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SEC NEWS DIGEST
Issue 2007-208 October 29, 2007
ENFORCEMENT PROCEEDINGS
IN THE MATTER OF SCHUHALTER, COUGHLIN & SUOZZO PC
On October 26, an Administrative Law Judge issued an Order Making
Findings and Imposing Remedial Sanctions by Default in Schuhalter,
Coughlin & Suozzo PC, Administrative Proceeding No. 3-12795. The Order
Instituting Proceedings alleged that Respondent Schuhalter, Coughlin &
Suozzo PC prepared and issued an audit report on the financial
statements of a reporting company after Oct. 22, 2003, without first
registering with Public Company Accounting Oversight Board, and that
Respondent Edward J. Suozzo, CPA, participated in the preparation or
issuance of the audit report. The Default Order finds these
allegations to be true and permanently denies Schuhalter, Coughlin &
Suozzo PC and Edward J. Suozzo, CPA, the privilege of appearing or
practicing before the Securities and Exchange Commission, pursuant to
Section 4C of the Securities Exchange Act of 1934 and Rule 102(e) of
the Commission's Rules of Practice. (Rel. 34-56710; File No. 3-12795)
COMMISSION ORDERS HEARINGS ON REGISTRATION SUSPENSION OR REVOCATION
AGAINST FIVE COMPANIES FOR FAILURE TO MAKE REQUIRED PERIODIC FILINGS
On October 29, the Commission instituted public administrative
proceedings to determine whether to revoke or suspend for a period not
exceeding twelve months the registration of each class of the
securities of five companies for failure to make required periodic
filings with the Commission:
* American Venture Group, Inc.
* Avocet Ventures, Inc.
* Bull Run, Inc.
* Calcomp Technology, Inc.
* Essco USA, Inc.
In this Order, the Division of Enforcement alleges that the five
issuers are delinquent in their required periodic filings with the
Commission.
In this proceeding, instituted pursuant to Exchange Act Section 12(j),
a hearing will be scheduled before an Administrative Law Judge. At the
hearing, the judge will hear evidence from the Division and the
respondents to determine whether the allegations of the Division
contained in the Order, which the Division alleges constitute failures
to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13
thereunder, are true. The judge in the proceeding will then determine
whether the registrations pursuant to Exchange Act Section 12 of the
securities of these respondents should be revoked, or in the
alternative, suspended for a period not exceeding twelve months. The
Commission ordered that the Administrative Law Judge in this
proceeding issue an initial decision not later than 120 days from the
date of service of the order instituting proceedings. (Rel. 34-56712;
File No. 3-12882)
IN THE MATTER OF ENVIRONMENTAL SAFEGUARDS, INC.
On October 29, an Administrative Law Judge issued an Order Lifting
Stay and Making Findings and Revoking Registration by Default as to
Ultra Motorcycle Co. in Environmental Safeguards, Inc., Administrative
Proceeding No. 3-12735. The Order Instituting Proceedings alleged that
Respondent Ultra Motorcycle Co. failed repeatedly to file required
annual and quarterly reports while its securities were registered with
the Securities and Exchange Commission. The Default Order finds these
allegations to be true and revokes the registration of each class of
registered securities that Ultra Motorcycle Co. has with the
Commission, pursuant to Section 12(j) of the Securities Exchange Act
of 1934. (Rel. 34-56716; File No. 3-12735)
INVESTMENT COMPANY ACT RELEASES
VANGUARD STAR FUNDS, ET AL.
An order has been issued on an application filed by Vanguard STAR
Funds, et al., under Section 6(c) of the Investment Company Act
for an exemption from Rule 12d1-2(a) under the Act. The order permits
funds of funds relying on Rule 12d1-2 under the Act to invest in
certain financial instruments. (Rel. IC-28024 -October 24)
NOTICES OF DEREGISTRATION UNDER THE INVESTMENT COMPANY ACT OF 1940
For the month of October, 2007, a notice has been issued giving
interested persons until Nov. 19, 2007, to request a hearing on any of
the following applications for an order under Section 8(f) of the
Investment Company Act declaring that the applicant has ceased to be
an investment company:
Dover Regional Financial Shares [File No. 811-4744]
Eaton Vance Global Enhanced Equity Income Fund [File No. 811-21711]
Eaton Vance Tax-Managed Buy-Write Research Fund [File No. 811-21821]
Advisory Hedged Opportunity Fund [File No. 811-21288]
BlackRock Europe Fund, Inc.[File No. 811-6042]
Merrill Lynch Strategy Series, Inc. [File No. 811-9617]
Merrill Lynch Inflation Protected Fund [File No. 811-21473]
Master Inflation Protected Trust [File No. 811-21518]
Colonial New York Insured Municipal Fund [File No. 811-9539]
SouthEast Tax Exempt Income Trust [File No. 811-2960]
Hutton Investment Trust [File No. 811-3647]
ThomasLloyd Funds [File No. 811-9156]
Van Kampen World Portfolio Series Trust [File No. 811-6220]
Alpha Hedge Fund, Inc. [File No. 811-21577]
Baron Capital Funds Trust [File No. 811-8505]
Jefferson Pilot Variable Fund, Inc. [File No. 811-4161]
PFL Variable Life Account A [File No. 811-9579]
(Rel. IC-28037 - October 26)
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A proposed rule change (SR-CHX-2007-20) filed by the Chicago Stock
Exchange relating to post-trade anonymity of certain transactions
executed on the Exchange, has become immediately effective and
operative pursuant to Section 19(b)(3)(A)(iii) of the Securities
Exchange Act of 1934. Publication is expected in the Federal Register
during the week of October 29. (Rel. No. 34-56704)
A proposed rule change filed by The NASDAQ Stock Market relating to
Nasdaq's outbound routing broker (SR-NASDAQ-2007-078) has become
effective under Section 19(b)(3)(A) of the Securities Exchange Act of
1934. Publication is expected in the Federal Register during the week
of October 29. (Rel. 34-56708)
APPROVAL OF PROPOSED RULE CHANGES
The Commission issued an order approving a proposed rule change
submitted by the Financial Industry Regulatory Authority (SR-FINRA-
2007-007) to exempt from TRACE reporting transactions in TRACE-
eligible securities resulting from certain derivative-related
transactions. Publication is expected in the Federal Register during
the week of October 29. (Rel. No. 34-56709)
The Commission granted approval of a proposed rule change (SR-Amex-
2007-74), as modified by Amendment No. 1 thereto, submitted by the
American Stock Exchange under Rule 19b-4 of the Securities Exchange
Act of 1934 relating to the listing and trading of shares of funds of
the Rydex ETF Trust. Publication is expected in the Federal Register
during the week of October 29. (Rel. 34-56713)
PROPOSED RULE CHANGE
The Depository Trust Company filed a proposed rule change (SR-DTC-
2007-12) under Section 19(b)(2) of the Securities Exchange Act which
would allow DTC to open an omnibus account at Euroclear Bank in order
to facilitate the repositioning of inventory between European markets
and U.S. markets for securities listed in multiple marketplaces.
Publication is expected in the Federal Register during the week of
October 29. (Rel. 34-56706)
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 IAC/INTERACTIVECORP, 152 WEST 57TH ST, 42ND FLOOR, NEW YORK, NY, 10019,
2123147300 - 0 ($3,602,500.00) Equity, (File 333-146940 - Oct. 26)
(BR. 02B)
S-8 ALL Fuels & Energy Co, 6165 N W 86TH ST, JOHNSTON, IA, 50131,
515-331-6509 - 2,000,000 ($1,660,000.00) Equity, (File 333-146941 -
Oct. 26) (BR. 06C)
SB-2 Artistry Publications Inc, 240 DOONE ROAD, FAIRLESS HILLS, PA, 19030,
281 440-7530 - 2,200,000 ($44,000.00) Equity, (File 333-146942 -
Oct. 26) (BR. 05)
N-2 CALAMOS STRATEGIC TOTAL RETURN FUND, 2020 CALAMOS COURT,
C/O CALAMOS ADVISORS LLC, NAPERVILLE, IL, 60653, 6302451046 -
0 ($350,000,000.00) Other, (File 333-146943 - Oct. 26) (BR. 16)
N-2 CALAMOS GLOBAL TOTAL RETURN FUND, 2020 CALAMOS COURT,
C/O CALAMOS ADVISORS LLC, NAPERVILLE, IL, 60563, 6302451046 -
0 ($75,000,000.00) Other, (File 333-146944 - Oct. 26) (BR. 16)
N-2 CALAMOS CONVERTIBLE OPPORTUNITIES & INCOME FUND, 2020 CALAMOS COURT,
C/O CALAMOS ADVISORS LLC, NAPERVILLE, IL, 60653, 6302451046 -
0 ($200,000,000.00) Other, (File 333-146945 - Oct. 26) (BR. 16)
S-1 Overture Acquisition Corp., C/O M&C CORPORATE SERVICES LIMITED,
PO BOX 309GT, UGLAND HOUSE SO. CHURCH ST, GEORGE TOWN, GRAND CAYMAN,
E9, KY1-1104, (917) 301-4351 - 0 ($172,500,000.00) Equity,
(File 333-146946 - Oct. 26) (BR. 07)
N-2 CALAMOS CONVERTIBLE & HIGH INCOME FUND, 2020 CALAMOS COURT,
C/O CALAMOS ADVISORS LLC, NAPERVILLE, IL, 60563, 6302451046 -
0 ($250,000,000.00) Other, (File 333-146947 - Oct. 26) (BR. 16)
SB-2 Silver Star Capital Holdings, Inc., 2731 SILVER STAR ROAD, SUITE 200,
ORLANDO, FL, 32808-3935, 407-522-7201 -
4,000,000 ($6,000,000.00) Equity, (File 333-146949 - Oct. 26) (BR. 08)
SB-2 SCIVANTA MEDICAL CORP, 215 MORRIS AVENUE, SPRING LAKE, NJ, 07762,
(732) 919-2799 - 6,048,034 ($725,764.00) Equity, (File 333-146950 -
Oct. 26) (BR. 09B)
S-8 HUB GROUP INC, 377 E BUTTERFIELD RD, STE 700, LOMBARD, IL, 60148,
7089645800 - 1,000,000 ($28.00) Face Amount Certificates,
(File 333-146951 - Oct. 26) (BR. 05B)
SB-2 MAGNEGAS CORP, 35246 US HIGHWAY 19 NORTH, #311, PALM HARBOR, FL, 34684,
(727) 932-9593 - 212,500 ($212,500.00) Equity, (File 333-146952 -
Oct. 26) (BR. 09)
S-1 GRAN TIERRA ENERGY, INC., 300, 611-10TH AVENUE S.W., CALGARY, A0,
T2R 0B2, (403) 265-3221 - 0 ($35,919,347.20) Equity, (File 333-146953 -
Oct. 26) (BR. 04C)
S-8 MORGAN STANLEY, 1585 BROADWAY, NEW YORK, NY, 10036, 212-761-4000 -
2,500,000 ($154,375,000.00) Equity, (File 333-146954 - Oct. 26)
(BR. 08B)
S-1 GILMAN & CIOCIA INC, 11 RAYMOND AVENUE, POUGHKEEPSIE, NY, 12603,
845-486-0900 - 80,000,000 ($16,000,000.00) Equity, (File 333-146955 -
Oct. 26) (BR. 11A)
S-8 Glenrose Instruments Inc., 781.622.1120 - 0 ($4,900,000.00) Equity,
(File 333-146956 - Oct. 26) (BR. 06A)
S-3 SOLUTIA INC, 575 MARYVILLE CENTRE DRIVE, P O BOX 66760, ST. LOUIS, MO,
63166-6760, 3146741000 - 0 ($10,000,000.00) Equity, (File 333-146957 -
Oct. 26) (BR. 06B)
S-1 Global Aero Logistics Inc., 7337 WEST WASHINGTON STREET,
BUILDING 1--CORPORATE OFFICES, INDIANAPOLIS, IN, 46231-1300,
317-282-4000 - 0 ($50,000,000.00) Other, (File 333-146958 - Oct. 26)
(BR. 05A)
S-11 Strategic Storage Trust, Inc., 111 CORPORATE DRIVE, SUITE 120,
LADERA RANCH, CA, 92694, 887-872-1031 -
110,000,000 ($1,095,000,000.00) Equity, (File 333-146959 - Oct. 26)
(BR. 08)
S-3ASR NATIONAL RURAL UTILITIES COOPERATIVE FINANCE CORP /DC/, WOODLAND PARK,
2201 COOPERATIVE WAY, HERNDON, VA, 20171-3025, 7037096700 -
0 ($0.00) Other, (File 333-146960 - Oct. 26) (BR. 07A)
F-10 OREZONE RESOURCES INC, 290 PICTON STREET, SUITE 201, OTTAWA, A6,
K1K 8P8, 613-241-3699 - 0 ($230,000,000.00) Equity, (File 333-146961 -
Oct. 26) (BR. 04A)
S-8 ECHOSTAR COMMUNICATIONS CORP, 9601 S. MERIDIAN BLVD., ENGLEWOOD, CO,
80112, 3037231000 - 0 ($1,189,177.00) Equity, (File 333-146962 -
Oct. 26) (BR. 11B)
S-8 LOCKHEED MARTIN CORP, 6801 ROCKLEDGE DR, BETHESDA, MD, 20817,
3018976000 - 0 ($3,807,000,000.00) Equity, 0 ($125,000,000.00) Other,
(File 333-146963 - Oct. 26) (BR. 05C)
S-8 BIOMIRA INC, 2011-94TH STREET, EDMONTON ALBERTA CAN, A0, 7804902812 -
0 ($765,000.00) Equity, (File 333-146964 - Oct. 26) (BR. 01C)
S-3D Behringer Harvard Opportunity REIT I, Inc., 15601 DALLAS PARKWAY,
SUITE 600, ADDISON, TX, 75001, 866-655-1620 -
0 ($60,000,005.00) Equity, (File 333-146965 - Oct. 26) (BR. 08A)
S-8 BIOMIRA INC, 2011-94TH STREET, EDMONTON ALBERTA CAN, A0, 7804902812 -
0 ($21,829,434.00) Equity, (File 333-146966 - Oct. 26) (BR. 01C)
S-4 JERSEY CENTRAL POWER & LIGHT CO, 76 SOUTH MAIN STREET,
C/O FIRSTENERGY CORP., AKRON, OH, 44308-1890, 330-761-7837 -
550,000,000 ($550,000,000.00) Non-Convertible Debt, (File 333-146968 -
Oct. 26) (BR. 02B)
S-8 BLUE COAT SYSTEMS INC, 420 NORTH MARY AVENUE, SUNNYVALE, CA, 94085,
4082202200 - 9,470,958 ($411,323,705.94) Equity, (File 333-146969 -
Oct. 26) (BR. 03C)
SB-2 PINPOINT RECOVERY SOLUTIONS CORP, 30 EAST 81ST STREET, SUITE 11E,
NEW YORK, NY, 10028, 212-895-3500 - 4,333,307 ($12,999,921.00) Equity,
(File 333-146970 - Oct. 26) (BR. )
SB-2 Silicon Mountain Holdings, Inc., 4755 WALNUT STREET, BOULDER, CO,
80301, 303-938-1155 - 2,760,208 ($5,520,416.00) Equity,
(File 333-146971 - Oct. 26) (BR. 03B)
F-1 Navios Maritime Partners L.P., 85 AKTI MIAOULI STREET, PIRAEUS, J3,
185 38, 011 30 210 459 5000 - 0 ($241,500,000.00) Equity,
(File 333-146972 - Oct. 26) (BR. )
S-3 NOVA BIOSOURCE FUELS, INC., 363 NORTH SAM HOUSTON PARKWAY EAST,
SUITE 630, HOUSTON, TX, 77060, 7138696682 -
0 ($55,000,000.00) Debt Convertible into Equity, (File 333-146973 -
Oct. 26) (BR. 04A)
SB-2 nFinanSe Inc., 6015 31ST STREET EAST, BRADENTON, FL, 34203,
941-753-2875 - 2,224,000 ($10,919,840.00) Equity, (File 333-146974 -
Oct. 26) (BR. 07A)
SB-2 HUIHENG MEDICAL, INC., C/O HARBORVIEW MASTER FUND LP,
850 THIRD AVENUE, SUITE 1801, NEW YORK, NY, 10022, 281-648-4442 -
0 ($34,500,000.00) Equity, (File 333-146975 - Oct. 26) (BR. 10B)
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 2.02,9.01 09/30/07
ABM INDUSTRIES INC /DE/ DE 5.02 10/22/07
ACTIVE POWER INC DE 2.02,9.01 10/26/07
AETRIUM INC MN 2.02,9.01 09/30/07
AGILENT TECHNOLOGIES INC DE 1.01,2.03,8.01,9.01 10/24/07
Aircastle LTD D0 8.01,9.01 10/26/07
ALEXANDER & BALDWIN INC HI 2.02,9.01 10/26/07
ALEXION PHARMACEUTICALS INC DE 2.02,9.01 10/25/07
ALICO INC FL 1.01,8.01,9.01 10/22/07
ALLIANCE LAUNDRY SYSTEMS LLC 5.02,9.01 10/25/07
AMERICAN COMMUNITY BANCSHARES INC NC 2.02,5.02,5.03,9.01 10/22/07
AMERICAN NATIONAL BANKSHARES INC VA 2.02,9.01 10/26/07
AMERICAN PHYSICIANS CAPITAL INC MI 2.02,9.01 10/25/07
AMERICANWEST BANCORPORATION WA 8.01 10/26/07
AMPHENOL CORP /DE/ DE 8.01,9.01 10/26/07
AMREP CORP. OK 8.01,9.01 10/26/07
ANADARKO PETROLEUM CORP DE 7.01,9.01 10/25/07
ANALOG DEVICES INC MA 5.02,9.01 10/22/07
APEX SILVER MINES LTD 2.02,9.01 10/22/07
APPALACHIAN BANCSHARES INC GA 2.02,7.01 10/26/07
Apple REIT Eight, Inc. VA 1.01 10/25/07
APPLIX INC /MA/ MA 3.01,3.02 10/25/07
ARCH CAPITAL GROUP LTD. 2.02,9.01 10/25/07
ARKANSAS BEST CORP /DE/ DE 2.02,9.01 10/26/07
Atlas Energy Resources, LLC DE 1.01,9.01 10/25/07
Atlas Energy Resources, LLC DE 5.05,9.01 10/23/07
Atlas Pipeline Holdings, L.P. DE 5.05,9.01 10/23/07
ATLAS PIPELINE PARTNERS LP DE 5.05,9.01 10/23/07
Atomic Guppy Inc NV 5.02 10/26/07
Aurora Oil & Gas CORP UT 5.02,9.01 10/19/07
BAKER HUGHES INC DE 2.02,7.01,9.01 10/26/07
BANCORP RHODE ISLAND INC 5.02,9.01 10/24/07
BANK JOS A CLOTHIERS INC /DE/ DE 7.01,9.01 10/26/07
Bank of Commerce Holdings CA 8.01,9.01 10/26/07
BANKATLANTIC BANCORP INC FL 2.02,9.01 10/25/07
BankFinancial CORP 8.01,9.01 10/25/07
BankGreenville Financial CORP SC 2.02,9.01 10/24/07
Basic Services, Inc. NV 1.01,2.01,3.02,4.01,5.01,5.02, 10/26/07
5.03,9.01
BAUSCH & LOMB INC NY 1.01,8.01,9.01 10/26/07
BAYWOOD INTERNATIONAL INC NV 4.01,9.01 10/12/07 AMEND
BCSB Bancorp Inc. MD 2.02,8.01,9.01 10/25/07
BCSB BANKCORP INC 2.02,8.01,9.01 10/25/07
BEACON POWER CORP DE 1.01,3.03,9.01 10/24/07
BEACON ROOFING SUPPLY INC 5.02,9.01 10/25/07
BEL FUSE INC /NJ NJ 2.02,9.01 10/26/07
BIW LTD CT 5.02,9.01 10/22/07
BJs RESTAURANTS INC CA 2.02,9.01 10/25/07
BLASTGARD INTERNATIONAL INC CO 3.02,5.02,7.01,9.01 10/26/07
BLASTGARD INTERNATIONAL INC CO 1.01,7.01,9.01 10/26/07 AMEND
BOSTON FINANCIAL QUALIFIED HOUSING TA DE 8.01,9.01 10/26/07
BOWATER INC DE 1.01,5.02,9.01 10/22/07
BRAINSTORM CELL THERAPEUTICS INC 5.02 10/15/07 AMEND
BRINKER INTERNATIONAL INC DE 1.01,1.02,2.02,2.03,9.01 10/23/07
BROOKE CORP KS 5.02 10/22/07
BRUNSWICK CORP DE 2.02,9.01 10/24/07
Buckeye GP Holdings L.P. DE 2.02,5.02,9.01 10/25/07
BUCKEYE PARTNERS L P DE 2.02,5.02,9.01 10/25/07
Burger King Holdings Inc DE 5.02,9.01 08/14/07
CAB-TIVE ADVERTISING, INC. NV 1.01,5.02,9.01 10/25/07
CABELAS INC DE 1.01,2.03,7.01,9.01 10/22/07
CABOT OIL & GAS CORP DE 2.02,9.01 10/25/07
CAMCO FINANCIAL CORP DE 2.02,9.01 10/26/07
CAPITAL CORP OF THE WEST CA 8.01,9.01 10/24/07
CAPSTEAD MORTGAGE CORP MD 2.02,9.01 10/25/07
CAPSTEAD MORTGAGE CORP MD 7.01,9.01 10/26/07
CARDICA INC DE 2.02,9.01 10/26/07
CARDINAL FINANCIAL CORP VA 2.02,8.01,9.01 10/24/07
CASTLE A M & CO MD 2.02,9.01 10/26/07
Castle Brands Inc 2.03,9.01 10/22/07
CENTERPOINT ENERGY INC 5.02 10/25/07
CENTERSTATE BANKS OF FLORIDA INC FL 2.02,9.01 10/26/07
CERIDIAN CORP /DE/ DE 7.01,8.01,9.01 10/26/07
CFS BANCORP INC IN 2.02,9.01 10/23/07
Chaolei Marketing & Finance Co. 1.01,3.02,5.01,5.02,5.03,8.01, 10/22/07
9.01
CHARLES & COLVARD LTD NC 1.01,9.01 10/26/07
CHARLOTTE RUSSE HOLDING INC 5.02 10/23/07
CHASE CORP MA 2.02,9.01 10/15/07
CHECKPOINT SYSTEMS INC PA 5.02,9.01 10/26/07
CHEESECAKE FACTORY INC DE 8.01,9.01 10/25/07
China Display Technologies, Inc. DE 5.02,5.03,9.01 10/22/07
China Fruits Corportion DE 4.01 10/20/07
CHINACAST EDUCATION CORP DE 8.01 10/26/07
CITIGROUP INC DE 8.01,9.01 10/26/07
CITIZENS BANCORP OF VIRGINIA INC VA 2.02,9.01 10/25/07
CITIZENS HOLDING CO /MS/ MS 2.02,7.01,9.01 10/26/07
CITIZENS REPUBLIC BANCORP, INC. MI 7.01 10/26/07
CLAYTON HOLDINGS INC 2.02,9.01 10/26/07
CLIFTON SAVINGS BANCORP INC 5.03,8.01,9.01 10/24/07
CNA SURETY CORP DE 2.02,9.01 10/26/07
COCA COLA CO DE 2.01,9.01 10/24/07
COLE KENNETH PRODUCTIONS INC NY 5.03,9.01 10/26/07
COLE KENNETH PRODUCTIONS INC NY 2.02,9.01 10/26/07
COLE KENNETH PRODUCTIONS INC NY 1.01,9.01 10/26/07
Colonial Bankshares Inc X1 2.02,9.01 10/25/07
COLUMBIA BANKING SYSTEM INC WA 5.03,9.01 10/24/07
COLUMBUS VENTURES INC. NV 4.01,9.01 10/19/07 AMEND
Commerce Planet UT 1.01,5.02,9.01 10/23/07
COMPUTER TASK GROUP INC NY 7.01,9.01 10/24/07
CONCURRENT COMPUTER CORP/DE DE 2.02,9.01 10/26/07
CONSOLIDATED MEDICAL MANAGEMENT INC MT 1.01 10/22/07
CONSOLIDATED TOMOKA LAND CO FL 5.03 10/24/07
CONVERGYS CORP OH 2.02,9.01 10/26/07
COUNTRYWIDE FINANCIAL CORP DE 2.02,9.01 10/26/07
COVENTRY HEALTH CARE INC DE 2.02,9.01 10/26/07
COWLITZ BANCORPORATION WA 2.02,9.01 10/25/07
CRM Holdings, Ltd. 8.01,9.01 10/26/07
CSS INDUSTRIES INC DE 2.02,9.01 10/25/07
CUMMINS INC IN 2.02,7.01,9.01 10/26/07
CURTISS WRIGHT CORP DE 2.02,9.01 10/25/07
CYBERONICS INC DE 5.03,8.01,9.01 10/24/07
CytoCore Inc DE 5.02,9.01 10/22/07
DATA I/O CORP WA 2.02 10/24/07
DATAJUNGLE SOFTWARE INC NV 3.02 10/22/07
DELCATH SYSTEMS INC DE 8.01,9.01 10/22/07
DEVELOPERS DIVERSIFIED REALTY CORP OH 2.02 10/25/07
DEX MEDIA EAST LLC DE 1.01,2.03,9.01 10/24/07
Dex Media, Inc./new DE 1.01,2.03,9.01 10/24/07
DIAMOND OFFSHORE DRILLING INC DE 5.03,9.01 10/22/07
DIGUANG INTERNATIONAL DEVELOPMENT CO. NV 4.01,9.01 10/22/07
DOUBLE EAGLE PETROLEUM CO MD 7.01,9.01 10/24/07
DSW Inc. OH 7.01,9.01 10/26/07
DYNEGY INC. DE 7.01,9.01 10/25/07
EAGLE ROCK ENERGY PARTNERS L P DE 4.02,7.01,9.01 10/24/07
EASYLINK SERVICES INTERNATIONAL CORP DE 4.01 10/26/07
EATON CORP OH 5.02 10/23/07
EFJ INC DE 5.02,5.03,9.01 10/22/07
ELECTRO SCIENTIFIC INDUSTRIES INC OR 5.02 10/22/07
EMPIRE DISTRICT ELECTRIC CO KS 2.02,9.01 10/25/07
Encore Bancshares Inc TX 2.02,9.01 10/26/07
ENERGY WEST INC MT 1.01,9.01 10/22/07
Enterprise Informatics Inc CA 1.01 10/26/07
Epic Bancorp 5.02,8.01 10/26/07
ESCALADE INC IN 2.02,9.01 10/26/07
ESSA Bancorp, Inc. PA 2.02,9.01 10/24/07
EXELON CORP PA 2.02,7.01,9.01 10/26/07
ExlService Holdings, Inc. DE 5.03,9.01 10/24/07
EXOPACK HOLDING CORP 5.02 10/18/07
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 10/22/07
Federal Home Loan Bank of Cincinnati X1 2.02,9.01 10/26/07
Federal Home Loan Bank of Des Moines X1 5.02,7.01,9.01 10/25/07
Federal Home Loan Bank of Pittsburgh PA 7.01,9.01 10/23/07
Federal Home Loan Bank of San Francis X1 2.02,9.01 10/25/07
Federal Home Loan Bank of Seattle 5.02,9.01 10/25/07
FEDERAL NATIONAL MORTGAGE ASSOCIATION 2.02,9.01 10/26/07
FEDERAL NATIONAL MORTGAGE ASSOCIATION 5.02 10/24/07
FEDERATED INVESTORS INC /PA/ PA 2.02,9.01 10/25/07
FedFirst Financial CORP X1 5.03,9.01 10/23/07
FelCor Lodging Trust Inc MD 5.02,9.01 10/23/07
Feldman Mall Properties, Inc. MD 3.02,9.01 10/22/07
Fidelity National Financial, Inc. 2.02,9.01 10/24/07
Fidelity National Information Service 2.02,8.01,9.01 10/24/07
FINANCIAL INDUSTRIES CORP TX 8.01,9.01 10/25/07
FIRST BANCORP /NC/ NC 2.02,8.01,9.01 10/26/07
FIRST BANCSHARES INC /MS/ MS 2.02,7.01,8.01,9.01 10/24/07
FIRST CAPITAL BANCORP, INC. VA 2.02,9.01 10/24/07
First Clover Leaf Financial Corp. MD 8.01,9.01 10/23/07
FIRST COMMUNITY BANCSHARES INC /NV/ NV 7.01 10/25/07
FIRST FINANCIAL HOLDINGS INC /DE/ DE 5.03,9.01 10/25/07
FIRST FINANCIAL HOLDINGS INC /DE/ DE 7.01,9.01 10/26/07
FIRST KEYSTONE CORP PA 2.02 10/26/07
FIRST NORTHERN COMMUNITY BANCORP CA 2.02,7.01,9.01 10/26/07
FIRST OTTAWA BANCSHARES INC DE 2.02,9.01 10/25/07
First Source Data, Inc. NV 1.01,9.01 04/30/07
FIRSTFED FINANCIAL CORP DE 2.02,9.01 09/30/07
FIRSTFED FINANCIAL CORP DE 7.01,9.01 09/30/07
FLATBUSH FEDERAL BANCORP INC 8.01,9.01 10/22/07
FLOW INTERNATIONAL CORP WA 8.01,9.01 10/25/07
FMC TECHNOLOGIES INC DE 7.01,9.01 10/24/07
FORTUNE BRANDS INC DE 2.02,7.01,9.01 10/26/07
FPB BANCORP INC FL 2.02,9.01 09/30/07
FREMONT GENERAL CORP NV 5.02 10/25/07
Frontier Airlines Holdings, Inc. DE 2.02,9.01 10/25/07
FUSHI INTERNATIONAL INC NV 1.01,3.02,3.03,7.01,9.01 10/26/07
GENAERA CORP DE 8.01,9.01 10/25/07
GENESIS TECHNOLOGY GROUP INC FL 5.03,9.01 10/23/07
GEORGIA CAROLINA BANCSHARES INC GA 2.02,5.02,9.01 10/22/07
GILEAD SCIENCES INC DE 5.02 10/22/07
GLACIER BANCORP INC DE 2.02,9.01 10/25/07
Global BPO Services Corp DE 8.01,9.01 10/26/07
GLOBAL ENERGY INC NV 3.02,8.01,9.01 10/21/07
GLOBAL TRAFFIC NETWORK, INC. DE 5.02 10/24/07
Golden West Brewing Company, Inc. CA 8.01 10/24/07
GRAHAM CORP DE 2.02,5.03,8.01,9.01 10/25/07
GRANDSOUTH BANCORPORATION SC 2.02,9.01 10/25/07
GRANT PRIDECO INC DE 2.02,9.01 10/25/07
GRAPHIC PACKAGING CORP DE 2.06 10/16/07 AMEND
GREAT CHINA INTERNATIONAL HOLDINGS, I NV 4.01,9.01 10/22/07
Greenlight Capital Re, Ltd. 2.02,7.01,9.01 10/22/07
GREER BANCSHARES INC SC 2.02,9.01 10/24/07
HAMPTON ROADS BANKSHARES INC VA 8.01 10/26/07
HANCOCK FABRICS INC DE 7.01,8.01,9.01 10/26/07
HANOVER CAPITAL MORTGAGE HOLDINGS INC MD 1.01 10/22/07
HARTFORD FINANCIAL SERVICES GROUP INC DE 2.02,9.01 10/25/07
HARTFORD LIFE INSURANCE CO CT 9.01 10/26/07
HAWAIIAN ELECTRIC INDUSTRIES INC HI 8.01 10/22/07
HEALTH MANAGEMENT ASSOCIATES INC DE 2.02,9.01 10/26/07
HEALTH MANAGEMENT ASSOCIATES INC DE 2.02,9.01 10/26/07
HEALTHAXIS INC PA 2.02,9.01 10/25/07
HEI INC MN 5.02 10/24/07
HERITAGE BANKSHARES INC /VA VA 1.01,9.01 10/25/07
HERITAGE FINANCIAL CORP /WA/ WA 2.02,7.01,9.01 10/24/07
HI SHEAR TECHNOLOGY CORP DE 5.02 10/26/07
HOLLY ENERGY PARTNERS LP DE 7.01,9.01 10/26/07
HOPFED BANCORP INC DE 2.02,9.01 10/24/07
IAS ENERGY, INC. OR 8.01,9.01 10/23/07
IDEXX LABORATORIES INC /DE DE 2.02,8.01,9.01 10/25/07
IMARX THERAPEUTICS INC 1.01,9.01 10/25/07
IMPART MEDIA GROUP INC NV 5.02,9.01 10/15/07
INDEVUS PHARMACEUTICALS INC DE 5.02,9.01 10/22/07
INDYMAC MBS INC RESIDENTIAL ASSET SEC 8.01 10/25/07
IndyMac RAST 2004-R2 8.01 10/25/07
INGERSOLL RAND CO LTD 2.02,9.01 10/26/07
Innova Robotics & Automation, Inc. NV 1.01,9.01 10/19/07
INTEL CORP DE 2.02,7.01 10/22/07
INTELLIGROUP INC NJ 2.02,9.01 10/26/07
INTERGROUP CORP DE 4.01,9.01 10/23/07
International Gold Resources, Inc. 4.02 10/23/07
INTERNATIONAL WIRE GROUP INC DE 1.01,2.03,9.01 10/26/07
INTERSECTIONS INC DE 5.03,9.01 10/24/07
INTUIT INC DE 5.02 10/24/07
INVENTIV HEALTH INC DE 7.01,9.01 10/26/07
INVERNESS MEDICAL INNOVATIONS INC DE 8.01,9.01 10/24/07
Investors Bancorp Inc DE 2.02,9.01 10/25/07
IONATRON, INC. DE 1.01,5.02,9.01 10/24/07
iPCS, INC DE 2.02,9.01 10/26/07
ISCO INTERNATIONAL INC DE 9.01 10/26/07
ISCO INTERNATIONAL INC DE 2.02,7.01,9.01 10/25/07
ISIS PHARMACEUTICALS INC DE 1.01,9.01 10/22/07
ITT CORP IN 2.02,7.01,9.01 10/26/07
IVAX DIAGNOSTICS INC DE 2.06 10/22/07
J P MORGAN CHASE & CO DE 9.01 10/24/07
JEFFERSON BANCSHARES INC TN 2.02,5.03,9.01 10/25/07
KENSEY NASH CORP DE 1.01,9.01 10/24/07
Kesselring Holding Corporation. 1.01,9.01 10/25/07
KIMCO REALTY CORP MD 2.02 10/26/07
KING PHARMACEUTICALS INC TN 8.01 10/26/07
KITTY HAWK INC DE 3.01 10/24/07
KOSAN BIOSCIENCES INC CA 1.02 10/25/07
KRONOS WORLDWIDE INC 7.01,9.01 10/25/07
LABORATORY CORP OF AMERICA HOLDINGS DE 1.01 10/26/07
LACLEDE GROUP INC MO 2.02,9.01 10/26/07
LAKES ENTERTAINMENT INC MN 5.02,9.01 10/22/07
LIFEPOINT HOSPITALS, INC. 2.02,9.01 10/25/07
Lightstone Value Plus Real Estate Inv MD 7.01,9.01 10/26/07
LINCARE HOLDINGS INC DE 8.01,9.01 10/25/07
Linens Holding Co. DE 1.01,1.02,9.01 10/24/07
LOUISIANA BANCORP INC LA 2.02,9.01 10/25/07
LSB CORP MA 2.02,9.01 10/25/07
LSI INDUSTRIES INC OH 2.02,9.01 10/26/07
LUBRIZOL CORP OH 2.02,4.02,9.01 10/22/07
LYDALL INC /DE/ DE 2.02,5.02,9.01 10/24/07
MACKINAC FINANCIAL CORP /MI/ MI 2.02,9.01 10/25/07
MARLIN BUSINESS SERVICES CORP 2.03 10/25/07
MASSEY ENERGY CO DE 2.02 10/26/07
MASTEC INC FL 1.01,2.02,7.01,9.01 10/22/07
MCG CAPITAL CORP DE 2.02,9.01 10/25/07
Measurement Specialties Inc NJ 5.02,9.01 10/22/07
MEDICAL DISCOVERIES INC UT 1.01,3.02,9.01 10/22/07
MEDIVATION, INC. DE 8.01,9.01 10/26/07
MENS WEARHOUSE INC TX 8.01,9.01 10/26/07
Mercantile Bancorp, Inc. DE 2.02,9.01 10/25/07
Meritage Homes CORP MD 2.02,9.01 10/25/07 AMEND
MetaMorphix Inc. MD 8.01,9.01 10/25/07
Metavante Holding CO 7.01,9.01 10/26/07
MICROTEK MEDICAL HOLDINGS, INC GA 5.03,9.01 10/23/07
MIDAMERICAN ENERGY HOLDINGS CO /NEW/ IA 8.01,9.01 10/26/07
MIDDLESEX WATER CO NJ 7.01,9.01 10/26/07
MIDLAND CAPITAL HOLDINGS CORP 2.02,9.01 10/26/07
MIDSOUTH BANCORP INC LA 2.02 10/24/07
MILLENNIUM CELL INC DE 3.02 10/22/07
MINERALS TECHNOLOGIES INC DE 2.02,2.05,2.06,5.02,9.01 10/24/07
MOODYS CORP /DE/ DE 5.02,9.01 10/22/07
MORGAN STANLEY DE 8.01,9.01 10/25/07
MUELLER INDUSTRIES INC DE 5.02,8.01,9.01 10/26/07
Nascent Wine Company, Inc. 3.02,3.03,5.03,9.01 10/22/07
NATIONAL CITY CORP DE 5.02,5.03,9.01 10/22/07
NATIONAL HEALTH REALTY INC MD 8.01 10/25/07
NATIONAL HEALTHCARE CORP DE 8.01 10/25/07
NATIONAL RURAL UTILITIES COOPERATIVE DC 1.01,9.01 10/25/07
NAVISITE INC DE 4.02 10/23/07
Neenah Paper Inc DE 1.01,2.03 10/24/07
NETWORK EQUIPMENT TECHNOLOGIES INC DE 1.01,3.02,9.01 10/26/07
Neuralstem, Inc. DE 4.01,9.01 10/10/07 AMEND
NEUROCRINE BIOSCIENCES INC CA 5.02,9.01 10/24/07
NEWMARKET CORP VA 5.03,8.01,9.01 10/25/07
NextMart Inc. DE 1.01,3.02 09/28/07
nFinanSe Inc. NV 5.02 10/26/07
NOVAVAX INC DE 1.02,9.01 10/22/07
NPS PHARMACEUTICALS INC DE 8.01,9.01 10/25/07
NUTRI SYSTEM INC /DE/ DE 5.02,8.01,9.01 10/24/07
OCEANFIRST FINANCIAL CORP DE 2.02,8.01,9.01 10/25/07
OGLETHORPE POWER CORP GA 5.02 10/26/07
OIL DRI CORP OF AMERICA DE 5.02,8.01,9.01 10/09/07 AMEND
OLD REPUBLIC INTERNATIONAL CORP DE 2.02,9.01 10/25/07
OLIN CORP VA 7.01,9.01 10/25/07
Omniture, Inc. DE 8.01,9.01 10/25/07
ONE MILLION NET INTERNATIONAL INC 5.03,9.01 06/27/07
ONLINE RESOURCES CORP DE 2.02 10/25/07
ORRSTOWN FINANCIAL SERVICES INC PA 2.02,9.01 10/25/07
ORTEC INTERNATIONAL INC DE 5.02 10/22/07
ORTEC INTERNATIONAL INC DE 1.01,1.02,5.02,8.01 09/26/07 AMEND
OSIRIS THERAPEUTICS, INC. DE 7.01,9.01 10/25/07
PAM TRANSPORTATION SERVICES INC DE 2.02,9.01 10/25/07
PAMRAPO BANCORP INC DE 2.02,9.01 10/26/07
Paramount Acquisition Corp DE 8.01,9.01 10/26/07
PENN VIRGINIA CORP VA 5.03,9.01 10/24/07
Penn Virginia GP Holdings, L.P. 5.03,9.01 10/23/07
PENN VIRGINIA RESOURCE PARTNERS L P DE 5.03,9.01 10/25/07
PENTAIR INC MN 5.02,9.01 10/23/07
People's United Financial, Inc. DE 5.02 10/25/07
PEOPLES BANCORP INC OH 2.02 10/26/07
PEOPLES COMMUNITY BANCORP INC /MD/ MD 2.02,8.01,9.01 10/24/07
PetroSouth Energy Corp. 4.01,9.01 10/26/07
PGT, Inc. DE 8.01,9.01 10/25/07
PHILADELPHIA CONSOLIDATED HOLDING COR PA 2.02,9.01 10/25/07
PHOTON DYNAMICS INC CA 8.01 10/25/07
PHOTONIC PRODUCTS GROUP INC NJ 8.01 10/26/07
PHYSICIANS FORMULA HOLDINGS, INC. DE 5.02 10/25/07
PLANETLINK COMMUNICATIONS INC GA 8.01,9.01 10/25/07
PLATINUM ENERGY RESOURCES INC DE 8.01,9.01 10/25/07
PLATINUM UNDERWRITERS HOLDINGS LTD D0 8.01,9.01 10/25/07
POLARIS INDUSTRIES INC/MN MN 7.01 10/26/07
PORTSMOUTH SQUARE INC CA 4.01,9.01 10/23/07
Power of The Dream Ventures Inc DE 1.01,3.02,5.02,9.01 10/24/07
PRAXAIR INC DE 5.02 10/23/07
PRINCETON NATIONAL BANCORP INC DE 5.03 10/22/07
Propex Inc. DE 1.01,8.01,9.01 10/26/07
PROVIDENT FINANCIAL HOLDINGS INC DE 5.03,9.01 10/25/07
PROVIDENT FINANCIAL HOLDINGS INC DE 8.01,9.01 10/25/07
PUGET ENERGY INC /WA WA 7.01 10/26/07
QCR HOLDINGS INC DE 2.02 10/26/07
QCR HOLDINGS INC DE 8.01 10/26/07
QUAINT OAK BANCORP INC PA 2.02,9.01 10/25/07
R H DONNELLEY CORP DE 1.01,2.03,9.01 10/24/07
RADIANT SYSTEMS INC GA 2.02,9.01 10/25/07
RAMBUS INC DE 5.02 10/22/07
RAND CAPITAL CORP NY 2.02 10/26/07
REGAL BELOIT CORP WI 5.02,9.01 10/22/07
Regency Energy Partners LP DE 8.01,9.01 10/25/07
RETAIL VENTURES INC OH 7.01,9.01 10/26/07
Revo Ventures Inc. NV 4.01 10/24/07
RIO VISTA ENERGY PARTNERS LP DE 1.01 10/22/07
RITE AID CORP DE 9.01 10/26/07
ROLLINS INC DE 5.03 10/23/07
ROPER INDUSTRIES INC /DE/ DE 2.02,9.01 09/30/07
ROYAL GOLD INC DE 2.01,9.01 10/24/07
RTW INC /MN/ MN 2.02,8.01,9.01 10/26/07
RTW INC /MN/ MN 8.01 10/26/07
RUBIOS RESTAURANTS INC DE 7.01,9.01 10/26/07
SAIA INC DE 2.02,9.01 10/26/07
SANTA FE ENERGY TRUST TX 2.02,9.01 10/26/07
SANTA FE FINANCIAL CORP NV 4.01,9.01 10/23/07
SEAWAY VALLEY CAPITAL CORP DE 2.01,3.02,5.06 10/23/07 AMEND
SELECTIVE INSURANCE GROUP INC NJ 7.01,9.01 10/25/07
Seneca Gaming Corp XX 8.01,9.01 10/24/07
SEQUENOM INC DE 3.02,8.01,9.01 10/25/07
Shiner International, Inc. NV 3.02,7.01 10/22/07
SI Financial Group, Inc. X1 2.02,9.01 10/24/07
Silver State Bancorp 2.02,9.01 10/24/07
SIMON PROPERTY GROUP INC /DE/ DE 5.02,5.03,9.01 10/25/07
SIRENZA MICRODEVICES INC DE 5.02,9.01 10/22/07
SJW CORP CA 2.02,9.01 09/30/07
SLM Student Loan Trust 2007-6 DE 1.01,2.01,9.01 10/23/07
SMITHTOWN BANCORP INC NY 8.01,9.01 10/25/07
Solo Cup CO DE 1.01,9.01 10/22/07
SONESTA INTERNATIONAL HOTELS CORP NY 1.02 10/26/07
Soundview Home Loan Trust 2007-OPT4 DE 8.01,9.01 09/18/07
SOUTHCOAST FINANCIAL CORP SC 2.02,9.01 10/22/07
SOUTHERN MICHIGAN BANCORP INC MI 2.02,9.01 10/26/07
SOUTHSIDE BANCSHARES INC TX 5.02,9.01 10/22/07
SOUTHSIDE BANCSHARES INC TX 5.02,9.01 10/22/07
SPSS INC DE 5.03,9.01 10/25/07
Sputnik, Inc. NV 9.01 10/25/07
STAMPS.COM INC DE 2.02,9.01 10/25/07
STANDARD PACIFIC CORP /DE/ DE 2.02,9.01 10/25/07
STANDARD REGISTER CO OH 2.02,9.01 10/26/07
STANDARD REGISTER CO OH 2.02,9.01 10/26/07 AMEND
STATION CASINOS INC NV 8.01 10/26/07
STERLING FINANCIAL CORP /WA/ WA 8.01 10/26/07
SYBASE INC DE 2.02,5.02,9.01 10/25/07
TALON INTERNATIONAL, INC. DE 5.02 10/25/07
TAPESTRY PHARMACEUTICALS, INC DE 2.05 10/23/07
TAPIMMUNE INC NV 8.01,9.01 10/25/07
TECUMSEH PRODUCTS CO MI 1.01,2.05,7.01,9.01 10/22/07
TELEFLEX INC DE 5.02 10/22/07
TEREX CORP DE 2.02,9.01 10/25/07
TERRA NOSTRA RESOURCES CORP. NV 1.01,2.03,3.02,9.01 10/23/07
TERRESTAR CORP DE 1.01 10/26/07
TF FINANCIAL CORP DE 5.03,9.01 10/24/07
TIB FINANCIAL CORP. FL 2.02,9.01 10/24/07
TIDEWATER INC DE 2.02,9.01 10/26/07
TIERONE CORP 8.01 10/25/07
Tim Hortons Inc. DE 2.02,5.03,9.01 10/25/07
TITAN PHARMACEUTICALS INC DE 8.01 10/26/07
TLC VISION CORP A6 8.01,9.01 10/24/07
TOMPKINS FINANCIAL CORP NY 2.02,8.01,9.01 10/24/07
TOOTSIE ROLL INDUSTRIES INC VA 8.01 09/29/07
TOWER FINANCIAL CORP IN 2.02,9.01 10/26/07
Tower Group, Inc. DE 5.01,9.01 10/24/07
TOWER TECH HOLDINGS INC. NV 3.02,5.02,8.01,9.01 10/24/07
TRANSCAT INC OH 2.02,5.02,9.01 10/23/07
TRAVELZOO INC DE 2.02,9.01 10/25/07
TRI CITY BANKSHARES CORP WI 2.02,9.01 10/26/07
TRIPOS INC UT 5.02,7.01,8.01,9.01 10/25/07
TXP CORP NV 5.02,9.01 10/23/07
UCBH HOLDINGS INC DE 2.02,9.01 10/25/07
ULTRA PETROLEUM CORP 2.01,5.02,9.01 10/22/07
UNION BANKSHARES CO/ME ME 2.02,9.01 10/26/07
UNION BANKSHARES CORP VA 2.02,5.03,7.01,9.01 10/24/07
United Community Bancorp X1 5.02,5.03,8.01,9.01 10/24/07
UNITED GUARDIAN INC DE 8.01,9.01 10/25/07
UNITED INDUSTRIAL CORP /DE/ DE 8.01,9.01 10/22/07
United States Natural Gas Fund, LP 7.01,9.01 10/26/07
United States Oil Fund, LP DE 7.01,9.01 10/26/07
UNIVERSAL DETECTION TECHNOLOGY CA 4.01,9.01 10/19/07
Universal Truckload Services, Inc. MI 2.02,9.01 10/25/07
US DRY CLEANING CORP DE 1.01,9.01 10/22/07
USB HOLDING CO INC DE 1.01,2.02,9.01 10/22/07
USG CORP DE 5.02 10/24/07
USTELEMATICS INC DE 4.01,9.01 10/23/07
UTIX GROUP INC DE 3.03 10/22/07
VALENCE TECHNOLOGY INC DE 8.01,9.01 10/25/07
VALIDUS HOLDINGS LTD 1.01,9.01 10/25/07
VALLEY FINANCIAL CORP /VA/ VA 2.02 10/26/07
VASCO DATA SECURITY INTERNATIONAL INC DE 2.02,9.01 10/25/07
VERMILLION, INC. DE 5.02 10/24/07
VIAD CORP DE 2.02,9.01 10/26/07
VISUAL MANAGEMENT SYSTEMS INC NV 9.01 07/17/07 AMEND
VISUAL SCIENCES, INC. CA 8.01,9.01 10/25/07
VONAGE HOLDINGS CORP DE 1.01,5.02 10/22/07
VPGI CORP TX 4.01 10/25/07
WASHINGTON BANKING CO WA 2.02,7.01,8.01,9.01 10/24/07
WASTE MANAGEMENT INC DE 2.02,9.01 10/26/07
WATCHIT MEDIA, INC. DE 2.01 10/19/07
Wayside Technology Group, Inc. DE 2.02,9.01 10/25/07
WEBSTER FINANCIAL CORP DE 5.02,9.01 10/22/07
WENDYS INTERNATIONAL INC OH 9.01 10/25/07
WENDYS INTERNATIONAL INC OH 7.01,9.01 10/26/07
WESTSTAR FINANCIAL SERVICES CORP NC 2.02,9.01 10/25/07
WHEELING PITTSBURGH CORP /DE/ DE 1.01,2.02,9.01 10/22/07
WHITNEY HOLDING CORP LA 5.02 10/23/07
WILSHIRE BANCORP INC CA 2.02,9.01 10/25/07
XENOMICS INC FL 1.01 08/27/07
XFONE INC NV 2.01,9.01 08/15/07 AMEND
XINYINHAI TECHNOLOGY, LTD. UT 1.01,2.01,2.03,9.01 10/18/07
YADKIN VALLEY FINANCIAL CORP NC 7.01 10/26/07
YRC WORLDWIDE INC DE 2.02,5.02,5.03,7.01,9.01 10/25/07
Zep Inc. DE 3.03,5.03,9.01 10/22/07
ZONES INC WA 2.02,9.01 10/25/07
http://www.sec.gov/news/digest/2007/dig102907.htm
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