SEC Daily News Digest
October 24, 2008
Issue 2008-207
ENFORCEMENT PROCEEDINGS
IN THE MATTER OF CAT-A-TONIC BEVERAGE CORP.
An Administrative Law Judge has issued an Order Making Findings and Revoking
Registrations by Default (Default Order) in Cat-A-Tonic Beverage Corp., Administrative
Proceeding No. 3-13223. The Order Instituting Proceedings alleged that Respondents
failed repeatedly to file required annual and quarterly reports while their
securities were registered with the Securities and Exchange Commission. The
Default Order finds these allegations to be true as to Respondents Cat-A-Tonic
Beverage Corp., Chlorophyllix, Inc., Clem's Stox, Inc., Fashion Barn, Inc.,
and Merlin Software Technologies International, Inc., and revokes the registrations
of each class of registered securities of these Respondents, pursuant to Section
12(j) of the Securities Exchange Act of 1934. (Rel. 34-58835; File No. 3-13223)
IN THE MATTER OF ALAMO FINANCIAL SERVICES, INC.
An Administrative Law Judge has issued an Order Making Findings and Revoking
Registrations by Default (Default Order) in Alamo Financial Services, Inc.,
Administrative Proceeding No. 3-13180. The Order Instituting Proceedings alleged
that Respondents failed repeatedly to file required annual and quarterly reports
while their securities were registered with the Securities and Exchange Commission.
The Default Order finds these allegations to be true as to Respondents Alamo
Financial Services, Inc., Incubus Acquisitions, Inc. (n/k/a ECS Industries,
Inc.), Particle 1, Inc., Particle 2, Inc., Particle 3, Inc., Particle 4, Inc.,
Particle 5, Inc., Particle 6, Inc., Source One, Inc., and 2TheMax.Com, Inc.,
and revokes the registrations of each class of registered securities of these
Respondents, pursuant to Section 12(j) of the Securities Exchange Act of 1934.
(Rel. 34-58836; File No. 3-13180)
IN THE MATTER OF AMERICAN ENVIRONMENTAL CORP.
An Administrative Law Judge has issued an Order Making Findings and Revoking
Registrations by Default as to Two Respondents (Default Order) in (n/k/a TrackBets
Int'l, Inc.), Administrative Proceeding No. 3-13185. The Order Instituting
Proceedings alleged that three Respondents each failed repeatedly to file required
annual and quarterly reports while their securities were registered with the
Securities and Exchange Commission.
The Default Order finds these allegations to be true as to two Respondents.
It revokes the registrations of each class of registered securities of American
Environmental Corp. (n/k/a TrackBets International, Inc.) and Bam! Entertainment,
Inc., pursuant to Section 12(j) of the Securities Exchange Act of 1934. The
proceeding remains pending as to the third Respondent, Rudy Nutrition. (Rel.
34-58837; File No. 3-13185)
COMMISSION REVOKES REGISTRATION OF SECURITIES OF RUSSIAN ATHENA, INC. FOR FAILURE
TO MAKE REQUIRED PERIODIC FILINGS
On October 24, the Commission revoked the registration of each class of registered
securities of Russian Athena, Inc. (Russian Athena) for failure to make required
periodic filings with the Commission.
Without admitting or denying the findings in the Order, except as to jurisdiction,
which it admitted, Russian Athena consented to the entry of an Order Making
Findings and Revoking Registration of Securities Pursuant to Section 12(j)
of the Securities Exchange Act of 1934 as to Russian Athena, Inc. finding that
it had failed to comply with Section 13(a) of the Securities Exchange Act of
1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the
registration of each class of Russian Athena's securities pursuant to Section
12(j) of the Exchange Act. This order settled the charges brought against Russian
Athena in In the Matter of Nicole Industries, Inc., et al., Administrative
Proceeding File No. 3-13191.
Brokers and dealers should be alert to the fact that Exchange Act 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 . . . .
For further information see Order Instituting Administrative Proceedings and
Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act
of 1934, In the Matter of Nicole Industries, Inc., et al., Administrative Proceeding
File No. 3-13191, Exchange Act Release No. 58535 (Sept. 12, 2008). (Rel. 34-58841;
File No. 3-13191)
COMMISSION REVOKES REGISTRATION OF SECURITIES OF SKYFRAMES, INC. (N/K/A HELSINKI
SCIENTIFIC, INC.) (CIK NO. 919602) FOR FAILURE TO MAKE REQUIRED PERIODIC FILINGS
On October 24, the Commission revoked the registration of each class of registered
securities of Skyframes, Inc. (n/k/a Helsinki Scientific, Inc.) (CIK No. 919602)
(Skyframes) for failure to make required periodic filings with the Commission.
Without admitting or denying the findings in the Order, except as to jurisdiction,
which it admitted, Skyframes consented to the entry of an Order Making Findings
and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities
Exchange Act of 1934 as to Skyframes, Inc. (n/k/a Helsinki Scientific, Inc.)
(CIK No. 919602) finding that it had failed to comply with Section 13(a) of
the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13
thereunder and revoking the registration of each class of Skyframes's securities
pursuant to Section 12(j) of the Exchange Act. This order settled the charges
brought against Skyframes in In the Matter of Nicole Industries, Inc., et al.,
Administrative Proceeding File No. 3-13191.
Brokers and dealers should be alert to the fact that Exchange Act 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 . . . .
For further information see Order Instituting Administrative Proceedings and
Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act
of 1934, In the Matter of Nicole Industries, Inc., et al., Administrative Proceeding
File No. 3-13191, Exchange Act Release No. 58535 (Sept. 12, 2008). (Rel. 34-58842;
File No. 3-13191)
COMMISSION REVOKES REGISTRATION OF SECURITIES OF CALIFORNIA SERVICE STATIONS,
INC. FOR FAILURE TO MAKE REQUIRED PERIODIC FILINGS
On October 24, the Commission revoked the registration of each class of registered
securities of California Service Stations, Inc. (California Service Stations)
for failure to make required periodic filings with the Commission.
Without admitting or denying the findings in the Order, except as to jurisdiction,
which it admitted, California Service Stations consented to the entry of an
Order Making Findings and Revoking Registration of Securities Pursuant to Section
12(j) of the Securities Exchange Act of 1934 as to California Service Stations,
Inc. finding that it had failed to comply with Section 13(a) of the Securities
Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and
revoking the registration of each class of California Service Stations's securities
pursuant to Section 12(j) of the Exchange Act. This order settled the charges
brought against California Service Stations in In the Matter of California
Service Stations, et al., Administrative Proceeding File No. 3-13184.
Brokers and dealers should be alert to the fact that Exchange Act 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 . . . .
For further information see Order Instituting Administrative Proceedings and
Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act
of 1934, In the Matter of California Service Stations, et al., Administrative
Proceeding File No. 3-13184, Exchange Act Release No. 58525 (Sept. 11, 2008).
(Rel. 34-58843; File No. 3-13184)
COMMISSION REVOKES REGISTRATION OF SECURITIES OF SONOMA MARINE TECHNOLOGIES,
INC. FOR FAILURE TO MAKE REQUIRED PERIODIC FILINGS
On October 24, the Commission revoked the registration of each class of registered
securities of Sonoma Marine Technologies, Inc. (Sonoma Marine) for failure
to make required periodic filings with the Commission.
Without admitting or denying the findings in the Order, except as to jurisdiction,
which it admitted, Sonoma Marine consented to the entry of an Order Making
Findings and Revoking Registration of Securities Pursuant to Section 12(j)
of the Securities Exchange Act of 1934 as to Sonoma Marine Technologies, Inc.
finding that it had failed to comply with Section 13(a) of the Securities Exchange
Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking
the registration of each class of Sonoma Marine's securities pursuant to Section
12(j) of the Exchange Act. This order settled the charges brought against Sonoma
Marine in In the Matter of Nicole Industries, Inc., et al., Administrative
Proceeding File No. 3-13191.
Brokers and dealers should be alert to the fact that Exchange Act 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 . . . .
For further information see Order Instituting Administrative Proceedings and
Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act
of 1934, In the Matter of Nicole Industries, Inc., et al., Administrative Proceeding
File No. 3-13191, Exchange Act Release No. 58535 (Sept. 12, 2008). (Rel. 34-58844;
File No. 3-13191)
IN THE MATTER OF ENTERTAINMENT TECHNOLOGIES & PROGRAMS, INC.
An Administrative Law Judge has issued an Order Making Findings and Revoking
Registrations by Default as to Four Respondents (Default Order) in Entertainment
Technologies & Programs, Inc., Administrative Proceeding No. 3-13186. The Order
Instituting Proceedings alleged that five Respondents each failed repeatedly
to file required annual and quarterly reports while their securities were registered
with the Securities and Exchange Commission.
The Default Order finds these allegations to be true as to four Respondents.
It revokes the registrations of each class of registered securities of Entertainment
Technologies & Programs, Inc., Trans Global Services, Inc., XCL Ltd., and ZymeTx,
Inc., pursuant to Section 12(j) of the Securities Exchange Act of 1934. The
proceeding remains pending as to the fifth Respondent, Inter-Con/PC, Inc. (Rel.
34-58846; File No. 3-13186)
IN THE MATTER OF SCOTT B. HOLLENBECK
An Administrative Law Judge has issued an Order Making Findings and Imposing
Sanction by Default (Default Order) in Scott B. Hollenbeck, Administrative
Proceeding No. 3-13117. The Order Instituting Proceedings alleged Scott B.
Hollenbeck has been permanently enjoined from future violations of Sections
5(a), 5(c), and 17(a) of the Securities Act of 1933, Sections 10(b) and 15(a)
of the Securities Exchange Act of 1934 (Exchange Act), and Exchange Act Rule
10b-5, by the U.S. District Court for the Northern District of Georgia. The
Default Order finds the allegation to be true, and bars Hollenbeck from association
with any broker or dealer pursuant to Section 15(b) of the Exchange Act. (Rel.
34-58847; File No. 3-13117)
IN THE MATTER OF AD ART ELECTRONIC SIGN CORP.
An Administrative Law Judge has issued an Order Making Findings and Revoking
Registrations by Default (Default Order) in AD Art Electronic Sign Corp., Administrative
Proceeding No. 3-13188. The Order Instituting Proceedings alleged that Respondents
failed repeatedly to file required annual and quarterly reports while their
securities were registered with the Securities and Exchange Commission. The
Default Order finds these allegations to be true as to Respondents AD Art Electronic
Sign Corp., Homenet Corp., Little River Ventures, Inc., and Webquest International,
Inc., and revokes the registrations of each class of registered securities
of these Respondents, pursuant to Section 12(j) of the Securities Exchange
Act of 1934. (Rel. 34-58848; File No. 3-13188)
IN THE MATTER OF BARRY SCHECHTER, C.A.
On October 24, the Commission issued an Order Instituting Administrative Proceedings
Pursuant To Rule 102(e) of the Commission's Rules of Practice, Making Findings,
and Imposing Remedial Sanctions (Order) against Barry Schechter (Schechter).
The Order finds that on Oct. 16, 2008, a final judgment was entered against
Schechter, permanently enjoining him from future violations of Section 17(a)
of the Securities Act of 1933, and Sections 10(b) and 13(b)(5) of the Securities
Exchange Act of 1934 (Exchange Act), and Rules 10b-5, 13b2-1 and 13b2-2 thereunder,
and from aiding and abetting any violation of Section 13(a) of the Exchange
Act, and Rules 12b-20, 13a-1 and 13a-13 thereunder, in the civil action entitled
Securities and Exchange Commission v. Retail Pro, Inc. (fka Island Pacific,
Inc.) et al., Civil Action Number 08 CV 1620 WQH (RBB), in the United States
District Court for the Southern District of California.
Based on the above, the Order suspends Schechter from appearing or practicing
before the Commission as an accountant. Schechter consented to the issuance
of the Order without admitting or denying any of findings in the Order, except
he admitted the entry of the injunction. (Rel. 34-58849; AAE Rel. 2896; File
No. 3-13278)
SECURITIES ACT REGISTRATIONS
October 24, 2008
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 viewed in person in the Commission's
Public Reference Branch at 100 F Street, N.E., Washington, D.C. To
obtain paper copies, please refer to information on the Commission's
Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases,
you can view and download this information by using the search
function located at:
http://www.sec.gov/edgar/searchedgar/companysearch.html.
S-1 Plasmet Corp, 6 1/2 North 2nd Str, Walla Walla, wa, 99362,
509-536-3491 - 44,450,000 ($11,112,500.00) Equity, (File 333-154672 -
Oct. 23) (BR. 06)
S-3ASR RAYTHEON CO/, 870 WINTER STREET, WALTHAM, MA, 02451-1449,
781-522-3031 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-154677 - Oct. 23) (BR. 05C)
S-8 MICRO IMAGING TECHNOLOGY, INC., 23456 S POINTE DR, LAGUNA HILLS, CA,
92653-1512, 9497709347 - 4,000,000 ($400,000.00) Equity,
(File 333-154689 - Oct. 23) (BR. 03A)
S-8 BARNES GROUP INC, 123 MAIN ST, BRISTOL, CT, 06010, 8605837070 -
0 ($12,370,000.00) Equity, (File 333-154701 - Oct. 23) (BR. 06C)
S-3D KENNAMETAL INC, 1600 TECHNOLOGY WAY, P O BOX 231, LATROBE, PA, 15650,
7245395000 - 200,000 ($4,452,000.00) Equity, (File 333-154703 -
Oct. 23) (BR. 10B)
S-8 KENNAMETAL INC, 1600 TECHNOLOGY WAY, P O BOX 231, LATROBE, PA, 15650,
7245395000 - 1,500,000 ($33,390,000.00) Equity, (File 333-154705 -
Oct. 23) (BR. 10B)
S-1 Plastinum Polymer Technologies Corp., C/O 245 PARK AVENUE, NEW YORK,,
NY, 10167, (212) 792-4030 - 2,000,000 ($580,000.00) Equity,
(File 333-154707 - Oct. 23) (BR. 06C)
S-8 ARABIAN AMERICAN DEVELOPMENT CO, 10830 N CENTRAL EXPRWY STE 175,
DALLAS, TX, 75231, 2146927872 - 1,000,000 ($2,600,000.00) Equity,
(File 333-154708 - Oct. 23) (BR. 04B)
S-1 Pepper Rock Resources Corp., ONE LINCOLN CENTRE,
18 WEST 140 BUTTERFIELD ROAD, 15TH FLOOR, OAKBROOK TERRACE, IL, 60181,
630-613-7487 - 5,060,000 ($50,600.00) Equity, (File 333-154709 -
Oct. 23) (BR. )
F-10 Cardiome Pharma Corp, 6TH FLOOR, 6190 AGRONOMY RD., VANCOUVER, A1,
V6T 1Z3, 1-604-677-6905 - 250,000,000 ($250,000,000.00) Equity,
(File 333-154710 - Oct. 23) (BR. 01C)
S-8 INSITUFORM TECHNOLOGIES INC, 17988 EDISON AVENUE, CHESTERFIELD, MO,
63005, 6365308000 - 274,273 ($3,367,168.00) Equity, (File 333-154711 -
Oct. 23) (BR. 06A)
S-8 Touchmark Bancshares, Inc., 3740 DAVINCI COURT, SUITE 150, NORCROSS,
GA, 30092, 770-407-6700 - 0 ($1,688,440.00) Equity, (File 333-154712 -
Oct. 23) (BR. 07A)
S-3 ISTA PHARMACEUTICALS INC, 15295 ALTON PARKWAY, IRVINE, CA, 92618,
949-788-6000 - 12,500,000 ($11,750,000.00) Equity, (File 333-154713 -
Oct. 23) (BR. 01A)
S-3ASR HARMAN INTERNATIONAL INDUSTRIES INC /DE/, 400 ATLANTIC STREET,
SUITE 1500, STAMFORD, CT, 06901, 2033283500 -
0 ($400,000,000.00) Debt Convertible into Equity, (File 333-154714 -
Oct. 23) (BR. 11A)
S-8 HARMONIC INC, 549 BALTIC WAY, SUNNYVALE, CA, 94089, 4085422500 -
7,600,000 ($62,776,000.00) Equity, (File 333-154715 - Oct. 23) (BR. 11B)
S-3 INSITUFORM TECHNOLOGIES INC, 17988 EDISON AVENUE, CHESTERFIELD, MO,
63005, 6365308000 - 0 ($250,000,000.00) Equity, (File 333-154716 -
Oct. 23) (BR. 06A)
S-1 Heckmann CORP, 75080 FRANK SINATRA DRIVE, PALM DESERT, CA, 92211,
760-341-3606 - 0 ($324,700,800.00) Equity, (File 333-154717 - Oct. 23)
(BR. 09)
S-8 ARROW ELECTRONICS INC, 25 HUB DR, MELVILLE, NY, 11747, 5163911300 -
0 ($83,100,000.00) Equity, (File 333-154719 - Oct. 23) (BR. 10A)
S-1 35, LLC, 2311 N. 45TH STEET, SUITE 310, SEATTLE, WA, 98103,
206-788-7008 - 0 ($3,500,000.00) Other, (File 333-154720 - Oct. 23)
(BR. )
RECENT 8K FILINGS
Securities Mosaic Website customers: Search All 8-K Filings
October 24, 2008
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 Certain Officers; Election of Directors;
Appointment of Certain Officers; Compensatory Arrangements of Certain 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
5.06 Change in Shell Company Status
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 viewed in person in the Commission's Public
Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain
paper copies, please refer to information on the Commission's Web site
at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can
view and download this information by using the search function
located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
STATE
NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT
-------------------------------------------------------------------------------------------------------
1 800 FLOWERS COM INC DE 2.02,9.01 10/23/08
1ST CONSTITUTION BANCORP NJ 2.02,9.01 10/23/08
1st United Bancorp, Inc. FL 3.02 10/21/08
AASTROM BIOSCIENCES INC MI 5.03,8.01,9.01 10/17/08
ABLEAUCTIONS COM INC FL 1.01 10/23/08
ACACIA RESEARCH CORP DE 2.02,9.01 10/23/08
ACCESS NATIONAL CORP VA 2.02,7.01,9.01 10/21/08
ADC TELECOMMUNICATIONS INC MN 2.05,2.06,9.01 10/21/08
ADVANCED MICRO DEVICES INC DE 5.02,9.01 10/23/08
AFFYMETRIX INC DE 2.02,5.02,9.01 10/22/08
AFLAC INC GA 2.02,9.01 10/23/08
AIR METHODS CORP DE 2.02,9.01 10/23/08
AKAMAI TECHNOLOGIES INC DE 1.01,5.02,9.01 10/20/08
ALASKA AIR GROUP INC DE 2.02,7.01,9.01 10/23/08
ALEXION PHARMACEUTICALS INC DE 2.02,9.01 10/23/08
ALIGN TECHNOLOGY INC DE 2.02,2.05 10/23/08
ALLIANCE BANCORP INC OF PENNSYLVANIA X1 2.02,9.01 10/23/08
ALLIANCEBERNSTEIN HOLDING L.P. DE 2.02,7.01,9.01 10/22/08
ALLIANCEBERNSTEIN L.P. DE 2.02,7.01,9.01 10/22/08
ALLSCRIPTS-MISYS HEALTHCARE SOLUTIONS DE 2.02,7.01,9.01 10/23/08
ALLSCRIPTS-MISYS HEALTHCARE SOLUTIONS DE 5.02,9.01 10/17/08
ALLSTATE CORP DE 2.02,9.01 10/22/08
ALTRIA GROUP, INC. VA 2.02,8.01,9.01 10/23/08
ALTRIA GROUP, INC. VA 2.02,8.01,9.01 10/23/08
AMEREN CORP MO 2.03,9.01 10/23/08
American Environmental Energy, Inc. MN 1.01,8.01,9.01 10/17/08
AMERICAN URANIUM CORP NV 4.01,9.01 09/30/08 AMEND
AMERISTAR CASINOS INC NV 2.03 10/20/08
AMGEN INC DE 1.01 10/22/08
AMSURG CORP TN 2.02,7.01,9.01 10/23/08
ANADYS PHARMACEUTICALS INC 2.02,9.01 09/30/08
ANGEL ACQUISITION CORP. NV 3.02 04/17/08
ANIXTER INTERNATIONAL INC DE 2.02,9.01 10/21/08
APOLLO GOLD CORP 8.01,9.01 10/22/08
APOLLO SOLAR ENERGY, INC. CO 5.03,9.01 10/21/08
Applied Nanotech Holdings, Inc TX 5.02,9.01 10/20/08
ARCTIC CAT INC MN 2.02,9.01 10/23/08
ARIAD PHARMACEUTICALS INC DE 8.01,9.01 10/23/08
ARIBA INC DE 2.02,9.01 10/23/08
Arkanova Energy Corp NV 5.02,9.01 10/20/08
Arlington Tankers Ltd. D0 5.02,8.01 10/17/08
ARYx Therapeutics, Inc. DE 1.01,2.03,9.01 10/17/08
AspenBio Pharma, Inc. CO 7.01,8.01,9.01 10/22/08
ASSOCIATED BANC-CORP WI 7.01 10/22/08
ATMEL CORP DE 5.02 10/17/08
AUTOLIV INC DE 2.02,7.01,9.01 10/21/08 AMEND
AVANEX CORP DE 2.05 09/30/08 AMEND
AVID TECHNOLOGY INC DE 2.02,2.05,2.06,9.01 10/23/08
AVISTAR COMMUNICATIONS CORP DE 5.02 10/17/08
AVNET INC NY 2.02,9.01 10/23/08
AVX CORP DE 2.02,9.01 09/30/08
AWARE INC /MA/ MA 2.02,9.01 10/23/08
BANCORP RHODE ISLAND INC 2.02,9.01 10/23/08
BankGreenville Financial CORP SC 2.02,9.01 10/23/08
BCSB Bancorp Inc. MD 2.02,9.01 10/22/08
BELDEN INC. DE 2.02,9.01 10/23/08
BigString CORP DE 8.01,9.01 10/20/08
BioMETRX DE 5.02 10/21/08
BIOPHAN TECHNOLOGIES INC NV 1.02,7.01,8.01,9.01 10/17/08
BIOSPHERE MEDICAL INC DE 2.02,9.01 10/22/08
BJs RESTAURANTS INC CA 2.02,9.01 10/23/08
BLACK & DECKER CORP MD 2.02,7.01,9.01 10/23/08
BOOKHAM, INC. DE 2.02,9.01 10/23/08
BOSTON PRIVATE FINANCIAL HOLDINGS INC MA 2.02,9.01 10/22/08
BOTTOMLINE TECHNOLOGIES INC /DE/ DE 2.01,9.01 10/23/08
Brink's Home Security Holdings, Inc. VA 1.01,2.03,9.01 10/21/08
BRISTOL MYERS SQUIBB CO DE 2.02,9.01 10/23/08
BRUNSWICK CORP DE 2.02 10/23/08
BSD MEDICAL CORP DE 7.01,9.01 10/23/08
BSML INC UT 5.02 10/23/08
Builders FirstSource, Inc. DE 2.02,9.01 10/23/08
Bunge LTD 2.02,9.01 10/23/08
BURLINGTON NORTHERN SANTA FE CORP DE 2.02,9.01 09/30/08
CABOT MICROELECTRONICS CORP DE 2.02,9.01 10/23/08
CALIFORNIA FIRST NATIONAL BANCORP CA 2.02,7.01,9.01 10/22/08
CAPSTEAD MORTGAGE CORP MD 2.02,9.01 10/23/08
CARACO PHARMACEUTICAL LABORATORIES LT MI 2.02,9.01 10/23/08
CARMAX INC VA 8.01,9.01 09/16/08
CARMAX INC VA 5.02,5.03,9.01 10/20/08
CASCADE BANCORP OR 2.02,9.01 10/23/08
CASH AMERICA INTERNATIONAL INC TX 2.02,9.01 10/23/08
CASS INFORMATION SYSTEMS INC MO 2.02,8.01,9.01 10/23/08
CATHAY GENERAL BANCORP DE 2.02,9.01 10/23/08
CAVCO INDUSTRIES INC DE 2.02,5.02,9.01 10/21/08
CDEX INC NV 1.01,5.02,9.01 10/17/08
CELGENE CORP /DE/ DE 2.02,9.01 10/23/08
CENTER FINANCIAL CORP CA 2.02,9.01 10/23/08
CHANNELL COMMERCIAL CORP DE 5.02 10/21/08
CHASE PACKAGING CORP TX 1.01,1.02,9.01 10/21/08
CHEROKEE INTERNATIONAL CORP DE 2.01,9.01 10/18/08
CHEVIOT FINANCIAL CORP 2.02,9.01 10/23/08
CHEVIOT FINANCIAL CORP 2.02,9.01 10/23/08 AMEND
CHINA HEALTH RESOURCE, INC. DE 5.02 10/20/08
CHINA ORGANIC AGRICULTURE, INC. 7.01,9.01 10/17/08
CHINA PROSPEROUS CLEAN ENERGY Corp NV 4.01,9.01 10/14/08 AMEND
China Tel Group Inc NV 5.02 10/22/08
CHUBB CORP NJ 2.02,9.01 10/23/08
CIBER INC DE 2.02,9.01 10/23/08
CITIZENS SOUTH BANKING CORP DE 5.03,9.01 10/20/08
CITY NATIONAL CORP DE 2.02 10/23/08
CLIFFS NATURAL RESOURCES INC. OH 8.01 10/23/08
COCA COLA ENTERPRISES INC DE 5.02,5.03,9.01 10/20/08
COCA COLA ENTERPRISES INC DE 5.02,5.03,9.01 10/20/08
COCA COLA ENTERPRISES INC DE 2.02 10/23/08
COLUMBIA BANKING SYSTEM INC WA 2.02,8.01,9.01 10/23/08
COLUMBIA SPORTSWEAR CO OR 2.02,7.01,9.01 10/23/08
COMMERCE ENERGY GROUP, INC. DE 1.02 10/17/08
Commercial Vehicle Group, Inc. DE 2.02,7.01,9.01 10/22/08
COMMUNITY BANCORP /VT VT 2.02,9.01 10/23/08
COMPUTER SCIENCES CORP NV 2.03,9.01 10/22/08
COMPUTER SCIENCES CORP NV 5.03,9.01 10/17/08
CONSECO INC DE 2.02,9.01 09/30/08
CONSOL ENERGY INC 2.02,7.01,9.01 10/23/08
CONSTELLATION ENERGY GROUP INC MD 8.01,9.01 10/23/08
CONTINENTAL AIRLINES INC /DE/ DE 1.01,9.01 10/22/08
COOPER INDUSTRIES LTD 2.02,9.01 10/23/08
CORE LABORATORIES N V P7 2.02 09/30/08
CORPORATE EXECUTIVE BOARD CO DE 2.02,5.02,9.01 10/22/08
CROSS A T CO RI 2.02 09/27/08
CROSS COUNTRY HEALTHCARE INC DE 2.02,7.01,9.01 10/22/08
CSS INDUSTRIES INC DE 2.02,9.01 10/23/08
CULP INC NC 9.01 08/11/08 AMEND
CYBERSOURCE CORP DE 2.02,9.01 10/23/08
CYTOKINETICS INC 8.01,9.01 10/23/08
Danvers Bancorp, Inc. DE 2.02,9.01 10/23/08
Data Domain, Inc. DE 2.02,9.01 10/23/08
Daulton Capital Corp. NV 5.03 10/17/08
DAYBREAK OIL & GAS INC WA 5.02,9.01 10/20/08
DCP Midstream Partners, LP DE 9.01 10/01/08 AMEND
DECKERS OUTDOOR CORP DE 2.02,9.01 10/23/08
DELUXE CORP MN 2.02,5.03,9.01 10/22/08
DIAMOND OFFSHORE DRILLING INC DE 7.01,9.01 10/23/08
DIAMOND OFFSHORE DRILLING INC DE 2.02,9.01 10/23/08
DICE HOLDINGS, INC. DE 2.02,9.01 10/23/08
DIGIRAD CORP DE 2.02,9.01 10/23/08
DOW CHEMICAL CO /DE/ DE 2.02,9.01 10/23/08
DRS TECHNOLOGIES INC DE 1.01,3.01,5.01,5.02,5.03,8.01, 10/22/08
9.01
Duncan Energy Partners L.P. DE 2.02,9.01 10/22/08
DUSA PHARMACEUTICALS INC NJ 8.01,9.01 10/22/08
EAGLE BANCORP INC MD 2.02,7.01,9.01 10/23/08
EASTMAN CHEMICAL CO DE 2.02 09/30/08
ECOLAB INC DE 2.02,9.01 10/23/08
ECOLOCAP SOLUTIONS INC. NV 1.01,7.01,9.01 10/21/08
ecoSolutions Intl NV 3.01,8.01,9.01 10/21/08
EDGE PETROLEUM CORP DE 5.03,8.01,9.01 10/21/08
EDGE PETROLEUM CORP DE 5.04,9.01 10/23/08
ELECTRONICS FOR IMAGING INC DE 1.01,2.02,7.01,9.01 10/23/08
EMCOR GROUP INC DE 2.02,9.01 09/30/08
EMERGENT GROUP INC/NY NV 2.01,9.01 08/08/08
EMERITUS CORP\WA\ WA 2.03,9.01 10/22/08
EMTA Holdings, Inc. NV 1.01,9.01 10/17/08
EMULEX CORP /DE/ DE 2.02,9.01 10/23/08
ENB Financial Corp PA 8.01,9.01 10/22/08
ENCORE WIRE CORP /DE/ DE 2.02,7.01,9.01 10/22/08
ENERGEN CORP AL 2.02,7.01,9.01 10/22/08
Energy Services of America CORP DE 2.01,9.01 08/15/08 AMEND
ENGLOBAL CORP NV 2.02,9.01 10/21/08
ENSCO INTERNATIONAL INC DE 8.01,9.01 10/23/08
ENTERPRISE BANCORP INC /MA/ MA 2.02,9.01 10/23/08
ENTERPRISE FINANCIAL SERVICES CORP DE 2.02,9.01 10/23/08
ENTERPRISE PRODUCTS PARTNERS L P DE 2.02,9.01 10/22/08
ENTRUST INC MD 2.02,2.06,9.01 10/23/08
EPICOR SOFTWARE CORP DE 5.02,9.01 10/17/08
EPIX Pharmaceuticals, Inc. 2.05,7.01,9.01 10/17/08
EQUISTAR CHEMICALS LP DE 1.01,2.03,9.01 10/17/08
EQUITABLE RESOURCES INC /PA/ PA 2.02,9.01 10/23/08
EQUITY ONE, INC. 1.01,2.02,2.03,9.01 10/17/08
ETHAN ALLEN INTERIORS INC DE 2.02,9.01 10/23/08
EVERGREEN ENERGY INC DE 3.01,9.01 10/17/08
EVERGREEN SOLAR INC DE 8.01,9.01 10/20/08
FANSTEEL INC DE 5.02 10/17/08
FARMERS & MERCHANTS BANCORP DE 2.02,9.01 10/21/08
FASTENAL CO MN 8.01,9.01 10/22/08
FBR CAPITAL MARKETS CORP VA 8.01 10/23/08
FBR CAPITAL MARKETS CORP VA 8.01 10/22/08
Federal Home Loan Bank of Atlanta X1 2.03 10/20/08
Federal Home Loan Bank of New York X1 2.03,9.01 10/20/08
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 10/20/08
Federal Home Loan Bank of San Francis X1 2.03 10/20/08
FEDERATED INVESTORS INC /PA/ PA 2.02,9.01 10/23/08
FERRO CORP OH 7.01,9.01 10/23/08
FIDELITY D & D BANCORP INC PA 5.02 10/22/08
Fidelity National Financial, Inc. 2.02,9.01 10/22/08
FIRST BANCTRUST CORP DE 8.01 10/21/08
First Bankshares, Inc. VA 2.02,9.01 10/22/08
FIRST BUSEY CORP /NV/ NV 2.02,9.01 10/22/08
First California Financial Group, Inc DE 2.02,9.01 10/22/08
FIRST COMMONWEALTH FINANCIAL CORP /PA PA 2.02,9.01 10/23/08
FIRST DEFIANCE FINANCIAL CORP OH 2.02,9.01 10/20/08
FIRST INDUSTRIAL REALTY TRUST INC MD 5.02,7.01,9.01 10/22/08
FIRST MARINER BANCORP MD 2.02,9.01 10/21/08
FIRST NATIONAL LINCOLN CORP /ME/ ME 2.02 09/30/08
FLEXTRONICS INTERNATIONAL LTD. U0 2.02,9.01 10/23/08
FLIR SYSTEMS INC OR 2.02,9.01 10/23/08
FNB CORP/FL/ FL 2.02,9.01 10/23/08
FNB United Corp. NC 2.02,9.01 10/23/08
FORCE FUELS INC. 5.02,9.01 10/21/08
FOSTER L B CO PA 2.02,9.01 09/30/08
FRANKLIN RESOURCES INC DE 2.02,9.01 10/23/08
Freescale Semiconductor Holdings I, L D0 5.02,9.01 10/17/08
FREESCALE SEMICONDUCTOR INC DE 5.02,9.01 10/17/08
FX ENERGY INC NV 8.01,9.01 10/23/08
GATX CORP NY 2.02,7.01,9.01 10/23/08
GENERAL MARITIME CORP/ 1.01,9.01 10/20/08
GILEAD SCIENCES INC DE 1.01,9.01 10/23/08
GLIMCHER REALTY TRUST MD 2.02,9.01 10/22/08
GOODRICH CORP NY 2.02,9.01 10/23/08
GRACO INC MN 2.02,9.01 10/22/08
GRANITE CITY FOOD & BREWERY LTD MN 3.01,9.01 10/20/08
GRYPHON GOLD CORP NV 1.01,1.02,9.01 09/28/08
HANMI FINANCIAL CORP DE 2.02,9.01 10/23/08
HANSEN MEDICAL INC 2.02,9.01 10/23/08
HARLEYSVILLE NATIONAL CORP PA 5.02,9.01 10/17/08
HARTE HANKS INC DE 2.02,9.01 10/23/08
HEALTHAXIS INC PA 8.01,9.01 10/23/08
HEIDRICK & STRUGGLES INTERNATIONAL IN DE 1.01,9.01 10/17/08
HERCULES OFFSHORE, INC. DE 7.01,9.01 10/23/08
HERITAGE BANKSHARES INC /VA VA 8.01,9.01 10/23/08
HEXION SPECIALTY CHEMICALS, INC. NJ 7.01,9.01 10/22/08
Highland Distressed Opportunities, In 7.01,9.01 10/23/08
HITTITE MICROWAVE CORP 2.02,9.01 10/23/08
HOKU SCIENTIFIC INC DE 1.01,2.02,5.02,9.01 10/22/08
Homeland Security Capital CORP DE 8.01,9.01 10/23/08
HORIZON BANCORP /IN/ IN 2.02,9.01 10/23/08
HORIZON FINANCIAL CORP WA 2.02,9.01 10/23/08
HUB GROUP INC DE 2.02,9.01 09/30/08
HUBBELL INC CT 2.02,9.01 10/23/08
HydroGen CORP NV 1.01,1.03,2.04,5.02,7.01,8.01, 10/17/08
9.01
ICC Worldwide, Inc. DE 2.03,9.01 10/15/08
ICO INC TX 5.02,9.01 10/23/08
ICU MEDICAL INC/DE DE 5.02 10/23/08
IKANOS COMMUNICATIONS CA 2.02,9.01 10/23/08
IKON OFFICE SOLUTIONS INC OH 2.02,9.01 10/22/08
IMAGING DIAGNOSTIC SYSTEMS INC /FL/ FL 1.01,2.03,3.02,9.01 10/23/08
IMS HEALTH INC DE 2.02,9.01 10/23/08
INDEPENDENT BANK CORP MA 2.02,7.01,9.01 10/23/08
INDEPENDENT BANK CORP /MI/ MI 2.02,7.01,9.01 10/23/08
INFOSONICS CORP 3.01,9.01 10/22/08
INGRAM MICRO INC DE 2.02,9.01 10/23/08
INNOVATIVE FOOD HOLDINGS INC FL 1.01,8.01,9.01 10/17/08
INSMED INC VA 3.01,9.01 10/23/08
INSWEB CORP DE 2.02,9.01 10/23/08
INTEGRATED DEVICE TECHNOLOGY INC DE 2.02,9.01 10/23/08
INTER PARFUMS INC DE 2.02 10/23/08
Interactive Brokers Group, Inc. DE 2.02 09/30/08
INTERACTIVE DATA CORP/MA/ DE 2.02,9.01 10/23/08
INTERNATIONAL BANCSHARES CORP TX 2.02 10/23/08
INTERNATIONAL BUSINESS MACHINES CORP NY 8.01,9.01 10/23/08
INTERNATIONAL GAME TECHNOLOGY NV 3.01,5.02 10/17/08
INTERSIL CORP/DE DE 1.01,2.03,9.01 10/23/08
INTERWOVEN INC CA 2.02,9.01 10/23/08
INVACARE CORP OH 2.02,9.01 10/23/08
IRVINE SENSORS CORP/DE/ DE 2.04,9.01 10/17/08
ITERIS, INC. DE 1.01 10/17/08
ITT EDUCATIONAL SERVICES INC DE 2.02 10/23/08
IXIA CA 2.02,5.02,9.01 10/20/08
J C PENNEY CO INC DE 8.01,9.01 10/23/08
J P MORGAN CHASE & CO DE 9.01 10/21/08
JACKSONVILLE BANCORP INC /FL/ FL 2.02,9.01 10/23/08
JANUS CAPITAL GROUP INC DE 2.02,9.01 10/23/08
JETBLUE AIRWAYS CORP DE 2.02,9.01 10/23/08
JETBLUE AIRWAYS CORP DE 7.01,9.01 10/23/08
JOHNSON CONTROLS INC WI 2.02,7.01,9.01 10/23/08
JOURNAL COMMUNICATIONS INC 2.02,9.01 10/23/08
JUNIPER NETWORKS INC DE 2.02,9.01 10/23/08
JUPITERMEDIA CORP DE 1.01,8.01,9.01 10/22/08
KADANT INC DE 2.02,9.01 10/22/08
KBS Real Estate Investment Trust, Inc MD 1.01,5.02,8.01 10/06/08
KENNAMETAL INC PA 2.02,5.02,9.01 10/23/08
KENSEY NASH CORP DE 2.02,9.01 10/23/08
Kentucky First Federal Bancorp 2.02,9.01 10/21/08
KERYX BIOPHARMACEUTICALS INC DE 8.01,9.01 10/21/08
KNIGHT TRANSPORTATION INC AZ 2.02,9.01 10/22/08
L 3 COMMUNICATIONS HOLDINGS INC DE 2.02,9.01 10/23/08
LABORATORY CORP OF AMERICA HOLDINGS DE 2.02 10/23/08
LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 10/23/08
LAKELAND BANCORP INC NJ 2.02,8.01,9.01 10/23/08
LASALLE HOTEL PROPERTIES MD 2.02,9.01 10/22/08
LATTICE SEMICONDUCTOR CORP DE 2.02,9.01 10/23/08
LEADIS TECHNOLOGY INC DE 2.02,9.01 10/23/08
LEFT BEHIND GAMES INC. WA 8.01,9.01 10/23/08
LEVEL 3 COMMUNICATIONS INC DE 2.02,9.01 10/23/08
Liberty Global, Inc. 5.02 10/17/08
LIFE PARTNERS HOLDINGS INC TX 2.02,9.01 10/23/08
LIFE TIME FITNESS INC MN 2.02,5.02,9.01 10/20/08
LILLY ELI & CO IN 2.02,5.02,9.01 10/23/08
LSI INDUSTRIES INC OH 1.01,2.02,9.01 10/22/08
LYONDELL CHEMICAL CO DE 1.01,2.03,9.01 10/17/08
MAGNACHIP SEMICONDUCTOR LLC 2.02,9.01 10/23/08
MARVELL TECHNOLOGY GROUP LTD D0 5.02 10/20/08
MCMORAN EXPLORATION CO /DE/ DE 7.01,9.01 10/23/08
MEADWESTVACO CORP DE 1.01,5.03,9.01 10/20/08
MEDCO HEALTH SOLUTIONS INC DE 5.02 10/22/08
Mellanox Technologies, Ltd. L3 2.02,9.01 10/23/08
MEMC ELECTRONIC MATERIALS INC DE 2.02,9.01 10/23/08
MERIT MEDICAL SYSTEMS INC UT 2.02,9.01 10/23/08
METROCORP BANCSHARES INC 2.02 10/22/08
MICROCHIP TECHNOLOGY INC DE 2.02 10/23/08
MICROSOFT CORP WA 2.02,9.01 10/23/08
MICROSOFT CORP WA 8.01,9.01 10/23/08
MICROTUNE INC DE 2.02,9.01 10/23/08
MID PENN BANCORP INC PA 8.01,9.01 10/22/08
MID WISCONSIN FINANCIAL SERVICES INC WI 2.02,9.01 10/23/08
MiddleBrook Pharmaceuticals, Inc. 1.01,5.02,9.01 10/17/08
Midway Gold Corp 1.01,7.01,9.01 10/20/08
Midway Gold Corp 5.02,7.01,9.01 10/21/08
MILLENNIUM CHEMICALS INC DE 1.01,2.03,9.01 10/17/08
MOBILEPRO CORP DE 7.01,9.01 10/23/08
MODINE MANUFACTURING CO WI 8.01,9.01 10/21/08
MONOLITHIC POWER SYSTEMS INC CA 2.02,9.01 09/30/08
MONRO MUFFLER BRAKE INC NY 2.02,9.01 10/21/08
MONTPELIER RE HOLDINGS LTD 2.02,7.01,9.01 10/23/08
MONTPELIER RE HOLDINGS LTD 7.01,9.01 10/23/08
MPC CORP CO 1.01 10/17/08
NARA BANCORP INC DE 2.02,9.01 10/22/08
NASDAQ OMX GROUP, INC. DE 2.01,2.03,8.01,9.01 10/21/08
NATIONAL OILWELL VARCO INC DE 2.02,9.01 10/23/08
NATIONAL PENN BANCSHARES INC PA 2.02,7.01 10/23/08
NATIONAL PENN BANCSHARES INC PA 2.02,7.01 10/23/08
NATURAL HEALTH TRENDS CORP DE 5.02,8.01 10/17/08
NCR CORP MD 2.02,7.01,9.01 10/23/08
NDS GROUP PLC X0 2.02,9.01 10/23/08
NETGEAR, INC DE 2.02,8.01,9.01 10/23/08
NETSCOUT SYSTEMS INC DE 2.02,9.01 10/23/08
NEW YORK TIMES CO NY 2.02,5.02,9.01 10/22/08
NEWMARKET CORP VA 8.01,9.01 10/23/08
NII HOLDINGS INC DE 2.02,5.02,9.01 10/22/08
NITROMED INC DE 1.01,2.02,8.01,9.01 10/22/08
NMS COMMUNICATIONS CORP DE 2.02,7.01,9.01 10/23/08
NMS COMMUNICATIONS CORP DE 7.01,9.01 10/23/08
NOBEL LEARNING COMMUNITIES INC DE 5.02,9.01 09/19/08
NOBLE CORP 2.02,9.01 10/22/08
NORFOLK SOUTHERN CORP VA 1.01,9.01 10/23/08
NORTHRIM BANCORP INC AK 2.02,9.01 10/23/08
NORTHROP GRUMMAN CORP /DE/ DE 5.02,5.03,9.01 10/20/08
NORTHWEST INDIANA BANCORP IN 2.02,9.01 10/23/08
NuStar Energy L.P. DE 2.02,9.01 10/23/08
NuStar GP Holdings, LLC DE 2.02,9.01 10/23/08
OFFICE DEPOT INC DE 5.02 10/21/08
OLD DOMINION FREIGHT LINE INC/VA VA 2.02,9.01 10/23/08
OMNICELL, Inc CA 2.02,9.01 10/23/08
OMNICITY CORP. NV 5.03,8.01,9.01 10/21/08
OPTI INC CA 4.01,9.01 10/17/08
optionsXpress Holdings, Inc. DE 2.02,9.01 10/21/08
ORAMED PHARMACEUTICALS INC. NV 7.01,9.01 10/23/08
OSAGE BANCSHARES, INC. 2.02,8.01,9.01 10/23/08
OSCIENT PHARMACEUTICALS CORP MA 3.01,5.02,8.01,9.01 10/21/08
OSI PHARMACEUTICALS INC DE 2.02,8.01,9.01 10/22/08
OSI SYSTEMS INC CA 1.01,9.01 10/23/08
OVERLAND STORAGE INC CA 2.02,9.01 10/23/08
PACIFIC PREMIER BANCORP INC DE 2.02,9.01 10/23/08
PARTNERRE LTD 2.02,9.01 10/22/08
PEOPLES BANCORP INC OH 2.02,9.01 09/30/08
PEOPLES FINANCIAL SERVICES CORP/ PA 9.01 09/30/08
PepperBall Technologies, Inc. CO 2.01,9.01 09/19/08 AMEND
PERKINELMER INC MA 2.02,9.01 10/23/08
PHILADELPHIA CONSOLIDATED HOLDING COR PA 2.02,9.01 10/23/08
PHILADELPHIA CONSOLIDATED HOLDING COR PA 8.01,9.01 10/23/08
PHOENIX TECHNOLOGIES LTD DE 2.02,9.01 10/23/08
PivX Solutions, Inc. NV 1.01 10/23/08
PIXELWORKS, INC OR 2.02,9.01 10/23/08
POOL CORP DE 2.02,7.01,9.01 10/23/08
POPULAR INC 2.01,2.05,9.01 10/17/08
Porter Bancorp, Inc. KY 8.01,9.01 10/23/08
POTASH CORP OF SASKATCHEWAN INC 2.02 10/23/08
POTLATCH CORP DE 2.02,9.01 10/23/08
POWER INTEGRATIONS INC CA 2.02 10/23/08
POWER ONE INC DE 2.02,9.01 10/23/08
POWERSECURE INTERNATIONAL, INC. DE 8.01,9.01 10/23/08
PREMIER ENERGY CORP. FL 7.01,9.01 10/23/08
PREMIERE GLOBAL SERVICES, INC. GA 2.02,9.01 10/23/08
PROLOGIS MD 2.02,9.01 10/23/08
PROVIDENCE SERVICE CORP DE 2.02,2.06,7.01,9.01 10/22/08
PROVIDENT FINANCIAL HOLDINGS INC DE 2.02,9.01 10/23/08
PROVIDENT FINANCIAL SERVICES INC DE 2.02,7.01,9.01 10/23/08
PULTE HOMES INC/MI/ MI 2.02,9.01 10/22/08
QUICKLOGIC CORPORATION CA 2.02,9.01 10/23/08
R H DONNELLEY CORP DE 2.02,9.01 10/23/08
RADIO ONE INC DE 3.01,9.01 10/20/08
RADIOSHACK CORP DE 2.02,9.01 09/30/08
RAINIER PACIFIC FINANCIAL GROUP INC WA 5.02 10/21/08
RAMBUS INC DE 2.02,9.01 10/23/08
RAMCO GERSHENSON PROPERTIES TRUST MD 2.02,7.01,9.01 10/22/08
RANCHER ENERGY CORP. NV 1.01,2.03,7.01,9.01 10/22/08
RAND CAPITAL CORP NY 2.02 10/23/08
RANGE RESOURCES CORP DE 2.02,9.01 10/22/08
RAYTHEON CO/ DE 2.02,9.01 10/23/08
REGAL ENTERTAINMENT GROUP DE 2.02,8.01,9.01 10/23/08
REGIS CORP MN 2.02,9.01 10/23/08
REINSURANCE GROUP OF AMERICA INC MO 2.02,9.01 10/23/08
RENAISSANCE LEARNING INC WI 8.01,9.01 10/22/08
REPUBLIC FIRST BANCORP INC PA 2.02,9.01 10/21/08
RESIDENTIAL CAPITAL, LLC DE 1.01 10/17/08
RF MONOLITHICS INC /DE/ DE 2.02,9.01 10/23/08
RIGHTNOW TECHNOLOGIES INC MT 2.02,9.01 09/30/08
RIMAGE CORP MN 2.02,9.01 10/22/08
Riverbed Technology, Inc. DE 2.02,9.01 10/23/08
ROLLINS INC DE 2.02,9.01 10/22/08
ROMA FINANCIAL CORP X1 5.02,5.03,9.01 10/22/08
Rosetta Resources Inc. DE 7.01,8.01,9.01 10/22/08
ROWAN COMPANIES INC DE 7.01,9.01 10/22/08
ROYALE ENERGY INC CA 5.02 10/17/08
SAFEWAY INC DE 5.03,9.01 10/21/08
Sally Beauty Holdings, Inc. 5.03,9.01 10/23/08
SAVANNAH BANCORP INC GA 7.01 10/22/08
SCANSOURCE INC SC 2.02,9.01 10/23/08
SEACOR HOLDINGS INC /NEW/ DE 2.02,7.01,9.01 10/22/08
SEATTLE GENETICS INC /WA DE 2.02,9.01 10/23/08
SECURED DIGITAL APPLICATIONS INC DE 8.01,9.01 10/22/08
SHEARSON FINANCIAL NETWORK INC NV 1.01,2.03,3.02,9.01 10/08/08
SHENANDOAH TELECOMMUNICATIONS CO/VA/ VA 1.01,2.02,8.01,9.01 10/22/08
SILICON IMAGE INC DE 2.02,9.01 10/23/08
Silicon Mountain Holdings, Inc. CO 1.01,3.02 10/17/08
SIONIX CORP NV 1.01,5.02,9.01 10/23/08
SITESTAR CORP NV 8.01,9.01 10/23/08 AMEND
SJ Electronics, Inc. NV 5.02 10/17/08
SJW CORP CA 2.02,5.02 10/22/08
SMALL BUSINESS CO DE 4.02,9.01 10/22/08 AMEND
SMUCKER J M CO OH 1.01,2.03 10/23/08
SNAP-ON Inc DE 2.02,9.01 10/23/08
SOCKET MOBILE, INC. DE 2.02,9.01 09/30/08
Soltera Mining Corp. NV 1.01,7.01,9.01 10/23/08
SOTHEBYS DE 2.04 10/17/08
SOUTHERN CO DE 2.02 10/23/08
SOUTHERN COMMUNITY FINANCIAL CORP 2.02,9.01 10/23/08
SOUTHERN MISSOURI BANCORP INC MO 2.02,9.01 10/22/08
SOUTHWEST CASINO CORP 1.01,2.01,7.01,9.01 10/19/08
SPARE BACKUP, INC. DE 5.02,7.01,9.01 09/19/08
SPARTAN MOTORS INC MI 2.02,9.01 10/23/08
SPECTRANETICS CORP DE 3.01,5.02 10/21/08
STARWOOD HOTEL & RESORTS WORLDWIDE IN MD 2.02,9.01 10/23/08
StellarOne CORP VA 7.01,9.01 10/23/08
STOCKERYALE INC MA 2.02,9.01 10/23/08
STRYKER CORP MI 8.01 10/23/08
SUBURBAN PROPANE PARTNERS LP DE 7.01,8.01,9.01 10/23/08
Summer Infant, Inc. DE 5.02,9.01 10/17/08
Sun American Bancorp DE 2.02 10/23/08
SUNTRUST BANKS INC GA 2.02,7.01,8.01,9.01 10/23/08
Super Luck, Inc. DE 2.01,5.01,5.02,5.06,9.01 10/20/08
SUPERIOR BANCORP DE 5.02 10/20/08
SUPERIOR UNIFORM GROUP INC FL 2.02 10/23/08
SVB FINANCIAL GROUP 2.02,9.01 10/23/08
SYNAPTICS INC CA 2.02,9.01 10/23/08
SYNOVUS FINANCIAL CORP GA 2.02,7.01,9.01 10/23/08
SYNTEL INC MI 2.02,9.01 10/23/08
SYNTHESIS ENERGY SYSTEMS INC DE 1.01,7.01,8.01,9.01 09/11/08
SYNTROLEUM CORP DE 1.01,3.02,8.01,9.01 10/21/08
TAMALPAIS BANCORP 2.02,9.01 10/23/08
TCF FINANCIAL CORP DE 2.02,7.01,9.01 10/23/08
TD AMERITRADE HOLDING CORP DE 2.02,9.01 10/23/08
TEAM FINANCIAL INC /KS KS 1.01,9.01 10/22/08
TECHNITROL INC PA 2.02,9.01 10/23/08
TELEDYNE TECHNOLOGIES INC DE 2.02,9.01 10/23/08
TENNANT CO MN 2.02 09/30/08
TERADYNE, INC MA 2.02,9.01 10/22/08
TEREX CORP DE 2.02,9.01 10/23/08
TERRA INDUSTRIES INC MD 2.02,9.01 10/23/08
Terra Media, Ltd. 5.01,5.02,9.01 10/23/08
TERRA NITROGEN CO L P /DE DE 2.02,9.01 10/23/08
TERRA NOSTRA RESOURCES CORP. NV 5.02 10/23/08
TEXAS CAPITAL BANCSHARES INC/TX DE 2.02,9.01 10/22/08
TF FINANCIAL CORP DE 2.02 10/23/08
THERAVANCE INC DE 2.02,9.01 10/23/08
THERMAGE INC DE 5.02 10/17/08
THERMO FISHER SCIENTIFIC INC. DE 2.02,9.01 10/23/08
THESTREET COM DE 5.02 10/20/08
THOMAS & BETTS CORP TN 2.02,8.01,9.01 10/22/08
THRESHOLD PHARMACEUTICALS INC DE 8.01,9.01 10/22/08
TOOTSIE ROLL INDUSTRIES INC VA 8.01 09/27/08
TOPSPIN MEDICAL INC 5.02 10/19/08
TRADESTATION GROUP INC FL 2.02,9.01 10/23/08
TRAILER BRIDGE INC 5.02,9.01 10/21/08
TRANSATLANTIC HOLDINGS INC DE 2.02,9.01 10/23/08
Traxxec Inc A Nevada Corp NV 1.01,2.01,5.02,8.01,9.01 02/26/08
TRIMBLE NAVIGATION LTD /CA/ CA 2.02,9.01 10/23/08
TULLYS COFFEE CORP 1.01,5.02,9.01 10/18/08
TXCO Resources Inc DE 8.01 10/20/08
U.S. Auto Parts Network, Inc. DE 8.01 10/15/08
UNION BANKSHARES CORP VA 2.02,9.01 10/22/08
UNION PACIFIC CORP UT 2.02,9.01 10/23/08
UNIT CORP DE 5.02,7.01,8.01,9.01 10/21/08
UNITED BANKSHARES INC/WV WV 2.02,9.01 10/23/08
UNITED COMMUNITY BANKS INC GA 2.02,9.01 10/23/08
UNIVERSAL STAINLESS & ALLOY PRODUCTS DE 2.02,9.01 10/23/08
UNIVEST CORP OF PENNSYLVANIA PA 2.02,9.01 10/22/08
US AIRWAYS GROUP INC DE 1.01,2.03,8.01,9.01 10/23/08
US AIRWAYS GROUP INC DE 2.02,9.01 10/23/08
US AIRWAYS GROUP INC DE 7.01,9.01 10/23/08
UTAH MEDICAL PRODUCTS INC UT 2.02 10/23/08
VALLEY NATIONAL BANCORP NJ 2.02,9.01 10/23/08
VARIAN MEDICAL SYSTEMS INC DE 2.02,9.01 10/23/08
VCA ANTECH INC DE 2.02,9.01 10/23/08
WESCO INTERNATIONAL INC DE 2.02,9.01 10/23/08
WEST MARINE INC DE 2.02,9.01 10/23/08
WESTAMERICA BANCORPORATION CA 8.01 10/23/08
WESTERN DIGITAL CORP DE 2.02,9.01 10/23/08
WESTWOOD HOLDINGS GROUP INC DE 2.02,7.01,9.01 10/23/08
WET SEAL INC DE 5.02,9.01 10/22/08
WINTRUST FINANCIAL CORP IL 2.02,9.01 10/22/08
WOLVERINE TUBE INC DE 4.02 10/17/08
WORLD ACCEPTANCE CORP SC 2.02,7.01,9.01 10/23/08
WorldSpace, Inc DE 1.01,9.01 10/17/08
X-CHANGE CORP NV 8.01 10/20/08
XCEL ENERGY INC MN 2.02,9.01 10/23/08
XEROX CORP NY 2.02,9.01 10/23/08
Yinlips Technology, Inc. DE 1.01,2.01,2.02,3.02,4.01,5.01, 10/17/08
5.02,5.03,5.06
ZIMMER HOLDINGS INC DE 2.02,9.01 10/23/08
ZIOPHARM ONCOLOGY INC 8.01,9.01 10/23/08
ZYMOGENETICS INC WA 1.01 10/22/08
ZYNEX INC NV 8.01 10/20/08