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SEC NEWS DIGEST
Issue 2007-170 September 4, 2007
COMMISSION ANNOUNCEMENTS
COMMISSION MEETINGS
Following is a schedule of Commission meetings, which will be
conducted under provisions of the Government in the Sunshine Act.
Meetings will be scheduled according to the requirements of agenda
items under consideration.
Open meetings will be held in the Auditorium, Room L-002 at the
Commission's headquarters building, 100 F Street, N.E., Washington,
D.C. Visitors are welcome at all open meetings, insofar as space is
available. Persons wishing to photograph or videotape Commission
meetings must obtain permission in advance from the Secretary of the
Commission. Persons wishing to tape record a Commission meeting should
notify the Secretary's office 48 hours in advance of the meeting.
Any member of the public who requires auxiliary aids such as a sign
language interpreter or material on tape to attend a public meeting
should contact Rochelle Franks, Office of Human Resources, to make
arrangements. Ms. Franks can be reached at TTY number (202) 551-4106.
In the event Ms. Franks cannot be reached, you may call the
interpreter directly at (202) 551-4158. If you are calling from a non
TTY number, please call the Relay Service at 1 866 377 8642.
OPEN MEETING - MONDAY, SEPTEMBER 10, 2007 - 10:00 A.M.
The subject matter of the open meeting scheduled for September 10 will
be:
The SEC will hold its second annual Seniors Summit at its
headquarters, 100 F Street, NE, Washington DC 20549. The event will
further examine how regulators, community organizations, and others
can increasingly coordinate efforts to protect older Americans from
abusive sales practices and investment fraud. (Sunshine Act Notice;
Press Release No. 2007-160)
At times, changes in Commission priorities require alterations in the
scheduling of meeting items. 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.
ERIK SIRRI TO TESTIFY
Erik Sirri, Director of the Division of Market Regulation, U.S.
Securities and Exchange Commission, will testify before the House
Financial Services Committee on Wednesday, Sept. 5, 2007. Mr. Sirri's
testimony, which concerns recent events in the credit and mortgage
markets, will be delivered at a hearing of the Committee which will be
held in Room 2128 of the Rayburn House Office Building at 10:30 a.m.
CHAIRMAN COX TO TESTIFY
Christopher Cox, Chairman, U.S. Securities and Exchange Commission,
will testify before the Senate Special Committee on Aging on
Wednesday, Sept. 5, 2007. Chairman Cox's testimony, which concerns
Commission efforts to protect senior citizens from investment fraud,
will be delivered at a hearing of the Committee which will be held in
Room 628 of the Dirksen Senate Office Building at 3:00 p.m.
ENFORCEMENT PROCEEDINGS
IN THE MATTER OF ANTHONY M. RAMUNNO, JR.
On September 4, the Commission issued an Order Instituting
Administrative Proceedings Pursuant to Section 203(f) of the
Investment Advisers Act of 1940 and Notice of Hearing (Order) against
Anthony M. Ramunno, Jr. The Division of Enforcement alleges, among
other things, that on May 1, 2007, Ramunno pleaded guilty to one count
each of wire fraud and mail fraud in violation of Title 18, United
States Code, Sections 1343 and 1341, respectively, in the criminal
action entitled U.S. v. Anthony Michael Ramunno, Jr., a/k/a Mick
Ramunno, Criminal Indictment No. 1:07-CR-061, in the U.S. District
Court for the Northern District of Georgia. The indictment to which
Ramunno pleaded guilty alleged that from in or about November 2003 up
to on or about Jan. 18, 2007, Ramunno defrauded investors in a private
investment pool he controlled. The indictment further alleged that
Ramunno failed to disclose to pool participants that he was
consistently losing money in commodity futures trading, was not
generating profits for investors, and was misappropriating substantial
amounts of victim funds to pay for purely personal expenses, including
a luxury home and multiple high-end automobiles and motorcycles. The
indictment also alleged that, to keep existing investors and entice
potential new ones, Ramunno crafted and distributed false financial
statements for the private investment pool, as well as forged opinion
letters from a national public accounting firm.
A hearing will be scheduled before an administrative law judge to
determine whether the allegations contained in the Order are true, and
to provide Ramunno an opportunity to dispute the allegations and to
determine what remedial sanctions, if any, are appropriate and in the
public interest.
The Order requires the Administrative Law Judge to issue an initial
decision no later than 210 days from the date of the service of the
Order, pursuant to Rule 360(a)(2) of the Commission's Rules of
Practice. (Rel. IA-2640; File No. 3-12742)
INVESTMENT COMPANY ACT RELEASES
NOTICES OF DEREGISTRATION UNDER THE INVESTMENT COMPANY ACT
For the month of August, 2007, a notice has been issued giving
interested persons until September 25 to request a hearing on any of
the following applications for an order under Section 8(f) of the
Investment Company Act declaring that the applicant has ceased to be
an investment company:
Alliance World Dollar Government Fund, Inc. [File No. 811-7108]
Alliance Global Environment Fund, Inc. [File No. 811-5993]
First American Strategic Income Portfolio Inc. [File No. 811-
21271]
Highland Corporate Opportunities Fund [File No. 811-21766]
Prudential Pacific Growth Fund, Inc. [File No. 811-6391]
J.P. Morgan Fleming Series Trust [File No. 811-21276]
Torrey Multi-Strategy Partners, LLC [File No. 811-21068]
The Valiant Fund [File No. 811-7582]
Oppenheimer High Yield Fund [File No. 811-2849]
Equipointe Funds [File No. 811-21508]
First Investors Cash Management Fund, Inc. [File No. 811-2860]
Capitol Life Separate Account M [File No. 811-2873]
(Rel. IC-27962 - August 31)
SPA ETF TRUST and SPA ETF Inc.
A notice has been issued giving interested persons until September 25
to request a hearing on an application filed by SPA ETF Trust and SPA
ETF Inc. for an order to permit series of open-end management
investment companies to issue shares of limited redeemability that
would trade in the secondary market at negotiated prices. The order
would permit dealers to sell shares of the series in the secondary
market unaccompanied by a prospectus when prospectus delivery is not
required by the Securities Act of 1933. The order also would permit
certain affiliated persons of the series to deposit securities into,
and receive securities from, the series. (Rel. IC-27963 - August 31)
SELF-REGULATORY ORGANIZATIONS
APPROVAL OF PROPOSED RULE CHANGE
The Commission approved a proposed rule change (SR-NASDAQ-2007-042)
submitted by The NASDAQ Stock Market to modify the entry and annual
fees paid by a company that lists on Nasdaq upon emerging from
bankruptcy. Publication is expected in the Federal Register during the
week of September 3. (Rel. 34-56339)
PROPOSED RULE CHANGE
The American Stock Exchange filed a proposed rule change (SR-Amex-
2007-95) relating to the execution of NDX and RUT combination orders.
Publication is expected in the Federal Register during the week of
September 3. (Rel. 34-56343)
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 LML PAYMENT SYSTEMS INC, 1680 1140 WEST PENDER ST,
VANCOUVER, BRITISH COLUMBIA, CANADA V6E 4GI, A1, 00000, 6046894440 -
6,000,000 ($19,500,000.00) Equity, (File 333-11404 - Aug. 31) (BR. 08B)
S-8 CALYPSO WIRELESS INC, 5979 NW 151ST STREET, MIAMI LAKES, FL, 33014,
7136547777 - 1,800,000 ($306,000.00) Equity, (File 333-145814 -
Aug. 31) (BR. 11C)
S-8 TRIMAS CORP, 2486315400 - 0 ($56,883,177.48) Other, (File 333-145815 -
Aug. 31) (BR. 06C)
S-8 FIRST STATE BANCORPORATION, 7900 JEFFERSON NE, ALBUQUERQUE, NM, 87109,
5052417500 - 0 ($9,827,500.00) Equity, (File 333-145816 - Aug. 31)
(BR. 07A)
S-8 ATMOS ENERGY CORP, 1800 THREE LINCOLN CTR, 5430 LBJ FREEWAY, DALLAS,
TX, 75240, 9729349227 - 0 ($69,575,000.00) Equity, (File 333-145817 -
Aug. 31) (BR. 02B)
S-1 ITC DELTACOM INC, 7037 OLD MADISON PIKE, HUNTSVILLE, AL, 35806,
256-382-5900 - 0 ($41,221,498.65) Equity, (File 333-145818 - Aug. 31)
(BR. 11C)
S-8 NORTECH SYSTEMS INC, 1120 WAYZATA BLVD EAST, SUITE 201, WAYZATA, MN,
55391, 9523452277 - 0 ($1,594,000.00) Equity, (File 333-145819 -
Aug. 31) (BR. 10B)
S-4 HARLEYSVILLE NATIONAL CORP, 483 MAIN ST, P O BOX 195, HARLEYSVILLE, PA,
19438, 2152568851 - 3,139,008 ($40,386,322.00) Equity,
(File 333-145820 - Aug. 31) (BR. 07B)
S-8 AEROSONIC CORP /DE/, 1212 N HERCULES AVE, CLEARWATER, FL, 33765,
727-461-3000 - 200,000 ($1,460,000.00) Equity, (File 333-145825 -
Aug. 31) (BR. 05A)
S-8 PARALLEL PETROLEUM CORP, 1004 N. BIG SPRING, SUITE 400, MIDLAND, TX,
79701, 9156843727 - 0 ($3,396,000.00) Equity, (File 333-145827 -
Aug. 31) (BR. 04C)
SB-2 No Show, Inc., 3415 OCATILLO MESA WAY, NORTH LAS VEGAS, NV, 89031,
702-277-7366 - 6,050,000 ($121,000.00) Equity, (File 333-145830 -
Aug. 31) (BR. )
SB-1 SURFACE COATINGS, INC., 2010 INDUSTRIAL #605, ROCKWALL, TX, 75087,
972-722-7351 - 1,000,000 ($500,000.00) Other, (File 333-145831 -
Aug. 31) (BR. )
S-3 JAVELIN PHARMACEUTICALS, INC, 125 CAMBRIDGEPARK DRIVE, CAMBRIDGE, MA,
02140, 617-349-4500 - 0 ($10,772,548.80) Equity, (File 333-145832 -
Aug. 31) (BR. 01A)
S-3ASR ST JUDE MEDICAL INC, ONE LILLEHEI PLAZA, ST PAUL, MN, 55117,
6514832000 - 0 ($1,200,000,000.00) Debt Convertible into Equity,
(File 333-145833 - Aug. 31) (BR. 10C)
F-3ASR CDC CORP, 33/F CITICORP CENTRE 18 WHITFIELD RD, CAUSEWAY BAY,
HONG KONG, K3, 00000, 8522893820 -
0 ($0.00) Unallocated (Universal) Shelf, (File 333-145834 - Aug. 31)
(BR. 03C)
S-1 El Paso Pipeline Partners, L.P., 1001 LOUISIANA ST., HOUSTON, TX,
77002, (713) 420-2600 -
0 ($603,750,000.00) Limited Partnership Interests, (File 333-145835 -
Aug. 31) (BR. )
S-3 DYNAVAX TECHNOLOGIES CORP, 2929 SEVENTH STREET, SUITE 100, BERKELEY,
CA, 94710, 5108485100 - 0 ($26,924,044.00) Equity, (File 333-145836 -
Aug. 31) (BR. 01A)
S-1 CRDENTIA CORP, 14114 DALLAS PARKWAY, SUITE 600, DALLAS, TX, 75254,
972-850-0780 - 0 ($2,901,655.00) Equity, (File 333-145837 - Aug. 31)
(BR. 08B)
S-1 Plains GP Holdings LP, 333 CLAY STREET SUITE 1600, HOUSTON, TX, 77002,
713 646 4100 - 0 ($400,000,000.00) Equity, (File 333-145839 - Aug. 31)
(BR. )
S-3 NOVACEA INC, 601 GATEWAY BOULEVARD, SUITE 800, SO SAN FRANCISCO, CA,
94080, (650) 228-1800 - 1,490,868 ($12,150,574.20) Equity,
(File 333-145840 - Aug. 31) (BR. 01C)
S-3 IA GLOBAL INC, 101 CALIFORNIA STREET, SUITE 2450, SAN FRANCISCO, CA,
94111, 415-946-8828 - 5,059,476 ($2,529,738.00) Equity,
(File 333-145841 - Aug. 31) (BR. 11B)
S-3 NOVACEA INC, 601 GATEWAY BOULEVARD, SUITE 800, SO SAN FRANCISCO, CA,
94080, (650) 228-1800 -
0 ($100,000,000.00) Debt Convertible into Equity, (File 333-145842 -
Aug. 31) (BR. 01C)
S-8 PROVIDENCE SERVICE CORP, 5524 E. FOURTH ST., TUSCON, AZ, 85711,
5207487108 - 0 ($1,000,000.00) Other, (File 333-145843 - Aug. 31)
(BR. 09B)
S-1 Anacor Pharmaceuticals Inc, 1060 E. MEADOW CIRCLE, PALO ALTO, CA,
94303, 650-739-0700 - 0 ($57,500,000.00) Equity, (File 333-145844 -
Aug. 31) (BR. )
F-3ASR BARCLAYS BANK PLC /ENG/, 1 CHURCHILL PLACE, E14 5HP, LONDON ENGLAND,
X0, E14 5HP, 2124124000 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-145845 - Aug. 31) (BR. 07C)
S-4 People's United Financial, Inc., C/O PEOPLE'S BANK, 850 MAIN STREET,
BRIDGEPORT, CT, 06604, 203-338-4114 -
53,020,467 ($834,786,045.00) Equity, (File 333-145846 - Aug. 31)
(BR. 07)
S-8 RAINING DATA CORP, 25A TECHNOLOGY DRIVE, IRVINE, CA, 92618,
949-442-4400 - 0 ($1,925,662.00) Equity, (File 333-145847 - Aug. 31)
(BR. 03B)
F-3ASR ASTRAZENECA PLC, ZENECA GROUP PLC, 15 STANHOPE GATE - LEGAL DEPARTMENT,
LONDON W1Y 6LN ENGLA, X0, 00000, 0 ($0.00) Non-Convertible Debt,
(File 333-145848 - Aug. 31) (BR. 01C)
S-4 New Giant CORP, 814 LIVINGSTON COURT, MARIETTA, GA, 30067,
(770) 644-3000 - 230,297,656 ($1,089,307,912.88) Equity,
(File 333-145849 - Aug. 31) (BR. )
S-1 IPC The Hospitalist Company, Inc., 4605 LANKERSHIM BLVD., SUITE 617,
NORTH HOLLYWOOD, CA, 91602, 818-766-3502 - 0 ($105,000,000.00) Equity,
(File 333-145850 - Aug. 31) (BR. )
S-8 instaCare Corp., 2660 TOWNSGATE ROAD, SUITE 300, WESTLAKE VILLAGE, CA,
91361, 8054461973 - 8,000,000 ($720,000.00) Equity, (File 333-145851 -
Aug. 31) (BR. 09A)
S-1 STINGER SYSTEMS, INC, 2701 N ROCKY POINT DRIVE, SUITE 1130, TAMPA, FL,
33607, 813-281-1061 - 2,367,641 ($1,799,407.16) Equity,
(File 333-145852 - Aug. 31) (BR. 06B)
S-8 VALUECLICK INC/CA, 30699 RUSSELL RANCH DRIVE, SUITE 250,
WESTLAKE VILLAGE, CA, 91362, 818 575-4500 - 0 ($25,200,000.00) Equity,
(File 333-145853 - Aug. 31) (BR. 11C)
RECENT 8K FILINGS
Form 8-K is used by companies to file current reports on the following
events:
1.01 Entry into a Material Definitive Agreement
1.02 Termination of a Material Definitive Agreement
1.03 Bankruptcy or Receivership
2.01 Completion of Acquisition or Disposition of Assets
2.02 Results of Operations and Financial Condition
2.03 Creation of a Direct Financial Obligation or an Obligation under an
Off-Balance Sheet Arrangement of a Registrant
2.04 Triggering Events That Accelerate or Increase a Direct Financial Obligation
under an Off-Balance Sheet Arrangement
2.05 Cost Associated with Exit or Disposal Activities
2.06 Material Impairments
3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or
Standard; Transfer of Listing
3.02 Unregistered Sales of Equity Securities
3.03 Material Modifications to Rights of Security Holders
4.01 Changes in Registrant's Certifying Accountant
4.02 Non-Reliance on Previously Issued Financial Statements or a Related Audit
Report or Completed Interim Review
5.01 Changes in Control of Registrant
5.02 Departure of Directors or Principal Officers; Election of Directors;
Appointment of Principal Officers
5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
5.04 Temporary Suspension of Trading Under Registrant's Employee Benefit Plans
5.05 Amendments to the Registrant's Code of Ethics, or Waiver of a
Provision of the Code of Ethics
6.01. ABS Informational and Computational Material.
6.02. Change of Servicer or Trustee.
6.03. Change in Credit Enhancement or Other External Support.
6.04. Failure to Make a Required Distribution.
6.05. Securities Act Updating Disclosure.
7.01 Regulation FD Disclosure
8.01 Other Events
9.01 Financial Statements and Exhibits
8-K reports may be obtained in person or by writing to the
Commission's Public Reference Branch at 100 F Street, N.E.,
Washington, D.C. 20549-1090 or at the following e-mail box address:
publicinfo@sec.gov. In most cases, this information is also available
on the Commission's website: www.sec.gov.
STATE
NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT
-------------------------------------------------------------------------------------------------------
8X8 INC /DE/ DE 8.01,9.01 08/29/07
ALLIANCE DATA SYSTEMS CORP DE 8.01,9.01 08/30/07
ALLIANT ENERGY CORP WI 5.04,9.01 08/31/07
ALLIED WORLD ASSURANCE CO HOLDINGS LT 7.01,9.01 08/31/07
ALTAIR NANOTECHNOLOGIES INC A6 5.02 08/29/07
AMAZON COM INC DE 5.02 08/27/07
AMERICAN COLOR GRAPHICS INC NY 1.01,9.01 08/28/07
AMERICAN EQUITY INVESTMENT LIFE HOLDI IA 1.01,9.01 08/29/07
AMERICAN LOCKER GROUP INC DE 4.02 08/29/07
AMERICAN SAFETY INSURANCE HOLDINGS LT 5.02 08/31/07
AMERICAS CARMART INC TX 5.02 08/27/07
ANADARKO PETROLEUM CORP DE 8.01,9.01 08/31/07
AOB BIOTECH INC 8.01 08/16/07
APPLIED SIGNAL TECHNOLOGY INC CA 2.02,9.01 08/30/07
APPLIED SIGNAL TECHNOLOGY INC CA 5.02,5.03,9.01 08/30/07
ARCHON CORP NV 5.02,8.01 08/31/07
ASAP SHOW, INC. NV 5.03 08/31/07
ASIAN DRAGON GROUP INC. NV 1.01,3.02,5.02,8.01,9.01 06/06/07
ASPYRA INC CA 5.02,9.01 08/29/07
AT&T INC. DE 8.01,9.01 08/31/07
ATLANTIC COAST FEDERAL CORP X1 8.01,9.01 08/31/07
ATLAS AMERICA INC DE 5.05,9.01 08/31/07
ATMEL CORP DE 5.02 08/27/07
BAKER HUGHES INC DE 5.02,7.01,9.01 08/30/07
BANK MUTUAL CORP WI 5.02 08/31/07
BANKRATE INC FL 7.01,9.01 08/30/07
BAUSCH & LOMB INC NY 8.01,9.01 08/31/07
Bear Stearns ALT-A Trust II 2007-1 DE 8.01,9.01 08/31/07
Bear Stearns ARM Trust 2007-5 DE 9.01 08/31/07
Bear Stearns ARM Trust 2007-5 DE 9.01 08/31/07
BEHRINGER HARVARD REIT I INC MD 7.01,9.01 08/31/07
BELK INC 2.02,9.01 08/29/07
BERRY PETROLEUM CO DE 5.02,9.01 08/31/07
BIOENVISION INC DE 8.01 08/22/07
BLACKSANDS PETROLEUM, INC. NV 5.02,8.01 08/24/07
BLYTH INC DE 2.02 08/30/07
BRISTOL MYERS SQUIBB CO DE 2.02,9.01 07/26/07 AMEND
BTHC VII Inc DE 5.02 08/29/07
BURLINGTON NORTHERN SANTA FE CORP DE 8.01 08/31/07
CALPINE CORP DE 7.01,9.01 07/31/07
CAPELLA EDUCATION CO 5.02 08/29/07
CAPITAL ALLIANCE INCOME TRUST REAL ES DE 9.01 08/29/07
Card Activation Technologies Inc DE 4.01,9.01 08/13/07 AMEND
CAROLINA BANK HOLDINGS INC NC 8.01 08/31/07
CAROLINA NATIONAL CORP SC 1.01 08/26/07
CARTOON ACQUISITION, INC. DE 1.02,2.01,2.05,9.01 08/28/07
Chaparral Steel CO DE 8.01 08/29/07
CHARLES & COLVARD LTD NC 5.02,9.01 08/28/07
CHEESECAKE FACTORY INC DE 8.01,9.01 08/31/07
CHEROKEE INC DE 5.02,9.01 08/28/07
CHINA HEALTH RESOURCE, INC. DE 8.01 08/15/07
CHL Mortgage Pass-Through Trust 2007- DE 8.01,9.01 08/16/07
CINTEL CORP NV 1.01,9.01 08/27/07
CITIZENS COMMUNICATIONS CO DE 5.02 08/31/07
CITRIX SYSTEMS INC DE 7.01,9.01 08/31/07
CLX INVESTMENT COMPANY, INC. CO 4.01 06/22/07 AMEND
CNB FINANCIAL SERVICES INC WV 8.01,9.01 08/31/07
COBALT CMBS Commercial Mortgage Trust DE 8.01,9.01 08/03/07
COCA COLA ENTERPRISES INC DE 8.01,9.01 08/30/07
COHU INC DE 5.02,9.01 08/30/07
COMPUWARE CORP MI 2.05,5.02,8.01,9.01 08/28/07
Comtech Group Inc MD 1.01,9.01 08/27/07
CONTINAN COMMUNICATIONS, INC. NV 5.02 08/31/07
CONTINENTAL RESOURCES INC OK 7.01,9.01 08/29/07
Cord Blood America, Inc. FL 8.01,9.01 08/27/07
Cougar Biotechnology, Inc. 5.02,9.01 08/27/07
COUSINS PROPERTIES INC GA 5.02,9.01 08/30/07
COVENANT TRANSPORTATION GROUP INC NV 1.01,2.03 08/30/07
CRESCENT BANKING CO GA 1.01,2.03,9.01 08/27/07
CSMC Asset-Backed Trust 2007-NC1 DE 9.01 08/31/07
CUBIST PHARMACEUTICALS INC DE 5.02,9.01 08/28/07
CYBERDEFENDER CORP CA 1.01,5.02,9.01 08/30/07
CYBERONICS INC DE 2.02,5.02,9.01 08/28/07
CYTRX CORP DE 5.02 08/28/07
CYTYC CORP DE 3.03,9.01 08/30/07
DANA CORP VA 7.01,9.01 08/31/07
DANKA BUSINESS SYSTEMS PLC 3.01,8.01,9.01 08/29/07
DEAN FOODS CO DE 5.02,9.01 08/29/07
DEBT RESOLVE INC DE 1.01,9.01 08/31/07
DELPHI CORP DE 7.01,9.01 08/31/07
Deutsche Alt-A Securities Mortgage Lo DE 8.01,9.01 08/31/07
Discover Card Execution Note Trust DE 8.01,9.01 08/31/07
DISCOVER CARD MASTER TRUST I DE 8.01 08/30/07
DISTRIBUTED ENERGY SYSTEMS CORP DE 5.02 08/27/07
DOLLAR TREE STORES INC VA 1.01,7.01,9.01 08/30/07
Dollarama Group L.P. A8 5.02 08/31/07
DOWNEY FINANCIAL CORP DE 1.01,9.01 08/30/07
DPAC TECHNOLOGIES CORP CA 1.01,9.01 08/30/07
Dresser-Rand Group Inc. DE 1.01,2.03,9.01 08/30/07
DTE ENERGY CO MI 8.01,9.01 08/31/07
DYCOM INDUSTRIES INC FL 5.02 08/28/07
ECASH, INC DE 4.01,9.01 08/13/07 AMEND
EMERITUS CORP\WA\ WA 3.03,5.02,9.01 08/29/07
ENERGY CONVERSION DEVICES INC DE 2.02,9.01 08/29/07
ENERGY CONVERSION DEVICES INC DE 5.02,9.01 08/31/07
ENERGY WEST INC MT 2.02,5.02,9.01 08/27/07
EnerSys DE 8.01 08/22/07
ENOVA SYSTEMS INC CA 5.02,5.03,9.01 08/28/07
ENTERPRISE PRODUCTS PARTNERS L P DE 8.01,9.01 08/27/07
ESCHELON TELECOM INC 8.01,9.01 08/31/07
ESS TECHNOLOGY INC CA 1.01,2.03 08/27/07
ESSEX PROPERTY TRUST INC MD 8.01,9.01 08/30/07
Ever-Glory International Group, Inc. FL 2.01,9.01 08/27/07
EXCELSIOR LASALLE PROPERTY FUND INC 2.01,9.01 06/20/07 AMEND
EXCO RESOURCES INC TX 8.01,9.01 08/31/07
EXIDE TECHNOLOGIES DE 8.01,9.01 08/31/07
Expedia, Inc. 5.02 08/30/07
EXPRESS SCRIPTS INC DE 7.01 08/31/07
FINISH LINE INC /IN/ IN 8.01,9.01 08/30/07
FIRST FINANCIAL HOLDINGS INC /DE/ DE 7.01,9.01 08/31/07
FIRST KEYSTONE CORP PA 8.01 08/31/07
FIRST SECURITY GROUP INC/TN TN 8.01 08/28/07
FIRSTPLUS FINANCIAL GROUP INC NV 1.01,5.02,8.01,9.01 08/27/07
FLOWERS FOODS INC GA 5.02,9.01 08/31/07
FLUOR CORP DE 5.02 08/27/07
FORGENT NETWORKS INC DE 3.01,9.01 08/31/07
GAINSCO INC TX 5.03,9.01 08/29/07
GAMETECH INTERNATIONAL INC DE 2.02,9.01 08/30/07
GAP INC DE 5.02,9.01 08/28/07
GEMINI EXPLORATIONS, INC. NV 1.01,9.01 08/23/07
GENOMIC HEALTH INC 8.01 08/24/07
GEVITY HR INC FL 5.02,9.01 08/31/07
GIGABEAM CORP DE 2.02,9.01 08/31/07
Global Cash Access Holdings, Inc. DE 5.02,7.01,9.01 08/31/07
GLOBAL GOLD CORP DE 8.01,9.01 08/31/07
Global Resource CORP CO 1.02,3.02,8.01 08/28/07
GOLDLEAF FINANCIAL SOLUTIONS INC. TN 5.02,9.01 08/30/07
GREIF INC DE 2.02,9.01 08/29/07
GSAMP 2007-HSBC1 8.01,9.01 08/30/07
HAMPSHIRE GROUP LTD DE 1.01,9.01 08/31/07
HAROLDS STORES INC OK 2.02,9.01 08/28/07
HARRIS PREFERRED CAPITAL CORP MD 5.03,9.01 08/29/07
HARTFORD LIFE INSURANCE CO CT 9.01 08/31/07
HAWAIIAN HOLDINGS INC DE 5.03,9.01 08/30/07
HCC INSURANCE HOLDINGS INC/DE/ DE 5.02,9.01 08/30/07
HEALTH ENHANCEMENT PRODUCTS INC NV 8.01,9.01 08/31/07
HeartWare LTD C3 2.02,7.01,9.01 08/31/07
Henry Bros. Electronics, Inc. DE 2.02,3.01,9.01 08/27/07
HINES REAL ESTATE INVESTMENT TRUST IN 8.01 08/31/07
HOKU SCIENTIFIC INC DE 1.01 08/30/07
HOKU SCIENTIFIC INC DE 1.01,9.01 08/30/07
HOME DEPOT INC DE 1.01,2.01,5.02,9.01 08/28/07
HOST AMERICA CORP DE 1.01,9.01 08/31/07
HS3 TECHNOLOGIES INC. 5.02 08/14/07
HS3 TECHNOLOGIES INC. 1.01 08/28/07
HUMAN GENOME SCIENCES INC DE 5.02 08/29/07
HUTTON HOLDINGS CORP NV 8.01,9.01 08/31/07
HUTTON HOLDINGS CORP NV 1.01,2.01,9.01 08/27/07 AMEND
IDAHO GENERAL MINES INC ID 8.01,9.01 08/30/07
IGI INC DE 8.01,9.01 08/27/07
IMERGENT INC DE 8.01 08/29/07
INDEPENDENCE LEAD MINES CO AZ 8.01 07/11/07
INNOVATIVE CARD TECHNOLOGIES INC DE 8.01 08/31/07
INNOVATIVE SOFTWARE TECHNOLOGIES INC CA 3.02 08/23/07
INPHONIC INC 5.02 08/31/07
INTEGRAL VISION INC MI 5.02 08/27/07
INTEGRATED ELECTRICAL SERVICES INC DE 8.01,9.01 08/29/07
IntelliCapital, Inc. DE 5.01,5.02,9.01 08/26/07 AMEND
INTERACTIVE GAMES INC. NV 4.01,9.01 08/27/07
INTERNATIONAL RECTIFIER CORP /DE/ DE 4.02 08/29/07
INTERPHASE CORP TX 1.01,5.02,9.01 08/27/07
IRWIN FINANCIAL CORP IN 8.01,9.01 08/31/07
ISOTIS INC DE 2.03,9.01 08/30/07
ITC Holdings Corp. MI 8.01 08/31/07
J P MORGAN CHASE & CO DE 9.01 08/29/07
KOSAN BIOSCIENCES INC CA 5.02 08/24/07
LEADIS TECHNOLOGY INC DE 1.01 08/27/07
Lehman XS Trust Series 2007-16N DE 8.01,9.01 08/31/07
Lehman XS Trust Series 2007-16N DE 8.01,9.01 08/31/07
LEVEL 3 COMMUNICATIONS INC DE 8.01,9.01 08/30/07
LGL GROUP INC IN 1.01,3.03,5.03,9.01 08/31/07
Logistical Support, Inc UT 1.01,3.02,9.01 08/28/07
LORAL SPACE & COMMUNICATIONS INC. DE 1.01,9.01 08/29/07
LUNA TECHNOLOGIES INTERNATIONAL INC 2.01,9.01 08/30/07
M I HOMES INC OH 1.01,9.01 08/28/07
Macy's, Inc. DE 2.03,9.01 08/31/07
MAVERICK OIL & GAS, INC. 8.01 08/31/07
MAXIM INTEGRATED PRODUCTS INC DE 5.02,9.01 08/29/07
MEADWESTVACO CORP DE 5.03,9.01 08/28/07
MedAire, Inc. NV 8.01 08/31/07
MEDIANET GROUP TECHNOLOGIES INC NV 5.02 08/31/07
Merrill Lynch Alternative Note Asset DE 6.02,9.01 08/01/07
MIDWAY GAMES INC DE 5.02,9.01 08/30/07
MIDWEST URANIUM CORP NV 5.03,7.01,9.01 08/27/07
MINN DAK FARMERS COOPERATIVE ND 5.02 08/28/07
MOLINA HEALTHCARE INC DE 1.01,9.01 08/29/07
MONTANA ACQUISITION CORP DE 1.01,9.01 08/29/07
MUNICIPAL MORTGAGE & EQUITY LLC DE 7.01,9.01 08/31/07
MYCOM GROUP INC /NV/ NV 2.01,3.02,5.01,5.02,9.01 08/28/07
NATIONAL TAX CREDIT INVESTORS II CA 8.01 08/27/07
NATIONWIDE FINANCIAL SERVICES INC/ DE 5.02 08/30/07
NATROL INC DE 7.01,9.01 08/31/07
Natural Nutrition Inc. NV 1.01,4.02,9.01 05/31/07
NCR CORP MD 8.01,9.01 08/27/07
NEUROBIOLOGICAL TECHNOLOGIES INC /CA/ DE 3.01 08/29/07
NEVADA GOLD & CASINOS INC NV 1.01,9.01 08/30/07
NEWS CORP 8.01,9.01 08/31/07
NEXEN INC A0 8.01,9.01 08/30/07
NNN Apartment REIT, Inc. MD 1.01,2.01,2.03,7.01,9.01 08/29/07
NOBLE INTERNATIONAL, LTD. DE 7.01,9.01 08/31/07
NPS PHARMACEUTICALS INC DE 8.01,9.01 08/31/07
O2DIESEL CORP 5.02 08/29/07
OLIN CORP VA 2.01,2.03,8.01,9.01 08/31/07
OMNIVISION TECHNOLOGIES INC DE 5.02 08/28/07
ON2 TECHNOLOGIES, INC. DE 9.01 05/21/07 AMEND
OPENTV CORP 5.02,9.01 08/29/07
ORCHID CELLMARK INC 5.02 08/31/07
PACIFICORP /OR/ OR 5.02 08/31/07
PANACOS PHARMACEUTICALS, INC. DE 7.01,9.01 08/31/07
PAREXEL INTERNATIONAL CORP MA 8.01 08/29/07
PARK ELECTROCHEMICAL CORP NY 5.02 08/15/07
PEDIATRIC SERVICES OF AMERICA INC DE 8.01,9.01 08/31/07
PEDIATRIX MEDICAL GROUP INC FL 8.01 08/30/07
PENNSYLVANIA COMMERCE BANCORP INC 8.01 08/17/07
PENNSYLVANIA ELECTRIC CO PA 1.01,2.03,9.01 08/27/07
PERKINS & MARIE CALLENDER'S INC DE 2.02,9.01 08/30/07
PIONEER COMPANIES INC DE 2.01,3.01,3.03,5.01,5.02,8.01, 08/31/07
9.01
PIONEER COMPANIES INC DE 8.01,9.01 08/31/07
PIONEER COMPANIES INC DE 1.01,9.01 08/31/07
PLAINS ALL AMERICAN PIPELINE LP DE 5.02,5.03,9.01 08/29/07
PLEXUS CORP WI 5.02,7.01,9.01 08/29/07
POPULAR INC 8.01,9.01 08/30/07
Prime Mortgage Trust 2007-3 DE 9.01 08/31/07
PRINCETON REVIEW INC DE 5.02,9.01 08/28/07
PROTECTIVE LIFE INSURANCE CO TN 9.01 08/28/07
pSivida LTD C3 2.02,9.01 08/31/07
PYRAMID BREWERIES INC WA 8.01 08/27/07
QLT INC/BC A1 8.01,9.01 08/31/07
QWEST COMMUNICATIONS INTERNATIONAL IN DE 5.02,9.01 08/29/07
R&G FINANCIAL CORP PR 7.01,9.01 08/31/07
Rand Logistics, Inc. DE 1.01,2.01,2.03,8.01,9.01 08/27/07
Red Pearl Acquisition Corp 5.01,5.02 08/27/07
REPUBLIC AIRWAYS HOLDINGS INC DE 8.01 08/31/07
Residential Asset Securitization Trus 8.01,9.01 08/16/07
RESIDENTIAL CAPITAL, LLC DE 1.01 08/27/07
RESMED INC DE 5.02,9.01 08/27/07
RESOURCE AMERICA INC DE 5.05,9.01 08/31/07
Resource Capital Corp. MD 5.05,9.01 08/31/07
ROYAL GOLD INC DE 8.01,9.01 08/30/07
SEACHANGE INTERNATIONAL INC DE 2.02,4.02,9.01 08/29/07
SENSE HOLDINGS INC FL 1.01,3.02,9.01 08/28/07
SENSE HOLDINGS INC FL 1.01,2.01,3.02,9.01 08/31/07 AMEND
SERVICE 1ST BANCORP CA 8.01,9.01 08/31/07
SHAW GROUP INC LA 7.01,9.01 08/31/07
SHAW GROUP INC LA 7.01,9.01 08/31/07
SIMMONS FIRST NATIONAL CORP AR 7.01 08/31/07
SKILLSOFT PUBLIC LIMITED CO 2.02,9.01 08/31/07
SMITHWAY MOTOR XPRESS CORP NV 1.01,7.01,9.01 08/30/07
SOLUTIA INC DE 7.01,9.01 08/31/07
Southridge Technology Group, Inc. DE 9.01 07/13/07 AMEND
SPACEHAB INC \WA\ WA 1.02 08/28/07
SPACEHAB INC \WA\ WA 1.01,7.01,9.01 08/31/07
Spectrum Brands, Inc. WI 5.02,8.01 08/27/07
SPORT CHALET INC DE 1.01,9.01 08/31/07
STAR SCIENTIFIC INC DE 3.01,8.01,9.01 08/24/07 AMEND
STEELCLOUD INC VA 1.01,5.02,8.01,9.01 08/27/07
STEIN MART INC FL 5.02,9.01 08/27/07
STEINWAY MUSICAL INSTRUMENTS INC DE 5.02,5.03,9.01 08/29/07
STERLING FINANCIAL CORP /WA/ WA 7.01,9.01 08/31/07
STONE ENERGY CORP DE 7.01,9.01 08/30/07
Structured Adjustable Rate Mortgage L DE 8.01,9.01 08/31/07
Structured Asset Mortgage Investments DE 8.01,9.01 08/31/07
Structured Asset Mortgage Investments DE 7.01 08/31/07
TECUMSEH PRODUCTS CO MI 1.01 08/27/07
TEL INSTRUMENT ELECTRONICS CORP NJ 5.02 08/31/07
TELEPHONE & DATA SYSTEMS INC /DE/ DE 5.02,9.01 08/31/07
Tennessee Valley Authority 8.01 08/27/07
TERADYNE, INC MA 1.01 08/27/07
TERCICA INC DE 8.01 08/31/07
TERRESTAR CORP DE 1.01 08/31/07
TETON ENERGY CORP DE 5.02,7.01,9.01 08/31/07
TETON ENERGY CORP DE 3.02,7.01,9.01 05/16/07 AMEND
THESTREET COM DE 5.02 08/30/07
Thornburg Mortgage Securities Trust 2 DE 8.01,9.01 08/31/07
TIMBERLAND CO DE 5.02 08/28/07
Timberline Resources Corp 5.02,8.01,9.01 08/27/07
TJX COMPANIES INC /DE/ DE 8.01 08/24/07
TOMPKINS FINANCIAL CORP NY 7.01 08/31/07
TRIAD GUARANTY INC DE 8.01,9.01 08/31/07
Trustcash Holdings, Inc. DE 4.01,9.01 06/30/07 AMEND
TURBOCHEF TECHNOLOGIES INC DE 3.01,9.01 08/29/07
Turnaround Partners, Inc. DE 4.02 08/28/07
Tyco Electronics Ltd. D0 1.01,9.01 08/31/07
U S ENERGY SYSTEMS INC DE 8.01 08/31/07
UDR, Inc. MD 7.01,9.01 08/31/07
UNISYS CORP DE 5.02 08/27/07
UNITED FIRE & CASUALTY CO IA 8.01,9.01 08/31/07
UNITED NATURAL FOODS INC DE 2.02,9.01 08/31/07
UNITED THERAPEUTICS CORP DE 8.01 08/30/07
UNIVERSAL ELECTRONICS INC DE 8.01 08/31/07
V F CORP PA 2.01,7.01,9.01 08/31/07
VAXGEN INC DE 2.02,9.01 08/30/07
VCG HOLDING CORP CO 1.01,8.01,9.01 08/27/07
VERASUN ENERGY CORP 5.02 08/31/07
Veri-Tek International, Corp. MI 1.01,3.02,7.01,9.01 08/30/07
VERSADIAL, INC. NV 3.02 08/27/07
VIGNETTE CORP DE 5.02 08/28/07
WATERFORD GAMING LLC DE 8.01 08/31/07
WELLCARE HEALTH PLANS, INC. DE 1.01,9.01 08/27/07
WESTAR ENERGY INC /KS KS 8.01,9.01 08/30/07
WESTERN DIGITAL CORP DE 1.01,2.03,9.01 08/30/07
Whos Your Daddy Inc NV 4.02 08/31/07
WILD OATS MARKETS INC DE 2.04,3.01,3.02,3.03,5.02,5.03, 08/31/07
9.01
WILSHIRE BANCORP INC CA 8.01,9.01 08/30/07
WINDSTREAM CORP DE 1.01,9.01 08/31/07
WOODWARD GOVERNOR CO DE 8.01,9.01 08/29/07
WORKSTREAM INC 1.01,5.02 08/28/07
XSUNX INC CO 1.01,9.01 08/30/07
Z TRIM HOLDINGS, INC IL 1.02,7.01,9.01 08/31/07
ZILA INC DE 5.02,9.01 08/28/07
http://www.sec.gov/news/digest/2007/dig090407.htm
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