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SEC NEWS DIGEST
Issue 2007-206 October 25, 2007
ENFORCEMENT PROCEEDINGS
SEC SETTLES CHARGES AGAINST GEOFFREY BROD FOR FAILURE TO DISCLOSUE
PERSONAL STOCK TRADES
On October 24, the Commission settled administrative and cease-and-
desist proceedings against Geoffrey Brod, formerly a portfolio manager
at Aeltus Investment Management, LLC (now known as ING Investment
Management Co.), a registered investment adviser. The Commission's
order finds that Brod violated the reporting and antifraud provisions
of the Investment Company Act of 1940 by engaging in undisclosed
personal stock trading. The order also finds that, from 1999 to 2003,
Brod concealed approximately 3,500 personal stock trades, including
transactions in stocks held by mutual funds he managed, by failing to
disclose his trades and falsifying internal reports.
Based on the above, the order requires Brod to cease and desist from
committing or causing any violations of Section 17(j) of the
Investment Company Act and Rule 17j-1 promulgated thereunder, to pay a
$100,000 civil penalty, and to pay $63,892.67 in disgorgement and
$11,107.33 in prejudgment interest. The order also bars Brod from
association with any investment adviser, and prohibits him from
serving or acting as an employee, officer, director, member of an
advisory board, investment adviser or depositor of, or principal
underwriter for, a registered investment company or affiliated person
of such investment adviser, depositor, or principal underwriter. Brod
consented to the issuance of the order without admitting or denying
the Commission's findings. (Rel. IA-2673; Rel. IC-28022; File No. 3-
12611)
SEC V. ROBERT LOFFREDI, ET AL.
On October 19, Judge Conlon of the U.S. District Court for the
Northern District of Illinois, Eastern Division, issued a
Temporary Restraining Order and Asset Freeze against Robert A.
Loffredi, of Hinsdale, Ill, and Raymond Financial Group, Inc. The
Order, among other things, enjoined Loffredi and Raymond Financial
from violating the antifraud provisions of the Securities Act of
1933 and Securities Exchange Act of 1934 in connection with
the offer and sale of securities and froze their assets. The
Court also entered an agreed order freezing the assets of Advanced
Sales and Marketing Corporation, a company owned by Loffredi's
wife.
The Commission filed a complaint against Loffredi and Raymond
Financial earlier that same day. According to the allegations in the
Commission's complaint, from at least August 2003 to the present,
Loffredi, a registered representative and the President of Raymond
Financial, raised at least $2.8 million from at least fourteen
customers by falsely representing that he would invest their funds in
securities, primarily in the form of purported certificates of deposit
(CDs). Instead of using the customers' money to purchase securities,
Loffredi used the customers' funds to pay his personal and business
expenses, to make payments to relief defendant Advanced Sales, to make
payments to other customers who had invested in fictitious securities,
and on at least one occasion to make payments on behalf of his wife,
Karen Loffredi, a relief defendant. The Commission further alleges
that Loffredi prepared and gave customers Raymond Financial account
statements which falsely represented that customers owned CDs and
other securities, and he also sent them false IRS Forms 1099.
In addition to the emergency relief already obtained, the complaint
seeks preliminary and permanent injunctions against Loffredi and
Raymond Financial. The complaint also seeks disgorgement of ill-gotten
gains from Loffredi, Raymond Financial, Advanced Sales and Karen
Loffredi, and the imposition of civil penalties against Loffredi and
Raymond Financial.
[SEC v. Robert A. Loffredi, et al., Civil Action 07 C 5927, United
States District Court for the Northern District of Illinois, filed
Oct. 19, 2007] (LR-20343)
SEC V. DAVID BROOKS
Today, the Securities and Exchange Commission announced the filing of
securities fraud charges against David H. Brooks, the former Chief
Executive Officer and Chairman of the Board at DHB Industries, Inc.,
a major supplier of body armor to the U.S. military and law
enforcement agencies. The SEC alleges that Brooks engaged in a
pervasive accounting fraud at DHB between 2003 and 2005, violated
insider trading laws in 2004, and used millions of dollars in
corporate funds to pay personal expenses.
The SEC's complaint alleges that Brooks, with the assistance of DHB's
former chief financial officer and chief operating officer,
manipulated the company's gross profit margin and net income by
overstating inventory values, falsifying journal entries, and failing
to include appropriate charges for obsolete inventory.
According to the SEC's complaint, Brooks also funneled millions of
dollars out of DHB through fraudulent transactions with a related
entity he controlled. The complaint further alleges that Brooks used
company credit cards and checks to pay millions of dollars in personal
expenses, including luxury cars, jewelry, art, real estate,
extravagant vacations, personal aircraft usage, and horse training. As
a result of the misconduct by Brooks, DHB filed false and misleading
financial documents with the SEC and made false statements in company
press releases.
The complaint also alleges that Brooks sold his personal DHB stock for
proceeds of about $186 million at the end of 2004 at the height of
DHB's stock price, and did so while in possession of material, non-
public information - a violation of insider trading laws.
The SEC's complaint charges Brooks with violating Section 17(a) of the
Securities Act of 1933, Sections 10(b), 13(b)(5), and 14(a) of the
Securities Exchange Act of 1934 and Rules 10b-5, 13a-14, 13b2-1, 13b2-
2, and 14a-9 thereunder, and aiding and abetting DHB's violations of
Sections 13(a), 13(b)(2)(A), and 13(b)(2)(B) of the Exchange Act and
Rules 12b-20, 13a-1, 13a-11, and 13a-13 thereunder. In its complaint,
the SEC seeks a permanent injunction, disgorgement, civil penalties,
insider trading penalties, and an officer and director bar. In
addition, the complaint seeks reimbursement by Brooks to DHB of
bonuses and profits from stock sales pursuant to Section 304 of the
Sarbanes-Oxley Act.
The United States Attorney's Office for the Eastern District of New
York conducted a parallel investigation of this matter. Simultaneous
with the SEC's announcement of this action, the United States
Attorney's Office announced the filing of charges against Brooks for
securities fraud, conspiracy to commit securities fraud, insider
trading, and obstructing the SEC's investigation, among other charges.
The staff's investigation is continuing. [SEC v. David H. Brooks, U.S.
District Court for the Southern District of Florida, Civil Action No.
07-61526-CIV-Altonaga/Turnoff, filed Oct. 25, 2007] (LR-20345)
INVESTMENT COMPANY ACT RELEASES
CLAYMORE EXCHANGE-TRADED FUND TRUST, ET AL.
An order has been issued on an application filed by Claymore Exchange-
Traded Fund Trust, et al. The order amends a prior order that
permits: (a) open-end management investment companies, whose series
are based on certain equity securities indices, to issue
shares of limited redeemability; (b) secondary market transactions
in the shares of the series to occur at negotiated prices; (c)
dealers to sell shares to purchasers in the secondary market
unaccompanied by a prospectus when prospectus delivery is not
required by the Securities Act of 1933; (d) certain affiliated
persons of the series to deposit securities into, and receive
securities from, the series in connection with the purchase and
redemption of aggregations of the series' shares; and (e) under
certain circumstances, certain series to pay redemption proceeds more
than seven days after the tender of shares. The prior order also
permits certain registered management investment companies and unit
investment trusts outside of the same group of investment companies as
the series to acquire shares of the series. The amended order permits
open-end management investment companies in the prior order to offer
additional series based on certain fixed income securities indices. In
addition, the amended order deletes a condition related to future
relief. (Rel. IC-28019 - October 23)
AMERICAN CAPITAL STRATEGIES, LTD.
An order has been issued under Section 61(a)(3)(B) of the Investment
Company Act on an application filed by American Capital Strategies,
Ltd. The order approves applicant's proposal to grant certain stock
options to non-employee directors under applicant's 2007 stock option
plan. (Rel. IC-28020 - October 24)
VAN ECK ASSOCIATES CORPORATION, ET AL.
An order has been issued on an application filed by Van Eck Associates
Corporation, et al. The order amends an existing order that permits:
(a) open-end management investment companies, whose series are based
on equity securities indices (Equity Funds), to issue shares of
limited redeemability (Shares); (b) secondary market transactions in
Shares of the Equity Funds to occur at negotiated prices; (c) dealers
to sell Shares of Equity Funds to purchasers in the secondary market
unaccompanied by a prospectus when prospectus delivery is not required
by the Securities Act of 1933; (d) certain affiliated persons of the
Equity Funds to deposit securities into, and receive securities from,
the Equity Funds in connection with the purchase and redemption of
aggregations of Shares; (e) certain registered management investment
companies and unit investment trusts outside of the same group of
investment companies as the Equity Funds to acquire Shares; and (f)
under certain circumstances, the Equity Funds that track certain
foreign equity securities indices to pay redemption proceeds more than
seven days after the tender of Shares. The amended order permits
applicants to offer additional series based on fixed income securities
indices. (Rel. IC-28021 - October 24)
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE
A proposed rule change (SR-NYSE-2007-90) filed by the New York Stock
Exchange to amend the fee charged to member organizations for
participation in the Exchange's Continuing Education Program 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 October 29. (Rel. 34-56697)
APPROVAL OF PROPOSED RULE CHANGE
The Commission issued an order approving a proposed rule change, as
modified by Amendment No. 1 thereto, by the International Securities
Exchange relating to specific performance commitments for Primary
Market Makers (SR-ISE-2007-61). Publication is expected in the Federal
Register during the week of October 29. (Rel. 34-56694)
ACCELERATED APPROVAL OF PROPOSED RULE CHANGE
The Commission published notice of, and granted accelerated approval
to, a proposed rule change (SR-NYSEArca-2007-111) submitted by NYSE
Arca through its wholly owned subsidiary, NYSE Arca Equities, Inc.,
pursuant to Rule 19b-4 under the Securities Exchange Act of 1934
relating to the listing and trading of shares of the HealthShares™
Ophthalmology Exchange-Traded Fund. Publication is expected in the
Federal Register during the week of October 29. (Rel. 34-56695)
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 SOUTHWEST AIRLINES CO, 2702 LOVE FIELD DR, P O BOX 36611, DALLAS, TX,
75235, 2147924000 - 6,000,000 ($85,084,050.00) Equity,
(File 333-146891 - Oct. 24) (BR. 05C)
S-3ASR AGILENT TECHNOLOGIES INC, 5301 STEVENS CREEK BLVD, SANTA CLARA, CA,
95051, 408-345-8647 - 0 ($0.00) Debt, (File 333-146892 - Oct. 24)
(BR. 10A)
S-8 OCEAN BIO CHEM INC, 4041 SW 47TH AVE, FORT LAUDERDALE, FL, 33314,
9545876280 - 145,000 ($261,000.00) Equity, (File 333-146893 - Oct. 24)
(BR. 06C)
S-8 Investors Bancorp Inc, 101 JFK PARKWAY, SHORT HILLS, NJ, 07078,
800-252-8119 - 0 ($118,875,043.00) Equity, (File 333-146894 - Oct. 24)
(BR. 07B)
SB-2 Easy Energy Inc, 49 HA'AROSHET STREET P.O. BOX 6409, KARMIEL, L3,
20100, 972-498-88314 - 3,033,319 ($90,999.57) Equity,
(File 333-146895 - Oct. 24) (BR. 10A)
S-8 MAGNETEK, INC., N49 W13650 CAMPBELL DRIVE, MENOMONEE FALLS, WI, 53051,
262-783-3500 - 0 ($3,927,000.00) Equity, (File 333-146898 - Oct. 24)
(BR. 10B)
S-1 Global Alternative Asset Management, Inc., 435 DEVON PARK DRIVE,
BUILDING 700, WAYNE, PA, 19087, 484-586-8230 -
0 ($402,500,000.00) Equity, (File 333-146899 - Oct. 24) (BR. 04)
S-8 RESPONSE BIOMEDICAL CORP, 8900 GLENLYON PARKWAY SUITE 100, BURNABY, A1,
V5J 5J8, 6046814101 - 5,500,000 ($5,445,000.00) Equity,
(File 333-146900 - Oct. 24) (BR. 09B)
S-8 MONMOUTH REAL ESTATE INVESTMENT CORP, 3499 ROUTE 9 N, SUITE 3-C,
JUNIPER BUSINESS PLAZA, FREEHOLD, NJ, 07728, 7325779996 -
1,500,000 ($12,600,000.00) Equity, (File 333-146902 - Oct. 24) (BR. 08B)
S-8 INNUITY, INC. /UT/, 8644 154TH AVENUE, SEATTLE, WA, 98052,
425-497-9909 - 0 ($600,000.00) Equity, (File 333-146903 - Oct. 24)
(BR. 04A)
S-8 PROCTER & GAMBLE CO, ONE PROCTER & GAMBLE PLZ, CINCINNATI, OH, 45202,
5139831100 - 14,000,000 ($994,980,000.00) Equity, (File 333-146904 -
Oct. 24) (BR. 06B)
S-B LANDWIRTSCHAFTLICHE RENTENBANK, HOCHSTRASSE 2, FRANKFURT, I8, 60313,
01149692107247 - 0 ($5,000,000,000.00) Non-Convertible Debt,
(File 333-146905 - Oct. 24) (BR. DN)
F-6 AGRIA CORP, ROOM 706, 7/F, HUANTAI BUILDING,
NO. 12A, SOUTH STREET ZHONGGUANCUN, HAIDIAN DISTRICT, BEIJING, F4,
100081, (86-10) 6210 9288 - 0 ($5,000,000.00) Equity,
(File 333-146906 - Oct. 24) (BR. 09)
S-8 CVR ENERGY INC, 2277 PLAZA DRIVE, SUITE 500, SUGAR LAND, TX, 77479,
(281) 207-7711 - 0 ($921,882.00) Equity, (File 333-146907 - Oct. 24)
(BR. 04A)
F-6 AIRMEDIA GROUP INC., ROOM 707, NO. 8 YONG AN DONG LI,
JIANGUOMEN WAI, CHAOYANG DISTRICT, BEIJING, F4, 100022,
(86-10) 5126-5816 - 0 ($5,000,000.00) ADRs/ADSs, (File 333-146908 -
Oct. 24) (BR. )
SB-2 GDJ INTERNATIONAL METALS INC., 837 WEST HASTINGS STREET, SUITE 308,
VANCOUVER, A1, V6C 3N6, (604) 632-0085 -
2,000,000 ($200,000.00) Equity, (File 333-146909 - Oct. 24) (BR. )
S-8 RAVEN MOON ENTERTAINMENT INC, 2005 TREE FORK LANE, STE 101, LONGWOOD,
FL, 32750, 407-774-4462 - 50,000,000 ($150,000.00) Equity,
(File 333-146910 - Oct. 24) (BR. 05C)
S-1 Kanders Acquisition CO, ONE LANDMARK SQUARE, 22ND FLOOR, STAMFORD, CT,
06901, 203-428-9600 - 0 ($805,000,000.00) Equity, (File 333-146911 -
Oct. 24) (BR. )
S-8 SYS, 5050 MURPHY CANYON ROAD, SUITE 200, SAN DIEGO, CA, 92123,
8587155500 - 1,000,000 ($2,305,000.00) Equity, (File 333-146912 -
Oct. 24) (BR. 03B)
F-1 Focus Media Holding LTD, 28-30/F, ZHAO FENG WORLD TRADE BUILDING,
369 JIANGSU ROAD, SHANGHAI, F4, 100032, 86 21 3212 4661 -
78,604,365 ($871,486,594.75) Equity, (File 333-146913 - Oct. 24)
(BR. 11C)
S-1 Trakrs Trust I, 800 SCUDDERS MILL ROAD, PLAINSBORO, NJ, 08536,
609-282-6056 - 0 ($50,000,000.00) Other, (File 333-146914 - Oct. 24)
(BR. )
S-8 Mogul Energy International, Inc., 520 PIKE TOWER, SUITE 2210, SEATTLE,
WA, 98101, 206-357-4220 - 4,460,000 ($490,600.00) Equity,
(File 333-146915 - Oct. 24) (BR. 04B)
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
--------------------------------------------------------------------------------------------------------
1ST CONSTITUTION BANCORP NJ 2.02,9.01 10/24/07
a21, Inc. DE 5.02,9.01 10/24/07
AARON RENTS INC GA 2.02,9.01 10/24/07
ABAXIS INC CA 2.02,9.01 10/24/07
ACCESS NATIONAL CORP VA 2.02,7.01,9.01 10/23/07
ACCESS NATIONAL CORP VA 5.03,9.01 10/23/07
ACCESS PHARMACEUTICALS INC DE 1.01 10/24/07
ACE LTD D0 2.02,9.01 10/23/07
ACORN FACTOR, INC. DE 2.03 10/18/07
ACUITY BRANDS INC DE 1.01,1.02,2.03 10/19/07
ACXIOM CORP DE 2.02,9.01 09/30/07
ADVANCED ENERGY INDUSTRIES INC DE 2.02,9.01 10/24/07
ADVENT SOFTWARE INC /DE/ DE 2.02,9.01 10/24/07
AFFILIATED MANAGERS GROUP INC DE 2.02,8.01,9.01 10/24/07
AFFINITY TECHNOLOGY GROUP INC DE 8.01,9.01 10/23/07
AFFYMETRIX INC DE 2.02,9.01 10/24/07
AIR PRODUCTS & CHEMICALS INC /DE/ DE 2.02,9.01 10/24/07
AIR PRODUCTS & CHEMICALS INC /DE/ DE 7.01,9.01 10/24/07
AK STEEL HOLDING CORP DE 5.02 10/18/07
AKAMAI TECHNOLOGIES INC DE 2.02,9.01 10/24/07
Aldabra 2 Acquisition Corp. DE 1.01,7.01,9.01 10/24/07
ALFA CORP DE 2.02,9.01 10/24/07
ALIGN TECHNOLOGY INC DE 5.02,9.01 10/22/07
ALIGN TECHNOLOGY INC DE 2.02,9.01 10/24/07
ALLEGHENY TECHNOLOGIES INC DE 2.02,9.01 10/24/07
ALLEGHENY TECHNOLOGIES INC DE 2.02,7.01,9.01 10/24/07
ALMOST FAMILY INC DE 1.01,3.02,9.01 10/24/07
Alternative Loan Trust 2006-40T1 7.01,9.01 10/19/07
Alternative Loan Trust 2006-6CB 7.01,9.01 10/19/07
Alternative Loan Trust 2006-J4 7.01,9.01 10/19/07
Alternative Loan Trust 2007-12T1 DE 7.01,9.01 10/19/07
Alternative Loan Trust 2007-13 DE 7.01,9.01 10/19/07
Alternative Loan Trust 2007-15CB DE 7.01,9.01 10/19/07
Alternative Loan Trust 2007-1T1 7.01,9.01 10/19/07
Alternative Loan Trust 2007-4CB 7.01,9.01 10/19/07
Alternative Loan Trust 2007-9T1 DE 7.01,9.01 10/19/07
Alternative Loan Trust 2007-AL1 DE 7.01,9.01 10/22/07
Alternative Loan Trust 2007-J2 DE 7.01,9.01 10/19/07
Alternative Loan Trust 2007-OA9 7.01,9.01 10/23/07
Alternative Loan Trust 2007-OH1 DE 7.01,9.01 10/22/07
Alternative Loan Trust 2007-OH2 7.01,9.01 10/22/07
Alternative Loan Trust 2007-OH3 7.01,9.01 10/22/07
AMB FINANCIAL CORP DE 2.02,9.01 10/24/07
AMBAC FINANCIAL GROUP INC DE 2.02,9.01 10/24/07
AMERICAN COMMERCIAL LINES INC. DE 2.02,7.01,9.01 10/24/07
AMERICAN ELECTRIC POWER CO INC NY 2.02,9.01 10/24/07
AMERICAN ORIENTAL BIOENGINEERING INC CO 2.01 10/18/07
AMERICAN TECHNOLOGY CORP /DE/ DE 4.01 09/19/07 AMEND
AMERICREDIT CORP TX 2.02,9.01 10/24/07
AMERIGROUP CORP 2.02,9.01 10/24/07
AMERIPRISE FINANCIAL INC DE 2.02,9.01 10/24/07
AMGEN INC DE 2.02,9.01 10/24/07
AMIS HOLDINGS INC 2.02,9.01 10/24/07
ANDREW CORP DE 8.01,9.01 10/24/07
ANHEUSER-BUSCH COMPANIES, INC. DE 2.02,9.01 10/24/07
ANIXTER INTERNATIONAL INC DE 2.02,9.01 10/23/07
APPLERA CORP DE 2.02,9.01 10/24/07
ARABIAN AMERICAN DEVELOPMENT CO DE 1.01 10/21/07
ARCTIC CAT INC MN 2.02,9.01 10/24/07
ARKANSAS BEST CORP /DE/ DE 5.03,9.01 10/18/07
ARRIS GROUP INC DE 2.02,8.01,9.01 10/24/07
ARTS WAY MANUFACTURING CO INC DE 5.02 10/23/07
ARTS WAY MANUFACTURING CO INC DE 9.01 10/23/07
ASCENDIA BRANDS, INC. DE 1.01,5.02,7.01,9.01 10/17/07
AskMeNow,Inc. DE 1.01,9.01 10/17/07
ASPECT MEDICAL SYSTEMS INC DE 2.02,9.01 10/24/07
ASPECT MEDICAL SYSTEMS INC DE 2.02,9.01 10/24/07 AMEND
ASSET ACCEPTANCE CAPITAL CORP 5.02 10/19/07
ASSOCIATED BANC-CORP WI 7.01 10/24/07
ATMI INC DE 2.02,9.01 10/24/07
AUTONATION INC /FL DE 2.02,8.01,9.01 10/23/07
AVI BIOPHARMA INC OR 4.02,9.01 10/22/07
AVIATION UPGRADE TECHNOLOGIES INC 3.03,5.03,9.01 10/22/07
AVIGEN INC \DE DE 2.02,9.01 10/24/07
AVIS BUDGET GROUP, INC. DE 7.01,9.01 10/23/07
AXIOM III, Inc. NV 1.01,2.01,5.02,5.06,9.01 10/22/07
AXIS CAPITAL HOLDINGS LTD 5.02,9.01 10/23/07
AXSYS TECHNOLOGIES INC DE 2.02,9.01 10/24/07
BANCORPSOUTH INC MS 2.02,9.01 10/23/07
BANK OF FLORIDA CORP FL 2.02,9.01 10/23/07
Bear Stearns Structured Products Inc. DE 9.01 10/24/07
BEAZER HOMES USA INC DE 8.01,9.01 10/23/07
BENTLEY PHARMACEUTICALS INC DE 1.02,8.01,9.01 10/22/07
BEVERLY NATIONAL CORP MA 2.02,9.01 10/24/07
BIO SOLUTIONS MANUFACTURING, INC. NY 1.01,1.02,2.01,2.03,2.05,2.06, 10/22/07
9.01
BIOSANTE PHARMACEUTICALS INC DE 3.01 10/22/07
BIOSPHERE MEDICAL INC DE 2.02,9.01 10/24/07
BIOTIME INC CA 5.02,7.01,9.01 10/23/07
BIOTIME INC CA 5.02 10/10/07 AMEND
Blackstone Group L.P. DE 1.01 10/18/07
BLOCKBUSTER INC DE 9.01 08/08/07 AMEND
BOEING CAPITAL CORP DE 2.02,8.01,9.01 10/24/07
BOEING CO DE 2.02,9.01 10/24/07
BOISE CASCADE HOLDINGS, L.L.C. DE 1.01,8.01,9.01 10/18/07
BOLT TECHNOLOGY CORP CT 2.02,9.01 10/24/07
BOSTON CAPITAL REAL ESTATE INVESTMENT MD 8.01,9.01 10/23/07
BOSTON PROPERTIES INC DE 2.02,9.01 10/24/07
BOSTON PROPERTIES LTD PARTNERSHIP 2.02,9.01 10/24/07
BPZ RESOURCES, INC. TX 7.01,9.01 10/24/07
BPZ RESOURCES, INC. TX 7.01,9.01 10/24/07
BROADVISION INC DE 2.02,9.01 10/24/07
BUSINESS OBJECTS S.A. 2.02,9.01 10/23/07
CADENCE DESIGN SYSTEMS INC DE 2.02,9.01 10/24/07
CALIFORNIA FIRST NATIONAL BANCORP CA 2.02,7.01,9.01 10/24/07
CANTEL MEDICAL CORP DE 5.02 10/18/07
Cape Fear Bank CORP NC 8.01,9.01 10/23/07
CAPITAL CORP OF THE WEST CA 2.02,9.01 10/22/07
CAPITAL GROWTH SYSTEMS INC /FL/ FL 1.01,9.01 10/24/07
CARACO PHARMACEUTICAL LABORATORIES LT MI 2.02,9.01 10/24/07
Cardium Therapeutics, Inc. 8.01,9.01 10/22/07
CARLISLE COMPANIES INC DE 2.02,9.01 10/24/07
CARROLLTON BANCORP MD 5.02,7.01,9.01 10/24/07
CASCADE FINANCIAL CORP DE 2.02,9.01 09/30/07
Celsius Holdings, Inc. NV 2.02,7.01,9.01 10/24/07
CHANNELL COMMERCIAL CORP DE 2.02 10/19/07
CHARLES RIVER LABORATORIES INTERNATIO 5.02 10/24/07
CHEESECAKE FACTORY INC DE 2.02,8.01,9.01 10/18/07
CHEVIOT FINANCIAL CORP 2.02,9.01 10/24/07
CHITTENDEN CORP /VT/ VT 8.01,9.01 10/24/07
CHL Mortgage Pass-Through Trust 2007- DE 7.01,9.01 10/19/07
CHL Mortgage Pass-Through Trust 2007- DE 7.01,9.01 10/19/07
CHL Mortgage Pass-Through Trust 2007- DE 7.01,9.01 10/19/07
CHOICE HOTELS INTERNATIONAL INC /DE DE 2.02,9.01 10/24/07
CHOICEPOINT INC GA 2.02,9.01 10/24/07
CIGNA CORP DE 7.01 10/24/07
CINCINNATI FINANCIAL CORP OH 2.02,7.01,9.01 10/24/07
CIRRUS LOGIC INC DE 2.02,9.01 10/24/07
CME GROUP INC. DE 2.02,9.01 10/24/07
COBRA ELECTRONICS CORP DE 2.02,9.01 10/24/07
COCA COLA CO DE 5.02 10/24/07
COCA COLA ENTERPRISES INC DE 2.02 10/24/07
COFFEE HOLDING CO INC NV 8.01 10/18/07
COHEN & STEERS INC 2.02,9.01 10/24/07
Collexis Holdings, Inc. 2.01,9.01 02/14/07 AMEND
Colonial Bankshares Inc X1 5.03,9.01 10/18/07
COLUMBIA BANCORP \OR\ OR 2.02,9.01 10/24/07
COLUMBUS VENTURES INC. NV 4.01 10/19/07
CombiMatrix Corp DE 2.02,9.01 10/24/07
COMMERCE ENERGY GROUP, INC. DE 2.02,9.01 10/24/07
COMMERCE GROUP CORP /WI/ WI 5.02 10/21/07
COMMERCIAL METALS CO DE 7.01,9.01 10/24/07
Commercial Vehicle Group, Inc. DE 2.02,7.01,9.01 10/23/07
COMMONWEALTH BANKSHARES INC VA 2.02 10/24/07
COMMUNITY TRUST BANCORP INC /KY/ KY 7.01,8.01 10/23/07
COMPUTER SOFTWARE INNOVATIONS INC 3.02 10/24/07
CONOCOPHILLIPS DE 2.02,9.01 10/24/07
CONTINAN COMMUNICATIONS, INC. NV 5.02 10/15/07
CORE LABORATORIES N V P7 2.02,9.01 09/30/07
CORNING INC /NY NY 2.02,9.01 09/30/07
COSTAR GROUP INC 2.02,9.01 10/24/07
COUNTRYWIDE FINANCIAL CORP DE 5.02,9.01 10/18/07
COVANCE INC DE 2.02,9.01 10/24/07
COVANTA HOLDING CORP DE 2.02,9.01 10/24/07
CRM Holdings, Ltd. 8.01,9.01 10/24/07
CROSS A T CO RI 2.02 09/29/07
CROSSTEX ENERGY INC DE 7.01,9.01 10/24/07
CROSSTEX ENERGY LP DE 7.01,9.01 10/24/07
CSK AUTO CORP DE 5.02,9.01 10/20/07
CTS CORP IN 2.02,9.01 10/23/07
CULLEN FROST BANKERS INC TX 2.02,9.01 10/24/07
CYBER DEFENSE SYSTEMS INC FL 8.01,9.01 10/24/07
CYBERDEFENDER CORP CA 4.01,9.01 10/19/07
CYBERDEFENDER CORP CA 1.01,9.01 10/22/07
CYBEROPTICS CORP MN 2.02,7.01,9.01 10/24/07
CYBEX INTERNATIONAL INC NY 2.02,9.01 10/24/07
Dairy Fresh Farms Inc. 1.01,2.01,9.01 10/23/07
DATASCOPE CORP DE 5.02,9.01 10/21/07
DCP Holding CO OH 8.01,9.01 10/24/07
DECORIZE INC DE 1.01,2.03,8.01,9.01 10/19/07
DENBURY RESOURCES INC DE 7.01,9.01 10/19/07
DESERT MINING INC NV 5.02 10/24/07
DIASYS CORP DE 3.02,9.01 10/24/07
DIOMED HOLDINGS INC NV 7.01,9.01 10/22/07
DOCUMENT SECURITY SYSTEMS INC NY 8.01,9.01 10/24/07
DOLLAR THRIFTY AUTOMOTIVE GROUP INC DE 5.02 10/19/07
DOVER CORP DE 2.02,9.01 10/24/07
DOVER DOWNS GAMING & ENTERTAINMENT IN DE 7.01,9.01 10/24/07
DOVER MOTORSPORTS INC DE 7.01,9.01 10/24/07
DREAMS INC UT 7.01,9.01 10/24/07
DRI CORP NC 7.01,9.01 10/24/07
DYADIC INTERNATIONAL INC DE 1.01,5.02,8.01,9.01 10/18/07
DYAX CORP DE 2.02,9.01 10/24/07
EASTERN CO CT 2.02,7.01,9.01 10/24/07
EDGEWATER TECHNOLOGY INC/DE/ DE 2.02 10/24/07
ELECTRO SCIENTIFIC INDUSTRIES INC OR 2.02,9.01 10/24/07
ELITE PHARMACEUTICALS INC /DE/ DE 8.01 10/24/07
EMC INSURANCE GROUP INC IA 5.02 10/22/07
ENCORE WIRE CORP /DE/ DE 2.02,7.01,9.01 10/23/07
EQUITY ONE, INC. 8.01,9.01 10/23/07
ETHAN ALLEN INTERIORS INC DE 2.02,9.01 09/30/07
EURONET WORLDWIDE INC DE 2.02,9.01 10/23/07
EXPRESS SCRIPTS INC DE 2.02,7.01,9.01 09/30/07
Exterra Energy Inc. NV 5.02 10/24/07
Extra Space Storage Inc. MD 2.01,9.01 10/24/07
F5 NETWORKS INC WA 2.02,9.01 10/24/07
F5 NETWORKS INC WA 5.02,9.01 10/22/07
FAIRPOINT COMMUNICATIONS INC DE 8.01,9.01 10/24/07
FAUQUIER BANKSHARES INC VA 2.02,9.01 10/22/07
FBR CAPITAL MARKETS CORP 2.02,9.01 10/24/07
FINDEX COM INC NV 1.01,2.01,8.01,9.01 10/18/07
FIRST ADVANTAGE CORP DE 2.02,9.01 10/24/07
FIRST FINANCIAL BANCORP /OH/ OH 2.02,9.01 10/23/07
FIRST FINANCIAL HOLDINGS INC /DE/ DE 2.02,9.01 10/23/07 AMEND
FIRST MIDWEST BANCORP INC DE 2.02,7.01,9.01 10/24/07
FIRST NATIONAL LINCOLN CORP /ME/ ME 2.02 09/30/07
FISERV INC WI 2.02,9.01 10/24/07
FORCE PROTECTION INC NV 1.01 10/18/07
FORMFACTOR INC DE 2.02,9.01 10/24/07
FORTUNE INDUSTRIES, INC. DE 1.01,2.03,9.01 10/18/07
Fox Chase Bancorp Inc X1 5.03,9.01 10/23/07
Freedom Acquisition Holdings, Inc. DE 8.01,9.01 10/24/07
FREEPORT MCMORAN COPPER & GOLD INC DE 2.02,9.01 10/24/07
FREMONT GENERAL CORP NV 1.01,3.03,9.01 10/23/07
FRONTIER FINANCIAL CORP /WA/ WA 2.02,9.01 10/22/07
FUQI INTERNATIONAL, INC. DE 5.03,7.01,9.01 10/22/07
GARDNER DENVER INC DE 2.02,9.01 10/24/07
GateHouse Media, Inc. DE 1.01,7.01,9.01 10/23/07
GATEWAY FINANCIAL HOLDINGS INC NC 8.01,9.01 10/24/07
GENERAL DYNAMICS CORP DE 2.02,9.01 10/24/07
GENZYME CORP MA 8.01 10/22/07
GENZYME CORP MA 2.02,9.01 10/24/07
GEORESOURCES INC CO 8.01,9.01 10/23/07
GEVITY HR INC FL 5.02 10/24/07
GLADSTONE CAPITAL CORP MD 8.01 10/22/07
GLOBAL INDUSTRIES LTD LA 1.01,2.03,9.01 10/18/07
GLOBAL PARTNERS LP 1.01,2.03,9.01 10/23/07
GLOBAL SERVICES PARTNERS ACQUISITION DE 8.01,9.01 10/18/07
GMACM Home Equity Loan Trust 2007-HE3 DE 8.01,9.01 10/24/07
GOLDEN STAR RESOURCES LTD 8.01,9.01 10/24/07
GP STRATEGIES CORP DE 8.01,9.01 10/22/07
GREAT ATLANTIC & PACIFIC TEA CO INC MD 8.01,9.01 10/23/07
Great Lakes Dredge & Dock CORP DE 1.01,8.01,9.01 10/19/07
GSI COMMERCE INC DE 2.02,9.01 10/24/07
GVI SECURITY SOLUTIONS INC DE 5.02 10/22/07
HANMI FINANCIAL CORP DE 2.02,9.01 10/24/07
HARLEY DAVIDSON INC WI 2.02,9.01 10/19/07
HARMAN INTERNATIONAL INDUSTRIES INC / DE 5.02 10/18/07
HARSCO CORP DE 2.02 10/24/07
HARTMARX CORP/DE DE 8.01,9.01 10/18/07
HCC INSURANCE HOLDINGS INC/DE/ DE 1.01,2.03,9.01 10/24/07
HEALTHCARE REALTY TRUST INC MD 5.03,9.01 10/23/07
Heelys, Inc. DE 2.02,9.01 10/24/07
Heelys, Inc. DE 8.01 10/24/07
HELMERICH & PAYNE INC DE 7.01,9.01 10/24/07
HERCULES INC DE 8.01,9.01 09/24/07
HERCULES INC DE 2.02,9.01 09/30/07
Hi-Tech Wealth Inc. NV 5.02 09/12/07
HILTON HOTELS CORP DE 1.01,3.03,5.01,8.01,9.01 10/24/07
HIRERIGHT INC 5.02 10/22/07 AMEND
HMN FINANCIAL INC DE 2.02,9.01 10/19/07
HOLA COMMUNICATIONS INC. NV 7.01,9.01 10/17/07
HOME FEDERAL BANCORP INC 5.03,9.01 10/19/07
HOME SOLUTIONS OF AMERICA INC DE 1.01,3.02,9.01 10/18/07
HOST AMERICA CORP DE 7.01 10/19/07
HUDSON CITY BANCORP INC DE 2.02,9.01 10/24/07
HUTTIG BUILDING PRODUCTS INC DE 2.02,9.01 10/24/07
HUTTON HOLDINGS CORP NV 5.02 10/23/07
IBIS TECHNOLOGY CORP MA 2.02,9.01 10/24/07
ICAHN ENTERPRISES L.P. DE 9.01 10/24/07
IMAGE ENTERTAINMENT INC DE 8.01,9.01 10/22/07
INFE HUMAN RESOURCES INC NV 8.01 10/24/07
INHIBITEX, INC. 8.01,9.01 10/24/07
INPHONIC INC 5.02,5.03 10/18/07
INTEGRATED DEVICE TECHNOLOGY INC DE 2.02,7.01,9.01 10/24/07
INTEGRATED DEVICE TECHNOLOGY INC DE 5.02,9.01 10/24/07
International Coal Group, Inc. DE 2.02,7.01,9.01 10/24/07
International Fight League, Inc. DE 1.01,9.01 10/23/07
International Gold Resources, Inc. 5.02,9.01 10/24/07
INTRICON CORP PA 2.02,7.01,9.01 10/24/07
INVERNESS MEDICAL INNOVATIONS INC DE 7.01 10/18/07
IPARTY CORP DE 2.02,9.01 10/24/07
IPC HOLDINGS LTD 2.02,5.02,9.01 10/23/07
IRELAND INC. NV 3.02 10/19/07
IROBOT CORP DE 2.02,9.01 10/24/07
Isilon Systems, Inc. DE 5.02,8.01,9.01 10/23/07
J P MORGAN CHASE & CO DE 9.01 10/22/07
JACKSONVILLE BANCORP INC /FL/ FL 2.02,9.01 10/24/07
JOHNSON CONTROLS INC WI 2.02,7.01,9.01 10/23/07
KADANT INC DE 2.02,9.01 10/24/07
KENNAMETAL INC PA 2.02,8.01,9.01 10/23/07
KERYX BIOPHARMACEUTICALS INC DE 2.02 10/24/07
KeyOn Communications Holdings Inc. DE 1.01,2.01,9.01 10/18/07
KMG CHEMICALS INC TX 1.01,9.01 10/19/07
KNBT BANCORP INC PA 2.02,8.01,9.01 10/24/07
Lattice INC DE 5.02 10/16/07
Legacy Bancorp, Inc. DE 2.02,9.01 10/24/07
LEGG MASON INC MD 2.02,9.01 09/30/07
LEMAITRE VASCULAR INC 3.01 10/19/07
LENNOX INTERNATIONAL INC DE 2.02,9.01 10/24/07
LIBERTY MEDIA CORP 7.01 10/23/07
LIFECELL CORP DE 5.03,9.01 10/18/07
LINCARE HOLDINGS INC DE 8.01,9.01 10/24/07
LoopNet, Inc. CA 2.02,9.01 10/24/07
LSI CORP DE 2.02,9.01 10/24/07
LTV CORP DE 8.01,9.01 10/24/07
MAINSOURCE FINANCIAL GROUP IN 2.02,9.01 10/24/07
MANITOWOC CO INC WI 5.02 10/23/07
MANNATECH INC TX 4.01,9.01 10/18/07 AMEND
MARINE PRODUCTS CORP DE 2.02,9.01 10/24/07
MARINE PRODUCTS CORP DE 8.01,9.01 10/24/07
MASSBANK CORP DE 2.02,9.01 10/23/07
MASTR Alternative Loan Trust 2007-HF1 DE 8.01,9.01 10/11/07
MATRITECH INC/DE/ DE 8.01,9.01 10/05/07
MATTSON TECHNOLOGY INC DE 2.02,8.01,9.01 10/24/07
MAYFAIR MINING & MINERALS INC NV 5.02 10/22/07
MEDICAL SOLUTIONS MANAGEMENT INC. NV 1.01,3.02,5.02,9.01 10/18/07
MEDICINES CO /DE DE 2.02,9.01 10/24/07
MEDQUIST INC NJ 8.01,9.01 10/24/07
Mellanox Technologies, Ltd. L3 2.02,9.01 10/24/07
MERCURY COMPUTER SYSTEMS INC MA 2.02,9.01 10/24/07
MEREDITH CORP IA 2.02,9.01 10/24/07
MEREDITH CORP IA 2.02,9.01 10/24/07
MERRILL LYNCH & CO INC DE 2.02,9.01 10/24/07
MERRILL LYNCH DEPOSITOR INC PPLUS TRU DE 8.01,9.01 10/15/07
MERRILL LYNCH DEPOSITOR INC PREFERRED DE 8.01,9.01 10/15/07
Merrill Lynch First Franklin Mortgage DE 8.01,9.01 10/09/07
METLIFE INC DE 8.01,9.01 10/23/07
MICROFIELD GROUP INC OR 8.01 10/22/07
MIDDLEFIELD BANC CORP OH 2.02,9.01 10/24/07
MIDLAND CO OH 2.02,9.01 10/24/07
MITCHAM INDUSTRIES INC TX 5.02,9.01 10/17/07
MONARCH CASINO & RESORT INC NV 2.02 10/24/07
MONARCH COMMUNITY BANCORP INC MD 8.01,9.01 10/22/07
MONARCH SERVICES INC MD 8.01 10/18/07
Monogram Biosciences, Inc. DE 2.02,9.01 10/24/07
MONRO MUFFLER BRAKE INC NY 2.02,8.01,9.01 10/23/07
MONSTER WORLDWIDE INC DE 2.02,7.01,8.01,9.01 10/24/07
MONTPELIER RE HOLDINGS LTD D0 2.02,7.01,9.01 10/24/07
MOODYS CORP /DE/ DE 2.02,7.01,9.01 10/24/07
MOUNTAINS WEST EXPLORATION INC NM 1.01,2.03,3.02 10/18/07
MSC INDUSTRIAL DIRECT CO INC NY 2.02,9.01 10/24/07
MURPHY OIL CORP /DE DE 2.02,9.01 10/24/07
MUTUALFIRST FINANCIAL INC MD 2.02,9.01 10/24/07
NABORS INDUSTRIES LTD D0 2.02,9.01 10/23/07
NARA BANCORP INC DE 2.02,9.01 10/23/07
NASDAQ STOCK MARKET INC DE 2.02,9.01 10/24/07
NATIONAL CITY CORP DE 2.02,9.01 10/24/07
NATIONAL CITY CORP DE 2.02,9.01 10/24/07 AMEND
NATIONAL FILING AGENTS INC NV 1.01,2.01,3.02,5.01,5.02,9.01 10/23/07
NATIONAL OILWELL VARCO INC DE 2.02,9.01 10/24/07
NATURALLY ADVANCED TECHNOLOGIES INC A1 5.02,9.01 10/22/07
NEKTAR THERAPEUTICS DE 1.02,8.01 10/18/07
NETLOGIC MICROSYSTEMS INC 2.02,9.01 10/24/07
NEWMONT MINING CORP /DE/ DE 7.01,9.01 10/23/07
NEXEN INC A0 2.02,9.01 10/24/07
NEXTERA ENTERPRISES INC DE 5.02 10/23/07
NGP Capital Resources CO MD 9.01 10/24/07
NNN 2003 VALUE FUND LLC 1.01,9.01 10/19/07
NORFOLK SOUTHERN CORP VA 2.02,7.01,9.01 10/24/07
NORTH AMERICAN SCIENTIFIC INC 1.01,2.03,9.01 10/18/07
NORTHRIM BANCORP INC AK 2.02,9.01 10/24/07
NORTHROP GRUMMAN CORP /DE/ DE 2.02,9.01 10/24/07
NORTHWEST PIPE CO OR 2.02,9.01 10/24/07
NUTRI SYSTEM INC /DE/ DE 2.02,7.01,9.01 10/24/07
NUVASIVE INC DE 2.02,9.01 10/24/07
NYFIX INC DE 8.01,9.01 10/19/07
O REILLY AUTOMOTIVE INC MO 2.02,9.01 09/30/07
OCCIDENTAL PETROLEUM CORP /DE/ DE 2.02,8.01,9.01 10/24/07
OMNIRELIANT HOLDINGS, INC. NV 1.01,3.02,9.01 08/18/07
OPTICAL COMMUNICATION PRODUCTS INC DE 8.01 10/23/07
optionsXpress Holdings, Inc. DE 2.02,9.01 10/23/07
ORASURE TECHNOLOGIES INC DE 1.02,7.01,9.01 10/22/07
Organic To Go Food CORP DE 1.01,2.01,3.02,9.01 10/18/07
ORMAT TECHNOLOGIES, INC. DE 1.01,3.02,8.01,9.01 10/24/07
OWENS & MINOR INC/VA/ VA 5.02,5.03,9.01 10/18/07
PACCAR INC DE 2.02,5.02,8.01,9.01 10/24/07
PACIFIC SUNWEAR OF CALIFORNIA INC CA 2.05,2.06,7.01,9.01 10/22/07
PALOMAR MEDICAL TECHNOLOGIES INC DE 5.03,9.01 10/24/07
PANDA ETHANOL, INC. NV 7.01,9.01 10/24/07
PANERA BREAD CO DE 2.02,7.01,9.01 10/23/07
Patriot Coal CORP DE 8.01,9.01 10/23/07
PC TEL INC DE 2.05,2.06 10/24/07
PC TEL INC DE 2.02,9.01 10/24/07
PENN TREATY AMERICAN CORP PA 5.02,9.01 10/19/07
PENNS WOODS BANCORP INC PA 2.02,5.02,9.01 10/18/07
PEOPLES BANCORP INC OH 2.02,9.01 10/24/07
PEPSIAMERICAS INC/IL/ DE 2.02,9.01 10/24/07
PETMED EXPRESS INC FL 8.01,9.01 10/22/07
PFF BANCORP INC DE 2.02,9.01 09/30/07
PHOENIX FOOTWEAR GROUP INC DE 5.02,9.01 10/18/07
PHOENIX TECHNOLOGIES LTD DE 5.02 10/24/07
PIONEER BANKSHARES INC/VA 2.02,9.01 10/24/07
PITNEY BOWES INC /DE/ DE 8.01,9.01 10/23/07
PIXELWORKS, INC OR 2.02,9.01 10/24/07
PLUG POWER INC DE 2.02,9.01 10/24/07
Porter Bancorp, Inc. KY 2.02,9.01 10/24/07
PRAXAIR INC DE 2.02,9.01 10/24/07
PRE PAID LEGAL SERVICES INC OK 2.02,9.01 09/30/07
PRECISION CASTPARTS CORP OR 2.02,9.01 10/23/07
PREFORMED LINE PRODUCTS CO OH 4.02 10/18/07
Prestige Brands Holdings, Inc. 8.01 10/22/07
PRINCIPAL LIFE INSURANCE CO IA 9.01 10/19/07
PRINCIPAL LIFE INSURANCE CO IA 9.01 10/19/07
PRINCIPAL LIFE INSURANCE CO IA 9.01 10/19/07
PROSPERITY BANCSHARES INC TX 2.02,9.01 10/23/07
ProUroCare Medical Inc. 1.01 02/01/07 AMEND
PROVIDENT FINANCIAL HOLDINGS INC DE 7.01,9.01 10/24/07
PSB HOLDINGS INC /WI/ WI 2.02,9.01 10/24/07
PSS WORLD MEDICAL INC FL 2.02,9.01 10/24/07
QUAINT OAK BANCORP INC PA 8.01,9.01 10/23/07
QUALMARK CORP CO 2.02,9.01 10/24/07
QUANTRX BIOMEDICAL CORP NV 1.01,2.03,3.02,9.01 10/16/07
QUANTUM CORP /DE/ DE 2.02,9.01 10/24/07
QUEST DIAGNOSTICS INC DE 2.02,9.01 10/24/07
QUESTAR CORP UT 5.02,9.01 10/23/07
QUICKLOGIC CORPORATION CA 2.02,9.01 10/24/07
QUIDEL CORP /DE/ DE 2.02,9.01 10/24/07
RALI Series 2007-QH8 Trust DE 8.01,9.01 10/24/07 AMEND
RALI Series 2007-QH9 Trust DE 8.01,9.01 10/24/07
RAMCO GERSHENSON PROPERTIES TRUST MD 2.02,9.01 10/23/07
RC2 CORP DE 2.02,9.01 10/24/07
REPUBLIC AIRWAYS HOLDINGS INC DE 2.02,9.01 10/23/07
RG America, Inc. NV 1.01,9.01 10/18/07
RIDGEWOOD ELECTRIC POWER TRUST V DE 8.01,9.01 10/24/07
RIDGEWOOD POWER GROWTH FUND /NJ DE 8.01,9.01 10/24/07
RIGHTNOW TECHNOLOGIES INC MT 2.02,9.01 09/30/07
RIVERVIEW BANCORP INC WA 2.02,9.01 10/23/07
ROLLINS INC DE 8.01 10/23/07
ROLLINS INC DE 2.02 10/24/07
ROYAL BANCSHARES OF PENNSYLVANIA INC PA 8.01,9.01 10/19/07
RPC INC DE 2.02,9.01 10/24/07
RPC INC DE 8.01,9.01 10/24/07
RYDER SYSTEM INC FL 2.02,9.01 10/24/07
RYLAND GROUP INC MD 2.02,9.01 10/24/07
SANGAMO BIOSCIENCES INC DE 2.02,9.01 10/24/07
Santa Lucia Bancorp CA 2.02,9.01 10/23/07
SANTANDER DRIVE AUTO RECEIVABLES LLC DE 8.01,9.01 10/18/07
SCHWAB CHARLES CORP DE 5.02 10/18/07
SCO GROUP INC DE 8.01 10/22/07
SEALED AIR CORP/DE DE 2.02,9.01 10/24/07
SELECT COMFORT CORP 7.01,9.01 10/24/07
SELECT COMFORT CORP 2.02,9.01 10/24/07
SEMCO ENERGY INC MI 1.01,3.03,8.01,9.01 10/24/07
SENESCO TECHNOLOGIES INC DE 4.01,9.01 10/22/07
SEREFEX CORP DE 2.01,3.02,5.01,9.01 10/22/07
SHENANDOAH TELECOMMUNICATIONS CO/VA/ VA 2.02,9.01 10/23/07
SIGMA ALDRICH CORP DE 2.02,7.01,9.01 10/23/07
SILICON LABORATORIES INC DE 2.02,9.01 10/24/07
SILVERLEAF RESORTS INC 7.01,9.01 10/23/07
SIRENZA MICRODEVICES INC DE 2.02,7.01,9.01 10/24/07
SKECHERS USA INC DE 2.02,9.01 10/24/07
SKINS INC. NV 5.02 10/19/07
SMURFIT STONE CONTAINER CORP DE 2.02,9.01 10/24/07
SNAP ON INC DE 2.02,9.01 10/23/07
SOCKET COMMUNICATIONS INC DE 2.02,9.01 09/30/07
SOUTHERN CONNECTICUT BANCORP INC CT 2.02,9.01 10/24/07
SOUTHERN COPPER CORP/ DE 2.02,9.01 10/23/07
SPACEHAB INC \WA\ WA 5.02 10/23/07
SPARE BACKUP, INC. DE 8.01 10/19/07
SPIRALFROG, INC 1.01,7.01,9.01 10/16/07
STANDARD MOBILE INC DE 5.01,5.02,9.01 10/22/07
STANDEX INTERNATIONAL CORP/DE/ DE 5.02 10/24/07
STANLEY WORKS CT 2.02,9.01 10/24/07
Stanley, Inc. DE 9.01 10/10/07 AMEND
Starent Networks, Corp. DE 2.02,9.01 10/24/07
STATE BANCORP INC NY 2.02,9.01 10/24/07
STILLWATER MINING CO /DE/ DE 2.02,9.01 10/23/07
STONE FIELD MANAGEMENT CO WY 4.01,9.01 04/13/07
STONERIDGE INC OH 8.01 10/23/07
STONERIDGE INC OH 8.01 10/23/07
Structured Asset Mortgage Investments DE 9.01 09/18/07 AMEND
STURM RUGER & CO INC DE 2.02,8.01,9.01 10/24/07
Sucampo Pharmaceuticals, Inc. 1.01,5.02,9.01 10/17/06
Sun American Bancorp DE 8.01 10/24/07
SUN BANCORP INC /NJ/ NJ 5.02,5.03,9.01 10/18/07
SUNOCO LOGISTICS PARTNERS LP DE 2.02,7.01,9.01 10/22/07
SUNOCO LOGISTICS PARTNERS LP DE 5.02 10/20/07
Superior Offshore International Inc. DE 5.02 10/22/07
SYMANTEC CORP DE 2.02,9.01 10/24/07
SYMYX TECHNOLOGIES INC DE 2.02,9.01 10/24/07
SYNTEC BIOFUEL INC WA 2.01,9.01 10/24/07
TANDY BRANDS ACCESSORIES INC DE 3.03,5.03,9.01 10/19/07
Targa Resources Partners LP DE 1.01,2.01,2.03,3.02,7.01,9.01 10/18/07
TASER INTERNATIONAL INC 2.02,9.01 10/24/07
TAYLOR CAPITAL GROUP INC DE 2.02,9.01 10/24/07
TCF FINANCIAL CORP DE 2.02,7.01,9.01 10/24/07
TECHNE CORP /MN/ MN 2.02,9.01 10/24/07
TEMPLE INLAND INC DE 2.02,7.01,9.01 10/24/07
Tennessee Commerce Bancorp, Inc. TN 2.02,7.01,9.01 10/24/07
TERADATA CORP /DE/ 5.02,5.03,9.01 10/22/07
TEREX CORP DE 2.02,9.01 09/30/07
Tix CORP DE 9.01 03/14/07 AMEND
TOUSA INC DE 7.01,9.01 10/24/07
TOWER TECH HOLDINGS INC. NV 2.01,2.03,3.02,5.02,8.01,9.01 10/19/07
TRACTOR SUPPLY CO /DE/ DE 2.02,9.01 10/24/07
TRACTOR SUPPLY CO /DE/ DE 5.02 10/24/07
TRADEQUEST INTERNATIONAL INC NV 2.03,3.02 09/26/07
TRANSMETA CORP DE 1.01,8.01,9.01 10/22/07
TRANSOCEAN INC E9 3.02,8.01,9.01 10/18/07
TRANSWITCH CORP /DE DE 2.02,9.01 10/24/07
TRAVELZOO INC DE 1.01,5.02,9.01 10/23/07
TRIBUNE CO DE 2.02,9.01 09/30/07
TRIQUINT SEMICONDUCTOR INC DE 2.02,9.01 10/24/07
TRUSTMARK CORP MS 8.01 10/24/07
TUPPERWARE BRANDS CORP DE 2.02,9.01 10/23/07
Tyco Electronics Ltd. D0 8.01,9.01 10/19/07
U.S. Auto Parts Network, Inc. DE 5.02 10/22/07
UNIFIRST CORP MA 2.02,9.01 08/25/07
UNIVERSAL FOG INC 1.01 10/15/07
UNIVEST CORP OF PENNSYLVANIA PA 2.02,9.01 10/24/07
Uranium Star Corp. NV 8.01 10/23/07
UROLOGIX INC MN 1.01,2.03,9.01 10/22/07
VALHI INC /DE/ DE 7.01,9.01 10/23/07
Vanguard Natural Resources, LLC DE 1.01,5.02,7.01,9.01 10/23/07
VARIAN MEDICAL SYSTEMS INC DE 2.02,9.01 10/24/07
VCA ANTECH INC DE 2.02,8.01,9.01 10/24/07
VIASPACE Inc. NV 8.01 10/22/07
Vicor Technologies, Inc. DE 1.01,2.03,3.02,7.01,9.01 10/09/07
VMWARE, INC. DE 2.02,9.01 10/24/07
WABCO Holdings Inc. DE 2.02,7.01,9.01 10/24/07
WASHINGTON REAL ESTATE INVESTMENT TRU MD 2.02,7.01,9.01 10/24/07
WASTE INDUSTRIES USA INC NC 8.01,9.01 10/22/07
WEBSITE PROS INC DE 5.02 10/23/07
WELLMAN INC DE 8.01 10/19/07
WELLPOINT INC IN 2.02,9.01 10/24/07
WESTAFF INC DE 1.01,9.01 10/18/07
WESTINGHOUSE AIR BRAKE TECHNOLOGIES C DE 2.02,8.01,9.01 10/24/07
WEYERHAEUSER CO WA 2.05 10/18/07
WHIRLPOOL CORP /DE/ DE 7.01 10/23/07
White River Capital Inc 4.01,9.01 10/18/07
WILLIS GROUP HOLDINGS LTD D0 2.02,9.01 10/24/07
WINLAND ELECTRONICS INC MN 1.01 10/22/07
WOLVERINE TUBE INC DE 5.02,9.01 10/18/07
WSB Financial Group, Inc. WA 2.02,2.06,5.02,7.01,8.01,9.01 10/23/07
XL CAPITAL LTD 5.02,9.01 10/23/07
YADKIN VALLEY FINANCIAL CORP NC 2.02,9.01 10/24/07
YOUNG INNOVATIONS INC MO 2.02,9.01 10/23/07
ZAP CA 5.02 10/22/07
Zep Inc. DE 1.01,2.03 10/19/07
ZIMMER HOLDINGS INC DE 2.02,9.01 10/24/07
http://www.sec.gov/news/digest/2007/dig102507.htm
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