SEC NEWS DIGEST Issue 2007-133 July 12, 2007 COMMISSION ANNOUNCEMENTS SEC VOTES TO ADOPT ANTIFRAUD RULE UNDER INVESTMENT ADVISERS ACT On July 11, the Commission voted unanimously to adopt a new antifraud rule under the Investment Advisers Act that will clarify the Commission's ability to bring enforcement actions under the Advisers Act. "This rule applies to investment advisers not only of hedge funds, but also of private equity funds, venture capital funds, and mutual funds. Collectively, these funds hold trillions of dollars of investors' assets and play an important and growing role in our capital markets," said SEC Chairman Christopher Cox. "The rule will give the Commission an important tool to help us police this market - to deter misconduct and to call to task those who breach their obligations to investors." The new rule will make it a fraudulent, deceptive, or manipulative act, practice, or course of business for an investment adviser to a pooled investment vehicle to make false or misleading statements to, or otherwise to defraud, investors or prospective investors in that pool. The rule will apply to all investment advisers to pooled investment vehicles, regardless of whether the adviser is registered under the Advisers Act. Under the new rule, a pooled investment vehicle will include any investment company and any company that would be an investment company but for the exclusions in Sections 3(c)(1) or 3(c)(7) of the Investment Company Act. The new rule will take effect 30 days after its publication in the Federal Register. (Press Rel. 2007-133) COMMISSION MEETINGS CLOSED MEETING - TUESDAY, JULY 17, 2007 - 2:00 P.M. The subject matter of the closed meeting scheduled for Tuesday, July 17, will be: Formal orders of investigations; Institution and settlement of injunctive actions; Institution and settlement of administrative proceedings of an enforcement nature; Resolution of litigation claims; Regulatory matter regarding financial institution; An adjudicatory matter; and Other matters related to enforcement proceedings. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551-5400. RULES AND RELATED MATTERS EXPANSION OF INTERACTIVE DATA VOLUNTARY REPORTING PROGRAM ON THE EDGAR SYSTEM TO INCLUDE MUTUAL FUND RISK/RETURN SUMMARY INFORMATION On July 11, the Commission issued a release adopting amendments to expand its interactive data voluntary reporting program to permit mutual funds to submit as exhibits to their registration statements supplemental tagged information contained in the risk/return summary section of their prospectuses. The risk/return summary section contains key mutual fund information, including investment objectives and strategies, risks, and costs. (Rels. 33-8823, IC-27884; Press Rel. 2007-134) ENFORCEMENT PROCEEDINGS IN THE MATTER OF KEITH A. ROGERS On July 12, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 Making Findings and Imposing Remedial Sanctions (the Order) against Keith A. Rogers (Rogers). The Order finds that at all relevant times, Rogers was a proprietary trader at A.B. Watley, Inc., a day trading firm registered with the Commission. From September 2003 through December 2003, Rogers day traded as a customer and later as a proprietary trader at E*Trade Professional Trading, LLC (E*trade), a broker-dealer registered with the Commission. For at least a portion of the time in which he engaged in the conduct underlying the information described below, Rogers had a Series 7 license and was associated with broker-dealers registered with the Commission. The Order further finds that on March 4, 2005, Rogers pleaded guilty to one count of conspiracy to commit securities fraud, a felony, in a sealed proceeding in the U.S. District Court in the Eastern District of New York. U.S. v. Rogers, 05-CR122 (ILG) (E.D.N.Y. March 4, 2005). The count of the criminal information in the case in which Rogers pleaded guilty alleged, inter alia, that while associated with a broker-dealer, Rogers participated in a scheme to use material confidential information improperly obtained from broker-dealers' squawk boxes to trade ahead of the broker-dealers' institutional orders. Based on the above, the Order bars Rogers from association with any broker or dealer. Rogers consented to the issuance of the Order without admitting or denying any of the findings in the Order except as to his guilty plea, which he admits. (Rels. 34-56052; File No. 3- 12681) IN THE MATTER OF KEITH M. GELLER On July 12, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 Making Findings and Imposing Remedial Sanctions (the Order) against Keith M. Geller (Geller). The Order finds that from February 2002 through January 2004, Geller was a proprietary trader at A.B. Watley, Inc., a day trading firm registered with the Commission as a broker-dealer. For a portion of the time in which he engaged in the conduct underlying the information described below, Geller had a Series 7 license and was associated with a broker-dealer registered with the Commission. The Order further finds that on Jan. 31, 2006, Geller pleaded guilty to one count of conspiracy to commit securities fraud, a felony, in a sealed proceeding in the U.S. District Court in the Eastern District of New York. U.S. v. Geller, No. 05-CR0900 (ILG) (E.D.N.Y. Jan.31, 2006). The count of the criminal information in the case in which Geller pleaded guilty alleged, inter alia, that while associated with a broker-dealer, Geller participated in a scheme to use material confidential information improperly obtained from broker-dealers' squawk boxes to trade ahead of the broker-dealers' institutional orders. Based on the above, the Order bars Geller from association with any broker or dealer. Geller consented to the issuance of the Order without admitting or denying any of the findings in the Order except as to his guilty plea, which he admits. (Rel. 34-58053; File No. 3- 12682) IN THE MATTER OF C. WESLEY RHODES, JR. On July 12, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (Order) against C. Wesley Rhodes, Jr., age 55 and a resident of West Linn, Oregon. The Order finds that a final judgment was entered by consent against Rhodes on May 30, 2007, permanently enjoining him from future violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 206(1) and 206(2) of the Investment Advisers Act of 1940, in the civil action entitled SEC v. C. Wesley Rhodes, Jr., et al., Civil Action Number CV06-01353-MO, in the United States District Court for the District of Oregon. The Commission's amended complaint alleges that Rhodes and companies he controlled raised millions of dollars from individual investors by representing that he would invest their money in stock or bond funds or portfolios or directly in stocks and bonds. The complaint further alleges that in July 2006, Rhodes sent account statements to the individual investors showing that their balances had an aggregate value of nearly $40 million as of June 30, 2006. The complaint alleges that, contrary to representations made to investors, Rhodes had not been using the investors' money to invest in stocks and bonds and, instead, was actually misappropriating and misusing the investor funds for other purposes, including the purchase of automobiles and sports memorabilia. The complaint alleges that by the time a receiver was appointed for Rhodes' companies in September 2006, Rhodes had less than $2 million invested in stocks and bonds as compared to the almost $40 million that he had claimed was invested as of June 30, 2006, in the statements that he had provided to his investors. Based on the above, the Order bars Rhodes from association with any investment adviser. Rhodes consented to the issuance of the Order without admitting or denying any of the findings. (Rel. IA-2619; File No. 3-12683) SEC v. CEP HOLDINGS, INC., ET AL. The Commission announced today that it has filed a complaint seeking emergency relief in the United States District Court for the Eastern District of North Carolina against CEP Holdings, Inc. d/b/a www.colonendparenthesis.net (CEP), Colon End Parenthesis Trust, LLC (CEP Trust), and its owners and operators, Trevor Reed (Reed) and Clayton Kimbrell (Kimbrell). The Commission alleges that since approximately November 2005, Reed and Kimbrell, through CEP, have fraudulently sold approximately $12 million worth of securities in unregistered transactions to approximately 5,000 investors, promising returns of 2% per day. The Commission alleges that Reed and Kimbrell solicited investors to purchase CEP memberships with a minimum investment of $20 through CEP's Internet website. On the homepage of this site, CEP claimed that investors could make the "% of an auto-surf without surfing." In order to invest in CEP, investors were required to open and fund an account at CEP Trust, which was also owned and controlled by Reed and Kimbrell. Reed, Kimbrell, and CEP falsely claimed to use the funds to invest in safe, "brick and mortar" type businesses, such as travel agencies and real estate. In fact, Reed and Kimbrell invested most of the money CEP raised in other high-risk, online schemes, including auto-surf programs. Reed and Kimbrell omitted to disclose to CEP investors that CEP had no record of its investments and that neither CEP nor CEP Trust have reliable financial records. Moreover, Reed and Kimbrell, through CEP, made numerous other misrepresentations and omissions of material facts concerning (1) the safety and rate of return of the investment; (2) the nature and merits of the investment; (3) CEP's compliance with Commission regulations; and (4) the size and scope of CEP's overall membership program. The complaint alleges that the defendants, Reed, Kimbrell, and CEP have violated Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder. The Complaint further alleges that CEP Trust aided and abetted violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. The Court subsequently entered an order freezing the defendants' assets, appointing a receiver for the defendants, imposing preliminary injunction against the defendants for future violations of the antifraud provision of the federal securities laws, and providing other relief. [SEC v. CEP Holdings, Inc. D/B/A Colonendparenthesis.net, Trevor Reed, Clayton Kimbrell and Colon End Parenthesis Trust, LLC, Civil Action No. 5:07-CV-00256-BO, EDNC] (LR- 20191) FLORIDA PROMOTERS AND THE VOICE BEHIND "VICEMAIL" PUMP AND DUMP SCHEME PLEAD GUILTY The Commission today announced that former husband-and-wife Roderic L. and Anna A. Boling of Altamonte Springs, Florida and stock promoter Jeffrey S. Mills of Longwood, Florida pled guilty on July 3, 2007, to federal charges for their roles in the broadcasting of hundreds of thousands of fraudulent "vicemail" stock tip messages. The messages, which were left on telephone voicemail recording machines throughout the country, were designed to deceive a recipient into believing he had inadvertently received a "hot" stock tip meant for a close friend of the caller. Roderic Boling and Jeffrey Mills each pled guilty before District Judge Ellen Segal Huvelle of the U.S. District Court for the District of Columbia to one count of securities fraud and one count of conspiracy to commit securities fraud in connection with the fraudulent "vicemail" scheme. Anna Boling pled guilty to misprision of a felony for her role in concealing from a grand jury and law enforcement officials her own activities, as well as those of her then-husband. According to the statement of offenses, Mills was hired in July and August 2004 to promote five microcap stocks. Mills recruited Roderic Boling to record and distribute the fraudulent voicemails and together they designed and created the scripts for the messages with the intent of fraudulently inducing prospective investors into purchasing the securities touted in the voicemails at inflated prices. Roderic Boling asked his then-wife Anna Boling to record the fraudulent messages, which she knew would be distributed to hundreds of thousands of persons across the country. After Anna Boling learned that her mother and sister had been subpoenaed to testify before a federal grand jury, she falsely told them that she had not recorded the messages, and caused her relatives to convey that false information to the grand jury. At sentencing, Roderic Boling and Jeffrey Mills each face a maximum term of imprisonment of 25 years, and a fine of $5,000,000. Anna Boling faces a maximum term of imprisonment of 3 years and a fine of $250,000. Sentencing dates have not yet been set by the court. The Commission first cautioned the public about these and similar messages touting microcap stocks in an August 2004 Investor Alert. On May 3, 2005, the Commission filed a settled civil action against the telemarketer and associated companies for its role in broadcasting the "vicemail" stock tips. The Commission's civil action against Roderic Boling, Anna Boling and Jeffrey Mills is pending. See also Securities Exchange Act of 1934 Release No. 19213 (May 3, 2005); Securities Exchange Act of 1934 Release No. 19779 (July 27, 2006); Press Rel. 2005-70 (May 3, 2005); and Press Rel. 2006-124 (July 27, 2006). The SEC's investor alert is at: http://www.sec.gov/investor/pubs/wrongnumberscam.htm. [SEC v. Roderic Lee Boling III, Anna August Boling, Jeffrey Scott Mills and Direct Results of Sweetwater, LLC, Civ. No. 06-1329 (RMC) (D.D.C); U.S. v. Boling, et al., Crim. No. 06-228 (ESH) D.D.C.] (LR-20192) SEC FILES ACTIONS AGAINST FORMER CEO AND FORMER BOARD MEMBER OF ENGINEERED SUPPORT SYSTEMS, INC. RELATING TO OPTIONS BACKDATING SCHEME On July 12, the Commission filed a civil injunctive action against Michael F. Shanahan, Sr. (Shanahan), the former Chief Executive Officer of Engineered Support Systems, Inc., and his son Michael F. Shanahan, Jr. (Shanahan Jr.), a former member of Engineered Support's Compensation Committee of its Board of Directors, alleging that they participated in a fraudulent scheme in which they granted undisclosed, in-the-money stock options to themselves and to other Engineered Support officers, employees, and directors. According to the complaint, Engineered Support employees and directors received approximately $20 million in unauthorized and undisclosed compensation as a result of the backdating, $16 million of which was received by top executives and directors. Shanahan personally profited from the backdating scheme by $8,916,562. The complaint alleges that, from 1997 through 2002, Shanahan and Shanahan Jr. approved the issuance of backdated stock options that coincided with historically low closing prices of Engineered Support's common stock. The company's stock options vested at the time of grant, providing the option recipients with instantly realizable compensation. In addition, the complaint alleges that, on at least two occasions, Shanahan approved the cancellation and reissuance of previously backdated Engineered Support stock options that had fallen out-of-the-money with new backdated grant dates and exercise prices, in order to bring them back in-the-money. The complaint also alleges that Shanahan granted additional Engineered Support stock options to non-employee directors in excess of authorized amounts, from which these directors profited by approximately $6 million. The complaint alleges that Shanahan Jr. profited by $379,738 from the receipt of unauthorized stock options. As part of the scheme, Shanahan and Shanahan Jr. allegedly caused Engineered Support to misrepresent in its Forms 10-K, proxy statements, and registration statements filed with the Commission that all stock options had been and would be granted at the fair market value of the Company's common stock on the date of the award. The complaint also alleges that Engineered Support failed to report the additional compensation its executives had received through in-the- money option grants, and that the Company failed to disclose the repricing of options that had fallen out-of-the-money, or the granting of stock options to non-employee directors in excess of authorized amounts. The Commission's investigation in this matter is continuing. [SEC v. Michael F. Shanahan, Sr., et al, Civil Action No. 4:07-cv- 1262, USDC, ED Mo] (LR-20193; AAE Rel. 2633; Press Rel. 2007-135) SEC FILES SETTLED CHARGES AGAINST TASTY FRIES, INC. AND ITS PRESIDENT AND CHIEF EXECUTIVE OFFICER, EDWARD KELLY, FOR FRAUD, UNREGISTERED SALES OF SECURITIES, AND REPORTING, RECORD KEEPING, AND INTERNAL CONTROLS VIOLATIONS TASTY FRIES' FORMER OPERATIONS MANAGER AND COUNSEL, LOUIS KELLY, ALSO SETTLES CHARGES RELATING TO THE UNREGISTERED SALES OF SECURITIES The Commission announced today that it has filed a complaint against Tasty Fries, Inc. (Tasty Fries), located in Blue Bell, Pennsylvania, and its President and Chief Executive Officer, Edward C. Kelly, in the United States District Court for the Eastern District of Pennsylvania alleging that they unlawfully: issued Tasty Fries stock without proper authorization; issued and filed with the Commission false and misleading financial statements; made false and misleading statements in press releases and Commission filings; and, together with Edward Kelly's son, Louis M. Kelly, engaged in the unregistered sale of Tasty Fries securities. Tasty Fries, aided and abetted by Edward Kelly, also committed reporting, record keeping and internal control violations. The Commission's complaint alleges that between 2001 and 2005, Edward Kelly, on four occasions, improperly attempted to increase the number of authorized shares of Tasty Fries stock. As a result, since 2001, the company issued over 78 million more shares of common stock than its articles of incorporation authorized, and incorrectly accounted for its issuances of common stock in its financial statements. Since January 2002, all of the company's financial statements filed with its annual and periodic reports are materially misstated. The complaint further alleges that between 2002 and 2004, Tasty Fries and Edward Kelly also made materially false and misleading statements in press releases and in Commission filings relating to the development and production status of a French fry vending machine that Tasty Fries was developing. Edward Kelly improperly profited by $32,925 from such statements as the result of improper trading in Tasty Fries stock. The complaint alleges that this conduct violated Section 17(a) of the Securities Act of 1933 (Securities Act), and Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder. The Commission's complaint also alleges that Tasty Fries, Edward Kelly, and Louis Kelly engaged in improper unregistered offers and sales of Tasty Fries common stock by compensating advisors and consultants with common stock in sales that the company did not effectively register. Tasty Fries used this stock to pay consultants and advisors who either did not provide bona fide services to Tasty Fries or provided promotional and investor relations services. In three such instances, Louis Kelly, an attorney licensed in Pennsylvania, authored the legal opinions that the company filed with its ineffective registration statements. The complaint further alleges that Tasty Fries and Edward Kelly also engaged in improper unregistered sales of Tasty Fries common stock by engaging in so- called "gypsy swaps" in which they arranged for shareholders to sell purportedly nonrestricted Tasty Fries stock to others, in exchange for which Tasty Fries ultimately received all or some of the stock purchase price, and the selling shareholders received from the company new restricted shares, which sometimes included extra bonus shares provided as an inducement for the shareholders to sell their purportedly nonrestricted stock. The complaint alleges that this conduct violated Sections 5(a) and 5(c) of the Securities Act. The Commission's complaint further alleges that Tasty Fries, aided and abetted by Edward Kelly, has failed to make filings with the Commission of required annual, quarterly and current reports; to make and keep books, records, and accounts that accurately and fairly reflect Tasty Fries' transactions and dispositions of Tasty Fries' assets; and to devise and maintain an adequate system of internal accounting controls. As a result, Tasty Fries, aided and abetted by Edward Kelly, violated Sections 13(b)(2)(A), 13(b)(2)(B), and 15(d) of the Exchange Act and Rules 15d-1, 15d-11, 15d-13, and 12b-20, promulgated thereunder. The complaint further alleges that Edward Kelly violated Rule 15d-14 under the Exchange Act by filing certifications of Tasty Fries' required Commission filings that contained false or misleading statements and did not satisfy the Rule's requirements. Without admitting or denying the allegations in the complaint, Tasty Fries consented to the entry of a final judgment, subject to the court's approval, in which it is permanently enjoined from further violations of Sections 5(a), 5(c) and 17(a) of the Securities Act and Sections 10(b), 13(b)(2)(A), 13(b)(2)(B), and 15(d) of the Exchange Act and Rules 10b-5, 12b-20, 15d-1, 15d-11, and 15d-13 thereunder. Without admitting or denying the allegations in the complaint, Edward Kelly consented to the entry of a final judgment, subject to the court's approval, in which he is: (i) permanently enjoined from further violations of Sections 5(a), 5(c), and 17(a) of the Securities Act, Section 10(b) of the Exchange Act and Rules 10b-5 and 15d-14 thereunder, and from aiding and abetting violations of Sections 13(b)(2)(A), 13(b)(2)(B), and 15(d) of the Exchange Act and Rules 12b- 20, 15d-1, 15d-11, and 15d-13 thereunder; (ii) barred from acting as an officer or director of a public company; (iii) ordered to pay disgorgement of his trading profits, plus prejudgment interest, totaling $39,245; and (iv) ordered to tender 3,115,165 shares of Tasty Fries stock for cancellation. Without admitting or denying the allegations of the complaint, Louis Kelly consented to the entry of a final judgment, subject to the court's approval, in which he: (i) is permanently enjoined from further violations of Sections 5(a) and 5(c) of the Securities Act; and (ii) ordered to pay a civil penalty of $19,500. [SEC v. TASTY FRIES, INC., EDWARD C. KELLY AND LOUIS M. KELLY Civil Action No. 07-CV-2857(E.D. Pa.)] (LR-20194) SELF-REGULATORY ORGANIZATIONS ACCELERATED APPROVAL OF PROPOSED RULE CHANGES The Commission granted accelerated approval to a proposed rule change (SR-Phlx-2007-34), as modified by Amendment No. 1 thereto, filed by the Philadelphia Stock Exchange relating to U.S. dollar-settled foreign currency options. Publication is expected in the Federal Register during the week of July 16. (Rel. 34-56034; International Series Rel. No. 1304) The Commission granted accelerated approval to a proposed rule change (SR-NYSEArca-2007-43) submitted by NYSE Arca, through its wholly-owned subsidiary, NYSE Arca Equities, Inc., to list and trade Shares of the iShares COMEX Gold Trust. Publication is expected in the Federal Register during the week of July 16. (Rel. 34-56041) The Commission granted accelerated approval to a proposed rule change (SR-NYSEArca-2007-45) submitted by NYSE Arca, through its wholly-owned subsidiary, NYSE Arca Equities, Inc. to trade units of the United States Natural Gas Fund, LP pursuant to unlisted trading privileges. Publication is expected in the Federal Register during the week of July 16. (Rel. 34-56042) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-CBOE-2007-70) and Amendment No. 1 thereto filed by the Chicago Board Options Exchange to extend the Quarterly Options Series pilot program, has become immediately 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 July 16. (Rel. 34-56035) A proposed rule change filed by NYSE Arca to extend the Quarterly Options Series pilot program for a two-week period (SR-NYSEArca-2007- 67) has become immediately 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 July 16. (Rel. 34-56040) PROPOSED RULE CHANGE The National Association of Securities Dealers filed a proposed rule change (SR-NASD-2007-021) amending the definition of a public arbitrator. Publication is expected in the Federal Register during the week of July 16. (Rel. 34-56039) JOINT INDUSTRY PLAN RELEASES PROPOSED NATIONAL MARKET SYSTEM PLANS Pursuant to Rule 608 under the Securities Exchange Act of 1934, two proposed national market system plans for the selection and reservation of securities symbols submitted by: (i) American Stock Exchange, New York Stock Exchange, and NYSE Arca.; and (ii) Chicago Stock Exchange, The Nasdaq Stock Market, National Association of Securities Dealers, National Stock Exchange, and Philadelphia Stock Exchange have been filed with the Commission. Publication is expected in the Federal Register during the week of July 16. (Rel. 34-56037) 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: . In most cases, this information is also available on the Commission's website: . S-8 KFORCE INC, 1001 EAST PALM AVENUE, SUITE, TAMPA, FL, 33605, 8135525000 - 0 ($167,500.00) Equity, (File 333-144470 - Jul. 11) (BR. 11A) SB-2 GOLDEN CLAW VENTURES INC., 810 PEACE PORTAL DRIVE, SUITE 214, BLAINE, WA, 98230, 360-929-8276 - 7,484,420 ($149,688.40) Equity, (File 333-144471 - Jul. 11) (BR. 04) SB-2 TOPSPIN MEDICAL INC, 1013 CENTER ROAD, WILMINGTON, DE, 19805, 3026365400 - 0 ($33,672,235.00) Other, (File 333-144472 - Jul. 11) (BR. 10) S-4 ISOLAGEN INC, 713-780-4754 - 0 ($131,038,000.00) Other, (File 333-144473 - Jul. 11) (BR. 01A) S-8 LIME ENERGY CO., 1280 LANDMEIER ROAD, ELK GROVE, IL, 60007, 8474371666 - 0 ($1,042,667.00) Equity, (File 333-144474 - Jul. 11) (BR. 10B) S-8 LIME ENERGY CO., 1280 LANDMEIER ROAD, ELK GROVE, IL, 60007, 8474371666 - 0 ($820,500.00) Equity, (File 333-144475 - Jul. 11) (BR. 10B) S-3 TRANSMETA CORP, 3990 FREEDOM CIRCLE, 415-413-1880, SANTA CLARA, CA, 95054, 4089193000 - 0 ($50,000,000.00) Other, (File 333-144476 - Jul. 11) (BR. 10C) S-3 ISOLAGEN INC, 713-780-4754 - 0 ($41,890,095.00) Other, (File 333-144477 - Jul. 11) (BR. 01A) S-8 SYNOVIS LIFE TECHNOLOGIES INC, 2575 UNIVERSITY AVENUE, ST PAUL, MN, 55114-1024, 6516033700 - 0 ($10,869,888.00) Equity, (File 333-144480 - Jul. 11) (BR. 10C) S-3D UNION BANKSHARES CORP, 212 NORTH MAIN ST, P O BOX 446, BOWLING GREEN, VA, 22427, 8046335031 - 0 ($11,545,000.00) Equity, (File 333-144481 - Jul. 11) (BR. 07B) N-2 Nuveen Tax-Advantaged Dividend Growth Fund, 333 WEST WACKER DRIVE, CHICAGO, IL, 60438, 312-917-8146 - 0 ($1,000,000.00) Equity, (File 333-144483 - Jul. 11) (BR. 18) S-8 ANHEUSER-BUSCH COMPANIES, INC., ONE BUSCH PL, ST LOUIS, MO, 63118-1852, 3145772000 - 300,000 ($15,516,000.00) Equity, (File 333-144485 - Jul. 11) (BR. 02A) S-4 FLEXTRONICS INTERNATIONAL LTD., ONE MARINA BOULEVARD, #28-00, SINGAPORE, U0, 018989, (65) 6890 7188 - 0 ($2,420,174,538.00) Equity, (File 333-144486 - Jul. 11) (BR. 10B) S-8 NUVIM INC, 12 ROUTE 17 NORTH STE 210, PARAMUS, NJ, 07652, (201) 556-1010 - 72,000 ($19,440.00) Equity, (File 333-144487 - Jul. 11) (BR. 02B) S-3 IMMUNOGEN INC, 128 SIDNEY ST, CAMBRIDGE, MA, 02139, 6179952506 - 0 ($75,000,000.00) Equity, (File 333-144488 - Jul. 11) (BR. 01A) S-8 AMB PROPERTY CORP, PIER 1 BAY 1, SAN FRANCISCO, CA, 94111, 4153949000 - 0 ($419,400,000.00) Equity, (File 333-144489 - Jul. 11) (BR. 08A) S-8 MERIDIAN GOLD INC, 9670 GATEWAY DR, #200, RENO, NV, 89511, 7028273777 - 8,000,000 ($224,720,000.00) Equity, (File 333-144490 - Jul. 11) (BR. 04A) S-8 DealerTrack Holdings, Inc., 1111 MARCUS AVENUE, SUITE M04, LAKE SUCCESS, NY, 11042, (516) 734-3600 - 0 ($48,841,000.00) Equity, (File 333-144491 - Jul. 11) (BR. 03B) S-4 US Oncology Holdings, Inc., 16825 NORTHCHASE DRIVE, SUITE 1300, HOUSTON, TX, 77060, (832) 601-8766 - 0 ($654,144,119.00) Debt, (File 333-144492 - Jul. 11) (BR. 01C) SB-2 Sterling Exploration Inc., 388 DRAKE ST. SUITE 2703, VANCOUVER, A1, V6B 6A8, 604-782-4282 - 5,055,000 ($505,500.00) Equity, (File 333-144493 - Jul. 11) (BR. ) S-3 PG&E CORP, ONE MARKET SPEAR TOWER, SUITE 2400, SAN FRANCISCO, CA, 94105, 4152677000 - 5,000,000 ($22,490,000.00) Equity, (File 333-144494 - Jul. 11) (BR. 02B) S-3 TARGETED GENETICS CORP /WA/, 1100 OLIVE WAY, STE 100, SEATTLE, WA, 98101, 2066237612 - 13,734,575 ($38,182,118.00) Equity, (File 333-144495 - Jul. 11) (BR. 01C) S-3 MCMORAN EXPLORATION CO /DE/, 1615 POYDRAS ST, NEW ORLEANS, LA, 70112, 5045824000 - 0 ($1,500,000,000.00) Unallocated (Universal) Shelf, (File 333-144496 - Jul. 11) (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: . In most cases, this information is also available on the Commission's website: . STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT 99 CENTS ONLY STORES CA 2.02,9.01 07/09/07 AAR CORP DE 2.02,9.01 07/11/07 ABX AIR INC 5.02,9.01 07/02/07 ADVANCE TECHNOLOGIES INC NV 1.01,2.01,3.02,5.01,5.02,9.01 07/10/07 Advanced BioPhotonics Inc. DE 8.01,9.01 07/09/07 ADVANCED MEDICAL OPTICS INC DE 8.01,9.01 07/11/07 AEROPOSTALE INC 7.01,9.01 07/11/07 AEROPOSTALE INC 7.01,9.01 07/11/07 AK STEEL HOLDING CORP DE 7.01,9.01 07/09/07 ALLIANCE ONE INTERNATIONAL, INC. VA 8.01 07/10/07 ALLIANCEBERNSTEIN HOLDING L.P. DE 7.01,9.01 07/11/07 ALLIANCEBERNSTEIN L.P. DE 7.01,9.01 07/11/07 ALLION HEALTHCARE INC DE 5.02 07/11/07 ALTERNATE ENERGY CORP NV 8.01,9.01 05/10/07 Alternative Loan Trust 2007-16CB DE 9.01 06/29/07 Alternative Loan Trust 2007-17CB DE 9.01 06/29/07 Alternative Loan Trust 2007-18CB DE 9.01 06/29/07 Alternative Loan Trust 2007-19 DE 9.01 06/29/07 Alternative Loan Trust 2007-20 DE 9.01 06/28/07 Alternative Loan Trust 2007-OA8 DE 9.01 06/28/07 AMERICAN BANK NOTE HOLOGRAPHICS INC DE 8.01 07/10/07 AMERICHIP INTERNATIONAL INC 4.01,9.01 06/18/07 AMEND ANTARES PHARMA INC DE 3.02,8.01,9.01 07/09/07 APEX CAPITAL GROUP INC NV 1.01,9.01 04/02/07 ARADIGM CORP CA 5.02,9.01 07/03/07 ARBINET THEXCHANGE INC DE 5.02,9.01 07/09/07 ASCENDANT SOLUTIONS INC DE 5.02 07/09/07 ASCENDIA BRANDS, INC. DE 7.01,9.01 07/11/07 Atlas Pipeline Holdings, L.P. DE 7.01 07/10/07 ATLAS PIPELINE PARTNERS LP DE 7.01 07/10/07 AUDIOVOX CORP DE 2.02,8.01 07/11/07 AUXILIUM PHARMACEUTICALS INC 7.01,9.01 07/11/07 AVASOFT, INC. NV 4.01,9.01 07/11/07 BABYUNIVERSE, INC. FL 3.02 07/06/07 BANCFIRST CORP /OK/ OK 7.01,9.01 07/09/07 BEDMINSTER NATIONAL CORP DE 1.01,2.01,2.03,3.02,9.01 07/03/07 AMEND BEST BUY CO INC MN 7.01 07/05/07 BIG CAT ENERGY CORP 7.01,9.01 07/11/07 BIOLASE TECHNOLOGY INC DE 8.01 07/10/07 BOOKHAM, INC. DE 5.02,9.01 07/10/07 BOSTON COMMUNICATIONS GROUP INC MA 1.01,3.03,5.02,8.01,9.01 07/11/07 BOSTON COMMUNICATIONS GROUP INC MA 1.01,3.03,9.01 07/11/07 BREEZE-EASTERN CORP DE 4.01 07/02/07 AMEND Bridgeline Software, Inc. DE 2.01,7.01,9.01 07/05/07 BROADCASTER INC CA 8.01 07/11/07 BUREAU OF NATIONAL AFFAIRS INC DE 4.01 07/10/07 CANARGO ENERGY CORP DE 7.01,9.01 07/05/07 CAPITAL ONE MASTER TRUST NY 8.01,9.01 07/10/07 CAPTARIS INC WA 2.01,9.01 07/10/07 CARDIODYNAMICS INTERNATIONAL CORP CA 8.01,9.01 07/11/07 CARPENTER TECHNOLOGY CORP DE 5.02,9.01 07/10/07 Carrington Mortgage Loan Trust, Serie DE 8.01,9.01 07/11/07 Catalyst Pharmaceutical Partners, Inc DE 8.01,9.01 07/10/07 CATUITY INC DE 1.01,2.03,9.01 07/05/07 CENTRAL EUROPEAN DISTRIBUTION CORP DE 7.01,9.01 07/10/07 CENTURY BANCORP INC MA 2.02,9.01 07/10/07 CENTURY BANCORP INC MA 8.01,9.01 07/10/07 CERADYNE INC DE 7.01,9.01 07/10/07 CET SERVICES INC CA 1.02 07/10/07 Chase Mortgage Finance Trust Series 2 DE 8.01,9.01 06/26/07 Chase Mortgage Finance Trust Series 2 DE 8.01,9.01 06/26/07 CHEMBIO DIAGNOSTICS, INC. NV 7.01,9.01 07/10/07 CHESAPEAKE ENERGY CORP OK 8.01,9.01 07/10/07 CHESAPEAKE UTILITIES CORP DE 8.01,9.01 07/06/07 CHILDRENS PLACE RETAIL STORES INC 8.01,9.01 07/11/07 China Direct, Inc DE 8.01 07/11/07 CHL Mortgage Pass-Through Trust 2007- DE 9.01 06/28/07 CHL Mortgage Pass-Through Trust 2007- DE 9.01 06/28/07 CHL Mortgage Pass-Through Trust 2007- DE 9.01 06/28/07 CHL Mortgage Pass-Through Trust 2007- DE 9.01 06/29/07 CIRCUIT CITY STORES INC VA 5.02,9.01 07/11/07 CLAIBORNE LIZ INC DE 7.01,9.01 07/11/07 CLARCOR INC DE 5.02,9.01 07/10/07 CLEVELAND CLIFFS INC OH 8.01 07/11/07 CMS ENERGY CORP MI 1.01,9.01 07/11/07 COCONNECT INC NV 8.01 07/11/07 COLOR KINETICS INC DE 1.01,5.02 07/09/07 Compass Diversified Trust DE 8.01,9.01 07/10/07 COMPETITIVE TECHNOLOGIES INC DE 8.01 07/09/07 CONTINENTAL RESOURCES INC OK 1.01,7.01 07/10/07 CRESCENT FINANCIAL CORP NC 8.01 07/06/07 CRYOLIFE INC FL 2.02,9.01 07/11/07 CTC Media, Inc. 1.01 07/11/07 CWHEQ Revolving Home Equity Loan Trus 7.01,9.01 06/29/07 CWHEQ Revolving Home Equity Loan Trus 7.01,9.01 06/29/07 CYIOS CORP NV 8.01 07/06/07 CYTOGEN CORP DE 1.01,3.02,9.01 07/06/07 CYTOGEN CORP DE 5.02 07/09/07 DCP Midstream Partners, LP DE 5.02,9.01 07/11/07 Deep Field Technologies, Inc. NJ 1.01,3.02,9.01 07/05/07 DGSE COMPANIES INC NV 1.01,9.01 07/05/07 DREW INDUSTRIES INC DE 8.01,9.01 07/06/07 DUPONT E I DE NEMOURS & CO DE 8.01,9.01 07/11/07 Echo Healthcare Acquisition Corp. DE 8.01,9.01 07/11/07 EDGE PETROLEUM CORP DE 9.01 01/31/07 AMEND EMCORE CORP NJ 2.02,7.01,9.01 07/10/07 EMCORE CORP NJ 7.01,9.01 07/10/07 Endeavor Acquisition Corp. DE 8.01,9.01 07/10/07 Energy Transfer Equity, L.P. DE 2.02,9.01 07/10/07 Energy Transfer Partners, L.P. DE 2.02,7.01,9.01 07/10/07 ENTHRUST FINANCIAL SERVICES INC DE 1.01,2.01,3.02,4.01,5.01,5.02, 07/10/07 5.06,8.01,9.01 ENVIROKARE TECH INC NV 7.01,9.01 07/11/07 Federal Home Loan Bank of Des Moines X1 5.02 07/10/07 FIBERNET TELECOM GROUP INC\ DE 5.02,9.01 07/10/07 First Horizon Asset Sec HELOC Notes S DE 8.01,9.01 06/28/07 FIRST INDIANA CORP IN 4.01 07/08/07 FIRST NATIONAL COMMUNITY BANCORP INC PA 2.02,9.01 07/11/07 FLANDERS CORP NC 8.01 07/11/07 FREEPORT MCMORAN COPPER & GOLD INC DE 1.01,8.01,9.01 07/10/07 FREESTAR TECHNOLOGY CORP NV 2.02,9.01 07/11/07 FTD Group, Inc. 5.02,9.01 07/09/07 GEMINI EXPLORATIONS, INC. NV 5.03,9.01 07/10/07 GENENTECH INC DE 2.02,8.01,9.01 07/11/07 GENESIS BIOVENTURES INC NY 5.02 06/29/07 GENESIS TECHNOLOGY GROUP INC FL 1.01,2.03 07/02/07 Grande Communications Holdings, Inc. DE 1.01,2.03,9.01 07/06/07 GRAPHIC PACKAGING CORP DE 1.01,3.03,8.01,9.01 07/09/07 Greenville Federal Financial CORP 4.01,9.01 07/05/07 Greenville Federal Financial CORP 4.01,9.01 07/05/07 AMEND Gregg Appliances Inc 7.01,9.01 07/10/07 GRYPHON GOLD CORP NV 7.01,9.01 07/09/07 GRYPHON GOLD CORP NV 7.01,9.01 07/10/07 HALIFAX CORP VA 2.02,9.01 07/11/07 HANOVER CAPITAL MORTGAGE HOLDINGS INC MD 1.01,9.01 07/05/07 HEALTHSTREAM INC TN 5.02,9.01 07/10/07 HENRY JACK & ASSOCIATES INC DE 8.01,9.01 07/10/07 HERCULES OFFSHORE, INC. DE 7.01,8.01,9.01 07/11/07 HINES REAL ESTATE INVESTMENT TRUST IN 8.01 07/02/07 HOME FEDERAL BANCORP, INC. OF LOUISIA 7.01,9.01 07/11/07 Icon Development, Inc. 5.03,9.01 07/05/07 INDALEX HOLDINGS FINANCE INC 5.02 07/10/07 INSPIRE PHARMACEUTICALS INC DE 7.01,9.01 07/11/07 INTERNAP NETWORK SERVICES CORP DE 5.02,9.01 07/10/07 INTERNATIONAL LEASE FINANCE CORP CA 9.01 07/11/07 INTERPOOL INC DE 1.01,9.01 07/03/07 INYX INC NV 4.01,9.01 07/05/07 IOMED INC UT 1.01,8.01,9.01 07/06/07 ION MEDIA NETWORKS INC. DE 7.01,9.01 07/11/07 J P MORGAN CHASE & CO DE 9.01 07/10/07 Jayhawk Energy, Inc. CO 5.02,9.01 07/09/07 JOHNSON & JOHNSON NJ 8.01 07/09/07 KAYNE ANDERSON ENERGY DEVELOPMENT CO MD 8.01,9.01 07/10/07 KAYNE ANDERSON ENERGY DEVELOPMENT CO MD 2.02,9.01 07/10/07 Kentucky First Federal Bancorp 4.01,9.01 07/09/07 KINGS ROAD ENTERTAINMENT INC DE 5.02,8.01 07/02/07 KV PHARMACEUTICAL CO /DE/ DE 7.01,9.01 07/10/07 LAIDLAW INTERNATIONAL INC DE 8.01,9.01 07/11/07 LAND O LAKES INC 8.01 07/11/07 LANGUAGE ACCESS NETWORK, INC. NV 1.01,2.03,3.02,8.01,9.01 06/15/07 Last Mile Logistics Group, Inc. FL 8.01 07/09/07 LIMITED BRANDS INC DE 5.02 07/06/07 LINCOLN NATIONAL CORP IN 5.02,5.03,8.01,9.01 07/06/07 Live Nation, Inc. DE 8.01,9.01 07/11/07 LOUISIANA BANCORP INC LA 5.02,8.01,9.01 07/09/07 MAGNUS INTERNATIONAL RESOURCES, INC. NV 1.01,2.01,9.01 05/01/07 AMEND MAKEMUSIC, INC. MN 5.02,9.01 07/09/07 MARINE PRODUCTS CORP DE 8.01,9.01 07/11/07 MATRIX SERVICE CO DE 1.01,9.01 07/06/07 MDU RESOURCES GROUP INC DE 2.01,9.01 07/10/07 MEDISTEM LABORATORIES, INC. 5.02,9.01 07/11/07 MERCANTILE BANK CORP MI 2.02,9.01 07/11/07 MERRILL LYNCH & CO INC DE 8.01,9.01 07/05/07 Merrill Lynch First Franklin Mortgage DE 8.01,9.01 07/11/07 MIPS TECHNOLOGIES INC DE 3.01 07/05/07 Morningstar, Inc. IL 8.01 07/10/07 MRU HOLDINGS INC DE 1.02,8.01 07/05/07 MUNICIPAL MORTGAGE & EQUITY LLC DE 5.02,8.01,9.01 07/09/07 NANOVIRICIDES, INC. NV 3.02 07/11/07 NATIONAL BEVERAGE CORP DE 8.01,9.01 07/11/07 NATIONAL HEALTH INVESTORS INC MD 8.01 07/11/07 Nayna Networks, Inc. WY 1.02 07/06/07 NETLOGIC MICROSYSTEMS INC 8.01 07/11/07 NEW BRUNSWICK SCIENTIFIC CO INC NJ 1.01,3.03,9.01 07/10/07 NEWMONT MINING CORP /DE/ DE 7.01,8.01,9.01 07/10/07 NEWTEK BUSINESS SERVICES INC NY 5.02,8.01,9.01 07/09/07 Nitar Tech Corp. DE 2.01 07/11/07 NU HORIZONS ELECTRONICS CORP DE 2.02,9.01 07/09/07 O REILLY AUTOMOTIVE INC MO 7.01 06/30/07 Oakmont Acquisition Corp. DE 8.01 07/11/07 OBN HOLDINGS NV 2.01,9.01 07/05/07 Onstream Media CORP FL 1.01,2.01,3.02,9.01 03/26/07 AMEND Organetix NJ 1.02,3.02 07/11/07 ORGANITECH USA INC DE 1.01,9.01 07/11/07 OSI PHARMACEUTICALS INC DE 8.01,9.01 07/10/07 OXIGENE INC DE 1.01,9.01 07/09/07 PACIFICNET INC DE 3.01,9.01 07/05/07 PAYCHEX INC DE 2.02,9.01 06/27/07 AMEND PEERLESS SYSTEMS CORP DE 5.03,9.01 07/09/07 PEREGRINE PHARMACEUTICALS INC DE 2.02,9.01 07/11/07 PINNACLE BANKSHARES CORP VA 8.01,9.01 07/11/07 POLYONE CORP 7.01,9.01 07/10/07 POWER 3 MEDICAL PRODUCTS INC NY 4.02,9.01 06/26/07 AMEND POWERCOLD CORP NV 5.02 07/10/07 PPG INDUSTRIES INC PA 5.02 07/10/07 PRIMEDIA INC DE 8.01,9.01 07/11/07 PRO-FAC COOPERATIVE INC 8.01,9.01 07/11/07 PROGRESS ENERGY INC NC 5.02 07/11/07 PROVIDENCE & WORCESTER RAILROAD CO/RI RI 8.01,9.01 07/11/07 PROVIDENCE RESOURCES INC TX 1.01,5.02,7.01,9.01 06/29/07 PULASKI FINANCIAL CORP MO 8.01,9.01 07/09/07 QLT INC/BC A1 8.01 07/10/07 Quintana Maritime LTD 1T 1.01,2.03,9.01 07/05/07 R&G FINANCIAL CORP PR 8.01,9.01 07/10/07 RADYNE CORP DE 1.01,7.01,9.01 07/05/07 RENASANT CORP MS 9.01 07/01/07 AMEND RESOURCES CONNECTION INC DE 2.02,8.01,9.01 07/11/07 ROHM & HAAS CO DE 8.01,9.01 07/11/07 RYLAND GROUP INC MD 7.01,9.01 07/10/07 SCHERING PLOUGH CORP NJ 5.03,9.01 07/10/07 SEA CONTAINERS LTD /NY/ 8.01,9.01 07/09/07 SEAWRIGHT HOLDINGS INC DE 8.01,9.01 07/10/07 SELECT COMFORT CORP 7.01,9.01 07/11/07 SEVERN BANCORP INC MD 2.02,9.01 07/11/07 SHARPS COMPLIANCE CORP DE 7.01,9.01 07/11/07 SHAW GROUP INC LA 5.02,9.01 07/06/07 SONOSITE INC 8.01,9.01 07/10/07 SOUTHWALL TECHNOLOGIES INC /DE/ DE 5.02,9.01 07/05/07 SPO Medical Inc DE 1.01,3.02,9.01 07/05/07 STAGE STORES INC NV 5.02,9.01 07/05/07 Stanley-Martin Communities, LLC DE 1.01,9.01 07/09/07 STERLING GROUP VENTURES INC NV 8.01 07/03/07 Storm Cat Energy CORP 5.02,9.01 07/11/07 STRAYER EDUCATION INC MD 8.01,9.01 07/11/07 SUN HEALTHCARE GROUP INC DE 8.01,9.01 07/11/07 SUN HEALTHCARE GROUP INC DE 1.01,1.02,2.01,2.03,9.01 04/19/07 AMEND SUNCOM WIRELESS HOLDINGS, INC. 8.01,9.01 06/21/07 SunOpta Inc. 1.01,2.03,9.01 07/10/07 SYNIVERSE HOLDINGS INC DE 8.01,9.01 07/10/07 Synovics Pharmaceuticals NV 1.01,3.02,5.02,9.01 07/10/07 Synovics Pharmaceuticals NV 1.01,2.03,3.02,9.01 07/05/07 TAKE TWO INTERACTIVE SOFTWARE INC DE 5.02 07/05/07 TELEDYNE TECHNOLOGIES INC DE 5.02,9.01 07/11/07 TELESTONE TECHNOLOGIES CORP CO 1.01,3.02,9.01 07/05/07 THERAVANCE INC DE 8.01,9.01 07/11/07 THERMAGE INC DE 5.02,8.01 07/11/07 THOR INDUSTRIES INC DE 1.01,2.02,5.02,8.01,9.01 06/12/07 AMEND TIVO INC DE 5.02 07/09/07 TOR MINERALS INTERNATIONAL INC DE 8.01,9.01 07/11/07 TRI COUNTY FINANCIAL CORP /MD/ 1.01,8.01,9.01 07/09/07 U S PHYSICAL THERAPY INC /NV NV 7.01 07/11/07 U. S. Premium Beef, LLC 7.01,9.01 07/11/07 UNITED COMMUNITY BANKS INC GA 5.02,9.01 07/09/07 UNITED STATIONERS INC DE 1.01,2.03,9.01 07/05/07 UNIVERSAL COMPRESSION HOLDINGS INC DE 1.01,7.01,9.01 07/06/07 Universal Compression Partners, L.P. DE 1.01,2.01,2.03,3.02,8.01,9.01 07/06/07 URS CORP /NEW/ DE 7.01,8.01,9.01 07/10/07 US BioEnergy CORP 1.01,1.02,9.01 07/10/07 USA Mobility, Inc DE 5.02,9.01 07/11/07 Utah Uranium Corp. NV 1.01,9.01 06/01/07 VCG HOLDING CORP CO 2.01,9.01 10/02/06 AMEND VCG HOLDING CORP CO 2.01,9.01 12/31/06 AMEND Vector Intersect Security Acquisition DE 8.01 07/09/07 Veri-Tek International, Corp. MI 1.01,7.01,9.01 07/05/07 Veri-Tek International, Corp. MI 1.01,2.05,2.06,5.02,9.01 03/29/07 AMEND Verigy Ltd. U0 1.01,5.02,9.01 07/10/07 VERISIGN INC/CA DE 5.02 07/05/07 WaMu Mortgage Pass-Through Certificat DE 9.01 06/26/07 WESTAFF INC DE 5.02 05/09/07 AMEND WILLIAMS COMPANIES INC DE 7.01,9.01 07/10/07 WILSHIRE BANCORP INC CA 9.01 07/11/07 WIZZARD SOFTWARE CORP /CO CO 1.01,2.03,3.02,9.01 06/29/07 AMEND WOLVERINE WORLD WIDE INC /DE/ MI 2.02,9.01 07/11/07 WOOD PRODUCTS INC NV 2.01,3.02,5.01,5.02,5.03,8.01 06/30/07 WORLD ACCEPTANCE CORP SC 5.02 07/06/07 WORLD AIR HOLDINGS, INC. 2.02,7.01,9.01 07/10/07 XECHEM INTERNATIONAL INC DE 5.02 07/05/07 XETA TECHNOLOGIES INC OK 5.02,8.01 07/05/07 Yankee Holding Corp. DE 5.02,9.01 07/06/07 YOUBET COM INC DE 5.02,9.01 07/09/07 YUM BRANDS INC NC 2.02,8.01,9.01 07/11/07 Zagg INC 1.01,3.02,9.01 07/10/07 ZBB ENERGY CORP WI 1.01 06/29/07 ZILA INC DE 5.02,9.01 07/08/07 ZULU ENERGY CORP. CO 5.03,9.01 07/10/07 Zumiez Inc 7.01,9.01 07/11/07