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SEC NEWS DIGEST
Issue 2007-212 November 2, 2007
COMMISSION ANNOUNCEMENTS
CHANGE IN THE MEETING: DATE AND TIME CHANGE
The closed meeting scheduled for Thursday, Nov. 8, 2007, at 2:00 p.m.,
has been changed to Wednesday, Nov. 7, 2007, at 2:30 p.m.
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.
REPORT ON ADMINISTRATIVE PROCEEDINGS
The Report on Administrative Proceedings for the Period April 1, 2007,
through Sept. 30, 2007, has been issued, giving summary statistical
information on the Commission's administrative proceedings caseload.
The report is published in the SEC Docket and appears on the
Commission's website. (Rel. 34-56723)
RULES AND RELATED MATTERS
SEC PROPOSES AMENDMENTS TO RULES GOVERNING EDGAR SYSTEM: MANDATORY
ELECTRONIC SUBMISSION OF APPLICATIONS FOR ORDERS UNDER THE INVESTMENT
COMPANY ACT AND FILINGS MADE PURSUANT TO REGULATION E
The Commission has issued a release proposing to expand the types of
submissions it requires companies and other entities to submit
electronically through the Electronic Data Gathering, Analysis, and
Retrieval (EDGAR) system.
Under the proposals, the rules would be amended to make mandatory the
electronic submission on EDGAR of applications for orders under any
section of the Investment Company Act of 1940 (Investment Company Act)
and Regulation E filings of small business investment companies and
business development companies. Also, Rule 0-2 under the Investment
Company Act that would be amended to eliminate the requirement that
certain documents accompanying an application be notarized and the
requirement that applicants submit a draft notice as an exhibit to an
application.
Comments on the proposals should be submitted to the Commission on or
before Dec. 14, 2007. (Rels. 33-8859; 34-56732; IC-28042; File No. S7-
25-07; Press Rel. 2007-224)
ENFORCEMENT PROCEEDINGS
COMMISSION REVOKES REGISTRATION OF SECURITIES OF YARC SYSTEMS CORP.
FOR FAILURE TO MAKE REQUIRED PERIODIC FILINGS
On November 2, the Commission revoked the registration of each class
of registered securities of Yarc Systems Corp. (Yarc) for failure to
make required periodic filings with the Commission.
Without admitting or denying the findings in the order, except as to
jurisdiction, which it admitted, Yarc consented to the entry of an
Order Making Findings and Revoking Registration of Securities Pursuant
to Section 12(j) of the Securities Exchange Act of 1934 as to Yarc
Systems Corp. finding that it had failed to comply with Section 13(a)
of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1
and 13a-13 thereunder and revoking the registration of each class of
Yarc's securities pursuant to Section 12(j) of the Exchange Act. This
order settled the charges brought against Yarc in In the Matter of
Environmental Safeguards, Inc., et al., Administrative Proceeding File
No. 3-12735.
Brokers and dealers should be alert to the fact that Exchange Act
Section 12(j) provides, in pertinent part, as follows:
No member of a national securities exchange, broker, or dealer
shall make use of the mails or any means or instrumentality of
interstate commerce to effect any transaction in, or to induce
the purchase or sale of, any security the registration of
which has been and is suspended or revoked . . . .
For further information see Order Instituting Administrative
Proceedings and Notice of Hearing Pursuant to Section 12(j) of the
Securities Exchange Act of 1934, In the Matter of Environmental
Safeguards, Inc., et al., Administrative Proceeding File No. 3-12735,
Exchange Act Release No. 56309 (Aug. 23, 2007). (Rel. 34-56734; File
No. 3-12735)
COMMISSION REVOKES REGISTRATION OF SECURITIES OF ENVIRONMENTAL
SAFEGUARDS, INC. FOR FAILURE TO MAKE REQUIRED PERIODIC FILINGS
On November 2, the Commission revoked the registration of each class
of registered securities of Environmental Safeguards, Inc.
(Environmental Safeguards) for failure to make required periodic
filings with the Commission.
Without admitting or denying the findings in the order, except as to
jurisdiction, which it admitted, Environmental Safeguards consented to
the entry of an Order Making Findings and Revoking Registration of
Securities Pursuant to Section 12(j) of the Securities Exchange Act of
1934 as to Environmental Safeguards, Inc. finding that it had failed
to comply with Section 13(a) of the Securities Exchange Act of 1934
(Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the
registration of each class of Environmental Safeguards's securities
pursuant to Section 12(j) of the Exchange Act. This order settled the
charges brought against Environmental Safeguards in In the Matter of
Environmental Safeguards, Inc., et al., Administrative Proceeding File
No. 3-12735.
Brokers and dealers should be alert to the fact that Exchange Act
Section 12(j) provides, in pertinent part, as follows:
No member of a national securities exchange, broker, or dealer
shall make use of the mails or any means or instrumentality of
interstate commerce to effect any transaction in, or to induce
the purchase or sale of, any security the registration of
which has been and is suspended or revoked . . . .
For further information see Order Instituting Administrative
Proceedings and Notice of Hearing Pursuant to Section 12(j) of the
Securities Exchange Act of 1934, In the Matter of Environmental
Safeguards, Inc., et al., Administrative Proceeding File No. 3-12735,
Exchange Act Release No. 56309 (August 23, 2007). Rel. 34-56735; File
No. 3-12735)
SEC SUES FORMER INVITROGEN SCIENTIST FOR INSIDER TRADING
On Oct. 30, 2007, the Commission filed insider trading charges against
a former scientist of Invitrogen Corporation. The Commission's
complaint alleges that Harry H. Yim, age 45, of Vista, California
traded in Invitrogen stock immediately upon learning of non-public
information about the company's poor financial results. The complaint
further alleges that, as a result of his improper stock sales, Yim
avoided losses of approximately $79,581 that he otherwise would have
incurred from the decline in the company's stock price.
The Commission's complaint, filed in federal district court in San
Diego, California, alleges that Yim attended a company-wide, employee-
only meeting on July 7, 2004. At the meeting, Invitrogen's chief
executive officer disclosed material non-public information regarding
the company's negative financial performance. Immediately after the
meeting, according to the Commission's complaint, Yim attempted to
sell his Invitrogen stock and continued his efforts until, on July 19,
2004, he sold all the shares of Invitrogen stock he could.
On July 21, 2004, Invitrogen announced its second quarter earnings and
lowered its revenue projections for the remainder of Invitrogen's
fiscal year. After Invitrogen's July 21, 2004 earnings release,
Invitrogen's stock price fell by more than 20% and its trading volume
rose to over 14 million shares -- a 1,546% increase from the previous
day's volume. The Commission's complaint alleges that Yim avoided
losses of approximately $79,581 by selling his Invitrogen shares prior
to the July 21 earnings release.
The Commission's complaint alleges that Yim violated Section 17(a) of
the Securities Act of 1933 and Section 10(b) of the Securities
Exchange Act of 1934, and Rule 10b-5 thereunder. The Commission seeks
an order permanently enjoining Yim against future violations of the
federal securities laws, requiring Yim to pay disgorgement in the
amount of the losses avoided plus prejudgment interest on that amount,
and imposing a civil penalty. [SEC v. Harry H. Yim, Case No. 07 CV
2065 IEG (AJBx) (S.D. Cal.)] (LR-20355)
SELF-REGULATORY ORGANIZATIONS
PROPOSED RULE CHANGES
The Commission noticed a proposed rule change (SR-CBOE-2007-74), as
modified by Amendment No. 1 thereto, submitted by the Chicago Board
Options Exchange to amend Rule 6.13A to modify the Simple Auction
Liason auction process and to incorporate specific provisions for
Hybrid 3.0 classes. Publication is expected in the Federal Register
during the week of November 5. (Rel. 34-56730)
The International Securities Exchange filed a proposed rule change
(SR-ISE-2007-101) relating to a corporate transaction in which its
parent, International Securities Exchange Holdings, Inc., will become
a wholly-owned indirect subsidiary of Eurex Frankfurt AG. Publication
is expected in the Federal Register during the week of November 5.
(Rel. 34-56733)
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-8 DELTEK, INC, 13880 DULLES CORNER LANE, HERNDON, VA, 20171, 7037348606 -
0 ($83,550,914.74) Equity, (File 333-147069 - Nov. 1) (BR. 03C)
F-1 Global Ship Lease, Inc., C/O GLOBAL SHIP LEASE SERVCS, 4TH FL.,
MILLBANK BUSINESS CENTRE, MILLBANK TOWER, LONDON, X0, SW1P 4QP,
44 20 7802 5100 - 0 ($455,981,704.50) Equity, (File 333-147070 -
Nov. 1) (BR. 05B)
S-8 TOWER SEMICONDUCTOR LTD, RAMAT GAVRIEL, P O BOX 619,
MIGDAL HAEMEK 23105, L3, 97246506611 -
12,105,917 ($21,977,921.00) Equity, (File 333-147071 - Nov. 1) (BR. 10C)
S-8 MEGA MEDIA GROUP INC, 598 BROADWAY, 3RD FLOOR, NEW YORK, NY, 10012,
646-839-5500 - 5,000,000 ($1,550,000.00) Equity, (File 333-147073 -
Nov. 1) (BR. 09A)
S-8 DOW CHEMICAL CO /DE/, 2030 DOW CENTER, MIDLAND, MI, 48674-2030,
989-636-1000 - 6,000,000 ($213,420,000.00) Equity, (File 333-147074 -
Nov. 1) (BR. 06B)
S-8 API Nanotronics Corp., 505 UNIVERSITY AVENUE, SUITE 1400, TORONTO, A6,
M5G 1X3, 416-593-6543 - 0 ($15,682,500.00) Equity, (File 333-147075 -
Nov. 1) (BR. 10A)
SB-2 Great Spirits Inc, 215 N Washington Str, Monte Vista, CO, 81144,
303-793-0304 - 181,000 ($45,250.00) Equity, (File 333-147076 - Nov. 1)
(BR. 09)
F-9 ROGERS COMMUNICATIONS INC, 333 BLOOR STREET EAST, 10TH FLOOR,
TORONTO, ONTARIO, A6, M4W 1G9, 4160353532 - 0 ($2,000,000,000.00) Debt,
(File 333-147078 - Nov. 1) (BR. 11A)
SB-2 SUN OPPORTUNITY I INC, 1129 EAST 22ND STREET, BROOKLYN, NY, 11219,
718 438 6500 - 36,300,000 ($36,300,000.00) Equity, (File 333-147079 -
Nov. 1) (BR. )
S-8 FEDERAL REALTY INVESTMENT TRUST, 1626 EAST JEFFERSON STREET, ROCKVILLE,
MD, 20852-4041, 3019988100 - 0 ($131,850,000.00) Equity,
(File 333-147080 - Nov. 1) (BR. 08B)
S-8 FEDERAL REALTY INVESTMENT TRUST, 1626 EAST JEFFERSON STREET, ROCKVILLE,
MD, 20852-4041, 3019988100 - 0 ($8,790,000.00) Equity,
(File 333-147081 - Nov. 1) (BR. 08B)
S-3 ICAD INC, 98 SPIT BROOK ROAD, SUITE 100, NASHUA, NH, 03062,
603-882-5200 - 0 ($75,000,000.00) Equity, (File 333-147082 - Nov. 1)
(BR. 10B)
S-8 SIERRA MONITOR CORP /CA/, 1991 TAROB CT, MILPITAS, CA, 95035,
4082626611 - 548,521 ($817,841.50) Equity, (File 333-147083 - Nov. 1)
(BR. 10C)
SB-2 Glance, Inc., 795 FOLSOM STREET, 1ST FLOOR, SAN FRANCISCO, CA, 94107,
415-848-3030 - 22,000,000 ($440,000.00) Equity, (File 333-147084 -
Nov. 1) (BR. )
S-1 Constellation Energy Partners LLC, 111 MARKET PLACE, BALTIMORE, MD,
21202, (410) 468-3500 - 8,506,809 ($313,220,707.38) Equity,
(File 333-147085 - Nov. 1) (BR. 04C)
S-4 Asia Automotive Acquisition Corp., 2711 CENTERVILLE RD , SUITE 400,
WILMINGTON, DE, 19808, 1-248-593-8330 - 0 ($1.00) Equity,
(File 333-147086 - Nov. 1) (BR. 09)
S-8 COINSTAR INC, 1800 114TH AVENUE S E, BELLEVUE, WA, 98004, 4259438000 -
0 ($54,272,000.00) Equity, (File 333-147087 - Nov. 1) (BR. 11B)
SB-2 ITONIS INC., KLIMENTSKA 10,, 110 00 PRAGUE 1, 2N, 0000, 420 296578180 -
4,400,000 ($3,080,000.00) Equity, (File 333-147088 - Nov. 1) (BR. 03C)
S-3 SILICON GRAPHICS INC, 1500 CRITTENDEN LANE, MOUNTAIN VIEW, CA, 94043,
6509601980 - 0 ($100,000,000.00) Equity, (File 333-147090 - Nov. 1)
(BR. 03A)
S-8 ENABLE IPC CORP, 25520 AVENUE STANFORD, SUITE #311, VALENCIA, CA,
91355, 661-775-9273 - 10,000,000 ($3,200,000.00) Equity,
(File 333-147091 - Nov. 1) (BR. 10A)
S-1 Data Domain, Inc., 2300 CENTRAL EXPRESSWAY, SANTA CLARA, CA, 95050,
(408) 980-4800 - 9,775,000 ($347,208,000.00) Equity, (File 333-147092 -
Nov. 1) (BR. 03A)
S-8 Freescale Semiconductor Holdings I, Ltd., CLARENDON HOUSE,
2 CHURCH STREET, HAMILTON, D0, HM 11, 512-895-2000 -
0 ($218,545,607.00) Equity, (File 333-147093 - Nov. 1) (BR. 10B)
S-1 TRIAN ACQUISITION I CORP., 280 PARK AVENUE, 41ST FLOOR, NEW YORK, NY,
10017, 212-451-3000 - 0 ($862,500,000.00) Equity, (File 333-147094 -
Nov. 1) (BR. )
S-8 SKECHERS USA INC, 228 MANHATTAN BEACH BLVD, MANHATTAN BEACH, CA, 90266,
3103183100 - 0 ($249,900,000.00) Equity, (File 333-147095 - Nov. 1)
(BR. 09B)
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
---------------------------------------------------------------------------------------------------------
8X8 INC /DE/ DE 2.02,9.01 11/01/07
ACCELRYS, INC. DE 2.02,9.01 11/01/07
ACCESS NATIONAL CORP VA 8.01,9.01 11/01/07
ACCURIDE CORP DE 2.02,9.01 11/01/07
ADMINISTAFF INC \DE\ DE 2.02,9.01 11/01/07
Advance Nanotech, Inc. DE 8.01,9.01 10/29/07
ADVANCED CELL TECHNOLOGY, INC. DE 5.02 10/29/07
ADVANCED ENVIRONMENTAL RECYCLING TECH DE 1.01,3.02,9.01 10/29/07
ADVISORY BOARD CO DE 2.02,9.01 11/01/07
AFFILIATED COMPUTER SERVICES INC DE 2.02,9.01 11/01/07
AGILYSYS INC OH 2.02,7.01,9.01 11/01/07
AGL RESOURCES INC GA 2.02,9.01 11/01/07
ALAMO GROUP INC DE 2.02,9.01 11/01/07
Alexza Pharmaceuticals Inc. DE 2.02,9.01 11/01/07
ALKERMES INC PA 2.02,9.01 11/01/07
ALLEGHENY TECHNOLOGIES INC DE 8.01,9.01 11/01/07
ALLIANCE IMAGING INC /DE/ DE 2.02,4.02,9.01 10/29/07
ALLIANT TECHSYSTEMS INC DE 2.02,9.01 11/01/07
ALLIED MOTION TECHNOLOGIES INC CO 2.02,9.01 11/01/07
ALLTEL CORP DE 8.01,9.01 11/01/07
ALMOST FAMILY INC DE 2.01,3.02,9.01 11/01/07
ALNYLAM PHARMACEUTICALS, INC. 2.02,9.01 11/01/07
ALTRIA GROUP, INC. VA 1.01,9.01 11/01/07
AMCON DISTRIBUTING CO DE 8.01 10/28/07
American Achievement Group Holding Co DE 2.05 11/01/07
AMERICAN AIRLINES INC DE 7.01 11/01/07
AMERICAN EXPRESS CO NY 7.01 11/01/07
AMERICAN EXPRESS CREDIT CORP DE 1.01 10/26/07
AMERICAN LOCKER GROUP INC DE 5.02 10/31/07
AMERICAN MEDICAL TECHNOLOGIES INC/DE DE 5.02 11/01/07
American Reprographics CO DE 2.02,9.01 11/01/07
AMERICAN STATES WATER CO CA 8.01,9.01 10/26/07
AMERICAN SUPERCONDUCTOR CORP /DE/ DE 2.02,9.01 11/01/07
AMERICAN TOWER CORP /MA/ DE 5.02 11/01/07 AMEND
AMERISOURCEBERGEN CORP DE 2.02,8.01,9.01 11/01/07
AMERISTAR CASINOS INC NV 5.02,5.03,9.01 10/26/07
AMG OIL LTD NV 4.01,9.01 11/01/07
AMPEX CORP /DE/ DE 2.02,9.01 10/31/07
AMR CORP DE 7.01 11/01/07
AMS HEALTH SCIENCES INC OK 1.01,9.01 10/26/07
ANADYS PHARMACEUTICALS INC 2.02,9.01 11/01/07
ANAREN INC NY 2.02,9.01 11/01/07
ANESIVA, INC. DE 2.02,9.01 11/01/07
ANSYS INC DE 2.02,9.01 11/01/07
ANTIGENICS INC /DE/ DE 2.02,9.01 11/01/07
APA Enterprises, Inc. MN 8.01,9.01 11/01/07
APOLLO GOLD CORP 1.01,3.02,9.01 10/31/07
ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 11/01/07
Aspreva Pharmaceuticals CORP A1 2.02,9.01 10/31/07
ASSURANT INC 2.02 11/01/07
ATHENAHEALTH INC DE 2.02,9.01 11/01/07
ATS CORP DE 7.01,9.01 11/01/07
ATWOOD OCEANICS INC TX 1.01,1.02,2.03,9.01 10/26/07
AUDIBLE INC 2.02,9.01 11/01/07
Authorize.Net Holdings, Inc. DE 5.02 10/30/07
AUXILIUM PHARMACEUTICALS INC 7.01,9.01 11/01/07
AVALONBAY COMMUNITIES INC MD 2.02,9.01 10/31/07
AVANEX CORP DE 1.01,2.02,9.01 10/29/07
AVAYA INC DE 1.01,1.02,2.03,3.01,3.03,5.01, 10/26/07
5.02,5.03,9.01
AVVAA WORLD HEALTH CARE PRODUCTS INC NV 4.02 10/23/07
AWARE INC /MA/ MA 2.02,9.01 11/01/07
AXCELIS TECHNOLOGIES INC DE 2.02,9.01 11/01/07
BALDWIN TECHNOLOGY CO INC DE 2.02,8.01,9.01 10/30/07
Bancorp, Inc. 2.02,9.01 10/29/07
BankFinancial CORP 8.01,9.01 11/01/07
BANKRATE INC FL 2.02,9.01 11/01/07
BAR HARBOR BANKSHARES ME 2.02 11/01/07
BAUSCH & LOMB INC NY 1.01,1.02,2.03,3.01,3.03,5.01, 10/26/07
5.02,5.03,9.01
bebe stores, inc. CA 2.02,9.01 11/01/07
BECTON DICKINSON & CO NJ 2.02,9.01 11/01/07
BIG 5 SPORTING GOODS CORP DE 2.02,9.01 11/01/07
Bio-Matrix Scientific Group, Inc. DE 4.02 10/29/07
BIOJECT MEDICAL TECHNOLOGIES INC OR 2.02,9.01 10/31/07
BIOMARIN PHARMACEUTICAL INC DE 2.02,9.01 11/01/07
BIOPURE CORP DE 8.01,9.01 10/31/07
BioScrip, Inc. DE 2.02,9.01 11/01/07
BLACKBAUD INC 2.02,9.01 11/01/07
BLACKBOARD INC DE 2.02,9.01 11/01/07
BladeLogic, Inc. DE 5.02 10/30/07
BLOCKBUSTER INC DE 2.02,9.01 11/01/07
BlueLinx Holdings Inc. DE 2.02,9.01 11/01/07
Bluestar Health, Inc. CO 5.03,9.01 10/25/07
BOEING CO DE 5.02,9.01 10/28/07
BRANDYWINE REALTY TRUST MD 2.02,9.01 10/31/07
BRE PROPERTIES INC /MD/ MD 8.01,9.01 10/31/07
BREK ENERGY CORP NV 1.01,3.02,9.01 10/26/07
BRIGGS & STRATTON CORP WI 8.01,9.01 11/01/07
Bronco Drilling Company, Inc. DE 2.02,9.01 11/01/07
Bunge LTD 8.01 11/01/07
CA, INC. DE 2.02,9.01 11/01/07
CAB-TIVE ADVERTISING, INC. NV 2.01,3.02,4.01,5.01,5.02,5.06, 10/31/07
8.01,9.01
CABELAS INC DE 2.02,7.01,9.01 11/01/07
CABOT CORP DE 2.02,9.01 10/31/07
CACI INTERNATIONAL INC /DE/ DE 2.02,7.01,9.01 10/31/07
CAGLES INC GA 2.02,9.01 09/29/07
Cal Dive International, Inc. DE 2.02,7.01,9.01 10/31/07
CALLAWAY GOLF CO DE 2.02,9.01 11/01/07
CALLWAVE INC 2.02,9.01 11/01/07
CAMERON INTERNATIONAL CORP DE 2.02,9.01 11/01/07
CANO PETROLEUM, INC 2.03 10/29/07
Canyon Bancorp 2.02,9.01 10/31/07
Canyon Bancorp 8.01,9.01 10/30/07
CAPELLA EDUCATION CO 2.02,9.01 11/01/07
CAREY W P & CO LLC DE 2.02,9.01 11/01/07
Caribou Coffee Company, Inc. MN 2.02,9.01 11/01/07
CBEYOND, INC. 2.02,9.01 11/01/07
CBS CORP DE 2.02,9.01 11/01/07
CBS CORP DE 8.01,9.01 11/01/07
CELADON GROUP INC DE 5.02 10/26/07
CELL GENESYS INC DE 2.02,9.01 11/01/07
CENTILLIUM COMMUNICATIONS INC DE 2.02,9.01 11/01/07
CENTRAL EUROPEAN MEDIA ENTERPRISES LT 2.02,9.01 11/01/07
CENTRAL GARDEN & PET CO DE 5.02,9.01 10/26/07
CENTURYTEL INC LA 2.02,9.01 10/31/07
CEPHEID CA 2.02,5.02,9.01 11/01/07
CEVA INC DE 2.02,9.01 11/01/07
CHARLES & COLVARD LTD NC 1.02 10/29/07
Chartwell International, Inc. NV 8.01 10/29/07
CHECKPOINT SYSTEMS INC PA 2.02,9.01 11/01/07
CHEROKEE INTERNATIONAL CORP DE 5.02 10/29/07
CHICOS FAS INC FL 8.01,9.01 10/31/07
China Precision Steel, Inc. CO 1.01,8.01,9.01 10/31/07
CIB MARINE BANCSHARES INC WI 5.02 11/01/07
CIBER INC DE 8.01,9.01 10/31/07
CITIZENS COMMUNICATIONS CO DE 8.01,9.01 11/01/07
CITIZENS FIRST BANCORP INC DE 2.02,9.01 10/29/07
CKX, Inc. DE 8.01,9.01 10/31/07
CLEARONE COMMUNICATIONS INC UT 8.01 10/29/07
CLX INVESTMENT COMPANY, INC. CO 5.02 11/01/07
CNB CORP /SC/ SC 2.02,9.01 09/30/07
Cobalis Corp NV 5.02,9.01 10/03/07
Cogent, Inc. DE 2.02,5.03,9.01 10/29/07
COGNEX CORP MA 2.02,9.01 11/01/07
COGNIGEN NETWORKS INC CO 5.02 10/26/07
COHERENT INC DE 5.02 10/26/07
COINSTAR INC DE 2.02,9.01 11/01/07
Coley Pharmaceutical Group, Inc. DE 2.02,9.01 11/01/07
COMFORT SYSTEMS USA INC 2.02,7.01,8.01,9.01 10/31/07
COMMERCE GROUP CORP /WI/ WI 5.02 10/26/07
COMMERCIAL NATIONAL FINANCIAL CORP /P PA 2.02 11/01/07
COMMUNITY SHORES BANK CORP MI 2.02,9.01 09/30/07
COMPUTER SCIENCES CORP NV 8.01 10/31/07
COMPUTER SCIENCES CORP NV 1.01 10/28/07
CONEXANT SYSTEMS INC DE 1.01,2.02,9.01 10/31/07
CONSECO INC DE 2.02,9.01 10/31/07
CONSTELLATION ENERGY GROUP INC MD 1.01,5.02,9.01 10/31/07
CRAWFORD & CO GA 5.03,9.01 10/30/07
CRAWFORD & CO GA 2.02,9.01 11/01/07
CRDENTIA CORP DE 1.01,2.01,3.02,9.01 10/26/07
CROWN MEDIA HOLDINGS INC DE 8.01 10/29/07
CRYOLIFE INC FL 2.02,9.01 11/01/07
CVS CAREMARK CORP DE 2.02,9.01 11/01/07
CWABS Asset-Backed Certificates Trust DE 8.01,9.01 10/29/07
CYBERSOURCE CORP DE 2.01,5.02,8.01,9.01 11/01/07
CYNOSURE INC 2.02,9.01 11/01/07
DATARAM CORP NJ 5.02,9.01 11/01/07
DAVITA INC DE 2.02,9.01 11/01/07
DAYSTAR TECHNOLOGIES INC DE 8.01,9.01 10/31/07
DealerTrack Holdings, Inc. DE 2.02,9.01 11/01/07
Deli Solar (USA), Inc. NV 5.02 11/01/07
DELL INC DE 3.01 10/31/07
DELPHI CORP DE 7.01,9.01 10/31/07
DELTATHREE INC DE 2.02,9.01 11/01/07
DENBURY RESOURCES INC DE 2.02,9.01 11/01/07
DENNYS CORP DE 2.02,9.01 11/01/07
DENTSPLY INTERNATIONAL INC /DE/ DE 2.02,9.01 10/31/07
DEPOMED INC CA 2.02,9.01 11/01/07
DIGI INTERNATIONAL INC DE 2.02,9.01 11/01/07
DigitalPost Interactive, Inc. NV 1.01,9.01 10/26/07
Disaboom, Inc. CO 7.01,9.01 10/31/07
DITECH NETWORKS INC DE 2.02,9.01 11/01/07
DOMINION RESOURCES INC /VA/ VA 2.02,9.01 11/01/07
DOV PHARMACEUTICAL INC DE 1.01 10/29/07
DRESS BARN INC CT 1.01,9.01 10/31/07
DRESS BARN INC CT 2.02,9.01 11/01/07
DREW INDUSTRIES INC DE 2.02,7.01,9.01 10/31/07
DRI CORP NC 7.01,9.01 11/01/07
DUPONT E I DE NEMOURS & CO DE 8.01,9.01 11/01/07
DURECT CORP DE 2.02,9.01 11/01/07
DYAX CORP DE 1.01,9.01 10/31/07
DYNAMICS RESEARCH CORP MA 2.02,9.01 09/30/07
DYNAVAX TECHNOLOGIES CORP DE 2.02,9.01 11/01/07
EASTMAN KODAK CO NJ 2.02,9.01 11/01/07
EATON VANCE CORP MD 5.02 11/01/07
ECLIPSYS CORP DE 2.02,9.01 11/01/07
EDO CORP NY 2.02 11/01/07
Education Realty Trust, Inc. MD 2.02,7.01,9.01 10/31/07
eHealth, Inc. DE 2.02,9.01 11/01/07
EL PASO ELECTRIC CO /TX/ TX 2.02,9.01 11/01/07
ELECTRONIC ARTS INC. DE 2.02,2.05,9.01 10/29/07
ENDO PHARMACEUTICALS HOLDINGS INC DE 2.02,9.01 11/01/07
ENERGY EAST CORP NY 2.02,9.01 09/30/07
EnerLume Energy Management Corp. CO 7.01,9.01 11/01/07
EnerLume Energy Management Corp. CO 2.01,9.01 10/26/07
ENERNOC INC 2.02,9.01 11/01/07
ENPRO INDUSTRIES, INC NC 2.02,9.01 11/01/07
Enterprise GP Holdings L.P. DE 2.02,9.01 11/01/07
ENTRAVISION COMMUNICATIONS CORP DE 2.02,9.01 11/01/07
EQUIFAX INC GA 5.02,9.01 11/01/07
ERESEARCHTECHNOLOGY INC /DE/ DE 2.02,9.01 11/01/07
ESSEX PROPERTY TRUST INC MD 9.01 09/30/07
eTelecare Global Solutions, Inc. 2.02,9.01 11/01/07
EVANS BANCORP INC NY 2.02,9.01 10/31/07
Evercore Partners Inc. DE 2.02,9.01 11/01/07
EXACT SCIENCES CORP DE 7.01,9.01 10/31/07
EXXON MOBIL CORP NJ 2.02,7.01 11/01/07
Federal Home Loan Bank of Atlanta X1 2.03 10/29/07
Federal Home Loan Bank of Boston X1 2.03 10/29/07
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 10/29/07
Federal Home Loan Bank of Dallas 2.03 10/29/07
Federal Home Loan Bank of Des Moines X1 2.03,9.01 10/29/07
Federal Home Loan Bank of Indianapoli X1 5.02,9.01 11/01/07
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 10/29/07
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 10/29/07
Federal Home Loan Bank of Seattle 2.03 10/31/07
Federal Home Loan Bank of Topeka 2.03 10/29/07
FedFirst Financial CORP X1 2.02,9.01 10/31/07
FINANCIAL SECURITY ASSURANCE HOLDINGS NY 2.02,9.01 10/31/07
FIRST AMERICAN CORP CA 2.02,9.01 11/01/07
FIRST CONSULTING GROUP INC DE 1.01,3.03,9.01 10/30/07
FIRST KEYSTONE CORP PA 2.01,5.02 11/01/07
FIRST PLACE FINANCIAL CORP /DE/ DE 8.01,9.01 10/31/07
FIRST RESPONDER PRODUCTS INC 7.01 10/31/07
First Source Data, Inc. NV 1.01,9.01 04/30/07
First Source Data, Inc. NV 5.03,9.01 04/30/07
FLANDERS CORP NC 2.02 11/01/07
FLOTEK INDUSTRIES INC/CN/ DE 2.02,9.01 10/31/07
FLOWSERVE CORP NY 2.02,9.01 11/01/07
FLUSHING FINANCIAL CORP DE 7.01,9.01 10/31/07
FMC CORP DE 2.02,9.01 10/31/07
FNB United Corp. NC 7.01,9.01 11/01/07
FORD MOTOR CO DE 8.01,9.01 11/01/07
FORD MOTOR CREDIT CO LLC DE 8.01,9.01 11/01/07
FORWARD AIR CORP TN 5.02 11/01/07 AMEND
FREEPORT MCMORAN COPPER & GOLD INC DE 8.01,9.01 10/31/07
FREMONT GENERAL CORP NV 1.02,8.01,9.01 10/29/07
FULTON FINANCIAL CORP PA 9.01 11/01/07
FUSHI INTERNATIONAL INC NV 7.01,9.01 11/01/07
GAYLORD ENTERTAINMENT CO /DE DE 2.02,9.01 11/01/07
GCI INC AK 2.02,9.01 10/31/07
GEMSTAR TV GUIDE INTERNATIONAL INC DE 2.02,9.01 10/18/07
GENERAL CABLE CORP /DE/ DE 1.01,2.01,2.03,9.01 10/29/07
GENERAL COMMUNICATION INC AK 2.02,9.01 10/31/07
GENERAL MARITIME CORP/ 7.01 11/01/07
GENESEE & WYOMING INC DE 2.02,9.01 11/01/07
GENESIS MICROCHIP INC /DE DE 2.02,9.01 11/01/07
GENESIS MICROCHIP INC /DE DE 5.02,9.01 11/01/07
GENTIVA HEALTH SERVICES INC DE 2.02,9.01 11/01/07
GETTY IMAGES INC DE 2.02,8.01,9.01 10/17/07
GFI Group Inc. DE 2.02,9.01 11/01/07
GIBRALTAR INDUSTRIES, INC. DE 7.01,9.01 11/01/07
GLOBAL GOLD CORP DE 1.01 11/01/07
GLOBAL INDUSTRIES LTD LA 2.02,9.01 10/31/07
GLOBAL MED TECHNOLOGIES INC CO 2.02,9.01 10/30/07
GLOBALSANTAFE CORP 2.02,9.01 10/31/07
GLU MOBILE INC 2.02,9.01 11/01/07
GMAC LLC DE 2.02,9.01 11/01/07
Gold Run Inc. DE 5.02,8.01 10/31/07
GRAFTECH INTERNATIONAL LTD DE 2.02,9.01 10/31/07
GSI TECHNOLOGY INC 2.02,9.01 11/01/07
GTC BIOTHERAPEUTICS INC MA 2.02,9.01 11/01/07
GULF ISLAND FABRICATION INC LA 5.02 10/26/07
GULF RESOURCES, INC. DE 5.02,7.01,9.01 10/30/07
GULFMARK OFFSHORE INC DE 2.02,9.01 11/01/07
H&R BLOCK INC MO 1.01,1.02,2.03 10/26/07
HAEMONETICS CORP MA 2.02,9.01 11/01/07
HAIN CELESTIAL GROUP INC DE 2.02,9.01 11/01/07
HANGER ORTHOPEDIC GROUP INC DE 2.02,9.01 10/29/07
HANSEN MEDICAL INC 2.02,9.01 11/01/07
HARMONIC INC DE 1.01,7.01,9.01 10/31/07
HARRINGTON WEST FINANCIAL GROUP INC/C 8.01,9.01 11/01/07
HARRIS CORP /DE/ DE 2.02,7.01,9.01 11/01/07
Harris Stratex Networks, Inc. DE 2.02,9.01 11/01/07
HARVARD BIOSCIENCE INC DE 2.02,5.03,9.01 10/30/07
HARVEST NATURAL RESOURCES, INC. DE 2.02,9.01 11/01/07
HAWTHORN BANCSHARES, INC. MO 5.03,9.01 10/30/07
HEALTH NET INC DE 2.02,8.01,9.01 10/30/07
HEALTHTRONICS, INC. GA 5.02,9.01 10/26/07
HEARTLAND PAYMENT SYSTEMS INC DE 2.02,8.01,9.01 11/01/07
HeartWare LTD C3 7.01,9.01 11/01/07
HELICOS BIOSCIENCES CORP 2.02,9.01 11/01/07
HENRY JACK & ASSOCIATES INC DE 1.01,8.01,9.01 10/30/07
HENRY SCHEIN INC DE 2.02,9.01 09/29/07
HERCULES TECHNOLOGY GROWTH CAPITAL IN MD 2.02,9.01 11/01/07
HERTZ CORP DE 5.02,9.01 10/29/07
HERTZ GLOBAL HOLDINGS INC 5.02,9.01 10/29/07
HICKORY TECH CORP MN 2.02,9.01 11/01/07
HILLMAN COMPANIES INC DE 5.03,9.01 10/26/07
HORIZON OFFSHORE INC DE 2.02,9.01 10/31/07
HORNBECK OFFSHORE SERVICES INC /LA DE 2.02,9.01 11/01/07
HUDSON HIGHLAND GROUP INC DE 5.02 10/29/07
HUDSON HIGHLAND GROUP INC DE 2.01,9.01 10/29/07
HUMAN GENOME SCIENCES INC DE 2.02,9.01 11/01/07
HYPERCOM CORP DE 2.02,9.01 11/01/07
I FLOW CORP /DE/ DE 2.02 11/01/07
I2 TECHNOLOGIES INC DE 2.02,7.01,8.01,9.01 11/01/07
ID SYSTEMS INC DE 2.02,9.01 11/01/07
IDEARC INC. DE 2.02,7.01,9.01 11/01/07
IDM PHARMA, INC. DE 8.01,9.01 11/01/07
IKONICS CORP 2.02,9.01 10/31/07
IMMERSION CORP DE 2.02,5.02,5.03,8.01,9.01 10/30/07
IMMUNOGEN INC MA 2.02,9.01 11/01/07
INCYTE CORP DE 2.02,9.01 11/01/07
INFOSPACE INC DE 2.02,5.02,9.01 11/01/07
ING LIFE INSURANCE & ANNUITY CO CT 8.01 10/31/07
INGERSOLL RAND CO LTD 8.01,9.01 10/31/07
INNOSPEC INC. DE 2.02 11/01/07
INNOVATIVE CARD TECHNOLOGIES INC DE 5.02,8.01,9.01 10/30/07
INSIGHT ENTERPRISES INC DE 2.02,9.01 11/01/07
INTEGRAMED AMERICA INC DE 2.02,9.01 11/01/07
INTERCARE DX INC CA 4.01,8.01 11/01/07
INTERLINE BRANDS, INC./DE DE 2.02,9.01 11/01/07
Intermec, Inc. DE 2.02,7.01,9.01 11/01/07
INTERMUNE INC DE 2.02,9.01 11/01/07
INTERNATIONAL BANCSHARES CORP TX 2.02 11/01/07
INTERNATIONAL GAME TECHNOLOGY NV 2.02 11/01/07
INTERNET CAPITAL GROUP INC DE 2.02,9.01 11/01/07
INTEVAC INC CA 2.02,9.01 11/01/07
INVENDA CORP DE 2.01,8.01 10/26/07
INVESTMENT TECHNOLOGY GROUP INC DE 2.02,9.01 11/01/07
IRIS INTERNATIONAL INC DE 2.02,9.01 11/01/07
ISTA PHARMACEUTICALS INC DE 2.02,9.01 11/01/07
ITC Holdings Corp. MI 2.02,9.01 10/31/07
ITRON INC /WA/ WA 2.02,9.01 11/01/07
J P MORGAN CHASE & CO DE 9.01 10/31/07
J.P. Morgan Mortgage Trust 2007-S3 DE 6.02 11/01/07
Jake's Trucking International, Inc. NV 1.01,5.01,5.02,9.01 10/31/07
JAVELIN PHARMACEUTICALS, INC DE 8.01,9.01 10/31/07
JAVELIN PHARMACEUTICALS, INC DE 2.02,9.01 11/01/07
JEFFERIES GROUP INC /DE/ DE 1.01,3.02 11/01/07
JOHN D. OIL & GAS CO 2.03,9.01 10/26/07
JONES LANG LASALLE INC MD 7.01,9.01 11/01/07
KAMAN CORP CT 2.02,9.01 11/01/07
KBR, INC. DE 2.02,9.01 09/30/07
KBW, INC. 2.02,9.01 11/01/07
Kentucky USA Energy, Inc. DE 8.01,9.01 10/26/07
KEYNOTE SYSTEMS INC DE 2.02,9.01 11/01/07
KKR Financial Holdings LLC DE 8.01,9.01 11/01/07
KNBT BANCORP INC PA 8.01,9.01 11/01/07
LA JOLLA PHARMACEUTICAL CO DE 2.02,9.01 11/01/07
LABARGE INC DE 2.02,9.01 11/01/07
LAKESIDE MORTGAGE FUND LLC CA 5.02 11/01/07
LANCE INC NC 2.02,9.01 11/01/07
LANDRYS RESTAURANTS INC 1.01,2.02,2.03,9.01 10/31/07
LAS PALMAS MOBILE ESTATES NV 5.03,8.01 10/29/07
LAS VEGAS SANDS CORP NV 2.02,5.03,9.01 11/01/07
LEAPFROG ENTERPRISES INC 2.02,9.01 11/01/07
LEHMAN BROTHERS HOLDINGS INC DE 9.01 10/26/07
LEXINGTON ENERGYSERVICES INC. NV 3.02 10/30/07
LHC Group, Inc 8.01,9.01 11/01/07
LIBBEY INC DE 2.02,9.01 11/01/07
LIBERTY MEDIA CORP 7.01 10/31/07
LIGHTPATH TECHNOLOGIES INC DE 2.02,9.01 11/01/07
LIN TV CORP DE 2.02,9.01 11/01/07
LITTELFUSE INC /DE DE 5.03,9.01 10/26/07
LIVEPERSON INC DE 2.02,9.01 11/01/07
LKQ CORP DE 1.01 10/26/07
LONGS DRUG STORES CORP MD 7.01,9.01 11/01/07
LUMERA CORP 2.02,5.02,7.01,9.01 10/30/07
MACK CALI REALTY CORP MD 2.02,7.01,9.01 10/31/07
Macy's, Inc. DE 5.02,9.01 10/26/07
MAJESCO ENTERTAINMENT CO DE 3.02,4.01,9.01 10/26/07
MANITOWOC CO INC WI 2.02,9.01 10/31/07
MARKWEST ENERGY PARTNERS L P 2.02,4.02,9.01 10/30/07
MARKWEST ENERGY PARTNERS L P 1.01,9.01 10/26/07
MARKWEST ENERGY PARTNERS L P 1.01,9.01 10/26/07
MARKWEST HYDROCARBON INC DE 2.02,4.02,9.01 10/30/07
MARKWEST HYDROCARBON INC DE 8.01,9.01 10/26/07
MAX & ERMAS RESTAURANTS INC DE 1.01,2.03,9.01 10/26/07
MAXIM INTEGRATED PRODUCTS INC DE 2.02,8.01,9.01 11/01/07
MAXYGEN INC DE 2.02,9.01 11/01/07
MCDERMOTT INTERNATIONAL INC R1 1.01,2.03,9.01 10/29/07
MCGRATH RENTCORP CA 2.02,9.01 11/01/07
MDC PARTNERS INC A6 1.01,2.01,3.02,9.01 11/01/07
MEADOWBROOK INSURANCE GROUP INC MI 2.02,5.03,7.01,8.01,9.01 10/26/07
MEDCO HEALTH SOLUTIONS INC DE 2.01,2.02 11/01/07
MEDICAL ACTION INDUSTRIES INC DE 7.01,9.01 11/01/07
MERGE TECHNOLOGIES INC WI 8.01,9.01 11/01/07
METTLER TOLEDO INTERNATIONAL INC/ DE 2.02,9.01 11/01/07
METTLER TOLEDO INTERNATIONAL INC/ DE 5.02,9.01 11/01/07
MFA MORTGAGE INVESTMENTS MD 2.02,7.01,9.01 11/01/07
MICROISLET INC NV 8.01,9.01 10/31/07
MICRON TECHNOLOGY INC DE 5.02,9.01 11/01/07
MICROS SYSTEMS INC MD 8.01 10/31/07
MICROVISION INC DE 2.02,9.01 11/01/07
MICRUS ENDOVASCULAR CORP 1.01 10/26/07
MID AMERICA APARTMENT COMMUNITIES INC TN 2.02,9.01 09/30/07
MIDWAY GAMES INC DE 2.02,9.01 11/01/07
MILLENNIUM BANKSHARES CORP VA 2.02,9.01 10/31/07
MILLENNIUM PHARMACEUTICALS INC DE 2.02 11/01/07
MILLIPORE CORP /MA MA 2.02,9.01 11/01/07
MINE SAFETY APPLIANCES CO PA 2.02,9.01 11/01/07
MOBILE MINI INC DE 2.02,9.01 11/01/07
MOLINA HEALTHCARE INC DE 2.02,9.01 11/01/07
MOMENTA PHARMACEUTICALS INC DE 2.02,9.01 11/01/07
MOMENTA PHARMACEUTICALS INC DE 1.02 10/31/07
MOOG INC NY 2.02,9.01 11/01/07
Morningstar, Inc. IL 2.02,9.01 11/01/07
MTC TECHNOLOGIES INC DE 2.02,9.01 11/01/07
MULTIMEDIA GAMES INC TX 1.01,2.03,9.01 10/26/07
MVC CAPITAL, INC. DE 8.01 10/31/07
MYLAN INC. PA 2.02,9.01 11/01/07
MYLAN INC. PA 2.01,9.01 10/02/07 AMEND
MYRIAD GENETICS INC DE 2.02,8.01,9.01 11/01/07
NAPSTER INC DE 2.02,9.01 11/01/07
NATCO GROUP INC DE 2.02,7.01,9.01 10/31/07
NATIONAL FINANCIAL PARTNERS CORP 2.02,9.01 11/01/07
NATIONWIDE FINANCIAL SERVICES INC/ DE 2.02,7.01 11/01/07
NATUS MEDICAL INC DE 2.02,9.01 11/01/07
NATUS MEDICAL INC DE 8.01,9.01 11/01/07
NEOPROBE CORP DE 2.02,8.01,9.01 10/30/07
Neuralstem, Inc. DE 4.01,9.01 10/10/07 AMEND
NEUROCRINE BIOSCIENCES INC CA 1.01 11/01/07
NEUROCRINE BIOSCIENCES INC CA 2.02,9.01 11/01/07
NEUSTAR INC 2.02,9.01 11/01/07
New England Bancshares, Inc. 2.02,9.01 10/29/07
NEW HORIZONS WORLDWIDE INC DE 7.01 10/26/07
NEW M&I CORP WI 8.01,9.01 11/01/07
NEXIA HOLDINGS INC NV 3.02 10/30/07
NEXTEST SYSTEMS CORP DE 2.02,9.01 11/01/07
NEXTGEN BIOSCIENCE INC. NV 5.03,9.01 10/26/07
NICOR INC IL 2.02,9.01 11/01/07
NII HOLDINGS INC DE 5.02 10/29/07
NL INDUSTRIES INC NJ 7.01,9.01 10/31/07
NN INC DE 2.02,9.01 11/01/07
NORDIC NICKEL LTD NV 5.02,5.03 10/30/07
NORTH AMERICAN GALVANIZING & COATINGS DE 9.01 10/29/07
NORTH EUROPEAN OIL ROYALTY TRUST DE 2.02,9.01 10/31/07
NORTHEAST UTILITIES MA 7.01,9.01 10/31/07
NORTHERN BORDER PIPELINE CO TX 2.02,7.01 11/01/07
NOVELLUS SYSTEMS INC CA 5.02 10/26/07
NPS PHARMACEUTICALS INC DE 2.02,9.01 11/01/07
NUMEREX CORP /PA/ PA 2.02,9.01 11/01/07
NUMEREX CORP /PA/ PA 2.02,9.01 11/01/07 AMEND
NUVELO INC DE 2.02,9.01 11/01/07
NYMEX HOLDINGS INC DE 2.02,9.01 11/01/07
O CHARLEYS INC TN 2.02,2.06,7.01,9.01 10/30/07
Oasis Online Technologies Corp MN 8.01,9.01 10/26/07
OCCAM NETWORKS INC/DE DE 7.01,9.01 10/30/07
OCEAN SHORE HOLDING CO X1 2.02,9.01 10/31/07
OCEANEERING INTERNATIONAL INC DE 2.02,9.01 11/01/07
OCEANFIRST FINANCIAL CORP DE 2.02,9.01 11/01/07
OCWEN FINANCIAL CORP FL 2.02,9.01 10/30/07
ODYSSEY RE HOLDINGS CORP DE 2.02 11/01/07
OFFICEMAX INC DE 2.02,9.01 11/01/07
OGE ENERGY CORP OK 2.02,9.01 11/01/07
OIL STATES INTERNATIONAL, INC DE 2.02,9.01 11/01/07
OKLAHOMA GAS & ELECTRIC CO OK 2.02,9.01 11/01/07
OLYMPIC STEEL INC OH 2.02,9.01 11/01/07
OMEGA HEALTHCARE INVESTORS INC MD 2.02,9.01 11/01/07
ONEOK INC /NEW/ OK 2.02,9.01 10/31/07
ONEOK Partners LP DE 2.02,9.01 10/31/07
OPEN TEXT CORP A6 2.02,9.01 11/01/07
OPLINK COMMUNICATIONS INC DE 2.01,9.01 10/31/07
OPLINK COMMUNICATIONS INC DE 2.02,9.01 11/01/07
OPNET TECHNOLOGIES INC DE 2.02,9.01 11/01/07
OPNEXT INC 2.02,5.02,7.01,9.01 10/29/07
OSHKOSH TRUCK CORP WI 2.02,9.01 11/01/07
Owens Corning DE 2.01,2.02,9.01 11/01/07
OXIGENE INC DE 2.02,9.01 11/01/07
PACIFIC CAPITAL BANCORP /CA/ CA 8.01,9.01 11/01/07
PACIFIC CAPITAL BANCORP /CA/ CA 2.02,9.01 11/01/07
PACIFIC ENTERPRISES INC CA 2.02,9.01 11/01/07
PACIFIC GAS & ELECTRIC CO CA 2.02,7.01,9.01 11/01/07
PAIN THERAPEUTICS INC DE 2.02 11/01/07
Palomine Mining Inc. 1.01,5.03,9.01 10/24/07
Paramount Acquisition Corp DE 1.01,2.01,2.02,2.03,5.01,5.02, 10/26/07
5.03,5.06,9.01
PARK NATIONAL CORP /OH/ OH 5.02,9.01 11/01/07
Patriot Coal CORP DE 1.01,9.01 10/31/07
Patriot Coal CORP DE 8.01,9.01 10/31/07
PATTERSON UTI ENERGY INC DE 2.02,9.01 11/01/07
PAY88 NV 1.01,2.03,3.02 10/31/07
PEETS COFFEE & TEA INC WA 2.02,9.01 11/01/07
PENN VIRGINIA CORP VA 2.02,7.01,9.01 10/31/07
Penn Virginia GP Holdings, L.P. 2.02,7.01,9.01 10/31/07
PENN VIRGINIA RESOURCE PARTNERS L P DE 2.02,7.01,9.01 10/31/07
PENSECO FINANCIAL SERVICES CORP PA 2.02,9.01 11/01/07
PEOPLES BANCORP INC/MD MD 8.01 10/31/07
PEPCO HOLDINGS INC DE 2.02,9.01 11/01/07
PERICOM SEMICONDUCTOR CORP CA 5.03,9.01 10/31/07
PERRIGO CO MI 2.02,9.01 11/01/07
PETROLEUM DEVELOPMENT CORP NV 8.01,9.01 11/01/07
PETROLEUM DEVELOPMENT CORP NV 5.02,9.01 10/31/07
PG&E CORP CA 2.02,7.01,9.01 11/01/07
PGT, Inc. DE 2.02,9.01 10/31/07
PharmaNet Development Group Inc DE 2.02,9.01 11/01/07
PINNACLE AIRLINES CORP DE 2.02 11/01/07
PLAINS ALL AMERICAN PIPELINE LP DE 2.02,7.01,9.01 11/01/07
PLAINS EXPLORATION & PRODUCTION CO DE 2.02,7.01,9.01 11/01/07
PLANETOUT INC DE 2.02,9.01 11/01/07
PLATINUM ENERGY RESOURCES INC DE 1.01,2.01,3.02,3.03,5.02,5.03, 10/26/07
5.06,8.01,9.01
PMA CAPITAL CORP PA 2.02,9.01 11/01/07
POLYMEDICA CORP MA 1.01,3.01,3.03,5.01,5.02,5.03, 10/31/07
9.01
PORTLAND GENERAL ELECTRIC CO /OR/ OR 2.02,9.01 10/31/07
POWERWAVE TECHNOLOGIES INC DE 5.02,5.03,8.01,9.01 10/31/07
POZEN INC /NC 2.02,9.01 10/31/07
POZEN INC /NC 8.01 11/01/07
PRICESMART INC DE 2.02,9.01 11/01/07
PRIDE INTERNATIONAL INC DE 2.02,9.01 11/01/07
PRINTRONIX INC DE 2.02,9.01 11/01/07
PRO PHARMACEUTICALS INC NV 1.01,3.02,9.01 10/26/07
PROCENTURY CORP 2.02,9.01 10/31/07
PROGENICS PHARMACEUTICALS INC DE 8.01,9.01 11/01/07
PROGRESS ENERGY INC NC 2.02,9.01 11/01/07
PROGRESSIVE GAMING INTERNATIONAL CORP NV 2.02,9.01 10/31/07
Propex Inc. DE 8.01,9.01 11/01/07
PROVIDENT NEW YORK BANCORP DE 2.02,9.01 10/29/07
PSYCHEMEDICS CORP DE 2.02,9.01 10/31/07
PSYCHIATRIC SOLUTIONS INC DE 2.02,9.01 11/01/07
PUBLIC SERVICE ENTERPRISE GROUP INC NJ 2.02,9.01 11/01/07
PUBLIX SUPER MARKETS INC FL 2.02,9.01 11/01/07
QC Holdings, Inc. KS 2.02,8.01,9.01 11/01/07
QLINKS AMERICA, INC. 5.02 10/08/07
QUEST RESOURCE CORP NV 8.01,9.01 10/31/07
RADIAN GROUP INC DE 2.02,9.01 11/01/07
RADISYS CORP OR 2.02,9.01 11/01/07
RADISYS CORP OR 9.01 09/12/07 AMEND
RAE SYSTEMS INC DE 2.02,9.01 11/01/07
RAINMAKER SYSTEMS INC CA 2.02,7.01,9.01 11/01/07
RAPID LINK INC DE 1.01 10/31/07
REGAL BELOIT CORP WI 2.02,9.01 11/01/07
REGAL BELOIT CORP WI 5.02,9.01 10/26/07
REGENCY CENTERS CORP FL 2.02,9.01 10/31/07
REMINGTON ARMS CO INC/ DE 1.01 10/26/07
RENTECH INC /CO/ CO 1.01,9.01 10/26/07
RESIDENTIAL CAPITAL, LLC DE 2.02,9.01 11/01/07
RESMED INC DE 2.02,9.01 11/01/07
ROGERS CORP MA 2.02,2.05,9.01 11/01/07
Rotoblock CORP NV 5.02 10/31/07
ROWAN COMPANIES INC DE 2.02,8.01,9.01 11/01/07
ROYAL GOLD INC DE 2.02,9.01 11/01/07
RUDOLPH TECHNOLOGIES INC DE 2.02,9.01 11/01/07
SAFEGUARD SCIENTIFICS INC PA 2.02,9.01 10/31/07
SAIA INC DE 7.01,9.01 10/26/07
SAIA INC DE 5.02 10/25/07
SALARY. COM, INC. DE 2.02,9.01 11/01/07
SAN DIEGO GAS & ELECTRIC CO CA 2.02,9.01 11/01/07
Santa Fe Gold CORP DE 3.02,9.01 10/31/07
SANTARUS INC DE 2.02,9.01 11/01/07
SCHULMAN A INC DE 8.01,9.01 11/01/07
SCIENTIFIC GAMES CORP DE 2.02,9.01 11/01/07
SCOTTS MIRACLE-GRO CO OH 2.02,9.01 11/01/07
SCPIE HOLDINGS INC DE 2.02,9.01 11/01/07
SECURE COMPUTING CORP DE 2.02,9.01 10/29/07
SECURED DIGITAL APPLICATIONS INC DE 1.01,8.01,9.01 10/27/07
SELECT COMFORT CORP 7.01,9.01 11/01/07
SEMPRA ENERGY CA 2.02,9.01 11/01/07
SENESCO TECHNOLOGIES INC DE 3.01,9.01 10/24/07 AMEND
SENIOR HOUSING PROPERTIES TRUST MD 2.02,9.01 11/01/07
SENOMYX INC DE 1.02,2.02,9.01 10/31/07
SEPRACOR INC /DE/ DE 2.05 10/30/07
SEQUENOM INC DE 5.02 10/30/07
Shire plc 2.02,9.01 11/01/07
SILICON IMAGE INC DE 2.02,9.01 11/01/07
Sino Fibre Communications, Inc. NV 5.02,7.01,9.01 10/30/07
SKYWORKS SOLUTIONS INC DE 2.02,9.01 11/01/07
SMITHTOWN BANCORP INC NY 9.01 10/31/07
SOHU COM INC DE 2.02,9.01 10/29/07
SONGZAI INTERNATIONAL HOLDING GROUP I NV 4.01,9.01 10/19/07 AMEND
SOUTHCOAST FINANCIAL CORP SC 7.01,9.01 10/31/07
SOUTHWESTERN ENERGY CO DE 7.01 11/01/07
SOUTHWESTERN ENERGY CO DE 7.01 11/01/07
SP Acquisition Holdings, Inc. NY 8.01,9.01 10/31/07
SPARK NETWORKS INC X0 2.02,9.01 11/01/07
SPECTRX INC DE 4.01,9.01 11/01/07
Spirit AeroSystems Holdings, Inc. DE 2.02,9.01 11/01/07
SPRINT NEXTEL CORP KS 2.02,9.01 11/01/07
Stanley, Inc. DE 2.02,9.01 11/01/07
STARTEK INC DE 2.02,9.01 11/01/07
STEEL DYNAMICS INC IN 2.01,5.02,8.01,9.01 10/26/07
STEELCLOUD INC VA 1.01,9.01 10/31/07
STEINER LEISURE LTD C5 9.01 09/30/07
STERLING BANCORP NY 7.01,9.01 10/31/07
STERLING CONSTRUCTION CO INC DE 1.01,1.02,2.01,2.03,8.01,9.01 10/31/07
STEVEN MADDEN, LTD. DE 2.02,9.01 11/01/07
STRAYER EDUCATION INC MD 2.02,9.01 11/01/07
SUBURBAN PROPANE PARTNERS LP DE 5.02 10/31/07 AMEND
SUMTOTAL SYSTEMS INC DE 5.02,9.01 10/31/07
SUN HEALTHCARE GROUP INC DE 2.02,9.01 10/31/07
SUNAIR SERVICES CORP FL 1.01,5.02,8.01,9.01 10/29/07
SUNCOM WIRELESS HOLDINGS, INC. 2.02,9.01 11/01/07
SUNESIS PHARMACEUTICALS INC 2.02,9.01 11/01/07
SUNOCO INC PA 2.02,7.01,9.01 10/31/07
Susser Holdings CORP DE 1.01,8.01,9.01 10/26/07
SWIFT ENERGY CO 2.02,9.01 05/03/07
SYMMETRICOM INC DE 2.02,9.01 11/01/07
SYNAPTICS INC CA 2.02,9.01 11/01/07
SYNTAX-BRILLIAN CORP DE 1.01,2.03,9.01 10/26/07
T-3 ENERGY SERVICES INC TX 2.02,9.01 11/01/07
T-3 ENERGY SERVICES INC TX 9.01 10/31/07 AMEND
TALEO CORP DE 2.02,9.01 11/01/07
Tarpon Industries, Inc. MI 1.01,5.01,9.01 10/26/07
TC PIPELINES LP DE 2.02,9.01 11/01/07
TELEFLEX INC DE 2.02,9.01 10/31/07
TELEFLEX INC DE 7.01,9.01 11/01/07
TENNECO INC DE 8.01,9.01 11/01/07
TENNECO INC DE 8.01,9.01 11/01/07
TERCICA INC DE 2.02,9.01 11/01/07
TERRA INDUSTRIES INC MD 5.02 09/14/07
TESORO CORP /NEW/ DE 2.02,9.01 11/01/07
TESSERA TECHNOLOGIES INC DE 2.02,9.01 11/01/07
THERAGENICS CORP DE 2.02 11/01/07
THIRD WAVE TECHNOLOGIES INC /WI DE 2.02,9.01 10/31/07
Thomas Weisel Partners Group, Inc. DE 2.02,7.01,9.01 11/01/07
THORATEC CORP CA 2.02,9.01 11/01/07
THQ INC DE 2.02,9.01 11/01/07
TIDEWATER INC DE 8.01,9.01 11/01/07
TIER TECHNOLOGIES INC DE 1.01,9.01 10/23/07
TIMBERLAND CO DE 2.02,9.01 11/01/07
TITANIUM METALS CORP DE 1.01,2.02,5.03,7.01,9.01 10/26/07
TONGA CAPITAL CORP CO 8.01,9.01 11/01/07
TOWN SPORTS INTERNATIONAL HOLDINGS IN DE 2.02,9.01 11/01/07
Tradeshow Marketing Co. Ltd. NV 5.02 10/30/07
TRANSMERIDIAN EXPLORATION INC DE 8.01,9.01 10/22/07
TRICO MARINE SERVICES INC DE 7.01,9.01 10/31/07
TRINITY INDUSTRIES INC DE 2.02,7.01 10/31/07
TRUMP ENTERTAINMENT RESORTS, INC. DE 1.01,2.02,7.01,9.01 10/31/07
UIL HOLDINGS CORP CT 2.02,9.01 11/01/07
ULTRALIFE BATTERIES INC DE 2.02,9.01 11/01/07
UNISYS CORP DE 5.02 10/29/07
UNIT CORP DE 2.02,9.01 11/01/07
United Community Bancorp X1 2.02,9.01 10/31/07
UNITED RENTALS INC /DE DE 2.02,9.01 10/31/07
UNITED THERAPEUTICS CORP DE 2.02,9.01 11/01/07
UNITED THERAPEUTICS CORP DE 8.01,9.01 11/01/07
UNIVERSAL DETECTION TECHNOLOGY CA 4.01,9.01 10/19/07 AMEND
UNIVERSAL ELECTRONICS INC DE 2.02,9.01 11/01/07
UNIVERSAL STAINLESS & ALLOY PRODUCTS DE 8.01,9.01 11/01/07
Universal Truckload Services, Inc. MI 1.01,9.01 10/29/07
UROPLASTY INC MN 2.02,9.01 11/01/07
USA Mobility, Inc DE 2.02,8.01,9.01 10/31/07
USEC INC DE 2.02,9.01 11/01/07
UST INC DE 5.02,9.01 11/01/07
Utah Uranium Corp. NV 8.01 10/10/07
VALEANT PHARMACEUTICALS INTERNATIONAL DE 2.02,9.01 11/01/07
VALUECLICK INC/CA DE 2.02,5.02,5.05,9.01 10/26/07
VALUEVISION MEDIA INC MN 5.02,9.01 10/26/07
VERISIGN INC/CA DE 2.02,9.01 11/01/07
VIASAT INC CA 2.02,9.01 11/01/07
VirnetX Holding Corp DE 5.03,8.01,9.01 10/29/07
VOIS Inc. 8.01,9.01 10/31/07
VONAGE HOLDINGS CORP DE 1.01 10/25/07 AMEND
WABASH NATIONAL CORP /DE DE 2.02,9.01 10/31/07
WAKE FOREST BANCSHARES INC 2.02,9.01 10/30/07
WELLS REAL ESTATE FUND I GA 7.01,9.01 11/01/07
WELLS REAL ESTATE FUND II GA 7.01,9.01 11/01/07
WELLS REAL ESTATE FUND II-OW GA 7.01,9.01 11/01/07
WELLS REAL ESTATE FUND III L P GA 7.01,9.01 11/01/07
WELLS REAL ESTATE FUND IX LP GA 7.01,9.01 11/01/07
WELLS REAL ESTATE FUND VIII LP GA 7.01,9.01 11/01/07
WELLS REAL ESTATE FUND X L P GA 7.01,9.01 11/01/07
WELLS REAL ESTATE FUND XI L P GA 7.01,9.01 11/01/07
WELLS REAL ESTATE FUND XII LP GA 7.01,9.01 11/01/07
WELLS REAL ESTATE FUND XIII L P 7.01,9.01 11/01/07
WELLS REAL ESTATE FUND XIV LP GA 7.01,9.01 11/01/07
WESBANCO INC WV 8.01,9.01 11/01/07
WEST PHARMACEUTICAL SERVICES INC PA 2.02,9.01 09/30/07
WESTERN DIGITAL CORP DE 2.02,9.01 11/01/07
Western Goldfields Inc. A6 2.02,9.01 11/01/07
WESTLAKE CHEMICAL CORP 2.02,9.01 11/01/07
Whitestone REIT TX 7.01,9.01 10/30/07
WIFIMED HOLDINGS COMPANY, INC. NV 8.01,9.01 10/29/07
WILLIAMS COMPANIES INC DE 2.02,9.01 11/01/07
WILLIAMS COMPANIES INC DE 7.01,9.01 11/01/07
Williams Partners L.P. 2.02,9.01 11/01/07
Williams Partners L.P. 7.01,9.01 11/01/07
WILLIS GROUP HOLDINGS LTD D0 7.01 11/01/07
WIRELESS RONIN TECHNOLOGIES INC MN 9.01 08/14/07 AMEND
WORLD WRESTLING ENTERTAINMENTINC DE 2.02,9.01 11/01/07
WRIGHT MEDICAL GROUP INC DE 2.02,9.01 11/01/07
WYNN RESORTS LTD 1.01,9.01 10/31/07
YUKON GOLD CORP INC DE 5.02,9.01 10/22/07
ZILOG INC CA 2.02,9.01 11/01/07
http://www.sec.gov/news/digest/2007/dig110207.htm
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