 |
|
SEC NEWS DIGEST
Issue 2007-219 November 14, 2007
COMMISSION ANNOUNCEMENTS
SEC RENAMES DIVISION OF MARKET REGULATION AS DIVISION OF TRADING AND
MARKETS
The Securities and Exchange Commission announced today that it has
changed the name of the Division of Market Regulation to the "Division
of Trading and Markets" to better reflect the Division's full range of
responsibilities.
The Division's new name is a revival of its name until 1972, when the
SEC's divisions were restructured.
"The Division's focus has expanded in scope as a result of both recent
legislation and the dramatic changes in the markets due to technology
and innovation, globalization, and other forces," said SEC Chairman
Christopher Cox. "Ironically, from a naming standpoint this is 'back
to the future' for the Division, because its new name has a pedigree.
In the view of the professional staff, the pre-1972 title better
reflects the Division's current responsibilities. It's nice when
tradition and future directions converge."
The Division of Trading and Markets is responsible for policy
development regarding markets, broker-dealers, clearing agencies,
transfer agents, and other market participants. In addition to
regulating major securities market participants, the Division provides
consolidated oversight of five internationally active U.S. securities
firms. The Division also oversees rating agencies and the business
continuity practices and automation controls of the trading markets.
(Press Rel. 2007-229)
SEC ANNOUNCES 100 PERCENT RETURN OF FUNDS TO DEFRAUDED BIO-HEAL
INVESTORS
The Commission today announced the mailing of checks totaling more
than $2.7 million to 833 investors who were victims of the fraudulent
promotion and sale of illegally issued shares of Bio-Heal
Laboratories, Inc. The Fair Fund distribution represents a 100 percent
return of the defrauded investors' money.
In April 2005, the Commission sued Bio-Heal, a publicly-held company
that claimed to develop topical natural healing products in Nicaragua,
and five other corporate entities that received the illegally issued
shares and sold them. When the Commission filed its complaint in the
U.S. District Court for the Southern District of Florida, it obtained
an emergency asset freeze against Bio-Heal and the other entities,
freezing their proceeds from the sale of the illegally issued shares.
"The Commission's quick action in this case ensured this money would
not be dissipated and lost to innocent investors," said David Nelson,
the Commission's Regional Director in Miami. "We are particularly
gratified that it has resulted in a 100 percent return of investors'
losses through this Fair Fund."
In the Fair Funds provisions of the Sarbanes-Oxley Act of 2002,
Congress gave the Commission increased authority to distribute ill-
gotten gains and civil money penalties to harmed investors. To date,
the Commission has returned more than $3 billion to investors through
Fair Fund distributions.
The Commission's complaint against Bio-Heal alleged the company
improperly issued 12 million shares of its stock to several entities
without a restrictive legend based on a fraudulent attorney opinion
letter claiming they were exempt from registration with the
Commission. The complaint further alleged that two of those entities
then dumped their Bio-Heal shares on the market at the same time as
the stock was being fraudulently touted to investors over the
Internet.
The Commission obtained a final judgment by consent against Bio-Heal,
and default final judgments against the entities that received and
sold the Bio-Heal shares, in April 2006, at which time the District
Court also created the Fair Fund. The investors who were mailed
distributions today bought Bio-Heal stock during the fraudulent
touting in February, March, and April 2005.
Questions regarding the Fair Fund distribution may be directed to the
Court-appointed distribution agent, Melanie E. Damian, Esq., by:
* Visiting the fund Web site at http://www.biohealfund.com;
* Calling toll-free 1-800-648-0755;
* Writing to Melanie E. Damian, Esq. at either Damian & Valori LLP,
1000 Brickell Avenue, Suite 1020, Miami, FL, 33131 or c/o Global
Risk Solutions, Inc., P.O. Box 310130, Miami, FL, 33231. (Press
Rel. 2007-231)
ENFORCEMENT PROCEEDINGS
COMMISSION OBTAINS PRELIMINARY INJUNCTION IN ALLEGED $25 MILLION PONZI
SCHEME
On November 7, the U.S. District Court for the Eastern District of
California granted the Securities and Exchange Commission's request
and issued a preliminary injunction order prohibiting defendants
Donald Neuhaus, Kimberly Snowden, and three corporations they
controlled from engaging in future violations of antifraud and
registration provisions of the securities laws. The order includes
provisions freezing Neuhaus and Snowden's assets except for future
income up to a specific monthly pre-tax amount. The preliminary
injunction order will remain in place until trial or further order of
the Court.
The Commission's complaint alleges that Neuhaus of Redding, Calif.,
his daughter Snowden, and their company Secure Investment Services,
Inc., orchestrated a Ponzi scheme that falsely promised safe and
profitable "viatical" investments in life insurance policies while
failing to disclose the dire financial condition of the investment
venture. According to the complaint, many investors were elderly and
invested their retirement savings. The complaint further alleges that
Neuhaus and Snowden misled investors by providing them with life
expectancy estimates certified by a convicted felon who falsely held
himself out as a physician, and by representing that the investments
were protected by bonding companies that were, in fact, unlicensed
overseas firms with adverse regulatory histories.
When the Commission initiated the case, the Court appointed Michael J.
Quilling as temporary receiver over Secure Investment Services, Inc.
and the two other corporate defendants. On October 30, 2007, the Court
issued an order appointing Mr. Quilling as permanent receiver. [SEC v.
Secure Investment Services, Inc., American Financial Services, Inc.,
Lyndon Group, Inc., Donald F. Neuhaus, and Kimberly A. Snowden, Case
No. 2:07-CV-01724-LEK-CMK (E.D. Cal.] (LR-20362)
SEC FILES SETTLED BOOKS AND RECORDS AND INTERNAL CONTROLS CHARGES
AGAINST CHEVRON CORPORATION FOR IMPROPER PAYMENTS TO IRAQ UNDER THE
U.N. OIL FOR FOOD PROGRAM - - COMPANY AGREES TO PAY A TOTAL OF $30
MILLION
The Commission today filed Foreign Corrupt Practices Act books and
records and internal controls charges against Chevron Corporation
(Chevron), a California-based oil company, in the U.S. District Court
for the Southern District of New York. The Commission's complaint
alleges that from approximately April 2001 through May 2002, third
parties with which Chevron contracted paid approximately $20 million
in illegal kickback payments in connection with Chevron's purchases of
crude oil under the U.N. Oil for Food Program. Chevron knew or should
have known that third parties paid a portion of the premiums they
received from Chevron to Iraq as illegal surcharges. The Oil for Food
Program provided humanitarian relief to the Iraqi population during
the time that Iraq was subject to international trade sanctions.
However, the surcharges paid by third parties in connection with
Chevron's purchases of oil bypassed the escrow account and were
instead paid to Iraqi-controlled bank accounts in Jordan and Lebanon.
According to the Commission's Complaint:
From April 17, 2001 through May 6, 2002, Chevron purchased
approximately 78 million barrels of crude oil from Iraq pursuant to 36
contracts with third parties. Chevron's traders entered into oil
transactions with third parties that included the payment of $20
million in illegal surcharges to Iraq. In January 2001, after learning
of surcharge demands by Iraq's State Oil Marketing Organization
("SOMO"), Chevron implemented a company-wide policy prohibiting the
payment of surcharges in connection with the purchase of Iraqi oil
from third parties. Among other things, the policy required traders to
obtain prior written approval for all proposed Iraqi oil purchases,
and charged management with reviewing each proposed Iraqi oil deal.
Chevron's traders did not follow the company-wide policy and Chevron's
management was unsuccessful in ensuring its compliance. Despite being
required to consider the identity, experience and reputation of a
third party seller prior to approving a proposed Iraqi oil purchase,
Chevron's management relied on its trader's representations. In one
such instance, a credit check by Chevron of a proposed third party
seller revealed that the seller was a "brass plate company." This
meant that the company had no experience in the oil business, no real
business operations, and no known assets. Despite concerns on the part
of Chevron's management, Chevron entered into two transactions to
purchase three million barrels of oil from the third party in January
2002. Illegal surcharges were paid on both of these transactions and
passed back to Chevron in inflated premiums.
At least one trader responsible for a large portion of Chevron's
purchases from Iraq factored the cost of the surcharge payments into
price negotiations with third parties. One third party seller, whose
company on occasion sold oil to Chevron, stated that the trader he
dealt with at Chevron and the trader's bosses always knew about the
illegal surcharge demands by Iraq. At one point, the Chevron trader
even asked the third party seller to persuade Iraq to reduce the
amount of its surcharges. Chevron's own internal documents show that
it was well aware of the costs of doing business with Iraq. Chevron's
premium payments to third parties increased after Iraq's surcharge
demands began. Despite the obvious increase in premiums, Chevron's
management routinely approved the Iraqi oil purchases proposed by
Chevron's traders. Chevron failed to devise and maintain a system of
internal accounting controls to detect and prevent such illicit
payments. Chevron's accounting for its Oil for Food transactions
failed properly to record the true nature of the company's payments to
third parties.
Chevron, without admitting or denying the allegations in the
Commission's complaint, consented to the entry of a final judgment
permanently enjoining it from future violations of Sections
13(b)(2)(A) and 13(b)(2)(B) of the Securities Exchange Act of 1934,
ordering it to disgorge $25,000,000 in profits, and to pay a civil
penalty of $3,000,000. Chevron will satisfy its disgorgement
obligation by forfeiting $20,000,000 pursuant to an agreement with the
U.S. Attorney's Office for the Southern District of New York and
paying disgorgement of $5,000,000 pursuant to an agreement with the
Manhattan District Attorney's Office. Chevron will also pay the Office
of Foreign Asset Controls of the U.S. Department of Treasury a penalty
of $2,000,000.
Since being approached by the Commission's staff, Chevron has
cooperated with the Commission's investigation, which is continuing.
The Commission acknowledges the assistance of the United States
Attorney's Office for the Southern District of New York, the Manhattan
District Attorney's Office, the Office of Foreign Asset Controls of
the U.S. Department of Treasury, and the United Nations Independent
Inquiry Committee.
See also SEC v. El Paso Corp., LR-19991 (Feb. 7, 2007); SEC v.
Textron, LR-20251 (Aug. 23, 2007); SEC v. York Int'l., LR-20319 (Oct.
1, 2007); and SEC v. Ingersoll-Rand Co. Ltd., LR-20353 (Oct. 31,
2007). [SEC v. Chevron Corporation, 07 CIV 10299 (S.D.N.Y.) (SHS)]
(LR-20363; Press Rel. 2007-230)
SELF-REGULATORY ORGANIZATIONS
PROPOSED RULE CHANGES
The Commission issued notice of filing of a proposed rule change (SR-
Phlx-2007-83) submitted by the Philadelphia Stock Exchange relating to
amending By-Law Article X, Section 10-11. Publication is expected in
the Federal Register during the week of November 12. (Rel. 34-56775)
The New York Stock Exchange filed a proposed rule change (SR-NYSE-
2007-87) and Amendment No. 1 thereto to incorporate certain
definitions of Exchange Act Rules 13d-1 and 13d-3 into NYSE Rule 460.
Publication is expected in the Federal Register during the week of
November 12. (Rel. 34-56777)
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE
The Commission issued notice of immediate effectiveness of a proposed
rule change (SR-Phlx-2007-81) filed by the Philadelphia Stock Exchange
relating to the Exchange's automated opening system. Publication is
expected in the Federal Register during the week of November 12. (Rel.
34-56776)
APPROVAL OF PROPOSED RULE CHANGE
The Commission noticed and granted accelerated approval to a
proposed rule change by the American Stock Exchange (SR-Amex-2007-100)
to list and trade options on shares of the iShares MSCI Mexico Index
Fund. Publication is expected in the Federal Register during the week
of November 12. (Rel. 34-56778)
SEC APPROVES PUBLICATION OF A NOTICE REQUESTING COMMENT ON EXEMPTIVE
REQUEST BY THE NATIONAL ASSOCIATION OF REALTORS®
On November 9, the Commission approved publication of a notice seeking
comment on a request from the National Association of Realtors® for an
exemption from broker-dealer registration and certain other
requirements to permit certain licensed commercial real estate agents
and their firms to receive transaction-based compensation in
connection with the sale of securities involving tenant-in-common
interests in real property. The notice may be found on the SEC Web
site at http://www.sec.gov/rules/other.shtml. Comments on this request
should be received by the Commission on or before 30 days after the
notice is published in the Federal Register. Publication is expected
in the Federal Register during the week of November 19. (Rel. 34-
56779)
JOINT INDUSTRY PLAN RELEASES
ORDER APPROVING JOINT AMENDMENT NO. 23
The Commission has approved a joint amendment to the Plan for the
Purpose of Creating and Operating an Intermarket Option Linkage
submitted under Rule 608 of the Securities Exchange Act of
1934 by the American Stock Exchange LLC, Boston Stock Exchange,
Inc., Chicago Board Options Exchange, Incorporated, International
Securities Exchange, LLC, NYSE Arca, Inc., and Philadelphia Stock
Exchange, Inc. to permit the use of Linkage prior to the opening
of trading. Publication is expected in the Federal Register during
the week of November 19. (Rel. 34-56780)
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.
SB-2 Novori Inc., 5450 152ND STREET SUITE 105, SURREY, A1, V3S 5J9,
778-571-0880 - 4,000,000 ($1,480,000.00) Debt Convertible into Equity,
641,000 ($237,170.00) Equity, (File 333-147303 - Nov. 13) (BR. 02C)
S-1 iStar Acquisition Corp., 1114 AVENUE OF THE AMERICAS, 39TH FLOOR,
NEW YORK, NY, 10036, 212 930 9489 - 0 ($1,006,125,000.00) Other,
(File 333-147305 - Nov. 13) (BR. 01)
S-3ASR AFFYMETRIX INC, 3420 CENTRAL EXPRESSWAY, SANTA CLARA, CA, 95051,
4087315000 - 0 ($0.00) Debt Convertible into Equity, (File 333-147306 -
Nov. 13) (BR. 10A)
SB-2 Vicor Technologies, Inc., 2300 CORPORATE BOULEVARD NW, SUITE 123,
BOCA RATON, FL, 33432, 561 995-7313 - 0 ($2,052,960.00) Equity,
(File 333-147308 - Nov. 13) (BR. 10C)
S-3ASR FISERV INC, 255 FISERV DR, PO BOX 979, BROOKFIELD, WI, 53045,
4148795000 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-147309 - Nov. 13) (BR. 03B)
S-3 SUPERTEL HOSPITALITY INC, 309 NORTH FIFTH STREET, NORFOLK, NE, 68701,
4023712520 - 0 ($100,000,000.00) Equity, (File 333-147310 - Nov. 13)
(BR. 08B)
S-8 NATURAL GAS SERVICES GROUP INC, 2911 SCR 1260, MIDLAND, TX, 79706,
9155633974 - 0 ($7,648,000.00) Equity, (File 333-147311 - Nov. 13)
(BR. 04B)
S-1 INITIATE SYSTEMS INC, 200 WEST MADISON STREET, SUITE 2300, CHICAGO, IL,
60606, 3127595030 - 0 ($75,000,000.00) Equity, (File 333-147312 -
Nov. 13) (BR. 03)
S-3 QUESTAR PIPELINE CO, 180 E 100 SOUTH STREET, P O BOX 45360,
SALT LAKE CITY, UT, 84145, 8013242400 - 0 ($200,000,000.00) Debt,
(File 333-147313 - Nov. 13) (BR. 02C)
S-8 NEW FRONTIER MEDIA INC, 7007 WINCHESTER CIRCLE, SUITE 200, BOULDER, CO,
80301, 3037868700 - 1,250,000 ($7,312,500.00) Equity,
(File 333-147314 - Nov. 13) (BR. 05B)
S-8 GOLDEN TELECOM INC, 1 KOZHEVNICHESKY PROEZD, MOSCOW, 1Z, 115114,
7-095-797-9300 - 1,000,000 ($100,380,000.00) Equity, (File 333-147315 -
Nov. 13) (BR. 11C)
F-10 QUEBECOR WORLD INC, 612 ST JACQUES ST, MONTREAL QUEBEC CANA, E6, 00000,
5149540101 - 0 ($220,000,000.00) Equity, (File 333-147316 - Nov. 13)
(BR. 05C)
S-3 QUESTAR GAS CO, 180 E FIRST SOUTH ST, PO BOX 45433, SALT LAKE CITY, UT,
84145-0433, 8013245555 - 0 ($150,000,000.00) Debt, (File 333-147317 -
Nov. 13) (BR. 02B)
SB-2 AIDA PHARMACEUTICALS INC, 31 DINGJIANG RD, JIANGGAN DISTRICT, HANGZHOU,
F4, 310016, 86-0571-85802712 - 6,100,000 ($10,761,000.00) Equity,
(File 333-147318 - Nov. 13) (BR. 01B)
S-8 NT MEDIA CORP OF CALIFORNIA INC, 7800 OCEANUS DRIVE, LOS ANGELES, CA,
9003690046, 323-445-4833 - 400,000 ($28,000.00) Equity,
(File 333-147319 - Nov. 13) (BR. 05B)
S-4 Ascend Acquisition Corp., 435 DEVON PARK DRIVE, BUILDING 400, WAYNE,
PA, 19087, 610-293-2512 - 0 ($132,147,439.00) Equity,
(File 333-147320 - Nov. 13) (BR. 09)
F-6 CHUNGHWA TELECOM CO LTD, 21 3 HSINYI RD SECTION 1,
TAIPE TAIWAN REPUBLIC OF CHINA, TAIPE TAIWAN, F5, 00000, 8862234454 -
1,000,000,000 ($50,000,000.00) ADRs/ADSs, (File 333-147321 - Nov. 13)
(BR. 11C)
S-3ASR BreitBurn Energy Partners L.P., 515 SOUTH FLOWER STREET, SUITE 4800,
LOS ANGELES, CA, 90071, (213) 225-5900 - 0 ($0.00) Equity,
(File 333-147322 - Nov. 13) (BR. 04C)
SB-2 QUUIBUS TECHONOLOGY INC, 114 WEST MAGNOLIA STREET, 400 136, BELLINGHAM,
WA, 98225, 360 392 2830 - 1,200,000 ($60,000.00) Equity,
(File 333-147323 - Nov. 13) (BR. 03)
SB-2 KODIAK ENERGY, INC., 734 - 7TH AVENUE S.W., SUITE 460, CALGARY, A0,
T2P 3P8, 403 262-8044 - 13,920,284 ($47,493,986.80) Equity,
(File 333-147325 - Nov. 13) (BR. 04B)
F-3 eFuture Information Technology Inc., BLOCK A BUILDING NO. 10,
NO. 1 DISHENG NORTH STREET, BDA, BEIJING, F4, 100176, 01051650998 -
0 ($1,926,950.00) Equity, (File 333-147329 - Nov. 13) (BR. 03B)
SB-2 EMY'S SALSA AJI DISTRIBUTION COMPANY, INC., P.O. BOX 7, ELLICOTT CITY,
MD, 21041, (443)742-2134 - 1,887,500 ($94,375.00) Equity,
(File 333-147330 - Nov. 13) (BR. 02)
S-8 STARRETT L S CO, 121 CRESCENT ST, ATHOL, MA, 01331, 978-249-3551 -
500,000 ($7,767,750.00) Equity, (File 333-147331 - Nov. 13) (BR. 06C)
SB-2 Exobox Technologies Corp., 6303 BEVERLY HILL, SUITE 210, HOUSTON, TX,
77057, 7137816173 - 2,485,000 ($4,970,000.00) Equity,
(File 333-147332 - Nov. 13) (BR. 03B)
S-8 State Auto Financial CORP, 518 EAST BROAD STREET, COLUMBUS, OH, 43215,
6144645000 - 1,000,000 ($25,900,000.00) Equity, (File 333-147333 -
Nov. 13) (BR. 01C)
S-8 NovaBay Pharmaceuticals, Inc., 5980 HORTON STREET, SUITE 550,
EMERYVILLE, CA, 94608, (510) 899-8800 -
4,156,280 ($15,793,864.00) Equity, (File 333-147334 - Nov. 13) (BR. 01B)
S-8 INHIBITEX, INC., 9005 WESTSIDE PARKWAY, ALPHARETTA, GA, 30004,
678-746-1100 - 0 ($6,285,006.00) Equity, (File 333-147335 - Nov. 13)
(BR. 01B)
S-8 PAIN THERAPEUTICS INC, 2211 BRIDGEPOINTE PARKWAY, SUITE 500, SAN MATEO,
CA, 94404, 6506248200 - 2,250,000 ($24,160,000.00) Equity,
(File 333-147336 - Nov. 13) (BR. 01B)
S-8 SYSCO CORP, 1390 ENCLAVE PKWY, HOUSTON, TX, 77077, 281-584-1390 -
36,000,000 ($1,212,120,000.00) Equity, (File 333-147338 - Nov. 13)
(BR. 02C)
S-1 HSW International, Inc., 3350 PEACHTREE ROAD, SUITE 1500, ATLANTA, GA,
30326, (404) 364-5823 - 0 ($36,414,000.00) Equity, (File 333-147339 -
Nov. 13) (BR. 11A)
SB-2 Vein Associates of America Inc, 400 INTERNATIONAL PARKWAY, SUITE 101,
HEALTHROW, FL, 32746, 407-708-5827 - 10,005,389 ($1,100,592.79) Equity,
(File 333-147340 - Nov. 13) (BR. 09)
SB-2 AURORA GOLD CORP, 30 LEDGAR ROAD, BALCATTA, WA, AUSTRALIA, 6021, C3,
00000, 61-8-9240-2836 - 10,750,000 ($3,440,000.00) Equity,
(File 333-147341 - Nov. 13) (BR. 04C)
S-8 ASYST TECHNOLOGIES INC, 46897 BAYSIDE PARKWAY, FREMONT, CA, 94538,
5106615000 - 0 ($3,935,000.00) Equity, (File 333-147342 - Nov. 13)
(BR. 10A)
N-2 ING Infrastructure Development Equity Fund,
7337 E. DOUBLETREE RANCH ROAD, SCOTTSDALE, AZ, 85258, 8009920180 -
0 ($1,000,000.00) Equity, (File 333-147343 - Nov. 13) (BR. )
S-8 RIMAGE CORP, 7725 WASHINGTON AVE S, EDINA, MN, 55439, 6129448144 -
730,320 ($17,513,073.60) Equity, (File 333-147344 - Nov. 13) (BR. 03A)
S-8 US MICROBICS INC, 6451 EL CAMINO REAL #C, CARLSBAD, CA, 92009,
7609181860 - 50,000,000 ($150,000.00) Equity, (File 333-147345 -
Nov. 13) (BR. 06A)
S-8 New Abraxis, Inc., 11755 WILSHIRE BLVD., 20TH FLOOR, LOS ANGELES, CA,
90025, 310-883-1300 - 0 ($117,976,636.00) Equity, (File 333-147347 -
Nov. 13) (BR. 01A)
SB-2 TheRetirementSolution.com, Inc., 378 NORTH MAIN, SUITE 124, LAYTON, UT,
84041, 8014979075 - 20,652,500 ($5,558,100.00) Equity,
(File 333-147348 - Nov. 13) (BR. 02C)
SB-2 China Power Equipment, Inc., 11 EAST 86TH STREET, SUITE 19 B, NEW YORK,
NY, 10028, 1-646-623-6999 - 8,043,800 ($4,946,937.00) Other,
(File 333-147349 - Nov. 13) (BR. )
F-1 WSP Holdings LTD, NO. 38 ZHUJIANG ROAD, XINQU, WUXI, JIANGSU PROVINCE,
F4, 214028, 86-510-8522-6351 - 0 ($287,500,000.00) Equity,
(File 333-147351 - Nov. 13) (BR. )
S-8 Cryoport, Inc., 451 ATLAS ST., BREA, CA, 92821-3118, 714-256-6100 -
150,000 ($147,000.00) Equity, (File 333-147352 - Nov. 13) (BR. 06C)
S-8 RELM WIRELESS CORP, 7100 TECHNOLOGY DRIVE, WEST MELBOURNE, FL, 32904,
321-984-1414 - 815,000 ($3,105,150.00) Equity, (File 333-147354 -
Nov. 13) (BR. 11A)
S-1 Hong Kong Highpower Technology, Inc., BLDG A1 LUOSHAN INDUSTRIAL ZONE,
SHANXIA PINGHU LONGGANG, SHENZHEN GUANGDONG, F4, 518111,
86 755 896 86238 - 4,834,327 ($19,337,308.00) Equity,
(File 333-147355 - Nov. 13) (BR. 09)
S-8 Och-Ziff Capital Management Group LLC, 9 WEST 57TH STREET SUITE 1300,
NEW YORK, NY, 10019, (212)790-0041 - 0 ($1,906,928,562.00) Equity,
(File 333-147356 - Nov. 13) (BR. 06B)
S-3 ANESIVA, INC., 650 GATEWAY BOULEVARD, --, SOUTH SAN FRANCISCO, CA,
94080, 6506249600 - 0 ($50,000,000.00) Other, (File 333-147357 -
Nov. 13) (BR. 01A)
S-8 HOOPER HOLMES INC, 170 MT AIRY ROAD, BASKING RIDGE, NJ, 07920,
9087665000 - 4,870,292 ($15,920,666.00) Equity, (File 333-147358 -
Nov. 13) (BR. 09B)
S-8 INFORMATICA CORP, 100 CARDINAL WAY, REDWOOD CITY, CA, 94063,
6503855000 - 0 ($98,630,066.00) Equity, (File 333-147359 - Nov. 13)
(BR. 03C)
SB-2 AVIATION UPGRADE TECHNOLOGIES INC, 24040 CAMINO DEL AVION, #A303,
MONARCH BEACH, CA, 92629, 5,132,417 ($13,228,804.00) Equity,
(File 333-147360 - Nov. 13) (BR. 05A)
N-2 Kiewit Investment Fund LLLP, 73 TREMONT STREET, BOSTON, MA, 02108,
800-443-4306 - 0 ($50,000,000.00) Limited Partnership Interests,
(File 333-147361 - Nov. 13) (BR. 22)
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
------------------------------------------------------------------------------------------------------
180 Connect Inc. DE 2.02,9.01 11/13/07
3DICON CORP 5.02,9.01 11/07/07
AAR CORP DE 1.01,8.01,9.01 11/08/07
ABRAXAS PETROLEUM CORP NV 2.02,4.02,7.01,9.01 11/13/07
Abraxis BioScience, Inc. DE 1.01,2.01,5.02,9.01 11/13/07
ACCEPTANCE INSURANCE COMPANIES INC DE 8.01,9.01 11/08/07
ACME COMMUNICATIONS INC DE 2.02 11/13/07
ACTUANT CORP WI 5.02,9.01 11/07/07
ACXIOM CORP DE 1.01,5.02,7.01,9.01 11/13/07
ADAMS RESOURCES & ENERGY, INC. DE 2.02 11/13/07
ADDVANTAGE TECHNOLOGIES GROUP INC OK 7.01 11/08/07
ADOBE SYSTEMS INC DE 5.02,9.01 11/09/07
AFFYMAX INC 2.02,9.01 11/12/07
AIR INDUSTRIES GROUP, INC. DE 9.01 08/24/07 AMEND
ALLEGHENY TECHNOLOGIES INC DE 7.01,9.01 11/13/07
ALLIED DEFENSE GROUP INC DE 2.02,9.01 11/09/07
ALLSCRIPTS HEALTHCARE SOLUTIONS INC DE 7.01,9.01 11/13/07
Alpha Security Group CORP DE 5.02,9.01 11/08/07
ALPINE AIR EXPRESS INC/DE DE 8.01 11/09/07
Alsius Corp DE 2.02,9.01 11/13/07
ALTERNATIVE ENERGY SOURCES INC 1.01,8.01,9.01 11/09/07
ALTRIA GROUP, INC. VA 8.01,9.01 11/13/07
AMBAC FINANCIAL GROUP INC DE 7.01,9.01 11/09/07
AMEREX GROUP, INC. OK 5.02 11/07/07
AMERICAN BILTRITE INC DE 2.02,9.01 11/07/07
AMERICAN BIO MEDICA CORP NY 3.01 11/12/07
AMERICAN DG ENERGY INC DE 2.02,9.01 11/13/07
AMERICAN INDEPENDENCE CORP DE 2.02,9.01 09/30/07
AMERICAN TECHNOLOGY CORP /DE/ DE 4.01,9.01 09/19/07 AMEND
American Tire Distributors Holdings, 7.01 11/13/07
AMERISOURCEBERGEN CORP DE 5.02,5.03,8.01,9.01 11/07/07
AMERON INTERNATIONAL CORP DE 1.01,3.03,9.01 11/12/07
AMICUS THERAPEUTICS INC DE 1.01,5.02,8.01,9.01 11/07/07
AMSCAN HOLDINGS INC DE 1.01 11/02/07
Amtrust Financial Services, Inc. DE 2.01,9.01 09/07/07 AMEND
ANADARKO PETROLEUM CORP DE 5.02,9.01 11/06/07
ANNTAYLOR STORES CORP DE 5.02,9.01 11/09/07
APEX SILVER MINES LTD 2.02,9.01 11/09/07
Apple REIT Eight, Inc. VA 2.01,9.01 11/09/07
APPLETON PAPERS INC/WI 2.02,9.01 11/12/07
APPLIED INDUSTRIAL TECHNOLOGIES INC OH 8.01 11/09/07
Approach Resources Inc DE 1.01,9.01 11/07/07
ARC WIRELESS SOLUTIONS INC UT 2.02,9.01 11/12/07
Argyle Security Acquisition CORP 2.02,9.01 11/13/07
ARIZONA LAND INCOME CORP AZ 1.01,9.01 11/09/07
AROTECH CORP DE 2.02,9.01 11/12/07
ARTES MEDICAL INC 2.02,9.01 11/13/07
ARYx Therapeutics, Inc. DE 5.03,9.01 11/13/07
ASCENDIA BRANDS, INC. DE 1.01,7.01,8.01,9.01 11/09/07
Aslahan Enterprises Ltd. NV 2.01,3.02,4.01,5.01,5.02,5.06, 11/13/07
9.01
ASPEN INSURANCE HOLDINGS LTD D0 1.01,2.03 11/09/07
ASSISTED LIVING CONCEPTS INC NV 2.02,9.01 11/12/07
ASSURANT INC 5.02,9.01 11/09/07
Assured Pharmacy, Inc. NV 4.02 11/08/07
ATARI INC DE 1.01,2.05,5.02,8.01,9.01 11/06/07
ATLANTIC AMERICAN CORP GA 2.02,9.01 09/30/07
ATLAS MINING CO ID 5.02,9.01 11/05/07
ATS CORP DE 1.01,2.01,3.02,8.01,9.01 11/09/07
AURELIO RESOURCE CORP NV 8.01,9.01 11/13/07
AUTODESK INC DE 5.02,9.01 11/06/07
AUTOMATIC DATA PROCESSING INC DE 5.02,5.03,9.01 11/13/07
AVANIR PHARMACEUTICALS CA 1.01 11/09/07
AVERY DENNISON CORPORATION DE 8.01,9.01 11/13/07
AVIATION UPGRADE TECHNOLOGIES INC 2.01,3.02,5.02,5.06,8.01,9.01 11/12/07
AVP INC DE 2.02,9.01 11/12/07
AXESSTEL INC NV 2.02,9.01 11/12/07
AXS ONE INC DE 2.02,9.01 11/13/07
BALCHEM CORP MD 2.02,9.01 11/05/07
BANCINSURANCE CORP OH 2.02,9.01 11/13/07
BANK OF AMERICA CORP /DE/ DE 7.01,9.01 11/13/07
BANK OF GRANITE CORP DE 2.02,4.02,9.01 11/08/07
Bank of New York Mellon CORP 8.01,9.01 11/13/07
Barrington Broadcasting Group LLC DE 2.02,7.01,9.01 11/09/07
BARRY R G CORP /OH/ OH 2.02,9.01 11/12/07
BB&T CORP NC 7.01 11/13/07
BB&T CORP NC 7.01 11/13/07
BERKSHIRE HILLS BANCORP INC 7.01,9.01 11/13/07
BFC FINANCIAL CORP FL 2.02,9.01 11/09/07
BH RE LLC NV 5.02,9.01 09/01/07
Bidz.com, Inc. CA 2.02,9.01 11/12/07
BIOANALYTICAL SYSTEMS INC IN 5.02,9.01 11/06/07
BIOCRYST PHARMACEUTICALS INC DE 5.02,5.03,9.01 11/06/07
BIOMIMETIC THERAPEUTICS, INC. DE 2.02,9.01 11/13/07
BIONOVO INC DE 2.02,9.01 11/13/07
BIOSANTE PHARMACEUTICALS INC DE 2.02,9.01 11/13/07
Birmingham Bloomfield Bancshares MI 5.02 10/22/07
BIRNER DENTAL MANAGEMENT SERVICES INC CO 2.02,9.01 11/13/07
BlackRock Kelso Capital CORP DE 2.02,7.01,9.01 11/07/07
Blackstone Group L.P. DE 2.02,9.01 11/12/07
BLONDER TONGUE LABORATORIES INC DE 5.03,9.01 11/07/07
BLOUNT INTERNATIONAL INC DE 1.01,2.01,9.01 11/05/07
BLUE HOLDINGS, INC. NV 2.02,9.01 11/13/07
BMW Vehicle Lease Trust 2007-1 8.01,9.01 11/13/07
BOSTON SCIENTIFIC CORP DE 1.01,9.01 11/07/07
BOWNE & CO INC DE 2.01,9.01 11/07/07
BreitBurn Energy Partners L.P. DE 8.01,9.01 11/13/07
BreitBurn Energy Partners L.P. DE 2.02,9.01 11/13/07
Bristow Group Inc DE 1.01,2.03,8.01,9.01 11/07/07
BROADCASTER INC CA 5.02 11/06/07
BROADRIDGE FINANCIAL SOLUTIONS, INC. DE 2.02,9.01 11/13/07
BRODER BROS CO MI 2.02,9.01 11/13/07
BROOKS AUTOMATION INC DE 5.02,8.01,9.01 11/08/07
Bunge LTD 3.03,8.01,9.01 11/13/07
Burlington Coat Factory Investments H 5.02,9.01 11/12/07
BUSINESS OBJECTS S.A. 8.01,9.01 11/08/07
CABOT OIL & GAS CORP DE 5.02 11/08/07
CAGLES INC GA 8.01 11/09/07
CALPINE CORP DE 7.01,9.01 11/12/07
Calumet Specialty Products Partners, DE 1.01,2.03,9.01 11/06/07
CAMBRIDGE HEART INC DE 2.02,9.01 11/12/07
CANO PETROLEUM, INC 3.02 11/07/07
CAPITAL TRUST INC MD 7.01,9.01 11/13/07
CARDIOTECH INTERNATIONAL INC MA 2.02,7.01,9.01 11/13/07
Care Investment Trust Inc. MD 2.02,7.01,9.01 11/12/07
CAREGUIDE INC DE 2.02 09/30/07
Caribou Coffee Company, Inc. MN 5.02,9.01 11/12/07
CARMIKE CINEMAS INC DE 5.03,7.01,9.01 11/09/07
Castle Brands Inc 2.02,9.01 11/13/07
Castle Brands Inc 5.02,9.01 11/12/07
CATAPULT COMMUNICATIONS CORP CA 5.02,9.01 11/06/07
CBRE Realty Finance Inc 2.02,7.01,9.01 11/12/07
CECO ENVIRONMENTAL CORP DE 2.02,9.01 11/12/07
CENTURY ALUMINUM CO DE 1.01 11/06/07
CHARLES & COLVARD LTD NC 1.01,9.01 11/12/07
CHART INDUSTRIES INC DE 2.02,9.01 11/13/07
CHATTEM INC TN 5.02,5.03,9.01 11/07/07
CHEESECAKE FACTORY INC DE 8.01,9.01 11/08/07
Cheniere Energy Partners, L.P. DE 8.01,9.01 11/12/07
CHEROKEE INTERNATIONAL CORP DE 2.02,9.01 11/12/07
CHILCO RIVER HOLDINGS INC 5.02 11/12/07
CHINA BIOPHARMA, INC. DE 5.02 11/13/07
CHINA FIRE & SECURITY GROUP, INC. 2.02,7.01,9.01 11/13/07
China Precision Steel, Inc. CO 8.01,9.01 11/13/07
CHINA RECYCLING ENERGY CORP 1.01,9.01 11/12/07
China VoIP & Digital Telecom Inc. NV 8.01,9.01 11/13/07
CINTEL CORP NV 9.01 08/27/07 AMEND
Cistera Networks, Inc. NV 2.02,9.01 11/09/07
Claymont Steel Holdings, Inc. DE 2.02,9.01 11/09/07
Clearpoint Business Resources, Inc DE 2.02,9.01 11/13/07
CMS Bancorp, Inc. DE 8.01,9.01 11/09/07
COAST DISTRIBUTION SYSTEM INC DE 2.02,9.01 11/13/07
COAST FINANCIAL HOLDINGS INC 7.01 11/09/07
COHESANT TECHNOLOGIES INC DE 1.01,2.03,9.01 11/09/07
COINMACH SERVICE CORP DE 8.01,9.01 11/09/07
COLLECTIVE BRANDS, INC. DE 5.05 11/08/07
COLOMBIA GOLDFIELDS LTD 2.02,9.01 11/13/07
COLORADO GOLDFIELDS INC. NV 1.01,4.01,9.01 11/08/07
COLOURED (US) INC. NV 1.01,3.02,9.01 11/07/07
Command Center, Inc. WA 5.02,9.01 11/07/07
COMMUNITY TRUST BANCORP INC /KY/ KY 7.01,9.01 11/13/07
COMPUCREDIT CORP GA 7.01 11/13/07
COMPUTER SOFTWARE INNOVATIONS INC 2.02,9.01 11/13/07
COMTEX NEWS NETWORK INC DE 2.02,9.01 11/13/07
Conihasset Capital Partners, Inc. DE 3.01,9.01 11/09/07
CONSECO INC DE 7.01,9.01 11/12/07
CONSOLIDATED WATER CO LTD E6 2.02,9.01 11/09/07
CONSTAR INTERNATIONAL INC DE 2.02,9.01 11/13/07
CONSUMER PORTFOLIO SERVICES INC CA 7.01,9.01 11/13/07
CONTANGO OIL & GAS CO DE 2.02,8.01,9.01 11/06/07
CORNING INC /NY NY 7.01,9.01 11/13/07
Corporate Property Associates 17 - Gl MD 7.01 11/09/07
COUNTRYWIDE FINANCIAL CORP DE 2.02,9.01 11/13/07
CPG INTERNATIONAL INC. DE 7.01,9.01 11/13/07
CPI AEROSTRUCTURES INC NY 2.02,5.03,9.01 11/06/07
CPS TECHNOLOGIES CORP/DE/ DE 2.02 09/29/07
CRC Health CORP DE 2.02,9.01 11/13/07
CRONOS GLOBAL INCOME FUND XVI LP CA 8.01,9.01 11/12/07
CRYOCOR INC DE 2.02,9.01 11/13/07
CRYOCOR INC DE 5.02 11/08/07
Crystal River Capital, Inc. MD 2.02,9.01 11/08/07 AMEND
CULP INC NC 5.03,9.01 11/12/07
Customer Acquisition Network Holdings DE 4.01,9.01 11/13/07
CYBEROPTICS CORP MN 5.03,9.01 11/09/07
CYGNE DESIGNS INC DE 2.05 11/08/07
CYTOGEN CORP DE 5.02,9.01 11/06/07
CYTRX CORP DE 4.02 11/06/07
DATATRAK INTERNATIONAL INC OH 2.02,9.01 11/08/07
DCP Midstream Partners, LP DE 5.02,9.01 11/06/07
DentalServ.com NV 1.01,3.02,3.03,5.01,5.02,5.03, 08/14/07 AMEND
5.06,9.01
DIAMOND OFFSHORE DRILLING INC DE 7.01,9.01 11/12/07
DIGITAL POWER CORP CA 2.02,9.01 11/08/07
DigitalFX International Inc FL 1.01,3.02 11/06/07
Discover Financial Services DE 7.01,9.01 11/13/07
Dolby Laboratories, Inc. DE 1.01,2.01,9.01 11/08/07
DOV PHARMACEUTICAL INC DE 2.02,9.01 11/13/07
DREAMS INC UT 5.02 11/08/07
DREW INDUSTRIES INC DE 8.01,9.01 11/05/07
DRI CORP NC 2.02,7.01,9.01 11/13/07
DRYCLEAN USA INC DE 2.02,5.03,9.01 11/09/07
Duff & Phelps Corp DE 2.02,9.01 11/13/07
Duke Energy CORP DE 5.04,9.01 11/07/07
DUPONT E I DE NEMOURS & CO DE 8.01 11/13/07
DURA AUTOMOTIVE SYSTEMS INC DE 5.01,9.01 11/01/07
Dynamic Response Group, Inc. DE 8.01,9.01 11/12/07
DYNASIL CORP OF AMERICA NJ 5.02 11/08/07
Eagle Bulk Shipping Inc. 1.01,3.03,5.03,9.01 11/09/07
EAGLE ROCK ENERGY PARTNERS L P DE 7.01,9.01 11/12/07
EASTMAN KODAK CO NJ 2.06 11/08/07
EAU TECHNOLOGIES, INC. DE 3.02,5.02,9.01 11/08/07
Echo Healthcare Acquisition Corp. DE 8.01,9.01 09/30/07
ECOLAB INC DE 8.01,9.01 11/09/07
Eddie Bauer Holdings, Inc. DE 2.02,5.02,9.01 11/12/07
EINSTEIN NOAH RESTAURANT GROUP INC DE 2.02,9.01 11/08/07
EL PASO CORP/DE DE 2.02,9.01 11/06/07 AMEND
ELECTRONICS FOR IMAGING INC DE 5.02,9.01 11/07/07
ELITE PHARMACEUTICALS INC /DE/ DE 8.01,9.01 11/09/07
EMAK Worldwide, Inc. DE 2.02,9.01 09/30/07
EMERITUS CORP\WA\ WA 2.02 11/12/07
Emrise CORP DE 1.01,9.01 11/07/07
Encore Bancshares Inc TX 7.01,9.01 11/13/07
Encore Energy Partners LP DE 7.01,9.01 11/12/07
ENCORIUM GROUP INC NV 2.02,9.01 11/12/07
ENCORIUM GROUP INC NV 5.02,9.01 11/12/07
Energy Transfer Equity, L.P. DE 1.01,3.03,5.03,7.01,9.01 11/07/07
Energy Transfer Partners, L.P. DE 3.03,5.03,9.01 11/13/07
ENERGY XXI (BERMUDA) LTD D0 2.02,9.01 09/30/07
ENZON PHARMACEUTICALS INC DE 5.02,9.01 11/06/07
ES Bancshares, Inc. MD 8.01,9.01 11/13/07
ESCO TECHNOLOGIES INC MO 2.02,5.02,5.03,7.01,9.01 11/12/07
ESCO TECHNOLOGIES INC MO 7.01,9.01 11/13/07
ETRIALS WORLDWIDE INC. 2.02,9.01 11/13/07
EVANS BOB FARMS INC DE 2.02,9.01 11/12/07
ExlService Holdings, Inc. DE 2.02,9.01 11/13/07
Federal Home Loan Bank of Atlanta X1 2.03 11/07/07
Federal Home Loan Bank of Boston X1 2.03 11/07/07
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 11/08/07
Federal Home Loan Bank of Dallas 2.03 11/07/07
Federal Home Loan Bank of Des Moines X1 2.03,9.01 11/08/07
Federal Home Loan Bank of Des Moines X1 2.02,7.01,9.01 11/13/07
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 11/07/07
Federal Home Loan Bank of New York X1 2.03,9.01 11/07/07
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 11/07/07
Federal Home Loan Bank of San Francis X1 2.03 11/07/07
Federal Home Loan Bank of Seattle 2.03 11/13/07
Federal Home Loan Bank of Topeka 2.03 11/07/07
FEDERAL NATIONAL MORTGAGE ASSOCIATION 2.02,9.01 11/09/07 AMEND
FIELDPOINT PETROLEUM CORP CO 7.01,9.01 11/09/07
FIELDPOINT PETROLEUM CORP CO 7.01,9.01 11/09/07
FINISH LINE INC /IN/ IN 8.01,9.01 11/12/07
FINLAY ENTERPRISES INC /DE DE 1.01,1.02,2.01,2.03,8.01,9.01 11/09/07
FINLAY FINE JEWELRY CORP DE 1.01,1.02,2.01,2.03,8.01,9.01 11/09/07
FIRST BANCTRUST CORP DE 5.03 11/13/07
FIRST BUSEY CORP /NV/ NV 1.01,1.02,2.02,8.01,9.01 11/07/07
FIRST FINANCIAL BANCORP /OH/ OH 7.01,9.01 11/13/07
FIRST FINANCIAL HOLDINGS INC /DE/ DE 7.01,9.01 11/13/07
FIRST FINANCIAL HOLDINGS INC /DE/ DE 7.01,9.01 11/13/07
FIRST LITCHFIELD FINANCIAL CORP DE 2.02,9.01 11/13/07
FIRST NATIONAL COMMUNITY BANCORP INC PA 8.01,9.01 11/13/07
FIRSTWAY ENTERPRISES, INC. DE 5.01,5.02 10/19/07 AMEND
FISERV INC WI 1.01,2.03,8.01,9.01 11/09/07
FISERV INC WI 7.01,9.01 08/02/07 AMEND
FLIR SYSTEMS INC OR 8.01 11/07/07
FMC TECHNOLOGIES INC DE 7.01,9.01 11/08/07
FOG CUTTER CAPITAL GROUP INC MD 2.02,9.01 11/13/07
FOLDERA, INC 2.05,5.02 11/07/07
Fortunet, Inc. NV 5.02,8.01,9.01 11/12/07
FOSSIL INC DE 2.02,9.01 11/13/07
FRANKLIN COVEY CO UT 8.01,9.01 11/13/07
FREEDOM RESOURCES ENTERPRISES INC NV 5.03,9.01 11/09/07
FREZER, INC. NV 1.01,9.01 11/07/07
FROZEN FOOD EXPRESS INDUSTRIES INC TX 8.01,9.01 11/08/07
FTI CONSULTING INC MD 5.02,9.01 11/12/07
GALAXY NUTRITIONAL FOODS INC DE 2.02,9.01 11/13/07
GASTAR EXPLORATION LTD 7.01,9.01 11/12/07
GASTAR EXPLORATION LTD 1.01,9.01 11/07/07
GateHouse Media, Inc. DE 5.03,9.01 11/13/07
GATEWAY ENERGY CORP/NE DE 2.02,9.01 11/13/07
GENAERA CORP DE 2.02,9.01 11/09/07
GENELABS TECHNOLOGIES INC /CA CA 2.02,9.01 11/12/07
GENERAL GROWTH PROPERTIES INC DE 1.01 11/12/07
GENETHERA INC FL 4.02 11/13/07 AMEND
GENITOPE CORP DE 2.02,9.01 11/07/07
Genpact LTD D0 2.02,9.01 11/13/07
GENTEK INC DE 2.02,7.01,9.01 11/09/07
GENTIVA HEALTH SERVICES INC DE 5.02 11/08/07
Gentor Resources, Inc. FL 8.01 11/06/07
GeoMet, Inc. DE 5.02,5.03,9.01 11/09/07
GLG Partners, Inc. DE 8.01,9.01 11/12/07
GLOBAL PARTNERS LP 8.01,9.01 11/12/07
Global Resource CORP CO 8.01,9.01 11/08/07
GlobalOptions Group, Inc. DE 1.01,2.03,5.03,9.01 11/06/07
GMACM Home Equity Loan Trust 2007-HE3 DE 8.01,9.01 10/26/07
GOLDEN STAR RESOURCES LTD 1.01,2.03,3.02,9.01 11/08/07
Grande Communications Holdings, Inc. DE 2.02,9.01 11/13/07
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 11/09/07
Great Lakes Dredge & Dock CORP DE 1.01,5.03,9.01 11/06/07
GREATER CHINA MEDIA & ENTERTAINMENT C NV 3.02 11/13/07
GREEN MOUNTAIN COFFEE ROASTERS INC DE 1.01 11/06/07
GREENE COUNTY BANCORP INC DE 5.02,9.01 11/08/07
Greenlight Capital Re, Ltd. 2.02,9.01 11/13/07
GREENSHIFT CORP DE 8.01,9.01 11/09/07
Greenwich Capital Commercial Funding 8.01,9.01 10/18/07
GRIFFIN LAND & NURSERIES INC DE 8.01,9.01 11/13/07
GROUP 1 AUTOMOTIVE INC DE 5.02,5.03,8.01,9.01 11/07/07
GROUP 1 AUTOMOTIVE INC DE 7.01,9.01 11/12/07
GROWERS DIRECT COFFEE COMPANY, INC. NV 5.03,9.01 11/06/07
GROWERS DIRECT COFFEE COMPANY, INC. NV 4.01,9.01 11/05/07 AMEND
GRYPHON GOLD CORP NV 7.01,9.01 11/12/07
GS AGRIFUELS CORP DE 8.01,9.01 11/09/07
GS Cleantech Corp DE 8.01,9.01 11/09/07
GS Energy CORP 8.01,9.01 11/09/07
GS MORTGAGE SECURITIES CORP DE 1.01,9.01 11/09/07
GS MORTGAGE SECURITIES CORP DE 1.01,9.01 11/09/07
GSAMP Trust 2005-S2 DE 1.01,9.01 11/09/07
GSAMP Trust 2006-S1 1.01,9.01 11/09/07
GSI COMMERCE INC DE 5.03,9.01 11/08/07
GSR 2007-OA2 DE 8.01,9.01 10/29/07
GUARDIAN TECHNOLOGIES INTERNATIONAL I DE 8.01 11/12/07 AMEND
Guidance Software, Inc. DE 2.02,7.01,9.01 11/13/07
H&E Equipment Services, Inc. DE 2.03,8.01,9.01 11/08/07
HALLMARK FINANCIAL SERVICES INC NV 7.01,9.01 11/13/07
HANGER ORTHOPEDIC GROUP INC DE 5.02,9.01 11/07/07
HARMAN INTERNATIONAL INDUSTRIES INC / DE 5.02 11/07/07
HARMONIC INC DE 8.01,9.01 11/07/07
HAROLDS STORES INC OK 5.02 11/06/07
HAWK CORP DE 7.01,9.01 11/12/07
HEALTHCARE REALTY TRUST INC MD 8.01,9.01 11/13/07
HEARUSA INC DE 2.02,9.01 11/13/07
HEWITT ASSOCIATES INC DE 2.02,9.01 11/12/07
Hicks Acquisition CO I Inc. DE 9.01 11/13/07 AMEND
Hiland Holdings GP, LP DE 5.02,9.01 11/06/07
Hiland Partners, LP 5.02,9.01 11/06/07
HOME DEPOT INC DE 2.02,9.01 11/07/07
Homeland Security Capital CORP DE 8.01,9.01 10/30/07 AMEND
HOOPER HOLMES INC NY 2.01,2.02,9.01 11/09/07
HORNBECK OFFSHORE SERVICES INC /LA DE 7.01 11/13/07
HSBC Finance Corp 7.01 11/13/07
HSBC USA INC /MD/ MD 7.01 11/13/07
HSW International, Inc. DE 8.01,9.01 11/13/07
HUNGARIAN TELEPHONE & CABLE CORP DE 2.02,5.03,9.01 11/08/07
HuntMountain Resources WA 8.01 08/08/07
HydroGen CORP NV 1.01,5.02,5.03,7.01,9.01 11/10/07
I TRAX INC DE 2.02,9.01 11/08/07
I/OMAGIC CORP NV 2.04,9.01 11/07/07
IBERIABANK CORP LA 1.01,2.03,9.01 11/09/07
IC ISAACS & CO INC DE 1.01 11/08/07
ICAHN ENTERPRISES L.P. DE 8.01 11/09/07
ICU MEDICAL INC/DE DE 7.01 11/12/07
IMAGE ENTERTAINMENT INC DE 2.02,8.01,9.01 11/13/07
IMAX CORP A6 2.02 11/09/07
IMPAC MORTGAGE HOLDINGS INC MD 2.04,2.05 09/12/07
IMPAX LABORATORIES INC DE 7.01,9.01 11/13/07
INCENTRA SOLUTIONS, INC. NV 9.01 11/02/07 AMEND
INDEPENDENCE HOLDING CO DE 2.02,9.01 09/30/07
INDUSTRIAL SERVICES OF AMERICA INC /F FL 2.02,9.01 11/07/07
INFINITY ENERGY RESOURCES, INC 2.02,9.01 11/12/07
INFINITY PHARMACEUTICALS, INC. DE 1.01,7.01,8.01,9.01 11/09/07
Information Services Group Inc. DE 8.01,9.01 11/13/07
INFOTECH USA INC DE 8.01 11/13/07
INFOUSA INC DE 5.02,9.01 11/09/07
INGRAM MICRO INC DE 5.02,5.05,9.01 11/06/07
INLAND WESTERN RETAIL REAL ESTATE TRU MD 7.01,9.01 11/12/07
INNUITY, INC. /UT/ UT 1.01,9.01 11/07/07
INPHONIC INC 3.01,9.01 11/06/07
InPlay Technologies, Inc. NV 2.02,9.01 09/30/07
INTEGRA BANK CORP IN 7.01,9.01 11/13/07
INTEGRATED SILICON SOLUTION INC DE 5.02 11/06/07
Integrative Health Technologies, Inc. DE 8.01 11/12/07
InterDigital, Inc. PA 7.01,9.01 11/13/07
INTERNATIONAL BUSINESS MACHINES CORP NY 8.01 11/12/07
International Coal Group, Inc. DE 8.01,9.01 11/12/07
INTERNATIONAL FLAVORS & FRAGRANCES IN NY 5.02 11/13/07
INTERNATIONAL FUEL TECHNOLOGY INC NV 1.01,2.03 11/12/07
INTERSECTIONS INC DE 1.01,7.01,9.01 11/12/07
INVESTORS TITLE CO NC 5.03,9.01 11/12/07
INX Inc DE 5.02 11/05/07
INX Inc DE 2.01,9.01 08/31/07 AMEND
IPASS INC DE 5.03,9.01 11/08/07
IPAYMENT INC DE 2.02,9.01 11/13/07
iPCS, INC DE 8.01,9.01 11/12/07
ISIS PHARMACEUTICALS INC DE 8.01,9.01 11/13/07
ITRONICS INC TX 3.02 11/05/07
ITT CORP IN 7.01,9.01 11/13/07
IXI Mobile, Inc. DE 2.02,9.01 11/13/07
IXI Mobile, Inc. DE 7.01,9.01 11/13/07
J P MORGAN CHASE & CO DE 9.01 11/08/07
JACOBS ENTERTAINMENT INC DE 2.02,9.01 11/09/07
JAGGED PEAK, INC. NV 2.02,9.01 11/13/07
JDA SOFTWARE GROUP INC DE 5.03,9.01 11/07/07
JMP Group Inc. DE 7.01 11/09/07
KATY INDUSTRIES INC DE 2.02,9.01 11/13/07
KELLWOOD CO DE 8.01,9.01 11/13/07
Ketner Global Investments Inc NV 4.01 11/12/07
KEY ENERGY SERVICES INC MD 2.02,9.01 11/08/07
KEYSTONE CONSOLIDATED INDUSTRIES INC DE 2.02,7.01,9.01 11/13/07
KINDER MORGAN ENERGY PARTNERS L P DE 7.01 11/12/07
KINDER MORGAN MANAGEMENT LLC DE 7.01 11/12/07
KIRKLANDS INC 2.02,9.01 11/08/07
KLA TENCOR CORP DE 5.02,5.03,8.01,9.01 11/06/07
KLEVER MARKETING INC DE 8.01 10/31/07
KNIGHT TRANSPORTATION INC AZ 5.02,7.01 11/08/07
KNOBIAS, INC. DE 3.03,5.03,9.01 11/09/07
Kodiak Oil & Gas Corp 7.01,9.01 11/13/07
KOSS CORP DE 8.01,9.01 11/06/07
KRATOS DEFENSE & SECURITY SOLUTIONS, DE 2.02,9.01 11/12/07
KRISPY KREME DOUGHNUTS INC NC 5.02,9.01 11/08/07
LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 11/13/07
LAM RESEARCH CORP DE 3.01,9.01 11/07/07
LANDAUER INC DE 5.02 11/08/07
LANNETT CO INC DE 2.02,9.01 11/12/07
LARGE SCALE BIOLOGY CORP DE 8.01,9.01 11/13/07
Lawson Software, Inc. MN 5.02,9.01 11/08/07
LEAP WIRELESS INTERNATIONAL INC DE 2.02,4.02,9.01 11/08/07
Lev Pharmaceuticals Inc DE 2.02,9.01 11/13/07
LEXMARK INTERNATIONAL INC /KY/ DE 7.01 11/13/07
LHC Group, Inc 8.01,9.01 11/13/07
LIBERTY BANCORP INC 2.02,9.01 11/08/07
Liberty Global, Inc. 7.01 11/13/07
LIFECELL CORP DE 5.02,8.01,9.01 11/12/07
LIMCO-PIEDMONT INC DE 2.02,9.01 11/12/07
Limelight Networks, Inc. DE 1.01,9.01 10/22/07
LINCOLN NATIONAL CORP IN 2.02,7.01,9.01 11/13/07
Linens Holding Co. DE 2.02,9.01 11/13/07
LINN ENERGY, LLC DE 2.02,9.01 11/09/07
LML PAYMENT SYSTEMS INC A1 2.02,7.01,9.01 11/08/07
LOGICA HOLDINGS INC 4.01 11/05/07
LOGICA HOLDINGS INC 4.01,9.01 11/05/07 AMEND
LONGS DRUG STORES CORP MD 7.01,9.01 11/13/07
LPL Investment Holdings Inc. DE 2.01,9.01 11/07/07
LUMINENT MORTGAGE CAPITAL INC 4.01 11/09/07
LUMINENT MORTGAGE CAPITAL INC 8.01 11/06/07
LUNA INNOVATIONS INC 2.02,9.01 11/08/07
LYRIS, INC. 8.01,9.01 11/13/07
MADISON GAS & ELECTRIC CO WI 2.02,9.01 11/12/07
Main Street Capital CORP MD 2.02,9.01 09/30/07
MALEX INC DE 1.01,2.01,3.02,5.01,5.02,5.06, 11/13/07
9.01
MARKWEST ENERGY PARTNERS L P 1.01,9.01 11/13/07
MASTR Asset Securitization Trust 2007 DE 8.01,9.01 11/13/07
MATERIAL TECHNOLOGIES INC /CA/ DE 4.01 11/13/07
MATTHEWS INTERNATIONAL CORP PA 2.02,9.01 11/13/07
MB FINANCIAL INC /MD MD 7.01 11/13/07
MCDONALDS CORP DE 7.01,9.01 11/08/07
MDI, INC. DE 2.02,3.01 11/12/07
MEADE INSTRUMENTS CORP DE 1.01,9.01 11/09/07
MEADE INSTRUMENTS CORP DE 1.01,9.01 11/09/07 AMEND
MEADOW VALLEY CORP NV 5.03,9.01 11/08/07
MEDIALINK WORLDWIDE INC DE 5.03 11/13/07
MEDICAL DISCOVERIES INC UT 1.01,3.02,8.01,9.01 11/06/07
MEDICAL STAFFING NETWORK HOLDINGS INC DE 5.02 11/06/07
MEDICIS PHARMACEUTICAL CORP DE 8.01 11/09/07
MEDIVATION, INC. DE 8.01,9.01 11/12/07
MEDQUIST INC NJ 8.01,9.01 11/13/07
MEMRY CORP DE 7.01,9.01 11/13/07
MERCADOLIBRE INC 2.02,7.01 11/13/07
MERCURY COMPUTER SYSTEMS INC MA 7.01,9.01 11/13/07
MEREDITH CORP IA 5.02,8.01,9.01 11/07/07
MERRIMAC INDUSTRIES INC DE 2.02,9.01 11/13/07
MERRIMAC INDUSTRIES INC DE 9.01 11/13/07 AMEND
MEXICAN RESTAURANTS INC TX 2.02,9.01 11/08/07
MF Global Ltd. D0 7.01 11/13/07
MGE ENERGY INC WI 2.02,9.01 11/12/07
MICHAEL FOODS INC/NEW DE 2.02,9.01 11/13/07
MICREL INC CA 5.02 11/09/07
MICRONETICS INC DE 2.02,9.01 11/12/07
MICROTEK MEDICAL HOLDINGS, INC GA 2.01,3.01,3.03,5.01,5.02,9.01 11/09/07
MICRUS ENDOVASCULAR CORP 5.02,9.01 11/08/07
MID AMERICA APARTMENT COMMUNITIES INC TN 7.01,9.01 11/12/07 AMEND
MiddleBrook Pharmaceuticals, Inc. 1.01,1.02,2.01,3.02,9.01 11/07/07
MILESTONE SCIENTIFIC INC/NJ DE 1.01 11/06/07
MINDEN BANCORP INC 7.01,9.01 10/10/07
MIPS TECHNOLOGIES INC DE 9.01 08/27/07 AMEND
MIRANT CORP DE 1.01,9.01 11/09/07
MODTECH HOLDINGS INC CA 2.02,9.01 11/13/07
Mogul Energy International, Inc. DE 7.01,8.01,9.01 11/12/07
Molecular Insight Pharmaceuticals, In MA 2.02,9.01 11/12/07
MORRIS PUBLISHING GROUP LLC GA 2.02 12/31/06
MOSAIC CO 7.01,9.01 11/13/07
MOSAIC CO 7.01,9.01 11/13/07
MOTORCAR PARTS AMERICA INC NY 2.02,9.01 11/09/07
MRU HOLDINGS INC DE 1.01,2.03,7.01,9.01 11/09/07
MRV COMMUNICATIONS INC DE 2.02,9.01 11/08/07
MWI Veterinary Supply, Inc. DE 5.02 11/12/07
MYLAN INC. PA 8.01 11/13/07
NANOGEN INC DE 2.02,9.01 11/12/07
NANOPHASE TECHNOLOGIES CORPORATION IL 5.02,9.01 11/06/07
NAPCO SECURITY SYSTEMS INC DE 2.02,9.01 11/12/07
NASDAQ STOCK MARKET INC DE 1.01,9.01 11/08/07
NASH FINCH CO DE 2.02,7.01,9.01 11/13/07
NATCO GROUP INC DE 1.01,3.02,9.01 11/09/07
NATIONAL CITY CORP DE 2.02,9.01 11/13/07 AMEND
NATIONAL ENERGY GROUP INC DE 8.01,9.01 11/12/07
NATIONAL FUEL GAS CO NJ 8.01,9.01 11/09/07
NATIONAL HEALTHCARE CORP DE 2.02,9.01 11/09/07
NATIONAL SECURITY GROUP INC DE 7.01,9.01 11/13/07
NationsHealth, Inc. DE 2.02,9.01 11/13/07
NATROL INC DE 7.01,9.01 11/13/07
NEKTAR THERAPEUTICS DE 1.01,7.01,9.01 11/09/07
NEPHROS INC DE 2.02,9.01 11/13/07
NESTOR INC DE 5.02 11/13/07
NETLOGIC MICROSYSTEMS INC 2.01,9.01 08/29/07 AMEND
NETWORK CAPITAL INC MN 4.01,5.01,5.02,9.01 08/02/07 AMEND
NEW HORIZONS WORLDWIDE INC DE 5.03,9.01 11/06/07
NEWELL RUBBERMAID INC DE 5.02,9.01 11/07/07
NEWSEARCH INC CO 1.01,3.03,5.02,5.03,9.01 11/13/07
NewStar Financial, Inc. 1.01,2.03 11/08/07
NewStar Financial, Inc. 2.02,7.01,8.01,9.01 11/13/07
NewStar Financial, Inc. 5.02,9.01 11/09/07
NEXT INC/TN DE 1.01,9.01 11/08/07
Nilam Resources Inc. NV 5.02 11/02/07
NORCRAFT COMPANIES LP 2.02,9.01 11/13/07
NORTEK INC DE 2.02,9.01 09/30/07
NORTH PITTSBURGH SYSTEMS INC PA 8.01,9.01 11/13/07
NORTH POINTE HOLDINGS CORP 2.02,9.01 11/13/07
NORTHERN TRUST CORP DE 7.01,9.01 11/13/07
NORTHERN TRUST CORP DE 8.01 11/09/07
Northstar Neuroscience, Inc. WA 8.01 11/13/07
NOVA BIOSOURCE FUELS, INC. NV 7.01,9.01 11/13/07
NOVACEA INC DE 2.02,9.01 11/12/07
Novelis Inc. A6 2.02,9.01 11/12/07
NT MEDIA CORP OF CALIFORNIA INC DE 3.02 11/07/07
NTK Holdings, Inc. DE 2.02,9.01 09/30/07
NU SKIN ENTERPRISES INC DE 1.01,9.01 11/07/07
Nuance Communications, Inc. DE 5.03,9.01 11/06/07
NUTRITION 21 INC NY 2.02,9.01 11/08/07
NUVIM INC DE 4.01,9.01 11/09/07
Oasis Online Technologies Corp MN 1.01,3.02,9.01 10/22/07
Obagi Medical Products, Inc. DE 2.02,9.01 11/13/07
OCCAM NETWORKS INC/DE DE 2.02,9.01 11/13/07
Oculus Innovative Sciences, Inc. CA 2.02,7.01,9.01 11/12/07
OI CORP OK 2.02,9.01 11/13/07
Oldwebsites.com, Inc. UT 5.01 11/13/07
OM GROUP INC DE 5.02,5.03,9.01 11/06/07
Omni Financial Services, Inc. GA 7.01,9.01 11/13/07
Omniture, Inc. DE 5.02,5.03,9.01 11/08/07
ON SEMICONDUCTOR CORP DE 1.01,9.01 11/08/07
ON2 TECHNOLOGIES, INC. DE 5.02 11/07/07
ONLINE VACATION CENTER HOLDINGS CORP 2.02,9.01 11/13/07
Onstream Media CORP FL 7.01,8.01,9.01 11/09/07
Onstream Media CORP FL 7.01,8.01,9.01 11/12/07
OPHTHALMIC IMAGING SYSTEMS CA 7.01,9.01 11/09/07
OPPENHEIMER HOLDINGS INC A6 8.01 11/02/07 AMEND
OPTIMAL GROUP INC 7.01 11/12/07
OPTIMAL GROUP INC 1.01,2.01,3.02,9.01 11/13/07
Optionable Inc 5.02,9.01 11/06/07
ORBCOMM Inc. DE 2.02,9.01 11/13/07
Orbitz Worldwide, Inc. DE 5.02 11/12/07
Orbitz Worldwide, Inc. DE 2.02,9.01 11/12/07
Organic To Go Food CORP DE 2.02,7.01,9.01 11/13/07
ORIENT EXPRESS HOTELS LTD 5.02,9.01 11/12/07
ORIENT EXPRESS HOTELS LTD 8.01,9.01 11/13/07
OSAGE EXPLORATION & DEVELOPMENT INC DE 5.02,9.01 11/09/07
OSIRIS THERAPEUTICS, INC. DE 2.02,9.01 11/12/07
P&F INDUSTRIES INC DE 2.02,9.01 11/13/07
PACER INTERNATIONAL INC TN 5.02 11/07/07
PAINCARE HOLDINGS INC CT 2.02,7.01,9.01 11/13/07
PARAGON TECHNOLOGIES INC PA 2.02,9.01 11/13/07
PENWEST PHARMACEUTICALS CO WA 5.03,9.01 11/07/07
People's United Financial, Inc. DE 5.02,9.01 11/13/07
PERCEPTRON INC/MI MI 2.02,9.01 11/13/07
PERFORMANCE HEALTH TECHNOLOGIES INC 4.02 11/12/07
PETROSEARCH ENERGY CORP 1.01,2.03,8.01,9.01 11/09/07
PFSWEB INC DE 5.03,9.01 11/08/07
PHARSIGHT CORP CA 3.03,5.03,9.01 11/13/07
PHOENIX FOOTWEAR GROUP INC DE 2.02,5.02,9.01 11/12/07
PHYSICIANS FORMULA HOLDINGS, INC. DE 2.02,7.01 11/12/07
Piedmont Office Realty Trust, Inc. MD 8.01 11/07/07
PILGRIMS PRIDE CORP DE 2.02,9.01 09/29/07
PILGRIMS PRIDE CORP DE 7.01 11/13/07
PILGRIMS PRIDE CORP DE 7.01 11/13/07
PILGRIMS PRIDE CORP DE 1.01,9.01 11/12/07
PITNEY BOWES INC /DE/ DE 5.02,7.01,9.01 11/09/07
PLAINS ALL AMERICAN PIPELINE LP DE 9.01 09/30/07
PLANET TECHNOLOGIES, INC CA 2.01,3.02,3.03,5.01,5.02,5.03, 11/08/07
9.01
PLANETLINK COMMUNICATIONS INC GA 5.02,9.01 10/29/07
Platinum Research Organization, Inc. DE 2.02,8.01,9.01 11/12/07
PLY GEM HOLDINGS INC DE 2.02,9.01 11/12/07
PNA Group, Inc. DE 2.02,9.01 11/12/07
PNC FINANCIAL SERVICES GROUP INC PA 2.02,9.01 11/13/07
POKERTEK, INC. NC 2.02,9.01 11/12/07
Polonia Bancorp 2.02,9.01 11/08/07
POLYCOM INC DE 5.02,5.05,8.01,9.01 11/06/07
PRAXAIR INC DE 1.01,9.01 11/07/07
PRB Energy, Inc. NV 2.02,9.01 11/13/07
PRIME GROUP REALTY TRUST MD 2.02,9.01 11/13/07
PRIMUS GUARANTY LTD 2.05 11/07/07
PRINCIPAL FINANCIAL GROUP INC DE 7.01 11/13/07
PRO PHARMACEUTICALS INC NV 1.01,3.02,9.01 11/09/07
PRO PHARMACEUTICALS INC NV 1.01,3.02,9.01 11/09/07
PRO-FAC COOPERATIVE INC 2.02,9.01 11/13/07
PROGRESS ENERGY INC NC 7.01,9.01 11/12/07
PROGRESSIVE GAMING INTERNATIONAL CORP NV 8.01,9.01 11/13/07
PROLIANCE INTERNATIONAL, INC. DE 2.02,9.01 11/13/07
PROSPECT CAPITAL CORP MD 8.01,9.01 11/12/07
PROSPECT CAPITAL CORP MD 2.02,9.01 11/12/07
PROTECTION ONE INC DE 2.02,9.01 11/13/07
PROTECTIVE LIFE CORP DE 5.02 11/13/07
ProUroCare Medical Inc. 1.01 10/31/07 AMEND
PROVIDENCE SERVICE CORP DE 2.02,7.01,9.01 11/06/07
PRUDENTIAL BACHE WATSON & TAYLOR LTD TX 8.01,9.01 11/09/07
PRUDENTIAL FINANCIAL INC NJ 8.01,9.01 11/13/07
PSI CORP NV 8.01 11/09/07
QPC Lasers NV 2.02,9.01 11/12/07
Quadra Realty Trust, Inc. MD 2.02 11/13/07
QUALSTAR CORP CA 2.02,9.01 11/13/07
QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 1.01,2.03,5.02 11/06/07
QUEST RESOURCE CORP NV 2.02,9.01 11/12/07
QUEST SOFTWARE INC CA 2.02,3.01,7.01,8.01,9.01 11/12/07
QUESTCOR PHARMACEUTICALS INC CA 2.02,9.01 11/12/07
Quintana Maritime LTD 1T 1.01,3.03,5.03,9.01 11/08/07
RADIAN GROUP INC DE 5.02,5.03,9.01 11/06/07
RAINING DATA CORP DE 5.02,5.03,9.01 11/07/07
RAM ENERGY RESOURCES INC DE 2.02,9.01 11/12/07
RAMCO GERSHENSON PROPERTIES TRUST MD 8.01,9.01 11/13/07
RASER TECHNOLOGIES INC UT 2.02,9.01 11/13/07
RAZOR RESOURCES INC DE 5.02 11/09/07
RCN CORP /DE/ DE 7.01,9.01 11/13/07
READING INTERNATIONAL INC NV 2.02,9.01 11/09/07
Ready Mix, Inc. NV 5.03,9.01 11/08/07
REDHOOK ALE BREWERY INC WA 1.01,9.01 11/13/07
REGENERATION TECHNOLOGIES INC FL 1.01,9.01 11/12/07
REGENERATION TECHNOLOGIES INC FL 1.01,9.01 11/12/07
REGENERON PHARMACEUTICALS INC NY 5.03,9.01 11/09/07
REGIONS FINANCIAL CORP DE 7.01,9.01 11/13/07
REMINGTON ARMS CO INC/ DE 1.01 11/13/07
RESOURCE AMERICA INC DE 1.01,2.01,2.03 11/07/07
RIGEL PHARMACEUTICALS INC DE 8.01,9.01 11/09/07
ROGERS CORP MA 1.01,8.01,9.01 11/09/07
ROWAN COMPANIES INC DE 7.01,9.01 11/13/07
RUSH ENTERPRISES INC \TX\ TX 1.02 11/12/07
S1 CORP /DE/ DE 7.01,9.01 11/13/07
SAMARITAN PHARMACEUTICALS INC NV 1.01,7.01,9.01 11/09/07
SAPIENT CORP DE 1.01,9.01 11/08/07
SARS CORP. NV 4.01 11/09/07
SCBT FINANCIAL CORP SC 8.01,9.01 11/13/07
SCHAWK INC DE 5.02 11/06/07
SCHOOL SPECIALTY INC WI 2.02,9.01 11/13/07
SCHULMAN A INC DE 8.01,9.01 11/13/07
SCICLONE PHARMACEUTICALS INC DE 2.02,9.01 11/13/07
SCM MICROSYSTEMS INC DE 2.02,9.01 11/13/07
SCORE ONE INC NV 1.01,3.02,9.01 11/12/07
SCOTTS LIQUID GOLD INC CO 2.02,9.01 11/13/07
Security Capital Assurance Ltd D0 7.01,9.01 11/13/07
SELECT MEDICAL CORP DE 2.02 11/12/07
SELECT MEDICAL CORP DE 1.02,7.01,9.01 11/12/07
SELECT MEDICAL HOLDINGS CORP 2.02 11/12/07
SENETEK PLC /ENG/ 7.01,9.01 11/13/07
SENORX INC 2.02,9.01 11/13/07
SFH I ACQUISITION CORP DE 3.02 11/09/07
SGX PHARMACEUTICALS, INC. DE 2.02,9.01 11/13/07
Shea Development Corp. 1.01,9.01 11/07/07
ShengdaTech, Inc. 2.02,7.01,9.01 11/12/07
SHUMATE INDUSTRIES INC DE 1.02,9.01 11/05/07
Silver State Bancorp 2.02,9.01 11/13/07
Sino Fibre Communications, Inc. NV 5.02 10/30/07
SKYWORKS SOLUTIONS INC DE 5.02 11/06/07
SL INDUSTRIES INC NJ 2.02,9.01 11/13/07
SLM Student Loan Trust 2007-7 DE 1.01,2.01,9.01 11/08/07
SmartPros Ltd. DE 5.02 11/09/07
SOLAR ENERTECH CORP NV 4.01,9.01 11/07/07
Solar Power, Inc. 2.02,9.01 11/13/07
SOLERA HOLDINGS, INC DE 2.02,9.01 11/07/07
SOUNDBITE COMMUNICATIONS INC 2.02,9.01 11/13/07
SOUTHCREST FINANCIAL GROUP INC GA 2.02,9.01 11/09/06
SOUTHERN COPPER CORP/ DE 8.01 11/09/07
SOUTHSIDE BANCSHARES INC TX 4.02 11/13/07
SOVEREIGN BANCORP INC PA 7.01,9.01 11/13/04
SOYO GROUP INC NV 8.01 11/13/07
SPECTRASCIENCE INC MN 2.01,9.01 11/06/07
SPEEDEMISSIONS INC FL 2.02,9.01 11/13/07
SPEEDHAUL HOLDINGS, INC. NJ 5.03,8.01,9.01 11/09/07
Spheris Inc. DE 2.02,9.01 11/12/07
SPLINTERNET HOLDINGS INC DE 3.02 11/06/07
SportsQuest, Inc. NJ 2.01,8.01,9.01 10/31/07
SportsQuest, Inc. NJ 1.01 11/05/07
Standard Commerce, Inc. DE 5.02 11/11/07
Standard Commerce, Inc. DE 1.01 11/13/07
Stanley-Martin Communities, LLC DE 2.02,9.01 11/12/07
State Auto Financial CORP OH 8.01,9.01 11/09/07
STATE STREET CORP MA 7.01,9.01 11/13/07
STEC, INC. CA 2.02,9.01 11/13/07
STEIN MART INC FL 2.02,9.01 11/08/07
STELLAR RESOURCES LTD NV 5.02,9.01 11/07/07
STERLING CONSTRUCTION CO INC DE 5.03,9.01 11/07/07
STERLING GOLD CORP NV 5.02 11/08/07
Stewart & Stevenson LLC DE 1.01,9.01 11/06/07
STRATS (SM) TRUST FOR JPMORGAN CHASE 8.01,9.01 11/01/07
Strats(SM) Trust for JPMorgan Chase C 8.01,9.01 11/01/07
STRATS(SM) Trust For Morgan Stanley S 8.01,9.01 11/01/07
Sucampo Pharmaceuticals, Inc. 2.02,9.01 11/13/07
Summer Infant, Inc. DE 2.02,9.01 11/12/07
SUNOCO LOGISTICS PARTNERS LP DE 8.01 11/08/07
SUPERCONDUCTOR TECHNOLOGIES INC DE 2.02 11/12/07
SUPERIOR BANCORP DE 7.01,9.01 11/13/07
Susser Holdings CORP DE 2.01,8.01,9.01 11/08/07
SVI Media, Inc. NV 5.02 11/06/07
Switch & Data Facilities Company, Inc DE 2.02,9.01 11/13/07
SYCAMORE NETWORKS INC DE 5.02 11/07/07
SYNERGY BRANDS INC DE 7.01,9.01 11/12/07
SYNTAX-BRILLIAN CORP DE 2.02,9.01 11/08/07
SYNTHETECH INC OR 2.02,9.01 11/12/07
SYS CA 2.02,9.01 11/12/07
TANDY BRANDS ACCESSORIES INC DE 2.02,9.01 11/13/07
TEAMSTAFF INC NJ 5.03,9.01 11/08/07
TECHE HOLDING CO LA 5.02 10/24/07
TECUMSEH PRODUCTS CO MI 5.03,9.01 11/06/07
TEGAL CORP /DE/ DE 2.02 11/06/07
TELESTONE TECHNOLOGIES CORP CO 2.01,9.01 11/13/07
Terra Nova Financial Group Inc TX 2.02,9.01 11/12/07
TEXADA VENTURES INC NV 1.01,9.01 11/08/07
THERMADYNE HOLDINGS CORP /DE DE 2.02,9.01 11/06/07
Thomas Equipment, Inc. DE 5.02 11/05/07
TIB FINANCIAL CORP. FL 8.01,9.01 11/09/07
TIDEWATER INC DE 7.01,9.01 11/08/07
Timberline Resources Corp 2.02,5.02,7.01,9.01 11/07/07
TITANIUM METALS CORP DE 7.01,9.01 11/12/07
TJX COMPANIES INC /DE/ DE 2.02,9.01 11/13/07
TOFUTTI BRANDS INC DE 2.02,9.01 11/13/07
TOMPKINS FINANCIAL CORP NY 1.01,8.01 11/09/07
TOREADOR RESOURCES CORP TX 5.02,5.03,5.05,9.01 11/07/07
TOUSA INC DE 8.01 11/09/07
TOWER TECH HOLDINGS INC. NV 9.01 10/01/07 AMEND
TRACK DATA CORP DE 2.02 11/13/07
TRACTOR SUPPLY CO /DE/ DE 1.01 11/09/07
TRANSDEL PHARMACEUTICALS INC DE 5.02,8.01,9.01 11/13/07
TRAVELCENTERS OF AMERICA LLC 2.02,9.01 11/13/07
Travelport LTD D0 2.02,5.02,9.01 11/13/07
TRAVELZOO INC DE 1.01,5.02,9.01 11/09/07
TRI-S SECURITY CORP GA 2.02,9.01 11/12/07
TRIMERIS INC DE 2.02,9.01 11/08/07
Triple Crown Media, Inc. DE 1.01,9.01 11/12/07
Triple Crown Media, Inc. DE 1.01,9.01 11/09/07
Tropicana Entertainment, LLC DE 1.01,2.02,9.01 11/12/07
Trubion Pharmaceuticals, Inc 2.02,9.01 11/12/07
TRULITE INC DE 1.01,2.03,3.02,9.01 11/07/07
TUTOGEN MEDICAL INC FL 1.01,3.03,9.01 11/12/07
U.S. Shipping Partners L.P. DE 2.02,9.01 11/07/07
UDR, Inc. MD 5.02,7.01,8.01,9.01 11/08/07
UNICO AMERICAN CORP NV 2.02 11/12/07
UNICORP INC /NEW NV 5.02,9.01 11/06/07
UNIGENE LABORATORIES INC DE 8.01,9.01 11/12/07
UNISOURCE ENERGY CORP AZ 8.01 11/08/07
UNITED GUARDIAN INC DE 2.02,9.01 09/30/07
UNITED INDUSTRIAL CORP /DE/ DE 1.01,9.01 11/07/07
UNITED PARCEL SERVICE INC DE 5.02 11/08/07
UNITED STATES CELLULAR CORP DE 5.03,9.01 11/08/07
UNITED STATIONERS INC DE 2.03 11/06/07
UNIVERSAL DETECTION TECHNOLOGY CA 3.02 11/08/07
UNIVERSAL HOSPITAL SERVICES INC MN 2.02,7.01,9.01 11/12/07
UNIVERSAL HOSPITAL SERVICES INC MN 7.01,9.01 11/13/07
UNIVERSAL POWER GROUP INC. TX 2.02,9.01 11/07/07
UPFC Auto Receivables Trust 2007-B TX 8.01,9.01 11/08/07
UPFC Auto Receivables Trust 2007-B TX 1.01,9.01 11/08/07
US BioEnergy CORP 2.02,9.01 11/13/07
US Oncology Holdings, Inc. DE 2.02,9.01 11/08/07
US Uranium Inc. 5.02,9.01 11/12/07
USA TRUCK INC DE 5.02,9.01 11/09/07
Utilicraft Aerospace Industries, Inc. NV 1.01,9.01 11/12/07
Vangent, Inc. DE 2.02,9.01 11/13/07
VANGUARD HEALTH SYSTEMS INC DE 2.02,5.02,9.01 11/13/07
VARIAN INC DE 5.02,9.01 11/08/07
VAXGEN INC DE 1.01,9.01 11/12/07
Venoco, Inc. DE 2.02,9.01 11/11/07
VERAMARK TECHNOLOGIES INC DE 2.02 11/13/07
VERMILLION, INC. DE 2.02,7.01,9.01 11/12/07
Verso Paper Holdings LLC DE 2.02,9.01 11/13/07
VERSO TECHNOLOGIES INC MN 2.02,9.01 11/13/07
VFINANCE INC DE 4.02 11/13/07
VINEYARD NATIONAL BANCORP CA 7.01,9.01 11/13/07
VION PHARMACEUTICALS INC DE 2.02,8.01,9.01 11/07/07
Visa Inc. DE 1.01 11/09/07
VISANT CORP 2.02,9.01 11/13/07
VISANT HOLDING CORP 2.02,9.01 11/13/07
VISTA GOLD CORP 5.02,7.01,9.01 11/13/07
VITA FOOD PRODUCTS INC NV 2.02,9.01 11/09/07
VITRAN CORP INC 8.01 11/12/07
VIVUS INC CA 2.02,8.01,9.01 11/09/07
VOUGHT AIRCRAFT INDUSTRIES INC DE 2.02,9.01 11/09/07
VWR Funding, Inc. DE 2.02,7.01 11/13/07
Vyteris Holdings (Nevada), Inc. NV 5.02 11/06/07
WAL MART STORES INC DE 2.02,9.01 11/13/07
WALKER FINANCIAL CORP DE 5.03,9.01 11/07/07
WaMu Asset Acceptance Corp. DE 6.01 11/13/07
WaMu Asset Acceptance Corp. DE 6.01 11/13/07
WaMu Asset Acceptance Corp. DE 6.01 11/13/07
WaMu Asset Acceptance Corp. DE 6.01 11/13/07
Web2 Corp DE 8.01 11/13/07
WEBSTER FINANCIAL CORP DE 7.01 11/13/07
Wells Fargo Alternative Loan 2007-PA5 DE 8.01,9.01 10/29/07
Wells Fargo Mortgage Backed Securitie DE 8.01,9.01 10/29/07
WEST BANCORPORATION INC IA 5.03,9.01 11/13/07
WHERIFY WIRELESS INC DE 5.02 11/06/07
WHOLE FOODS MARKET INC TX 2.01,9.01 08/28/07 AMEND
WINMARK CORP MN 1.01,2.03,9.01 11/12/07
Winthrop Realty Trust OH 1.01,9.01 11/12/07
WORDLOGIC CORP NV 8.01 11/06/07
WRIGHT MEDICAL GROUP INC DE 8.01 11/13/07
WSB Financial Group, Inc. WA 5.02,8.01,9.01 11/12/07
WYNN RESORTS LTD 1.01,2.03,9.01 11/06/07
WYNN RESORTS LTD 5.02 11/08/07 AMEND
XEDAR CORP CO 9.01 10/26/07 AMEND
XO HOLDINGS INC DE 2.02,9.01 11/09/07
XTO ENERGY INC DE 2.01,7.01,9.01 07/31/07 AMEND
Yacht Finders, Inc. DE 1.01,5.01,5.02,9.01 11/06/07
ZAP CA 1.01,3.02,9.01 11/05/07
ZBB ENERGY CORP WI 5.02,7.01,9.01 11/05/07
ZIM CORP A6 5.02 11/13/07
Znomics, Inc. NV 5.02 11/12/07
ZONE 4 PLAY INC NV 5.02 11/13/07
http://www.sec.gov/news/digest/2007/dig111407.htm
|
