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SEC NEWS DIGEST
Issue 2007-137 July 18, 2007
ENFORCEMENT PROCEEDINGS
IN THE MATTER OF JAY BOLDING, CPA
On July 17, 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 Jay Bolding (Bolding), a certified public accountant whose
licenses to practice in Kansas and Tennessee has lapsed. Bolding
served as corporate comptroller to ConAgra Foods, Inc. (ConAgra) from
March 1999 until approximately April 2004.
On July 6, a Final Judgment signed by Judge Richard P. Matsch was
entered in the U.S. District Court for Colorado, which permanently
enjoins Bolding, by consent, from future violations of Securities
Exchange Act of 1934 (Exchange Act) Rule 13b-2-1, and from aiding and
abetting violations of Sections 13(a), 13(b)(2)(A) and 13b(2)(B) of
the Exchange Act and Exchange Act Rules 12b-20, 13a-1 and 13a-13. The
Court ordered the injunction based on allegations in the Commission's
complaint in the matter of Securities and Exchange Commission v. James
P. O'Donnell, et al., (U.S. District Court for Colorado, Civil Action
No. 07-cv-01373-RPM-MJW, filed June 29, 2007). The Commission's
complaint alleged, among other things, that Bolding directed ConAgra's
improper accounting for excess reserves in fiscal year 2000, that he
knew, or should have known, about ConAgra's improper accounting for
excess reserves in fiscal year 2001, that he did not ensure that
ConAgra properly accounted for its income tax expense in fiscal year
1999 and that he should have known that ConAgra's disclosure in note
14 to the financial statements regarding the reduction of it income
tax expense in its Form 10-K for fiscal year 1999 was inaccurate. The
complaint further alleged that Bolding was aware of improper
accounting practices at United Agri Products, a subsidiary of ConAgra,
involving the improper recognition of revenue and the failure to
record adequate bad debt expense in fiscal year 2000. As a result of
the improper accounting, which was not in accordance with GAAP,
certain of ConAgra's filings with the Commission between 1999 and the
third quarter of fiscal year 2001 were materially false and misleading
because they overstated ConAgra's reported income before income taxes,
net income and earnings per share. Additionally, ConAgra's
registration statement related it its proposed merger with
International Home Foods, Inc., filed on Forms S-4 and S-4/A in June
and July of 2000, respectively, were materially false and misleading.
Based on the Court's entry of an injunction against Bolding, the
Commission ordered that Bolding is suspended from appearing or
practicing before the Commission as an accountant with the right to
seek reinstatement after one year. Bolding consented to the issuance
of the Order without admitting or denying any of the findings in the
Order except as to the Commission's jurisdiction over him, the subject
matter of the Proceedings, and the fact that the federal court entered
the injunction against him. (Rel. 34-56087; AAE Rel. 2640; File No. 3-
12698)
SEC INSTITUTES SETTLED CEASE-AND-DESIST PROCEEDINGS AGAINST SOFTWARE
COMPANY AND TWO INDIVIDUALS FOR REVENUE RECOGNITION
On July 17, the Commission issued a settled cease-and-desist order
against Quovadx, Inc., a software company headquartered in Colorado,
for fraudulent revenue recognition. The Commission also issued settled
cease-and-desist proceedings against Ronald Renjilian, one of
Quovadx's sales persons, and Paul Davis, the principal of one of the
customers that had entered into improper transactions with Quovadx.
The Commission issued an Order Instituting Cease-and-Desist
Proceedings, Making Findings, and Imposing a Cease-and-Desist Order
Pursuant to Section 8A of the Securities Act of 1933 and Section 21C
of the Securities Exchange Act of 1934 against Quovadx, Inc. (the
Quovadx Order). The Quovadx Order finds that, between 2002 and 2003,
Quovadx improperly recognized over $12 million in revenue from
software licensing deals with four of its customers. As a result,
Quovadx materially overstated its software licensing revenues in its
quarterly reports by amounts ranging from 10% in the third quarter of
2002 to nearly 180% by the third and fourth quarters of 2003. Quovadx
has been ordered to cease and desist from committing or causing any
violations and any future violations of Section 17(a) of the
Securities Act and Sections 10(b), 13(a), 13(b)(2)(A) and 13(b)(2)(B)
of the Exchange Act and Rules 10b-5, 12b-20, 13a-1, 13a-11, and 13a-13
thereunder. Quovadx consented to the issuance of the order without
admitting or denying any of the findings, except as to the
Commission's jurisdiction over it and the subject matter of these
proceedings, which are admitted.
The Commission also issued an Order Instituting Cease-and-Desist
Proceedings, Making Findings, and Imposing a Cease-and-Desist Order
Pursuant to Section 21C of the Securities Exchange Act of 1934 against
Ronald Renjilian (the Renjilian Order). The Renjilian Order finds that
Renjilian, the former Head of Emerging Market Sales at Quovadx, was a
cause of Quovadx's reporting violations involving transactions with
two of the customers. Renjilian has been ordered to cease and desist
from causing any violations and any future violations of Section 13(a)
of the Exchange Act and Rules 12b-20, 13a-1, 13a-11, and 13a-13
thereunder. Renjilian consented to the issuance of the order without
admitting or denying any of the findings, except as to the
Commission's jurisdiction over it and the subject matter of these
proceedings, which are admitted.
The Commission also issued an Order Instituting Cease-and-Desist
Proceedings, Making Findings, and Imposing a Cease-and-Desist Order
Pursuant to Section 21C of the Securities Exchange Act of 1934 against
Paul Davis (the Davis Order). The Davis Order finds that Davis, the
principal of one of the customers involved, was a cause of Quovadx's
reporting violations in connection with that customer. Based on the
above, Davis has been ordered to cease and desist from causing any
violations and any future violations of Section 13(a) of the Exchange
Act and Rules 12b-20, 13a-11, and 13a-13 thereunder. Davis consented
to the issuance of the order without admitting or denying any of the
findings, except as to the Commission's jurisdiction over it and the
subject matter of these proceedings, which are admitted.
In related proceedings, the Commission filed a complaint against
Quovadx's former President and CEO and its former CFO, and also filed
settled injunctive actions against the former Controller of Quovadx,
its former Executive Vice-President of Sales, and the principals of
two of the remaining customers. (Quovadx, Inc. - Rels.
33-8825, 34-56082, AAE
Rel. 2637, File No. 3-12695; Ronald Renjilian - Rel.
34-56083, AAE Rel.
2638, File No. 3-12696; Paul Davis -Rel.
34-56084, AAE Rel.
2639, File No. 3-12697); [SEC v. Lorine Sweeney and Gary Scherping,
Civ. No. 07-CV-01511 (WYD-MEH) (D. Colo.); SEC v. Ilona Kay Collins,
Civ. No. 07-CV-01506 (WDM-MEH) (D. Colo.); SEC v. David Eric Nesvisky,
Civ. No. 07-CV-01509 (REB-CBS) (D. Colo.); SEC v. Robert Allen Diehl,
Civ. No. 07-CV-01507 (RPM-CBS) (D. Colo.); SEC v. Madhavan Sivathanu
Pillai, Civ. No. 1:07-CV-01273 (RMC) (D.D.C.)]
(LR-20197; AAE Rel.
2641)
SEC SETTLES CIVIL INJUNCTIVE ACTION AGAINST SERIAL SPAMMER SAMUEL
AARON MELTZER
On July 16, a consent and final judgment against Samuel Aaron Meltzer
was entered by the U.S. District Court for the Eastern District of New
York. Meltzer was charged in a previously-filed action with securities
fraud in connection with his stock-related spamming activities.
Meltzer consented to the entry of the final judgment, without
admitting or denying the allegations of the Commission's complaint,
except as to jurisdiction.
The complaint, filed Feb. 18, 2003, alleged that Meltzer, a
professional Internet spammer, used the Internet to commit securities
fraud. In return for compensation from stock promoters and issuers,
Meltzer sent millions of unsolicited emails and created numerous
websites to promote various penny stocks. The SEC's complaint alleged
that Meltzer's spam and websites made false and misleading
representations about the stock he helped to promote. Between 1998 and
2001, Meltzer touted the stocks of at least twelve issuers and
received at nearly $160,000 in stock and cash as ill-gotten gains as a
result of his fraudulent conduct.
The final judgment against Meltzer permanently enjoins Meltzer from
violating the antifraud provisions of the federal securities laws,
Section 17(a) of the Securities Act of 1933, Section 10(b) of the
Securities Exchange Act of 1934 (Exchange Act), and Exchange Act Rule
10b-5. The judgment also imposes a penny stock bar against Meltzer. In
addition, Meltzer was ordered to pay disgorgement in the amount of
$159,619.62 with prejudgment interest in the amount of 89,045.70, for
a total of $248,665.32, but payment was waived for the amount
exceeding $25,000, and civil penalties were not imposed, based on
Meltzer's sworn representations regarding his financial condition.
[SEC v. Samuel Aaron Meltzer, Civil Action No. CV 03 770 (Judge Denis
R. Hurley) (E.D.N.Y.)] (LR-20198)
SEC FILES SETTLED ACCOUNTING FRAUD CHARGES AGAINST THE FORMER CFO AND
FORMER CONTROLLER OF OM GROUP, INC. AND FORMER CONTROLLER OF OMG
AMERICAS AND ALSO FILES SETTLED CEASE-AND-DESIST PROCEEDINGS AGAINST
OM GROUP, INC.
On July 18, the Commission filed civil fraud charges in the U.S.
District Court for the District of Columbia against James Materna, the
former chief financial officer of OM Group, John Holtzhauser, the
former controller of OM Group, and Paul Venesky, the former controller
of OMG Americas, a subsidiary. According to the complaint, Materna and
Holtzhauser engaged in accounting fraud by recording and directing
numerous adjustments to the consolidated financials (top-side
adjustments), which were wholly unsupported and often duplicative of
entries already recorded at the operating unit level. The complaint
alleges that Venesky made improper accounting entries at OMG Americas.
According to the complaint, the improper accounting practices were
done with the intent to manage earnings. The scheme resulted in the
filing of materially false and misleading financial statements in the
company's annual report on Form 10-K for the fiscal years ended Dec.
31, 2001 and Dec. 31, 2002, and in the company's quarterly reports on
Form 10-Q for the first three quarters of 2002, and the fourth quarter
results on Form 10-K, and the first three quarters of 2003 filed on
Form 10-Q. In March 2005, after conducting an internal investigation,
OM Group issued a restatement reducing its retained earnings for the
relevant period by $64 million as a result of the fraud. The
Commission's complaint charges Materna and Holtzhauser with violating,
among others, the antifraud provisions of the federal securities laws.
The Commission's complaint charges Venesky with aiding and abetting
violations of the antifraud provisions, among others. On July 18,
2007, the Commission issued a settled cease-and-desist order that
finds that OM Group violated the antifraud, reporting, books and
records, and internal controls provisions. OM Group produces value-
added, metal based specialty chemicals and related materials.
According to the Commission's complaint, at the end of each quarter
and fiscal year, OM Group consolidated the financial statements of its
operating entities into one consolidated financial statement, which
was reported on OM Group's Forms 10-K and 10-Q. During the close
process, Holtzhauser and Materna made more than 700 top-side
adjustments to OM Group's consolidated financial statement. The
adjustments were across the divisions and the support for the
adjustments was either inadequate or did not exist. Many of the
improper accounting practices included, among other things,
overcapitalizing overhead costs, inflated inventory recovery yields,
improper supplier receivables and interest receivables, duplicating
entries already made at the operating unit level, recording inaccurate
inventory estimates, and recording expenses out of period. Venesky,
the Controller of OMG Americas, was responsible for consolidating OMG
Americas' financial results. Venesky used inaccurate estimates to
record inventory. More often than not, Venesky's estimates increased
following feedback from Holtzhauser and Materna.
E-mails reflect the intent to adjust numbers to meet earnings targets
or to enhance OM Group's performance. E-mails also show that there was
a concerted effort by Materna, Holtzhauser, and Venesky to conceal
material information from auditors. In one e-mail, Venesky wrote to
Materna and Holtzhauser that "My concern about inventory is that going
too heavy in WIP [work-in-process] or others will trigger even greater
scrutiny. Truth is, we have a fresh set of auditors, and I have no
idea how much conversational auditing this group will take…." The
documents also reflect a pattern of recording almost random round
numbers to journal entries to try to manage earnings, and to look for
"other candidates," i.e., other accounting categories in which to make
more adjustments. In addition, certain journal entries were made at
locations that auditors would not likely visit during audits. During
the relevant period, OM Group did not have an adequate system of
internal controls that would detect and prevent the improper
accounting practices.
Materna and Holtzhauser, without admitting or denying the allegations
in the Commission's complaint, each consented to the entry of a final
judgment permanently enjoining each from violating Section 17(a) of
the Securities Act, and Sections 10(b) and 13(b)(5) of the Exchange
Act and Rules 10b-5, 13b2-1, and 13b2-2 thereunder, and aiding and
abetting violations of Sections 13(a), 13(b)(2)(A), and 13(b)(2)(B) of
the Exchange Act and Rules 12b-20, 13a-1, 13a-11, and 13a-13
thereunder; imposes a $100,000 civil penalty; and a five-year officer-
and-director bar; and consented to the issuance of an order imposing a
five-year 102(e) suspension. Holtzhauser will also pay disgorgement of
$76,707. Venesky, without admitting or denying the allegations in the
Commission's complaint, consented to the entry of a final judgment
permanently enjoining him from aiding and abetting violations of
Section 10(b), 13(a), 13(b)(2)(A), 13(b)(2)(B), and 13(b)(5) of the
Exchange Act and Rules 10b-5, 12b-20, 13a-1, 13a-11, and 13a-13
thereunder, and violating Rules 13b2-1 and 13b2-2 thereunder, and
imposing a $25,000 civil penalty; and consented to the issuance of an
order imposing a three-year 102(e) suspension. OM Group consented,
without admitting or denying the findings by the Commission, to an
order to cease-and-desist from committing any future violations of
Section 17(a) of the Securities Act and Sections 10(b), 13(a),
13(b)(2)(A), and 13(b)(2)(B) of the Exchange Act, and Rules 10b-5,
12b-20, 13a-1, 13a-11, and 13a-13 thereunder.
The Commission considered remedial acts promptly undertaken by OM
Group and cooperation afforded the Commission staff. [SEC v. James M.
Materna, John R. Holtzhauser, and Paul R. Venesky, 1:07-CV-01274
(D.D.C.) HHK] (LR-20199; AAE Rel.. 2642)
INVESTMENT COMPANY ACT RELEASES
PRINCIPAL VARIABLE CONTRACTS FUND, INC., ET AL.
An order has been issued on an application filed by Principal Variable
Contracts Fund, Inc. (Fund) and Principal Management Corporation
(Adviser and together with the Fund, Applicants) pursuant to Section
6(c) of the Investment Company Act granting exemptions from the
provisions of Sections 9(a), 13(a), 15(a), and 15(b) of the Act and
Rules 6e-2(b)(15) and 6e-3(T)(b)(15) thereunder, to the extent
necessary to permit shares of the Fund and shares of any investment
company that is designed to fund insurance products and for which the
Adviser or any of its affiliates, may serve in the future as
investment adviser, investment manager, subadviser, administrator,
principal underwriter or sponsor (Future Funds) (the Fund, together
with Future Funds, Insurance Funds) to be sold to and held by: (a)
separate accounts funding variable annuity contracts and variable life
insurance policies issued by both affiliated life insurance companies
and unaffiliated life insurance companies; (b) trustees of qualified
group pension and group retirement plans outside of the separate
account context; (c) separate accounts that are not registered as
investment companies under Section 3(c) of the Act; (d) the Adviser or
any successor in interest to the Adviser for the purpose of providing
seed capital to Insurance Funds; and (e) any other account of a
Participating Insurance Company (General Account). (Rel. IC-27887 -
July 17)
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A proposed rule change (SR-NASDAQ-2007-062) filed by The NASDAQ Stock
Market to exclude partial trading days from the calculation of a
member's average daily volume 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 July 16.
(Rel. 34-56068)
A proposed rule change (SR-BSE-2007-36) filed by the Boston Stock
Exchange to permit the listing and trading of quarterly options series
has become immediately 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 July 23. (Rel. 34-56086)
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>.
SB-2 BINGO.COM LTD., NATIONAL BANK OF ANGUILLA CORP. BUILDING,
1ST FLOOR, ST. MARY, THE VALLEY, 1A, 0000000, 264 497 8129 -
9,000,000 ($2,700,000.00) Equity, (File 333-144624 - Jul. 17) (BR. 05A)
S-4 RSC Equipment Rental, Inc., 6929 E. GREENWAY PARKWAY, SUITE 200,
SCOTTSDALE, AZ, 85254, 480-348-5918 -
620,000,000 ($620,000,000.00) Non-Convertible Debt, (File 333-144625 -
Jul. 17) (BR. 06)
F-8 TECK COMINCO LTD, 200 BURRARD STREET STE 600,
VANCOUVER BRITISH COLUMBIA CANADA, V6C 3L9, A1, 604 687 1117 -
0 ($973,542,944.00) Other, (File 333-144629 - Jul. 17) (BR. 04C)
S-3 Answers CORP, 237 W. 35TH STREET, SUITE 1101, NEW YORK, NY, 10001,
646-502-4777 - 0 ($140,000,000.00) Other, (File 333-144630 - Jul. 17)
(BR. 03B)
S-3D Apple REIT Seven, Inc., 814 EAST MAIN STREET, RICHMOND, VA, 23219,
804.344.8121 - 0 ($110,000,000.00) Other, (File 333-144631 - Jul. 17)
(BR. 08A)
S-8 STEINWAY MUSICAL INSTRUMENTS INC, 800 SOUTH STREET, SUITE 305, WALTHAM,
MA, 02453-1472, 7818949770 - 0 ($47,931,800.00) Equity,
(File 333-144632 - Jul. 17) (BR. 05C)
SB-2 DELTA OIL & GAS INC, 2600 144TH 4TH AVE S.W., CALGARY, A0, T2P 3N4,
866-355-3644 - 13,530,000 ($7,441,500.00) Equity, (File 333-144633 -
Jul. 17) (BR. 04A)
S-3 COMPOSITE TECHNOLOGY CORP, 2026 MCGRAW AVE, IRVINE, CA, 92614,
(949) 428-8500 - 0 ($77,452,131.08) Debt, (File 333-144635 - Jul. 17)
(BR. 10A)
S-8 INSULET CORP, 9 OAK PARK DRIVE, BEDFORD, MA, 01730, (781) 457-5000 -
3,600,941 ($24,534,246.00) Equity, (File 333-144636 - Jul. 17) (BR. 10)
S-8 DISPATCH AUTO PARTS, INC., 391 HUA YU LANE, DONG XIN STREET, XI'AN, F4,
50000, 585-586-5573 - 5,000,000 ($3,400,000.00) Equity,
(File 333-144637 - Jul. 17) (BR. 06A)
SB-1 Forte Metals, Inc., 4275 ST. PAULS AVE., NORTH VANCOUVER, A1, V7N 1T4,
604 685 7551 - 2,500,000 ($25,000.00) Equity, (File 333-144638 -
Jul. 17) (BR. 04)
S-8 GREATER CHINA MEDIA & ENTERTAINMENT CORP. (formerly AGA Resources, Inc.),
10/F, BUILDING A, TONGYONGGUOJI CENTER, NO. 3 JIANGUOMENWAI ROAD,,
CHAOYANG DISTRICT, BEIJING, F4, 100101, 86-10-5921-2222 -
5,000,000 ($800,000.00) Equity, (File 333-144641 - Jul. 17) (BR. 04)
F-6 INVERSIONES AGUAS METROPOLITANAS S.A., AV. EL GOLF 40,
PISO 13, LAS CONDES, SANTIAGO, F3, 00000,
50,000,000 ($2,500,000.00) ADRs/ADSs, (File 333-144642 - Jul. 17) (BR. )
S-8 GREATER CHINA MEDIA & ENTERTAINMENT CORP. (formerly AGA Resources, Inc.),
10/F, BUILDING A, TONGYONGGUOJI CENTER, NO. 3 JIANGUOMENWAI ROAD,,
CHAOYANG DISTRICT, BEIJING, F4, 100101, 86-10-5921-2222 -
5,000,000 ($800,000.00) Equity, (File 333-144643 - Jul. 17) (BR. 04)
S-8 HAYES LEMMERZ INTERNATIONAL INC, 15300 CENTENNIAL DRIVE, NORTHVILLE,
MI, 48167, 7347375084 - 6,000,000 ($35,100,000.00) Equity,
(File 333-144644 - Jul. 17) (BR. 05B)
SB-2 MICRO MAMMOTH SOLUTIONS INC, 1511 DODD ROAD, WINTER PARK, FL, 32792,
3,534,000 ($176,700.00) Equity, (File 333-144645 - Jul. 17) (BR. 08)
SB-2 EAU TECHNOLOGIES, INC., 1464 WEST 40 SOUTH STE 200, LINDON, UT,
84042-1629, 801-443-1029 - 16,618,318 ($17,449,234.00) Equity,
(File 333-144646 - Jul. 17) (BR. 06C)
S-8 SCIENTIFIC LEARNING CORP, 300 FRANK H. OGAWA PLAZA, STE 600, OAKLAND,
CA, 94612-2040, 5104443500 - 0 ($9,975,000.00) Equity,
(File 333-144656 - Jul. 17) (BR. 11C)
S-4 Fluid Media Networks, Inc., 5813-A UPLANDER WAY, CULVER CITY, CA,
90230, 310-665-9878 - 10,031,286 ($6,263,614.00) Equity,
(File 333-144658 - Jul. 17) (BR. 09)
S-8 POSITRON CORP, 1304 LANGHAM CREEK DRIVE, SUITE 310, HOUSTON, TX, 77048,
2814927100 - 5,000,000 ($450,000.00) Equity, (File 333-144659 -
Jul. 17) (BR. 10C)
N-2 Calamos Global Dynamic Income Fund, 2020 CALAMOS COURT,
C/O CALAMOS ADVISORS LLC, NAPERVILLE, IL, 60563, 630-577-9688 -
0 ($1,000,000.00) Equity, (File 333-144660 - Jul. 17) (BR. 16)
S-8 CITADEL BROADCASTING CORP, 7201 W LAKE MEAD BLVD, SUITE 400, LAS VEGAS,
NV, 89128, 7028048204 - 0 ($93,450,000.00) Equity, (File 333-144661 -
Jul. 17) (BR. 11B)
F-3 China GrenTech CORP LTD, 16TH FLOOR, ZHONGYIN TOWER,
CAITIAN NORTH ROAD, FUTIAN DISTRICT, SHENZHEN, F4, 518026,
(86 755) 8350-1796 - 82,402,850 ($45,206,203.51) ADRs/ADSs,
(File 333-144662 - Jul. 17) (BR. 11C)
S-3 APPLIED DIGITAL SOLUTIONS INC, 1690 SOUTH CONGRESS AVENUE, SUITE 200,
DELRAY BEACH, FL, 33445, 561-805-8000 -
2,499,392 ($3,374,179.20) Equity, (File 333-144663 - Jul. 17) (BR. 11B)
S-1 VENTURE FINANCIAL GROUP INC, 721 COLLEGE STREET, P O BOX 3800, LACEY,
WA, 98509, 3604591100 - 0 ($46,000,000.00) Equity, (File 333-144664 -
Jul. 17) (BR. 07A)
S-3 BIOSANTE PHARMACEUTICALS INC, 8474780500 - 0 ($25,241,930.00) Equity,
(File 333-144665 - Jul. 17) (BR. 01C)
SB-2 Energy Quest Inc., 850 SOUTH BOULDER HWY, SUITE 169, HENDERSON, NV,
89015-7564, 888-277-3484 - 1,679,000 ($5,037,000.00) Equity,
(File 333-144666 - Jul. 17) (BR. 04C)
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
-----------------------------------------------------------------------------------------------------
5 G WIRELESS COMMUNICATIONS INC NV 8.01 07/11/07
ABLEAUCTIONS COM INC FL 8.01,9.01 07/16/07
ABRAXAS PETROLEUM CORP NV 7.01,9.01 07/17/07
ABX AIR INC 7.01,9.01 07/17/07
ACTIVISION INC /NY DE 5.02 07/11/07
ADA-ES INC CO 7.01,9.01 07/17/07
ADTRAN INC DE 2.02,9.01 07/16/07
ADVANCED CELL TECHNOLOGY, INC. DE 8.01 07/13/07
AFFORDABLE RESIDENTIAL COMMUNITIES IN MD 1.01,9.01 07/17/07
AFV SOLUTIONS, INC. NV 1.01,5.02,9.01 06/01/07
AIRTRAN HOLDINGS INC NV 7.01,8.01,9.01 07/16/07
AIRTRAN HOLDINGS INC NV 1.01,2.03,8.01 07/16/07
AIRTRAN HOLDINGS INC NV 7.01,8.01,9.01 07/16/07 AMEND
ALICO INC FL 2.02,9.01 07/16/07
ALTERA CORP DE 5.03,9.01 07/11/07
Altus Pharmaceuticals Inc. DE 8.01 07/17/07
AMALGAMATED ACQUISITION CORP. DE 7.01,9.01 07/17/07
AMB PROPERTY CORP MD 2.02,7.01,9.01 07/17/07
AMB PROPERTY LP DE 7.01,9.01 07/17/07
AMEREX GROUP, INC. OK 5.03 01/08/07
American Caresource Holdings, Inc. DE 5.02,8.01,9.01 07/12/07
AMERICAN DAIRY INC UT 3.02 07/11/07
AMERICAN EXPRESS CO NY 8.01,9.01 07/17/07
AMERISERV FINANCIAL INC /PA/ PA 2.02 07/17/07
AMREP CORP. OK 2.02,9.01 07/16/07
AMSURG CORP TN 7.01,9.01 07/17/07
Andover Medical, Inc. DE 9.01 05/04/07 AMEND
Andover Medical, Inc. DE 9.01 05/11/07 AMEND
ANDREW CORP DE 8.01 07/16/07
ANGELICA CORP /NEW/ MO 7.01,9.01 07/17/07
Answers CORP 1.01,7.01,9.01 07/13/07
Answers CORP 7.01,9.01 07/17/07
AON CORP DE 8.01 07/17/07
APPLEBEES INTERNATIONAL INC DE 8.01,9.01 07/16/07
APPLIED INDUSTRIAL TECHNOLOGIES INC OH 8.01,9.01 07/17/07
ARCADIA RESOURCES, INC NV 5.02,9.01 07/12/07
ARCADIA RESOURCES, INC NV 3.02,8.01 07/11/07
ARIAD PHARMACEUTICALS INC DE 1.01,9.01 07/11/07
ARMOR HOLDINGS INC DE 1.01,9.01 07/17/07
ARQULE INC DE 5.02 07/12/07
ARTS WAY MANUFACTURING CO INC DE 2.02 05/31/07
ASHFORD HOSPITALITY TRUST INC MD 8.01,9.01 07/11/07
ASIANADA, INC. NV 1.01,2.03,5.02,9.01 07/11/07
Aspreva Pharmaceuticals CORP A1 2.02,9.01 07/16/07
ASSURANT INC 8.01,9.01 07/17/07
ATLANTIC SYNDICATION NETWORK INC NV 7.01,9.01 07/17/07
AUTOLIV INC DE 2.04 07/17/07
AVANI INTERNATIONAL GROUP INC // NV 3.03 07/11/07
Avantogen Oncology, Inc. NV 5.02,9.01 07/11/07
BALLY TOTAL FITNESS HOLDING CORP DE 1.01,8.01,9.01 07/16/07
BIOMET INC IN 5.01,5.02,8.01,9.01 07/12/07
BioMETRX DE 1.01,9.01 07/12/07
BLUE NILE INC DE 5.02,9.01 07/17/07
BRAINSTORM CELL THERAPEUTICS INC 5.02,9.01 07/15/07
BRIGHAM EXPLORATION CO DE 2.02,7.01,9.01 07/17/07
BRIGHAM EXPLORATION CO DE 2.02,7.01,9.01 07/17/07
BROADCOM CORP CA 8.01 07/11/07
BSD MEDICAL CORP DE 7.01,9.01 07/12/07
CalAmp Corp. DE 2.02 07/17/07
CAMERON INTERNATIONAL CORP DE 1.01,9.01 07/13/07
CARDTRONICS INC DE 7.01,9.01 07/16/07
CARDTRONICS INC DE 8.01,9.01 07/17/07
CARDTRONICS INC DE 8.01,9.01 07/06/07 AMEND
CARLISLE COMPANIES INC DE 1.01,9.01 07/12/07
CAROLINA POWER & LIGHT CO NC 5.02 07/11/07
CBD Media Holdings LLC DE 7.01,9.01 07/17/07
CBD MEDIA LLC DE 7.01,9.01 07/17/07
CENTERLINE HOLDING CO DE 1.01,9.01 06/29/07 AMEND
CENTEX CORP NV 5.03,9.01 07/12/07
CENTRAL EUROPEAN MEDIA ENTERPRISES LT 1.01 07/13/07
CHESAPEAKE ENERGY CORP OK 8.01,9.01 07/12/07
China 3C Group NV 1.01,3.02,9.01 07/13/07
China Media Group CORP TX 1.01 07/17/07
CHL Mortgage Pass-Through Trust 2007- DE 8.01,9.01 06/28/07
CHURCH & DWIGHT CO INC /DE/ DE 5.02 07/17/07
CIPHERGEN BIOSYSTEMS INC DE 8.01 07/13/07
CITIZENS INC CO 5.02,7.01,9.01 07/17/07
CKE RESTAURANTS INC DE 7.01,9.01 07/17/07
CLAIBORNE LIZ INC DE 5.02 07/17/07
CLEAR CHANNEL COMMUNICATIONS INC TX 8.01,9.01 07/17/07
CLIFTON SAVINGS BANCORP INC 8.01,9.01 07/11/07
CME GROUP INC. DE 2.01,3.03,5.02,5.03,9.01 07/12/07
COCA COLA CO DE 2.02,9.01 07/17/07
COLONIAL COMMERCIAL CORP NY 1.01,9.01 07/11/07
COLONIAL PROPERTIES TRUST AL 2.02,2.06,9.01 07/11/07
COMMERCE GROUP INC /MA MA 7.01,9.01 07/17/07
COMMERCIAL METALS CO DE 7.01,9.01 07/16/07
COMMERCIAL METALS CO DE 1.01,2.03,7.01,9.01 07/12/07
COMMUNITY TRUST BANCORP INC /KY/ KY 2.02,7.01,9.01 06/30/07
COMPOSITE TECHNOLOGY CORP NV 7.01,9.01 07/17/07
COMVERSE TECHNOLOGY INC/NY/ NY 8.01 07/17/07
CONSOLIDATED ENERGY INC WY 1.03 07/12/07
CONSTAR INTERNATIONAL INC DE 2.05 05/22/07
CONSUMER PORTFOLIO SERVICES INC CA 1.01,2.03,9.01 07/13/07
CONTINENTAL RESOURCES INC OK 7.01 07/17/07
COVENTRY HEALTH CARE INC DE 1.01,2.03,9.01 07/11/07
CSX CORP VA 2.02,9.01 07/17/07
CWALT INC DE 8.01,9.01 06/28/07
DIAMONDHEAD CASINO CORP DE 8.01 07/16/07
DIGENE CORP DE 8.01,9.01 07/13/07
DIGITAL CREATIVE DEVELOPMENT CORP UT 5.02 07/13/07
DIXIE GROUP INC TN 1.01,9.01 07/17/07
DREW INDUSTRIES INC DE 8.01,9.01 07/17/07
DURECT CORP DE 8.01,9.01 07/17/07
E PRIME AEROSPACE CORP CO 8.01,9.01 07/14/07
EAGLE ROCK ENERGY PARTNERS L P DE 5.02,9.01 07/16/07
EAGLE ROCK ENERGY PARTNERS L P DE 1.01,9.01 07/11/07
EATON VANCE CORP MD 7.01,9.01 07/17/07
EL PASO CORP/DE DE 8.01 07/13/07
ELECTRONIC ARTS INC DE 5.02,9.01 07/17/07
ENCYSIVE PHARMACEUTICALS INC DE 8.01 07/17/07
ENER1 INC FL 7.01 07/16/07
ENOVA SYSTEMS INC CA 5.02,9.01 06/26/07 AMEND
ENVIROKARE TECH INC NV 7.01,9.01 07/17/07
EQUITY LIFESTYLE PROPERTIES INC MD 2.02,9.01 07/16/07
EVCI Career Colleges Holding Corp DE 3.01,9.01 07/11/07
EXAR CORP DE 5.02,9.01 07/12/07
ExlService Holdings, Inc. DE 8.01 07/16/07
FAIRCHILD CORP DE 9.01 07/16/07
Federal Home Loan Bank of Atlanta X1 2.03 07/11/07
Federal Home Loan Bank of Boston X1 2.03 07/11/07
Federal Home Loan Bank of Chicago X1 2.03 07/11/07
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 07/12/07
Federal Home Loan Bank of Des Moines X1 2.03,9.01 07/12/07
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 07/11/07
Federal Home Loan Bank of New York X1 2.03,9.01 07/11/07
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 07/11/07
Federal Home Loan Bank of San Francis X1 2.03 07/11/07
Federal Home Loan Bank of Seattle 2.03 07/16/07
Federal Home Loan Bank of Topeka 2.03 07/11/07
FEDERAL MOGUL CORP MI 2.02,9.01 07/17/07
FEDERAL REALTY INVESTMENT TRUST MD 1.01,5.02,7.01,9.01 07/17/07
FIRST BANCORP /PR/ PR 8.01,9.01 07/13/07
FIRST CASH FINANCIAL SERVICES INC DE 2.02 07/17/07
FIRST DEFIANCE FINANCIAL CORP OH 2.02,9.01 07/16/07
FIRST INDIANA CORP IN 7.01,9.01 07/17/07
FIRSTCITY FINANCIAL CORP DE 3.01,9.01 07/12/07
FIRSTENERGY CORP OH 7.01,9.01 07/16/07
FISERV INC WI 5.02 07/11/07
FLORIDA COMMUNITY BANKS INC FL 2.02 07/17/07
FOOTHILLS RESOURCES INC 8.01,9.01 07/11/07
FOREST LABORATORIES INC DE 2.02,9.01 06/30/07
FREQUENCY ELECTRONICS INC DE 2.02 07/12/07
FULLER H B CO MN 8.01,9.01 07/12/07
FULTON FINANCIAL CORP PA 2.02,9.01 07/17/07
GARMIN LTD 8.01,9.01 07/17/07
GCO Education Loan Funding Trust-I DE 8.01,9.01 07/13/07
GEO GROUP INC FL 8.01 07/17/07
GEODYNE ENERGY INCOME LTD PARTNERSHIP OK 2.01,9.01 07/11/07
GEODYNE ENERGY INCOME LTD PARTNERSHIP OK 2.01,9.01 07/11/07
GEODYNE ENERGY INCOME LTD PARTNERSHIP OK 2.01,9.01 07/11/07
GEODYNE INSTITUTIONAL PENSION ENERGY OK 2.01,9.01 07/11/07
GEORESOURCES INC CO 7.01,9.01 07/16/07
GEORGIA POWER CO GA 8.01,9.01 07/10/07
Geovax Labs, Inc. IL 8.01,9.01 07/17/07
Global Biotech Corp. 4.01,9.01 05/10/07 AMEND
Global Cash Access Holdings, Inc. DE 1.01 07/13/07
GLOBAL GREEN SOLUTIONS INC. 7.01,9.01 07/16/07
Global Immune Technologies Inc. WY 1.02,4.01,9.01 05/17/07 AMEND
GREAT PEE DEE BANCORP INC DE 1.01,8.01,9.01 07/12/07
GREEN BANKSHARES, INC. TN 2.02,7.01,9.01 07/16/07
GUARANTY FEDERAL BANCSHARES INC DE 2.02,8.01,9.01 07/17/07
HAMPSHIRE GROUP LTD DE 1.01,9.01 07/13/07
HEALTH GRADES INC DE 7.01,9.01 07/17/07
HEI INC MN 2.02,9.01 07/17/07
HERCULES OFFSHORE, INC. DE 1.01,1.02,2.01,2.03,5.02, 07/11/07
5.03,9.01
HEXION SPECIALTY CHEMICALS, INC. NJ 1.01,2.03,7.01,9.01 07/12/07
HICKORY TECH CORP MN 8.01,9.01 07/17/07
HUNT J B TRANSPORT SERVICES INC AR 1.01,2.02,9.01 07/16/07
IHOP CORP DE 1.01,9.01 07/15/07
IMMEDIATEK INC NV 5.02 07/16/07
IMPLANT SCIENCES CORP MA 1.01,2.01,9.01 07/17/07 AMEND
IndyMac IMSC Mortgage Loan Trust 2007 8.01,9.01 06/29/07
INLAND REAL ESTATE CORP MD 8.01,9.01 07/17/07
Inova Technology Inc. NV 8.01 07/16/07
INTEGRA BANK CORP IN 2.02,7.01,9.01 07/17/07
Integrated Healthcare Holdings Inc NV 5.02 07/11/07
INTEL CORP DE 2.02,7.01 07/17/07
Interactive Television Networks NV 8.01,9.01 07/11/07
INYX INC NV 1.01,9.01 07/11/07
IPC HOLDINGS LTD 2.02 07/16/07
IPSCO INC 8.01,9.01 07/17/07
J P MORGAN CHASE & CO DE 5.03,8.01 07/17/07
J P MORGAN CHASE & CO DE 5.02,9.01 07/17/07
J P MORGAN CHASE & CO DE 9.01 07/13/07
JEFFERIES GROUP INC /DE/ DE 2.02,9.01 07/17/07
JMAR TECHNOLOGIES INC DE 1.01,3.02,5.03,9.01 06/28/07 AMEND
JMAR TECHNOLOGIES INC DE 9.01 06/28/07 AMEND
JOHNSON & JOHNSON NJ 2.02,9.01 07/17/07
KAYNE ANDERSON ENERGY DEVELOPMENT CO MD 2.02,9.01 07/11/07
KENTUCKY CENTRAL LIFE INSURANCE CO KY 9.01 07/16/07
KEYCORP /NEW/ OH 2.02,9.01 07/17/07
KEYSTONE AUTOMOTIVE INDUSTRIES INC CA 1.01,3.03,9.01 07/16/07
Kohlberg Capital CORP DE 8.01 07/17/07
KOSS CORP DE 2.02,9.01 07/16/07
LAKELAND BANCORP INC NJ 5.02 07/11/07
LBI MEDIA HOLDINGS INC 1.01,8.01 07/17/07
LCNB CORP OH 2.02,8.01,9.01 07/17/07
LEAR CORP DE 1.02,5.03,8.01,9.01 07/16/07
LEESPORT FINANCIAL CORP PA 2.02,8.01,9.01 07/17/07
LEHMAN BROTHERS HOLDINGS INC DE 9.01 07/12/07
Liberty Global, Inc. 7.01 07/17/07
LITHIUM TECHNOLOGY CORP DE 1.01,2.03,3.02,9.01 07/11/07
LKQ CORP DE 1.01,8.01,9.01 07/16/07
LYONDELL CHEMICAL CO DE 1.01,9.01 07/16/07
MANARIS CORP NV 5.02,9.01 07/13/07
MARVELL TECHNOLOGY GROUP LTD D0 5.02,9.01 07/11/07
MASSEY ENERGY CO DE 5.02 07/12/07
MEADE INSTRUMENTS CORP DE 1.01,5.02,5.05,8.01,9.01 07/11/07
MEDCATH CORP DE 8.01,9.01 07/16/07
MEDQUIST INC NJ 8.01,9.01 07/11/07
MEDWAVE INC DE 8.01,9.01 07/16/07
MERIX CORP OR 5.03,9.01 07/11/07
MERRILL LYNCH & CO INC DE 2.02,9.01 07/17/07
METABASIS THERAPEUTICS INC 8.01,9.01 07/17/07
METRETEK TECHNOLOGIES INC DE 1.01,2.03 07/16/07
METROMEDIA INTERNATIONAL GROUP INC DE 1.01,3.02,3.03,5.02,8.01,9.01 07/13/07
MILASTAR CORP DE 8.01,9.01 07/17/07
Mill Basin Technologies, Ltd. NV 4.01,5.03,9.01 07/11/07
MODINE MANUFACTURING CO WI 2.02,9.01 06/26/07
MONROE BANCORP IN 2.02,9.01 07/17/07
Morgan Stanley ABS Capital I Inc. Tru DE 8.01,9.01 05/31/07
MOTOROLA INC DE 2.02,9.01 07/17/07
MPC CORP CO 3.01,8.01,9.01 07/11/07
MPHASE TECHNOLOGIES INC NJ 8.01 07/17/07
NATHANS FAMOUS INC DE 1.01,9.01 07/13/07
NATIONAL PENN BANCSHARES INC PA 2.02,7.01 07/17/07
NATIONAL PENN BANCSHARES INC PA 2.02,7.01 07/17/07
NATURES SUNSHINE PRODUCTS INC UT 2.02,8.01,9.01 07/12/07
NB&T FINANCIAL GROUP INC OH 2.02,7.01,9.01 07/17/07
NEW JERSEY RESOURCES CORP NJ 5.03,5.05 07/17/07
NewGen Technologies, Inc NV 2.04,8.01 07/10/07
NEWMONT MINING CORP /DE/ DE 1.01,2.03,3.02 07/11/07
NightHawk Radiology Holdings Inc 1.01,2.01,3.02,9.01 07/16/07
NORDSON CORP OH 1.01,2.03,9.01 07/13/07
NORTH PITTSBURGH SYSTEMS INC PA 1.01,9.01 07/12/07
NOVASTAR FINANCIAL INC MD 7.01,9.01 07/17/07
NPS PHARMACEUTICALS INC DE 1.01,8.01,9.01 07/16/07
O CHARLEYS INC TN 2.05,2.06,7.01,9.01 07/13/07
Oakmont Acquisition Corp. DE 8.01,9.01 07/17/07
ODYSSEY MARINE EXPLORATION INC NV 8.01,9.01 07/17/07
ON THE GO HEALTHCARE INC 1.01,2.03 07/11/07
OPNET TECHNOLOGIES INC DE 2.02,9.01 07/17/07
OSAGE EXPLORATION & DEVELOPMENT INC DE 1.01,2.03,3.02,9.01 07/17/07
PALM HARBOR HOMES INC /FL/ FL 2.02,9.01 07/17/07
Paramount Acquisition Corp DE 8.01,9.01 07/16/07
PENNICHUCK CORP NH 8.01 07/16/07
PENTAIR INC MN 8.01,9.01 07/12/07
PERVASIVE SOFTWARE INC DE 5.02,9.01 07/16/07
PHARMACEUTICAL PRODUCT DEVELOPMENT IN NC 2.02,9.01 07/17/07
PHOENIX TECHNOLOGIES LTD DE 5.02 07/13/07
PIONEER COMPANIES INC DE 8.01,9.01 07/17/07
PIPELINE DATA INC 4.01 06/30/07
PIPELINE DATA INC 2.04 06/30/07
PIPELINE DATA INC 7.01 06/30/07
PLANETOUT INC DE 2.05 07/11/07
POGO PRODUCING CO DE 8.01,9.01 07/17/07
POLARIS INDUSTRIES INC/MN MN 2.02 07/17/07
POLYONE CORP 1.01 07/13/07
PRINCIPAL FINANCIAL GROUP INC DE 7.01 07/17/07
PRINCIPAL LIFE INSURANCE CO IA 9.01 07/17/07
QCR HOLDINGS INC DE 8.01,9.01 07/11/07
QLT INC/BC A1 2.02,9.01 07/17/07
QUANTUM GROUP INC /FL 5.03,9.01 07/13/07
RAMBUS INC DE 3.01,9.01 07/13/07
RECLAMATION CONSULTING & APPLICATIONS CO 1.01,3.02 05/30/07 AMEND
RECLAMATION CONSULTING & APPLICATIONS CO 5.02 06/11/07 AMEND
REGIONS FINANCIAL CORP DE 2.02,7.01,9.01 07/17/07
RIVIERA HOLDINGS CORP NV 7.01,9.01 07/16/07
RUBY TUESDAY INC GA 1.01,2.02,9.01 06/05/07
RUSS BERRIE & CO INC NJ 5.02,9.01 07/11/07
S&T BANCORP INC PA 2.02,9.01 07/17/07
SALIX PHARMACEUTICALS LTD 8.01,9.01 07/17/07
SANGAMO BIOSCIENCES INC DE 1.01,9.01 07/16/07
SAVANNAH BANCORP INC GA 7.01 07/17/07
SBM CERTIFICATE CO MD 4.01 07/17/07
SCBT FINANCIAL CORP SC 2.02,9.01 07/17/07
SCHWAB CHARLES CORP DE 8.01,9.01 07/17/07
SCHWAB CHARLES CORP DE 2.02,9.01 07/17/07
SCHWEITZER MAUDUIT INTERNATIONAL INC DE 1.01 07/17/07
SCIENTIFIC ENERGY INC UT 1.01,2.01,5.06,9.01 07/17/07
SCOTTS MIRACLE-GRO CO OH 5.02,8.01,9.01 07/16/07
SENESCO TECHNOLOGIES INC DE 3.01,9.01 07/16/07
SENTRA CONSULTING CORP 1.01,2.03,9.01 07/06/07
SERVICEMASTER CO DE 5.04,9.01 07/12/07
SHAW GROUP INC LA 8.01,9.01 07/12/07
ShoreTel Inc CA 5.02 07/11/07
Silver Dragon Resources Inc. DE 4.02 07/17/07
SILVERADO GOLD MINES LTD A1 8.01,9.01 07/16/07
SIMULATIONS PLUS INC 8.01,9.01 07/13/07
SLM CORP DE 2.02 07/17/07
SLM CORP DE 8.01 07/11/07
SOLUTIA INC DE 9.01 07/16/07 AMEND
SONORAN ENERGY INC WA 3.02 07/17/07
SOUTHCOAST FINANCIAL CORP SC 2.02,9.01 07/13/07
SOUTHERN FIRST BANCSHARES INC SC 2.02,9.01 07/17/07
Southridge Technology Group, Inc. DE 1.01,2.01,3.02,4.01,5.01,5.02, 07/13/07
5.06,9.01
ST MARY LAND & EXPLORATION CO DE 2.02,5.02,9.01 07/17/07
Standard Aero Holdings Inc. DE 7.01 07/13/07
STANLEY FURNITURE CO INC. DE 2.02,9.01 07/16/07
STARBUCKS CORP WA 5.02,8.01,9.01 07/12/07
STARM Mortgage Loan Trust 2007-S1 DE 8.01,9.01 07/17/07
State Auto Financial CORP OH 1.01,1.02,2.03,9.01 07/12/07
STATE STREET CORP MA 2.02,9.01 07/17/07
SUB SURFACE WASTE MANAGEMENT OF DELAW DE 5.02 07/12/07
SULPHCO INC NV 8.01,9.01 05/23/07
SUNAIR SERVICES CORP FL 1.01,8.01,9.01 07/12/07
SUNRISE REAL ESTATE GROUP INC TX 8.01,9.01 07/17/07
SUPERIOR ESSEX INC DE 1.01,2.03,9.01 07/10/07
SYMBION INC/TN DE 8.01,9.01 07/17/07
T-3 ENERGY SERVICES INC TX 1.01,2.03,9.01 07/13/07
TAKE TWO INTERACTIVE SOFTWARE INC DE 5.02,9.01 07/16/07
TAL International Group, Inc. DE 1.01,9.01 07/13/07
TAPESTRY PHARMACEUTICALS, INC DE 7.01,9.01 07/17/07
TEAMSTAFF INC NJ 4.01,9.01 07/11/07
TEMECULA VALLEY BANCORP INC CA 2.02,9.01 07/17/07
TEREX CORP DE 8.01,9.01 07/17/07
TIDEWATER INC DE 8.01,9.01 07/16/07
Tiger Ethanol International Inc. NV 5.03,9.01 07/12/07
TOPPS CO INC DE 2.02,5.02,9.01 07/13/07
TRANSMERIDIAN EXPLORATION INC DE 8.01,9.01 07/16/07
TRAVELCENTERS OF AMERICA LLC 9.01 07/17/07 AMEND
TRINITY CAPITAL CORP 2.02,9.01 07/17/07
TRIQUINT SEMICONDUCTOR INC DE 2.02,9.01 07/17/07
Trustcash Holdings, Inc. 2.01,2.03,3.02,4.01,5.01,5.02, 06/30/07 AMEND
5.06,8.01,9.01
TRUSTCO BANK CORP N Y NY 2.02,9.01 06/30/07
TRUSTMARK CORP MS 2.02,9.01 07/17/07
UIL HOLDINGS CORP CT 7.01,9.01 07/16/07
UNITED REFINING CO PA 8.01,9.01 07/17/07
UNIVERSAL ENERGY CORP. 7.01,9.01 07/11/07
UNIVERSAL FOREST PRODUCTS INC MI 2.02,9.01 07/17/07
URANERZ ENERGY CORP. NV 8.01,9.01 07/16/07
URANERZ ENERGY CORP. NV 8.01,9.01 07/16/07
US BANCORP \DE\ DE 2.02,9.01 07/17/07
UTSTARCOM INC DE 8.01,9.01 07/17/07
VALERO ENERGY CORP/TX DE 5.02,5.03,9.01 07/11/07
VIA Pharmaceuticals, Inc. DE 8.01 07/16/07
VioQuest Pharmaceuticals, Inc. DE 2.01,5.02,9.01 07/11/07
VIRGINIA COMMERCE BANCORP INC 2.02,7.01,9.01 07/17/07
VULCAN MATERIALS CO NJ 5.02,9.01 07/17/07
VYYO INC DE 1.01,5.02,9.01 07/16/07
WACCAMAW BANKSHARES INC NC 2.02,9.01 07/16/07
WADDELL & REED FINANCIAL INC DE 5.02,5.03,9.01 07/12/07
WALGREEN CO IL 1.01,9.01 07/11/07
WASHINGTON GROUP INTERNATIONAL INC DE 1.01,2.02 07/16/07 AMEND
WATERFORD GAMING LLC DE 8.01 07/17/07
WEGENER CORP DE 2.02,9.01 07/16/07
WELLS FARGO & CO/MN DE 2.02,9.01 07/17/07
WHOLE FOODS MARKET INC TX 8.01,9.01 07/17/07
Winthrop Realty Trust OH 1.01,8.01,9.01 07/11/07
WORLD FINANCIAL NETWORK CREDIT CARD M DE 8.01,9.01 07/16/07
YAHOO INC DE 2.02,9.01 07/17/07
http://www.sec.gov/news/digest/2007/dig071807.htm
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