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SEC NEWS DIGEST
Issue 2007-179 September 17, 2007
COMMISSION ANNOUNCEMENTS
VISITING ACADEMIC SCHOLARS AND ECONOMIC FELLOWS APPOINTED TO THE
OFFICE OF ECONOMIC ANALYSIS
The Securities and Exchange Commission's Office of Economic Analysis
today announced the appointment of two Visiting Academic Scholars and
two Economic Fellows. The Visiting Academic Scholars are Dr. Scott
Bauguess and Dr. Josh White, who will each be serving one-year terms
ending in August 2008. The Economic Fellows are Dr. Daniel Aromi and
Dr. Yoon-Ho Alex Lee, who will be serving two-year term appointments.
Before joining the Commission, Dr. Bauguess served on the faculty of
Texas Tech University. He earned his Ph.D. in Finance from Arizona
State University. His research focus includes the study of the merit
and determinants of corporate ownership structure, and in particular,
the effects of differential voting rights in corporate share
structures, firms commonly classified as "dual class." While at the
Commission, Dr. Bauguess will work on various issues related to
corporate governance.
Before joining the Commission, Dr. White served on the faculty of the
University of Illinois at Urbana Champaign. He earned his Ph.D. in
Business Economics from Harvard University. His research focuses on
behavioral asset pricing and on the valuation and optimal exercise of
executive stock options. While at the Commission, Dr. White will work
on various issues related to corporate finance.
Dr. Aromi earned his Ph.D. in Economics from the University of
Maryland. His areas of specialization include auction theory and
industrial organization. While at the Commission, Dr. Aromi will focus
on issues related to mutual funds and market microstructure.
Dr. Lee earned his Ph.D. in Economics from Yale University, his J.D.
from Yale Law School, and his undergraduate degree at Harvard
University. His research includes applied microeconomic analysis, law
and economics, and games of imperfect information. While in graduate
school, Dr. Lee worked at the President's Council of Economic
Advisers. His work has been published in the Yale Journal on
Regulation. Prior to joining the OEA, he worked as a law clerk to
Judge Thomas B. Griffith on the U.S. Court of Appeals for the District
of Columbia Circuit. While at the Commission, Dr. Lee will focus on
issues related to corporate finance, proxy voting and Sarbanes-Oxley.
(Press Rel. 2007-185)
ENFORCEMENT PROCEEDINGS
IN THE MATTER OF BARRY M. BUDILOV
On September 14, the Commission issued an Order Instituting
Administrative Proceedings Pursuant to Rule 102(e) of the Commission's
Rules of Practice, Making Findings, and Imposing Remedial Sanctions
(Order) against Barry M. Budilov (Budilov), a certified public
accountant at the time of the relevant conduct, who formerly served as
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. The Order finds
that on September 13, a Final Judgment was entered against Budilov in
the civil action filed by the Commission in the U.S. District Court
for the Eastern District of Pennsylvania. The Final Judgment
permanently enjoins Budilov 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.
Based on the above, the Order suspends Budilov from appearing or
practicing before the Commission as an accountant. Budilov consented
to the entry of the Order without admitting or denying the findings.
The Commission's complaint, filed in September 2002, alleged, among
other things, that, from at least 1997 through at least December 1998,
Budilov engaged in a fraudulent scheme to artificially inflate
Ambassador's assets, income, and retained earnings. As a result of the
scheme, the complaint alleged that Ambassador's public filings and
press releases reflected that the company was profitable when, in
fact, it 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 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 to
suspect the fraud, Budilov attempted to conceal the conduct by
destroying evidence, causing others to destroy evidence, and
persuading others to accept responsibility for the fraud.
For further information, please see Litigation Release Numbers 17752
(Sept. 26, 2002) and Litigation Release Number 20281 (Sept. 13, 2007).
(Rel. 34-56445; AAE Rel. 2718; File No. 3-12801)
IN THE MATTER OF EARL SHAWN CASIAS
On September 17, the Commission issued an Order Instituting
Administrative Proceedings Pursuant to Section 15(b) of the Securities
Exchange Act of 1934 and Notice of Hearing against Earl Shawn Casias.
The Order alleges that a permanent injunction was entered on Sept. 5,
2007, against Casias by the U.S. District Court for the Southern
District of Texas. The complaint in the injunctive case alleged that
Casias, while employed as a registered representative at a registered
broker-dealer, participated in manipulations, an unregistered
distribution, and purchases during a distribution.
A hearing will be convened to determine whether the allegations in the
Order are true, and, if so, whether any remedial action is appropriate
in the public interest against Casias. (Rel. 34-56447; File No. 3-
12802); [SEC v. Carl R. Rose, et al., Civil Action No. H-04-CV-2799]
(LR-20286)
SEC SUES PROMOTERS WHO DEFRAUDED SENIORS IN $19 MILLION OIL-AND-GAS
INVESTMENT SCHEME
On September 13, the Commission filed a lawsuit against Gary M. Milby
and his company Mid-America Energy, Inc., alleging that they operated
a fraudulent oil-and-gas investment scheme that raised over $19
million from approximately 375 investors, including many senior
citizens. Milby, age 53, resides in Campbellsville, Kentucky. Mid-
America is based in Portland, Tennessee.
The SEC's complaint alleges that, in 2005 and 2006, Milby and Mid-
America offered and sold interests in at least 30 oil-and-gas
investment programs based on false and misleading information. The
defendants falsely claimed that the investments were registered with
the Commission and misrepresented the returns that investors would
receive. They provided baseless claims regarding oil production and
falsely asserted that Mid-America investors were making huge profits.
The defendants also concealed important information concerning Milby's
recent personal bankruptcy and his seven-year bar from drilling in
Texas. Moreover, they did not inform investors that several state
securities agencies had found the investments to be illegal and
ordered the defendants to halt the offerings in those states. Instead,
they claimed, among other things, that Mid-America was "leading the
way in domestic oil exploration." The complaint further alleges that
the defendants misrepresented the use of the offering proceeds and the
production revenues and misappropriated and misapplied approximately
$12 million of the funds raised.
The SEC alleges that Milby and Mid-America violated the securities-
registration, broker-registration, and antifraud provisions of the
federal securities laws-specifically, Sections 5(a), 5(c), and 17(a)
of the Securities Act of 1933 and Sections 10(b) and 15(a) of the
Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The SEC
seeks a permanent injunction, disgorgement with prejudgment interest,
a civil money penalty, and an accounting against each defendant. [SEC
v. Gary M. Milby and Mid-America Energy, Inc., Civil Action No. 1:07-
cv-156-M (JHM) W.D. Ky.] (LR-20283)
COURT ENTERS FINAL JUDGMENT AGAINST FORMER PRUDENTIAL REGISTERED
REPRESENTATIVE IN CONNECTION WITH DECEPTIVE MARKET TIMING PRACTICES
The Commission today announced that on September 13 a Massachusetts
federal court entered a final judgment against Justin F. Ficken of
Boston, Massachusetts, a defendant in a civil injunctive action filed
by the Commission on Nov. 4, 2003. The court had previously granted
the Commission's motion for summary judgment against Ficken. The
Commission alleged that Ficken, a former registered representative of
broker-dealer Prudential Securities, Inc., committed fraud in
connection with his deceptive market timing trades in dozens of mutual
funds. The final judgment enjoined Ficken from future violations of
the federal securities laws and ordered him to pay $589,854 in
disgorgement and pre-judgment interest.
The Commission filed its complaint against Ficken, four other former
Prudential Securities registered representatives, and their former
branch manager, on Nov. 4, 2003, and amended its complaint on July 14,
2004. The amended complaint alleged that Ficken was part of a three-
person group of registered representatives, known as the "Druffner
Group," that defrauded mutual fund companies and the funds'
shareholders by placing thousands of market timing trades worth more
than $1 billion for five hedge fund customers from at least January
2001 through September 2003. According to the amended complaint,
Ficken knew that the mutual fund companies monitored and attempted to
restrict excessive trading in their mutual funds. The amended
complaint alleged that, to evade those restrictions when placing
market timing trades, Druffner Group members disguised their own
identities by establishing multiple broker identification numbers and
disguised their customers' identities by opening numerous customer
accounts for what were, in reality, only a handful of customers.
The final judgment enjoins Ficken from violating Section 17(a) of the
Securities Act of 1933 and Section 10(b) of the Securities Exchange
Act of 1934 and Rule 10b-5 thereunder and orders him to pay
disgorgement of $494,975, representing profits gained as a result of
the conduct alleged in the amended complaint, together with
prejudgment interest thereon in the amount of $94,879. The judgment
was entered by the Honorable Nathaniel M. Gorton of the U.S. District
Court for the District of Massachusetts. [SEC v. Martin J. Druffner,
et. al., USDC, District of Massachusetts, Civil Action No. 03-12154-
NMG] (LR-20284)
SEC CHARGES TWO FORMER SUPERMARKET EXECUTIVES WITH FINANCIAL FRAUD
The Commission today filed civil fraud charges against Leslie H. Knox
and Linda J. Jones, two former officers of The Penn Traffic Company, a
Syracuse based retail and wholesale food company.
The Commission's complaint, filed in the U.S. District Court for the
Northern District of New York, alleges that Knox, Penn Traffic's
former Senior Vice President and Chief Marketing Officer, and Jones, a
former Penn Traffic Vice President, orchestrated a scheme to inflate
income and other financial results by prematurely recognizing
promotional allowances at Penn Traffic. Promotional allowances - also
referred to as rebates, slotting fees, or vendor allowances - are fees
paid from vendors in exchange for various marketing and promotional
activities, such as inclusion in a supermarket's weekly circular.
According to the complaint, from approximately the second quarter of
Penn Traffic's Fiscal Year (FY) 2001 through at least the fourth
quarter of FY 2003, Penn Traffic prematurely recognized promotional
allowances in advance of Penn Traffic's performance of certain key,
contingent activities. Knox and Jones orchestrated, directed, and
participated in this scheme in an effort to meet internal budget
plans. The complaint further alleges that Knox and Jones lied to and
otherwise deceived Penn Traffic accounting personnel in order to carry
out their fraudulent scheme. For example, at Knox and Jones'
direction, personnel in Penn Traffic's marketing department routinely
submitted false invoices and other information to Penn Traffic's
accounting department so that promotional allowances were booked
before they were actually earned. The complaint alleges that as a
result of Knox and Jones' willful misconduct, Penn Traffic pulled
forward approximately $10 million in operating income, and these
falsified financials were included in Penn Traffic's public filings.
The Commission's complaint against Knox and Jones alleges that, based
on this conduct, they violated Section 17(a) of the Securities Act of
1933, Sections 10(b) and 13(b)(5) of the Exchange Act of 1934, and
Rules 10b-5, 13b2-1 and 13b2-2 thereunder. The complaint further
alleges that under Section 20(e) of the Exchange Act, Jones and Knox
aided and abetted Penn Traffic's violations 10(b), 13(a), 13(b)(2)(A)
and 13(b)(2)(B) of the Exchange Act and Rules 10b-5, 12b-20, 13a-1 and
13a-13 thereunder. The Commission seeks as relief permanent
injunctions, disgorgement of ill-gotten gains with prejudgment
interest, civil money penalties, and officer and director bars.
The Commission acknowledges the assistance of the U.S. Attorney's
Office for the Northern District of New York and the Federal Bureau of
Investigation in this matter. The Commission's investigation is
continuing. [SEC v. Linda Jones and Leslie H. Knox, 5:07-Civ-957 (DNH)
(N.D.N.Y.)] (LR-20285; AAE Rel. 2719)
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE
A proposed rule change (SR-Phlx-2007-65), as modified by Amendment No.
1 thereto, filed by the Philadelphia Stock Exchange relating to U.S.
dollar-settled foreign currency option charges has become effective
under Section 19(b)(3)(A) of the Act. Publication is expected in the
Federal Register during the week of September 17. (Rel. 34-56437)
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-1 Varolii CORP, 821 SECOND AVENUE, SUITE 1000, SEATTLE, WA, 98104,
(206) 902-3900 - 0 ($86,250,000.00) Equity, (File 333-146061 - Sep. 14)
(BR. 08)
S-3ASR CONCUR TECHNOLOGIES INC, 6222 185TH AVE NE, REDMOND, WA, 98052,
4257028808 - 0 ($0.00) Equity, (File 333-146062 - Sep. 14) (BR. 03C)
S-3ASR USEC INC, 2 DEMOCRACY CENTER, 6903 ROCKLEDGE DRIVE, BETHESDA, MD,
20817, 3015643200 - 0 ($0.00) Other, (File 333-146063 - Sep. 14)
(BR. 04C)
S-3ASR EQUINIX INC, 301 VELOCITY WAY, 5TH FLOOR, FOSTER CITY, CA, 94404,
650-513-7000 - 0 ($0.00) Debt Convertible into Equity,
(File 333-146064 - Sep. 14) (BR. 11C)
S-3ASR EQUINIX INC, 301 VELOCITY WAY, 5TH FLOOR, FOSTER CITY, CA, 94404,
650-513-7000 - 0 ($0.00) Equity, (File 333-146065 - Sep. 14) (BR. 11C)
S-3 ORAGENICS INC, 12085 RESEARCH DRIVE, ALACHUA, FL, 32615, 3864184018 -
9,200,000 ($4,600,000.00) Equity, (File 333-146066 - Sep. 14) (BR. 01B)
S-8 THERMO FISHER SCIENTIFIC INC., 81 WYMAN ST, PO BOX 9046, WALTHAM, MA,
02451, 7816221000 - 0 ($107,910,000.00) Equity, (File 333-146068 -
Sep. 14) (BR. 10C)
S-1 TRANSMEDICS INC, 200 MINUTEMAN ROAD, ANDOVER, MA, 01810, 978-552-0900 -
0 ($86,250,000.00) Equity, (File 333-146069 - Sep. 14) (BR. 10C)
S-8 PHARMION CORP, 2525 28TH STREET, BOULDER, CO, 80301, 720 564 9100 -
0 ($45,034,000.00) Equity, (File 333-146070 - Sep. 14) (BR. 01B)
SB-2 Profile Bancorp Inc, 45 WAKEFIELD STREET, ROCHESTER, NH, 03867,
603-332-2610 - 0 ($17,853,750.00) Equity, (File 333-146071 - Sep. 14)
(BR. 07)
F-1 China Digital TV Holding Co., Ltd.,
JINGMENG HIGH-TECH BUILDING B, 4TH FLOOR, NO.5 SHANGDI EAST ROAD,
BEIJING, F4, 100085, (86) 10-6297-1199 - 0 ($150,000,000.00) ADRs/ADSs,
(File 333-146072 - Sep. 14) (BR. 03)
S-8 ATS CORP, 7915 JONES BRANCH DRIVE, MCLEAN, VA, 22102, 703-506-0088 -
0 ($5,775,000.00) Equity, (File 333-146075 - Sep. 14) (BR. 08B)
S-8 PLANTRONICS INC /CA/, 345 ENCINAL ST, SANTA CRUZ, CA, 95061-1802,
8314265858 - 2,100,000 ($58,527,000.00) Equity, (File 333-146076 -
Sep. 14) (BR. 11C)
S-8 NUVELO INC, 201 INDUSTRIAL ROAD, SUITE 310, SAN CARLOS, CA, 94070-6211,
650-517-8000 - 2,500,000 ($5,475,000.00) Equity, (File 333-146078 -
Sep. 14) (BR. 01B)
S-3 AeroGrow International, Inc., 900 28TH STREET, SUITE 201, BOULDER, CO,
80303, 303-444-7755 - 2,380,056 ($18,539,427.00) Equity,
(File 333-146079 - Sep. 14) (BR. 02A)
S-8 Fidelity National Information Services, Inc., 601 RIVERSIDE AVENUE,
JACKSONVILLE, FL, 32204, 904-854-8547 - 0 ($75,480,194.17) Equity,
(File 333-146080 - Sep. 14) (BR. 08C)
S-3 AMERICAN MOLD GUARD INC, 9272 JERONIMO ROAD, SUITE 122, IRVINE, CA,
92618, 9494586653 - 2,218,091 ($2,328,996.00) Equity,
(File 333-146081 - Sep. 14) (BR. 08C)
S-8 CHINDEX INTERNATIONAL INC, 4340 EAST WEST HWY, SUITE 1100, BETHESDA,
MD, 20814, 3012157777 - 1,000,000 ($19,610,000.00) Equity,
(File 333-146088 - Sep. 14) (BR. 09B)
N-2 PIMCO Income Opportunity Fund, C/O ROPES & GRAY LLP,
ONE INTERNATIONAL PLACE, BOSTON, MA, 02110, 617-951-7046 -
40,000 ($1,000,000.00) Equity, (File 333-146089 - Sep. 14) (BR. 17)
SB-2 CAPITAL RESOURCE ALLIANCE, INC., 1013 1ST AVENUE, CALGARY, A0, T2N 0A8,
403-827-7936 - 4,000,000 ($120,000.00) Equity, (File 333-146090 -
Sep. 14) (BR. 04)
S-8 Cardiome Pharma Corp, 6TH FLOOR, 6190 AGRONOMY RD., VANCOUVER, A1,
V6T 1Z3, 1-604-677-6905 - 0 ($3,066,000.00) Equity, (File 333-146091 -
Sep. 14) (BR. 01C)
S-4 Momentive Performance Materials Inc., 187 DANBURY ROAD, WILTON, CT,
06897, 518-233-5603 - 0 ($2,081,957,230.00) Other, (File 333-146093 -
Sep. 14) (BR. )
N-2 TORTOISE ENERGY INFRASTRUCTURE CORP, 10801 MASTEIN BLVD, OVERLAND PARK,
KS, 66210, 9139811020 -
0 ($102,898,436.00) Unallocated (Universal) Shelf, (File 333-146095 -
Sep. 14) (BR. 16)
SB-2 SVI Media, Inc., ONE TECHNOLOGY DRIVE, BUILDING H, IRVINE, CA, 92618,
(949) 341-0050 - 38,944,140 ($10,514,917.80) Equity, (File 333-146096 -
Sep. 14) (BR. 11C)
SB-2 China Water & Drinks Inc.., 9101 WEST SAHARA SUITE 105-195, LAS VEGAS,
NV, 89117-5772, 702-528-2499 - 22,388,061 ($199,253,743.00) Equity,
(File 333-146097 - Sep. 14) (BR. 04B)
S-1 RHI Entertainment, Inc., 1325 AVENUE OF THE AMERICAS, NEW YORK, NY,
10019, 212 261-9100 - 0 ($250,000,000.00) Equity, (File 333-146098 -
Sep. 14) (BR. )
S-8 REMOTE MDX INC, 5095 WEST 2100 SOUTH, SALT LAKE CITY, UT, 84120,
8019749475 - 2,710,000 ($6,233,000.00) Equity, (File 333-146099 -
Sep. 14) (BR. 10C)
S-3ASR SIERRA PACIFIC RESOURCES /NV/, PO BOX 30150, 6100 NEIL RD, RENO, NV,
89511, 7758344011 - 0 ($0.00) Other, (File 333-146100 - Sep. 14)
(BR. 02B)
S-4 UNIVERSAL HOSPITAL SERVICES INC, 7700 FRANCE AVE S, SUITE 275, EDINA,
MN, 55435, 952-893-3200 - 0 ($545,629,000.00) Other, (File 333-146101 -
Sep. 14) (BR. 06C)
S-4 MIDAMERICAN ENERGY HOLDINGS CO /NEW/, 666 GRAND AVE, SUITE 500,
DES MOINES, IA, 50309-2580, 515-242-4300 -
0 ($1,000,000,000.00) Non-Convertible Debt, (File 333-146102 - Sep. 14)
(BR. 02B)
S-8 GUARDIAN TECHNOLOGIES INTERNATIONAL INC, 516 HERNDON PARKWAY, SUITE A,
HERNDON, VA, 20170, 703-464-5495 - 39,604 ($27,920.82) Equity,
(File 333-146103 - Sep. 14) (BR. 03A)
S-1 Obagi Medical Products, Inc., 310 GOLDEN SHORE, LONG BEACH, CA, 90802,
562-628-1007 - 0 ($100,000,000.00) Equity, (File 333-146104 - Sep. 14)
(BR. 01A)
RECENT 8K FILINGS
Form 8-K is used by companies to file current reports on the following events:
1.01 Entry into a Material Definitive Agreement
1.02 Termination of a Material Definitive Agreement
1.03 Bankruptcy or Receivership
2.01 Completion of Acquisition or Disposition of Assets
2.02 Results of Operations and Financial Condition
2.03 Creation of a Direct Financial Obligation or an Obligation under an
Off-Balance Sheet Arrangement of a Registrant
2.04 Triggering Events That Accelerate or Increase a Direct Financial Obligation
under an Off-Balance Sheet Arrangement
2.05 Cost Associated with Exit or Disposal Activities
2.06 Material Impairments
3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or
Standard; Transfer of Listing
3.02 Unregistered Sales of Equity Securities
3.03 Material Modifications to Rights of Security Holders
4.01 Changes in Registrant's Certifying Accountant
4.02 Non-Reliance on Previously Issued Financial Statements or a Related Audit
Report or Completed Interim Review
5.01 Changes in Control of Registrant
5.02 Departure of Directors or Principal Officers; Election of Directors;
Appointment of Principal Officers
5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
5.04 Temporary Suspension of Trading Under Registrant's Employee Benefit Plans
5.05 Amendments to the Registrant's Code of Ethics, or Waiver of a
Provision of the Code of Ethics
6.01. ABS Informational and Computational Material.
6.02. Change of Servicer or Trustee.
6.03. Change in Credit Enhancement or Other External Support.
6.04. Failure to Make a Required Distribution.
6.05. Securities Act Updating Disclosure.
7.01 Regulation FD Disclosure
8.01 Other Events
9.01 Financial Statements and Exhibits
8-K reports may be obtained in person or by writing to the
Commission's Public Reference Branch at 100 F Street, N.E.,
Washington, D.C. 20549-1090 or at the following e-mail box address:
publicinfo@sec.gov. In most cases, this information is also available
on the Commission's website: www.sec.gov.
STATE 8K ITEM NO.
NAME OF ISSUER CODE DATE COMMENT
ACE COMM CORP MD 3.01,9.01 09/13/07
Aces Wired Inc TX 8.01 09/10/07
Advanced Life Sciences Holdings, Inc. 3.01 09/12/07
AECOM TECHNOLOGY CORP DE 5.02 09/14/07
AHPC Holdings, Inc. MD 5.02,8.01 09/11/07
AIR WATER INTERNATIONAL CORP NV 5.03,8.01,9.01 09/12/07
Aircastle LTD D0 8.01,9.01 09/13/07
Akeena Solar, Inc. DE 5.02 09/07/07
ALASKA AIR GROUP INC DE 8.01,9.01 09/14/07
Aleris International, Inc. DE 1.01,2.03 09/11/07
ALLIED CAPITAL CORP MD 2.02,9.01 09/14/07
Alphatec Holdings, Inc. DE 8.01 09/12/07
Alphatec Holdings, Inc. DE 1.01,3.02,9.01 09/13/07
Alternative Loan Trust 2007-OH3 8.01,9.01 06/08/07
AMBASE CORP DE 4.01 09/11/07
AMEDISYS INC DE 7.01,9.01 09/14/07
AMERCO /NV/ NV 8.01 08/20/07 AMEND
AMERICAN INTERNATIONAL INDUSTRIES INC NV 3.02,8.01,9.01 09/13/07
AMERICAN STATES WATER CO CA 5.02,9.01 09/12/07
AMGEN INC DE 1.01 09/11/07
APPLIED MATERIALS INC /DE DC 5.02 07/23/07 AMEND
ARCADIA RESOURCES, INC NV 2.01,9.01 09/10/07
ARCH CAPITAL GROUP LTD. 8.01 09/06/07
ARGAN INC DE 2.02,9.01 09/13/07
Arthro Pharmaceuticals, Inc. NV 5.01,5.02,8.01,9.01 09/12/07
ATLAS PIPELINE PARTNERS LP DE 9.01 07/27/07 AMEND
ATP OIL & GAS CORP TX 2.03,7.01,9.01 09/14/07
ATS MEDICAL INC MN 9.01 06/28/07 AMEND
ATSI COMMUNICATIONS INC/DE NV 8.01,9.01 09/14/07
AVON PRODUCTS INC NY 5.02,9.01 09/10/07
BANC OF AMERICA FUNDING CORP DE 8.01,9.01 08/30/07
Banc of America Mortgage 2007-3 Trust DE 8.01,9.01 08/30/07
BARRIER THERAPEUTICS INC DE 5.02 09/13/07
BEA SYSTEMS INC DE 3.01,9.01 09/12/07
BEAZER HOMES USA INC DE 8.01 09/13/07
BH RE LLC NV 5.02,9.01 09/07/07
BIODELIVERY SCIENCES INTERNATIONAL IN DE 7.01,8.01,9.01 09/14/07
BIOLARGO, INC. DE 8.01,9.01 09/06/07
BIRCH BRANCH INC CO 4.01,9.01 09/14/07
BJs RESTAURANTS INC CA 8.01,9.01 09/14/07
BPZ ENERGY INC CO 7.01,9.01 09/06/07
BRAINSTORM CELL THERAPEUTICS INC 1.01,3.02,9.01 09/10/07
CAL-BAY INTERNATIONAL INC NV 2.01 09/06/07
CALIFORNIA WATER SERVICE GROUP DE 5.02,9.01 09/12/07
CAPITAL GOLD CORP NV 5.02 09/10/07
CAPITALSOURCE INC DE 1.01,2.03,9.01 09/10/07
CapitalSouth Bancorp DE 2.01,5.02,8.01,9.01 09/12/07
CARBIZ INC A6 1.01,2.03,3.02,9.01 09/10/07
CARDINAL HEALTH INC OH 7.01,9.01 09/14/07
CATERPILLAR FINANCIAL FUNDING CORP 9.01 09/14/07
CELLEGY PHARMACEUTICALS INC CA 8.01,9.01 09/14/07
CENTRAL EUROPEAN DISTRIBUTION CORP DE 1.01,2.03,9.01 09/13/07
CHARLOTTE RUSSE HOLDING INC 5.02,9.01 09/10/07
CHARTER COMMUNICATIONS INC /MO/ DE 8.01,9.01 09/14/07
CHINA PHARMACEUTICALS INTERNATIONAL C D8 5.02 09/14/07
CME GROUP INC. DE 1.01 09/11/07
CNET NETWORKS INC DE 5.03,9.01 09/12/07
COFFEE HOLDING CO INC NV 2.02,9.01 09/13/07
COLLECTORS UNIVERSE INC DE 2.02,9.01 09/14/07
COLONIAL COMMERCIAL CORP NY 1.01,2.01,2.03,9.01 09/10/07
COLONY BANKCORP INC GA 1.01,2.01,2.03,9.01 09/10/07
COMMERCEFIRST BANCORP INC MD 5.02 09/10/07
COMMUNITY HEALTH SYSTEMS INC DE 5.03,9.01 09/12/07
COMPUTER SOFTWARE INNOVATIONS INC 1.01,2.01,2.03,3.03,9.01 09/10/07
CONCUR TECHNOLOGIES INC WA 8.01,9.01 09/14/07
CONSCIOUS INTENTION INC WA 1.02,5.01,5.02,9.01 09/14/07
Constellation Energy Partners LLC DE 9.01 07/25/07 AMEND
Cornerstone Core Properties REIT, Inc MD 1.01,9.01 09/11/07
CRAFTMADE INTERNATIONAL INC DE 5.02 09/10/07
CRC Health CORP DE 5.02 09/10/07
CRITICAL THERAPEUTICS INC DE 5.02 09/11/07
CROSS A T CO RI 5.01,8.01 09/10/07
CSX CORP VA 5.03,8.01,9.01 09/12/07
CWABS Asset-Backed Certificates Trust DE 8.01,9.01 09/11/07
DALRADA FINANCIAL CORP DE 7.01 09/14/07
DARDEN RESTAURANTS INC FL 8.01,9.01 09/13/07
DATAJUNGLE SOFTWARE INC NV 1.01,3.02 09/10/07
DAYSTAR TECHNOLOGIES INC DE 1.01,9.01 09/14/07
Deli Solar (USA), Inc. NV 2.01,5.02,9.01 07/01/07
DICKS SPORTING GOODS INC DE 7.01,9.01 09/12/07
DOMINOS PIZZA INC 5.02,8.01,9.01 09/14/07
DOWNEY FINANCIAL CORP DE 7.01,9.01 08/31/07
DRI CORP NC 5.03,9.01 09/12/07
Dutch Gold Resources Inc CO 5.03 09/14/07
ELANDIA, INC. DE 2.01,9.01 06/28/07 AMEND
EMISPHERE TECHNOLOGIES INC DE 5.03 09/11/07
ENSCO INTERNATIONAL INC DE 2.02,9.01 09/14/07
EQUINIX INC DE 2.01,8.01,9.01 09/14/07
EVOLUTION PETROLEUM CORP NV 7.01,9.01 09/13/07
EXPRESS-1 EXPEDITED SOLUTIONS INC DE 5.03,9.01 08/30/07 AMEND
FAIRCHILD CORP DE 4.01,9.01 09/10/07
FAIRCHILD CORP DE 9.01 09/13/07
FARMER BROTHERS CO CA 2.02,9.01 09/13/07
FARMER BROTHERS CO CA 5.02,8.01,9.01 08/23/07 AMEND
Federal Home Loan Bank of Chicago X1 5.02 09/10/07
FEDERAL TRUST CORP FL 1.02,5.02,9.01 09/14/07
FERRO CORP OH 8.01 09/13/07
FIRSTENERGY CORP OH 8.01,9.01 09/14/07
Flex Fuels Energy, Inc. NV 1.01,2.01,3.01,5.01,9.01 05/29/07 AMEND
GENESCO INC TN 7.01,9.01 09/14/07
Global Logistics Acquisition CORP DE 2.02,9.01 09/11/07
Golden West Brewing Company, Inc. CA 3.02,3.03,5.03,8.01 08/16/07
Good Harbor Partners Acquisition Corp DE 8.01,9.01 09/14/07
GOODRICH PETROLEUM CORP DE 1.01,9.01 09/11/07
GRAN TIERRA ENERGY, INC. NV 7.01,9.01 09/14/07
HARTFORD LIFE INSURANCE CO CT 9.01 09/14/07
HASBRO INC RI 8.01,9.01 09/12/07
HEALTHCARE ACQUISITION CORP DE 4.01,9.01 09/10/07
HEALTHCARE PROVIDERS DIRECT INC. NV 1.01,2.03,3.02,4.01,9.01 08/31/07 AMEND
HECLA MINING CO/DE/ DE 1.01,2.03,9.01 09/14/07
Heelys, Inc. DE 8.01 09/12/07
HEI INC MN 3.01,9.01 09/10/07
HEINZ H J CO PA 5.02,9.01 09/14/07
HELIX BIOMEDIX INC DE 5.02 08/10/07
Highland Distressed Opportunities, In 7.01,9.01 09/14/07
HILB ROGAL & HOBBS CO VA 1.01,2.03,9.01 09/10/07
HORACE MANN EDUCATORS CORP /DE/ DE 5.02,8.01 09/11/07
HSI Asset Loan Obligation Trust 2007- 8.01,9.01 09/12/07 AMEND
HSI Asset Loan Obligation Trust 2007- 8.01,9.01 09/12/07 AMEND
HuntMountain Resources WA 5.02,7.01,9.01 09/14/07 AMEND
ICON Leasing Fund Twelve, LLC DE 8.01 08/13/07
ICT TECHNOLOGIES INC DE 1.01 09/14/07
ICU MEDICAL INC/DE DE 8.01 09/13/07
INDALEX HOLDINGS FINANCE INC 5.02,9.01 09/14/07
IndyMac IMJA Mortgage Loan Trust 2007 8.01,9.01 08/30/07
IndyMac IMSC Mortgage Loan Trust 2007 8.01,9.01 08/30/07
IndyMac INDA Mortgage Loan Trust 2007 8.01,9.01 08/30/07
INERGY L P DE 5.02,9.01 09/11/07
Innophos Holdings, Inc. 8.01 09/14/07
Innova Robotics & Automation, Inc. NV 5.02 09/10/07
INTAC INTERNATIONAL INC NV 8.01,9.01 09/13/07
INTEGRAL SYSTEMS INC /MD/ MD 5.02,9.01 09/12/07
INTERNET AMERICA INC TX 7.01,9.01 09/14/07
INTERPUBLIC GROUP OF COMPANIES, INC. DE 9.01 06/29/07 AMEND
INTERSTATE BAKERIES CORP/DE/ DE 7.01,9.01 09/13/07
INTERVOICE INC TX 1.01,5.02 09/13/07
IOWA TELECOMMUNICATIONS SERVICES INC IA 7.01,9.01 09/14/07
J P MORGAN CHASE & CO DE 9.01 09/13/07
J.P. Morgan Chase Commercial Mortgage DE 8.01,9.01 08/30/07
JACOBS FINANCIAL GROUP, INC. DE 3.02,9.01 09/10/07
JAVA DETOUR INC. DE 1.01,9.01 08/02/07 AMEND
JO-ANN STORES INC OH 5.02 09/12/07
KAISER ALUMINUM CORP DE 8.01,9.01 09/12/07
KNOLL INC DE 1.01,9.01 09/14/07
KOHLS CORPORATION WI 5.02,9.01 09/10/07
LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 09/14/07
LB-UBS Commercial Mortgage Trust 2007 8.01,9.01 08/30/07
LEGACY RESERVES L P 7.01,8.01,9.01 09/13/07
LEHMAN ABS CORP BCKD TR CRTS TOYS R U DE 8.01,9.01 09/01/07
LEHMAN ABS CORP KINDER MORGAN DEBEN B DE 8.01,9.01 09/01/07
Lehman Mortgage Trust 2007-8 DE 8.01,9.01 08/30/07
Lehman XS Trust Series 2007-16N DE 8.01,9.01 08/31/07
LIFE PARTNERS HOLDINGS INC TX 7.01 09/12/07
LIONS GATE ENTERTAINMENT CORP /CN/ 5.02,9.01 09/11/07
LITTELFUSE INC /DE DE 5.02 09/11/07
MACK CALI REALTY CORP MD 5.02,9.01 09/12/07
MARCO COMMUNITY BANCORP INC FL 2.01 09/13/07
MCCLATCHY CO DE 5.02 09/14/07
MEDICAL NUTRITION USA INC NJ 2.02,9.01 09/12/07
MEDICINOVA INC DE 5.02,9.01 09/12/07
MEMRY CORP DE 5.02,9.01 09/10/07
MERCADOLIBRE INC 2.02,7.01 09/14/07
MERIDIAN RESOURCE CORP TX 5.02 09/12/07
MERRILL LYNCH & CO INC DE 8.01 09/14/07
MERRILL LYNCH & CO INC DE 8.01,9.01 09/14/07
MICROTEK MEDICAL HOLDINGS, INC GA 8.01,9.01 09/13/07
MIDWEST BANC HOLDINGS INC DE 1.01,7.01,8.01,9.01 09/12/07
MineCore International, Inc CO 5.02 09/13/07
MONMOUTH REAL ESTATE INVESTMENT CORP MD 7.01,9.01 09/14/07
MSC SOFTWARE CORP DE 5.03,9.01 09/10/07
MULTI COLOR CORP OH 7.01 09/14/07
MUTUALFIRST FINANCIAL INC MD 7.01,9.01 09/12/07
MVP Network, Inc. NV 8.01,9.01 09/14/07
NATIONAL HEALTH INVESTORS INC MD 8.01 09/13/07 AMEND
NATIONAL HEALTH REALTY INC MD 2.01 09/13/07
NAVTEQ CORP DE 5.02 09/10/07
NEOPHARM INC DE 1.02 09/11/07
NETEZZA CORP 2.02 08/23/07 AMEND
NEUROBIOLOGICAL TECHNOLOGIES INC /CA/ DE 2.02,5.03,9.01 09/14/07
NEUROGEN CORP DE 5.02 09/14/07
NEW PARADIGM PRODUCTIONS INC NV 1.01 06/30/07
NEWPARK RESOURCES INC DE 1.01,9.01 09/11/07
NGP Capital Resources CO MD 7.01,9.01 09/14/07
NNN Healthcare/Office REIT, Inc. MD 1.01,2.01,2.03,7.01,9.01 09/10/07
NORDSON CORP OH 5.02,9.01 09/12/07
NORFOLK SOUTHERN CORP VA 7.01,9.01 09/14/07
NORTH AMERICAN SCIENTIFIC INC 1.01,8.01,9.01 09/11/07
NORTH POINTE HOLDINGS CORP 8.01,9.01 07/02/07 AMEND
NORTHERN OIL & GAS, INC. 1.01,3.02,9.01 09/10/07
NORTHWAY FINANCIAL INC 5.03,8.01,9.01 09/11/07
NU-MEX URANIUM CORP. NV 1.01,3.02,9.01 09/14/07
OCTILLION CORP 1.01,5.02,7.01,9.01 09/10/07
ODYSSEY MARINE EXPLORATION INC NV 1.01,3.02,5.03,9.01 09/12/07
OGE ENERGY CORP OK 8.01,9.01 09/14/07
OKLAHOMA GAS & ELECTRIC CO OK 8.01,9.01 09/14/07
ONLINE GAMING SYSTEMS LTD \ DE 5.01,5.02,9.01 04/19/06
OPEN ENERGY CORP NV 8.01 09/14/07
OPTICAL CABLE CORP VA 4.02 09/11/07
PDG ENVIRONMENTAL INC DE 2.02,9.01 09/14/07
PEMCO AVIATION GROUP INC DE 8.01,9.01 09/10/07
People's United Financial, Inc. DE 8.01,9.01 09/14/07
PERMA FIX ENVIRONMENTAL SERVICES INC DE 8.01 09/10/07
PHARMOS CORP NV 8.01,9.01 09/10/07
PIPER JAFFRAY COMPANIES 1.01,7.01,9.01 09/14/07
POLYMEDIX INC 8.01 09/14/07
PRAXAIR INC DE 8.01,9.01 09/13/07
PREMIERWEST BANCORP OR 7.01,9.01 09/14/07
PRO PHARMACEUTICALS INC NV 8.01,9.01 09/13/07
PROFESSIONALS DIRECT INC MI 2.01,3.01,3.03,5.01,5.02 09/14/07
PROGRESSIVE CORP/OH/ OH 5.02,7.01,9.01 09/14/07
PROVIDENT FINANCIAL HOLDINGS INC DE 8.01 09/14/07
QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 2.02,9.01 09/14/07
RALI Series 2007 QS10 Trust DE 8.01,9.01 09/14/07
RALI Series 2007-QO5 Trust DE 8.01,9.01 09/14/07
RAMBUS INC DE 8.01,9.01 09/14/07
RAPTOR PHARMACEUTICALS CORP. 1.01,2.03,3.02,8.01,9.01 09/12/07
REDENVELOPE INC DE 2.02,9.01 09/14/07
Renaissance Home Equity Loan Trust 20 9.01 08/27/07
RFMSI Series 2007-SA4 Trust DE 8.01,9.01 09/14/07
RICHARDSON ELECTRONICS LTD/DE DE 5.03,9.01 09/12/07
RIVAL TECHNOLOGIES INC A1 4.01 09/13/07
ROCKWELL COLLINS INC DE 7.01,9.01 09/14/07
RUBICON FINANCIAL INC DE 1.01,2.01,3.02,9.01 09/07/07
RURAL/METRO CORP /DE/ DE 3.01,4.02,8.01,9.01 09/13/07
S1 CORP /DE/ DE 5.02,8.01,9.01 09/06/07
SALON MEDIA GROUP INC DE 5.02,9.01 09/13/07
SAMSONITE CORP/FL DE 2.02,9.01 09/13/07
SANDISK CORP DE 8.01 08/31/07
SCHULMAN A INC DE 1.02,9.01 08/31/07 AMEND
SCHWAB CHARLES CORP DE 8.01,9.01 09/11/07
SCICLONE PHARMACEUTICALS INC DE 3.03 09/10/07
SCO GROUP INC DE 1.03,9.01 09/14/07
SEARS HOLDINGS CORP DE 5.02,9.01 09/10/07
Shire plc 8.01,9.01 09/13/07
SILVERLEAF RESORTS INC 1.01,2.03,7.01,9.01 09/12/07
Sino Gas International Holdings, Inc. UT 1.01,3.02,3.03,5.03,7.01,9.01 09/13/07
Sinoenergy CORP NV 1.01,9.01 08/28/07
SOLECTRON CORP DE 5.02 09/10/07
Soltera Mining Corp. NV 5.01,9.01 09/14/07
SOUTHCOAST FINANCIAL CORP SC 5.03,9.01 09/13/07
Southridge Technology Group, Inc. DE 4.01,5.02,9.01 08/15/07 AMEND
SPARTECH CORP DE 2.02,9.01 09/12/07
Spectra Energy Capital, LLC DE 8.01,9.01 09/14/07
Spectra Energy Capital, LLC DE 8.01,9.01 09/14/07
SPEEDHAUL HOLDINGS, INC. NJ 4.01,9.01 09/14/07
ST MARY LAND & EXPLORATION CO DE 7.01,8.01,9.01 09/14/07
STEEL DYNAMICS INC IN 2.03,8.01,9.01 09/11/07
STERIS CORP OH 2.03 09/13/07
Structured Adjustable Rate Mortgage L DE 8.01,9.01 08/31/07
Structured Asset Securities CORP Mort DE 8.01,9.01 08/30/07
SUNOCO LOGISTICS PARTNERS LP DE 7.01,9.01 09/14/07
SUNPOWER CORP CA 7.01 09/12/07
SWS GROUP INC DE 8.01,9.01 09/14/07
SYMMETRICOM INC DE 5.02,9.01 09/10/07
T-3 ENERGY SERVICES INC TX 1.01,8.01,9.01 09/14/07
TALON INTERNATIONAL, INC. DE 2.06 09/10/07
TBS INTERNATIONAL LTD 7.01,9.01 09/13/07
TECHNOLOGY RESOURCES INC FL 5.02 09/14/07
TELEFLEX INC DE 5.03 09/10/07
Thornburg Mortgage Securities Trust 2 DE 8.01,9.01 08/31/07
Tix CORP DE 5.02 09/14/07
TJX COMPANIES INC /DE/ DE 5.02 09/10/07
TRI-S SECURITY CORP GA 5.02,9.01 09/10/07
Triangle Petroleum Corp NV 2.02,9.01 09/14/07
TRUEYOU.COM DE 5.02 09/12/07
TWEEN BRANDS, INC. DE 1.01,1.02,2.03,7.01,9.01 09/12/07
TYCO INTERNATIONAL LTD /BER/ D0 7.01,9.01 09/13/07
U-Store-It Trust MD 1.01,2.03,8.01,9.01 09/14/07
UNIVERSAL FOG INC 5.01,5.02,5.06,9.01 06/26/07
UNIVERSAL TECHNICAL INSTITUTE INC DE 5.02,9.01 09/14/07
USAutos Series 2004-1 Trust DE 8.01,9.01 09/04/07
uVuMobile, Inc 5.02,9.01 09/12/07
VENDINGDATA CORP NV 3.02,5.01,5.02 09/10/07
VERTICAL COMPUTER SYSTEMS INC DE 8.01,9.01 09/14/07
VERTICAL HEALTH SOLUTIONS INC FL 2.01,9.01 08/27/07
VERTIS INC DE 7.01,8.01,9.01 09/13/07
VILLAGE SUPER MARKET INC NJ 7.01,9.01 09/14/07
VioQuest Pharmaceuticals, Inc. DE 5.02 09/10/07
VIRAGEN INC DE 8.01,9.01 09/12/07
VIRAGEN INTERNATIONAL INC DE 8.01,9.01 09/12/07
VIRGIN MEDIA INC. DE 5.02 09/10/07
VOIP INC 1.01,2.03,2.04,3.02,8.01,9.01 09/11/07
WASTE MANAGEMENT INC DE 7.01 09/14/07
WELLPOINT INC IN 7.01 09/14/07
Wells Fargo Mortgage Backed Securitie DE 8.01,9.01 08/30/07
WESCORP ENERGY INC 1.01,3.02,7.01,9.01 09/10/07
WESTERN ALLIANCE BANCORPORATION 3.02 09/14/07
WGNB CORP GA 2.01,9.01 07/02/07 AMEND
WILLBROS GROUP INC R1 5.02 09/11/07
WIRELESS FACILITIES INC DE 5.03,9.01 09/12/07
WPCS INTERNATIONAL INC DE 2.02,9.01 09/14/07
WYNDHAM WORLDWIDE CORP DE 7.01,9.01 09/14/07
XSUNX INC CO 8.01 09/07/07
ZHONGPIN INC. DE 5.03,8.01,9.01 09/04/07
http://www.sec.gov/news/digest/2007/dig091707.htm
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