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SEC NEWS DIGEST
Issue 2007-140 July 23, 2007
COMMISSION ANNOUNCEMENTS
SEC SUSPENDS TRADING IN SECURITIES OF VISION AIRSHIPS, INC.
The Securities and Exchange Commission announced the temporary
suspension, pursuant to Section 12(k) of the Securities Exchange Act
of 1934 (Exchange Act), of trading in the securities of Vision
Airships, Inc. (Vision Airships) at 9:30 a.m. EST on July 23, 2007,
and terminating at 11:59 p.m. EST on Aug. 3, 2007.
The Commission temporarily suspended trading in the securities of
Vision Airships due to questions that have arisen concerning the
adequacy and accuracy of assertions made by Vision Airships in
publicly disseminated press concerning among other things 1) the
company's acquisition of blimps, 2) the existence of company
negotiations with other entities for use of the blimps, 3) the
company's funding for its global expansion, and 4) the potential
annual revenues from airship use.
The Commission cautions broker-dealers, shareholders, and prospective
purchasers that they should carefully consider the foregoing
information along with all other currently available information and
any information subsequently issued by the company.
Further, brokers and dealers should be alert to the fact that,
pursuant to Rule 15c2-11 under the Exchange Act, at the termination of
the trading suspension, no quotation may be entered unless and until
they have strictly complied with all of the provisions of the rule. If
any broker or dealer has any questions as to whether or not he has
complied with the rule, he should not enter any quotation but
immediately contact the staff of the Securities and Exchange
Commission in Washington, D.C. If any broker or dealer is uncertain as
to what is required by Rule 15c2-11, he should refrain from entering
quotations relating to Vision Airships' securities until such time as
he has familiarized himself with the rule and is certain that all of
its provisions have been met. If any broker or dealer enters any
quotation which is in violation of the rule, the Commission will
consider the need for prompt enforcement action.
If any broker-dealer or other person has any information that may
relate to this matter, they should immediately communicate it to John
Reed Stark, Chief of the Office of Internet Enforcement and Counselor
to the Director, Division of Enforcement at the Securities and
Exchange Commission. He can be reached at (202) 942-4803, or by e-mail
at StarkJ@sec.gov. (Rel. 34-56116)
STATEMENT BY CHAIRMAN CHRISTOPHER COX CONCERNING COMPANIES' ACTIVITIES
IN COUNTRIES KNOWN TO SPONSOR TERRORISM
On July 20, SEC Chairman Christopher Cox issued the following
statement concerning disclosures filed with the Commission concerning
public company activities in countries that the U.S. Secretary of
State has determined to have repeatedly supported terrorism:
Since the SEC added to our Internet site a web tool that permits
investors to obtain information directly from company disclosure
documents about their business interests in countries the U.S.
Secretary of State has designated "State Sponsors of Terrorism," the
site has experienced exceptional traffic. Between June 25, when the
web tool was unveiled, through July 16, visitors have "hit" material
posted on the site well over 150,000 times. Iran was the country most
frequently clicked on, followed by Cuba, Sudan, North Korea, and
Syria. Those who went to a country list most often clicked through to
the text of companies' own disclosure (in the case of Iran, they did
so overwhelmingly), indicating that the disclosures were allowed to
speak for themselves.
The web tool worked by pulling up the portions of a registrant's most
recent annual report that discuss business activities in or relating
to any of the five State Department-designated State Sponsors of
Terrorism. It did not result from a mere "keyword" search of the SEC's
"EDGAR" database, but rather excluded any registrant's discussion of
any State Sponsor of Terrorism unrelated to the company's activities
in that country (e.g., generic descriptions of risk associated with
the possibility of war), as well as any registrant's statements
concerning the fact that the registrant does not do business in a
particular State Sponsor of Terrorism. All of the disclosures were
linked directly to the full text of the company's annual report to
insure proper context. Moreover, the SEC added no commentary to the
company's own disclosures except to state that the existence of a
disclosure by a company concerning activities in one of the listed
countries does not, in itself, mean that the company directly or
indirectly supports terrorism or is otherwise engaged in any improper
activity.
The Commission has received many positive comments about the
usefulness of the web tool in finding company disclosures about their
activities in countries that sponsor terrorism, a mission that the
Congress has encouraged the agency to fulfill. At the same time, we
have received many other comments that were negative, primarily from
the registrants whose disclosures were findable using the web tool but
also from others, focused chiefly on the lack of updated information
beyond what a company has included in its most recent annual report.
(The web tool as it debuted is limited to annual reports.)
These comments, both positive and negative, have been extremely useful
to the Commission in evaluating the performance of the web tool.
Because of the importance the SEC places on complete, accurate, and
timely disclosure, we are particularly impressed with the concerns
that have been expressed about the tool's inability to access more
current data about a company's activities in a terrorist state since
the date of their most recent annual report. Since more recent
disclosure could include the fact that a company has completely
terminated its activities in a country, that information could be
material to a complete understanding of the disclosure in the last
annual report.
To address these and related concerns, we are temporarily suspending
the availability of the web tool while it undergoes reconstruction. We
will work to improve the web tool so that it meets the various
concerns that have been expressed. Alternatively, our staff is
considering whether the use of interactive data tags applied by
companies themselves could permit investors, analysts and others to
easily discover this disclosure without need of an SEC-provided web
tool at all. In the interim, the companies' disclosure regarding their
business contacts in the five nations will continue to be available
through the SEC's EDGAR database, and findable using our new full-text
search capability.
The Commission staff will also consider whether to recommend a Concept
Release on the question of how best to make public company disclosure
of activities in terrorist states more accessible. The release would
solicit public comment in a formal way, so that the Commission could
ensure that all legitimate concerns can be met while providing better
access to company disclosures on these topics.
The exceptional public interest that has been demonstrated in reading
company disclosures on this topic indicates that it is an important
subject for investors. Federal law and SEC regulations will continue
to require public companies to report on their activities, if
material, in a country the Secretary of State has formally determined
to be a State Sponsor of Terrorism. Our role is to make that
information readily accessible to the investing public, and we will
continue to work to find better ways to accomplish that objective.
(Press Rel. 2007-138)
SELF-REGULATORY ORGANIZATIONS
ACCELERATED APPROVAL OF PROPOSED RULE CHANGES
The Commission noticed Amendment No. 2, and approved on an accelerated
basis, a proposed rule change (SR-NASDAQ-2007-037) as modified by
Amendment Nos. 1 and 2 submitted by The NASDAQ Stock Market to modify
its Order Audit Trail System Rules to provide an exemption from
transmission requirements for proprietary orders. Publication in the
Federal Register is expected during the week of July 23. (Rel. 34-
56096)
The Commission granted accelerated approval to a proposed rule change
(SR-Amex-2007-64) filed by the American Stock Exchange under Section
19(b)(1) of the Securities Exchange Act of 1934 relating to an
extension of the Linkage Fee pilot program. Publication in the Federal
Register is expected during the week of July 23. (Rel. 34-56102)
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A proposed rule change (SR-Phlx-2007-50) filed by the Philadelphia
Stock Exchange relating to extending the specialist option transaction
charge credit pilot program has become effective pursuant to Section
19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the
Federal Register is expected during the week of July 23. (Rel. 34-
56101)
A proposed rule change (SR-NASD-2007-039) filed by the National
Association of Securities Dealers to delay implementation of certain
changes to the Manning Rule has become effective under Section
19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the
Federal Register is expected during the week of July 23. (Rel. 34-
56103)
A proposed rule change (SR-ISE-2007-62) filed by the International
Securities Exchange relating to a one-week extension for the Price
Improvement Mechanism pilot program has become effective under Section
19(b)(3)(A) under the Securities Exchange Act of 1934. Publication in
the Federal Register is expected during the week of July 23. (Rel. 34-
56106)
A proposed rule change (SR-NASDAQ-2007-064) filed by The NASDAQ Stock
Market to modify fees for members using the Nasdaq Market Center has
become effective under Section 19(b)(3)(A) of the Securities Exchange
Act of 1934. Publication in the Federal Register is expected during
the week of July 23. (Rel. 34-56112)
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-3 QUANTUM FUEL SYSTEMS TECHNOLOGIES WORLDWIDE INC,
0 ($20,715,750.00) Equity, (File 333-144720 - Jul. 20) (BR. 05B)
SB-2 VeruTEK Technologies, Inc., 455 GRANVILLE STREET, SUITE 500, VANCOUVER,
A1, V6C 1T1, 604-771-3234 - 4,079,602 ($12,442,787.00) Equity,
(File 333-144721 - Jul. 20) (BR. 04)
F-10 YAMANA GOLD INC, 150 YORK ST, STE 1902, TORONTO, A6, M5H 3S5,
4168150220 - 0 ($2,210,646,826.00) Equity, (File 333-144723 - Jul. 20)
(BR. 04A)
S-8 AIRVANA INC, 19 ALPHA ROAD, CHELMSFORD, MA, 01824, 978-250-3000 -
0 ($112,929,155.00) Equity, (File 333-144724 - Jul. 20) (BR. 11C)
S-8 PALOMAR MEDICAL TECHNOLOGIES INC, 82 CAMBRIDGE STREET, SUITE 1,
BURLINGTON, MA, 01803, 7819932300 - 1,000,000 ($37,195,000.00) Equity,
(File 333-144727 - Jul. 20) (BR. 10C)
SB-2 GelTech Solutions, Inc., 1460 PARK LANE SOUTH, SUITE 1, JUPITER, FL,
33458, 561-427-6144 - 2,252,932 ($1,502,706.00) Other,
(File 333-144736 - Jul. 20) (BR. 06)
S-8 SemGroup Energy Partners, L.P., TWO WARREN PLACE,
6120 SOUTH YALE AVENUE, SUITE 700, TULSA, OK, 74136, (918) 524-8100 -
0 ($27,500,000.00) Limited Partnership Interests, (File 333-144737 -
Jul. 20) (BR. 04B)
S-8 HANDHELD ENTERTAINMENT, INC., 539 BRYANT STREET, SUITE 403,
SAN FRANCISCO, CA, 94107, 415-495-6470 -
2,000,000 ($3,460,000.00) Equity, (File 333-144738 - Jul. 20) (BR. 02B)
S-8 TELECOMMUNICATION SYSTEMS INC /FA/, 275 WEST ST, ANNAPOLIS, MD, 21401,
4102637616 - 0 ($24,200,000.00) Equity, (File 333-144742 - Jul. 20)
(BR. 03C)
S-8 MONADNOCK BANCORP INC, ONE JAFFREY ROAD, PETERBOROUGH, NH, 03458,
6039249654 - 97,306 ($648,615.00) Equity, (File 333-144743 - Jul. 20)
(BR. 07C)
SB-2 REMEDENT, INC., XAVIER DE COCKLAAN 42, DEURLE, C9, 9831,
011-32-9-321-7090 - 9,800,000 ($15,750,000.00) Equity,
(File 333-144745 - Jul. 20) (BR. 10C)
S-1 Double-Take Software, Inc., 257 TURNPIKE ROAD, SUITE 210, SOUTHBOROUGH,
MA, 01772, 508-229-8810 - 0 ($80,256,487.50) Equity, (File 333-144746 -
Jul. 20) (BR. 03A)
S-8 STEMCELLS INC, 6504753100 - 0 ($19,772,653.00) Equity,
(File 333-144747 - Jul. 20) (BR. 01C)
S-3 ANTARES PHARMA INC, 250 PHILLIPS BLVD, SUITE 290, EWING, NJ, 08618,
609-359-3020 - 13,800,000 ($24,400,000.00) Equity, (File 333-144748 -
Jul. 20) (BR. 10A)
S-8 Beneficial Mutual Bancorp Inc, 510 WALNUT STREET, PHILADELPHIA, PA,
19106, 215-864-6000 - 2,371,384 ($22,646,718.00) Equity,
(File 333-144749 - Jul. 20) (BR. 07)
S-1 INTERNET BRANDS, INC., 909 N. SEPULVEDA BOULEVARD, 11TH FLOOR,
EL SEGUNDO, CA, 90245, (800) 431-2500 - 0 ($100,000,000.00) Equity,
(File 333-144750 - Jul. 20) (BR. 08)
SB-2 Celsius Holdings, Inc., 140 NE 4TH AVENUE, SUITE C, DELRAY BEACH, FL,
33483, 561-276-2239 - 19,584,805 ($21,543,285.50) Equity,
(File 333-144751 - Jul. 20) (BR. 02A)
N-2 DWS Dreman Enhanced Total Return Fund, Inc., 345 PARK AVENUE, NEW YORK,
NY, 10154, 212-454-7190 - 0 ($1,000,000.00) Equity, (File 333-144753 -
Jul. 20) (BR. 16)
S-8 ACACIA RESEARCH CORP, 500 NEWPORT CENTER DRIVE, 7TH FLOOR,
NEWPORT BEACH, CA, 92660, 9494808300 - 560,000 ($8,677,200.00) Equity,
(File 333-144754 - Jul. 20) (BR. 10A)
F-6 ROYAL BANK OF SCOTLAND GROUP PLC, GOGARBURN, PO BOX 1000,
EDINBURGH, SCOTLAND, X0, EH12 1HQ, 441315568555 -
1,000,000,000 ($50,000,000.00) ADRs/ADSs, (File 333-144756 - Jul. 20)
(BR. 07A)
N-2 Pioneer Diversified High Income Trust, 60 STATE STREET, BOSTON, MA,
02109, 617-742-7825 - 40 ($1,000,000.00) Equity, (File 333-144757 -
Jul. 20) (BR. 16)
S-1 SuccessFactors, Inc., 1500 FASHION ISLAND BLVD., SUITE 300, SAN MATEO,
CA, 94404, (650) 645-2000 - 0 ($125,000,000.00) Equity,
(File 333-144758 - Jul. 20) (BR. )
S-4 INVERNESS MEDICAL INNOVATIONS INC, 51 SAWYER ROAD, SUITE 200, WALTHAM,
MA, 02453, 7816473900 - 0 ($376,933,015.00) Equity, (File 333-144759 -
Jul. 20) (BR. 01A)
N-2 Allianz RCM Global EcoTrends Fund, ONE INTERNATIONAL PLACE,
C/O ROPES & GRAY LLP, BOSTON, MA, 02110, (617) 951-7000 -
12,000,000 ($376,920,000.00) Other, (File 333-144760 - Jul. 20) (BR. 17)
N-2 HIGHLAND EVENT DRIVEN FUND, 13455 NOEL ROAD, SUITE 800, DALLAS, TX,
75240, 877-665-1287 - 50,000 ($1,000,000.00) Equity, (File 333-144761 -
Jul. 20) (BR. 17)
S-3 PERRY ELLIS INTERNATIONAL INC, 3000 NW 107TH AVENUE, MIAMI, FL, 33172,
3055922830 - 0 ($150,000,000.00) Equity, (File 333-144762 - Jul. 20)
(BR. 02B)
S-8 GEOKINETICS INC, ONE RIVERWAY, SUITE 2100, HOUSTON, TX, 77056,
7138507600 - 0 ($20,550,000.00) Equity, (File 333-144763 - Jul. 20)
(BR. 04C)
S-8 hhgregg, Inc., 4151 EAST 96TH STREET, INDIANAPOLIS, IN, 46240,
317-848-8710 - 0 ($90,722,658.00) Equity, (File 333-144764 - Jul. 20)
(BR. 02)
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 8K ITEM NO.
NAME OF ISSUER CODE DATE COMMENT
1ST INDEPENDENCE FINANCIAL GROUP, INC DE 8.01,9.01 07/20/07
1ST SOURCE CORP IN 2.02,9.01 06/30/07
A.C. Moore Arts & Crafts, Inc. PA 5.02,9.01 07/17/07
ACNB CORP PA 8.01,9.01 07/17/07
ACORDA THERAPEUTICS INC 1.02,5.02 07/19/07
ADEPT TECHNOLOGY INC CA 5.02,9.01 07/17/07
ADVANCED PHOTONIX INC DE 4.01,9.01 07/19/07
AETRIUM INC MN 2.02,9.01 07/18/07
AJS BANCORP INC DE 1.01,2.02,9.01 07/17/07
AK STEEL HOLDING CORP DE 5.02,9.01 07/19/07
ALION SCIENCE & TECHNOLOGY CORP DE 5.02,9.01 07/17/07
ALION SCIENCE & TECHNOLOGY CORP DE 1.01,2.03,9.01 07/17/07
Allied Nevada Gold Corp DE 1.01,3.02,8.01,9.01 07/16/07
Alon USA Energy, Inc. DE 1.01,9.01 07/19/07
ALPHA INNOTECH CORP DE 5.02,9.01 07/17/07
Alphatec Holdings, Inc. DE 5.02 07/16/07
AMB PROPERTY CORP MD 1.01,2.03,9.01 07/16/07
AMB PROPERTY LP DE 1.01,2.03,9.01 07/16/07
AMCOL INTERNATIONAL CORP DE 2.02,9.01 07/20/07
AMERICAN ENTERPRISE DEVELOPMENT CORP TX 3.02,5.02 03/31/07
AMERICAN EXPRESS CO NY 8.01,9.01 07/20/07
American Home Mortgage Assets Trust 2 DE 9.01 06/29/07
American Natural Energy Corp OK 4.01,9.01 07/16/07
AMERICAN STANDARD COMPANIES INC DE 1.01,9.01 07/16/07
AMERICANWEST BANCORPORATION WA 7.01 07/20/07
Ameris Bancorp GA 2.02 07/19/07
AMETEK INC/ DE 2.02,9.01 07/19/07
Apple REIT Seven, Inc. VA 2.01,9.01 07/18/07
APPLIED MATERIALS INC /DE DC 5.02 07/19/07
ASHWORTH INC DE 5.02 07/16/07
ATARI INC DE 1.01,3.01 07/17/07
ATHEROS COMMUNICATIONS INC DE 5.05,9.01 07/17/07
ATLANTIC SYNDICATION NETWORK INC NV 1.01,9.01 07/16/07
AUTOBYTEL INC DE 5.02,9.01 07/17/07
AVISTAR COMMUNICATIONS CORP DE 2.02,9.01 07/19/07
AVNET INC NY 7.01,9.01 07/18/07
AXESSTEL INC NV 8.01 07/15/07
BANK OF KENTUCKY FINANCIAL CORP KY 2.02,9.01 07/20/07
Bank of Marin Bancorp CA 8.01 07/19/07
Bank of New York Mellon CORP 2.02,9.01 07/19/07
BANK OF THE JAMES FINANCIAL GROUP INC VA 2.02,9.01 07/20/07
BARRY R G CORP /OH/ OH 7.01,9.01 07/20/07
BCSB BANKCORP INC 2.02,9.01 07/19/07
BELL INDUSTRIES INC /NEW/ CA 8.01,9.01 07/17/07
BIG SKY ENERGY CORP NV 5.02 07/16/07
BLUE RIVER BANCSHARES INC IN 2.01,7.01,9.01 07/20/07
BOSTON SCIENTIFIC CORP DE 2.02,9.01 07/20/07
BRIDGE BANCORP INC NY 2.02,9.01 07/20/07
Bridgeline Software, Inc. DE 5.02,9.01 07/17/07
BROOKLINE BANCORP INC DE 2.02,5.02 07/19/07
BRUNSWICK CORP DE 2.02,8.01,9.01 07/20/07
BSD MEDICAL CORP DE 7.01,9.01 07/20/07
Buckeye GP Holdings L.P. DE 5.02 07/20/07
BUCKEYE PARTNERS L P DE 5.02 07/20/07
BUTLER NATIONAL CORP DE 2.02,8.01,9.01 07/19/07
C & F FINANCIAL CORP VA 8.01,9.01 07/18/07
CADENCE FINANCIAL CORP MS 4.02,9.01 07/17/07
CAPITAL LEASE FUNDING INC 1.01,2.03,9.01 07/16/07
Cardium Therapeutics, Inc. 8.01,9.01 07/18/07
CARDTRONICS INC DE 8.01,9.01 07/20/07
CASS INFORMATION SYSTEMS INC MO 2.02,9.01 07/19/07
CASUAL MALE RETAIL GROUP INC DE 5.02 07/19/07
CATERPILLAR FINANCIAL SERVICES CORP DE 2.02,9.01 06/30/07
CATERPILLAR INC DE 2.02,7.01,9.01 07/20/07
CATERPILLAR INC DE 7.01,9.01 07/20/07
CENTRAL BANCORP INC /MA/ MA 8.01,9.01 07/19/07
CENTRAL FEDERAL CORP DE 2.02,9.01 07/20/07
CENTRAL VALLEY COMMUNITY BANCORP CA 8.01 07/18/07
CENTRAL VALLEY COMMUNITY BANCORP CA 8.01,9.01 07/18/07
CENTRUE FINANCIAL CORP DE 2.02,9.01 07/20/07
CENVEO, INC CO 1.01,7.01,9.01 07/17/07
Chardan North China Acquisition Corp DE 7.01,9.01 07/20/07
CHARLOTTE RUSSE HOLDING INC 5.02 07/18/07
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 07/18/07
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 07/19/07
CHEROKEE INTERNATIONAL CORP DE 5.02,9.01 07/17/07
CHINA EXPERT TECHNOLOGY, INC. NV 5.02 07/18/07
CHINA EXPERT TECHNOLOGY, INC. NV 2.02,9.01 07/20/07
China Yingxia International, Inc. FL 3.02 07/20/07
China Yingxia International, Inc. FL 3.02 07/20/07 AMEND
CHINACAST EDUCATION CORP DE 8.01,9.01 07/20/07
CINTAS CORP WA 2.02 05/31/07
CIRCUIT RESEARCH LABS INC AZ 1.01,9.01 07/13/07
CITIGROUP INC DE 2.02,9.01 07/20/07
CITIZENS FIRST CORP KY 2.02,7.01,9.01 07/19/07
CLEVELAND BIOLABS INC DE 8.01,9.01 07/20/07
COBIZ INC CO 2.02,9.01 07/19/07
COCA COLA ENTERPRISES INC DE 1.01 07/16/07
COLONY BANKCORP INC GA 2.02 07/20/07
COMMUNITY BANCORP /VT VT 8.01,9.01 07/19/07
COMMUNITY BANKSHARES INC /SC/ SC 2.02,9.01 07/19/07
Community Partners Bancorp NJ 2.02,8.01,9.01 07/20/07
COMPUTER PROGRAMS & SYSTEMS INC DE 2.02,9.01 07/19/07
Comverge, Inc. DE 5.02 07/17/07
CONAGRA FOODS INC /DE/ DE 5.02 07/17/07
Conihasset Capital Partners, Inc. DE 5.02,9.01 07/16/07
CONSOLIDATED GRAPHICS INC /TX/ TX 8.01,9.01 07/19/07
COSI INC DE 2.02,9.01 07/19/07
Cougar Biotechnology, Inc. 5.02 07/18/07
CRONOS GROUP 1.01,2.03,9.01 07/16/07
CRYSTAL INTERNATIONAL TRAVEL GROUP, I DE 5.02,9.01 07/16/07
CSB BANCORP INC /OH OH 2.02,9.01 07/20/07
CYANOTECH CORP NV 3.01 07/16/07
CYIOS CORP NV 4.01,9.01 07/16/07
CYTYC CORP DE 8.01,9.01 07/19/07
DANA CORP VA 8.01 07/20/07
DANA CORP VA 1.01 07/18/07
DAYBREAK OIL & GAS INC WA 1.01,7.01,9.01 07/18/07
DEER VALLEY CORP 2.02,9.01 07/19/07
Deerfield Resources, Ltd. 8.01 07/11/07
DEFENSE INDUSTRIES INTERNATIONAL INC NV 8.01,9.01 07/20/07
DELPHI CORP DE 1.01,8.01,9.01 07/18/07
DHB INDUSTRIES INC DE 5.02,9.01 07/13/07
Diamond Foods Inc DE 5.02,9.01 07/20/07
DONEGAL GROUP INC DE 2.02 07/20/07
DOR BIOPHARMA INC DE 8.01,9.01 07/18/07
DORAL FINANCIAL CORP PR 1.01,3.02,5.01,5.02,7.01, 07/19/07
8.01,9.01
Double Eagle Holdings, Ltd. NV 5.02 07/15/07
DOW JONES & CO INC DE 9.01 06/04/07 AMEND
Dussault Apparel Inc. 8.01,9.01 07/19/07
DYADIC INTERNATIONAL INC DE 8.01 07/19/07
E ENERGY ADAMS LLC 5.02 07/17/07
EASTMAN KODAK CO NJ 5.02 07/17/07
ECB BANCORP INC NC 2.02,9.01 07/18/07
EMCLAIRE FINANCIAL CORP PA 2.02,9.01 07/20/07
EMVELCO CORP. DE 1.01,9.01 07/16/07
ENCISION INC CO 3.01,9.01 07/20/07
ENDEAVOUR INTERNATIONAL CORP NV 8.01 07/20/07
ENDURANCE SPECIALTY HOLDINGS LTD 1.01,9.01 07/19/07
EnerSys DE 1.01,9.01 07/19/07
ERIE INDEMNITY CO PA 8.01,9.01 07/20/07
FERRO CORP OH 2.02,9.01 07/20/07
FFD FINANCIAL CORP/OH OH 4.01,9.01 07/17/07
FIFTH THIRD AUTO TRUST 2004-A 8.01,9.01 07/20/07
FINISAR CORP DE 8.01 07/16/07
FINISH LINE INC /IN/ IN 7.01 07/19/07
FIRST BANCSHARES INC /MO/ MO 5.02,9.01 07/16/07
FIRST COMMONWEALTH FINANCIAL CORP /PA PA 2.02,9.01 07/19/07
FIRST COMMUNITY CORP /SC/ SC 2.02,9.01 07/18/07
FIRST FINANCIAL SERVICE CORP KY 2.02,9.01 07/19/07
FIRST HORIZON NATIONAL CORP TN 5.02,5.03,9.01 07/17/07
FIRST MERCHANTS CORP IN 2.02,9.01 06/30/07
FIRST NATIONAL CORP /VA/ 2.02,9.01 07/19/07
FIRST STATE FINANCIAL CORP/FL 2.02 07/19/07
FLEETWOOD ENTERPRISES INC/DE/ DE 8.01 07/20/07
FMC TECHNOLOGIES INC DE 8.01,9.01 07/18/07
FSONA SYSTEMS CORP. NV 5.02 07/19/07
FULL HOUSE RESORTS INC DE 5.02,9.01 07/17/07
GENTA INC DE/ DE 8.01,9.01 07/19/07
GEORESOURCES INC CO 1.01,3.02,9.01 07/16/07
GEORGIA GULF CORP /DE/ DE 2.02,7.01,9.01 07/19/07
GILEAD SCIENCES INC DE 8.01 07/19/07
GLOBAL AIRCRAFT SOLUTIONS, INC. AZ 5.02,9.01 07/20/07
GOLDEN TELECOM INC DE 8.01,9.01 07/16/07
GOLF TRUST OF AMERICA INC MD 2.01,8.01,9.01 07/16/07
Google Inc. DE 8.01,9.01 07/20/07
GPS INDUSTRIES, INC. NV 5.02 07/16/07
GRAMERCY CAPITAL CORP MD 2.02,7.01 07/19/07
GREAT ATLANTIC & PACIFIC TEA CO INC MD 2.02,9.01 07/20/07
Great Lakes Dredge & Dock CORP DE 1.01,2.02,9.01 07/16/07
GTA-IB, LLC FL 2.01,9.01 07/16/07
GULFMARK OFFSHORE INC DE 2.02,9.01 07/20/07
H&R BLOCK INC MO 1.01,2.03,7.01 07/16/07
HANCOCK FABRICS INC DE 7.01,8.01,9.01 07/18/07
HARTFORD LIFE INSURANCE CO CT 9.01 07/20/07
HEALTH CARE REIT INC /DE/ DE 2.03,9.01 07/16/07
HEARTLAND EXPRESS INC NV 2.02,9.01 06/30/07
HeartWare LTD C3 4.02 07/13/07
HERITAGE BANKSHARES INC /VA VA 2.02,9.01 07/19/07
HERITAGE OAKS BANCORP CA 8.01,9.01 07/18/07
HI/FN INC DE 2.02,9.01 06/30/07
HIGHLANDS BANKSHARES INC /WV/ WV 2.02,9.01 07/20/07
HINES HORTICULTURE INC DE 5.02 07/17/07
HINES REAL ESTATE INVESTMENT TRUST IN 2.01,9.01 06/28/07 AMEND
HOMELAND ENERGY SOLUTIONS LLC 1.01,7.01,9.01 07/18/07
HUB GROUP INC DE 2.02,9.01 06/30/07
HUGOTON ROYALTY TRUST TX 2.02,9.01 07/20/07
HUNTINGTON BANCSHARES INC/MD MD 5.02 06/20/07 AMEND
ICO INC TX 7.01,9.01 07/20/07
IMAX CORP A6 2.02,9.01 07/20/07
INDUSTRIAL MINERALS INC DE 3.02 07/16/07
INFORM WORLDWIDE HOLDINGS INC FL 1.01,3.02,9.01 07/11/07
INSWEB CORP DE 2.02,9.01 07/19/07
INTEGRATED PHARMACEUTICALS INC 5.02,9.01 07/19/07
INTEGRATED SURGICAL SYSTEMS INC DE 5.02 07/16/07 AMEND
INTERFACE INC GA 2.01,2.05,7.01,9.01 07/16/07
International Coal Group, Inc. DE 1.01,2.02,2.03,7.01,9.01 07/16/07
INTERSTATE BAKERIES CORP/DE/ DE 5.02,9.01 07/16/07
INTERVOICE INC TX 4.01,9.01 07/17/07
INVERNESS MEDICAL INNOVATIONS INC DE 8.01,9.01 07/20/07
INVERNESS MEDICAL INNOVATIONS INC DE 2.01,9.01 06/26/07 AMEND
ISLE OF CAPRI CASINOS INC DE 2.02,9.01 07/16/07
ISLE OF CAPRI CASINOS INC DE 5.02,9.01 07/16/07
ITC DELTACOM INC DE 1.01,1.02,3.02 07/16/07
J.P. Morgan Chase Commercial Mortgage DE 8.01,9.01 07/05/07
JEFFERSON BANCSHARES INC TN 1.01,5.02 07/16/07
JOURNAL REGISTER CO DE 2.02,7.01,9.01 07/20/07
JUPITERMEDIA CORP DE 1.01,2.01,7.01,9.01 07/17/07
KELLWOOD CO DE 5.02,9.01 07/17/07
KINDER MORGAN ENERGY PARTNERS L P DE 1.01,9.01 07/20/07
KINDER MORGAN ENERGY PARTNERS L P DE 9.01 03/21/07 AMEND
KINDER MORGAN MANAGEMENT LLC DE 1.01,5.03,9.01 07/20/07
KINETIC CONCEPTS INC /TX/ TX 9.01 06/30/07
KNIGHT INC. KS 1.01,9.01 07/17/07
LASERCARD CORP DE 2.01,9.01 07/19/07
LEAPFROG ENTERPRISES INC 5.02,8.01,9.01 05/01/07
LINCOLN ELECTRIC HOLDINGS INC OH 8.01,9.01 07/20/07
LIQUIDMETAL TECHNOLOGIES INC 8.01 07/17/07
LITHIUM TECHNOLOGY CORP DE 1.01,2.03,9.01 07/16/07
LOCAL.COM DE 2.01,8.01,9.01 07/18/07
LTV CORP DE 8.01,9.01 07/20/07
Lusora Healthcare Systems Inc. 1.02,5.02 07/17/07
M WAVE INC DE 1.01,8.01,9.01 07/20/07
MAIN STREET TRUST INC IL 2.02,8.01,9.01 07/20/07
MANTECH INTERNATIONAL CORP DE 2.01,9.01 05/07/07 AMEND
MARWICH II LTD CO 1.01,9.01 07/19/07
MATTHEWS INTERNATIONAL CORP PA 2.02,9.01 07/19/07
MERCHANTS BANCSHARES INC DE 2.02,9.01 07/19/07
METROMEDIA INTERNATIONAL GROUP INC DE 2.02,9.01 07/20/07
Mezey Howarth Racing Stables, Inc. NV 8.01 07/20/07
MFB CORP IN 8.01 06/30/07
MGN TECHNOLOGIES, INC. A1 1.01,3.02,9.01 07/18/07
MIDWESTONE FINANCIAL GROUP INC IA 2.02,9.01 07/20/07
Morgan Stanley ABS Capital I Inc. Tru DE 8.01,9.01 05/03/07 AMEND
Morgan Stanley Mortgage Loan Trust 20 DE 1.01 06/29/07
Morgan Stanley Mortgage Loan Trust 20 1.01 06/29/07
MOSCOW CABLECOM CORP DE 8.01 07/20/07
MS STRUCTURED SATURNS SERIES 2001-7 DE 8.01 07/18/07
MS STRUCTURED SATURNS SERIES 2002-5 DE 8.01 07/18/07
MSC-Medical Services CO FL 5.02,9.01 07/16/07
MTC TECHNOLOGIES INC DE 2.02,9.01 07/18/07
MTM Technologies, Inc. NY 5.02 07/16/07
MUTUALFIRST FINANCIAL INC MD 2.02,9.01 07/20/07
NATIONAL SEMICONDUCTOR CORP DE 1.01,2.03,9.01 07/20/07
NEPHROS INC DE 4.01,8.01,9.01 07/16/07
NETWORK APPLIANCE INC CA 1.01,2.03 07/17/07
NEW WORLD BRANDS INC DE 1.01,9.01 07/18/07
NEWMARKET CORP VA 8.01,9.01 07/20/07
NextMart Inc. DE 2.02,5.02 07/16/07
NORCROSS SAFETY PRODUCTS LLC DE 5.02,9.01 06/20/07
NORTH AMERICAN TECHNOLOGIES GROUP INC 5.02 07/18/07
NOVASTAR FINANCIAL INC MD 1.01,3.02,3.03,5.02,5.03,9.01 07/16/07
NOVELOS THERAPEUTICS, INC. DE 5.03,9.01 07/16/07
NPS PHARMACEUTICALS INC DE 5.02,8.01,9.01 07/19/07
NRG ENERGY, INC. DE 1.01,9.01 07/19/07
NUTRI SYSTEM INC /DE/ DE 5.02 07/19/07
NVR INC VA 2.02,9.01 07/20/07
O2DIESEL CORP 1.01,3.02,9.01 07/06/07 AMEND
OCCAM NETWORKS INC/DE DE 3.01 07/17/07
OCCIDENTAL PETROLEUM CORP /DE/ DE 5.02,9.01 07/18/07
OLD SECOND BANCORP INC DE 2.02,9.01 07/20/07
ONEOK INC /NEW/ OK 8.01,9.01 07/20/07
optionsXpress Holdings, Inc. DE 2.02,9.01 07/19/07
Orange 21 Inc. DE 7.01,9.01 07/19/07
OSAGE BANCSHARES, INC. MD 2.02,8.01,9.01 07/20/07
OXFORD MEDIA, INC. NV 1.01,2.03,2.04,3.02,3.03,5.02, 07/16/07
9.01
PALMETTO BANCSHARES INC SC 2.02,9.01 07/18/07
PARTNERS TRUST FINANCIAL GROUP INC 2.02 06/30/07
PATAPSCO BANCORP INC MD 2.02,9.01 07/19/07
PATRIOT NATIONAL BANCORP INC CT 2.02,9.01 07/19/07
PAWFECT FOODS INC 5.01 07/17/07
PENNSYLVANIA COMMERCE BANCORP INC 2.02,9.01 07/19/07
PENWEST PHARMACEUTICALS CO WA 1.01 07/16/07
People's United Financial, Inc. DE 7.01,9.01 07/19/07
People's United Financial, Inc. DE 2.02,9.01 07/19/07
PEOPLES BANCORPORATION INC /SC/ SC 2.02,5.02,9.01 07/18/07
PEOPLES FINANCIAL SERVICES CORP/ PA 9.01 06/30/07
PEOPLES SIDNEY FINANCIAL CORP DE 2.02,8.01,9.01 07/19/07
PLUM CREEK TIMBER CO INC DE 5.02 07/17/07
PNM RESOURCES INC NM 5.02 07/20/07
POGO PRODUCING CO DE 1.01,3.03,9.01 07/17/07
POWER AIR CORP NV 1.01,3.02,9.01 07/16/07
POWER TECHNOLOGY INC/CN NV 3.02 07/12/07
PREMIER EXHIBITIONS, INC. 5.02 07/19/07
PREMIER EXHIBITIONS, INC. 9.01 04/11/06 AMEND
PROSPERITY BANCSHARES INC TX 2.02,9.01 07/20/07
PSS WORLD MEDICAL INC FL 2.02,7.01,9.01 07/20/07
PUBLICARD INC PA 7.01,9.01 07/17/07
QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 2.03,3.02 07/16/07
QUEST RESOURCE CORP NV 7.01,9.01 07/20/07
QUESTCOR PHARMACEUTICALS INC CA 5.02,8.01,9.01 07/16/07
Quintana Maritime LTD 1T 1.01,2.01,2.03 07/16/07
RANGE RESOURCES CORP DE 8.01,9.01 07/17/07
ReAble Therapeutics Finance LLC DE 1.01,9.01 07/15/07
RECLAMATION CONSULTING & APPLICATIONS CO 1.01,2.03,3.02,5.01,9.01 04/26/07
RED ROBIN GOURMET BURGERS INC DE 8.01 07/16/07
Redpoint Bio CORP 8.01,9.01 07/20/07
RENAISSANCERE HOLDINGS LTD 5.02,9.01 07/18/07
REPUBLIC BANCORP INC /KY/ KY 2.02,9.01 07/20/07
RURBAN FINANCIAL CORP OH 2.02,7.01,9.01 07/18/07
Safety Products Holdings, Inc. DE 5.02,9.01 06/20/07
SAIC, Inc. DE 8.01,9.01 07/20/07
SAMARITAN PHARMACEUTICALS INC NV 8.01,9.01 07/20/07
SANTA FE ENERGY TRUST TX 8.01,9.01 07/18/07
SBD International, Inc FL 8.01,9.01 07/20/07
SBE INC DE 1.01,9.01 07/19/07
SCHLUMBERGER LTD /NV/ P8 2.02,9.01 07/20/07
SEACHANGE INTERNATIONAL INC DE 5.02,9.01 07/18/07
SEAGATE TECHNOLOGY E9 8.01,9.01 07/19/07
Seligman LaSalle International Real E MD 8.01 07/20/07
SELIGMAN NEW TECHNOLOGIES FUND, INC 7.01 07/20/07
SGS International, Inc. DE 4.01,9.01 07/16/07
Shea Development Corp. 5.03,9.01 07/12/07
Shea Development Corp. 1.01,2.01,2.03,3.02,3.03,5.02, 07/16/07
7.01,9.01
Shire plc 8.01,9.01 07/18/07
SILGAN HOLDINGS INC DE 2.02,9.01 07/18/07
SILICON LABORATORIES INC DE 5.02,9.01 07/19/07
SIMON WORLDWIDE INC DE 8.01,9.01 07/19/07
SLADES FERRY BANCORP MA 2.02,9.01 07/20/07
SOLUTION TECHNOLOGY INTERNATIONAL INC 3.02,8.01 07/16/07
SOMERSET INTERNATIONAL GROUP,INC. DE 3.02 07/12/07
SONOCO PRODUCTS CO SC 2.02,9.01 07/20/07
SOUTHERN COMMUNITY FINANCIAL CORP 8.01,9.01 07/20/07
SOUTHWEST AIRLINES CO TX 5.02 07/19/07
STARM Mortgage Loan Trust 2007-S1 DE 1.01 07/17/07
STARRETT L S CO MA 2.01 07/20/07
STATE STREET CORP MA 8.01,9.01 07/20/07
STEPHAN CO FL 5.02 07/16/07
STILLWATER MINING CO /DE/ DE 2.02,9.01 07/19/07
STRATS SM TRUST FOR DAIMLERCHRYSLER N 8.01,9.01 07/16/07
STRATS SM TRUST FOR Goldman Sachs Cap 8.01,9.01 07/16/07
STRATS SM TRUST FOR GOLDMAN SACHS GRO 8.01,9.01 07/16/07
STRATS SM TRUST FOR JPMORGAN CHASE & 8.01,9.01 07/16/07
STRATS SM TRUST FOR WAL-MART STORES, 8.01,9.01 07/16/07
STRATS(SM) TRUST FOR DOMINION RESOURC 8.01,9.01 07/16/07
STRATS(SM) TRUST FOR GEN ELEC CAP COR 8.01,9.01 07/16/07
STRATS(SM) Trust For Goldman Sachs Ca 8.01,9.01 07/16/07
STUDENT LOAN CORP DE 2.02 07/18/07
SUMMIT FINANCIAL GROUP INC WV 1.01,9.01 07/19/07
SUPERVALU INC DE 5.02,9.01 07/19/07
T REIT LIQUIDATING TRUST VA 1.01,2.01,8.01,9.01 07/16/07
TALON INTERNATIONAL, INC. DE 5.03,9.01 07/20/07
Target Credit Card Master Trust DE 8.01,9.01 07/20/07
Target Credit Card Master Trust DE 8.01,9.01 07/20/07
TECO ENERGY INC FL 8.01,9.01 07/20/07
TEKNI PLEX INC DE 1.01,9.01 07/13/07
TELECOM COMMUNICATIONS INC 4.02 07/20/07
TEXOLA ENERGY CORP NV 5.02 07/13/07
THERAVANCE INC DE 8.01,9.01 07/20/07
THERMODYNETICS INC DE 2.02,9.01 07/20/07
THINK PARTNERSHIP INC NV 8.01,9.01 07/20/07
TIFFANY & CO DE 5.03,9.01 07/19/07
Titan Energy Worldwide, Inc. NV 4.01,9.01 07/16/07
TORTOISE CAPITAL RESOURCES CORP 1.01,2.03,9.01 07/18/07
TOWER FINANCIAL CORP IN 9.01 07/20/07
TOWER FINANCIAL CORP IN 2.02,9.01 07/20/07
TransMontaigne Partners L.P. DE 8.01,9.01 07/20/07
TRIBUNE CO DE 5.03,9.01 07/18/07
TRIBUNE CO DE 5.02 05/09/07 AMEND
U S WIRELESS DATA INC DE 5.02 07/16/07
UNITED BANCSHARES INC/OH OH 2.02,7.01,9.01 07/20/07
United States Natural Gas Fund, LP 7.01,9.01 06/30/07
United States Oil Fund, LP DE 7.01,9.01 06/30/07
UNITY BANCORP INC /NJ/ NJ 2.02,9.01 07/19/07
URANERZ ENERGY CORP. NV 8.01,9.01 07/18/07
URANERZ ENERGY CORP. NV 8.01,9.01 07/19/07
US CONCRETE INC DE 2.02,9.01 07/20/07
US DRY CLEANING CORP DE 7.01,9.01 07/17/07
VENTANA MEDICAL SYSTEMS INC DE 2.02,9.01 07/19/07
VENTURE FINANCIAL GROUP INC WA 8.01,9.01 07/19/07
VIASPACE Inc. NV 8.01 07/16/07
Visiphor CORP A1 1.01,7.01 07/12/07
Vivid Learning Systems, Inc. DE 5.02 07/20/07
Volkswagen Auto Lease Trust 2005-A 8.01,9.01 07/20/07
VOLKSWAGEN AUTO LOAN ENHANCED TRUST 2 DE 8.01,9.01 07/20/07
Volkswagen Auto Loan Enhanced Trust 2 8.01,9.01 07/20/07
VOLKSWAGEN DEALER FINANCE LLC DE 8.01,9.01 07/20/07
VONAGE HOLDINGS CORP DE 5.02,9.01 07/18/07
Voyager Petroleum, Inc. NV 1.01,9.01 07/18/07
Vyteris Holdings (Nevada), Inc. NV 7.01,9.01 07/19/07
WABCO Holdings Inc. DE 1.01,8.01,9.01 07/16/07
WACHOVIA CORP NEW NC 2.02,8.01,9.01 07/20/07
WATSCO INC FL 2.02,7.01,9.01 07/20/07
Watson Wyatt Worldwide, Inc. DE 1.01 07/16/07
WERNER ENTERPRISES INC NE 2.02,9.01 07/18/07
WESBANCO INC WV 1.01,7.01,9.01 07/19/07
WHEELING PITTSBURGH CORP /DE/ DE 5.02 07/17/07
WHIRLPOOL CORP /DE/ DE 2.02,9.01 07/20/07
WHOLE FOODS MARKET INC TX 8.01,9.01 07/20/07
Wilber CORP 8.01 07/20/07
WILLIAMS COMPANIES INC DE 7.01,9.01 07/20/07
WILLIS GROUP HOLDINGS LTD D0 8.01 07/17/07
WILMINGTON TRUST CORP DE 2.02 07/20/07
WILSHIRE ENTERPRISES INC DE 8.01,9.01 07/19/07
WINMARK CORP MN 2.02,7.01,9.01 07/19/07
WITS BASIN PRECIOUS MINERALS INC MN 7.01,9.01 07/17/07
WOLVERINE TUBE INC DE 1.01,9.01 07/18/07
WRIGHT MEDICAL GROUP INC DE 5.02 07/16/07
YADKIN VALLEY FINANCIAL CORP NC 8.01,9.01 07/20/07
YOUBET COM INC DE 2.02,9.01 07/20/07
ZUNICOM INC TX 4.01,9.01 06/25/07 AMEND
http://www.sec.gov/news/digest/2007/dig072307.htm
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