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SEC NEWS DIGEST
Issue 2007-166 August 28, 2007
ENFORCEMENT PROCEEDINGS
IN THE MATTER OF GALAXY MINERALS, INC.
An Administrative Law Judge has issued an Order Making Findings and
Revoking Registration by Default (Default Order) in the matter of
Galaxy Minerals, Inc. The Order Instituting Proceedings alleged that
Galaxy Minerals failed repeatedly to file required annual and
quarterly reports while its securities were registered with the
Securities and Exchange Commission. The Default Order finds these
allegations to be true and revokes the registration of each class of
Galaxy Minerals' registered securities, pursuant to Section 12(j) of
the Securities Exchange Act of 1934. (Rel. 34-56326; File No. 3-12700)
COURT GRANTS SUMMARY JUDGMENT AGAINST PRINCIPALS OF UNREGISTERED
OFFERING FRAUD SCHEME PERPETRATED ON SENIOR CITIZENS
On August 23, the Honorable Michael A. Telesca, U.S. District Judge,
Western District of New York, issued an order granting the
Commission's motion for summary judgment against defendants Edward
Tackaberry (Tackaberry) and Mark Palazzo (Palazzo), the owners and
managers of six real estate investment companies (Pittsford Issuers)
that raised approximately $15 million from 275 investors, including
many senior citizens. The Court permanently enjoined Tackaberry and
Palazzo from future violations of the antifraud provisions of the
federal securities laws. The Court also ordered Palazzo and Tackaberry
to disgorge $11,725,294.82, plus prejudgment interest, and imposed
civil penalties of $75,000 each.
In its Complaint, filed July 14, 2006, the Complaint alleged that from
1996 to 2004, Tackaberry and Palazzo raised, in unregistered
transactions, more than $15 million from at least 275 investors,
including many senior citizens, by issuing promissory notes in the
Pittsford Issuers. Tackaberry and Palazzo owned and managed all of the
Pittsford Issuers. The Complaint charged Palazzo and Tackaberry with
violating Section 17 (a) of the Securities Act of 1933, Section 10(b)
of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder.
Following a hearing on July 24, 2006, Judge Telesca granted the
Commission's request for a preliminary injunction, the appointment of
a Receiver over the Pittsford Issuers, an asset freeze and other
equitable relief to halt the ongoing scheme.
In his order granting summary judgment, Judge Telesca found that, of
the $15.5 million raised in the offerings, Palazzo and Tackaberry
distributed more than $4.4 million in a series of unauthorized and
undisclosed loans that were not secured by mortgages and therefore
contrary to the terms of the private placement memoranda. The Court
also found that Palazzo and Tackaberry never disclosed that the
separate bank accounts of the Pittsford Issuers had been closed and
all funds commingled into a single account. Judge Telesca found that
these and other misrepresentations and omissions were material and
that Palazzo and Tackaberry acted with a high degree of scienter. [SEC
v. PITTSFORD CAPITAL INCOME PARTNERS, L.L.C., ET AL., Civil Action No.
CV 06-6353 T(P) (W.D.N.Y.) (LR-20256)
SEC CHARGES FORMER GENERAL COUNSEL OF KLA-TENCOR AND JUNIPER NETWORKS
FOR FRAUDULENT STOCK OPTIONS BACKDATING
JUNIPER SETTLES FRAUD CHARGES BROUGHT BY COMMISSION
The Commission today filed fraud charges against a Bay Area attorney
for her role in illegally backdating stock option grants. The
Commission charged Lisa C. Berry with routinely backdating option
grants from 1997 to 2003, first as General Counsel of KLA-Tencor
Corporation, and then as General Counsel of Juniper Networks, Inc. The
Commission alleges that Berry's misconduct caused the two companies to
conceal hundreds of millions of dollars in stock option compensation
expenses relating to undisclosed in-the-money options provided to
company executives and employees.
The Commission's complaint against Berry, filed in federal district
court in San Jose, Calif., alleges that she routinely used hindsight
to identify dates with historically low stock prices, facilitating the
backdating of option grants by KLA's stock option committee. According
to the Commission, Berry then moved to Juniper shortly before its 1999
IPO, touting her experience in stock administration. The complaint
alleges that Berry established a similar backdating process at
Juniper, creating minutes of fictitious stock option committee
meetings to document false grant dates - at times affixing the names
of other committee members with a signature stamp.
The Commission also announced today that it has filed a settled
enforcement action against Juniper, an information technology company
based in Sunnyvale, Calif. Without admitting or denying the
allegations in the Commission's complaint, Juniper agreed to settle
the matter by consenting to a permanent injunction from further
violations of 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.
Berry is charged with violation Section 17(a) of the Securities Act of
1933 and Sections 10(b) and 13(b)(5) of the Securities Exchange Act of
1934 and Rules 10b-5 and 13b2-1 thereunder, and Berry is charged with
aiding and abetting violations of Sections 10(b), 13(a), 13(b)(2)(A),
13(b)(2)(B) and 14(a) of the Exchange Act of 1934 and Rules 10b-5,
12b-20, 13a-1, 13a-11, 13a-13 and 14a-9 thereunder. The Commission is
seeking injunctive relief, disgorgement of ill-gotten gains, and
monetary penalties against Berry, in addition to an order barring her
from serving as an officer or director of a public company. [SEC v.
Lisa C. Berry, Case No. C 07-4431 RMW (N.D. Cal.); SEC v. Juniper
Networks, Inc., Case No. C 07-4430 JW (N.D. Cal.] (LR-20257; Press
Rel. 2007-170)
INVESTMENT COMPANY ACT RELEASES
DWS ADVISOR FUNDS, ET AL. An order has been issued on an application
filed by DWS Advisor Funds, et al., superseding an existing order
under Section 12(d)(1)(J) of the Investment Company Act granting an
exemption from Section 12(d)(1)(G)(i)(II) of the Act. (IC-27954-
August 27)
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A proposed rule change (SR-NSX-2007-09) filed by the National Stock
Exchange relating to the amendment of its rules in light of amendments
to SEC Rule 10a-1 and Regulation SHO has become effective under
Section 19(b)(3)(A). Publication is expected in the Federal Register
during the week of August 27. (Rel. 34-56305)
A proposed rule change (SR-NASDAQ-2007-074) filed by the Nasdaq Stock
Market to require certain companies to notify Nasdaq about any
quarterly change in the number of outstanding shares has become
effective under Section 19(b)(3)(A) of the Securities Exchange Act of
1934. Publication is expected in the Federal Register during the week
of August 27. (Rel. 34-56313)
A proposed rule change (SR-FINRA-2007-003), filed by the Financial
Industry Regulatory Authority to amend NASD Rules 4632C, 6130C and
6130 has become effective pursuant to Section 19(b)(3)(A) of the
Securities Exchange Act of 1934. Publication is expected in the
Federal Register during the week of August 27. (Rel. 34-56321)
A proposed rule change (SR-Amex-2007-59) filed by the American Stock
Exchange to establish a process for the waiver, deferral, or rebate of
initial listing fees for certain securities that transfer from another
national securities exchange has become effective pursuant to Section
19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is
expected in the Federal Register during the week of August 27. (Rel.
34-56322)
A proposed rule change filed by NYSE Arca to adopt the Fill-or-Kill
order type (SR-NYSEArca-2007-86) has become effective under Section
19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is
expected in the Federal Register during the week of August 27. (Rel.
34-56323)
ACCELERATED APPROVAL OF PROPOSED RULE CHANGE
The Commission issued notice of the filing of Amendment No. 2, and
granted accelerated approval of a proposed rule change (SR-NASDAQ-
2006-045), as modified by Amendment Nos. 1 and 2, filed by the Nasdaq
Stock Market to allow the use of a company's Web site to distribute an
annual report and meet other Nasdaq listing requirements. Publication
is expected in the Federal Register during the week of August 27.
(Rel. 34-56319)
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 CombiMatrix Corp, 6500 HARBOUR HEIGHTS PKWY #301, MUKILTEO, WA, 98275,
425-493-2300 - 0 ($51,072,694.00) Equity, (File 333-145704 - Aug. 27)
(BR. 10)
S-3 ARCADIA RESOURCES, INC, 26777 CENTRAL PARK BLVD., SUITE 200,
SOUTHFIELD, MI, 48076, 248-352-7530 - 0 ($1.00) Equity,
(File 333-145705 - Aug. 27) (BR. 11C)
S-4 ARCADIA RESOURCES, INC, 26777 CENTRAL PARK BLVD., SUITE 200,
SOUTHFIELD, MI, 48076, 248-352-7530 - 0 ($3,575,000.00) Equity,
(File 333-145706 - Aug. 27) (BR. 11C)
F-1 COASTAL PACIFIC MINING CORP, 927 DRURY AVENUE NE, CALGARY, A0, T2E 0M3,
(403) 475-4300 - 5,500,000 ($165,000.00) Equity, (File 333-145707 -
Aug. 27) (BR. 04)
S-3ASR ENTERPRISE PRODUCTS PARTNERS L P, 1100 LOUISIANA 10TH FLOOR, HOUSTON,
TX, 77002, 7133816500 - 0 ($0.00) Debt, (File 333-145709 - Aug. 27)
(BR. 04B)
S-3 AUXILIUM PHARMACEUTICALS INC, 40 VALLEY STREAM PARKWAY, MALVERN, PA,
19355, 484 321 5900 -
0 ($150,000,000.00) Unallocated (Universal) Shelf, (File 333-145710 -
Aug. 27) (BR. 01A)
S-8 AVITAR INC /DE/, 65 DAN ROAD, SUITE 202, CANTON, MA, 02021,
7818212440 - 25,000,000 ($125,000.00) Equity, (File 333-145711 -
Aug. 27) (BR. 10A)
SB-2 Cox Distributing Inc., P.O. BOX 430, COKEVILLE, WY, 83114,
208-317-2500 - 1,800,000 ($18,000.00) Equity, (File 333-145712 -
Aug. 27) (BR. 02)
S-8 OPEN JOINT STOCK CO VIMPEL COMMUNICATIONS, 10 12 8TH MARCH ST,
MOSCOW RUSSIA, U2, 125083, 70959745888 -
300,000 ($120,240,000.00) Equity, (File 333-145713 - Aug. 27) (BR. 11C)
S-3 INVESTORS REAL ESTATE TRUST, 12 MAIN ST S, PO BOX 1988, MINOT, ND,
58702-1988, 701-837-4738 - 768,615 ($8,208,808.20) Equity,
(File 333-145714 - Aug. 27) (BR. 08B)
S-8 FACEPRINT GLOBAL SOLUTIONS INC, 1111 W HERNDON, STE 115, FRESNO, CA,
96815, 5594361000 - 2,000,000 ($50,000.00) Equity, (File 333-145715 -
Aug. 27) (BR. 03B)
S-8 MVB FINANCIAL CORP, 301 VIRGINIA AVENUE, FAIRMONT, WV, 26554-2777,
3043634800 - 0 ($3,690,266.00) Equity, (File 333-145716 - Aug. 27)
(BR. 07C)
S-8 PATRICK INDUSTRIES INC, 107 WEST FRANKLIN STREET PO BOX 638, ELKHART,
IN, 46515, 2192947511 - 600,000 ($7,926,000.00) Debt,
(File 333-145717 - Aug. 27) (BR. 06C)
SB-2 Alternative Construction Company, Inc.,
1900 SOUTH HARBOR CITY BOULEVARD, SUITE 315, MELBOURNE, FL, 32940,
321-308-0834 - 4,560,414 ($17,694,020.00) Equity, (File 333-145718 -
Aug. 27) (BR. 06B)
S-8 VASCULAR SOLUTIONS INC, 6464 SYCAMORE COURT NORTH, MINNEAPOLIS, MN,
55369, 7636564300 - 2,600,000 ($21,450,000.00) Equity,
(File 333-145719 - Aug. 27) (BR. 10C)
S-8 OPENTV CORP, ABBOTT BUILDING, MOUNT STREET TORTOLA, ROAD TOWN COUNTY,
6504295500 - 0 ($2,816,487.00) Equity, (File 333-145720 - Aug. 27)
(BR. 03B)
S-1 LSB INDUSTRIES INC, 16 S PENNSYLVANIA, OKLAHOMA CITY, OK, 73101,
4052354546 - 0 ($72,453,750.00) Debt Convertible into Equity,
(File 333-145721 - Aug. 27) (BR. 06C)
S-1 GRAYBAR ELECTRIC CO INC, 34 N MERAMEC AVE, ST LOUIS, MO, 63105,
3145129200 - 950,000 ($19,000,000.00) Equity, (File 333-145722 -
Aug. 27) (BR. 10B)
S-8 ORTHOVITA INC, 45 GREAT VALLEY PKWY, MALVERN, PA, 19355, 2156401775 -
2,000,000 ($5,580,000.00) Equity, (File 333-145723 - Aug. 27) (BR. 10C)
S-3 ORTHOVITA INC, 45 GREAT VALLEY PKWY, MALVERN, PA, 19355, 2156401775 -
2,602,640 ($7,261,365.60) Equity, (File 333-145724 - Aug. 27) (BR. 10C)
S-1 American Water Works Company, Inc., 1025 LAUREL OAK ROAD, VOORHEES, NJ,
08043, 856-346-8200 - 0 ($1,500,000,000.00) Equity, (File 333-145725 -
Aug. 27) (BR. )
S-8 FOREST OIL CORP, 707 SEVENTEENTH STREET, SUITE 3600, DENVER, CO, 80202,
3038121400 - 0 ($108,837,000.00) Equity, (File 333-145726 - Aug. 27)
(BR. 04A)
S-3 INNOVO GROUP INC, 5901 SOUTH EASTERN AVENUE, -, COMMERCE, CA, 90040,
323-8373700 - 2,080,000 ($3,494,400.00) Equity, (File 333-145727 -
Aug. 27) (BR. 02B)
S-8 Cowen Group, Inc., 1221 AVENUE OF THE AMERICAS, NEW YORK, NY, 10020,
646-562-1727 - 0 ($18,524,644.00) Debt, (File 333-145728 - Aug. 27)
(BR. 07)
S-3 Security With Advanced Technology, Inc., 10855 DOVER STREET,
SUITE 1000, WESTMINSTER, CO, 80021, 303-439-0372 -
16,845,864 ($51,227,752.86) Equity, (File 333-145729 - Aug. 27) (BR. 11)
SB-2 Principle Security International, Inc., UNIT B - 2015 BURRARD STREET,
VANCOUVER, A1, V6J 3H4, (778) 233-3562 -
6,018,000 ($902,700.00) Equity, (File 333-145730 - Aug. 27) (BR. )
SB-2 Surge Global Energy, Inc., 12220 EL CAMINO REAL, #400, SAN DIEGO, CA,
92130, 858-704-5010 - 14,249,730 ($2,707,448.70) Equity,
(File 333-145731 - Aug. 27) (BR. 04A)
S-3 ENVIRONMENTAL POWER CORP, ONE CATE STREET, 4TH FLOOR, PORTSMOUTH, NH,
03801, 6034311780 - 5,175,000 ($28,721,250.00) Equity,
(File 333-145732 - Aug. 27) (BR. 02A)
S-3ASR ARCHER DANIELS MIDLAND CO, 4666 FARIES PKWY, DECATUR, IL, 62526,
2174244798 - 0 ($0.00) Debt Convertible into Equity, (File 333-145733 -
Aug. 27) (BR. 04C)
RECENT 8K FILINGS
Form 8-K is used by companies to file current reports on the following
events:
1.01 Entry into a Material Definitive Agreement
1.02 Termination of a Material Definitive Agreement
1.03 Bankruptcy or Receivership
2.01 Completion of Acquisition or Disposition of Assets
2.02 Results of Operations and Financial Condition
2.03 Creation of a Direct Financial Obligation or an Obligation under an
Off-Balance Sheet Arrangement of a Registrant
2.04 Triggering Events That Accelerate or Increase a Direct Financial Obligation
under an Off-Balance Sheet Arrangement
2.05 Cost Associated with Exit or Disposal Activities
2.06 Material Impairments
3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or
Standard; Transfer of Listing
3.02 Unregistered Sales of Equity Securities
3.03 Material Modifications to Rights of Security Holders
4.01 Changes in Registrant's Certifying Accountant
4.02 Non-Reliance on Previously Issued Financial Statements or a Related Audit
Report or Completed Interim Review
5.01 Changes in Control of Registrant
5.02 Departure of Directors or Principal Officers; Election of Directors;
Appointment of Principal Officers
5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
5.04 Temporary Suspension of Trading Under Registrant's Employee Benefit Plans
5.05 Amendments to the Registrant's Code of Ethics, or Waiver of a
Provision of the Code of Ethics
6.01. ABS Informational and Computational Material.
6.02. Change of Servicer or Trustee.
6.03. Change in Credit Enhancement or Other External Support.
6.04. Failure to Make a Required Distribution.
6.05. Securities Act Updating Disclosure.
7.01 Regulation FD Disclosure
8.01 Other Events
9.01 Financial Statements and Exhibits
8-K reports may be obtained in person or by writing to the
Commission's Public Reference Branch at 100 F Street, N.E.,
Washington, D.C. 20549-1090 or at the following e-mail box address:
<publicinfo@sec.gov>. In most cases, this information is also
available on the Commission's website: <www.sec.gov>.
STATE
NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT
---------------------------------------------------------------------------------------------------------
ABERCROMBIE & FITCH CO /DE/ DE 2.02,5.02,5.05,8.01,9.01 08/21/07
ADEPT TECHNOLOGY INC CA 1.01,9.01 08/23/07
Advaxis, Inc. DE 2.03,3.02,5.02,9.01 08/21/07
AFFILIATED COMPUTER SERVICES INC DE 7.01,9.01 08/21/07
AIR BROOK AIRPORT EXPRESS INC NJ 1.01,2.03,3.02,5.03,9.01 08/16/07 AMEND
Akeena Solar, Inc. DE 5.02,9.01 08/24/07
ALBANY INTERNATIONAL CORP /DE/ DE 8.01 08/27/07
American Development & Investment Fun 4.01 08/27/07
AMH Holdings, Inc. DE 5.02 08/27/07
ARCH CAPITAL GROUP LTD. 8.01 08/23/07
ARROW FINANCIAL CORP NY 8.01 08/22/07
ASSOCIATED MATERIALS INC DE 5.02 08/27/07
ASTORIA FINANCIAL CORP DE 8.01,9.01 08/27/07
ATMEL CORP DE 1.01,9.01 08/26/07
ATS CORP DE 1.01,9.01 08/24/07
AUDIOVOX CORP DE 8.01 08/16/07
AVATECH SOLUTIONS INC DE 5.02,9.01 08/22/07
BALLY TOTAL FITNESS HOLDING CORP DE 1.01,2.03,9.01 08/21/07
BEST CARE INC NV 1.01,5.01,5.02,9.01 08/27/07
BIG CAT ENERGY CORP 7.01,9.01 08/24/07
BIOPACK ENVIRONMENTAL SOLUTIONS INC. NV 1.01,9.01 08/27/07
BlackRock Inc. DE 1.01,1.02,2.03,9.01 08/22/07
BMW Vehicle Owner Trust 2004-A 9.01 08/27/07
BMW Vehicle Owner Trust 2005-A 9.01 08/27/07
BRISTOL MYERS SQUIBB CO DE 2.02 04/26/07 AMEND
C-COR INC PA 2.02,9.01 08/23/07
CA, INC. DE 5.02,9.01 08/21/07
CALPINE CORP DE 7.01,9.01 08/24/07
CAPITAL ALLIANCE INCOME TRUST REAL ES DE 8.01 08/23/07
CAPITAL GROWTH SYSTEMS INC /FL/ FL 1.01,3.02,9.01 08/21/07
CAPRIUS INC DE 8.01,9.01 08/23/07
Caribou Coffee Company, Inc. MN 5.02,9.01 08/27/07
CATCHER HOLDINGS, INC 1.01,3.02,9.01 08/23/07
CHASE PACKAGING CORP TX 1.01,9.01 08/23/07
CHDT CORP FL 7.01,9.01 08/27/07
CHINA WORLD TRADE CORP NV 2.01 08/21/07
CIBER INC DE 5.02,9.01 08/22/07
CITIBANK CREDIT CARD ISSUANCE TRUST DE 8.01,9.01 08/27/07
CITIGROUP INC DE 9.01 08/27/07
COACHMEN INDUSTRIES INC IN 8.01,9.01 08/27/07
COLONIAL BANCGROUP INC DE 7.01,9.01 08/27/07
COMMUNICATION INTELLIGENCE CORP DE 1.01,3.02,7.01,9.01 08/24/07
COMMUNITY TRUST BANCORP INC /KY/ KY 7.01,9.01 08/27/07
CONSUMER PORTFOLIO SERVICES INC CA 1.01,9.01 08/21/07
CONVERGYS CORP OH 5.02,9.01 08/21/07
COPART INC CA 5.02 08/21/07
CORINTHIAN COLLEGES INC 5.02,9.01 08/21/07
CORNERSTONE REALTY FUND LLC CA 8.01,9.01 08/27/07
CORTEX PHARMACEUTICALS INC/DE/ DE 1.01,9.01 08/24/07
Cougar Biotechnology, Inc. 5.02,9.01 08/21/07
COVENTRY HEALTH CARE INC DE 1.01,2.03,9.01 08/22/07
DELTA AIR LINES INC /DE/ DE 5.02 08/21/07
DELTA FINANCIAL CORP DE 7.01,8.01 08/27/07
DEPOMED INC CA 1.01,5.02,8.01,9.01 08/24/07
DISTRIBUTED ENERGY SYSTEMS CORP DE 1.01,2.03,3.02,5.01,5.02,5.03, 08/21/07
7.01,8.01,9.01
EL PASO ELECTRIC CO /TX/ TX 8.01 08/21/07
EMPIRE ENERGY CORP UT 1.01,5.02,8.01,9.01 08/22/07
EMULEX CORP /DE/ DE 5.02,9.01 08/22/07
ENERGY CONVERSION DEVICES INC DE 5.02,9.01 08/22/07
ENTERPRISE FINANCIAL SERVICES CORP DE 8.01,9.01 08/27/07
EPICEPT CORP 8.01,9.01 08/22/07
ERIE INDEMNITY CO PA 8.01 08/27/07
ev3 Inc. DE 5.02 08/24/07
Exobox Technologies Corp. NV 8.01 08/27/07
FAIRPOINT COMMUNICATIONS INC DE 5.02,8.01,9.01 08/22/07
FAR EAST ENERGY CORP 1.01,9.01 08/24/07
FEDERAL TRUST CORP FL 8.01,9.01 08/24/07
FiberTower CORP DE 7.01,9.01 08/27/07
FINANCIALCONTENT INC DE 1.01,9.01 08/21/07
FINISH LINE INC /IN/ IN 2.05,7.01,9.01 08/27/07
FIRST BANCORP /PR/ PR 1.01,3.02,9.01 08/24/07
FIRST MERCURY FINANCIAL CORP DE 5.02,9.01 08/21/07
FIRST POTOMAC REALTY TRUST MD 8.01,9.01 08/21/07
FIRST SECURITY GROUP INC/TN TN 8.01 08/27/07
FUSA CAPITAL CORP 1.01,9.01 08/23/07
GE Capital Credit Card Master Note Tr DE 8.01,9.01 08/15/07
GEORGIA POWER CO GA 8.01,9.01 08/24/07
GEVITY HR INC FL 8.01 08/27/07
GMX RESOURCES INC OK 7.01,9.01 08/27/07
GREEN MOUNTAIN COFFEE ROASTERS INC DE 1.01,2.03 08/21/07
GREER BANCSHARES INC SC 2.02,9.01 08/24/07
GULFMARK OFFSHORE INC DE 7.01,9.01 08/27/07
GYMBOREE CORP DE 2.02,9.01 08/22/07
GYRODYNE CO OF AMERICA INC NY 8.01,9.01 08/22/07
H2Diesel Holdings, Inc FL 5.02,9.01 08/22/07
HAIGHTS CROSS COMMUNICATIONS INC DE 1.01,5.02,9.01 08/21/07
Heelys, Inc. DE 5.02 08/21/07
HERCULES OFFSHORE, INC. DE 5.02 08/21/07
HICKOK INC OH 8.01,9.01 08/27/07
HUIHENG MEDICAL, INC. NV 9.01 05/15/07 AMEND
HUTTON HOLDINGS CORP NV 1.01,2.01,9.01 08/27/07
IA GLOBAL INC DE 1.01,3.02,9.01 08/24/07
ID SYSTEMS INC DE 8.01 08/22/07
IDACORP INC ID 8.01 08/27/07
IDM PHARMA, INC. DE 8.01,9.01 08/27/07
IDT CORP DE 5.02,9.01 08/23/07
IGI INC DE 1.01 08/21/07
IKANOS COMMUNICATIONS CA 8.01,9.01 08/27/07
IMMUNOMEDICS INC DE 5.03,9.01 06/30/07
IndyMac INDX Mortgage Loan Trust 2007 8.01,9.01 08/27/07 AMEND
IndyMac INDX Mortgage Loan Trust 2007 8.01,9.01 08/27/07 AMEND
INFORMEDIX HOLDINGS INC NV 5.02 08/21/07
Innova Robotics & Automation, Inc. NV 5.02,9.01 08/21/07
INNOVO GROUP INC DE 1.01,5.02,9.01 08/27/07
INSPIRE PHARMACEUTICALS INC DE 8.01 08/27/07
IntelliCapital, Inc. DE 1.01,5.01,5.02,9.01 08/26/07
INVENTURE GROUP, INC. DE 8.01 08/23/07
INVESTOOLS INC DE 5.02,9.01 08/27/07
INVESTORS CAPITAL HOLDINGS LTD MA 2.02 06/30/07
JONES SODA CO WA 1.01,2.03,9.01 08/21/07
JOURNAL COMMUNICATIONS INC 1.01,9.01 08/22/07
K-FED BANCORP 8.01 08/27/07
KIMBALL INTERNATIONAL INC IN 5.02 08/27/07
KNIGHT CAPITAL GROUP, INC. DE 8.01 08/27/07
LABARGE INC DE 5.03 08/22/07
LAMAR ADVERTISING CO/NEW DE 5.03,8.01,9.01 08/24/07
LAS VEGAS SANDS CORP NV 1.01,2.03 08/21/07
LEAF Equipment Leasing Income Fund II DE 1.01 08/27/07
LEHMAN BROTHERS HOLDINGS INC DE 9.01 08/24/07
LENNAR CORP /NEW/ DE 2.03,9.01 08/21/07
LINCOLN NATIONAL CORP IN 8.01,9.01 08/22/07
Lincoln Park Bancorp 8.01,9.01 08/27/07
LIONS PETROLEUM, INC DE 5.02 08/24/07
LSI INDUSTRIES INC OH 5.02 08/21/07
LUMINENT MORTGAGE CAPITAL INC 1.01,2.03,9.01 08/21/07
MARINER ENERGY INC DE 1.01,2.03,9.01 08/24/07
Marvel Entertainment, Inc. DE 1.01,9.01 08/21/07
MEDINA INTERNATIONAL HOLDINGS, INC. CO 9.01 08/25/07
Merrill Lynch Alternative Note Asset DE 8.01,9.01 08/10/07
Merrill Lynch Mortgage Investors Trus DE 8.01,9.01 08/27/07
MESA OFFSHORE TRUST TX 2.02,9.01 08/27/07
META FINANCIAL GROUP INC DE 8.01,9.01 08/27/07
MGM MIRAGE DE 1.01,9.01 08/21/07
MGM MIRAGE DE 5.02,5.03,9.01 08/21/07
MIDWAY GAMES INC DE 8.01,9.01 08/08/07
MIPS TECHNOLOGIES INC DE 7.01,9.01 08/27/07
MONMOUTH REAL ESTATE INVESTMENT CORP MD 7.01,9.01 08/23/07
NANOGEN INC DE 1.01,2.03,7.01,9.01 08/26/07
NAVIGANT CONSULTING INC DE 5.02 08/21/07
Neuralstem, Inc. DE 8.01,9.01 08/24/07
NEXPLORE CORP 8.01,9.01 08/23/07
Nitar Tech Corp. DE 1.02 08/10/07
Nomura Asset Acceptance Corporation, DE 2.01,9.01 06/29/07
NORTH PITTSBURGH SYSTEMS INC PA 8.01,9.01 08/27/07
NUTECH DIGITAL INC CA 2.01,5.01,5.02 08/22/07
ON SEMICONDUCTOR CORP DE 5.02 08/24/07
ONE EARTH ENERGY LLC 1.01 08/23/07
OPENTV CORP 5.02,9.01 08/27/07
ORTHOFIX INTERNATIONAL N V 8.01,9.01 08/21/07
OSCIENT PHARMACEUTICALS CORP MA 3.02,8.01,9.01 08/22/07
PALL CORP NY 5.02,5.03,9.01 08/21/07
PEOPLES BANCTRUST CO INC AL 1.01,5.02,9.01 08/21/07
PIPELINE DATA INC 2.02,7.01 06/30/07
PIPELINE DATA INC 4.02 12/31/06
PIPELINE DATA INC 4.01 06/30/07 AMEND
PLAINS ALL AMERICAN PIPELINE LP DE 9.01 06/30/07
PNG VENTURES INC NV 1.01 08/24/07
PNM RESOURCES INC NM 5.02,9.01 08/27/07
POWER 3 MEDICAL PRODUCTS INC NY 8.01,9.01 08/22/07
PPL CORP PA 8.01,9.01 08/27/07
Pregis Holding II CORP DE 1.01,5.02,9.01 08/27/07
PREMIER FINANCIAL BANCORP INC KY 8.01,9.01 08/22/07
Protalix BioTherapeutics, Inc. FL 8.01,9.01 08/27/07
PROTECTIVE LIFE INSURANCE CO TN 9.01 08/23/07
pSivida LTD C3 8.01 08/27/07
QUESTCOR PHARMACEUTICALS INC CA 8.01,9.01 08/27/07
RadNet, Inc. NY 1.01,9.01 08/23/07
RAMBUS INC DE 8.01,9.01 08/24/07
RASER TECHNOLOGIES INC UT 8.01 08/27/07
RAYMOND JAMES FINANCIAL INC FL 7.01,9.01 08/27/07
RELM WIRELESS CORP NV 7.01,9.01 08/22/07
REPROS THERAPEUTICS INC. DE 8.01,9.01 08/27/07
Republic Property Trust MD 8.01,9.01 08/27/07
RIMAGE CORP MN 5.02,9.01 08/22/07
S1 CORP /DE/ DE 7.01,8.01,9.01 08/21/07
SANTARUS INC DE 1.01,9.01 08/27/07
SELECTICA INC DE 5.02,8.01,9.01 08/21/07
SHARPER IMAGE CORP DE 5.02 08/23/07
SIENA TECHNOLOGIES, INC. NV 5.02,9.01 08/24/07
SLM Holdings, Inc. 1.01,5.02,9.01 08/21/07
SOUTH SEA ENERGY CORP. 1.01,5.02,5.03,9.01 08/24/07
SOUTHSIDE BANCSHARES INC TX 1.01,9.01 08/21/07
STARTEK INC DE 5.02,9.01 08/22/07
SUN RIVER ENERGY, INC CO 1.01,9.01 08/24/07
SUPERCONDUCTIVE COMPONENTS INC OH 5.03 08/22/07
SWS GROUP INC DE 5.03,9.01 08/27/07
SYDYS CORP NV 5.02 08/01/07
SYNDICATION NET COM INC DE 4.01,9.01 08/15/07 AMEND
TAGALDER GLOBAL INVESTMENT, INC. 4.02 08/21/07
TAGALDER GLOBAL INVESTMENT, INC. 5.02 06/18/07 AMEND
TAYLOR CAPITAL GROUP INC DE 5.02 08/27/07
TEPPCO PARTNERS LP DE 8.01,9.01 06/30/07
TORBAY HOLDINGS INC DE 1.01,9.01 08/20/07
TORCHMARK CORP DE 1.01,9.01 08/24/07
TRACEGUARD TECHNOLOGIES, INC. 5.03 08/23/07
TRIAD GUARANTY INC DE 2.03 08/27/07
UNITED AMERICA INDEMNITY, LTD E9 5.02,9.01 08/27/07
UNITED HERITAGE CORP UT 8.01,9.01 08/23/07
UNITED STATES STEEL CORP DE 1.01,9.01 08/26/07
UpSnap, Inc. 7.01,9.01 08/27/07
UPSTREAM BIOSCIENCES INC. NV 2.01,3.02,9.01 08/24/07
US GEOTHERMAL INC DE 7.01,9.01 08/27/07
US Uranium Inc. 8.01,9.01 08/08/07 AMEND
USA REAL ESTATE INVESTMENT TRUST /CA CA 1.01 08/22/07
VALERO ENERGY CORP/TX DE 7.01,9.01 08/27/07
VALERO ENERGY CORP/TX DE 7.01,9.01 08/27/07
VALIDUS HOLDINGS LTD 8.01 08/22/07
VOIP INC 2.02,7.01,9.01 08/27/07
WELLPOINT INC IN 5.02 08/21/07
WESTAR ENERGY INC /KS KS 1.01,9.01 08/24/07
WESTERN ALLIANCE BANCORPORATION 5.02 08/23/07
WESTERN DIGITAL CORP DE 2.02 08/27/07
WINLAND ELECTRONICS INC MN 5.02,9.01 08/22/07
WORLDSTAR ENERGY, CORP. NV 2.01,3.02,4.01,5.01,5.02,5.06, 08/14/07
9.01
XFONE INC NV 8.01,9.01 08/27/07
YANKEE CANDLE CO INC 1.01,9.01 08/21/07
http://www.sec.gov/news/digest/2007/dig082807.htm
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