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SEC NEWS DIGEST
Issue 2007-147 August 1, 2007
COMMISSION ANNOUNCEMENTS
SEC ANNOUNCES DISTRIBUTION OF $267 MILLION FAIR FUND TO QWEST
INVESTORS INJURED BY ACCOUNTING FRAUD
On August 1, the Commission announced that it has started distribution
of the $267 million Fair Fund created as part of settlements with
Qwest Communications International Inc. and several of its former
executives. The funds will be distributed to approximately 200,000
investors who purchased Qwest's securities between July 27, 1999, and
July 28, 2002. The distribution process is expected to be completed
within five days.
"Since the 2002 passage of the Sarbanes-Oxley Act, the Commission has
now returned more than $2.4 billion to investors," said Linda Chatman
Thomsen, Director of the Division of Enforcement. "The Qwest Fair Fund
is the latest example of our continuing commitment to ensuring that
injured investors are compensated for their losses."
Donald Hoerl, Associate Regional Director of the Commission's Denver
Regional Office, added, "We are pleased to begin the distribution of
the Qwest Fair Fund. It is gratifying to see money returned to Qwest's
investors, and we will continue our efforts on their behalf."
The Commission brought a settled enforcement action against Qwest in
October 2004. In the complaint, the Commission alleged that Qwest
fraudulently recognized more than $3.8 billion in revenue and excluded
$231 million in expenses in order to meet ambitious revenue and
earnings projections.
In the settlement agreement, Qwest neither admitted nor denied the
Commission's allegations, but agreed to pay a civil penalty of $250
million that is being distributed to investors through the Fair Fund.
Several former Qwest executives including Augustine Cruciotti, Gregory
Casey, Roger Hoagland, William Eveleth, and Robin Szeliga also reached
settlement agreements with the Commission and paid civil penalties and
disgorgement into the Fair Fund. Szeliga additionally paid restitution
into the Fair Fund after pleading guilty to one felony count of
insider trading.
The Commission anticipates that cases currently being litigated,
including SEC v. Joseph P. Nacchio, et al. and SEC v. Joel M. Arnold,
et al., may result in more money being added to the Qwest Fair Fund.
Investors can obtain additional information about the distribution
process by contacting the distribution agent. Investors can call toll-
free at 800-516-6339; visit the settlement Web site at
www.gilardi.com/qwst1; or write to Gilardi & Co. LLC, P.O. Box 808003,
Petaluma, CA 94975-8003. (Press Rel. 2007-156)
ENFORCEMENT PROCEEDINGS
FORMER STOCK OPTIONS ADMINISTRATOR CONSENTS TO THE ENTRY OF A
PERMANENT INJUNCTION
The Commission today announced that Vencent A. Donlan, age 45, of San
Diego, California, and former stock options administrator at Wireless
Facilities, Inc. (WFI), was permanently enjoined from future
violations of the registration and antifraud provisions of the
securities laws.
The Commission's first amended complaint alleges that between November
2002 and November 2003, Donlan abused his position as WFI's stock
options administrator to issue and transfer over 700,000 shares of WFI
stock and stock options to a brokerage account that he held jointly
with his wife, Robin D. Colls Donlan (Colls). According to the
complaint, Donlan caused these transfers by making false entries in
WFI's stock options software to create and then hide the unauthorized
stock options grants to Colls, and by providing false information to
WFI's brokerage firm and transfer agent. The complaint further alleges
that Donlan exercised the options and sold the stock on the open
market, and Donlan and/or Colls realized net proceeds of approximately
$7.2 million.
Donlan, without admitting or denying the Commission's allegations,
consented to the entry of a bifurcated judgment permanently enjoining
him from future violations of the registration provisions of Section 5
of the Securities Act of 1933 and the antifraud provisions of Section
10(b) of the Securities Exchange Act of 1934 and Rule 10b-5
thereunder. The court entered the permanent injunction on June 5,
2007. The Commission continues to seek the return of ill-gotten gains
with prejudgment interest and civil penalties against Donlan. [SEC v.
Vencent A. Donlan, Defendant, and Robin D. Colls Donlan, Relief
Defendant, Civil Action No. 07 CV 793 JAH (S.D. Cal.).] (LR-20218)
SEC FILES ACTION AGAINST INTEGRATED SILICON SOLUTION AND ITS FORMER
CFO FOR IMPROPER STOCK OPTIONS BACKDATING
The Commission today filed charges against Silicon Valley
semiconductor company Integrated Silicon Solution, Inc. (ISSI) and its
former Chief Financial Officer, Gary L. Fischer, alleging that they
engaged in a long-running fraudulent scheme to backdate stock option
grants. The Commission alleges that ISSI and Fischer concealed
millions of dollars of stock option compensation expenses by providing
executives and employees with potentially lucrative in-the-money
options while backdating the grants to avoid reporting the expenses to
investors. Both Fischer, of Santa Clara, Calif., and ISSI, settled the
matter without admitting or denying the Commission's charges.
The Commission's complaint against ISSI and Fischer, filed in the
Northern District of California, alleges that Fischer routinely used
hindsight to select option grant dates when ISSI's stock traded at or
near monthly or quarterly lows, and at prices below the closing price
on the date when Fischer actually selected the grant date. According
to the complaint, the dates Fischer selected were then incorporated
into Stock Option Committee resolutions and Compensation Committee
minutes, even though the committees rarely, if ever, met on the date
listed on the minutes and resolutions. Pricing the options below
current prices would have required the company to report a
compensation expense under well-settled accounting principles. By
falsely documenting that the options had been granted on an earlier
date, ISSI avoided reporting the expenses in its financial statements.
The complaint alleges that the backdated grants resulted in materially
misleading disclosures, with the company overstating its actual net
income (as restated) or understating its actual net loss (as restated)
in fiscal years 1997 through 2005, including a 528 percent
overstatement of actual net income in fiscal year 2004. The Commission
further alleges that Fischer personally benefited from the backdating
scheme. Fischer received backdated options which he later exercised to
reap undisclosed profits. Fischer, without admitting or denying the
allegations of the Commission's complaint, agreed to settle the matter
by consenting to a permanent injunction against violations of Section
17(a) of the Securities Act of 1933 and Sections 10(b), 13(a),
13(b)(2)(A), 13(b)(2)(B), 13(b)(5), 14(a) and 16(a) of the Securities
Exchange Act of 1934 and Rules 10b 5, 13a-14, 12b-20, 13a 1, 13a 11,
13a-13, 13b2 1, 13b2 2, 14a-9 and 16a 3 thereunder, paying $414,830 in
disgorgement and interest, and a $125,000 civil penalty, and
consenting to an order barring him for five years from acting as an
officer or director of a public company.
ISSI, without admitting or denying the allegations in the Commission's
complaint, agreed to settle the matter by consenting to a permanent
injunction against violations of Section 17(a) of the Securities Act
of 1933 and Sections 10(b), 13(a), 13(b)(2)(A), 13(b)(2)(B) and 14(a)
of the Securities Exchange Act of 1934, and Rules 10b-5, 12b 20, 13a-
1, 13a-11, 13a-13 and 14a-9 thereunder. [SEC v. Integrated Silicon
Solution, Inc. and Gary L. Fischer, Case No. C 07-3945 HRL (N.D. Cal.
filed Aug. 1, 2007)] (LR-20219; Press Rel. 2007-155)
IN THE MATTER OF GLOBAL ASSET PARTNERS AND JOSEPH LAVIN
On August 1, the Commission filed a civil injunctive action in U.S.
District Court in Seattle, Washington against Joseph C. Lavin and his
company, Global Asset Partners, LLC (GAP), a purported Seattle-based
investment fund manager. In its Complaint, the Commission alleges that
Lavin and GAP engaged in fraudulent conduct in connection with the
offer and sale of pooled investment funds that GAP managed. Between
2002 and 2005, GAP and Lavin raised at least $5 million from over 100
investors nationwide.
According to the Commission, Lavin, 41, of Woodinville, Wash.,
promised investors extraordinary returns of 18 to 36 percent per year
from the GAP investments. Far from producing the promised returns, the
Commission alleges that Lavin used investor funds to pay for personal
expenses for himself and his friends, including lavish trips,
automobiles, a Seattle Mariners luxury skybox, and real estate in
Costa Rica. Lavin also diverted investor funds to a now-bankrupt Texas
real estate project known as Wildflower Resort Company.
The complaint alleges that Lavin told investors that their money would
be placed into funds managed by GAP, where it would be invested in
foreign currencies and asset-backed securities. Instead, Lavin
converted the investors' money to his own use. In addition, as in a
classic Ponzi scheme, Lavin used money raised from new investors to
pay purported returns to previous investors. The Commission further
claims that Lavin sent false account statements to GAP's investors
showing ever-increasing account balances based upon accumulation of
the promised returns. In reality, according to the complaint, the GAP
funds never made any money and Lavin fabricated the account balances
on the statements to fool investors into believing their investments
were profitable and to induce them to make additional investments.
The Commission's complaint charges Lavin and GAP with violating
Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933, Section
10(b) of the Securities Exchange Act of 1934 Rule 10b-5 thereunder,
and Sections 206(1) and 206(2) of the Investment Advisers Act of 1940.
The Commission is seeking against each of the defendants a permanent
injunction prohibiting future violations of the securities laws,
disgorgement of ill-gotten gains, prejudgment interest, and civil
penalties.
The Commission acknowledges the assistance of the United States
Attorney's Office for the Western District of Washington, Federal
Bureau of Investigation, Internal Revenue Service and Commodity
Futures Trading Commission in the Commission's investigation, which is
continuing. [SEC v. Joseph C. Lavin and Global Asset Partners, Civil
Action No. CV 07-1188 RFL, USDC, WD Wash., Seattle Division] (LR-
20220)
SEC CHARGES FORMER PRESIDENT AND CHIEF FINANCIAL OFFICER OF
SAFENET, INC. FOR STOCK OPTION BACKDATING SCHEME
On August 1, the Commission filed a civil injunctive action in the
United States District Court for the District of Columbia against
Carole D. Argo formerly the president, chief operating officer, and
chief financial officer of SafeNet, Inc., alleging that Argo engaged
in a fraudulent scheme to grant undisclosed in-the-money options to
herself and others by backdating stock option grants to take advantage
of historically low closing prices of SafeNet stock. Specifically, the
Commission's complaint alleges that, by selecting these highly
favorable dates and causing options to be granted on dates when she
knew the options were already in-the-money, Argo created an
opportunity for herself and other executives and employees at SafeNet
to reap substantial profits. Argo then backdated documents to conceal
from SafeNet's investors that SafeNet was issuing in-the-money option
grants.
According to the complaint, Argo was aware that SafeNet routinely
granted in-the-money options, and she knowingly or recklessly failed
to cause SafeNet to record compensation expense as required by
Generally Accepted Accounting Principles (GAAP). Consequently, SafeNet
reported materially misstated financial results for periods beginning
in late 2000 through early 2006. The complaint further alleges that
Argo regularly prepared, reviewed and/or signed proxy statements,
periodic reports and registration statements that she knew, or was
reckless in not knowing, contained materially false and misleading
statements and omissions concerning SafeNet's financial condition and
options granting practices.
Argo is charged with, among other things, violating the antifraud
provisions of the federal securities laws, falsifying SafeNet's books
and records, circumventing SafeNet's internal controls, misleading
SafeNet's auditors, and causing SafeNet to issue false and misleading
financial reports. By engaging in this conduct, Argo specifically
violated Section 17(a) of the Securities Act of 1933, Sections 10(b),
13(b)(5), 14(a), and 16(a) of the Securities Exchange Act of 1934 and
Exchange Act Rules 10b-5, 13a-14, 13b2-1, 13b2-2, 14a-9, and 16a-3,
and aided and abetted SafeNet's violations of Exchange Act Sections
10(b), 13(a), 13(b)(2)(A), 13(b)(2)(B), and 14(a) and Exchange Act
Rules 10b-5, 12b-20, 13a-1, 13a-13, and 14a-9 thereunder. The
Commission is seeking injunctive relief, disgorgement, pre-judgment
interest, and money penalties against Argo, in addition to a permanent
bar to prohibit Argo from serving as an officer or director of a
public company.
The Commission acknowledges the assistance of the United States
Attorney's Office for the Southern District of New York and the United
States Postal Inspection Service, which conducted a separate, parallel
criminal investigation. [SEC v. Carole D. Argo, Civil Action No. 07-
1397, JR, D.D.C. Aug. 1, 2007] (LR-20221, AAER-2662)
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A proposed rule change filed by the National Association of Securities
Dealers to delay the implementation of NASD Interpretive Material
2210-4, which requires certain member firms to provide a hyperlink to
www.nasd.com (SR-NASD-2007-042) 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 30. (Rel. 34-
56124)
The Commission published a notice immediate effectiveness of proposed
rule change (SR-NASDAQ-2007-057) filed by The NASDAQ Stock Market. The
filing consists of a proposed amendment to Nasdaq Rule 7015 (regarding
Access Services) that would temporarily waive Risk Management
Workstation fees. Publication is expected in the Federal Register
during the week of July 30. (Rel. 34-56153)
A proposed rule change (SR-ISE-2007-67) filed by the International
Securities Exchange relating to a directed orders system change has
become effective under Section 19(b)(3)(A) under the Securities
Exchange Act of 1934. Publication is expected in the Federal Register
during the week of July 30. (Rel. 34-56155)
A proposed rule change (SR-ISE-2007-66) filed by the International
Securities Exchange relating to an 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 is expected in
the Federal Register during the week of July 30. (Rel. 34-56156)
A proposed rule change filed by the International Securities Exchange
(SR-ISE-2007-64) relating to fee changes 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 30. (Rel. 34-56165)
A proposed rule change (SR-NYSE-2007-69) filed by the New York Stock
Exchange relating to an Information Memorandum that reflects the
changes to disciplinary proceedings at NYSE Regulation, Inc. as a
result of the regulatory consolidation with the National Association
of Securities Dealers, Inc. 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 30. (Rel. 34-
56169)
ACCELERATED APPROVAL OF PROPOSED RULE CHANGES
The Commission granted accelerated approval to a proposed rule change
(SR-ISE-2007-55) submitted by the International Securities Exchange
relating to Linkage Fees. Publication is expected in the Federal
Register during the week of July 30. (Rel. 34-56128)
The Commission granted accelerated approval to a proposed rule change
(SR-CBOE-2007-71), as modified by Amendment No. 1, submitted by the
Chicago Board Options Exchange relating to an extension of the Linkage
Fee pilot program under Section 19(b)(1) of the Securities Exchange
Act of 1934. Publication is expected in the Federal Register during
the week of July 30. (Rel. 34-56132)
The Commission granted accelerated approval to a proposed rule change
(SR-NYSEArca-2007-66), as modified by Amendment No. 1, submitted by
the NYSE Arca relating to exchange fees and charges. Publication is
expected in the Federal Register during the week of July 30. (Rel. 34-
56133)
The Commission granted accelerated approval to a proposed rule change
(SR-NASD-2007-054) submitted by the National Association of Securities
Dealers to incorporate into NASD's rulebook certain NYSE rules
relating to member firm conduct. Publication is expected in the
Federal Register during the week of July 30. (Rel. 34-56147)
The Commission granted accelerated approval to a proposed rule change
(SR-Phlx-2007-52) filed by the Philadelphia Stock Exchange relating to
transaction charges applicable to Linkage "P" and "P/A" Orders.
Publication is expected in the Federal Register during the week of
July 30. (Rel. 34-56166)
The Commission granted accelerated approval to a proposed rule change
(SR-BSE-2007-33), as modified by Amendment No. 1, filed by the Boston
Stock Exchange to extend the Linkage fee pilot program. Publication is
expected in the Federal Register during the week of July 30. (Rel. 34-
56167)
APPROVAL OF PROPOSED RULE CHANGE
The Commission approved a proposed rule change (SR-NYSE-2005-48), as
modified by Amendment Nos. 1, 2, 3, and 4, and granted accelerated
approval for Amendment No. 5, filed by the New York Stock Exchange to
revise Rule 619 pertaining to subpoenas for the production of
documents and appearances of witnesses. Publication is expected in the
Federal Register during the week of July 30. (Rel. 34-56158)
PROPOSED RULE
The New York Stock Exchange filed a proposed rule (SR-NYSE-2007-013)
relating to notification of fees. Publication is expected in the
Federal Register during the week of July 30. (Rel. 34-56162)
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 Jaguar Mining Inc, 48 PLEASANT ST, CONCORD, NH, 03301, 603-224-4800 -
7,997,396 ($39,073,860.08) Equity, (File 333-144969 - Jul. 31) (BR. 04)
S-3 Z TRIM HOLDINGS, INC, 1011 CAMPUS DRIVE, 310-556-0080, MUNDELEIN, IL,
60060, 847-549-60 - 12,740,000 ($11,843,200.00) Equity,
(File 333-144970 - Jul. 31) (BR. 04B)
S-1 CDM RESOURCE PARTNERS L P, 20405 TOMBALL PARKWAY, SUITE 310, HOUSTON,
TX, 77070, 281-376-2980 - 0 ($169,050,000.00) Equity,
(File 333-144971 - Jul. 31) (BR. 02)
S-8 CADENCE DESIGN SYSTEMS INC, 2655 SEELY ROAD BLDG 5, SAN JOSE, CA,
95134, 4089431234 - 4,000,000 ($87,480,000.00) Equity,
(File 333-144972 - Jul. 31) (BR. 03C)
SB-2 Corporate Outfitters, Inc., 3327 WEST INDIAN TRAIL RD., STE 152,
SPOKANE, WA, 99208, 509-462-2926 - 5,000,000 ($100,000.00) Equity,
(File 333-144973 - Jul. 31) (BR. 02)
S-1 MSCI Inc., 88 PINE STREET, NEW YORK, NY, 10005, 212-804-3990 -
0 ($200,000,000.00) Equity, (File 333-144975 - Jul. 31) (BR. 05)
SB-2 ALLIANCE RECOVERY CORP, #390-1285 N. TELEGRAPH ROAD, MONROE, MI,
48162-0417, 519-671-0417 - 3,009,611 ($752,402.75) Equity,
(File 333-144976 - Jul. 31) (BR. 02B)
S-8 TEXTRON INC, 40 WESTMINSTER ST, PROVIDENCE, RI, 02903, 4014212800 -
6,000,000 ($694,380,000.00) Equity, (File 333-144977 - Jul. 31)
(BR. 05C)
F-3ASR VODAFONE GROUP PUBLIC LTD CO, VODAFONE HOUSE, THE CONNECTION,
NEWBURY, BERKSHIRE, X0, RG14 2FN, 011-44-1635-33251 - 0 ($0.00) Other,
(File 333-144978 - Jul. 31) (BR. 11A)
F-3 RADVIEW SOFTWARE LTD, 2 HABARZEL ST, TEL AVIV ISRAEL, L3, 6172381111 -
274,584,157 ($19,220,891.00) Equity, (File 333-144979 - Jul. 31)
(BR. 03B)
SB-2 GREEN MOUNTAIN RECOVERY, INC., 39 BROADWAY, SUITE 1609, NEW YORK, NY,
10006, 212-363-7500 - 1,686,000 ($168,600.00) Equity,
(File 333-144982 - Jul. 31) (BR. )
S-3 Synutra International, Inc., 15200 SHADY GROVE ROAD #350, ROCKVILLE,
MD, 20850, 3018403888 - 4,200,000 ($94,206,000.00) Equity,
(File 333-144983 - Jul. 31) (BR. 09A)
S-4 BANNER CORP, 10 S FIRST AVENUE, WALLA WALLA, WA, 99362, 5095273636 -
340,000 ($2,670,746.56) Equity, (File 333-144984 - Jul. 31) (BR. 07A)
S-8 MICRO COMPONENT TECHNOLOGY INC, 2340 W COUNTY RD C, ST PAUL, MN,
55113-2528, 6516974000 - 0 ($308,000.00) Equity, (File 333-144985 -
Jul. 31) (BR. 10B)
SB-2 NEW FRONTIER ENERGY INC, PO BOX 298, LITTLETON, CO, 80160,
303-730-9994 - 57,371,501 ($86,929,860.00) Equity, (File 333-144986 -
Jul. 31) (BR. 04B)
S-4 WEBSITE PROS INC, 12735 GRAN BAY PARKWAY WEST, BUILDING 200,
JACKSONVILLE, FL, 32258, 9046806600 - 0 ($85,899,208.14) Equity,
(File 333-144987 - Jul. 31) (BR. 03B)
S-11 Lanier Capital REIT, Inc., 2450 ATLANTA HWY, SUITE 104, CUMMING, GA,
30040, (678) 341-2758 - 12,650,000 ($3,842.87) Equity,
(File 333-144988 - Jul. 31) (BR. )
S-3ASR Huntsman CORP, 500 HUNTSMAN WAY, SALT LAKE CITY, UT, 84108,
(801) 584-5700 - 0 ($0.00) Equity, (File 333-144989 - Jul. 31) (BR. 06A)
F-6 CYRELA COMMERCIAL PROPERTIES S.A., AVENIDA BRIGADEIRO FARIA LIMA,
NO 3, 400, 14 ANDER CEP 04538-132, SAN PAULO, D5, 00000,
100,000,000 ($5,000,000.00) ADRs/ADSs, (File 333-144990 - Jul. 31)
(BR. )
S-8 ELBIT VISION SYSTEMS LTD, PO BOX 140, NEW INDUSTRIAL PARK BLDG 7,
YOQNEAM ISRAEL, L3, 20692, 97249936414 -
5,660,500 ($3,665,180.00) Equity, (File 333-144991 - Jul. 31) (BR. 10B)
S-8 SOLERA HOLDINGS, INC, 6111 BOLLINGER CANYON ROAD, SUITE 200, SAN RAMON,
CA, 94583, (925) 866-1100 - 0 ($102,063,915.80) Equity,
(File 333-144992 - Jul. 31) (BR. 03B)
F-1 Cell Kinetics Ltd, 2 YODSAT STREET, LOD, L3, 71291,
011-972-8-918-2667 - 5,258,006 ($2,103,202.50) Equity,
(File 333-144993 - Jul. 31) (BR. )
S-8 FORTUNE BRANDS INC, 520 LAKE COOK ROAD, DEERFIELD, IL, 60015,
8474844400 - 0 ($1,039,090,000.00) Equity, (File 333-144994 - Jul. 31)
(BR. 06C)
S-8 AMICAS, Inc., 20 GUEST STREET, SUITE 400, BOSTON, MA, 02135,
617-779-7221 - 750,000 ($2,602,500.00) Equity, (File 333-144995 -
Jul. 31) (BR. 03B)
S-3 PENFORD CORP, 7094 SOUTH REVERE PARKWAY, CENTENNIAL, CO, 80112-3932,
303-649-1900 - 0 ($100,000,000.00) Other, (File 333-144996 - Jul. 31)
(BR. 04C)
S-1 GENOPTIX INC, 3398 CARMEL MOUNTAIN ROAD, SAN DIEGO, CA, 92121,
8585235000 - 0 ($86,250,000.00) Equity, (File 333-144997 - Jul. 31)
(BR. )
S-3 AMBASSADORS INTERNATIONAL INC, 1071 CAMELBACK, STREET, NEWPORT BEACH,
CA, 92660, 949.759.5900 -
0 ($97,000,000.00) Debt Convertible into Equity, (File 333-144999 -
Jul. 31) (BR. 05A)
S-3ASR CADENCE DESIGN SYSTEMS INC, 2655 SEELY ROAD BLDG 5, SAN JOSE, CA,
95134, 4089431234 - 0 ($0.00) Other, (File 333-145000 - Jul. 31)
(BR. 03C)
S-3 LEAR CORP, 21557 TELEGRAPH ROAD, SOUTHFIELD, MI, 48034, 2484471500 -
0 ($11,003,340.00) Equity, (File 333-145001 - Jul. 31) (BR. 06C)
S-3 Maidenform Brands, Inc., 154 AVENUE E, BAYONNE, NJ, 07002,
201 436 9200 - 0 ($5,601,151.00) Equity, (File 333-145002 - Jul. 31)
(BR. 02B)
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
-------------------------------------------------------------------------------------------------------
1ST CENTENNIAL BANCORP CA 2.04 07/07/07
ABINGTON BANCORP, INC./PA PA 2.02,9.01 07/31/07
ACCURIDE CORP DE 5.02,9.01 07/25/07
ACORN FACTOR, INC. DE 8.01,9.01 07/31/07
ACTIVIDENTITY CORP DE 2.02,9.01 07/31/07
ADVANCED MEDICAL OPTICS INC DE 8.01,9.01 07/30/07
ADVANTA BUSINESS RECEIVABLES CORP 8.01,9.01 07/31/07
ADVANTA CORP DE 2.02,9.01 07/31/07
ADVOCAT INC DE 8.01,9.01 07/30/07
AEROSONIC CORP /DE/ DE 5.02 07/31/07
AFFORDABLE RESIDENTIAL COMMUNITIES IN MD 1.02,2.01,5.02,5.03,8.01,9.01 07/31/07
AFFORDABLE RESIDENTIAL COMMUNITIES IN MD 8.01 07/16/07
AGCO CORP /DE DE 2.02,9.01 07/31/07
ALCAN INC A6 2.02,9.01 07/31/07
ALFA CORP DE 5.03,9.01 07/30/07
ALFACELL CORP DE 1.01,3.02 07/25/07
ALLIANCE BANKSHARES CORP 5.02,9.01 07/25/07
ALLIANCE IMAGING INC /DE/ DE 2.02,4.02,9.01 07/30/07
ALTEON INC /DE DE 1.01,3.02 07/25/07
AMB FINANCIAL CORP DE 2.02,9.01 07/30/07 AMEND
AMBIENT CORP /NY DE 1.01,2.03,3.02,8.01 07/31/07
AMEDISYS INC DE 2.02,9.01 07/31/07
AMERICA SERVICE GROUP INC /DE DE 2.02,9.01 07/31/07
AMERICAN CAMPUS COMMUNITIES INC MD 2.02,7.01,9.01 07/30/07
AMERICAN COMMUNITY BANCSHARES INC NC 5.02,8.01,9.01 07/27/07
AMERICAN DENTAL PARTNERS INC DE 2.02,9.01 07/30/07
AMERICAN ELECTRIC POWER CO INC NY 2.02,9.01 07/31/07
AMERICAN HOME MORTGAGE INVESTMENT COR MD 5.02,8.01,9.01 07/27/07
AMERICAN PACIFIC CORP DE 2.02,9.01 07/31/07
AMERICAN RIVER BANKSHARES CA 7.01,9.01 07/31/07
American Security Resources Corp. NV 4.01 07/26/07
AMERICANWEST BANCORPORATION WA 7.01,9.01 07/31/07
AMKOR TECHNOLOGY INC DE 2.02,9.01 07/31/07
AMPHENOL CORP /DE/ DE 8.01,9.01 07/30/07
AMRECORP REALTY FUND II WI 1.01,9.01 06/14/07
ANADARKO PETROLEUM CORP DE 2.02,7.01,9.01 07/30/07
ANDREW CORP DE 2.02,8.01,9.01 07/30/07
ANDREW CORP DE 1.01,9.01 07/27/07
ANSWERTHINK INC FL 2.02,5.02,9.01 07/27/07
APAC CUSTOMER SERVICE INC IL 7.01,9.01 07/31/07
Apple REIT Seven, Inc. VA 9.01 07/13/07 AMEND
Apple REIT Seven, Inc. VA 9.01 06/29/07 AMEND
APPLIED NEUROSOLUTIONS INC DE 1.02 07/25/07
APRIA HEALTHCARE GROUP INC DE 2.02,9.01 06/30/07
ARCH CHEMICALS INC VA 2.02,2.05,2.06,9.01 07/31/07
ARCHON CORP NV 8.01,9.01 07/31/07
AROTECH CORP DE 3.02 07/31/07
Ascend Acquisition Corp. DE 1.01,3.02,5.01,5.02,7.01,9.01 07/30/07
ASPEN TECHNOLOGY INC /DE/ DE 8.01,9.01 07/31/07
Aspreva Pharmaceuticals CORP A1 2.05,5.02,9.01 07/25/07
Aspreva Pharmaceuticals CORP A1 2.02,9.01 06/30/07
ASSET ACCEPTANCE CAPITAL CORP 5.03,9.01 07/25/07
ATLANTIC TELE NETWORK INC /DE DE 2.02,9.01 07/30/07
ATMEL CORP DE 5.02,9.01 07/25/07
AUTHENTEC INC DE 2.02,9.01 07/31/07
AUTOMATIC DATA PROCESSING INC DE 2.02,9.01 07/31/07
AUXILIUM PHARMACEUTICALS INC 2.02,9.01 07/31/07
AVATAR HOLDINGS INC DE 5.02 07/26/07
AVON PRODUCTS INC NY 2.02,9.01 07/31/07
AWARE INC /MA/ MA 2.02,9.01 07/30/07
BANC OF AMERICA FUNDING CORP DE 9.01 07/31/07
BANK OF AMERICA CORP /DE/ DE 2.03 07/26/07
BANK OF FLORIDA CORP FL 8.01,9.01 07/27/07
BANK OF HAWAII CORP DE 2.02,9.01 07/23/07
BE AEROSPACE INC DE 2.02,9.01 07/31/07
BEMIS CO INC MO 2.02,9.01 07/31/07
BETTER BIODIESEL, INC 8.01,9.01 07/25/07
BIOFIELD CORP \DE\ DE 1.01,9.01 07/31/07
BISYS GROUP INC DE 8.01,9.01 07/27/07
BLACKBAUD INC 1.01,2.03,9.01 07/25/07
BLACKBOARD INC DE 2.02,9.01 07/31/07
BLUE RIDGE PAPER PRODUCTS INC 1.01,1.02,5.01,5.02 07/31/07
BOSTON CAPITAL REAL ESTATE INVESTMENT MD 8.01,9.01 07/31/07
BOSTON COMMUNICATIONS GROUP INC MA 2.02,9.01 07/30/07
BREEZE-EASTERN CORP DE 1.01,8.01,9.01 07/30/07
Bridge Capital Holdings CA 2.02,9.01 07/31/07
BROADWAY FINANCIAL CORP \DE\ DE 2.02,9.01 07/31/07
Brooklyn Federal Bancorp, Inc. X1 2.02,8.01,9.01 07/31/07
BRUKER BIOSCIENCES CORP DE 2.02,9.01 07/31/07
BSD MEDICAL CORP DE 7.01,9.01 07/31/07
BUCKEYE TECHNOLOGIES INC DE 1.01,9.01 07/25/07
BUFFALO WILD WINGS INC MN 2.02,9.01 07/31/07
C H ROBINSON WORLDWIDE INC DE 5.02 07/31/07
CADENCE PHARMACEUTICALS INC 7.01,9.01 07/30/07
Cambridge Display Technology, Inc. DE 1.01 07/30/07
Cambridge Display Technology, Inc. DE 1.01,8.01,9.01 07/31/07
CAMCO FINANCIAL CORP DE 2.02,9.01 07/27/07
CAMDEN NATIONAL CORP ME 2.02,9.01 07/31/07
CAMDEN NATIONAL CORP ME 2.02,9.01 07/31/07
CAMERON INTERNATIONAL CORP DE 2.02,9.01 07/31/07
Cape Fear Bank CORP NC 2.02,9.01 07/31/07
CAPITAL LEASE FUNDING INC 5.03,9.01 07/30/07
CAPITAL TRUST INC MD 1.01,8.01 07/30/07
CAPITOL FEDERAL FINANCIAL 8.01,9.01 07/30/07
Cardiac Science CORP 2.02,9.01 07/31/07
CARRIER ACCESS CORP DE 2.02,5.02,9.01 07/29/07
CARRIER ACCESS CORP DE 2.05 07/02/07 AMEND
CASPIAN INTERNATIONAL OIL CORP DE 5.02 04/25/07
CASTLE A M & CO MD 2.02,5.05,9.01 07/31/07
CB RICHARD ELLIS GROUP INC DE 2.02,9.01 07/30/07
CBRL GROUP INC TN 5.02 07/25/07
CBS CORP DE 8.01,9.01 07/31/07
CBS CORP DE 2.02,9.01 07/31/07
CBS CORP DE 8.01,9.01 07/31/07
CEDAR FAIR L P DE 9.01 07/31/07
CELADON GROUP INC DE 5.02,7.01,9.01 07/25/07
CELLULAR TECHNICAL SERVICES CO INC DE 1.01,9.01 07/25/07
CENTERSTATE BANKS OF FLORIDA INC FL 7.01,9.01 07/31/07
CEPHALON INC DE 2.02,9.01 07/31/07
CERADYNE INC DE 7.01,9.01 07/27/07
CERUS CORP DE 2.02,9.01 07/31/07
CF Industries Holdings, Inc. DE 2.02,9.01 07/30/07
CHANNELL COMMERCIAL CORP DE 1.01,9.01 07/25/07
CHATTEM INC TN 5.02 07/25/07
CHECKFREE CORP \GA\ DE 5.02,9.01 07/25/07
CHINA MINERALS TECHNOLOGIES, INC. NV 5.03,9.01 07/31/07
CHIPOTLE MEXICAN GRILL INC 2.02,9.01 07/31/07
CHORDIANT SOFTWARE INC DE 2.02,9.01 07/31/07
Citigroup Mortgage Loan Trust 2007-8 9.01 07/27/07
CITIZENS COMMUNICATIONS CO DE 5.02,9.01 07/31/07
Citizens Community Bancorp Inc. MD 8.01,9.01 07/20/07
CITIZENS SOUTH BANKING CORP DE 5.03,9.01 07/23/07
CITY HOLDING CO WV 7.01,9.01 07/31/07
CITY HOLDING CO WV 1.01,9.01 07/31/07
CLAIBORNE LIZ INC DE 2.02,9.01 07/31/07
CLAYTON HOLDINGS INC 5.02,9.01 07/25/07
CLEVELAND CLIFFS INC OH 8.01 07/27/07
CNB CORP /MI/ MI 8.01 07/31/07
COACHMEN INDUSTRIES INC IN 2.02,7.01,9.01 07/30/07
COACHMEN INDUSTRIES INC IN 2.02,7.01,9.01 07/31/07
COCA COLA BOTTLING CO CONSOLIDATED /D DE 2.02,9.01 07/27/07
COFFEE PACIFICA INC NV 8.01,9.01 07/27/07
CombiMatrix Corp DE 1.01,9.01 07/26/07
COMMUNITY SHORES BANK CORP MI 2.02 07/27/07
COMPUTER SCIENCES CORP NV 5.02,5.03,8.01 07/30/07
CONOCOPHILLIPS DE 5.02 07/31/07
CONSOL ENERGY INC 5.02,9.01 07/25/07
CONSTELLATION BRANDS, INC. DE 5.02,9.01 07/26/07
CONSUMER PORTFOLIO SERVICES INC CA 7.01,9.01 07/31/07
COOPER TIRE & RUBBER CO DE 1.01,9.01 07/30/07
CORPORATE OFFICE PROPERTIES TRUST MD 2.02,9.01 07/31/07
Corridor Communications Corp 8.01 07/31/07
COVENTRY HEALTH CARE INC DE 2.02,9.01 07/31/07
Cowen Group, Inc. DE 2.02,9.01 07/31/07
COWLITZ BANCORPORATION WA 8.01,9.01 07/30/07
CRYOLIFE INC FL 2.02,9.01 07/31/07
CSMC Mortgage-Backed Trust 2007-5 DE 8.01,9.01 07/31/07
CTS CORP IN 2.02,9.01 07/30/07
CUBIST PHARMACEUTICALS INC DE 8.01,9.01 07/25/07
CURIS INC DE 2.02,9.01 07/31/07
CVB FINANCIAL CORP CA 7.01,8.01,9.01 07/27/07
CWALT INC DE 9.01 07/31/07
CWALT INC DE 9.01 07/31/07
CWMBS INC DE 9.01 07/31/07
CYTOKINETICS INC 2.02,9.01 07/31/07
CYTYC CORP DE 2.02,9.01 07/30/07
DANA CORP VA 1.01,3.03,8.01 07/25/07
DANA CORP VA 9.01 07/31/07
Data Domain, Inc. DE 2.02,9.01 07/31/07
DCP Holding CO OH 3.02 07/27/07
DELPHI CORP DE 7.01,9.01 07/31/07
DENNYS CORP DE 2.02,9.01 07/31/07
Deutsche Alt-A Securities Mortgage Lo DE 8.01,9.01 07/31/07
DIGENE CORP DE 2.01,8.01,9.01 07/30/07
Disaboom, Inc. CO 7.01,9.01 07/30/07
DIXIE GROUP INC TN 2.02,9.01 07/31/07
DNB FINANCIAL CORP /PA/ PA 2.02,9.01 07/31/07
DreamWorks Animation SKG, Inc. 2.02,9.01 07/31/07
DUPONT E I DE NEMOURS & CO DE 2.03 07/31/07
E-Z-EM, Inc. DE 5.02 07/25/07
Eagle Hospitality Properties Trust, I MD 8.01 07/31/07
EAST DELTA RESOURCES CORP. DE 5.02 07/25/07
ECHELON CORP DE 2.02,9.01 07/26/07
ECOSPHERE TECHNOLOGIES INC FL 1.01,8.01 07/27/07
EDAC TECHNOLOGIES CORP WI 2.02,9.01 07/30/07
EGL INC TX 8.01,9.01 07/31/07
eHealth, Inc. DE 2.02,9.01 07/31/07
EMERGENCY FILTRATION PRODUCTS INC/ NV NV 8.01,9.01 07/30/07
EMS TECHNOLOGIES INC GA 2.02,9.01 07/31/07
EN POINTE TECHNOLOGIES INC DE 1.01,2.03,9.01 07/20/07
ENCISION INC CO 2.02,9.01 07/31/07
ENDOLOGIX INC /DE/ DE 2.02,9.01 07/26/07
ENDURANCE SPECIALTY HOLDINGS LTD 2.02,9.01 07/31/07
Energtek 9.01 06/25/07 AMEND
ENTERGY CORP /DE/ DE 2.02,7.01,9.01 07/31/07
ENTRUST INC MD 2.02,9.01 07/31/07
EQUINIX INC DE 7.01,9.01 07/26/07
ESPEED INC DE 1.01,9.01 07/26/07
EXACTECH INC FL 2.02,7.01,9.01 07/31/07
FAMILY HEALTHCARE SOLUTIONS INC NV 1.01,2.01,3.02,4.01,5.01,5.02, 06/20/07 AMEND
5.03,5.06,9.01
FARO TECHNOLOGIES INC FL 2.02,7.01,9.01 07/30/07
FCStone Group, Inc. DE 8.01,9.01 07/31/07
Federal Home Loan Bank of Atlanta X1 2.03 07/25/07
Federal Home Loan Bank of Chicago X1 2.03 07/27/07
Federal Home Loan Bank of Chicago X1 5.02 07/30/07
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 07/27/07
Federal Home Loan Bank of Dallas 2.03 07/25/07
Federal Home Loan Bank of Des Moines X1 2.03,9.01 07/25/07
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 07/25/07
Federal Home Loan Bank of New York X1 2.03,9.01 07/25/07
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 07/25/07
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 07/18/07 AMEND
Federal Home Loan Bank of San Francis X1 2.03 07/25/07
Federal Home Loan Bank of Seattle 2.03 07/30/07
Federal Home Loan Bank of Seattle 5.02,7.01,9.01 07/31/07
Federal Home Loan Bank of Seattle 5.02 07/31/07
Federal Home Loan Bank of Seattle 5.02,7.01,9.01 07/31/07 AMEND
Federal Home Loan Bank of Topeka 2.03 07/25/07
FEI CO OR 2.02,9.01 07/31/07
FERRO CORP OH 7.01,9.01 07/31/07
FIRST ALBANY COMPANIES INC NY 1.01,9.01 07/25/07
FIRST CHARTER CORP /NC/ NC 7.01,9.01 07/31/07
FIRST DATA CORP DE 8.01 07/30/07
FIRST FINANCIAL HOLDINGS INC /DE/ DE 7.01,9.01 07/31/07
FIRST INTERSTATE BANCSYSTEM INC MT 2.02,7.01,9.01 07/30/07
FIRST NIAGARA FINANCIAL GROUP INC DE 1.01,2.02,9.01 07/25/07
FIRST PLACE FINANCIAL CORP /DE/ DE 2.02,7.01,9.01 07/31/07
FIRST SOLAR, INC. DE 2.02,9.01 07/31/07
Flag Intermediate Holdings CORP DE 2.02,9.01 07/30/07
Fleurs De Vie, Inc. NV 1.01,5.01,5.02,9.01 06/29/07
FLORIDA ROCK INDUSTRIES INC FL 2.02,9.01 07/30/07 AMEND
FLOW INTERNATIONAL CORP WA 1.01,2.03,8.01,9.01 07/26/07
FMC TECHNOLOGIES INC DE 2.02,9.01 07/30/07
FNB BANCORP/CA/ 8.01,9.01 07/27/07
FNB BANCORP/CA/ 5.02,9.01 07/27/07
FNB CORP \VA\ VA 2.02,8.01,9.01 07/26/07
FOOT LOCKER INC NY 8.01,9.01 07/30/07
FORWARD AIR CORP TN 8.01,9.01 07/31/07
FRANKLIN STREET PROPERTIES CORP /MA/ 2.02,9.01 07/31/07
FRIEDMAN BILLINGS RAMSEY GROUP INC VA 1.01,9.01 07/25/07
GARTNER INC DE 2.02,5.02,8.01,9.01 07/31/07
GENE LOGIC INC DE 5.02 07/31/07
GENERAL CABLE CORP /DE/ DE 2.02,9.01 07/31/07
GENERAL ELECTRIC CO NY 8.01,9.01 07/30/07
GENERAL EMPLOYMENT ENTERPRISES INC IL 2.02,9.01 07/30/07
GENERAL GROWTH PROPERTIES INC DE 2.02,7.01,9.01 07/31/07
GENERAL MARITIME CORP/ 2.02,9.01 07/31/07
GENERAL MOTORS CORP DE 2.02,9.01 07/31/07
GENESIS ENERGY LP DE 1.01,2.01,2.04,3.02,5.02,9.01 07/25/07
Geovax Labs, Inc. IL 1.01,3.02,9.01 07/25/07
GERON CORP DE 2.02,9.01 07/30/07
GIGABEAM CORP DE 5.02,9.01 07/25/07
GILEAD SCIENCES INC DE 8.01,9.01 07/30/07
GLADSTONE COMMERCIAL CORP MD 2.02,9.01 07/31/07
GLOBAL AXCESS CORP NV 5.05 07/26/07
GLOBAL MED TECHNOLOGIES INC CO 2.02,9.01 07/30/07
GOLDEN ENTERPRISES INC DE 8.01,9.01 07/31/07
GRAHAM CORP DE 2.02,7.01,9.01 07/30/07 AMEND
GRANDSOUTH BANCORPORATION SC 2.02,9.01 07/27/07
GREAT LAKES BANCORP, INC. DE 2.02,9.01 07/31/07
GREY WOLF INC TX 5.02,9.01 07/30/07
GROUP 1 AUTOMOTIVE INC DE 2.02,9.01 07/31/07
GTX INC /DE/ DE 2.02,9.01 07/31/07
HALOZYME THERAPEUTICS INC NV 1.01,9.01 07/26/07
HANOVER COMPRESSOR CO / DE 2.02,9.01 07/31/07
HANOVER INSURANCE GROUP, INC. DE 2.02,9.01 07/30/07
HarborView 2007-5 DE 8.01,9.01 07/12/07
HarborView 2007-6 DE 8.01,9.01 07/31/07
HAWAIIAN ELECTRIC INDUSTRIES INC HI 8.01 07/31/07
HEADWATERS INC DE 2.02,9.01 07/31/07
HEALTH CARE PROPERTY INVESTORS INC MD 2.02,9.01 07/30/07
HEALTH MANAGEMENT ASSOCIATES INC DE 2.02,9.01 07/31/07
HEALTHCARE REALTY TRUST INC MD 2.02,7.01,9.01 07/30/07
HEIDRICK & STRUGGLES INTERNATIONAL IN DE 2.02,9.01 07/31/07
HELICOS BIOSCIENCES CORP 2.02,9.01 07/31/07
HF FINANCIAL CORP DE 5.02 07/25/07
HICKORY TECH CORP MN 2.02,7.01,9.01 07/31/07
HINES REAL ESTATE INVESTMENT TRUST IN 8.01 07/31/07
HLTH CORP DE 2.02,7.01,9.01 07/31/07
HOLLY ENERGY PARTNERS LP DE 2.02,9.01 07/31/07
HOLLY ENERGY PARTNERS LP DE 5.03 07/26/07
HOLOGIC INC DE 2.02,9.01 07/31/07
HouseValues, Inc. WA 2.02,9.01 07/31/07
HouseValues, Inc. WA 2.05 07/26/07
HSBC CREDIT CARD MASTER NOTE TRUST (U DE 8.01,9.01 07/31/07
HSI Asset Loan Obligation Trust 2007- 8.01,9.01 07/31/07
Huntsman CORP DE 2.02,9.01 07/31/07
HUTCHINSON TECHNOLOGY INC MN 2.02,9.01 07/31/07
I FLOW CORP /DE/ DE 1.01,9.01 07/31/07
I MANY INC DE 2.02,9.01 07/31/07
IAC/INTERACTIVECORP DE 2.02,7.01 07/31/07
IDAHO GENERAL MINES INC ID 8.01,9.01 07/25/07
IElement CORP NV 5.02 07/31/07
ILINC COMMUNICATIONS INC DE 2.02,9.01 07/31/07
IMAGE SENSING SYSTEMS INC MN 2.02,9.01 07/31/07
IMCLONE SYSTEMS INC DE 2.02,9.01 07/31/07
IMMUNOGEN INC MA 1.01,2.03 07/27/07
IMMUNOGEN INC MA 8.01,9.01 07/31/07
INDALEX HOLDINGS FINANCE INC 5.02 07/25/07
INDUSTRIAL DISTRIBUTION GROUP INC DE 2.02,5.02,8.01,9.01 07/30/07
INDYMAC BANCORP INC DE 2.02,9.01 07/31/07
INFINERA CORP DE 2.02,9.01 07/31/07
INGERSOLL RAND CO LTD 1.01,9.01 07/29/07
INGRAM MICRO INC DE 5.02 07/28/07
Inova Technology Inc. NV 8.01 07/30/07
INTEGRA BANK CORP IN 7.01,9.01 07/31/07
INTERACTIVE GAMES INC. NV 1.01,2.01,3.02,5.01,5.03,5.06, 07/25/07
9.01
INTERNAP NETWORK SERVICES CORP DE 2.02,9.01 07/31/07
International Coal Group, Inc. DE 1.01,2.03,3.02,9.01 07/25/07
INTERPHASE CORP TX 5.03,9.01 07/25/07
INTERVOICE INC TX 8.01,9.01 07/30/07
INVACARE CORP OH 2.02,9.01 07/31/07
INVENTURE GROUP, INC. DE 2.01,9.01 05/17/07 AMEND
IRWIN FINANCIAL CORP IN 8.01,9.01 07/31/07
ISLE OF CAPRI CASINOS INC DE 1.01,2.03,9.01 07/26/07
J P MORGAN CHASE & CO DE 9.01 07/27/07
JAGGED PEAK, INC. NV 7.01,9.01 07/31/07
JAVELIN PHARMACEUTICALS, INC DE 8.01,9.01 07/31/07
JOHNSON & JOHNSON NJ 8.01 07/31/07
JOHNSON CONTROLS INC WI 5.02,5.03,9.01 07/25/07
KANA SOFTWARE INC DE 2.02,9.01 07/31/07
KBL Healthcare Acquisition Corp III DE 8.01,9.01 07/30/07
KEY ENERGY SERVICES INC MD 1.01,2.03,9.01 07/27/07
KEYNOTE SYSTEMS INC DE 2.02,9.01 07/31/07
KONA GRILL INC DE 2.02,9.01 07/30/07
KV PHARMACEUTICAL CO /DE/ DE 1.01,9.01 07/30/07
KVH INDUSTRIES INC \DE\ DE 1.01,5.03,8.01,9.01 07/26/07
Lake Shore Bancorp, Inc. X1 2.02,9.01 07/31/07
LAND O LAKES INC 2.02,9.01 07/31/07
LANDAUER INC DE 2.02,9.01 07/31/07
LANDRYS RESTAURANTS INC 8.01,9.01 07/27/07
LCA VISION INC DE 2.02,9.01 07/31/07
LECG CORP DE 2.02,9.01 07/31/07
LECG CORP DE 2.05 07/30/07
LECG CORP DE 5.02 07/26/07
Lehman XS Trust 2007-14H DE 8.01,9.01 07/31/07
Lehman XS Trust 2007-14H DE 8.01,9.01 07/31/07
Lehman XS Trust Series 2007-15N DE 8.01,9.01 07/31/07
Lehman XS Trust Series 2007-15N DE 8.01,9.01 07/31/07
Lev Pharmaceuticals Inc DE 8.01,9.01 07/31/07
LEXICON PHARMACEUTICALS, INC./DE DE 2.02,9.01 07/31/07
LIBBEY INC DE 2.02,9.01 07/31/07
LIMITED BRANDS INC DE 5.02,9.01 07/30/07
LINCOLN NATIONAL CORP IN 2.02,9.01 07/31/07
LITHIUM TECHNOLOGY CORP DE 5.02,8.01,9.01 07/27/07
LODGENET ENTERTAINMENT CORP DE 2.02,9.01 07/31/07
LSI CORP DE 7.01,9.01 07/31/07
Lusora Healthcare Systems Inc. 8.01 07/25/07
M I HOMES INC OH 2.02,9.01 07/31/07
MAGELLAN MIDSTREAM HOLDINGS LP 2.02,5.03,9.01 07/26/07
MAGELLAN MIDSTREAM PARTNERS LP DE 2.02,5.03,9.01 07/27/07
MAGNACHIP SEMICONDUCTOR LLC 2.02,9.01 07/26/07
MANITOWOC CO INC WI 2.02,9.01 07/30/07
MANNATECH INC TX 2.02,9.01 07/27/07
MARATHON OIL CORP DE 2.02,9.01 07/31/07
MARCUS CORP WI 2.02,9.01 07/31/07
MARKETAXESS HOLDINGS INC 5.02,9.01 07/25/07
MASCO CORP /DE/ DE 2.02,9.01 07/31/07
MASCO CORP /DE/ DE 5.02,9.01 07/26/07
MATRITECH INC/DE/ DE 2.02,9.01 07/31/07
MAXUS REALTY TRUST INC. 8.01 07/31/07
MAXWELL TECHNOLOGIES INC DE 2.02,9.01 07/31/07
MC SHIPPING INC 1.01,5.01,5.02,8.01,9.01 07/25/07
MCCLATCHY CO DE 9.01 07/28/07
MCG CAPITAL CORP DE 2.02,9.01 07/31/07
MEDAREX INC NJ 2.02,9.01 07/31/07
Merrill Lynch Mortgage Backed Securit DE 8.01,9.01 07/31/07
METLIFE INC DE 2.02,9.01 07/31/07
METROCORP BANCSHARES INC 2.02 07/30/07
MICROVISION INC DE 2.02,9.01 07/31/07
MIDWEST BANC HOLDINGS INC DE 8.01 07/31/07
Millennium India Acquisition CO Inc. DE 7.01,9.01 07/31/07
MILLIPORE CORP /MA MA 2.02,9.01 07/31/07
MOLSON COORS BREWING CO CO 2.05,2.06 07/31/07
MONOLITHIC POWER SYSTEMS INC CA 2.02,9.01 07/31/07
MORGAN STANLEY SPECTRUM TECHNICAL LP DE 1.01,9.01 07/25/07
Morgan Stanley Capital I Trust 2007-H DE 8.01,9.01 07/31/07
Morgan Stanley Capital I Trust 2007-T DE 8.01,9.01 07/30/07
MORGAN STANLEY CHARTER ASPECT L.P. DE 1.01,9.01 07/25/07
MORGAN STANLEY CHARTER GRAHAM LP/ DE 1.01,9.01 07/25/07
MORGAN STANLEY CHARTER WCM L.P. DE 1.01,9.01 07/25/07
MORGAN STANLEY SPECTRUM CURRENCY LP DE 1.01,9.01 07/25/07
MORGAN STANLEY SPECTRUM GLOBAL BALANC DE 1.01,9.01 07/25/07
MORGAN STANLEY SPECTRUM SELECT LP DE 1.01,9.01 07/25/07
MORGAN STANLEY SPECTRUM STRATEGIC LP NY 1.01,9.01 07/25/07
MOSAIC CO 2.02,9.01 07/30/07
MoSys, Inc. CA 2.02,9.01 07/31/07
MSTI Holdings, Inc. DE 4.01,9.01 07/25/07 AMEND
MTC TECHNOLOGIES INC DE 2.02,9.01 07/31/07
MTM Technologies, Inc. NY 1.01,2.02,3.02,5.03,9.01 07/25/07
MULTIBAND CORP MN 5.03,9.01 07/27/07
MYERS INDUSTRIES INC OH 2.02,9.01 06/30/07
Nascent Wine Company, Inc. 5.02,9.01 07/25/07
NATIONAL BEEF PACKING CO LLC DE 1.01,2.03,9.01 07/25/07
NAVTEQ CORP DE 2.02,9.01 07/31/07
NBO SYSTEMS INC MD 3.02,5.01,5.03,9.01 07/20/07
NBTY INC DE 2.02,9.01 07/26/07
NCI, Inc. DE 2.02,5.02,7.01,9.01 07/31/07
NCR CORP MD 2.02,7.01,9.01 07/31/07
NCR CORP MD 5.02,8.01,9.01 07/26/07
NELNET INC NE 2.02,9.01 07/31/07
NETBANK INC GA 5.02 07/25/07
NEUROCRINE BIOSCIENCES INC CA 2.02,9.01 07/31/07
NeuroMetrix, Inc. 2.02,9.01 07/31/07
Newport Bancorp Inc 2.02,9.01 07/27/07
NICOR INC IL 2.02,9.01 07/31/07
NORTH AMERICAN GALVANIZING & COATINGS DE 9.01 07/31/07
NORTHWEST AIRLINES CORP DE 2.02,9.01 07/31/07
NORTHWEST NATURAL GAS CO OR 5.02 07/27/07
NORTIA CAPITAL PARTNERS, INC. 5.02,9.01 07/30/07
NUTRITION 21 INC NY 1.01,2.03,9.01 07/27/07
NYMEX HOLDINGS INC DE 2.02,9.01 07/31/07
OCEANFIRST FINANCIAL CORP DE 2.02,8.01,9.01 07/30/07
OMEGA FINANCIAL CORP /PA/ PA 2.02,9.01 07/30/07
Omni Financial Services, Inc. GA 7.01,9.01 07/31/07
ON SEMICONDUCTOR CORP DE 2.02,9.01 07/31/07
OPNET TECHNOLOGIES INC DE 1.01,5.02 05/09/07
Optionable Inc 1.02,9.01 07/25/07
ORASURE TECHNOLOGIES INC DE 2.02,9.01 07/31/07
ORASURE TECHNOLOGIES INC DE 7.01,9.01 07/31/07
ORIENT EXPRESS HOTELS LTD 5.02,9.01 07/25/07
ORIENTAL FINANCIAL GROUP INC PR 8.01 07/27/07
ORTHOVITA INC 1.01,1.02,2.03,3.02,5.02,9.01 07/30/07
OSAGE EXPLORATION & DEVELOPMENT INC DE 8.01 07/31/07
OSI PHARMACEUTICALS INC DE 2.02,8.01,9.01 07/27/07
OVERSTOCK.COM, INC UT 2.02,9.01 07/31/07
OXFORD INDUSTRIES INC GA 2.02,9.01 07/30/07
P F CHANGS CHINA BISTRO INC 2.02,8.01,9.01 07/25/07
Pacific Copper Corp. DE 8.01,9.01 06/01/07
PAM TRANSPORTATION SERVICES INC DE 2.02,9.01 07/26/07
PANACOS PHARMACEUTICALS, INC. DE 2.02,8.01,9.01 07/31/07
PANACOS PHARMACEUTICALS, INC. DE 5.02 07/31/07
PAR PHARMACEUTICAL COMPANIES, INC. DE 2.02,9.01 07/30/07
Paradigm Holdings, Inc WY 3.02,7.01,9.01 07/25/07
PARK OHIO HOLDINGS CORP OH 2.02,9.01 07/31/07
PATHFINDER BANCORP INC DE 2.02 06/30/07
PC MALL INC DE 2.02,9.01 07/31/07
PDL BIOPHARMA, INC. DE 5.02,9.01 07/28/07
PEERLESS SYSTEMS CORP DE 1.01,9.01 07/30/07
PENNSYLVANIA REAL ESTATE INVESTMENT T PA 2.02,9.01 07/31/07
PENNSYLVANIA REAL ESTATE INVESTMENT T PA 5.02,9.01 07/25/07
PENSECO FINANCIAL SERVICES CORP PA 2.02,9.01 07/30/07
PENSKE AUTOMOTIVE GROUP, INC. DE 2.02,9.01 07/31/07
PeopleSupport, Inc. DE 5.02 07/26/07
PERICOM SEMICONDUCTOR CORP CA 5.02 07/31/07
PERKINELMER INC MA 5.02,8.01,9.01 07/25/07
PEROT SYSTEMS CORP DE 2.02,9.01 07/31/07
PETROHAWK ENERGY CORP DE 1.01 07/25/07
PHOENIX COMPANIES INC/DE DE 2.02,9.01 06/30/07
PILGRIMS PRIDE CORP DE 7.01 07/31/07
PILGRIMS PRIDE CORP DE 7.01 07/31/07
PILGRIMS PRIDE CORP DE 2.02,9.01 07/31/07
PILGRIMS PRIDE CORP DE 5.02 07/31/07
Platinum Research Organization, Inc. DE 1.01,9.01 07/25/07
PMI GROUP INC DE 2.02,9.01 07/31/07
POLYMEDICA CORP MA 2.02,9.01 07/31/07
POST PROPERTIES INC GA 2.02,9.01 07/31/07
PPL CORP PA 5.02,9.01 07/31/07
PREMIERE GLOBAL SERVICES, INC. GA 5.02 07/27/07
PRINCIPAL FINANCIAL GROUP INC DE 2.02,9.01 07/30/07
PROFESSIONAL VETERINARY PRODUCTS LTD NE 4.01 05/18/07 AMEND
PROFUTURES DIVERSIFIED FUND L P DE 4.01,9.01 07/16/07
PROVIDENT FINANCIAL HOLDINGS INC DE 7.01,9.01 07/31/07
PURCHASESOFT INC DE 4.01 03/08/07 AMEND
RAIT Financial Trust MD 7.01,9.01 07/31/07
RAMTRON INTERNATIONAL CORP DE 2.02,9.01 07/31/07
REALNETWORKS INC WA 2.02,9.01 07/31/07
REGAL BELOIT CORP WI 8.01 07/30/07
REGAL BELOIT CORP WI 2.02,9.01 07/31/07
REGENERATION TECHNOLOGIES INC FL 2.02,9.01 07/31/07
REHABCARE GROUP INC DE 5.02,9.01 07/31/07
RELIANT HOME WARRANTY CORP FL 5.02 07/23/07
RENT A CENTER INC DE 2.02,9.01 07/30/07
REPLIDYNE INC DE 2.02,9.01 07/31/07
REPUBLIC AIRWAYS HOLDINGS INC DE 2.02,9.01 07/31/07
REX STORES CORP DE 8.01 07/31/07
ROCHESTER MEDICAL CORPORATION MN 2.02,9.01 07/31/07
ROWAN COMPANIES INC DE 8.01,9.01 07/31/07
ROYAL GOLD INC DE 5.02,8.01,9.01 07/25/07
RUBIOS RESTAURANTS INC DE 5.02 07/25/07
RURAL/METRO CORP /DE/ DE 2.02,5.02,9.01 07/30/07
RUSH ENTERPRISES INC \TX\ TX 8.01,9.01 07/31/07
Ruths Chris Steak House, Inc. DE 2.02,9.01 07/31/07
SAFECO CORP WA 2.02,9.01 07/31/07
SAKS INC TN 5.02,9.01 07/25/07
SALARY. COM, INC. DE 1.01,2.02,9.01 07/31/07
SALISBURY BANCORP INC CT 2.02,9.01 07/31/07
SATCON TECHNOLOGY CORP DE 3.02,7.01 07/31/07
SBT Bancorp, Inc. CT 2.02,9.01 07/31/07
SCHAWK INC DE 2.02 07/31/07
SCIENTIFIC LEARNING CORP DE 2.02 07/25/07
SCOTTS MIRACLE-GRO CO OH 2.02,9.01 07/31/07
SECURE COMPUTING CORP DE 2.02,9.01 07/26/07
SHOE PAVILION INC DE 2.02,9.01 07/31/07
SI INTERNATIONAL INC DE 2.02,9.01 07/31/07
Siberian Energy Group Inc. NV 8.01,9.01 07/31/07
SIERRA HEALTH SERVICES INC NV 2.02,9.01 07/30/07
Silver Reserve Corp. DE 8.01,9.01 07/27/07
SIRF TECHNOLOGY HOLDINGS INC 2.02,9.01 07/31/07
SIRIUS SATELLITE RADIO INC DE 2.02,9.01 07/31/07
Skilled Healthcare Group, Inc. DE 1.01,9.01 07/30/07
SOLERA HOLDINGS LLC DE 7.01,9.01 07/30/07
SOLUTIA INC DE 7.01,9.01 07/31/07
SONIC AUTOMOTIVE INC DE 2.02,7.01,9.01 07/31/07
SONIC FOUNDRY INC MD 2.02,9.01 07/30/07
SOUTH TEXAS OIL CO NV 7.01,9.01 07/31/07
Southeastern Bank Financial CORP GA 2.02,9.01 07/27/07
SOUTHERN COPPER CORP/ DE 8.01 07/31/07
SOUTHWESTERN ENERGY CO AR 2.02,9.01 07/31/07
SOUTHWESTERN ENERGY CO AR 7.01 07/31/07
SPACEHAB INC \WA\ WA 5.02 07/31/07
SPHERION CORP DE 2.02,9.01 07/30/07
SPORT SUPPLY GROUP, INC. DE 7.01,9.01 07/30/07
SPSS INC DE 2.02,9.01 07/31/07
ST JOE CO FL 2.02,9.01 07/31/07
ST JOE CO FL 2.02,9.01 07/31/07
STAGE STORES INC NV 8.01,9.01 07/30/07
STAR BUFFET INC DE 7.01,9.01 07/31/07
STAR ENERGY CORP NV 4.01,4.02,9.01 03/12/07 AMEND
STERLING BANCORP NY 7.01,9.01 07/30/07
STRATASYS INC DE 5.03,9.01 07/25/07
STRATS(SM) Trust for BNSF Funding Tru 8.01,9.01 07/31/07
Structured Adjustable Rate Mortgage L DE 8.01,9.01 07/31/07
SUMTOTAL SYSTEMS INC DE 2.02,9.01 07/31/07
SUNCOM WIRELESS HOLDINGS, INC. 2.02,9.01 07/31/07
SUNPOWER CORP CA 8.01,9.01 07/31/07
SUPERIOR BANCORP DE 2.02,9.01 07/30/07
SUPERIOR ENERGY SERVICES INC DE 2.02,9.01 07/30/07
SUPERIOR ESSEX INC DE 7.01,9.01 07/26/07
SYNAPTICS INC CA 5.03,9.01 07/31/07
SYNIVERSE HOLDINGS INC DE 2.02,9.01 07/31/07
SYNTHETIC FIXED INCOME SECURITIES INC 8.01,9.01 07/31/07
T-3 ENERGY SERVICES INC TX 2.02,9.01 07/30/07
TELECOM COMMUNICATIONS INC 5.03,8.01 07/10/07
TELEFLEX INC DE 2.02,9.01 07/30/07
TELEFLEX INC DE 7.01,9.01 07/31/07
TELEMETRIX INC DE 8.01 07/30/07
TELESTONE TECHNOLOGIES CORP CO 5.02 07/25/07
TENNANT CO MN 2.02,9.01 07/31/07
TERCICA INC DE 1.01,3.02 07/30/07
TERRA INDUSTRIES INC MD 5.02,9.01 07/25/07
TESCO CORP 5.02,9.01 03/12/07
Texas Roadhouse, Inc. DE 2.02,9.01 07/30/07
THERAVANCE INC DE 5.02 07/31/07
Thomas Weisel Partners Group, Inc. DE 2.02,5.02,9.01 07/31/07
THORATEC CORP CA 2.02 07/31/07
TIMKEN CO OH 2.02 07/31/07
Tootie Pie Company, Inc. TX 5.02 05/27/07
TOWER AUTOMOTIVE INC DE 7.01,9.01 07/31/07
TRANSCAT INC OH 2.02,9.01 07/26/07
TRANSCOMMUNITY FINANCIAL CORP VA 5.02,9.01 07/27/07
TREX CO INC DE 2.02,9.01 07/31/07
TRIBEWORKS INC DE 5.03,9.01 07/26/07
TRICO MARINE SERVICES INC DE 2.02,8.01,9.01 07/30/07
TRICO MARINE SERVICES INC DE 7.01,9.01 07/31/07
TRIMBLE NAVIGATION LTD /CA/ CA 2.02,9.01 07/31/07
TRIUMPH GROUP INC / DE 5.02,9.01 07/25/07
TRIZETTO GROUP INC DE 5.02,9.01 07/25/07
TTM TECHNOLOGIES INC WA 2.02,9.01 07/31/07
TUCOWS INC /PA/ PA 1.01,2.01,2.03,9.01 07/25/07
TWIN DISC INC WI 2.02,7.01 07/31/07
UDR, Inc. MD 2.02,9.01 07/30/07
Under Armour, Inc. MD 2.02,9.01 07/31/07
UNITED AMERICAN CORP FL 5.02 07/01/07
United Community Bancorp X1 8.01,9.01 07/26/07
UNITED THERAPEUTICS CORP DE 2.02,9.01 07/31/07
UNIVERSAL AMERICAN FINANCIAL CORP NY 8.01,9.01 07/25/07
URANIUM 308 CORP. NV 8.01,9.01 07/27/07
USANA HEALTH SCIENCES INC UT 8.01,9.01 07/31/07
UTi WORLDWIDE INC 3.03,5.03,9.01 07/25/07
uVuMobile, Inc 1.01,2.03,8.01,9.01 07/20/07
VALASSIS COMMUNICATIONS INC DE 2.02,9.01 07/31/07
VALENTIS INC DE 2.01,4.01,5.01,5.02,5.06,8.01, 07/30/07 AMEND
9.01
VALERO ENERGY CORP/TX DE 2.02,9.01 07/31/07
VALIDUS HOLDINGS LTD 9.01 07/30/07
Valley Commerce Bancorp CA 2.02,9.01 07/26/07
VARSITY GROUP INC 1.01,5.02,7.01,9.01 07/25/07
VCG HOLDING CORP CO 8.01,9.01 07/31/07
VELOCITY EXPRESS CORP DE 1.01,9.01 07/25/07
VERINT SYSTEMS INC 5.02 07/26/07
VERTRUE INC DE 8.01,9.01 07/31/07
VICORP RESTAURANTS INC CO 1.01,9.01 07/30/07
ViewPoint Financial Group X1 5.02,9.01 07/25/07
Village Bank & Trust Financial Corp. 2.02,9.01 07/31/07
VISTAPRINT LTD D0 2.02,9.01 07/31/07
VOXWARE INC DE 5.02 07/26/07
Voyant International CORP NV 7.01,9.01 07/31/07
VULCAN MATERIALS CO NJ 9.01 07/30/07
VWR Funding, Inc. DE 5.02 07/30/07
Vyteris Holdings (Nevada), Inc. NV 1.01,3.02,5.02 07/25/07
WABASH NATIONAL CORP /DE DE 2.02,9.01 07/30/07
WASHINGTON GAS LIGHT CO DC 8.01 07/30/07
WASTE MANAGEMENT INC DE 2.02,9.01 07/31/07
WATTS WATER TECHNOLOGIES INC DE 2.02,9.01 07/31/07
WebMD Health Corp. DE 2.02,7.01,9.01 07/31/07
WESBANCO INC WV 8.01,9.01 07/31/07
Whitestone REIT TX 7.01,9.01 07/30/07
WHOLE FOODS MARKET INC TX 2.02,9.01 07/31/07
WISCONSIN ENERGY CORP WI 2.02 07/31/07
WOODWARD GOVERNOR CO DE 8.01 07/25/07
WORKSTREAM INC 1.01,9.01 07/25/07
WRIGHT MEDICAL GROUP INC DE 2.02,9.01 07/31/07
WVS FINANCIAL CORP PA 8.01,9.01 07/31/07
XEDAR CORP CO 5.02,9.01 07/24/07
XM SATELLITE RADIO HOLDINGS INC DE 8.01,9.01 11/09/06
XM SATELLITE RADIO HOLDINGS INC DE 8.01,9.01 03/01/07
YELLOWCAKE MINING INC. 8.01,9.01 05/10/07
YELLOWCAKE MINING INC. 1.01,9.01 07/23/07
ZOOM TECHNOLOGIES INC DE 2.02,9.01 07/31/07
http://www.sec.gov/news/digest/2007/dig080107.htm
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