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SEC NEWS DIGEST
Issue 2007-158 August 16, 2007
RULES AND RELATED MATTERS
ADOPTION OF UPDATED EDGAR FILER MANUAL
On August 15, the Commission adopted revisions to the Electronic Data
Gathering, Analysis, and Retrieval System (EDGAR) Filer Manual to
reflect updates to the EDGAR system. Revisions are being made
primarily to support the expansion of the current interactive data
voluntary reporting program to enable mutual funds voluntarily to
submit supplemental tagged information contained in the risk/return
summary section of their prospectuses on Form N-1A. The EDGAR system
is being upgraded to support this functionality on August 20, 2007.
The filer manual is also being revised to incorporate changes in
support of several final rules previously adopted by the Commission
and implemented in EDGAR. Those rules include the termination of a
foreign private issuer's registration of a class of securities under
Section 12(g) and duty to file reports under Section 13(a) or 15(d) of
the Securities Exchange Act of 1934 (Exchange Act); the electronic
filing of Transfer Agent forms TA-1, TA-2 and TA-W; and revisions to
the accelerated filer definition under the Exchange Act. Other
revisions were made to allow an issuer to indicate whether it is
subject to reporting obligations after terminating registration of a
class of equity securities under the Exchange Act and to remove
references to submission types N-14AE and N-14AE/A for the filing of
Form N-14 from "Table 3-5: Investment Company Submission Types
Accepted by EDGAR" of the Filer Manual.
Revisions to the Filer Manual reflect changes within Volumes I and II,
entitled EDGAR Filer Manual, Volume I: "General Information," Version
4 (August 2007) and EDGAR Filer Manual, Volume II: "EDGAR Filing,"
Version 5 (August 2007) respectively. The updated manual will be
incorporated by reference into the Code of Federal Regulations. (Rel.
33-8834; 34-56256; 39-2448; IC-27928))
ENFORCEMENT PROCEEDINGS
IN THE MATTER OF JOSEPH A. FROHNA
On August 16, the Commission announced the issuance of an Order
Instituting Administrative Proceedings Pursuant to Section 203(f) of
the Investment Advisers Act of 1940, Making Findings and Imposing
Remedial Sanctions against Joseph A. Frohna. The Order finds that
Frohna, a resident of Waukesha, Wisc., and a former portfolio manager
with U.S. Bancorp Asset Management, Inc., had a final judgment entered
against him, by consent, on August 7 in the civil action entitled SEC
v. Joseph A. Frohna, Civil Action Number 07-C-0702 (LR-20222), in the
United States District Court for the Eastern District of Wisconsin.
This final judgment permanently enjoined Frohna from future violations
of Section 17(a) of the Securities Act of 1933 and Section 10(b) of
the Securities and Exchange Act of 1934 and Rule 10b-5 thereunder. The
Commission's complaint alleged that Frohna engaged in insider trading
by having the mutual fund that he managed sell all of its shares of
XOMA, Ltd. on the basis of material, nonpublic information that he
obtained from his brother, who was leading a joint drug study for XOMA
and another pharmaceutical company. As a result of Frohna's insider
trading, the mutual fund that he managed avoided a loss of $954,776.
Based on the above, the Order suspends Frohna from association with
any investment adviser for a period of twelve months. Frohna consented
to the issuance of the Order without admitting or denying the findings
in the Order, except he admitted the entry of the injunction. (Rel.
IA-2635; File No. 3-12726)
SEC SETTLES CIVIL FRAUD INJUNCTIVE ACTION AGAINST FORMER MCKESSON
CORPORATION EXECUTIVE
On August 7, a consent and final judgment against Michael G. Smeraski
was entered by the United States District Court for the Northern
District of California. Smeraski was charged in a previously-filed
action with securities fraud in connection with a massive financial
reporting fraud at McKesson HBOC Corporation (now, McKesson
Corporation), a Fortune 100 company headquartered in San Francisco,
Calif. Smeraski consented to the entry of judgment without admitting
or denying the allegations of the Commission's complaint except as to
jurisdiction.
The complaint, filed Sept. 27, 2001, alleged that Smeraski, a senior
sales vice president, together with other senior executives
participated in a long-running fraudulent scheme to inflate the
revenue and net income of HBO & Company, an Atlanta, Ga.-based vendor
of health care software that merged with McKesson in 1999. Smeraski
and others routinely approved software sales contracts with associated
side letters containing unsatisfied contingencies precluding revenue
recognition and backdated contracts and other documents for the
purpose of recognizing revenue in an earlier reporting period. Both of
these practices failed to comply with Generally Accepted Accounting
Principles. The fraud enabled HBO & Company to report falsely in press
releases and in periodic reports filed with the Commission that the
company was having an unbroken run of financial success and that HBO &
Company had continually exceeded analysts' expectations. However, when
McKesson HBOC announced in April 1999 that the company was conducting
an internal investigation into financial reporting irregularities, its
shares tumbled from approximately $65 to $34, a drop that slashed its
market value by more than $9 billion.
The final judgment against Smeraski permanently enjoins him from
violating the antifraud provisions of the federal securities laws,
Section 17(a) of the Securities Act of 1933 and Sections 10(b) and
13(b)(5)of the Securities Exchange Act of 1934 and Rule 10b-5
thereunder. In addition, Smeraski was ordered to pay a civil penalty
of $50,000. [SEC v. Michael G. Smeraski, et al., Case No. C-01-3651,
MJJ, N.D. Cal.] (Rel. LR-20243)
SEC FILES FRAUD CHARGES IN CONNECTION WITH AN UNREGISTERED OFFERING OF
PREFERRED STOCK AND JOINT VENTURES
On August 13, the Commission filed securities charges in Dallas
federal court against Michael E. Tomayko and Inter Global
Technologies, Inc. (IGT), for conducting a fraudulent, unregistered
offering of IGT preferred stock and joint venture interests. The
Commission accuses the defendants of using fraudulent means to raise
at least $14.5 million from at least 900 domestic and international
investors from at least January 2004 until at least the fall of 2006.
The complaint alleges that the defendants made numerous materially
false and misleading misrepresentations and omissions about their
alleged interests in licenses to build oil refineries in Indonesia and
their efforts to finance those refineries. In addition, the Commission
claims that the defendants misappropriated millions of dollars of
investor proceeds for personal uses or for purposes unrelated to the
offering. [SEC v. Inter Global Technologies, Inc. and Michael E.
Tomayko, U.S.D.C., Northern District of Texas, Dallas Division, Civil
Action No. 3-07 CV 1397 - K] (Rel. LR-20244)
SEC SETTLES WITH ROGER BLACKWELL FOR ILLEGAL INSIDER TRADING IN
WORTHINGTON FOODS, INC. STOCK
On August 14, the United States District Court for the Southern
District of Ohio entered Final Judgment against Defendant Roger D.
Blackwell, a resident of Columbus, Ohio, for illegal insider trading
in the stock of Worthington Foods, Inc. The Court entered a permanent
injunction from future violations of Sections 10(b) and 16(a) of the
Securities Exchange Act of 1934 and Rules 10b-5, 16a-2, 16a-3, and
16a-8 thereunder, ordered Blackwell to pay disgorgement of $240,879.74
and prejudgment interest of $129,802.15, and imposed a permanent
officer-director bar against him.
In its complaint, the Commission alleged that Roger Blackwell
committed illegal insider trading by tipping Kelly Hughes, Kevin
Stacy, the Roger Blackwell Pension Plan Trust, Arnold Jack, Black-Jack
Enterprises, Dale Blackwell and Christian Blackwell. The staff alleged
that Roger Blackwell, who was a director of Worthington Foods, Inc..
tipped the above-named defendants during August and September 1999
about Kellogg Co.'s intent to acquire Worthington. (See LR-17944, Jan.
21, 2003).
This settlement resolves all outstanding claims against Roger
Blackwell. [SEC v. Roger D. Blackwell, et al., No. 03-CV-63, USDC, SD
Ohio] (Rel. LR-20245)
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE
A proposed rule change (SR-Amex-2007-77) filed by the American Stock
Exchange to eliminate certain Exchange rules prohibiting the entering
of limit orders on both sides of the market on a regular and
continuous basis has become effective under Section 19(b)(3)(A) of the
Securities Exchange Act of 1934. Publication is expected in the
Federal Register during the week of August 20. (Rel. 34-56255)
A proposed rule change (SR-NYSEArca-2007-83) filed with the Commission
by NYSE Arca through its wholly owned subsidiary, NYSE Arca Equities,
Inc., to delete obsolete rules relating to the trading of gold and
silver bullion has become immediately effective under Section
19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is
expected in the Federal Register during the week of August 20. (Rel.
34-56257).
ACCELERATED APPROVAL OF PROPOSED RULE CHANGES
The Commission solicited comments on Amendment No. 4 to a proposed
rule change (SR-Amex-2004-27) and granted accelerated approval to the
proposed rule change, as amended, filed by the American Stock Exchange
under Section 19(b)(1) of the Securities Exchange Act of 1934 relating
to the listing and trading of Fixed Return Options. Publication is
expected in the Federal Register during the week of August 20. (Rel.
34-56251)
The Commission has granted accelerated approval to a proposed rule
change (SR-NYSEArca-2007-59) as modified by Amendment No. 1 relating
to amendments to Rule 12 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 during
the week of August 20. (Rel. 34-56258).
The Commission has granted accelerated approval to a proposed rule
change (SR-NYSEArca-2007-60) as modified by Amendment No. 1 relating
to amendments to Arca Equities Rule 12 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 during the week of August 20. (Rel. 34-56259).
PROPOSED RULE CHANGES
Pursuant to Rule 19b-4 under the Securities Exchange Act of 1934, the
Chicago Board Options Exchange has filed a proposed rule change (SR-
CBOE-2006-104) and Amendment No. 1 thereto to codify the hybrid price
check parameter. Publication is expected in the Federal Register
during the week of August 20. (Rel. 34-56245)
The Philadelphia Stock Exchange filed a proposed rule change (SR-Phlx-
2007-27) under Section 19(b)(1) of the Securities Exchange Act of 1934
to standardize certain rules for equity, index, and ETF options.
Publication is expected in the Federal Register during the week of
August 20. (Rel. 34-56249).
The National Securities Clearing Corporation filed a proposed rule
change (File No. SR-NSCC-2007-11) under Section 19(b)(1) of the
Exchange Act seeking to modify its procedures to allow as-of fixed
income trades to be processed in NSCC's Continuous Net Settlement
("CNS") system. Publication is expected in the Federal Register during
the week of August 20. (Rel. 34-56250)
A proposed rule change (SR-BSE-2007-40) has been filed by the Boston
Stock Exchange under Rule 19b-4 of the Securities Exchange Act of 1934
to extend and expand the Pilot Program to quote certain option classes
in pennies. Publication is expected in the Federal Register during the
week of August 20. (Rel. 34-56253).
SECURITIES ACT REGISTRATIONS
The following registration statements have been filed with the SEC
under the Securities Act of 1933. The reported information appears as
follows: Form, Name, Address and Phone Number (if available) of the
issuer of the security; Title and the number and/or face amount of the
securities being offered; Name of the managing underwriter or
depositor (if applicable); File number and date filed; Assigned
Branch; and a designation if the statement is a New Issue.
Registration statements may be obtained in person or by writing to the
Commission's Public Reference Branch at 100 F Street, N.E.,
Washington, D.C. 20549-1090 or at the following e-mail box address:
. In most cases, this information is also
available on the Commission's website: .
S-3 GENERAL GROWTH PROPERTIES INC, 110 N WACKER DRIVE, STE 3100, CHICAGO,
IL, 60606, 3129605000 - 17,470,360 ($859,891,120.00) Equity,
(File 333-145452 - Aug. 15) (BR. 08B)
S-8 lululemon athletica inc., 2285 CLARK DRIVE, VANCOUVER, A1, V5N 3G9,
604-732-6124 - 10,000,000 ($187,569,741.62) Equity, (File 333-145453 -
Aug. 15) (BR. 02)
S-8 AMTECH SYSTEMS INC, 131 S CLARK DR, TEMPE, AZ, 85281, 6029675146 -
500,000 ($5,445,000.00) Equity, (File 333-145454 - Aug. 15) (BR. 10A)
S-8 BEASLEY BROADCAST GROUP INC, 3033 RIVIERA DRIVE, SUITE 200, NAPLES, FL,
34103, 9412635000 - 0 ($31,920,000.00) Equity, (File 333-145455 -
Aug. 15) (BR. 11C)
S-3 SEMOTUS SOLUTIONS INC, 16400 LARK AVE, SUITE 230, LOS GATOS, CA, 95032,
4083587100 - 177,853 ($220,537.72) Equity, (File 333-145456 - Aug. 15)
(BR. 08C)
S-8 INTERNATIONAL PAPER CO /NEW/, 400 ATLANTIC STREET, STAMFORD, CT, 06921,
203-541-8000 - 0 ($330,113,000.00) Equity, (File 333-145459 - Aug. 15)
(BR. 03A)
S-3 SULPHCO INC, 850 SPICE ISLANDS DRIVE, SPARKS, NV, 89431, 775-829-1310 -
0 ($150,000,000.00) Equity, (File 333-145460 - Aug. 15) (BR. 06B)
SB-2 Premier Nursing Products Corp., 8990 WEMBLEY COURT, SARASOTA, FL,
34238, 941-966-6955 - 3,000,000 ($2.67) Equity, (File 333-145469 -
Aug. 15) (BR. 02)
S-8 PEOPLES BANCORPORATION INC /SC/, 1800 E MAIN STREET, P O BOX 1989,
EASLEY, SC, 29640, 8038592265 - 84,491 ($901,941.43) Equity,
(File 333-145470 - Aug. 15) (BR. 07A)
SB-2 Gray Creek Mining Inc., 6688 WILLINGTON AVE. SUITE 313, BURNABY, A1,
V5H 2V8, 604-434-8539 - 0 ($22,500.00) Equity, (File 333-145471 -
Aug. 15) (BR. )
S-8 FINANCIAL INDUSTRIES CORP, LEGAL DEPARTMENT,
6500 RIVER PLACE BLVD., BUILDING ONE, AUSTIN, TX, 78730, 512 404-5000 -
900,000 ($5,445,000.00) Equity, (File 333-145473 - Aug. 15) (BR. 01A)
S-8 GIVEN IMAGING LTD, 2 HA CARMEL ST, NEW INDUSTRIAL PARK, YOQNEAM, L4,
20692, 1,500,000 ($39,780,000.00) Equity, (File 333-145474 - Aug. 15)
(BR. 10B)
S-8 FALCONSTOR SOFTWARE INC, 125 BAYLIS ROAD, MELVILLE, NY, 11747,
631 777 5188 - 18,800,000 ($187,853,930.00) Equity, (File 333-145475 -
Aug. 15) (BR. 03B)
S-8 Molecular Insight Pharmaceuticals, Inc., 160 SECOND STREET, CAMBRIDGE,
MA, 02142, 617-492-5554 - 0 ($14,289,701.00) Equity, (File 333-145476 -
Aug. 15) (BR. 01B)
S-3 DUNE ENERGY INC, 1330 POST OAK BLVD., SUITE 1600, HOUSTON, TX, 77056,
7139634635 - 0 ($20,067,374.48) Equity, 0 ($216,000,000.00) Other,
(File 333-145477 - Aug. 15) (BR. 04A)
S-4 ALLIANCE ONE INTERNATIONAL, INC., 8001 AERIAL CENTER PARKWAY,
MORRISVILLE, NC, 27560-8413, 9193794300 -
0 ($150,000,000.00) Non-Convertible Debt, (File 333-145478 - Aug. 15)
(BR. 05B)
S-3 Cardium Therapeutics, Inc., 3611 VALLEY CENTRE DRIVE, SUITE 525,
SAN DIEGO, CA, 92130, (858) 436-1000 - 0 ($50,000,000.00) Equity,
(File 333-145479 - Aug. 15) (BR. 01B)
S-4 DUNE ENERGY INC, 1330 POST OAK BLVD., SUITE 1600, HOUSTON, TX, 77056,
7139634635 - 0 ($300,000,000.00) Other, (File 333-145480 - Aug. 15)
(BR. 04A)
S-8 MICRUS ENDOVASCULAR CORP, 821 FOX LANE, SAN JOSE, CA, 95131,
4084331400 - 0 ($38,799,405.65) Equity, (File 333-145481 - Aug. 15)
(BR. 10B)
S-8 NOVATEL WIRELESS INC, 9645 SCRANTON ROAD, SUITE 205, SAN DIEGO, CA,
92121, 8583208800 - 0 ($47,129,040.00) Equity, (File 333-145482 -
Aug. 15) (BR. 03C)
S-3 CHEMED CORP, 2600 CHEMED CTR, 255 E FIFTH ST, CINCINNATI, OH, 45202,
(513)762-6900 -
200,000,000 ($200,000,000.00) Debt Convertible into Equity,
(File 333-145483 - Aug. 15) (BR. 01B)
S-8 CROSS COUNTRY HEALTHCARE INC, 6551 PARK OF COMMERCE BLVD, SUITE 200,
BOCA RATON, FL, 33487, 8003472264 - 1,500,000 ($25,050,000.00) Equity,
(File 333-145484 - Aug. 15) (BR. 11A)
S-3 KOSAN BIOSCIENCES INC, 3832 BAY CENTER PLACE, HAYWARD, CA, 94545,
5107328400 - 0 ($75,000,000.00) Equity, (File 333-145485 - Aug. 15)
(BR. 01B)
S-3ASR Omniture, Inc., ATTN: SHAWN LINDQUIST, 550 EAST TIMPANOGOS CIRCLE,
OREM, UT, 84097, 801-722-7000 - 836,609 ($22,847,791.79) Equity,
(File 333-145486 - Aug. 15) (BR. 03C)
SB-2 EnterConnect Inc, 100 CENTURY CENTER COURT, SUITE 650, SAN JOSE, CA,
95112-453, 408-441-5280 - 4,887,112 ($4,887,112.00) Equity,
(File 333-145487 - Aug. 15) (BR. )
S-8 USA VIDEO INTERACTIVE CORP, 8 WEST MAIN STREET, NIANTIC, CT, 06352,
8607398030 - 16,000,000 ($2,120,000.00) Equity, (File 333-145488 -
Aug. 15) (BR. 08C)
RECENT 8K FILINGS
Form 8-K is used by companies to file current reports on the following events:
1.01 Entry into a Material Definitive Agreement
1.02 Termination of a Material Definitive Agreement
1.03 Bankruptcy or Receivership
2.01 Completion of Acquisition or Disposition of Assets
2.02 Results of Operations and Financial Condition
2.03 Creation of a Direct Financial Obligation or an Obligation under an
Off-Balance Sheet Arrangement of a Registrant
2.04 Triggering Events That Accelerate or Increase a Direct Financial Obligation
under an Off-Balance Sheet Arrangement
2.05 Cost Associated with Exit or Disposal Activities
2.06 Material Impairments
3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or
Standard; Transfer of Listing
3.02 Unregistered Sales of Equity Securities
3.03 Material Modifications to Rights of Security Holders
4.01 Changes in Registrant's Certifying Accountant
4.02 Non-Reliance on Previously Issued Financial Statements or a Related Audit
Report or Completed Interim Review
5.01 Changes in Control of Registrant
5.02 Departure of Directors or Principal Officers; Election of Directors;
Appointment of Principal Officers
5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
5.04 Temporary Suspension of Trading Under Registrant's Employee Benefit Plans
5.05 Amendments to the Registrant's Code of Ethics, or Waiver of a
Provision of the Code of Ethics
6.01. ABS Informational and Computational Material.
6.02. Change of Servicer or Trustee.
6.03. Change in Credit Enhancement or Other External Support.
6.04. Failure to Make a Required Distribution.
6.05. Securities Act Updating Disclosure.
7.01 Regulation FD Disclosure
8.01 Other Events
9.01 Financial Statements and Exhibits
8-K reports may be obtained in person or by writing to the
Commission's Public Reference Branch at 100 F Street, N.E.,
Washington, D.C. 20549-1090 or at the following e-mail box address:
. In most cases, this information is also
available on the Commission's website: .
STATE
NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT
ACACIA RESEARCH CORP DE 5.02,8.01,9.01 08/15/07
ACCESS WORLDWIDE COMMUNICATIONS INC DE 2.02,7.01,9.01 08/14/07
Accredited Mortgage Loan REIT Trust MD 2.02 08/15/07
Accredited Mortgage Loan REIT Trust MD 8.01,9.01 08/10/07
ACE LTD D0 5.02,9.01 08/14/07
ACI WORLDWIDE, INC. DE 3.01,9.01 08/13/07
ACR GROUP INC TX 2.01,5.01 08/09/07
ACUITY BRANDS INC DE 8.01,9.01 08/14/07
ADAPTEC INC DE 5.02 08/09/07
AeroGrow International, Inc. NV 2.02,7.01,9.01 08/14/07
AIRTRAN HOLDINGS INC NV 8.01,9.01 08/08/07
ALANCO TECHNOLOGIES INC AZ 1.01,3.02 08/15/07
ALCOA INC PA 5.02,9.01 08/14/07
ALEXANDER & BALDWIN INC HI 2.02,9.01 08/15/07
ALLIANCE LAUNDRY SYSTEMS LLC 8.01 08/14/07
Alternative Loan Trust 2007-22 DE 8.01,9.01 08/14/07
Alternative Loan Trust 2007-HY9 DE 8.01,9.01 07/31/07
AMC ENTERTAINMENT INC DE 7.01,9.01 08/13/07
AMERICAN BILTRITE INC DE 2.02,9.01 08/10/07
American Electric Technologies Inc FL 2.02,9.01 08/14/07
American Express Issuance Trust DE 8.01,9.01 08/15/07
American Home Food Products, Inc. NY 8.01,9.01 08/13/07
Ames True Temper, Inc. DE 2.02,9.01 08/13/07 AMEND
AMGEN INC DE 2.05,7.01,9.01 08/15/07
AMPCO PITTSBURGH CORP PA 8.01,9.01 08/15/07
AMPEX CORP /DE/ DE 2.02,9.01 08/13/07
AMS HEALTH SCIENCES INC OK 2.02,9.01 08/14/07
ANWORTH MORTGAGE ASSET CORP MD 2.04 08/09/07
AON CORP DE 5.02,8.01,9.01 08/15/07
APPLETON PAPERS INC/WI 2.02,9.01 08/15/07
APPLIED INDUSTRIAL TECHNOLOGIES INC OH 5.02,9.01 08/09/07
ARROW INTERNATIONAL INC PA 5.02,9.01 08/09/07
ASTORIA FINANCIAL CORP DE 5.02,9.01 08/15/07
ATLAS MINING CO ID 5.02,5.05,8.01 08/08/07
ATWOOD OCEANICS INC TX 8.01,9.01 08/15/07
AUBURN NATIONAL BANCORPORATION INC DE 8.01,9.01 08/14/07
Aviza Technology, Inc. DE 5.02 08/13/07
AVNET INC NY 5.02,5.03,8.01,9.01 08/09/07
BABYUNIVERSE, INC. FL 2.02,7.01,8.01,9.01 08/14/07
BANC OF AMERICA FUNDING CORP DE 8.01,9.01 07/31/07
BANK OF AMERICA CORP /DE/ DE 8.01,9.01 08/10/07
Baseline Oil & Gas Corp. NV 1.01,9.01 08/09/07
Basin Water, Inc. DE 2.02,9.01 08/14/07
BEAZER HOMES USA INC DE 2.02,9.01 08/15/07
BEHRINGER HARVARD REIT I INC MD 1.01,7.01,9.01 08/14/07
BFC FINANCIAL CORP FL 1.02,9.01 08/14/07
BIO KEY INTERNATIONAL INC MN 2.02,9.01 08/14/07
BIOMODA INC/NM 5.02,8.01 08/01/07
BIOMODA INC/NM 5.02,8.01 08/01/07 AMEND
BION ENVIRONMENTAL TECHNOLOGIES INC CO 8.01,9.01 08/10/07
BLUEGATE CORP NV 3.02 08/03/07
BMB MUNAI INC 5.02,8.01,9.01 08/14/07
BOISE CASCADE HOLDINGS, L.L.C. DE 2.02,9.01 08/14/07
BOSTON SCIENTIFIC CORP DE 1.01,2.05,2.06,9.01 08/09/07
BRE PROPERTIES INC /MD/ MD 8.01 08/15/07
Bridgeline Software, Inc. DE 2.02,9.01 08/14/07
CabelTel International Corp NV 2.02,9.01 08/15/07
CACI INTERNATIONAL INC /DE/ DE 2.02,7.01,9.01 08/15/07
CALPINE CORP DE 2.02,7.01,9.01 06/30/07
Cambridge Display Technology, Inc. DE 2.02,9.01 08/15/07
CAPITAL BANK CORP NC 5.02,9.01 08/09/07
CAPSOURCE FINANCIAL INC CO 1.01,2.03,9.01 08/10/07
CARTERS INC DE 5.02 08/10/07
CARTOON ACQUISITION, INC. DE 4.01 08/15/07 AMEND
CASELLA WASTE SYSTEMS INC DE 3.03 08/13/07
CASEYS GENERAL STORES INC IA 7.01 08/15/07
CATALYST SEMICONDUCTOR INC DE 5.02,9.01 08/09/07
CATERPILLAR INC DE 7.01 08/15/07
CBL & ASSOCIATES PROPERTIES INC DE 1.01,9.01 08/09/07
Celsia Technologies, Inc. NV 5.02 08/09/07
CHART INDUSTRIES INC DE 7.01,9.01 08/13/07
CHARTER COMMUNICATIONS INC /MO/ DE 1.01,3.03,5.03,9.01 08/14/07
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 08/15/07
CHASE CREDIT CARD MASTER TRUST NY 8.01,9.01 08/15/07
CHINA FUND INC MD 7.01,9.01 07/01/07
CHINA SHEN ZHOU MINING & RESOURCES, I NV 2.02,9.01 08/14/07 AMEND
China Water & Drinks Inc.. NV 1.01,9.01 08/15/07 AMEND
CHINACAST EDUCATION CORP DE 8.01,9.01 08/14/07
CHL Mortgage Pass-Through Trust 2007- DE 8.01,9.01 08/14/07
CHL Mortgage Pass-Through Trust 2007- DE 8.01,9.01 08/14/07
CHL Mortgage Pass-Through Trust 2007- DE 8.01,9.01 07/30/07
CITIBANK CREDIT CARD ISSUANCE TRUST DE 8.01,9.01 08/15/07
CITIBANK CREDIT CARD ISSUANCE TRUST DE 8.01,9.01 08/15/07
CITIBANK OMNI-S MASTER TRUST 8.01 08/15/07
CITIBANK SOUTH DAKOTA N A DE 8.01 07/26/07
Citigroup Commercial Mortgage Trust 2 DE 8.01,9.01 07/31/07
CITIGROUP INC DE 1.01,4.01 08/15/07
CITRIX SYSTEMS INC DE 1.01,3.02,7.01,9.01 08/14/07
CLAYTON WILLIAMS ENERGY INC /DE DE 7.01,9.01 08/15/07
CLEAN DIESEL TECHNOLOGIES INC DE 5.03 08/09/07
CLEAR CHANNEL COMMUNICATIONS INC TX 8.01,9.01 08/15/07
CLEARWIRE CORP 2.03,7.01,9.01 08/15/07
CNB FINANCIAL CORP/PA PA 5.02 08/14/07
CNB FINANCIAL CORP/PA PA 8.01 08/14/07
COBIZ FINANCIAL INC CO 1.01,2.03 08/13/07
COGNEX CORP MA 2.02,9.01 08/15/07
CombiMatrix Corp DE 9.01 08/15/07
COMDISCO HOLDING CO INC DE 8.01,9.01 08/15/07
COMPUCREDIT CORP GA 8.01,9.01 08/10/07
CONGOLEUM CORP DE 2.02,9.01 08/10/07
CONVERA CORP DE 1.01,2.01,9.01 08/09/07
CONVERGYS CORP OH 8.01,9.01 08/14/07
Cooper-Standard Holdings Inc. DE 2.02,9.01 08/14/07
CORDIA CORP NV 2.01,3.02,8.01,9.01 08/15/07
CornerWorld Corp NV 1.01,9.01 05/11/07 AMEND
CRIMSON EXPLORATION INC. 2.02,9.01 08/14/07
CROWN CRAFTS INC DE 2.02,9.01 08/15/07
CSMC Mortgage-Backed Trust 2007-5 DE 8.01,9.01 08/15/07
CWHEQ, Inc. 8.01,9.01 08/15/07
DAKTRONICS INC /SD/ SD 2.02,9.01 07/28/07
DEERE & CO DE 2.02,7.01,8.01,9.01 08/15/07
DEERE JOHN CAPITAL CORP DE 2.02,7.01,8.01,9.01 08/15/07
DEFENSE INDUSTRIES INTERNATIONAL INC NV 2.02,9.01 08/15/07
DEL LABORATORIES INC DE 7.01,9.01 08/15/07
Deutsche Alt-A Securities Mortgage Lo DE 8.01,9.01 08/14/07
DICE HOLDINGS, INC. DE 2.02,9.01 08/15/07
DITECH NETWORKS INC DE 2.02,5.03,9.01 08/15/07
Domtar CORP DE 5.02,9.01 08/09/07
DOUBLE EAGLE PETROLEUM CO MD 7.01,9.01 08/15/07
DOWNEY FINANCIAL CORP DE 7.01,9.01 07/31/07
DRESS BARN INC CT 8.01,9.01 08/14/07
DRI CORP NC 7.01,9.01 08/15/07
DTE ENERGY CO MI 2.02,9.01 08/14/07
E-Z-EM, Inc. DE 2.02,7.01,9.01 08/15/07
Eagle Bulk Shipping Inc. 2.01,9.01 08/15/07
EAGLE ROCK ENERGY PARTNERS L P DE 2.02,9.01 08/14/07
EASTON-BELL SPORTS, INC. DE 2.02,9.01 08/15/07
EATON VANCE CORP MD 1.01,9.01 08/15/07
ECO2 PLASTICS INC DE 5.02,9.01 08/10/07
Ecology Coatings, Inc. NV 5.02,9.01 08/15/07
EDIETS COM INC DE 2.02,9.01 08/14/07
ELECTRO RENT CORP CA 2.02,9.01 08/13/07
EMC INSURANCE GROUP INC IA 5.02 08/13/07
EMERSON RADIO CORP DE 2.02,9.01 08/14/07
EMPIRE RESOURCES INC /NEW/ DE 2.02,9.01 08/14/07
Employers Holdings, Inc. NV 2.02,9.01 08/14/07
Emrise CORP DE 2.02,9.01 08/14/07
ENSCO INTERNATIONAL INC DE 2.02,9.01 08/15/07
ENVIRONMENTAL POWER CORP DE 2.02,8.01,9.01 08/14/07
EPICEPT CORP 2.02,7.01,9.01 08/14/07
ETERNAL TECHNOLOGIES GROUP INC DE 2.02,9.01 08/14/07
ETHAN ALLEN INTERIORS INC DE 7.01,9.01 08/15/07
EVERGREEN ENERGY INC DE 5.02 08/15/07
EXACT SCIENCES CORP DE 5.02,9.01 08/09/07
Expedia, Inc. 8.01,9.01 08/15/07
FARMERS CAPITAL BANK CORP KY 1.01,2.03,9.01 08/15/07
FIELDPOINT PETROLEUM CORP CO 2.02,7.01 08/15/07
FIRST BANCTRUST CORP DE 2.02,5.02,9.01 08/15/07
FIRST CASH FINANCIAL SERVICES INC DE 5.04,9.01 08/14/07
FIRST INTERSTATE BANCSYSTEM INC MT 8.01 08/13/07
FIRST KEYSTONE FINANCIAL INC 2.02,9.01 08/14/07
FIRST MERCHANTS CORP IN 1.01,9.01 08/15/07
FIRST NIAGARA FINANCIAL GROUP INC DE 1.01,9.01 08/10/07
FLANDERS CORP NC 5.02 08/13/07
FLEXIBLE SOLUTIONS INTERNATIONAL INC NV 8.01,9.01 08/15/07
Fortress International Group, Inc. DE 2.02,9.01 08/14/07
FRONTIER OIL CORP /NEW/ WY 7.01 08/14/07
GASTAR EXPLORATION LTD 2.02,9.01 08/14/07
GENWORTH FINANCIAL INC DE 1.01,2.03,9.01 08/13/07
GEOGLOBAL RESOURCES INC. DE 8.01,9.01 08/14/07
GeoMet, Inc. DE 8.01,9.01 08/14/07
GeoPharma, Inc. FL 7.01,9.01 08/14/07
GETTY IMAGES INC DE 5.02 08/09/07
Girasolar, Inc. DE 5.02 08/01/07
GMACM Home Equity Loan Trust 2007-HE2 DE 8.01,9.01 08/15/07
GOAMERICA INC DE 2.02,9.01 08/14/07
GOLDLEAF FINANCIAL SOLUTIONS INC. TN 5.02,9.01 08/14/07
GOODYEAR TIRE & RUBBER CO /OH/ OH 7.01,9.01 08/15/07
GREAT PLAINS ETHANOL LLC SD 1.01,2.03 08/10/07
GREEN PLAINS RENEWABLE ENERGY, INC. IA 1.01,8.01,9.01 08/15/07
GREENLEAF FOREST PRODUCTS, INC. NV 1.01,3.03,9.01 08/15/07
GRYPHON GOLD CORP NV 7.01,9.01 08/15/07
GSC INVESTMENT CORP. MD 8.01,9.01 08/14/07
Guidance Software, Inc. DE 7.01 08/14/07
HALIFAX CORP OF VIRGINIA VA 2.02,9.01 08/15/07
HALLWOOD GROUP INC DE 2.02,9.01 08/14/07
HarborView 2007-6 DE 8.01,9.01 07/31/07
HARVEST NATURAL RESOURCES, INC. DE 5.02 08/15/07
HEADWATERS INC DE 5.02,9.01 08/09/07
HEALTHTRONICS, INC. GA 5.02,9.01 08/13/07
HEINZ H J CO PA 2.02,9.01 08/15/07
HELICOS BIOSCIENCES CORP 7.01,9.01 08/15/07
HEMACARE CORP /CA/ CA 2.02,9.01 08/14/07
HERLEY INDUSTRIES INC /NEW DE 1.01,9.01 08/15/07
HINES HORTICULTURE INC DE 1.01,9.01 08/14/07
HOME DEPOT INC DE 1.01,9.01 08/14/07
HOME SOLUTIONS OF AMERICA INC DE 2.02,9.01 08/09/07
HOMEBANC CORP 1.02,1.03,2.04,8.01,9.01 08/09/07
Hostopia.com Inc. 2.01 08/13/07
HSI Asset Loan Obligation Trust 2007- 8.01,9.01 08/15/07
HYDROGEN ENGINE CENTER, INC. NV 2.02,9.01 08/15/07
IC ISAACS & CO INC DE 2.02,7.01,9.01 08/14/07
IDLEAIRE TECHNOLOGIES CORP DE 2.02,9.01 08/14/07
IMAGENETIX INC /NV/ NV 2.02,9.01 08/14/07
IMERGENT INC DE 8.01 08/14/07
IMPAC MORTGAGE HOLDINGS INC MD 2.02,9.01 08/14/07
INDEPENDENT BANK CORP MA 8.01 08/14/07
Infosmart Group, Inc. CA 4.01,5.02,9.01 08/15/07
INNOSPEC INC. DE 8.01,9.01 08/15/07
Integrated Management Information, In 9.01 08/14/07
INTER TEL (DELAWARE), INC DE 8.01,9.01 08/14/07
INTERLINK ELECTRONICS INC DE 2.02,9.01 08/15/07
INTERNATIONAL ASSETS HOLDING CORP DE 2.02,7.01,9.01 08/15/07
International Building Technologies G NV 8.01 08/15/07
INTERSECTIONS INC DE 8.01 08/15/07
INTERSTATE BAKERIES CORP/DE/ DE 7.01,9.01 08/14/07
IPASS INC DE 5.02,9.01 08/13/07
ISOLAGEN INC DE 1.01,8.01,9.01 08/14/07
J P MORGAN CHASE & CO DE 9.01 08/13/07
JMAR TECHNOLOGIES INC DE 1.01,3.02 08/08/07
JO-ANN STORES INC OH 8.01 08/15/07
JONES LANG LASALLE INC MD 8.01,9.01 08/15/07
KFORCE INC FL 5.02 08/13/07
KKR Financial Holdings LLC DE 7.01 08/15/07
KROGER CO OH 8.01,9.01 08/15/07
Language Line Holdings, Inc. 4.02 08/09/07
Language Line, Inc. 4.02 08/09/07
LASALLE BRANDS CORP NV 2.01,9.01 07/06/07
Lehman XS Trust 2007-14H DE 8.01,9.01 07/31/07
Lehman XS Trust Series 2007-15N DE 8.01,9.01 07/31/07
LEUCADIA NATIONAL CORP NY 1.01 08/10/07
Lev Pharmaceuticals Inc DE 1.01,8.01,9.01 08/13/07
LEVITT CORP FL 1.02,9.01 08/14/07
LHC Group, Inc 5.02,9.01 08/15/07
LHC Group, Inc 1.01,9.01 08/15/07
Liberty Global, Inc. 7.01 08/15/07
LITHIUM TECHNOLOGY CORP DE 7.01,9.01 08/15/07
LIVEDEAL INC NV 5.03,8.01,9.01 08/10/07
LIVEWORLD INC DE 2.02,9.01 08/15/07
LOCAL.COM DE 1.01,5.02,9.01 08/14/07
LONGS DRUG STORES CORP MD 2.02,9.01 08/15/07
Macy's, Inc. DE 2.02,9.01 08/15/07
MAGNA ENTERTAINMENT CORP DE 5.02,7.01,9.01 06/30/07
Marquee Holdings Inc. DE 7.01,9.01 08/13/07
MARTEN TRANSPORT LTD DE 5.02,9.01 08/13/07
MARTIN MARIETTA MATERIALS INC NC 7.01,9.01 08/15/07
MASTERCARD INC DE 8.01 08/13/07
MAX CAPITAL GROUP LTD. 7.01,9.01 08/15/07
MC SHIPPING INC 7.01,9.01 08/15/07
MED-EMERG INTERNATIONAL INC 2.02,9.01 08/14/07
MEDICAL PROPERTIES TRUST INC 1.01,2.01,2.03,9.01 08/09/07
MEDICAL PROPERTIES TRUST INC 1.01,5.02,9.01 07/31/07 AMEND
Merrill Lynch Mortgage Backed Securit DE 8.01,9.01 07/31/07
METLIFE INC DE 8.01,9.01 08/15/07
METRETEK TECHNOLOGIES INC DE 5.02,9.01 08/15/07
MFIC CORP DE 2.02,9.01 08/14/07
Mid-America Bancshares, Inc. TN 1.01,5.02,7.01,9.01 08/15/07
MMC ENERGY, INC. DE 2.02 08/13/07
Monotype Imaging Holdings Inc. DE 2.02,9.01 08/15/07
Morgan Stanley Capital I Trust 2007-T DE 8.01,9.01 08/14/07
MOTIVE INC DE 4.01,9.01 07/27/07 AMEND
MPS GROUP INC FL 8.01,9.01 08/14/07
MULTIMEDIA GAMES INC TX 2.02,9.01 08/09/07
MUZAK HOLDINGS LLC DE 2.02,9.01 08/15/07
Nalco Finance Holdings LLC 7.01,9.01 08/14/07
Nalco Holding CO 7.01,9.01 08/14/07
Nalco Holdings LLC DE 7.01,9.01 08/14/07
NATHANIEL ENERGY CORP NV 7.01,9.01 08/15/07
NATIONAL OILWELL VARCO INC DE 5.02,9.01 08/13/07
NCO Group, Inc. 2.02,7.01,9.01 08/14/07
NETLIST INC DE 2.02,9.01 08/14/07
NETWORK APPLIANCE INC CA 2.02,9.01 08/15/07
NETWORK APPLIANCE INC CA 8.01,9.01 08/14/07
NEUROLOGIX INC/DE DE 2.02,9.01 08/15/07
NEWNAN COWETA BANCSHARES INC 5.02,9.01 08/08/07
NEWS CORP 8.01,9.01 08/15/07
NEXIA HOLDINGS INC NV 3.02 08/13/07
NORTEK INC DE 2.02,9.01 06/30/07
NORTIA CAPITAL PARTNERS, INC. 5.02,9.01 08/14/07
Novelis Inc. A6 5.02 05/15/07 AMEND
NOVELOS THERAPEUTICS, INC. DE 5.02,9.01 08/14/07
NU SKIN ENTERPRISES INC DE 1.01,9.01 08/08/07
NUCO2 INC /FL FL 2.02,7.01,9.01 08/15/07
O2DIESEL CORP 2.02,9.01 08/15/07
OLD REPUBLIC INTERNATIONAL CORP DE 5.02 08/14/07
Owens Corning DE 1.01,9.01 08/10/07
Pacific Coast National Bancorp CA 5.02,9.01 07/30/07
PACIFIC PREMIER BANCORP INC DE 7.01,9.01 08/14/07
PANDA ETHANOL, INC. NV 5.02,8.01,9.01 08/09/07
PAPA JOHNS INTERNATIONAL INC DE 1.01,5.02,9.01 08/09/07
PARLUX FRAGRANCES INC DE 2.02,9.01 08/14/07
PAVILION BANCORP INC 2.02,9.01 08/10/07
PERFICIENT INC DE 7.01 08/14/07 AMEND
Permanent Master Issuer plc 6.03,8.01 08/15/07
PEROT SYSTEMS CORP DE 1.01,9.01 08/10/07
PETROHAWK ENERGY CORP DE 8.01 08/13/07
PETROLEUM DEVELOPMENT CORP NV 1.01,2.03,9.01 08/15/07
PETSMART INC DE 2.02,9.01 08/15/07
PFIZER INC DE 8.01,9.01 08/15/07
PGMI, INC. UT 2.02,9.01 08/15/07
PINNACLE FINANCIAL PARTNERS INC TN 1.01,7.01,9.01 08/15/07
PIPELINE DATA INC 4.01 06/30/07 AMEND
PLANAR SYSTEMS INC OR 5.02,9.01 08/09/07
Platinum Research Organization, Inc. DE 4.01,9.01 08/03/07 AMEND
PLIANT CORPORORATION DE 7.01,9.01 08/15/07
POSSIS MEDICAL INC MN 7.01,9.01 08/15/07
POWERWAVE TECHNOLOGIES INC DE 5.02 08/13/07
PRECISION CASTPARTS CORP OR 5.02,9.01 08/14/07
PRIDE INTERNATIONAL INC DE 1.01 08/09/07
PRINCIPAL LIFE INSURANCE CO IA 9.01 08/10/07
PRINCIPAL LIFE INSURANCE CO IA 9.01 08/10/07
PRINCIPAL LIFE INSURANCE CO IA 9.01 08/10/07
PROCTER & GAMBLE CO OH 5.02 08/15/07
PROGRESSIVE CORP/OH/ OH 7.01,9.01 08/15/07
PROSPECT MEDICAL HOLDINGS INC DE 5.02 08/08/07
ProUroCare Medical Inc. 2.03 07/31/07 AMEND
PSB GROUP INC MI 2.02,7.01,9.01 07/23/07 AMEND
QEP CO INC DE 3.01,9.01 08/09/07
QUAKER CHEMICAL CORP PA 1.01 08/13/07
Rand Logistics, Inc. DE 7.01,9.01 08/14/07 AMEND
RAPTOR NETWORKS TECHNOLOGY INC 2.02,4.02,9.01 08/14/07
REMEDENT, INC. NV 1.01,5.02,7.01,9.01 08/15/07
RETRACTABLE TECHNOLOGIES INC TX 8.01,9.01 08/15/07
ROCK OF AGES CORP DE 5.02 08/15/07
ROYAL FINANCIAL, INC. 5.02,9.01 08/13/07
ROYAL INVEST INTERNATIONAL CORP. DE 1.01 06/19/07
ROYAL INVEST INTERNATIONAL CORP. DE 1.01 07/12/07
ROYAL INVEST INTERNATIONAL CORP. DE 1.01 07/25/07
Rx Staffing, Inc. 1.01,2.01,3.02,5.01,5.02,5.03, 08/09/07
5.06,9.01
SALESFORCE COM INC DE 2.02,9.01 08/15/07
SANFILIPPO JOHN B & SON INC DE 2.04 08/06/07
Sara Lee Corp MD 2.02,9.01 08/15/07
SBARRO INC NY 2.02,9.01 08/15/07
SCHAWK INC DE 8.01,9.01 08/14/07
SCOTTS MIRACLE-GRO CO OH 5.02,9.01 08/09/07
SENDTEC, INC. 2.02,9.01 08/14/07
Seneca Gaming Corp XX 2.02,9.01 08/15/07
SERENA SOFTWARE INC DE 5.02 08/09/07
SIGN MEDIA SYSTEMS INC 3.02 08/13/07
SIRENZA MICRODEVICES INC DE 5.02 08/09/07
SKY PETROLEUM, INC. NV 8.01 08/14/07
Smart Energy Solutions, Inc. UT 7.01,8.01,9.01 08/14/07
SOLAR ENERTECH CORP NV 4.02 08/14/07
Solo Cup CO DE 2.02,9.01 08/14/07
SPARK NETWORKS INC X0 7.01,8.01,9.01 08/14/07
Spectre Technology CORP NV 1.01,9.01 04/04/07 AMEND
Sputnik, Inc. NV 9.01 08/15/07
STEC, INC. CA 2.02,9.01 08/13/07
Sub-Urban Brands, Inc. NV 1.02 08/09/07
SUNPOWER CORP CA 1.01,7.01,9.01 08/09/07
SUPERIOR BANCORP DE 4.01 08/10/07
SUPERIOR INDUSTRIES INTERNATIONAL INC CA 2.02,9.01 08/09/07
Superior Offshore International Inc. DE 2.02,9.01 08/14/07
SURETY CAPITAL CORP /DE/ DE 8.01 08/14/07
Susser Holdings CORP DE 2.02,9.01 08/15/07
SUTRON CORP VA 2.02,9.01 08/13/07
SYMBION INC/TN DE 8.01,9.01 08/15/07
SYMYX TECHNOLOGIES INC DE 1.01,8.01,9.01 08/09/07
SYNERGY BRANDS INC DE 7.01 06/30/07
SYNERGY BRANDS INC DE 3.01 08/14/07
SYSCO CORP DE 5.02 08/13/07
TACTICAL AIR DEFENSE SERVICES, INC. NV 5.02,9.01 08/03/07 AMEND
TAKE TWO INTERACTIVE SOFTWARE INC DE 8.01 08/09/07
Targa Resources Partners LP DE 2.02,9.01 08/14/07
TARRAGON CORP NV 2.04,3.01,5.02 08/10/07
TECHNEST HOLDINGS INC NV 5.02 08/09/07
TECUMSEH PRODUCTS CO MI 2.02,5.02,7.01,9.01 08/09/07
TELTRONICS INC DE 2.02,9.01 08/15/07
TELULAR CORP DE 5.02,9.01 08/13/07
TENDERCARE INTERNATIONAL INC CO 8.01,9.01 08/14/07
Terra Nova Financial Group Inc TX 2.02,9.01 08/13/07
THORNBURG MORTGAGE INC MD 7.01,9.01 08/14/07
Thornburg Mortgage Securities Trust 2 DE 8.01,9.01 07/31/07
TOPPS CO INC DE 8.01,9.01 08/14/07
TORTOISE CAPITAL RESOURCES CORP 8.01,9.01 08/13/07
TRANS LUX CORP DE 8.01,9.01 08/15/07
TRANSGENOMIC INC DE 2.02,9.01 08/14/07
TRAVELZOO INC DE 5.02,9.01 08/13/07
TRI-CONTINENTAL CORP MD 7.01,9.01 08/15/07
TRIARC COMPANIES INC DE 1.01,5.02,9.01 08/15/07
TRIMERIS INC DE 2.02,9.01 08/09/07
TRM CORP OR 2.02,7.01,9.01 08/09/07
TRUE TEMPER SPORTS INC 2.02,7.01,9.01 08/15/07
TUFCO TECHNOLOGIES INC DE 2.02,7.01,9.01 08/14/07
UCBH HOLDINGS INC DE 1.01,9.01 08/14/07
ULTRA CLEAN HOLDINGS INC 8.01 08/13/07
UNION BANKSHARES CO/ME ME 1.01,5.02,9.01 08/13/07
UNITED AMERICA INDEMNITY, LTD E9 5.02,9.01 08/09/07
UNITED FUEL & ENERGY CORP NV 2.02,4.02,8.01,9.01 08/14/07
UNIVERSAL CITY DEVELOPMENT PARTNERS L 7.01 08/15/07
Universal City Florida Holding Co. I FL 7.01 08/15/07
UNIVERSAL ENERGY CORP. 7.01,9.01 08/09/07
UpSnap, Inc. 1.01,8.01,9.01 08/09/07
USChina Channel Inc 8.01 08/15/07
Vaughan Foods, Inc. OK 5.02,5.05,9.01 08/09/07
VCG HOLDING CORP CO 8.01,9.01 08/14/07
VCG HOLDING CORP CO 2.01,9.01 05/31/07 AMEND
VENDINGDATA CORP NV 4.02 08/11/07
Veri-Tek International, Corp. MI 2.02,9.01 08/14/07
VeriFone Holdings, Inc. DE 5.02,9.01 08/14/07
VERISIGN INC/CA DE 8.01,9.01 08/14/07
VERTIS INC DE 8.01,9.01 08/15/07
VERTRUE INC DE 8.01,9.01 08/15/07
VFINANCE INC DE 2.02,9.01 06/30/07
VIA Pharmaceuticals, Inc. DE 7.01,9.01 08/15/07
ViewPoint Financial Group X1 8.01,9.01 08/14/07
VION PHARMACEUTICALS INC DE 8.01,9.01 08/15/07
VIRAGE LOGIC CORP CA 2.01,9.01 08/15/07
VISTA GOLD CORP 8.01,9.01 08/13/07
Vivid Learning Systems, Inc. DE 5.02,9.01 08/14/07
VIVUS INC CA 8.01,9.01 08/15/07
VOLTERRA SEMICONDUCTOR CORP 5.02,7.01,9.01 08/15/07
VOUGHT AIRCRAFT INDUSTRIES INC DE 2.02,9.01 08/13/07
WAKO LOGISTICS GROUP INC 7.01,9.01 08/15/07
WALTER INDUSTRIES INC /NEW/ DE 7.01 08/14/07
Warner Chilcott Ltd D0 8.01,9.01 08/13/07
WCI COMMUNITIES INC 5.02,9.01 08/09/07
WEBSENSE INC DE 1.01,5.02,9.01 08/12/07
WESTAR ENERGY INC /KS KS 2.03,9.01 08/14/07
WFN CREDIT CO LLC DE 8.01,9.01 08/15/07
WIDEPOINT CORP DE 9.01 08/09/07
Willdan Group, Inc. DE 2.02,9.01 08/09/07
WILLIAM LYON HOMES DE 1.01,2.03,9.01 08/06/07
WILLIS LEASE FINANCE CORP DE 2.02,7.01,9.01 08/13/07
WITS BASIN PRECIOUS MINERALS INC MN 8.01 08/15/07
Xeno Transplants CORP 4.01,9.01 08/09/07
XFONE INC NV 1.01,2.01,9.01 08/15/07
XPENTION GENETICS INC 8.01,9.01 08/14/07
YADKIN VALLEY FINANCIAL CORP NC 7.01,9.01 08/13/07
YTB International, Inc. NY 2.02,9.01 08/14/07
ZIFF DAVIS HOLDINGS INC DE 8.01,9.01 08/14/07
ZIM CORP A6 2.02,9.01 08/15/07
ZOLTEK COMPANIES INC DE 1.01,8.01,9.01 08/14/07
http://www.sec.gov/news/digest/2007/dig081607.htm
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