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SEC NEWS DIGEST
Issue 2007-231 December 3, 2007
COMMISSION ANNOUNCEMENTS
COMMISSION MEETINGS
CLOSED MEETING - THURSDAY, DECEMBER 6, 2007 - 2:00 P.M.
The subject matter of the closed meeting scheduled for December 6 will
be: Formal orders of investigation; Institution and settlement of
injunctive actions; Institution and settlement of administrative
proceedings of an enforcement nature; Regulatory matters regarding
financial institutions; and a Matter involving enforcement techniques.
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
IN THE MATTER OF FOUNDING PARTNERS CAPITAL MANAGEMENT COMPANY AND
WILLIAM GUNLICKS
On December 3, the Commission issued an Order Instituting
Administrative and Cease-and-Desist Proceedings, Making Findings, and
Imposing Remedial Sanctions Pursuant to Section 8A of the Securities
Act of 1933 and Section 203(e) of the Investment Advisers Act of 1940
(the Order).
The Order finds, among other things, that Founding Partners Capital
Management Company (Founding Partners) and William Gunlicks, in
connection with their operation of two hedge funds, Founding Partners
Equity Fund, L.P. (Equity Fund) and Founding Partners Stable-Value,
L.P. (Stable-Value), made investments for the hedge funds and engaged
in transactions with entities under the common control of Founding
Partners that were not consistent with Stable-Value's and Equity
Fund's offering memoranda. Founding Partners and Gunlicks also caused
Stable-Value to pay an undisclosed fee to an off-shore entity,
Stewards & Partners Limited, in which Founding Partners has a
pecuniary interest in the fee because of its ownership interest in
Stewards. In addition, Gunlicks made inadequate changes in the hedge
funds' offering memoranda after the Commission's Office of Compliance
Inspections and Examination staff conducted an examination of Founding
Partners.
Based on the above, the Order censures Founding Partners and directs
it to pay $182,244 in disgorgement and prejudgment interest to the
Commission. The Order also requires Gunlicks and Founding Partners to
cease and desist from committing or causing any violations and any
future violations of Section 17(a)(2) of the Securities Act of 1933.
The Order directs Founding Partners to pay a civil money penalty in
the amount of $100,000. Gunlicks and Founding Partners consented to
the issuance of the Order without admitting or denying any of the
findings contained in the Order. (Rels. 33-8866; IA-2860; File No. 3-
12896)
IN THE MATTER OF AMERICAN VENTURE GROUP, INC., ET AL.
An Administrative Law Judge has issued an Order Making Findings and
Revoking Registrations by Default as to Three Respondents (Default
Order) in American Venture Group, Inc., et al. The Order Instituting
Proceedings alleged that Respondents American Venture Group, Inc.,
Avocet Ventures, Inc., and Essco USA, Inc., failed repeatedly to file
required annual and quarterly reports while their securities were
registered with the Securities and Exchange Commission. The Default
Order finds these allegations to be true and revokes the registration
of each class of registered securities American Venture Group, Inc.,
Avocet Ventures, Inc., and Essco USA, Inc., have with the Commission,
pursuant to Section 12(j) of the Securities Exchange Act of 1934.
(Rel. 34-56884; File No. 3-12882)
COURT GRANTS PRELIMINARY RELIEF AGAINST TEXAS OIL AND GAS PROMOTER,
AND APPOINTS A RECEIVER ON BEHALF OF INVESTORS
On November 30, the Commission filed a civil action in U.S. District
Court in Dallas, Texas against Dallas-based T-Bar Resources, LLC (T-
Bar) and its principal, Tommy Eugene Barber. In its complaint, the
Commission alleges that the defendants engaged in fraudulent conduct
in connection with three oil and gas securities offerings - Arrowhead,
Sierra and Sidnee. According to the complaint, between May 2006 and
November 2007, Barber raised through the offerings almost $14 million
from over 300 investors nationwide.
On the day the Commission filed its action, the District Court granted
the Commission's request for preliminary relief. Specifically, the
Court entered, as against each defendant and with each defendant's
consent, a preliminary injunction, an asset freeze, an accounting, an
order prohibiting the destruction of documents and expediting
discovery, and an order appointing a receiver to marshal and conserve
T-Bar and Barber's assets for the benefit of investors.
Included in the Commission's complaint are the following allegations:
that, although T-Bar and Barber represented to investors that the
funds raised in each offering would be held in escrow until 80 percent
of the total offering amount was raised, T-Bar and Barber immediately
diverted, and to a large extent misappropriated, the funds; that
Barber and T-Bar told the Arrowhead investors that they were raising
$4.125 million for the project, when, in fact, they raised nearly $9.2
million, significantly diluting the investors' interests; that,
contrary to representations to investors that the Sierra and Sidnee
projects had in place lease and drilling agreements pursuant to which
drilling had already begun, in fact, no drilling had begun, there was
no lease or drilling agreement in place, and the proceeds that should
have been earmarked for the leases and drilling had been diverted by
T-Bar and Barber; and that T-Bar and Barber enticed investors to
invest in the Sierra and Sidnee projects by representing that the
Arrowhead wells are producing, in the aggregate, over 450 barrels of
oil per day, when, in reality, the wells are producing just 10 to 55
barrels per day.
In its complaint, the Commission alleges that each of the defendants
violated Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933
and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-
5 thereunder. In its continuing action, The Commission is seeking
against each of the defendants a permanent injunction, disgorgement
plus prejudgment interest, and a civil money penalty. [SEC v. T-Bar
Resources, LLC and Tommy Eugene Barber, Civil Action No. 3:07CV1994B,
USDC; ND TX (Dallas Division)] (LR-20377)
TWO DEFENDANTS IN SEC ENFORCEMENT ACTION SENTENCED IN FEDERAL COURT ON
RELATED CRIMINAL CHARGES
The Commission announced today that on Nov. 28, 2007, James Bunchan
and Seng Tan, two defendants in a previously-filed Commission
enforcement action, were each sentenced in U.S. District Court for the
District of Massachusetts on their convictions on related charges of
mail fraud, conspiracy and money laundering in connection with a
fraudulent investment scheme. Bunchan was sentenced to 35 years in
prison and Tan was sentenced to 20 years in prison. The U.S. Attorney
for the District of Massachusetts had obtained indictments against
Bunchan and Tan on Jan. 5, 2006, and both defendants were convicted on
June 27, 2007, after a criminal trial.
A third defendant, Christian Rochon, who was also named in the
Commission's complaint, pled guilty on June 4, 2007, to related
criminal charges of mail fraud, conspiracy and money laundering.
Rochon has not yet been sentenced.
The Commission filed its complaint against Bunchan, Tan, Rochon and
two corporate defendants, WMDS, Inc and OneUniverseOnline, Inc., on
Nov. 16, 2005, alleging that they operated a fraudulent investment
scheme that targeted Cambodian immigrants and that purported to
guarantee returns for future generations. The complaint alleged that
the defendants emphasized their shared Cambodian heritage with their
victims, and written solicitation documents drew a parallel between
investing in WMDS and fulfilling the American dream, stating that WMDS
"urges you to sign up now or you will miss your best chance of
fulfilling your American dream." In fact, according to the complaint,
the defendants were operating a fraudulent pyramid scheme and ceased
making the promised monthly payments. On Jan. 24, 2006, the Commission
amended its complaint to add Bunchan's former wife as a relief
defendant. The Commission's case is pending as to all defendants. [USA
v. Bunchan, et al., Criminal Action No. 06-10004-RGS (D.Mass); SEC v.
WMDS, Inc., et al., Civil Action No.05-12268-RCL (D. Mass)] (LR-20378)
INVESTMENT COMPANY ACT RELEASES
DEREGISTRATIONS UNDER THE INVESTMENT COMPANY ACT
For the month of November, 2007, a notice has been issued giving
interested persons until Dec. 26, 2007, to request a hearing on any of
the following applications for an order under Section 8(f) of the
Investment Company Act declaring that the applicant has ceased to be
an investment company:
International Equity Portfolio [File No. 811-8434]
Small Cap Growth Portfolio [File No. 811-7269]
The Premium Portfolios [File No. 811-8436]
Government Income Portfolio [File No. 811-8438]
CitiFunds Tax Free Reserves [File No. 811-3893]
CitiFunds Multi-State Tax Free Trust [File No. 811-4596]
CitiFunds Fixed Income Trust [File No. 811-5033]
CitiFunds International Trust [File No. 811-6154]
Adjustable Rate Securities Portfolios [File No. 811-6242]
Atlas Funds [File No. 811-5485]
Colonial Insured Municipal Fund [File No. 811-9533]
BlackRock Basic Value Fund II, Inc. [File No. 811-9957]
Hallmark Equity Series Trust [File No. 811-7734]
Hallmark Investment Series Trust [File No. 811-879]
Merit Advisors Investment Trust [File No. 811-21495]
Merit Advisors Investment Trust II [File No. 811-21520]
Lazard Global Mid Cap Fund, Inc. [File No. 811-21683]
WhiteRock Portfolio Investors, L.L.C. [File No. 811-9104]
Separate Account AIA of Integrity Life Insurance Company
[File No. 811-5431]
Separate Account AII of Integrity Life Insurance Company
[File No. 811-5432]
Principal Aggressive Growth Fund, Inc. [File No. 811-8176]
Principal Asset Allocation Fund, Inc. [File No. 811-8178]
Principal Balanced Fund, Inc. [File No. 811-5073]
Principal Bond Fund, Inc. [File No. 811-5173]
Principal Emerging Growth Fund, Inc. [File No. 811-5170]
Principal Government Securities Fund, Inc.
[File No. 811-4916]
Principal Growth Fund, Inc. [File No. 811-8180]
Principal High Yield Fund, Inc. [File No. 811-5175]
Principal Money Market Fund, Inc. [File No. 811-3546]
Principal World Fund, Inc. [File No. 811-8182]
Separate Account VUL of National Integrity Life Insurance Co.
[File No. 811-4667]
Select Ten Plus Fund, LLC [File No. 811-9179]
CILCONY Variable Separate Account [File No. 811-21620]
(Rel. IC-28069 - November 30)
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A proposed rule change (SR-NYSE-2007-106) filed by the New York Stock
Exchange to address changes in the way the Exchange delivers education
programs to its members and to clarify that the mandatory education
requirement applies to all individuals qualified to use a trading
license 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 December 3. (Rel. 34-56851)
A proposed rule change filed by the New York Stock Exchange relating
to NYSE Rule 124 (Odd-Lot Orders) (SR-NYSE-2007-103) 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 December 3. (Rel. 34-56858)
A proposed rule change filed with the Commission by the American Stock
Exchange to make certain conforming changes to Amex rules relating to
the Amex Book Clerk program (SR Amex-2007 127) has become immediately
effective under Section 19(b)(3)(A) of the Securities Exchange Act of
1934 and Rule 19b-4(f)(2) thereunder. Publication is expected in the
Federal Register during the week of December 3. (Rel. 34-56861)
A proposed rule change (SR-CBOE-2007-135) filed by the Chicago Board
Options Exchange relating to relating to a transaction fee waiver for
options on the Mini-SPX 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 December 3. (Rel. 34-56862)
A proposed rule change (SR-Amex-2007-125) filed by the American Stock
Exchange to adopt, among other things, a riskless principal exception
to Amex rules prohibiting members from engaging in proprietary trading
while holding customer orders that could be executed at the same price
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 December 3. (Rel. 34-56868)
A proposed rule change filed by the New York Stock Exchange to amend
fees charged to member organizations for the use of the On-Line
Comparison System (SR-NYSE-2007-105) 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
December 3. (Rel. 34-56870)
PROPOSED RULE CHANGES
The American Stock Exchange filed a proposed rule change and Amendment
No. 1 thereto (SR-Amex-2007-94) relating to notes linked to the
performance of the CBOE S&P 500 PutWrite Index (PUTSM). Publication is
expected in the Federal Register during the week of December 3. (Rel.
34-56853)
The Depository Trust Company filed a proposed rule change (SR-DTC-
2007-06) under Section 19(b)(1) of the Exchange Act to amend the
hearing procedures afforded to an Interested Person and harmonize them
with similar rules of its affiliates. Publication is expected in the
Federal Register during the week of December 3. (Rel. 34-56863)
The Fixed Income Clearing Corporation filed a proposed rule change
(SR-FICC-2007-06) under Section 19(b)(1) of the Exchange Act to modify
the hearing procedures afforded to members and applicants for
membership and harmonize them with similar rules of its affiliates.
Publication is expected in the Federal Register during the week of
December 3. (Rel. 34-56864)
The National Securities Clearing Corporation filed a proposed rule
change (SR-NSCC-2007-06) under Section 19(b)(1) of the Exchange Act to
modify the hearing procedures afforded to members and applicants for
membership and harmonize them with similar rules of its affiliates.
Publication is expected in the Federal Register during the week of
December 3. (Rel. 34-56865)
ACCELERATED APPROVAL OF PROPOSED RULE CHANGES
The Commission granted accelerated approval to a proposed rule change
filed by the International Securities Exchange (SR-ISE-2007-102), as
modified by Amendment No. 1 thereto, to permit trading of shares of 93
funds of the ProShares Trust pursuant to unlisted trading privileges.
Publication is expected in the Federal Register during the week of
December 3. (Rel. 34-56866)
A proposed rule change (SR-ISE-2007-87) filed by the International
Securities Exchange relating to the criteria for securities that
underlie options traded on the Exchange has been granted approval on
an accelerated basis under Section 19(b)(2) of the Securities Exchange
Act of 1934. Publication is expected in the Federal Register during
the week of December 3. (Rel. 34-56871)
APPROVAL OF PROPOSED RULE CHANGE
The Commission approved a proposed rule change (SR-CBOE-2007-59)
submitted by the Chicago Board Options Exchange to amend the minimum
quote size requirements for Hybrid Opening System rotations.
Publication is expected in the Federal Register during the week of
December 3. (Rel. 34-56860)
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-3ASR HARMONIC INC, 549 BALTIC WAY, SUNNYVALE, CA, 94089, 4085422500 -
0 ($11,421,426.48) Equity, (File 333-147719 - Nov. 30) (BR. 11B)
S-1 BROADVIEW NETWORKS HOLDINGS INC, 800 WESTCHESTER AVENUE, RYE BROOK, NY,
10573, 9149227000 - 0 ($287,500,000.00) Equity, (File 333-147720 -
Nov. 30) (BR. 11)
S-3 CADENCE PHARMACEUTICALS INC, 12481 HIGH BLUFF DRIVE, SUITE 200,
SAN DIEGO, CA, 92130, 8584361400 - 0 ($100,000,000.00) Equity,
(File 333-147721 - Nov. 30) (BR. 01B)
S-1 GHL Acquisition Corp., C/O GREENHILL & CO., 300 PARK AVENUE, NEW YORK,
NY, 10022, 212-389-1500 - 0 ($460,000,000.00) Other, (File 333-147722 -
Nov. 30) (BR. 08)
S-8 LUXOTTICA GROUP SPA, 44 HARBOR PARK DR, PORT WASHINGTON, NY, 11050,
5164343800 - 0 ($637,800,000.00) Equity, (File 333-147724 - Nov. 30)
(BR. 10B)
SB-2 SIGNET INTERNATIONAL HOLDINGS, INC., 205 WORTH AVENUE, SUITE 316,
PALM BEACH, FL, 33480, 561-832-2000 - 479,700 ($1,007,370.00) Equity,
(File 333-147726 - Nov. 30) (BR. 11C)
S-8 ORIENTAL FINANCIAL GROUP INC, MONACILLOS 1000, SAN ROBERTO ST,
RIO PIEDRAS, PR, 00926, 7877661986 - 0 ($7,067,500.00) Equity,
(File 333-147727 - Nov. 30) (BR. 07C)
S-8 CMS Bancorp, Inc., 123 MAIN STREET, SUITE 750, WHITE PLAINS, NY, 10601,
914-422-2700 - 0 ($2,910,390.96) Equity, (File 333-147729 - Nov. 30)
(BR. 07)
S-8 PERFICIENT INC, 1120 SOUTH CAPITAL OF TEXAS HWY,, SUITE 220, BLDG. 3,
AUSTIN, TX, 78746, 5125316000 - 2,500,000 ($42,100,000.00) Equity,
(File 333-147730 - Nov. 30) (BR. 03B)
S-8 ENERGY XXI (BERMUDA) LTD, CANONS COURT,
22 VICTORIA STREET PO BX HM 1179, HAMILTON, D0, 00000, 713 351 3003 -
3,750,000 ($20,175,000.00) Equity, (File 333-147731 - Nov. 30) (BR. 04A)
S-8 First Advantage Bancorp, 1430 MADISON STREET, CLARKSVILLE, TN, 37040,
931-522-6176 - 242,489 ($2,424,890.00) Equity, (File 333-147732 -
Nov. 30) (BR. 07)
S-3 INSPIRE PHARMACEUTICALS INC, 4222 EMPEROR BLVD STE 200, DURHAM, NC,
27703-8466, 9199419777 - 14,018,600 ($71,635,046.00) Equity,
(File 333-147733 - Nov. 30) (BR. 01A)
S-8 SMART BALANCE, INC., 115 WEST CENTURY ROAD, SUITE 260, PARAMUS, NJ,
07652-1432, 3036821982 - 9,650,000 ($97,193,225.00) Equity,
(File 333-147734 - Nov. 30) (BR. 04C)
S-3 SMART BALANCE, INC., 115 WEST CENTURY ROAD, SUITE 260, PARAMUS, NJ,
07652-1432, 3036821982 - 4,065,105 ($46,992,613.80) Equity,
(File 333-147735 - Nov. 30) (BR. 04C)
S-3 DRI CORP, 5949 SHERRY LANE, SUITE 1050, DALLAS, TX, 75225,
(214) 378-8992 - 0 ($717,750.00) Equity, (File 333-147736 - Nov. 30)
(BR. 11C)
S-3ASR UNITED PARCEL SERVICE INC, 55 GLENLAKE PARKWAY NE, ATLANTA, GA, 30328,
4048286000 - 0 ($0.00) Other, (File 333-147737 - Nov. 30) (BR. 05C)
S-8 IMMUNOGEN INC, 128 SIDNEY ST, CAMBRIDGE, MA, 02139, 6179952506 -
0 ($3,983,213.00) Equity, (File 333-147738 - Nov. 30) (BR. 01A)
S-8 ELECTRONIC CONTROL SECURITY INC, 790 BLOOMFIELD AVENUE,
BLDG C1 - STE 1, CLIFTON, NJ, 07012, 9735478555 -
20,000 ($9,800.00) Equity, (File 333-147740 - Nov. 30) (BR. 11C)
S-1 CAPITAL TEN ACQUISITION CORP., 116 VILLAGE BOULEVARD, PRINCETON, NJ,
08540, 609-951-2260 - 0 ($126,750,100.00) Equity, (File 333-147741 -
Nov. 30) (BR. )
S-8 BANYAN CORP /OR/, 1925 CENTURY PARK EAST, SUITE 500, LOS ANGELES, CA,
90067, 1-800-808-0899 - 25,000,000 ($30,000.00) Equity,
(File 333-147742 - Nov. 30) (BR. 01A)
S-8 COMBINATORX, INC, 245 FIRST STREET, 16TH FLOOR, CAMBRIDGE, MA, 02142,
617-301-7000 - 0 ($1,000,000.00) Equity, (File 333-147745 - Nov. 30)
(BR. 01A)
S-8 Digital Realty Trust, Inc., 560 MISSION STREET, SUITE 2900,
SAN FRANCISCO, CA, 94105, (415)738-6500 - 0 ($206,427,462.38) Equity,
(File 333-147746 - Nov. 30) (BR. 08A)
S-8 CHIMERA INVESTMENT CORP, 1211 AVENUE OF THE AMERICAS, SUITE 2902,
NEW YORK, NY, 10036, 212-696-0100 - 2,956,393 ($42,926,827.00) Equity,
(File 333-147747 - Nov. 30) (BR. 08)
S-1 SIRVA INC, 700 OAKMONT LANE, WESTMONT, IL, 60559, 6304684743 -
0 ($95,528,198.00) Equity, (File 333-147748 - Nov. 30) (BR. 05C)
S-8 180 Connect Inc., 18 W. 18TH STREET, 11TH FLOOR, NEW YORK, NY, 10011,
914-806-2307 - 0 ($3,902,394.60) Equity, (File 333-147749 - Nov. 30)
(BR. 06A)
S-8 Horsehead Holding Corp, 300 frankfort RD, MONACA, PA, 15061,
3,174,262 ($51,010,390.34) Equity, (File 333-147750 - Nov. 30) (BR. 04C)
SB-2 DAYSTAR TECHNOLOGIES INC, 13 CORPORATE DRIVE, HALFMOON, NY, 12065,
518-383-4600 - 5,550,203 ($21,784,547.00) Equity, (File 333-147751 -
Nov. 30) (BR. 10A)
SB-2 Advaxis, Inc., 675 ROUTE 1, SUITE B 113, NORTH BRUNSWICK, NJ, 08902,
732 545 1590 - 109,482,917 ($20,048,683.33) Equity, (File 333-147752 -
Nov. 30) (BR. 01A)
S-8 VISTAPRINT LTD, CANON'S COURT, 22 VICTORIA STREET, HAMILTON, D0, HM 12,
781-652-6300 - 3,900,000 ($166,140,000.00) Equity, (File 333-147753 -
Nov. 30) (BR. 05B)
S-3 LIBBEY INC, 300 MADISON AVE, PO BOX 10060, TOLEDO, OH, 43604,
4193252100 - 0 ($7,585,380.00) Equity, (File 333-147754 - Nov. 30)
(BR. 06B)
SB-2 Paw Spa, Inc., 98 SOUTH HOLMAN WAY, GOLDEN, CO, 80401, (303) 278-0207 -
757,900 ($75,790.00) Equity, (File 333-147755 - Nov. 30) (BR. )
S-3 CANO PETROLEUM, INC, BURNETT PLAZA, 801 CHERRY STREET,
UNIT 25, SUITE 3200, FORT WORTH, TX, 76102, 817-698-0900 -
0 ($26,005,000.00) Equity, (File 333-147757 - Nov. 30) (BR. 04A)
S-3 InfoLogix Inc, 101 E COUNTY LINE ROAD, SUITE 210, HATBORO, PA, 19040,
215-604-0691 - 0 ($6,108,083.00) Equity, (File 333-147758 - Nov. 30)
(BR. 03C)
SB-2 VUBOTICS INC, 1108 OGLETHORPE DRIVE, ATLANTA, GA, 30319, 4048166100 -
0 ($1,547,152.00) Equity, (File 333-147759 - Nov. 30) (BR. 03B)
S-8 Akeena Solar, Inc., 605 UNIVERSITY AVENUE, LOS GATOS, CA, 95032,
408-395-7774 - 911,687 ($4,558,435.00) Equity, (File 333-147760 -
Nov. 30) (BR. 02A)
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
--------------------------------------------------------------------------------------------------------
2020 ChinaCap Acquirco, Inc. 8.01,9.01 11/30/07
ABINGTON BANCORP, INC./PA PA 8.01,9.01 11/29/07
ACORDA THERAPEUTICS INC 8.01 11/30/07
ADVANCED CELL TECHNOLOGY, INC. DE 1.01,5.03,9.01 12/08/06
ALTAIR NANOTECHNOLOGIES INC A6 1.01,3.02,7.01,9.01 11/29/07
ALTERA CORP DE 2.03 11/27/07
AMAG PHARMACEUTICALS INC. DE 5.03,8.01,9.01 11/27/07
AMERICAN AIRLINES INC DE 7.01 11/30/07
AMERICAN ITALIAN PASTA CO DE 2.02,9.01 11/30/07
AMERICAN LOCKER GROUP INC DE 8.01,9.01 11/30/07
AMERICAN MOLD GUARD INC 3.01,9.01 11/27/07
AMERICAN TONERSERV CORP. DE 5.02 11/28/07
AMR CORP DE 7.01 11/30/07
ANHEUSER-BUSCH COMPANIES, INC. DE 5.02,9.01 11/28/07
ANWORTH MORTGAGE ASSET CORP MD 1.01,9.01 11/29/07
ARCHER DANIELS MIDLAND CO DE 5.02,9.01 11/26/07
ARGON ST, Inc. DE 1.01,5.02,9.01 11/27/07
ASCENDIA BRANDS, INC. DE 3.01,4.02,7.01,9.01 11/26/07
ASIAN DRAGON GROUP INC. NV 3.02,8.01 06/15/07
ATMI INC DE 9.01 07/27/07 AMEND
AXS ONE INC DE 5.03,9.01 11/29/07
BAKER MICHAEL CORP PA 8.01,9.01 11/29/07
BAKER MICHAEL CORP PA 5.03,9.01 11/28/07
BALDWIN TECHNOLOGY CO INC DE 5.02 11/26/07
Banc of America Commercial Mortgage I DE 8.01,9.01 11/29/07
BANK BUILDING CORP VA 8.01,9.01 11/30/07
Banks.com, Inc. FL 5.02,5.03,9.01 11/30/07
BARE ESCENTUALS INC DE 5.02,5.03,9.01 11/27/07
BEHRINGER HARVARD REIT I INC MD 9.01 11/01/07 AMEND
BERRY PLASTICS HOLDING CORP DE 5.02 11/30/07
BEVERLY HILLS BANCORP INC DE 2.04 11/26/07
BIONOVO INC DE 5.02 11/26/07 AMEND
BLUE HOLDINGS, INC. NV 1.01,3.01,3.02,9.01 11/27/07
BOK FINANCIAL CORP ET AL OK 1.01,5.02,9.01 11/30/07
BOK FINANCIAL CORP ET AL OK 1.01,5.02,9.01 11/30/07 AMEND
BORDERS GROUP INC MI 9.01 11/29/07 AMEND
BOWATER INC DE 5.02,9.01 11/26/07
BPZ RESOURCES, INC. TX 7.01,9.01 11/30/07
BREEZE-EASTERN CORP DE 1.01,8.01,9.01 11/28/07
BRINKS CO VA 8.01,9.01 11/30/07
BRISTOL MYERS SQUIBB CO DE 2.02,9.01 10/25/07 AMEND
Brooke Credit CORP DE 5.02,9.01 11/26/07
BROOKS AUTOMATION INC DE 5.02 11/30/07
BUFFETS HOLDINGS, INC. DE 5.02,9.01 11/30/07
CALLAWAY GOLF CO DE 8.01,9.01 11/29/07
CAMDEN PROPERTY TRUST TX 1.01,9.01 11/27/07
CANDELA CORP /DE/ DE 1.01,5.02 11/26/07
CAPITAL CITY BANK GROUP INC FL 5.03,7.01,9.01 11/29/07
CARAUSTAR INDUSTRIES INC NC 5.02 11/27/07
CARLATERAL, INC. NV 5.02 11/30/07
CAS MEDICAL SYSTEMS INC DE 5.03,9.01 11/30/07
CASCADE FINANCIAL CORP DE 1.01,9.01 11/30/07
CATHAY MERCHANT GROUP, INC. DE 8.01,9.01 11/30/07
CATO CORP DE 2.02,9.01 11/29/07
Cavit Sciences, Inc. 1.01,3.02,7.01,9.01 11/29/07
CBRL GROUP INC TN 7.01,9.01 11/29/07
CCFNB BANCORP INC PA 1.01,9.01 11/29/07
CENTRAL EUROPEAN MEDIA ENTERPRISES LT 8.01 11/26/07
CENTRAL VERMONT PUBLIC SERVICE CORP VT 1.01,9.01 11/29/07
Chardan South China Acquisition Corp DE 8.01,9.01 11/29/07
CHINA BAK BATTERY INC NV 7.01,9.01 11/30/07
China Holdings, Inc. NV 4.01,9.01 11/26/07
CHINDEX INTERNATIONAL INC DE 5.02 11/27/07
CHL Mortgage Pass-Through Trust 2007- DE 9.01 11/30/07
CIT GROUP INC DE 8.01,9.01 11/27/07
CLEAR CHOICE FINANCIAL, INC. NV 4.01,9.01 10/26/07
COLORADO INTERSTATE GAS CO DE 7.01,9.01 11/29/07
CONSOLIDATED RESOURCES HEALTH CARE FU GA 8.01 11/30/07
Cord Blood America, Inc. FL 1.01,2.03,3.02,9.01 11/26/07
CORDIA CORP NV 5.02,9.01 11/30/07
COUNTRYWIDE FINANCIAL CORP DE 5.03,9.01 11/28/07
COVANTA HOLDING CORP DE 5.02 11/26/07
CYTOGENIX INC NV 3.02 11/19/07
DANA CORP VA 7.01,9.01 11/30/07
DAYBREAK OIL & GAS INC WA 3.02 11/28/07 AMEND
DELPHI CORP DE 7.01,9.01 11/30/07
DEXTERITY SURGICAL INC DE 5.02 11/30/07 AMEND
DigitalFX International Inc FL 1.01,9.01 11/29/07
Directed Electronics, Inc. FL 1.01,9.01 11/26/07
DIRT MOTOR SPORTS, INC. DE 5.02 11/28/07
DOMINION RESOURCES INC /VA/ VA 8.01,9.01 11/27/07
DREW INDUSTRIES INC DE 8.01,9.01 11/29/07
Duke Energy CORP DE 8.01 11/29/07
DYNEGY INC. DE 1.02,5.02,9.01 11/28/07
EASYLINK SERVICES INTERNATIONAL CORP DE 8.01,9.01 11/26/07
ECCO Energy Corp. NV 5.02 11/30/07
EMAK Worldwide, Inc. DE 3.01,9.01 11/30/07
EMC CORP MA 5.02,8.01,9.01 11/28/07
EMPIRE GLOBAL CORP. DE 8.01 11/26/07
EMTEC INC/NJ UT 2.02,9.01 11/30/07
EMULEX CORP /DE/ DE 1.01,5.02,9.01 11/15/07 AMEND
ESS TECHNOLOGY INC CA 1.02 11/26/07
ESTEE LAUDER COMPANIES INC DE 5.02 11/28/07
EUGENE SCIENCE DE 1.01,2.03,3.02,9.01 11/27/07
EVCI Career Colleges Holding Corp DE 4.01,5.02,9.01 11/26/07
EWRX INTERNET SYSTEMS INC NV 4.01,9.01 11/14/07 AMEND
EXAR CORP DE 1.01,1.02 11/02/07
EXPEDITORS INTERNATIONAL OF WASHINGTO WA 7.01 11/29/07
FARMERS & MERCHANTS BANCORP INC OH 5.02,9.01 11/27/07
FEDERAL NATIONAL MORTGAGE ASSOCIATION 7.01,8.01,9.01 11/30/07
FIRST BANCSHARES INC /MO/ MO 3.01,9.01 11/30/07
FIRST KEYSTONE CORP PA 8.01 11/30/07
FIRST LITCHFIELD FINANCIAL CORP DE 8.01,9.01 11/29/07
FIRSTCITY FINANCIAL CORP DE 7.01,9.01 11/29/07
FLAGSTAR BANCORP INC MI 5.03,9.01 11/29/07
FORWARD AIR CORP TN 1.01,9.01 11/26/07
Fox Chase Bancorp Inc X1 8.01,9.01 11/30/07
FUTURES PORTFOLIO FUND L.P. MD 5.02 11/29/07
GAIAM INC CO 5.03,9.01 11/29/07
GARMIN LTD 8.01,9.01 11/30/07
GB&T BANCSHARES INC GA 1.01 11/26/07
GENERAL ELECTRIC CO NY 8.01,9.01 11/30/07
General Moly, Inc ID 8.01,9.01 11/28/07
GENETHERA INC FL 4.02 11/29/07 AMEND
GIGABEAM CORP DE 5.02,7.01 11/28/07
Google Inc. DE 8.01,9.01 11/30/07
Granite Falls Energy, LLC MN 7.01 11/28/07
Grant Life Sciences, Inc. NV 1.01,3.02,9.01 11/19/07
GREAT ATLANTIC & PACIFIC TEA CO INC MD 8.01 11/30/07
GREAT WEST LIFE & ANNUITY INSURANCE C CO 1.01,7.01,9.01 11/26/07
GREENFIELD ONLINE INC DE 8.01 11/30/07
GREENSHIFT CORP DE 8.01 11/30/07
GROWERS DIRECT COFFEE COMPANY, INC. NV 5.02,8.01,9.01 11/29/07
GS Cleantech Corp DE 8.01 11/30/07
GS Energy CORP 8.01 11/30/07
GS ENVIROSERVICES, INC. NY 8.01 11/30/07
Gulf United Energy, Inc. NV 1.01,9.01 11/28/06
HANDLEMAN CO /MI/ MI 1.01,5.05 11/27/07
Harbin Electric, Inc 8.01,9.01 11/27/07
HAROLDS STORES INC OK 5.02 11/26/07
HARSCO CORP DE 1.01,9.01 11/28/07
HARTFORD LIFE INSURANCE CO CT 9.01 11/30/07
HARTMARX CORP/DE DE 5.02,5.03,9.01 11/26/07
HIBBETT SPORTS INC 1.01,5.03,9.01 11/29/07
HICKORY TECH CORP MN 5.02,9.01 11/30/07
Hill International, Inc. DE 8.01,9.01 11/29/07
HINES REAL ESTATE INVESTMENT TRUST IN 8.01 11/15/07
HOLOGIC INC DE 9.01 10/22/07 AMEND
HUMANA INC DE 7.01,8.01,9.01 11/30/07
HUSKER AG LLC NE 5.03,9.01 11/30/07
ICAGEN INC DE 1.01,2.03,9.01 11/28/07
ICON INCOME FUND EIGHT /DE DE 4.01,9.01 11/26/07
ICON INCOME FUND EIGHT B LP 4.01,9.01 11/26/07
ICON INCOME FUND NINE LLC DE 4.01,9.01 11/26/07
ICON INCOME FUND TEN LLC DE 4.01 11/26/07
ICON Leasing Fund Eleven, LLC DE 4.01,9.01 11/26/07
ICON Leasing Fund Twelve, LLC DE 4.01,9.01 11/26/07
ICONIX BRAND GROUP, INC. DE 7.01 11/30/07
Ideation Acquisition Corp. DE 8.01,9.01 11/26/07
IMAGE ENTERTAINMENT INC DE 8.01,9.01 11/28/07
IMMUNOGEN INC MA 7.01 11/30/07
INDEVUS PHARMACEUTICALS INC DE 1.01,5.02,9.01 11/27/07
INSIGHT COMMUNICATIONS CO INC DE 2.04,9.01 11/30/07
INSIGHT MIDWEST LP DE 2.04,9.01 11/30/07
INVESCO PLC/LONDON/ 1.01,3.03,9.01 11/27/07
IOWA TELECOMMUNICATIONS SERVICES INC IA 5.02 11/29/07
IRVINE SENSORS CORP/DE/ DE 1.01,9.01 11/28/07
IRWIN FINANCIAL CORP IN 5.03,9.01 11/30/07
ISECURETRAC CORP DE 1.01,2.03 11/27/07
J P MORGAN CHASE & CO DE 9.01 11/29/07
JAMES RIVER GROUP, INC DE 8.01,9.01 11/30/07
Jazz Technologies, Inc. DE 5.02,5.03,9.01 11/26/07
JOHNSON & JOHNSON NJ 2.06,8.01 11/29/07 AMEND
Juniper Content Corp DE 7.01,9.01 11/29/07
K-Care Nutritional Products Inc. 2.01,5.01,5.02,5.03,5.06,9.01 11/27/07
KAISER GROUP HOLDINGS INC DE 8.01 11/30/07
Keewatin Windpower Corp. NV 5.02 11/30/07
KENNAMETAL INC PA 5.02 11/26/07
KEY ENERGY SERVICES INC MD 1.01,1.02,2.03,5.02,8.01,9.01 11/26/07
Kimball Hill, Inc. IL 5.02,9.01 10/26/07
Kimball Hill, Inc. IL 5.02,9.01 11/26/07
Kimball Hill, Inc. IL 5.02 11/28/07 AMEND
KINGS ROAD ENTERTAINMENT INC DE 5.02,5.03 09/27/07
KMG America CORP VA 3.01,3.03,5.01,5.02,5.03,7.01, 11/30/07
9.01
Koppers Holdings Inc. PA 8.01 11/27/07
LANDAMERICA FINANCIAL GROUP INC VA 1.01,3.03,9.01 11/28/07
LANDAUER INC DE 8.01,9.01 11/30/07
LEHMAN BROTHERS HOLDINGS INC DE 9.01 11/29/07
Lehman Mortgage Trust 2007-10 DE 8.01,9.01 11/30/07
Lehman XS Trust Series 2007-20N DE 8.01,9.01 11/30/07
LIBBEY INC DE 8.01,9.01 11/30/07
Liberty Global, Inc. 7.01 11/30/07
LIFEQUEST WORLD CORP MN 8.01 11/14/07
Lifevantage Corp CO 7.01,9.01 11/30/07
LIMITED BRANDS INC DE 2.02,7.01 11/20/07
LITHIUM TECHNOLOGY CORP DE 3.02,9.01 11/27/07
Longfoot Communications Corp. DE 1.01,2.01,3.02,5.01,5.02,5.03, 11/28/07
9.01
LUFKIN INDUSTRIES INC TX 1.01,9.01 11/30/07
MB SOFTWARE CORP CO 1.01,3.02,5.03,9.01 11/29/07
MCCLATCHY CO DE 5.02 11/30/07
MediaG3, Inc DE 1.01,2.01,3.02,9.01 11/30/07
MESA AIR GROUP INC NV 8.01 11/19/07
METROPCS COMMUNICATIONS INC DE 5.02 11/26/07
ML-CFC Commercial Mortgage Trust 2007 DE 1.01,9.01 11/14/07
Morgans Hotel Group Co. DE 5.02,9.01 11/27/07
Morgans Hotel Group Co. DE 5.02,9.01 09/19/07 AMEND
MOSAIC CO 7.01,9.01 11/29/07
MOTOROLA INC DE 5.02,9.01 11/29/07
MOVIE GALLERY INC DE 1.01,9.01 11/27/07
MS STRUCTURED ASSET CORP CBT SERIES 2 DE 8.01,9.01 11/26/07
MTS SYSTEMS CORP MN 5.02,9.01 11/27/07
NANOGEN INC DE 3.01,9.01 11/27/07
NATIONAL COAL CORP FL 7.01,9.01 11/29/07
NATIONWIDE FINANCIAL SERVICES INC/ DE 1.01,9.01 11/28/07
NATURAL ALTERNATIVES INTERNATIONAL IN DE 1.01,1.02,5.02 11/27/07
NATURAL GAS SERVICES GROUP INC 5.03,9.01 11/27/07
NAVARRE CORP /MN/ MN 1.01,5.02,9.01 11/27/07
NAVISTAR FINANCIAL CORP DE 8.01,9.01 11/28/07
NBTY INC DE 1.01,9.01 11/28/07
NEAH POWER SYSTEMS, INC. NV 1.01,3.02,9.01 11/28/07
NEUROBIOLOGICAL TECHNOLOGIES INC /CA/ DE 5.02 11/26/07
New Oriental Energy & Chemical Corp. DE 7.01,9.01 11/30/07
NEW PARADIGM PRODUCTIONS INC NV 1.01,2.01,3.02,9.01 11/17/07 AMEND
NEWELL RUBBERMAID INC DE 5.02,9.01 11/27/07
NEWMONT MINING CORP /DE/ DE 1.01,1.02,5.02,7.01,9.01 11/30/07
NOBEL LEARNING COMMUNITIES INC DE 7.01,9.01 11/27/07
NORTH STATE BANCORP NC 1.01,2.03,9.01 11/28/07
NUCO2 INC /FL FL 5.02 11/14/07
NURX PHARMACEUTICALS, INC. NV 5.02 11/27/07
OMNIVISION TECHNOLOGIES INC DE 5.02,5.03,9.01 11/26/07
OMNIVISION TECHNOLOGIES INC DE 5.02 11/26/07
ON ASSIGNMENT INC DE 5.02,9.01 11/28/07
OPTIO SOFTWARE INC GA 8.01 11/23/07
Optionable Inc 5.02,9.01 11/26/07
ORION ETHANOL, INC KS 5.02 11/30/07
OSAGE BANCSHARES, INC. MD 8.01 11/26/07
Pacific Coast National Bancorp CA 5.02 11/28/07
PALADIN REALTY INCOME PROPERTIES INC MD 8.01 11/30/07
PALM INC DE 5.02 11/27/07
PARALLEL PETROLEUM CORP DE 5.03,9.01 11/28/07
Patient Safety Technologies, Inc DE 5.02 11/26/07
PATRICK INDUSTRIES INC IN 8.01,9.01 11/30/07
PATRON SYSTEMS INC DE 1.01,2.03 11/05/07
PATRON SYSTEMS INC DE 1.01,1.03,2.03,9.01 11/14/07
PEGASYSTEMS INC MA 8.01 11/29/07
PENN TREATY AMERICAN CORP PA 5.02 11/26/07
PERFORMANCE CAPITAL MANAGEMENT LLC CA 8.01 11/27/07
PERRY ELLIS INTERNATIONAL INC FL 8.01,9.01 11/30/07
PETROHAWK ENERGY CORP DE 1.01 11/26/07
PetroSouth Energy Corp. 3.02 11/28/07
PINNACLE AIRLINES CORP DE 5.02 11/29/07
PINNACLE AIRLINES CORP DE 8.01 11/30/07
PINNACLE AIRLINES CORP DE 7.01 11/30/07
PINNACLE ENTERTAINMENT INC DE 1.01,9.01 11/26/07
POINT BLANK SOLUTIONS, INC. DE 8.01,9.01 11/30/07
POSSIS MEDICAL INC MN 9.01 11/21/07
PPG INDUSTRIES INC PA 7.01,9.01 11/30/07
PRICESMART INC DE 2.02,9.01 11/29/07
Printing Components Inc. NV 1.01,9.01 11/26/07
pSivida LTD C3 5.02 11/27/07
QPC Lasers NV 1.01,8.01,9.01 11/26/07
QUESTCOR PHARMACEUTICALS INC CA 5.02,7.01,9.01 11/26/07
QUINTEK TECHNOLOGIES INC 1.02,5.02 11/21/07
QUINTEK TECHNOLOGIES INC 1.02,5.02 11/21/07
RAIT Financial Trust MD 5.04,9.01 11/30/07
RedRoller Holdings, Inc. DE 1.01 11/30/07
RGC RESOURCES INC VA 2.02,9.01 11/28/07
RYDER SYSTEM INC FL 5.02,9.01 11/29/07
SANDRIDGE ENERGY INC DE 2.01 11/29/07
SCBT FINANCIAL CORP SC 8.01,9.01 11/30/07
SCHIFF NUTRITION INTERNATIONAL, INC. DE 5.02,9.01 11/26/07
SCOLR Pharma, Inc. DE 1.01,9.01 11/28/07
SEARS HOLDINGS CORP DE 8.01,9.01 11/30/07
SED INTERNATIONAL HOLDINGS INC DE 8.01,9.01 11/21/07
SERVIDYNE, INC. GA 5.03,9.01 11/28/07
SHAW GROUP INC LA 1.01,3.01,8.01,9.01 11/26/07
SIERRA PACIFIC RESOURCES /NV/ NV 8.01,9.01 11/28/07
Silicon Mountain Holdings, Inc. CO 1.01,2.02,9.01 11/14/07
Silver State Bancorp 8.01,9.01 11/29/07
Skilled Healthcare Group, Inc. DE 5.02,9.01 11/30/07
SOLUTIA INC DE 7.01,9.01 11/30/07
SONA MOBILE HOLDINGS CORP DE 2.03,3.02,8.01,9.01 11/28/07
SOUTHERN NATURAL GAS CO DE 7.01,9.01 11/29/07
Southern Trust Securities Holding Cor 5.03 11/28/07
Spansion Inc. DE 5.02 11/26/07
Spectra Energy Corp. DE 5.04,9.01 11/26/07
Standard Drilling, Inc. 5.02 11/28/07
STANFORD MANAGEMENT LTD DE 5.02 11/30/07
Star Maritime Acquisition Corp. DE 3.01,8.01 11/30/07
Structured Adjustable Rate Mortgage L DE 8.01,9.01 11/30/07
SUPERIOR ESSEX INC DE 8.01,9.01 11/28/07
SUSQUEHANNA BANCSHARES INC PA 8.01,9.01 11/16/07 AMEND
SYMYX TECHNOLOGIES INC DE 1.01 11/29/07
SYNOVUS FINANCIAL CORP GA 1.01,8.01,9.01 11/30/07
TALON INTERNATIONAL, INC. DE 3.01,9.01 11/27/07
TANDY BRANDS ACCESSORIES INC DE 2.05,9.01 11/30/07
TECHNICAL COMMUNICATIONS CORP MA 2.02,9.01 11/30/07
TEMECULA VALLEY BANCORP INC CA 8.01,9.01 11/28/07
TEMPLE INLAND INC DE 8.01,9.01 11/29/07
TERADATA CORP /DE/ 5.02,9.01 11/27/07
TERRA INDUSTRIES INC MD 1.01,2.01,9.01 09/14/07 AMEND
THOR INDUSTRIES INC DE 2.02,9.01 11/26/07
TIERONE CORP 7.01,9.01 11/29/07
TIFFANY & CO DE 2.02,9.01 11/30/07
TITAN PHARMACEUTICALS INC DE 8.01,9.01 11/28/07
TJX COMPANIES INC /DE/ DE 1.01,9.01 11/29/07
TOLLGRADE COMMUNICATIONS INC \PA\ PA 5.02 11/27/07
TOTAL SYSTEM SERVICES INC GA 7.01,9.01 11/30/07
TOTAL SYSTEM SERVICES INC GA 1.01,8.01,9.01 11/30/07
TRAVELCENTERS OF AMERICA LLC 5.02,9.01 11/26/07
TRC COMPANIES INC /DE/ DE 2.02,4.02,9.01 11/29/07
Triple Crown Media, Inc. DE 5.02 11/28/07
TRULITE INC DE 1.01,3.02,7.01,9.01 11/26/07
TXCO Resources Inc DE 7.01,9.01 11/29/07
ULTICOM INC NJ 8.01,9.01 11/29/07
UNIFY CORP DE 2.02,9.01 11/29/07
UNION DRILLING INC DE 8.01,9.01 11/27/07
UNITED AMERICA INDEMNITY, LTD E9 5.02,9.01 11/26/07
United States Natural Gas Fund, LP 7.01,9.01 11/30/07
United States Oil Fund, LP DE 7.01,9.01 11/30/07
UNITED STATES STEEL CORP DE 8.01,9.01 11/30/07
UOMO Media Inc. NV 9.01 11/26/07
USA SUPERIOR ENERGY HOLDINGS, INC. NV 3.02 10/31/07
UTEK CORP 1.01,9.01 11/29/07
UTSTARCOM INC DE 5.02,9.01 11/26/07
VALSPAR CORP DE 1.01,2.03,9.01 11/27/07
VARSITY GROUP INC 3.01,9.01 11/27/07
VECTr SYSTEMS INC 4.01,5.02 11/30/07
ViewPoint Financial Group X1 8.01,9.01 11/29/07
VIEWSONIC CORP DE 5.02,9.01 11/27/07
VIRGINIA ELECTRIC & POWER CO VA 8.01,9.01 11/27/07
W R GRACE & CO DE 8.01,9.01 11/30/07
WEATHERFORD INTERNATIONAL LTD D0 8.01 11/30/07
WEGENER CORP DE 2.02,9.01 11/29/07
WESBANCO INC WV 2.01,5.02,8.01,9.01 11/30/07
WESTERN SIZZLIN CORP DE 5.02,9.01 11/28/07
WET SEAL INC DE 5.02 11/28/07
WHERIFY WIRELESS INC DE 5.02,8.01,9.01 11/28/07
Wilber CORP 5.02,9.01 11/28/07
WILSHIRE BANCORP INC CA 8.01,9.01 11/29/07
WORTHINGTON INDUSTRIES INC OH 5.02,9.01 11/30/07
YAHOO INC DE 5.02 11/28/07
YOUBET COM INC DE 1.01,5.02,9.01 11/28/07
YUM BRANDS INC NC 1.01,2.03 11/30/07
ZION OIL & GAS INC DE 7.01,9.01 11/29/07
ZOLTEK COMPANIES INC DE 2.02,9.01 11/28/07
http://www.sec.gov/news/digest/2007/dig12307.htm
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