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SEC NEWS DIGEST
Issue 2007-222 November 19, 2007
ENFORCEMENT PROCEEDINGS
REVOCATION OF REGISTRATION OF SECURITIES OF SOLV-EX CORPORATION
On November 16, the Commission revoked the registration of the
securities of Solv-Ex Corporation (Solv-Ex), of Albuquerque, New
Mexico, registered with the Commission pursuant to Section 12 of the
Securities Exchange Act of 1934 (the Exchange Act). The Commission
revoked Solv-Ex's securities pursuant to Section 12(j) of the Exchange
Act.
In its Order revoking the registration of securities of Solv-Ex
registered with the Commission pursuant to Section 12 of the Exchange
Act, the Commission found the following:
Solv-Ex has failed to comply with Section 13(a) of the
Exchange Act and Rules 13a-1 and 13a-13 thereunder, while
its common stock was registered with the Commission, in that
it has not filed an annual report on Form 10-K since Sept.
30, 1996, or periodic or quarterly reports on Form 10-Q for
any fiscal period subsequent to its fiscal period ending June 30,
1999.
The Commission cautions brokers, dealers, shareholders, and
prospective purchasers that they should carefully consider the
foregoing information along with all other currently available
information and any information subsequently issued by the company.
Further, brokers and dealers should be alert to the fact that Section
12(j) provides, in pertinent part, as follows:
No member of a national securities exchange, broker, or dealer
shall make use of the mails or any means or instrumentality of
interstate commerce to effect any transaction in, or to induce
the purchase or sale of, any security the registration of
which has been and is suspended or revoked.
Without admitting or denying the findings in the Order Making Findings
and Revoking Registration of Securities Pursuant to Section 12(j) of
the Securities Exchange Act of 1934, Solv-Ex consented to the entry of
an order finding that it had failed to comply with Section 13(a) of
the Exchange Act and Rules 13a-1 and 13a-13 thereunder and revoking
its registration. (Rel. 34-56807; File No. 3-12821)
INVESTMENT COMPANY ACT RELEASES
KIEWIT INVESTMENT FUND LLLP
A notice has been issued giving interested persons until Dec. 10,
2007, to request a hearing on an application filed by Kiewit
Investment Fund LLLP for an order to amend a prior order under Section
6(b) of the Investment Company Act to expand the class of persons
eligible to purchase and hold shares of an employees' securities
company to include certain specified immediate family members and
grandchildren of eligible employees. In addition, the order would
permit certain trusts and other investment vehicles formed for the
benefit of lineal descendants of eligible employees to purchase and
hold shares of the employees' securities company. (Rel. IC-28047 -
November 15)
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A proposed rule change filed by NYSE Arca amending the Fill-or-Kill
order (SR-NYSEArca-2007-114) 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 November 19. (Rel.
34-56786)
A proposed rule change (SR-NYSEArca-2007-113) filed by NYSE Arca
relating to the Mid-Point Passive Liquidity Order, has become
immediately effective pursuant to 19(b)(3)(A)(iii) of the Securities
Exchange Act of 1934. Publication is expected in the Federal Register
during the week of November 19. (Rel. 34-56790)
A proposed rule change filed by the Municipal Securities Rulemaking
Board relating to Rule G-27, on supervision (SR-MSRB-2007-05) 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 November 19. (Rel. 34-56796)
The American Stock Exchange filed a proposed rule change (SR-Amex-
2007-122) under Section 19(b)(1) of the Securities Exchange Act of
1934 relating to Exchange liability for the actions or omissions of
Amex Book Clerks. Publication is expected in the Federal Register
during the week of November 19. (Rel. 34-56805)
APPROVAL OF PROPOSED RULE CHANGES
A proposed rule change (SR-Amex-2007-108), filed by the American Stock
Exchange to increase the annual listing fees for certain stock issues
of listed companies has been approved pursuant to Section 19(b)(2) of
the Securities Exchange Act of 1934. Publication is expected in the
Federal Register during the week of November 19. (Rel. 34-56787)
The Commission approved a proposed rule change (SR-Phlx-2007-60) filed
by the Philadelphia Stock Exchange relating to Structured Equity
Products. Publication is expected in the Federal Register during the
week of November 19. (Rel. 34-56799)
The Commission approved a proposed rule change (SR-Amex-2006-107), as
modified by Amendment No. 1 thereto, submitted under Section 19(b)(1)
of the Securities Exchange Act of 1934 by the American Stock Exchange
to eliminate options specialists' agency responsibilities and
establish Amex Book Clerks. Publication is expected in the Federal
Register during the week of November 19. (Rel. 34-56804)
PROPOSED RULE CHANGE
The New York Stock Exchange filed a proposed rule change (SR-NYSE-
2007-102) under Rule 19b-4 of the Securities Exchange Act of 1934
relating to NYSE Rule 1500 (NYSE MatchPointSM). Publication is
expected in the Federal Register during the week of November 19. (Rel.
34-56798)
AMENDMENTS TO PROPOSED RULE CHANGE RELATING TO FLEX OPTIONS TRADING
AND ORDER GRANTING ACCELERATED APPROVAL TO PROPOSED RULE CHANGE AS
AMENDED
The Chicago Board Options Exchange filed Amendment Nos. 2 and 3 to a
proposed rule change (SR-CBOE-2006-99) providing for the trading of
FLEX options on a new electronic platform, and the Commission granted
accelerated approval of the proposed rule change, as modified by
Amendment Nos. 1, 2, and 3. Publication is expected in the Federal
Register during the week of November 19. (Rel. 34-56792)
ACCELERATED APPROVAL OF PROPOSED RULE CHANGE
The Commission granted accelerated approval to a proposed rule change
(SR-NYSEArca-2007-106) and Amendment No. 1 thereto submitted by NYSE
Arca to list and trade options already listed on another national
securities exchange. Publication is expected in the Federal Register
during the week of November 19. (Rel. 34-56797)
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-3ASR COUNTRYWIDE FINANCIAL CORP, 4500 PARK GRANADA BLVD, CALABASAS, CA,
91302, 8182253000 - 0 ($4,000,000,000.00) Debt Convertible into Equity,
(File 333-147438 - Nov. 16) (BR. 07C)
S-1 BPW Acquisition Corp., 750 WASHINGTON BOULEVARD, STAMFORD, CT, 06901,
(203) 653-5800 - 0 ($431,250,000.00) Equity, (File 333-147439 -
Nov. 16) (BR. 03C)
S-8 AMERICAN CLAIMS EVALUATION INC, 5169388000 - 0 ($1,080,000.00) Equity,
(File 333-147442 - Nov. 16) (BR. 09B)
S-8 ALASKA PACIFIC BANCSHARES INC, 2094 JORDAN AVE., JUNEAU, AK,
99801-8046, 9077894844 - 32,000 ($768,800.00) Equity,
(File 333-147444 - Nov. 16) (BR. 07C)
S-8 RAVEN MOON ENTERTAINMENT INC, 2005 TREE FORK LANE, STE 101, LONGWOOD,
FL, 32750, 407-774-4462 - 200,000,000 ($20,000.00) Equity,
(File 333-147445 - Nov. 16) (BR. 05C)
S-8 NATIONAL DENTEX CORP /MA/, 526 BOSTON POST ROAD, WAYLAND, MA, 01778,
5083584422 - 0 ($2,415,000.00) Equity, (File 333-147446 - Nov. 16)
(BR. 09A)
S-8 ORIENT EXPRESS HOTELS LTD, 41 CEDAR AVE, PO BOX HM 1179,
HAMILTON HM EX BERMU, D0, 00000, 2127323200 - 0 ($58,375,000.00) Other,
(File 333-147448 - Nov. 16) (BR. 08B)
S-8 Vulcan Materials CO, 1200 URBAN CENTER DRIVE, BIRMINGHAM, AL, 35242,
(205) 298-3000 - 14,438,632 ($1,011,560,590.66) Equity,
(File 333-147449 - Nov. 16) (BR. 04A)
S-8 Vulcan Materials CO, 1200 URBAN CENTER DRIVE, BIRMINGHAM, AL, 35242,
(205) 298-3000 - 1,605,000 ($132,540,900.00) Equity, (File 333-147450 -
Nov. 16) (BR. 04A)
S-8 PRIVATEBANCORP, INC, 70 WEST MADISON, SUITE 200, CHICAGO, IL, 60602,
3126837100 - 5,000,000 ($148,450,000.00) Equity, (File 333-147451 -
Nov. 16) (BR. 07C)
S-8 DUPONT E I DE NEMOURS & CO, 1007 MARKET ST, WILMINGTON, DE, 19898,
3027741000 - 1,500,000 ($68,520,000.00) Equity, (File 333-147452 -
Nov. 16) (BR. 06B)
S-8 Metavante Technologies, Inc., 4900 WEST BROWN DEER ROAD, MILWAUKEE, WI,
53223, (414) 357-2290 - 525,000 ($12,117,000.00) Equity,
(File 333-147453 - Nov. 16) (BR. 07)
S-8 IAS ENERGY, INC., #240 - 11780 HAMMERSMITH WAY, RICHMOND, A1, V7A 5E9,
604-278-5996 - 2,000,000 ($1,860,000.00) Equity, (File 333-147454 -
Nov. 16) (BR. 04A)
S-3 DYNAVAX TECHNOLOGIES CORP, 2929 SEVENTH STREET, SUITE 100, BERKELEY,
CA, 94710, 5108485100 - 0 ($9,472,000.00) Equity, (File 333-147455 -
Nov. 16) (BR. 01A)
SB-2 GRAND RIVER COMMERCE INC, 4471 WILSON AVENUE, GRANDVILLE, MI, 49418,
616 531 1943 - 0 ($26,965,000.00) Equity, (File 333-147456 - Nov. 16)
(BR. 07)
S-8 WIRELESS RONIN TECHNOLOGIES INC, BAKER TECHNOLOGY PLAZA,
5929 BAKER ROAD, SUITE 475, MINNETONKA, MN, 55345, 952-564-3500 -
0 ($3,087,000.00) Equity, (File 333-147458 - Nov. 16) (BR. 03C)
S-8 ARCH COAL INC, CITY PLACE ONE STE 300, ARCH MINERAL CORP, ST LOUIS, MO,
63141, 3149942700 - 0 ($15,000,000.00) Other, (File 333-147459 -
Nov. 16) (BR. 04C)
S-4 PREMIERWEST BANCORP, 503 AIRPORT ROAD, PO BOX 40, MEDFORD, OR, 97501,
5416186000 - 0 ($13,209,668.39) Equity, (File 333-147460 - Nov. 16)
(BR. 07C)
S-8 BPZ RESOURCES, INC., 580 WESTLAKE PARK BLVD., SUITE 525, HOUSTON, TX,
77079, 2815566200 - 0 ($42,560,000.00) Equity, (File 333-147461 -
Nov. 16) (BR. 04A)
S-8 BPZ RESOURCES, INC., 580 WESTLAKE PARK BLVD., SUITE 525, HOUSTON, TX,
77079, 2815566200 - 0 ($26,600,000.00) Equity, (File 333-147462 -
Nov. 16) (BR. 04A)
S-3 BPZ RESOURCES, INC., 580 WESTLAKE PARK BLVD., SUITE 525, HOUSTON, TX,
77079, 2815566200 - 0 ($266,000,000.00) Equity, (File 333-147463 -
Nov. 16) (BR. 04A)
S-1 USA TECHNOLOGIES INC, 100 DEERFIELD LANE, SUITE 140, MALVERN, PA,
19355, 6109890340 - 2,385,652 ($16,699,564.00) Equity,
(File 333-147465 - Nov. 16) (BR. 03B)
S-3 Pacific Ethanol, Inc., 400 CAPITOL MALL, SUITE 2060, SACRAMENTO, CA,
95814, 916-403-2123 - 10,501,000 ($65,841,270.00) Equity,
(File 333-147471 - Nov. 16) (BR. 06A)
S-8 MATTEL INC /DE/, 333 CONTINENTAL BLVD, EL SEGUNDO, CA, 90245,
3102522000 - 0 ($5,214,000.00) Other, (File 333-147472 - Nov. 16)
(BR. 05B)
S-4 SBA COMMUNICATIONS CORP, ONE TOWN CENTER RD, THIRD FLOOR, BOCA RATON,
FL, 33486, 5619957670 - 4,000,000 ($133,680,000.00) Equity,
(File 333-147473 - Nov. 16) (BR. 11B)
S-8 IDERA PHARMACEUTICALS, INC., 167 SIDNEY STREET, CAMBRIDGE, MA, 02139,
6176795500 - 0 ($17,910,000.00) Equity, (File 333-147474 - Nov. 16)
(BR. 01A)
S-8 COMSYS IT PARTNERS INC, 4400 POST OAK PARKWAY, SUITE 1800, HOUSTON, TX,
77027, 713-386-1400 - 590,331 ($7,804,175.82) Equity,
(File 333-147475 - Nov. 16) (BR. 11C)
S-8 HEIDRICK & STRUGGLES INTERNATIONAL INC, C/O HEIDRICK & STRUGGLES INC,
233 S WACKER DR STE 4200, CHICAGO, IL, 60606-6303, 3124961200 -
4,403,386 ($162,266,060.47) Equity, (File 333-147476 - Nov. 16)
(BR. 08B)
F-1 Xinyuan Real Estate Co Ltd, No 18 Xinyuan Rd, Zhengzhou, Henan China,
F4, 450011, 86037165651222 - 0 ($299,500,000.00) ADRs/ADSs,
(File 333-147477 - Nov. 16) (BR. 06)
S-3 CYGNE DESIGNS INC, 1410 BROADWAY, NEW YORK, NY, 10019, 2124893900 -
0 ($41,959,017.00) Equity, (File 333-147478 - Nov. 16) (BR. 09A)
S-8 AURIGA LABORATORIES, INC., 10635 SANTA MONICA BLVD, SUITE 120,
LOS ANGELES, CA, 90025, 3104613607 - 10,000,000 ($1,350,000.00) Equity,
(File 333-147479 - Nov. 16) (BR. 01A)
S-3 NATURAL HEALTH TRENDS CORP, 2050 DIPLOMAT DRIVE, --, DALLAS, TX, 75234,
972-241-4080 - 0 ($8,843,159.12) Equity, (File 333-147480 - Nov. 16)
(BR. 02A)
S-4 INDEPENDENT BANK CORP, 288 UNION STREET, ROCKLAND, MA, 02370,
7818786100 - 0 ($72,051,272.19) Equity, (File 333-147481 - Nov. 16)
(BR. 07C)
S-4 AMGEN INC, ONE AMGEN CENTER DRIVE, THOUSAND OAKS, CA, 91320-1799,
805-447-1000 - 0 ($4,000,000,000.00) Non-Convertible Debt,
(File 333-147482 - Nov. 16) (BR. 01A)
S-3 Douglas Emmett Inc, 808 WILSHIRE BLVD., SUITE 200, SANTA MONICA, CA,
90401, 310-255-7700 - 79,840,853 ($2,042,329,019.74) Equity,
(File 333-147483 - Nov. 16) (BR. 08B)
S-1 Patient Safety Technologies, Inc, 1800 CENTURY PARK EAST, STE. 200,
LOS ANGELES, CA, 90067, (310) 895-7750 -
5,950,171 ($8,151,734.00) Equity, (File 333-147484 - Nov. 16) (BR. 10C)
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
--------------------------------------------------------------------------------------------------------
ABRAXAS PETROLEUM CORP NV 2.02,4.02,7.01 11/15/07 AMEND
ABX AIR INC 8.01,9.01 11/16/07
ACACIA RESEARCH CORP DE 7.01,9.01 11/15/07
ACG HOLDINGS INC DE 1.01,9.01 11/14/07
ACNB CORP PA 1.01,5.02,9.01 11/09/07
ACORN FACTOR, INC. DE 7.01,9.01 11/15/07
ACORN FACTOR, INC. DE 2.02,9.01 11/16/07
ADAMS GOLF INC DE 7.01,8.01,9.01 11/16/07
ADC TELECOMMUNICATIONS INC MN 8.01 11/12/07
ADCARE HEALTH SYSTEMS INC 2.02,9.01 11/14/07
ADMINISTAFF INC \DE\ DE 1.01,3.03,5.03,8.01,9.01 11/13/07
ADVANCED MICRO DEVICES INC DE 1.01,8.01,9.01 11/15/07
Advanced Resources Group, Ltd. DE 5.03,9.01 01/04/07
ADVANTA CORP DE 8.01 11/09/07
ADVENTRX PHARMACEUTICALS INC DE 8.01,9.01 11/16/07
Aftersoft Group DE 1.01,2.01,9.01 11/12/07
AGL RESOURCES INC GA 8.01,9.01 11/16/07
AIR INDUSTRIES GROUP, INC. DE 2.02,7.01,9.01 11/16/07
Akeena Solar, Inc. DE 2.02,9.01 11/13/07
Allegiant Travel CO NV 7.01,9.01 11/16/07
ALLEGRO BIODIESEL CORP DE 1.01,9.01 11/14/07
Allied Nevada Gold Corp DE 7.01,9.01 11/15/07
ALLTEL CORP DE 8.01,9.01 11/15/07
ALLTEL CORP DE 8.01,9.01 11/16/07
Alpha Natural Resources, Inc. DE 5.02,9.01 11/09/07
ALTAIR NANOTECHNOLOGIES INC A6 1.01,9.01 11/13/07
AMERICAN ECOLOGY CORP DE 5.02,9.01 11/15/07
American Electric Technologies Inc FL 2.02 11/14/07
AMERICAN METAL & TECHNOLOGY, INC. 5.03,7.01,9.01 11/15/07
AMERICAN PUBLIC EDUCATION INC DE 2.02,9.01 11/16/07
AMERICAN REALTY INVESTORS INC NV 2.02,9.01 11/14/07
AMERICAN WAGERING INC NV 1.01 11/08/07
AMERICAN WOODMARK CORP VA 8.01,9.01 10/31/07
Amish Naturals, Inc. NV 1.01,2.01,9.01 10/05/07
AMKOR TECHNOLOGY INC DE 5.02,9.01 11/13/07
AMPEX CORP /DE/ DE 8.01,9.01 11/12/07
AMPEX CORP /DE/ DE 8.01,9.01 11/14/07
Amtrust Financial Services, Inc. DE 8.01,9.01 11/15/07
ANALYSTS INTERNATIONAL CORP 5.02,9.01 11/13/07
ANNAPOLIS BANCORP INC MD 8.01,9.01 11/16/07
ANNTAYLOR STORES CORP DE 2.02,9.01 11/16/07
Answers CORP 1.01,9.01 11/12/07
APA Enterprises, Inc. MN 5.02 11/08/07
APPLIED DIGITAL SOLUTIONS INC MO 9.01 11/16/07
ARAMARK CORP DE 5.02,9.01 11/12/07
Argo Group International Holdings, Lt 5.02,9.01 11/14/07
Argyle Security Acquisition CORP 7.01,9.01 11/15/07
ARMSTRONG HOLDINGS INC /PA/ PA 8.01,9.01 11/16/07
ARVINMERITOR INC IN 2.02,9.01 11/14/07
ASIA TIME CORP 1.01,2.03,3.02,9.01 11/13/07
ASPYRA INC CA 2.02,9.01 11/16/07
ASSURANCEAMERICA CORP NV 8.01,9.01 11/15/07
AT&T INC. DE 8.01 11/15/07
ATLANTIC COAST ENTERTAINMENT HOLDINGS NJ 8.01,9.01 11/15/07
AURIGA LABORATORIES, INC. DE 5.01 11/14/07
AVALONBAY COMMUNITIES INC MD 1.01,2.03,9.01 11/13/07
AVITAR INC /DE/ DE 1.01,3.02,9.01 11/15/07
AVP INC DE 5.02 11/16/07
AXS ONE INC DE 1.01,2.03,3.02,5.02,9.01 11/12/07
BA Credit Card Funding, LLC DE 8.01,9.01 11/16/07
BANCORP RHODE ISLAND INC 5.02,9.01 11/13/07
BANK JOS A CLOTHIERS INC /DE/ DE 8.01,9.01 11/16/07
BANK OF GRANITE CORP DE 3.01,9.01 11/14/07
BAXTER INTERNATIONAL INC DE 5.03,9.01 11/13/07
Bear Stearns Asset Backed Securities DE 1.01,9.01 10/19/07
Beneficial Mutual Bancorp Inc X1 5.02 11/15/07
BEVERLY NATIONAL CORP MA 8.01,9.01 11/16/07
BH RE LLC NV 5.02,9.01 09/01/07 AMEND
BIOANALYTICAL SYSTEMS INC IN 8.01,9.01 11/06/07
BIOMODA INC/NM 4.02 11/16/07
BLINK LOGIC, INC. NV 5.02 11/12/07
BODISEN BIOTECH, INC DE 8.01,9.01 11/16/07
BROADCAST INTERNATIONAL INC UT 8.01 11/15/07
Bronco Drilling Company, Inc. DE 7.01,9.01 11/16/07
BROWN FORMAN CORP DE 5.03,9.01 11/15/06
Burger King Holdings Inc DE 8.01,9.01 11/13/07
CabelTel International Corp NV 2.02,9.01 09/30/07
CADENCE PHARMACEUTICALS INC 7.01,9.01 11/15/07
CALPINE CORP DE 2.02,7.01,9.01 11/16/07
CAMBRIDGE HEART INC DE 2.02,9.01 11/12/07
CAMERON INTERNATIONAL CORP DE 5.02,9.01 11/15/07
CANARGO ENERGY CORP DE 7.01,9.01 11/08/07
CAPITAL GROWTH SYSTEMS INC /FL/ FL 1.01,3.02,9.01 11/15/07
Capitol Acquisition Corp DE 8.01,9.01 11/14/07
CAREER EDUCATION CORP DE 5.02 11/16/07
CATERPILLAR INC DE 7.01 11/16/07
CEF EQUIPMENT HOLDING LLC DE 9.01 11/16/07
CELLEGY PHARMACEUTICALS INC CA 1.01,9.01 11/14/07
CENVEO, INC CO 7.01 08/30/07 AMEND
CERIDIAN CORP /DE/ DE 2.03 11/09/07
CFS BANCORP INC IN 5.02,9.01 11/15/07
CHAMPION ENTERPRISES INC MI 1.01,9.01 11/13/07
Chaparral Energy, Inc. DE 2.02 11/16/07
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 11/15/07
CHEESECAKE FACTORY INC DE 8.01,9.01 11/15/07
CHESAPEAKE ENERGY CORP OK 7.01 11/09/07
CHINA EDUCATION ALLIANCE INC. NC 8.01,9.01 11/16/07
CHINA RECYCLING ENERGY CORP 1.01,3.02,9.01 11/15/07
CHINA RECYCLING ENERGY CORP 1.01,2.03,3.02,9.01 11/16/07
CHINA SECURITY & SURVEILLANCE TECHNOL DE 2.02,9.01 11/16/07
China TransInfo Technology Corp. NV 2.02,9.01 11/15/07
Chinese Manufacturers Online Corp DE 4.01,9.01 11/14/07
CIT GROUP INC DE 5.02,9.01 11/12/07
COGNIZANT TECHNOLOGY SOLUTIONS CORP 8.01,9.01 11/16/07
Coley Pharmaceutical Group, Inc. DE 1.01,8.01,9.01 11/15/07
COMFORT SYSTEMS USA INC 8.01,9.01 11/14/07
COMMUNICATE COM INC NV 1.01,5.02,9.01 11/09/07
COMMUNICATE COM INC NV 1.01,1.02,9.01 11/16/07
CONCEPTUS INC DE 1.01,5.02,9.01 11/09/07
CONVERSION SERVICES INTERNATIONAL INC DE 2.02,9.01 11/15/07
COOPER TIRE & RUBBER CO DE 1.01,1.02,5.02,8.01,9.01 11/09/07
COOPERATIVE BANKSHARES INC NC 5.03,8.01,9.01 11/15/07
Copano Energy, L.L.C. DE 7.01,9.01 11/08/07
CORPORATE BOND BACKED CERT TR SER 199 DE 8.01,9.01 11/15/07
Cowen Group, Inc. DE 5.02,5.03,9.01 11/13/07
CREDIT ACCEPTANCE CORPORATION MI 7.01,9.01 11/16/07
CREDO PETROLEUM CORP CO 8.01,9.01 11/15/07
CRIMSON EXPLORATION INC. 2.02,9.01 09/30/07
CrossPoint Energy CO NV 2.01,9.01 11/09/07
CROWN CRAFTS INC DE 8.01,9.01 11/16/07
CSK AUTO CORP DE 5.02 11/11/07
CSX CORP VA 7.01,9.01 11/16/07
CSX CORP VA 7.01,9.01 11/16/07
Customer Acquisition Network Holdings DE 1.01,9.01 11/13/07
CV THERAPEUTICS INC DE 8.01 11/15/07
CYANOTECH CORP NV 8.01 11/13/07
Cyberfund, Inc. OK 2.01,3.02,5.01,5.06,9.01 11/14/07
Cyberkinetics Neurotechnology Systems DE 5.02,9.01 11/13/07
CytoCore Inc DE 1.01,9.01 11/13/07
DAILY JOURNAL CORP SC 5.03,9.01 11/15/07
DAKTRONICS INC /SD/ SD 5.02 11/15/07
DANA CORP VA 5.02,9.01 11/13/07
Data Domain, Inc. DE 1.01,9.01 11/12/07
DAWSON GEOPHYSICAL CO TX 7.01,9.01 11/14/07
DELL INC DE 8.01,9.01 11/12/07
DELTA FINANCIAL CORP DE 8.01,9.01 11/15/07
DEXCOM INC 7.01,9.01 11/15/07
Digital Music Group, Inc. DE 1.01,2.01,3.02,3.03,5.01,5.02, 11/13/07
9.01
DOCUCON INC DE 1.01,9.01 11/16/07 AMEND
DONALDSON CO INC DE 8.01,9.01 11/16/07
Dresser-Rand Group Inc. DE 5.03,9.01 11/14/07
EARTHLINK INC DE 8.01,9.01 11/16/07
EASTMAN KODAK CO NJ 5.02,8.01,9.01 11/14/07
EASTON-BELL SPORTS, INC. DE 2.02,9.01 11/16/07
EDIETS COM INC DE 2.02,5.02,9.01 11/14/07
EFJ INC DE 5.02,9.01 11/13/07
El Paso Pipeline Partners, L.P. DE 1.01,7.01,9.01 11/15/07
ELOYALTY CORP DE 5.03,8.01,9.01 11/15/07
EMERITUS CORP\WA\ WA 7.01,9.01 11/16/07
EN2GO INTERNATIONAL INC NV 1.01,4.01 11/16/07
ENCOMPASS HOLDINGS, INC. NV 5.02 11/16/07
Endeavor Energy CORP NV 5.02,5.03 09/21/07
ENDURANCE SPECIALTY HOLDINGS LTD 7.01,9.01 11/16/07
ENERGIZER HOLDINGS INC MO 2.02 11/15/07
ENERGY FOCUS, INC/DE DE 5.02 11/09/07
ENTERPRISE PRODUCTS PARTNERS L P DE 8.01,9.01 11/16/07
ENTRAVISION COMMUNICATIONS CORP DE 8.01,9.01 11/15/07
ENVIROKARE TECH INC NV 5.03,8.01,9.01 11/16/07
EPIQ SYSTEMS INC MO 1.01,9.01 11/15/07
ETHAN ALLEN INTERIORS INC DE 5.02 11/13/07
EUGENE SCIENCE DE 1.01,2.03,3.02,9.01 08/30/07 AMEND
EUGENE SCIENCE DE 1.01,2.03,3.02,9.01 07/02/07 AMEND
EWRX INTERNET SYSTEMS INC NV 4.01,9.01 11/14/07
EXCO RESOURCES INC TX 5.02,5.03,9.01 11/14/07
EXPLORATION DRILLING INTERNATIONAL IN NV 3.02,9.01 11/12/07
FAIRPOINT COMMUNICATIONS INC DE 1.01,9.01 11/16/07
FEDERAL NATIONAL MORTGAGE ASSOCIATION 7.01,9.01 11/15/07
Feldman Mall Properties, Inc. MD 8.01,9.01 11/12/07
FELLOWS ENERGY LTD NV 1.02,2.04 11/16/07
FFMLT 2007 FFB-SS 1.01,9.01 11/16/07
FIDELITY D & D BANCORP INC PA 5.02 11/14/07
Fidelity National Information Service 5.02 11/16/07
FINISH LINE INC /IN/ IN 8.01 11/16/07
FINLAY ENTERPRISES INC /DE DE 1.02,9.01 11/12/07
FINLAY FINE JEWELRY CORP DE 1.02,9.01 11/12/07
FIRST CHESTER COUNTY CORP PA 8.01 11/15/07
FIRST CHESTER COUNTY CORP PA 8.01 11/15/07
FIRST GROWTH INVESTORS INC NV 3.02,5.01,5.03 11/16/07
FIRST HORIZON NATIONAL CORP TN 7.01,8.01 11/15/07
FIRST UNITED ETHANOL LLC GA 1.01,9.01 11/09/07
FIRSTFED FINANCIAL CORP DE 7.01,9.01 10/31/07
FISERV INC WI 1.01,8.01,9.01 11/15/07
FLEETWOOD ENTERPRISES INC/DE/ DE 5.02,9.01 11/09/07
FLEXIBLE SOLUTIONS INTERNATIONAL INC NV 8.01,9.01 11/14/07
FOCUS ENHANCEMENTS INC DE 2.02,7.01,9.01 11/12/07
FORMFACTOR INC DE 5.02,9.01 11/12/07
GARDNER DENVER INC DE 8.01,9.01 11/15/07
GARMIN LTD 7.01,9.01 11/16/07
GATEWAY FINANCIAL HOLDINGS INC NC 5.02 11/16/07
GENERAL CABLE CORP /DE/ DE 1.02 11/15/07
GENESIS ENERGY LP DE 1.01,9.01 11/16/07
Genpact LTD D0 7.01,9.01 11/13/07
GENTA INC DE/ DE 3.01,9.01 11/12/07
GEOKINETICS INC DE 7.01,9.01 11/15/07
GEOVIC MINING CORP. DE 2.02,9.01 11/15/07
GLADSTONE COMMERCIAL CORP MD 1.01,9.01 11/13/07
Global Cash Access Holdings, Inc. DE 8.01 11/16/07
GOLDEN GRAIN ENERGY 1.01 11/13/07
Good Harbor Partners Acquisition Corp DE 8.01,9.01 11/15/07
Google Inc. DE 8.01 11/13/07
GRANITE CONSTRUCTION INC DE 8.01,9.01 11/15/07
Grant Life Sciences, Inc. NV 1.01,3.02,9.01 11/06/07
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 10/31/07
GREATBATCH, INC. DE 2.01,3.02,8.01,9.01 11/16/07
Greater Asia Realty Holdings, LTD. DE 3.02 11/14/07
GREEN PLAINS RENEWABLE ENERGY, INC. IA 1.01,2.03,9.01 11/16/07
GREER BANCSHARES INC SC 2.02,9.01 11/15/07
GSAA Home Equity Trust 2007-10 DE 8.01,9.01 10/30/07
HAIN CELESTIAL GROUP INC DE 1.01,3.01,9.01 11/13/07
HALLWOOD GROUP INC DE 2.02,9.01 11/15/07
Hanesbrands Inc. MD 5.04 11/09/07
HARSCO CORP DE 5.02 11/12/07
HEALTH CARE REIT INC /DE/ DE 8.01 11/14/07
Heckmann CORP 8.01,9.01 11/16/07
HEMCURE INC NV 5.02 11/16/07
HEPALIFE TECHNOLOGIES INC FL 1.01,7.01,9.01 11/02/07 AMEND
HERSHEY CO DE 5.02,9.01 11/11/07
HERSHEY CO DE 3.01,5.02,5.03,9.01 11/11/07
High Point Transport, Inc. FL 3.02,5.02 11/08/07
Highland Distressed Opportunities, In 7.01,9.01 11/16/07
HILB ROGAL & HOBBS CO VA 5.02,9.01 11/13/07
HILLENBRAND INDUSTRIES INC IN 2.02,9.01 11/15/07
HOLLY ENERGY PARTNERS LP DE 7.01,9.01 11/15/07
HOME FEDERAL BANCORP INC 1.01 11/15/07
HSBC Finance Corp 8.01,9.01 11/16/07
HUNTINGTON BANCSHARES INC/MD MD 8.01 11/16/07
ICONIX BRAND GROUP, INC. DE 1.01 11/09/07
IDEX CORP /DE/ DE 1.01,8.01,9.01 11/13/07
IMAGE ENTERTAINMENT INC DE 8.01,9.01 11/15/07
IMAGEWARE SYSTEMS INC DE 2.02,9.01 11/12/07
IMMTECH PHARMACEUTICALS, INC. DE 5.02 11/13/07
IMMUNICON CORP 3.01,9.01 11/12/07
IMPERIALI INC FL 5.02 11/12/07
INCOME OPPORTUNITY REALTY INVESTORS I NV 2.02,9.01 11/14/07
INDALEX HOLDINGS FINANCE INC 2.02,9.01 11/15/07
INDUSTRIAL SERVICES OF AMERICA INC /F FL 2.02,9.01 11/14/07
InfuSystem Holdings, Inc DE 5.02,9.01 11/12/07
Ingen Technologies, Inc. 1.01,2.01,5.01,9.01 03/15/04
INLAND WESTERN RETAIL REAL ESTATE TRU MD 1.01,3.02,5.02,8.01,9.01 11/15/07
Innova Robotics & Automation, Inc. NV 5.02 11/14/07
INSIGHT ENTERPRISES INC DE 5.03 11/13/07
INSIGNIA SYSTEMS INC/MN MN 1.02 11/15/07
INTEGRATED DEVICE TECHNOLOGY INC DE 5.02,9.01 11/13/07
Integrated Healthcare Holdings Inc NV 2.02,9.01 11/16/07
INTEL CORP DE 5.02,7.01 11/14/07
Interactive Television Networks NV 8.01 11/08/07
INTERNATIONAL RECTIFIER CORP /DE/ DE 1.01,3.03,9.01 11/14/07
INVERNESS MEDICAL INNOVATIONS INC DE 1.01,9.01 11/14/07
ITC Holdings Corp. MI 5.02 11/12/07
IXIA CA 5.02,5.03,9.01 11/12/07
J P MORGAN CHASE & CO DE 9.01 11/15/07
JACK IN THE BOX INC /NEW/ DE 2.02,9.01 11/16/07
JDA SOFTWARE GROUP INC DE 1.01,9.01 11/14/07
JOHNSON OUTDOORS INC WI 2.02,9.01 11/16/07
KANA SOFTWARE INC DE 1.01,8.01,9.01 11/15/07
KBR, INC. DE 8.01 11/14/07
KEYCORP /NEW/ OH 8.01 11/13/07
Kimball Hill, Inc. IL 5.02,9.01 09/21/07 AMEND
KINDER MORGAN ENERGY PARTNERS L P DE 7.01 11/15/07
KINDER MORGAN MANAGEMENT LLC DE 7.01 11/15/07
KMG America CORP VA 7.01,9.01 11/16/07
Lake Shore Bancorp, Inc. X1 1.01,8.01,9.01 11/14/07
LANGER INC NY 8.01,9.01 11/16/07
LEAR CORP DE 5.02,5.03,9.01 11/14/07
LHC Group, Inc 5.02,9.01 11/14/07
LIBERTY BANCORP INC 2.02,9.01 11/08/07 AMEND
Lincolnway Energy, LLC IA 8.01 11/14/07
LION INC/WA WA 2.01,8.01,9.01 11/15/07
LOOKSMART LTD DE 2.01,9.01 11/09/07
LUBYS INC DE 1.01,9.01 11/16/07
MAGNACHIP SEMICONDUCTOR LLC 9.01 11/14/07
MAINSTREET BANKSHARES INC VA 5.02 11/14/07
MANITOWOC CO INC WI 8.01,9.01 11/15/07
MANPOWER INC /WI/ WI 8.01 11/16/07
MANTECH INTERNATIONAL CORP DE 1.01,9.01 11/15/07
MASSEY ENERGY CO DE 1.01,4.01,5.02,9.01 11/16/07
MATTEL INC /DE/ DE 7.01,9.01 11/16/07
MCCORMICK & CO INC MD 1.01,7.01,9.01 11/13/07
MEDCO HEALTH SOLUTIONS INC DE 7.01,9.01 11/16/07
MEGOLA INC 1.01,8.01,9.01 11/13/07
MENTOR CORP /MN/ MN 1.01,5.02,9.01 11/16/07
MERGE TECHNOLOGIES INC WI 3.01,9.01 11/13/07
MERRILL LYNCH & CO INC DE 5.02,9.01 11/14/07
META FINANCIAL GROUP INC DE 2.02,4.02,9.01 11/13/07
Metavante Technologies, Inc. 5.02,9.01 11/12/07
Metavante Technologies, Inc. 7.01,9.01 11/16/07
MEXORO MINERALS LTD CO 5.02 11/08/07
MFIC CORP DE 2.02,9.01 11/13/07
MICRO COMPONENT TECHNOLOGY INC MN 2.02,9.01 11/13/07
MICROSEMI CORP DE 5.02,9.01 11/14/07
MINDSPEED TECHNOLOGIES, INC DE 5.02 11/15/07
Molecular Insight Pharmaceuticals, In MA 1.01,2.03,3.02,9.01 11/09/07
MOMENTA PHARMACEUTICALS INC DE 5.02,9.01 11/14/07 AMEND
MOVIE GALLERY INC DE 8.01,9.01 11/14/07
MQ ASSOCIATES INC 5.02,5.03,9.01 11/15/07
MRV COMMUNICATIONS INC DE 9.01 06/26/07 AMEND
MRV COMMUNICATIONS INC DE 9.01 06/26/07 AMEND
MYRIAD GENETICS INC DE 5.02,5.03,9.01 11/15/07
NACCO INDUSTRIES INC DE 8.01,9.01 11/15/07
NARROWSTEP INC DE 5.02 11/12/07
NASDAQ STOCK MARKET INC DE 1.01,9.01 11/15/07
NATIONAL LAMPOON INC CA 5.02,9.01 11/15/07
NATURES SUNSHINE PRODUCTS INC UT 8.01,9.01 11/09/07
NEAH POWER SYSTEMS, INC. NV 1.01,3.02,9.01 11/09/07
NEENAH ENTERPRISES, INC. 2.05,5.02,9.01 11/16/07
Neonode, Inc DE 8.01,9.01 11/15/07 AMEND
NEWBRIDGE BANCORP NC 8.01,9.01 11/16/07
NEWPARK RESOURCES INC DE 7.01,9.01 11/16/07
NEXITY FINANCIAL CORP DE 5.03,9.01 11/14/07
NextWave Wireless Inc. DE 8.01,9.01 11/14/07
NICHOLAS FINANCIAL INC FL 8.01,9.01 11/14/07
NOBLE INTERNATIONAL, LTD. DE 9.01 08/30/07 AMEND
NORTH EUROPEAN OIL ROYALTY TRUST DE 2.02,9.01 10/31/07
NORTHEAST BANCORP /ME/ ME 1.01 11/15/07
NORTHERN TRUST CORP DE 5.05,8.01,9.01 11/13/07
NORTHRIM BANCORP INC AK 5.02 11/09/07
NORWOOD FINANCIAL CORP PA 5.03,9.01 11/13/07
NowAuto Group, Inc. NV 2.02,7.01,9.01 11/16/07
NuStar Energy L.P. DE 1.01,8.01,9.01 11/13/07
NUTECH DIGITAL INC CA 5.02 11/06/07
NUVEEN INVESTMENTS INC DE 1.01,2.03,3.01,3.03,5.01,5.02, 11/13/07
5.03,9.01
NYSE Euronext DE 5.02,9.01 11/14/07
O2 Secure Wireless, Inc. GA 4.01,9.01 11/16/07
OPENWAVE SYSTEMS INC DE 1.01,9.01 11/11/07
OPHTHALMIC IMAGING SYSTEMS CA 2.02,7.01,9.01 11/14/07
Orbitz Worldwide, Inc. DE 2.02,9.01 11/12/07
Oritani Financial Corp. 8.01,9.01 11/16/07
ORLEANS HOMEBUILDERS INC DE 7.01,8.01,9.01 11/15/07
OUTDOOR CHANNEL HOLDINGS INC 3.01,9.01 11/14/07
OVERLAND STORAGE INC CA 1.01,5.02,8.01,9.01 11/13/07
PBSJ CORP /FL/ FL 8.01,9.01 11/12/07
PEERLESS MANUFACTURING CO TX 5.02,9.01 11/15/07
PENGRAM CORP NV 4.01,9.01 10/24/07 AMEND
PetroHunter Energy Corp MD 1.01,2.03,3.02,8.01,9.01 11/15/07
PetroHunter Energy Corp MD 1.01,2.03,3.02,8.01 11/13/07 AMEND
PFSWEB INC DE 8.01,9.01 11/13/07
POINT BLANK SOLUTIONS, INC. DE 2.02,7.01,9.01 11/16/07
POKERTEK, INC. NC 2.02,9.01 11/12/07
POLYMEDIX INC 5.02,9.01 11/12/07
POLYMER GROUP INC DE 8.01,9.01 11/15/07
POMEROY IT SOLUTIONS INC DE 8.01,9.01 11/13/07
PROGRESSIVE CORP/OH/ OH 7.01,9.01 11/15/07
PROXYMED INC /FT LAUDERDALE/ FL 2.02,9.01 11/16/07
PRUDENTIAL BANCORP INC OF PENNSYLVANI 2.02,9.01 11/16/07
PUBLIC SERVICE CO OF OKLAHOMA OK 8.01,9.01 11/14/07
PURCHASE POINT MEDIA CORP MN 2.02,3.02,7.01,9.01 04/24/07 AMEND
QUADRAMED CORP DE 2.02,9.01 11/13/07
QUANTA SERVICES INC DE 9.01 08/30/07 AMEND
QUANTUM CORP /DE/ DE 4.02 11/15/07
QUEPASA CORP NV 5.02 11/13/07
QUICKSILVER RESOURCES INC DE 5.03,9.01 11/14/07
RadNet, Inc. NY 8.01,9.01 11/15/07
Rand Logistics, Inc. DE 8.01,9.01 11/16/07
RAVEN INDUSTRIES INC SD 2.02,9.01 11/15/07
RED TRAIL ENERGY, LLC 4.02 11/12/07
REGENERATION TECHNOLOGIES INC FL 1.01,9.01 11/12/07
REGENERATION TECHNOLOGIES INC FL 1.01,9.01 11/12/07
REPUBLIC BANCORP INC /KY/ KY 7.01,9.01 11/16/07
RESIDENTIAL CAPITAL, LLC DE 7.01,9.01 11/16/07
RESTORATION HARDWARE INC CA 5.02,9.01 11/15/07
Revett Minerals Inc. A6 2.02,7.01,9.01 11/12/07
Rhapsody Acquisition Corp. DE 5.03,9.01 11/13/07
ROCK OF AGES CORP DE 5.03,9.01 11/16/07
Rockwood Holdings, Inc. DE 1.01,9.01 11/12/07
ROYAL GOLD INC DE 8.01,9.01 11/14/07
SANMINA-SCI CORP DE 5.02 11/16/07
SANTARUS INC DE 8.01 11/14/07
SCHULMAN A INC DE 8.01,9.01 11/16/07
SEA CONTAINERS LTD /NY/ 8.01,9.01 11/13/07
SERVICE CORPORATION INTERNATIONAL TX 5.03,9.01 11/14/07
SES SOLAR INC. 1.01,2.03 11/13/07
SFG FINANCIAL CORP DE 3.02,5.02,9.01 11/07/07
SHOE PAVILION INC DE 5.02,9.01 11/15/07
SINCLAIR BROADCAST GROUP INC MD 7.01,9.01 11/14/07
Smart SMS Corp FL 1.01,5.03,9.01 08/06/07 AMEND
SMF ENERGY CORP DE 2.02,9.01 11/14/07
SMITH & WESSON HOLDING CORP NV 1.01,9.01 11/12/07
SMUCKER J M CO OH 2.02,9.01 11/16/07
SOUTHWALL TECHNOLOGIES INC /DE/ DE 1.02 11/15/07
SPEEDUS CORP DE 2.02,9.01 11/14/07
SPORT HALEY INC CO 3.01,9.01 11/13/07
STOCKERYALE INC MA 8.01 11/14/07
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 11/15/07
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 11/15/07
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 11/15/07
STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 11/15/07
STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 11/15/07
Sun American Bancorp DE 1.01,3.03,9.01 11/15/07
SUNRISE SENIOR LIVING INC DE 5.02 11/12/07
SUNTRON CORP DE 2.02,9.01 11/14/07
SUREWEST COMMUNICATIONS CA 8.01,9.01 11/15/07
Symmetry Holdings Inc DE 8.01,9.01 11/16/07
Synvista Therapeutics, Inc. DE 5.02 11/14/07
TEKELEC CA 5.02,5.03,9.01 11/09/07
TELETECH HOLDINGS INC DE 1.01,9.01 11/12/07
TELETECH HOLDINGS INC DE 2.02,4.02,9.01 11/08/07 AMEND
TENNECO INC DE 1.01,3.03,8.01,9.01 11/14/07
TEPPCO PARTNERS LP DE 8.01,9.01 09/30/07
THERMADYNE HOLDINGS CORP /DE DE 5.02 11/12/07
TIDEWATER INC DE 8.01,9.01 11/15/07
TOLLGRADE COMMUNICATIONS INC \PA\ PA 5.02,9.01 08/01/07 AMEND
TOUCHSTONE SOFTWARE CORP /CA/ DE 2.02 11/14/07
TOUCHSTONE SOFTWARE CORP /CA/ DE 8.01 11/13/07
TRANS LUX CORP DE 8.01,9.01 11/15/07
TRANSCONTINENTAL REALTY INVESTORS INC NV 2.02,9.01 11/14/07
TRIAD FINANCIAL CORP CA 5.02 11/14/07
TRINITY INDUSTRIES INC DE 7.01,9.01 11/16/07
TRIO TECH INTERNATIONAL CA 2.02,9.01 11/14/07
Triple Crown Media, Inc. DE 2.02,9.01 11/16/07
Triton Distribution Systems, Inc. CO 5.02,9.01 11/12/07
TRUE RELIGION APPAREL INC NV 3.01,9.01 11/13/07
U. S. Premium Beef, LLC 7.01,9.01 11/16/07
UNION PACIFIC CORP UT 5.02 11/15/07
UNION PACIFIC RAILROAD CO/DE DE 5.02 11/15/07
United Financial Bancorp Inc 8.01,9.01 11/16/07
UNIVERSAL BIOSENSORS INC DE 1.01,9.01 11/09/07
USA TECHNOLOGIES INC PA 4.01 11/15/07
VASCULAR SOLUTIONS INC DE 1.01,9.01 11/14/07
VCG HOLDING CORP CO 1.01,2.01,2.03,3.02,8.01,9.01 10/29/07 AMEND
VECTr SYSTEMS INC 3.02,5.02,9.01 11/15/07
Vella Productions Inc. NV 4.01,9.01 11/14/07
Veri-Tek International, Corp. MI 5.02,9.01 11/12/07
VERTICAL BRANDING, INC. DE 1.01,3.02,5.02,8.01,9.01 11/15/07
VERTIS INC DE 8.01 11/15/07
Vestin Realty Mortgage I, Inc. 8.01,9.01 11/15/07
Vestin Realty Mortgage II, Inc 8.01,9.01 11/15/07
VIACELL INC 3.01,5.01,5.03,8.01,9.01 11/09/07
VISHAY INTERTECHNOLOGY INC DE 3.03,9.01 11/16/07
VOLTERRA SEMICONDUCTOR CORP 5.02,9.01 11/14/07
VSB BANCORP INC NY 1.01,5.02,8.01 11/13/07
W HOLDING CO INC PR 8.01,9.01 11/15/07
WELLS REAL ESTATE FUND IX LP GA 1.01 11/16/07
WELLS REAL ESTATE FUND VIII LP GA 1.01 11/16/07
WESTAR ENERGY INC /KS KS 1.01,9.01 11/15/07
WESTMORELAND COAL CO DE 3.01,9.01 11/14/07
WIDEPOINT CORP DE 2.02,9.01 11/12/07
WIRELESS RONIN TECHNOLOGIES INC MN 5.02,8.01,9.01 11/15/07
WISCONSIN PUBLIC SERVICE CORP WI 8.01,9.01 11/13/07
WORLD ACCEPTANCE CORP SC 8.01 11/16/07
XETHANOL CORP CO 1.02,5.02,5.03,9.01 11/12/07
XTO ENERGY INC DE 8.01,9.01 11/14/07
Z TRIM HOLDINGS, INC IL 4.01,7.01,8.01,9.01 11/16/07
ZVUE CORP DE 1.01,3.02,9.01 11/14/07
ZYNEX MEDICAL HOLDINGS INC NV 1.01,9.01 11/16/07
http://www.sec.gov/news/digest/2007/dig111907.htm
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