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SEC NEWS DIGEST
Issue 2007-238 December 12, 2007
COMMISSION ANNOUNCEMENTS
SEC ANNOUNCES ROUNDTABLE DISCUSSIONS REGARDING INTERNATIONAL FINANCIAL
REPORTING STANDARDS
The Securities and Exchange Commission announced today that it will
host two roundtable discussions in December on issues surrounding the
growing prevalence of International Financial Reporting Standards
(IFRS).
The first roundtable, on Dec. 13, 2007, will address the issues
arising from the current co-existence of two accounting standards in
the U.S. markets - a development that has been accelerated by Europe's
decision to mandate IFRS for all public companies beginning in 2005.
Under current rules, public companies with U.S. listings that are
domiciled in other countries often use IFRS. The roundtable will
consist of two panels, which will look at the effect of allowing
foreign companies the choice of whether to use IFRS or U.S. Generally
Accepted Accounting Principles (U.S. GAAP), and denying that same
choice to U.S. issuers. The first panel will explore these issues
primarily from the perspective of U.S. investors, issuers, and
markets, and the second panel primarily from the perspective of the
global markets.
The second roundtable, on Dec. 17, 2007, will focus on the practical
issues surrounding the possible future use of IFRS by U.S. companies.
The first panel will explore these issues primarily from the
perspective of U.S. investors, issuers, and markets. The second panel
will discuss the experience of those global markets and foreign
companies that have already completed the transition to IFRS.
"For several years, U.S. investors have witnessed the growing use of
IFRS in U.S. markets by overseas companies with U.S. listings," said
SEC Chairman Christopher Cox. "In effect, for the last few years U.S.
investors have been dealing with two competing accounting systems -
IFRS for many U.S. listed companies from overseas, and U.S. GAAP for
domestic issuers. The mandatory use of IFRS throughout Europe and
increasingly throughout the world requires us to consider the impacts
on our domestic markets."
The roundtables will begin at 9 a.m. ET and will be held in the
Auditorium at the Commission's headquarters at 100 F Street NE,
Washington, D.C. The roundtables will be open to the public with
seating on a first-come, first-served basis. Doors will open at 8:30
a.m. and visitors will be subject to security checks. The roundtable
discussions also will be available via webcast on the Commission's Web
site at www.sec.gov.
The agendas for the roundtables and the list of participants are
accessible at www.sec.gov/spotlight/ifrsroadmap.htm.
The Commission welcomes feedback regarding any of the topics to be
addressed at the roundtables. The information that is submitted will
become part of the public record of the roundtables. Submissions to
the Commission may be provided by any of the following methods:
Electronic submissions:
* Use the Commission's Internet submission form.
* Send an e-mail to rule-comments@sec.gov.
Paper submissions:
* Send paper submissions in triplicate to Nancy M. Morris,
Secretary, Securities and Exchange Commission, 100 F Street
NE, Washington, D.C. 20549-1090.
All submissions should refer to File Number 4-552. This file number
should be included on the subject line if e-mail is used. To help
process and review submissions more efficiently, please use only one
method. The Commission will post all submissions on its Web site at
www.sec.gov.
Please note that all submissions received will be posted without
change; the SEC does not edit personal identifying information from
submissions. Only information desired to be shared publicly should be
submitted. (Press Rel. 2007-261)
ENFORCEMENT PROCEEDINGS
ANTHONY P. DOLANSKI, CPA REINSTATED TO APPEAR AND PRACTICE BEFORE THE
COMMISSION AS AN ACCOUNTANT RESPONSIBLE FOR THE PREPARATION OR REVIEW
OF FINANCIAL STATEMENTS REQUIRED TO BE FILED WITH THE COMMISSION
Pursuant to Rule 102(e)(5)(i) of the Commission's Rules of Practice,
Anthony P. Dolanski, CPA has applied for and been granted
reinstatement of his privilege to appear and practice before the
Commission as an accountant responsible for the preparation or review
of financial statements required to be filed with the Commission. Mr.
Dolanski was suspended from appearing or practicing before the
Commission on March 21, 2006. His reinstatement is effective
immediately. (Rel. 34-56942; AAE Rel. 2756; File No. 3-12244).
IN THE MATTER OF CERTAIN INDEX OPTION TRADING PROGRAMS
The Commission announced that on Dec. 6, 2007, it filed an emergency
civil action against Terry E. Provence (Provence) and DT Capital LLC
(DT Capital), in connection with their alleged roles in a fraudulent
options trading scheme. On Dec. 7, 2007, the Honorable K. Michael
Moore, United States District Judge for the Southern District of
Florida entered, among other things, an emergency order temporarily
freezing the assets of Provence and DT Capital.
The Commission's complaint (Complaint) alleges that no later than
March 2007 and continuing until at least August 2007, Provence pitched
a sham index option trading program to primarily inexperienced
investors with false promises that their principal would be safe. The
Complaint also alleges that Provence created, controlled and used DT
Capital as a vehicle to marshal investor funds and promote the options
program. The Complaint further alleges that Provence and DT Capital
falsely represented that a major brokerage firm guaranteed the safety
of investor principal, that the actual options trader, Fredrick J.
Kunen (Kunen), was a licensed securities trader and director at the
brokerage firm, that the options program had a successful ten-year
track record, and that investors could expect extraordinary returns.
Kunen died on July 11, 2007. In addition, the Complaint alleges, among
other things, that Provence and DT Capital used their
misrepresentations to raise at least $3.5 million from approximately
forty investors and that Provence and DT Capital profited by at least
$130,000.
The Commission's Complaint charges Provence and DT Capital with
violating the antifraud provisions of Section 17(a) of the Securities
Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934
(Exchange Act) and Rule 10b-5 thereunder, and with violating Section
15(a) of the Exchange Act. The Complaint seeks, among other things,
preliminary and permanent injunctions against Provence and DT Capital,
disgorgement of ill-gotten profits and civil money penalties against
Provence and DT Capital, and an accounting from Provence and DT
Capital.
Previously, on Aug. 23, 2007, the Commission filed a civil action
against the personal representative of Kunen's probate estate,
seeking, among other things, an asset freeze and the appointment of a
Receiver over the estate. SEC v. Charles O. Morgan, Jr., as Personal
Representative of the Estate of Frederick J. Kunen, Case No. 07-22204-
CIV-GOLD (S.D. Fla.). For more information on this case see Litigation
Release No. 20253 (August 24, 2007). [SEC v. Terry E. Provence and DT
Capital LLC, Civil Case No. 07-23167-Cooke, USDC, S.D. Fla.] (LR-
20395)
INVESTMENT COMPANY ACT RELEASES
KIEWIT INVESTMENT FUND LLLP
An order has been issued on an application filed by Kiewit Investment
Fund LLLP to amend a prior order under Section 6(b) of the Investment
Company Act of 1940 to expand the class of persons eligible to
purchase and hold shares of an employees' securities company to
include certain specified immediate family members and grandchildren
of eligible employees. In addition, the order permits certain trusts
and other investment vehicles formed for the benefit of lineal
descendants of eligible employees to purchase and hold shares of the
employees' securities company. (Rel. IC-28076 - December 11)
SELF-REGULATORY ORGANIZATIONS
APPROVAL OF PROPOSED RULE CHANGE
The Commission granted approval of a proposed rule change (SR-OCC-
2006-09) filed by The Options Clearing Corporation under Section
19(b)(1) of the Securities Exchange Act of 1934. The rule change will
add new general choice of law and forum selection provisions to OCC's
By-Laws. Publication is expected in the Federal Register during the
week of December 10. (Rel. 34-56930)
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
The Options Clearing Corporation filed a proposed rule change (SR-OCC-
2007-07) under Section 19(b)(3)(A) of the Securities Exchange Act to
make minor technical changes to Sections 3 and 4 of Article XVI of
OCC's By-Laws pertaining to yield-based Treasury options. The proposed
rule change was effective upon filing with the Commission. Publication
is expected in the Federal Register during the week of December 10.
(Rel. 34-56931)
A proposed rule change and Amendment No. 1 thereto filed by the
Chicago Board Options Exchange (SR-CBOE-2007-127) relating to fee
changes 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. 34-56937)
ACCELERATED APPROVAL OF PROPOSED RULE CHANGE
The Commission granted accelerated approval to a proposed rule change
(SR-FINRA-2007-22) submitted by the Financial Industry Regulatory
Authority relating to FINRA's NYSE Rule 342.13 and the General
Securities Principal Examination. Publication is expected in the
Federal Register during the week of December 10. (Rel. 34-56936)
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 LTX CORP, 825 UNIVERSITY AVENUE, NORWOOD, MA, 02062, 7814611000 -
8,642,704 ($20,223,927.00) Equity, (File 333-147977 - Dec. 11) (BR. 10B)
SB-2 Your Way Holding Corp, 5220 S. Ulster Street #2221, Greenwood Village,
CO, 80111, 1,230,000 ($307,500.00) Equity, (File 333-147978 - Dec. 11)
(BR. 05)
SB-2 CASEY CORP INC, 5348 VEGAS DRIVE, LAS VEGAS, NV, 89108, 888 251 3422 -
0 ($300,000.00) Equity, (File 333-147979 - Dec. 11) (BR. 11)
SB-2 ORIGINOIL INC, 2029 Century Park East, 14th Floor, Los Angeles, CA,
90067, (404) 202-6944 - 32,001,455 ($3,222,145.50) Equity,
(File 333-147980 - Dec. 11) (BR. 06)
S-8 BANYAN CORP /OR/, 1925 CENTURY PARK EAST, SUITE 500, LOS ANGELES, CA,
90067, 1-800-808-0899 - 25,000,000 ($117,500.00) Equity,
(File 333-147981 - Dec. 11) (BR. 01A)
S-8 GAP INC, TWO FOLSOM STREET, SAN FRANCISCO, CA, 94105, 4159524400 -
3,000,000 ($61,440,000.00) Equity, (File 333-147986 - Dec. 11) (BR. 09A)
S-8 CUISINE SOLUTIONS INC, 85 SOUTH BRAGG ST, SUITE 600, ALEXANDRIA, VA,
22312, 703-270-2900 - 0 ($7,040,000.00) Equity, (File 333-147987 -
Dec. 11) (BR. 04B)
SB-2 GREEN DRAGON WOOD PRODUCTS, INC., UNIT 1914 19F MIRAMAR TOWER,
132 NATHAN RAOD, TSIM SHA TSUI, K3, 852, (852) 2482 5168 -
1,000,000 ($1,000,000.00) Equity, (File 333-147988 - Dec. 11) (BR. )
S-8 BROWN SHOE CO INC, 8300 MARYLAND AVE, P O BOX 29, ST LOUIS, MO, 63105,
3148544000 - 5,000,000 ($5,000,000.00) Other, (File 333-147989 -
Dec. 11) (BR. 09B)
S-3ASR Energy Transfer Partners, L.P., 2838 WOODSIDE, -, DALLAS, TX, 75204,
9184927272 - 0 ($0.00) Debt, 0 ($0.00) Equity, (File 333-147990 -
Dec. 11) (BR. 02B)
S-4 FRONTIER FINANCIAL CORP /WA/, 332 SW EVERETT MALL WAY, EVERETT, WA,
98204, 4255140700 - 0 ($116,222,230.00) Equity, (File 333-147991 -
Dec. 11) (BR. 07C)
S-3 APOLLO GOLD CORP, 5655 SOUTH YOSEMITE STREET, SUITE 200,
GREENWOOD VILLAGE, CO, 80111, 720-886-9656 -
7,827,272 ($3,757,090.56) Equity, (File 333-147992 - Dec. 11) (BR. 04A)
S-1 DIGITAL DOMAIN, 300 ROSE AVENUE, VENICE, CA, 90291, (310) 314-2800 -
0 ($100,000,000.00) Equity, (File 333-147993 - Dec. 11) (BR. )
S-8 CIGNA CORP, ONE LIBERTY PLACE, 1601 CHESTNUT STREET, PHILADELPHIA, PA,
19192-1550, 2157611000 - 20,000,000 ($20,000,000.00) Other,
(File 333-147994 - Dec. 11) (BR. 01A)
S-8 IRON MOUNTAIN INC, 745 ATLANTIC AVENUE, BOSTON, MA, 02111, 6175354766 -
923,757 ($33,495,428.82) Equity, (File 333-147995 - Dec. 11) (BR. 05B)
S-8 ZVUE CORP, 612 HOWARD STREET, SUITE 600, SAN FRANCISCO, CA, 94105,
415-495-6470 - 1,500,000 ($2,805,000.00) Equity, (File 333-147996 -
Dec. 11) (BR. 02A)
S-3 Cyclacel Pharmaceuticals, Inc., 200 CONNELL DRIVE, SUITE 1500,
BERKELEY HEIGHTS, NJ, 07922, 908-517-7330 - 0 ($23,311,536.00) Equity,
(File 333-147997 - Dec. 11) (BR. 01A)
SB-2 Sino Gas International Holdings, Inc., NO. 18 ZHONG GUAN CUN DONG ST.,
HAIDIAN DISTRICT, BEIJING,, F4, 100083, 011-86-10-82600527 -
10,111,836 ($32,357,875.20) Equity, (File 333-147998 - Dec. 11)
(BR. 02C)
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
ABRAXAS PETROLEUM CORP NV 1.01,7.01,9.01 12/05/07
ACCENTIA BIOPHARMACEUTICALS INC 2.03,7.01,9.01 12/10/07
ACME PACKET INC DE 5.03,9.01 12/07/07
ACTIVISION INC /NY DE 8.01 12/04/07
AEROSONIC CORP /DE/ DE 2.02,9.01 12/10/07
AETHLON MEDICAL INC NV 1.01,3.02,5.02,9.01 12/05/07
AFFILIATED MANAGERS GROUP INC DE 8.01,9.01 12/11/07
AFFORDABLE GREEN HOMES INTERNATIONAL NV 4.01,9.01 11/26/07 AMEND
AFFYMAX INC 5.02,9.01 12/06/07
AIR PRODUCTS & CHEMICALS INC /DE/ DE 8.01,9.01 12/11/07
AKORN INC LA 4.01,9.01 12/05/07
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 12/11/07
ALLIANCEBERNSTEIN HOLDING L.P. DE 8.01 12/10/07
ALLIANCEBERNSTEIN L.P. DE 8.01 12/10/07
AMERICAN BANK NOTE HOLOGRAPHICS INC DE 1.01,9.01 12/10/07
AMERICAN DAIRY INC UT 8.01,9.01 12/11/07
AMERICAN DENTAL PARTNERS INC DE 9.01 09/25/07 AMEND
AMERICAN ECOLOGY CORP DE 5.03,9.01 12/06/07
AMERICAN ECOLOGY CORP DE 5.02 12/06/07
AMERICAN MEDICAL SYSTEMS HOLDINGS INC DE 8.01 12/03/07
AMERICAN MORTGAGE ACCEPTANCE CO MA 2.01,7.01,8.01,9.01 12/03/07 AMEND
AMERISOURCEBERGEN CORP DE 8.01,9.01 12/11/07
AMPAL-AMERICAN ISRAEL CORP NY 7.01,9.01 12/10/07
Amtrust Financial Services, Inc. DE 8.01,9.01 12/06/07
ANDREW CORP DE 8.01,9.01 12/10/07
Apple REIT Seven, Inc. VA 9.01 09/27/07 AMEND
APPLIED MICRO CIRCUITS CORP DE 8.01,9.01 12/10/07
APPLIED MICRO CIRCUITS CORP DE 5.02 12/05/07
ARBOR REALTY TRUST INC MD 5.03,9.01 12/11/07
Argyle Security Acquisition CORP 7.01,9.01 12/11/07
ARIBA INC DE 8.01 12/05/07
ARVINMERITOR INC IN 1.01,9.01 09/17/07
ASPEN TECHNOLOGY INC /DE/ DE 5.02 12/06/07
ASSURANT INC 5.02 12/06/07
ASTRO MED INC /NEW/ RI 2.05,5.03,9.01 12/10/07
ATLANTIC COAST FEDERAL CORP X1 5.03,9.01 12/06/07
AVANIR PHARMACEUTICALS CA 2.02,9.01 12/11/07
Avantair, Inc DE 1.01,3.02,3.03,5.03,8.01,9.01 12/05/07
AVAX TECHNOLOGIES INC DE 8.01,9.01 12/10/07
BANKRATE INC FL 1.01,2.01,7.01,9.01 12/05/07
BAYLAKE CORP WI 7.01 12/11/07
BEAR STEARNS DEPOSITOR INC TRUST CERT 8.01,9.01 12/01/07
BEHRINGER HARVARD REIT I INC MD 8.01,9.01 12/11/07
BELO CORP DE 5.02,8.01,9.01 12/06/07
Biodel Inc 2.02,9.01 12/11/07
BIOJECT MEDICAL TECHNOLOGIES INC OR 1.01,2.03,3.02,9.01 12/05/07
BIOSPHERE MEDICAL INC DE 5.03,9.01 12/07/07
BIOVEST INTERNATIONAL INC DE 1.01,2.03,7.01,8.01,9.01 12/10/07
BORGWARNER INC DE 8.01 12/11/07
BOSTON CAPITAL TAX CREDIT FUND III L DE 7.01,9.01 12/11/07
BOYD GAMING CORP NV 5.02,5.03,9.01 12/06/07
BOYD GAMING CORP NV 5.02 07/26/07 AMEND
Bronco Drilling Company, Inc. DE 7.01,9.01 12/11/07
BRT REALTY TRUST MA 5.02,5.03,9.01 12/10/07
BSML INC UT 5.02,7.01,9.01 12/06/07
BUCKLE INC NE 8.01,9.01 12/11/07
BUSINESS OBJECTS S.A. 5.03,9.01 12/05/07
CA, INC. DE 5.02,9.01 12/10/07
CALPINE CORP DE 7.01,9.01 12/11/07
Camden Learning CORP DE 8.01,9.01 12/05/07
CAMERON INTERNATIONAL CORP DE 5.03,9.01 12/07/07
CANYON COPPER CORP. 5.02,9.01 12/10/07
CAPITAL ONE FINANCIAL CORP DE 5.02,9.01 12/11/07
CAPITAL PROPERTIES INC /RI/ RI 5.03,9.01 12/10/07
CAREER EDUCATION CORP DE 8.01 12/11/07
CARMIKE CINEMAS INC DE 7.01,9.01 12/11/07
CBIZ, Inc. DE 8.01,9.01 12/07/07
Celanese CORP DE 7.01,9.01 12/11/07
CELGENE CORP /DE/ DE 8.01,9.01 12/10/07
CELGENE CORP /DE/ DE 8.01,9.01 12/10/07
CHDT CORP FL 5.02,9.01 12/10/07
CHEM RX CORP DE 2.02,9.01 12/11/07
CHEM RX CORP DE 9.01 09/30/07 AMEND
Chemtura CORP DE 5.02,9.01 12/11/07
CHEROKEE INC DE 2.02,9.01 12/10/07
CHESAPEAKE CORP /VA/ VA 5.02,9.01 12/11/07
CHILDRENS PLACE RETAIL STORES INC 4.01,9.01 10/09/07 AMEND
China Display Technologies, Inc. DE 7.01,9.01 11/30/07
CHINA ORGANIC AGRICULTURE, INC. 5.02,7.01 12/05/07
CHUGACH ELECTRIC ASSOCIATION INC AK 5.02 12/07/07
CIT GROUP INC DE 8.01,9.01 12/10/07
CITIGROUP INC DE 5.02,9.01 12/11/07
Claymont Steel Holdings, Inc. DE 1.01,9.01 12/09/07
CLINICAL DATA INC DE 3.02,8.01,9.01 12/10/07
CMGI INC DE 5.03,9.01 12/05/07
CNB CORP /MI/ MI 8.01 12/10/07
COCA COLA CO DE 5.02,9.01 12/06/07
Cogent, Inc. DE 1.01,9.01 12/05/07
Compass Diversified Holdings DE 1.01,2.03,9.01 12/07/07
COMVERSE TECHNOLOGY INC/NY/ NY 8.01,9.01 12/10/07
CONAGRA FOODS INC /DE/ DE 5.02,7.01 12/11/07
CONSTELLATION BRANDS, INC. DE 1.01,9.01 12/05/07
COOPER COMPANIES INC DE 2.02,9.01 12/11/07
CorTS(R) Trust III For Verizon Global DE 8.01,9.01 12/01/07
COTT CORP /CN/ 5.02 12/05/07
CountryRoad Acquisition Corp. I 3.02 12/06/07
Covidien Ltd. D0 5.02 12/06/07
CPI INTERNATIONAL, INC. DE 5.02,9.01 11/30/07
CRITICAL PATH INC CA 1.01,8.01,9.01 12/05/07
CSG SYSTEMS INTERNATIONAL INC DE 5.02,9.01 11/14/07 AMEND
CSMC Mortgage-Backed Trust 2007-7 DE 8.01,9.01 12/11/07
CSP INC /MA/ MA 2.02,9.01 12/10/07
CTS CORP IN 5.02 12/11/07
CUISINE SOLUTIONS INC DE 5.03 12/11/07
Cyclacel Pharmaceuticals, Inc. DE 1.01,3.01,9.01 12/10/07
DANAHER CORP /DE/ DE 8.01,9.01 12/06/07
DCI USA, INC DE 5.02 11/20/07
DDI CORP CA 5.02,5.03,9.01 12/04/07
DEL GLOBAL TECHNOLOGIES CORP NY 2.02,9.01 10/27/07
DELPHI CORP DE 1.01,3.03,9.01 12/10/07
DELPHI CORP DE 1.01,9.01 12/10/07
DELTA FINANCIAL CORP DE 8.01 12/07/07
DENBURY RESOURCES INC DE 5.02,8.01,9.01 12/05/07
DIAMOND OFFSHORE DRILLING INC DE 7.01,9.01 12/10/07
DIGITAL IMAGING RESOURCES INC. DE 7.01,9.01 12/07/07
DIVERSIFIED INVESTORS CORP DE 8.01 11/16/07
DIXIE GROUP INC TN 8.01,9.01 12/11/07
DOUBLE EAGLE PETROLEUM CO MD 5.02,7.01,9.01 12/05/07
Duff & Phelps Corp DE 5.02 12/06/07
DUPONT E I DE NEMOURS & CO DE 5.04,9.01 12/07/07
EASTMAN CHEMICAL CO DE 5.02 12/06/06
EASYLINK SERVICES INTERNATIONAL CORP DE 1.01,9.01 12/01/07
ECOTALITY, INC. NV 1.01,9.01 12/11/07
EDGE PETROLEUM CORP DE 2.02 12/10/07
EESTech, Inc. 2.01,3.02 11/29/07
Eight Dragons Co. 8.01,9.01 12/03/07
EL PASO CORP/DE DE 7.01,9.01 12/11/07
Elixir Gaming Technologies, Inc. NV 1.01,9.01 12/11/07
ENBRIDGE ENERGY PARTNERS LP DE 8.01,9.01 09/30/07
Endeavor Acquisition Corp. DE 7.01,9.01 12/11/07
ENERGY EAST CORP NY 8.01,9.01 12/11/07
Energy Transfer Equity, L.P. DE 8.01,9.01 12/11/07
Energy Transfer Partners, L.P. DE 8.01,9.01 12/11/07
EON COMMUNICATIONS CORP DE 5.03 12/07/07
EON COMMUNICATIONS CORP DE 1.01 12/10/07
EXELON CORP PA 8.01,9.01 12/11/07
FAIR ISAAC CORP DE 1.01,5.03,8.01,9.01 12/07/07
FAIRCHILD SEMICONDUCTOR INTERNATIONAL DE 5.03 12/05/07
FARMER BROTHERS CO CA 1.01,5.02,5.05,7.01,8.01,9.01 12/06/07
FARMER BROTHERS CO CA 5.02,9.01 08/23/07 AMEND
Federal Home Loan Bank of Atlanta X1 2.03 12/05/07
Federal Home Loan Bank of Boston X1 2.03 12/05/07
Federal Home Loan Bank of Chicago X1 2.03 12/05/07
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 12/05/07
Federal Home Loan Bank of Des Moines X1 2.03,9.01 12/05/07
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 12/05/07
Federal Home Loan Bank of New York X1 2.03,9.01 12/05/07
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 12/05/07
Federal Home Loan Bank of San Francis X1 2.03 12/05/07
Federal Home Loan Bank of Seattle 2.03 12/10/07
Federal Home Loan Bank of Topeka 2.03 12/05/07
FEDERAL MOGUL CORP MI 1.01,9.01 12/11/07
FEDERAL NATIONAL MORTGAGE ASSOCIATION 3.02,7.01 12/04/07
FERRO CORP OH 7.01,9.01 12/10/07
FIRST MERCHANTS CORP IN 8.01 12/11/07
FIRST NATIONAL BANCSHARES INC /SC/ SC 7.01 12/11/07
FORCE PROTECTION INC NV 7.01 12/10/07
FOREFRONT HOLDINGS, INC. FL 5.02 12/05/07
Forestar Real Estate Group Inc. 1.01,3.03,5.03,9.01 12/11/07
FOUR OAKS FINCORP INC NC 1.01,9.01 12/10/07
FOX PETROLEUM INC. NV 3.02,9.01 11/28/07
FUELCELL ENERGY INC DE 2.02,9.01 12/10/07
GABRIEL TECHNOLOGIES CORP DE 1.01,4.01,8.01 10/01/07
GATX CORP NY 8.01,9.01 12/10/07
GB&T BANCSHARES INC GA 5.02 12/05/07
GENERAL GROWTH PROPERTIES INC DE 8.01,9.01 12/10/07
GENERAL MARITIME CORP/ 7.01 12/11/07
GENESIS ENERGY LP DE 1.01,9.01 12/06/07
GENESIS MICROCHIP INC /DE DE 8.01,9.01 12/10/07
GEOCOM RESOURCES INC NV 7.01,9.01 10/18/07
GEOGLOBAL RESOURCES INC. DE 7.01,9.01 12/11/07
GLOBAL EPOINT INC NV 1.01 12/06/07
Global Logistics Acquisition CORP DE 5.03,9.01 12/11/07
GLOBAL PAYMENT TECHNOLOGIES INC DE 3.01,9.01 12/06/07
GOLDEN TELECOM INC DE 5.03,9.01 12/07/07
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 12/07/07
GREAT LAKES BANCORP, INC. DE 8.01,9.01 12/11/07
GREATER ATLANTIC FINANCIAL CORP DE 1.01,9.01 12/06/07
Grubb & Ellis Apartment REIT, Inc. MD 7.01,9.01 12/11/07
Grubb & Ellis Healthcare REIT, Inc. MD 7.01,9.01 12/11/07
Grubb & Ellis Healthcare REIT, Inc. MD 1.01,2.03,9.01 12/05/07
GS Cleantech Corp DE 5.03 12/11/07
Guaranty Financial Group Inc. DE 1.01,3.03,5.03,9.01 12/11/07
H&R BLOCK INC MO 2.02,9.01 12/11/07
HAIGHTS CROSS COMMUNICATIONS INC DE 5.02,9.01 12/05/07
HALLIBURTON CO DE 5.02 12/06/07
HAWAIIAN ELECTRIC INDUSTRIES INC HI 1.01 12/07/07
HEALTH NET INC DE 7.01 12/11/07
HealthSpring, Inc. DE 1.01,1.02,2.01,2.03,3.02,5.02, 10/01/07 AMEND
9.01
HELIX ENERGY SOLUTIONS GROUP INC MN 5.02 12/06/07
HERCULES OFFSHORE, INC. DE 8.01 12/06/07
HICKOK INC OH 2.02,9.01 12/11/07
HONEYWELL INTERNATIONAL INC DE 5.02 12/07/07
HOOKER FURNITURE CORP VA 5.02 12/11/07
HORTON D R INC /DE/ DE 1.01,5.02 12/03/07
HUDSON TECHNOLOGIES INC /NY NY 3.01 12/06/07
HydroGen CORP NV 5.02,9.01 12/07/07
HYPERDYNAMICS CORP DE 5.02 12/07/07
I FLOW CORP /DE/ DE 5.03,9.01 12/05/07
IASIS Healthcare LLC DE 2.02,9.01 12/11/07
ICO INC TX 1.01,8.01,9.01 12/05/07
IMAX CORP A6 1.01 12/05/07
IMPERIAL OIL LTD 5.02,9.01 12/11/07
Inland American Real Estate Trust, In MD 9.01 11/21/07 AMEND
INTEGRA BANK CORP IN 5.02 12/06/07
INTEGRAL SYSTEMS INC /MD/ MD 5.02,9.01 12/05/07
INTERNATIONAL FUEL TECHNOLOGY INC NV 1.01 12/11/07
INTERNET AMERICA INC TX 1.01,3.02,3.03,5.02,9.01 12/10/07
J P MORGAN CHASE & CO DE 9.01 12/07/07
JAMES RIVER GROUP, INC DE 2.01,3.01,5.01,5.02,8.01,9.01 12/11/07
JOURNAL REGISTER CO DE 1.01,2.03,9.01 12/11/07
KENSEY NASH CORP DE 5.02,9.01 12/05/07
Key Hospitality Acquisition CORP DE 3.01,8.01,9.01 12/11/07
KeyOn Communications Holdings Inc. DE 1.02,9.01 12/05/07
KNIGHT INC. KS 1.01,9.01 12/10/07
KROGER CO OH 2.02,9.01 12/11/07
LCC INTERNATIONAL INC DE 2.02,9.01 12/11/07
LEARNING TREE INTERNATIONAL INC DE 5.02,9.01 12/06/07
LECROY CORP DE 5.03,9.01 12/10/07
LEHMAN BROTHERS HOLDINGS INC DE 9.01 12/05/07
Lightspace Corp 8.01 12/10/07
MARCO COMMUNITY BANCORP INC FL 8.01 11/15/07
MB FINANCIAL INC /MD MD 5.02,5.03,9.01 12/05/07
MED-TECH SOLUTIONS, INC. 1.01,2.01,3.02,5.01,5.02,8.01, 12/04/07
9.01
MEDIWARE INFORMATION SYSTEMS INC NY 5.03,9.01 12/06/07
MEDQUIST INC NJ 5.02,8.01 12/05/07
MERCK & CO INC NJ 7.01,9.01 12/11/07
MERIX CORP OR 4.02 12/06/07
META FINANCIAL GROUP INC DE 4.02,9.01 11/13/07 AMEND
METROPCS COMMUNICATIONS INC DE 8.01,9.01 12/10/07
MGI PHARMA INC MN 1.01,9.01 12/10/07
MIDAS INC DE 1.01,3.03,5.03,9.01 12/07/07
MOVADO GROUP INC NY 5.03,9.01 12/04/07
MPC CORP CO 2.03,9.01 12/06/07
Nalco Finance Holdings LLC 8.01,9.01 12/10/07
Nalco Holding CO 8.01,9.01 12/10/06
Nalco Holdings LLC DE 8.01,9.01 12/10/07
NATIONAL HEALTH INVESTORS INC MD 8.01 12/10/07 AMEND
NATIONAL TECHNICAL SYSTEMS INC /CA/ CA 1.01,2.01,2.03,3.03,7.01,9.01 12/05/07
NBTY INC DE 7.01,9.01 12/10/07
NCI BUILDING SYSTEMS INC DE 2.02,9.01 12/10/07
NEOMAGIC CORP DE 5.02 12/05/07
Neonode, Inc DE 5.03,9.01 12/05/07
NETWORK EQUIPMENT TECHNOLOGIES INC DE 9.01 12/04/07 AMEND
Neuro-Hitech, Inc. DE 5.02,9.01 12/07/07
New England Bancshares, Inc. 5.03,9.01 12/10/07
NEW HAMPSHIRE THRIFT BANCSHARES INC DE 5.02 12/06/07
NEW HAMPSHIRE THRIFT BANCSHARES INC DE 9.01 10/01/07 AMEND
NEW JERSEY RESOURCES CORP NJ 2.02 12/11/07
NextWave Wireless Inc. DE 8.01,9.01 12/11/07
NORTH AMERICAN SCIENTIFIC INC 5.03,9.01 12/05/07
NORTHERN STATES POWER CO MN 8.01,9.01 12/07/07
NPS PHARMACEUTICALS INC DE 5.02 12/05/07
NVR INC VA 3.01,9.01 12/10/07
O2 Secure Wireless, Inc. GA 4.01,9.01 12/11/07
OIL DRI CORP OF AMERICA DE 8.01,9.01 12/06/07
Omagine, Inc. DE 7.01 12/10/07
ON ASSIGNMENT INC DE 5.02 12/07/07
OPTIO SOFTWARE INC GA 2.02,7.01,9.01 12/07/07
ORLEANS HOMEBUILDERS INC DE 5.02,5.03,9.01 12/06/07
ORTHOFIX INTERNATIONAL N V 5.02,9.01 12/06/07
OVERHILL FARMS INC NV 2.02,9.01 12/11/07
OVERSEAS SHIPHOLDING GROUP INC DE 8.01 12/05/07
OVERSTOCK.COM, INC UT 8.01,9.01 12/10/07
PAIN THERAPEUTICS INC DE 5.02 12/11/07
PALL CORP NY 1.01,2.02,9.01 12/07/07
PAM TRANSPORTATION SERVICES INC DE 5.03,9.01 12/06/07
PANERA BREAD CO DE 5.02,9.01 12/07/07
PAPA JOHNS INTERNATIONAL INC DE 5.03,7.01,8.01,9.01 12/05/07
PATCH INTERNATIONAL INC/CN 7.01,9.01 12/10/07
PEABODY ENERGY CORP DE 5.02,9.01 12/05/07
PEREGRINE PHARMACEUTICALS INC DE 2.02,9.01 12/10/07
PHOTON DYNAMICS INC CA 5.02,8.01 12/06/07
Pike Electric CORP 5.02,9.01 12/05/07
PLATO LEARNING INC DE 2.02,9.01 12/11/07
PNA Group, Inc. DE 8.01,9.01 12/10/07
POLYONE CORP 5.02 12/06/07
POMEROY IT SOLUTIONS INC DE 5.02,8.01,9.01 12/07/07
POWERCOLD CORP NV 8.01 12/10/07
PPG INDUSTRIES INC PA 8.01,9.01 12/10/07
PREMIER WEALTH MANAGEMENT, INC. DE 8.01,9.01 12/10/07
PRESSTEK INC /DE/ DE 7.01 12/11/07
PRG SCHULTZ INTERNATIONAL INC GA 5.02,5.03,9.01 12/05/07
PROSPECT CAPITAL CORP MD 8.01,9.01 12/11/07
PURIO INC. NV 1.01,5.03,7.01,9.01 12/07/07
QUALMARK CORP CO 1.01,2.03 12/07/07
Quest Minerals & Mining Corp UT 1.02 12/10/07
QUIKSILVER INC DE 7.01,9.01 12/10/07
RAZOR RESOURCES INC DE 7.01 11/23/07
RedRoller Holdings, Inc. DE 5.02 12/11/07
Renegy Holdings, Inc. DE 9.01 10/01/07 AMEND
REX ENERGY CORP DE 1.01,9.01 12/05/07
Rim Semiconductor CO UT 1.01,2.03,3.02,9.01 12/10/07
ROYAL INVEST INTERNATIONAL CORP. DE 5.03 12/11/07
RTW INC /MN/ MN 8.01,9.01 12/10/07
SAIA INC DE 5.03,9.01 12/06/07
SANTA FE ENERGY TRUST TX 8.01,9.01 12/04/07
SAVE THE WORLD AIR INC NV 1.01,9.01 12/06/07
SCANSOURCE INC SC 5.02,9.01 12/06/07
SEI INVESTMENTS CO PA 5.02,8.01,9.01 12/10/07
SENETEK PLC /ENG/ 7.01,8.01,9.01 12/10/07
SERVICE BANCORP INC MA 5.02,9.01 12/11/07
SHUFFLE MASTER INC MN 7.01 12/10/07
SIMEX TECHNOLOGIES INC DE 7.01,9.01 12/06/07
SINOBIOMED INC DE 3.02,8.01,9.01 12/05/07
SKYSTAR BIO-PHARMACEUTICAL CO NV 1.01,3.02,3.03,9.01 12/06/07
Smartec Holdings Inc. NV 5.03,7.01,9.01 11/26/07
SMITH MICRO SOFTWARE INC DE 1.01,9.01 12/10/07
SOCKET COMMUNICATIONS INC DE 3.01,9.01 12/10/07
SourceForge, Inc DE 1.01,5.02,8.01,9.01 12/05/07
SPECTRASCIENCE INC MN 5.02,9.01 12/06/07
SPX CORP DE 8.01,9.01 12/10/07
STRUCTURED PROD CORP CORTS TR II FOR DE 8.01,9.01 12/01/07
STRUCTURED PRODUCTS CORP CASTSM STEP DE 8.01,9.01 12/01/07
STRUCTURED PRODUCTS CORP CORTS TR FOR DE 8.01,9.01 12/01/07
STRUCTURED PRODUCTS CORP CORTS TR IV DE 8.01,9.01 12/01/07
STRUCTURED PRODUCTS CORP TIERS CORP B DE 8.01,9.01 12/01/07
STRUCTURED PRODUCTS CORP TIERS R INFL DE 8.01,9.01 12/01/07
SULPHCO INC NV 8.01,9.01 12/10/07
SUNESIS PHARMACEUTICALS INC 1.01,5.03,5.05,9.01 12/05/07
SUSQUEHANNA BANCSHARES INC PA 1.01,9.01 12/05/07
T-3 ENERGY SERVICES INC TX 5.03,9.01 12/07/07
TALBOTS INC DE 1.02 12/05/07
TATONKA OIL & GAS, INC. CO 1.01,9.01 12/05/07
TECHNOLOGY SOLUTIONS COMPANY DE 7.01,9.01 12/11/07
TEMPLE INLAND INC DE 7.01 12/11/07
TEMPLE INLAND INC DE 1.01,9.01 12/11/07
Tennessee Valley Authority 1.01,5.02,9.01 12/07/07
Timberline Resources Corp 7.01,8.01,9.01 12/05/07
TOUSA INC DE 7.01,9.01 12/11/07
TOUSA INC DE 1.01,9.01 12/10/07
TRANE INC. DE 5.02 12/05/07
TRANSGENOMIC INC DE 7.01,9.01 12/11/07
TRANSOCEAN INC E9 8.01,9.01 12/11/07
Triangle Petroleum Corp NV 2.02,9.01 12/11/07
TRIMERIS INC DE 2.05,8.01,9.01 12/10/07
TRUMP ENTERTAINMENT RESORTS, INC. DE 5.02,8.01 12/06/07
Turnaround Partners, Inc. DE 1.01,2.01,3.01,5.01,5.02,9.01 12/05/07
UAP HOLDING CORP DE 5.04 12/11/07
UCBH HOLDINGS INC DE 8.01,9.01 12/10/07
Ulta Salon, Cosmetics & Fragrance, In DE 2.02,9.01 12/11/07
UNISYS CORP DE 5.03,9.01 12/06/07
UNISYS CORP DE 8.01,9.01 12/06/07
UNITED INDUSTRIAL CORP /DE/ DE 3.01,9.01 12/11/07
UNITRIN INC DE 8.01,9.01 12/06/07
UNIVERSAL CORP /VA/ VA 5.02,8.01,9.01 12/11/07
Uranium Hunter CORP NV 4.01 12/10/07
US BANCORP \DE\ DE 5.02,9.01 12/11/07
US BioEnergy CORP 2.01,9.01 12/05/07
USA VIDEO INTERACTIVE CORP WY 8.01,9.01 12/11/07
VASOMEDICAL INC DE 5.02 12/05/07
VERINT SYSTEMS INC 3.02,8.01 12/06/07
Vulcan Materials CO VA 1.01,9.01 12/06/07
WASHINGTON MUTUAL, INC WA 7.01,9.01 12/10/07
WATAIRE INTERNATIONAL, INC. WA 3.02 12/05/07
WATAIRE INTERNATIONAL, INC. WA 3.02 12/05/07 AMEND
WELLPOINT INC IN 8.01,9.01 12/11/07
WEST MARINE INC DE 7.01,9.01 12/10/07
Western Standard Energy Corp. NV 1.01,9.01 12/04/07
WINNER MEDICAL GROUP INC NV 2.02,9.01 12/10/07
WISCONSIN ENERGY CORP WI 5.02 12/11/07
WOODWARD GOVERNOR CO DE 4.01,9.01 12/06/07
WYNDHAM WORLDWIDE CORP DE 7.01,9.01 12/11/07
XCEL ENERGY INC MN 8.01,9.01 12/07/07
XETA TECHNOLOGIES INC OK 5.02,8.01 12/05/07
YOUNG INNOVATIONS INC MO 8.01 12/11/07
ZIMMER HOLDINGS INC DE 5.02,9.01 12/07/07
ZIONS BANCORPORATION /UT/ UT 8.01,9.01 12/06/07
ZIX CORP TX 5.02,9.01 12/10/07
Znomics, Inc. NV 4.01,5.03,9.01 12/07/07
ZOLTEK COMPANIES INC DE 7.01,9.01 12/05/07
http://www.sec.gov/news/digest/2007/dig121207.htm
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