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SEC NEWS DIGEST
Issue 2007-141 July 24, 2007
COMMISSION ANNOUNCEMENTS
SEC STAFF PROVIDE INFORMATION TO ASSIST NEWLY-REGISTERED INVESTMENT
ADVISERS
Securities and Exchange Commission staff announced that they will send
all newly registered advisers a "welcome letter," along with a plain
English summary of the key provisions of the Investment Advisers Act
to help them understand their compliance responsibilities. The goal is
to help educate newly registered advisers about their compliance
obligations that promote investor protection.
The SEC staff will send the "welcome letter" primarily by email, and
has also posted it to the SEC's Web site at
http://www.sec.gov/about/offices/ocie/iainfo.htm. In addition to
providing the plain English summary of the Investment Advisers Act,
the letter also introduces the adviser to the local office of the SEC,
provides information about the resources available on the SEC's Web
site, and provides information about the SEC's CCOutreach Program to
help chief compliance officers implement effective compliance
programs. Finally, it encourages the adviser to communicate with SEC
staff with any questions.
Andrew J. Donohue, Director of the SEC's Division of Investment
Management, said, "The new adviser 'welcome letter' explains the key
provisions of the Advisers Act in a straightforward, plain English
manner. It will benefit advisers, and ultimately investors, because it
provides important and helpful information to newly registered firms,
early in their operations."
Lori Richards, Director of the SEC's Office of Compliance Inspections
and Examinations, said, "Our experience in examining newly registered
advisers is that they will appreciate having more information about
their compliance obligations under the Advisers Act. Understanding
these provisions is the first step in healthy compliance for the
protection of investors. Along with our CCOutreach Program,
ComplianceAlerts, and other efforts, this is one further step in our
efforts to help firms meet their compliance responsibilities."
Since January of 2005, approximately 3,200 advisers have registered
with the SEC. Newly-registered firms now comprise approximately 30% of
the total registered investment adviser population of about 10,500
advisers. The number of new registrants is expected to increase.
Historically, each year the SEC has received over 1,000 initial
registration filings from investment advisers. (Press Rel. 2007-140)
COMMISSION MEETINGS
CLOSED MEETING - TUESDAY, JULY 31, 2007 - 2:00 P.M.
The subject matter of the closed meeting scheduled for Tuesday, July
31, will be: Formal orders of investigations; Institution and
settlement of injunctive actions; Institution and settlement of
administrative proceedings of an enforcement nature; Resolution of
litigation claims; and Other matters related to enforcement
proceedings.
CLOSED MEETING - THURSDAY, AUGUST 2, 2007 - 2:00 P.M.
The subject matter of the closed meeting scheduled for Thursday, Aug.
2, 2007, will be: Institution and settlement of injunctive actions;
Institution and settlement of administrative proceedings of an
enforcement nature; Resolution of litigation claims; and Other matters
related to enforcement proceedings.
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.
ENFORCEMENT PROCEEDINGS
IN THE MATTER OF ROBERT CASEY HALL
On July 23, the Commission issued an Order Instituting Administrative
Proceedings Pursuant to Section 15(b) of the Securities and Exchange
Act of 1934, Making Findings and Imposing Remedial Sanctions (Order)
against Robert Casey Hall. The Order finds that on July 2, 2007, a
judgment was entered by consent against Hall, permanently enjoining
him from future violations of Sections 5(a), 5(c), and 17(a) of the
Securities Act of 1933, Sections 15(a) and 10(b) of the Securities
Exchange Act of 1934 and Rule 10b-5 thereunder, in the civil action
entitled SEC v. Robert Casey Hall, et al., Civil Action Number 2:07-
CV-0235, in the United States District Court for the District of Utah.
Based on the above, the Order bars Hall from association with any
broker or dealer. Robert Casey Hall consented to the issuance of the
Order without admitting or denying any of the findings in the Order,
except he admitted the entry of the injunction against him.
(Rel. 34-56118; File No. 3-12707)
IN THE MATTER OF AYAL ROSENTHAL, CPA
The United States Securities and Exchange Commission (Commission)
announced the issuance of an Order of Suspension Pursuant to Rule
102(e)(2) of the Commission's Rules of Practice (Order) against Ayal
Rosenthal. The Order finds that on June 13, 2007, a judgment of
conviction was entered against Ayal Rosenthal, a certified public
accountant licensed in New York and New Jersey, in United States v.
Ayal Rosenthal, No. 07-CR-98-01 (JG), in the United States District
Court for the Eastern District of New York, finding him guilty of one
count of conspiracy to commit securities fraud. Rosenthal was
sentenced to two months' imprisonment in a federal penitentiary and
ordered to pay a fine of $5,000. The Commission finds that Rosenthal
has been convicted of a felony within the meaning of Rule 102(e)(2) of
the Commission's Rules of Practice.
Based on the above, the Order forthwith suspends Ayal Rosenthal from
appearing or practicing before the Commission pursuant to Rule
102(e)(2) of the Commission's Rules of Practice. (Rel. 34-56123; File
No. 3-12708; AAE Rel. 2651)
SEC CHARGES COUPLE WITH ILLEGAL INSIDER TRADING IN SECURITIES OF
MOLECULAR DEVICES CORP.
The Commission today filed insider trading charges against a former
MDS Inc. employee who allegedly stole confidential information about
MDS's impending tender offer for the shares of Molecular Devices Corp.
(Molecular) and, along with his wife, used that information to trade
in Molecular securities ahead of the merger's public announcement. The
Ontario Securities Commission also brought its own separate
enforcement action today to address this conduct.
The SEC alleges that Shane Bashir Suman, 34, of Toronto, learned about
secret merger negotiations through access he had to electronic data in
his job as an information technology specialist at MDS, then gave that
information to his wife, Monie Rahman, 36. In the days before the
tender offer became publicly known, Suman and Rahman made just over $1
million by trading in the securities of Molecular.
The SEC's complaint, filed in the United States District Court for the
Southern District of New York, alleges that Suman's job gave him
access to a vast amount of secret corporate information. In
particular, Suman was able to read the contents of confidential e-
mails and other electronic data without detection. For example, the
circumstances in which Suman was called to restore an electronic
document on Jan. 23, 2007, the day before he and his wife started
trading, suggested the code name for the MDS-Molecular merger and the
sensitivity associated with that project. Later that day, Suman
conducted Internet searches for both that code name and for "Molecular
Devices". Just after running those searches, Suman called Rahman and
spoke to her for 100 minutes, much longer than their phone records
indicate they usually spoke.
Between Jan. 24 and Jan. 26, 2007, Suman and Rahman bought 12,000
Molecular shares and 900 Molecular call options. Brokerage account
records indicate that a portion of the Molecular securities purchases
were financed with a margin loan of approximately $200,000, and the
couple previously did not have a position in Molecular securities. On
Jan. 29, 2007, MDS and Molecular jointly announced the tender offer
for Molecular's shares. The stock price immediately rose from almost
$24 to roughly $35, making Rahman and Suman's trades worth more than
$1 million.
Suman and Rahman are both Canadian citizens, though Rahman has lived
in Logan, Utah, since June 2006. The Commission acknowledges the
assistance of the OSC and the Chicago Board Options Exchange in this
matter. [SEC v. Shane Bashir Suman and Monie Rahman, No. CV 07- 6625
(J. Pauley) (S.D.N.Y.)] (LR-20203; Press Rel. 2007-139)
SEC v. JOHN C. CHARTERS
SEC v. RICHARD E. FRESIA
On July 23, the Commission filed actions against two former officers
of Expanets, Inc. (Expanets), a former Colorado-based
telecommunications subsidiary of NorthWestern Corporation
(NorthWestern). The Commission's complaints, each filed in the United
States District Court for the District of Colorado, allege that John
C. Charters, Expanets' former chief executive officer, and Richard E.
Fresia, Expanets' former chief financial officer, overstated the
performance of Expanets in 2002 during the same period that
NorthWestern completed securities offerings totaling more than $800
million. The Commission's complaints further allege that, after
restating its financial results for the first three quarters of 2002,
and disclosing Expanets' true financial position and results of
operations, NorthWestern declared bankruptcy in 2003.
The Commission alleges that, in NorthWestern's quarterly filings, debt
and equity offering filings, and other public information, Charters
and Fresia were responsible for overstating the performance of and
concealing problems at Expanets. The Commission alleges that each
defendant knew or was reckless in not knowing that Expanets had failed
to take appropriate charges for uncollectible accounts receivable and
billing adjustments related to the implementation of Expanets' new
computer system, resulting in the overstatement of NorthWestern's
income from continuing operations by 90% in the second quarter of 2002
and 109% in the third quarter of 2002. The Commission also alleges
that each defendant was responsible for NorthWestern's failure to
disclose that a material portion of Expanets' income was derived from
the reduction of various accounting reserves and through Expanets'
receipt of unusual non-compete payments.
The Commission's complaints charge Charters and Fresia with violations
of Section 10(b) of the Securities and Exchange Act of 1934 (Exchange
Act) and Rule 10b-5 thereunder, and Section 17(a) of the Securities
Act of 1933. The complaints also charge each defendant with violating
Section 13(b)(5) of the Exchange Act and Rule 13b2-1 thereunder, and
with aiding and abetting NorthWestern's violations of Sections 13(a),
13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act and Rules 12b-20, 13a-
11, and 13a-13 thereunder. The Commission seeks permanent injunctions
and civil penalties against each defendant, and also seeks
disgorgement and an officer-and-director bar against Fresia.
Charters, without admitting or denying the allegations in the
Commission's complaint against him, consented to the entry of a final
judgment permanently enjoining him from violating or aiding and
abetting violations of the provisions he allegedly violated, and also
consented to pay $50,000 in civil penalties. [SEC v. John C. Charters,
(United States District Court for the District of Colorado, Civil
Action No. 07-CV-01550); SEC v. Richard E. Fresia, (United States
District Court for the District of Colorado, Civil Action No. 07-CV-
01549)] (LR-20204; AAE Rel. 2650)
SEC CHARGES OPERATORS OF PHOENIX SURF WEBSITE WITH CONDUCTING A
MASSIVE INTERNET PONZI SCHEME
The Commission today filed securities fraud charges against the
operators of an Internet-based Ponzi scheme that raised $41.9 million
in just four months from over 20,000 investors worldwide.
The Commission's action, filed in U.S. District Court in Los Angeles,
alleges that from Feb. 22, 2006, through May 21, 2006, four defendants
operated a website - phoenixsurf.com - that offered investors a 120%
return in just 8 days on investments ranging from $8 to $6,000 in a
purported "traffic exchange program."
The Commission's complaint against Jonathan W. Mikula, age 21, of
Athens, Ga., Gabriel J. Frankewich, age 29, of Byron, Ga., New
Millenium Enterpreneurs, LLC, and Phoenixsurf.com. alleges that under
the purported program, to receive the promised return, investors had
to purchase advertising and view at least 15 web pages of advertising
per day during the 8 day period. Although the defendants represented
that they would pay the promised returns with funds received from
investors and other "businesses/programs within the NME/Phoenix
network," they operated Phoenixsurf.com primarily as a pure Ponzi
scheme - using for the most part only new investor funds to pay the
promised returns to existing investors. The complaint alleges that the
defendants paid investors $36.7 million, almost all of which came from
advertising purchases from new investments in the scheme.
To settle the Commission's charges, the defendants consented, without
admitting or denying the allegations in the complaint, to a judgment
permanently enjoining them from future violations of the antifraud
provisions of Section 17(a) of the Securities Act of 1933 and Section
10(b) of the Securities Exchange Act of 1934 and Rule 10b-5
thereunder, and the securities registration provisions of Sections
5(a) and 5(c) of the Securities Act. The judgment also ordered the
defendants to pay disgorgement and prejudgment interest -for Mikula, a
total of $106,671.08; Frankewich, a total of $96,345.79, and
Phoenixsurf.com and New Millenium Entrepeneurs, LLC in amounts to be
determined. Payment of the disgorgement and prejudgment interest by
Mikula and Frankewich was waived and civil penalties were not assessed
against them based on their sworn financial statements and other
documents submitted to the Commission. [SEC v. PHOENIXSURF.COM, NEW
MILLENIUM ENTERPRENEURS, LLC, JONATHAN W. MIKULA, AND GABRIEL J.
FRANKEWICH, Civil Action No. CV 07-4765 JSL (PLAx) (C.D. Cal.)]
(LR-20205; Press Rel. 2007-141)
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A proposed rule change (SR-NYSE-2007-56) filed by the New York Stock
Exchange relating to the extension of the customer portfolio margin
pilot program has become effective under Section 19(b)(3)(A) of the
Securities Exchange Act of 1934. Publication in the Federal Register
is expected during the week of July 23. (Rel. 34-56107)
A proposed rule change (SR-NASD-2007-045) filed by the National
Association of Securities Dealers extending the customer portfolio
margin pilot program has become effective under Section 19(b)(3)(A) of
the Securities Exchange Act of 1934. Publication in the Federal
Register is expected during the week of July 23. (Rel. 34-56108)
A proposed rule change (SR-CBOE-2007-75) filed by the Chicago Board
Options Exchange relating to the extension of the customer portfolio
margin pilot program has become effective under Section 19(b)(3)(A) of
the Securities Exchange Act of 1934. Publication in the Federal
Register is expected during the week of July 23. (Rel. 34-56109)
A proposed rule change filed by the Chicago Board Options Exchange to
amend the CBOE's rules related to Credit Default Options (SR-CBOE-
2007-81) has become effective pursuant to Section 19(b)(3)(A) of the
Securities Exchange Act of 1934. Publication in the Federal Register
is expected during the week of July 23. (Rel. 34-56114)
APPROVAL OF PROPOSED RULE CHANGE
The Commission approved a proposed rule change submitted by the
National Stock Exchange (SR-NSX-2007-05) to modify Chapter VII of the
Exchange's rules regarding suspensions of an ETP Holder by certain
Exchange officers. Publication in the Federal Register is expected
during the week of July 23. (Rel. 34-56113)
ACCELERATED APPROVAL OF PROPOSED RULE CHANGE
The Commission granted accelerated approval to a proposed rule change
(SR-ISE-2007-47), as modified by Amendment No. 1 thereto, submitted by
the International Securities Exchange to adopt generic listing
standards for Index-Linked Securities. Publication is expected in the
Federal Register during the week of July 23. (Rel. 34-56117)
SECURITIES ACT REGISTRATIONS
The following registration statements have been filed with the SEC
under the Securities Act of 1933. The reported information appears as
follows: Form, Name, Address and Phone Number (if available) of the
issuer of the security; Title and the number and/or face amount of the
securities being offered; Name of the managing underwriter or
depositor (if applicable); File number and date filed; Assigned
Branch; and a designation if the statement is a New Issue.
Registration statements may be obtained in person or by writing to the
Commission's Public Reference Branch at 100 F Street, N.E.,
Washington, D.C. 20549-1090 or at the following e-mail box address:
<publicinfo@sec.gov>. In most cases, this information is also
available on the Commission's website: <www.sec.gov>.
SB-2 AFFORDABLE GREEN HOMES INTERNATIONAL, 800 VELLA DR. SUITE "G",
PALM SPRINGS, CA, 92264, 760-778-6927 - 9,925,000 ($451,250.00) Other,
(File 333-144765 - Jul. 23) (BR. 06)
S-8 UMPQUA HOLDINGS CORP, ONE SW COLUMBIA STREET, SUITE 1200, PORTLAND, OR,
97258, 971-544-1085 - 1,000,000 ($20,955,000.00) Equity,
(File 333-144766 - Jul. 23) (BR. 07B)
S-8 Energy Transfer Equity, L.P., 2828 WOODSIDE STREET, DALLAS, TX, 75204,
2149810700 - 3,000,000 ($121,860,000.00) Equity, (File 333-144767 -
Jul. 23) (BR. 02)
S-8 SOMANETICS CORP, 1653 EAST MAPLE ROAD, TROY, MI, 48083, 2486893050 -
0 ($10,869,000.00) Equity, (File 333-144768 - Jul. 23) (BR. 10C)
S-4 EURASIA ENERGY LTD, DOWNIEHILLS, BLACKHILLS, PETERHEAD,
ABERDEENSHIRE, SCOTLAND, X0, AB42 3LB, 604-681-9588 -
20,315,135 ($9,141,810.75) Equity, (File 333-144769 - Jul. 23) (BR. 04B)
S-3 SILVERSTAR HOLDINGS LTD, 1900 GLADES ROAD, SUITE 435, BOCA RATON, FL,
33431, 561-479-0040 - 3,968,544 ($6,309,985.00) Equity,
(File 333-144770 - Jul. 23) (BR. 03B)
F-1 MAXCOM TELECOMMUNICATIONS INC, GUILLERMO GONZALEZ CAMARENA NO 2000,
COLONIA CENTRO DE CIUDAD SANTA FE, MEXICO DF, O5, 01210, 5251471111 -
0 ($175,000,000.00) Other, (File 333-144771 - Jul. 23) (BR. 11C)
S-8 HydroGen CORP, 1801 ROUTE 51 SOUTH, JEFFERSON HILLS, PA, 15025,
480-759-9400 - 2,400,000 ($11,580,000.00) Equity, (File 333-144772 -
Jul. 23) (BR. 10B)
S-8 INTEGRATED ENVIRONMENTAL TECHNOLOGIES, LTD., 4235 COMMERCE STREET,
LITTLE RIVER, SC, 29566, 843-390-2500 - 573,000 ($85,950.00) Equity,
(File 333-144773 - Jul. 23) (BR. 04A)
S-3 CYTOGEN CORP, 6099878200 - 0 ($13,470,103.85) Equity,
(File 333-144774 - Jul. 23) (BR. 01A)
S-8 AMERIRESOURCE TECHNOLOGIES INC, 3440 E. RUSSELL ROAD, SUITE 217,
LAS VEGAS, NV, 89120, 702-214-4245 - 125,000,000 ($635,000.00) Equity,
(File 333-144775 - Jul. 23) (BR. 08C)
S-1 IXI Mobile, Inc., 275 SHORELINE DRIVE, SUITE 505, REDWOOD CITY, CA,
94065, 650-551-0600 - 27,737,913 ($129,967,460.65) Equity,
(File 333-144776 - Jul. 23) (BR. 11C)
S-8 GameStop Corp., 625 WESTPORT PARKWAY, GRAPEVINE, TX, 76051,
817-424-2000 - 3,500,000 ($145,127,500.00) Equity, (File 333-144777 -
Jul. 23) (BR. 02C)
SB-2 CALYPTE BIOMEDICAL CORP, 5000 HOPYARD ROAD, SUITE 480, PLEASANTON, CA,
94588, 9257307200 - 116,444,948 ($16,069,403.00) Equity,
(File 333-144778 - Jul. 23) (BR. 10A)
S-3 BEACON POWER CORP, 234 BALLARDVALE ST, WILMINGTON, MA, 01887,
9786949121 - 0 ($50,000,000.00) Equity, (File 333-144780 - Jul. 23)
(BR. 02B)
S-3ASR UGI CORP /PA/, 460 N GULPH RD, P O BOX 858, KING OF PRUSSIA, PA, 19406,
6103371000 - 400,000 ($11,096,000.00) Equity, (File 333-144781 -
Jul. 23) (BR. 02B)
S-8 ACTIVE POWER INC, 11525 STONEHOLLOW DR, STE 110, AUSTIN, TX, 78758,
5128366464 - 0 ($1,994,993.00) Equity, (File 333-144782 - Jul. 23)
(BR. 02A)
S-8 CLARIENT, INC, 31 COLUMBIA, ALISO VIEJO, CA, 92656, 949 425-5865 -
0 ($16,804,368.29) Equity, (File 333-144783 - Jul. 23) (BR. 10A)
F-3ASR BANCO BILBAO VIZCAYA ARGENTARIA, S.A., PASEO DE LA CASTELLANA, 81,
MADRID, U3, 28046, 011 34 91 537 8172 - 0 ($0.00) Equity,
(File 333-144784 - Jul. 23) (BR. 07B)
S-3D EASTGROUP PROPERTIES INC, P O BOX 22728, JACKSON, MS, 39202,
6013543555 - 500,000 ($22,805,000.00) Equity, (File 333-144785 -
Jul. 23) (BR. 08A)
SB-2 MSTI Holdings, Inc., 259-263 GOFFLE ROAD, HAWTHORNE, NJ, 07506,
(973) 304-6080 - 24,672,752 ($32,938,123.92) Equity, (File 333-144786 -
Jul. 23) (BR. 11B)
SB-2 Strasbaugh, 825 BUCKLEY ROAD, SAN LUIS OBISPO, CA, 93401,
805-541-6425 - 7,180,886 ($14,361,772.00) Equity, (File 333-144787 -
Jul. 23) (BR. 10A)
S-8 AMERIRESOURCE TECHNOLOGIES INC, 3440 E. RUSSELL ROAD, SUITE 217,
LAS VEGAS, NV, 89120, 702-214-4245 - 125,000,000 ($635,000.00) Equity,
(File 333-144788 - Jul. 23) (BR. 08C)
S-3 NELNET INC, 121 SOUTH 13TH ST, STE 201, LINCOLN, NE, 68508,
402-458-2370 - 10,594,178 ($240,805,665.94) Equity, (File 333-144789 -
Jul. 23) (BR. 11B)
S-8 NELNET INC, 121 SOUTH 13TH ST, STE 201, LINCOLN, NE, 68508,
402-458-2370 - 1,000,000 ($22,730,000.00) Equity, (File 333-144790 -
Jul. 23) (BR. 11B)
SB-2 BAYWOOD INTERNATIONAL INC, 14960 N 83RD PLACE, STE 1, SCOTTSDALE, AZ,
85260, 6029513956 - 69,902,860 ($10,590,126.00) Equity,
(File 333-144792 - Jul. 23) (BR. 01A)
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
-------------------------------------------------------------------------------------------------------
1ST CENTENNIAL BANCORP CA 5.02,9.01 07/20/07
3D SYSTEMS CORP DE 3.02,9.01 07/20/07
ABLEAUCTIONS COM INC FL 8.01,9.01 07/23/07
ADVANCED BIOTHERAPY INC DE 8.01,9.01 07/23/07
AEROFLEX INC DE 8.01 07/23/07
Airbee Wireless, Inc. DE 5.02,8.01 07/19/07
AK STEEL HOLDING CORP DE 7.01,9.01 07/23/07
ALEXION PHARMACEUTICALS INC DE 1.01,2.03,9.01 07/18/07
ALLETE INC MN 5.02 07/23/07
ALTERA CORP DE 7.01,9.01 07/23/07
ALTERNATIVE LOAN TRUST 2005-6CB 7.01,9.01 07/23/07
Alternative Loan Trust 2007-HY6 DE 9.01 06/29/07
Alternative Loan Trust 2007-HY7C DE 9.01 06/29/07
AMB PROPERTY CORP MD 7.01 07/23/07
AMEREN CORP MO 8.01 07/23/07
AMERICAN COMMUNITY BANCSHARES INC NC 2.02,9.01 07/20/07
AMERICAN EXPRESS CO NY 2.02,7.01 07/23/07
AMERICAN PHYSICIANS CAPITAL INC MI 2.02,9.01 07/20/07
AMYLIN PHARMACEUTICALS INC DE 2.02,9.01 07/23/07
API Nanotronics Corp. DE 1.01,2.01,2.03,8.01,9.01 07/17/07
ARCH COAL INC DE 2.02,9.01 07/23/07
ARROW FINANCIAL CORP NY 2.02,9.01 07/23/07
ASPYRA INC CA 5.02 07/20/07
ASSET ACCEPTANCE CAPITAL CORP 5.02 07/20/07
ASTEC INDUSTRIES INC TN 2.02,9.01 07/23/07
ATHEROS COMMUNICATIONS INC DE 2.02,9.01 07/23/07
AURELIO RESOURCE CORP NV 8.01,9.01 07/19/07 AMEND
AUTONATION INC /FL DE 1.01 07/18/07
AXS ONE INC DE 2.03,3.01,9.01 07/17/07
BANK OF GRANITE CORP DE 2.02,9.01 07/23/07
Bank of the Carolinas CORP NC 2.02,8.01,9.01 07/23/07
BAYLAKE CORP WI 2.02,9.01 07/23/07
BEACON POWER CORP DE 1.01,3.02,9.01 07/23/07
BEAZER HOMES USA INC DE 8.01 07/23/07
BISYS GROUP INC DE 8.01,9.01 07/20/07
BLACK BOX CORP DE 8.01 07/19/07
BNS HOLDING, INC. 1.01,5.02,8.01,9.01 07/19/07
BOE FINANCIAL SERVICES OF VIRGINIA IN VA 2.02,9.01 07/19/07
BOSTON COMMUNICATIONS GROUP INC MA 8.01 07/18/07
BRAVO! BRANDS INC. DE 1.02,9.01 07/20/07
Brooke Credit CORP DE 1.01,2.01,5.01,5.02,5.06,9.01 07/18/07
BROWN & BROWN INC FL 2.02 06/30/07
Buckeye GP Holdings L.P. DE 5.02 07/23/07
BUCKEYE PARTNERS L P DE 5.02 07/23/07
CADENCE PHARMACEUTICALS INC 1.01,9.01 07/18/07
CAPITAL CORP OF THE WEST CA 1.01,9.01 07/20/07
CAPITAL GROWTH SYSTEMS INC /FL/ FL 1.01,3.02 07/17/07
CAPITALSOURCE INC DE 8.01,9.01 07/13/07
CAPSOURCE FINANCIAL INC CO 5.02,9.01 07/20/07
CASTSM STEP-UP TRUST III DE 8.01,9.01 07/16/07
CASUAL MALE RETAIL GROUP INC DE 1.01,2.03,9.01 07/20/07
CENTEX CORP NV 1.01,2.03,9.01 07/18/07
CHARLES & COLVARD LTD NC 2.02 07/23/07
CHEMICAL FINANCIAL CORP MI 2.02,9.01 07/23/07
CHEVIOT FINANCIAL CORP 2.02,9.01 07/23/07
CHICOPEE BANCORP, INC. 8.01,9.01 07/20/07
CHINA HEALTH RESOURCE, INC. DE 8.01 06/08/07
CHINA ORGANIC AGRICULTURE, INC. 5.02,7.01,9.01 07/17/07
CHL Mortgage Pass-Through Trust 2007- DE 8.01,9.01 07/20/07
CHL Mortgage Pass-Through Trust 2007- DE 8.01,9.01 07/20/07
CHL Mortgage Pass-Through Trust 2007- DE 8.01,9.01 07/17/07
CITIZENS COMMUNICATIONS CO DE 8.01 07/23/07
CITIZENS REPUBLIC BANCORP, INC. MI 7.01 07/23/07
COLORADO GOLDFIELDS INC. NV 5.02 07/05/07
COMMUNITY VALLEY BANCORP CA 2.02,9.01 07/23/07
COMPASS BANCSHARES INC DE 5.04,9.01 07/23/07
Comverge, Inc. DE 1.01,2.01,2.03,3.02,8.01,9.01 07/23/07
CONSTAR INTERNATIONAL INC DE 5.02 07/19/07
CORTS TRUST II FOR FORD NOTES DE 8.01,9.01 07/16/07
CPI AEROSTRUCTURES INC NY 5.02,9.01 07/18/07
CRANE CO /DE/ DE 2.02,8.01,9.01 07/23/07
CRIMSON EXPLORATION INC. 9.01 05/08/07 AMEND
CUMULUS MEDIA INC DE 8.01,9.01 07/23/07
CUMULUS MEDIA INC DE 1.01,9.01 07/23/07
CVB FINANCIAL CORP CA 2.02 07/19/07
CWALT INC - ALTERNATIVE LOAN TRUST 20 7.01,9.01 07/23/07
DAWSON GEOPHYSICAL CO TX 7.01,9.01 07/23/07
DEPOMED INC CA 1.01 07/20/07
DICE HOLDINGS, INC. DE 1.01,5.03,9.01 07/17/07
DIGENE CORP DE 5.02 07/18/07
DIGI INTERNATIONAL INC DE 2.02,9.01 07/23/07
DIMECO INC PA 2.02,9.01 07/23/07
DIODES INC /DEL/ DE 5.03,9.01 07/19/07
Double-Take Software, Inc. DE 8.01,9.01 07/19/07 AMEND
DSP GROUP INC /DE/ DE 2.02,9.01 07/23/07
EASTGROUP PROPERTIES INC MD 1.01,8.01,9.01 07/23/07
EDWARDS LIFESCIENCES CORP DE 2.02,9.01 07/23/07
ELECTRONIC DATA SYSTEMS CORP /DE/ DE 5.02 07/23/07
ELITE PHARMACEUTICALS INC /DE/ DE 1.01,3.02,7.01,8.01,9.01 07/17/07
Emergency Medical Services CORP DE 7.01,9.01 07/23/07
Energy Transfer Partners, L.P. DE 1.01,2.03,9.01 07/20/07
ENVIROSAFE CORP/CA 1.01,9.01 07/20/07
Epic Bancorp 2.02,9.01 07/23/07
Epic Bancorp 2.02,9.01 07/23/07 AMEND
EQUINIX INC DE 5.02,9.01 07/19/07
ESCHELON TELECOM INC 2.02,9.01 07/23/07
ETRIALS WORLDWIDE INC. 1.01,5.02,9.01 07/19/07
EUROBANCSHARES INC PR 2.02,9.01 07/19/07
EURONET WORLDWIDE INC DE 2.02,9.01 07/22/07
EV Energy Partners, LP DE 1.01,9.01 07/17/07
ev3 Inc. DE 1.01,2.02,5.03,8.01,9.01 07/21/07
EXACT SCIENCES CORP DE 2.02,2.05,5.02,8.01,9.01 07/17/07
FARMERS & MERCHANTS BANCORP DE 5.02 07/23/07
FEDERAL NATIONAL MORTGAGE ASSOCIATION 5.03,7.01,9.01 07/17/07
FEDERAL SIGNAL CORP /DE/ DE 5.02 07/17/07
FIDELITY SOUTHERN CORP GA 2.02,9.01 07/19/07
FINISH LINE INC /IN/ IN 8.01,9.01 07/23/07
FIRST BANCORP OF INDIANA INC IN 2.02,9.01 07/19/07
FIRST CITIZENS BANCSHARES INC /DE/ DE 2.02,5.03,7.01,9.01 07/23/07
FIRST COMMONWEALTH FINANCIAL CORP /PA PA 5.03,9.01 07/17/07
FIRST FINANCIAL BANKSHARES INC TX 2.02,9.01 07/19/07
FIRST FRANKLIN CORP DE 2.02,9.01 07/20/07
FIRST IPSWICH BANCORP /MA MA 5.02,9.01 07/18/07
FIRST NORTHERN COMMUNITY BANCORP CA 2.02,7.01,9.01 07/23/07
FIRST REGIONAL BANCORP CA 2.02,7.01,9.01 06/30/07
FIVE STAR PRODUCTS INC DE 5.02 07/17/07
Flagship Global Health, Inc. DE 1.01,3.02,5.02,9.01 07/17/07
FNB United Corp. NC 2.02,9.01 07/20/07
FOXHOLLOW TECHNOLOGIES, INC. DE 1.01,8.01,9.01 07/21/07
FRANKFORT TOWER INDUSTRIES INC DE 8.01,9.01 07/23/07
FRISCHS RESTAURANTS INC OH 2.02,9.01 07/23/07
FRONTIER FINANCIAL CORP /WA/ WA 5.03,9.01 07/18/07
GABRIEL TECHNOLOGIES CORP DE 1.01,5.02,9.01 07/13/07
GENTEX CORP MI 2.02,9.01 07/23/07
GERBER SCIENTIFIC INC CT 5.02 07/20/07 AMEND
GLOBALSANTAFE CORP 1.01,7.01,9.01 07/21/07
Grande Communications Holdings, Inc. DE 1.01,2.03,9.01 07/18/07
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 06/30/07
GREAT ATLANTIC & PACIFIC TEA CO INC MD 8.01 07/23/07
GREAT SOUTHERN BANCORP INC MD 2.02,9.01 07/19/07
Greenville Federal Financial CORP 2.02,8.01,9.01 07/23/07
Gregg Appliances Inc 8.01,9.01 07/20/07
GS CARBON CORP DE 8.01 07/23/07
HANCOCK HOLDING CO MS 8.01,9.01 07/23/07
HASBRO INC RI 2.02,9.01 07/23/07
HAYES LEMMERZ INTERNATIONAL INC DE 5.02,8.01 07/17/07
HAYES LEMMERZ INTERNATIONAL INC DE 8.01 06/29/07
HEWLETT PACKARD CO DE 8.01,9.01 07/20/07
hhgregg, Inc. DE 8.01,9.01 07/19/07
HLTH CORP DE 2.02,7.01,8.01 07/23/07
HOME BANCSHARES INC 5.02 07/20/07
HOME BANCSHARES INC 5.02,9.01 07/20/07
HORNBECK OFFSHORE SERVICES INC /LA DE 1.01 07/18/07
HOST AMERICA CORP DE 8.01,9.01 07/23/07
HUNTINGTON BANCSHARES INC/MD MD 5.02 07/17/07
iBroadband, Inc. NV 2.04 07/23/07
ICAD INC DE 5.02,8.01 07/18/07
ICON INCOME FUND EIGHT /DE DE 8.01,9.01 07/23/07
ICON INCOME FUND EIGHT B LP 8.01,9.01 07/23/07
ICON INCOME FUND NINE LLC DE 8.01,9.01 07/23/07
ICON INCOME FUND TEN LLC DE 8.01,9.01 07/23/07
ICON Leasing Fund Eleven, LLC DE 8.01,9.01 07/23/07
IDM PHARMA, INC. DE 8.01,9.01 07/23/07
IMMUCELL CORP /DE/ DE 1.02,9.01 07/17/06
INFINITY PROPERTY & CASUALTY CORP OH 5.02 07/19/07
INSPIRE PHARMACEUTICALS INC DE 1.01,3.02,3.03,5.01,5.02,5.03, 07/17/07
8.01,9.01
INTER TEL (DELAWARE), INC DE 2.02,9.01 07/23/07
INTER TEL (DELAWARE), INC DE 8.01,9.01 07/19/07
INTER TEL (DELAWARE), INC DE 7.01,9.01 07/23/07
INTERLINK ELECTRONICS INC DE 1.01,2.03,3.02,8.01,9.01 07/18/07
International Stem Cell CORP 5.02,9.01 07/19/07
INTEVAC INC CA 3.03,9.01 07/19/07
ION MEDIA NETWORKS INC. DE 7.01,9.01 07/23/07
J CREW GROUP INC DE 5.02,9.01 07/23/07
J P MORGAN CHASE & CO DE 9.01 07/19/07
JDA SOFTWARE GROUP INC DE 2.02,9.01 07/23/07
JONES APPAREL GROUP INC PA 5.02 07/19/07
JOURNAL COMMUNICATIONS INC 2.02,9.01 07/23/07
KBS Real Estate Investment Trust, Inc MD 1.01,8.01 07/17/07
KELLOGG CO DE 5.02 07/23/07
KKR Financial Holdings LLC DE 1.01,2.03,3.02,9.01 07/23/07
KNBT BANCORP INC PA 8.01,9.01 07/23/07
LABORATORY CORP OF AMERICA HOLDINGS DE 5.02 07/23/07
LASERCARD CORP DE 5.02 07/17/07
LBI MEDIA HOLDINGS INC 1.01,2.03,2.04,9.01 07/23/07
LIFEPOINT HOSPITALS, INC. 2.02,9.01 07/23/07
LITTLE SIOUX CORN PROCESSORS LLC 2.02,9.01 07/17/07
LUMINENT MORTGAGE CAPITAL INC 2.02,9.01 07/23/07
MARCO COMMUNITY BANCORP INC FL 2.06,5.02,7.01,8.01 07/16/07
MARKWEST ENERGY PARTNERS L P 8.01,9.01 07/19/07
MARKWEST HYDROCARBON INC DE 8.01,9.01 07/20/07
MARTIN MIDSTREAM PARTNERS LP DE 7.01,9.01 07/23/07
MARVELL TECHNOLOGY GROUP LTD D0 8.01,9.01 07/23/07
MAXIMUS INC VA 8.01,9.01 07/23/07
MB FINANCIAL INC /MD MD 2.02 06/30/07
MDC PARTNERS INC A6 5.02,9.01 07/19/07
MEADOWBROOK INSURANCE GROUP INC MI 1.01,8.01,9.01 07/18/07
MedAire, Inc. NV 8.01,9.01 07/23/07
MEDIWARE INFORMATION SYSTEMS INC NY 2.05,7.01,9.01 07/20/07
MEDTOX SCIENTIFIC INC DE 2.02,9.01 07/17/07
MEDUSA STYLE CORP NV 5.02 07/23/07
MERCK & CO INC NJ 2.02,9.01 07/23/07
MERIDIAN BIOSCIENCE INC OH 2.02,9.01 06/30/07
META FINANCIAL GROUP INC DE 2.02,9.01 07/20/07
METRIS MASTER TRUST DE 9.01 07/20/07
MICROISLET INC NV 2.05,8.01,9.01 07/19/07
MINDSPEED TECHNOLOGIES, INC DE 2.02,9.01 07/23/07
MMC ENERGY, INC. DE 8.01 07/18/07
MOBILEMAIL (US) INC. NV 8.01,9.01 07/17/07
MONARCH COMMUNITY BANCORP INC MD 2.02,9.01 07/18/07
MONTPELIER RE HOLDINGS LTD D0 7.01,9.01 07/23/07
MORGAN STANLEY SPECTRUM TECHNICAL LP DE 1.01,9.01 07/19/07
MORGAN STANLEY CHARTER ASPECT L.P. DE 1.01,9.01 07/19/07
MORGAN STANLEY CHARTER GRAHAM LP/ DE 1.01,9.01 07/19/07
MORGAN STANLEY CHARTER WCM L.P. DE 1.01,9.01 07/19/07
MORGAN STANLEY CHARTER WCM L.P. DE 1.01,9.01 07/19/07
MORGAN STANLEY SPECTRUM CURRENCY LP DE 1.01,9.01 07/19/07
MORGAN STANLEY SPECTRUM GLOBAL BALANC DE 1.01,9.01 07/19/07
MORGAN STANLEY SPECTRUM SELECT LP DE 1.01,9.01 07/19/07
MORGAN STANLEY SPECTRUM STRATEGIC LP NY 1.01,9.01 07/19/07
MOTORSPORTS EMPORIUM, INC. NV 1.01,2.01,3.02,7.01,9.01 07/08/07
MOVIE GALLERY INC DE 1.01,9.01 07/20/07
MS STRUCTURED SATURNS SERIES 2003-12 DE 8.01,9.01 07/18/07
NATIONAL SECURITY GROUP INC DE 8.01,9.01 07/21/07
NAVISTAR INTERNATIONAL CORP DE 1.01,3.03,5.03,9.01 07/23/07
NEDAK ETHANOL, LLC NE 3.03,5.03,9.01 07/23/07
NEOWARE INC DE 1.01,9.01 07/23/07
NETFLIX INC DE 2.02,9.01 07/23/07
NETMANAGE INC DE 2.02,9.01 07/23/07
NETMANAGE INC DE 2.02 07/23/07
NEW HAMPSHIRE THRIFT BANCSHARES INC DE 2.02,9.01 07/16/07
NEWALLIANCE BANCSHARES INC 8.01 07/23/07
NEWS CORP 7.01,9.01 07/20/07
NEXITY FINANCIAL CORP DE 8.01,9.01 07/18/07
NISOURCE INC/DE DE 5.02,9.01 07/23/07
NORTH AMERICAN GALVANIZING & COATINGS DE 3.01,9.01 07/18/07
NORTH AMERICAN GAMING & ENTERTAINMENT DE 1.01,5.01,9.01 07/23/07
NOVINT TECHNOLOGIES INC DE 1.01,8.01,9.01 07/17/07
OAK HILL FINANCIAL INC OH 1.01,8.01,9.01 07/19/07
OC Financial Inc MD 5.02,9.01 07/20/07
ONEOK Partners LP DE 1.01 07/23/07
ONEOK Partners LP DE 8.01 07/23/07 AMEND
OPSWARE INC DE 1.01,9.01 07/20/07
OPTIMER PHARMACEUTICALS INC 5.02,9.01 07/17/07
ORCHESTRA THERAPEUTICS, INC. DE 5.03,8.01,9.01 07/18/07
ORGANITECH USA INC DE 1.01,5.02,9.01 07/23/07
ORTHOLOGIC CORP DE 1.01,2.03,9.01 07/19/07
Pacific Ethanol, Inc. DE 5.02,9.01 07/18/07
PACIFIC MERCANTILE BANCORP CA 5.02,7.01,9.01 07/17/07
PACIFIC SUNWEAR OF CALIFORNIA INC CA 1.01,2.03,9.01 07/17/07
PACTIV CORP DE 2.02,9.01 07/23/07
PALL CORP NY 5.03,9.01 07/17/07
PARK NATIONAL CORP /OH/ OH 8.01 07/20/07
PARKVALE FINANCIAL CORP PA 2.02,9.01 07/19/07
PEERLESS SYSTEMS CORP DE 1.01,9.01 07/13/07
PENNS WOODS BANCORP INC PA 2.02,9.01 07/19/07
PEOPLES EDUCATIONAL HOLDINGS MN 7.01,9.01 07/23/07
PERMIAN BASIN ROYALTY TRUST TX 2.02,9.01 07/20/07
PETMED EXPRESS INC FL 8.01,9.01 07/23/07
PLUM CREEK TIMBER CO INC DE 2.02,9.01 07/23/07
PLX TECHNOLOGY INC DE 2.02,9.01 07/23/07
Prescient Applied Intelligence, Inc. DE 5.02 07/17/07
PRIVATEBANCORP, INC DE 2.02,8.01,9.01 07/23/07
PROCYON CORP CO 8.01,9.01 07/23/07
PROGENICS PHARMACEUTICALS INC DE 7.01,9.01 07/20/07
PROTECTIVE LIFE INSURANCE CO TN 9.01 07/19/07
QNB CORP PA 2.02,9.01 07/23/07
QUAKER FABRIC CORP /DE/ DE 1.01,2.04,9.01 07/18/07
RANCHER ENERGY CORP. NV 3.02 07/23/07
Red Mile Entertainment Inc 3.02,9.01 07/18/07
Regency Energy Partners LP DE 8.01,9.01 07/23/07
REINSURANCE GROUP OF AMERICA INC MO 2.02,9.01 07/23/07
RELIANCE STEEL & ALUMINUM CO CA 5.02,9.01 07/19/07
RENAISSANCE LEARNING INC WI 2.02,8.01,9.01 07/18/07
REPUBLIC FIRST BANCORP INC PA 2.02,9.01 07/20/07
RPM INTERNATIONAL INC/DE/ DE 2.02,9.01 07/23/07
RURBAN FINANCIAL CORP OH 2.02,9.01 07/19/07
SAN JUAN BASIN ROYALTY TRUST TX 2.02,9.01 07/20/07
SANDY SPRING BANCORP INC MD 8.01,9.01 07/23/07
SAVVIS, Inc. DE 2.02,9.01 07/23/07
SCHERING PLOUGH CORP NJ 2.02,9.01 07/23/07
SEDONA CORP PA 1.01,3.02 07/16/07
SENTO CORP UT 3.01,7.01,9.01 07/18/07
SERVICE 1ST BANCORP CA 5.02,5.03,9.01 07/20/07
SES SOLAR INC. 1.02 07/18/07
SHINECO, INC. 4.02 03/31/07
Sino Gas International Holdings, Inc. UT 1.01 07/09/07
SM&A DE 1.01,1.02,2.02,5.02,9.01 07/23/07
SONOCO PRODUCTS CO SC 5.02 07/17/07
SOUTHERN CONNECTICUT BANCORP INC CT 2.02,9.01 07/23/07
SOUTHWEST WATER CO DE 5.02,8.01,9.01 07/20/07
Spectrum Brands, Inc. WI 2.02,9.01 07/23/07
Spheris Inc. DE 1.01,2.03,9.01 07/17/07
STANLEY WORKS CT 5.02,9.01 07/20/07
STANLEY WORKS CT 5.03,9.01 07/20/07
STERLING FINANCIAL CORP /PA/ PA 1.01,5.02,8.01,9.01 07/19/07
STERLING FINANCIAL CORP /WA/ WA 2.02,9.01 07/23/07
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 07/16/07
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 07/16/07
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 07/16/07
STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 07/16/07
STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 07/16/07
STRUCTURED PRODUCTS CORP CORTS R TRUS DE 8.01,9.01 07/16/07
STRUCTURED PRODUCTS CORP TIERS PRI PR DE 8.01,9.01 07/16/07
STRUCTURED PRODUCTS CORP TRUST IV FOR DE 8.01,9.01 07/16/07
SUBJEX CORP MN 4.01 07/01/07 AMEND
Surge Global Energy, Inc. 1.01,5.02,9.01 07/17/07
SUSQUEHANNA BANCSHARES INC PA 5.03,9.01 07/18/07
SWMX, INC. DE 5.03,9.01 07/19/07
SYNTA PHARMACEUTICALS CORP 5.02 07/17/07
Tarpon Industries, Inc. MI 9.01 07/23/07
TARRANT APPAREL GROUP CA 1.01 07/19/07
TASER INTERNATIONAL INC 1.01,2.02,9.01 07/02/07
TELEFLEX INC DE 8.01,9.01 07/23/07
TEMECULA VALLEY BANCORP INC CA 8.01,9.01 07/23/07
TENNECO INC DE 2.02,4.02,9.01 07/23/07
TERRA INDUSTRIES INC MD 1.01,2.06,9.01 07/18/07
TETON ENERGY CORP DE 7.01,9.01 07/20/07
TEXAS CAPITAL BANCSHARES INC/TX DE 2.02,5.03,9.01 07/18/07
TEXAS INSTRUMENTS INC DE 2.02,9.01 07/23/07
TGC INDUSTRIES INC TX 2.02,9.01 07/23/07
THOMAS & BETTS CORP TN 2.02,9.01 07/23/07
TIDELANDS BANCSHARES INC 2.02,9.01 07/23/07
Titan Global Holdings, Inc. UT 1.01,7.01,9.01 07/17/07
TLC VISION CORP A6 8.01,9.01 07/23/07
TOTAL SYSTEM SERVICES INC GA 2.02,7.01,9.01 07/23/07
TRANSOCEAN INC E9 1.01,7.01,9.01 07/21/07
U S ENERGY SYSTEMS INC DE 8.01,9.01 07/20/07
ULTRA CLEAN HOLDINGS INC 2.02,9.01 07/23/07
UNITED BANCSHARES INC/OH OH 8.01 07/23/07
United Financial Bancorp Inc 2.02,9.01 07/19/07
UNITED FIRE & CASUALTY CO IA 2.02,9.01 06/30/07
URSTADT BIDDLE PROPERTIES INC MD 8.01,9.01 07/20/07
UST INC DE 5.02,9.01 07/20/07
UTEK CORP 8.01,9.01 07/20/07
uWink, Inc. UT 8.01,9.01 07/23/07
VASO ACTIVE PHARMACEUTICALS INC DE 8.01 07/17/07
VERTIS INC DE 2.02,8.01,9.01 07/21/07
VeruTEK Technologies, Inc. 4.01,9.01 07/18/07
VeruTEK Technologies, Inc. 4.01,9.01 07/18/07 AMEND
ViewPoint Financial Group X1 2.02,9.01 07/20/07
VISUAL MANAGEMENT SYSTEMS INC NV 1.01,2.01 07/17/07
VisualMED Clinical Solutions Corp. NV 7.01 07/19/07
VOLTERRA SEMICONDUCTOR CORP 2.02,8.01,9.01 07/23/07
WALT DISNEY CO/ DE 2.02 07/23/07
WASHINGTON TRUST BANCORP INC RI 2.02,9.01 07/23/07
WASTE CONNECTIONS INC/DE DE 2.02,7.01,9.01 07/23/07
WEATHERFORD INTERNATIONAL LTD D0 2.02,7.01,8.01,9.01 07/23/07
WEIS MARKETS INC PA 9.01 06/30/07
WINTRUST FINANCIAL CORP IL 2.02,9.01 07/23/07
WOODWARD GOVERNOR CO DE 2.02,9.01 07/23/07
WORLD ENERGY SOLUTIONS, INC. FL 8.01 07/20/07 AMEND
ZORAN CORP \DE\ DE 2.02,9.01 07/23/07
http://www.sec.gov/news/digest/2007/dig072407.htm
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