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SEC NEWS DIGEST
Issue 2007-232 December 4, 2007
COMMISSION ANNOUNCEMENTS
CHANGE IN THE MEETING: DELETION OF AN ITEM
The following item will not be considered during the closed meeting on
Thursday, December 6, at 2:00 p.m.: 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
COMMISSION SANCTIONS STEPHEN J. HORNING
The Commission has sanctioned Stephen J. Horning, formerly a director
and senior officer of Rocky Mountain Securities & Investments, Inc., a
former registered broker-dealer located in Denver, Colorado. The
Commission determined that Horning failed reasonably to supervise two
former employees of Rocky Mountain with a view to preventing their
violations of Section 10(b) of the Securities Exchange Act of 1934 and
Exchange Act Rule 10b-5. The Commission also found that Horning was a
cause of Rocky Mountain's inaccurate books and records and its filing
of material false reports with regulatory agencies. As a result of the
conduct at issue, a SIPC trustee was appointed to liquidate Rocky
Mountain. The Commission found that "Horning's supervisory failure and
his fundamental misunderstanding of the duties of a supervisor present
too great a risk to investors to allow him to remain in the industry
as a supervisor." The Commission concluded that it was in the public
interest to bar Horning from association with any broker or dealer in
a supervisory capacity and to suspend him for twelve months from
association with any broker or dealer. (Rel. 34-56886; Securities
Investor Protection Act of 1970 Rel. No. 167; File No. 3-12156)
IN THE MATTER OF MARSHALL W. PAGON AND HOWARD E. VERLIN AND IN THE
MATTER OF MICHAEL K. SMITH
On December 4, the Commission issued two Orders Instituting Cease-and-
Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist
Order Pursuant to Section 8A of the Securities Act of 1933 and Section
21C of the Securities Exchange Act of 1934, one naming Repondents
Marshall W. Pagon and Howard E. Verlin and the other naming Michael K.
Smith. All three respondents are former senior executives of Pegasus
Communications Corporation and its operating subsidiaries. The Pegasus
entities operated a satellite television business with customers in
certain rural areas of the United States.
According to the Commission's Orders, during the period from 1999
though 2001, Pegasus, a satellite television provider, engaged in a
number of actions designed to increase the number of its active
satellite subscribers. First, Pegasus extended the period of time that
customers who had failed to pay their bills could be considered active
and, therefore, part of the subscriber count. At Pegasus, these
delinquent accounts whose status was extended were called "re-aged"
accounts. Second, in 2001, Pegasus re-activated the accounts of
certain customers who had voluntarily disconnected their service by
reclassifying the accounts from disconnect to suspend status and by
assigning one-cent credits to the customers' accounts, thus causing
the billing system to restore those subscriber accounts to active
status. At Pegasus, these accounts that were reactivated by one-cent
credits were called "penny-suspends" or "penny-credits." The
Commissions Orders found that, as a result of these actions, the
number of subscribers who were not generating revenue or receiving
services from Pegasus grew substantially. Without these actions,
Pegasus would have had nominal growth in its subscriber base for the
year 2001.
The Commission's Orders found that, as a result of this conduct, each
of the Respondents caused Pegasus and PSC to violate Sections 17(a)(2)
and 17(a)(3) of the Securities Act of 1933 and Sections 13(a),
13(b)(2)(A) and 13(b)(2)(B) of the Securities Exchange Act of 1934 and
Rules 13a-1, 13a-13 and 12b-20 thereunder.
Without admitting or denying the Commission's findings, Respondents
agreed to entry of the Commission Orders requiring them to cease and
desist from committing or causing any violations and any future
violations of the antifraud, reporting, books and records, and
internal controls provisions of the federal securities laws.
Respondent Verlin also agreed to pay a total of $23,959.88 in
disgorgement and prejudgment interest. (In the matter of Marshall W.
Pagon and Howard E. Verlin - Rels. 33-8867; 34-56891; File No. 3-
12897); (In the matter of Michael K. Smith - Rels. 33-8868; 34-56892;
File No. 3-12898)
FINAL JUDGMENTS BY CONSENT ENTERED AS TO C. PAUL SANDIFUR, JR., THOMAS
TURNER, TRILLIUM CORPORATION AND DAVID SYRE
The Commission today announced that it has reached settlements in
pending litigation against two former executives of Metropolitan
Mortgage & Securities Co., Inc. (Metropolitan), former Chairman Chief
Executive Officer C. Paul Sandifur, Jr., and former senior executive
Thomas G. Turner, as well as former Metropolitan business associate
Trillium Corporation and its Chairman and Chief Executive Officer
David B. Syre, relating to an alleged financial reporting fraud at
Metropolitan. Judgments by consent were entered for each defendant by
the Honorable John C. Coughenour in the case SEC v. C. Paul Sandifur,
Jr., et al., Case No. CV-05-1631 JCC, in the U.S. District Court for
the Western District of Washington.
Metropolitan was a long-standing Spokane, Washington finance and real
estate company that collapsed in 2004. Metropolitan filed for
bankruptcy in February 2004, devastating nearly 10,000 investors
throughout the Pacific Northwest who had invested approximately $450
million in debt securities and preferred stock offered by the company.
As alleged in the Commission's amended complaint, Metropolitan's
management falsified the company's 2002 financial results by reporting
profits from circular real estate sales where Metropolitan purported
to sell property to buyers who, in fact, received all or nearly all of
the money to pay for the purchases from Metropolitan or its
affiliates.
In the largest of these deals, Metropolitan reported a $10 million
gain by completely financing the purchase of property by defendant
Trillium Corporation, a private company based in Bellingham,
Washington.
The details of the settlements for the defendants, who consented to
the settlements without admitting or denying the allegations against
them, are as follows:
C. Paul Sandifur, Jr., Metropolitan Chairman and Chief
Executive Officer - Ordered to pay a total of
$150,889.66, consisting of disgorgement of $60,000 plus
prejudgment interest of $15,889.66, and a civil penalty of
$75,000; permanently enjoined from violating the antifraud
provisions of the federal securities laws (Section 17(a) of the
Securities Act of 1933 ("Securities Act"), Section 10(b) of the
Exchange Act of 1934 ("Exchange Act") and Rule 10b-5
thereunder); permanently enjoined from violating Section
13(b)(5) of the Exchange Act and Rules 13a-14, 13b2-1 and
13b2-2; permanently enjoined from aiding and abetting
violations of the books and records and periodic reporting
provisions (Sections 13(a), 13(b)(2)(A) and 13(b)(2)(B) of the
Exchange Act and Rules 12b-20, 13a-1 and 13a-13 thereunder); and
barred from serving as an officer or director of any public
company for a period of five years;
Thomas G. Turner, Metropolitan senior executive - Permanently
enjoined from violating the antifraud provisions of the federal
securities laws (Section 17(a) of the Securities Act, Section
10(b) of the Exchange Act and Rule 10b-5 thereunder);
permanently enjoined from violating Section 13(b)(5) of the
Exchange Act and Rules 13b2-1 and 13b2-2; permanently enjoined
from aiding and abetting violations of the books and records
and periodic reporting provisions (Sections 13(a),
13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act and Rules 12b-20,
13a-1 and 13a-13 thereunder); and barred from serving as an
officer or director of any public company;
Trillium Corporation, Metropolitan business associate - Ordered
to pay a penalty of $75,000, and permanently enjoined from
violating the antifraud provisions of the federal securities
laws (Section 10(b) of the Exchange Act and Rule 10b-5
thereunder) and from aiding and abetting violations of the
books and records and periodic reporting provisions (Section
13(a) of the Exchange Act and Rules 12b-20 and 13a-1
thereunder); and
David B. Syre, Trillium Chairman and Chief Executive Officer -
Ordered to pay a penalty of $50,000, and permanently enjoined
from violating the antifraud provisions of the federal securities
laws (Section 10(b) of the Exchange Act and Rule 10b-5
thereunder) and from aiding and abetting violations of the
books and records and periodic reporting provisions (Section
13(a) of the Exchange Act and Rules 12b-20 and 13a-1
thereunder).
Previously, the Commission reached settlements with three other
defendants in this litigation: former Metropolitan Controller Robert
Ness; former Metropolitan Vice President Thomas Masters; and former
Metropolitan business associate Dan Sandy. See Litigation Release No.
20042, dated March 15, 2007.
The settlements announced today conclude the Commission's litigation
in this matter against all the defendants except Thomas Turner,
against whom the Commission will bring a motion for disgorgement and
civil penalties for his role in the fraud at Metropolitan. [SEC v. C.
Paul Sandifur, Jr., et al., USDC, Western District of Washington,
Civil Action No. CV-05-1631 JC] (LR-20379)
SEC SUES INDIANAPOLIS BROKER AND INVESTMENT ADVISER FOR PERSONAL
TRADING IN ADVANCE OF A TENDER OFFER
On December 3, the Commission filed a complaint in the U.S. District
Court for the Southern District of Indiana against David W. Knall, a
registered representative and investment adviser, for trading in
advance of Dick's Sporting Goods Inc.'s June 21, 2004, announcement
that it intended to acquire Galyan's Trading Company, Inc. via a
tender offer. The complaint alleges that Knall, a resident of
Indianapolis, acquired material, nonpublic information relating to the
tender offer on June 12, 2004. Four days later, on June 16, 2004, he
purchased 10,000 shares of Galyan's stock to cover a previously
established short position in his brokerage account. Prior to trading,
Knall did not try to determine whether there had been any public
announcement about an acquisition or any material increase in Galyan's
stock price, even though he had reason to know that the information he
acquired came indirectly from a Dick's representative. The complaint
further alleges that Knall avoided $55,281 in losses by covering his
short position prior to the June 21 2004, public announcement of the
tender offer. The day after the announcement, Galyan's stock closed at
$16.68, a 50.3% increase from the previous day's closing price of
$11.10.
Without admitting or denying the allegations in the complaint, Knall
consented to the entry of a Final Judgment, subject to the court's
approval, in which he is permanently enjoined from future violations
of Section 14(e) and Rule 14e-3 of the Securities Exchange Act of
1934. Knall also agreed to pay disgorgement of $55,281, plus
prejudgment interest in the amount of $13,303.13, and a one-time civil
penalty of $55,281. [SEC v. David W. Knall, Case No. 1:07-CV-1562-RLY-
WTL, USDC SD IND] (LR-20380A)
SEC SUES MAXIM INTEGRATED PRODUCTS AND FORMER SENIOR OFFICERS IN
STOCK OPTION BACKDATING SCHEME
The Commission today filed civil charges against Maxim
Integrated Products, Inc., a Silicon Valley semiconductor company,
its former CEO, John F. Gifford, and its former CFO, Carl W.
Jasper, in connection with a stock option backdating scheme.
The Commission's complaints, filed in federal district court in San
Jose, allege that Maxim routinely provided potentially lucrative in-
the-money options (i.e., options granted at below market prices) to
employees. Under well-settled accounting principles, granting in-the-
money options obligated the company to report compensation expenses to
shareholders. The Commission alleges that Maxim avoided reporting
these expenses by backdating paperwork to make it appear that the
options had been granted on an earlier date. As a result, the company
overstated its net income by more than 10% for its fiscal years 2003
through 2005.
Maxim, without admitting or denying the Commission's allegations,
consented to a permanent injunction against violations of Section
17(a) of the Securities Act of 1933 and Sections 10(b), 13(a),
13(b)(2)(A), 13(b)(2)(B), and 14(a) of the Securities Exchange Act of
1934 and Rules 10b-5, 12b-20, 13a-1, 13a-11, 13a-13, and 14a-9
thereunder. Gifford, also without admitting or denying the
allegations, agreed to a permanent injunction against violations of
Section 17(a)(3) of the Securities Act, Sections 13(a), 13(b)(2)(A),
13(b)(2)(B), and 14(a) of the Exchange Act and Rules 12b-20, 13a-1,
13a-11, 13a-13, and 14a-9 thereunder. Gifford also agreed to pay
disgorgement and prejudgment interest of $652,681 and a $150,000 civil
penalty.
The Commission's complaint against Jasper alleges he violated Section
17(a) of the Securities Act, Sections 10(b), 13(a), 13(b)(2)(A),
13(b)(2)(B), 13(b)(5), and 14(a) of the Exchange Act and Rules 10b-5,
12b-20, 13a-1, 13a-11, 13a-13, 13a-14, 13b2-1, 13b2-2, and 14a-9
thereunder. The Commission seeks injunctive relief, disgorgement, a
civil penalty, and an order barring him from acting as an officer or
director of a public company. [SEC v. Maxim Integrated Products, Inc.
and John F. Gifford., Case No. C-07-6121 RMW, N.D. Cal.; SEC v. Carl
W. Jasper., Case No. C-07-6122 HRL, N.D. Cal.] (LR-20381; Press Rel.
2007-250)
INVESTMENT COMPANY ACT RELEASES
UNIFIED SERIES TRUST AND ENVESTNET ASSET MANAGEMENT, INC.
A notice has been issued giving interested persons until December 26
to request a hearing on an application filed by Unified Series Trust
and Envestnet Asset Management, Inc. for an order exempting applicants
from Section 15(a) of the Investment Company Act and Rule 18f-2 under
the Act. The order would permit applicants to enter into and
materially amend subadvisory agreements without shareholder approval
and grant relief from certain disclosure requirements. (Rel. IC-28071
- November 30)
SELF-REGULATORY ORGANIZATIONS
ACCELERATED APPROVAL OF PROPOSED RULE CHANGE
The Commission granted accelerated approval to a proposed rule change
(SR-OCC-2007-13) filed by The Options Clearing Corporation relating to
delayed start options. Publication is expected in the Federal Register
during the week of December 3. (Rel. 34-56856)
A proposed rule change (SR-Phlx-2007-72), as modified by Amendment
Nos. 3 and 4, filed by the Philadelphia Stock Exchange relating to
delisting securities underlying low ADV options has been approved on
an accelerated basis pursuant to Section 19(b)(2) of the Securities
Exchange Act of 1934. Publication is expected in the Federal Register
during the week of December 10. (Rel. 34-56881)
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A proposed rule change (SR-CBOT-2007-01) filed by the Board of Trade
of the City of Chicago relating to the renumbering and reorganization
of rules relating to listing standards for security futures products
has become immediately effective under Section 19(b)(7)(B) of the
Securities Exchange Act of 1934. Publication is expected in the
Federal Register during the week of December 3. (Rel. 34-56873)
A proposed rule change (SR-NSX-2007-11) and Amendment Nos. 1 and 2
filed by the National Stock Exchange to modify rebate programs for
automatic execution transactions in certain designated ETFs 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 10. (Rel. 34-56883)
A proposed rule change (SR-NYSEArca-2007-123), as modified by
Amendment No. 1, filed by NYSE Arca relating to the extension of the
pilot program for initial and continued financial listing standards
for common stock of operating companies until May 31, 2008 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 10. (Rel. 34-56885)
APPROVAL OF PROPOSED RULE CHANGES
The Commission granted approval of a proposed rule change (SR-
NYSEArca-2007-110), submitted by NYSE Arca, through its wholly owned
subsidiary, NYSE Arca Equities, Inc., relating to certain
modifications to the initial listing and trading standards for Equity
Index-Linked Securities. Publication is expected in the Federal
Register during the week of December 10. (Rel. 34-56879)
The Commission granted approval of a proposed rule change (SR-Amex-
2006-96), as modified by Amendment Nos. 1, 2, 3, 4, 5 and 6 thereto,
submitted by the American Stock Exchange relating to the listing and
trading of units of the Nuveen Commodities Income and Growth Fund.
Publication is expected in the Federal Register during the week of
December 10. (Rel. 34-56880)
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.
F-3 EDAP TMS SA, PARC D'ACTIVITES LA POUDRETTE LAMARTINE,
4 RUE DU DAUPHINE, 69120 VAULX EN VELIN, I0, 0 ($13,559,124.00) Equity,
(File 333-147762 - Dec. 3) (BR. 10A)
S-8 CISCO SYSTEMS INC, 170 WEST TASMAN DR, SAN JOSE, CA, 95134-1706,
4085264000 - 92,693 ($46,346.50) Equity, (File 333-147763 - Dec. 3)
(BR. 03C)
S-1 MVC Acquisition Corp., C/O MVC CAPITAL, INC., 287 BOWMAN AVENUE,
PURCHASE, NY, 10577, (914) 701-0310 - 0 ($410,000,000.00) Equity,
0 ($12,500,000.00) Other, (File 333-147764 - Dec. 3) (BR. 10)
S-4 GRAMERCY CAPITAL CORP, 420 LEXINGTON AVE, NEW YORK, NY, 10170,
2125942700 - 0 ($266,301,917.00) Equity, (File 333-147765 - Dec. 3)
(BR. 08A)
S-3 BORLAND SOFTWARE CORP, 100 ENTERPRISE WAY, SCOTTS VALLEY, CA,
95066-3249, 8314311000 -
0 ($200,000,000.00) Debt Convertible into Equity, (File 333-147766 -
Dec. 3) (BR. 03B)
F-10 AGRIUM INC, 13131 LAKE FRASER DRIVE S.E., CALGARY, A0, T2J7E8,
403 225-7000 - 3,000,000,000 ($3,000,000,000.00) Other,
(File 333-147767 - Dec. 3) (BR. 05B)
SB-2 Greater Asia Realty Holdings, LTD., M-3-19 PLAZA DAMAS,
C/O TAY CHONG WENG, SRI HARTAMAS, KUALA LUMPUR, N8, 50480,
603 2178 4947 - 3,500,000 ($2,500,000.00) Equity, (File 333-147768 -
Dec. 3) (BR. 08)
SB-2 Southern Trust Securities Holding Corp, 2121 PONCE DE LEON BOULEVARD,
SUITE 340, CORAL GABLES, FL, 33134, 305-446-4800 -
10,624,430 ($31,873,290.00) Equity, (File 333-147770 - Dec. 3) (BR. 06C)
S-8 EMTA Holdings, Inc., 7430 E BUTHERUS DRIVE, SUITE C, SCOTSDALE, AZ,
85260, 480 222 6222 - 22,000,000 ($3,300,000.00) Equity,
(File 333-147773 - Dec. 3) (BR. 04C)
SB-2 PROVECTUS PHARMACEUTICALS INC, 7327 OAK RIDGE HWY, SUITE B, KNOXVILLE,
TN, 37931, 865-769-4011 - 25,002,920 ($55,756,512.00) Equity,
(File 333-147783 - Dec. 3) (BR. 01B)
S-3ASR HOLOGIC INC, 35 CROSBY DRIVE, BEDFORD, MA, 01730, 7819997300 -
0 ($0.00) Equity, (File 333-147784 - Dec. 3) (BR. 10B)
S-3ASR TRANSOCEAN INC, 4 GREENWAY PLAZA, HOUSTON, TX, 77046, 7132327500 -
0 ($0.00) Other, (File 333-147785 - Dec. 3) (BR. 04A)
SB-2 EDGEWATER FOODS INTERNATIONAL, INC., 5552 WEST ISLAND HWY, NONE,
QUALICUM BEACH, A1, V9K2C8, 2507579811 -
4,262,856 ($4,305,484.56) Other, (File 333-147786 - Dec. 3) (BR. 09B)
S-8 DESWELL INDUSTRIES INC, UNIT 516-517 HONG LEONG INDUSTRIAL,
COMPLEX #4 WANG KWONG RD, KOWLOON BAY KOWLOON, K3, 2127320030 -
0 ($2,504,000.00) Equity, (File 333-147790 - Dec. 3) (BR. 06A)
S-3ASR SunOpta Inc., 2838 BOVAIRD DRIVE WEST, BRAMPTON, A6, L7A 0H2,
(905) 455-1990 - 5,080,532 ($67,342,451.66) Equity, (File 333-147791 -
Dec. 3) (BR. 05C)
S-3 CYTOMEDIX INC, 416 HUNGERFORD DRIVE, SUITE 330, ROCKVILLE, MD, 20850,
3012512815 - 0 ($59,792,414.00) Equity, (File 333-147793 - Dec. 3)
(BR. 10A)
F-1 Gushan Environmental Energy LTD, NO. 37 GOLDEN POND ROAD,
GOLDEN MOUNTAIN INDUSTRIAL DISTRICT, FUZHOU, FUJIAN PROVINCE, F4,
00000, 86 591 8385 9133 - 0 ($250,000,000.00) ADRs/ADSs,
(File 333-147794 - Dec. 3) (BR. )
S-8 HUDSON HOLDING CORP, 111 TOWN SQUARE PLACE,, SUITE 1500A, JERSEY CITY,
NJ, 07310, 201-216-0100 - 12,000,000 ($4,492,017.02) Other,
(File 333-147795 - Dec. 3) (BR. 08B)
S-3ASR Vulcan Materials CO, 1200 URBAN CENTER DRIVE, BIRMINGHAM, AL, 35242,
(205) 298-3000 - 0 ($0.00) Other, (File 333-147796 - Dec. 3) (BR. 04A)
F-1 Teekay Tankers Ltd., C/O TEEKAY CORPORATION, BAYSIDE HOUSE,
WEST BAY ST. & BLAKE P.O. BOX AP-59212, NASSAU, C5, 000000000,
(242) 502-8820 - 11,500,000 ($224,250,000.00) Equity,
(File 333-147798 - Dec. 3) (BR. )
S-8 POLARIS INDUSTRIES INC/MN, 2100 HIGHWAY 55, MEDINA, MN, 55340,
(763) 542-0500 - 1,750,000 ($78,391,250.00) Equity, (File 333-147799 -
Dec. 3) (BR. 05C)
S-1 EPIX Pharmaceuticals, Inc., 4 MAGUIRE ROAD, LEXINGTON, MA, 02421,
6172506000 - 0 ($15,788,859.00) Equity, (File 333-147800 - Dec. 3)
(BR. 01A)
S-8 OLD REPUBLIC INTERNATIONAL CORP, 307 N MICHIGAN AVE, CHICAGO, IL,
60601, 3123468100 - 15,000,000 ($217,800,000.00) Equity,
(File 333-147801 - Dec. 3) (BR. 01B)
S-3 ADVANCED PHOTONIX INC, 2925 BOARDWALK, ANN ARBOR, MI, 48104,
7348645647 - 3,706,664 ($6,531,142.00) Equity, (File 333-147802 -
Dec. 3) (BR. 10A)
S-3 Globalstar, Inc., 461 SOUTH MILPITAS BLVD., MILPITAS, CA, 95035,
408-933-4000 - 0 ($1,489,138.00) Equity, (File 333-147803 - Dec. 3)
(BR. 11B)
S-8 PINNACLE FINANCIAL PARTNERS INC, 6157443742 - 0 ($9,539,855.00) Equity,
(File 333-147804 - Dec. 3) (BR. 07A)
S-8 Rosetta Genomics Ltd., 10 PLAUT STREET, SCIENCE PARK, POB 4059,
REHOVOT, L3, 76706, 972-8-9484755 - 500,000 ($2,817,500.00) Equity,
(File 333-147805 - Dec. 3) (BR. 01C)
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
--------------------------------------------------------------------------------------------------------
1ST SOURCE CORP IN 1.01,8.01 11/27/07
ABINGTON BANCORP, INC./PA PA 5.02,9.01 11/28/07
AbitibiBowater Inc. DE 1.01,9.01 11/27/07
ACTIVISION INC /NY DE 8.01,9.01 12/01/07
ADDVANTAGE TECHNOLOGIES GROUP INC OK 4.02 11/20/07
AFFILIATED MANAGERS GROUP INC DE 1.01,2.03,8.01,9.01 11/27/07
Affinity Media International Corp., DE 8.01,9.01 11/30/07
Aftersoft Group DE 5.02,9.01 11/30/07
AIR INDUSTRIES GROUP, INC. DE 4.01 12/03/07
ALION SCIENCE & TECHNOLOGY CORP DE 2.02,7.01 11/27/07
ALLIED WORLD ASSURANCE CO HOLDINGS LT 1.01,1.02,2.03,9.01 11/27/07
ALLTEL CORP DE 9.01 12/03/07
ALLTEL CORP DE 1.01 11/16/07 AMEND
AMB FINANCIAL CORP DE 5.02,9.01 12/03/07
AMERICAN SAFETY INSURANCE HOLDINGS LT 8.01,9.01 12/03/07
AMERIGROUP CORP 1.01 11/30/07
ANSOFT CORP PA 5.02 11/30/07
Approach Resources Inc DE 1.01,2.01,3.02,9.01 11/07/07 AMEND
ARCH CAPITAL GROUP LTD. 5.02,9.01 12/03/07
ARCHSTONE SMITH OPERATING TRUST 1.01,2.03,9.01 11/27/07
ARGAN INC DE 8.01,9.01 12/03/07
ATHEROGENICS INC GA 8.01,9.01 12/03/07
ATHEROGENICS INC GA 3.01,9.01 12/03/07
ATLAS MINING CO ID 5.02 11/30/07
ATLAS MINING CO ID 5.02 11/30/07
AURIGA LABORATORIES, INC. DE 1.01,8.01,9.01 11/28/07
AVIATION UPGRADE TECHNOLOGIES INC 1.01,3.02,9.01 11/27/07
AVISTA CORP WA 7.01 12/03/07
Aviza Technology, Inc. DE 5.02 11/27/07
B&D Food Corp. DE 3.02 12/02/07
BALLANTYNE OF OMAHA INC DE 5.02 11/27/07
BCSB BANKCORP INC 5.02,9.01 11/29/07
Behringer Harvard Opportunity REIT I, MD 2.01,2.03,9.01 11/28/07
BELK INC 2.02,9.01 11/29/07
BELLAVISTA CAPITAL INC MD 1.01,5.02 11/30/07
Benjamin Franklin Bancorp, Inc. MA 8.01,9.01 11/29/07
BJ SERVICES CO DE 5.02 11/30/07
BLACK HILLS CORP /SD/ SD 8.01,9.01 11/30/07
BLAST ENERGY SERVICES, INC. CA 1.01,9.01 11/27/07
BLUE DOLPHIN ENERGY CO DE 8.01,9.01 12/03/07
BLUEGREEN CORP MA 7.01,9.01 12/03/07
BORLAND SOFTWARE CORP DE 9.01 04/19/06 AMEND
BOWATER INC DE 1.01,9.01 11/27/07
BRADY CORP WI 2.02,7.01,9.01 12/03/07
BRADY CORP WI 5.02,9.01 12/03/07
BROWN SHOE CO INC NY 7.01,9.01 12/03/07
BRUKER BIOSCIENCES CORP DE 1.01,3.02,7.01,9.01 12/02/07
BUCKEYE PARTNERS L P DE 8.01,9.01 11/28/07
BWAY CORP DE 2.02 11/30/07
CADENCE PHARMACEUTICALS INC 1.01,2.03,3.02,9.01 11/29/07
CALIFORNIA WATER SERVICE GROUP DE 5.03,9.01 11/28/07
CAMDEN NATIONAL CORP ME 5.02,9.01 12/03/07
CAPITAL BANK CORP NC 5.02,9.01 11/29/07
CAPSTEAD MORTGAGE CORP MD 8.01,9.01 11/29/07
CARLATERAL, INC. NV 4.01,9.01 11/27/07
CELL THERAPEUTICS INC WA 1.01,3.03,5.03,7.01,9.01 11/29/07
CENTER BANCORP INC NJ 5.02 11/30/07
CENTER BANCORP INC NJ 5.02 11/30/07 AMEND
CH ENERGY GROUP INC NY 8.01,9.01 12/03/07
CHARLES RIVER LABORATORIES INTERNATIO 5.02 12/03/07
CHDT CORP FL 1.01,2.01 12/01/07
CHEESECAKE FACTORY INC DE 8.01,9.01 11/29/07
Cheniere Energy Partners, L.P. DE 7.01,9.01 12/01/07
China Direct, Inc DE 8.01 12/03/07
China TransInfo Technology Corp. NV 5.02,9.01 12/03/07
Citi Trends Inc 5.02,9.01 11/28/07
CLARION TECHNOLOGIES INC/DE/ DE 5.02 11/30/07
CLOROX CO /DE/ DE 2.01,9.01 11/30/07
CMGI INC DE 2.02,9.01 12/03/07
CMS ENERGY CORP MI 1.01 11/29/07
CMS ENERGY CORP MI 5.02 11/29/07
COAST FINANCIAL HOLDINGS INC 2.01,3.01,3.03,5.01,5.02,9.01 11/30/07
COHESANT TECHNOLOGIES INC DE 8.01,9.01 12/03/07
Coleman Cable, Inc. DE 8.01,9.01 11/30/07
COMBINATORX, INC DE 5.02,9.01 12/03/07
COMPUTER SOFTWARE INNOVATIONS INC 5.02,9.01 11/30/07
CONAGRA FOODS INC /DE/ DE 5.03,9.01 12/03/07
CONCORD VENTURES, INC. CO 3.02 12/03/07
CORUS BANKSHARES INC MN 5.02,9.01 11/27/07
COST PLUS INC/CA/ CA 2.02,9.01 12/03/07
COVER ALL TECHNOLOGIES INC DE 8.01,9.01 12/03/07
CRAY INC WA 5.02 12/01/07
CSS INDUSTRIES INC DE 7.01,9.01 12/03/07
CYBER DEFENSE SYSTEMS INC FL 8.01,9.01 12/03/07
CYTOKINETICS INC 8.01,9.01 12/03/07
D&E COMMUNICATIONS INC PA 8.01 12/03/07
DAWSON GEOPHYSICAL CO TX 5.02,9.01 11/27/07
DEERE & CO DE 7.01 12/03/07
Discover Financial Services DE 2.02,2.06,8.01,9.01 11/29/07
DNB FINANCIAL CORP /PA/ PA 1.01 12/03/07
Dolan Media CO DE 1.01,2.03,9.01 11/30/07
Dresser-Rand Group Inc. DE 7.01,9.01 12/02/07
DYADIC INTERNATIONAL INC DE 3.01,8.01,9.01 11/27/07
EASTERN VIRGINIA BANKSHARES INC VA 1.01,9.01 12/03/07
ELECTRO SCIENTIFIC INDUSTRIES INC OR 5.02,9.01 11/27/07
ELOYALTY CORP DE 5.02,9.01 12/03/07
ELOYALTY CORP DE 5.02,9.01 12/03/07 AMEND
EMERGING MEDIA HOLDINGS INC NV 7.01 11/30/07
EnerSys DE 1.01,9.01 11/28/07
EPOCH HOLDING CORP DE 5.02,5.03,8.01,9.01 11/28/07
Esmark INC DE 1.01,2.01,5.02,5.03,9.01 11/27/07
ETERNAL TECHNOLOGIES GROUP INC DE 8.01 11/15/07
FEDERAL AGRICULTURAL MORTGAGE CORP 7.01,9.01 12/03/07
Federal Home Loan Bank of Atlanta X1 5.02 11/29/07
Federal Home Loan Bank of Pittsburgh PA 5.02,7.01,9.01 11/28/07
Federal Home Loan Bank of San Francis X1 7.01 12/03/07
FEDERAL TRUST CORP FL 8.01,9.01 11/30/07
First Advantage Bancorp TN 1.01,8.01,9.01 11/29/07
FIRST AMERICAN CORP CA 8.01,9.01 12/03/07
FIRST FINANCIAL SERVICE CORP KY 7.01,9.01 11/30/07
Flagship Global Health, Inc. DE 5.02 11/21/07 AMEND
FLOORING ZONE INC 5.01,5.02,9.01 11/29/07
FMC TECHNOLOGIES INC DE 7.01,9.01 11/28/07
FNBH BANCORP INC MI 5.02 12/03/07
FORD MOTOR CO DE 8.01,9.01 12/03/07
FORD MOTOR CREDIT CO LLC DE 8.01,9.01 12/03/07
FORWARD INDUSTRIES INC NY 2.02,9.01 11/29/07
GALAXY NUTRITIONAL FOODS INC DE 5.03,9.01 11/28/07
GateHouse Media, Inc. DE 2.01,9.01 11/30/07
GENESIS MICROCHIP INC /DE DE 5.02 11/30/07
Geneva Resources, Inc. NV 7.01,9.01 11/29/07
GENWORTH FINANCIAL INC DE 5.02,8.01 11/30/07
GLADSTONE CAPITAL CORP MD 2.02,9.01 12/03/07
GLATFELTER P H CO PA 2.01,9.01 11/30/07
GLOBAL CASINOS INC UT 1.01,9.01 11/30/07
GLOBAL PARTNERS LP 1.01,2.03,9.01 11/29/07
GLOBALNET CORP NV 1.01,2.01,9.01 11/21/07
GLOBALSANTAFE CORP 2.01,3.01,5.01 11/27/07
GLU MOBILE INC 1.01,9.01 11/28/07
GOLDEN TELECOM INC DE 8.01,9.01 12/03/07
GOODRICH PETROLEUM CORP DE 1.01,8.01,9.01 11/30/07
GRAMERCY CAPITAL CORP MD 2.02,7.01,8.01,9.01 12/03/07
GREENFIELD ONLINE INC DE 8.01 11/30/07 AMEND
GreenHunter Energy, Inc. DE 1.01,9.01 11/28/07
GTSI CORP DE 1.01,5.02,5.03,9.01 12/01/07
GUARANTY FEDERAL BANCSHARES INC DE 5.03,9.01 11/29/07
Guidance Software, Inc. DE 5.02,9.01 12/03/07
Hanesbrands Inc. MD 1.01,2.03 11/27/07
HANMI FINANCIAL CORP DE 5.02,9.01 12/03/07
HANOVER CAPITAL MORTGAGE HOLDINGS INC MD 1.01,9.01 11/27/07
HEALTH BENEFITS DIRECT CORP DE 5.02,5.03,9.01 11/27/07
HERBST GAMING INC NV 7.01 11/30/07
HOLOGIC INC DE 8.01,9.01 12/03/07
HOUSERAISING, INC. NC 1.01 11/30/07
HUIHENG MEDICAL, INC. NV 8.01,9.01 11/30/07
HUNTINGTON BANCSHARES INC/MD MD 5.02 12/03/07
IC ISAACS & CO INC DE 5.02 11/30/07
ICO INC TX 5.03,9.01 11/27/07
IMPERIALI INC FL 1.01,8.01 11/19/07
INGLES MARKETS INC NC 2.02,9.01 12/03/07
INNOVA PURE WATER INC /FL/ FL 1.01,5.02,9.01 11/30/07
INNOVATIVE SOLUTIONS & SUPPORT INC PA 5.02 11/30/07
INSITUFORM TECHNOLOGIES INC DE 7.01,9.01 12/03/07
INTEGRATED SILICON SOLUTION INC DE 1.01,5.02,9.01 11/28/07
INTERACTIVE GAMES INC. NV 1.01,5.02,9.01 11/27/07
InterDigital, Inc. PA 7.01,9.01 12/03/07
INTERNATIONAL BUSINESS MACHINES CORP NY 8.01 12/03/07
INTERNATIONAL PAPER CO /NEW/ NY 5.02 11/30/07
INTERPUBLIC GROUP OF COMPANIES, INC. DE 7.01,9.01 12/03/07
Intrepid Global Imaging 3D, INC. DE 5.02,8.01 11/30/07
IVAX DIAGNOSTICS INC DE 5.03,9.01 11/30/07
IXI Mobile, Inc. DE 1.01,5.02,9.01 12/02/07
J P MORGAN CHASE & CO DE 9.01 11/30/07
JACOBS FINANCIAL GROUP, INC. DE 3.02 11/20/07
JAKKS PACIFIC INC DE 8.01,9.01 12/02/07
James River Coal CO VA 1.01,9.01 11/27/07
K-FED BANCORP 5.03,9.01 11/28/07
KAYDON CORP DE 5.02,9.01 11/29/07
KELLOGG CO DE 1.01,1.02,2.03,9.01 11/28/07
KROGER CO OH 5.02,9.01 12/01/07
LABARGE INC DE 7.01,9.01 12/03/07
LEHMAN BROTHERS HOLDINGS INC DE 9.01 11/28/07
LENNAR CORP /NEW/ DE 1.01,9.01 11/30/07
Lev Pharmaceuticals Inc DE 3.02,5.02,5.03,9.01 11/27/07
LEXINGTON ENERGYSERVICES INC. NV 5.02 11/28/07
LHC Group, Inc 8.01,9.01 12/03/07
Location Based Technologies, Inc. NV 7.01,9.01 11/30/07
Location Based Technologies, Inc. NV 7.01,9.01 12/03/07
LYONDELL CHEMICAL CO DE 8.01,9.01 12/03/07
MARSH & MCLENNAN COMPANIES, INC. DE 8.01,9.01 12/03/07
MAVERICK OIL & GAS, INC. 8.01 11/26/07
MEDCO HEALTH SOLUTIONS INC DE 1.01,2.03,9.01 11/30/07
MEDIS TECHNOLOGIES LTD DE 8.01,9.01 12/03/07
MEGOLA INC 1.01,8.01,9.01 11/21/07
META FINANCIAL GROUP INC DE 1.01,9.01 11/27/07
METLIFE INC DE 2.02,7.01,9.01 12/03/07
METROCORP BANCSHARES INC 5.02,9.01 11/30/07
MICROFIELD GROUP INC OR 1.01,9.01 12/03/07
MILLENNIUM CHEMICALS INC DE 8.01,9.01 12/03/07
MITCHAM INDUSTRIES INC TX 2.02,9.01 12/03/07
ML-CFC Commercial Mortgage Trust 2007 DE 6.02 11/29/07
Monarch Financial Holdings, Inc. VA 5.03,9.01 12/03/07
MONMOUTH REAL ESTATE INVESTMENT CORP MD 7.01,9.01 11/30/07
Morgan Stanley Mortgage Loan Trust 20 DE 8.01 11/27/07
MORLEX INC /CO CO 2.03,9.01 11/27/07
MOSAIC CO 7.01,9.01 12/03/07
MSC SOFTWARE CORP DE 5.02,5.03,9.01 11/28/07
MURPHY OIL CORP /DE DE 2.01,9.01 12/03/07
NATIONAL COAL CORP FL 5.02,9.01 12/01/07
NATURADE INC DE 4.01,9.01 10/25/07 AMEND
NATUS MEDICAL INC DE 2.01,2.03,9.01 11/28/07
NAVTEQ CORP DE 1.01,2.03,9.01 11/30/07
NEPHROS INC DE 5.03,9.01 11/30/07
NETEZZA CORP 5.02 11/27/07
NEW MEDIUM ENTERPRISES INC NV 2.03 11/29/07
NEW YORK MORTGAGE TRUST INC MD 7.01,9.01 12/03/07
NEW YORK MORTGAGE TRUST INC MD 1.01,5.02 11/30/07
NEWFIELD EXPLORATION CO /DE/ DE 8.01,9.01 12/03/07
NewPage Holding CORP DE 7.01,9.01 12/03/07
NEXTGEN BIOSCIENCE INC. NV 2.01,3.02,5.02,9.01 11/27/07
nFinanSe Inc. NV 5.02 11/28/07
NII HOLDINGS INC DE 8.01,9.01 12/03/06
NOBLE INTERNATIONAL, LTD. DE 7.01,9.01 12/03/07
NORDSTROM INC WA 1.01,8.01,9.01 11/28/07
NORTH VALLEY BANCORP CA 1.02,9.01 12/01/07
NORTH VALLEY BANCORP CA 8.01,9.01 12/03/07
NORTHFIELD LABORATORIES INC /DE/ DE 5.03,9.01 11/30/07
OCCAM NETWORKS INC/DE DE 5.02,5.03 11/29/07
OCEANEERING INTERNATIONAL INC DE 5.02,5.03,9.01 11/30/07
OFFICEMAX INC DE 2.02 12/03/07
OLIN CORP VA 7.01,9.01 12/03/07
OSCIENT PHARMACEUTICALS CORP MA 8.01,9.01 12/03/07
OSI SYSTEMS INC CA 3.02 11/30/07
PACIFICHEALTH LABORATORIES INC DE 5.02,9.01 11/28/07
PANERA BREAD CO DE 1.01,2.03,8.01,9.01 11/27/07
PARALLEL PETROLEUM CORP DE 8.01,9.01 12/03/07
PARAMETRIC TECHNOLOGY CORP MA 2.01,9.01 11/30/07
PARKERVISION INC FL 8.01,9.01 12/03/07
PARKWAY PROPERTIES INC MD 5.02,7.01,9.01 12/03/07
PATTERSON COMPANIES, INC. MN 1.01,9.01 11/28/07
PEPSICO INC NC 8.01,9.01 11/29/07
PERFORMANCE FOOD GROUP CO TN 5.03,9.01 11/28/07
PHARMACOPEIA INC DE 7.01,8.01,9.01 12/03/07
PHILLIPS VAN HEUSEN CORP /DE/ DE 2.02,9.01 12/03/07
PINNACLE BANCSHARES INC AL 8.01,9.01 12/03/07
POSSIS MEDICAL INC MN 2.02,9.01 11/30/07
PREMIER EXHIBITIONS, INC. 8.01 12/03/07
Prospect Acquisition Corp DE 8.01 11/30/07
Protalix BioTherapeutics, Inc. FL 8.01,9.01 12/03/07
PROTEIN POLYMER TECHNOLOGIES INC DE 5.02 10/29/07
PSB HOLDINGS INC /WI/ WI 5.02,9.01 11/27/07
QUESTCOR PHARMACEUTICALS INC CA 7.01 12/03/07
REDENVELOPE INC DE 5.02 11/27/07
RES CARE INC /KY/ KY 1.01,2.03,9.01 11/29/07
RICKS CABARET INTERNATIONAL INC TX 2.01,2.03,9.01 11/30/07
Ridgewood Energy P Fund LLC 2.06 11/27/07
RIDGEWOOD ENERGY T FUND LLC 2.06 11/27/07
Riverbed Technology, Inc. DE 5.03,9.01 11/27/07
ROCKWELL AUTOMATION INC DE 1.01,2.03,8.01,9.01 11/28/07
ROME BANCORP INC DE 1.01,9.01 11/28/07
ROWAN COMPANIES INC DE 5.03,9.01 11/29/07
RSC Holdings Inc. DE 5.02,9.01 11/27/07
RUBIOS RESTAURANTS INC DE 7.01,9.01 12/03/07
SANDRIDGE ENERGY INC DE 2.02,9.01 12/03/07
SANGAMO BIOSCIENCES INC DE 5.02,9.01 12/03/07
SANTARUS INC DE 1.01,9.01 11/30/07
SAUL CENTERS INC MD 5.03,9.01 11/29/07
SBA COMMUNICATIONS CORP FL 7.01,9.01 12/03/07
SCHOOL SPECIALTY INC WI 8.01,9.01 12/03/07
SCI Engineered Materials, Inc. OH 8.01 12/03/07
SELECT COMFORT CORP 7.01,9.01 11/29/07
SEMTECH CORP DE 7.01,9.01 12/03/07
SEQUA CORP /DE/ DE 2.04,3.01,3.03 12/02/07
SEQUIAM CORP CA 1.01,9.01 11/27/07
Shire plc 8.01,9.01 11/29/07
Shire plc 8.01,9.01 12/03/07
SHOE PAVILION INC DE 4.01,9.01 11/28/07
SHUTTERFLY INC 5.02 12/03/07
SIMTEK CORP CO 5.02 11/27/07
SIMTEK CORP CO 5.02 08/16/07 AMEND
SKINS INC. NV 1.01,9.01 11/28/07
SKY PETROLEUM, INC. NV 5.02 11/17/07
SL GREEN REALTY CORP MD 2.02,7.01,8.01,9.01 11/28/07
SMART ONLINE INC 1.02,5.02,9.01 11/27/07
Solar Power, Inc. 8.01,9.01 12/03/07
SOUTHEASTERN BANKING CORP GA 8.01 11/28/07
SOUTHERN MICHIGAN BANCORP INC MI 7.01,9.01 12/01/07
SOUTHERN STAR ENERGY INC. NV 1.01,3.02,5.02,9.01 11/27/07
SPECIALIZED HEALTH PRODUCTS INTERNATI DE 8.01 11/30/07
STAAR SURGICAL CO DE 5.02 11/27/07
STAGE STORES INC NV 8.01,9.01 11/30/07
STEMCELLS INC DE 8.01 11/30/07
STERLING FINANCIAL CORP /WA/ WA 8.01,9.01 12/01/07
STRATUS SERVICES GROUP INC DE 5.02 11/30/07
SULPHCO INC NV 2.03,3.02,9.01 11/28/07
Superior Offshore International Inc. DE 1.01,9.01 11/29/07
SYMANTEC CORP DE 2.03,9.01 11/29/07
SYNTAX-BRILLIAN CORP DE 1.01,9.01 11/27/07
TARGACEPT INC 8.01,9.01 12/03/07
TARRANT APPAREL GROUP CA 5.02,9.01 11/28/07
TECHNOLOGY INVESTMENT CAPITAL CORP MD 5.03,9.01 12/03/07
TENNECO INC DE 8.01,9.01 12/03/07
TERRESTAR CORP DE 7.01,9.01 12/03/07
Thorium Power, Ltd NV 8.01,9.01 11/30/07
TIERONE CORP 7.01,9.01 12/03/07
TIFFANY & CO DE 8.01,9.01 12/03/07
TIMKEN CO OH 8.01 12/03/07
Titan Global Holdings, Inc. UT 9.01 09/17/07 AMEND
Tix CORP DE 1.02,9.01 12/03/07
TORBAY HOLDINGS INC DE 5.03,9.01 11/27/07
TRANS1 INC 5.02,9.01 11/29/07
TRANSOCEAN INC E9 1.01,1.02,2.01,2.03,3.03,5.01, 11/27/07
5.02,8.01,9.01
TRANSOCEAN INC E9 3.02 11/27/07
TRC COMPANIES INC /DE/ DE 1.01,9.01 11/28/07
TRIBUNE CO DE 8.01,9.01 11/30/07
True North Energy CORP 1.01,2.01,3.01,9.01 09/18/07 AMEND
TRUMP ENTERTAINMENT RESORTS, INC. DE 5.02 11/29/07
TXCO Resources Inc DE 1.01,8.01,9.01 11/21/07 AMEND
UAP HOLDING CORP DE 1.01,9.01 12/02/07
UNIONBANCAL CORP DE 8.01,9.01 11/28/07
United Financial Bancorp Inc 8.01,9.01 12/03/07
UNITED HERITAGE CORP UT 1.01,3.02,5.02,9.01 11/26/07
UNITED NATURAL FOODS INC DE 1.01,2.04,8.01,9.01 11/27/07
UNIVERSAL AMERICAN FINANCIAL CORP NY 3.01,5.03,9.01 11/30/07
UNIVERSAL ENERGY CORP. 4.01,9.01 11/05/07
Universal Truckload Services, Inc. MI 5.03,9.01 11/30/07
UOMO Media Inc. NV 9.01 11/28/07
URON INC MN 1.01,3.02,5.02,8.01 11/29/07
USA SUPERIOR ENERGY HOLDINGS, INC. NV 3.02 12/03/07
VERASUN ENERGY CORP 5.02,9.01 11/28/07
VeriFone Holdings, Inc. DE 2.02,4.02,9.01 12/02/07
VICOR CORP DE 5.02,9.01 12/03/07
VIEWSONIC CORP DE 2.05,9.01 11/27/07
VISUAL SCIENCES, INC. CA 5.03,9.01 11/30/07
VITRAN CORP INC 8.01 11/30/07
Volcano CORP DE 5.02 11/27/07
WALT DISNEY CO/ DE 8.01,9.01 11/29/07
WESTLAKE CHEMICAL CORP 5.02,9.01 11/30/07
WHEELING PITTSBURGH CORP /DE/ DE 1.01,2.01,9.01 11/27/07
WILLBROS GROUP INC R1 5.02 11/27/07
Williams Partners L.P. 1.01,3.02,7.01,9.01 11/30/07
WILSHIRE BANCORP INC CA 5.02,9.01 11/29/07
WINDSTREAM CORP DE 8.01,9.01 11/30/07
WOODWARD GOVERNOR CO DE 8.01,9.01 11/16/07
WORLD FUEL SERVICES CORP FL 7.01,9.01 12/03/07
XETHANOL CORP CO 8.01,9.01 11/28/07
XFONE INC NV 7.01,9.01 12/02/07
YRC WORLDWIDE INC DE 8.01 11/27/07
http://www.sec.gov/news/digest/2007/dig120407.htm
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