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SEC NEWS DIGEST
Issue 2007-234 December 6, 2007
COMMISSION ANNOUNCEMENTS
SEC SUSPENDS TRADING IN SECURITIES OF ROANOKE TECHNOLOGY, CORP.
The Commission announced the temporary suspension, pursuant to Section
12(k) of the Securities Exchange Act of 1934 (the Exchange Act), of
trading of the securities of Roanoke Technology, Corp. (Roanoke) of
Rocky Mount, North Carolina commencing at 9:30 a.m. EST on Thursday,
Dec. 6, 2007, and terminating at 11:59 p.m. EST on Wednesday, Dec. 19,
2007.
The Commission temporarily suspended trading in the securities of
Roanoke because Roanoke has failed to file certain periodic reports
with the Commission, resulting in a lack of current and accurate
information concerning the company.
The Commission cautions brokers, dealers, shareholders, and
prospective purchasers that they should carefully consider the
foregoing information along with all other currently available
information and any information subsequently issued by the company.
Brokers and dealers should be alert to the fact that, pursuant to Rule
15c2-11 under the Exchange Act, at the termination of the trading
suspension, no quotation may be entered unless and until they have
strictly complied with all of the provisions of the rule. If any
broker or dealer has any questions as to whether or not he has
complied with the rule, he should not enter any quotation but
immediately contact the staff in the Division of Market Regulation,
Office of Interpretation and Guidance, at (202) 551-5760. If any
broker or dealer is uncertain as to what is required by Rule 15c2-11,
he should refrain from entering quotations relating to Roanoke's
securities until such time as he has familiarized himself with the
rule and is certain that all of its provisions have been met. If any
broker or dealer enters any quotation which is in violation of the
rule, the Commission will consider the need for prompt enforcement
action.
If any broker, dealer or other person has any information which may
relate to this matter, they should contact Glenn S. Gordon, Associate
Regional Director, Division of Enforcement, Miami Regional Office, at
(305) 982-6360. (Rel. 34-56913)
ENFORCEMENT PROCEEDINGS
IN THE MATTER OF PARK FINANCIAL GROUP, INC. AND GORDON C. CANTLEY
On December 5, the Commission issued, by consent, an Order
Making Findings and Imposing a Cease-and-Desist Order and Remedial
Sanctions Pursuant to Sections 15(b) and 21C of the Securities
Exchange Act of 1934 (Order) against Winter Park, Florida-based
broker-dealer Park Financial Group, Inc. (Park) and its principal,
Gordon C. Cantley.
The Order finds that from February 2002 to July 2003, Park and
Cantley aided and abetted and caused a fraudulent pump-and-dump
scheme involving the securities of Spear & Jackson, Inc. and failed
to file Suspicious Activity Reports (SARs) reporting suspicious
transactions that were part of the pump-and-dump. Park and Cantley
neither admitted nor denied the findings in the Order, which
marks the successful resolution of the Commission's first case
charging a broker-dealer with failing to fulfill its responsibility to
file SARS under the Bank Secrecy Act.
The Order finds that during the relevant time period,Park and
Cantley executed numerous trades in Spear & Jackson stock forthree
companies located in the British Virgin Islands (BVI Companies), which
then-Spear & Jackson CEO Dennis Crowley secretly controlled. The order
finds Cantley and Park executed these trades despite obvious red flags
that they were suspicious.
Specifically, the Order finds Cantley and Park executed trades in
the BVI Companies' accounts on oral instructions from Crowley,
even though: they knew he was Spear & Jackson's CEO; he was not
listed as an authorized signatory on any of the BVI Companies'
account documents; executing the trades on Crowley's
instructions violated both Park's written operating procedures
and the instructions of the BVI Companies requiring written approval
of at least two authorized signatories for any transaction; and the
BVI Companies' accounts traded exclusively in Spear & Jackson stock.
Moreover, at the same time, the BVI Companies were transferring large
amounts of Spear & Jackson stock to a stock promoter actively
touting Spear & Jackson, and Spear & Jackson's stock price was sharply
increasing.
The Order also finds Park, aided and abetted by Cantley,failed to
report suspicious transactions in Spear & Jackson stock by filing
SARs with the Financial Crimes Enforcement Network as required by
regulations implementing the Bank Secrecy Act, as amended by the USA
Patriot Act, which became effective December 31, 2002.
The Order directs Cantley to cease-and-desist from aiding and
abetting and causing violations and future violations of Sections
10(b) and 17(a) of the Securities Exchange Act of 1934 (Exchange Act)
and Rules 10b-5 and 17a-8 thereunder. The Order bars Cantley from
associating with any broker or dealer with the right to reapply for
association after two years. Cantley must pay $8,429.71 in
disgorgement and prejudgment interest, and a $25,000 civil penalty.
As to Park, the Order censures the firm, directs it to cease and
desist from aiding and abetting and causing violations and future
violations of Section 10(b) of the Exchange Act and Rule 10b-5
thereunder, and from committing or causing violations and future
violations of Section 17(a) of the Exchange Act and Rule 17a-8
thereunder. It also orders Park to pay $30,373.39 in disgorgement and
prejudgment interest, and a $50,000 civil penalty.
The Commission previously obtained significant relief against Crowley
in a civil injunctive action for violations of the antifraud,
registration and reporting provisions of the federal securities laws.
Pursuant to a settlement, the United States District Court for the
Southern District of Florida ordered Crowley to pay disgorgement and
civil penalties in excess of $6 million and imposed an officer-and-
director bar, a penny stock bar and a Form S-8 stock bar prohibiting
Crowley from owning or receiving S-8 issued securities. Crowley did
not admit or deny the Commission's allegations against him. (Rel. 34-
56902; File No. 3-12614)
IN THE MATTER OF MARK MICHEL
On December 6,the Commission issued an Order Instituting Public
Administrative Proceedings Pursuant to Section 15(b) of the
Securities Exchange Act of 1934 (Order) against Mark Michel, a
registered representative employed at Wachovia Securities in
DeKalb, Illinois. The Order is based on the entry of a permanent
injunction against Michel's future violations of Section 10(b) of
the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5
stemming from findings by a United States District Judge that he
engaged in insider trading.
The Division of Enforcement alleges in the Order that Michel bought
$1.4 million of stock for himself, his relatives, and his
customers in Blue Rhino Corp., a North Carolina propane gas
distributor, between Jan. 30, 2004, and Feb. 6, 2004, while knowing
that Blue Rhino was engaged in merger negotiations. The merger was
publicly announced on Feb. 9, 2004.
The Division also alleges that following a five-day bench trial in
October 2007, the judge found the Commission had proved the
allegations of its complaint and that Michel's actions violated
Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. The Court
entered a permanent injunction against Michel and ordered him to pay
disgorgement of $277,881 and pre-judgment interest of $68,307.
A hearing will be scheduled before an administrative law judge
to determine whether the allegations contained in the Order are true,
to provide the Respondent an opportunity to dispute these
allegations, and to determine what, if any, remedial sanctions are
appropriate and in the public interest. The Order requires the
Administrative Law Judge to issue an initial decision no later
than 210 days from the date of service of the Order. (Rel. 34-
56915; File No. 3-12900)
JUDGMENTS OF PERMANENT INJUNCTION AND OTHER RELIEF ENTERED AGAINST
DEFENDANTS FRANCES M. LABARRE AND JOSEPH YURKIN
The Commission announced that on Nov. 19, 2007, the U.S. District
Court for the Southern District of Florida entered Judgments of
Permanent Injunction and Other Relief against Defendants Frances M.
LaBarre and Joseph Yurkin. The Judgments, entered with the consents of
LaBarre and Yurkin, without admitting or denying the Complaint's
allegations, enjoin them from violations of Sections 5(a), 5(c) and
17(a) of the Securities Act of 1933 and Section 10(b) and Rule 10b-5
of the Securities Exchange Act of 1934. The Judgments permanently bar
LaBarre and Yurkin from participating in a penny stock offering.
Additionally, the Judgments provide for disgorgement and the
imposition of civil penalties in amounts to be determined by the Court
upon the Commission's motion.
The Commission commenced this action by filing its complaint on Sept.
5, 2007, against LaBarre and Yurkin, among others, alleging the
defendants violated the registration and antifraud provisions of the
federal securities laws. [SEC v. Homeland Communications Corporation,
et al., Case No. 07-80802-CIV-MARRA/JOHNSON (S.D. Fla.)] (LR-20384)
JURY FINDS ATTORNEY AND HIS FATHER LIABLE FOR COMMITTING INSIDER
TRADING
On December 3, a jury in Manhattan federal court returned a verdict in
favor of the Commission finding a Long Island attorney and his father
liable for insider trading in the stock of NBTY, Inc. In the action
SEC v. Mitchell Drucker et al, 06 Civ. 1644 (SDNY) (CM), the
defendants are Mitchell S. Drucker, the former associate general
counsel of NBTY, a nutritional supplements manufacturer and retailer,
and his father, Ronald Drucker, a former New York City police
detective. The Commission had charged that, while Mitchell Drucker was
a lawyer at NBTY, and had learned that NBTY was about to announce
lower than expected quarterly earnings, he and his father sold their
holdings of NBTY stock just before the negative announcement.
Collectively, the defendants avoided $197,243 in losses by selling in
advance of the announcement.
U.S. District Judge Colleen McMahon, who presided over the trial, will
determine the sanctions to be imposed against the defendants. The
Commission is seeking a judgment requiring the defendants to pay
disgorgement equal to their avoided losses plus penalties up to three
times the amount of disgorgement, injunctions and, against Mitchell
Drucker, an officer and director bar.
Mitchell Drucker, age 38, is a resident of Saint James, New York.
Ronald Drucker, age 63 is a resident of Mount Sinai, New York.
The Commission charged that on Oct. 18, 2001, Mitchell Drucker
directed the sale of his entire holdings of NBTY stock, consisting of
25,700 shares, after learning material, non-public information that
NBTY's fourth quarter earnings per share (EPS) would be about 50
percent lower than analysts' expectations. The day after Mitchell
Drucker's sales, NBTY publicly announced, through a press release,
that its fourth quarter EPS would be significantly lower than
analysts' expectations. After NBTY's earnings news became public, the
price of NBTY shares fell by 41%.
The Commission also charged that just after Mitchell Drucker began
selling his stock, on Oct. 18, 2001, he engaged in a series of
telephone calls with Ronald Drucker in which Mitchell Drucker conveyed
the material non-public information regarding NBTY's fourth quarter
EPS results. As a result of this tip, Ronald Drucker also sold his
entire holdings of NBTY stock, consisting of 10,000 shares, on Oct.
18, 2001. Furthermore, while Mitchell Drucker was placing his own
trades on Oct. 18, 2001, he also directed the sale of the entire NBTY
holdings of his friend, relief defendant William Minerva, which
consisted of 1,575 shares.
By trading in advance of the public release of NBTY's fourth quarter
EPS, Mitchell Drucker, Ronald Drucker, and Minerva avoided losses of
$138,174, $51,116, and $7,953, respectively.
The jury found that defendants Mitchell Drucker and Ronald Drucker
each violated Section 17(a) of the Securities Act of 1933 and Section
10(b) of the Securities Exchange Act of 1934 and Rule 10b-5
thereunder. Judge McMahon will make the determination as to the relief
that should be imposed against the defendants and relief defendant.
The Commission seeks an order permanently enjoining the defendants
from violations of the above provisions of the federal securities
laws, requiring disgorgement of losses avoided, plus prejudgment
interest thereon, and imposing civil penalties pursuant to Section 21A
of the Exchange Act. The Commission also seeks an order barring
Mitchell Drucker from acting as an officer or director of a public
company. In addition, the Commission seeks disgorgement plus
prejudgment interest from Minerva, as a relief defendant, for the
losses Minerva avoided when Mitchell Drucker sold Minerva's NBTY
shares. [SEC v. MITCHELL DRUCKER AND RONALD DRUCKER, DEFENDANTS, AND
WILLIAM MINERVA, RELIEF DEFENDANT 06 Civ. 1644 (SDNY) (CM)] (LR-20385)
SEC v. SIDNEY MONDSCHEIN AND UNCI, INC.
In a complaint filed today in the U.S. District Court for the Northern
District of California, the SEC alleged that from December 2002
through August 2005, former Castro Valley, Calif., stockbroker Sidney
Mondschein reaped illegal profits by secretly selling the names and
other confidential personal information of over 500 of his customers
to six different insurance agents. According to the complaint,
Mondschein sold this information as sales "leads" solely to enable
insurance agents to solicit these customers, many of whom had already
purchased fixed or equity-indexed annuity products, to buy additional
annuity products.
The complaint alleges that Mondschein never disclosed to any of these
customers that he intended to sell, and did sell, their confidential
personal information to insurance agents, and further alleges that he
affirmatively misled his clients as to the nature of his compensation
arrangements and relationships with the various insurance agents.
According to the complaint, virtually all of Mondschein's customers
were senior citizens.
The Commission's complaint alleges that Mondschein committed
securities fraud in violation of Section 10(b) of the Securities and
Exchange Act of 1934 and Exchange Act Rule 10b-5. The complaint also
alleges that Mondschein aided and abetted his broker-dealer firm's
violations of certain of the customer privacy provisions of the
federal securities laws, namely Rules 4(a), 5(a), and 10(a)(1) of
Regulation S-P. The Commission's complaint seeks a judgment
permanently enjoining Mondschein from violating these provisions of
the securities laws, and ordering Mondschein to pay civil penalties
and provide an accounting of, and disgorge, his ill-gotten gains with
prejudgment interest. The Commission also seeks a judgment that Relief
Defendant UNCI is in possession of illegally obtained funds to which
it has no legitimate claim. [SEC v. Sidney Mondschein and UNCI, Inc.,
Civil Action No. C-07-6178 SI, (N.D. Cal.] (LR-20386)
SELF-REGULATORY ORGANIZATIONS
ACCELERATED APPROVAL OF PROPOSED RULE CHANGES
The NASDQ Stock Market filed Amendment No. 2 to a proposed rule change
(SR-NASDAQ-2007-068) to amend the Limited Liability Agreement of The
NASDAQ Stock Market LLC, and the Commission granted accelerated
approval of the proposed rule change, as modified by Amendment Nos. 1
and 2. Publication is expected in the Federal Register during the week
of December 10. (Rel. 34-56876)
The Commission granted accelerated approval to proposed rule
changes submitted by the American Stock Exchange (SR-Amex-2007-124),
the Boston Stock Exchange.(SR-BSE-2007-50), the Chicago Board
Options Exchange (SR-CBOE-2007-144), the International Securities
Exchange (SR-ISE-2007-108), the NYSE Arca (SR-NYSEArca-2007-116),
and the Philadelphia Stock Exchange (SR-Phlx-2007-88) relating to
Linkage Orders. Publication is expected in the Federal Register during
the week of December 10. (Rel. 34-56898)
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A proposed rule change filed by the NYSE Arca amending the closing
auction time for ETFs (SR-NYSEArca-2007-124) 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. 34-56888)
A proposed rule change filed by National Stock Exchange to amend
the Exchange's market data and liquidity provider rebate programs
for transactions through NSX BLADE (SR-NSX-2007-13) 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 10. (Rel. 34-56890)
A proposed rule change (SR-NYSE-2007-107) filed by the New York Stock
Exchange to the Exchange's NYSE BondsSM System and Trade Execution
Fees 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. 34-56894)
A proposed rule change filed by the New York Stock Exchange relating
to the NYSE Rule 98 Guidelines for Approved Persons Associated with a
Specialist's Member Organization (SR-NYSE-2007-109) 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 10. (Rel. 34-56895)
PROPOSED RULE CHANGE
The NYSE Arca. filed a proposed rule change (SR-NYSEArca-2007-120)
relating to restrictions on acting as market makers and floor broker.
Publication is expected in the Federal Register during the week of
December 10. (Rel. 34-56899)
APPROVAL OF PROPOSED RULE CHANGE
The Commission approved a proposed rule change (SR-CBOE-2007-68), as
modified by Amendment No. 1, filed by the Chicago Board Options
Exchange relating to stock-option orders. Publication is expected in
the Federal Register during the week of December 10. (Rel. 34-56903)
JOINT INDUSTRY PLAN RELEASES
SUMMARY EFFECTIVENESS OF JOINT AMENDMENT NO. 25 ON A TEMPORARY BASIS
The Commission has published notice of summary effectiveness for a
period not to exceed 120 days of a joint amendment to the Plan for the
Purpose of Creating and Operating an Intermarket Options Linkage
submitted under Rule 608 of the Securities Exchange Act of 1934 by the
American Stock Exchange, Boston Stock Exchange, Chicago Board Options
Exchange, International Securities Exchange, NYSE Arca, and
Philadelphia Stock Exchange relating to response time for certain
orders sent through the Linkage. Publication is expected in the
Federal Register during the week of December 10. (Rel. 34-56893)
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-4 GREEN PLAINS RENEWABLE ENERGY, INC., 4124 AIRPORT ROAD, SHENANDOAH, IA,
51601, 712-246-2932 - 450,840 ($4,287,488.40) Equity,
(File 333-147831 - Dec. 5) (BR. 06C)
S-8 HAWK CORP, 200 PUBLIC SQ., STE 1500, CLEVELAND, OH, 44114, 2168613553 -
5,000,000 ($5,000,000.00) Other, (File 333-147832 - Dec. 5) (BR. 05B)
S-4 LAMAR MEDIA CORP/DE, 5551 CORPORATE BLVD, BATON ROUGE, LA, 70808,
5049261000 - 0 ($275,000,000.00) Non-Convertible Debt,
(File 333-147833 - Dec. 5) (BR. 11C)
F-3ASR BRITISH TELECOMMUNICATIONS PLC /ADR, 81 NEWGATE ST, LONDON, X0,
EC1A 7A5, 0114402073565000 - 0 ($0.00) Non-Convertible Debt,
(File 333-147834 - Dec. 5) (BR. 11B)
SB-2 Bright Screens, Inc., 10120 S. EASTERN AVENUE, SUITE 2, HENDERSON, NV,
89052, (702) 767-7001 - 340,000 ($34,000.00) Equity, (File 333-147835 -
Dec. 5) (BR. 11)
S-8 CastlePoint Holdings, Ltd., ATTN: JOEL WEINER,
CLARENDON HOUSE, 2 CHURCH STREET, HAMILTON, D0, HM 11, 4412951422 -
1,000,000 ($11,760,000.00) Equity, (File 333-147836 - Dec. 5) (BR. 01B)
S-8 HAMPTONS LUXURY HOMES INC, PO BOX 871, 367 BUTTER LANE, BRIDGEHAMPTON,
NY, 11932, 631-537-1600 - 1,000,000 ($35,000.00) Equity,
(File 333-147837 - Dec. 5) (BR. 09A)
SB-2 IP TECHNOLOGY SERVICES, INC., 1576 EAST 21ST STREET, BROOKLYN, NY,
11210, 718-253-4455 - 1,201,000 ($120,100.00) Equity,
(File 333-147839 - Dec. 5) (BR. )
SB-2 GLOBAL ENERGY INC, 415 MADISON AVENUE, 15TH FLOOR, NEW YORK, X1, 10017,
646.673.8435 - 6,600,000 ($2,970,000.00) Equity, (File 333-147840 -
Dec. 5) (BR. 06C)
S-3 GERON CORP, 230 CONSTITUTION DRIVE, MENLO PARK, CA, 94025, 6504737700 -
349,138 ($2,318,276.00) Other, (File 333-147841 - Dec. 5) (BR. 01A)
SB-2 GULF WESTERN PETROLEUM CORP, 4801 WOODWAY DRIVE, SUITE 306W, HOUSTON,
TX, 77056, 713 355 7001 - 14,573,718 ($5,683,750.00) Equity,
(File 333-147842 - Dec. 5) (BR. 04C)
SB-2 SMOKY MARKET FOODS INC, 804 ESTATES DR. #100, APTOS, CA, 95003,
866-851-7787 - 4,628,571 ($3,795,428.00) Equity, (File 333-147843 -
Dec. 5) (BR. 05C)
S-3 Cowen Group, Inc., 1221 AVENUE OF THE AMERICAS, NEW YORK, NY, 10020,
646-562-1727 - 0 ($15,063,514.00) Equity, (File 333-147844 - Dec. 5)
(BR. 08C)
S-1 CRDENTIA CORP, 14114 DALLAS PARKWAY, SUITE 600, DALLAS, TX, 75254,
972-850-0780 - 0 ($1,581,999.00) Equity, (File 333-147845 - Dec. 5)
(BR. 11A)
S-4 MULTIBAND CORP, 9449 SCIENCE CENTER DR, NEW HOPE, MN, 55428,
6125043000 - 24,930,800 ($67,562,680.00) Equity, (File 333-147846 -
Dec. 5) (BR. 11C)
S-3 SGX PHARMACEUTICALS, INC., 10505 ROSELLE STREET, SAN DIEGO, CA, 92121,
858-558-4850 - 6,426,098 ($31,809,185.00) Equity, (File 333-147849 -
Dec. 5) (BR. 01C)
S-3 AKORN INC, 2500 MILLBROOK DRIVE, BUFFALO GROVE, IL, 60089, 8472796100 -
0 ($7,590,000.00) Equity, (File 333-147850 - Dec. 5) (BR. 01C)
SB-2 Flagship Global Health, Inc., 432 PARK AVENUE SOUTH, 13TH FLOOR,
NEW YORK, NY, 10016, 2123409111 - 0 ($5,757,044.22) Equity,
(File 333-147852 - Dec. 5) (BR. 09B)
S-3ASR LEGG MASON INC, 100 LIGHT ST, BALTIMORE, MD, 21202-1476, 4105390000 -
0 ($0.00) Equity, (File 333-147853 - Dec. 5) (BR. 06A)
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
------------------------------------------------------------------------------------------------------
AbitibiBowater Inc. DE 2.05,2.06,7.01,8.01,9.01 11/29/07
ACME COMMUNICATIONS INC DE 5.03,9.01 11/29/07
ACTIVIDENTITY CORP DE 2.02,9.01 12/05/07
ADOLOR CORP 1.01,8.01,9.01 12/04/07
ADVANCED ENERGY INDUSTRIES INC DE 5.03,9.01 12/04/07
ADVANCED MEDICAL OPTICS INC DE 5.02,7.01,9.01 12/03/07
ADVANTA CORP DE 5.02 11/29/07
ADVENT SOFTWARE INC /DE/ DE 5.05 11/29/07
AFC ENTERPRISES INC MN 5.02,8.01,9.01 11/29/07
AIRTRAN HOLDINGS INC NV 7.01,9.01 12/04/07
ALBANY INTERNATIONAL CORP /DE/ DE 1.01,9.01 12/01/07
ALLOY INC DE 2.02,9.01 12/05/07
ALMOST FAMILY INC DE 1.01,9.01 12/05/07
Alon USA Energy, Inc. DE 5.02 12/03/07
ALTERA CORP DE 2.05,7.01,9.01 12/05/07
AMECS INC 5.02,8.01 12/05/07
AMERCO /NV/ NV 5.03,9.01 12/05/07
AMERICAN EXPRESS CO NY 7.01 11/30/07
AMERICAN SURGICAL HOLDINGS INC DE 4.02,9.01 12/31/06 AMEND
AMERIGROUP CORP 1.01 11/30/07
AMPAL-AMERICAN ISRAEL CORP NY 1.01,2.01,2.03,8.01,9.01 12/05/07
ANADYS PHARMACEUTICALS INC 5.03,9.01 11/29/07
ANGELICA CORP /NEW/ MO 2.02,9.01 12/04/07
APPLEBEES INTERNATIONAL INC DE 1.02,2.01,2.03,3.01,3.03,5.01, 11/29/07
5.02,5.03,9.01
APPLIED DNA SCIENCES INC NV 1.01,2.03,3.02,9.01 11/29/07
ARBITRON INC DE 7.01,9.01 12/05/07
ARENA RESOURCES INC NV 5.03,9.01 11/30/07
ARROW ELECTRONICS INC NY 7.01,9.01 12/03/07
ARTISTDIRECT INC DE 1.01,9.01 11/30/07
ASIA TIME CORP 4.02 11/19/07 AMEND
ASSURANCEAMERICA CORP NV 8.01,9.01 12/05/07
AURELIO RESOURCE CORP NV 8.01,9.01 12/05/07
AVI BIOPHARMA INC OR 8.01,9.01 12/03/07
B2Digital, Inc. DE 4.02 12/05/07
BANKATLANTIC BANCORP INC FL 5.03,9.01 12/04/07
BANKUNITED FINANCIAL CORP FL 5.01,9.01 11/29/07
BARRIER THERAPEUTICS INC DE 5.03,9.01 12/03/07
BBM HOLDINGS, INC. UT 5.03 03/30/07 AMEND
BELO CORP DE 2.06,9.01 12/03/07
BigString CORP DE 1.01,2.04,3.02,8.01,9.01 11/27/07
BIOLIFE SOLUTIONS INC DE 1.01,1.02,5.02 12/04/07
BlueLinx Holdings Inc. DE 2.05,8.01,9.01 11/29/07
BLUEPOINT LINUX SOFTWARE CORP IN 4.01 12/04/07
BLYTH INC DE 2.02 12/05/07
BOMBAY CO INC DE 8.01,9.01 11/26/07
BOOTS & COOTS INTERNATIONAL WELL CONT DE 5.02 12/03/07
BOSTON CAPITAL TAX CREDIT FUND III L DE 7.01,9.01 12/03/07
BOWATER INC DE 2.05,2.06,9.01 11/29/07
BOWL AMERICA INC MD 5.02 12/04/07
BOWNE & CO INC DE 8.01 12/05/07
BOWNE & CO INC DE 8.01 12/05/07
BRADLEY PHARMACEUTICALS INC DE 8.01,9.01 12/05/07
BRISTOL MYERS SQUIBB CO DE 5.02,9.01 12/04/07
BRISTOL MYERS SQUIBB CO DE 8.01,9.01 12/05/07
BSD MEDICAL CORP DE 7.01,9.01 12/04/07
Camden Learning CORP DE 1.01,9.01 12/05/07
CANADIAN DERIVATIVES CLEARING CORP A6 9.01 11/30/07
CARDICA INC DE 1.01,9.01 12/03/07
CASEYS GENERAL STORES INC IA 2.02,5.02,9.01 12/05/07
CATCHER HOLDINGS, INC 1.01,2.01,3.02,5.02,9.01 11/30/07
CATCHER HOLDINGS, INC 7.01,9.01 12/05/07
CATSKILL LITIGATION TRUST 7.01,9.01 12/04/07
CENTENNIAL COMMUNICATIONS CORP /DE DE 5.02,5.03,9.01 12/05/07
Centerplate, Inc. DE 8.01,9.01 12/03/07
CEPHALON INC DE 8.01,9.01 12/03/07
CERADYNE INC DE 7.01,9.01 11/30/07
CHDT CORP FL 1.01 12/03/07
CHEMBIO DIAGNOSTICS, INC. NV 7.01 12/05/07
Chemtura CORP DE 5.02,9.01 12/04/07
CHINA BAK BATTERY INC NV 5.03,9.01 11/30/07
CHINA LONGYI GROUP INTERNATIONAL HOLD NY 1.01,2.01,3.02,5.01,5.02,5.03, 11/12/07 AMEND
5.06,9.01
CITIGROUP DIVERSIFIED FUTURES FUND LP 3.02 12/01/07
CITIGROUP FAIRFIELD FUTURES FUND LP I 3.02 12/01/07
CITIGROUP INC DE 8.01,9.01 12/05/07
CITRIX SYSTEMS INC DE 2.01,9.01 10/19/07 AMEND
CLEAR CHANNEL COMMUNICATIONS INC TX 5.03,8.01,9.01 12/04/07
CLEARWIRE CORP 8.01 12/05/07
CLEVELAND BIOLABS INC DE 5.03,9.01 12/04/07
CNL INCOME PROPERTIES INC MD 2.01,5.03,9.01 11/30/07
COACHMEN INDUSTRIES INC IN 7.01,9.01 12/04/07
COINSTAR INC DE 7.01 10/01/07
Command Center, Inc. WA 3.02,7.01,9.01 11/30/07
Commerce Planet UT 8.01 12/01/07
COMPUTER SOFTWARE INNOVATIONS INC 7.01,9.01 12/04/07
COMTECH TELECOMMUNICATIONS CORP /DE/ DE 2.02,9.01 12/05/07
CONAGRA FOODS INC /DE/ DE 2.02,9.01 12/05/07
Copano Energy, L.L.C. DE 7.01,9.01 12/04/07
COPART INC CA 2.02,9.01 12/04/07
CORE BOND PRODUCTS LLC DE 8.01,9.01 11/30/07
CORTS TRUST FOR INTL BUSINESS MACHINE DE 8.01,9.01 12/03/07
CV THERAPEUTICS INC DE 8.01 12/03/07
CVR ENERGY INC DE 2.02,9.01 12/05/07
Dairy Fresh Farms Inc. 5.02,9.01 12/04/07
Deutsche Alt-A Securities Mortgage Lo DE 8.01,9.01 12/05/07
DIAMOND HILL INVESTMENT GROUP INC OH 8.01 12/05/07
DIGIMARC CORP DE 7.01,8.01,9.01 12/05/07
DIGIMARC CORP DE 7.01,9.01 12/05/07 AMEND
DIGITAL IMAGING RESOURCES INC. DE 1.01,5.03,9.01 11/28/07
DigitalFX International Inc FL 1.01,3.02 12/03/07
DIGUANG INTERNATIONAL DEVELOPMENT CO. NV 2.02,9.01 12/05/07
DISTRIBUTED ENERGY SYSTEMS CORP DE 5.02,7.01,9.01 11/29/07
DOUBLE EAGLE PETROLEUM CO MD 7.01,9.01 12/03/07
DRI CORP NC 7.01,9.01 12/05/07
DSW Inc. OH 2.02,9.01 12/05/07
DYNAMEX INC DE 7.01,9.01 12/05/07
EAGLE BANCORP INC MD 1.01,7.01,9.01 12/02/07 AMEND
EDGAR ONLINE INC DE 8.01,9.01 12/04/07
Edgeline Holdings, Inc. NV 1.01,9.01 11/30/07
EMVELCO CORP. DE 8.01,9.01 11/26/07
ENDURANCE SPECIALTY HOLDINGS LTD 8.01,9.01 12/03/07
ENTERCOM COMMUNICATIONS CORP PA 2.01,2.03,7.01 11/30/07
ENTERGY GULF STATES INC TX 3.02,5.03,9.01 11/29/07
EPICEPT CORP 1.01,8.01,9.01 12/04/07
EPICOR SOFTWARE CORP DE 5.02,9.01 11/29/07
EPL Intermediate, Inc. DE 8.01,9.01 12/03/07
ESCALON MEDICAL CORP PA 5.03,9.01 11/30/07
EXACTECH INC FL 5.02,5.03,7.01,9.01 11/29/07
EXCO RESOURCES INC TX 7.01,9.01 12/05/07
EXCO RESOURCES INC TX 5.02 12/01/07
EXOPACK HOLDING CORP 8.01,9.01 11/28/07
EXPRESS SCRIPTS INC DE 7.01 12/04/06
FBL FINANCIAL GROUP INC IA 5.02 12/05/07
Federal Home Loan Bank of Dallas 5.02 11/29/07
FEDERAL NATIONAL MORTGAGE ASSOCIATION 7.01,9.01 12/05/07
FINISAR CORP DE 2.02,9.01 12/05/07
FIRST ALBANY COMPANIES INC NY 5.02,9.01 12/04/07
FIRST CITIZENS BANC CORP /OH OH 8.01 12/05/07
FIRSTPLUS FINANCIAL GROUP INC NV 1.02 11/30/07
Fitmedia Inc. DE 8.01 12/03/07
FNB BANCORP/CA/ 8.01,9.01 12/05/07
FORTUNE BRANDS INC DE 5.02,9.01 12/05/07
FORWARD INDUSTRIES INC NY 5.03,9.01 11/29/07
FREEDOM BANCSHARES INC 5.02 11/30/07
FREEDOM TAX CREDIT PLUS LP DE 8.01,9.01 12/05/07
FREEPORT MCMORAN COPPER & GOLD INC DE 7.01,8.01,9.01 12/04/07
G III APPAREL GROUP LTD /DE/ DE 2.02,9.01 12/05/07
GAMCO INVESTORS, INC. ET AL NY 8.01 11/30/07
GENAERA CORP DE 1.01,5.02,5.03,9.01 11/29/07
GENERAL DYNAMICS CORP DE 5.02,9.01 12/05/07
GENERAL ELECTRIC CO NY 8.01,9.01 11/29/07
General Moly, Inc ID 7.01,9.01 12/03/07
GENERAL STEEL HOLDINGS INC NV 7.01,9.01 12/05/07
GENEREX BIOTECHNOLOGY CORP DE 5.03,9.01 12/03/07
GENESEE & WYOMING INC DE 8.01 12/03/07
GENESIS BIOVENTURES INC NY 4.02 03/30/07 AMEND
GENESIS ENERGY LP DE 8.01,9.01 12/04/07
GEODYNE ENERGY INCOME LTD PARTNERSHIP OK 2.01,9.01 11/15/07 AMEND
GEODYNE ENERGY INCOME LTD PARTNERSHIP OK 2.01,9.01 11/15/07 AMEND
GEOGLOBAL RESOURCES INC. DE 7.01,9.01 12/05/07
GEOVIC MINING CORP. DE 8.01,9.01 12/05/07
GLIMCHER REALTY TRUST MD 1.01,2.03 11/30/07
GLOBAL ENTERTAINMENT CORP NV 5.02 10/15/07
GLOBAL GOLD CORP DE 8.01 12/05/07
Global Telecom & Technology, Inc. DE 5.02,9.01 12/01/07
GLU MOBILE INC 5.02 11/29/07
GOLDMAN SACHS HEDGE FUND PARTNERS LLC DE 3.02 12/05/07
GPS INDUSTRIES, INC. NV 5.02,8.01,9.01 11/29/07
GRACO INC MN 5.02 11/29/07
GRAPHIC PACKAGING CORP DE 1.01,9.01 11/29/07
GREAT WEST GOLD, INC. WY 8.01,9.01 12/05/07
GYMBOREE CORP DE 7.01 12/05/07
GYRODYNE CO OF AMERICA INC NY 7.01,9.01 12/05/07
HARRIS CORP /DE/ DE 1.01,2.03,9.01 11/30/07
HEALTH CARE REIT INC /DE/ DE 7.01,8.01,9.01 12/03/07
HEARTLAND FINANCIAL USA INC DE 8.01,9.01 12/05/07
HELICOS BIOSCIENCES CORP 5.02,9.01 10/30/07 AMEND
HERCULES OFFSHORE, INC. DE 7.01,9.01 12/05/07
HERSHEY CO DE 5.02 11/29/07
HOKU SCIENTIFIC INC DE 8.01,9.01 12/05/07
HOLOGIC INC DE 8.01,9.01 12/05/07
HOMELAND ENERGY SOLUTIONS LLC 1.01 11/29/07
HOOKER FURNITURE CORP VA 2.02 12/05/07
HSI Asset Loan Obligation Trust 2007- 8.01,9.01 12/03/07 AMEND
I TRAX INC DE 4.01,9.01 12/03/07
ICAHN ENTERPRISES L.P. DE 8.01,9.01 12/05/07
ICAHN ENTERPRISES L.P. DE 9.01 12/05/07
ICAHN ENTERPRISES L.P. DE 9.01 12/05/07
IHOP CORP DE 2.01,2.03,3.02,3.03,5.03,8.01, 11/29/07
9.01
IKON OFFICE SOLUTIONS INC OH 1.01,9.01 12/04/07
IMMEDIATEK INC NV 1.01,9.01 11/30/07
INFORM WORLDWIDE HOLDINGS INC FL 1.01,2.03 08/31/07
INSTEEL INDUSTRIES INC NC 8.01,9.01 12/04/07
INTEGRITY BANCSHARES INC GA 5.02,5.03,9.01 11/30/07
InterDigital, Inc. PA 8.01,9.01 12/03/07
INTERNATIONAL SPEEDWAY CORP FL 1.02 11/27/07
INTERNATIONAL SPEEDWAY CORP FL 5.02 11/28/07
INTERSTATE BAKERIES CORP/DE/ DE 7.01,9.01 12/04/07
INX Inc DE 8.01,9.01 12/04/07
IXI Mobile, Inc. DE 7.01,9.01 12/04/07
J P MORGAN CHASE & CO DE 9.01 12/04/07
JACLYN INC DE 8.01,9.01 12/05/07
JONES SODA CO WA 5.02,9.01 12/04/07
Juma Technology Corp. 1.01,2.03,3.02,5.02,8.01,9.01 12/05/07
KATY INDUSTRIES INC DE 1.01,2.01,2.03,9.01 12/05/07
KAYNE ANDERSON ENERGY DEVELOPMENT CO MD 5.02,9.01 12/03/07
KBS Real Estate Investment Trust, Inc MD 1.01,2.01,2.03,9.01 11/29/07
KENNAMETAL INC PA 8.01,9.01 12/02/07
KILROY REALTY CORP MD 5.02 12/04/07
KINETIC CONCEPTS INC /TX/ TX 5.02,9.01 11/29/07
KING PHARMACEUTICALS INC TN 1.01,5.02,8.01,9.01 11/29/07
KODIAK ENERGY, INC. DE 5.02,9.01 12/03/07
KULICKE & SOFFA INDUSTRIES INC PA 5.03,9.01 11/29/07
LACLEDE GROUP INC MO 5.02 11/29/07
LAKESIDE MORTGAGE FUND LLC CA 5.02 12/01/07
LCC INTERNATIONAL INC DE 1.01,5.02,9.01 11/29/07
LEE ENTERPRISES, INC DE 8.01,9.01 12/04/07
Legacy Bancorp, Inc. DE 7.01,9.01 12/05/07
LEHMAN BROTHERS HOLDINGS INC DE 9.01 11/30/07
LITHIUM TECHNOLOGY CORP DE 8.01,9.01 12/05/07
Location Based Technologies, Inc. NV 1.01,3.02,7.01,9.01 11/30/07
LORAL SPACE & COMMUNICATIONS INC. DE 5.02 11/30/07
Lotus Pharmaceuticals, Inc. 7.01,9.01 12/05/07
LOUISIANA-PACIFIC CORP DE 5.02,9.01 11/30/07
LSB INDUSTRIES INC DE 8.01 09/24/07
LTC PROPERTIES INC MD 5.02,9.01 12/05/07
MACERICH CO MD 8.01 11/26/07
MAGNITUDE INFORMATION SYSTEMS INC DE 1.01,9.01 12/03/07
MAGSTAR TECHNOLOGIES INC MN 5.02 12/05/07
Mayflower Bancorp Inc MA 2.02,9.01 12/04/07
MCGRAW-HILL COMPANIES INC NY 5.02,9.01 12/05/07
MDwerks, Inc. DE 1.01,9.01 12/03/07
MedAire, Inc. NV 8.01 12/05/07
MEDCATH CORP DE 2.01,9.01 11/30/07
MEDQUIST INC NJ 2.05,9.01 12/03/07
MEREDITH CORP IA 8.01,9.01 12/05/07
MERRILL LYNCH & CO INC DE 8.01,9.01 12/05/07
METLIFE INC DE 8.01 12/05/07
MICROSOFT CORP WA 8.01,9.01 10/25/07
MISCOR GROUP, LTD. 1.01,2.01,3.02,3.03,5.01,8.01, 11/30/07
9.01
ML-CFC Commercial Mortgage Trust 2007 DE 6.02 11/30/07
MORGAN STANLEY DE 5.02,9.01 11/29/07
Morgan Stanley Mortgage Loan Trust 20 DE 1.01 11/30/07
MORGAN STANLEY SPECTRUM CURRENCY LP DE 1.01,9.01 11/28/07
MOTORCAR PARTS AMERICA INC NY 4.01,9.01 11/30/07
MULTIMEDIA GAMES INC TX 8.01 12/04/07
MYERS INDUSTRIES INC OH 8.01,9.01 11/30/07
MYRIAD GENETICS INC DE 8.01,9.01 12/04/07
NANOBAC PHARMACEUTICALS INC FL 4.01,9.01 10/10/07 AMEND
NATIONAL REALTY & MORTGAGE INC NV 5.02 11/30/07
NATIONWIDE FINANCIAL SERVICES INC/ DE 5.02 12/05/07
Naugatuck Valley Financial Corp X1 5.02 11/27/07
NB Manufacturing, Inc. 5.03 12/04/07
Neiman Marcus, Inc. DE 2.02,9.01 12/05/07
Neiman Marcus, Inc. DE 2.02,7.01 12/05/07
NETWORK APPLIANCE INC CA 1.01,2.03 11/29/07
NEUROBIOLOGICAL TECHNOLOGIES INC /CA/ DE 1.01,9.01 11/29/07
Neutral Tandem Inc 2.02,7.01,9.01 12/05/07
NEWALLIANCE BANCSHARES INC 7.01,9.01 12/05/07
Nitar Tech Corp. DE 5.02 12/03/07
NOBLE CORP 7.01,9.01 12/05/07
NOBLE ENERGY INC DE 5.02 10/23/07 AMEND
NORTH POINTE HOLDINGS CORP 7.01,9.01 12/05/07
NORTHEAST BANCORP /ME/ ME 2.01 11/30/07
NOVASTAR FINANCIAL INC MD 1.01,9.01 11/30/07
NOVELL INC DE 7.01,9.01 10/31/07
NOVELL INC DE 7.01 10/31/07 AMEND
NYER MEDICAL GROUP INC FL 1.01 11/30/07
OIL DRI CORP OF AMERICA DE 8.01,9.01 12/04/07
Oilsands Quest Inc 1.01,8.01,9.01 12/05/07
OMNICELL, Inc CA 1.01,9.01 11/29/07
Omniture, Inc. DE 8.01,9.01 12/05/07
Opko Health, Inc. DE 1.01,3.02,9.01 12/04/07
OPLINK COMMUNICATIONS INC DE 2.05,2.06 11/29/07
Oracle Healthcare Acquisition Corp. 8.01,9.01 12/04/07
Orange REIT, Inc. MD 5.02 11/20/07
ORASURE TECHNOLOGIES INC DE 1.01 11/30/07
Orbitz Worldwide, Inc. DE 5.03,9.01 12/04/07
PANERA BREAD CO DE 7.01,9.01 12/05/07
PANTHER MOUNTAIN WATER PARK INC /DE/ DE 1.01,2.01,3.03,5.01,5.02,5.06, 11/15/07
9.01
PARALLEL PETROLEUM CORP DE 1.01,8.01,9.01 12/03/07
PATRIOT TAX CREDIT PROPERTIES LP DE 8.01,9.01 12/05/07
PENN VIRGINIA CORP VA 1.01,2.03,3.02,9.01 11/29/07
PERFORMANCE CAPITAL MANAGEMENT LLC CA 2.03 11/30/07
PHOTRONICS INC CT 2.02,9.01 12/04/07
PLAINS ALL AMERICAN PIPELINE LP DE 7.01 12/05/07
PLANETLINK COMMUNICATIONS INC GA 2.01,3.02,5.01,5.02,9.01 11/27/07
PLAYERS NETWORK 1.01,3.02,9.01 12/03/07
POINT BLANK SOLUTIONS, INC. DE 8.01 12/05/07
Powerraise Inc NV 1.01,9.01 12/03/07
PRICELINE COM INC DE 7.01,9.01 12/05/07
PRICELINE COM INC DE 5.02,9.01 12/01/07
PRINCIPAL LIFE INSURANCE CO IA 9.01 12/05/07
PRINCIPAL LIFE INSURANCE CO IA 9.01 12/05/07
PRINCIPAL LIFE INSURANCE CO IA 9.01 12/05/07
PRIVATEBANCORP, INC DE 5.02 11/29/07
PRO DEX INC CO 5.03,9.01 12/04/07
PROCERA NETWORKS INC NV 5.02 11/02/07
PROFESSIONAL VETERINARY PRODUCTS LTD NE 4.01,9.01 05/18/07 AMEND
Protalix BioTherapeutics, Inc. FL 5.02 12/03/07
PRUDENTIAL FINANCIAL INC NJ 2.03 12/05/07
PUBLIC SERVICE CO OF COLORADO CO 4.02 12/04/07
PYRAMID BREWERIES INC WA 5.02 11/29/07
QUANEX CORP DE 2.02 12/04/07
QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 7.01,9.01 12/05/07
RADIOSHACK CORP DE 1.01,5.02 12/05/07
RAM ENERGY RESOURCES INC DE 1.01,2.01,2.03,3.02,8.01,9.01 11/29/07
REDDY ICE HOLDINGS INC DE 5.02,9.01 11/30/07
REDHOOK ALE BREWERY INC WA 5.03,9.01 11/30/07
REDWOOD TRUST INC MD 8.01 11/29/07
RESOURCING SOLUTIONS GROUP INC NV 5.03,9.01 12/04/07
RFMSI Series 2007-S9 Trust DE 8.01,9.01 12/05/07
ROYAL GOLD INC DE 8.01,9.01 12/05/07
RUBICON FINANCIAL INC DE 9.01 11/29/07
Ruths Chris Steak House, Inc. DE 7.01 12/04/07
SALISBURY BANCORP INC CT 8.01,9.01 12/04/07
SALOMON SMITH BARNEY AAA ENERGY FUND 3.02 12/01/07
SALOMON SMITH BARNEY ORION FUTURES FU 3.02 12/01/07
SANDRIDGE ENERGY INC DE 2.02,9.01 12/05/07
SARATOGA RESOURCES INC /TX TX 3.02 12/04/07
SCIELE PHARMA, INC. DE 5.02,9.01 12/04/07
SCIENTIFIC INDUSTRIES INC DE 5.03 11/29/07
SCOLR Pharma, Inc. DE 8.01 12/04/07
SEACOR HOLDINGS INC /NEW/ DE 7.01,9.01 12/03/07
SEAGATE TECHNOLOGY E9 5.02 12/03/07
Security Capital Assurance Ltd D0 1.01,9.01 11/30/07
Select Notes Trust LT 2004-1 DE 8.01,9.01 12/03/07
SELIGMAN NEW TECHNOLOGIES FUND, INC 7.01 12/05/07
SENESCO TECHNOLOGIES INC DE 8.01,9.01 12/05/07
Shire plc 8.01,9.01 12/05/07
SILICON STORAGE TECHNOLOGY INC CA 5.02 12/05/07
SMARTIRE SYSTEMS INC 1.01,2.03,3.02 11/19/07
SMITH & WESSON HOLDING CORP NV 5.03,9.01 11/29/07
SMITH BARNEY BRISTOL ENERGY FUND LP 3.02 12/01/07
SMITH BARNEY POTOMAC FUTURES FUND LP 3.02 12/01/07
SMITH BARNEY TIDEWATER FUTURES FUND L 3.02 12/01/07
SMITH BARNEY WARRINGTON FUND L P 3.02 12/01/07
SMITH BARNEY WESTPORT FUTURES FUND LP 3.02 12/01/07
SMUCKER J M CO OH 7.01,9.01 12/05/07
SOLUTIA INC DE 1.03,7.01,9.01 11/29/07
SOUTHWESTERN PUBLIC SERVICE CO NM 8.01 12/03/07
ST. BERNARD SOFTWARE, INC. CA 4.01 12/04/07
ST. BERNARD SOFTWARE, INC. CA 4.01,9.01 11/19/07 AMEND
StatSure Diagnostic Systems, Inc. DE 9.01 10/22/07 AMEND
STERLING BANCORP NY 7.01,9.01 12/03/07
STRATASYS INC DE 7.01,9.01 12/05/07
Stratos Renewables CORP 1.01,3.01,9.01 11/26/07
STRATTEC SECURITY CORP WI 2.02,7.01 12/05/07
STUDIO ONE MEDIA, INC. DE 8.01 12/04/07
SUMMIT EXPLORATION INC. 8.01,9.01 12/03/07
SUNAIR SERVICES CORP FL 5.02 11/30/07
Superior Offshore International Inc. DE 8.01,9.01 11/30/07
SUTRON CORP VA 5.03,9.01 11/30/07
SYNOVIS LIFE TECHNOLOGIES INC MN 2.02,9.01 12/05/07
TASKER PRODUCTS CORP DE 2.03,3.02 09/28/07 AMEND
TECHNOLOGY FUNDING PARTNERS III L P DE 2.01 12/05/07
TECHNOLOGY FUNDING VENTURE PARTNERS I DE 2.01 12/05/07
TECO ENERGY INC FL 8.01,9.01 12/05/07
Tennessee Valley Authority 2.02,5.02,9.01 12/05/07
TESORO CORP /NEW/ DE 7.01,9.01 12/05/07
THERAVANCE INC DE 7.01,9.01 12/05/07
TIMBERLAND CO DE 5.02 11/30/07
TIVO INC DE 8.01 11/29/07
TransMontaigne Partners L.P. DE 7.01,9.01 12/05/07
TRANSOCEAN INC E9 1.01,2.03,8.01,9.01 12/03/07
Tropicana Entertainment, LLC DE 8.01,9.01 12/05/07
U S GOLD CORP CO 5.02,7.01,9.01 11/30/07
U S PHYSICAL THERAPY INC /NV NV 7.01 12/05/07
UNICA CORP 5.02 12/03/07
UNITED THERAPEUTICS CORP DE 8.01,9.01 12/05/07
UNIVERSAL ENERGY CORP. 1.01,9.01 11/29/07
US AIRWAYS GROUP INC DE 2.02,9.01 12/05/07
US BioEnergy CORP 1.01,8.01,9.01 11/29/07
US Oncology Holdings, Inc. DE 5.02,9.01 12/05/07
VALIDUS HOLDINGS LTD 2.02,7.01,9.01 12/04/07
VERASUN ENERGY CORP 1.01,8.01,9.01 11/29/07
Veraz Networks, Inc. DE 5.02,9.01 11/29/07
VERISIGN INC/CA DE 1.01,5.02 12/01/07
VIAD CORP DE 1.01,5.02,9.01 11/29/07
VION PHARMACEUTICALS INC DE 8.01,9.01 12/04/07
VISUAL MANAGEMENT SYSTEMS INC NV 1.01,2.03,9.01 11/29/07
VITESSE SEMICONDUCTOR CORP DE 8.01,9.01 12/03/07
VOIP INC 5.02 12/04/07
WALT DISNEY CO/ DE 8.01,9.01 11/29/07 AMEND
Wells Fargo Mortgage Backed Securitie DE 1.01,9.01 12/04/07
WELLS REAL ESTATE FUND IX LP GA 2.01,9.01 11/29/07
WELLS REAL ESTATE FUND VIII LP GA 2.01,9.01 11/29/07
WERNER ENTERPRISES INC NE 5.02,9.01 12/03/07
WESTERN DIGITAL CORP DE 7.01,8.01 12/05/07
WESTMORELAND COAL CO DE 8.01,9.01 12/05/07
WET SEAL INC DE 7.01,9.01 11/30/07
WHERIFY WIRELESS INC DE 1.01 11/29/07
WHITNEY INFORMATION NETWORK INC CO 5.02 11/29/07
WPCS INTERNATIONAL INC DE 1.02,2.01,9.01 11/30/07
Wright Express CORP 1.01,9.01 12/03/07
XCEL ENERGY INC MN 4.02 12/04/07
XCEL ENERGY INC MN 2.02,9.01 12/05/07
XILINX INC DE 7.01,9.01 12/05/07
Zumiez Inc 7.01,9.01 12/05/07
http://www.sec.gov/news/digest/2007/dig120607.htm
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