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SEC NEWS DIGEST
Issue 2007-241 December 17, 2007
RULES AND RELATED MATTERS
SEC PROPOSES REVISIONS TO FORM S-11 TO PERMIT HISTORICAL INCORPORATION
BY REFERENCE
The Commission issued a proposing release to amend Form S-11, a
registration statement used by real estate entities to register
offerings under the Securities Act of 1933. The proposed amendments
would permit an entity that has filed at least one annual report and
that is current in its reporting obligations under the Securities
Exchange Act of 1934 to incorporate by reference into Form S-11
information from its previously filed Exchange Act reports and
documents. The proposed amendments are identical to amendments to
Forms S-1 and F-1 previously adopted by the Commission and effective
as of Dec. 1, 2005. Comments should be received on or before 30 days
after publication in the Federal Register. (Rel. 33-8871; S7-30-07)
ENFORCEMENT PROCEEDINGS
SEC CHARGES RONALD K. BOWEN WITH DEFRAUDING INVESTORS REGARDING
POTENTIAL INVESTMENT IN UNDER ARMOUR IPO
On December 14, the Commission filed charges against Ronald K. Bowen
alleging that he engaged in securities fraud by lying to investors
about the possibility of investing in the November 2005 initial public
offering by Under Armour, Inc. Bowen raised more than $230,000 from
four investors through his fraudulent scheme.
The Commission's complaint, filed in the District of Maryland, alleges
that Bowen defrauded the investors by purporting to offer to sell them
more than 100,000 shares of stock of Under Armour, Inc., a Baltimore
based sports apparel company, in late 2005 and early 2006. Bowen
falsely claimed that he had access to Under Armour stock pursuant to
an initial public offering by Under Armour in November 2005. In order
to induce the investors to participate, Bowen drafted and disseminated
phony disclosure documents that appeared to demonstrate that Bowen's
IPO stock purchase offer was legitimate. In fact, Bowen never had
access to Under Armour IPO stock. In November 2006, when the investors
demanded stock certificates for the stock they thought they had
purchased, Bowen told them that he never had any Under Armour IPO
stock to sell.
The Commission's complaint alleges that, as a result of his
misconduct, Bowen 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. As part of this action, the Commission seeks a permanent
injunction prohibiting Bowen from committing future violations of the
federal securities laws, disgorgement of his ill-gotten gains plus
prejudgment interest thereon, and civil penalties.
The U.S. Attorney's Office for the District of Maryland has filed
related criminal charges against Bowen. [SEC v. Ronald K. Bowen] (LR-
20399)
SEC FILES SUBPOENA ENFORCEMENT ACTION REQUIRING TESTIMONY IN ITS
JEFFERSON COUNTY, ALABAMA MUNICIPAL SECURITIES INVESTIGATION
The Commission announced today that it has filed an action in federal
court seeking an order requiring testimony in an SEC investigation
from Larry P. Langford, the current Mayor of Birmingham, Alabama and
former Jefferson County Commission President, and William B. Blount,
the chairman of Blount Parrish & Co, an SEC-registered municipal
securities dealer and broker-dealer.
SEC subpoenas required Langford to appear on December 11 and Blount to
appear on December 12 in Miami for testimony before the Commission.
Although both witnesses appeared, both declined to testify or
articulate a recognized legal privilege that would excuse them from
answering the staff's questions.
Accordingly, the SEC filed an Application For an Order Enforcing
Administrative Subpoenas (Application). In its Application, the SEC
cites its authority to conduct an investigation under a Formal Order
Directing Private Investigation and Designating Officers to Take
Testimony in the Matter of Jefferson County Municipal Bonds (Formal
Order) issued by the SEC on Dec. 6, 2006. The Formal Order directs SEC
staff to investigate whether any persons or entities, including but
not limited to Langford and Blount, committed violations of the
antifraud provisions of the federal securities laws in connection with
the offer, purchase or sale of Jefferson County (Alabama) municipal
bonds or security-based swap agreements. The SEC staff is also
authorized to investigate whether such persons or entities, directly
or indirectly, may have made false statements of material fact or
failed to disclose material facts concerning, among other things,
improper payments made in exchange for municipal securities business.
Through its Application in District Court, the SEC is seeking an order
enforcing its subpoenas and directing Langford and Blount to testify
under oath or assert a valid legal privilege as grounds for not
answering questions. A hearing on the SEC's application has not been
scheduled. [SEC v. Larry P. Langford and William B. Blount, Case No.
07-23271-MC-Huck-Simonton, S.D. Fla.] (LR-20400)
SELF-REGULATORY ORGANIZATIONS
APPROVAL OF PROPOSED RULE CHANGE
The Commission approved a proposed rule change filed by the Municipal
Securities Rulemaking Board (SR-MSRB-2007-04) relating to amendments
to Rule G-40 on e-mail contacts. Publication is expected in the
Federal Register during the week of December 17. (Rel. 34-56946)
IMMEDIATE EFFECTIVENESS OF A PROPOSED RULE CHANGE
A proposed rule change filed by the International Securities Exchange
relating to historical ISE Open/Close Trade Profile fees (SR-ISE-2007-
115) 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 17. (Rel. 34-56957)
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 SourceForge, Inc, 650 CASTRO STREET, SUITE 450, MOUNTAIN VIEW, CA,
94041, 6506942100 - 5,250,000 ($12,442,500.00) Equity,
(File 333-148056 - Dec. 14) (BR. 03C)
S-8 E-HOUSE (CHINA) HOLDINGS LTD, 17/F MERCHANDISE HARVEST BUILDING (EAST),
NO. 333 NORTH CHENGDU ROAD, SHANGHAI, F4, 200041, (86-21) 5298 0808 -
3,379,905 ($73,748,138.10) Equity, (File 333-148058 - Dec. 14) (BR. 08)
S-8 BOVIE MEDICAL CORP, 734 WALT WHITMAN ROAD, MELVILLE, NY, 11747,
5164215452 - 500,000 ($3,250,162.00) Equity, (File 333-148059 -
Dec. 14) (BR. 10A)
S-3 NEXMED INC, 350 CORPORATE BLVD, ROBBINSVILLE, NJ, 08691, 6092089688 -
450,000 ($634,500.00) Equity, (File 333-148060 - Dec. 14) (BR. 01B)
S-3ASR LINN ENERGY, LLC, 600 TRAVIS, SUITE 5100, HOUSTON, TX, 77002,
281-605-4100 - 0 ($190,149,253.00) Equity, (File 333-148061 - Dec. 14)
(BR. 04A)
S-3 MINES MANAGEMENT INC, 905 W RIVERSIDE AVENUE, SUITE 311, SPOKANE, WA,
99201, 5098386050 - 0 ($8,525,000.00) Equity, (File 333-148069 -
Dec. 14) (BR. 04A)
S-8 ALTRIA GROUP, INC., 120 PARK AVE, NEW YORK, NY, 10017, 9176634000 -
0 ($2,097,630,000.00) Equity, (File 333-148070 - Dec. 14) (BR. 05A)
S-8 ALTRIA GROUP, INC., 120 PARK AVE, NEW YORK, NY, 10017, 9176634000 -
0 ($27,191,500.00) Equity, (File 333-148071 - Dec. 14) (BR. 05A)
S-8 NETWORK ENGINES INC, 25 DAN ROAD, CANTON, MA, 02021, 7813321000 -
0 ($3,670,813.00) Equity, (File 333-148072 - Dec. 14) (BR. 03B)
S-1 NEW PARADIGM PRODUCTIONS INC, 1393 LUCKSPRING DR, SALT LAKE CITY, UT,
84106, 8014668928 - 13,291,942 ($44,812,426.60) Equity,
(File 333-148073 - Dec. 14) (BR. 04B)
S-8 VIA Pharmaceuticals, Inc., 750 BATTERY STREET, SUITE 330,
SAN FRANCISCO, CA, 94111, 415-283-2200 - 0 ($5,245,107.50) Equity,
(File 333-148075 - Dec. 14) (BR. 01A)
SB-2 Giddy-up Productions, Inc., 409-903 19TH AVENUE SW, CALGARY, A0,
T2T 0H8, 403-399-6402 - 2,000,000 ($200,000.00) Equity,
(File 333-148076 - Dec. 14) (BR. )
SB-2 S2C GLOBAL SYSTEMS, INC., 1650-1188 WEST GEORGIA ST, VANCOUVER, A1,
V6A 4E3, 604-787-5603 - 8,400,000 ($588,000.00) Equity,
(File 333-148078 - Dec. 14) (BR. 02)
S-1 ExactTarget, Inc., 20 NORTH MERIDIAN STREET, INDIANAPOLIS, IN, 46204,
317-423-3928 - 0 ($86,250,000.00) Equity, (File 333-148079 - Dec. 14)
(BR. )
S-8 FIRST MID ILLINOIS BANCSHARES INC, 1515 CHARLESTON AVE, PO BOX 499,
MATTOON, IL, 61938, 2172347454 - 300,000 ($7,830,000.00) Equity,
(File 333-148080 - Dec. 14) (BR. 07C)
S-8 FGX International Holdings LTD, 500 GEORGE WASHINGTON HIGHWAY,
SMITHFIELD, RI, 02917, (401) 231-3800 - 0 ($43,110,000.00) Equity,
(File 333-148083 - Dec. 14) (BR. 10)
S-3 VERASUN ENERGY CORP, 100 22ND AVE, BROOKINGS, SD, 57006, 605-696-7200 -
13,801,384 ($183,282,379.52) Equity, (File 333-148084 - Dec. 14)
(BR. 06B)
S-8 XTL BIOPHARMACEUTICALS LTD, 711 EXECUTIVE BOULEVARD, SUITE Q,
VALLEY COTTAGE, NY, 10989, 972-8-930-4440 -
34,662,611 ($28,727,397.15) Equity, (File 333-148085 - Dec. 14)
(BR. 01C)
SB-2 National Health Partners Inc, 120 GIBRALTAR RD, SUITE 107, HORSHAM, PA,
19044, 215-682-7114 - 0 ($4,882,657.40) Equity, (File 333-148086 -
Dec. 14) (BR. 09B)
S-1 Cherry Tree Acquisition Corp., 301 CARLSON PARKWAY, SUITE 103,
MINNEAPOLIS, MN, 55305, 952-893-9012 - 0 ($161,000,000.00) Other,
(File 333-148087 - Dec. 14) (BR. )
S-8 HOLLIS EDEN PHARMACEUTICALS INC /DE/, 4435 EASTGATE MALL, SUITE 400,
SAN DIEGO, CA, 92121, 858-587-9333 - 0 ($3,217,500.00) Equity,
(File 333-148088 - Dec. 14) (BR. 01A)
SB-2 Regent's Secret Inc., 5901 S. EASTERN AVE., COMMERCE, CA, 90040,
323-837-3712 - 26,754,172 ($3,210,500.64) Equity, (File 333-148089 -
Dec. 14) (BR. )
S-8 KENSEY NASH CORP, 735 PENNSYLVANIA DRIVE, EXTON, PA, 19341,
6105947156 - 0 ($10,584,000.00) Equity, (File 333-148090 - Dec. 14)
(BR. 10B)
S-1 CHS INC, 5500 CENEX DRIVE, INVER GROVE HEIGHTS, MN, 55077,
651-355-6000 - 0 ($45,559,084.00) Equity, (File 333-148091 - Dec. 14)
(BR. 05B)
S-3 PROVIDENCE SERVICE CORP, 5524 E. FOURTH ST., TUSCON, AZ, 85711,
5207487108 - 0 ($70,000,000.00) Debt Convertible into Equity,
0 ($8,405,846.48) Equity, (File 333-148092 - Dec. 14) (BR. 09B)
SB-2 DRS Inc., 16504 9TH AVE. SE, SUITE 205, MILL CREEK, WA, 98012,
8669919960 - 8,229,868 ($8,229,868.00) Equity, (File 333-148094 -
Dec. 14) (BR. )
S-3 Ivivi Technologies, Inc., 224 S PEGASUS AVENUE, NORTHVALE, NJ, 07647,
201-784-8268 - 2,161,032 ($11,086,095.00) Equity, (File 333-148095 -
Dec. 14) (BR. 10B)
S-8 TYCO INTERNATIONAL LTD /BER/, 90 PITTS BAY ROAD,
THE ZURICH CENTRE SECOND FLOOR, PEMROKE HM 08 BERMU, D0, 4412928674 -
0 ($100,000,000.00) Equity, (File 333-148096 - Dec. 14) (BR. 11A)
S-1 INFONXX, Inc., 655 MADISON AVE., 21ST FLOOR, NEW YORK, NY, 10021,
212-909-8282 - 0 ($250,000,000.00) Equity, (File 333-148097 - Dec. 14)
(BR. )
S-8 SMALL BUSINESS CO, 0 ($448,000.00) Equity, (File 333-148099 - Dec. 14)
(BR. 08B)
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
--------------------------------------------------------------------------------------------------------
Acadia Resources Inc. NV 5.03,9.01 12/11/07
ACCELR8 TECHNOLOGY CORP CO 8.01,9.01 12/13/07
ADOLOR CORP 3.03,5.03,9.01 12/13/07
Advanced Life Sciences Holdings, Inc. 5.03,9.01 12/13/07
AGL RESOURCES INC GA 8.01,9.01 12/11/07
ALLIED HEALTHCARE INTERNATIONAL INC NY 9.01 09/30/07 AMEND
ALLOS THERAPEUTICS INC DE 5.02 12/11/07
AMBAC FINANCIAL GROUP INC DE 8.01,9.01 12/13/07
AMERICAN ITALIAN PASTA CO DE 3.02,5.02 12/07/07 AMEND
AMERICAN POST TENSION, INC. DE 4.01,9.01 04/16/07 AMEND
American Unity Investments, Inc. FL 5.02 11/30/07
AMETEK INC/ DE 8.01 12/14/07
AMIS HOLDINGS INC 1.01,9.01 12/13/07
AMIS HOLDINGS INC 1.01,9.01 12/13/07
ANADYS PHARMACEUTICALS INC 1.02 12/11/07
ANASAZI CAPITAL CORP FL 1.01,5.01,9.01 06/16/06
ANWORTH MORTGAGE ASSET CORP MD 8.01,9.01 12/12/07
API Nanotronics Corp. 3.02 11/19/07
APOGEE TECHNOLOGY INC DE 1.01,2.03,9.01 12/11/07
Apple REIT Seven, Inc. VA 2.01,9.01 12/10/07
APPLIED MATERIALS INC /DE DC 5.02 12/10/07
ARCH CAPITAL GROUP LTD. 1.01,2.03,9.01 12/12/07
ARCHER DANIELS MIDLAND CO DE 9.01 12/11/07
ARIZONA LAND INCOME CORP AZ 8.01,9.01 12/13/07
ASCENDIA BRANDS, INC. DE 2.04,7.01,9.01 12/10/07
Ascent Solar Technologies, Inc. DE 1.01,9.01 12/14/07
ASHWORTH INC DE 5.05,9.01 12/12/07
AVANI INTERNATIONAL GROUP INC // NV 1.01,5.01 11/28/07
AVERY DENNISON CORPORATION DE 5.02 12/10/07
BAKERS FOOTWEAR GROUP INC MO 2.02,7.01,8.01,9.01 12/12/07
BALLANTYNE OF OMAHA INC DE 2.01,9.01 12/10/07
BB&T CORP NC 5.02,9.01 12/11/07
Benjamin Franklin Bancorp, Inc. MA 8.01,9.01 12/14/07
BERKLEY W R CORP DE 8.01 12/14/07
BERKSHIRE HILLS BANCORP INC 8.01,9.01 12/14/07
BFC FINANCIAL CORP FL 5.02 12/11/07
BIO RAD LABORATORIES INC DE 9.01 12/14/07 AMEND
BIO RAD LABORATORIES INC DE 9.01 12/14/07 AMEND
BIOSHAFT WATER TECHNOLOGY, INC. NV 4.01 12/04/07
BLACK & DECKER CORP MD 7.01,8.01,9.01 12/14/07
BLACK GAMING, LLC 1.01,1.02,5.02 12/10/07
BlackRock Inc. DE 5.02 12/13/07
BOE FINANCIAL SERVICES OF VIRGINIA IN VA 8.01,9.01 12/13/07
BOEING CO DE 5.02,9.01 12/10/07
BOSTON CAPITAL REAL ESTATE INVESTMENT MD 8.01,9.01 12/14/07
BRADLEY PHARMACEUTICALS INC DE 8.01,9.01 12/14/07
BREEZE-EASTERN CORP DE 2.02,9.01 12/12/07
Brooke Credit CORP DE 1.01,1.02,9.01 12/10/07
BRT REALTY TRUST MA 2.02,9.01 12/13/07
Builders FirstSource, Inc. DE 5.02,9.01 12/11/07
BUTLER INTERNATIONAL INC /MD/ MD 5.02 12/13/07
C-BASS Mortgage Loan Asset Backed Cer 6.02 12/10/07
C-BASS Mortgage Loan Trust 2007-CB2 6.02 12/10/07
C2 Global Technologies Inc FL 8.01,9.01 12/10/07
CALLON PETROLEUM CO DE 7.01,9.01 12/14/07
CAMCO FINANCIAL CORP DE 2.02,9.01 11/09/07 AMEND
CAMERON INTERNATIONAL CORP DE 5.02,9.01 12/13/07
CAMERON INTERNATIONAL CORP DE 5.02,9.01 12/14/07
CANYON RESOURCES CORP DE 5.02 12/12/07
CAPITAL GROWTH SYSTEMS INC /FL/ FL 1.01,3.02 12/10/07
CARDTRONICS INC DE 1.01,5.02,5.03,7.01,9.01 12/10/07
CAROLINA NATIONAL CORP SC 5.03,7.01,9.01 12/13/07
CCH II LLC 5.02 12/11/07
CCO HOLDINGS LLC 5.02 12/11/07
CD 2007-CD5 Mortgage Trust DE 8.01,9.01 11/29/07
CDI CORP PA 5.03 12/11/07
CEDAR SHOPPING CENTERS INC MD 8.01,9.01 10/05/07
CELL THERAPEUTICS INC WA 5.03,9.01 12/11/07 AMEND
Celsion CORP MD 5.03,9.01 12/10/07
CENTRAL JERSEY BANCORP NJ 4.01,9.01 12/10/07
CENTRUE FINANCIAL CORP DE 5.02,9.01 12/12/07
CHARTER COMMUNICATIONS HOLDINGS LLC DE 5.02 12/11/07
CHARTER COMMUNICATIONS INC /MO/ DE 5.02 12/11/07
Chase Mortgage Finance Trust Series 2 DE 8.01,9.01 11/29/07
CHEESECAKE FACTORY INC DE 1.01,9.01 12/11/07
China Direct, Inc DE 7.01,9.01 12/13/07
China Holdings Acquisition Corp. DE 8.01,9.01 12/14/07
China Housing & Land Development, Inc NV 4.01,9.01 12/14/07
CHINA RECYCLING ENERGY CORP 8.01 12/04/07
CHL Mortgage Pass-Through Trust 2007- DE 8.01,9.01 11/30/07
CIT GROUP INC DE 5.02 12/10/07
CITIBANK SOUTH DAKOTA N A DE 8.01 11/27/07
CITIGROUP INC DE 8.01,9.01 12/13/07
CITIGROUP INC DE 5.02 12/13/07
CITIZENS FINANCIAL CORP/DE/ DE 8.01,9.01 12/14/07
CKE RESTAURANTS INC DE 2.02,9.01 12/12/07
CLAIMSNET COM INC DE 1.01,2.03,7.01,9.01 12/13/07
CNX Gas CORP DE 5.02 12/10/07
COCA COLA ENTERPRISES INC DE 8.01,9.01 12/12/07
COMDISCO HOLDING CO INC DE 2.02,9.01 12/14/07
Consolidated Communications Holdings, DE 8.01,9.01 12/10/07
CONSOLIDATED EDISON INC NY 1.01,9.01 12/10/07
COX RADIO INC DE 5.02,9.01 12/13/07
CROGHAN BANCSHARES INC OH 5.02 12/11/07
CROSSTEX ENERGY INC DE 1.01,7.01,9.01 12/13/07
CROSSTEX ENERGY LP DE 1.01,7.01,9.01 12/13/07
Crystal River Capital, Inc. MD 8.01,9.01 12/12/07
CUBIC ENERGY INC TX 8.01 12/10/07
CVD EQUIPMENT CORP NY 1.01,9.01 12/12/07
CVR ENERGY INC DE 5.02 12/10/07
CYBER DEFENSE SYSTEMS INC FL 8.01,9.01 11/06/07
DECORIZE INC DE 5.02 12/12/07
DEEP WELL OIL & GAS INC NV 1.01,1.02,8.01,9.01 11/26/07
DEL MONTE FOODS CO DE 5.02,7.01,9.01 12/13/07
DENTSPLY INTERNATIONAL INC /DE/ DE 5.02 12/14/07
DESIGN WITHIN REACH INC DE 1.01,3.03,9.01 12/13/07
DIEDRICH COFFEE INC CA 5.02,9.01 11/02/07 AMEND
DIET COFFEE INC 1.01,9.01 12/13/07
Don Marcos Trading CO FL 1.01,3.02,9.01 12/14/07
DOVER MOTORSPORTS INC DE 1.01,9.01 12/14/07
DOVER SADDLERY INC 1.01,1.02,2.03,9.01 12/11/07
DOWNEY FINANCIAL CORP DE 7.01,9.01 11/30/07
DRS TECHNOLOGIES INC DE 5.03,9.01 12/12/07
DTE ENERGY CO MI 7.01,9.01 12/14/07
DUPONT FABROS TECHNOLOGY, INC. MD 8.01,9.01 12/10/07
DUPONT FABROS TECHNOLOGY, INC. MD 8.01,9.01 12/14/07
EARTHLINK INC DE 5.02 12/13/07
EASTERN CO CT 1.01,5.02,9.01 12/12/07
EASTMAN KODAK CO NJ 5.02 12/11/07
EASTMAN KODAK CO NJ 5.03 12/11/07
ELECTRONIC CLEARING HOUSE INC NV 2.02,9.01 12/14/07
EMCOR GROUP INC DE 1.01,5.02,9.01 12/13/07
Emrise CORP DE 2.02,7.01,9.01 12/12/07
ENCORE WIRE CORP /DE/ DE 5.03,9.01 12/13/07
ENCYSIVE PHARMACEUTICALS INC DE 7.01 12/14/07
Endeavor Energy CORP NV 5.02 12/10/07
ENERGROUP HOLDINGS CORP 5.03,9.01 12/13/07
Energy Infrastructure Acquisition Cor DE 4.01,9.01 12/10/07
Enstar Group LTD D0 1.01,9.01 12/10/07
Epic Bancorp 5.02,8.01 12/14/07
Ethos Environmental, Inc. NV 1.01,2.03,8.01,9.01 12/12/07
EV Energy Partners, LP DE 9.01 10/01/07 AMEND
FAIRPOINT COMMUNICATIONS INC DE 7.01,8.01,9.01 12/14/07
FEDERAL SIGNAL CORP /DE/ DE 5.02,5.03,9.01 12/10/07
FIRST CAPITAL INC IN 8.01,9.01 12/13/07
FIRST NATIONAL BANCSHARES INC /SC/ SC 8.01,9.01 12/13/07
Fitmedia Inc. DE 4.01 12/14/07
FLEXSTEEL INDUSTRIES INC MN 5.02,9.01 12/10/07
Forestar Real Estate Group Inc. 8.01,9.01 12/14/07
GALAXY NUTRITIONAL FOODS INC DE 1.01 12/10/07
GALLAGHER ARTHUR J & CO DE 5.02 12/10/07
GASTAR EXPLORATION LTD 5.02,7.01,9.01 12/14/07
GENCORP INC OH 5.02 12/11/07
GENERAL ELECTRIC CO NY 5.02 12/13/07
GENERAL MILLS INC DE 5.02,9.01 12/10/07
GENERAL STEEL HOLDINGS INC NV 1.01,3.02,9.01 12/13/07
GENERAL STEEL HOLDINGS INC NV 1.01,3.02,9.01 12/14/07 AMEND
GLEN BURNIE BANCORP MD 5.02 12/13/07
GoFish Corp. 1.01,3.02,8.01,9.01 12/10/07
GP STRATEGIES CORP DE 5.03,9.01 12/10/07
GRAFTECH INTERNATIONAL LTD DE 8.01,9.01 12/13/07
GRAMERCY CAPITAL CORP MD 5.03,9.01 12/12/07
Granite Falls Energy, LLC MN 2.02,9.01 12/14/07
GROUP 1 AUTOMOTIVE INC DE 4.01,9.01 12/10/07
GRUBB & ELLIS CO DE 4.01,8.01,9.01 12/10/07
GRYPHON GOLD CORP NV 7.01,9.01 12/14/07
Guaranty Financial Group Inc. DE 8.01,9.01 12/14/07
H2Diesel Holdings, Inc FL 3.02 12/14/07
HAMPSHIRE GROUP LTD DE 1.01,9.01 12/13/07
HAMPTON ROADS BANKSHARES INC VA 8.01 12/14/07
HANOVER CAPITAL MORTGAGE HOLDINGS INC MD 1.01,9.01 12/10/07
HARLEY DAVIDSON INC WI 5.02,7.01 12/10/07
HARSCO CORP DE 5.02,9.01 12/12/07
HARTFORD LIFE INSURANCE CO CT 9.01 12/14/07
HAWKINS INC MN 1.01,9.01 12/10/07
HEALTH ENHANCEMENT PRODUCTS INC NV 1.01 12/13/07
HEALTHCARE REALTY TRUST INC MD 5.02,9.01 12/10/07
HEMACARE CORP /CA/ CA 8.01,9.01 12/07/07
HEMISPHERX BIOPHARMA INC DE 1.01 12/14/07
HILLENBRAND INDUSTRIES INC IN 5.02 12/13/07
HOLLYWOOD MEDIA CORP FL 8.01,9.01 12/12/07
Home Equity Mortgage Trust 2007-1 DE 2.04 11/26/07
Home Federal Bancorp, Inc. MD 8.01,9.01 12/13/07
HOME SOLUTIONS OF AMERICA INC DE 4.02,9.01 12/07/07
House of Taylor Jewelry, Inc. NV 9.01 12/13/07
HUTTIG BUILDING PRODUCTS INC DE 2.05,9.01 12/12/07
HydroGen CORP NV 7.01,9.01 12/14/07
IDM PHARMA, INC. DE 8.01,9.01 12/14/07
IGI INC DE 1.01,3.02 12/05/07
Ignis Petroleum Group, Inc. 5.02 12/10/07
IMCLONE SYSTEMS INC DE 5.03,9.01 12/10/07
IMPLANT SCIENCES CORP MA 5.02 12/12/07
INDEPENDENT BANK CORP MA 1.01 12/13/07
IndyMac INDA Mortgage Loan Trust 2007 8.01,9.01 11/29/07
INFINITY PHARMACEUTICALS, INC. DE 5.02 12/13/07
InfoLogix Inc 9.01 09/30/07 AMEND
InfoSearch Media, Inc. DE 1.01 12/14/07
INGLES MARKETS INC NC 5.02 12/14/07
INHIBITEX, INC. 8.01,9.01 12/14/07
Inland American Real Estate Trust, In MD 2.01,2.03,9.01 12/10/07
INN OF THE MOUNTAIN GODS RESORTS & CA 2.02,9.01 12/14/07
INSITE VISION INC DE 5.02 12/10/07
INTERNATIONAL GAME TECHNOLOGY NV 5.03,9.01 12/10/07
INVERNESS MEDICAL INNOVATIONS INC DE 3.02 12/10/07
Invesco Ltd. D0 5.02 12/12/07
INVITROGEN CORP DE 1.01 12/10/07
IOWA TELECOMMUNICATIONS SERVICES INC IA 7.01,9.01 12/14/07
ISIS PHARMACEUTICALS INC DE 5.02,9.01 12/11/07
Island Residences Club, Inc. 5.01,9.01 12/14/07
ITEX CORP NV 8.01,9.01 12/14/07
ITRONICS INC TX 3.02 12/10/07
J C PENNEY CO INC DE 5.02,9.01 12/11/07
James River Coal CO VA 1.01,9.01 11/27/07 AMEND
JAVELIN PHARMACEUTICALS, INC DE 7.01,9.01 12/13/07
JETBLUE AIRWAYS CORP DE 1.01,3.02,5.03,9.01 12/13/07
Joytoto USA, Inc. NV 1.01,2.01,5.01,5.02,5.03,9.01 10/31/07
JPMMT 2007-A6 DE 8.01,9.01 12/14/07
JUPITERMEDIA CORP DE 5.03,9.01 12/12/07
KAISER ALUMINUM CORP DE 5.02,9.01 12/11/07
Kesselring Holding Corporation. 1.01,9.01 12/31/06
KH FUNDING CO MD 8.01 12/05/07
LAM RESEARCH CORP DE 1.01,9.01 12/10/07
LAWSON PRODUCTS INC/NEW/DE/ DE 5.02,5.03,9.01 12/11/07
LEGACY RESERVES LP DE 9.01 12/14/07 AMEND
Lehman Mortgage Trust 2007-10 DE 8.01,9.01 11/30/07
Lehman XS Trust Series 2007-20N DE 8.01,9.01 11/30/07
LEVITT CORP FL 5.02 12/11/07
Liberty Global, Inc. 7.01 12/14/07
LIGHTPATH TECHNOLOGIES INC DE 1.01,9.01 12/13/07
LIGHTSCAPE TECHNOLOGIES INC. NV 1.01,3.02,9.01 12/11/07
LSB CORP MA 5.02,9.01 12/12/07
LYONDELL CHEMICAL CO DE 8.01,9.01 12/14/07
MACC PRIVATE EQUITIES INC DE 8.01,9.01 12/13/07
MACC PRIVATE EQUITIES INC DE 5.03,9.01 12/14/07
MAN SANG HOLDINGS INC NV 5.03,9.01 12/14/07
MARCHEX INC DE 5.02 12/14/07 AMEND
MARKWEST ENERGY PARTNERS L P 8.01,9.01 12/12/07
MAX ENTERTAINMENT HOLDINGS, INC. DE 5.02 12/13/07
MECHANICAL TECHNOLOGY INC NY 5.03,9.01 12/13/07
MEMRY CORP DE 1.01,9.01 12/12/07
MERIDIAN INTERSTATE BANCORP INC MA 8.01,9.01 12/13/07
Merrill Lynch Mortgage Investors Trus DE 8.01 12/10/07
Merrill Lynch Mortgage Investors Trus DE 8.01 12/10/07
MERRIMAC INDUSTRIES INC DE 5.03,9.01 12/13/07
METHODE ELECTRONICS INC DE 5.02 12/11/07
METROPCS COMMUNICATIONS INC DE 5.02,9.01 12/13/07
MFRI INC DE 1.01,2.03,9.01 12/13/07
MICROISLET INC NV 5.02 12/10/07
MICROMET, INC. DE 5.02,9.01 12/10/07
MIDDLEFIELD BANC CORP OH 5.02 12/10/07
MIDWEST BANC HOLDINGS INC DE 5.03,7.01,8.01,9.01 12/11/07
MINDSPEED TECHNOLOGIES, INC DE 5.02 12/11/07
ML MACADAMIA ORCHARDS L P DE 1.02 12/13/07
MOBILE MINI INC DE 8.01,9.01 12/13/07
Modern City Entertainment Inc. WA 8.01 12/14/07
MONEYGRAM INTERNATIONAL INC 8.01 12/13/07
Morgans Hotel Group Co. DE 5.02,8.01,9.01 12/10/07
MOUNTAINS WEST EXPLORATION INC NM 5.01,5.02 12/10/07
Mueller Water Products, Inc. DE 5.02,9.01 12/10/07
NABI BIOPHARMACEUTICALS DE 7.01,9.01 12/14/07
NAPSTER INC DE 5.02,5.03,9.01 12/10/07
NATIONAL FUEL GAS CO NJ 8.01,9.01 12/12/07 AMEND
NATIONAL PENN BANCSHARES INC PA 8.01,9.01 12/14/07
NATIONAL RETAIL PROPERTIES, INC. MD 5.03,9.01 12/13/07
NATIONWIDE HEALTH PROPERTIES INC MD 8.01,9.01 12/14/07
NAVISTAR FINANCIAL CORP DE 1.01,9.01 12/13/07
NAVISTAR INTERNATIONAL CORP DE 5.02,9.01 12/10/07
NEW CENTURY FINANCIAL CORP MD 8.01 12/14/07
NEWMARKET CORP VA 5.02 12/13/07
Newport Bancorp Inc 5.03,9.01 12/13/07
Nile Therapeutics, Inc. DE 5.05,8.01,9.01 12/10/07
NOVAMED INC DE 1.01,2.05,2.06,9.01 12/12/07
NTN BUZZTIME INC DE 5.02 12/10/07
NUTRI SYSTEM INC /DE/ DE 5.02,9.01 11/30/07
O2DIESEL CORP DE 1.01,3.02 12/10/07
Obagi Medical Products, Inc. DE 5.02 12/10/07
OCCIDENTAL PETROLEUM CORP /DE/ DE 5.02,9.01 12/13/07
OLD POINT FINANCIAL CORP VA 5.02,9.01 12/12/07 AMEND
OMEGA PROTEIN CORP NV 5.02,9.01 12/12/07
OPENTV CORP 5.02,9.01 12/10/07
Orexigen Therapeutics, Inc. DE 1.01,9.01 12/10/07
PACKETEER INC DE 5.03,9.01 12/12/07
PANOLAM INDUSTRIES INTERNATIONAL INC DE 2.02,9.01 12/13/07
PARKWAY PROPERTIES INC MD 2.03 12/13/07
PDG ENVIRONMENTAL INC DE 2.02,9.01 12/14/07
PENN TRAFFIC CO DE 1.01,3.02,3.03,5.03,9.01 10/01/07
PENTAIR INC MN 5.02,9.01 10/23/07 AMEND
PEPCO HOLDINGS INC DE 8.01 12/14/07
Permanent Master Issuer plc 1.01,9.01 12/14/07
PINNACLE ENTERTAINMENT INC DE 5.02 12/11/07 AMEND
PLANAR SYSTEMS INC OR 1.01,5.03,9.01 12/11/07
PLANETLINK COMMUNICATIONS INC GA 2.01,9.01 12/12/07
PLANETLINK COMMUNICATIONS INC GA 3.02,9.01 12/07/07
PLATINUM ENERGY RESOURCES INC DE 9.01 09/30/07 AMEND
POMEROY IT SOLUTIONS INC DE 5.02,9.01 12/11/07
PRAXAIR INC DE 5.02 12/10/07
Precision Aerospace Components, Inc. 5.02 12/14/07
PRINCIPAL LIFE INSURANCE CO IA 9.01 12/14/07
QUADRAMED CORP DE 5.02 12/10/07
Quicksilver Gas Services LP DE 5.02,9.01 12/10/07
QUICKSILVER RESOURCES INC DE 5.02,9.01 12/10/07
QWEST COMMUNICATIONS INTERNATIONAL IN DE 5.02,9.01 12/12/07
RAAC Series 2007 SP2 Trust DE 6.02 12/10/07
RAAC Series 2007-SP3 Trust DE 6.02 12/10/07
RADIAN GROUP INC DE 5.02,9.01 12/11/07
Real Mex Restaurants, Inc. DE 5.02 04/23/07
Redpoint Bio CORP 1.01,9.01 12/13/07
RENTECH INC /CO/ CO 2.02,9.01 12/14/07
REPUBLIC AIRWAYS HOLDINGS INC DE 8.01,9.01 12/14/07
RESEARCH FRONTIERS INC DE 5.02 12/12/07
RESMED INC DE 1.01,5.03,9.01 12/10/07
RESMED INC DE 5.02 08/27/07 AMEND
RESOURCE AMERICA INC DE 8.01 12/11/07
Revett Minerals Inc. A6 7.01,9.01 12/13/07
RIVER VALLEY BANCORP IN 5.03,8.01,9.01 12/11/07
ROCKY MOUNTAIN CHOCOLATE FACTORY INC CO 5.03 12/11/07
ROTECH HEALTHCARE INC DE 3.01,9.01 12/14/07
RYDER SYSTEM INC FL 8.01,9.01 12/13/07
S1 CORP /DE/ DE 8.01,9.01 12/11/07
SAFECO CORP WA 1.01,9.01 12/11/07
SAN JUAN BASIN ROYALTY TRUST TX 8.01,9.01 12/12/07
SANDRIDGE ENERGY INC DE 5.02,7.01,9.01 12/14/07
SARS CORP. NV 4.01,9.01 11/07/07 AMEND
SCANSOURCE INC SC 1.01 12/13/07
SCBT FINANCIAL CORP SC 8.01,9.01 12/14/07
SCHOLASTIC CORP DE 5.03,9.01 12/12/07
SCIENTIFIC GAMES CORP DE 5.02,5.03,8.01,9.01 12/13/07
SEARS HOLDINGS CORP DE 5.02 12/11/07
Shire plc 5.02,9.01 12/13/07
SILICON GRAPHICS INC DE 5.02 12/06/07 AMEND
Silver Dragon Resources Inc. DE 7.01 12/14/07
SL GREEN REALTY CORP MD 5.03,9.01 12/12/07
SMITH A O CORP DE 8.01,9.01 12/14/07
Solar Power, Inc. 7.01,9.01 12/13/07
SOLITRON DEVICES INC DE 5.03,9.01 12/12/07
SOUTHWEST WATER CO DE 8.01,9.01 12/14/07
SPACEHAB INC \WA\ WA 2.05,9.01 12/10/07
Spectra Energy Partners, LP DE 1.01,3.02,7.01,9.01 12/13/07
Standard Drilling, Inc. 8.01 12/03/07
STANDARD PACIFIC CORP /DE/ DE 5.02,5.03,9.01 12/12/07
STEWARDSHIP FINANCIAL CORP NJ 8.01,9.01 12/13/07
Stewart & Stevenson LLC DE 5.02 12/11/07
STRATUS PROPERTIES INC DE 1.01,2.03,9.01 12/14/07
Structured Adjustable Rate Mortgage L DE 8.01,9.01 11/30/07
Sucampo Pharmaceuticals, Inc. 5.02,9.01 12/11/07
SUN BANCORP INC /NJ/ NJ 5.02,9.01 12/12/07
SURETY CAPITAL CORP /DE/ DE 3.02 12/11/07
SUREWEST COMMUNICATIONS CA 5.02 12/13/07
SYMANTEC CORP DE 5.02,9.01 12/11/07
SYNCHRONOSS TECHNOLOGIES INC 8.01 12/11/07
SYNERGETICS USA INC 7.01,9.01 12/13/07
SYNTAX-BRILLIAN CORP DE 1.01,9.01 11/27/07 AMEND
TAUBMAN CENTERS INC MI 7.01,9.01 12/14/07
TBS INTERNATIONAL LTD 1.01,2.03 12/14/07
TEAM FINANCIAL INC /KS KS 1.01,9.01 12/11/07
TEKOIL & GAS CORP DE 1.01,3.02,5.02,9.01 12/10/07
TELEPHONE & DATA SYSTEMS INC /DE/ DE 8.01,9.01 12/10/07
TELIK INC DE 5.03,9.01 12/11/07
THESTREET COM DE 1.01 12/07/07 AMEND
THUNDER MOUNTAIN GOLD INC WA 8.01,9.01 12/10/07
TITAN PHARMACEUTICALS INC DE 5.02 12/13/07
TORVEC INC NY 1.01 12/14/07
TRANSCOMMUNITY FINANCIAL CORP VA 8.01,9.01 12/14/07
TRI COUNTY FINANCIAL CORP /MD/ 8.01,9.01 12/12/07
TURBOSONIC TECHNOLOGIES INC DE 8.01,9.01 12/13/07
Turnaround Partners, Inc. DE 1.01,2.01,3.01,5.01,5.02,9.01 12/05/07 AMEND
TWEEN BRANDS, INC. DE 2.03 12/11/07
UNITED ONLINE INC DE 8.01 12/12/07
UNITED STATES CELLULAR CORP DE 5.02,8.01,9.01 12/10/07
UNITED WISCONSIN GRAIN PRODUCERS LLC WI 1.01 12/12/07
UNIVERSAL AMERICAN FINANCIAL CORP NY 7.01,9.01 12/14/07
Universal Bioenergy, Inc. 2.01,3.02,3.03,5.01,5.02,9.01 12/06/07
UNIVERSAL TECHNICAL INSTITUTE INC DE 8.01 12/13/07
URON INC MN 1.01,9.01 12/13/07
URSTADT BIDDLE PROPERTIES INC MD 2.02,9.01 12/13/07
US DRY CLEANING CORP DE 2.03,3.02,9.01 12/10/07
VALLEY NATIONAL BANCORP NJ 5.02 12/11/07
WADDELL & REED FINANCIAL INC DE 5.03,9.01 12/13/07
WAUSAU PAPER CORP. WI 8.01 12/14/07
Wavelit, Inc. NV 5.02 11/16/07
WCI COMMUNITIES INC 5.02,9.01 12/12/07
WEBSENSE INC DE 9.01 10/03/07 AMEND
WEGENER CORP DE 5.02 12/12/07
WELLS REAL ESTATE FUND IX LP GA 7.01,9.01 12/14/07
WELLS REAL ESTATE FUND VIII LP GA 7.01,9.01 12/14/07
WESBANCO INC WV 8.01,9.01 12/14/07
WEST MARINE INC DE 5.02,9.01 12/10/07
WESTINGHOUSE AIR BRAKE TECHNOLOGIES C DE 5.03 12/13/07
Wise Metals Group LLC DE 4.02,8.01 12/13/07
WITel Corp. NV 4.02,9.01 12/13/07
WSFS FINANCIAL CORP DE 8.01,9.01 12/11/07
XFONE INC NV 1.01,7.01,9.01 12/13/07
YELLOWCAKE MINING INC. 5.02,9.01 12/03/07
YRC WORLDWIDE INC DE 7.01,9.01 12/13/07
Zep Inc. DE 5.02,9.01 12/10/07
http://www.sec.gov/news/digest/2007/dig121707.htm
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