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SEC NEWS DIGEST
Issue 2007-178 September 14, 2007
COMMISSION ANNOUNCEMENTS
CHANGE IN THE MEETING: ADDITIONAL ITEM
The following matter will also be considered during the 2:00 p.m.
closed meeting scheduled for Thursday, Sept. 20, 2007: A litigation
matter.
At times, changes in Commission priorities require alterations in the
scheduling of meeting items. For further information and to ascertain
what, if any, matters have been added, deleted or postponed, please
contact the Office of the Secretary at (202) 551-5400.
ENFORCEMENT PROCEEDINGS
IN THE MATTER OF FERRO CORPORATION AND ANTHONY J. MAIKUT
On September 13, the Commission issued an Order Instituting Cease-and-
Desist Proceedings Pursuant to Section 21C of the Securities Exchange
Act of 1934 (Exchange Act) Making Findings and Imposing a Cease-and-
Desist Order (Order) against Ferro Corporation and Anthony J. Maikut.
The Order finds that Ferro issued materially false and misleading
financial statements in its quarterly reports for the first, second
and third quarters of 2003, its annual report for 2003 and its
quarterly report for the first quarter of 2004. The Order finds Brian
E. Haylor, formerly a division controller for Ferro who reported
directly to Maikut, caused Ferro to issue the false financial
statements by making numerous false accounting entries and by omitting
to make required entries in Ferro's books and records. The Order also
finds that Maikut did not adequately review Haylor's accounting
entries and, in some instances, participated in decisions to account
improperly for certain expenses. The Order further finds that Ferro
made numerous unintentional errors in its books and records that
resulted in additional overstatement of its net income for 2003 and
the first quarter of 2004. In addition, the Order finds that Ferro's
internal controls were deficient, enabling Haylor to engage in his
fraudulent conduct and contributing to the accounting errors. Finally,
the Order finds that Ferro reported restated operating income for 2003
of $12.6 million, reduced from $24.2 million as originally reported,
and operating income of $14.0 million for the first quarter of 2004,
reduced from $19.3 million as originally reported.
Based on the above, Ferro and Maikut are ordered to cease and desist
from future violations of Sections 13(a), 13(b)(2)(A) and 13(b)(2)(B)
of the Exchange Act and Rules 12b-20, 13a-1 and 13a-13 thereunder.
Ferro and Maikut consented to the issuance of the Order without
admitting or denying any of the Findings therein. The Commission
acknowledges the assistance of the United States Attorney for the
Northern District of Ohio. (Rel. 34-56438; File No. 3-12798)
Additional information may be found in Litigation Release No. 20279
[Securities and Exchange Commission v. Brian E. Haylor), Civil Action
No. 07-cv-2757 (N.D. Ohio). (Rel. 34-56438; AAE Rel. 2717; File No. 3-
12798)
IN THE MATTER OF DAVID BYCK, WILLIAM COLE, CHARLES IRWIN, MICHAEL
PRICE, AND JAY SUMNER
On September 14, the Commission issued an Order Instituting
Administrative and Cease-and-Desist Proceedings, Making Findings, and
Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to
Section 8A of the Securities Act, Sections 15(b) and 21C of the
Securities Exchange Act, Section 203(f) of the Investment Advisers
Act, and Sections 9(b) and 9(f) of the Investment Company Act as to
David Byck, William Cole, Charles Irwin, Michael Price, and Jay Sumner
(Respondents). In 2002-2003, Respondents operated two registered
investment advisers, and entities that purported to be third-party
administrators. The order finds that Respondents enabled their hedge
fund clients to place mutual fund orders after 4:00 p.m. ET, but
receive the net asset valuation determined as of 4:00 p.m.
Specifically, the order finds that, between August 2002 and February
2003, Respondents conducted their late trading via their registered
investment advisers through a broker-dealer. The order further finds
that between March and April 2003, utilizing sham third-party
administrators, Respondents submitted orders on behalf of their hedge
funds clients to National Securities Clearing Corporation to purchase
and sell mutual funds as late as 3:00 a.m. ET, while obtaining the
prior day's 4:00 p.m. NAV. In so doing, the Commission finds that
Respondents willfully violated the antifraud provisions of the
securities laws, and willfully aided and abetted and caused violations
of Section 15(a) of the Exchange Act and Rule 22c-1 promulgated under
Section 22(c) of the Investment Company Act.
Based on the above, the Commission ordered Respondents to cease and
desist from committing or causing any violations and any future
violations of Section 17(a) of the Securities Act, Section 10(b) of
the Exchange Act and Rule 10b-5 thereunder, and from committing or
causing any violations and future violations of Section15(a) of the
Exchange Act and Rule 22c-1 promulgated under Section 22(c) of the
Investment Company Act, and bars them from association with any
broker, dealer, investment adviser or an investment company with a
right to reapply after five years. The Commission also ordered
Respondents to pay the following in disgorgement and prejudgment
interest: Byck, $121,576.34 in disgorgement plus $21,754.16 in
prejudgment interest for a total of $143,330.50; Cole and Sumner each,
$31,649.50 in disgorgement plus $5,613.86 in prejudgment interest for
a total of $37,263.36; and Irwin and Price each, $51,637.97 in
disgorgement plus $9,200.71 in prejudgment interest for a total of
$60,838.68, but that $22,838.68 is waived based on their sworn
representations in their statements of financial condition. Byck,
Cole, Irwin, Price, and Sumner consented to the issuance of the Order
without admitting or denying any of the findings. (Rels. 33-8841; 34-
56440; IA-2647; IC-27969; File No. 3-12799)
COMMISSION ORDERS HEARINGS ON REGISTRATION SUSPENSION OR REVOCATION
AGAINST SIX COMPANIES FOR FAILURE TO MAKE REQUIRED PERIODIC FILINGS
On September 14, the Commission instituted public administrative
proceedings to determine whether to revoke or suspend for a period not
exceeding twelve months the registration of each class of the
securities of six companies for failure to make required periodic
filings with the Commission:
* Austrian Trading Services, Inc.
* Fix-Corp International, Inc.
* FN Estate, Inc.
* Gourmet's Choice Coffee Co., Inc. (GMCH)
* Harter Financial, Inc.
* Perennial Health Systems, Inc.
In this Order, the Division of Enforcement (Division) alleges that the
six issuers are delinquent in their required periodic filings with the
Commission.
In this proceeding, instituted pursuant to Exchange Act Section 12(j),
a hearing will be scheduled before an Administrative Law Judge. At the
hearing, the judge will hear evidence from the Division and the
respondents to determine whether the allegations of the Division
contained in the Order, which the Division alleges constitute failures
to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13
thereunder, are true. The judge in the proceeding will then determine
whether the registrations pursuant to Exchange Act Section 12 of the
securities of these respondents should be revoked, or in the
alternative, suspended for a period not exceeding twelve months. The
Commission ordered that the Administrative Law Judge in this
proceeding issue an initial decision not later than 120 days from the
date of service of the order instituting proceedings. (Rel. 34-56441;
File No. 3-12800)
SEC FILES SETTLED ACCOUNTING FRAUD ACTION AGAINST BRIAN E. HAYLOR
On September 12, the Commission filed a complaint in the U.S. District
Court for the Northern District of Ohio charging Brian E. Haylor of
Avon, Ohio, a former division controller for Ferro Corporation, with
violations of the antifraud provisions of the Securities Exchange Act
of 1934 (Exchange Act) and with aiding and abetting Ferro's violations
of the reporting, books and records and internal control provisions of
the Exchange Act.
The complaint alleges that, from at least March 2003 until his
resignation from Ferro in June 2004, Haylor intentionally recorded
false entries and failed to record entries he was required to make in
Ferro's accounting records. Haylor's fraudulent conduct involved
several accounts, including temporary accounts receivable, inventory,
consignments and unrecorded liabilities, and caused Ferro to overstate
its operating income by $5 million for 2003 and by $700,000 for the
first quarter of 2004. On March 31, 2006, Ferro restated its financial
results. Its restatement, which included errors unrelated to Haylor's
conduct, reduced Ferro's operating from $24.2 million to $12.6 million
for 2003, and from $19.3 million to $14.0 million for the first
quarter of 2004.
Without admitting or denying the allegations in the Commission's
complaint, Haylor consented to the entry of a final judgment, subject
to court approval, permanently enjoining him from future violations of
Sections 10(b), 13(b)(2)(A), 13(b)(2)(B) and 13(b)(5) of the Exchange
Act and Rules 10b-5, 12b-20, 13a-1, 13a-13 and 13b2-1 thereunder.
Haylor previously pled guilty to one count of securities fraud in a
related criminal action on December 15, 2005. The United States
District Court for the Northern District of Ohio sentenced Haylor to
four months imprisonment, eight months of home confinement and two
years of supervised release. [SEC v. Brian E. Haylor, No. 07-cv-2757
(N.D. Ohio)] (LR-20279)
EMERGENCY RELIEF OBTAINED AGAINST TERAX ENERGY, INC., WESTAR OIL,
INC., AND MARK ROY ANDERSON
On September 12, U.S. District Judge Barbara M. G. Lynn, of the
Northern District of Texas, issued a temporary restraining order and
asset freeze against Terax Energy Inc., Westar Oil, Inc., and Mark Roy
Anderson in an emergency civil action filed by the Commission. The
Commission's complaint alleges that Anderson, 53, of Los Angeles,
California, is orchestrating an ongoing fraudulent scheme involving
Terax Energy, Inc, a Dallas, Texas based oil and gas company that
trades on the OTC BB, and that he conducted a fraudulent $1 million
private placement of the common stock of Westar. Additionally, the
Commission ordered a ten-day suspension in trading in securities of
Terax, beginning at 9:30 a.m. EDT, Sept. 12, 2007.
The Commission's complaint alleges that Terax, a publicly held Nevada
corporation (trading symbol TEXG.OB), Westar, a privately held Nevada
corporation and Anderson violated the antifraud provisions of the
federal securities laws, and also that Terax, Anderson and Linda
Contreras, Anderson's office assistant, violated the registration
provisions of the Securities Act of 1933. According to the complaint,
Anderson obtained undisclosed control of Terax in April 2007. Terax
then issued several false and misleading press releases regarding the
company's oil and gas operations and other matters, after which the
company's stock price increased from approximately $0.30 to as much as
$4.88 per share. The complaint also alleges that in Westar's private
placement, Anderson made false claims regarding the company's oil and
gas operations and plans to exchange Westar stock for Terax stock. The
complaint seeks permanent injunctive relief and civil money penalties
from Terax, Westar, Anderson and Contreras, and disgorgement from
Terax, Westar, Anderson and also two relief defendants controlled by
Anderson. [SEC v. Terax Energy, Inc., et al, Civil Action No. 3:07-CV-
1554-M, USDC, ND TX (Dallas Division)] (LR-20280)
COMMISSION SETTLES FINANCIAL FRAUD ACTION AGAINST BARRY BUDILOV AND
RAYMOND GREEN
The Commission announced that on September 13 Judge Robert F. Kelly of
the United States District Court for the Eastern District of
Pennsylvania entered Final Judgments against Barry M. Budilov
(Budilov) and Raymond J. Green (Green), enjoining each defendant from
future violations of Section 17 of the Securities Act of 1933,
Sections 10(b) and 13(b)(5) of the Securities Exchange Act of 1934
(Exchange Act), and Rules 10b-5, 13b2-1 and 13b2-2, thereunder, and
from aiding and abetting violations of Sections 13(a), 13(b)(2)(A) and
13(b)(2)(B) of the Exchange Act and Rules 12b-20, 13a-1 and 13a-13,
thereunder; and barring each defendant from serving as an officer or
director of any reporting company pursuant to Section 21(d)(2) of the
Exchange Act. Budilov and Green each consented to the Court's entry of
Final Judgment, without admitting or denying the allegations of the
Commission's complaint.
Budilov is the former president, director, and chief executive officer
of Ambassador Eyewear Group, Inc. (Ambassador), a now defunct eyeglass
frame distributor that was located in Philadelphia, Pennsylvania, and
whose stock was traded on the Chicago Stock Exchange. Green is
Ambassador's former treasurer and principal financial accounting
officer. The Commission's complaint, filed in September 2002, alleged,
among other things, that, from at least 1997 through at least December
1998, Budilov and Green engaged in a fraudulent scheme to artificially
inflate Ambassador's assets, income, and retained earnings. The
complaint alleged that, as a result of the scheme, Ambassador falsely
claimed, in its filings with the Commission and in press releases,
that it was profitable when, in fact, the company had incurred
substantial losses. In addition, Ambassador overstated its assets by
as much as 35 percent. The Commission's complaint alleged that, as
part of the scheme, Budilov and Green falsified Ambassador's books and
records related to income, expense, accounts receivable, retained
earnings, and inventory, and lied to Ambassador's auditors. The
complaint further alleged that, after others began suspecting the
fraud, Budilov attempted to conceal their involvement by destroying
evidence, causing others to destroy evidence, and persuading others to
accept responsibility for the fraud.
In connection with largely the same conduct as that described in the
Commission's complaint, Budilov and Green were indicted and the
Commission's civil enforcement action was stayed pending the
disposition of those proceedings. On Nov. 26, 2004, Green pleaded
guilty to two counts of the superseding indictment and on Jan. 30,
2006, he was sentenced to 5 years of probation, including 8 months of
home custody, and ordered to pay restitution of $17,447,437. On July
12, 2005, Budilov pleaded guilty to four counts of the superseding
indictment, and on Jan. 13, 2006, he was sentenced to a term of 27
months of imprisonment, 5 years of probation, and ordered to pay
restitution of $17,447,437. The restitution order against Budilov and
Greene was reduced to a judgment, owed jointly and severally by both
of them. As a result of these sanctions entered in the criminal
proceeding, the Commission accepted settlements from each defendant
without imposing addition monetary sanctions.
For further information, please see Litigation Release No. 17752
(Sept. 26, 2002). [SEC v. Barry M. Budilov and Raymond J. Green, Civil
Action No. 02-7479 (E.D. Pa.)] (LR-20281)
SEC OBTAINS INJUNCTIONS IN OFFERING FRAUD ACTION AGAINST DAVID S.
GROSKY AND PARTNERS HOLDING, LLC
On August 23, the U.S. District Court for the Northern District of
Illinois, entered judgments against David S. Grosky, the former CEO of
Efoora, Inc. and a resident of Highland Park, and Partners Holding,
LLC, a company controlled by Grosky, enjoining them from future
violations of the antifraud provisions of the Securities Act of 1933
and the Securities Exchange Act of 1934, the securities registration
provisions of the Securities Act, and the broker-dealer registration
provisions of the Exchange Act. The Court had previously entered
preliminarily injunctions against Grosky and Partners Holding.
The Commission's complaint alleged that, from at least January 2000
through at least April 2006, Efoora raised approximately $40 million
by selling over 100 million shares of its stock to about 5,000
investors. Efoora did not register its offering with the Commission as
required by the federal securities laws. Efoora, through a network of
"finders" that included Partners Holding, also solicited investors by
making a series of false or misleading statements about Efoora's
business, including, among other things, the amount of offering
proceeds it paid to its finders and that it would be receiving FDA
approval for its HIV Rapid Test and conducting an IPO by certain
dates. Partners Holding was not registered as a broker or dealer at
the time its salespersons sold shares of Efoora stock. Grosky drafted
or approved Efoora's false and misleading offering materials and
controlled Partners Holding. Grosky and Defendant Melvin S. Dokich
also improperly sold Efoora stock issued in their names directly to
the general public.
The judgments enjoin Grosky and Partners Holding from future
violations of Sections 5 and 17(a) of the Securities Act and Sections
10(b) and 15(a) of the Exchange Act and Rule 10b-5 thereunder. The
judgments also bar both defendants from participating in an offering
of penny stock. Finally, the judgments provide that, upon motion of
the Commission, the Court shall determine if it should order the
defendants to disgorge any ill-gotten gains or to pay a civil penalty.
Grosky and Partners Holding consented to the entry of the judgments
without admitting or denying the allegations in the Commission's
complaint.
On August 27, in a related criminal action, also in the U.S. District
Court for the Northern District of Illinois, Grosky and Dokich pled
guilty to criminal charges related to their roles with Efoora. Grosky
and Dokich pled guilty to one count of mail fraud in connection with
the fraudulent sale of Efoora stock to investors. Grosky also pled
guilty to one count of wire fraud in connection with commissions paid
to finders, and Dokich pled guilty to 33 counts of structuring bank
transactions to avoid the currency transactions reporting
requirements. Both defendants are scheduled to be sentenced on
December 7.
The Commission acknowledges the assistance of the U.S. Attorney for
the Northern District of Illinois, the Federal Bureau of Investigation
and the United States Postal Inspection Service. [SEC v. Efoora, Inc.,
et al., Civil Action No. 06-CV-3526, USDC, ND ILL; U.S. v. Grosky, et
al., U.S. District Court for the Northern District of Illinois, No.
06-CR-0359] (LR-20282)
INVESTMENT COMPANY ACT RELEASES
HERCULES TECHNOLOGY GROWTH CAPITAL, INC.
A notice has been issued giving interested persons until Oct. 9, 2007,
to request a hearing on an application filed by Hercules Technology
Growth Capital, Inc. for an order under Section 61(a)(3)(B) of the
Investment Company Act approving applicant's proposal to issue stock
options to non-employee directors under applicant's amended and
restated 2006 non-employee director plan. The requested order would
supersede a prior order issued to applicant under Section 61(a)(3)(B)
of the Act. (Rel. IC-27968 - September 12)
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A proposed rule change filed by the American Stock Exchange (SR-Amex-
2007-80) relating to member floor fees 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 17. (Rel. 34-56382)
A proposed rule change filed by The NASDAQ Stock Market regarding fees
for the VTE terminal (SR-NASDAQ-2007-075) 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 17. (Rel. 34-56390)
PROPOSED RULE CHANGE
The International Securities Exchange filed a proposed rule change and
Amendment No 1 thereto relating to specific performance commitments
for Primary Market Makers (SR-ISE-2007-61). Publication is expected in
the Federal Register during the week of September 17. (Rel. 34-56383)
APPROVAL OF PROPOSED RULE CHANGE
The Commission granted approval of a proposed rule change (SR-NYSE-
2007-42), as modified by Amendment No. 1 thereto, filed by the New
York Stock Exchange relating to Rule 103B (Specialist Stock
Allocation). Publication is expected in the Federal Register during
the week of September 17. (Rel. 34-56392)
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 MGN TECHNOLOGIES, INC., #12 - 1730 BROADWAY STREET, PORT COQUITLAM, A1,
V3C 2M8, 604-945-2405 - 10,000,000 ($276,000.00) Equity,
(File 333-146022 - Sep. 13) (BR. 03C)
SB-2 CHINA EDUCATION ALLIANCE INC., 80 HENG SHAN RD., KUN LUN SHOPPING MALL,
HARBIN, F4, 150090, 86451-82335794 - 17,389,500 ($5,605,163.00) Equity,
(File 333-146023 - Sep. 13) (BR. 11B)
SB-2 Anvil Forest Products Inc., 284C CAMPION STREET, KELOWNA, A1, V1X 7S8,
(604)818-2617 - 1,380,000 ($138,000.00) Equity, (File 333-146024 -
Sep. 13) (BR. 06)
S-8 POWER INTEGRATIONS INC, 5245 HELLYER AVE, SAN JOSE, CA, 95138,
4084149200 - 2,030,861 ($53,919,359.55) Equity, (File 333-146025 -
Sep. 13) (BR. 10C)
S-8 APPLE INC, 1 INFINITE LOOP, CUPERTINO, CA, 95014, 4089961010 -
0 ($4,624,000,000.00) Equity, (File 333-146026 - Sep. 13) (BR. 03C)
S-4 RF MICRO DEVICES INC, 7628 THORNDIKE ROAD, GREENSBORO, NC, 27409-9421,
3369317042 - 0 ($604,599,594.00) Equity, (File 333-146027 - Sep. 13)
(BR. 10C)
S-8 CONTINUCARE CORP, 7200 CORPORATE CENTER DRIVE, SUITE 600, MIAMI, FL,
33126, 3055002000 - 0 ($4,920,000.00) Equity, (File 333-146028 -
Sep. 13) (BR. 01A)
S-8 COCA COLA ENTERPRISES INC, 2500 WINDY RIDGE PKWY, ATLANTA, GA, 30339,
7709893000 - 28,000,000 ($670,004,000.00) Equity, (File 333-146029 -
Sep. 13) (BR. 02A)
S-3 SPORT SUPPLY GROUP, INC., 1901 DIPLOMAT DRIVE, DALLAS, TX, 75234,
9724849484 - 0 ($17,732,700.00) Equity, (File 333-146031 - Sep. 13)
(BR. 02B)
SB-2 AirtimeDSL, 2920 N. GREEN VALLEY PKWY., BLDG. 3, HENDERSON, NV, 89014,
702-898-7158 - 9,625,000 ($192,500.00) Equity, (File 333-146032 -
Sep. 13) (BR. 11)
S-8 ST. BERNARD SOFTWARE, INC., 15015 AVENUE OF SCIENCE, SAN DIEGO, CA,
92128, 858-676-2277 - 0 ($867,500.00) Equity, (File 333-146033 -
Sep. 13) (BR. 03C)
S-8 SMOKY MARKET FOODS INC, 804 ESTATES DR. #100, APTOS, CA, 95003,
866-851-7787 - 6,500,000 ($3,770,000.00) Equity, (File 333-146034 -
Sep. 13) (BR. 05C)
S-8 NORDSTROM INC, 1700 SEVENTH AVENUE, SUITE 1300, SEATTLE, WA,
98101-4407, 2066282111 - 2,400,000 ($111,924,000.00) Equity,
(File 333-146049 - Sep. 13) (BR. 02C)
F-6 Lottomatica S.p.A., VIA DEL CAMPO BOARIO 56/D, 4TH FLOOR, ROME, L6,
00153, 39-06-5189-9537 - 50,000,000 ($2,500,000.00) ADRs/ADSs,
(File 333-146050 - Sep. 13) (BR. )
S-8 BOTTOMLINE TECHNOLOGIES INC /DE/, 325 CORPORATE DRIVE, PORTSMOUTH, NH,
03801, 6034360700 - 1,019,240 ($12,985,118.00) Equity,
(File 333-146051 - Sep. 13) (BR. 03A)
SB-2 MIPSolutions, Inc., 1117 DESERT LANE, SUITE 1592, LAS VEGAS, NV, 89102,
5087520053 - 3,417,350 ($3,995,725.00) Equity, (File 333-146052 -
Sep. 13) (BR. 02)
S-1 Pogo Jet, Inc., 255 PADGETTE STREET, SUITE 4, CHICOPEE, MA, 01022,
(413) 593-1102 - 0 ($103,500,000.00) Equity, (File 333-146054 -
Sep. 13) (BR. 05)
F-10 MAGNA INTERNATIONAL INC, 337 MAGNA DRIVE, N/A, AURORA, ONTARIO, CAN,
A6, L4G 7K1, 9057262462 - 20,000,000 ($1,730,100,000.00) Equity,
(File 333-146055 - Sep. 13) (BR. 05C)
F-9 CANADIAN NATURAL RESOURCES LTD, 2500, 855-2 STREET SW,
CALGARY ALBERTA CANADA, A0, T2P 4J8, 403-517-6700 -
3,000,000,000 ($3,000,000,000.00) Debt, (File 333-146056 - Sep. 13)
(BR. 04A)
S-8 REAL LOGIC INC, 340 ROYAL POINCIANA WAY, SUITE 326B, PALM BEACH, FL,
33480, 5616553200 - 500,000 ($500,000.00) Equity, (File 333-146057 -
Sep. 13) (BR. 09B)
S-3 PROGRESSIVE GAMING INTERNATIONAL CORP, 920 PILOT ROAD, LAS VEGAS, NV,
89119, 7028963890 - 0 ($39,366,805.07) Equity, (File 333-146058 -
Sep. 13) (BR. 06B)
S-1 EXCO Partners, LP, 12377 MERIT DRIVE, SUITE 1700, DALLAS, TX, 75251,
214-368-2084 - 0 ($1,725,000,000.00) Equity, (File 333-146059 -
Sep. 13) (BR. )
SB-2 Atlas Technology Group, Inc., 2001 152ND AVENUE NE, REDMOND, WA, 98052,
415-674-5555 - 4,423,660 ($353,828.00) Equity, (File 333-146060 -
Sep. 13) (BR. 03C)
RECENT 8K FILINGS
Form 8-K is used by companies to file current reports on the following
events:
1.01 Entry into a Material Definitive Agreement
1.02 Termination of a Material Definitive Agreement
1.03 Bankruptcy or Receivership
2.01 Completion of Acquisition or Disposition of Assets
2.02 Results of Operations and Financial Condition
2.03 Creation of a Direct Financial Obligation or an Obligation under an
Off-Balance Sheet Arrangement of a Registrant
2.04 Triggering Events That Accelerate or Increase a Direct Financial Obligation
under an Off-Balance Sheet Arrangement
2.05 Cost Associated with Exit or Disposal Activities
2.06 Material Impairments
3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or
Standard; Transfer of Listing
3.02 Unregistered Sales of Equity Securities
3.03 Material Modifications to Rights of Security Holders
4.01 Changes in Registrant's Certifying Accountant
4.02 Non-Reliance on Previously Issued Financial Statements or a Related Audit
Report or Completed Interim Review
5.01 Changes in Control of Registrant
5.02 Departure of Directors or Principal Officers; Election of Directors;
Appointment of Principal Officers
5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
5.04 Temporary Suspension of Trading Under Registrant's Employee Benefit Plans
5.05 Amendments to the Registrant's Code of Ethics, or Waiver of a
Provision of the Code of Ethics
6.01. ABS Informational and Computational Material.
6.02. Change of Servicer or Trustee.
6.03. Change in Credit Enhancement or Other External Support.
6.04. Failure to Make a Required Distribution.
6.05. Securities Act Updating Disclosure.
7.01 Regulation FD Disclosure
8.01 Other Events
9.01 Financial Statements and Exhibits
8-K reports may be obtained in person or by writing to the
Commission's Public Reference Branch at 100 F Street, N.E.,
Washington, D.C. 20549-1090 or at the following e-mail box address:
publicinfo@sec.gov. In most cases, this information is also available
on the Commission's website: www.sec.gov.
STATE
NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT
-------------------------------------------------------------------------------------------------------
1st Pacific Bancorp CA 9.01 06/28/07 AMEND
ADEPT TECHNOLOGY INC CA 2.02,9.01 09/13/07
ADEPT TECHNOLOGY INC CA 5.02,9.01 08/27/07
ADOLOR CORP 8.01,9.01 09/13/07
AFS SenSub Corp. 1.01,9.01 09/11/07
AGILYSYS INC OH 1.01,2.03,9.01 09/11/07
ALASKA AIR GROUP INC DE 7.01,8.01,9.01 09/13/07
ALLIANCEBERNSTEIN HOLDING L.P. DE 7.01,9.01 09/13/07
ALLIANCEBERNSTEIN L.P. DE 7.01,9.01 09/13/07
ALLIANT TECHSYSTEMS INC DE 5.02,9.01 09/06/07 AMEND
AMC ENTERTAINMENT INC DE 7.01,9.01 09/12/07
AMERICA FIRST APARTMENT INVESTORS INC MD 8.01,9.01 09/12/07
American Community Newspapers Inc. DE 8.01,9.01 09/13/07
AMERICAN PHYSICIANS SERVICE GROUP INC TX 8.01 09/13/07
AMPEX CORP /DE/ DE 1.01,2.04,9.01 09/12/07
ANALOG DEVICES INC MA 1.01,9.01 09/09/07
ANIXTER INTERNATIONAL INC DE 5.02,9.01 09/11/07
APPLIED DNA SCIENCES INC NV 1.02 09/07/07
Argyle Security Acquisition CORP 5.02,9.01 09/07/07
ARI NETWORK SERVICES INC /WI WI 5.02,9.01 09/10/07
ARROWHEAD RESEARCH CORP DE 1.02 09/10/07
AUTHENTIDATE HOLDING CORP DE 2.02,9.01 09/13/07
AUTOIMMUNE INC DE 1.01 08/31/07
AUXILIUM PHARMACEUTICALS INC 5.02 09/13/07
BAKBONE SOFTWARE INC 5.02,9.01 09/13/07
Bear Stearns ARM Trust 2007-2 DE 9.01 08/16/07
BION ENVIRONMENTAL TECHNOLOGIES INC CO 5.02,7.01,8.01,9.01 09/10/07
BIOPHAN TECHNOLOGIES INC NV 1.01,5.02,9.01 09/10/07
BIOPHAN TECHNOLOGIES INC NV 4.01,9.01 09/10/07
BIRNER DENTAL MANAGEMENT SERVICES INC CO 8.01,9.01 09/13/07
Black Tusk Minerals Inc. NV 1.01,3.02 09/13/07
BOISE CASCADE HOLDINGS, L.L.C. DE 1.01,8.01,9.01 09/07/07
BREEZE-EASTERN CORP DE 8.01,9.01 09/12/07
BreitBurn Energy Partners L.P. DE 7.01,9.01 09/12/07
BSD MEDICAL CORP DE 7.01,9.01 09/13/07
BSML INC UT 5.02 09/08/07
CANO PETROLEUM, INC 2.02,7.01,9.01 09/12/07
CAPTARIS INC WA 8.01 09/12/07
CARAUSTAR INDUSTRIES INC NC 1.01 09/07/07
CASEYS GENERAL STORES INC IA 7.01 09/13/07
CELADON GROUP INC DE 5.02 09/07/07
CERIDIAN CORP /DE/ DE 5.02,8.01,9.01 09/12/07
CH2M HILL COMPANIES LTD OR 1.01,2.01,2.03,8.01,9.01 09/07/07
CHEESECAKE FACTORY INC DE 8.01,9.01 09/12/07
CHUGACH ELECTRIC ASSOCIATION INC AK 5.02 09/11/07
CIPRICO INC DE 5.02,9.01 09/10/07
Compass Diversified Holdings DE 5.03,9.01 09/13/07
CONVERGYS CORP OH 8.01 09/07/07
COUNTRYWIDE FINANCIAL CORP DE 2.02,9.01 09/13/07
COUNTRYWIDE FINANCIAL CORP DE 2.05,9.01 09/07/07
CREDIT ACCEPTANCE CORPORATION MI 1.01,9.01 09/11/07
CYBERONICS INC DE 5.02 09/10/07
DATASCOPE CORP DE 2.02,9.01 09/12/07
DELPHAX TECHNOLOGIES INC MN 1.01,2.03,3.02,9.01 09/10/07
DELTA WOODSIDE INDUSTRIES INC /SC/ SC 2.01,9.01 08/29/07
Digital Realty Trust, Inc. MD 7.01,9.01 09/13/07
DJO INC DE 8.01,9.01 09/13/07
DOLLAR FINANCIAL CORP DE 2.02,9.01 06/30/07
DREW INDUSTRIES INC DE 8.01,9.01 09/13/07
DRI CORP NC 7.01,9.01 09/13/07
DUPONT E I DE NEMOURS & CO DE 7.01 09/12/07
EESTech, Inc. 1.01,9.01 09/05/07
EGAIN COMMUNICATIONS CORP DE 2.02,9.01 09/13/07
ETERNAL TECHNOLOGIES GROUP INC DE 2.01 09/12/07
Ethos Environmental, Inc. NV 4.01,9.01 08/23/07 AMEND
EXCO RESOURCES INC TX 8.01 09/13/07
EXPRESSJET HOLDINGS INC DE 5.02,8.01,9.01 09/13/07
F5 NETWORKS INC WA 2.01,9.01 09/12/07
FAIRPOINT COMMUNICATIONS INC DE 7.01,8.01,9.01 09/13/07
FAR EAST ENERGY CORP 1.02,5.02 09/08/07
Federal Home Loan Bank of Atlanta X1 2.03 09/11/07
Federal Home Loan Bank of Boston X1 2.03 09/10/07
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 09/11/07
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 09/11/07
Federal Home Loan Bank of Des Moines X1 2.03,9.01 09/11/07
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 09/10/07
Federal Home Loan Bank of New York X1 2.03,9.01 09/11/07
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 09/10/07
Federal Home Loan Bank of Pittsburgh PA 7.01,9.01 09/13/07
Federal Home Loan Bank of San Francis X1 2.03 09/11/07
Federal Home Loan Bank of Topeka 2.03 09/10/07
FIRST ACCEPTANCE CORP /DE/ DE 2.02,7.01,9.01 09/13/07
FIRST CASH FINANCIAL SERVICES INC DE 1.01 09/07/07
FIRST COMMUNITY BANCSHARES INC /NV/ NV 7.01,9.01 09/13/07
FIRST CONSULTING GROUP INC DE 7.01,9.01 09/12/07
FIRST UNITED ETHANOL LLC GA 1.01 07/09/07
FLEETWOOD ENTERPRISES INC/DE/ DE 2.02,9.01 09/06/07
FLORIDA POWER CORP FL 8.01,9.01 09/13/07
Fluid Media Networks, Inc. 8.01 09/12/07
GEOGLOBAL RESOURCES INC. DE 1.01,9.01 09/09/07
GERBER SCIENTIFIC INC CT 2.02,9.01 09/12/07 AMEND
GLOBAL CROSSING LTD 2.02,7.01,9.01 09/13/07
GPS INDUSTRIES, INC. NV 1.01 09/07/07
Grande Communications Holdings, Inc. DE 7.01,9.01 09/13/07
GREAT PLAINS ENERGY INC MO 1.01,8.01 09/12/07
GULF ISLAND FABRICATION INC LA 1.01,7.01,9.01 09/11/07
GULF WESTERN PETROLEUM CORP NV 1.01,2.03,3.02,3.03,9.01 09/10/07
HAPC, Inc. DE 1.01,9.01 09/12/07
HAYES LEMMERZ INTERNATIONAL INC DE 4.02 09/12/07
HEMISPHERX BIOPHARMA INC DE 5.02 09/10/07
HEWITT ASSOCIATES INC DE 8.01,9.01 09/13/07
HIRERIGHT INC 2.02,9.01 09/13/07
HUB GROUP INC DE 8.01,9.01 09/12/07
I FLOW CORP /DE/ DE 1.01,7.01,9.01 09/12/07
IHS Inc. DE 1.01,9.01 09/07/07
IMAGING DIAGNOSTIC SYSTEMS INC /FL/ FL 1.01,2.01,2.03,3.02,9.01 09/13/07
IMMUNOMEDICS INC DE 2.02 09/13/07
Information Services Group Inc. DE 8.01,9.01 09/13/07
INN OF THE MOUNTAIN GODS RESORTS & CA 2.02,9.01 09/13/07
INTEGRA BANK CORP IN 1.01,8.01,9.01 09/12/07
Integrated Healthcare Holdings Inc NV 5.02,9.01 09/12/07
INTEGRATED SILICON SOLUTION INC DE 5.03,9.01 09/13/07
INTELLIGENTIAS, INC. 1.01,2.01,9.01 06/07/07 AMEND
INTERNATIONAL BUSINESS MACHINES CORP NY 9.01 09/11/07
INTERSTATE BAKERIES CORP/DE/ DE 2.05,9.01 09/12/07
INTERSTATE BAKERIES CORP/DE/ DE 7.01,9.01 09/12/07
INTERSTATE BAKERIES CORP/DE/ DE 7.01,9.01 09/13/07
INVERTED PARADIGMS CORP DE 1.01,5.02,9.01 09/13/07
ISIS PHARMACEUTICALS INC DE 1.01,9.01 09/13/07
ITONIS INC. NV 1.01,9.01 09/08/07
IVANY MINING INC DE 1.01,9.01 09/11/07
J P MORGAN CHASE & CO DE 9.01 09/12/07
KEY TECHNOLOGY INC OR 2.02,9.01 09/13/07
KMG America CORP VA 1.01,5.02,9.01 09/07/07
LATTICE SEMICONDUCTOR CORP DE 7.01,9.01 09/13/07
Liberty Global, Inc. 7.01 09/13/07
LIFE PARTNERS HOLDINGS INC TX 2.02 09/12/07
LITTLE SQUAW GOLD MINING CO AK 8.01,9.01 09/11/07
Live Nation, Inc. DE 1.01,1.02,3.02,5.02,9.01 09/12/07
LOOKSMART LTD DE 1.01,9.01 09/07/07
MAINE & MARITIMES CORP ME 5.02,9.01 09/13/07
MAN SANG HOLDINGS INC NV 8.01 09/13/07
Marquee Holdings Inc. DE 7.01,9.01 09/12/07
MCDONALDS CORP DE 7.01,9.01 09/12/07
MedAire, Inc. NV 8.01 09/13/07
MEDICAL STAFFING NETWORK HOLDINGS INC DE 8.01,9.01 09/13/07
MERCANTILE BANK CORP MI 5.02,7.01,9.01 09/13/07
MERRILL LYNCH & CO INC DE 8.01,9.01 09/07/07
MESA AIR GROUP INC NV 1.01,9.01 09/11/07
METALICO INC 2.01,9.01 07/03/07 AMEND
MGM MIRAGE DE 1.01,9.01 09/10/07
MGM MIRAGE DE 5.02 08/21/07 AMEND
MIDWEST AIR GROUP INC WI 8.01,9.01 09/13/07
MILLIPORE CORP /MA MA 5.02,8.01,9.01 09/10/07
MINERALS TECHNOLOGIES INC DE 5.04 08/07/07
MOLDFLOW CORP 2.02,5.02,9.01 09/11/07
MONEYGRAM INTERNATIONAL INC 8.01 09/12/07
MOODYS CORP /DE/ DE 1.01,2.03,9.01 09/07/07
MOOG INC NY 8.01,9.01 09/12/07
MRU HOLDINGS INC DE 7.01,9.01 09/12/07
NANOSENSORS INC 1.01,1.02,3.02,5.02,7.01,8.01, 09/09/07
9.01
NATIONAL FUEL GAS CO NJ 7.01,9.01 09/12/07
NATIONAL HEALTH INVESTORS INC MD 8.01 09/13/07
NATROL INC DE 7.01,9.01 09/13/07
NEW FRONTIER MEDIA INC CO 5.02 09/10/07
NextMart Inc. DE 1.01 08/07/07
NNN 2003 VALUE FUND LLC 1.01,2.04,9.01 09/07/07
Oncologix Tech Inc. NV 8.01,9.01 09/10/07
OPEN TEXT CORP A6 5.02,9.01 09/10/07
PARK CITY GROUP INC DE 5.02,9.01 09/12/07
Park Place Energy Corp. NV 8.01 09/12/07
PATH 1 NETWORK TECHNOLOGIES INC DE 1.01,8.01,9.01 09/13/07
PDL BIOPHARMA, INC. DE 5.02 09/12/07
PENINSULA GAMING CORP. DE 5.02 09/07/07
PERINI CORP MA 5.02 09/12/07
PERRIGO CO MI 5.02,9.01 09/13/07
PETROHAWK ENERGY CORP DE 5.02 09/10/07
PHHMC Series 2007-5 Trust DE 9.01 08/29/07
POSSIS MEDICAL INC MN 7.01,9.01 09/12/07
POSSIS MEDICAL INC MN 7.01,9.01 09/13/07
POTLATCH CORP DE 1.01,9.01 09/11/07
POWER EFFICIENCY CORP DE 1.01,9.01 09/06/07
POWER-SAVE ENERGY CO UT 5.02 09/13/07
PPT VISION INC MN 3.02,9.01 08/30/07 AMEND
PREMIERWEST BANCORP OR 8.01,9.01 09/12/07
PRO DEX INC CO 2.02,9.01 09/13/07
QUIPP INC FL 5.02,9.01 09/10/07
R F INDUSTRIES LTD NV 5.02 09/07/07
RADIAL ENERGY, INC. 1.01,9.01 09/13/07
RADISYS CORP OR 2.01,5.02,9.01 09/11/07
RAINMAKER SYSTEMS INC CA 8.01 09/10/07
RAM Holdings Ltd. D0 8.01,9.01 09/13/07
REDDY ICE HOLDINGS INC DE 8.01,9.01 09/12/07
Redpoint Bio CORP 5.02,9.01 09/12/07
RESOLVE STAFFING INC NV 4.02 12/17/06 AMEND
RETAIL VENTURES INC OH 2.02,9.01 09/13/07
Rosetta Resources Inc. DE 7.01,9.01 09/13/07
RUBBER RESEARCH ELASTOMERICS INC MN 1.01,3.02,3.03,5.03,9.01 09/05/07
RUSH ENTERPRISES INC \TX\ TX 5.02 09/07/07
SAGEMARK COMPANIES LTD NY 1.02,9.01 09/11/07
SANFILIPPO JOHN B & SON INC DE 5.02,5.03,9.01 09/07/07
SANTARUS INC DE 8.01,9.01 09/13/07
SEA CONTAINERS LTD /NY/ 8.01,9.01 09/07/07
SENTO CORP UT 3.01,7.01,8.01,9.01 09/06/07
Sequoia Mortgage Trust 2007-4 1.01,9.01 08/30/07
Shire plc 8.01,9.01 09/12/07
SHUFFLE MASTER INC MN 8.01,9.01 09/10/07
SHUFFLE MASTER INC MN 2.02,9.01 09/10/07
SIMULATIONS PLUS INC 8.01,9.01 09/13/07
SMARTIRE SYSTEMS INC 8.01 09/12/07
Solar Power, Inc. NV 2.01,9.01 12/29/06 AMEND
SOYO GROUP INC NV 8.01 09/13/07 AMEND
SPARTAN STORES INC MI 8.01,9.01 09/13/07
Spectra Energy Capital, LLC DE 2.03,9.01 09/11/07
STAGE STORES INC NV 5.02,8.01,9.01 09/13/07
Stamford Industrial Group, Inc. DE 8.01,9.01 09/12/07
STELLAR PHARMACEUTICALS INC 1.01,9.01 09/11/07
STRATS (SM) TRUST FOR JPMORGAN CHASE 8.01,9.01 09/04/07
STRATS SM TRUST FOR IBM CORP SEC SERI 8.01,9.01 08/29/07
Strats(SM) Trust for JPMorgan Chase C 8.01,9.01 09/04/07
STRATS(SM) Trust For Morgan Stanley S 8.01,9.01 09/04/07
Sucampo Pharmaceuticals, Inc. 7.01,9.01 09/13/07
SUPERCLICK INC WA 7.01,9.01 09/13/07
SURMODICS INC MN 5.02 09/07/07
Synovics Pharmaceuticals NV 8.01 09/07/07
Synvista Therapeutics, Inc. DE 1.01,5.02,8.01,9.01 09/07/07
TAKE TWO INTERACTIVE SOFTWARE INC DE 2.02,9.01 09/10/07
TECHNEST HOLDINGS INC NV 1.01,8.01,9.01 09/12/07
TECHNOLOGY SOLUTIONS COMPANY DE 5.02 09/09/07
THERAVANCE INC DE 8.01 09/12/07
TITANIUM METALS CORP DE 7.01,9.01 09/12/07
Tix CORP DE 1.01 09/13/07
TOPPS CO INC DE 1.01 09/10/07
TRANSDEL PHARMACEUTICALS INC 5.03,9.01 09/10/07
TREX CO INC DE 2.05,9.01 09/10/07
TRINITY INDUSTRIES INC DE 5.02,5.03,9.01 09/10/07
UNITED ONLINE INC DE 5.02 09/13/07
UNITED STATES STEEL CORP DE 1.01,9.01 08/26/07 AMEND
UST INC DE 8.01 09/11/07
VALUECLICK INC/CA DE 5.02,9.01 09/13/07
VARIAN INC DE 5.02 09/11/07
VERINT SYSTEMS INC 5.02,5.03,8.01,9.01 09/11/07
Voyant International CORP NV 1.01,9.01 09/07/07
W&T OFFSHORE INC TX 5.02,7.01,9.01 08/10/07
WASHINGTON MUTUAL, INC WA 7.01,9.01 09/10/07
WatchIt Technologies Inc. TX 1.01,5.02,5.03,8.01,9.01 09/01/07
WELLS FARGO & CO/MN DE 9.01 09/13/07
WELLS FARGO & CO/MN DE 9.01 09/12/07
Wells Fargo Mortgage Backed Securitie DE 8.01,9.01 08/29/07
WESTERN SIZZLIN CORP DE 5.02 09/11/07 AMEND
WILLIAMS SONOMA INC CA 1.01,2.03 09/08/07
Wright Express CORP 5.02 09/07/07
XETA TECHNOLOGIES INC OK 1.01,9.01 09/10/07
XOMA LTD /DE/ DE 1.01,9.01 08/28/07
http://www.sec.gov/news/digest/2007/dig091407.htm
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