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SEC NEWS DIGEST
Issue 2007-174 September 10, 2007
COMMISSION ANNOUNCEMENTS
SEC APPROVES FINRA RULE GOVERNING SALES PRACTICES OF DEFERRED VARIABLE
ANNUITIES
On September 7, the Securities and Exchange Commission approved a new
Financial Industry Regulatory Authority (FINRA) rule that is intended
to enhance broker-dealer sales practices with respect to purchases and
exchanges of deferred variable annuities. The rule has four primary
components. First, it imposes a suitability obligation tailored to the
characteristics of deferred variable annuities. Second, it contains
standards for principal review and requires principals to review
transactions before the customer's application is forwarded to the
issuing insurance company for processing. Third, the rule requires
members to establish and maintain specific written supervisory
procedures reasonably designed to achieve compliance with the
standards set forth in the proposed rule. And fourth, it requires
members to develop and document specific training policies or programs
designed to ensure compliance with the requirements of the rule and
salespersons' understanding of the material features of deferred
variable annuities. The Commission also issued an exemptive order
allowing FINRA members to hold customer funds for no more than seven
business days while completing the required principal review under the
new rule without becoming fully subject to Exchange Act Rule 15c3-3
and being required to maintain higher levels of net capital in
accordance with Rule 15c3-1. While the new rule applies to sales to
all investors and not just to seniors, because deferred variable
annuities are often marketed to investors looking toward retirement,
it has been a particular focus in the context of protecting senior
investors against financial fraud. Combating financial fraud against
older investors will be a focus of the Commission's second annual
Seniors Summit being held today in Washington, D.C. The Summit will
include the release of findings from regulatory examinations of 110
firms offering "free lunch" investment seminars aimed at seniors.
The SEC's Seniors Summit will be webcast live on the SEC Web site at
www.sec.gov, starting at 10:00 A.M., E.T. The event will further
examine how regulators, community organizations, and others can
increasingly coordinate efforts to educate older Americans and protect
them from abusive sales practices and investment fraud. Registration
information and other materials about the Seniors Summit are available
at: http://www.sec.gov/spotlight/seniors/seniors_summit.htm. The
Commission's order approving the proposed FINRA rule is available on
the Commission's web site at
http://www.sec.gov/rules/sro/nasd/2007/34-56375.pdf. The Commission's
order granting exemptions from Rules 15c3-1 and 15c3-3 under the
Securities Exchange Act of 1934 is available on the Commission's web
site at http://www.sec.gov/rules/exorders/2007/34-56376.pdf.
(Press Rel. 2007-178)
"FREE LUNCH" INVESTMENT SEMINAR EXAMINATIONS UNCOVER WIDESPREAD
PROBLEMS, PERILS FOR OLDER INVESTORS
During a Seniors Summit held today at the Securities and Exchange
Commission, securities regulators released a joint report summarizing
the results of their examinations of "free lunch" investment seminars.
The year-long examination was conducted by the SEC, the Financial
Industry Regulatory Authority (FINRA) and state securities regulators
(members of NASAA, the North American Securities Administrators
Association). The regulators scrutinized 110 securities firms and
branch offices that sponsor sales seminars and offer a free lunch to
entice attendees.
The report's key findings include:
* 100% of the "seminars" were instead sales presentations.
While many sales seminars were advertised as "educational,"
"workshops," and "nothing will be sold," they were intended to result
in the attendees' opening new accounts and, ultimately, in the sales
of investment products, if not at the seminar itself, then in follow-
up contacts with the attendees.
* 59% reflected weak supervisory practices by firms.
While some exams found effective supervisory practices, many
examinations found indications that firms had poorly supervised these
sales seminars, including failure to review seminar presentations or
materials as required.
* 50% featured exaggerated or misleading advertising claims.
Examples included "Immediately add $100,000 to your net worth," "How
to receive a 13.3% return," and "How $100K can pay 1 Million Dollars
to Your Heirs."
* 23% involved possibly unsuitable recommendations.
In 25 of the 110 examinations, examiners found indications that
unsuitable recommendations were made, for example, a risky investment
recommended to an investor with a "conservative" investment objective,
or an illiquid investment recommended to an investor with a short-term
need for cash.
* 13% appeared to be fraudulent and have been referred to the most
appropriate regulator for possible enforcement or disciplinary action.
Examiners found indications of possible fraudulent practices in 14
examinations that involved apparent serious misrepresentations of risk
and return, possible liquidation of accounts without the customer's
knowledge or consent, and possible sales of fictitious investments.
SEC Chairman Christopher Cox said, "These findings are a wake-up call
for securities regulators, the financial services industry and
especially older investors. Not only were virtually all of the 'free
lunch' seminars sales jobs in disguise, but half made misleading or
exaggerated claims, and more than a third had unsuitable
recommendations or outright fraud. The SEC and our fellow regulators
intend to put a stop to this. We will step in whenever false claims
are being made. We will sanction crooks who try to feast on the life
savings of older investors. And we will work with every honest
securities firm to help them do more to ensure that their interactions
with older investors fully comply with the securities laws. I applaud
the securities examiners whose collective work has clearly shown that
there's no such thing as a free lunch."
NASAA President Joseph Borg said, "Our examinations prove the point -
there's no such thing as a free lunch. Seniors seeking investor
education and advice at a seminar should not be subject to
misrepresentations, high-pressure sales tactics and outright fraud.
The entire community of state securities regulators will continue our
active pursuit of criminals who cheat seniors out of their hard-earned
retirement savings."
Free lunch sales seminars are routinely targeted at senior citizens
and are commonly held at upscale hotels, restaurants, retirement
communities and golf courses. FINRA Investor Education Foundation
research has found that 78 percent of seniors received a free lunch
seminar invitation and 60 percent received six or more invitations in
the past three years.
FINRA CEO Mary Schapiro said, "With almost 8 out of 10 seniors being
targeted with these tactics, the findings underscore a true need for
increased educational and enforcement efforts. I'm concerned that as
the population grows older, these strong-arm tactics will only grow
more sophisticated. We need to send a clear message right now that
high pressure sales activity is simply unacceptable. No one has the
right to prey on susceptible investors."
Free lunch seminars often have names like "Seniors Financial Survival
Seminar" or "Senior Financial Safety Workshop," and offer "free"
advice by "experts" on how to attain a secure retirement, or offer
financial planning or inheritance advice. The advertisements often
imply that there is an urgency to attend: "limited seating available"
or "call now to reserve a seat."
The examinations were conducted between April 2006 and June 2007 in
areas of the country that have large populations of retirees: Florida,
California, Texas, Arizona, North Carolina, Alabama and South
Carolina.
The report's recommendations include:
* The report recommends that financial services firms review their
supervisory practices and take steps to supervise sales seminars more
closely, and redouble their efforts to ensure that the investment
recommendations they make to seniors are suitable in light of the
particular customer's investment objectives. The report also includes
a list of supervisory practices that appeared to be effective.
* The report also recommends that ongoing investor education efforts
for seniors should provide education with respect to "free lunch"
sales seminars. Specifically, senior investors should understand that
these are sales seminars that result in the sales of financial
products, and they may be sponsored by an undisclosed company with a
financial interest in product sales.
The examination report and other materials related to the SEC's
Seniors Summit are available at:
www.sec.gov/spotlight/seniors/sec2007seniorsmediakit.htm.
(Press Rel. 2007-179)
ENFORCEMENT PROCEEDINGS
IN THE MATTER OF PRITCHARD CAPITAL PARTNERS, LLC, THOMAS WARD
PRITCHARD, JOSEPH JOHN VANCOOK, AND ELIZABETH ANN MCMAHON
On September 7, the Commission issued an Order Instituting
Administrative and Cease-and-Desist Proceedings Pursuant to Sections
15(b) and 21C of the Securities Exchange Act of 1934 and Sections 9(b)
and 9(f) of the Investment Company Act of 1940. In the Order, the
following entity and individuals are named as respondents:
* Pritchard Capital Partners, LLC (Pritchard Capital), a registered
broker-dealer headquartered in Mandeville, Louisiana.
* Thomas W. Pritchard, a resident of Covington, Louisiana and the
managing director of Pritchard Capital.
* Joseph J. VanCook, a resident of Rye, New York, who was formerly
associated with Pritchard Capital in its New York office between
approximately March 2001 and February 2004.
* Elizabeth A. McMahon, a resident of Long Beach, New York, who was
formerly associated with Pritchard Capital in its New York office
between approximately March 2001 and January 2004.
In the Order, the Division of Enforcement alleges, among other things,
that:
* From as early as approximately November 2001 through July 2003,
Pritchard Capital allowed some of its mutual fund customers to late
trade mutual fund shares.
* Virtually all of the late trading occurred through Pritchard
Capital's New York office and involved VanCook and McMahon.
* VanCook and McMahon permitted some of Pritchard Capital's mutual
fund customers to place or confirm orders to buy or sell mutual funds
after 4:00 p.m. Eastern Time, the time as of which funds typically
calculate their net asset value (NAV), but receive the price based on
the NAV already determined as of 4:00 p.m. Eastern Time.
* Pritchard Capital generally did not document the time of its
customers' final confirmations of tentative mutual funds trades.
* Pritchard Capital and Thomas Pritchard failed reasonably to respond
to red flags of potential late trading by VanCook, and the firm's
written supervisory procedures did not contain policies or procedures
reasonably designed to prevent or detect late trading.
Based on the above, the Division of Enforcement further alleges that:
* VanCook willfully violated the antifraud provisions of the
Securities Exchange Act of 1934 (Exchange Act); *
* McMahon caused, and Pritchard Capital and VanCook willfully aided
and abetted and caused, violations of Rule 22c-1, promulgated under
Section 22(c) of the Investment Company Act;
* Pritchard Capital willfully violated, and VanCook and McMahon
willfully aided and abetted and caused Pritchard Capital's violations
of, the books and records provisions of the Exchange Act; and
* Pritchard Capital and Thomas Pritchard failed reasonably to
supervise VanCook with a view to preventing VanCook's violations of
the federal securities laws.
A hearing will be scheduled before an administrative law judge to
determine whether the allegations contained in the Order Instituting
Proceedings are true, to provide the respondents an opportunity to
dispute the allegations, and to determine what sanctions, if any, are
appropriate and in the public interest.
The Administrative Law Judge shall issue an initial decision no later
than 300 days from the date of service of the Order Instituting
Proceedings. (Rels. 34-56374; IC-27966; File No. 3-12753)
SEC v. HOMELAND COMMUNICATIONS CORPORATION, ET AL.
The Commission announced that on Sept. 5, 2007, it filed an emergency
federal civil action to halt an ongoing offering fraud involving the
unregistered sales of securities being perpetrated by Homeland
Communications Corporation (Homeland), a purported wireless
communications company based in Deerfield Beach, Florida, its
principal officer, Frances LaBarre (LaBarre), and its vice-president
of investor relations, Joseph Yurkin (Yurkin). The action also names
several South Florida companies as relief defendants, including Oak
Tree Escrow Corp., Luna Pazza, Inc., SMR Acquisitions, Inc.,
SMRDevelopment.com, Inc., and Global Survey Corp. (collectively the
Relief Defendants).
Acting on the SEC's request for emergency relief, on Sept. 6, 2007,
Judge Kenneth A. Marra of the United States District Court for the
Southern District of Florida, issued temporary restraining orders,
asset freezes and other relief against the Defendants and the Relief
Defendants. The Court also appointed David Mandel, Esq. as Receiver
over the corporate Defendant and Relief Defendants.
The SEC's complaint alleges that from at least May 2005 to the
present, Homeland, LaBarre, and Yurkin have raised at least $1.13
million from 93 investors nationwide by offering and selling
unregistered securities in the form of units consisting of one share
of Homeland's common stock and one warrant. The complaint further
alleges that, in connection with the offer and sale of Homeland's
securities, the Defendants are making numerous material
misrepresentations and omissions to investors through Homeland's
website, its telemarketers, and its offering materials distributed to
potential investors. The misstatements and omissions include, among
other things, false representations concerning an upcoming initial
public offering, the use of investor proceeds, and Homeland's assets
and acquisitions. The complaint also alleges that the Defendants have
fraudulently diverted a substantial portion of investor funds to
entities controlled by LaBarre and her family.
The SEC's complaint alleges that Defendants violated Sections 5(a),
5(c) and 17(a) of the Securities Act of 1933, Section 10(b) of the
Securities Exchange Act of 1934, and Rule 10b-5 thereunder. In
addition to the emergency relief described above, the SEC's complaint
seeks, among other things, preliminary and permanent injunctions
prohibiting future violations of the securities laws, an order that
the Defendants disgorge all ill-gotten gains, an order imposing civil
money penalties, and penny stock bars against LaBarre and Yurkin.
The SEC acknowledges the assistance of the Texas State Securities
Board and the State of Florida Office of Financial Regulation, Bureau
of Financial Investigations. [SEC v. Homeland Communications
Corporation, et al., Case No. 07-80802-Marra/Johnson (S.D. Fla.] (LR-
20271)
SEC FILES EMERGENCY ACTION TO HALT HONOLULU-BASED ADVISER FROM
DEFRAUDING SENIORS
The Commission and announced the filing of a securities fraud action
against a Honolulu-based investment adviser representative who
targeted and defrauded members of the senior and retirement
communities in Hawaii..
The SEC's emergency action in federal district court in Honolulu
against Mark K. Teruya (Teruya) , age 35, and his company, Senior
Resources of Hawaii, Inc. (Senior Resources) seeks to halt the
defendants' fraudulent activities and deprive them of their ill-gotten
gains. Teruya is a representative of an SEC-registered investment
adviser, which was not named in either of today's action.
According to the SEC's complaint, since at least 2004 and continuing
as recently as August 2007, Teruya, through Senior Resources, has on
multiple occasions fraudulently induced clients to sign a series of
pre-printed, fill-in-the-blank forms by misrepresenting the purpose of
the forms, the reasons that they needed prospective clients'
signatures on the forms, and the way in which they would use the
forms. The complaint alleges that Teruya used the signed forms to sell
the seniors' existing securities holdings without their knowledge or
authorization. The complaint also alleges that Teruya, who is also a
licensed insurance agent, then used the proceeds of the unauthorized
sales to purchase equity-indexed annuities for which he received
substantial, undisclosed commissions totaling about $2 million.
The complaint alleges that each month the defendants lured about 75
senior citizens, mostly retirees in their 60s, 70s, and 80s, to free
breakfast and dinner seminars focusing on retirement financial
planning. The complaint alleges that the defendants targeted seniors
through advertisements in local newspapers, such as The Honolulu
Advertiser and Honolulu Star-Bulletin, and direct mail invitations.
The advertisements featured eye-catching headlines, such as "7 Seldom
Heard, Significant Financial Opportunities [That] May Be Available to
Many Retirees," and "10 Common Costly Financial Mistakes Hawaii
Retirees May Make and Ways to Avoid Them."
As alleged in the complaint, defendants then offered seminar attendees
free one-on-one consultations with Teruya, a self-proclaimed
"certified retirement financial adviser." The complaint further
alleges that, during these individual meetings, defendants
fraudulently induced the seniors to sign the blank forms.
The SEC's complaint charges the defendants with violating the
antifraud provisions of the federal securities laws, Section 17(a) of
the Securities Act of 1933, Section 10(b) of the Securities Exchange
Act of 1934 and Rule 10b-5, and Sections 206(1) and 206(2) of the
Investment Advisers Act of 1940. The SEC also seeks preliminary and
permanent injunctions, disgorgement of ill-gotten gains with
prejudgment interest, and civil penalties.
Simultaneous with the filing of the SEC's complaint, the Hawaii
Securities Commissioner issued a Preliminary Order to Cease and Desist
and Notice of Right to Hearing against Teruya and Senior Resources
seeking to revoke Teruya's state registration as an investment adviser
representative. SEC enforcement staff joined forces with the State of
Hawaii in taking action on this matter, sharing information and
resources. SEC examination staff, acting on information provided by
Hawaii securities regulators, inspected Teruya's office as part of a
cooperative state, SRO, SEC examination sweep of financial services
firms that sponsor "free lunch" investment seminars. [SEC v. Senior
Resources of Hawaii, Inc. and Mark K. Teruya, Civil Action No.CV 07
00467 HG LEK, D. Hi.] (LR-20272; Press Rel. 2007-177)
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A proposed rule change (SR-Phlx-2007-61), as modified by Amendment No.
1 thereto, filed by the Philadelphia Stock Exchange relating to fees
for U.S. dollar-settled foreign currency options 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 September 10. (Rel. 34-56360)
A proposed rule change (SR-Phlx-2007-66) filed by the Philadelphia
Stock Exchange relating to deletion of the NMS Linkage Fee 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 September 10. (Rel. 34-56361)
A proposed rule change (SR-Phlx-2007-56), as modified by Amendment No.
1 thereto, filed by the Philadelphia Stock Exchange relating to the
definition of common stock 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 September 10.
(Rel. 34-56369)
APPROVAL OF PROPOSED RULE CHANGE
The Commission has granted accelerated approval to a proposed rule
(SR-NASD-2004-183) as modified by Amendment Nos. 3 and 4 relating to
sales practice standards and supervisory requirements for transactions
in deferred variable annuities. Publication is expected in the Federal
Register during the week of September 10. (Rel. 34-56375)
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 BANYAN CORP /OR/, 1925 CENTURY PARK EAST, SUITE 500, LOS ANGELES, CA,
90067, 1-800-808-0899 - 14,000,000 ($280,000.00) Equity,
(File 333-145908 - Sep. 7) (BR. 01A)
S-1 CARRINGTON LABORATORIES INC /TX/, 2001 WALNUT HILL LANE, IRVING, TX,
75038, 972-518-1300 - 18,939,823 ($11,742,690.26) Equity,
(File 333-145909 - Sep. 7) (BR. 06A)
SB-2 Bold View Resources Inc, 800 North Rainbow Blvd, Las Vegas, NV, 89107,
702-312-6255 - 730,000 ($36,500.00) Equity, (File 333-145910 - Sep. 7)
(BR. 04)
S-8 SUB SURFACE WASTE MANAGEMENT OF DELAWARE INC, 5922-B FARNSWORTH COURT,
CARLSBAD, CA, 92008, 760-918-1860 - 30,000,000 ($240,000.00) Equity,
(File 333-145913 - Sep. 7) (BR. 06B)
S-8 Coley Pharmaceutical Group, Inc., 93 WORCESTER ST., SUITE 101,
WELLESLEY, MA, 02481, 617-348-1738 - 0 ($4,905,000.00) Equity,
(File 333-145914 - Sep. 7) (BR. 01C)
SB-2 PERFECTENERGY INTERNATIONAL LTD, NO. 479 YOU DONG ROAD,,
XINZHUANG TOWN,, SHANGHAI, F4, 201100, (8621) 5488-8436 -
0 ($60,648,192.87) Equity, (File 333-145915 - Sep. 7) (BR. 04C)
S-8 SENECA FOODS CORP /NY/, 3736 SOUTH MAIN STREET, MARION, NY, 14505,
315 926 8100 - 100,000 ($26.09) Equity, (File 333-145916 - Sep. 7)
(BR. 04C)
S-8 REPUBLIC AIRWAYS HOLDINGS INC, 8909 PURDUE ROAD, SUITE 300,
INDIANAPOLIS, IN, 46268, 317-484-6000 -
5,000,000 ($95,000,000.00) Equity, (File 333-145918 - Sep. 7) (BR. 05B)
S-3ASR HECLA MINING CO/DE/, 6500 N MINERAL DRIVE SUITE 200, NONE,
COEUR D'ALENE, ID, 83815-9408, 2087694100 - 0 ($0.00) Debt,
0 ($0.00) Equity, 0 ($0.00) Other, (File 333-145919 - Sep. 7) (BR. 04A)
S-8 HEWLETT PACKARD CO, 3000 HANOVER ST, MS 1050, PALO ALTO, CA, 94304,
6508571501 - 44,300 ($1,609,862.00) Equity, (File 333-145920 - Sep. 7)
(BR. 03C)
S-3 GSI COMMERCE INC, 935 FIRST AVE, KING OF PRUSSIA, PA, 19406,
6102653229 - 0 ($150,000,000.00) Debt Convertible into Equity,
(File 333-145921 - Sep. 7) (BR. 02C)
S-1 BLUEARC CORP, 225 BAYPOINTE PARKWAY, SAN JOSE, CA, 95134,
408-576-6600 - 0 ($103,500,000.00) Equity, (File 333-145922 - Sep. 7)
(BR. )
S-8 GSI COMMERCE INC, 935 FIRST AVE, KING OF PRUSSIA, PA, 19406,
6102653229 - 0 ($69,690,000.00) Equity, (File 333-145923 - Sep. 7)
(BR. 02C)
S-3ASR CARDINAL HEALTH INC, 7000 CARDINAL PLACE, DUBLIN, OH, 43017,
6147573033 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-145924 - Sep. 7) (BR. 09B)
S-4 Ruby Newco LLC, C/O 1211 AVENUE OF THE AMERICAS, NEW YORK, NY, 10036,
212-852-7000 - 0 ($1,061,259,139.10) Equity, (File 333-145925 - Sep. 7)
(BR. )
S-3ASR STEWART ENTERPRISES INC, 1333 SOUTH CLEARVIEW PARKWAY, JEFFERSON, LA,
70121, 5047291400 - 0 ($250,000,000.00) Debt Convertible into Equity,
(File 333-145926 - Sep. 7) (BR. 11B)
S-3 IA GLOBAL INC, 101 CALIFORNIA STREET, SUITE 2450, SAN FRANCISCO, CA,
94111, 415-946-8828 - 29,733,146 ($14,866,573.00) Equity,
(File 333-145927 - Sep. 7) (BR. 11B)
S-8 AON CORP, 200 EAST RANDOLPH STREET, CHICAGO, IL, 60601, 3123811000 -
0 ($1,143,095,198.82) Equity, (File 333-145928 - Sep. 7) (BR. 01A)
S-1 CARDTRONICS INC, 3110 HAYES ROAD, SUITE 300, HOUSTON, TX, 77082,
2815969988 - 0 ($300,000,000.00) Equity, (File 333-145929 - Sep. 7)
(BR. 08B)
S-8 AON CORP, 200 EAST RANDOLPH STREET, CHICAGO, IL, 60601, 3123811000 -
0 ($12,828,250.00) Equity, (File 333-145930 - Sep. 7) (BR. 01A)
S-4 FIRST CITIZENS BANC CORP /OH, 100 EAST WATER ST, P O BOX 5016,
SANDUSKY, OH, 44870, 4196254121 - 2,699,478 ($13,640,128.00) Equity,
(File 333-145931 - Sep. 7) (BR. 07C)
S-8 SILVERADO GOLD MINES LTD, SUITE 1820, 1111 WEST GEORGIA STREET,
VANCOUVER, A1, V6E 4M3, 604-689-1535 -
25,000,000 ($1,800,000.00) Equity, (File 333-145932 - Sep. 7) (BR. 04A)
S-8 NEW MOTION, INC., 42 CORPORATION PARK, SUITE 250, IRVINE, CA, 92606,
(949) 777-3700 - 2,531,684 ($38,608,181.00) Equity, (File 333-145933 -
Sep. 7) (BR. 08A)
S-8 VAIL RESORTS INC, 390 INTERLOCKEN CRESCENT, SUITE 1000, BROOMFIELD, CO,
80021, 303-404-1800 - 4,191,429 ($198,820,465.00) Equity,
(File 333-145934 - Sep. 7) (BR. 05C)
S-3 Synvista Therapeutics, Inc., 221 WEST GRAND AVENUE, MONTVALE,, NJ,
07645, 2019345000 - 0 ($2,720,400.00) Equity, (File 333-145935 -
Sep. 7) (BR. 01C)
S-4 LIBERTY MEDIA CORP, 12300 LIBERTY BOULEVARD, ENGLEWOOD, CO, 80112,
7208755400 - 0 ($14,704,468,049.04) Equity, (File 333-145936 - Sep. 7)
(BR. 11C)
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
ACCELERIZE NEW MEDIA INC DE 1.01,3.02,9.01 08/31/07
ACETO CORP NY 2.02,9.01 09/07/07
ACI WORLDWIDE, INC. DE 5.02,9.01 08/31/07
ACRONGENOMICS INC NV 5.02 09/03/07
Advance America, Cash Advance Centers DE 5.02,9.01 09/04/07
ADVANCED CELL TECHNOLOGY, INC. DE 1.01,9.01 08/31/07
ADVANCED PHOTONIX INC DE 1.01,3.02,9.01 08/31/07
AECOM TECHNOLOGY CORP DE 1.01,2.03,9.01 08/31/07
AEROPOSTALE INC 7.01,9.01 09/06/07
AIMS WORLDWIDE INC NV 5.02 09/06/07
AIRNET SYSTEMS INC OH 8.01 08/31/07
Aldabra 2 Acquisition Corp. DE 1.01,7.01,8.01,9.01 09/07/07
ALLIED HEALTHCARE PRODUCTS INC DE 2.02,7.01,9.01 09/07/07
ALLIED WASTE INDUSTRIES INC DE 5.02,7.01,9.01 09/04/07
AMEDIA NETWORKS, INC. DE 1.01,8.01,9.01 08/15/07
AMERICAN EAGLE OUTFITTERS INC DE 7.01,9.01 09/05/07
AMERICAN ITALIAN PASTA CO DE 2.06,8.01,9.01 08/31/06
AMERICAN LOCKER GROUP INC DE 5.02 08/31/07
AMERICREDIT CORP TX 1.01,1.02,9.01 09/05/07
AMERIGROUP CORP 1.01 08/31/07
Amtrust Financial Services, Inc. DE 8.01,9.01 09/06/07
ANGELES INCOME PROPERTIES LTD II CA 1.01,2.03,9.01 08/31/07
ANGELES PARTNERS XII CA 1.01,2.03,9.01 08/31/07
ANWORTH MORTGAGE ASSET CORP MD 2.01,9.01 08/31/07
ANWORTH MORTGAGE ASSET CORP MD 2.06 09/05/07
APOLLO INVESTMENT CORP MD 2.02,9.01 09/05/07
Apple REIT Eight, Inc. VA 1.01 09/04/07
APPLIED DNA SCIENCES INC NV 1.01,2.03,3.02,9.01 08/31/07
ARCHSTONE SMITH TRUST MD 5.04,9.01 09/07/07
ARTISTDIRECT INC DE 5.02,9.01 08/31/07
ASHWORTH INC DE 5.02 08/31/07
ASPEN TECHNOLOGY INC /DE/ DE 1.01 09/05/07
ASPYRA INC CA 8.01 08/31/07
ATARI INC DE 5.02 08/31/07
ATMI INC DE 5.02,9.01 09/04/07
ATP OIL & GAS CORP TX 2.03,7.01,9.01 09/07/07
ATS CORP DE 2.01,3.02,7.01,8.01,9.01 08/31/07
AVAYA INC DE 5.04,9.01 09/07/07
AWARE INC /MA/ MA 1.01,3.03,9.01 09/07/07
BANK JOS A CLOTHIERS INC /DE/ DE 1.01,3.03,8.01,9.01 09/06/07
Baseline Oil & Gas Corp. NV 8.01,9.01 09/07/07
BCSB Bancorp Inc. MD 1.01 09/04/07
BCSB BANKCORP INC 1.01 09/04/07
BEA SYSTEMS INC DE 5.02 09/03/07
BEAZER HOMES USA INC DE 8.01,9.01 09/06/07
BELK INC 2.03,9.01 08/31/07
BIOFORCE NANOSCIENCES HOLDINGS, INC. NV 1.01,3.02,5.03,9.01 08/31/07
BIOJECT MEDICAL TECHNOLOGIES INC OR 1.01,2.03,3.02,9.01 08/31/07
BRADY CORP WI 5.02,9.01 08/31/07
BROOKE CAPITAL CORP KS 1.01,9.01 08/31/07
BROOKE CORP KS 1.01,5.02,9.01 08/31/07
C&D TECHNOLOGIES INC DE 2.02,9.01 09/07/07
C&D TECHNOLOGIES INC DE 2.01,5.02,8.01,9.01 08/31/07
CALAVO GROWERS INC CA 2.02,9.01 09/05/07
CAMPBELL FUND TRUST MD 3.02 09/01/07
CANADIAN DERIVATIVES CLEARING CORP A6 9.01 08/31/07
CAPITAL ALLIANCE INCOME TRUST REAL ES DE 9.01 09/06/07
CARDIMA INC DE 5.02,9.01 08/31/07
CAREGUIDE INC DE 5.02 09/06/07
CARPENTER TECHNOLOGY CORP DE 5.02 09/07/07 AMEND
CARRINGTON LABORATORIES INC /TX/ TX 1.01 08/31/07
CENTEX CORP NV 8.01 08/31/07
CENTURY PROPERTIES FUND XVII CA 1.01,2.03,9.01 08/31/07
CENTURY PROPERTIES GROWTH FUND XXII CA 1.01,2.03,9.01 08/31/07
CERADYNE INC DE 7.01,9.01 09/04/07
CERADYNE INC DE 5.02 08/31/07
CHESAPEAKE ENERGY CORP OK 8.01,9.01 09/05/07
CHINA ORGANIC AGRICULTURE, INC. 8.01,9.01 09/03/07
China VoIP & Digital Telecom Inc. NV 5.02 09/07/07
CHITTENDEN CORP /VT/ VT 7.01,9.01 09/07/07
CHRISTOPHER & BANKS CORP DE 5.02,9.01 08/31/07
CISCO SYSTEMS INC CA 8.01 09/05/07
CITRIX SYSTEMS INC DE 7.01,9.01 09/07/07
CITY CAPITAL CORP NV 5.02,9.01 09/04/07
CombiMatrix Corp DE 5.02 09/06/07
Commerce Planet UT 1.01,9.01 08/31/07
Community Bankers Acquisition Corp. 1.01,9.01 09/05/07
COMTECH TELECOMMUNICATIONS CORP /DE/ DE 1.01 08/31/07
Conihasset Capital Partners, Inc. DE 4.01,9.01 08/31/07
CONSOLIDATED CAPITAL INSTITUTIONAL PR CA 1.01,2.03,9.01 08/31/07
CONSOLIDATED CAPITAL PROPERTIES III CA 1.01,2.03,9.01 08/31/07
CONSOLIDATED CAPITAL PROPERTIES IV CA 1.01,2.03,9.01 08/31/07
Cooper-Standard Holdings Inc. DE 2.01,9.01 09/07/07
COTT CORP /CN/ 5.02 06/29/07 AMEND
COUSINS PROPERTIES INC GA 1.01,2.03,9.01 08/31/07
COWLITZ BANCORPORATION WA 8.01,9.01 09/06/07
CREDIT ACCEPTANCE CORPORATION MI 1.01,9.01 08/31/07
CREDIT SUISSE COMMERCIAL MORTGAGE TRU DE 9.01 09/07/07
CSK AUTO CORP DE 8.01,9.01 09/05/07
CSMC Asset-Backed Trust 2007-NC1 DE 7.01 08/31/07
DATALINK CORP MN 9.01 01/30/07 AMEND
DATAMETRICS CORP DE 5.02 08/31/07
DAVIDSON GROWTH PLUS LP DE 1.01,2.03,9.01 08/31/07
DELPHI CORP DE 7.01,9.01 09/06/07
DG FastChannel, Inc DE 2.01,9.01 08/31/07
Digital Realty Trust, Inc. MD 1.01,1.02,2.03,9.01 08/31/07
DITECH NETWORKS INC DE 5.02,9.01 08/31/07
DJO INC DE 8.01,9.01 08/31/07
DPL INC OH 7.01,9.01 09/04/07
DREXEL BURNHAM LAMBERT REAL ESTATE AS NY 1.01,2.03,9.01 08/31/07
DSP GROUP INC /DE/ DE 1.01,2.01,3.02,5.02,7.01,9.01 09/03/07
DUKE REALTY CORP IN 1.01,9.01 09/06/07
DUKE REALTY LIMITED PARTNERSHIP/ IN 1.01,9.01 09/06/07
DUSKA THERAPEUTICS, INC. NV 1.01,2.03,9.01 08/24/07
DYNCORP INTERNATIONAL INC. DE 1.01,9.01 09/06/07
DYNEGY INC. DE 7.01 09/07/07
E ENERGY ADAMS LLC 5.02,9.01 08/31/07
EAGLE MATERIALS INC DE 1.01,9.01 08/31/07
EESTech, Inc. 2.01,9.01 07/25/07
EESTech, Inc. 2.01 07/03/07 AMEND
EMAK Worldwide, Inc. DE 1.01,1.02,8.01,9.01 08/31/07
ENCYSIVE PHARMACEUTICALS INC DE 8.01,9.01 09/05/07
ENDURANCE SPECIALTY HOLDINGS LTD 1.01,9.01 09/07/07
ENZO BIOCHEM INC NY 8.01,9.01 09/07/07
EOG RESOURCES INC DE 1.01,8.01,9.01 09/07/07
EQUINIX INC DE 1.01,2.03 08/31/07
ES Bancshares, Inc. MD 2.02,9.01 09/07/07
eTelecare Global Solutions, Inc. 5.03,9.01 09/03/07
EXACT SCIENCES CORP DE 1.01,5.02,9.01 08/31/07
EXELON CORP PA 5.02,9.01 08/31/07
Expedia, Inc. 5.02 09/05/07
EXPRESS-1 EXPEDITED SOLUTIONS INC DE 5.03,9.01 08/30/07
Federal Home Loan Bank of Boston X1 1.01 08/31/07
Federal Home Loan Bank of Pittsburgh PA 5.02 09/01/07
Federal Home Loan Bank of Pittsburgh PA 1.01 08/31/07
FINANCIAL SECURITY ASSURANCE HOLDINGS NY 5.02 09/06/07
FIRST MONTAUK FINANCIAL CORP NJ 5.02,9.01 07/31/07
FIRST PULASKI NATIONAL CORP TN 5.02,9.01 09/04/07
FIRST REGIONAL BANCORP CA 8.01 08/31/07
FIRSTWAVE TECHNOLOGIES INC GA 3.01,9.01 09/06/07
Flagstone Reinsurance Holdings Ltd 7.01,9.01 09/05/07
FLANDERS CORP NC 1.01 09/06/07
FLATBUSH FEDERAL BANCORP INC 5.02,9.01 09/04/07
FLOTEK INDUSTRIES INC/CN/ DE 1.01,8.01,9.01 08/31/07
FOSTER L B CO PA 1.01,9.01 09/04/07
FOUNDRY NETWORKS INC DE 8.01 08/31/07
FOX PETROLEUM INC. NV 2.01,3.02,5.06,8.01,9.01 07/31/07
GATEWAY ENERGY CORP/NE DE 1.01,2.01,7.01,9.01 09/06/07
GLOBAL AXCESS CORP NV 5.02 08/22/07
Global Beverage Solutions, Inc. 5.02 01/19/07
GLOBAL GOLD CORP DE 1.01,8.01,9.01 09/07/07
Global Logistics Acquisition CORP DE 4.02 08/30/07
Global Logistics Acquisition CORP DE 4.02,9.01 08/30/07 AMEND
GLOBALSCAPE INC DE 5.02,9.01 09/05/07
Golden Autumn Holdings Inc. 5.02 09/06/07
Golden Autumn Holdings Inc. 1.01,2.03,3.02,9.01 09/06/07
GOLDMAN SACHS HEDGE FUND PARTNERS LLC DE 7.01 09/07/07
GOLDMAN SACHS HEDGE FUND PARTNERS LLC DE 3.02 09/07/07
GRAHAM CORP DE 5.02,9.01 09/06/07
GSV INC DE 1.01 08/31/07
HEARTLAND EXPRESS INC NV 8.01,9.01 09/07/07
HEARTLAND FINANCIAL USA INC DE 5.02,9.01 09/07/07
HI TECH PHARMACAL CO INC NY 2.02 09/07/07
Horizon Lines, Inc. 5.02 09/01/07
HOST HOTELS & RESORTS L.P. DE 5.02,9.01 09/01/07
HOST HOTELS & RESORTS, INC. MD 5.02,9.01 09/01/07
HouseValues, Inc. WA 5.02 09/07/07
HYDROMER INC NJ 8.01 09/06/07
INCENTRA SOLUTIONS, INC. NV 1.01,2.01,2.03,3.02,9.01 09/05/07
India Globalization Capital, Inc. MD 7.01,8.01,9.01 08/28/07
INDYMAC BANCORP INC DE 7.01,9.01 09/07/07
INDYMAC BANCORP INC DE 7.01,9.01 09/07/07
INFINITY ENERGY RESOURCES, INC 1.01,2.04,9.01 08/31/07
INFINITY PROPERTY & CASUALTY CORP OH 1.01,2.03,9.01 09/07/07
INTEGRA LIFESCIENCES HOLDINGS CORP DE 1.02,5.02,7.01,9.01 09/06/07
INTEGRA LIFESCIENCES HOLDINGS CORP DE 5.02,9.01 09/06/07
InterDigital, Inc. PA 8.01 09/06/07
InterDigital, Inc. PA 2.02,9.01 09/07/07
INTERMUNE INC DE 8.01 09/07/07
International Gold Resources, Inc. 3.02 09/07/07
INTERNATIONAL LEASE FINANCE CORP CA 2.03,9.01 09/07/07
INTERWOVEN INC CA 5.02 09/04/07
INTRICON CORP PA 5.03,9.01 09/05/07
IRIDEX CORP DE 1.01,3.02,5.03,9.01 08/31/07
ISIS PHARMACEUTICALS INC DE 8.01,9.01 09/07/07
IWT TESORO CORP NV 1.03,9.01 09/06/07
IWT TESORO CORP NV 2.04 09/05/07
J P MORGAN CHASE & CO DE 9.01 09/05/07
Jayhawk Energy, Inc. CO 8.01 09/06/07
JK Acquisition Corp. 2.03,7.01,9.01 09/06/07
JMG Exploration, Inc. NV 5.02,9.01 09/07/07
KBW, INC. 1.01,9.01 09/07/07
Kesselring Holding Corporation. 5.02,9.01 08/31/07
KINDER MORGAN ENERGY PARTNERS L P DE 7.01 09/06/07
KINDER MORGAN MANAGEMENT LLC DE 7.01 09/06/07
KNBT BANCORP INC PA 1.01,5.02,7.01,9.01 09/06/07
KRISPY KREME DOUGHNUTS INC NC 2.02,7.01,9.01 09/06/07
LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 09/07/07
LACLEDE GROUP INC MO 5.02,9.01 09/04/07
LEAP WIRELESS INTERNATIONAL INC DE 5.02,8.01,9.01 09/06/07
Lehman XS Trust Series 2007-15N DE 6.02 09/01/07
Lehman XS Trust Series 2007-7N DE 6.02 09/01/07
LHC Group, Inc 5.02,9.01 09/06/07
LIFE PARTNERS HOLDINGS INC TX 8.01,9.01 08/30/07
Lifevantage Corp CO 5.02,9.01 08/31/07
LOEWS CORP DE 7.01,9.01 09/06/07
LONG ISLAND PHYSICIAN HOLDINGS CORP NY 1.03,5.02 08/27/07
LUMINENT MORTGAGE CAPITAL INC 5.02,9.01 08/31/07
MARATHON OIL CORP DE 8.01,9.01 09/07/07
MAXYGEN INC DE 5.03,9.01 09/06/07
MEDIALINK WORLDWIDE INC DE 5.02,9.01 09/05/07
Merrill Lynch First Franklin Mortgage DE 8.01,9.01 09/07/07
Merrill Lynch Mortgage Backed Securit DE 6.02 09/01/07
Merrill Lynch Mortgage Trust 2007-C1 DE 1.01,9.01 08/16/07
MFA MORTGAGE INVESTMENTS MD 1.01,9.01 09/06/07
MFRI INC DE 5.03,9.01 09/05/07
MIDWEST BANC HOLDINGS INC DE 7.01,8.01,9.01 09/07/07
MILLENNIUM BIOTECHNOLOGIES GROUP INC DE 1.01,3.02,9.01 08/15/07
MILLENNIUM CELL INC DE 3.02,9.01 09/07/07
MISONIX INC NY 1.01,9.01 09/06/07
MobiVentures Inc. NV 1.01,5.02,9.01 09/03/07
MOLINA HEALTHCARE INC DE 1.01,9.01 09/06/07
Morningstar, Inc. IL 7.01 09/07/07
MYCOM GROUP INC /NV/ NV 5.02 09/04/07
NATIONAL BEVERAGE CORP DE 2.02,9.01 09/06/07
National Health Partners Inc 5.02,9.01 09/04/07
National Interstate CORP OH 8.01,9.01 09/06/07
NATIONAL PENN BANCSHARES INC PA 1.01,7.01,9.01 09/06/07
NATIONAL PROPERTY INVESTORS 5 CA 1.01,2.03,9.01 08/31/07
NATIONAL PROPERTY INVESTORS 6 CA 1.01,2.03,9.01 08/31/07
NEKTAR THERAPEUTICS DE 5.02 09/04/07
NEOMEDIA TECHNOLOGIES INC DE 4.01,9.01 08/29/07 AMEND
NETWORK CN INC DE 5.02 09/01/07
NEW FRONTIER MEDIA INC CO 8.01 09/06/07
New Oriental Energy & Chemical Corp. DE 8.01,9.01 09/06/07
NOBILITY HOMES INC FL 2.02,9.01 08/04/07
Nomura Asset Acceptance Corporation, DE 6.02,9.01 09/04/07
Nomura Asset Acceptance Corporation, DE 6.02,9.01 09/04/07
Nomura Asset Acceptance Corporation, DE 9.01 06/29/07
Nomura Asset Acceptance Corporation, DE 6.02,9.01 09/04/07
Nomura Home Equity Loan, Inc., Home E DE 6.02,9.01 09/04/07
NORTHRIM BANCORP INC AK 5.03,9.01 09/06/07
NUCOR CORP DE 5.02,9.01 09/06/07
NxStage Medical, Inc. DE 8.01,9.01 09/05/07
Oncologix Tech Inc. NV 8.01 09/04/07
ORCHID CELLMARK INC 5.03,9.01 09/06/07
Owens Corning DE 8.01,9.01 08/31/07
P F CHANGS CHINA BISTRO INC 1.01,2.03 08/31/07
P&F INDUSTRIES INC DE 8.01,9.01 09/05/07
PACIFIC BIOMETRICS INC DE 4.01,9.01 09/04/07
Penn Virginia GP Holdings, L.P. 1.01,2.03,9.01 09/07/07
PENN VIRGINIA RESOURCE PARTNERS L P DE 1.01,2.03,9.01 09/07/07
PEOPLES BANCORP OF NORTH CAROLINA INC NC 8.01,9.01 09/04/07
PEP BOYS MANNY MOE & JACK PA 5.02,8.01,9.01 09/07/07
PERCEPTRON INC/MI MI 5.02,9.01 09/06/07
PEROT SYSTEMS CORP DE 2.03,8.01,9.01 08/31/07
PETROHAWK ENERGY CORP DE 5.02,9.01 09/01/07
PETSMART INC DE 5.02,9.01 09/01/07
PHARMACOPEIA INC DE 1.01,5.02,9.01 08/31/07
PIEDMONT NATURAL GAS CO INC NC 2.02,8.01,9.01 09/07/07
Piedmont Office Realty Trust, Inc. MD 1.01,1.02,2.03,8.01,9.01 08/31/07
PIONEER NATURAL RESOURCES CO DE 7.01 08/30/07
PLASMATECH, INC. NV 8.01 09/05/07
PLAYTEX PRODUCTS INC DE 8.01,9.01 09/05/07
PONIARD PHARMACEUTICALS, INC. WA 8.01,9.01 09/04/07
POZEN INC /NC 1.01,9.01 09/06/07
PREMIER EXHIBITIONS, INC. 5.02 09/01/07
PRIDE INTERNATIONAL INC DE 2.01,9.01 08/31/07
PROFESSIONALS DIRECT INC MI 8.01 09/07/07
PROFILE TECHNOLOGIES INC DE 5.02,9.01 08/20/07
PSB Holdings, Inc. 8.01,9.01 09/07/07
PUBLIC SERVICE ENTERPRISE GROUP INC NJ 7.01,9.01 09/06/07
QI SYSTEMS INC 7.01,9.01 09/06/07
Quicksilver Gas Services LP DE 8.01,9.01 09/04/07
QUIPP INC FL 3.03,7.01,9.01 08/31/07
RAMBUS INC DE 8.01,9.01 09/07/07
RASER TECHNOLOGIES INC UT 1.01,5.02,9.01 09/07/07
RBC LIFE SCIENCES, INC. DE 5.02,9.01 09/04/07
REGAL BELOIT CORP WI 2.01,8.01,9.01 08/31/07
REHABCARE GROUP INC DE 7.01,9.01 09/07/07
RENTECH INC /CO/ CO 5.02 09/01/07
RESIDENTIAL ACCREDIT LOANS INC DE 8.01,9.01 09/06/07
RFMSI Series 2007-S8 Trust DE 8.01,9.01 08/24/07
RG GLOBAL LIFESTYLES INC CA 1.01,3.02,9.01 09/01/07
ROCKFORD CORP AZ 7.01,9.01 09/06/07
RUBBER RESEARCH ELASTOMERICS INC MN 1.01,3.02,5.01,5.03,8.01,9.01 05/11/07
SALIX PHARMACEUTICALS LTD 1.01,9.01 09/04/07
SCORES HOLDING CO INC UT 5.02 08/31/07
SEARCHHELP INC 3.02 09/05/07
Sequoia Mortgage Trust 2007-1 6.02 09/01/07
Sequoia Mortgage Trust 2007-2 6.02 09/01/07
Sequoia Mortgage Trust 2007-3 6.02 09/01/07
SHELTER PROPERTIES VII LTD PARTNERSHI SC 1.01,2.03,9.01 08/31/07
SILVERSTAR HOLDINGS LTD B0 8.01,9.01 09/06/07
SIMTROL INC DE 5.02 08/31/07
Sino Fibre Communications, Inc. NV 7.01,9.01 09/06/07
Sinoenergy CORP NV 1.01,9.01 09/01/07
Skilled Healthcare Group, Inc. DE 8.01,9.01 09/01/07
SMITTEN PRESS LOCAL LORE & LEGENDS IN 5.01,5.02,9.01 08/31/07
SNAP ON INC DE 5.02,9.01 08/31/07
SOLERA HOLDINGS, INC DE 2.02,7.01,9.01 09/06/07
SOLERA HOLDINGS, INC DE 7.01,9.01 09/06/07
SOLOMON TECHNOLOGIES INC DE 1.01,2.01,3.02,9.01 09/05/07
SPARTECH CORP DE 2.02,8.01,9.01 09/06/07
STAGE STORES INC NV 8.01,9.01 09/06/07
STEVEN MADDEN, LTD. DE 5.02 09/07/07
STRATEGIC DIAGNOSTICS INC/DE/ DE 5.02,9.01 09/03/07
STRATEGIC HOTELS & RESORTS, INC 1.01,2.03,7.01,8.01,9.01 08/31/07
STRUCTURED PRODUCTS CORP CASTSM STEP DE 8.01,9.01 09/01/07
STRUCTURED PRODUCTS CORP CORTS TRUST DE 8.01,9.01 09/01/07
STRUCTURED PRODUCTS CORP TIERS R INFL DE 8.01,9.01 09/01/07
STRUCTURED PRODUCTS CORTS TRUST FOR J DE 8.01,9.01 09/01/07
SULPHCO INC NV 7.01,9.01 09/06/07
SUNRISE TELECOM INC 1.01 02/07/06 AMEND
SWS GROUP INC DE 7.01,9.01 09/07/07
Synovics Pharmaceuticals NV 1.01,9.01 08/31/07
SYNTHESIS ENERGY SYSTEMS INC DE 8.01,9.01 09/05/07
SYNTROLEUM CORP DE 8.01 08/31/07
TAL International Group, Inc. DE 8.01,9.01 09/05/07
TALLY HO VENTURES INC DE 1.01,8.01,9.01 09/04/07
TECHNEST HOLDINGS INC NV 1.01,1.02,3.02,9.01 08/31/07
TECUMSEH PRODUCTS CO MI 2.01,7.01,9.01 08/31/07
THEGLOBE COM INC DE 3.02,8.01,9.01 09/06/07
Titan Global Holdings, Inc. UT 7.01,9.01 09/05/07
True North Energy CORP 1.01,9.01 08/31/07
TURBOSONIC TECHNOLOGIES INC DE 5.02 06/27/07
U S PHYSICAL THERAPY INC /NV NV 1.01,2.01,3.02,5.02,7.01,9.01 09/06/07
UMPQUA HOLDINGS CORP OR 2.03,9.01 09/07/07
UNIFY CORP DE 2.02,9.01 09/06/07
UNITEDHEALTH GROUP INC MN 7.01 09/07/07
VALHI INC /DE/ DE 7.01,9.01 09/07/07
VALLEY FINANCIAL CORP /VA/ VA 5.02,5.03 09/07/07
VANGUARD HEALTH SYSTEMS INC DE 1.01,9.01 09/06/07
VeriChip CORP DE 1.01,9.01 08/31/07
VERMILLION, INC. DE 3.01,9.01 09/06/07
VICON INDUSTRIES INC /NY/ NY 5.02,9.01 09/07/07
VINEYARD NATIONAL BANCORP CA 2.02,9.01 09/07/07
VNUS MEDICAL TECHNOLOGIES INC 5.02,9.01 08/31/07
Vocalscape Networks, Inc. NV 3.02 08/29/07
WELLCARE HEALTH PLANS, INC. DE 1.01,9.01 09/03/07
Western Standard Energy Corp. NV 5.03,7.01,9.01 09/07/07
WESTMORELAND COAL CO DE 5.03,9.01 09/04/07
WHERIFY WIRELESS INC DE 1.01,3.02 08/31/07
Winning Edge International, Inc. DE 1.01,9.01 09/06/07
WORLD ACCEPTANCE CORP SC 1.01,2.03 08/31/07
WORLD FUEL SERVICES CORP FL 7.01,9.01 09/07/07
WORLDS COM INC NJ 1.01,3.02,4.01,5.02,8.01,9.01 09/04/07
WYETH DE 8.01,9.01 09/06/07
X-CHANGE CORP NV 1.01,3.02 08/30/07
XENOPORT INC DE 5.02,9.01 09/06/07
XPONENTIAL INC DE 8.01,9.01 08/29/07
ZHONGPIN INC. DE 1.01,2.02,7.01,9.01 09/06/07
http://www.sec.gov/news/digest/2007/dig091007.htm
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