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U.S. Securities and Exchange Commission

                           SEC NEWS DIGEST

Issue 2007-221				     	     November 16, 2007



On  November 15, the Securities and Exchange Commission voted to adopt
three measures to modernize and improve its capital-raising, reporting
and  disclosure  requirements  for  smaller  companies. These measures
address  some  of  the  key recommendations made by the SEC's Advisory
Committee on Smaller Public Companies in its final report. 

The final rules:

     * make scaled  disclosure r egulations available to an additional
       1,500 smaller companies;

     * shorten  the  holding  periods  under  Securities  Act Rule 144
       for restricted securities  of public companies from one year to
       six months to reduce the cost of capital and to increase access
       to capital; and

     * create  two  new  exemptions  for  compensatory  employee stock
       options so that the Exchange Act registration requirements will
       not be triggered solely by a company's compensation decisions.

"Smaller businesses are a critical part of our nation's economy," said
SEC  Chairman  Christopher  Cox.  "Although  it  may  seem  that large
multinational  companies  are  creating  most  of  the  new  jobs  and
innovation,  in  fact,  small business is leading the way in America's
economy.  Today's  rule  amendments  will  enable smaller companies to
raise  capital  more  effectively  and ease some of the burdens of our
reporting  and  disclosure  requirements,  and  they  will ensure that
investors  in  these  companies  are  paying  for  important  investor
protections and not red tape."

John  W. White, Director of the SEC's Division of Corporation Finance,
said,  "In taking these steps to enhance capital-raising opportunities
for  smaller  public  companies,  and  expanding  the  pool of smaller
companies     that  is  eligible  to  comply  with  scaled  disclosure
requirements,  the Commission has again demonstrated its commitment to
the  well-being  of  these companies. The revisions to Rule 144 should
make  it  more  efficient  for  companies  of  all sizes to access the
private markets. In the coming months, we expect to recommend that the
Commission finalize additional rules that will further promote capital
formation by smaller companies."

Smaller Reporting Company Regulatory Relief and Simplification 

The final rules:

     * replace  the  current  "small  business  issuer"  category with
       a    new    expanded    category    of    "smaller    reporting
       companies"  having  less  than  $75  million  in  public equity
       float   or,   if   a   company   does   not   have a calculable
       public    equity  float,  having  revenues  of  less  than  $50
       million in the last fiscal year;

     * expand  eligibility  for  the  Commission's  scaled  disclosure
       and   reporting   requirements   for   smaller   companies   by
       allowing  the  newly  defined  category  of  smaller  reporting
       companies to use the scaled disclosure requirements;

     * move  12  non-financial  scaled  disclosure   item requirements
       from   Regulation   S-B   into   Regulation   S-K   (the scaled
       disclosure     requirements   will   only   be   available   to
       smaller  reporting companies);

     * move  the  scaled  financial  statement  requirements  in  Item
       310  of  Regulation  S-B  into new Article 8 of Regulation S-X,
       and    amend   these   requirements   to   provide   a   scaled
       disclosure option  for  smaller  reporting companies, requiring
       two years of balance sheet data instead of one year;

     * permit  smaller  reporting  companies  to elect to comply  with
       scaled  financial  disclosure  and  non-financial disclosure on
       an item-by-item or "a la carte" basis;

     * eliminate  our current "SB" forms, but allow a phase-out period
       for   current   small   business   issuers   transitioning   to
       smaller reporting company status; and

     * permit   all   foreign   companies   to   qualify  as  "smaller
       reporting      companies"   if   they   choose   to   file   on
       domestic    company  forms  and  provide  financial  statements
       prepared   in   accordance   with   U.S.   Generally   Accepted
       Accounting Principles.

The  effective  date  for  these  rules  will  be  30 days after their
publication in the Federal Register.

Revisions to Securities Act Rules 144 and 145 

The amendments to Rule 144:

     * shorten  the  holding   period  for  restricted  securities  of
       reporting companies to six months;

     * substantially   simplify    Rule   144    compliance   for non-
       affiliates    by    allowing    non-affiliates    of  reporting
       companies   to   freely   resell   restricted  securities after
       satisfying  a  six-month  holding  period  (subject only to the
       Rule   144(c)   public   information   requirement   until  the
       securities  have  been held for  one year) and by allowing non-
       affiliates  of  non-reporting companies   to   freely   resell 
       restricted  securities  after  satisfying  a  12-month  holding

     * for  affiliates'  sales, revise the manner of sale requirements
       for  equity  securities  and eliminate them for debt securities
       and relax the volume limitations for debt securities;

     * for  affiliates'  sales, raise the thresholds that trigger Form
       144    filing  requirements  from  500  shares  or  $10,000  to
       5,000 shares or $50,000;

     * simplify  and  streamline  the  Preliminary  Note to  and other
       parts of Rule 144; and

     * codify certain staff interpretations relating to Rule 144.

The amendments to Rule 145:

     * eliminate  the  presumptive  underwriter provision  except with
       respect    to  transactions  involving  blank  check  or  shell
       companies; and

     * revise the resale provisions of Rule 145(d).

These  amendments will be effective 60 days after their publication in
the Federal Register.

Exemption  of  Compensatory  Employee  Stock Options from Registration
under Section 12(g) of the Exchange Act

The two amendments to Exchange Act Rule 12h-1:

     * provide  an  exemption  for  private non-reporting issuers from
       Exchange   Act  Section  12(g)  registration  for  compensatory
       employee  stock  options  issued  under  employee  stock option
       plans; and

     * provide  an  exemption  for  issuers that are  required to file
       reports  under  the  Exchange  Act  pursuant  to  Exchange  Act
       Section      13   or   Section   15(d)   from   Section   12(g)
       registration  for compensatory employee stock options.

The  exemptions  will  apply only to an issuer's compensatory employee
stock  options  and  will  not  extend  to  the  class  of  securities
underlying those options.

These  amendments  will  be effective as soon as they are published in
the Federal Register. (Press Rel. 2007-233)


On  November 15, the Commission voted to propose rule changes that are
intended  to  improve mutual fund disclosure. The proposed rules would
require  that  all  mutual  fund  investors  receive  a clear, concise
summary  of  key  information  needed  to  make an informed investment
decision.  The  rule changes would also encourage funds to harness the
power of the Internet to allow investors to choose the format in which
they receive more detailed information and to provide that information
in  a  more user-friendly format than is available today. The proposed
rules  are intended to enable investors to use and compare mutual fund
information more effectively.

"The  concept  behind  the proposal is disclosure that is layered in a
manner  that allows each mutual fund investor - and each intermediary,
analyst, and other user - to quickly find and use the information that
he  or  she  needs and wants," said Andrew J. Donohue, Director of the
Commission's  Division  of  Investment  Management.  "The  core of the
proposal  is a concise, plain English summary of key information about
a  mutual  fund's  investment  objectives  and  strategies, costs, and
risks, with more detailed information available both in paper and in a
user-friendly online format."

The  proposed rules to be published for comment include the following.

     * Summary  Information  at  the  Front  of  the  Prospectus.  The
       proposal  would  amend Form N-1A, the form used by mutual funds
       to  register  under  the  Investment Company Act of 1940 and to
       offer    securities  under  the  Securities  Act  of  1933,  by
       requiring  every  mutual  fund  to  include  key information in
       plain  English  in  a  standardized  order  at the front of the
       mutual   fund   statutory   prospectus.   Like  the risk/return
       summary   that   is   currently   included   at   the  front of
       every  mutual  fund  prospectus, this  summary  would  include 
       a  fund's  investment  objectives  and  strategies,  risks, and
       costs.  It  also  would  include  brief information  regarding 
       top   ten   portfolio   holdings,   investment   advisers   and
       portfolio   managers,   purchase   and   sale   procedures  and
       tax  consequences,  and  financial  intermediary compensation. 
       The    proposed  amendments  would  require  that  the  summary
       information  be  presented  separately  for  each  fund covered
       by   a   multiple   fund   prospectus.   This   requirement  is
       intended     to   assist   investors   in   finding   important
       information     regarding     the     particular     fund    in
       which    they are interested.

     * New  Prospectus  Delivery  Option  for  Mutual Fund Securities.
       The   proposed   rule   would   permit   a   person  to satisfy
       its mutual   fund   prospectus   delivery   obligations   under
       the    securities    laws    by    sending    or    giving  key
       information  to investors   in   the   form   of   a   "summary
       prospectus"    and    providing    the    summary   prospectus,
       statutory    prospectus,   shareholder   reports,   and   other
       information  on  an Internet Web site in a format that enhances
       investors'   ability  to  effectively  use  the  more  detailed
       information      in   those   documents.   In   addition,   the
       statutory  prospectus and other information would be  provided 
       in     paper  to  any  investor  who  prefers  to  review  more
       detailed  information  in  that  format. The summary prospectus
       would  contain  the  same  information  in  the  same  order as
       the   required   summary   at   the   front   of  the statutory

The  proposed  rule  would  require  that  the Internet version of the
summary  prospectus  and  statutory prospectus be presented in a user-
friendly  format  that  permits  investors,  financial intermediaries,
analysts,  and  other  users  to  move  readily back and forth between
related  information  in  the  summary  prospectus  and  the statutory
prospectus.  This  is  intended  to  allow  investors  and  others  to
efficiently  access  the  particular  information  in  which  they are
interested.   The  proposed  rule  would  also  require  that  persons
accessing  the  Internet  information be able to permanently retain an
electronic  version  of  the summary prospectus, statutory prospectus,
and  other  information. The proposal is intended to take advantage of
technological  developments  and  the  expanded use of the Internet in
order  to provide investors with information that is easier to use and
more  readily accessible, while retaining the comprehensive quality of
the information that is available to investors today.

Public  comments  on these proposed rule changes should be received by
the  Commission  90  days  after  their  publication  in  the  Federal
Register. (Press Rel. 2007-234)


On    November  15,  the  Securities  and  Exchange  Commission  voted
unanimously  to  help  American  investors better analyze and get more
readily  comparable  financial  information  from  the U.S.-registered
foreign  companies  in  which  they  invest.  The  Commission's action
responds to the record number of U.S. investors who own the securities
of foreign companies, and the growing need for high-quality accounting
standards that transcend borders.

Having considered extensive and informative public comment on its June
2007  proposal,  the  Commission  approved rule amendments under which
financial  statements from foreign private issuers in the U.S. will be
accepted  without reconciliation to U.S. Generally Accepted Accounting
Principles  only  if  they  are prepared using International Financial
Reporting  Standards  (IFRS) as issued by the International Accounting
Standards  Board.  The  purpose  of  the  requirement to use the IASB-
approved  version is to encourage the development of IFRS as a uniform
global  standard, not a divergent set of standards applied differently
in  every  nation.  Consistency  of application of IFRS will help U.S.
investors who own foreign securities to have better comparability.

The   number  of  Americans  who  own  foreign  securities  has  risen
significantly in recent years. Today, two-thirds of American investors
own  securities of foreign companies. That is a 30 percent increase in
the  past  five  years.  The  vast  majority  of  U.S.  investors  own
securities  of companies that report their financial information using
IFRS.  IFRS is mandatory in Europe and in several other countries, and
its use is mandated or permitted in over 100 nations around the world.

"Consistent  application  of  international  accounting standards will
help  the  two-thirds  of U.S. investors who own foreign securities to
understand  and  draw better comparisons among investment options than
they could with a multiplicity of national accounting standards," said
SEC Chairman Christopher Cox.

Chairman Cox also announced that the SEC will convene two roundtables,
on  December  13  and  December  17, to collect more feedback from the
public  on  the  issue of giving U.S. domestic issuers the same option
that  foreign  issuers  have in our markets to use either IFRS or U.S.

In   addition  to  improving  the  consistency  and  comparability  of
financial reporting for U.S. investors who own foreign securities, the
Commission's rule amendments will also facilitate cross-border capital
formation  and  increase  investment  opportunities  available to U.S.

The  rule amendments will take effect 60 days after they are published
in  the  Federal  Register  and apply to financial statements covering
years ended after Nov. 15, 2007. (Press Rel. 2007-235)


The  Securities and Exchange Commission today asked for public comment
about  whether  to  develop mechanisms to facilitate greater access to
companies’ disclosures concerning their business activities in or with
countries  designated  as  State  Sponsors  of  Terrorism  by the U.S.
Secretary of State.

The  Commission’s  request comes in the form of a concept release that
asks  whether improvements in public access to company disclosures can
be made.

“Investors  have  told  us  they  want  to  avoid supporting terrorism
directly  or  indirectly through their investments,” said SEC Chairman
Christopher  Cox.  “Some of the information they need for this purpose
is  already  on  file  with  the SEC. We’re interested in ways to help
investors find what they’re looking for.” 

The  five  nations  that have been designated by the U.S. Secretary of
State  as  state  sponsors  of  terrorism are Cuba, Iran, North Korea,
Sudan and Syria.

Earlier this year, the Commission temporarily provided a Web tool that
linked  to  portions  of  companies’  most  recent annual reports that
described  their  business  activities  in  any of the five countries.
Because  the  linked reports were not always the company’s most recent
disclosure,  and  because  of other concerns with the Web tool, it was
discontinued  pending  consideration  of  the  issues set forth in the
concept release. 

Company disclosures of their business activities in the five countries
remain  available  online  through the SEC’s EDGAR database of company

The  concept  release  can  be  found  on the Commission’s Web site at
http://www.sec.gov/rules/concept/2007/33-8860.pdf.  (Press  Rel. 2007-



The  Securities and Exchange Commission announced that a federal court
jury  returned  a  verdict  today in the SEC’s favor on all securities
fraud  charges  against  Brian  M.  Adley, who is the former chairman,
chief  executive  officer  and  controlling  shareholder of Chancellor
Corporation,  a  defunct Boston-based transportation equipment-leasing

Adley  was  found liable for using fabricated documents and fraudulent
accounting  from  1998  through  2000  to  orchestrate  a  scheme that
inflated  Chancellor’s  reported  assets, revenue and income, and paid
unwarranted  fees to entities that he controlled. The verdict followed
a three-week trial in Boston before the Honorable Patti B. Saris, U.S.
District Court Judge for the District of Massachusetts.

“The  positive  jury  verdict  brings  closure  to  this multi-faceted
financial  fraud  that reached the highest level of a public company,”
said  David  Bergers,  Regional  Director of the SEC’s Boston Regional
Office.   “The  SEC  will  continue  to  vigorously  pursue  corporate
officials  who  participate  in  the  deception  of  investors and who
attempt  to  unfairly  benefit  themselves at the expense of corporate

The  Commission’s  complaint  alleged  that Adley caused Chancellor to
file  false  financial  statements  in  1999 and 2000 by directing the
wholesale  fabrication  of  corporate  documents, instructing that the
fabricated    documents  be  given  to  the  company’s  auditors,  and
coordinating the filing of false financial statements with the SEC. 

The  jury  found  Adley liable for violating the antifraud and record-
keeping  provisions  of  the federal securities laws, for making false
statements   to   its   accountants,   and   for   aiding and abetting
Chancellor’s  reporting and recordkeeping provisions of the securities
laws.  The district court will determine the appropriate sanctions and
remedies at a later date. 

The Commission previously settled with 10 other defendants: Chancellor
Corporation;  the  former  President  and Chief Operating Officer; the
former  acting  Chief  Financial  Officer;  the  former treasurer; two
former  Chancellor directors and audit committee members; Chancellor’s
outside auditing firm and three members of its audit team. 

The  case  was tried by the SEC’s Boston Regional Office trial team of
R.  Daniel  O’Connor,  Britt  Collins,  Stephanie DeSisto and Samantha
Harris. (Press Rel. 2007-236)


On  November  15,  the Commission issued an Order Makings Findings and
Imposing    Remedial  Sanctions  Pursuant  to  Section  15(b)  of  the
Securities Exchange Act of 1934 (Order) against Adam Klein (Klein). 

The  Order  finds  that  from  July  2000  to  July  2001  Klein was a
registered  representative associated with Bryn Mawr Investment Group,
Inc.,  a broker-dealer registered with the Commission, which later was
known  as  Valley  Forge.  On April 29, 2005, Klein pled guilty to one
count  of conspiracy to commit securities fraud and wire fraud and one
count of wire fraud before the U.S. District Court for the District of
New  Jersey  (U.S.  v. Klein, 05 Cr. 322, D.N.J.). On Sept. 5, 2007, a
judgment  in  the  criminal  case  was  entered  against Klein. He was
sentenced  to  48  months of probation, 120 hours of community service
and  ordered  to  make  restitution  in the amount of $930,864.08. The
Order  further  finds  that  the  count of the criminal information to
which  Klein pled guilty alleged, inter alia, that Klein, participated
in  a scheme while employed at Valley Forge to manipulate the price of
Select    Media  Communications,  Inc.  stock  and  that  he  received
undisclosed  excessive  commissions  from  the  sales  of stocks while
employed at Valley Forge.

Based  on  the  above,  the Order bars Klein from association with any
broker  or  dealer.  Klein  consented  to  the  issuance of the Order,
without  admitting  or denying the Commission's findings, except as to
the  Commission's  jurisdiction  over  him,  the subject matter of the
proceedings,  and his criminal conviction. (Rel. 34-56793; File No. 3-


On  November  15,  the Commission issued an Order Makings Findings and
Imposing    Remedial  Sanctions  Pursuant  to  Section  15(b)  of  the
Securities Exchange Act of 1934 (Order) as to Alexander Ricci (Ricci).

The  Order finds that from August 1999 to August 2000, Ricci was a co-
manager  and  registered representative of Bryn Mawr Investment Group,
Inc.,  a broker-dealer registered with the Commission, which later was
known  as  Valley  Forge  Securities,  Inc. (Valley Forge). On May 26,
2005,  Ricci  pled  guilty  to  one  count  of  conspiracy  to  commit
securities  fraud  before  the U.S. District Court for the District of
New  Jersey, U.S. v. Alexander Ricci, 05 Cr. 422 (D.N.J.). On Sept. 5,
2007,  a  judgment  in the criminal case was entered against Ricci. He
was  sentenced  to  6  months  of  home  confinement  and 48 months of
probation     and  ordered  to  make  restitution  in  the  amount  of
$499,158.57.  The Order further finds that the criminal information to
which Ricci pled guilty alleged, among other things, that Ricci, while
employed  at  Valley  Forge Securities, Inc. (Valley Forge), a broker-
dealer  registered  with  the  Commission, participated in a scheme to
manipulate  the  stock  price  of  Eagletech  Communications, Inc. and
Select Media Communications, Inc. and received cash commissions, which
were  not  disclosed  to  customers. The information also alleged that
Ricci  used deceptive sales practices to mislead customers into buying
certain  stocks  and  that  he  offered  and  paid  certain registered
representatives  and  unregistered  individuals undisclosed, excessive
cash commissions for selling stocks to customers. 

Based  on  the  above,  the Order bars Ricci from association with any
broker  or  dealer.  Ricci  consented  to  the  issuance of the Order,
without  admitting  or denying the Commission's findings, except as to
the  Commission's  jurisdiction  over  them, the subject matter of the
proceedings,  and his criminal conviction. (Rel. 34-56794; File No. 3-


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.

        617 674 5300 - 0 ($163,380,000.00) Equity, (File 333-147403 - Nov. 15) 
        (BR. 01A)

S-8     EnergySolutions, Inc., 423 WEST 300 SOUTH, SUITE 200, SALT LAKE CITY, 
        UT, 84101, 801-649-2000 - 0 ($240,120,000.00) Equity, 
        (File 333-147404 - Nov. 15) (BR. 06B)

        F4, 214028, 86-510-8522-6351 - 100,000,000 ($5,000,000.00) ADRs/ADSs, 
        (File 333-147405 - Nov. 15) (BR. 04)

S-8     LANTRONIX INC, 15353 BARRANCA PARKWAY, IRVINE, CA, 92618, 9494533990 - 
        2,150,000 ($2,150,000.00) Equity, (File 333-147406 - Nov. 15) (BR. 03B)

        02109, 6175561900 - 
        287,500,000 ($287,500,000.00) Debt Convertible into Equity, 
        (File 333-147407 - Nov. 15) (BR. 07B)

        9018186232 - 5,000,000 ($110,625,000.00) Equity, (File 333-147409 - 
        Nov. 15) (BR. 07A)

S-8     LANNETT CO INC, 9000 STATE RD, PHILADELPHIA, PA, 19136, 2153339000 - 
        0 ($10,475,000.00) Equity, (File 333-147410 - Nov. 15) (BR. 01B)

S-3ASR  AMB PROPERTY CORP, PIER 1 BAY 1, SAN FRANCISCO, CA, 94111, 4153949000 - 
        0 ($68,585,142.75) Equity, (File 333-147412 - Nov. 15) (BR. 08A)

        AZ, 85004-4414, 6023668100 - 25,000,000 ($2,517,750,000.00) Equity, 
        (File 333-147413 - Nov. 15) (BR. 04A)

S-11    Apple REIT Nine, Inc., 814 EAST MAIN STREET, RICHMOND, VA, 23219, 
        804.334.8121 - 0 ($2,000,000,000.00) Equity, (File 333-147414 - 
        Nov. 15) (BR. 08)

        (86-21) 6237 2250 - 0 ($5,000,000.00) Other, (File 333-147416 - 
        Nov. 15) (BR. )

        9047835000 - 2,188,000 ($42,129,940.00) Equity, (File 333-147417 - 
        Nov. 15) (BR. 02C)

        4085708000 - 56,949,287 ($930,772,585.41) Equity, (File 333-147418 - 
        Nov. 15) (BR. 03A)

        33309, 9542673000 - 3,549,010 ($137,595,117.70) Equity, 
        (File 333-147419 - Nov. 15) (BR. 03A)

S-8     Sucampo Pharmaceuticals, Inc., 4520 EAST-WEST HIGHWAY, SUITE 300, 
        BETHESDA, MD, 20814, 3019613400 - 0 ($168,533,461.00) Equity, 
        (File 333-147420 - Nov. 15) (BR. 01B)

        33309, 9542673000 - 5,400,000 ($209,358,000.00) Equity, 
        (File 333-147421 - Nov. 15) (BR. 03A)

        DETROIT, MI, 48265-3000, 3135565000 - 
        16,000,000 ($500,960,000.00) Equity, (File 333-147422 - Nov. 15) 
        (BR. 05A)

        9252453400 - 200,000 ($1,287,000.00) Equity, (File 333-147423 - 
        Nov. 15) (BR. 10A)

S-1     Syngence Corp, 5151 Beltline, Dallas, tx, 75254, 214-269-2901 - 
        0 ($37,740,000.00) Equity, (File 333-147424 - Nov. 15) (BR. )

S-3     Neonode, Inc, 4550 NORRIS CANYON ROAD, SAN RAMON, CA, 94583, 
        5103552000 - 4,673,137 ($17,080,315.75) Equity, (File 333-147425 - 
        Nov. 15) (BR. 03A)

        94088-3453, 4087322400 - 0 ($700,000,000.00) Equity, (File 333-147426 - 
        Nov. 15) (BR. 10A)

SB-2    Willow Creek Enterprises Inc., 6 CARMEL COURT, SHERWOOD PARK T8A 5A4, 
        A0, T8A 5A4, 780.416.7777 - 2,866,666 ($171,999.96) Equity, 
        (File 333-147427 - Nov. 15) (BR. )

        I0, 00000, 50,000,000 ($2,500,000.00) ADRs/ADSs, (File 333-147428 - 
        Nov. 15) (BR. )

S-8     Rotoblock CORP, SUITE 205, 1715 COOK STREET, VANCOUVER, A1, V5Y 3J6, 
        604 872 1234 - 5,000,000 ($450,000.00) Equity, (File 333-147429 - 
        Nov. 15) (BR. 10C)

        (919) 419-6050 - 1,000,000 ($6,640,000.00) Equity, (File 333-147430 - 
        Nov. 15) (BR. 01C)

        (919) 419-6050 - 250,000 ($1,660,000.00) Equity, (File 333-147431 - 
        Nov. 15) (BR. 01C)

        3369317042 - 0 ($26,158,066.00) Equity, (File 333-147432 - Nov. 15) 
        (BR. 10C)

S-3ASR  International Coal Group, Inc., 300 CORPORATE CENTRE DRIVE, 
        SCOTT DEPOT, WV, 25560, 304-760-2400 - 
        0 ($1.00) Debt Convertible into Equity, (File 333-147433 - Nov. 15) 
        (BR. 04B)

S-8     KLA TENCOR CORP, 160 RIO ROBLES, SAN JOSE, CA, 95134, 4084344200 - 
        0 ($472,362,000.00) Equity, (File 333-147434 - Nov. 15) (BR. 10B)

S-8     Elixir Gaming Technologies, Inc., 1120 N. TOWN CENTER DRIVE, SUITE 260, 
        LAS VEGAS, NV, 89144, 7027337195 - 0 ($61,750,000.00) Equity, 
        (File 333-147435 - Nov. 15) (BR. 06C)

        REDWOOD SHORES, CA, 94065, 6508027888 - 0 ($11,727,787.20) Equity, 
        (File 333-147436 - Nov. 15) (BR. 03C)

S-8     KLA TENCOR CORP, 160 RIO ROBLES, SAN JOSE, CA, 95134, 4084344200 - 
        0 ($75,000,000.00) Other, (File 333-147437 - Nov. 15) (BR. 10B)


Form 8-K is used by companies to file current reports on the following
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.

NAME OF ISSUER                          CODE   	 8K ITEM NO.	    	        DATE       COMMENT
180 Connect Inc.                        DE       5.02                           11/12/07

1st Pacific Bancorp                     CA       5.02,9.01                      11/08/07

AARON RENTS INC                         GA       5.03,9.01                      11/13/07

ABIGAIL ADAMS NATIONAL BANCORP INC      DE       2.02,9.01                      11/15/07

ABM INDUSTRIES INC /DE/                 DE       1.01,1.02,2.01,2.03,9.01       11/14/07

ABX AIR INC                                      1.01,2.02,2.03,9.01            10/26/07

ACTION PRODUCTS INTERNATIONAL INC       FL       1.01,9.01                      11/15/07

ACTIVANT SOLUTIONS INC /DE/             DE       1.01,5.02                      11/02/07    AMEND

ADC TELECOMMUNICATIONS INC              MN       8.01                           11/15/07

Advanced Life Sciences Holdings, Inc.            8.01,9.01                      11/15/07

ADVANCED PHOTONIX INC                   DE       2.02,9.01                      11/12/07

ADVENT SOFTWARE INC /DE/                DE       8.01                           11/08/07

AEROPOSTALE INC                                  1.01,1.02,2.03,7.01,9.01       11/13/07

AFC ENTERPRISES INC                     MN       2.02,9.01                      11/14/07

AFFIRMATIVE INSURANCE HOLDINGS INC      DE       5.02                           11/08/07

AGILENT TECHNOLOGIES INC                DE       2.02,5.02,8.01,9.01            11/15/07

ALDILA INC                              DE       7.01,9.01                      11/13/07

Aleris International, Inc.              DE       2.02,9.01                      11/09/07    AMEND

ALICO INC                               FL       2.02,9.01                      11/14/07

ALION SCIENCE & TECHNOLOGY CORP         DE       5.05,9.01                      11/13/07

Alliance Holdings GP, L.P.              DE       7.01,9.01                      11/12/07

ALLIANCE LAUNDRY HOLDINGS LLC                    2.02,9.01                      11/15/07

ALLIANCE RESOURCE PARTNERS LP           DE       7.01,9.01                      11/12/07

Allied Nevada Gold Corp                 DE       7.01,9.01                      11/13/07

ALMOST FAMILY INC                       DE       5.03,9.01                      11/12/07

AMB PROPERTY CORP                       MD       8.01,9.01                      11/14/07

AMB PROPERTY LP                         DE       8.01,9.01                      11/14/07

AMBASSADORS INTERNATIONAL INC           DE       5.02,9.01                      11/12/07

AMEREN CORP                             MO       5.04                           11/15/07

AMERICAN AXLE & MANUFACTURING HOLDING   DE       5.02,5.05                      10/25/07

AMERICAN EQUITY INVESTMENT LIFE HOLDI   IA       7.01                           11/15/07

AMERICAN FINANCIAL GROUP INC            OH       8.01,9.01                      11/14/07

AMERICAN HOMEPATIENT INC                DE       2.02,9.01                      11/14/07

AMERICAN INTERNATIONAL GROUP INC        DE       8.01,9.01                      11/09/07

American Lorain CORP                    DE       2.02,9.01                      11/15/07

AMERICAN OIL & GAS INC                  NV       7.01,9.01                      11/15/07

AMERICAN PACIFIC CORP                   DE       5.02,5.03,9.01                 11/13/07

AMERITYRE CORP                          NV       8.01                           11/15/07

AMG OIL LTD                             NV       4.01,9.01                      11/13/07    AMEND

AMYLIN PHARMACEUTICALS INC              DE       8.01,9.01                      11/15/07

AP PHARMA INC /DE/                      DE       9.01                           11/14/07    AMEND

APOLLO GOLD CORP                                 2.02,9.01                      11/14/07

APOLLO RESOURCES INTERNATIONAL INC      UT       8.01                           11/14/07

ARBITRON INC                            DE       7.01,9.01                      11/15/07

ARGENTEX MINING CORP                    NV       3.02,3.03,5.03,9.01            11/05/07

ARRIS GROUP INC                         DE       8.01,9.01                      11/14/07

Ashton Woods USA L.L.C.                 NV       5.02                           11/12/07

ASIAN FINANCIAL INC                     WY       2.02,9.01                      11/15/07

ASIANADA, INC.                          NV       1.01,2.03,9.01                 11/15/07

ASPYRA INC                              CA       5.02,9.01                      11/15/07

ASTEA INTERNATIONAL INC                 DE       2.02,9.01                      11/15/07

ATHEROGENICS INC                        GA       8.01                           11/14/07

ATWOOD OCEANICS INC                     TX       7.01                           11/15/07

AUTHENTIDATE HOLDING CORP               DE       5.02,5.03,9.01                 11/08/07

AUTOBYTEL  INC                          DE       5.02,9.01                      11/10/07

AUTODESK INC                            DE       2.02,9.01                      11/15/07

AVANEX CORP                             DE       5.02,5.03,9.01                 11/08/07

AVATECH SOLUTIONS INC                   DE       2.02,9.01                      11/14/07

AVAX TECHNOLOGIES INC                   DE       8.01,9.01                      11/13/07

Avicena Group, Inc.                     DE       1.01,9.01                      11/09/07

Basin Water, Inc.                       DE       2.02,9.01                      11/14/07

Basin Water, Inc.                       DE       1.01,9.01                      11/12/07

BEA SYSTEMS INC                         DE       2.02,9.01                      11/15/07

BEACON POWER CORP                       DE       2.02,9.01                      11/09/07

BEAR STEARNS COMPANIES INC              DE       8.01,9.01                      11/14/07

BELL MICROPRODUCTS INC                  CA       3.01,5.02,5.03,9.01            11/09/07

BERLINER COMMUNICATIONS INC             DE       5.02,9.01                      11/15/07

BI-OPTIC VENTURES INC                            7.01,9.01                      11/14/07

BigString CORP                          DE       1.01,2.02,2.04,9.01            09/13/07

BIOTIME INC                             CA       2.02,9.01                      11/15/07

BLACK BOX CORP                          DE       8.01                           11/12/07

BLUE DOLPHIN ENERGY CO                  DE       2.02,9.01                      11/14/07

BLUE HOLDINGS, INC.                     NV       1.01,3.01,3.02,9.01            11/12/07

BRAINTECH INC                           NV       5.02,9.01                      11/13/07

Bridge Capital Holdings                 CA       5.02,9.01                      11/15/07

BROADCAST INTERNATIONAL INC             UT       5.02                           11/09/07

BROADCOM CORP                           CA       8.01,9.01                      11/14/07

Bronco Drilling Company, Inc.           DE       1.01                           11/15/07

BUILDING MATERIALS CORP OF AMERICA      DE       2.02,9.01                      11/14/07

CAB-TIVE ADVERTISING, INC.              NV       5.02,8.01,9.01                 11/13/07

CALIFORNIA COASTAL COMMUNITIES INC      DE       5.02                           11/12/07

CAPITAL ALLIANCE INCOME TRUST REAL ES   DE       2.02,9.01                      11/14/07

CAPITAL GOLD CORP                       NV       5.02                           11/13/07

CASEYS GENERAL STORES INC               IA       7.01                           11/15/07

CHANNELL COMMERCIAL CORP                DE       2.02                           11/14/07

CHART INDUSTRIES INC                    DE       7.01,9.01                      11/13/07

CHASE BANK USA, NATIONAL ASSOCIATION    DE       8.01,9.01                      11/15/07

CHASE CREDIT CARD MASTER TRUST          NY       8.01,9.01                      11/15/07

CHENIERE ENERGY INC                     DE       7.01,9.01                      11/14/07

Cheniere Energy Partners, L.P.          DE       7.01,9.01                      11/14/07

CHINA AGRITECH INC                               2.02,9.01                      11/14/07

China Architectural Engineering, Inc.   DE       2.02,7.01,9.01                 11/14/07

China Biologic Products, Inc.           F4       2.02,9.01                      11/15/07

CHINA IVY SCHOOL, INC.                  NV       2.02,7.01,9.01                 11/14/07

CHINA ORGANIC AGRICULTURE, INC.                  7.01,9.01                      11/14/07

China Public Security Technology, Inc            2.02,9.01                      11/14/07

China Shenghuo Pharmaceutical Holding            2.02,7.01,9.01                 11/14/07

China Shuangji Cement Ltd.              CA       4.02,5.02                      11/13/07

CHORDIANT SOFTWARE INC                  DE       2.02,9.01                      11/15/07

CINCINNATI BELL INC                     OH       5.02,9.01                      11/09/07

Cinemark Holdings, Inc.                 DE       1.01,2.02,7.01,9.01            11/12/07

CITIBANK OMNI-S MASTER TRUST                     8.01                           11/13/07

CITIBANK SOUTH DAKOTA N A               DE       8.01                           10/16/07

CITY CAPITAL CORP                       NV       1.01,3.02,8.01                 11/07/07

CKE RESTAURANTS INC                     DE       2.02,9.01                      11/14/07

CLAIBORNE LIZ INC                       DE       8.01,9.01                      11/12/07

CLAYTON WILLIAMS ENERGY INC /DE         DE       7.01,9.01                      11/14/07

Clean Energy Fuels Corp.                DE       2.02,9.01                      11/12/07

CLEARANT INC                                     2.02,9.01                      11/15/07

CNB FINANCIAL CORP/PA                   PA       8.01                           11/14/07

COATES INTERNATIONAL LTD \DE\           DE       8.01,9.01                      11/13/07

COCA COLA CO                            DE       8.01,9.01                      11/15/07

CODORUS VALLEY BANCORP INC              PA       5.03,9.01                      11/13/07

COINMACH SERVICE CORP                   DE       8.01,9.01                      11/15/07

COLONIAL COMMERCIAL CORP                NY       2.02,9.01                      11/14/07

COLORADO GOLDFIELDS INC.                NV       1.01,3.02,9.01                 11/14/07

COMMERCE BANCSHARES INC /MO/            MO       8.01                           11/13/07

COMPELLENT TECHNOLOGIES INC             DE       2.02,9.01                      11/15/07

CONEXANT SYSTEMS INC                    DE       5.02,9.01                      11/14/07

CONSUMER PORTFOLIO SERVICES INC         CA       1.01                           11/08/07

CONTINENTAL MATERIALS CORP              DE       8.01,9.01                      11/14/07

Convergence Ethanol, Inc.                        1.03,2.04                      11/06/07

COOPER COMPANIES INC                    DE       7.01,9.01                      11/14/07    AMEND

Cooper-Standard Holdings Inc.           DE       2.02,9.01                      11/14/07

CORTEX PHARMACEUTICALS INC/DE/          DE       5.03,9.01                      11/14/07

COSTCO WHOLESALE CORP /NEW              WA       1.01,8.01,9.01                 11/13/07

CRDENTIA CORP                           DE       1.01,2.01                      11/14/07

CRDENTIA CORP                           DE       1.01,3.02,9.01                 11/13/07

Crystal River Capital, Inc.             MD       7.01,9.01                      11/15/07

CSS INDUSTRIES INC                      DE       8.01,9.01                      11/12/07

CUBIC CORP /DE/                         DE       5.02                           11/14/07

CURAGEN CORP                            DE       8.01                           11/15/07

CYTORI THERAPEUTICS, INC.               DE       5.02                           11/09/07

DANAHER CORP /DE/                       DE       1.01,2.03,9.01                 11/13/07

DATARAM CORP                            NJ       2.02,8.01,9.01                 11/15/07

DELPHI CORP                             DE       8.01,9.01                      11/14/07

DELTA FINANCIAL CORP                    DE       2.02,9.01                      09/30/07

DELTA OIL & GAS INC                              4.01,5.02,9.01                 10/15/07    AMEND

DERMA SCIENCES, INC.                    PA       3.02,9.01                      11/08/07

DERMA SCIENCES, INC.                    PA       1.02,2.03,9.01                 11/08/07

DERMA SCIENCES, INC.                    PA       2.01,9.01                      11/09/07

DigitalFX International Inc             FL       2.02,9.01                      11/09/07

DIRECTV GROUP INC                       DE       3.01,9.01                      11/14/07

DITECH NETWORKS INC                     DE       2.02,9.01                      11/15/07

DOCUMENT SECURITY SYSTEMS INC           NY       2.02,9.01                      11/14/07

DOW CHEMICAL CO /DE/                    DE       5.02                           11/10/07

DOWNEY FINANCIAL CORP                   DE       7.01,9.01                      10/31/07

DUKE REALTY CORP                        IN       1.01,2.03,9.01                 11/13/07

DUKE REALTY LIMITED PARTNERSHIP/        IN       1.01,2.03,9.01                 11/13/07

EAGLE BROADBAND INC                     TX       1.03                           11/14/07

Eagle Bulk Shipping Inc.                         5.02,9.01                      11/09/07

EARTH BIOFUELS INC                      DE       8.01                           11/15/07

EBIX INC                                DE       5.02                           11/11/07

EDGE PETROLEUM CORP                     DE       5.04,9.01                      11/13/07

ELDORADO ARTESIAN SPRINGS INC           CO       2.02,9.01                      11/15/07

ELECTRONIC SYSTEMS TECHNOLOGY INC       WA       8.01,9.01                      11/13/07

ELECTRONICS FOR IMAGING INC             DE       5.03,8.01,9.01                 11/09/07

EMAGEON INC                                      5.03,9.01                      11/13/07

EMAGIN CORP                             DE       2.02,9.01                      11/14/07

EMAK Worldwide, Inc.                    DE       1.01,2.03,9.01                 11/15/07

EMERITUS CORP\WA\                       WA       5.03,9.01                      11/13/07

EMERSON RADIO CORP                      DE       2.02,9.01                      11/15/07

ENERGY XXI (BERMUDA) LTD                D0       5.03,9.01                      11/13/07

ENHERENT CORP                           DE       1.02,5.02                      11/15/07

ENSCO INTERNATIONAL INC                 DE       2.02,9.01                      11/15/07

EPIX Pharmaceuticals, Inc.                       1.01,3.02,7.01,9.01            11/09/07

EQUUS TOTAL RETURN, INC.                DE       2.02,8.01,9.01                 11/14/07

EROOMSYSTEM TECHNOLOGIES INC            NV       2.02,9.01                      11/15/07

ESCO TECHNOLOGIES INC                   MO       5.02                           11/09/07

EXPRESSJET HOLDINGS INC                 DE       8.01,9.01                      10/31/07

FAIRCHILD SEMICONDUCTOR INTERNATIONAL   DE       7.01                           11/14/07

FARMER BROTHERS CO                      CA       2.02,9.01                      11/09/07

FCStone Group, Inc.                     DE       2.02,9.01                      11/15/07

FCStone Group, Inc.                     DE       5.02,9.01                      11/15/07

Federal Home Loan Bank of Atlanta       X1       2.03                           11/09/07

Federal Home Loan Bank of Boston        X1       8.01,9.01                      11/08/07

Federal Home Loan Bank of Boston        X1       5.02,9.01                      11/15/07

Federal Home Loan Bank of Boston        X1       7.01,9.01                      11/15/07

Federal Home Loan Bank of Boston        X1       2.03                           11/09/07

Federal Home Loan Bank of Chicago       X1       2.03                           11/13/07

Federal Home Loan Bank of Cincinnati    X1       2.03,9.01                      11/09/07

Federal Home Loan Bank of Des Moines    X1       2.03,9.01                      11/13/07

Federal Home Loan Bank of Indianapoli   X1       2.03,9.01                      11/13/07

Federal Home Loan Bank of New York      X1       2.03,9.01                      11/13/07

Federal Home Loan Bank of Pittsburgh    PA       2.03,9.01                      11/09/07

Federal Home Loan Bank of San Francis   X1       2.03                           11/09/07

Federal Home Loan Bank of Seattle                2.03                           11/14/07

Federal Home Loan Bank of Topeka                 2.02,7.01,9.01                 11/15/07

Federal Home Loan Bank of Topeka                 2.03                           11/13/07

Fidelity National Financial, Inc.                2.01,9.01                      11/09/07

FIELDPOINT PETROLEUM CORP               CO       7.01                           11/13/07    AMEND

FINISH LINE INC /IN/                    IN       8.01                           11/15/07

FIRST CORP /CN/                         CO       8.01,9.01                      11/14/07

First Guaranty Bancshares, Inc.         LA       7.01                           11/09/07

FIRST KEYSTONE CORP                     PA       5.02                           11/15/07

FIRST OTTAWA BANCSHARES INC             DE       8.01,9.01                      11/14/07

Fittipaldi Logistics, Inc.              NV       1.01,7.01,9.01                 11/08/07

FLIGHT SAFETY TECHNOLOGIES INC          NV       8.01,9.01                      11/15/07

FLOWSERVE CORP                          NY       8.01                           11/13/07

FORD MOTOR CO                           DE       1.01,8.01,9.01                 11/15/07

FORD MOTOR CREDIT CO LLC                DE       8.01,9.01                      11/15/07

Fortress International Group, Inc.      DE       7.01,9.01                      11/15/07

Fortress Investment Group LLC           DE       2.02,9.01                      11/13/07

FRANKLIN CREDIT MANAGEMENT CORP/DE/     DE       1.01,2.06,8.01,9.01            11/15/07

FREMONT GENERAL CORP                    NV       1.01,5.02,9.01                 11/08/07

Fuel Systems Solutions, Inc.            DE       2.02                           11/14/07

FUQI INTERNATIONAL, INC.                DE       2.02,7.01,9.01                 11/14/07

FUSION TELECOMMUNICATIONS INTERNATION            2.02,9.01                      11/15/07

g8wave Holdings, Inc.                            2.02,7.01,9.01                 11/14/07

GAINSCO INC                             TX       2.02,9.01                      11/13/07

GALAXY ENERGY CORP                      CO       2.03,9.01                      11/09/07

GAMMACAN INTERNATIONAL INC              DE       5.02                           11/15/07

GASTAR EXPLORATION LTD                           7.01,8.01,9.01                 11/15/07

GENCO SHIPPING & TRADING LTD                     2.01,9.01                      11/15/07

GENELINK INC                                     3.02                           11/09/07

GENERAL CABLE CORP /DE/                 DE       5.02,9.01                      11/12/07

GENERAL ELECTRIC CAPITAL CORP           CT       8.01,9.01                      11/06/07

GENERAL STEEL HOLDINGS INC              NV       2.02,9.01                      11/15/07

GENTA INC DE/                           DE       8.01,9.01                      11/15/07

GEO GROUP INC                           FL       2.02,9.01                      11/09/07

GeoPharma, Inc.                         FL       2.02,8.01,9.01                 11/12/07

GEOVIC MINING CORP.                     DE       7.01,9.01                      11/15/07

GEVITY HR INC                           FL       5.02                           11/09/07

GIGA TRONICS INC                        CA       8.01,9.01                      11/13/07

GLOBAL PARTNERS LP                               2.01,7.01,9.01                 11/14/07

GOAMERICA INC                           DE       2.02,9.01                      11/15/07

GOLDLEAF FINANCIAL SOLUTIONS INC.       TN       2.02,9.01                      11/15/07

GOUVERNEUR BANCORP INC                  DE       2.02,9.01                      11/15/07

GREATER COMMUNITY BANCORP               NJ       1.01,5.02,9.01                 11/13/07

GREEN MOUNTAIN COFFEE ROASTERS INC      DE       2.02,9.01                      11/15/07

GRYPHON GOLD CORP                       NV       7.01,9.01                      11/14/07

GSC INVESTMENT CORP.                    MD       8.01,9.01                      11/15/07

HALIFAX CORP OF VIRGINIA                VA       2.02,9.01                      11/15/07

Hana Biosciences Inc                    DE       1.02                           11/08/07

HANCOCK FABRICS INC                     DE       5.02,9.01                      11/15/07

HARLAND CLARKE HOLDINGS CORP            DE       2.02,9.01                      11/15/07

HARRINGTON WEST FINANCIAL GROUP INC/C            5.02,9.01                      11/15/07

HAWKINS INC                             MN       5.02,9.01                      11/09/07

HAYES LEMMERZ INTERNATIONAL INC         DE       1.01,2.01,9.01                 11/09/07

Health Fitness Corp /MN/                MN       2.02,4.02,9.01                 11/12/07

HEALTHWAYS, INC                         DE       5.03,9.01                      11/08/07

HELMERICH & PAYNE INC                   DE       2.02,9.01                      11/15/07

HEMISPHERX BIOPHARMA INC                DE       5.03                           11/15/07

Henry Bros. Electronics, Inc.           DE       2.02,5.02,5.03,9.01            11/08/07

HERTZ CORP                              DE       2.02,9.01                      11/13/07

HERTZ GLOBAL HOLDINGS INC                        2.02,9.01                      11/13/07

HOME DEPOT INC                          DE       5.02,9.01                      11/08/07

HOME PROPERTIES INC                     MD       7.01,9.01                      11/08/07    AMEND

Horne International, Inc.               DE       2.02,9.01                      11/14/07

House of Taylor Jewelry, Inc.           NV       9.01                           11/15/07

HSBC Finance Corp                                8.01,9.01                      11/15/07

HUDSON CITY BANCORP INC                 DE       7.01,9.01                      11/14/07

HUNGARIAN TELEPHONE & CABLE CORP        DE       2.02,7.01,9.01                 11/15/07

HUTTON HOLDINGS CORP                    NV       5.03                           11/15/07

I2 TELECOM INTERNATIONAL INC            WA       5.02,9.01                      11/15/07

IBT BANCORP INC /MI/                    MI       2.02,9.01                      11/11/07

ICF International, Inc.                 DE       1.01,9.01                      11/15/07

IGATE CORP                              PA       8.01,9.01                      11/15/07

IMAGENETIX INC /NV/                     NV       2.01,9.01                      11/14/07

IMAGING DIAGNOSTIC SYSTEMS INC /FL/     FL       5.05,9.01                      11/15/07    AMEND

INFORMATICA CORP                        DE       5.02                           11/13/07

INFORMATION ANALYSIS INC                VA       2.02,9.01                      11/13/02

INFORMEDIX HOLDINGS INC                 NV       4.01                           10/26/07    AMEND

INFOTECH USA INC                        DE       1.01,8.01,9.01                 11/15/07

INGRAM MICRO INC                        DE       5.02,9.01                      11/13/07

INTEL CORP                              DE       7.01                           11/14/07

INTERNATIONAL BUSINESS MACHINES CORP    NY       7.01                           11/15/07

INTERNATIONAL ISOTOPES INC              TX       5.02,7.01,9.01                 11/12/07

INTERPHARM HOLDINGS INC                 DE       1.01                           11/07/07

INTERPHARM HOLDINGS INC                 DE       3.01,8.01                      11/15/07

INTERWOVEN INC                          CA       3.01                           11/09/07

INTUIT INC                              DE       2.02,9.01                      11/15/07

IXI Mobile, Inc.                        DE       1.01,3.02,9.01                 11/11/07

J C PENNEY CO INC                       DE       2.02,9.01                      11/15/07

J P MORGAN CHASE & CO                   DE       9.01                           11/14/07

JACLYN INC                              DE       2.02,9.01                      11/14/07

Ketner Global Investments Inc           NV       4.01,4.02,9.01                 11/12/07    AMEND

KEY ENERGY SERVICES INC                 MD       1.01,2.03,8.01,9.01            11/12/07

KEY TECHNOLOGY INC                      OR       2.02,9.01                      11/15/07

KeyOn Communications Holdings Inc.      DE       2.02,9.01                      11/14/07

KITTY HAWK INC                          DE       8.01                           11/15/07

KOHLS CORPORATION                       WI       2.02,7.01,9.01                 11/15/07

KOPIN CORP                              DE       3.01,9.01                      11/12/07

KRAFT FOODS INC                         VA       8.01,9.01                      11/15/07

Kraton Polymers LLC                     DE       7.01,9.01                      11/15/07

KULICKE & SOFFA INDUSTRIES INC          PA       2.02,9.01                      11/15/07

LAZARE KAPLAN INTERNATIONAL INC         DE       5.03,9.01                      11/12/07

LEGACY RESERVES LP                      DE       7.01,9.01                      11/15/07

LEHMAN BROTHERS HOLDINGS INC            DE       5.02,5.03,9.01                 11/08/07

LEVITT CORP                             FL       2.02,9.01                      11/09/07

LIMCO-PIEDMONT INC                      DE       8.01,9.01                      11/15/07

LIME ENERGY CO.                         DE       8.01,9.01                      11/15/07

LITHIA MOTORS INC                       OR       5.03,9.01                      11/15/07

LSI CORP                                DE       5.03,9.01                      11/09/07

M&T BANK CORP                           NY       2.02,9.01                      11/15/07

MACE SECURITY INTERNATIONAL INC         DE       2.02,9.01                      11/14/07

MACE SECURITY INTERNATIONAL INC         DE       1.01,9.01                      11/08/07

MARTIN MIDSTREAM PARTNERS LP            DE       3.02                           11/14/07

MATTHEWS INTERNATIONAL CORP             PA       5.02,9.01                      11/13/07

Mayflower Bancorp Inc                   MA       5.03,9.01                      11/08/07

MCMORAN EXPLORATION CO /DE/             DE       1.01,8.01,9.01                 11/08/07

MED-EMERG INTERNATIONAL INC                      2.02,9.01                      11/14/07

MEDALLION FINANCIAL CORP                DE       8.01,9.01                      11/13/07

MEDCATH CORP                            DE       7.01,9.01                      11/15/07

MEDCATH CORP                            DE       8.01,9.01                      11/14/07

MEDIALINK WORLDWIDE INC                 DE       2.02,9.01                      11/14/07

MEGA MEDIA GROUP INC                    NV       1.01                           11/09/07

Merrill Lynch Alternative Note Asset    DE       8.01,9.01                      10/31/07

METLIFE INC                             DE       8.01,9.01                      11/15/07

MICROSEMI CORP                          DE       2.02                           11/15/07

MIDWEST AIR GROUP INC                   WI       8.01,9.01                      11/12/07

MINISTRY PARTNERS INVESTMENT CORP       CA       5.02                           11/15/07

MISONIX INC                             NY       2.02,9.01                      11/14/07

MobiVentures Inc.                       NV       1.01,3.02,9.01                 11/09/07

MONACO COACH CORP /DE/                  DE       5.03,9.01                      11/12/07

Morgan Stanley Mortgage Loan Trust 20   DE       8.01,9.01                      09/28/07

MOUNTAINS WEST EXPLORATION INC          NM       1.01,2.01,2.03,3.02,5.01,5.02, 11/07/07

MOVIE STAR INC /NY/                     NY       2.02,8.01,9.01                 11/13/07

MRU HOLDINGS INC                        DE       2.02,9.01                      11/14/07

MTM Technologies, Inc.                  NY       4.01,9.01                      11/15/07

MTS MEDICATION TECHNOLOGIES, INC /DE/   DE       5.02,7.01,9.01                 11/15/07

MTS SYSTEMS CORP                        MN       2.02,9.01                      11/15/07

MUTUALFIRST FINANCIAL INC               MD       8.01,9.01                      11/14/07

MY SCREEN MOBILE, INC.                           2.03,8.01                      09/07/07

NASTECH PHARMACEUTICAL CO INC           DE       7.01,9.01                      11/14/07

NATIONAL ATLANTIC HOLDINGS CORP         NJ       8.01                           11/13/07

NATIONAL ENERGY SERVICES CO INC         NV       2.02,9.01                      11/15/07

National Health Partners Inc                     2.02,9.01                      11/13/07

NATIONAL LAMPOON INC                    CA       2.02,9.01                      11/15/07

NATIONAL OILWELL VARCO INC              DE       5.03,9.01                      11/14/07

NATURADE INC                            DE       5.02,9.01                      11/09/07

NATURE VISION, INC.                     MN       1.01,1.02,2.03,9.01            11/08/07

NBT BANCORP INC                         DE       5.02                           10/22/07

Neonode, Inc                            DE       8.01,9.01                      11/15/07

NEW JERSEY RESOURCES CORP               NJ       1.01,2.02,5.03,9.01            11/15/07

NEW MOTION, INC.                        DE       2.02,8.01,9.01                 11/14/07

NEW YORK MORTGAGE TRUST INC             MD       2.02,7.01,9.01                 11/14/07

NORDIC NICKEL LTD                       NV       5.02,5.03                      11/14/07

NovaBay Pharmaceuticals, Inc.           CA       2.02,9.01                      11/15/07

NOVADEL PHARMA INC                      DE       2.02,9.01                      11/14/07

NOVASTAR FINANCIAL INC                  MD       7.01,9.01                      11/15/07

NOVEN PHARMACEUTICALS INC               DE       5.02,5.03,9.01                 11/13/07

NTR Acquisition Co.                     DE       8.01,9.01                      11/15/07

Nuance Communications, Inc.             DE       2.02,9.01                      11/15/07

NUTECH DIGITAL INC                      CA       4.01                           10/26/07

NYSE Euronext                           DE       5.02                           11/14/07

O2DIESEL CORP                           DE       2.02,9.01                      11/15/07

OCEANEERING INTERNATIONAL INC           DE       7.01                           11/15/07

ON THE GO HEALTHCARE INC                         5.03                           11/12/07

OPTIMAL GROUP INC                                7.01                           11/15/07

ORAMED PHARMACEUTICALS INC.             NV       7.01,9.01                      11/15/07

Orsus Xelent Technologies Inc           DE       2.02,9.01                      11/15/07

PACIFIC GAS & ELECTRIC CO               CA       8.01                           11/14/07

PANDA ETHANOL, INC.                     NV       1.01,9.01                      11/09/07

PANTRY INC                              DE       2.02,7.01,9.01                 11/15/07

Paramount Acquisition Corp              DE       8.01,9.01                      11/15/07

PARTICLE DRILLING TECHNOLOGIES INC/NV   NV       5.02                           11/15/07

PATCH INTERNATIONAL INC/CN                       5.03,8.01,9.01                 09/14/07    AMEND

PCMT CORP                               DE       1.01,3.02,8.01,9.01            11/14/07

PEABODY ENERGY CORP                     DE       7.01,9.01                      11/15/07

Peninsula Gaming, LLC                   DE       2.02                           09/30/07

PENN NATIONAL GAMING INC                PA       8.01                           11/09/07

PetroHunter Energy Corp                 MD       1.01,2.03,3.02,8.01,9.01       11/13/07

PFIZER INC                              DE       8.01,9.01                      11/15/07

PG&E CORP                               CA       8.01                           11/14/07

PharMerica CORP                         DE       5.02                           11/13/07

PIER 1 IMPORTS INC/DE                   DE       5.02,9.01                      11/09/07

PITNEY BOWES INC /DE/                   DE       7.01,9.01                      11/15/07

PLAINS ALL AMERICAN PIPELINE LP         DE       7.01                           11/15/07

PLANETLINK COMMUNICATIONS INC           GA       1.01,3.03,9.01                 11/09/07

POLYONE CORP                                     7.01,9.01                      11/15/07

POMEROY IT SOLUTIONS INC                DE       5.02                           11/12/07

POSSIS MEDICAL INC                      MN       7.01,9.01                      11/15/07

POTOMAC ELECTRIC POWER CO               VA       8.01,9.01                      11/13/07

POWERWAVE TECHNOLOGIES INC              DE       8.01                           11/14/07

PRESIDENTIAL REALTY CORP/DE/            DE       2.02                           11/14/07

PRINCIPAL LIFE INSURANCE CO             IA       9.01                           11/09/07

PRINCIPAL LIFE INSURANCE CO             IA       9.01                           11/09/07

PRINCIPAL LIFE INSURANCE CO             IA       9.01                           11/09/07

PRO DEX INC                             CO       2.02,9.01                      11/13/07    AMEND

PROCENTURY CORP                                  7.01,9.01                      11/14/07

PROGINET CORP                           DE       2.02,9.01                      11/14/07

PROVIDENCE SERVICE CORP                 DE       1.01,2.03,3.02,9.01            11/09/07

Puda Coal, Inc.                                  1.02,2.01,9.01                 11/08/07

PVF CAPITAL CORP                        OH       2.02,9.01                      11/09/07

QMED INC                                DE       5.02,8.01,9.01                 11/12/07

QRS MUSIC TECHNOLOGIES INC              DE       3.01,8.01                      11/15/07

QUANTUM CORP /DE/                       DE       5.02,9.01                      11/10/07

QUEST RESOURCE CORP                     NV       5.02,9.01                      11/08/07

QUESTCOR PHARMACEUTICALS INC            CA       5.02,5.03,7.01,9.01            11/12/07

QUIPP INC                               FL       2.02,9.01                      11/14/07

RAE SYSTEMS INC                         DE       1.01                           11/09/07

RALCORP HOLDINGS INC /MO                MO       7.01,9.01                      11/15/07

RALCORP HOLDINGS INC /MO                MO       5.02,8.01,9.01                 11/14/07

RALCORP HOLDINGS INC /MO                MO       2.02,9.01                      11/07/07

RAMBUS INC                              DE       5.03,9.01                      11/13/07

RED CARPET ENTERTAINMENT INC            NV       8.01                           11/12/07

REDENVELOPE INC                         DE       2.02,9.01                      11/14/07

REEDS INC                               DE       2.02,9.01                      11/15/07

REGIONS FINANCIAL CORP                  DE       5.02,9.01                      11/15/07

RELIABILITY INC                         TX       5.02                           11/14/07

RELM WIRELESS CORP                      NV       2.02,9.01                      11/12/07

RENEWABLE ENERGY RESOURCES INC          NV       5.02,8.01                      11/12/07

RETROSPETTIVA INC                                2.03,9.01                      11/14/07

RLI CORP                                IL       8.01,9.01                      11/14/07

ROCHESTER MEDICAL CORPORATION           MN       2.02,9.01                      11/15/07

ROCKWELL AUTOMATION INC                 DE       5.02,9.01                      11/09/07

ROTECH HEALTHCARE INC                   DE       5.02                           11/15/07

ROYAL BANCSHARES OF PENNSYLVANIA INC    PA       2.06,3.01,8.01,9.01            11/09/07

ROYAL GOLD INC                          DE       3.03,5.03,9.01                 11/08/07

Royal Spring Water Inc                           5.02                           11/13/07

RURAL/METRO CORP /DE/                   DE       3.01,7.01,9.01                 11/14/07

RYLAND GROUP INC                        MD       2.04                           11/14/07

SALESFORCE COM INC                      DE       2.02,9.01                      11/15/07

SANDERS MORRIS HARRIS GROUP INC         TX       8.01,9.01                      11/15/07

SANTANDER BANCORP                                2.02,9.01                      11/14/07

SATCON TECHNOLOGY CORP                  DE       2.02,9.01                      11/13/07

SBARRO INC                              NY       2.02,9.01                      11/14/07

SELECTIVE INSURANCE GROUP INC           NJ       7.01,9.01                      11/15/07

SELIGMAN SELECT MUNICIPAL FUND INC      MD       7.01,9.01                      11/15/07

SENESCO TECHNOLOGIES INC                DE       2.02,9.01                      11/15/07

SERVICE 1ST BANCORP                     CA       2.02,9.01                      11/14/07

SERVOTRONICS INC /DE/                   DE       2.02,9.01                      11/12/07

Siberian Energy Group Inc.              NV       3.02,8.01,9.01                 10/22/07

SILICON GRAPHICS INC                    DE       5.02                           11/09/07

SIMMONS CO                              DE       2.02,9.01                      11/13/07

SMART MOVE, INC.                        DE       1.01,3.02,9.01                 11/14/07

Smart SMS Corp                          FL       1.01,5.03,9.01                 08/06/07

SMITH MICRO SOFTWARE INC                DE       1.01,9.01                      11/12/07

SMTC CORP                               DE       2.02,9.01                      11/12/07

Solo Cup CO                             DE       2.01,2.02,9.01                 11/12/07

Sound Worldwide Holdings, Inc.          DE       1.01,2.01,3.02,4.01,5.02,5.03, 10/25/07    AMEND

SOUTHERN MICHIGAN BANCORP INC           MI       7.01,9.01                      11/15/07

SOUTHWALL TECHNOLOGIES INC /DE/         DE       2.02,9.01                      11/14/07

SOUTHWEST GAS CORP                      CA       5.03                           11/15/07

SOUTHWESTERN ENERGY CO                  DE       1.01,8.01,9.01                 11/09/07

SOVEREIGN BANCORP INC                   PA       5.02,9.01                      11/09/07

SPARE BACKUP, INC.                      DE       8.01                           11/15/07

SPHERIX INC                             DE       5.03,9.01                      11/09/07

SPLINTERNET HOLDINGS INC                DE       4.01,9.01                      11/15/07

SPORT HALEY INC                         CO       2.02,9.01                      11/14/07

Star Resorts Development Inc.           NV       5.02                           11/13/07

STARBUCKS CORP                          WA       2.02,5.02,9.01                 11/15/07

STEAK & SHAKE CO                        IN       2.02,9.01                      11/15/07

STERLING FINANCIAL CORP /PA/            PA       3.01                           11/13/07

STONE ENERGY CORP                       DE       7.01,9.01                      11/15/07

STRUCTURED PROD CORTS TR II FOR PROVI   DE       8.01                           11/06/07

STRUCTURED PRODUCTS CORP CORTS FOR PR   DE       8.01                           11/06/07

STRUCTURED PRODUCTS CORP CORTS TR III   DE       8.01                           11/06/07

STRUCTURED PRODUCTS CORP CORTS TRUST    DE       8.01                           11/06/07

SUBURBAN PROPANE PARTNERS LP            DE       2.02,9.01                      11/15/07

SULPHCO INC                             NV       1.01,9.01                      11/09/07

SUNLINK HEALTH SYSTEMS INC              OH       2.02,7.01,9.01                 11/14/07

SUNLINK HEALTH SYSTEMS INC              OH       8.01,9.01                      11/07/07

SUNRISE SENIOR LIVING INC               DE       3.01                           11/15/07

SUNTRUST BANKS INC                      GA       7.01,9.01                      11/15/07

SUPERCONDUCTOR TECHNOLOGIES INC         DE       1.01,3.02,3.03,5.03,8.01,9.01  11/09/07

Superior Offshore International Inc.    DE       2.02,5.02,8.01,9.01            11/08/07

Superior Offshore International Inc.    DE       1.01,2.03,9.01                 11/14/07

SURMODICS INC                           MN       5.02,5.03,8.01,9.01            11/12/07

SUTOR TECHNOLOGY                                 2.02,9.01                      11/15/07

SVI Media, Inc.                         NV       5.02                           11/12/07

Symmetry Holdings Inc                   DE       8.01,9.01                      11/08/07

Symmetry Holdings Inc                   DE       8.01,9.01                      11/15/07

SYNTEC BIOFUEL INC                      WA       5.02                           11/08/07

TEL INSTRUMENT ELECTRONICS CORP         NJ       2.02                           11/15/07

TELEPHONE & DATA SYSTEMS INC /DE/       DE       5.03,9.01                      11/13/07

TELESTONE TECHNOLOGIES CORP             CO       2.02,9.01                      11/14/07

TELULAR CORP                            DE       8.01                           11/12/07

TERRESTAR CORP                          DE       7.01,9.01                      11/15/07

TETRA TECH INC                          DE       2.02,9.01                      11/14/07

THERAGENICS CORP                        DE       5.02                           11/12/07

THERMO FISHER SCIENTIFIC INC.           DE       5.03,9.01                      11/15/07

TIENS BIOTECH GROUP USA INC                      8.01,9.01                      11/15/07

TMT CAPITAL CORP                        FL       5.02                           11/15/07

TORCH ENERGY ROYALTY TRUST              DE       8.01,9.01                      11/14/07

TREATY OAK BANCORP INC                  TX       2.02,5.02,8.01,9.01            11/13/07

TRI-CONTINENTAL CORP                    MD       7.01,9.01                      11/15/07

TRIAD AUTOMOBILE RECEIVABLES TRUST 20            8.01,9.01                      11/14/07

TRIPOS INC                              UT       5.02,8.01,9.01                 11/14/07

TTM TECHNOLOGIES INC                    WA       7.01,9.01                      11/15/07

TULLYS COFFEE CORP                               2.02,9.01                      11/14/07

TUTOGEN MEDICAL INC                     FL       5.02,8.01,9.01                 11/09/07

TXP CORP                                NV       2.02,9.01                      11/14/07

Tyco Electronics Ltd.                   D0       2.02,9.01                      11/15/07

TYCO INTERNATIONAL LTD /BER/            D0       2.02,9.01                      11/15/07

UNICA CORP                                       2.02,9.01                      11/15/07

UNICORP INC /NEW                        NV       8.01,9.01                      11/14/07

UNION BANKSHARES CORP                   VA       8.01,9.01                      11/08/07

UNION PACIFIC CORP                      UT       8.01                           11/15/07

United Community Bancorp                X1       8.01,9.01                      11/15/07

UNITED FUEL & ENERGY CORP               NV       2.02,9.01                      11/14/07

United States Oil Fund, LP              DE       1.01,9.01                      11/13/07

UNIVERSAL CITY DEVELOPMENT PARTNERS L            7.01                           11/15/07

Universal City Florida Holding Co. I    FL       7.01                           11/15/07

UNIVERSAL SECURITY INSTRUMENTS INC      MD       1.01,9.01                      11/13/07

UNIVERSAL TRAVEL GROUP                  NV       2.02,7.01,9.01                 11/09/07

URS CORP /NEW/                          DE       2.01,9.01                      11/15/07

US CONCRETE INC                         DE       1.01,2.03,9.01                 11/09/07

US HOME SYSTEMS INC                     DE       2.02,9.01                      11/14/07

VALIDUS HOLDINGS LTD                             7.01,9.01                      11/15/07

Vella Productions Inc.                  NV       5.02                           11/14/07

VERIDIEN CORP                           DE       7.01,9.01                      11/14/07

VERTIS INC                              DE       2.02,7.01,9.01                 11/14/07

VFINANCE INC                            DE       2.02,9.01                      11/14/07

VICOR CORP                              DE       3.01,7.01,9.01                 11/13/07

VIKING SYSTEMS INC                      DE       8.01                           11/13/07

VINEYARD NATIONAL BANCORP               CA       2.02,9.01                      11/14/07

Virgin Mobile USA, Inc.                 DE       2.02,9.01                      11/15/07

VISION SCIENCES INC /DE/                DE       2.02                           11/14/07

Voyager Learning CO                     DE       2.02,4.01,7.01,9.01            11/14/07

W HOLDING CO INC                        PR       8.01,9.01                      11/12/07

WARWICK VALLEY TELEPHONE CO             NY       8.01,9.01                      11/15/07

WASHINGTON MUTUAL, INC                  WA       5.02,9.01                      11/14/07

WASTE INDUSTRIES USA INC                NC       7.01,9.01                      11/14/07

WATTS WATER TECHNOLOGIES INC            DE       8.01,9.01                      11/09/07

WESTSIDE ENERGY CORP                    NV       1.01,3.02,5.02,5.03,8.01,9.01  11/09/07

Wilber CORP                                      5.02,9.01                      11/13/07

WILLIAMS SONOMA INC                     CA       2.02,8.01,9.01                 11/15/07

WILLIS LEASE FINANCE CORP               DE       2.02,7.01,9.01                 11/13/07

WOODWARD GOVERNOR CO                    DE       2.02,9.01                      11/14/07

Wornick CO                              DE       1.01,9.01                      11/13/07

YTB International, Inc.                 NY       2.02,9.01                      11/14/07

Z TRIM HOLDINGS, INC                    IL       5.02,5.03,7.01,9.01            11/09/07

ZALE CORP                               DE       2.01,9.01                      11/15/07

ZANETT INC                              DE       2.02,9.01                      11/14/07

ZIM CORP                                A6       2.02,9.01                      11/15/07

ZOLL MEDICAL CORP                       MA       2.02,9.01                      11/15/07

ZVUE CORP                               DE       8.01,9.01                      11/14/07

ZVUE CORP                               DE       8.01,9.01                      11/14/07




Modified: 11/16/2007