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SEC NEWS DIGEST
Issue 2007-213 November 5, 2007
COMMISSION ANNOUNCEMENTS
SEC STAFF RELEASES ACCOUNTING BULLETIN FOR WRITTEN LOAN COMMITMENTS
RECORDED AT FAIR VALUE UNDER GAAP
The U.S. Securities and Exchange Commission's Office of the Chief
Accountant and Division of Corporation Finance announced today the
release of Staff Accounting Bulletin (SAB) No. 109, "Written Loan
Commitments Recorded at Fair Value Through Earnings." This SAB
provides the staff's views on the accounting for written loan
commitments that are recorded at fair value through earnings under
generally accepted accounting principles. This SAB revises and
rescinds portions of Topic 5: DD of the codification of staff
accounting bulletins (i.e., Staff Accounting Bulletin No. 105,
"Application of Accounting Principles to Loan Commitments") in order
to make the staff's views consistent with current authoritative
accounting guidance. (SAB 109; Press Rel. 2007-225)
ENFORCEMENT PROCEEDINGS
IN THE MATTER OF CHARLES N. WATSON
On November 2, the Commission issued an Order Instituting
Administrative Proceedings Pursuant to Section 15(b) of the
Securities Exchange Act of 1934 and Section 203(f) of the
Investment Advisers Act of 1940, Making Findings, and Imposing
Remedial Sanctions (Order) against Charles N. Watson. According
to the Order, from Oct. 1, 2004, until March 22, 2005, Watson
was a registered representative associated with an entity that was
registered with the Commission as a broker-dealer and with the
State of West Virginia as an investment adviser. The Order finds that
on April 21, 2006, Watson pled guilty to one count of money laundering
before the United States District Court for the Eastern District of
Florida in United States v. Watson, case number 6:06-cr-44-Orl-28KRS
and that on Sept. 28, 2006, Watson was sentenced to a prison term of
50 months followed by 3 years probation and ordered to make
restitution of $6,624,000. According to the Order, in his plea
agreement in the criminal case, Watson admitted that he was involved
in a scheme to defraud investors in two hedge funds. Watson also
admitted that from November 2002 to January 2005, he raised $6,813,500
from at least 36 investors through the offer and sale of interests in
the two hedge funds. In his plea agreement, Watson further admitted,
among other things, that he spent $1.4 million of one of the hedge
fund's assets for his personal use and mailed investors false
financial statements containing materially inflated rates of return
which failed to disclose his trading losses and misuse of investor
funds. Based on the above, the Order bars Watson from association with
any broker, dealer or investment adviser. Watson consented to the
issuance of the Order without admitting or denying the findings in the
Order. (Rels. 34-56737; IA-2676; File No. 3-12885)
COMMISSION SANCTIONS VICTOR TEICHER
The Commission has denied a motion by Victor Teicher to modify a
Commission bar order imposing on Teicher a bar from association with
any broker, dealer, investment company, investment adviser, or
municipal securities dealer. Teicher sought to modify the bar order to
permit him to associate with an investment adviser. The Commission
determined that "there are no compelling circumstances here that would
warrant modification of the administrative bar order." The Commission
found that "the public interest and investor protection will not be
served if Teicher is permitted to associate with an investment
adviser." (Rel. 34-56744; File No. 3-8394)
SEC FILES SETTLED ENFORCEMENT ACTION AGAINST HEDGE FUND TCMP3
PARTNERS, L.P. FOR ENGAGING IN UNLAWFUL "PIPE" TRADING
The Commission filed a settled action today against New Jersey-based
hedge fund TCMP3 Partners, L.P., its general partner TCMP3 Capital,
LLC, its investment manager Titan Capital Management, LLC, and
portfolio managers Walter M. Schenker and Steven E. Slawson in the
U.S. District Court for the District of Columbia. The defendants
agreed to settle the Commission's charge that they violated of Section
5 of the Securities Act of 1933 (Securities Act) in connection with 26
unregistered securities offerings, which are commonly referred to as
"PIPEs" (Private Investment in Public Equity). The Commission alleges
in its complaint that the defendants typically, after agreeing to
invest in a PIPE offering, sold short the issuer's stock. The
Commission's complaint further alleges that, once the Commission
declared the resale registration statement for a PIPE effective,
defendants used some or all of the PIPE shares to close out pre-
effective date short positions by journaling PIPE shares to their
short account.
To settle the Commission's charges, and without admitting or denying
the allegations in the complaint, the defendants consented to the
entry of a final judgment permanently enjoining them from future
violations of Section 5 of the Securities Act and ordering them to pay
a total of $1,195,060 in disgorgement, prejudgment interest, and civil
penalties. Specifically, the final judgment orders TCMP3 Partners,
L.P. to pay $888,624 in disgorgement and prejudgment interest, TCMP3
Capital, LLC to pay $149,130 in disgorgement and prejudgment interest,
and Titan Capital Management, LLC to pay $7,306 in disgorgement and
prejudgment interest, and further orders Schenker and Slawson each to
pay a $75,000 civil penalty. The Commission's investigation is
continuing. [SEC v. TCMP3 Partners, L.P., TCMP3 Capital, LLC, Titan
Capital Management, LLC, Walter M. Schenker, and Steven E. Slawson,
Civil Action No. 1:07CV01990 (JDB) (D.D.C.)] (LR-20356)
COURT ENTERS PRELIMINARY INJUNCTION AGAINST THOMPSON PRICE HOLDING
INC. AND DAMIR LUKOVIC A/K/A/ GREG THOMPSON
The Commission announced today that on Oct. 31, 2007, the U.S.
District Court for the Southern District of New York, entered a
preliminary injunction order on consent (Order) against Defendants
Thompson Price Holding Inc. (Thompson Price) and Damir Lukovic a/k/a/
Greg Thompson (Lukovic) (collectively, Defendants). Pending a final
disposition of the Commission's enforcement action, the Order enjoins
Defendants from violating Sections and 17 (a) of the Securities Act of
1933, Section 10(b) of the Securities Exchange Act of 1934 (Exchange
Act) and Rule 10b-5 thereunder, and Section 15(a) of the Exchange Act.
The Commission's complaint, filed on Oct. 25, 2007, alleges that
Defendants defrauded unsuspecting investors in the United States (many
of whom are senior citizens) by inducing investors to send checks
purportedly for the purchase of shares in the initial public offerings
of several Australian companies. Thompson Price's president, Lukovic,
using the alias "Greg Thompson," made false and misleading statements
to prospective investors, including that: (i) Thompson Price had
received an "allocation" of shares in the IPOs; and (ii) Thompson
Price would use investors' funds to purchase IPO stock. In fact, each
of these representations was false and misleading. Thompson Price was
not an underwriter or a broker-dealer. It had no affiliation with any
of the Australian companies or their underwriters. It never received
any allocation of stock from those IPOs. And most important, the
Defendants did not purchase IPO stock with the investors' money, but
instead misappropriated the money for their own use. Defendants
induced at least ten investors to send investment checks worth at
least $107,730.
On Oct. 25, 2007, the Court granted, among other emergency relief,
orders freezing the Defendants' assets. In its enforcement action, the
Commission is seeking additional relief, including orders permanently
enjoining the Defendants from committing future violations of the
foregoing federal securities laws, and a final judgment (i) ordering
the Defendants to disgorge ill-gotten gains, and (ii) assessing civil
penalties against the Defendants. [SEC v. Thompson Price Holding Inc.,
et al., Civil Action No. CV 07-9525 (RMB) (SDNY)] (LR-20357)
STANDARDS SETTING BOARDS
FINAL RULE AMENDMENTS
The Commission approved proposed rule amendments (PCAOB-2006-03)
submitted by the Public Company Accounting Oversight Board to its
rules governing inspections of registered public accounting firms.
Publication is expected in the Federal Register during the week of
November 5. (Rel. 34-56738)
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE
The Commission issued a notice of immediate effectiveness of a
proposed rule change (SR-Phlx-2007-82) filed by Philadelphia Stock
Exchange to amend the Market Access Provider Subsidy section of
the Exchange's fee schedule. Publication is expected in the
Federal Register during the week of November 5. (Rel. 34-56725)
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-1 Capstar Acquisition Corp., 600 CONGRESS AVENUE, SUITE 1400, AUSTIN, TX,
78701, 512-340-7800 - 0 ($230,000,000.00) Equity, (File 333-147096 -
Nov. 2) (BR. 08)
S-8 UNIVERSAL DETECTION TECHNOLOGY, 9595 WILSHIRE BOULEVARD, SUITE 700,
BEVERLY HILLS, CA, 90212, 3102483655 -
150,000,000 ($285,000.00) Equity, (File 333-147097 - Nov. 2) (BR. 10C)
SB-2 China Natural Gas, Inc., TANG XING SHU MA BUILDING, SUITE 418,
TANG XING ROAD, XIAN, SHAANXI PROVINCE, F4, 00000, 86-29-88323325 -
60,854,257 ($60,854,257.00) Equity, (File 333-147098 - Nov. 2) (BR. 02A)
F-3 Danaos Corp, 14 AKTI KONDYLI, 185 45 PIRAEUS, ATHENS, J3, 00000,
011302104496480 - 0 ($2,599,454,665.00) Other, (File 333-147099 -
Nov. 2) (BR. 05A)
F-9 BROOKFIELD ASSET MANAGEMENT INC., BCE PLACE 181 BAY ST,
STE 300 PO BOX 762, TORONTO ONTARIO, A6, M5J2T3, 4163639491 -
1,150,000,000 ($1,150,000,000.00) Other, (File 333-147100 - Nov. 2)
(BR. 06A)
S-8 Constant Contact, Inc., 1601 TRAPELO ROAD, SUITE 329, WALTHAM, MA,
02451, 781-472-8100 - 0 ($67,726,084.00) Equity, (File 333-147101 -
Nov. 2) (BR. 11C)
S-1 NameMedia, Inc., 230 THIRD AVENUE, WALTHAM, MA, 02451, 781-839-2800 -
0 ($172,500,000.00) Equity, (File 333-147102 - Nov. 2) (BR. 03)
S-3 TUESDAY MORNING CORP/DE, 6250 LBJ FREEWAY, DALLAS, TX, 75240,
2143873562 - 0 ($83,876,494.00) Equity, (File 333-147103 - Nov. 2)
(BR. 02C)
SB-2 Casita Enterprises, Inc., 1093 E. MAIN ST.#508, EL CAJON, CA, 92021,
775-352-4133 - 6,500,000 ($26,000.00) Equity, (File 333-147104 -
Nov. 2) (BR. 03)
S-8 NEW M&I CORP, 770 NORTH WATER STREET, MILWAUKEE, WI, 53202,
414-765-7700 - 46,369,291 ($2,041,408,036.28) Equity,
(File 333-147105 - Nov. 2) (BR. 07)
SB-2 TenantWIZ Software Corp., 650 SOUTH HILL STREET, #J-4, LOS ANGELES, CA,
90014, 866-993-6879 - 8,000,000 ($8,000.00) Equity, (File 333-147106 -
Nov. 2) (BR. 03)
S-8 Builders FirstSource, Inc., 2001 BRYAN STREET, SUITE 1600, DALLAS, TX,
75201, (214) 880-3500 - 2,500,000 ($20,050,000.00) Equity,
(File 333-147107 - Nov. 2) (BR. 06A)
S-8 BABYUNIVERSE, INC., 150 SOUTH U.S. HIGHWAY ONE, SUITE 500, JUPITER, FL,
33477, 561-277-6400 - 698,110 ($7,529,116.35) Equity,
(File 333-147108 - Nov. 2) (BR. 02A)
S-8 HASBRO INC, 1027 NEWPORT AVE, P O BOX 1059, PAWTUCKET, RI, 02861,
4014318697 - 7,500,000 ($222,975,000.00) Equity, (File 333-147109 -
Nov. 2) (BR. 05A)
SB-2 Tone in Twenty, 201 LAS VEGAS BLVD S, SUITE 200, LAS VEGAS, NV, 89101,
702-604-7038 - 100,425,000 ($2,008,500.00) Equity, (File 333-147111 -
Nov. 2) (BR. 05)
S-3 CAPITAL AUTO RECEIVABLES LLC, 1209 ORANGE STREET, WILMINGTON, DE,
19801, 3135561240 - 0 ($20,000,000,000.00) Asset-Backed Securities,
(File 333-147112 - Nov. 2) (BR. 05D)
S-3 HERSHA HOSPITALITY TRUST, 44 HERSHA DRIVE, HARRISBURG, PA, 17102,
7177702405 - 2,066,189 ($21,591,675.00) Equity, (File 333-147113 -
Nov. 2) (BR. 08B)
S-3 CenterPoint Energy Transition Bond CO III, LLC,
1111 LOUISIANA STREET, SUITE 4689A, HOUSTON, TX, 77002, (713)207-5747 -
0 ($1,000,000.00) Other, (File 333-147114 - Nov. 2) (BR. )
S-8 GIBRALTAR INDUSTRIES, INC., 3556 LAKE SHORE ROAD, P O BOX 2028,
BUFFALO, NY, 14219-0228, 7168266500 - 437,911 ($7,637,167.84) Equity,
(File 333-147117 - Nov. 2) (BR. 06B)
S-3 NEUROCRINE BIOSCIENCES INC, 12790 EL CAMINO REAL, SAN DIEGO, CA, 92130,
(858) 617-7600 - 0 ($150,000,000.00) Equity, (File 333-147118 - Nov. 2)
(BR. 01B)
S-8 Southeastern Bank Financial CORP, 3530 WHEELER RD, AUGUSTA, GA, 30909,
7067386990 - 451,751 ($16,263,036.00) Equity, (File 333-147119 -
Nov. 2) (BR. 07C)
S-8 NEUROCRINE BIOSCIENCES INC, 12790 EL CAMINO REAL, SAN DIEGO, CA, 92130,
(858) 617-7600 - 538,449 ($5,271,416.00) Equity, (File 333-147120 -
Nov. 2) (BR. 01B)
N-2 Highland Credit Strategies Fund, TWO GALLERIA TOWER,
13455 NOEL ROAD, SUITE 800, DALLAS, TX, 75240, 877-665-1287 -
100,000 ($1,838,000.00) Equity, (File 333-147121 - Nov. 2) (BR. 16)
S-3 CLECO POWER LLC, 2030 DONAHUE FERRY ROAD, PINEVILLE, LA, 71360,
3184847400 - 0 ($1,000,000.00) Non-Convertible Debt, (File 333-147122 -
Nov. 2) (BR. 02A)
S-3ASR WILLBROS GROUP INC, DRESDNER BANK BUILDING,
50TH STREET 8TH FLOOR PO BOX 850048, PANAMA 5 REPUBLIC OF, R1, 00000,
5072639282 - 0 ($0.00) Equity, (File 333-147123 - Nov. 2) (BR. 04C)
S-8 YAHOO INC, 4083493300 - 0 ($38,879,237.38) Equity, (File 333-147124 -
Nov. 2) (BR. 03B)
S-8 YAHOO INC, 4083493300 - 0 ($39,810,462.21) Equity, (File 333-147125 -
Nov. 2) (BR. 03B)
F-10 NORTH AMERICAN PALLADIUM LTD, NORTH AMERICAN PALLADIUM STD,
130 ADELAIDE STREET W SUITE 2116, TORONTO ONTARIO CANA, A6, M5H3P5,
4163602655 - 0 ($300,000,000.00) Equity, (File 333-147126 - Nov. 2)
(BR. 04B)
S-8 Ulta Salon, Cosmetics & Fragrance, Inc., 1135 ARBOR DRIVE, ROMEOVILLE,
IL, 60446, (630) 226-0020 - 0 ($175,191,857.00) Equity,
(File 333-147127 - Nov. 2) (BR. 02)
S-8 ASML HOLDING NV, DE RUN 6501, DR VELDHOVEN, P7, 5504, 31402683000 -
0 ($9,531,500.00) Equity, 0 ($3,253,250.00) Other, (File 333-147128 -
Nov. 2) (BR. 10A)
S-4 FOREST OIL CORP, 707 SEVENTEENTH STREET, SUITE 3600, DENVER, CO, 80202,
3038121400 - 0 ($750,000,000.00) Debt, (File 333-147129 - Nov. 2)
(BR. 04A)
S-8 SANOFI-AVENTIS, 174 AVENUE DE FRANCE, PARIS, I0, 75013, 33153774400 -
1,350,000 ($94,911,750.00) Equity, (File 333-147130 - Nov. 2) (BR. 01C)
S-4 NEW MOTION, INC., 42 CORPORATION PARK, SUITE 250, IRVINE, CA, 92606,
(949) 777-3700 - 11,917,520 ($107,484,515.60) Equity,
(File 333-147131 - Nov. 2) (BR. 02A)
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
------------------------------------------------------------------------------------------------------
250 WEST 57TH ST ASSOCIATES L.L.C. NY 4.01,9.01 10/31/07
3D SYSTEMS CORP DE 2.02,7.01,9.01 11/01/07
60 EAST 42ND STREET ASSOCIATES L.L.C. NY 4.01,9.01 10/31/07
AbitibiBowater Inc. DE 4.01,9.01 10/29/07
ABX AIR INC 7.01,9.01 11/02/07
ACCENTIA BIOPHARMACEUTICALS INC 1.01,2.03,3.02,9.01 10/30/07
ACHILLION PHARMACEUTICALS INC 2.02,9.01 11/02/07
ACORN FACTOR, INC. DE 5.05,9.01 10/30/07
ACTION PRODUCTS INTERNATIONAL INC FL 1.01,9.01 10/31/07
ACURA PHARMACEUTICALS, INC NY 1.01,9.01 10/30/07
ACURA PHARMACEUTICALS, INC NY 2.02,9.01 11/02/07
ADVANCED ANALOGIC TECHNOLOGIES INC DE 5.02 10/24/07
ADVANCED COMMUNICATIONS TECHNOLOGIES FL 2.01,9.01 08/17/07 AMEND
ADVENTRX PHARMACEUTICALS INC DE 8.01,9.01 11/02/07
ADVENTRX PHARMACEUTICALS INC DE 7.01,9.01 11/02/07
AGILYSYS INC OH 2.02,7.01,9.01 11/02/07
AGREE REALTY CORP DE 2.02,9.01 11/01/07
AIRTRAN HOLDINGS INC NV 2.02,7.01,9.01 10/30/07
AIS FUTURES FUND IV LP DE 3.02 10/31/07
Akeena Solar, Inc. DE 1.01,3.02,9.01 11/01/07
ALBANY INTERNATIONAL CORP /DE/ DE 2.05 11/02/07
ALCOA INC PA 8.01,9.01 11/02/07
ALKERMES INC PA 8.01,9.01 10/31/07
ALLIANT ENERGY CORP WI 5.02,9.01 11/01/07
ALLIANT ENERGY CORP WI 2.02,9.01 11/02/07
ALLIANT TECHSYSTEMS INC DE 1.01,5.02,9.01 10/29/07
ALLIED MOTION TECHNOLOGIES INC CO 5.03,9.01 10/30/07
Allis Chalmers Energy Inc. DE 2.02,7.01,9.01 11/02/07
ALLTEL CORP DE 7.01,9.01 11/01/07
Alternative Loan Trust 2007-OA11 7.01,9.01 11/02/07
Altra Holdings, Inc. DE 2.02,9.01 11/02/07
AMEREN CORP MO 8.01,9.01 11/02/07
AMERIANA BANCORP IN 2.02,9.01 10/31/07
AMERICAN BUSINESS CORP CO 1.03,9.01 10/26/07
AMERICAN CRYSTAL SUGAR CO /MN/ MN 7.01 11/01/07
AMERICAN TELSTAR INC CO 5.02,9.01 11/01/07
AMERIPRISE FINANCIAL INC DE 8.01 10/31/07
AMGEN INC DE 1.01,1.02,9.01 11/02/07
AMSURG CORP TN 1.01,2.03,9.01 10/29/07
AMTECH SYSTEMS INC AZ 9.01 10/08/07 AMEND
ANNAPOLIS BANCORP INC MD 2.02,9.01 11/02/07
ANTHRACITE CAPITAL INC MD 1.01,9.01 10/31/07
APARTMENT INVESTMENT & MANAGEMENT CO MD 2.02,9.01 11/02/07
API Nanotronics Corp. 8.01,9.01 11/01/07
APRIA HEALTHCARE GROUP INC DE 7.01,9.01 11/01/07
ARCH CHEMICALS INC VA 2.02,9.01 11/02/07
ARENA PHARMACEUTICALS INC DE 8.01,9.01 11/01/07
ARQULE INC DE 2.02,9.01 11/01/07
ARROWHEAD RESEARCH CORP DE 1.01 10/29/07
Ascent Solar Technologies, Inc. DE 8.01 11/02/07
ASPEN INSURANCE HOLDINGS LTD D0 2.02,5.02,7.01,9.01 10/31/07
ASPEN INSURANCE HOLDINGS LTD D0 7.01,9.01 11/02/07
ASTRONICS CORP NY 2.02,9.01 11/02/07
ASV INC /MN/ MN 2.02,9.01 11/02/07
Atlantic Coast Financial CORP MD 2.02,9.01 10/31/07
Atlas Pipeline Holdings, L.P. DE 2.02,9.01 11/01/07
Atlas Pipeline Holdings, L.P. DE 2.02,9.01 11/01/07 AMEND
ATLAS PIPELINE PARTNERS LP DE 2.02,9.01 11/01/07
AUDIOVOX CORP DE 1.01,9.01 11/01/07
AURIGA LABORATORIES, INC. DE 5.01 11/02/07
Avalon Oil & Gas, Inc. CO 7.01,9.01 10/17/07
AVANT IMMUNOTHERAPEUTICS INC DE 8.01 11/01/07
AVIS BUDGET GROUP, INC. DE 1.01,2.03,9.01 10/29/07
AXESSTEL INC NV 2.02,2.03,3.02,9.01 10/30/07
BALLY TECHNOLOGIES, INC. NV 2.02,4.02,9.01 10/29/07
BALSAM VENTURES INC NV 4.01,9.01 10/24/07
BARNES GROUP INC DE 2.02,9.01 11/01/07
BEA SYSTEMS INC DE 5.02 10/29/07
BECTON DICKINSON & CO NJ 5.02,9.01 11/02/07
BIODELIVERY SCIENCES INTERNATIONAL IN DE 8.01,9.01 10/31/07
BIOVEST INTERNATIONAL INC DE 1.01,2.03,3.02,9.01 10/30/07
BLACK HILLS CORP /SD/ SD 2.02,9.01 11/01/07
BLUE NILE INC DE 5.02,9.01 10/30/07
BMW Vehicle Lease Trust 2007-1 8.01,9.01 11/02/07
BNCCORP INC DE 2.02,9.01 10/30/07
BOISE CASCADE HOLDINGS, L.L.C. DE 5.02,9.01 10/29/07
BOSTON SCIENTIFIC CORP DE 1.01,5.02,9.01 10/30/07
BOWATER INC DE 2.01,3.01,4.01,9.01 10/29/07
BreitBurn Energy Partners L.P. DE 7.01,9.01 11/01/07
BRINKER INTERNATIONAL INC DE 5.03,7.01,8.01,9.01 11/01/07
Brooke Credit CORP DE 5.02 10/29/07
BUCYRUS INTERNATIONAL INC DE 2.02,9.01 11/01/07
CAI International, Inc. 2.02,9.01 11/01/07
Cal Dive International, Inc. DE 8.01,9.01 11/02/07
CALGON CARBON CORPORATION DE 2.02 11/02/07
CALIFORNIA COASTAL COMMUNITIES INC DE 2.02,9.01 11/01/07
CAMBREX CORP DE 2.02,9.01 11/01/07
CAMBRIDGE HEART INC DE 1.01,5.02 10/29/07
CAMDEN PROPERTY TRUST TX 2.02,9.01 11/01/07
CAMERON INTERNATIONAL CORP DE 8.01 11/02/07
Cape Fear Bank CORP NC 2.02,9.01 11/01/07
CAPITALSOURCE INC DE 5.03,9.01 10/30/07
CAPITALSOURCE INC DE 5.02 06/14/07 AMEND
CAPSOURCE FINANCIAL INC CO 1.01,2.03,9.01 10/31/07
CARBIZ INC A6 2.03 10/31/07
CARDINAL COMMUNICATIONS, INC NV 8.01,9.01 10/10/07
CARDIODYNAMICS INTERNATIONAL CORP CA 4.02 10/30/07
CARLATERAL, INC. NV 1.01,2.01,3.02,5.01,5.06,9.01 10/29/07
CARRIAGE SERVICES INC DE 2.02,9.01 11/01/07
CATUITY INC DE 1.01,1.02,2.01,5.02 10/19/07
CBRL GROUP INC TN 5.02 10/29/07
CECO ENVIRONMENTAL CORP DE 1.01,7.01,9.01 10/30/07
CENTER BANCORP INC NJ 5.02 10/31/07
CENTERPOINT ENERGY INC 2.02,9.01 11/02/07
CENTRAL VERMONT PUBLIC SERVICE CORP VT 2.02,7.01,9.01 11/02/07
CEPHALON INC DE 8.01,9.01 10/23/07
CHAMPION ENTERPRISES INC MI 1.01,9.01 10/29/07
CHANCELLOR GROUP INC/ NV 1.03 10/29/07
CHEESECAKE FACTORY INC DE 8.01,9.01 11/02/07
Chelsea Therapeutics International, L DE 1.01,8.01,9.01 11/01/07
CHEMBIO DIAGNOSTICS, INC. NV 7.01,9.01 11/02/07
Chemtura CORP DE 2.02,9.01 11/01/07
CHEVRON CORP DE 2.02 11/02/07
CHICOS FAS INC FL 8.01 11/02/07
CHILDRENS PLACE RETAIL STORES INC 1.01 11/02/07
CHINACAST EDUCATION CORP DE 8.01 11/02/07
CHL Mortgage Pass-Through Trust 2007- 7.01,9.01 11/02/07
CIBER INC DE 5.02,9.01 10/24/07 AMEND
CIGNA CORP DE 2.02 10/31/07
CINCINNATI BELL INC OH 2.02,7.01,9.01 11/02/07
CIRRUS LOGIC INC DE 8.01 10/29/07
Citizens Community Bancorp Inc. MD 2.02,9.01 11/02/07
CITIZENS REPUBLIC BANCORP, INC. MI 5.04,9.01 11/02/07
CLEARWIRE CORP 1.01,2.03,7.01,9.01 11/02/07
CLEVELAND CLIFFS INC OH 2.02,9.01 11/01/07
CLEVELAND CLIFFS INC OH 7.01,9.01 11/02/07
COFFEE PACIFICA INC NV 5.02,8.01 09/05/07 AMEND
Coleman Cable, Inc. DE 1.01,2.02,9.01 11/01/07
COLORADO GOLDFIELDS INC. NV 5.03,7.01,9.01 10/29/07
COMMERCE GROUP INC /MA MA 8.01 11/02/07
COMMUNITY BANCORP /VT VT 1.01,2.03 10/30/07
COMMUNITY BANCORP /VT VT 1.01,2.03,9.01 10/30/07 AMEND
Community Bankers Acquisition Corp. 5.02,5.03,9.01 10/29/07
COMMUNITY WEST BANCSHARES / CA 5.02,9.01 11/02/07
COMPUTER TASK GROUP INC NY 1.01,9.01 10/31/07
COMPX INTERNATIONAL INC DE 2.02,7.01,9.01 11/01/07
CONSUMER PORTFOLIO SERVICES INC CA 9.01 09/27/07 AMEND
CONTINENTAL AIRLINES INC /DE/ DE 8.01,9.01 11/01/07
COOPERATIVE BANKSHARES INC NC 7.01,9.01 11/02/07
CORN PRODUCTS INTERNATIONAL INC DE 5.02 11/02/07
COUNTRYWIDE FINANCIAL CORP DE 5.03,9.01 08/22/07 AMEND
CRAY INC WA 2.02,9.01 11/01/07
CREDIT ACCEPTANCE CORPORATION MI 7.01,9.01 11/02/07
CREDIT ACCEPTANCE CORPORATION MI 1.01,2.02,2.03,9.01 10/29/07
CROSS A T CO RI 5.02 10/30/07
CSS INDUSTRIES INC DE 1.01,7.01,9.01 10/31/07
CUISINE SOLUTIONS INC DE 2.02,9.01 11/01/07
DaimlerChrysler Financial Services Am 8.01,9.01 10/31/07
DANA CORP VA 8.01,9.01 10/31/07
DANAHER CORP /DE/ DE 8.01,9.01 11/01/07
Deli Solar (USA), Inc. NV 5.03,8.01,9.01 10/29/07
DELPHAX TECHNOLOGIES INC MN 3.01,9.01 10/29/07
DELTA APPAREL INC GA 2.02,7.01,9.01 11/02/07
DEPOMED INC CA 1.01,1.02 10/29/07
Deutsche Alt-A Securities Mortgage Lo DE 1.01,6.02 11/02/07
Devine Entertainment CORP A6 8.01,9.01 11/01/07
DIGI INTERNATIONAL INC DE 2.02 11/01/07
DIGIMARC CORP DE 2.02,9.01 11/02/07
DIGITAL LIFESTYLES GROUP INC DE 5.02,8.01 10/30/07
DISCOVER CARD MASTER TRUST I DE 8.01 10/31/07
DISCOVERY LABORATORIES INC /DE/ DE 8.01,9.01 11/01/07
DOLLAR FINANCIAL CORP DE 2.02,9.01 10/30/07
DTE ENERGY CO MI 7.01,9.01 11/02/07
Duke Energy CORP DE 2.02,9.01 11/02/07
DUSA PHARMACEUTICALS INC NJ 5.03,9.01 11/01/07
EAGLE ROCK ENERGY PARTNERS L P DE 2.01,9.01 08/06/07 AMEND
ECOTALITY, INC. NV 5.02,5.03,9.01 10/31/07
Eddie Bauer Holdings, Inc. DE 7.01,9.01 11/02/07
EDISON INTERNATIONAL CA 2.02,9.01 11/02/07
EDO CORP NY 8.01,9.01 11/02/07
ELECTRONIC DATA SYSTEMS CORP /DE/ DE 2.02,9.01 11/02/07
ELECTRONICS FOR IMAGING INC DE 5.02 10/29/07
ELIZABETH ARDEN INC FL 2.02,9.01 11/02/07
EMAK Worldwide, Inc. DE 2.02,2.05,9.01 09/30/07
Embarq CORP DE 2.02,9.01 11/01/07
EMPIRE STATE BUILDING ASSOCIATES L.L. NY 4.01,9.01 10/31/07
EMPYREAN HOLDINGS, INC NV 5.02 11/01/07
Encore Bancshares Inc TX 9.01 07/26/07 AMEND
ENCORIUM GROUP INC NV 3.02 11/01/07
ENCYSIVE PHARMACEUTICALS INC DE 2.02,9.01 11/02/07
ENER1 INC FL 5.02,8.01,9.01 10/30/07
ENERGIZER HOLDINGS INC MO 5.02 10/29/07
Energy Transfer Equity, L.P. DE 8.01 11/01/07
Energy Transfer Partners, L.P. DE 8.01 11/01/07
ENTERPRISE FINANCIAL SERVICES CORP DE 5.02 10/25/07
EPIX Pharmaceuticals, Inc. 5.02 10/29/07
EQUIFAX INC GA 5.02 11/01/07 AMEND
EXACT SCIENCES CORP DE 2.02,9.01 11/02/07
EXELON CORP PA 5.02 10/29/07
EXTERRAN HOLDINGS INC. DE 2.02,9.01 11/02/07
EXTERRAN PARTNERS, L.P. DE 2.02,9.01 11/02/07
EXXON MOBIL CORP NJ 5.02 11/02/07
EYE CARE CENTERS OF AMERICA INC TX 5.02,9.01 11/02/07
EZENIA INC DE 2.02,9.01 11/01/07
FACTORY CARD & PARTY OUTLET CORP DE 1.01 10/31/07
FARMERS & MERCHANTS BANCORP INC OH 5.02 10/30/07
FARMERS CAPITAL BANK CORP KY 8.01,9.01 11/02/07
Federal Home Loan Bank of Des Moines X1 7.01,9.01 10/31/07
FERRO CORP OH 2.02,2.05,9.01 10/15/07
FIRST CAPITAL INC IN 2.02,9.01 11/02/07
FIRST CHARTER CORP /NC/ NC 2.02,8.01,9.01 11/02/07
FIRST INDIANA CORP IN 8.01,9.01 11/02/07
FIRST MERCURY FINANCIAL CORP DE 2.02,9.01 10/31/07
FIRST PACTRUST BANCORP INC MD 2.02,9.01 11/02/07
FIRST UNITED ETHANOL LLC GA 7.01,9.01 11/02/07
Flag Intermediate Holdings CORP DE 2.02,9.01 10/30/07
FLEETWOOD ENTERPRISES INC/DE/ DE 2.02,9.01 11/02/07
FMC TECHNOLOGIES INC DE 5.02 10/31/07
FOLDERA, INC 5.02,7.01,9.01 10/31/07
FORCE PROTECTION INC NV 1.01,9.01 10/29/07
FOREST OIL CORP NY 5.02 11/02/07
FORSTER DRILLING CORP NV 7.01,9.01 11/01/07
FRANKLIN BANK CORP 7.01,9.01 11/02/07
FTI CONSULTING INC MD 2.02,7.01,9.01 11/01/07
FUSHI INTERNATIONAL INC NV 5.02,9.01 10/29/07
GASCO ENERGY INC NV 2.02,9.01 11/01/07
GateHouse Media, Inc. DE 8.01,9.01 11/01/07
GB&T BANCSHARES INC GA 8.01,9.01 11/02/07
GENERAL MOTORS CORP DE 8.01 11/02/07
GENOPTIX INC 5.03,8.01,9.01 11/02/07
GEORGIA GULF CORP /DE/ DE 7.01,9.01 11/01/07
GLATFELTER P H CO PA 2.02,9.01 10/30/07
Glenrose Instruments Inc. 5.02 11/02/07
Global Cash Access Holdings, Inc. DE 5.02,9.01 10/31/07
GLOBAL INDUSTRIES LTD LA 5.03,9.01 10/31/07
Global Logistics Acquisition CORP DE 1.01,9.01 11/01/07
GMX RESOURCES INC OK 1.01,9.01 11/02/07
GOLDEN CHIEF RESOURCES INC KS 8.01 11/01/07
GOLFSMITH INTERNATIONAL HOLDINGS INC DE 5.03 11/02/07
GREAT LAKES BANCORP, INC. DE 2.02,9.01 11/02/07
GREATBATCH, INC. DE 1.01,8.01,9.01 10/29/07
GREEN PLAINS RENEWABLE ENERGY, INC. IA 8.01,9.01 11/01/07
GRYPHON GOLD CORP NV 7.01,9.01 11/02/07
HAEMONETICS CORP MA 5.02 10/24/07
Hampden Bancorp, Inc. DE 2.02,7.01,8.01,9.01 10/30/07
HANSEN MEDICAL INC 1.01,3.02,9.01 11/01/07
HARRIS & HARRIS GROUP INC /NY/ NY 5.02,5.05,7.01,9.01 11/01/07
HARRIS INTERACTIVE INC DE 2.02,9.01 11/02/07
HARTFORD LIFE INSURANCE CO CT 9.01 11/02/07
HARTMARX CORP/DE DE 5.02,9.01 10/29/07
HAVERTY FURNITURE COMPANIES INC MD 2.02,9.01 09/30/07
HCC INSURANCE HOLDINGS INC/DE/ DE 5.02,7.01,9.01 11/02/07
HERCULES TECHNOLOGY GROWTH CAPITAL IN MD 2.02,9.01 11/01/07
HERITAGE COMMERCE CORP CA 2.02,8.01,9.01 09/30/07
HF FINANCIAL CORP DE 2.02,8.01,9.01 10/29/07
High Point Transport, Inc. FL 1.01,2.01,3.02,5.02,5.06,9.01 10/17/07
HOLLIS EDEN PHARMACEUTICALS INC /DE/ DE 2.02,9.01 11/02/07
HOME FEDERAL BANCORP INC 2.02,9.01 11/02/07
HORIZON BANCORP /IN/ IN 2.02,9.01 11/01/07
HOST HOTELS & RESORTS L.P. DE 5.02,9.01 10/31/07
HOST HOTELS & RESORTS, INC. MD 5.02,9.01 10/31/07
House of Taylor Jewelry, Inc. NV 9.01 11/01/07
HSBC USA INC /MD/ MD 8.01 11/02/07
HYDROGEN POWER INC DE 5.02,8.01,9.01 10/26/07
IBASIS INC DE 4.01,5.02,7.01,9.01 10/29/07
ICAGEN INC DE 2.02,9.01 11/02/07
ICONIX BRAND GROUP, INC. DE 2.02,9.01 10/31/07
IDLEAIRE TECHNOLOGIES CORP DE 5.02,5.03,9.01 10/29/07
IDM PHARMA, INC. DE 8.01,9.01 11/02/07
IEA INCOME FUND XII LP CA 1.01,2.01,9.01 11/01/07
IMAX CORP A6 2.04,9.01 10/29/07
IMMUNICON CORP 2.02,9.01 11/02/07
IMMUNICON CORP 7.01,9.01 11/02/07
ImmunoCellular Therapeutics, Ltd. DE 5.02 10/29/07
IMPERIAL SUGAR CO /NEW/ TX 5.02,9.01 10/31/07
INDEVUS PHARMACEUTICALS INC DE 5.02,9.01 10/30/07
INSIGHTFUL CORP DE 2.02,9.01 11/02/07
Intermec, Inc. DE 2.02,7.01,9.01 11/01/07 AMEND
INTERNATIONAL BARRIER TECHNOLOGY INC/ 7.01,9.01 07/19/07
INTERNATIONAL PAPER CO /NEW/ NY 2.02,9.01 11/02/07
INTERNATIONAL RECTIFIER CORP /DE/ DE 1.01,5.02,7.01,9.01 10/29/07
INVESTOOLS INC DE 2.02,9.01 11/01/07
IPARTY CORP DE 2.02,9.01 11/02/07
IR BIOSCIENCES HOLDINGS INC DE 5.02 11/01/07
ISECURETRAC CORP DE 1.01,1.02,2.03,5.02,9.01 10/29/07
itLinkz Group, Inc. FL 4.01 09/28/07
IVANHOE ENERGY INC 2.03 09/14/07
JACKSONVILLE BANCORP INC /FL/ FL 8.01,9.01 11/02/07
James River Coal CO VA 2.02,9.01 11/02/07
K-SEA TRANSPORTATION PARTNERS LP 2.02,9.01 10/31/07
KB HOME DE 5.02,9.01 10/29/07
KEY ENERGY SERVICES INC MD 5.03,8.01,9.01 11/02/07
KING PHARMACEUTICALS INC TN 1.02,9.01 10/29/07
KNBT BANCORP INC PA 1.02 11/02/07
LEAPFROG ENTERPRISES INC 5.03,9.01 10/30/07
Legacy Bancorp, Inc. DE 7.01,9.01 11/02/07
LIGHTPATH TECHNOLOGIES INC DE 5.03,9.01 11/01/07
LOCAL.COM DE 5.03,9.01 10/30/07
LORAL SPACE & COMMUNICATIONS INC. DE 1.01,2.01,8.01,9.01 10/31/07
MAGELLAN HEALTH SERVICES INC DE 2.02,9.01 11/02/07
MAGNA ENTERTAINMENT CORP DE 7.01,8.01,9.01 10/29/07
MARINEMAX INC DE 2.02,9.01 11/01/07
MARTHA STEWART LIVING OMNIMEDIA INC DE 2.02,7.01,9.01 11/02/07
MARTIN MIDSTREAM PARTNERS LP DE 5.03,7.01,9.01 11/01/07
MCGRAW-HILL COMPANIES INC NY 1.01,8.01,9.01 10/30/07
MCMORAN EXPLORATION CO /DE/ DE 8.01,9.01 11/01/07
MEDAREX INC NJ 9.01 05/15/07 AMEND
Medefile International, Inc. NV 5.02,9.01 10/30/07
MEDICAL DISCOVERIES INC UT 1.01,9.01 10/30/07
MEDQUIST INC NJ 8.01,9.01 11/02/07
MEMORY PHARMACEUTICALS CORP 8.01,9.01 11/02/07
Meruelo Maddux Properties, Inc. DE 7.01,9.01 10/31/07
METHODE ELECTRONICS INC DE 5.03,9.01 09/13/07
MICROMET, INC. DE 1.01 10/29/07
MIDAMERICAN ENERGY HOLDINGS CO /NEW/ IA 7.01,9.01 11/02/07
MIDAMERICAN FUNDING LLC IA 7.01,9.01 11/02/07
MIDDLESEX WATER CO NJ 8.01,9.01 11/02/07
MOCON INC MN 2.02,9.01 11/01/07
MONEYGRAM INTERNATIONAL INC 1.01 10/31/07
MONTPELIER RE HOLDINGS LTD D0 1.01,9.01 08/13/07 AMEND
MOTHERS WORK INC DE 5.02 11/01/07
MOVE INC DE 2.02,9.01 11/01/07
MPHASE TECHNOLOGIES INC NJ 8.01 11/02/07
MUELLER INDUSTRIES INC DE 8.01,9.01 11/02/07
MUELLER INDUSTRIES INC DE 5.02,9.01 11/01/07
Mueller Water Products, Inc. DE 5.02,9.01 11/02/07
My Quote Zone, Inc. NV 4.01,9.01 11/02/07
Nalco Finance Holdings LLC 5.02,9.01 11/02/07
Nalco Holding CO 5.02,9.01 11/02/07
Nalco Holdings LLC DE 5.02,9.01 11/02/07
Nascent Wine Company, Inc. 1.01,2.01,7.01,9.01 10/29/07
NASHUA CORP MA 2.02,9.01 11/01/07
NATIONAL HEALTHCARE CORP DE 1.01,2.01,9.01 10/30/07
National Interstate CORP OH 2.02,9.01 11/01/07
NATURAL RESOURCE PARTNERS LP DE 2.02,9.01 11/01/07
NEAH POWER SYSTEMS, INC. NV 5.03 11/02/07
NEDAK ETHANOL, LLC NE 1.01,9.01 11/02/07
NELNET INC NE 1.01,2.02,5.02,9.01 10/31/07
NeoStem, Inc. DE 7.01,9.01 11/01/07
NEUSTAR INC 5.02,9.01 10/29/07
NEWALLIANCE BANCSHARES INC 5.03,9.01 10/30/07
NEWBRIDGE BANCORP NC 2.02,9.01 10/31/07
NewPage Holding CORP DE 5.02 10/29/07
NEXTPHASE WIRELESS, INC. NV 3.03,5.03,8.01 11/02/07 AMEND
NextWave Wireless Inc. DE 5.03,9.01 10/30/07
NIC INC CO 7.01,9.01 11/02/07
NISOURCE INC/DE DE 2.02,9.01 11/02/07
NNN Healthcare/Office REIT, Inc. MD 2.03,9.01 10/19/07 AMEND
NORTH AMERICAN SCIENTIFIC INC 1.01,2.03,9.01 10/29/07
NORTH EUROPEAN OIL ROYALTY TRUST DE 5.03,9.01 10/31/07
NORTH POINTE HOLDINGS CORP 7.01,9.01 11/02/07
NORTHWEST AIRLINES INC /MN DE 9.01 11/02/07 AMEND
NORTHWESTERN CORP DE 1.01,2.02,9.01 11/02/07
NOVELL INC DE 8.01 10/31/07
NRG ENERGY, INC. DE 2.02,9.01 11/02/07
NRG ENERGY, INC. DE 8.01,9.01 11/02/07
NTELOS HOLDINGS CORP 2.02,9.01 11/01/07
NUVEEN INVESTMENTS INC DE 5.02,9.01 10/31/07
NxStage Medical, Inc. DE 2.02,8.01,9.01 10/31/07
NYFIX INC DE 2.05,2.06 10/29/07
NYSE Euronext DE 2.02,9.01 11/02/07
OLD DOMINION FREIGHT LINE INC/VA VA 5.02,5.03,9.01 10/29/07
OLIN CORP VA 9.01 08/31/07 AMEND
OM GROUP INC DE 2.02,9.01 11/02/07
ON ASSIGNMENT INC DE 2.02,9.01 11/01/07
ORCHID CELLMARK INC 2.01,3.02,9.01 10/31/07
ORCHID CELLMARK INC 2.02,9.01 11/01/07
OTTER TAIL CORP MN 5.02,9.01 10/29/07
Owens Corning DE 7.01,9.01 11/02/07
PACIFICORP /OR/ OR 7.01,9.01 11/02/07
Paramount Acquisition Corp DE 8.01,9.01 11/01/07
Paramount Acquisition Corp DE 9.01 11/02/07 AMEND
PAVILION BANCORP INC 2.02,9.01 10/31/07
PEAPACK GLADSTONE FINANCIAL CORP NJ 2.02,9.01 11/01/07
PEDIATRIX MEDICAL GROUP INC FL 2.02,5.03,9.01 11/01/07
PENWEST PHARMACEUTICALS CO WA 2.02,9.01 11/02/07
PEP BOYS MANNY MOE & JACK PA 8.01 11/01/07
PEPCO HOLDINGS INC DE 7.01,9.01 11/02/07
PERMA FIX ENVIRONMENTAL SERVICES INC DE 5.03,9.01 10/30/07
PERRIGO CO MI 5.03,9.01 10/30/07
PETRO RESOURCES CORP DE 1.01,8.01,9.01 10/29/07
PHARMACOPEIA INC DE 2.02,9.01 11/01/07
Pharmasset Inc 8.01,9.01 11/02/07
Pharmasset Inc 5.02 11/02/07
PHARMOS CORP NV 7.01 11/01/07
PHH CORP MD 1.01,2.03,9.01 10/30/07
PHOTOMEDEX INC DE 2.02,9.01 11/01/07
PIONEER DRILLING CO TX 2.02,9.01 11/02/07
PLATINA ENERGY GROUP INC. DE 2.03,3.02,8.01,9.01 11/01/07
PLAYLOGIC ENTERTAINMENT INC DE 2.02,9.01 11/02/07
PLX TECHNOLOGY INC DE 8.01 11/02/07
PNM RESOURCES INC NM 2.02,9.01 09/30/07
POLYMEDIX INC 7.01,9.01 11/02/07
PONIARD PHARMACEUTICALS, INC. WA 2.02,8.01,9.01 11/01/07
PORTEC RAIL PRODUCTS INC WV 2.02,9.01 11/01/07
POST PROPERTIES INC GA 1.01,9.01 11/02/07
POWER EFFICIENCY CORP DE 1.01,1.02,3.02,9.01 11/02/07
Power Medical Interventions, Inc. DE 5.03,8.01,9.01 10/31/07
PPG INDUSTRIES INC PA 7.01 11/02/07
PREMIER WEALTH MANAGEMENT, INC. DE 2.02,4.02 10/29/07
PRIVATEBANCORP, INC DE 5.02,7.01,8.01,9.01 10/31/07
PRIVATEBANCORP, INC DE 8.01,9.01 11/02/07
PROSPECT CAPITAL CORP MD 8.01,9.01 11/02/07
Protalix BioTherapeutics, Inc. FL 7.01,9.01 11/02/07
PUBLICARD INC PA 7.01,9.01 11/02/07
PUGET ENERGY INC /WA WA 2.02 11/01/07
PURE BIOFUELS CORP NV 1.01,9.01 10/29/07
QCR HOLDINGS INC DE 8.01,9.01 09/30/07
QUANEX CORP DE 7.01 10/29/07
QUANEX CORP DE 7.01 11/01/07
QUEPASA CORP NV 4.01,9.01 10/30/07
QUEST RESOURCE CORP NV 1.01,2.01,2.03,7.01,9.01 11/01/07
QUESTAR ASSESSMENT, INC. DE 5.02,9.01 11/01/07
QUIXOTE CORP DE 2.02,9.01 11/01/07
R&G FINANCIAL CORP PR 2.01,7.01,9.01 11/02/07
R&G FINANCIAL CORP PR 2.06 09/12/07 AMEND
RADIAN GROUP INC DE 5.02,7.01,9.01 10/30/07
RADIAN GROUP INC DE 2.06 07/29/07 AMEND
RAVEN BIOFUELS INTERNATIONAL CORP NV 1.01,9.01 10/29/07
RAZOR RESOURCES INC DE 5.02 11/01/07
RBC Bearings INC 2.02,9.01 11/02/07
Reel Estate Services Inc. NV 5.01,5.02 10/25/07
REGENERON PHARMACEUTICALS INC NY 8.01,9.01 11/01/07
Reliance Bancshares, Inc. MO 8.01,9.01 11/02/07
REPLIDYNE INC DE 7.01 11/02/07
RES CARE INC /KY/ KY 5.02,9.01 10/30/07
REVLON INC /DE/ DE 5.02 11/01/07
RIVIERA HOLDINGS CORP NV 7.01,9.01 11/02/07
ROMA FINANCIAL CORP X1 2.02,9.01 11/02/07
ROWAN COMPANIES INC DE 5.03,9.01 10/30/07
RR Donnelley & Sons Co DE 8.01,9.01 10/30/07
RUDDICK CORP NC 2.02,9.01 11/01/07
SAFLINK CORP DE 1.01,9.01 11/01/07
SARATOGA RESOURCES INC /TX TX 3.02,5.02 10/30/07
SBA COMMUNICATIONS CORP FL 2.02,9.01 11/01/07
SCANA CORP SC 2.02,9.01 11/02/07
SCHOLASTIC CORP DE 8.01 10/29/07
SCOLR Pharma, Inc. DE 2.02,8.01,9.01 10/30/07
SEABOARD CORP /DE/ DE 2.02,9.01 11/02/07
Secure America Acquisition CORP DE 8.01,9.01 10/29/07
SECURECARE TECHNOLOGIES INC NV 7.01,8.01,9.01 10/29/07
Select Notes Trust LT 2004-1 DE 8.01,9.01 11/01/07
SELIGMAN SELECT MUNICIPAL FUND INC MD 7.01,9.01 11/02/07
Shire plc 8.01,9.01 11/01/07
SIERRA PACIFIC RESOURCES /NV/ NV 2.02,9.01 11/02/07
SINCLAIR BROADCAST GROUP INC MD 5.03,9.01 10/30/07
SKINS INC. NV 5.02,9.01 10/29/07
SMF ENERGY CORP DE 1.01,9.01 10/31/07
SOLUTIA INC DE 7.01,9.01 11/02/07
SONIC FOUNDRY INC MD 5.02,9.01 10/31/07
SOURCE INTERLINK COMPANIES INC DE 1.01,1.02,9.01 10/30/07
SOUTH FINANCIAL GROUP INC SC 5.02 10/31/07
SOUTHERN CALIFORNIA EDISON CO CA 2.02,9.01 11/02/07
SOUTHERN COMMUNITY FINANCIAL CORP 7.01,9.01 11/02/07
SPARTECH CORP DE 8.01,9.01 10/31/07
Specialty Underwriters Alliance, Inc. DE 2.02,9.01 11/01/07
Spectrum Brands, Inc. WI 8.01,9.01 10/31/07
SPEEDWAY MOTORSPORTS INC DE 1.01,8.01,9.01 10/30/07
SPORT HALEY INC CO 5.02,9.01 10/31/07
ST MARY LAND & EXPLORATION CO DE 2.02,9.01 11/01/07
STANDEX INTERNATIONAL CORP/DE/ DE 5.03,9.01 10/30/07
STATION CASINOS INC NV 8.01 11/01/07
STOCKERYALE INC MA 5.02 10/29/07
STONERIDGE INC OH 2.02 11/02/07
STONERIDGE INC OH 2.05 10/29/07
STRATS SM TRUST FOR IBM CORP SEC SERI 8.01,9.01 10/29/07
STRATUM HOLDINGS, INC. NV 1.01,1.02,2.01,9.01 10/26/07
SUPERIOR ESSEX INC DE 2.02,7.01,9.01 11/01/07
Superior Well Services, INC DE 8.01 11/02/07
SURREY BANCORP NC 8.01,9.01 11/01/07
SWMX, INC. DE 5.03,9.01 11/01/07
SYMBOLLON CORP DE 1.01,3.02 10/31/07
SYNIVERSE HOLDINGS INC DE 8.01,9.01 11/01/07
SYNTHESIS ENERGY SYSTEMS INC DE 8.01,9.01 11/02/07
TANDY BRANDS ACCESSORIES INC DE 5.02,5.03,8.01,9.01 10/29/07
TANDY LEATHER FACTORY INC DE 2.02,9.01 11/01/07
TASTY BAKING CO PA 2.02,7.01,9.01 11/02/07
TAUBMAN CENTERS INC MI 1.01,2.03,9.01 11/01/07
TC X CALIBUR INC NV 1.01,9.01 11/02/07
TECO ENERGY INC FL 1.01,2.02,5.02,9.01 10/29/07
TELECOMMUNICATION SYSTEMS INC /FA/ 2.02,9.01 11/01/07
TELOMOLECULAR CORP DE 8.01 10/01/07
TENFOLD CORP /UT DE 2.02 11/01/07
TENNECO INC DE 8.01,9.01 11/01/07
THERMADYNE HOLDINGS CORP /DE DE 8.01,9.01 10/31/07
THOMAS PROPERTIES GROUP INC DE 2.02,9.01 11/02/07
THRESHOLD PHARMACEUTICALS INC DE 1.01,2.05,5.02,9.01 10/29/07
TITANIUM METALS CORP DE 2.02,7.01,9.01 10/26/07
TOREADOR RESOURCES CORP TX 7.01,9.01 11/01/07
TOUCHSTONE SOFTWARE CORP /CA/ DE 1.01 11/02/07
TOWER FINANCIAL CORP IN 8.01,9.01 11/02/07
TRACTOR SUPPLY CO /DE/ DE 5.02 11/02/07
TRANSCOMMUNITY FINANCIAL CORP VA 5.02,9.01 11/01/07
TRI STATE 1ST BANK INC OH 5.02 11/02/07
TRI-ISTHMUS GROUP, INC. DE 2.04,3.02,9.01 10/29/07
TSR INC DE 1.01,9.01 10/31/07
U S GOLD CORP CO 5.03,9.01 10/30/07
U-Store-It Trust MD 2.02,9.01 11/01/07
UBS Managed Futures LLC (Aspect Serie 3.02 11/01/07
ULTRALIFE BATTERIES INC DE 1.01,9.01 10/30/07
UNISOURCE ENERGY CORP AZ 2.02,9.01 11/01/07
UNIVERSAL AMERICAN FINANCIAL CORP NY 2.02,7.01 11/01/07
UNIVERSAL BIOSENSORS INC DE 1.01 10/29/07
URANERZ ENERGY CORP. NV 8.01 11/01/07
UTEK CORP 2.02,9.01 11/02/07
Valley Commerce Bancorp CA 2.02,9.01 11/01/07
Vanda Pharmaceuticals Inc. DE 8.01,9.01 11/02/07
Vanguard Natural Resources, LLC DE 1.01,5.03,9.01 10/29/07
VCG HOLDING CORP CO 1.01,2.01,2.03,3.02,8.01,9.01 10/29/07
VECTREN CORP IN 2.02 11/01/07
VERASUN ENERGY CORP 2.01,9.01 08/17/07 AMEND
VERTEX PHARMACEUTICALS INC / MA MA 8.01,9.01 11/02/07
Viacom Inc. DE 2.02,9.01 11/02/07
VIASPACE Inc. NV 1.01,9.01 10/30/07
VIEWPOINT CORP DE 2.01,3.02,9.01 10/31/07
VISTA GOLD CORP 5.02 11/01/07
VOIP INC 1.01,2.04,9.01 10/26/07
Voyant International CORP NV 1.01 11/02/07
VSE CORP DE 2.02,9.01 09/30/07
WALTER INDUSTRIES INC /NEW/ DE 2.02,9.01 11/01/07
WALTER INDUSTRIES INC /NEW/ DE 7.01,9.01 11/02/07
WASHINGTON POST CO DE 2.02,9.01 11/01/07
WEINGARTEN REALTY INVESTORS /TX/ TX 2.02,9.01 11/01/07
WESTAR ENERGY INC /KS KS 2.02,9.01 11/02/07
WESTAR ENERGY INC /KS KS 2.02,9.01 11/02/07 AMEND
WESTMORELAND COAL CO DE 1.01,2.03,9.01 10/29/07
WILLBROS GROUP INC R1 8.01,9.01 11/02/07
WOLVERINE TUBE INC DE 2.02,9.01 11/01/07
Wonder Auto Technology, Inc NV 2.02,9.01 11/02/07
WORLD WASTE TECHNOLOGIES INC CA 1.02,7.01 10/29/07
WORLDWATER & SOLAR TECHNOLOGIES CORP. DE 1.01,9.01 10/29/07
WPCS INTERNATIONAL INC DE 1.01,2.01,9.01 11/01/07
WRIGHT MEDICAL GROUP INC DE 2.05,2.06 06/14/07 AMEND
WSB Financial Group, Inc. WA 8.01 10/30/07
WYNN RESORTS LTD 8.01,9.01 11/01/07
XCEL ENERGY INC MN 2.02,9.01 11/02/07
XSUNX INC CO 1.01,3.02,9.01 11/01/07
XSUNX INC CO 1.01,3.02,9.01 11/01/07 AMEND
XTENT INC 2.02,9.01 11/02/07
YARRAMAN WINERY, INC. NV 4.01,5.02,9.01 09/20/07
Z TRIM HOLDINGS, INC IL 4.02,5.03,9.01 10/31/07
http://www.sec.gov/news/digest/2007/dig110507.htm
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