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SEC NEWS DIGEST
Issue 2007-160 August 20, 2007
COMMISSION ANNOUNCEMENTS
COMMISSION MEETINGS
CLOSED MEETING - THURSDAY, AUGUST 23, 2007 - 2:00 P.M.
The subject matter of the closed meeting scheduled for Thursday,
August 23, will be: Formal orders of investigations; Institution and
settlement of injunctive actions; Institution and settlement of
administrative proceedings of an enforcement nature; Resolution of
litigation claims; and Other matters related to enforcement
proceedings.
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 SALVATORE SODANO
An Administrative Law Judge has issued an Initial Decision in the
matter of Salvatore F. Sodano. On March 22, 2007, the Securities and
Exchange Commission issued an Order Instituting Proceedings (OIP)
against Respondent Salvatore F. Sodano pursuant to Section 19(h) of
the Securities Exchange Act of 1934. The OIP alleged that Sodano, who
was Chairman and CEO of the American Stock Exchange LLC from September
1999 until January 2005, without justification or excuse violated
Exchange Act Section 19(h)(4) by failing to enforce compliance with
the Exchange Act, the rules and regulations thereunder, and the Amex
rules. The only sanction the Division of Enforcement was seeking was a
censure against Sodano.
On Aug. 8, 2007, oral argument was held to determine whether dismissal
of the charges in the OIP was appropriate on summary disposition.
Pursuant to Rule 250(b) of the Commission's Rules of Practice, the
Initial Decision dismisses the charges against Sodano that he violated
Section 19(h)(4) on the grounds that Section 19(h)(4) does not apply
to a former officer or director of the Amex. (Initial Decision No.
333; File No. 3-12596)
IN THE MATTER OF TODD DIROBERTO
On August 17, the Commission issued an Order Instituting
Administrative Proceedings Pursuant to Section 15(b) of the Securities
Exchange Act of 1934 Making Findings and Imposing Remedial Sanctions
(Order) against Todd DiRoberto. The Order finds that DiRoberto, as an
owner of First Choice Productions, Inc. (First Choice), has never been
registered with the Commission pursuant to Section 15(b) of the
Exchange Act.
On Aug. 8, 2007, a final judgment was entered by consent against
DiRoberto, permanently enjoining him from future violations of
Sections 10(b) and 15(a) of the Exchange Act and Rule 10b-5 thereunder
and Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 in the
civil action entitled Securities and Exchange Commission v. Brian Lee,
et al., Civil Action Number 03-CV-1957-JAH(CAB), in the United States
District Court for the Southern District of California. The
Commission's complaint alleged that DiRoberto and others sold
unregistered securities in Zandria Entertainment Networks, Inc. (ZEN)
to investors nationwide using the mails or other interstate means
without being registered as brokers or dealers with the Commission.
DiRoberto and others allegedly sold ZEN securities through First
Choice, a telemarketing company owned by DiRoberto and another
individual. The Complaint alleged, among other things that DiRoberto
and others made material misrepresentations to investors when selling
ZEN securities, which included misrepresentations regarding the amount
of commissions collected from investors.
Based on the above, the Order bars DiRoberto from association with any
broker or dealer. DiRoberto consented to the issuance of the Order
without admitting or denying any of the findings in the Order. (Rel.
34-56282; File No. 3-12727)
IN THE MATTER OF BRIAN LEE
On August 17, the Commission issued an Order Instituting
Administrative Proceedings Pursuant to Section 15(b) of the Securities
Exchange Act of 1934 Making Findings and Imposing Remedial Sanctions
(Order) against Brian Lee. The Order finds that Lee, as an owner of
First Choice Productions, Inc. (First Choice), has never been
registered with the Commission pursuant to Section 15(b) of the
Exchange Act.
On Aug. 8, 2007, a final judgment was entered by consent against Lee,
permanently enjoining him from future violations of Sections 10(b) and
15(a) of the Exchange Act and Rule 10b-5 thereunder and Sections 5(a),
5(c) and 17(a) of the Securities Act of 1933 in the civil action
entitled Securities and Exchange Commission v. Brian Lee, et al.,
Civil Action Number 03-CV-1957-JAH(CAB), in the United States District
Court for the Southern District of California. The Commission's
complaint alleged that Lee and others sold unregistered securities in
Zandria Entertainment Networks, Inc. (ZEN) to investors nationwide
using the mails or other interstate means without being registered as
brokers or dealers with the Commission. Lee and others allegedly sold
ZEN securities through First Choice, a telemarketing company owned by
Lee and another individual. The Complaint alleged, among other things
that Lee and others made material misrepresentations to investors when
selling ZEN securities, which included misrepresentations regarding
the amount of commissions collected from investors.
Based on the above, the Order bars Lee from association with any
broker or dealer. Lee consented to the issuance of the Order without
admitting or denying any of the findings in the Order. (Rel. 34-56283;
File No. 3-12728)
COMMISSION REVOKES REGISTRATION OF SECURITIES OF GLOBAL BUSINESS
INFORMATION DIRECTORY, INC. FOR FAILURE TO MAKE REQUIRED PERIODIC
FILINGS
On August 20, the Commission revoked the registration of each class of
registered securities of Global Business Information Directory, Inc.
(Global Business) 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, Global Business 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 Global Business Information Directory, 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 Global Business's
securities pursuant to Section 12(j) of the Exchange Act. This order
settled the charges brought against Global Business in In the Matter
of The CattleSale Co., et al., Administrative Proceeding File No. 3-
12706.
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 CattleSale Co., et
al., Administrative Proceeding File No. 3-12706, Exchange Act Release
No. 56111 (July 20, 2007). (Rel. 34-56286; File No. 3-12706)
INVESTMENT COMPANY ACT RELEASES
MONY LIFE INSURANCE COMPANY OF AMERICA, ET AL.
An order has been issued approving an application filed by MONY Life
Insurance Company of America, MONY Life Insurance Company, MONY
America Variable Account A, MONY America Variable Account L, MONY
Variable Account A, MONY Variable Account L, AXA Equitable Life
Insurance Company (AXA Equitable), Separate Account A of AXA
Equitable, Separate Account FP of AXA Equitable, Separate Account I of
AXA Equitable, Separate Account No. 45 of AXA Equitable, Separate
Account No. 49 of AXA Equitable, and Separate Account No. 301+ of AXA
Equitable (collectively, the Section 26 Applicants), Separate Account
No. 66 of AXA Equitable and EQ Advisors Trust (together with the
Section 26 Applicants, the Section 17 Applicants). The Section 26
Applicants have been authorized under Section 26(c) of the Investment
Company Act to substitute securities issued by certain registered
investment companies for shares of certain other registered investment
companies. The Section 17 Applicants have also been granted an
exemption from Section 17(a) of the Act in order to engage in certain
in-kind transactions in connection with the substitutions. (Rel. IC-
27929 - August 17)
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A proposed rule change (SR-NYSEArca-2007-74) filed by NYSE Arca to
amend Rule 7.34(e) and clarify certain customer disclosures relating
to ETF trading 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 August 20. (Rel. 34-56270)
A proposed rule change (SR-Amex-2007-91) filed by the American Stock
Exchange to add an additional exemption to Rule 24-AEMI relating to
Intermarket Sweep Orders 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 August 20. (Rel.
34-56273)
SECURITIES ACT REGISTRATIONS
The following registration statements have been filed with the SEC
under the Securities Act of 1933. The reported information appears as
follows: Form, Name, Address and Phone Number (if available) of the
issuer of the security; Title and the number and/or face amount of the
securities being offered; Name of the managing underwriter or
depositor (if applicable); File number and date filed; Assigned
Branch; and a designation if the statement is a New Issue.
Registration statements may be obtained in person or by writing to the
Commission's Public Reference Branch at 100 F Street, N.E.,
Washington, D.C. 20549-1090 or at the following e-mail box address:
<publicinfo@sec.gov>. In most cases, this information is also
available on the Commission's website: <www.sec.gov>.
S-8 RAVEN MOON ENTERTAINMENT INC, 2005 TREE FORK LANE, STE 101, LONGWOOD,
FL, 32750, 407-774-4462 - 1,000,000,000 ($100,000.00) Equity,
(File 333-145518 - Aug. 17) (BR. 05C)
S-1 Sterling Mining CO, 2201 GOVERNMENT WAY STE. E, COEUR D, ID, 83814,
208-666-4070 - 26,239,633 ($106,155,742.68) Equity, (File 333-145520 -
Aug. 17) (BR. 04B)
S-3ASR GATX CORP, 500 W MONROE ST, CHICAGO, IL, 60661, 3126216200 -
0 ($0.00) Debt, (File 333-145521 - Aug. 17) (BR. 05B)
S-8 COMMUNITY TRUST BANCORP INC /KY/, 346 NORTH MAYO TRAIL, P.O. BOX 2947,
PIKEVILLE, KY, 41502-2947, (606)433-4643 -
1,637,000 ($44,346,330.00) Equity, (File 333-145522 - Aug. 17) (BR. 07A)
S-1 CONCENTRIC MEDICAL INC, 1380 SHOREBIRD WAY, MOUNTAIN VIEW, CA, 94043,
650-810-1700 - 0 ($69,000,000.00) Equity, (File 333-145523 - Aug. 17)
(BR. 10)
S-11 CHIMERA INVESTMENT CORP, 1211 AVENUE OF THE AMERICAS, SUITE 2902,
NEW YORK, NY, 10036, 212-696-0100 - 0 ($250,000,000.00) Equity,
(File 333-145525 - Aug. 17) (BR. 08)
S-1 Titan Machinery Inc., 4876 ROCKING HORSE CIRCLE, FARGO, ND, 58104,
(701) 356-0130 - 0 ($35,000,000.00) Equity, (File 333-145526 - Aug. 17)
(BR. 02)
S-8 PITNEY BOWES INC /DE/, WORLD HEADQUARTERS 61-11, ONE ELMCROFT ROAD,
STAMFORD, CT, 06926, 2033565000 -
26,937,586 ($1,229,970,176.00) Equity, (File 333-145527 - Aug. 17)
(BR. 03B)
S-3 GEOGLOBAL RESOURCES INC., SUITE 310, 605 - 1ST STREET S.W., CALGARY,
A0, T2P 3S9, 403-777-9250 - 8,860,080 ($49,128,400.00) Other,
(File 333-145529 - Aug. 17) (BR. 04C)
S-3 Permanent Funding (No. 2) LTD, 35 GREAT SAINT HELEN'S, LONDON, X0,
EC3A 6AP, 44 20 7398 6300 -
0 ($12,527,400,000.00) Asset-Backed Securities, (File 333-145530 -
Aug. 17) (BR. 05)
S-3 CITICORP MORTGAGE SECURITIES INC, 1000 TECHNOLOGY DRIVE, O'FALLON, MO,
63368, 6362611313 - 1,000,000 ($1,000,000.00) Asset-Backed Securities,
(File 333-145532 - Aug. 17) (BR. 05D)
S-3 TERABEAM, INC., 881 NORTH KING STREET, SUITE 100, NORTHAMPTON, MA,
01060, 4135841425 - 6,450,000 ($13,265,500.00) Other,
(File 333-145533 - Aug. 17) (BR. 11A)
S-8 MDC PARTNERS INC, 45 HAZELTON AVE, TORONTO, A6, M5R 2E3, 646 429 1800 -
1,035,000 ($10,029,150.00) Equity, (File 333-145534 - Aug. 17) (BR. 11A)
S-8 Sirtris Pharmaceuticals, Inc., SUITE 104, 790 MEMORIAL DRIVE,
CAMBRIDGE, MA, 02139, 617-252-6920 - 0 ($11,260,566.00) Equity,
(File 333-145535 - Aug. 17) (BR. 01A)
S-3 BEACON POWER CORP, 234 BALLARDVALE ST, WILMINGTON, MA, 01887,
9786949121 - 150,000 ($198,000.00) Equity, (File 333-145536 - Aug. 17)
(BR. 02B)
S-8 PRINCETON REVIEW INC, 2315 BROADWAY, NEW YORK, NY, 10024, 2128748282 -
0 ($9,891,986.00) Equity, (File 333-145537 - Aug. 17) (BR. 11C)
S-8 FUNDSTECH CORP, 10033 SAWGRASS DRIVE WEST, PONTE VEDRA BEACH, FL,
32081, 904-273-2702 - 2,000,000 ($2,900,000.00) Equity,
(File 333-145538 - Aug. 17) (BR. 11B)
S-8 MERIX CORP, 1521 POPLAR LANE, FOREST GROVE, OR, 97116, 5033599300 -
0 ($21,152,743.26) Equity, (File 333-145539 - Aug. 17) (BR. 10B)
S-8 AMERICAN SAFETY INSURANCE HOLDINGS LTD, 44 CHURCH STREET, HAMILTON, D0,
HM HX, 4412968560 - 2,000,000 ($37,340,000.00) Equity,
(File 333-145541 - Aug. 17) (BR. 01A)
S-8 FULTON FINANCIAL CORP, ONE PENN SQ, PO BOX 4887, LANCASTER, PA, 17604,
7172912411 - 1,500,000 ($21,690,000.00) Equity, (File 333-145542 -
Aug. 17) (BR. 07B)
S-3 Aviza Technology, Inc., 440 KINGS VILLAGE ROAD, SCOTTS VALLEY, CA,
95066, (831) 438-2100 - 0 ($40,560,496.00) Equity, (File 333-145544 -
Aug. 17) (BR. 10A)
S-8 Promotora Valle Hermosa CORP, 1809 E. BROADWAY ST., SUITE 346, OVIEDO,
FL, 32765, (407) 435-9715 - 345,000 ($431,250.00) Equity,
(File 333-145545 - Aug. 17) (BR. 06)
S-1 CARDIONET INC, 13221 DENARA ROAD, SAN DIEGO, CA, 92130-1027,
0 ($150,000,000.00) Equity, (File 333-145547 - Aug. 17) (BR. )
S-8 WESTERN ALLIANCE BANCORPORATION, 2700 WEST SAHARA AVENUE, LAS VEGAS,
NV, 89102, 7022484200 - 0 ($46,964,795.00) Equity, (File 333-145548 -
Aug. 17) (BR. 07C)
S-4 UNITED REFINING CO, 15 BRADLEY ST, WARREN, PA, 16365, 8147231500 -
0 ($125,000,000.00) Non-Convertible Debt, (File 333-145549 - Aug. 17)
(BR. 04C)
S-4 Cal Dive International, Inc., 400 N. SAM HOUSTON PARKWAY E, SUITE 1000,
HOUSTON, TX, 77060, 281-618-0400 - 0 ($191,445,442.05) Equity,
(File 333-145550 - Aug. 17) (BR. 04C)
S-1 INSYS THERAPEUTICS, INC., 10220 SOUTH 51ST STREET, SUITE 2, PHOENIX,
AZ, 85044-5231, 602-910-2617 - 0 ($86,250,000.00) Equity,
(File 333-145552 - Aug. 17) (BR. )
S-1 MILLENNIUM GROUP WORLDWIDE INC, 2825 N. 10TH STREET, ST. AUGUSTINE, FL,
32084, 904-262-4899 - 0 ($75,000,000.00) Other, (File 333-145553 -
Aug. 17) (BR. )
S-4 ev3 Inc., 9600 54TH AVENUE NORTH, SUITE 100, PLYMOUTH, MN, 55442-2111,
(763) 398-7000 - 0 ($741,096,857.00) Equity, (File 333-145554 -
Aug. 17) (BR. 10B)
S-3ASR CHEMED CORP, 2600 CHEMED CTR, 255 E FIFTH ST, CINCINNATI, OH, 45202,
(513)762-6900 -
200,000,000 ($200,000,000.00) Debt Convertible into Equity,
(File 333-145555 - Aug. 17) (BR. 01B)
S-3 IDERA PHARMACEUTICALS, INC., 167 SIDNEY STREET, CAMBRIDGE, MA, 02139,
6176795500 - 0 ($50,000,000.00) Equity, (File 333-145556 - Aug. 17)
(BR. 01A)
S-8 LINCARE HOLDINGS INC, 19387 US 19 NORTH, CLEARWATER, FL, 33764,
8135307700 - 0 ($147,920,000.00) Equity, (File 333-145557 - Aug. 17)
(BR. 01B)
S-8 EXTERRAN HOLDINGS INC., 1209 ORANGE STREET, WILMINGTON, DE, 19801,
713-335-7000 - 2,344,188 ($171,477,352.20) Equity, (File 333-145558 -
Aug. 17) (BR. 06B)
S-1 Liberty Acquisition Holdings Corp.,
1114 AVENUE OF THE AMERICAS, 41ST FLOOR, NEW YORK, NY, 10036,
2123802230 - 0 ($862,500,000.00) Equity, (File 333-145559 - Aug. 17)
(BR. )
S-3 EPICEPT CORP, 777 OLD SAW MILL RIVER RD., TARRYTOWN, NY, 10591,
914-606-3500 - 0 ($50,000,000.00) Other, (File 333-145561 - Aug. 17)
(BR. 01A)
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
-------------------------------------------------------------------------------------------------------
ACTEL CORP CA 3.01,9.01 08/13/07
ADM TRONICS UNLIMITED INC/DE DE 2.02,9.01 08/15/07
Advanced Life Sciences Holdings, Inc. 3.01,9.01 08/13/07
AEROFLEX INC DE 3.01,3.03,5.01,5.02,5.03,8.01, 08/17/07
9.01
AETHLON MEDICAL INC NV 3.02,9.01 08/17/07
AIR PRODUCTS & CHEMICALS INC /DE/ DE 7.01,9.01 08/17/07
AIRTRAN HOLDINGS INC NV 2.02,4.02 08/08/07 AMEND
ALDILA INC DE 4.01,9.01 08/15/07
ALLOS THERAPEUTICS INC DE 8.01,9.01 08/15/07
ALPINE AIR EXPRESS INC/DE DE 1.01,9.01 07/31/07
Alternative Loan Trust 2007-OA10 DE 8.01,9.01 07/30/07
AMC ENTERTAINMENT INC DE 5.02 08/17/07
AMERICAN FINANCIAL GROUP INC OH 8.01,9.01 08/16/07
AMERICAN OIL & GAS INC NV 7.01,9.01 08/16/07
AMERICAN PHYSICIANS CAPITAL INC MI 8.01,9.01 08/16/07
AMERICREDIT CORP TX 1.01,9.01 08/16/07
APPALACHIAN POWER CO VA 8.01,9.01 08/17/07
APRIA HEALTHCARE GROUP INC DE 5.02,9.01 08/13/07
ARC WIRELESS SOLUTIONS INC UT 7.01 08/17/07
Argo Group International Holdings, Lt 5.02,9.01 08/17/07
ARKANSAS BEST CORP /DE/ DE 8.01 08/15/07
ASTRATA GROUP INC NV 5.02,9.01 08/13/07
ATARI INC DE 1.01,3.01 08/14/07
AURELIO RESOURCE CORP NV 1.01,9.01 08/15/07
AURORA GOLD CORP DE 8.01,9.01 08/15/07
BALLY TOTAL FITNESS HOLDING CORP DE 5.02 08/15/07
BALLY TOTAL FITNESS HOLDING CORP DE 7.01 08/17/07
BANKUNITED FINANCIAL CORP FL 5.02,8.01 08/13/07
BARRETT BUSINESS SERVICES INC MD 8.01,9.01 08/16/07
BELL INDUSTRIES INC /NEW/ CA 1.01,2.02,9.01 08/13/07
Boardwalk Pipeline Partners, LP DE 1.01,2.03,9.01 08/16/07
BOSTON BEER CO INC MA 2.01 08/15/07
BRISAM CORP NV 5.03,8.01,9.01 08/10/07
BROOKS AUTOMATION INC DE 5.02,9.01 08/15/07
BSML INC UT 1.01,8.01,9.01 08/14/07
BTHC VII Inc DE 5.02,9.01 08/13/07
BULLION RIVER GOLD CORP 1.01,2.03,9.01 08/16/07
Burlington Coat Factory Investments H 5.02,9.01 08/17/07
CAL MAINE FOODS INC DE 5.03,9.01 08/13/07
Card Activation Technologies Inc DE 4.01,9.01 08/13/07
CardioVascular BioTherapeutics, Inc. DE 1.01,9.01 08/17/07
CARRINGTON LABORATORIES INC /TX/ TX 3.01,9.01 08/14/07
CBRE Realty Finance Inc 2.04 08/17/07
CEC ENTERTAINMENT INC KS 5.02 08/17/07
CENTRA FINANCIAL HOLDINGS INC WV 2.02,9.01 08/17/07
CENTURY BANCORP INC MA 1.01,9.01 08/17/07
CERAGENIX PHARMACEUTICALS, INC. DE 8.01,9.01 08/13/07
Challenger Powerboats, Inc. NV 5.02 08/13/07
CHEMBIO DIAGNOSTICS, INC. NV 7.01,9.01 08/17/07
CHICOPEE BANCORP, INC. 8.01,9.01 08/16/07
CHINA EXPERT TECHNOLOGY, INC. NV 5.02 08/15/07
CHINA FIRE & SECURITY GROUP, INC. 5.03,9.01 08/13/07
CHINA IVY SCHOOL, INC. NV 2.02,7.01,9.01 08/14/07
CHINA ORGANIC AGRICULTURE, INC. 2.02,7.01,9.01 08/15/07
China Ritar Power Corp. UT 2.02,9.01 08/17/07
China West Coal Energy Inc TX 5.03,8.01,9.01 08/15/07
CIPHERGEN BIOSYSTEMS INC DE 3.01,9.01 08/15/07
CISCO SYSTEMS INC CA 1.01,2.03,9.01 08/17/07
CITIGROUP INC DE 9.01 08/15/07
Citigroup Mortgage Loan Trust 2007-AR 8.01 08/17/07
CITY CAPITAL CORP NV 1.01 08/13/07
CLEARONE COMMUNICATIONS INC UT 5.02 08/17/07
CLEVELAND CLIFFS INC OH 8.01 08/16/07
COBALT CMBS Commercial Mortgage Trust DE 9.01 08/17/07
COMMERCEFIRST BANCORP INC MD 5.03,9.01 08/16/07
COMMONWEALTH EDISON CO IL 8.01,9.01 07/25/07
COMMUNICATIONS SYSTEMS INC MN 2.02,9.01 08/13/07
COMPUTER HORIZONS CORP NY 8.01 08/15/07
COMPUWARE CORP MI 8.01,9.01 08/15/07
CONCURRENT COMPUTER CORP/DE DE 2.02,9.01 08/17/07
CONSOLIDATED WATER CO LTD E6 2.02,9.01 08/09/07
Constellation Energy Partners LLC DE 8.01 08/16/07
CONSUMER PORTFOLIO SERVICES INC CA 5.02,5.03,9.01 08/13/07
CONTINENTAL FUELS, INC. NV 3.02 08/17/07
Cornerworld Corp NV 1.01,2.01,3.02,4.01,5.01,5.02, 08/10/07
5.03,5.06,9.01
COUNTRYWIDE FINANCIAL CORP DE 2.03,8.01 08/15/07 AMEND
CPG INTERNATIONAL INC. DE 7.01,9.01 08/16/07
CVB FINANCIAL CORP CA 8.01 08/15/07
CVS CAREMARK CORP DE 8.01 08/16/07
CWHEQ Revolving Home Equity Loan Trus 8.01,9.01 08/15/07
CYMER INC NV 5.03,9.01 08/16/07
CYTYC CORP DE 8.01,9.01 08/15/07
DALECO RESOURCES CORP NV 5.02 08/17/06
DARDEN RESTAURANTS INC FL 1.01 08/16/07
DATAMEG CORP DE 1.01,8.01,9.01 08/09/07
Deerfield Triarc Capital Corp MD 7.01,9.01 08/16/07
DELTA APPAREL INC GA 2.02,7.01,9.01 08/17/07
DEVCON INTERNATIONAL CORP FL 1.01 08/16/07
DOMINION RESOURCES INC /VA/ VA 5.02,8.01 08/13/07
DYNEGY HOLDINGS INC DE 8.01,9.01 08/16/07
E TRADE FINANCIAL CORP DE 7.01,9.01 08/16/07
ECHELON CORP DE 5.03,9.01 08/16/07
EL PASO CORP/DE DE 8.01,9.01 08/17/07
ELECTRONICS FOR IMAGING INC DE 3.01,9.01 08/13/07
EMCORE CORP NJ 3.01,9.01 08/13/07
Energy Transfer Equity, L.P. DE 5.02 06/11/07 AMEND
Energy Transfer Partners, L.P. DE 5.02 06/11/07 AMEND
EQUITY ONE, INC. 2.02,7.01 08/17/07
eTelecare Global Solutions, Inc. 5.02 08/13/07
EXECUTE SPORTS INC NV 1.01,3.02,9.01 08/17/07
EXELON CORP PA 8.01,9.01 07/25/07
EXELON GENERATION CO LLC 8.01,9.01 07/25/07
FARMERS CAPITAL BANK CORP KY 8.01,9.01 08/17/07
Federal Home Loan Bank of Topeka 2.02,7.01,9.01 08/17/07
FIFTH THIRD BANCORP OH 8.01,9.01 08/16/07 AMEND
FIRST FINANCIAL SERVICE CORP KY 7.01,9.01 08/16/07
FirstBank Financial Services, Inc. GA 8.01 08/17/07
FLOWSERVE CORP NY 5.02,5.03,9.01 08/16/07
FMC CORP DE 5.03,8.01,9.01 08/17/07
FNBH BANCORP INC MI 5.02,9.01 08/16/07
FOCUS ENHANCEMENTS INC DE 3.01,9.01 08/15/07
FOOT LOCKER INC NY 5.02,5.03,9.01 08/13/07
FREEDOM FINANCIAL GROUP INC DE 1.01,2.03,9.01 08/15/07
FREEDOM FINANCIAL GROUP INC DE 1.01,9.01 08/16/07
GAINSCO INC TX 1.01,2.02,9.01 08/13/07
GEMSTAR TV GUIDE INTERNATIONAL INC DE 5.02,9.01 08/14/07
GENCO SHIPPING & TRADING LTD 2.03 08/17/07
GENTEK INC DE 4.02,7.01,8.01 08/13/07
GLOBECOMM SYSTEMS INC 8.01,9.01 08/17/07
GLOBECOMM SYSTEMS INC 1.01,9.01 08/16/07
GOLDMOUNTAIN EXPLORATION CORP 4.01,9.01 07/30/07
GSI COMMERCE INC DE 1.01,7.01,9.01 08/16/07
GUARDIAN TECHNOLOGIES INTERNATIONAL I DE 8.01 08/16/07
Gulf United Energy, Inc. NV 3.02 08/15/07
HARLEYSVILLE SAVINGS FINANCIAL CORP 5.03,9.01 08/15/07
HARRIS & HARRIS GROUP INC /NY/ NY 8.01 08/14/07
HARTFORD LIFE INSURANCE CO CT 9.01 08/17/07
HEALTHCARE ACQUISITION CORP DE 8.01,9.01 08/17/07
Henry Bros. Electronics, Inc. DE 2.02,9.01 08/15/07
HERBST GAMING INC NV 1.01,9.01 08/14/07
HOLA COMMUNICATIONS INC. NV 3.02,9.01 08/10/07
HOST AMERICA CORP DE 8.01 08/16/07
HUNTINGTON BANCSHARES INC/MD MD 7.01,9.01 08/17/07
HYDRON TECHNOLOGIES INC NY 1.01,9.01 08/14/07
ICO INC TX 1.01,9.01 08/13/07
IMPERIALI INC FL 2.01 08/15/07
INDEVUS PHARMACEUTICALS INC DE 8.01,9.01 08/13/07
IndyMac IMSC Mortgage Loan Trust 2007 8.01,9.01 06/30/07
IndyMac INDX Mortgage Loan Trust 2007 8.01,9.01 07/30/07
INFERX CORP DE 4.02 08/13/07
INLAND REAL ESTATE CORP MD 8.01,9.01 08/17/07
INLAND WESTERN RETAIL REAL ESTATE TRU MD 1.01,5.02,9.01 08/14/07
INLAND WESTERN RETAIL REAL ESTATE TRU MD 7.01,9.01 08/17/07
INSIGHT COMMUNICATIONS CO INC DE 2.02,9.01 08/16/07
INSITUFORM TECHNOLOGIES INC DE 1.01,5.02,8.01,9.01 08/13/07
INTERFACE INC GA 8.01 08/17/07
International Gold Resources, Inc. 9.01 08/17/07
INTERNATIONAL STAR INC NV 5.02,9.01 08/13/07
IR BIOSCIENCES HOLDINGS INC DE 1.01,9.01 08/17/07
IRVINE SENSORS CORP/DE/ DE 3.02,9.01 08/15/07
J P MORGAN CHASE & CO DE 9.01 08/16/07
JAMBA, INC. DE 5.02 08/14/07
JMG Exploration, Inc. NV 9.01 12/31/06
KELLY SERVICES INC DE 5.02,9.01 08/15/07
KEMET CORP DE 5.02,9.01 08/17/07
KEY ENERGY SERVICES INC MD 2.02,9.01 08/17/07
LANCASTER COLONY CORP OH 2.02,7.01,9.01 08/17/07
Lazard Group LLC DE 8.01,9.01 08/16/07
Lazard Ltd D0 8.01,9.01 08/16/07
LEARNING TREE INTERNATIONAL INC DE 3.01,9.01 08/14/07
LEHMAN BROTHERS HOLDINGS INC DE 9.01 08/15/07
LEVEL 3 COMMUNICATIONS INC DE 5.02,5.03,9.01 08/16/07
LEXINGTON REALTY TRUST MD 9.01 06/07/07 AMEND
LIFE PARTNERS HOLDINGS INC TX 2.02,5.03,8.01 08/14/07
LUTCAM INC 1.01,5.02,9.01 08/16/07
MACRO Securities Depositor, LLC DE 1.01,5.01,5.02,8.01,9.01 08/13/07
MACRO Securities Depositor, LLC DE 1.01,5.01,5.02,8.01,9.01 08/13/07
MADISON GAS & ELECTRIC CO WI 8.01,9.01 08/17/07
Manhattan Bancorp CA 8.01 08/15/07
MARLIN BUSINESS SERVICES CORP 8.01 08/17/07
Marquee Holdings Inc. DE 5.02 08/17/07
MEDecision, Inc. PA 5.02,9.01 08/14/07
MEDIALINK WORLDWIDE INC DE 2.02,9.01 08/14/07
MEGA MEDIA GROUP INC NV 8.01 08/16/07
MERRILL LYNCH LIFE INSURANCE CO AR 8.01,9.01 08/13/07
METRO ONE TELECOMMUNICATIONS INC OR 2.03,3.02,3.03,5.01,7.01,9.01 08/15/07
METROMEDIA INTERNATIONAL GROUP INC DE 4.01,9.01 08/16/07
MFB CORP IN 8.01 08/17/07
MGE ENERGY INC WI 8.01,9.01 08/17/07
MICRONETICS INC DE 2.01,9.01 06/05/07 AMEND
MIDDLETON DOLL CO WI 2.02,9.01 08/13/07
MIDWEST AIR GROUP INC WI 1.01,8.01,9.01 08/16/07
MILLIPORE CORP /MA MA 5.02 08/15/07
MINRAD INTERNATIONAL, INC. 5.02 08/16/07
ML LIFE INSURANCE CO OF NEW YORK NY 8.01,9.01 08/13/07
MMA Media Inc. DE 8.01 08/14/07
MONTANA ACQUISITION CORP DE 4.01,9.01 04/09/05
MONTANA ACQUISITION CORP DE 2.01,2.03,9.01 12/30/05
MONUMENTAL MARKETING INC NV 3.02,9.01 08/12/07
MTR GAMING GROUP INC DE 5.02 08/15/07
MULTI COLOR CORP OH 1.01,5.03,8.01,9.01 08/16/07
MULTIBAND CORP MN 7.01,9.01 08/16/07
Nascent Wine Company, Inc. 8.01,9.01 08/13/07
NASDAQ STOCK MARKET INC DE 8.01,9.01 08/17/07
NATIONAL FINANCIAL PARTNERS CORP 5.02 08/17/07
NATIONAL RV HOLDINGS INC DE 5.02,9.01 08/17/07
NATIONWIDE HEALTH PROPERTIES INC MD 8.01,9.01 08/17/07
NEOMEDIA TECHNOLOGIES INC DE 1.01,3.02,9.01 08/14/07
NETWORK APPLIANCE INC CA 1.01 08/13/07
NEW DRAGON ASIA CORP FL 8.01,9.01 08/15/07
NEW MEDIUM ENTERPRISES INC NV 8.01 08/17/07
NEWS CORP 8.01,9.01 08/17/07
Nexxus Lighting, Inc. DE 2.02,9.01 08/14/07
NNN Apartment REIT, Inc. MD 9.01 06/29/07 AMEND
NNN Healthcare/Office REIT, Inc. MD 1.01,2.01,7.01,9.01 08/15/07
NORTHERN OIL & GAS, INC. 1.01,9.01 08/13/07
NTS REALTY HOLDINGS LP DE 2.01,9.01 08/15/07
Nuance Communications, Inc. DE 1.01,2.03,3.02,9.01 08/13/07
Oculus Innovative Sciences, Inc. CA 1.01,2.04,3.02,9.01 08/07/07 AMEND
ODYNE CORP 5.02 08/16/07
OI CORP OK 7.01,9.01 08/17/07
OLD LINE BANCSHARES INC 8.01,9.01 08/17/07
ON THE GO HEALTHCARE INC 5.03 08/13/07
OPLINK COMMUNICATIONS INC DE 9.01 06/05/07 AMEND
Organetix NJ 9.01 08/13/07
OSCIENT PHARMACEUTICALS CORP MA 3.01,9.01 08/17/07
Panglobal Brands Inc. DE 4.01 08/17/07
Park Place Energy Corp. NV 1.01,9.01 08/15/07
PARKER DRILLING CO /DE/ DE 2.04,9.01 08/17/07
PARKER DRILLING CO /DE/ DE 8.01,9.01 08/17/07
PATHMARK STORES INC DE 1.01 08/14/07
PAYLESS SHOESOURCE INC /DE/ DE 1.01,2.01,2.03,8.01,9.01 08/17/07
PECO ENERGY CO PA 8.01,9.01 07/25/07
PERCEPTRON INC/MI MI 2.02,9.01 08/17/07
PERFORMANCE TECHNOLOGIES INC \DE\ DE 8.01 08/15/07
PERKINELMER INC MA 1.01,1.02,9.01 08/13/07
PETSMART INC DE 1.01,2.03,9.01 08/15/07
PFF BANCORP INC DE 8.01,9.01 08/17/07
PIZZA INN INC /MO/ MO 1.02,5.02,8.01,9.01 08/15/07
POGO PRODUCING CO DE 8.01,9.01 08/14/07
PointStar Entertainment Corp. NV 5.02 08/14/07
POMEROY IT SOLUTIONS INC DE 8.01,9.01 08/13/07
PREMIER FINANCIAL BANCORP INC KY 5.03 08/15/07
PROCENTURY CORP 7.01,8.01,9.01 08/16/07
PROGRESS ENERGY INC NC 7.01,9.01 06/30/07
PROGRESSIVE GAMING INTERNATIONAL CORP NV 3.02 08/16/07
PROSPECT CAPITAL CORP MD 8.01,9.01 08/17/07
PROVIDENCE SERVICE CORP DE 1.01,5.02 08/13/07
PUBLICARD INC PA 2.02,9.01 08/16/07
PUBLICARD INC PA 7.01,9.01 08/16/07
PURE BIOFUELS CORP NV 1.01,5.02 08/13/07
QUAKER FABRIC CORP /DE/ DE 1.03,9.01 08/16/07
QUEST OIL CORP NV 4.02 08/08/07
QUEST OIL CORP NV 4.02 08/08/07
QWEST COMMUNICATIONS INTERNATIONAL IN DE 5.02 08/16/07
RANCHER ENERGY CORP. NV 3.02 08/17/07
RARE HOSPITALITY INTERNATIONAL INC GA 1.01,3.03,9.01 08/16/07
RED HAT INC DE 5.02 08/16/07
RED ROBIN GOURMET BURGERS INC DE 2.02,9.01 08/16/07
RENAISSANCERE HOLDINGS LTD 5.02,8.01,9.01 08/14/07
RENAISSANCERE HOLDINGS LTD 1.02 08/15/07
RITE AID CORP DE 5.02,9.01 08/15/07
SAFEWAY INC DE 8.01,9.01 08/17/07
SALESFORCE COM INC DE 7.01 08/17/07
SAUER DANFOSS INC DE 5.02,9.01 08/14/07
SCHNITZER STEEL INDUSTRIES INC OR 5.02 08/09/07 AMEND
SENSIENT TECHNOLOGIES CORP WI 5.02,9.01 08/17/07
SEQUIAM CORP CA 1.01,8.01,9.01 08/15/07
SEQUIAM CORP CA 1.01,2.03,9.01 08/16/07
SERVICEMASTER CO DE 5.02,9.01 08/13/07
SFG FINANCIAL CORP DE 2.01,5.01,5.02,5.03,5.06,8.01, 07/18/07
9.01
SILICON STORAGE TECHNOLOGY INC CA 3.01,9.01 08/17/07
SIMMONS CO DE 2.02,9.01 08/14/07
Sino Fibre Communications, Inc. NV 7.01,9.01 08/10/07
Sinoenergy CORP NV 2.02,7.01,8.01,9.01 08/09/07
SMI PRODUCTS INC 1.01,9.01 08/15/07
SMUCKER J M CO OH 2.02,9.01 08/17/07
SONOMA VALLEY BANCORP CA 5.02,8.01,9.01 08/16/07
SOURCEFIRE INC DE 8.01,9.01 08/17/07
SOUTHWEST WATER CO DE 8.01,9.01 08/16/07
ST. BERNARD SOFTWARE, INC. CA 1.01,2.01,9.01 08/13/07
STAGE STORES INC NV 8.01,9.01 08/16/07
STARMED GROUP INC AZ 8.01 08/13/07
STARWOOD HOTEL & RESORTS WORLDWIDE IN MD 1.01,9.01 08/14/07
State Auto Financial CORP OH 8.01,9.01 08/17/07
STERLING BANCORP NY 8.01 08/16/07
STERLING FINANCIAL CORP /PA/ PA 3.01,9.01 08/13/07
SUNTRON CORP DE 2.02 08/15/07
Superior Offshore International Inc. DE 1.01,2.03,9.01 08/14/07
SYNTROLEUM CORP DE 1.01 08/13/07
Synutra International, Inc. DE 2.02,4.02,9.01 08/13/07
TECUMSEH PRODUCTS CO MI 5.02,9.01 08/13/07
TENNANT CO MN 5.02 08/13/07
Tennessee Valley Authority 8.01,9.01 08/16/07
TEXAS INDUSTRIES INC DE 1.01,2.03,9.01 08/15/07
THERAGENICS CORP DE 5.03,9.01 08/14/07
TOLLGRADE COMMUNICATIONS INC \PA\ PA 5.02 08/16/07
TORCH ENERGY ROYALTY TRUST DE 2.02,9.01 08/17/07
TRANSCONTINENTAL REALTY INVESTORS INC NV 2.02,9.01 08/14/07
TRESTLE HOLDINGS, INC. DE 3.03 08/17/07
TRIARC COMPANIES INC DE 7.01,9.01 08/16/07
TRUE PRODUCT ID, INC. DE 1.01,5.02,9.01 08/17/07
TRUE RELIGION APPAREL INC NV 3.01,9.01 08/14/07
TURBOCHEF TECHNOLOGIES INC DE 3.01,9.01 08/16/07
TWIN DISC INC WI 7.01,9.01 08/17/07
U S PHYSICAL THERAPY INC /NV NV 7.01 08/17/07
UNITED COMMUNITY BANKS INC GA 5.02 08/17/07
UNITED SURGICAL PARTNERS INTERNATIONA DE 2.02,9.01 08/16/07
UNIVERSAL ENERGY CORP. 7.01,9.01 08/10/07
UNIVERSAL TRAVEL GROUP NV 2.02,7.01,9.01 08/14/07
UNIVEST CORP OF PENNSYLVANIA PA 8.01 08/17/07
VALENCE TECHNOLOGY INC DE 3.02,9.01 08/16/07
VALENCE TECHNOLOGY INC DE 5.02 08/16/07
VECTOR GROUP LTD DE 1.01,2.03,8.01,9.01 08/13/07
VERTICAL BRANDING, INC. DE 8.01,9.01 08/14/07
VICOR CORP DE 3.01,7.01,9.01 08/17/07
VIRGINIA ELECTRIC & POWER CO VA 5.02 08/13/07
VIRGINIA FINANCIAL GROUP INC VA 8.01,9.01 08/17/07
WATCHIT MEDIA, INC. DE 2.04 10/06/06
WAVE WIRELESS CORP DE 1.01,9.01 08/13/07
WESTMORELAND COAL CO DE 5.02,8.01,9.01 08/16/07
WHEELING PITTSBURGH CORP /DE/ DE 8.01,9.01 08/17/07
Whitestone REIT TX 7.01,9.01 08/13/07
WHOLE FOODS MARKET INC TX 8.01,9.01 08/16/07
WILD OATS MARKETS INC DE 8.01,9.01 08/16/07
WINDSTREAM CORP DE 5.02,9.01 08/17/07
WIRELESS FACILITIES INC DE 3.01,9.01 08/13/07
Wornick CO DE 1.01,9.01 08/13/07
XCORPOREAL, INC. DE 1.01,9.01 08/10/07 AMEND
XENOPORT INC DE 8.01 08/13/07
YUKON GOLD CORP INC DE 3.02,9.01 08/17/07
http://www.sec.gov/news/digest/2007/dig082007.htm
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