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SEC NEWS DIGEST
Issue 2007-194 October 9, 2007
COMMISSION ANNOUNCEMENTS
SEC ANNOUNCES NEW UNIT TO LEAD GLOBAL MOVE TO INTERACTIVE DATA
S&P Executive Tapped to Lead Agency's Office of Interactive Disclosure
Securities and Exchange Commission Chairman Christopher Cox today
announced the creation of a new office within the 74-year old agency
to lead the transformation to interactive financial reporting by
public companies, and tapped an 11-year veteran of McGraw-Hill, whose
career includes seven years with the firm's Standard & Poor's
division, as the agency's Director of Interactive Disclosure.
David Blaszkowsky, 45, of Boston, served S&P in New York, starting in
2001, as Director of Global Market Development for Institutional
Market Services, and as a Senior Director in Equity Research Services
led S&P's Corporate Markets and Investor Relations Services
businesses.
At the SEC, Blaszkowsky will coordinate the agency-wide disclosure
modernization program, and will work with investor groups, analysts,
journalists, and preparers of financial statements as well as other
key public and private sector stakeholders in the United States and
around the world to advance the use of interactive data in financial
reporting.
"David's combination of capital markets and technology development
experience will be a tremendous asset to the Commission as we
transform disclosure to make it easier for filers and more useful for
investors," said Chairman Cox. "Helping improve our capital markets
through lower-cost, faster, and more useful information is the heart
of this mission, and it's a mission he is uniquely qualified to lead."
Mr. Blaszkowsky said, "I'm honored to be selected to help improve
information for investors and look forward to working closely with my
new colleagues across the agency to accomplish this mission."
Mr. Blaszkowsky's career with S&P in New York began six years ago,
culminating in being chosen to lead S&P's Corporate Markets and
Investor Relations Services businesses. He first joined S&P's parent,
McGraw-Hill, as a member of its Construction Information Group in
1996. Until 1996 he was Manager of Finance and Planning for Fidelity
Investments. Previously, he was a Senior Business Analyst for McKinsey
& Company and subsequently assumed strategic marketing and finance
responsibilities for a software company. He also served as a senior
consultant and manager for the Price Waterhouse Strategic Consulting
Group and Gemini Consulting.
Mr. Blaszkowsky holds a B.A. in Economics from the University of
Chicago and an MBA from Northwestern's Kellogg School of Management.
He is a member of the National Investor Relations Institute and the
Canadian Investor Relations Institute, and has presented to
professional organizations and government regulators on many occasions
in the U.S. and overseas. (Press Rel. 2007-213)
COMMISSION STAFF PUBLISHES ITS OBSERVATIONS IN THE REVIEW OF
EXECUTIVE COMPENSATION DISCLOSURE
The Securities and Exchange Commission staff published a report
discussing the principal themes that emerged from its initial review
of the disclosure of 350 public companies for compliance with the
Commission's new and enhanced rules for executive compensation and
related disclosure. After completing the first stage of these reviews,
the staff sent individualized comments to the companies. Two principal
themes emerged from these reviews. First, companies should provide
more focused disclosure of how and why they made specific executive
compensation decisions. Second, the manner of presentation is
important, and companies can use it to provide more direct, specific,
clear and understandable executive compensation disclosure.
John White, Director of the Division of Corporation Finance, stated,
"Since the new principles-based rules became effective in late 2006,
public companies have provided their investors with the clearest and
most complete disclosure ever regarding how much they pay their
executives and directors. Our individualized comments and our
observations should help companies enhance their future executive
compensation disclosure and better explain their compensation policies
and decisions." Several members of the Commission's staff will provide
further context to the staff report in public appearances this week.
Chairman Cox will present the keynote address at the Center for Plain
Language's Symposium on Plain Language: Public Policy and Good
Business on Oct. 12, 2007. The staff's reviews of the 350 companies
are ongoing. Not less than 45 days after it completes each review, the
staff will post the correspondence containing the comments and company
responses to comments on the SEC's EDGAR system. The staff report is
available at:
http://www.sec.gov/divisions/corpfin/guidance/execcompdisclosure.htm.
(Press Rel. 2007-214)
ENFORCEMENT PROCEEDINGS
GARY M. KORNMAN SANCTIONED
Gary M. Kornman, of Dallas, Texas, has been barred from association
with a broker-dealer or investment adviser. The sanctions were based
on his felony conviction and were ordered in an administrative
proceeding before an administrative law judge.
Kornman was convicted of making a false statement to the Securities
and Exchange Commission in violation of 18 U.S.C. ยง 1001. He made the
false statement with the intention of misleading the Commission in its
investigation into his trading activity. At the time of his
misconduct, in 2003, he was associated with Heritage Securities
Corporation, a registered broker-dealer, and with Heritage Advisory
Group, LLC, an unregistered investment adviser to two hedge funds,
Heritage Capital Partners I, L.P., and Heritage Capital Opportunities
Fund I, L.P. (Initial Decision No. 335; File No. 3-12716)
IN THE MATTER OF BEARCAT, INC., ET AL.
On October 9, the Commission issued an Order Making Findings and
Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to
Sections 15(b), 19(h) and 21C of the Securities Exchange Act of 1934
(Exchange Act) as to Respondents Bearcat, Inc. (Bearcat), D&D
Securities, Inc. (D&D), Peter Fineberg (Fineberg), Seth Diamond
(Diamond), Nicholas DiCicco and Dominic DiCicco (collectively, the
DiCiccos). The Commission instituted its administrative proceedings
against those respondents and Salvatore DiAmbrosio (DiAmbrosio) on
December 5, 2000; however, between the summer of 2001 and the spring
of 2004, these proceedings were stayed first to permit the respondents
to defend a parallel disciplinary proceeding brought by the
Philadelphia Stock Exchange (PHLX), and later to await the
Commission's ruling on appeals of the PHLX decision filed by all of
the respondents other than DiAmbrosio.
The Order finds that from at least April 1999 to September 1999,
DiAmbrosio, a stock execution clerk who was associated with respondent
D&D, a member of the PHLX, and who also secretly worked as a trader
for another PHLX member, respondent Bearcat, conducted an unauthorized
trading scheme that resulted in approximately $2.2 million in losses
to Binary Traders, Inc. (Binary), another PHLX member company that was
one of D&D's principal customers. DiAmbrosio conducted his trading
scheme by executing unauthorized cross-trades between Binary's trading
accounts and either the error account at D&D or his trading account at
Bearcat. Those cross-trades resulted in losses to Binary, and
corresponding gains to either the Bearcat trading account or the D&D
error account. DiAmbrosio shared the profits in the D&D error account
with the DiCiccos, the principals of D&D, and the profits in the
Bearcat account with Diamond and Fineberg, the principals of Bearcat.
Previously, on February 15, 2006, Administrative Law Judge Robert G.
Mahony issued an order against DiAmbrosio that, among other things,
found that he willfully violated Section 17(a) of the Securities Act
of 1933 (Securities Act), Section 10(b) of the Exchange Act, and Rule
10b-5 thereunder, based on the conduct described above.
As a result, the Order finds that: (a) Bearcat willfully violated
Sections 15(b) and 17(a) of the Exchange Act and Rules 15b7-1, 17a-3,
and 17a-4 thereunder; (b) Fineberg and Diamond willfully aided and
abetted and caused Bearcat's violations of Sections 15(b) and 17(a) of
the Exchange Act and Rules 15b7-1, 17a-3, and 17a-4 thereunder; and
(c) Bearcat, Fineberg, Diamond, D&D, Nicholas DiCicco, and Dominic
DiCicco failed reasonably to supervise DiAmbrosio, within the meaning
of Section 15(b)(4)(E) of the Exchange Act, with a view to preventing
DiAmbrosio's violations of Section 17(a) of the Securities Act,
Section 10(b) of the Exchange Act and Rule 10b-5, thereunder.
Based on the above, the Order: (a) revoked Bearcat's broker-dealer
registration; (b) barred Fineberg and Diamond from association with
any broker or dealer; (c) ordered Fineberg and Diamond to cease and
desist from causing any violations and any future violations of
Sections 15(b) and 17(a) of the Exchange Act and Rules 15b7-1, 17a-3
and 17a-4 thereunder; (d) censured D&D, Nicholas DiCicco, and Dominic
DiCicco; and (e) ordered D&D, Nicholas DiCicco, and Dominic DiCicco to
comply with certain undertakings. Each of those respondents consented
to the issuance of the Order without admitting or denying any of the
findings included in it, except those relating to jurisdiction.
For further information, please see Exchange Act Release Number 43669
(Dec. 5, 2000). (Rel. 34-56630; File No. 3-10373)
COURT PERMANENTLY ENJOINS SMART ONLINE, INC. IN BROKER-BRIBERY SCHEME
On October 2, the U.S. District Court for the Southern District of New
York entered a consent judgment against defendant Smart Online, Inc.
(Smart Online) in an action filed last month by the Securities and
Exchange Commission. Without admitting or denying the allegations of
the Commission's complaint, Smart Online consented to the entry of a
judgment by the Honorable P. Kevin Castel permanently enjoining Smart
Online from further violations of the antifraud provisions of the
federal securities laws, specifically Section 10(b) of the Securities
Exchange Act of 1934 and Rule 10b-5 promulgated thereunder, and
Section 17(a) of the Securities Act of 1933.
The Commission's complaint alleged that between May 2005 and January
2006, Smart Online's CEO, Michael Nouri, paid over $170,000 to stock
brokers, including defendants Anthony Martin, James Doolan, Ruben
Serrano, and Alain Lustig, to solicit customers to purchase Smart
Online stock in order to qualify the company for listing on the NASDAQ
by increasing the number of shareholders and trading volume of Smart
Online stock. The complaint further alleged that Michael Nouri
concealed the bribes as "consulting fees" paid pursuant to sham
consulting agreements.
The litigation is continuing against the remaining defendants. For
further information, see Litigation Release No. 20276 (Sept. 12,
2007). [SEC v. Smart Online, Inc., et al., Civil Action No. 07-CV-
07960 (PKC) (S.D.N.Y.)] (LR-20325)
SELF-REGULATORY ORGANIZATIONS
PROPOSED RULE CHANGE
The NASDAQ Stock Market filed a proposed rule change (SR-NASDAQ-2007-
080) to adopt rules governing the establishment of NASDQ Options
Market LLC. Publication is expected in the Federal Register during the
week of October 8. (Rel. 34-56604)
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE
A proposed rule change (SR-CBOE-2007-14) filed by the Chicago Board
Options Exchange to modify the requirement that a hearing be held for
certain associated persons subject to a statutory disqualification 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. 34-56614)
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 Michael Lambert, Inc., 121 INTER PARK BLVD, #1204, SAN ANTONIO, TX,
78216, 210-490-8383 - 2,039,500 ($203,950.00) Equity,
(File 333-146517 - Oct. 5) (BR. 02)
SB-2 Theron Resource Group, 174 GULF ROAD, NUMBER 34, POINT ROBERTS, WA,
98281, 604-275-6519 - 145,000 ($145,000.00) Equity, (File 333-146518 -
Oct. 5) (BR. 04)
S-4 Kansas City Southern de Mexico, S.A. de C.V., MONTES URALES NO. 625,
COL. LOMAS DE CHAPULTEPEC, MEXICO CITY, O5, 11000, 011525591785836 -
0 ($165,000,000.00) Non-Convertible Debt, (File 333-146519 - Oct. 5)
(BR. 05B)
S-1 SOLUTIA INC, 575 MARYVILLE CENTRE DRIVE, P O BOX 66760, ST. LOUIS, MO,
63166-6760, 3146741000 - 28,906,562 ($424,938,722.00) Equity,
(File 333-146520 - Oct. 5) (BR. 06B)
S-1 VAXGEN INC, 349 OYSTER POINT BOULEVARD, SOUTH SAN FRANCISCO, CA, 94080,
6506241000 - 4,899,984 ($7,006,977.00) Equity, (File 333-146521 -
Oct. 5) (BR. 01C)
S-3 LODGENET ENTERTAINMENT CORP, 3900 W. INNOVATION STREET, SIOUX FALLS,
SD, 57107-7002, (605)-988-1000 - 0 ($26,420,000.00) Equity,
(File 333-146522 - Oct. 5) (BR. 11B)
S-8 MIDCAROLINA FINANCIAL CORP, 0 ($7,637,081.20) Equity,
(File 333-146523 - Oct. 5) (BR. 07A)
S-8 North Penn Bancorp Inc, 216 ADAMS AVENUE, SCRANTON, PA, 18503,
(570)344-6113 - 100,621 ($1,033,032.00) Equity, (File 333-146524 -
Oct. 5) (BR. 07)
SB-2 PROTON LABORATORIES INC, 1135 ATLANTIC AVE, SUITE 101, ALAMEDA, CA,
94501, 5108656412 - 7,750,000 ($542,500.00) Equity, (File 333-146525 -
Oct. 5) (BR. 02C)
S-3 INTERNATIONAL MONETARY SYSTEMS LTD /WI/, 16901 WEST GLENDALE DR,
NEW BERLIN, WI, 53151, 2627803640 - 8,833,333 ($5,564,999.79) Equity,
(File 333-146527 - Oct. 5) (BR. 08B)
S-1 Ever-Glory International Group, Inc., 100 N. BARRANCA AVE., #810,
WEST COVINA, CA, 91791, 626-839-9116 -
10,909,090 ($2,400,000.00) Equity, (File 333-146528 - Oct. 5) (BR. 06C)
N-2 Eaton Vance Credit Opportunities Fund, THE EATON VANCE BUILDING,
255 STATE STREET, BOSTON, MA, 02109, 617-482-8260 -
54,555 ($1,000,000.00) Equity, (File 333-146529 - Oct. 5) (BR. 16)
S-8 STEELCASE INC, 901 44TH ST, GRAND RAPIDS, MI, 49508, 6162472710 -
0 ($72,100,000.00) Equity, (File 333-146530 - Oct. 5) (BR. 06B)
S-8 RITE AID CORP, 30 HUNTER LANE, CAMP HILL OWN, PA, 17011, 7177612633 -
42,094,525 ($188,451,608.00) Equity, (File 333-146531 - Oct. 5)
(BR. 01B)
SB-2 HAGUE CORP., 1865 PORTAGE AVENUE, WINNIPEG, A2, R3J 0H2, 204.951.1544 -
24,600,000 ($2,460,000.00) Equity, (File 333-146533 - Oct. 5) (BR. 04)
S-8 Gentium S.p.A., (39) 031 385111 - 1,000,000 ($22,575,000.00) Equity,
(File 333-146534 - Oct. 5) (BR. 01A)
S-8 BIOSPECIFICS TECHNOLOGIES CORP, 35 WILBUR ST, LYNBROOK, NY, 11563,
5165937000 - 1,750,000 ($10,150,000.00) Equity, (File 333-146535 -
Oct. 5) (BR. 01A)
S-8 SIRVA INC, 700 OAKMONT LANE, WESTMONT, IL, 60559, 6304684743 -
0 ($4,958,000.00) Equity, (File 333-146536 - Oct. 5) (BR. 05C)
S-3 MEDIS TECHNOLOGIES LTD, 805 THIRD AVENUE, NEW YORK, NY, 10022,
2129358484 - 0 ($35,000,000.00) Unallocated (Universal) Shelf,
(File 333-146537 - Oct. 5) (BR. 10B)
SB-2 KMA GLOBAL SOLUTIONS INTERNATIONAL INC, 5570 A KENNEDY ROAD,
MISSISSAUGA, A6, L4Z2A9, 905 568 5220 - 0 ($7,970,898.00) Equity,
(File 333-146538 - Oct. 5) (BR. 08B)
S-8 ON THE GO HEALTHCARE INC, 85 CORSTATE AVENUE UNIT 1,
CONCORD ONT. CANADA, A6, L4K 4Y2, 905 669 7979 EXT 400 -
100,000,000 ($460,000.00) Equity, (File 333-146539 - Oct. 5) (BR. 03B)
F-3ASR DryShips Inc., 80 KIFISSIAS AVENUE, AMAROUSSION, J3, 15125,
011-30-210-809-0570 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-146540 - Oct. 5) (BR. 05B)
S-8 WACHOVIA CORP NEW, ONE WACHOVIA CTR, CHARLOTTE, NC, 28288-0013,
7043746565 - 0 ($1,500,000,000.00) Other, (File 333-146541 - Oct. 5)
(BR. 07A)
SB-2 Chay Enterprises, Inc., 5459 S. IRIS STREET, LITTLETON, CO, 80123,
303-932-9998 - 1,336,900 ($133,690.00) Equity, (File 333-146542 -
Oct. 5) (BR. 08)
SB-2 PROCERA NETWORKS INC, 100 COOPER COURT, LOS GATOS, CA, 95032,
408 354-7200 - 21,519,322 ($61,760,454.00) Equity, (File 333-146543 -
Oct. 5) (BR. 03C)
S-3 NOVA BIOSOURCE FUELS, INC., 363 NORTH SAM HOUSTON PARKWAY EAST,
SUITE 630, HOUSTON, TX, 77060, 7138696682 - 0 ($221,800,000.00) Equity,
(File 333-146544 - Oct. 5) (BR. 04A)
SB-2 KeyOn Communications Holdings Inc., 11742 STONEGATE CIRCLE, OMAHA,, NE,
68164, (402) 998-4000 - 0 ($30,000,000.00) Equity, (File 333-146545 -
Oct. 5) (BR. 11B)
S-3 Jazz Technologies, Inc., 4321 JAMBOREE ROAD, NEWPORT BEACH, CA, 92660,
(949) 435-8000 - 0 ($10,023,402.64) Equity, (File 333-146546 - Oct. 5)
(BR. 10B)
S-3 SAVANNAH BANCORP INC, 25 BULL ST, SAVANNAH, GA, 31401, 9126518200 -
71,000 ($1,780,680.00) Equity, (File 333-146547 - Oct. 5) (BR. 07A)
S-8 FLEXTRONICS INTERNATIONAL LTD., ONE MARINA BOULEVARD, #28-00,
SINGAPORE, U0, 018989, (65) 6890 7188 - 0 ($111,700,000.00) Equity,
(File 333-146548 - Oct. 5) (BR. 10B)
S-8 FLEXTRONICS INTERNATIONAL LTD., ONE MARINA BOULEVARD, #28-00,
SINGAPORE, U0, 018989, (65) 6890 7188 - 0 ($298,332,103.00) Equity,
(File 333-146549 - Oct. 5) (BR. 10B)
S-3 LIGHTPATH TECHNOLOGIES INC, 2603 CHALLENGER TECH CT, SUITE 100,
ORLANDO, FL, 32826, 4073824003 - 1,120,000 ($4,558,400.00) Equity,
(File 333-146550 - Oct. 5) (BR. 10B)
S-8 NAVTEQ CORP, 222 MERCHANDISE MART PLAZA, THE MERCHANDISE MART STE. 900,
CHICAGO, IL, 60654, 312-894-7000 - 0 ($500,000.00) Other,
(File 333-146553 - Oct. 5) (BR. 03A)
S-4 COLONIAL BANCGROUP INC, 100 COLONIAL BANK BLVD., MONTGOMERY, AL,
36117, 334-676-5000 - 0 ($72,537,178.00) Equity, (File 333-146554 -
Oct. 5) (BR. 07C)
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
------------------------------------------------------------------------------------------------------
4 KIDS ENTERTAINMENT INC NY 1.01 10/01/07
ABSOLUTE POTENTIAL, INC. FL 4.01,9.01 10/03/07
ACORN ACQUISITION CORP DE 1.01 10/01/07
ACORN FACTOR, INC. DE 5.02,9.01 10/01/07
ACUSPHERE INC DE 5.02,8.01,9.01 10/01/07
ACXIOM CORP DE 1.01,3.03,9.01 10/05/07
Advanced BioEnergy, LLC DE 1.01,9.01 09/30/07
AIMS WORLDWIDE INC NV 9.01 10/05/07 AMEND
AIR METHODS CORP DE 1.01,2.01,2.03,9.01 10/01/07
ALCOA INC PA 1.01,1.02,2.03,9.01 10/02/07
Allmarine Consultants CORP NV 8.01,9.01 10/05/07
AMDL INC DE 8.01 10/03/07
AMERICAN AIRLINES INC DE 8.01 10/04/07
AMERICAN AIRLINES INC DE 7.01 10/04/07
AMERICAN ENERGY PRODUCTION INC 1.01,9.01 09/25/07
AMERICAN ENTERPRISE DEVELOPMENT CORP TX 9.01 09/30/07
AMERICAN EXPRESS CREDIT ACCOUNT MASTE DE 8.01,9.01 10/05/07
AMERICAN MOLD GUARD INC 1.01,1.02,5.02 10/04/07
AMR CORP DE 8.01 10/04/07
AMR CORP DE 7.01 10/04/07
AMSURG CORP TN 5.02,9.01 10/01/07
Animal Health International, Inc. DE 5.02,9.01 10/01/07
ARCHSTONE SMITH OPERATING TRUST 1.01,1.02,2.03,3.03,5.01,5.03, 10/03/07
9.01
ARCHSTONE SMITH TRUST MD 5.01,5.02,9.01 10/05/07
ARRAY BIOPHARMA INC DE 5.02,9.01 10/02/07
ASIA GLOBAL HOLDINGS CORP. NV 5.03,9.01 09/21/07
Assured Pharmacy, Inc. NV 4.02 09/28/07
ATLANTIC SYNDICATION NETWORK INC NV 5.03,8.01,9.01 10/05/07
AURELIO RESOURCE CORP NV 8.01,9.01 10/05/07
AURELIO RESOURCE CORP NV 8.01 10/05/07
AURIGA LABORATORIES, INC. DE 1.01,3.02 10/01/07
Averion International Corp. 1.01 10/03/07
Banc of America Commercial Mortgage I DE 8.01 10/01/07
Banc of America Funding 2007-6 Trust DE 6.02 10/01/07
Baseline Oil & Gas Corp. NV 1.02,2.01,2.03,3.02,9.01 10/01/07
BASIC EARTH SCIENCE SYSTEMS INC DE 8.01,9.01 09/21/07
BAUSCH & LOMB INC NY 1.01,9.01 10/04/07
BEAR STEARNS ASSET BACKED SECURITIES 8.01 10/01/07
Bear Stearns Asset Backed Securities DE 8.01 10/01/07
Bear Stearns Asset Backed Securities DE 8.01 10/01/07
Bear Stearns Asset Backed Securities DE 8.01 10/01/07
Bear Stearns Asset Backed Securities DE 8.01 10/01/07
Bear Stearns Asset Backed Securities DE 8.01 10/01/07
Bear Stearns Asset Backed Securities DE 8.01 10/01/07
Bear Stearns Asset Backed Securities DE 8.01 10/01/07
Bear Stearns Asset Backed Securities DE 8.01 10/01/07
Bear Stearns Asset Backed Securities DE 8.01 10/01/07
Bear Stearns Asset Backed Securities DE 9.01 09/19/07
Bear Stearns Commercial Mortgage Secu DE 8.01 10/01/07
Bear Stearns Commercial Mortgage Secu DE 8.01 10/01/07
Bear Stearns Commercial Mortgage Secu DE 8.01 10/01/07
Bear Stearns Commercial Mortgage Secu DE 8.01 10/01/07
Bear Stearns Mortgage Funding Trust 2 DE 8.01 10/01/07
Bear Stearns Mortgage Funding Trust 2 DE 8.01 10/01/07
Bear Stearns Second Lien Trust 2007-1 8.01 10/01/07
BEHRINGER HARVARD MID TERM VALUE ENHA TX 8.01,9.01 10/05/07
BIO IMAGING TECHNOLOGIES INC DE 8.01,9.01 10/04/07
BIOLARGO, INC. DE 8.01,9.01 10/04/07
BIOPACK ENVIRONMENTAL SOLUTIONS INC. NV 5.02 10/02/07
BIOPHAN TECHNOLOGIES INC NV 1.01,9.01 10/03/07
BIOPHAN TECHNOLOGIES INC NV 1.01,9.01 10/02/07
CADIZ INC DE 8.01 10/04/07
CAMBRIDGE HEART INC DE 5.02 10/01/07
CAMPBELL SOUP CO NJ 5.02,9.01 10/04/07
CANADIAN DERIVATIVES CLEARING CORP A6 9.01 09/30/07
CARDINAL FINANCIAL CORP VA 2.02,8.01,9.01 10/05/07
Cardium Therapeutics, Inc. 8.01,9.01 10/04/07
CBD Media Holdings LLC DE 7.01,9.01 10/03/07
CBD MEDIA LLC DE 7.01,9.01 10/03/07
Celanese CORP DE 8.01,9.01 10/04/07
CERAGENIX PHARMACEUTICALS, INC. DE 8.01,9.01 10/05/07
CHARTER COMMUNICATIONS INC /MO/ DE 1.01,2.03,9.01 10/02/07
CHESAPEAKE ENERGY CORP OK 5.02,9.01 10/01/07
CHURCHILL DOWNS INC KY 1.01,8.01,9.01 10/05/07
CINCINNATI FINANCIAL CORP OH 1.01,2.03,7.01,9.01 10/01/07
CIRCUIT RESEARCH LABS INC AZ 5.02 10/05/07
CLARIENT, INC DE 1.02,5.02,9.01 10/01/07
CLOROX CO /DE/ DE 8.01,9.01 10/03/07
CNS RESPONSE, INC. DE 5.02,9.01 10/01/07
COLOMBIA GOLDFIELDS LTD 5.02,9.01 10/03/07
COMMUNITY BANCORP /VT VT 8.01,9.01 10/05/07
COMMUNITY HEALTH SYSTEMS INC DE 7.01 10/02/07
COMPUTER SOFTWARE INNOVATIONS INC 3.02 10/04/07
CONTANGO OIL & GAS CO DE 2.02,9.01 10/02/07
COOPER TIRE & RUBBER CO DE 8.01,9.01 10/01/07
COOPER TIRE & RUBBER CO DE 8.01 10/05/07
CORPORATE OFFICE PROPERTIES TRUST MD 1.01,2.03 10/01/07
CREDO PETROLEUM CORP CO 7.01,9.01 10/04/07
CRITICAL THERAPEUTICS INC DE 5.02,5.03,9.01 10/04/07
CrossPoint Energy CO NV 1.01 09/28/07
Deep Down, Inc. NV 3.02,9.01 10/05/07
Deep Field Technologies, Inc. NJ 5.02 10/03/07
DELPHI CORP DE 5.02,9.01 10/03/07
DELTA FINANCIAL CORP DE 8.01 10/04/07
Deutsche Alt-A Securities Mortgage Lo 6.02 09/24/07
DILLARDS INC DE 7.01,9.01 10/04/07
Discover Card Execution Note Trust DE 8.01,9.01 10/05/07
DISTRIBUTION MANAGEMENT SERVICES INC 2.01,2.02,2.03,3.03,9.01 10/02/07
DIVX INC 5.02 10/01/07
DOMINION HOMES INC OH 2.02,7.01,9.01 10/05/07
Douglas Lake Minerals Inc. 8.01 10/02/07
Duke Energy CORP DE 8.01 10/05/07
DURECT CORP DE 8.01 10/03/07
E ENERGY ADAMS LLC 7.01,9.01 10/05/07
ECCO Energy Corp. NV 1.01,5.03,9.01 09/27/07
EL CAPITAN PRECIOUS METALS INC NV 1.01,9.01 10/01/07
EMCORE CORP NJ 3.01,9.01 10/02/07
EMERGING MEDIA HOLDINGS INC NV 7.01,9.01 10/01/07
EMERGING VISION INC NY 8.01 09/24/07
EMMIS COMMUNICATIONS CORP IN 2.02,9.01 10/05/07
EMPIRE GLOBAL CORP. DE 1.02 10/01/07
ENER1 INC FL 1.01,9.01 10/04/07
ENERGIZER HOLDINGS INC MO 2.01,2.03,9.01 10/01/07
ENVIRONMENTAL TECTONICS CORP PA 8.01 10/02/07
Epic Bancorp 1.02 10/01/07
EQUINIX INC DE 1.01,9.01 10/01/07
ESS TECHNOLOGY INC CA 1.01,2.03 10/01/07
eTelecare Global Solutions, Inc. 8.01 09/28/07
ETHAN ALLEN INTERIORS INC DE 5.02 10/01/07
FASTENAL CO MN 7.01,9.01 10/04/07
FEDERAL NATIONAL MORTGAGE ASSOCIATION 3.02,9.01 10/01/07
FIRST BANCORP /PR/ PR 8.01,9.01 10/04/07
FIRST BANCORP /PR/ PR 5.03,9.01 08/28/07
FIRST CITIZENS BANC CORP /OH OH 8.01 10/04/07
FIRST FINANCIAL HOLDINGS INC /DE/ DE 7.01,9.01 10/05/07
FIRST LITCHFIELD FINANCIAL CORP DE 8.01 10/04/07
FIRST OTTAWA BANCSHARES INC DE 5.02,9.01 10/03/07
FIRST PULASKI NATIONAL CORP TN 5.02 10/02/07
FIRSTCITY FINANCIAL CORP DE 1.01,9.01 10/01/07
FirstEnergy Solutions Corp. OH 1.01,2.03 10/01/07
FLANDERS CORP NC 1.01,1.02,5.02 10/03/07
FLEXTRONICS INTERNATIONAL LTD. U0 1.01,2.01,2.03,2.04,9.01 10/01/07
FORCE PROTECTION INC NV 1.01,2.03 09/30/07
FREMONT GENERAL CORP NV 8.01,9.01 10/05/07
FULL HOUSE RESORTS INC DE 1.01,9.01 10/01/07
GAMMACAN INTERNATIONAL INC DE 1.01,8.01,9.01 10/01/07
GATEWAY INC DE 1.01,2.01,9.01 10/01/07
Geneva Resources, Inc. NV 5.02,9.01 10/01/07
GEODYNE ENERGY INCOME LTD PARTNERSHIP OK 2.01,9.01 10/01/07
GEODYNE ENERGY INCOME LTD PARTNERSHIP OK 2.01,9.01 09/14/07 AMEND
GLOBALSANTAFE CORP 7.01,9.01 10/04/07
GLOBALSANTAFE CORP 7.01,9.01 10/04/07 AMEND
GOLDEN STAR RESOURCES LTD 2.02,8.01,9.01 10/03/07
GOLDMAN SACHS HEDGE FUND PARTNERS LLC DE 7.01 10/04/07
GOLDMAN SACHS HEDGE FUND PARTNERS LLC DE 3.02 10/04/07
Gottaplay Interactive, Inc. NV 1.01,2.01,5.02 10/04/07
GREAT CHINA INTERNATIONAL HOLDINGS, I NV 1.01,2.03,9.01 09/28/07 AMEND
GREENMAN TECHNOLOGIES INC DE 1.01,2.01,3.02,7.01,9.01 10/01/07
Greenpoint Mortgage Funding Trust 200 DE 8.01 10/01/07
GREENSHIFT CORP DE 5.03 10/03/07
GS AGRIFUELS CORP DE 5.03 10/03/07
GUITAR CENTER INC DE 7.01,9.01 10/05/07
GULF ISLAND FABRICATION INC LA 5.02 10/02/07
GULF WESTERN PETROLEUM CORP NV 4.01,9.01 10/05/07
HAMPTONS LUXURY HOMES INC DE 8.01,9.01 10/05/07
HANMI FINANCIAL CORP DE 5.02 10/02/07
HARTFORD LIFE INSURANCE CO CT 9.01 10/05/07
HARTVILLE GROUP INC NV 3.02 10/01/07
HAWAIIAN HOLDINGS INC DE 8.01 10/04/07
HAYES LEMMERZ INTERNATIONAL INC DE 7.01,9.01 10/04/07
HCP, INC. MD 8.01,9.01 10/02/07
HD Partners Acquisition CORP CA 8.01,9.01 10/05/07
HEALTHSOUTH CORP DE 5.02,9.01 10/05/07
HEXION SPECIALTY CHEMICALS, INC. NJ 8.01 10/04/07
Hicks Acquisition CO I Inc. DE 8.01,9.01 10/03/07
HIRERIGHT INC 5.02,9.01 10/02/07
HNI CORP IA 2.05,9.01 09/28/07
Home Equity Asset Trust 2007-1 DE 8.01 10/01/07
HOME EQUITY MORTGAGE TRUST 2007-2 DE 8.01 10/01/07
HomeBanc 2007-1 DE 1.01,6.02,9.01 10/01/07
HORTON D R INC /DE/ DE 5.02,9.01 10/01/07
HUIHENG MEDICAL, INC. NV 3.03 09/28/07
Huntsman CORP DE 8.01 10/04/07
I2 TECHNOLOGIES INC DE 5.02,9.01 09/28/07
I2 TELECOM INTERNATIONAL INC WA 1.01,3.02,9.01 10/05/07 AMEND
IBASIS INC DE 1.01,2.01,3.02,3.03,5.01,5.02, 10/01/07
5.03,8.01,9.01
ICU MEDICAL INC/DE DE 8.01,9.01 10/05/07
IDAHO GENERAL MINES INC ID 1.01,5.02 10/01/07
IDAHO GENERAL MINES INC ID 1.01,3.03,8.01,9.01 10/04/07
IMAX CORP A6 4.02 10/05/07
IndyMac INDA Mortgage Loan Trust 2006 7.01,9.01 09/01/07
Indymac INDX Mortgage Loan Trust 2004 7.01,9.01 09/01/07
IndyMac INDX Mortgage Loan Trust 2005 7.01,9.01 06/25/05
IndyMac INDX Mortgage Loan Trust 2007 7.01,9.01 09/01/07
Innova Robotics & Automation, Inc. NV 1.01,2.01,9.01 09/28/07
INNOVATIVE SOFTWARE TECHNOLOGIES INC CA 1.01,3.02,7.01,9.01 10/01/07
INTERNATIONAL RECTIFIER CORP /DE/ DE 5.02,7.01,9.01 10/05/07
INTUIT INC DE 5.02,9.01 10/01/07
IRIDEX CORP DE 4.01 10/02/07
ISIS PHARMACEUTICALS INC DE 8.01,9.01 10/05/07
J P MORGAN CHASE & CO DE 9.01 10/04/07
JAG MEDIA GROUP, INC. CO 5.01 09/30/07
JL HALSEY CORP 2.02 02/14/07 AMEND
JL HALSEY CORP 2.02 11/15/06 AMEND
JL HALSEY CORP 2.02 05/15/07 AMEND
JMAR TECHNOLOGIES INC DE 5.02,9.01 09/30/07
Jomar Specialties, Inc. FL 8.01 06/30/07
KAYNE ANDERSON ENERGY DEVELOPMENT CO MD 8.01,9.01 10/04/07
Kesselring Holding Corporation. 1.01,5.02,9.01 10/05/07
KIMCO REALTY CORP MD 1.01,8.01,9.01 10/05/07
LADENBURG THALMANN FINANCIAL SERVICES FL 1.01,2.03 10/02/07
LEHMAN ABS CORP CORP BACK TR AIG DEBE DE 8.01,9.01 10/01/07
LEHMAN BROTHERS HOLDINGS INC DE 9.01 10/03/07
LEHMAN BROTHERS HOLDINGS INC DE 9.01 10/02/07
Lehman XS 2007-4N DE 6.02 09/24/07
Lehman XS Trust 2007-1 DE 8.01 10/01/07
Lehman XS Trust 2007-10H DE 8.01 10/01/07
Lehman XS Trust 2007-14H DE 8.01 10/01/07
Lehman XS Trust 2007-5H DE 8.01 10/01/07
Lehman XS Trust 2007-6 DE 8.01 10/01/07
Lehman XS Trust 2007-9 DE 8.01 10/01/07
Lehman XS Trust Series 2007-15N DE 6.02 09/24/07
Lehman XS Trust Series 2007-2N DE 6.02 09/24/07
LEXIT TECHNOLOGY, INC. CO 5.01 09/30/07
Lincolnway Energy, LLC IA 1.01 10/01/07
LITHIUM TECHNOLOGY CORP DE 1.01,5.02,9.01 10/01/07
LITTLE SQUAW GOLD MINING CO AK 8.01,9.01 10/04/07
LKQ CORP DE 8.01,9.01 10/05/07
LODGENET ENTERTAINMENT CORP DE 8.01,9.01 10/05/07
LOGICA HOLDINGS INC 2.01,9.01 09/30/07
LXS 2007-3 DE 8.01 10/01/07
LXS 2007-8H DE 8.01 10/01/07
MAGNITUDE INFORMATION SYSTEMS INC DE 1.01,2.03,2.04,3.02,7.01,9.01 09/19/07
MANOR CARE INC DE 8.01,9.01 10/05/07
MARINE PRODUCTS CORP DE 8.01,9.01 10/05/07
MATERIAL SCIENCES CORP DE 5.03,9.01 10/02/07
MAXXAM INC DE 8.01,9.01 09/30/07
McAfee, Inc. DE 5.02,8.01,9.01 10/02/07
MEDIANET GROUP TECHNOLOGIES INC NV 5.02,8.01 10/02/07
MERRILL LYNCH & CO INC DE 7.01,9.01 10/05/07
Merrill Lynch Mortgage Investors Trus DE 8.01 10/01/07
Merrill Lynch Mortgage Investors Trus DE 8.01 10/01/07
METROPCS COMMUNICATIONS INC DE 8.01,9.01 10/04/07
MID WISCONSIN FINANCIAL SERVICES INC WI 2.06 10/05/07
MIDWEST AIR GROUP INC WI 8.01,9.01 10/04/07
MIDWEST BANC HOLDINGS INC DE 1.01,2.01,2.03,5.02,7.01,9.01 10/01/07
MILACRON INC DE 5.01,5.02,8.01,9.01 10/01/07
MILESTONE SCIENTIFIC INC/NJ DE 4.01,9.01 10/02/07
MILLENNIUM PHARMACEUTICALS INC DE 5.02 10/03/07
MIPS TECHNOLOGIES INC DE 2.02,9.01 10/05/07
MOLINA HEALTHCARE INC DE 1.01,7.01,8.01,9.01 10/04/07
Morgan Stanley ABS Capital I Inc. Tru DE 8.01 10/01/07
Morgan Stanley ABS Capital I Inc. Tru DE 8.01 10/01/07
Morgan Stanley ABS Capital I Inc. Tru DE 8.01 10/01/07
Morgan Stanley ABS Capital I Inc. Tru DE 8.01 10/01/07
Morgan Stanley Mortgage Loan Trust 20 DE 1.01 09/28/07
Morgan Stanley Mortgage Loan Trust 20 DE 8.01 10/01/07
Morgan Stanley Mortgage Loan Trust 20 DE 8.01 10/01/07
Morningstar, Inc. IL 7.01 10/05/07
MoSys, Inc. CA 5.02,9.01 10/01/07
MRU HOLDINGS INC DE 8.01 10/05/07
MS STRUCTURED ASSET CORP CBT SERIES 2 DE 8.01,9.01 10/01/07
MS STRUCTURED SATURNS SERIES 2001-4 DE 8.01,9.01 10/01/07
MS STRUCTURED SATURNS SERIES 2001-6 DE 8.01,9.01 10/01/07
MS STRUCTURED SATURNS SERIES 2002-10 DE 8.01,9.01 10/01/07
MS STRUCTURED SATURNS SERIES 2002-11 DE 8.01,9.01 10/01/07
MS STRUCTURED SATURNS SERIES 2002-14 DE 8.01,9.01 10/01/07
MS STRUCTURED SATURNS SERIES 2002-15 DE 8.01,9.01 10/01/07
MS STRUCTURED SATURNS SERIES 2002-3 DE 8.01,9.01 10/01/07
MS STRUCTURED SATURNS SERIES 2002-4 DE 8.01,9.01 10/01/07
MS STRUCTURED SATURNS SERIES 2002-7 DE 8.01,9.01 10/01/07
MS STRUCTURED SATURNS SERIES 2003-11 DE 8.01,9.01 10/01/07
MS STRUCTURED SATURNS SERIES 2003-12 DE 8.01,9.01 10/01/07
MS STRUCTURED SATURNS SERIES 2003-13 DE 8.01,9.01 10/01/07
MS STRUCTURED SATURNS SERIES 2003-15 DE 8.01,9.01 10/01/07
MS STRUCTURED SATURNS SERIES 2003-16 DE 8.01,9.01 10/01/07
MS STRUCTURED SATURNS SERIES 2003-2 DE 8.01,9.01 10/01/07
MS STRUCTURED SATURNS SERIES 2003-3 DE 8.01,9.01 10/01/07
MS STRUCTURED SATURNS SERIES 2003-4 DE 8.01,9.01 10/01/07
MS STRUCTURED SATURNS SERIES 2003-5 DE 8.01,9.01 10/01/07
MS STRUCTURED SATURNS SERIES 2003-6 DE 8.01,9.01 10/01/07
MS STRUCTURED SATURNS SERIES 2003-7 DE 8.01,9.01 10/01/07
MS STRUCTURED SATURNS SERIES 2003-8 DE 8.01,9.01 10/01/07
MS STRUCTURED SATURNS SERIES 2003-9 DE 8.01,9.01 10/01/07
MS STRUCTURED SATURNS SERIES 2004-1 DE 8.01,9.01 10/01/07
MS STRUCTURED SATURNS SERIES 2004-2 DE 8.01,9.01 10/01/07
MS STRUCTURED SATURNS SERIES 2004-4 DE 8.01,9.01 10/01/07
MS STRUCTURED SATURNS SERIES 2004-6 DE 8.01,9.01 10/01/07
MS STRUCTURED SATURNS SERIES 2005-1 DE 8.01,9.01 10/01/07
MS STRUCTURED SATURNS SERIES 2005-2 DE 8.01,9.01 10/01/07
MS STRUCTURED SATURNS SERIES 2005-3 DE 8.01,9.01 10/01/07
MS STRUCTURED TILES SERIES 2005-1 DE 8.01,9.01 10/01/07
MULTIBAND CORP MN 8.01 10/05/07
MV Oil Trust DE 2.02,9.01 10/05/07
My Quote Zone, Inc. NV 5.02,5.03 10/02/07
MYLAN LABORATORIES INC PA 1.01,1.02,2.01,2.03,3.03,5.02, 10/01/07
5.03,9.01
NABORS INDUSTRIES LTD D0 8.01,9.01 10/05/07
NATIONAL COLLEGIATE FUNDING LLC 1.01,9.01 09/20/07
NATIONAL COLLEGIATE FUNDING LLC 1.01,9.01 09/20/07
NATIONAL RURAL UTILITIES COOPERATIVE DC 5.02 10/02/07
NationsHealth, Inc. DE 3.01,9.01 10/02/07
NAVISITE INC DE 3.01,3.02 10/03/07
NESTOR INC DE 5.02 10/05/07
NETSCOUT SYSTEMS INC DE 1.01,9.01 10/01/07
NEUROLOGIX INC/DE DE 1.01,9.01 09/20/07
NORTH AMERICAN SCIENTIFIC INC 1.01,2.03,9.01 10/03/07
NORTH STATE BANCORP NC 2.02,9.01 10/05/07
NORTHROP GRUMMAN CORP /DE/ DE 5.02,9.01 10/02/07
NORTHSTAR REALTY 1.01,5.02,9.01 10/04/07
NPS PHARMACEUTICALS INC DE 5.02 10/01/07
NYFIX INC DE 2.03,3.02,9.01 10/01/07
O REILLY AUTOMOTIVE INC MO 2.03 09/28/07
OC Financial Inc MD 5.02,9.01 10/02/07
OLIN CORP VA 5.02,8.01,9.01 10/01/07
ONYX PHARMACEUTICALS INC DE 5.02 10/01/07 AMEND
Orsus Xelent Technologies Inc DE 8.01,9.01 10/04/07
OTTER TAIL CORP MN 1.01,2.03,9.01 10/01/07
OVERSEAS SHIPHOLDING GROUP INC DE 8.01,9.01 10/05/07
Pacific Ethanol, Inc. DE 5.02 10/01/07
PAIVIS, CORP ./NV/ NV 1.01,3.02,7.01,9.01 10/04/07
PALL CORP NY 2.02,9.01 10/04/07
Park Place Energy Corp. NV 8.01 01/03/07
PCS EDVENTURES COM INC 1.01,9.01 10/01/07
PENNICHUCK CORP NH 1.01,2.03 10/01/07
PENNSYLVANIA REAL ESTATE INVESTMENT T PA 1.01,9.01 10/01/07
PETROQUEST ENERGY INC DE 8.01,9.01 10/05/07
PHC INC /MA/ MA 9.01 10/04/07 AMEND
PHOENIX TECHNOLOGIES LTD DE 1.01 10/05/07
PLAYTEX PRODUCTS INC DE 2.01,3.01,5.01,9.01 10/01/07
PLUM CREEK TIMBER CO INC DE 2.02,9.01 10/04/07
POLYONE CORP 2.02,5.02,9.01 10/04/07
PORTLAND GENERAL ELECTRIC CO /OR/ OR 2.03,9.01 10/04/07
PRG SCHULTZ INTERNATIONAL INC GA 3.02 10/01/07
Propex Inc. DE 8.01 10/02/07
PSB GROUP INC MI 8.01,9.01 10/04/07
PSPP HOLDINGS INC NV 5.02 10/04/07
PSYCHEMEDICS CORP DE 5.02 10/02/07
R H DONNELLEY CORP DE 1.01,2.03,9.01 10/02/07
R H DONNELLEY CORP DE 1.01,3.02,3.03,9.01 10/02/07
R H DONNELLEY CORP DE 1.01,3.03,9.01 10/02/07
R&G FINANCIAL CORP PR 1.01,8.01,9.01 10/01/07
RALI Series 2007-QH9 Trust DE 8.01,9.01 10/04/07
RAPID LINK INC DE 1.01,9.01 10/04/07
RARE HOSPITALITY INTERNATIONAL INC GA 1.02,2.04,3.01,3.03,5.01,5.02, 10/01/07
5.03,9.01
Real Estate Referral Center Inc. NV 7.01,9.01 10/04/07
Resource Capital Corp. MD 2.02,7.01,8.01,9.01 10/05/07
ROYAL FINANCIAL, INC. 5.02,8.01,9.01 10/04/07
RYERSON INC. DE 7.01,9.01 10/04/07
SACO I Trust 2007-1 DE 6.02,8.01 10/01/07
SACO I Trust 2007-2 DE 8.01 10/01/07
SALIX PHARMACEUTICALS LTD 8.01,9.01 10/04/07
SANGUINE CORP NV 7.01,9.01 09/24/07
SCHMITT INDUSTRIES INC OR 1.01,8.01,9.01 10/04/07
SCHOLASTIC CORP DE 5.02 10/05/07
SCHWAB CHARLES CORP DE 8.01,9.01 10/02/07
SEA CONTAINERS LTD /NY/ 8.01,9.01 10/02/07
Security With Advanced Technology, In CO 3.02,5.03,7.01,8.01,9.01 09/27/07
Seligman LaSalle International Real E MD 8.01 10/05/07
SELIGMAN NEW TECHNOLOGIES FUND II INC MD 8.01 10/05/07
SELIGMAN NEW TECHNOLOGIES FUND, INC 8.01 10/05/07
SELIGMAN SELECT MUNICIPAL FUND INC MD 7.01,9.01 10/05/07
SELIGMAN SELECT MUNICIPAL FUND INC MD 8.01 10/05/07
SENOMYX INC DE 5.02 10/05/07
SENSE HOLDINGS INC FL 1.01,3.02 10/05/07
SHAW GROUP INC LA 5.02 07/02/07 AMEND
Shire plc 8.01,9.01 10/04/07
SILICON IMAGE INC DE 5.02,9.01 10/04/07
SILVERADO GOLD MINES LTD A1 8.01,9.01 10/04/07
SIMON WORLDWIDE INC DE 8.01,9.01 10/04/07
SIRVA INC DE 1.01,2.03,9.01 09/28/07
SIRVA INC DE 3.01,9.01 10/01/07
SKYLINE CORP IN 2.02,9.01 10/05/07
SONOMA VALLEY BANCORP CA 9.01 10/05/07
SOURCEFIRE INC DE 1.01,5.02,8.01,9.01 10/03/07
SOVEREIGN BANCORP INC PA 7.01,9.01 10/05/07
SPACEHAB INC \WA\ WA 1.01,3.02,3.03,9.01 10/01/07
SPACEHAB INC \WA\ WA 3.01,9.01 10/02/07
Specialized Services, Inc. MI 4.01,9.01 10/04/07
ST MARY LAND & EXPLORATION CO DE 2.03,8.01,9.01 10/04/07
STEIN MART INC FL 5.02,9.01 08/27/07 AMEND
STONE ENERGY CORP DE 7.01,9.01 10/04/07
SYCAMORE NETWORKS INC DE 8.01,9.01 10/05/07
Symmetry Medical Inc. DE 2.02,2.04,4.02,8.01,9.01 10/04/07
SYNOVIS LIFE TECHNOLOGIES INC MN 5.03,9.01 10/03/07
SYS CA 5.03,9.01 09/18/07
T Bancshares, Inc. 1.01,7.01,9.01 10/02/07
TARGET CORP MN 9.01 10/05/07
TEAM INC TX 2.02,9.01 10/03/07
TELEFLEX INC DE 1.01,1.02,9.01 10/01/07
TELETECH HOLDINGS INC DE 2.01,9.01 09/28/07
TELLABS INC DE 2.02,9.01 10/04/07
TELOS CORP MD 5.03,8.01,9.01 10/03/07
TERCICA INC DE 5.02 10/01/07
TERRA ENERGY & RESOURCE TECHNOLOGIES, DE 1.01,3.02,9.01 10/01/07
TETON ENERGY CORP DE 2.01,9.01 10/05/07
TETON ENERGY CORP DE 1.01,7.01,9.01 09/26/07 AMEND
THAXTON GROUP INC SC 1.02 10/02/07
Thornburg Mortgage Securities Trust 2 DE 6.02 10/01/07
Thornburg Mortgage Securities Trust 2 DE 6.02 10/01/07
Thornburg Mortgage Securities Trust 2 DE 8.01 10/01/07
TIDELANDS OIL & GAS CORP/WA NV 5.02,8.01,9.01 09/11/07
TIDEWATER INC DE 8.01,9.01 10/04/07
Titan Energy Worldwide, Inc. NV 5.02,9.01 10/05/07
TOR MINERALS INTERNATIONAL INC DE 8.01,9.01 10/04/07
TOWER BANCORP INC PA 2.02,9.01 10/05/07
TRAFFIX INC DE 8.01,9.01 10/05/07
TRANSOCEAN INC E9 7.01,9.01 10/05/07
TRB SYSTEMS INTERNATIONAL INC DE 4.01 10/05/07
TRB SYSTEMS INTERNATIONAL INC DE 4.02 10/05/07
TRIMAS CORP DE 2.05,9.01 10/05/07
TRIMEDIA ENTERTAINMENT GROUP INC DE 1.01,9.01 10/01/07
TUMBLEWEED COMMUNICATIONS CORP DE 2.02,9.01 10/05/07
TVIA INC DE 4.01 08/13/07 AMEND
TXU CORP /TX/ TX 8.01,9.01 10/05/07
TXU CORP /TX/ TX 8.01,9.01 10/05/07
U S GOLD CORP CO 7.01,9.01 10/04/07
ULTRALIFE BATTERIES INC DE 1.01,9.01 10/03/07
UNITED RENTALS INC /DE DE 8.01,9.01 09/28/07
Uraniumcore CO DE 1.02 10/05/07
US AIRWAYS GROUP INC DE 2.02,9.01 10/04/07
US AIRWAYS GROUP INC DE 2.02,9.01 10/05/07
US GEOTHERMAL INC DE 7.01,9.01 10/01/07
V F CORP PA 5.02 10/04/07
VOIP INC 1.01,2.03,3.02,9.01 09/24/07
VUBOTICS INC NV 8.01 10/05/07
WALGREEN CO IL 2.02,9.01 08/31/07
WASHINGTON GAS LIGHT CO DC 5.02 10/01/07
WASHINGTON MUTUAL, INC WA 7.01,9.01 10/05/07
WASTE MANAGEMENT INC DE 7.01 10/05/07
Wavelit, Inc. NV 5.02 10/02/07
WIRELESS AGE COMMUNICATIONS INC NV 1.01 09/28/07
WORLD ENERGY SOLUTIONS, INC. FL 1.01,3.02,9.01 10/05/07
WORLDWATER & SOLAR TECHNOLOGIES CORP. DE 1.01,9.01 10/01/07
http://www.sec.gov/news/digest/2007/dig100907.htm
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