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SEC NEWS DIGEST
Issue 2007-207 October 26, 2007
COMMISSION ANNOUNCEMENTS
STEVE KOROTASH NAMED ASSOCIATE REGIONAL DIRECTOR FOR ENFORCEMENT IN
THE SEC'S FORT WORTH REGIONAL OFFICE
On October 26, the Securities and Exchange Commission announced the
appointment of Steve Korotash as the Associate Regional Director for
Enforcement in the Commission's Fort Worth Regional Office. Mr.
Korotash, who is currently the office's chief trial attorney, will now
oversee all of the office's enforcement activities in the Southwest.
Linda Thomsen, Director of the Commission's Enforcement Division,
said, "Steve Korotash is a terrific advocate who has played a major
role in a number of significant enforcement cases that have enhanced
the Commission's efforts to protect investors. I am delighted to have
such a high-caliber and dedicated person in this position at the
Commission."
Rose Romero, Director of the Fort Worth Regional Office, said, "Steve
Korotash brings a great depth of experience and expertise to this
important position. He is not only a first-rate trial attorney, but
also an excellent manager with a proven track record of success with
the SEC."
Mr. Korotash has more than 18 years of experience in the Commission's
enforcement program investigating and litigating significant matters
involving issuer accounting fraud, investment adviser fraud, market
manipulation, offering fraud, insider trading and supervisory failures
by broker-dealers.
Korotash said, "I am delighted to have the opportunity to lead the
office's enforcement efforts. I am truly fortunate to be surrounded by
amazingly talented and dedicated attorneys, accountants and support
personnel. Their accomplishments have been remarkable."
Prior to joining the Fort Worth staff in 1999, Mr. Korotash served as
an assistant chief litigation counsel in the Commission's Washington,
D.C., office. During his legal career, Mr. Korotash has served as both
a state and federal prosecutor and as the Congressional Liaison for
the nation's United States Attorneys.
A U.S. Army veteran, Mr. Korotash was awarded the Bronze Star Medal,
among other personal and unit decorations, for his service in the
Persian Gulf Region during Operation Desert Storm.
Mr. Korotash was awarded an LL.M. degree in securities regulation from
Georgetown University Law Center in 1993. He received a J.D. with
distinction from Oklahoma City University Law School, where he served
as editor-in-chief of the law review. He received his B.A. degree from
Ripon College, after which he worked as a newspaper reporter. (Press
Rel. 2007-222)
ENFORCEMENT PROCEEDINGS
IN THE MATTER OF DAVID A. ZWICK
On October 25, an Administrative Law Judge issued an Initial Decision
in which she found that the allegations in the Order Instituting
Proceedings in David A. Zwick, Admin. Proc. 3-12639 (May 22, 2007),
were true. On May 1, 2007, the United States District Court for the
Southern District of New York, after a jury verdict in SEC v. Zwick,
No. 03 Civ. 2742 (JGK), 2007 U.S. Dist. LEXIS 19045 (S.D.N.Y.),
entered a Final Judgment:
(a) permanently enjoining David A. Zwick from future violations
of Section 17(a) of the Securities Act of 1933 and Section 10(b)
of the Securities Exchange Act of 1934 and Exchange Act Rule 10b-
5;
(b) finding Zwick liable for disgorgement of $161,539.58
representing profits gained as a result of his fraudulent
conduct, together with prejudgment interest in the amount of
$138,609.64 for a total of $300,149.22; and
(c) ordering Zwick to pay a civil money penalty in the amount of
$75,000.
After considering relevant public interest factors, the Administrative
Law Judge barred Zwick from association with any broker or dealer
pursuant to Section 15(b) of the Securities Exchange Act of 1934.
(Initial Decision No. 336; File No. 3-12639)
SEC BRINGS EMERGENCY ACTION AGAINST THOMPSON PRICE HOLDING INC. AND
DAMIR LUKOVIC A/K/A GREG THOMPSON
The Securities and Exchange Commission announced today that it filed
an emergency enforcement action against Thompson Price Holding Inc.
and Damir Lukovic a/k/a Greg Thompson to halt an ongoing fraudulent
stock offering.
The Commission's complaint, filed in the Southern District of New
York, alleges that defendants defrauded unsuspecting investors in the
United States, many of whom are senior citizens, by inducing investors
to send checks purportedly for the purchase of shares in the initial
public offerings of several Australian companies. Thompson Price's
president, Lukovic, using the alias "Greg Thompson," made false and
misleading statements to prospective investors, including that
Thompson Price had received an "allocation" of shares in the IPOs, and
that Thompson Price would use investors' funds to purchase IPO stock.
In fact, each of these representations was false and misleading.
Thompson Price was not an underwriter or a broker-dealer. It had no
affiliation with any of the Australian companies or their
underwriters. It never received any allocation of stock from those
IPOs. And most important, the defendants did not purchase IPO stock
with the investors' money, but instead misappropriated the money for
their own use. Defendants induced at least ten investors to send
investment checks worth at least $107,730.
The complaint charges the defendants with violating Section 17(a) of
the Securities Act of 1933, and Sections 10(b) and 15(a) of the
Securities Exchange Act of 1934 and Rule 10b-5 thereunder.
The Court granted, among other emergency relief, a temporary
restraining order, which prohibits defendants from committing further
violations of the federal securities laws and freezes the their
assets. In its enforcement action, the Commission is seeking
additional emergency relief, including orders enjoining the
defendants, preliminarily and permanently, from committing future
violations of the foregoing federal securities laws, and a final
judgment ordering the Defendants to disgorge ill-gotten gains and
assessing civil penalties. [SEC v. Thompson Price Holding Inc., et
al., Civil Action No. CV 07-9525, RMB, SDNY] (LR-20346)
DEFENDANT KERMIT SILVA HELD IN CONTEMPT FOR FAILING TO PAY
DISGORGEMENT AS ORDERED IN THE FINAL JUDGMENT OF PERMANENT INJUNCTION
AGAINST HIM
The Securities and Exchange Commission announced that on October 23
the Honorable Linnea R. Johnson, United States Magistrate Judge for
the Southern District of Florida, entered an order of civil contempt
against Defendant Kermit Silva for failing to make payments pursuant
to a Sept. 29, 2005, judgment against him.
Following evidentiary hearings on August 27 and October 15, the Court
found Silva in contempt and ordered him to make monthly payments of
$2,000 to the Spear & Jackson Distribution Fund, representing 50
percent of his gross monthly income. The judge also ordered Silva to
pay 50 percent of any other compensation or income he receives from
any other source to the Distribution Fund. Silva must continue these
payments until he satisfies the remaining $206,259 in disgorgement and
prejudgment interest. Judge Johnson also ordered Silva to use 25
percent of his gross monthly income to pay his attorneys' fees; once
he pays those fees, he must remit 75 percent of his gross monthly
income to the Distribution Fund.
The contempt order made factual findings that Silva had failed to
diligently pursue employment for almost two years after the judgment
was entered against him, and had used money relatives gave him on
luxury and discretionary expenses such as travel, expensive meals, and
numerous retail purchases instead of paying any money towards the
judgment.
Silva had consented to entry of a Final Judgment enjoining him from
future violations of Sections 5(a), 5(c), 17(a)(2), 17(a)(3) and 17(b)
of the Securities Act of 1933 and Section 15(a)(1) of the Securities
Exchange Act of 1934, which was entered on September 29, 2005. The
judgment ordered Silva to pay $336,307 in disgorgement, plus
prejudgment interest of $23,952, and a $60,000 civil penalty, and
barred him from participating in any offering of a penny stock for a
period of three years. The judgment allowed Silva to make the payments
in three installments. Silva made the first installment payment of
$100,000, but made only part of the second payment due on March 29,
2006, and none of the third and final payment due on Sept. 29, 2006.
To date, Silva has paid approximately $154,000 of the judgment.
Silva was one of several defendants the Commission sued in connection
with the manipulation of the stock of Spear & Jackson, a Boca Raton-
based tool maker, engineered by Spear & Jackson's former chief
executive officer, Dennis Crowley. The Commission also obtained
consent judgments against Crowley and the other defendants, which has
resulted in them paying almost $7 million in disgorgement, prejudgment
interest, and civil penalties, which, pursuant to the Fair Fund
provisions of the Sarbanes-Oxley Act of 2002, have been placed in the
Spear & Jackson Distribution Fund for return to defrauded investors.
[SEC v. Spear & Jackson, Inc., et al., Case No. 04-CIV-80354, S.D.
Fla.] (LR-20347)
INVESTMENT COMPANY ACT RELEASES
FIDELITY RUTLAND SQUARE TRUST, ET AL.
An order has been issued on an application filed by Fidelity Rutland
Square Trust, et al. under Section 12(d)(1)(J) of the Investment
Company Act for an exemption from Sections 12(d)(1)(A) and (B) of the
Act, and under Sections 6(c) and 17(b) of the Act for an exemption
from Section 17(a) of the Act. The order permits certain registered
open-end management investment companies to acquire shares of other
registered open-end management investment companies and unit
investment trusts that are within and outside the same group of
investment companies. (Rel. IC-28023 - October 24)
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A proposed rule change (SR-ISE-2007-100) filed by the International
Securities Exchange relating to fee changes 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. 34-56699)
A proposed rule change filed by the Philadelphia Stock Exchange to
amend Article FOURTH of its Restated Certificate of Incorporation (SR-
Phlx-2007-78) has become effective pursuant to 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. 34-56700)
PROPOSED RULE CHANGES
NYSE Arca, through its wholly owned subsidiary NYSE Arca Equities,
Inc., filed a proposed rule change (SR-NYSEArca-2007-110) relating to
certain modifications to the initial listing and trading standards for
Equity Index-Linked Securities pursuant to Rule 19b-4 under the
Securities Exchange Act of 1934. Publication is expected in the
Federal Register during the week of October 29. (Rel. 34-56696)
The Chicago Stock Exchange has filed a proposed rule change (SR-CHX-
2007-23) under Rule 19b-4 of the Securities Exchange Act to allow the
Exchange to open at 8:30 a.m. Publication of the proposal is expected
in the Federal Register during the week of October 29. (Rel. 34-56698)
The Chicago Board Options Exchange has filed a proposed rule change
(SR-CBOE-2007-68), as modified by Amendment No. 1, under Section
19(b)(2) of the Securities Exchange Act of 1934, regarding the
handling of certain complex orders. Publication is expected in the
Federal Register during the week of October 29. (Rel. 34-56701)
The Commission issued a notice of a proposed rule change (SR-CHX-2007-
22) submitted by the Chicago Stock Exchange pursuant to Rule 19b-4
under the Securities Exchange Act of 1934 to amend rules relating to
the execution of odd lot market orders. Publication is expected in the
Federal Register during the week of October 29. (Rel. 34-56703)
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.
F-1 Green Power Enterprises, Inc., AV BRIG. FARIA LIMA, 1485-19 ANDAR,
BRAZILINVEST PLAZA CEP 01452-002, SAO PAULO, D5, 01452,
55-11-3094-7979 - 0 ($422,000,100.00) Equity, (File 333-146916 -
Oct. 25) (BR. 04)
F-1 AEGEAN MARINE PETROLEUM NETWORK INC., 42 HATZIKYRIAKOU AVENUE, PIRAEUS,
ATHENS, J3, 185 38, 011 30 210 458-6200 - 0 ($359,908,313.00) Equity,
(File 333-146918 - Oct. 25) (BR. 04B)
S-1 LONGWEI PETROLEUM INVESTMENT HOLDING LTD,
30 GUANGHAU AVENUE, WAN BAILIN DISTRICT, TAIYUAN CITY, SHANXI PROVINCE,
SHANXI, F4, 030024, 8635 1652 7366 - 3,750,000 ($5,625,000.00) Equity,
(File 333-146921 - Oct. 25) (BR. 09B)
S-3D TRUSTCO BANK CORP N Y, 5 SARNOWSKI DRIVE, GLENVILLE, NY, 12302,
5183773311 - 2,000,000 ($20,140,000.00) Equity, (File 333-146926 -
Oct. 25) (BR. 07B)
S-8 AXSYS TECHNOLOGIES INC, 175 CAPITAL BLVD SUITE 103, ROCKY HILL, CT,
06067, 2018711500 - 0 ($12,936,000.00) Equity, (File 333-146927 -
Oct. 25) (BR. 10A)
F-10 PENGROWTH ENERGY TRUST, 2900, 240 - 4TH AVENUE S.W., CALGARY, A0,
T2P2H4, (403) 233-0224 - 2,067,600,000 ($2,067,600,000.00) Equity,
(File 333-146928 - Oct. 25) (BR. 04B)
S-8 ENERGENX, INC., 6200 EAST COMMERCE LOOP, POST FALLS, ID, 83854,
208-665-5553 - 1,800,000 ($1,350.00) Equity, (File 333-146929 -
Oct. 25) (BR. 09)
S-1 BIOPHAN TECHNOLOGIES INC, 150 LUCIUS GORDON DR, STE 215,
WEST HENRIETTA, NY, 14586, 5852142441 -
38,102,868 ($5,524,916.00) Equity, (File 333-146930 - Oct. 25) (BR. 10A)
SB-2 JUMA TECHNOLOGY LLC, 154 TOLEDO STREET, FARMINGDALE, NY, 11735,
631 300 1000 - 26,666,668 ($35,300,000.00) Equity, (File 333-146931 -
Oct. 25) (BR. 11)
S-8 HONEYWELL INTERNATIONAL INC, 101 COLUMBIA RD, PO BOX 4000, MORRISTOWN,
NJ, 07962, 9734552000 - 0 ($231,200,000.00) Equity, (File 333-146932 -
Oct. 25) (BR. 05C)
S-8 COGNOS INC, 3755 RIVERSIDE DR, PO BOX 9707, OTTAWA ONTARIO CAN K, A6,
00000, 6137381440 - 0 ($16,556,516.24) Equity, (File 333-146933 -
Oct. 25) (BR. 03C)
SB-2 Punchline Entertainment, Inc., 9911 24TH DRIVE, EVERETT, WA, 98208,
425-336-1358 - 2,000,000 ($40,000.00) Equity, (File 333-146934 -
Oct. 25) (BR. 05)
S-1 FUELCELL ENERGY INC, 3 GREAT PASTURE RD, DANBURY, CT, 06813,
2038256000 - 500,000 ($4,690,000.00) Equity, (File 333-146935 -
Oct. 25) (BR. 10A)
S-4 AMERICREDIT CORP, 801 CHERRY STREET, SUITE 3900, FORT WORTH, TX, 76102,
8173027000 - 0 ($200,000,000.00) Non-Convertible Debt,
(File 333-146936 - Oct. 25) (BR. 07B)
S-3 AVALON PHARMACEUTICALS INC, 20358 SENECA MEADOWS PARKWAY, GERMANTOWN,
MD, 20876, 3015569900 - 0 ($50,000,000.00) Equity, (File 333-146937 -
Oct. 25) (BR. 01B)
S-8 Metavante Holding CO, 4900 WEST BROWN DEER ROAD, MILWAUKEE, WI, 53223,
(414) 357-2290 - 0 ($150,000,000.00) Other, (File 333-146938 - Oct. 25)
(BR. 07)
SB-2 Extreme Home Staging Inc, 4507 15TH AVE, Brooklyn, NY, 11219,
7184369144 - 5,339,999 ($1,763,399.00) Equity, (File 333-146939 -
Oct. 25) (BR. )
RECENT 8K FILINGS
Form 8-K is used by companies to file current reports on the following
events:
1.01 Entry into a Material Definitive Agreement
1.02 Termination of a Material Definitive Agreement
1.03 Bankruptcy or Receivership
2.01 Completion of Acquisition or Disposition of Assets
2.02 Results of Operations and Financial Condition
2.03 Creation of a Direct Financial Obligation or an Obligation under an
Off-Balance Sheet Arrangement of a Registrant
2.04 Triggering Events That Accelerate or Increase a Direct Financial Obligation
under an Off-Balance Sheet Arrangement
2.05 Cost Associated with Exit or Disposal Activities
2.06 Material Impairments
3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or
Standard; Transfer of Listing
3.02 Unregistered Sales of Equity Securities
3.03 Material Modifications to Rights of Security Holders
4.01 Changes in Registrant's Certifying Accountant
4.02 Non-Reliance on Previously Issued Financial Statements or a Related Audit
Report or Completed Interim Review
5.01 Changes in Control of Registrant
5.02 Departure of Directors or Principal Officers; Election of Directors;
Appointment of Principal Officers
5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
5.04 Temporary Suspension of Trading Under Registrant's Employee Benefit Plans
5.05 Amendments to the Registrant's Code of Ethics, or Waiver of a
Provision of the Code of Ethics
6.01. ABS Informational and Computational Material.
6.02. Change of Servicer or Trustee.
6.03. Change in Credit Enhancement or Other External Support.
6.04. Failure to Make a Required Distribution.
6.05. Securities Act Updating Disclosure.
7.01 Regulation FD Disclosure
8.01 Other Events
9.01 Financial Statements and Exhibits
8-K reports may be obtained in person or by writing to the
Commission's Public Reference Branch at 100 F Street, N.E.,
Washington, D.C. 20549-1090 or at the following e-mail box address:
publicinfo@sec.gov. In most cases, this information is also available
on the Commission's website: www.sec.gov.
STATE
NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT
-------------------------------------------------------------------------------------------------------
A.C. Moore Arts & Crafts, Inc. PA 2.02,4.02,7.01,9.01 10/24/07
ACACIA RESEARCH CORP DE 2.02,9.01 10/25/07
ACCENTIA BIOPHARMACEUTICALS INC 1.01,2.03,3.02,9.01 10/19/07
ACCENTURE LTD 8.01,9.01 10/25/07
ACCENTURE SCA 8.01,9.01 10/25/07
ACCREDITED HOME LENDERS HOLDING CO DE 3.01,9.01 10/19/07
Accredited Mortgage Loan REIT Trust MD 3.01,9.01 10/19/07
ACNB CORP PA 8.01,9.01 10/23/07
ACTUATE CORP DE 1.01,9.01 10/25/07
Advance America, Cash Advance Centers DE 2.02,5.03,8.01,9.01 10/24/07
ADVANCED MEDICAL OPTICS INC DE 2.02,9.01 10/25/07
ADVANTA CORP DE 2.02,9.01 10/25/07
AETNA INC /PA/ PA 2.02 10/25/07
AIRGAS INC DE 2.02,9.01 10/24/07
ALASKA AIR GROUP INC DE 2.02,9.01 10/25/07
ALASKA COMMUNICATIONS SYSTEMS GROUP I DE 1.01,2.02,7.01,9.01 10/23/07
ALLEGHENY ENERGY, INC MD 2.02,9.01 10/25/07
ALLEGRO BIODIESEL CORP DE 1.01,5.02,8.01,9.01 10/22/07
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 10/25/07
ALLIANCE FIBER OPTIC PRODUCTS INC CA 9.01 09/30/07
ALLIANCEBERNSTEIN HOLDING L.P. DE 2.02,7.01,9.01 10/24/07
ALLIANCEBERNSTEIN L.P. DE 2.02,7.01,9.01 10/24/07
ALLOS THERAPEUTICS INC DE 7.01,9.01 10/23/07
Alternative Loan Trust 2007-11T1 DE 8.01,9.01 03/30/07
Alternative Loan Trust 2007-9T1 DE 8.01,9.01 03/30/07
AMAG PHARMACEUTICALS INC. DE 2.02,9.01 10/25/07
AMC ENTERTAINMENT INC DE 7.01,9.01 10/25/07
AMEDISYS INC DE 7.01,9.01 10/24/07
AMERICAN EXPRESS RECEIVABLES FINANCIN DE 8.01,9.01 10/15/07
AMERICANWEST BANCORPORATION WA 5.03,9.01 10/22/07
AMERICANWEST BANCORPORATION WA 2.02,9.01 10/25/07
Amnutria Dairy Inc. NV 1.01,2.01,3.02,5.01,5.02,5.03, 10/09/07 AMEND
5.06,9.01
ANALYSTS INTERNATIONAL CORP 5.02 10/23/07
ANTIGENICS INC /DE/ DE 8.01,9.01 10/25/07
AOM Minerals Ltd. NV 5.02 10/19/07
APACHE CORP DE 2.02,9.01 10/25/07
APPALACHIAN BANCSHARES INC GA 5.03,9.01 10/23/07
APPLIED MICRO CIRCUITS CORP DE 2.02,9.01 10/25/07
APPLIED NEUROSOLUTIONS INC DE 5.02 10/25/07
ARABIAN AMERICAN DEVELOPMENT CO DE 5.02 10/23/07
ARBIOS SYSTEMS INC DE 1.01,9.01 10/19/07
ARIBA INC DE 2.02,4.02,9.01 10/25/07
ARRAY BIOPHARMA INC DE 8.01,9.01 10/24/07
ASIAINFO HOLDINGS INC DE 2.02,9.01 10/25/07
ASSET ACCEPTANCE CAPITAL CORP 2.02,2.06,9.01 10/23/07
ASSOCIATED ESTATES REALTY CORP OH 2.02,9.01 09/30/07
ATARI INC DE 1.01,8.01,9.01 10/01/07
ATC HEALTHCARE INC /DE/ DE 5.02,8.01,9.01 10/19/07
ATHEROGENICS INC GA 2.02,9.01 10/25/07
Authorize.Net Holdings, Inc. DE 1.01,8.01,9.01 10/23/07
AUTOLIV INC DE 2.02,7.01,9.01 10/25/07
AVID TECHNOLOGY INC DE 2.02,9.01 10/25/07
AVNET INC NY 2.02,9.01 10/25/07
AVX CORP DE 2.02,9.01 09/30/07
AXT INC DE 1.01,1.02,2.02,8.01,9.01 10/04/07
B&G Foods, Inc. DE 2.02,7.01,9.01 10/25/07
BALL CORP IN 2.02,8.01 10/23/07
BANCORP RHODE ISLAND INC 2.02,9.01 10/24/07
BANK OF AMERICA CORP /DE/ DE 5.02,9.01 10/24/07
BANNER CORP WA 2.02,9.01 10/25/07
BARRETT BUSINESS SERVICES INC MD 2.02,9.01 10/24/07
BASSETT FURNITURE INDUSTRIES INC VA 8.01,9.01 10/25/07
BAY NATIONAL CORP 2.02,9.01 10/24/07
BAYLAKE CORP WI 2.02,9.01 10/25/07
BB&T CORP NC 5.03 10/23/07
Bear Stearns Commercial Mortgage Secu DE 8.01,9.01 10/25/07
Behringer Harvard Opportunity REIT I, MD 3.03,8.01,9.01 05/10/07
BELDEN INC. DE 2.02,9.01 10/25/07
BELO CORP DE 2.02,9.01 10/25/07
BLACK & DECKER CORP MD 2.02,7.01,9.01 10/25/07
BMC SOFTWARE INC DE 5.03 10/24/07
BMW Vehicle Owner Trust 2005-A 9.01 10/25/07
BOOKHAM, INC. DE 2.02,9.01 10/25/07
BORGWARNER INC DE 2.02,9.01 10/24/07
BOSTON CAPITAL REAL ESTATE INVESTMENT MD 1.01,2.03,8.01,9.01 10/19/07
BOSTON PRIVATE FINANCIAL HOLDINGS INC MA 2.02,9.01 10/24/07
BOSTON PROPERTIES INC DE 5.02 10/22/07
BOSTON PROPERTIES LTD PARTNERSHIP 5.02 10/22/07
BOTTLING GROUP LLC DE 1.01,1.02,9.01 10/19/07
BOTTOMLINE TECHNOLOGIES INC /DE/ DE 2.02,9.01 10/25/07
Bradford Bancorp Inc /MD 1.01,9.01 10/19/07
BREEZE-EASTERN CORP DE 2.02,9.01 10/25/07
Bridge Capital Holdings CA 2.02,9.01 10/25/07
BRIGHT HORIZONS FAMILY SOLUTIONS INC DE 2.02,9.01 10/25/07
BRISTOL MYERS SQUIBB CO DE 2.02,9.01 10/25/07
BROADCAST INTERNATIONAL INC UT 3.02 10/19/07
BRUSH ENGINEERED MATERIALS INC 2.02,9.01 10/25/07
BRYN MAWR BANK CORP PA 2.02,7.01,9.01 10/25/07
BSD MEDICAL CORP DE 7.01,9.01 10/25/07
Builders FirstSource, Inc. DE 2.02,9.01 10/25/07
BUILDING MATERIALS HOLDING CORP DE 2.02,9.01 10/25/07
Bunge LTD 2.02,9.01 10/25/07
C-COR INC PA 2.02,8.01,9.01 10/25/07
CABLEVISION SYSTEMS CORP /NY DE 8.01,9.01 10/24/07
CABOT MICROELECTRONICS CORP DE 2.02,9.01 10/25/07
CALLIDUS SOFTWARE INC 2.02,9.01 10/25/07
CAPITOL BANCORP LTD MI 7.01 10/25/07
CAPITOL CITY BANCSHARES INC GA 5.02 08/27/07
CARBO CERAMICS INC DE 2.02,7.01,9.01 10/25/07
CARDIMA INC DE 8.01,9.01 10/03/07
CARDIODYNAMICS INTERNATIONAL CORP CA 3.01 10/22/07
CAROLINA BANK HOLDINGS INC NC 2.02 10/25/07
CAROLINA NATIONAL CORP SC 2.02,9.01 10/25/07
CASH AMERICA INTERNATIONAL INC TX 2.02,8.01,9.01 10/25/07
CATHAY GENERAL BANCORP DE 2.02,9.01 10/25/07
CAVCO INDUSTRIES INC DE 2.02,9.01 10/25/07
CB Financial CORP NC 8.01 10/25/07
CDI CORP PA 2.02 10/25/07
CELADON GROUP INC DE 2.02,7.01,9.01 10/24/07
CELGENE CORP /DE/ DE 2.02,9.01 10/25/07
CENTER FINANCIAL CORP CA 2.02,9.01 10/25/07
CENTRAL GARDEN & PET CO DE 5.02,9.01 10/21/07
CENTURY ALUMINUM CO DE 2.02,9.01 10/25/07
Century Petroleum Corp. NV 3.02 10/22/07
CFS BANCORP INC IN 5.03,9.01 10/23/07
CHARMING SHOPPES INC PA 7.01,9.01 10/24/07
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 10/24/07
CHECKFREE CORP \GA\ DE 2.02,9.01 10/25/07
CHICOPEE BANCORP, INC. 2.02,9.01 10/22/07
CHILDRENS INTERNET INC NV 1.01,1.02,5.02,9.01 10/19/07
CHINA FIRE & SECURITY GROUP, INC. 7.01,9.01 10/25/07
China Industrial Waste Management Inc NV 1.01 10/18/07
China Public Security Technology, Inc 1.01,9.01 10/25/07
CHINA YOUTV CORP. NV 5.02 10/25/07
CIBER INC DE 2.02,5.02,9.01 10/24/07
CIRTRAN CORP NV 5.02 10/22/07
CITIZENS COMMUNICATIONS CO DE 8.01,9.01 10/25/07
CITIZENS INC CO 8.01,9.01 10/24/07
CLEVELAND CLIFFS INC OH 8.01 10/24/07
CNB FINANCIAL CORP/PA PA 2.02 10/23/07
CNET NETWORKS INC DE 2.02,7.01,9.01 10/25/07
CNX Gas CORP DE 2.02,9.01 10/25/07
COASTAL BANKING CO INC SC 8.01,9.01 10/23/07
COHU INC DE 2.02,9.01 10/25/07
COLLECTORS UNIVERSE INC DE 1.01,9.01 10/24/07
Collexis Holdings, Inc. 1.01,2.01,3.02,9.01 10/19/07
Collexis Holdings, Inc. 4.02 10/11/07 AMEND
COLONIAL PROPERTIES TRUST AL 2.02,7.01,9.01 10/25/07
COLUMBIA BANKING SYSTEM INC WA 2.02,8.01,9.01 10/25/07
COLUMBIA SPORTSWEAR CO OR 2.02,7.01,9.01 10/25/07
COMCAST CORP PA 2.02,9.01 10/25/07
Command Center, Inc. WA 5.02,9.01 10/19/07
COMMERCE BANCORP INC /NJ/ NJ 2.02,9.01 10/24/07
COMMERCE GROUP INC /MA MA 2.02,9.01 10/25/07
COMMUNICATION INTELLIGENCE CORP DE 5.02,7.01 10/25/07
Community Bancorp NV 2.02,9.01 10/22/07
COMMUNITY BANK SHARES OF INDIANA INC IN 2.02,9.01 10/25/07
Complete Production Services, Inc. DE 2.02,9.01 10/24/07
COMPUTER SCIENCES CORP NV 8.01 10/22/07
COMPX INTERNATIONAL INC DE 7.01,9.01 10/24/07
CONCEPTUS INC DE 2.02,8.01,9.01 10/25/07
CONMED CORP NY 2.02,9.01 10/25/07
CONSOL ENERGY INC 2.02,9.01 10/25/07
Consolidation Services inc 8.01,9.01 10/22/07
Copano Energy, L.L.C. DE 1.01,2.01,2.03,3.02,5.03,7.01, 10/19/07
9.01
CORPORATE EXECUTIVE BOARD CO DE 2.02,9.01 10/24/07
CORUS BANKSHARES INC MN 8.01,9.01 10/25/07
COTT CORP /CN/ 2.02,2.05,2.06,9.01 10/25/07
CrossPoint Energy CO NV 1.01 10/23/07
CURAGEN CORP DE 2.02,9.01 10/25/07
CURTISS WRIGHT CORP DE 1.01 10/23/07
CVD EQUIPMENT CORP NY 8.01,9.01 10/25/07
DANA CORP VA 1.01,8.01,9.01 10/23/07
DARLING INTERNATIONAL INC DE 8.01,9.01 10/24/07
DECKERS OUTDOOR CORP DE 2.02,9.01 10/25/07
Deerfield Triarc Capital Corp MD 1.02,9.01 10/19/07
DELUXE CORP MN 2.02,9.01 10/25/07
DEVRY INC DE 2.02,9.01 10/25/07
Dex Media, Inc./new DE 2.02,9.01 10/25/07
DEXCOM INC 5.02,9.01 10/23/07
DIAMOND OFFSHORE DRILLING INC DE 7.01,9.01 10/25/07
DIAMOND OFFSHORE DRILLING INC DE 2.02,9.01 10/25/07
DIGIRAD CORP DE 2.02,9.01 10/25/07
DIGITAL RIVER INC /DE DE 2.02,9.01 10/25/07
DIOMED HOLDINGS INC NV 2.02,9.01 10/25/07
Disaboom, Inc. CO 7.01,9.01 10/24/07
Dorman Products, Inc. PA 2.02,5.02,9.01 09/29/07
Double-Take Software, Inc. DE 2.02,9.01 10/25/07
DOVER DOWNS GAMING & ENTERTAINMENT IN DE 2.02,7.01,9.01 10/25/07
DOVER MOTORSPORTS INC DE 2.02,7.01,9.01 10/25/07
DOW CHEMICAL CO /DE/ DE 2.02,9.01 10/25/07
Driftwood Ventures, Inc. NV 1.01,2.03,9.01 10/24/07
Duncan Energy Partners L.P. DE 2.02,9.01 10/24/07
DUPONT E I DE NEMOURS & CO DE 5.02,9.01 10/24/07
DYNAMIC MATERIALS CORP DE 2.02,9.01 10/25/07
EAGLE BROADBAND INC TX 1.01,2.01,9.01 10/19/07
Eagle Bulk Shipping Inc. 1.01,2.04,9.01 10/19/07
EARTHLINK INC DE 2.02,9.01 10/25/07
EASTERN CO CT 1.01,5.02,9.01 10/24/07
EASTGROUP PROPERTIES INC MD 2.02,9.01 09/30/07
EASTMAN CHEMICAL CO DE 2.02 10/24/07
EASYLINK SERVICES INTERNATIONAL CORP DE 2.02,7.01,9.01 10/23/07
Echo Healthcare Acquisition Corp. DE 1.01,9.01 10/19/07
ECOSPHERE TECHNOLOGIES INC FL 5.02 10/19/07
EINSTEIN NOAH RESTAURANT GROUP INC DE 5.02 10/22/07
Elixir Gaming Technologies, Inc. NV 3.02,5.02 10/25/07
EMC CORP MA 2.02,9.01 10/25/07
EMULEX CORP /DE/ DE 2.02,9.01 10/25/07
ENCOMPASS HOLDINGS, INC. NV 8.01 10/15/07
ENCORE CAPITAL GROUP INC DE 2.02,9.01 10/25/07
ENCYSIVE PHARMACEUTICALS INC DE 8.01 10/24/07
ENDOLOGIX INC /DE/ DE 5.02 10/22/07
ENERGEN CORP AL 2.02,9.01 10/24/07
EnerJex Resources, Inc. NV 8.01,9.01 10/24/07
ENSCO INTERNATIONAL INC DE 8.01,9.01 10/25/07
ENTERPRISE PRODUCTS PARTNERS L P DE 2.02,9.01 10/24/07
EQUISTAR CHEMICALS LP DE 2.02,9.01 10/25/07
EQUITABLE RESOURCES INC /PA/ PA 2.02,9.01 10/25/07
ESTEE LAUDER COMPANIES INC DE 2.02,9.01 10/25/07
EVERGREEN SOLAR INC DE 1.01,2.02,9.01 10/25/07
EXTREME NETWORKS INC DE 5.02,9.01 10/23/07
FAIRPOINT COMMUNICATIONS INC DE 8.01,9.01 10/25/07
FALCONSTOR SOFTWARE INC DE 2.02,7.01,9.01 10/25/07
FAVRILLE INC DE 2.02,9.01 10/25/07
FBR CAPITAL MARKETS CORP VA 2.02,9.01 10/24/07
Federal Home Loan Bank of Atlanta X1 2.03 10/23/07
Federal Home Loan Bank of Boston X1 2.03 10/22/07
Federal Home Loan Bank of Des Moines X1 2.03,9.01 10/22/07
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 10/22/07
Federal Home Loan Bank of New York X1 2.03,9.01 10/22/07
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 10/22/07
Federal Home Loan Bank of San Francis X1 2.03 10/22/07
Federal Home Loan Bank of Seattle 2.03 10/25/07
Federal Home Loan Bank of Topeka 2.03 10/22/07
FINANCIAL INSTITUTIONS INC NY 2.02,9.01 10/25/07
FIRST ADVANTAGE CORP DE 2.01,9.01 10/24/07
FIRST BANKS, INC MO 2.02,9.01 09/30/07
FIRST COMMUNITY BANCSHARES INC /NV/ NV 2.02,9.01 10/24/07
FIRST COMMUNITY BANCSHARES INC /NV/ NV 8.01,9.01 10/24/07
FIRST FINANCIAL BANKSHARES INC TX 5.02,5.03,9.01 10/24/07
First Financial Northwest, Inc. WA 2.02,9.01 10/25/07
FIRST INDUSTRIAL REALTY TRUST INC MD 2.02,9.01 10/24/07
FIRST MARBLEHEAD CORP 2.02,9.01 10/25/07
FIRST NATIONAL CORP /VA/ 2.02,9.01 10/23/07
FIRST PLACE FINANCIAL CORP /DE/ DE 2.02,7.01,9.01 10/25/07
FIRSTBANK CORP MI 2.02,9.01 10/25/07
FLIR SYSTEMS INC OR 2.02,8.01,9.01 10/25/07
FNB United Corp. NC 2.02,9.01 10/25/07
FOCUS ENHANCEMENTS INC DE 8.01 10/22/07
FOREST OIL CORP NY 1.01,9.01 10/24/07
FOSTER L B CO PA 2.02,9.01 09/30/07
Franchise Capital CORP NV 9.01 10/04/07 AMEND
FRANKFORT TOWER INDUSTRIES INC DE 8.01,9.01 10/25/07
FRANKLIN RESOURCES INC DE 2.02,9.01 10/25/07
FRIEDMAN BILLINGS RAMSEY GROUP INC VA 2.02,9.01 10/25/07
FRIEDMAN BILLINGS RAMSEY GROUP INC VA 2.02,9.01 10/25/07
FRISCHS RESTAURANTS INC OH 2.02,9.01 10/25/07
GATX CORP NY 2.02,7.01,9.01 10/25/07
GENE LOGIC INC DE 2.02,9.01 10/24/07
GENSYM CORP DE 8.01,9.01 10/25/07
GENTA INC DE/ DE 8.01,9.01 10/25/07
GENWORTH FINANCIAL INC DE 2.02,9.01 10/25/07
GILEAD SCIENCES INC DE 8.01,9.01 10/23/07
GLIMCHER REALTY TRUST MD 2.02,9.01 10/24/07
GLOBAL AXCESS CORP NV 8.01 10/17/07
Global Electronic Recovery Corp. NV 5.03,9.01 10/24/07
Global Electronic Recovery Corp. NV 5.03,9.01 10/24/07 AMEND
GLOBAL PARTNERS LP 7.01,9.01 10/25/07
GMACM Home Equity Loan Trust 2007-HE3 DE 8.01,9.01 10/25/07
GOLDEN OVAL EGGS LLC DE 1.01,2.03,9.01 10/19/07
GOLDLEAF FINANCIAL SOLUTIONS INC. TN 5.02,9.01 10/24/07
Goodman Global Inc 2.02,9.01 10/25/07
Goodman Global Inc 1.01,5.02,8.01,9.01 10/21/07
GOODRICH CORP NY 2.02,9.01 10/25/07
GRACO INC MN 2.02,9.01 10/24/07
GRANITE CONSTRUCTION INC DE 8.01,9.01 10/24/07
GRANITE CONSTRUCTION INC DE 2.02,9.01 10/24/07
GRYPHON GOLD CORP NV 2.01,3.02,7.01,9.01 08/24/07 AMEND
H&R BLOCK INC MO 2.03 10/19/07
Hanesbrands Inc. MD 2.02,7.01,9.01 10/25/07
HARMAN INTERNATIONAL INDUSTRIES INC / DE 1.01,1.02,2.03,3.02,9.01 10/22/07
HARMAN INTERNATIONAL INDUSTRIES INC / DE 2.02,7.01,9.01 10/25/07
HARRINGTON WEST FINANCIAL GROUP INC/C 2.02,9.01 10/25/07
HARTE HANKS INC DE 2.02,9.01 10/25/07
HARTFORD FINANCIAL SERVICES GROUP INC DE 2.02,9.01 10/25/07
HEARTLAND EXPRESS INC NV 2.02,9.01 09/30/07
HI/FN INC DE 5.02 10/19/07
HILB ROGAL & HOBBS CO VA 2.02,9.01 10/25/07
HITTITE MICROWAVE CORP 2.02,9.01 10/25/07
Hometown Bancorp,Inc. X1 2.02,9.01 10/19/07
HOST AMERICA CORP DE 8.01 10/24/07
HOST AMERICA CORP DE 5.03,9.01 10/24/07
HUBBELL INC CT 2.02 10/25/07
HUDSON HIGHLAND GROUP INC DE 2.02,9.01 10/24/07
HUMANA INC DE 5.02,9.01 10/24/07
IBERIABANK CORP LA 2.02,7.01,9.01 10/24/07
ICT GROUP INC PA 2.02,9.01 10/25/07
IGATE CORP PA 2.02,9.01 10/24/07
IKANOS COMMUNICATIONS CA 2.02,9.01 10/25/07
IKON OFFICE SOLUTIONS INC OH 2.02,9.01 10/25/07
ILINC COMMUNICATIONS INC DE 2.02,9.01 10/25/07
ILLUMINA INC DE 8.01 10/25/07
IMATION CORP DE 2.02,7.01,9.01 10/25/07
IMCLONE SYSTEMS INC DE 2.02,9.01 10/25/07
IMERGENT INC DE 8.01,9.01 10/24/07
IMMUNOGEN INC MA 8.01,9.01 10/24/07
IMMUNOSYN CORP 1.01,7.01,9.01 10/25/07
INDUSTRIAL DISTRIBUTION GROUP INC DE 8.01 10/24/07
INFE HUMAN RESOURCES INC NV 8.01 10/25/07
INFINITY PROPERTY & CASUALTY CORP OH 2.02,9.01 10/25/07
INGRAM MICRO INC DE 2.02,9.01 10/25/07
Innophos Holdings, Inc. 5.02 10/25/07
INNOVATIVE SOFTWARE TECHNOLOGIES INC CA 3.02 10/19/07
INTER PARFUMS INC DE 2.02 10/24/07
Interactive Brokers Group, Inc. DE 2.02,9.01 10/25/07
INTERACTIVE DATA CORP/MA/ DE 2.02,9.01 10/25/07
INTERCONTINENTALEXCHANGE INC 2.02,9.01 10/25/07
InterDigital, Inc. PA 8.01 10/24/07
INTERFACE INC GA 2.02,9.01 10/24/07
INTERMOUNTAIN COMMUNITY BANCORP ID 2.02,9.01 10/24/07
INTERNATIONAL SHIPHOLDING CORP DE 2.02,9.01 10/25/07
INTERPHASE CORP TX 2.02,9.01 10/25/07
INTERPUBLIC GROUP OF COMPANIES, INC. DE 5.02 10/19/07
INTERWOVEN INC CA 2.02,9.01 10/25/07
INTUITIVE SURGICAL INC DE 5.02 10/24/07
IOMEGA CORP DE 2.02,9.01 10/25/07
ISCO INTERNATIONAL INC DE 2.02,7.01,9.01 10/25/07
ISOTIS INC DE 2.03,9.01 10/19/07
ITT EDUCATIONAL SERVICES INC DE 2.02,5.02 10/25/07
IXIA CA 2.02,9.01 10/25/07
J P MORGAN CHASE & CO DE 9.01 10/23/07
JANUS CAPITAL GROUP INC DE 2.02,9.01 10/25/07
Jazz Technologies, Inc. DE 2.02,9.01 10/25/07
JOURNAL REGISTER CO DE 5.03,9.01 10/25/07
KANSAS CITY SOUTHERN DE 2.02,9.01 10/25/07
KEMET CORP DE 2.02,9.01 10/25/07
KIRBY CORP NV 2.02,9.01 10/24/07
KLA TENCOR CORP DE 2.02,9.01 10/25/07
KV PHARMACEUTICAL CO /DE/ DE 7.01,9.01 10/25/07
L 3 COMMUNICATIONS HOLDINGS INC DE 2.02,9.01 10/25/07
LABORATORY CORP OF AMERICA HOLDINGS DE 2.02 10/25/07
LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 10/25/07
LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 10/25/07
LANTRONIX INC DE 5.02 10/21/07
LATTICE SEMICONDUCTOR CORP DE 2.02,9.01 10/25/07
LCC INTERNATIONAL INC DE 1.01,5.02,9.01 10/19/07
LEAP TECHNOLOGY INC / DE DE 1.01,9.01 10/24/07
LEE ENTERPRISES, INC DE 5.02,9.01 10/24/07
LEFT BEHIND GAMES INC. WA 5.02 10/18/07
LEXICON PHARMACEUTICALS, INC./DE DE 5.03,9.01 10/24/07
LIBERTY STAR URANIUM & METALS CORP. NV 7.01,9.01 10/23/07
LIFE TIME FITNESS INC MN 2.02,9.01 10/25/07
LIFECELL CORP DE 2.02,9.01 10/25/07
LINCOLN ELECTRIC HOLDINGS INC OH 2.02,9.01 10/25/07
LINCOLN GOLD CORP NV 8.01,9.01 10/25/07
LITHIA MOTORS INC OR 2.02,9.01 10/25/07
LITTLEFIELD CORP DE 2.02,9.01 10/24/07
LKQ CORP DE 2.02,9.01 10/25/07
LNB BANCORP INC OH 2.02,9.01 10/25/07
Longfoot Communications Corp. DE 1.01,5.01,5.02,9.01 10/22/07
LSI INDUSTRIES INC OH 8.01,9.01 10/25/07
LUMINEX CORP DE 2.02,9.01 10/24/07
LYONDELL CHEMICAL CO DE 2.02,9.01 10/25/07
MAGMA DESIGN AUTOMATION INC DE 2.02,9.01 10/25/07
MARCHEX INC DE 5.02,7.01,9.01 10/24/07
MARINE PRODUCTS CORP DE 5.03,9.01 10/23/07
Marquee Holdings Inc. DE 7.01,9.01 10/25/07
MARSHALL & ILSLEY CORP/WI/ WI 8.01,9.01 10/25/07
MARVELL TECHNOLOGY GROUP LTD D0 5.02,8.01,9.01 10/20/07
MATRIA HEALTHCARE INC DE 2.02,9.01 10/25/07
MATRIXX INITIATIVES INC DE 2.02,9.01 10/24/07
MAX ENTERTAINMENT HOLDINGS, INC. DE 1.01,8.01,9.01 10/22/07
MBIA INC CT 2.02,9.01 10/25/07
McAfee, Inc. DE 2.02,9.01 10/25/07
MCMORAN EXPLORATION CO /DE/ DE 8.01 10/25/07
MDC HOLDINGS INC DE 1.01,2.02,9.01 10/24/07
MEADWESTVACO CORP DE 2.02,9.01 10/25/07
MECHANICAL TECHNOLOGY INC NY 1.01,9.01 10/22/07
MEDecision, Inc. PA 2.02,9.01 10/25/07
MEMC ELECTRONIC MATERIALS INC DE 2.02,9.01 10/25/07
MERIT MEDICAL SYSTEMS INC UT 2.02,9.01 10/25/07
Meritage Homes CORP MD 2.02,9.01 10/25/07
Merrill Lynch First Franklin Mortgage DE 8.01,9.01 10/10/07
METALICO INC 2.02,9.01 10/25/07
MICREL INC CA 2.02,9.01 10/25/07
MICROFINANCIAL INC MA 2.02,9.01 10/24/07
MICROMED CARDIOVASCULAR INC DE 5.02 10/22/07
MICROS SYSTEMS INC MD 2.02 10/25/07
MICROSOFT CORP WA 2.02,9.01 10/25/07
MICROTUNE INC DE 1.01,2.02,5.02,9.01 10/23/07
MID WISCONSIN FINANCIAL SERVICES INC WI 2.02,9.01 10/25/07
MIDAS INC DE 2.02 10/25/07
MIDWEST BANC HOLDINGS INC DE 2.02,7.01,9.01 10/23/07
MILLENNIUM CELL INC DE 2.02,8.01,9.01 10/22/07
MILLENNIUM CHEMICALS INC DE 2.02,9.01 10/25/07
MIV THERAPEUTICS INC NV 2.01,3.02,9.01 02/16/07
MKS INSTRUMENTS INC MA 2.02,9.01 10/25/07
MOBILITY ELECTRONICS INC DE 2.02,9.01 10/25/07
MORRIS PUBLISHING GROUP LLC GA 1.01,7.01 06/30/07
MOSAIC CO 7.01,9.01 10/24/07
MOTORCAR PARTS AMERICA INC NY 1.01,9.01 10/24/07
MOTOROLA INC DE 2.02,9.01 10/25/07
MPS GROUP INC FL 2.02,9.01 10/25/07
MSGI SECURITY SOLUTIONS, INC NV 8.01 10/25/07
NABI BIOPHARMACEUTICALS DE 1.01,1.02 10/24/07
NATIONAL COAL CORP FL 1.01,2.01,2.03,3.02,9.01 10/19/07
NATIONAL COAL CORP FL 3.02 10/19/07
NATIONAL INSTRUMENTS CORP /DE/ DE 2.02,9.01 10/25/07
NaturalNano , Inc. NV 8.01,9.01 10/25/07
NATURE VISION, INC. MN 1.01,2.03,9.01 10/19/07
NAVISTAR FINANCIAL CORP DE 1.01,9.01 10/23/07
NAVISTAR INTERNATIONAL CORP DE 2.02,7.01,9.01 10/25/07
NAVISTAR INTERNATIONAL CORP DE 1.01,2.02,7.01,8.01,9.01 10/23/07
NESTOR INC DE 8.01,9.01 10/23/07
NETGEAR, INC DE 2.02,9.01 10/25/07
NETMANAGE INC DE 2.02,9.01 10/25/07
NETMANAGE INC DE 2.02 10/25/07
NETSCOUT SYSTEMS INC DE 2.02,9.01 10/25/07
NEWELL RUBBERMAID INC DE 2.02,7.01,9.01 10/25/07
NEWFIELD EXPLORATION CO /DE/ DE 2.02,7.01,9.01 10/24/07
NEXITY FINANCIAL CORP DE 2.02,9.01 10/25/07
NII HOLDINGS INC DE 2.02,9.01 10/25/07
NIKE INC OR 1.01,7.01,9.01 10/23/07
Nitar Tech Corp. DE 8.01,9.01 10/25/07
NNN Healthcare/Office REIT, Inc. MD 1.01,2.03,9.01 10/19/07
Northstar Neuroscience, Inc. WA 2.02,9.01 10/25/07
NOVAMED INC DE 5.03,9.01 10/23/07
NOVASTAR FINANCIAL INC MD 1.01,2.03,9.01 10/22/07
NPS PHARMACEUTICALS INC DE 8.01,9.01 10/25/07
NS8 CORP DE 5.02,9.01 10/19/07
NSTAR/MA MA 9.01 10/25/07
NT MEDIA CORP OF CALIFORNIA INC DE 4.01,9.01 10/22/07
NTS MORTGAGE INCOME FUND DE 7.01,9.01 10/25/07
Nuance Communications, Inc. DE 1.01,3.02,7.01,9.01 10/21/07
NUCLEAR SOLUTIONS INC NV 3.02,5.02 10/25/07
OGLETHORPE POWER CORP GA 2.03 10/25/07
OLD DOMINION FREIGHT LINE INC/VA VA 2.02,9.01 10/25/07
OLD NATIONAL BANCORP /IN/ IN 1.01,2.03,9.01 10/25/07
OMEGA FINANCIAL CORP /PA/ PA 2.02,9.01 10/22/07
Omega Flex, Inc. PA 2.02,7.01,9.01 09/30/07
ONLINE RESOURCES CORP DE 2.01,9.01 08/10/07 AMEND
OPEN ENERGY CORP NV 8.01,9.01 10/25/07
OPENWAVE SYSTEMS INC DE 2.02,9.01 10/25/07
ORCHID CELLMARK INC 1.01,7.01,9.01 10/19/07
OSAGE BANCSHARES, INC. MD 2.02,8.01,9.01 10/25/07
OWENS ILLINOIS INC /DE/ DE 2.02,9.01 10/24/07
OXIS INTERNATIONAL INC DE 8.01,9.01 10/22/07
P F CHANGS CHINA BISTRO INC 2.02,5.03,8.01,9.01 10/19/07
PALMETTO BANCSHARES INC SC 2.02,9.01 10/22/07
PALOMAR MEDICAL TECHNOLOGIES INC DE 2.02,9.01 10/25/07
PANACOS PHARMACEUTICALS, INC. DE 2.02,8.01,9.01 10/25/07
Panglobal Brands Inc. DE 5.02 10/22/07
PAREXEL INTERNATIONAL CORP MA 2.02,9.01 10/24/07
Patriot Coal CORP DE 1.01,3.03,5.02,5.03,9.01 10/24/07
PC CONNECTION INC DE 2.02,9.01 10/25/07
PEABODY ENERGY CORP DE 1.01,9.01 10/22/07
PEETS COFFEE & TEA INC WA 5.02,7.01,9.01 10/24/07
PENN VIRGINIA CORP VA 5.02 10/23/07 AMEND
PENSKE AUTOMOTIVE GROUP, INC. DE 2.02,8.01,9.01 10/25/07
PENSON WORLDWIDE INC DE 2.02,9.01 10/24/07
PEPSI BOTTLING GROUP INC DE 1.01,1.02,2.03,9.01 10/19/07
PERKINELMER INC MA 2.02,9.01 10/25/07
PERMIAN BASIN ROYALTY TRUST TX 2.02,9.01 10/19/07
PHARMACYCLICS INC DE 2.02,9.01 10/24/07
PharmaNet Development Group Inc DE 5.02,9.01 10/22/07
Pharmasset Inc 8.01,9.01 10/24/07
PHARSIGHT CORP CA 2.02,9.01 10/25/07
PIERRE FOODS INC NC 5.02 10/22/07
PINNACLE WEST CAPITAL CORP AZ 2.02,7.01,9.01 09/30/07
POGO PRODUCING CO DE 2.02,8.01,9.01 10/24/07
POTASH CORP OF SASKATCHEWAN INC 2.02,9.01 10/25/07
POTLATCH CORP DE 2.02,9.01 10/25/07
POWER ONE INC DE 2.02,9.01 10/25/07
PREMIER FINANCIAL BANCORP INC KY 1.01,7.01,9.01 10/25/07
PREMIER WEALTH MANAGEMENT, INC. DE 1.01,8.01,9.01 10/22/07
PRESSTEK INC /DE/ DE 7.01,9.01 10/25/07
PRINCETON NATIONAL BANCORP INC DE 2.02,9.01 10/23/07
PROLOGIS MD 2.02,9.01 10/25/07
Promotora Valle Hermosa CORP FL 1.01,9.01 10/25/07
Protalix BioTherapeutics, Inc. FL 8.01,9.01 10/24/07
Protalix BioTherapeutics, Inc. FL 1.01,9.01 10/24/07
PROTECTION ONE INC DE 8.01,9.01 10/25/07
PROVIDENT FINANCIAL SERVICES INC DE 2.02,7.01,9.01 10/25/07
PROVIDENT FINANCIAL SERVICES INC DE 2.02,7.01,9.01 10/25/07
PULTE HOMES INC/MI/ MI 2.02,9.01 10/24/07
PURE BIOSCIENCE CA 3.02,9.01 10/19/07
PVF CAPITAL CORP OH 2.02,9.01 10/24/07
QLT INC/BC A1 2.02,9.01 10/25/07
QUESTAR CORP UT 2.02,9.01 10/24/07
QUIGLEY CORP NV 2.02,8.01,9.01 10/25/07
R H DONNELLEY CORP DE 2.02,9.01 10/25/07
Rackable Systems, Inc. DE 2.02,9.01 10/25/07
RAMTRON INTERNATIONAL CORP DE 2.02,9.01 09/30/07
RANGE RESOURCES CORP DE 2.02,9.01 10/24/07
RAYTHEON CO/ DE 2.02,9.01 10/25/07
Red Lake Exploration Inc. NV 5.02 10/24/07
REDDY ICE HOLDINGS INC DE 2.02,9.01 10/25/07
REGAL ENTERTAINMENT GROUP DE 2.02,8.01,9.01 10/25/07
REGENERATION TECHNOLOGIES INC FL 2.02,9.01 10/25/07
RELIANT ENERGY INC DE 5.02,9.01 10/22/07
RESEARCH FRONTIERS INC DE 7.01 10/25/07
RESPIRONICS INC DE 2.02 10/25/07
REYNOLDS AMERICAN INC 2.02,9.01 10/25/07
RICHARDSON ELECTRONICS LTD/DE DE 5.02,7.01,9.01 10/19/07
ROCK OF AGES CORP DE 1.01,9.01 10/25/07
ROMA FINANCIAL CORP X1 8.01,9.01 10/24/07
ROME BANCORP INC DE 2.02,9.01 10/24/07
RPC INC DE 5.03,9.01 10/23/07
RSC Holdings Inc. DE 2.02,9.01 10/25/07
RYERSON INC. DE 5.02,9.01 10/22/07
SAFEGUARD SCIENTIFICS INC PA 5.03,9.01 10/23/07
Sally Beauty Holdings, Inc. 5.02,9.01 10/24/07
SALLY HOLDINGS LLC DE 5.02,9.01 10/24/07
SARATOGA RESOURCES INC /TX TX 1.01,9.01 10/24/07
SATCON TECHNOLOGY CORP DE 1.01,2.03,9.01 10/19/07
SCANA CORP SC 8.01,9.01 10/24/07
SCANSOURCE INC SC 2.02,9.01 10/25/07
SCHWEITZER MAUDUIT INTERNATIONAL INC DE 2.02,9.01 10/25/07
SCOTTS LIQUID GOLD INC CO 4.02 10/22/07
SCRIPPS E W CO /DE OH 2.02,9.01 10/25/07
SEACOR HOLDINGS INC /NEW/ DE 2.02,9.01 10/25/07
Security Capital Assurance Ltd D0 2.02,9.01 10/25/07
SEI INVESTMENTS CO PA 2.02,8.01,9.01 10/23/07
SELECTICA INC DE 5.02,9.01 10/23/07
SELECTIVE INSURANCE GROUP INC NJ 2.02,9.01 10/25/07
SemGroup Energy Partners, L.P. DE 7.01,9.01 10/25/07
SERVICE BANCORP INC MA 2.02,9.01 10/24/07
SIERRA MONITOR CORP /CA/ CA 2.02,9.01 10/25/07
SILGAN HOLDINGS INC DE 2.02,9.01 10/25/07
Silver State Bancorp 2.02,9.01 07/23/07
SILVERLEAF RESORTS INC 7.01,9.01 10/24/07
SIMPSON MANUFACTURING CO INC /CA/ DE 2.02,9.01 10/25/07
Six Diamond Resorts International E9 4.01 10/24/07
SoftNet Technology Corp. NV 5.03,9.01 10/24/07
SOLUTIA INC DE 7.01,9.01 10/22/07
SOUTHERN CO DE 2.02 10/25/07
SOUTHERN COMMUNITY FINANCIAL CORP 8.01,9.01 10/25/07
SOUTHERN MISSOURI BANCORP INC MO 8.01 10/22/07
SOYO GROUP INC NV 5.02 10/23/07
SPARTA INC /DE DE 2.02,9.01 10/22/07
SPARTAN MOTORS INC MI 2.02,8.01,9.01 10/25/07
SPARTON CORP OH 2.02,9.01 10/24/07
SPECTRX INC DE 8.01 10/25/07
STANCORP FINANCIAL GROUP INC OR 2.02,9.01 10/24/07
STANDEX INTERNATIONAL CORP/DE/ DE 2.02,9.01 09/30/07
STARWOOD HOTEL & RESORTS WORLDWIDE IN MD 2.02,9.01 10/25/07
State Auto Financial CORP OH 2.02,7.01,9.01 10/23/07
STERICYCLE INC DE 9.01 09/30/07
STERIS CORP OH 8.01,9.01 10/24/07
STEWART INFORMATION SERVICES CORP DE 2.02,9.01 10/25/07
STONE TAN CHINA ACQUISITION CORP. 8.01,9.01 10/19/07
SUBURBAN PROPANE PARTNERS LP DE 7.01,8.01,9.01 10/25/07
Sun American Bancorp DE 2.02 10/25/07
Sunrise Mining CORP NV 1.01,2.03,3.02,9.01 10/25/07
SUPERIOR UNIFORM GROUP INC FL 2.02,9.01 10/25/07
SVB FINANCIAL GROUP 2.02,9.01 10/25/07
Symmetry Holdings Inc DE 8.01,9.01 10/25/07
SYNCHRONOSS TECHNOLOGIES INC 2.02,9.01 10/25/07
SYNIVERSE HOLDINGS INC DE 2.02,9.01 10/25/07
SYNOVUS FINANCIAL CORP GA 2.02,7.01,8.01,9.01 10/25/07
SYNOVUS FINANCIAL CORP GA 1.01,5.03,9.01 10/25/07
SYNTEL INC MI 2.02,9.01 10/25/07
SYPRIS SOLUTIONS INC DE 2.02,7.01,9.01 10/25/07
TECHNITROL INC PA 2.02,9.01 10/25/07
TELEDYNE TECHNOLOGIES INC DE 2.02,9.01 10/25/07
TEPPCO PARTNERS LP DE 2.02,9.01 10/24/07
TEREX CORP DE 2.02,9.01 10/25/07
TERRA INDUSTRIES INC MD 2.02,9.01 10/25/07
TERRA NITROGEN CO L P /DE DE 2.02,9.01 10/25/07
TF FINANCIAL CORP DE 8.01 10/25/07
TF FINANCIAL CORP DE 2.02 10/25/07
THEATER XTREME ENTERTAINMENT GROUP, I FL 5.02 10/21/07
THERAVANCE INC DE 2.02,9.01 10/25/07
THERMO FISHER SCIENTIFIC INC. DE 2.02,9.01 10/25/07
THRESHOLD PHARMACEUTICALS INC DE 1.01,3.01,5.02,9.01 10/19/07
TIMKEN CO OH 2.02 10/25/07
TOLLGRADE COMMUNICATIONS INC \PA\ PA 2.02,9.01 10/24/07
TONGA CAPITAL CORP CO 5.02,9.01 10/19/07
TOTAL SYSTEM SERVICES INC GA 7.01,8.01,9.01 10/25/07
TOTAL SYSTEM SERVICES INC GA 1.01,5.03,9.01 10/25/07
TRANSATLANTIC HOLDINGS INC DE 2.02 10/25/07
TRANSCEND SERVICES INC DE 2.02,9.01 10/25/07
TRANSOCEAN INC E9 8.01 10/19/07
TRAVELERS COMPANIES, INC. MN 2.02,9.01 10/25/07
TRIAD GUARANTY INC DE 2.02,9.01 10/24/07
TRIARC COMPANIES INC DE 1.02 10/25/07
TRICO BANCSHARES / CA 2.02,9.01 09/30/07
TRIDENT MICROSYSTEMS INC DE 2.02,5.02,8.01,9.01 10/23/07
TUMBLEWEED COMMUNICATIONS CORP DE 2.02,9.01 10/25/07
TYLER TECHNOLOGIES INC DE 2.02 10/24/07
UIL HOLDINGS CORP CT 8.01,9.01 10/25/07
ULTIMATE SOFTWARE GROUP INC DE 2.02,9.01 10/25/07
ULTRALIFE BATTERIES INC DE 2.02,9.01 10/23/07
UNIFI INC NY 2.02,7.01,8.01,9.01 10/25/07
UNION BANKSHARES INC VT 2.02,8.01,9.01 10/24/07
UNITED AMERICA INDEMNITY, LTD E9 2.02,8.01,9.01 10/24/07
UNITED BANCORP INC /MI/ MI 2.02,9.01 10/25/07
UNITED BANKSHARES INC/WV WV 2.02,9.01 10/25/07
UNITED HERITAGE CORP UT 8.01,9.01 10/19/07
UNITED ONLINE INC DE 2.02,8.01,9.01 10/25/07
UNITED RETAIL GROUP INC/DE DE 1.01,5.01,5.02,8.01,9.01 10/25/07
UROLOGIX INC MN 2.02,9.01 10/24/07
URS CORP /NEW/ DE 2.02,8.01,9.01 10/25/07
US AIRWAYS GROUP INC DE 2.02,9.01 10/25/07
US AIRWAYS GROUP INC DE 7.01,9.01 10/25/07
US CONCRETE INC DE 2.02,9.01 10/24/07
UST INC DE 2.02,9.01 10/25/07
uWink, Inc. UT 8.01,9.01 10/25/07
V F CORP PA 7.01,8.01,9.01 10/15/07
V2K International Inc 5.02 10/23/07
VALPEY FISHER CORP MD 5.03,9.01 10/24/07
VARIAN SEMICONDUCTOR EQUIPMENT ASSOCI DE 2.02,9.01 10/25/07
ViewPoint Financial Group X1 2.02,9.01 10/24/07
VIGNETTE CORP DE 2.02,9.01 10/24/07
VINEYARD NATIONAL BANCORP CA 2.02,9.01 10/25/07
VISTAPRINT LTD D0 2.02,9.01 10/25/07
VOIS Inc. 1.01,9.01 10/03/07
Voyant International CORP NV 4.01,9.01 10/21/07
WAYNE SAVINGS BANCSHARES INC /DE/ DE 2.02,9.01 10/25/07
WEIS MARKETS INC PA 9.01 09/29/07
Wells Fargo Mortgage Backed Securitie DE 9.01 10/25/07
Wells Fargo Mortgage Backed Securitie DE 9.01 10/25/07
WEST MARINE INC DE 2.02,8.01,9.01 10/25/07
WESTAMERICA BANCORPORATION CA 8.01 10/25/07
WESTELL TECHNOLOGIES INC DE 2.02,9.01 10/24/07
WESTFIELD FINANCIAL INC MA 2.02,9.01 10/24/07
WESTWOOD HOLDINGS GROUP INC DE 2.02,7.01,9.01 10/24/07
Williams Partners L.P. 5.02,7.01,9.01 10/23/07
WOLVERINE WORLD WIDE INC /DE/ MI 5.02 10/19/07
XCEL ENERGY INC MN 2.02,9.01 10/25/07
XFONE INC NV 5.03,8.01,9.01 10/25/07
XM SATELLITE RADIO HOLDINGS INC DE 2.02,7.01,9.01 10/25/07
ZIOPHARM ONCOLOGY INC 8.01,9.01 10/25/07
ZONE 4 PLAY INC NV 5.02 10/25/07
ZYGO CORP DE 2.02,9.01 10/25/07
http://www.sec.gov/news/digest/2007/dig102607.htm
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