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SEC NEWS DIGEST
Issue 2007-154 August 10, 2007
ENFORCEMENT PROCEEDINGS
NOTICE OF PROPOSED DISTRIBUTION PLAN AND OPPORTUNITY FOR COMMENT IN
THE MATTER OF BANC OF AMERICA SECURITIES LLC
On August 9, the Commission gave notice that, pursuant to Rule 1103 of
the Commission's Rules on Fair Fund and Disgorgement Plans, the
Division of Enforcement has submitted to the Commission a proposed
Distribution Plan for the distribution of $26 million in disgorgement
and civil penalties placed into a Fair Fund in the Matter of Banc of
America Securities LLC, Admin. Proc. File No. 3-12591. The proposed
Distribution Plan provides for the distribution of the Fair Fund to
customers of Banc of America Securities LLC that were harmed as a
result of the firm's violations.
Any interested persons may print a copy of the proposed Distribution
Plan from the Commission's public website: http://www.sec.gov.
Interested parties may also obtain a written copy of the proposed
Distribution Plan by submitting a written request to Kara Brockmeyer,
United States Securities and Exchange Commission, 100 F Street, NE,
Washington, DC 20549-8549. All persons desiring to comment on the
Distribution Plan may submit their comments, in writing, by no later
than Sept. 10, 2007, to the Office of the Secretary, U.S. Securities
and Exchange Commission, 100 F Street, NE, Washington, DC 20549-1090,
or by using the Commission's Internet comment form:
http://www.sec.gov/litigation/admin.shtml, or by sending an e-
mail to rule-comments@sec.gov. Please include "Administrative
Proceeding File Number 3-12591" on the subject line of any
electronic filing.
Comments received will be publicly available. Persons should submit
only information that they wish to make publicly available. For more
information, see Rel. 34-55466 and 34-55467. (Rel. 34-56234; File No.
3-12591)
COURT GRANTS SUMMARY JUDGMENT AGAINST CREATOR AND PRINCIPAL OF
FRAUDULENT FOREIGN CURRENCY OPTION SCHEME
On August 1, the Honorable Jane Boyle, U.S. District Judge, Northern
District of Texas, issued an order granting the Commission's Motion
for Summary Judgment against Defendant Gerald Leo Rogers (Rogers), the
architect of a fraudulent Ponzi scheme that collected more than $11
million from over 100 investors, many elderly or investing retirement
savings. The Court permanently enjoined Rogers from future violations
of the securities registration and anti-fraud provisions of the
federal securities laws. The Court also ordered Rogers to pay
disgorgement in the amount of $10,959,000, plus prejudgment interest,
and imposed a civil penalty of $120,000.
In its complaint, filed on March 3, 2005, the Commission alleged that
Rogers, a twice-convicted felon, whose criminal and securities fraud
history spans nearly four decades, started this new scheme shortly
after being paroled from a 35-year prison sentence for mail and
securities fraud. According to the Complaint, Rogers promised
investors that Premium Income Corp. (PIC) would place investor funds
in risk-free currency transactions, denominated "covered call option,"
that would provide guaranteed profits. In her order granting summary
judgment, Judge Boyle concluded that the Commission established that
there was no genuine issue of material fact that: (1) the PIC foreign
currency program was a security; (2) Rogers recruited and trained 140
sales agents to offer and sell the security and encouraged them to
disseminate false and misleading information about the PIC investment;
(3) Rogers and his sales force materially misrepresented the risks
involved in covered call options; (4) Rogers falsely touted his
credentials and experience in legitimate international commerce,
whiling failing to disclose to the sales agent or investors his long
history of criminal convictions and regulatory injunctions; (5)
Rogers, in fact, did not use investor funds to write covered calls,
but rather risked investor funds in speculative foreign currency
trade, resulting in the loss of millions of dollars; and (6) PIC
operated as a Ponzi scheme, using funds supplied by new investors to
pay the monthly returns promised to existing investors.
On Jan. 18, 2007, the Court final judgments against PIC, Inforex Ltd.
and Tri-Forex International, Ltd., based on their failure to appear or
otherwise defendant the case. The Court's summary judgment against
Rogers should clear the way for the Court-appointed Receiver to
petition the Court to distribute Receivership funds to the victims of
the fraud. [SEC v. Premium Income Corp., et al., Civil Action No. 3-
05-CV-0415-M (U.S.D.C./N.D. Texas, Dallas Division)] (LR-20235)
COURT GRANTS PRELIMINARY INJUNCTION AND OTHER EQUITABLE RELIEF IN
SCHEME TARGETING ELDERLY INVESTORS
On July 31, 2007, Judge Sidney A. Fitzwater, U.S. District for the
Northern District of Texas, granted the Commission's request for a
preliminary injunction and other equitable relief in the above-
captioned matter. The pending civil action charges the defendants with
raising as much as $55 million through the fraudulent offer and sales
of so-called Secured Debt Obligations (SDOs). Judge Fitzwater
concluded that the Commission had established a reasonable likelihood
that the defendants violated the securities registration and antifraud
provisions of the federal securities laws in the course of offering
and selling the SDOs. Specifically, the Court stated that the
Commission had established that defendants made material
misrepresentations and omissions concerning the safety of the SDOs and
Bruteyn's history of financial irresponsibility and securities-related
sanctions. The Court also found that the Commission had establish that
defendants misused investor funds by purchasing unauthorized
investment vehicles and diverting a substantial amount of investor
funds for their own personal use and benefit.
The Court continued its asset freeze entered July 2, 2007, against
AmeriFirst Funding, Inc., AmeriFirst Acceptance Corporation, Jeffrey
C. Bruteyn, Dennis W. Bowden and relief defendants American Eagle
Acceptance Corp. and Hess Financial Corp. The Court also ordered the
defendants and relief defendants to repatriate assets located outside
the jurisdiction of the court, ordered the defendants to render an
accounting of their assets and all investor monies and prohibited
defendants from secreting or destroying their records.
In a separate ruling on Aug. 2, 2007, the Court granted the
Commission's request to extend the receivership, asset freeze and
other equitable relief to five new relief defendants named in the
Commission's First Amended Complaint, InterFinancial Holdings, Inc.
(InterFinancial), a Nevada corporation traded on the Pink Sheets under
the symbol IFCH, Hess International Properties, LLC (Hess
International LLC), a Texas limited liability company, Hess
International Investments, SA (Hess International SA), a Honduran
corporation, Gerald Kingston (Kingston), and United Financial Markets,
Inc. (United Financial), a Texas corporation. After a hearing, the
Court extended to InterFinancial, Hess International LLC, Hess
International SA, Kingston and United Financial the receivership,
freeze and other remedies imposed on July 2. [SEC v. AmeriFirst
Funding, Inc., AmeriFirst Acceptance Corporation, Jeffery C. Bruteyn
and Dennis W. Bowden. (U.S.D.C., Northern District of Texas, Dallas
Division, Civil Action No. 3:07-CV-1188-D] (LR-20236)
SEC FILES CHARGES AGAINST PONZI SCHEME OPERATORS IN $20 MILLION MINING
CLAIM SECURITIES FRAUD
On August 9, the Commission filed charges against two Nevada companies
and their officers for perpetrating a $20 million Ponzi scheme
involving mining claim interests. The Commission filed charges against
Earthly Mineral Solutions, Inc. (EMS), Natural Minerals Processing
Company (NMPC), both based in Henderson, Nevada, and their three
principal officers, Roy D. Higgs, age 65 of Henderson, Nevada, Frank
L. Schwartz, age 43 of Henderson, Nevada, and Rick Lawton, age 60 of
Reno, Nevada, (collectively, the defendants).
Also on August 9, the U.S. Attorney for the Eastern District of
Missouri filed criminal charges against EMS, Higgs, and Schwartz for
conduct alleged in the Commission's complaint.
The Commission's complaint alleges that between 2003 and 2006, the
defendants offered and sold investors mining claims interests based on
false and misleading information. As alleged in the complaint, the
defendants claimed that investors' funds would be used to expand EMS'
and NMPC's mineral processing and fertilizer production businesses.
The defendants guaranteed investors a 7% to 9% annual return their on
investment, which was to be paid out of the operating revenue from the
mining and fertilizer businesses. In reality, the defendants were
running a Ponzi scheme; neither EMS nor NMPC operated a functioning
mining or fertilizer business, and the returns promised to investors
were paid using the investments of new investors. The complaint
further alleges that the defendants' scheme raised approximately $20
million from over 100 investors nationwide, many of whom had been
saving for retirement and liquidated their personal Individual
Retirement Accounts (IRAs) to invest in the mining claims.
The Commission charged EMS, Higgs, Schwartz, and Lawton with violating
the registration provisions of Sections 5(a) and 5(c) of the
Securities Act of 1933 (Securities Act). In addition, the Commission
charged EMS, NMPC, Higgs, Schwartz, and Lawton with violating the
antifraud provisions of Section 17(a) of the Securities Act and
Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act)
and Rule 10b-5 thereunder. The Commission also charged Higgs,
Schwartz, and Lawton with violating the broker-dealer registration
provision of Section 15(a) of the Exchange Act. The Commission seeks a
permanent injunction, disgorgement with prejudgment interest, and
civil penalties against all of the defendants.
The Commission acknowledges the valuable assistance the United States
Attorney's Office for the Eastern District of Missouri, the Bureau of
Land Management, and the Federal Bureau of Investigation in bringing
this case. [SEC v. EARTHLY MINERAL SOLUTIONS, INC., NATURAL MINERALS
PROCESSING COMPANY, ROY D. HIGGS, FRANK L. SCHWARTZ, and RICK LAWTON,
Civil Action No. 2:07-CV-01057 (D. Nev.)] (LR-20237)
INVESTMENT COMPANY ACT RELEASES
DELAWARE VIP TRUST, ET AL.
An order has been issued on an application filed by Delaware VIP Trust
(Fund) and Delaware Management Company, a series of Delaware
Management Business Trust and investment manager to the Fund (DMC)
(collectively the Applicants) pursuant to Section 6(c) of the
Investment Company Act granting exemptions 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 shares of the Fund and shares of any other investment company
that is designed to fund insurance products and for which DMC or any
of its affiliates, may serve in the future as investment adviser,
manager, principal underwriter, sponsor or administrator (Future
Funds) (the Fund, together with Future Funds, Funds) to be sold to and
held by: (a) separate accounts funding variable annuity contracts and
variable life insurance policies issued by both affiliated life
insurance companies and unaffiliated life insurance companies; (b)
trustees of qualified group pension and group retirement plans outside
of the separate account context; (c) separate accounts that are not
registered as investment companies under Section 3(c) of the Act; (d)
DMC or its affiliates who serve or may serve as an investment manager,
investment adviser, principal underwriter, sponsor or administrator of
the Funds for the purpose of providing seed capital to a Fund; and (e)
any other account of a Participating Insurance Company permitted to
hold shares of the Funds (General Account). (Rel. IC-27926 - August 9)
SELF-REGULATORY ORGANIZATIONS
APPROVAL OF PROPOSED RULE CHANGES
The Commission approved a proposed rule change (SR-ISE-2007-34)
submitted by the International Securities Exchange relating to an
amendment to the International Securities Exchange, LLC Constitution
and Amended and Restated LLC Agreement. Publication in the Federal
Register is expected during the week of August 13. (Rel. 34-56211)
The Commission approved a proposed rule change (SR-ISE-2007-32), as
modified by Amendment No. 1 thereto, submitted by the International
Securities Exchange to remove certain rules from its rulebook.
Publication in the Federal Register is expected during the week of
August 13. (Rel. 34-56225)
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A proposed rule change (SR-Amex-2007-78) filed by the American Stock
Exchange to amend Rule 520 in order to clarify reporting requirements
has become effective pursuant to Section 19(b)(3)(A) of the Securities
Exchange Act of 1934. Publication in the Federal Register is expected
during the week of August 13. (Rel. 34-56219)
A proposed rule change and Amendment No. 1 thereto filed by the
Philadelphia Stock Exchange to adopt a monthly fee for stock execution
clerks that handle stand-alone equity orders (SR-Phlx-2007-48) has
become effective under Section 19(b)(3)(A) of the Securities Exchange
Act of 1934. Publication in the Federal Register is expected during
the week of August 13. (Rel. 34-56221)
A proposed rule change (SR-BSE-2007-35) filed by the Boston Stock
Exchange relating to the market opening procedures of the rules of the
Boston Options Exchange has become effective under Section 19(b)(3)(A)
of the Securities Exchange Act of 1934. Publication in the Federal
Register is expected during the week of August 13. (Rel. 34-56226)
A proposed rule change (SR-CBOE-2007-83) and Amendment No. 1 thereto
filed by the Chicago Board Options Exchange amending CBOE Rules
relating to the appointment cost for options on the Nasdaq-100 Index
Tracking Stock has become effective under Section 19(b)(3)(A) of the
Securities Exchange Act of 1934. Publication in the Federal Register
is expected during the week of August 13. (Rel. 34-56227)
PROPOSED RULE CHANGES
The American Stock Exchange filed a proposed rule change (SR-Amex-
2007-60) and Amendment No. 1 thereto relating to the listing and
trading of shares of eight funds of the ProShares Trust based on
international equity indexes. Publication in the Federal Register is
expected during the week of August 13. (Rel. 34-56223)
The NASDAQ Stock Market filed a proposed rule change (SR-NASDAQ-2007-
056) and Amendment No. 2 thereto to modify pricing for Nasdaq members
using the Nasdaq market center. Publication in the Federal Register is
expected during the week of August 13. (Rel. 34-56228)
ACCELERATED APPROVAL OF PROPOSED RULE CHANGE
The Commission published notice of, and granted accelerated approval
to, a proposed rule change (SR-NYSEArca-2007-76), as modified by
Amendment No. 1 thereto, submitted by NYSE Arca, through its wholly
owned subsidiary, NYSE Arca Equities, Inc., to list and trade shares
of the streetTRACKS® Gold Trust. Publication in the Federal Register
is expected during the week of August 13. (Rel. 34-56224)
SECURITIES ACT REGISTRATIONS
The following registration statements have been filed with the SEC
under the Securities Act of 1933. The reported information appears as
follows: Form, Name, Address and Phone Number (if available) of the
issuer of the security; Title and the number and/or face amount of the
securities being offered; Name of the managing underwriter or
depositor (if applicable); File number and date filed; Assigned
Branch; and a designation if the statement is a New Issue.
Registration statements may be obtained in person or by writing to the
Commission's Public Reference Branch at 100 F Street, N.E.,
Washington, D.C. 20549-1090 or at the following e-mail box address:
<publicinfo@sec.gov>. In most cases, this information is also
available on the Commission's website: <www.sec.gov>.
S-8 CYBERDEFENDER CORP, 12121 WILSHIRE BOULEVARD, SUITE 350, LOS ANGELES,
CA, 90025, 310-826-1781 - 2,205,797 ($639,681.00) Equity,
(File 333-145256 - Aug. 9) (BR. 03C)
S-8 EMISPHERE TECHNOLOGIES INC, 765 OLD SAW MILL RIVER ROAD, TARRYTOWN, NY,
10591, 9143472220 - 3,275,334 ($12,904,816.00) Equity,
(File 333-145257 - Aug. 9) (BR. 01A)
S-8 EMISPHERE TECHNOLOGIES INC, 765 OLD SAW MILL RIVER ROAD, TARRYTOWN, NY,
10591, 9143472220 - 525,736 ($2,071,400.00) Equity, (File 333-145258 -
Aug. 9) (BR. 01A)
S-8 NEKTAR THERAPEUTICS, 150 INDUSTRIAL RD, SAN CARLOS, CA, 94070,
6506313100 - 300,000 ($2,463,000.00) Equity, (File 333-145259 - Aug. 9)
(BR. 01B)
S-1 American Lorain CORP, BEIHUAN ROAD, JUNAN COUNTY, SHANDONG,, F4,
276600, (86) 539-7318818 - 10,470,833 ($47,762,746.69) Equity,
(File 333-145260 - Aug. 9) (BR. 05C)
S-8 BIOPHAN TECHNOLOGIES INC, 150 LUCIUS GORDON DR, STE 215,
WEST HENRIETTA, NY, 14586, 5852142441 -
7,500,000 ($1,800,000.00) Equity, (File 333-145261 - Aug. 9) (BR. 10A)
S-8 PDL BIOPHARMA, INC., 34801 CAMPUS DR, FREMONT, CA, 94555, 5105741400 -
3,400,000 ($76,738,000.00) Equity, (File 333-145262 - Aug. 9) (BR. 01B)
SB-2 BIBB CORP, 5645 CORAL RIDGE DRIVE #171, CORAL SPRINGS, FL, 33076,
94-258-1917 - 1,000,000 ($30,000.00) Equity, (File 333-145264 - Aug. 9)
(BR. )
S-8 AXA, 25 AVE MATIGNON, PARIS FRANCE, I0, 2125544489 -
10,000,000 ($396,200,000.00) Equity, (File 333-145265 - Aug. 9)
(BR. 01A)
S-1 PEPLIN INC, 6475 CHRISTIE AVENUE, EMERYVILLE, CA, 94608, 510-653-9700 -
0 ($75,000,000.00) Equity, (File 333-145266 - Aug. 9) (BR. 01)
S-8 DemandTec, Inc., ONE CIRCLE STAR WAY, SUITE 200, SAN CARLOS, CA, 94070,
(650) 226-4600 - 10,619,139 ($116,810,529.00) Equity,
(File 333-145268 - Aug. 9) (BR. 03)
S-8 POPULAR INC, 209 MUNOZ RIVERA AVE, POPULAR CENTER BUILDING, HATO REY,
PR, 00918, 7877659800 - 11,000,000 ($138,325,000.00) Equity,
(File 333-145272 - Aug. 9) (BR. 07B)
F-10 Canetic Resources Trust, 1900, 255 - 5TH AVENUE S.W., CALGARY, A0,
T2P 3G6, (403) 539-6300 - 0 ($750,000,000.00) Equity,
(File 333-145273 - Aug. 9) (BR. 04A)
S-8 INPUT OUTPUT INC, 2101 CITYWEST BLVD, BUILDING III, SUITE 400, HOUSTON,
TX, 77042, 281.933.3339 - 2,400,000 ($31,524,000.00) Equity,
(File 333-145274 - Aug. 9) (BR. 10B)
S-1 Iggys House, Inc., ONE SOUTH WACKER DRIVE, SUITE 1900, CHICAGO, IL,
60606, 312-932-1111 - 0 ($15,000,000.00) Equity, (File 333-145275 -
Aug. 9) (BR. 08)
S-8 SONICWALL INC, 1143 BORREGAS AVENUE, SUNNYVALE, CA, 94089-1306,
4087459600 - 744,043 ($6,279,722.92) Equity, (File 333-145276 - Aug. 9)
(BR. 08C)
S-8 SONICWALL INC, 1143 BORREGAS AVENUE, SUNNYVALE, CA, 94089-1306,
4087459600 - 1,500,000 ($10,423,125.00) Equity, (File 333-145277 -
Aug. 9) (BR. 08C)
S-1 North Shore Acquisition Corp., 175 GREAT NECK ROAD, SUITE 204,
GREAT NECK, NY, 11201, 516-487-0200 -
0 ($84,775,100.00) Debt Convertible into Equity, (File 333-145278 -
Aug. 9) (BR. 09)
S-3 XATA CORP /MN/, 151 E CLIFF RD STE 10, BURNSVILLE, MN, 55337,
6128943680 - 2,036,554 ($6,802,090.36) Equity, (File 333-145279 -
Aug. 9) (BR. 03A)
S-8 AUTOBYTEL INC, 18872 MACARTHUR BLVD, SUITE 200, IRVINE, CA,
92612-1400, 9492254500 - 350,000 ($1,081,500.00) Equity,
(File 333-145280 - Aug. 9) (BR. 03B)
S-8 SCICLONE PHARMACEUTICALS INC, 901 MARINER'S ISLAND BLVD., SUITE 205,
SAN MATEO, CA, 94404, 650-358-3456 - 3,750,000 ($7,650,000.00) Equity,
(File 333-145281 - Aug. 9) (BR. 01C)
S-3 MANNKIND CORP, 28903 NORTH AVE PAINE, VALENCIA, CA, 91355, 6617755300 -
0 ($350,000,000.00) Unallocated (Universal) Shelf, (File 333-145282 -
Aug. 9) (BR. 01B)
S-8 Globalstar, Inc., 461 SOUTH MILPITAS BLVD., MILPITAS, CA, 95035,
408-933-4000 - 0 ($5,967,000.00) Equity, (File 333-145283 - Aug. 9)
(BR. 11B)
S-8 GRAPHON CORP/DE, 5400 SOQUEL AVENUE, SUITE A2, SANTA CRUZ, CA, 95062,
8004727466 - 3,600,000 ($722,018.31) Equity, (File 333-145284 - Aug. 9)
(BR. 03A)
S-8 SYBASE INC, ONE SYBASE DRIVE, DUBLIN, CA, 94568, 9252365000 -
4,042,140 ($95,758,296.60) Equity, (File 333-145285 - Aug. 9) (BR. 03C)
S-3 Bridge Capital Holdings, 55 ALMADEN BLVD., SUITE 200, SAN JOSE, CA,
95113, 408-423-8500 - 0 ($30,000,000.00) Equity, (File 333-145286 -
Aug. 9) (BR. 07C)
S-8 MB FINANCIAL INC /MD, 801 WEST MADISON STREET, CHICAGO, IL, 60607,
3124217600 - 350,000 ($11,130,000.00) Equity, (File 333-145287 -
Aug. 9) (BR. 07A)
S-3 ENDOCARE INC, 8004184677 - 0 ($475,116.00) Equity, (File 333-145288 -
Aug. 9) (BR. 10B)
S-8 FONAR CORP, 110 MARCUS DR, MELVILLE, NY, 11747, 6316942929 -
100,000 ($683,000.00) Equity, (File 333-145289 - Aug. 9) (BR. 10B)
S-8 AETHLON MEDICAL INC, 7825 FAY AVENUE SUITE 200, LAJOLLA, CA, 92037,
2129120930 - 2,000,000 ($1,490,000.00) Equity, (File 333-145290 -
Aug. 9) (BR. 10A)
S-8 DEPOMED INC, 1360 O'BRIEN DRIVE, MENLO PARK, CA, 94025, 6504625900 -
0 ($4,350,500.00) Equity, (File 333-145291 - Aug. 9) (BR. 01A)
S-3 GENERAL MILLS INC, NUMBER ONE GENERAL MILLS BLVD, MINNEAPOLIS, MN,
55426, (763) 764-7600 -
0 ($1,150,000,000.00) Debt Convertible into Equity, (File 333-145292 -
Aug. 9) (BR. 04A)
SB-2 RAPID LINK INC, 17383 SUNSET BOULEVARD, SUITE 350, LOS ANGELES, CA,
90272, 310 566 1700 - 64,572,143 ($6,118,535.73) Equity,
(File 333-145293 - Aug. 9) (BR. 11C)
S-11 DUPONT FABROS TECHNOLOGY, INC., 1212 NEW YORK AVENUE, NW, SUITE 900,
WASHINGTON, DC, 20005, 202-728-0044 - 0 ($700,000,000.00) Equity,
(File 333-145294 - Aug. 9) (BR. )
S-8 THESTREET COM, 14 WALL ST 14TH FL, NEW YORK, NY, 10005, 2122714004 -
1,474,702 ($16,988,567.00) Equity, (File 333-145295 - Aug. 9) (BR. 05C)
F-3D PENN WEST ENERGY TRUST, 425 FIRST STREET, S.W., SUITE 2200,
CALGARY, ALBERTA, A0, T2P 3L8, (403) 777-2500 -
0 ($335,166,345.00) Other, (File 333-145296 - Aug. 9) (BR. 04)
S-1 EQUALLOGIC INC, 9 TOWNSEND WEST, NASHUA, NH, 03063-1217, 603 673 9036 -
0 ($125,000,000.00) Equity, (File 333-145297 - Aug. 9) (BR. )
S-8 NOVAVAX INC, 508 LAPP ROAD, MALVERN, PA, 19355, 4849131200 -
3,000,000 ($8,115,000.00) Equity, (File 333-145298 - Aug. 9) (BR. 01B)
SB-2 Zagg INC, 3855 S 500 W., SUITE J, SALT LAKE CITY, UT, 84115,
801-263-0699 - 3,998,356 ($7,996,712.00) Equity, (File 333-145299 -
Aug. 9) (BR. 02C)
RECENT 8K FILINGS
Form 8-K is used by companies to file current reports on the following
events:
1.01 Entry into a Material Definitive Agreement
1.02 Termination of a Material Definitive Agreement
1.03 Bankruptcy or Receivership
2.01 Completion of Acquisition or Disposition of Assets
2.02 Results of Operations and Financial Condition
2.03 Creation of a Direct Financial Obligation or an Obligation under an
Off-Balance Sheet Arrangement of a Registrant
2.04 Triggering Events That Accelerate or Increase a Direct Financial Obligation
under an Off-Balance Sheet Arrangement
2.05 Cost Associated with Exit or Disposal Activities
2.06 Material Impairments
3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or
Standard; Transfer of Listing
3.02 Unregistered Sales of Equity Securities
3.03 Material Modifications to Rights of Security Holders
4.01 Changes in Registrant's Certifying Accountant
4.02 Non-Reliance on Previously Issued Financial Statements or a Related Audit
Report or Completed Interim Review
5.01 Changes in Control of Registrant
5.02 Departure of Directors or Principal Officers; Election of Directors;
Appointment of Principal Officers
5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
5.04 Temporary Suspension of Trading Under Registrant's Employee Benefit Plans
5.05 Amendments to the Registrant's Code of Ethics, or Waiver of a
Provision of the Code of Ethics
6.01. ABS Informational and Computational Material.
6.02. Change of Servicer or Trustee.
6.03. Change in Credit Enhancement or Other External Support.
6.04. Failure to Make a Required Distribution.
6.05. Securities Act Updating Disclosure.
7.01 Regulation FD Disclosure
8.01 Other Events
9.01 Financial Statements and Exhibits
8-K reports may be obtained in person or by writing to the
Commission's Public Reference Branch at 100 F Street, N.E.,
Washington, D.C. 20549-1090 or at the following e-mail box address:
<publicinfo@sec.gov>. In most cases, this information is also
available on the Commission's website: <www.sec.gov>.
STATE
NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT
-------------------------------------------------------------------------------------------------------
4 KIDS ENTERTAINMENT INC NY 2.02,9.01 06/30/07
ABERCROMBIE & FITCH CO /DE/ DE 2.02,7.01,9.01 08/09/07
ABIGAIL ADAMS NATIONAL BANCORP INC DE 2.02,9.01 08/09/07
ABIOMED INC DE 2.02,9.01 08/09/07
ABRAXAS PETROLEUM CORP NV 2.02,9.01 08/09/07 AMEND
Abraxis BioScience, Inc. DE 2.02,9.01 08/09/07
ACCESS INTEGRATED TECHNOLOGIES INC DE 2.02,9.01 08/09/07
ACI WORLDWIDE, INC. DE 2.02,7.01,9.01 08/09/07
ACIES CORP NV 5.02 08/03/07
ACURA PHARMACEUTICALS, INC NY 2.02,9.01 08/09/07
Ad.Venture Partners, Inc. DE 1.01,9.01 08/06/07
ADS MEDIA GROUP INC UT 2.02,9.01 08/08/07
ADVANCE AUTO PARTS INC DE 2.02,9.01 08/08/07
ADVANCED BATTERY TECHNOLOGIES, INC. DE 5.03,5.05,9.01 08/02/07
Advanced Life Sciences Holdings, Inc. 2.02,9.01 08/08/07
ADVANCED MICRO DEVICES INC DE 8.01,9.01 08/08/07
ADVANT E CORP DE 2.02,7.01,9.01 08/09/07
AEROCENTURY CORP DE 2.02 08/09/07
AES CORP DE 2.02,9.01 08/08/07
Affinia Group Intermediate Holdings I DE 2.02,9.01 08/08/07
AIR METHODS CORP DE 2.02 08/09/07
AIRTRAN HOLDINGS INC NV 2.02,4.02 08/08/07
ALANCO TECHNOLOGIES INC AZ 1.01,3.02,9.01 08/08/07
Allis Chalmers Energy Inc. DE 5.02 08/03/07
ALNYLAM PHARMACEUTICALS, INC. 2.02,9.01 08/09/07
ALPHA PRO TECH LTD DE 7.01,9.01 08/07/07
ALTAIR NANOTECHNOLOGIES INC A6 2.02,9.01 08/09/07
Alternative Asset Management Acquisit DE 8.01,9.01 08/09/07
AMERICAN COMMUNITY PROPERTIES TRUST MD 9.01 08/06/07
AMERICAN EAGLE OUTFITTERS INC DE 7.01,9.01 08/08/07
AMERICAN HOME MORTGAGE INVESTMENT COR MD 1.02,1.03,2.04,3.01,5.02,9.01 08/03/07
AMERICAN INDEPENDENCE CORP DE 2.02,9.01 06/30/07
AMERICAN LAND LEASE INC DE 2.02,7.01,9.01 08/09/07
AMERICAN OIL & GAS INC NV 2.02,7.01,9.01 08/08/07
AMERICAN REAL ESTATE PARTNERS L P DE 8.01,9.01 08/08/07
AMERICAN SPECTRUM REALTY INC MD 2.02,9.01 08/09/07
AMERICAN STATES WATER CO CA 2.02,9.01 08/09/07
AMERICAN SUPERCONDUCTOR CORP /DE/ DE 2.02,9.01 08/09/07
AMERICAN TECHNOLOGY CORP /DE/ DE 2.02,9.01 08/08/07
Amtrust Financial Services, Inc. DE 2.02,9.01 08/08/07
ANNTAYLOR STORES CORP DE 7.01,9.01 08/09/07
APPLERA CORP DE 8.01,9.01 08/08/07
APPLIED DIGITAL SOLUTIONS INC MO 2.02,9.01 08/09/07
APPLIED DIGITAL SOLUTIONS INC MO 1.01,8.01,9.01 08/08/07
APPLIED INDUSTRIAL TECHNOLOGIES INC OH 2.02,9.01 08/09/07
AQUANTIVE INC WA 8.01 08/09/07
ARADIGM CORP CA 2.02,9.01 08/09/07
ARCHSTONE SMITH TRUST MD 2.02,9.01 08/09/07
ARES CAPITAL CORP MD 2.02,7.01,9.01 08/09/07
Argo Group International Holdings, Lt 7.01 08/09/07
ARGON ST, Inc. DE 2.02,9.01 08/09/07
ARISTOTLE CORP DE 2.02,9.01 08/09/07
ARTES MEDICAL INC 2.02,9.01 08/09/07
ASSURED GUARANTY LTD 5.02,9.01 08/08/07
ASSURED GUARANTY LTD 2.02,9.01 08/09/07
ATP OIL & GAS CORP TX 2.02,9.01 08/08/07
AtriCure, Inc. DE 1.01,2.02,9.01 08/07/07
ATWOOD OCEANICS INC TX 7.01 08/09/07
AUDIOVOX CORP DE 8.01 08/02/07
AUTOMATIC DATA PROCESSING INC DE 5.02,5.03,9.01 08/09/07
AVANT IMMUNOTHERAPEUTICS INC DE 8.01 08/08/07
AVATAR HOLDINGS INC DE 2.02,7.01,9.01 08/09/07
AVIATION UPGRADE TECHNOLOGIES INC 4.02 08/05/07
BAKERS FOOTWEAR GROUP INC MO 2.02,7.01,9.01 08/09/07
BALDOR ELECTRIC CO MO 8.01,9.01 08/09/07
BALDWIN & LYONS INC IN 5.02,9.01 08/07/07
BANCORPSOUTH INC MS 8.01,9.01 08/08/07
BANK JOS A CLOTHIERS INC /DE/ DE 2.02,9.01 08/09/07
Bank of Commerce Holdings CA 8.01 08/08/07
BEAR STEARNS COMPANIES INC DE 5.02,9.01 08/05/07
Behringer Harvard Opportunity REIT I, MD 2.01,2.03,9.01 08/03/07
BIOANALYTICAL SYSTEMS INC IN 2.02,9.01 08/09/07
BIOCRYST PHARMACEUTICALS INC DE 2.02,9.01 08/09/07
BIOJECT MEDICAL TECHNOLOGIES INC OR 2.02,9.01 08/08/07
BIOPHAN TECHNOLOGIES INC NV 1.01,7.01,9.01 08/06/07
BJS WHOLESALE CLUB INC DE 2.02,7.01,9.01 08/09/07
BLACK HILLS CORP /SD/ SD 2.02,9.01 08/09/07
BlackRock Kelso Capital CORP DE 2.02,7.01,9.01 08/09/07
BLONDER TONGUE LABORATORIES INC DE 2.02,9.01 08/09/07
BORLAND SOFTWARE CORP DE 2.02,9.01 08/09/07
BORLAND SOFTWARE CORP DE 2.05 04/16/07 AMEND
BOWNE & CO INC DE 2.02,9.01 08/08/07
BRIGGS & STRATTON CORP WI 2.02,9.01 08/09/07
BROOKS AUTOMATION INC DE 2.02,9.01 08/09/07
BRT REALTY TRUST MA 2.02,9.01 08/08/07
BSQUARE CORP /WA WA 2.02,9.01 08/09/07
CABLEVISION SYSTEMS CORP /NY DE 2.02,9.01 08/08/07
CALIFORNIA PIZZA KITCHEN INC DE 2.02,2.06,8.01,9.01 08/09/07
CALIPER LIFE SCIENCES INC DE 2.02,9.01 08/09/07
CANO PETROLEUM, INC 2.03 08/03/07
CARDINAL HEALTH INC OH 2.02,7.01,9.01 08/09/07
CARRIAGE SERVICES INC DE 2.02,9.01 08/08/07
CAS MEDICAL SYSTEMS INC DE 2.02,9.01 08/09/07
CASH AMERICA INTERNATIONAL INC TX 7.01,9.01 08/08/07
CASH SYSTEMS INC DE 1.01,9.01 08/09/07
CATALYTICA ENERGY SYSTEMS INC DE 1.01,9.01 08/09/07
CECO ENVIRONMENTAL CORP DE 2.02,9.01 08/08/07
CENTENNIAL COMMUNICATIONS CORP /DE DE 2.02,9.01 08/09/07
CENTERLINE HOLDING CO DE 2.02,9.01 06/30/07
CENTERLINE HOLDING CO DE 7.01,9.01 08/09/07
CENTRAL BANCORP INC /MA/ MA 2.02,9.01 08/08/07
CENTURY CASINOS INC /CO/ DE 2.02,9.01 08/08/07
CENVEO, INC CO 2.02 08/08/07
Cereplast Inc 5.02 08/06/07
Chaparral Steel CO DE 8.01 08/08/07
CHEMBIO DIAGNOSTICS, INC. NV 2.02,7.01,9.01 08/09/07
CHENIERE ENERGY INC DE 2.02,9.01 08/08/07
Cheniere Energy Partners, L.P. DE 2.02,9.01 08/08/07
CHILDRENS INTERNET INC NV 2.02,9.01 08/09/07
China VoIP & Digital Telecom Inc. NV 4.01 12/01/06 AMEND
China Yingxia International, Inc. FL 1.01,2.03,3.02 08/09/07
CHINACAST EDUCATION CORP DE 8.01 08/09/07
CHOICEPOINT INC GA 8.01,9.01 08/08/07
CHRISTOPHER & BANKS CORP DE 7.01,9.01 08/09/07
CITADEL BROADCASTING CORP DE 2.02,9.01 08/09/07
CITADEL BROADCASTING CORP DE 9.01 06/12/07 AMEND
CLAYTON WILLIAMS ENERGY INC /DE DE 2.02,7.01,9.01 08/08/07
CLEARANT INC 1.01,3.02,8.01,9.01 08/08/07 AMEND
COCA COLA ENTERPRISES INC DE 5.02 08/03/07
COCA COLA ENTERPRISES INC DE 2.03 08/03/07
COMSYS IT PARTNERS INC DE 2.02,9.01 08/09/07
Consolidated Communications Holdings, DE 2.02,9.01 08/09/07
CONSOLIDATED GRAPHICS INC /TX/ TX 7.01,9.01 08/08/07
COOPERATIVE BANKSHARES INC NC 8.01,9.01 08/09/07
CORE MOLDING TECHNOLOGIES INC DE 2.02,9.01 08/09/07
CORTEX PHARMACEUTICALS INC/DE/ DE 2.02,9.01 08/09/07
COUSINS PROPERTIES INC GA 2.02,9.01 08/09/07
Covidien Ltd. D0 2.02,9.01 08/09/07
CREDO PETROLEUM CORP CO 8.01,9.01 08/08/07
CRITICARE SYSTEMS INC /DE/ DE 5.02,9.01 07/26/07
CROSSTEX ENERGY INC DE 2.02,9.01 08/09/07
CROSSTEX ENERGY LP DE 2.02,9.01 08/09/07
CRYOCOR INC DE 2.02,9.01 08/09/07
CURIS INC DE 1.01,3.02,8.01,9.01 08/06/07
CV THERAPEUTICS INC DE 8.01,9.01 08/07/07
CYPRESS BIOSCIENCE INC DE 2.02,9.01 08/09/07
DATASCOPE CORP DE 2.02,9.01 08/08/07
DCP Midstream Partners, LP DE 2.02,5.02 08/07/07
DELPHAX TECHNOLOGIES INC MN 2.02,9.01 08/09/07
DEVON ENERGY CORP/DE DE 1.01,9.01 08/07/07
DG FastChannel, Inc DE 2.02,9.01 08/09/07
DIAMOND HILL INVESTMENT GROUP INC OH 1.02,2.02,8.01,9.01 08/09/07
DIGITAL ANGEL CORP DE 2.02,9.01 08/09/07
DIGITAL ANGEL CORP DE 1.01,8.01,9.01 08/08/07
Digital Music Group, Inc. DE 2.02,9.01 08/09/07
DIGITAL RIVER INC /DE DE 7.01,9.01 08/03/07
DILLARDS INC DE 7.01,9.01 08/09/07
DIONEX CORP /DE CA 2.02 08/09/07
Directed Electronics, Inc. FL 2.02,9.01 08/09/07
DIRECTV GROUP INC DE 2.02 08/09/07
DIRECTV HOLDINGS LLC DE 2.02 08/09/07
Disaboom, Inc. CO 1.01 08/03/07
DISTRIBUTED ENERGY SYSTEMS CORP DE 2.02,9.01 08/08/07
DIVX INC 2.02,9.01 08/09/07
DOBSON COMMUNICATIONS CORP OK 2.02,9.01 08/08/07
DOBSON COMMUNICATIONS CORP OK 9.01 06/29/07 AMEND
DOCUMENT SECURITY SYSTEMS INC NY 2.02,9.01 08/09/07
DOLLAR TREE STORES INC VA 2.02,7.01,9.01 08/09/07
DOT HILL SYSTEMS CORP NY 2.02,9.01 08/09/07
DOUBLE EAGLE PETROLEUM CO MD 7.01,9.01 08/09/07
Douglas Emmett Inc MD 2.02,9.01 08/08/07
DOVER SADDLERY INC 2.02,9.01 08/09/07
DreamWorks Animation SKG, Inc. 8.01,9.01 08/06/07
DRI CORP NC 2.02,7.01,9.01 08/09/07
DRS TECHNOLOGIES INC DE 2.02,9.01 08/09/07
DTS, INC. DE 2.02,9.01 08/09/07
DUNE ENERGY INC DE 8.01,9.01 08/09/07
DYNEGY INC. DE 2.02,9.01 08/09/07
EASTMAN KODAK CO NJ 2.02 08/09/07
ECASH, INC DE 1.01,9.01 03/27/06 AMEND
Ecology Coatings, Inc. NV 4.01,9.01 07/26/07 AMEND
ECOSPHERE TECHNOLOGIES INC FL 1.02 08/03/07
EDGAR ONLINE INC DE 2.02,9.01 08/09/07
EDGE PETROLEUM CORP DE 2.02 08/09/07
EDISON INTERNATIONAL CA 2.02,9.01 08/09/07
ELECTRONIC CLEARING HOUSE INC NV 2.02,9.01 08/09/07
ELIZABETH ARDEN INC FL 2.02,9.01 08/08/07
EMERITUS CORP\WA\ WA 2.02 08/09/07
EMULEX CORP /DE/ DE 2.02,9.01 08/09/07
EN POINTE TECHNOLOGIES INC DE 2.02,9.01 08/09/07
Endeavor Energy CORP NV 2.02,3.02,5.02,5.06,9.01 08/03/07
ENDEAVOUR INTERNATIONAL CORP NV 7.01,9.01 08/08/07
ENOVA SYSTEMS INC CA 5.02 08/03/07
ENVIRONMENTAL ENERGY SERVICES INC MD 2.01 08/03/07
EON COMMUNICATIONS CORP DE 3.01,9.01 08/09/07
EPL Intermediate, Inc. DE 2.02,9.01 08/09/07
EQUITY INNS INC TN 2.02,7.01,9.01 08/09/07
ESCHELON TELECOM INC 8.01,9.01 08/08/07
ESPEED INC DE 2.02,9.01 08/08/07
eTelecare Global Solutions, Inc. 2.02,9.01 08/09/07
EUROBANCSHARES INC PR 1.01,2.05 08/06/07
EVANS BANCORP INC NY 2.02,9.01 08/08/07
EVERLAST WORLDWIDE INC DE 2.02,9.01 08/08/07
EVOLVING SYSTEMS INC DE 5.03 08/07/07 AMEND
FACTORY CARD & PARTY OUTLET CORP DE 2.02,9.01 08/09/07
FAIR ISAAC CORP DE 7.01,9.01 08/09/07
FAMILY DOLLAR STORES INC DE 7.01,9.01 08/09/07
FARO TECHNOLOGIES INC FL 1.01,7.01,9.01 08/08/07
FAVRILLE INC DE 2.02,9.01 08/09/07
FEDERAL AGRICULTURAL MORTGAGE CORP 2.02,9.01 08/09/07
Federal Home Loan Bank of Atlanta X1 2.03 08/06/07
Federal Home Loan Bank of Boston X1 2.03 08/06/07
Federal Home Loan Bank of Chicago X1 2.03 08/06/07
Federal Home Loan Bank of Des Moines X1 2.03,9.01 08/06/07
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 08/06/07
Federal Home Loan Bank of New York X1 2.03,9.01 08/06/07
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 08/06/07
Federal Home Loan Bank of San Francis X1 2.03 08/06/07
Federal Home Loan Bank of Seattle 2.03 08/09/07
Federal Home Loan Bank of Topeka 2.03 08/07/07
FEDERAL NATIONAL MORTGAGE ASSOCIATION 3.02,7.01,8.01,9.01 08/09/07
FIDELITY D & D BANCORP INC PA 5.02,9.01 08/06/07
FINLAY ENTERPRISES INC /DE DE 2.02,9.01 08/09/07
FINLAY FINE JEWELRY CORP DE 2.02,9.01 08/09/07
First Business Financial Services, In 1.01,9.01 08/06/07
FIRST FINANCIAL BANCORP /OH/ OH 7.01 08/07/07
FIRST MARBLEHEAD CORP 2.02,7.01,9.01 08/09/07
FIVE STAR QUALITY CARE INC 2.02,9.01 08/09/07
FLAGSTAR BANCORP INC MI 4.02 08/06/07
Flagstone Reinsurance Holdings Ltd 2.02,9.01 08/09/07
FLOWSERVE CORP NY 2.02,9.01 08/08/07
FORE HOLDINGS LLC 8.01 08/09/07
FREEDOM FINANCIAL GROUP INC DE 5.02 08/08/07
FUEL TECH, INC. DE 5.03 08/02/07
FURMANITE CORP DE 2.02,7.01,9.01 08/09/07
GAMCO INVESTORS, INC. ET AL NY 9.01 08/07/07
GAP INC DE 2.02,9.01 08/09/07
GATX CORP NY 8.01,9.01 08/09/07
GENAERA CORP DE 8.01,9.01 08/08/07
GENCO SHIPPING & TRADING LTD 2.03 08/09/07
GENERAL MOTORS CORP DE 7.01,9.01 08/08/07
GENITOPE CORP DE 2.02,9.01 08/07/07
GEOPETRO RESOURCES CO 7.01,9.01 08/08/07
GEORGIA GULF CORP /DE/ DE 2.02,9.01 08/08/07
GLATFELTER P H CO PA 2.02,9.01 08/07/07
GLOBAL AXCESS CORP NV 2.02 08/07/07
Global Cash Access Holdings, Inc. DE 1.01,2.02,9.01 08/09/07
GLOBAL CROSSING LTD 2.02,9.01 08/09/07
Global Telecom & Technology, Inc. DE 2.02,9.01 08/08/07
GMAC LLC DE 7.01,9.01 08/09/07
GMAC LLC DE 5.02,9.01 08/09/07
GOLDEN TELECOM INC DE 2.02,4.02,9.01 08/08/07
GOLDEN TELECOM INC DE 8.01,9.01 08/09/07
GOLDEN TELECOM INC DE 4.02 08/08/07 AMEND
GOODRICH PETROLEUM CORP DE 2.02,9.01 08/08/07
GOTTSCHALKS INC DE 2.02,5.02,9.01 08/09/07
Grand Motion, Inc. NV 5.02 08/03/07
GREAT CHINA INTERNATIONAL HOLDINGS, I NV 2.01 08/07/07
GREAT PLAINS ENERGY INC MO 8.01,9.01 08/08/07
Green Gold Inc. NV 5.03 08/08/07
GREENFIELD ONLINE INC DE 8.01,9.01 08/08/07
GREER BANCSHARES INC SC 7.01,9.01 08/03/07
GTC BIOTHERAPEUTICS INC MA 2.02,9.01 08/09/07
GUESS INC DE 5.02 08/06/07
GYMBOREE CORP DE 2.02,9.01 08/09/07
H&E Equipment Services, Inc. DE 2.02,8.01,9.01 08/09/07
H&R BLOCK INC MO 1.01,2.05 08/06/07
H2Diesel Holdings, Inc FL 7.01,9.01 08/09/07
HALIFAX CORP VA 5.03,9.01 08/09/07
HARLAND CLARKE HOLDINGS CORP DE 2.02,9.01 08/09/07
HARLEYSVILLE NATIONAL CORP PA 8.01,9.01 08/09/07
HAUPPAUGE DIGITAL INC DE 2.02,9.01 08/08/07
HAWK CORP DE 2.02,9.01 06/30/07
HAWKINS INC MN 2.02,9.01 08/07/07
HAWTHORN BANCSHARES, INC. MO 2.02,5.03,8.01,9.01 08/07/07
HEALTH GRADES INC DE 7.01,9.01 08/09/07
HEALTHCARE ACQUISITION CORP DE 8.01,9.01 08/08/07
HEALTHCARE ACQUISITION CORP DE 2.03,5.01 08/03/07
HEALTHCARE ACQUISITION CORP DE 1.01,2.01,3.02,3.03,5.02,5.03, 08/03/07
5.06,8.01,9.01
HERSHA HOSPITALITY TRUST MD 2.02,9.01 08/09/07
HERSHEY CO DE 5.02 08/06/07 AMEND
HIGHBURY FINANCIAL INC DE 2.02,7.01,9.01 08/09/07
Hiland Holdings GP, LP DE 2.02,7.01,9.01 08/08/07
Hiland Partners, LP 2.02,7.01 08/08/07
Hill International, Inc. DE 2.02,9.01 08/09/07
HOKU SCIENTIFIC INC DE 1.01 08/07/07
HOKU SCIENTIFIC INC DE 1.01 08/08/07
HOLLY CORP DE 2.02,9.01 08/09/07
HOLLYWOOD MEDIA CORP FL 2.02,9.01 08/09/07
HOME FEDERAL BANCORP, INC. OF LOUISIA 2.02,9.01 08/09/07
HOME PROPERTIES INC MD 7.01,9.01 08/07/07 AMEND
Home System Group 5.02,8.01,9.01 08/08/07
HOMEBANC CORP 2.04,2.05,5.04,8.01,9.01 08/03/07
Horne International, Inc. DE 8.01 08/07/07
HSI Asset Loan Obligation Trust 2007- 1.03 08/06/07
HSI Asset Loan Obligation Trust 2007- 1.03 08/06/07
HYTHIAM INC DE 2.02,9.01 08/09/07
ICF International, Inc. DE 2.02,9.01 08/09/07
ICO INC TX 2.02,7.01,9.01 08/07/07
IDEARC INC. DE 2.02,7.01,9.01 08/09/07
IDM PHARMA, INC. DE 2.02,9.01 08/09/07
IMMUCOR INC GA 5.02 08/03/07
IMMUNOGEN INC MA 2.02,9.01 08/09/07
INDEPENDENCE HOLDING CO DE 2.02,9.01 06/30/07
INDUSTRIAL SERVICES OF AMERICA INC /F FL 2.02,5.02,9.01 08/08/07
INFOCROSSING INC DE 1.01,9.01 08/06/07
INFOCROSSING INC DE 2.02,9.01 08/09/07
InfoLogix Inc 2.02,9.01 08/09/07
INHIBITEX, INC. 2.02,8.01,9.01 08/09/07
Inland American Real Estate Trust, In MD 8.01,9.01 08/09/07
INNODATA ISOGEN INC DE 2.02,9.01 08/09/07
INPHONIC INC 2.02,9.01 08/09/07
INTEGRATED SILICON SOLUTION INC DE 5.02 08/08/07
IntelGenx Technologies Corp. DE 5.02 08/09/07
INTELSAT LTD 2.02,9.01 08/09/07
INTER TEL (DELAWARE), INC DE 8.01,9.01 08/08/07
International Fight League, Inc. DE 1.01,3.02,9.01 08/06/07
INTERPUBLIC GROUP OF COMPANIES, INC. DE 2.02,9.01 08/07/07
INTERSTATE HOTELS & RESORTS INC DE 2.01,9.01 05/24/07 AMEND
Island Residences Club, Inc. 1.01,5.02 08/09/07
J P MORGAN CHASE & CO DE 9.01 08/07/07
JAVELIN PHARMACEUTICALS, INC DE 2.02,9.01 08/09/07
JAZZ PHARMACEUTICALS INC DE 2.02,9.01 08/09/07
JMAR TECHNOLOGIES INC DE 7.01,9.01 08/09/07
JO-ANN STORES INC OH 2.02,9.01 08/09/07
JOHN D. OIL & GAS CO 1.01,9.01 08/03/07
JUPITERMEDIA CORP DE 2.02,7.01,9.01 08/08/07
KAMAN CORP CT 8.01,9.01 08/09/07
KBR, INC. DE 8.01 08/04/07
KBW, INC. 2.02,9.01 08/09/07
KENEXA CORP 2.02,9.01 08/08/07
KEY TECHNOLOGY INC OR 2.02,5.02,9.01 08/09/07
KINTERA INC 2.02,9.01 08/09/07
KLA TENCOR CORP DE 8.01,9.01 08/09/07
KOHLS CORPORATION WI 2.02,7.01,9.01 08/09/07
Koppers Holdings Inc. PA 2.02,9.01 08/09/07
LAKES ENTERTAINMENT INC MN 7.01,9.01 08/07/07
LAKES ENTERTAINMENT INC MN 8.01,9.01 08/06/07
LANDRYS RESTAURANTS INC 1.01,8.01,9.01 08/08/07
LEVEL 3 COMMUNICATIONS INC DE 8.01,9.01 08/08/07
LIBERTY BANCORP INC 8.01,9.01 08/06/07
Liberty Global, Inc. 2.02,7.01 08/08/07
Liberty Global, Inc. 2.02,7.01 08/09/07
Liberty Global, Inc. 8.01 08/09/07
LIME ENERGY CO. DE 2.01,9.01 08/06/07
Limelight Networks, Inc. DE 2.02,9.01 08/08/07
LIN TV CORP DE 2.02,9.01 08/09/07
LINCOLN NATIONAL CORP IN 5.02 08/09/07 AMEND
LIONS GATE ENTERTAINMENT CORP /CN/ 1.01,2.02,9.01 08/08/07
Live Nation, Inc. DE 2.02,9.01 08/09/07
LML PAYMENT SYSTEMS INC A1 7.01,9.01 08/08/07
LNB BANCORP INC OH 5.02 08/07/07
LORAL SPACE & COMMUNICATIONS INC. DE 2.02,9.01 08/08/07
LORAL SPACE & COMMUNICATIONS INC. DE 1.01,8.01,9.01 08/07/07
LSB INDUSTRIES INC DE 9.01 08/08/07
LUMINEX CORP DE 2.02,9.01 08/09/07
M & F WORLDWIDE CORP DE 2.02,9.01 08/09/07
Macy's, Inc. DE 2.02,9.01 08/09/07
MAF BANCORP INC DE 7.01 08/08/07
MAGIC COMMUNICATIONS INC DE 3.02,5.02,5.03,9.01 08/03/07
MANAGEMENT NETWORK GROUP INC 2.01,9.01 08/03/07
MANAS PETROLEUM CORP 5.04 08/09/07
MANNATECH INC TX 2.02,9.01 08/08/07
MARCHEX INC DE 1.01,2.02,3.02,7.01,9.01 08/09/07
MARKWEST ENERGY PARTNERS L P 2.02,9.01 08/08/07
MARKWEST HYDROCARBON INC DE 2.02,9.01 08/08/07
MARTIN MIDSTREAM PARTNERS LP DE 7.01,9.01 08/08/07
MAXIMUS INC VA 2.02,9.01 08/07/07
MAXXAM INC DE 8.01 08/09/07
MECHANICAL TECHNOLOGY INC NY 2.02,9.01 06/30/07
MED GEN INC NV 1.01,8.01 08/08/07
MEDICAL PROPERTIES TRUST INC 2.02,9.01 08/09/07
MEDICAL STAFFING NETWORK HOLDINGS INC DE 5.02 08/07/07
MEDICINOVA INC DE 2.02,9.01 08/09/07
MEDIRECT LATINO INC FL 5.02,8.01 08/07/06
MEDQUIST INC NJ 8.01,9.01 08/09/07
MELT INC NV 1.01,3.02,9.01 07/30/07
MEMORY PHARMACEUTICALS CORP 2.02,8.01,9.01 08/09/07
MERIDIAN RESOURCE CORP TX 8.01 08/07/07
MERRILL LYNCH & CO INC DE 8.01,9.01 08/09/07
METRETEK TECHNOLOGIES INC DE 7.01,9.01 08/09/07
MGT CAPITAL INVESTMENTS INC DE 8.01,9.01 08/09/07
MICROFIELD GROUP INC OR 2.02,9.01 08/02/07
MICROTEK MEDICAL HOLDINGS, INC GA 2.02,9.01 08/09/07
MIKROS SYSTEMS CORP DE 5.02,9.01 08/03/07
MIRANT CORP DE 2.02,9.01 08/09/07
MONMOUTH REAL ESTATE INVESTMENT CORP MD 7.01,9.01 08/09/07
MONRO MUFFLER BRAKE INC NY 8.01,9.01 08/09/07
Morgan Stanley Mortgage Loan Trust 20 DE 1.03 08/06/07
Morgan Stanley Mortgage Loan Trust 20 DE 1.03 08/06/07
Morgan Stanley Mortgage Loan Trust 20 DE 1.03 08/06/07
MRS FIELDS FAMOUS BRANDS LLC DE 1.01,2.01,9.01 08/07/07
MTR GAMING GROUP INC DE 2.02,9.01 08/09/07
MTS MEDICATION TECHNOLOGIES, INC /DE/ DE 2.02,7.01,9.01 08/09/07
Mueller Water Products, Inc. DE 8.01,9.01 08/09/07
MUTUALFIRST FINANCIAL INC MD 8.01,9.01 08/08/07
Myriad Entertainment & Resorts, Inc. 1.01,9.01 08/06/07
NACCO INDUSTRIES INC DE 5.02,9.01 08/07/07
Nalco Holding CO 5.02,9.01 08/08/07
NASDAQ STOCK MARKET INC DE 8.01,9.01 08/09/07
National CineMedia, Inc. DE 2.02,9.01 08/09/07
NationsHealth, Inc. DE 2.02,9.01 08/09/07
Neiman Marcus, Inc. DE 2.02,7.01 08/09/07
NEOPHARM INC DE 2.02,9.01 08/08/07
NEOSE TECHNOLOGIES INC DE 2.02,9.01 08/09/07
NeoStem, Inc. DE 5.03,8.01,9.01 08/08/07
NEOWARE INC DE 5.02,8.01 08/05/07
NEW FIBER CLOTH TECHNOLOGY INC NV 5.02 07/30/07
NEW WORLD BRANDS INC DE 2.01,9.01 08/07/07
New York & Company, Inc. 2.02,9.01 08/09/07
NEW YORK COMMUNITY BANCORP INC DE 7.01,9.01 08/09/07
NEWMARKET CORP VA 1.01,2.03,9.01 08/07/07
NEWPARK RESOURCES INC DE 7.01,9.01 08/09/07
NEXIA HOLDINGS INC NV 3.02,8.01,9.01 08/02/07
NEXTEST SYSTEMS CORP 2.02,9.01 08/09/07
NF Energy Saving CORP of America DE 3.02 04/11/07
NORDSTROM INC WA 7.01 08/09/07
NORTH PITTSBURGH SYSTEMS INC PA 2.02,9.01 08/09/07
NORTHERN CALIFORNIA BANCORP INC 2.02,9.01 08/07/07
NORTHSTAR REALTY 1.01 08/08/07
NORTHSTAR REALTY 2.02,9.01 08/09/07
Nuance Communications, Inc. DE 1.01,2.03,3.02,8.01,9.01 08/07/07
NUCRYST Pharmaceuticals Corp. A0 2.02,9.01 08/09/07
NVIDIA CORP DE 2.02 08/09/07
NVIDIA CORP DE 8.01 08/05/07
O CHARLEYS INC TN 2.02,7.01,9.01 08/09/07
O REILLY AUTOMOTIVE INC MO 5.05 08/02/07
Obagi Medical Products, Inc. DE 5.02,9.01 08/03/07
Oculus Innovative Sciences, Inc. CA 2.02,9.01 08/09/07
Omniture, Inc. DE 3.02 08/08/07
ONE LIBERTY PROPERTIES INC MD 2.02,8.01,9.01 08/08/07
Optelecom-NKF, Inc. DE 5.02 08/09/07
ORBIT INTERNATIONAL CORP DE 2.02 08/09/07
Orexigen Therapeutics, Inc. DE 2.02,9.01 08/09/07
ORION HEALTHCORP INC DE 2.02,9.01 08/09/07
ORMAT TECHNOLOGIES, INC. DE 2.02,9.01 08/08/07
ORTEC INTERNATIONAL INC DE 8.01 08/09/07
OSIRIS THERAPEUTICS, INC. DE 2.02,9.01 08/09/07
Osteologix, Inc. DE 5.02,8.01 08/03/07
OUTDOOR CHANNEL HOLDINGS INC 2.02,9.01 08/09/07
OVERLAND STORAGE INC CA 2.02,5.02,7.01,9.01 08/07/07
P&F INDUSTRIES INC DE 2.02,9.01 08/09/07
Pacific Coast National Bancorp CA 2.02,9.01 08/06/07
Pacific Ethanol, Inc. DE 2.02,9.01 08/08/07
PACIFICAP ENTERTAINMENT HOLDINGS INC NV 1.01,2.01,9.01 08/07/07
PAETEC Holding Corp. 2.02,9.01 08/09/07
PAIN THERAPEUTICS INC DE 2.02 08/09/07
PARAGON TECHNOLOGIES INC PA 2.02,9.01 08/09/07
PARKER DRILLING CO /DE/ DE 2.02,9.01 08/01/07 AMEND
PENNANTPARK INVESTMENT CORP 2.02 08/09/07
PERCEPTRON INC/MI MI 1.01 08/06/07
PERCEPTRON INC/MI MI 5.02,9.01 08/05/07
PEROT SYSTEMS CORP DE 5.02,9.01 08/03/07
PharmaNet Development Group Inc DE 5.02 08/03/07
Pharmasset Inc 2.02,9.01 08/09/07
PHH CORP MD 8.01,9.01 08/08/07
PINNACLE BANCSHARES INC AL 2.02,5.02,9.01 08/06/07
PMC COMMERCIAL TRUST /TX TX 2.02,9.01 08/08/07
POINT THERAPEUTICS INC DE 2.02,9.01 08/09/07
POPE & TALBOT INC /DE/ DE 2.02 08/09/07
POPE RESOURCES LTD PARTNERSHIP DE 8.01,9.01 08/09/07
POPULAR INC 8.01,9.01 08/09/07
POSSIS MEDICAL INC MN 7.01,9.01 08/09/07
PREFORMED LINE PRODUCTS CO OH 5.05,9.01 08/06/07
PRIMUS GUARANTY LTD 2.02,9.01 08/09/07
PRINCETON REVIEW INC DE 2.02,9.01 08/09/07
PRO PHARMACEUTICALS INC NV 8.01 08/09/07
PROGRESSIVE GAMING INTERNATIONAL CORP NV 2.02,9.01 08/08/07
PROS Holdings, Inc. DE 2.02,9.01 08/06/07
PROSPECT CAPITAL CORP MD 8.01,9.01 08/09/07
PROVIDENCE SERVICE CORP DE 2.02,7.01,9.01 08/08/07
Puda Coal, Inc. 1.01,5.02,9.01 08/03/07
PUREDEPTH, INC. CO 1.01 08/03/07
Quadra Realty Trust, Inc. MD 2.02,9.01 08/09/07
QUESTCOR PHARMACEUTICALS INC CA 2.02,9.01 08/09/07
Quicksilver Gas Services LP DE 1.01,9.01 08/06/07
QUIXOTE CORP DE 2.02,9.01 08/09/07
RAINING DATA CORP DE 5.02 08/03/07
RBC Bearings INC 2.02,9.01 08/09/07
RCM TECHNOLOGIES INC NV 2.02 06/30/07
RCN CORP /DE/ DE 2.02,7.01,9.01 08/09/07
ReAble Therapeutics Finance LLC DE 8.01,9.01 08/09/07
READING INTERNATIONAL INC NV 2.02,9.01 08/08/07
Ready Mix, Inc. NV 2.02,9.01 08/09/07
REAL ESTATE ASSOCIATES LTD VII CA 8.01 08/03/07
Red Lion Hotels CORP WA 2.02,9.01 08/09/07
RENEWABLE ENERGY RESOURCES INC NV 2.03 08/03/07
RENTECH INC /CO/ CO 2.02,9.01 08/09/07
REPROS THERAPEUTICS INC. DE 2.02,9.01 08/08/07
RESTORATION HARDWARE INC CA 2.02,9.01 08/08/07
RGC RESOURCES INC VA 2.02,9.01 08/09/07
RICHARDSON ELECTRONICS LTD/DE DE 1.01,9.01 08/03/07
RIVER CAPITAL GROUP, INC. DE 1.01,3.02,9.01 08/03/07
River Rock Entertainment Authority XX 5.02,9.01 08/03/07
ROO GROUP INC DE 5.02 08/03/07
Rosetta Resources Inc. DE 1.01 08/09/07
ROSS STORES INC DE 2.02,9.01 08/09/07
ROYAL GOLD INC DE 8.01,9.01 08/09/07
Ruths Chris Steak House, Inc. DE 2.03 08/07/07
S1 CORP /DE/ DE 2.02,8.01,9.01 08/08/07
SAGA COMMUNICATIONS INC DE 2.02,9.01 08/09/07
SAKS INC TN 8.01,9.01 08/09/07
SALARY. COM, INC. DE 2.01,3.02,9.01 08/03/07
Sally Beauty Holdings, Inc. 2.02,7.01,9.01 08/09/07
SALLY HOLDINGS LLC DE 2.02,7.01,9.01 08/09/07
SAPIENT CORP DE 2.02,9.01 08/09/07
SecureLogic Corp NV 5.02,9.01 08/06/07
SEDONA CORP PA 4.01 08/03/07 AMEND
SELECTICA INC DE 5.02 08/03/07
SENESCO TECHNOLOGIES INC DE 1.01,9.01 08/06/07
SENOMYX INC DE 2.02,9.01 08/09/07
SHARPER IMAGE CORP DE 2.02 08/09/07
SHELLS SEAFOOD RESTAURANTS INC DE 2.02 08/09/07
ShengdaTech, Inc. 2.02,7.01,9.01 08/09/07
SHOE CARNIVAL INC IN 2.02,9.01 08/09/07
SHOE PAVILION INC DE 2.02,9.01 08/09/07
SIERRA PACIFIC RESOURCES /NV/ NV 2.02,9.01 08/08/07
SIGMA ALDRICH CORP DE 5.02,9.01 08/06/07
SILICA RESOURCES CORP NV 8.01 08/07/07
SIRONA DENTAL SYSTEMS, INC. DE 2.02,9.01 08/09/07
SIRVA INC DE 2.02,5.02,7.01,9.01 08/09/07
Smarts Oil & Gas, Inc. NV 5.02,9.01 08/09/07
SMTC CORP DE 1.01,2.02,9.01 08/03/07
SoftBrands, Inc. DE 2.02,7.01,9.01 08/09/07
Solar Power, Inc. NV 2.01,9.01 12/29/06 AMEND
SOLOMON TECHNOLOGIES INC DE 3.02,5.02 07/13/07
SOLUTION TECHNOLOGY INTERNATIONAL INC 4.01,9.01 08/03/07
SOUTHERN CALIFORNIA EDISON CO CA 2.02,9.01 08/09/07
SOUTHERN UNION CO DE 2.02,7.01,9.01 08/09/07
SOUTHWEST WATER CO DE 8.01,9.01 08/09/07
SPECTRUM PHARMACEUTICALS INC DE 2.02,9.01 08/09/07
SPEEDWAY MOTORSPORTS INC DE 2.02,9.01 08/09/07
Spheris Inc. DE 2.02,9.01 08/09/07
STAAR SURGICAL CO DE 2.02,7.01 08/06/07
STANLEY FURNITURE CO INC. DE 2.02,9.01 08/09/07
Stanley-Martin Communities, LLC DE 2.02,9.01 08/09/07
STAR GAS PARTNERS LP DE 2.02,7.01,9.01 08/09/07
STARBUCKS CORP WA 1.01,2.03,9.01 08/07/07
STARM Mortgage Loan Trust 2007-S1 DE 8.01,9.01 07/17/07
STATER BROS HOLDINGS INC DE 2.02,9.01 08/07/07
STEAK & SHAKE CO IN 2.02,9.01 08/09/07
Sterling Banks, Inc. NJ 2.02,9.01 08/08/07
STERLING CONSTRUCTION CO INC DE 2.02,9.01 08/09/07
STONE ENERGY CORP DE 2.02,7.01,9.01 08/08/07
STONEMOR PARTNERS LP DE 2.02,9.01 08/09/07
STRATUS PROPERTIES INC DE 2.02,9.01 08/08/07
Striker Energy Corp 5.02 08/08/07
SUBURBAN PROPANE PARTNERS LP DE 2.02,9.01 08/09/07
SULPHCO INC NV 8.01,9.01 08/09/07
Summer Infant, Inc. DE 2.02,9.01 08/09/07
SUNGARD DATA SYSTEMS INC DE 2.02,9.01 08/09/07
SUPERIOR ESSEX INC DE 1.01,2.03,9.01 08/06/07
SUPREME INDUSTRIES INC DE 2.02,9.01 08/09/07
SUPREME INDUSTRIES INC DE 8.01,9.01 08/07/07
SWIFT ENERGY CO 7.01,9.01 08/08/07
SYMMETRICOM INC DE 2.02,9.01 08/09/07
SYNAPTICS INC CA 2.02,9.01 08/09/07
SYNTHETIC FIXED INCOME SECURITIES INC 8.01,9.01 08/09/07
Synutra International, Inc. DE 4.01,9.01 06/27/07 AMEND
SYSTEMAX INC DE 2.02,9.01 08/08/07
TALBOTS INC DE 2.02,9.01 08/09/07
TAPESTRY PHARMACEUTICALS, INC DE 2.02,9.01 08/09/07
TARRAGON CORP NV 8.01,9.01 08/09/07
TBS INTERNATIONAL LTD 2.02,9.01 08/08/07
TEAM INC TX 2.02,8.01,9.01 07/25/07
TECHNOLOGY RESEARCH CORP FL 2.02,9.01 06/30/07
TECHTEAM GLOBAL INC DE 2.02,9.01 08/07/07
TELECOMMUNICATION SYSTEMS INC /FA/ 2.02,9.01 08/08/07
TERREMARK WORLDWIDE INC DE 9.01 05/24/07 AMEND
TIER TECHNOLOGIES INC DE 2.02,9.01 08/09/07
TLC VISION CORP A6 8.01,9.01 08/09/07
TLC VISION CORP A6 2.02,9.01 08/09/07
TOREADOR RESOURCES CORP DE 2.02,7.01,9.01 08/09/07
TOTAL LUXURY GROUP INC IN 8.01 08/09/07
TOUSA INC DE 2.02,9.01 08/08/07
TRAILER BRIDGE INC 2.02,5.02,9.01 08/03/07
TransMontaigne Partners L.P. DE 2.02,9.01 08/09/07
Triangle Capital CORP MD 2.02,7.01,9.01 08/08/07
TRIDENT MICROSYSTEMS INC DE 2.02,9.01 08/07/07
TRX INC/GA GA 2.02,9.01 08/09/07
TUCOWS INC /PA/ PA 2.02,9.01 08/07/07
TWL CORP UT 4.02,9.01 05/11/07
TXP CORP NV 2.02,9.01 08/09/07
UMH PROPERTIES, INC. MD 7.01,9.01 08/09/07
UNION DRILLING INC DE 5.03,8.01,9.01 08/07/07
UNION NATIONAL FINANCIAL CORP / PA PA 5.02 08/09/07
UNITED STATES CELLULAR CORP DE 1.01,9.01 08/08/07
UNIVISION COMMUNICATIONS INC DE 2.02,9.01 08/09/07
URANIUM RESOURCES INC /DE/ DE 8.01 08/08/07
URANIUM RESOURCES INC /DE/ DE 8.01,9.01 08/09/07
URBAN OUTFITTERS INC PA 2.02,9.01 08/07/07
US CONCRETE INC DE 2.02,9.01 08/09/07
US FARMS, INC. NV 1.01,1.02,3.02,9.01 03/22/06 AMEND
US Uranium Inc. 1.01,1.02,2.01,5.01,5.02,8.01, 08/08/07
9.01
USA TRUCK INC DE 8.01 08/08/07
VCAMPUS CORP DE 3.02 08/06/07
VECTOR GROUP LTD DE 8.01,9.01 08/08/07
VENTAS INC DE 2.02,9.01 08/08/07
Veraz Networks, Inc. DE 2.02,9.01 08/06/07
VIA Pharmaceuticals, Inc. DE 3.02,8.01,9.01 08/08/07
VIACELL INC 2.02,9.01 08/09/07
VICOR CORP DE 2.02,9.01 08/09/07
VICOR CORP DE 2.02,9.01 08/09/07
VIEWPOINT CORP DE 2.02,9.01 08/09/07
VIPER POWERSPORTS INC 1.01,9.01 08/03/07
Vistula Communications Services, Inc. DE 5.02 08/09/07
VITAL SIGNS INC NJ 2.02,9.01 08/08/07
VitalTrust Business Development CORP 5.02,9.01 07/30/07
VITRAN CORP INC 1.01,8.01 08/07/07
VIVUS INC CA 2.01,9.01 08/08/07
Vocalscape Networks, Inc. NV 3.02 06/18/07
VONAGE HOLDINGS CORP DE 2.02,9.01 08/09/07
VORNADO REALTY TRUST MD 8.01 08/08/07
VWR Funding, Inc. DE 7.01,9.01 08/09/07
W HOLDING CO INC PR 7.01,8.01 08/07/07
Warner Chilcott Ltd D0 8.01,9.01 08/09/07
WEBSITE PROS INC DE 8.01,9.01 08/09/07
WELLPOINT INC IN 5.02 08/09/07
Wells Fargo Alternative Loan 2007-PA4 DE 8.01,9.01 07/25/07
WESBANCO INC WV 8.01,9.01 08/09/07
Western Refining, Inc. DE 2.02,9.01 08/09/07
WESTMORELAND COAL CO DE 2.02,9.01 08/09/07
WILLIAM LYON HOMES DE 2.02,9.01 08/08/07
WILLOW FINANCIAL BANCORP, INC. PA 2.02,9.01 08/08/07
WILSONS THE LEATHER EXPERTS INC MN 5.02,7.01 08/08/07
Winthrop Realty Trust OH 2.02,4.02,8.01,9.01 08/01/07
WISCONSIN POWER & LIGHT CO WI 8.01,9.01 08/08/07
WJ COMMUNICATIONS INC DE 2.05 08/04/07
WORKSTREAM INC 1.01,3.02,9.01 08/03/07
WORLD FUEL SERVICES CORP FL 2.02,7.01,9.01 08/09/07
WorldSpace, Inc DE 2.02,9.01 08/09/07
WYNN RESORTS LTD 2.02,7.01,9.01 08/06/07
XERIUM TECHNOLOGIES INC DE 2.02,8.01,9.01 08/08/07
XOMA LTD /DE/ DE 2.02,9.01 08/08/07
Yankee Holding Corp. DE 2.02,9.01 08/09/07
YORK WATER CO PA 2.02,9.01 08/09/07
YOUNG BROADCASTING INC /DE/ DE 2.02,9.01 08/09/07
YOUNG INNOVATIONS INC MO 1.01,9.01 08/08/07
YP CORP NV 5.02 08/03/07
ZALE CORP DE 2.02 08/09/07
ZBB ENERGY CORP WI 8.01,9.01 08/08/07
ZOLTEK COMPANIES INC DE 2.02,8.01,9.01 08/06/07
http://www.sec.gov/news/digest/2007/dig081007.htm
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