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SEC NEWS DIGEST
Issue 2007-216 November 8, 2007
COMMISSION ANNOUNCEMENTS
COMMISSION MEETINGS
Following is a schedule of Commission meetings, which will be
conducted under provisions of the Government in the Sunshine Act.
Meetings will be scheduled according to the requirements of agenda
items under consideration.
Open meetings will be held in the Auditorium, Room L-002 at the
Commission's headquarters building, 100 F Street, N.E., Washington,
D.C. Visitors are welcome at all open meetings, insofar as space is
available. Persons wishing to photograph or videotape Commission
meetings must obtain permission in advance from the Secretary of the
Commission. Persons wishing to tape record a Commission meeting should
notify the Secretary's office 48 hours in advance of the meeting.
Any member of the public who requires auxiliary aids such as a sign
language interpreter or material on tape to attend a public meeting
should contact Rochelle Franks, Office of Human Resources, to make
arrangements. Ms. Franks can be reached at TTY number (202) 551-4106.
In the event Ms. Franks cannot be reached, you may call the
interpreter directly at (202) 551-4158. If you are calling from a non
TTY number, please call the Relay Service at 1 866 377 8642.
OPEN MEETING - THURSDAY, NOVEMBER 15, 2007 - 10:00 A.M.
The subject matter of the open meeting scheduled for Thursday,
November 15, will be:
1. The Commission will consider rule proposals to improve mutual
fund disclosure by providing investors with a summary
prospectus containing key information in plain English in
a clear and concise format, and by enhancing the
availability on the Internet of more detailed
information to investors. The Commission also will
consider whether to propose related amendments to Form N-1A.
2. The Commission will consider whether to adopt amendments to Form
20-F, Rules 1-02, 3-10 and 4-01 of Regulation S-X, Forms F-4 and
S-4, and Rule 701 under the Securities Act to accept financial
statements prepared in accordance with International
Financial Reporting Standards as issued by the International
Accounting Standards Board without reconciliation to generally
accepted accounting principles as used in the United States
when contained in the filings of foreign private issuers with the
Commission.
3. The Commission will consider whether to adopt amendments to its
disclosure and reporting requirements under the Securities Act of
1933 and Securities Exchange Act of 1934 to expand the number of
companies that qualify for scaled disclosure requirements for
smaller reporting companies. Companies with less than $75 million
in public equity float would qualify for the scaled
requirements, and companies without a calculable public equity
float would qualify if their annual revenues were below $50
million. To streamline and simplify regulation, the amendments
to be considered would move the scaled disclosure
requirements from Regulation S-B into Regulation S-K and
would eliminate the "SB" forms.
4. The Commission will consider whether to adopt amendments to Rule
144 to shorten the holding period for the resale of
restricted securities if the issuer of the securities is subject
to the Exchange Act reporting requirements. The amendments also
substantially reduce the restrictions applicable to resales
of restricted securities by non-affiliates of both reporting
and non-reporting companies. In addition, the amendments codify
several staff interpretations relating to Rule 144 and revise
the manner of sale requirements, volume limitations, and
Form 144 filing thresholds. Finally, the Commission also will
consider whether to adopt related amendments to Rule 145.
5. The Commission will consider whether to adopt amendments to Rule
12h-1 under the Exchange Act to provide two exemptions
from the registration requirements of the Exchange Act for
compensatory employee stock options. The first exemption
would be available to issuers that are not required to file
periodic reports under the Exchange Act, and the second
exemption would be available to issuers that are required to file
those reports because they have registered a class of security
under Section 12 of the Exchange Act or are required to file
those reports pursuant to Section 15(d) of the Exchange Act.
For further information and to ascertain what, if any, matters have
been added, deleted or postponed, please contact: The Office of the
Secretary at (202) 551-5400.
ENFORCEMENT PROCEEDINGS
WARREN MARTIN, CPA REINSTATED TO APPEAR AND PRACTICE BEFORE THE
COMMISSION AS AN ACCOUNTANT RESPONSIBLE FOR THE PREPARATION OR REVIEW
OF FINANCIAL STATEMENTS REQUIRED TO BE FILED WITH THE COMMISSION
Pursuant to Rule 102(e)(5)(i) of the Commission's Rules of Practice,
Warren Martin, CPA has applied for and been granted reinstatement of
his privilege to appear and practice before the Commission as an
accountant responsible for the preparation or review of financial
statements required to be filed with the Commission. Mr. Martin was
suspended from appearing or practicing before the Commission on Aug.
8, 2003. His reinstatement is effective immediately. (Rel. 34-56755;
AAE Rel. 2749; File No. 3-11211)
DELINQUENT FILER'S STOCK REGISTRATION REVOKED
The registration of the stock of Nature's Sunshine Products, Inc.
(Nature's Sunshine), has been revoked. Nature's Sunshine had failed to
file any annual or quarterly reports with the Commission subsequent to
the quarter ended June 30, 2005. Thus, it violated a crucial provision
of the federal securities laws that requires public corporations to
publicly disclose current, accurate financial information so that
investors may make informed decisions. Following its last filing,
Nature's Sunshine discovered and investigated wrongdoing that impaired
the accuracy of its financial statements. Subsequently, its
independent registered public accountant has performed extensive audit
work on the company's financial statements for prior years. However,
Nature's Sunshine is currently unable to predict when the audit work
will be completed and when past-due and current periodic reports will
be filed. The revocation was ordered in an administrative proceeding
before an administrative law judge. (Initial Decision No. 337; File
No. 3-12684)
COMMISSION SUSTAINS NASD SUSPENSION OF MORTON BRUCE ERENSTEIN
The Commission has sustained NASD's order suspending Morton Bruce
Erenstein, a registered representative associated with an NASD member
firm, from associating with any NASD member in any capacity for one
year. NASD suspended Erenstein based on his failure to answer a
question about his tax returns during an on the record interview with
NASD investigators and his failure to timely respond to a written
request for information about these tax returns. In sustaining NASD's
action, the Commission noted that, although Erenstein ultimately did
respond to NASD's request, his response was untimely and, as a result,
frustrated NASD's ability to investigate a complaint made by one of
Erenstein's customer. (Rel. 34-56768; File No. 3-12529)
SEC SETTLES ACCOUNTING FRAUD CASE AGAINST FORMER SENIOR EXECUTIVE OF
RENAISSANCERE SUBSIDIARY FOR SHAM REINSURANCE TRANSACTION
On November 2, the Hon. Gerald E. Lynch of the U.S. District Court for
the Southern District of New York entered a final consent judgment
against defendant Michael W. Cash, a former senior executive of a
wholly-owned subsidiary of RenaissanceRe Holdings Ltd. Cash, without
admitting or denying the Commission's allegations, consented to the
final judgment that (i) enjoins him from violating the antifraud and
internal controls provisions of the federal securities laws and from
aiding and abetting violations of the record-keeping and reporting
provisions; (ii) requires him to pay a civil penalty of $130,000; and
(iii) bars him from serving as an officer or director of a public
company for five years.
The Commission's amended complaint alleges that Cash, along with the
other defendants, committed fraud in connection with a sham
transaction that they concocted to smooth RenaissanceRe's earnings.
Cash and the other defendants used two seemingly separate, unrelated
contracts that were, in fact, intertwined. Together, the contracts
created a round trip of funds. In the first contract, RenaissanceRe
purported to assign at a discount $50 million of its recoverables to
Inter-Ocean Reinsurance Company, Ltd. in exchange for $30 million in
cash, for a net transfer to Inter-Ocean of $20 million. RenaissanceRe
recorded income of $30 million upon executing the assignment
agreement. The net $20 million was held by Inter-Ocean as a "bank" or
"cookie jar" that RenaissanceRe used in later periods to bolster
income. Cash and the co-defendants designed and executed a second
contract in the guise of a "reinsurance" agreement with Inter-Ocean.
In fact, this second contract was a complete sham and was only a
vehicle to refund to RenaissanceRe the $20 million from the "bank" or
"cookie jar" plus the purported insurance premium paid under the
"reinsurance" agreement. Not only was RenaissanceRe certain to meet
the conditions for coverage, it also would receive back all of the
money paid to Inter-Ocean under the two agreements plus investment
income earned on the money in the interim, less transactional fees and
costs.
RenaissanceRe accounted for the sham transaction as if it involved a
real reinsurance contract that transferred risk from RenaissanceRe to
Inter-Ocean, when in fact, the amended complaint alleges, Cash knew
that this was not true. As a result of RenaissanceRe's accounting
treatment for this transaction, the amended complaint alleges,
RenaissanceRe materially understated income in 2001 and materially
overstated income in 2002, at which time it made a "claim" under the
"reinsurance" agreement. It then received as apparent reinsurance
proceeds the funds it had paid to Inter-Ocean and that Inter-Ocean
held in a trust for RenaissanceRe's benefit.
Previously, RenaissanceRe's former controller, defendant Martin J.
Merritt, without admitting or denying the Commission's allegations,
consented to a partial final consent judgment that, among other
things, deferred the determination of civil penalties and disgorgement
to a later date. In a related civil action, RenaissanceRe without
admitting or denying the Commission's allegations, also consented to a
final judgment.
The Commission's case against defendant James Stanard, RenaissanceRe's
former chief executive officer, remains pending. [SEC v. James N.
Stanard, Martin J. Merritt and Michael W. Cash, Civil Action No. 06
Civ. 7736 (GEL) (S.D.N.Y.)] (LR-20360; AAE Rel. 2750)
INVESTMENT COMPANY ACT RELEASES
METLIFE INSURANCE COMPANY OF CONNECTICUT, ET AL.
An order has been issued on an application filed by MetLife Insurance
Company of Connecticut, MetLife Life and Annuity Company of
Connecticut, MetLife Investment Funds, Inc., Metropolitan Series Fund,
Inc., MetLife of CT Separate Account Five for Variable Annuities,
MetLife of CT Separate Account Six for Variable Annuities, MetLife of
CT Fund U for Variable Annuities, MetLife of CT Separate Account QP
for Variable Annuities, MetLife of CT Separate Account QPN for
Variable Annuities, MetLife of CT Fund UL II for Variable Life
Insurance, and MetLife of CT Fund UL for Variable Life Insurance,
(Applicants), pursuant to Section 26(c) of the Investment Company Act
permitting the substitution of shares of certain registered management
investment companies with shares of certain other registered
management investment companies. The order also exempts Applicants
from Section 17(a) of the Act to the extent necessary to permit it to
carry out the proposed substitution that involve in-kind transfers.
(Rel. IC-28044 - November 7)
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A proposed rule change (SR-CBOE-2007-128), as modified by Amendment
No. 1 thereto, filed by the Chicago Board Options Exchange related to
its marketing fee program 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 November 12. (Rel.
34-56749)
A proposed rule change (SR-NYSE-2007-97) filed by the New York Stock
Exchange to clarify that a member organization may still use the
express consent procedure for obtaining consent from a customer to
trade along on an order-by-order basis under Rule 92(b) 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 November 12. (Rel. 34-56753)
ACCELERATED APPROVAL OF PROPOSED RULE CHANGE
The Commission granted accelerated approval to a proposed rule change
(SR-FINRA-2007-019) submitted by the Financial Industry Regulatory
Authority relating to NYSE Rule 2. Publication is expected in the
Federal Register during the week of November 12. (Rel. 34-56751)
PROPOSED RULE CHANGES
The National Association of Securities Dealers filed a proposed rule
change (SR-NASD-2007-043), and Amendment No. 1 thereto, to amend NASD
Rule 7001C to increase the percentage of market data revenue shared
with NASD/NSX TRF participants. Publication is expected in the Federal
Register during the week of November 12. (Rel. 34-56752)
The National Association of Securities Dealers filed a proposed rule
change (SR-NASD-2007-031), and Amendment Nos. 1 and 2 thereto, to
amend NASD Rule 7001E to increase the percentage of market data
revenue shared with NASD/NYSE TRF participants. Publication is
expected in the Federal Register during the week of November 12. (Rel.
34-56754)
The Chicago Board Options Exchange filed a proposed rule change (SR-
CBOE-2007-129) regarding the CBSX Floor Post. Publication is expected
in the Federal Register during the week of November 12. (Rel. 34-
56762)
APPROVAL OF PROPOSED RULE CHANGES
The Commission approved proposed rule changes filed by the American
Stock Exchange (SR-Amex-2007-65); the Boston Stock Exchange (SR-BSE-
2007-45); the Chicago Board Options Exchange (SR-CBOE-2007-64); and
the International Securities Exchange (SR-ISE-2007-44); and a proposed
rule change and Amendment No. 1 by NYSE Arca (SR-NYSEArca-2007-65)
relating to the definition of a complex trade. Publication is expected
in the Federal Register during the week of November 12. (Rel. 34-
56761)
The Commission approved a proposed rule change (SR-NASDAQ-2007-069),
and Amendment No. 1 thereto, submitted by The NASDAQ Stock Market to
amend its rule governing the relation of a Nasdaq market maker's
quotations to the prevailing market. Publication is expected in the
Federal Register during the week of November 12. (Rel. 34-56759)
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.
N-2 GLADSTONE INVESTMENT CORPORATION\DE, 1521 WESTBRANCH ROAD, SUITE 200,
MCLEAN, VA, 22102, 7032867000 - 0 ($300,000,000.00) Other,
(File 333-147185 - Nov. 7) (BR. 17)
S-8 Navios Maritime Holdings Inc., C/O INTERNATIONAL SHIPPING ENTERPRISES,
1225 FRANKLIN AVE., SUITE 325, GARDEN CITY, NY, 11530, 516-240-8025 -
0 ($166,240,560.00) Equity, (File 333-147186 - Nov. 7) (BR. 05B)
SB-2 ASIARIM CORP, FLAT 16, JIE YANG BUILDING, 271 LOCKHART ROAD, WANCHAI,
K3, 0000, 01185291007972 - 3,590,000 ($71,800.00) Equity,
(File 333-147187 - Nov. 7) (BR. 11)
S-3ASR Western Union CO, 12500 EAST BELFORD AVENUE, ENGLEWOOD, CO, 80112,
(720) 332-3361 - 18,000,000 ($392,940,000.00) Equity,
(File 333-147189 - Nov. 7) (BR. 03A)
S-8 STANDEX INTERNATIONAL CORP/DE/, 6 MANOR PKWY, SALEM, NH, 03079,
6038939701 - 200,000 ($4,067,000.00) Equity, (File 333-147190 - Nov. 7)
(BR. 06C)
S-1 Fabrinet, 294 MOO 8, VIBHAVADI RANGSIT ROAD, KOOKOT, LUMLOOKA,
PATUMTHANEE, W1, 12130, 662-998-9956 - 0 ($250,000,000.00) Equity,
(File 333-147191 - Nov. 7) (BR. 11)
S-4 FIFTH THIRD BANCORP, 38 FOUNTAIN SQ PLZ, FIFTH THIRD CENTER,
CINCINNATI, OH, 45263, 5135795300 - 0 ($752,449,586.00) Equity,
(File 333-147192 - Nov. 7) (BR. 07A)
SB-2 Commercial E-Waste Management Inc, 2510 Northland Drive,
Mendota Heights, MN, 55120, 1,000,000 ($50,000.00) Equity,
(File 333-147193 - Nov. 7) (BR. 06)
S-8 AeroGrow International, Inc., 900 28TH STREET, SUITE 201, BOULDER, CO,
80303, 303-444-7755 - 1,505,000 ($9,030,000.00) Equity,
(File 333-147194 - Nov. 7) (BR. 06A)
SB-2 ULTRA CARE INC, 999 THIRD AVENUE, SUITE 3800, SEATTLE, WA, 98104,
206 224 3738 - 760,000 ($38,000.00) Equity, (File 333-147195 - Nov. 7)
(BR. 08)
S-8 BMC SOFTWARE INC, 2101 CITYWEST BLVD, HOUSTON, TX, 77042-2827,
7139188800 - 15,506,269 ($515,505,912.90) Equity, (File 333-147196 -
Nov. 7) (BR. 03C)
SB-2 WENTWORTH II INC, 8450 EAST CRESCENT PARKWAY, SUITE 100,
GREENWOOD VILLAGE, CO, 80111, 7208890133 -
12,703,165 ($15,878,956.25) Equity, (File 333-147197 - Nov. 7) (BR. 09B)
SB-2 C E ENTERTAINMENT INC, 601 UNION STREET TWO UNION SQUARE, 42ND FLOOR,
SEATTLE, WA, 98101, 206 652 3382 - 0 ($38,000.00) Equity,
(File 333-147199 - Nov. 7) (BR. 02)
S-3ASR Oilsands Quest Inc, 205-707, 7TH AVENUE SW, CALGARY, A0, T2P 3H6,
4032631623 - 0 ($0.00) Equity, (File 333-147200 - Nov. 7) (BR. 04A)
S-3ASR FOREST CITY ENTERPRISES INC, 1100 TERMINAL TOWER, 50 PUBLIC SQ,
CLEVELAND, OH, 44113, 216-621-6060 -
3,894,232 ($210,171,701.04) Equity, (File 333-147201 - Nov. 7) (BR. 08B)
S-8 Neutral Tandem Inc, ONE SOUT WACKER DR, SUITE 200, CHAICAGO, IL, 60606,
312-384-8040 - 0 ($56,240,902.19) Equity, (File 333-147202 - Nov. 7)
(BR. 11B)
N-2 ALPINE RISING DYNAMIC DIVIDEND FUND, C/O ALPS FUND SERVICES, INC.,
1290 BROADWAY, SUITE 1100, DENVER, CO, 80203, 914-251-0880 -
0 ($1,000,000.00) Equity, (File 333-147203 - Nov. 7) (BR. 16)
S-8 ON2 TECHNOLOGIES, INC., 21 CORPORATE DRIVE SUITE 103, CLIFTON PARK, NY,
12065, 5183480099 - 13,000,000 ($13,975,000.00) Equity,
(File 333-147205 - Nov. 7) (BR. 03B)
S-8 MAGELLAN MIDSTREAM PARTNERS LP, ONE WILLIAMS CENTER, MD 28-1, TULSA,
OK, 74172, 918 574 7000 -
1,800,000 ($76,446,000.00) Limited Partnership Interests,
(File 333-147206 - Nov. 7) (BR. 04B)
S-8 VOIS Inc., 255 NORTHEAST 6TH AVENUE, DELRAY BEACH, FL, 33483,
561-274-4894 - 1,500,000 ($5,085,000.00) Equity, (File 333-147207 -
Nov. 7) (BR. 03A)
S-8 MEDAREX INC, 707 STATE ROAD 206, PRINCETON, NJ, 08540, 9087136001 -
0 ($65,010,000.00) Equity, (File 333-147209 - Nov. 7) (BR. 01B)
S-8 DDI CORP, 1220 SIMON CIRCLE, AHAMEIM, CA, 92806, 7146887200 -
1,000,000 ($6,020,000.00) Equity, (File 333-147210 - Nov. 7) (BR. 03C)
SB-2 Flex Fuels Energy, Inc., 502 EAST JOHN STREET, CARSON CITY, NV, 89706,
604-685-7552 - 21,454,459 ($33,254,411.45) Equity, (File 333-147211 -
Nov. 7) (BR. 04)
S-8 Alphatec Holdings, Inc., 2051 PALOMAR AIRPORT ROAD, CARLSBAD, CA,
92011, 760 431-9286 - 0 ($1,431,500.00) Equity, (File 333-147212 -
Nov. 7) (BR. 10A)
S-8 Uranium Star Corp., 901 ? 141 ADELAIDE STREET WEST, TORONTO, A6,
M5H 3L5, 416-364-4986 - 4,000,000 ($1,360,000.00) Equity,
(File 333-147214 - Nov. 7) (BR. 04B)
S-3 IMAGEWARE SYSTEMS INC, 10883 THORNMINT RD, 619-673-8600, SAN DIEGO, CA,
92127, 6196738600 - 0 ($5,811,012.60) Equity, (File 333-147215 -
Nov. 7) (BR. 03C)
S-8 DOV PHARMACEUTICAL INC, 433 HACKENSACK AVENUE, HACKENSACK, NJ, 07601,
2019680980 - 16,000,000 ($3,840,000.00) Equity, (File 333-147216 -
Nov. 7) (BR. 01A)
S-3D Compass Diversified Holdings, 61 WILTON ROAD, WESTPORT, CT, 06880,
203-221-1703 - 0 ($47,400,000.00) Equity, (File 333-147217 - Nov. 7)
(BR. 11A)
S-3 Compass Diversified Holdings, 61 WILTON ROAD, WESTPORT, CT, 06880,
203-221-1703 - 0 ($139,435,000.00) Equity, (File 333-147218 - Nov. 7)
(BR. 11A)
S-8 TRANS1 INC, 411 LANDMARK DRIVE, WILMINGTON, NC, 28412-6303,
910-509-3100 - 0 ($40,546,971.00) Equity, (File 333-147219 - Nov. 7)
(BR. 10)
S-3ASR ADVANCED MICRO DEVICES INC, ONE AMD PL, MS 68, SUNNYVALE, CA,
94088-3453, 4087322400 -
0 ($1,500,000,000.00) Debt Convertible into Equity, (File 333-147220 -
Nov. 7) (BR. 10A)
S-8 FREEDOM BANCSHARES INC, P O BOX 788, COMMERCE, GA, 30529, 7064232500 -
173,000 ($1,730,000.00) Equity, (File 333-147221 - Nov. 7) (BR. 07C)
SB-2 Paragon Semitech USA, Inc., 197 ROUTE 18 SOUTH, SUITE 3000, PMB 4157,
EAST BRUNSWICK, NJ, 08816, 732658420 -
6,000,000 ($1,200,000.00) Equity, (File 333-147222 - Nov. 7) (BR. )
F-1 YINGLI GREEN ENERGY HOLDING CO LTD, NO. 3055 MIDDLE FUXING ROAD,
BAODING, F4, 071051, (86 312) 3100-500 - 0 ($417,910,000.00) ADRs/ADSs,
(File 333-147223 - Nov. 7) (BR. 10C)
SB-2 Amber Optoelectronics Inc., 2283 ARGENTIA RD. UNIT 8, MISSISSAUGA, A6,
L5N5Z2, (905) 824-5306 X203 - 25,928,850 ($1,296,442.50) Equity,
(File 333-147225 - Nov. 7) (BR. 11A)
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
------------------------------------------------------------------------------------------------------
3DICON CORP 5.03,9.01 11/01/07
ACCO BRANDS CORP DE 2.02,9.01 11/07/07
ACCURAY INC CA 2.02,9.01 11/07/07
ACTION PRODUCTS INTERNATIONAL INC FL 3.02,5.02,9.01 11/05/07
ADA-ES INC CO 2.02,7.01,9.01 11/07/07
Advance America, Cash Advance Centers DE 8.01 11/02/07
ADVANTA BUSINESS RECEIVABLES CORP 8.01,9.01 11/07/07
ADVENTRX PHARMACEUTICALS INC DE 2.02,9.01 11/07/07
AEOLUS PHARMACEUTICALS, INC. DE 7.01,9.01 11/05/07
AFC ENTERPRISES INC MN 5.02,9.01 11/01/07
AFFILIATED COMPUTER SERVICES INC DE 8.01 11/06/07
AHERN RENTALS INC 8.01,9.01 11/06/07
AIRSPAN NETWORKS INC WA 2.02,9.01 11/07/07
ALBANY INTERNATIONAL CORP /DE/ DE 2.02,9.01 11/06/07
ALKERMES INC PA 5.02,9.01 11/05/07
ALLIED CAPITAL CORP MD 2.02,9.01 11/07/07
ALLTEL CORP DE 8.01,9.01 11/07/07
ALPHA PRO TECH LTD DE 2.02,9.01 11/07/07
Alternative Loan Trust 2006-40T1 7.01,9.01 11/06/07
Alternative Loan Trust 2006-6CB 7.01,9.01 11/06/07
Alternative Loan Trust 2007-12T1 DE 7.01,9.01 11/06/07
Alternative Loan Trust 2007-13 DE 7.01,9.01 11/06/07
Alternative Loan Trust 2007-15CB DE 7.01,9.01 11/06/07
Alternative Loan Trust 2007-1T1 7.01,9.01 11/06/07
Alternative Loan Trust 2007-25 DE 7.01,9.01 11/06/07
Alternative Loan Trust 2007-4CB 7.01,9.01 11/06/07
Alternative Loan Trust 2007-9T1 DE 7.01,9.01 11/06/07
Alternative Loan Trust 2007-AL1 DE 7.01,9.01 11/02/07
Alternative Loan Trust 2007-J1 7.01,9.01 11/06/07
Alternative Loan Trust 2007-J2 DE 7.01,9.01 11/06/07
Alternative Loan Trust 2007-OA9 7.01,9.01 11/02/07
Alternative Loan Trust 2007-OH2 7.01,9.01 11/02/07
Alternative Loan Trust 2007-OH3 7.01,9.01 11/06/07
AMBAC FINANCIAL GROUP INC DE 7.01,9.01 11/06/07
AMERICA SERVICE GROUP INC /DE DE 8.01 11/07/07
AMERICAN CRYSTAL SUGAR CO /MN/ MN 8.01 11/06/07
AMERICAN INTERNATIONAL GROUP INC DE 2.02,9.01 11/07/07
AMERICAN MEDICAL ALERT CORP NY 2.02,9.01 11/07/07
AMERICAN MORTGAGE ACCEPTANCE CO MA 8.01 09/30/07
AMERICAN SPECTRUM REALTY INC MD 2.02,9.01 11/07/07
AMERICAN TOWER CORP /MA/ DE 2.02,8.01,9.01 11/07/07
AMERICAN VANGUARD CORP DE 2.02,9.01 11/07/07
AMERISAFE INC TX 2.02,7.01,9.01 11/07/07
AMKOR TECHNOLOGY INC DE 2.02,9.01 11/07/07
Amnutria Dairy Inc. NV 1.01,5.02,9.01 11/01/07
AMREIT TX 2.02,9.01 11/06/07
AMSCAN HOLDINGS INC DE 8.01,9.01 11/06/07
ANADIGICS INC DE 8.01 11/05/07
ANALYSTS INTERNATIONAL CORP 7.01,9.01 11/07/07
ANDERSONS INC OH 5.02 11/06/07
Answers CORP 7.01 11/06/07
APCO ARGENTINA INC/NEW 2.02,9.01 11/07/07
API Nanotronics Corp. 3.02 11/01/07
APOLLO INVESTMENT CORP MD 2.02,9.01 11/06/07
APPLIED DIGITAL SOLUTIONS INC MO 9.01 07/31/07 AMEND
AQUA AMERICA INC PA 2.02,9.01 11/07/07
ARIAD PHARMACEUTICALS INC DE 2.02,8.01,9.01 11/07/07
Aslahan Enterprises Ltd. NV 5.03,9.01 10/29/07
ATLANTIC TELE NETWORK INC /DE DE 2.02,9.01 11/01/07
ATMOS ENERGY CORP TX 1.01,1.02,2.02,2.03,5.02,9.01 11/01/07
ATRION CORP DE 9.01 11/07/07
AVALON PHARMACEUTICALS INC 2.02,9.01 11/07/07
AVIS BUDGET GROUP, INC. DE 2.02,9.01 11/06/07
BAKER MICHAEL CORP PA 2.02,9.01 11/05/07
BALLANTYNE OF OMAHA INC DE 2.02,9.01 11/06/07
BARNES & NOBLE INC DE 5.02 11/07/07
BARRETT BUSINESS SERVICES INC MD 7.01,9.01 11/06/07
Bear Stearns Structured Products Inc. DE 6.02 11/01/07
BEHRINGER HARVARD REIT I INC MD 2.01,2.03,9.01 11/01/07
BERKSHIRE HILLS BANCORP INC 7.01,9.01 11/07/07
BIG SKY ENERGY CORP NV 7.01 10/30/07
BILL BARRETT CORP 2.02,7.01,9.01 11/07/07
BILL BARRETT CORP 1.01,2.03,9.01 11/06/07
BIO IMAGING TECHNOLOGIES INC DE 2.02,9.01 11/07/07
BITSTREAM INC DE 2.02,9.01 11/07/07
BLACK HILLS CORP /SD/ SD 8.01 11/01/07
BladeLogic, Inc. DE 2.02,9.01 11/07/07
Bluestar Health, Inc. CO 2.01,3.02,5.01,5.02,5.06,9.01 10/31/07
BofI Holding, Inc. DE 2.02,9.01 11/07/07
BOISE CASCADE HOLDINGS, L.L.C. DE 2.02,9.01 11/07/07
Boo Koo Holdings, Inc FL 5.02,9.01 11/07/07
BOOKHAM, INC. DE 1.01,9.01 11/06/07
BOSTON FINANCIAL QUALIFIED HOUSING TA DE 7.01,9.01 11/07/07
BRIGHAM EXPLORATION CO DE 2.02,9.01 11/06/07
BROADCAST INTERNATIONAL INC UT 1.01,3.02,9.01 11/06/07
BROADRIDGE FINANCIAL SOLUTIONS, INC. DE 2.02,7.01,9.01 11/07/07
BROADRIDGE FINANCIAL SOLUTIONS, INC. DE 2.02,9.01 11/07/07
BROOKE CAPITAL CORP KS 2.02,9.01 11/06/07
Brooke Credit CORP DE 1.01,2.01,5.01,5.02,5.06,9.01 07/18/07 AMEND
BRUSH ENGINEERED MATERIALS INC 2.03,9.01 11/07/07
BSD MEDICAL CORP DE 7.01,9.01 11/07/07
Bunge LTD 1.01,3.03,9.01 11/01/07
C&G DEC CAPITAL, INC FL 5.02 01/01/00
CALIPER LIFE SCIENCES INC DE 2.02,9.01 11/07/07
Calumet Specialty Products Partners, DE 2.02,7.01,9.01 11/06/07
CAMBRIDGE HEART INC DE 8.01,9.01 11/06/07
CAPITAL SENIOR LIVING CORP DE 2.02,9.01 11/06/07
CapLease, Inc. 2.02,9.01 11/07/07
CastlePoint Holdings, Ltd. D0 2.02,9.01 11/07/07
CB RICHARD ELLIS GROUP INC DE 7.01,9.01 11/07/07
CBIZ, Inc. DE 5.03,9.01 11/01/07
CBL & ASSOCIATES PROPERTIES INC DE 2.02,9.01 09/30/07
Centerplate, Inc. DE 2.02,9.01 11/07/07
CENTRAL BANCORP INC /MA/ MA 2.02,9.01 11/06/07
CERIDIAN CORP /DE/ DE 1.02,9.01 11/02/07
CEVA INC DE 5.02,9.01 11/07/07
CHECKPOINT SYSTEMS INC PA 1.01,2.01,9.01 11/01/07
CHECKPOINT SYSTEMS INC PA 1.01,2.01,9.01 11/01/07
CHENIERE ENERGY INC DE 2.02,9.01 11/06/07
Cheniere Energy Partners, L.P. DE 2.02,9.01 11/06/07
CHESAPEAKE ENERGY CORP OK 2.02,9.01 11/06/07
CHESAPEAKE ENERGY CORP OK 7.01,9.01 11/05/07
CHINA AOXING PHARMACEUTICAL COMPANY, FL 8.01,9.01 11/07/07
China Opportunity Acquisition Corp. DE 5.03,9.01 11/06/07
CHINDEX INTERNATIONAL INC DE 1.01,2.03,3.02,3.03,8.01,9.01 11/07/07
CHL Mortgage Pass-Through Trust 2007- DE 7.01,9.01 11/06/07
CHL Mortgage Pass-Through Trust 2007- DE 7.01,9.01 11/06/07
CHL Mortgage Pass-Through Trust 2007- DE 7.01,9.01 11/06/07
CHL Mortgage Pass-Through Trust 2007- DE 7.01,9.01 11/06/07
CHURCHILL DOWNS INC KY 2.02,9.01 11/07/07
CIMAREX ENERGY CO DE 2.02,7.01,9.01 11/07/07
CISCO SYSTEMS INC CA 2.02 11/07/07
CITADEL BROADCASTING CORP DE 5.03,9.01 11/01/07
CITIBANK CREDIT CARD MASTER TRUST I DE 8.01 11/07/07
CITIZENS BANCSHARES CORP /GA/ GA 2.02,9.01 11/07/07
CLAYTON WILLIAMS ENERGY INC /DE DE 2.02,7.01,9.01 11/07/07
CLEAN HARBORS INC MA 2.02,9.01 11/07/07
CLEARONE COMMUNICATIONS INC UT 8.01 11/05/07
CLEVELAND CLIFFS INC OH 8.01 11/06/07
Cogdell Spencer Inc. MD 2.02,9.01 11/06/07
COGENT COMMUNICATIONS GROUP INC 2.02,9.01 11/07/07
COHERENT INC DE 2.02,9.01 11/07/07
COLORADO INTERSTATE GAS CO DE 3.03,8.01,9.01 11/01/07
COMMERCIAL BANCSHARES INC \OH\ OH 5.02,7.01 11/01/07
COMMONCACHE INC FL 9.01 10/31/07 AMEND
COMMUNITY CAPITAL BANCSHARES INC 2.02,9.01 11/01/07
COMSYS IT PARTNERS INC DE 2.02,9.01 11/07/07
Consolidated Communications Holdings, DE 8.01,9.01 11/07/07
CONTINENTAL RESOURCES INC OK 7.01,9.01 11/07/07
CONTINUCARE CORP FL 2.02,9.01 11/07/07
CONTINUCARE CORP FL 5.03,9.01 11/06/07
COOPER TIRE & RUBBER CO DE 5.02,9.01 11/01/07
Copano Energy, L.L.C. DE 2.02,9.01 09/30/07
COPYTELE INC DE 1.01 11/02/07
CORE MOLDING TECHNOLOGIES INC DE 2.02,9.01 11/06/07
Cornerworld Corp NV 1.01,2.03,9.01 10/19/07
CRA INTERNATIONAL, INC. MA 8.01 11/07/07
CRAFTMADE INTERNATIONAL INC DE 2.02,7.01,9.01 11/07/07
CREDITRISKMONITOR COM INC NV 2.02,9.01 11/06/07
CREE INC NC 5.02,9.01 11/01/07
CRM Holdings, Ltd. 2.02,9.01 11/07/07
CrossPoint Energy CO NV 8.01 11/01/07
CV THERAPEUTICS INC DE 8.01 11/06/07
CVS CAREMARK CORP DE 1.01,9.01 11/06/07
CVS CAREMARK CORP DE 5.02,5.03,8.01,9.01 11/07/07
CWABS Asset-Backed Certificates Trust DE 7.01,9.01 11/06/07
CYTOMEDIX INC DE 4.02,9.01 11/05/07
DANKA BUSINESS SYSTEMS PLC 2.02,9.01 11/06/07
Darwin Professional Underwriters Inc DE 2.02,9.01 11/06/07
DAVITA INC DE 5.02,9.01 11/01/07
DESTINATION TELEVISION, INC. DE 2.01,3.02,9.01 11/01/07
Deutsche Alt-A Securities Mortgage Lo DE 1.01,1.02,6.02 11/06/07
Deutsche Alt-A Securities Mortgage Lo DE 1.01,1.02,6.02 11/07/07
Deutsche Alt-B Securities Mortgage Lo 1.01,6.02 11/06/07
DEVON ENERGY CORP/DE DE 2.02,9.01 11/07/07
DEVON ENERGY CORP/DE DE 8.01 11/07/07
DEVRY INC DE 8.01,9.01 11/07/07
DEXCOM INC 5.02 11/06/07
DEXTERITY SURGICAL INC DE 5.02 11/07/07
Diabetic Treatment Centers of America DE 4.01,9.01 11/07/07
Diamond Foods Inc DE 7.01,9.01 11/07/07
DIGITAL ALLY INC 2.02,9.01 11/07/07
Digital Realty Trust, Inc. MD 2.02,7.01,9.01 11/06/07
DIRECTV GROUP INC DE 2.02 11/07/07
DIRECTV HOLDINGS LLC DE 2.02 11/07/07
Discovery Holding CO DE 2.02 11/07/07
DISTRIBUTED ENERGY SYSTEMS CORP DE 5.02 11/01/07
DOLLAR THRIFTY AUTOMOTIVE GROUP INC DE 2.02,9.01 11/07/07
Domtar CORP DE 2.02,9.01 11/07/07
Douglas Emmett Inc MD 2.02,9.01 11/06/07
DOVER CORP DE 7.01 11/07/07
DOWNSIDE UP INC CO 2.01,3.02,5.01,5.02,5.03,5.06 10/31/07
DYNAMIC LEISURE CORP MN 5.02 11/05/07
DYNAVAX TECHNOLOGIES CORP DE 1.01,8.01,9.01 11/01/07
Eagle Bulk Shipping Inc. 2.02,9.01 11/07/07
EBIX INC DE 2.01,9.01 11/01/07
EDGEWATER FOODS INTERNATIONAL, INC. 1.01,3.02,5.03,9.01 11/07/07
EDIETS COM INC DE 5.02 11/02/07
eHealth, Inc. DE 1.01,2.03,9.01 11/06/07
ELOYALTY CORP DE 2.02,7.01,9.01 11/07/07
Emergency Medical Services CORP DE 7.01 11/06/07
EMVELCO CORP. DE 3.01,9.01 11/01/07 AMEND
ENERGY PARTNERS LTD DE 8.01,9.01 11/05/07
ENERGY PARTNERS LTD DE 2.02 11/07/07
EnerSys DE 2.02,9.01 11/07/07
ENVIROKARE TECH INC NV 7.01,9.01 11/07/07
EOG RESOURCES INC DE 7.01 11/07/07
EPIC ENERGY RESOURCES, INC. CO 1.01,9.01 08/10/07 AMEND
EPIX Pharmaceuticals, Inc. 1.01,9.01 11/01/07
ESCO TECHNOLOGIES INC MO 7.01,9.01 11/07/07
EVANS BOB FARMS INC DE 2.02,9.01 11/06/07
EXOPACK HOLDING CORP 1.01,8.01,9.01 11/01/07
Expedia, Inc. 2.02,9.01 11/07/07
EXPEDITORS INTERNATIONAL OF WASHINGTO WA 2.02,9.01 11/06/07
FACTORY CARD & PARTY OUTLET CORP DE 1.01,5.01,5.02,9.01 11/01/07
FASTFUNDS FINANCIAL CORP NV 4.01,9.01 11/02/07
Federal Home Loan Bank of Boston X1 2.02,9.01 11/07/07
Federal Home Loan Bank of Pittsburgh PA 2.02,9.01 11/07/07
FIDELITY BANCORP INC PA 2.02,9.01 11/07/07
FIRST ALBANY COMPANIES INC NY 8.01,9.01 11/07/07
FIRST BANCORP /PR/ PR 2.02,8.01,9.01 11/05/07
FIRST CASH FINANCIAL SERVICES INC DE 8.01 11/06/07
First Federal of Northern Michigan Ba 2.02,9.01 11/06/07
FIRST FINANCIAL HOLDINGS INC /DE/ DE 7.01,9.01 11/06/07
FIRST REAL ESTATE INVESTMENT TRUST OF NJ 8.01 11/07/07
FIRST SOLAR, INC. DE 2.02,9.01 11/07/07
Fitmedia Inc. DE 1.01,2.01,3.02,5.01,5.02,5.06, 11/07/07
9.01
FIVE STAR PRODUCTS INC DE 5.02 11/02/07
FLORIDA ROCK INDUSTRIES INC FL 8.01,9.01 11/05/07
FLUOR CORP DE 2.02,9.01 11/07/07
FOREST CITY ENTERPRISES INC OH 8.01,9.01 11/07/07
Fortunet, Inc. NV 2.02 11/06/07
FOSTER WHEELER LTD D0 2.02,8.01,9.01 11/07/07
FRANKLIN ELECTRIC CO INC IN 7.01,9.01 11/07/07
FRONTIER OIL CORP /NEW/ WY 2.02,9.01 11/07/07
GAIAM INC CO 2.02,9.01 11/07/07
GAMCO INVESTORS, INC. ET AL NY 5.02,9.01 11/06/07
GASTAR EXPLORATION LTD 2.02,9.01 11/07/07
GENERAL MOTORS CORP DE 2.02,9.01 11/06/07
GENERAL MOTORS CORP DE 2.02,9.01 11/07/07
GENETHERA INC FL 4.02 11/07/07
GENTA INC DE/ DE 2.02,9.01 11/07/07
GENVEC INC DE 2.02,9.01 11/07/07
GENWORTH FINANCIAL INC DE 2.02,9.01 11/06/07
GLOBAL AIRCRAFT SOLUTIONS, INC. AZ 1.01,2.03,9.01 11/07/07
GLOBAL AXCESS CORP NV 2.02,9.01 11/07/07
Global Cash Access Holdings, Inc. DE 2.02,9.01 11/07/07
GLOBAL ENERGY INC NV 3.02,5.02 11/02/07
GLOBAL ENTERTAINMENT HOLDINGS/EQUITIE CO 1.03 10/15/07
GoFish Corp. 1.01,5.02,8.01,9.01 11/01/07
Golden Spirit Enterprises Ltd. DE 1.01,8.01,9.01 11/07/07
GOLDEN STAR RESOURCES LTD 2.02,9.01 11/06/07
GOLDMAN SACHS HEDGE FUND PARTNERS LLC DE 7.01 11/07/07
GOLFSMITH INTERNATIONAL HOLDINGS INC DE 2.02,9.01 11/07/07
GRANITE CITY FOOD & BREWERY LTD MN 7.01,9.01 11/07/07
GRAY TELEVISION INC GA 2.02,9.01 11/07/07
GREAT ATLANTIC & PACIFIC TEA CO INC MD 2.01 11/07/07
GREAT PEE DEE BANCORP INC DE 2.02 11/06/07
GREENFIELD ONLINE INC DE 2.02,5.02,9.01 11/02/07
GRYPHON GOLD CORP NV 7.01,9.01 11/07/07
Hammonds Industries, Inc. NV 3.02 11/06/07
HANOVER CAPITAL MORTGAGE HOLDINGS INC MD 5.03,9.01 11/01/07
HCA INC/TN DE 2.02,7.01,9.01 11/07/07
HCC INSURANCE HOLDINGS INC/DE/ DE 2.02,9.01 11/06/07
HEALTH CARE REIT INC /DE/ DE 8.01,9.01 11/07/07
HEALTH MANAGEMENT ASSOCIATES INC DE 5.02 11/05/07
HealthMarkets, Inc. DE 1.01,5.02,9.01 11/01/07
Heelys, Inc. DE 2.02,9.01 11/07/07
HEMACARE CORP /CA/ CA 2.05,2.06,9.01 11/05/07
HEMIS CORP NV 1.01,1.02,9.01 11/06/07
Henry Bros. Electronics, Inc. DE 4.01,9.01 11/05/07
HERBST GAMING INC NV 1.01,2.02,9.01 11/06/07
HERSHA HOSPITALITY TRUST MD 2.02,9.01 11/06/07
HESKA CORP DE 2.02,9.01 09/30/07
HIGHBURY FINANCIAL INC DE 2.02,9.01 11/07/07
Hiland Holdings GP, LP DE 2.02,7.01,9.01 11/07/07
Hiland Partners, LP 2.02,7.01,9.01 11/07/07
HLTH CORP DE 2.02,7.01,8.01,9.01 11/07/07
HOLLY CORP DE 5.02,7.01,9.01 11/02/07
HOME DIRECTOR INC DE 1.01,9.01 11/07/07
HOSPITALITY PROPERTIES TRUST MD 2.02,9.01 11/07/07
HOT TOPIC INC /CA/ CA 2.02,9.01 11/07/07
HOUSERAISING, INC. NC 1.01 10/30/07
HUTTON HOLDINGS CORP NV 2.01,9.01 08/27/07 AMEND
HYTHIAM INC DE 1.01,7.01,9.01 11/06/07
HYTHIAM INC DE 1.01,7.01,9.01 11/06/07 AMEND
ICF International, Inc. DE 1.01,9.01 11/06/07
ICF International, Inc. DE 2.02,9.01 11/07/07
IHS Inc. DE 5.02,9.01 11/07/07
IMAGE ENTERTAINMENT INC DE 8.01,9.01 11/06/07
IMMUNOSYN CORP 7.01,9.01 11/07/07
INFINITY PHARMACEUTICALS, INC. DE 5.02 11/01/07
INGRAM MICRO INC DE 8.01,9.01 11/07/07
INLAND REAL ESTATE CORP MD 2.02,7.01,9.01 09/30/07
INNERWORKINGS INC 2.02,9.01 11/07/07
INSITE VISION INC DE 2.02,9.01 11/07/07
INSPIRE PHARMACEUTICALS INC DE 2.02,9.01 11/07/07
INTEGRATED PHARMACEUTICALS INC 5.02 11/01/07
INTEGRATED SILICON SOLUTION INC DE 5.02 11/02/07
International Securities Exchange Hol 2.02,5.02,9.01 11/06/07
INTERPUBLIC GROUP OF COMPANIES, INC. DE 2.02,9.01 11/01/07
INTERSTATE BAKERIES CORP/DE/ DE 7.01,9.01 11/06/07
INTERSTATE HOTELS & RESORTS INC DE 2.02,9.01 11/07/07
INTREPID TECHNOLOGY & RESOURCES, INC. ID 5.02 11/05/07
INTRUSION INC DE 2.02,9.01 11/07/07
INVENTIV HEALTH INC DE 2.02,9.01 11/07/07
ION GEOPHYSICAL CORP DE 2.02,9.01 11/07/07
IOWA TELECOMMUNICATIONS SERVICES INC IA 2.02,9.01 11/07/07
iPCS, INC DE 2.02,9.01 11/07/07
Isilon Systems, Inc. DE 5.02 11/01/07
J P MORGAN CHASE & CO DE 9.01 11/06/07
J P MORGAN CHASE & CO DE 8.01,9.01 11/01/07
JACOBS ENGINEERING GROUP INC /DE/ DE 2.02,9.01 11/05/07
Jazz Technologies, Inc. DE 7.01,9.01 11/02/07
JER Investors Trust Inc 2.02,9.01 11/06/07
JMP Group Inc. DE 2.02,9.01 11/07/07
KELLOGG CO DE 5.02 11/01/07
KELLWOOD CO DE 1.01,7.01,9.01 11/06/07
KeyOn Communications Holdings Inc. DE 2.02,2.03,3.02,9.01 11/06/07
KINGS ROAD ENTERTAINMENT INC DE 3.02,9.01 10/31/07
KINTERA INC 2.02,9.01 11/07/07
KITE REALTY GROUP TRUST MD 2.02,9.01 11/07/07
KKR Financial Holdings LLC DE 2.02,9.01 11/07/07
KRAFT FOODS INC VA 1.01,5.02,5.03,9.01 11/07/07
KRANTI RESOURCES, INC. NV 8.01 10/31/07
KRATOS DEFENSE & SECURITY SOLUTIONS, DE 1.01,2.03,3.02,9.01 11/02/07
KUSHNER LOCKE CO CA 8.01,9.01 10/31/07
KYPHON INC DE 1.01,1.02,2.01,2.03,3.01,5.01, 11/01/07
5.02,5.03,9.01
LAKES ENTERTAINMENT INC MN 2.02,9.01 11/07/07
LANCE INC NC 5.03,9.01 11/01/07
LAND O LAKES INC 2.02,9.01 11/07/07
LandBank Group Inc DE 1.01,9.01 11/01/07
LANDMARK LAND CO INC/DE DE 8.01,9.01 11/06/07
LEGEND MOBILE INC DE 3.02 11/06/07 AMEND
LEHMAN BROTHERS HOLDINGS INC DE 9.01 11/02/07
LEHMAN BROTHERS HOLDINGS INC DE 9.01 11/01/07
LENOX GROUP INC DE 2.02,5.02,9.01 11/05/07
LHC Group, Inc 8.01 11/07/07
LHC Group, Inc 8.01,9.01 11/07/07
LifeCare Holdings, Inc. DE 7.01 11/07/07
Lifevantage Corp CO 2.03,3.02,9.01 10/31/07
LIGHTPATH TECHNOLOGIES INC DE 7.01,9.01 11/01/07
LMI AEROSPACE INC MO 2.02,9.01 11/06/07
LOOKSMART LTD DE 1.01,2.02,3.03,5.03,8.01,9.01 11/05/07
M&T BANK CORP NY 7.01,9.01 11/07/07
MAGNETEK, INC. DE 1.01,1.02,2.03,9.01 11/06/07
MAGUIRE PROPERTIES INC MD 2.02,7.01,9.01 11/06/07
Maidenform Brands, Inc. DE 2.02,9.01 11/06/07
Main Street Capital CORP MD 8.01,9.01 11/06/07
MAP Pharmaceuticals, Inc. DE 2.02,9.01 11/07/07
MARKWEST ENERGY PARTNERS L P 1.01 11/01/07
MARLIN BUSINESS SERVICES CORP 2.02,8.01,9.01 09/30/07
MARSHALL & ILSLEY CORP/WI/ WI 1.02,2.01,2.03,5.01,5.03,9.01 11/01/07
Marvel Entertainment, Inc. DE 2.02,9.01 11/05/07
MASTEC INC FL 2.02,7.01,9.01 11/06/07
MATHSTAR INC MN 2.02,9.01 11/07/07
McCormick & Schmicks Seafood Restaura 2.02,8.01,9.01 11/07/07
MCDERMOTT INTERNATIONAL INC R1 2.02,9.01 11/07/07
MCMORAN EXPLORATION CO /DE/ DE 1.01,8.01,9.01 11/01/07
MEDALLION FINANCIAL CORP DE 2.02,9.01 11/06/07
MEDAREX INC NJ 5.02,9.01 11/01/07
MEDICAL PROPERTIES TRUST INC 2.02,9.01 11/07/07
MEDICIS PHARMACEUTICAL CORP DE 2.02,9.01 11/07/07
MEDTRONIC INC MN 2.01,9.01 11/02/07
MENTOR CORP /MN/ MN 2.02,9.01 11/07/07
MERIDIAN RESOURCE CORP TX 2.02 11/07/07
MERIDIAN RESOURCE CORP TX 8.01 11/06/07
MESA AIR GROUP INC NV 5.02 11/05/07
METAL MANAGEMENT INC DE 2.02,9.01 11/07/07
MGT CAPITAL INVESTMENTS INC DE 8.01,9.01 11/07/07
MOLINA HEALTHCARE INC DE 1.01,2.01,9.01 11/01/07
Morgans Hotel Group Co. DE 2.02,9.01 11/07/07
MortgageIT Securities Corp. Mortgage DE 6.02 11/01/07
MOSAIC CO 7.01,9.01 11/07/07
MOSAIC CO 7.01,9.01 11/07/07
MOTIVE INC DE 2.02,9.01 11/07/07
MQ ASSOCIATES INC 2.02,9.01 11/07/07
MULTI COLOR CORP OH 8.01,9.01 11/06/07
MYLAN INC. PA 8.01 11/01/07
N-VIRO INTERNATIONAL CORP DE 1.01,9.01 10/17/07
NASDAQ STOCK MARKET INC DE 1.01,7.01,8.01,9.01 11/06/07
NASTECH PHARMACEUTICAL CO INC DE 1.02,9.01 11/06/07
NATIONAL FINANCIAL PARTNERS CORP 2.02,9.01 11/07/07
NATIONAL HEALTH INVESTORS INC MD 2.02 09/30/07
NATIONAL PENN BANCSHARES INC PA 8.01,9.01 11/07/07
NATIONAL RESEARCH CORP WI 2.02,9.01 11/06/07
NATIONAL WESTERN LIFE INSURANCE CO CO 2.02,9.01 11/07/07
NATROL INC DE 1.01,9.01 11/01/07
NAVTEQ CORP DE 1.01,9.01 11/06/07
NBTY INC DE 2.02,9.01 11/05/07
NEKTAR THERAPEUTICS DE 2.02,9.01 11/07/07
NEOMEDIA TECHNOLOGIES INC DE 1.01 11/01/07
NEOSE TECHNOLOGIES INC DE 8.01,9.01 11/07/07
NETSCOUT SYSTEMS INC DE 1.01,2.01,2.03,3.02,5.02,9.01 11/01/07
NETWORK EQUIPMENT TECHNOLOGIES INC DE 2.02,9.01 10/31/07 AMEND
NEW ENGLAND REALTY ASSOCIATES LIMITED MA 5.02,8.01 10/29/07
NEW YORK COMMUNITY BANCORP INC DE 7.01,9.01 11/06/07
NEW YORK MORTGAGE TRUST INC MD 2.02,7.01,9.01 11/06/07
NEWCASTLE INVESTMENT CORP MD 2.02,9.01 11/07/07
NEWS CORP 2.02,9.01 11/07/07
NIC INC CO 2.02,7.01,9.01 11/07/07
NIC INC CO 5.02,7.01,9.01 11/05/07
NNN Apartment REIT, Inc. MD 1.01,2.01,2.03,7.01,9.01 11/01/07
NOBLE INTERNATIONAL, LTD. DE 5.02,9.01 11/06/07
NORTEL NETWORKS CORP 5.05 11/07/07
NORTEL NETWORKS LTD 5.05 11/07/07
NORTH PITTSBURGH SYSTEMS INC PA 8.01,9.01 11/06/07
NORTHERN TRUST CORP DE 7.01,9.01 11/07/07
Northfield Bancorp, Inc. X1 8.01,9.01 11/07/07
NORTHSTAR REALTY 1.01 11/06/07
NOVASTAR FINANCIAL INC MD 1.02,5.02,8.01 11/01/07
NOVASTAR HOME EQUITY LOAN ASSET BACKE 1.01,9.01 10/31/07
NOVASTAR MORTGAGE FUNDING CORP HOME E NY 1.01,9.01 10/31/07
NOVASTAR MORTGAGE FUNDING CORP HOME E 1.01,9.01 10/31/07
NOVASTAR MORTGAGE FUNDING CORP HOME E 1.01,9.01 10/31/07
NOVASTAR MORTGAGE FUNDING CORP TRUST DE 1.01,9.01 10/31/07
NOVASTAR MORTGAGE FUNDING TRUST SERIE DE 1.01,9.01 10/31/07
Novastar Mortgage Funding Trust Serie DE 1.01,9.01 10/31/07
Novastar Mortgage Funding Trust Serie DE 1.01,9.01 10/31/07
NovaStar Mortgage Funding Trust, Seri DE 1.01,9.01 10/31/07
NovaStar Mortgage Funding Trust, Seri DE 1.01,9.01 10/31/07
NovaStar Mortgage Funding Trust, Seri DE 1.01,9.01 10/31/07
NovaStar Mortgage Funding Trust, Seri DE 1.01,9.01 10/31/07
NovaStar Mortgage Funding Trust, Seri 1.01,9.01 10/31/07
Novastar Mortgage Funding Trust, Seri 1.01,9.01 10/31/07
NovaStar Mortgage Funding Trust, Seri DE 1.01,9.01 10/31/07
NovaStar Mortgage Funding Trust, Seri DE 1.01,9.01 10/31/07
NovaStar Mortgage Funding Trust, Seri DE 1.01,9.01 10/31/07
NovaStar Mortgage Funding Trust, Seri DE 1.01,9.01 10/31/07
Novastar Mortgage Funding Trust, Seri DE 1.01,9.01 10/31/07
NovaStar Mortgage Funding Trust, Seri DE 1.01,9.01 10/31/07
Novastar Mortgage Funding Trust, Seri DE 1.01,6.02,9.01 10/31/07
Novastar Mortgage Funding Trust, Seri DE 1.01,6.02,9.01 10/31/07
NPC INTERNATIONAL INC KS 2.02,9.01 11/07/07
NTELOS HOLDINGS CORP 7.01,9.01 11/07/07
NUCRYST Pharmaceuticals Corp. A0 2.02,9.01 11/07/07
NuStar Energy L.P. DE 2.02,7.01,9.01 11/07/07
NuStar Energy L.P. DE 7.01,9.01 11/07/07
NuStar GP Holdings, LLC DE 2.02,7.01,9.01 11/07/07
NuStar GP Holdings, LLC DE 7.01,9.01 11/07/07
NVR INC VA 5.02,9.01 11/06/07
OAKLEY INC WA 8.01,9.01 11/07/07
OM GROUP INC DE 5.02 11/06/07
OPEN ENERGY CORP NV 1.01,5.02,9.01 11/07/07
OPTIMAL GROUP INC 7.01 11/07/06
ORCHESTRA THERAPEUTICS, INC. DE 1.01 11/06/07
ORLEANS HOMEBUILDERS INC DE 2.02,9.01 11/07/07
ORMAT TECHNOLOGIES, INC. DE 2.02,9.01 11/07/07
OSTEOTECH INC DE 5.03,9.01 11/01/07
PAB BANKSHARES INC GA 2.02,7.01,9.01 11/07/07
Pacific Coast National Bancorp CA 2.02,9.01 11/07/07
PACIFIC GAS & ELECTRIC CO CA 8.01 11/07/07
PACIFIC SUNWEAR OF CALIFORNIA INC CA 1.01,9.01 11/01/07
PARALLEL PETROLEUM CORP DE 7.01,9.01 11/06/07
PARALLEL PETROLEUM CORP DE 7.01,9.01 11/07/07
PARKER DRILLING CO /DE/ DE 2.02,9.01 11/07/07
PDL BIOPHARMA, INC. DE 1.01,9.01 11/01/07
PECO II INC OH 2.02,9.01 11/07/07
PEPSICO INC NC 5.02,9.01 11/02/07
PERMA FIX ENVIRONMENTAL SERVICES INC DE 2.02,9.01 11/07/07
PetroHunter Energy Corp MD 1.01,2.01,8.01,9.01 11/06/07
PG&E CORP CA 8.01 11/07/07
PHAR MOR INC PA 7.01 11/01/07
Pharma-Bio Serv, Inc. 5.02 11/05/07
PHOENIX TECHNOLOGIES LTD DE 8.01 11/07/07
Piedmont Community Bank Group, Inc. GA 2.02,9.01 11/06/07
PLAYBOY ENTERPRISES INC DE 2.02,9.01 11/07/07
PLUG POWER INC DE 2.02,9.01 04/26/07
POINT BLANK SOLUTIONS, INC. DE 8.01,9.01 10/30/07 AMEND
POINT BLANK SOLUTIONS, INC. DE 5.02 10/31/07 AMEND
POLO RALPH LAUREN CORP DE 2.02,9.01 11/07/07
POMEROY IT SOLUTIONS INC DE 8.01 11/01/07
PRA International DE 2.02,9.01 11/07/07
PRAXAIR INC DE 5.02 11/01/07
PRIMUS GUARANTY LTD 2.02,9.01 11/07/07
PRINCETON REVIEW INC DE 2.02,5.02,9.01 11/06/07
PRINCIPAL LIFE INSURANCE CO IA 9.01 11/02/07
PRINCIPAL LIFE INSURANCE CO IA 9.01 11/02/07
PROLOGIS MD 1.01,2.03,9.01 11/01/07
PROSPECT CAPITAL CORP MD 8.01,9.01 11/06/07
PROTECTIVE LIFE CORP DE 2.02,9.01 11/06/07
PROVIDENCE SERVICE CORP DE 1.01,2.03,3.02,9.01 11/06/07
PSYCHIATRIC SOLUTIONS INC DE 5.03,9.01 11/01/07
QMED INC DE 5.02,8.01,9.01 11/02/07
QUANTA SERVICES INC DE 7.01,9.01 11/05/07
QUEST SOFTWARE INC CA 5.03,9.01 11/01/07
QUICKSILVER RESOURCES INC DE 1.01,2.01,2.05,8.01,9.01 09/12/07
QUIDEL CORP /DE/ DE 5.02,9.01 11/05/07
RAFAELLA APPAREL GROUP,INC. DE 5.02 11/07/07
RBS GLOBAL INC DE 2.02,9.01 11/07/07
RCM TECHNOLOGIES INC NV 2.02 09/29/07
RENOVIS INC DE 2.02,9.01 11/06/07
RENTRAK CORP OR 2.02,9.01 11/06/07
REWARDS NETWORK INC DE 2.02,9.01 11/07/07
RICA FOODS INC NV 2.05 09/28/07
Ridgewood Energy O Fund LLC 2.06 11/05/07
RIDGEWOOD ENERGY T FUND LLC 2.06 11/05/07
Rockies Region 2006 Private Limited P WV 4.02 11/07/07
RUBIOS RESTAURANTS INC DE 2.02,9.01 11/07/07
SALEM COMMUNICATIONS CORP /DE/ DE 2.02,7.01,9.01 11/07/07
SAMOYED ENERGY CORP 5.02 11/07/07
SANDERS MORRIS HARRIS GROUP INC TX 2.02,8.01,9.01 11/07/07
SANDRIDGE ENERGY INC DE 1.01,7.01,9.01 11/05/07
Sara Lee Corp MD 2.02,9.01 11/07/07
SCANNER TECHNOLOGIES CORP NM 7.01,9.01 11/05/07
SCIENTIFIC LEARNING CORP DE 1.01,5.02 11/01/07
SELECTICA INC DE 2.02,8.01,9.01 11/07/07
SEMCO ENERGY INC MI 8.01,9.01 11/07/07
SILGAN HOLDINGS INC DE 8.01,9.01 11/05/07
Somaxon Pharmaceuticals, Inc. DE 2.02,9.01 11/07/07
SONUS PHARMACEUTICALS INC DE 2.05,3.01,5.02,9.01 11/01/07
SOTHEBYS DE 1.01 11/01/07
SOUTH TEXAS OIL CO NV 7.01,9.01 11/07/07
SOUTHERN NATURAL GAS CO DE 3.03,8.01,9.01 11/01/07
SOUTHERN STAR ENERGY INC. NV 5.02,9.01 11/02/07
SOUTHWALL TECHNOLOGIES INC /DE/ DE 5.02,5.03,9.01 11/05/07
SPANISH BROADCASTING SYSTEM INC DE 2.02,9.01 11/07/07
SPECIALIZED HEALTH PRODUCTS INTERNATI DE 2.02,9.01 11/07/07
SPEEDWAY MOTORSPORTS INC DE 2.02,9.01 11/07/07
SRA INTERNATIONAL INC DE 2.02,9.01 11/07/07
Stamford Industrial Group, Inc. DE 2.02,9.01 11/07/07
STEINER LEISURE LTD C5 8.01 11/05/07
STEN CORP MN 3.02 11/06/07
Sterling Banks, Inc. NJ 2.02,9.01 11/07/07
STRATEGIC GAMING INVESTMENTS, INC. DE 1.02,9.01 10/11/07
SUNRISE TELECOM INC 2.02,7.01,9.01 09/30/07
SUNRISE TELECOM INC 8.01 11/02/07
SUPERCLICK INC WA 7.01 11/07/07
Superior Well Services, INC DE 2.02,9.01 11/06/07
SUPREME INDUSTRIES INC DE 2.02,9.01 11/07/07
SUREWEST COMMUNICATIONS CA 2.02,9.01 11/07/07
SYSVIEW TECHNOLOGY, INC. 5.02,9.01 11/01/07
TAL International Group, Inc. DE 2.02,9.01 11/06/07
TARRANT APPAREL GROUP CA 5.02 11/01/07
TECHNOLOGY INVESTMENT CAPITAL CORP MD 2.02,9.01 11/07/07
TechTarget Inc 1.01,2.01,2.02,9.01 11/01/07
TECHTEAM GLOBAL INC DE 1.01,2.02,9.01 11/02/07
TECUMSEH PRODUCTS CO MI 1.01,2.06,7.01,9.01 11/01/07
TEJON RANCH CO DE 2.02,9.01 11/07/07
Telanetix,Inc DE 2.01,9.01 09/14/07 AMEND
TELIK INC DE 2.02,9.01 11/07/07
TELULAR CORP DE 2.02,9.01 11/01/07
TESCO CORP 2.02,9.01 11/06/07
TESSERA TECHNOLOGIES INC DE 7.01,9.01 11/07/07
Thorium Power, Ltd NV 7.01,9.01 11/07/07
TIMBERLAND BANCORP INC WA 2.02,9.01 11/06/07
TIME LENDING CALIFORNIA INC NV 8.01 10/27/07
TIME WARNER CABLE INC. DE 2.02,9.01 11/07/07
TIME WARNER INC DE 2.02,9.01 11/07/07
Tower Group, Inc. DE 2.02,9.01 11/06/07
TRANSACT TECHNOLOGIES INC DE 2.02,9.01 11/07/07
TRANSGENOMIC INC DE 2.02,9.01 11/07/07
TRANSMETA CORP DE 2.02,7.01,9.01 11/07/07
TransMontaigne Partners L.P. DE 2.02,9.01 11/07/07
Travelstar, Inc. CA 5.02 10/29/07
TREE TOP INDUSTRIES, INC. NV 1.01,2.01,3.02,5.02,5.06,9.01 11/01/07
TRUE PRODUCT ID, INC. DE 5.02,8.01,9.01 11/07/07
TRUMP ENTERTAINMENT RESORTS, INC. DE 1.01,9.01 11/02/07
TXCO Resources Inc DE 2.02,9.01 11/05/07
U S GLOBAL INVESTORS INC TX 2.02,9.01 11/06/07
UNITED BANKSHARES INC/WV WV 5.02,9.01 11/01/07
UNITED NATURAL FOODS INC DE 2.01,8.01,9.01 11/02/07
UNITED RENTALS INC /DE DE 7.01 11/07/07
UNITED SURGICAL PARTNERS INTERNATIONA DE 2.02,9.01 11/06/07
UNIVERSAL CORP /VA/ VA 2.02,5.02,8.01,9.01 11/07/07
UNIVISION COMMUNICATIONS INC DE 2.02,9.01 11/06/07
UOMO Media Inc. NV 1.01,5.02,9.01 01/11/07
UROPLASTY INC MN 7.01,9.01 11/07/07
URS CORP /NEW/ DE 2.02,9.01 11/07/07
UST INC DE 8.01,9.01 11/06/07
uVuMobile, Inc DE 1.01,5.02,9.01 11/02/07
VALENCE TECHNOLOGY INC DE 2.02,9.01 11/07/07
Valentec Systems, Inc DE 8.01,9.01 11/07/07
VALPEY FISHER CORP MD 2.02,9.01 11/07/07
Vantage Energy Services, Inc. DE 5.02 11/02/07
Vella Productions Inc. NV 5.03,9.01 11/07/07
VERENIUM CORP DE 1.01,2.02,9.01 11/06/07
Victory Acquisition Corp DE 5.03,9.01 11/06/07
VIRCO MFG CORPORATION DE 7.01,9.01 11/06/07
VIRGIN MEDIA INC. DE 2.02,9.01 11/07/07
VISUAL SCIENCES, INC. CA 2.02,9.01 11/07/07
Voyager Petroleum, Inc. NV 1.01,9.01 10/30/07
W&T OFFSHORE INC TX 2.02,9.01 11/07/07
W&T OFFSHORE INC TX 1.01,2.03,9.01 11/06/07
WCI COMMUNITIES INC 2.05,5.02,8.01,9.01 11/07/07
WebMD Health Corp. DE 2.02,7.01,8.01,9.01 11/07/07
WELLS FARGO & CO/MN DE 9.01 11/07/07
Western Refining, Inc. DE 2.02,9.01 11/07/07
WHERIFY WIRELESS INC DE 5.02 11/01/07
WILLIAMS SONOMA INC CA 5.02 11/01/07
WOLVERINE TUBE INC DE 2.05,2.06,7.01,9.01 11/02/07
World Monitor Trust III DE 1.02,9.01 11/07/07
Wright Express CORP 5.02 11/05/07
X RITE INC MI 2.02,9.01 11/06/07
Xcorporeal, Inc. DE 7.01,9.01 11/07/07
XENOPORT INC DE 2.02,9.01 11/07/07
XEROX CORP NY 8.01,9.01 10/29/07
XIOM CORP DE 4.01,9.01 11/02/07
XSUNX INC CO 7.01,9.01 11/05/07
YOUBET COM INC DE 2.02,5.02,9.01 11/05/07
ZIPREALTY INC 2.02,9.01 11/07/07
ZORAN CORP \DE\ DE 8.01 11/02/07
Zumiez Inc 7.01,9.01 11/07/07
http://www.sec.gov/news/digest/2007/dig110807.htm
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