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SEC NEWS DIGEST
Issue 2007-201 October 18, 2007
COMMISSION ANNOUNCEMENTS
SAN FRANCISCO REGIONAL OFFICE DIRECTOR HELANE MORRISON TO LEAVE SEC
Helane L. Morrison, the SEC's Regional Director in San Francisco,
announced today that she will leave the Commission at the end of
October. Ms. Morrison will become General Counsel, Chief Compliance
Officer, and a Principal at Hall Capital Partners, LLC, a San
Francisco advisory firm.
As head of the San Francisco office since August 1999, Ms. Morrison
has been responsible for the Commission's enforcement and examination
programs in Northern California, Washington, Oregon, Montana, Idaho
and Alaska during an extraordinarily active time in the SEC's history.
Prior to August 1999, Ms. Morrison led the San Francisco office's
enforcement efforts for three years.
"Under Helane's leadership, the San Francisco office has enhanced its
strong and effective presence in Northern California and the Pacific
Northwest. Helane has led several major enforcement actions of
enormous significance to investors and our markets. During her tenure,
the office doubled in size and became a regional office," said SEC
Chairman Christopher Cox. "We will miss her dedication, integrity, and
passion for protecting investors. She has loaned her considerable
stature and professional skill to the service of her nation for over a
decade, and in the process enhanced both the SEC and the strength of
our markets."
SEC Director of Enforcement Linda Chatman Thomsen said, "Helane has
always emphasized excellence for herself and the San Francisco office.
Under her leadership, the San Francisco office brought nationally
significant cases. Her creativity, diligence and enthusiasm have been
an inspiration to all of us. She has been a wonderful colleague; we
will miss her and look forward to seeing her continued success."
Lori Richards, Director of the SEC's Office of Compliance Inspections
and Examinations, added, "Helane has served the Commission with great
distinction. Under Helane's leadership, the San Francisco examination
staff has energetically examined regulated securities firms and
tackled challenging projects with impressive results."
Ms. Morrison said, "I feel honored and privileged to have led the
Commission's San Francisco Regional Office in its mission of
protecting the investing public. It has been a real pleasure to work
with the exceptionally talented and dedicated staff of the San
Francisco office, and other Commission offices. I want to thank my
colleagues in San Francisco for their extraordinary commitment to the
important work of this office and the SEC."
During Ms. Morrison's tenure and under her leadership, the San
Francisco office brought numerous high profile and significant
enforcement actions, including
* stock options backdating cases, including against
Brocade Communications Systems, its former CEO, two former CFOs
and a former VP of Human Resources; and the former General
Counsel and former CFO of Apple, Inc.;
* financial fraud cases against former top executives at
companies including HBO & Co. (later merged into McKesson Corp.),
Cutter & Buck, Inc., and NextCard, Inc., and financial
reporting cases against Hewlett-Packard, Google, Inc. and
Hawaiian Airlines, Inc.;
* cases against the General Counsel of Google, Inc. for a
registration violation by the company, and against the General
Counsel of Electro Scientific Industries, Inc. for causing
the company to file false reports with the SEC;
* cases against auditors, including a former Ernst & Young
partner for altering and destroying audit work papers; and
a former Arthur Andersen partner for fraud and improper
professional conduct;
* a case against Texas insurance company American-Amicable
for deceptive sales of securities to 57,000 military personnel;
* cases involving mutual funds and investment advisers,
including against Franklin Advisers, Inc. alleging market
timing, late trading and revenue sharing violations, against Van
Wagoner Capital Management alleging fraud, and against Deutsche
Asset Management for failure to disclose a conflict of interest.;
* cases involving brokerage firms, including against TD
Waterhouse for making undisclosed payments to investment
advisers, and against UBS PaineWebber, Inc. for failure to
supervise a representative who defrauded clients; and
* numerous other cases, including for fraud against senior
citizens, hedge fund fraud, municipal bond fraud, insider
trading, offering frauds and market manipulation.
Also during Ms. Morrison's tenure, examiners based in San Francisco
inspected hundreds of the nation's registered entities, including
broker-dealers, investment advisers, mutual funds, and transfer
agents, and led significant risk-targeted examinations to assess
potential industry trends and problems.
Before coming to the Commission, Ms. Morrison was a partner at Howard,
Rice, Nemerovski, Canady, Falk & Rabkin, where she practiced law from
1986 to 1996. Earlier, she worked as a law clerk for Supreme Court
Justice Harry A. Blackmun (1985-86) and Hon. Richard A. Posner of the
U.S. Court of Appeals for the Seventh Circuit (1984-85).
Ms. Morrison received her J.D. in 1984 from the University of
California, Berkeley School of Law, where she was Editor-in-Chief of
the California Law Review. She received a B.S. in journalism from
Northwestern University, after which she worked as a newspaper
reporter. (Press Rel. 2007-218)
COMMISSION MEETINGS
CLOSED MEETING - THURSDAY, OCTOBER 25, 2007 - 2:00 P.M.
The subject matter of the closed meeting scheduled for Thursday,
October 25, will be: Formal orders of investigation; Institution and
settlement of injunctive actions; Institution and settlement of
administrative proceedings of an enforcement nature; Resolution of
litigation claims; and Other matters related to enforcement actions.
At times, changes in Commission priorities require alterations in the
scheduling of meeting items. For further information and to ascertain
what, if any, matters have been added, deleted or postponed, please
contact: The Office of the Secretary at (202) 551-5400.
ENFORCEMENT PROCEEDINGS
IN THE MATTER OF ANTHONY M. RAMUNNO, JR.
On October 17, the Commission issued an Order Making Findings and
Imposing Remedial Sanctions Pursuant to Section 203(f) of the
Investment Advisers Act of 1940 (Order) against Anthony M. Ramunno,
Jr. based on Ramunno's plea of guilty in United States v. Anthony
Michael Ramunno, Jr., a/k/a Mick Ramunno, 1:07-CR-061 (N.D. Ga.).
Ramunno consented, without admitting or denying the findings, to the
issuance of the Order.
The Order finds that, on May 1, 2007, Ramunno pleaded guilty to one
count each of wire fraud and mail fraud in violation of Title 18,
United States Code, Sections 1343 and 1341, respectively. The
indictment to which Ramunno pleaded guilty alleged that from in or
about November 2003 up to on or about Jan. 18, 2007, Ramunno defrauded
investors in a private investment pool he controlled. The indictment
further alleged that Ramunno failed to disclose to pool participants
that he was consistently losing money in commodity futures trading,
was not generating profits for investors, and was misappropriating
substantial amounts of victim funds to pay for purely personal
expenses, including a luxury home and multiple high-end automobiles
and motorcycles. The indictment also alleged that, to keep existing
investors and entice potential new ones, Ramunno crafted and
distributed false financial statements for the private investment
pool, as well as forged opinion letters from a national public
accounting firm. Ramunno is awaiting sentencing.
The Order further finds that, from November 2003 through January 2007,
Ramunno was associated with Renaissance Asset Management LLP and its
successor, Renaissance Asset Management, LLC (Renaissance), and that
Renaissance acted as an investment adviser by, for compensation,
engaging in the business of advising the private investment pool as to
the advisability of investing in, purchasing, or selling securities.
The Order bars Ramunno from association with any investment adviser.
(Rel. IA-2672; File No. 3-12742)
IN THE MATTER OF MQ ASSOCIATES, INC. AND THOMAS C. GENTRY
On October 18, the Commission issued Orders Instituting Cease-and-
Desist Proceedings, Making Findings, and Imposing Cease-and-Desist
Orders Pursuant to Section 21C of the Securities Exchange Act of 1934
(Exchange Act) against MQ Associates, Inc. and Thomas C. Gentry. The
Orders find that MQ Associates, a holding company that owns 100% of
MedQuest Inc., which provides diagnostic services like CT scans and
MRIs, committed reporting violations and failed to keep accurate books
and records and failed to maintain an adequate system of internal
accounting controls. These failures resulted in a restatement of its
financial statements for fiscal years ended Dec. 31, 2002, and 2003,
for all quarters during both of those years, and for the first three
quarters of 2004. In the aggregate, the restatement resulted in a
cumulative reduction of net income of $34.7 million. Gentry's Order
further finds that Gentry, MQ Associates' former Chief Financial
Officer, was a cause of the Company's violations.
Based on the above, the Orders order MQ Associates to cease and desist
from committing or causing any violations or any future violations of
Sections 13(b)(2)(A), 13(b)(2)(B), and 15(d) of the Exchange Act, and
Rules 12b-20, 15d-1 and 15d-13 thereunder; and Gentry to cease and
desist from causing any violations and any future violations of
Sections 13(b)(2)(A), 13(b)(2)(B), and 15(d) of the Exchange Act, and
Rules 12b-20, 15d-1 and 15d-13 thereunder.
MQ Associates, Inc. and Gentry consented to the issuance of the
respective Orders without admitting or denying any of the findings in
the Orders, except as to personal and subject matter jurisdiction.
(Thomas Gentry - Rel. 34-56673, AAE Rel. 2743, File No. 3-12869; MQ
Associates, Inc. - Rel. 34-56674, AAE Rel. 2744, File No. 3-12870)
IN THE MATTER OF NORMAN E. SCHMIDT
On October 18, the Commission issued an Order Instituting
Administrative Proceedings Pursuant to Section 15(b) of the Securities
Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions
(Order) against Norman E. Schmidt. Schmidt controlled Capital
Holdings, L.L.C., Capital Holdings Int., LLC, and Smitty's
Investments, LLC; and in addition, served as president and a director
of Monarch Capital Holdings LLC.
The Order finds that on Oct. 1, 2007, a judgment was entered against
Schmidt permanently enjoining him from future violations of Sections
5(a), 5(c) and 17(a) of the Securities Act of 1933 (Securities Act)
[15 U.S.C. §§ 77e(a), 77e(c) and 77q(a)], and Section 10(b) of the
Securities Exchange Act of 1934 (Exchange Act) [15 U.S.C. § 78j(b)]
and Rule 10b-5 promulgated thereunder [17 C.F.R. § 240.10b-5], in the
civil action captioned Securities and Exchange Commission v. Capital
Holdings, L.L.C., et al., Civil Action No. 03-RB-0923, in the United
States District Court for the District of Colorado.
The Commission's complaint alleged that Capital Holdings, L.L.C.,
Smitty's Investments, LLC, Capital Holdings Int., LLC and Monarch
Capital Holdings LLC, and their principals defrauded investors by
falsely promising that: (1) investor funds would be used as collateral
to facilitate leveraged trading of financial instruments issued by
major banks and governments and that investors would share in the
trading profits; (2) investors would earn a fixed monthly return
ranging from 2% to 15%; (3) the safety of invested principal would be
guaranteed; and (4) investors' funds would be fully insured. The
complaint also alleged that there is no trading program and that the
defendants regularly paid undisclosed sales commissions, Ponzi
payments and personal expenses with investor funds.
Based on the above, the Order bars Schmidt from association with any
broker or dealer. Norman E. Schmidt consented to the issuance of the
Order without admitting or denying any of the findings in the Order,
except as to the Commission's jurisdiction over him, the subject
matter of the proceedings, and the entry of the injunction against
him, which are admitted. (Rel. 34-56675; File No. 3-12871)
IN THE MATTER OF PACKETPORT.COM, INC., RONALD DURANDO, MICROPHASE
CORP., ROBERT H. JAFFE, GUSTAVE DOTOLI, M. CHRISTOPHER AGARWAL, AND
THEODORE KUNZOG
On October 18, the Commission instituted settled cease-and-desist
proceedings against issuer PacketPort.com, Inc. and six individuals
and companies for violations of the registration and other provisions
of the Securities Act of 1933 (Securities Act) and certain reporting
provisions of the Securities Exchange Act of 1934 (Exchange Act). As
part of the settlement, the respondents agreed to disgorge over $1
million in connection with conduct occurring in late 1999 and early
2000. In addition to PacketPort.com, the respondents in the cease-and-
desist proceedings are PacketPort.com's chairman, president, and chief
executive officer, Ronald Durando, its chief operating officer,
Gustave Dotoli, its chief financial officer, Robert H. Jaffe, two
stock promoters, M. Christopher Agarwal and Theodore Kunzog, and a
related company, Microphase Corp.
In connection with the settlement, the Commission's civil action
against the respondents, SEC v. PacketPort.com, Inc., et al., Civil
Action No. 3:05cv1747 (PCD), filed in the U.S. District Court for the
District of Connecticut, was dismissed with prejudice. The Court also
dismissed by consent charges against three other defendants in the
civil action who are not respondents in the settled cease-and-desist
proceedings-William Coons III, PacketPort, Inc. and IP Equity, Inc.
The Commission's cease-and-desist order finds that all seven
respondents violated Section 5 of the Securities Act by making
unregistered offers or sales of PacketPort.com common stock.
Respondents Durando, Dotoli, and Jaffe, who were officers, directors,
or beneficial owners of more than ten percent of the shares of
PacketPort.com, violated Section 16(a) of the Exchange Act and Rule
16a-3 thereunder by failing to timely disclose their holdings and
positions on Form 3. Respondent Durando violated Section 13(d) of the
Exchange Act and Rule 13d-1 thereunder by failing to timely disclose
his acquisition of more than five percent of the stock of
PacketPort.com. Respondents Agarwal and Kunzog violated Section 17(b)
of the Securities Act by publishing an article concerning
PacketPort.com that failed to disclose compensation from the issuer in
the form of a right to purchase one million PacketPort.com shares at a
discount from the market price.
The Commission ordered the respondents to cease and desist from
committing or causing violations of the respective provisions of the
federal securities laws they each were found to have violated. In
addition, Respondent Microphase was also ordered to disgorge $700,000.
Respondents Durando, Jaffe and Dotoli were ordered to disgorge
$150,000, $125,000, and $100,000, respectively. The respondents
consented to the order without admitting or denying its findings,
except as to the Commission's jurisdiction over the matter. (In the
Matter of PacketPort.com, Inc., Ronald Durando, Microphase Corp.,
Robert H. Jaffe, Gustave Dotoli, M. Christopher Agarwal, and Theodore
Kunzog - Rels. 33-8858, 34-56672, File No. 3-12868); [SEC v.
PacketPort.com, Inc., Ronald Durando, PacketPort, Inc., Microphase
Corp., Robert H. Jaffe, Gustave Dotoli, IP Equity, Inc., M.
Christopher Agarwal, Theodore Kunzog, and William Coons, III, Civil
Action No. 3:05cv1747 (PCD) (D. Conn.)] (LR-20339)
SELF-REGULATORY ORGANIZATIONS
PROPOSED RULE CHANGE
The Commission issued notice of filing of a proposed rule change (SR-
ISE-2007-71) submitted by the International Securities Exchange
relating to fee changes on a retroactive basis. Publication is
expected in the Federal Register during the week of October 22. (Rel.
34-56662)
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
The Philadelphia Stock Exchange filed a proposed rule change (SR-Phlx-
2007-74), which has become immediately effective, relating to series
of U.S. dollar-settled foreign currency options open for trading.
Publication is expected in the Federal Register during the week of
October 22. (Rel. 34-56663)
A proposed rule change filed by National Futures Association (SR-NFA-
2007-04) regarding Compliance Rule 2-4: Misuse of Trade Secrets and
Proprietary Information has become effective under Section 19(b)(7) of
the Securities Exchange Act of 1934. Publication is expected in the
Federal Register during the week of October 22. (Rel. 34-56667)
SECURITIES ACT REGISTRATIONS
The following registration statements have been filed with the SEC
under the Securities Act of 1933. The reported information appears as
follows: Form, Name, Address and Phone Number (if available) of the
issuer of the security; Title and the number and/or face amount of the
securities being offered; Name of the managing underwriter or
depositor (if applicable); File number and date filed; Assigned
Branch; and a designation if the statement is a New Issue.
Registration statements may be obtained in person or by writing to the
Commission's Public Reference Branch at 100 F Street, N.E.,
Washington, D.C. 20549-1090 or at the following e-mail box address:
publicinfo@sec.gov. In most cases, this information is also available
on the Commission's website: www.sec.gov.
S-3 BIONOVO INC, 5858 HORTON STREET,, SUITE 375, EMERYVILLE, CA, 94608,
510-601-2000 - 0 ($100,000,000.00) Equity, (File 333-146750 - Oct. 17)
(BR. 01C)
SB-2 Zoro Mining Corp., SUITE 1000, 789 WEST PENDER STREET, VANCOUVER, A1,
V6C 1H2, (604) 606-7979 - 6,401,600 ($7,041,760.00) Equity,
(File 333-146751 - Oct. 17) (BR. 04B)
S-8 AROTECH CORP, 632 BROADWAY, STE 1200, NEW YORK, NY, 10012, 6466542107 -
750,000 ($2,306,250.00) Equity, (File 333-146752 - Oct. 17) (BR. 10A)
S-8 INTERVOICE INC, 17811 WATERVIEW PKWY, DALLAS, TX, 75252, 9724548000 -
0 ($16,962,204.00) Equity, (File 333-146754 - Oct. 17) (BR. 11B)
SB-2 FIDELITY AVIATION CORP, 1175 OSAGE STREET, SUITE 204, DENVER, CO,
80204, 303 623-5400 - 1,472,300 ($736,150.00) Equity,
(File 333-146758 - Oct. 17) (BR. 05)
S-8 CHYRON CORP, 5 HUB DR, MELVILLE, NY, 11747, 6318452000 -
666,666 ($2,899,997.10) Equity, (File 333-146759 - Oct. 17) (BR. 10A)
S-1 FORUM OILFIELD TECHNOLOGIES INC, 2000 W SAM HOUSTON PKWY, HOUSTON, TX,
77042, 713-351-7900 - 0 ($345,000,000.00) Equity, (File 333-146760 -
Oct. 17) (BR. )
S-8 CTRIP COM INTERNATIONAL LTD, NO. 99 FU QUAN ROAD, SHANGHAI, F4, 200335,
862134064880 - 0 ($976,800,000.00) ADRs/ADSs, (File 333-146761 -
Oct. 17) (BR. 03C)
SB-2 CHINA MULTIMEDIA, INC., ROOM 2213-14, JARDINE HOUSE, 1 CONNAUGHT PLACE,
CENTRAL, K3, 000000, 852 2802 8663 - 200,000 ($100,000.00) Equity,
(File 333-146764 - Oct. 17) (BR. 08A)
F-6 CNINSURE INC., 19/F, YINHAI BUILDING, NO. 299 YANJIANG ZHONG ROAD,
GUANGZHOU, F4, 510110, (86-20) 6122-2777 - 0 ($5,000,000.00) ADRs/ADSs,
(File 333-146765 - Oct. 17) (BR. 01A)
S-8 IONATRON, INC., C/O IONATRON, INC., 3716 EAST COLUMBIA STREET, STE 120,
TUCSON, AZ, 85714, 520-628-7415 - 10,917,000 ($45,659,755.00) Equity,
(File 333-146766 - Oct. 17) (BR. 05B)
F-1 China Nepstar Chain Drugstore Ltd.,
6TH FLOOR, TOWER B, XINNENGYUAN BUILDING,
NANHAI ROAD, NANSHAN DISTRICT, SHENZHEN, F4, 518054, 86-755-26433366 -
0 ($250,000,000.00) ADRs/ADSs, (File 333-146767 - Oct. 17) (BR. )
S-8 DAKTRONICS INC /SD/, PO BOX 5128, 331 32ND AVE, BROOKINGS, SD, 57006,
6056974000 - 4,000,000 ($121,920,000.00) Equity, (File 333-146768 -
Oct. 17) (BR. 06A)
S-3 PC MALL INC, 2555 WEST 190TH STREET, TORRANCE, CA, 90504, 3103545600 -
0 ($11,107,347.00) Equity, (File 333-146769 - Oct. 17) (BR. 02C)
S-8 RAMBUS INC, 4440 EL CAMINO REAL, LOS ALTOS, CA, 94022, 650-947-5000 -
10,000,000 ($204,376,000.00) Equity, (File 333-146770 - Oct. 17)
(BR. 10C)
S-8 RAINMAKER SYSTEMS INC, 900 EAST HAMILTON AVENUE, SUITE 400, CAMPBELL,
CA, 95008, 8314617299 - 0 ($5,616,800.00) Equity, (File 333-146771 -
Oct. 17) (BR. 08C)
S-3ASR MARATHON OIL CORP, P O BOX 3128, HOUSTON, TX, 77253-3128, 7136296600 -
5,507,171 ($320,352,137.07) Equity, (File 333-146772 - Oct. 17)
(BR. 04B)
S-3 RAINMAKER SYSTEMS INC, 900 EAST HAMILTON AVENUE, SUITE 400, CAMPBELL,
CA, 95008, 8314617299 - 0 ($4,619,686.00) Equity, (File 333-146773 -
Oct. 17) (BR. 08C)
N-2 TORTOISE GAS & OIL CORP, 10801 MASTIN BOULEVARD, SUITE 222,
OVERLAND PARK, KS, 66210, 913-981-1020 - 0 ($75,000,000.00) Equity,
(File 333-146774 - Oct. 17) (BR. 16)
S-3 PARALLEL PETROLEUM CORP, 1004 N. BIG SPRING, SUITE 400, MIDLAND, TX,
79701, 9156843727 - 0 ($250,000,000.00) Other, (File 333-146775 -
Oct. 17) (BR. 04C)
F-6 Giant Interactive Group Inc., 2/F NO. 29 BUILDING, 396 GUILIN ROAD,
SHANGHAI, F4, 200233, 8621 6451-5001 -
200,000,000 ($10,000,000.00) ADRs/ADSs, (File 333-146776 - Oct. 17)
(BR. 03)
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
-------------------------------------------------------------------------------------------------------
AASTROM BIOSCIENCES INC MI 8.01 10/17/07
ABBOTT LABORATORIES IL 2.02,9.01 10/17/07
Accelerated Building Concepts CORP DE 4.01,9.01 10/17/07 AMEND
Accredited Mortgage Loan REIT Trust MD 5.02 10/11/07
AGILYSYS INC OH 5.02 10/12/07
AIRNET SYSTEMS INC OH 8.01,9.01 10/15/07
ALLERGAN INC DE 2.01,9.01 10/16/07
ALLIANCE DATA SYSTEMS CORP DE 2.02,7.01,9.01 10/17/07
ALLOY INC DE 5.03,9.01 10/11/07
ALLSTATE CORP DE 2.02,9.01 10/17/07
Alternative Loan Trust 2007-J1 7.01,9.01 10/17/07
ALTRIA GROUP, INC. VA 2.02,9.01 10/17/07
AMANASU TECHNOLOGIES CORP NV 5.02 10/17/07 AMEND
AMB PROPERTY CORP MD 2.02,8.01,9.01 10/16/07
AMERICAN AIRLINES INC DE 2.02,9.01 10/17/07
AMERICAN MEDIA OPERATIONS INC DE 2.02,9.01 10/17/07
AMERICAN TONERSERV CORP. DE 8.01 10/11/07
AMPCO PITTSBURGH CORP PA 2.02 09/30/07
AMPHENOL CORP /DE/ DE 2.02,9.01 10/17/07
AMR CORP DE 2.02,9.01 10/17/07
AMYLIN PHARMACEUTICALS INC DE 2.02,9.01 10/17/07
APRIA HEALTHCARE GROUP INC DE 1.01,9.01 10/13/07
APTARGROUP INC DE 2.02,5.02,9.01 10/17/07
ARENA PHARMACEUTICALS INC DE 2.02,9.01 10/17/07
Argo Group International Holdings, Lt 5.02,9.01 10/17/07
ARIBA INC DE 5.02 10/11/07
ASAP SHOW, INC. NV 4.01,9.01 08/13/07
ASAP SHOW, INC. NV 5.02 10/13/07
Aspreva Pharmaceuticals CORP A1 2.02,9.01 10/16/07
ATLANTIC COAST FEDERAL CORP X1 8.01,9.01 10/12/07
Atlantic Southern Financial Group, In 2.02,9.01 10/17/07
AUXILIUM PHARMACEUTICALS INC 7.01,9.01 10/17/07
AVANT IMMUNOTHERAPEUTICS INC DE 5.02 10/16/07
AVIATION UPGRADE TECHNOLOGIES INC 8.01 10/12/07
AVOCENT CORP DE 2.02,9.01 10/17/07
Avro Energy Inc. NV 1.01,3.02,9.01 10/01/07
BAR HARBOR BANKSHARES ME 8.01 10/17/07
BARE ESCENTUALS INC DE 5.02,9.01 10/17/07
BBM HOLDINGS, INC. UT 2.01,5.02,5.03,8.01,9.01 10/16/07
BEACH FIRST NATIONAL BANCSHARES INC SC 2.02,9.01 10/16/07
BELL INDUSTRIES INC /NEW/ CA 8.01,9.01 10/15/07
BIOANALYTICAL SYSTEMS INC IN 1.01,9.01 10/11/07
BJs RESTAURANTS INC CA 8.01,9.01 10/16/07
BLACK & DECKER CORP MD 7.01,9.01 10/17/07
BlackRock Inc. DE 2.02,9.01 10/17/07
BlackRock Kelso Capital CORP DE 1.01,9.01 10/17/07 AMEND
BOEING CO DE 5.02 10/16/07
BRINKS CO VA 5.02,9.01 10/16/07
BROOKFIELD HOMES CORP DE 1.01,9.01 10/11/07
BSD MEDICAL CORP DE 7.01,9.01 10/17/07
CALIFORNIA PIZZA KITCHEN INC DE 8.01,9.01 10/17/07
CALLAWAY GOLF CO DE 2.02,9.01 10/17/07
CAVIUM NETWORKS, INC. 2.02,9.01 10/17/07
Central Iowa Energy, LLC IA 7.01,9.01 10/17/07
CENTRAL VALLEY COMMUNITY BANCORP CA 2.02,9.01 10/16/07
CHAMPION ENTERPRISES INC MI 2.02,9.01 10/16/07
CHAMPION INDUSTRIES INC WV 5.03,9.01 10/15/07
China Agri-Business, Inc. MD 8.01 10/11/07
CHL Mortgage Pass-Through Trust 2007- 8.01,9.01 09/28/07
CIT GROUP INC DE 1.01,2.02,5.02,7.01,8.01,9.01 10/17/07
CIT GROUP INC DE 8.01,9.01 10/16/07
CITIBANK CREDIT CARD ISSUANCE TRUST DE 8.01,9.01 10/17/07
CITRIX SYSTEMS INC DE 2.02 10/17/07
CITY NATIONAL CORP DE 2.02 10/17/07
CKRUSH, INC. DE 3.02,8.01 10/12/07
CLEARWIRE CORP 7.01,9.01 10/17/07
CLEVELAND CLIFFS INC OH 8.01 10/15/07
CME GROUP INC. DE 1.01,9.01 10/12/07
CNB CORP /MI/ MI 8.01 10/16/07
Cobalis Corp NV 8.01 10/12/07
COCA COLA CO DE 2.02,9.01 10/17/07
CODORUS VALLEY BANCORP INC PA 2.02,9.01 10/16/07
COLONIAL BANCGROUP INC DE 2.02,7.01,9.01 10/17/07
COMERICA INC /NEW/ DE 2.02,7.01,9.01 10/17/07
Community Bancorp NV 8.01,9.01 10/12/07
COMMUNITY CAPITAL CORP /SC/ SC 2.02 10/17/07
COMPUTER TASK GROUP INC NY 7.01,9.01 10/17/07
CORINTHIAN COLLEGES INC 8.01 10/17/07
CORTEX PHARMACEUTICALS INC/DE/ DE 1.01,5.02,7.01,9.01 10/16/07
COUNTERPATH CORP NV 5.03,7.01,9.01 10/15/07
COUNTERPATH CORP NV 1.01,2.01,3.02,5.02,9.01 08/02/07 AMEND
COUSINS PROPERTIES INC GA 1.01,2.03,9.01 10/16/07
CREATIVE VISTAS INC AZ 2.01,9.01 10/11/07
CROWN HOLDINGS INC PA 2.02,9.01 10/16/07
CRYO CELL INTERNATIONAL INC DE 2.02,9.01 10/17/07
CRYOCOR INC DE 8.01,9.01 10/17/07
CSB BANCORP INC /OH OH 2.02,9.01 10/16/07
CUBIST PHARMACEUTICALS INC DE 1.01,9.01 10/15/07
CUBIST PHARMACEUTICALS INC DE 2.02,9.01 10/17/07
DANA CORP VA 1.01 10/17/07
DCP Midstream Partners, LP DE 8.01,9.01 10/17/07
DCP Midstream Partners, LP DE 8.01,9.01 10/17/07
DELTA AIR LINES INC /DE/ DE 1.01,2.03,9.01 10/11/07
Denarii Resources Inc. NV 1.01,3.02,9.01 09/28/07
DEVRY INC DE 7.01,9.01 10/17/07
DIVERSIFIED FUTURES FUND L.P. DE 4.01 10/15/07
DIVERSIFIED FUTURES TRUST I DE 4.01 10/15/07
DONNELLEY R H INC DE 8.01,9.01 10/17/07
DOWNEY FINANCIAL CORP DE 2.02,9.01 09/30/07
DPL INC OH 7.01,9.01 10/16/07
DRI CORP NC 7.01,9.01 10/17/07
E TRADE FINANCIAL CORP DE 2.02,7.01,9.01 10/17/07
EBAY INC DE 2.02,9.01 10/17/07
ELECTRONIC CLEARING HOUSE INC NV 5.02,9.01 10/11/07
Emrise CORP DE 1.01,9.01 10/05/07
ENERGIZER HOLDINGS INC MO 1.01,2.03,9.01 10/15/07
Energtek 5.02 10/15/07
ENERGY CONVERSION DEVICES INC DE 5.02,5.03,9.01 10/11/07
Energy Future Holdings Corp /TX/ TX 5.02,7.01,9.01 10/17/07
ENTERGY CORP /DE/ DE 2.02,9.01 10/17/07
ENTERPRISE FINANCIAL SERVICES CORP DE 2.02,9.01 10/16/07
EPOD International Inc 4.01 10/17/07
ERIE INDEMNITY CO PA 5.02 10/17/07 AMEND
eTelecare Global Solutions, Inc. 5.02 10/11/07
EXACT SCIENCES CORP DE 7.01,9.01 10/16/07
EXELIXIS INC DE 8.01 10/16/07
EXELON CORP PA 8.01,9.01 10/17/07
EXOTACAR, INC. NV 8.01 10/12/07
EXPONENT INC DE 2.02,7.01,9.01 10/17/07
FARMERS CAPITAL BANK CORP KY 2.02,9.01 10/16/07
FEDERAL SIGNAL CORP /DE/ DE 2.01,9.01 08/06/07 AMEND
FIDELITY BANCORP INC PA 8.01,9.01 10/17/07
FINANCIAL INSTITUTIONS INC NY 8.01,9.01 10/16/07
FIRST ALBANY COMPANIES INC NY 2.05 10/17/07
FIRST BUSEY CORP /NV/ NV 2.01,9.01 07/31/07
FIRST BUSEY CORP /NV/ NV 2.01,9.01 07/31/07 AMEND
FIRST CASH FINANCIAL SERVICES INC DE 2.02 10/17/07
FIRST COMMONWEALTH FINANCIAL CORP /PA PA 5.02 10/15/07
FIRST INDIANA CORP IN 8.01,9.01 09/17/07
FIRST SOUTH BANCORP INC /VA/ VA 2.02,9.01 10/17/07
FIRSTCITY FINANCIAL CORP DE 1.01,9.01 10/11/07
FLUSHING FINANCIAL CORP DE 2.02,9.01 09/30/07
FMG ACQUISITION CORP DE 8.01,9.01 10/16/07
Ford Credit Auto Owner Trust 2007-B DE 8.01,9.01 10/17/07
FORGENT NETWORKS INC DE 8.01,9.01 10/15/07
FULTON FINANCIAL CORP PA 2.02,9.01 10/16/07
FUTURES STRATEGIC TRUST DE 4.01 10/15/07
GANNETT CO INC /DE/ DE 2.02,9.01 09/30/07
GATEWAY FINANCIAL HOLDINGS INC NC 7.01,9.01 10/16/07
GCI INC AK 1.01 10/15/07
GENERAL COMMUNICATION INC AK 1.01 10/15/07
GENTA INC DE/ DE 8.01,9.01 10/17/07
GEOKINETICS INC DE 7.01,9.01 10/17/07
GMAC LLC DE 2.05,9.01 10/17/07
GOTTSCHALKS INC DE 4.01,9.01 10/10/07 AMEND
GRAPHIC PACKAGING CORP DE 1.01,2.06,9.01 10/16/07
GREAT ATLANTIC & PACIFIC TEA CO INC MD 2.02,9.01 10/17/07
GREATER COMMUNITY BANCORP NJ 2.02,7.01,9.01 10/17/07
GS FINANCIAL CORP LA 7.01 10/16/07
GS FINANCIAL CORP LA 7.01 10/16/07
HarborView 2007-7 DE 8.01,9.01 10/02/07
HEALTHCARE SERVICES GROUP INC PA 2.02,9.01 10/16/07
HEALTHWAYS, INC DE 2.02,9.01 10/17/07
HEARUSA INC DE 5.02 10/12/07 AMEND
HEMACARE CORP /CA/ CA 2.04 09/19/07
HERCULES OFFSHORE, INC. DE 7.01,9.01 10/17/07
Heritage Financial Group DC 2.02,5.02,8.01,9.01 10/16/07
HERLEY INDUSTRIES INC /NEW DE 2.02,9.01 10/12/07
HILTON HOTELS CORP DE 1.01,3.03,9.01 10/16/07
HINES REAL ESTATE INVESTMENT TRUST IN 9.01 08/01/07 AMEND
HLTH CORP DE 2.02,7.01,8.01,9.01 10/16/07
HRPT PROPERTIES TRUST MD 5.03,8.01,9.01 10/16/07
HUMAN PHEROMONE SCIENCES INC CA 8.01,9.01 10/17/07
Huntsman CORP DE 8.01,9.01 10/16/07
HUSKER AG LLC NE 2.03 10/15/07
HydroGen CORP NV 7.01,9.01 10/17/07
I2 TELECOM INTERNATIONAL INC WA 1.01,8.01,9.01 10/17/07
IDO Security Inc. NV 1.01,2.03 10/11/07
ILLINOIS TOOL WORKS INC DE 2.02,9.01 09/30/07
IMATION CORP DE 2.02,7.01,9.01 10/17/07
IMMUNOGEN INC MA 8.01,9.01 10/17/07
IMPERIAL SUGAR CO /NEW/ TX 8.01,9.01 10/08/07
IMS HEALTH INC DE 2.02,9.01 10/17/07
Information Services Group Inc. DE 8.01,9.01 10/17/07 AMEND
Information Services Group Inc. DE 7.01,9.01 10/17/07 AMEND
INFOUSA INC DE 1.01,5.02,9.01 10/12/07
INFRABLUE (US) INC. NV 1.01,9.01 10/12/07
ING USA ANNUITY & LIFE INSURANCE CO IA 9.01 10/11/07
ING USA ANNUITY & LIFE INSURANCE CO IA 9.01 10/11/07
Ingen Technologies, Inc. 3.02 06/01/07
INLAND REAL ESTATE CORP MD 8.01,9.01 10/17/07
INTEGRATED ELECTRICAL SERVICES INC DE 5.02,9.01 10/16/07
INTEGRATED SECURITY SYSTEMS INC DE 5.02,8.01,9.01 10/15/07
INTEL CORP DE 5.02 10/16/07
INTERNATIONAL BUSINESS MACHINES CORP NY 2.02 10/16/07
INTERPHARM HOLDINGS INC DE 3.01,8.01,9.01 10/16/07
INTERSIL CORP/DE DE 2.02,7.01,9.01 10/17/07
INTERVEST BANCSHARES CORP DE 2.02,9.01 10/17/07
IRONCLAD PERFORMANCE WEAR CORP 5.02 10/11/07
ISIS PHARMACEUTICALS INC DE 1.01,9.01 10/14/07
ISLAND PACIFIC INC DE 2.02,7.01,9.01 10/15/07
IsoRay, Inc. MN 1.01,9.01 10/12/07
J P MORGAN CHASE & CO DE 2.02,9.01 10/17/07
J P MORGAN CHASE & CO DE 9.01 10/15/07
JACKSONVILLE BANCORP INC IL 5.03,9.01 10/16/07
JOE'S JEANS INC. DE 1.01,5.02,8.01,9.01 10/11/07
JOHNSONDIVERSEY HOLDINGS INC DE 1.01,1.02 10/11/07
KAL ENERGY INC DE 1.01,3.02,9.01 06/10/07
KBS Real Estate Investment Trust, Inc MD 8.01 09/17/07
KELLWOOD CO DE 8.01,9.01 10/17/07
KENMAR GLOBAL TRUST DE 4.01 10/15/07
Kimball Hill, Inc. IL 2.02,9.01 10/17/07
KINDER MORGAN ENERGY PARTNERS L P DE 2.02,9.01 09/30/07
KNIGHT CAPITAL GROUP, INC. DE 2.02,7.01,9.01 10/17/07
KNOLL INC DE 2.02,5.02,9.01 10/17/07
KV PHARMACEUTICAL CO /DE/ DE 5.02 10/11/07
L & L FINANCIAL HOLDINGS INC NV 4.01 03/01/06 AMEND
L & L FINANCIAL HOLDINGS INC NV 1.01,2.01,2.02,9.01 10/30/06 AMEND
LABOR READY INC WA 2.02,9.01 10/17/07
LAKELAND BANCORP INC NJ 2.02,8.01,9.01 10/17/07
LANDAUER INC DE 1.01,2.03,9.01 10/11/07
LANDRYS RESTAURANTS INC 2.02,9.01 10/17/07
LaPorte Bancorp, Inc. X1 2.01,5.02,8.01,9.01 10/12/07
LASALLE HOTEL PROPERTIES MD 2.02,9.01 10/17/07
LCNB CORP OH 2.02,8.01,9.01 10/17/07
LECROY CORP DE 2.02,9.01 10/17/07
LEGGETT & PLATT INC MO 2.02,9.01 10/17/07
LEHMAN BROTHERS HOLDINGS INC DE 9.01 10/16/07
LEVEL 3 COMMUNICATIONS INC DE 5.02,8.01,9.01 10/15/07
Liberty Global, Inc. 7.01 10/17/07
LINEAR TECHNOLOGY CORP /CA/ DE 2.02,9.01 10/16/07
Live Nation, Inc. DE 3.02 10/16/07
LUFKIN INDUSTRIES INC TX 2.01,9.01 10/17/07
lululemon athletica inc. DE 5.02,9.01 10/17/07
MANCHESTER INC 8.01,9.01 10/12/07
MANNATECH INC TX 1.01,5.02,9.01 10/11/07
MANNKIND CORP 5.02,9.01 10/10/07 AMEND
MANOR CARE INC DE 8.01,9.01 10/17/07
MANPOWER INC /WI/ WI 2.02,9.01 10/17/07
MARSHALL & ILSLEY CORP/WI/ WI 2.02,9.01 10/17/07
MASSBANK CORP DE 5.03,9.01 10/16/07
MAVERICK OIL & GAS, INC. 3.02,8.01,9.01 10/15/07
MB FINANCIAL INC /MD MD 2.02 09/30/07
MBT FINANCIAL CORP MI 2.02,9.01 10/17/07
MEDICINES CO /DE DE 1.01,2.03 10/11/07
MEDTOX SCIENTIFIC INC DE 2.02,9.01 10/16/07
Mercantile Bancorp, Inc. DE 8.01,9.01 10/16/07
MERIX CORP OR 1.01,3.03,5.03,9.01 10/16/07
MESA ROYALTY TRUST/TX TX 8.01 10/10/07
METROCORP BANCSHARES INC 3.01 10/16/07
MGI PHARMA INC MN 2.02,9.01 10/17/07
MGIC INVESTMENT CORP WI 2.02,7.01,9.01 10/17/07
MGIC INVESTMENT CORP WI 2.06 07/26/07 AMEND
MICHAELS STORES INC DE 2.05 10/16/07
MONEYGRAM INTERNATIONAL INC 2.02 10/17/07
Monogram Biosciences, Inc. DE 1.01 10/12/07
MONSANTO CO /NEW/ DE 5.02,9.01 10/11/07
Morgans Hotel Group Co. DE 2.03,3.02,8.01,9.01 10/11/07
MOTIVE INC DE 5.02 10/16/07
MOVIE GALLERY INC DE 1.01,1.03,2.04,8.01,9.01 10/16/07
MOVIE GALLERY INC DE 5.02,9.01 10/11/07
NATHANIEL ENERGY CORP NV 5.02 10/16/07
NATIONAL COAL CORP FL 3.02 10/11/07
NATIONAL ENERGY SERVICES CO INC NV 2.02,7.01,9.01 10/16/07
NATIONAL PENN BANCSHARES INC PA 2.02,7.01 10/16/07
NAVIGANT CONSULTING INC DE 2.02,9.01 10/17/07
NeoStem, Inc. DE 8.01 10/02/07
NETSCOUT SYSTEMS INC DE 1.01,9.01 10/11/07
NEVADA GOLD & CASINOS INC NV 5.03,9.01 10/17/07
NEW CENTURY EQUITY HOLDINGS CORP DE 5.02,8.01 10/15/07
NEWPARK RESOURCES INC DE 1.01 10/11/07
NISOURCE INC/DE DE 8.01 10/16/07
NL INDUSTRIES INC NJ 1.01,9.01 10/17/07
NORTH AMERICAN SCIENTIFIC INC 3.01,9.01 10/15/07
NORTHERN TRUST CORP DE 2.02,9.01 10/17/07
NORTHWEST AIRLINES CORP DE 9.01 10/17/07
NORTHWEST BANCORPORATION INC WA 2.02 10/17/07
NORWOOD FINANCIAL CORP PA 2.02,9.01 10/17/07
NUTRITION 21 INC NY 5.02,9.01 10/15/07
NVE CORP /NEW/ MN 2.02 10/17/07
ONCOR ELECTRIC DELIVERY CO LLC DE 8.01 10/08/07
ORIENTAL FINANCIAL GROUP INC PR 1.01,9.01 10/05/07
PANTRY INC DE 2.02,7.01,9.01 10/17/07
Paramount Acquisition Corp DE 8.01,9.01 10/17/07
PARTNERS TRUST FINANCIAL GROUP INC 2.02 09/30/07
PATAPSCO BANCORP INC MD 2.02 10/16/07
PDL BIOPHARMA, INC. DE 2.05 08/28/07 AMEND
PEABODY ENERGY CORP DE 2.05,5.02,9.01 10/16/07
People's United Financial, Inc. DE 2.01,7.01,9.01 04/11/07 AMEND
PeopleSupport, Inc. DE 1.01 10/11/07
PETROLEUM DEVELOPMENT CORP NV 5.03 10/17/07
PFGI CAPITAL CORP MD 2.02,8.01,9.01 10/17/07
PFGI CAPITAL CORP MD 5.02,9.01 10/17/07
PHILLIPS VAN HEUSEN CORP /DE/ DE 7.01 10/16/07
PHYTOMEDICAL TECHNOLOGIES INC NV 5.02 10/11/07
PINNACLE FINANCIAL PARTNERS INC TN 2.02,9.01 10/16/07
PIPER JAFFRAY COMPANIES 2.02,9.01 10/17/07
PLUMAS BANCORP CA 8.01,9.01 10/17/07
POLYCOM INC DE 5.02 10/11/07
POLYCOM INC DE 2.02,9.01 10/17/07
PRINCIPAL LIFE INSURANCE CO IA 9.01 10/12/07
PRINCIPAL LIFE INSURANCE CO IA 9.01 10/12/07
PROVIDENT COMMUNITY BANCSHARES, INC. 5.03,9.01 10/16/07
PSB Holdings, Inc. 2.02,9.01 10/17/07
pSivida LTD C3 8.01,9.01 10/17/07
PUBLIC SERVICE CO OF OKLAHOMA OK 8.01,9.01 10/17/07
QUEST RESOURCE CORP NV 1.01,5.03,7.01,9.01 10/13/07
QUEST SOFTWARE INC CA 5.02 10/15/07
R H DONNELLEY CORP DE 8.01,9.01 10/17/07
R H DONNELLEY CORP DE 1.01,2.03,9.01 10/17/07
R H DONNELLEY CORP DE 8.01,9.01 10/17/07
RAINIER PACIFIC FINANCIAL GROUP INC WA 2.02,9.01 10/17/07
RAMBUS INC DE 8.01,9.01 10/17/07
RANCHER ENERGY CORP. NV 1.01,2.03,7.01,9.01 10/17/07
RANGE RESOURCES CORP DE 8.01,9.01 10/17/07
RAYONIER INC NC 1.01,2.03,3.02,9.01 10/11/07
RED HAT INC DE 5.02,9.01 10/11/07
RELIABILITY INC TX 1.01,2.01,9.01 10/17/07
RENASANT CORP MS 2.02,5.03,9.01 10/16/07
Renegy Holdings, Inc. DE 7.01,9.01 10/16/07
REPROS THERAPEUTICS INC. DE 8.01,9.01 10/16/07
RESIDENTIAL CAPITAL, LLC DE 2.05,9.01 10/17/07
RLI CORP IL 2.02,9.01 10/16/07
ROOMLINX INC NV 5.02 10/12/07
ROYAL MINES & MINERALS CORP NV 4.01,9.01 10/05/07 AMEND
RURAL/METRO CORP /DE/ DE 1.01,2.02,9.01 10/17/07
RYDER SYSTEM INC FL 5.02,9.01 10/12/07
RYERSON INC. DE 8.01,9.01 10/17/07
RYLAND GROUP INC MD 1.01,9.01 10/17/07
S Y BANCORP INC KY 2.02,9.01 10/17/07
SCRIPPS E W CO /DE OH 8.01,9.01 10/16/07
SEAGATE TECHNOLOGY E9 8.01,9.01 10/16/07
SENESCO TECHNOLOGIES INC DE 3.02,9.01 10/16/07
SEQUIAM CORP CA 1.01,5.02,9.01 10/15/07
Silver State Bancorp 8.01,9.01 10/16/07
SINOBIOMED INC DE 5.02,8.01,9.01 10/12/07
SKY PETROLEUM, INC. NV 4.01,9.01 10/11/07
SOLITARIO RESOURCES CORP CO 1.01,7.01,9.01 10/17/07
Solo Cup CO DE 2.01,5.02,8.01,9.01 10/15/07
SONIC INNOVATIONS INC DE 8.01 10/17/07
SOURCE INTERLINK COMPANIES INC DE 2.01,9.01 10/17/07 AMEND
SOUTH SHORE RESOURCES INC. 7.01,9.01 10/16/07
Southridge Technology Group, Inc. DE 5.02 10/11/07
SOUTHWESTERN ENERGY CO DE 1.01 10/12/07
SOVEREIGN BANCORP INC PA 2.02,9.01 10/17/07
SPARTAN STORES INC MI 2.02,9.01 10/17/07
Spectrum Brands, Inc. WI 8.01,9.01 10/17/07
ST MARY LAND & EXPLORATION CO DE 2.02,9.01 10/16/07
STAKTEK HOLDINGS INC DE 5.02,9.01 10/12/07
Stanley-Martin Communities, LLC DE 1.01,9.01 10/12/07
StarVox Communications, Inc. /DE/ DE 2.04,7.01 10/15/07
STRATEGIC HOTELS & RESORTS, INC 8.01,9.01 10/17/07
STRYKER CORP MI 2.02,9.01 10/17/07
SUN-TIMES MEDIA GROUP INC DE 5.02 07/31/07 AMEND
SWIFT ENERGY CO 2.01 09/04/07
SYNERGY BRANDS INC DE 3.01 10/17/07
Synutra International, Inc. DE 1.01,2.03,9.01 10/11/07
Tarpon Industries, Inc. MI 1.01,9.01 10/12/07
Teleconnect Inc. OK 4.01 10/15/07
THERAVANCE INC DE 7.01,9.01 10/17/07
THOMAS & BETTS CORP TN 1.01,2.03,9.01 10/16/07
THOMAS GROUP INC DE 7.01,9.01 10/17/07
THORNBURG MORTGAGE INC MD 2.02,9.01 10/16/07
THQ INC DE 1.01 10/12/07
TIFFANY & CO DE 8.01 10/17/07
TORCHMARK CORP DE 2.02,9.01 10/17/07
TOWER FINANCIAL CORP IN 9.01 10/17/07
TRANSOCEAN INC E9 5.02,8.01 10/15/07
TRANSWITCH CORP /DE DE 5.03,9.01 10/11/07
TRIZETTO GROUP INC DE 5.02 10/12/07
TVI CORP MD 1.01,2.03,9.01 10/12/07
U.S. Auto Parts Network, Inc. DE 5.02 10/12/07
UNITED TECHNOLOGIES CORP /DE/ DE 2.02,8.01,9.01 10/17/07
UNIVERSAL FOREST PRODUCTS INC MI 2.02,9.01 10/17/07
Uranium Hunter CORP NV 8.01,9.01 10/11/07
USA TECHNOLOGIES INC PA 3.02 10/17/07
USANA HEALTH SCIENCES INC UT 2.02,9.01 10/16/07
VAIL RESORTS INC DE 5.02 10/11/07
VAXGEN INC DE 1.01,9.01 10/11/07
Virgin Mobile USA, Inc. DE 1.01,5.02,5.03,9.01 10/16/07
VIRGINIA COMMERCE BANCORP INC 2.02,7.01,9.01 10/17/07
VOXWARE INC DE 5.02,5.03,9.01 10/11/07
WASHINGTON GROUP INTERNATIONAL INC DE 8.01 10/17/07
WASHINGTON MUTUAL, INC WA 2.02,9.01 10/17/07
WD 40 CO DE 2.02,9.01 10/17/07
WebMD Health Corp. DE 2.02,7.01,8.01,9.01 10/16/07
WEBSENSE INC DE 1.01,9.01 10/11/07
WESBANCO INC WV 2.02,9.01 10/17/07
WEST COAST BANCORP /NEW/OR/ OR 2.02,9.01 10/16/07
WEST CORP DE 2.02,9.01 10/17/07
Western Dubuque Biodiesel, LLC IA 8.01 10/15/07
WORLD ENERGY SOLUTIONS, INC. FL 8.01 10/17/07
WORLD MONITOR TRUST II SERIES D DE 4.01 10/15/07
WORLD MONITOR TRUST II SERIES E DE 4.01 10/15/07
WORLD MONITOR TRUST II SERIES F DE 4.01 10/15/07
World Monitor Trust III DE 4.01 10/15/07
Wornick CO DE 1.01,9.01 10/15/07
XENOPORT INC DE 1.01 10/12/07
XEROX CORP NY 5.02,9.01 10/11/07
http://www.sec.gov/news/digest/2007/dig101807.htm
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