SEC News Digest (November 20, 2007)

	Home \| Previous Page

SEC NEWS DIGEST

Issue 2007-223 November 20, 2007

COMMISSION ANNOUNCEMENTS

BRIAN BREHENY NAMED DEPUTY DIRECTOR IN DIVISION OF CORPORATION FINANCE

The Securities and Exchange Commission announced today that Brian V.
Breheny has been named Deputy Director for Legal and Regulatory Policy
in the agency's Division of Corporation Finance.

John White, Director of the Division of Corporation Finance, said,
"Brian brings the perfect complement of experiences to this position.
His strong professional experience in both accounting and law,
combined with his stellar record leading one of our key offices, will
serve him and the Division well as he assumes this important new role.
I enthusiastically welcome Brian to the Division's senior leadership
team."

As Deputy Director for Legal and Regulatory Policy, Mr. Breheny will
join Shelley E. Parratt, Deputy Director for Disclosure Operations, in
overseeing the Division's day-to-day activities.

Mr. Breheny said, "I am honored that John has asked me to join him,
Shelley and the other members of the senior staff at this critical
time for the Division, the Commission and the U.S. capital markets.
Working on behalf of the investor community has truly been the most
professionally rewarding experience of my career. I look forward to
continuing this work and assisting the Division with its goal of
efficiently and effectively meeting the mission of the Commission."

Mr. Breheny has served as the Chief of the Office of Mergers and
Acquisitions in the Division of Corporation Finance since July 2003.
From 1996 to 2003, he was an associate at Clifford Chance US LLP in
its New York and London offices. Prior to attending law school, Mr.
Breheny worked for KPMG LLP as a Certified Public Accountant.

Mr. Breheny earned a J.D., cum laude, in 1996 from St. John's
University School of Law, where he was an editor of the St. John's
Journal of Legal Commentary. Mr. Breheny received his B.S. in
Accounting from St. John's University's Peter J. Tobin School of
Business Administration in 1990. (Press Rel. 2007-238)

WAYNE CARNALL NAMED CHIEF ACCOUNTANT IN DIVISION OF CORPORATION
FINANCE

The Securities and Exchange Commission announced today that Wayne
Carnall has been named Chief Accountant of the agency's Division of
Corporation Finance. Mr. Carnall will be the principal advisor to John
White, Director of the Division, on accounting and auditing matters.

"I am extremely pleased that Wayne will rejoin the SEC as Chief
Accountant in the Division of Corporation Finance," Mr. White said.
"His unique mix of experiences will serve us well as we address the
many important financial reporting issues before the Commission. Wayne
will be a superb resource for the Division's disclosure program
through which the staff reviews the SEC filings of more than 10,000
public companies. I am delighted to welcome Wayne to the Division's
senior leadership team."

Mr. Carnall said, "It is a great honor to be appointed Chief
Accountant. There are a number of critically important issues that are
being addressed to improve financial reporting. I look forward to
returning to the staff and working with John, the dedicated and
talented accounting staff in the Division, and others in the agency to
address these matters."

Mr. Carnall has been a partner at PricewaterhouseCoopers since 1997.
As a member of the National Professional Services Group, he worked
with a number of large international clients and developed firm SEC
reporting policies and practices for foreign private issuers. From
1991 to 1997, Mr. Carnall served in a number of positions of
increasing responsibility in the Division of Corporation Finance
including Associate Director for Accounting Operations. Prior to
joining the staff of the SEC in 1991, he was a staff member with
PricewaterhouseCoopers.

Mr. Carnall earned his B.S. in Accounting from Alfred University in
1981 and has been a certified public accountant since 1983. (Press
Rel. 2007-239)

SEC ANNOUNCES $31.5 MILLION FAIR FUND DISTRIBUTION TO INVESTORS
INJURED BY UNDISCLOSED MARKET TIMING IN MFS FUNDS

The Securities and Exchange Commission today distributed $31.5 million
in Fair Funds to more than 150,000 investors who were harmed by
undisclosed mutual fund market timing in the Massachusetts Financial
Services Company (MFS) funds between 1999 and 2003.

The distribution is the first in a series of disbursements from the
Fair Fund that will return approximately $306 million to affected MFS
account holders. The Fair Fund resulted from a Commission enforcement
action charging unlawful conduct by Massachusetts Financial Services
Company and two of its former officers by allowing widespread market
timing trading in certain MFS mutual funds contrary to those funds'
public disclosures.

The Commission has returned more than $3.2 billion to injured
investors through Fair Fund distributions since the passage of the
Sarbanes-Oxley Act in 2002.

"We are very pleased to begin distributing the MFS Fair Fund to
investors injured by past market timing misconduct," said David
Bergers, Director of the SEC's Boston Regional Office. "This Fair Fund
and others like it permit the Commission to continue helping investors
injured by securities law violators."

In 2004, the Commission brought and settled public administrative and
cease-and-desist proceedings against MFS, its chief executive officer
John W. Ballen, and its president and chief equity officer Kevin R.
Parke. Each consented to a Commission Order charging anti-fraud
violations without admitting or denying the Commission's findings.
Among other things, the Commission ordered MFS to pay $175 million in
disgorgement and $50 million in penalties for distribution through a
Fair Fund.

Investors can obtain additional information about the distribution
process, including a copy of the Distribution Plan, by visiting
http://www.Rust-MFSSettlement.com or by calling the Administrator of
the Distribution Plan at 1-866-216-0283. (Press Rel. 2007-241)

ENFORCEMENT PROCEEDINGS

INITIAL DECISION AS TO ORBIT BRANDS CORP.

The registration of the stock of Orbit Brands Corp. (Orbit Brands),
has been revoked. Orbit Brands had failed to file any annual or
quarterly reports with the Commission subsequent to the fiscal year
ended Dec. 31, 2004. 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. Orbit Brands is currently unable to predict
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. 338; File No. 3-12706)

FORMER BEAR STEARNS REGISTERED REPRESENTATIVE ANDREW SREBNIK SETTLES
SEC INSIDER TRADING CHARGES

The Commission announced today that on Nov. 14, 2007, the Honorable P.
Kevin Castel, U.S. District Judge for the Southern District of New
York, entered a final judgment against Andrew A. Srebnik, a former
registered representative at Bear, Stearns & Co., Inc., in SEC v.
Guttenberg, et al., C.A. No. 07 CV 1774 (S.D.N.Y.), an insider trading
case the Commission filed on March 1, 2007. See Lit. Rel. No. 20022.
Srebnik is one of fourteen defendants in the Commission's complaint,
which alleged illegal insider trading in connection with two related
schemes in which Wall Street professionals serially traded on
material, nonpublic information tipped, in exchange for cash
kickbacks, by insiders at UBS Securities LLC and Morgan Stanley & Co.,
Inc.

With respect to Srebnik, the Commission's complaint alleged that from
at least 2001 through 2006, Mitchel S. Guttenberg, an executive
director in the equity research department of UBS, illegally tipped
material, nonpublic information concerning upcoming UBS analyst
upgrades and downgrades to at least two Wall Street traders, Erik R.
Franklin and David M. Tavdy, in exchange for sharing in the illicit
profits from their trading on that information. The complaint alleged
that Franklin illegally traded on this insider information for a hedge
fund he managed at Bear, Stearns & Co., Inc., Lyford Cay Capital, LP,
and in his personal accounts at Bear Stearns. As alleged in the
complaint, Andrew Srebnik worked on a trading desk at Bear Stearns
where he had access to Franklin's trading information. The complaint
alleged that based on Franklin's trading patterns and discussions with
another registered representative at Bear Stearns knowledgeable of
Franklin's trading, Srebnik knew that Franklin was using material,
nonpublic information to trade ahead of upcoming UBS analyst
recommendations. The complaint further alleged that from at least
March 2002 through June 2002, Srebnik monitored Franklin's trading at
Bear Stearns and used the UBS tips to purchase and sell securities in
his personal account, in violation Section 10(b) of the Securities
Exchange Act of 1934 and Rule 10b-5 thereunder, and Section 17(a) of
the Securities Act of 1933.

Without admitting or denying the allegations in the complaint, Srebnik
consented to the entry of the final judgment which (i) permanently
enjoins him from violating Exchange Act Section 10(b), Rule 10b-5
thereunder, and Securities Act Section 17(a); and (ii) orders him to
pay $54,730, which consists of disgorgement of $23,178, prejudgment
interest thereon of $8,374, and a civil penalty of $23,178. In a
related administrative proceeding, Srebnik consented to entry of a
Commission order that bars him from association with any broker,
dealer, or investment adviser.

The Commission's investigation is continuing. [SEC v. Mitchel S.
Guttenberg, Erik R. Franklin, David M. Tavdy, Mark E. Lenowitz, Robert
D. Babcock, Andrew A. Srebnik, Ken Okada, David A. Glass, Marc R.
Jurman, Randi E. Collotta, Christopher K. Collotta, Q Capital
Investment Partners, LP, DSJ International Resources Ltd. (d/b/a
Chelsey Capital), and Jasper Capital LLC, C.A. No. 07 CV 1774
(S.D.N.Y) (PKC)] (LR-20367); Administrative Proceeding - (Rels. 34-
56823; IA-2677; File No. 3-12893)

FINAL JUDGMENTS ENTERED AGAINST DEFENDANTS BARRETT R. CLARK, DAVID L.
SMITH, JR. AND THOMAS BOJADZIJEV

The Commission announced that on July 27, 2007, the U.S. District
Court for the Middle District of Florida entered a Final Judgment of
Permanent Injunction and Other Relief against Defendant Barrett R.
Clark. The Final Judgment entered with Clark's consent, without
admitting or denying the complaint's allegations, enjoins him from
violations of Sections 5(a), 5(c) and 17(a) of the Securities Act of
1933 and Section 10(b) and Rule 10b-5 of the Securities Exchange Act
of 1934. Clark is additionally barred from participating in a penny
stock offering for a period of three (3) years. He is ordered to pay
disgorgement in the amount of $170,000.00, prejudgment interest of
$29,886.72 and a civil penalty in the amount of $60,000.00.

On Aug. 31, 2007, the Court also entered Final Judgments Setting
Disgorgement and Imposing Civil Penalties against Defendants David L.
Smith, Jr. and Thomas Bojadzijev. The Final Judgment against Smith
orders him to pay disgorgement in the amount of $4,270,450.00,
prejudgment interest of $464,271.47 and a civil penalty in the amount
of $120,000. The Final Judgment against Bojadzijev orders him to pay
disgorgement in the amount of $2,681,866.00, prejudgment interest of
$291,565.02 and a civil penalty in the amount of $120,000. Previously,
on Aug. 7, 2006, and Jan. 3, 2007, the Court entered judgments of
permanent injunction and other relief against Smith and Bojadzijev,
respectively.

The SEC commenced this action by filing its complaint against Clark,
Smith and Bojadzijev, among others, alleging the defendants violated
the registration, antifraud, and reporting provisions of the federal
securities laws. [SEC v. Roanoke Technology Corp., et al., Case No.
6:05-cv-1880-Orl-31KRS (M.D.Fla.)] (LR-20365)

SEC v. EDWARD P. MAY AND E-M MANAGEMENT CO. LLC

The Commission today filed charges stemming from a $250 million
offering fraud that involved phony Las Vegas casino and resort
telecommunications deals and victimized as many as 1,200 investors,
many of whom were senior citizens.

The SEC's action charges Detroit-area resident Edward May and E-M
Management Co. LLC with selling investors shares of limited liability
companies that they claimed had received revenues from
telecommunications equipment and services contracts with hotels,
casinos, resorts and similar establishments, many of which were
purportedly located in Las Vegas. In fact, no such contracts ever
existed. To perpetrate their fraudulent scheme, May and E-M relied
on a network of individuals, some of whom organized "investment
seminars" to entice investors to invest with E-M.

The Commission's civil injunctive complaint, filed in the U.S.
District Court, Eastern District of Michigan, alleges that May,
through E-M, raised as much as $250 million between 1998 and July 2007
from investors living in such states as Michigan, California, Florida,
Illinois, New York, Ohio and New Jersey. According to the complaint,
May and E-M sold securities in the form of interests in limited
liability companies (LLCs), and told investors that these LLCs had
been contracted to install and provide telecommunications equipment
and services to such major hotel chains and casinos as Hilton, MGM
Grand, Motel 6, Tropicana and Sheraton. Both orally and in writing,
May and E-M promised returns in the form of monthly payments to
investors for a period as long as 12 to 14 years, and "guaranteed"
that investors, at a minimum, would receive the promised payments for
approximately the first 20 to 24 months after they invested.

The complaint alleges that, in reality, the LLCs did not have any
telecommunication contracts with the establishments identified in
offering materials provided by May and E-M. To further their scheme,
May and E-M provided some investors with copies of fictitious
contracts between E-M or certain LLCs and various hotels and casinos.
Some of these fictitious contracts included the names of purported
hotel executives who did not exist.

The SEC complaint alleges that, as a result of their misconduct, May
and E-M violated, and unless enjoined will continue to violate,
Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 and
Section 10(b) of the Securities Exchange Act and Rule 10b-5
thereunder. As part of this action, the Commission seeks orders of
preliminary and permanent injunction against May and E-M enjoining
them from future violations of certain federal securities laws and, in
addition, requiring May and E-M to pay disgorgement of ill-gotten
gains, prejudgment interest and civil penalties.

Investors with questions or information about this matter may call the
Chicago Regional Office's telephone line dedicated to this case at
(312) 353-0626. [SEC v. Edward P. May and E-M Management Co. LLC,
Civil Action No. 2-07-CV-14954 (E.D. Michigan)(Feiken, J.)] (LR-20366;
Press Rel. 2007-240)

SELF-REGULATORY ORGANIZATIONS

PROPOSED RULE CHANGES

The Depository Trust Company filed a proposed rule change (SR-DTC-
2007-11) that would amend its Operational Arrangements as it applies
to structured securities. Publication is expected in the Federal
Register during the week of November 19. (Rel. 34-56795)

The Chicago Board Options Exchange filed a proposed rule change (SR-
CBOE-2007-125) and Amendment No. 2 thereto relating to the $1 Strike
Pilot Program pursuant to Rule 19b-4 under the Securities Exchange Act
of 1934. Publication is expected in the Federal Register during the
week of November 19. (Rel. 34-56801)

The American Stock Exchange filed a proposed rule change (SR-Amex-
2007-53), and Amendment Nos. 1 and 2 thereto, relating to the listing
and trading of the GreenHaven Continuous Commodity Index Fund.
Publication is expected in the Federal Register during the week of
November 19. (Rel. 34-56802)

A proposed rule change (SR-CBOE-2007-130) has been filed by the
Chicago Board Options Exchange regarding a proposal to amend CBOE Rule
4.20, codifying the Anti-Money Laundering Compliance Program, to
establish: (1) independent testing for compliance be conducted at
least annually by members with a public business, or every two years
if no public business is conducted; and (2) clarify the persons
designated to implement and monitor the Anti-Money Laundering
Compliance Program Rule. Publication is expected in the Federal
Register during the week of November 19. (Rel. 34-56816)

IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES

The Options Clearing Corporation filed a proposed rule change (SR-OCC-
2007-10) under Section 19(b)(3)(A) of the Securities Exchange Act,
which became immediately effective, relating to the fees charged to
clearing members and non-clearing members for Theoretical Profit and
Loss Values. Publication is expected in the Federal Register during
the week of November 19. (Rel. 34-56800)

A proposed rule change (SR-NYSEArca-2007-117) filed by NYSE Arca
adding a new order type known as PNP Blind 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 19. (Rel. 34-56810)

A proposed rule change (SR-Amex-2007-118) filed by the American Stock
Exchange that revises the Amex's AEMI rules to eliminate the post-
opening pair-off of marketable orders held in the message queue 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 19. (Rel. 34-56811)

JOINT INDUSTRY PLAN RELEASES

ORDER APPROVING JOINT AMENDMENT NO. 24

The Commission approved a joint amendment to the Plan for the
Purpose of Creating and Operating an Intermarket Options Linkage
submitted under Rule 608 of the Securities Exchange Act of 1934 by
the American Stock Exchange, Boston Stock Exchange, Chicago Board
Options Exchange, International Securities Exchange, NYSE Arca,
and Philadelphia Stock Exchange regarding the elimination of the
Class Gate. Publication is expected in the Federal Register during
the week of November 19. (Rel. 34-56806; File No. 4-429)

SECURITIES ACT REGISTRATIONS

The following registration statements have been filed with the SEC
under the Securities Act of 1933. The reported information appears as
follows: Form, Name, Address and Phone Number (if available) of the
issuer of the security; Title and the number and/or face amount of the
securities being offered; Name of the managing underwriter or
depositor (if applicable); File number and date filed; Assigned
Branch; and a designation if the statement is a New Issue.

Registration statements may be obtained in person or by writing to the
Commission's Public Reference Branch at 100 F Street, N.E.,
Washington, D.C. 20549-1090 or at the following e-mail box address:
publicinfo@sec.gov. In most cases, this information is also available
on the Commission's website: www.sec.gov.

S-3 Hana Biosciences Inc, 7000 SHORELINE COURT, SUITE 370,
SOUTH SAN FRANCISCO, CA, 94080, 6505886404 - 0 ($7,892,911.73) Equity,
(File 333-147485 - Nov. 19) (BR. 01A)

S-1 ShoreTel Inc, 960 STEWART DRIVE, SUNNYVALE, CA, 94085, 408 331 3300 -
5,060,000 ($78,581,800.00) Equity, (File 333-147486 - Nov. 19) (BR. 11B)

S-3ASR WRIGHT MEDICAL GROUP INC, 5677 AIRLINE ROAD, ARLINGTON, TN, 38002,
9018679971 - 0 ($0.00) Debt Convertible into Equity, (File 333-147487 -
Nov. 19) (BR. 10C)

S-3 SEMOTUS SOLUTIONS INC, 718 UNIVERSITY AVE, SUITE 202, LOS GATOS, CA,
95032, 4083996120 - 250,299 ($205,245.18) Equity, (File 333-147489 -
Nov. 19) (BR. 03A)

S-8 SYNTHESIS ENERGY SYSTEMS INC, 6330 WEST LOOP SOUTH SUITE 300, HOUSTON,
TX, 77401, 713-579-0600 - 6,000,000 ($68,940,000.00) Equity,
(File 333-147490 - Nov. 19) (BR. 06B)

S-3 OLD REPUBLIC INTERNATIONAL CORP, 307 N MICHIGAN AVE, CHICAGO, IL,
60601, 3123468100 - 1,000,000 ($15,690,000.00) Equity,
(File 333-147491 - Nov. 19) (BR. 01B)

SB-2 Asia Document Transition, Inc., 10TH FLOOR, NEW YORK HOUSE,
60 CONNAUGHT ROAD, CENTRAL, K3, 00000, 852-25459133 -
6,150,000 ($615,000.00) Equity, (File 333-147492 - Nov. 19) (BR. 11)

SB-2 China Soaring Inc., ZHAO BEI SHAO QU, ZHAO SHANG LU,
BUILDING 32, ROOM 601, SHENZHEN, SHEKOU, F4, 518067,
(86) 135-101-99293 - 3,000,000 ($150,000.00) Equity, (File 333-147493 -
Nov. 19) (BR. 08)

S-3 LOCAL.COM, ONE TECHNOLOGY DRIVE, BUILDING G, IRVINE, CA, 92618,
(949) 784-0800 - 0 ($29,600,000.00) Equity, (File 333-147494 - Nov. 19)
(BR. 03A)

S-8 DOLLAR FINANCIAL CORP, DOLLAR FINANCIAL CORP., 1436 LANCASTER AVENUE,
BERWYN, PA, 19312-1288, 6102963400 - 0 ($75,162,500.00) Equity,
(File 333-147495 - Nov. 19) (BR. 07B)

S-8 ON THE GO HEALTHCARE INC, 85 CORSTATE AVENUE UNIT 1,
CONCORD ONT. CANADA, A6, L4K 4Y2, 905 669 7979 EXT 400 -
200,000,000 ($10,000,000.00) Equity, (File 333-147496 - Nov. 19)
(BR. 03B)

SB-2 Organic To Go Food CORP, 3317 THIRD AVENUE SOUTH,, SEATTLE,, WA, 98134,
(206) 838-4670 - 0 ($7,289,460.64) Equity, (File 333-147499 - Nov. 19)
(BR. 05C)

S-8 Northfield Bancorp, Inc., 1410 ST. GEORGES AVENUE, AVENEL, NJ, 07001,
(732) 499-7200 - 0 ($1.00) Equity, (File 333-147500 - Nov. 19) (BR. 07)

SB-1 HOMELAND RESOURCES LTD., 6801 LOS TRECHOS NE, ALBUQUERQUE, NM, 87109,
(505) 264-0600 - 30,000 ($30,000.00) Equity, (File 333-147501 -
Nov. 19) (BR. 04)

S-4 1st United Bancorp, Inc., ONE NORTH FEDERAL HIGHWAY, BOCA RATON, FL,
33432, (561) 362-3400 - 2,613,624 ($28,253,275.00) Equity,
(File 333-147505 - Nov. 19) (BR. 07)

S-8 HeartWare LTD, 3351 EXECUTIVE WAY, MIRAMAR, FL, 33025, 954-874-1400 -
0 ($2,271,500.00) Equity, (File 333-147506 - Nov. 19) (BR. 10B)

S-8 PEABODY ENERGY CORP, 701 MARKET ST, ST LOUIS, MO, 63101-1826,
3143423400 - 1,000,000 ($52,635,000.00) Equity, (File 333-147507 -
Nov. 19) (BR. 04A)

S-8 Zagg INC, 3855 S 500 W., SUITE J, SALT LAKE CITY, UT, 84115,
801-263-0699 - 2,000,000 ($1,600,000.00) Equity, (File 333-147510 -
Nov. 19) (BR. 02C)

S-3 EXACT SCIENCES CORP, 100 CAMPUS DRIVE, MARLBOROUGH, MA, 01752,
5086831200 - 0 ($50,000,000.00) Equity, (File 333-147511 - Nov. 19)
(BR. 01C)

S-3ASR BRIGHTPOINT INC, 2601 METROPOLIS PARKWAY, SUITE 210, PLAINFIELD, IN,
46168, 800-952-2355 - 0 ($2,115,600.00) Equity, (File 333-147512 -
Nov. 19) (BR. 10A)

SB-2 Jade Mountain CORP, 211 WEST WALL, MIDLAND, TX, 79701, 432-682-1761 -
5,962,857 ($15.50) Equity, (File 333-147513 - Nov. 19) (BR. 09)

S-11 Green Realty Trust, Inc., 120 NORTH LASALLE STREET, 35TH FLOOR,
CHICAGO, IL, 60602, 800-383-4943 -
165,789,474 ($1,650,000,003.00) Equity, (File 333-147514 - Nov. 19)
(BR. )

S-3ASR STIFEL FINANCIAL CORP, ATTN: JAMES G. LASCHOBER, 501 N. BROADWAY,
ST. LOUIS, MO, 63102-2102, 314-342-2000 -
0 ($0.00) Unallocated (Universal) Shelf, (File 333-147515 - Nov. 19)
(BR. 08A)

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
--------------------------------------------------------------------------------------------------------
Abraxis BioScience, Inc. DE 1.01,2.01,2.03,5.02,9.01 11/13/07

ACCESS WORLDWIDE COMMUNICATIONS INC DE 2.02,7.01,9.01 11/16/07

ACTEL CORP CA 3.01,9.01 11/13/07

ADAMS GOLF INC DE 1.01,1.02,9.01 11/13/07

ADVANCE DISPLAY TECHNOLOGIES INC CO 1.01,3.02,5.03,9.01 11/13/07

AFFIRMATIVE INSURANCE HOLDINGS INC DE 7.01 11/19/07

AFFYMETRIX INC DE 1.01,2.03,8.01,9.01 11/13/07

AFLAC INC GA 7.01,9.01 11/16/07

AIR INDUSTRIES GROUP, INC. DE 1.01 11/15/07

ALION SCIENCE & TECHNOLOGY CORP DE 3.02,8.01 09/30/07 AMEND

ALKERMES INC PA 7.01 11/15/07

ALLEGHENY BANCSHARES INC WV 2.02,5.02,8.01,9.01 11/19/07

ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 11/19/07

ALLTEL CORP DE 7.01,8.01,9.01 11/19/07

ALTRIA GROUP, INC. VA 8.01,9.01 11/19/07

AMC ENTERTAINMENT INC DE 5.02 11/14/07

AMERIWEST ENERGY CORP. NV 1.01,9.01 11/19/07

Amnutria Dairy Inc. NV 2.01,4.01,9.01 10/09/07 AMEND

AMSCAN HOLDINGS INC DE 2.01,9.01 11/16/07

ANTS SOFTWARE INC DE 2.02 11/08/07

Apple REIT Eight, Inc. VA 1.01,2.01,9.01 11/15/07

APPLIED MATERIALS INC /DE DC 1.01,7.01,9.01 11/18/07

ARBINET THEXCHANGE INC DE 5.02,9.01 11/16/07

ARQULE INC DE 5.03,9.01 11/13/07

Ascend Acquisition Corp. DE 5.03,9.01 11/15/07

ATHEROGENICS INC GA 5.02 11/19/07

ATLAS MINING CO ID 5.02 11/13/07

AUBURN NATIONAL BANCORPORATION INC DE 5.03,9.01 11/13/07

AUTO UNDERWRITERS OF AMERICA, INC. 3.01 10/18/07

Avantair, Inc DE 5.02,9.01 11/13/07

AVIATION UPGRADE TECHNOLOGIES INC 2.01,3.02,5.02,5.06,8.01,9.01 11/13/07 AMEND

BALDWIN TECHNOLOGY CO INC DE 5.02,5.03,9.01 11/13/07

BARRETT BUSINESS SERVICES INC MD 5.03,8.01,9.01 11/16/07

Bear Stearns Asset Backed Securities DE 1.01,9.01 11/16/07

Bear Stearns Structured Products Inc. DE 8.01,9.01 10/31/07

BELL INDUSTRIES INC /NEW/ CA 2.02,9.01 11/14/07

BELL INDUSTRIES INC /NEW/ CA 4.01,9.01 11/15/07

BigString CORP DE 8.01,9.01 11/19/07

BIOLIFE SOLUTIONS INC DE 1.01 11/19/07

BioMETRX DE 5.02 11/14/07

BIW LTD CT 8.01,9.01 11/19/07

BLUE COAT SYSTEMS INC DE 5.03,9.01 11/15/07

BLUEFIRE ETHANOL FUELS INC NV 4.02 11/14/07

BOSTON SCIENTIFIC CORP DE 8.01,9.01 11/19/07

BOTTOMLINE TECHNOLOGIES INC /DE/ DE 5.02 11/19/07

BOWNE & CO INC DE 5.02 11/19/07

BRIGHTPOINT INC IN 8.01 11/13/07

BROADVIEW NETWORKS HOLDINGS INC DE 5.02,9.01 11/13/07

BROOKE CAPITAL CORP KS 1.01,2.01,3.02,5.02,9.01 11/15/07

BROOKE CORP KS 1.01,2.01 11/15/07

Calumet Specialty Products Partners, DE 1.01,9.01 11/14/07

CAM COMMERCE SOLUTIONS INC DE 2.02,9.01 11/19/07

CAMPBELL SOUP CO NJ 2.02,9.01 11/19/07

CANYON RESOURCES CORP DE 1.01,8.01,9.01 11/16/07

CANYON RESOURCES CORP DE 8.01,9.01 11/19/07

CARDICA INC DE 5.02,9.01 11/14/07

CARLATERAL, INC. NV 5.02,5.03 11/16/07

CATHAY GENERAL BANCORP DE 8.01,9.01 11/16/07

CBS CORP DE 5.04 11/16/07

CELGENE CORP /DE/ DE 1.01,1.02 11/18/07

CENTENARY INTERNATIONAL CORP NV 5.02 11/19/07

CERAGENIX PHARMACEUTICALS, INC. DE 1.01,7.01,9.01 11/16/07

CHAMPION INDUSTRIES INC WV 7.01,9.01 11/19/07

CHAUS BERNARD INC NY 1.01,5.02,9.01 11/19/07

CHEMBIO DIAGNOSTICS, INC. NV 3.02,7.01 11/19/07

CHINA FUND INC MD 7.01,9.01 10/01/07

China Water & Drinks Inc.. NV 5.02,9.01 11/13/07

CHINDEX INTERNATIONAL INC DE 1.01,9.01 11/13/07

CHROMCRAFT REVINGTON INC DE 2.02,9.01 11/13/07

CISCO SYSTEMS INC CA 5.02,9.01 11/15/07

CISCO SYSTEMS INC CA 5.02 01/17/07 AMEND

CNL INCOME PROPERTIES INC MD 8.01 11/19/07

COINMACH SERVICE CORP DE 8.01,9.01 11/16/07

COMVERSE TECHNOLOGY INC/NY/ NY 5.02,9.01 11/13/07

CONAGRA FOODS INC /DE/ DE 7.01 11/19/07

CONCUR TECHNOLOGIES INC WA 2.02,9.01 11/19/07

Constellation Energy Partners LLC DE 8.01 11/14/07

COOPERATIVE BANKSHARES INC NC 5.03,8.01,9.01 11/15/07 AMEND

Copano Energy, L.L.C. DE 5.02,9.01 11/13/07

Cornerstone Core Properties REIT, Inc MD 1.01,2.03 11/13/07

COVENANT TRANSPORTATION GROUP INC NV 5.02 11/13/07

COVER ALL TECHNOLOGIES INC DE 8.01,9.01 11/19/07

CROSS TIMBERS ROYALTY TRUST TX 2.02,9.01 11/19/07

CYBERDEFENDER CORP CA 1.01,8.01,9.01 11/19/07

CYBERONICS INC DE 2.02,9.01 11/15/07

CYBEX INTERNATIONAL INC NY 5.03 11/07/07 AMEND

CYTOGEN CORP DE 5.02 11/13/07

Debut Broadcasting Corporation, Inc. NV 2.02,9.01 11/19/07

Debut Broadcasting Corporation, Inc. NV 1.01,9.01 11/19/07

DELPHI CORP DE 7.01,9.01 11/14/07

DG FastChannel, Inc DE 2.02,9.01 11/12/07

DIGITAL ALLY INC 8.01,9.01 11/15/07

DREW INDUSTRIES INC DE 5.02,9.01 11/14/07

DUCOMMUN INC /DE/ DE 5.02 11/12/07

DYADIC INTERNATIONAL INC DE 1.01,2.02,5.02,8.01,9.01 11/12/07

DYNAMIC MATERIALS CORP DE 1.01,2.01,2.03,3.02,5.02,8.01, 11/15/07
9.01

DYNATRONICS CORP UT 2.02,9.01 11/19/07

Eagle Test Systems, Inc. IL 2.02,9.01 11/19/07

ECLIPSYS CORP DE 5.03,9.01 11/15/07

EGAIN COMMUNICATIONS CORP DE 1.01,9.01 11/19/07

ELANDIA INTERNATIONAL INC. DE 2.06,8.01 11/14/07

EMERITUS CORP\WA\ WA 8.01,9.01 09/01/07 AMEND

EMVELCO CORP. DE 1.01,9.01 11/15/07

ENCORE CAPITAL GROUP INC DE 5.02,9.01 11/14/07

ENDURANCE SPECIALTY HOLDINGS LTD 1.01,8.01,9.01 11/15/07

Enterprise GP Holdings L.P. DE 8.01,9.01 09/30/07

ETHAN ALLEN INTERIORS INC DE 5.02,9.01 11/15/07

ETRIALS WORLDWIDE INC. 5.02 11/15/07

EVANS BOB FARMS INC DE 5.02,5.03,7.01,8.01,9.01 11/13/07

EXPERTELLIGENCE INC NV 8.01 11/19/07

FAMILYMEDS GROUP, INC. NV 8.01 11/19/07

FEDERAL AGRICULTURAL MORTGAGE CORP 5.03,9.01 11/13/07

Federal Home Loan Bank of Dallas 2.03 11/13/07

Federal Home Loan Bank of Pittsburgh PA 5.02 11/14/07

FELLOWS ENERGY LTD NV 1.01 11/16/07 AMEND

FIRST BANCSHARES INC /MO/ MO 3.01,9.01 11/16/07

FRANKFORT TOWER INDUSTRIES INC DE 8.01,9.01 11/16/07

GALAXY ENERGY CORP CO 1.01,9.01 11/16/07

GASTAR EXPLORATION LTD 8.01,9.01 11/16/07

GATX CORP NY 5.02 11/16/07

GCO Education Loan Funding Trust-I DE 8.01,9.01 11/15/07

GE Capital Credit Card Master Note Tr DE 8.01,9.01 11/15/07

GEN PROBE INC DE 1.01,5.02,8.01,9.01 10/30/07

GENERAL STEEL HOLDINGS INC NV 5.02,9.01 11/19/07

GENESCO INC TN 8.01,9.01 11/16/07

Genesis Pharmaceuticals Enterprises, FL 2.02,5.03,8.01,9.01 10/01/07 AMEND

GENESIS REALTY GROUP INC 4.01,9.01 11/15/07

GENUINE PARTS CO GA 8.01,9.01 11/19/07

GETTING READY CORP 1.01,9.01 11/13/07

GLATFELTER P H CO PA 1.01,8.01,9.01 11/13/07

Golden Pond Healthcare, Inc. DE 8.01,9.01 11/08/07

GREAT ATLANTIC & PACIFIC TEA CO INC MD 8.01 11/19/07

GSI COMMERCE INC DE 9.01 09/10/07 AMEND

H&R BLOCK INC MO 5.02 11/14/07

HALLMARK FINANCIAL SERVICES INC NV 7.01 11/19/07

HANSEN MEDICAL INC 2.01,3.02,9.01 11/15/07

HARLEYSVILLE NATIONAL CORP PA 1.01,5.02,7.01,9.01 11/16/07

HARTFORD LIFE INSURANCE CO CT 9.01 11/19/07

HC Innovations, Inc. DE 2.02,8.01,9.01 11/15/07

HEALTH NET INC DE 5.02 11/19/07

HEALTHWAYS, INC DE 5.02,9.01 11/16/07

HEALTHWAYS, INC DE 7.01 11/19/07

HeartWare LTD C3 5.02,9.01 11/13/07

HERCULES OFFSHORE, INC. DE 7.01,9.01 11/19/07

HEWLETT PACKARD CO DE 2.02,9.01 11/19/07

HEWLETT PACKARD CO DE 5.03,8.01,9.01 11/15/07

Hill International, Inc. DE 3.03,8.01,9.01 11/16/07

HOME FEDERAL BANCORP, INC. OF LOUISIA 5.02 11/14/07

HUGOTON ROYALTY TRUST TX 2.02,9.01 11/19/07

ICO Global Communications (Holdings) DE 5.02,9.01 11/19/07

IDACORP INC ID 5.03,9.01 11/15/07

IdeaEdge, Inc CO 1.01,5.02,9.01 11/13/07

IMMUNOGEN INC MA 5.02,9.01 11/13/07

IMMUNOSYN CORP 5.02,9.01 11/15/07

Information Services Group Inc. DE 8.01 11/16/07

INFOTECH USA INC DE 1.01,9.01 11/19/07

INLAND REAL ESTATE CORP MD 8.01,9.01 11/19/07

INTEGRAL SYSTEMS INC /MD/ MD 5.02 11/13/07

INTEGRATED BIOPHARMA INC DE 1.01,8.01,9.01 11/14/07

INTEGRATED ELECTRICAL SERVICES INC DE 5.02,9.01 11/16/07

Integrated Healthcare Holdings Inc NV 5.02,9.01 11/15/07

INTERNAP NETWORK SERVICES CORP DE 5.02,9.01 11/14/07

International Fight League, Inc. DE 4.02 11/16/07

ION NETWORKS INC DE 1.01,9.01 11/19/07

IRIDEX CORP DE 2.02,9.01 11/19/07

ISLE OF CAPRI CASINOS INC DE 1.01,9.01 11/13/07

IXI Mobile, Inc. DE 1.01,5.02,9.01 11/15/07

J P MORGAN CHASE & CO DE 9.01 11/15/07

JEFFERSONVILLE BANCORP NY 2.02,8.01,9.01 11/14/07

JUNIPER NETWORKS INC DE 5.02,5.03,9.01 11/13/07

K-Care Nutritional Products Inc. 8.01 11/16/07

KAL ENERGY INC DE 5.02,7.01,9.01 11/13/07

Kandi Technologies Corp 2.02,9.01 11/19/07

KBS Real Estate Investment Trust, Inc MD 1.01,2.01,2.03,9.01 11/13/07

KEY TECHNOLOGY INC OR 1.01,3.03,9.01 11/13/07

KLONDIKE STAR MINERAL CORP DE 2.02,7.01,8.01 11/15/07

KNIGHT CAPITAL GROUP, INC. DE 3.02,7.01,9.01 11/18/07

KOHLS CORPORATION WI 5.03,9.01 11/14/07

LCC INTERNATIONAL INC DE 3.01,9.01 11/19/07

LEFT BEHIND GAMES INC. WA 4.02 11/19/07

LEHMAN BROTHERS HOLDINGS INC DE 9.01 11/13/07

LEVEL 3 COMMUNICATIONS INC DE 1.01,9.01 11/19/07

LIFECORE BIOMEDICAL INC MN 1.01,9.01 11/14/07

LITEWAVE CORP NV 4.01,9.01 11/08/07

LITHIA MOTORS INC OR 7.01,9.01 11/16/07

LIVEWORLD INC DE 2.02,9.01 11/13/07

LOWES COMPANIES INC NC 2.02,9.01 11/19/07

LUMINENT MORTGAGE CAPITAL INC 7.01,9.01 11/16/07

MAGNUS INTERNATIONAL RESOURCES, INC. NV 3.01 11/19/07

Magyar Bancorp, Inc. DE 5.03,9.01 11/16/07

MANNKIND CORP 1.01,5.03,9.01 11/14/07

MARCO COMMUNITY BANCORP INC FL 3.02 11/15/07

Marquee Holdings Inc. DE 5.02 11/14/07

MARSHALL & ILSLEY CORP WI 8.01,9.01 11/19/07

MASSEY ENERGY CO DE 5.02 11/19/07

MAUI LAND & PINEAPPLE CO INC HI 1.01,1.02,2.03,9.01 11/15/07

MAXYGEN INC DE 8.01,9.01 11/19/07

McAfee, Inc. DE 5.02,8.01 11/13/07

MCDONALDS CORP DE 5.02,8.01,9.01 11/13/07

MED-TECH SOLUTIONS, INC. 1.01,9.01 11/16/07

MEDIS TECHNOLOGIES LTD DE 8.01,9.01 11/16/07

MEDTRONIC INC MN 2.02,9.01 11/19/07

MERCHANTS BANCSHARES INC DE 1.02,5.02,9.01 11/13/07

MET PRO CORP PA 8.01 11/16/07

MET PRO CORP PA 5.02 11/16/07

META FINANCIAL GROUP INC DE 2.02,4.02,9.01 11/13/07 AMEND

METROCORP BANCSHARES INC 5.03,9.01 11/16/07

MFIC CORP DE 1.01,5.02,9.01 11/14/07

MICROISLET INC NV 1.01,3.02,7.01,9.01 11/16/07

MICROS SYSTEMS INC MD 5.03,9.01 11/16/07

MICROSEMI CORP DE 5.02 11/13/07

MIDDLEBY CORP DE 7.01,9.01 11/19/07

MIV THERAPEUTICS INC NV 1.01,5.02,9.01 11/13/07

ML-CFC Commercial Mortgage Trust 2007 DE 1.01 11/14/07

MOLEX INC DE 5.03,9.01 11/12/07

MOUNTAINS WEST EXPLORATION INC NM 2.01,2.03,3.02,5.01,5.02 11/07/07 AMEND

MUNICIPAL MORTGAGE & EQUITY LLC DE 1.01,9.01 11/13/07

NASH FINCH CO DE 8.01,9.01 11/15/07

NATIONAL MEDICAL HEALTH CARD SYSTEMS DE 5.02,9.01 10/13/07

NATURAL HEALTH TRENDS CORP DE 3.01 11/13/07

NEOMAGIC CORP DE 8.01,9.01 11/15/07

Neonode, Inc DE 8.01,9.01 11/15/07 AMEND

NeoStem, Inc. DE 1.01,3.02,9.01 11/13/07

NETWORK 1 SECURITY SOLUTIONS INC DE 2.02,9.01 11/14/07

New Abraxis, Inc. DE 1.01,5.03 11/13/07

NEW CENTURY BANCORP INC NC 8.01,9.01 11/15/07

NEW YORK TIMES CO NY 5.02,9.01 11/19/07

NewStar Financial, Inc. 1.01,3.02,9.01 11/12/07

NORDSTROM INC WA 5.02,9.01 11/19/07

NORDSTROM INC WA 2.02,7.01,8.01,9.01 11/19/07

NORTHEAST COMMUNITY BANCORP INC X1 8.01,9.01 11/16/07

NORTHEAST UTILITIES MA 8.01 11/16/07

NORTHWEST PIPE CO OR 5.03,9.01 11/13/07

Novelis Inc. A6 5.02 11/19/07

NU-MEX URANIUM CORP. NV 7.01,9.01 11/19/07

Oilsands Quest Inc 4.01,9.01 11/13/07 AMEND

OLD POINT FINANCIAL CORP VA 7.01,9.01 11/19/07

OLIN CORP VA 2.01,5.02,8.01,9.01 11/19/07

ON SEMICONDUCTOR CORP DE 5.03,9.01 11/15/07

ORION HEALTHCORP INC DE 3.01,9.01 11/19/07

PARK NATIONAL CORP /OH/ OH 8.01,9.01 11/19/07

PARTNERRE LTD 8.01,9.01 11/19/07

PATHMARK STORES INC DE 8.01 11/19/07

PBSJ CORP /FL/ FL 1.01,9.01 11/14/07

PEERLESS SYSTEMS CORP DE 8.01,9.01 11/16/07

PHARMATHENE, INC DE 2.02,9.01 11/13/07

PHARMION CORP 1.01,7.01,9.01 11/18/07

Physicians Remote Solutions, Inc. FL 8.01 11/19/07

PIEDMONT NATURAL GAS CO INC NC 5.03 12/15/06

PLANAR SYSTEMS INC OR 2.02,9.01 11/19/07

PMA CAPITAL CORP PA 8.01,9.01 11/19/07

PMI GROUP INC DE 1.01,3.03,8.01 11/15/07

POINT THERAPEUTICS INC DE 3.01,9.01 11/19/07

PRECISION CASTPARTS CORP OR 5.02,5.03,8.01,9.01 11/14/07

PREMIERWEST BANCORP OR 5.03,9.01 11/19/07

PRIVATEBANCORP, INC DE 7.01 11/19/07

PROGRESS ENERGY INC NC 7.01,9.01 09/30/07

QUEST RESOURCE CORP NV 7.01 10/31/07

QUIXOTE CORP DE 1.01,9.01 11/15/07

RCN CORP /DE/ DE 1.01,2.01,2.03,9.01 11/13/07

Regal Rock, Inc. NV 3.02 11/19/07

RENEWABLE ENERGY RESOURCES INC NV 1.01,5.02,9.01 11/16/07

RESPIRONICS INC DE 5.02 11/13/07

RF MICRO DEVICES INC NC 2.01,5.02,9.01 11/13/07

RFMSI Series 2007-S9 Trust DE 8.01,9.01 11/19/07

RONSON CORP NJ 1.01,2.03,9.01 11/14/07

ROYAL INVEST INTERNATIONAL CORP. DE 9.01 07/19/07 AMEND

RTI INTERNATIONAL METALS INC OH 8.01,9.01 11/12/07

RUSS BERRIE & CO INC NJ 5.02,8.01,9.01 11/13/07

SAN HOLDINGS INC CO 2.04,5.02,8.01,9.01 11/13/07

SCIELE PHARMA, INC. DE 8.01,9.01 11/19/07

SHARPS COMPLIANCE CORP DE 5.02,9.01 11/15/07

SHORE FINANCIAL CORP VA 5.03,9.01 11/15/07

SILICON STORAGE TECHNOLOGY INC CA 3.01,9.01 11/19/07

Sino Gas International Holdings, Inc. UT 7.01,9.01 11/19/07

SMART MOVE, INC. DE 2.02,9.01 11/19/07

Smokers Lozenge Inc 3.02,5.03,9.01 11/13/07

SMOKY MARKET FOODS INC NV 1.01,3.02,9.01 11/07/07

SOLOMON TECHNOLOGIES INC DE 9.01 09/05/07 AMEND

SONESTA INTERNATIONAL HOTELS CORP NY 5.02 11/14/07

SONUS NETWORKS INC DE 5.02,9.01 11/14/07

SOUTHERN CO DE 8.01 11/16/07

SOUTHERN UNION CO DE 8.01,9.01 11/19/07

Southland Health Services, Inc. 1.01,3.02 10/04/07

SOUTHWEST BANCORP INC OK 5.03,7.01,9.01 11/15/07

SPECIALIZED HEALTH PRODUCTS INTERNATI DE 1.01,9.01 11/13/07

STERLING BANCORP NY 5.03,8.01,9.01 11/15/07

STINGER SYSTEMS, INC 5.02 11/19/07

STONEMOR PARTNERS LP DE 5.02,5.03,9.01 11/13/07

STREAMLINE HEALTH SOLUTIONS INC. DE 4.01,9.01 11/13/07

Structured Asset Mortgage Investments DE 9.01 10/31/07

STRUCTURED OBLIGATIONS CORP TRUST SPR DE 8.01 11/15/07

STRUCTURED OBLIGATIONS CORP TRUST SPR DE 8.01,9.01 11/15/07

STRUCTURED PRODUCTS CORP CORTS TR FOR DE 8.01,9.01 11/15/07

Susser Holdings CORP DE 1.01,2.03,5.02,9.01 11/13/07

SYNOVIS LIFE TECHNOLOGIES INC MN 5.02 11/15/07

SYNTROLEUM CORP DE 2.05,5.02 11/13/07

TAL International Group, Inc. DE 1.01 11/19/07

TALON INTERNATIONAL, INC. DE 2.02,9.01 11/19/07

Targa Resources Partners LP DE 2.02,9.01 11/14/07

Targanta Therapeutics Corp. DE 2.02,9.01 11/15/07

TC PIPELINES LP DE 5.03 11/19/07

TEKTRONIX INC OR 2.04,5.01,5.02,9.01 11/15/07

TESCO CORP 1.01 11/16/07

THINK PARTNERSHIP INC NV 7.01,9.01 11/19/07

THORATEC CORP CA 5.02,9.01 11/14/07

TIDELANDS OIL & GAS CORP/WA NV 4.02 11/14/07

TJX COMPANIES INC /DE/ DE 8.01 11/14/07

TransDigm Group INC DE 2.02,9.01 11/19/07

TRI-ISTHMUS GROUP, INC. DE 5.03,9.01 11/13/07

TRIO TECH INTERNATIONAL CA 1.01,9.01 11/15/07

TRUE PRODUCT ID, INC. DE 5.02,8.01,9.01 11/19/07

TUTOGEN MEDICAL INC FL 1.01,9.01 11/12/07

TWEEN BRANDS, INC. DE 2.02,9.01 11/19/07

U S PHYSICAL THERAPY INC /NV NV 9.01 09/06/07 AMEND

ULTRALIFE BATTERIES INC DE 2.01,3.02,8.01,9.01 11/16/07

Uni-Pixel DE 8.01,9.01 11/14/07

UNION BANKSHARES CO/ME ME 8.01,9.01 11/19/07

UNITED CAPITAL CORP /DE/ DE 4.01,9.01 11/13/07

United Financial Bancorp, Inc. MD 8.01,9.01 11/16/07

UNITED FUEL & ENERGY CORP NV 5.02,9.01 11/14/07

UNITED RENTALS INC /DE DE 8.01,9.01 11/16/07

UNITED STATIONERS INC DE 1.01,9.01 11/15/07

USA TECHNOLOGIES INC PA 1.01 11/19/07

Valley Commerce Bancorp CA 8.01,9.01 11/13/07

VALSPAR CORP DE 2.02,9.01 11/19/07

VECTREN CORP IN 8.01 11/16/07

VIEWPOINT CORP DE 5.03,9.01 11/14/07

VINEYARD NATIONAL BANCORP CA 8.01,9.01 11/19/07

VISION SCIENCES INC /DE/ DE 1.01 11/15/07

Wachovia Bank Commercial Mortgage Tru NC 1.01,9.01 11/01/07

WESBANCO INC WV 8.01,9.01 11/19/07

WESTERN ASSET INTERMEDIATE MUNI FUND MD 8.01,9.01 11/19/07

WESTERN ASSET MANAGED MUNICIPALS FUND 8.01,9.01 11/19/07

WESTERN ASSET MUNICIPAL PARTNERS FUND MD 8.01,9.01 11/19/07

WESTERN DIGITAL CORP DE 9.01 09/05/07 AMEND

WFN CREDIT CO LLC DE 8.01,9.01 11/15/07

Whitestone REIT TX 7.01,9.01 11/19/07

Whos Your Daddy Inc NV 4.02,9.01 11/19/07

XEROX CORP NY 7.01,8.01,9.01 11/13/07

XTO ENERGY INC DE 5.02 11/19/07

Zagg INC 5.03,9.01 11/19/07

ZYMOGENETICS INC WA 5.03,9.01 11/15/07

http://www.sec.gov/news/digest/2007/dig112007.htm

Modified: 11/20/2007