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SEC NEWS DIGEST
Issue 2008-5 January 8, 2008
COMMISSION ANNOUNCEMENTS
SEC, SEBI ANNOUNCE INCREASED COOPERATION AND COLLABORATION OF CAPACITY
BUILDING EVENTS IN INDIA
The Securities and Exchange Commission and the Securities and Exchange
Board of India (SEBI) today announced terms for increased cooperation
and collaboration.
SEC Chairman Christopher Cox and SEBI Chairman M. Damodaran elaborated
the terms establishing the structure of, and agenda for, an SEC-SEBI
dialogue. This new dialogue has three main objectives:
* Identify and discuss regulatory issues of common concern
* Continue and expand upon the existing program of
capacity-building and technical cooperation between the SEC
and the SEBI
* Improve cooperation and the exchange of information in
cross-border securities enforcement matters
"As financial services and investment continue to grow and expand
between the United States and India, the SEC and SEBI are increasingly
working together to facilitate our aims of investor protection and
healthy markets," said Chairman Cox. "The SEC has worked with SEBI
over the past few years on extensive capacity-building programs as
well as enforcement matters. I look forward to continuing and
strengthening our regulatory and enforcement cooperation with SEBI
through this high-level dialogue."
Chairman Damodaran said, "Given the role that emerging and recently
emerged markets play in an increasingly globalised financial world, it
is only befitting that the SEBI and SEC work closely for the
protection of investors and for ensuring fair, efficient and
transparent markets. The high level discussions between the two
regulators, while promoting capacity building, would also enable both
the SEBI and SEC to take suitable joint and collective action where
needed."
Ethiopis Tafara, Director of the SEC Office of International Affairs,
said, "This framework for discussion will benefit and shape the SEC
staff's continued interaction with officials from the SEBI. The SEC
staff has engaged in over two dozen projects related to the Indian
markets and met with over 1,000 Indian officials. The new dialogue
will build upon these efforts and provide the SEC and SEBI with
further opportunities to enhance securities regulation."
The dialogue will be composed of regular meetings and ad hoc
information exchange at the staff level and between high-level
representatives of the SEC and SEBI.
Given recent developments in both the U.S. and Indian markets, the
following topics have been identified for discussion for the dialogue
over the coming year:
* Oversight of dually regulated entities
* Regulatory and compliance issues relating to outsourcing
* Accounting and auditing standards
* Corporate governance standards and internal controls
* Areas for continued capacity-building and technical
cooperation
* Cross-border cooperation and information sharing in securities
enforcement matters
The SEC and SEBI agree that this is not an exclusive list of issues to
be discussed in the dialogue and that the list may be revised as new
regulatory issues affecting the India and U.S. markets emerge in the
course of the year.
The SEC-SEBI dialogue was announced after completion of an extensive
two-week, SEC-SEBI capacity-building and technical cooperation session
on a variety of topics held in India at the end of December 2007.
Highlights of the capacity-building effort were two training programs
and a CCOutreach program for chief compliance officers of U.S.
registered investment advisers located in Asia. In the CCOutreach
program, topics included compliance risk assessment, establishing and
testing compliance controls and common deficiencies found in SEC
examinations.
The capacity-building programs conducted by the SEC involved a four-
day training program in Mumbai on Securities Market Oversight and
Enforcement which 55 Indian regulators attended. Topics included
broker-dealer compliance, hedge fund regulatory concerns, broker-
dealer and investment adviser inspections, insider trading, and market
manipulation. The SEC also conducted a two-day training program in New
Delhi on corporate finance and corporate disclosure which 25 officials
for SEBI regional offices attended. Topics included the offering
process, financial fraud, asset-backed securities and corporate
governance. (Press Rel. 2008-3)
ENFORCEMENT PROCEEDINGS
IN THE MATTER OF EURO CAPITAL INCORPORATED
The Commission announced the issuance, on January 4, of an Order
Temporarily Suspending Exemption Pursuant to Section 3(b) of the
Securities Act of 1933 and Regulation A thereunder, Statement of
Reasons for Entry of Order, and Notice of and Opportunity for Hearing
(Order). The Order finds that Euro Capital Incorporated (Euro Capital)
filed with the Commission on Dec. 17, 2007, a Regulation A Offering
Statement under the Securities Act of 1933 (Offering Statement).
According to the Order, the Commission has reason to believe the
following: the Offering Statement contains untrue statements of
material facts and omits to state material facts necessary in order to
make the statements made, in the light of the circumstances under
which they are made, not misleading; the Euro Capital offering, if
made, would be in violation of Section 17 of the Securities Act of
1933; and Euro Capital has failed to comply with the terms and
conditions of Regulation A because its Offering Statement omits
essential information required by Regulation A and Commission Form 1-
A. The statements in question pertain, generally, to certain unproven
mineral claims and alleged revenue; the omitted information pertains,
generally, to the value and ownership of the mineral claims and the
background of management.
Based on the above, the Order temporarily suspends Euro Capital's
exemption under Regulation A pursuant to Rule 258(a) of the General
Rules and Regulations under the Securities Act. (Rel. 33-8881; File
No. 3-12925)
IN THE MATTER OF e4L, INC., ET AL.
An Administrative Law Judge has issued an Order Making Findings and
Revoking Registrations by Default (Default Order) in the matter of
e4L, Inc., et al. The Order Instituting Proceedings alleged that
Respondents e4L, Inc., Luminex Lighting, Inc., MD Healthshares Corp.,
Royal Holiday Mobile Estates, Inc., and Sales Strategies, Inc.
(collectively, Respondents), failed repeatedly to file required annual
and quarterly reports while their 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 Respondents have with the Commission,
pursuant to Section 12(j) of the Securities Exchange Act of 1934.
(Rel. 34-57112; File No. 3-12895)
SEC PREVAILS IN INSIDER TRADING BENCH TRIAL
The Commission announced that on Nov. 26, 2007, the Honorable Ruben
Castillo, U.S. District Judge for the Northern District of Illinois,
entered a permanent injunction and other relief against Mark Michel,
finding him liable for securities fraud resulting from an insider
trading scheme after a bench trial held in Chicago from Oct. 1-5,
2007. The Court concluded that Michel, a registered representative
with Wachovia Securities, LLC, violated Section 10(b) of the
Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 by
repeatedly trading on material, non-public information in the
securities of Blue Rhino Corp. (Blue Rhino) in the week leading up to
Blue Rhino's Feb. 9, 2004, merger announcement with Ferrellgas
Partners, LP.
In its 61-page opinion, the Court found that a long-time friend of
Michel's (who was a co-defendant in the case who had previously
settled) tipped Michel about Blue Rhino's merger negotiations in a
telephone call on the night of Jan. 29, 2004. The Court found that the
following morning, having conducted minimal research on the stock and
having ignored it after reading a magazine article about it just four
months earlier, Michel began a six-day buying spree for himself, his
relatives and his customers in which he bought $1.4 million of Blue
Rhino stock.
The opinion also found that several other individuals had received the
same information as Michel on the night of January 29 or shortly
thereafter, all of whom were friends or relatives of a business
partner of one of Blue Rhino's directors, and all made unusually large
and unexplained purchases of Blue Rhino in the week before the merger.
The judge found that based on the close relationships among the
individuals involved, a series of unusual telephone calls on January
29 and 30, the unusually large purchases of Blue Rhino that followed
almost immediately, and numerous "shifting, contradictory and
implausible or inadequate explanations" of the purchases, Michel and
the other individuals had engaged in insider trading.
The Court permanently enjoined Michel from violating Section 10(b) of
the Exchange Act of 1934 and Rule 10b-5, and ordered him to pay
disgorgement of $277,881, representing profits gained from his illegal
insider trading, and prejudgment interest of $68,307. The Court
reserved jurisdiction to set an appropriate civil penalty.
The Commission also sued four other defendants, all of whom had
previously settled, leaving Michel as the only defendant to go to
trial. [SEC v. Mark Michel, et al., Civil Action No. 06C-3166-Castillo
(N.D. Ill.)] (LR-20423)
FINAL JUDGMENT ENTERED IN CONNECTION WITH A SCHEME TO SELL WORTHLESS
STOCK IN A COMPANY TOUTING A PHONY AIDS TREATMENT
The Commission announced today that, on January 4, the Honorable
Thomas I. Vanaskie entered a Final Judgment and Order against Lazare
Industries, Inc. (Lazare), its principal, Richard J. Harley (Harley),
and relief defendant Jacqueline Kube (Kube), (SEC v. Lazare
Industries, Inc., et al., Civil Action No. 3:CV-96-0705, M.D. Pa.).
The Final Judgment and Order directs Lazare, Harley, and Kube, jointly
and severally, to pay $975,911 in disgorgement and interest. It
further orders Lazare and Harley to pay third-tier penalties of $1
million and $500,000, respectively.
In the civil injunctive action filed by the Commission in April 1996,
the Commission alleged that Harley and Lazare engaged in a scheme to
defraud more than seventy investors by making fraudulent
representations and omissions in connection with the offer and sale of
at least $1.4 million of subscriptions for the unregistered stock of
Lazare. The Commission also named Jaqueline Kube, Richard Harley's
common law wife, as a relief defendant. The alleged misrepresentations
and omissions concerned an ozone/oxygen therapy offered by Lazare and
Harley which they claimed, among other things, (1) had undergone
extensive testing; (2) had been proven to be effective in the
treatment of, among other viruses, AIDS; and (3) had been patented.
None of these claims was true.
Simultaneous with the filing of the complaint, the Commission sought
and obtained a temporary restraining order against the defendants. On
May 20, 1996, the Court entered a Permanent Injunction by Consent and
Continued Asset Freeze (Permanent Injunction) which permanently
enjoined Lazare and Harley from violating Sections 5(a), 5(c), and
17(a) of the Securities Act of 1933, Section 10(b) of Securities
Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder, but
left open the issues of disgorgement and civil penalty. The action was
then stayed pending the outcome of related criminal proceedings.
After a hearing on Jan. 4, 2008, the Court entered the Final Judgment
and Order resolving these final issues. [SEC v. Lazare Industries,
Inc., et al., Civil Action No. 3:CV-96-0705 (M.D. Pa.)] (LR-20424)
SELF-REGULATORY ORGANIZATIONS
APPROVAL OF PROPOSED RULE CHANGES
The Commission approved a proposed rule change (SR-NYSE-2007-87), as
modified by Amendment No. 1 thereto, submitted by the New York Stock
Exchange to incorporate certain definitions of Exchange Act Rules 13d-
1 and 13d-3 into NYSE Rule 460. Publication is expected in the Federal
Register during the week of January 7. (Rel. 34-57100)
The Commission approved a proposed rule change (SR-NYSEArca-2007-
115) submitted by NYSE Arca relating to Rule 6.87 - Obvious
Error. Publication is expected in the Federal Register during the
week of January 7. (Rel. 34-57103)
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE
A proposed rule change as modified by Amendment No. 1 thereto (SR-ISE-
2007-113) filed by International Securities Exchange to allow the
Exchange to list up to seven expiration months for broad-based
security index options upon which an exchange calculates a constant
three-month volatility index 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 January 7. (Rel.
34-57104)
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 SHUTTERFLY INC, 2800 BRIDGE PARKWAY, STE 101, REDWOOD CITY, CA, 94065,
1,718,773 ($1,189.00) Equity, (File 333-148487 - Jan. 7) (BR. 11B)
S-1 Orexigen Therapeutics, Inc., 12481 HIGH BLUFF DRIVE, SUITE 160,
SAN DIEGO, CA, 92130, (858) 436-8600 -
8,050,000 ($112,539,000.00) Equity, (File 333-148490 - Jan. 7) (BR. 01C)
S-1 RAI Acquisition Corp., ONE CRESCENT DRIVE, SUITE 203,
NAVY YARD CORPORATE CENTER, PHILADELPHIA, PA, 19112, 215-465-0600 -
0 ($287,500,000.00) Equity, (File 333-148491 - Jan. 7) (BR. 11)
SB-2 SEW CAL LOGO INC, 207 W 138TH ST, LOS ANGELES, CA, 90061, 3103523300 -
10,871,760 ($54,358.80) Equity, (File 333-148492 - Jan. 7) (BR. 02A)
SB-2 CLINICAL TRIALS OF THE AMERICAS, INC, 210 WALFORD WAY, CARY, NC, 27519,
(919)414-1458 - 1,437,500 ($143,750.00) Equity, (File 333-148493 -
Jan. 7) (BR. 09)
S-3 SULPHCO INC, 4333 W. SAM HOUSTON PKWY N.,, SUITE 190, HOUSTON,, TX,
77043, 713-896-9100 - 2,026,570 ($9,687,004.60) Equity,
(File 333-148499 - Jan. 7) (BR. 04)
S-1 ATHENAHEALTH INC, 311 ARSENAL STREET, WATERTOWN, MA, 02472,
617-402-1000 - 0 ($126,559,320.00) Equity, (File 333-148500 - Jan. 7)
(BR. 02)
S-8 PERFECTENERGY INTERNATIONAL LTD, NO. 479 YOU DONG ROAD,,
XINZHUANG TOWN,, SHANGHAI, F4, 201100, (8621) 5488-8436 -
6,000,000 ($9,780,000.00) Equity, (File 333-148501 - Jan. 7) (BR. 10C)
S-8 ALLIANT TECHSYSTEMS INC, 5050 LINCOLN DRIVE, EDINA, MN, 55436-1097,
9523513000 - 0 ($337,080,000.00) Equity, (File 333-148502 - Jan. 7)
(BR. 05A)
S-8 SOURCEFIRE INC, 9770 PATUXENT WOODS DRIVE, COLUMBIA, MD, 21046,
4102901616 - 0 ($8,070,000.00) Equity, (File 333-148503 - Jan. 7)
(BR. 03B)
F-3 BLUEPHOENIX SOLUTIONS LTD, 8 MASKIT STREET, HERZLIA, L3, 46120,
972-9-952-6110 - 2,799,998 ($53,083,965.00) Equity, (File 333-148504 -
Jan. 7) (BR. 03C)
S-3 FORD CREDIT FLOORPLAN CORP, ONE AMERICAN ROAD, ROOM 1034, DEARBORN, MI,
48121, 3135947766 - 0 ($1,000,000.00) Asset-Backed Securities,
(File 333-148505 - Jan. 7) (BR. 05)
S-8 COPART INC, 4665 BUSINESS CENTER DRIVE, FAIRFIELD, CA, 94534,
7076395000 - 0 ($165,880,000.00) Equity, (File 333-148506 - Jan. 7)
(BR. 02B)
SB-2 Bancroft Uranium, Inc., 8655 EAST VIA DE VENTURA, SUITE G200,
SCOTTSDALE, AZ, 85258, 480-346-1460 -
7,242,180 ($14,484,360.00) Equity, (File 333-148507 - Jan. 7) (BR. 04B)
F-1 Cascal B.V., STATION APPROACH, DORKING, SURREY, X0, RH4 1TZ,
44(0) 1306 746080 - 19,211,111 ($365,011,109.00) Equity,
(File 333-148508 - Jan. 7) (BR. )
SB-2 Reshoot Production CO, 14055 TAHITI WAY, SUITE 305, MARINA DEL REY, CA,
90292, 310-823-3656 - 9,200,000 ($184,000.00) Equity,
(File 333-148510 - Jan. 7) (BR. )
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 Certain Officers; Election of Directors;
Appointment of Certain Officers; Compensatory Arrangements of Certain 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
5.06 Change in Shell Company Status
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 INDEPENDENCE FINANCIAL GROUP, INC DE 5.02,9.01 01/07/08
ABIOMED INC DE 8.01 01/07/08
ABM INDUSTRIES INC /DE/ DE 5.02 01/01/08
ABX Holdings, Inc. DE 1.01,2.01,2.03,3.02,5.02,8.01, 12/31/07
9.01
ACACIA RESEARCH CORP DE 5.03,9.01 12/31/07
ACCENTIA BIOPHARMACEUTICALS INC 7.01,9.01 01/07/08
ACE MARKETING & PROMOTIONS INC NY 3.02,7.01,8.01,9.01 12/31/07
ADEPT TECHNOLOGY INC CA 1.01,9.01 01/01/08
ADVANCED ENERGY INDUSTRIES INC DE 5.02,9.01 12/31/07
AEHR TEST SYSTEMS CA 2.02,9.01 01/07/08
AEI INCOME & GROWTH FUND 23 LLC DE 2.01,9.01 12/31/07
AETNA INC /PA/ PA 7.01 01/07/08
ALCO, INC. NV 5.02 01/07/08
ALLOS THERAPEUTICS INC DE 8.01,9.01 01/07/08
ALLSCRIPTS HEALTHCARE SOLUTIONS INC DE 1.01,2.01,2.02,2.03,9.01 12/31/07
ALTERNATIVE ENERGY SOURCES INC 2.06,5.02 01/01/08
AMALGAMATED ACQUISITION CORP. DE 1.01,5.01,9.01 12/03/07
AMEREX GROUP, INC. OK 1.01,9.01 12/31/07
AMERICAN BANCORP OF NEW JERSEY INC NJ 8.01,9.01 01/03/08
AMERICAN MEDICAL ALERT CORP NY 5.02,9.01 12/31/07
AMERICAN MEDICAL SYSTEMS HOLDINGS INC DE 5.02,9.01 01/04/08
AMERICAN MEDICAL SYSTEMS HOLDINGS INC DE 2.02,8.01,9.01 01/07/08
AMERIGROUP CORP 1.01 01/01/08
ANALYTICAL SURVEYS INC CO 1.01 01/07/08
ANHEUSER-BUSCH COMPANIES, INC. DE 2.02,9.01 01/07/08
APARTMENT INVESTMENT & MANAGEMENT CO MD 1.01,9.01 12/31/07
Apple REIT Eight, Inc. VA 2.01,9.01 01/02/08
ARABIAN AMERICAN DEVELOPMENT CO DE 5.03,9.01 01/03/08
ARENA RESOURCES INC NV 8.01 01/07/08
ASHFORD HOSPITALITY TRUST INC MD 5.02 12/31/07
ASIA PREMIUM TELEVISION GROUP NV 5.02 01/07/08
ASPEN TECHNOLOGY INC /DE/ DE 1.01,9.01 12/28/07
ASPYRA INC CA 5.02,9.01 12/31/07
ASSISTED LIVING CONCEPTS INC NV 1.01,2.03,7.01,9.01 12/31/07
Atlas Technology Group, Inc. DE 1.01,2.04,3.02,9.01 12/31/07
AUXILIUM PHARMACEUTICALS INC 7.01,9.01 01/07/08
AVOCENT CORP DE 7.01,9.01 01/07/08
Banc of America Commercial Mortgage I DE 8.01,9.01 01/07/08
BARRIER THERAPEUTICS INC DE 7.01,9.01 01/07/08
Barrington Broadcasting Group LLC DE 1.01 01/01/08
BEA SYSTEMS INC DE 5.02,9.01 12/31/07
Behringer Harvard Opportunity REIT I, MD 7.01,9.01 01/07/08
BERRY PLASTICS HOLDING CORP DE 5.03 01/07/08
BIOGEN IDEC INC. DE 2.02,9.01 01/07/08
BIOLASE TECHNOLOGY INC DE 2.02 01/07/08
BIOLASE TECHNOLOGY INC DE 1.01,5.02,9.01 01/07/08
BIONOVO INC DE 5.03,9.01 12/31/07
BIOVEST INTERNATIONAL INC DE 7.01,9.01 01/07/08
BJs RESTAURANTS INC CA 8.01,9.01 01/07/08
BLACKROCK PETROLEUM CORP. NV 1.01,5.01,5.02,9.01 12/31/07
BLUEGREEN CORP MA 1.01 01/07/08
Boardwalk Bancorp Inc NJ 8.01,9.01 01/07/08
BreitBurn Energy Partners L.P. DE 8.01,9.01 01/07/08
BreitBurn Energy Partners L.P. DE 9.01 11/01/07 AMEND
BSD MEDICAL CORP DE 7.01,9.01 01/07/08
BUSINESS OBJECTS S.A. 5.02,9.01 12/31/07
CALLIDUS SOFTWARE INC 8.01,9.01 01/07/08
CALLISTO PHARMACEUTICALS INC DE 1.01,9.01 12/31/07
CAMERON INTERNATIONAL CORP DE 8.01 01/07/08
CANADIAN DERIVATIVES CLEARING CORP A6 9.01 12/31/07
CANANDAIGUA NATIONAL CORP NY 2.01,9.01 01/07/08
Cape Bancorp, Inc. MD 8.01,9.01 01/07/08
CAPSTONE TURBINE CORP DE 1.01 12/31/07
CARGO CONNECTION LOGISTICS HOLDING, I FL 1.01,1.02,9.01 12/31/07
CARRIER ACCESS CORP DE 2.02 01/07/08
CASCADE CORP OR 8.01 01/04/08
CASTLE A M & CO MD 7.01,9.01 01/07/08
CB RICHARD ELLIS GROUP INC DE 5.02 01/01/08
CELGENE CORP /DE/ DE 2.02,9.01 01/06/08
CHEMUNG FINANCIAL CORP NY 5.02,9.01 01/07/08
CHESAPEAKE ENERGY CORP OK 7.01 01/02/08
CHINA SECURITY & SURVEILLANCE TECHNOL DE 5.02,9.01 01/07/08
CHINA SXAN BIOTECH, INC. NV 5.03 07/10/07
CHURCH LOANS & INVESTMENTS TRUST TX 5.02 12/31/07
CIB MARINE BANCSHARES INC WI 5.02 01/07/08
CINCINNATI BELL INC OH 1.01,7.01,9.01 12/31/07
CIPRICO INC DE 3.01,9.01 01/07/08
CIRCUIT CITY STORES INC VA 2.02,9.01 12/31/07
CITIGROUP DIVERSIFIED FUTURES FUND LP 3.02 01/01/08
CITIGROUP FAIRFIELD FUTURES FUND LP I 3.02 01/01/08
CLACENDIX, INC. DE 2.01,9.01 12/31/07
Clearpoint Business Resources, Inc DE 1.01,2.03,5.03,9.01 12/31/07
Cloudtech Sensors, Inc DE 8.01 01/04/08
COBIZ FINANCIAL INC CO 5.02,9.01 12/31/07
Cogdell Spencer Inc. MD 1.01 12/31/07
COINSTAR INC DE 1.01,9.01 01/01/08
Collexis Holdings, Inc. 4.01,9.01 01/02/08
COLORADO GOLDFIELDS INC. NV 8.01,9.01 01/03/08
COMMERCE BANCORP INC /NJ/ NJ 5.02,8.01,9.01 12/31/07
Commerce Planet UT 4.01,9.01 01/02/08
Commerce Planet UT 1.01,2.03,9.01 12/26/07
Comstock Homebuilding Companies, Inc. DE 1.01 12/31/07
CONCRETE CASTING INC 5.02 01/01/08
CONMED CORP NY 5.02,9.01 01/04/07
Consolidated Communications Holdings, DE 1.01,2.01,9.01 12/31/07
CONSOLIDATED GRAPHICS INC /TX/ TX 7.01,9.01 01/07/08
COVANCE INC DE 5.02 12/31/07
COVENTRY HEALTH CARE INC DE 2.02,9.01 01/07/08
CRAFTMADE INTERNATIONAL INC DE 1.01,1.02,2.03,9.01 12/31/07
CRAWFORD & CO GA 5.02,8.01,9.01 01/07/08
CSS INDUSTRIES INC DE 7.01,9.01 01/04/08
CVR ENERGY INC DE 1.01,9.01 12/31/07
CVR ENERGY INC DE 5.02 12/29/07
CYBERTEL CAPITAL CORP NV 1.01,9.01 12/31/07
DCP Midstream Partners, LP DE 5.02 01/01/08
DEBT RESOLVE INC DE 5.01 12/31/07
DELPHI CORP DE 7.01 01/07/08
DEXCOM INC 7.01,9.01 01/07/08
DIAMOND OFFSHORE DRILLING INC DE 7.01,9.01 01/07/08
Digital Realty Trust, Inc. MD 7.01,9.01 01/07/08
DOCUMENT SECURITY SYSTEMS INC NY 1.01,2.03 01/04/08
DOT HILL SYSTEMS CORP NY 1.01,2.02,3.02,9.01 01/04/08
DRI CORP NC 1.02 01/02/08
DST SYSTEMS INC DE 5.02,9.01 12/31/07
DTS, INC. DE 5.02,5.03,9.01 12/31/07
EARTH BIOFUELS INC DE 9.01 01/07/08
Echo Healthcare Acquisition Corp. DE 8.01,9.01 01/04/08
Education Realty Trust, Inc. MD 5.02,9.01 01/01/08
EGAIN COMMUNICATIONS CORP DE 1.01,9.01 01/07/08
EGPI FIRECREEK, INC. NV 1.01,2.03,3.02,5.01,5.02,9.01 01/07/08
ELOYALTY CORP DE 2.02,9.01 01/07/08
Emergent BioSolutions Inc. DE 2.02,9.01 01/07/08
EMPIRE RESORTS INC DE 8.01,9.01 01/04/08
Empire Water CORP NV 3.02,5.01,8.01 01/03/08
ENDWAVE CORP DE 2.02,9.01 01/07/08
ENERGROUP HOLDINGS CORP 1.01,2.01,3.02,5.01,5.02,5.06, 12/26/07
9.01
EnerLume Energy Management Corp. CO 7.01,9.01 01/07/08
ENERNOC INC 5.02,8.01,9.01 01/07/08
ENHERENT CORP DE 5.02 01/02/08
ENTERPRISE FINANCIAL SERVICES CORP DE 1.01,3.02,7.01,9.01 12/31/07
ENTERTAINMENT DISTRIBUTION CO INC DE 3.01,9.01 01/04/08
ENTRUST INC MD 2.02,9.01 01/07/08
ENWIN RESOURCES INC NV 4.01,9.01 01/02/08
EPIC ENERGY RESOURCES, INC. CO 3.02 12/31/07
EQUITY LIFESTYLE PROPERTIES INC MD 1.01,2.02,5.02,9.01 01/04/08
ESCO TECHNOLOGIES INC MO 5.02,9.01 12/31/07
EUROBANCSHARES INC PR 1.01,9.01 01/02/08
ev3 Inc. DE 2.02,9.01 01/07/08
ev3 Inc. DE 7.01,9.01 01/07/08
EXTERRAN HOLDINGS INC. DE 5.02 01/01/08
FIRST REPUBLIC PREFERRED CAPITAL CORP 5.03,9.01 12/28/07
FORMFACTOR INC DE 5.02,9.01 01/04/08
G REIT INC MD 7.01,9.01 01/07/08
GAMETECH INTERNATIONAL INC DE 2.02,8.01,9.01 01/04/07
GASTAR EXPLORATION LTD 7.01,9.01 01/07/08
GEMSTAR TV GUIDE INTERNATIONAL INC DE 8.01 01/07/08
GENESIS ENERGY LP DE 3.01,9.01 01/04/08
GENTEX CORP MI 5.02 01/07/08
GENZYME CORP MA 2.01,9.01 10/22/07 AMEND
GLOBALSCAPE INC DE 5.02,9.01 01/01/08
GMX RESOURCES INC OK 7.01,9.01 01/07/08
GOLDEN PHOENIX MINERALS INC /MN/ MN 5.02,9.01 01/01/08
GOLDMAN SACHS HEDGE FUND PARTNERS LLC DE 7.01 01/07/08
GOLDMAN SACHS HEDGE FUND PARTNERS LLC DE 3.02 01/07/08
Graymark Healthcare, Inc. 1.01,2.01,3.02,3.03,5.01,5.02, 12/31/07
5.03,9.01
GREEN BANKSHARES, INC. TN 5.02,9.01 12/31/07
HCC INSURANCE HOLDINGS INC/DE/ DE 8.01,9.01 01/02/08
HEALTH NET INC DE 7.01 01/06/08
HEALTHCARE TECHNOLOGIES LTD 1.01,2.01,3.02,5.01,5.02,5.03, 01/07/08
9.01
HEALTHSOUTH CORP DE 7.01,9.01 01/07/08
HEALTHWAYS, INC DE 7.01 01/07/08
HESKA CORP DE 5.02 01/07/08
HEXCEL CORP /DE/ DE 5.02,9.01 12/31/07
hhgregg, Inc. DE 2.02,9.01 01/07/08
HI TECH PHARMACAL CO INC NY 8.01 12/31/07
HIGHWATER ETHANOL LLC 5.02 01/01/08
HOLLY CORP DE 5.02 01/07/08
HOLLY ENERGY PARTNERS LP DE 5.02 01/07/08
HORTON D R INC /DE/ DE 1.01,2.03,9.01 01/04/08
HOTEL OUTSOURCE MANAGEMENT INTERNATIO DE 8.01 12/28/07
HUMAN GENOME SCIENCES INC DE 2.02,9.01 01/07/08
I2 TELECOM INTERNATIONAL INC WA 1.01,3.02,9.01 01/07/08
IBT BANCORP INC PA 4.01,9.01 01/01/08
ICAHN ENTERPRISES L.P. DE 5.02,9.01 01/01/08
IDEX CORP /DE/ DE 2.01,9.01 01/02/08
IDT CORP DE 5.02,9.01 01/03/08
IMMUCOR INC GA 2.02,9.01 01/07/08
IMPERIAL SUGAR CO /NEW/ TX 5.02 01/02/08
India Globalization Capital, Inc. MD 8.01,9.01 01/04/08
INFINITY PHARMACEUTICALS, INC. DE 7.01,8.01,9.01 01/07/08
INFORMEDIX HOLDINGS INC NV 4.01,9.01 10/26/07 AMEND
InfoSearch Media, Inc. DE 4.01,9.01 12/31/07
Integrated Healthcare Holdings Inc NV 5.02,9.01 12/31/07
Integrated Management Information, In 7.01,9.01 01/07/08
INTERFACE INC GA 5.03,9.01 01/07/08
INTERMOUNTAIN COMMUNITY BANCORP ID 5.02 01/01/08
INTERNATIONAL SPEEDWAY CORP FL 7.01,9.01 01/07/08
INTERNATIONAL TEXTILE GROUP INC DE 5.02,9.01 01/07/08
INTERNATIONAL TEXTILE GROUP INC DE 8.01,9.01 01/07/08
ION MEDIA NETWORKS INC. DE 3.02 12/31/07
ISRAMCO INC DE 1.01,2.01,2.05,9.01 12/31/07
ITEX CORP NV 8.01,9.01 01/07/08
JACKSON RIVERS CO FL 5.02,9.01 12/31/07
JEFFERIES GROUP INC /DE/ DE 2.02,7.01,9.01 01/06/08
JK Acquisition Corp. 8.01,9.01 01/04/08
Kandi Technologies Corp 5.03 06/29/07 AMEND
KEY ENERGY SERVICES INC MD 5.02,9.01 12/31/07
Kingston Mines Ltd. NV 5.02 01/07/08
KITTY HAWK INC DE 8.01,9.01 01/07/08
KMG CHEMICALS INC TX 1.01,2.01,2.03,9.01 12/31/07
KOSAN BIOSCIENCES INC CA 8.01,9.01 01/03/08
KRATOS DEFENSE & SECURITY SOLUTIONS, DE 1.01,2.01,2.03,5.03,9.01 12/31/07
KRISPY KREME DOUGHNUTS INC NC 5.02,9.01 01/06/08
KRONOS ADVANCED TECHNOLOGIES INC NV 1.01,3.02,5.01,8.01 12/31/07
La Solucion Inc DE 5.03,9.01 12/31/07
LANDEC CORP \CA\ CA 5.02,9.01 01/07/08
Lawson Software, Inc. MN 2.02,9.01 01/07/08
LEESPORT FINANCIAL CORP PA 5.02 12/31/07
LEGG MASON INC MD 1.01,2.03,9.01 01/03/08
LEXICON PHARMACEUTICALS, INC./DE DE 2.02 01/07/08
LEXINGTON REALTY TRUST MD 1.01,3.02,8.01 12/31/07
LIFECELL CORP DE 2.02,9.01 01/07/08
LMI AEROSPACE INC MO 7.01,9.01 12/21/07 AMEND
LOCATEPLUS HOLDINGS CORP 2.04 12/06/07
LONG-E INTERNATIONAL, INC. UT 1.01,2.03,3.02,9.01 12/31/07
LYONDELL CHEMICAL CO DE 5.02 01/01/08
Mandalay Media, Inc. DE 5.02 01/01/08
MAP Pharmaceuticals, Inc. DE 8.01,9.01 01/07/08
MARINE PRODUCTS CORP DE 8.01,9.01 01/07/08
MASTR Asset Securitization Trust 2007 DE 8.01,9.01 01/07/08
MATHSTAR INC MN 3.01,9.01 01/04/08
MAXYGEN INC DE 8.01,9.01 01/07/08
MedAire, Inc. NV 8.01 01/07/08
MedaSorb Technologies CORP 5.02,9.01 12/31/07
MediaREADY Inc FL 1.01,2.01,2.03,3.02,5.01,5.03, 12/31/07
9.01
MEDICINOVA INC DE 7.01,9.01 01/07/08
MEDISTEM LABORATORIES, INC. 1.01,9.01 05/09/07
MEDTOX SCIENTIFIC INC DE 1.01,9.01 12/31/07
MERIDIAN INTERSTATE BANCORP INC MA 8.01,9.01 01/07/08
MESA ROYALTY TRUST/TX TX 2.02,9.01 12/21/07
METALICO INC 1.01,9.01 01/02/08
MID AMERICA APARTMENT COMMUNITIES INC TN 7.01,9.01 01/07/08
MIDDLEBURG FINANCIAL CORP VA 5.02 12/31/07
Midway Gold Corp 7.01,9.01 01/04/08
MIPS TECHNOLOGIES INC DE 2.02,9.01 01/07/08
MOODYS CORP /DE/ DE 2.05 01/07/08
MORGANS FOODS INC OH 1.01,1.02,2.02,2.03 12/31/07
MRU HOLDINGS INC DE 3.02 12/31/07
MSC-Medical Services CO FL 5.02,7.01,9.01 12/28/07
MYLAN INC. PA 1.01,1.02 01/07/08
MZT Holdings, Inc. DE 3.01,9.01 01/07/08
NASDAQ STOCK MARKET INC DE 1.01,9.01 01/02/08
NASTECH PHARMACEUTICAL CO INC DE 5.02,9.01 01/04/08
NATCO GROUP INC DE 5.02,8.01,9.01 01/07/08
NaturalNano , Inc. NV 1.01,9.01 12/31/07
NaturalNano , Inc. NV 4.01,9.01 01/04/08 AMEND
NB CAPITAL CORP MD 1.01,3.03,9.01 01/01/08
NEDAK ETHANOL, LLC NE 8.01,9.01 01/07/08
NELNET INC NE 1.01,5.03,9.01 12/31/07
NETEZZA CORP 1.01 01/02/08
NETWORK CN INC DE 1.01,9.01 01/01/08
NEW JERSEY RESOURCES CORP NJ 7.01,9.01 01/07/08
NEW ULM TELECOM INC MN 1.01,2.01,9.01 12/31/07
NEWMONT MINING CORP /DE/ DE 7.01,9.01 01/04/08
NEWPORT CORP NV 1.01,9.01 01/02/08
NEWPOWER HOLDINGS INC DE 8.01,9.01 01/02/08
NEWS CORP 8.01,9.01 01/07/08
NEXTGEN BIOSCIENCE INC. NV 2.01,3.02,5.02,9.01 11/27/07 AMEND
NITCHES INC CA 5.02 01/04/08
NITCHES INC CA 3.02,9.01 12/31/07
NOBLE INTERNATIONAL, LTD. DE 1.01,9.01 12/31/07
NORTH VALLEY BANCORP CA 1.01,9.01 12/31/07
NU HORIZONS ELECTRONICS CORP DE 1.01,1.02,4.01,9.01 01/03/08
NU SKIN ENTERPRISES INC DE 5.03,9.01 01/01/08
NVR INC VA 5.02,9.01 01/03/08
ODYSSEY MARINE EXPLORATION INC NV 5.02,7.01,9.01 01/01/08
OLD LINE BANCSHARES INC 5.02,9.01 12/31/07
OMNI ENERGY SERVICES CORP LA 5.02,9.01 12/31/07
OMNIRELIANT HOLDINGS, INC. NV 5.02,9.01 01/03/08
ONSCREEN TECHNOLOGIES INC CO 7.01 01/07/08
OPENWAVE SYSTEMS INC DE 2.01,9.01 12/31/07
Opes Exploration Inc. NV 1.01,7.01,9.01 01/07/08
Oracle Healthcare Acquisition Corp. 8.01,9.01 01/07/08
Orexigen Therapeutics, Inc. DE 1.01,3.03,9.01 01/06/08
ORLEANS HOMEBUILDERS INC DE 2.05,9.01 12/31/07
OSI PHARMACEUTICALS INC DE 8.01,9.01 01/02/08
OSIRIS THERAPEUTICS, INC. DE 1.01,7.01,9.01 12/31/07
P&F INDUSTRIES INC DE 5.03,9.01 12/31/07
PACIFIC CONTINENTAL CORP OR 2.02,9.01 01/07/08
PACIFIC GAS & ELECTRIC CO CA 5.02,7.01,9.01 01/07/08
PANACOS PHARMACEUTICALS, INC. DE 1.01,5.02,9.01 01/01/08
PAR TECHNOLOGY CORP DE 5.02,9.01 12/31/07
PARADIGM MEDICAL INDUSTRIES INC DE 8.01,9.01 12/24/07
PARK CITY GROUP INC DE 5.02 01/07/08
Park Place Energy Corp. NV 7.01 12/20/07
Park Place Energy Corp. NV 5.02 12/14/07 AMEND
PCS EDVENTURES COM INC 1.02 01/07/08
PERFORMANCE TECHNOLOGIES INC \DE\ DE 1.02 12/31/07
PETROLEUM DEVELOPMENT CORP NV 8.01,9.01 01/07/08
PG&E CORP CA 5.02,7.01,9.01 01/07/08
PHH CORP MD 1.01,8.01,9.01 01/04/08
PHOENIX TECHNOLOGIES LTD DE 8.01 01/07/08
PHYSICIANS FORMULA HOLDINGS, INC. DE 5.02 01/01/08
PINNACLE AIRLINES CORP DE 8.01 01/04/08
PINNACLE ENTERTAINMENT INC DE 1.01,5.02,9.01 12/30/07
PIPELINE DATA INC 7.01 12/31/07
PIPELINE DATA INC 7.01 12/31/07
PLANETLINK COMMUNICATIONS INC GA 9.01 01/04/08
POWERSECURE INTERNATIONAL, INC. DE 2.05,5.02,9.01 12/31/07
PROGENICS PHARMACEUTICALS INC DE 5.02 12/31/07
PROLIANCE INTERNATIONAL, INC. DE 8.01,9.01 01/07/08
PROS Holdings, Inc. DE 5.03,9.01 12/31/07
QUALSTAR CORP CA 2.02,9.01 01/07/08
QUICKSILVER RESOURCES INC DE 8.01,9.01 01/07/08
RAAC Series 2006-SP2 Trust DE 8.01,9.01 01/07/08 AMEND
RADIOSHACK CORP DE 1.01,5.02 01/07/08
REFLECT SCIENTIFIC INC UT 1.01,9.01 12/31/07
REGENCY CENTERS CORP FL 5.02,5.03,9.01 01/01/08
REGENCY CENTERS LP FL 5.02,5.03,9.01 01/01/08
REGENERX BIOPHARMACEUTICALS INC DE 1.01,3.02,9.01 12/31/07
RENASANT CORP MS 5.02 01/02/08
RESOURCING SOLUTIONS GROUP INC NV 1.01,9.01 01/04/08
RESTORATION HARDWARE INC CA 5.03,9.01 12/31/07
Rim Semiconductor CO UT 5.02,7.01,9.01 12/31/07
RIMAGE CORP MN 5.02,9.01 12/31/07
Rockville Financial Inc. 8.01 01/04/08
Rockwood Holdings, Inc. DE 2.01,9.01 12/31/07
RUSS BERRIE & CO INC NJ 5.03,9.01 12/31/07
SABINE ROYALTY TRUST TX 2.02,9.01 01/04/08
SALOMON SMITH BARNEY AAA ENERGY FUND 3.02 01/01/08
SALOMON SMITH BARNEY ORION FUTURES FU 3.02 01/01/08
SAMARITAN PHARMACEUTICALS INC NV 5.02,5.03,9.01 01/07/08
SANDRIDGE ENERGY INC DE 7.01,9.01 01/07/08
SAUER DANFOSS INC DE 5.02,9.01 01/02/08
SCHNITZER STEEL INDUSTRIES INC OR 2.02,9.01 01/07/08
Select Notes Trust LT 2004-1 DE 8.01,9.01 01/02/08
SEMTECH CORP DE 8.01,9.01 01/03/08
SENTO CORP UT 1.01,9.01 12/28/07
ShoreTel Inc CA 2.02,9.01 01/07/08
SIELOX INC DE 1.01,9.01 12/31/07
SILICON STORAGE TECHNOLOGY INC CA 5.02,5.03,9.01 12/28/07
Silver Dragon Resources Inc. DE 8.01 01/07/08
SIMTROL INC DE 8.01 12/31/07
Sino Fibre Communications, Inc. NV 1.01,9.01 01/07/08
SKILLSOFT PUBLIC LIMITED CO 8.01 01/02/08
SMITH BARNEY BRISTOL ENERGY FUND LP 3.02 01/01/08
SMITH BARNEY POTOMAC FUTURES FUND LP 3.02 01/01/08
SMITH BARNEY TIDEWATER FUTURES FUND L 3.02 01/01/08
SMITH BARNEY WARRINGTON FUND L P 3.02 01/01/08
SMITH BARNEY WESTPORT FUTURES FUND LP 3.02 01/01/08
Solera National Bancorp, Inc. DE 8.01,9.01 01/07/08
SOLUTIA INC DE 7.01,9.01 01/07/08
SOLUTIA INC DE 7.01,9.01 01/07/08 AMEND
Somaxon Pharmaceuticals, Inc. DE 7.01,9.01 01/07/08
SONGZAI INTERNATIONAL HOLDING GROUP I NV 1.01,9.01 01/07/08
SONOSITE INC 2.02,9.01 01/07/08
SOUTHERN CO DE 8.01 12/21/07
SOUTHERN STAR ENERGY INC. NV 1.01,9.01 01/01/08
SPORT SUPPLY GROUP, INC. DE 7.01,9.01 01/07/08
SRI SURGICAL EXPRESS INC FL 5.02,7.01,9.01 12/31/07
STRUCTURED PRODUCTS CORP CASTSM STEP DE 8.01,9.01 01/01/08
STRUCTURED PRODUCTS CORP CORTS TRUST DE 8.01,9.01 01/01/08
STRUCTURED PRODUCTS CORP CORTS TRUST DE 8.01,9.01 01/01/08
STRUCTURED PRODUCTS CORP CRED ENHANCE DE 8.01,9.01 01/01/08
STRUCTURED PRODUCTS CORP TIERS R INFL DE 8.01,9.01 01/01/08
Sun American Bancorp DE 8.01,9.01 01/07/08
SUN COMMUNITIES INC MD 2.02,8.01,9.01 01/07/08
SUNTRUST BANKS INC GA 5.02,9.01 02/16/07 AMEND
SUPERIOR ENERGY SERVICES INC DE 7.01,9.01 01/07/08
SUPERIOR ENERGY SERVICES INC DE 1.01,8.01,9.01 01/01/08
Superior Well Services, INC DE 7.01,9.01 01/07/08
SUPERTEL HOSPITALITY INC VA 8.01,9.01 01/01/08
SYNTHESIS ENERGY SYSTEMS INC DE 7.01,9.01 01/07/08
SYNTHETIC BLOOD INTERNATIONAL INC NJ 2.03,3.02,9.01 12/29/07
TAIWAN FUND INC DE 7.01,9.01 11/01/07
TALBOTS INC DE 1.01,9.01 12/31/07
TASKER PRODUCTS CORP DE 2.03,3.02 12/31/07
TELEFLEX INC DE 7.01,9.01 01/07/08
TELEPHONE & DATA SYSTEMS INC /DE/ DE 2.02,8.01,9.01 01/07/08
TELIK INC DE 5.02 12/31/07
Tennessee Valley Authority 5.02 12/31/07
TESSERA TECHNOLOGIES INC DE 7.01,9.01 01/07/08
THEATER XTREME ENTERTAINMENT GROUP, I FL 1.01,9.01 01/07/08
THERAVANCE INC DE 5.02 01/05/08
THERMOENERGY CORP AK 1.01,5.02,9.01 01/01/08
TIAA REAL ESTATE ACCOUNT NY 1.01,1.02,9.01 01/01/08
TransMontaigne Partners L.P. DE 5.02,9.01 12/31/07
TREDEGAR CORP VA 1.01,8.01,9.01 01/06/08
TRI-S SECURITY CORP GA 1.01,9.01 12/31/07
Trist Holdings, Inc. DE 1.01,2.01,3.02,9.01 12/31/07
Tropical PC, Inc. NV 8.01 12/30/07
UMPQUA HOLDINGS CORP OR 7.01,9.01 01/07/08
United Refining Energy Corp DE 5.03,9.01 12/31/07
UNITED STATES CELLULAR CORP DE 2.02,8.01,9.01 01/07/08
UNIVERSAL DISPLAY CORP \PA\ PA 1.01 01/04/08
URON INC MN 2.01,3.02,5.01,5.02,9.01 12/31/07
US CONCRETE INC DE 8.01,9.01 01/07/08
US Oncology Holdings, Inc. DE 5.02,9.01 01/01/08
VAXGEN INC DE 8.01,9.01 01/07/08
VERISIGN INC/CA DE 5.02 12/31/07
Viacom Inc. DE 5.02,9.01 01/07/08
VIASPACE Inc. NV 1.01,2.03 01/04/08
VIKING SYSTEMS INC DE 1.01,3.02,5.02,8.01,9.01 01/04/08
VirnetX Holding Corp DE 5.02,7.01,9.01 12/31/07
VISANT CORP 5.02,8.01,9.01 01/07/08
VISANT HOLDING CORP 5.02,8.01,9.01 01/07/08
VISUAL SCIENCES, INC. CA 1.01,9.01 12/31/07
Voyager Learning CO DE 1.01,9.01 01/02/08
VWR Funding, Inc. DE 7.01,9.01 01/07/08
WaferGen Bio-systems, Inc. NV 7.01,9.01 01/07/08
WALKER FINANCIAL CORP DE 1.01,3.02,9.01 01/03/08
WALTER INDUSTRIES INC /NEW/ DE 5.02 01/01/08
WASHINGTON MUTUAL, INC WA 5.02,7.01,9.01 12/31/07
WEBSENSE INC DE 8.01,9.01 01/07/08
WELLPOINT INC IN 7.01 01/07/08
WESTINGHOUSE AIR BRAKE TECHNOLOGIES C DE 5.02 01/02/08
WESTSIDE ENERGY CORP NV 1.01,3.02,5.02,5.03,9.01 12/31/07
WGNB CORP GA 2.02,9.01 01/02/08
WHITEMARK HOMES INC CO 4.01,9.01 01/07/08
WHITNEY INFORMATION NETWORK INC CO 5.02,9.01 12/31/07
WILLIAMS INDUSTRIES INC VA 1.01,9.01 01/07/08
WORKSTREAM INC 1.01 08/03/07 AMEND
WorldSpace, Inc DE 1.01,2.03,3.02,9.01 01/02/08
XERIUM TECHNOLOGIES INC DE 5.02,9.01 01/03/08
XILINX INC DE 5.02,9.01 01/04/08
XL CAPITAL LTD 5.02,9.01 01/07/08
XM SATELLITE RADIO HOLDINGS INC DE 8.01,9.01 01/07/08
XTO ENERGY INC DE 5.02,9.01 01/07/08
YELLOWCAKE MINING INC. 1.01,9.01 01/07/08
Z TRIM HOLDINGS, INC IL 7.01,8.01,9.01 01/07/08
ZAP CA 5.02,9.01 12/19/07
ZILA INC DE 3.01,9.01 01/03/08
ZIX CORP TX 8.01 01/07/08
ZIX CORP TX 8.01 01/07/08
Zumiez Inc 7.01,9.01 01/06/08
http://www.sec.gov/news/digest/2008/dig010808.htm
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