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SEC NEWS DIGEST
Issue 2007-217 November 9, 2007
COMMISSION ANNOUNCEMENTS
CHAIRMAN COX, OVERSEAS COUNTERPARTS MEET TO DISCUSS INTERACTIVE DATA
TIMETABLE
Tokyo, November 9 - U.S. Securities and Exchange Commission Chairman
Christopher Cox on Friday, while at meetings of the International
Organization of Securities Commissions, concluded a week of bilateral
discussions with securities regulators from Japan, China, Korea,
Canada and Australia focused, among other things, on timetables for
implementation of interactive data initiatives for financial
reporting.
In Japan, Minister of Financial Services Yoshimi Watanabe and Japan
Financial Services Agency Commissioner Takafumi Sato described an
aggressive timetable for implementation of data tagging using XBRL
(eXtensible Business Reporting Language). Japan has mandated public
company reporting using XBRL for the full financial statements of all
listed companies beginning with quarterly reporting in the second
quarter of 2008.
China Securities Regulatory Commission Chairman Shang Fulin described
how China, the first country in the world to mandate XBRL reporting,
is requiring interactive data filing for the full financial statements
of all listed companies in quarterly, half-year and annual reports
under rules of both the CSRC and the Shanghai Stock Exchange.
Beginning with only 50 companies voluntarily reporting using XBRL in
2003, the program has grown to now include more than 800 companies. In
addition to the XBRL taxonomy for listed companies, a taxonomy for
fund companies in China has also been developed.
Korean Financial Supervisory Commission Chairman and Financial
Supervisory Service Governor Kim Yong-Duk described Korea's steps
toward adopting XBRL for regulatory reporting. The FSS established a
voluntary XBRL filing program in 2006. Beginning in October 2007, all
publicly held companies were required to file financial statements
using XBRL on the electronic filing system of the FSS. Although the
mandatory program just began last month, over 29 listed companies have
already filed their full financial information using XBRL. Today, the
XBRL data of these companies can be easily analyzed by investors, and
the system allows interested non Korean-speaking investors to view and
analyze a company's financial statements in English.
Ontario Securities Commission Chairman David Wilson gave an update on
the launch earlier this year by the Canadian Securities Administrators
of an XBRL voluntary filing program, under which issuers can
voluntarily file financial statements in XBRL format.
Australian Securities and Investment Commission Chairman Tony
D'Aloisio described Australia's progress with XBRL financial
reporting. Australia will host the 2007 SBR/XBRL International
Conference. Sessions will be presented by experts from the
accounting/finance and software developer industries, XBRL and
government regulators from the Netherlands, the United Kingdom, the
United States, Singapore, New Zealand and Australia. Australia's
implementation of interactive data for financial reporting is
scheduled for mid-2010, with pilots and proof-of-concepts beginning in
2008.
And Chairman Moshe Tery of the Israel Securities Authority noted that
all public company financial reporting will be tagged using XBRL
beginning in 2008.
"The global movement to interactive data for financial reporting is
truly underway," said Chairman Cox. "The IOSCO conference provided an
excellent opportunity to share information with other jurisdictions,
and to measure the progress of implementation plans. Without question,
2008 will be a watershed year for interactive data." (Press Rel. 2007-
227)
KEVIN GOODMAN NAMED ASSOCIATE REGIONAL DIRECTOR FOR EXAMINATIONS IN
SEC'S DENVER REGIONAL OFFICE
The Securities and Exchange Commission today announced the appointment
of Kevin Goodman as the Associate Regional Director for Examinations
in its Denver Regional Office. Mr. Goodman, who currently holds the
position of Assistant Regional Director for Examinations in the Los
Angeles Regional Office, will transfer to the Denver office and
oversee its examination activities in the region's seven-state
territory.
Lori Richards, Director of the Office of Compliance Inspections and
Examinations, said, "Kevin Goodman is an excellent choice for this
position. He is immensely well-regarded throughout the Commission, has
outstanding skills as an examiner and has an established track record
as an informed, fair and effective regulator. He joins an outstanding
team of examiners in Denver."
George Curtis, Director of the Denver Regional Office, said, "Kevin
brings a wealth of experience and demonstrated management ability to
this newly created position. We are delighted to have him join this
office and look forward to working with him."
Mr. Goodman has more than 15 years of experience in the
Commission's exam program, with particular emphasis on the
regulation of investment companies and investment advisers. He has
extensive knowledge and experience with compliance issues affecting
the asset management and investment community.
Mr. Goodman said, "The 15 years I have spent with the Los Angeles
Regional Office have been more rewarding and challenging than I could
have imagined. I feel very fortunate to have this opportunity and look
forward to working with the talented staff in Denver."
Prior to joining the Los Angeles staff in 1992, Mr. Goodman practiced
with Fried, Frank, Harris, Shriver & Jacobson as an associate in their
Corporate/Securities group. Mr. Goodman received his J.D. degree in
1985 from Indiana University-Bloomington, and his Bachelor of Science
degree in accounting from Purdue University in 1982. (Press Rel. 2007-
228)
ENFORCEMENT PROCEEDINGS
COMMISSION SUSTAINS NEW YORK STOCK EXCHANGE'S DELISTING OF NAVISTAR
INTERNATIONAL CORPORATION
The Commission dismissed Navistar International Corporation's appeal
of the New York Stock Exchange's delisting of Navistar's entire class
of common stock and entire class of convertible junior preference
stock, series D, from the Exchange. The NYSE delisted Navistar's
securities because Navistar failed to file its fiscal year 2005 Form
10-K annual report in a timely manner and failed to return to
compliance with the timely filing requirement within the maximum
twelve-month cure period.
The Commission found that the NYSE based its delisting determination
on specific grounds existing in fact, that the delisting was in
accordance with the applicable NYSE rules, and that the NYSE applied
those rules in a manner consistent with the purposes of the Securities
Exchange Act of 1934. The Commission noted that there was no dispute
that Navistar failed to file its 2005 Form 10-K in a timely manner or
within the maximum twelve-month cure period provided by the NYSE. The
Commission concluded that Navistar did not qualify for any exceptions
to the twelve-month cure period. To date, Navistar has not filed its
2005 Form 10-K and is also delinquent in filing its 2006 Form 10-K.
(Rel. 34-56769; File No. 3-12564)
COMMISSION SUSTAINS NASD DISCIPLINARY ACTION AGAINST CHARLES C.
FAWCETT, IV
The Commission sustained NASD disciplinary action against Charles C.
Fawcett, IV, formerly associated with Federated Securities
Corporation, an NASD member firm. NASD found that Fawcett failed to
comply with requests to provide NASD staff with information and
testimony in connection with an NASD investigation concerning
Fawcett's conduct, in violation of NASD rules. For these violations,
NASD barred Fawcett from associating with any member firm in any
capacity. The Commission sustained NASD's findings of violation,
rejecting Fawcett's contention that he was entitled to invoke the
protection of the Fifth Amendment of the Constitution and thereby be
excused from the consequences of his refusal to comply with NASD's
requests for information. The Commission found that Fawcett's position
that the Fifth Amendment's privilege against self-incrimination
applies to NASD because it is per se a state actor "is directly
contrary to established precedent" and found "no basis in this case
for departing from that precedent." The Commission also sustained the
bar NASD imposed, concluding that "Fawcett's complete failure, without
mitigation, to respond to the NASD requests for testimony and other
information in this case demonstrates that he poses too great a risk
to the markets and investors protected by the self-regulatory system
to be permitted to remain in the securities industry." (Rel. 34-56770;
File No. 3-12566)
SEC SETTLES ENFORCEMENT ACTION AGAINST TWO OFFSHORE COMPANIES AND
THEIR PRINCIPAL TRADER FOR VIOLATIONS OF RULE 105 FOR $1.8 MILLION
The Commission announced today that it filed a settled civil action in
the U.S. District Court for the Southern District of New York against
Armstrong Capital Ltd. and Bay Capital Investment Ltd., two offshore
companies, and their owner and principal trader Timothy M. Bliss,
charging them with violating Rule 105 of Regulation M. Rule 105, as in
effect at the time of the conduct alleged in the complaint, prohibited
covering a short sale with securities obtained in certain public
offerings when the short sale occurred during a specific period
(usually five business days) before the pricing of the offering.
The Commission's complaint alleges that, from January 2004 through
June 2006, Armstrong Capital, Bay Capital, and Bliss violated Rule 105
in connection with 57 public offerings by using shares purchased in
those offerings to cover short sales made during the restricted period
set by Rule 105. The complaint further alleges that in the offerings,
the offering price was usually set at a discount to the last reported
sale price of the stock before the pricing of the offering. As alleged
in the complaint, by short selling just prior to pricing, Armstrong
Capital and Bay Capital often sold shares short at prices higher than
the price they would later pay for the shares in the offering.
By engaging in this conduct, the complaint alleges, the defendants
significantly reduced their market risk of investing in public
offerings and realized profits that totaled $1.263 million. Without
admitting or denying the allegations in the complaint, Armstrong
Capital, Bay Capital and Bliss have agreed to settle the Commission's
enforcement action by consenting to the entry of a final judgment that
permanently enjoins them from future violations of Rule 105, and holds
them jointly and severally liable to disgorge $1.47 million in trading
profits and prejudgment interest, and to pay a $325,000 civil penalty.
The Commission acknowledges the assistance and cooperation of the
National Association of Securities Dealers. [SEC v. Armstrong Capital
Ltd., Bay Capital Investment Ltd., and Timothy M. Bliss, Civil Action
No. 07-CV-09883 (SDNY) (JGK)] (LR-20361)
INVESTMENT COMPANY ACT RELEASES
BTOP50 MANAGED FUTURES FUND AND ASSET ALLIANCE ADVISORS, INC.
A notice has been issued giving interested persons until Dec. 3, 2007,
to request a hearing on an application filed by BTOP50 Managed Futures
Fund and Asset Alliance Advisors, Inc. for an order under Section 6(c)
of the Investment Company Act for an exemption from Sections 18(c) and
18(i) of the Act. The order would permit certain registered closed-end
management investment companies to issue multiple classes of shares.
(Rel. IC-28045 - November 8)
TOWER 21st CENTURY FUND LLC, ET AL.
A notice has been issued giving interested persons until Dec. 3, 2007,
to request a hearing on an application filed by Tower 21st Century
Fund LLC, et al. for an order to exempt certain investment vehicles
formed for the benefit of partners and key eligible current and former
employees of Sonnenschein Nath & Rosenthal LLP and its affiliates from
certain provisions of the Investment Company Act. Each investment
vehicle will be an "employees' securities company" within the meaning
of Section 2(a)(13) of the Act. (Rel. IC-28046 - November 8)
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
The Philadelphia Stock Exchange filed a proposed rule change (SR-Phlx-
2007-85) amending Phlx Rule 607. Publication is expected in the
Federal Register during the week of November 12. (Rel. 34-56750)
A proposed rule change (SR-Amex-2007-113) filed by the American Stock
Exchange to delete previously approved rules relating to a new class
of off-floor market maker called Designated Amex Remote Traders 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 12. (Rel. 34-56764)
A proposed rule change (SR-Amex-2007-114) filed by the American Stock
Exchange relating to collection of the Activity Assessment Fee 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 12. (Rel. 34-56766)
ACCELERATED APPROVAL OF PROPOSED RULE CHANGES
A proposed rule change (SR-Phlx-2007-40), as modified by Amendment No.
3, filed by the Philadelphia Stock Exchange to revise the definitions
of "synthetic option" and "Complex Trade" has been approved on an
accelerated basis pursuant to Section 19(b)(2) of the Securities
Exchange Act of 1934. Publication is expected in the Federal Register
during the week of November 12. (Rel. 34-56760)
The Commission granted accelerated approval to a proposed rule change
(SR-NYSEArca-2007-81) submitted by NYSE Arca to trade shares of funds
of the Rydex ETF Trust pursuant to Unlisted Trading Privileges.
Publication is expected in the Federal Register during the week of
November 12. (Rel. 34-56763)
PROPOSED RULE CHANGE
The NYSE Arca filed a proposed rule change (SR-NYSEArca-2007-87), and
Amendments No. 1 and No. 2 thereto, to amend listing fees for
Structured Products. Publication is expected in the Federal Register
during the week of November 12. (Rel. 34-56767)
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 GREM USA, 315 E. WALLACE ST., FORT WAYNE, IN, 46803, 260-456-2354 -
190,000,000 ($95,000.00) Equity, (File 333-147224 - Nov. 8) (BR. 06A)
S-8 RELIANCE STEEL & ALUMINUM CO, 350 S GRAND AVE STE 5100, LOS ANGELES,
CA, 90071, 2136877700 - 3,100,000 ($173,817,000.00) Equity,
(File 333-147226 - Nov. 8) (BR. 05C)
S-8 VOIS Inc., 255 NORTHEAST 6TH AVENUE, DELRAY BEACH, FL, 33483,
561-274-4894 - 3,000,000 ($20,110,500.00) Equity, (File 333-147227 -
Nov. 8) (BR. 03A)
SB-2 Thomas Pharmaceuticals, Ltd., 750 HIGHWAY 34, MATAWAN, NJ, 07747,
732-441-7700 - 41,578,400 ($163,875.00) Equity, (File 333-147228 -
Nov. 8) (BR. 01A)
S-4 CAMINOSOFT CORP, 600 HAMPSHIRE ROAD, SUITE #105, WESTLAKE VILLAGE, CA,
91361, 8053703100 - 0 ($3,849,726.00) Equity, (File 333-147236 -
Nov. 8) (BR. 03A)
S-3 GAIAM INC, 360 INTERLOCKEN BLVD, BROOMFIELD, CO, 80021, 3032223600 -
0 ($103,400,000.00) Equity, (File 333-147237 - Nov. 8) (BR. 05B)
S-3ASR BRE PROPERTIES INC /MD/, 525 MARKET STREET, FOURTH FLOOR,
SAN FRANCISCO, CA, 94105, 415-445-6530 -
0 ($0.00) Unallocated (Universal) Shelf, (File 333-147238 - Nov. 8)
(BR. 08A)
S-8 DEL MONTE FOODS CO, ONE MARKET @ THE LANDMARK, C/O DEL MONTE CORP,
SAN FRANCISCO, CA, 94105, 415-247-3000 - 0 ($53,605,694.38) Equity,
(File 333-147239 - Nov. 8) (BR. 04A)
S-8 LASERCARD CORP, 1875 NORTH SHORELINE BOULEVARD, MOUNTAIN VIEW, CA,
94043, (650) 969-4428 - 100,000 ($960,200.00) Other, (File 333-147240 -
Nov. 8) (BR. 03C)
S-8 SHEARSON FINANCIAL NETWORK INC, 20 CORPORATE PARK, SUITE 285, IRVINE,
CA, 92606, 949-260-1801 - 29,000,000 ($1,115,200.00) Equity,
(File 333-147241 - Nov. 8) (BR. 07A)
S-8 INVERNESS MEDICAL INNOVATIONS INC, 51 SAWYER ROAD, SUITE 200, WALTHAM,
MA, 02453, 7816473900 - 0 ($22,206,723.00) Equity, (File 333-147242 -
Nov. 8) (BR. 01A)
S-3 EXIDE TECHNOLOGIES, 13000 DEERFIELD PARKWAY, BUILDING 200, ALPHARETTA,
GA, 30004, 6785669000 - 5,886,363 ($42,793,859.00) Equity,
(File 333-147243 - Nov. 8) (BR. 10A)
S-3 EAGLE ROCK ENERGY PARTNERS L P, 16701 GREENSPOINT PARK DRIVE,
SUITE 200, HOUSTON, TX, 77060, 281-408-1200 -
9,299,316 ($197,796,451.32) Limited Partnership Interests,
(File 333-147244 - Nov. 8) (BR. 04B)
SB-2 Heavy Metal, Inc., 9457 - 215A STREET, LANGLEY, A1, V1M 2A5,
(604)888-7045 - 1,010,000 ($505,000.00) Equity, (File 333-147245 -
Nov. 8) (BR. )
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
-------------------------------------------------------------------------------------------------------
1st Pacific Bancorp CA 2.02,9.01 11/05/07
ABERCROMBIE & FITCH CO /DE/ DE 7.01,9.01 11/08/07
ABIOMED INC DE 2.02,9.01 11/08/07
AbitibiBowater Inc. DE 1.01,9.01 11/02/07
Abraxis BioScience, Inc. DE 2.02,7.01,9.01 11/08/07
ACA Capital Holdings Inc 2.02,9.01 11/07/07
ACTIVANT SOLUTIONS INC /DE/ DE 5.02,9.01 11/02/07
ACUSPHERE INC DE 2.02,9.01 11/08/07
Adams Respiratory Therapeutics, Inc. DE 2.02,9.01 11/08/07
ADEPT TECHNOLOGY INC CA 2.02,9.01 11/08/07
ADHEREX TECHNOLOGIES INC 2.02,9.01 11/07/07
ADS MEDIA GROUP INC UT 4.01 11/05/07
ADVANTA BUSINESS RECEIVABLES CORP 8.01,9.01 11/08/07
ADVENT SOFTWARE INC /DE/ DE 5.02,5.03,9.01 11/06/07
AIR METHODS CORP DE 2.02 11/08/07
AIRNET SYSTEMS INC OH 5.02 11/07/07 AMEND
AIRTRAX INC NJ 4.02,9.01 11/02/07
ALLIANCE ONE INTERNATIONAL, INC. VA 2.02,9.01 09/30/07
ALLIED WORLD ASSURANCE CO HOLDINGS LT 2.02,9.01 11/07/07
ALLION HEALTHCARE INC DE 2.02 09/30/07
ALLSCRIPTS HEALTHCARE SOLUTIONS INC DE 2.02,9.01 11/08/07
Alon USA Energy, Inc. DE 2.02,9.01 11/07/07
ALTAIR NANOTECHNOLOGIES INC A6 2.02,9.01 11/08/07
Alternative Loan Trust 2007-OA11 9.01 10/30/07
AMCON DISTRIBUTING CO DE 2.02,9.01 11/08/07
AMEDIA NETWORKS, INC. DE 1.01,2.03 10/31/07
AMEN PROPERTIES INC DE 1.01,9.01 11/08/07
AMERICAN CLAIMS EVALUATION INC NY 2.02,9.01 11/08/07
AMERICAN EAGLE OUTFITTERS INC DE 7.01,9.01 11/07/07
AMERICAN EXPRESS CO NY 7.01 11/07/07
AMERICAN FINANCIAL REALTY TRUST 1.01,9.01 11/02/07
AMERICAN FINANCIAL REALTY TRUST 5.02 11/06/07
AMERICAN ITALIAN PASTA CO DE 5.02,9.01 11/06/07
AMERICAN MORTGAGE ACCEPTANCE CO MA 2.02,9.01 11/07/07 AMEND
AMERICAN OIL & GAS INC NV 2.02,8.01,9.01 11/08/07
American Railcar Industries, Inc./DE DE 2.02,9.01 11/07/07
AMERICAN STATES WATER CO CA 2.02,9.01 11/08/07
AMERITRANS CAPITAL CORP DE 2.02 11/08/07
AMIS HOLDINGS INC 2.02,4.02,9.01 11/05/07
AML COMMUNICATIONS INC DE 2.02,9.01 11/05/07
AMPEX CORP /DE/ DE 2.02,9.01 11/07/07
AMSCAN HOLDINGS INC DE 1.01,2.01,9.01 11/02/07
ANCHOR BANCORP WISCONSIN INC WI 8.01,9.01 11/08/07
ANDREW CORP DE 1.01,2.06,9.01 11/05/07
ANNTAYLOR STORES CORP DE 7.01,9.01 11/08/07
ANTHRACITE CAPITAL INC MD 2.02,8.01,9.01 11/07/07
APOGEE TECHNOLOGY INC DE 3.01,9.01 11/02/07
AQUILA INC DE 2.02,9.01 11/08/07
ARADIGM CORP CA 2.02,9.01 11/08/07
ARBINET THEXCHANGE INC DE 2.02,9.01 11/08/07
ARC WIRELESS SOLUTIONS INC UT 5.02,9.01 11/07/07
ARES CAPITAL CORP MD 2.02,7.01,9.01 11/08/07
ARROWHEAD RESEARCH CORP DE 1.02 11/02/07
ASPECT MEDICAL SYSTEMS INC DE 1.01,1.02,9.01 11/07/07
ASV INC /MN/ MN 5.02 11/02/07
ASYST TECHNOLOGIES INC CA 4.02 11/06/07
ASYST TECHNOLOGIES INC CA 2.02,9.01 10/30/07 AMEND
ATLAS AIR WORLDWIDE HOLDINGS INC DE 2.02,9.01 11/08/07
ATP OIL & GAS CORP TX 2.02,9.01 11/07/07
ATS CORP DE 2.02,9.01 11/07/07
AURIGA LABORATORIES, INC. DE 7.01,9.01 11/08/07
AUTOLIV INC DE 8.01 11/08/07
AVISTAR COMMUNICATIONS CORP DE 3.01,9.01 11/06/07
BAKERS FOOTWEAR GROUP INC MO 2.02,7.01,9.01 11/08/07
BALDOR ELECTRIC CO MO 5.03,9.01 11/04/07
BANK JOS A CLOTHIERS INC /DE/ DE 2.02,9.01 11/08/07
BANK JOS A CLOTHIERS INC /DE/ DE 8.01,9.01 11/08/07
BARR PHARMACEUTICALS INC DE 2.02,9.01 11/08/07
BB&T CORP NC 7.01 11/05/07
Bear Stearns Structured Products Inc. DE 9.01 10/24/07
BILL BARRETT CORP 7.01,9.01 11/06/07
BIOCRYST PHARMACEUTICALS INC DE 2.02,9.01 11/08/07
BioMed Realty Trust Inc MD 2.02,9.01 11/07/07
BJS WHOLESALE CLUB INC DE 2.02,9.01 11/08/07
BladeLogic, Inc. DE 2.02,9.01 11/07/07 AMEND
BLINK LOGIC, INC. NV 5.03,9.01 11/02/07
BLOCKBUSTER INC DE 7.01,9.01 11/08/07
BON TON STORES INC PA 7.01,9.01 11/08/07
BORLAND SOFTWARE CORP DE 2.02,9.01 11/08/07
BOWATER INC DE 1.01,9.01 11/02/07
BOWNE & CO INC DE 2.02,9.01 11/07/07
BRADLEY PHARMACEUTICALS INC DE 2.02,9.01 11/08/07
Brookdale Senior Living Inc. DE 2.02,9.01 11/07/07
BSQUARE CORP /WA WA 2.02,9.01 11/08/07
C & F FINANCIAL CORP VA 8.01,9.01 11/07/07
C H ROBINSON WORLDWIDE INC DE 8.01,9.01 11/08/07
CALIFORNIA PIZZA KITCHEN INC DE 2.02,9.01 11/08/07
Calumet Specialty Products Partners, DE 9.01 11/07/07
CANO PETROLEUM, INC 2.02,7.01,9.01 11/07/07
Cape Fear Bank CORP NC 5.02 11/06/07
CAPITAL SENIOR LIVING CORP DE 7.01,9.01 11/08/07
CAPSOURCE FINANCIAL INC CO 5.02,9.01 11/02/07
CAPSTONE TURBINE CORP DE 2.02,9.01 11/08/07
CARDTREND INTERNATIONAL INC. NV 5.02 11/05/07
CARPENTER TECHNOLOGY CORP DE 8.01 10/25/07
CARRIAGE SERVICES INC DE 1.01 11/08/07
CARRIZO OIL & GAS INC TX 2.02,9.01 11/08/07
CARROLLTON BANCORP MD 5.02,7.01,9.01 11/08/07
CAS MEDICAL SYSTEMS INC DE 2.02,9.01 11/08/07
CASH TECHNOLOGIES INC DE 3.01 11/02/07
CATAPULT COMMUNICATIONS CORP CA 2.02,9.01 11/08/07
CB RICHARD ELLIS GROUP INC DE 8.01,9.01 11/07/07
CDI CORP PA 7.01,9.01 11/08/07
CELL THERAPEUTICS INC WA 2.02,9.01 11/08/07
CELSION CORP MD 2.02,9.01 11/08/07
CENTERLINE HOLDING CO DE 2.02,9.01 11/08/07
CENVEO, INC CO 2.02 09/07/07
CEPHALON INC DE 2.02,9.01 11/08/07
CHARMING SHOPPES INC PA 7.01,9.01 11/08/07
CHARMING SHOPPES INC PA 2.02,7.01,9.01 11/08/07
CHARTER COMMUNICATIONS INC /MO/ DE 2.02,9.01 09/30/07
CHESAPEAKE ENERGY CORP OK 2.03,9.01 11/07/07
CHESAPEAKE UTILITIES CORP DE 2.02,9.01 11/07/07
CHICAGO RIVET & MACHINE CO IL 2.02,9.01 11/07/07
CHICOS FAS INC FL 2.02,7.01,9.01 11/08/07
CHILDRENS PLACE RETAIL STORES INC 2.02,9.01 11/08/07
China Architectural Engineering, Inc. DE 1.01,2.01,3.02,7.01,9.01 11/06/07
CHINA EDUCATION ALLIANCE INC. NC 5.02 11/05/07
CHINDEX INTERNATIONAL INC DE 2.02,7.01,9.01 11/08/07
CHIQUITA BRANDS INTERNATIONAL INC NJ 2.02,9.01 11/08/07
CHL Mortgage Pass-Through Trust 2007- DE 9.01 10/30/07
CHL Mortgage Pass-Through Trust 2007- 9.01 10/30/07
CHRISTOPHER & BANKS CORP DE 7.01,9.01 11/08/07
CIB MARINE BANCSHARES INC WI 7.01 11/08/07
Citi Trends Inc 2.02,9.01 11/07/07
CITIGROUP INC DE 5.02,9.01 11/04/07
CLAYTON WILLIAMS ENERGY INC /DE DE 7.01,9.01 11/07/07
COEUR D ALENE MINES CORP ID 2.02,9.01 11/02/07
COGNIGEN NETWORKS INC CO 1.01,2.03,9.01 11/02/07
COINMACH SERVICE CORP DE 2.02,7.01,9.01 11/07/07
COLLECTORS UNIVERSE INC DE 7.01,9.01 11/08/07
COLUMBIA LABORATORIES INC DE 2.02,7.01,9.01 11/07/07
COMBINATORX, INC DE 1.01,8.01,9.01 11/08/07
COMMERCIAL METALS CO DE 7.01,9.01 11/05/07
COMMUNITY FINANCIAL CORP /VA/ VA 2.02 11/07/07
Consolidated Communications Holdings, DE 2.02,9.01 11/08/07
Constant Contact, Inc. DE 2.02,9.01 11/08/07
Constellation Energy Partners LLC DE 2.02,9.01 11/08/07
Copper Road Inc. NV 2.01 11/02/07
CORRECTIONS CORP OF AMERICA MD 2.02,9.01 11/08/07
CORTEX PHARMACEUTICALS INC/DE/ DE 2.02,9.01 11/08/07
CORTS TRUST FOR THE DOW CHEMICAL CO D DE 8.01,9.01 11/01/07
CORUS BANKSHARES INC MN 5.03,9.01 08/28/07
COSI INC DE 2.02,9.01 11/08/07
COURIER CORP MA 2.02,9.01 11/08/07
CRITICAL THERAPEUTICS INC DE 2.02,9.01 11/08/07
CROSS COUNTRY HEALTHCARE INC DE 2.02,7.01,9.01 11/05/07
CROSSTEX ENERGY INC DE 2.02,9.01 11/08/07
CROSSTEX ENERGY LP DE 2.02,9.01 11/08/07
CROWN MEDIA HOLDINGS INC DE 2.02,9.01 11/08/07
Crystal River Capital, Inc. MD 1.01,9.01 11/02/07
CUMULUS MEDIA INC DE 2.02,9.01 11/08/07
CYBERDEFENDER CORP CA 1.01,9.01 11/08/07
CYBERSOURCE CORP DE 7.01,9.01 11/08/07
CYBEX INTERNATIONAL INC NY 5.03,9.01 10/24/07
DANA CORP VA 7.01,9.01 11/08/07
DARLING INTERNATIONAL INC DE 2.02,9.01 11/05/07
DATASCOPE CORP DE 8.01,9.01 11/06/07
DCP Midstream Partners, LP DE 2.02,9.01 11/07/07
DEAN FOODS CO DE 2.02,9.01 11/08/07
DEAN FOODS CO DE 2.05 09/27/07 AMEND
DECODE GENETICS INC DE 2.02,5.02,9.01 11/05/07
Deerfield Triarc Capital Corp MD 2.02,9.01 11/07/07
Delek US Holdings, Inc. 2.02,9.01 11/08/07
DELL INC DE 1.01,7.01,9.01 11/04/07
DELPHI FINANCIAL GROUP INC/DE DE 1.01,8.01,9.01 11/07/07
DERMA SCIENCES, INC. PA 1.01,9.01 11/02/07
DIALYSIS CORP OF AMERICA FL 2.02,9.01 11/08/07
DIAMOND MANAGEMENT & TECHNOLOGY CONSU DE 2.02,8.01,9.01 11/08/07
DIEDRICH COFFEE INC CA 2.02,5.02,9.01 11/02/07
Digital Music Group, Inc. DE 1.01,9.01 11/07/07
Directed Electronics, Inc. FL 2.02,9.01 11/08/07
Dolan Media CO DE 2.02,9.01 11/08/07
Dolby Laboratories, Inc. DE 2.02,8.01,9.01 11/08/07
DOLLAR TREE STORES INC VA 2.02,7.01,9.01 11/08/07
DOMAIN REGISTRATION CORP NV 5.01,5.02 11/07/07
DOT HILL SYSTEMS CORP NY 1.01 11/05/07
DOUBLE EAGLE PETROLEUM CO MD 7.01,9.01 11/08/07
DOVER SADDLERY INC 2.02,9.01 11/08/07
DTE ENERGY CO MI 2.02,9.01 11/08/07
DTS, INC. DE 2.02,9.01 11/08/07
DUANE READE HOLDINGS INC 2.02,9.01 11/08/07
Dussault Apparel Inc. 1.01,7.01,9.01 11/05/07
DYNCORP INTERNATIONAL INC. DE 5.02,9.01 11/07/07
DYNEGY INC. DE 2.02,9.01 11/08/07
EAGLE ROCK ENERGY PARTNERS L P DE 7.01,9.01 11/07/07
EASTERN AMERICAN NATURAL GAS TRUST DE 2.02,9.01 11/08/07
Eastern Insurance Holdings, Inc. PA 2.02,9.01 11/08/07
ECCO Energy Corp. NV 2.01,9.01 11/08/07
EDEN BIOSCIENCE CORP WA 5.03,9.01 11/06/07
EDGE PETROLEUM CORP DE 2.02 11/08/07
Education Management LLC DE 2.02,9.01 11/07/07
EGAIN COMMUNICATIONS CORP DE 2.02,9.01 11/08/07
EMC INSURANCE GROUP INC IA 7.01 11/08/07
EMPIRE GLOBAL CORP. DE 3.02,5.02 11/05/07
Employers Holdings, Inc. NV 8.01,9.01 11/06/07
EnerJex Resources, Inc. NV 7.01,9.01 11/07/07
ENTERPRISE FINANCIAL SERVICES CORP DE 8.01,9.01 11/08/07
ENVIRONMENTAL SOLUTIONS WORLDWIDE INC 1.01,2.03,9.01 03/19/07 AMEND
EPL Intermediate, Inc. DE 2.02,9.01 11/08/07
ESPEED INC DE 2.02,8.01,9.01 11/07/07
Ethos Environmental, Inc. NV 4.01,4.02 11/02/07
EVOLVING SYSTEMS INC DE 2.02 11/08/07
EXIDE TECHNOLOGIES DE 2.01,9.01 11/08/07
EXPRESS-1 EXPEDITED SOLUTIONS INC DE 2.02,9.01 11/08/07
EZCORP INC DE 1.01,9.01 11/07/07
EZCORP INC DE 2.02,9.01 11/08/07
FAMILY DOLLAR STORES INC DE 7.01,9.01 11/08/07
Federal Home Loan Bank of Atlanta X1 2.03 11/05/07
Federal Home Loan Bank of Boston X1 2.03 11/05/07
Federal Home Loan Bank of Chicago X1 2.03 11/05/07
Federal Home Loan Bank of Dallas 2.03 11/05/07
Federal Home Loan Bank of Des Moines X1 2.03,9.01 11/05/07
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 11/05/07
Federal Home Loan Bank of New York X1 2.03,9.01 11/05/07
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 11/05/07
Federal Home Loan Bank of San Francis X1 2.03 11/06/07
Federal Home Loan Bank of Seattle 2.03 11/08/07
Federal Home Loan Bank of Topeka 2.03 11/05/07
FelCor Lodging Trust Inc MD 2.02,9.01 11/07/07
FELLOWS ENERGY LTD NV 1.01 11/05/07
FERRO CORP OH 2.02,9.01 11/08/07
FIBERNET TELECOM GROUP INC\ DE 2.02,9.01 11/08/07
FIBERNET TELECOM GROUP INC\ DE 1.01,2.03,8.01,9.01 11/07/07
FINLAY ENTERPRISES INC /DE DE 2.02,9.01 11/07/07
FINLAY FINE JEWELRY CORP DE 2.02,9.01 11/07/07
FIRST CONSULTING GROUP INC DE 2.02,9.01 11/07/07
First Guaranty Bancshares, Inc. LA 1.01 11/02/07
FIRSTCITY FINANCIAL CORP DE 1.01,9.01 11/05/07
FIVE STAR QUALITY CARE INC 2.02,9.01 11/07/07
Flagstone Reinsurance Holdings Ltd 2.02,9.01 11/07/07
FLATBUSH FEDERAL BANCORP INC 2.02,9.01 11/07/07
FLOWERS FOODS INC GA 2.02,9.01 11/08/07
FOAMEX INTERNATIONAL INC DE 5.02,8.01,9.01 11/06/07
FORD MOTOR CO DE 2.02,9.01 11/08/07
FORD MOTOR CREDIT CO LLC DE 2.02,9.01 11/08/07
FREMONT GENERAL CORP NV 2.02,9.01 11/08/07
FTD Group, Inc. 8.01,9.01 11/08/07
FX ENERGY INC NV 2.02,9.01 11/08/07
GALAXY ENERGY CORP CO 2.03,9.01 11/02/07
Gaming Partners International CORP NV 7.01,9.01 11/07/07
GAP INC DE 2.02,9.01 11/08/07
GENETHERA INC FL 4.02 11/07/07
GenuTec Business Solutions, Inc. MT 1.01,3.02,5.01,5.03,9.01 11/06/07
Geovax Labs, Inc. IL 8.01,9.01 11/02/07
GLG Partners, Inc. DE 1.01,2.01,2.02,3.02,4.01,5.01, 11/02/07
5.02,5.03,5.06
GLOBAL INDUSTRIES LTD LA 2.02,9.01 10/31/07
Global Logistics Acquisition CORP DE 2.02,9.01 11/07/07
GLOBAL PARTNERS LP 2.02,7.01,9.01 11/08/07
GMX RESOURCES INC OK 2.02,9.01 11/07/07
GOLDEN TELECOM INC DE 2.02,9.01 11/08/07
GOLDEN TELECOM INC DE 8.01,9.01 11/08/07
GOLDFIELD CORP DE 2.02,9.01 11/08/07
GOLDLEAF FINANCIAL SOLUTIONS INC. TN 5.03,9.01 11/08/07
GOODRICH PETROLEUM CORP DE 2.02,9.01 11/07/07
GP STRATEGIES CORP DE 2.02,9.01 11/08/07
GRAMERCY CAPITAL CORP MD 1.01,3.02,9.01 11/02/07
GRAN TIERRA ENERGY, INC. NV 7.01,9.01 11/08/07
GRAN TIERRA ENERGY, INC. NV 2.02,9.01 11/08/07
GREAT ATLANTIC & PACIFIC TEA CO INC MD 5.03,8.01,9.01 11/08/07
GREAT LAKES BANCORP, INC. DE 8.01,9.01 11/08/07
Great Lakes Dredge & Dock CORP DE 8.01,9.01 11/08/07
Great Wolf Resorts, Inc. DE 2.02,9.01 11/06/07
GREENBRIER COMPANIES INC DE 5.03,9.01 11/06/07
GRIFFON CORP DE 5.02,9.01 11/02/07
GULFMARK OFFSHORE INC DE 7.01,9.01 11/08/07
GULFPORT ENERGY CORP DE 2.02,9.01 11/08/07
GVC VENTURE CORP DE 5.03,9.01 11/06/07
GYMBOREE CORP DE 2.02,9.01 11/08/07
H&E Equipment Services, Inc. DE 2.02,8.01,9.01 11/08/07
H&E Equipment Services, Inc. DE 2.01,9.01 08/31/07 AMEND
H&R BLOCK INC MO 5.02 11/05/07
HALLMARK FINANCIAL SERVICES INC NV 2.02,9.01 11/07/07
Hana Biosciences Inc DE 2.02,9.01 11/08/07
HANSEN NATURAL CORP DE 2.02,9.01 09/30/07
HARLEYSVILLE NATIONAL CORP PA 8.01,9.01 11/08/07
HARRAHS ENTERTAINMENT INC DE 2.02,9.01 11/07/07
HEALTH NET INC DE 5.02,7.01,8.01,9.01 11/08/07
HEARST ARGYLE TELEVISION INC DE 2.02,7.01,9.01 11/08/07
HECLA MINING CO/DE/ DE 2.02,9.01 11/08/07
Helios & Matheson North America Inc. NY 2.02,9.01 11/08/07
HEPALIFE TECHNOLOGIES INC FL 1.01,7.01,9.01 11/02/07
HIRERIGHT INC 2.02,9.01 11/08/07
HOME PROPERTIES INC MD 7.01,9.01 11/07/07
HOMELAND ENERGY SOLUTIONS LLC 7.01,9.01 11/08/07
HOSPIRA INC DE 2.02,9.01 11/08/07
Hughes Communications, Inc. DE 2.02,9.01 11/07/07
Hughes Network Systems, LLC DE 2.02,9.01 11/07/07
HUTCHINSON TECHNOLOGY INC MN 2.02,9.01 11/08/07
HYTHIAM INC DE 2.02,9.01 11/08/07
ICOP DIGITAL, INC CO 2.02,9.01 11/08/07
IDM PHARMA, INC. DE 2.02,9.01 11/08/07
IEC ELECTRONICS CORP DE 2.02,9.01 07/26/07
IMAGE ENTERTAINMENT INC DE 1.01,9.01 11/02/07
IMARX THERAPEUTICS INC 2.02,9.01 11/08/07
IMATION CORP DE 5.02,9.01 11/07/07
IMPERIAL INDUSTRIES INC DE 2.02,7.01,9.01 11/08/07
Industrial Enterprises of America, In NV 5.02,8.01 11/06/07
InfoLogix Inc 2.02,9.01 11/08/07
INFOSONICS CORP 2.02,9.01 11/08/07
INPHONIC INC 1.01,1.03,2.06,3.01,4.01,5.02, 11/06/07
5.03,9.01
INSIGNIA SYSTEMS INC/MN MN 8.01 11/05/07
INTEGRYS ENERGY GROUP, INC. WI 2.02,9.01 11/08/07
INTER PARFUMS INC DE 7.01 11/07/07
INTERSTATE BAKERIES CORP/DE/ DE 7.01,9.01 11/07/07
INTUIT INC DE 5.02,9.01 11/02/07
INVERNESS MEDICAL INNOVATIONS INC DE 8.01,9.01 11/06/07
INVERTED PARADIGMS CORP DE 1.01,3.02,9.01 10/10/07 AMEND
INVESCO PLC/LONDON/ 2.02,9.01 11/08/07
INVESTMENT TECHNOLOGY GROUP INC DE 8.01,9.01 11/08/07
INX Inc DE 7.01,9.01 11/08/07
IOMEGA CORP DE 5.02 11/08/07
ISCO INTERNATIONAL INC DE 5.02 11/08/07 AMEND
Isilon Systems, Inc. DE 8.01,9.01 11/04/07
ISIS PHARMACEUTICALS INC DE 2.02,9.01 11/08/07
ISLE OF CAPRI CASINOS INC DE 8.01,9.01 11/02/07
IsoRay, Inc. MN 2.02,9.01 11/08/07
J P MORGAN CHASE & CO DE 9.01 11/06/07
J2 GLOBAL COMMUNICATIONS INC DE 2.02,7.01,9.01 11/07/07
JACK IN THE BOX INC /NEW/ DE 5.02 11/08/07
JARDEN CORP DE 1.01,5.02,9.01 11/07/07
JETBLUE AIRWAYS CORP DE 5.02,7.01,9.01 11/07/07
JO-ANN STORES INC OH 2.02,9.01 11/08/07
JONES SODA CO WA 2.02,9.01 11/08/07
KAMAN CORP CT 5.03,8.01,9.01 11/08/07
KANSAS CITY SOUTHERN DE 8.01 11/02/07
KBL Healthcare Acquisition Corp III DE 5.03,9.01 11/08/07
KENT INTERNATIONAL HOLDINGS INC 5.02 11/07/07
KING PHARMACEUTICALS INC TN 2.02,9.01 11/08/07
Knight Energy Corp. DE 7.01,9.01 11/07/07
KNOLOGY INC DE 1.01,2.02,9.01 11/02/07
KNOT INC DE 2.02,9.01 11/08/07
KOHLS CORPORATION WI 2.02,7.01,9.01 11/08/07
Koppers Holdings Inc. PA 2.02,9.01 11/08/07
KOSAN BIOSCIENCES INC CA 2.02,9.01 11/08/07
KSW INC NY 2.02,9.01 11/05/07
KYPHON INC DE 2.03,2.04,9.01 11/02/07
LAMAR ADVERTISING CO/NEW DE 2.02,9.01 11/08/07
LANDRYS RESTAURANTS INC 2.02,9.01 11/08/07
LANGUAGE ACCESS NETWORK, INC. NV 1.01,2.03,9.01 10/11/07 AMEND
LANTRONIX INC DE 2.02,9.01 11/08/07
LEAPFROG ENTERPRISES INC 2.02 11/05/07
LEGACY RESERVES LP DE 2.02 11/07/07
LEINER HEALTH PRODUCTS INC DE 8.01 11/08/07
LEUCADIA NATIONAL CORP NY 8.01,9.01 11/08/07
Lev Pharmaceuticals Inc DE 1.01,2.03,3.02,9.01 11/02/07
LEXIT TECHNOLOGY, INC. CO 6.05 11/06/07
Liberty Global, Inc. 2.02 11/08/07
LIFEPOINT HOSPITALS, INC. 5.02,9.01 11/06/07
LIGAND PHARMACEUTICALS INC DE 2.02,9.01 11/08/07
LIGHTING SCIENCE GROUP CORP DE 7.01 11/08/07
LINCOLN EDUCATIONAL SERVICES CORP NJ 2.02,9.01 11/08/07
Live Nation, Inc. DE 2.02,9.01 11/08/07
LORAL SPACE & COMMUNICATIONS INC. DE 2.02,9.01 11/08/07
LSB INDUSTRIES INC DE 8.01 11/08/07
LUCAS ENERGY, INC. NV 8.01 11/05/07
Macy's, Inc. DE 2.02,9.01 11/08/07
MAJESTIC STAR CASINO LLC IN 2.02,9.01 09/30/07
MAKEMUSIC, INC. MN 2.02,3.02,9.01 11/02/07
MANOR CARE INC DE 8.01,9.01 11/08/07
MARCHEX INC DE 2.02,9.01 11/08/07
MARSH & MCLENNAN COMPANIES, INC. DE 2.02,9.01 11/08/07
MARTIN MARIETTA MATERIALS INC NC 5.03,9.01 11/08/07
MARTIN MIDSTREAM PARTNERS LP DE 7.01,9.01 11/07/07
MCF CORP DE 5.02,9.01 11/07/07
MEADE INSTRUMENTS CORP DE 8.01,9.01 10/30/07
MEADOW VALLEY CORP NV 2.02,9.01 11/08/07
Measurement Specialties Inc NJ 2.02,9.01 11/07/07
MECHANICAL TECHNOLOGY INC NY 2.02,9.01 11/08/07
MEDICINOVA INC DE 8.01,9.01 11/08/07
MEDIS TECHNOLOGIES LTD DE 2.02,9.01 11/08/07
MEMORY PHARMACEUTICALS CORP 2.02,9.01 11/08/07
MEMRY CORP DE 2.02,9.01 11/07/07
Meruelo Maddux Properties, Inc. DE 2.02,9.01 09/30/07
MESA LABORATORIES INC /CO CO 2.02,9.01 11/07/07
MFA MORTGAGE INVESTMENTS MD 1.01,9.01 11/07/07
MGP INGREDIENTS INC KS 2.02,7.01,9.01 11/08/07
MHI Hospitality CORP MD 2.02,9.01 11/08/07
MICROMET, INC. DE 2.02,9.01 11/08/07
MICRUS ENDOVASCULAR CORP 2.02,9.01 11/08/07
MILLER INDUSTRIES INC /TN/ TN 2.02,9.01 11/08/07
MINRAD INTERNATIONAL, INC. 8.01,9.01 11/05/07
MIPS TECHNOLOGIES INC DE 2.02,9.01 09/30/07
MIV THERAPEUTICS INC NV 4.02 10/23/07
MIVA, INC. DE 2.02,9.01 11/08/07
MMC ENERGY, INC. DE 2.02 11/07/07
MOLDFLOW CORP 5.02,9.01 11/02/07
MONEY CENTERS OF AMERICA, INC. DE 5.02 11/02/07
MONEYGRAM INTERNATIONAL INC 1.01 11/05/07
MORGAN STANLEY DE 8.01,9.01 11/07/07
MTR GAMING GROUP INC DE 2.02,5.03,9.01 11/08/07
MTS MEDICATION TECHNOLOGIES, INC /DE/ DE 2.02,7.01,9.01 11/07/07
MUNICIPAL MORTGAGE & EQUITY LLC DE 1.01,5.02,7.01,9.01 11/08/07
MWI Veterinary Supply, Inc. DE 2.02,9.01 11/08/07
MYERS INDUSTRIES INC OH 2.02,9.01 11/08/07
NABI BIOPHARMACEUTICALS DE 2.02,9.01 11/08/07
NANO PROPRIETARY INC TX 4.01,9.01 11/05/07
NASDAQ STOCK MARKET INC DE 9.01 11/08/07
NATIONAL ATLANTIC HOLDINGS CORP NJ 8.01 11/07/07
NATIONAL BANK OF INDIANAPOLIS CORP IN 2.02,9.01 11/08/07
National CineMedia, Inc. DE 2.02,9.01 11/08/07
NATIONAL FUEL GAS CO NJ 2.02,8.01,9.01 11/08/07
NATIONAL HEALTHCARE CORP DE 8.01 11/07/07
NATIONAL HEALTHCARE CORP DE 9.01 10/30/07 AMEND
NATIONAL HOLDINGS CORP DE 1.01,7.01,9.01 11/07/07
NATURAL GAS SERVICES GROUP INC 1.01,9.01 11/03/07
NAVARRE CORP /MN/ MN 2.02,9.01 11/07/07
Neenah Paper Inc DE 2.02,9.01 11/07/07
Neiman Marcus, Inc. DE 2.02,7.01 11/08/07
NEOPHARM INC DE 2.02,9.01 11/08/07
NEOSE TECHNOLOGIES INC DE 1.01 11/02/07
NEOSE TECHNOLOGIES INC DE 2.02,9.01 11/08/07
NET 1 UEPS TECHNOLOGIES INC 2.02,7.01,9.01 11/08/07
NETSOL TECHNOLOGIES INC NV 2.02,9.01 11/08/07
NETWORK APPLIANCE INC CA 1.01,2.03 11/02/07
NETWORK ENGINES INC DE 2.02,9.01 11/08/07
Neuralstem, Inc. DE 4.01,9.01 10/10/07 AMEND
NEUROBIOLOGICAL TECHNOLOGIES INC /CA/ DE 2.02,9.01 11/08/07
NEUROGEN CORP DE 2.02 09/30/07
New Abraxis, Inc. DE 8.01,9.01 11/08/07
NEW FRONTIER ENERGY INC CO 7.01,9.01 11/07/07
NEW FRONTIER MEDIA INC CO 2.02,9.01 11/08/07
New York & Company, Inc. 2.02,9.01 11/08/07
NewPage CORP DE 2.02,9.01 11/08/07
NewPage Holding CORP DE 2.02,9.01 11/08/07
NexCen Brands, Inc. DE 2.02,9.01 11/08/07
NEXTPHASE WIRELESS, INC. NV 1.01,9.01 11/05/07
NMT MEDICAL INC DE 2.02,9.01 11/08/07
NOBLE INTERNATIONAL, LTD. DE 1.01,2.02,2.05,7.01,9.01 11/02/07
NORCROSS SAFETY PRODUCTS LLC DE 2.02,9.01 11/08/07
NORDSTROM INC WA 7.01 11/08/07
NORTH PITTSBURGH SYSTEMS INC PA 2.02,9.01 11/08/07
NORTHSTAR REALTY 2.02,9.01 11/08/07
NORTHWEST NATURAL GAS CO OR 2.02 11/08/07
NOVEN PHARMACEUTICALS INC DE 2.02 11/08/07
NTN BUZZTIME INC DE 2.02,9.01 11/08/07
NuStar Energy L.P. DE 1.01 11/08/07
NuStar GP Holdings, LLC DE 1.01 11/08/07
NVIDIA CORP DE 2.02,9.01 11/08/07
NYFIX INC DE 2.02,9.01 11/08/07
NYMAGIC INC NY 2.02,9.01 11/05/07
Ocean Power Technologies, Inc. NJ 5.02 11/02/07
Oceanaut, Inc. 1T 7.01,8.01,9.01 11/02/07
ODYSSEY MARINE EXPLORATION INC NV 5.02,8.01 11/05/07
Oilsands Quest Inc 8.01,9.01 11/05/07
OLD REPUBLIC INTERNATIONAL CORP DE 8.01 11/08/07
ON2 TECHNOLOGIES, INC. DE 2.02,9.01 11/08/07
ONEOK INC /NEW/ OK 7.01,9.01 11/08/07
ONEOK Partners LP DE 7.01,9.01 11/08/07
Optelecom-NKF, Inc. DE 5.02,9.01 11/05/07
Optelecom-NKF, Inc. DE 2.02,9.01 11/06/07
ORBIT INTERNATIONAL CORP DE 2.02 11/08/07
Orexigen Therapeutics, Inc. DE 1.01,2.02,8.01,9.01 11/06/07
ORIENT EXPRESS HOTELS LTD 2.02,9.01 11/07/07
Ottawa Savings Bancorp, Inc. X1 8.01,9.01 11/07/07
OURPETS CO CO 2.02,9.01 11/06/07
OXFORD INDUSTRIES INC GA 7.01,9.01 11/08/07
Pacific Syndicated Resources, Inc. NV 1.01,2.01,3.02,5.01,5.02,5.03, 11/05/07
9.01
PACKAGING CORP OF AMERICA 7.01,9.01 11/07/07
PAETEC Holding Corp. 2.02,9.01 11/08/07
Palace Entertainment Holdings, Inc. DE 8.01 11/05/07
PATHMARK STORES INC DE 8.01,9.01 11/08/07
PDI INC 2.02,9.01 11/08/07
PEPSI BOTTLING GROUP INC DE 5.02 11/05/07
PERFICIENT INC DE 2.02,9.01 11/08/07
PERINI CORP MA 2.02,9.01 09/30/07
PETROHAWK ENERGY CORP DE 2.02,9.01 11/08/07
PFF BANCORP INC DE 8.01 11/07/07
PHH CORP MD 2.02,9.01 11/08/07
PHHMC Series 2007-6 Trust DE 9.01 11/08/07
PHOTONIC PRODUCTS GROUP INC NJ 7.01 11/08/07
PHOTRONICS INC CT 1.01,5.02 11/06/07
PICO HOLDINGS INC /NEW CA 2.02,9.01 11/07/07
PIERRE FOODS INC NC 5.02,9.01 11/06/07
PIPEX PHARMACEUTICALS, INC. DE 3.02 11/07/07
Plastinum Polymer Technologies Corp. DE 1.01,3.02,8.01,9.01 11/06/07
PLATINA ENERGY GROUP INC. DE 1.01,9.01 11/08/07
PMC COMMERCIAL TRUST /TX TX 2.02,9.01 11/07/07
PNC FINANCIAL SERVICES GROUP INC PA 2.02,9.01 11/08/07
POLYMER GROUP INC DE 8.01,9.01 11/05/07
Pregis Holding II CORP DE 2.02,9.01 11/08/07
Prestige Brands Holdings, Inc. 2.02,7.01,9.01 11/08/07
PRICELINE COM INC DE 1.01,8.01,9.01 11/06/07
PRINCETON REVIEW INC DE 2.02,5.02,9.01 11/06/07 AMEND
PROCERA NETWORKS INC NV 5.02 10/17/07
PROGENICS PHARMACEUTICALS INC DE 2.02,9.01 11/08/07
PROVIDENT BANKSHARES CORP MD 7.01,9.01 11/08/07
PROXYMED INC /FT LAUDERDALE/ FL 1.01,8.01,9.01 11/08/07
QUALCOMM INC/DE DE 2.02,9.01 11/08/07
QUALITY DISTRIBUTION INC FL 5.02 11/06/07
QUALITY DISTRIBUTION INC FL 2.02,9.01 11/07/07
QUALMARK CORP CO 2.04 11/06/07
QUANTA SERVICES INC DE 2.02,9.01 11/08/07
QUIKBYTE SOFTWARE INC CO 8.01 11/08/07
RAMBUS INC DE 8.01,9.01 11/07/07
RAYMOND JAMES FINANCIAL INC FL 7.01 11/07/07
RAYONIER INC NC 8.01 11/08/07
RCN CORP /DE/ DE 2.02,7.01,9.01 11/08/07
Ready Mix, Inc. NV 2.02,9.01 11/08/07
Red Lion Hotels CORP WA 2.02,9.01 11/08/07
RED ROBIN GOURMET BURGERS INC DE 2.02,9.01 11/08/07
Reliance Bancshares, Inc. MO 9.01 11/02/07 AMEND
RELIANT ENERGY INC DE 2.02,9.01 11/08/07
REPLIGEN CORP DE 2.02,9.01 11/08/07
RESOURCES CONNECTION INC DE 5.02,9.01 11/07/07
RESTORATION HARDWARE INC CA 1.01,7.01,9.01 11/08/07
RESTORATION HARDWARE INC CA 5.02,9.01 11/07/07
Rock-Tenn CO GA 2.02,9.01 11/07/07
ROCKWELL AUTOMATION INC DE 2.02 11/08/07
ROCKWELL MEDICAL TECHNOLOGIES INC MI 2.02 11/08/07
RODMAN & RENSHAW CAPITAL GROUP, INC. DE 2.02,9.01 11/07/07
ROFIN SINAR TECHNOLOGIES INC DE 2.02 09/30/07
ROSS STORES INC DE 2.02,9.01 11/08/07
ROWAN COMPANIES INC DE 7.01,9.01 11/05/07
RUBIOS RESTAURANTS INC DE 9.01 11/07/07 AMEND
S1 CORP /DE/ DE 2.02,9.01 11/08/07
Safety Products Holdings, Inc. DE 2.02,9.01 11/08/07
SAKS INC TN 8.01,9.01 11/08/07
SAMARITAN PHARMACEUTICALS INC NV 8.01,9.01 11/08/07
SAMOYED ENERGY CORP 5.01 10/31/07
SANTA FE ENERGY TRUST TX 1.01,9.01 11/08/07
SAPIENT CORP DE 2.02,9.01 11/08/07
SAUL CENTERS INC MD 2.02,9.01 11/08/07
SCANTEK MEDICAL INC DE 4.01,9.01 10/22/07
SCHAWK INC DE 2.02 11/08/07
SCIENTIFIC INDUSTRIES INC DE 1.01 11/05/07
SCO GROUP INC DE 7.01,9.01 10/23/07
SEDONA CORP PA 1.01,3.02 11/02/07
SEMCO ENERGY INC MI 2.02,9.01 11/08/07
SEQUA CORP /DE/ DE 7.01 11/08/07
SERVICE CORPORATION INTERNATIONAL TX 2.02,9.01 11/08/07
SERVIDYNE, INC. GA 5.02,9.01 11/02/07
SFG FINANCIAL CORP DE 8.01,9.01 11/05/07
SHARPER IMAGE CORP DE 2.02 11/08/07
SHOE CARNIVAL INC IN 2.02,7.01,9.01 11/08/07
Shopper's Wallet, Inc. NV 1.01,5.01,5.02,9.01 11/07/07
SIMCLAR INC FL 2.05,9.01 11/02/07
SKYWEST INC UT 2.02,9.01 11/08/07
SKYWEST INC UT 8.01,9.01 11/08/07
SLM FUNDING LLC DE 9.01 11/08/07
SONUS NETWORKS INC DE 2.02,9.01 11/08/07
SOUTH JERSEY INDUSTRIES INC NJ 2.02,7.01,9.01 09/30/07
SOUTHWEST WATER CO DE 4.01 11/07/07
Spectra Energy Corp. DE 2.02,9.01 11/06/07
Spectrum Brands, Inc. WI 2.02,9.01 11/08/07
SPEEDEMISSIONS INC FL 7.01 11/08/07
Stanley, Inc. DE 8.01 11/08/07
STATION CASINOS INC NV 1.01,1.02,2.03,3.01,3.03,5.01, 11/07/07
5.02,5.03,9.01
StatSure Diagnostic Systems, Inc. DE 7.01 10/22/07
STEINWAY MUSICAL INSTRUMENTS INC DE 2.02,9.01 11/08/07
Stereotaxis, Inc. DE 1.01 11/02/07
STERLING CONSTRUCTION CO INC DE 2.02,9.01 11/08/07
STILLWATER MINING CO /DE/ DE 1.01 11/05/07
STONERIDGE INC OH 1.01 11/02/07
Storm Cat Energy CORP 9.01 09/30/07
STRUCTURED PRODUCTS CORP CASTSM STEP DE 8.01,9.01 11/01/07
STRUCTURED PRODUCTS CORP CORTS TRUST DE 8.01,9.01 11/01/07
Summit Global Logistics, Inc. DE 8.01,9.01 11/08/07
SUN COMMUNITIES INC MD 2.02,9.01 09/30/07
SUN HEALTHCARE GROUP INC DE 4.01,9.01 11/02/07
SUN-TIMES MEDIA GROUP INC DE 2.02,9.01 11/08/07
SUNGARD DATA SYSTEMS INC DE 2.02,9.01 11/08/07
SUNNYSIDE ACRES MOBILE ESTATES NV 5.01,5.02 11/01/07
SunOpta Inc. 2.02,9.01 11/08/07
SUNTRUST BANKS INC GA 2.02,7.01,8.01,9.01 11/08/07
SUPERIOR INDUSTRIES INTERNATIONAL INC CA 2.02,9.01 11/02/07
SUPERTEL HOSPITALITY INC VA 2.02,9.01 11/08/07
SUPREME INDUSTRIES INC DE 1.01,9.01 11/06/07
SUREWEST COMMUNICATIONS CA 2.02,9.01 11/08/07 AMEND
Symmetry Medical Inc. DE 2.02,8.01,9.01 11/07/07
SYMYX TECHNOLOGIES INC DE 5.02,9.01 11/02/07
SYNTHESIS ENERGY SYSTEMS INC DE 1.01,9.01 11/02/07
SYNTHESIS ENERGY SYSTEMS INC DE 7.01,9.01 11/08/07
SYSTEMAX INC DE 2.02,9.01 11/07/07
T-3 ENERGY SERVICES INC TX 5.03,9.01 11/02/07
TALBOTS INC DE 2.02,9.01 11/08/07
Tank Sports, Inc. CA 7.01,9.01 11/06/07
TARGACEPT INC 2.02,9.01 11/08/07
TARRANT APPAREL GROUP CA 2.02,9.01 11/08/07
TARRANT APPAREL GROUP CA 5.02 11/01/07 AMEND
TBS INTERNATIONAL LTD 7.01,9.01 11/08/07
Team Finance LLC DE 2.02,7.01,9.01 11/07/07
TECHNOCONCEPTS, INC. CO 8.01 11/07/07
TELKONET INC 2.01,9.01 11/07/07
TELLABS INC DE 5.02,8.01,9.01 11/08/07
Tennessee Commerce Bancorp, Inc. TN 7.01,8.01,9.01 11/02/07
TEREX CORP DE 8.01,9.01 11/07/07
TEREX CORP DE 1.01,9.01 11/07/07
THAXTON GROUP INC SC 8.01,9.01 10/31/07
THEATER XTREME ENTERTAINMENT GROUP, I FL 2.01,2.05 11/06/07
THERMOGENESIS CORP DE 2.02,9.01 11/08/07
TIME WARNER TELECOM INC DE 2.02,9.01 11/07/07
Titan Global Holdings, Inc. UT 1.01,3.02,7.01,9.01 11/02/07
TOLL BROTHERS INC DE 2.02,9.01 11/08/07
TOR MINERALS INTERNATIONAL INC DE 2.02,9.01 11/06/07
TOR MINERALS INTERNATIONAL INC DE 8.01,9.01 11/08/07
TreeHouse Foods, Inc. DE 2.02,7.01,9.01 11/08/07
TRI STATE 1ST BANK INC OH 5.02 11/08/07
Triangle Capital CORP MD 2.02,7.01,9.01 11/07/07
TRIMERIS INC DE 8.01 11/05/07
TRM CORP OR 2.02,7.01,9.01 11/06/07
Trubion Pharmaceuticals, Inc 8.01,9.01 11/08/07
TRUE PRODUCT ID, INC. DE 5.02 11/08/07
TRUE RELIGION APPAREL INC NV 2.02,4.02 11/06/07
TRX INC/GA GA 2.02,9.01 11/08/07
TUCOWS INC /PA/ PA 2.02,9.01 11/06/07
TUESDAY MORNING CORP/DE DE 5.02,9.01 11/07/07
TVI CORP MD 1.01,2.02,2.03,9.01 11/07/07
U S PHYSICAL THERAPY INC /NV NV 2.02 11/08/07
U.S. Auto Parts Network, Inc. DE 2.02 09/30/07
UFP TECHNOLOGIES INC DE 2.02,9.01 11/07/07
UNITED COMPONENTS INC DE 2.02,9.01 11/08/07
UNITED RETAIL GROUP INC/DE DE 5.01,5.02 11/08/07
Urigen Pharmaceuticals, Inc. DE 5.02,7.01,9.01 09/28/07
US CONCRETE INC DE 2.02,9.01 11/08/07
USTELEMATICS INC DE 4.01,9.01 11/04/07
VALASSIS COMMUNICATIONS INC DE 5.02 11/06/07
Vanda Pharmaceuticals Inc. DE 2.02,9.01 11/08/07
VFINANCE INC DE 1.01,9.01 11/07/07
VICOR CORP DE 2.02,3.01,9.01 11/02/07
VisualMED Clinical Solutions Corp. NV 7.01 11/07/07
VITA FOOD PRODUCTS INC NV 3.01,9.01 11/05/07
Volcano CORP DE 2.02,9.01 11/08/07
VONAGE HOLDINGS CORP DE 2.02,9.01 11/08/07
VYYO INC DE 2.02,9.01 11/08/07
WALT DISNEY CO/ DE 2.02,9.01 11/08/07
WARNACO GROUP INC /DE/ DE 5.03,9.01 11/08/07
Warner Chilcott Ltd D0 8.01,9.01 11/08/07
Watson Wyatt Worldwide, Inc. DE 2.02,9.01 11/08/07
WCA WASTE CORP 7.01 11/08/07
Web2 Corp DE 5.02 11/08/07
WebMD Health Corp. DE 2.02,9.01 11/07/07 AMEND
WEBSITE PROS INC DE 8.01 11/01/07
WESTERN DIGITAL CORP DE 5.03,8.01,9.01 11/05/07
WESTSIDE ENERGY CORP NV 8.01,9.01 11/08/07
WET SEAL INC DE 8.01,9.01 11/08/07
WGL HOLDINGS INC VA 2.02,9.01 11/07/07
White River Capital Inc 4.01 11/07/07
WHITNEY INFORMATION NETWORK INC CO 4.02 11/03/07
Willdan Group, Inc. DE 2.02,9.01 11/08/07
WINDSTREAM CORP DE 2.02,9.01 11/08/07
WINMARK CORP MN 1.01,9.01 11/06/07
WINN DIXIE STORES INC FL 5.02,9.01 11/07/07
Winthrop Realty Trust OH 2.02,9.01 11/07/07
WIRELESS RONIN TECHNOLOGIES INC MN 2.02,9.01 11/08/07
WMS INDUSTRIES INC /DE/ DE 8.01 09/30/07
WORLD FUEL SERVICES CORP FL 2.02,7.01,9.01 11/08/07
WORLD FUEL SERVICES CORP FL 7.01,9.01 11/08/07
WorldSpace, Inc DE 2.02,9.01 11/08/07
WorldSpace, Inc DE 5.03,9.01 11/02/07
XERIUM TECHNOLOGIES INC DE 2.02,8.01,9.01 11/08/07
XILINX INC DE 5.02 11/07/07 AMEND
Yankee Holding Corp. DE 2.02,9.01 11/08/07
YORK WATER CO PA 2.02,9.01 11/08/07
YOUNG BROADCASTING INC /DE/ DE 2.02,9.01 11/08/07
ZALE CORP DE 2.02 11/08/07
ZHONGPIN INC. DE 2.02,7.01,9.01 11/05/07
http://www.sec.gov/news/digest/2007/dig110907.htm
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