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U.S. Securities and Exchange Commission

                           SEC NEWS DIGEST

Issue 2007-171                                       September 5, 2007



An Administrative Law Judge has issued an Order  Making  Findings  and
Revoking Registrations by Default  as  to  Five  Respondents  (Default
Order) in the matter of American Pad & Paper  Co.  et  al.  The  Order
Instituting Proceedings alleged that Respondents American Pad &  Paper
Co., Cypost Corp., Golf Communities of America, Inc.,  Midland,  Inc.,
and Signal Apparel Co.,  Inc.,  failed  repeatedly  to  file  required
annual and quarterly reports while their  securities  were  registered
with the Securities and Exchange Commission. The Default  Order  finds
these allegations to be true and revokes  the  registrations  of  each
class of registered securities American Pad & Paper Co., Cypost Corp.,
Golf Communities of America, Inc., Midland, Inc., and  Signal  Apparel
Co., Inc., have with the Commission, pursuant to Section 12(j) of  the
Securities Exchange Act of 1934. (Rel. 34-56349; File No. 3-12705)


On  September  4,  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  Brent  William  Federighi,  who
previously ran two San Francisco-based hedge funds known as Ilytat and
Gage Capital.

The Order finds that on Aug. 22, 2007, a final judgment was entered by
consent against  Federighi,  permanently  enjoining  him  from  future
violations of Section 10(b) of the Securities Exchange Act of 1934 and
Rule 10b-5 thereunder, in the civil  action  entitled,  SEC  v.  Brent
William Federighi, et al., Civil Action Number  3:05-cv-05305-MMC,  in
the  United  States  District  Court  for  the  Northern  District  of

The Commission's complaint alleged that from 2000 to 2003,  Federighi,
who co-managed the Ilytat hedge fund and later managed the Gage  hedge
fund after Ilytat closed, deliberately exploited  a  loophole  in  the
mutual fund order entry system used by  the  hedge  funds'  broker  in
order to place mutual fund trades after the 4:00 p.m.  (Eastern  time)
market close while still  receiving  the  current  day's  mutual  fund
price. This allowed the Ilytat and Gage hedge funds to  obtain  better
prices for their mutual fund shares than other mutual  fund  investors
received. Some trades were placed as late as 5:45 p.m. (Eastern time),
or 1.75 hours after the time as of which the mutual fund share  prices
were set.

Based on the above, the Order bars Federighi from association with any
investment  adviser  with  the  right  to  reapply  after  18  months.
Federighi consented to the issuance of the Order without admitting  or
denying any of the findings, except he admitted to the  entry  of  the
injunction. (Rel. IA-2641; File No. 3-12743)


The Commission has instituted a settled enforcement action against the
Boston Stock  Exchange  (Exchange)  and  its  former  president  James
Crofwell for failure to enforce compliance by  Exchange  dealers  with
exchange rules protecting investor trading priority. At the same time,
the Commission instituted  a  related  settled  civil  action  against
Crofwell. The Commission's order against  the  Exchange  and  Crofwell
found that from 1999 to 2004  the  Exchange  and  Crofwell  failed  to
enforce Exchange rules  that  prohibited  Exchange  dealer  specialist
firms from trading securities for their own benefit at the expense  of
their customers. The Exchange failed to conduct adequate  surveillance
to detect and prevent violations of the customer priority rules, which
expressly prohibit specialists from trading  for  their  own  accounts
ahead of marketable customer orders. The  Exchange's  failure  allowed
hundreds, if not thousands, of violations per day to go undetected and
continued even after the Commission staff had  repeatedly  warned  the
Exchange of the need to improve surveillance  systems.  Crofwell  knew
that the procedures then in effect  were  inadequate,  but  failed  to
devote resources necessary to correct the problem.

Without admitting or denying the findings in the  Commission's  order,
the Exchange and Crofwell agreed to an order censuring  each  of  them
and requiring the Exchange to cease  and  desist  from  committing  or
causing any violations and any future violations of Section  19(g)  of
the Exchange Act and Crofwell to cease and  desist  from  causing  any
violations and any future violations of  that  section.  The  Exchange
further agreed to comply with specific undertakings contained  in  the
order, including expenditure of at least $1 million to retain a  third
party consultant  to  conduct  comprehensive  compliance  audits,  and
implementation of the consultant's recommendations.

Crofwell also consented to entry of a  final  judgment  in  a  settled
civil action filed in the U.S. District  Court  for  the  District  of
Massachusetts, without admitting or denying  the  allegations  of  the
complaint in that action. The judgment orders him  to  pay  a  $75,000
civil penalty for aiding and abetting  the  Exchange's  violations  of
Section 19(g) of the Exchange Act. (Rel. 34-56352; File  No.  3-12744;
Press Rel. 2007-171); [SEC v. James B. Crofwell, Case No. 07 CA  11640
RWZ (D. Mass.)] (LR-20265)


On  September  5,  the  Commission   issued   an   Order   Instituting
Administrative and Cease-and-Desist Proceedings, Making Findings,  and
Imposing Remedial Sanctions and a Cease-and-Desist Order  Pursuant  to
Section 8A of the Securities Act of 1933 and Sections 15(b) And 21C of
the Securities Exchange Act of 1934 (Order) against Martin S. Duffield
(Duffield) And Raul A. Jordan (Jordan).

The Order finds that Duffield and Jordan,  from  July  2001  to  April
2004, were sales agents for D.W. Heath & Associates,  Inc.  From  1996
until late April 2004, Heath & Associates,  which  was  controlled  by
Daniel W. Heath,  raised  over  $138  million  from  more  than  1,400
investors nationwide,  most  of  whom  were  senior  citizens,  in  an
unregistered notes offering in two-Heath controlled entities,  Private
Capital Management, Inc. and the PCM Fixed Income Fund I, LLC (the PCM
Notes). Duffield and Jordan offered and sold more than $6  million  in
PCM Notes to approximately 80  investors.  Duffield  and  Jordan  made
material misstatements and  omitted  material  facts  in  selling  the
notes. First, Duffield and Jordan falsely  represented  that  the  PCM
Notes were "safe" and "secured" because they were "backed  by  assets"
owned by companies that borrowed funds from PCM, and that returns were
"guaranteed." Second, they failed to disclose that they  were  paid  a
sales commission by Heath & Associates, or falsely claimed  that  they
received no commission at all or misled  prospective  investors  about
the sources of  the  funds  used  to  pay  their  commissions.  Third,
Duffield and Jordan  failed  to  disclose  that  in  March  1998,  the
California Department  of  Corporations  had  issued  two  desist-and-
refrain orders against Heath, Heath & Associates,  PCM,  and  the  PCM
Fund for the  unregistered  sale  of  securities  and  for  acting  as
unregistered broker-dealers. During the relevant period, Duffield  and
Jordan were associated with registered broker-dealers and sold the PCM
Notes without notice to or approval  from  those  firms,  and  thereby
engaged in the practice of selling away.

Based on the above, the Order bars Duffield from association with  any
broker or dealer and orders him to pay disgorgement of  $264,040  plus
prejudgment interest, but that payment of all but  $42,000  is  waived
based on his statement of financial  condition  and  other  documents.
Duffield shall pay $42,000 to the  court-appointed  receiver  for  the
Heath entities. The Order bars Jordan from association with any broker
or dealer, with the right to reapply for association  after  five  (5)
years to the appropriate self-regulatory organization, or if there  is
none, to the Commission and orders him to pay disgorgement of $270,337
plus prejudgment interest, but that  payment  of  all  but  $5,000  is
waived based upon his  statement  of  financial  condition  and  other
documents. Jordan shall pay $5,000 to  the  court-appointed  receiver.
Duffield and Jordan consented to the issuance  of  the  Order  without
admitting or denying the findings contained in this Order.  (Rel.  33-
8838; 34-56353; File No. 3-12745)


On September  5,  the  Commission  filed  a  civil  injunctive  action
charging Saks Incorporated, owner  of  luxury  department  store  Saks
Fifth Avenue among other retail chains, with violating  the  financial
reporting, books-and-records, and internal control provisions  of  the
Securities Exchange Act of 1934. Saks has agreed to settle  the  case,
without admitting or denying the  Commission's  allegations,  and  has
agreed to an injunction barring future violations of these provisions.

The Commission's complaint,  filed  in  federal  court  in  Manhattan,
alleges that from the mid-1990s until 2003, certain employees  of  the
company's Saks Fifth Avenue Enterprises division (SFAE) engaged in two
deceptive practices in order to achieve their  financial  targets  for
the month, quarter or retail season and that these practices  resulted
in the company's overstatement of income by material  amounts  in  its
financial statements for its 2000, 2001, and 2002 fiscal years and for
two quarters in fiscal 2001 and 1999. According to the complaint,  the
improper accounting by Saks resulted from aggressive financial targets
the company set for SFAE, the belief by some  SFAE  buyers  that  they
were  expected  to  achieve  their  targets  by  deceptive  means,  if
necessary, and Saks' lack of adequate internal controls.

The deceptive practices consisted of the  intentional  over-collection
of vendor allowance, or VA, and the improper deferral -- or rolling --
of markdowns of goods whose value was impaired. As  a  result  of  the
vendor allowance over-collection, Saks overstated its net  income  for
the fiscal year ended Feb. 3, 2001 by 7.0%; overstated its net  income
for the fiscal year ended Feb. 2, 2002 by 32.3%;  overstated  its  net
income for fiscal year ended Feb. 1, 2003 by 42.6%; and overstated its
net income by 3.6% for the fiscal year  ended  Jan.  31,  2004.  As  a
result of the markdown rolling, Saks overstated its net income in  the
second quarter of fiscal year 1999 by 86.5%; and understated its  loss
in the second quarter of fiscal year 2001 by 10.4%.

The complaint alleges that Saks violated Sections  13(a),  13(b)(2)(A)
and 13(b)(2)(B) of the Exchange Act, and Rules 12b-20,  13a-1,  13a-11
and 13a-13 thereunder. Without admitting or denying  the  Commission's
allegations, Saks has agreed to settle the charges by consenting to  a
permanent injunction against further violations of  those  provisions.
[SEC v. Saks Incorporated, 07 Civ. 7821  (S.D.N.Y.)  (CM)]  (LR-20266;
AAE Rel. 2674)


Continuing  its  crackdown  on  fraud  against  senior  citizens,  the
Commission today filed charges stemming from a $428 million securities
fraud  that  victimized  thousands  of  seniors  and  other  investors
throughout the United States.  The  SEC's  action,  filed  in  federal
district court in Chicago, Illinois, charges 26 defendants and alleges
that they participated in a  massive  fraud  on  U.S.  investors  that
involved the sale of securities in the form of "Universal Leases." The
Universal Lease investments were structured as timeshares  in  several
hotels in Cancun, Mexico, coupled with a pre-arranged rental agreement
that promised investors a high, fixed rate of  return.  The  Universal
Lease scheme  has  now  collapsed  and  investor  losses  exceed  $300

The SEC alleges that Michael E. Kelly (Kelly) and those  working  with
him defrauded thousands of U.S. investors into using their  retirement
savings to buy Universal Leases on  the  false  promise  of  safe  and
guaranteed returns. The SEC alleges that from 1999 until  2005,  Kelly
and others raised at least $428 million through  the  Universal  Lease
scheme from investors throughout the United  States,  with  more  than
$136 million of the funds invested coming from IRA accounts.  The  SEC
further alleges that a nationwide network of unregistered  salespeople
who  sold  the  Universal  Leases  collected  undisclosed  commissions
totaling more than $72 million. The SEC also alleges  that  Kelly  and
others ran the scheme from Cancun, Mexico, through a number of foreign
entities in Mexico and Panama. According to the SEC's complaint, Kelly
and  others  told  investors  that  Universal  Leases  would  generate
guaranteed income through the leasing  of  investor  timeshares  by  a
large, independent leasing agent. In fact, the complaint alleges,  the
leasing agent was a  small  Panamanian  travel  agency  controlled  by
Kelly, and for most of the scheme its payments to investors came  from
accounts funded by money  raised  from  new  investors.  Further,  the
complaint alleges that  Kelly  and  the  other  defendants  failed  to
disclose key facts about the Universal Lease investment, including the
risks of the investment and that more than  $72  million  in  investor
funds were used to pay commissions as  high  as  27%  to  the  selling

The SEC's complaint names the following individuals  and  entities  as
defendants: Kelly, Michael P. Kelly, Donald  L.  Kelly,  John  Corwin,
Corporativo Nola, S.A. de C.V.,  Resort  Holding  International  (RHI)
S.A., Panorama Communities, S.A., World Phantasy Tours,  Inc.  (Viajes
Fantasia Por El  Mundo,  S.A.),  also  d/b/a  Majesty  Travel,  Galaxy
Properties Management, S.A., Yucatan Resorts,  S.A.  de  C.V.,  Resort
Holdings International, S.A. de  C.V.  The  complaint  also  names  as
defendants a number of the unregistered brokers who sold the Universal
Leases to the investing public. They are: Mark Ruttenberg,  Ruttenberg
and Associates Financial Marketing, Inc., Mark G.  Meyer,  Mark  Meyer
and Associates, Inc., Richard E. Riner,  Southwest  Income  Marketing,
Inc., George Phelps, also d/b/a Safe Estate  Plans,  John  E.  Tencza,
also d/b/a American Investment Management Group, Inc., American  Elder
Group, L.L.C., Carl Q. Lee, Carl Lee  and  Associates,  Inc.,  Roy  D.
Higgs, Warren T. Chambers, William K. Boston, Jr. and  Century  Estate
Planning, Inc. Finally, the complaint names Avanti Motor Corp. and DMK
Properties, L.L.C., two entities  affiliated  with  Kelly,  as  relief
defendants, alleging that they  received  ill-gotten  gains  from  the

The SEC's complaint, as set forth more fully in the  complaint  linked
to this release, charges violations of Sections 5(a), 5(c)  and  17(a)
of the Securities Act of 1933 (Securities  Act),  Sections  10(b)  and
15(a) of the Securities Exchange Act of 1934 (Exchange Act) and  Rules
10b-5 and 10b-10 thereunder. Further, Kelly is charged  as  a  control
person under Section 20(a) of the Exchange Act and certain  defendants
are charged with aiding and abetting others' violations under  Section
20(e) of the Exchange Act. The complaint seeks  permanent  injunctions
against the defendants, disgorgement of ill-gotten  gains,  and  civil
penalties. [SEC v. Michael E. Kelly,  et  al.,  (U.S.D.C.  N.D.  Ill.,
Civil Action Number 07 C 4979] (LR-20267; Press Rel. 2007-172)


The Commission announced today  that  on  September  4  the  Honorable
Morris E. Lasker of the  U.S.  District  Court  for  the  District  of
Massachusetts entered Final Judgments against  Patricia  B.  Rocklage,
William M. Beaver and David G. Jones in  connection  with  an  insider
trading case involving trading in the common stock  of  Massachusetts-
based Cubist Pharmaceuticals, Inc. The  final  judgments,  entered  by
consent,  enjoin  Rocklage,  Beaver  and  Jones  from  violating   the
antifraud provisions of the securities laws  and  hold  each  of  them
liable  for  disgorgement,  prejudgment  interest  and  civil  penalty

On Jan. 12, 2005, the Commission filed a complaint alleging  that,  on
Dec. 31, 2001, Scott M.  Rocklage,  who  was  at  that  time  Cubist's
Chairman and CEO, informed  his  wife,  Patricia  Rocklage,  that  the
results of  a  clinical  trial  on  one  of  Cubist's  most  important
products, Cidecin (now known as Cubicin), were negative. The complaint
further alleged that, unbeknownst to her husband, Ms. Rocklage  had  a
pre-existing understanding with her brother, Beaver, whereby she would
give him a wink and a nod if she ever became aware  of  any  bad  news
about Cubist that might affect  its  stock  price.  According  to  the
complaint,  shortly  after  learning  about  the  trial  results,  Ms.
Rocklage told her husband that she intended to signal Beaver  to  sell
his Cubist stock, and Scott Rocklage urged his wife to not communicate
with Beaver about the  trial  results.  The  complaint  alleged  that,
notwithstanding her husband's entreaties, by no later than the morning
of Jan. 2, 2002, Ms. Rocklage provided a wink and  a  nod  to  Beaver,
who, at approximately 10 a.m. that  day,  sold  all  5,583  shares  of
Cubist stock that  he  owned  or  controlled.  The  complaint  further
alleged that, after receiving  the  signal  from  his  sister,  Beaver
tipped his friend and neighbor, Jones. Jones  then  who  proceeded  to
sell all 7,500 shares of Cubist stock that he owned on the morning  of
Jan. 3, 2002. Following the announcement of the trial results on  Jan.
16, 2002 after the market closed, Cubist's stock price dropped by 46%,
from a closing price of $31.75 that day to a closing price  of  $17.02
on Jan. 17, 2002. The complaint alleged that,  by  selling  when  they
did,  Beaver  and  Jones  avoided  losses  of  $99,527  and  $133,222,

Previously, the District Court  rejected  the  defendants'  motion  to
dismiss the Commission's complaint, and the  United  States  Court  of
Appeals for the First Circuit affirmed that decision on Nov. 14, 2006.
The  defendants  had  argued  that,  after  she  received  the  inside
information, Ms. Rocklage's disclosure to her  husband  that  she  was
going to tip her brother negated any liability under  insider  trading
case law. The First Circuit rejected this argument and ruled that  the
Commission had  stated  a  valid  claim  against  the  defendants  and
affirmed the District Court's rejection of the defendants'  motion  to

Ms. Rocklage, Beaver and Jones agreed to settle  the  charges  against
them without admitting or denying the  allegations  contained  in  the
Commission's complaint. Under the terms of the settlement, each of the
defendants has consented to the entry of a final judgment  permanently
enjoining them from violating Section 17(a) of the Securities  Act  of
1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule
10b-5 thereunder. The judgments also order Ms.  Rocklage  and  Beaver,
jointly and severally, to disgorge $99,527, representing Beaver's loss
avoided, plus $36,643 in prejudgment interest thereon, and require Ms.
Rocklage,  Beaver  and  Jones,  jointly  and  severally,  to  disgorge
$133,222,  representing  Jones'  loss   avoided,   plus   $49,049   in
prejudgment interest thereon. In addition,  the  judgments  order  Ms.
Rocklage to pay a civil penalty of $99,527,  Beaver  to  pay  a  civil
penalty of $232,749 and Jones to pay a civil penalty of $133,222.

The Commission acknowledges the assistance provided  by  the  NASD  in
this matter. [SEC v. Patricia B. Rocklage et al., Civil Action No. 05-
10074-MEL, USDC, D.Mass.] (LR-20268)



A notice has been issued giving interested persons until September 25,
2007 to request a  hearing  on  an  application  filed  by  Trust  For
Professional Managers and Envestnet  Asset  Management,  Inc.  for  an
order exempting them from Section 15(a) of the Investment Company  Act
of 1940 (Act) and Rule 18f-2 under the Act. The order would permit the
applicants to enter into and materially amend  subadvisory  agreements
without shareholder approval and grant relief from certain  disclosure
requirements. (Rel. IC-27964 - August 31)


PROPOSED RULE CHANGE The Financial Industry Regulatory Authority filed
a proposed rule change (SR-FINRA-2007-006) relating to Historic  TRACE
Data. Publication is expected in the Federal Register during the  week
of September 3. (Rel. 34-56327)


A proposed rule change filed by the International Securities  Exchange
relating to fee changes (SR-ISE-2007-78) has  become  effective  under
Section  19(b)(3)(A)  of  the  Securities  Exchange   Act   of   1934.
Publication is expected in the Federal Register  during  the  week  of
September 3. (Rel. 34-56346)

The  National  Association  of  Securities  Dealers  (n/k/a  Financial
Industry Regulatory Authority, Inc.) filed a proposed rule change  and
Amendment No. 1 thereto (SR-NASD-2007-056) under  Rule  19b-4  of  the
Securities Exchange Act of 1934 to  establish  a  membership  waive-in
process for certain NYSE member organizations. Publication is expected
in the Federal Register during the week  of  September  3.  (Rel.  34-

A proposed rule change (SR-NASDAQ-2007-073) filed by The NASDAQ  Stock
Market to modify the Halt Cross process  has  become  effective  under
Section  19(b)(3)(A)  of  the  Securities  Exchange   Act   of   1934.
Publication is expected in the Federal Register  during  the  week  of
September 3. (Rel. 34-56348)


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     ELDORADO GOLD CORP                                      /FI, 
        920 - 1055, WEST HASTINGS STREET, VANCOUVER, A1, V6E 2E9, 
        5,149,850 ($25,440,259.00) Equity, (File 333-145854 - Sep. 4) (BR. 04B)

        CA, 91045, 310-577-5820 - 4,250,000 ($2,082,500.00) Equity, 
        (File 333-145855 - Sep. 4) (BR. 02A)

        SUITE 1600, DALLAS, TX, 75240, 2145209292 - 0 ($473.00) Equity, 
        (File 333-145856 - Sep. 4) (BR. 09B)

        4135681911 - 2,184,142 ($22,051,570.58) Equity, (File 333-145857 - 
        Sep. 4) (BR. 07C)

SB-2    GuangZhou Global Telecom, Inc., ROOM 1802, NORTH TOWER, SUNTEC PLAZA,, 
        (44) 1207-245-6131 - 5,087,107 ($4,861,323.00) Equity, 
        (File 333-145858 - Sep. 4) (BR. 11C)

S-8     HSBC HOLDINGS PLC, 8 CANADA SQUARE, LONDON, X0, E145HQ, 442079912652 - 
        0 ($420,178,078.98) Equity, (File 333-145859 - Sep. 4) (BR. 07B)

        NY, 10036, 212 696 0100 - 0 ($692,000,000.00) Equity, 
        (File 333-145860 - Sep. 4) (BR. 08A)

SB-2    Solera National Bancorp, Inc., 319 SOUTH SHERIDAN BOULEVARD, LAKEWOOD, 
        CO, 80226, 303-209-8600 - 0 ($2,323,430.00) Other, (File 333-145861 - 
        Sep. 4) (BR. 07C)

        2062982909 - 1,000 ($10,000.00) Equity, (File 333-145862 - Sep. 4) 
        (BR. 11B)

        ALEXANDRIA, VA, 22134, 7033401629 - 3,793,400 ($2,276,040.00) Equity, 
        (File 333-145864 - Sep. 4) (BR. 02B)

S-8     Origin Agritech LTD, NO. 21 SHENG MING YUAN ROAD, 
        CHANGPING DISTRICT BEIJING, F4, 102206, 858-847-9000 - 
        1,500,000 ($11,775,000.00) Equity, (File 333-145865 - Sep. 4) (BR. 04C)

        WEST HENRIETTA, NY, 14586, 5852142441 - 4,300,000 ($881,500.00) Equity, 
        (File 333-145867 - Sep. 4) (BR. 10A)

S-3     ANDERSONS INC, 480 W DUSSEL DR, MAUMEE, OH, 43537, 4198935050 - 
        30,000,000 ($30,000,000.00) Non-Convertible Debt, (File 333-145868 - 
        Sep. 4) (BR. 05B)

S-8     ICO Global Communications (Holdings) LTD, PLAZA AMERICA TOWER, 
        11700 PLAZA AMERICA DRIVE, SUITE 1010, RESTON, VA, 20190, 
        (703) 964-1400 - 0 ($21,700,000.00) Equity, (File 333-145869 - Sep. 4) 
        (BR. 11B)

        A1, V6C 1E1, 604-737-1015 - 57,473,673 ($110,924,188.89) Equity, 
        (File 333-145870 - Sep. 4) (BR. 09B)

SB-2    Platinum Studios, Inc., 11400 W. OLYMPIC BOULEVARD, SUITE 1400, 
        LOS ANGELES, CA, 90064, (301) 807-8100 - 
        66,255,825 ($6,625,583.00) Equity, (File 333-145871 - Sep. 4) (BR. )

S-8     SULPHCO INC, 850 SPICE ISLANDS DRIVE, SPARKS, NV, 89431, 775-829-1310 - 
        2,000,000 ($9,737,825.00) Equity, (File 333-145872 - Sep. 4) (BR. 06B)

S-3     Ascent Solar Technologies, Inc., 8120 SHAFFER PARKWAY, LITTLETON, CO, 
        80127, 303 420 1141 - 0 ($135,200.00) Other, (File 333-145873 - Sep. 4) 
        (BR. 10A)


Form 8-K is used by companies to file current reports on the following
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.

NAME OF ISSUER                          CODE   	 8K ITEM NO.		    	DATE       COMMENT
ABRAXAS PETROLEUM CORP                  NV       5.02,9.01                      09/04/07

ACCENTURE LTD                                    5.02                           08/29/07

ACCENTURE SCA                                    5.02                           08/29/07

Advanced BioPhotonics Inc.              DE       1.01,2.03,3.02,9.01            08/29/07

AF FINANCIAL GROUP                               2.02,9.01                      09/04/07

AGILYSYS INC                            OH       2.01,9.01                      06/18/07    AMEND

AIS FUTURES FUND IV LP                  DE       3.02                           08/31/07

AMERALIA INC                                     1.01,3.02,5.01,8.01,9.01       08/22/07

America Asia Corp.                      NV       1.02                           06/30/07

AMERICAN DENTAL PARTNERS INC            DE       1.01,9.01                      08/30/07

American Electric Technologies Inc      FL       8.01,9.01                      08/28/07

AMERICAN TOWER CORP /MA/                DE       1.01,2.03,9.01                 08/30/07

AMERIGROUP CORP                                  5.02                           09/01/07

AMERIRESOURCE TECHNOLOGIES INC          DE       3.02                           09/04/07

Amish Naturals, Inc.                    NV       1.01,3.02,8.01,9.01            08/31/07

ANESIVA, INC.                           DE       8.01,9.01                      09/04/07

APPLIED DIGITAL SOLUTIONS INC           MO       1.01,1.02,2.03,3.02            08/31/07

APRIA HEALTHCARE GROUP INC              DE       5.02,9.01                      09/04/07

ARADIGM CORP                            CA       1.01                           08/30/07

ARCADIA RESOURCES, INC                  NV       1.01,9.01                      08/29/07

Ardea Biosciences, Inc./DE              DE       7.01,9.01                      09/04/07

AUXILIO INC                             NV       1.01,9.01                      08/13/07

AVANEX CORP                             DE       2.02,9.01                      09/04/07

Avantair, Inc                           DE       2.02,9.01                      09/04/07

AVISTA CORP                             WA       8.01                           08/24/07

Bear Stearns Structured Products Inc.   DE       9.01                           08/31/07

BEDMINSTER NATIONAL CORP                DE       8.01,9.01                      08/31/07

BIG LOTS INC                            OH       1.01,2.02,9.01                 08/28/07

BILL BARRETT CORP                                7.01,9.01                      09/04/07

BLUE RIVER BANCSHARES INC               IN       3.01,9.01                      08/28/07

BPO Management Services                 DE       1.01,9.01                      06/21/07    AMEND

BRADLEY PHARMACEUTICALS INC             DE       1.01                           08/29/07

BROOKE CAPITAL CORP                     KS       8.01,9.01                      08/28/07

BUTLER INTERNATIONAL INC /MD/           MD       1.01,2.03,5.03,8.01,9.01       08/27/07

CA, INC.                                DE       1.01,1.02,2.03,9.01            08/29/07

Cal Dive International, Inc.            DE       7.01,9.01                      09/04/07

CAMCO FINANCIAL CORP                    DE       7.01,9.01                      09/04/07

CARACO PHARMACEUTICAL LABORATORIES LT   MI       3.02                           08/13/07

CARRIZO OIL & GAS INC                   TX       7.01                           09/04/07

CARTOON ACQUISITION, INC.               DE       4.01,9.01                      05/22/07    AMEND

CATERPILLAR INC                         DE       8.01                           09/04/07

Celsia Technologies, Inc.               NV       5.02                           08/28/07

CHANNELL COMMERCIAL CORP                DE       1.01,9.01                      08/28/07

CHINA FIRE & SECURITY GROUP, INC.                2.02,7.01,9.01                 09/04/07

CHINA ORGANIC AGRICULTURE, INC.                  8.01,9.01                      08/31/07

China VoIP & Digital Telecom Inc.       NV       8.01,9.01                      09/04/07

China Water & Drinks Inc..              NV       1.01,3.02,9.01                 08/31/07

CHINA WORLD TRADE CORP                  NV       5.02                           08/28/07

CHS INC                                 MN       1.01,5.02                      09/04/07

CLEARONE COMMUNICATIONS INC             UT       8.01                           09/04/07

CLEARONE COMMUNICATIONS INC             UT       8.01                           09/04/07

CLEARONE COMMUNICATIONS INC             UT       8.01,9.01                      09/04/07

CLINICAL DATA INC                       DE       8.01,9.01                      09/04/07

CLST Holdings, Inc.                     DE       4.01,5.02,9.01                 08/28/07

COCA COLA ENTERPRISES INC               DE       1.01                           08/29/07

COLONIAL BANCGROUP INC                  DE       7.01,9.01                      09/04/07

COMMUNICATIONS SYSTEMS INC              MN       5.02,9.01                      08/28/07

Compass Diversified Trust               DE       8.01,9.01                      08/31/07

COMPETITIVE TECHNOLOGIES INC            DE       8.01                           09/04/07

COMPUMED INC                            DE       7.01,8.01                      08/31/07

COMVERSE TECHNOLOGY INC/NY/             NY       5.05,9.01                      08/29/07

Conmed Healthcare Management, Inc.      DE       8.01,9.01                      09/04/07

Copano Energy, L.L.C.                   DE       1.01,3.02,7.01,9.01            08/31/07

COSINE COMMUNICATIONS INC               DE       1.01,9.01                      08/31/07

CROSS COUNTRY HEALTHCARE INC            DE       2.02,7.01,9.01                 08/31/07

CTC Media, Inc.                                  1.01,9.01                      09/03/07

Customer Acquisition Network Holdings   DE       1.01,2.01,3.02,5.01,5.02,9.01  08/28/07

CYTORI THERAPEUTICS, INC.               DE       1.01,3.03,9.01                 08/28/07

DANA CORP                               VA       8.01,9.01                      08/31/07

DEERE & CO                              DE       7.01                           09/04/07

DELPHI CORP                             DE       1.01,9.01                      08/29/07

DELTATHREE INC                          DE       1.01,5.02,9.01                 09/04/07

DG FastChannel, Inc                     DE       4.01,9.01                      08/29/07

DIAMOND HILL INVESTMENT GROUP INC       OH       8.01                           09/04/07

DIAMOND OFFSHORE DRILLING INC           DE       7.01,9.01                      09/04/07

DIGITAL ANGEL CORP                      DE       1.01,1.02,2.03,3.02            08/31/07

DILLARDS INC                            DE       7.01,9.01                      09/04/07

DOMINION RESOURCES INC /VA/             VA       5.02,8.01                      08/29/07

DONALDSON CO INC                        DE       2.02,9.01                      09/04/07

DRIL-QUIP INC                           DE       7.01,9.01                      09/04/07

DTE ENERGY CO                           MI       7.01,9.01                      09/04/07

Eastern Insurance Holdings, Inc.        PA       8.01,9.01                      09/04/07

EASYLINK SERVICES INTERNATIONAL CORP    DE       1.01,9.01                      08/28/07

EDIETS COM INC                          DE       1.01,9.01                      08/31/07

EL PASO CORP/DE                         DE       7.01,9.01                      09/04/07

ELECSYS CORP                            KS       1.01,9.01                      09/04/07

EMCORE CORP                             NJ       5.02                           08/28/07

EMERITUS CORP\WA\                       WA       1.01,1.02,2.03,8.01,9.01       08/31/07

EMERITUS CORP\WA\                       WA       1.02,2.01,3.02,5.02,7.01,9.01  08/29/07

EPICUS COMMUNICATIONS GROUP INC         FL       1.01                           08/15/07

EXELIXIS INC                            DE       1.01                           09/04/07

EXELON CORP                             PA       7.01,8.01,9.01                 08/28/07

EXTERRAN ENERGY SOLUTIONS, L.P.         DE       4.01,9.01                      08/20/07    AMEND

FAMILY DOLLAR STORES INC                DE       5.02,9.01                      08/28/07

FEDERAL AGRICULTURAL MORTGAGE CORP               1.01                           09/04/07

Federal Home Loan Bank of Atlanta       X1       2.03                           08/29/07

Federal Home Loan Bank of Cincinnati    X1       8.01                           09/04/07

Federal Home Loan Bank of Des Moines    X1       2.03,9.01                      08/29/07

Federal Home Loan Bank of Des Moines    X1       7.01,9.01                      09/04/07

Federal Home Loan Bank of Indianapoli   X1       2.03,9.01                      08/29/07

Federal Home Loan Bank of New York      X1       8.01                           09/04/07

Federal Home Loan Bank of Pittsburgh    PA       2.03,9.01                      08/29/07

Federal Home Loan Bank of San Francis   X1       2.03                           08/29/07

Federal Home Loan Bank of San Francis   X1       7.01,9.01                      09/04/07

FINISAR CORP                            DE       2.02,9.01                      09/04/07

FIRST FINANCIAL CORP /IN/               IN       5.02,9.01                      08/29/07

FLATBUSH FEDERAL BANCORP INC                     8.01,9.01                      08/30/07

FORD MOTOR CO                           DE       8.01,9.01                      09/04/07

FOSSIL INC                              DE       5.02                           08/29/07

Frontier Airlines Holdings, Inc.        DE       8.01,9.01                      09/04/07

g8wave Holdings, Inc.                            5.02,7.01,9.01                 08/27/07

GALAXY ENERGY CORP                      CO       8.01,9.01                      09/04/07

GENERAL COMMUNICATION INC               AK       5.02                           08/31/07

GENERAL ELECTRIC CO                     NY       8.01,9.01                      09/04/07

GeoMet, Inc.                            DE       5.02,9.01                      09/04/07

GRANT PARK FUTURES FUND LIMITED PARTN   IL       7.01                           08/31/07

Guardian Zone Technology, Inc.          DE       1.01                           04/15/07

GUESS INC                               DE       2.02,9.01                      09/04/07

H&E Equipment Services, Inc.            DE       1.01,2.01,2.03,8.01,9.01       08/31/07

HANOVER COMPRESSOR CO /                 DE       4.01,9.01                      08/20/07    AMEND

HARTCOURT COMPANIES INC                 UT       1.02                           06/11/07

HARTCOURT COMPANIES INC                 UT       1.02,7.01                      06/11/07

HEALTHCARE REALTY TRUST INC             MD       8.01                           08/29/07

HealthMarkets, Inc.                     DE       5.02,9.01                      08/30/07

HeartWare LTD                           C3       7.01,9.01                      09/04/07

HELIX ENERGY SOLUTIONS GROUP INC        MN       7.01,9.01                      08/28/07

HINES HORTICULTURE INC                  DE       1.01,9.01                      08/29/07

Homeland Security Capital CORP          DE       2.01,9.01                      08/28/07    AMEND

HSI Asset Loan Obligation Trust 2007-            6.02                           09/01/07

HUSKER AG  LLC                          NE       8.01,9.01                      08/31/07

INNUITY, INC. /UT/                      UT       1.01                           08/28/07

INTERLINK ELECTRONICS INC               DE       2.01,8.01,9.01                 08/31/07

INTERNATIONAL TEXTILE GROUP INC         DE       5.02,9.01                      08/31/07

INTERNATIONAL WIRE GROUP INC            DE       7.01,9.01                      08/31/07

INTERSIL CORP/DE                        DE       7.01,9.01                      09/04/07

INX Inc                                 DE       1.01,2.01,3.02,7.01,9.01       08/31/07

ITT CORP                                IN       8.01,9.01                      09/04/07

IXIA                                    CA       5.02,9.01                      09/02/07

J P MORGAN CHASE & CO                   DE       9.01                           08/31/07

J.P. Morgan Alternative Loan Trust 20   DE       6.02                           09/01/07

J.P. Morgan Mortgage Trust 2007-S2      DE       6.02                           09/01/07

J.P. Morgan Mortgage Trust 2007-S3      DE       6.02                           09/01/07

JOHN D. OIL & GAS CO                             1.01,2.03,9.01                 08/28/07

KBS Real Estate Investment Trust, Inc   MD       1.01,2.01,2.03,9.01            08/28/07

KENT FINANCIAL SERVICES INC             DE       1.01,5.02,9.01                 08/31/07

KENT INTERNATIONAL HOLDINGS INC         NV       1.01,5.02,9.01                 08/31/07

KRAFT FOODS INC                         VA       5.02,9.01                      08/28/07

KRONOS WORLDWIDE INC                             7.01,9.01                      08/31/07

LADISH CO INC                           WI       8.01,9.01                      09/04/07

LAND O LAKES INC                                 1.01,5.02,8.01                 09/04/07

LANDAUER INC                            DE       8.01,9.01                      08/31/07

LEGACY RESERVES L P                              7.01,9.01                      09/04/07

LEVITT CORP                             FL       7.01,9.01                      08/29/07

LHC Group, Inc                                   8.01,9.01                      09/04/07

Live Nation, Inc.                       DE       5.02                           09/01/07

LOCAL.COM                               DE       1.01,9.01                      08/28/07

LOOKSMART LTD                           DE       1.01,5.02,8.01,9.01            08/28/07

LUDVIK CAPITAL INC                      DE       8.01                           08/31/07

Lumonall Inc.                           NV       5.02                           08/28/07

Lusora Healthcare Systems Inc.          NV       1.01,9.01                      08/22/07

MANOR CARE INC                          DE       8.01,9.01                      08/31/07

MATRITECH INC/DE/                       DE       1.01,2.03,9.01                 08/30/07

MEDIANET GROUP TECHNOLOGIES INC         NV       5.02                           08/29/07

MEDIWARE INFORMATION SYSTEMS INC        NY       5.02,9.01                      08/30/07

MELT INC                                NV       5.02                           08/31/07

MEMC ELECTRONIC MATERIALS INC           DE       8.01,9.01                      09/04/07

Mercantile Bancorp, Inc.                DE       8.01,9.01                      08/31/07

MERRILL LYNCH & CO INC                  DE       8.01,9.01                      09/04/07

METROPCS COMMUNICATIONS INC             DE       8.01,9.01                      09/04/07

MFRI INC                                DE       1.01,2.03,9.01                 08/28/07

MITCHAM INDUSTRIES INC                  TX       2.02,9.01                      09/04/07

MOLSON COORS BREWING CO                 CO       5.02                           08/30/07

MONSTER WORLDWIDE INC                   DE       8.01,9.01                      09/04/07

MONTANA ACQUISITION CORP                DE       4.01,9.01                      08/10/07    AMEND

MOVIE GALLERY INC                       DE       1.01,9.01                      09/04/07

MUNICIPAL MORTGAGE & EQUITY LLC         DE       1.01,3.01,9.01                 08/28/07

My Quote Zone, Inc.                     NV       5.02                           08/31/07

NATIONAL CITY CORP                      DE       8.01,9.01                      09/01/07

NATIONAL FUEL GAS CO                    NJ       8.01,9.01                      08/31/07

National Interstate CORP                OH       8.01,9.01                      09/04/07

NATIONAL LAMPOON INC                    CA       4.01,9.01                      08/31/07

NATIONAL RETAIL PROPERTIES, INC.        MD       8.01,9.01                      09/04/07

NaturalNano , Inc.                      NV       1.01,5.02,7.01,9.01            08/31/07

NAVISITE INC                            DE       3.02                           09/04/07

NAVTECH INC                             DE       1.01,2.03,9.01                 08/28/07

NEOMEDIA TECHNOLOGIES INC               DE       4.01,9.01                      08/29/07

Neonode, Inc                            DE       4.01,9.01                      08/10/07    AMEND

NeurogesX Inc                           CA       7.01,9.01                      09/04/07

NEWS CORP                                        8.01,9.01                      09/03/07

NEXT INC/TN                             DE       7.01,9.01                      09/04/07

NL INDUSTRIES INC                       NJ       7.01,9.01                      08/31/07

NOBLE INTERNATIONAL, LTD.               DE       7.01,9.01                      09/04/07

NRG ENERGY, INC.                        DE       1.01,9.01                      08/28/07

NS8 CORP                                DE       5.02,9.01                      08/31/07

NUVEEN INVESTMENTS INC                  DE       8.01                           08/31/07

NYFIX INC                               DE       2.02,8.01,9.01                 08/28/07

OLD REPUBLIC INTERNATIONAL CORP         DE       5.03                           09/04/07

OVERSEAS SHIPHOLDING GROUP INC          DE       8.01,9.01                      08/30/07

OXFORD MEDIA, INC.                      NV       5.03                           08/28/07

PALM INC                                DE       5.02                           08/28/07

Paramount Acquisition Corp              DE       8.01,9.01                      09/04/07

PARK ELECTROCHEMICAL CORP               NY       9.01                           09/04/07

PATTERSON UTI ENERGY INC                DE       5.02,9.01                      08/31/07

PDL BIOPHARMA, INC.                     DE       2.05,9.01                      08/28/07

PEPSIAMERICAS INC/IL/                   DE       8.01,9.01                      09/04/07

PERFECTENERGY INTERNATIONAL LTD         NV       4.01,9.01                      09/04/07

PivX Solutions, Inc.                    NV       2.06                           08/31/07

PLAINS ALL AMERICAN PIPELINE LP         DE       7.01                           09/04/07

PLAINS EXPLORATION & PRODUCTION CO      DE       7.01,9.01                      09/04/07

POWERSECURE INTERNATIONAL, INC.         DE       7.01,9.01                      08/28/07

PPL CORP                                PA       7.01,9.01                      08/29/07

PREMIER EXHIBITIONS, INC.                        1.01,5.02,5.03,9.01            08/29/07

Prestige Brands Holdings, Inc.                   5.02                           08/30/07

PRO-FAC COOPERATIVE INC                          7.01,9.01                      09/04/07

PROGRESS ENERGY INC                     NC       7.01                           09/04/07

Puda Coal, Inc.                                  8.01                           08/28/07

QUALITY SYSTEMS INC                     CA       5.02,9.01                      09/04/07

QUICKLOGIC CORPORATION                  CA       1.01,5.02,9.01                 08/29/07

RALI Series 2007 QS10 Trust             DE       8.01,9.01                      08/31/07

REPRO MED SYSTEMS INC                   NY       8.01,9.01                      09/04/07

RODMAN & RENSHAW CAPITAL GROUP, INC.    DE       8.01,9.01                      08/31/07

ROHM & HAAS CO                          DE       2.05,8.01                      09/04/07

ROYAL CARIBBEAN CRUISES LTD                      7.01,9.01                      09/04/07

ROYAL GOLD INC                          DE       1.01,5.02,9.01                 08/28/07

SAFLINK CORP                            DE       1.01,8.01,9.01                 08/30/07

SAVANNAH BANCORP INC                    GA       2.01                           08/31/07

Securus Technologies, Inc.              DE       5.02                           08/31/07

SELIGMAN SELECT MUNICIPAL FUND INC      MD       7.01,9.01                      09/04/07

SENESCO TECHNOLOGIES INC                DE       1.01,9.01                      08/29/07

SERVICEMASTER CO                        DE       5.02,8.01,9.01                 08/29/07

Shire plc                                        8.01,9.01                      09/03/07

Silicon Mountain Holdings, Inc.         CO       1.01,2.01,2.03,3.02,5.01,5.02, 08/28/07

SPARTON CORP                            OH       5.02,9.01                      08/30/07

SPORT SUPPLY GROUP, INC.                DE       5.02,9.01                      08/28/07

SPORT SUPPLY GROUP, INC.                DE       7.01,9.01                      08/30/07

STAGE STORES INC                        NV       8.01,9.01                      08/31/07

STANDEX INTERNATIONAL CORP/DE/          DE       5.02                           08/31/07

STARWOOD HOTEL & RESORTS WORLDWIDE IN   MD       1.01,5.02,7.01,9.01            08/31/07

STATE BANCORP INC                       NY       5.02,8.01,9.01                 08/30/07

STEEL DYNAMICS INC                      IN       8.01,9.01                      08/30/07

STERICYCLE INC                          DE       8.01,9.01                      09/04/07

SUPERIOR BANCORP                        DE       8.01,9.01                      08/03/07

SYMYX TECHNOLOGIES INC                  DE       5.02,5.03,9.01                 08/30/07

Synova Healthcare Group Inc                      1.01                           08/28/07

TAGALDER GLOBAL INVESTMENT, INC.                 1.01,3.02,9.01                 08/29/07

TECHTEAM GLOBAL INC                     DE       8.01,9.01                      08/31/07    AMEND

Telanetix,Inc                           DE       1.01,2.03,3.02,5.03,9.01       08/30/07

TELEDYNE TECHNOLOGIES INC               DE       5.02,9.01                      09/01/07

THORNBURG MORTGAGE INC                  MD       8.01,9.01                      08/30/07

TITANIUM METALS CORP                    DE       7.01,9.01                      08/31/07

TONGA CAPITAL CORP                      CO       3.02                           09/04/07

TRANSOCEAN INC                          E9       7.01,9.01                      09/04/07

TreeHouse Foods, Inc.                   DE       1.01,2.03,9.01                 08/30/07

TRINITY INDUSTRIES INC                  DE       5.02                           09/04/07

TRIQUINT SEMICONDUCTOR INC              DE       8.01,9.01                      09/04/07

TXU CORP /TX/                           TX       1.01                           08/28/07

UAP HOLDING CORP                        DE       7.01                           09/04/07

UNION BANKSHARES CO/ME                  ME       8.01,9.01                      08/17/07

UNIVERSAL CORP /VA/                     VA       1.01,9.01                      08/31/07

UNIVERSAL FOOD & BEVERAGE COMPNY        NV       1.03,7.01,8.01,9.01            08/31/07

URANERZ ENERGY CORP.                    NV       8.01                           08/24/07

URANERZ ENERGY CORP.                    NV       7.01,9.01                      08/31/07

USEC INC                                DE       1.01                           08/30/07

VALERO ENERGY CORP/TX                   DE       7.01,9.01                      09/04/07

VALHI INC /DE/                          DE       7.01,9.01                      08/31/07

VECTr SYSTEMS INC                                1.01,9.01                      09/01/07

VIRGINIA FINANCIAL GROUP INC            VA       1.01,5.02,9.01                 08/28/07

VirtualScopics, Inc.                    DE       5.03,9.01                      08/28/07

VUBOTICS INC                            NV       1.01,2.03,3.02,9.01            09/04/07

W HOLDING CO INC                        PR       5.02,9.01                      09/03/07

Warner Music Group Corp.                DE       8.01,9.01                      09/04/07

WARREN RESOURCES INC                    MD       2.01,9.01                      06/20/07    AMEND

WELLS REAL ESTATE INVESTMENT TRUST II   MD       8.01                           09/04/07

Wentworth Energy, Inc.                  OK       8.01                           08/31/07

Western Dubuque Biodiesel, LLC          IA       5.02                           08/27/07

Whitestone REIT                         TX       7.01,9.01                      08/28/07

WILLIAMS COMPANIES INC                  DE       7.01                           09/04/07

WIND RIVER SYSTEMS INC                  DE       5.02                           08/28/07

WORLD ENERGY SOLUTIONS, INC.            FL       8.01                           09/04/07

WORLD HEART CORP                        A6       5.02,9.01                      08/30/07

XCEL ENERGY INC                         MN       2.02,9.01                      09/04/07

ZEBRA TECHNOLOGIES CORP/DE              DE       5.02,5.03,9.01                 08/31/07




Modified: 09/05/2007