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SEC NEWS DIGEST
Issue 2007-149 August 3, 2007
RULES AND RELATED MATTERS
REVISIONS OF LIMITED OFFERING EXEMPTIONS IN REGULATION
D On August 3, the Commission issued a release proposing revisions to
Regulation D that would provide additional flexibility to issuers and
clarify and improve the application of the rules in Regulation D. The
proposals would create a new exemption from the registration
provisions of the Securities Act of 1933 covering offers and sales of
securities to "large accredited investors." The exemption would permit
limited advertising in a covered offering where each purchaser meets
the definition of "large accredited investor." The Commission also
proposes to revise the term "accredited investor" in Regulation D to
clarify the definition and reflect developments since its adoption. In
addition, the Commission proposes to shorten the timing required by
the integration safe harbor in Regulation D, and to apply uniform
disqualification provisions to all offerings seeking to rely on
Regulation D. The Commission also is soliciting comments on possible
revisions to Rule 504. Finally, the Commission is soliciting
additional comments on the definition of "accredited natural person"
for certain pooled investment vehicles in Securities Act Rules 216 and
509 that it proposed in December 2006. The comment period for the
proposed revisions will close 60 days after publication in the Federal
Register. (Rels. 33-8828; IC-27922; File No. S7-18-07)
ENFORCEMENT PROCEEDINGS
IN THE MATTER OF PATRICK PHILLIP DAVISON
The Commission issued an Order Instituting Public Administrative
Proceedings Pursuant to Section 15(b) of the Securities Exchange Act
of 1934 and Section 203(f) of the Investment Advisers Act of 1940,
Making Findings, and Imposing Remedial Sanctions against Patrick
Phillip Davison, formerly of Billings, Montana. The Order finds that
from May 1988 through February 2003, Davison was employed as an
investment adviser by UBS Financial Services and its predecessor
entities (UBS), and from May 1988 through March 2003, he was a
registered representative associated with UBS. The Order further finds
that from about March 7, 2003 until July 2006, Davison offered and
sold securities as both an unlicensed registered representative and an
unlicensed investment adviser. Davison consented to the issuance of
the Order without admitting or denying the Commission's findings,
except the Commission's jurisdiction over him and the findings
relating to his criminal plea and conviction described below.
The Order finds that, on Dec. 20, 2006, Davison pled guilty to two
counts of securities fraud before the U.S. District Court for the
District of Montana in United States v. Patrick P. Davison, CR 06-141-
BLG-RFC. On July 13, 2007, Davison was sentenced to a prison term of
120 months followed by 3 years of supervised release, and ordered to
make restitution in the amount of $5,598,166.49. The counts of the
indictment to which Davison pled guilty alleged, among other things
that from June 1995 to July 2006, Davison engaged in a scheme in which
he defrauded investors by selling non-existent securities, and that he
used the United States mails to send statements, and other documents
used in his scheme to defraud investors. Based on the above, the Order
bars Davison from association with any broker, dealer or investment
adviser. (Rel. 34-56192; IA-2627; File No. 3-12719)
SEC SUES MUTUAL FUND MANAGER FOR INSIDER TRADING TO AVOID NEAR MILLION
DOLLAR LOSS
The Commission today announced that it filed a Complaint in the U.S.
District Court for the Eastern District of Wisconsin on Aug. 1, 2007,
against Joseph A. Frohna (Joe Frohna), a former portfolio manager with
U.S. Bancorp Asset Management, Inc., now known as FAF Advisers, Inc.
The complaint alleges that Joe Frohna, a resident of Waukesha,
Wisconsin, engaged in insider trading by having the mutual fund that
he managed sell all of its shares of XOMA, Ltd. on the basis of
material, nonpublic information that he misappropriated from his
brother. Specifically, the Complaint alleges that Joe Frohna's brother
was the leader of a bio-equivalence study for a drug being developed
by XOMA and Genentech, Inc. On April 3, 2002, Joe Frohna's brother
learned that the Bio-Equivalence study was unsuccessful. Later that
same day, Joe Frohna called his brother and learned that the Bio-
Equivalency Study was unsuccessful. The next morning, on April 4,
2002, Joe Frohna caused the fund he managed, First American Investment
Fund, Inc's Micro Cap Fund, to aggressively sell all of its 332,000
XOMA shares. The following day, April 5, 2002, XOMA and Genentech
publicly announced that the Bio-Equivalence Study was unsuccessful.
The price of XOMA's stock fell 42% that day, from $7.63 per share to a
closing price of $4.42 per share. As a result of Joe Frohna's insider
trading, the Micro Cap Fund avoided a loss of $954,776.
Joe Frohna, without admitting or denying the allegations in the
complaint, consented to the entry of a Final Judgment, subject to the
Court's approval, in which he is permanently enjoined from future
violations of the antifraud provisions of the federal securities laws,
and he is ordered to pay disgorgement in the amount of $954,776, plus
prejudgment interest in the amount of $315,286.57, and a civil penalty
in the amount of $954,776. [SEC v. Joseph A. Frohna, (USDC Eastern
District of Wisconsin No.07-C-0702)] (LR-20222)
SELF-REGULATORY ORGANIZATIONS
APPROVAL OF PROPOSED RULE CHANGES
The Commission approved a proposed rule change (SR-NASDAQ-2006-065),
as modified by Amendments No. 1, 3 and 4 thereto, submitted by The
NASDAQ Stock Market to reestablish a quotation and trading system, The
PORTAL Market, for securities that are designated by Nasdaq as PORTAL
securities. Publication in the Federal Register is expected during the
week of August 6. (Rel. 34-56172)
The Commission approved a proposed rule change (SR-FICC-2006-19)
submitted by the Fixed Income Clearing Corporation that, among other
things, revises and restructures its membership rules, definitions,
and Electronic Pool Notification rules. Publication in the Federal
Register is expected during the week of August 6. (Rel. 34-56182)
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A proposed rule change (SR-OC-2007-03) filed by OneChicago relating to
block trade and EFP transaction reporting procedures has become
immediately effective under Section 19(b)(7)(B) of the Securities
Exchange Act of 1934. Publication in the Federal Register is expected
during the week of August 6. (Rel. 34-56178)
A proposed rule change (SR-NSCC-2007-10) filed by the National
Securities Clearing Corporation relating to fees charged for its
Positions and Valuations service 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
August 6. (Rel. 34-56184)
A proposed rule change (SR-BSE-2007-39) filed by the Boston Stock
Exchange to clarify how the BOX Trading Host systematically filters
all orders against the NBBO 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 August 6. (Rel. 34-
56185)
PROPOSED RULE CHANGE
The New York Stock Exchange filed a proposed rule change (SR-NYSE-
2007-42), as modified by Amendment No. 1 thereto, relating to Rule
103B (Specialist Stock Allocation). Publication in the Federal
Register is expected during the week of August 6. (Rel. 34-56183)
AMENDMENT TO PROPOSED RULE CHANGE AND ACCELERATED APPROVAL OF PROPOSED
RULE CHANGE
The Commission noticed Amendment No. 2 to a proposed rule change (SR-
BSE-2006-56), and granted accelerated approval to a proposed rule
change as modified by Amendments No. 1 and 2 thereto, submitted by the
Boston Stock Exchange to add to the Boston Options Exchange a new
functionality called an Auto Auction Order. Publication in the Federal
Register is expected during the week of August 6. (Rel. 34-56186)
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 Riverdale Mining Inc., 20 CARL CRESCENT, TORONTO, A6, M1W 3R2,
509-536-1632 - 2,000,000 ($200,000.00) Equity, (File 333-145049 -
Aug. 2) (BR. 04)
SB-2 HOTEL OUTSOURCE MANAGEMENT INTERNATIONAL INC, 80 WALL ST, STE 815,
NEW YORK, NY, 10005, 2123441600 - 922,812 ($295,300.00) Equity,
(File 333-145051 - Aug. 2) (BR. 08B)
SB-2 GlobalOptions Group, Inc., 75 ROCKEFELLER PLAZA, 27TH FLOOR, NEW YORK,
NY, 10019, 212-445-6262 - 0 ($95,067,323.00) Equity, (File 333-145053 -
Aug. 2) (BR. 08A)
S-4 HCA INC., ONE PARK PLAZA, NASHVILLE, TN, 37203, 6153449551 -
0 ($5,700,000,000.00) Non-Convertible Debt, (File 333-145054 - Aug. 2)
(BR. 01)
S-3ASR SCHERING PLOUGH CORP, 2000 GALLOPING HILL ROAD, KENILWORTH, NJ, 07033,
9082984000 - 0 ($0.00) Other, (File 333-145055 - Aug. 2) (BR. 01C)
S-8 LAFARGE, 61, RUE DES BELLES FEUILLES, BP 40, PARIS CEDEX 16, I0, 75782,
33144341111 - 1,400,000 ($58,380,000.00) ADRs/ADSs, (File 333-145056 -
Aug. 2) (BR. 06A)
S-8 VERENIUM CORP, 55 CAMBRIDGE PARKWAY, CAMBRIDGE, MA, 02142,
617 674 5300 - 0 ($9,352,500.00) Equity, (File 333-145061 - Aug. 2)
(BR. 01A)
S-8 VERENIUM CORP, 55 CAMBRIDGE PARKWAY, CAMBRIDGE, MA, 02142,
617 674 5300 - 0 ($64,028,873.34) Equity, (File 333-145062 - Aug. 2)
(BR. 01A)
S-3ASR PPG INDUSTRIES INC, ONE PPG PL 40 EAST, PITTSBURGH, PA, 15272,
4124343131 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-145063 - Aug. 2) (BR. 06A)
S-8 MDC HOLDINGS INC, 4350 S MONACO STREET, SUITE 500, DENVER, CO, 80237,
3037731100 - 6,316,701 ($292,147,421.25) Equity, (File 333-145066 -
Aug. 2) (BR. 06A)
S-8 COVAD COMMUNICATIONS GROUP INC, 110 RIO ROBLES, SAN JOSE, CA, 95134,
4089526400 - 7,400,000 ($6,142,000.00) Equity, (File 333-145067 -
Aug. 2) (BR. 11B)
S-8 LIONS GATE ENTERTAINMENT CORP /CN/, 555 BROOKSBANK AVENUE,
NORTH VANCOUVER, A1, V7J3S5, 604-983-5555 - 0 ($54,725,000.00) Equity,
(File 333-145068 - Aug. 2) (BR. 05B)
S-3ASR L-1 IDENTITY SOLUTIONS, INC., 177 BROAD STREET, STAMFORD, CT, 06901,
203-504-1100 - 0 ($175,000,000.00) Non-Convertible Debt,
(File 333-145069 - Aug. 2) (BR. 03A)
S-8 SANOFI-AVENTIS, 174 AVENUE DE FRANCE, PARIS, I0, 75013, 33153774400 -
0 ($413,000,000.00) Equity, (File 333-145074 - Aug. 2) (BR. 01C)
S-8 GMH Communities Trust, 10 CAMPUS BOULEVARD, NEWTOWN SQUARE, PA, 19073,
610-355-8000 - 0 ($64,000,000.00) Other, (File 333-145075 - Aug. 2)
(BR. 08A)
S-8 HARLEYSVILLE GROUP INC, 355 MAPLE AVE, HARLEYSVILLE, PA, 19438-2297,
2152565000 - 390,000 ($11,505,000.00) Equity, (File 333-145076 -
Aug. 2) (BR. 01C)
S-1 Synacor, Inc., 40 LARIVIERE DRIVE, SUITE 300, BUFFALO, NY, 14202,
716-853-1362 - 0 ($86,250,000.00) Equity, (File 333-145077 - Aug. 2)
(BR. )
F-7 INTERTAPE POLYMER GROUP INC, 9999 CAVENDISH BOULEVARD, STE. 200,
VILLE ST LAURENT, A8, H4M 2X5, 941-739-7500 -
0 ($90,000,000.00) Equity, (File 333-145078 - Aug. 2) (BR. 03A)
S-8 Oilsands Quest Inc, 205-707, 7TH AVENUE SW, CALGARY, A0, T2P 3H6,
4032631623 - 0 ($76,380,000.00) Equity, (File 333-145079 - Aug. 2)
(BR. 04A)
RECENT 8K FILINGS
Form 8-K is used by companies to file current reports on the following
events:
1.01 Entry into a Material Definitive Agreement
1.02 Termination of a Material Definitive Agreement
1.03 Bankruptcy or Receivership
2.01 Completion of Acquisition or Disposition of Assets
2.02 Results of Operations and Financial Condition
2.03 Creation of a Direct Financial Obligation or an Obligation under an
Off-Balance Sheet Arrangement of a Registrant
2.04 Triggering Events That Accelerate or Increase a Direct Financial Obligation
under an Off-Balance Sheet Arrangement
2.05 Cost Associated with Exit or Disposal Activities
2.06 Material Impairments
3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or
Standard; Transfer of Listing
3.02 Unregistered Sales of Equity Securities
3.03 Material Modifications to Rights of Security Holders
4.01 Changes in Registrant's Certifying Accountant
4.02 Non-Reliance on Previously Issued Financial Statements or a Related Audit
Report or Completed Interim Review
5.01 Changes in Control of Registrant
5.02 Departure of Directors or Principal Officers; Election of Directors;
Appointment of Principal Officers
5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
5.04 Temporary Suspension of Trading Under Registrant's Employee Benefit Plans
5.05 Amendments to the Registrant's Code of Ethics, or Waiver of a
Provision of the Code of Ethics
6.01. ABS Informational and Computational Material.
6.02. Change of Servicer or Trustee.
6.03. Change in Credit Enhancement or Other External Support.
6.04. Failure to Make a Required Distribution.
6.05. Securities Act Updating Disclosure.
7.01 Regulation FD Disclosure
8.01 Other Events
9.01 Financial Statements and Exhibits
8-K reports may be obtained in person or by writing to the
Commission's Public Reference Branch at 100 F Street, N.E.,
Washington, D.C. 20549-1090 or at the following e-mail box address:
<publicinfo@sec.gov>. In most cases, this information is also
available on the Commission's website: <www.sec.gov>.
STATE
NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT
-------------------------------------------------------------------------------------------------------
1ST SOURCE CORP IN 7.01,9.01 08/01/07
4309 Inc DE 8.01 07/24/07
8X8 INC /DE/ DE 2.02,9.01 08/02/07
ABOVENET INC DE 2.02,9.01 08/02/07
ACG HOLDINGS INC DE 5.02 07/31/07
Acquired Sales CORP NV 5.01 07/26/07
ACTIONVIEW INTERNATIONAL INC NV 4.01 07/23/07
ACTIVISION INC /NY DE 2.02,9.01 08/02/07
ADVANCED ENVIRONMENTAL RECYCLING TECH DE 2.02,8.01,9.01 07/31/07
ADVANCED MEDICAL OPTICS INC DE 2.02,9.01 08/02/07
ADVENTRX PHARMACEUTICALS INC DE 2.02,9.01 08/02/07
ADVISORY BOARD CO DE 2.02,9.01 08/02/07
Aftersoft Group DE 2.01,9.01 08/02/07
AGCO CORP /DE DE 5.02,9.01 08/02/07
AGILYSYS INC OH 2.02,7.01,9.01 08/02/07
AGL RESOURCES INC GA 2.02,9.01 08/02/07
AIR METHODS CORP DE 1.01,9.01 07/31/07
Aircastle LTD D0 8.01 08/01/07
ALBANY MOLECULAR RESEARCH INC DE 2.02,9.01 08/02/07
ALBEMARLE CORP VA 8.01,9.01 07/31/07
ALKERMES INC PA 2.02,9.01 08/02/07
ALLEGHENY TECHNOLOGIES INC DE 5.04,9.01 08/02/07
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 08/02/07
ALLIANT TECHSYSTEMS INC DE 2.02,9.01 08/02/07
ALLIED WASTE INDUSTRIES INC DE 2.02,9.01 06/30/07
ALNYLAM PHARMACEUTICALS, INC. 1.01 07/27/07
Alternative Loan Trust 2007-22 DE 9.01 07/30/07
Alternative Loan Trust 2007-23CB DE 9.01 07/30/07
Alternative Loan Trust 2007-OA9 7.01,9.01 07/30/07
Alternative Loan Trust 2007-OH3 7.01,9.01 07/30/07
AMEREN CORP MO 2.02,8.01,9.01 08/02/07
AMERICA FIRST APARTMENT INVESTORS INC MD 8.01,9.01 08/02/07
AMERICAN EXPRESS CO NY 7.01 08/01/07
AMERICAN FINANCIAL REALTY TRUST 5.02 07/27/07
AMERICAN GREETINGS CORP OH 7.01 08/02/07
AMERICAN INTERNATIONAL INDUSTRIES INC NV 8.01,9.01 08/02/07
American Telecom Services Inc 8.01,9.01 07/31/07
AMERICAN TOWER CORP /MA/ DE 2.02,9.01 08/02/07
AMERICASBANK CORP MD 2.02,9.01 07/31/07
AMPHENOL CORP /DE/ DE 5.02 08/02/07
AMREP CORP. OK 8.01,9.01 08/02/07
ANDERSONS INC OH 2.02 08/01/07
Answers CORP 7.01,9.01 08/02/07
ANSYS INC DE 2.02,9.01 08/02/07
ANTIGENICS INC /DE/ DE 7.01,9.01 08/02/07
ANTIGENICS INC /DE/ DE 2.02,9.01 08/02/07
APARTMENT INVESTMENT & MANAGEMENT CO MD 2.02,9.01 08/02/07
APPLEBEES INTERNATIONAL INC DE 2.02,9.01 07/01/07
Ardea Biosciences, Inc./DE DE 1.01,5.02,5.03,9.01 07/27/07
ARIBA INC DE 8.01 07/31/07
ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 08/02/07
ASHWORTH INC DE 1.01,9.01 07/27/07
ASSET ACCEPTANCE CAPITAL CORP 2.02,9.01 08/02/07
ASSURANT INC 2.02 08/02/07
ASSURED GUARANTY LTD 7.01,9.01 08/01/07
ASTRONICS CORP NY 2.02,9.01 08/02/07
ASYST TECHNOLOGIES INC CA 1.01,1.02,2.03,9.01 07/27/07
ATEL CAPITAL EQUIPMENT FUND VII LP CA 2.02,4.02 08/02/07
AUDIBLE INC 2.02,5.02,9.01 06/30/07
AURELIO RESOURCE CORP NV 8.01,9.01 07/26/07
AVALONBAY COMMUNITIES INC MD 2.02,9.01 07/31/07
AVANT IMMUNOTHERAPEUTICS INC DE 2.02,9.01 08/02/07
AVASOFT, INC. NV 4.01,9.01 05/10/07 AMEND
AVID TECHNOLOGY INC DE 5.02 07/30/07
AXS ONE INC DE 2.02,9.01 08/02/07
BA Credit Card Funding, LLC DE 8.01,9.01 08/02/07
BALCHEM CORP MD 2.02,9.01 08/01/07
BANCFIRST CORP /OK/ OK 8.01 08/01/07
BANK JOS A CLOTHIERS INC /DE/ DE 8.01,9.01 08/02/07
BANKRATE INC FL 2.02,9.01 08/02/07
BARE ESCENTUALS INC DE 2.02,9.01 08/01/07
BARNES GROUP INC DE 2.02,9.01 08/02/07
BARR PHARMACEUTICALS INC DE 5.02,9.01 08/02/07
BAXTER INTERNATIONAL INC DE 5.02 08/01/07
BEASLEY BROADCAST GROUP INC DE 2.02,9.01 08/02/07
BELL MICROPRODUCTS INC CA 2.02,9.01 08/02/07
BENTLEY PHARMACEUTICALS INC DE 2.02,9.01 08/02/07
BIG CAT ENERGY CORP 4.01,9.01 08/01/07
BigBand Networks, Inc. DE 2.02,9.01 08/02/07
BioScrip, Inc. DE 2.02,9.01 08/02/07
BJs RESTAURANTS INC CA 8.01,9.01 08/01/07
BLOUNT INTERNATIONAL INC DE 2.02,9.01 08/02/07
BLUE RIDGE PAPER PRODUCTS INC 1.01 08/01/07
BMR SOLUTIONS INC NV 3.02 08/01/07
BOOKHAM, INC. DE 2.02,9.01 08/02/07
BOSTON BEER CO INC MA 1.01,7.01 08/01/07
BPI Energy Holdings, Inc. 1.01,2.03,9.01 07/27/07
BRALORNE MINING CO NV 5.03,9.01 07/31/07
BRIGHTPOINT INC IN 1.01,2.01,2.03,3.02,5.02,9.01 07/31/07
BRINKS CO VA 2.02,9.01 08/02/07
Bristow Group Inc DE 2.02 07/31/07
BROCADE COMMUNICATIONS SYSTEMS INC DE 5.02,9.01 07/30/07
BROOKE CORP KS 2.03,7.01,8.01,9.01 07/30/07
BUCKEYE TECHNOLOGIES INC DE 2.02,9.01 08/01/07
Buckingham Exploration Inc. NV 1.01 07/27/07
CABELAS INC DE 2.02,7.01,9.01 08/02/07
CACHE INC FL 2.02,8.01,9.01 07/30/07
CAGLES INC GA 2.02,9.01 06/30/07
Cal Dive International, Inc. DE 2.02,7.01,9.01 08/01/07
CALGON CARBON CORPORATION DE 2.02 08/02/07
CALIFORNIA WATER SERVICE GROUP DE 2.02,9.01 08/01/07
CANADIAN DERIVATIVES CLEARING CORP A6 9.01 07/31/07
Canyon Bancorp 2.02,9.01 08/01/07
CAPELLA EDUCATION CO 2.02,9.01 08/02/07
CAPITAL ONE FUNDING, LLC 8.01,9.01 07/31/07
CAPITALSOURCE INC DE 2.02 08/01/07
CARDICA INC DE 2.02,9.01 08/02/07
CAREY W P & CO LLC DE 7.01,9.01 08/02/07
Caribou Coffee Company, Inc. MN 2.02,9.01 08/02/07
CASELLA WASTE SYSTEMS INC DE 7.01,9.01 08/02/07
CASPIAN SERVICES INC NV 1.01,3.02,9.01 07/31/07
CATALINA MARKETING CORP/DE DE 2.02,9.01 08/02/07
CBEYOND, INC. 2.02,9.01 08/02/07
CDW CORP IL 8.01 07/30/07
Cellu Tissue Holdings, Inc. DE 5.02,9.01 08/02/07
CENTERPOINT ENERGY INC 2.02,9.01 08/02/07
CENTILLIUM COMMUNICATIONS INC DE 2.02,9.01 08/02/07
CENTRAL EUROPEAN MEDIA ENTERPRISES LT 2.02,9.01 08/02/07
CENTRAL VIRGINIA BANKSHARES INC VA 2.02,9.01 07/31/07
CENTURYTEL INC LA 2.02,9.01 08/02/07
CHAMPIONS BIOTECHNOLOGY, INC. DE 2.01,9.01 05/18/07 AMEND
CHARTER COMMUNICATIONS INC /MO/ DE 2.02,9.01 06/30/07
CHECKFREE CORP \GA\ DE 2.02,9.01 08/02/07
CHECKPOINT SYSTEMS INC PA 2.02,9.01 06/29/07
Chemtura CORP DE 2.02,9.01 08/02/07
CHINA BAK BATTERY INC NV 2.02,9.01 08/02/07
CHIQUITA BRANDS INTERNATIONAL INC NJ 2.02,9.01 08/02/07
CHL Mortgage Pass-Through Trust 2007- DE 9.01 07/30/07
CHL Mortgage Pass-Through Trust 2007- DE 9.01 07/30/07
CHOLESTECH CORPORATION CA 2.02,9.01 08/02/07
CHOLESTECH CORPORATION CA 1.01,9.01 08/02/07
CINCINNATI BELL INC OH 2.02,7.01,9.01 08/02/07
CIPRICO INC DE 2.02,9.01 08/01/07
CKE RESTAURANTS INC DE 7.01,9.01 08/01/07
Claymont Steel Holdings, Inc. DE 2.02,8.01,9.01 07/31/07
CLEARONE COMMUNICATIONS INC UT 2.02,9.01 08/02/07
CLOROX CO /DE/ DE 2.02,7.01,9.01 08/02/07
CMS ENERGY CORP MI 2.02,9.01 08/01/07
COACH INC MD 2.02,9.01 07/31/07
COASTAL BANKING CO INC SC 2.02,9.01 08/02/07
COINMACH SERVICE CORP DE 2.02,7.01,9.01 08/01/07
COINSTAR INC DE 2.02,9.01 08/02/07
Coley Pharmaceutical Group, Inc. DE 2.02,9.01 08/02/07
COLLINS & AIKMAN CORP DE 8.01 07/27/07
COLUMBUS MCKINNON CORP NY 8.01,9.01 08/01/07
COMBINATORX, INC DE 2.02,9.01 08/02/07
COMFORT SYSTEMS USA INC 2.02,8.01,9.01 08/02/07
COMMERCE ENERGY GROUP, INC. DE 1.01,9.01 08/01/07
COMMERCE GROUP INC /MA MA 5.02 07/27/07
COMMUNITY BANCORP /VT VT 1.01 08/01/07
COMMVAULT SYSTEMS INC DE 2.02,9.01 08/02/07
COMPUTER PROGRAMS & SYSTEMS INC DE 5.02,9.01 07/31/07
COMPX INTERNATIONAL INC DE 2.02,7.01,9.01 08/02/07
COMSCORE, INC. DE 2.02,9.01 08/02/07
COMSYS IT PARTNERS INC DE 2.02,9.01 08/02/07
CONCUR TECHNOLOGIES INC WA 1.01,9.01 07/27/07
CONTINENTAL AIRLINES INC /DE/ DE 8.01,9.01 08/02/07
Crystal River Capital, Inc. MD 8.01,9.01 08/01/07
CT COMMUNICATIONS INC /NC NC 2.02,9.01 08/02/07
CUTERA INC DE 5.02 07/27/07
CVS CAREMARK CORP DE 2.02,9.01 08/02/07
DATAWATCH CORP DE 5.02,9.01 07/27/07
DAVITA INC DE 2.02,9.01 08/02/07
DealerTrack Holdings, Inc. DE 2.02,9.01 08/02/07
DELTATHREE INC DE 2.02,9.01 08/02/07
DENBURY RESOURCES INC DE 2.02,5.02,9.01 08/01/07
DIAMOND HILL INVESTMENT GROUP INC OH 8.01 08/02/07
DICKS SPORTING GOODS INC DE 1.01,9.01 07/27/07
DIGITAL IMAGING RESOURCES INC. DE 5.02 07/31/07
DIOMED HOLDINGS INC NV 5.02 07/27/07
DISCOVER CARD MASTER TRUST I DE 8.01 07/31/07
DITECH NETWORKS INC DE 2.02,9.01 08/02/07
DJO INC DE 2.02,9.01 08/02/07
DOLLAR THRIFTY AUTOMOTIVE GROUP INC DE 8.01,9.01 08/02/07
DOMINION RESOURCES INC /VA/ VA 2.01,9.01 07/31/07
DOV PHARMACEUTICAL INC DE 1.01,8.01,9.01 07/30/07
DPL INC OH 7.01 07/26/07
DREAMS INC UT 3.02,7.01,9.01 08/01/07
DREAMS INC UT 7.01 08/01/07
DRI CORP NC 7.01,9.01 08/02/07
DRIL-QUIP INC DE 2.02,9.01 08/02/07
DUPONT E I DE NEMOURS & CO DE 8.01,9.01 08/02/07
DYNAMICS RESEARCH CORP MA 2.02,9.01 08/01/07
DYNAVAX TECHNOLOGIES CORP DE 2.02,9.01 07/31/07
EASTMAN CHEMICAL CO DE 5.02 08/01/07
EASTMAN KODAK CO NJ 2.02,9.01 08/02/07
EDGAR ONLINE INC DE 5.02,9.01 08/01/07
EDO CORP NY 2.02 08/02/07
EL PASO ELECTRIC CO /TX/ TX 2.02,9.01 08/02/07
ELECTRO SCIENTIFIC INDUSTRIES INC OR 5.02,9.01 07/27/07
EMAK Worldwide, Inc. DE 2.02,5.02,9.01 06/30/07
EMERGING VISION INC NY 5.02,8.01,9.01 07/27/07
ENDO PHARMACEUTICALS HOLDINGS INC DE 7.01,9.01 08/02/07
ENERGY EAST CORP NY 2.02,9.01 06/30/07
ENERGYSOUTH INC AL 2.02,5.02,8.01,9.01 07/30/07
EnerSys DE 5.02 07/31/07
ENTEGRIS INC MN 2.02,9.01 08/02/07
ENTRAVISION COMMUNICATIONS CORP DE 2.02,9.01 08/02/07
ENZON PHARMACEUTICALS INC DE 2.02,9.01 08/02/07
EOG RESOURCES INC DE 2.02,9.01 08/02/07
EOG RESOURCES INC DE 7.01 08/02/07
EQUITY LIFESTYLE PROPERTIES INC MD 8.01,9.01 08/02/07
ESSEX PROPERTY TRUST INC MD 2.02,9.01 06/30/07
EVEREST RE GROUP LTD D0 1.01,2.03,9.01 06/30/07
EVERGREEN SOLAR INC DE 1.01,9.01 07/30/07
Expedia, Inc. 2.02,9.01 08/02/07
FBL FINANCIAL GROUP INC IA 7.01 07/31/07
FBL FINANCIAL GROUP INC IA 2.02 08/02/07
FEDERAL AGRICULTURAL MORTGAGE CORP 8.01 08/02/07
Federal Home Loan Bank of Atlanta X1 2.03 07/30/07
Federal Home Loan Bank of Boston X1 2.03 07/31/07
Federal Home Loan Bank of Chicago X1 2.03 07/30/07
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 07/30/07
Federal Home Loan Bank of Dallas 2.03 07/30/07
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 07/30/07
Federal Home Loan Bank of New York X1 2.03,8.01,9.01 07/31/07
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 07/30/07
Federal Home Loan Bank of San Francis X1 2.03 07/30/07
Federal Home Loan Bank of Seattle 2.03 08/02/07
Federal Home Loan Bank of Topeka 2.03 07/30/07
FEDERAL TRUST CORP FL 7.01,9.01 08/02/07
FIRST AMERICAN CORP CA 2.02,9.01 08/02/07
FIRST BANCSHARES INC /MO/ MO 2.02,9.01 08/02/07
FIRST BANCSHARES INC /MS/ MS 2.02,7.01,9.01 08/01/07
FIRST CONSULTING GROUP INC DE 2.02,9.01 08/02/07
FIRSTENERGY CORP OH 1.01,9.01 07/10/07 AMEND
FIRSTFED FINANCIAL CORP DE 8.01,9.01 08/01/07
FIRSTPLUS FINANCIAL GROUP INC NV 1.01,9.01 07/30/07
FISERV INC WI 1.01,8.01,9.01 08/02/07
FLOTEK INDUSTRIES INC/CN/ DE 2.02,9.01 08/02/07
FORD MOTOR CO DE 8.01,9.01 08/01/07
FORD MOTOR CREDIT CO LLC DE 8.01,9.01 08/01/07
FOXHOLLOW TECHNOLOGIES, INC. DE 5.02 07/24/07 AMEND
FREEPORT MCMORAN COPPER & GOLD INC DE 8.01 08/01/07
FTI CONSULTING INC MD 5.05,9.01 08/01/07
GATEWAY INC DE 2.02,9.01 08/02/07
GAYLORD ENTERTAINMENT CO /DE DE 2.02,9.01 08/02/07
GCI INC AK 2.02,9.01 08/01/07
GE Dealer Floorplan Master Note Trust DE 1.01,9.01 08/02/07
GENE LOGIC INC DE 2.02,9.01 07/27/07
GENERAL COMMUNICATION INC AK 2.02,9.01 08/01/07
GENERAL MILLS INC DE 5.02,9.01 08/01/07
GENWORTH FINANCIAL INC DE 2.02 07/26/07 AMEND
GENZYME CORP MA 8.01,9.01 07/10/07 AMEND
GeoEye, Inc. DE 1.01,2.02,5.02,8.01,9.01 08/02/07
GEORGIA CAROLINA BANCSHARES INC GA 2.02,9.01 07/30/07
GFI Group Inc. DE 2.02,9.01 08/02/07
GIGA TRONICS INC CA 2.02,9.01 07/31/07
GLOBAL ENERGY INC NV 4.01,9.01 08/01/07
GLOBAL INDUSTRIES LTD LA 2.02,9.01 08/01/07
GLOBALSANTAFE CORP 2.02,9.01 08/01/07
GLOBALSANTAFE CORP 7.01,9.01 08/01/07
GMX RESOURCES INC OK 1.01,2.02,9.01 07/31/07
GOAMERICA INC DE 9.01 08/01/07
Gottaplay Interactive, Inc. NV 8.01 08/01/07
GRAFTECH INTERNATIONAL LTD DE 2.02,9.01 08/02/07
GRAMERCY CAPITAL CORP MD 8.01,9.01 07/30/07
GREAT CHINA INTERNATIONAL HOLDINGS, I NV 1.01,2.03 07/30/07
GREAT PLAINS ENERGY INC MO 2.02,9.01 08/01/07
GREEN MOUNTAIN COFFEE ROASTERS INC DE 2.02,9.01 06/30/07
GREEN PLAINS RENEWABLE ENERGY, INC. IA 5.02 08/02/07
GREER BANCSHARES INC SC 9.01 07/26/07 AMEND
GREY WOLF INC TX 2.02,9.01 08/01/07
GRUBB & ELLIS CO DE 2.02,9.01 08/02/07
GSI TECHNOLOGY INC 2.02,9.01 08/02/07
Gulf United Energy, Inc. NV 5.02 07/30/07
GYMBOREE CORP DE 1.01,7.01,9.01 07/30/07
HAEMONETICS CORP MA 2.01,9.01 06/30/07
HANCOCK FABRICS INC DE 2.02,8.01,9.01 08/01/07
HANDHELD ENTERTAINMENT, INC. DE 8.01,9.01 08/02/07
HarborView 2007-5 DE 8.01,9.01 07/27/07
HARVARD BIOSCIENCE INC DE 2.02,9.01 08/02/07
HASBRO INC RI 8.01,9.01 08/02/07
HCA INC/TN DE 2.02,7.01,9.01 08/02/07
HEALTH SYSTEMS SOLUTIONS INC NV 5.02,9.01 08/02/07
HEALTHCARE ACQUISITION CORP DE 8.01,9.01 08/01/07
HEALTHWAYS, INC DE 7.01 08/01/07
HEARTLAND PAYMENT SYSTEMS INC DE 2.02,8.01,9.01 08/02/07
HELIX ENERGY SOLUTIONS GROUP INC MN 2.02,7.01,9.01 08/01/07
HENNESSY ADVISORS INC 2.02,9.01 08/02/07
HERCULES TECHNOLOGY GROWTH CAPITAL IN MD 2.02,9.01 08/02/07
HERTZ CORP DE 2.02,5.02,7.01,9.01 07/27/07
HERTZ GLOBAL HOLDINGS INC 2.02,5.02,7.01,9.01 07/27/07
HF FINANCIAL CORP DE 2.02,8.01,9.01 07/30/07
HIGHWOODS PROPERTIES INC MD 2.02,9.01 08/01/07
Horizon Lines, Inc. 1.01,2.02,7.01,8.01,9.01 07/27/07
HORNBECK OFFSHORE SERVICES INC /LA DE 2.02,9.01 08/02/07
HUDSON HIGHLAND GROUP INC DE 1.01,2.03,8.01,9.01 07/31/07
HUNGARIAN TELEPHONE & CABLE CORP DE 2.05 06/11/07
Huron Consulting Group Inc. DE 1.01,2.01,2.03,9.01 07/27/07
HYPERCOM CORP DE 2.02,9.01 08/02/07
I FLOW CORP /DE/ DE 2.02 08/02/07
I2 TECHNOLOGIES INC DE 1.01,1.02,5.02,9.01 07/30/07
IBASIS INC DE 2.02,8.01,9.01 08/02/07
ID SYSTEMS INC DE 2.02,9.01 08/02/07
Ignis Petroleum Group, Inc. 1.01,9.01 07/26/07
ILX RESORTS INC AZ 7.01,9.01 08/02/07
IMMERSION CORP DE 2.02,9.01 08/02/07
INDUSTRIAL DISTRIBUTION GROUP INC DE 2.02,9.01 06/30/07
INFINITY PHARMACEUTICALS, INC. DE 2.02,9.01 08/01/07
INFINITY PROPERTY & CASUALTY CORP OH 2.02,9.01 08/02/07
INFOCUS CORP OR 2.02,9.01 07/31/07
INFOCUS CORP OR 1.01,9.01 08/01/07 AMEND
INFOUSA INC DE 2.02,9.01 08/02/07
INFRASOURCE SERVICES INC DE 2.02,9.01 08/02/07
Inova Technology Inc. NV 2.01 08/01/07
INSIGHTFUL CORP DE 2.02,9.01 08/02/07
INSMED INC VA 2.02,9.01 08/02/07
INTEGRAMED AMERICA INC DE 2.02,9.01 08/02/07
INTER TEL (DELAWARE), INC DE 8.01,9.01 08/02/07
InterDigital, Inc. PA 8.01,9.01 08/02/07
Intermec, Inc. DE 2.02,7.01,9.01 08/02/07
INTERMUNE INC DE 2.02,9.01 08/02/07
INTERNATIONAL PAPER CO /NEW/ NY 2.02,9.01 08/02/07
INTERNET ACQUISITION GROUP INC 1.01 06/29/07
INTERNET AMERICA INC TX 5.02,9.01 07/31/07
INTERNET CAPITAL GROUP INC DE 2.02,9.01 08/02/07
INTROGEN THERAPEUTICS INC 7.01,9.01 08/02/07
INVESCO PLC/LONDON/ 2.02,9.01 08/02/07
INVESTMENT TECHNOLOGY GROUP INC DE 2.02,9.01 08/02/07
IOMEGA CORP DE 2.02,9.01 07/01/07
iPCS, INC DE 2.02,9.01 08/01/07
IT Group Holdings Inc. 7.01,9.01 08/02/07
ITC Holdings Corp. MI 2.02,9.01 08/01/07
ITERIS, INC. DE 2.02,9.01 08/02/07
J P MORGAN CHASE & CO DE 8.01,9.01 08/01/07
J P MORGAN CHASE & CO DE 9.01 07/31/07
JER Investors Trust Inc 8.01,9.01 08/02/07
JONES APPAREL GROUP INC PA 8.01,9.01 07/31/07
JONES SODA CO WA 2.02,9.01 08/02/07
K-Care Nutritional Products Inc. 8.01 08/02/07
KAMAN CORP CT 2.02,9.01 08/02/07
KBR, INC. DE 2.02,9.01 08/02/07
KBS Real Estate Investment Trust, Inc MD 1.01 07/27/07
KEYSTONE AUTOMOTIVE INDUSTRIES INC CA 2.02,9.01 08/02/07
KIMBALL INTERNATIONAL INC IN 2.02,9.01 08/02/07
KINDRED HEALTHCARE, INC DE 2.01,8.01,9.01 07/31/07
KKR Financial Holdings LLC DE 8.01,9.01 08/02/07
KOPIN CORP DE 3.01,9.01 08/02/07
KOSAN BIOSCIENCES INC CA 2.02,9.01 08/02/07
KSW INC NY 4.01,9.01 07/24/07 AMEND
L-1 IDENTITY SOLUTIONS, INC. DE 2.02,9.01 08/01/07
LA JOLLA PHARMACEUTICAL CO DE 2.02,9.01 08/02/07
LARGE SCALE BIOLOGY CORP DE 8.01,9.01 08/01/07
LAWSON PRODUCTS INC/NEW/DE/ DE 2.02,9.01 08/01/07
Lazy Days R.V. Center, Inc. 1.01 08/02/07
LEAR CORP DE 2.02,2.05,2.06,7.01,9.01 08/02/07
LEGACY RESERVES L P 5.02,8.01,9.01 08/02/07
Lehman XS Trust Series 2007-12N DE 6.02 08/01/07
Lehman XS Trust Series 2007-15N DE 6.02 08/01/07
LHC Group, Inc 2.02,9.01 08/01/07
LIFETIME BRANDS, INC DE 2.02,9.01 08/02/07
LINCOLN EDUCATIONAL SERVICES CORP NJ 2.05,2.06,9.01 07/31/07
LIONBRIDGE TECHNOLOGIES INC /DE/ DE 1.01,5.02,9.01 08/01/07
LIONS GATE ENTERTAINMENT CORP /CN/ 1.01,7.01,9.01 07/30/07
LIQUIDITY SERVICES INC 7.01,9.01 08/01/07
LIVEPERSON INC DE 2.02,8.01,9.01 07/31/07
LONGS DRUG STORES CORP MD 7.01,9.01 08/02/07
LOOKSMART LTD DE 2.02,9.01 08/02/07
LORAL SPACE & COMMUNICATIONS INC. DE 1.01,9.01 07/30/07
MACERICH CO MD 2.02,7.01,9.01 08/02/07
MACK CALI REALTY CORP MD 2.02,7.01,9.01 08/01/07
MAGELLAN MIDSTREAM PARTNERS LP DE 5.03,9.01 07/31/07
MAGNITUDE INFORMATION SYSTEMS INC DE 1.01,2.03,3.02,9.01 06/22/07
MANAGEMENT NETWORK GROUP INC 1.01,9.01 07/30/07
MARRIOTT INTERNATIONAL INC /MD/ DE 8.01 08/02/07
MARTIN MIDSTREAM PARTNERS LP DE 7.01,9.01 08/02/07
MASTEC INC FL 2.02,7.01,9.01 08/01/07
MATRITECH INC/DE/ DE 1.01,9.01 07/27/07
MATTEL INC /DE/ DE 2.02,7.01,9.01 08/01/07
MAX CAPITAL GROUP LTD. 2.02,8.01,9.01 07/30/07
MAXIM INTEGRATED PRODUCTS INC DE 2.02,9.01 08/02/07
MAXYGEN INC DE 2.02,9.01 08/02/07
MCGRATH RENTCORP CA 2.02,9.01 08/02/07
MDC PARTNERS INC A6 7.01,9.01 08/01/07
MEDCATH CORP DE 2.02,9.01 08/02/07
MEDIA SCIENCES INTERNATIONAL INC 5.03,9.01 08/01/07
MEDICAL ACTION INDUSTRIES INC DE 7.01,9.01 08/02/07
MEDIS TECHNOLOGIES LTD DE 8.01,9.01 08/02/07
MERCURY COMPUTER SYSTEMS INC MA 5.02 07/27/07
MESA AIR GROUP INC NV 2.02,5.03,9.01 08/01/07
METAL MANAGEMENT INC DE 2.02,8.01,9.01 08/02/07
METROMEDIA INTERNATIONAL GROUP INC DE 1.01,9.01 08/02/07
MFA MORTGAGE INVESTMENTS MD 2.02,7.01,9.01 08/02/07
MGM MIRAGE DE 2.02,9.01 08/02/07
MGP INGREDIENTS INC KS 7.01,9.01 08/02/07
MICRO TECH IDENTIFICATION SYSTEMS INC NV 5.02 07/31/07
MICROSTRATEGY INC DE 2.02,9.01 07/27/07
MID AMERICA APARTMENT COMMUNITIES INC TN 2.02,9.01 08/02/07
MIDAS INC DE 2.02 08/02/07
MiddleBrook Pharmaceuticals, Inc. 2.02,9.01 08/02/07
MIDWAY GAMES INC DE 2.02,9.01 08/02/07
Millennium India Acquisition CO Inc. DE 8.01,9.01 07/26/07
MINE SAFETY APPLIANCES CO PA 8.01,9.01 08/02/07
MOBILEMAIL (US) INC. NV 8.01,9.01 08/02/07
MOLEX INC DE 2.02,9.01 08/01/07
MOLINA HEALTHCARE INC DE 2.02,9.01 08/02/07
MONMOUTH REAL ESTATE INVESTMENT CORP MD 1.01,2.01,5.02,8.01,9.01 07/26/07
MORGAN STANLEY DEAN WITTER CAPITAL I DE 8.01,9.01 12/14/06 AMEND
Morgans Hotel Group Co. DE 2.02,9.01 08/02/07
Morningstar, Inc. IL 2.02,9.01 08/02/07
MUELLER INDUSTRIES INC DE 8.01,9.01 08/02/07
MULTI FINELINE ELECTRONIX INC 2.02,9.01 08/02/07
MVC CAPITAL, INC. DE 8.01 07/31/07
NANOMETRICS INC DE 2.02,9.01 08/01/07
NASH FINCH CO DE 5.02,9.01 08/01/07
NATCO GROUP INC DE 2.02,7.01,9.01 08/01/07
NATURAL HEALTH TRENDS CORP DE 2.02,9.01 08/01/07
NATURALLY ADVANCED TECHNOLOGIES INC A1 8.01,9.01 07/31/07
NATUS MEDICAL INC DE 2.02,9.01 08/02/07
NAVISITE INC DE 5.02,9.01 07/30/07
NEOMAGIC CORP DE 1.01,3.02,3.03 07/27/07
NETWORK APPLIANCE INC CA 2.02,9.01 08/02/07
NETWORK ENGINES INC DE 2.02,9.01 08/02/07
NEUROGEN CORP DE 9.01 08/02/07
NEUSTAR INC 2.02,9.01 08/02/07
New England Bancshares, Inc. 2.02,9.01 08/01/07
New Oriental Energy & Chemical Corp. DE 7.01,9.01 08/02/07
NEWCASTLE INVESTMENT CORP MD 2.02,9.01 08/02/07
NEWMONT MINING CORP /DE/ DE 2.02,9.01 08/02/07
NISOURCE INC/DE DE 2.02,9.01 08/02/07
NNN Healthcare/Office REIT, Inc. MD 1.01,2.01,2.03,7.01,9.01 07/27/07
NOBLE INTERNATIONAL, LTD. DE 2.02,9.01 08/02/07
NORTEL NETWORKS CORP 2.02,8.01,9.01 08/02/07
NORTEL NETWORKS LTD 2.02,8.01,9.01 08/02/07
NORTHERN GROWERS LLC SD 8.01 07/27/07
NOVASTAR FINANCIAL INC MD 3.03,5.03,7.01,9.01 07/27/07 AMEND
NOVELL INC DE 8.01 08/02/07
NRG ENERGY, INC. DE 2.02,9.01 08/02/07
NTELOS HOLDINGS CORP 1.01,9.01 07/31/07
NTELOS HOLDINGS CORP 2.02,9.01 08/01/07
NTELOS HOLDINGS CORP 7.01,9.01 08/02/07
NTS REALTY HOLDINGS LP DE 1.01,9.01 08/02/07
NU SKIN ENTERPRISES INC DE 2.02,9.01 08/02/07
NxStage Medical, Inc. DE 2.02,9.01 08/02/07
NYMEX HOLDINGS INC DE 8.01,9.01 08/02/07
NYSE Euronext DE 2.02,9.01 08/02/07
ODYSSEY RE HOLDINGS CORP DE 2.02 08/02/07
OGE ENERGY CORP OK 2.02,9.01 08/02/07
OIL STATES INTERNATIONAL, INC DE 7.01 08/01/07
OKLAHOMA GAS & ELECTRIC CO OK 2.02,9.01 08/02/07
OM GROUP INC DE 2.02,9.01 08/02/07
OM GROUP INC DE 2.02,7.01,9.01 08/02/07
OMNICARE INC DE 2.02,9.01 08/02/07
OMTOOL LTD DE 2.02,9.01 08/01/07
ON2 TECHNOLOGIES, INC. DE 2.02,9.01 08/02/07
OneBeacon Insurance Group, Ltd. D0 2.02,9.01 08/02/07
OneBeacon Insurance Group, Ltd. D0 2.02,9.01 08/02/07
ONEOK INC /NEW/ OK 2.02,9.01 08/01/07
ONEOK Partners LP DE 2.02,9.01 08/01/07
ONEOK Partners LP DE 1.01 08/02/07
OPENWAVE SYSTEMS INC DE 2.02,5.02,9.01 07/31/07
Optelecom-NKF, Inc. DE 2.02,9.01 08/02/07
ORCHID CELLMARK INC 2.02,9.01 08/02/07
PACIFIC ENTERPRISES INC CA 2.02,9.01 08/02/07
PAINCARE HOLDINGS INC CT 2.01,9.01 07/27/07
PAINCARE HOLDINGS INC CT 2.01,9.01 07/27/07 AMEND
PALL CORP NY 4.02,9.01 08/01/07
Palomine Mining Inc. NV 4.01,9.01 07/31/07
PANTRY INC DE 2.02,9.01 08/02/07
ParaFin CORP CO 1.01,3.02,3.03 07/05/07
PARAGON TECHNOLOGIES INC PA 5.02,9.01 08/01/07
PATRICK INDUSTRIES INC IN 2.02,9.01 08/01/07
PATRIOT TRANSPORTATION HOLDING INC FL 2.02,9.01 08/01/07
PATTERSON UTI ENERGY INC DE 2.02,9.01 08/02/07
PAULSON CAPITAL CORP OR 8.01,9.01 08/02/07
PEABODY ENERGY CORP DE 5.03,7.01,9.01 07/31/07
PEAPACK GLADSTONE FINANCIAL CORP NJ 2.02,9.01 08/01/07
PEETS COFFEE & TEA INC WA 2.02,9.01 08/02/07
PEMCO AVIATION GROUP INC DE 4.02 07/27/07
PENN VIRGINIA CORP VA 2.02,7.01,9.01 08/01/07
PENN VIRGINIA CORP VA 1.01,2.03,9.01 08/01/07
Penn Virginia GP Holdings, L.P. 2.02,7.01,9.01 08/01/07
PENN VIRGINIA RESOURCE PARTNERS L P DE 2.02,7.01,9.01 08/01/07
PENSON WORLDWIDE INC DE 1.01 07/27/07
PEPSICO INC NC 1.01,2.03,9.01 07/31/07
PetroHunter Energy Corp MD 1.01,7.01,9.01 12/29/06 AMEND
PHARMACOPEIA DRUG DISCOVERY INC DE 2.01,8.01,9.01 08/02/07
PharmaNet Development Group Inc DE 7.01,9.01 08/01/07
PharmaNet Development Group Inc DE 2.02,9.01 08/02/07
PHARMION CORP 7.01,9.01 08/02/07
PHOTOMEDEX INC DE 2.02,9.01 08/02/07
PINNACLE DATA SYSTEMS INC OH 2.02,9.01 08/01/07
PIONEER DRILLING CO TX 2.02,9.01 08/02/07
PIONEER FINANCIAL SERVICES INC MO 4.01,9.01 07/27/07
PLC SYSTEMS INC 2.02,9.01 08/02/07
PMA CAPITAL CORP PA 2.02,9.01 08/02/07
PNM RESOURCES INC NM 8.01 08/02/07
POPE RESOURCES LTD PARTNERSHIP DE 2.02,9.01 07/30/07
PORTEC RAIL PRODUCTS INC WV 2.02,9.01 08/01/07
PORTFOLIO RECOVERY ASSOCIATES INC DE 8.01,9.01 08/01/07
POZEN INC /NC 8.01,9.01 08/02/07
PPL CORP PA 2.02,7.01,9.01 08/02/07
PRG SCHULTZ INTERNATIONAL INC GA 2.02,9.01 08/01/07
PRIDE INTERNATIONAL INC DE 2.02,9.01 08/02/07
PRIMEDIA INC DE 2.02,9.01 08/02/07
PRIMUS TELECOMMUNICATIONS GROUP INC DE 2.02,9.01 08/02/07
PROCENTURY CORP 2.02,9.01 08/01/07
PROSPERITY BANCSHARES INC TX 5.02 07/27/07
QC Holdings, Inc. KS 2.02,8.01,9.01 08/02/07
QEP CO INC DE 5.02,8.01,9.01 07/06/07
QLT INC/BC A1 8.01,9.01 08/01/07
QUANEX CORP DE 7.01 08/02/07
QUANTA SERVICES INC DE 2.02,9.01 08/02/07
RADIAN GROUP INC DE 2.06 07/29/07
RADIATION THERAPY SERVICES INC FL 8.01,9.01 08/02/07
RADIO ONE INC DE 2.02,9.01 08/02/07
RADYNE CORP DE 2.01,7.01,9.01 08/01/07
RAIT Financial Trust MD 2.02,9.01 08/01/07
RAMTRON INTERNATIONAL CORP DE 5.02 07/27/07
RAPTOR NETWORKS TECHNOLOGY INC 2.03,3.02,8.01,9.01 07/31/07
REGENCY CENTERS CORP FL 2.02,9.01 08/01/07
RELIANT ENERGY INC DE 2.02,9.01 08/02/07
Restore Medical, Inc. DE 2.02,9.01 08/02/07
RICHARDSON ELECTRONICS LTD/DE DE 1.01,1.02,2.03,9.01 07/27/07
River Rock Entertainment Authority XX 1.01,9.01 07/30/07
ROMA FINANCIAL CORP X1 2.02,9.01 07/27/07
ROWAN COMPANIES INC DE 2.02,9.01 08/02/07
ROYAL GOLD INC DE 1.01,8.01,9.01 07/27/07
ROYAL QUANTUM GROUP INC NV 1.01 07/18/07
RURAL CELLULAR CORP MN 1.01,3.03,9.01 07/29/07
SAFECO CORP WA 8.01,9.01 08/01/07
SAFEGUARD SCIENTIFICS INC PA 2.02,9.01 08/02/07
SALIX PHARMACEUTICALS LTD 2.02,9.01 08/02/07
SAMARITAN PHARMACEUTICALS INC NV 8.01,9.01 08/02/07
SAN DIEGO GAS & ELECTRIC CO CA 2.02,9.01 08/02/07
SANTA FE ENERGY TRUST TX 2.02,7.01,9.01 08/02/07
SCHERING PLOUGH CORP NJ 8.01,9.01 08/02/07
SCIENTIFIC GAMES CORP DE 2.02,9.01 08/02/07
SCIVANTA MEDICAL CORP DE 8.01,9.01 08/02/07
SCPIE HOLDINGS INC DE 2.02,9.01 08/02/07
SEA CONTAINERS LTD /NY/ 1.01,1.02,8.01,9.01 07/24/07
SEACOR HOLDINGS INC /NEW/ DE 7.01,9.01 07/31/07
SELECT COMFORT CORP 7.01,9.01 08/02/07
SEMPRA ENERGY CA 2.02,9.01 08/02/07
SEQUA CORP /DE/ DE 2.02,9.01 08/02/07
Shire plc 8.01,9.01 08/02/07
SIELOX INC DE 2.01,5.03,9.01 07/31/07
SILICON IMAGE INC DE 2.02,9.01 08/02/07
SILVERLEAF RESORTS INC 7.01,9.01 08/01/07
SINCLAIR BROADCAST GROUP INC MD 7.01 08/01/07
SIRIUS SATELLITE RADIO INC DE 1.01 08/02/07
Soltera Mining Corp. NV 1.01,3.02,5.01,5.02,9.01 07/31/07
SONUS NETWORKS INC DE 2.02,9.01 08/02/07
SORELL, INC NV 2.01,3.02,5.02,9.01 02/28/07 AMEND
SOURCE INTERLINK COMPANIES INC DE 7.01,9.01 08/01/07
SOUTHWESTERN ENERGY CO AR 7.01 08/01/07
SPARK NETWORKS INC X0 2.02,5.02,7.01,9.01 07/30/07
SPARTA INC /DE DE 2.03,9.01 06/21/07
STANDARD PARKING CORP DE 2.02,7.01 08/01/07
Stanley, Inc. DE 5.02 07/30/07
Stanley, Inc. DE 2.02,9.01 08/02/07
Starent Networks, Corp. DE 2.02,9.01 08/02/07
STARTEK INC DE 2.02,5.03,9.01 07/30/07
STARWOOD HOTEL & RESORTS WORLDWIDE IN MD 2.02,9.01 08/02/07
STEINWAY MUSICAL INSTRUMENTS INC DE 2.02,9.01 08/02/07
STRATASYS INC DE 2.02,9.01 08/01/07
STRATASYS INC DE 8.01,9.01 08/02/07
STRATEGIC HOTELS & RESORTS, INC 2.02,9.01 08/01/07
SUBURBAN PROPANE PARTNERS LP DE 5.03,9.01 07/31/07
SUN HEALTHCARE GROUP INC DE 2.02,9.01 08/01/07
SUN MICROSYSTEMS, INC. DE 5.02 08/01/07
SUNESIS PHARMACEUTICALS INC 2.02,9.01 08/02/07
SUNOCO INC PA 2.02,7.01,9.01 08/01/07
SUPERCONDUCTOR TECHNOLOGIES INC DE 2.02 08/02/07
SUPERGEN INC DE 2.02,9.01 08/02/07
SWIFT ENERGY CO 2.02,9.01 05/03/07
SYCAMORE NETWORKS INC DE 1.01,2.06,9.01 07/30/07
Symmetry Medical Inc. DE 2.02,9.01 08/02/07
Synthenol Inc FL 2.03 08/01/07
SYPRIS SOLUTIONS INC DE 2.02,7.01,9.01 08/02/07
TALBOTS INC DE 1.01,2.03,9.01 07/30/07
TALEO CORP DE 2.02,9.01 08/02/07
TANGER FACTORY OUTLET CENTERS INC NC 2.02,7.01,9.01 06/30/07
TARGACEPT INC 1.01,3.02 07/27/07
TC PIPELINES LP DE 2.02,9.01 08/02/07
TD AMERITRADE HOLDING CORP DE 5.03 07/31/07
TECHWELL INC 2.02,9.01 08/02/07
TECO ENERGY INC FL 2.02,9.01 08/02/07
TEGAL CORP /DE/ DE 1.01,5.02,9.01 08/02/07
TELULAR CORP DE 5.02 07/27/07
TENFOLD CORP /UT DE 2.02 08/01/07
TERCICA INC DE 2.02,9.01 08/02/07
TESSCO TECHNOLOGIES INC DE 2.02,9.01 08/01/07
TESSERA TECHNOLOGIES INC DE 2.02,9.01 08/02/07
TETRA TECH INC DE 2.02,9.01 08/01/07
TEXAS PACIFIC LAND TRUST 2.02,9.01 08/01/07
THERAGENICS CORP DE 2.02 08/02/07
TIFFANY & CO DE 7.01,9.01 08/02/07
TIMBERLAND CO DE 2.02,9.01 08/02/07
Titan Global Holdings, Inc. UT 2.02,9.01 07/27/07
Titan Global Holdings, Inc. UT 1.01,5.02,9.01 07/27/07
TomoTherapy Inc 2.02,9.01 08/01/07
TOPSPIN MEDICAL INC 1.01 07/29/07
Tower Group, Inc. DE 2.02,9.01 08/02/07
TOWN SPORTS INTERNATIONAL HOLDINGS IN DE 2.02,9.01 08/02/07
TRC COMPANIES INC /DE/ DE 1.01,9.01 07/30/07
TreeHouse Foods, Inc. DE 2.02,7.01,9.01 08/02/07
TRICO MARINE SERVICES INC DE 5.02,9.01 08/02/07
TRIMAS CORP DE 2.02,9.01 08/02/07
TRIMERIS INC DE 5.02 07/27/07
TRINITY INDUSTRIES INC DE 2.02,7.01 08/01/07
TRUMP ENTERTAINMENT RESORTS, INC. DE 5.02,8.01,9.01 08/01/07
TVIA INC DE 5.02 07/30/07
TWIN DISC INC WI 5.02,9.01 07/26/07
TWL CORP UT 1.01,3.02,9.01 06/27/07 AMEND
U S PHYSICAL THERAPY INC /NV NV 2.02 08/02/07
U.S. Auto Parts Network, Inc. DE 2.02 06/30/07
UDR, Inc. MD 1.01,2.03,9.01 07/27/07
UIL HOLDINGS CORP CT 2.02,9.01 08/02/07
ULTRALIFE BATTERIES INC DE 2.02,9.01 08/02/07
UNIFI INC NY 2.02,2.05,7.01,8.01,9.01 08/01/07
UNIGENE LABORATORIES INC DE 8.01,9.01 08/02/07
UNION DRILLING INC DE 2.02,9.01 08/01/07
UNIT CORP DE 2.02,9.01 08/02/07
UNITED RENTALS INC /DE DE 2.02,7.01,9.01 08/01/07
UNIVERSAL AMERICAN FINANCIAL CORP NY 2.02,7.01 08/02/07
UNIVERSAL ELECTRONICS INC DE 2.02,9.01 08/02/07
UNIVERSAL GUARDIAN HOLDINGS INC DE 5.02 07/30/07
Utah Uranium Corp. NV 1.01,9.01 08/01/07
UTSTARCOM INC DE 2.02,9.01 08/01/07
uVuMobile, Inc 5.02 07/31/07
VALEANT PHARMACEUTICALS INTERNATIONAL DE 2.02,9.01 08/02/07
VALUECLICK INC/CA DE 2.01,5.02,9.01 07/27/07
Vanda Pharmaceuticals Inc. DE 2.02,9.01 08/02/07
VANGUARD HEALTH SYSTEMS INC DE 5.02 07/31/07
VECTREN CORP IN 2.02 08/01/07
VERASUN ENERGY CORP 2.02,9.01 08/02/07
VERTRUE INC DE 2.02,9.01 08/02/07
Viacom Inc. DE 2.02,9.01 08/02/07
VIKING SYSTEMS INC DE 1.01,2.03,3.02,9.01 07/19/07
VINEYARD NATIONAL BANCORP CA 8.01,9.01 08/02/07
VIRAGEN INC DE 2.04,8.01,9.01 07/30/07
VISHAY INTERTECHNOLOGY INC DE 2.02,7.01,9.01 08/02/07
VISUAL SCIENCES, INC. CA 5.02,9.01 07/27/07
VISUAL SCIENCES, INC. CA 2.02,9.01 08/02/07
VITESSE SEMICONDUCTOR CORP DE 5.02,9.01 07/27/07
VOIP INC 1.01,2.03,3.02 07/27/07
Volcano CORP DE 2.02,9.01 08/02/07
WABCO Holdings Inc. DE 1.01,4.01,8.01,9.01 07/27/07
WATSON PHARMACEUTICALS INC NV 2.02,9.01 08/02/07
WCA WASTE CORP 2.02 08/01/07
WEBSITE PROS INC DE 8.01,9.01 08/02/07
WELLCARE HEALTH PLANS, INC. DE 2.02,9.01 08/02/07
WEST PHARMACEUTICAL SERVICES INC PA 2.02,9.01 06/30/07
WESTLAKE CHEMICAL CORP 2.02,9.01 08/02/07
WGL HOLDINGS INC VA 2.02,9.01 08/01/07
White River Capital Inc 2.02,9.01 07/31/07
WILLIAMS COMPANIES INC DE 2.02,9.01 08/02/07
Williams Partners L.P. 2.02,9.01 08/02/07
WILLIS GROUP HOLDINGS LTD D0 2.02,9.01 08/01/07
WJ COMMUNICATIONS INC DE 2.02,9.01 08/02/07
WORLD WRESTLING ENTERTAINMENTINC DE 2.02,9.01 08/02/07
XATA CORP /MN/ MN 2.02 08/02/07
XL CAPITAL LTD 8.01 07/25/07
YTB International, Inc. NY 7.01,9.01 08/01/07
ZILOG INC CA 2.02,9.01 08/02/07
ZYMOGENETICS INC WA 2.02,9.01 08/01/07
http://www.sec.gov/news/digest/2007/dig080307.htm
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