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SEC NEWS DIGEST
Issue 2007-236 December 10, 2007
ENFORCEMENT PROCEEDINGS
SECURITIES AND EXCHANGE COMMISSION INSTITUTES ADMINISTRATIVE
PROCEEDINGS AGAINST SIX COMPANIES FOR FAILURE TO MAKE REQUIRED
PERIODIC FILINGS
On December 10, the Commission instituted public administrative
proceedings against the following six companies to determine whether
the registration of each class of their securities should be revoked
or suspended for a period not exceeding twelve months for failure to
file required periodic reports:
* AR Associates, Inc.
* Azel Enterprises, Inc.
* Getgomail.Com,Inc.(n/k/a Getgo,Inc.)(GTGOF)
* Success Development Group,Inc.
* Vis Opps Marketing, Inc.
* Worldwide Medical Corp. (WWMCQ)
In this Order, the Division of Enforcement (Division) alleges that the
six issuers are delinquent in their required periodic filings with the
Commission.
In these proceedings, instituted pursuant to Securities Exchange Act
of 1934 (Exchange Act) Section 12(j), a hearing will be scheduled
before an Administrative Law Judge. At the hearing, the judge will
hear evidence from the Division and the respondents to determine
whether the allegations of the Division contained in the Order, which
the Division alleges constitute failures to comply with Exchange Act
Section 13(a) and Rules 13a-1 and 13a-13 or 13a-16 thereunder, are
true. The judge in the proceeding will then determine whether the
registrations pursuant to Exchange Act Section 12 of the securities of
these respondents should be revoked or suspended for a period not
exceeding twelve months. The Commission ordered that the
Administrative Law Judge in these proceedings issue an initial
decision not later than 120 days from the date of service of the order
instituting proceedings. (Rel. 34-56935; File No. 3-12902)
SEC FILES ACTIONS AGAINST TEN DEFENDANTS IN FRAUDULENT KICKBACK
SCHEMES
U.S. Attorney's Office for the Southern District of Florida Announces
Parallel Indictments Against Some of the Same Defendants And Others
The Commission announced today that it filed civil actions alleging
securities fraud in five separate kickback schemes uncovered by an FBI
sting operation conducted pursuant to a cooperation agreement between
the FBI and the Commission. The defendants, who reside in South
Florida, New York, California, and Nevada, are insiders or promoters
of publicly traded companies who made stock sales to a hedge fund in
exchange for illegal kickbacks to an individual whom they believed to
be the hedge fund manager, but who was in reality an undercover FBI
agent. The five complaints charge the following Defendants with
violating Section 17(a)(1) of the Securities Act of 1933 and Section
10(b) of the Securities Exchange Act of 1934 and Rule 10b-5
thereunder: (1) Vincent Cammarata, Rex A. Morden, and Affinity
Financial Group, Inc.; (2) William L. Haynes, Efrim Gjonbalaj, and
Real Asset Management LLC; (3) Mark Foglia and Western Financial
Services, Inc.; (4) Virgil G. Williams; and (5) Sean P. Sheehan.
In related criminal prosecutions, the United States Attorney's Office
for the Southern District of Florida (USAO) today announced the
criminal indictments of defendants Morden, Haynes, Gjonbalaj, Foglia
and Williams.
According to the SEC's complaints, which were filed in the U.S.
District Court for the Southern District of Florida, the five schemes
involved sales of securities in publicly traded companies to a
purported hedge fund. To make the sales, the defendants agreed to pay
kickbacks to the individual managing the hedge fund. In fact, there
was no hedge fund and the purported manager was an FBI operative in
the sting operation. The Commission's complaints allege that, in each
case, the hedge fund manager told the seller or promoter that the
kickback had to be kept secret, because it would violate his fiduciary
obligations to the hedge fund. The manager also told the seller or
promoter that he had created a phony consulting company to which the
kickback could be paid pursuant to a consulting agreement. The sellers
or promoters were explicitly told that the consulting entity did not
exist, that no actual consulting work would be performed, and that the
phony consulting arrangement was simply a means to secretly pay the
kickback to the hedge fund manager. All of the defendants agreed to
pay a kickback and, with one exception, the defendants paid the
promised kickback to the representative after the hedge fund bought
the stock defendants were promoting. Every buy transaction by the
hedge fund had a material effect on the stock trading volume of the
companies in question.
In its actions, the Commission is seeking permanent injunctions
prohibiting Defendants from committing future violations of the
foregoing federal securities laws, disgorgement of ill-gotten gains
plus pre-judgment interest thereon, and civil penalties. The
Commission is also seeking an officer and director bar against
Williams and penny stock bars against all the individual defendants.
Haynes was previously enjoined from further violations of the
antifraud and registration provisions of the federal securities laws
following his participation in a $7 million offering fraud. SEC v.
Global Asset Partners, Ltd., Case No. 01-8862-CIV-Middlebrooks (S.D.
Fla.). In addition, Haynes was previously barred from associating with
a broker-dealer based on the entry of the permanent injunction. In the
Matter of William L. Haynes, Exchange Act Release No. 45820 (April 25,
2002).
The Commission acknowledges the assistance and cooperation of the
United States Attorney's Office for the Southern District of Florida
and the Federal Bureau of Investigation in investigating this matter.
The Commission's investigation is ongoing. [SEC v. Vincent Cammarata,
et al., Civil Action No. 07-81163-CIV-MARRA/JOHNSON (S.D.F.L.); SEC v.
William L. Haynes, et al., Civil Action No. 07-81165-CIV-
MIDDLEBROOKS/JOHNSON (S.D.F.L.); SEC v. Mark Foglia, et al., Civil
Action No. 07-81162-CIV-MIDDLEBROOKS/JOHNSON (S.D.F.L.); SEC v. Virgil
G. Williams, Civil Action No. 07-81161-CIV-ZLOCH/SNOW (S.D.F.L.); SEC
v. Sean P. Sheehan, Civil Action No. 07-81164-CIV-MARRAH/JOHNSON
(S.D.F.L.)] (LR-20390)
COMMISSION FILES SUBPOENA ENFORCEMENT ACTION AGAINST 14 DEPOSITORS OF
NEW HAVEN SAVINGS BANK
The Commission announced that it filed an application on December 6,
in the U.S. District Court for the District of Connecticut, for orders
to enforce investigative subpoenas served on Charles Agapiou, John
Agapiou, Asimina Antonellis, Charles Artese, Rose Ercolano, Evangelos
Hadjimichael, Karen Kerames, Elene Koutroumanis, Kellie Pappas,
Kristine Pappas, Marie Sagnella, Rita Santini, Peter Spalthoff, and
Corinne Tsakonas (collectively, Respondents), all of Connecticut. Each
of the Respondents was a depositor of New Haven Savings Bank (NHSB),
now known as NewAlliance Bancshares, Inc. (NewAlliance), based in New
Haven, Connecticut.
The Commission's application and supporting papers allege that, on May
18, 2004, the Commission issued a formal order of private
investigation authorizing its staff to investigate to determine
whether there have been violations of the federal securities laws,
including violations of the antifraud provision of the Exchange Act.
Specifically, the Commission's papers allege that the staff has been
investigating whether certain individuals or entities used depositors
who were eligible to purchase NewAlliance stock at the time that NHSB
converted from mutual to stock organization form as nominees to enable
such individuals or entities to participate in the conversion in
contravention of NewAlliance's prospectus. On July 17, 2006, the
Commission issued investigative subpoenas to each of the 14
Respondents. The subpoenas required each Respondent to produce
documents relevant to the investigation and to appear before the
Commission staff for testimony. The Commission alleges that, despite a
number of accommodations offered to Respondents through counsel, as of
the date of its application, certain Respondents have failed to
produce the subpoenaed documents and all of the Respondents have
failed to appear for testimony. According to the Commission's
application, none of the Respondents have a valid justification for
their failure to comply with the subpoenas, and court orders are
necessary to compel certain of them to produce the subpoenaed
documents and to compel them all to appear for testimony.
The Commission alleges that Respondents were each depositors of NHSB
who purchased shares of NewAlliance in its initial public offering
with funds provided by an entity known as Old Financial LLC, a North
Dakota limited liability company. The Commission further alleges that
the documents and testimony sought are necessary to determine whether,
as a result of the arrangement between the Respondents and Old
Financial, there were any violations of the federal securities laws.
A hearing on the Commission's application has not yet been scheduled.
[SEC v. Charles Agapiou, John Agapiou, Asimina Antonellis, Charles
Artese, Rose Ercolano, Evangelos Hadjimichael, Karen Kerames, Elene
Koutroumanis, Kellie Pappas, Kristine Pappas, Marie Sagnella, Rita
Santini, Peter Spalthoff, and Corinne Tsakonas, USDC for the District
of Connecticut, 07-MC-346-JBA)] (LR-20391)
IN THE MATTER OF MSYSTEMS, LTD.
The Commission announced the filing of a settled insider trading case
against Hans Wagner, a former director of msystems, Ltd. The SEC's
complaint alleges that on June 7, 2006, Wagner learned about a
proposed offer to buy msystems and on June 8 bought 200,000 shares of
mystems common stock for $27.77 per share. Msystems announced the
merger the afternoon of July 30. The closing price of mystems stock
increased $4.21 or 13.2% to $36 the next day. In recognition of his
own ethical obligation as a board member of a publicly traded company,
Wagner, of his own volition, contacted the staff of the SEC shortly
thereafter and offered to disgorge his trading profits.
The SEC's complaint, which was filed in the U.S. District Court for
the District of Columbia, charges Wagner with violations of Section
10(b) of the Exchange Act and Rule 10b-5 thereunder. Without admitting
or denying the allegations in the Complaint, Wagner has agreed to
settle the Commission's enforcement action by consenting to the entry
of a final judgment permanently enjoining him from future violations
of Section 10(b) and Rule 10b-5 of the Exchange Act and ordering him
to disgorge $566,756 in trading profits and pay prejudgment interest
of $11,335. [SEC v. Hans Wagner, Civil Action No. 07-2213, D.D.C.,
(HHK)] (LR-20392)
SELF-REGULATORY ORGANIZATIONS
APPROVAL OF PROPOSED RULE CHANGES
The Commission approved a proposed rule change (SR NASD-2007-044), as
modified by Amendment No. 1 thereto, submitted by the National
Association of Securities Dealers (n/k/a Financial Industry Regulatory
Authority, Inc.) to expand the class of entities permitted to use the
delta hedging exemption from equity options position limits.
Publication is expected in the Federal Register during the week of
December 10. (Rel. 34-56916)
The Commission approved a proposed rule change, as modified by
Amendment No. 1 thereto, (SR-NASDAQ-2007-085) submitted by The NASDAQ
Stock Market amending Nasdaq's membership application rules.
Publication is expected in the Federal Register during the week of
December 10. (Rel. 34-56917)
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A proposed rule change filed by the International Securities Exchange
(SR-ISE-2007-104) relating to fee changes has become immediately
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. 34-56773)
A proposed rule change (SR-NYSE-2007-111) filed by the New York Stock
Exchange to add Rule 48 permitting NYSE to declare an extreme market
volatility condition has become effective under Section 19(b)(3)(A)
under the Securities Exchange Act of 1934. Publication is expected in
the Federal Register during the week of December 10. (Rel. 34-56920)
A proposed rule change filed by the Chicago Board Options Exchange
regarding fees for the CBOE Stock Exchange (SR CBOE-2007-146) 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 10. (Rel. 34-56923)
A proposed rule change filed by the Chicago Board Options Exchange to
amend CBOE Rule 2.1 relating to the appointment of the chairman and
members of CBOE's Business Conduct Committee (SR-CBOE-2007-141) 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. 34-56925)
A proposed rule change (SR-CBOE-2007-145) filed by the Chicago Board
Options Exchange relating to the Exchange's Hybrid Electronic Quoting
Fee 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. 34-56927)
ACCELERATED APPROVAL OF PROPOSED RULE CHANGE
The Commission issued notice of filing and order granting accelerated
approval of a proposed rule change, as modified by Amendment Nos. 1
and 2 (SR-NYSEArca-2007-98), filed by NYSE Arca. relating to the
definition of and listing standards for equity-linked notes under NYSE
Arca Equities Rules 5.1(b)(14) and 5.2(j)(2). Publication is expected
in the Federal Register during the week of December 10. (Rel. 34-
56924)
JOINT INDUSTRY PLAN RELEASES
NOTICE OF FILING OF PROPOSED AMENDMENT TO THE PLAN FOR REPORTING OF
CONSOLIDATED OPTIONS LAST SALE REPORTS AND QUOTATION INFORMATION
The Options Price Reporting Authority filed a notice of filing of a
proposed Plan amendment pursuant to Section 11A of the Securities
Exchange Act of 1934 and Rule 608 thereunder (SR-OPRA-2007-05) to
adopt new form of Rider to its Vendor Agreement. Publication is
expected in the Federal Register during the week of December 10. (Rel.
34-56926)
SECURITIES ACT REGISTRATIONS
The following registration statements have been filed with the SEC
under the Securities Act of 1933. The reported information appears as
follows: Form, Name, Address and Phone Number (if available) of the
issuer of the security; Title and the number and/or face amount of the
securities being offered; Name of the managing underwriter or
depositor (if applicable); File number and date filed; Assigned
Branch; and a designation if the statement is a New Issue.
Registration statements may be obtained in person or by writing to the
Commission's Public Reference Branch at 100 F Street, N.E.,
Washington, D.C. 20549-1090 or at the following e-mail box address:
publicinfo@sec.gov. In most cases, this information is also available
on the Commission's website: www.sec.gov.
S-8 BLUE HOLDINGS, INC., 5804 E. SLAUSON AVE., COMMERCE, CA, 90040,
(323) 725-5555 - 625,000 ($387,500.00) Equity, (File 333-147873 -
Dec. 7) (BR. 09B)
S-4 SUNTRUST BANKS INC, 303 PEACHTREE ST N E, ATLANTA, GA, 30308,
4045887711 - 2,335,080 ($157,715,030.60) Equity, (File 333-147874 -
Dec. 7) (BR. 07C)
S-3 TEMECULA VALLEY BANCORP INC, 27710 JEFFERSON AVENUE, SUITE A-100,
TEMECULA, CA, 92590, 9096949940 - 2,012,500 ($20,125,000.00) Equity,
(File 333-147877 - Dec. 7) (BR. 07B)
S-4 TAYLOR DEVICES INC, 90 TAYLOR DR, P O BOX 748, NORTH TONAWANDA, NY,
14120, 7166940800 - 759,611 ($4,948,865.67) Equity, (File 333-147878 -
Dec. 7) (BR. 06A)
S-8 INSIGHT ENTERPRISES INC, 1305 WEST AUTO DRIVE, TEMPE, AZ, 85284,
480-902-1001 - 4,250,000 ($78,476,250.00) Equity, (File 333-147879 -
Dec. 7) (BR. 02B)
S-1 MAFS Acquisition Corp., 35 EAST 62ND STREET, NEW YORK, NY, 10065,
212-572-8600 - 57,500,000 ($575,000,000.00) Equity, (File 333-147881 -
Dec. 7) (BR. 01)
S-8 DELL INC, ONE DELL WAY, STED, ROUND ROCK, TX, 78682-2244, 5127284737 -
25,000,000 ($598,750,000.00) Equity, (File 333-147882 - Dec. 7)
(BR. 03B)
S-4 JAG MEDIA HOLDINGS INC, 6865 SW 18TH STREET SUITE B13, BACA RATON, FL,
33433, 7322921800 - 417,386,486 ($15,150,000.00) Equity,
(File 333-147883 - Dec. 7) (BR. 03A)
S-8 SuccessFactors, Inc., 1500 FASHION ISLAND BLVD., SUITE 300, SAN MATEO,
CA, 94404, (650) 645-2000 - 19,743,710 ($156,045,067.57) Equity,
(File 333-147909 - Dec. 7) (BR. 03C)
S-1 MetLife Insurance CO of Connecticut, ONE CITYPLACE,
ATTN FINANCIAL SERVICES LEGAL DIVISION, HARTFORD, CT, 06103,
860-277-0111 - 301,000,000 ($301,000,000.00) Other, (File 333-147910 -
Dec. 7) (BR. 01B)
S-1 MetLife Insurance CO of Connecticut, ONE CITYPLACE,
ATTN FINANCIAL SERVICES LEGAL DIVISION, HARTFORD, CT, 06103,
860-277-0111 - 139,000,000 ($139,000,000.00) Other, (File 333-147911 -
Dec. 7) (BR. 01B)
S-1 MetLife Insurance CO of Connecticut, ONE CITYPLACE,
ATTN FINANCIAL SERVICES LEGAL DIVISION, HARTFORD, CT, 06103,
860-277-0111 - 10,000,000 ($10,000,000.00) Other, (File 333-147912 -
Dec. 7) (BR. 01B)
S-8 RIO TINTO PLC, 6 ST JAMES'S SQUARE, LONDON, SW1Y 4LD, X0,
44 20 7930 2399 - 2,373,000 ($86,417,310.00) Other, (File 333-147914 -
Dec. 7) (BR. 04A)
S-8 AMERICAS CARMART INC, 802 SOUTHEAST PLAZA AVE., SUITE 200, BENTONVILLE,
AR, 72712, (479) 464-9944 - 1,050,000 ($11,413,500.00) Equity,
(File 333-147915 - Dec. 7) (BR. 02C)
S-8 ENTROPIC COMMUNICATIONS INC, 9276 SCRANTON ROAD, SUITE 200, SAN DIEGO,
CA, 92121, 858-625-3200 - 0 ($83,204,616.00) Equity, (File 333-147916 -
Dec. 7) (BR. 10)
SB-2 Bio-Solutions Corp., 14517, JOSEPH MARC VERMETTE, MIRABEL, A8, J7J 1X2,
888-686-2611 - 1,066,500 ($106,650.00) Equity, (File 333-147917 -
Dec. 7) (BR. 04)
SB-2 MAUNA KEA ENTERPRISES INC, 26 WEST DRY CREEK CIR #600, LITTLETON, CO,
80120, 2,999,800 ($562,462.50) Equity, (File 333-147918 - Dec. 7)
(BR. 03)
S-3 National City Mortgage Capital LLC, 3232 NEWMARK DRIVE, MIAMISBURG, OH,
45342, 937-910-4372 -
1,000,000 ($1,000,000.00) Mortgage Backed Securities,
(File 333-147919 - Dec. 7) (BR. 05)
F-6 CLP HOLDINGS LTD, 147 ARGYLE STREET, HONG KONG, K3, 00000,
85226788111 - 250,000,000 ($12,500,000.00) ADRs/ADSs,
(File 333-147920 - Dec. 7) (BR. 02C)
S-8 ILINC COMMUNICATIONS INC, 2999 NORTH 44TH STREET, SUITE 650, PHOENIX,
AZ, 85018, 6029521200 - 2,000,000 ($1,040,000.00) Equity,
(File 333-147921 - Dec. 7) (BR. 03C)
S-8 BB&T CORP, 200 WEST SECOND STREET, WINSTON-SALEM, NC, 27101,
3367332000 - 10,000,000 ($355,500,000.00) Equity, (File 333-147923 -
Dec. 7) (BR. 07A)
S-8 BB&T CORP, 200 WEST SECOND STREET, WINSTON-SALEM, NC, 27101,
3367332000 - 13,000,000 ($462,150,000.00) Equity, (File 333-147924 -
Dec. 7) (BR. 07A)
S-8 GRUBB & ELLIS CO, 500 WEST MONROE STREET, SUITE 2800, CHICAGO, IL,
60661, 3126986700 - 0 ($29,370,311.00) Equity, (File 333-147925 -
Dec. 7) (BR. 08A)
S-3 LIVEPERSON INC, 2126094200 - 4,130,776 ($21,108,265.00) Equity,
(File 333-147929 - Dec. 7) (BR. 02B)
SB-2 TRANSDEL PHARMACEUTICALS INC, 4225 EXECUTIVE SQUARE, SUITE 460,
LA JOLLA, CA, 92037, (858) 457-5300 -
4,447,459 ($11,474,470.02) Equity, (File 333-147930 - Dec. 7) (BR. 01B)
SB-2 INTELLIGENTIAS, INC., 303 TWIN DOLPHIN DR.,, 6TH FLOOR,, REDWOOD CITY,,
CA, 94065, (650) 632-4526 - 23,750,000 ($34,187,500.00) Equity,
(File 333-147931 - Dec. 7) (BR. 02A)
SB-2 Gen 2 Media CORP, 2295 S. HIAWASSEE ROAD, SUITE 414, ORLANDO, FL,
32835, (310)421-4406 - 14,695,000 ($7,347,500.00) Equity,
(File 333-147932 - Dec. 7) (BR. 11)
S-8 HOME PROPERTIES INC, 850 CLINTON SQ, ROCHESTER, NY, 14604, 5855464900 -
50,000 ($2,212,500.00) Equity, (File 333-147933 - Dec. 7) (BR. 08B)
S-4 PENNSYLVANIA ELECTRIC CO, 76 SOUTH MAIN STREET, C/O FIRSTENERGY CORP.,
AKRON, OH, 44308-1890, 330-761-7837 -
300,000,000 ($300,000,000.00) Non-Convertible Debt, (File 333-147934 -
Dec. 7) (BR. 02B)
S-3ASR GREAT ATLANTIC & PACIFIC TEA CO INC, 2 PARAGON DR, MONTVALE, NJ, 07645,
2015739700 - 0 ($0.00) Debt, 0 ($0.00) Debt Convertible into Equity,
0 ($0.00) Equity, (File 333-147935 - Dec. 7) (BR. 02A)
S-4 JACOBS ENGINEERING GROUP INC /DE/, 1111 S ARROYO PARKWAY, PASADENA, CA,
91105-3063, 6265783500 - 0 ($684,160,000.00) Equity, (File 333-147936 -
Dec. 7) (BR. 06C)
N-2 Solar Capital Ltd., 500 PARK AVENUE, 5TH FLOOR, NEW YORK, NY, 10022,
(212) 993-1670 - 0 ($700,446,705.00) Equity, (File 333-147937 - Dec. 7)
(BR. )
S-1 Big West Oil Partners, LP, 1104 COUNTRY HILLS DRIVE, OGDEN, UT, 88403,
(801) 624-1000 - 0 ($196,218,750.00) Limited Partnership Interests,
(File 333-147938 - Dec. 7) (BR. 04)
S-8 GREAT PLAINS ENERGY INC, 1201 WALNUT, KANSAS CITY, MO, 64106,
8165562200 - 2,000,000 ($58,920,000.00) Equity, (File 333-147939 -
Dec. 7) (BR. 02B)
S-8 El Paso Pipeline Partners, L.P., 1001 LOUISIANA ST., HOUSTON, TX,
77002, (713) 420-2600 - 1,250,000 ($27,312,500.00) Equity,
(File 333-147940 - Dec. 7) (BR. 02)
SB-2 CMARK INTERNATIONAL INC, 9570 TWO NOTCH RD, COLUMBIA, SC, 29223,
8036994940 - 7,700,000 ($616,000.00) Other, (File 333-147941 - Dec. 7)
(BR. )
F-6 Gushan Environmental Energy LTD, NO. 37 GOLDEN POND ROAD,
GOLDEN MOUNTAIN INDUSTRIAL DISTRICT, FUZHOU, FUJIAN PROVINCE, F4,
00000, 86 591 8385 9133 - 100,000,000 ($5,000,000.00) ADRs/ADSs,
(File 333-147942 - Dec. 7) (BR. )
S-3 MARTEK BIOSCIENCES CORP, 6480 DOBBIN RD, COLUMBIA, MD, 21045,
4107400081 - 0 ($8,656,618.94) Equity, (File 333-147943 - Dec. 7)
(BR. 01B)
S-8 PROCERA NETWORKS INC, 100 COOPER COURT, LOS GATOS, CA, 95032,
408 354-7200 - 7,390,060 ($9,394,362.00) Equity, (File 333-147944 -
Dec. 7) (BR. 03C)
SB-2 Darlington Mines Ltd., 1019 DRAYTON STREET, NORTH VANCOUVER, A1,
V7L 2V7, 604-639-7757 - 2,000,000 ($200,000.00) Equity,
(File 333-147945 - Dec. 7) (BR. )
S-3 BANNER CORP, 10 S FIRST AVENUE, WALLA WALLA, WA, 99362, 5095273636 -
1,000,000 ($29,380,000.00) Equity, (File 333-147946 - Dec. 7) (BR. 07A)
S-3 Cardium Therapeutics, Inc., 3611 VALLEY CENTRE DRIVE, SUITE 525,
SAN DIEGO, CA, 92130, (858) 436-1000 - 0 ($50,000,000.00) Other,
(File 333-147947 - Dec. 7) (BR. 01B)
S-1 MACRO INFLATION DEPOSITOR, LLC, 14 MAIN STREET SUITE 100, MADISON, NJ,
07940, (800) 767-4696 - 0 ($1,000,000.00) Asset-Backed Securities,
(File 333-147948 - Dec. 7) (BR. )
S-4 BERKSHIRE HATHAWAY FINANCE CORP, 1440 KIEWITT PLAZA, OMAHA, NE, 68131,
4023461400 - 0 ($750,000,000.00) Non-Convertible Debt,
(File 333-147949 - Dec. 7) (BR. 01)
S-4 FIRST PRIORITY FINANCIAL CORP., 2 WEST LIBERTY BOULEVARD, SUITE 104,
MALVERN, PA, 19355, 610-280-7100 - 1,171,364 ($12,201,707.50) Equity,
(File 333-147950 - Dec. 7) (BR. 07)
S-4 AES CORP, 4300 WILSON BOULEVARD, ARLINGTON, VA, 22203, 7035221315 -
0 ($2,000,000,000.00) Debt, (File 333-147951 - Dec. 7) (BR. 02B)
S-8 SOUTHWEST GAS CORP, 5241 SPRING MOUNTAIN RD, PO BOX 98510, LAS VEGAS,
NV, 89193-8510, 7028767237 - 912,825 ($27,731,624.00) Equity,
(File 333-147952 - Dec. 7) (BR. 02B)
S-1 China Bio Energy Holding Group Co., Ltd., 6689 NW 16TH TERRACE, --,
FT. LAUDERDALE, FL, 33309, 954-978-9090 -
2,631,269 ($10,853,984.63) Equity, (File 333-147953 - Dec. 7) (BR. 02B)
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
-------------------------------------------------------------------------------------------------------
ACA Capital Holdings Inc 1.02 12/07/07
ACE Securities Corp. Home Equity Loan DE 2.01,9.01 08/20/07
ACETO CORP NY 5.03,9.01 12/06/07
Action Fashions, Ltd. CO 5.02 12/06/07
ACTIVE POWER INC DE 5.03,8.01,9.01 12/06/07
ACUSPHERE INC DE 5.03,9.01 12/06/07
Affinia Group Intermediate Holdings I DE 1.01,9.01 12/05/07
AIRNET SYSTEMS INC OH 8.01 12/03/07
ALL Fuels & Energy Co DE 3.02,8.01,9.01 12/04/07
ALLEGHENY TECHNOLOGIES INC DE 5.02,9.01 12/06/07
ALLETE INC MN 8.01 12/05/07
Allied Nevada Gold Corp DE 7.01,9.01 12/05/07
ALLTEL CORP DE 1.01,2.03,9.01 12/07/07
ALSERES PHARMACEUTICALS INC /DE DE 5.03,9.01 12/06/07
ALSERES PHARMACEUTICALS INC /DE DE 1.01,9.01 12/04/07
ALTAIR NANOTECHNOLOGIES INC A6 1.01,9.01 12/03/07
ALTRIA GROUP, INC. VA 1.01,2.03,9.01 12/04/07
AMC ENTERTAINMENT INC DE 7.01,9.01 12/07/07
AMERICAN EAGLE OUTFITTERS INC DE 7.01,9.01 12/05/07
AMERICAN INTERNATIONAL GROUP INC DE 8.01 12/05/07
AMERICAN INTERNATIONAL GROUP INC DE 8.01 12/05/07 AMEND
AMERICAN MORTGAGE ACCEPTANCE CO MA 2.01,7.01,8.01,9.01 12/03/07
AMERICAN PETRO-HUNTER INC NV 5.02 12/05/07
American Reprographics CO DE 1.01,1.02,2.03,9.01 12/06/07
AMERISOURCEBERGEN CORP DE 8.01,9.01 12/04/07
AMREP CORP. OK 5.02 12/03/07
AMYLIN PHARMACEUTICALS INC DE 5.02,8.01,9.01 12/05/07
ARIBA INC DE 8.01 12/03/07
ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 12/06/07
ASHWORTH INC DE 8.01,9.01 03/29/07
ASTRATA GROUP INC NV 4.01,9.01 11/20/07 AMEND
AT&T INC. DE 8.01,9.01 12/06/07
ATLAS MINING CO ID 5.02 11/30/07
AVANIR PHARMACEUTICALS CA 4.02 11/19/07 AMEND
AVIGEN INC \DE DE 1.02,9.01 12/04/07
AVIGEN INC \DE DE 5.02 12/05/07
Aviza Technology, Inc. DE 1.01 12/05/07
AXIS CAPITAL HOLDINGS LTD 8.01,9.01 12/06/07
BAXTER INTERNATIONAL INC DE 8.01,9.01 12/04/07
BEAZER HOMES USA INC DE 5.04,9.01 12/07/07
Belvedere SoCal CA 5.02,8.01,9.01 12/05/07
BERKSHIRE HILLS BANCORP INC 9.01 09/21/07 AMEND
Black Tusk Minerals Inc. NV 1.01,9.01 12/05/07
BLUEFLY INC DE 5.03,9.01 12/05/07
BOE FINANCIAL SERVICES OF VIRGINIA IN VA 7.01,9.01 12/07/07
Boo Koo Holdings, Inc FL 1.02,9.01 12/04/07
BOSTON FINANCIAL QUALIFIED HOUSING TA DE 7.01,9.01 12/07/07
BUCKHEAD COMMUNITY BANCORP INC 2.01,5.02,9.01 12/04/07
CABOT CORP DE 5.02 12/06/07
CALLIDUS SOFTWARE INC 5.02,9.01 12/06/07
CALYPSO WIRELESS INC DE 5.02,9.01 12/03/07
CANO PETROLEUM, INC 3.02,5.03,9.01 12/04/07
Catalyst Pharmaceutical Partners, Inc DE 8.01,9.01 12/07/07
CELADON GROUP INC DE 7.01,9.01 12/03/07
Centerplate, Inc. DE 5.02 12/05/07
CHECKPOINT SYSTEMS INC PA 5.02,9.01 12/06/07
Citigroup Mortgage Loan Trust 2007-10 8.01,9.01 10/31/07
COGNIZANT TECHNOLOGY SOLUTIONS CORP 5.02,8.01,9.01 12/06/07
CONSOLIDATED MINERALS MANAGEMENT INC MT 3.02 12/07/07
CORDIA CORP NV 8.01 12/07/07
CORUS BANKSHARES INC MN 5.02,9.01 12/07/07
CORUS BANKSHARES INC MN 5.02,8.01,9.01 11/27/07
COVAD COMMUNICATIONS GROUP INC DE 8.01,9.01 12/07/07
CRDENTIA CORP DE 1.01,9.01 12/05/07
CROWN CASTLE INTERNATIONAL CORP DE 5.02,9.01 12/05/07
CSS INDUSTRIES INC DE 2.01,9.01 12/03/07
CV THERAPEUTICS INC DE 8.01,9.01 12/07/07
Deja Foods Inc 1.03,3.03,5.01,5.02,5.03,9.01 12/03/07 AMEND
DEL LABORATORIES INC DE 1.01,8.01,9.01 12/06/07
DELTA AIR LINES INC /DE/ DE 7.01,9.01 12/07/07
DELTA FINANCIAL CORP DE 2.04,8.01,9.01 12/06/07
DENDREON CORP DE 5.02,9.01 12/05/07
DICKS SPORTING GOODS INC DE 8.01,9.01 11/30/07
DIGITAL ANGEL CORP DE 5.02,8.01 12/04/07
DILLARDS INC DE 7.01,9.01 12/06/07
DISCOVERY LABORATORIES INC /DE/ DE 1.01,8.01,9.01 12/07/07
DOCUMENT SCIENCES CORP DE 5.03,9.01 12/06/07
DOLLAR TREE STORES INC VA 7.01,9.01 12/06/07
DORAL FINANCIAL CORP PR 5.02,7.01,9.01 12/04/07
DOW JONES & CO INC DE 5.02,9.01 12/06/07
DPAC TECHNOLOGIES CORP CA 1.01,9.01 12/05/07
DTE ENERGY CO MI 7.01,8.01,9.01 12/07/07
DTE ENERGY CO MI 5.02,9.01 12/06/07
DYAX CORP DE 5.03,9.01 12/03/07
DYNTEK INC DE 5.02,7.01,9.01 12/03/07
E TRADE FINANCIAL CORP DE 8.01,9.01 12/07/07
ECOLAB INC DE 5.03,8.01,9.01 12/06/07
ECOTALITY, INC. NV 1.01,2.03,3.02,9.01 12/04/07
EDGEWATER TECHNOLOGY INC/DE/ DE 8.01,9.01 12/05/07
ELECTRO RENT CORP CA 8.01,9.01 12/06/07
EMAGIN CORP DE 5.02,9.01 12/05/07
EMISPHERE TECHNOLOGIES INC DE 5.02 12/07/07
Encore Bancshares Inc TX 1.01,9.01 12/06/07
ENER1 INC FL 7.01,9.01 12/07/07
EnerSys DE 8.01 12/03/07
EnterConnect Inc NV 1.01,3.02,9.01 12/06/07
EPIC ENERGY RESOURCES, INC. CO 1.01,2.01,3.02,9.01 12/05/07
EQUINIX INC DE 5.02,9.01 12/06/07
Esmark INC DE 1.01 12/03/07
ESTERLINE TECHNOLOGIES CORP DE 2.02,9.01 12/06/07
eTelecare Global Solutions, Inc. 1.01,9.01 12/04/07
Ethos Environmental, Inc. NV 4.01,9.01 11/30/07
EYI INDUSTRIES INC. 1.01 11/28/07
FAIRPOINT COMMUNICATIONS INC DE 8.01,9.01 12/07/07
FIRST BANCORP /PR/ PR 7.01,9.01 12/07/07
FISERV INC WI 2.01,5.02,7.01,9.01 12/03/07
FMC TECHNOLOGIES INC DE 1.01,1.02,9.01 12/06/07
FORD MOTOR CO DE 3.02 12/04/07
FOREST CITY ENTERPRISES INC OH 2.02,9.01 12/06/07
FOREST CITY ENTERPRISES INC OH 2.02,9.01 12/06/07
FORSTER DRILLING CORP NV 5.02 11/29/07
Fortunet, Inc. NV 5.02,9.01 12/06/07
FOUNDRY NETWORKS INC DE 1.01,2.03,5.02,5.03,9.01 12/03/07
FREQUENCY ELECTRONICS INC DE 2.02 12/07/07
GANDER MOUNTAIN CO MN 2.01,2.03,3.02,7.01,9.01 12/06/07
GEMSTAR TV GUIDE INTERNATIONAL INC DE 8.01,9.01 12/06/07
GEMSTAR TV GUIDE INTERNATIONAL INC DE 8.01,9.01 12/07/07
GEMSTAR TV GUIDE INTERNATIONAL INC DE 1.01,3.01,8.01,9.01 12/07/07
GENZYME CORP MA 5.02,9.01 12/03/07
GEORESOURCES INC CO 1.01,2.01,2.03,8.01,9.01 10/16/07 AMEND
GLOBAL CASINOS INC UT 7.01,9.01 12/07/07
GLOBAL ENERGY INC NV 3.02,5.02 12/06/07
GOTTSCHALKS INC DE 5.03,8.01,9.01 12/04/07
GREAT ATLANTIC & PACIFIC TEA CO INC MD 1.01,2.01,2.03,9.01 12/03/07 AMEND
GREAT WEST GOLD, INC. WY 8.01,9.01 12/07/07
GREAT WEST LIFE & ANNUITY INSURANCE C CO 8.01,9.01 12/06/07
GREIF INC DE 2.02,5.02,5.03,9.01 12/04/07
Grosvenor Explorations Inc. NV 5.02 12/07/07
GS FINANCIAL CORP LA 5.02,9.01 12/04/07
Guidance Software, Inc. DE 5.02,7.01,9.01 12/06/07
GULFPORT ENERGY CORP DE 1.01,7.01,9.01 12/07/07
HAIN CELESTIAL GROUP INC DE 5.03,9.01 12/05/07
HarborView 2007-7 DE 8.01,9.01 12/04/07 AMEND
HARTFORD LIFE INSURANCE CO CT 9.01 12/07/07
HEALTH MANAGEMENT ASSOCIATES INC DE 5.03,9.01 12/05/07
HEI INC MN 1.01,3.01,5.02,9.01 12/05/07
HEMISPHERX BIOPHARMA INC DE 8.01 12/07/07
HERSHEY CO DE 5.03,9.01 12/04/07
HEWITT ASSOCIATES INC DE 5.02,9.01 12/03/07
HF FINANCIAL CORP DE 5.03 12/06/07
HomeBanc 2007-1 DE 6.02 12/03/07
HORTON D R INC /DE/ DE 5.02 12/03/07
HUBBELL INC CT 1.01,5.02,9.01 12/03/07
HURCO COMPANIES INC IN 2.02 10/31/07
HUSKER AG LLC NE 1.01,1.02 12/03/07
ICF International, Inc. DE 1.01,2.01,8.01,9.01 12/03/07
ICO INC TX 2.02,7.01,9.01 12/06/07
ILINC COMMUNICATIONS INC DE 5.03,9.01 12/05/07
ILX RESORTS INC AZ 2.02,9.01 11/14/07 AMEND
IMAGE SENSING SYSTEMS INC MN 1.01,2.01,2.03,3.02,8.01,9.01 12/04/07
IMMUNICON CORP 3.01,7.01,9.01 12/05/07
IMPERIAL CAPITAL BANCORP, INC. DE 5.03,9.01 12/03/07
INDEVUS PHARMACEUTICALS INC DE 5.03,9.01 12/04/07
INNOVATIVE SOLUTIONS & SUPPORT INC PA 2.02 12/05/07
INTELLIGENT SYSTEMS CORP GA 5.03,9.01 12/07/07
INTELSAT LTD 8.01 12/06/07
INTERNATIONAL TEXTILE GROUP INC DE 1.01,2.03 12/03/07
Intrepid Global Imaging 3D, INC. DE 8.01 12/03/07
ISIS PHARMACEUTICALS INC DE 9.01 09/28/07 AMEND
ISLE OF CAPRI CASINOS INC DE 5.02,9.01 12/03/07
ISONICS CORP CA 3.01 12/06/07
ITC DELTACOM INC DE 8.01,9.01 12/07/07
IWT TESORO CORP NV 4.01,9.01 12/05/07
Jingwei International LTD NV 5.02,9.01 11/30/07
JOY GLOBAL INC DE 2.02,7.01,9.01 12/06/07
KELLWOOD CO DE 2.02,8.01,9.01 12/07/07
KENEXA CORP 8.01,9.01 12/07/07
KILROY REALTY CORP MD 5.02 12/06/07 AMEND
KING PHARMACEUTICALS INC TN 8.01,9.01 12/06/07
KNOBIAS, INC. DE 8.01,9.01 12/03/07
LA-Z-BOY INC MI 8.01 12/07/07
LEFT BEHIND GAMES INC. WA 5.01,5.02 12/03/07
LEHMAN BROTHERS HOLDINGS INC DE 5.02 12/07/07
LEINER HEALTH PRODUCTS INC DE 8.01 12/07/07
Lexaria Corp. 8.01,9.01 10/31/07
LEXINGTON REALTY TRUST MD 2.02,7.01,9.01 12/06/07
LIN TV CORP DE 5.03,8.01,9.01 12/05/07
Lincolnway Energy, LLC IA 8.01 12/04/07
LIQUIDITY SERVICES INC 7.01,9.01 12/06/07
LYDALL INC /DE/ DE 5.02 12/04/07
MACROVISION CORP DE 8.01,9.01 12/07/07
MAJESCO ENTERTAINMENT CO DE 8.01,9.01 12/06/07
Marquee Holdings Inc. DE 7.01,9.01 12/07/07
MARTEN TRANSPORT LTD DE 8.01,9.01 12/04/07
MARTHA STEWART LIVING OMNIMEDIA INC DE 5.03,9.01 12/06/07
MAVERICK OIL & GAS, INC. 2.04,9.01 12/03/07
MDC PARTNERS INC A6 2.01,9.01 10/18/07 AMEND
MEDICIS PHARMACEUTICAL CORP DE 8.01,9.01 12/05/07
MERRILL LYNCH & CO INC DE 5.02,9.01 12/03/07
MetLife Insurance CO of Connecticut DE 8.01 12/07/07
MetLife Life & Annuity CO of Connecti CT 2.01 12/07/07
METROPCS COMMUNICATIONS INC DE 1.01,8.01 12/03/07
MF Global Ltd. D0 1.01,9.01 12/03/07
MFB CORP IN 8.01 09/30/07
MGM MIRAGE DE 1.01,9.01 12/03/07
MGM MIRAGE DE 8.01 12/04/07
MGM MIRAGE DE 5.03,9.01 12/04/07
MICROCHIP TECHNOLOGY INC DE 1.01,2.03,3.02,8.01,9.01 12/03/07
MICROFIELD GROUP INC OR 5.02,8.01,9.01 12/05/07
MIDWEST AIR GROUP INC WI 8.01,9.01 12/07/07
MIDWEST BANC HOLDINGS INC DE 3.03,5.03,8.01,9.01 12/05/07
MILACRON INC DE 5.02,9.01 12/03/07
MILLENNIUM BIOTECHNOLOGIES GROUP INC DE 1.01,2.03,3.02,9.01 11/30/07
MOBILE SERVICES GROUP INC DE 5.02 12/03/07
MOBILE STORAGE GROUP INC DE 1.02,5.02 12/03/07
MOBILITY ELECTRONICS INC DE 5.02,9.01 12/05/07
MORGAN STANLEY CHARTER ASPECT L.P. DE 5.02 12/03/07
MORGAN STANLEY CHARTER CAMPBELL LP DE 5.02 12/03/07
MORGAN STANLEY CHARTER GRAHAM LP/ DE 5.02 12/03/07
MORGAN STANLEY CHARTER WCM L.P. DE 5.02 12/03/07
MORGAN STANLEY CORNERSTONE FUND II L. NY 5.02 12/03/07
MORGAN STANLEY CORNERSTONE FUND III L NY 5.02 12/03/07
MORGAN STANLEY CORNERSTONE FUND IV L. NY 5.02 12/03/07
MORGAN STANLEY DIVERSIFIED FUTURES FU DE 5.02 12/03/07
MORGAN STANLEY DIVERSIFIED FUTURES FU DE 5.02 12/03/07
MORGAN STANLEY PORTFOLIO STRATEGY FUN DE 5.02 12/03/07
MORGAN STANLEY PRINCIPAL PLUS FUND L. DE 5.02 12/03/07
MORGAN STANLEY SPECTRUM CURRENCY LP DE 5.02 12/03/07
MORGAN STANLEY SPECTRUM GLOBAL BALANC DE 5.02 12/03/07
MORGAN STANLEY SPECTRUM SELECT LP DE 5.02 12/03/07
MORGAN STANLEY SPECTRUM STRATEGIC LP NY 5.02 12/03/07
MORGAN STANLEY SPECTRUM TECHNICAL LP DE 5.02 12/03/07
Morningstar, Inc. IL 7.01 12/07/07
MORRIS PUBLISHING GROUP LLC GA 5.02 12/07/07
MOVIE GALLERY INC DE 7.01 11/30/07
MTS SYSTEMS CORP MN 7.01,9.01 12/07/07
Mueller Water Products, Inc. DE 5.02,9.01 12/03/07
MYLAN INC. PA 8.01,9.01 12/06/07
NASTECH PHARMACEUTICAL CO INC DE 8.01,9.01 12/05/07
NATCO GROUP INC DE 3.02,8.01 12/07/07
NATIONAL BEVERAGE CORP DE 2.02,9.01 12/06/07
NATIONAL CITY CORP DE 5.02,9.01 12/07/07
NATIONAL HEALTH INVESTORS INC MD 1.02 12/06/07
NATIONAL PENN BANCSHARES INC PA 5.02,8.01,9.01 12/07/07
NaturalNano , Inc. NV 1.01,9.01 12/07/07
NAVTEQ CORP DE 8.01,9.01 12/05/07
NETMANAGE INC DE 5.02,9.01 09/07/07 AMEND
NEWMONT MINING CORP /DE/ DE 7.01,9.01 12/06/07
NEWS CORP 5.02,8.01,9.01 12/07/07
NNN 2003 VALUE FUND LLC 1.01,9.01 12/03/07
NOBLE ENERGY INC DE 5.02 12/03/07
NORTH AMERICAN SCIENTIFIC INC 9.01 04/24/07 AMEND
NORTH AMERICAN SCIENTIFIC INC 9.01 03/22/07 AMEND
NYMAGIC INC NY 7.01,9.01 12/07/07
Oracle Healthcare Acquisition Corp. 1.01,9.01 12/03/07
OSI SYSTEMS INC CA 1.01,3.03 12/05/07
OTTER TAIL CORP MN 1.01,9.01 12/03/07
Owens Corning DE 5.02 12/06/07
OYO GEOSPACE CORP DE 2.02,9.01 12/07/07
PACIFIC HEALTH CARE ORGANIZATION INC 5.02 11/28/07
PALL CORP NY 3.01 10/17/07
PARK NATIONAL CORP /OH/ OH 8.01,9.01 12/07/07
PATRIOT TRANSPORTATION HOLDING INC FL 1.01,2.02,5.02,5.03,9.01 12/04/07
PENFORD CORP WA 1.01,9.01 12/06/07
PENSKE AUTOMOTIVE GROUP, INC. DE 5.03,9.01 12/07/07
People's United Financial, Inc. DE 5.02,5.03,9.01 12/07/07
PERRY ELLIS INTERNATIONAL INC FL 5.02,9.01 12/06/07
PETROHAWK ENERGY CORP DE 2.01,8.01,9.01 11/30/07
PETROQUEST ENERGY INC DE 8.01 12/07/07
PHARMION CORP 5.03,9.01 12/05/07
PHILADELPHIA CONSOLIDATED HOLDING COR PA 8.01,9.01 12/06/07
PINNACLE BANCSHARES INC AL 8.01,9.01 12/07/07
PLURISTEM LIFE SYSTEMS INC NV 8.01,9.01 12/07/07
POMEROY IT SOLUTIONS INC DE 8.01,9.01 12/06/07
POWERWAVE TECHNOLOGIES INC DE 5.02,9.01 12/06/07
PPG INDUSTRIES INC PA 1.01 12/03/07
PPL CORP PA 8.01,9.01 12/07/07
PRA International DE 5.02 12/03/07
PRAXAIR INC DE 8.01,9.01 12/07/07
PRINCIPAL LIFE INCOME FUNDINGS TRUST 8.01,9.01 10/01/07
PROTECTIVE LIFE CORP DE 1.01,2.03,9.01 12/04/07
PRUDENTIAL FINANCIAL INC NJ 2.03,3.02,8.01,9.01 12/07/07
PSB Holdings, Inc. 5.03,9.01 12/05/07
QUALITY DISTRIBUTION INC FL 7.01,9.01 12/07/07
Quest Energy Partners, L.P. DE 9.01 11/15/07 AMEND
QUICKLOGIC CORPORATION CA 5.02 12/04/07
QUIKSILVER INC DE 5.03,9.01 12/05/07
RADIANT LOGISTICS, INC DE 5.02 12/04/07
ReoStar Energy CORP 1.01,9.01 12/04/07
REPUBLIC AIRWAYS HOLDINGS INC DE 5.02 12/07/07
REX ENERGY CORP DE 7.01,9.01 12/07/07
RUSS BERRIE & CO INC NJ 5.02,8.01,9.01 12/03/07
SACO I Trust 2007-1 DE 6.02 12/03/07
SALESFORCE COM INC DE 5.03,9.01 12/06/07
SAMOYED ENERGY CORP 5.02 12/03/07
SANDERSON FARMS INC MS 2.02,9.01 12/04/07
SANTANDER BANCORP 7.01,9.01 12/07/07
SANTARUS INC DE 8.01 12/07/07
SANTARUS INC DE 5.03,9.01 12/05/07
SCHNITZER STEEL INDUSTRIES INC OR 5.02,9.01 12/07/07
SCHWEITZER MAUDUIT INTERNATIONAL INC DE 5.02 12/04/07
SCIELE PHARMA, INC. DE 5.02 12/04/07
SCIENTIFIC LEARNING CORP DE 5.02,9.01 12/06/07
SCOTTS MIRACLE-GRO CO OH 5.02,9.01 12/03/07
SEA CONTAINERS LTD /NY/ 8.01,9.01 11/30/07
SEAWAY VALLEY CAPITAL CORP 9.01 12/07/07
SEQUENOM INC DE 5.03,9.01 12/04/07
SHAW GROUP INC LA 2.02,9.01 12/06/07
SHAW GROUP INC LA 2.02,9.01 12/07/07
Shire plc 8.01,9.01 12/07/07
SIERRA PACIFIC RESOURCES /NV/ NV 8.01,9.01 12/05/07
SIMMONS CO DE 5.02,9.01 12/04/07
SIRONA DENTAL SYSTEMS, INC. DE 2.02,9.01 12/07/07
SLM Student Loan Trust 2007-8 DE 1.01,2.01,9.01 12/06/07
SMITH & WESSON HOLDING CORP NV 7.01,9.01 12/07/07
SONOCO PRODUCTS CO SC 7.01,9.01 12/07/07
SOUNDBITE COMMUNICATIONS INC 1.01 12/05/07
SOURCE INTERLINK COMPANIES INC DE 2.02,7.01,9.01 12/06/07
SPACEHAB INC \WA\ WA 5.02,9.01 12/04/07
SportsQuest, Inc. NJ 8.01,9.01 12/07/07
SRI SURGICAL EXPRESS INC FL 1.01,9.01 12/03/07
STAGE STORES INC NV 8.01,9.01 12/06/07
STANDARD PARKING CORP DE 5.02,8.01,9.01 12/06/07
STANLEY FURNITURE CO INC. DE 5.02,5.03,8.01,9.01 12/04/07
STAR BUFFET INC DE 1.01,9.01 12/03/07
STAR GAS PARTNERS LP DE 2.02,9.01 12/07/07
STONEMOR PARTNERS LP DE 1.01,7.01,9.01 12/04/07
Stratos Renewables CORP 4.01,9.01 12/06/07
STRATS (SM) TRUST FOR JPMORGAN CHASE 8.01,9.01 12/03/07
STRATS SM TRUST FOR IBM CORP SEC SERI 8.01,9.01 11/29/07
Strats(SM) Trust for JPMorgan Chase C 8.01,9.01 12/03/07
STRATS(SM) Trust For Morgan Stanley S 8.01,9.01 12/03/07
SunOpta Inc. 1.01,8.01,9.01 12/07/07
SUNPOWER CORP CA 1.01,7.01,9.01 12/03/07
SUPERTEL HOSPITALITY INC VA 5.03,9.01 12/06/07
SUPREME INDUSTRIES INC DE 1.01,9.01 12/05/07
SUREWEST COMMUNICATIONS CA 1.01,9.01 12/06/07
SYNERGETICS USA INC 7.01,9.01 12/06/07
Synvista Therapeutics, Inc. DE 1.01,5.02,5.03,9.01 12/05/07
TAIWAN FUND INC DE 7.01,9.01 10/01/07
TAPESTRY PHARMACEUTICALS, INC DE 5.02 12/03/07
Tarpon Industries, Inc. MI 9.01 12/05/07
TEAM FINANCIAL INC /KS KS 8.01,9.01 12/05/07
TECO ENERGY INC FL 8.01,9.01 12/06/07
Teleplus World, Corp. 5.02 11/26/07
TEMPLE INLAND INC DE 8.01,9.01 12/07/07
THIRD-ORDER NANOTECHNOLOGIES INC NV 7.01,9.01 12/07/07
TJX COMPANIES INC /DE/ DE 5.02 12/03/07
TRANSOCEAN INC E9 7.01,9.01 12/07/07
TUESDAY MORNING CORP/DE DE 5.02 12/05/07
UAL CORP /DE/ DE 1.01,2.03,7.01,9.01 12/05/07
UDR, Inc. MD 7.01,9.01 12/07/07
UNIFY CORP DE 4.02 12/06/07 AMEND
United States Natural Gas Fund, LP 1.01,9.01 12/04/07
Uplift Nutrition, Inc. NV 8.01,9.01 12/05/07
URANIUM RESOURCES INC /DE/ DE 9.01 04/10/06 AMEND
UROPLASTY INC MN 1.01,9.01 12/06/07
Utilicraft Aerospace Industries, Inc. NV 1.02 12/07/07
VERIZON COMMUNICATIONS INC DE 5.02 12/06/07
VIASPACE Inc. NV 1.01 12/04/07
VIEWPOINT CORP DE 8.01 12/06/07
ViewPoint Financial Group X1 8.01,9.01 12/06/07
VILLAGE SUPER MARKET INC NJ 7.01,9.01 12/07/07
VIRCO MFG CORPORATION DE 2.02,9.01 12/07/07
Virtual Radiologic CORP 1.01,8.01,9.01 12/03/07
VOXWARE INC DE 1.01 12/03/07
Voyager Petroleum, Inc. NV 5.02,9.01 12/07/07
WAKO LOGISTICS GROUP INC 5.03,9.01 12/03/07
Western Dubuque Biodiesel, LLC IA 8.01 12/05/07
Western Union CO DE 5.03,9.01 12/04/07
WHITE ELECTRONIC DESIGNS CORP ID 5.03,9.01 12/05/07
WHOLE FOODS MARKET INC TX 5.02 12/07/07
WIRELESS AGE COMMUNICATIONS INC NV 8.01 12/07/07
WORLD FUEL SERVICES CORP FL 7.01,9.01 12/07/07
XM SATELLITE RADIO HOLDINGS INC DE 5.03,8.01,9.01 12/07/07
XTENT INC 1.01 12/03/07
YUM BRANDS INC NC 8.01,9.01 12/07/07
Zep Inc. DE 2.02,7.01,9.01 12/07/07
`
http://www.sec.gov/news/digest/2007/dig121007.htm
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