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SEC NEWS DIGEST
Issue 2007-218 November 13, 2007
SELF-REGULATORY ORGANIZATIONS
APPROVAL OF PROPOSED RULE CHANGE AND ACCELERATED APPROVAL OF AMENDMENT
The Commission approved a proposed rule change (SR-CHX-2005-34) and
Amendment No. 1 thereto filed by the Chicago Stock Exchange regarding
cancellation of the stock leg of a stock-option order. The Commission
also granted accelerated approval of Amendment No. 3 to the proposal.
Publication is expected in the Federal Register during the week of
November 12. (Rel. 34-56771)
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A proposed rule change (SR-CBOE-2007-126) and Amendment No. 1 thereto
filed by the Chicago Board Options Exchange to increase the class
quoting limit in fourteen option classes 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. 34-56772)
A proposed rule change (SR-ISE-2007-104) filed by the International
Securities Exchange relating to fee changes has become immediately
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. 34-56773)
ACCELERATED APPROVAL OF PROPOSED RULE CHANGE
The Commission granted accelerated approval to a proposed rule change
(SR-CBOE-2007-114) and Amendment No. 1 thereto submitted by the
Chicago Board Options Exchange to list and trade options already
listed on another national securities exchange. Publication is
expected in the Federal Register during the week of November 12. (Rel.
34-56774)
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 Solar Power, Inc., 1115 ORLANDO AVENUE, ROSEVILLE, CA, 95661,
916 745-0900 - 0 ($8,010,000.00) Equity, (File 333-147246 - Nov. 9)
(BR. 10C)
S-8 Lumber Liquidators, Inc., 3000 JOHN DEERE ROAD, TOANO, VA, 23168,
757-259-4280 - 0 ($48,661,426.00) Equity, (File 333-147247 - Nov. 9)
(BR. 06B)
S-8 Synvista Therapeutics, Inc., 221 WEST GRAND AVENUE, MONTVALE,, NJ,
07645, 2019345000 - 1,060,000 ($2,915,000.00) Equity,
(File 333-147248 - Nov. 9) (BR. 01C)
S-8 SOUTHWEST BANCORP INC, 608 SOUTH MAIN STREET, STILLWATER, OK, 74074,
4053722230 - 0 ($3,438,000.00) Equity, (File 333-147249 - Nov. 9)
(BR. 07B)
SB-2 ERE MANAGEMENT INC, 8275 SOUTHERN EASTERN AVENUE, SUITE 200, LAS VEGAS,
NV, 89123, 702 990 8402 - 1,200,000 ($60,000.00) Equity,
(File 333-147250 - Nov. 9) (BR. 03)
SB-2 EQUICAP INC, 12373 E. CORNELL AVE, AURORA, CO, 80014, 3034784442 -
3,042,254 ($3,042,254.00) Equity, (File 333-147254 - Nov. 9) (BR. 05C)
S-8 IXYS CORP /DE/, 3540 BASSETT ST, SANTA CLARA, CA, 95054, 4089540500 -
0 ($3,216,500.00) Equity, (File 333-147256 - Nov. 9) (BR. 10B)
S-3 VELOCITY ASSET MANAGEMENT INC, 1800 ROUTE 34 NORTH,
BUILDING 4, SUITE 404A, WALL, NJ, 07719, 732-556-9090 -
1,076,250 ($2,293,875.00) Equity, (File 333-147257 - Nov. 9) (BR. 07C)
S-8 CYPRESS BIOSCIENCE INC, 4350 EXECUTIVE DRIVE,SUITE 325, SAN DIEGO, CA,
92121, 8584522323 - 0 ($64,947,659.00) Equity, (File 333-147258 -
Nov. 9) (BR. 01A)
S-1 ASIA PREMIUM TELEVISION GROUP, RM 602, 2 NORTH TUANJIEHU STREET,
CHAOYANG DISTRICT, BEIJING, F4, 00000, 86-10-6582-7900 -
642,431 ($3,854,586.00) Equity, (File 333-147259 - Nov. 9) (BR. 11A)
S-1 KGEN POWER CORP, FOUR OAKS PL, 1330 POST OAK BLVD STE 1500, HOUSTON,
TX, 77056, 0 ($915,366,936.00) Equity, (File 333-147260 - Nov. 9)
(BR. 02)
SB-2 LAURENCE ASSOCIATES CONSULTING, INC., 130 COLLEGE STREET, SUITE 200A,
SOUTH HADLEY, MA, 01075, 413-533-3334 - 1,596,100 ($15,961.00) Equity,
(File 333-147261 - Nov. 9) (BR. 08)
S-8 ESTEE LAUDER COMPANIES INC, 767 FIFTH AVE, NEW YORK, NY, 10153,
2125724200 - 300,000 ($12,564,000.00) Equity, (File 333-147262 -
Nov. 9) (BR. 06C)
S-8 AVATAR HOLDINGS INC, 201 ALHAMBRA CIRCLE, CORAL GABLES, FL, 33134,
3054427000 - 200,000 ($8,784,000.00) Equity, (File 333-147263 - Nov. 9)
(BR. 06B)
S-1 Jpak Group, Inc., 15 XINGHUA ROAD, QINDAO,, SHANDONG PROVINCE, F4,
266401, (86-532) 84616387 - 39,012,128 ($53,641,676.00) Equity,
(File 333-147264 - Nov. 9) (BR. 09B)
S-1 TASKER PRODUCTS CORP, 39 OLD RIDGEBURY ROAD, SUITE 14, DANBURY, CT,
06810, 2037304350 - 40,771,189 ($10,600,509.14) Equity,
(File 333-147265 - Nov. 9) (BR. 06A)
SB-2 PHYTOMEDICAL TECHNOLOGIES INC, 100 OVERLOOK DRIVE, 2ND FLOOR,
PRINCETON, NJ, 08540, 604-659-5004 - 21,580,412 ($8,311,664.87) Equity,
(File 333-147266 - Nov. 9) (BR. 01A)
S-8 EATON CORP, EATON CTR, 1111 SUPERIOR AVE, CLEVELAND, OH, 44114-2584,
2165235000 - 10,000,000 ($901,800,000.00) Equity, (File 333-147267 -
Nov. 9) (BR. 06C)
S-8 SUN MICROSYSTEMS, INC., 4150 NETWORK CIRCLE, SANTA CLARA, CA, 95054,
6509601300 - 308,735,963 ($1,605,427,007.60) Equity, (File 333-147268 -
Nov. 9) (BR. 03B)
S-1 XANODYNE PHARMACEUTICALS INC, 7300 TURFWAY ROAD, SUITE 300, FLORENCE,
KY, 41042, 8593717581 - 0 ($86,250,000.00) Equity, (File 333-147269 -
Nov. 9) (BR. 01)
S-8 DEVELOPERS DIVERSIFIED REALTY CORP, 3300 ENTERPRISE PARKWAY, BEACHWOOD,
OH, 44122, 2167555500 - 2,035,000 ($7,348,000.00) Equity,
(File 333-147270 - Nov. 9) (BR. 08A)
S-8 STEEL DYNAMICS INC, 6714 POINTE INVERNESS WAY, SUITE 200, FORT WAYNE,
IN, 46804, 2604593553 - 0 ($390,694,628.00) Equity, (File 333-147271 -
Nov. 9) (BR. 06B)
F-6 VISIONCHINA MEDIA INC., 1/F BLOCK NO.7 CHAMPS ELYSEES,
NONGYUAN ROAD, FUTIAN DISTRICT, SHENZHEN, F4, 518040,
(86-755) 8293-2222 - 100,000,000 ($5,000,000.00) ADRs/ADSs,
(File 333-147272 - Nov. 9) (BR. 11)
S-8 AMERICAN PUBLIC EDUCATION INC, 111 W CONGRESS STREET, CHARLES TOWN, WV,
25414, 3047243700 - 0 ($25,891,362.00) Equity, (File 333-147274 -
Nov. 9) (BR. 11C)
F-1 VISIONCHINA MEDIA INC., 1/F BLOCK NO.7 CHAMPS ELYSEES,
NONGYUAN ROAD, FUTIAN DISTRICT, SHENZHEN, F4, 518040,
(86-755) 8293-2222 - 0 ($100,000,000.00) ADRs/ADSs, (File 333-147275 -
Nov. 9) (BR. 11)
SB-2 Axius Inc., 128 SEAGULL AVE, BAYBREEZE EXEC VILLAGE, TAGUIG CITY, R6,
00000, 000-000-0000 - 950,000 ($19,000.00) Equity, (File 333-147276 -
Nov. 9) (BR. 06)
S-8 VERTEX PHARMACEUTICALS INC / MA, 130 WAVERLY STREET, CAMBRIDGE, MA,
02139-4242, 6165776000 - 0 ($18,847,500.00) Equity, (File 333-147277 -
Nov. 9) (BR. 01C)
S-8 ImmunoCellular Therapeutics, Ltd., 1999 AVENUE OF THE STARS,
11TH FLOOR, LOS ANGELES, CA, 90067, 3107891213 -
0 ($1,489,600.00) Other, (File 333-147278 - Nov. 9) (BR. 01C)
S-8 REALNETWORKS INC, 2601 ELLIOTT AVENUE, STE 1000, SEATTLE, WA, 98121,
2066742700 - 13,540,717 ($87,480,606.00) Equity, (File 333-147279 -
Nov. 9) (BR. 03B)
S-8 NAVARRE CORP /MN/, 7400 49TH AVE N, NEW HOPE, MN, 55428, 7635358333 -
0 ($3,757,500.00) Equity, (File 333-147280 - Nov. 9) (BR. 03A)
S-3 UNIVERSAL DISPLAY CORP \PA\, 6096710980 - 0 ($371,988.00) Equity,
(File 333-147281 - Nov. 9) (BR. 10C)
S-3 SEATTLE GENETICS INC /WA, 21823 30TH DRIVE SE, SUITE, BOTHELL, WA,
98021, 4255274000 - 0 ($150,000,000.00) Equity, (File 333-147282 -
Nov. 9) (BR. 01C)
S-3 LMI AEROSPACE INC, 411 FOUNTAIN LAKES BLVD., ST CHARLES, MO, 63301,
636-946-6525 - 0 ($150,000,000.00) Equity, (File 333-147283 - Nov. 9)
(BR. 05B)
S-1 Spring Creek Acquisition Corp., 10F, ROOM#1005, FORTUNE INT?L BUILDING,
NO. 17, NORTH DALIUSHU ROAD, HAI DIAN DISTRICT, BEIJING, F4, 100081,
86-106214-3561 - 0 ($76,297,600.00) Equity, (File 333-147284 - Nov. 9)
(BR. 11)
S-1 ChemoCentryx, Inc., 850 MAUDE AVENUE, MOUNTAIN VIEW, CA, 94043,
650-210-2900 - 0 ($57,500,000.00) Equity, (File 333-147285 - Nov. 9)
(BR. 01)
SB-2 BLINK LOGIC, INC., 1038 REDWOOD HIGHWAY, SUITE 100A, N/A, MILL VALLEY,,
CA, 94941, 415-389-1625 - 12,022,770 ($3,125,920.20) Equity,
(File 333-147286 - Nov. 9) (BR. 03C)
F-9 THOMSON CORP /CAN/, METRO CENTER, ONE STATION PLACE, STAMFORD, CT,
06902, 2035398000 - 0 ($3,000,000,000.00) Non-Convertible Debt,
(File 333-147287 - Nov. 9) (BR. 05C)
S-8 ELECTRONICS FOR IMAGING INC, 303 VELOCITY WAY, FOSTER CITY, CA, 94404,
6503573500 - 432,142 ($9,671,337.96) Equity, (File 333-147288 - Nov. 9)
(BR. 03C)
S-8 ADVANCED ENERGY INDUSTRIES INC, 1625 SHARP POINT DR, FT COLLINS, CO,
80525, 9702214670 - 0 ($64,080,000.00) Equity, (File 333-147289 -
Nov. 9) (BR. 10A)
S-8 OSG America L.P., TWO HARBOUR PLACE, 302 KNIGHTS RUN AVE, SUITE 1200,
TAMPA, FL, 33602, (813) 209-0600 - 0 ($5,250,000.00) Other,
(File 333-147290 - Nov. 9) (BR. 05C)
SB-2 Innova Robotics & Automation, Inc., 15870 PINE RIDGE RD, UNIT 3,
FORT MEYERS, FL, 33908, 239-466-0488 -
57,300,000 ($1,146,000.00) Equity, (File 333-147291 - Nov. 9) (BR. 03A)
F-3 CLEARLY CANADIAN BEVERAGE CORP, 2267 10TH AVENUE WEST, VANCOUVER, A1,
V6K 2J1, 604-742-5300 - 15,724,332 ($17,768,495.16) Equity,
(File 333-147292 - Nov. 9) (BR. 09A)
S-8 ICX TECHNOLOGIES INC, 1350 I STREET, NW, SUITE 670, WASHINGTON, DC,
20005, 2025365699 - 0 ($376,598,198.00) Equity, (File 333-147293 -
Nov. 9) (BR. 10)
S-1 CS China Acquisition Corp., 4100 N.E. SECOND AVENUE, SUITE 318, MIAMI,
FL, 33137, 305-576-1600 - 0 ($67,820,100.00) Equity, (File 333-147294 -
Nov. 9) (BR. )
S-3 MIDWEST BANC HOLDINGS INC, 501 W NORTH AVE, MELROSE PARK, IL, 60160,
7088651053 - 0 ($150,000,000.00) Other, (File 333-147295 - Nov. 9)
(BR. 07A)
S-1 Visa Inc., P.O. BOX 8999, SAN FRANCISCO, CA, 94128-8999,
(415) 932-2100 - 0 ($10,000,000,000.00) Equity, (File 333-147296 -
Nov. 9) (BR. 03A)
S-8 APPLIED MICRO CIRCUITS CORP, 215 MOFFETT PARK DRIVE, SUNNYVALE, CA,
94089, 8584509333 - 0 ($25,965,000.00) Equity, (File 333-147297 -
Nov. 9) (BR. 10A)
S-8 Juma Technology Corp., 154 TOLEDO STREET, FARMINGDALE, NY, 11735,
631-300-1000 - 12,457,500 ($14,076,975.00) Equity, (File 333-147298 -
Nov. 9) (BR. 11B)
SB-2 Park & Sell Corp., 21 CHAPARRAL BAY SE, CALGARY, A0, T2X 3P5,
403-612-9878 - 2,000,000 ($200,000.00) Equity, (File 333-147299 -
Nov. 9) (BR. )
SB-2 Cryoport, Inc., 451 ATLAS ST., BREA, CA, 92821-3118, 714-256-6100 -
14,571,392 ($14,279,964.00) Equity, (File 333-147300 - Nov. 9) (BR. 06C)
S-3 World Energy Solutions, Inc., 446 MAIN STREET, WORCESTER, MA, 01608,
508-459-8100 - 0 ($6,906,660.00) Equity, (File 333-147301 - Nov. 9)
(BR. 03A)
S-8 CALIFORNIA MICRO DEVICES CORP, 490 N. MCCARTHY BLVD, SUITE 100,
MILPITAS, CA, 90535, 4082633214 - 450,000 ($1,782,000.00) Equity,
(File 333-147302 - Nov. 9) (BR. 10A)
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
-------------------------------------------------------------------------------------------------------
4 KIDS ENTERTAINMENT INC NY 2.02,9.01 09/30/07
99 CENTS ONLY STORES CA 2.02,9.01 11/08/07
AASTROM BIOSCIENCES INC MI 2.02,9.01 11/09/07
ABBOTT LABORATORIES IL 1.01,9.01 11/06/07
ABRAXAS PETROLEUM CORP NV 2.02,9.01 11/09/07
ABX AIR INC 8.01,9.01 11/06/07
ACCESS INTEGRATED TECHNOLOGIES INC DE 2.02,9.01 11/09/07
ACETO CORP NY 2.02,9.01 11/09/07
ACUITY BRANDS INC DE 7.01,9.01 11/05/07
ADVANCED MEDICAL OPTICS INC DE 5.03,9.01 11/07/07
AEROCENTURY CORP DE 2.02 11/09/07
AEROPOSTALE INC 7.01,9.01 11/08/07
Affinia Group Intermediate Holdings I DE 2.02,9.01 11/08/07
Agfeed Industries, Inc NV 1.01,2.01,7.01,9.01 11/06/07
AIR T INC DE 2.02 09/30/07
Aircastle LTD D0 2.02,9.01 11/09/07
Aldabra 2 Acquisition Corp. DE 8.01,9.01 11/09/07
ALDILA INC DE 2.02,7.01,9.01 11/09/07
Aleris International, Inc. DE 2.02,9.01 11/09/07
ALLIANCE BANKSHARES CORP 5.02,9.01 09/26/07
ALLIANCEBERNSTEIN HOLDING L.P. DE 7.01,9.01 11/09/07
ALLIANCEBERNSTEIN L.P. DE 7.01,9.01 11/09/07
ALLIN CORP DE 2.02,9.01 11/07/07
AMBASSADORS GROUP INC DE 8.01,9.01 11/07/07
AMBASSADORS INTERNATIONAL INC DE 2.02,9.01 11/06/07
AMEREN CORP MO 2.02,8.01,9.01 11/09/07
AMERICAN ORIENTAL BIOENGINEERING INC CO 2.02,9.01 11/05/07
AMERICASBANK CORP MD 2.02,9.01 11/08/07
AMH Holdings, Inc. DE 2.02,9.01 11/09/07
AMSCAN HOLDINGS INC DE 7.01 11/09/07
Amtrust Financial Services, Inc. DE 2.02,9.01 11/08/07
ANALOG DEVICES INC MA 8.01,9.01 11/08/07
ANALOGIC CORP MA 5.02 11/09/07
ANALYSTS INTERNATIONAL CORP 5.04,9.01 11/09/07
APAC CUSTOMER SERVICE INC IL 7.01,9.01 11/06/07
APPLIED DIGITAL SOLUTIONS INC MO 2.02,7.01,9.01 11/07/07
APPLIED DNA SCIENCES INC NV 5.02 11/05/07
ARBITRON INC DE 7.01,9.01 11/09/07
ARBOR REALTY TRUST INC MD 2.02,9.01 11/09/07
ARCH CAPITAL GROUP LTD. 8.01 11/07/07
ASCENDANT SOLUTIONS INC DE 1.01,1.03 11/09/07
ASI TECHNOLOGY CORP NV 1.01,2.03,9.01 11/09/07
ASIANADA, INC. NV 3.02 10/31/07
ASSOCIATED MATERIALS INC DE 2.02,9.01 11/09/07
ATHEROGENICS INC GA 8.01,9.01 11/09/07
ATLANTIC BANCGROUP INC FL 2.02 11/09/07
ATLAS AMERICA INC DE 9.01 07/27/07
AURIGA LABORATORIES, INC. DE 2.02,7.01,9.01 11/08/07
AUTOIMMUNE INC DE 2.02,9.01 11/08/07
AUTOLIV INC DE 1.01,2.03 11/09/07
AVATAR HOLDINGS INC DE 2.02,7.01,9.01 11/09/07
AVOCENT CORP DE 7.01,9.01 11/09/07
AXIOM III, Inc. NV 1.01,2.01,5.02,5.06,9.01 11/09/07
BANCORP RHODE ISLAND INC 5.03,9.01 11/08/07
BAY BANKS OF VIRGINIA INC VA 8.01 11/07/07
Bear Stearns Commercial Mortgage Secu DE 8.01,9.01 10/25/07
BERKELEY TECHNOLOGY LTD 2.02,7.01 09/30/07
BIG DOG HOLDINGS INC DE 2.02,7.01 11/06/07
BIOLASE TECHNOLOGY INC DE 1.02,5.02,9.01 11/05/07
BIOPHAN TECHNOLOGIES INC NV 1.01,9.01 11/05/07
BioScrip, Inc. DE 5.02,9.01 11/01/07
BLUEGREEN CORP MA 2.02,9.01 11/05/07
BOSTON FINANCIAL QUALIFIED HOUSING TA DE 7.01,9.01 11/09/07
BOTETOURT BANKSHARES INC VA 2.02,8.01,9.01 11/09/07
BRANDYWINE REALTY TRUST MD 8.01 11/05/07
BROADVISION INC DE 1.01,1.02,9.01 11/06/07
BROOKS AUTOMATION INC DE 2.02,9.01 11/09/07
BROOKS AUTOMATION INC DE 8.01,9.01 11/09/07
BURKE MILLS INC NC 2.02,9.01 11/09/07
CABLEVISION SYSTEMS CORP /NY DE 2.02,9.01 11/08/07
CABLEVISION SYSTEMS CORP /NY DE 7.01,9.01 11/09/07
CALGON CARBON CORPORATION DE 5.02,9.01 11/07/07
Calumet Specialty Products Partners, DE 7.01,8.01,9.01 11/09/07
CAMBREX CORP DE 2.05 11/05/07
CAMCO FINANCIAL CORP DE 2.02,9.01 11/09/07
CANYON COPPER CORP. 5.02,9.01 11/07/07
CAPITAL CORP OF THE WEST CA 1.01,2.03,9.01 10/31/07
CAPITAL CORP OF THE WEST CA 2.01,8.01,9.01 11/02/07
CAPITAL ONE FINANCIAL CORP DE 7.01,9.01 11/08/07
CAPITAL ONE MASTER TRUST NY 8.01,9.01 11/08/07
CAPITAL TRUST INC MD 2.02,9.01 11/06/07
CapitalSouth Bancorp DE 2.02,9.01 11/09/07
CAPITOL FEDERAL FINANCIAL 2.02,9.01 11/09/07
CAPTEC FRANCHISE CAPITAL PARTNERS L P DE 8.01,9.01 11/01/07
CAPTEC FRANCHISE CAPITAL PARTNERS LP DE 8.01,9.01 11/01/07
CARAUSTAR INDUSTRIES INC NC 2.02,9.01 11/05/07
CARDICA INC DE 1.01,8.01,9.01 11/08/07
CAREY W P & CO LLC DE 7.01,9.01 11/02/07
CARROLS RESTAURANT GROUP, INC. 2.02,9.01 11/09/07
CB RICHARD ELLIS REALTY TRUST 2.01,9.01 08/29/07 AMEND
CBL & ASSOCIATES PROPERTIES INC DE 5.02,5.03,5.05,9.01 11/05/07
CEL SCI CORP CO 3.03,9.01 11/07/07
Celsia Technologies, Inc. NV 5.02,9.01 11/09/07
CENTRAL EUROPEAN DISTRIBUTION CORP DE 1.01,2.03,9.01 11/08/07
CENTURY CASINOS INC /CO/ DE 2.02,9.01 11/08/07
CERIDIAN CORP /DE/ DE 3.01,3.03,5.01,5.02,5.03,8.01, 11/09/07
9.01
CH2M HILL COMPANIES LTD OR 8.01 11/09/07
CHADMOORE WIRELESS GROUP INC CO 7.01,8.01 09/18/07 AMEND
CHINA BAK BATTERY INC NV 7.01,8.01,9.01 11/09/07
CHINA ORGANIC AGRICULTURE, INC. 5.02 11/06/07
China Public Security Technology, Inc 1.01,2.01,3.02,8.01,9.01 11/09/07
CHINA RUITAI INTERNATIONAL HOLDINGS C DE 2.01,5.01,5.02,5.03,5.06,9.01 11/08/07
CHOICEONE FINANCIAL SERVICES INC MI 2.02,9.01 11/08/07
CITADEL BROADCASTING CORP DE 2.02,9.01 11/09/07
CITIGROUP INC DE 5.02 11/09/07
CITIZENS INC CO 2.02,9.01 11/08/07
CKX, Inc. DE 8.01,9.01 11/08/07
CLARUS CORP DE 2.02,9.01 11/09/07
CLEAR CHANNEL COMMUNICATIONS INC TX 8.01 10/29/07
CLEAR CHANNEL COMMUNICATIONS INC TX 2.02,9.01 11/08/07
Clear Channel Outdoor Holdings, Inc. DE 2.02,9.01 11/08/07
CLEARWIRE CORP 2.02,9.01 11/09/07
CMALT (CitiMortgage Alternative Loan DE 8.01,9.01 11/09/07
CMALT (CitiMortgage Alternative Loan DE 8.01,9.01 11/09/07
CME GROUP INC. DE 8.01,9.01 11/06/07
CME GROUP INC. DE 8.01,9.01 11/06/07
COASTAL BANKING CO INC SC 2.02,9.01 11/07/07
COLLECTORS UNIVERSE INC DE 2.02,9.01 11/09/07
COMERICA INC /NEW/ DE 7.01,9.01 11/09/07
Compass Diversified Holdings DE 2.02,9.01 11/09/07
COMTECH TELECOMMUNICATIONS CORP /DE/ DE 8.01 11/09/07
CONGOLEUM CORP DE 2.02,9.01 11/07/07
CONNECTICUT WATER SERVICE INC / CT CT 5.02 11/05/07
Copano Energy, L.L.C. DE 7.01,9.01 11/02/07
CORCEPT THERAPEUTICS INC 2.02,9.01 11/08/07
Core-Mark Holding Company, Inc. DE 2.02,9.01 11/09/07
CORPORATE EXECUTIVE BOARD CO DE 5.02,9.01 11/08/07
CORPORATE EXECUTIVE BOARD CO DE 8.01,9.01 11/08/07
COSMO COMMUNICATIONS CORP FL 8.01 10/24/07
CPC OF AMERICA INC NV 7.01 11/09/07
CPG INTERNATIONAL INC. DE 5.02 11/09/07
CRESCENT BANKING CO GA 2.02,9.01 11/08/07
CRIMSON EXPLORATION INC. 2.02,9.01 11/05/07
CROSSTEX ENERGY INC DE 5.02 11/07/07
CROSSTEX ENERGY LP DE 5.02 11/07/07
CROWN CRAFTS INC DE 1.01,2.01,2.03,9.01 11/05/07
Crystal River Capital, Inc. MD 2.02,9.01 11/08/07
CV THERAPEUTICS INC DE 8.01,9.01 11/08/07
CYPRESS BIOSCIENCE INC DE 2.02,9.01 11/09/07
DCT Industrial Trust Inc. MD 8.01,9.01 11/09/07
DELPHI CORP DE 8.01,9.01 11/09/07
DEVELOPERS DIVERSIFIED REALTY CORP OH 8.01 06/30/07
DEVELOPERS DIVERSIFIED REALTY CORP OH 9.01 06/30/07
Devine Entertainment CORP A6 8.01,9.01 11/09/07
DEVRY INC DE 5.03,9.01 11/07/07
DIGITAL ANGEL CORP DE 2.02,7.01,9.01 11/07/07
DigitalFX International Inc FL 5.02 11/05/07
DigitalPost Interactive, Inc. NV 1.01,9.01 11/09/07
DILLARDS INC DE 7.01,9.01 11/06/07
DILLARDS INC DE 7.01,9.01 11/08/07
DIRECTV GROUP INC DE 5.02 11/05/07
DIXIE GROUP INC TN 8.01,9.01 11/09/07
DOBSON COMMUNICATIONS CORP OK 2.02,9.01 11/08/07
DOMINION HOMES INC OH 2.02,7.01,9.01 11/09/07
DOMINION RESOURCES INC /VA/ VA 5.03 11/09/07
DOT HILL SYSTEMS CORP NY 2.02,9.01 11/08/07
DRS TECHNOLOGIES INC DE 2.02,9.01 11/09/07
DTE ENERGY CO MI 7.01,9.01 11/09/07
E TRADE FINANCIAL CORP DE 5.02,7.01,9.01 11/09/07
EAGLE ROCK ENERGY PARTNERS L P DE 5.02,9.01 11/09/07
EARTHLINK INC DE 1.01,9.01 11/07/07
Echo Therapeutics, Inc. MN 9.01 09/14/07 AMEND
ECOTALITY, INC. NV 1.01,2.03,3.02,5.02,9.01 11/06/07
ELECTRONIC SYSTEMS TECHNOLOGY INC WA 8.01,9.01 11/06/07
EMC CORP MA 8.01 10/31/07
EMPIRE GLOBAL CORP. DE 3.02,5.02 11/05/07 AMEND
Employers Holdings, Inc. NV 8.01,9.01 11/08/07
Endeavor Acquisition Corp. DE 1.01,5.03,9.01 11/07/07
ENERGY CONVERSION DEVICES INC DE 2.02,9.01 11/08/07
ENGLOBAL CORP NV 2.02,9.01 11/07/07
ENSCO INTERNATIONAL INC DE 5.03,9.01 11/06/07
ENSCO INTERNATIONAL INC DE 8.01 11/06/07
ENSCO INTERNATIONAL INC DE 5.02 11/06/07
ENTERCOM COMMUNICATIONS CORP PA 2.02,9.01 11/09/07
EPICEPT CORP 8.01,9.01 11/07/07
EPLUS INC DE 2.02,9.01 11/07/07
ES Bancshares, Inc. MD 2.02,9.01 11/09/07
ESCO TECHNOLOGIES INC MO 1.01,9.01 11/06/07
ETRIALS WORLDWIDE INC. 1.01,5.02,9.01 11/07/07
EURO GROUP OF COMPANIES, INC. DE 8.01 11/09/07
EXPEDITORS INTERNATIONAL OF WASHINGTO WA 5.02,9.01 11/08/07
EXPRESS SCRIPTS INC DE 5.02 11/05/07
Famous Uncle Als Hot Dogs & Grille In DE 1.01,3.02,9.01 11/08/07
Famous Uncle Als Hot Dogs & Grille In DE 1.01,3.02,9.01 11/08/07
FARMERS CAPITAL BANK CORP KY 8.01 11/09/07
FASTENAL CO MN 8.01,9.01 11/09/07
FEDERAL AGRICULTURAL MORTGAGE CORP 2.02,9.01 11/08/07
Federal Home Loan Bank of Seattle 7.01 11/09/07
FEDERAL NATIONAL MORTGAGE ASSOCIATION 2.02,9.01 11/09/07
FEDERAL NATIONAL MORTGAGE ASSOCIATION 7.01,9.01 11/09/07
FiberTower CORP DE 2.02,9.01 09/30/07
FIELDPOINT PETROLEUM CORP CO 9.01 11/09/07
FIFTH THIRD BANCORP OH 8.01 11/09/07
FIRST ACCEPTANCE CORP /DE/ DE 2.02,5.03,7.01,9.01 11/07/07
First California Financial Group, Inc DE 8.01,9.01 11/07/07
FIRST SOUTH BANCORP INC SC 2.02,9.01 11/05/07
FIRSTCITY FINANCIAL CORP DE 2.02,7.01 11/09/07
FLUSHING FINANCIAL CORP DE 7.01,9.01 11/08/07
FNB CORP/FL/ FL 1.01,9.01 11/08/07
FORCE PROTECTION INC NV 7.01 11/05/07
FOREFRONT HOLDINGS, INC. FL 1.01,5.02,9.01 11/05/07
FOREST OIL CORP NY 5.02,8.01,9.01 11/08/07
FORMFACTOR INC DE 2.02,4.02,9.01 11/08/07
FTD Group, Inc. 2.02,9.01 11/09/07
FTD Group, Inc. 5.02,9.01 11/09/07
FURMANITE CORP DE 2.02,9.01 11/08/07
GAMCO INVESTORS, INC. ET AL NY 2.02,9.01 11/08/07
GASTAR EXPLORATION LTD 7.01,9.01 11/09/07
GASTAR EXPLORATION LTD 7.01,8.01,9.01 11/09/07
GEN PROBE INC DE 8.01,9.01 11/08/07
GENERAL GROWTH PROPERTIES INC DE 7.01,9.01 11/08/07
GENESIS ENERGY LP DE 2.02,9.01 11/08/07
Genesis Pharmaceuticals Enterprises, FL 1.01,2.03,3.02,9.01 11/06/07
GEOKINETICS INC DE 2.02,7.01,9.01 11/05/07
GeoMet, Inc. DE 2.02,9.01 11/09/07
GEOVIC MINING CORP. DE 5.02,7.01,9.01 10/31/07
GLOBAL ENERGY INC NV 3.02,5.02 11/02/07 AMEND
GLOBECOMM SYSTEMS INC 2.02,9.01 11/09/07
GOLDEN STAR RESOURCES LTD 8.01,9.01 11/08/07
GOLF TRUST OF AMERICA INC MD 1.01,3.03,5.02,5.03,5.05,9.01 11/06/07
GRAPHIC PACKAGING CORP DE 2.02,8.01,9.01 11/08/07
GREAT CHINA INTERNATIONAL HOLDINGS, I NV 1.01,2.03,9.01 11/05/07
Greenlight Capital Re, Ltd. 1.01,8.01,9.01 11/06/07
GREENLITE VENTURES INC 3.02,5.02,9.01 11/07/07
GSI COMMERCE INC DE 7.01,9.01 11/09/07
GTJ REIT, Inc. MD 2.01,9.01 03/29/07 AMEND
HAIGHTS CROSS COMMUNICATIONS INC DE 5.02,9.01 11/05/07
HALOZYME THERAPEUTICS INC NV 2.02,9.01 11/08/07
HANMI FINANCIAL CORP DE 5.02 11/07/07
HarborView 2007-7 DE 8.01,9.01 11/08/07
HARDINGE INC NY 2.02,8.01 11/06/07
HARLAND CLARKE HOLDINGS CORP DE 2.02,9.01 11/09/07
HARRIS CORP /DE/ DE 8.01,9.01 11/09/07
Harris Stratex Networks, Inc. DE 5.02 11/06/07
Harry & David Holdings, Inc. DE 2.02,7.01,9.01 11/09/07
HARSCO CORP DE 2.03,9.01 11/06/07
HARTFORD LIFE INSURANCE CO CT 9.01 11/09/07
HAWKINS INC MN 2.02,9.01 11/08/07
HD Partners Acquisition CORP CA 1.01,9.01 11/09/07
HEALTH BENEFITS DIRECT CORP DE 7.01,9.01 11/05/07
Heritage Financial Group DC 8.01,9.01 11/09/07
HFF, Inc. DE 2.02,9.01 11/08/07
Highland Distressed Opportunities, In 2.02,9.01 11/09/07
HILLMAN COMPANIES INC DE 3.01,9.01 11/09/07
HOLLYWOOD MEDIA CORP FL 2.02,9.01 11/09/07
HOME DIAGNOSTICS INC DE 2.02,9.01 11/08/07
HOME FEDERAL BANCORP, INC. OF LOUISIA 2.02,9.01 11/08/07
Horsehead Holding Corp 2.02,9.01 11/08/07
HUDSON HIGHLAND GROUP INC DE 2.02,4.02,9.01 11/08/07
HUIHENG MEDICAL, INC. NV 5.02 11/09/07
Huntsman CORP DE 2.02,9.01 11/09/07
HydroGen CORP NV 4.01,9.01 11/09/07
ICO Global Communications (Holdings) DE 8.01,9.01 11/09/07
IDT CORP DE 1.01,9.01 11/07/07
IHOP CORP DE 8.01,9.01 11/07/07
InfuSystem Holdings, Inc DE 5.02,7.01,9.01 11/05/07
INHIBITEX, INC. 2.02,9.01 11/09/07
INLAND REAL ESTATE CORP MD 5.03,9.01 09/09/07
INLAND WESTERN RETAIL REAL ESTATE TRU MD 8.01,9.01 11/01/07
INLAND WESTERN RETAIL REAL ESTATE TRU MD 7.01,9.01 11/09/07
INSMED INC VA 2.02,9.01 11/08/07
INTEGRA LIFESCIENCES HOLDINGS CORP DE 2.02,9.01 11/09/07
INTELSAT LTD 2.02,9.01 11/09/07
INTERNATIONAL ENERGY, INC. NV 7.01,9.01 11/05/07
INTERNATIONAL RECTIFIER CORP /DE/ DE 5.02 11/07/07
INTERSECTIONS INC DE 2.02,9.01 11/08/07
INTERWOVEN INC CA 4.02,9.01 11/08/07
INTROGEN THERAPEUTICS INC 2.02,9.01 11/09/07
IRELAND INC. NV 1.01,9.01 11/05/07
ISOLAGEN INC DE 5.02,5.03,8.01,9.01 11/05/07
ITT CORP IN 1.01,2.03,9.01 11/08/07
J P MORGAN CHASE & CO DE 7.01,9.01 11/08/07
J P MORGAN CHASE & CO DE 9.01 11/07/07
J&J SNACK FOODS CORP NJ 2.02,9.01 11/08/07
JUPITERMEDIA CORP DE 2.02,7.01,9.01 11/08/07
KB HOME DE 5.02,9.01 11/06/07
Kodiak Oil & Gas Corp 2.02,9.01 11/08/07
LADENBURG THALMANN FINANCIAL SERVICES FL 2.02,9.01 11/09/07
LEE ENTERPRISES, INC DE 2.02,9.01 11/08/07
LEGACY RESERVES LP DE 1.01,3.02,8.01,9.01 11/09/07
LEGGETT & PLATT INC MO 4.01,9.01 11/07/07
LEGGETT & PLATT INC MO 4.01,9.01 11/07/07
LEHMAN BROTHERS HOLDINGS INC DE 9.01 11/07/07
LEINER HEALTH PRODUCTS INC DE 2.02,9.01 11/08/07
LEXINGTON REALTY TRUST MD 1.01,9.01 11/05/07
LEXINGTON REALTY TRUST MD 2.02,7.01,9.01 11/08/07
Liberty Global, Inc. 2.02 11/09/07
LIBERTY MEDIA CORP 2.02,8.01,9.01 11/09/07
LINCOLN EDUCATIONAL SERVICES CORP NJ 2.05,2.06 11/05/07 AMEND
LINCOLN NATIONAL CORP IN 5.02,9.01 11/05/07
LINN ENERGY, LLC DE 9.01 11/09/07
LIONS GATE ENTERTAINMENT CORP /CN/ 2.02,9.01 11/09/07
LIQUIDITY SERVICES INC 5.02 11/05/07
LITTLEFIELD CORP DE 4.01,9.01 11/06/07
LKA INTERNATIONAL INC /DE/ DE 1.01 11/05/07
LOJACK CORP MA 2.02,9.01 11/09/07 AMEND
Loreto CORP NV 3.02 07/02/07 AMEND
LUMINEX CORP DE 2.02,9.01 11/09/07
M & F WORLDWIDE CORP DE 2.02,9.01 11/09/07
MACROVISION CORP DE 1.01,9.01 11/05/07
Magyar Bancorp, Inc. DE 2.02,9.01 11/07/07
MAINE & MARITIMES CORP ME 2.02,9.01 11/09/07
MANNATECH INC TX 2.02,9.01 11/08/07
MANNATECH INC TX 8.01,9.01 11/06/07
Mantra Venture Group Ltd. 1.01 11/08/07
MARINEMAX INC DE 5.03 11/07/07
MARINER ENERGY INC DE 2.02,7.01,9.01 11/08/07
MARKWEST ENERGY PARTNERS L P 2.02,8.01,9.01 11/06/07
MARKWEST HYDROCARBON INC DE 2.02,8.01,9.01 11/06/07
MARSHALL HOLDINGS INTERNATIONAL, INC. NV 8.01 10/31/07
MASIMO CORP DE 1.01,3.03,5.03,8.01,9.01 11/08/07
MASTERCARD INC DE 8.01 11/07/07
MAX & ERMAS RESTAURANTS INC DE 5.02,7.01,9.01 11/05/07
MCDERMOTT INTERNATIONAL INC R1 5.02,9.01 10/15/07 AMEND
MCMORAN EXPLORATION CO /DE/ DE 8.01,9.01 11/08/07
MDC PARTNERS INC A6 7.01,9.01 11/08/07
MED GEN INC NV 8.01 11/06/07
MEDICINOVA INC DE 2.02,9.01 11/09/07
MEDICINOVA INC DE 2.02 11/09/07
MEDQUIST INC NJ 1.01,5.02,5.03,9.01 11/08/07
METAL MANAGEMENT INC DE 8.01,9.01 11/08/07
Metavante Technologies, Inc. 7.01 11/08/07
METRO ONE TELECOMMUNICATIONS INC OR 5.02,8.01,9.01 11/05/07
METROPOLITAN HEALTH NETWORKS INC FL 5.02 11/08/07
MICROISLET INC NV 5.02 11/05/07
MIDDLEBY CORP DE 2.02,9.01 11/08/07
MIDWAY GAMES INC DE 5.02 11/09/07
MIRANT CORP DE 2.02,9.01 11/09/07
MIV THERAPEUTICS INC NV 4.02 10/23/07 AMEND
Molecular Insight Pharmaceuticals, In MA 8.01,9.01 11/09/07
Monotype Imaging Holdings Inc. DE 2.02,9.01 11/09/07
MORGAN GROUP HOLDING CO 7.01 11/09/07
MORGAN STANLEY DE 7.01 11/09/07
MOUNTAINS WEST EXPLORATION INC NM 1.01,1.02,3.02,9.01 11/05/07
MPHASE TECHNOLOGIES INC NJ 8.01 11/08/07
MQ ASSOCIATES INC 5.01,8.01,9.01 11/09/07
NABI BIOPHARMACEUTICALS DE 7.01,9.01 11/07/07
NANOMETRICS INC DE 1.01,5.02,9.01 11/05/07
NATIONAL CITY CORP DE 2.02,9.01 11/06/07
NATIONAL COAL CORP FL 3.02 11/05/07
NATIONAL FUEL GAS CO NJ 8.01,9.01 11/08/07
NATIONAL FUEL GAS CO NJ 8.01,9.01 11/09/07
NATIONAL RV HOLDINGS INC DE 3.01,9.01 11/08/07
NAVISITE INC DE 4.02 10/23/07 AMEND
NEOMAGIC CORP DE 2.02,9.01 11/09/07
NETMANAGE INC DE 5.02 09/17/07
NEUROLOGIX INC/DE DE 2.02,9.01 11/09/07
NEW MOTION, INC. DE 2.01,8.01,9.01 11/08/07
NEW POWER TECH INC. 5.03,9.01 10/23/07
NEW YORK COMMUNITY BANCORP INC DE 5.04,9.01 11/09/07
NEW YORK MORTGAGE TRUST INC MD 7.01,9.01 11/07/07
NEWPOWER HOLDINGS INC DE 8.01,9.01 10/29/07
NEWS CORP 8.01,9.01 11/08/07
NEWTEK BUSINESS SERVICES INC NY 2.02,9.01 11/08/07
NEXTERA ENTERPRISES INC DE 1.01,2.03,9.01 11/07/07
nFinanSe Inc. NV 5.02 11/08/07
NGP Capital Resources CO MD 2.02 11/09/07
NIAGARA MOHAWK POWER CORP /NY/ NY 8.01,9.01 11/09/07
NICOR INC IL 7.01,9.01 11/09/07
NOBEL LEARNING COMMUNITIES INC DE 2.02,9.01 11/08/07
NORTHERN TRUST CORP DE 1.01,9.01 11/06/07
NORTHWEST BANCORP INC PA 2.02 11/09/07
NORTHWESTERN CORP DE 7.01 11/09/07
NOVAVAX INC DE 2.02,9.01 11/09/07
NTR Acquisition Co. DE 8.01,9.01 11/05/07
NUCOR CORP DE 8.01,9.01 11/09/07
NURX PHARMACEUTICALS, INC. NV 1.01,9.01 11/05/07
O CHARLEYS INC TN 1.01,9.01 11/06/07
OAKLEY INC WA 5.02 11/09/07
OFFICE DEPOT INC DE 8.01,9.01 11/08/07
OFFICE DEPOT INC DE 1.01,4.02,9.01 11/05/07
OI CORP OK 5.02 11/05/07
OI CORP OK 2.02,9.01 11/08/07
OMEGA FINANCIAL CORP /PA/ PA 1.01,7.01,8.01,9.01 11/08/07
ON2 TECHNOLOGIES, INC. DE 8.01,9.01 10/17/07 AMEND
ONE LIBERTY PROPERTIES INC MD 2.02,9.01 11/08/07
OPENTV CORP 2.02,7.01,9.01 11/07/07
Opexa Therapeutics, Inc. TX 8.01,9.01 08/14/07 AMEND
OPTIMER PHARMACEUTICALS INC 2.02,9.01 11/08/07
Organetix NJ 3.02 11/09/07
ORIGEN FINANCIAL INC DE 2.02,9.01 11/07/07
ORTHOFIX INTERNATIONAL N V 5.02,9.01 11/06/07
ORTHOFIX INTERNATIONAL N V 5.02,9.01 11/06/07
Osteologix, Inc. DE 8.01,9.01 11/05/07
OVERSEAS SHIPHOLDING GROUP INC DE 8.01,9.01 11/09/07
OXFORD INDUSTRIES INC GA 1.01,2.03 11/08/07
Pacific Ethanol, Inc. DE 2.02,9.01 11/09/07
PACKETPORT COM NV 8.01 11/08/07 AMEND
PALADIN REALTY INCOME PROPERTIES INC MD 9.01 09/26/07 AMEND
PALADIN REALTY INCOME PROPERTIES INC MD 9.01 09/14/07 AMEND
PALATIN TECHNOLOGIES INC DE 2.02,9.01 11/09/07
PARALLEL PETROLEUM CORP DE 2.02,9.01 11/09/07
PATRIOT NATIONAL BANCORP INC CT 7.01 11/09/07
PAULSON CAPITAL CORP OR 2.02,9.01 11/09/07
PEABODY ENERGY CORP DE 2.05 10/16/07 AMEND
PENFORD CORP WA 2.02,9.01 11/08/07
People's United Financial, Inc. DE 5.02,9.01 11/09/07
PEOPLES BANCORP INC OH 8.01,9.01 11/09/07
PeopleSupport, Inc. DE 2.02,9.01 11/06/07 AMEND
PEPCO HOLDINGS INC DE 8.01,9.01 11/08/07
PERFICIENT INC DE 5.03,9.01 11/05/07
PETROLEUM DEVELOPMENT CORP NV 7.01,9.01 11/08/07
PETROLEUM DEVELOPMENT CORP NV 2.02,9.01 11/09/07
PharMerica CORP DE 2.02,9.01 11/08/07
PharMerica CORP DE 7.01,9.01 11/08/07
PHC INC /MA/ MA 9.01 11/08/07
PHI INC LA 2.02,9.01 11/08/07
PHOENIX COMPANIES INC/DE DE 5.02,9.01 11/08/07
PINNACLE DATA SYSTEMS INC OH 2.02,9.01 11/08/07
PINNACLE RESOURCES INC WY 2.01,9.01 06/15/04
PLURISTEM LIFE SYSTEMS INC NV 8.01,9.01 11/08/07
POGO PRODUCING CO DE 1.02,3.01,3.03,5.01,9.01 11/06/07
POINT BLANK SOLUTIONS, INC. DE 8.01,9.01 11/09/07
POINT BLANK SOLUTIONS, INC. DE 9.01 11/09/07
POINT THERAPEUTICS INC DE 2.02,9.01 11/09/07
Porter Bancorp, Inc. KY 7.01,9.01 11/08/07
POWER INTEGRATIONS INC CA 5.02,5.03,9.01 11/07/07
PRESSTEK INC /DE/ DE 7.01 11/07/07
PRICELINE COM INC DE 2.02,7.01,9.01 11/08/07
Project Development Pacific, Inc. NV 1.01,9.01 11/09/07
Propex Inc. DE 2.02,9.01 11/09/07
PSB GROUP INC MI 2.02,9.01 11/06/07
Public Storage MD 2.02,9.01 09/30/07
PUREDEPTH, INC. CO 8.01,9.01 11/05/07
QUADRAMED CORP DE 2.01,9.01 09/23/07 AMEND
Quest Energy Partners, L.P. DE 1.01,5.02,7.01,9.01 11/07/07
QUEST RESOURCE CORP NV 7.01,9.01 11/08/07
Quintana Maritime LTD 1T 2.02,9.01 11/05/07
RAIT Financial Trust MD 7.01,9.01 11/05/07
RANCHER ENERGY CORP. NV 2.02,7.01,9.01 11/09/07
RAND CAPITAL CORP NY 5.03,9.01 10/25/07
Reliance Bancshares, Inc. MO 2.02,7.01 10/26/07
REPROS THERAPEUTICS INC. DE 2.02,9.01 11/09/07
Resource Capital Corp. MD 2.02,9.01 11/08/07
RITE AID CORP DE 5.02,9.01 11/08/07
Rosetta Resources Inc. DE 7.01,9.01 11/08/07
ROYAL GOLD INC DE 8.01,9.01 11/09/07
ROYALE ENERGY INC CA 4.01,9.01 11/05/07
RURAL/METRO CORP /DE/ DE 8.01,9.01 11/09/07
SAFECO CORP WA 8.01,9.01 11/09/07
SAGEMARK COMPANIES LTD NY 2.03,9.01 11/05/07
SARATOGA RESOURCES INC /TX TX 7.01,9.01 11/08/07
SASCO 2007-BNC1 DE 8.01,9.01 11/09/07
SATCON TECHNOLOGY CORP DE 8.01,9.01 11/09/07
SAVE THE WORLD AIR INC NV 5.02 11/05/07
SCANNER TECHNOLOGIES CORP NM 7.01,9.01 11/08/07
Security Capital Assurance Ltd D0 5.05,9.01 11/06/07
SEMCO ENERGY INC MI 8.01,9.01 11/09/07
SEMITOOL INC MT 2.02,9.01 11/09/07
SEQUENOM INC DE 1.01 11/05/07
SHELLS SEAFOOD RESTAURANTS INC DE 2.02,9.01 11/09/07
Shire plc 8.01,9.01 11/08/07
SHUFFLE MASTER INC MN 8.01 11/05/07
Sirtris Pharmaceuticals, Inc. DE 1.01 11/07/07
SIRVA INC DE 2.02,7.01,9.01 11/08/07
SIX FLAGS, INC. DE 2.02,9.01 11/09/07
SIX FLAGS, INC. DE 7.01,9.01 11/09/07
SKY PETROLEUM, INC. NV 5.02 11/05/07
SM&A DE 2.02,5.02,9.01 11/05/07
SMART BALANCE, INC. DE 2.02,9.01 11/09/07
SOUTHERN UNION CO DE 2.02,7.01,9.01 11/09/07
SOUTHSIDE BANCSHARES INC TX 2.02,9.01 09/30/07
SOUTHWEST WATER CO DE 8.01,9.01 11/09/07
SPACEDEV, INC. CO 2.02,5.02,5.03,9.01 11/08/07
SPANISH BROADCASTING SYSTEM INC DE 1.01,5.02,9.01 11/07/07
Spectra Energy Partners, LP DE 2.02,9.01 11/09/07
Spectrum Brands, Inc. WI 5.03,9.01 11/06/07
SPECTRUM PHARMACEUTICALS INC DE 2.02,9.01 11/09/07
SPORT CHALET INC DE 2.02 11/07/07
STAGE STORES INC NV 8.01,9.01 11/08/07
STATION CASINOS INC NV 2.02,9.01 11/09/07
Stereotaxis, Inc. DE 2.02,9.01 11/08/07
STONEMOR PARTNERS LP DE 2.02,9.01 11/09/07
STRATEGIC HOTELS & RESORTS, INC 2.02,9.01 11/06/07
STRATUS PROPERTIES INC DE 2.02,9.01 11/09/07
STRUCTURED PRODUCTS CORP TIERS R INFL DE 8.01,9.01 11/01/07
SUN HYDRAULICS CORP FL 2.02,9.01 11/05/07
SUN MICROSYSTEMS, INC. DE 8.01 11/08/07
SUN RIVER ENERGY, INC CO 1.02 11/08/07
SUNPOWER CORP CA 1.01,7.01,9.01 11/06/07
SUNRISE SENIOR LIVING INC DE 2.02 11/09/07
Swank, Inc. DE 2.02,9.01 11/06/07
TAIWAN FUND INC DE 7.01,9.01 09/01/07
TBS INTERNATIONAL LTD 2.02,9.01 11/08/07
TELETECH HOLDINGS INC DE 2.02,4.02,9.01 11/08/07
TERADATA CORP /DE/ 7.01 11/09/07
TEXTRON INC DE 8.01 11/09/07
THERMODYNETICS INC DE 2.02,7.01,9.01 11/08/07
TIME WARNER CABLE INC. DE 5.02,9.01 11/08/07
TIME WARNER INC DE 5.02,9.01 11/05/07
TOREADOR RESOURCES CORP TX 2.02,9.01 11/09/07
TOUSA INC DE 7.01,9.01 11/07/07
TRANS WORLD ENTERTAINMENT CORP NY 7.01,9.01 11/09/07
TRANS1 INC 2.02,9.01 11/08/07
TRIARC COMPANIES INC DE 2.02 11/09/07
TRIPOS INC UT 8.01,9.01 11/08/07
TRM CORP OR 5.03,9.01 11/07/07
TRUMP ENTERTAINMENT RESORTS, INC. DE 1.01,9.01 11/07/07 AMEND
TUMBLEWEED COMMUNICATIONS CORP DE 7.01,9.01 11/07/07
Tyco Electronics Ltd. D0 5.02,9.01 06/29/07
U S PRECIOUS METALS INC DE 5.02 11/06/07
U.S. Shipping Partners L.P. DE 8.01,9.01 11/07/07
UDR, Inc. MD 1.01,7.01,9.01 11/05/07
ULTRALIFE BATTERIES INC DE 1.01,9.01 11/08/07
UNIFI INC NY 7.01,9.01 11/09/07
UNITED INDUSTRIAL CORP /DE/ DE 2.02,9.01 11/09/07
United States Natural Gas Fund, LP 8.01 11/09/07
UNIVERSAL AMERICAN FINANCIAL CORP NY 8.01 11/09/07
Universal Truckload Services, Inc. MI 7.01 11/08/07
URANIUM ENERGY CORP NV 8.01 10/30/07
URBAN OUTFITTERS INC PA 2.02,9.01 11/06/07
VALIDUS HOLDINGS LTD 2.02,9.01 11/05/07
VAXGEN INC DE 8.01 11/09/07
VECTOR GROUP LTD DE 2.02,9.01 11/08/07
Vella Productions Inc. NV 5.03,9.01 11/07/07 AMEND
VENTAS INC DE 2.02,7.01,9.01 11/08/07
VERISIGN INC/CA DE 5.02,8.01 11/05/07
VIACELL INC 2.02,9.01 11/09/07
VIASPACE Inc. NV 1.01 11/07/07
VIKING SYSTEMS INC DE 5.02 11/05/07
VINEYARD NATIONAL BANCORP CA 2.02,9.01 11/09/07
VirtualScopics, Inc. DE 2.02,9.01 11/08/07
Visa Inc. DE 8.01,9.01 11/07/07
VIVUS INC CA 2.02,9.01 11/09/07
VMWARE, INC. DE 5.02,8.01 11/08/07
W HOLDING CO INC PR 7.01,8.01 11/07/07
WACHOVIA CORP NEW NC 8.01 11/08/07
WACHOVIA CORP NEW NC 7.01,9.01 11/09/07
Warner Chilcott Ltd D0 2.02,9.01 11/09/07
WASHINGTON MUTUAL, INC WA 8.01 11/07/07
WAVE SYSTEMS CORP DE 2.02,9.01 11/07/07
WCI COMMUNITIES INC 2.02,7.01,9.01 11/08/07
WEBSTER PREFERRED CAPITAL CORP CT 5.03,9.01 11/07/07
WELLCARE HEALTH PLANS, INC. DE 1.01,8.01,9.01 11/05/07
Wells Fargo Mortgage Backed Securitie DE 8.01,9.01 10/25/07
Wells Fargo Mortgage Backed Securitie DE 8.01,9.01 10/25/07
Western Standard Energy Corp. NV 3.02,9.01 11/05/07
WHITNEY INFORMATION NETWORK INC CO 8.01,9.01 11/09/07
WHX CORP DE 5.02 11/09/07
WILLIAM LYON HOMES DE 2.02,9.01 11/08/07
WILLIAMS COMPANIES INC DE 2.01,7.01,9.01 11/09/07
WILLOW FINANCIAL BANCORP, INC. PA 2.02,9.01 09/30/07
WILSHIRE BANCORP INC CA 5.02,9.01 11/07/07
WINCROFT INC CO 5.03,9.01 11/08/07
WINCROFT INC CO 5.01 11/08/07
WINSONIC DIGITAL MEDIA GROUP LTD NV 1.01,2.03,3.02,9.01 11/05/07
WOODWARD GOVERNOR CO DE 2.02,9.01 09/26/07
WORLDWATER & SOLAR TECHNOLOGIES CORP. DE 1.01 11/06/07
WYNN RESORTS LTD 1.01,9.01 11/07/07
XSTREAM BEVERAGE NETWORK, INC. NV 5.02,9.01 11/09/07
ZILA INC DE 5.02,9.01 11/06/07
ZIX CORP TX 2.02,9.01 11/08/07
ZONES INC WA 2.02,4.02 11/08/07
http://www.sec.gov/news/digest/2007/dig111307.htm
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