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SEC NEWS DIGEST
Issue 2007-210 October 31, 2007
ENFORCEMENT PROCEEDINGS
IN THE MATTER OF AUSTRIAN TRADING SERVICES, INC.
An Administrative Law Judge has issued an Order Making Findings and
Imposing Remedial Sanctions by Default as to Four Respondents (Default
Order) in the matter of Austrian Trading Services, Inc., et al. The
Order Instituting Proceedings (OIP) alleged that the Respondents, six
issuers of registered securities, repeatedly failed to file required
annual and quarterly reports with the Securities and Exchange
Commission (Commission), in violation of Section 13(a) of the
Securities Exchange Act of 1934 (Exchange Act) and Exchange Act Rules
13a-1 and 13a-13. The Default Order finds the allegations in the OIP
to be true as to four Respondents: Austrian Trading Services, Inc.,
Fix Corp International, Inc., Gourmet's Choice Coffee Co., Inc., and
Perennial Health Systems, Inc. The Default Order revokes the
registered securities of the four Respondents pursuant to Section
12(j) of the Exchange Act.
The Commission has previously accepted Offers of Settlement from the
other two Respondents named in the OIP, Harter Financial, Inc., and FN
Estate, Inc. (Rel. 34-56724; File No. 3-12800)
COURT FINDS DEFENDANT PATRICK KIRKLAND IN CONTEMPT OF COURT FOR
VIOLATING ASSET FREEZE ORDER AND IMPOSES REMEDIAL SANCTIONS
The Commission announced that on October 24, the Honorable John Antoon
II, United States District Judge for the Middle District of Florida,
entered an order of civil contempt against Patrick Kirkland for
violating the asset freeze imposed against him on Feb. 24, 2006.
Following an evidentiary hearing on October 19, the Court found
Kirkland had violated the asset freeze by cashing two checks in June
2006 intended for the estate of the Court-appointed Receiver, which
Kirkland acknowledged using for personal expenses. The Court ruled
Kirkland failed to demonstrate he was unable to comply with the asset
freeze order and could not justify his violations. The Court ordered
Kirkland to repay the Receiver the value of the two checks, totaling
$3,957.73, in two parts within 60 days.
The Commission's complaint in this matter, filed on Feb. 16, 2006,
alleged that from April 1999 until the date of the complaint, Kirkland
and the other Defendants raised at least $59 million by offering and
selling unregistered securities in the form of investments in real
estate developments located in Florida, Georgia, and Texas. According
to the complaint, the Defendants were selling investments called
triplexes, which were apartments designed for shared senior rental
living. The complaint further alleged that Defendants promised
investors exorbitant profits of 23% to 55%, and through sales agents,
falsely assured prospective investors that over 200 calls a day were
coming in from seniors interested in leasing the properties, and that
there was a waiting list. In fact, according to the complaint, the
completed developments had rental rates of 34% or less, and investors
who purchased triplexes lost money.
The Court entered an ex parte temporary restraining order and asset
freeze against Kirkland on February 16, and a preliminary injunction
and further asset freeze on Feb. 24, 2006. In September 2007, the
Court granted the Commission's motion for summary judgment against
Kirkland, ruling the Commission had proved Kirkland's violations of
the federal securities laws. The Court entered a permanent injunction
against Kirkland. [SEC v. Patrick Kirkland, et al., Civil Action No.
06-CV-183-ORL-28 KRS Antoon, (M.D. Fla.)] (LR-20351)
FEDERAL COURT GRANTS SUMMARY JUDGMENT AND ENTERS PERMAMENT INJUNCTION
AGAINST PATRICK KIRKLAND
The Commission announced that on Sept. 25, 2007, the Honorable John
Antoon II, U.S. District Judge for the Middle District of Florida,
granted the Commission's motion for summary judgment against Patrick
Kirkland, the primary architect of a fraudulent securities scheme
involving the sale of real estate investments known as triplexes. The
court permanently enjoined Kirkland from further violations of
Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 and
Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5,
thereunder. The order also granted the Commission's claim for
disgorgement with prejudgment interest against Kirkland and will hold
a hearing to determine the amount Kirkland must disgorge. In addition,
the Court reserved ruling on a specific civil penalty amount Kirkland
must pay, pending the Commission's motion.
The Commission's complaint in this matter, filed on Feb. 16, 2006,
alleged that from April 1999 until the date of the complaint, Kirkland
and the other Defendants raised at least $59 million by offering and
selling unregistered securities in the form of investments in real
estate developments located in Florida, Georgia, and Texas. According
to the complaint, the Defendants were selling investments called
triplexes, which were apartments designed for shared senior rental
living. The complaint further alleged that Defendants promised
investors exorbitant profits of 23% to 55%, and through sales agents,
falsely assured prospective investors that over 200 calls a day were
coming in from seniors interested in leasing the properties, and that
there was a waiting list. In fact, according to the complaint, the
completed developments had rental rates of 34% or less, and investors
who purchased triplexes lost money.
In his summary judgment order, the Court found the Commission had
proved the violations alleged in the complaint, and that Kirkland
violated the registration and antifraud provisions of the federal
securities laws in selling the triplexes. The Court ruled that
Kirkland's representations to investors had no basis in fact, were
often flatly false and his actions were deliberate and knowing. The
Court also concluded, Kirkland's conduct revealed a lengthy pattern of
wrongful behavior, which included, among other things, falsifying
leases, inflating appraisal values, promising rates of returns without
a reasonable basis, and failing to mention investors' class action and
individual lawsuits, two desist-and-refrain orders and a temporary
restraining order issued by the State of California. [SEC v. Patrick
Kirkland, et al., Civil Action No. 06-CV-183-ORL-28 KRS Antoon (M.D.
Fla.)] (LR-20352)
SEC FILES SETTLED BOOKS AND RECORDS AND INTERNAL CONTROLS CHARGES
AGAINST INGERSOLL-RAND COMPANY LTD. FOR IMPROPER PAYMENTS TO IRAQ
UNDER THE U.N. OIL FOR FOOD PROGRAM - - COMPANY AGREES TO PAY OVER
$4.2 MILLION AND TO MAKE CERTAIN UNDERTAKINGS REGARDING ITS FOREIGN
CORRUPT PRACTICES ACT COMPLIANCE PROGRAM
The Commission today filed Foreign Corrupt Practices Act books and
records and internal controls charges against Ingersoll-Rand Company
Ltd., a New Jersey-based industrial equipment company, in the U.S.
District Court for the District of Columbia. The Commission's
complaint alleges that from 2000 through 2003, four of Ingersoll-
Rand's subsidiaries entered into contracts in which $963,148 in
kickback payments were made and $544,697 in additional payments were
authorized in connection with sales of humanitarian goods to Iraq
under the U.N. Oil for Food Program (tProgram). The kickbacks were
characterized as "after-sales service fees" (ASSFs), but no bona fide
services were performed. The Program was intended to provide
humanitarian relief for the Iraqi population, which faced severe
hardship under international trade sanctions. It allowed the Iraqi
government to purchase humanitarian goods through a U.N. escrow
account. The kickbacks paid by Ingersoll-Rand's subsidiaries and third
parties diverted funds out of the escrow account and into an Iraqi
slush fund. The contracts submitted to the U.N. did not disclose that
the illicit payments were included in the inflated contract prices.
The complaint also alleges that $8,000 in "pocket money" and travel
expenses were paid to Iraqi government officials in connection with a
trip to Italy.
According to the Commission's complaint:
Ingersoll-Rand's German subsidiary ABG entered into six Program
contracts involving kickback payments of $718,637. In November 2000,
shortly after an ABG salesman negotiated two contracts in Baghdad, the
office of Ingersoll-Rand's Chairman received an anonymous fax alerting
the company to the kickback arrangement. Ingersoll-Rand initiated an
investigation and questioned the salesman, who admitted to agreeing to
pay back $292,578 to the Iraqi Ministry. ABG attempted to go forward
with the contracts with some disclosure to the U.N. that money was
going back to Iraq. However, the U.N. advised that the payments were
not allowed and the contracts were never concluded. Ingersoll-Rand did
not withdraw from the Program and failed to conduct appropriate due
diligence to prevent the payment of ASSFs on other Program contracts.
Indeed, in the following year, ABG negotiated four additional
contracts. These were distributorship agreements, in which ABG sold
its products to intermediaries that ABG knew would resell them into
Iraq. Ingersoll-Rand either knew or was reckless in not knowing that
the distributors made, or agreed to make, a total of $426,059 in
kickback payments on the four contracts.
Ingersoll-Rand's subsidiary I-R Italiana entered into four Program
contracts involving a total of $474,302 in ASSF payments. To conceal
the kickbacks, I-R Italiana increased the payment due on each contract
by 10% and created a fictitious line item on its purchase orders to
justify the extra payment. I-R Italiana entered into two side letters
with Iraq to pay the ASSFs, which were not disclosed to the U.N. In
one of the side letters, I-R Italiana stated explicitly that the
fictitious purchase order description used to conceal the kickback did
not represent an actual performance obligation on I-R Italiana's part.
In February 2002, I-R Italiana sponsored eight officials from the
Iraqi Oil Ministry to spend two days touring a manufacturing facility
in Italy. According to internal e-mail messages, the Iraqi officials
spent two additional days "on holiday" touring Florence at the
company's expense, and were also given $8,000 in "pocket money."
Ingersoll-Rand's Irish subsidiary Thermo-King signed a side agreement
with an Iraq Ministry to make an ASSF payment of $53,919, which was
not disclosed to the U.N. The contract failed to receive U.N. approval
for unrelated reasons. Ingersoll-Rand's Belgian subsidiary I-R Benelux
sold products to a Jordanian third party, which I-R Benelux knew would
sell the equipment into Iraq at a 70% markup. I-R Benelux shipped the
goods to Iraq and obtained all the necessary export control licenses.
The third party, when questioned by the U.N. Independent Inquiry
Committee, subsequently confirmed that it had made the ASSF payment.
Ingersoll-Rand knew or was reckless in not knowing that illicit
payments were either offered or paid in connection with all of these
transactions. Ingersoll-Rand failed to maintain an adequate system of
internal controls to detect and prevent the payments. Ingersoll-Rand's
accounting for these transactions failed properly to record the nature
of the company's payments, and characterized some ASSFs as "sales
deductions" or "other commissions".
Ingersoll-Rand, without admitting or denying the allegations in the
Commission's complaint, consented to the entry of a final judgment
permanently enjoining it from future violations of Sections
13(b)(2)(A) and 13(b)(2)(B) of the Securities Exchange Act of 1934,
ordering it to disgorge $1,710,034 in profits, plus $560,953 in pre-
judgment interest, and to pay a civil penalty of $1,950,000.
Ingersoll-Rand is also ordered to comply with certain undertakings
regarding its FCPA compliance program. Ingersoll-Rand will also pay a
$2,500,000 fine pursuant to a deferred prosecution agreement with the
U.S. Department of Justice, Fraud Section.
The Commission considered remedial acts promptly undertaken by
Ingersoll-Rand and the cooperation the company afforded the Commission
staff in its investigation. The Commission acknowledges the assistance
of the Department of Justice, Fraud Section and the United Nations
Independent Inquiry Committee. [SEC v. Ingersoll-Rand Company Limited,
Civil Action No. 107-CV-01955 (D.D.C.)(JDB)] (LR-20353)
IDPM GROUP OWNERS CRIMINALLY CHARGED WITH MAIL FRAUD AND MAKING FALSE
STATEMENTS TO THE SECURITIES AND EXCHANGE COMMISSION
The Commission announced today that on October 26 Craig H. Reinhard
(Reinhard) and Debra R. Bzik (Bzik) were charged by the United States
Attorney for the Eastern District of Pennsylania, by information, with
one count of mail fraud and one count of making false statements to
the Commission. Reinhard and Bzik were co-owners of the IDPM Group,
Inc. (IDPM), a business located at 7540 Windsor Drive, in Allentown,
Pennsylvania. IDPM was primarily a benefit counseling service and
insurance agency.
The information charges that, from at least 1994 through February of
2006, Reinhard and Bzik participated in a scheme to defraud investors,
many of them elderly, of approximately $3,661,248 by selling the
investors fraudulent certificates of deposit. According to the
information, investors were told that the certificates of deposit were
insured by the Federal Deposit Insurance Corporation (FDIC), when in
fact, they were not insured by the FDIC. Reinhard and Bzik are alleged
to have used money from sales to new investors to pay interest and
principal to earlier investors, to fund operating expenses for their
business, for salaries for themselves, for personal expenses, and to
pay commissions to others who helped to sell these certificates. If
convicted, the charges carry a maximum sentence of 25 years
imprisonment and a $500,000 fine. The guidelines call for sentences of
approximately at least 97 months.
On March 6, 2006, the Commission obtained a preliminary injunction
halting this alleged ongoing Ponzi scheme being conducted by Reinhard
and Bzik. [SEC v. Craig H. Reinhard, Debra R. Bzik, and The IDPM
Group, Inc., Civil Action No. 06-997-CMR (E.D.Pa)]. The Commission's
complaint charged IDPM, Reinhard and Bzik with violating Section 17(a)
of the Securities Act of 1933, Section 10(b) of the Securities
Exchange Act of 1934, and Rule 10b-5 thereunder. Without admitting or
denying the allegations of the complaint, Reinhard, Bzik and IDPM
consented to the entry of an order preliminarily enjoining them from
engaging in the violations set forth above, partially freezing their
assets, granting expedited discovery, prohibiting the alteration or
destruction of documents, and ordering an accounting.
The Commission's proceeding remains pending, but has been stayed until
Nov. 30, 2007. In addition to the emergency relief obtained, the
Commission's complaint seeks from each defendant a permanent
injunction, disgorgement with prejudgment interest, and a civil
penalty. Additional information may be found at Litgation Release No.
19591. [U.S. v. IDPM Group, Inc., Craig H. Reinhard and Debra R. Bzik,
06-997 (E.D. Pa.)] (LR-20354)
INVESTMENT COMPANY ACT RELEASES
ORDERS OF DEREGISTRATION UNDER THE INVESTMENT COMPANY ACT
Orders have been issued under Section 8(f) of the Investment Company
Act declaring that each of the following has ceased to be an
investment company:
Ameritor Investment Fund [File No. 811-747][Rel No. IC-28025]
UC Co Investment Fund LLC [File No. 811-21599] [Rel No. IC-28026]
Dryden Municipal Series Fund [File No. 811-4023] [Rel No. IC-28027]
Van Kampen Trust for Investment Grade Florida Municipals [File No.
811-6538][Rel No. IC-28028]
Asset Management Fund Large Cap Equity Institutional Fund, Inc. [File
No. 811-620][Rel No. IC-28029]
ACM Municipal Securities Income Fund,Inc. [File No. 811-7510] [Rel
No.IC-28030]
The Tocqueville Alexis Trust [File No. 811-8428][Rel No. IC-28031]
Franklin Templeton High Yield Trust [File No. 811-21358][Rel No. IC-
28032]
Value Line U.S. Multinational Company Fund, Inc. [File No. 811-
7311][Rel No. IC-28033]
Advantage Advisers Troon Fund, L.L.C. [File No. 811-8003][Rel No. IC-
28034]
Excelsior Directional Hedge Fund of Funds NewSub, LLC [File No. 811-
22055][Rel No. IC-28035]
Federated Capital Income Fund, Inc. [File No. 811-5114][Rel No. IC-
28036]
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A proposed rule change (SR-Amex-2007-111) filed by the American Stock
Exchange to enable settlements of disciplinary matters to be
considered for approval or rejection by exchange hearing officers
without the need to convene a formal hearing 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
October 29. (Rel. 34-56707)
A proposed rule change filed by the New York Stock Exchange relating
to Rule Rule 18 (Compensation in Relation to Exchange System Failure)
(SR-NYSE-2007-95) has become effective pursuant to Section 19(b)(3)(A)
of the Securities Exchange Act of 1934. Publication is expected in the
Federal Register during the week of October 29. (Rel. 34-56718)
A proposed rule change (SR-ISE-2007-91), as modified by Amendment No.
1, filed by the International Securities Exchange relating to API Fees
has become effective pursuant to Section 19(b)(3)(A) of the Securities
Exchange Act of 1934. Publication is expected in the Federal Register
during the week of October 29. (Rel. 34-56721)
APPROVAL OF PROPOSED RULE CHANGE
The Commission approved a proposed rule change (SR-NYSE-2007-83)
submitted by the New York Stock Exchange relating to NYSE Rule 104.10
("Dealings by Specialists"). Publication is expected in the Federal
Register during the week of October 29. (Rel. 34-56711)
PROPOSED RULE CHANGES
The Philadelphia Stock Exchange filed a proposed rule change (SR-Phlx-
2007-70) and Amendment No. 1, relating to Rule 1034, Minimum Incre
ments. Publication is expected in the Federal Register during the week
of October 29. (Rel. 34-56714)
The Commission issued notice of filing of a proposed rule change, as
modified by Amendment Nos. 1 and 2 thereto (SR-Amex-2007-98), filed by
the American Stock Exchange relating to the listing and trading of
units of the United States 12 Month Oil Fund, LP and the United States
12 Month Natural Gas Fund, LP. Publication is expected in the Federal
Register during the week of October 29. (Rel. 34-56719)
ACCELERATED APPROVAL OF PROPOSED RULE CHANGE
The Commission granted accelerated approval to a proposed rule change
(SR-Phlx-2007-73) and Amendment No. 1 thereto submitted by the
Philadelphia Stock Exchange to list and trade options already listed
on another national securities exchange. Publication is expected in
the Federal Register during the week of October 29. (Rel. 34-56717)
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 GOLDEN EAGLE INTERNATIONAL INC, 9661 SOUTH 700 EAST, SALT LAKE CITY,
UT, 84070, 8016199320 - 20,000,000 ($260,000.00) Equity,
(File 333-147003 - Oct. 30) (BR. 04B)
S-8 Encore Energy Partners LP, 777 MAIN STREET, SUITE 1400, FORT WORTH, TX,
76102, 817-877-9955 - 0 ($23,149,500.00) Equity, (File 333-147004 -
Oct. 30) (BR. 04B)
S-1 RXI PHARMACEUTICALS CORP, ONE INNOVATION DR, WORCESTER, MA, 01605,
617-733-4774 - 0 ($11,039,663.00) Equity, (File 333-147009 - Oct. 30)
(BR. 01)
S-1 HK Energy Partners LP, 1000 LOUISIANA, SUITE 5810, HOUSTON, TX, 77002,
(832) 204-2700 - 0 ($212,750,000.00) Limited Partnership Interests,
(File 333-147011 - Oct. 30) (BR. 04)
S-8 ADVANCED PHOTONIX INC, 2925 BOARDWALK, ANN ARBOR, MI, 48104,
7348645647 - 2,500,000 ($6,825,000.00) Equity, (File 333-147012 -
Oct. 30) (BR. 10A)
S-8 EMCOR GROUP INC, 301 MERRITT SEVEN CORPORATE PK, 6TH FLOOR, NORWALK,
CT, 06851, 203-849-7800 - 1,495,000 ($51,143,950.00) Equity,
(File 333-147015 - Oct. 30) (BR. 06B)
S-3ASR STARWOOD HOTEL & RESORTS WORLDWIDE INC, 1111 WESTCHESTER AVENUE,
WHITE PLAINS, NY, 10604, 9146408100 - 134,420 ($7,464,342.60) Equity,
(File 333-147017 - Oct. 30) (BR. 08C)
S-3 GERON CORP, 230 CONSTITUTION DRIVE, MENLO PARK, CA, 94025, 6504737700 -
50,000 ($367,500.00) Other, (File 333-147018 - Oct. 30) (BR. 01A)
S-1 PROSPER MARKETPLACE INC, 111 SUTTER STREET, 22ND FLOOR, SAN FRANCISCO,
CA, 94104, 415-593-5400 - 0 ($500,000,000.00) Other, (File 333-147019 -
Oct. 30) (BR. 07)
F-3ASR TAM S.A., AV. JURANDIR, N. 856, LOTE 4, SAO PAULO - SP, D5, 04072-000,
551155828817 - 0 ($0.00) Other, (File 333-147020 - Oct. 30) (BR. 05C)
S-8 GENOPTIX INC, 3398 CARMEL MOUNTAIN ROAD, SAN DIEGO, CA, 92121,
8585235000 - 0 ($41,800,593.00) Equity, (File 333-147021 - Oct. 30)
(BR. 09)
S-1 Storm Cat Energy CORP, 1125 SEVENTEENTH STREET, SUITE 2310, DENVER, CO,
80202, 303-991-5070 -
21,857,185 ($14,425,742.00) Debt Convertible into Equity,
(File 333-147023 - Oct. 30) (BR. 04A)
F-3 XTL BIOPHARMACEUTICALS LTD, 711 EXECUTIVE BOULEVARD, SUITE Q,
VALLEY COTTAGE, NY, 10989, 972-8-930-4440 -
72,485,020 ($12,902,334.00) Equity, (File 333-147024 - Oct. 30)
(BR. 01C)
S-1 SOI Holdings, Inc., 5260 PARKWAY PLAZA BOULEVARD, SUITE 140, CHARLOTTE,
NC, 28217, 704-523-2191 - 0 ($86,250,000.00) Equity, (File 333-147025 -
Oct. 30) (BR. 11)
S-8 Pzena Investment Management, Inc., 120 WEST 45TH STREET, 20TH FLOOR,
NEW YORK, NY, 10036, 212-355-1600 - 0 ($12,631,476.00) Equity,
(File 333-147027 - Oct. 30) (BR. 06C)
S-8 VALIDUS HOLDINGS LTD, 19 PAR-LA-VILLE ROAD, HAMILTON HM11 BERMUDA, D0,
00000, 441-278-9000 - 131,184,039 ($337,492,541.10) Equity,
(File 333-147028 - Oct. 30) (BR. 01C)
S-3 EnerSys, 2366 BERNVILLE ROAD, READING, PA, 19605, (610) 208-1600 -
22,202,332 ($408,966,955.44) Equity, (File 333-147029 - Oct. 30)
(BR. 10A)
SB-2 IVPSA CORP, 2235 E. FLAMINGO, SUITE 114, LAS VEGAS, NV, 89119,
702-732-4023 - 6,873,750 ($137,475.00) Equity, (File 333-147030 -
Oct. 30) (BR. 10)
S-1 Global Employment Holdings, Inc., C/O DAN HOLLENBACH,
10375 PARK MEADOWS DRIVE, SUITE 375, LONE TREE, CO, 80124,
303-200-1545 - 0 ($7,432,647.25) Equity, (File 333-147031 - Oct. 30)
(BR. 11C)
RECENT 8K FILINGS
Form 8-K is used by companies to file current reports on the following
events:
1.01 Entry into a Material Definitive Agreement
1.02 Termination of a Material Definitive Agreement
1.03 Bankruptcy or Receivership
2.01 Completion of Acquisition or Disposition of Assets
2.02 Results of Operations and Financial Condition
2.03 Creation of a Direct Financial Obligation or an Obligation under an
Off-Balance Sheet Arrangement of a Registrant
2.04 Triggering Events That Accelerate or Increase a Direct Financial Obligation
under an Off-Balance Sheet Arrangement
2.05 Cost Associated with Exit or Disposal Activities
2.06 Material Impairments
3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or
Standard; Transfer of Listing
3.02 Unregistered Sales of Equity Securities
3.03 Material Modifications to Rights of Security Holders
4.01 Changes in Registrant's Certifying Accountant
4.02 Non-Reliance on Previously Issued Financial Statements or a Related Audit
Report or Completed Interim Review
5.01 Changes in Control of Registrant
5.02 Departure of Directors or Principal Officers; Election of Directors;
Appointment of Principal Officers
5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
5.04 Temporary Suspension of Trading Under Registrant's Employee Benefit Plans
5.05 Amendments to the Registrant's Code of Ethics, or Waiver of a
Provision of the Code of Ethics
6.01. ABS Informational and Computational Material.
6.02. Change of Servicer or Trustee.
6.03. Change in Credit Enhancement or Other External Support.
6.04. Failure to Make a Required Distribution.
6.05. Securities Act Updating Disclosure.
7.01 Regulation FD Disclosure
8.01 Other Events
9.01 Financial Statements and Exhibits
8-K reports may be obtained in person or by writing to the
Commission's Public Reference Branch at 100 F Street, N.E.,
Washington, D.C. 20549-1090 or at the following e-mail box address:
publicinfo@sec.gov. In most cases, this information is also available
on the Commission's website: www.sec.gov.
STATE
NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT
----------------------------------------------------------------------------------------------------
ABLEAUCTIONS COM INC FL 8.01,9.01 10/30/07
AES CORP DE 8.01,9.01 10/30/07
AGCO CORP /DE DE 2.02,9.01 10/30/07
AGILYSYS INC OH 5.02,9.01 10/29/07
AIRVANA INC DE 2.02,9.01 10/30/07
AKORN INC LA 1.01,9.01 10/24/07
ALASKA PACIFIC BANCSHARES INC AK 5.02 10/30/07
ALCAN INC A6 5.01,5.02 10/30/07
ALCiS Health, Inc. DE 5.02 10/24/07
Aldabra 2 Acquisition Corp. DE 8.01,9.01 10/30/07
ALEXANDERS J CORP TN 2.02,5.03,7.01,9.01 10/25/07
Allegiant Travel CO NV 2.02,5.02,9.01 10/25/07
ALLERGAN INC DE 5.03,9.01 10/30/07
ALPHARMA INC DE 2.02,9.01 10/29/07
Alyst Acquisition Corp. DE 5.03,9.01 10/30/07
AMBAC FINANCIAL GROUP INC DE 5.02 10/22/07
AMBASSADORS INTERNATIONAL INC DE 5.02,9.01 10/25/07
AMEDISYS INC DE 2.02,7.01,9.01 10/30/07
AMEREX GROUP, INC. OK 5.02 10/27/07
AMERICA SERVICE GROUP INC /DE DE 2.02,9.01 10/30/07
AMERICAN AMMUNITION INC/FL NV 3.02 10/30/07
AMERICAN AXLE & MANUFACTURING HOLDING DE 7.01,9.01 10/30/07
AMERICAN AXLE & MANUFACTURING HOLDING DE 2.02,7.01,9.01 10/30/07
American Caresource Holdings, Inc. DE 2.02,9.01 10/15/07
AMERICAN COMMUNITY BANCSHARES INC NC 8.01,9.01 10/29/07
AMERICAN DENTAL PARTNERS INC DE 2.02,2.06,5.03,7.01,9.01 10/26/07
American Express Receivables Financin DE 8.01,9.01 10/29/07
AMERICAN FINANCIAL GROUP INC OH 2.02,9.01 09/30/07
AMERICAN PHYSICIANS CAPITAL INC MI 1.02,8.01,9.01 10/25/07
AMERICAN SAFETY INSURANCE HOLDINGS LT 2.02 10/30/07
AMERICAN VANGUARD CORP DE 8.01,9.01 10/29/07
Amiworld, Inc. NV 3.02 10/29/07
AMN HEALTHCARE SERVICES INC DE 2.02,9.01 10/30/07
AMSURG CORP TN 7.01,9.01 10/30/07
ANSWERTHINK INC FL 2.02,8.01,9.01 09/24/07
APOLLO GROUP INC AZ 8.01,9.01 10/30/07
APPLEBEES INTERNATIONAL INC DE 2.02,9.01 09/30/07
APPLEBEES INTERNATIONAL INC DE 8.01,9.01 10/29/07
APPLEBEES INTERNATIONAL INC DE 8.01,9.01 10/30/07
ARROWHEAD RESEARCH CORP DE 1.01,9.01 10/24/07
ARVINMERITOR INC IN 1.01,9.01 10/26/07
ASBURY AUTOMOTIVE GROUP INC DE 2.02,7.01,9.01 10/30/07
ASHWORTH INC DE 1.01,5.02,9.01 10/24/07
ATC HEALTHCARE INC /DE/ DE 3.01,9.01 10/24/07
ATMEL CORP DE 2.02,5.02,9.01 10/30/07
AUTOMATIC DATA PROCESSING INC DE 2.02,9.01 10/30/07
AVI BIOPHARMA INC OR 1.01,5.02,9.01 10/26/07
AVON PRODUCTS INC NY 2.02,9.01 10/30/07
AXIS CAPITAL HOLDINGS LTD 2.02,9.01 10/29/07
BALSAM VENTURES INC NV 4.01,9.01 10/24/07
BANCORP RHODE ISLAND INC 5.02,9.01 10/24/07 AMEND
BankFinancial CORP 7.01,9.01 10/30/07
BARRIER THERAPEUTICS INC DE 2.02,9.01 10/30/07
BE AEROSPACE INC DE 2.02,9.01 10/30/07
BEAZER HOMES USA INC DE 1.01,3.01,9.01 10/26/07
BECKMAN COULTER INC DE 2.02,9.01 10/30/07
BEMIS CO INC MO 2.02,9.01 10/30/07
BigBand Networks, Inc. DE 2.02,2.05,5.02,9.01 10/30/07
BIOLIFE SOLUTIONS INC DE 1.01 10/26/07
BJ SERVICES CO DE 2.02 10/30/07
BLACK BOX CORP DE 2.02,9.01 10/30/07
BlackRock Inc. DE 5.02,9.01 10/30/07
BOE FINANCIAL SERVICES OF VIRGINIA IN VA 2.02,9.01 10/29/07
BOOKHAM, INC. DE 8.01,9.01 10/29/07
BOSTON BEER CO INC MA 5.02 10/29/07
BRADLEY PHARMACEUTICALS INC DE 1.01,5.01,9.01 10/29/07
Bridgeline Software, Inc. DE 5.03,9.01 10/26/07
BROOKFIELD HOMES CORP DE 2.02,9.01 10/26/07
BROWN & BROWN INC FL 5.02,7.01,9.01 10/24/07
BRUSH ENGINEERED MATERIALS INC 7.01,9.01 10/30/07
BUFFALO WILD WINGS INC MN 2.02,8.01,9.01 10/30/07
C & F FINANCIAL CORP VA 2.02,9.01 10/26/07
C&D TECHNOLOGIES INC DE 1.01,2.01,2.05,2.06,9.01 10/24/07
CALIFORNIA WATER SERVICE GROUP DE 5.03,8.01,9.01 10/24/07
CAMDEN NATIONAL CORP ME 2.02,9.01 10/30/07
CAPITAL ONE FINANCIAL CORP DE 5.02,9.01 10/24/07
CAPITAL ONE FUNDING, LLC 8.01,9.01 10/29/07
CAPRIUS INC DE 8.01,9.01 10/26/07
Cardiac Science CORP 2.02,9.01 10/30/07
CARDTREND INTERNATIONAL INC. NV 1.01,2.01,9.01 10/30/07
CARRIER ACCESS CORP DE 2.02,9.01 10/30/07
CB Financial CORP NC 8.01,9.01 10/30/07
CB RICHARD ELLIS GROUP INC DE 2.02,9.01 10/29/07
CBIZ, Inc. DE 2.02,9.01 10/25/07
CENTRAL EUROPEAN DISTRIBUTION CORP DE 2.02,7.01,9.01 10/30/07
CENTRAL PACIFIC FINANCIAL CORP HI 9.01 09/30/07
CENTRAL PACIFIC FINANCIAL CORP HI 2.02,9.01 09/30/07
CERADYNE INC DE 2.02,9.01 10/30/07
CERUS CORP DE 2.02,9.01 10/30/07
CF Industries Holdings, Inc. DE 5.03,5.05,9.01 10/24/07
China Public Security Technology, Inc 1.01,3.02,9.01 10/30/07
CHINA SECURITY & SURVEILLANCE TECHNOL D8 5.02,5.05,8.01,9.01 10/29/07
CHIPOTLE MEXICAN GRILL INC 2.02,9.01 10/30/07
CIGNUS VENTURES INC. NV 4.01,9.01 10/24/07
CINCINNATI FINANCIAL CORP OH 7.01,9.01 10/24/07
CIT GROUP INC DE 8.01,9.01 10/29/07
CLAIBORNE LIZ INC DE 2.02,9.01 10/30/07
CLINICAL DATA INC DE 1.01,2.01,9.01 10/25/07
CNL INCOME PROPERTIES INC MD 1.01 10/29/07
COACHMEN INDUSTRIES INC IN 2.02,7.01,9.01 10/30/07
COACTIVE MARKETING GROUP INC DE 5.02 10/24/07
COCA COLA BOTTLING CO CONSOLIDATED /D DE 2.02,9.01 10/26/07
COGNOS INC CA 2.01,9.01 10/25/07
COLGATE PALMOLIVE CO DE 2.02,9.01 10/30/07
COLLECTIVE BRANDS, INC. DE 9.01 10/30/07 AMEND
Collexis Holdings, Inc. 4.02 10/24/07
COMMERCIAL METALS CO DE 2.02,9.01 10/30/07
COMMSCOPE INC DE 2.02,9.01 10/30/07
COMMUNITY CENTRAL BANK CORP MI 2.02,9.01 10/29/07
COMMUNITY HEALTH SYSTEMS INC DE 2.02,7.01,9.01 10/30/07
COMMVAULT SYSTEMS INC DE 2.02,9.01 10/30/07
COMPX INTERNATIONAL INC DE 1.01,2.03,3.02,5.03,9.01 10/24/07
COOPER COMPANIES INC DE 1.01,3.03,5.03,9.01 10/25/07
COOPERATIVE BANKSHARES INC NC 2.02,9.01 10/30/07
Copano Energy, L.L.C. DE 9.01 10/19/07 AMEND
CORINTHIAN COLLEGES INC 2.02 10/30/07
CORN PRODUCTS INTERNATIONAL INC DE 2.02,7.01 10/30/07
CORN PRODUCTS INTERNATIONAL INC DE 5.02 10/24/07
CORVEL CORP DE 2.02,9.01 10/30/07
COVAD COMMUNICATIONS GROUP INC DE 2.02,9.01 10/30/07
CRESCENT FINANCIAL CORP NC 5.02 10/24/07
CUBIST PHARMACEUTICALS INC DE 1.01 10/25/07
CURIS INC DE 2.02,9.01 10/30/07
CVB FINANCIAL CORP CA 2.02 10/17/07
CWABS Asset-Backed Certificates Trust DE 9.01 10/30/07
CWALT INC DE 9.01 10/30/07
CWMBS INC DE 9.01 10/30/07
CWMBS INC DE 9.01 10/30/07
CYCLE COUNTRY ACCESSORIES CORP NV 2.01,8.01,9.01 10/26/07
CYTRX CORP DE 8.01,9.01 10/30/07
DADE BEHRING HOLDINGS INC DE 2.02,9.01 10/29/07
Data Domain, Inc. DE 2.02,4.02,9.01 10/25/07
DCP Midstream Partners, LP DE 5.02 10/24/07
DDI CORP CA 2.02,9.01 10/30/07
DELL INC DE 8.01,9.01 10/30/07
DELPHI CORP DE 7.01,9.01 10/30/07
DELTIC TIMBER CORP DE 2.02,9.01 10/29/07
DEVELOCAP INC NV 4.01,9.01 10/30/07
DEXCOM INC 2.02,9.01 10/30/07
DIVX INC 1.01 10/24/07
DIXIE GROUP INC TN 2.02,9.01 10/30/07
DOCUMENT SCIENCES CORP DE 2.02,9.01 10/30/07
DOCUMENT SCIENCES CORP DE 5.02 10/24/07
DOLLAR TREE STORES INC VA 7.01,9.01 10/30/07
DOUBLE EAGLE PETROLEUM CO MD 7.01,9.01 10/29/07
DreamWorks Animation SKG, Inc. 2.02,9.01 10/30/07
DRESS BARN INC CT 2.02 10/29/07
Duke Energy CORP DE 5.02,9.01 10/24/07
DUPONT FABROS TECHNOLOGY, INC. MD 1.01,2.03,9.01 10/24/07
DUSA PHARMACEUTICALS INC NJ 1.01,3.02,8.01,9.01 10/29/07
E-Z-EM, Inc. DE 1.01,7.01,8.01,9.01 10/30/07
EAGLE BANCORP INC MD 5.03,9.01 10/17/07
EFJ INC DE 2.02,9.01 10/30/07
EMCOR GROUP INC DE 2.02,9.01 09/30/07
EMS TECHNOLOGIES INC GA 2.02,9.01 10/30/07
EN POINTE TECHNOLOGIES INC DE 1.01 10/29/07
ENBRIDGE ENERGY PARTNERS LP DE 7.01,9.01 10/30/07
ENCISION INC CO 5.03,9.01 10/24/07
ENDOLOGIX INC /DE/ DE 2.02,9.01 10/25/07
Energy Future Holdings Corp /TX/ TX 7.01,9.01 10/17/07 AMEND
Energy Transfer Partners, L.P. DE 5.02 10/30/07
ENERGYSOUTH INC AL 5.03,9.01 10/26/07
ENVIRONMENTAL POWER CORP DE 8.01 10/27/07
ENZON PHARMACEUTICALS INC DE 2.02,9.01 10/30/07
EQUINIX INC DE 2.02,2.03,9.01 10/25/07
EQUITY INNS INC TN 3.01,5.01,5.02,5.03 10/25/07
ESS TECHNOLOGY INC CA 1.01,2.01,2.02,9.01 10/26/07
ETHAN ALLEN INTERIORS INC DE 5.02 10/29/07
Extra Space Storage Inc. MD 2.02,9.01 10/30/07
FAIR ISAAC CORP DE 2.02,9.01 10/30/07
FARMERS & MERCHANTS BANCORP DE 2.02,9.01 10/29/07
FASHION TECH INTERNATIONAL INC NV 3.02,5.01,5.02 10/24/07
FBL FINANCIAL GROUP INC IA 2.02 10/30/07
Federal Home Loan Bank of Atlanta X1 2.03 10/24/07
Federal Home Loan Bank of Boston X1 2.03 10/24/07
Federal Home Loan Bank of Chicago X1 2.03 10/24/07
Federal Home Loan Bank of Chicago X1 2.02,7.01,9.01 10/30/07
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 10/25/07
Federal Home Loan Bank of Des Moines X1 2.03,9.01 10/26/07
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 10/24/07
Federal Home Loan Bank of New York X1 2.03,9.01 10/24/07
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 10/24/07
Federal Home Loan Bank of San Francis X1 2.03 10/26/07
Federal Home Loan Bank of Seattle 2.03 10/29/07
Federal Home Loan Bank of Seattle 7.01,9.01 10/30/07
Federal Home Loan Bank of Seattle 5.02,9.01 10/30/07
Federal Home Loan Bank of Topeka 2.03 10/24/07
FEI CO OR 2.02,9.01 10/30/07
FENTURA FINANCIAL INC MI 2.02,9.01 10/26/07
FIRST BUSEY CORP /NV/ NV 2.02 09/30/07
FIRST NIAGARA FINANCIAL GROUP INC DE 2.02,9.01 10/26/07
FIRST STATE BANCORPORATION NM 2.02,9.01 10/29/07
FIRSTENERGY CORP OH 2.02,9.01 10/30/07
FIRSTPLUS FINANCIAL GROUP INC NV 8.01 10/12/07
FLUSHING FINANCIAL CORP DE 5.04 10/29/07
FMC TECHNOLOGIES INC DE 2.02,9.01 10/29/07
FORWARD AIR CORP TN 8.01,9.01 10/30/07
FPIC INSURANCE GROUP INC FL 7.01,9.01 10/30/07
FPIC INSURANCE GROUP INC FL 2.02,9.01 10/30/07
FPL GROUP INC FL 2.02,9.01 10/30/07
FRANKLIN BANK CORP 2.02,9.01 10/29/07
FRANKLIN STREET PROPERTIES CORP /MA/ 2.02,9.01 10/30/07
FREEHAND SYSTEMS INTERNATIONAL, INC. DE 8.01 10/29/07
FreightCar America, Inc. DE 2.02,9.01 10/30/07
FULTON FINANCIAL CORP PA 7.01,9.01 10/30/07
FUSHI INTERNATIONAL INC NV 5.02,9.01 10/24/07
G&K SERVICES INC MN 2.02,9.01 10/30/07
GARTNER INC DE 2.02,9.01 10/30/07
GEN PROBE INC DE 2.02,9.01 10/30/07
GENELABS TECHNOLOGIES INC /CA CA 5.02,9.01 10/24/07
GENESEE & WYOMING INC DE 5.02 10/24/07
GENLYTE GROUP INC DE 2.02,9.01 10/29/07
GENOMIC HEALTH INC 2.02,9.01 10/30/07
GENTA INC DE/ DE 5.02,9.01 10/24/07
Georgetown Bancorp, Inc. X1 5.03,9.01 10/23/07
Geovax Labs, Inc. IL 8.01,9.01 10/29/07
GERMAN AMERICAN BANCORP, INC. IN 2.02,8.01,9.01 10/30/07
GETTY REALTY CORP /MD/ MD 2.02,9.01 10/30/07
GLADSTONE COMMERCIAL CORP MD 2.02,9.01 10/30/07
GoFish Corp. 1.01,5.02,9.01 10/24/07
GOODYEAR TIRE & RUBBER CO /OH/ OH 2.02,9.01 10/30/07
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 10/26/07
GREAT PLAINS ENERGY INC MO 2.02,9.01 10/30/07
Greenwich Capital Commercial Funding 9.01 10/30/07
GROUP 1 AUTOMOTIVE INC DE 2.02,9.01 10/30/07
GSAA Home Equity Trust 2007-10 DE 9.01 10/30/07
GULF ISLAND FABRICATION INC LA 8.01,9.01 10/29/07
GULFPORT ENERGY CORP DE 5.02 10/29/07
HANOVER INSURANCE GROUP, INC. DE 2.02,8.01,9.01 10/29/07
HARMAN INTERNATIONAL INDUSTRIES INC / DE 5.02 10/26/07
HARTFORD LIFE INSURANCE CO CT 9.01 10/30/07
HAWAIIAN HOLDINGS INC DE 2.02,9.01 10/30/07
HCP, INC. MD 2.02,9.01 10/29/07
HEADWATERS INC DE 5.02,9.01 10/26/07
HEIDRICK & STRUGGLES INTERNATIONAL IN DE 2.02,9.01 10/30/07
HENRY JACK & ASSOCIATES INC DE 2.02,9.01 10/29/07
HERCULES OFFSHORE, INC. DE 2.02,9.01 10/30/07
HERITAGE BANKSHARES INC /VA VA 2.02,9.01 10/29/07
HOLLY ENERGY PARTNERS LP DE 2.02,9.01 10/30/07
HSI Asset Loan Obligation Trust 2007- 8.01,9.01 10/30/07
HUMANA INC DE 5.02 10/25/07
HUNTINGTON BANCSHARES INC/MD MD 9.01 07/01/07 AMEND
I MANY INC DE 2.02,9.01 10/30/07
ICAD INC DE 5.02 10/25/07
IDT CORP DE 8.01 10/24/07
IHOP CORP DE 8.01,9.01 10/30/07
IMMUCOR INC GA 8.01,9.01 10/26/07
INDUSTRIAL DISTRIBUTION GROUP INC DE 2.02 10/30/07
INFINITY PHARMACEUTICALS, INC. DE 2.02,5.02,8.01,9.01 10/25/07
INFOCUS CORP OR 2.02,9.01 10/30/07
Ingen Technologies, Inc. 1.01,9.01 10/25/07
INSITUFORM TECHNOLOGIES INC DE 2.02,9.01 10/24/07
INTEGRA LIFESCIENCES HOLDINGS CORP DE 2.01,9.01 10/30/07
INTEGRATED SILICON SOLUTION INC DE 2.02 10/30/07
International Power Group, Ltd. DE 5.02 10/30/07
Intersearch Group Inc FL 5.02 10/30/07
INTRAOP MEDICAL CORP 3.02,8.01,9.01 10/24/07
INVACARE CORP OH 2.02,9.01 10/30/07
INVENTURE GROUP, INC. DE 2.02,9.01 10/30/07
INVITROGEN CORP DE 2.02,9.01 10/30/07
IR BIOSCIENCES HOLDINGS INC DE 1.01,9.01 10/25/07
J P MORGAN CHASE & CO DE 9.01 10/26/07
JABIL CIRCUIT INC DE 5.03,9.01 10/25/07
JARDEN CORP DE 2.02,9.01 10/30/07
JOE'S JEANS INC. DE 1.01,1.02,9.01 10/24/07
KANA SOFTWARE INC DE 2.02,9.01 10/30/07
KANSAS CITY LIFE INSURANCE CO MO 5.03 10/30/07
KAYDON CORP DE 5.02 10/25/07
KELLWOOD CO DE 5.02,9.01 10/29/07
KENTUCKY BANCSHARES INC /KY/ KY 2.02,9.01 10/30/07
KEY ENERGY SERVICES INC MD 2.02,5.02,7.01,9.01 10/27/07
KEY TRONIC CORP WA 2.02,9.01 10/30/07
KITTY HAWK INC DE 8.01,9.01 10/29/07
KMA GLOBAL SOLUTIONS INTERNATIONAL IN 5.02 10/24/07
KONA GRILL INC DE 2.02,9.01 10/29/07
LACROSSE FOOTWEAR INC WI 2.02,9.01 10/30/07
LANDAMERICA FINANCIAL GROUP INC VA 2.02,9.01 10/30/07
LANDMARK BANCORP INC DE 2.02,8.01,9.01 10/30/07
LCA VISION INC DE 2.02,9.01 10/30/07
LECG CORP DE 2.02,9.01 10/30/07
LEHMAN BROTHERS HOLDINGS INC DE 9.01 10/26/07
Lev Pharmaceuticals Inc DE 8.01,9.01 10/30/07
LEXICON PHARMACEUTICALS, INC./DE DE 2.02,9.01 10/30/07
LEXINGTON PRECISION CORP DE 1.01,3.02 09/27/07
LHC Group, Inc 1.01,5.02,9.01 10/30/07
LIGHTPATH TECHNOLOGIES INC DE 8.01 10/24/07
LSI CORP DE 2.01,9.01 10/24/07
LUBYS INC DE 1.01,3.03,9.01 10/29/07
M I HOMES INC OH 2.02,9.01 10/30/07
MAGNACHIP SEMICONDUCTOR LLC 2.02,9.01 10/25/07
Magyar Bancorp, Inc. DE 5.02,9.01 10/26/07
Marine Exploration Inc CO 8.01 10/29/07
MARRIOTT INTERNATIONAL INC /MD/ DE 8.01,9.01 10/30/07
MARTIN MARIETTA MATERIALS INC NC 2.02,7.01,9.01 10/30/07
MASCO CORP /DE/ DE 2.02,9.01 10/30/07
MASIMO CORP DE 2.02,9.01 10/30/07
MATHSTAR INC MN 8.01,9.01 10/30/07
MATRITECH INC/DE/ DE 2.02,8.01,9.01 10/30/07
MAXLIFE FUND CORP. WY 8.01 10/24/07
MAXWELL TECHNOLOGIES INC DE 2.02,9.01 10/30/07
MCCORMICK & CO INC MD 5.02,9.01 10/25/07
MCKESSON CORP DE 2.02,9.01 10/30/07
MENTOR CORP /MN/ MN 5.02,9.01 10/30/07
MERCHANTS & MANUFACTURERS BANCORPORAT WI 2.01,9.01 10/25/07
MERCHANTS BANCSHARES INC DE 2.02,9.01 10/29/07
MERGE TECHNOLOGIES INC WI 2.02,9.01 10/29/07
MERRILL LYNCH & CO INC DE 5.02,5.03,9.01 10/30/07
MF Global Ltd. D0 2.02,9.01 10/30/07
MGM MIRAGE DE 2.02,9.01 10/30/07
MIDAMERICAN ENERGY HOLDINGS CO /NEW/ IA 8.01,9.01 10/30/07
MIDDLESEX WATER CO NJ 8.01,9.01 10/30/07
MIDWEST AIR GROUP INC WI 8.01,9.01 10/30/07
MOMENTA PHARMACEUTICALS INC DE 5.02 10/25/07
MOMENTA PHARMACEUTICALS INC DE 5.02 10/26/07 AMEND
MONOLITHIC POWER SYSTEMS INC CA 2.02,5.02,9.01 10/25/07
MoSys, Inc. CA 2.02,9.01 10/30/07
MPHASE TECHNOLOGIES INC NJ 8.01 10/29/07
MS STRUCTURED ASSET CORP CBT SERIES 2 DE 8.01,9.01 10/25/07
MYCOM GROUP INC /NV/ NV 1.01,5.02,9.01 10/29/07
NACCO INDUSTRIES INC DE 2.02,9.01 10/30/07
NACCO INDUSTRIES INC DE 2.02,7.01,9.01 10/30/07
NANOMETRICS INC DE 2.02,9.01 10/30/07
NATIONAL CITY AUTO RECEIVABLES TRUST 8.01,9.01 10/15/07
NATIONAL DENTEX CORP /MA/ MA 1.01,2.03,9.01 10/24/07
NATIONAL LAMPOON INC CA 5.02 10/30/07
NATIONAL RETAIL PROPERTIES, INC. MD 1.01,2.03 10/26/07
NAUTILUS, INC. WA 1.01,3.03,9.01 10/29/07
NAVIGATORS GROUP INC DE 2.02,7.01,8.01 10/29/07
NCI, Inc. DE 2.02,7.01,9.01 10/30/07
Neiman Marcus, Inc. DE 5.02,9.01 10/30/07
NETWOLVES CORP NY 8.01 10/29/07
NETWORK CAPITAL INC MN 4.01,5.01,5.02,9.01 08/02/07
NETWORK EQUIPMENT TECHNOLOGIES INC DE 5.02,5.03,9.01 10/24/07
NeuroMetrix, Inc. 2.02,9.01 10/30/07
NEVADA GOLD & CASINOS INC NV 1.01,9.01 10/30/07
NEWMARKET CORP VA 2.02,9.01 10/30/07
Newport Bancorp Inc 2.02,9.01 10/30/07
NEWPORT CORP NV 2.02,9.01 10/30/07
NextMart Inc. DE 2.02 10/30/07
NMS COMMUNICATIONS CORP DE 2.02,7.01,9.01 10/30/07
NNN 2003 VALUE FUND LLC 1.01,2.03,9.01 10/24/07
NNN Healthcare/Office REIT, Inc. MD 2.03 10/19/07 AMEND
North American Insurance Leaders, Inc 8.01,9.01 10/19/07
NORTHEAST COMMUNITY BANCORP INC X1 5.03,9.01 10/28/07
NOVELL INC DE 8.01,9.01 10/23/07
NUTECH DIGITAL INC CA 4.01,9.01 10/05/07
OCCAM NETWORKS INC/DE DE 8.01,9.01 10/25/07
OccuLogix, Inc. DE 1.01 10/29/07
ODYNE CORP 3.02,9.01 10/26/07
OI CORP OK 1.01,9.01 10/30/07
OLD LINE BANCSHARES INC 2.02 10/30/07
OLIN CORP VA 1.01,1.02,2.03,7.01,9.01 10/29/07
Omniture, Inc. DE 2.02,9.01 10/30/07
ON SEMICONDUCTOR CORP DE 2.02,9.01 10/30/07
ONLINE GAMING SYSTEMS LTD \ DE 4.01,9.01 12/02/03
ONLINE RESOURCES CORP DE 8.01 10/30/07
Onstream Media CORP FL 7.01 10/30/07
ONVIA INC DE 2.02,9.01 10/30/07
OPTICAL CABLE CORP VA 1.01 10/26/07
ORAMED PHARMACEUTICALS INC. NV 5.02 10/23/07
ORASURE TECHNOLOGIES INC DE 2.02,9.01 10/30/07
ORASURE TECHNOLOGIES INC DE 7.01,9.01 10/30/07
ORIENTAL FINANCIAL GROUP INC PR 2.02,9.01 10/29/07
OUTDOOR CHANNEL HOLDINGS INC 5.02,9.01 10/24/07
OVERLAND STORAGE INC CA 2.02,9.01 10/30/07
PACIFIC SUNWEAR OF CALIFORNIA INC CA 5.02,9.01 10/29/07
PACKETEER INC DE 8.01 10/30/07
PACKETPORT COM NV 8.01 10/29/07
PALADIN REALTY INCOME PROPERTIES INC MD 8.01 10/30/07
PALM INC DE 1.01,2.03,3.02,3.03,5.02, 10/24/07
5.03,9.01
PANHANDLE OIL & GAS INC OK 5.02,7.01,9.01 10/30/07
PATRICK INDUSTRIES INC IN 8.01,9.01 10/30/07
Patriot Coal CORP DE 5.02,8.01,9.01 10/29/07
PATRIOT NATIONAL BANCORP INC CT 2.02,9.01 10/29/07
PC MALL INC DE 2.02,9.01 10/30/07
PDL BIOPHARMA, INC. DE 1.01,5.02 10/24/07
PEAK INTERNATIONAL LTD D0 5.02,9.01 10/25/07
Peak Resources INC NV 1.01,9.01 10/29/07
PENGRAM CORP NV 4.01,9.01 10/24/07
PENNSYLVANIA REAL ESTATE INVESTMENT T PA 2.02,9.01 10/30/07
PERICOM SEMICONDUCTOR CORP CA 2.02,9.01 10/30/07
PEROT SYSTEMS CORP DE 2.02,9.01 10/30/07
PERRIGO CO MI 7.01,9.01 10/30/07
PFIZER INC DE 5.02,5.03,9.01 10/25/07
PHARMOS CORP NV 5.03,8.01,9.01 10/24/07
PLATINUM ENERGY RESOURCES INC DE 8.01,9.01 10/26/07
PLAYLOGIC ENTERTAINMENT INC DE 4.02,9.01 10/23/07
PLY GEM HOLDINGS INC DE 8.01,9.01 10/26/07
PMC SIERRA INC DE 8.01 10/26/07
PMI GROUP INC DE 2.02,9.01 10/30/07
POLYONE CORP 2.02,9.01 10/30/07
POST PROPERTIES INC GA 2.02,9.01 10/30/07
Power Medical Interventions, Inc. DE 1.01,9.01 10/25/07
PREMIER EXHIBITIONS, INC. 8.01,9.01 10/30/07
PREMIER EXHIBITIONS, INC. 8.01,9.01 10/30/07
PRG SCHULTZ INTERNATIONAL INC GA 2.02,9.01 10/29/07
PRINCIPAL FINANCIAL GROUP INC DE 2.02 10/29/07
PRO PHARMACEUTICALS INC NV 1.01,3.02,9.01 10/24/07
PROCTER & GAMBLE CO OH 2.02 10/30/07
PROS Holdings, Inc. DE 2.02,9.01 10/29/07
PROXIM WIRELESS CORP DE 1.01,5.02,9.01 10/25/07
pSivida LTD C3 5.05,9.01 10/25/07
PSYCHIATRIC SOLUTIONS INC DE 5.02 10/23/07
PURADYN FILTER TECHNOLOGIES INC DE 7.01 10/30/07
Qnective, Inc. 5.02 10/29/07
QUEPASA CORP NV 5.02,9.01 10/25/07
QWEST COMMUNICATIONS INTERNATIONAL IN DE 2.02 10/30/07
RADIAN GROUP INC DE 4.01 10/30/07
RADIANT LOGISTICS, INC DE 5.02 10/25/07
RAM Holdings Ltd. D0 2.02,9.01 10/29/07
REALNETWORKS INC WA 2.02,9.01 09/30/07
RENT A CENTER INC DE 2.02,9.01 10/29/07
REPLIDYNE INC DE 2.02,9.01 10/30/07
REPROS THERAPEUTICS INC. DE 7.01,9.01 10/29/07
Rhino Outdoor International, Inc. 1.01,9.01 10/30/07
RICA FOODS INC NV 8.01,9.01 10/30/07
ROBBINS & MYERS INC OH 5.03,9.01 10/26/07
ROCK OF AGES CORP DE 1.01,9.01 10/30/07
RR Donnelley & Sons Co DE 2.02,9.01 10/30/07
RxElite, Inc. 3.02,5.03,9.01 10/29/07
SAFECO CORP WA 2.02,9.01 10/30/07
SAGEMARK COMPANIES LTD NY 1.01,9.01 10/25/07
SALEM COMMUNICATIONS CORP /DE/ DE 1.01,9.01 10/24/07
SANFILIPPO JOHN B & SON INC DE 5.02,9.01 10/24/07
SANMINA-SCI CORP DE 2.02,9.01 10/30/07
SCIELE PHARMA, INC. DE 2.02,9.01 10/30/07
Security With Advanced Technology, In CO 1.02,5.02,7.01,9.01 10/25/07
SENESCO TECHNOLOGIES INC DE 3.01,9.01 10/24/07
SEPRACOR INC /DE/ DE 2.02,8.01,9.01 10/30/07
SHUTTERFLY INC 9.01 10/29/07
SI INTERNATIONAL INC DE 2.02,9.01 10/30/07
SIMTEK CORP CO 2.02,9.01 10/30/07
SIRF TECHNOLOGY HOLDINGS INC 2.02,9.01 10/30/07
SIRIUS SATELLITE RADIO INC DE 2.02,9.01 10/30/07
SL INDUSTRIES INC NJ 2.01,9.01 01/26/06 AMEND
Smart SMS Corp FL 5.02 10/26/07
SMITH & WESSON HOLDING CORP NV 7.01,9.01 10/29/07
SOMERSET HILLS BANCORP NJ 8.01,9.01 10/26/07
SONIC AUTOMOTIVE INC DE 2.02,7.01,9.01 10/30/07
SONIC INNOVATIONS INC DE 2.02,9.01 10/30/07
Soundview Home Loan Trust 2007-OPT5 DE 9.01 10/10/07
Soundview Home Loan Trust 2007-OPT5 DE 7.01 10/10/07
SOUTHWEST GEORGIA FINANCIAL CORP GA 2.02,9.01 09/30/07
SPHERION CORP DE 2.02,9.01 10/29/07
SPORT SUPPLY GROUP, INC. DE 2.02,9.01 10/30/07
SPSS INC DE 2.02,9.01 10/30/07
SPX CORP DE 5.03,8.01,9.01 10/24/07
STANDARD MOTOR PRODUCTS INC NY 2.02,9.01 10/30/07
STANDARD PARKING CORP DE 1.01,9.01 10/29/07
STEC, INC. CA 8.01,9.01 10/25/07
STEN CORP MN 3.02,5.02 10/25/07
STERIS CORP OH 2.02,9.01 10/30/07
STERLING BANCSHARES INC TX 5.03,9.01 10/29/07
Structured Adjustable Rate Mortgage L DE 8.01,9.01 10/30/07
STRYKER CORP MI 1.01,5.03,9.01 10/24/07
SUMMIT FINANCIAL GROUP INC WV 8.01,9.01 10/26/07
SUMTOTAL SYSTEMS INC DE 2.02,9.01 10/30/07
SUN COMMUNITIES INC MD 5.03 10/30/07
SUNTRUST BANKS INC GA 8.01,9.01 10/30/07
SUPERIOR ENERGY SERVICES INC DE 2.02,9.01 10/29/07
SUPPORTSOFT INC DE 2.02,9.01 10/30/07
SURREY BANCORP NC 7.01,9.01 10/30/07
SYMYX TECHNOLOGIES INC DE 2.05 10/24/07 AMEND
SYS CA 5.02 10/30/07
TANGER FACTORY OUTLET CENTERS INC NC 2.02,7.01,9.01 09/30/07
TECHNITROL INC PA 1.01,9.01 10/25/07
TEKELEC CA 2.02,9.01 10/30/07
TEMECULA VALLEY BANCORP INC CA 2.02,9.01 10/30/07
TENDERCARE INTERNATIONAL INC CO 1.01,9.01 10/24/07
TENDERCARE INTERNATIONAL INC CO 1.01,9.01 10/24/07 AMEND
TENNECO INC DE 2.02,9.01 10/30/07
TERADATA CORP /DE/ 2.02,7.01,9.01 10/30/07
TEXAS PACIFIC LAND TRUST 2.02,9.01 10/30/07
Thornburg Mortgage Securities Trust 2 DE 8.01,9.01 10/30/07
TITANIUM METALS CORP DE 7.01,9.01 10/24/07
TomoTherapy Inc 2.02,9.01 10/30/07
TRANSOCEAN INC E9 7.01,9.01 10/30/07
TRIZETTO GROUP INC DE 2.02,8.01,9.01 10/30/07
TRW AUTOMOTIVE HOLDINGS CORP DE 2.02,9.01 10/30/07
TWIN DISC INC WI 7.01,9.01 10/30/07
ULURU INC. NV 8.01,9.01 10/30/07
Under Armour, Inc. MD 2.02,9.01 10/30/07
UNION NATIONAL FINANCIAL CORP / PA PA 9.01 09/30/07
UNION PACIFIC CORP UT 1.01,2.03,9.01 10/25/07
UNITED PARCEL SERVICE INC DE 8.01 10/30/07
UNITED RENTALS INC /DE DE 8.01,9.01 10/30/07
UNITED STATES STEEL CORP DE 2.02,9.01 10/30/07
UNIVERSAL BIOSENSORS INC DE 8.01,9.01 10/30/07
UNIVERSAL DETECTION TECHNOLOGY CA 3.02 09/25/07
UNIVERSAL HEALTH REALTY INCOME TRUST MD 2.02,9.01 10/30/07
UNIVERSAL HEALTH SERVICES INC DE 2.02,9.01 10/29/07
UNIVERSAL TRAVEL GROUP NV 2.01,2.03,3.02,7.01,9.01 10/29/07
UPFC Auto Financing CORP TX 8.01,9.01 10/29/07
URANERZ ENERGY CORP. NV 7.01,9.01 10/29/07
URS CORP /NEW/ DE 2.02,8.01,9.01 10/30/07
US ENERGY CORP WY 8.01,9.01 10/29/07
UTAH MEDICAL PRODUCTS INC UT 8.01 10/30/07
VARIAN INC DE 2.02,9.01 10/30/07
Vaughan Foods, Inc. OK 5.02 10/24/07
VECTREN CORP IN 5.02 10/29/07
Venoco, Inc. DE 2.02,9.01 10/30/07
VIA Pharmaceuticals, Inc. DE 8.01,9.01 10/25/07
VICORP RESTAURANTS INC CO 1.01,9.01 10/30/07
VIROPHARMA INC DE 2.02,9.01 10/30/07
VISHAY INTERTECHNOLOGY INC DE 2.02,7.01,9.01 10/30/07
VITAL IMAGES INC MN 2.02,9.01 10/30/07
VULCAN MATERIALS CO NJ 2.02,9.01 10/29/07
W-H ENERGY SERVICES INC TX 2.02,7.01,9.01 10/30/07
WALTER INDUSTRIES INC /NEW/ DE 1.01 10/25/07
WASHINGTON GROUP INTERNATIONAL INC DE 8.01 10/30/07
WASHINGTON MUTUAL, INC WA 5.03,8.01,9.01 10/24/07
WASHINGTON TRUST BANCORP INC RI 2.02,4.02,9.01 10/24/07
WASTE SERVICES, INC. A6 2.02,9.01 09/30/07
WATTS WATER TECHNOLOGIES INC DE 1.01,2.02,2.05,5.02,9.01 10/29/07
WEBSENSE INC DE 2.02,9.01 10/30/07
WELLCARE HEALTH PLANS, INC. DE 8.01,9.01 10/26/07
WELLMAN INC DE 2.02,9.01 10/29/07
WENDYS INTERNATIONAL INC OH 5.02 10/24/07
WINLAND ELECTRONICS INC MN 2.02,5.02,9.01 10/30/07
WISCONSIN ENERGY CORP WI 2.02 10/30/07
WORLD FUEL SERVICES CORP FL 7.01,9.01 10/30/07
WSB Financial Group, Inc. WA 2.02,8.01,9.01 10/29/07
WYNN RESORTS LTD 2.02,7.01,9.01 10/30/07
X RITE INC MI 1.01,2.01,2.03,9.01 10/24/07
XM SATELLITE RADIO HOLDINGS INC DE 8.01,9.01 05/03/07
XM SATELLITE RADIO HOLDINGS INC DE 8.01,9.01 07/31/07
YOUBET COM INC DE 1.02,5.02 10/24/07
http://www.sec.gov/news/digest/2007/dig103107.htm
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