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SEC NEWS DIGEST
Issue 2007-215 November 7, 2007
COMMISSION ANNOUNCEMENTS
SECURITIES AND EXCHANGE COMMISSION SUSPENDS TRADING IN FOUR COMPANIES
FOR FAILURE TO MAKE REQUIRED PERIODIC FILINGS
The Commission announced the temporary suspension of trading of the
securities of the following issuers, commencing at 9:30 a.m. EST on
Nov. 7, 2007, and terminating at 11:59 p.m. EST on Nov. 20, 2007:
* Ames Department Stores, Inc. (AMESQ)
* Bradlees, Inc. (BLEEQ)
* Caldor Corp. (CLDRQ)
* Stuarts Department Stores, Inc. (SRTDQ)
The Commission temporarily suspended trading in the securities of
these four companies due to a lack of current and accurate information
about the companies because they have not filed periodic reports with
the Commission in over two years. This order was entered pursuant to
Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act).
The Commission cautions brokers, dealers, shareholders and prospective
purchasers that they should carefully consider the foregoing
information along with all other currently available information and
any information subsequently issued by these companies.
Brokers and dealers should be alert to the fact that, pursuant to
Exchange Act Rule 15c2-11, at the termination of the trading
suspensions, no quotation may be entered relating to the securities of
the subject companies unless and until the broker or dealer has
strictly complied with all of the provisions of the rule. If any
broker or dealer is uncertain as to what is required by the rule, it
should refrain from entering quotations relating to the securities of
these companies that have been subject to a trading suspension until
such time as it has familiarized itself with the rule and is certain
that all of its provisions have been met. Any broker or dealer with
questions regarding the rule should contact the staff of the
Securities and Exchange Commission in Washington, DC at (202) 551-
5720. If any broker or dealer enters any quotation which is in
violation of the rule, the Commission will consider the need for
prompt enforcement action.
If any broker, dealer or other person has any information which may
relate to this matter, they should immediately communicate it to the
Delinquent Filings Branch of the Division of Enforcement at (202) 551-
5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-56757)
ENFORCEMENT PROCEEDINGS
COMMISSION ORDERS HEARINGS ON REGISTRATION REVOCATION AGAINST FIVE
DELINQUENT COMPANIES FOR FAILURE TO MAKE REQUIRED PERIODIC FILINGS
The Division of Enforcement (Division) alleges that the following five
issuers are delinquent in their required periodic filings with the
Commission:
* Ames Department Stores, Inc. (AMESQ)
* Bradlees, Inc. (BLEEQ)
* Caldor Corp. (CLDRQ)
* Homeplace of America, Inc.
* Stuarts Department Stores, Inc. (SRTDQ)
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. 34-56758;
File No. 3-12887)
SEC v. GLOBAL ONLINE DIRECT, INC., BRYANT E. BEHRMANN AND LARRY
"BUCK" E. HUNTER
The Commission announced today that on November 6 the Honorable
William S. Duffey, Jr., U.S. District Judge for the Northern
District of Georgia, entered judgments as to defendants Bryant E.
Behrmann (Behrmann) and Larry "Buck" E. Hunter (Hunter), restraining
and enjoining them from future violations of Sections 5 and 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 Court ordered
each defendant to pay disgorgement, prejudgment interest and civil
penalties, the amounts of which will be decided by the Court upon
subsequent motion by the Commission.
The defendants consented to the entries of the judgments without
admitting or denying any of the allegations of the Commission's
Amended Complaint. The Amended Complaint, which was filed on
July 3, 2007, charged that, since at least October 2005, Global,
Behrmann and Hunter have orchestrated a massive Ponzi scheme and
conducted an unregistered offering of securities through
Global's SPIP. Global, Behrmann and Hunter solicited investors
to "loan" Global funds for a term of one year in exchange for promised
daily interest payments. Depending on the amount invested, Global
promised effective annual returns of more than 1,800%. Global
purported to generate revenue sufficient to pay investors their
promised returns by pooling investor proceeds to purchase
distressed inventory, which Global then claimed to resell through
various online auction websites, including Ebay and Yahoo!
Auctions, as well as through flea markets, street sales and retail
storefronts. From October 2005 through March 2007, Global raised
approximately $45 million from more than 9,000 investors.
The Amended Complaint further alleged that Global, Behrmann and
Hunter failed to disclose to investors that Global's purported
business model was wholly incapable of generating the returns
promised to investors, and that the vast majority of the returns paid
to existing investors were in fact the proceeds invested by later
investors - the key hallmark of a Ponzi scheme. The Amended
Complaint also charged that Global, Behrmann, and Hunter failed to
disclose other material information to investors, including that: (a)
as of March 2007, Global was more than $30 million in arrears in
honoring investor withdrawal requests and owed investors
approximately $265 million - an amount more than $250 million in
excess of all assets of Global; (b) even though they had promised
investors that their investments were "secured and backed by actual
product inventories," they had taken no steps to secure or tie any
individual investment to any actual product inventory, and the
total value of the inventory was only a tiny fraction of the
investments purportedly secured; (c) Global maintained no effective
bookkeeping or accounting systems, and thus were completely incapable
of tracking or identifying the amounts invested by investors, the
returns paid to investors, the cost of inventory purchased, and the
proceeds generated through inventory sales; and (d) state cease-and-
desist and injunctive orders for prior violations of securities laws
had been entered against Global by the states of Pennsylvania and
South Dakota, against Behrmann by the states of North Dakota,
Pennsylvania and South Dakota, and against Hunter by the states of
Idaho, Illinois, Minnesota, North Dakota, Oregon, Pennsylvania, South
Dakota and Washington. The Amended Complaint further alleged that,
while representing to investors that Behrmann was an attorney and a
former judge, Defendants failed to disclose that his law license had
been suspended since 1999 for professional misconduct and that the
Idaho Supreme Court had found Behrmann to have engaged in "conduct
involving dishonesty, fraud, deceit or misrepresentation in course of
his practice of law."
Behrmann is the secretary and treasurer of Global and a resident of
Las Vegas, Nevada. Hunter is the president of Global and a resident
of La Grande, Oregon. [SEC v. Global Online Direct, Inc., Bryant
E. Behrmann and Larry "Buck" E. Hunter, Civil Action No. 1:07-CV-
0767-WSD (NDGA)] (LR-20359)
INVESTMENT COMPANY ACT RELEASES
RAYMOND JAMES EMPLOYEE INVESTMENT FUND I, L.P., ET AL.
An order has been issued on an application filed by Raymond James
Employee Investment Fund I, L.P., et al. under Sections 6(b) and 6(e)
of the Investment Company Act. The order exempts certain limited
partnerships and other investment vehicles formed for the benefit of
eligible employees of Raymond James Financial, Inc. and its affiliates
from certain provisions of the Act. Each partnership or other
investment vehicle will be an "employees' securities company" within
the meaning of Section 2(a)(13) of the Act. (Rel. IC-28043 - November
6)
SELF-REGULATORY ORGANIZATIONS
APPROVAL OF PROPOSED RULE CHANGE
The Commission granted approval of a proposed rule change (SR-FINRA-
2007-008) submitted by the Financial Industry Regulatory Authority to
amend the definition of Office of Supervisory Jurisdiction in NASD
Rule 3010(g)(1) to exempt locations that solely conduct final approval
of research reports. Publication is expected in the Federal Register
during the week of November 12. (Rel. 34-56742)
PROPOSED RULE CHANGE
The New York Stock Exchange filed a proposed rule change (SR-NYSE-
2006-99) and Amendment Nos. 2 and 3 thereto relating to Rule 104
(Dealings by Specialists). Publication is expected in the Federal
Register during the week of November 12. (Rel. 34-56747)
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 Disaboom, Inc., 7730 E. BELLEVIEW AVENUE, SUITE A-306,
GREENWOOD VILLAGE, CO, 80111, 720-407-6530 -
1,599,000 ($2,390,505.00) Equity, (File 333-147161 - Nov. 6) (BR. 03)
S-3ASR NEW M&I CORP, 770 NORTH WATER STREET, MILWAUKEE, WI, 53202,
414-765-7700 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-147162 - Nov. 6) (BR. 07)
S-3 ACORDA THERAPEUTICS INC, 15 SKYLINE DRIVE, HAWTHORNE, NY, 10532,
914-347-4300 - 0 ($150,000,000.00) Debt, (File 333-147163 - Nov. 6)
(BR. 01A)
S-1 United States Natural Gas Fund, LP, 1320 HARBOR BAY PARKWAY, SUITE 145,
ALAMEDA, CA, 94502, 510-522-3336 - 0 ($1,936,000,000.00) Equity,
(File 333-147164 - Nov. 6) (BR. 08A)
SB-2 VECTr SYSTEMS INC, 252 N. WASHINGTON STREET, FALLS CHURCH, VA, 22046,
888-429-1438 - 3,500,000 ($12,687,500.00) Equity, (File 333-147166 -
Nov. 6) (BR. 05C)
SB-2 Opexa Therapeutics, Inc., 2635 N. CRESCENT RIDGE DRIVE, THE WOODLANDS,
TX, 77381, (281) 272-9331 - 17,325,000 ($43,836,850.00) Other,
(File 333-147167 - Nov. 6) (BR. 01B)
S-8 AQUENTIUM INC, 19-125 NORTH INDIAN AVENUE, NORTH PALM SPRINGS, CA,
92258, 7603294139 - 100,000 ($17,800.00) Equity, (File 333-147168 -
Nov. 6) (BR. 06B)
SB-2 Promodoeswork.com, Inc., 6972 COACH LAMP DRIVE, CHILLIWACK, A1,
V2R 2Y7, 604-858-0172 - 5,100,000 ($510,000.00) Equity,
(File 333-147169 - Nov. 6) (BR. 02)
S-8 HABERSHAM BANCORP, P O BOX 1980, HIGHWAY 441 N, CORNELIA, GA, 30531,
4045726600 - 70,000 ($1,060,850.00) Equity, (File 333-147170 - Nov. 6)
(BR. 07A)
S-8 HABERSHAM BANCORP, P O BOX 1980, HIGHWAY 441 N, CORNELIA, GA, 30531,
4045726600 - 750,000 ($11,366,250.00) Equity, (File 333-147171 -
Nov. 6) (BR. 07A)
S-3ASR SUSQUEHANNA BANCSHARES INC, 26 N CEDAR ST, LITITZ, PA, 17543,
7176264721 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-147172 - Nov. 6) (BR. 07B)
S-8 GLOBAL INDUSTRIES LTD, P O BOX 442, 8000 GLOBAL DRIVE, SULPHUR, LA,
70664, 3375835083 - 0 ($177,257,450.00) Equity, (File 333-147173 -
Nov. 6) (BR. 04A)
S-8 SAFEGUARD SCIENTIFICS INC, 435 DEVON PARK DR, BLDG 800, WAYNE, PA,
19087, 6102930600 - 0 ($2,106,000.00) Equity, (File 333-147174 -
Nov. 6) (BR. 02C)
S-8 MEADWESTVACO CORP, ONE HIGH RIDGE PARK, _, STAMFORD, CT, 06905,
2034617500 - 2,200,000 ($72,908,000.00) Equity, (File 333-147175 -
Nov. 6) (BR. 09B)
S-8 MEADWESTVACO CORP, ONE HIGH RIDGE PARK, _, STAMFORD, CT, 06905,
2034617500 - 1,300,000 ($43,082,000.00) Equity, (File 333-147176 -
Nov. 6) (BR. 09B)
S-8 Qiao Xing Mobile Communication Co., Ltd., 10TH FLR. CEC BUILDING,
6 ZHONGGUANCUN SOUTH STREET, BEIJING, F4, 100086, (86-10) 6250 1728 -
8,320,000 ($83,824,000.00) Equity, (File 333-147177 - Nov. 6) (BR. 11)
S-4 UCI Holdco, Inc., 14601 HIGHWAY 41 NORTH, EVANSVILLE, IN, 47725,
812-867-4156 - 0 ($265,200,000.00) Other, (File 333-147178 - Nov. 6)
(BR. 05)
S-8 CYBERSOURCE CORP, 1295 CHARLESTON ROAD, MOUNTAIN VIEW, CA, 94043,
4085569100 - 4,500,000 ($65,275,310.04) Equity, (File 333-147179 -
Nov. 6) (BR. 03A)
S-3ASR METLIFE INC, 200 PARK AVENUE, NEW YORK, NY, 10166, 2125782211 -
0 ($0.00) Other, (File 333-147180 - Nov. 6) (BR. 01B)
S-3 PRINCIPAL FINANCIAL GROUP INC, 711 HIGH STREET, DES MOINES, IA, 50392,
5152475111 - 0 ($4,000,000,000.00) Non-Convertible Debt,
(File 333-147181 - Nov. 6) (BR. 01B)
S-8 MCKESSON CORP, ONE POST ST, MCKESSON PLAZA, SAN FRANCISCO, CA, 94104,
4159838300 - 0 ($1,280,800,000.00) Equity, (File 333-147182 - Nov. 6)
(BR. 09B)
S-4 GOODYEAR TIRE & RUBBER CO /OH/, 1144 E MARKET ST, AKRON, OH, 44316,
2167962121 - 0 ($783,158,352.00) Equity, (File 333-147183 - Nov. 6)
(BR. 06A)
S-3 SyntheMed, Inc., 200 MIDDLESEX ESSEX TURNPIKE, SUITE 210, ISELIN, NJ,
08830, 7324041117 - 0 ($20,000,000.00) Equity, (File 333-147184 -
Nov. 6) (BR. 10C)
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 AMEND
AbitibiBowater Inc. DE 2.02,8.01,9.01 11/06/07
ABX AIR INC 1.01,2.03 11/01/07
ACG HOLDINGS INC DE 1.01,9.01 11/05/07
ACME PACKET INC DE 2.02,9.01 11/06/07
ACORDA THERAPEUTICS INC 2.02,9.01 11/06/07
ACUITY BRANDS INC DE 1.01,2.01,5.02,8.01,9.01 10/31/07
ADAM INC GA 2.02,9.01 11/06/07
ADAMS GOLF INC DE 2.02,9.01 11/06/07
ADAMS GOLF INC DE 5.02,7.01,9.01 11/06/07
ADVANCED ID CORP NV 2.01,5.02,9.01 09/15/05
Advanced Life Sciences Holdings, Inc. 7.01 11/06/07
ADVANCED MICRO DEVICES INC DE 5.02 11/01/07
ADVOCAT INC DE 2.02,8.01,9.01 11/06/07
AEP INDUSTRIES INC DE 5.02,5.03,8.01,9.01 11/01/07
AES CORP DE 2.02,9.01 11/06/07
AFFILIATED COMPUTER SERVICES INC DE 7.01,9.01 11/01/07
AIRTRAN HOLDINGS INC NV 5.02,9.01 11/01/07
AKORN INC LA 2.02,9.01 11/01/07
ALBANY MOLECULAR RESEARCH INC DE 2.02,9.01 11/06/07
ALESCO FINANCIAL INC 2.02,9.01 11/05/07
ALEXANDRIA REAL ESTATE EQUITIES INC MD 2.02,9.01 11/05/07
Alexza Pharmaceuticals Inc. DE 1.01,9.01 11/02/07
ALL STATE PROPERTIES LP DE 1.02,9.01 11/02/07
ALLEGHANY CORP /DE DE 2.02,9.01 11/06/07
Allegiant Travel CO NV 5.02,7.01,8.01,9.01 11/02/07
ALLERGAN INC DE 2.02,9.01 11/06/07
ALLIANCE BANKSHARES CORP 2.02,9.01 11/02/07
Allied Nevada Gold Corp DE 7.01,9.01 11/01/07
ALMOST FAMILY INC DE 2.02,9.01 09/30/07
ALPHA PETROLEUM EXPLORATION CORP NY 4.01,9.01 06/01/07 AMEND
Alternative Loan Trust 2006-J4 7.01,9.01 11/02/07
Alternative Loan Trust 2007-OH1 DE 7.01,9.01 11/02/07
American Community Newspapers Inc. DE 5.02,8.01,9.01 11/05/07
AMERICAN DENTAL PARTNERS INC DE 7.01 11/06/07
AMERICAN EXPRESS CO NY 5.02 10/31/07 AMEND
American Express Receivables Financin DE 8.01,9.01 11/01/07
AMERICAN FINANCIAL GROUP INC OH 1.01,9.01 10/31/07
AMERICAN FINANCIAL REALTY TRUST 2.02 11/06/07
AMERICAN LAND LEASE INC DE 2.02,7.01,9.01 11/06/07
AMERICAN SCIENCE & ENGINEERING INC MA 2.02,9.01 11/05/07
AMERICAN SPECTRUM REALTY INC MD 5.02 11/02/07
AMERICAN STANDARD COMPANIES INC DE 2.01,2.02,7.01,9.01 10/31/07
ANADARKO PETROLEUM CORP DE 2.02,7.01,9.01 11/05/07
ANALYSTS INTERNATIONAL CORP 2.02,7.01,9.01 11/06/07
ANGEION CORP/MN MN 5.02 10/31/07
ANIKA THERAPEUTICS INC MA 2.02,9.01 11/05/07
Animal Health International, Inc. DE 2.02 11/06/07
Answers CORP 2.02,7.01,9.01 11/06/07
APAC CUSTOMER SERVICE INC IL 2.02,9.01 11/06/07
Apple REIT Eight, Inc. VA 1.01 11/02/07
APPLIED DIGITAL SOLUTIONS INC MO 1.01,3.02,9.01 10/31/07
APPLIED DNA SCIENCES INC NV 1.01,2.03,3.02,9.01 10/30/07
ARCHER DANIELS MIDLAND CO DE 2.02,9.01 09/30/07
ARDEN GROUP INC DE 2.02,9.01 11/06/07
Argo Group International Holdings, Lt 2.02,9.01 11/06/07
ARMSTRONG WORLD INDUSTRIES INC PA 2.02,9.01 11/06/07
ARRAY BIOPHARMA INC DE 5.03,9.01 11/01/07
ARROWHEAD RESEARCH CORP DE 5.02,9.01 11/01/07
ASSET ACCEPTANCE CAPITAL CORP 2.02,9.01 11/06/07
ASSURED GUARANTY LTD 2.02,9.01 11/06/07
ATLAS AMERICA INC DE 2.02,9.01 11/05/07
AtriCure, Inc. DE 2.02,9.01 11/06/07
AUDIBLE INC 5.03,9.01 10/31/07
AUTHENTIDATE HOLDING CORP DE 2.02,9.01 11/06/07
Averion International Corp. 1.01,2.01,2.03,3.02,3.03,5.02, 10/31/07
9.01
AVISTAR COMMUNICATIONS CORP DE 5.02,7.01,9.01 11/02/07
Axion Power International, Inc. DE 5.02,9.01 10/31/07
AXIS CAPITAL HOLDINGS LTD 8.01 11/02/07
BANCORPSOUTH INC MS 7.01,9.01 11/06/07
BANK MUTUAL CORP WI 5.02 11/05/07
BASSETT FURNITURE INDUSTRIES INC VA 1.01,2.03 10/31/07
BEAZER HOMES USA INC DE 2.02,2.06,8.01,9.01 11/05/07
BECKMAN COULTER INC DE 1.01,2.03,9.01 10/31/07
BEIJING MED PHARM CORP 1.01,2.01,2.03,3.02,8.01,9.01 10/31/07
BENTLEY PHARMACEUTICALS INC DE 2.02,9.01 11/06/07
BEST BUY CO INC MN 5.02 11/01/07
BETTER BIODIESEL, INC 5.02,8.01,9.01 10/31/07
BIO RAD LABORATORIES INC DE 2.02,9.01 09/30/07
BIOLASE TECHNOLOGY INC DE 2.02,9.01 11/06/07
BIONOVO INC DE 1.01,8.01,9.01 10/30/07
BIOSANTE PHARMACEUTICALS INC DE 1.01,9.01 11/02/07
BIOTIME INC CA 7.01,9.01 11/06/07
BJs RESTAURANTS INC CA 8.01,9.01 11/06/07
BLOUNT INTERNATIONAL INC DE 2.02,9.01 11/06/07
BLUE NILE INC DE 2.02,9.01 11/06/07
BMC SOFTWARE INC DE 2.02,9.01 11/06/07
BOOTS & COOTS INTERNATIONAL WELL CONT DE 2.02,9.01 11/05/07
BOSTON BEER CO INC MA 2.02,9.01 11/06/07
BOSTON SCIENTIFIC CORP DE 1.01,9.01 11/01/07
BOWATER INC DE 2.02,9.01 11/06/07
BreitBurn Energy Partners L.P. DE 1.01,2.01,2.03,3.02,9.01 11/01/07
BRIGHTPOINT INC IN 5.02,9.01 10/31/07
Bristow Group Inc DE 2.02 07/31/07
BROADWAY FINANCIAL CORP \DE\ DE 2.02,9.01 11/05/07
BROOKE CORP KS 2.02,9.01 11/06/07
Brooke Credit CORP DE 2.02,9.01 11/06/07
BRUSH ENGINEERED MATERIALS INC 7.01,9.01 11/06/07
BUCA INC /MN MN 2.02,9.01 11/06/07
Burger King Holdings Inc DE 8.01,9.01 11/05/07
Burlington Coat Factory Investments H 5.02,9.01 11/06/07
CAB-TIVE ADVERTISING, INC. NV 2.01,3.02,4.01,5.01,5.02,5.06, 10/25/07 AMEND
8.01,9.01
CALLON PETROLEUM CO DE 2.02,7.01,9.01 11/05/07
Calumet Specialty Products Partners, DE 8.01,9.01 11/06/07
CAMPBELL FUND TRUST MD 3.02 11/01/07
CANO PETROLEUM, INC 1.01,3.02,3.03,9.01 11/02/07
CAPITAL GROWTH SYSTEMS INC /FL/ FL 1.01,3.02,9.01 11/01/07
CAPITAL ONE FINANCIAL CORP DE 7.01,8.01,9.01 11/06/07
CAPITAL ONE FINANCIAL CORP DE 7.01,8.01,9.01 11/06/07
CAPITALSOURCE INC DE 2.02 11/06/07
CARMIKE CINEMAS INC DE 2.02,9.01 11/06/07
CBRL GROUP INC TN 7.01,9.01 11/06/07
CEDAR FAIR L P DE 5.02,9.01 11/06/07
CENTRAL VIRGINIA BANKSHARES INC VA 2.02,9.01 11/01/07
CENVEO, INC CO 5.02 10/31/07
CHADMOORE WIRELESS GROUP INC CO 7.01 09/18/07
CHDT CORP FL 3.02,9.01 11/02/07
CHECKFREE CORP \GA\ DE 1.01,9.01 08/03/07
CHENIERE ENERGY INC DE 5.02,9.01 11/01/07
CHESAPEAKE CORP /VA/ VA 2.02,9.01 11/06/07
CHINA BAK BATTERY INC NV 1.01,3.02,7.01,9.01 11/06/07
China Precision Steel, Inc. CO 3.02,8.01,9.01 11/06/07
CHL Mortgage Pass-Through Trust 2007- DE 7.01,9.01 11/02/07
CHL Mortgage Pass-Through Trust 2007- DE 7.01,9.01 11/02/07
CHL Mortgage Pass-Through Trust 2007- DE 7.01,9.01 11/02/07
CHS INC MN 1.01,9.01 11/02/07
CHURCH & DWIGHT CO INC /DE/ DE 2.02,9.01 11/05/07
CHURCHILL DOWNS INC KY 5.02,8.01,9.01 10/04/07 AMEND
CHYRON CORP NY 2.02,9.01 11/06/07
CIRCOR INTERNATIONAL INC DE 2.02,5.02,9.01 10/31/07
CIT GROUP INC DE 8.01,9.01 11/05/07
CITIGROUP DIVERSIFIED FUTURES FUND LP 3.02 11/01/07
CITIGROUP FAIRFIELD FUTURES FUND LP I 3.02 11/01/07
Citigroup Mortgage Loan Trust 2007-10 8.01,9.01 10/31/07
Citigroup Mortgage Loan Trust 2007-WF 8.01,9.01 07/25/07
CITIZENS COMMUNICATIONS CO DE 2.02,9.01 09/30/07
CLIFTON SAVINGS BANCORP INC 8.01,9.01 11/05/07
CMS Bancorp, Inc. DE 2.02 11/06/07
COFFEE PACIFICA INC NV 4.01 11/05/07
COGNIZANT TECHNOLOGY SOLUTIONS CORP 2.02,9.01 11/06/07
COLLAGENEX PHARMACEUTICALS INC DE 2.02,9.01 11/06/07
COLLEGE LOAN CORP TRUST I DE 1.01,9.01 11/02/07
COMBINATORX, INC DE 8.01,9.01 11/06/07
COMMODORE APPLIED TECHNOLOGIES INC DE 5.02 11/01/07
COMMONCACHE INC FL 4.01,9.01 10/31/07
COMPOSITE TECHNOLOGY CORP NV 1.01,3.02,5.02,9.01 09/18/07
Comverge, Inc. DE 2.02,9.01 11/06/07
Comverge, Inc. DE 9.01 09/29/07 AMEND
CONNS INC DE 2.02,9.01 11/06/07
CONOLOG CORP DE 1.01,3.02,9.01 11/02/07
CONSTAR INTERNATIONAL INC DE 5.02,5.03,9.01 11/01/07
CONTINENTAL RESOURCES INC OK 2.02,7.01,9.01 11/06/07
COOPER TIRE & RUBBER CO DE 2.02,9.01 11/06/07
CORNELL COMPANIES INC DE 2.02,9.01 11/06/07
CORPORATE OFFICE PROPERTIES TRUST MD 2.02,9.01 11/05/07
Cowen Group, Inc. DE 2.02,9.01 11/06/07
COX RADIO INC DE 2.02,5.02,9.01 10/31/07
CREDENCE SYSTEMS CORP DE 5.02,9.01 10/31/07
CSK AUTO CORP DE 5.02,9.01 11/05/07
CV THERAPEUTICS INC DE 2.02,9.01 11/06/07
CV THERAPEUTICS INC DE 8.01,9.01 11/06/07
CytoCore Inc DE 1.01,9.01 11/01/07
D&E COMMUNICATIONS INC PA 2.02,9.01 11/05/07
DATASCOPE CORP DE 2.02,9.01 11/06/07
DCT Industrial Trust Inc. MD 2.02,9.01 11/06/07
DELPHI CORP DE 2.02,9.01 11/06/07
DELTA MUTUAL INC 3.02 10/30/07 AMEND
DemandTec, Inc. DE 8.01 10/31/07
DENTSPLY INTERNATIONAL INC /DE/ DE 8.01,9.01 11/01/07
Discover Card Execution Note Trust DE 6.05 11/01/07
DISCOVERY LABORATORIES INC /DE/ DE 2.02,8.01,9.01 11/06/07
DOLLAR FINANCIAL CORP DE 5.02 11/06/07
Domtar CORP DE 1.01,3.03 11/01/07
DORCHESTER MINERALS LP DE 2.02,7.01,9.01 11/06/07
Double-Take Software, Inc. DE 7.01,9.01 11/06/07
DPL INC OH 7.01,9.01 11/06/07
DRIL-QUIP INC DE 2.02,9.01 11/01/07
DSP GROUP INC /DE/ DE 5.02,5.03,9.01 10/31/07
DUKE REALTY CORP IN 2.02,9.01 10/31/07
DUKE REALTY LIMITED PARTNERSHIP/ IN 2.02,9.01 10/31/07
EAU TECHNOLOGIES, INC. DE 1.01,5.02,9.01 10/31/07
Echo Healthcare Acquisition Corp. DE 1.01,2.03,9.01 11/02/07
EDGAR ONLINE INC DE 8.01 11/06/07
EL PASO CORP/DE DE 2.02,7.01,9.01 11/06/07
EMAGEON INC 2.02,9.01 11/06/07
EMC INSURANCE GROUP INC IA 2.02,7.01,9.01 11/06/07
Emergency Medical Services CORP DE 2.02,9.01 11/06/07
EMERSON ELECTRIC CO MO 2.02,7.01,9.01 11/06/07
EMISPHERE TECHNOLOGIES INC DE 2.02,9.01 11/06/07
EMS TECHNOLOGIES INC GA 5.02 11/02/07
EMVELCO CORP. DE 3.01,9.01 11/01/07
ENCYSIVE PHARMACEUTICALS INC DE 8.01 11/05/07
ENDEAVOUR INTERNATIONAL CORP NV 2.02,9.01 11/05/07
ENDEAVOUR INTERNATIONAL CORP NV 7.01,9.01 11/06/07
ENERGEN CORP AL 7.01,9.01 11/06/07
ENERGY XXI (BERMUDA) LTD D0 9.01 11/06/07
ENTEGRIS INC MN 1.01,2.03 11/02/07
ENTERTAINMENT DISTRIBUTION CO INC DE 5.02,9.01 11/05/07
ENTERTAINMENT DISTRIBUTION CO INC DE 5.02,9.01 11/05/07
ENTERTAINMENT DISTRIBUTION CO INC DE 2.02,9.01 11/05/07
ENTREMED INC DE 2.02,9.01 11/06/07
ENTRUST INC MD 5.02 11/05/07
ENVIROSAFE CORP/CA 3.02 11/05/07 AMEND
EP MEDSYSTEMS INC NJ 2.02,9.01 11/01/07
EPICEPT CORP 2.02,9.01 11/05/07
EPIX Pharmaceuticals, Inc. 2.02,9.01 11/06/07
EPLUS INC DE 1.01,9.01 10/31/07
EPLUS INC DE 5.02,9.01 10/31/07
EVERGREEN ENERGY INC DE 2.02,9.01 11/06/07
EVERGREENBANCORP INC WA 8.01,9.01 11/06/07
EXCO RESOURCES INC TX 2.02,9.01 11/05/07
EXELIXIS INC DE 8.01 11/05/07
EXELON CORP PA 8.01 11/06/07
Exousia Advanced Materials, Inc. TX 1.01,3.02,9.01 10/26/07
FAIRPOINT COMMUNICATIONS INC DE 2.02,7.01,9.01 11/02/07
FAMILY DOLLAR STORES INC DE 5.02,5.03,7.01,9.01 11/05/07
FBL FINANCIAL GROUP INC IA 7.01 10/31/07
Federal Home Loan Bank of Atlanta X1 2.03 10/31/07
Federal Home Loan Bank of Boston X1 2.03 10/31/07
Federal Home Loan Bank of Chicago X1 2.03 11/02/07
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 10/31/07
Federal Home Loan Bank of Dallas 2.03 10/31/07
Federal Home Loan Bank of Des Moines X1 2.03,9.01 10/31/07
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 10/31/07
Federal Home Loan Bank of New York X1 2.03,9.01 10/31/07
Federal Home Loan Bank of New York X1 5.02,9.01 11/06/07
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 10/31/07
Federal Home Loan Bank of San Francis X1 2.03 10/31/07
Federal Home Loan Bank of Seattle 2.03 11/06/07
Federal Home Loan Bank of Topeka 2.03 10/31/07
Fidelity National Information Service 7.01,9.01 11/06/07
First Clover Leaf Financial Corp. MD 8.01,9.01 10/23/07
FIRST GROWTH INVESTORS INC NV 1.01 11/06/07
FIRST UNITED CORP/MD/ MD 2.02,9.01 11/05/07
FISERV INC WI 1.01,8.01,9.01 11/01/07
FLORIDA ROCK INDUSTRIES INC FL 5.04,9.01 11/06/07
FMG ACQUISITION CORP DE 8.01,9.01 11/06/07
FONIX CORP DE 1.01,8.01 11/02/07
FOREST OIL CORP NY 2.02,7.01,9.01 11/05/07
FTI CONSULTING INC MD 7.01,9.01 11/01/07
Future Now Group Inc. NV 1.01,2.01,3.01,5.01,5.02,5.06, 10/30/07
8.01,9.01
GAINSCO INC TX 1.01,9.01 10/31/07
GALAXY ENERGY CORP CO 1.01,9.01 10/31/07
GB&T BANCSHARES INC GA 1.01,2.02,9.01 11/02/07
GENERAL ENVIRONMENTAL MANAGEMENT, INC NV 1.01,3.02 10/31/07
GENERAL METALS CORP DE 3.02,7.01,9.01 10/31/07
GENIUS PRODUCTS INC DE 1.01,2.03,9.01 11/01/07
GeoEye, Inc. DE 5.03,9.01 11/01/07
Geovax Labs, Inc. IL 8.01,9.01 11/02/07
GETTY REALTY CORP /MD/ MD 5.02 10/31/07
GLATFELTER P H CO PA 7.01,9.01 11/06/07
GLOBAL CROSSING LTD 2.02,9.01 11/06/07
GLOBAL GREEN SOLUTIONS INC. 7.01,9.01 11/05/07
GMH Communities Trust MD 2.02,9.01 11/05/07
GOODYEAR TIRE & RUBBER CO /OH/ OH 8.01,9.01 11/06/07
GREAT ATLANTIC & PACIFIC TEA CO INC MD 1.01,8.01,9.01 11/05/07
Great Lakes Dredge & Dock CORP DE 2.02,9.01 11/06/07
GREAT WEST LIFE & ANNUITY INSURANCE C CO 9.01 11/01/07
GREATBATCH, INC. DE 2.02,8.01,9.01 11/05/07
GREENBRIER COMPANIES INC DE 2.02,9.01 11/06/07
GreenHunter Energy, Inc. DE 5.02,9.01 11/01/07
GTX INC /DE/ DE 2.02,9.01 11/06/07
GTX INC /DE/ DE 1.01,3.02,9.01 11/05/07
GTX INC /DE/ DE 5.02 10/31/07
GUESS INC DE 2.02,7.01,9.01 11/06/07
HAIGHTS CROSS COMMUNICATIONS INC DE 2.02,9.01 11/06/07
HANMI FINANCIAL CORP DE 2.02,9.01 11/06/07
HAWK CORP DE 2.02,9.01 09/30/07
HEADWATERS INC DE 2.02,9.01 11/06/07
HEALTH CARE REIT INC /DE/ DE 2.02,9.01 11/06/07
HEALTH DISCOVERY CORP 2Q 5.02,9.01 11/06/07
HEALTHEXTRAS INC DE 2.02,9.01 11/05/07
HEALTHSOUTH CORP DE 5.02,5.03,9.01 11/06/07
HEALTHTRONICS, INC. GA 2.02,7.01,9.01 09/30/07
HERBALIFE LTD. E9 2.02,9.01 11/05/07
HERBST GAMING INC NV 7.01,9.01 11/06/07
Highland Distressed Opportunities, In 7.01,9.01 11/06/07
HILB ROGAL & HOBBS CO VA 2.03 10/31/07
HILLENBRAND INDUSTRIES INC IN 8.01,9.01 11/05/07
HOLLY CORP DE 2.02,9.01 11/06/07
HOLOGIC INC DE 2.02,7.01,9.01 11/06/07
HOME PROPERTIES INC MD 5.03,9.01 11/02/07
HOVNANIAN ENTERPRISES INC DE 2.02,9.01 10/31/07
HRPT PROPERTIES TRUST MD 2.02,9.01 11/06/07
Huntsman CORP DE 2.01,2.06,9.01 11/05/07
Huntsman CORP DE 5.03,9.01 10/31/07
IBASIS INC DE 2.01,9.01 11/06/07
IDENIX PHARMACEUTICALS INC 2.02,9.01 11/06/07
IGENE BIOTECHNOLOGY INC MD 1.02,2.01,9.01 10/31/07
IMERGENT INC DE 2.02,9.01 11/06/07
ImmunoCellular Therapeutics, Ltd. DE 3.02,5.02,8.01,9.01 11/05/07
IMMUNOMEDICS INC DE 2.02 11/06/07
INDALEX HOLDINGS FINANCE INC 5.02 10/31/07
INDYMAC BANCORP INC DE 2.02,9.01 11/06/07
INFORMEDIX HOLDINGS INC NV 4.01 10/26/07
INFOSPACE INC DE 2.01,9.01 10/31/07
INNOSPEC INC. DE 5.02 11/06/07
Innova Robotics & Automation, Inc. NV 1.01,3.02,9.01 10/25/07
INSIGHT COMMUNICATIONS CO INC DE 2.02,9.01 11/05/07
INSMED INC VA 8.01,9.01 11/06/07
Integrated Management Information, In 8.01,9.01 11/01/07
Intellect Neurosciences, Inc. 2.04 10/31/07
InterDigital, Inc. PA 2.02,9.01 10/31/07 AMEND
INTEREP NATIONAL RADIO SALES INC NY 8.01 11/06/07
INTERLINK ELECTRONICS INC DE 2.01,2.05,9.01 08/31/07 AMEND
INTERNAP NETWORK SERVICES CORP DE 2.02,9.01 11/06/07
International Power Group, Ltd. DE 5.02 11/01/07
International Power Group, Ltd. DE 5.02 11/05/07
INTERSTATE BAKERIES CORP/DE/ DE 7.01,9.01 11/05/07
INTEVAC INC CA 7.01,9.01 11/06/07
INTREPID TECHNOLOGY & RESOURCES, INC. ID 5.02 11/05/07
IPASS INC DE 2.02,2.05,9.01 11/02/07
IPG PHOTONICS CORP DE 2.02,9.01 11/06/07
ISTAR FINANCIAL INC MD 2.02,9.01 11/06/07
ISTAR FINANCIAL INC MD 5.02 10/31/07
IXYS CORP /DE/ DE 2.02,9.01 11/06/07
J P MORGAN CHASE & CO DE 9.01 11/02/07
JAMES RIVER GROUP, INC DE 8.01,9.01 11/06/07
JAZZ PHARMACEUTICALS INC DE 2.02,9.01 11/06/07
JCM PARTNERS LLC DE 3.02 11/01/07
JER Investors Trust Inc 5.02 10/31/07
Joytoto USA, Inc. NV 1.01,2.01,3.02,5.01,5.02,5.03, 10/31/07
9.01
K SWISS INC DE 2.02,9.01 11/06/07
K TRON INTERNATIONAL INC NJ 2.02,9.01 11/06/07
Kearny Financial Corp. X1 2.02,9.01 11/01/07
KELLWOOD CO DE 7.01,9.01 11/06/07
KEYNOTE SYSTEMS INC DE 8.01 11/02/07
KINDRED HEALTHCARE, INC DE 2.02,7.01,9.01 11/05/07
KODIAK ENERGY, INC. DE 3.02,9.01 11/01/07
Kohlberg Capital CORP DE 2.02 11/05/07
KONA GRILL INC DE 1.01,3.02,9.01 11/01/07
KRONOS WORLDWIDE INC 2.02,7.01,9.01 11/05/07
LAKES ENTERTAINMENT INC MN 7.01,9.01 11/01/07
LARGO VISTA GROUP LTD NV 8.01,9.01 10/26/07
LEAR CORP DE 2.02,2.05,2.06,7.01,9.01 11/06/07
Legacy Bancorp, Inc. DE 1.01,5.02,9.01 11/05/07
LEHMAN ABS CORP KRAFT FOODS NOTE BACK DE 8.01,9.01 11/01/07
LEHMAN BROTHERS HOLDINGS INC DE 9.01 10/31/07
LENNAR CORP /NEW/ DE 7.01,9.01 11/06/07
LEXINGTON ENERGYSERVICES INC. NV 5.02 11/01/07
Liberty Global, Inc. 2.02 11/06/07
LIFETIME BRANDS, INC DE 2.02,9.01 11/06/07
LINCARE HOLDINGS INC DE 1.01,2.03,3.02,8.01,9.01 10/31/07
LINDSAY CORP DE 5.02,5.03,9.01 11/08/06
LIONBRIDGE TECHNOLOGIES INC /DE/ DE 2.02 11/06/07
LUDVIK CAPITAL INC DE 8.01 08/17/07
LYDALL INC /DE/ DE 2.02,9.01 11/06/07
MAC FILMWORKS INC DE 8.01 10/30/07
MAC-GRAY CORP DE 2.02,9.01 11/06/07
MACROVISION CORP DE 2.02,9.01 11/06/07
MAGELLAN MIDSTREAM HOLDINGS LP 2.02,9.01 11/06/07
MAGELLAN MIDSTREAM PARTNERS LP DE 2.02,9.01 11/06/07
MAGNA ENTERTAINMENT CORP DE 2.02,7.01,9.01 09/30/07
MAGNITUDE INFORMATION SYSTEMS INC DE 2.04,3.02 11/05/07
MAIR HOLDINGS INC MN 2.02,9.01 11/06/07
MARTHA STEWART LIVING OMNIMEDIA INC DE 2.02,9.01 11/02/07
MARTIN MIDSTREAM PARTNERS LP DE 2.02,5.02,9.01 11/06/07
MAUI LAND & PINEAPPLE CO INC HI 2.02,9.01 11/02/07
MAX CAPITAL GROUP LTD. 2.02,7.01,8.01,9.01 11/05/07
MCF CORP DE 2.02,9.01 11/06/07
MDC HOLDINGS INC DE 1.01,2.03,9.01 11/02/07
MEDIACOM COMMUNICATIONS CORP DE 2.02,9.01 11/06/07
MEDICAL STAFFING NETWORK HOLDINGS INC DE 8.01,9.01 11/05/07
MEDICAL STAFFING NETWORK HOLDINGS INC DE 2.02,9.01 11/06/07
MEDIWARE INFORMATION SYSTEMS INC NY 2.02,9.01 11/06/07
MERCER INTERNATIONAL INC. WA 2.02,9.01 11/05/07
MERCURY COMPUTER SYSTEMS INC MA 7.01,9.01 11/06/07
MERRILL LYNCH DEPOSITOR INC PREFERRED NY 8.01,9.01 11/01/07
METAL MANAGEMENT INC DE 2.02,9.01 11/06/07
Metavante Technologies, Inc. 1.01,2.03,3.02,3.03,5.01,5.02, 10/31/07
5.03,8.01,9.01
METTLER TOLEDO INTERNATIONAL INC/ DE 5.02,9.01 11/01/07
MILACRON INC DE 2.02,9.01 11/06/07
MINISTRY PARTNERS INVESTMENT CORP CA 1.01 10/30/07
MINISTRY PARTNERS INVESTMENT CORP CA 5.03 10/30/07
MINN DAK FARMERS COOPERATIVE ND 8.01 11/06/07
MISSISSIPPI POWER CO MS 8.01,9.01 11/02/07
MIVA, INC. DE 2.02,9.01 11/01/07
MobiVentures Inc. NV 1.01,5.02,9.01 10/31/07
MOLSON COORS BREWING CO CO 2.02,9.01 11/06/07
MOMENTA PHARMACEUTICALS INC DE 8.01 11/06/07
MOTIVE INC DE 8.01,9.01 11/05/07
MPHASE TECHNOLOGIES INC NJ 8.01 11/05/07
MRU HOLDINGS INC DE 1.01,3.02,7.01,9.01 11/02/07
MS STRUCTURED SATURNS SERIES 2003-4 DE 8.01,9.01 11/01/07
MSB FINANCIAL CORP. X1 2.02,9.01 11/01/07
MSC SOFTWARE CORP DE 2.02,9.01 11/06/07
MSC-Medical Services CO FL 5.02 10/31/07
Mueller Water Products, Inc. DE 2.02,2.05,9.01 11/05/07
MULTIBAND CORP MN 8.01,9.01 10/31/07
MUNICIPAL MORTGAGE & EQUITY LLC DE 1.01,9.01 11/01/07
MYRIAD GENETICS INC DE 1.01,5.02,9.01 11/01/07
Nalco Finance Holdings LLC 7.01,9.01 11/06/07
Nalco Holding CO 7.01,9.01 11/06/07
Nalco Holdings LLC DE 7.01,9.01 11/06/07
NATIONWIDE HEALTH PROPERTIES INC MD 2.02,9.01 11/06/07
NATURAL GAS SERVICES GROUP INC 2.02 09/30/07
NEON Communications Group, Inc. DE 8.01 11/06/07
NESS TECHNOLOGIES INC 5.03,9.01 11/06/07
NETLIST INC DE 2.02,9.01 11/01/07
NETWORK CAPITAL INC MN 4.01,5.01,5.02 08/02/07 AMEND
NEXSTAR BROADCASTING GROUP INC DE 2.02,9.01 11/06/07
NICHOLAS FINANCIAL INC FL 2.02,9.01 11/06/07
NICO TELECOM INC NV 5.01,5.02,5.03 08/14/07
NITCHES INC CA 4.02 10/25/07
NL INDUSTRIES INC NJ 2.02,7.01,9.01 11/05/07
NORTEL NETWORKS CORP 2.02,9.01 11/06/07
NORTEL NETWORKS LTD 2.02,9.01 11/06/07
NORTHWEST INDIANA BANCORP IN 2.02,9.01 11/06/07
NOVATEL WIRELESS INC DE 1.01 11/02/07
NOVATEL WIRELESS INC DE 1.01,5.02 11/02/07
NT MEDIA CORP OF CALIFORNIA INC DE 3.02 08/14/07
NUCRYST Pharmaceuticals Corp. A0 1.01,9.01 09/30/07 AMEND
NYFIX INC DE 1.01,9.01 10/31/07
ODYSSEY HEALTHCARE INC DE 7.01,9.01 11/06/07
OLD SECOND BANCORP INC DE 1.01,7.01,9.01 11/05/07
OMEGA PROTEIN CORP NV 2.02,9.01 11/06/07
OMNI ENERGY SERVICES CORP LA 7.01,8.01,9.01 10/31/07
OMTOOL LTD DE 2.02,9.01 11/01/07
ON2 TECHNOLOGIES, INC. DE 1.01,2.01,9.01 11/01/07
OneBeacon Insurance Group, Ltd. D0 2.02,9.01 11/05/07
ONYX PHARMACEUTICALS INC DE 2.02,9.01 11/06/07
OPTIMAL GROUP INC 7.01 11/06/07
ORGANITECH USA INC DE 5.02 11/06/07
ORIENTAL FINANCIAL GROUP INC PR 5.02 10/31/07
ORTHOFIX INTERNATIONAL N V 2.02,9.01 11/06/07
ORTHOVITA INC 2.02,9.01 11/05/07
OSI SYSTEMS INC CA 2.02,9.01 11/06/07
OSTEOTECH INC DE 2.02,9.01 11/06/07
OTELCO INC. AL 2.02,9.01 11/06/07
PACKETPORT COM NV 8.01 11/05/07
PAETEC Holding Corp. 2.01,9.01 10/31/07
PALL CORP NY 5.02 11/03/07
PANTRY INC DE 5.02,9.01 11/05/07
PAPA JOHNS INTERNATIONAL INC DE 2.02,9.01 11/06/07
PARKWAY PROPERTIES INC MD 2.02,9.01 11/05/07
PATHFINDER BANCORP INC DE 2.02 09/30/07
PATHMARK STORES INC DE 8.01,9.01 11/05/07
Patriot Capital Funding, Inc. DE 2.02,9.01 11/06/07
Patriot Coal CORP DE 3.03,5.02,9.01 10/31/07
PAULSON CAPITAL CORP OR 8.01,9.01 11/06/07
PAYCHEX INC DE 1.01,9.01 11/05/07
PC MALL INC DE 1.01,2.03,9.01 11/05/07
PEABODY ENERGY CORP DE 2.02,9.01 11/06/07
PEABODY ENERGY CORP DE 2.01,5.02,9.01 10/31/07
PEERLESS MANUFACTURING CO TX 2.02,9.01 11/06/07
PEGASYSTEMS INC MA 2.02,9.01 11/05/07
PeopleSupport, Inc. DE 2.02,9.01 11/06/07
PEPSIAMERICAS INC/IL/ DE 8.01,9.01 11/05/07
PERFORMANCE FOOD GROUP CO TN 2.02,9.01 11/06/07
PETMED EXPRESS INC FL 4.01,9.01 11/06/07
PETROQUEST ENERGY INC DE 2.02 11/06/07
Pike Electric CORP 2.02,9.01 11/06/07
PINNACLE ENTERTAINMENT INC DE 2.02,9.01 11/06/07
PIONEER NATURAL RESOURCES CO DE 2.02,9.01 11/06/07
PLAINS EXPLORATION & PRODUCTION CO DE 2.01,2.03,5.02,7.01,9.01 11/06/07
PLAYLOGIC ENTERTAINMENT INC DE 2.02,9.01 11/05/07
PLURISTEM LIFE SYSTEMS INC NV 3.02 11/06/07
POINT BLANK SOLUTIONS, INC. DE 5.02 10/31/07
POLYMER GROUP INC DE 2.02,9.01 11/01/07
POWERSECURE INTERNATIONAL, INC. DE 2.02,7.01,9.01 11/06/07
PPL CORP PA 8.01,9.01 11/06/07
PRB Energy, Inc. NV 1.01,9.01 10/31/07
PRICELINE COM INC DE 5.02,9.01 11/01/07
PRIMEDIA INC DE 2.02,4.02,7.01,9.01 11/06/07
PRINCETON ACQUISITIONS INC CO 5.01,5.02 11/06/07
PRINTRONIX INC DE 8.01,9.01 11/01/07
PROASSURANCE CORP DE 2.02,5.02,9.01 11/05/07
PROGINET CORP DE 5.02 10/31/07
PROGRESSIVE GAMING INTERNATIONAL CORP NV 8.01,9.01 11/05/07
PROSPECT CAPITAL CORP MD 8.01,9.01 11/06/07
PROSPERO MINERALS CORP. NV 8.01 11/02/07
ProUroCare Medical Inc. 1.01,2.03 10/16/07
PROVIDENCE & WORCESTER RAILROAD CO/RI RI 5.02 11/06/07
PROXIM WIRELESS CORP DE 1.01,1.02,5.02,9.01 11/01/07
PROXIM WIRELESS CORP DE 2.02,9.01 11/06/07
PS BUSINESS PARKS INC/CA CA 2.02,9.01 11/05/07
QLOGIC CORP DE 8.01,9.01 11/06/07
QUALITY SYSTEMS INC CA 2.02,9.01 10/31/07
Quicksilver Gas Services LP DE 2.02,9.01 11/06/07
QUICKSILVER RESOURCES INC DE 2.02,9.01 11/06/07
QUINTEK TECHNOLOGIES INC 1.02 11/02/07
RANCHER ENERGY CORP. NV 3.02,7.01,9.01 11/06/07
RASER TECHNOLOGIES INC UT 8.01,9.01 11/06/07
RBC LIFE SCIENCES, INC. DE 2.02,9.01 11/05/07
REGENERON PHARMACEUTICALS INC NY 2.02,9.01 11/06/07
REGENT COMMUNICATIONS INC DE 2.02,9.01 11/06/07
REGIONS FINANCIAL CORP DE 5.02,9.01 11/06/07
RES CARE INC /KY/ KY 2.02,9.01 11/05/07
Restore Medical, Inc. DE 2.02,9.01 11/06/07
REVLON INC /DE/ DE 2.02,9.01 11/06/07
REX ENERGY CORP DE 7.01,9.01 11/06/07
RIGEL PHARMACEUTICALS INC DE 2.02,9.01 11/06/07
RIVERVIEW BANCORP INC WA 5.02 10/31/07
Rock-Tenn CO GA 5.02,9.01 11/06/07
ROCKWELL COLLINS INC DE 5.02,9.01 11/05/07
Roebling Financial Corp, Inc. 8.01,9.01 11/06/07
RONSON CORP NJ 2.02,9.01 11/05/07
ROYAL GOLD INC DE 8.01,9.01 10/31/07
ROYAL GOLD INC DE 1.01,8.01,9.01 11/05/07
Ruths Chris Steak House, Inc. DE 2.02,9.01 11/06/07
Ruths Chris Steak House, Inc. DE 1.01,9.01 11/06/07
SABINE ROYALTY TRUST TX 2.02,9.01 11/05/07
SALIX PHARMACEUTICALS LTD 2.02,9.01 11/06/07
SALOMON SMITH BARNEY AAA ENERGY FUND 3.02 11/01/07
SALOMON SMITH BARNEY ORION FUTURES FU 3.02 11/01/07
SBT Bancorp, Inc. CT 2.02,9.01 10/30/07
SEACHANGE INTERNATIONAL INC DE 8.01,9.01 11/05/07
Sekoya Holdings Ltd. NV 1.01,9.01 11/01/07
SENECA FOODS CORP /NY/ NY 2.02,5.03,9.01 11/06/07
SENETEK PLC /ENG/ 7.01,9.01 11/06/07
SHARPER IMAGE CORP DE 2.03 11/05/07
Shea Development Corp. 7.01,9.01 10/31/07
SHEARSON FINANCIAL NETWORK INC NV 5.02 11/01/07
SIERRA HEALTH SERVICES INC NV 2.02 11/05/07
SIGNET INTERNATIONAL HOLDINGS, INC. DE 1.01,3.02,9.01 11/05/07
SILICON GRAPHICS INC DE 2.02,9.01 11/06/07
SILVERLEAF RESORTS INC 2.01,7.01,9.01 10/31/07
Skilled Healthcare Group, Inc. DE 2.02,9.01 11/06/07
SMITH BARNEY BRISTOL ENERGY FUND LP 3.02 11/01/07
SMITH BARNEY POTOMAC FUTURES FUND LP 3.02 11/01/07
SMITH BARNEY WARRINGTON FUND L P 3.02 11/01/07
SMITH BARNEY WESTPORT FUTURES FUND LP 3.02 11/01/07
SMITHTOWN BANCORP INC NY 8.01 11/05/07
SMOKY MARKET FOODS INC NV 1.01,3.02,9.01 10/31/07
SMOKY MARKET FOODS INC NV 1.01,3.02,9.01 10/31/07 AMEND
SOURCEFIRE INC DE 2.02,9.01 11/06/07
SOUTHERN COPPER CORP/ DE 8.01 11/05/07
SOUTHWEST GAS CORP CA 2.02 11/06/07
SOUTHWESTERN ENERGY CO DE 7.01 11/01/07
SOUTHWESTERN ENERGY CO DE 7.01 11/05/07
SPECTRX INC DE 4.01,9.01 11/06/07 AMEND
SPINDLETOP OIL & GAS CO TX 5.02 10/31/07
SRI SURGICAL EXPRESS INC FL 2.02,9.01 11/05/07
SRS LABS INC DE 2.02,8.01,9.01 11/06/07
ST JOE CO FL 2.02,9.01 11/06/07
STAKTEK HOLDINGS INC DE 5.02,9.01 11/01/07
STEEL DYNAMICS INC IN 2.01,3.02,5.02,8.01,9.01 10/26/07 AMEND
STEVEN MADDEN, LTD. DE 5.02,9.01 11/06/07
STIFEL FINANCIAL CORP DE 7.01,9.01 11/06/07
STONE ENERGY CORP DE 2.02,7.01,9.01 11/05/07
STONE ENERGY CORP DE 1.01,2.03,9.01 11/01/07
STRATEGIC HOTELS & RESORTS, INC 2.02,9.01 11/06/07
STRUCTURED OBLIGATIONS CORP TRUST SPR DE 8.01 10/30/07
STRUCTURED PRODUCTS CORP CORTS TR FOR DE 8.01,9.01 10/31/07
STUDENT LOAN CORP DE 5.02 11/01/07
SUMMIT EXPLORATION INC. 4.01,8.01,9.01 11/05/07
SUMTOTAL SYSTEMS INC DE 7.01,9.01 11/06/07
Sun American Bancorp DE 8.01 11/06/07
SUN HEALTHCARE GROUP INC DE 7.01,9.01 11/06/07
SUNOCO INC PA 5.02 10/31/07
Sunstone Hotel Investors, Inc. MD 2.02,9.01 11/06/07
SUPERIOR BANCORP DE 7.01,9.01 11/05/07
SupportSave Solutions Inc 3.02 10/31/07
Surfect Holdings, Inc NV 2.04 10/29/07
SURMODICS INC MN 2.02,9.01 11/06/07
SUSQUEHANNA BANCSHARES INC PA 8.01,9.01 11/06/07
SYKES ENTERPRISES INC FL 2.02,9.01 11/05/07
SYMANTEC CORP DE 5.02 11/05/07
Synovics Pharmaceuticals NV 8.01 11/06/07
SYNTHETECH INC OR 5.02 10/31/07
SYNTROLEUM CORP DE 1.01 10/31/07
TAPESTRY PHARMACEUTICALS, INC DE 7.01,9.01 11/05/07
Tarpon Industries, Inc. MI 3.01,9.01 10/31/07
TARRANT APPAREL GROUP CA 1.02 11/02/07
TEAM FINANCIAL INC /KS KS 2.02,9.01 11/01/07
TECHE HOLDING CO LA 2.02,9.01 10/31/07
Teleconnect Inc. OK 5.02,9.01 10/31/07
TELEGEN CORP /CO/ CA 1.01,3.02,9.01 10/31/07
TELEPHONE & DATA SYSTEMS INC /DE/ DE 2.02,8.01,9.01 11/06/07
TEMPLE INLAND INC DE 2.01,9.01 10/31/07
TENET HEALTHCARE CORP NV 2.02 11/06/07
TEREX CORP DE 8.01,9.01 11/06/07
TEREX CORP DE 8.01,9.01 11/06/07
TETRA TECHNOLOGIES INC DE 5.02 11/02/07
TEXAS VANGUARD OIL CO TX 4.01 11/06/07
THERMAGE INC DE 2.02,9.01 11/06/07
THESTREET COM DE 1.01,2.01,2.02,3.02,9.01 11/01/07
THOR INDUSTRIES INC DE 2.02,9.01 11/05/07
TMT CAPITAL CORP FL 8.01 10/31/07
TREDEGAR CORP VA 2.02,5.03,9.01 11/05/07
TREX CO INC DE 2.02,9.01 11/06/07
TRICO MARINE SERVICES INC DE 1.01,7.01,9.01 11/05/07
TRIMAS CORP DE 2.02,9.01 11/06/07
TRIUMPH GROUP INC / DE 5.02,9.01 10/31/07
TRX INC/GA GA 5.02,9.01 11/06/07
TUESDAY MORNING CORP/DE DE 5.02,9.01 11/06/07
TURBOCHEF TECHNOLOGIES INC DE 2.02,9.01 11/06/07
U S PRECIOUS METALS INC DE 5.02 11/01/07
UDR, Inc. MD 2.02,9.01 11/05/07
UIL HOLDINGS CORP CT 7.01,9.01 11/06/07
ULURU INC. NV 5.03,9.01 11/05/07
UNIPROP MANUFACTURED HOUSING COMMUNIT MI 1.01 11/02/07
UNITED BANCORP INC /OH/ OH 2.02,9.01 11/01/07
UNITED PAN AM FINANCIAL CORP CA 7.01,9.01 11/01/07
UNITED STATES CELLULAR CORP DE 2.02,9.01 11/06/07
UNITED WESTERN BANCORP INC CO 2.02,9.01 11/06/07
UNIVERSAL AMERICAN FINANCIAL CORP NY 2.02,7.01 11/02/07
UNIVERSAL GUARDIAN HOLDINGS INC DE 1.01 04/18/07
Universal Truckload Services, Inc. MI 9.01 11/06/07
UPFC Auto Receivables Trust 2007-B TX 8.01,9.01 11/05/07
UQM TECHNOLOGIES INC CO 1.01 11/05/07
URANIUM ENERGY CORP NV 1.01,9.01 11/01/07
US AIRWAYS GROUP INC DE 7.01,9.01 11/06/07
US BioEnergy CORP 1.01,1.02,2.03,5.02,9.01 10/31/07
US GEOTHERMAL INC DE 8.01,9.01 11/05/07
USA Mobility, Inc DE 7.01,9.01 11/01/07
Utah Uranium Corp. NV 1.01,9.01 10/10/07
uWink, Inc. UT 1.01,7.01 11/06/07
VALASSIS COMMUNICATIONS INC DE 2.02,9.01 11/06/07
VALERO ENERGY CORP/TX DE 2.02,9.01 11/06/07
VALHI INC /DE/ DE 2.02,5.03,7.01,9.01 11/06/07
VCAMPUS CORP DE 1.01,2.03 10/31/07
Veraz Networks, Inc. DE 2.02,9.01 11/06/07
Vicor Technologies, Inc. DE 1.01,2.03,3.02 10/31/07
VIEWPOINT CORP DE 2.02,9.01 11/06/07
VISICU INC DE 2.02,9.01 11/06/07
VITESSE SEMICONDUCTOR CORP DE 2.02,9.01 11/01/07
VOYAGER ENTERTAINMENT INTERNATIONAL I NV 2.03,9.01 11/05/07
VUBOTICS INC NV 1.01,2.03,3.02 11/06/07
VWR Funding, Inc. DE 7.01,9.01 11/05/07
WARWICK VALLEY TELEPHONE CO NY 5.02,9.01 11/06/07
WATSON PHARMACEUTICALS INC NV 2.02,9.01 11/06/07
WEBSITE PROS INC DE 2.02,9.01 11/06/07
WEIGHT WATCHERS INTERNATIONAL INC VA 2.02,9.01 11/06/07
Wentworth Energy, Inc. OK 1.01,3.02,8.01,9.01 10/31/07
Western Goldfields Inc. A6 7.01,9.01 11/05/07
WESTWOOD ONE INC /DE/ DE 2.02,9.01 11/01/07
WHOLE FOODS MARKET INC TX 5.05 11/02/07
WILLBROS GROUP INC R1 2.02,9.01 10/31/07
WILLOW FINANCIAL BANCORP, INC. PA 8.01,9.01 11/05/07
WSB Financial Group, Inc. WA 8.01,9.01 10/29/07 AMEND
WYNDHAM WORLDWIDE CORP DE 1.01,2.03,8.01,9.01 10/30/07
XOMA LTD /DE/ DE 8.01,9.01 11/06/07
YADKIN VALLEY FINANCIAL CORP NC 1.01,2.03,9.01 11/01/07
ZIOPHARM ONCOLOGY INC 8.01,9.01 11/02/07
http://www.sec.gov/news/digest/2007/dig110707.htm
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