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SEC NEWS DIGEST
Issue 2007-151 August 7, 2007
COMMISSION ANNOUNCEMENTS
SEC TO CONVENE SUMMIT TO COMBAT INVESTMENT FRAUD AGAINST SENIOR
CITIZENS
Commission's Seniors Summit to Be Held Sept. 10
Securities and Exchange Commission Chairman Christopher Cox announced
today that the agency will hold its second annual Seniors Summit on
Sept. 10, 2007, at the SEC's Washington, D.C., headquarters. The event
will further examine how regulators, community organizations, and
others can increasingly coordinate efforts to protect older Americans
from abusive sales practices and investment fraud.
AARP, the Financial Industry Regulatory Authority (FINRA), and the
North American Securities Administrators Association (NASAA) will be
other leading participants at the Seniors Summit.
"Americans are living far longer than ever before. As the Baby Boomers
reach retirement age, more than 10,000 Americans are turning 60 every
day - and the net worth of older Americans is growing to historic
proportions. That has made seniors the prime targets for scam artists
and securities swindlers. So the SEC is attacking the problem of
senior fraud from all angles, with aggressive enforcement efforts,
targeted rules and examinations, and investor education focused not
only on seniors but their caregivers and pre-retirement workers as
well," Chairman Cox said.
"Our Seniors Summit will bring together regulators, law enforcement
officials, and community groups from around the nation to join forces
in protecting older Americans from investment fraud," Chairman Cox
added.
Chairman Cox noted that the SEC has brought more than 25 enforcement
actions during the past year aimed specifically at protecting elderly
investors. Many of these were coordinated with state authorities.
Chairman Cox also noted that the SEC's nationwide examination and
inspection program plays a critical role in protecting seniors by
conducting targeted examinations to detect fraud and other violations
of securities laws.
Furthermore, the SEC has devoted a portion of its Web site
specifically to senior citizens
(http://www.sec.gov/investor/seniors.shtml), linking to detailed
warnings about common scam tactics and other critical information
about investments that are commonly marketed to seniors.
The Seniors Summit will take place in the Auditorium at SEC
Headquarters, 100 F Street, N.E., Washington, D.C. The agenda,
panelists, and registration instructions for the Seniors Summit will
be announced at a later date. (Press Rel. 2007-160)
RULES AND RELATED MATTERS
SEC AMENDS RULE 105 OF REGULATION M
On June 20, 2007, the Commission voted to approve amendments to Rule
105 of Regulation M. The amendments eliminate the covering component
of the former rule, encompass offerings made pursuant to Form 1-E,
Notification Under Regulation E, and add exceptions concerning bona
fide purchases, separate accounts, and investment companies. The
amendments are effective 60 days after publication in the Federal
Register. Publication of the amendments is expected to be made in the
Federal Register during the week of August 13. (Rel. 34-56206)
ENFORCEMENT PROCEEDINGS
FIRST BANCORP SETTLES FINANCIAL FRAUD CHARGES WITH SEC AND AGREES TO
PAY $8.5 MILLION PENALTY
On August 7, the Commission filed financial fraud charges against
First BanCorp, alleging that former senior management of the NYSE-
listed, Puerto Rico-based bank holding company concealed the true
nature of more than $4 billion worth of transactions involving "non-
conforming" mortgages from 2000 until 2005. The Commission's complaint
charges First BanCorp with aiding and abetting violations of the
federal securities laws by Doral Financial Corporation, another NYSE-
listed, Puerto Rico-based bank holding company. Doral Financial
previously consented to the entry of a court order enjoining it from
violating the antifraud, reporting, books and records and internal
control provisions of the federal securities laws and ordering that it
pay a $25 million civil penalty [LR-19837 (Sept. 19, 2006)].
According to the August 7 complaint, First BanCorp, which purportedly
purchased the non-conforming mortgages from Doral Financial, profited
from the transactions by earning more than $100 million in net
interest income. Doral Financial, which purportedly sold the mortgages
to First BanCorp, improperly recognized income on the transactions.
According to the Commission, the mortgage-related transactions were
not true sales under generally accepted accounting principles because
senior management of Doral Financial agreed orally and in emails to
extend the recourse provision beyond the 24-month period included in
the written agreements to recourse for the duration of the mortgages.
The Commission's complaint, which was filed in the U.S. District Court
for the Southern District of New York, charges First BanCorp with
aiding and abetting violations of Sections 10(b), 13(a), 13(b)(2)(A)
and 13(b)(2)(B) of the Securities Exchange Act of 1934 and Rules 10b-
5, 12b-20 13a-1 and 13a-13. Without admitting or denying the
Commission's charges, First BanCorp consented to being permanently
enjoined from violating those antifraud, reporting, books and records
and internal control provisions of the federal securities laws and to
paying an $8.5 million civil penalty. [SEC v. First BanCorp, 07-CV-
7039 (Crotty, J.) S.D.N.Y.] (LR-20227; AAE Rel. 2664)
FINAL JUDGMENT ENTERED AGAINST JEROME B. ARMSTRONG
On July 26, 2007, the Honorable John D. Holschuh, U.S. District Judge
for the Southern District of Ohio, entered a Final Judgment as to
defendant Jerome B. Armstrong (Armstrong). The Final Judgment
permanently enjoins Armstrong from future violations of Section 17(b)
of the Securities of 1933. The Final Judgment further orders Armstrong
to pay disgorgement in the amount of $5,832, prejudgment interest of
$3,235, and a civil penalty of $20,000. Armstrong consented to the
entry of the Final Judgment without admitting or denying the
allegations of the Commission's complaint, except as to jurisdiction.
The Commission's complaint, filed on April 14, 2003, alleged that
beginning on March 6, 2000, Armstrong touted the stock of BluePoint
Linux Software Corporation (BluePoint) by posting unsubstantiated,
favorable buy recommendations on the Raging Bull internet site.
Armstrong posted over eighty such recommendations during the first
three weeks that the stock of BluePoint was publicly traded. According
to the complaint, Armstrong praised BluePoint's investment value and
encouraged investors who were experiencing trouble having their orders
filled to keep trying. The complaint further alleged that the
promoters of BluePoint were secretly transferring stock in three other
companies to Armstrong at prices below the then current market for
those three stocks and that Armstrong made at least $20,000 by selling
the shares he received from the promoters of BluePoint. The complaint
alleges that Armstrong did not disclose in his internet postings that
he was being compensated for making the postings. [SEC v. Sierra
Brokerage Services, Inc., et al, Case No. C2-03-326 USDC SD Ohio] (LR-
20228)
INVESTMENT COMPANY ACT RELEASES
SENTINEL VARIABLE PRODUCTS TRUST, ET AL.
A notice has been issued giving interested persons until Aug. 28,
2007, to request a hearing on an application filed by Sentinel
Variable Products Trust (Trust) and Sentinel Asset Management, Inc.
(collectively, Applicants). Applicants seek an order pursuant to
Section 6(c) of the Investment Company Act exempting each life
insurance company separate account supporting variable life insurance
contracts (VLI Accounts) (and its insurance company depositor) that
may invest in shares of the Trust or a "future trust" as defined
below, from the provisions of Sections 9(a), 13(a), 15(a), and 15(b)
of the Act and Rules 6e-2(b)(15) and 6e-3(T)(b)(15) thereunder to the
extent necessary to permit such VLI Accounts to hold shares of the
Trust or a future trust when one or more of the following other types
of investors also hold shares of the Trust or a future trust: (1) a
life insurance company separate account supporting variable annuity
contracts, (2) a VLI Account of a life insurance company that is not
an affiliated person of the insurance company depositor of any other
VLI Account, (3) the general account of an insurance company depositor
of a VLI Account (representing seed money investments in the Trust or
future trust), (4) the Trust's or future trust's investment adviser
(representing seed money investments in the Trust or future trust), or
(5) trustees of group qualified pension and group retirement plans
outside the separate account context. A "future trust" is any
investment company (or investment portfolio or series thereof), other
than the Trust, shares of which are sold to VLI Accounts and to which
Applicants or their affiliates may in the future serve as investment
advisers, investment sub-advisers, investment managers,
administrators, principal underwriters or sponsors. (Rel. IC-27921 -
August 3)
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF A PROPOSED RULE CHANGES
The Fixed Income Clearing Corporation filed a proposed rule change
(SR-FICC-2007-07), which became effective upon filing, to make
technical changes to update and align provisions with current
practice. Publication is expected in the Federal Register is expected
during the week of August 13. (Rel. 34-56189)
A proposed rule change (SR-BSE-2007-32) and Amendment No. 1 thereto
filed by the Boston Stock Exchange to amend the existing fee schedule
has become effective under Section 19(b)(3)(A) of the Act. Publication
is expected in the Federal Register is expected during the week of
August 13. (Rel. 34-56194)
A proposed rule change (SR-NYSE-2007-71) filed by the New York Stock
Exchange to exclude from its earnings standard gains or losses from
extinguishment of debt prior to maturity on a six month pilot basis
has become effective under Section 19(b)(3)(A) of the Securities
Exchange Act of 1934. Publication is expected in the Federal Register
is expected during the week of August 13. (Rel. 34-56195)
A proposed rule change (SR-CBOE-2007-91) filed by the Chicago Board
Options Exchange relating to temporary membership status access fee
has become effective pursuant to Section 19(b)(3)(A) of the Securities
Exchange Act of 1934. Publication is expected in the Federal Register
is expected during the week of August 13. (Rel. 34-56197)
A proposed rule change (SR-NYSEArca-2007-77), as modified by Amendment
No. 1 thereto, filed by NYSE Arca relating to exchange fees and
charges has become effective pursuant to Section 19(b)(3)(A) of the
Securities Exchange Act of 1934. Publication is expected in the
Federal Register is expected during the week of August 13. (Rel. 34-
56200)
PROPOSED RULE CHANGES
The Chicago Board Options Exchange filed a proposed rule change (SR-
CBOE-2007-04) and Amendment No. 1 thereto amending its obvious error
rule for equity options. Publication is expected in the Federal
Register is expected during the week of August 13. (Rel. 34-56190)
The Chicago Board Options Exchange filed a proposed rule change (SR-
CBOE-2007-79) and Amendment No. 1 thereto to eliminate position and
exercise limits for options on the Russell 2000 Index, and to specify
that reduced-value options on broad-based security indexes for which
full-value options have no position and exercise limits similarly have
no position and exercise limits. Publication is expected in the
Federal Register is expected during the week of August 13. (Rel. 34-
56191)
The Financial Industry Regulatory Authority filed a proposed rule
change (SR-FINRA-2007-01) relating to the reporting of foreign equity
securities to the Order Audit Trail System. Publication is expected in
the Federal Register is expected during the week of August 13. (Rel.
34-56199)
A proposed rule change (SR-ISE-2007-45) as modified by Amendment No. 1
thereto has been filed by the International Securities Exchange
relating to a quote mitigation plan for Competitive Market Makers
under Section 19(b)(2) of the Securities Exchange Act of 1934.
Publication is expected in the Federal Register is expected during the
week of August 13. (Rel. 34-56201)
APPROVAL OF PROPOSED RULE CHANGES
The Commission approved a proposed rule change (SR-Amex-2007-38)
submitted by the American Stock Exchange amending preferred stock
voting rights. Publication is expected in the Federal Register is
expected during the week of August 13. (Rel. 34-56193)
The Commission approved a proposed rule change (SR-Phlx-2007-45)
submitted by the Philadelphia Stock Exchange to establish new
procedures to follow when trading halts on the primary market for the
underlying security. Publication is expected in the Federal Register
is expected during the week of August 13. (Rel. 34-56198)
The Commission approved a proposed rule change (SR-MSRB-2007-01) filed
by the Municipal Securities Rulemaking Board to MSRB Rule G-14,
reports of sales or purchases relating to reporting of transactions in
certain special trading situations. Publication is expected in the
Federal Register is expected during the week of August 13. (Rel. 34-
56202)
ACCELERATED APPROVAL OF PROPOSED RULE CHANGE
The Commission granted accelerated approval to a proposed rule change
(SR-NYSE-2007-48) as modified by Amendment No. 1 filed by the New York
Stock Exchange relating to proposed amendments to Rule 600 to provide
guidance regarding new and pending arbitration claims in light of the
consolidation of NYSE Regulation into NASD DR. Publication is expected
in the Federal Register is expected during the week of August 13.
(Rel. 34-56208)
SECURITIES ACT REGISTRATIONS
The following registration statements have been filed with the SEC
under the Securities Act of 1933. The reported information appears as
follows: Form, Name, Address and Phone Number (if available) of the
issuer of the security; Title and the number and/or face amount of the
securities being offered; Name of the managing underwriter or
depositor (if applicable); File number and date filed; Assigned
Branch; and a designation if the statement is a New Issue.
Registration statements may be obtained in person or by writing to the
Commission's Public Reference Branch at 100 F Street, N.E.,
Washington, D.C. 20549-1090 or at the following e-mail box address:
<publicinfo@sec.gov>. In most cases, this information is also
available on the Commission's website: <www.sec.gov>.
SB-2 Generic Marketing Services, Inc., 2811 REIDVILLE RD., SUITE 23,
SPARTANBURG, SC, 29301, 864-316-2909 - 10,873,750 ($217,475.00) Equity,
(File 333-145132 - Aug. 6) (BR. 08)
S-3 EPICEPT CORP, 777 OLD SAW MILL RIVER RD., TARRYTOWN, NY, 10591,
914-606-3500 - 0 ($18,589,793.00) Other, (File 333-145133 - Aug. 6)
(BR. 01A)
S-1 ICX TECHNOLOGIES INC, 1350 I STREET, NW, SUITE 670, WASHINGTON, DC,
20005, 2025365699 - 0 ($184,000,000.00) Equity, (File 333-145135 -
Aug. 6) (BR. 10)
S-8 ALLEGRO BIODIESEL CORP, 6033 W. CENTURY BLVD, SUITE 850, LOS ANGELES,
CA, 90045, 3106702093 - 6,592,755 ($11,537,321.00) Equity,
(File 333-145136 - Aug. 6) (BR. 06A)
S-8 PharMerica CORP, 680 S. 4TH STREET, LOUISVILLE, KY, 40202,
610-727-7458 - 0 ($70,289,418.00) Equity, (File 333-145137 - Aug. 6)
(BR. 09A)
S-3 POLYMER GROUP INC, 9335 HARRIS CORNERS PARKWAY, SUITE 300, CHARLOTTE,
NC, 28269, 704-697-5100 - 0 ($350,000,000.00) Equity,
(File 333-145138 - Aug. 6) (BR. 02B)
S-4 FirstEnergy Generation Corp., C/O FIRSTENERGY CORP.,
76 SOUTH MAIN STREET, AKRON, OH, 44308, 800-736-3402 -
0 ($1,135,300,000.00) Non-Convertible Debt, (File 333-145140 - Aug. 6)
(BR. 02)
S-1 Midway Gold Corp, UNIT 1 - 15782 MARINE DRIVE,
WHITE ROCK, B.C. V4B 1E6, A1, 00000, 604-536-2711 -
8,450,000 ($23,675,500.00) Equity, (File 333-145141 - Aug. 6) (BR. 04)
SB-2 SimpleTech Inc, 8 HA'BONIM STREET, BEIT KANYOTEK, UNIT 404, ASHDOD, L3,
77510, 972-50-455-5138 - 1,380,800 ($69,040.00) Equity,
(File 333-145142 - Aug. 6) (BR. 03)
S-3 GLOBAL PARTNERS LP, P.O. BOX 9161, 800 SOUTH STREET, WALTHAM, MA,
02454, (781) 894-8800 - 0 ($67,946,455.75) Equity, (File 333-145144 -
Aug. 6) (BR. 04C)
SB-2 RED ROCK PICTURES HOLDINGS, INC, 8228 SUNSET BLVD., 3RD FLOOR,
LOS ANGELES, CA, 90046, (323) 790-1813 -
18,224,334 ($9,476,654.00) Equity, (File 333-145146 - Aug. 6) (BR. 05A)
S-8 NETFLIX INC, 100 WINCHESTER CIRCLE, ., LOS GATOS, CA, 95032,
408-540-3700 - 666,666 ($11,273,322.06) Equity, (File 333-145147 -
Aug. 6) (BR. 05C)
S-8 BRUSH ENGINEERED MATERIALS INC, 17876 ST. CLAIR AVE., CLEVELAND, OH,
44110, 2163834062 - 3,000,000 ($111,630,000.00) Equity,
(File 333-145149 - Aug. 6) (BR. 04A)
S-8 CONMED CORP, 525 FRENCH ROAD, UTICA, NY, 13502, 3157978375 -
159,666 ($4,513,758.00) Other, (File 333-145150 - Aug. 6) (BR. 10A)
S-8 HUTTIG BUILDING PRODUCTS INC, 555 MARYVILLE UNIVERSITY DRIVE,
SUITE 240, ST LOUIS, MO, 63141, 314-216-2600 -
0 ($4,830,000.00) Equity, (File 333-145151 - Aug. 6) (BR. 06A)
S-8 Genpact LTD, CANON'S COURT, 22 VICTORIA STREET, HAMILTON, D0, HM122,
4412952244 - 34,000,000 ($381,619,196.00) Equity, (File 333-145152 -
Aug. 6) (BR. 08B)
S-8 BION ENVIRONMENTAL TECHNOLOGIES INC, 641 LEXINGTON AVENUE, 17TH FLOOR,
NEW YORK, NY, 10022, (212) 758-6622 -
3,200,000 ($10,454,399.99) Equity, (File 333-145153 - Aug. 6) (BR. 05B)
S-1 Enterprise Acquisition Corp., 6800 BROKEN SOUND PARKWAY, BOCA RATON,
FL, 33487, 561-988-1700 - 28,750,000 ($503,125,000.00) Equity,
(File 333-145154 - Aug. 6) (BR. )
S-3 UNION NATIONAL FINANCIAL CORP / PA, 101 E MAIN ST, P O BOX 567,
MOUNT JOY, PA, 17552, 7174922222 - 200,000 ($2,684,000.00) Equity,
(File 333-145155 - Aug. 6) (BR. 07B)
S-8 TALBOTS INC, ONE TALBOTS DRIVE, HINGHAM, MA, 02043, 7817497600 -
2,500,000 ($56,775,000.00) Equity, (File 333-145156 - Aug. 6) (BR. 02B)
S-8 Wellstar International, Inc., 6911 PILLIOD ROAD, HOLLAND, OH, 43528,
(419) 865-0069 - 8,500,000 ($110,500.00) Equity, (File 333-145157 -
Aug. 6) (BR. 10C)
S-3ASR DreamWorks Animation SKG, Inc., GRANDVIEW BUILDING, 1000 FLOWER STREET,
GLENDALE, CA, 91201, (818) 695-5000 - 0 ($398,400,000.00) Equity,
(File 333-145158 - Aug. 6) (BR. 05A)
S-8 DEXCOM INC, 5555 OBERLIN DRIVE, SAN DIEGO, CA, 92121, 8582000200 -
0 ($8,832,120.64) Equity, (File 333-145159 - Aug. 6) (BR. 10A)
F-3ASR CTRIP COM INTERNATIONAL LTD, NO. 99 FU QUAN ROAD, SHANGHAI, F4, 200335,
862134064880 - 0 ($0.00) ADRs/ADSs, (File 333-145161 - Aug. 6) (BR. 08A)
S-8 ORACLE CORP, 500 ORACLE PARKWAY, MAIL STOP 5 OP 7, REDWOOD CITY, CA,
94065, 6505067000 - 2,838,639 ($56,574,076.00) Equity,
(File 333-145162 - Aug. 6) (BR. 03B)
S-1 ASIA SPECIAL SITUATION ACQUISITION CORP, PO BOX 309 GT,
UGLAND HOUSE SOUTH CHURCH STREET, GEORGE TOWN, E9, 00000,
407 805 0879 - 0 ($215,250,100.00) Equity, (File 333-145163 - Aug. 6)
(BR. )
S-3 TETON ENERGY CORP, PO BOX 774327, STEAMBOAT SPRINGS, CO, 80477,
(303) 565-4600 - 0 ($26,784,000.00) Equity, (File 333-145164 - Aug. 6)
(BR. 04B)
S-3 BEACON POWER CORP, 234 BALLARDVALE ST, WILMINGTON, MA, 01887,
9786949121 - 0 ($50,000,000.00) Equity, (File 333-145165 - Aug. 6)
(BR. 02B)
S-8 ABERCROMBIE & FITCH CO /DE/, 6301 FITCH PATH, NEW ALBANY, OH, 43054,
6145776500 - 5,000,000 ($350,900,000.00) Equity, (File 333-145166 -
Aug. 6) (BR. 02B)
SB-2 MEDICALCV INC, 9725 SOUTH ROBERT TRAIL, INVER GROVE HEIGHTS, MN, 55077,
6514523000 - 0 ($7,968,741.50) Equity, (File 333-145168 - Aug. 6)
(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:
<publicinfo@sec.gov>. In most cases, this information is also
available on the Commission's website: <www.sec.gov>.
STATE
NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT
-------------------------------------------------------------------------------------------------------
A.C. Moore Arts & Crafts, Inc. PA 2.02,9.01 08/06/07
ABN AMRO MORTGAGE CORP SERIES 1999-RS DE 8.01,9.01 07/27/07
ACADIA PHARMACEUTICALS INC DE 2.02,9.01 08/06/07
ACCESS WORLDWIDE COMMUNICATIONS INC DE 5.02,9.01 08/01/07
ACCO BRANDS CORP DE 2.02,9.01 08/06/07
ACME PACKET INC DE 8.01,9.01 08/06/07
ACUSPHERE INC DE 8.01 08/03/07
ADC TELECOMMUNICATIONS INC MN 2.05,2.06 08/03/07
Advanced BioEnergy, LLC DE 5.02,9.01 07/31/07
ADVANCED CELL TECHNOLOGY, INC. DE 1.01 07/31/07
AES CORP DE 4.02 08/06/07
Aftersoft Group DE 1.01,9.01 08/03/07
AIS FUTURES FUND IV LP DE 3.02 07/31/07
ALBANY INTERNATIONAL CORP /DE/ DE 2.02,9.01 08/03/07
ALLEGHENY TECHNOLOGIES INC DE 7.01,9.01 08/06/07
ALLEGRO BIODIESEL CORP DE 1.01,9.01 08/01/07
ALLIANT ENERGY CORP WI 2.02,9.01 08/06/07
Alphatec Holdings, Inc. DE 2.02,9.01 08/06/07
AMEDISYS INC DE 7.01,9.01 08/06/07
AMERICAN ELECTRIC POWER CO INC NY 7.01 08/06/07
AMERICAN HOMEPATIENT INC DE 2.02,9.01 08/03/07
AMERICAN SKIING CO /ME DE 8.01,9.01 07/27/07
AMERICAN STANDARD COMPANIES INC DE 2.01,5.02,9.01 07/31/07
AMERISAFE INC TX 2.02,7.01,9.01 08/06/07
AMN HEALTHCARE SERVICES INC DE 2.02,9.01 08/06/07
ANNAPOLIS BANCORP INC MD 2.02,9.01 08/06/07
Answers CORP 1.01,9.01 07/31/07
APAC CUSTOMER SERVICE INC IL 2.02,9.01 08/06/07
APPLIANCE RECYCLING CENTERS OF AMERIC MN 2.02,9.01 08/01/07
AQUA AMERICA INC PA 2.02,9.01 08/06/07
ARCHSTONE SMITH OPERATING TRUST 1.01,8.01,9.01 08/05/07
ARCHSTONE SMITH TRUST MD 1.01,8.01,9.01 08/05/07
ARGONAUT GROUP INC DE 2.02,9.01 08/06/07
Argyle Security Acquisition CORP 2.01,2.02,2.03,3.02,5.01,5.02, 07/31/07
5.06,9.01
ARIAD PHARMACEUTICALS INC DE 2.02,8.01,9.01 08/06/07
Armor Electric, Inc. 2.04 07/20/07
ARQULE INC DE 2.02,9.01 08/02/07
ARRAY BIOPHARMA INC DE 8.01,9.01 08/03/07
ARRAY BIOPHARMA INC DE 2.02,9.01 08/06/07
ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 08/02/07
ASSET ACCEPTANCE CAPITAL CORP 5.02 07/31/07
BALDWIN & LYONS INC IN 2.02,7.01,9.01 08/02/07
BANCORP RHODE ISLAND INC 5.02,9.01 08/06/07
Baseline Oil & Gas Corp. NV 5.02,8.01,9.01 08/03/07
BELL MICROPRODUCTS INC CA 5.02,9.01 08/06/07
BEMIS CO INC MO 8.01,9.01 07/31/07
Beneficial Mutual Bancorp Inc X1 2.02,9.01 08/06/07
BERKSHIRE HILLS BANCORP INC 5.02 08/01/07
BIOCRYST PHARMACEUTICALS INC DE 8.01,9.01 08/06/07
BLACK HILLS CORP /SD/ SD 8.01,9.01 08/02/07
BLACKBAUD INC 2.02,9.01 08/06/07
BLUE NILE INC DE 2.02,9.01 08/06/07
BMC SOFTWARE INC DE 2.02,9.01 08/06/07
Bois d Arc Energy, Inc. NV 2.02,9.01 06/30/07
BOOKHAM, INC. DE 5.02,5.03,9.01 07/31/07
BRAINSTORM CELL THERAPEUTICS INC 1.01,8.01 08/01/07
BRINKS CO VA 8.01,9.01 08/06/07
BTHC VI Inc DE 1.01,9.01 07/31/07
BUCKEYE PARTNERS L P DE 8.01,9.01 08/02/07
BUCYRUS INTERNATIONAL INC DE 1.01,5.03,9.01 08/02/07
BUCYRUS INTERNATIONAL INC DE 1.01,2.03,9.01 05/25/07
CALIFORNIA FIRST NATIONAL BANCORP CA 2.02,7.01,9.01 08/06/07
CanAm Uranium Corp NV 4.01,9.01 07/30/07
CANARGO ENERGY CORP DE 7.01,9.01 08/06/07
CAPITAL ALLIANCE INCOME TRUST REAL ES DE 9.01 08/03/07
CAPITAL CORP OF THE WEST CA 2.02,9.01 08/03/07
CAPITOL BANCORP LTD MI 5.02 08/06/07
CAPITOL FEDERAL FINANCIAL 2.02,9.01 08/06/07
CARRIER ACCESS CORP DE 5.02,9.01 07/31/07
CATSKILL LITIGATION TRUST 1.02 08/02/07
CEDAR SHOPPING CENTERS INC MD 8.01,9.01 08/02/07
CEDAR SHOPPING CENTERS INC MD 2.02,7.01,9.01 08/06/07
CELL THERAPEUTICS INC WA 2.01,5.02,9.01 07/31/07
Centale, Inc. 5.02 07/30/07
Centro NP LLC MD 1.01,2.03,9.01 07/31/07
CHART INDUSTRIES INC DE 5.02 07/09/07 AMEND
CHECKFREE CORP \GA\ DE 2.02,9.01 08/03/07
Chemtura CORP DE 1.01,9.01 07/31/07
China Junlian Integrated Surveillance NV 4.01,9.01 08/31/06
China Public Security Technology, Inc 1.01,1.02,8.01,9.01 08/06/07
CHINA SOFTWARE TECHNOLOGY GROUP CO LT DE 1.01,2.01,3.02,5.01,5.02,9.01 07/30/07
CLEARANT INC 1.01,3.02,8.01,9.01 08/03/07
CLEARWIRE CORP 2.02,9.01 08/06/07
CLOROX CO /DE/ DE 8.01,9.01 08/06/07
CMS Bancorp, Inc. DE 2.02 08/06/07
CNB FINANCIAL CORP/PA PA 2.02 07/23/07
COAST FINANCIAL HOLDINGS INC 2.01,8.01,9.01 08/03/07
Community Bankers Acquisition Corp. 2.02,9.01 07/31/07
COMMUNITY FIRST BANCORP SC 5.02,9.01 07/31/07
COMSTOCK RESOURCES INC NV 2.02,9.01 06/30/07
CONSOLIDATED MEDICAL MANAGEMENT INC MT 3.02 08/06/07
Constellation Energy Partners LLC DE 8.01 08/06/07
CONSUMERS BANCORP INC /OH/ OH 2.02,9.01 08/06/07
COOPER TIRE & RUBBER CO DE 2.02,9.01 08/06/07
COOPER TIRE & RUBBER CO DE 8.01,9.01 08/06/07
CORNELL COMPANIES INC DE 5.02,7.01,9.01 08/01/07
CORPORATE EXECUTIVE BOARD CO DE 8.01,9.01 08/02/07
CORVEL CORP DE 1.01,2.03,9.01 08/01/07
COST PLUS INC/CA/ CA 1.01,1.02,2.03 07/31/07
COUNTRYWIDE FINANCIAL CORP DE 7.01,9.01 08/06/07
CPI INTERNATIONAL, INC. DE 1.01,2.03,2.04,8.01,9.01 08/01/07
CRESTED CORP CO 1.01,9.01 07/31/07
CRYSTAL INTERNATIONAL TRAVEL GROUP, I DE 1.01,2.01,9.01 07/31/07
CTS CORP IN 7.01,9.01 08/06/07
CUTERA INC DE 2.02,9.01 08/06/07
CVD EQUIPMENT CORP NY 2.02,9.01 08/06/07
CWABS Asset-Backed Certificates Trust DE 7.01,9.01 07/20/07
CWABS Asset-Backed Certificates Trust DE 8.01,9.01 07/20/07
CWABS Asset-Backed Certificates Trust DE 7.01,9.01 07/20/07
CWABS Asset-Backed Certificates Trust DE 8.01,9.01 07/29/07
CYBERLUX CORP NV 4.01,9.01 08/01/07
DANKA BUSINESS SYSTEMS PLC 2.02,9.01 08/02/07
DAVITA INC DE 5.02,9.01 07/31/07
DAVITA INC DE 5.02 07/31/07 AMEND
DAVITA INC DE 5.02 07/31/07 AMEND
DAWSON GEOPHYSICAL CO TX 5.02,5.03,9.01 07/31/07
DELPHI CORP DE 8.01,9.01 08/06/07
DENTSPLY INTERNATIONAL INC /DE/ DE 8.01,9.01 08/01/07
DIGIRAD CORP DE 2.02,9.01 08/06/07
DIGITAL LIFESTYLES GROUP INC DE 1.01,3.02 07/31/07
DIODES INC /DEL/ DE 2.02,9.01 08/02/07
DOR BIOPHARMA INC DE 8.01 08/06/07
DORAL FINANCIAL CORP PR 5.03,8.01,9.01 08/02/07
DPAC TECHNOLOGIES CORP CA 1.01,9.01 08/02/07
DRI CORP NC 7.01,9.01 08/06/07
DST SYSTEMS INC DE 5.02,9.01 07/31/07
DUCKWALL ALCO STORES INC KS 5.02,7.01,9.01 08/01/07
DUN & BRADSTREET CORP/NW DE 2.02,9.01 08/06/07
DYNAMIC LEISURE CORP MN 1.01,9.01 07/31/07
EAGLE BROADBAND INC TX 5.02 07/31/07
EAGLE ROCK ENERGY PARTNERS L P DE 2.01,3.02,9.01 07/31/07
ECOSPHERE TECHNOLOGIES INC FL 1.01,5.02,8.01 07/31/07
EDULINK INC NV 5.01,9.01 08/01/07
ENERGY FOCUS, INC/DE DE 5.02,7.01,9.01 07/31/07
ENERGY PARTNERS LTD DE 2.02,5.02,9.01 07/31/07
ENVIRONMENTAL ENERGY SERVICES INC MD 1.01,2.01,9.01 06/26/07
ENXNET INC OK 7.01,9.01 08/06/07
ESCHELON TELECOM INC 2.02,9.01 08/06/07
EVANS BOB FARMS INC DE 5.02,9.01 08/06/07
Evercore Partners Inc. DE 5.02,9.01 08/06/07
Expedia, Inc. 3.01,9.01 07/31/07
EXTREME NETWORKS INC DE 3.01 08/03/07
EXTREME NETWORKS INC DE 5.02,9.01 07/31/07
FANTATECH INC DE 8.01 08/03/07
FEDERAL SIGNAL CORP /DE/ DE 2.01,9.01 08/06/07
FIRST ADVANTAGE CORP DE 5.02,9.01 08/01/07
FIRST BANCORP /PR/ PR 5.02,8.01,9.01 07/31/07
FIRST CENTURY BANKSHARES INC WV 2.02,9.01 08/06/07
First Guaranty Bancshares, Inc. LA 1.01 07/31/07
FIRST INDUSTRIAL REALTY TRUST INC MD 5.02,7.01,9.01 08/03/07
FIRST UNITED CORP/MD/ MD 2.02,9.01 08/02/07
flexSCAN, Inc. NV 4.01 08/03/07
FORTUNE BRANDS INC DE 5.02,9.01 07/31/07
Fortunet, Inc. NV 2.02 08/06/07
FORWARD INDUSTRIES INC NY 2.02,5.02,8.01,9.01 08/01/07
FSB Community Bankshares Inc X1 8.01,9.01 08/06/07
FTI CONSULTING INC MD 2.02,7.01,9.01 08/03/07
GENCO SHIPPING & TRADING LTD 2.03 07/31/07
GENESIS ENERGY LP DE 2.02,9.01 08/06/07
GENOMIC HEALTH INC 2.02,9.01 08/06/07
GLADSTONE CAPITAL CORP MD 2.02,9.01 08/06/07
GLOBAL AXCESS CORP NV 1.01 08/06/07
GOLDEN CYCLE GOLD CORP CO 7.01,9.01 08/06/07
GOLDEN STAR RESOURCES LTD 5.02 08/01/07
GRAHAM PACKAGING HOLDINGS CO DE 7.01,9.01 08/03/07
GRAY TELEVISION INC GA 2.02,9.01 08/06/07
GREAT WEST LIFE & ANNUITY INSURANCE C CO 9.01 06/30/07
GREENE COUNTY BANCORP INC DE 2.02,9.01 08/02/07
GRIFFON CORP DE 2.02,5.02,9.01 08/03/07
GS Cleantech Corp DE 8.01 06/30/07
HAN LOGISTICS INC 4.02 08/02/07
Hana Biosciences Inc DE 2.02,9.01 08/06/07
HANDHELD ENTERTAINMENT, INC. DE 1.01,8.01 08/01/07
HANOVER COMPRESSOR CO / DE 8.01,9.01 08/01/07
HARMONIC INC DE 2.01,9.01 07/31/07
HAUPPAUGE DIGITAL INC DE 8.01,9.01 08/06/07
HEALTH CARE PROPERTY INVESTORS INC MD 1.01,2.01,9.01 08/01/07
Health Fitness Corp /MN/ MN 2.02,9.01 08/06/07
HEALTHCARE PROVIDERS DIRECT INC. NV 1.01,2.03,3.02,9.01 07/31/07
HELIX BIOMEDIX INC DE 1.01 08/02/07
HERBALIFE LTD. E9 2.02,9.01 08/06/07
Highland Distressed Opportunities, In 7.01,9.01 08/03/07
HINES REAL ESTATE INVESTMENT TRUST IN 2.01,7.01,9.01 08/01/07
Home System 5.02,5.03,5.05,8.01,9.01 08/06/07
HOMEBANC CORP 1.01,3.01,9.01 07/31/07
Houston Wire & Cable CO 5.03,8.01,9.01 07/31/07
Huntsman CORP DE 1.01,9.01 08/02/07
HYPERCOM CORP DE 5.02,9.01 07/31/07
HYPERDYNAMICS CORP DE 3.02 06/22/07
I2 TECHNOLOGIES INC DE 2.02,7.01,9.01 08/06/07
IBT BANCORP INC /MI/ MI 2.02,9.01 08/03/07
ICEWEB INC DE 8.01,9.01 08/02/07
ICO Global Communications (Holdings) DE 8.01,9.01 08/06/07
ImmunoCellular Therapeutics, Ltd. DE 8.01,9.01 08/02/07
IMMUNOMEDICS INC DE 5.02 08/06/07
IMPERIAL CAPITAL BANCORP, INC. CA 8.01,9.01 08/01/07
IMPLANT TECHNOLOGIES INC MN 8.01,9.01 08/03/07
INDEVUS PHARMACEUTICALS INC DE 8.01,9.01 08/06/07
INFOCROSSING INC DE 8.01,9.01 08/06/07
INLAND REAL ESTATE CORP MD 2.02,7.01,9.01 08/06/07
INLAND REAL ESTATE CORP MD 2.02,7.01,9.01 08/06/07 AMEND
Inova Technology Inc. NV 1.01 08/06/07
INOVIO BIOMEDICAL CORP 8.01,9.01 08/03/07
InPlay Technologies, Inc. NV 1.01,9.01 07/31/07
INSIGHT COMMUNICATIONS CO INC DE 4.02 08/03/07
Intellect Neurosciences, Inc. 8.01,9.01 08/06/07
INTERNATIONAL STAR INC NV 5.02 08/01/07
INTROGEN THERAPEUTICS INC 2.02,9.01 08/06/07
INVICTA GROUP INC 2.02,8.01 06/08/07
INX Inc DE 2.02,7.01,9.01 08/06/07
ION MEDIA NETWORKS INC. DE 1.01,2.03,3.02,5.03 08/03/07
IRIDEX CORP DE 1.01,5.02 07/31/07
ISOTIS INC DE 3.02 08/03/07
ITC DELTACOM INC DE 1.01,1.02,2.03,3.02,3.03,5.02, 07/31/07
5.03,9.01
IXYS CORP /DE/ DE 1.01,2.03 07/31/07
J P MORGAN CHASE & CO DE 9.01 08/03/07
JAMES RIVER GROUP, INC DE 2.02,9.01 08/06/07
Jazz Technologies, Inc. DE 1.01 07/31/07
JCM PARTNERS LLC DE 3.02 08/01/07
JONES APPAREL GROUP INC PA 8.01,9.01 08/03/07
K TRON INTERNATIONAL INC NJ 2.02,9.01 08/06/07
KINETIC CONCEPTS INC /TX/ TX 1.01,1.02,2.03,9.01 07/31/07
KNIGHT CAPITAL GROUP, INC. DE 5.02,9.01 08/02/07
Kohlberg Capital CORP DE 2.02,7.01 08/06/07
KOMAG INC /DE/ DE 2.02,9.01 08/06/07
KRONOS WORLDWIDE INC 2.02,7.01 08/06/07
LAKE AREA CORN PROCESSORS LLC 2.02,5.02,8.01 08/01/07
LANDRYS RESTAURANTS INC 8.01,9.01 08/03/07
LANGUAGE ACCESS NETWORK, INC. NV 1.01,2.01,3.02,8.01,9.01 08/01/07
LEGACY RESERVES L P 2.01,9.01 08/06/07
LEHMAN BROTHERS HOLDINGS INC DE 9.01 07/31/07
Liberty Global, Inc. 2.02 08/06/07
LIPID SCIENCES INC/ AZ 2.02,9.01 08/06/07
LMI AEROSPACE INC MO 1.01,2.01,2.03,5.02,9.01 07/31/07
LOCAL.COM DE 2.02,9.01 08/06/07
LUMINENT MORTGAGE CAPITAL INC 2.02,7.01,9.01 08/06/07
MAKEMUSIC, INC. MN 2.02,9.01 08/03/07
Malibu Minerals Inc. NV 3.02,5.03,9.01 07/06/07
MARSH & MCLENNAN COMPANIES, INC. DE 2.01,9.01 08/03/07
MARSHALL EDWARDS INC DE 1.01,3.02,9.01 08/01/07
MASS MEGAWATTS WIND POWER INC 7.01 08/05/07
MBIA INC CT 5.02,9.01 08/03/07
MEADWESTVACO CORP DE 7.01 08/06/07
MEDICAL PROPERTIES TRUST INC 1.01,5.02,9.01 07/31/07
MENTOR CORP /MN/ MN 2.02,9.01 08/06/07
MERCURY GENERAL CORP CA 2.02,9.01 08/06/07
MERRILL LYNCH & CO INC DE 8.01,9.01 08/03/07
METALICO INC 2.02,9.01 08/06/07
METROPCS COMMUNICATIONS INC DE 2.02,9.01 08/03/07
MILLENNIUM BANKSHARES CORP VA 2.02,9.01 08/02/07
Molecular Insight Pharmaceuticals, In MA 8.01,9.01 08/06/07
Morgan Stanley Mortgage Loan Trust 20 DE 8.01 08/01/07
Morgan Stanley Structured Trust I 200 9.01 07/06/07
MortgageIT Securities Corp. Mortgage DE 6.04 08/01/07
MOVIE GALLERY INC DE 5.02,9.01 08/01/07
MS STRUCTURED TILES SERIES 2005-1 DE 8.01,9.01 08/01/07
MULTI FINELINE ELECTRONIX INC 1.01,2.03,9.01 07/31/07
NACCO INDUSTRIES INC DE 2.02,9.01 08/06/07
NACCO INDUSTRIES INC DE 2.02,7.01,9.01 08/06/07
NASHUA CORP MA 5.02,9.01 08/01/07
NATHANS FAMOUS INC DE 1.02,8.01 07/31/07
NATIONAL FINANCIAL PARTNERS CORP 2.02,9.01 08/06/07
NATIONAL HEALTH REALTY INC MD 2.02,9.01 08/03/07
NATIONAL HEALTHCARE CORP DE 1.01,3.03,9.01 08/03/07
NATIONAL HEALTHCARE CORP DE 1.01,9.01 08/03/07
National Investment Managers Inc. FL 1.01,9.01 07/31/07
NATIONAL MEDICAL HEALTH CARD SYSTEMS DE 5.02 08/01/07
NATIONAL RV HOLDINGS INC DE 5.02,9.01 07/31/07
NATURAL RESOURCE PARTNERS LP DE 2.02,7.01,9.01 08/06/07
NAUTILUS, INC. WA 8.01,9.01 08/03/07
NEKTAR THERAPEUTICS DE 1.01,7.01 08/01/07
NETBANK INC GA 2.06,3.01,8.01 08/02/07
NEUSTAR INC 1.01,7.01,9.01 08/01/07
NEW ULM TELECOM INC MN 1.01,9.01 08/03/07
NEW YORK REGIONAL RAIL CORP 5.02,9.01 08/06/07
NewPage Holding CORP DE 2.02,9.01 08/06/07
NEWPOWER HOLDINGS INC DE 8.01,9.01 08/01/07
Nexxus Lighting, Inc. DE 8.01,9.01 08/06/07
NGP Capital Resources CO MD 2.02,9.01 08/06/07
Nissan Auto Lease Trust 2007-A DE 1.01,8.01,9.01 07/31/07
NL INDUSTRIES INC NJ 2.02,7.01 08/06/07
Nomura Asset Acceptance Corporation, DE 1.01,6.02,9.01 08/01/07
NORD RESOURCES CORP DE 5.02,8.01 07/31/07
NORTH AMERICAN SCIENTIFIC INC 8.01,9.01 08/03/07
NORTH AMERICAN TECHNOLOGIES GROUP INC 1.01,2.03,3.02,5.02,9.01 07/31/07
NORTHWEST NATURAL GAS CO OR 2.02 08/06/07
NOVADEL PHARMA INC DE 1.01,1.02,9.01 08/01/07
NOVASTAR FINANCIAL INC MD 8.01,9.01 08/06/07
NOVATEL WIRELESS INC DE 2.02,9.01 08/06/07
NUMEREX CORP /PA/ PA 1.01,2.01,3.02,9.01 07/31/07
NYFIX INC DE 9.01 08/25/06 AMEND
Obagi Medical Products, Inc. DE 2.02,9.01 08/06/07
Omega Flex, Inc. PA 5.02 08/01/07
OMEGA PROTEIN CORP NV 2.02,8.01,9.01 08/03/07
Orchids Paper Products CO /DE DE 5.02,9.01 07/31/07
Oritani Financial Corp. 2.02,9.01 08/01/07
ORTEC INTERNATIONAL INC DE 3.02 07/31/07
OVERSTOCK.COM, INC UT 5.05 08/02/07
OWENS ILLINOIS INC /DE/ DE 1.01,2.01,9.01 06/11/07
PACIFIC SUNWEAR OF CALIFORNIA INC CA 5.02 08/02/07
PAINCARE HOLDINGS INC CT 2.01,9.01 08/03/07
PARKWAY PROPERTIES INC MD 2.02,9.01 08/06/07
PATRIOT TRANSPORTATION HOLDING INC FL 1.01 07/31/07
PDG ENVIRONMENTAL INC DE 1.01,9.01 08/03/07
PDL BIOPHARMA, INC. DE 2.02,9.01 08/01/07
PEMCO AVIATION GROUP INC DE 1.01,9.01 07/31/07
PEPCO HOLDINGS INC DE 2.02,9.01 08/06/07
PERFORMANCE TECHNOLOGIES INC \DE\ DE 2.02 06/30/07
PharMerica CORP DE 1.01,2.01,2.03,5.01,5.02,8.01, 07/31/07
9.01
PLAINS ALL AMERICAN PIPELINE LP DE 1.01,9.01 07/31/07
PLAINS ALL AMERICAN PIPELINE LP DE 2.02,7.01,9.01 08/06/07
PLANETOUT INC DE 8.01,9.01 08/06/07
POINDEXTER J B & CO INC DE 4.02 08/06/07
PointStar Entertainment Corp. NV 5.03,7.01,9.01 07/10/07
Polonia Bancorp 2.02,8.01,9.01 08/03/07
POPE & TALBOT INC /DE/ DE 1.01,9.01 08/03/07
POWERLINX INC NV 5.02,9.01 07/31/07
Precision Aerospace Components, Inc. 1.01 08/06/07
PRINTRONIX INC DE 2.02,9.01 08/06/07
PROS Holdings, Inc. DE 2.02,9.01 08/06/07
PROSPECT MEDICAL HOLDINGS INC DE 5.02,5.03,8.01,9.01 10/01/06
Protalix BioTherapeutics, Inc. FL 1.01,9.01 08/05/07
ProUroCare Medical Inc. 2.03 08/01/07
PUGET ENERGY INC /WA WA 2.02 08/06/07
PURE CYCLE CORP DE 5.02 08/02/07
PXRE GROUP LTD 2.02,9.01 08/06/07
QUESTCOR PHARMACEUTICALS INC CA 1.02,5.02,9.01 07/31/07
RADIATION THERAPY SERVICES INC FL 2.02,9.01 08/02/07
RAE SYSTEMS INC DE 2.02,9.01 08/06/07
RAM Holdings Ltd. D0 2.02,7.01,9.01 08/06/07
RAMBUS INC DE 2.04 07/31/07
Rand Logistics, Inc. DE 8.01,9.01 08/06/07
Republic Property Trust MD 2.02,7.01,9.01 08/06/07
RES CARE INC /KY/ KY 2.02,9.01 08/06/07
ROCHESTER MEDICAL CORPORATION MN 8.01,9.01 08/06/07
ROCKY BRANDS, INC. OH 4.01,9.01 08/01/07
ROGERS CORP MA 2.02,2.05,7.01,9.01 08/06/07
ROGERS CORP MA 2.02,2.05,2.06,7.01,9.01 06/08/07 AMEND
ROGERS CORP MA 2.02,2.05,2.06,7.01,9.01 06/26/07 AMEND
RUBICON FINANCIAL INC DE 1.01,2.01,9.01 07/31/07
RUDDICK CORP NC 2.02,9.01 08/02/07
RUDOLPH TECHNOLOGIES INC DE 2.02,9.01 08/06/07
SABINE ROYALTY TRUST TX 2.02,9.01 08/03/07
SANTARUS INC DE 2.02,9.01 08/06/07
SAVIENT PHARMACEUTICALS INC DE 2.02,9.01 07/31/07
SCM MICROSYSTEMS INC DE 5.02 08/01/07
SCRIPPS E W CO /DE OH 1.01 07/31/07
SENETEK PLC /ENG/ 1.01,9.01 08/06/07
SEQUENOM INC DE 2.02,9.01 08/06/07
SERVIDYNE, INC. GA 2.01,9.01 07/31/07
SIMON PROPERTY GROUP L P /DE/ DE 3.02 08/01/07
SIRF TECHNOLOGY HOLDINGS INC 2.01,3.02,9.01 08/06/07
SOHU COM INC DE 2.02,9.01 08/02/07
Southern Heritage Bancshares, Inc. TN 2.02,8.01,9.01 08/03/07
SOUTHWEST GAS CORP CA 2.02 08/06/07
Spectra Energy Corp. DE 2.02,9.01 08/06/07
Spectre Technology CORP NV 1.01,5.03,9.01 08/06/07
SPIRE CORP MA 1.01,9.01 07/31/07
SRI SURGICAL EXPRESS INC FL 2.02,9.01 08/06/07
SRS LABS INC DE 2.02,9.01 08/06/07
STARMED GROUP INC AZ 8.01 08/06/07
STRATEGIC HOTELS & RESORTS, INC 1.01,8.01 07/31/07
STRATEGIC HOTELS & RESORTS, INC 1.01,2.01,8.01 07/31/07 AMEND
STRATUS SERVICES GROUP INC DE 1.01,2.01,3.02,5.02,9.01 08/06/07
STRUCTURED PRODUCTS CORP CORTS TR FOR DE 8.01,9.01 07/31/07
SULPHCO INC NV 5.02 08/01/07
SUN COMMUNITIES INC MD 2.02,9.01 06/30/07
SUN HEALTHCARE GROUP INC DE 7.01,9.01 08/06/07
SUN-TIMES MEDIA GROUP INC DE 2.04,3.01,5.01,5.02,5.03,8.01 07/31/07
SUPERIOR ESSEX INC DE 5.02,9.01 07/31/07
SUPERTEL HOSPITALITY INC VA 1.01,2.01,9.01 07/31/07
SURMODICS INC MN 1.01,2.01,7.01,9.01 07/31/07
SYKES ENTERPRISES INC FL 2.02,9.01 08/06/07
SYNERGETICS USA INC 5.02,9.01 08/01/07
Synovics Pharmaceuticals NV 1.01,8.01,9.01 07/31/07
T-3 ENERGY SERVICES INC TX 2.02,9.01 08/06/07
TAIWAN FUND INC DE 7.01,9.01 06/01/07
TANDY LEATHER FACTORY INC DE 1.01,2.01,2.03,9.01 07/31/07
TECHWELL INC 5.02 07/31/07
TECUMSEH PRODUCTS CO MI 5.02,7.01,9.01 07/31/07
TEKELEC CA 5.02 08/06/07
TEMPLE INLAND INC DE 1.01,9.01 08/03/07
TEMPUR PEDIC INTERNATIONAL INC DE 1.01,9.01 08/06/07
TENDERCARE INTERNATIONAL INC CO 8.01,9.01 08/06/07
TERABEAM, INC. DE 8.01,9.01 07/31/07
TERREMARK WORLDWIDE INC DE 1.01,1.02,2.03,9.01 07/31/07
THRESHOLD PHARMACEUTICALS INC DE 1.01,5.02,9.01 08/01/07
Titan Energy Worldwide, Inc. NV 4.01,9.01 08/02/07 AMEND
TNS INC 2.02,7.01,9.01 08/06/07
TOLLGRADE COMMUNICATIONS INC \PA\ PA 2.01,7.01,9.01 08/01/07
TOPPS CO INC DE 8.01,9.01 08/06/07
TOREADOR RESOURCES CORP DE 7.01,9.01 08/06/07
TOREADOR RESOURCES CORP DE 1.01,9.01 08/02/07
TRANSACT TECHNOLOGIES INC DE 2.02,9.01 08/06/07
TransDigm Group INC DE 2.02,9.01 08/06/07
TRIMERIS INC DE 5.02 08/01/07
TRONOX INC DE 2.01,9.01 08/01/07
U S ENERGY SYSTEMS INC DE 1.01,9.01 08/03/07
U.S. Shipping Partners L.P. DE 8.01,9.01 08/06/07
UGI CORP /PA/ PA 1.01 07/31/07
UNIFI INC NY 1.02,3.01,5.02 08/01/07
UNITED WESTERN BANCORP INC CO 2.02,9.01 08/06/07
UNITEDHEALTH GROUP INC MN 7.01 08/06/07
Universal Compression Partners, L.P. DE 9.01 07/09/07 AMEND
UNIVERSAL POWER GROUP INC. TX 1.01,2.03,8.01,9.01 08/03/07 AMEND
Universal Truckload Services, Inc. MI 1.01,9.01 08/01/07
Urigen Pharmaceuticals, Inc. DE 1.01,3.02,7.01,9.01 07/31/07
US CONCRETE INC DE 5.02,9.01 07/31/07
US ENERGY CORP WY 1.01,9.01 07/31/07
USA Mobility, Inc DE 7.01,9.01 08/02/07
UTEK CORP 2.02,9.01 08/06/07
uVuMobile, Inc 5.02 08/02/07
uWink, Inc. UT 8.01,9.01 08/06/07
VECTOR GROUP LTD DE 2.02,9.01 08/06/07
Veracity Management Global, Inc. DE 4.01,9.01 08/03/07
Veraz Networks, Inc. DE 2.02,9.01 08/06/07
Veri-Tek International, Corp. MI 1.01,9.01 07/31/07
VIA Pharmaceuticals, Inc. DE 1.01,3.02,9.01 07/31/07
VINEYARD NATIONAL BANCORP CA 7.01,9.01 08/06/07
VitalTrust Business Development CORP 5.02,9.01 07/30/07
WALKER FINANCIAL CORP DE 3.02,5.03,9.01 08/02/07
WASHINGTON POST CO DE 2.02,9.01 08/03/07
WATSCO INC FL 1.01,1.02,2.03,9.01 08/03/07
WATSCO INC FL 7.01,9.01 08/06/07
WATSON PHARMACEUTICALS INC NV 1.01,5.02,9.01 08/01/07
Wavelit, Inc. NV 5.02 08/01/07
WAYNE SAVINGS BANCSHARES INC /DE/ DE 2.02,9.01 08/06/07
WCI COMMUNITIES INC 2.02,9.01 08/06/07
WESCO FINANCIAL CORP CA 2.02,9.01 08/03/07
WILLIAMS COAL SEAM GAS ROYALTY TRUST DE 2.02,9.01 08/03/07
WILLOW FINANCIAL BANCORP, INC. PA 8.01,9.01 08/01/07
WORLDWIDE STRATEGIES INC NV 1.01,2.01,2.03,3.02,5.02,5.03, 07/31/07
8.01,9.01
WPT ENTERPRISES INC 1.01 08/06/07
WRIGHT MEDICAL GROUP INC DE 2.05,2.06 06/14/07 AMEND
XTO ENERGY INC DE 2.01,7.01,9.01 07/31/07
YP CORP NV 1.01,8.01 06/06/07
YRC WORLDWIDE INC DE 5.02 08/01/07
YTB International, Inc. NY 7.01,9.01 08/06/07
ZIFF DAVIS HOLDINGS INC DE 2.01,5.02,8.01,9.01 07/31/07
ZONE 4 PLAY INC NV 1.01,1.02,3.02,5.02,9.01 08/06/07
http://www.sec.gov/news/digest/2007/dig080707.htm
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