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SEC NEWS DIGEST
Issue 2007-224 November 21, 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 - WEDNESDAY, NOVEMBER 28, 2007 - 10:00 A.M.
The subject matter of the open meeting scheduled for Wednesday,
November 28, will be:
1. The Commission will consider whether to adopt amendments to
Rule 14a-8(i)(8) under the Securities Exchange Act of 1934, to
clarify its longstanding interpretation of that rule.
2. The Commission will consider whether to adopt amendments to
the proxy rules under the Securities Exchange Act of 1934 to
facilitate the use of electronic shareholder forums.
CLOSED MEETING - THURSDAY, NOVEMBER 29, 2007 - 2:00 P.M.
The subject matter of the closed meeting scheduled for Thursday,
November 29, will be: Formal orders of investigation; Institution and
settlement of injunctive actions; Institution and settlement of
administrative proceedings of an enforcement nature; Adjudicatory
matters; and Other matters related to enforcement actions.
At times, changes in Commission priorities require alterations in the
scheduling of meeting items. 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
COMMISSION DECLARES DECISION AS TO DAVID A. ZWICK FINAL
The decision of an administrative law judge barring David A. Zwick
from association with any broker or dealer has become final. Zwick was
a principal and chief compliance officer of Suncoast Capital Ltd., a
registered broker-dealer. On May 1, 2007, after a jury verdict, the
District Court entered a Final Judgment against Zwick, permanently
enjoining him from violations of Securities Act Section 17(a),
Exchange Act Section 10(b), and Rule 10b-5. The court imposed
disgorgement and interest in the amount of $300,140.22 and a civil
penalty of $75,000 (SEC v. Zwick, No. 03 Civ. 2742 JGK, 2007 U.S.
Dist. LEXIS 19045, S.D.N.Y.). Zwick participated in a bifurcated
scheme conducted by others from January 1998 through 1999, that
involved bribery and excessive mark-ups. Zwick attempted to hide his
involvement in the fraudulent schemes. He also instructed his coworker
to continue with the illegal activities, but to keep quiet about them.
(Rel. 34-56826; File No. 3-12639)
IN THE MATTER OF PLASTICON INTERNATIONAL INC.
An Administrative Law Judge has issued an Order Making Findings and
Revoking Registration by Default in the matter of Plasticon
International Inc. The Order Instituting Proceedings alleged that
Respondent Plasticon International Inc., failed repeatedly to file
required annual and quarterly reports while its securities were
registered with the Securities and Exchange Commission (Commission).
The Default Order finds these allegations to be true and revokes the
registration of each class of registered securities that Plasticon
International Inc., has with the Commission, pursuant to Section 12(j)
of the Securities Exchange Act of 1934. (Rel. 34-56834; File 3-12820)
COMMISSION REVOKES REGISTRATION OF SECURITIES OF BULL RUN, INC. FOR
FAILURE TO MAKE REQUIRED PERIODIC FILINGS
On November 21, the Commission revoked the registration of each class
of registered securities of Bull Run, Inc. (Bull Run) for failure to
make required periodic filings with the Commission.
Without admitting or denying the findings in the order, except as to
jurisdiction, which it admitted, Bull Run consented to the entry of an
Order Making Findings and Revoking Registration of Securities Pursuant
to Section 12(j) of the Securities Exchange Act of 1934 as to Bull
Run, Inc. finding that it had failed to comply with Section 13(a) of
the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and
13a-13 thereunder and revoking the registration of each class of Bull
Run's securities pursuant to Section 12(j) of the Exchange Act. This
order settled the charges brought against Bull Run in In the Matter of
American Venture Group, Inc., et al., Administrative Proceeding File
No. 3-12882.
Brokers and dealers should be alert to the fact that Exchange Act
Section 12(j) provides, in pertinent part, as follows:
No member of a national securities exchange, broker, or dealer
shall make use of the mails or any means or instrumentality of
interstate commerce to effect any transaction in, or to induce
the purchase or sale of, any security the registration of which
has been and is suspended or revoked . . ..
For further information see Order Instituting Administrative
Proceedings and Notice of Hearing Pursuant to Section 12(j) of the
Securities Exchange Act of 1934, In the Matter of American Venture
Group, Inc., et al., Administrative Proceeding File No. 3-12882,
Exchange Act Release No. 56712 (Oct. 29, 2007). (Rel. 34-56830; File
No. 3-12882)
INVESTMENT COMPANY ACT RELEASES
BARON CAPITAL FUNDS TRUST
An order has been issued pursuant to Section 8(f) of the Investment
Company Act declaring that Baron Capital Funds Trust has ceased to be
an investment company. (Rel. IC-28062 - November 20)
JEFFERSON PILOT VARIABLE FUND, INC.
An order has been issued pursuant to Section 8(f) of the Investment
Company Act declaring that Jefferson Pilot Variable Fund, Inc. has
ceased to be an investment company. (Rel. IC-28063 - November 20)
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 Premiere Publishing Group, Inc., 386 PARK AVENUE SOUTH, 18TH FLOOR,
NEW YORK, NY, 10016, 212-481-1005 - 10,000,000 ($20,000.00) Equity,
(File 333-147521 - Nov. 20) (BR. 05C)
S-8 CISCO SYSTEMS INC, 170 WEST TASMAN DR, SAN JOSE, CA, 95134-1706,
4085264000 - 82,120 ($278,386.80) Equity, (File 333-147522 - Nov. 20)
(BR. 03C)
S-8 CISCO SYSTEMS INC, 170 WEST TASMAN DR, SAN JOSE, CA, 95134-1706,
4085264000 - 209,000,000 ($6,138,330,000.00) Equity, (File 333-147523 -
Nov. 20) (BR. 03C)
S-1 Third Wave Acquisition CORP, 591 WEST PUTNAM AVENUE, GREENWICH, CT,
06830, 203-422-7702 - 0 ($402,500,000.00) Other, (File 333-147524 -
Nov. 20) (BR. 04)
S-1 BRONCUS TECHNOLOGIES INC/CA, 1400 N SHORELINE BLVD A 8, 650-428-1600,
MOUNTAIN VIEW, CA, 94043, 0 ($86,250,000.00) Equity, (File 333-147525 -
Nov. 20) (BR. 10)
SB-2 EAST COAST BEVERAGE CORP /CO/, 9547968060 - 0 ($5,124,070.00) Equity,
(File 333-147526 - Nov. 20) (BR. 02)
S-1 Aegerion Pharmaceuticals, Inc., 1140 ROUTE 22 EAST, SUITE 304,
BRIDGEWATER, NJ, 08807, (908) 704-1300 - 0 ($86,250,000.00) Equity,
(File 333-147528 - Nov. 20) (BR. 01B)
SB-2 Catalyst Ventures Inc, 1739 CREEKSTONE CIRCLE, SAN JOSE, CA, 95133,
408 691-0806 - 47,000 ($47,000.00) Equity, (File 333-147529 - Nov. 20)
(BR. 08)
F-6 Xinyuan Real Estate Co Ltd, No 18 Xinyuan Rd, Zhengzhou, Henan China,
F4, 450011, 86037165651222 - 100,000,000 ($5,000,000.00) Equity,
(File 333-147530 - Nov. 20) (BR. 06)
SB-2 ADS MEDIA GROUP INC, 12758 CIMARRON PATH, SUITE B-128, SAN ANTONIO, TX,
78249, 2106556613 - 7,037,276 ($2,486,861.97) Equity,
(File 333-147531 - Nov. 20) (BR. 11C)
S-8 FIFTH THIRD BANCORP, 38 FOUNTAIN SQ PLZ, FIFTH THIRD CENTER,
CINCINNATI, OH, 45263, 5135795300 - 1,700,000 ($47,634,000.00) Equity,
(File 333-147533 - Nov. 20) (BR. 07A)
S-8 VisualMED Clinical Solutions Corp., 1035 LAURIER STREET WEST, MONTREAL,
A8, H2V 2L1, (514) 274-1115 - 1,900,000 ($570,000.00) Equity,
(File 333-147535 - Nov. 20) (BR. 03C)
S-8 PEERLESS MANUFACTURING CO, 2819 WALNUT HILL LN, DALLAS, TX, 75229,
2143576181 - 0 ($33,021,000.00) Equity, (File 333-147536 - Nov. 20)
(BR. 06C)
S-3 GSE SYSTEMS INC, 7133 RUTHERFORD RD, SUITE 200, BALTIMORE, MD, 21244,
4102773740 - 50,000 ($475,500.00) Equity, (File 333-147537 - Nov. 20)
(BR. 03C)
S-8 MSCI Inc., 88 PINE STREET, NEW YORK, NY, 10005, 212-804-3990 -
0 ($307,356,461.52) Equity, (File 333-147540 - Nov. 20) (BR. 05A)
S-8 MAGUIRE PROPERTIES INC, 1733 OCEAN AVENUE, SUITE 400, SANTA MONICA, CA,
90401, (310) 857-1100 - 1,233,139 ($35,391,089.30) Equity,
(File 333-147541 - Nov. 20) (BR. 08A)
S-3 NISSAN AUTO LEASING LLC II, C/O NISSAN NORTH AMERICA, INC.,
333 COMMERCE STREET, MAILSTOP B-7-A, NASHVILLE, TN, 37201, 6157251667 -
0 ($7,000,000,000.00) Asset-Backed Securities, (File 333-147542 -
Nov. 20) (BR. 05D)
S-1 WHITING USA TRUST I, 919 CONGRESS AVENUE, SUITE 500, AUSTIN, TX, 78701,
5122366599 - 0 ($195,000,000.00) Equity, (File 333-147543 - Nov. 20)
(BR. 04)
S-8 LEHMAN BROTHERS HOLDINGS INC, LEHMAN BROTHERS, 745 SEVENTH AVENUE,
NEW YORK, NY, 10019, 2125267000 - 0 ($6,511,275,000.00) Equity,
(File 333-147545 - Nov. 20) (BR. 08B)
S-8 DANAHER CORP /DE/, 2028280850 - 0 ($41,694,978.00) Equity,
(File 333-147546 - Nov. 20) (BR. 10A)
S-3 PICO HOLDINGS INC /NEW, 875 PROSPECT ST, STE 301, LA JOLLA, CA, 92037,
6194566022 - 0 ($400,000,000.00) Unallocated (Universal) Shelf,
(File 333-147547 - Nov. 20) (BR. 08B)
SB-2 IdeaEdge, Inc, 6440 LUSK BLVD., SUITE 200, SAN DIEGO, CA, 92121,
858-677-0080 - 0 ($7,329,398.00) Equity, (File 333-147548 - Nov. 20)
(BR. 10C)
S-B ARRHYTHMIA RESEARCH TECHNOLOGY INC /DE/, 25 SAWYER PASSWAY, FITCHBURG,
MA, 01420, 978-345-5000 - 200,000 ($1,754,000.00) Equity,
(File 333-147549 - Nov. 20) (BR. 10A)
S-4 CONSTELLATION BRANDS, INC., 370 WOODCLIFF DRIVE, SUITE 300, FAIRPORT,
NY, 14450, 585-218-3600 - 0 ($700,000,000.00) Non-Convertible Debt,
(File 333-147550 - Nov. 20) (BR. 09A)
S-8 Rubicon Technology, Inc., 9931 FRANKLIN AVENUE, FRANKLIN PARK, IL,
60131, (847) 295-7000 - 0 ($43,606,875.00) Equity, (File 333-147552 -
Nov. 20) (BR. 10C)
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
-------------------------------------------------------------------------------------------------------
3M CO DE 8.01,9.01 10/29/07
ABFC 2007-WMC1 Trust DE 8.01,9.01 11/05/07
ABX AIR INC 2.02,9.01 11/16/07
Access Plans USA, Inc. OK 2.02,9.01 11/19/07
ACRONGENOMICS INC NV 7.01,9.01 11/14/07
ACUITY BRANDS INC DE 8.01,9.01 10/31/07
AeroVironment Inc DE 1.01,7.01,9.01 11/19/07
AFH Holding I, Inc. DE 1.01,3.02,5.01 11/19/07
AFH HOLDING II, INC. DE 1.01,3.02,5.01 11/19/07
AIR PRODUCTS & CHEMICALS INC /DE/ DE 7.01,9.01 11/20/07
AIR PRODUCTS & CHEMICALS INC /DE/ DE 5.02 11/14/07
AKORN INC LA 1.01,3.02,9.01 11/14/07
Aleris International, Inc. DE 7.01,9.01 11/20/07
ALLIANCE BANCORP INC OF PENNSYLVANIA X1 5.04,9.01 11/20/07
ALTIGEN COMMUNICATIONS INC 8.01,9.01 11/19/07
AMBASSADORS INTERNATIONAL INC DE 1.01,9.01 11/16/07
AMEREN CORP MO 9.01 11/20/07
AMERICAN CELLULAR CORP /DE/ 1.02,5.01,8.01,9.01 11/15/07
AMERICAN FINANCIAL REALTY TRUST 8.01,9.01 11/20/07
AMERICAN WAGERING INC NV 1.01,5.03,9.01 11/16/07
AMERICAN WOODMARK CORP VA 5.03,9.01 11/15/07
AMERON INTERNATIONAL CORP DE 5.02 11/15/07
AMKOR TECHNOLOGY INC DE 8.01,9.01 11/19/07
AMPEX CORP /DE/ DE 1.01,2.04,9.01 11/14/07
AMS HEALTH SCIENCES INC OK 5.02,8.01,9.01 11/13/07
ANAREN INC NY 3.01,9.01 11/20/07
ANGELICA CORP /NEW/ MO 2.05 11/14/07 AMEND
APPLERA CORP DE 5.02,5.03,9.01 11/15/07
APPLIED SIGNAL TECHNOLOGY INC CA 5.02,5.03,9.01 11/14/07
ARES CAPITAL CORP MD 7.01,9.01 11/20/07
ARIBA INC DE 5.02 11/15/07
ARRAY BIOPHARMA INC DE 8.01,9.01 11/20/07
ARUBA NETWORKS, INC. DE 2.02,9.01 11/20/07
ASPEN TECHNOLOGY INC /DE/ DE 3.01,9.01 11/14/07
ASPEN TECHNOLOGY INC /DE/ DE 2.02,9.01 11/20/07
ATLANTIS PLASTICS INC FL 2.02,9.01 11/20/07
ATP OIL & GAS CORP TX 1.01,7.01,9.01 11/15/07
ATS MEDICAL INC MN 1.01,5.02 11/14/07
AUDIOVOX CORP DE 8.01 10/09/07
Avantair, Inc DE 1.01,3.02,3.03,5.03,9.01 11/14/07
AVERY DENNISON CORPORATION DE 1.01,2.03,8.01,9.01 11/20/07
Banc of America Commercial Mortgage I DE 8.01,9.01 11/20/07
BANK OF AMERICA CORP /DE/ DE 3.03,5.03,8.01,9.01 11/14/07
BARNES & NOBLE INC DE 2.02,9.01 11/20/07
BARNES GROUP INC DE 2.05 11/15/07
BCB BANCORP INC 8.01,9.01 11/20/07
Bear Stearns Asset Backed Securities DE 1.01,9.01 10/19/07 AMEND
BEARD CO /OK OK 2.02,9.01 11/19/07
BECTON DICKINSON & CO NJ 1.01,8.01,9.01 11/20/07
BENIHANA INC DE 2.02,9.01 11/20/07
BIOLASE TECHNOLOGY INC DE 2.02,9.01 11/20/07
BJS WHOLESALE CLUB INC DE 2.02,9.01 11/20/07
BLUE COAT SYSTEMS INC DE 2.02,9.01 11/20/07
BRIGGS & STRATTON CORP WI 5.04,9.01 11/16/07
BRINKS CO VA 5.03,8.01,9.01 11/15/07
BROADVIEW NETWORKS HOLDINGS INC DE 8.01,9.01 11/20/07
BSD MEDICAL CORP DE 7.01,9.01 11/14/07
BSD MEDICAL CORP DE 7.01,9.01 11/20/07
Calamos Asset Management, Inc. /DE/ 1.01,9.01 11/16/07
CALGON CARBON CORPORATION DE 8.01 11/19/07
CALLIDUS SOFTWARE INC 5.02,9.01 11/19/07
CALPINE CORP DE 7.01,9.01 11/19/07
Capital Auto Receivables Asset Trust DE 8.01,9.01 11/15/07
CAPITAL SENIOR LIVING CORP DE 7.01,9.01 11/20/07
CAPITAL SOUTHWEST CORP TX 2.02,3.01,4.02,9.01 11/20/07
CB Financial CORP NC 2.02,9.01 11/20/07
CBRL GROUP INC TN 7.01,9.01 11/20/07
CECIL BANCORP INC MD 7.01 11/13/07
CELLULAR TECHNICAL SERVICES CO INC DE 9.01 09/04/07 AMEND
CENTERSTATE BANKS OF FLORIDA INC FL 5.02,9.01 11/20/07
CHEMOKINE THERAPEUTICS CORP DE 5.02 11/19/07
CHINA BIOPHARMA, INC. DE 8.01 11/19/07
CINCINNATI FINANCIAL CORP OH 5.02,7.01,9.01 11/14/07
CIT GROUP INC DE 8.01,9.01 11/19/07
CKX, Inc. DE 8.01,9.01 11/07/07
CLARIENT, INC DE 1.01,5.02,9.01 11/16/07
CLECO CORP LA 1.01,2.03,9.01 11/19/07
CLECO POWER LLC LA 1.01,2.03,9.01 11/19/07
COHESANT TECHNOLOGIES INC DE 8.01,9.01 11/20/07
COINMACH SERVICE CORP DE 8.01,9.01 11/19/07
Coley Pharmaceutical Group, Inc. DE 1.01,9.01 11/15/07 AMEND
COLLECTORS UNIVERSE INC DE 5.02,9.01 11/14/07
COLONIAL BANCGROUP INC DE 7.01,9.01 11/20/07
COMMERCE ENERGY GROUP, INC. DE 1.01,9.01 11/16/07
COMMERCE GROUP INC /MA MA 8.01,9.01 11/19/07
COMMONWEALTH BIOTECHNOLOGIES INC VA 2.02,9.01 11/14/07
COMMUNITY FINANCIAL SHARES INC DE 5.02 11/14/07
COMPUTER SOFTWARE INNOVATIONS INC 7.01 11/13/07
COMSYS IT PARTNERS INC DE 5.02 11/14/07
CONCHO RESOURCES INC DE 1.01,5.02,9.01 11/16/07
CONSTELLATION BRANDS, INC. DE 8.01,9.01 11/20/07
CONSTITUTION MINING CORP NV 5.02 11/20/07
COVENTRY HEALTH CARE INC DE 5.03,9.01 11/15/07
CRAFTMADE INTERNATIONAL INC DE 1.01,2.03,9.01 11/14/07
CRYSTAL INTERNATIONAL TRAVEL GROUP, I DE 3.01,5.02,9.01 11/14/07
Crystal River Capital, Inc. MD 1.01,9.01 11/14/07
CSG SYSTEMS INTERNATIONAL INC DE 5.02,9.01 11/14/07
Customer Acquisition Network Holdings DE 1.01,2.03,9.01 11/15/07
CV THERAPEUTICS INC DE 8.01,9.01 11/19/07
Cyberfund, Inc. OK 2.01,3.02,5.01,5.02,5.03,5.06, 11/14/07
9.01
Dairy Fresh Farms Inc. 1.01,2.01,9.01 11/15/07
DANKA BUSINESS SYSTEMS PLC 1.01,9.01 11/14/07
DATA I/O CORP WA 1.01 11/15/07
DCAP GROUP INC DE 5.02 11/14/07
DELCATH SYSTEMS INC DE 8.01,9.01 11/20/07
DICKS SPORTING GOODS INC DE 2.02,9.01 11/20/07
DIRT MOTOR SPORTS, INC. DE 2.02,5.02,9.01 11/15/07
DISTRIBUTION MANAGEMENT SERVICES INC 4.01,9.01 11/20/07
DIVX INC 2.01,9.01 11/14/07
DOBSON COMMUNICATIONS CORP OK 1.01,1.02,2.01,3.01,5.01,5.02, 11/15/07
8.01,9.01
DOCUMENT SECURITY SYSTEMS INC NY 2.02,9.01 11/14/07
Dolby Laboratories, Inc. DE 5.02,9.01 11/14/07
DOMINION RESOURCES BLACK WARRIOR TRUS DE 2.02,9.01 11/19/07
DOW JONES & CO INC DE 5.02,9.01 11/20/07
DreamWorks Animation SKG, Inc. 1.01,9.01 11/16/07
DSP GROUP INC /DE/ DE 2.01,9.01 09/03/07 AMEND
Duncan Energy Partners L.P. DE 8.01,9.01 09/30/07
EARTH BIOFUELS INC DE 4.01 11/19/07
EARTH BIOFUELS INC DE 4.02 11/02/07 AMEND
Eastern Insurance Holdings, Inc. PA 5.03,9.01 11/15/07
EATON VANCE CORP MD 9.01 11/20/07
EL PASO ELECTRIC CO /TX/ TX 8.01 11/15/07
Elixir Gaming Technologies, Inc. NV 5.02 11/20/07
Emrise CORP DE 3.01,9.01 11/14/07
EMULEX CORP /DE/ DE 1.01,5.02,8.01,9.01 11/15/07
ENDEAVOUR INTERNATIONAL CORP NV 5.02,9.01 11/20/07
ENER1 INC FL 1.01,3.02,7.01,9.01 11/19/07
ENERGY EAST CORP NY 8.01,9.01 11/20/07
Energy Infrastructure Acquisition Cor DE 5.02,5.03,9.01 11/13/07
ENERGY WEST INC MT 5.02,9.01 11/14/07
ENTEGRIS INC MN 1.01,9.01 11/15/07
Enterprise Acquisition Corp. DE 8.01,9.01 11/14/07
ENTERPRISE PRODUCTS PARTNERS L P DE 1.01,2.03,9.01 11/19/07
ENVIROKARE TECH INC NV 7.01,9.01 11/20/07
ENVIRONMENTAL TECTONICS CORP PA 2.04,4.02 11/14/07
EQUISTAR CHEMICALS LP DE 8.01,9.01 11/20/07
ERF Wireless, Inc. NV 8.01,9.01 11/19/07
EV Energy Partners, LP DE 1.01,2.02,7.01,9.01 11/14/07
EXTERRAN HOLDINGS INC. DE 5.04,9.01 11/20/07
FACTORY CARD & PARTY OUTLET CORP DE 1.02,8.01,9.01 11/16/07
FARMERS & MERCHANTS BANCORP INC OH 8.01,9.01 11/16/07
FAUQUIER BANKSHARES INC VA 5.03,9.01 11/15/07
Fearless International, Inc. 1.01,2.03,3.02,9.01 11/20/07
Federal Home Loan Bank of Atlanta X1 2.03 11/14/07
Federal Home Loan Bank of Boston X1 2.03 11/14/07
Federal Home Loan Bank of Chicago X1 2.03 11/14/07
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 11/14/07
Federal Home Loan Bank of Des Moines X1 2.03,9.01 11/14/07
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 11/14/07
Federal Home Loan Bank of Indianapoli X1 1.01,9.01 11/16/07
Federal Home Loan Bank of New York X1 2.03,9.01 11/14/07
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 11/14/07
Federal Home Loan Bank of San Francis X1 2.03 11/14/07
Federal Home Loan Bank of Seattle 2.03 11/19/07
Federal Home Loan Bank of Topeka 2.03 11/14/07
FedFirst Financial CORP X1 5.04,9.01 11/14/07
FELLOWS ENERGY LTD NV 5.02 11/05/07
First Business Financial Services, In 8.01,9.01 11/20/07
FIRST UNITED ETHANOL LLC GA 7.01 11/16/07
FIRSTENERGY CORP OH 2.03 11/20/07
FISERV INC WI 1.01,2.03,9.01 11/20/07
FLOTEK INDUSTRIES INC/CN/ DE 1.01,2.01,9.01 11/15/07
FORRESTER RESEARCH INC DE 2.02,9.01 11/20/07
FOUNTAIN POWERBOAT INDUSTRIES INC 2.02 11/13/07
FROZEN FOOD EXPRESS INDUSTRIES INC TX 1.01,8.01,9.01 11/19/07
FSONA SYSTEMS CORP. NV 3.02 11/16/07
FULTON FINANCIAL CORP PA 8.01 11/20/07
G REIT INC MD 5.02 11/19/07
G&K SERVICES INC MN 5.02,9.01 11/16/07
GameStop Corp. DE 2.02,9.01 11/20/07
General Finance CORP DE 1.01,2.01,9.01 11/14/07
GLADSTONE CAPITAL CORP MD 8.01,9.01 11/19/07
GLOBETEL COMMUNICATIONS CORP DE 8.01,9.01 11/20/07
GOLD HORSE INTERNATIONAL, INC. FL 7.01,9.01 11/20/07
GOLDEN TELECOM INC DE 8.01,9.01 11/20/07
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 11/16/07
GRAYMARK PRODUCTIONS INC 7.01,9.01 11/19/07
GREEN BANKSHARES, INC. TN 5.03,9.01 11/19/07
GREEN PLAINS RENEWABLE ENERGY, INC. IA 5.02,7.01,9.01 11/20/07
GYMBOREE CORP DE 2.02,9.01 11/20/07
HALOZYME THERAPEUTICS INC NV 3.01,8.01,9.01 11/14/07
HARTFORD LIFE INSURANCE CO CT 9.01 11/20/07
HARVEST NATURAL RESOURCES, INC. DE 5.02 11/15/07
HASTINGS ENTERTAINMENT INC TX 2.02,9.01 11/19/07
HASTINGS ENTERTAINMENT INC TX 8.01,9.01 11/20/07
HEMCURE INC NV 1.01,3.02,9.01 11/20/07
HERCULES OFFSHORE, INC. DE 7.01,9.01 11/19/07 AMEND
HERITAGE COMMERCE CORP CA 5.03,8.01,9.01 11/15/07
Heritage Financial Group DC 5.03,9.01 11/20/07
HIBBETT SPORTS INC 2.02,7.01,9.01 11/20/07
HINES REAL ESTATE INVESTMENT TRUST IN 2.01,7.01,9.01 11/16/07
HORMEL FOODS CORP /DE/ DE 8.01,9.01 11/20/07
HORMEL FOODS CORP /DE/ DE 2.02,9.01 11/20/07
HORTON D R INC /DE/ DE 2.02,5.02,9.01 11/16/07
HOT TOPIC INC /CA/ CA 2.02,5.02,9.01 11/15/07
HOUSEHOLD AFFINITY CREDIT CARD MASTER DE 9.01 11/15/07
HS3 TECHNOLOGIES INC. 1.01,9.01 11/06/07
HUDSON VALLEY HOLDING CORP NY 4.01,9.01 11/14/07
IA GLOBAL INC DE 2.02,8.01,9.01 11/20/07
IMPERIAL INDUSTRIES INC DE 2.02,7.01,9.01 11/15/07
IndyMac INDX Mortgage Loan Trust 2007 8.01,9.01 11/05/07
INFOSPACE INC DE 5.03,8.01,9.01 11/14/07
INFOUSA INC DE 8.01 11/14/07
INHIBITEX, INC. 8.01,9.01 11/19/07
INTERNAP NETWORK SERVICES CORP DE 5.02,8.01,9.01 11/18/07
International Coal Group, Inc. DE 1.02 11/16/07
International Fight League, Inc. DE 5.02,9.01 11/19/07
INVENDA CORP DE 3.03,9.01 11/19/07
INVERNESS MEDICAL INNOVATIONS INC DE 1.01,2.03,9.01 11/15/07
INVERTED PARADIGMS CORP DE 5.02 11/20/07
ISCO INTERNATIONAL INC DE 1.01,3.02,9.01 11/13/07
J P MORGAN CHASE & CO DE 9.01 11/16/07
JAMBA, INC. DE 2.02,9.01 11/20/07
JCM PARTNERS LLC DE 3.03,8.01 11/15/07
JDS UNIPHASE CORP /CA/ DE 5.02,5.03,9.01 11/15/07
JOHNSON CONTROLS INC WI 5.02 11/14/07
K-FED BANCORP 8.01 11/20/07
K-FED BANCORP 8.01 11/09/07 AMEND
KEY TECHNOLOGY INC OR 5.03,9.01 11/14/07
KIRBY CORP NV 5.04,9.01 11/19/07
KNIGHT TRANSPORTATION INC AZ 7.01,9.01 11/19/07
KRAFT FOODS INC VA 1.01,9.01 11/18/07
KRAFT FOODS INC VA 5.02,9.01 11/19/07 AMEND
KRATOS DEFENSE & SECURITY SOLUTIONS, DE 5.02 11/20/07
LANCASTER COLONY CORP OH 8.01,9.01 11/19/07
LANTRONIX INC DE 5.02,9.01 11/14/07
LBI MEDIA HOLDINGS INC 2.02,9.01 11/20/07
LEAP WIRELESS INTERNATIONAL INC DE 3.01,9.01 11/14/07
LEHMAN BROTHERS HOLDINGS INC DE 9.01 11/14/07
LHC Group, Inc 7.01,9.01 11/20/07
LIBERTY MEDIA CORP 8.01,9.01 11/20/07
LITTLE SIOUX CORN PROCESSORS LLC 1.01 11/15/07
Live Nation, Inc. DE 1.01,9.01 11/14/07
Live Nation, Inc. DE 5.02 11/14/07
Lotus Pharmaceuticals, Inc. 7.01,9.01 11/20/07
LTV CORP DE 8.01,9.01 11/20/07
LTX CORP MA 2.02,9.01 11/20/07
LYONDELL CHEMICAL CO DE 8.01,9.01 11/20/07
LYONDELL CHEMICAL CO DE 8.01,9.01 11/20/07
M WAVE INC DE 3.01,8.01,9.01 11/15/07
MAD CATZ INTERACTIVE INC 1.01,2.01,2.03,3.02,9.01 11/14/07
Magyar Bancorp, Inc. DE 8.01,9.01 11/16/07
Mandalay Media, Inc. DE 3.02,5.02,9.01 11/14/07
MATERIAL TECHNOLOGIES INC /CA/ DE 4.01,9.01 11/13/07 AMEND
MAXIM INTEGRATED PRODUCTS INC DE 5.02,9.01 11/15/07
MAXIMUS INC VA 1.01,2.02,9.01 11/14/07
MAYS J W INC NY 5.03 11/20/07
MERCURY COMPUTER SYSTEMS INC MA 5.02,9.01 11/19/07
MERIDIAN BIOSCIENCE INC OH 2.02,9.01 11/14/07
MESA AIR GROUP INC NV 5.02,9.01 11/15/07
MESA OFFSHORE TRUST TX 2.02,9.01 11/20/07
MESA ROYALTY TRUST/TX TX 2.02,9.01 11/20/07
MICRON TECHNOLOGY INC DE 8.01,9.01 11/20/07
MICROS SYSTEMS INC MD 8.01 11/20/07
ML-CFC Commercial Mortgage Trust 2007 DE 6.02 11/15/07
MONEYGRAM INTERNATIONAL INC 1.01,5.02,5.03,8.01 11/15/07
MOODYS CORP /DE/ DE 5.02,9.01 11/14/07
MPC CORP CO 8.01,9.01 11/14/07
MYLAN INC. PA 1.01,5.03,8.01,9.01 11/14/07
NANOBAC PHARMACEUTICALS INC FL 4.01,9.01 10/10/07 AMEND
National Health Partners Inc 7.01,9.01 11/15/07
National Interstate CORP OH 5.02,8.01,9.01 11/14/07
NATROL INC DE 1.01,8.01,9.01 11/18/07
NATURAL HEALTH TRENDS CORP DE 3.01,9.01 11/13/07 AMEND
NATURES SUNSHINE PRODUCTS INC UT 8.01,9.01 11/15/07
NCO Group, Inc. 2.02,7.01,9.01 11/20/07
NEPHROS INC DE 5.02,8.01,9.01 11/16/07
NEUROBIOLOGICAL TECHNOLOGIES INC /CA/ DE 8.01,9.01 11/19/07
NEUROLOGIX INC/DE DE 8.01,9.01 11/19/07
NEW CENTURY FINANCIAL CORP MD 7.01,9.01 11/15/07
New Design Cabinets, Inc. 1.01,2.01,3.02,3.03,5.01,5.02, 11/14/07
5.03,5.06,9.01
New York & Company, Inc. 2.02,9.01 11/20/07
NGAS Resources Inc 1.01,9.01 11/19/07
NNN Healthcare/Office REIT, Inc. MD 1.01,2.01,2.03,7.01,9.01 11/15/07
NORFOLK SOUTHERN CORP VA 1.01,9.01 11/20/07
NORFOLK SOUTHERN CORP VA 7.01,9.01 11/20/07
NORTHERN TECHNOLOGIES INTERNATIONAL C DE 2.02,9.01 11/16/07
NORTHERN TECHNOLOGIES INTERNATIONAL C DE 2.02,9.01 11/19/07
NSTAR ELECTRIC CO MA 1.01,2.03,9.01 11/14/07
OFFICE DEPOT INC DE 2.02,9.01 11/20/07
Oilsands Quest Inc 8.01,9.01 11/20/07
ONLINE VACATION CENTER HOLDINGS CORP 8.01 11/15/07
Organic Sales & Marketing Inc 1.01,1.02,8.01 10/31/07
Oritani Financial Corp. 8.01,9.01 11/19/07
Owens Corning DE 5.02 11/19/07
PACIFIC GOLD CORP NV 8.01,9.01 11/20/07
PACIFIC SUNWEAR OF CALIFORNIA INC CA 2.02,9.01 11/20/07
Palace Entertainment Holdings, Inc. DE 5.02 11/14/07
PATCH INTERNATIONAL INC/CN 7.01,8.01,9.01 11/20/07
Patriot Coal CORP DE 2.02,9.01 11/20/07
PENGRAM CORP NV 4.01 11/15/07
PENNANTPARK INVESTMENT CORP 7.01,9.01 11/19/07
PERKINELMER INC MA 1.01,2.01,2.03,9.01 11/14/07
PERMIAN BASIN ROYALTY TRUST TX 2.02,9.01 11/19/07
PERRY ELLIS INTERNATIONAL INC FL 2.02,9.01 11/19/07
PHARMION CORP 1.01,9.01 11/17/07
PICO HOLDINGS INC /NEW CA 8.01,9.01 11/20/07
PITNEY BOWES INC /DE/ DE 2.06 11/15/07
PLEXUS CORP WI 5.03,9.01 11/15/07
PNM RESOURCES INC NM 8.01 11/19/07
Porter Bancorp, Inc. KY 8.01,9.01 11/20/07
POWERCOLD CORP NV 8.01 11/01/07
PRO DEX INC CO 2.03,9.01 11/16/07
PROCENTURY CORP 5.02,9.01 11/14/07
PROGINET CORP DE 2.02,9.01 11/20/07
PROGRESSIVE GAMING INTERNATIONAL CORP NV 5.03,9.01 11/15/07
PURCHASE POINT MEDIA CORP MN 5.03 11/20/07
QAD INC DE 2.02,9.01 11/20/07
QAD INC DE 5.02,9.01 11/19/07
QLOGIC CORP DE 5.02,9.01 11/19/07
Qnective, Inc. 5.02 11/15/07
QUALMARK CORP CO 5.02 11/13/07
QUANEX CORP DE 1.01,5.02,7.01,9.01 11/18/07
RAINIER PACIFIC FINANCIAL GROUP INC WA 8.01,9.01 11/20/07
RALCORP HOLDINGS INC /MO MO 1.01,9.01 11/15/07
RED TRAIL ENERGY, LLC 4.02 11/12/07 AMEND
RedRoller Holdings, Inc. DE 4.01,7.01,9.01 11/19/07
RedRoller Holdings, Inc. DE 9.01 11/20/07 AMEND
RENOVIS INC DE 5.04,9.01 11/16/07
RES CARE INC /KY/ KY 8.01,9.01 11/20/07
RETRACTABLE TECHNOLOGIES INC TX 8.01,9.01 11/16/07
RICKS CABARET INTERNATIONAL INC TX 3.02,9.01 11/19/07
River Rock Entertainment Authority XX 5.02 11/14/07
ROCHESTER MEDICAL CORPORATION MN 5.02,5.03,9.01 11/15/07
Rock-Tenn CO GA 5.02,9.01 11/20/07
ROGERS CORP MA 8.01,9.01 11/20/07
ROSS STORES INC DE 2.02,9.01 11/20/07
RUSH ENTERPRISES INC \TX\ TX 5.02,9.01 11/16/07
SAKS INC TN 2.02,9.01 11/20/07
SALON MEDIA GROUP INC DE 1.01,3.02,9.01 11/19/07
SALTON INC DE 5.02 11/14/07
SAN JUAN BASIN ROYALTY TRUST TX 2.02,9.01 11/19/07
SELECTICA INC DE 5.02 11/13/07
Semoran Financial CORP FL 1.02,5.02 11/14/07
SENESCO TECHNOLOGIES INC DE 4.01,9.01 10/22/07 AMEND
SERENA SOFTWARE INC DE 1.01,5.02,9.01 11/14/07
SERVICEMASTER CO DE 5.02,9.01 11/14/07
SGX PHARMACEUTICALS, INC. DE 1.01,3.02,9.01 11/19/07
SHENANDOAH TELECOMMUNICATIONS CO/VA/ VA 1.01,5.02,9.01 11/19/07
Shiner International, Inc. NV 5.02,9.01 11/19/07
SHOE CARNIVAL INC IN 2.02,9.01 11/20/07
SHUMATE INDUSTRIES INC DE 2.02,7.01,9.01 11/19/07
SILVERSTAR HOLDINGS LTD B0 2.02,9.01 11/14/07
SIRICOMM INC DE 8.01,9.01 11/20/07
SIRVA INC DE 3.01,9.01 11/14/07
SOLUTIA INC DE 8.01,9.01 11/20/07
SOMERSET INTERNATIONAL GROUP,INC. DE 1.01,2.01,2.03,3.02,9.01 11/13/07
SOUTHERN CONNECTICUT BANCORP INC CT 1.01,9.01 11/20/07
SOUTHWEST AIRLINES CO TX 5.02,9.01 11/15/07
SPARTAN MOTORS INC MI 7.01,9.01 11/20/07
SPECTRX INC DE 2.02,9.01 11/20/07
SPHERION CORP DE 5.02 11/16/07
STANDARD MANAGEMENT CORP IN 1.01,9.01 11/16/07
Stanley, Inc. DE 8.01 11/15/07
STARBUCKS CORP WA 5.03,9.01 11/14/07
SUMMIT EXPLORATION INC. 4.01,9.01 11/05/07 AMEND
SUPERIOR BANCORP DE 5.03,9.01 11/20/07
Symmetry Holdings Inc DE 1.01,2.01,2.03,3.02,5.02,5.06, 11/15/07
9.01
SYNTEC BIOFUEL INC WA 5.02 11/19/07
TAKE TWO INTERACTIVE SOFTWARE INC DE 2.03,9.01 11/16/07
TALBOTS INC DE 5.02,9.01 11/20/07
Tank Sports, Inc. CA 2.01,9.01 11/15/07
TARGET CORP MN 2.02,8.01,9.01 11/20/07
Target Credit Card Master Trust DE 8.01,9.01 11/20/07
Target Credit Card Master Trust DE 8.01,9.01 11/20/07
TECHPRECISION CORP 2.02,9.01 11/15/07
TECO ENERGY INC FL 8.01,9.01 11/20/07
TECUMSEH PRODUCTS CO MI 2.02,7.01,9.01 11/14/07
TELETECH HOLDINGS INC DE 3.01,9.01 11/14/07
Terra Nova Financial Group Inc TX 5.02 11/20/07
TEXTRON INC DE 8.01,9.01 11/20/07
THAXTON GROUP INC SC 5.02 11/15/07
THESTREET COM DE 1.01,3.02,5.03,8.01,9.01 11/15/07
THINK PARTNERSHIP INC NV 7.01,9.01 11/19/07 AMEND
TITANIUM METALS CORP DE 1.01,7.01,9.01 11/19/07
TORCH ENERGY ROYALTY TRUST DE 2.02,9.01 11/20/07
TORRENT ENERGY CORP CO 7.01,9.01 11/15/07
TOUSA INC DE 2.02,8.01,9.01 11/14/07
TOUSA INC DE 3.01,9.01 11/16/07
TRAILER BRIDGE INC 2.02,9.01 11/14/07
TRANSNET CORP DE 7.01,9.01 11/20/07
TRIAD AUTOMOBILE RECEIVABLES TRUST 20 8.01,9.01 11/20/07
TRIMBLE NAVIGATION LTD /CA/ CA 5.04 11/20/07
TRIMERIS INC DE 5.02,8.01,9.01 11/14/07
Triple Crown Media, Inc. DE 5.02 11/15/07
Triple Crown Media, Inc. DE 2.01,2.05,9.01 11/15/07
TRUSTCO BANK CORP N Y NY 8.01,9.01 11/20/07
TUCOWS INC /PA/ PA 2.02,9.01 11/19/07
U S GOLD CORP CO 7.01,9.01 11/19/07
UNITED INDUSTRIAL CORP /DE/ DE 1.01,2.04,3.03,5.01,5.02,9.01 11/14/07
UNITED WISCONSIN GRAIN PRODUCERS LLC WI 2.02,7.01,9.01 11/19/07
UNITRIN INC DE 8.01,9.01 11/20/07
UNIVISION COMMUNICATIONS INC DE 5.02 10/17/07
US AIRWAYS GROUP INC DE 1.01,9.01 11/15/07
UTIX GROUP INC DE 4.01 07/30/07 AMEND
UTIX GROUP INC DE 1.01,5.02 10/31/07 AMEND
VALUEVISION MEDIA INC MN 2.02,9.01 11/19/07
VELCERA, INC. DE 8.01,9.01 11/15/07
Veri-Tek International, Corp. MI 2.02,9.01 11/14/07
VERSAR INC DE 5.02 10/27/07
VERTICAL BRANDING, INC. DE 8.01,9.01 11/19/07
VERTICALNET INC PA 2.02,9.01 11/19/07
VIASPACE Inc. NV 1.01 11/15/07
Visa Inc. DE 1.01,2.03 11/15/07
VITESSE SEMICONDUCTOR CORP DE 5.02,9.01 10/19/07
VIVUS INC CA 8.01,9.01 11/16/07
Volkswagen Auto Loan Enhanced Trust 2 8.01,9.01 11/20/07
VOLKSWAGEN DEALER FINANCE LLC DE 8.01,9.01 11/20/07
VOXWARE INC DE 8.01 11/19/07
VUBOTICS INC NV 1.01,2.03,3.02 11/20/07
VYYO INC DE 5.03,9.01 11/15/07
WARREN RESOURCES INC MD 1.01,7.01,9.01 11/20/07
WASHINGTON BANKING CO WA 5.03,9.01 11/15/07
WELLMAN INC DE 3.03,8.01 11/15/07
WESTERN ASSET MUNICIPAL HIGH INCOME F 8.01,9.01 11/19/07
WESTFIELD FINANCIAL INC MA 7.01,9.01 11/20/07
WHOLE FOODS MARKET INC TX 2.02,8.01,9.01 11/20/07
WILLBROS GROUP INC R1 1.01,8.01,9.01 11/14/07
WILSONS THE LEATHER EXPERTS INC MN 2.02,9.01 11/20/07
Wise Metals Group LLC DE 8.01 11/20/07
WYETH DE 5.02,8.01 11/15/07
WYNN RESORTS LTD 8.01,9.01 11/19/07
XL CAPITAL LTD 1.01,2.03,9.01 11/14/07
YUKON GOLD CORP INC DE 3.02,9.01 11/20/07
ZALE CORP DE 2.02 11/20/07
ZYGO CORP DE 5.02,9.01 11/19/07
http://www.sec.gov/news/digest/2007/dig112107.htm
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