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SEC NEWS DIGEST
Issue 2007-157 August 15, 2007
ENFORCEMENT PROCEEDINGS
IN THE MATTER OF RICHARD WENSEL
An Administrative Law Judge issued an Order Making Findings and
Imposing Sanction by Default (Default Order) in the matter of Richard
E. Wensel. The Default Order finds that on June 12, 2007, the United
States District Court for the Eastern District of Pennsylvania
permanently enjoined Respondent Wensel from future violations of
Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, Sections
10(b) and 15(a)(1) of the Securities Exchange Act of 1934 (Exchange
Act) and Exchange Act Rule 10b-5 in SEC v. Security Asset Capital
Corp., Civil Action Number 04-CV-0683. Acting pursuant to Section
15(b) of the Exchange Act, the administrative law judge barred
Respondent Wensel from association with any broker or dealer. (Rel.
34-56246; File No. 3-12672)
IN THE MATTER OF ARTHUR CARLSON, III
An Administrative Law Judge issued an Order Making Findings and
Imposing Sanctions by Default (Default Order) in the matter of Arthur
B. Carlson, III. The Default Order finds that on June 12, 2007, the
United States District Court for the Eastern District of Pennsylvania
permanently enjoined Respondent Carlson from future violations of
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 in SEC v. Security Asset Capital Corp.,
Civil Action Number 04-CV-0683. Acting pursuant to Section 15(b) of
the Exchange Act and Section 203(f) of the Investors Advisers Act of
1940, the administrative law judge barred Respondent Carlson from
association with any broker dealer and from association with any
investment adviser. (Rel. 34-56247; IA-2632; File No. 3-12671)
IN THE MATTER OF GARY SPIRK
An Administrative Law Judge issued an Order Making Findings and
Imposing Sanction by Default (Default Order) in the matter of Gary J.
Spirk. The Default Order finds that on June 12, 2007, the United
States District Court for the Eastern District of Pennsylvania
permanently enjoined Respondent Spirk from future violations of
Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, Sections
10(b) and 15(a)(1) of the Securities Exchange Act of 1934 (Exchange
Act) and Exchange Act Rule 10b-5 in SEC v. Security Asset Capital
Corp., Civil Action No. 04-CV-0683. Acting pursuant to Section 15(b)
of the Exchange Act, the administrative law judge barred Respondent
Spirk from association with any broker or dealer. (Rel. 34-56248; File
No. 3-12670)
IN THE MATTER OF SCHULTZE ASSET MANAGEMENT LLC AND GEORGE J. SCHULTZE
On August 15, the Commission sanctioned Schultze Asset Management LLC
(SAM), a New York registered investment adviser, and George J.
Schultze, age 37, its principal, for making false and misleading
statements concerning SAM's soft dollar practices and for failing to
provide and modifying books and records requested by the Commission's
staff during an onsite inspection. SAM and Schultze agreed to settle
the charges, without admitting or denying the Commission's findings,
by agreeing to the issuance of a censure, a cease-and-desist order,
and payment of civil penalties of $100,000 and $50,000, respectively.
In 2004, Schultze, on behalf of SAM, represented and certified three
different times to an advisory client that SAM was using soft dollars
generated by the account only for expenses covered by the safe harbor
provided by Section 28(e) of the Securities Exchange Act - that is,
only for research and brokerage services. In fact, SAM knowingly used
client commissions generated by the account to pay for non-Section
28(e) expenses, including Schultze's salary.
In addition, SAM, through Schultze, used an entity called SAMCO
Distributors Inc. (SAMCO), to secure soft dollar payments from broker-
dealers to cover some of SAM's operating expenses. SAMCO had no
business purpose other than to provide a vehicle by which SAM and
Schultze could secure soft dollars to pay SAM's operating expenses and
Schultze's personal expenses. Schultze, in an attempt to conceal
SAMCO's role from the Commission's Examination staff during a 2005
inspection, failed to provide to the Examination staff a key agreement
relating to SAMCO and then gave the staff a modified version of a
second agreement.
Based on the above, the Commission issued an Order censuring SAM and
Schultze, and ordering them to cease and desist from future violations
of the antifraud and books and records provisions of the Advisers Act
and to pay civil penalties of $100,000 and $50,000, respectively. SAM
will also provide a copy of the Commission's order to all existing
investors and prospective investors for one year. SAM and Mr. Schultze
consented to the issuance of the Order without admitting or denying
the findings therein. (Rel. IA-2633; File No. 3-12724)
IN THE MATTER OF QUATTRO GLOBAL CAPITAL, LLC
On August 15, the Commission sanctioned Quattro Global Capital, LLC
(Quattro), a New York registered investment adviser, for failing to
file Forms 13F with the Commission between 2002 and mid-2005. Quattro
agreed to settle the charges, without admitting or denying the
Commission's findings, by agreeing to the issuance of a censure, a
cease-and-desist order, and payment of a $100,000 civil penalty.
Section 13(f) of the Exchange Act requires institutional investment
advisers who exercise investment discretion over at least $100 million
of certain securities (Section 13(f) securities) to file a Form 13F
quarterly with the Commission disclosing the Section 13(f) securities
under management. The purpose of this disclosure requirement is to
collect and disseminate to the public information about the holdings
and investment activities of institutional money managers in order to
assist investors, issuers and government regulators. Since 2001,
Quattro's assets under management have exceeded the $100 million
threshold in Section 13(f) securities, obligating Quattro to file a
Form 13F each quarter beginning in 2002. However, Quattro failed to
file any Forms 13F until July 2005, when the Commission's inspection
staff began questioning Quattro about the absence of such filings.
Based on the above, the Commission issued an Order censuring Quattro
and ordering it to cease and desist from future violations of Section
13(f) of the Exchange Act and Rule 13f-1 thereunder, and to pay a
civil penalty of $100,000. Quattro consented to the issuance of the
Order without admitting or denying the findings therein. (Rels. 34-
56252; IA-2634; File No. 3-12725)
PRINCIPALS OF FOUNTAINHEAD HEDGE FUND SENTENCED TO PRISON FOR
DEFRAUDING INVESTORS
The Commission announced today that Anthony P. Postiglione, Jr.
(Postiglione) and William J. Lennon (Lennon), the principals of
Fountainhead Asset Mangement, LLC (FAM), the investment adviser they
founded and which served as investment adviser to the Fountainhead
Fund, LP (the Fund), were sentenced in the above-referenced criminal
proceeding, based on their guilty pleas, by the Honorable Norma L.
Shapiro of the Eastern District of Pennsylania.
Postiglione was sentenced on Aug. 1, 2007 and, among other provisions
of the sentence, was ordered to serve 60 months of incarceration,
followed by three years of supervised release, including six months of
that time in a community facility, and he was ordered to pay
restitution of over $1.6 million, which restitution is owed jointly
and severally with Lennon.
Lennon was sentenced on Aug. 3, 2007; his sentencing expressly took
into account the Government's recitation of his cooperation with the
criminal investigation, as well as his cooperation with the
Commission's civil enforcement action. Included in the sentence
imposed, Lennon was ordered to serve one year and one day of
incarceration, followed by three years of supervised release, and he
was ordered to pay restitution of over $1.6 million, which restitution
is jointly and severally owed with Postiglione.
Lennon pleaded guilty in November 2006, and Postiglione pleaded guilty
in March 2007 to charges that they misrepresented the risks of the
Fund to the early investors; and created and sent to investors false
and misleading account statements and newsletters that represented the
Fund was making money, when it was not. Fund investors never received
accurate quarterly statements throughout the time of their investment.
In July 2004, the Commission halted the fraud by the filing of a civil
enforcement action, by which it obtained emergency relief, including
an asset freeze and the appointment of a receiver for the Fund,
against Postiglione and Lennon. [SEC v. Postiglione, et al., Civil
Action No. 04-cv-3604 (E.D. Pa.)]
In September 2005, the Commission settled its case with the
defendants. Postiglione and Lennon each consented to the entry of a
Final Judgment, permanently enjoining them from further violations of
Section 17(a) of the Securities Act, Section 10(b) of the Securities
Exchange Act, and Rule 10b-5 thereunder, and Sections 206(1) and
206(2) of the Investment Advisers Act. In addition, Postiglione and
Lennon agreed to waive their right to withdraw from the Fund any
assets each had personally invested, which assets were valued, by the
Receiver appointed by the Court, at $181,653.72 and $8,719.60,
respectively. These assets remained in the Fund to be paid to Fund
investors in accordance with the distribution plan approved by the
Court. To date, the Court-appointed Receiver had distributed over $2
million to investors victimized by the fraud. Also in September 2005,
following the settlement of the civil enforcement action, the
Commission permanently barred Postiglione, and barred Lennon for a
period of five years, from association with any investment adviser.
Additional information may be found in Litigation Release Nos. 19885
and18824 and Investment Advisers Act Release Nos. 2432 and 2433. [U.S.
v. Anthony P. Postiglione, Jr. and William J. Lennon (E.D. Pa.) Case
No. 06-CR-572] (LR-20240)
COURT PRELIMINARILY ENJOINS AND FREEZES ASSETS OF DEFENDANTS IN PONZI-
LIKE SCHEME; APPOINTS PERMANENT RECEIVER
On August 13, the Honorable Christina A. Snyder, U.S. District Judge
for the Central District of California, entered an order preliminarily
enjoining defendants AOB Commerce, AOB Asia Fund, and Terchi "Nelson"
Liao from violating the antifraud and securities registration
provisions of the federal securities laws. In addition to the
preliminary injunctions, the order freezes the assets of both the
defendants and the relief defendants (AOB Management, AOB Media, AOB
Transportation and AOB Vacations), and appoints Robb Evans &
Associates as permanent receiver over the corporate defendants and the
relief defendants.
On July 12, 2007, the Commission filed an emergency civil injunctive
action and a complaint alleging that since mid-2004, the defendants
had raised more than $45 million from hundreds of investors nationwide
through their unregistered offering and sale of promissory notes that
purportedly paid guaranteed interest of up to 5.5% per month. That
same day, the court issued a temporary restraining order halting the
defendants' offering; appointed Robb Evans as temporary receiver over
AOB Commerce, AOB Asia Fund, and the relief defendants; and
temporarily froze the assets of the defendants and the relief
defendants.
In its complaint, the Commission seeks the return of ill-gotten gains
with prejudgment interest, and penalties against the defendants. The
Commission also seeks an order barring Liao from acting as an officer
or director of any public company.
Investors may direct their inquiries to the temporary receiver, Robb
Evans & Associates LLC, at (818) 768-8100.
The SEC has issued information for investors on promissory notes,
"Broken Promises: Promissory Note Fraud," located at
http://www.sec.gov/investor/pubs/promise.htm. [SEC v. AOB Commerce,
Inc., AOB Asia Fund, I, LLC, and Terchi Liao a/k/a Nelson Liao, et
al., No. CV 07-4507 CAS (JCx) (C.D. Cal.)] (LR-20241)
SEC v. BRIAN LEE AND TODD DIROBERTO, ET AL.
The Commission announced that on August 8 the U.S. District Court for
the Southern District of California entered final judgments against
Defendants Todd DiRoberto and Brian Lee, based on their consents.
DiRoberto, without admitting or denying the allegations of the
complaint, consented to a final judgment which permanently enjoins him
from violating, directly or indirectly, the securities laws, including
Sections 10(b) (and Rule 10b-5 thereunder) and 15(a) of the Securities
Exchange Act of 1934 (Exchange Act), and Sections 5 and 17(a) of the
Securities Act of 1933 (Securities Act). The judgment also bars
DiRoberto from acting as an officer or director of a public company
and from participating in an offering of penny stock. Further, the
judgment requires DiRoberto to pay disgorgement of $94,000, pre-
judgment interest of $41,348 and a civil penalty of $30,000, for a
total of $165,348.
Lee, without admitting or denying the allegations of the complaint,
consented to a final judgment which permanently enjoins him from
violating, directly or indirectly, the securities laws, including
Exchange Act Sections 10(b) (and Rule 10b-5 thereunder) and 15(a), and
Securities Act Sections 5 and 17(a). The judgment also bars Lee from
acting as an officer or director of a public company and from
participating in an offering of penny stock. Further, the judgment
requires Lee to pay disgorgement of $66,524, pre-judgment interest of
29,262 and a civil penalty of $25,000, for a total of $120,786.
In the complaint, the Commission alleged that between November 1998
and March 2000, DiRoberto and Lee, with others, raised more than $5
million from a private placement offering in the stock of Zandria
Entertainment Networks, Inc. The complaint also alleged that Lee
participated in a private placement offering involving the stock of
Level Red Investments, Inc. The complaint alleged that the private
offerings violated the securities laws because, among other things,
the offering materials failed to accurately disclose commissions and
sales fees paid to the individuals selling stock to investors. The
complaint further alleged that the securities sold to investors were
unregistered and not exempt from registration. [SEC v. Brian Lee and
Todd DiRoberto, et al., Civil Action No. 03-CV-1957-JAH(CAB) (S.D.
Cal.)] (LR-20242)
SELF-REGULATORY ORGANIZATIONS
APPROVAL OF PROPOSED RULE CHANGE
The Commission granted approval to a proposed rule change (SR-ISE-
2007-49) filed by the International Securities Exchange relating to
fee changes on a retroactive basis pursuant to Section 19(b)(2) of the
Securities Exchange Act of 1934. Publication is expected in the
Federal Register during the week of August 20. (Rel. 34-56240)
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: < www.sec.gov>.
S-1 Biolex, Inc., 158 CREDLE STREET, PITTSBORO, NC, 27312, (919) 542-9901 -
0 ($70,000,000.00) Equity, (File 333-145414 - Aug. 14) (BR. 01)
S-8 FOREST LABORATORIES INC, 909 THIRD AVENUE, NEW YORK, NY, 10022,
(212)421-7850 - 9,000,000 ($332,910,000.00) Equity, (File 333-145415 -
Aug. 14) (BR. 01A)
S-8 FINANCIALCONTENT INC, 4153566800 - 1,500,000 ($525,000.00) Equity,
(File 333-145418 - Aug. 14) (BR. 11B)
SB-2 ZBB ENERGY CORP, N93 W14475 WHITTAKER WAY, MENOMONEE FALLS, X1, 53051,
262-253-9800 - 0 ($4,215,222.00) Equity, (File 333-145419 - Aug. 14)
(BR. 02)
SB-2 AETHLON MEDICAL INC, 7825 FAY AVENUE SUITE 200, LAJOLLA, CA, 92037,
2129120930 - 2,714,578 ($1,940,923.00) Equity, (File 333-145420 -
Aug. 14) (BR. 10A)
N-2 TORTOISE CAPITAL RESOURCES CORP, 10801 MASTIN BOULEVARD SUITE 222,
OVERLAND PARK, KS, 66210, 913-981-1020 - 0 ($96,135,000.00) Equity,
(File 333-145421 - Aug. 14) (BR. 16)
S-3ASR BECKMAN COULTER INC, 4300 N HARBOR BLVD, PO BOX 3100, FULLERTON, CA,
92834-3100, 7147736907 -
0 ($600,000,000.00) Debt Convertible into Equity, (File 333-145422 -
Aug. 14) (BR. 10A)
S-3 GRILL CONCEPTS INC, 11661 SAN VICENTE BLVD STE 404, LOS ANGELES, CA,
90049, 3108205559 - 0 ($18,864,259.00) Equity, (File 333-145423 -
Aug. 14) (BR. 05B)
S-8 ARK RESTAURANTS CORP, 85 FIFTH AVENUE, NEW YORK, NY, 10003-3019,
2122068800 - 450,000 ($16,445,500.00) Equity, (File 333-145424 -
Aug. 14) (BR. 05A)
S-3 PATRICK INDUSTRIES INC, 107 WEST FRANKLIN STREET PO BOX 638, ELKHART,
IN, 46515, 2192947511 - 2,293,089 ($37,079,249.00) Debt,
(File 333-145430 - Aug. 14) (BR. 06C)
F-3 METALINK LTD, YAKUM BUSINESS PARK, YAKUM ISRAEL, L3, 60972,
97299605388 - 4,160,000 ($30,336,000.00) Equity, (File 333-145431 -
Aug. 14) (BR. 10B)
S-8 SPARTAN STORES INC, 850 76TH ST SW, P O BOX 8700, GRAND RAPIDS, MI,
49518, 6168782000 - 700,000 ($18,746,000.00) Equity, (File 333-145432 -
Aug. 14) (BR. 02B)
S-8 Clean Energy Fuels Corp., 3020 OLD RANCH PARKWAY, SUITE 200,
SEAL BEACH, CA, 90740, (562) 493-2804 - 0 ($80,495,182.00) Equity,
(File 333-145434 - Aug. 14) (BR. 02)
S-8 SPECTRANETICS CORP, 96 TALAMINE COURT, COLORADO SPRING, CO, 80907,
7196338333 - 0 ($7,305,839.50) Equity, (File 333-145435 - Aug. 14)
(BR. 10C)
S-8 STEC, INC., 3001 DAIMLER ST, SANTA ANA, CA, 92705-5812, 8003677330 -
0 ($12,617,292.00) Equity, (File 333-145436 - Aug. 14) (BR. 03A)
S-1 3PAR Inc., 4209 TECHNOLOGY DRIVE, FREMONT, CA, 94538, 510-413-5999 -
0 ($100,000,000.00) Equity, (File 333-145437 - Aug. 14) (BR. )
S-8 OSTEOTECH INC, 51 JAMES WAY, EATONTOWN, NJ, 07724, 7325422800 -
0 ($983,812.50) Equity, (File 333-145438 - Aug. 14) (BR. 10C)
SB-2 Firepond, Inc., 181 WELLS AVENUE, SUITE 100, NEWTON,, MA, 02459,
(617) 928-6001 - 0 ($20,000,000.00) Equity, (File 333-145439 - Aug. 14)
(BR. 11C)
S-8 BEARD CO /OK, 5600 N MAY AVE, STE 320, OKLAHOMA CITY, OK, 73112,
4058422333 - 200,000 ($130,000.00) Equity, (File 333-145440 - Aug. 14)
(BR. 06B)
S-8 AVICI SYSTEMS INC, 101 BILLERICA AVENUE, NORTH BILLERICA, MA, 01862,
9789642000 - 0 ($7,421,197.00) Equity, (File 333-145441 - Aug. 14)
(BR. 03C)
S-8 ON THE GO HEALTHCARE INC, 85 CORSTATE AVENUE UNIT 1,
CONCORD ONT. CANADA, A6, L4K 4Y2, 905 669 7979 EXT 400 -
100,000,000 ($600,000.00) Equity, (File 333-145442 - Aug. 14) (BR. 03B)
SB-2 Cinnabar Ventures Inc, 1 902 482 3456 - 1,340,000 ($134,000.00) Equity,
(File 333-145443 - Aug. 14) (BR. )
SB-2 AMERICAN ENTERPRISE DEVELOPMENT CORP, 2544 TARPELY RD, SUITE 104,
CARROLLTON, TX, 77055, 972-418-0225 -
32,972,856 ($5,016,128.00) Equity, (File 333-145444 - Aug. 14) (BR. 09)
S-8 VeriChip CORP, 1690 SOUTH CONGRESS AVENUE, SUITE 200, DELRAY BEACH, FL,
33445, 561-805-8008 - 0 ($6,000,000.00) Equity, (File 333-145445 -
Aug. 14) (BR. 11B)
S-4 CYBERSOURCE CORP, 1295 CHARLESTON ROAD, MOUNTAIN VIEW, CA, 94043,
4085569100 - 0 ($379,967,659.00) Equity, (File 333-145447 - Aug. 14)
(BR. 03A)
S-1 AirShares(TM) EU Carbon Allowances Fund, 420 LEXINGTON AVENUE,
NEW YORK, NY, 10170, 212.867.7400 - 0 ($250,000,000.00) Equity,
(File 333-145448 - Aug. 14) (BR. )
S-8 SXC Health Solutions Corp., 555 INDUSTRIAL DRIVE, MILTON, A6, L9T 5E1,
(415) 815-0700 - 0 ($2,124,000.00) Equity, (File 333-145449 - Aug. 14)
(BR. 03)
S-8 SXC Health Solutions Corp., 555 INDUSTRIAL DRIVE, MILTON, A6, L9T 5E1,
(415) 815-0700 - 0 ($22,258,440.00) Equity, (File 333-145450 - Aug. 14)
(BR. 03)
S-4 Sibling Entertainment Group Holdings, Inc.,
2610-1066 WEST HASTINGS STREET,, VANCOUVER,, A1, V6E 3X2,
(604) 602-1717 - 68,659,324 ($27,119,981.00) Equity, (File 333-145451 -
Aug. 14) (BR. 09B)
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 8K ITEM NO.
NAME OF ISSUER CODE DATE COMMENT
1 800 CONTACTS INC DE 2.02,9.01 08/14/07
2-Track Global, Inc. 4.01 08/14/07 AMEND
a21, Inc. DE 5.02,9.01 08/08/07
ABATIX CORP DE 2.02,9.01 08/13/07
ABIOMED INC DE 5.02 05/30/07 AMEND
ABX AIR INC 1.01,2.03 07/18/07
ACCESS NATIONAL CORP VA 8.01,9.01 08/14/07
ACME COMMUNICATIONS INC DE 2.02 08/14/07
ACTIVE POWER INC DE 1.01,3.02,7.01,9.01 08/13/07
ADAMS RESOURCES & ENERGY, INC. DE 2.02 06/30/07
ADCARE HEALTH SYSTEMS INC 2.02,9.01 08/14/07
ADMIRALTY HOLDING CO CO 1.01,2.03,3.02,5.01,5.02,5.03, 05/31/07
8.01,9.01
ADVANCED MICRO DEVICES INC DE 1.01,2.03,3.02,8.01,9.01 08/14/07
Affinion Group, Inc. DE 2.02,5.02,9.01 08/10/07
AGILENT TECHNOLOGIES INC DE 2.02,9.01 08/14/07
Alliance Distributors Holding Inc. DE 2.02,9.01 08/14/07
ALLIANCE ONE INTERNATIONAL, INC. VA 2.02,9.01 06/30/07
Alsius Corp DE 2.02,9.01 08/14/07
Alternative Loan Trust 2007-OA9 8.01,9.01 07/30/07
AMB FINANCIAL CORP DE 5.02,9.01 08/14/07
AMERICAN AXLE & MANUFACTURING HOLDING DE 2.05,9.01 08/14/07
American Community Newspapers Inc. DE 2.02,7.01,9.01 08/13/07
AMERICAN CRYSTAL SUGAR CO /MN/ MN 5.02 08/14/07
AMERICAN ORIENTAL BIOENGINEERING INC CO 2.02,9.01 08/08/07
American Railcar Industries, Inc./DE DE 2.02,9.01 08/13/07
AMETEK INC/ DE 8.01 08/13/07
ANSOFT CORP PA 2.02,9.01 08/14/07
APA Enterprises, Inc. MN 2.02,9.01 08/14/07
APEX SILVER MINES LTD 2.02,9.01 08/09/07
APPLE HOSPITALITY FIVE INC VA 2.01,9.01 08/10/07
APPLIED MATERIALS INC /DE DC 2.02,9.01 08/14/07
ARADIGM CORP CA 1.01,9.01 08/08/07
ARCTIC CAT INC MN 5.02,9.01 08/08/07
ASBURY AUTOMOTIVE GROUP INC DE 8.01,9.01 08/13/07
ASCENDIA BRANDS, INC. DE 5.02,7.01,9.01 08/13/07
ASTEA INTERNATIONAL INC DE 2.02,9.01 08/14/07
ATLANTIC AMERICAN CORP GA 2.02,9.01 06/30/07
ATLANTIC COAST FEDERAL CORP X1 8.01,9.01 08/13/07
ATLANTIC SYNDICATION NETWORK INC NV 5.02,7.01,9.01 08/08/07
ATLANTIS PLASTICS INC FL 2.02,9.01 08/14/07
BABYUNIVERSE, INC. FL 2.02,7.01,8.01,9.01 08/14/07
BAD TOYS Holdings, Inc. FL 7.01,8.01,9.01 08/13/07
BALLY TOTAL FITNESS HOLDING CORP DE 7.01,9.01 08/13/07
BARNWELL INDUSTRIES INC DE 8.01 08/10/07
Bear Stearns Asset Backed Securities DE 9.01 04/30/07 AMEND
Bear Stearns Asset Backed Securities DE 9.01 05/30/07 AMEND
Behringer Harvard Opportunity REIT I, MD 5.02 08/10/07
BEXIL CORP MD 2.02,9.01 06/30/07
BH RE LLC NV 5.02 08/08/07
BIOMIMETIC THERAPEUTICS, INC. DE 2.02,9.01 08/14/07
BIOSANTE PHARMACEUTICALS INC DE 2.02,9.01 08/14/07
BIRNER DENTAL MANAGEMENT SERVICES INC CO 2.02,9.01 08/14/07
BJs RESTAURANTS INC CA 8.01,9.01 08/14/07
BLACK BOX CORP DE 2.02,9.01 08/14/07
Black Tusk Minerals Inc. NV 1.01,9.01 08/09/07
BLOCKBUSTER INC DE 2.01,9.01 08/08/07
BLUE HOLDINGS, INC. NV 2.02,9.01 08/14/07
BNS HOLDING, INC. 3.01,5.03,8.01,9.01 08/10/07
BOSTON PRIVATE FINANCIAL HOLDINGS INC MA 7.01,9.01 08/14/07
BOVIE MEDICAL CORP DE 5.02 08/09/07
BreitBurn Energy Partners L.P. DE 2.02,9.01 08/14/07
Bridgeline Software, Inc. DE 2.01,9.01 07/05/07 AMEND
BROADCOM CORP CA 8.01 08/08/07
BROADVIEW INSTITUTE INC MN 2.02,9.01 08/14/07
BRODER BROS CO MI 2.02,9.01 08/14/07
BSD MEDICAL CORP DE 7.01,9.01 08/13/07
BUCYRUS INTERNATIONAL INC DE 5.02,9.01 08/08/07
BUREAU OF NATIONAL AFFAIRS INC DE 2.01 08/14/07
BURKE MILLS INC NC 2.02,9.01 08/14/07
BUTLER INTERNATIONAL INC /MD/ MD 3.02 08/08/07
CADENCE PHARMACEUTICALS INC 2.02,9.01 08/14/07
CALPINE CORP DE 5.02 08/14/07
CAMDEN NATIONAL CORP ME 1.01,9.01 08/13/07
CANARGO ENERGY CORP DE 1.01,3.02,7.01,9.01 08/09/07
CAPITAL CORP OF THE WEST CA 8.01,9.01 08/09/07
CAPITALSOURCE INC DE 8.01,9.01 08/14/07
CAPTECH FINANCIAL GROUP, INC FL 4.01,5.03,8.01,9.01 08/01/07 AMEND
CARDIOGENESIS CORP /CA CA 2.02,9.01 08/14/07
CARDIOGENESIS CORP /CA CA 2.02,9.01 08/14/07 AMEND
CARDIOTECH INTERNATIONAL INC MA 2.02,7.01,9.01 08/13/07
CARDTRONICS INC DE 2.02 08/14/07
CAREGUIDE INC DE 2.02,9.01 08/14/07
CATALYTICA ENERGY SYSTEMS INC DE 2.02,9.01 08/14/07
CELADON GROUP INC DE 5.02,7.01,9.01 08/08/07
CENTURYTEL INC LA 8.01,9.01 08/14/07
CHANNELL COMMERCIAL CORP DE 2.02 08/13/07
Chaparral Energy, Inc. DE 2.02 08/14/07
CHEESECAKE FACTORY INC DE 5.02,9.01 08/14/07
CHEMOKINE THERAPEUTICS CORP DE 2.02,9.01 08/14/07
CHEROKEE INTERNATIONAL CORP DE 2.02,9.01 08/14/07
CHESAPEAKE ENERGY CORP OK 7.01,8.01 08/14/07
CHICAGO RIVET & MACHINE CO IL 2.02,9.01 08/13/07
CHINA DIGITAL COMMUNICATION GROUP NV 4.02,9.01 08/13/07
CHINA FIRE & SECURITY GROUP, INC. 2.02,7.01,9.01 08/14/07
CHINA SHEN ZHOU MINING & RESOURCES, I NV 2.02,9.01 08/14/07
CHROMCRAFT REVINGTON INC DE 2.02,9.01 08/13/07
CIT GROUP INC DE 8.01,9.01 08/13/07
CITIZENS BANCSHARES CORP /GA/ GA 2.02,9.01 08/13/07
CITRIX SYSTEMS INC DE 3.01,7.01,9.01 08/09/07
Clean Energy Fuels Corp. DE 2.02,9.01 08/13/07
Clearpoint Business Resources, Inc DE 1.01,2.02,5.02,7.01,9.01 08/13/07
CLINICAL DATA INC DE 2.02,9.01 08/14/07
CMS ENERGY CORP MI 5.03 08/10/07
COAST DISTRIBUTION SYSTEM INC DE 2.02,9.01 08/13/07
COGENT COMMUNICATIONS GROUP INC 8.01,9.01 08/14/07
COMBINATORX, INC DE 8.01,9.01 08/14/07
COMM 2007-C9 Mortgage Trust DE 9.01 08/14/07
COMMUNITY FINANCIAL SHARES INC DE 8.01,9.01 08/14/07
COMMUNITY TRUST BANCORP INC /KY/ KY 1.02,9.01 08/13/07
COMPUTER SCIENCES CORP NV 8.01 08/13/07
COMPUTER SOFTWARE INNOVATIONS INC 8.01,9.01 08/09/07
Comverge, Inc. DE 2.02,5.02,9.01 08/08/07
Conmed Healthcare Management, Inc. DE 5.02,9.01 08/09/07
COOPERATIVE BANKSHARES INC NC 7.01,9.01 08/14/07
CORTLAND BANCORP INC OH 8.01 08/14/07
COSI INC DE 5.02 08/08/07
COST U LESS INC WA 2.02,9.01 08/14/07
COUNTERPATH SOLUTIONS, INC. NV 1.01,3.02,9.01 08/08/07
COUNTRYWIDE FINANCIAL CORP DE 2.02,9.01 08/14/07
COVER ALL TECHNOLOGIES INC DE 2.02,9.01 08/13/07
CPI AEROSTRUCTURES INC NY 2.02,9.01 08/13/07
CPI CORP DE 8.01,9.01 08/07/07
CRDENTIA CORP DE 8.01 08/09/07
CREDO PETROLEUM CORP CO 8.01,9.01 08/13/07
CRITICAL PATH INC CA 2.02,9.01 08/14/07
CURTISS WRIGHT CORP DE 1.01,9.01 08/10/07
CYTOKINETICS INC 8.01,9.01 08/14/07
DATATRAK INTERNATIONAL INC OH 2.02,5.02,9.01 08/08/07
DAYTON POWER & LIGHT CO OH 8.01,9.01 08/08/07
Deep Down, Inc. NV 2.03,9.01 08/14/07
DG FastChannel, Inc DE 1.01,9.01 08/14/07
DigitalFX International Inc FL 2.02,9.01 08/14/07
Dinewise, Inc. NV 2.01,9.01 08/14/07
DIRECTV GROUP INC DE 5.02,9.01 08/08/07
DOR BIOPHARMA INC DE 2.02,9.01 08/14/07
DOR BIOPHARMA INC DE 5.02 08/10/07
DPAC TECHNOLOGIES CORP CA 2.02,9.01 08/14/07
DPL INC OH 8.01,9.01 08/08/07
DREAMS INC UT 2.02,9.01 08/14/07
DreamWorks Animation SKG, Inc. 5.02 08/09/07
DRI CORP NC 2.02,7.01,9.01 08/14/07
DTE ENERGY CO MI 2.02,9.01 08/13/07
DTE ENERGY CO MI 7.01,9.01 08/14/07
DUANE READE HOLDINGS INC 2.02,9.01 08/14/07
DYNCORP INTERNATIONAL INC. DE 5.03,9.01 08/08/07
EAU TECHNOLOGIES, INC. DE 1.01 08/08/07
Eddie Bauer Holdings, Inc. DE 2.02,9.01 08/14/07
EDISON INTERNATIONAL CA 7.01,9.01 08/14/07
EINSTEIN NOAH RESTAURANT GROUP INC DE 2.02,9.01 08/09/07
ELECTRONIC SYSTEMS TECHNOLOGY INC WA 8.01,9.01 08/13/07
EMERGING VISION INC NY 1.01,2.01,2.03,9.01 08/07/07
ENCORIUM GROUP INC NV 2.02,9.01 08/13/07
ENDURANCE SPECIALTY HOLDINGS LTD 7.01,9.01 08/14/07
ENTEGRIS INC MN 2.02,9.01 08/13/07
ENVIRONMENTAL SOLUTIONS WORLDWIDE INC FL 2.02,7.01,9.01 08/14/07
EQUICAP INC CA 9.01 07/06/07 AMEND
ERF Wireless, Inc. NV 8.01,9.01 08/13/07
ETRIALS WORLDWIDE INC. 2.02,9.01 08/13/07
EVEREST FUND L P IA 8.01 06/30/07
EXELON CORP PA 7.01,9.01 08/14/07
Exousia Advanced Materials, Inc. TX 4.01,9.01 08/13/07
FACT CORP CO 4.01,9.01 07/31/07
FAIR ISAAC CORP DE 7.01,9.01 08/14/07
Federal Home Loan Bank of Atlanta X1 2.03 08/08/07
Federal Home Loan Bank of Boston X1 2.03 08/09/07
Federal Home Loan Bank of Chicago X1 2.03 08/08/07
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 08/09/07
Federal Home Loan Bank of Des Moines X1 2.03,9.01 08/08/07
Federal Home Loan Bank of Des Moines X1 5.02,7.01,9.01 08/09/07
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 08/08/07
Federal Home Loan Bank of New York X1 2.03,9.01 08/08/07
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 08/08/07
Federal Home Loan Bank of San Francis X1 2.03 08/08/07
Federal Home Loan Bank of Seattle 2.03 08/13/07
Federal Home Loan Bank of Topeka 2.03 08/08/07
FINISH LINE INC /IN/ IN 8.01,9.01 08/14/07
FIRST INDIANA CORP IN 7.01,9.01 08/14/07
FIRST LITCHFIELD FINANCIAL CORP DE 2.02,9.01 08/10/07
FIRSTFED FINANCIAL CORP DE 8.01,9.01 08/14/07
FIVE STAR PRODUCTS INC DE 2.02,9.01 08/14/07
FLATBUSH FEDERAL BANCORP INC 2.02,9.01 08/13/07
Flex Fuels Energy, Inc. NV 9.01 05/29/07 AMEND
FOOD TECHNOLOGY SERVICE INC FL 5.02 08/09/07
Fortress Investment Group LLC DE 2.02,9.01 05/15/07
FOSSIL INC DE 2.02,9.01 08/14/07
FRANKLIN BANK CORP 7.01,9.01 08/14/07
FRANKLIN BANK CORP 9.01 05/08/07 AMEND
FRANKLIN CREDIT MANAGEMENT CORP/DE/ DE 2.02,9.01 08/14/07
FRANKLIN CREDIT MANAGEMENT CORP/DE/ DE 5.02 08/06/07
FRANKLIN ELECTRONIC PUBLISHERS INC PA 7.01,9.01 08/13/07
Frontier Airlines Holdings, Inc. DE 5.02,7.01,9.01 08/14/07
Fuel Systems Solutions, Inc. DE 4.02,9.01 08/09/07
FULLCIRCLE REGISTRY INC NV 5.02,9.01 08/13/07
FULLCIRCLE REGISTRY INC NV 1.01,9.01 08/13/07
FUSHI INTERNATIONAL INC NV 8.01,9.01 08/14/07
G&K SERVICES INC MN 2.02,9.01 08/14/07
GALAXY NUTRITIONAL FOODS INC DE 2.02,9.01 08/14/07
GateHouse Media, Inc. DE 2.02,9.01 08/13/07
GATEWAY FINANCIAL HOLDINGS INC NC 2.01 05/31/07
GENCO SHIPPING & TRADING LTD 1.01,9.01 08/10/07
GENELABS TECHNOLOGIES INC /CA CA 2.02,9.01 08/13/07
GENESCO INC TN 8.01,9.01 08/14/07
GENTIVA HEALTH SERVICES INC DE 5.02 08/14/07
GEODYNE ENERGY INCOME LTD PARTNERSHIP OK 2.01,9.01 08/08/07
GEODYNE ENERGY INCOME LTD PARTNERSHIP OK 2.01,9.01 08/08/07
GEODYNE ENERGY INCOME LTD PARTNERSHIP OK 2.01,9.01 08/08/07
GEODYNE INSTITUTIONAL PENSION ENERGY OK 2.01,9.01 08/08/07
GEODYNE INSTITUTIONAL PENSION ENERGY TX 2.01,9.01 08/08/07
GeoMet, Inc. DE 2.02,9.01 08/13/07
GEORESOURCES INC CO 2.02,9.01 08/13/07
GlobalOptions Group, Inc. DE 2.02,9.01 08/14/07
Globalstar, Inc. DE 2.02,9.01 08/14/07
GLOWPOINT INC DE 2.02,8.01,9.01 08/14/07
GOLDFIELD CORP DE 2.02,9.01 08/14/07
GOLDLEAF FINANCIAL SOLUTIONS INC. TN 2.02,9.01 08/14/07
Grande Communications Holdings, Inc. DE 2.02,9.01 08/14/07
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 08/10/07
Greenlight Capital Re, Ltd. 2.02,9.01 08/13/07
GSAA Home Equity Trust 2007-7 DE 8.01,9.01 06/28/07 AMEND
GSAA Home Equity Trust 2007-8 DE 8.01,9.01 05/22/07
GSE SYSTEMS INC DE 2.02,9.01 08/14/07
GTSI CORP DE 2.02,9.01 08/14/07
Guidance Software, Inc. DE 2.02,7.01,9.01 08/14/07
Guideline, Inc. NY 2.02,9.01 08/14/07
GULFPORT ENERGY CORP DE 2.02,9.01 08/14/07
HAPC, Inc. DE 8.01,9.01 08/13/07
HARMAN INTERNATIONAL INDUSTRIES INC / DE 2.02,7.01,9.01 06/30/07
HARTFORD LIFE INSURANCE CO CT 9.01 08/14/07
Hawaiian Telcom Communications, Inc. DE 2.02,9.01 08/14/07
HealthSpring, Inc. DE 1.01,3.02,8.01,9.01 08/09/07
Heelys, Inc. DE 1.01,9.01 08/01/07
HENDRX CORP NV 8.01,9.01 03/30/07
HERBST GAMING INC NV 2.02,9.01 08/14/07
HEXION SPECIALTY CHEMICALS, INC. NJ 2.02,9.01 08/14/07
hhgregg, Inc. DE 2.02,9.01 08/14/07
HIBBETT SPORTS INC 2.02,7.01,9.01 08/13/07
HOME DEPOT INC DE 1.01,2.02,5.04,9.01 08/10/07
HomeBanc 2007-1 DE 1.03 08/09/07
House of Taylor Jewelry, Inc. NV 9.01 08/13/07
HUNGARIAN TELEPHONE & CABLE CORP DE 2.02,9.01 08/14/07
HUNGARIAN TELEPHONE & CABLE CORP DE 4.02 08/14/07
ICAD INC DE 2.02,9.01 08/09/07
ICAGEN INC DE 1.01,3.02,8.01,9.01 08/08/07
ICP Solar Technologies Inc. 1.01,2.01,8.01,9.01 08/14/07 AMEND
II-VI INC PA 5.02 08/11/07
ILX RESORTS INC AZ 2.02,9.01 08/14/07
IMAGE ENTERTAINMENT INC DE 2.02,8.01,9.01 08/14/07
IMAGEWARE SYSTEMS INC DE 2.02,9.01 08/08/07
IMPERIAL INDUSTRIES INC DE 2.02 08/14/07
IndyMac INDA Mortgage Loan Trust 2007 8.01,9.01 07/30/07
IndyMac INDX Mortgage Loan Trust 2007 8.01,9.01 07/30/07
INFOCROSSING INC DE 1.01,5.02,9.01 08/10/07
INFORMATION ANALYSIS INC VA 2.02,9.01 08/13/07
INNUITY, INC. /UT/ UT 2.02,9.01 08/14/07
INSULET CORP DE 2.02,9.01 08/14/07
INTAC INTERNATIONAL INC NV 8.01,9.01 08/13/07
INTEGRATED SILICON SOLUTION INC DE 5.02,9.01 08/14/07
INTELLI CHECK INC DE 5.02,5.03,9.01 08/08/07
INTELLI CHECK INC DE 1.01,9.01 08/08/07
INTER TEL (DELAWARE), INC DE 8.01,9.01 08/13/07
InterDigital, Inc. PA 2.02,9.01 08/14/07
INTERNATIONAL FOOD & WINE CONSULTANTS 2.01,3.02,4.01,5.01,5.02,5.03, 08/13/07
5.06,9.01
INTERNATIONAL PAPER CO /NEW/ NY 8.01,9.01 08/14/07
INTERSTATE BAKERIES CORP/DE/ DE 5.02,9.01 03/21/07
INTERSTATE BAKERIES CORP/DE/ DE 5.02 08/08/07
INTERWOVEN INC CA 3.01 08/09/07
IPAYMENT INC DE 2.02,9.01 08/13/07
IRELAND INC. NV 1.01,9.01 08/13/07
IRONCLAD PERFORMANCE WEAR CORP 2.02,9.01 08/14/07
ISOLAGEN INC DE 2.02,9.01 12/31/06 AMEND
Ivivi Technologies, Inc. NJ 2.02,9.01 08/14/07
IWT TESORO CORP NV 8.01 08/09/07
J P MORGAN CHASE & CO DE 9.01 08/10/07
JAMBA, INC. DE 2.02,9.01 08/13/07
JARDEN CORP DE 1.01,2.01,2.03,8.01,9.01 08/08/07
JILCO INDUSTRIES INC CA 3.02,9.01 08/09/07
JUNIPER NETWORKS INC DE 5.02 08/14/07
KAISER ALUMINUM CORP DE 2.02,9.01 08/14/07
Kandi Technologies Corp 4.01,9.01 08/09/06
KBS Real Estate Investment Trust, Inc MD 1.01,2.01,2.03,9.01 08/08/07
KENEXA CORP 8.01,9.01 08/14/07
KEYSTONE CONSOLIDATED INDUSTRIES INC DE 2.02,7.01,9.01 06/30/07
KINDER MORGAN ENERGY PARTNERS L P DE 7.01 08/13/07
KINDER MORGAN MANAGEMENT LLC DE 7.01 08/13/07
KLA TENCOR CORP DE 5.02 08/08/07
KNIGHT CAPITAL GROUP, INC. DE 7.01,9.01 08/13/07
KRAFT FOODS INC VA 1.01,2.03,9.01 08/08/07
LAMPERD LESS LETHAL INC NV 3.02 03/31/07
LANGER INC NY 2.02,9.01 08/14/07
LBI MEDIA HOLDINGS INC 2.02,9.01 08/14/07
LCNB CORP OH 7.01,9.01 08/14/07
LEHMAN BROTHERS HOLDINGS INC DE 9.01 08/08/07
Lehman Mortgage Trust 2007-7 DE 8.01,9.01 07/30/07
LEINER HEALTH PRODUCTS INC DE 2.02,9.01 08/13/07
LEMAITRE VASCULAR INC 5.02 08/13/07
LIFECORE BIOMEDICAL INC MN 2.02,9.01 08/14/07
LIGAND PHARMACEUTICALS INC DE 1.02 08/14/07
LIMCO-PIEDMONT INC DE 2.02,9.01 08/14/07
Linens Holding Co. DE 2.02,9.01 08/14/07
LINN ENERGY, LLC DE 2.02,9.01 08/13/07
LINN ENERGY, LLC DE 9.01 08/14/07
LION INC/WA WA 2.02,9.01 08/14/07
LSB FINANCIAL CORP IN 2.02,9.01 08/13/07
MACC PRIVATE EQUITIES INC DE 8.01,9.01 08/14/07
MACE SECURITY INTERNATIONAL INC DE 2.02,8.01,9.01 08/13/07
Macquarie Infrastructure CO LLC DE 2.01,2.03 08/09/07
MAD CATZ INTERACTIVE INC 2.02,9.01 08/14/07
MAIR HOLDINGS INC MN 2.02,9.01 08/14/07
MANAGEMENT NETWORK GROUP INC 2.02 08/14/07
MANAS PETROLEUM CORP 3.02 08/14/07
MATRIX SERVICE CO DE 2.02,9.01 08/14/07
MedAire, Inc. NV 8.01 08/14/07
MEDAREX INC NJ 5.02 08/09/07
MEDIS TECHNOLOGIES LTD DE 5.02 08/09/07
MERCHANTS & MANUFACTURERS BANCORPORAT WI 2.02,9.01 08/14/07
MERGE TECHNOLOGIES INC WI 3.01,4.02,8.01,9.01 08/10/07
MERRIMAC INDUSTRIES INC DE 2.02,9.01 08/14/07
Meruelo Maddux Properties, Inc. DE 2.02,9.01 08/14/07
METROPCS COMMUNICATIONS INC DE 5.02 08/08/07 AMEND
MHI Hospitality CORP MD 2.01,2.03,7.01,9.01 08/09/07
MICHAEL FOODS INC/NEW DE 2.02,9.01 08/14/07
MIGO SOFTWARE, INC. DE 1.01,2.02,9.01 08/10/07
MILLIPORE CORP /MA MA 5.02,9.01 08/09/07
MINISTRY PARTNERS INVESTMENT CORP CA 1.01 07/11/07
MISSION COMMUNITY BANCORP CA 1.01,9.01 08/10/07
Molecular Insight Pharmaceuticals, In MA 2.02,9.01 08/13/07 AMEND
MOODYS CORP /DE/ DE 1.01,2.03,9.01 08/08/07
MORRIS PUBLISHING GROUP LLC GA 2.02 06/30/07
MQ ASSOCIATES INC 1.01,2.02,9.01 08/10/07
NACCO INDUSTRIES INC DE 2.05,9.01 08/08/07
NATIONAL MENTOR HOLDINGS, INC. DE 2.02,9.01 08/14/07
NATIONAL PATENT DEVELOPMENT CORP DE 2.02,9.01 08/14/07
NCI BUILDING SYSTEMS INC DE 7.01,9.01 08/13/07
NEAH POWER SYSTEMS, INC. NV 1.01,9.01 08/08/07
NEAH POWER SYSTEMS, INC. NV 1.01,9.01 08/08/07
NEENAH FOUNDRY CO WI 2.02,9.01 08/14/07
Neiman Marcus, Inc. DE 5.02 08/13/07
NET 1 UEPS TECHNOLOGIES INC 5.02 08/01/07
New England Bancshares, Inc. 2.02,9.01 08/13/07
NEW MOTION, INC. DE 2.02,5.02,9.01 08/08/07
NEW YORK COMMUNITY BANCORP INC DE 8.01,9.01 08/09/07
NEWFIELD EXPLORATION CO /DE/ DE 8.01,9.01 08/14/07
Newport Gold, Inc. NV 1.01,2.01,3.02 08/07/07
NEWS CORP 8.01,9.01 08/14/07
NEXMED INC NV 1.01,9.01 08/13/07
NEXMED INC NV 2.02,9.01 08/14/07
Nielsen CO B.V. P7 1.01,2.03,9.01 08/09/07
NOCOPI TECHNOLOGIES INC/MD/ MD 9.01 08/14/07
North American Insurance Leaders, Inc 8.01,9.01 08/10/07
North American Insurance Leaders, Inc 1.01,3.02,9.01 08/10/07
NORTH EUROPEAN OIL ROYALTY TRUST DE 2.02,9.01 07/31/07
NOVACEA INC DE 2.02,9.01 08/14/07
NOVAMED INC DE 9.01 06/01/07 AMEND
NUTECH DIGITAL INC CA 1.01,9.01 08/02/07
NYSE Euronext DE 3.02 08/08/07
OI CORP OK 7.01,9.01 08/13/07
ONLINE VACATION CENTER HOLDINGS CORP 2.02,9.01 08/14/07
Onstream Media CORP FL 8.01,9.01 08/14/07
ORAMED PHARMACEUTICALS INC. NV 7.01,9.01 08/13/07
Orange 21 Inc. DE 2.02,9.01 08/14/07
ORBCOMM Inc. DE 2.02,9.01 08/14/07
ORGANITECH USA INC DE 5.02 08/14/07
ORLEANS HOMEBUILDERS INC DE 1.01,3.03,9.01 08/13/07
Pacific Copper Corp. DE 1.01,5.02,9.01 08/07/07
Park Place Energy Corp. NV 1.01,3.02,8.01,9.01 08/08/07
PARKERVISION INC FL 5.03,9.01 08/10/07
PATRON SYSTEMS INC DE 1.01,5.02,8.01,9.01 08/09/07
PAULSON CAPITAL CORP OR 2.02,9.01 08/14/07
PECO II INC OH 3.01,9.01 08/14/07
PENINSULA GAMING CORP. DE 2.02 08/14/07
PENN TRAFFIC CO DE 1.01,9.01 08/07/07
PEOPLES LIBERATION INC DE 2.02,9.01 08/14/07
PERFICIENT INC DE 4.02 08/13/07
PERFICIENT INC DE 2.02,7.01,9.01 08/09/07
PFSWEB INC DE 2.02 08/14/07
PIONEER FINANCIAL SERVICES INC MO 4.01 08/13/07
POLARIS INDUSTRIES INC/MN MN 7.01,8.01,9.01 08/14/07
POLYMER GROUP INC DE 8.01,9.01 08/13/07
POWER 3 MEDICAL PRODUCTS INC NY 4.01,9.01 08/13/07
POWER EFFICIENCY CORP DE 2.02,9.01 08/13/07
POZEN INC /NC 8.01 08/10/07
PPL ELECTRIC UTILITIES CORP PA 2.03,8.01,9.01 08/08/07
PRB Energy, Inc. NV 2.02,9.01 08/14/07
PRE PAID LEGAL SERVICES INC OK 5.02 08/14/07
PRESIDENTIAL REALTY CORP/DE/ DE 2.02 08/14/07
PRIME GROUP REALTY TRUST MD 2.02,9.01 08/13/07
PRIMUS GUARANTY LTD 5.02,9.01 08/13/07
PROGRESSIVE GAMING INTERNATIONAL CORP NV 1.01,3.02,9.01 08/13/07
PROLIANCE INTERNATIONAL, INC. DE 2.02,9.01 08/13/07
PROTECTION ONE INC DE 2.02,5.02,9.01 08/14/07
PROXYMED INC /FT LAUDERDALE/ FL 2.02,9.01 08/14/07
PUBLIC SERVICE CO OF COLORADO CO 1.01,2.03,8.01,9.01 08/08/07
PURE BIOFUELS CORP NV 8.01,9.01 08/13/07
QUANTA CAPITAL HOLDINGS LTD 7.01,9.01 08/13/07
RADIO ONE INC DE 2.02,9.01 08/14/07
RALI Series 2007 QS9 Trust DE 8.01,9.01 07/30/07
RALI Series 2007-QH7 Trust 8.01,9.01 07/30/07
Rand Logistics, Inc. DE 8.01,9.01 08/14/07
Rand Logistics, Inc. DE 7.01,9.01 08/14/07
RASER TECHNOLOGIES INC UT 2.02,3.03,8.01,9.01 08/14/07
Redpoint Bio CORP 8.01,9.01 08/14/07
Regency Energy Partners LP DE 2.02,7.01,9.01 08/14/07
REGENERON PHARMACEUTICALS INC NY 8.01,9.01 08/08/07
REMINGTON ARMS CO INC/ DE 5.02 08/08/07
RESIDENTIAL CAPITAL, LLC DE 7.01,9.01 08/13/07
REX ENERGY CORP DE 5.02,8.01,9.01 08/08/07
RFMSI Series 2007 S7 Trust DE 8.01,9.01 07/30/07
RMK Advantage Income Fund, Inc. MD 7.01 08/14/07
RMK HIGH INCOME FUND INC 7.01 08/14/07
RMK Multi-Sector High Income Fund Inc 7.01 08/14/07
RMK STRATEGIC INCOME FUND INC 7.01 08/14/07
ROCKWELL MEDICAL TECHNOLOGIES INC MI 2.02,9.01 08/13/07
Rosetta Resources Inc. DE 2.02,9.01 08/13/07
ROYAL CARIBBEAN CRUISES LTD 7.01 08/14/07
SALTON INC DE 1.01,9.01 08/10/07
SAMARITAN PHARMACEUTICALS INC NV 8.01,9.01 08/14/07
SCHNITZER STEEL INDUSTRIES INC OR 5.02 08/09/07
SCHOOL SPECIALTY INC WI 2.02,9.01 08/14/07
SCM MICROSYSTEMS INC DE 2.02,9.01 08/14/07
SED INTERNATIONAL HOLDINGS INC DE 8.01,9.01 08/01/07
SELECT MEDICAL CORP DE 2.02 08/13/07
SELECT MEDICAL HOLDINGS CORP 2.02 08/13/07
SENORX INC 2.02,9.01 08/14/07
SERVOTRONICS INC /DE/ DE 5.02 08/13/07
SERVOTRONICS INC /DE/ DE 2.01,9.01 08/14/07
SGS International, Inc. DE 2.02,9.01 08/14/07
SHARPS COMPLIANCE CORP DE 2.02,9.01 08/14/07
ShoreTel Inc CA 2.02,9.01 08/14/07
SILVERLEAF RESORTS INC 2.02,9.01 08/09/07
SIPEX CORP DE 2.02,8.01,9.01 08/14/07
Sirtris Pharmaceuticals, Inc. DE 2.02,9.01 08/13/07
Skilled Healthcare Group, Inc. DE 5.02,9.01 08/10/07
SL INDUSTRIES INC NJ 2.02,9.01 08/13/07
SMARTIRE SYSTEMS INC 1.01 08/13/07
SMF ENERGY CORP DE 1.01,2.03,3.02,9.01 08/08/07
SNAP ON INC DE 1.01,1.02,2.03,9.01 08/10/07
SONUS NETWORKS INC DE 5.02 08/09/07
SOUTHSIDE BANCSHARES INC TX 1.01,2.03,9.01 08/08/07
SPAR GROUP INC DE 2.02,9.01 08/14/07
SPARK NETWORKS INC X0 8.01 08/13/07
SPHERIX INC DE 2.02,9.01 08/14/07
SPHERIX INC DE 5.02,7.01,9.01 07/12/07
ST. BERNARD SOFTWARE, INC. CA 2.02,9.01 08/14/07
Stamford Industrial Group, Inc. DE 2.02,9.01 08/13/07
STATION CASINOS INC NV 8.01 08/13/07
STEAKHOUSE PARTNERS INC DE 2.02,9.01 08/14/07
STEIN MART INC FL 2.02,9.01 08/09/07
STERLING BANCSHARES INC TX 1.01,5.03,9.01 04/30/07
Sterling Banks, Inc. NJ 8.01,9.01 08/13/07
Sterling Banks, Inc. NJ 8.01,9.01 08/14/07
STERLING CHEMICALS INC DE 2.02,7.01,9.01 08/14/07
Structured Adjustable Rate Mortgage L DE 8.01,9.01 07/31/07
Sucampo Pharmaceuticals, Inc. 2.02,9.01 08/14/07
SUMMIT FINANCIAL SERVICES GROUP INC FL 8.01,9.01 08/14/07
SUN HYDRAULICS CORP FL 2.02,9.01 08/08/07
SUN-TIMES MEDIA GROUP INC DE 1.01 08/08/07
SUNAIR SERVICES CORP FL 2.02,9.01 08/14/07
SUNRISE TELECOM INC 1.01,2.03,9.01 08/13/07
SUPERIOR BANCORP DE 7.01,9.01 08/14/07
Superior Offshore International Inc. DE 5.02,8.01 08/08/07
SUPERTEL HOSPITALITY INC VA 2.02,9.01 08/13/07
SYNERGY FINANCIAL GROUP INC /NJ/ NJ 8.01,9.01 08/13/07
TALON INTERNATIONAL, INC. DE 2.02,9.01 08/14/07
Tarpon Industries, Inc. MI 1.01,3.02,9.01 08/09/07
TECHTEAM GLOBAL INC DE 1.01,2.01,9.01 05/31/07 AMEND
Tejas Inc DE 2.02,9.01 08/14/07
TEKNI PLEX INC DE 1.01,9.01 08/09/07
TELKONET INC 5.02,9.01 08/08/07
TERRESTAR CORP DE 5.03,7.01,9.01 08/10/07
TFS Financial CORP DE 2.02,9.01 08/14/07
TIENS BIOTECH GROUP USA INC 8.01,9.01 08/14/07
TIERONE CORP 7.01,9.01 08/14/07
TJX COMPANIES INC /DE/ DE 2.02,9.01 08/14/07
TOFUTTI BRANDS INC DE 2.02,9.01 08/14/07
TorreyPines Therapeutics, Inc. DE 2.02,9.01 08/13/07
TRACK DATA CORP DE 2.02 06/30/07
TRACTOR SUPPLY CO /DE/ DE 5.02 08/14/07
TRANSOCEAN INC E9 8.01 08/13/07
TRANSTECH INDUSTRIES INC DE 8.01 08/14/07
TRAVELCENTERS OF AMERICA LLC 2.02,9.01 08/14/07
TREDEGAR CORP VA 5.02 08/09/07
TRIAD FINANCIAL CORP CA 5.02 08/08/07
TRIDENT MICROSYSTEMS INC DE 2.02,9.01 08/10/07
TRIDENT MICROSYSTEMS INC DE 4.02 10/24/06 AMEND
TRIMAX CORP NV 2.01,3.02,9.01 08/13/07
TXP CORP NV 5.02,9.01 08/08/07
TYPHOON ENTERPRISES INC. NV 5.03,7.01,9.01 08/13/07
U S PHYSICAL THERAPY INC /NV NV 7.01 08/14/07
ULURU INC. NV 5.02,9.01 08/13/07
UNIVERSAL HOSPITAL SERVICES INC MN 2.02,9.01 08/14/07
Uraniumcore CO DE 4.01 05/11/07
US CONCRETE INC DE 2.02,9.01 08/14/07
USA TRUCK INC DE 5.02,9.01 08/10/07
USANA HEALTH SCIENCES INC UT 3.01,7.01 08/10/07
Vantage Energy Services, Inc. DE 5.03 07/03/07 AMEND
VCG HOLDING CORP CO 2.01,9.01 05/31/07 AMEND
VECTOR GROUP LTD DE 1.01,2.03,8.01,9.01 08/08/07
VELCERA, INC. DE 1.01,2.01,3.02,5.01,5.02,5.06, 02/27/07 AMEND
9.01
Venoco, Inc. DE 2.02,9.01 08/13/07
Venture Lending & Leasing V, Inc. MD 1.01,2.03 08/14/07
Verso Paper Holdings LLC DE 2.02,9.01 08/14/07
VIEWCAST COM INC DE 2.02,9.01 08/14/07
ViewPoint Financial Group X1 8.01,9.01 08/14/07
VIEWSONIC CORP DE 2.02,9.01 08/14/07
VIRTRA SYSTEMS INC TX 4.02 08/14/07
VITA FOOD PRODUCTS INC NV 2.02,9.01 08/13/07
VWR Funding, Inc. DE 2.02,7.01 08/14/07
WaferGen Bio-systems, Inc. NV 4.01,9.01 08/10/07
WAL MART STORES INC DE 2.02,9.01 08/14/07
WATERFORD GAMING LLC DE 8.01 08/14/07
WEALTHCRAFT SYSTEMS INC. NV 3.03 05/21/07
WESTIN HOTELS LTD PARTNERSHIP DE 8.01,9.01 08/10/07
WESTWOOD ONE INC /DE/ DE 2.02,9.01 08/09/07
WHEELING PITTSBURGH CORP /DE/ DE 8.01,9.01 08/10/07
WHX CORP DE 2.01,9.01 04/13/07 AMEND
WIRELESS XCESSORIES GROUP INC DE 2.02,7.01 08/09/07
Wise Metals Group LLC DE 2.02,9.01 08/14/07
WVS FINANCIAL CORP PA 8.01,9.01 08/14/07
Xenonics Holdings, Inc. NV 2.02,9.01 08/14/07
XM SATELLITE RADIO HOLDINGS INC DE 5.02,9.01 08/14/07
Z AXIS CORP CO 2.03,9.01 08/14/07
ZILA INC DE 1.01,1.02,2.03,3.02,9.01 08/13/07
ZUNICOM INC TX 4.01 08/07/07
http://www.sec.gov/news/digest/2007/dig081507.htm
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