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SEC NEWS DIGEST
Issue 2007-155 August 13, 2007
COMMISSION ANNOUNCEMENTS
SEC ANNOUNCES $55 MILLION FAIR FUND DISTRIBUTION TO INVESTORS INJURED
IN BANC ONE INVESTMENT ADVISORS MARKET TIMING FRAUD
The Securities and Exchange Commission today announced the
distribution of approximately $55.6 million in Fair Funds to more than
200,000 investors who were harmed by fraudulent market timing in
certain Banc One mutual funds (One Group Funds). The Fair Fund
resulted from a settled enforcement action in which Banc One
Investment Advisors Corporation (BOIA) agreed to pay $10 million in
disgorgement and $40 million in civil penalties to settle charges of
unlawful market timing. The entire Fair Fund, plus accumulated
interest, has been distributed to investors.
"Returning money to investors injured by the unlawful market timing in
this and other matters marks the continuation of the SEC's efforts to
remedy the harm suffered by investors," said Linda Chatman Thomsen,
Director of the SEC's Division of Enforcement.
The Sarbanes-Oxley Act of 2002 gave the SEC authority to increase the
amount of money returned to harmed investors by allowing civil
penalties to be included in Fair Fund distributions. Prior to SOX,
only disgorgement could be returned to investors. To date, the SEC has
distributed more than $2.5 billion in Fair Funds to injured investors.
On June 29, 2004, the SEC brought settled administrative and cease-
and-desist proceedings against BOIA and Mark A. Beeson, former
President and CEO of One Group Funds. Both consented to the settled
order without admitting or denying the SEC's findings. The SEC found
that BOIA improperly allowed market timing in One Group Funds between
June 1999 and May 2003, failed to charge required redemption fees in
One Group Funds' international funds, and improperly released
confidential portfolio holdings. In addition to disgorgement and civil
penalties, BOIA also consented to a cease-and-desist order and a
censure, and agreed to undertake certain compliance and mutual fund
governance reforms.
The Fair Fund Administrator responsible for distribution is Boston
Financial Data Services, Inc. (BFDS). Investor questions regarding the
distribution may be directed to BFDS at (800) 261-0282. Information
regarding the distribution can also be obtained at the BOIA Web site:
http://www.settlementbanconeia.com.
For further information, contact:
Robert J. Burson Senior Associate Regional Director SEC Chicago
Regional Office (312) 353-7428
Additional materials:
Distribution Plan: http://www.sec.gov/litigation/admin/2007/34-55730-
mdp.pdf
Order Approving the Distribution Plan and Appointing an Administrator:
http://www.sec.gov/litigation/admin/2007/34-55730.pdf
June 29, 2004 Order Instituting Administrative and Cease-and-Desist
Proceedings: http://www.sec.gov/litigation/admin/ia-2254.htm (Press
Rel. 2007-165)
ENFORCEMENT PROCEEDINGS
COMMISSION DECLARES DECISION AS TO BRENDAN E. MURRAY FINAL
The decision of an administrative law judge with respect to Brendan E.
Murray has become final. The law judge concluded that Murray willfully
aided and abetted violations of the Advisers Act and willfully
violated the Investment Company Act. The initial decision imposes a
second-tier civil penalty of $60,000; orders that Murray cease and
desist from committing or causing any violation or future violation of
Section 206(1) and 206(2) of the Investment Advisers Act of 1940 and
Section 37 of the Investment Company Act of 1940; bars Brendan E.
Murray from association with any investment adviser, and prohibits him
from serving or acting as an employee, officer, director, member of an
advisory board, investment adviser, or depositor of, or principal
underwriter for, a registered investment company or affiliated person
of such investment adviser, depositor, or principal underwriter; and
requires Murray to disgorge $27,200 plus prejudgment interest.
Murray was hired in September 1998, by Cornerstone Equity Advisors,
Inc. (Cornerstone Advisors), a registered investment adviser, as a
managing director; a position he held until April 2002. Cornerstone
Advisors served as adviser to the Cornerstone Funds (Funds). Murray
handled the Funds' mutual fund clearing, processing, and sales; he was
also responsible for operations and administration and, for a short
period of time, provided portfolio management services. Murray also
served as secretary to the Funds, a position that enabled him to
attend board meetings and draft the minutes of the meetings.
Cornerstone's chief executive officer, who was responsible for
reviewing invoices for accuracy and forwarding them to the Funds'
administrator, suffered a stroke in 2001, and never returned to
Cornerstone Advisors' office. During this time, Murray and James
DeMatteo, Cornerstone's president, discovered that the Funds were
facing liquidation and concocted a billing scheme to skim money from
the Funds. Instead of the vendor sending invoices to Cornerstone's
bank for payment, vendors were instructed to send payment to a
Cornerstone affiliate. Murray would create and falsely approve
inflated invoices and expense authorizations for vendors. He sent the
inflated payments to the bank with instructions to pay the amount that
the vendor had originally billed. Murray and DeMatteo kept the
difference.
DeMatteo, who was also a respondent in this proceeding, previously
entered into a settlement. (Rels. IA-2630 Finality Order; IC-27928;
File No. 3-12436)
GRAND JURY INDICTS FORMER PRINCIPALS OF DEFUNCT SOUTH FLORIDA PAYDAY
ADVANCE COMPANY WHICH RAISED OVER $1.6 MILLION IN FRAUDULENT
SECURITIES OFFERING
The Commission announced that on June 28, 2007, Eric Turner and
Kenneth May, residents of South Florida, were criminally indicted by a
federal grand jury convened by the United States Attorney for the
Southern District of Florida. The 16 count indictment charges the
defendants for their roles in a fraudulent offering that raised over
$1.6 million from more than 70 investors nationwide through the sale
of securities issued by Virtual Cash Card LLC, d/b/a Virtual Cash
(Virtual Cash), a defunct South Florida payday advance company. In
November 2002, the Commission filed an emergency action against the
defendants, Virtual Cash and others charging them with violations of
the antifraud and registration provisions of the federal securities
laws.
According to the Indictment, from at least September 2001 through
December 2002, the defendants used in-house sales agents and an
independent sales group, Omni Advertising & Marketing, Inc. (Omni), to
raise funds for their purported payday advance business, promising up
to 150% returns on their investments. They further represented to
investors that their funds would be used to purchase accounts
receivables, that their funds would be fully collateralized by
accounts receivables, that Virtual Cash was properly licensed and
profitable, and that investors would not incur any costs in connection
with their investments. In truth, Virtual Cash was never profitable or
properly licensed as a money transmitter, and most of the funds
invested by investors were not used to fund accounts receivables.
Rather, investor funds were used to fund Virtual Cash's operations, to
pay substantial commissions to Virtual Cash and Omni sales agents and,
to pay "dividends" to prior investors. The indictment charges Turner
and May with conspiracy to commit wire fraud and mail fraud (18 U.S.C.
§§ 371), wire fraud (18 U.S.C. § 1343) and mail fraud (18 U.S.C. §
1341).
In January and February 2004, by consent, the U.S. District Court for
the Southern District of Florida permanently enjoined Virtual Cash,
Turner and May from violations of Sections 5(a), 5(c) and 17(a) of the
Securities Act of 1933, Sections 10(b) and 15(a)(1) of the Securities
Exchange Act of 1934, and Rule 10b-5 thereunder. The Final Judgments
entered against Turner and May ordered them to pay disgorgement in the
amounts of $41,360 and $32,031, plus prejudgment interest in the
amounts of $1,077.11 and $834.16, respectively, found them jointly and
severally liable for disgorgement in the amount of $360,000, plus
prejudgment interest in the amount of $7,537.50, and ordered each of
them to pay a civil penalty in the amount of $120,000 each. For
further information, see Litigation Release Nos. 17868 (Dec. 2, 2002)
and 18771 (June 29, 2004). [U.S. v. Eric Turner and Kenneth May, USDC,
SD FL, Crim. No. 07-60173-CR.] (LR-20238)
SEC SETTLES AGAINST TRI ENERGY, INC. AND DEFENDANTS ARTHUR SIMBURG,
ROBERT JENNINGS, DANIEL MERRIMAN, MILDRED STULTZ AND RELIEF DEFENDANT
ADRIENNE LAU IN A MASSIVE AFFINITY FRAUD AND PONZI SCHEME
The Commission announced today that the Honorable Andrew Guilford,
U.S. District Judge for the Central District of California, entered
Final Judgments on Aug. 9, 2007, as to defendants Tri Energy, Inc., H
& J Energy Company, Inc., Robert Jennings, Arthur Simburg, and La Vie
D'Argent (collectively, Tri Energy Defendants), and also against
Daniel J. Merriman and his companies DJM, LLC, Financial MD, Inc., and
Financial MD and Associates (collectively, Merriman Defendants). A
final judgment was also entered against defendant Mildred Stultz on
May 17, 2007, and against relief defendant, Nga Wing Lau a/k/a
Adrienne Lau, on Aug. 9, 2007. The Tri Energy Defendants, the Merriman
Defendants, and Stultz were each permanently enjoined from future
violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of
1933 (Securities Act), and Section 10(b) of the Securities Exchange
Act of 1934 (Exchange Act) and Rule 10b-5 thereunder. The Tri Energy
Defendants, the Merriman Defendants, and Stultz, who each consented to
the entry of the judgments without admitting or denying the
allegations of the Commission's Amended Complaint, are specifically
enjoined from soliciting investments of the type at issue in the
Commission's lawsuit. The Court also ordered the Tri Energy Defendants
to pay civil penalties, disgorgement, and pre-judgment interest to be
determined by the Court at a later date. The Merriman Defendants were
ordered to pay disgorgement in the aggregate amount of $101,500 plus
pre-judgment interest of $16,371 and a $75,000 civil penalty. Stultz
was ordered to pay disgorgement of $174,100 and pre-judgment interest
of $25,098.84, which were waived based on her financial condition.
Finally, Lau was ordered to pay disgorgement of $200,000 plus pre-
judgment interest of $20,000.
The Commission's Amended Complaint, filed on Aug. 10, 2006, alleged
that the aforementioned defendants, and others, perpetrated a massive
affinity fraud and Ponzi scheme involving a purported coal mine
venture and a so-called international "gold deal." The Complaint
alleged that defendants had been telling investors that these
extraordinary profits were to be generated in part by helping an
unnamed Saudi Arabian prince move gold from Israel through Luxembourg
to the United Arab Emirates. In reality, according to the Complaint,
although some money had been paid out to investors, those funds
appeared to have come from new investor money, and substantial amounts
of investor funds had been transferred to bank accounts controlled by
some of the defendants and relief defendants. Defendants recruited
potential victims through claims that their investments were aimed, at
least in part, at raising money for humanitarian and religious
efforts. The defendants promised their victims outlandish returns on
their investments of 100-1000% in as little as 60 days. Over 500
investors lost over tens of millions of dollars in the scheme. [SEC v.
Tri Energy, Inc., H & J Energy Company, Inc., Marina Investors Group,
Inc., Lowell Decker, Robert Jennings, Henry Jones, Arthur Simburg,
Mildred Stultz, DJM, LLC, Financial MD, Inc., Financial MD and
Associates, Inc., Daniel J. Merriman, Global Village Records, and La
Vie D'Argent, as defendants, and R.P.J. Investment Group, Inc., T.M.A.
Investment Enterprises, Thomas Avery, and Wing NGA Lau, a/k/a Adrienne
Lau, as relief defendants, Case No. ED CV 05-00351 AG(MANx) (C.D.
California)] (LR-20239)
SELF-REGULATORY ORGANIZATIONS
PROPOSED RULE CHANGES
The Boston Stock Exchange filed a proposed rule change (SR-BSE-2007-
37) to amend the existing fee schedules. Publication is expected in
the Federal Register during the week of August 13. (Rel. 34-56235)
The American Stock Exchange filed a proposed rule change (SR-Amex-
2007-85) to establish a new class of Off-Floor Market Makers in ETFs
and equities called Designated Amex Remote Traders. Publication is
expected in the Federal Register during the week of August 13. (Rel.
34-56236)
APPROVAL OF PROPOSED RULE CHANGE
The Commission approved a proposed rule change (SR-CBOE-2007-73)
submitted by the Chicago Board Options Exchange to assess, on a
retroactive basis, certain CBOE and CBSX market data fees. Publication
is expected in the Federal Register during the week of August 13.
(Rel. 34-56231)
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:
. In most cases, this information is also
available on the Commission's website: < www.sec.gov>.
S-8 YAMANA GOLD INC, 150 YORK ST, STE 1902, TORONTO, A6, M5H 3S5,
4168150220 - 16,475,537 ($154,694,216.59) Equity, (File 333-145300 -
Aug. 10) (BR. 04A)
S-8 NATIONAL INSTRUMENTS CORP /DE/, 11500 NORTH MOPAC EXPRESSWAY, AUSTIN,
TX, 78759, 5123389119 - 3,000,000 ($97,680,000.00) Equity,
(File 333-145301 - Aug. 10) (BR. 03C)
S-8 IOWA TELECOMMUNICATIONS SERVICES INC, 115 S SECOND AVE WEST, NEWTON,
IA, 50208, 0 ($18,390,000.00) Equity, (File 333-145302 - Aug. 10)
(BR. 11C)
S-8 IOWA TELECOMMUNICATIONS SERVICES INC, 115 S SECOND AVE WEST, NEWTON,
IA, 50208, 0 ($9,195,000.00) Equity, (File 333-145303 - Aug. 10)
(BR. 11C)
SB-2 NitroSecurity, Inc., 230 COMMERCE WAY, SUITE 325, PORTSMOUTH, NH,
03801, (603) 766-8160 - 0 ($55,037,500.00) Equity, (File 333-145304 -
Aug. 10) (BR. 08)
S-8 AMICUS THERAPEUTICS INC, 6 CEDAR BROOK DRIVE, CRANBURY, NJ, 08512,
(609) 662-2000 - 0 ($34,172,721.00) Equity, (File 333-145305 - Aug. 10)
(BR. 01B)
S-8 INFINITY PHARMACEUTICALS, INC., 780 MEMORIAL DRIVE, CAMBRIDGE, MA,
02139, 6174531000 - 780,929 ($8,348,131.01) Equity, (File 333-145306 -
Aug. 10) (BR. 01A)
S-1 CreditCards.com, Inc., 13809 RESEARCH BOULEVARD, SUITE 906, AUSTIN, TX,
78750, 512-996-8863 - 0 ($115,000,000.00) Equity, (File 333-145307 -
Aug. 10) (BR. 08)
S-8 ANHEUSER-BUSCH COMPANIES, INC., ONE BUSCH PL, ST LOUIS, MO, 63118-1852,
3145772000 - 15,000,000 ($748,800,000.00) Equity, (File 333-145308 -
Aug. 10) (BR. 02A)
S-1 Reliant Pharmaceuticals, Inc., 110 ALLEN ROAD, LIBERTY CORNER, NJ,
07938, 908-580-1200 - 0 ($400,000,000.00) Equity, (File 333-145309 -
Aug. 10) (BR. 01)
S-3 DENDREON CORP, 3005 FIRST AVENUE, SEATTLE, WA, 98121, 206254545 -
0 ($85,250,000.00) Debt Convertible into Equity, (File 333-145311 -
Aug. 10) (BR. 01A)
S-8 SONIC INNOVATIONS INC, 2795 EAST COTTONWOOD PARKWAY, SUITE 660,
SUITE 660, SALT LAKE CITY, UT, 84117-7261, 8013652800 -
789,474 ($5,873,686.56) Equity, (File 333-145312 - Aug. 10) (BR. 10C)
S-8 SONOMA VALLEY BANCORP, C/O SONOMA VALLEY BANCORP, 202 WEST NAPA STREET,
SONOMA, CA, 95476, 9164420400 - 231,963 ($6,351,147.00) Other,
(File 333-145313 - Aug. 10) (BR. 07A)
S-1 DLI Holding Corp., C/O KELSO AND COMPANY, L.P.,
320 PARK AVENUE, 24TH FLOOR, NEW YORK, NY, 10022, (212) 751-3939 -
0 ($200,000,000.00) Equity, (File 333-145314 - Aug. 10) (BR. 06)
S-4 Mueller Water Products, Inc., 1200 ABERNATHY RD, SUITE 1200, ATLANTA,
GA, 30328, 770-206-4200 - 0 ($425,000,000.00) Non-Convertible Debt,
(File 333-145315 - Aug. 10) (BR. 06B)
SB-2 Diversified Restaurants Holding, Inc., 21751 W. ELEVEN MILE ROAD,
SUITE 208, SOUTHFIELD, MI, 48076, (248) 223-9160 -
1,000,000 ($2,500,000.00) Equity, (File 333-145316 - Aug. 10) (BR. 08)
S-3 PharmaNet Development Group Inc, 504 CARNEGIE CENTER, PRINCETON, NJ,
08540-6242, 609-951-6800 -
0 ($300,000,000.00) Unallocated (Universal) Shelf, (File 333-145317 -
Aug. 10) (BR. 01C)
S-8 ANIXTER INTERNATIONAL INC, 2301 PATRIOT BLVD, GLENVIEW, IL, 60026,
2245218204 - 0 ($125,953,000.00) Equity, (File 333-145318 - Aug. 10)
(BR. 10A)
S-8 RADYNE CORP, 3138 E ELWOOD ST, PHOENIX, AZ, 85034, 6024379620 -
0 ($10,740,000.00) Equity, (File 333-145319 - Aug. 10) (BR. 11C)
S-8 CONTINENTAL RESOURCES INC, 302 NORTH INDEPENDENCE, SUITE 1400, ENID,
OK, 73702, 5802338955 - 0 ($111,675,390.00) Equity, (File 333-145320 -
Aug. 10) (BR. 04A)
N-2 DREYFUS GLOBAL DIVERSIFIED INCOME FUND, 200 PARK AVENUE, NEW YORK, NY,
10166, 212-922-6000 - 50,000 ($1,000,000.00) Equity, (File 333-145321 -
Aug. 10) (BR. 18)
SB-2 RG GLOBAL LIFESTYLES INC, 30021 TOMAS #200, RANCHO SANTA MARGARITA, CA,
92688, 949-888-9500 - 3,613,940 ($3,252,546.00) Equity,
(File 333-145322 - Aug. 10) (BR. 06C)
S-8 SEPRACOR INC /DE/, 84 WATERFORD DRIVE, MARLBOROUGH, MA, 01757,
5084816700 - 0 ($59,400,000.00) Equity, (File 333-145323 - Aug. 10)
(BR. 01C)
S-8 LUFKIN INDUSTRIES INC, P O BOX 849, LUFKIN, TX, 75902-0849,
9366342211 - 1,000,000 ($52,150,000.00) Other, (File 333-145324 -
Aug. 10) (BR. 10B)
S-8 eTelecare Global Solutions, Inc., 31ST FLOOR CYBERONE BUILDING,
EASTWOOD CITY, CYBERPARK BAGUMBAYAN, QUEZON CITY METRO MANILA, R6,
1110, 6329165670 - 12,275,238 ($52,939,799.16) Equity,
(File 333-145325 - Aug. 10) (BR. 08)
S-8 Quicksilver Gas Services LP, 777 WEST ROSEDALE STREET, FORT WORTH, TX,
76104, (817) 665-5000 - 750,000 ($15,960,000.00) Equity,
(File 333-145326 - Aug. 10) (BR. 02)
S-8 WASHINGTON REAL ESTATE INVESTMENT TRUST, 6110 EXECUTIVE BOULEVARD,
SUITE 800, ROCKVILLE, MD, 20852, 3019295900 -
0 ($64,850,000.00) Equity, (File 333-145327 - Aug. 10) (BR. 08C)
SB-2 Harvey's Collectibles, Inc., 14241 SW 92ND AVENUE, MIAMI, FL, 33176,
305-378-1948 - 486,200 ($2,803,000.00) Equity, (File 333-145328 -
Aug. 10) (BR. )
S-8 WebMD Health Corp., 669 RIVER DR., CENTER 2, ELMWOOD PARK, NJ, 07407,
201-703-3400 - 377,059 ($16,073,785.32) Equity, (File 333-145329 -
Aug. 10) (BR. 08B)
S-8 FIRST CONSULTING GROUP INC, 111 W OCEAN BLVD, 4TH FL, LONG BEACH, CA,
90802, 5626245200 - 0 ($17,320,000.00) Equity, (File 333-145330 -
Aug. 10) (BR. 08A)
S-4 WASHINGTON FEDERAL INC, 425 PIKE STREET, SEATTLE, WA, 98101,
2066247930 - 0 ($81,919,521.00) Equity, (File 333-145331 - Aug. 10)
(BR. 07C)
S-8 HLTH CORP, RIVER DRIVE CENTER 2, 669 RIVER DR, ELMWOOD PARK, NJ, 07407,
2017033400 - 3,000,000 ($39,960,000.00) Equity, (File 333-145332 -
Aug. 10) (BR. 03C)
S-8 SATCON TECHNOLOGY CORP, 161 FIRST STREET, CAMBRIDGE, MA, 02142,
6176610540 - 0 ($1,090,000.00) Equity, (File 333-145334 - Aug. 10)
(BR. 10C)
S-3 SATCON TECHNOLOGY CORP, 161 FIRST STREET, CAMBRIDGE, MA, 02142,
6176610540 - 0 ($1,981,824.00) Equity, (File 333-145335 - Aug. 10)
(BR. 10C)
S-3 TRANSWITCH CORP /DE, THREE ENTERPRISE DRIVE, SHELTON, CT, 06484,
2039298810 - 0 ($25,013,000.00) Other, (File 333-145336 - Aug. 10)
(BR. 10C)
S-8 SATCON TECHNOLOGY CORP, 161 FIRST STREET, CAMBRIDGE, MA, 02142,
6176610540 - 0 ($2,180,000.00) Equity, (File 333-145337 - Aug. 10)
(BR. 10C)
S-8 NEOMAGIC CORP, 3250 JAY STREET, 3250 JAY STREET, SANTA CLARA, CA,
95054, (408) 988- - 600,000 ($2,042,000.00) Equity, (File 333-145338 -
Aug. 10) (BR. 10B)
S-3 GOODRICH PETROLEUM CORP, 808 TRAVIS, SUITE 1320, HOUSTON, TX, 77002,
7137809494 - 0 ($200,000,000.00) Unallocated (Universal) Shelf,
(File 333-145339 - Aug. 10) (BR. 04B)
S-4 Superior Well Services, INC, 1380 RT. 286 EAST, SUITE #121, INDIANA,
PA, 15701, 724-465-8904 - 5,000,000 ($88,550,000.00) Equity,
(File 333-145340 - Aug. 10) (BR. 04B)
S-1 OSG America L.P., TWO HARBOUR PLACE, 302 KNIGHTS RUN AVE, SUITE 1200,
TAMPA, FL, 33602, (813) 209-0600 - 0 ($181,125,000.00) Equity,
(File 333-145341 - Aug. 10) (BR. )
S-3 STAR SCIENTIFIC INC, 801 LIBERTY WAY, CHESTER, VA, 23836, 8048610681 -
0 ($2,740,500.00) Equity, (File 333-145342 - Aug. 10) (BR. 05C)
S-8 Quadra Realty Trust, Inc., C/O HYPO REAL ESTATE CAPITAL CORPORATION,
622 THIRD AVENUE, NEW YORK, NY, 10017, (212) 671-6300 -
0 ($18,810,000.00) Equity, (File 333-145343 - Aug. 10) (BR. 08C)
S-3 TALON INTERNATIONAL, INC., 21900 BURBANK BLVD., SUITE 270,
WOODLAND HILLS, CA, 91367, 8184444100 -
3,600,000 ($3,294,000.00) Equity, (File 333-145344 - Aug. 10) (BR. 02B)
S-3 CASCADE MICROTECH INC, 2430 NW 206TH AVENUE, BEAVERTON, OR, 97005,
5036011000 - 842,753 ($8,334,827.17) Equity, (File 333-145349 -
Aug. 10) (BR. 10A)
S-3 WESTERN ALLIANCE BANCORPORATION, 2700 WEST SAHARA AVENUE, LAS VEGAS,
NV, 89102, 7022484200 - 0 ($6,889,754.00) Equity, (File 333-145350 -
Aug. 10) (BR. 07C)
S-1 SIGMA DESIGNS INC, 1221 CALIFORNIA CIRCLE, MILPITAS, CA, 95035,
4082629003 - 0 ($145,498,000.00) Equity, (File 333-145351 - Aug. 10)
(BR. 03C)
S-8 Thomas Weisel Partners Group, Inc., ONE MONTGOMERY STREET,
SAN FRANCISCO, CA, 94104, 415-364-2500 -
1,150,000 ($14,076,000.00) Equity, (File 333-145352 - Aug. 10) (BR. 07)
S-8 CASCADE MICROTECH INC, 2430 NW 206TH AVENUE, BEAVERTON, OR, 97005,
5036011000 - 0 ($5,934,000.00) Equity, (File 333-145353 - Aug. 10)
(BR. 10A)
RECENT 8K FILINGS
Form 8-K is used by companies to file current reports on the following events:
1.01 Entry into a Material Definitive Agreement
1.02 Termination of a Material Definitive Agreement
1.03 Bankruptcy or Receivership
2.01 Completion of Acquisition or Disposition of Assets
2.02 Results of Operations and Financial Condition
2.03 Creation of a Direct Financial Obligation or an Obligation under an
Off-Balance Sheet Arrangement of a Registrant
2.04 Triggering Events That Accelerate or Increase a Direct Financial Obligation
under an Off-Balance Sheet Arrangement
2.05 Cost Associated with Exit or Disposal Activities
2.06 Material Impairments
3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or
Standard; Transfer of Listing
3.02 Unregistered Sales of Equity Securities
3.03 Material Modifications to Rights of Security Holders
4.01 Changes in Registrant's Certifying Accountant
4.02 Non-Reliance on Previously Issued Financial Statements or a Related Audit
Report or Completed Interim Review
5.01 Changes in Control of Registrant
5.02 Departure of Directors or Principal Officers; Election of Directors;
Appointment of Principal Officers
5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
5.04 Temporary Suspension of Trading Under Registrant's Employee Benefit Plans
5.05 Amendments to the Registrant's Code of Ethics, or Waiver of a
Provision of the Code of Ethics
6.01. ABS Informational and Computational Material.
6.02. Change of Servicer or Trustee.
6.03. Change in Credit Enhancement or Other External Support.
6.04. Failure to Make a Required Distribution.
6.05. Securities Act Updating Disclosure.
7.01 Regulation FD Disclosure
8.01 Other Events
9.01 Financial Statements and Exhibits
8-K reports may be obtained in person or by writing to the
Commission's Public Reference Branch at 100 F Street, N.E.,
Washington, D.C. 20549-1090 or at the following e-mail box address:
<publicinfo@sec.gov>. In most cases, this information is also
available on the Commission's website: < www.sec.gov>.
STATE 8K ITEM NO.
NAME OF ISSUER CODE DATE COMMENT
3COM CORP DE 5.02 08/06/07
99 CENTS ONLY STORES CA 2.02,9.01 08/09/07
ABX AIR INC 2.02,4.02,9.01 08/09/07
ACCESS WORLDWIDE COMMUNICATIONS INC DE 1.01,9.01 08/08/07
ACCREDITED HOME LENDERS HOLDING CO DE 2.02 08/10/07
ACNB CORP PA 2.02,9.01 08/10/07
ADDVANTAGE TECHNOLOGIES GROUP INC OK 5.02,9.01 08/07/07
AFFILIATED COMPUTER SERVICES INC DE 8.01,9.01 08/09/07
ALASKA PACIFIC BANCSHARES INC AK 5.02 08/09/07
ALASKA PACIFIC BANCSHARES INC AK 9.01 06/30/07
Allegiant Travel CO NV 8.01 08/09/07
ALLIANCEBERNSTEIN HOLDING L.P. DE 7.01,9.01 08/09/07
ALLIANCEBERNSTEIN L.P. DE 7.01,9.01 08/09/07
Allied Nevada Gold Corp DE 8.01,9.01 08/10/07
Alphatec Holdings, Inc. DE 5.02 08/07/07
ALPINE AIR EXPRESS INC/DE DE 1.01,9.01 08/09/07
AMERICAN BANK NOTE HOLOGRAPHICS INC DE 5.02,9.01 08/09/07
AMERICAN CLAIMS EVALUATION INC NY 4.01,9.01 08/08/07
AMERICAN CLAIMS EVALUATION INC NY 2.02,5.03,9.01 08/08/07
American Home Mortgage Assets Trust 2 DE 1.03,9.01 08/06/07
American Home Mortgage Assets Trust 2 DE 1.03,9.01 08/06/07
American Home Mortgage Assets Trust 2 DE 1.03,9.01 08/06/07
American Home Mortgage Assets Trust 2 DE 1.03,9.01 08/06/07
American Home Mortgage Assets Trust 2 DE 1.03,9.01 08/06/07
American Home Mortgage Investment Tru DE 1.03,9.01 08/06/07
American Home Mortgage Investment Tru DE 1.03,9.01 08/06/07
American Home Mortgage Investment Tru DE 1.03,9.01 08/06/07
American Home Mortgage Investment Tru DE 1.03,9.01 08/06/07
American Home Mortgage Investment Tru DE 1.03,9.01 08/06/07
AMERICAN METAL & TECHNOLOGY, INC. DE 3.02,5.03,7.01,9.01 08/03/07
AMERICAN TECHNOLOGIES GROUP INC NV 5.02 08/10/07
American Tire Distributors Holdings, 7.01 08/10/07
AMERICAN VANGUARD CORP DE 2.02,9.01 08/09/07
AMH Holdings, Inc. DE 2.02,9.01 08/10/07
AMKOR TECHNOLOGY INC DE 5.02,9.01 08/06/07
AML COMMUNICATIONS INC DE 2.02,9.01 08/08/07
ANGIODYNAMICS INC DE 5.02 08/06/07
ANWORTH MORTGAGE ASSET CORP MD 8.01,9.01 08/09/07
APOLLO INVESTMENT CORP MD 2.02,9.01 08/08/07
APPLIED DIGITAL SOLUTIONS INC MO 8.01,9.01 08/09/07
ARCADIA RESOURCES, INC NV 2.02,9.01 08/09/07
ARROW ELECTRONICS INC NY 8.01,9.01 08/07/07
Ascent Solar Technologies, Inc. DE 8.01,9.01 08/10/07
ASPYRA INC CA 4.02 08/08/07
ASSOCIATED MATERIALS INC DE 2.02,9.01 08/10/07
ASTA FUNDING INC DE 2.02,9.01 08/10/07
AURIGA LABORATORIES, INC. DE 7.01,8.01,9.01 08/09/07
AUTOBYTEL INC DE 2.02,9.01 08/08/07
AUTOIMMUNE INC DE 2.02,9.01 08/09/07
AXA FINANCIAL INC DE 2.02,9.01 08/09/07
Banc of America Commercial Mortgage I DE 8.01,9.01 08/10/07
Banc of America Funding 2007-1 Trust DE 1.03 08/06/07
Banc of America Funding 2007-2 Trust DE 1.03 08/06/07
Banc of America Funding 2007-3 Trust DE 1.03 08/06/07
Banc of America Funding 2007-4 Trust DE 1.03 08/06/07
Banc of America Funding 2007-6 Trust DE 8.01 08/06/07
Banc of America Funding 2007-A Trust DE 1.03 08/06/07
Banc of America Funding 2007-D Trust DE 1.03 08/06/07
Bear Stearns ARM Trust 2007-2 DE 9.01 06/29/06
BEAR STEARNS DEPOSITOR INC TRUST CERT 8.01,9.01 06/26/07
bebe stores, inc. CA 2.02,9.01 08/04/07
BEKEM METALS INC UT 5.02 08/06/07
BERKELEY TECHNOLOGY LTD 2.02,7.01 06/30/07
BIOCRYST PHARMACEUTICALS INC DE 8.01,9.01 08/09/07
BIOFORCE NANOSCIENCES HOLDINGS, INC. NV 2.02,9.01 08/10/07
BKF CAPITAL GROUP INC DE 4.02,9.01 08/09/07
Black Tusk Minerals Inc. NV 5.02 08/09/07
BlackRock Inc. DE 4.02 08/10/07
BMB MUNAI INC 8.01,9.01 08/10/07
BofI Holding, Inc. DE 2.02,9.01 08/10/07
BOSTON COMMUNICATIONS GROUP INC MA 8.01 08/02/07
BOTETOURT BANKSHARES INC VA 2.02,8.01,9.01 08/10/07
BRADLEY PHARMACEUTICALS INC DE 2.02,9.01 08/09/07
BreitBurn Energy Partners L.P. DE 9.01 05/24/07 AMEND
BRINKER INTERNATIONAL INC DE 1.01,2.02,8.01,9.01 08/08/07
Bronco Drilling Company, Inc. DE 7.01,9.01 08/10/07
BUTLER INTERNATIONAL INC /MD/ MD 1.01,9.01 08/03/07
BUTLER INTERNATIONAL INC /MD/ MD 8.01,9.01 08/10/07
CABLEVISION SYSTEMS CORP /NY DE 8.01,9.01 08/10/07
CalAmp Corp. DE 8.01,9.01 08/09/07
CAPITAL ONE MASTER TRUST NY 8.01,9.01 08/09/07
CAPRIUS INC DE 8.01,9.01 08/08/07
CARDTRONICS INC DE 2.02 08/10/07
CARROLS RESTAURANT GROUP, INC. 2.02,9.01 08/10/07
CASTLE A M & CO MD 5.02 08/09/07
CATCHER HOLDINGS, INC 1.01,3.02 08/06/07
CAVALIER HOLDINGS, INC. DE 4.01,9.01 08/08/07
CBIZ, Inc. DE 2.02,9.01 08/07/07
CBRE Realty Finance Inc 1.01,2.04,9.01 08/06/07
CDW CORP IL 8.01,9.01 08/09/07
CECIL BANCORP INC MD 2.02,9.01 08/10/07
CH2M HILL COMPANIES LTD OR 8.01 08/10/07
Chardan North China Acquisition Corp DE 5.03,9.01 08/09/07
ChaseFlex Trust Series 2007-M1 DE 8.01,9.01 07/26/07
CHILDRENS PLACE RETAIL STORES INC 2.02,9.01 08/09/07
CHINA SECURITY & SURVEILLANCE TECHNOL D8 9.01 08/10/07 AMEND
CHS INC MN 5.02,9.01 08/09/07
CITIZENS FINANCIAL CORP /KY/ KY 2.02,9.01 06/30/07
CITIZENS INC CO 2.02,9.01 08/08/07
CLST Holdings, Inc. DE 5.02 08/07/07
CNB CORP /MI/ MI 8.01 08/09/07
COCONNECT INC NV 1.01,9.01 08/10/07
COEUR D ALENE MINES CORP ID 2.02,9.01 08/08/07
COL CHINA ONLINE INTERNATIONAL INC DE 4.01,9.01 08/09/07
COLLECTORS UNIVERSE INC DE 7.01,9.01 08/10/07
COMARCO INC CA 5.02,9.01 08/09/07
COMDISCO HOLDING CO INC DE 2.02,9.01 08/09/07
COMMERCE BANCSHARES INC /MO/ MO 5.03,9.01 07/27/07
COMMERCE GROUP INC /MA MA 8.01,9.01 08/08/07
COMMONWEALTH EDISON CO IL 7.01,9.01 08/10/07
COMPETITIVE TECHNOLOGIES INC DE 5.02 08/09/07
COMPUDYNE CORP NV 5.02,9.01 08/07/07
CONSOLIDATED RESOURCES HEALTH CARE FU GA 7.01,9.01 08/09/07
CONTINAN COMMUNICATIONS, INC. NV 5.02 08/06/07
CROWN CASTLE INTERNATIONAL CORP DE 5.02 08/10/07
Crystal River Capital, Inc. MD 2.02,9.01 08/09/07
CT HOLDINGS ENTERPRISES INC DE 1.01,3.02,5.02,8.01,9.01 08/10/07
CYBER DEFENSE SYSTEMS INC FL 1.01,5.02,9.01 07/31/07
CYGNE DESIGNS INC DE 3.02,9.01 08/09/07
CYTRX CORP DE 2.02,9.01 08/10/07
DANA CORP VA 7.01,9.01 08/10/07
DARLING INTERNATIONAL INC DE 2.02,9.01 08/07/07
Darwin Professional Underwriters Inc DE 2.02,8.01,9.01 08/06/07
DATAJUNGLE SOFTWARE INC NV 3.02 08/06/07
DELUXE CORP MN 5.02,9.01 08/08/07
Deutsche Alt-A Securities Mortgage Lo DE 8.01,9.01 08/10/07 AMEND
DIGITAL ANGEL CORP DE 7.01,9.01 08/09/07
DIRECT INSITE CORP DE 2.02,9.01 08/09/07
DREW INDUSTRIES INC DE 8.01,9.01 08/10/07
DRI CORP NC 7.01,9.01 08/10/07
DUKE REALTY CORP IN 5.02,9.01 08/08/07
DULCIN IZMIR CORP FL 4.01 07/16/07
Eagle Hospitality Properties Trust, I MD 8.01 08/06/07
Eastern Insurance Holdings, Inc. PA 2.02,9.01 08/09/07
EMAGIN CORP DE 1.01,2.03,3.02,9.01 08/07/07
Employers Holdings, Inc. NV 5.02,9.01 08/10/07
Employers Holdings, Inc. NV 8.01,9.01 08/10/07
ENIGMA SOFTWARE GROUP, INC DE 3.02 08/10/07
ENTERTAINMENT DISTRIBUTION CO INC DE 2.02,9.01 08/07/07
ENTHRUST FINANCIAL SERVICES INC DE 5.02,9.01 08/09/07
EPIX Pharmaceuticals, Inc. 5.02,9.01 08/09/07
EQUITY LIFESTYLE PROPERTIES INC MD 5.03,9.01 08/08/07
EQUITY LIFESTYLE PROPERTIES INC MD 8.01 08/08/07
EXCO RESOURCES INC TX 5.03,9.01 08/08/07
EXOPACK HOLDING CORP 1.01,2.01,9.01 08/06/07
EXPRESS SCRIPTS INC DE 5.02 08/10/07
EXPRESS-1 EXPEDITED SOLUTIONS INC DE 2.02,9.01 08/09/07
Federal Home Loan Bank of Des Moines X1 2.02,7.01,9.01 08/10/07
FIRST FINANCIAL BANCORP /OH/ OH 7.01,9.01 08/09/07
FIRST MERCHANTS CORP IN 9.01 08/10/07
FIRST MIDWEST BANCORP INC DE 7.01,9.01 08/09/07
FIRST POTOMAC REALTY TRUST MD 1.01,2.03,7.01,9.01 08/07/07
FIRST STATE BANCORPORATION NM 5.02,9.01 08/07/07
FIRSTCITY FINANCIAL CORP DE 2.02,7.01,9.01 08/10/07
Flagstone Reinsurance Holdings Ltd 2.02,9.01 08/09/07
FLORIDA PUBLIC UTILITIES CO FL 2.02,9.01 08/10/07
Fluid Media Networks, Inc. 4.02 08/09/07
FOCUS ENHANCEMENTS INC DE 2.02,7.01,9.01 08/10/07
FOREST OIL CORP NY 9.01 06/06/07 AMEND
FRANKFORT TOWER INDUSTRIES INC DE 8.01,9.01 08/08/07
FURNITURE BRANDS INTERNATIONAL INC DE 1.01,1.02,2.03,9.01 08/09/07
GAMCO INVESTORS, INC. ET AL NY 9.01 08/09/07 AMEND
GENAERA CORP DE 2.02,9.01 08/09/07
GENERAL CABLE CORP /DE/ DE 5.04,9.01 08/06/07
GENWORTH FINANCIAL INC DE 2.02,9.01 08/10/07
GIGABEAM CORP DE 1.02 08/10/07
GOLDEN TELECOM INC DE 2.01 05/28/07 AMEND
GREATBATCH, INC. DE 5.02,9.01 08/06/07
GRYPHON GOLD CORP NV 3.02,7.01,9.01 08/07/07 AMEND
GULFMARK OFFSHORE INC DE 7.01 08/10/07
HALLMARK FINANCIAL SERVICES INC NV 2.02,9.01 08/09/07
HALOZYME THERAPEUTICS INC NV 2.02,9.01 08/09/07
HarborView 2007-2 DE 1.03 08/06/07
HarborView 2007-5 DE 1.03 08/06/07
HARLEY DAVIDSON INC WI 5.02 08/06/07
HARLEYSVILLE NATIONAL CORP PA 5.03,9.01 08/09/07
HARRAHS ENTERTAINMENT INC DE 2.02,9.01 08/07/07
HARRIS CORP /DE/ DE 8.01 08/10/07
HARTFORD FINANCIAL SERVICES GROUP INC DE 1.01,9.01 08/09/07
HARTFORD LIFE INSURANCE CO CT 9.01 08/10/07
HCC INSURANCE HOLDINGS INC/DE/ DE 5.02,9.01 08/10/07
HEALTHAXIS INC PA 5.03,9.01 08/08/07
HealthSpring, Inc. DE 2.02 08/09/07
HEALTHTRONICS, INC. GA 5.02,9.01 08/07/07
HELICOS BIOSCIENCES CORP 5.02,9.01 08/08/07
Highland Distressed Opportunities, In 2.02,9.01 08/10/07
HILLENBRAND INDUSTRIES INC IN 2.02,9.01 08/09/07
HINES HORTICULTURE INC DE 2.06,8.01 08/06/07
HINES HORTICULTURE INC DE 2.06,8.01 08/06/07
HNI CORP IA 5.02,5.03,9.01 08/07/07
Horizon Lines, Inc. 8.01,9.01 08/08/07
HORMEL FOODS CORP /DE/ DE 8.01 08/09/07
HORNBECK OFFSHORE SERVICES INC /LA DE 2.01,9.01 08/08/07
Hostopia.com Inc. 7.01,9.01 08/09/07
Hughes Communications, Inc. DE 2.02,9.01 06/30/07
Hughes Network Systems, LLC DE 2.02,9.01 06/30/07
Huntsman CORP DE 5.02 08/08/07
HYDROGEN POWER INC DE 2.04 08/06/07
HYPERCOM CORP DE 5.02,9.01 08/08/07
IA GLOBAL INC DE 2.03 07/06/07
ICON INCOME FUND EIGHT B LP 8.01 08/08/07
IKONICS CORP 2.02,9.01 08/07/07
IMAGE ENTERTAINMENT INC DE 8.01 08/10/07
IMAX CORP A6 2.02,5.02,9.01 08/10/07
IMCLONE SYSTEMS INC DE 5.02,9.01 08/08/07
ImmunoCellular Therapeutics, Ltd. DE 5.02,9.01 08/08/07
IMPLANT TECHNOLOGIES INC MN 8.01,9.01 08/10/07
INDALEX HOLDINGS FINANCE INC 5.02 08/09/07
INFINITY ENERGY RESOURCES, INC 2.02,9.01 08/09/07
INFOCROSSING INC DE 1.01,5.02,9.01 08/09/07
INFOSONICS CORP 2.02,8.01 08/08/07
Ingen Technologies, Inc. 1.01 07/30/07
INLAND WESTERN RETAIL REAL ESTATE TRU MD 7.01,9.01 08/10/07
INNOSPEC INC. DE 8.01 08/10/07
INPHONIC INC 4.02 04/02/07 AMEND
INTERACTIVE SYSTEMS WORLDWIDE INC /DE DE 5.02,9.01 08/10/07
INTERLEUKIN GENETICS INC DE 2.02,9.01 08/09/07
INTERNATIONAL ASSETS HOLDING CORP DE 5.03,9.01 08/07/07
INTERNATIONAL BUSINESS MACHINES CORP NY 9.01 08/09/07
INTERNATIONAL FOOD & WINE CONSULTANTS 1.01,1.02,3.03,9.01 08/09/07
INTERNATIONAL IMAGING SYSTEMS INC 3.02,9.01 08/10/07
INTERNATIONAL THOROUGHBRED BREEDERS I DE 1.03,9.01 08/09/07
INTERNATIONAL WIRE GROUP INC DE 2.02,9.01 08/10/07
IOMED INC UT 8.01,9.01 08/09/07
ISOTIS INC DE 1.01 08/06/07
IVAX DIAGNOSTICS INC DE 2.02,8.01,9.01 08/10/07
J P MORGAN CHASE & CO DE 9.01 08/08/07
J.P. Morgan Alternative Loan Trust 20 DE 1.03 08/06/07
J.P. Morgan Mortgage Trust 2007-S2 DE 1.03 08/06/07
J.P. Morgan Mortgage Trust 2007-S3 DE 1.03 08/06/07
JAGGED PEAK, INC. NV 2.02,9.01 08/10/07
Jazz Technologies, Inc. DE 2.02,9.01 08/06/07
JMP Group Inc. DE 2.02,5.02,9.01 08/07/07
JO-ANN STORES INC OH 5.02 08/10/07
JONES APPAREL GROUP INC PA 1.01,8.01,9.01 08/08/07
K2 DIGITAL INC DE 5.01,5.02,5.03,5.06,9.01 08/09/07
K2 DIGITAL INC DE 5.01,5.02,5.03,5.06,9.01 08/09/07 AMEND
Karver International, Inc. NY 4.01,9.01 08/06/07
KATY INDUSTRIES INC DE 4.02 08/10/07
KELLOGG CO DE 5.02 08/07/07
KeyOn Communications Holdings Inc. DE 1.01,2.01,3.02,4.01,5.01,5.02, 08/09/07
5.03,5.06,9.01
KIRKLANDS INC 2.02,9.01 08/09/07
KIRKLANDS INC 1.01,2.03,9.01 08/06/07
Kodiak Oil & Gas Corp 2.02,9.01 08/09/07
Kraton Polymers LLC DE 2.02,9.01 08/09/07
Kraton Polymers LLC DE 7.01,9.01 08/10/07
KUSHNER LOCKE CO CA 8.01,9.01 08/08/07
KVH INDUSTRIES INC \DE\ DE 8.01,9.01 08/10/07
LAKES ENTERTAINMENT INC MN 2.02,9.01 08/10/07
LAM RESEARCH CORP DE 5.02 08/06/07
LB Commercial Mortgage Trust 2007-C3 8.01,9.01 07/26/07
LEHMAN BROTHERS HOLDINGS INC DE 9.01 08/07/07
LEHMAN BROTHERS HOLDINGS INC DE 9.01 08/09/07
Lev Pharmaceuticals Inc DE 2.02,9.01 08/10/07
LIGHTING SCIENCE GROUP CORP DE 3.02,5.02,9.01 08/02/07
Lightspace Corp 5.02 07/13/07
LOCKHEED MARTIN CORP MD 5.02,7.01,9.01 08/10/07
M&F BANCORP INC /NC/ NC 1.01,9.01 08/09/07
MAGSTAR TECHNOLOGIES INC MN 1.01 07/02/07
Maidenform Brands, Inc. DE 8.01,9.01 08/08/07
MAINE & MARITIMES CORP ME 2.02,9.01 08/10/07
Manhattan Bancorp CA 4.01,9.01 05/24/07 AMEND
MARINER ENERGY INC DE 2.02,7.01,9.01 08/09/07
MASTR Adjustable Rate Mortgages Trust 1.03 07/06/07
MATRITECH INC/DE/ DE 1.01,3.03,5.03,9.01 08/09/07
MCMORAN EXPLORATION CO /DE/ DE 1.01,2.01,2.03,9.01 08/06/07
Mediavest, Inc. NJ 5.02 08/06/07
MEDICINOVA INC DE 2.02 08/09/07
Merrill Lynch Alternative Note Asset DE 8.01,9.01 08/10/07
MERRILL LYNCH DEPOSITOR INC PREFERRED DE 8.01,9.01 08/01/07
MERRILL LYNCH MORTGAGE INVESTORS INC DE 8.01,9.01 08/10/07
MINISTRY PARTNERS INVESTMENT CORP CA 5.02 08/07/07 AMEND
MOBILE MINI INC DE 2.02,9.01 08/07/07
MOBILE MINI INC DE 8.01,9.01 08/08/07
MODTECH HOLDINGS INC CA 2.02,9.01 08/10/07
Mogul Energy International, Inc. DE 1.01,5.02,9.01 08/08/07
MONSANTO CO /NEW/ DE 5.02 08/10/07
Morgan Stanley Mortgage Loan Trust 20 DE 1.03 08/06/07
Morgan Stanley Mortgage Loan Trust 20 DE 1.03 08/06/07
Morgan Stanley Mortgage Loan Trust 20 DE 1.03 08/06/07
Morgan Stanley Mortgage Loan Trust 20 DE 1.03 08/06/07
MOTORCAR PARTS AMERICA INC NY 2.02,9.01 08/09/07
MSB FINANCIAL CORP. X1 2.02,9.01 08/07/07
MTM Technologies, Inc. NY 2.02,9.01 08/10/07
NABORS INDUSTRIES LTD D0 8.01 08/08/07
NARROWSTEP INC DE 1.01,3.02,9.01 08/08/07
NATIONAL ATLANTIC HOLDINGS CORP NJ 8.01 08/08/07
NATIONAL ATLANTIC HOLDINGS CORP NJ 8.01 08/08/07
NAVISTAR INTERNATIONAL CORP DE 5.04,9.01 08/07/07
NEOSE TECHNOLOGIES INC DE 2.02,9.01 08/09/07 AMEND
NEOWARE INC DE 2.02,8.01,9.01 08/10/07
NEW HAMPSHIRE THRIFT BANCSHARES INC DE 5.03,9.01 05/30/07 AMEND
NEWFIELD EXPLORATION CO /DE/ DE 2.01,9.01 08/06/07
NEWNAN COWETA BANCSHARES INC 5.02,9.01 08/09/07
NEWTEK BUSINESS SERVICES INC NY 2.02,9.01 08/09/07
NEWTOWN LANE MARKETING INC 1.01,3.02,5.01,5.03,8.01,9.01 08/07/07
NexCen Brands, Inc. DE 2.02,9.01 08/09/07
NEXITY FINANCIAL CORP DE 2.02,7.01,9.01 08/10/07
NextMart Inc. DE 1.01 08/06/07
Nielsen CO B.V. P7 8.01,9.01 08/09/07
NIKE INC OR 5.02 08/10/07
NMT MEDICAL INC DE 4.01,9.01 08/08/07
NORDSTROM INC WA 7.01 08/09/07 AMEND
NORTH POINTE HOLDINGS CORP 2.02,9.01 08/10/07
NOVASTAR FINANCIAL INC MD 2.02,9.01 08/10/07
NOVASTAR FINANCIAL INC MD 7.01,9.01 08/10/07
NOVAVAX INC DE 2.02,9.01 08/10/07
NPC INTERNATIONAL INC KS 2.02,9.01 08/10/07
NUTRI SYSTEM INC /DE/ DE 5.02,9.01 08/10/07
NUTRI SYSTEM INC /DE/ DE 5.02,9.01 08/07/07
NUVEEN INVESTMENTS INC DE 8.01,9.01 08/09/07
NYFIX INC DE 2.02,8.01,9.01 08/10/07
NYMAGIC INC NY 2.02,9.01 08/06/07
OCTILLION CORP 7.01,9.01 08/03/07
OMNI ENERGY SERVICES CORP LA 2.02,9.01 08/06/07
Opteum Inc. MD 2.02,9.01 08/10/07
OPTIMER PHARMACEUTICALS INC 2.02,9.01 08/09/07
OPTION CARE INC/DE DE 2.02,9.01 08/09/07
PACIFIC CMA INC DE 3.01,9.01 08/08/07
PACIFIC SUNWEAR OF CALIFORNIA INC CA 2.06 08/08/07
PAR PHARMACEUTICAL COMPANIES, INC. DE 8.01 08/10/07
PAYCHEX INC DE 1.01,9.01 08/08/07
PEOPLES BANCORP INC OH 8.01,9.01 08/10/07
PEOPLES BANCORP INC OH 5.02,8.01,9.01 08/10/07
PETROLEUM DEVELOPMENT CORP NV 7.01,9.01 08/09/07
PETROLEUM DEVELOPMENT CORP NV 7.01,9.01 08/08/07
Piedmont Office Realty Trust, Inc. MD 1.01,2.02,5.03,7.01,8.01,9.01 08/06/07
PIER 1 IMPORTS INC/DE DE 5.02 08/06/07
PIONEER COMPANIES INC DE 2.02,9.01 08/08/07
PLANKTOS CORP NV 2.01,3.02,5.01,5.03,5.06,9.01 08/09/07
PNM RESOURCES INC NM 4.02 08/10/07 AMEND
POLYCOM INC DE 5.02 08/08/07
POWER 3 MEDICAL PRODUCTS INC NY 1.01,9.01 06/26/07
PPLUS Trust Series LMG-3 8.01,9.01 08/01/07
PPlus Trust Series LMG-4 DE 8.01,9.01 08/01/07
PREFORMED LINE PRODUCTS CO OH 2.02,9.01 08/10/07
PRICE COMMUNICATIONS CORP NY 8.01,9.01 08/06/07
PRO PHARMACEUTICALS INC NV 7.01,9.01 08/10/07
PRO PHARMACEUTICALS INC NV 2.02,9.01 08/10/07
Proguard Acquisition CORP FL 5.02 08/07/07
PROSPECT MEDICAL HOLDINGS INC DE 1.01,2.01,3.02,5.02,5.03,9.01 08/08/07
Protalix BioTherapeutics, Inc. FL 1.01,8.01,9.01 08/07/07
PROTEO INC NV 1.01,9.01 08/09/07
PSYCHEMEDICS CORP DE 2.02,9.01 08/06/07
PYRAMID BREWERIES INC WA 2.02,9.01 08/09/07
QSGI INC. DE 2.02,9.01 08/08/07
QUADRAMED CORP DE 2.02,5.02,5.03,9.01 08/06/07
QUALITY SYSTEMS INC CA 2.02,9.01 08/06/07
QUALSTAR CORP CA 2.02,9.01 08/10/07
QUEST RESOURCE CORP NV 2.02,9.01 08/10/07
QUICK MED TECHNOLOGIES INC NV 1.01,5.02,9.01 08/06/07
RAINING DATA CORP DE 3.01 08/06/07
RAM ENERGY RESOURCES INC DE 1.01,2.02,4.02,9.01 08/07/07
REAL ESTATE ASSOCIATES LTD VI CA 8.01 08/06/07
RELM WIRELESS CORP NV 2.02,9.01 08/08/07
Residential Asset Securitization Trus 8.01,9.01 08/08/07
RESOLVE STAFFING INC NV 1.01,2.01,2.03,3.02,8.01,9.01 07/28/07 AMEND
RESTORATION HARDWARE INC CA 1.01 08/07/07
RICKS CABARET INTERNATIONAL INC TX 7.01,9.01 08/09/07
RIVIERA HOLDINGS CORP NV 5.03,9.01 08/10/07
ROMA FINANCIAL CORP X1 8.01,9.01 08/09/07
Rosetta Resources Inc. DE 7.01,9.01 08/10/07
Rosetta Resources Inc. DE 1.01 08/10/07 AMEND
SAN HOLDINGS INC CO 1.01,2.01,9.01 08/06/07
SANDERS MORRIS HARRIS GROUP INC TX 8.01,9.01 08/10/07
SECURED DIGITAL APPLICATIONS INC DE 8.01,9.01 08/09/07
SHELLS SEAFOOD RESTAURANTS INC DE 5.02,9.01 08/09/07
Siberian Energy Group Inc. NV 8.01 08/09/07
Silver State Bancorp 2.02,9.01 08/10/07
SINOBIOMED INC DE 1.01,9.01 08/06/07
SK3 Group, Inc. DE 1.01,9.01 08/10/07
SMART BALANCE, INC. DE 2.02,9.01 08/09/07
Smarts Oil & Gas, Inc. NV 5.03,9.01 08/09/07
SMURFIT STONE CONTAINER CORP DE 1.01,9.01 08/08/07
Solera National Bancorp, Inc. DE 7.01,9.01 08/09/07
SONIC INNOVATIONS INC DE 2.01,9.01 08/10/07
SONICWALL INC CA 5.02 08/10/07
SOTHEBYS DE 2.02,9.01 08/08/07
SOURCEFIRE INC DE 5.02,8.01,9.01 08/06/07
SOUTHWALL TECHNOLOGIES INC /DE/ DE 5.02 08/09/07
SOVEREIGN BANCORP INC PA 7.01,9.01 08/10/07
SPACEHAB INC \WA\ WA 3.01,9.01 08/07/07
SPARK NETWORKS INC X0 8.01 08/08/07
STAGE STORES INC NV 8.01,9.01 08/09/07
STANLEY FURNITURE CO INC. DE 8.01 08/09/07
STERLING CONSTRUCTION CO INC DE 5.02,9.01 08/07/07
STIFEL FINANCIAL CORP DE 2.02,9.01 08/09/07
Storm Cat Energy CORP 9.01 06/30/07
STRATS (SM) TRUST FOR JPMORGAN CHASE 8.01,9.01 08/01/07
STRATS SM TRUST FOR IBM CORP SEC SERI 8.01,9.01 07/30/07
Strats(SM) Trust for JPMorgan Chase C 8.01,9.01 08/01/07
STRATS(SM) Trust For Morgan Stanley S 8.01,9.01 08/01/07
STRUCTURED PRODUCTS CORP TIERS PP ASS DE 8.01,9.01 07/30/07
SunOpta Inc. 2.02,9.01 08/09/07
SUNRISE SENIOR LIVING INC DE 2.02,8.01 08/10/07
Surge Global Energy, Inc. 1.01,2.04,9.01 08/06/07
SYNIVERSE HOLDINGS INC DE 1.01,9.01 08/08/07
SYNTROLEUM CORP DE 1.01,5.02 08/06/07
TACTICAL AIR DEFENSE SERVICES, INC. NV 5.02 08/03/07
TALBOTS INC DE 5.02 08/06/07
TARGETED GENETICS CORP /WA/ WA 2.02,9.01 08/07/07
TARRANT APPAREL GROUP CA 5.03,9.01 08/09/07
Team Finance LLC DE 2.02,7.01,9.01 08/09/07
TECHNOLOGY SOLUTIONS COMPANY DE 5.02 08/07/07
TechTarget Inc 2.02 06/30/07 AMEND
TEMPLE INLAND INC DE 5.02,9.01 08/09/07
TETON ENERGY CORP DE 1.01,2.03,9.01 08/09/07
TIDEWATER INC DE 8.01 08/09/07
TOROTEL INC MO 1.01,8.01 08/07/07
TRANSCOMMUNITY FINANCIAL CORP VA 5.02 08/09/07
TransDigm Group INC DE 7.01,9.01 08/10/07
TRC COMPANIES INC /DE/ DE 1.01,5.02,9.01 08/09/07
TRI STATE 1ST BANK INC OH 8.01 08/10/07
TRIARC COMPANIES INC DE 9.01 08/10/07
TRIARC COMPANIES INC DE 2.02,9.01 08/10/07
TRIBUNE CO DE 5.02,9.01 08/06/07
TRUE RELIGION APPAREL INC NV 2.02,7.01,9.01 08/07/07
TUMBLEWEED COMMUNICATIONS CORP DE 5.02 08/09/07
TURBOCHEF TECHNOLOGIES INC DE 2.02,9.01 07/31/07
U S ENERGY SYSTEMS INC DE 5.02 08/06/07
U. S. Premium Beef, LLC 7.01,9.01 08/10/07
U.S. Shipping Partners L.P. DE 2.02,9.01 08/06/07
UCN INC DE 5.02 08/07/07
UFP TECHNOLOGIES INC DE 2.02,9.01 08/08/07
UMPQUA HOLDINGS CORP OR 1.01,2.03,9.01 07/10/07
UNIFI INC NY 5.02,9.01 08/08/07
UNIGENE LABORATORIES INC DE 8.01,9.01 08/10/07
UNITED GUARDIAN INC DE 2.02,9.01 06/30/07
UNITED INDUSTRIAL CORP /DE/ DE 2.02,9.01 08/10/07
UNIVERSAL INSURANCE HOLDINGS, INC. DE 1.01,5.02,9.01 07/12/07
UNIVERSAL POWER GROUP INC. TX 2.02,9.01 08/06/07
UNIVERSAL TRAVEL GROUP NV 1.01,2.01,2.03,3.02,7.01,9.01 08/08/07
Urigen Pharmaceuticals, Inc. DE 1.01,9.01 08/06/07
VAALCO ENERGY INC /DE/ DE 8.01,9.01 08/08/07
VAALCO ENERGY INC /DE/ DE 8.01,9.01 08/09/07
VALIDUS HOLDINGS LTD 2.02,9.01 08/09/07
VELCERA, INC. DE 4.02 08/06/07
VENTAS INC DE 7.01,9.01 08/09/07
Venture Lending & Leasing V, Inc. MD 5.02,5.03,9.01 08/10/07
VERAMARK TECHNOLOGIES INC DE 2.02 08/10/07
VERENIUM CORP DE 5.02 07/19/07 AMEND
VERENIUM CORP DE 5.02 07/19/07 AMEND
VERTIS INC DE 2.02,7.01,9.01 08/09/07
VICON INDUSTRIES INC /NY/ NY 2.02,9.01 08/09/07
VION PHARMACEUTICALS INC DE 2.02,8.01,9.01 08/08/07
VIROPHARMA INC DE 8.01,9.01 08/10/07
VISTA GOLD CORP 8.01,9.01 08/09/07
VISUALANT INC NV 5.02 08/09/07
Warner Chilcott Ltd D0 2.02,9.01 08/10/07
WATSCO INC FL 7.01,9.01 08/10/07
WERNER ENTERPRISES INC NE 2.03 08/06/07
WHOLE FOODS MARKET INC TX 8.01,9.01 08/10/07
Willdan Group, Inc. DE 2.02,9.01 08/09/07
WILLIAMS CONTROLS INC DE 2.02,9.01 08/09/07
WINLAND ELECTRONICS INC MN 5.03,9.01 08/07/07
WIRELESS RONIN TECHNOLOGIES INC MN 2.02,8.01,9.01 08/10/07
WMS INDUSTRIES INC /DE/ DE 2.02,5.02,8.01,9.01 08/08/07
WORLDWIDE STRATEGIES INC NV 1.01,2.01,3.02,5.02,5.03,8.01, 07/31/07 AMEND
9.01
XCORPOREAL, INC. DE 1.01,5.02,7.01,9.01 08/08/07
XERIUM TECHNOLOGIES INC DE 2.02,4.02,9.01 08/10/07
XILINX INC DE 5.02,9.01 08/07/07
XPLORE TECHNOLOGIES CORP 2.02,9.01 08/09/07
YOUNG BROADCASTING INC /DE/ DE 5.02,9.01 08/08/07
Zagg INC 1.01,3.02,9.01 08/06/07
http://www.sec.gov/news/digest/2007/dig081307.htm
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