 |
|
SEC NEWS DIGEST
Issue 2007-193 October 5, 2007
ENFORCEMENT PROCEEDINGS
COMMISSION REVOKES REGISTRATION OF SECURITIES OF CAN-EX MINERALS CORP.
FOR FAILURE TO MAKE REQUIRED PERIODIC FILINGS
On October 5, the Commission revoked the registration of each class of
registered securities of Can-Ex Minerals Corp. (Can-Ex) for failure to
make required periodic filings with the Commission.
Without admitting or denying the findings in the order, except as to
jurisdiction, which it admitted, Can-Ex consented to the entry of an
Order Making Findings and Revoking Registration of Securities Pursuant
to Section 12(j) of the Securities Exchange Act of 1934 as to Can-Ex
Minerals Corp. finding that it had failed to comply with Section 13(a)
of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1
and 13a-13 thereunder and revoking the registration of each class of
Can-Ex's securities pursuant to Section 12(j) of the Exchange Act.
This order settled the charges brought against Can-Ex in In the Matter
of Aurora Acquisitions, Inc., et al., Administrative Proceeding File
No. 3-12754.
Brokers and dealers should be alert to the fact that Exchange Act
Section 12(j) provides, in pertinent part, as follows:
No member of a national securities exchange, broker, or dealer
shall make use of the mails or any means or instrumentality of
interstate commerce to effect any transaction in, or to induce
the purchase or sale of, any security the registration of
which has been and is suspended or revoked . . . .
For further information see Order Instituting Administrative
Proceedings and Notice of Hearing Pursuant to Section 12(j) of the
Securities Exchange Act of 1934, In the Matter of Aurora Acquisitions,
Inc., et al., Administrative Proceeding File No. 3-12754, Exchange Act
Release No. 56476 (Sept. 20, 2007). (Rel. 34-56618; File No. 3-12754)
COMMISSION REVOKES REGISTRATION OF SECURITIES OF LAPTA ACQUISITION
CORP. I, LAPTA ACQUISITION CORP. II, LAPTA ACQUISITION CORP. III,
LAPTA ACQUISITION CORP. IV, AND LAPTA ACQUISITION CORP. V FOR FAILURE
TO MAKE REQUIRED PERIODIC FILINGS
On October 5, the Commission revoked the registration of each class of
registered securities of Lapta Acquisition Corp. I, Lapta Acquisition
Corp. II, Lapta Acquisition Corp. III, Lapta Acquisition Corp. IV, and
Lapta Acquisition Corp. V (Lapta I-V) for failure to make required
periodic filings with the Commission.
Without admitting or denying the findings in the order, except as to
jurisdiction, which they admitted, Lapta I-V consented to the entry of
an Order Making Findings and Revoking Registration of Securities
Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to
Lapta Acquisition Corp. I, Lapta Acquisition Corp. II, Lapta
Acquisition Corp. III, Lapta Acquisition Corp. IV, and Lapta
Acquisition Corp. V finding that they had failed to comply with
Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act)
and Rules 13a-1 and 13a-13 thereunder and revoking the registration of
each class of Lapta I-V's securities pursuant to Section 12(j) of the
Exchange Act. This order settled the charges brought against Lapta I-V
in In the Matter of Lapta Acquisition Corp. I, et al., Administrative
Proceeding File No. 3-12757.
Brokers and dealers should be alert to the fact that Exchange Act
Section 12(j) provides, in pertinent part, as follows:
No member of a national securities exchange, broker, or dealer
shall make use of the mails or any means or instrumentality of
interstate commerce to effect any transaction in, or to induce
the purchase or sale of, any security the registration of
which has been and is suspended or revoked . . . .
For further information see Order Instituting Administrative
Proceedings and Notice of Hearing Pursuant to Section 12(j) of the
Securities Exchange Act of 1934, In the Matter of Lapta Acquisition
Corp. I, et al., Administrative Proceeding File No. 3-12757, Exchange
Act Release No. 56393 (Sept. 12, 2007). (Rel. 34-56619; File No. 3-
12757)
COMMISSION REVOKES REGISTRATION OF SECURITIES OF LAPTA ACQUISITION
CORP. VI, LAPTA ACQUISITION CORP. VII, LAPTA ACQUISITION CORP. VIII,
LAPTA ACQUISITION CORP. IX, AND LAPTA ACQUISITION CORP. X FOR FAILURE
TO MAKE REQUIRED PERIODIC FILINGS
On October 5, the Commission revoked the registration of each class of
registered securities of Lapta Acquisition Corp. VI, Lapta Acquisition
Corp. VII, Lapta Acquisition Corp. VIII, Lapta Acquisition Corp. IX,
and Lapta Acquisition Corp. X (Lapta VI-X) for failure to make
required periodic filings with the Commission.
Without admitting or denying the findings in the order, except as to
jurisdiction, which they admitted, Lapta VI-X consented to the entry
of an Order Making Findings and Revoking Registration of Securities
Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to
Lapta Acquisition Corp. VI, Lapta Acquisition Corp. VII, Lapta
Acquisition Corp. VIII, Lapta Acquisition Corp. IX, and Lapta
Acquisition Corp. X finding that they had failed to comply with
Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act)
and Rules 13a-1 and 13a-13 thereunder and revoking the registration of
each class of Lapta VI-X's securities pursuant to Section 12(j) of the
Exchange Act. This order settled the charges brought against Lapta VI-
X in In the Matter of Lapta Acquisition Corp. I, et al.,
Administrative Proceeding File No. 3-12757.
Brokers and dealers should be alert to the fact that Exchange Act
Section 12(j) provides, in pertinent part, as follows:
No member of a national securities exchange, broker, or dealer
shall make use of the mails or any means or instrumentality of
interstate commerce to effect any transaction in, or to induce
the purchase or sale of, any security the registration of
which has been and is suspended or revoked . . . .
For further information see Order Instituting Administrative
Proceedings and Notice of Hearing Pursuant to Section 12(j) of the
Securities Exchange Act of 1934, In the Matter of Lapta Acquisition
Corp.VI, et al., Administrative Proceeding File No. 3-12758, Exchange
Act Release No. 56394 (Sept. 12, 2007). (Rel. 34-56620; File No. 3-
12758)
INVESTMENT ADVISERS ACT RELEASES
IRONBRIDGE CAPITAL MANAGEMENT LP THE HIRTLE CALLAGHAN TRUST
A notice has been issued giving interested persons until October 29 to
request a hearing on an application filed by IronBridge Capital
Management LP and The Hirtle Callaghan Trust for an order under
section 206A of the Investment Advisers Act of 1940, granting relief
from section 205 of the Act and rule 205-1 thereunder. The order would
permit IronBridge to charge a performance fee based on the performance
of that portion of a trust portfolio managed by IronBridge (IronBridge
Accounts). The order would further permit IronBridge, subject to
certain conditions, to compute the performance-related portion of the
fee using changes in the IronBridge Account's gross asset value rather
than net asset value. (Rel. IA-2667 - October 3)
FRANKLIN PORTFOLIO ASSOCIATES, LLC THE HIRTLE CALLAGHAN TRUST
A notice has been issued giving interested persons until October 29 to
request a hearing on an application filed by Franklin Portfolio
Associates, LLC and The Hirtle Callaghan Trust for an order under
section 206A of the Investment Advisers Act of 1940, granting relief
from section 205 of the Act and rule 205-1 thereunder. The order would
permit Franklin to charge a performance fee based on the performance
of that portion of a trust portfolio managed by Franklin (Franklin
Accounts). The order would further permit Franklin, subject to certain
conditions, to compute the performance-related portion of the fee
using changes in the Franklin Account's gross asset value rather than
net asset value. (Rel. IA-2668 - October 3)
SELF-REGULATORY ORGANIZATIONS
ACCELERATED APPROVAL OF PROPOSED RULE CHANGES
The Commission granted accelerated approval to a proposed rule change
(SR-BSE-2007-25) filed by the Boston Stock Exchange, as modified by
Amendments No. 1, 2, and 3 thereto, relating to registration filing
requirements and reporting requirements. Publication is expected in
the Federal Register during the week of October 8. (Rel. 34-56594)
The Commission granted accelerated approval to a proposed rule change
(SR-NYSEArca-2007-79) filed by NYSEArca, as modified by Amendment No.
1 thereto, to trade shares of eight funds of ProShares Trust based on
international indexes pursuant to unlisted trading privileges.
Publication is expected in the Federal Register during the week of
October 8. (Rel. 34-56601)
The Commission granted accelerated approval to a proposed rule change
(SR-NYSEArca-2007-69) filed by NYSEArca, as modified by Amendment No.
1 thereto, relating to adoption of revised initial and continued
listing standards for the pilot program expiring on Nov. 30, 2007.
Publication is expected in the Federal Register during the week of
October 8. (Rel. 34-56606)
APPROVAL OF PROPOSED RULE CHANGES
A proposed rule change (SR-Amex-2007-90), as modified by Amendment
No. 1, filed by the American Stock Exchange to establish a fee on
a listed company that changes its corporate name or ticker symbol has
been approved pursuant to Section 19(b)(2) of the Securities
Exchange Act of 1934. Publication is expected in the Federal
Register during the week of October 8. (Rel. 34-56597)
The Commission approved a proposed rule change (SR-CBOE-2007-88)
pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
filed by the Chicago Board Options Exchange to amend the Hybrid
Opening System opening rotations rules. Publication is expected in the
Federal Register during the week of October 8. (Rel. 34-56600)
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A proposed rule change (SR-NYSE-2007-93) and Amendment No. 1 thereto
filed by the New York Stock Exchange relating to Rule 70 (Bids and
Offers) and Rule 104 (Dealings by Specialists) 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
October 8. (Rel. 34-56559)
A proposed rule change (SR-CBOE-2007-116) filed by the Chicago Board
Options Exchange relating to the Exchange's Hybrid Electronic Quoting
Fee has become effective pursuant to Section 19(b)(3)(A) of the
Securities Exchange Act of 1934. Publication is expected in the
Federal Register during the week of October 8. (Rel. 34-56602)
A proposed rule change (SR NYSE-2007 91) filed by the New York Stock
Exchange to waive the fee charged to member organizations for the
approval of pre-qualified substitutes has become immediately effective
under Section 19(b)(3)(A) of the Securities Exchange Act of 1934 and
Rule 19b-4(f)(2) thereunder. Publication is expected in the Federal
Register during the week of October 8. (Rel. 34-56607)
A proposed rule change (SR-CHX-2007-19) filed by the Chicago Stock
Exchange relating to a new Book Feed Product 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
October 8. (Rel. 34-56611)
PROPOSED RULE CHANGE
The Philadelphia Stock Exchange filed a proposed rule change (SR-Phlx-
2007-40), as modified by Amendment No. 3, under Rule 19b-4 of the
Exchange Act to revise the definition of "Complex Trade." Publication
is expected in the Federal Register during the week of October 8.
(Rel. 34-56608)
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.
SB-2 BERMAN CENTER, INC., 211 EAST ONTARIO, SUITE 800, CHICAGO, IL, 60611,
4043463100 - 17,284,810 ($69,139,240.00) Equity, (File 333-146500 -
Oct. 4) (BR. 01C)
S-8 CACI INTERNATIONAL INC /DE/, 1100 N GLEBE ST, ARLINGTON, VA, 22201,
7038417800 - 0 ($51,780,000.00) Equity, (File 333-146504 - Oct. 4)
(BR. 03A)
S-8 CACI INTERNATIONAL INC /DE/, 1100 N GLEBE ST, ARLINGTON, VA, 22201,
7038417800 - 0 ($12,945,000.00) Equity, (File 333-146505 - Oct. 4)
(BR. 03A)
SB-2 HARBORSIDE VENTURES, INC., 3675 EAST FIRST AVENUE, SUITE 201, BURNABY,
A1, V5C 3V8, (604) 299-7277 - 6,006,000 ($360,300.00) Equity,
(File 333-146509 - Oct. 4) (BR. 04)
S-3 MODTECH HOLDINGS INC, 2830 BARRETT AVE, PO BOX 1240, PERRIS, CA, 92571,
9099434014 - 2,698,178 ($4,640,866.10) Equity, (File 333-146510 -
Oct. 4) (BR. 06B)
S-8 MODTECH HOLDINGS INC, 2830 BARRETT AVE, PO BOX 1240, PERRIS, CA, 92571,
9099434014 - 1,000,000 ($1,720,000.00) Equity, (File 333-146511 -
Oct. 4) (BR. 06B)
S-8 NEW YORK COMMUNITY BANCORP INC, 615 MERRICK AVE, WESTBURY, NY, 11590,
7183596400 - 424,503 ($4,295,971.00) Equity, (File 333-146512 - Oct. 4)
(BR. 07B)
F-10 NORTH AMERICAN PALLADIUM LTD, NORTH AMERICAN PALLADIUM STD,
130 ADELAIDE STREET W SUITE 2116, TORONTO ONTARIO CANA, A6, M5H3P5,
4163602655 - 229,828 ($1,753,588.00) Equity, (File 333-146513 - Oct. 4)
(BR. 04B)
SB-2 VOICESERVE INC, CAVENDISH HOUSE, 369 BURNT OAK BROADWAY,
EDGWARE, MIDDLESEX, X0, HA8 5AW, 44 208 136 6000 -
3,979,600 ($3,979,600.00) Equity, (File 333-146514 - Oct. 4) (BR. 11B)
S-8 ev3 Inc., 9600 54TH AVENUE NORTH, SUITE 100, PLYMOUTH, MN, 55442-2111,
(763) 398-7000 - 0 ($154,898,409.04) Equity, (File 333-146515 - Oct. 4)
(BR. 10B)
S-8 MEDQUIST INC, FIVE GREENTREE CENTRE STE 311, STATE HIGHWAY 73 N,
MARLTON, NJ, 08053, 8568108000 - 150,000 ($1,767,000.00) Equity,
(File 333-146516 - Oct. 4) (BR. 03C)
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
---------------------------------------------------------------------------------------------------------
3COM CORP DE 8.01 10/04/07
ACCENTIA BIOPHARMACEUTICALS INC 8.01 09/28/07
ACCEPTANCE INSURANCE COMPANIES INC DE 8.01 10/02/07
ACG HOLDINGS INC DE 8.01 10/04/07
ACUITY BRANDS INC DE 5.02 09/28/07
ACUITY BRANDS INC DE 2.02,9.01 10/04/07
ADC TELECOMMUNICATIONS INC MN 8.01 10/02/07
ADC TELECOMMUNICATIONS INC MN 1.01,9.01 09/30/07
Aircastle LTD D0 1.01,8.01,9.01 10/03/07
AIRVANA INC DE 1.01 09/28/07
ALCOA INC PA 2.05,2.06,9.01 09/28/07
ALICO INC FL 5.03,8.01,9.01 08/16/07
ALLIED HEALTHCARE INTERNATIONAL INC NY 1.01,2.01,9.01 09/30/07
AMCOMP INC /FL DE 5.03,9.01 09/28/07
AMCON DISTRIBUTING CO DE 1.01,1.02,8.01,9.01 09/30/07
AMERICAN OIL & GAS INC NV 7.01,9.01 10/04/07
AMERICAN RIVER BANKSHARES CA 7.01,9.01 10/04/07
AMERICAN TECHNOLOGY CORP /DE/ DE 2.02,9.01 10/04/07
AMERICAN TONERSERV CORP. DE 1.01,3.02 09/30/07
ANALYTICAL SURVEYS INC CO 1.01 09/30/07
AON CORP DE 8.01,9.01 10/04/07
APPLIED DIGITAL SOLUTIONS INC MO 1.01,2.05,3.02,9.01 09/28/07
AQUA SOCIETY, INC. NV 5.02,9.01 09/30/07
ARENA PHARMACEUTICALS INC DE 5.03,8.01,9.01 10/01/07
ARGON ST, Inc. DE 5.02 10/01/07
ARVINMERITOR INC IN 1.01,2.02,9.01 10/02/07
ASPEN TECHNOLOGY INC /DE/ DE 3.01,9.01 10/01/07
AUTOMATIC DATA PROCESSING INC DE 8.01,9.01 06/30/07
AUTOMATIC DATA PROCESSING INC DE 5.05,9.01 10/04/07
Banc of America Funding 2007-7 Trust DE 6.02 10/01/07
Banc of America Funding 2007-8 Trust DE 6.02 10/01/07
BANKRATE INC FL 5.03,9.01 10/03/07
BAUSCH & LOMB INC NY 8.01,9.01 10/04/07
Bayview Financial Mortgage Pass-Throu DE 8.01,9.01 10/01/07
Beacon Federal Bancorp, Inc. MD 1.01,9.01 10/01/07
BEIJING MED PHARM CORP 1.01,9.01 09/28/07
BEMIS CO INC MO 2.02,9.01 10/03/07
BENCHMARK ELECTRONICS INC TX 2.02,9.01 10/04/07
BIG CAT ENERGY CORP 3.02,5.02 09/30/07
BIOANALYTICAL SYSTEMS INC IN 5.02,8.01,9.01 09/28/07
Biodel Inc 1.01,9.01 10/01/07
BIOJECT MEDICAL TECHNOLOGIES INC OR 3.02,5.02 10/01/07
BLUE NILE INC DE 5.02 10/01/07
BLUEGREEN CORP MA 2.03 10/04/07
Bois d Arc Energy, Inc. NV 8.01,9.01 10/04/07
BOMBAY CO INC DE 1.01,9.01 09/28/07
BORDERS GROUP INC MI 5.03,9.01 10/04/07
BPO Management Services DE 1.01,9.01 09/28/07
BROADCAST INTERNATIONAL INC UT 3.02 09/28/07
BUCKEYE PARTNERS L P DE 5.02,9.01 09/30/07
BUCKEYE VENTURES, INC. MI 2.03,9.01 09/27/07
BUSINESS OBJECTS S.A. 5.03,9.01 09/28/07
C-BASS Mortgage Loan Asset Backed Cer 8.01 10/01/07
CACI INTERNATIONAL INC /DE/ DE 5.02 10/04/07
Calamos Asset Management, Inc. /DE/ 7.01 10/04/07
CALGON CARBON CORPORATION DE 5.02 10/02/07
CAMBREX CORP DE 8.01 09/28/07
CAMDEN NATIONAL CORP ME 5.02 10/01/07
Capital One Auto Receivables LLC DE 8.01,9.01 10/04/07
CAREY W P & CO LLC DE 1.01 09/30/07
CD 2007-CD4 Commercial Mortgage Trust DE 8.01 10/01/07
Celanese CORP DE 2.02,7.01,9.01 10/04/07
CENTENNIAL COMMUNICATIONS CORP /DE DE 2.02,9.01 10/04/07
CHANNELL COMMERCIAL CORP DE 1.01,9.01 09/28/07
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 10/04/07
China Direct, Inc DE 1.01,2.03,7.01,9.01 10/02/07
CHINA SHEN ZHOU MINING & RESOURCES, I NV 2.01,9.01 09/28/07
CHS INC MN 1.01,8.01,9.01 10/01/07
Citigroup Commercial Mortgage Trust 2 DE 8.01 10/01/07
Citigroup Mortgage Loan Trust 2007-AM 6.02 05/16/07
CITIZENS COMMUNICATIONS CO DE 8.01,9.01 10/04/07
CLEVELAND CLIFFS INC OH 5.02 09/11/07
COHERENT INC DE 3.01,9.01 10/01/07
COLDWATER CREEK INC DE 5.02,9.01 10/02/07
COLUMBIA BANCORP \OR\ OR 5.02,9.01 10/03/07
COMBINATORX, INC DE 1.01,2.03 10/04/07
COMMONCACHE INC FL 1.01,2.01,3.02,4.02,5.01,5.02, 09/28/07
5.03,5.05,9.01
Comverge, Inc. DE 1.01,2.01,2.03,3.02,8.01,9.01 09/29/07
CONCUR TECHNOLOGIES INC WA 2.01,2.03,9.01 10/01/07
CONSECO INC DE 7.01,9.01 10/04/07
CONSOLIDATED CAPITAL INSTITUTIONAL PR CA 1.01,2.03,9.01 09/28/07
CONSOLIDATED CAPITAL INSTITUTIONAL PR CA 1.01,2.03,9.01 09/28/07
CONSOLIDATED CAPITAL INSTITUTIONAL PR CA 1.01,2.03,9.01 09/28/07
CONSOLIDATED RESOURCES HEALTH CARE FU GA 1.01,9.01 10/03/07
CONSTELLATION BRANDS, INC. DE 2.02,7.01,9.01 10/04/07
CONSTELLATION BRANDS, INC. DE 5.02,7.01,9.01 10/02/07
CONTINENTAL RESOURCES INC OK 7.01,9.01 10/04/07
COPART INC CA 8.01,9.01 10/03/07
CORNING INC /NY NY 5.03,9.01 10/03/07
CORPORATE PROPERTY ASSOCIATES 14 INC MD 1.01 09/30/07
CORPORATE PROPERTY ASSOCIATES 15 INC MD 1.01 09/30/07
CORPORATE PROPERTY ASSOCIATES 16 GLOB MD 1.01 09/30/07
COST U LESS INC WA 2.02,9.01 10/04/07
CPG INTERNATIONAL INC. DE 5.02,8.01,9.01 10/03/07
Crusade Global Trust No. 2 of 2006 6.03,8.01,9.01 09/28/07
CSAB Mortgage-Backed Trust 2007-1 8.01 10/01/07
CSMC Mortgage Backed Trust Series 200 DE 8.01 10/01/07
CSMC Mortgage-Backed Trust 2007-2 DE 8.01 10/01/07
CSMC Mortgage-Backed Trust 2007-3 DE 8.01 10/01/07
CSMC Mortgage-Backed Trust 2007-5 DE 8.01 10/01/07
CSMC Mortgage-Backed Trust 2007-6 DE 8.01 10/01/07
CSMC Trust 2007-4 DE 8.01 10/01/07
CYBER DIGITAL INC NY 1.01 10/01/07
DA-LITE SCREEN CO INC IN 3.02 08/17/07
DATAJUNGLE SOFTWARE INC NV 1.01,2.03,3.02,9.01 09/28/07
DATASCOPE CORP DE 8.01,9.01 10/01/07
DAYTON POWER & LIGHT CO OH 7.01,9.01 10/02/07
DemandTec, Inc. DE 2.02,9.01 10/04/07
DIOMED HOLDINGS INC NV 7.01,9.01 10/03/07
Disaboom, Inc. CO 1.01,5.02 09/28/07
Discover Card Execution Note Trust DE 1.01,9.01 10/01/07
DISCOVERY LABORATORIES INC /DE/ DE 8.01,9.01 10/01/07
DOLLAR TREE STORES INC VA 7.01,9.01 10/04/07
DPL INC OH 7.01,9.01 10/02/07
Dresser-Rand Group Inc. DE 2.02,9.01 10/03/07
DRI CORP NC 7.01,9.01 10/04/07
DST SYSTEMS INC DE 5.02 09/30/07
DUKE REALTY CORP IN 5.03 10/04/07
DUKE REALTY CORP IN 8.01,9.01 10/03/07
DUKE REALTY LIMITED PARTNERSHIP/ IN 5.03 10/04/07
DUKE REALTY LIMITED PARTNERSHIP/ IN 3.02,8.01 10/03/07
DYNAMIC HEALTH PRODUCTS INC FL 1.01,2.03,9.01 10/01/07
EAST KANSAS AGRI ENERGY LLC KS 1.02 09/28/07
Elite Artz, Inc NV 1.01,2.01,9.01 10/01/07
Emergent BioSolutions Inc. DE 2.02,9.01 10/02/07
ENCYSIVE PHARMACEUTICALS INC DE 8.01 10/03/07
ENER1 INC FL 7.01,9.01 10/03/07
Enterprise Informatics Inc CA 5.01 10/04/07
ENVIROKARE TECH INC NV 7.01,9.01 10/04/07
ENVIRONMENTAL POWER CORP DE 1.01 09/28/07
EPLUS INC DE 1.01,9.01 10/01/07
ETHAN ALLEN INTERIORS INC DE 5.02 10/01/07
EV Energy Partners, LP DE 1.01,2.01,2.03,7.01,9.01 10/01/07
ev3 Inc. DE 2.01,2.05,5.02,5.03,9.01 10/03/07
EXELIXIS INC DE 5.03,9.01 10/03/07
EXTERRAN HOLDINGS INC. DE 5.02,9.01 10/03/07
FAMILY DOLLAR STORES INC DE 2.02,9.01 10/04/07
FAR EAST ENERGY CORP 1.01,5.02 09/28/07
Federal Home Loan Bank of Atlanta X1 5.02,9.01 09/28/07
Federal Home Loan Bank of Atlanta X1 2.03 10/01/07
Federal Home Loan Bank of Boston X1 2.03 10/01/07
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 10/01/07
Federal Home Loan Bank of Des Moines X1 2.03,9.01 10/02/07
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 10/01/07
Federal Home Loan Bank of New York X1 2.03,9.01 10/01/07
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 10/01/07
Federal Home Loan Bank of Seattle 5.02,7.01,9.01 10/03/07
FEDERAL SIGNAL CORP /DE/ DE 1.01 10/03/07
FIDELITY D & D BANCORP INC PA 5.02,9.01 10/02/07
FIRST CHESTER COUNTY CORP PA 1.01 09/30/07
FIRST DEFIANCE FINANCIAL CORP OH 1.01,7.01,9.01 10/02/07
First Franklin Mortgage Loan Trust, S DE 8.01 10/01/07
First Franklin Mortgage Loan Trust, S DE 8.01 10/01/07
First Franklin Mortgage Loan Trust, S DE 8.01 10/01/07
First Horizon Asset Sec Mort Pass Thr DE 8.01,9.01 09/27/07
First Horizon Asset Sec Mort Pass Thr DE 8.01,9.01 09/27/07
First Horizon Asset Sec Mort Pass Thr DE 8.01,9.01 09/27/07
First Horizon Asset Sec Mort Pass Thr DE 8.01,9.01 09/27/07
Fleurs De Vie, Inc. NV 1.01 09/30/07
FMC CORP DE 5.02 08/17/07 AMEND
FOLDERA, INC 7.01 10/04/07
FORTUNE BRANDS INC DE 1.01,1.02,2.03,9.01 10/04/07
Foundation Coal Holdings, Inc. DE 2.02,9.01 10/03/07
FOUR OAKS FINCORP INC NC 8.01,9.01 10/04/07
FOXHOLLOW TECHNOLOGIES, INC. DE 2.01,3.01,3.03,5.01,5.02,5.03, 10/04/07
9.01
FRONTIER OIL CORP /NEW/ WY 1.01,2.03,9.01 10/01/07
FURNITURE BRANDS INTERNATIONAL INC DE 7.01,9.01 10/04/07
GAMETECH INTERNATIONAL INC DE 2.03,8.01,9.01 10/03/07
GATEWAY INC DE 1.02 09/28/07
GENAERA CORP DE 1.01,8.01,9.01 10/02/07
GENESCO INC TN 8.01,9.01 10/04/07
GeoPharma, Inc. FL 1.01,2.03,9.01 10/01/07
GEVITY HR INC FL 5.02,9.01 10/04/07
GIGABEAM CORP DE 3.02 09/28/07
GLADSTONE CAPITAL CORP MD 1.01,9.01 10/01/07
GLOBALNET CORP NV 1.01,2.03,3.02,9.01 09/14/07
GLOBALPAYNET HOLDINGS, INC. 3.02,3.03,5.03,9.01 09/28/07
Goldtown Investments Corp. NV 8.01 10/02/07
GP STRATEGIES CORP DE 5.02,9.01 09/28/07
GRACO INC MN 5.02 09/28/01
GROUP 1 AUTOMOTIVE INC DE 7.01,9.01 10/03/07
GRUBB & ELLIS CO DE 1.01,9.01 09/28/07
Grubb & Ellis Realty Advisors, Inc. DE 1.01,9.01 09/28/07
GSAMP Trust 2007-H1 DE 8.01 10/01/07
GSAMP Trust 2007-HE1 DE 8.01 10/01/07
GSAMP Trust 2007-HE2 DE 8.01 10/01/07
GSAMP Trust 2007-NC1 DE 8.01 10/01/07
GSC Acquisition Co DE 1.02,5.02 10/03/07
HAIN CELESTIAL GROUP INC DE 1.01 09/27/07
HarborView 2007-6 DE 8.01,9.01 07/31/07 AMEND
HARMONIC INC DE 5.02,5.03,9.01 09/28/07
HARTMARX CORP/DE DE 2.02,9.01 09/28/07
HEALTH BENEFITS DIRECT CORP DE 1.01,2.01,3.02,9.01 10/01/07
HEALTH SYSTEMS SOLUTIONS INC NV 1.01,9.01 10/01/07
HealthSpring, Inc. DE 1.01,1.02,2.01,2.03,5.02,9.01 10/01/07
HEARUSA INC DE 1.01,9.01 09/28/07
HEAT 2007-3 DE 8.01 09/25/07
HERSHEY CO DE 5.02,9.01 10/01/07
HOLLYWOOD MEDIA CORP FL 5.02,8.01,9.01 09/29/07
Home Equity Asset Trust 2007-2 DE 8.01 10/01/07
Home Equity Loan Trust 2007-HSA1 8.01 10/04/07
Home Equity Loan Trust 2007-HSA2 DE 8.01 10/04/07
Home Equity Loan Trust 2007-HSA3 DE 8.01 10/04/07
Home Equity Mortgage Trust 2007-1 DE 8.01 10/01/07
Home Loan Trust 2007-HI1 DE 8.01 10/04/07
HORMEL FOODS CORP /DE/ DE 5.02,9.01 10/01/07
HSI Asset Loan Obligation Trust 2007- 6.02 09/24/07
HUDSON HIGHLAND GROUP INC DE 1.01,9.01 10/02/07
I2 TELECOM INTERNATIONAL INC WA 1.01,3.02,9.01 10/03/07
IA GLOBAL INC DE 5.02,9.01 09/05/07 AMEND
IEC ELECTRONICS CORP DE 8.01 10/04/07
Ignis Petroleum Group, Inc. 1.01,9.01 09/28/07
II-VI INC PA 8.01,9.01 10/02/07
IMCLONE SYSTEMS INC DE 8.01,9.01 10/02/07
IMMEDIATEK INC NV 8.01 10/01/07
IMPAX LABORATORIES INC DE 8.01,9.01 10/04/07
IMPERIALI INC FL 5.02 10/04/07
IMPLANT TECHNOLOGIES INC MN 5.03,9.01 09/19/07
InfoLogix Inc 1.01,2.01,2.03,3.02,9.01 09/30/07
INFOTECH USA INC DE 1.01,9.01 10/03/07
INNOTRAC CORP GA 1.01,2.03 09/28/07
INSIGHT HEALTH SERVICES HOLDINGS CORP 2.02,9.01 09/27/07
INSIGHTFUL CORP DE 1.01,9.01 10/01/07
INSULET CORP DE 1.01 10/04/07
INTEGRAL SYSTEMS INC /MD/ MD 1.01,2.03 09/28/07
Intellect Neurosciences, Inc. 2.04 09/30/07
INTERLINK ELECTRONICS INC DE 5.02,8.01,9.01 09/28/07
International Fight League, Inc. DE 5.02 09/30/07
International Gold Resources, Inc. 8.01 10/02/07
INTERNATIONAL MONETARY SYSTEMS LTD /W WI 1.01,2.01 10/03/07
INTERNATIONAL MONETARY SYSTEMS LTD /W WI 1.01,2.01 10/03/07
INTERNATIONAL SPEEDWAY CORP FL 2.02,7.01,8.01,9.01 10/04/07
Intrepid Global Imaging 3D, INC. DE 1.01 10/03/07
Iowa Renewable Energy, LLC IA 7.01,9.01 10/03/07
ISIS PHARMACEUTICALS INC DE 8.01,9.01 10/04/07
itLinkz Group, Inc. FL 1.01 09/27/07
ITRONICS INC TX 3.02 09/28/07
Ivivi Technologies, Inc. NJ 1.01,5.02,8.01,9.01 10/01/07
IXI Mobile, Inc. DE 1.01 10/02/07
J P MORGAN CHASE & CO DE 9.01 10/02/07
JO-ANN STORES INC OH 5.02 10/01/07
JONES FINANCIAL COMPANIES LP LLP MO 1.01,9.01 10/04/07
Kansas City Southern de Mexico, S.A. O5 5.02 09/28/07
KEMET CORP DE 2.01,9.01 08/16/07 AMEND
KNIGHT TRANSPORTATION INC AZ 5.02 10/03/07
KRISPY KREME DOUGHNUTS INC NC 5.02,8.01,9.01 10/03/07
LAS VEGAS GAMING INC NV 1.01,9.01 09/28/07
Lawson Software, Inc. MN 2.02,9.01 10/04/07
LB Commercial Mortgage Trust 2007-C3 8.01 10/01/07
LB-UBS Commercial Mortgage Trust 2007 8.01 10/01/07
LB-UBS Commercial Mortgage Trust 2007 8.01 10/01/07
LB-UBS Commercial Mortgage Trust 2007 8.01 10/01/07
LEGACY RESERVES L P 2.01,9.01 10/04/07
LEGACY RESERVES L P 2.01,9.01 10/04/07
LEVI STRAUSS & CO DE 8.01,9.01 10/03/07
LIBERATOR MEDICAL HOLDINGS, INC. NV 4.01,9.01 08/20/07 AMEND
LINCOLN BANCORP /IN/ IN 5.02,8.01,9.01 10/01/07
LINCOLN ELECTRIC HOLDINGS INC OH 5.02 09/30/07
LOEWS CORP DE 7.01 10/04/07
LONGS DRUG STORES CORP MD 7.01,9.01 10/04/07
Macquarie Infrastructure CO LLC DE 3.02 10/01/07
MARKWEST ENERGY PARTNERS L P 1.01,9.01 09/28/07
MARRIOTT INTERNATIONAL INC /MD/ DE 2.02,9.01 10/04/07
MATRIX SERVICE CO DE 2.02,9.01 10/04/07
MAXIM INTEGRATED PRODUCTS INC DE 5.02,9.01 09/28/07
MCKESSON CORP DE 7.01,9.01 10/04/07
MedAire, Inc. NV 8.01,9.01 10/04/07
MEDICAL DISCOVERIES INC UT 1.01,9.01 09/30/07
MEDIFAST INC DE 7.01,9.01 10/04/07
MERRILL LYNCH & CO INC DE 8.01,9.01 10/04/07
Merrill Lynch First Franklin Mortgage DE 8.01 10/01/07
Merrill Lynch First Franklin Mortgage DE 8.01 10/01/07
Merrill Lynch First Franklin Mortgage DE 8.01 10/01/07
Merrill Lynch First Franklin Mortgage DE 8.01 10/01/07
Merrill Lynch First Franklin Mortgage DE 8.01 10/01/07
Merrill Lynch Mortgage Investors Trus DE 8.01 10/01/07
Merrill Lynch Mortgage Investors Trus DE 8.01 10/01/07
Merrill Lynch Mortgage Investors Trus DE 8.01 10/04/07
Merrill Lynch Mortgage Investors Trus DE 8.01 10/01/07
Merrill Lynch Mortgage Trust 2007-C1 DE 8.01 10/01/07
MFA MORTGAGE INVESTMENTS MD 1.01,9.01 10/02/07
MILLENNIUM CELL INC DE 1.01,5.02,9.01 09/20/07
MIVA, INC. DE 2.02,7.01,9.01 10/01/07
ML-CFC Commercial Mortgage Trust 2007 DE 8.01 10/01/07
ML-CFC Commercial Mortgage Trust 2007 DE 8.01 10/01/07
ML-CFC Commercial Mortgage Trust 2007 DE 8.01 10/01/07
ML-CFC Commercial Mortgage Trust 2007 DE 8.01 10/01/07
MOHEGAN TRIBAL GAMING AUTHORITY 2.02,9.01 10/04/07
MONRO MUFFLER BRAKE INC NY 1.01,9.01 10/01/07
MONTANA ACQUISITION CORP DE 4.01,9.01 04/08/05 AMEND
MOODYS CORP /DE/ DE 1.01,2.03,8.01,9.01 09/28/07
Morgan Stanley ABS Capital I Inc. Tru DE 8.01 10/04/07
Morgan Stanley ABS Capital I Inc. Tru DE 8.01 10/04/07
Morgan Stanley Capital I Trust 2007-H DE 8.01 10/01/07
Morgan Stanley Capital I Trust 2007-H DE 8.01 10/01/07
Morgan Stanley Capital I Trust 2007-I DE 8.01 10/01/07
Morgan Stanley Capital I Trust 2007-T DE 8.01 10/01/07
Morgan Stanley Capital I Trust 2007-T DE 8.01 10/01/07
Morgan Stanley Mortgage Loan Trust 20 DE 8.01 10/01/07
Morgan Stanley Mortgage Loan Trust 20 8.01 10/01/07
Morgan Stanley Mortgage Loan Trust 20 DE 8.01 10/01/07
Morgan Stanley Mortgage Loan Trust 20 DE 8.01 10/01/07
Morgan Stanley Mortgage Loan Trust 20 DE 8.01 10/01/07
Morgan Stanley Mortgage Loan Trust 20 DE 8.01 10/01/07
Morgan Stanley Mortgage Loan Trust 20 DE 8.01 10/01/07
Morgan Stanley Mortgage Loan Trust 20 DE 8.01 10/01/07
Morgan Stanley Mortgage Loan Trust 20 DE 8.01 10/01/07
Morgan Stanley Mortgage Loan Trust 20 DE 8.01 10/01/07
Morgan Stanley Mortgage Loan Trust 20 DE 8.01 10/01/07
MOSAIC CO 1.01 09/28/07
MOTOROLA INC DE 5.02,9.01 10/02/07
MS Structured SATURNS Series 2006-1 DE 8.01 10/01/07
MS Structured SATURNS Series 2006-2 DE 8.01 10/01/07
MS Structured SATURNS Series 2007-1 DE 8.01 10/01/07
MS STRUCTURED TILES SERIES 2006-1 DE 8.01 10/01/07
MxEnergy Holdings Inc 7.01,8.01,9.01 10/04/07
MxEnergy Holdings Inc 9.01 10/04/07 AMEND
Nascent Wine Company, Inc. 2.01,9.01 05/11/07 AMEND
NASDAQ STOCK MARKET INC DE 1.01 09/28/07
NASTECH PHARMACEUTICAL CO INC DE 5.02,9.01 10/04/07
NATHANIEL ENERGY CORP NV 1.01,2.03 10/04/07
NATIONAL TAX CREDIT INVESTORS II CA 8.01 09/25/07
NATIONAL TAX CREDIT INVESTORS II CA 1.01,2.03,9.01 09/28/07
NBOG BANCORPORATION INC GA 5.03,7.01,9.01 10/01/07 AMEND
NCR CORP MD 1.01,2.01,5.02,8.01,9.01 09/30/07
NEAH POWER SYSTEMS, INC. NV 7.01,9.01 10/04/07
Neuro-Hitech, Inc. DE 8.01 10/04/07
NEW YORK MORTGAGE TRUST INC MD 5.03,8.01,9.01 09/28/07
NNN Healthcare/Office REIT, Inc. MD 1.01,2.01,2.03,7.01,9.01 09/28/07
NOBLE INTERNATIONAL, LTD. DE 1.01,9.01 09/28/07
NOVA BIOSOURCE FUELS, INC. NV 1.01,2.01,2.03,3.03,9.01 09/28/07
NU SKIN ENTERPRISES INC DE 1.01,2.03 09/28/07
Nuance Communications, Inc. DE 2.01,3.02,9.01 09/28/07
NUCRYST Pharmaceuticals Corp. A0 1.01,9.01 09/30/07
NUTRACEA CA 1.01,9.01 09/28/07
NUTRI SYSTEM INC /DE/ DE 1.01,2.02,2.03,5.03,8.01,9.01 10/03/07
NxStage Medical, Inc. DE 1.01,2.01,3.02,9.01 10/01/07
OCTILLION CORP 5.02 10/01/07
ONSCREEN TECHNOLOGIES INC CO 5.02 10/04/07
ONYX PHARMACEUTICALS INC DE 5.02 10/01/07
OPTICAL COMMUNICATION PRODUCTS INC DE 5.02,9.01 09/29/07
OSI PHARMACEUTICALS INC DE 8.01,9.01 09/06/07
OVERSEAS SHIPHOLDING GROUP INC DE 8.01,9.01 10/03/07
P F CHANGS CHINA BISTRO INC 2.02,9.01 10/03/07
PACER INTERNATIONAL INC TN 1.01 10/04/07
PAINCARE HOLDINGS INC CT 1.01,7.01,8.01,9.01 10/01/07
Panglobal Brands Inc. DE 4.02 10/03/07
PAVILION BANCORP INC 1.01,9.01 10/02/07
PENINSULA GAMING CORP. DE 1.01 09/28/07
PENSKE AUTOMOTIVE GROUP, INC. DE 1.01,9.01 10/04/07
PEOPLES FINANCIAL CORP /MS/ MS 5.02,9.01 10/04/07
PEOPLES LIBERATION INC DE 1.01,3.02 09/28/07
PeopleSupport, Inc. DE 5.02 10/01/07
PERFORMANCE HEALTH TECHNOLOGIES INC 3.02,9.01 08/15/07
Pharmasset Inc 1.01,2.03,3.02,9.01 09/30/07
Phoenix India Acquisition Corp. 8.01,9.01 10/04/07
PHOTOMEDEX INC DE 8.01,9.01 10/04/07
PLANETOUT INC DE 3.03,5.02,5.03,9.01 09/28/07
PLY GEM HOLDINGS INC DE 7.01,9.01 10/02/07
Porter Bancorp, Inc. KY 8.01,9.01 10/01/07
PPG INDUSTRIES INC PA 1.01,1.02,9.01 10/04/07
PPL CORP PA 8.01,9.01 10/04/07
PRECISION OPTICS CORPORATION INC MA 2.02,9.01 10/01/07
PRO DEX INC CO 1.01 09/30/07
PRO PHARMACEUTICALS INC NV 5.02,9.01 09/28/07
PROGRESSIVE GAMING INTERNATIONAL CORP NV 1.01,2.01,9.01 09/28/07
PROTECTIVE LIFE INSURANCE CO TN 9.01 09/28/07
PRUDENTIAL FINANCIAL INC NJ 8.01,9.01 10/04/07
PSI CORP NV 8.01 10/03/07
QUEPASA CORP NV 5.02 10/04/07
QUEST RESOURCE CORP NV 7.01 10/04/07
RAAC Series 2007 SP2 Trust DE 8.01 10/04/07
RAAC Series 2007-SP1 Trust DE 8.01 10/04/07
Radiate Research, Inc. A6 8.01 08/01/07
RAINMAKER SYSTEMS INC CA 9.01 07/19/07 AMEND
RAMP Series 2007-RS1 Trust DE 8.01 10/04/07
RAMP Series 2007-RS2 Trust DE 8.01 10/04/07
RAMP Series 2007-RZ1 Trust DE 8.01 10/04/07
RASC Series 2007-KS4 Trust DE 8.01 10/04/07
READING INTERNATIONAL INC NV 5.02 10/01/07
RED CARPET ENTERTAINMENT INC NV 5.02 10/02/07
Red Pearl Acquisition Corp 1.01,9.01 09/28/07
RELIANCE STEEL & ALUMINUM CO CA 8.01,9.01 10/01/07
ReoStar Energy CORP 1.01,5.02,9.01 09/28/07
Republic Property Trust MD 3.01,3.03,5.01,5.02,8.01,9.01 10/04/07
RESOURCING SOLUTIONS GROUP INC NV 5.02 10/01/07
RESPIRONICS INC DE 2.01 10/02/07
RETAIL VENTURES INC OH 1.01,9.01 10/03/07
Rosetta Resources Inc. DE 7.01,9.01 10/03/07
RURAL CELLULAR CORP MN 8.01,9.01 10/04/07
RURAL/METRO CORP /DE/ DE 3.01,9.01 10/01/07
RUSH ENTERPRISES INC \TX\ TX 1.01,9.01 10/03/07
SABA SOFTWARE INC DE 2.02,9.01 10/04/07
SABINE ROYALTY TRUST TX 2.02,9.01 10/03/07
SANTANDER BANCORP 5.02 09/28/07
SEALY CORP DE 2.02,9.01 10/04/07
SEANERGY MARITIME CORP. 1.01,8.01,9.01 09/24/07
SED INTERNATIONAL HOLDINGS INC DE 5.03,9.01 10/03/07
Seneca Gaming Corp XX 8.01,9.01 10/03/07
SENSE HOLDINGS INC FL 7.01,9.01 10/02/07
SERACARE LIFE SCIENCES INC 1.01,9.01 10/01/07
SILVERLEAF RESORTS INC 1.01,2.03,7.01,9.01 09/28/07
Sinoenergy CORP NV 1.01,5.03,9.01 09/01/07 AMEND
SKINS INC. NV 5.02,9.01 09/28/07
SKY PETROLEUM, INC. NV 7.01,9.01 10/04/07
SMART Modular Technologies (WWH), Inc 5.02 10/02/07
Smart SMS Corp FL 5.02 10/04/07
SOLERA HOLDINGS, INC DE 7.01,9.01 10/03/07
SOLITARIO RESOURCES CORP CO 1.01,9.01 09/30/07
SOLUTIA INC DE 8.01,9.01 10/03/07
SOLUTIA INC DE 8.01,9.01 10/03/07 AMEND
SONOCO PRODUCTS CO SC 5.02 10/03/07
SONUS PHARMACEUTICALS INC DE 1.02 10/03/07
SourceForge, Inc DE 5.02,9.01 10/01/07
SOUTHWEST AIRLINES CO TX 1.01,2.03,9.01 10/03/07
SPACEHAB INC \WA\ WA 5.02 09/28/07
SPARTAN MOTORS INC MI 7.01 10/04/07
SPRINT NEXTEL CORP KS 8.01,9.01 10/04/07
STEEL DYNAMICS INC IN 7.01,9.01 10/04/07
STEEL DYNAMICS INC IN 8.01,9.01 10/04/07
STELLAR PHARMACEUTICALS INC 8.01,9.01 10/04/07
STERLING BANCSHARES INC TX 5.02 09/28/07
STREAMLINE HEALTH SOLUTIONS INC. DE 1.02,5.02,7.01,9.01 09/28/07
Structured Asset Mortgage Investments DE 9.01 09/18/07
STRUCTURED PROD CORP TIERS CORP BND-B DE 8.01,9.01 10/01/07
STRUCTURED PRODUCTS CORP CASTSM STEP DE 8.01,9.01 10/01/07
STRUCTURED PRODUCTS CORP TIERS R INFL DE 8.01,9.01 10/01/07
Summer Infant, Inc. DE 2.03,9.01 10/01/07
SUNPOWER CORP CA 1.01 10/01/07
SUPPORTSOFT INC DE 2.02,9.01 10/04/07
SYCAMORE NETWORKS INC DE 5.02 10/03/07
SYMYX TECHNOLOGIES INC DE 1.01,2.01,2.05,8.01,9.01 09/28/07
Synova Healthcare Group Inc 5.02 09/28/07
SYNTAX-BRILLIAN CORP DE 1.01,5.02,5.03,9.01 09/30/07
Synthenol Inc FL 2.03 10/03/07
TASKER PRODUCTS CORP DE 2.03,3.02 09/28/07
TECHNEST HOLDINGS INC NV 5.03,9.01 09/28/07
TECHNOCONCEPTS, INC. CO 5.02,9.01 09/29/07
TECO ENERGY INC FL 8.01,9.01 10/04/07
Teleconnect Inc. OK 4.01,9.01 09/24/07 AMEND
THAXTON GROUP INC SC 8.01,9.01 09/26/07
Thornburg Mortgage Securities Trust 2 DE 6.02 10/01/07
TIDELANDS OIL & GAS CORP/WA NV 1.01,2.01,9.01 09/28/07
TIDEWATER INC DE 2.02,9.01 10/04/07
TIME WARNER TELECOM INC DE 5.02 09/28/07
TITAN PHARMACEUTICALS INC DE 3.02 10/01/07
Tix CORP DE 8.01,9.01 10/04/07
TORBAY HOLDINGS INC DE 1.01,3.03,9.01 09/28/07
TOUSA INC DE 7.01,9.01 10/03/07
TOWN SPORTS INTERNATIONAL HOLDINGS IN DE 5.02,9.01 10/04/07
TRANS ENERGY INC NV 4.01,9.01 10/01/07
TREATY OAK BANCORP INC TX 5.02 09/29/07
TRIMERIS INC DE 8.01,9.01 10/03/07
TVIA INC DE 5.02,9.01 09/12/07 AMEND
TXU CORP /TX/ TX 5.02 10/04/07
TYSON FOODS INC DE 5.02,9.01 10/04/07
UAP HOLDING CORP DE 2.02,7.01,8.01,9.01 10/04/07
UFood Restaurant Group, Inc. NV 1.01,2.03 10/04/07
uKARMA CORP NV 1.01,9.01 09/28/07
ULTRALIFE BATTERIES INC DE 2.01,9.01 09/28/07
UNIFIED WESTERN GROCERS INC CA 1.01,7.01,9.01 09/30/07
UTIX GROUP INC DE 1.01,3.02,3.03 09/24/07
VARSITY GROUP INC 3.01,9.01 10/04/07
VIKING SYSTEMS INC DE 3.03,8.01 10/04/07
VINEYARD NATIONAL BANCORP CA 5.02,9.01 10/04/07
VIRGINIA ELECTRIC & POWER CO VA 5.02 10/01/07
Visa Inc. DE 1.01,2.01,5.02,5.03,9.01 10/01/07
Visiphor CORP A1 1.01,2.03,7.01,9.01 09/28/07
VITAL LIVING INC AZ 1.01,9.01 09/28/07
VNUS MEDICAL TECHNOLOGIES INC 1.01,5.02 10/01/07
VORNADO REALTY LP DE 1.01,9.01 10/04/07
VORNADO REALTY TRUST MD 1.01,9.01 10/04/07
VUBOTICS INC NV 1.01,2.03,3.02 10/04/07
WEBSENSE INC DE 2.01,9.01 10/03/07
WELLCARE HEALTH PLANS, INC. DE 1.01,9.01 09/28/07
WENDYS INTERNATIONAL INC OH 7.01,9.01 10/04/07
WEST PHARMACEUTICAL SERVICES INC PA 7.01,9.01 10/04/07
WESTMORELAND COAL CO DE 1.01,1.02,5.02,8.01,9.01 09/28/07
WESTWOOD ONE INC /DE/ DE 1.01,8.01,9.01 10/02/07
WET SEAL INC DE 8.01,9.01 10/03/07
WET SEAL INC DE 5.02,9.01 10/02/07
WHITE MOUNTAIN TITANIUM CORP NV 3.02 09/27/07
WINNEBAGO INDUSTRIES INC IA 7.01,9.01 10/04/07
Wise Metals Group LLC DE 1.01,9.01 10/04/07
WNC Housing Tax Credit Fund VI, L.P., CA 8.01,9.01 08/30/07
WORLD WRESTLING ENTERTAINMENTINC DE 5.02,9.01 09/28/07
WORLDGATE COMMUNICATIONS INC DE 3.01,9.01 10/02/07
XETA TECHNOLOGIES INC OK 8.01,9.01 10/01/07
YARDVILLE NATIONAL BANCORP NJ 8.01,9.01 10/04/07
http://www.sec.gov/news/digest/2007/dig100507.htm
|
