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SEC NEWS DIGEST
Issue 2007-211 November 1, 2007
COMMISSION ANNOUNCEMENTS
SECURITIES AND EXCHANGE COMMISSION SUSPENDS TRADING OF BIMS RENEWABLE
ENERGY, INC., FOR FAILURE TO MAKE REQUIRED PERIODIC FILINGS
On November 1, the Securities and Exchange Commission announced the
temporary suspension of trading of the securities of BIMS Renewable
Energy, Inc. (n/k/a Tung Ding Resources, Inc. (symbol TGDR))
commencing at 9:30 a.m., E.D.T. on Nov. 1, 2007, and terminating at
11:59 p.m. EST on Nov. 14, 2007.
The Commission temporarily suspended trading of the securities of BIMS
Renewable Energy, Inc. due to a lack of current and accurate
information about the company because it has not filed periodic
reports with the Commission for almost three years. This order was
entered pursuant to Section 12(k) of the Securities Exchange Act of
1934.
The Commission cautions brokers, dealers, shareholders and prospective
purchasers that they should carefully consider the foregoing
information along with all other currently available information and
any information subsequently issued by the company.
Brokers and dealers should be alert to the fact that, pursuant to
Exchange Act Rule 15c2-11, at the termination of the trading
suspension, no quotation may be entered relating to the securities of
the subject company unless and until the broker or dealer has strictly
complied with all of the provisions of the rule. If any broker or
dealer is uncertain as to what is required by the rule, it should
refrain from entering quotations relating to the securities of the
company until such time as it has familiarized itself with the rule
and is certain that all of its provisions have been met. Any broker or
dealer with questions regarding the rule should contact the staff of
the Securities and Exchange Commission in Washington, D.C. at (202)
551-5720. If any broker or dealer enters any quotation which is in
violation of the rule, the Commission will consider the need for
prompt enforcement action. (Rel. 34-56727)
ENFORCEMENT PROCEEDINGS
COMMISSION ORDERS HEARINGS ON REGISTRATION REVOCATION AGAINST BIMS
RENEWABLE ENERGY, INC., FOR FAILURE TO MAKE REQUIRED PERIODIC FILINGS
On November 1, the Commission issued an order instituting public
administrative proceedings to determine whether to revoke or suspend
for a period not exceeding twelve months the registration of each
class of the securities of BIMS Renewable Energy, Inc. (n/k/a Tung
Ding Resources, Inc.), symbol TGDR, for failure to make required
periodic filings with the Commission.
In the Order, the Division of Enforcement alleges that the issuer is
delinquent in its periodic filings with the Commission. In this
proceeding, instituted pursuant to Exchange Act Section 12(j), a
hearing will be scheduled before an Administrative Law Judge. At the
hearing, the judge will hear evidence from the Division and the
respondent to determine whether the allegations of the Division
contained in the Order, which the Division alleges constitute
violations of Exchange Act Section 13(a) and Rules 13a-1 and 13a-13
thereunder, are true. The judge in the proceeding will then determine
whether the registration of the securities of the respondent pursuant
to Section 12 of the Exchange Act should be revoked or suspended for a
period not exceeding twelve months. The Commission ordered that the
Administrative Law Judge in this proceeding issue an initial decision
not later than 120 days from the date of service of the order
instituting proceedings. (Rel. 34-56728; File No. 3-12883)
PROCEEDINGS INSTITUTED AGAINST MAXIMUM DYNAMICS, INC. FOR FAILURE TO
MAKE REQUIRED PERIODIC FILINGS
On November 1, the Commission issued an Order Instituting Proceedings
and Notice of Hearing Pursuant to Section 12(j) of the Securities
Exchange Act of 1934 against Maximum Dynamics, Inc. to determine
whether the registration of each class of its securities should be
revoked or suspended for a period not exceeding twelve months based on
its failure to file required periodic reports.
The Division of Enforcement alleges that Maximum has failed to comply
with Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13
thereunder because Maximum has not filed any periodic reports with the
Commission since it filed a Form 10-QSB for the period ended Sept. 30,
2004, in December 2004.
A hearing will be scheduled before an Administrative Law Judge to
determine whether the allegations of the Division contained in the
Order are true, to provide Maximum an opportunity to respond to these
allegations, and to determine whether Maximum's registration should be
suspended for a period not exceeding twelve months, or revoked,
pursuant to Section 12(j) of the Exchange Act. As directed by the
Commission, the Administrative Law Judge shall issue an initial
decision in this matter not later than 120 days from the date of
service of the Order. (Rel. 34-56729; File No. 3-12884)
INVESTMENT COMPANY ACT RELEASES
RAFFERTY ASSET MANAGEMENT, ET AL.
A notice has been issued giving interested persons until November 26
to request a hearing on an application filed by Rafferty Asset
Management, et al., for an order under Section 12(d)(1)(J) of the
Investment Company Act for exemption from Sections 12(d)(1)(A) and (B)
of the Act and under Sections 6(c) and 17(b) of the Act for an
exemption from Section 17(a) of the Act. The order would permit
certain management investment companies and unit investment trusts
registered under the Act to acquire shares of certain open end
management investment companies registered under the Act, that are
outside of the same group of investment companies as the acquiring
investment companies. (Rel. IC-28039 - October 30)
MYSHARES TRUST, ET AL.
A notice has been issued giving interested persons until November 26
to request a hearing on an application filed by MyShares Trust, et
al., for an order to permit (a) series of registered open-end
management investment companies, whose portfolios will consist of the
securities of equity securities indices to issue shares that can be
redeemed only in large aggregations, (b) secondary market transactions
in shares of the series to occur at negotiated prices, (c) dealers to
sell the series' shares to purchasers in the secondary market
unaccompanied by a prospectus when prospectus delivery is not required
by the Securities Act of 1933, and (d) certain affiliated persons of
the series to deposit securities into, and receive securities from,
the series. (Rel. IC-28040 - October 31)
INVESTMENT ADVISERS ACT RELEASES
FRANKLIN PORTFOLIO ASSOCIATES, LLC AND THE HIRTLE CALLAGHAN TRUST
An order has been issued to Franklin Portfolio Associates, LLC and The
Hirtle Callaghan Trust, granting relief from Section 205 of the
Investment Advisers Act and Rule 205-1 there under. The order permits
Franklin to charge a performance fee based on the performance of that
portion of a trust portfolio managed by Franklin (Franklin Account).
The order further permits the applicants, 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-2674)
IRONBRIDGE CAPITAL MANAGEMENT LP AND THE HIRTLE CALLAGHAN TRUST
An order has been issued to IronBridge Capital Management LP and The
Hirtle Callaghan Trust, granting relief from Section 205 of the
Investment Advisers Act and Rule 205-1 thereunder. The order permits
IronBridge to charge a performance fee based on the performance of
that portion of a trust portfolio managed by IronBridge (IronBridge
Account). The order further permits the applicants, 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-2675)
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A proposed rule change filed by the New York Stock Exchange relating
to Rule Rule 80A (Index Arbitrage Trading Restrictions) (SR-NYSE-2007-
96) 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 November 4. (Rel. 34-56726)
PROPOSED RULE CHANGES
The NASDAQ Stock Market filed a proposed rule change (SR-NASDAQ-2007-
085) under Rule 19b-4 of the Securities Exchange Act of 1934 amending
Nasdaq's membership application rules. Publication is expected in the
Federal Register during the week of November 5. (Rel. 34-56722)
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.
F-9 TECK COMINCO LTD, 200 BURRARD STREET STE 600,
VANCOUVER BRITISH COLUMBIA CANADA, V6C 3L9, A1, 604 687 1117 -
2,500,000,000 ($2,500,000,000.00) Debt, (File 333-147032 - Oct. 31)
(BR. 04C)
S-3 BABYUNIVERSE, INC., 150 SOUTH U.S. HIGHWAY ONE, SUITE 500, JUPITER, FL,
33477, 561-277-6400 - 1,126,357 ($12,660,253.00) Equity,
(File 333-147033 - Oct. 31) (BR. 02A)
S-8 NETWORK APPLIANCE INC, 495 EAST JAVA DR, SUNNYVALE, CA, 94089,
4088226000 - 8,800,000 ($268,048,000.00) Equity, (File 333-147034 -
Oct. 31) (BR. 03A)
S-8 AMERIRESOURCE TECHNOLOGIES INC, 3440 E. RUSSELL ROAD, SUITE 217,
LAS VEGAS, NV, 89120, 702-214-4245 -
1,000,000,000 ($500,000.00) Equity, (File 333-147035 - Oct. 31)
(BR. 02A)
SB-2 Avatar Ventures Corp., POSTAL CODE 130021, BOX 2225,
MING DE ROAD POST OFFICE, CHAO YANG, CHANG CHUN, F4, 1300006,
133-0448-6866 - 2,500,000 ($25,000.00) Equity, (File 333-147037 -
Oct. 31) (BR. 05)
S-4 China Cablecom Holdings, Ltd., 17 STATE STREET, SUITE 1600, NEW YORK,
NY, 10004, 212-888-8890 - 14,850,001 ($127,215,100.00) Equity,
(File 333-147038 - Oct. 31) (BR. 11)
N-2 MVC CAPITAL, INC., RIVERVIEW AT PURCHASE, 287 BOWMAN AVENUE, 3RD FLOOR,
PURCHASE, NY, 10577, 914-701-0310 - 0 ($250,000,000.00) Other,
(File 333-147039 - Oct. 31) (BR. 18)
S-8 CORNING NATURAL GAS CORP, 330 W WILLIAM ST, P O BOX 58, CORNING, NY,
14830, 6079363755 - 100,000 ($1,539,250.00) Equity, (File 333-147040 -
Oct. 31) (BR. 02A)
S-8 Canadian Solar Inc., XIN ZHUANG INDUSTRY PARK, CHANGSHU, SUZHOU,,
JIANGSU, F4, 215562, (85-512) 6269-6010 -
2,582,810 ($17,754,390.00) Equity, (File 333-147042 - Oct. 31) (BR. 10)
S-8 Patriot Coal CORP, 710 MARKET STREET, ST. LOUIS, MO, 63101,
(314) 342-3400 - 3,600,000 ($133,560,000.00) Equity, (File 333-147043 -
Oct. 31) (BR. 04A)
SB-2 Ingen Technologies, Inc., 35193 AVENUE A, SUITE C, YUCAIPA, CA, 92399,
800-259-9622 - 14,142,068 ($593,966.00) Equity, (File 333-147044 -
Oct. 31) (BR. 06C)
SB-2 Teen Education Group, Inc., 70707 FRANK SINATRA DRIVE, UNIT 59,
RANCHO MIRAGE, CA, 92270, 702-248-1027 - 250,000 ($25,000.00) Equity,
(File 333-147045 - Oct. 31) (BR. 11)
SB-2 UBIQUITECH SOFTWARE CORP, 7730 EAST BELLEVIEEW AVE, #A202, ENGLEWOOD,
CO, 80111, 118,000 ($29,500.00) Equity, (File 333-147046 - Oct. 31)
(BR. 03)
SB-2 SOMERSET INTERNATIONAL GROUP,INC., 90 WASHINGTON VALLEY ROAD, -,
BEDMINSTER, NJ, 07921, 9087198909 - 3,199,602 ($351,956.00) Equity,
(File 333-147047 - Oct. 31) (BR. 11C)
S-3ASR ANHEUSER-BUSCH COMPANIES, INC., ONE BUSCH PL, ST LOUIS, MO, 63118-1852,
3145772000 - 0 ($0.00) Debt, (File 333-147048 - Oct. 31) (BR. 09B)
S-8 PUBLIX SUPER MARKETS INC, 3300 PUBLIX CORPORATE PARKWAY, LAKELAND, FL,
33811, 863-688-1188 - 35,000,000 ($731,500,000.00) Equity,
(File 333-147049 - Oct. 31) (BR. 02C)
F-3 OXFORD INVESTMENTS HOLDINGS INC, 1315 LAWRENCE AVE. EAST, SUITE 520,
TORONTO, A6, M3A 3R3, 416-510-8351 - 4,395,000 ($879,000.00) Equity,
(File 333-147050 - Oct. 31) (BR. 03A)
S-8 MAGNA ENTERTAINMENT CORP, 337 MAGNA DRIVE, AURORA, ONTARIO CANADA, A6,
L4G 7K1, 9057262462 - 2,000,000 ($4,840,000.00) Equity,
(File 333-147051 - Oct. 31) (BR. 05B)
SB-2 PACIFIC GOLD CORP, 465 SOUTH MEADOWS PARKWAY, SUITE 20, RENO, NV,
89521, 888-257-4193 - 7,767,289 ($959,074.68) Equity,
(File 333-147052 - Oct. 31) (BR. 04A)
S-3 United States Oil Fund, LP, 1320 HARBOR BAY PARKWAY, SUITE 145,
ALMADEDA, CA, 94502, (800) 394-5064 -
30,000,000 ($1,974,900,000.00) Equity, (File 333-147054 - Oct. 31)
(BR. 08A)
S-3 SINGING MACHINE CO INC, 6601 LYONS ROAD, BLDG A-7, COCONUT CREEK, FL,
33073, 9545961000 - 12,876,531 ($4,274,255.23) Equity,
(File 333-147055 - Oct. 31) (BR. 11B)
SB-2 Golf Alliance CORP, 12926 MOREHEAD, CHAPEL HILL, NC, 27517,
919-969-2982 - 800,000 ($80,000.00) Equity, (File 333-147056 - Oct. 31)
(BR. 05)
S-8 CARPENTER TECHNOLOGY CORP, 2 MERIDIAN BOULEVARD, WYOMISSING, PA, 19612,
6102082000 - 500,000 ($69,225,000.00) Equity, (File 333-147057 -
Oct. 31) (BR. 06B)
S-8 BLUEPHOENIX SOLUTIONS LTD, 8 MASKIT STREET, HERZLIA, L3, 46120,
972-9-952-6110 - 905,000 ($4,502,500.00) Equity, (File 333-147058 -
Oct. 31) (BR. 03C)
S-8 CARPENTER TECHNOLOGY CORP, 2 MERIDIAN BOULEVARD, WYOMISSING, PA, 19612,
6102082000 - 23,000,000 ($318,435,000.00) Equity, (File 333-147059 -
Oct. 31) (BR. 06B)
S-8 SAVVIS, Inc., 1 SAVVIS PARKWAY, TOWN & COUNTRY, MO, 63017,
314-628-7000 - 400,000 ($13,748,000.00) Equity, (File 333-147060 -
Oct. 31) (BR. 03A)
S-1 COMSCORE, INC., 11465 SUNSET HILLS ROAD, SUITE 200, RESTON, VA, 20190,
703-438-2000 - 0 ($255,494,201.00) Equity, (File 333-147061 - Oct. 31)
(BR. 03)
S-8 EXELIXIS INC, 6508252200 - 0 ($62,826,660.00) Equity,
(File 333-147063 - Oct. 31) (BR. 01C)
S-8 NETLOGIC MICROSYSTEMS INC, 1875 CHARLESTON ROAD, MOUNTAIN VIEW, CA,
94043, 6509616676 - 1,029,770 ($31,263,817.20) Equity,
(File 333-147064 - Oct. 31) (BR. 10B)
S-3 VERTICALNET INC, 400 CHESTER FIELD PARKWAY, MALVERN, PA, 19355,
2153286100 - 0 ($1,479,000.00) Equity, (File 333-147065 - Oct. 31)
(BR. 03C)
S-4 Targa Resources, Inc., TARGA RESOURCES PARTNERS LP,
1000 LOUISIANA STREET, SUITE 4300, HOUSTON, TX, 77002, 713-584-1000 -
0 ($250,000,000.00) Other, (File 333-147066 - Oct. 31) (BR. )
S-3ASR GLOBAL INDUSTRIES LTD, P O BOX 442, 8000 GLOBAL DRIVE, SULPHUR, LA,
70664, 3375835083 - 0 ($325,000,000.00) Debt Convertible into Equity,
(File 333-147067 - Oct. 31) (BR. 04A)
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
-----------------------------------------------------------------------------------------------------------
ABINGTON BANCORP, INC./PA PA 2.02,9.01 10/30/07
ACADIA REALTY TRUST MD 2.02,9.01 10/29/07
ACROSS AMERICA REAL ESTATE CORP CO 1.01,2.03,9.01 10/31/07
ACURA PHARMACEUTICALS, INC NY 2.04,5.03,9.01 10/30/07
ADAPTEC INC DE 1.01,5.02,5.03,9.01 10/26/07
ADAPTEC INC DE 2.02,9.01 10/31/07
ADDVANTAGE TECHNOLOGIES GROUP INC OK 7.01 10/31/07
ADOLOR CORP 2.02,9.01 10/30/07
ADVANCE AUTO PARTS INC DE 2.02,9.01 10/31/07
AFFILIATED COMPUTER SERVICES INC DE 8.01,9.01 10/30/07
ALLIED WASTE INDUSTRIES INC DE 2.02,9.01 09/30/07
Alpha Natural Resources, Inc. DE 2.02,9.01 10/31/07
AMERICAN AIRLINES INC DE 7.01 10/31/07
AMERICAN CAMPUS COMMUNITIES INC MD 2.02,7.01,9.01 10/30/07
AMERICAN CAPITAL STRATEGIES LTD 2.02,9.01 10/30/07
American Caresource Holdings, Inc. DE 5.02 10/25/07
AMERICAN DAIRY INC UT 1.01,9.01 10/25/07
AMERICAN ENERGY PRODUCTION INC 5.02 10/24/07
AMERICAN EQUITY INVESTMENT LIFE HOLDI IA 7.01,9.01 10/31/07
AMERICAN MOLD GUARD INC 2.02,9.01 10/31/07
AMERICAN POST TENSION, INC. DE 4.01,9.01 04/16/07
AMERICAN SOIL TECHNOLOGIES INC NV 3.02,9.01 10/31/07
AMERICAN SUPERCONDUCTOR CORP /DE/ DE 2.05 10/25/07
Ames True Temper, Inc. DE 5.02,9.01 10/29/07
AMICAS, Inc. DE 2.02,9.01 10/31/07
AMICUS THERAPEUTICS INC DE 2.02,9.01 10/31/07
AMR CORP DE 7.01 10/31/07
AMYLIN PHARMACEUTICALS INC DE 5.02,5.03,9.01 10/29/07
AMYLIN PHARMACEUTICALS INC DE 8.01,9.01 10/31/07
ANDERSONS INC OH 2.02 10/31/07
ANDREW CORP DE 2.02,8.01,9.01 10/30/07
ANGIODYNAMICS INC DE 5.02,9.01 10/29/07
AON CORP DE 2.02,2.05,9.01 10/31/07
APPLEBEES INTERNATIONAL INC DE 7.01,9.01 10/31/07
APPLIANCE RECYCLING CENTERS OF AMERIC MN 8.01,9.01 10/23/07
APPLIANCE RECYCLING CENTERS OF AMERIC MN 2.02,9.01 10/25/07
APRIA HEALTHCARE GROUP INC DE 2.02,9.01 10/30/07
ARBINET THEXCHANGE INC DE 5.03,9.01 08/21/07
ARISTOTLE CORP DE 2.02,9.01 10/31/07
Ascend Acquisition Corp. DE 1.01,7.01,9.01 07/30/07 AMEND
ASHFORD HOSPITALITY TRUST INC MD 2.02,9.01 10/31/07
ASTA FUNDING INC DE 5.03,9.01 10/30/07
ATHERSYS, INC / NEW DE 1.01,5.03,9.01 10/30/07
ATLANTIC COAST FEDERAL CORP X1 2.02,9.01 10/31/07
ATWOOD OCEANICS INC TX 7.01,9.01 10/31/07
AURELIO RESOURCE CORP NV 8.01 10/31/07
AUXILIUM PHARMACEUTICALS INC 2.02,9.01 10/31/07
Avalon Oil & Gas, Inc. CO 5.02 10/30/07
AVANT IMMUNOTHERAPEUTICS INC DE 2.02,9.01 10/31/07
AVENTINE RENEWABLE ENERGY HOLDINGS IN DE 2.02,9.01 10/30/07
AVISTA CORP WA 2.02,9.01 10/31/07
AZZ INC TX 7.01,9.01 10/30/07
BACK YARD BURGERS INC DE 8.01,9.01 10/30/07
Bank of Marin Bancorp CA 5.02,9.01 10/26/07
Bank of the Carolinas CORP NC 2.02,8.01,9.01 10/31/07
BARE ESCENTUALS INC DE 2.02,9.01 10/31/07
Bear Stearns Structured Products Inc. DE 8.01,9.01 10/31/07
BEHRINGER HARVARD SHORT TERM OPPORTUN TX 7.01,9.01 10/31/07
BERKSHIRE HILLS BANCORP INC 2.02,9.01 10/29/07
BERRY PETROLEUM CO DE 2.02,9.01 10/31/07
BIG LOTS INC OH 2.03,8.01,9.01 10/25/07
BIO BRIDGE SCIENCE INC DE 7.01,9.01 10/31/07
BIOSTEM, INC. NV 3.02,5.02,8.01,9.01 10/12/07
BLACK GAMING, LLC 1.01,9.01 10/26/07
BOYD GAMING CORP NV 2.02,9.01 10/31/07
BPI Energy Holdings, Inc. 5.02,9.01 10/31/07
BRAINTECH INC NV 1.01,3.02,5.02,8.01,9.01 10/22/07
BRE PROPERTIES INC /MD/ MD 2.02,8.01,9.01 10/30/07
BRINKS CO VA 2.02,9.01 10/31/07
BRINKS CO VA 7.01 10/31/07
Britton International Inc. NV 2.01,8.01 10/02/07 AMEND
Brooklyn Federal Bancorp, Inc. X1 2.02,8.01,9.01 10/30/07
BROOKS AUTOMATION INC DE 5.02 10/26/07
BUCKEYE VENTURES, INC. NV 8.01 10/31/07
CACI INTERNATIONAL INC /DE/ DE 9.01 10/31/07
CALGON CARBON CORPORATION DE 5.02 10/30/07
CALIFORNIA WATER SERVICE GROUP DE 2.02,9.01 10/31/07
CAMDEN NATIONAL CORP ME 2.02,9.01 10/31/07
CAPITAL CORP OF THE WEST CA 8.01,9.01 10/29/07
CAPITAL GROWTH SYSTEMS INC /FL/ FL 1.01,3.02,9.01 10/31/07
CARGO CONNECTION LOGISTICS HOLDING, I FL 2.04,9.01 10/26/07
CARPENTER TECHNOLOGY CORP DE 2.02,9.01 10/31/07
CARPENTER TECHNOLOGY CORP DE 7.01,9.01 10/25/07
CASELLA WASTE SYSTEMS INC DE 7.01,9.01 10/31/07
Centennial Bank Holdings, Inc. DE 1.01,2.02,5.02,5.03,7.01,9.01 10/26/07
CENTERPOINT ENERGY INC 5.03,9.01 10/25/07
CH2M HILL COMPANIES LTD OR 2.01,9.01 09/07/07 AMEND
CHAMPION ENTERPRISES INC MI 1.01,9.01 10/25/07
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 10/31/07
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 10/31/07
CHEMED CORP DE 2.02,9.01 10/30/07
CHESAPEAKE ENERGY CORP OK 7.01,9.01 10/30/07
CHICAGO BRIDGE & IRON CO N V 2.02,9.01 10/31/07
CHINA SUN GROUP HIGH-TECH CO NC 2.02,7.01,9.01 10/30/07
CHIQUITA BRANDS INTERNATIONAL INC NJ 2.05,5.02,9.01 10/25/07
CHITTENDEN CORP /VT/ VT 8.01,9.01 10/31/07
CHYRON CORP NY 1.01 10/26/07
CIMAREX ENERGY CO DE 7.01,9.01 10/30/07
CITIBANK CREDIT CARD ISSUANCE TRUST DE 8.01,9.01 10/31/07
CITIGROUP INC DE 1.01,8.01,9.01 10/31/07
Citigroup Mortgage Loan Trust 2007-10 9.01 10/31/07
Citigroup Mortgage Loan Trust 2007-WF 9.01 07/25/07
CLARIENT, INC DE 2.02,9.01 10/30/07
CLECO CORP LA 2.02,9.01 09/30/07
CLIFTON SAVINGS BANCORP INC 2.02,9.01 10/31/07
CLOROX CO /DE/ DE 2.02,7.01,9.01 10/31/07
CNET NETWORKS INC DE 1.01,2.01,9.01 10/25/07
COCA COLA CO DE 8.01,9.01 10/29/07
COCONNECT INC NV 5.02 10/31/07
COEUR D ALENE MINES CORP ID 8.01,9.01 10/30/07
COLE KENNETH PRODUCTIONS INC NY 5.02 10/31/07
COLUMBIA BANCORP \OR\ OR 5.02 10/29/07
COLUMBUS VENTURES INC. NV 4.01 10/29/07
COMBINATORX, INC DE 2.02,9.01 10/31/07
COMMERCE GROUP INC /MA MA 1.01,8.01,9.01 10/30/07
COMMONWEALTH BIOTECHNOLOGIES INC VA 3.03,9.01 10/29/07
COMMUNITY BANKSHARES INC /SC/ SC 2.02,9.01 10/30/07
COMMUNITY FINANCIAL SHARES INC DE 2.02,9.01 10/31/07
CommunitySouth Financial CORP SC 2.02,9.01 10/25/07
COMSCORE, INC. DE 2.02,9.01 10/31/07
COMSCORE, INC. DE 8.01,9.01 10/31/07
Comverge, Inc. DE 9.01 10/04/07 AMEND
CONOLOG CORP DE 2.02,9.01 10/29/07
CONSECO INC DE 7.01,9.01 10/31/07
CONSOLIDATED GRAPHICS INC /TX/ TX 2.02,7.01,9.01 10/31/07
CONSOLIDATED GRAPHICS INC /TX/ TX 2.02,9.01 10/31/07
CONSTELLATION ENERGY GROUP INC MD 2.02,8.01,9.01 10/30/07
CONTINENTAL MATERIALS CORP DE 1.01,2.03,9.01 10/23/07
COOPER COMPANIES INC DE 5.02 10/25/07
CRESTED CORP CO 7.01,8.01,9.01 10/30/07
CRITICAL PATH INC CA 1.01,3.03,9.01 10/26/07
Crocs, Inc. 2.02,9.01 10/31/07
CROSS COUNTRY HEALTHCARE INC DE 2.02,7.01,9.01 10/25/07
CROWN CASTLE INTERNATIONAL CORP DE 2.02,9.01 10/30/07
CUISINE SOLUTIONS INC DE 1.01,5.02,5.03,9.01 10/25/07
CYBERSOURCE CORP DE 5.03,9.01 10/29/07
CYTOKINETICS INC 2.02,9.01 10/31/07
CYTRX CORP DE 5.02 10/26/07
DANAHER CORP /DE/ DE 8.01,9.01 10/31/07
DATAMEG CORP DE 8.01 10/07/07
DAYTON POWER & LIGHT CO OH 8.01,9.01 10/30/07
DELPHI CORP DE 7.01,9.01 10/30/07
DICE HOLDINGS, INC. DE 2.02,9.01 10/31/07
DIONEX CORP /DE CA 2.02,9.01 09/30/07
DISTRIBUTED ENERGY SYSTEMS CORP DE 5.02 10/31/07
DNB FINANCIAL CORP /PA/ PA 2.02,9.01 10/31/07
DOBSON COMMUNICATIONS CORP OK 8.01,9.01 10/30/07
DOMINION HOMES INC OH 1.01,9.01 10/29/07
DONALDSON CO INC DE 7.01 10/30/07
DPL INC OH 2.02,7.01,8.01,9.01 10/30/07
DreamWorks Animation SKG, Inc. 1.01,5.02,9.01 10/25/07
Dresser-Rand Group Inc. DE 2.02,9.01 10/30/07
DRI CORP NC 7.01,9.01 10/31/07
DSP GROUP INC /DE/ DE 2.02,9.01 10/31/07
Duke Energy CORP DE 1.01,1.02,5.02,9.01 10/25/07
DURA AUTOMOTIVE SYSTEMS INC DE 7.01,9.01 09/30/07
DXP ENTERPRISES INC TX 5.02 10/30/07
DYNCORP INTERNATIONAL INC. DE 2.02,9.01 10/31/07
DYNEX CAPITAL INC VA 2.02,9.01 10/31/07
E ENERGY ADAMS LLC 7.01,9.01 10/31/07
E-Z-EM, Inc. DE 1.01,9.01 10/31/07
EASYLINK SERVICES INTERNATIONAL CORP DE 4.01,9.01 10/26/07 AMEND
EBIX INC DE 2.02,9.01 10/31/07
Echo Healthcare Acquisition Corp. DE 8.01 10/30/07
ECOSPHERE TECHNOLOGIES INC FL 1.01,5.02 10/25/07
EDGAR ONLINE INC DE 2.02,9.01 10/30/07
EDISON INTERNATIONAL CA 5.02,9.01 10/25/07
ELECTRO ENERGY INC FL 3.02,9.01 10/25/07
Electronic Sensor Technology, Inc 5.02,9.01 09/10/07
EMCORE CORP NJ 5.02 10/30/07
EMERSON RADIO CORP DE 5.02,9.01 10/25/07
EMISPHERE TECHNOLOGIES INC DE 8.01,9.01 10/31/07
Employers Holdings, Inc. NV 8.01,9.01 10/31/07
EN POINTE TECHNOLOGIES INC DE 1.01 10/29/07 AMEND
ENCORE ACQUISITION CO DE 2.02,9.01 10/31/07
Encore Energy Partners LP DE 2.02,5.02,9.01 10/29/07
ENDOCARE INC DE 2.02,9.01 10/31/07
ENDURANCE SPECIALTY HOLDINGS LTD 2.02,9.01 10/31/07
ENERGIZER HOLDINGS INC MO 2.02 10/30/07
Energy Future Holdings Corp /TX/ TX 1.01,1.02,2.03,9.01 10/25/07
ENERGY PARTNERS LTD DE 8.01,9.01 10/30/07
ENTERPRISE BANCORP INC /MA/ MA 2.02,7.01,9.01 10/31/07
ENTERTAINMENT PROPERTIES TRUST MD 1.01,2.02,2.03,9.01 10/26/07
EQUITY ONE, INC. 2.02,7.01,9.01 10/30/07
EQUITY RESIDENTIAL MD 2.02,9.01 10/30/07
EQUITY RESIDENTIAL MD 5.02 10/30/07
ERIE INDEMNITY CO PA 2.02,9.01 10/31/07
ev3 Inc. DE 2.02,9.01 10/31/07
EXAR CORP DE 2.02,8.01,9.01 10/31/07
EXCEL TECHNOLOGY INC DE 5.03,9.01 10/29/07
EXPLORATIONS GROUP INC DE 3.02 10/16/07
FAMOUS DAVES OF AMERICA INC MN 2.02,9.01 10/31/07
FARO TECHNOLOGIES INC FL 2.02,7.01,9.01 10/30/07
Federal Home Loan Bank of Topeka 7.01,8.01,9.01 10/26/07
FEDERAL REALTY INVESTMENT TRUST MD 2.02,9.01 10/31/07
FEDERAL TRUST CORP FL 2.02,9.01 10/30/07
FERRO CORP OH 7.01,9.01 10/31/07
FFD FINANCIAL CORP/OH OH 2.02,9.01 10/30/07
FIFTH THIRD BANCORP OH 8.01,9.01 10/30/07
FINOTEC GROUP INC NV 5.02 10/07/07
FIRST ALBANY COMPANIES INC NY 9.01 10/31/07
FIRST BANCSHARES INC /MO/ MO 2.02,9.01 10/31/07
First California Financial Group, Inc DE 7.01,8.01,9.01 10/29/07
FIRST CENTURY BANKSHARES INC WV 2.02,8.01,9.01 10/31/07
FIRST CONSULTING GROUP INC DE 8.01,9.01 10/30/07
FIRST FEDERAL BANCSHARES OF ARKANSAS TX 2.02,9.01 10/31/07
FIRST FEDERAL BANKSHARES INC DE 5.03,9.01 10/25/07
FIRST POTOMAC REALTY TRUST MD 2.02,7.01,9.01 10/30/07
Fitmedia Inc. DE 1.01,5.02,9.01 10/26/07
FLAGSTAR BANCORP INC MI 2.02,9.01 10/30/07
FOOT LOCKER INC NY 1.01,9.01 10/26/07
FORWARD AIR CORP TN 5.02 10/31/07
Foundation Coal Holdings, Inc. DE 2.02,9.01 10/31/07
Fox Chase Bancorp Inc X1 2.02,9.01 10/30/07
FOX PETROLEUM INC. NV 3.02,9.01 10/26/07
Freedom Acquisition Holdings, Inc. DE 8.01,9.01 10/31/07
Freedom Acquisition Holdings, Inc. DE 1.01 10/30/07
FREEPORT MCMORAN COPPER & GOLD INC DE 8.01,9.01 10/31/07
FROZEN FOOD EXPRESS INDUSTRIES INC TX 2.02,9.01 10/30/07
FUEGO ENTERTAINMENT, INC. NV 5.02 10/30/07
FUSHI INTERNATIONAL INC NV 1.01,3.02,3.03,7.01,9.01 10/30/07
FUSHI INTERNATIONAL INC NV 5.02,7.01,8.01,9.01 10/29/07
GARMIN LTD 2.02,5.02,8.01,9.01 10/31/07
GENCO SHIPPING & TRADING LTD 2.02,9.01 10/31/07
GENERAL CABLE CORP /DE/ DE 2.02,9.01 10/31/07
GENERAL GROWTH PROPERTIES INC DE 2.02,7.01,9.01 10/31/07
GENERAL MARITIME CORP/ 2.02,9.01 10/31/07
GEODYNE ENERGY INCOME LTD PARTNERSHIP OK 2.01,9.01 10/10/07 AMEND
GEODYNE ENERGY INCOME LTD PARTNERSHIP OK 2.01,9.01 10/10/07 AMEND
GEODYNE ENERGY INCOME LTD PARTNERSHIP OK 2.01,9.01 10/10/07 AMEND
GEODYNE INSTITUTIONAL PENSION ENERGY OK 2.01,9.01 10/10/07 AMEND
GEODYNE INSTITUTIONAL PENSION ENERGY TX 2.01,9.01 10/10/07 AMEND
GEORESOURCES INC CO 7.01,9.01 10/30/07
GEOVIC MINING CORP. DE 7.01,9.01 10/31/07
GERON CORP DE 2.02,9.01 10/30/07
GIGA TRONICS INC CA 2.02,9.01 10/30/07
GLADSTONE INVESTMENT CORPORATION\DE DE 2.02,9.01 10/31/07
GLOBALSANTAFE CORP 7.01,9.01 10/31/07
GOAMERICA INC DE 2.03,8.01,9.01 10/30/07
GOODRICH CORP NY 7.01,9.01 10/31/07
GRANITE CITY FOOD & BREWERY LTD MN 2.02,9.01 10/30/07
GRANITE CITY FOOD & BREWERY LTD MN 5.02,8.01,9.01 10/30/07
GRANT PRIDECO INC DE 1.01,9.01 10/29/07
GULF RESOURCES, INC. DE 1.01,2.01,7.01,9.01 10/25/07
HANOVER INSURANCE GROUP, INC. DE 2.02,8.01,9.01 10/29/07 AMEND
HARLEYSVILLE GROUP INC DE 2.02,9.01 10/31/07
HARMAN INTERNATIONAL INDUSTRIES INC / DE 1.01,9.01 10/30/07
HAWAIIAN HOLDINGS INC DE 8.01,9.01 10/30/07
Healthsport, Inc. DE 8.01,9.01 10/30/07
HealthSpring, Inc. DE 2.02,9.01 10/30/07
HeartWare LTD C3 2.02,7.01,9.01 10/31/07
HELIX ENERGY SOLUTIONS GROUP INC MN 2.02,7.01,9.01 10/31/07
HERBALIFE LTD. E9 8.01,9.01 10/30/07
HESS CORP DE 2.02,9.01 10/31/07
HEXCEL CORP /DE/ DE 8.01 10/29/07
HIGHWOODS PROPERTIES INC MD 2.02,9.01 10/30/07
HINES REAL ESTATE INVESTMENT TRUST IN 1.01,2.03,8.01,9.01 10/25/07
HOLLY ENERGY PARTNERS LP DE 1.01,9.01 08/27/07
HORACE MANN EDUCATORS CORP /DE/ DE 2.02,9.01 10/31/07
HORIZON FINANCIAL CORP WA 5.02,9.01 10/30/07
Horizon Lines, Inc. 2.02,7.01,8.01,9.01 10/26/07
HRPT PROPERTIES TRUST MD 8.01,9.01 10/25/07
HUDSON VALLEY HOLDING CORP NY 2.02,8.01,9.01 10/30/07
HUNTINGTON BANCSHARES INC/MD MD 9.01 07/01/07 AMEND
Huron Consulting Group Inc. DE 2.02,9.01 09/30/07
I FLOW CORP /DE/ DE 2.01,9.01 10/25/07
IAC/INTERACTIVECORP DE 2.02,7.01 10/31/07
ICF International, Inc. DE 7.01,9.01 10/30/07
IMERGENT INC DE 8.01,9.01 10/22/07
Impact Medical Solutions, Inc. DE 5.02,9.01 10/31/07
IMPERIAL OIL LTD 2.02,9.01 10/30/07
InfuSystem Holdings, Inc DE 1.01,2.01,2.02,2.03,5.02,5.03, 10/25/07
5.06,8.01,9.01
INNOVATIVE DESIGNS INC DE 8.01,9.01 10/30/07
INSIGHT HEALTH SERVICES HOLDINGS CORP 1.01,1.02,5.02,9.01 10/26/07
INSIGNIA SYSTEMS INC/MN MN 2.02,9.01 10/30/07
INSURE.COM, INC DE 2.02,7.01,9.01 10/31/07
INTEGRATED SECURITY SYSTEMS INC DE 5.02,8.01,9.01 10/31/07
INTERCARE DX INC CA 4.01,8.01 10/31/07
InterDigital, Inc. PA 2.02,9.01 10/31/07
InterDigital, Inc. PA 8.01 10/30/07
INTERMOST CORP UT 5.02 10/25/07
INTERNATIONAL ASSETS HOLDING CORP DE 5.02 10/31/07
INTERNATIONAL FLAVORS & FRAGRANCES IN NY 2.02,9.01 10/31/07
INVERNESS MEDICAL INNOVATIONS INC DE 2.02,9.01 10/31/07
IRON MOUNTAIN INC DE 2.02,9.01 10/31/07
IRWIN FINANCIAL CORP IN 2.02,9.01 10/31/07
Isilon Systems, Inc. DE 5.02,9.01 10/30/07
itLinkz Group, Inc. FL 2.01 10/29/07
IXI Mobile, Inc. DE 5.03,9.01 10/31/07
J P MORGAN CHASE & CO DE 9.01 10/30/07
JDS UNIPHASE CORP /CA/ DE 2.02,9.01 10/31/07
JL HALSEY CORP 5.03,9.01 10/30/07
JOE'S JEANS INC. DE 1.01,1.02,2.01,3.02,5.02,9.01 10/31/07
JONES APPAREL GROUP INC PA 2.02,7.01,9.01 10/31/07
JONES LANG LASALLE INC MD 2.02,9.01 10/31/07
KBS Real Estate Investment Trust, Inc MD 1.01,2.01 10/25/07
KENDLE INTERNATIONAL INC OH 2.02,9.01 10/31/07
KFORCE INC FL 2.02,9.01 10/30/07
KRAFT FOODS INC VA 2.02,9.01 10/31/07
KRONOS WORLDWIDE INC 5.03,9.01 10/25/07
KSW INC NY 3.01 10/29/07
LANDAMERICA FINANCIAL GROUP INC VA 8.01,9.01 10/31/07
LAWSON PRODUCTS INC/NEW/DE/ DE 2.02,9.01 10/31/07
Lazard Ltd D0 2.02,9.01 10/31/07
LECG CORP DE 1.01,5.02,8.01,9.01 10/26/07
LEMAITRE VASCULAR INC 3.01 10/26/07
LHC Group, Inc 2.02,9.01 10/31/07
Liberty Global, Inc. 2.02,7.01 10/26/07
LIBERTY MEDIA CORP 8.01,9.01 10/31/07
LIGHTPATH TECHNOLOGIES INC DE 8.01,9.01 10/31/07
LINCOLN NATIONAL CORP IN 2.02,9.01 10/30/07
LITTELFUSE INC /DE DE 7.01,9.01 10/31/07
Location Based Technologies, Inc. NV 2.01,3.02,5.01,5.02,5.06,9.01 10/11/07 AMEND
LOCKHEED MARTIN CORP MD 8.01,9.01 10/25/07
LODGENET ENTERTAINMENT CORP DE 2.02,9.01 10/30/07
LOJACK CORP MA 2.02,9.01 10/31/07
LORAL SPACE & COMMUNICATIONS INC. DE 8.01,9.01 10/31/07
LSB CORP MA 5.03,9.01 10/25/07
LTC PROPERTIES INC MD 2.02,9.01 10/31/07
MACERICH CO MD 2.02,7.01,9.01 10/31/07
MAGNETEK, INC. DE 2.02 10/31/07
MANTECH INTERNATIONAL CORP DE 2.02,7.01,9.01 10/31/07
MARKETAXESS HOLDINGS INC 2.02,9.01 10/31/07
MARTHA STEWART LIVING OMNIMEDIA INC DE 5.02 10/30/07
MASTERCARD INC DE 2.02,7.01,9.01 10/31/07
MCG CAPITAL CORP DE 2.02,9.01 10/31/07
MCG CAPITAL CORP DE 5.02,9.01 10/25/07
MEDAREX INC NJ 2.02,5.03,9.01 10/25/07
MEDIWARE INFORMATION SYSTEMS INC NY 7.01,9.01 10/31/07
MEGOLA INC 9.01 10/24/07
MEMC ELECTRONIC MATERIALS INC DE 1.01,2.03,9.01 10/25/07
MEMC ELECTRONIC MATERIALS INC DE 1.01,2.03,9.01 10/25/07
Merrill Lynch Alternative Note Asset DE 8.01,9.01 10/31/07
MESA OFFSHORE TRUST TX 2.02,9.01 10/31/07
METLIFE INC DE 2.02,9.01 10/31/07
MetLife Insurance CO of Connecticut DE 8.01,9.01 10/30/07
MetLife Life & Annuity CO of Connecti CT 8.01,9.01 10/30/07
METROCORP BANCSHARES INC 2.02 10/30/07
MHI Hospitality CORP MD 2.01,2.03,7.01,9.01 10/29/07
MIGO SOFTWARE, INC. DE 3.02 10/26/07
MONACO COACH CORP /DE/ DE 2.02,9.01 10/31/07
MORTONS RESTAURANT GROUP INC DE 5.02 10/30/07
MOTOROLA INC DE 9.01 10/29/07
MPC CORP CO 1.01,9.01 10/26/07
MyStarU.com,Inc. 4.01,5.02 10/31/07
Nalco Finance Holdings LLC 2.02,9.01 10/30/07
Nalco Holding CO 2.02,9.01 10/30/07
Nalco Holdings LLC DE 2.02,9.01 10/30/07
NARA BANCORP INC DE 5.02,9.01 10/26/07
NASB FINANCIAL INC MO 8.01 10/31/07
NATIONAL HOME HEALTH CARE CORP DE 2.02,8.01,9.01 10/29/07
NATURADE INC DE 4.01,9.01 10/25/07
Natural Nutrition Inc. NV 1.01,9.01 10/30/07
NAVTEQ CORP DE 2.02,9.01 10/31/07
NCR CORP MD 2.02,7.01,8.01,9.01 10/31/07
NEFF CORP DE 5.02 10/26/07 AMEND
NETSOL TECHNOLOGIES INC NV 2.02,9.01 10/31/07
NETWORK EQUIPMENT TECHNOLOGIES INC DE 2.02,9.01 10/31/07
NEUROBIOLOGICAL TECHNOLOGIES INC /CA/ DE 1.01,9.01 10/29/07
NEW CENTURY FINANCIAL CORP MD 5.03,9.01 10/26/07
NEWALLIANCE BANCSHARES INC 2.02,9.01 10/30/07
NEWMONT MINING CORP /DE/ DE 2.02,9.01 10/31/07
NEXIA HOLDINGS INC NV 1.01,9.01 10/29/07
NEXMED INC NV 1.01,9.01 10/26/07
NITROMED INC DE 2.02,9.01 10/31/07
NNN 2003 VALUE FUND LLC 1.01,2.01,2.03,7.01,9.01 10/25/07
NOBLE CORP 5.02 09/20/07 AMEND
NOBLE ENERGY INC DE 2.02,9.01 10/31/07
NORTH CENTRAL BANCSHARES INC IA 5.02,7.01,9.01 10/31/07
NORTH VALLEY BANCORP CA 2.02,9.01 10/30/07
NORTHWEST AIRLINES INC /MN DE 9.01 10/31/07
NOVAMED INC DE 2.02,9.01 10/31/07
NTN BUZZTIME INC DE 1.01,2.01,9.01 10/25/07
NVIDIA CORP DE 8.01 10/26/07
OFFICEMAX INC DE 5.02,5.03,8.01,9.01 10/31/07
OLIN CORP VA 2.02,9.01 10/30/07
OMNICARE INC DE 2.02,9.01 10/31/07
Omniture, Inc. DE 2.02,9.01 10/31/07
Omniture, Inc. DE 1.01,9.01 10/25/07
OPHTHALMIC IMAGING SYSTEMS CA 1.01,2.03,3.02,9.01 10/29/07
OPPENHEIMER HOLDINGS INC A6 8.01 10/30/07
ORMAT TECHNOLOGIES, INC. DE 1.01,8.01,9.01 10/30/07
OSCIENT PHARMACEUTICALS CORP MA 2.02,3.02,9.01 10/25/07
OVERSEAS SHIPHOLDING GROUP INC DE 2.02,9.01 10/29/07
PACER INTERNATIONAL INC TN 2.02,8.01,9.01 09/21/07
Pacific Asia Petroleum Inc de 1.01,9.01 10/26/07
PACIFIC CONTINENTAL CORP OR 8.01 10/29/07
PANERA BREAD CO DE 7.01,9.01 10/31/07
PARAMETRIC TECHNOLOGY CORP MA 2.02,4.02,9.01 10/29/07
PARAMETRIC TECHNOLOGY CORP MA 1.01,7.01,9.01 10/31/07
PARK OHIO HOLDINGS CORP OH 2.02,9.01 10/30/07
PDF SOLUTIONS INC DE 2.02,7.01,9.01 10/31/07
PEAK INTERNATIONAL LTD D0 2.02,9.01 10/31/07
PENN NATIONAL GAMING INC PA 2.02,9.01 10/25/07
People's United Financial, Inc. DE 5.02,9.01 10/25/07
PeopleSupport, Inc. DE 1.01 10/26/07
PERFORMANCE TECHNOLOGIES INC \DE\ DE 2.02,9.01 09/30/07
PHARMION CORP 2.02,9.01 10/31/07
PHOENIX COMPANIES INC/DE DE 2.02,9.01 10/31/07
PINNACLE FINANCIAL PARTNERS INC TN 2.03 10/31/07
PLAYLOGIC ENTERTAINMENT INC DE 2.02 10/31/07
PLEXUS CORP WI 2.02 10/31/07
PMC SIERRA INC DE 1.01,5.02,9.01 10/17/07 AMEND
POLARIS INDUSTRIES INC/MN MN 5.02,9.01 10/25/07
POLYMEDICA CORP MA 8.01 10/31/07
Polypore International, Inc. 2.02,9.01 10/30/07
Polypore International, Inc. 2.02,9.01 10/30/07
POOL CORP DE 7.01,9.01 10/31/07
POPE RESOURCES LTD PARTNERSHIP DE 8.01,9.01 10/31/07
POPE RESOURCES LTD PARTNERSHIP DE 2.02,9.01 10/31/07
POPE RESOURCES LTD PARTNERSHIP DE 8.01,9.01 10/31/07
POPE RESOURCES LTD PARTNERSHIP DE 7.01,9.01 10/31/07
POWER INTEGRATIONS INC CA 8.01 10/30/07
POWER INTEGRATIONS INC CA 2.02,9.01 10/25/07
POWERSECURE INTERNATIONAL, INC. DE 7.01,9.01 10/31/07
POWERWAVE TECHNOLOGIES INC DE 2.02,9.01 10/29/07
PPL CORP PA 2.02,7.01,9.01 10/31/07
PREFORMED LINE PRODUCTS CO OH 2.02,9.01 10/31/07
PRESSTEK INC /DE/ DE 2.05 10/25/07
PROCTER & GAMBLE CO OH 8.01 10/31/07
PROGRESS ENERGY INC NC 5.02 10/31/07
PROGRESSIVE GAMING INTERNATIONAL CORP NV 7.01,8.01,9.01 10/26/07
PROLIANCE INTERNATIONAL, INC. DE 8.01,9.01 10/25/07
PROS Holdings, Inc. DE 9.01 10/29/07 AMEND
PRUDENTIAL FINANCIAL INC NJ 2.02,7.01,9.01 10/31/07
PUBLIC CO MANAGEMENT CORP NV 1.01,3.02,7.01,9.01 09/28/07
QUAKER CHEMICAL CORP PA 2.02,9.01 10/31/07
QUALITY SYSTEMS INC CA 8.01,9.01 10/25/07
QUALITY SYSTEMS INC CA 8.01,9.01 10/25/07 AMEND
RAMBUS INC DE 2.02,9.01 10/31/07
RC2 CORP DE 2.02 10/24/07 AMEND
ReAble Therapeutics Finance LLC DE 7.01 10/31/07
REALTY INCOME CORP MD 2.02 10/31/07
REHABCARE GROUP INC DE 5.03,9.01 10/30/07
REHABCARE GROUP INC DE 2.02,7.01,9.01 10/31/07
RELIV INTERNATIONAL INC DE 2.02,9.01 10/31/07
REMINGTON ARMS CO INC/ DE 4.02 10/25/07
RENAISSANCERE HOLDINGS LTD 2.02,9.01 10/30/07
RESOURCE AMERICA INC DE 1.01,9.01 10/25/07
REX STORES CORP DE 8.01,9.01 10/31/07
RNS SOFTWARE, INC. NV 1.01,9.01 10/31/07
ROCKFORD CORP AZ 5.02,7.01,9.01 10/29/07
ROCKWELL COLLINS INC DE 2.02,7.01,9.01 10/31/07
Rockwood Holdings, Inc. DE 2.02,9.01 10/31/07
ROWAN COMPANIES INC DE 8.01,9.01 10/30/07
RTI INTERNATIONAL METALS INC OH 2.02,9.01 10/30/07
SAGEMARK COMPANIES LTD NY 5.02,9.01 10/31/07
SALISBURY BANCORP INC CT 2.02,9.01 10/30/07
SANDERSON FARMS INC MS 5.02 10/25/07
SANFILIPPO JOHN B & SON INC DE 8.01 10/25/07
SAUER DANFOSS INC DE 2.02,9.01 10/31/07
SCIENTIFIC ENERGY INC UT 1.01 10/29/07
SELIGMAN NEW TECHNOLOGIES FUND II INC MD 8.01 10/31/07
Sensata Technologies B.V. P7 2.02,9.01 10/31/07
SEQUA CORP /DE/ DE 5.02,9.01 09/05/07
SEQUENOM INC DE 2.02,9.01 10/31/07
SEQUIAM CORP CA 1.01,5.02,9.01 10/30/07
SHEARSON FINANCIAL NETWORK INC NV 5.03,9.01 10/29/07
Shire plc 5.02,9.01 10/31/07
SIGMATEL INC DE 2.02,5.02,9.01 10/29/07
SILVERLEAF RESORTS INC 2.02,9.01 10/31/07
SINCLAIR BROADCAST GROUP INC MD 2.02,9.01 10/31/07
SIRENZA MICRODEVICES INC DE 8.01,9.01 10/29/07
SKY PETROLEUM, INC. NV 4.01,9.01 10/11/07 AMEND
SL GREEN REALTY CORP MD 2.01,9.01 08/01/07 AMEND
SLM CORP DE 5.02 10/31/07
SMART BALANCE, INC. DE 7.01,9.01 10/31/07
SMITH MICRO SOFTWARE INC DE 5.03,9.01 10/29/07
SMITH MICRO SOFTWARE INC DE 2.02,9.01 10/31/07
SOLUTIA INC DE 7.01,9.01 10/31/07
SONIC SOLUTIONS/CA/ CA 2.05,8.01 10/25/07
SOUTHERN COPPER CORP/ DE 8.01 10/31/07
SOUTHWESTERN ENERGY CO DE 2.02,9.01 10/31/07
SOVRAN SELF STORAGE INC MD 2.02,9.01 10/31/07
SPAN AMERICA MEDICAL SYSTEMS INC SC 2.02,2.05,2.06,9.01 10/26/07
SPARE BACKUP, INC. DE 8.01 10/31/07
Specialty Underwriters Alliance, Inc. DE 5.02,9.01 10/26/07
SPECTRANETICS CORP DE 2.02,9.01 10/31/07
SPEEDHAUL HOLDINGS, INC. NJ 1.01,3.02,9.01 10/25/07
SPX CORP DE 8.01,9.01 10/31/07
SPX CORP DE 2.02,9.01 10/31/07
STAAR SURGICAL CO DE 1.01 10/25/07
STANDARD PARKING CORP DE 2.02,7.01 10/31/07
STANDEX INTERNATIONAL CORP/DE/ DE 5.02 10/30/07
Stanley-Martin Communities, LLC DE 2.02,9.01 10/31/07
STEPAN CO DE 2.02,9.01 10/31/07
STONE TAN CHINA ACQUISITION CORP. 8.01,9.01 10/30/07
STRATASYS INC DE 2.02,9.01 10/31/07
Structured Asset Mortgage Investments DE 9.01 10/31/07
SUBURBAN PROPANE PARTNERS LP DE 7.01,8.01,9.01 10/31/07
Super Micro Computer, Inc. CA 2.02,9.01 10/31/07
Synova Healthcare Group Inc 1.01,3.02 10/25/07
T-3 ENERGY SERVICES INC TX 1.01,2.01,2.03,9.01 10/26/07
TACTICAL AIR DEFENSE SERVICES, INC. NV 1.01,9.01 10/29/07
TANGER FACTORY OUTLET CENTERS INC NC 5.03,9.01 10/31/07
TARGET LOGISTICS INC DE 5.01,9.01 10/31/07
Tarpon Industries, Inc. MI 1.01,9.01 10/12/07 AMEND
TESCO CORP 7.01 10/29/07
TESSCO TECHNOLOGIES INC DE 2.02,9.01 10/30/07
Texas Roadhouse, Inc. DE 2.02,9.01 10/29/07
TGC INDUSTRIES INC TX 3.01,9.01 10/26/07
TIDEWATER INC DE 7.01,9.01 10/26/07
TRADESTATION GROUP INC FL 8.01,9.01 10/31/07
TRANSOCEAN INC E9 2.02,7.01,9.01 10/31/07
TRONOX INC DE 2.01,9.01 10/31/07
TRX INC/GA GA 1.01 10/29/07
TTM TECHNOLOGIES INC WA 2.02,9.01 10/31/07
TUESDAY MORNING CORP/DE DE 2.02,9.01 10/31/07
ULTRA PETROLEUM CORP 2.02,9.01 10/30/07
ULTRALIFE BATTERIES INC DE 9.01 09/28/07 AMEND
UNION DRILLING INC DE 2.02,9.01 10/30/07
UNITED STATES LIME & MINERALS INC TX 2.02,9.01 10/30/07
UNITED STATES STEEL CORP DE 2.01,9.01 10/31/07
UNITED STATIONERS INC DE 2.02,9.01 10/30/07
UNIVERSAL AMERICAN FINANCIAL CORP NY 5.02 10/25/07
Unum Group DE 2.02,2.03,2.04,7.01,8.01,9.01 10/31/07
URANIUM RESOURCES INC /DE/ DE 8.01 10/29/07
UTIX GROUP INC DE 1.02,5.02,9.01 10/25/07
UTSTARCOM INC DE 5.02,9.01 10/25/07
UWHARRIE CAPITAL CORP NC 2.02,8.01,9.01 10/31/07
VALERO ENERGY CORP/TX DE 5.02,9.01 10/25/07
VALUEVISION MEDIA INC MN 5.02,9.01 10/25/07
Vanda Pharmaceuticals Inc. DE 8.01,9.01 10/30/07
Vanda Pharmaceuticals Inc. DE 8.01,9.01 10/31/07
VARSITY GROUP INC 5.02 10/25/07
VeriChip CORP DE 2.02,9.01 10/30/07
VERTICALNET INC PA 1.01,2.02,3.02,5.02,5.03,8.01, 10/25/07
9.01
VICAL INC DE 2.02,9.01 10/31/07
VIRCO MFG CORPORATION DE 5.03,9.01 10/25/07
VIRTUSA CORP 2.02,9.01 10/31/07
VISTEON CORP DE 2.02,7.01,9.01 10/31/07
VISUAL MANAGEMENT SYSTEMS INC NV 3.02 10/25/07
VISUAL SCIENCES, INC. CA 1.01,9.01 10/25/07
VITESSE SEMICONDUCTOR CORP DE 1.01,1.02,2.01,2.03,5.02,9.01 10/25/07
Vocus, Inc. DE 8.01 10/26/07
VONAGE HOLDINGS CORP DE 1.01 10/25/07
WASHINGTON MUTUAL, INC WA 9.01 10/25/07
WASTE INDUSTRIES USA INC NC 2.02,9.01 10/30/07
WASTE MANAGEMENT INC DE 8.01,9.01 10/31/07
WCA WASTE CORP 2.02 10/31/07
WEINGARTEN REALTY INVESTORS /TX/ TX 8.01,9.01 10/26/07
WELLCARE HEALTH PLANS, INC. DE 8.01,9.01 10/26/07 AMEND
WELLS FARGO & CO/MN DE 9.01 10/31/07
WELLS REAL ESTATE INVESTMENT TRUST II MD 9.01 08/16/07 AMEND
WESTMONT RESOURCES INC. NV 4.01,9.01 10/25/07
WESTSPHERE ASSET CORP INC CO 2.01 10/31/07
WEYCO GROUP INC WI 2.02,9.01 10/30/07
WEYERHAEUSER CO WA 2.02,9.01 10/31/07
WFN CREDIT CO LLC DE 1.01,9.01 10/26/07
White River Capital Inc 2.02,9.01 10/29/07
WHITING PETROLEUM CORP DE 2.02,9.01 10/30/07
WILLIAMS SCOTSMAN INTERNATIONAL INC DE 3.01,5.01,5.02,8.01,9.01 10/31/07
WNC Housing Tax Credit Fund VI, L.P., CA 8.01,9.01 08/31/07
WOODWARD GOVERNOR CO DE 1.01,9.01 10/25/07
Wornick CO DE 1.01,9.01 10/31/07
Wright Express CORP 2.02,8.01,9.01 10/31/07
WVS FINANCIAL CORP PA 8.01 10/30/07
WYNDHAM WORLDWIDE CORP DE 2.02,5.02,7.01,9.01 10/31/07
WYNN RESORTS LTD 5.02,9.01 10/29/07
WYNN RESORTS LTD 1.01,9.01 10/25/07
ZIMMER HOLDINGS INC DE 1.01,9.01 10/25/07
http://www.sec.gov/news/digest/2007/dig110107.htm
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