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SEC NEWS DIGEST
Issue 2007-239 December 13, 2007
COMMISSION ANNOUNCEMENTS
COMMISSION MEETINGS
Following is a schedule of Commission meetings, which will be
conducted under provisions of the Government in the Sunshine Act.
Meetings will be scheduled according to the requirements of agenda
items under consideration.
Open meetings will be held in the Auditorium, Room L-002 at the
Commission's headquarters building, 100 F Street, N.E., Washington,
D.C. Visitors are welcome at all open meetings, insofar as space is
available. Persons wishing to photograph or videotape Commission
meetings must obtain permission in advance from the Secretary of the
Commission. Persons wishing to tape record a Commission meeting should
notify the Secretary's office 48 hours in advance of the meeting.
Any member of the public who requires auxiliary aids such as a sign
language interpreter or material on tape to attend a public meeting
should contact Rochelle Franks, Office of Human Resources, to make
arrangements. Ms. Franks can be reached at TTY number (202) 551-4106.
In the event Ms. Franks cannot be reached, you may call the
interpreter directly at (202) 551-4158. If you are calling from a non
TTY number, please call the Relay Service at 1 866 377 8642.
OPEN MEETING - TUESDAY, DECEMBER 18, 2007 - 10:00 A.M.
The subject matter of the open meeting scheduled for Tuesday, December
18, will be:
The Commission will consider whether to approve the 2008 budget of the
Public Company Accounting Oversight Board and will consider the
related annual accounting support fee for the Board under Section 109
of the Sarbanes-Oxley Act of 2002.
CLOSED MEETING - THURSDAY, DECEMBER 20, 2007 - 2:00 P.M.
The subject matter of the closed meeting scheduled for Thursday,
December 20, will be: Formal orders of investigation; Institution and
settlement of injunctive actions; Institution and settlement of
administrative proceedings of an enforcement nature; Resolution of
litigation claims; A matter related to an enforcement proceeding; and
an Adjudicatory matter.
At times, changes in Commission priorities require alterations in the
scheduling of meeting items.
For further information and to ascertain what, if any, matters have
been added, deleted or postponed, please contact: The Office of the
Secretary at (202) 551-5400.
SEC CONDUCTS MAJOR ANTI-MONEY LAUNDERING PROGRAM FOR LATIN AMERICA AND
THE CARIBBEAN
The Commission announced today that it has completed a major anti-
money laundering program held in Santo Domingo, Dominican Republic.
The program was hosted by the Superintendencia de Valores de la
Dominican Republic, and co-sponsored by the SEC and the U.S. Agency
for International Development.
The three-day program from Dec. 3 to Dec. 5, 2007, was designed to
share best practices and form partnerships among regulatory and law
enforcement officials, as well as compliance officers and other
industry professionals. The program was attended by 150 participants
from 18 Latin American and Caribbean countries.
The program featured intensive training on effective AML compliance
programs, customer identification, monitoring for suspicious activity,
examining securities market participants for AML compliance, best
practices for coordination between regulators and law enforcement
authorities, tracing and restraining proceeds of fraud, and
appropriate penalties for AML violations. The Conference sessions were
led by three SEC staff with expertise in AML related topics, a
director of Merrill Lynch's Global Monetary and Financial Control
Group, and public and private sector experts from the Dominican
Republic, Colombia, and other participating jurisdictions.
Haivanjoe Ng Cortiñas, Superintendent of Securities of the Dominican
Republic, said, "The Superintendencia is proud to have provided a
forum where delegates from both the public and private sector came
together to share best practices and future strategies for a
regulatory system that will both maximize capital development and
ensure that the securities markets are not a source of finance for
fraud or terror. This exceptional program was characterized by intense
interest of the delegates and was an example of how the public and
private sector can work together to address common problems and goals.
There is tremendous economic benefit available to our region from a
deepening of our securities markets. The regulators and law
enforcement authorities can foster economic growth by working with all
involved to maintain a regulatory system that instills confidence,
transparency, and has the necessary tools and techniques to address
the market abuses that were discussed so thoroughly during this
program."
"The SEC has two key interests in anti-money laundering efforts," said
Rose Romero, who anchored the SEC's participation in the event and is
Regional Director for the SEC's Fort Worth Regional Office. "First,
the SEC is responsible for ensuring that industry participants comply
with their anti-money laundering obligations through our AML
examination program and, where necessary, our enforcement program.
Second, as a law enforcement agency fighting securities fraud, the SEC
is a consumer of financial intelligence. Securities fraud is a
predicate offense to money laundering and we are seeing an increased
law enforcement focus on those who facilitate the secreting away of
illegal proceeds of securities fraud. The effectiveness of regulators
and law enforcement authorities around the world relies substantially
on the industry's ability to recognize and report suspicious activity,
as well as the ability of regulators and law enforcement to access and
share quality financial intelligence on a real time basis. This
Conference formed partnerships and bonds that will endure and help
protect the securities markets in the U.S. and across the region."
Ethiopis Tafara, Director of the SEC's Office of International Affairs
which designs and administers the Commission's technical assistance
program, added, "The SEC will work relentlessly with our partners
around the world to build a formidable shield to protect the
securities markets from money laundering. Our efforts are founded in a
philosophy of collective security for securities regulators, whereby
we view a threat to the integrity of foreign markets as a threat to
our own. The globalization of markets demands no less. In this
connection, I want to thank the Superintendencia de la Valores for
being such a gracious host for this important event and for taking a
leadership role in bringing together so many key persons from the
public and private sectors."
The SEC's technical assistance program provides bilateral and regional
training on enforcement techniques, conducting examinations of market
participants, corporate disclosure, corporate governance, market
development, anti-money laundering, and other topics designed to
strengthen the capacity and cooperation of all securities markets for
the benefit of investors.
For more information on SEC's technical assistance program contact Dr.
Robert M. Fisher or Z. Scott Birdwell at the Office of International
Affairs at 202-551-6690, or by email at OIA@SEC.gov. (Press Rel. 2007-
263)
RULES AND RELATED MATTERS
CONCEPT RELEASE TO SOLICIT PUBLIC COMMENT ON POSSIBLE REVISIONS TO THE
OIL AND GAS RESERVES DISCLOSURE REQUIREMENTS
On December 11, the Commission voted to approve the publication of
a concept release to solicit public comment concerning possible
revisions to the oil and gas reserves disclosure requirements.
These requirements exist in their current form in Item 102 of
Regulation S-K and Rule 4-10 of Regulation S-X under the
Securities Act of 1933 and the Securities Exchange Act of 1934. The
release poses questions on:
"whether the Commission should revise the proved reserves
definition, including the criteria used to assess and measure
proved reserves;
"how new technologies impact the definition of proved reserves
and how changes to the rules can be made to accommodate future
technological innovation;
"whether the rules should permit other categories of resources to
be disclosed; and,
"whether the rules should require third party verification of the
reserves estimates companies report in their filings.
Comments on the release should be submitted to the Commission on or
before 60 days after publication in the Federal Register.
(Rels. 33-8870; 34-56945; File No. S7-29-07 Press Rel. 2007-260)
ENFORCEMENT PROCEEDINGS
IN THE MATTER OF NOVATEK INTERNATIONAL, INC., A/K/A MEDICAL DIAGNOSTIC
PRODUCTS, INC.,
An Administrative Law Judge has issued an Order Making Findings and
Imposing Remedial Sanction by Default (Default Order) in the matter of
Novatek International, Inc., a/k/a Medical Diagnostic Products, Inc.
The Order Instituting Proceedings (OIP) alleged that Novatek, an
issuer of registered securities, repeatedly failed to file required
annual and quarterly reports with the Commission, in violation of
Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act)
and Exchange Act Rules 13a-1 and 13a-13. The Default Order finds the
allegations in the OIP to be true and revokes the registered
securities of Novatek pursuant to Section 12(j) of the Exchange Act.
(Rel. 34-56954; File No. 3-12836)
SEC FILES SETTLED FINANCIAL FRAUD CHARGES AGAINST MICHAEL J. NOLAN,
FORMER CFO OF UNITED RENTALS, INC.
The Commission announced that it filed settled securities fraud
charges against Michael J. Nolan, a former Chief Financial Officer of
United Rentals, Inc. (URI).
The Commission's complaint, filed in the U.S. District Court for the
District of Connecticut, alleges that, from 2000 through 2002, Nolan
engaged in a series of fraudulent transactions undertaken in order to
meet URI's earnings forecasts and analyst expectations. The complaint
alleges that Nolan and others carried out the fraud through a series
of interlocking three-party transactions, structured as "minor sale-
leasebacks," to allow URI to recognize revenue prematurely and to
inflate profits generated from the sales. As a result of the fraud,
URI materially overstated its financial results in its Forms 10-K for
fiscal years 2000 and 2001, and its Forms 10-Q for the periods ended
June 30, 2001, and March 31, 2002, as well as in other public
releases.
The complaint further alleges that shortly after URI announced 2001
and 2002 year-end results, Nolan sold approximately $11 million of URI
stock that he owned, knowing that the company's announced financial
results were materially overstated.
Nolan has consented, without admitting or denying the allegations in
the complaint, to the entry of a Final Judgment, subject to the
Court's approval, permanently enjoining him from violations of Section
17(a) of the Securities Act of 1933, and Sections 10(b) and 13(b)(5)
of the Securities Exchange Act of 1934, and Rules 10b-5, 13b2-1 and
13b2-2 thereunder, and from aiding and abetting violations of Sections
13(a), 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act, and Rules 12b-
20, 13a-1, 13a-11, and 13a-13, thereunder, imposing a permanent
officer and director bar, and ordering disgorgement and prejudgment
interest in an amount to be determined by the Court. Nolan, who was a
Certified Public Accountant at the time of the alleged fraudulent
conduct, has further agreed to a Commission order suspending him from
appearing or practicing before the Commission pursuant to Commission
Rule 102(e).
In a parallel criminal action, the U.S. Attorney's Office for the
District of Connecticut also announced that Nolan has entered a guilty
plea to one count of making false filings with the Securities and
Exchange Commission, in violation of Title 15 United States Code,
Sections 78m(a) and 77ff.
The Commission acknowledges the assistance of the U.S. Attorney's
Office for the District of Connecticut and the New Haven Field Office
of the Federal Bureau of Investigation in the investigation of this
matter.
The Commission's investigation is continuing. [SEC v. Michael J.
Nolan, Civil Action No. 07-CV-1833 (AVC) (D.Ct.)] (LR-20396; AAE Rel.
2757)
SEC CHARGES FORMER CHAIRMAN/CEO OF SCHNITZER STEEL FOR AUTHORIZING
CASH BRIBES TO FOREIGN OFFICIALS
On December 13, the Commission charged the former Chairman and
CEO of Schnitzer Steel Industries, Inc., with violating anti-
bribery provisions of the Foreign Corrupt Practices Act (FCPA) by
approving cash payments and other gifts to officials at Chinese
government-owned steel mills. Without admitting or denying the
allegations, Robert W. Philip of Portland, Oregon agreed to pay
more than $250,000 to settle the SEC's charges.
The Commission's complaint, filed in U.S. district court in
Portland, Oregon, alleges that from at least 1999 through
2004, Philip authorized payment of more than $200,000 in cash
bribes and other gifts to managers at government-owned steel mills
in China to induce them to purchase scrap metal from Portland-
based Schnitzer. The Commission alleges that Schnitzer generated
more than $96 million in revenue, and more than $6.2 million in
profits, from sales to customers who had received the improper
payments. The complaint further alleges that Philip authorized
more than $1.7 million in payments to managers of privately owned
steel mills in both China and South Korea, generating more than $500
million in additional revenue for the company.
The SEC's complaint alleges that Philip violated the anti-bribery,
recordkeeping and internal control provisions of the FCPA
(respectively, Sections 30A and 13(b)(2)(A), 13(b)(2)(B),
13(b)(5), and Rule 13b2-1 thereunder of the Securities Exchange Act of
1934). Without admitting or denying the charges, Philip agreed to
disgorge $169,863.79 in bonuses and pay $16,536.63 in prejudgment
interest and a $75,000 civil penalty, and agreed to an order enjoining
him from future violations of the FCPA.
In October 2006, Schnitzer paid $7.7 million in disgorgement to
settle related charges by the Commission, and paid $7.5 million
in penalties to settle related criminal charges brought by the
U.S. Department of Justice.
The Commission acknowledges the assistance of the Department of
Justice in the Commission's investigation. [SEC v. Robert W. Philip,
Case No. CV 07-1836 (MO) (D. Or.] (LR-20397)
SELF-REGULATORY ORGANIZATIONS
APPROVAL OF PROPOSED RULE CHANGE
The Commission granted approval of a proposed rule change (SR-Phlx-
2007-63) filed by the Philadelphia Stock Exchange under Section
19(b)(1) of the Exchange Act of 1934. The rule change modifies Phlx's
short interest reporting requirements to comply with amendments to
Regulation SHO. Publication is expected in the Federal Register during
the week of December 17. (Rel. 34-56938)
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A proposed rule change filed by The NASDAQ Stock Market to modify fees
for members using the Nasdaq Market Center (SR-NASDAQ-2007-095) 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 17. (Rel. 34-56940)
A proposed rule change (SR-CBOE-2007-133) filed by the Chicago Board
Options Exchange relating to Class Quoting Limits 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 17. (Rel. 34-56943)
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 ON ASSIGNMENT INC, 26651 WEST AGOURA ROAD, CALABASAS, CA, 91302,
8188787900 - 0 ($2,723,282.00) Equity, (File 333-148000 - Dec. 12)
(BR. 11A)
S-1 LANK ACQUISITION CORP, 6 UPPER DOGWOOD LANE, RYE, NY, 10580,
914 925 1298 - 0 ($251,562,500.00) Equity, (File 333-148001 - Dec. 12)
(BR. 02)
S-8 TONGJITANG CHINESE MEDICINES CO,
5/F BLK B, BAIYING MEDICAL DEVICE PARK,
NANHAI AVENUE SOUTH, NANSHAN DISTRICT, SHENZHEN, GUANGDONG, F4, 518067,
(86-755) 2667-0969 - 0 ($30,633,907.00) ADRs/ADSs, (File 333-148002 -
Dec. 12) (BR. 01C)
S-8 DIVERSINET CORP, 2225 SHEPPARD AVE EAST STE 1801,
TORONTO CANADA M2J 5C2, ONTARIO, A6, 00000, 4167562324 -
1,000,000 ($610,000.00) Equity, (File 333-148003 - Dec. 12) (BR. 03B)
S-8 BONTAN CORP INC, 47 AVENUE ROAD, SUITE 200, TORONTO, A6, M5R 2G3,
416-929-1806 - 1,000,000 ($210,000.00) Equity, (File 333-148004 -
Dec. 12) (BR. 04B)
SB-2 Sparking Events, Inc., 112 NORTH CURRIE STREET, CARSON CITY, NV, 89703,
775-321-8299 - 4,000,000 ($80,000.00) Equity, (File 333-148005 -
Dec. 12) (BR. 05)
F-6 DAI NIPPON PRINTING CO LTD, 16 WALL ST, C/O BANK OF NEW YORK, NEW YORK,
NY, 10015, 2122502500 - 0 ($3,750,000.00) ADRs/ADSs, (File 333-148006 -
Dec. 12) (BR. DN)
S-8 STEIN MART INC, 1200 RIVERPLACE BLVD, JACKSONVILLE, FL, 32207,
9043461500 - 3,000,000 ($14,430,000.00) Equity, (File 333-148007 -
Dec. 12) (BR. 09A)
N-2 Nuveen Municipal High Income Opportunity Fund 2, 333 WEST WACKER DRIVE,
CHICAGO, IL, 60606, 312-917-8146 - 0 ($1,000,000.00) Equity,
(File 333-148009 - Dec. 12) (BR. 18)
S-8 Sara Lee Corp, 3500 LACEY ROAD, DOWNERS GROVE, IL, 60515, 6305986000 -
0 ($14,000,000.00) Equity, (File 333-148011 - Dec. 12) (BR. 04A)
S-1 National Energy Resources Acquisition CO, 1700 BROADWAY, SUITE 2020,
DENVER, CO, 80290, (720) 407-7062 - 0 ($115,000,000.00) Other,
(File 333-148016 - Dec. 12) (BR. 03)
F-6 GLAXOSMITHKLINE PLC, 980 GREAT WEST ROAD, BRENTFORD MIDDLESEX, X0,
TW8 9GS, 011442080475000 - 500,000,000 ($25,000,000.00) ADRs/ADSs,
(File 333-148017 - Dec. 12) (BR. 01A)
S-8 Jade Art Group Inc., 999 3RD AVENUE, SUITE 3800, SEATTLE, WA, 98104,
206-224-3725 - 5,000,000 ($1,500,000.00) Equity, (File 333-148018 -
Dec. 12) (BR. 08A)
S-8 ADS MEDIA GROUP INC, 12758 CIMARRON PATH, SUITE B-128, SAN ANTONIO, TX,
78249, 2106556613 - 4,357,798 ($1,307,339.00) Equity,
(File 333-148020 - Dec. 12) (BR. 11C)
S-8 CONTINAN COMMUNICATIONS, INC., 4640 ADMIRALTY WAY #500, MARINA DEL REY,
CA, 90292, 310-496-5747 - 10,000,000 ($145,000.00) Equity,
(File 333-148021 - Dec. 12) (BR. 04C)
S-8 AMERIRESOURCE TECHNOLOGIES INC, 3440 E. RUSSELL ROAD, SUITE 217,
LAS VEGAS, NV, 89120, 702-214-4245 -
110,000,000 ($1,540,000.00) Equity, (File 333-148022 - Dec. 12)
(BR. 02A)
S-3ASR POTASH CORP OF SASKATCHEWAN INC, 122 1ST AVE S, STE 500, SASKATOON,
SASKATCHEWAN CANADA, A9, S7K 7G3, 3069338500 - 0 ($0.00) Debt,
(File 333-148023 - Dec. 12) (BR. 05A)
S-8 METLIFE INC, 200 PARK AVENUE, NEW YORK, NY, 10166, 2125782211 -
0 ($63,895,000.00) Equity, (File 333-148024 - Dec. 12) (BR. 01B)
S-8 Grant Life Sciences, Inc., 1787 EAST FT. UNION BLVD., SUITE 202,
SALT LAKE CITY, UT, 84121, (801) 261-8736 - 0 ($78,000.00) Equity,
(File 333-148025 - Dec. 12) (BR. 01A)
S-4 FIRST DEFIANCE FINANCIAL CORP, 601 CLINTON ST, DEFIANCE, OH, 43512,
4107825015 - 1,031,380 ($21,848,506.00) Other, (File 333-148026 -
Dec. 12) (BR. 07B)
S-8 Virtual Radiologic CORP, 5995 OPUS PARKWAY, SUITE 200, MINNETONKA, MN,
55343, 952-392-1100 - 2,920,916 ($34,803,481.00) Equity,
(File 333-148027 - Dec. 12) (BR. 01B)
S-8 DISCOVERY LABORATORIES INC /DE/, 2600 KELLY ROAD, SUITE 100,
WARRINGTON, PA, 18976, 2154889300 - 8,500,000 ($22,525,000.00) Equity,
(File 333-148028 - Dec. 12) (BR. 01A)
S-3ASR AFFILIATED MANAGERS GROUP INC, 600 HALE STREET, /, PRIDES CROSSING, MA,
01965, 6177473300 - 0 ($0.00) Debt, (File 333-148029 - Dec. 12)
(BR. 06B)
S-3ASR AFFILIATED MANAGERS GROUP INC, 600 HALE STREET, /, PRIDES CROSSING, MA,
01965, 6177473300 - 0 ($462,600,000.00) Equity, (File 333-148030 -
Dec. 12) (BR. 06B)
S-3 Network Communications, Inc., 2305 NEWPOINT PARKWAY, LAWRENCEVILLE, GA,
30043, (770) 962 7220 - 0 ($30,000,000.00) Non-Convertible Debt,
(File 333-148031 - Dec. 12) (BR. 05B)
S-8 CACI INTERNATIONAL INC /DE/, 1100 N GLEBE ST, ARLINGTON, VA, 22201,
7038417800 - 0 ($92,200,000.00) Equity, (File 333-148032 - Dec. 12)
(BR. 03A)
S-3 DigitalFX International Inc, 3035 EAST PATRICK LANE, SUITE 9,
LAS VEGAS, NV, 89120, 7029389271 - 4,387,504 ($6,844,506.24) Equity,
(File 333-148033 - Dec. 12) (BR. 03C)
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
ABIOMED INC DE 7.01,9.01 12/12/07
ABM INDUSTRIES INC /DE/ DE 2.02,8.01,9.01 12/11/07
ACCELLENT INC 5.02 12/11/07
ADC TELECOMMUNICATIONS INC MN 2.02,7.01,9.01 12/12/07
Advanced Life Sciences Holdings, Inc. 1.01,3.02,9.01 12/10/07
ADVANCED MICRO DEVICES INC DE 2.06 12/06/07
ADVANTA CORP DE 5.02 12/06/07
AEI INCOME & GROWTH FUND 24 LLC DE 2.01,9.01 12/06/07
AGILENT TECHNOLOGIES INC DE 1.01,9.01 12/07/07
AGILYSYS INC OH 2.02,7.01,9.01 12/12/07
Aircastle LTD D0 8.01,9.01 12/11/07
ALABAMA POWER CO AL 8.01,9.01 12/04/07
ALLEGHENY ENERGY, INC MD 5.03,9.01 12/06/07
ALLIANCEBERNSTEIN HOLDING L.P. DE 7.01,9.01 12/11/07
ALLIANCEBERNSTEIN L.P. DE 7.01,9.01 12/11/07
ALLIED HEALTHCARE INTERNATIONAL INC NY 2.02,9.01 12/12/07
ALPHA PRO TECH LTD DE 8.01,9.01 12/11/07
Alphatec Holdings, Inc. DE 8.01 12/11/07
AMCON DISTRIBUTING CO DE 3.02,5.02,9.01 12/06/07
AMERICAN ITALIAN PASTA CO DE 5.02,9.01 12/06/07
AMERICAN MEDICAL TECHNOLOGIES INC/DE DE 8.01,9.01 11/01/07
AMERICAN PACIFIC CORP DE 2.02,9.01 12/12/07
Amiworld, Inc. NV 2.01,3.02,9.01 12/10/07
AMTECH SYSTEMS INC AZ 5.02 12/06/07
ANGELICA CORP /NEW/ MO 7.01,9.01 12/12/07
ANTHRACITE CAPITAL INC MD 5.03,9.01 12/11/07
Approach Resources Inc DE 2.02,9.01 12/12/07
ARENA PHARMACEUTICALS INC DE 5.02 12/11/07
Argo Group International Holdings, Lt 5.02,9.01 12/07/07
ARKADOS GROUP, INC. DE 1.01,9.01 12/12/07
ARROW ELECTRONICS INC NY 8.01,9.01 12/11/07
ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 12/11/07
ASSURANT INC 8.01,9.01 12/12/07
ATLANTIC COAST FEDERAL CORP X1 8.01,9.01 12/07/07
Atlantic Coast Financial CORP MD 8.01,9.01 12/07/07
ATLAS AIR WORLDWIDE HOLDINGS INC DE 8.01 12/12/07
AVATECH SOLUTIONS INC DE 7.01,9.01 12/12/07
BABYUNIVERSE, INC. FL 4.01,9.01 12/04/07 AMEND
Banc of America Mortgage 2007-4 Trust DE 8.01,9.01 11/19/07
BANK OF AMERICA CORP /DE/ DE 8.01,9.01 12/12/07
BANK OF FLORIDA CORP FL 5.02 12/12/07
BANK OF THE OZARKS INC AR 5.03,9.01 12/11/07
BARNWELL INDUSTRIES INC DE 5.03,9.01 12/12/07
BECKMAN COULTER INC DE 5.03,9.01 12/06/07
BECKMAN COULTER INC DE 5.02,8.01,9.01 12/06/07
BEHRINGER HARVARD REIT I INC MD 1.01,2.01,7.01,9.01 12/11/07
BENACQUISTA GALLERIES INC NV 5.01,5.02,9.01 12/12/07
BERKSHIRE HILLS BANCORP INC 5.02 12/10/07
BERRY PETROLEUM CO DE 5.02,9.01 12/11/07
BJ SERVICES CO DE 5.02,5.03,9.01 12/06/07
BLONDER TONGUE LABORATORIES INC DE 3.01,7.01,8.01,9.01 12/06/07
BOWLIN TRAVEL CENTERS INC NV 2.02,9.01 12/12/07
BREK ENERGY CORP NV 8.01 12/12/07
BREK ENERGY CORP NV 9.01 12/12/07 AMEND
BROOKSIDE TECHNOLOGY HOLDINGS, CORP. TX 9.01 09/26/07 AMEND
BUFFALO WILD WINGS INC MN 5.02 12/06/07
BURLINGTON NORTHERN SANTA FE CORP DE 5.03 12/11/07
BUTLER INTERNATIONAL INC /MD/ MD 1.01,9.01 12/07/07
CALIFORNIA MICRO DEVICES CORP CA 5.03,9.01 12/07/07
CALLISTO PHARMACEUTICALS INC DE 5.02 12/10/07
CAPITAL ONE FINANCIAL CORP DE 7.01,9.01 12/11/07
CAPITAL ONE FINANCIAL CORP DE 7.01,9.01 12/11/07
CAPITAL ONE FINANCIAL CORP DE 7.01 12/12/07
CAPITAL ONE MASTER TRUST NY 8.01,9.01 12/11/07
Capitol Acquisition Corp DE 8.01,9.01 12/12/07
CapLease, Inc. 5.02,9.01 12/12/07
CASCADE CORP OR 2.02,9.01 12/06/07
CEDAR SHOPPING CENTERS INC MD 2.01,9.01 12/06/07
CENTENE CORP 2.06,9.01 12/06/07
CHARYS HOLDING CO INC 4.01,9.01 11/28/07 AMEND
CHILDRENS INTERNET INC NV 1.01,9.01 12/06/07
CHILDRENS PLACE RETAIL STORES INC 5.02,7.01,9.01 12/06/07
CHINA SHEN ZHOU MINING & RESOURCES, I NV 1.01,9.01 12/10/07
CHINA-BIOTICS, INC DE 1.01,3.02,8.01,9.01 11/30/07
CIBER INC DE 5.02,9.01 12/12/07
Citi Trends Inc 5.02,9.01 12/11/07
CITIZENS REPUBLIC BANCORP, INC. MI 2.05 12/10/07
CITRIX SYSTEMS INC DE 5.03,8.01,9.01 12/06/07
CLEAR CHANNEL COMMUNICATIONS INC TX 8.01,9.01 12/12/07
COBRA ELECTRONICS CORP DE 2.02,2.05,2.06,5.03,9.01 12/06/07
COLDWATER CREEK INC DE 5.03,9.01 12/08/07
COLUMBIA LABORATORIES INC DE 4.01 12/10/07
COMCAM INC DE 7.01,8.01,9.01 12/07/07
COMCAM INTERNATIONAL INC DE 7.01,8.01,9.01 12/07/07
COMPLIANCE SYSTEMS CORP 1.01,8.01,9.01 12/12/07
COMPUTER SCIENCES CORP NV 1.01 12/10/07
CONGOLEUM CORP DE 5.03,9.01 12/10/07
Constant Contact, Inc. DE 5.02 12/06/07
CONSTELLATION BRANDS, INC. DE 3.03,5.02,5.03,9.01 12/06/07
COPART INC CA 5.02,9.01 12/06/07
CORNERSTONE MINISTRIES INVESTMENTS IN GA 5.02 12/06/07
COST U LESS INC WA 8.01,9.01 12/10/07
COVANTA HOLDING CORP DE 1.01,5.02,9.01 12/06/07
COVENANT TRANSPORTATION GROUP INC NV 7.01,9.01 12/12/07
CRANE CO /DE/ DE 8.01,9.01 12/12/07
CREDO PETROLEUM CORP CO 8.01,9.01 12/11/07
CSK AUTO CORP DE 7.01 12/12/07
CURAGEN CORP DE 8.01 12/10/07
CYANOTECH CORP NV 8.01 12/12/07
Dekania Corp. DE 4.01,9.01 12/10/07
DELPHI CORP DE 1.01,9.01 12/10/07 AMEND
DEPOMED INC CA 5.02 12/10/07
DEVELOPERS DIVERSIFIED REALTY CORP OH 1.01,2.03,9.01 12/07/07
Diamond Foods Inc DE 7.01,9.01 12/12/07
Disaboom, Inc. CO 3.02,8.01,9.01 12/10/07
DISCOVERY LABORATORIES INC /DE/ DE 5.03,8.01,9.01 12/11/07
DOLLAR THRIFTY AUTOMOTIVE GROUP INC DE 5.03,9.01 12/07/07
Dorman Products, Inc. PA 1.01,2.03,9.01 12/12/07
DRI CORP NC 8.01 12/12/07
DUKE REALTY CORP IN 8.01,9.01 12/06/07
DUKE REALTY LIMITED PARTNERSHIP/ IN 8.01,9.01 12/06/07
DUPONT E I DE NEMOURS & CO DE 5.04,9.01 12/05/07 AMEND
DYNEGY INC. DE 2.02,9.01 12/12/07
EAU TECHNOLOGIES, INC. DE 5.02,9.01 12/06/07
Echo Healthcare Acquisition Corp. DE 8.01,9.01 12/12/07
EconoShare, Inc. 2.01,4.01,5.01,5.02,5.03,5.06, 12/11/07
9.01
EDGEWATER TECHNOLOGY INC/DE/ DE 1.01,2.01,3.02,7.01,9.01 12/10/07
EDO CORP NY 8.01,9.01 12/12/07
EDWARDS LIFESCIENCES CORP DE 1.01 12/06/07
El Paso Pipeline Partners, L.P. DE 7.01,9.01 12/11/07
EMAGEON INC 5.02,9.01 12/06/07
ENDEAVOUR INTERNATIONAL CORP NV 7.01,9.01 12/12/07
Energetics Holdings, Inc. DE 4.01,9.01 12/05/07
Energy Future Holdings Corp /TX/ TX 1.01,1.02,2.03,9.01 12/06/07
ENERNOC INC 1.01,9.01 12/10/07
ENPRO INDUSTRIES, INC NC 5.03,9.01 12/12/07
ENTREMED INC DE 5.03,9.01 12/06/07
ERIE INDEMNITY CO PA 8.01,9.01 12/12/07
ESTERLINE TECHNOLOGIES CORP DE 5.02 12/06/07
EVCI Career Colleges Holding Corp DE 1.02,5.02 12/06/07
EXACTECH INC FL 7.01,8.01,9.01 12/12/07
EXAR CORP DE 5.02,5.03,9.01 12/06/07
EXELIXIS INC DE 5.02,9.01 12/06/07
ExlService Holdings, Inc. DE 5.02,9.01 12/06/07
EXPRESSJET HOLDINGS INC DE 8.01,9.01 12/11/07
EXXON MOBIL CORP NJ 5.02 12/07/07
FERRO CORP OH 7.01,9.01 12/11/07
FERRO CORP OH 2.02,2.05,9.01 12/06/07
First Federal of Northern Michigan Ba 8.01,9.01 12/11/07
FIRST MID ILLINOIS BANCSHARES INC DE 8.01,9.01 12/11/07
FIRST MID ILLINOIS BANCSHARES INC DE 1.01,9.01 12/11/07
FIRST WEST VIRGINIA BANCORP INC WV 5.03,9.01 12/11/07
FISHER COMMUNICATIONS INC WA 2.01 12/10/07
FLOW INTERNATIONAL CORP WA 8.01,9.01 12/06/07
FOLDERA, INC 5.02,9.01 12/06/07
Fox Chase Bancorp Inc X1 8.01,9.01 12/12/07
FPIC INSURANCE GROUP INC FL 5.02,9.01 12/07/07
FREDERICK COUNTY BANCORP INC MD 5.02,9.01 12/12/07
FUEGO ENTERTAINMENT, INC. NV 8.01,9.01 12/05/07
FULLER H B CO MN 5.02,9.01 12/06/07
GENCO SHIPPING & TRADING LTD 8.01 12/11/07
GENCO SHIPPING & TRADING LTD 8.01 12/12/07 AMEND
GENOPTIX INC 2.02,9.01 12/12/07
GERON CORP DE 8.01,9.01 12/12/07
GLOBAL GREEN SOLUTIONS INC. 7.01,9.01 12/12/07
Golden West Brewing Company, Inc. CA 7.01,9.01 12/12/07
GRANITE CITY FOOD & BREWERY LTD MN 1.01,2.03,9.01 12/06/07
GTC BIOTHERAPEUTICS INC MA 5.02,9.01 12/06/07
HARRAHS ENTERTAINMENT INC DE 8.01,9.01 12/11/07
Harris Stratex Networks, Inc. DE 5.02,9.01 12/11/07
HARTFORD LIFE INSURANCE CO CT 9.01 12/12/07
HEALTH BENEFITS DIRECT CORP DE 9.01 09/21/07 AMEND
HERITAGE COMMERCE CORP CA 4.02 12/06/07
HOME FEDERAL BANCORP INC 8.01,9.01 12/12/07
HOT TOPIC INC /CA/ CA 5.02,9.01 12/10/07
HUDSON VALLEY HOLDING CORP NY 5.02 12/07/07
HURCO COMPANIES INC IN 1.01,1.02,2.03,9.01 12/12/07
IBIS TECHNOLOGY CORP MA 3.01,9.01 12/10/07
ICF CORP DE 4.01 12/10/07
IMAGE ENTERTAINMENT INC DE 8.01,9.01 12/10/07
IMPART MEDIA GROUP INC NV 2.04,3.03,9.01 12/01/07
Industrial Enterprises of America, In NV 5.03 12/07/07
Industrial Enterprises of America, In NV 8.01 11/14/07
INNOVATIVE CARD TECHNOLOGIES INC DE 8.01 12/12/07
INTEGRYS ENERGY GROUP, INC. WI 5.02,5.03,9.01 12/06/07
INTERGROUP CORP DE 5.03 12/10/07
INTERNATIONAL LOTTERY & TOTALIZATOR S CA 5.02 12/10/07
INTERNATIONAL SPEEDWAY CORP FL 7.01 12/11/07
INTERNATIONAL SPEEDWAY CORP FL 7.01,8.01 12/12/07
INTERSECTIONS INC DE 5.02 12/11/07
Invesco Ltd. D0 8.01,9.01 12/04/07
Iptimize, Inc. DE 8.01 11/15/07
IRVINE SENSORS CORP/DE/ DE 3.01,9.01 12/06/07
J C PENNEY CO INC DE 5.02,9.01 12/12/07
J P MORGAN CHASE & CO DE 9.01 12/10/07
JOURNAL COMMUNICATIONS INC 5.02,9.01 12/12/07
KAANAPALI LAND LLC 8.01,9.01 11/15/07
KAISER ALUMINUM CORP DE 8.01,9.01 12/11/07
KENTUCKY CENTRAL LIFE INSURANCE CO KY 2.01 12/10/07
KINDER MORGAN ENERGY PARTNERS L P DE 7.01 12/12/07
KINDER MORGAN MANAGEMENT LLC DE 7.01 12/12/07
KRAFT FOODS INC VA 8.01,9.01 12/12/07
L 3 COMMUNICATIONS HOLDINGS INC DE 8.01,9.01 12/11/07
LADISH CO INC WI 8.01,9.01 12/12/07
LAND O LAKES INC 8.01 12/12/07
LCC INTERNATIONAL INC DE 4.01,5.02,8.01,9.01 12/07/07
LENNOX INTERNATIONAL INC DE 5.02,9.01 12/07/07
LENNOX INTERNATIONAL INC DE 7.01 12/12/07
LEVI STRAUSS & CO DE 8.01 12/06/07
Liberty Acquisition Holdings Corp. DE 1.01,5.03,8.01,9.01 12/06/07
LIBERTY PROPERTY TRUST MD 5.03,9.01 12/06/07
LifeCare Holdings, Inc. DE 1.01,9.01 12/06/07
LIGAND PHARMACEUTICALS INC DE 2.05 12/11/07
LITFUNDING CORP NV 5.03,9.01 12/06/07
MAGELLAN HEALTH SERVICES INC DE 8.01,9.01 12/12/07
MAGUIRE PROPERTIES INC MD 5.03,8.01,9.01 12/11/07
MANITOWOC CO INC WI 7.01,9.01 12/11/07
MARTEK BIOSCIENCES CORP DE 2.02,9.01 12/12/07
MARVELL TECHNOLOGY GROUP LTD D0 5.02 12/06/07
MATRITECH INC/DE/ DE 1.01,5.02,9.01 12/07/07
MEDCO HEALTH SOLUTIONS INC DE 5.02 11/20/07 AMEND
MEDICIS PHARMACEUTICAL CORP DE 8.01,9.01 12/11/07
MENTOR GRAPHICS CORP OR 5.02 12/06/07
MERRILL LYNCH & CO INC DE 8.01,9.01 12/06/07
MERRILL LYNCH & CO INC DE 8.01,9.01 12/06/07
META FINANCIAL GROUP INC DE 2.02,9.01 12/07/07
METLIFE INC DE 1.01,2.03,3.03,8.01,9.01 12/12/07
MEXORO MINERALS LTD CO 4.01,9.01 12/06/07
Mezey Howarth Racing Stables, Inc. NV 8.01 12/11/07
MICRO COMPONENT TECHNOLOGY INC MN 1.01,3.02,9.01 12/06/07
MICRON TECHNOLOGY INC DE 1.01 12/12/07
MIPS TECHNOLOGIES INC DE 5.02,9.01 12/06/07
MOLINA HEALTHCARE INC DE 1.01 12/06/07
MULTI FINELINE ELECTRONIX INC 8.01,9.01 12/12/07
NASDAQ STOCK MARKET INC DE 8.01,9.01 12/12/07
NATIONAL FUEL GAS CO NJ 8.01,9.01 12/12/07
NATIONAL FUEL GAS CO NJ 8.01,9.01 12/12/07
NATURADE INC DE 5.03,9.01 11/26/07
NATURAL GAS SERVICES GROUP INC 7.01,9.01 12/06/07
NAVTEQ CORP DE 8.01,9.01 12/12/07
NCI BUILDING SYSTEMS INC DE 5.02,5.03,8.01,9.01 12/06/07
NEKTAR THERAPEUTICS DE 5.02,5.03,9.01 12/06/07
NETWORK EQUIPMENT TECHNOLOGIES INC DE 7.01,9.01 12/11/07
NEXTEST SYSTEMS CORP DE 1.01,9.01 12/11/07
Nilam Resources Inc. NV 1.01,5.02 11/07/07
NISOURCE INC/DE DE 1.01,9.01 12/12/07
NORTEL NETWORKS CORP 8.01,9.01 12/12/07
NORTEL NETWORKS LTD 8.01,9.01 12/12/07
NORTH AMERICAN SCIENTIFIC INC 1.01,2.03,3.02,9.01 12/07/07
North Shore Acquisition Corp. DE 8.01,9.01 12/07/07
NOVELL INC DE 7.01,9.01 10/31/07
NUCLEAR SOLUTIONS INC NV 3.02 12/07/07
NUVELO INC DE 5.03,9.01 12/06/07
OFFICE DEPOT INC DE 7.01,9.01 12/12/07
OLD DOMINION FREIGHT LINE INC/VA VA 5.03,9.01 12/06/07
OLD POINT FINANCIAL CORP VA 5.02,9.01 12/12/07
Omega Flex, Inc. PA 8.01,9.01 12/12/07
OMNI ENERGY SERVICES CORP LA 5.03,9.01 12/10/07
Omrix Biopharmaceuticals, Inc. DE 5.03 12/10/07
Oncothyreon Inc. DE 2.01,8.01,9.01 12/12/07
ONE LIBERTY PROPERTIES INC MD 5.02,5.03,9.01 12/10/07
Onstream Media CORP FL 5.02,9.01 12/06/07
Orange 21 Inc. DE 1.01,2.03,9.01 12/07/07
ORASURE TECHNOLOGIES INC DE 5.03,9.01 12/06/07
PACIFIC GAS & ELECTRIC CO CA 8.01 12/12/07
PARTICLE DRILLING TECHNOLOGIES INC/NV NV 2.02,9.01 12/11/07
PATRICK INDUSTRIES INC IN 9.01 05/18/07 AMEND
PATRIOT TRANSPORTATION HOLDING INC FL 1.01,2.02,5.02,5.03 12/11/07 AMEND
PAULSON CAPITAL CORP OR 5.02,9.01 11/12/07
PC TEL INC DE 1.01,8.01,9.01 12/10/07
PEP BOYS MANNY MOE & JACK PA 5.02,9.01 12/12/07
PG&E CORP CA 8.01 12/12/07
PHH CORP MD 8.01,9.01 12/12/07
PNC FINANCIAL SERVICES GROUP INC PA 7.01 12/12/07
PNC FINANCIAL SERVICES GROUP INC PA 2.02,9.01 12/12/07
POPE RESOURCES LTD PARTNERSHIP DE 8.01,9.01 12/12/07
PORTLAND GENERAL ELECTRIC CO /OR/ OR 2.03 12/12/07
POWERSECURE INTERNATIONAL, INC. DE 5.02,9.01 12/10/07
PRAXAIR INC DE 5.02,5.03,9.01 12/11/07
Pricester.Com, Inc. 5.02 10/23/07
PRINCIPAL LIFE INSURANCE CO IA 9.01 12/12/07
PRINCIPAL LIFE INSURANCE CO IA 9.01 12/12/07
PRINCIPAL LIFE INSURANCE CO IA 9.01 12/12/07
PRINCIPAL LIFE INSURANCE CO IA 9.01 12/12/07
PRIVATEBANCORP, INC DE 3.02,9.01 12/11/07
Profile Bancorp Inc X1 8.01,9.01 12/11/07
PROGRESSIVE CORP/OH/ OH 7.01,9.01 12/12/07
PROLIANCE INTERNATIONAL, INC. DE 5.02,5.03,9.01 12/06/07
PROSPERO MINERALS CORP. NV 8.01 12/12/07
PROVECTUS PHARMACEUTICALS INC NV 5.03 12/11/07
PROVIDENCE SERVICE CORP DE 1.01,2.01,2.03,9.01 12/06/07
PRUDENTIAL FINANCIAL INC NJ 2.03,3.02,8.01,9.01 12/12/07
QC Holdings, Inc. KS 1.01,8.01,9.01 12/07/07
QUADRAMED CORP DE 8.01,9.01 12/12/07
RCM TECHNOLOGIES INC NV 5.02 12/12/07
RedRoller Holdings, Inc. DE 7.01,9.01 12/12/07
Regency Energy Partners LP DE 1.01,3.02,7.01,8.01,9.01 12/11/07
REGENT TECHNOLOGIES INC CO 1.01,9.01 11/26/07
REHABCARE GROUP INC DE 1.01,9.01 12/12/07
RESOURCE AMERICA INC DE 2.02,9.01 12/11/07
Rockville Financial Inc. 5.03,9.01 12/12/07
RONSON CORP NJ 3.01,8.01,9.01 12/06/07
Security Capital Assurance Ltd D0 8.01,9.01 12/12/07
SELECT COMFORT CORP 7.01,9.01 12/12/07
SGX PHARMACEUTICALS, INC. DE 1.01,9.01 12/07/07
Shea Development Corp. 7.01,9.01 12/12/07
SIGMATRON INTERNATIONAL INC DE 2.02 12/12/07
SILICON GRAPHICS INC DE 5.02 12/06/07
SJW CORP CA 5.02 12/06/07
SKY PETROLEUM, INC. NV 4.01 12/04/07
SLM CORP DE 5.02,8.01 11/29/07
SOUTHERN CO DE 5.02 12/07/07
SOUTHSIDE BANCSHARES INC TX 5.03,9.01 12/06/07
ST MARY LAND & EXPLORATION CO DE 1.01,9.01 12/11/07
STANLEY WORKS CT 8.01,9.01 12/12/07
STANLEY WORKS CT 5.02 12/11/07 AMEND
STAPLES INC DE 5.02 12/11/07
STERLING GOLD CORP NV 8.01 12/12/07
STONE ENERGY CORP DE 5.02,8.01,9.01 12/07/07
STREAMLINE HEALTH SOLUTIONS INC. DE 4.01,9.01 11/13/07 AMEND
SUNOCO INC PA 7.01,9.01 12/12/07
SUPERIOR ENERGY SERVICES INC DE 5.02 12/06/07
SUPERVALU INC DE 5.03 12/06/07
SUSQUEHANNA BANCSHARES INC PA 9.01 12/12/07
SWMX, INC. DE 5.02 12/06/07
SYMYX TECHNOLOGIES INC DE 5.03,9.01 12/10/07
Synthenol Inc FL 2.03 12/07/07
TACTICAL AIR DEFENSE SERVICES, INC. NV 1.01,5.02,9.01 12/07/07
TANDY BRANDS ACCESSORIES INC DE 5.02,9.01 12/10/07
TETON ENERGY CORP DE 5.02,9.01 12/12/07
TRANSTECH INDUSTRIES INC DE 8.01 12/10/07
Triton Distribution Systems, Inc. CO 4.02 11/28/07
U S GOLD CORP CO 7.01,9.01 12/12/07
ULTRA CLEAN HOLDINGS INC 5.02,9.01 12/09/07
UNITED GUARDIAN INC DE 2.01,8.01 12/10/07
UNITED NATURAL FOODS INC DE 5.02,7.01,9.01 12/06/07
UNITED ONLINE INC DE 8.01,9.01 12/12/07
UNIVERSAL TRAVEL GROUP NV 5.02,9.01 12/07/07
US Energy Initiatives CORP GA 8.01,9.01 12/06/07
Utilicraft Aerospace Industries, Inc. NV 2.01,9.01 12/12/07
V F CORP PA 5.02,5.03,9.01 12/10/07
VAALCO ENERGY INC /DE/ DE 5.03,9.01 12/10/07
VERTICAL COMPUTER SYSTEMS INC DE 4.01,9.01 12/11/07
VERTICALNET INC PA 5.03,9.01 12/11/07
Vestin Realty Mortgage I, Inc. 8.01,9.01 12/11/07
Vestin Realty Mortgage II, Inc 8.01,9.01 12/11/07
VFINANCE INC DE 4.02 12/11/07
VICON INDUSTRIES INC /NY/ NY 2.02,5.02,9.01 09/30/07
VILLAGEEDOCS INC CA 1.01,2.01,8.01,9.01 12/10/07
VILLAGEEDOCS INC CA 1.01,2.01,2.05,2.06,8.01,9.01 12/07/07
VION PHARMACEUTICALS INC DE 8.01,9.01 12/10/07
VIPER POWERSPORTS INC 5.02 12/07/07
VIRAGE LOGIC CORP CA 8.01 12/07/07
VIVUS INC CA 8.01,9.01 12/07/07
VMWARE, INC. DE 5.02 12/10/07 AMEND
VOIP INC 5.02,8.01,9.01 10/17/07
WACHOVIA CORP NEW NC 7.01,8.01,9.01 12/12/07
WEBSTER FINANCIAL CORP DE 7.01 12/12/07
Wells Fargo Mortgage Backed Securitie DE 8.01,9.01 11/27/07
Wells Fargo Mortgage Backed Securitie DE 8.01,9.01 11/29/07
WELLS REAL ESTATE FUND II GA 7.01,9.01 12/12/07
WELLS REAL ESTATE FUND II-OW GA 7.01,9.01 12/12/07
WESTELL TECHNOLOGIES INC DE 8.01 12/12/07
WESTERN SIZZLIN CORP DE 7.01,9.01 12/10/07
Willdan Group, Inc. DE 8.01 12/11/07
WILLIAMS CONTROLS INC DE 2.02,9.01 12/12/07
Wonder Auto Technology, Inc NV 1.01,3.02,8.01,9.01 12/10/07
WORLD AM, INC. 1.01,9.01 11/01/07
WRIGHT MEDICAL GROUP INC DE 8.01,9.01 12/11/07
WYNDHAM WORLDWIDE CORP DE 7.01,9.01 12/11/07
Xenonics Holdings, Inc. NV 2.02,9.01 12/11/07
ZENITH NATIONAL INSURANCE CORP DE 5.02 12/06/07
ZILA INC DE 2.02,9.01 12/10/07
http://www.sec.gov/news/digest/2007/dig121307.htm
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