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SEC NEWS DIGEST
Issue 2007-195 October 10, 2007
COMMISSION ANNOUNCEMENTS
PAUL BESWICK NAMED SENIOR ADVISOR TO SEC'S CHIEF ACCOUNTANT
Conrad W. Hewitt, the Commission's Chief Accountant, announced today
that Paul A. Beswick has been named to serve in the SEC Office of
the Chief Accountant as a senior advisor. In this capacity, Mr.
Beswick will advise the Chief Accountant on complex accounting
and auditing matters, and will assist in the development of
strategic objectives that need to be pursued as part of the
Office's agenda. "I am very pleased that Paul has agreed serve in a
senior advisory role," said Mr. Hewitt. "His background in standard
setting at the FASB, and his role at Ernst & Young where he
participated in the audit of several large multinational corporations
and in a consultative role on complex technical matters, will be
invaluable in serving the interest of investors." Prior to joining
the Commission, Mr. Beswick was a Partner with Ernst & Young, LLP,
where he worked in the firm's Professional Practice and Risk
Management - Accounting Group. Mr. Beswick previously served as
a FASB practice fellow from July 2005 through June 2007.
Mr. Beswick is a graduate of Miami University in Oxford, Ohio. (Press
Rel. 2007-215)
COMMISSION MEETINGS
CLOSED MEETING - WEDNESDAY, OCTOBER 10, 2007 - 4:30 P.M.
The subject matter of the closed meeting scheduled for Wednesday,
October 10, will be: Institution and settlement of injunctive actions.
At times, changes in Commission priorities require alterations in the
scheduling of meeting items. For further information and to ascertain
what, if any, matters have been added, deleted or postponed, please
contact: The Office of the Secretary at (202) 551-5400.
ENFORCEMENT PROCEEDINGS
IN THE MATTER OF MORGAN STANLEY & CO. INCORPORATED
On October 9, the Commission issued an Order Instituting
Administrative and Cease-and-Desist Proceedings, Making Findings, and
Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to
Sections 15(b), 15B(c), and 21C of the Securities Exchange Act of 1934
(Exchange Act) (Order) against Morgan Stanley & Co. Incorporated, on
behalf of itself and as successor to Morgan Stanley DW Inc. The Order
finds that from as early as 2000 until 2005, Morgan Stanley DW Inc.,
then a registered broker-dealer, failed to provide to its customers
accurate and complete written trade confirmations for certain fixed
income securities. The Order further finds that Morgan Stanley & Co.,
a registered broker-dealer, also provided its customers with
noncompliant trade confirmations for certain fixed income securities.
Both firms' failures resulted in violations of Rule 10b-10 under the
Exchange Act, Section 15B(c)(1) of the Exchange Act and Rule G-15 of
the Municipal Securities Rulemaking Board (MSRB).
Based on the above, the Order censures Morgan Stanley & Co., orders it
to cease and desist from committing or causing any violations and any
future violations of Rule 10b-10 under the Exchange Act, Section
15B(c)(1) of the Exchange Act, and MSRB Rule G-15, orders Morgan
Stanley & Co. to pay a $7.5 million penalty, and to retain an
independent consultant to review Morgan Stanley & Co.'s policies and
procedures. Morgan Stanley & Co. consented to the issuance of the
Order without admitting or denying any of the Commission's findings,
except as to the Commission's jurisdiction. (Rel. 34-56634; File No.
3-12864)
IN THE MATTER OF SANDELL ASSET MANAGEMENT CORP., THOMAS SANDELL,
PATRICK BURKE AND RICHARD ECKLORD
On October 10, the Commission issued an Order Instituting
Administrative and Cease and Desist Proceedings, Making Findings, and
Imposing Remedial Sanctions and a Cease and Desist Order Pursuant to
Section 8A of the Securities Act of 1933 and Sections 203(e) and
203(f) of the Investment Advisers Act of 1940 against Sandell Asset
Management Corp. (SAM), Thomas Sandell, the firm's CEO, Patrick Burke,
a Senior Managing Director, and Richard Ecklord, the firm's head
trader.
SAM purchased approximately nine million shares of stock of Hibernia
Corporation in response to an announced business combination between
Hibernia and Capital One Financial Corporation and later sold its
Hibernia shares to third parties and entered into "swap" transactions
with the third parties with respect to the Hibernia shares. As a
result, the fund managed by SAM, Castlerigg Master Investments, Ltd.,
no longer owned the shares of Hibernia, but retained the economic
risks of loss should the share price decline.
On Aug. 29, 2005, Hurricane Katrina struck New Orleans, where Hibernia
was headquartered and maintained substantial assets. SAM personnel
believed that Capital One would lower its offering price for Hibernia
shares, causing a significant loss in Castlerigg's portfolio. To
offset this loss, SAM personnel began selling short shares of
Hibernia. On August 31, 2005, SAM personnel marked certain short sales
of Hibernia stock as "long," alleviating the need to locate shares to
borrow and to comply with the restrictions of the "tick test." On
September 2, 2005, SAM personnel executed certain short sales by
misrepresenting to the broker-dealers that executed the trades that
they had located stock to borrow when in fact they had not.
The Order finds that: (i) SAM willfully violated Section 10(a) of the
Securities Exchange Act of 1934 (Exchange Act) and Exchange Act Rule
10a-1; (ii) Thomas Sandell, Patrick Burke and Richard Ecklord
willfully aided and abetted violations of Section 10(a) of the
Exchange Act and Exchange Act Rule 10a-1; (iii) SAM willfully violated
Section 17(a)(2) of the Securities Act of 1933 (Securities Act); and
(iv) Thomas Sandell failed reasonably to supervise firm personnel.
The Order directs that: (i) SAM shall cease and desist from committing
or causing any violations and any future violations of Section
17(a)(2) of the Securities Act; (ii) SAM, Thomas Sandell, Patrick
Burke and Richard Ecklord are censured; (iii) SAM shall pay a civil
penalty of $650,000, Thomas Sandell shall pay a civil penalty of
$100,000, Patrick Burke shall pay a civil penalty of $50,000 and
Richard Ecklord shall pay a civil penalty of $40,000; (iv) SAM shall
pay $6,716,683.93 in disgorgement, plus $730,811.74 in prejudgment
interest, on behalf of its client Castlerigg Master Investments, Ltd.,
which received the proceeds from the short sales; and (v) SAM shall
comply with the undertakings set forth in the Order.
SAM, Thomas Sandell, Patrick Burke and Richard Ecklord consented to
the issuance of the Order without admitting or denying any of the
findings made by the Commission. (Rels. 33-8857; IA-2670; File No. 3-
12865)
JOINT INDUSTRY PLAN RELEASES
JOINT AMENDMENT NO. 23
The Commission has published a notice of filing of a joint
amendment to the Plan for the Purpose of Creating and Operating an
Intermarket Option Linkage submitted under Rule 608 of the
Securities Exchange Act of 1934 by the American Stock Exchange,
Boston Stock Exchange, Chicago Board Options Exchange, International
Securities Exchange, NYSE Arca, and Philadelphia Stock Exchange to
permit the use of Linkage prior to the opening of trading. Publication
is expected in the Federal Register during the week of October 8.
(Rel. 34-56605)
JOINT AMENDMENT NO. 24
The Commission has published a notice of filing of a joint amendment
to the Plan for the Purpose of Creating and Operating an Intermarket
Option Linkage submitted under Rule 608 of the Securities Exchange
Act of 1934 by the American Stock Exchange, Boston Stock Exchange,
Chicago Board Options Exchange, International Securities Exchange,
NYSE Arca, and Philadelphia Stock Exchange regarding elimination of
the Class Gate. Publication is expected in the Federal Register
during the week of October 8. (Rel. 34-56596)
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A proposed rule change filed by the Financial Industry Regulatory
Authority to Limit the Use of FINRA's Name and Any Other Name Owned by
FINRA and to Require Members and Persons Associated with a Member that
Refer to their FINRA Membership on a Web site to Provide a Hyperlink
to www.finra.org (SR-FINRA-2007-014) 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 8. (Rel. 34-56615)
A proposed rule change filed by NYSE Arca to modify the Exchange's
fees for orders submitted for certain NYSE and Nasdaq-listed
securities (SR-NYSEArca-2007-99) has become immediately effective
under Section 19(b)(3)(A) of the Securities Exchange Act of 1934 and
Rule 19b-4(f)(2) thereunder. Publication is expected in the Federal
Register during the week of October 8. (Rel. 34-56616)
A proposed rule change filed by The NASDAQ Stock Market to increase
the annual membership fee for Nasdaq members (SR-NASDAQ-2007-083) 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 8. (Rel. 34-56617)
APPROVAL OF PROPOSED RULE CHANGES
The Commission approved a proposed rule change (SR-NYSEArca-2007-73)
submitted by NYSE Arca pursuant to Section 19(b)(1) of the Securities
Exchange Act of 1934 relating to extended hours trading of Investment
Company Units and Portfolio Depository Receipts. Publication is
expected in the Federal Register during the week of October 8. (Rel.
34-56625)
The Commission granted approval of a proposed rule change (SR-
NYSEArca-2007-75), as modified by Amendment No. 1 thereto, 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
to expand the trading hours of certain exchange-traded funds.
Publication is expected in the Federal Register during the week of
October 8. (Rel. 34-56627)
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-4 FIRST NATIONAL BANCSHARES INC /SC/, 215 N. PINE STREET, SPARTANBURG,
SC, 29302, 8649489001 - 0 ($32,219,892.00) Equity, (File 333-146555 -
Oct. 9) (BR. 07C)
S-3 DELTA FINANCIAL CORP, 1000 WOODBURY, STE 200, WOODBURY, NY, 11797,
5163648500 - 11,000,000 ($54,670,000.00) Equity, (File 333-146556 -
Oct. 9) (BR. 11A)
S-1 GEOPETRO RESOURCES CO, ONE MARITIME PLAZA, STE 400, SAN FRANCISCO, CA,
94111, 0 ($11,105,989.00) Equity, (File 333-146557 - Oct. 9) (BR. 04B)
S-8 PHOTOMEDEX INC, 147 KEYSTONE DRIVE, MONTGOMERYVILLE, PA, 18936,
2156193600 - 3,700,000 ($3,885,000.00) Equity, (File 333-146558 -
Oct. 9) (BR. 10C)
S-8 COMPUWARE CORP, ONE CAMPUS MARTIUS, DETROIT, MI, 48226-5099,
3132277300 - 28,000,000 ($226,240,000.00) Equity, (File 333-146559 -
Oct. 9) (BR. 03B)
S-1 WORLD WASTE TECHNOLOGIES INC, 13520 EVENING CREEK DRIVE, SUITE 130,
SAN DIEGO, CA, 93065, 8583913400 - 96,117 ($22,107.00) Equity,
(File 333-146560 - Oct. 9) (BR. 06C)
SB-2 Blue Star Energy Inc, 5525 EARINDALE DRIVE, SUITE 201,
COLORADO SPRINGS, CO, 80918, 719-260-8509 -
9,660,000 ($4,830,000.00) Equity, (File 333-146561 - Oct. 9) (BR. 04)
S-8 Perfect World Co., Ltd., 8F,HUAKONG BUILDING,NO.1 SHANGDI EAST RD,
BEIJING, F4, 100085, (86-10) 5885-8555 - 0 ($96,096,471.00) ADRs/ADSs,
(File 333-146562 - Oct. 9) (BR. 08)
S-8 EMPIRE FINANCIAL HOLDING CO, 2170 WEST STATE ROAD 434, SUITE 100,
LONGWOOD, FL, 32779, 407-774-1300 - 7,000,000 ($8,225,000.00) Equity,
(File 333-146563 - Oct. 9) (BR. 06A)
S-8 AUTOMATIC DATA PROCESSING INC, ONE ADP BOULVARD, ROSELAND, NJ, 07068,
9739747849 - 3,500,000 ($166,022,500.00) Equity, (File 333-146564 -
Oct. 9) (BR. 03A)
S-8 AUTOMATIC DATA PROCESSING INC, ONE ADP BOULVARD, ROSELAND, NJ, 07068,
9739747849 - 10,000,000 ($474,350,000.00) Equity, (File 333-146565 -
Oct. 9) (BR. 03A)
S-3 Veri-Tek International, Corp., 50120 PONTIAC TRAIL, WIXOM, MI, 48393,
248-560-1000 - 0 ($10,953,900.00) Equity, (File 333-146569 - Oct. 9)
(BR. 10C)
S-8 MEDIA SCIENCES INTERNATIONAL INC, 8 ALLERMAN ROAD, OAKLAND, NJ, 07436,
2016779311 - 1,000,000 ($5,930,000.00) Equity, (File 333-146571 -
Oct. 9) (BR. 06B)
SB-2 Asia Atlantic Resources, 113 WARRICK STREET, COQUITLAM, A1, V3K5L3,
206-339-4977 - 0 ($28,000.00) Equity, (File 333-146572 - Oct. 9)
(BR. 04)
S-8 Douglas Lake Minerals Inc., SUITE 500, 602 WEST HASTINGS STREET,
VANCOUVER, A1, V6B 1P2, (604) 488-0855 -
10,000,000 ($3,000,000.00) Equity, (File 333-146573 - Oct. 9) (BR. 04C)
S-8 MEDICURE INC, SUITE 4, 1200 WAVERLY STREET, WINNIPEG, A2, R3T 0P4,
204-487-7412 - 13,030,755 ($15,362,437.63) Equity, (File 333-146574 -
Oct. 9) (BR. 01B)
S-8 Advanced Materials Group, Inc., 3303 LEE PARKWAY, SUITE 105, DALLAS,
TX, 75219, 972-432-0602 - 1,683,750 ($1,683,750.00) Other,
(File 333-146575 - Oct. 9) (BR. 06B)
S-8 JABIL CIRCUIT INC, 10560 NINTH ST NORTH, ST PETERSBURG, FL, 33716,
7275779749 - 0 ($69,375,000.00) Equity, (File 333-146577 - Oct. 9)
(BR. 10B)
S-8 IMCLONE SYSTEMS INC, 180 VARICK STREET - 6TH FLOOR, NEW YORK, NY,
10014, 646-638-5078 - 0 ($281,580,675.92) Equity, (File 333-146579 -
Oct. 9) (BR. 01C)
SB-2 Jpak Group, Inc., 15 XINGHUA ROAD, QINDAO,, SHANDONG PROVINCE, F4,
266401, (86-532) 84616387 - 39,012,128 ($53,641,676.00) Equity,
(File 333-146580 - Oct. 9) (BR. 01B)
SB-2 LOCATEPLUS HOLDINGS CORP, 100 CUMMINGS CENTER, SUITE 235M, BEVERLY, MA,
01915, 978-921-2727 - 4,133,670 ($454,706.00) Equity,
(File 333-146581 - Oct. 9) (BR. 03A)
S-3ASR DARDEN RESTAURANTS INC, 5900 LAKE ELLENOR DR, ORLANDO, FL, 32809,
4072454000 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-146582 - Oct. 9) (BR. 05B)
S-8 INTER PARFUMS INC, 551 FIFTH AVE, STE 1500, NEW YORK, NY, 10176,
2129832640 - 68,600 ($23.05) Equity, (File 333-146583 - Oct. 9)
(BR. 06C)
S-3 FUSHI INTERNATIONAL INC, 1 SHUANG QIANG ROAD, JINZHOU, DALIAN, F4,
116100, (860)435-7000 - 2,568,725 ($38,402,438.75) Equity,
(File 333-146585 - Oct. 9) (BR. 07)
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
-------------------------------------------------------------------------------------------------------
ABM INDUSTRIES INC /DE/ DE 1.01,7.01,9.01 10/07/07
ACA Capital Holdings Inc 1.02 09/30/07
Accelerated Building Concepts CORP DE 4.01,9.01 10/02/07
ACCENTIA BIOPHARMACEUTICALS INC 7.01,9.01 10/08/07
ACCENTIA BIOPHARMACEUTICALS INC 7.01,9.01 10/08/07
ACCEPTANCE INSURANCE COMPANIES INC DE 8.01,9.01 10/04/07
ACUITY BRANDS INC DE 8.01,9.01 10/08/07
ADMIRALTY HOLDING CO CO 4.01,9.01 08/30/07 AMEND
AES CORP DE 7.01,8.01,9.01 10/09/07
AFC ENTERPRISES INC MN 5.02,9.01 10/05/07
Affinia Group Intermediate Holdings I DE 2.05,2.06,9.01 10/02/07 AMEND
AIRNET SYSTEMS INC OH 5.02,9.01 10/03/07
AK STEEL HOLDING CORP DE 8.01,9.01 10/08/07
ALABAMA POWER CO AL 8.01,9.01 10/09/07
ALASKA AIR GROUP INC DE 7.01 10/09/07
ALEXANDRIA REAL ESTATE EQUITIES INC MD 8.01,9.01 10/04/07
ALLEGHENY ENERGY, INC MD 4.01,9.01 10/03/07
ALLIANCE ONE INTERNATIONAL, INC. VA 8.01 10/09/07
ALLIANCEBERNSTEIN HOLDING L.P. DE 7.01,9.01 10/09/07
ALLIANCEBERNSTEIN L.P. DE 7.01,9.01 10/09/07
Alphatec Holdings, Inc. DE 1.02,2.03 10/02/07
AMERICAN CAMPUS COMMUNITIES INC MD 1.01,9.01 10/03/07
AMERICAN ELECTRIC POWER CO INC NY 7.01 10/09/07
AMERICAN ELECTRIC POWER CO INC NY 8.01,9.01 10/09/07
AMERICAN SOIL TECHNOLOGIES INC NV 3.02,9.01 10/04/07
AMERIRESOURCE TECHNOLOGIES INC DE 4.01,9.01 10/05/07
AMERON INTERNATIONAL CORP DE 8.01 10/05/07
AMREP CORP. OK 8.01,9.01 10/05/07
ANALOGIC CORP MA 5.02,9.01 10/04/07
APOLLO GOLD CORP 1.01 10/04/07
Apple REIT Seven, Inc. VA 2.01,9.01 10/04/07
APPLIANCE RECYCLING CENTERS OF AMERIC MN 8.01,9.01 09/26/07
AQUENTIUM INC DE 1.01 09/27/07
ARES CAPITAL CORP MD 7.01,9.01 10/09/07
ARIAD PHARMACEUTICALS INC DE 8.01,9.01 10/09/07
ARIBA INC DE 1.01,3.02 09/20/07 AMEND
ARMSTRONG WORLD INDUSTRIES INC PA 8.01,9.01 10/08/07
ARVINMERITOR INC IN 1.01,9.01 09/17/07
ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 10/05/07
ASIA PREMIUM TELEVISION GROUP NV 8.01 10/09/07 AMEND
ASSET ACCEPTANCE CAPITAL CORP 5.02 10/01/07
ASSET ACCEPTANCE CAPITAL CORP 5.02 10/02/07
ATARI INC DE 5.02,9.01 10/05/07
ATHERSYS, INC / NEW DE 4.02 10/08/07
ATHERSYS, INC / NEW DE 9.01 06/08/07 AMEND
ATLAS MINING CO ID 4.02,8.01,9.01 10/09/07
ATWOOD OCEANICS INC TX 7.01 10/09/07
AVANIR PHARMACEUTICALS CA 8.01,9.01 10/08/07
Avicena Group, Inc. DE 5.02 10/04/07
AVNET INC NY 7.01,9.01 10/08/07
BAKERS FOOTWEAR GROUP INC MO 5.02,9.01 10/03/07
BASSETT FURNITURE INDUSTRIES INC VA 2.02,9.01 10/04/07
BAUSCH & LOMB INC NY 7.01 10/05/07 AMEND
BAY NATIONAL CORP 1.01,9.01 10/03/07
Bear Stearns Asset Backed Securities DE 9.01 09/19/07
Behringer Harvard Opportunity REIT I, MD 7.01,8.01,9.01 09/24/07
BEHRINGER HARVARD SHORT TERM OPPORTUN TX 8.01,9.01 10/09/07
BFC FINANCIAL CORP FL 7.01 10/09/07
BIOANALYTICAL SYSTEMS INC IN 5.02,9.01 10/03/07
BIOPACK ENVIRONMENTAL SOLUTIONS INC. NV 1.01,3.02,5.02,8.01,9.01 08/20/07 AMEND
BIOPHAN TECHNOLOGIES INC NV 1.01,5.02,7.01,9.01 10/03/07
BPI Energy Holdings, Inc. 3.01,9.01 10/03/07
BROOKFIELD HOMES CORP DE 2.02,9.01 10/05/07
BSD MEDICAL CORP DE 7.01,9.01 10/09/07
BUCA INC /MN MN 2.02,9.01 10/09/07
Burlington Coat Factory Investments H 1.01,9.01 10/09/07
BUSINESS OBJECTS S.A. 1.01,7.01,9.01 10/07/07
BUSINESS OBJECTS S.A. 2.02,9.01 10/07/07
C H ROBINSON WORLDWIDE INC DE 5.02,9.01 09/30/07
CALIFORNIA PIZZA KITCHEN INC DE 2.02,9.01 10/09/07
CAMBRIDGE HEART INC DE 2.02,9.01 10/08/07
Capital One Auto Receivables LLC DE 8.01,9.01 10/09/07
CAPITALSOURCE INC DE 8.01,9.01 10/05/07
CapLease, Inc. 1.01,2.03,3.02,7.01,8.01,9.01 10/09/07
CARAUSTAR INDUSTRIES INC NC 1.01,7.01,9.01 10/02/07
CARDIMA INC DE 1.01,9.01 10/03/07
CARDIODYNAMICS INTERNATIONAL CORP CA 8.01,9.01 10/09/07
Caterpillar Financial Asset Trust 200 9.01 09/27/07
CATERPILLAR FINANCIAL FUNDING CORP 9.01 10/08/07
CATERPILLAR FINANCIAL FUNDING CORP 9.01 09/27/07 AMEND
CBD Media Holdings LLC DE 7.01,9.01 10/09/07 AMEND
CBD MEDIA LLC DE 7.01,9.01 10/09/07 AMEND
Center for Wound Healing, Inc. 3.03,9.01 10/04/07
CENTERGISTIC SOLUTIONS INC 5.02 10/09/07
CHART INDUSTRIES INC DE 7.01,9.01 10/09/07
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 10/09/07
CHESAPEAKE ENERGY CORP OK 8.01,9.01 10/08/07
CHEVRON CORP DE 2.02 10/09/07
CHICOS FAS INC FL 5.02 10/03/07
CHILDRENS PLACE RETAIL STORES INC 8.01,9.01 10/09/07
CHINA EDUCATION ALLIANCE INC. NC 7.01,9.01 10/04/07
CHL Mortgage Pass-Through Trust 2007- DE 8.01,9.01 08/30/07 AMEND
CHL Mortgage Pass-Through Trust 2007- DE 8.01,9.01 10/09/07
CHL Mortgage Pass-Through Trust 2007- DE 8.01,9.01 09/28/07
CHL Mortgage Pass-Through Trust 2007- DE 8.01,9.01 10/09/07
CITY CAPITAL CORP NV 4.01,9.01 10/01/07
CLAIBORNE LIZ INC DE 5.03,9.01 10/09/07
Claymont Steel Holdings, Inc. DE 2.02,9.01 10/02/07
CLICKNSETTLE COM INC DE 4.01,9.01 10/09/07
COHU INC DE 5.02 10/08/07
Coleman Cable, Inc. DE 9.01 10/05/07
Coley Pharmaceutical Group, Inc. DE 1.01,3.03,8.01,9.01 10/05/07
COMMERCE BANCORP INC /NJ/ NJ 1.01,5.02,8.01,9.01 10/02/07
COMMONWEALTH EDISON CO IL 1.01,1.02,2.03,9.01 10/03/07
COMMUNITY BANCORP /VT VT 8.01,9.01 10/04/07
COMPREHENSIVE CARE CORP DE 5.01 10/05/07
COMPUMED INC DE 7.01,9.01 10/08/07
COMSCORE, INC. DE 2.02,9.01 10/08/07
Con-way Inc. DE 9.01 08/23/07 AMEND
CONSOLIDATED MEDICAL MANAGEMENT INC MT 3.02 10/04/07
Cornerstone Core Properties REIT, Inc MD 2.01,2.03,9.01 10/02/07
CYANOTECH CORP NV 3.01 10/03/07
Cyclacel Pharmaceuticals, Inc. DE 1.01,8.01,9.01 10/05/07
DARDEN RESTAURANTS INC FL 9.01 10/01/07 AMEND
DARLING INTERNATIONAL INC DE 3.01,8.01,9.01 10/03/07
Deja Foods Inc 1.03,5.02 10/05/07
DEL GLOBAL TECHNOLOGIES CORP NY 2.02,9.01 10/09/07
DENNYS CORP DE 2.02,9.01 10/09/07
DIAMOND HILL INVESTMENT GROUP INC OH 8.01,9.01 10/05/07
DIATECT INTERNATIONAL CORP CA 8.01 10/05/07
DIGITAL LIFESTYLES GROUP INC DE 1.01,3.02,5.02,9.01 09/27/07
DigitalPost Interactive, Inc. NV 3.02,5.02,9.01 10/04/07
DIONICS INC DE 4.01 10/03/07
DIRECTV GROUP INC DE 5.02 10/08/07
Discover Card Execution Note Trust DE 1.01,9.01 10/04/07
DOLLAR FINANCIAL CORP DE 5.02,9.01 10/05/07
DONNELLEY R H INC DE 1.01,3.02,3.03,9.01 10/02/07
Duff & Phelps Corp DE 1.01,9.01 10/04/07
DURA AUTOMOTIVE SYSTEMS INC DE 8.01,9.01 10/03/07
EARTHFIRST TECHNOLOGIES INC FL 4.01,9.01 10/02/07
EastBridge Investment Group Corp AZ 1.01 10/04/07
EDGE PETROLEUM CORP DE 2.02 10/08/07
ELANDIA INTERNATIONAL INC. DE 1.01,2.03,9.01 10/02/07
ELCOM INTERNATIONAL INC DE 4.01 08/30/07 AMEND
EMC INSURANCE GROUP INC IA 7.01 10/08/07
EMVELCO CORP. DE 5.02 10/04/07
Energy Transfer Equity, L.P. DE 1.01,2.03,7.01,8.01,9.01 10/09/07
Energy Transfer Equity, L.P. DE 7.01,8.01,9.01 10/09/07
Energy Transfer Partners, L.P. DE 1.01,2.03,7.01,8.01,9.01 10/09/07
Energy Transfer Partners, L.P. DE 7.01,8.01,9.01 10/09/07
Energy Transfer Partners, L.P. DE 7.01,8.01,9.01 10/09/07 AMEND
ENNIS, INC. TX 1.01,9.01 10/08/07
ENTERPRISE FINANCIAL SERVICES CORP DE 1.01,8.01,9.01 10/03/07
ENVIROKARE TECH INC NV 7.01,9.01 10/08/07
EPLUS INC DE 2.02,9.01 10/09/07
ESCALA GROUP INC NY 4.01,8.01 09/17/07
ETERNAL TECHNOLOGIES GROUP INC DE 2.01 10/04/07
ETHAN ALLEN INTERIORS INC DE 5.02 10/03/07
EUROGAS INC UT 8.01 10/09/07
EXCELSIOR LASALLE PROPERTY FUND INC 3.02 09/27/07
EXELON CORP PA 7.01,9.01 10/09/07
EXELON CORP PA 8.01 10/05/07
Exobox Technologies Corp. NV 8.01 10/09/07
EZCORP INC DE 1.01,9.01 10/03/07
FAIRPOINT COMMUNICATIONS INC DE 8.01,9.01 10/08/07
FAVRILLE INC DE 5.03,9.01 10/04/07
FEDERAL AGRICULTURAL MORTGAGE CORP 8.01 10/04/07
Federal Home Loan Bank of Atlanta X1 2.03 10/03/07
Federal Home Loan Bank of Boston X1 2.03 10/03/07
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 10/03/07
Federal Home Loan Bank of Dallas 2.03 10/03/07
Federal Home Loan Bank of Des Moines X1 2.03,9.01 10/04/07
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 10/03/07
Federal Home Loan Bank of New York X1 2.03,9.01 10/03/07
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 10/03/07
Federal Home Loan Bank of Topeka 2.03 10/03/07
FGBC Bancshares, Inc. GA 5.02 10/02/07
FIRST NATIONAL COMMUNITY BANCORP INC PA 2.02,9.01 10/09/07
FIRST NATIONAL CORP /VA/ 5.02,5.03,9.01 10/03/07
Flex Fuels Energy, Inc. NV 1.01,9.01 09/28/07
FOSTER L B CO PA 2.01,9.01 10/05/07
FUEGO ENTERTAINMENT, INC. NV 4.01 09/25/07
FULLER H B CO MN 7.01,9.01 10/08/07
GATEWAY INC DE 1.01,9.01 10/04/07
GENESIS TECHNOLOGY GROUP INC FL 1.01,2.01,3.02,5.01,5.02,9.01 10/05/07
GENITOPE CORP DE 1.01,8.01,9.01 10/05/07
GENWORTH FINANCIAL INC DE 5.03,9.01 10/05/07
GLOBAL 1 INVESTMENT HOLDINGS CORP GA 5.02 10/09/07
Global Employment Holdings, Inc. 3.02,3.03,9.01 10/03/07
GOLDEN TELECOM INC DE 8.01,9.01 10/09/07
GOLDFIELD CORP DE 8.01,9.01 10/09/07
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 10/05/07
GREAT PLAINS ENERGY INC MO 1.01,1.02,2.03 10/09/07
GREAT WEST GOLD, INC. WY 8.01,9.01 10/08/07
GREYSTONE LOGISTICS, INC. 4.01 10/03/07
GS AGRIFUELS CORP DE 5.03 10/03/07 AMEND
GUITAR CENTER INC DE 3.01,3.03,5.01,5.02,8.01,9.01 10/09/07
GULF WESTERN PETROLEUM CORP NV 3.02 09/27/07
Halcyon Jets Holdings, Inc. DE 9.01 08/17/07 AMEND
HALLADOR PETROLEUM CO CO 1.01,3.02 10/05/07
HAMPSHIRE GROUP LTD DE 5.02,9.01 10/08/07
HANDLEMAN CO /MI/ MI 5.02,9.01 10/05/07
HANOVER CAPITAL MORTGAGE HOLDINGS INC MD 1.01,2.03,9.01 08/10/07 AMEND
HEMOSENSE INC DE 5.02 10/04/07
HERSHA HOSPITALITY TRUST MD 1.01,9.01 10/01/07
HERSHEY CO DE 5.02,9.01 10/09/07
Hicks Acquisition CO I Inc. DE 9.01 10/05/07 AMEND
HIGHLANDS BANKSHARES INC /WV/ WV 8.01 10/09/07
HOKU SCIENTIFIC INC DE 1.01 10/06/07
HOLOGIC INC DE 8.01 10/05/07
HOME BANCSHARES INC 5.02 10/08/07
HSW International, Inc. DE 1.01,2.01,3.02,4.01,5.01,5.02, 10/02/07
8.01,9.01
HUMANA INC DE 7.01 10/05/07
IBASIS INC DE 2.03,9.01 10/02/07
ICAHN ENTERPRISES L.P. DE 8.01 10/03/07
ICONIX BRAND GROUP, INC. DE 2.01,5.02,8.01,9.01 10/03/07
IMPERIAL SUGAR CO /NEW/ TX 5.02,9.01 10/08/07
IMPERIALI INC FL 5.02 10/08/07
IndyMac IMJA Mortgage Loan Trust 2007 8.01,9.01 09/25/07
INDYMAC INDX MORTGAGE LOAN TRUST 2005 7.01,9.01 09/01/07
IndyMac Indx Mortgage Loan Trust 2005 7.01,9.01 09/01/07
INGERSOLL RAND CO LTD 5.02,9.01 10/06/07
INNOFONE COM INC NV 1.01,3.02,9.01 09/21/07
INNOVO GROUP INC DE 2.02,9.01 10/09/07
Inova Technology Inc. NV 7.01 10/09/07
InPlay Technologies, Inc. NV 5.02,9.01 10/08/07
Intrepid Global Imaging 3D, INC. DE 8.01 10/03/07 AMEND
INVENTURE GROUP, INC. DE 5.02,8.01,9.01 10/04/07
INVESTMENT TECHNOLOGY GROUP INC DE 8.01,9.01 10/08/07
J P MORGAN CHASE & CO DE 9.01 10/04/07
JACKSON HEWITT TAX SERVICE INC DE 1.01,7.01,8.01 10/04/07
JAZZ PHARMACEUTICALS INC DE 5.02 10/03/07
JDS UNIPHASE CORP /CA/ DE 5.02,9.01 10/02/07
JK Acquisition Corp. 2.03,9.01 10/03/07
JOHNSON CONTROLS INC WI 2.02,9.01 10/09/07
JOURNAL COMMUNICATIONS INC 4.01,9.01 10/03/07
Jpak Group, Inc. 4.01,5.03,8.01,9.01 10/01/07
JUNIPER GROUP INC NY 1.01,2.03,3.02,9.01 10/02/07
KAPSTONE PAPER & PACKAGING CORP DE 5.02,9.01 10/04/07
KAYNE ANDERSON ENERGY DEVELOPMENT CO MD 8.01,9.01 10/08/07
KBS Real Estate Investment Trust, Inc MD 2.01,9.01 08/08/07 AMEND
KBS Real Estate Investment Trust, Inc MD 2.01,9.01 08/28/07 AMEND
KBS Real Estate Investment Trust, Inc MD 2.01,9.01 09/05/07 AMEND
KENTUCKY BANCSHARES INC /KY/ KY 2.02,9.01 10/09/07
KITTY HAWK INC DE 5.02,5.03,9.01 04/24/07
KMG America CORP VA 8.01,9.01 10/05/07
KNIGHT CAPITAL GROUP, INC. DE 1.01,2.03,9.01 10/03/07
KOPIN CORP DE 5.03,9.01 10/04/07
KOSS CORP DE 2.02,9.01 10/08/07
KULICKE & SOFFA INDUSTRIES INC PA 5.02,9.01 10/02/07
KYPHON INC DE 8.01 10/05/07
LANNETT CO INC DE 4.02 09/13/07 AMEND
LAYNE CHRISTENSEN CO DE 5.02 10/09/07
LEVI STRAUSS & CO DE 5.02,9.01 10/02/07
LINCOLN NATIONAL CORP IN 8.01,9.01 10/09/07
Live Nation, Inc. DE 5.02,9.01 10/03/07
LIVEPERSON INC DE 2.01,9.01 10/03/07
LNB BANCORP INC OH 5.02 10/09/07
LOEWS CORP DE 5.03,9.01 10/09/07
LSI CORP DE 2.02,9.01 10/02/07
LUFKIN INDUSTRIES INC TX 5.03,9.01 10/03/07
LYDALL INC /DE/ DE 5.02 10/05/07
MAD CATZ INTERACTIVE INC 1.01,9.01 10/02/07
Makeup.com LTD NV 2.02,7.01,9.01 10/05/07
MAP Pharmaceuticals, Inc. DE 8.01,9.01 10/08/07
MARINE PRODUCTS CORP DE 8.01,9.01 10/09/07
MARKWEST ENERGY PARTNERS L P 8.01,9.01 10/05/07
MARKWEST HYDROCARBON INC DE 8.01,9.01 10/05/07
MARSHALL & ILSLEY CORP/WI/ WI 8.01 10/05/07
MARTEK BIOSCIENCES CORP DE 1.01,9.01 10/05/07
McAfee, Inc. DE 1.01,7.01,9.01 10/08/07
MCG CAPITAL CORP DE 1.01,2.03,9.01 10/03/07
MEDCO HEALTH SOLUTIONS INC DE 5.02,9.01 10/04/07
MEDecision, Inc. PA 2.02,5.02,9.01 10/02/07
MEDICAL DISCOVERIES INC UT 9.01 09/30/07 AMEND
MEDIS TECHNOLOGIES LTD DE 8.01,9.01 10/08/07
MEDIVATION, INC. DE 8.01 09/27/07
MEDQUIST INC NJ 5.03,5.05,9.01 10/03/07
MERIX CORP OR 2.02,9.01 10/08/07
MERRILL LYNCH & CO INC DE 8.01,9.01 10/04/07
Merrill Lynch First Franklin Mortgage DE 8.01,9.01 10/09/07
Metavante Holding CO WI 8.01 10/05/07
MEXORO MINERALS LTD CO 1.01 10/04/07
MGT CAPITAL INVESTMENTS INC DE 8.01,9.01 10/08/07
MICROCHIP TECHNOLOGY INC DE 2.02,9.01 09/30/07
MICROMET, INC. DE 5.03,9.01 10/03/07
MIDWEST URANIUM CORP NV 4.01,9.01 09/25/07 AMEND
MOBILITY ELECTRONICS INC DE 5.02,9.01 10/04/07
MOLSON COORS BREWING CO CO 8.01,9.01 10/09/07
MOODYS CORP /DE/ DE 1.01,2.03,9.01 10/03/07
Morgan Stanley Capital I Trust 2007-I DE 8.01,9.01 08/23/07 AMEND
MOSAIC CO 2.02,9.01 10/09/07
MPC CORP CO 1.01,2.01,2.03,3.02,3.03,5.03, 10/05/07
9.01
MS STRUCTURED SATURNS SERIES 2001-6 DE 8.01,9.01 10/01/07
MTI TECHNOLOGY CORP DE 2.04,5.02 10/03/07
MYCOM GROUP INC /NV/ NV 5.03 10/05/07
NARROWSTEP INC DE 5.02 10/07/07
NASH FINCH CO DE 8.01,9.01 10/05/07
NaturalNano , Inc. NV 1.01,7.01 10/03/07
NAVISTAR INTERNATIONAL CORP DE 5.04,9.01 10/03/07
NAVTECH INC DE 8.01,9.01 10/09/07
NEOSE TECHNOLOGIES INC DE 1.02,2.05 10/09/07
NEW YORK MORTGAGE TRUST INC MD 8.01,9.01 10/09/07
NEWFIELD EXPLORATION CO /DE/ DE 8.01,9.01 10/05/07
NEXMED INC NV 1.01,9.01 10/03/07
NORFOLK SOUTHERN CORP VA 2.02,7.01,8.01,9.01 10/09/07
NORTH AMERICAN SCIENTIFIC INC 3.01,9.01 10/05/07
NORTHWESTERN CORP DE 7.01,9.01 10/09/07
NOTIFY TECHNOLOGY CORP CA 5.02 10/02/07
NYER MEDICAL GROUP INC FL 2.03 10/03/07
NYFIX INC DE 5.02,9.01 10/02/07
OGE ENERGY CORP OK 5.02,9.01 10/09/07
Omega Flex, Inc. PA 1.02,5.02 10/09/07
ONEOK Partners LP DE 8.01,9.01 10/09/07
OPTICAL COMMUNICATION PRODUCTS INC DE 5.02,9.01 09/29/07 AMEND
ORCHID CELLMARK INC 5.02,9.01 10/05/07
Organetix NJ 1.02 10/05/07
ORION ETHANOL, INC KS 5.02 10/08/07
OUTDOOR CHANNEL HOLDINGS INC 1.01,2.03 10/02/07
OXFORD INDUSTRIES INC GA 2.02,5.03,9.01 10/09/07
PACIFIC GAS & ELECTRIC CO CA 7.01,9.01 10/05/07
PACIFIC GOLD CORP NV 1.01,3.02,3.03,9.01 10/05/07
PACKAGING CORP OF AMERICA 1.01,9.01 10/05/07
PARK CITY GROUP INC DE 5.02 10/01/07
PENGE CORP NV 2.01,9.01 10/01/07
PENN VIRGINIA CORP VA 1.01,2.03,9.01 10/05/07
PEOPLES BANCTRUST CO INC AL 8.01 09/28/07
PEOPLES EDUCATIONAL HOLDINGS MN 2.02,9.01 10/08/07
PEOPLES LIBERATION INC DE 5.02,9.01 10/02/07
PERMA FIX ENVIRONMENTAL SERVICES INC DE 8.01 10/02/07
PG&E CORP CA 7.01,9.01 10/05/07
PINNACLE AIRLINES CORP DE 1.01 10/03/07
PINNACLE WEST CAPITAL CORP AZ 8.01 10/04/07
PLANTRONICS INC /CA/ DE 8.01,9.01 10/08/07
POLYMEDICA CORP MA 8.01 10/05/07
POLYMER GROUP INC DE 8.01,9.01 10/04/07
POPE & TALBOT INC /DE/ DE 5.02,9.01 10/08/07
POPULAR INC 8.01,9.01 10/08/07
POWERWAVE TECHNOLOGIES INC DE 1.01,9.01 10/05/07
Pregis Holding II CORP DE 2.01,9.01 07/04/07 AMEND
PRO PHARMACEUTICALS INC NV 1.01,3.02,5.03,9.01 10/05/07
PROCTER & GAMBLE CO OH 7.01 10/09/07
PROCTER & GAMBLE CO OH 7.01 10/09/07
PROGRESS ENERGY INC NC 8.01,9.01 10/08/07
PROGRESS ENERGY INC NC 8.01,9.01 10/09/07
PROSPECT MEDICAL HOLDINGS INC DE 7.01,9.01 10/09/07
Protalix BioTherapeutics, Inc. FL 8.01,9.01 10/07/07
PROTECTIVE LIFE INSURANCE CO TN 9.01 10/04/07
PS BUSINESS PARKS INC/CA CA 2.02,9.01 10/01/07
pSivida LTD C3 9.01 08/31/07
Puda Coal, Inc. 1.01,5.02,9.01 10/09/07
QLT INC/BC A1 8.01,9.01 10/09/07
QPC Lasers NV 2.02,9.01 10/04/07
RAAC Series 2007 SP2 Trust DE 8.01,9.01 10/08/07
RAAC Series 2007-SP3 Trust DE 8.01,9.01 10/08/07
RAINMAKER SYSTEMS INC CA 7.01,8.01,9.01 10/03/07
RAMCO GERSHENSON PROPERTIES TRUST MD 8.01,9.01 10/08/07
RAYONIER INC NC 8.01,9.01 10/09/07
REEDS INC DE 5.02,9.01 10/08/07
REFLECT SCIENTIFIC INC UT 4.01,9.01 10/03/07
RESOLVE STAFFING INC NV 1.01,8.01,9.01 10/05/07
REXAHN PHARMACEUTICALS, INC. DE 1.01,5.02,9.01 10/03/07
RICA FOODS INC NV 4.01,9.01 09/18/07 AMEND
RIVIERA HOLDINGS CORP NV 7.01,9.01 10/09/07
ROCKWELL MEDICAL TECHNOLOGIES INC MI 3.02,9.01 10/03/07
Rockwood Holdings, Inc. DE 7.01,9.01 10/08/07
Rosetta Resources Inc. DE 2.02,9.01 10/09/07
RPC INC DE 8.01,9.01 10/09/07
RUBBER RESEARCH ELASTOMERICS INC MN 5.02 10/04/07
RYERSON INC. DE 8.01,9.01 10/08/07
SAIC, Inc. DE 7.01,9.01 10/09/07
SANGUI BIOTECH INTERNATIONAL INC CO 4.01,8.01 09/18/07 AMEND
SANTANDER BANCORP 2.03,9.01 10/03/07
SARATOGA RESOURCES INC /TX TX 4.01,9.01 10/08/07
SAVE THE WORLD AIR INC NV 1.01,9.01 09/28/07
SCANSOURCE INC SC 2.02,9.01 10/08/07
SECURE COMPUTING CORP DE 5.02,9.01 10/04/07
SELECTICA INC DE 1.01,9.01 10/05/07
SFG FINANCIAL CORP DE 1.01,5.02,9.01 10/04/07
SHARPER IMAGE CORP DE 5.02 10/08/07
Shire plc 8.01,9.01 10/08/07
SILVERADO GOLD MINES LTD A1 1.01,3.02,9.01 09/04/07 AMEND
SM&A DE 5.02 10/03/07
SONOSITE INC 8.01 10/08/07
SOUTH SHORE RESOURCES INC. 1.01 10/09/07
Spansion Inc. DE 1.01,9.01 10/07/07
SPORT HALEY INC CO 5.02 10/04/07
ST JOE CO FL 2.02,2.05,2.06,5.02,7.01,8.01, 10/08/07
9.01
ST JUDE MEDICAL INC MN 8.01,9.01 10/08/07
ST. BERNARD SOFTWARE, INC. CA 1.01,5.02,9.01 10/08/07
STAR ENERGY CORP NV 5.02,9.01 10/02/07
STARM Mortgage Loan Trust 2007-4 DE 8.01,9.01 09/24/07
STRUCTURED PRODUCTS CORP TIERS PP ASS DE 8.01,9.01 09/26/07
Sucampo Pharmaceuticals, Inc. 5.02 10/03/07
SUNRISE REAL ESTATE GROUP INC TX 1.01,9.01 10/04/07
SUNRISE REAL ESTATE GROUP INC TX 8.01,9.01 10/08/07
SUNVESTA, INC. FL 3.02,9.01 09/28/07
Tactical Solution Partners, Inc. DE 1.02,5.02,9.01 10/03/07
TESCO CORP 7.01 10/05/07
TEXTRON INC DE 1.01,9.01 10/07/07
THEATER XTREME ENTERTAINMENT GROUP, I FL 1.01,9.01 10/03/07
THERMADYNE HOLDINGS CORP /DE DE 1.01,8.01,9.01 10/04/07
Thomas Equipment, Inc. DE 1.01,3.02,5.02,9.01 10/03/07
TONGA CAPITAL CORP CO 7.01,9.01 10/09/07
TOPSPIN MEDICAL INC 8.01 10/02/07
Tradeshow Marketing Co. Ltd. NV 5.02 10/08/07
TSR INC DE 4.01,9.01 09/19/07 AMEND
TWL CORP UT 8.01,9.01 10/08/07
U S ENERGY SYSTEMS INC DE 1.01,3.01,5.02,8.01,9.01 10/01/07
U S ENERGY SYSTEMS INC DE 2.02,9.01 10/09/07
U. S. Premium Beef, LLC 7.01,9.01 10/08/07
UNIFI INC NY 1.01,1.02,5.02,9.01 10/04/07
UNITED INDUSTRIAL CORP /DE/ DE 1.01,8.01,9.01 10/07/07
UNIVERSAL AMERICAN FINANCIAL CORP NY 7.01,9.01 10/03/07
UNIVERSAL ENERGY CORP. 7.01,9.01 10/03/07
URANIUM ENERGY CORP NV 1.01,9.01 08/15/07
URON INC MN 8.01 10/05/07
US AIRWAYS GROUP INC DE 1.01,9.01 10/02/07
US FARMS, INC. NV 1.02,5.02 09/06/07
US HOME SYSTEMS INC DE 1.01,1.02,2.01,2.06,9.01 10/02/07
USAA ACCEPTANCE LLC 8.01,9.01 10/09/07
UTSTARCOM INC DE 2.05 10/02/07
Viacom Inc. DE 8.01,9.01 10/05/07
VICTORY EAGLE RESOURCES CORP. NV 1.01,3.02,9.01 10/08/07
Volcano CORP DE 2.02,8.01,9.01 10/09/07
VOLTERRA SEMICONDUCTOR CORP 5.02,9.01 10/05/07
WEATHERFORD INTERNATIONAL LTD D0 8.01,9.01 10/09/07
WGL HOLDINGS INC VA 8.01 10/05/07
WHOLE FOODS MARKET INC TX 8.01,9.01 10/05/07
WIFIMED HOLDINGS COMPANY, INC. NV 1.01,2.01,3.02,9.01 10/01/07
WINMARK CORP MN 1.01,9.01 10/04/07
WINN DIXIE STORES INC FL 7.01,9.01 10/09/07
XETA TECHNOLOGIES INC OK 8.01,9.01 10/08/07
XINYINHAI TECHNOLOGY, LTD. UT 2.02,9.01 10/09/07
YADKIN VALLEY FINANCIAL CORP NC 7.01,9.01 10/08/07
YOUBET COM INC DE 8.01 09/19/07
YTB International, Inc. NY 7.01 10/06/07
YUM BRANDS INC NC 2.02,8.01,9.01 10/08/07
ZHONGPIN INC. DE 3.02,8.01,9.01 10/09/07
ZION OIL & GAS INC DE 7.01,9.01 10/08/07
ZOLTEK COMPANIES INC DE 8.01,9.01 10/03/07
http://www.sec.gov/news/digest/2007/dig101007.htm
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