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SEC NEWS DIGEST
Issue 2007-143 July 26, 2007
COMMISSION ANNOUNCEMENTS
SEC CHAIRMAN COX CALLS FOR IMPROVED INVESTOR PROTECTIONS IN THE MARKET
FOR MUNICIPAL SECURITIES
Securities and Exchange Commission Chairman Christopher Cox today
delivered an SEC staff "white paper" to Congress that calls for
improvements in accounting and disclosure in the municipal securities
market.
The white paper underscores the Chairman's belief that investors in
municipal securities deserve the level of timely, high-quality
disclosure and protection enjoyed by investors in other areas of the
U.S. capital markets.
"I hope this staff analysis will contribute to the Congress's ongoing
examination of the needs of the municipal securities market and
investors in those markets," said Chairman Cox.
The white paper discusses the size and importance of the municipal
securities market, the significant ways in which it has changed over
time, recent enforcement actions, and areas of possible legislative
reform. Chairman Cox delivered the white paper to the leaders of the
SEC's authorizing committees, Senators Christopher Dodd and Richard
Shelby (Chairman and Ranking Member of the Senate Committee on
Banking, Housing, and Urban Affairs) and Representatives Barney Frank
and Spencer Bachus (Chairman and Ranking Member of the House Committee
on Financial Services).
There now are more than $2.4 trillion of municipal securities
outstanding, and annual trading now tops $6 trillion. Individual
investors own as much as two-thirds of these securities directly or
indirectly through money market funds, mutual funds, and closed end
funds.
A number of recent Commission enforcement actions have raised concerns
about the need for disclosure and accounting practices to be
substantially improved in this sizable market affecting millions of
individual investors.
The white paper states that the model of full registration, Commission
review, and other regulation applicable to non-municipal issuers is
not necessary or appropriate for state and local governments. Instead,
the white paper proposes a limited regulatory regime designed
expressly for the needs of the municipal securities market. Possible
steps include:
* Requiring that offering documents and periodic reports provided
to investors contain information similar to what is required for
all other securities offerings;
* Making information on municipal securities available on a more
timely basis, for example, by tapping the power of the Internet
to provide an easily accessible, free source for the display of
that information, similar to the SEC's interactive data systems
for corporations and mutual funds;
* Mandating municipal issuer use of generally accepted governmental
accounting standards;
* Providing for an independent funding mechanism and SEC oversight
of the independent accounting standards board in this area, the
Government Accounting Standards Board, just as the Sarbanes-Oxley
Act provided for the Financial Accounting Standards Board;
* Ensuring that private companies who access the municipal market
indirectly by using municipal issuers as conduits meet the same
requirements that corporate issuers must meet;
* Requiring large, complex, and frequent issuers of municipal
securities to have policies and procedures for disclosure; and
Clarifying the legal responsibilities of issuer officials,
underwriters, bond counsels and other participants.
Chairman Cox's delivery of the white paper to Congress followed
shortly after his speech, "Integrity in Municipal Market," given on
July 18, 2007, and accessible at:
http://www.sec.gov/news/speech/2007/spch071807cc.htm
The white paper is accessible at:
http://www.sec.gov/news/press/2007/2007-148wp.pdf. (Press Rel. 2007-
148)
SEC STAFF HOLD CCOUTREACH PROGRAM FOR SEC INVESTMENT ADVISERS IN
EUROPE
Securities and Exchange Commission staff announced today that it
conducted a CCOutreach seminar for European-based investment advisers
registered with the SEC. The program included over 50 participants
representing investment advisers registered with the SEC based in
Italy, Germany, United Kingdom, Ireland, and Switzerland. The program
was hosted by the Commission de Surveillance du Secteur Financier
(CSSF) in Luxembourg.
The CCOutreach program is designed to help SEC-registered investment
advisers and their chief compliance officers to establish robust
compliance programs for the protection of investors. The program
features a number of elements, including a national seminar in
Washington, D.C., and regional seminars in the U.S. The program in
Luxembourg was the first CCOutreach event in Europe for foreign-based,
SEC-registered investment advisers. The Luxembourg event was conducted
by staff of the SEC's Office of Compliance Inspections and
Examinations, and included a discussion of topical compliance issues,
including the process for conducting a compliance risk assessment,
establishing and testing compliance controls, and common deficiencies
found in SEC examinations.
Lori Richards, Director of the SEC's Office of Compliance Inspections
and Examinations, said, "The CCOutreach program provides an
opportunity for SEC staff and industry compliance officers to share
information, and to highlight effective compliance practices. We think
that this dialogue helps to support the important role that chief
compliance officers play, and helps to foster compliance with U.S.
federal securities laws. We're very pleased that European advisers
attended this event."
Ethiopis Tafara, Director of the SEC's Office of International
Affairs, added, "American investors rely on SEC-registered foreign
investment advisers for advice and insights when investing globally.
We are grateful for the assistance provided by the CSSF in helping us
create this forum for the chief compliance officers of these firms."
More information about the SEC's CCOutreach program, sponsored jointly
by the Office of Compliance Inspections and Examinations and the
Division of Investment Management, is on the SEC's Web site at
http://www.sec.gov/info/ccoutreach.htm. (Press Rel. 2007-149)
ENFORCEMENT PROCEEDINGS
IN THE MATTER OF VINCENT MONTAGNA
On July 25, the Commission issued an Order Vacating Order Instituting
Administrative Proceedings Pursuant to Section 203(f) of the
Investment Advisers Act of 1940, Making Findings, and Imposing
Remedial Sanctions against Vincent Montagna.
The Vacating Order notes that on Sept. 22, 2006, the Commission issued
an Order Instituting Administrative Proceedings Pursuant to Section
203(f) of the Investment Advisers Act of 1940, Making Findings and
Imposing Remedial Sanctions against Vincent Montagna (Montagna).
Montagna consented to the issuance of the Order without admitting or
denying the findings therein, except as to the Commission's
jurisdiction over him and the subject matter of the proceedings and
the findings concerning his guilty plea, which he admitted. That Order
was based upon Montagna's guilty plea to two counts of fraud upon
investment advisory clients in violation of Title 15 United States
Code Section 80b-6 and Title 18 United States Code Section 2, before
the United States District Court for the Southern District of New
York, in United States v. Vincent Montagna, Crim. Indictment No. 1:05-
CR-0457. On Feb. 9, 2007, Montagna withdrew his guilty plea to the
Advisers Act fraud counts.
Based on the above, the Vacating Order vacates the Sept. 22, 2006
Order Instituting Administrative Proceedings Pursuant to Section
203(f) of the Investment Advisers Act of 1940, Making Findings and
Imposing Remedial Sanctions against Vincent Montagna.
Montagna has pleaded guilty to another count of the indictment against
him. Accordingly, on the date of this order, the Commission is also
issuing an Order Instituting Administrative Proceedings Pursuant to
Section 203(f) of the Investment Advisers Act of 1940, Making Findings
and Imposing Remedial Sanctions against Montagna based on that guilty
plea. Montagna consented to the issuance of the order without
admitting or denying the findings therein, except as to the
Commission's jurisdiction over him and the subject matter of the
proceedings, and the findings concerning his guilty plea, which he
admitted. (Rel. IA-2620; File No. 3-12424)
IN THE MATTER OF VINCENT MONTAGNA
On July 25, the Commission issued an Order Instituting Administrative
Proceedings Pursuant to Section 203(f) of the Investment Advisers Act
of 1940, Making Findings and Imposing Remedial Sanctions (Order)
against Vincent Montagna (Montagna), barring Montagna from associating
with an investment adviser.
The Order finds that since 1997, Montagna has been president and chief
executive officer of Quantus Holdings Company Inc. (Quantus), an
entity through which he managed Tiburon Asset Management LLC (Tiburon
Asset), a purported domestic hedge fund. Since 2000, Montagna has also
been president and chief executive officer of Tiburon Investment
Management, Ltd. (Tiburon Management), an entity through which he
managed Tiburon Partners, Ltd. (Tiburon Partners), a purported
offshore hedge fund. Montagna, age 34, is a resident of Pennsylvania.
The Order further finds that from at least October 2000 through
February 2004, acting through Quantus and Tiburon Management, Montagna
was acting as an investment adviser as defined by Section 202(a)(11)
of the Investment Advisers Act, 15 United States Code Section 80b-
2(a)(11).
The Order further finds that, on Feb. 9, 2007, Montagna pleaded guilty
to one count of wire fraud in violation of Title 18 United States Code
Sections 1343 and 2, before the United States District Court for the
Southern District of New York, in United States v. Vincent Montagna,
Crim. Indictment No. 1:05-CR-0457. The count of the criminal
indictment to which Montagna pleaded guilty alleged, inter alia, that,
while acting as an investment adviser, Montagna caused a wire transfer
to occur on Jan. 22, 2003, for the purpose of executing a scheme and
artifice to defraud, which scheme and artifice involved Montagna's
failure to disclose to investors in Tiburon Asset and Tiburon Partners
side agreements into which he entered with certain companies in which
Tiburon Asset and Tiburon Partners had invested, and pursuant to which
these companies either issued stock to him or for his benefit or paid
for certain of his personal expenses.
Based on the above, the Order bars Montagna from association with any
investment adviser. Montagna consented to the issuance of the Order
without admitting or denying any of the findings in the Order except
that Montagna admitted to the finding that he pleaded guilty in the
criminal action.
On Sept. 22, 2006, the Commission issued an Order Instituting
Administrative Proceedings Pursuant to Section 203(f) of the
Investment Advisers Act of 1940, Making Findings and Imposing Remedial
Sanctions against Montagna, Vincent Montagna, Advisers Act Release No.
2551 (Sept. 22, 2006). By separate order issued today in that
proceeding (Administrative Proceeding File No. 3-12424), the
Commission has vacated the Order Instituting Administrative
Proceedings Pursuant to Section 203(f) of the Investment Advisers Act
of 1940, Making Findings and Imposing Remedial Sanctions against
Montagna issued on Sept. 22, 2006. (Rel. IA-2621; File No. 3-12709)
IN THE MATTER OF PATRICK T. CHEW
The Commission issued an Order Instituting Administrative Proceedings
Pursuant to Rule 102(e) of the Commission's Rules of Practice, Making
Findings, and Imposing Remedial Sanctions (Order) against Patrick E.
Chew. Chew is a CPA and the former controller of SmartForce PLC's, now
known as SkillSoft PLC.
The Order finds that on July 23, 2007, in an action in the U.S.
District Court for the District of Massachusetts, Chew was (i)
permanently enjoined by consent from future violations of Section
13(b)(5) of the Exchange Act and Rule 13b2-2 thereunder, and aiding
and abetting violations of Sections 13(a), 13(b)(2)(A) and 13(b)(2)(B)
of the Exchange Act and Rules 12b-20, 13a-1 and 13a-13 thereunder;
(ii) required to pay $67,559 in disgorgement, representing losses
avoided as a result of the conduct alleged in the Complaint, and
$18,326 in prejudgment interest; and (iii) ordered to pay a $25,000
civil money penalty.
The Commission's complaint in the District Court action alleged that
Chew engaged in improper accounting practices which resulted in
SmartForce filing materially false and misleading financial statements
in the company's quarterly reports on Form 10-Q for the second and
third quarters of fiscal year 2001, and in the company's annual report
on Form 10-K for the fiscal year ended Dec. 31, 2001. These practices
included improperly recognizing revenue from non-binding agreements
and from a transaction for which no product was shipped to the
customer. As a result of these practices, SmartForce's annual and
quarterly revenue and net income were materially increased, the
Complaint alleged.
Based on the above, the Order denies Chew the privilege of appearing
or practicing before the Commission as an accountant, with the right
to apply for reinstatement after three years. Chew consented to the
issuance of the Order without admitting or denying any of findings in
the Order. (Rel. 34-56137; AAE Rel. 2656; File No. 3-12711)
IN THE MATTER OF DELTA & PINE LAND COMPANY AND TURK DELTAPINE, INC.
On July 26, the Commission announced that it had instituted settled
enforcement proceedings charging Delta & Pine Land Company, a Scott,
Mississippi-based company engaged in the production and marketing of
cottonseed, and its subsidiary, Turk Deltapine, Inc., with violations
of the Foreign Corrupt Practices Act (FCPA). The Commission found that
Delta & Pine violated the books-and-records and internal controls
provisions of the FCPA and that Turk Deltapine violated the anti-
bribery provisions of the FCPA. The Commission ordered the respondents
to cease and desist from such violations, and required Delta & Pine to
retain an independent consultant to review and make recommendations
concerning the company's FCPA compliance policies and procedures. In a
related action, the Commission filed a lawsuit in the United States
District Court for the District of Columbia seeking a civil penalty.
In the federal lawsuit, Delta & Pine and Turk Deltapine agreed to the
entry of a final judgment requiring them to pay jointly and severally
a $300,000 penalty. Delta & Pine was acquired on June 1, 2007 by
Monsanto Company; the conduct charged by the Commission occurred prior
to the acquisition.
In both its administrative order and federal court complaint, the
Commission charged that, from 2001 through 2006, Turk Deltapine made
payments of approximately $43,000 to officials of the Turkish Ministry
of Agricultural and Rural Affairs in order to obtain governmental
reports and certifications that were necessary for Turk Deltapine to
obtain, retain, and operate its business in Turkey. In addition, in
connection with these improper payments, Delta & Pine failed to keep
accurate books and records, and failed to have effective internal
controls.
As a result of the conduct described above, the Commission charged
that Turk Deltapine violated Section 30A of the Securities Exchange
Act of 1934. The Commission also charged that Delta & Pine, in
connection with the payments by Turk Deltapine, violated Exchange Act
Sections 13(b)(2)(A) and 13(b)(2)(B). Delta & Pine and Turk Deltapine
consented to the issuance of the administrative order and the final
judgment without admitting or denying any of the findings or factual
allegations. [SEC v. DELTA & PINE LAND COMPANY AND TURK DELTAPINE,
INC., Case No. 1:07-CV-01352 (RWR) (U.S.D.C., D.D.C)] (LR-20214; AAE
Rel. 2657); Administrative Proceeding - (Rel. 34-56138; AAE Rel. 2658;
File No. 3-12712)
FINAL JUDGMENTS BY CONSENTS ENTERED AS TO DEFENDANT FRANKLIN S.
MARONE, JR. AND RELIEF DEFENDANT MARITA D. MARONE
The Commission announced today that on July 20 the Honorable Naomi
Reice Buchwald, United States District Judge for the Southern District
of New York, entered Final Judgments by Consent against Defendant
Franklin S. Marone, Jr. (Marone) and his wife, Relief Defendant Marita
D. Marone (M. Marone). Marone's Final Judgment enjoins him from future
violations of Section 17(a) of the Securities Act of 1933 and Section
10(b) of the Securities Exchange Act of 1934 and Rule 10b-5
thereunder. The Final Judgments also order the Court-appointed
receiver, John Doyle III, to liquidate Marone and M. Marone's assets
and transfer the proceeds to the Greene County, New York, Probation
Department, to be applied toward Marone's $4,669,458.77 criminal
restitution order issued in his parallel criminal case, People of the
State of New York V. Franklin S. Marone, IND #04-039 (State of New
York, Greene County, County Court) (Sept. 14, 2004), brought by the
Office of the New York State Attorney General. Marone and M. Marone
consented to the entry of the judgments in the Commission's civil
action without admitting or denying the allegations of the
Commission's Complaint.
The Commission's Complaint filed on Feb. 13, 2004, alleged that,
between January 1999 and January 2004, Marone fraudulently obtained
over $3.2 million from dozens of investors by inducing them to invest
in several fictitious "equity funds" that Marone purported to manage.
According to the Commission's Complaint, Marone falsely promised
investors extraordinary returns at virtually no risk and sent
investors falsified account statements reporting the value of their
investments. In reality, the Complaint alleged, Marone never invested
his victims' investment proceeds. Instead, Marone misappropriated
investors' funds for his and his wife's personal use. [SEC v.
PATROLLERS CAPITAL FUND AND FRANKLIN S. MARONE, JR. AND RELIEF
DEFENDANT MARITA D. MARONE, Civil Action No. 04 Civ. 11227 (NRB)
(S.D.N.Y.)] (LR-20209)
SEC CHARGES FORMER CHAIRMAN AND CEO OF BROOKS AUTOMATION, INC. IN
STOCK OPTION BACKDATING SCHEME
On July 26, the Commission announced civil securities fraud charges
against Robert J. Therrien, former President and CEO of Brooks
Automation, Inc., for his role in a stock option backdating scheme.
The Commission alleges that Therrien received millions of dollars in
undisclosed compensation when he fraudulently backdated his November
1999 exercise of an option to purchase company stock and engaged in a
scheme to grant "in-the-money" options to himself and other employees,
by backdating the grants to make it appear that the options were "at-
the-money." Under applicable accounting principles, Brooks did not
need to record an expense in its financial statements for grants of
at-the-money options, but was required to record an expense for any
in-the-money options. Accordingly, the complaint alleges, by
backdating the options, Therrien and Brooks concealed millions of
dollars in compensation expenses incurred in the option grants.
As a result of the transactions alleged in the complaint, Therrien
personally benefited by approximately $10.4 million and Brooks'
financial statements allegedly overstated income and understated
employee compensation expenses by at least $54 million during the
period from 1999 through 2005.
The Commission's complaint, filed in federal court in Boston, charges
Therrien with fraud and other violations of the federal securities
laws, including the books-and-records, internal controls,
misrepresentations to auditors, and Sarbanes-Oxley certification
provisions.
The Commission's action seeks injunctive relief, a civil monetary
penalty, disgorgement of ill-gotten gains, and an order barring
Therrien from serving as an officer or director of a public company.
In a separate matter, the United States Attorney's Office for the
District of Massachusetts today announced a criminal indictment
charging Therrien with tax evasion for his conduct in connection with
the November 1999 option transaction. [SEC v. Robert J. Therrien,
Civil Action No.07 CA 11364 RCL (D. Mass.)] (LR-20210; Press Release
2007-146; AAE Rel. 2653)
COMMISSION NAMES ALBERTO AND SERENELLA LINA IN "UNKNOWN PURCHASERS"
INSIDER TRADING CASE
On July 26, the Commission filed a modified complaint to identify
Alberto Lina and his wife, Serenella Lina, who had previously been
named as "One or More Unknown Purchasers of Common Stock of Elsag
Bailey Process Automation, N.V.", as persons who illegally traded in
Elsag securities two days before the announcement of a tender offer
for Elsag.
According to the modified complaint, during 1998, Alberto Lina was an
employee of Finmeccanica S.p.A., an Italian state-controlled
aerospace, defense, and engineering company that then owned 53 percent
of Elsag's stock. The Commission alleges that Alberto Lina, in
connection with his employment by Finmeccanica, received
confidentially conveyed information concerning a tender offer,
announced on Oct. 14, 1998, by which Finmeccanica tendered its
interest in Elsag for a price of $39.30 per share. Two days before
that announcement, on Oct. 12, 1998, the Linas had purchased 9,700
shares of Elsag through an account maintained in the name of Banca
Privata Solare & Blum, a Swiss financial institution, for a total
price of $196,425. On the day after the announcement of the tender
offer, Elsag's stock closed at $36.00, an increase of 90 percent over
the previous day's close. The Commission alleges that the Linas
garnered a profit of $152,425.
The Commission's modified complaint alleges that the Linas' trading
violated Sections 10(b) and 14(e) of the Securities Exchange Act of
1934, and Rules 10b-5 and 14e-3 thereunder. The Commission seeks a
permanent injunction, disgorgement, and a penalty.
For further information concerning this matter, see Litigation
Releases 17045, 16367, 16196, 15981, and 15942. [SEC v. EURO SECURITY
FUND, et al., Case No. 98 Civ. 7347 (DLC) (U.S.D.C., S.D.N.Y.)] (LR-
20211)
SEC SUES CARDINAL HEALTH, INC. FOR FRAUDULENT EARNINGS AND REVENUE
MANAGEMENT SCHEME
Pharmaceutical Distribution Company to Pay $35 Million Penalty
The Commission today filed a civil action against Cardinal Health,
Inc. (Cardinal), a pharmaceutical distribution company based in
Dublin, Ohio, in which Cardinal agreed to pay $35 million to settle
charges that it engaged in a nearly four-year long fraudulent revenue
and earnings management scheme, as well as other improper accounting
and disclosure practices.
The Commission's complaint alleges that, from September 2000 through
March 2004, Cardinal engaged in this conduct in order to present a
false picture of its operating results to the financial community and
the investing public - one that matched Cardinal's publicly
disseminated earnings guidance and analysts' expectations, rather than
its true economic performance. Through these practices, Cardinal
materially overstated its operating revenue, earnings and growth
trends in certain earnings releases and filings with the Commission.
According to the complaint, Cardinal managed its reported revenue and
earnings through a variety of undisclosed and improper actions.
Cardinal inflated reported operating revenue by misclassifying more
than $5 billion of bulk sales as operating revenue. As detailed in the
complaint, Cardinal classified its revenue from drug distribution as
either "bulk" revenue, which consisted of certain full case quantities
of pharmaceutical products delivered to customer warehouses, or
operating revenue, which consisted of all other sales. The complaint
alleges that Cardinal implemented an undisclosed internal practice
under which it reclassified any revenue from the sale of bulk product
held on its premises for 24 hours or longer as operating revenue.
Shortly thereafter, as the complaint describes, Cardinal began
intentionally holding certain bulk shipments for longer than 24 hours,
in order to shift revenue from the bulk revenue line to the operating
revenue line and fraudulently inflate its operating revenue and
operating revenue growth rates in certain quarters (the 24-Hour
Lever). Cardinal used the 24-Hour Lever along with other revenue and
earnings management practices to fraudulently overstate its operating
results.
According to the complaint, Cardinal managed its reported earnings by:
* selectively accelerating, without disclosure, the payment of
vendor invoices in order to prematurely record a cumulative total
of $133 million in cash discount income;
* improperly adjusting reserve accounts, which misstated earnings
by more than $65 million; and
* improperly classifying $22 million of expected litigation
settlement proceeds to increase operating earnings.
In addition, the complaint alleges that Cardinal failed timely to
disclose the impact of a change in the method of applying its last-in-
first-out (LIFO) inventory valuation accounting principle and, on one
occasion, intentionally transferred inventory within business units in
order to avoid a negative LIFO impact on year-end reported earnings.
Furthermore, the complaint alleges that Cardinal prematurely
recognized millions of dollars in revenue from Pyxis, a wholly-owned
subsidiary it featured as an important growth driver.
The terms of the settlement reflect, and the Commission acknowledges,
the cooperation provided by Cardinal during the course of the SEC
investigation. Without admitting or denying the allegations of the
Commission's complaint, Cardinal has consented to the entry of a final
judgment permanently enjoining it from violating: the antifraud
provisions of the federal securities laws, Section 17(a) of the
Securities Act of 1933 (Securities Act), Section 10(b) of the
Securities Exchange Act of 1934 (Exchange Act) and Exchange Act Rule
10b-5; the reporting provisions of the Exchange Act, Section 13(a) and
Exchange Act Rules 12b-20, 13a-1, 13a-11 and 13a-13; and the record-
keeping and internal controls provisions of the Exchange Act, Sections
13(b)(2)(A) and 13(b)(2)(B). Cardinal also agreed to pay $1 in
disgorgement and a $35 million penalty, which the Commission will seek
to place in a Fair Fund for distribution to affected shareholders.
Cardinal further consented to engage an independent consultant to
conduct a review of its disclosure processes, practices and controls,
as well as those policies and procedures that relate to allegations in
the Commission's complaint. The settlement is subject to court
approval.
The Commission also acknowledges the assistance and cooperation of the
U.S. Attorney's Office for the Southern District of New York. The
Commission's investigation is continuing. [SEC v. Cardinal Health,
Inc., United States District Court for the Southern District of New
York, Civil Action No. 07 CV 6709, S.D.N.Y.]( LR-20212; Press Rel.
2007-147; AAE Rel. 2654)
NOTICE OF NEARLY $50 MILLION FAIR FUND DISTRIBUTION FOR THE BENEFIT OF
XEROX INVESTORS
On July 20, the U.S. District Court for the Southern District of New
York approved the Securities and Exchange Commission's proposed
distribution plan and the appointment of Gilardi & Co., LLC as a
distribution agent for the nearly $50 million fair fund created to
benefit Xerox investors harmed by the company's financial fraud.
The distribution plan will compensate purchasers of Xerox common stock
depending on when they bought and sold those shares. Under the plan,
potentially eligible claimants include persons or entities that bought
Xerox common stock during the period April 22, 1997 through Jan. 28,
2001, though whether and to what extent they receive compensation will
depend on when they sold those shares. Under the plan, potentially
eligible claimants also include persons or entities that purchased
Xerox common stock prior to April 22, 1997, provided they sold those
shares between Jan. 29, 2001 and April 18, 2001.
Gilardi & Co. will post a website to receive claims from Xerox
investors. An abbreviated version of the site is now available at
www.gilardi.com/xeroxsecfairfund. [SEC v. KPMG, LLP, et al., Civil
Action No. 03 CV 0671 (DLC) (S.D.N.Y.); SEC v. Paul A. Allaire, G.
Richard Thoman, Barry D. Romeril, Philip D. Fishback, Daniel S.
Marchibroda, and Gregory B. Tayler, Civil Action No. 03 CV 4087 (DLC)
(S.D.N.Y.)] (LR-20213)
CORRECTIONS AND ADDITIONS
A summary in yesterday's Digest entitled SEC CHARGES CONAGRA FOODS,
INC. IN FINANCIAL FRAUD AND ACCOUNTING CASE did not include the
Accounting and Auditing release number. It is AAE Rel. 2652.
INVESTMENT COMPANY ACT RELEASES
REALNETWORKS, INC.
An order has been issued under Section 3(b)(2) of the Investment
Company Act on an application filed by RealNetworks, Inc. declaring
that it is primarily engaged in a business other than that of
investing, reinvesting, owning, holding or trading in securities.
(Rel. IC-27888 - July 24)
JEFFERSON NATIONAL LIFE ANNUITY ACCOUNT O
An order has been issued pursuant to Section 8(f) of the Investment
Company Act declaring that Jefferson National Life Annuity Account O
has ceased to be an investment company. (Rel. IC-27889;
http://www.sec.gov/rules/icdereg/2007/ic-27889.pdf - July 24)
JEFFERSON NATIONAL LIFE ANNUITY ACCOUNT N
An order has been issued pursuant to Section 8(f) of the Investment
Company Act declaring that Jefferson National Life Annuity Account N
has ceased to be an investment company. (Rel. IC-27890;
http://www.sec.gov/rules/icdereg/2007/ic-27890.pdf - July 24)
JEFFERSON NATIONAL LIFE ANNUITY ACCOUNT M
An order has been issued pursuant to Section 8(f) of the Investment
Company Act declaring that Jefferson National Life Annuity Account M
has ceased to be an investment company. (Rel. IC-27891;
http://www.sec.gov/rules/icdereg/2007/ic-27891.pdf - July 24)
MONY LIFE INSURANCE COMPANY OF AMERICA, ET AL.
A notice has been issued giving interested persons until Aug. 16,
2007, to request a hearing on an application filed by MONY Life
Insurance Company of America, MONY Life Insurance Company, MONY
America Variable Account A, MONY America Variable Account L, MONY
Variable Account A, MONY Variable Account L, AXA Equitable Life
Insurance Company (AXA Equitable), Separate Account A of AXA
Equitable, Separate Account FP of AXA Equitable, Separate Account I of
AXA Equitable, Separate Account No. 45 of AXA Equitable, Separate
Account No. 49 of AXA Equitable, and Separate Account No. 301+ of AXA
Equitable (collectively, the Section 26 Applicants), Separate Account
No. 66 of AXA Equitable and EQ Advisors Trust (together with the
Section 26 Applicants, the Section 17 Applicants). The Section 26
Applicants request an order under Section 26(c) of the Investment
Company Act to permit the substitution of securities issued by certain
registered investment companies for shares of a certain other
registered investment companies. The Section 17 Applicants also
request an order pursuant to Section 17(b) of the Act exempting them
from the provisions of Section 17(a) of the Act to permit certain in-
kind transactions in connection with the substitution. (Rel. IC-27909
- July 24)
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:
. In most cases, this information is also
available on the Commission's website: .
S-3 UQM TECHNOLOGIES INC, 7501 MILLER DRIVE, P.O. BOX 439, FREDERICK, CO,
80530, 3032782002 - 1,250,000 ($5,225,000.00) Equity,
(File 333-144835 - Jul. 25) (BR. 10C)
S-4 PSYCHIATRIC SOLUTIONS INC, 113 SEABOARD LANE, SUITE C-100, FRANKLIN,
TN, 37067, 615-312-5700 - 0 ($256,875,000.00) Non-Convertible Debt,
(File 333-144836 - Jul. 25) (BR. 01B)
S-1 Archemix Corp., 300 THIRD STREET, CAMBRIDGE, MA, 02142, 617-621-7700 -
0 ($69,000,000.00) Equity, (File 333-144837 - Jul. 25) (BR. 01)
N-2 HERZFELD CARIBBEAN BASIN FUND INC, P O BOX 161465, MIAMI, FL, 33116,
3052711900 - 3,375,112 ($44,686,478.00) Equity, (File 333-144838 -
Jul. 25) (BR. 17)
S-8 BladeLogic, Inc., 10 MAGUIRE ROAD, BUILDING 3, LEXINGTON, MA, 02421,
781-257-3500 - 0 ($34,444,459.34) Equity, (File 333-144839 - Jul. 25)
(BR. 03B)
SB-2 NORTHERN MINERALS INC., 167 CAULDER DRIVE, OAKVILLE, A6, L6J 4T2,
1-905-248-3277 - 2,000,000 ($40,000.00) Equity, (File 333-144840 -
Jul. 25) (BR. 04)
S-8 GATEWAY FINANCIAL HOLDINGS INC, 1580 LASKIN ROAD, VIRGINIA BEACH, VA,
23451, 7574224055 - 0 ($2,741,640.00) Equity, (File 333-144841 -
Jul. 25) (BR. 07C)
S-4 SEITEL INC, 10811 S. WESTVIEW CIRCLE, BUILDING C, SUITE 100, HOUSTON,
TX, 77043, 7138818900 - 0 ($400,000,000.00) Non-Convertible Debt,
(File 333-144844 - Jul. 25) (BR. 04C)
S-4 SIRIUS SATELLITE RADIO INC, 1221 AVENUE OF THE AMERICAS, 36TH FLOOR,
NEW YORK, NY, 10020, 2128995000 - 0 ($4,510,057,126.00) Equity,
(File 333-144845 - Jul. 25) (BR. 11B)
S-8 Polypore International, Inc., (704) 588-5310 -
0 ($72,848,601.15) Equity, (File 333-144846 - Jul. 25) (BR. 06A)
S-8 Dragon Gold Resources, Inc., 338 EUSTON ROAD, LONDON, X0, NW1 3BT,
6046699029 - 6,000,000 ($6,060,000.00) Equity, (File 333-144847 -
Jul. 25) (BR. 04A)
S-8 NORTHERN TRUST CORP, 50 S LASALLE ST, CHICAGO, IL, 60603, 3126306000 -
0 ($1,152,000,000.00) Equity, (File 333-144848 - Jul. 25) (BR. 07A)
S-8 VAALCO ENERGY INC /DE/, 4600 POST OAK PL STE 309, HOUSTON, TX, 77027,
713-623-0801 - 0 ($15,900,000.00) Equity, (File 333-144849 - Jul. 25)
(BR. 04A)
F-6 WuXi PharmaTech (Cayman) Inc., 288 FUTE ZHONG ROAD,
WAIGAOQIAO FREE TRADE ZONE, SHANGHAI, F4, 200131, 86-21-5046-1111 -
100,000,000 ($5,000,000.00) ADRs/ADSs, (File 333-144850 - Jul. 25)
(BR. 01)
S-8 ENDWAVE CORP, 130 BAYTECH DRIVE, SAN JOSE, CA, 95134, (408)522-3100 -
0 ($35,746,116.00) Equity, (File 333-144851 - Jul. 25) (BR. 11C)
S-8 EVOLVING SYSTEMS INC, 9777 PYRAMID COURT, SUITE 100, ENGLEWOOD, CO,
80112, 3038021000 - 0 ($3,940,000.00) Equity, (File 333-144852 -
Jul. 25) (BR. 03B)
S-8 CATCHER HOLDINGS, INC, 39526 CHARLESTOWN PIKE, HAMPTON, VA, 20158,
540-882-3087 - 0 ($2,961,765.00) Equity, (File 333-144853 - Jul. 25)
(BR. 03A)
S-8 AUTHENTEC INC, 100 RIALTO ROAD, SUITE 400, MELBOURNE, FL, 32901,
321-952-5312 - 0 ($52,427,605.41) Equity, (File 333-144854 - Jul. 25)
(BR. 10)
S-8 ACUSPHERE INC, 500 ARSENAL ST, WATERTOWN, MA, 02472, 6175778800 -
0 ($9,025,000.00) Equity, (File 333-144855 - Jul. 25) (BR. 01C)
SB-2 Snowden, Inc., 90 GROVE STREET, RIDGEFIELD, CT, 06877, 203-431-8324 -
1,020,000 ($10,200.00) Equity, (File 333-144857 - Jul. 25) (BR. )
S-3 BOSTON PROPERTIES INC, 111 HUNTINGTON AVEUE, SUITE 300, BOSTON, MA,
02199, 6172363300 - 0 ($752,737,500.00) Other, (File 333-144859 -
Jul. 25) (BR. 08A)
SB-2 HEMCURE INC, 730 WEST RANDOLPH, SUITE 600, CHICAGO, IL, 60661,
3124540015 - 30,848,805 ($62,371,773.00) Equity, (File 333-144861 -
Jul. 25) (BR. 09A)
S-8 CADIZ INC, 777 SOUTH FIGUEROA STREET, SUITE 4250, LOS ANGELES, CA,
90017, 213-271-1600 - 1,050,000 ($23,068,500.00) Equity,
(File 333-144862 - Jul. 25) (BR. 02C)
S-8 PRECISION CASTPARTS CORP, 4650 SW MACADAM AVE, STE 440, PORTLAND, OR,
97239, 503.417.4800 - 600,000 ($79,992,000.00) Equity,
(File 333-144863 - Jul. 25) (BR. 06B)
S-8 PRECISION CASTPARTS CORP, 4650 SW MACADAM AVE, STE 440, PORTLAND, OR,
97239, 503.417.4800 - 0 ($50,000,000.00) Other, (File 333-144864 -
Jul. 25) (BR. 06B)
S-1 EMAGIN CORP, 2070 ROUTE 52, SUITE 2000, HOPEWELL JUNCTION, NY, 12533,
845 838 7900 - 2,450,000 ($3,675,000.00) Equity, (File 333-144865 -
Jul. 25) (BR. 10B)
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:
. In most cases, this information is also
available on the Commission's website: .
STATE
NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT
-------------------------------------------------------------------------------------------------------
4309 Inc DE 5.01,5.02,9.01 07/24/07
A.C. Moore Arts & Crafts, Inc. PA 2.02,7.01 07/23/07
AARON RENTS INC GA 2.02,9.01 07/24/07
ABX AIR INC 7.01,9.01 07/24/07
ACXIOM CORP DE 2.02,9.01 06/30/07
ADVANCED ENERGY INDUSTRIES INC DE 2.02,9.01 07/25/07
ADVENT SOFTWARE INC /DE/ DE 2.02,9.01 07/25/07
AFFILIATED MANAGERS GROUP INC DE 2.02,9.01 07/25/07
Affinity Media International Corp., DE 1.01,7.01,8.01,9.01 07/24/07
AFFYMETRIX INC DE 2.02,9.01 07/25/07
AIR PRODUCTS & CHEMICALS INC /DE/ DE 2.02,9.01 07/25/07
AIRVANA INC DE 5.03,9.01 07/25/07
AKAMAI TECHNOLOGIES INC DE 2.02,9.01 07/25/07
ALBEMARLE CORP VA 2.02,9.01 07/24/07
ALEXION PHARMACEUTICALS INC DE 2.02,9.01 07/25/07
ALIGN TECHNOLOGY INC DE 2.01,9.01 07/25/07
ALLEGHENY TECHNOLOGIES INC DE 2.02,9.01 07/25/07
ALLEGHENY TECHNOLOGIES INC DE 2.02,7.01,9.01 07/25/07
ALLIANCE FIBER OPTIC PRODUCTS INC CA 9.01 06/30/07
ALTEON INC /DE DE 5.02,8.01,9.01 07/20/07
ALTIGEN COMMUNICATIONS INC 2.02,9.01 07/25/07
ALTIGEN COMMUNICATIONS INC 5.02 07/19/07
Altra Holdings, Inc. DE 5.02 07/20/07
AMAG PHARMACEUTICALS INC. DE 2.02,9.01 07/25/07
AMBAC FINANCIAL GROUP INC DE 2.02,9.01 07/25/07
AMERICAN ECOLOGY CORP DE 2.02,9.01 07/24/07
AMERICAN MOLD GUARD INC 1.01,2.03,3.02 07/19/07
AMERICAN NATIONAL BANKSHARES INC VA 2.02,9.01 06/30/07
AMERICANWEST BANCORPORATION WA 7.01,9.01 07/25/07
AMERIGROUP CORP 2.02,9.01 07/25/07
AMERIPRISE FINANCIAL INC DE 2.02,9.01 07/25/07
ANAREN INC NY 1.01,9.01 05/03/07
ANGIODYNAMICS INC DE 2.02,5.03,9.01 07/18/07
ANHEUSER-BUSCH COMPANIES, INC. DE 2.02,9.01 06/30/07
ANTHRACITE CAPITAL INC MD 1.01,2.03,9.01 07/20/07
ANTIGENICS INC /DE/ DE 1.01 07/20/07
APPLE INC CA 2.02,9.01 07/25/07
APPLERA CORP DE 2.02,9.01 07/25/07
APPLIED MICRO CIRCUITS CORP DE 2.02,9.01 07/25/07
ARBOR REALTY TRUST INC MD 8.01,9.01 07/25/07
ARCADIA RESOURCES, INC NV 1.01 07/19/07
ARCH CAPITAL GROUP LTD. 2.02,9.01 07/25/07
ARCTIC CAT INC MN 2.02,9.01 07/25/07
ARIBA INC DE 2.02,9.01 07/25/07
ARK RESTAURANTS CORP NY 8.01 07/19/07
ARKANSAS BEST CORP /DE/ DE 2.02,9.01 07/25/07
ARKANSAS BEST CORP /DE/ DE 8.01,9.01 07/24/07
Arkson Neutraceuticals Corp. DE 5.02,5.03 07/23/07
ARMOR HOLDINGS INC DE 8.01,9.01 07/25/07
ARRIS GROUP INC DE 2.02,9.01 07/25/07
ARROW ELECTRONICS INC NY 2.02,9.01 07/25/07
ASHLAND INC. KY 2.02,9.01 07/25/07
ASHLAND INC. KY 7.01 07/25/07
ASPECT MEDICAL SYSTEMS INC DE 2.02,9.01 07/25/07
ASPEN INSURANCE HOLDINGS LTD D0 5.02,7.01,9.01 07/23/07
ATMI INC DE 2.02,9.01 07/25/07
AUBURN NATIONAL BANCORPORATION INC DE 8.01,9.01 07/25/07
Authorize.Net Holdings, Inc. DE 2.02,8.01,9.01 07/25/07
AUXILIUM PHARMACEUTICALS INC 5.02 07/19/07
AVANIR PHARMACEUTICALS CA 1.01 07/19/07
AVAYA INC DE 8.01 07/24/07
AVIGEN INC \DE DE 2.02,9.01 07/25/07
AVITAR INC /DE/ DE 1.01,3.02,9.01 07/19/07
AXSYS TECHNOLOGIES INC DE 2.02,9.01 07/25/07
BANCFIRST CORP /OK/ OK 2.02,9.01 07/25/07
Bank of Commerce Holdings CA 8.01,9.01 07/25/07
Bank of New York Mellon CORP 2.02,9.01 07/19/07
BANKATLANTIC BANCORP INC FL 2.02,9.01 07/24/07
BANNER CORP WA 2.02,9.01 07/25/07
Behringer Harvard Opportunity REIT I, MD 9.01 07/25/07 AMEND
BEVERLY NATIONAL CORP MA 2.02,8.01,9.01 07/24/07
BH RE LLC NV 1.01,2.03,9.01 07/17/07
BIOLIFE SOLUTIONS INC DE 4.01 07/24/07
BIOPURE CORP DE 7.01,9.01 07/25/07
BIOSPHERE MEDICAL INC DE 2.02,9.01 07/25/07
BMW Vehicle Owner Trust 2004-A 9.01 07/25/07
BMW Vehicle Owner Trust 2005-A 9.01 07/25/07
BNS HOLDING, INC. 3.01 07/20/07
BOEING CAPITAL CORP DE 2.02,8.01,9.01 07/25/07
BOEING CO DE 2.02,9.01 07/25/07
BOSTON PROPERTIES INC DE 2.02,9.01 07/24/07
BOSTON PROPERTIES INC DE 8.01,9.01 07/25/07
BOSTON PROPERTIES LTD PARTNERSHIP 2.02,9.01 07/24/07
BOSTON PROPERTIES LTD PARTNERSHIP 8.01,9.01 07/25/07
BRITTON & KOONTZ CAPITAL CORP MS 2.02,9.01 07/25/07
BROADCASTER INC CA 5.02 07/19/07
BSD MEDICAL CORP DE 7.01,9.01 07/25/07
BUCKEYE PARTNERS L P DE 7.01,9.01 07/24/07
BURKE MILLS INC NC 5.02 07/25/07
BUSINESS OBJECTS S.A. 2.02,9.01 07/25/07
CADENCE DESIGN SYSTEMS INC DE 2.02,9.01 07/25/07
CANEUM INC NV 1.01,9.01 07/10/07
Cape Fear Bank CORP NC 5.02,9.01 07/19/07
CAPITAL PROPERTIES INC /RI/ RI 5.02,9.01 07/24/07
CAPITOL FEDERAL FINANCIAL 7.01,9.01 07/25/07
CARLISLE COMPANIES INC DE 2.01,9.01 07/25/07
CCF HOLDING CO GA 2.02,9.01 07/24/07
Celanese CORP DE 5.02,9.01 07/20/07
Centennial Bank Holdings, Inc. DE 2.02,7.01,9.01 07/24/07
Century Petroleum Corp. NV 1.01,3.02,9.01 07/12/07
Chardan South China Acquisition Corp DE 5.03,9.01 07/23/07
CHARLES & COLVARD LTD NC 5.03,9.01 07/19/07
CHARLOTTE RUSSE HOLDING INC 2.02,9.01 07/25/07
CHEESECAKE FACTORY INC DE 2.02,9.01 07/24/07
CHEMUNG FINANCIAL CORP NY 2.02,9.01 06/30/07
Chino Commercial Bancorp CA 2.02 06/30/07
Chino Commercial Bancorp CA 8.01 06/30/07
CHOICE HOTELS INTERNATIONAL INC /DE DE 2.02,9.01 07/24/07
CHOICEPOINT INC GA 2.02,9.01 07/25/07
CIBER INC DE 2.02,9.01 07/25/07
CIRRUS LOGIC INC DE 2.02,9.01 07/25/07
Citigroup Mortgage Loan Trust 2007-AM 2.01,9.01 05/16/07
CITIZENS & NORTHERN CORP PA 2.02,9.01 06/30/07
CITIZENS COMMUNICATIONS CO DE 8.01,9.01 07/25/07
CITY HOLDING CO WV 2.02,9.01 07/23/07
CNX Gas CORP DE 2.02,9.01 07/25/07
COHEN & STEERS INC 2.02,9.01 07/25/07
COINSTAR INC DE 1.01,8.01,9.01 07/19/07
COLGATE PALMOLIVE CO DE 2.02,9.01 07/25/07
COLLECTORS UNIVERSE INC DE 5.02,7.01,9.01 07/20/07
COLONIAL COMMERCIAL CORP NY 4.02,8.01 07/23/07 AMEND
COLONIAL PROPERTIES TRUST AL 1.01,2.03 06/21/07 AMEND
COLUMBIA BANCORP \OR\ OR 2.02,9.01 07/25/07
COMMERCIAL METALS CO DE 7.01,9.01 07/23/07
Commercial Vehicle Group, Inc. DE 2.02,7.01,9.01 07/24/07
COMMUNITY BANK SHARES OF INDIANA INC IN 2.02,9.01 07/25/07
COMMUNITY CAPITAL BANCSHARES INC 2.02,9.01 07/20/07
COMPASS BANCSHARES INC DE 2.02,9.01 07/25/07
Complete Production Services, Inc. DE 2.02,9.01 07/24/07
CONCEPTUS INC DE 2.02,8.01,9.01 07/25/07
CONCEPTUS INC DE 8.01,9.01 07/25/07
CONOCOPHILLIPS DE 2.02,9.01 07/25/07
CONSTELLATION ENERGY GROUP INC MD 1.01,9.01 07/20/07
CONVERGYS CORP OH 2.02,9.01 07/25/07
COOPERATIVE BANKSHARES INC NC 2.02,9.01 07/25/07
CORCEPT THERAPEUTICS INC 8.01,9.01 07/25/07
CORE LABORATORIES N V P7 2.02,9.01 03/31/07
CORNING INC /NY NY 2.02,9.01 06/30/07
CORUS BANKSHARES INC MN 2.02,9.01 07/23/07
COVANCE INC DE 2.02,9.01 07/25/07
COVANTA HOLDING CORP DE 2.02,9.01 07/25/07
CREDIT ONE FINANCIAL INC 5.01,5.02 07/24/07
CRM Holdings, Ltd. 8.01,9.01 07/25/07
CROSSTEX ENERGY INC DE 7.01,9.01 07/24/07
CROSSTEX ENERGY LP DE 7.01,9.01 07/24/07
CRYOCOR INC DE 5.03,9.01 07/23/07
CULLEN FROST BANKERS INC TX 2.02,9.01 07/25/07
CYBEX INTERNATIONAL INC NY 2.02,9.01 07/25/07
CYTRX CORP DE 1.01 07/20/07
DADE BEHRING HOLDINGS INC DE 2.02,9.01 07/25/07
DANAHER CORP /DE/ DE 5.02,9.01 07/20/07
DEARBORN BANCORP INC /MI/ MI 2.02,9.01 07/17/07
DECODE GENETICS INC DE 7.01 07/18/07
Deutsche Alt-A Securities Mortgage Lo DE 8.01,9.01 07/25/07 AMEND
Deutsche Alt-A Securities Mortgage Lo DE 8.01,9.01 07/25/07 AMEND
DEVELOPERS DIVERSIFIED REALTY CORP OH 2.02 07/24/07
Dhanoa Minerals Ltd. 3.02,7.01,9.01 06/21/07
Digital Realty Trust, Inc. MD 7.01,9.01 07/25/07
DIME COMMUNITY BANCSHARES INC DE 2.02,9.01 07/25/07
Discover Card Execution Note Trust DE 8.01,9.01 07/25/07
DIVX INC 5.02,8.01,9.01 07/23/07
DOVER CORP DE 2.02,9.01 07/25/07
DOVER DOWNS GAMING & ENTERTAINMENT IN DE 7.01,9.01 07/25/07
DOVER MOTORSPORTS INC DE 7.01,9.01 07/25/07
DRUGSTORE COM INC DE 2.02,9.01 07/25/07
DST SYSTEMS INC DE 1.01,9.01 07/19/07
DYAX CORP DE 2.02,9.01 07/25/07
E TRADE FINANCIAL CORP DE 2.02,9.01 07/25/07
EARTHLINK INC DE 1.01,9.01 07/25/07
EAST WEST BANCORP INC 5.02 07/25/07
EASTERN VIRGINIA BANKSHARES INC VA 2.02,9.01 07/20/07
EASTGROUP PROPERTIES INC MD 2.02,9.01 07/24/07
ECC Capital CORP 8.01,9.01 07/25/07
EDGEWATER TECHNOLOGY INC/DE/ DE 2.02 07/25/07
ELECTRO SCIENTIFIC INDUSTRIES INC OR 2.01,9.01 07/20/07
EMAGIN CORP DE 1.01,2.03,3.02,5.03,9.01 07/24/07
ENIGMA SOFTWARE GROUP, INC DE 1.01,2.03,3.02,9.01 07/25/07
ENVIRONMENTAL SERVICE PROFESSIONALS, NV 8.01,9.01 07/23/07
EQUINIX INC DE 2.02,9.01 07/25/07
ETHAN ALLEN INTERIORS INC DE 2.02,9.01 07/25/07
EVANS BOB FARMS INC DE 2.03 07/19/07
EVERGREEN ENERGY INC DE 8.01,9.01 07/25/07
EVERGREEN ENERGY INC DE 7.01,9.01 07/25/07
EXELON CORP PA 1.01,2.03,8.01,9.01 07/24/07
EXELON CORP PA 2.02,7.01,9.01 07/25/07
EXELON CORP PA 5.02 07/19/07
EXPRESS SCRIPTS INC DE 2.02,7.01,9.01 06/30/07
EYI INDUSTRIES INC. 1.01 07/20/07
F5 NETWORKS INC WA 2.02,8.01,9.01 07/25/07
FAIR ISAAC CORP DE 1.01,2.02,9.01 07/23/07
FARMERS NATIONAL BANC CORP /OH/ OH 2.02,9.01 07/25/07
FBR CAPITAL MARKETS CORP 2.02,9.01 07/25/07
Federal Home Loan Bank of Dallas 2.03 07/19/07
FENTURA FINANCIAL INC MI 2.02,9.01 07/23/07
Fidelity National Information Service 2.02,8.01,9.01 07/24/07
FIRST ADVANTAGE CORP DE 2.02,9.01 07/25/07
FIRST COMMONWEALTH FINANCIAL CORP /PA PA 5.02 04/10/07
FIRST FEDERAL BANKSHARES INC DE 8.01,9.01 07/25/07
FIRST FINANCIAL BANCORP /OH/ OH 2.02,7.01,9.01 07/25/07
FIRST INDUSTRIAL REALTY TRUST INC MD 2.02,5.02,7.01,9.01 07/10/07
FIRST IPSWICH BANCORP /MA MA 2.02,9.01 07/25/07
FIRST MIDWEST BANCORP INC DE 2.02,9.01 06/30/07
FIRST MUTUAL BANCSHARES INC WA 2.02,9.01 07/24/07
FIRST NATIONAL LINCOLN CORP /ME/ ME 2.02 03/31/07
FIRST OTTAWA BANCSHARES INC DE 2.02,9.01 07/25/07
FirstBank Financial Services, Inc. GA 5.02 07/25/07
FISERV INC WI 2.02,9.01 07/25/07
Fittipaldi Logistics, Inc. NV 1.01,2.03,3.02,7.01,9.01 07/18/07
FLIR SYSTEMS INC OR 2.02,9.01 07/25/07
FLUSHING FINANCIAL CORP DE 2.02,9.01 06/30/07
FORMFACTOR INC DE 2.02,9.01 07/25/07
FORRESTER RESEARCH INC DE 2.02,5.02,9.01 07/25/07
FOUR OAKS FINCORP INC NC 2.02,9.01 07/25/07
FRANKFORT TOWER INDUSTRIES INC DE 8.01,9.01 07/25/07
FRANKLIN BANK CORP 2.02,9.01 07/24/07
FRANKLIN FINANCIAL SERVICES CORP /PA/ PA 8.01,9.01 07/25/07
FRONTIER FINANCIAL CORP /WA/ WA 2.02,9.01 07/24/07
FX ENERGY INC NV 8.01,9.01 07/25/07
GARDNER DENVER INC DE 2.02,9.01 07/25/07
GENERAL CABLE CORP /DE/ DE 5.03,9.01 07/25/07
GENERAL DYNAMICS CORP DE 2.02,9.01 07/25/07
GENZYME CORP MA 2.02,9.01 07/25/07
GERMAN AMERICAN BANCORP, INC. IN 2.02,8.01,9.01 07/25/07
GILMAN & CIOCIA INC DE 5.02,8.01 07/19/07
GLOBAL ENERGY INC NV 1.01,9.01 07/09/07
Global Immune Technologies Inc. WY 4.01,9.01 05/17/07 AMEND
GLOBAL INDUSTRIES LTD LA 8.01,9.01 07/23/07
GREAT CHINA INTERNATIONAL HOLDINGS, I NV 2.01,9.01 07/20/07
GREATER BAY BANCORP CA 1.01,2.03,9.01 07/20/07
GS FINANCIAL CORP LA 2.02,9.01 07/24/07
GSI COMMERCE INC DE 2.02,9.01 07/25/07
GSI GROUP INC A3 2.02,9.01 07/25/07
GSR Mortgage Loan Trust 2007-4F DE 8.01,9.01 06/29/07 AMEND
GTREX CAPITAL, INC. DE 1.01,5.02 02/01/07 AMEND
Harbor Acquisition Corp. DE 1.01,9.01 07/17/07 AMEND
HARMONIC INC DE 2.02,9.01 07/25/07
HARRAHS ENTERTAINMENT INC DE 8.01,9.01 07/24/07
HARVEST NATURAL RESOURCES, INC. DE 2.02,9.01 07/25/07
HAYES LEMMERZ INTERNATIONAL INC DE 5.02 07/24/07
HEALTHCARE ACQUISITION CORP DE 8.01,9.01 07/23/07
HEALTHCARE REALTY TRUST INC MD 2.02,9.01 07/25/07
HERBST GAMING INC NV 7.01 07/25/07
HERBST GAMING INC NV 7.01 07/25/07 AMEND
HERITAGE OAKS BANCORP CA 5.02,9.01 07/23/07
HESS CORP DE 2.02,9.01 07/25/07
HEXCEL CORP /DE/ DE 2.02,7.01,8.01,9.01 07/23/07
HINES REAL ESTATE INVESTMENT TRUST IN 2.01,2.03,7.01,9.01 07/19/07
HMN FINANCIAL INC DE 2.02,5.03,9.01 07/20/07
HOME EQUITY LOAN TRUST 2007-FRE1 DE 8.01,9.01 07/25/07
HONEYWELL INTERNATIONAL INC DE 7.01,9.01 07/24/07
House of Taylor Jewelry, Inc. NV 9.01 07/23/07
HUDSON CITY BANCORP INC DE 8.01 07/24/07
HUDSON CITY BANCORP INC DE 2.02,9.01 07/25/07
HYDROGEN ENGINE CENTER, INC. NV 2.02,9.01 07/25/07
HYDRON TECHNOLOGIES INC NY 1.01,3.02,9.01 07/18/07
IA GLOBAL INC DE 8.01,9.01 07/25/07
IBERIABANK CORP LA 2.02,7.01,9.01 07/24/07
IBIS TECHNOLOGY CORP MA 2.02,9.01 07/25/07
IDLEAIRE TECHNOLOGIES CORP DE 8.01,9.01 07/25/07
IHOP CORP DE 2.02,9.01 07/25/07
IMAGE SYSTEMS CORPORATION MN 5.03,9.01 07/13/07
IMMUCOR INC GA 2.02,9.01 07/25/07
IMPAX LABORATORIES INC DE 8.01,9.01 07/25/07
Industrial Enterprises of America, In NV 2.02,5.02,7.01 07/20/07
Industrial Enterprises of America, In NV 2.02,5.02,7.01 07/20/07
INFOCROSSING INC DE 8.01,9.01 07/25/07
INFORM WORLDWIDE HOLDINGS INC FL 1.01,3.02,9.01 07/12/07
INN OF THE MOUNTAIN GODS RESORTS & CA 5.02,7.01,9.01 07/25/07
Inova Technology Inc. NV 8.01 07/24/07
INTER PARFUMS INC DE 2.02 07/25/07
INTERFACE INC GA 2.02,9.01 07/25/07
Intermec, Inc. DE 5.02,5.03,9.01 07/19/07
International Coal Group, Inc. DE 8.01,9.01 07/24/07
International Coal Group, Inc. DE 7.01,9.01 07/24/07
INTERNATIONAL FLAVORS & FRAGRANCES IN NY 7.01,9.01 07/25/07
IPARTY CORP DE 2.02,9.01 07/25/07
iPCS, INC DE 2.02,9.01 07/25/07
IRELAND INC. NV 3.02 07/20/07
IROBOT CORP DE 2.02,9.01 07/25/07
IRVINE SENSORS CORP/DE/ DE 1.01,2.03,3.02,9.01 07/19/07
ISCO INTERNATIONAL INC DE 2.02,7.01,9.01 07/25/07
IVANY MINING INC DE 5.03 07/18/07
JABIL CIRCUIT INC DE 1.01,1.02,2.03 07/19/07
JAG MEDIA HOLDINGS INC NV 1.01,2.03,9.01 07/23/07
JAKKS PACIFIC INC DE 2.02,9.01 07/25/07
KADANT INC DE 2.02,9.01 07/25/07
KENNAMETAL INC PA 2.02,5.02,8.01,9.01 07/20/07
KERYX BIOPHARMACEUTICALS INC DE 2.02 07/25/07
KEY ENERGY SERVICES INC MD 7.01,9.01 07/23/07
KEYSPAN CORP NY 1.01,9.01 07/19/07
KILROY REALTY CORP MD 2.02,9.01 07/24/07
KLA TENCOR CORP DE 8.01,9.01 07/25/07
KNBT BANCORP INC PA 2.02,9.01 07/25/07
Language Line Holdings, Inc. 7.01,9.01 07/25/07
LASERCARD CORP DE 2.01,9.01 07/19/07
Legacy Bancorp, Inc. DE 7.01,9.01 07/25/07
Legacy Bancorp, Inc. DE 2.02,9.01 07/25/07
LENNOX INTERNATIONAL INC DE 2.02,9.01 07/25/07
Lev Pharmaceuticals Inc DE 1.01,9.01 07/19/07
LIFECELL CORP DE 2.02,9.01 07/25/07
LINEAR TECHNOLOGY CORP /CA/ DE 2.02,9.01 07/24/07
LIONS PETROLEUM, INC DE 5.02 07/23/07
LOJACK CORP MA 8.01,9.01 07/23/07
LoopNet, Inc. CA 2.02,9.01 07/25/07
LOUISIANA-PACIFIC CORP DE 2.02,9.01 07/25/07
LSI CORP DE 1.01,2.02,9.01 07/25/07
LSI CORP DE 2.05 06/27/07 AMEND
MAINSOURCE FINANCIAL GROUP IN 2.02,5.03,9.01 07/17/07
MAJESCO ENTERTAINMENT CO DE 8.01 07/20/07
MANHATTAN ASSOCIATES INC GA 5.02,9.01 07/19/07 AMEND
MARINE PRODUCTS CORP DE 8.01,9.01 07/25/07
MARINE PRODUCTS CORP DE 2.02,9.01 07/25/07
MARINE PRODUCTS CORP DE 2.02,9.01 07/25/07
MASSEY ENERGY CO DE 1.01 07/25/07
MATTSON TECHNOLOGY INC DE 2.02,9.01 07/25/07
MAXIMUS INC VA 1.01,9.01 07/20/07
MEDICAL STAFFING NETWORK HOLDINGS INC DE 5.02 07/23/07
MEDICAL STAFFING NETWORK HOLDINGS INC DE 7.01,9.01 07/25/07
MEDICINES CO /DE DE 2.02,9.01 07/25/07
MEDIVATION, INC. DE 8.01,9.01 07/25/07
Mellanox Technologies, Ltd. L3 2.02,9.01 07/25/07
MEMC ELECTRONIC MATERIALS INC DE 2.02,9.01 07/25/07
MEREDITH CORP IA 2.02,9.01 07/25/07
MEREDITH CORP IA 2.02,9.01 07/25/07
MERRILL LYNCH DEPOSITOR INC PPLUS TRU DE 8.01,9.01 07/16/07
MERRILL LYNCH DEPOSITOR INC PREFERRED DE 8.01,9.01 07/16/07
MERRILL LYNCH DEPOSITOR INC PREFERRED DE 8.01,9.01 07/16/07
MFB CORP IN 8.01 06/30/07
MICREL INC CA 2.02,8.01,9.01 07/25/07
MIDDLEFIELD BANC CORP OH 2.02,9.01 07/24/07
MIDWEST BANC HOLDINGS INC DE 2.02,8.01,9.01 07/24/07
MILLENNIUM QUEST INC DE 8.01,9.01 07/24/07
MILLENNIUM QUEST INC DE 5.03,9.01 07/17/07 AMEND
MILLER HERMAN INC MI 5.02,9.01 07/23/07
MMA Media Inc. DE 4.01 07/19/07
MONACO COACH CORP /DE/ DE 2.02,9.01 07/25/07
MONADNOCK BANCORP INC MD 2.02,8.01,9.01 07/25/07
MONTPELIER RE HOLDINGS LTD D0 2.02,7.01,9.01 07/24/07
MTS SYSTEMS CORP MN 2.02,9.01 07/25/07
MULTIBAND CORP MN 2.01 07/19/07
MURPHY OIL CORP /DE DE 2.02,9.01 07/25/07
My Quote Zone, Inc. NV 5.01,5.02 07/23/07
NABORS INDUSTRIES LTD D0 1.01,2.02,9.01 07/20/07
NATIONAL CITY CORP DE 5.02,9.01 07/23/07
NATIONAL OILWELL VARCO INC DE 2.02,9.01 07/25/07
NEDAK ETHANOL, LLC NE 1.01,9.01 07/25/07
NEOGEN CORP MI 2.02,9.01 07/24/07
NEW YORK COMMUNITY BANCORP INC DE 2.02,7.01,9.01 07/25/07
NEW YORK TIMES CO NY 2.02,9.01 07/25/07
NEWPORT CORP NV 2.02,9.01 07/25/07
NewStar Financial, Inc. 2.02,9.01 07/25/07
NightHawk Radiology Holdings Inc 2.02,5.02,9.01 07/25/07
NII HOLDINGS INC DE 3.02,9.01 07/25/07
Nissan Auto Lease Trust 2007-A DE 8.01,9.01 07/24/07
NMS COMMUNICATIONS CORP DE 2.02,7.01,9.01 07/25/07
NN INC DE 2.02,9.01 07/25/07
NORFOLK SOUTHERN CORP VA 2.02,7.01,9.01 07/25/07
NORTHRIM BANCORP INC AK 2.02,9.01 07/25/07
NORTHWEST PIPE CO OR 2.02,9.01 07/25/07
NORTHWESTERN CORP DE 1.02,9.01 07/25/07
NU-MEX URANIUM CORP. NV 5.02 07/23/07
NUVASIVE INC DE 2.02,9.01 07/25/07
O REILLY AUTOMOTIVE INC MO 2.02,9.01 06/30/07
OLD DOMINION ELECTRIC COOPERATIVE VA 5.02 07/19/07
Omniture, Inc. DE 2.02,9.01 07/25/07
OPTION CARE INC/DE DE 8.01,9.01 07/24/07
OWENS & MINOR INC/VA/ VA 2.02,9.01 07/24/07
OXIGENE INC DE 2.02,9.01 07/25/07
PACIFIC PREMIER BANCORP INC DE 2.02,9.01 07/25/07
PANERA BREAD CO DE 2.02,7.01,9.01 07/24/07
PARAMETRIC TECHNOLOGY CORP MA 2.02,9.01 07/25/07
Park Place Energy Corp. NV 8.01,9.01 07/23/07
PATRIOT SCIENTIFIC CORP DE 8.01,9.01 07/24/07
PC TEL INC DE 2.02,9.01 07/25/07
PC TEL INC DE 2.05,2.06 07/25/07
PECO II INC OH 2.02,9.01 07/25/07
PENN OCTANE CORP DE 2.01 07/19/07
PENNSYLVANIA COMMERCE BANCORP INC 5.02 07/20/07
PENNSYLVANIA REAL ESTATE INVESTMENT T PA 9.01 02/21/07 AMEND
PEOPLES BANCORP INC OH 2.02,9.01 07/25/07
PEPSIAMERICAS INC/IL/ DE 2.02,9.01 07/25/07
PEPSICO INC NC 8.01,9.01 07/24/07
PEREGRINE PHARMACEUTICALS INC DE 3.01,9.01 07/25/07
PETMED EXPRESS INC FL 8.01,9.01 07/23/07
PHARMION CORP 2.02,9.01 07/25/07
PLEXUS CORP WI 2.02 07/25/07
PNC FINANCIAL SERVICES GROUP INC PA 7.01 07/25/07
Porter Bancorp, Inc. KY 2.02,9.01 07/25/07
POWER 3 MEDICAL PRODUCTS INC NY 5.02,9.01 07/25/07
PPG INDUSTRIES INC PA 5.02 07/19/07
PPLUS TRUST SERIES CSF-1 DE 8.01,9.01 07/16/07
PPLUS TRUST SERIES PMC-1 DE 8.01,9.01 07/16/07
PRA International DE 2.02,9.01 07/25/07
PRA International DE 1.01,3.03,8.01,9.01 07/24/07
PRAXAIR INC DE 2.02,9.01 07/25/07
PREMIER FINANCIAL BANCORP INC KY 2.02,9.01 07/25/07
PRINCETON NATIONAL BANCORP INC DE 2.02,9.01 07/23/07
PRINCIPAL LIFE INSURANCE CO IA 9.01 07/20/07
PRINCIPAL LIFE INSURANCE CO IA 9.01 07/20/07
PRINCIPAL LIFE INSURANCE CO IA 9.01 07/20/07
PROGENICS PHARMACEUTICALS INC DE 7.01,9.01 07/25/07
PROLIANCE INTERNATIONAL, INC. DE 2.02,2.03,2.05,9.01 07/19/07
ProLink Holdings Corp. DE 5.02 07/19/07
PROSPECT MEDICAL HOLDINGS INC DE 1.01,9.01 07/25/07
PROVIDENT COMMUNITY BANCSHARES, INC. DE 5.02 07/25/07
PSB GROUP INC MI 2.02,9.01 07/23/07
PSS WORLD MEDICAL INC FL 2.02,9.01 07/25/07
PSYCHIATRIC SOLUTIONS INC DE 2.02,9.01 07/25/07
PURE CYCLE CORP DE 1.01,9.01 07/24/07
PURE CYCLE CORP DE 8.01 07/24/07
QUALCOMM INC/DE DE 2.02,9.01 07/25/07
QUALMARK CORP CO 2.02,9.01 07/25/07
QUICKLOGIC CORPORATION CA 2.02,9.01 07/25/07
RAAC Series 2007 SP2 Trust DE 8.01,9.01 07/25/07
RADIAN GROUP INC DE 2.02,9.01 07/24/07
RARE HOSPITALITY INTERNATIONAL INC GA 2.02,7.01,9.01 07/25/07
RAYMOND JAMES FINANCIAL INC FL 2.02,7.01,9.01 07/24/07
REGIONS FINANCIAL CORP DE 5.02,9.01 07/19/07
REYNOLDS AMERICAN INC 2.02,9.01 07/25/07
RIGHTNOW TECHNOLOGIES INC MT 2.02,9.01 06/30/07
Rock-Tenn CO GA 2.02,9.01 07/24/07
ROCKWELL AUTOMATION INC DE 2.02 07/25/07
ROLLINS INC DE 9.01 07/25/07
ROLLINS INC DE 8.01 07/24/07
RPC INC DE 8.01,9.01 07/25/07
RPC INC DE 2.02,9.01 07/25/07
RSC Holdings Inc. DE 2.02,9.01 07/25/07
RYDER SYSTEM INC FL 2.02,9.01 07/25/07
RYLAND GROUP INC MD 2.02,9.01 07/25/07
SALTON INC DE 8.01,9.01 07/24/07
SAMARITAN PHARMACEUTICALS INC NV 1.01,1.02,9.01 07/25/07
SANMINA-SCI CORP DE 2.02,9.01 07/25/07
SCIELE PHARMA, INC. DE 2.02,9.01 07/25/07
SEALED AIR CORP/DE DE 2.02,9.01 07/25/07
SEATTLE GENETICS INC /WA DE 2.02,9.01 07/25/07
SECURITY FEDERAL CORP SC 2.02,9.01 07/24/07
SELECT COMFORT CORP 2.02,9.01 07/25/07
SemGroup Energy Partners, L.P. DE 1.01,2.01,2.03,3.03,5.03,7.01, 07/20/07
9.01
SENESCO TECHNOLOGIES INC DE 1.01,9.01 07/23/07
SERVICE BANCORP INC MA 2.02,9.01 07/25/07
SES SOLAR INC. 7.01,9.01 07/25/07
SEWARD SCIENCES, INC. DE 1.01,9.01 07/20/07
SGS International, Inc. DE 4.01,9.01 07/16/07 AMEND
Shire plc 1.01,2.03,9.01 07/19/07
SHORE BANCSHARES INC MD 2.02,9.01 07/24/07
SIERRA BANCORP CA 2.02,9.01 04/23/07
SIGMA ALDRICH CORP DE 2.02,7.01,9.01 07/24/07
SILICON LABORATORIES INC DE 2.02,8.01,9.01 07/25/07
SILICON STORAGE TECHNOLOGY INC CA 2.02,9.01 07/25/07
Skilled Healthcare Group, Inc. DE 1.02,5.02 07/19/07
SKINS INC. NV 5.02 07/19/07
SNAP ON INC DE 2.02,9.01 07/24/07
Solar Power, Inc. NV 4.02 07/25/07
SOMERSET INTERNATIONAL GROUP,INC. DE 5.03 07/24/07
SONIC AUTOMOTIVE INC DE 1.02,5.02 07/19/07
SONICWALL INC CA 2.02,9.01 07/23/07
Soundview Home Loan Trust 2007-OPT2 DE 2.01,9.01 06/18/07
SOUTHERN MISSOURI BANCORP INC MO 2.02,9.01 07/23/07
SOUTHWEST GEORGIA FINANCIAL CORP GA 2.02,9.01 06/30/07
SPARTA INC /DE DE 2.02,9.01 07/23/07
SPECTRANETICS CORP DE 2.02,9.01 07/25/07
Spectrum Brands, Inc. WI 5.02,9.01 07/20/07
ST MARY LAND & EXPLORATION CO DE 5.02,9.01 07/25/07
STANCORP FINANCIAL GROUP INC OR 2.02,9.01 07/25/07
STANDARD REGISTER CO OH 2.05,9.01 07/19/07
STATE BANCORP INC NY 2.02,9.01 07/25/07
STEELCLOUD INC VA 8.01,9.01 07/20/07
STERIS CORP OH 2.02,9.01 07/25/07
STOCKERYALE INC MA 2.02,9.01 07/25/07
STONERIDGE INC OH 8.01,9.01 07/20/07
STURM RUGER & CO INC DE 2.02,9.01 07/24/07
SUNRISE SENIOR LIVING INC DE 2.02,8.01,9.01 07/25/07
SUPERIOR BANCORP DE 7.01,9.01 07/25/07
SUPERIOR BANCORP DE 2.03,2.04 07/19/07
SYMANTEC CORP DE 2.02,9.01 07/25/07
SYMYX TECHNOLOGIES INC DE 2.02,9.01 07/25/07
SYNTAX-BRILLIAN CORP DE 1.01,9.01 07/19/07
TARGETED GENETICS CORP /WA/ WA 8.01,9.01 07/24/07
TARRAGON CORP NV 8.01,9.01 07/25/07
TAYLOR CAPITAL GROUP INC DE 2.02,9.01 07/25/07
TELEFLEX INC DE 1.01,7.01,9.01 07/20/07
TELETOUCH COMMUNICATIONS INC DE 1.01,5.02,9.01 07/19/07
TELKONET INC 3.01,9.01 07/19/07
TEMPLE INLAND INC DE 2.02,7.01,9.01 07/25/07
TEREX CORP DE 2.02,9.01 07/25/07
TERRA ENERGY & RESOURCE TECHNOLOGIES, DE 7.01,9.01 07/25/07
THERMAGE INC DE 5.02 07/03/07
THOMAS GROUP INC DE 2.02,9.01 07/23/07
TRACTOR SUPPLY CO /DE/ DE 2.02,9.01 07/25/07
TRADESTATION GROUP INC FL 2.02,9.01 07/25/07
Travelport LTD D0 5.02,8.01,9.01 07/25/07
TRIBUNE CO DE 2.02,9.01 07/01/07
TRIQUINT SEMICONDUCTOR INC DE 2.02,9.01 07/25/07
TXCO Resources Inc DE 1.01,9.01 07/19/07
ULURU INC. NV 8.01,9.01 07/23/07
UNITED HERITAGE CORP UT 3.01,9.01 07/19/07
UNIVERSAL HEALTH REALTY INCOME TRUST MD 2.02,9.01 07/24/07
USA Uranium Corp. NV 2.01,3.02,5.02,8.01,9.01 07/25/07
Utah Uranium Corp. NV 1.02 07/19/07
uVuMobile, Inc 1.01,3.02,8.01,9.01 07/23/07
UWHARRIE CAPITAL CORP NC 2.02,9.01 07/24/07
VALMONT INDUSTRIES INC DE 5.02 07/23/07
VARIAN INC DE 2.02,9.01 07/25/07
VARIAN MEDICAL SYSTEMS INC DE 2.02,8.01,9.01 07/24/07
Vaughan Foods, Inc. OK 2.01,9.01 06/30/07
VERASUN ENERGY CORP 1.01,7.01,9.01 07/22/07
VERENIUM CORP DE 1.01,5.02,9.01 07/19/07
VERISIGN INC/CA DE 5.02 07/25/07
VIA Pharmaceuticals, Inc. DE 8.01,9.01 07/20/07
VIEWSONIC CORP DE 5.02,9.01 07/24/07
WELLPOINT INC IN 2.02,9.01 07/25/07
Wells Fargo Alternative Loan 2007-PA4 DE 9.01 07/25/07
WESBANCO INC WV 8.01,9.01 07/25/07
WESCORP ENERGY INC 3.02 06/15/07
WESTELL TECHNOLOGIES INC DE 2.02,9.01 07/25/07
Western Goldfields Inc. A6 7.01,9.01 07/24/07
WESTSTAR FINANCIAL SERVICES CORP NC 2.02,9.01 07/24/07
WHITING PETROLEUM CORP DE 2.02,9.01 07/25/07
WILMINGTON TRUST CORP DE 1.01,5.02 07/19/07
WJ COMMUNICATIONS INC DE 5.03,9.01 07/19/07
XCEL ENERGY INC MN 2.02,9.01 07/25/07
XEROX CORP NY 2.02,9.01 07/25/07
YOUNG INNOVATIONS INC MO 2.02,9.01 07/25/07
Zagg INC 8.01,9.01 07/25/07
ZAREBA SYSTEMS INC MN 1.01,8.01,9.01 07/24/07
ZEBRA TECHNOLOGIES CORP/DE DE 2.02,9.01 07/25/07
ZIX CORP TX 8.01 07/25/07
http://www.sec.gov/news/digest/2007/dig072607.htm
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