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SEC NEWS DIGEST
Issue 2007-214 November 6, 2007
ENFORCEMENT PROCEEDINGS
COMMISSION SUSTAINS IN PART AND SETS ASIDE IN PART DISCIPLINARY ACTION
AGAINST SISUNG SECURITIES CORPORATION AND LAWRENCE J. SISUNG, JR.
The Commission has sustained in part and set aside in part NASD
disciplinary action against Sisung Securities Corporation (SSC) and
Lawrence J. Sisung, Jr. (Sisung). NASD found that SSC violated
Municipal Securities Rulemaking Board (MSRB) Rules G-37(b), G-37(c),
G-37(e), G-8, and G-9, and that Sisung violated, or was responsible
for SSC's violations of, MSRB Rules G-37(c), G-8, and G-9. NASD found
that SSC and Sisung violated MSRB Rule G-37, the so-called "pay-to-
play" rule, by engaging in municipal securities business with
Louisiana political subdivisions within two years of contributions to
members of the Louisiana Bond Commission. NASD also found that SSC and
Sisung violated related recordkeeping and reporting requirements by
failing to record and report contributions to Bond Commission members
as well as contributions to other Louisiana political officials. NASD
fined SSC $20,000 for its violations of Rules G-37(b) and (c), fined
Sisung $20,000 for his violations of Rule G-37(c), fined SSC and
Sisung $10,000, jointly and severally, for the violations of Rules G-8
and G-9, and fined SSC $10,000 for its violations of Rule G-37(e).
The Commission set aside NASD's findings that SSC and Sisung violated
MSRB Rules G-37(b) and G-37(c) as well as the sanctions NASD imposed
for these violations. The Commission found that members of the
Louisiana Bond Commission did not constitute "officials of an issuer,"
as that term is defined in Rule G-37, with respect to Louisiana
political subdivision issuers. The contributions at issue in the case,
therefore, did not subject SSC to a two-year ban under Rule G-37(b) on
engaging in municipal securities business with Louisiana political
subdivisions. The contributions thus also did not violate Rule G-
37(c)'s proscription against soliciting or coordinating contributions
to an official of an issuer with which SSC was engaging or seeking to
engage in municipal securities business. Although the Commission
determined, under the facts and circumstances of the case, to set
aside the findings of violation of Rule G-37(b) and (c), it
reemphasized its view that "Rule G-37 serves a compelling government
interest and is essential to diminish pay-to-play practices in the
municipal securities market." With respect to the remainder of the
case, the Commission sustained NASD's findings of recordkeeping and
reporting violations of MSRB Rules G-8, G-9, and G-37(e) as well as
the sanctions imposed for these violations. (Rel. 34-56741; File No.
3-12443)
COMMISSION ORDERS HEARINGS ON REGISTRATION SUSPENSION OR REVOCATION
AGAINST FOUR COMPANIES FOR FAILURE TO MAKE REQUIRED PERIODIC FILINGS
On November 6, the Commission instituted 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 four companies for failure to make required periodic
filings with the Commission:
* Inetvisionz, Inc.
* Intelilabs.com, Inc.
* Pacific Engineering Systems, Inc.
* Rampart General, Inc.
In this Order, the Division of Enforcement (Division) alleges that the
four issuers are delinquent in their required 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
respondents to determine whether the allegations of the Division
contained in the Order, which the Division alleges constitute failures
to comply with 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 registrations pursuant to Exchange Act Section 12 of the
securities of these respondents should be revoked or, in the
alternative, 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. 34-56748;
File No. 3-12886)
SEC OBTAINS FINAL JUDGMENT AGAINST ROBERT KASIRER IN MUNICIPAL REVENUE
BOND OFFERING FRAUD
The Commission announced today that on Oct. 31, 2007, Judge Ronald S.
W. Lew, a U. S. District Court judge in Los Angeles, issued a final
judgment against Defendant Robert A. Kasirer (Kasirer) of Beverly
Hills, California, for his involvement in a municipal bond offering
fraud that was the subject of the Commission's lawsuit filed on June
29, 2004. The judgment entered by the Court (1) permanently enjoined
Kasirer from violating 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; and (2) ordered Kasirer to pay disgorgement in the amount
of $2,193,565, plus prejudgment interest in the amount of $2,797,869,
for a total of $4,991,434. Kasirer consented to the entry of the final
judgment without admitting or denying the allegations contained in the
Commission's complaint.
The Commission's complaint alleged that from February 1996 through
August 1999, Kasirer and others (Defendants), acting in concert,
fraudulently offered and sold over $131 million of municipal revenue
bonds to members of the public to finance the development of ten
healthcare facilities by Heritage Housing Development, Inc. The
Defendants offered and sold the bonds in question through a series of
eleven offerings underwritten by the now-defunct Minnesota securities
dealer Miller & Schroeder Financial, Inc. The bonds were purchased by
more than 1,800 investors residing in 36 States. Kasirer was the
president of the company that selected the properties to be developed
and then managed the Heritage facilities. The complaint further
alleged that Kasirer directed the wrongful commingling and diversion
of millions of dollars of bond proceeds and concealed that practice
from investors. The complaint also alleged that Kasirer, acting
knowingly or with a reckless disregard for the truth, was the primary
author of bond prospectuses which misled investors, and personally
profited from his scheme. [SEC v. Robert A. Kasirer, et al., Case
Number 05-CV-3059-RSWL, USDC, C.D. Calif., (Judge Ronald S. W. Lew)]
(LR-20358)
SELF-REGULATORY ORGANIZATIONS
PROPOSED PLAN FOR THE ALLOCATION OF REGULATORY RESPONSIBILITIES
PURSUANT TO RULE 17d-2
The American Stock Exchange, the Boston Stock Exchange, the Chicago
Board Options Exchange, the International Securities Exchange,
Financial Industry Regulatory Authority, NYSE Arca, and the
Philadelphia Stock Exchange filed a proposed plan for the allocation
of regulatory responsibilities pursuant to Rule 17d-2 (File No. 4-
551). Publication is expected in the Federal Register during the week
of November 5. (Rel. 34-56731)
PROPOSED RULE CHANGE
The Municipal Securities Rulemaking Board filed a proposed rule change
(SR-MSRB-2007-04) relating to amendments to Rule G-40 on e-mail
contacts. Publication is expected in the Federal Register during the
week of November 5. (Rel. 34-56736)
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A proposed rule change (SR-NASDAQ-2007-082) and Amendment No. 1 filed
by The NASDAQ Stock Market to modify fees for members using the Nasdaq
Market Center has become effective under Section 19(b)(3)(A) of the
Securities Exchange Act of 1934. Publication is expected in the
Federal Register during the week of November 5. (Rel. 34-56739)
A proposed rule change (SR NYSE-2007 100) filed by the New York Stock
Exchange to modify the Exchange's transaction fees has become
immediately effective under Section 19(b)(3)(A) of the Securities
Exchange Act of 1934 and Rule 19b-4(f)(2) thereunder. Publication is
expected in the Federal Register during the week of November 12. (Rel.
34-56740)
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 Duke Energy CORP, 526 SOUTH CHURCH STREET, EC03T, CHARLOTTE, NC, 28202,
704-594-6200 - 0 ($2,808,750,000.00) Equity, (File 333-147132 - Nov. 5)
(BR. 02A)
S-4 SAFLINK CORP, 777 108TH AVE NE, SUITE 2100, BELLEVUE, WA, 98004,
4252781100 - 614,980,000 ($43,048,600.00) Equity, (File 333-147133 -
Nov. 5) (BR. 03C)
S-1 VERISIGN INC/CA, 487 EAST MIDDLEFIELD ROAD, ATTN: GENERAL COUNSEL,
MOUNTAIN VIEW, CA, 94043, 6509617500 -
0 ($1,250,000,000.00) Debt Convertible into Equity, (File 333-147135 -
Nov. 5) (BR. 03B)
S-8 VERISIGN INC/CA, 487 EAST MIDDLEFIELD ROAD, ATTN: GENERAL COUNSEL,
MOUNTAIN VIEW, CA, 94043, 6509617500 -
6,000,000 ($169,473,000.00) Equity, (File 333-147136 - Nov. 5) (BR. 03B)
S-3ASR ROYAL GOLD INC, 1660 WYNKOOP STREET, SUITE 1000, DENVER, CO,
80202-1132, 303-573-1660 - 0 ($0.00) Equity, (File 333-147137 - Nov. 5)
(BR. 04A)
F-3 Omega Navigation Enterprises, Inc., 24 KANIGOS STREET, PIRAEUS 185 34,
J3, 00000, 011-30-210-413-2305 -
0 ($175,000,000.00) Unallocated (Universal) Shelf, (File 333-147138 -
Nov. 5) (BR. 05A)
S-3ASR Rockwood Holdings, Inc., 100 OVERLOOK CENTER, PRINCETON, NJ, 08540,
609-514-0300 - 0 ($0.00) Equity, (File 333-147139 - Nov. 5) (BR. 06C)
S-8 NOVA MEASURING INSTRUMENTS LTD, PO BOX 266, 011-972-8-938-7505,
REHOVOT ISRAEL, L3, 76100, 2,500,000 ($7,200,000.00) Equity,
(File 333-147140 - Nov. 5) (BR. 10B)
SB-2 Beleza Luxury Goods, Inc, 5925 KIRBY DRIVE SUITE E 324, HOUSTON, TX,
77005, 713.851.1121 - 799,000 ($39,950.00) Equity, (File 333-147141 -
Nov. 5) (BR. 02)
S-3ASR Burger King Holdings Inc, 5505 BLUE LAGOON DRIVE, MIAMI, FL, 33126,
305-378-3000 - 0 ($712,563,000.00) Equity, (File 333-147142 - Nov. 5)
(BR. 05A)
F-6 USINAS SIDERURGICAS DE MINAS GERAIS SA USIMINAS /FI,
RUA PROFESSOR JOSE VIEIRA DE MENDONCA,
ENGENHO NOGUEIRA CAIXA POSTAL 806, CEP 31310-260 BRAZIL, D5,
50,000,000 ($2,500,000.00) ADRs/ADSs, (File 333-147143 - Nov. 5) (BR. )
S-3 SEQUENOM INC, 3595 JOHN HOPKINS CT, SAN DIEGO, CA, 92121, 8582029000 -
0 ($29,401,181.00) Equity, (File 333-147146 - Nov. 5) (BR. 01C)
S-8 MTS MEDICATION TECHNOLOGIES, INC /DE/, 2003 GANDY BOULEVARD NORTH,
SUITE 800, ST. PETERSBURG, FL, 33702, 7275766311 -
600,000 ($8,244,000.00) Equity, (File 333-147147 - Nov. 5) (BR. 10B)
S-8 ECOLAB INC, ECOLAB CORPORATE CENTER, 370 WABASHA STREET NORTH, ST PAUL,
MN, 55102, 6512932233 - 0 ($46,550,000.00) Equity, (File 333-147148 -
Nov. 5) (BR. 06A)
S-8 HSW International, Inc., 3350 PEACHTREE ROAD, SUITE 1500, ATLANTA, GA,
30326, (404) 364-5823 - 0 ($56,066,014.00) Equity, (File 333-147149 -
Nov. 5) (BR. 11A)
S-8 Park Place Energy Corp., SUITE 300, 840 - 6TH AVENUE SW, CALGARY, A0,
T2P 3E5, 1-877-685-0076 - 6,500,000 ($4,625,000.00) Equity,
(File 333-147150 - Nov. 5) (BR. 04)
S-8 APOLLO GROUP INC, 4615 EAST ELWOOD ST, PHOENIX, AZ, 85040, 6029665394 -
107,311 ($7,742,500.53) Equity, (File 333-147151 - Nov. 5) (BR. 11C)
SB-2 PACER HEALTH CORP, 7759 NW 146 STREET, -, MIAMI LAKES, FL, 33016,
3058287660 - 46,593,323 ($465,933.23) Equity, (File 333-147152 -
Nov. 5) (BR. 01B)
S-3 EXAR CORP, 48720 KATO ROAD, 48720 KATO ROAD, FREMONT, CA, 94538,
5106687000 - 7,591,605 ($81,761,585.85) Equity, (File 333-147153 -
Nov. 5) (BR. 10A)
S-3 EXAR CORP, 48720 KATO ROAD, 48720 KATO ROAD, FREMONT, CA, 94538,
5106687000 - 308,400 ($2,969,892.00) Equity, (File 333-147154 - Nov. 5)
(BR. 10A)
S-3ASR TRIMBLE NAVIGATION LTD /CA/, 935 STEWART DRIVE, SUNNYVALE, CA, 94085,
4084818000 - 44,742 ($1,847,397.00) Equity, (File 333-147155 - Nov. 5)
(BR. 10C)
SB-2 Juma Technology Corp., 154 TOLEDO STREET, FARMINGDALE, NY, 11735,
631-300-1000 - 26,666,668 ($35,300,000.00) Equity, (File 333-147156 -
Nov. 5) (BR. 06A)
S-8 Zep Inc., 4401 NORTHSIDE PARKWAY, SUITE 700, ATLANTA, GA, 30327,
(404) 352-1680 - 0 ($91,454,000.00) Equity, (File 333-147157 - Nov. 5)
(BR. 06C)
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
------------------------------------------------------------------------------------------------------
21ST CENTURY HOLDING CO FL 2.02,9.01 11/05/07
ABFC 2007-WMC1 Trust DE 9.01 11/05/07
ACADIA PHARMACEUTICALS INC DE 2.02,9.01 11/05/07
ACCELLENT INC 2.02 11/05/07
ACNB CORP PA 2.02,9.01 11/05/07
ACTIVISION INC /NY DE 2.02,9.01 11/05/07
ACUSPHERE INC DE 8.01 11/01/07
AFFILIATED COMPUTER SERVICES INC DE 8.01 11/01/07
AFFYMAX INC 5.02,9.01 11/01/07
Aftersoft Group DE 1.01,2.01,9.01 10/30/07
AGL RESOURCES INC GA 5.02,5.03,9.01 10/31/07
ALFA CORP DE 1.01,5.02,9.01 11/04/07
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 11/05/07
ALLIED WASTE INDUSTRIES INC DE 1.01 11/05/07
ALLOS THERAPEUTICS INC DE 2.02,9.01 11/05/07
Altra Holdings, Inc. DE 5.02 11/01/07
AMBIENT CORP /NY DE 1.01,2.03,9.01 11/05/07
AMEDISYS INC DE 7.01,9.01 11/05/07
AMEREN CORP MO 7.01,9.01 11/05/07
AMERICAN AIRLINES INC DE 8.01 11/05/07
AMERICAN BANCORP OF NEW JERSEY INC NJ 2.02,9.01 11/02/07
AMERICAN CAMPUS COMMUNITIES INC MD 1.01,5.02,9.01 11/01/07
AMERICAN ELECTRIC POWER CO INC NY 7.01 11/05/07
American Electric Technologies Inc FL 1.01,1.02,2.03 10/31/07
AMERICAN FINANCIAL REALTY TRUST 8.01,9.01 11/02/07
AMERICAN GREETINGS CORP OH 5.02 10/31/07
AMERICAN HOMEPATIENT INC DE 5.03,9.01 10/31/07
AMERICAN PHYSICIANS SERVICE GROUP INC TX 2.02,9.01 09/30/07
American Wenshen Steel Group, Inc. DE 5.03 11/02/07
AMERISTAR CASINOS INC NV 2.02,9.01 11/05/07
AMR CORP DE 8.01 11/05/07
ANALYSTS INTERNATIONAL CORP 5.02,9.01 11/01/07
ANCHOR BANCORP WISCONSIN INC WI 2.02 11/05/07
ANIXTER INTERNATIONAL INC DE 8.01,9.01 11/02/07
AQUENTIUM INC DE 1.01,8.01,9.01 08/22/07
Argo Group International Holdings, Lt 5.02,9.01 10/31/07
ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 11/05/07
ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 11/01/07
Asia Automotive Acquisition Corp. DE 9.01 11/05/07
ASPECT MEDICAL SYSTEMS INC DE 1.01,3.03,5.03,9.01 11/01/07
ASPEN INSURANCE HOLDINGS LTD D0 5.02,9.01 10/31/07
Aspreva Pharmaceuticals CORP A1 2.02,9.01 11/02/07 AMEND
ASTORIA FINANCIAL CORP DE 2.02,9.01 11/05/07
ASTORIA FINANCIAL CORP DE 8.01,9.01 11/05/07
ASYST TECHNOLOGIES INC CA 2.02,9.01 10/30/07
Atlas Energy Resources, LLC DE 2.02,9.01 11/05/07
ATS MEDICAL INC MN 2.02 11/05/07
AURIGA LABORATORIES, INC. DE 1.01,9.01 10/29/07
AUTOBYTEL INC DE 5.02,9.01 10/30/07
AVOCENT CORP DE 5.03 11/02/07
AXS ONE INC DE 8.01 11/05/07
BACK YARD BURGERS INC DE 8.01,9.01 11/05/07
BAKBONE SOFTWARE INC 2.02,9.01 11/02/07
BALDWIN & LYONS INC IN 2.02,7.01,9.01 11/01/07
BEARD CO /OK OK 8.01,9.01 11/01/07
BEASLEY BROADCAST GROUP INC DE 2.02,9.01 11/05/07
bebe stores, inc. CA 1.01,5.02 11/05/07
BEHRINGER HARVARD REIT I INC MD 8.01,9.01 11/05/07
Beneficial Mutual Bancorp Inc X1 2.02,9.01 11/02/07
BIMINI CAPITAL MANAGEMENT, INC. MD 7.01,8.01,9.01 11/05/07
BIO SOLUTIONS MANUFACTURING, INC. NY 1.01,9.01 10/30/07
Bio-Matrix Scientific Group, Inc. DE 8.01,9.01 11/01/07
BION ENVIRONMENTAL TECHNOLOGIES INC CO 8.01,9.01 10/31/07
BioScrip, Inc. DE 8.01 11/02/07
BNC BANCORP NC 2.02,9.01 11/05/07
Boardwalk Pipeline Partners, LP DE 1.01,7.01,9.01 11/05/07
Bois d Arc Energy, Inc. NV 2.02,9.01 09/30/07
BOK FINANCIAL CORP ET AL OK 3.03,5.03,9.01 10/30/07
BOSTON BEER CO INC MA 1.01 11/02/07
BSD MEDICAL CORP DE 7.01,9.01 11/05/07
BUFFETS HOLDINGS, INC. DE 2.02,9.01 11/05/07
Burger King Holdings Inc DE 2.02,9.01 11/05/07
CA, INC. DE 5.02,9.01 11/05/07
CACI INTERNATIONAL INC /DE/ DE 2.01,8.01,9.01 11/05/07
CALIFORNIA OIL & GAS CORP 3.02,9.01 11/01/07
CANADIAN DERIVATIVES CLEARING CORP A6 9.01 10/31/07
CANO PETROLEUM, INC 8.01,9.01 11/02/07
CAPITAL PROPERTIES INC /RI/ RI 5.02,9.01 10/30/07
CAPITAL TRUST INC MD 1.01 10/30/07
CAPTARIS INC WA 2.02,9.01 11/05/07
CARACO PHARMACEUTICAL LABORATORIES LT MI 9.01 01/19/07 AMEND
CARDINAL HEALTH INC OH 2.02,5.02,7.01,9.01 11/02/07
CARDTREND INTERNATIONAL INC. NV 1.01,2.01,9.01 11/02/07
CAREER EDUCATION CORP DE 2.02,9.01 11/05/07
Carrington Mortgage Loan Trust, Serie DE 6.02 11/01/07
CARTOON ACQUISITION, INC. DE 2.03,8.01,9.01 11/05/07
CASCADE CORP OR 5.02 11/01/07
CEDAR SHOPPING CENTERS INC MD 2.02,7.01,9.01 11/05/07
CENTRAL VERMONT PUBLIC SERVICE CORP VT 2.02,7.01,9.01 11/02/07 AMEND
CF Industries Holdings, Inc. DE 7.01,9.01 11/05/07
Challenger Powerboats, Inc. NV 5.03,9.01 10/27/07
CHARLES RIVER LABORATORIES INTERNATIO 2.02,9.01 11/05/07
CHARMING SHOPPES INC PA 1.01,9.01 10/31/07
CHATSWORTH DATA SOLUTIONS, INC. 5.02,9.01 10/31/07
CHEMICAL FINANCIAL CORP MI 5.02 11/02/07
Chemtura CORP DE 1.01,9.01 09/30/07
Chemtura CORP DE 4.02 08/08/07
CHINA SHEN ZHOU MINING & RESOURCES, I NV 5.02,5.03,9.01 11/02/07
CHURCH & DWIGHT CO INC /DE/ DE 5.03,9.01 10/31/07
CINTEL CORP NV 1.01,3.02,7.01,9.01 10/30/07
CITIBANK CREDIT CARD ISSUANCE TRUST DE 8.01,9.01 11/05/07
CITIGROUP INC DE 7.01,9.01 11/05/07
CLARIENT, INC DE 1.01,9.01 10/30/07
CLECO CORP LA 7.01,9.01 11/05/07
CLOROX CO /DE/ DE 1.01,9.01 10/30/07
CMGI INC DE 3.03,5.03,9.01 10/31/07
CNS RESPONSE, INC. DE 7.01,9.01 11/05/07
Cole Credit Property Trust II Inc MD 5.02 11/02/07
Cole Credit Property Trust Inc MD 5.02 11/02/07
COLONIAL COMMERCIAL CORP NY 1.02,9.01 11/02/07
COMFORCE CORP DE 2.02,9.01 11/01/07
COMPUCREDIT CORP GA 2.02,9.01 11/05/07
COMSTOCK RESOURCES INC NV 2.02,9.01 09/30/07
COMVERSE TECHNOLOGY INC/NY/ NY 8.01,9.01 11/05/07
CONCIERGE TECHNOLOGIES INC CA 1.01,9.01 10/30/07
CORPORATE OFFICE PROPERTIES TRUST MD 1.01,2.02,9.01 11/02/07
COUSINS PROPERTIES INC GA 2.02,9.01 11/05/07
CRYOLIFE INC FL 8.01 11/05/07
CUTERA INC DE 2.02,9.01 11/05/07
CV THERAPEUTICS INC DE 8.01,9.01 11/02/07
CV THERAPEUTICS INC DE 8.01,9.01 11/05/07
CYTOGEN CORP DE 2.02,9.01 11/05/07
CYTOGEN CORP DE 3.01 11/05/07
CYTOGEN CORP DE 8.01,9.01 11/05/07
DATASCENSION INC NV 4.02 10/10/07 AMEND
DAWSON GEOPHYSICAL CO TX 7.01,9.01 11/05/07
DELTA MUTUAL INC 3.02 10/30/07
DEXCOM INC 7.01 11/02/07
DIALYSIS CORP OF AMERICA FL 5.03,9.01 11/05/07
DIAMOND HILL INVESTMENT GROUP INC OH 8.01 11/05/07
DIAMOND HILL INVESTMENT GROUP INC OH 2.02,9.01 11/05/07
DIODES INC /DEL/ DE 2.02,9.01 11/01/07
DISCOVERY LABORATORIES INC /DE/ DE 5.02,9.01 10/30/07
DIVX INC 2.02,5.02,9.01 10/31/07
DJO INC DE 8.01 11/05/07
DUN & BRADSTREET CORP/NW DE 2.02,7.01,9.01 11/05/07
EAST PENN FINANCIAL CORP 8.01 11/01/07
EDISON INTERNATIONAL CA 7.01,9.01 11/02/07
ELECTRONIC SYSTEMS TECHNOLOGY INC WA 8.01,9.01 11/01/07
EMC INSURANCE GROUP INC IA 5.02 11/02/07
Emergent BioSolutions Inc. DE 2.02,9.01 11/05/07
EMS TECHNOLOGIES INC GA 5.03,9.01 11/02/07
EMVELCO CORP. DE 2.01,9.01 11/01/07
ENCYSIVE PHARMACEUTICALS INC DE 7.01,9.01 11/05/07
ENERGYSOUTH INC AL 1.01,7.01,9.01 10/31/07
ENTERGY CORP /DE/ DE 2.02,7.01,8.01,9.01 11/05/07
ENVIROSAFE CORP/CA 3.02 09/05/07
ERF Wireless, Inc. NV 1.01,2.01,9.01 10/31/07
ERF Wireless, Inc. NV 1.01,2.01,9.01 10/31/07
EXAR CORP DE 9.01 08/27/07 AMEND
EXELIXIS INC DE 2.02,9.01 11/05/07
EXELON CORP PA 7.01,9.01 11/05/07
FAIRCHILD CORP DE 1.01 11/05/07
FAVRILLE INC DE 1.01,9.01 11/02/07
FEDERAL REALTY INVESTMENT TRUST MD 5.02,8.01,9.01 10/30/07
FIRST ALBANY COMPANIES INC NY 8.01 11/05/07
FIRST COMMUNITY BANCORP /CA/ CA 8.01,9.01 10/31/07
FIRST IPSWICH BANCORP /MA MA 2.02,9.01 11/05/07
FIRST REGIONAL BANCORP CA 7.01,8.01 10/30/07
FIRST SECURITY GROUP INC/TN TN 7.01,9.01 11/02/07
FIRST SOLAR, INC. DE 1.01,9.01 11/05/07
FISHER COMMUNICATIONS INC WA 2.02,9.01 11/01/07
FRANKLIN STREET PROPERTIES CORP /MA/ 7.01 11/05/07
FREEDOM FINANCIAL GROUP INC DE 1.02 10/31/07
FREMONT GENERAL CORP NV 8.01,9.01 11/02/07
FREMONT MICHIGAN INSURACORP INC MI 2.02,9.01 11/05/07
FSB Community Bankshares Inc X1 2.02,9.01 11/05/07
FURNITURE BRANDS INTERNATIONAL INC DE 2.02,8.01,9.01 11/02/07
g8wave Holdings, Inc. 1.02 10/30/07
GAMMACAN INTERNATIONAL INC DE 5.02 10/30/07
GD Conference Center, Inc DE 8.01 11/02/07
GEORESOURCES INC CO 7.01,9.01 10/30/07 AMEND
GEVITY HR INC FL 2.02 11/05/07
GEVITY HR INC FL 5.02 11/05/07
GRAMERCY CAPITAL CORP MD 7.01,8.01,9.01 11/02/07
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 11/02/07
GREAT PLAINS ENERGY INC MO 7.01,9.01 11/02/07
GREENE COUNTY BANCORP INC DE 2.02,9.01 11/01/07
GRIFFON CORP DE 2.02,9.01 11/05/07
HAMPTON ROADS BANKSHARES INC VA 5.02 11/05/07
Hana Biosciences Inc DE 1.01,2.03,3.02 10/30/07
Harbor Acquisition Corp. DE 8.01,9.01 08/20/07 AMEND
Harbor Acquisition Corp. DE 8.01,9.01 04/25/07 AMEND
HARLEYSVILLE NATIONAL CORP PA 8.01,9.01 11/01/07
HARVEY ELECTRONICS INC NY 3.01,9.01 10/30/07
Health Fitness Corp /MN/ MN 2.02,9.01 11/05/07
HEALTH NET INC DE 7.01 11/05/07
HEALTHCARE REALTY TRUST INC MD 2.02,7.01,9.01 11/05/07
HEALTHSOUTH CORP DE 2.02,9.01 11/05/07
HEARTLAND PAYMENT SYSTEMS INC DE 5.02 10/31/07
HEARTLAND, INC. MD 2.01,9.01 11/01/07
HEARTLAND, INC. MD 2.01,9.01 11/01/07
HELICOS BIOSCIENCES CORP 5.02,9.01 10/30/07
HFF, Inc. DE 1.01,9.01 10/30/07
HI TECH PHARMACAL CO INC NY 1.01 10/30/07
HIGHBURY FINANCIAL INC DE 1.01,9.01 10/31/07
HMS HOLDINGS CORP 2.02,7.01,9.01 11/01/07
Hong Kong Highpower Technology, Inc. DE 1.01,2.01,2.02,3.02,4.01,5.01, 11/02/07
5.02,5.03,5.06
HOOPER HOLMES INC NY 5.02,9.01 10/30/07
HORIZON OFFSHORE INC DE 8.01,9.01 11/02/07
HouseValues, Inc. WA 1.01,2.01 11/01/07
HouseValues, Inc. WA 2.02,9.01 11/05/07
HouseValues, Inc. WA 2.05,2.06 07/31/07 AMEND
Houston Wire & Cable CO 2.02 11/02/07
HUBBELL INC CT 1.01,9.01 10/31/07
HUTTON HOLDINGS CORP NV 5.02 11/05/07
HYDRON TECHNOLOGIES INC NY 1.01,3.02,9.01 10/30/07
IAC/INTERACTIVECORP DE 8.01 11/05/07
IBIS TECHNOLOGY CORP MA 8.01,9.01 11/05/07
ICAD INC DE 2.02,9.01 11/02/07
ICT TECHNOLOGIES INC DE 5.03,9.01 11/05/07
II-VI INC PA 8.01 11/02/07
IMARX THERAPEUTICS INC 8.01,9.01 10/31/07
IMMUCELL CORP /DE/ DE 2.02,9.01 11/02/07
IMPERIAL CAPITAL BANCORP, INC. DE 2.02,9.01 10/30/07
IndyMac INDX Mortgage Loan Trust 2007 9.01 11/05/07
Innophos Holdings, Inc. 8.01 11/05/07
INNOVATIVE SOFTWARE TECHNOLOGIES INC CA 4.01,9.01 11/01/07
INNOVEX INC MN 2.02,9.01 11/05/07
INTEGRA BANK CORP IN 7.01,9.01 11/05/07
Integrated Healthcare Holdings Inc NV 7.01,9.01 10/31/07
InterDigital, Inc. PA 7.01,9.01 11/02/07
INTEST CORP DE 2.02,5.03,9.01 10/30/07
INVERTED PARADIGMS CORP DE 4.01,9.01 10/31/07
INVESTORS TITLE CO NC 2.02,9.01 11/05/07
INX Inc DE 2.02,7.01,9.01 11/05/07
ISLAND PACIFIC INC DE 1.01,7.01,9.01 11/01/07
J P MORGAN CHASE & CO DE 9.01 11/01/07
JACKSON HEWITT TAX SERVICE INC DE 1.01,7.01,9.01 10/31/07
Jaguar Acquisition Corp. DE 1.01,9.01 10/30/07
JAMES RIVER GROUP, INC DE 2.02,9.01 11/05/07
K-FED BANCORP 5.02 10/31/07
KAISER GROUP HOLDINGS INC DE 8.01 11/02/07
Kandi Technologies Corp 8.01,9.01 10/31/07
KAPSTONE PAPER & PACKAGING CORP DE 2.02,9.01 11/05/07
KATY INDUSTRIES INC DE 1.01,9.01 11/05/07
KBR, INC. DE 5.02,9.01 11/01/07
KEITHLEY INSTRUMENTS INC OH 2.02,9.01 11/05/07
KEY ENERGY SERVICES INC MD 8.01,9.01 11/02/07
KIMBALL INTERNATIONAL INC IN 2.02,9.01 11/05/07
KING PHARMACEUTICALS INC TN 1.01,5.02,9.01 10/30/07
KINTERA INC 5.03,9.01 10/31/07
KMG America CORP VA 2.02,9.01 11/05/07
KONA GRILL INC DE 5.02,5.03,9.01 10/30/07
KORN FERRY INTERNATIONAL DE 8.01,9.01 11/02/07
Kreido Biofuels, Inc. NV 5.02 10/31/07
L-1 IDENTITY SOLUTIONS, INC. DE 2.02,5.02,5.03,9.01 10/30/07
LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 11/05/07
LEGACY RESERVES LP DE 7.01,9.01 11/05/07
LEHMAN BROTHERS HOLDINGS INC DE 9.01 10/31/07
LEMAITRE VASCULAR INC 2.02,9.01 11/05/07
LIFETIME BRANDS, INC DE 1.01,5.03,9.01 11/01/07
Limelight Networks, Inc. DE 2.02,9.01 11/05/07
LIPID SCIENCES INC/ AZ 2.02,9.01 11/05/07
LITFUNDING CORP NV 5.02,9.01 11/05/07
LITTLE SQUAW GOLD MINING CO AK 8.01,9.01 10/31/07
LITTLE SQUAW GOLD MINING CO AK 8.01,9.01 11/01/07
LIVEDEAL INC NV 2.02,9.01 10/30/07
LOCAL.COM DE 2.02,9.01 11/05/07
LOJACK CORP MA 1.01,9.01 11/05/07
Macy's, Inc. DE 5.02,9.01 11/01/07
MARATHON OIL CORP DE 2.02,9.01 11/01/07
MASTERCARD INC DE 5.02,8.01,9.01 11/05/07
MEDICAL SOLUTIONS MANAGEMENT INC. NV 1.01,9.01 04/30/07 AMEND
MEDIVATION, INC. DE 7.01,9.01 11/05/07
MENTOR GRAPHICS CORP OR 2.02 11/05/07
MERCURY GENERAL CORP CA 2.02,9.01 11/05/07
MESA AIR GROUP INC NV 8.01,9.01 10/30/07
METABASIS THERAPEUTICS INC 2.02,9.01 11/05/07
METABOLIX, INC. DE 2.02,9.01 11/05/07
MICRON ENVIRO SYSTEMS INC NV 5.02 11/05/07
MICROSTRATEGY INC DE 2.02,9.01 10/30/07
MINES MANAGEMENT INC ID 1.01,3.02,9.01 11/02/07
MISTRAL VENTURES INC NV 1.01,3.02,9.01 09/04/07
MOD PAC CORP NY 2.02,9.01 11/05/07
MOLDFLOW CORP 2.02,9.01 11/05/07
Morgan Stanley Mortgage Loan Trust 20 DE 1.01 10/31/07
MOSAIC CO 7.01,9.01 11/05/07
MULTI FINELINE ELECTRONIX INC 2.02,9.01 11/05/07
MYCOM GROUP INC /NV/ NV 5.02 10/30/07
NANO PROPRIETARY INC TX 2.02,9.01 11/01/07
NATIONAL DENTEX CORP /MA/ MA 2.02,9.01 11/05/07
NATIONAL RETAIL PROPERTIES, INC. MD 2.02,9.01 11/05/07
NATIONAL SEMICONDUCTOR CORP DE 8.01 10/31/07
NAUTILUS, INC. WA 5.02 10/29/07
NEOMEDIA TECHNOLOGIES INC DE 1.01,2.01,2.06,9.01 10/30/07
NESS TECHNOLOGIES INC 2.02,7.01,9.01 11/05/07
NESS TECHNOLOGIES INC 2.02,7.01,9.01 11/05/07
NEUROBIOLOGICAL TECHNOLOGIES INC /CA/ DE 1.01,2.04,3.03,9.01 11/02/07
NeurogesX Inc CA 5.02 10/30/07
NEW WORLD BRANDS INC DE 8.01,9.01 10/30/07
NEWPARK RESOURCES INC DE 2.02,9.01 11/05/07
NEXMED INC NV 1.01,5.02,9.01 10/31/07
NORTHEAST UTILITIES MA 2.02,7.01,9.01 11/05/07
Northfield Bancorp, Inc. X1 8.01,9.01 11/05/07
NORTHWESTERN CORP DE 7.01,9.01 11/05/07
NOVACEA INC DE 7.01,9.01 11/05/07
NOVATEL WIRELESS INC DE 2.02,9.01 11/05/07
NT MEDIA CORP OF CALIFORNIA INC DE 4.01 10/22/07 AMEND
NTR Acquisition Co. DE 1.01,3.02,7.01,8.01,9.01 11/02/07
NU SKIN ENTERPRISES INC DE 2.02,9.01 11/05/07
NU SKIN ENTERPRISES INC DE 2.05 11/02/07
NUCO2 INC /FL FL 2.02,7.01,9.01 11/05/07
OccuLogix, Inc. DE 8.01,9.01 11/01/07
OGE ENERGY CORP OK 8.01,9.01 11/05/07
Omrix Biopharmaceuticals, Inc. DE 2.02 11/05/07
Omrix Biopharmaceuticals, Inc. DE 2.02 11/05/07 AMEND
OneBeacon Insurance Group, Ltd. D0 2.02,9.01 11/05/07
Opexa Therapeutics, Inc. TX 2.02,9.01 11/02/07
OPPENHEIMER HOLDINGS INC A6 1.01 11/04/07
Orchids Paper Products CO /DE DE 2.02,7.01,9.01 11/01/07
Organic To Go Food CORP DE 3.02,5.02,9.01 10/30/07
ORIENTAL FINANCIAL GROUP INC PR 5.02,9.01 10/31/07
ORTHOLOGIC CORP DE 2.02 11/05/07
OSAGE BANCSHARES, INC. MD 8.01,9.01 11/05/07
OTTER TAIL CORP MN 2.02,9.01 11/01/07
OUTDOOR CHANNEL HOLDINGS INC 4.02,9.01 10/30/07
PACIFIC GAS & ELECTRIC CO CA 7.01,9.01 11/02/07
PACIFIC MERCANTILE BANCORP CA 2.02,9.01 11/02/07
PACIFIC PREMIER BANCORP INC DE 7.01,9.01 11/05/07
PACKETPORT COM NV 8.01,9.01 11/05/07
Paramount Acquisition Corp DE 8.01,9.01 11/05/07
PEDIATRIC PROSTHETICS INC 4.01,9.01 11/02/07
PENNSYLVANIA REAL ESTATE INVESTMENT T PA 2.02,9.01 10/30/07
PEPSICO INC NC 5.02,8.01,9.01 11/02/07
PG&E CORP CA 7.01,9.01 11/02/07
PHOENIX COMPANIES INC/DE DE 2.02,9.01 10/31/07
PICO HOLDINGS INC /NEW CA 5.03,9.01 11/02/07
PIPEX PHARMACEUTICALS, INC. DE 8.01,9.01 11/05/07
PLC SYSTEMS INC 2.02,9.01 11/05/07
POINT BLANK SOLUTIONS, INC. DE 8.01,9.01 10/30/07
POLARIS INDUSTRIES INC/MN MN 7.01 11/05/07
PPL CORP PA 7.01,9.01 11/05/07
PRIMUS TELECOMMUNICATIONS GROUP INC DE 2.02,9.01 11/05/07
PROSPECT CAPITAL CORP MD 8.01,9.01 11/05/07
pSivida LTD C3 2.02,9.01 10/31/07
PUBLIC SERVICE ENTERPRISE GROUP INC NJ 7.01,9.01 11/04/07
PUREDEPTH, INC. CO 5.02,9.01 10/30/07
QUALITY SYSTEMS INC CA 2.02,9.01 10/31/07
QUIKSILVER INC DE 1.01 10/30/07
RADYNE CORP DE 2.02 11/05/07
RAE SYSTEMS INC DE 2.02,9.01 11/01/07
RAIT Financial Trust MD 2.02,9.01 11/05/07
RAM Holdings Ltd. D0 5.02,9.01 11/01/07
RAM Holdings Ltd. D0 2.02,7.01,9.01 11/05/07
ReAble Therapeutics Finance LLC DE 8.01 11/05/07
REDWOOD TRUST INC MD 2.02,9.01 11/05/07
REPROS THERAPEUTICS INC. DE 7.01,9.01 11/05/07
REPUBLIC SERVICES INC DE 2.02,9.01 11/05/07
RGC RESOURCES INC VA 1.01,2.01 10/31/07
RIDGEWOOD ELECTRIC POWER TRUST II DE 8.01 11/05/07
Rockwood Holdings, Inc. DE 1.01,9.01 10/31/07
Rosetta Resources Inc. DE 5.02,9.01 11/02/07
ROYAL GOLD INC DE 8.01,9.01 11/05/07
RURBAN FINANCIAL CORP OH 7.01,9.01 11/05/07
SAFETY INSURANCE GROUP INC DE 2.02,9.01 11/05/07
SAGA COMMUNICATIONS INC DE 2.02,9.01 11/05/07
SANFILIPPO JOHN B & SON INC DE 2.02,9.01 11/05/07
SANFILIPPO JOHN B & SON INC DE 7.01,9.01 11/05/07
Sara Lee Corp MD 5.02 11/05/07
SAVIENT PHARMACEUTICALS INC DE 2.02,9.01 10/30/07
SCIELE PHARMA, INC. DE 8.01,9.01 11/05/07
SCOLR Pharma, Inc. DE 7.01,9.01 11/05/07
SECURITY NATIONAL FINANCIAL CORP UT 9.01 10/09/07
SERVICE 1ST BANCORP CA 5.02,9.01 11/02/07
Shire plc 8.01,9.01 11/02/07
SHOSHONE SILVER MINING CO INC 5.02,9.01 10/31/07
SHUFFLE MASTER INC MN 5.02 11/01/07
SIRIUS SATELLITE RADIO INC DE 8.01 11/05/07
SNAP ON INC DE 3.03,5.03,9.01 11/01/07
SOMANETICS CORP MI 5.03,9.01 11/02/07
SOMERSET HILLS BANCORP NJ 2.02,9.01 11/01/07
SONO TEK CORP NY 7.01,9.01 10/31/07
Spectrum Brands, Inc. WI 8.01,9.01 11/02/07 AMEND
SPRINT NEXTEL CORP KS 5.02 08/07/07 AMEND
STAAR SURGICAL CO DE 2.02,5.02,7.01 10/30/07
STAKTEK HOLDINGS INC DE 2.02,9.01 11/05/07
Star Maritime Acquisition Corp. DE 8.01,9.01 11/02/07
STERLING BANCORP NY 2.02,7.01,9.01 11/02/07
STEWARDSHIP FINANCIAL CORP NJ 2.02,9.01 10/31/07
STIFEL FINANCIAL CORP DE 2.02,9.01 11/05/07
STILLWATER MINING CO /DE/ DE 2.02,9.01 11/05/07
STONE TAN CHINA ACQUISITION CORP. 8.01,9.01 10/31/07
SUN HYDRAULICS CORP FL 2.02,9.01 11/05/07
SUN MICROSYSTEMS, INC. DE 2.02,9.01 11/05/07
SUNTRUST BANKS INC GA 8.01,9.01 10/31/07
SUPREME INDUSTRIES INC DE 8.01,9.01 10/30/07
Switch & Data Facilities Company, Inc DE 1.01,2.03,9.01 10/30/07
SWS GROUP INC DE 2.02,9.01 11/05/07
SYSCO CORP DE 2.02,9.01 11/05/07
T-3 ENERGY SERVICES INC TX 2.02,9.01 11/05/07
TAPESTRY PHARMACEUTICALS, INC DE 2.02,9.01 11/05/07
TARGETED GENETICS CORP /WA/ WA 2.02,9.01 10/31/07
TBS INTERNATIONAL LTD 7.01,9.01 11/05/07
Teknik Digital Arts Inc. NV 1.01 04/27/07
TEMPLE INLAND INC DE 5.02 11/02/07
TEREX CORP DE 8.01,9.01 11/05/07
TERRESTAR CORP DE 7.01,9.01 11/05/07
TETRA TECHNOLOGIES INC DE 2.02,9.01 11/05/07
THOMAS & BETTS CORP TN 2.01,9.01 11/05/07
TLC VISION CORP A6 2.02,9.01 11/05/07
TMSF HOLDINGS INC. UT 8.01 11/05/07
TNS INC 2.02,7.01,9.01 11/05/07
Trans-Science Corp CA 8.01,9.01 11/05/07
Travelport LTD D0 9.01 11/05/07 AMEND
TRI-ISTHMUS GROUP, INC. DE 1.01,2.01,2.03,3.02,7.01,9.01 10/30/07
TRICO MARINE SERVICES INC DE 7.01,9.01 11/05/07
TRIMAS CORP DE 5.02,9.01 11/05/07
U-Store-It Trust MD 5.03,9.01 10/30/07
UNITED RETAIL GROUP INC/DE DE 3.01,3.02 11/05/07
UNITY WIRELESS CORP DE 5.02 11/05/07
UNIVERSAL AMERICAN FINANCIAL CORP NY 5.02 09/21/07
UNIVERSAL STAINLESS & ALLOY PRODUCTS DE 8.01,9.01 11/05/07
URS CORP /NEW/ DE 1.01,7.01,9.01 11/04/07
US AIRWAYS GROUP INC DE 2.02,9.01 11/05/07
USEC INC DE 5.02 10/31/07
Vangent, Inc. DE 5.02 10/31/07
VEECO INSTRUMENTS INC DE 7.01,8.01,9.01 11/05/07
VENTURE LENDING & LEASING IV INC MD 5.02 11/05/07
Venture Lending & Leasing V, Inc. MD 5.02 11/05/07
VERINT SYSTEMS INC 8.01,9.01 11/05/07
VERISIGN INC/CA DE 8.01,9.01 11/02/07
VERMILLION, INC. DE 1.01,5.02,9.01 11/01/07
VIGNETTE CORP DE 8.01,9.01 11/02/07
VIKING SYSTEMS INC DE 5.02 10/30/07
VIRAGE LOGIC CORP CA 2.02,9.01 11/05/07
Vocus, Inc. DE 5.02 10/31/07
Voyager Petroleum, Inc. NV 1.01,5.02,9.01 08/23/07
Voyager Petroleum, Inc. NV 1.01,5.02,9.01 10/29/07 AMEND
WACCAMAW BANKSHARES INC NC 1.01,5.02 10/30/07
WaferGen Bio-systems, Inc. NV 2.02,7.01 11/02/07
WARNACO GROUP INC /DE/ DE 2.02,9.01 11/05/07
WASHINGTON GROUP INTERNATIONAL INC DE 1.01,5.02,7.01,9.01 11/04/07
WATTS WATER TECHNOLOGIES INC DE 5.02 11/02/07 AMEND
WELLCARE HEALTH PLANS, INC. DE 8.01,9.01 11/02/07
WELLCARE HEALTH PLANS, INC. DE 2.02,8.01,9.01 11/05/07
WESBANCO INC WV 8.01,9.01 11/05/07
WESCO FINANCIAL CORP CA 2.02,9.01 11/02/07
WHEELING PITTSBURGH CORP /DE/ DE 1.01,9.01 10/31/07
WHITE MOUNTAINS INSURANCE GROUP LTD D0 2.02,9.01 11/05/07
WILLBROS GROUP INC R1 1.01,9.01 11/02/07
WILLIAMS COAL SEAM GAS ROYALTY TRUST DE 2.02,9.01 11/02/07
WILLIS GROUP HOLDINGS LTD D0 7.01,9.01 11/02/07
WITS BASIN PRECIOUS MINERALS INC MN 1.01,1.02,7.01,9.01 10/31/07
WJ COMMUNICATIONS INC DE 2.02,9.01 11/05/07
WORLD ENERGY SOLUTIONS, INC. FL 3.02,8.01 11/05/07
WPT ENTERPRISES INC 2.02,9.01 11/05/07
XECHEM INTERNATIONAL INC DE 2.04,5.02,8.01 10/29/07
XENOMICS INC FL 1.01,8.01,9.01 10/30/07
XETA TECHNOLOGIES INC OK 8.01,9.01 10/31/07
XFONE INC NV 1.01,9.01 11/05/07
XL CAPITAL LTD 5.02,9.01 11/01/07
XO HOLDINGS INC DE 8.01,9.01 11/05/07
XSUNX INC CO 1.01,3.02,9.01 11/02/07 AMEND
YOUBET COM INC DE 1.01,9.01 10/30/07
YTB International, Inc. NY 8.01,9.01 11/05/07
Z TRIM HOLDINGS, INC IL 3.01,7.01,9.01 11/02/07
Zep Inc. DE 1.01,3.03,5.02,8.01,9.01 10/30/07
ZVUE CORP DE 1.01,2.01,2.03,3.02,5.03,8.01, 10/30/07
9.01
http://www.sec.gov/news/digest/2007/dig110607.htm
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