPCO SECURITY SYSTEMS INC DE 5.03,9.01 12/04/07
NARA BANCORP INC DE 5.02,9.01 11/30/07
NARROWSTEP INC DE 1.01,9.01 11/30/07
NATIONAL REALTY & MORTGAGE INC NV 5.02 12/01/07
NATIONAL SEMICONDUCTOR CORP DE 2.02,9.01 12/06/07
NaturalNano , Inc. NV 5.03,9.01 12/06/07
nCoat, Inc. DE 1.01,9.01 11/30/07
NCR CORP MD 7.01,9.01 12/06/07
NEOMAGIC CORP DE 2.02,9.01 12/06/07
NETFABRIC HOLDINGS, INC DE 4.01,9.01 12/04/07
NewMarket Technology Inc NV 1.01,2.01,2.03,3.02,7.01,9.01 11/30/07
NORDSTROM INC WA 7.01 12/06/07
NORTHERN OIL & GAS, INC. 5.03,5.05,9.01 11/30/07
NYSE Euronext DE 5.02,9.01 12/03/07
OGLETHORPE POWER CORP GA 5.02 12/03/07
OI CORP OK 5.03,9.01 12/06/07
ON ASSIGNMENT INC DE 5.02,9.01 12/06/07
ONLINE RESOURCES CORP DE 2.02 12/06/07
OPTIUM CORP DE 2.02,9.01 09/20/07
PACKAGING CORP OF AMERICA 5.03,9.01 12/05/07
PALM INC DE 2.02,9.01 12/06/07
PARALLEL PETROLEUM CORP DE 8.01,9.01 12/06/07
Park Place Energy Corp. NV 5.02,9.01 12/01/07
PATAPSCO BANCORP INC MD 8.01,9.01 12/06/07
PECO ENERGY CO PA 8.01,9.01 10/26/07
PEERLESS SYSTEMS CORP DE 5.02,9.01 11/30/07
PENSON WORLDWIDE INC DE 1.01 12/05/07
People's United Financial, Inc. DE 7.01,9.01 12/06/07
PEOPLES COMMUNITY BANCORP INC /MD/ MD 5.03,9.01 11/30/07
PGT, Inc. DE 5.02,5.03,9.01 12/06/07
PHH CORP MD 1.01,9.01 11/30/07
PINNACLE BANCSHARES INC AL 5.03,9.01 12/05/07
PLATINUM UNDERWRITERS HOLDINGS LTD D0 1.01,8.01,9.01 12/03/07
PNA Group, Inc. DE 5.02,9.01 12/06/07
POLYMER GROUP INC DE 5.03,9.01 11/13/07
POWELL INDUSTRIES INC NV 2.02,9.01 12/05/07
PREMIER FINANCIAL BANCORP INC KY 8.01,9.01 12/05/07
PREMIER WEALTH MANAGEMENT, INC. DE 3.01 12/03/07
PRINCIPAL FINANCIAL GROUP INC DE 2.02,7.01,9.01 12/05/07
PROASSURANCE CORP DE 5.02,7.01,8.01,9.01 12/05/07
PROS Holdings, Inc. DE 7.01,9.01 12/05/07
PROVIDENT BANKSHARES CORP MD 7.01,9.01 12/05/07
PRUDENTIAL FINANCIAL INC NJ 8.01,9.01 12/06/07
PSB Holdings, Inc. 8.01,9.01 12/05/07
RAMBUS INC DE 8.01,9.01 12/03/07
Reis, Inc. MD 2.02,5.03,9.01 11/30/07 AMEND
RESOURCE AMERICA INC DE 2.01 11/30/07
REYNOLDS AMERICAN INC 5.02,9.01 11/30/07
ROYALITE PETROLEUM CO INC. NV 1.01,7.01,9.01 11/30/07
SABINE ROYALTY TRUST TX 2.02,9.01 12/05/07
SAKS INC TN 8.01,9.01 12/06/07
SALISBURY BANCORP INC CT 5.03,9.01 12/04/07
SECURE ALLIANCE HOLDINGS CORP DE 1.01,9.01 12/06/07
SECURE COMPUTING CORP DE 1.01,5.02,9.01 11/30/07
SELIGMAN NEW TECHNOLOGIES FUND, INC 7.01 12/06/07
SEMPRA ENERGY CA 5.03 12/04/07
SHAW GROUP INC LA 2.02,9.01 12/06/07
SHELTER PROPERTIES II LTD PARTNERSHIP SC 1.01,2.03,9.01 11/30/07
SIMEX TECHNOLOGIES INC DE 2.01,3.02,3.03,5.01,5.02,5.03, 11/29/07
5.06,9.01
Siouxland Ethanol, LLC NE 5.02 12/01/07
SLM FUNDING LLC DE 9.01 12/06/07
SMITH & WESSON HOLDING CORP NV 1.01,2.03,9.01 11/30/07
SMITH & WESSON HOLDING CORP NV 2.02,9.01 12/06/07
SMITH MICRO SOFTWARE INC DE 1.01,9.01 11/30/07
Somaxon Pharmaceuticals, Inc. DE 1.02,5.02,5.03,9.01 12/06/07
SONOCO PRODUCTS CO SC 5.03,9.01 12/05/07
SONORAN ENERGY INC WA 3.02 11/30/07
SONUS PHARMACEUTICALS INC DE 5.03,9.01 12/04/07
SOURCE INTERLINK COMPANIES INC DE 2.02,7.01,9.01 12/06/07
SOUTHERN MICHIGAN BANCORP INC MI 1.01,2.01,9.01 12/01/07
SOUTHERN MISSOURI BANCORP INC MO 5.03,9.01 11/30/07
SOUTHERN STAR ENERGY INC. NV 1.01,3.02,9.01 11/22/07
SOVEREIGN BANCORP INC PA 7.01,9.01 12/06/07
SPACEHAB INC \WA\ WA 5.02 12/03/07
SPIRE CORP MA 1.01,9.01 11/30/07
SPX CORP DE 8.01,9.01 12/06/07
STANDARD CAPITAL CORP DE 5.02 12/06/07
STEEL DYNAMICS INC IN 8.01,9.01 12/03/07
STERLING CONSTRUCTION CO INC DE 7.01,9.01 12/06/07
SUMTOTAL SYSTEMS INC DE 5.03,9.01 11/30/07
SUNRISE TELECOM INC 5.02,9.01 12/05/07
Surfect Holdings, Inc NV 1.01,1.02,2.03,3.02,9.01 11/30/07
Symmetry Holdings Inc DE 5.03,8.01,9.01 12/05/07
SYNOPSYS INC DE 2.02,9.01 12/06/07
Synovics Pharmaceuticals NV 1.01,2.03,9.01 11/30/07
TAPIMMUNE INC NV 2.01,8.01 12/05/07
TARGET CORP MN 8.01,9.01 12/06/07
TARGETED GENETICS CORP /WA/ WA 8.01,9.01 12/03/07
TECH OPS SEVCON INC DE 2.02,9.01 09/30/07
TELULAR CORP DE 5.02 12/04/07
Tennessee Valley Authority 5.02 12/06/07
TEXHOMA ENERGY INC 1.01,3.02,9.01 11/28/07
THOMAS GROUP INC DE 8.01,9.01 12/05/07
Thomas Weisel Partners Group, Inc. DE 8.01 12/06/07
TOLL BROTHERS INC DE 2.02,9.01 12/06/07
TORO CO DE 2.02,9.01 12/06/07
TORTOISE CAPITAL RESOURCES CORP 1.01,9.01 11/30/07
Tradeshow Products, Inc. NV 1.01,2.01,3.02,4.01,5.01,5.02, 12/03/07
5.03,9.01
TRUE PRODUCT ID, INC. DE 8.01 12/06/07
TWIN DISC INC WI 5.03,9.01 12/06/07
UAP HOLDING CORP DE 5.02,9.01 12/02/07
UNIFY CORP DE 4.02 12/06/07
UNITED HERITAGE CORP UT 3.01,9.01 11/30/07
UNITED INDUSTRIAL CORP /DE/ DE 1.01,9.01 11/30/07
UNITED STATES STEEL CORP DE 8.01,9.01 12/05/07
UNITED STATES STEEL CORP DE 8.01,9.01 12/05/07
UNITED STATES STEEL CORP DE 5.03,9.01 11/30/07
UNITEDHEALTH GROUP INC MN 5.02,8.01,9.01 12/05/07
UNIVERSAL TRAVEL GROUP NV 2.02,7.01,9.01 12/03/07
UNIVERSAL TRAVEL GROUP NV 2.01,2.03,3.02,7.01,9.01 12/03/07
Unum Group DE 8.01,9.01 12/04/07
USA TRUCK INC DE 8.01,9.01 12/05/07
UTi WORLDWIDE INC 2.02,9.01 12/06/07
VELOCITY EXPRESS CORP DE 5.02,5.03,8.01,9.01 12/06/07
Veri-Tek International, Corp. MI 5.02,5.03,7.01,9.01 12/05/07
Verigy Ltd. U0 5.02,8.01,9.01 12/03/07
VISUAL SCIENCES, INC. CA 8.01,9.01 12/05/07
Voyager Learning CO DE 4.01,9.01 12/03/07
W HOLDING CO INC PR 7.01,9.01 12/05/07
W R GRACE & CO DE 7.01 12/06/07
WABASH NATIONAL CORP /DE DE 5.02 11/30/07
WELLCARE HEALTH PLANS, INC. DE 8.01 11/28/07
Wells Timberland REIT, Inc. MD 1.01 11/26/07
WESCO FINANCIAL CORP CA 5.03,9.01 12/05/07
WIFIMED HOLDINGS COMPANY, INC. NV 1.01,2.03,3.02,9.01 11/30/07
WIRELESS XCESSORIES GROUP INC DE 8.01 12/05/07
WUHAN GENERAL GROUP (CHINA), INC NV 1.01,8.01,9.01 11/30/07
YTB International, Inc. NY 8.01,9.01 12/05/07
Zealous Trading Group, Inc. NV 5.02 12/01/07
ZENITH NATIONAL INSURANCE CORP DE 8.01,9.01 12/06/07
ZIM CORP A6 1.01,2.01 12/04/07
ZIMMER HOLDINGS INC DE 1.01,2.03,9.01 11/30/07
http://www.sec.gov/news/digest/2007/dig120707.htm
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