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SEC NEWS DIGEST
Issue 2007-203 October 22, 2007
COMMISSION ANNOUNCEMENTS
JOHN WHITE AND CONRAD HEWITT TO TESTIFY
John White, Director of the Division of Corporation Finance, and
Conrad Hewitt, Chief Accountant, U.S. Securities and Exchange
Commission, will testify before the Senate Committee on Banking,
Housing, and Urban Affairs' Subcommittee on Securities, Insurance, and
Investment on Wednesday, Oct. 24, 2007. Their testimony, which
concerns globally accepted accounting standards, will be delivered at
a hearing of the Subcommittee which will be held in Room 538 of the
Dirksen Senate Office Building at 2:00 p.m.
ENFORCEMENT PROCEEDINGS
IN THE MATTER OF RAMP CORPORATION
On October 19, the Commission issued an Order Instituting
Administrative Proceedings Pursuant to Section 12(j) of the Securities
Exchange Act of 1934 (Order) against Ramp Corporation (Ramp). In the
Order, the Division of Enforcement alleges that Ramp has failed to
comply with Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-
13 thereunder, while its common stock was registered with the
Commission in that it has not filed an Annual Report on Form 10-K
since April 4, 2005 (for its year ending Dec. 31, 2004) or quarterly
reports on Form 10-Q for any fiscal period subsequent to its fiscal
quarter ending Sept. 30, 2004. A hearing will be scheduled before an
administrative law judge to determine whether the allegations
contained in the Order are true, to provide Ramp an opportunity to
establish any defenses, and to determine whether the registration of
each class of Ramp securities should be suspended for a period not
exceeding 12 months or revoked. The Commission directed that an
Administrative Law Judge shall issue an initial decision no later than
120 days from the date of service of the Order, pursuant to Rule
360(a)(2) of the Commission's Rules of Practice. (Rel. 34-56679; File
No. 3-12872)
COMMISSION ORDERS HEARINGS ON REGISTRATION SUSPENSION OR REVOCATION
AGAINST FOUR COMPANIES FOR FAILURE TO MAKE REQUIRED PERIODIC
FILINGS
On October 22, 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 four companies for failure to make required periodic
filings with the Commission:
* Ameriserve Food Distribution, Inc.
* Appalachian Oil & Gas Company, Inc.
* Harvey's Great Things, Inc.
* Northport Industries, Inc. (PESO)
In this Order, the Division of Enforcement (Division) alleges that the
four 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. 34-56681;
File No. 3-12873)
COMMISSION CHARGES SHORT SELLERS AND CORPORATE INSIDERS IN MASSIVE
SCHEME TO CONCEAL THE SHORT SELLERS' CONTROL OVER RAMP CORPORATION AND
XYBERNAUT CORPORATION
On October 19, the Commission filed a civil action in the U.S.
District Court for the Eastern District of New York against: two short
sellers, Zev Saltsman and Menachem Eitan; two former officers and
directors of Xybernaut Corporation, Edward G. Newman and Steven A.
Newman; a former director of Xybernaut and outside counsel to
Xybernaut and Ramp Corporation, Martin E. Weisberg; and Ramp's former
CEO, Andrew Brown. The Commission's complaint charges the defendants
with engaging in a scheme to conceal Saltsman and Eitan's control over
Ramp and Xybernaut.
In particular, the Commission's complaint alleges that between 2001
and 2004, Saltsman and Eitan, through 34 nominees, invested more than
$88 million in private investments in public equity (PIPE)
transactions of Xybernaut and Ramp, companies that traded on the
NASDAQ Small Cap Market and the American Stock Exchange, respectively.
During that period, Xybernaut issued more than 123 million shares of
common stock to 21 nominees of Saltsman and Eitan in return for more
than $67 million in PIPE financing. Similarly, between December 2002
and November 2004, Ramp issued more than 161 million shares of common
stock to 13 nominees of Saltsman and Eitan in return for more than $21
million in PIPE financing. Xybernaut and Ramp filed 18 registration
statements registering the resale of those shares, and those
registration statements were misleading because, among other things,
they created the impression that the investors were independent from
one another and controlled by persons other than Saltsman and Eitan.
Saltsman and Eitan profited from the scheme by executing short sales
and covering those short positions with newly issued PIPE shares in
violation of the registration provisions of the federal securities
laws. Saltsman and Eitan often executed wash sales between their
various nominee accounts in order to disguise these violations of the
federal securities laws. As a result of their illegal conduct,
Saltsman and Eitan received a total of more than $55 million in
illicit profits by trading in Ramp and Xybernaut stock.
The complaint also alleges that Saltsman and Eitan paid officers and
directors of Ramp and Xybernaut to ensure access to future PIPE deals
and maintain control over the companies. In December 2003, Saltsman
and Eitan allegedly gave Brown $50,000 in cash. In 2003 and 2004,
Saltsman and Eitan paid $4.1 million to Steven Newman and Weisberg.
These payments, as well as the relationships that developed between
the companies' management and Saltsman and Eitan, were never disclosed
in Ramp or Xybernaut's corporate filings or registration statements.
The Commission's complaint further alleges that during the course of
the scheme, Brown, Weisberg, Edward Newman and Steven Newman provided
valuable assistance to Saltsman and Eitan. In 2001, Weisberg helped
Edward Newman and Steven Newman transfer a total of 1.1 million shares
of their own Xybernaut stock to Saltsman and Eitan to allow Saltsman
and Eitan to cover existing short positions in Xybernaut. In 2003,
Weisberg lied to the Commission staff about sales of securities to
Saltsman and Eitan that occurred during the pendency of a PIPE
registration statement. Brown, Weisberg, Edward Newman and Steve
Newman also concealed Saltsman and Eitan's control over the PIPE
investments and the nominees.
The complaint alleges that each of the defendants violated Section
17(a) of the Securities Act of 1933 (Securities Act) and Section 10(b)
of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5
thereunder, and that Saltsman and Eitan also violated Sections 5(a),
5(b)(2), and 5(c) of the Securities Act and Sections 13(d) and 16(a)
of the Exchange Act and Rules 13d-1, 13d-2, and 16a-3 thereunder. The
complaint also alleges that Weisberg aided and abetted Xybernaut's
violations of Section 14(a) of the Exchange Act and Rule 14a-9
thereunder, and that Steven Newman, Edward Newman, and Brown violated
Exchange Act Rule 13a-14. The complaint further alleges that Weisberg,
Steven Newman, Edward Newman and Brown aided and abetted Xybernaut and
Ramp's violations of Section 13(a) of the Exchange Act and Rules 12b-
20, 13a-1, and 13a-13 thereunder. In its enforcement action, the
Commission is seeking an order permanently enjoining the defendants
from future violations of the foregoing provisions of the federal
securities laws, and a final judgment ordering disgorgement of ill-
gotten gains and civil penalties. The Commission also seeks officer
and director bars against Weisberg, Steven Newman, Edward Newman and
Brown. [SEC v. Zev Saltsman, et al., Civil Action No. 07-CV-4370 (NGG)
(E.D.N.Y.)] (LR-20341)
FORMER ARTHUR ANDERSEN AUDIT PARTNER FRED GOLD AGREES TO PERMANENT
ANTI-FRAUD INJUNCTION, $100,000 CIVIL PENALTY, AND SEC PRACTICE
SUSPENSION IN SETTLEMENT OF SEC LITIGATION RELATING TO AMERICAN TISSUE
AUDIT
The Commission announced today that Fred Gold, a former partner at
Arthur Andersen, LLP., agreed to settle the Commission's civil
injunctive action pending against him in the U.S. District Court for
the Eastern District of New York. Without admitting or denying the
allegations in the complaint, Gold consented to entry of a final
judgment entered by the Court on Oct. 16, 2007, that permanently
enjoins him from violating Section 10(b) of the Securities Exchange
Act of 1934 (Exchange Act) and Rule 10b-5 thereunder, and from aiding
and abetting violations of Section 15(d) of the Exchange Act and
Exchange Act Rules 12b-20 and 15d-1, and orders him to pay a civil
money penalty of $100,000. As part of the settlement, Gold consented,
without admitting or denying the Commission's findings, to the
issuance of an administrative order suspending him from appearing or
practicing before the Commission as an accountant pursuant to Rule
102(e)(3) of the Commission's Rules of Practice. [SEC v. Fred Gold, et
al., Civil Action No. 05 CV 4713, USDC, EDNY] (LR-20342; AAE Rel.
2745)
SELF-REGULATORY ORGANIZATIONS
APPROVAL OF PROPOSED RULE CHANGES
The Commission granted approval to a proposed rule change (SR-FINRA-
2007-005) filed by Financial Industry Regulatory Authority under
Section 19(b)(1) of the Exchange Act relating to NASD Rule 11870
(Customer Account Transfer Contracts) and NYSE Rule 412 (Customer
Account Transfer Contracts) to make the time frames in the rules for
validating or taking exception to an instruction to transfer a
customer's securities account consistent with the time frames in the
Automated Customer Account Transfer Service. Publication is expected
in the Federal Register during the week of October 22. (Rel. 34-56677)
The Commission granted approval to a proposed rule change (SR-NSCC-
2007-13) filed by the National Securities Clearing Corporation under
Section 19(b)(1) of the Exchange Act to amend its Rules and Procedures
with regard to the Automated Customer Account Transfer Service (ACATS)
and ACATS Fund/SERV Processing. Publication is expected in the Federal
Register during the week of October 22. (Rel. 34-56678)
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-3 GENITOPE CORP, 6900 DUMBARTON CIRCLE, FREMONT, CA, 94555-3651,
(510) 284-3000 - 0 ($125,000,000.00) Other, (File 333-146808 - Oct. 19)
(BR. 01A)
S-1 INSULET CORP, 9 OAK PARK DRIVE, BEDFORD, MA, 01730, (781) 457-5000 -
5,484,974 ($129,280,837.00) Equity, (File 333-146810 - Oct. 19) (BR. 10)
SB-2 mountain west business solutions,inc, 3068 S. macon circle, aurora, co,
80014, 118,000 ($29,500.00) Equity, (File 333-146811 - Oct. 19) (BR. )
S-8 TIME LENDING CALIFORNIA INC, 1040 E KATELLA #B-1, ORANGE, CA, 92867,
7142885901 - 1,312,500 ($70,800.00) Equity, (File 333-146812 - Oct. 19)
(BR. 11C)
SB-2 NORD RESOURCES CORP, 1 WEST WETMORE ROAD, SUITE 203, TUCSON, AZ, 85705,
520-292-0266 - 55,589,705 ($73,934,307.15) Equity, (File 333-146813 -
Oct. 19) (BR. 04C)
S-3 CYTOKINETICS INC, 280 EAST GRAND AVENUE, ., SOUTH SAN FRANCISCO, CA,
94080, (650) 624-3000 - 10,009,411 ($58,949,460.24) Equity,
(File 333-146814 - Oct. 19) (BR. 01B)
S-8 GRAN TIERRA ENERGY, INC., 300, 611-10TH AVENUE S.W., CALGARY, A0,
T2R 0B2, (403) 265-3221 - 0 ($15,367,500.00) Equity, (File 333-146815 -
Oct. 19) (BR. 04C)
S-8 ON THE GO HEALTHCARE INC, 85 CORSTATE AVENUE UNIT 1,
CONCORD ONT. CANADA, A6, L4K 4Y2, 905 669 7979 EXT 400 -
160,000,000 ($400,000.00) Equity, (File 333-146816 - Oct. 19) (BR. 03B)
S-8 ROCKWELL MEDICAL TECHNOLOGIES INC, 30142 S WIXOM RD, WIXOM, MI, 48393,
2489609009 - 0 ($12,540,000.00) Equity, (File 333-146817 - Oct. 19)
(BR. 10C)
S-3ASR ARENA PHARMACEUTICALS INC, 6166 NANCY RIDGE DR, SAN DIEGO, CA, 92121,
8584537200 - 0 ($0.00) Equity, (File 333-146818 - Oct. 19) (BR. 01C)
S-3ASR MFA MORTGAGE INVESTMENTS, 350 PARK AVENUE, 21ST FL, NEW YORK, NY,
10022, 2122076400 - 0 ($0.00) Equity, (File 333-146819 - Oct. 19)
(BR. 08B)
S-8 UNITED COMMUNITY BANKS INC, P O BOX 398, 59 HIGHWAY 515, BLAIRSVILLE,
GA, 30512, 5818073041 - 65,001 ($541,860.00) Equity, (File 333-146820 -
Oct. 19) (BR. 07C)
S-8 OMNICOM GROUP INC, 437 MADISON AVE, NEW YORK, NY, 10022, 2124153700 -
37,000,000 ($1,899,950,000.00) Equity, (File 333-146821 - Oct. 19)
(BR. 11A)
S-8 SIERRA PACIFIC RESOURCES /NV/, PO BOX 30150, 6100 NEIL RD, RENO, NV,
89511, 7758344011 - 0 ($124,515,156.00) Equity, (File 333-146822 -
Oct. 19) (BR. 02B)
S-4 PNA Intermediate Holding CORP, 400 NORTHRIDGE ROAD, SUITE 850, ATLANTA,
GA, 30350, (770) 641-6460 - 0 ($170,000,000.00) Non-Convertible Debt,
(File 333-146823 - Oct. 19) (BR. )
S-3 PATRICK INDUSTRIES INC, 107 WEST FRANKLIN STREET PO BOX 638, ELKHART,
IN, 46515, 2192947511 - 1,199,435 ($13,493,644.00) Debt,
(File 333-146824 - Oct. 19) (BR. 06C)
F-1 AIRMEDIA GROUP INC., ROOM 707, NO. 8 YONG AN DONG LI,
JIANGUOMEN WAI, CHAOYANG DISTRICT, BEIJING, F4, 100022,
(86-10) 5126-5816 - 0 ($100,000,000.00) ADRs/ADSs, (File 333-146825 -
Oct. 19) (BR. )
S-8 Teleplus World, Corp., 6101 BLUE LAGOON DRIVE, SUITE 450, MIAMI, FL,
33126, (786) 594-3937 - 15,000,000 ($300,000.00) Equity,
(File 333-146826 - Oct. 19) (BR. 11C)
SB-2 HS3 TECHNOLOGIES INC., 1800 BOULDER ST, SUITE 600, DENVER, CO, 80211,
3034552550 - 10,616,811 ($955,512.99) Equity, (File 333-146828 -
Oct. 19) (BR. 11A)
S-1 BBV Vietnam S.E.A. Acquisition Corp., 61 HUE LANE,
HAI BA TRUNG DISTRICT, HANOI, Q1, 10000, 84-09-1332-3538 -
0 ($72,000,100.00) Equity, (File 333-146829 - Oct. 19) (BR. )
SB-2 SENSE HOLDINGS INC, 10871 N.W. 52ND STREET, SUITE 2, SUNRISE, FL,
33351, (954) 726-1422 - 112,634,143 ($10,977,648.00) Equity,
(File 333-146830 - Oct. 19) (BR. 06B)
S-3 BMB MUNAI INC, C/O POULTON & YORDAN, 324 SOUTH 400 WEST SUITE 250,
SALT LAKE CITY, UT, 84101, 801-355-2227 -
60,000,000 ($60,000,000.00) Debt Convertible into Equity,
(File 333-146831 - Oct. 19) (BR. 04B)
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 INDEPENDENCE FINANCIAL GROUP, INC DE 8.01,9.01 10/19/07
3M CO DE 2.02,9.01 10/19/07
AASTROM BIOSCIENCES INC MI 8.01,9.01 10/18/07
ACA Capital Holdings Inc 1.01,2.03,9.01 10/15/07
ACG HOLDINGS INC DE 5.02,9.01 10/03/07
ACTIVIDENTITY CORP DE 1.01,5.02,9.01 10/17/07
ADUDDELL INDUSTRIES INC CO 3.02,5.03,9.01 10/19/07
AJS BANCORP INC DE 1.01,2.02,9.01 10/16/07
Allis Chalmers Energy Inc. DE 2.02,7.01,9.01 10/19/07
ALLTEL CORP DE 2.02,9.01 10/19/07
Alternative Loan Trust 2006-26CB 8.01,9.01 10/19/07
AMACORE GROUP, INC. DE 1.01 10/15/07
AMCOL INTERNATIONAL CORP DE 2.02,9.01 10/19/07
American Holding Investments, Inc. NV 8.01 10/15/07
AMERICANWEST BANCORPORATION WA 7.01,9.01 10/19/07
AMETEK INC/ DE 2.02,9.01 10/18/07
API Nanotronics Corp. 5.02,5.03,9.01 10/19/07
APPALACHIAN BANCSHARES INC GA 5.02,9.01 10/15/07 AMEND
APPLEBEES INTERNATIONAL INC DE 8.01,9.01 10/18/07
ARCH COAL INC DE 2.02,9.01 10/19/07
Arkanova Energy Corp NV 1.01,3.02,5.02,7.01,9.01 10/15/07
ARROW FINANCIAL CORP NY 2.02,9.01 09/30/07
ASTORIA FINANCIAL CORP DE 7.01 10/18/07
AT&T INC. DE 5.02,9.01 10/15/07
ATC HEALTHCARE INC /DE/ DE 1.01,9.01 10/15/07
AUBURN NATIONAL BANCORPORATION INC DE 2.02,9.01 10/18/07
AVAYA INC DE 7.01 10/19/07
AVIS BUDGET GROUP, INC. DE 1.01,9.01 10/16/07
BANCTRUST FINANCIAL GROUP INC AL 5.02 10/16/07
BANK OF KENTUCKY FINANCIAL CORP KY 2.02,9.01 10/19/07
Bank of Marin Bancorp CA 2.02,9.01 10/18/07
Bank of New York Mellon CORP 2.02,9.01 10/18/07
BANK OF THE JAMES FINANCIAL GROUP INC VA 2.02,9.01 10/19/07
BAXL Holdings, Inc. NV 4.01,9.01 10/15/07
Bear Stearns Mortgage Funding Trust 2 DE 6.04 10/16/07
Behringer Harvard Opportunity REIT I, MD 9.01 08/03/07 AMEND
BIOTIME INC CA 1.01,2.03,9.01 10/17/07
BLACK NICKEL ACQUISITION CORP II 1.01,2.03,3.02,5.02,9.01 09/27/07
BLUE VALLEY BAN CORP KS 2.02,7.01,9.01 10/19/07
Boardwalk Bancorp Inc NJ 2.02,8.01,9.01 10/16/07
BOSTON PROPERTIES INC DE 5.03,9.01 10/18/07
BOSTON PROPERTIES LTD PARTNERSHIP 5.03,9.01 10/18/07
BOSTON SCIENTIFIC CORP DE 2.02,2.05,2.06,9.01 10/17/07
BRAINSTORM CELL THERAPEUTICS INC 5.02,9.01 10/15/07
BRIDGE BANCORP INC NY 2.02,9.01 10/19/07
Bridgeline Software, Inc. DE 9.01 08/31/07 AMEND
BROADWAY FINANCIAL CORP \DE\ DE 5.02 10/17/07
BROOKLINE BANCORP INC DE 2.02 10/18/07
Brooklyn Federal Bancorp, Inc. X1 5.02,9.01 10/16/07
CAB-TIVE ADVERTISING, INC. NV 3.03,5.03,9.01 10/19/07
CABELAS INC DE 5.02 10/10/07 AMEND
Cal Alta Auto Glass Inc NV 1.01 09/30/07
CALAVO GROWERS INC CA 1.01,2.03,9.01 10/15/07
CALLON PETROLEUM CO DE 5.02,9.01 10/18/07
CARBO CERAMICS INC DE 5.02 10/16/07
Cardium Therapeutics, Inc. 8.01,9.01 10/18/07
CARNIVAL CORP DE 5.02,5.03,9.01 10/15/07
CARPENTER TECHNOLOGY CORP DE 5.02 10/19/07
CATERPILLAR FINANCIAL SERVICES CORP DE 2.02,9.01 09/30/07
CATERPILLAR INC DE 2.02,7.01 10/19/07
CATERPILLAR INC DE 7.01 10/19/07
CBD Media Holdings LLC DE 7.01,9.01 10/18/07
CBD MEDIA LLC DE 7.01,9.01 10/18/07
CBS CORP DE 5.02,9.01 10/19/07
CELEBRATE EXPRESS, INC. 7.01 10/19/07
CELLEGY PHARMACEUTICALS INC CA 1.01,9.01 10/18/07
CENTRA FINANCIAL HOLDINGS INC WV 8.01,9.01 10/18/07
CENTRAL FEDERAL CORP DE 2.02,9.01 10/19/07
CHEMBIO DIAGNOSTICS, INC. NV 7.01 10/19/07
CHESAPEAKE ENERGY CORP OK 8.01,9.01 10/16/07
CHINA DIGITAL COMMUNICATION GROUP NV 4.02,9.01 10/19/07
China Precision Steel, Inc. CO 4.01,9.01 10/17/07
CINTEL CORP NV 4.01,9.01 10/05/07
CITIGROUP INC DE 5.03,9.01 10/16/07
CITIGROUP INC DE 5.02 10/16/07 AMEND
CITRIX SYSTEMS INC DE 5.02,9.01 10/18/07
CLARIENT, INC DE 5.03,9.01 10/15/07
CLINICAL DATA INC DE 3.02 10/15/07
COATES INTERNATIONAL LTD \DE\ DE 8.01,9.01 10/18/07
COBIZ FINANCIAL INC CO 2.02,9.01 10/18/07
COEUR D ALENE MINES CORP ID 8.01,9.01 10/19/07
COINMACH SERVICE CORP DE 8.01,9.01 10/19/07
COINSTAR INC DE 5.03,9.01 10/18/07
COLONY BANKCORP INC GA 2.02 10/19/07
Commerce Planet UT 1.01,2.01,9.01 10/12/07
Community Partners Bancorp NJ 2.02,9.01 10/19/07
COMMUNITY VALLEY BANCORP CA 2.02,9.01 10/19/07
COMPUTER PROGRAMS & SYSTEMS INC DE 2.02,9.01 10/18/07
COMPUTER PROGRAMS & SYSTEMS INC DE 5.02 10/15/07
Comverge, Inc. DE 9.01 09/29/07 AMEND
CONSOLIDATED TOMOKA LAND CO FL 9.01 10/18/07
CONSOLIDATED TOMOKA LAND CO FL 9.01 10/18/07
CORNERSTONE BANCSHARES INC TN 2.02,9.01 10/18/07
CORNERSTONE BANCSHARES INC TN 8.01,9.01 10/19/07
CORUS BANKSHARES INC MN 2.02,9.01 10/18/07
COVENANT TRANSPORTATION GROUP INC NV 2.02,9.01 10/18/07
CROSS TIMBERS ROYALTY TRUST TX 2.02,9.01 10/19/07
Cryoport, Inc. 5.03,8.01 10/19/07
CSMG TECHNOLOGIES, INC. TX 3.01 10/17/07
CUBIC CORP /DE/ DE 3.01 10/16/07
DANA CORP VA 8.01 10/19/07
DARDEN RESTAURANTS INC FL 1.02,9.01 10/18/07
DATALINK CORP MN 2.02,9.01 10/17/07
DECKERS OUTDOOR CORP DE 5.02 10/15/07
DELPHI CORP DE 8.01 10/19/07
DELTA OIL & GAS INC 4.01,5.02,9.01 10/15/07
DELTIC TIMBER CORP DE 1.01,5.02,9.01 10/17/07
Design Source, Inc. NV 4.01,9.01 10/08/07 AMEND
DOLLAR TREE STORES INC VA 1.02,5.02,7.01,9.01 10/16/07
DONEGAL GROUP INC DE 2.02 10/19/07
DOR BIOPHARMA INC DE 8.01,9.01 10/18/07
EAGLE FINANCIAL SERVICES INC VA 2.02,9.01 10/19/07
ELDORADO ARTESIAN SPRINGS INC CO 1.01,2.03,8.01 10/11/07
ELECTRONICS FOR IMAGING INC DE 2.01,9.01 10/31/06 AMEND
EMCLAIRE FINANCIAL CORP PA 2.02,9.01 10/19/07
EMERSON RADIO CORP DE 5.02,8.01,9.01 10/15/07
EMPIRE ENERGY CORP UT 1.01,2.03,8.01,9.01 09/27/07
EMVELCO CORP. DE 1.01,2.01,9.01 10/15/07
ENVIRONMENTAL TECTONICS CORP PA 2.02,3.01,9.01 10/15/07
EVANS BANCORP INC NY 5.02 10/16/07
EXCELLENCY INVESTMENT REALTY TRUST, I MD 5.02,9.01 10/08/07
EXELON GENERATION CO LLC 8.01 10/18/07
EXTREME NETWORKS INC DE 5.02 10/15/07
FAIRPOINT COMMUNICATIONS INC DE 8.01,9.01 10/19/07
FASHION TECH INTERNATIONAL INC NV 1.01 10/18/07
Federal Home Loan Bank of Indianapoli X1 2.02,9.01 10/19/07
FIDELITY SOUTHERN CORP GA 5.03,9.01 10/18/07
FIDELITY SOUTHERN CORP GA 2.02,9.01 10/18/07
FIFTH THIRD BANCORP OH 2.02,7.01,9.01 10/19/07
First California Financial Group, Inc DE 2.02,9.01 10/18/07
FIRST CASH FINANCIAL SERVICES INC DE 5.04 10/19/07
FIRST COMMUNITY BANCORP /CA/ CA 2.02,9.01 10/18/07
FIRST COMMUNITY CORP /SC/ SC 2.02,9.01 10/17/07
FIRST FINANCIAL BANKSHARES INC TX 2.02,9.01 10/18/07
FIRST FINANCIAL CORP /IN/ IN 2.01,9.01 10/19/07
FIRST HORIZON NATIONAL CORP TN 5.03,9.01 10/16/07
FIRST M&F CORP/MS MS 2.02,7.01,9.01 10/18/07 AMEND
FIRST NATIONAL BANCSHARES INC /SC/ SC 5.03 10/15/07
FIRST STATE FINANCIAL CORP/FL 2.02 10/19/07
FIRSTMERIT CORP /OH/ OH 7.01 10/18/07
FIRSTWAY ENTERPRISES, INC. DE 1.01,5.01,5.02,9.01 10/16/07
FLEXSTEEL INDUSTRIES INC MN 2.02,9.01 10/18/07
FOX PETROLEUM INC. NV 1.01,9.01 10/09/07
Franchise Capital CORP NV 2.01,3.02,5.01,5.02,9.01 10/04/07
GCO Education Loan Funding Trust-I DE 8.01,9.01 10/15/07
GE Capital Credit Card Master Note Tr DE 8.01,9.01 10/15/07
GENCOR INDUSTRIES INC DE 5.02 10/17/07
GENESIS ENERGY LP DE 1.01,9.01 10/15/07
GeoPharma, Inc. FL 2.01,2.02,9.01 10/15/07
GEOVIC MINING CORP. DE 7.01,9.01 10/15/07
GIGA TRONICS INC CA 8.01,9.01 10/19/07
GRANITE CONSTRUCTION INC DE 8.01 10/19/07
Granite Falls Energy, LLC MN 2.02,9.01 10/19/07
GREAT SOUTHERN BANCORP INC MD 5.03,9.01 10/17/07
GREENE COUNTY BANCORP INC DE 8.01 10/16/07
Greenville Federal Financial CORP 2.02,8.01,9.01 10/19/07
GUARDIAN TECHNOLOGIES INTERNATIONAL I DE 8.01 10/19/07
GULF POWER CO ME 5.03,8.01,9.01 10/16/07
H2Diesel Holdings, Inc FL 5.02,9.01 10/16/07
HANOVER INSURANCE GROUP, INC. DE 8.01,9.01 10/17/07
Harbor Acquisition Corp. DE 8.01,9.01 10/17/07 AMEND
HARTFORD LIFE INSURANCE CO CT 9.01 10/19/07
HEADWATERS INC DE 2.06,7.01,9.01 09/28/07
HEALTH BENEFITS DIRECT CORP DE 5.03,9.01 10/15/07
HERITAGE OAKS BANCORP CA 8.01,9.01 10/17/07
HIGHLANDS BANKSHARES INC /WV/ WV 2.02,9.01 10/19/07
HINES REAL ESTATE INVESTMENT TRUST IN 1.01,9.01 10/15/07
HOLLY ENERGY PARTNERS LP DE 1.01,9.01 10/15/07
HONEYWELL INTERNATIONAL INC DE 2.02,9.01 10/18/07
HOST AMERICA CORP DE 7.01 10/18/07
HUGOTON ROYALTY TRUST TX 2.02,9.01 10/19/07
HYDROGEN POWER INC DE 2.04,7.01,8.01 10/15/07
I FLOW CORP /DE/ DE 1.01,7.01,9.01 10/17/07
ICU MEDICAL INC/DE DE 2.02 10/18/07
Industrial Enterprises of America, In NV 4.02,7.01,8.01 10/15/07
INSITE VISION INC DE 5.02,9.01 10/15/07
INSPIRE PHARMACEUTICALS INC DE 1.01 10/19/07
INTEGRA BANK CORP IN 1.02,5.03,7.01 10/17/07
INTELLIGENTIAS, INC. 7.01 10/19/07
INTERNATIONAL BUSINESS MACHINES CORP NY 9.01 10/17/07
INTERVOICE INC TX 5.03,9.01 10/16/07
IRWIN FINANCIAL CORP IN 7.01,9.01 10/19/07
ISONICS CORP CA 1.02 10/13/07
ISTAR FINANCIAL INC MD 2.03,9.01 10/15/07
Ivivi Technologies, Inc. NJ 3.02,9.01 10/18/07
JABIL CIRCUIT INC DE 7.01,9.01 10/18/07
Jade Mountain CORP NV 4.01,9.01 10/05/07 AMEND
JANUS CAPITAL GROUP INC DE 7.01,9.01 10/19/07
JARDEN CORP DE 9.01 08/08/07 AMEND
KEMET CORP DE 1.01 10/19/07
KENSEY NASH CORP DE 2.02,9.01 10/19/07
Kentucky First Federal Bancorp 5.03,9.01 10/16/07
KeyOn Communications Holdings Inc. DE 5.02 10/04/07 AMEND
LAKES ENTERTAINMENT INC MN 4.02 10/19/07
LAW ENFORCEMENT ASSOCIATES CORP NV 2.01,3.02,9.01 10/16/07
LEARNING TREE INTERNATIONAL INC DE 5.02,9.01 10/15/07
Lexington Energy Services Inc. NV 1.01,2.03 10/18/07
Lightstone Value Plus Real Estate Inv MD 1.01,2.01,5.03,9.01 10/15/07
LILLY ELI & CO IN 2.02,9.01 10/18/07
LOUD TECHNOLOGIES INC WA 1.01,2.04,9.01 10/17/07
LUBYS INC DE 2.02,9.01 10/19/07
LUCAS ENERGY, INC. NV 4.01 10/09/07
LUCAS ENERGY, INC. NV 4.01 10/09/07
MAJESCO ENTERTAINMENT CO DE 8.01,9.01 10/18/07
MANAGEMENT NETWORK GROUP INC 2.01,3.02,9.01 08/03/07 AMEND
MARATHON OIL CORP DE 2.01 10/18/07
MARRIOTT INTERNATIONAL INC /MD/ DE 8.01,9.01 10/16/07
MATTHEWS INTERNATIONAL CORP PA 7.01,9.01 10/18/07
MAXUS REALTY TRUST INC. 8.01,9.01 10/15/07
MCDERMOTT INTERNATIONAL INC R1 5.02,9.01 10/15/07
MCDONALDS CORP DE 2.02,9.01 10/19/07
MCMORAN EXPLORATION CO /DE/ DE 2.02,9.01 10/19/07
MDC PARTNERS INC A6 1.01,2.01,3.02,9.01 10/18/07
MEDAREX INC NJ 5.02 10/15/07
MEDICAL DISCOVERIES INC UT 1.01,8.01,9.01 10/15/07
MEDQUIST INC NJ 5.02,8.01 10/15/07
MERCER INSURANCE GROUP INC PA 5.03,9.01 10/17/07
MERCHANTS BANCSHARES INC DE 2.02,9.01 10/18/07
MET PRO CORP PA 8.01 10/18/07
MFB CORP IN 9.01 09/30/07
MICRONETICS INC DE 5.03,9.01 10/17/07
MICROSOFT CORP WA 8.01,9.01 08/03/07
Mid-America Bancshares, Inc. TN 2.02,7.01,9.01 10/19/07
MIDWEST URANIUM CORP NV 5.02 10/17/07
MILLENNIUM CELL INC DE 1.01,3.02,9.01 10/19/07
MINRAD INTERNATIONAL, INC. 5.02 10/16/07
MOLEX INC DE 2.02,9.01 10/18/07
MONADNOCK BANCORP INC MD 2.02,9.01 10/19/07
MONMOUTH REAL ESTATE INVESTMENT CORP MD 5.02,7.01,9.01 10/19/07 AMEND
MONUMENTAL MARKETING INC NV 5.02,9.01 10/16/07
MOVIE GALLERY INC DE 1.01,1.03,8.01,9.01 10/16/07
MPC CORP CO 1.01,5.02,9.01 10/15/07
MPHASE TECHNOLOGIES INC NJ 8.01,9.01 10/19/07
MSC INDUSTRIAL DIRECT CO INC NY 8.01,9.01 10/18/07
MTI TECHNOLOGY CORP DE 1.01,1.03,2.03,2.04,8.01,9.01 10/12/07
MUNICIPAL MORTGAGE & EQUITY LLC DE 1.01,9.01 10/19/07
NABI BIOPHARMACEUTICALS DE 5.02 10/15/07
NATIONWIDE HEALTH PROPERTIES INC MD 1.01,9.01 10/19/07
NATURAL HEALTH TRENDS CORP DE 5.02 10/19/07
NEW FRONTIER MEDIA INC CO 1.02,5.02 10/16/07
NEW MOTION, INC. DE 1.01,9.01 10/15/07
NEW YORK COMMUNITY BANCORP INC DE 2.02,7.01,9.01 10/19/07
NEWBRIDGE BANCORP NC 8.01,9.01 10/17/07
NICOR INC IL 2.03,9.01 10/19/07
Nile Therapeutics, Inc. 5.02,9.01 10/16/07
Nissan Auto Receivables 2007-B Owner DE 8.01,9.01 10/17/07
NMT MEDICAL INC DE 5.02,9.01 10/17/07
NORD RESOURCES CORP DE 8.01,9.01 10/19/07
NORTEL NETWORKS CORP 1.01,9.01 10/15/07
NORTEL NETWORKS LTD 1.01,9.01 10/15/07
NORTH PITTSBURGH SYSTEMS INC PA 5.03,9.01 10/17/07
NORTHERN ILLINOIS GAS CO /IL/ /NEW/ IL 2.03,9.01 10/19/07
NORTHERN STATES FINANCIAL CORP /DE/ DE 2.02 10/19/07
NOVACEA INC DE 5.02,7.01,9.01 10/16/07
NVR INC VA 2.02,9.01 10/19/07
O A K FINANCIAL CORP MI 2.02,9.01 10/19/07
Oasys Mobile, Inc. DE 1.01,8.01,9.01 10/18/07
ODYSSEY MARINE EXPLORATION INC NV 5.02,8.01,9.01 10/15/07
OLD SECOND BANCORP INC DE 2.02,9.01 10/19/07
ON THE GO HEALTHCARE INC 1.01,2.03 10/15/07
ONE EARTH ENERGY LLC 1.01,9.01 10/16/07
ONEIDA FINANCIAL CORP DE 2.02 10/19/07
ONEOK INC /NEW/ OK 8.01,9.01 10/19/07
ORIENT EXPRESS HOTELS LTD 8.01,9.01 10/19/07
ORMAT TECHNOLOGIES, INC. DE 5.02 10/19/07
OVERSTOCK.COM, INC UT 2.02,9.01 10/19/07
OWENS ILLINOIS INC /DE/ DE 5.02 10/18/07
PACIFIC GAS & ELECTRIC CO CA 5.02 10/19/07
PACKETPORT COM NV 8.01,9.01 10/19/07
PETROHAWK ENERGY CORP DE 1.01 10/15/07
PETROL OIL & GAS INC 5.02 10/15/07
PG&E CORP CA 5.02 10/19/07
Pinnacle Gas Resources, Inc. DE 8.01,9.01 10/18/07
PLANETLINK COMMUNICATIONS INC GA 1.01,9.01 10/18/07
PLUMAS BANCORP CA 2.02,9.01 10/19/07
POKERTEK, INC. NC 5.02,9.01 10/17/07
POMEROY IT SOLUTIONS INC DE 5.02,8.01,9.01 10/15/07
PREMIER WEALTH MANAGEMENT, INC. DE 2.01,2.04,9.01 10/05/07 AMEND
PROSPERITY BANCSHARES INC TX 5.03,9.01 10/16/07
PYRAMID BREWERIES INC WA 5.02 10/17/07
QI SYSTEMS INC 3.01,9.01 10/18/07
QLT INC/BC A1 8.01,9.01 10/18/07
RACINO ROYALE, INC. NV 4.01,9.01 10/19/07
REDDI BRAKE SUPPLY CORP NV 1.03 10/19/07
REFLECT SCIENTIFIC INC UT 4.01,9.01 10/03/07 AMEND
REGEN BIOLOGICS INC DE 5.03,9.01 10/19/07
RELIANT ENERGY INC DE 7.01 10/18/07
RENAISSANCE LEARNING INC WI 2.02,8.01,9.01 10/16/07
REPUBLIC BANCORP INC /KY/ KY 2.02,9.01 10/19/07
REX ENERGY CORP DE 1.01,5.02,8.01,9.01 10/17/07
RGC RESOURCES INC VA 1.01,2.02,4.02,9.01 10/16/07
RIDGEWOOD ENERGY K FUND LLC 2.06 10/19/07
Ridgewood Energy L Fund LLC 2.06 10/19/07
Ridgewood Energy M Fund LLC 2.06 10/19/07
RIDGEWOOD ENERGY S FUND LLC 2.06 10/19/07
RIMAGE CORP MN 1.01,2.02,8.01,9.01 10/17/07
RLI CORP IL 7.01,9.01 10/17/07
RR Donnelley & Sons Co DE 8.01,9.01 10/16/07
RUSH ENTERPRISES INC \TX\ TX 2.02 10/18/07
SCHLUMBERGER LTD /NV/ P8 2.02,9.01 10/19/07
SCHULMAN A INC DE 2.02,9.01 10/18/07
Seligman LaSalle International Real E MD 8.01 10/18/07
SENSIENT TECHNOLOGIES CORP WI 2.02,9.01 10/19/07
Shire plc 8.01,9.01 10/18/07
SILICON STORAGE TECHNOLOGY INC CA 5.02,9.01 10/18/07
SLADES FERRY BANCORP MA 2.02,9.01 10/19/07
SMART Modular Technologies (WWH), Inc 8.01 10/18/07
SMART ONLINE INC 5.02,8.01 10/18/07
SMITH A O CORP DE 7.01 10/18/07
SOLUTIA INC DE 7.01,9.01 10/15/07
SONOCO PRODUCTS CO SC 2.02,9.01 10/19/07
SOURCE INTERLINK COMPANIES INC DE 5.02 10/15/07
Southern National Bancorp of Virginia VA 2.02 10/18/07
SPARTAN STORES INC MI 5.02,7.01,9.01 10/17/07
ST. BERNARD SOFTWARE, INC. CA 4.01,9.01 10/15/07
Standard Commerce, Inc. DE 1.01 10/15/07
STAR BUFFET INC DE 7.01,9.01 10/19/07
STATION CASINOS INC NV 8.01,9.01 10/18/07
STEPAN CO DE 5.03,9.01 10/16/07
STRATS SM TRUST FOR DAIMLERCHRYSLER N 8.01,9.01 10/15/07
STRATS SM TRUST FOR Goldman Sachs Cap 8.01,9.01 10/15/07
STRATS SM TRUST FOR Goldman Sachs Cap 8.01 10/05/07 AMEND
STRATS SM TRUST FOR GOLDMAN SACHS GRO 8.01,9.01 10/15/07
STRATS SM TRUST FOR GOLDMAN SACHS GRO 8.01 10/05/07 AMEND
STRATS SM TRUST FOR JPMORGAN CHASE & 8.01,9.01 10/15/07
STRATS SM TRUST FOR WAL-MART STORES, 8.01,9.01 10/15/07
STRATS(SM) TRUST FOR DOMINION RESOURC 8.01,9.01 10/15/07
STRATS(SM) TRUST FOR GEN ELEC CAP COR 8.01,9.01 10/15/07
STRATS(SM) Trust For Goldman Sachs Ca 8.01,9.01 10/15/07
STRATTEC SECURITY CORP WI 2.02,9.01 10/18/07
SUMMIT FINANCIAL GROUP INC WV 2.02,9.01 10/18/07
SUN HYDRAULICS CORP FL 5.02 10/15/07
SUSQUEHANNA BANCSHARES INC PA 5.03,9.01 10/17/07
SWIFT Master Auto Receivables Trust DE 8.01,9.01 10/16/07
SYCAMORE NETWORKS INC DE 5.02 10/15/07
TCF FINANCIAL CORP DE 5.02,5.03,9.01 10/15/07
TEKNI PLEX INC DE 1.01,9.01 10/15/07
Teleplus World, Corp. 5.02,9.01 10/15/07
TELKONET INC 2.01,9.01 10/19/07
TEMPUR PEDIC INTERNATIONAL INC DE 2.02,7.01,9.01 10/19/07
THERMODYNETICS INC DE 8.01,9.01 10/19/07
THOR INDUSTRIES INC DE 5.02,9.01 05/18/07
TIFFANY & CO DE 8.01 10/19/07
TIMELINE INC WA 1.01 10/15/07
TITANIUM METALS CORP DE 5.02,7.01,9.01 10/15/07
Touchstone Mining LTD NV 5.02 10/18/07
TOWER FINANCIAL CORP IN 5.02 10/16/07
TRAFFIX INC DE 1.01,9.01 10/15/07
TRANSCENDENT INC NV 8.01 10/19/07
TRANSMERIDIAN EXPLORATION INC DE 8.01,9.01 10/18/07
TransMontaigne Partners L.P. DE 8.01,9.01 10/19/07
TRANSOCEAN INC E9 8.01,9.01 10/19/07
TURBOCHEF TECHNOLOGIES INC DE 5.02 10/17/07
U S ENERGY SYSTEMS INC DE 3.01,8.01,9.01 10/16/07
UNIONBANCAL CORP DE 2.02,9.01 10/18/07
UNITED BANCSHARES INC/OH OH 2.02,7.01,9.01 10/19/07
UNITED HERITAGE CORP UT 8.01,9.01 10/19/07
UNITED RENTALS INC /DE DE 8.01,9.01 10/16/07
UNITED STATIONERS INC DE 1.01,2.03 10/15/07
UNIVERSAL POWER GROUP INC. TX 5.02,9.01 10/15/07
UNIVERSAL STAINLESS & ALLOY PRODUCTS DE 5.02,9.01 10/19/07
Uranium Star Corp. NV 1.01,9.01 10/01/07 AMEND
URS CORP /NEW/ DE 8.01 10/18/07
US DRY CLEANING CORP DE 7.01,9.01 10/17/07
UTSTARCOM INC DE 8.01 10/15/07
V F CORP PA 2.02,7.01,9.01 10/18/07
VENTURE FINANCIAL GROUP INC WA 8.01,9.01 10/18/07
VIEWPOINT CORP DE 1.01,3.02,9.01 10/18/07 AMEND
VISTA GOLD CORP 7.01,9.01 10/17/07
VOIP INC 1.01,2.03,3.02,9.01 10/15/07
VONAGE HOLDINGS CORP DE 8.01 10/17/07
WACHOVIA CORP NEW NC 2.02,9.01 10/19/07
WASHINGTON GROUP INTERNATIONAL INC DE 8.01 10/19/07
WASHINGTON MUTUAL, INC WA 7.01,9.01 10/17/07 AMEND
WAUSAU PAPER CORP. WI 5.03,9.01 10/19/07
WEST PHARMACEUTICAL SERVICES INC PA 7.01,9.01 10/18/07
WESTAMERICA BANCORPORATION CA 2.02 09/30/07
WESTAR ENERGY INC /KS KS 2.03,9.01 10/15/07
WESTERN ALLIANCE BANCORPORATION 2.02,5.02,9.01 10/18/07
WHX CORP DE 8.01,9.01 10/18/07
WIFIMED HOLDINGS COMPANY, INC. NV 5.02,8.01 10/15/07
WILMINGTON TRUST CORP DE 2.02 10/19/07
WIND ENERGY AMERICA INC. MN 5.02 10/15/07
WIZZARD SOFTWARE CORP /CO CO 5.02 10/03/07
WWA GROUP INC NV 3.02 09/28/07
XEDAR CORP CO 4.02 10/16/07
XEROX CORP NY 2.02,9.01 10/19/07
XL Generation International Inc. NV 8.01 10/10/07
ZIPREALTY INC 5.02,9.01 10/15/07
ZYGO CORP DE 2.02,9.01 10/19/07
http://www.sec.gov/news/digest/2007/dig102207.htm
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