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SEC NEWS DIGEST
Issue 2007-245 December 21, 2007
COMMISSION ANNOUNCEMENTS
STAFF ACCOUNTING BULLETIN 110
The U.S. Securities and Exchange Commission's Office of the Chief
Accountant and Division of Corporation Finance announced today the
release of Staff Accounting Bulletin (SAB) No. 110. This SAB expresses
views of the staff regarding the use of a "simplified" method of
estimating expected term for "plain vanilla" share options (as
discussed in SAB No. 107) in accordance with Statement of Financial
Accounting Standards No. 123 (revised 2004), "Share-Based Payment."
SAB No. 110 amends and replaces a portion of the staff's views
included in Section D.2 of SAB Topic 14, "Share-Based Payment," of the
codification of SABs in order to continue to accept, under certain
circumstances, the use of this simplified method beyond Dec. 31, 2007.
For further information, please contact Sandie E. Kim or Mark J.
Barrysmith in the Office of the Chief Accountant at (202) 551-5300.
(Press Rel. 2007-267)
CHAIRMAN COX UNVEILS NEW INTERNET TOOL WITH INSTANT COMPARISONS OF
EXECUTIVE PAY
Securities and Exchange Commission Chairman Christopher Cox today
launched the first-ever online tool that enables investors to easily
and instantly compare what 500 of the largest American companies are
paying their top executives. The new database highlights the power of
interactive data to transform financial disclosure.
The Executive Compensation Reader - available today on the SEC's Web
site at http://www.sec.gov/xbrl - builds on the Commission's new
requirements that went into effect earlier this year to dramatically
enhance clarity and completeness of executive compensation disclosure.
"Gone are the complicated data expeditions that forced investors to
hunt through financial statements, footnotes, proxy statements, and
other disclosure documents to figure out how much a company pays its
top executives," Chairman Cox said. "Through its new rules and the
power of interactive data, the SEC has transformed the landscape of
compensation disclosure. The result is quicker and better analysis,
and better-informed shareholders."
By tagging the executive compensation figures in XBRL, the computer
language of interactive data, the SEC has created a new online tool to
help investors more efficiently view Summary Compensation Tables and
certain other data in the proxy statements of large companies.
Investors can quickly glimpse the total annual pay as well as dollar
amounts for salary, bonus, stock, options and company perks. They can
instantly compare those executive compensation figures with other
companies by sorting according to industry or size.
The SEC's new Web tool includes information in XBRL for 500 large
companies that have filed proxy statements with the Commission. The
new tool includes direct links to companies' proxy statements,
including footnotes and the companies' explanation of their
compensation decisions.
An investor can quickly compare executive compensation information
with the new tool. For example, a user can view amounts included in
the Stock Awards and Option Awards columns of the Summary Compensation
Table in one or both methods of valuing options - based on the amount
of the award expensed under Generally Accepted Accounting Principles,
or based on the estimated potential value at grant date for the
awards.
Selected comparisons can be depicted in both table and graph form,
allowing shareholders to compare how executives are paid at companies
according to industry, public market cap, or revenue. The data also
can be downloaded into Microsoft Excel so that users can further
devise their own programs and tables. The taxonomy is being provided
for use by investors in accordance with the free public use standards
of XBRL International, http://www.xbrl.org, a worldwide consortium
dedicated to the promotion of computer tagged data. The tagged data is
being provided for public use without restriction. (Press Rel. 2007-
268)
ENFORCEMENT PROCEEDINGS
IN THE MATTER OF JAMES CASMAY
SEC BARS BROKER-DEALER BASED ON SALES OF FRAUDULENT ALTERNATIVE CDS
On December 21, the Commission issued an Order Instituting
Administrative Proceedings Pursuant to Section 15(b) of the Securities
Exchange Act of 1934 (Exchange Act), Making Findings and Imposing
Remedial Sanctions (Order) against James Casmay (Casmay). According to
the Order, from at least July 2002 through June 2004, Casmay acted as
an unregistered broker-dealer by selling alternative certificates of
deposit (alternative CDs) issued by Century Financial Services, Inc.
(Century Financial) to investors for transaction based compensation.
The Order finds that on Dec. 4, 2007, a judgment was entered by
consent against Casmay, permanently enjoining him from future
violations of Section 17(a) of the Securities Act of 1933 (Securities
Act), and Sections 15(a) and 10(b) of the Exchange Act and Rule 10b-5
thereunder, in the civil action entitled SEC v. Gari Aldridge, et al.,
Civil Action Number 06-CV-5645, in the United States District Court
for the Northern District of Illinois.
According to the Order, the Commission's complaint alleged that, from
at least July 2002 through June 2004, Casmay and others (the
Principals) raised approximately $1.7 million from 16 investors by
selling these investors notes, which they purported to be alternative
certificate of deposits (alternative CDs) issued by Century Financial
Services, Inc. (Century Financial). Casmay, acting as an unregistered
broker-dealer, solicited investors to purchase the Century Financial
securities by representing to them, among other things, that the
alternative CDs paid a guaranteed 6% annual return and that they were
insured by the Federal Deposit Insurance Corporation (FDIC). The
complaint further alleged that, in reality, the Century Financial
investors did not receive guaranteed returns and the alternative CDs
were not FDIC insured. Rather, the Principals misappropriated investor
money for their personal use, used new investor money to make payments
to prior investors, inappropriately used a portion of the investors'
money to attempt to operate their high-risk mortgage business, and
used investors' money to pay undisclosed commissions to Casmay. As a
result, the investors lost virtually all of their purportedly
guaranteed returns and investments.
Based on the above, the Order bars Casmay from association with any
broker or dealer pursuant to Section 15(b)(6) of the Exchange Act.
Casmay consented to the issuance of the Order without admitting or
denying any of the findings in the Order, except he admitted the entry
of the injunction against him. (Rel. 34-57025; File No. 3-12909)
IN THE MATTER OF GEORGE J. SANDHU
On December 21, the Commission issued an Order Instituting
Administrative Proceedings Pursuant to Section 203(f) of the
Investment Advisers Act of 1940 and Notice of Hearing (Order) against
George J. Sandhu (Sandhu or Respondent). The proceedings are based on
a permanent injunction entered by consent against Sandhu on Nov. 26,
2007, in the civil action entitled SEC v. Universal Express, Inc., et
al., Civil Action Number 1:04-CV-2322 (GEL), in the U.S. District
Court for the Southern District of New York. In the Order, the
Division of Enforcement alleges that the court enjoined Sandhu from
future violations of Sections 5(a), 5(c), and 17(a) of the Securities
Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934
and Rule 10b-5 thereunder. The complaint alleged that Sandhu
participated in a scheme to defraud investors by writing two letters
to Universal Express, Inc. that falsely represented financial
commitments to the company. The company, in turn, used the false
letters as a basis to issue materially false or misleading press
releases which resulted in increases in Universal Express' share price
and trading volume. In addition, the Commission alleged that between
August 2001 and December 2003, Sandhu was a necessary participant in
the offer and sale of shares of Universal Express common stock through
brokerage accounts of third parties when no registration statement was
in effect and no exemption from registration applied.
A hearing will be scheduled before an administrative law judge to
determine whether the allegations contained in the Order are true, to
provide Respondent an opportunity to dispute these allegations, and to
determine what sanctions, if any, are appropriate and in the public
interest. The Order requires that the administrative law judge shall
issue an initial decision no later than 210 days from the date of
service of the order, pursuant to Rule 360(a)(2) of the Commission's
Rules of Practice. (Rel. IA-2685; File No. 3-12910)
COMMISSION SANCTIONS DAVID HENRY DISRAELI AND LIFEPLAN ASSOCIATES,
INC. FOR VIOLATIONS OF THE ANTIFRAUD, REGISTRATION, AND RECORDKEEPING
PROVISIONS OF THE FEDERAL SECURITIES LAWS
The Commission has found that David Henry Disraeli and Lifeplan
Associates, Inc. violated Section 17(a) of the Securities Act of 1933,
Section 10(b) of the Securities Exchange Act of 1934, and Exchange Act
Rule 10b-5, and that Disraeli violated Section 206(1), 206(2), and
206(4) of the Investment Advisers Act of 1940 and Advisers Act Rule
206(4)-(4)(a)(1), by knowingly making material misstatements and
omissions in the offer and sale of securities. The Commission also
found that Disraeli violated Advisers Act Sections 203A and 207 by
registering with the Commission as an investment adviser when he did
not qualify for Commission registration and by making material
misstatements and omissions in his registration applications. The
Commission found further that Disraeli violated Advisers Act Section
204 and Advisers Act Rules 204-2(a)(1), 204-2(a)(2), and 204-2(a)(6)
by failing to maintain accurate books and records. The Commission
revoked Disraeli's investment adviser registration, barred Disraeli
from association with any investment adviser, broker, and dealer,
imposed a $85,000 civil money penalty on Disraeli, ordered that
Disraeli disgorge $84,300 plus prejudgment interest, and imposed
cease-and-desist orders on Disraeli and Lifeplan. (Rels. 33-8880; 34-
57027; IA-2686; File No. 3-12288)
SEC FILES FRAUD COMPLAINT AGAINST ROBERT OLINS, FORMER CEO OF
SPATIALIGHT, SPATIALIGHT AND ARGYLE CAPITAL MANAGEMENT
In a complaint filed on December 20, the Commission alleged that,
between late 2004 and early 2006, SpatiaLight, Inc. (SpatiaLight), its
former CEO, Robert Olins (Olins), and Argyle Capital Management
Corporation (Argyle), committed fraud, and violated the registration
and reporting requirements of the federal securities laws. The
Commission's complaint alleges that Olins realized more than $2.6
million in ill-gotten gains through his misconduct.
The complaint alleges that the defendants engaged in fraudulent,
deceptive conduct and violated multiple regulatory requirements in the
following three sets of circumstances:
* In July 2005, SpatiaLight and Olins filed with the Commission
forged auditor consents as exhibits to registration statements,
falsely reporting that SpatiaLight's former auditor had authorized
SpatiaLight to incorporate by reference its audit reports for
certain fiscal years.
* In August 2005 and February 2006, Olins sold shares of
SpatiaLight stock on the basis of material, non-public information.
For example, as alleged, Olins' August 2005 sales came just one day
after SpatiaLight's former auditor sent a letter demanding that
SpatiaLight withdraw the registration statements containing the
forged auditor consents.
* SpatiaLight, Olins and Argyle engaged in an unregistered
distribution of hundreds of thousands of shares of SpatiaLight
stock. In January 2005, SpatiaLight issued to Argyle 423,264
shares, which Olins instructed SpatiaLight's transfer agent to
issue without restrictive legend. Within weeks of receiving the
shares, Argyle assigned the shares to Olins, who, between April and
June 2005, sold the shares out of an E*Trade account, resulting in
proceeds of more than $2.6 million. According to the complaint,
when Olins opened the E*Trade account, he falsely represented that
he was not an officer, director or 10 percent shareholder of a
publicly-traded company. Olins and SpatiaLight made material
misrepresentations in filings made with the Commission concerning
these unregistered sales. The complaint also alleges that Olins did
not report, or failed to timely report, the sales of more than
700,000 shares of SpatiaLight stock.
Based on the conduct alleged in the complaint, the Commission charges
that SpatiaLight and Olins committed securities fraud in violation of
Section 17(a) of the Securities Act of 1933 (Securities Act), Section
10(b) of the Securities and Exchange Act of 1934 (Exchange Act) and
Exchange Act Rule 10b-5. As alleged, Olins also violated Exchange Act
Section 10(b) and Rule 10b-5 thereunder by selling SpatiaLight stock
on the basis of material, non-public information. The complaint also
alleges that SpatiaLight violated, and Olins aided and abetted
violations of, various reporting requirements for current reports,
annual reports and proxy statements, as well as books and records and
internal control provisions of the federal securities laws, including
Sections 13(a), 13(b) and 14(a) of the Exchange Act and Exchange Act
Rules 12b-20, 13a-1, 13a-11 and 14a-9. According to the complaint,
Olins also violated Exchange Act Section 13(b)(5) by circumventing or
failing to implement an accounting system, or by falsifying books and
records, and Exchange Act Rule 13a-14, by filing false certifications
to annual reports. Furthermore, as alleged, Olins violated the
beneficial ownership reporting statutes, including Exchange Act
Sections 13(d) and 16(a) and Exchange Act Rules 13d-2(a) and 16a-3.
Finally, the complaint alleges that all the defendants violated the
registration requirements of Sections 5(a) and 5(c) of the Securities
Act.
The Commission is seeking a judgment permanently enjoining
SpatiaLight, Olins and Argyle from violating the provisions of the
securities laws specified above and ordering Olins and Argyle to
disgorge ill-gotten gains with prejudgment interest against. The
Commission also is seeking civil money penalties against all
defendants and an officer-and-director bar as to Olins. [SEC v. Robert
Olins, et al., Civil Action No. CV 07-6423 (MMC) NDCA] (LR-20411)
SEC FILES SECURITIES FRAUD ACTION AGAINST RHEA LAWS AND 4D SEISMIC,
INC.
On December 20, the Commission filed a civil action in U.S. District
Court in Houston, Texas against Rhea Laws, an individual residing in
Sugar Land, Texas, and 4D Seismic, Inc., a Nevada corporation based in
Sugar Land. The Commission's complaint alleges that 4D Seismic and
Laws, the company's sole officer and board member, violated Section
10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule
10b-5 thereunder and Sections 5(a) and 5(c) of the Securities Act of
1933 (Securities Act).
According to the complaint, in April 2006, in unregistered and non-
exempt transactions, Laws caused 4D Seismic to issue two million
shares of common stock to a private corporation Laws created and
controlled; Laws promptly re-sold a portion of those shares into the
public market. The complaint further alleges that Laws sought to
maximize his profit by inflating the market for 4D Seismic's
securities through issuing materially false press releases touting
supposed business developments involving 4D Seismic. According to the
complaint, this scheme resulted in over $550,000 in illicit proceeds.
In its complaint, the Commission seeks injunctive relief and
disgorgement of ill-gotten gains, plus pre-judgment interest, as to
Laws and 4D Seismic and, in addition, as to Laws, a civil penalty, an
officer and director bar, a penny stock bar, and the surrender of
certain 4D Seismic shares under Laws's control. [SEC v. Rhea Laws and
4D Seismic, Inc., Civil Action No. 4:07-cv-04479, USDC, SDTX (Houston
Division)] (LR-20412)
FORMER PRUDENTIAL REGISTERED REPRESENTATIVE INDICTED IN CONNECTION
WITH DECEPTIVE MARKET TIMING PRACTICES
The Commission announced today that on December 19 the U.S. Attorney's
Office in Boston, Massachusetts obtained an indictment against Justin
F. Ficken of Boston, Massachusetts, related to Ficken's alleged
deceptive market timing activity while working at Prudential
Securities, Inc. Ficken was charged with one count of conspiracy to
commit wire fraud and securities fraud, four counts of wire fraud,
four counts of securities fraud, and one count of obstruction related
to testimony he gave during the Commission's related investigation.
The Commission previously filed a civil enforcement action against
Ficken and others. The Commission filed its complaint against Ficken,
four other former Prudential Securities registered representatives,
and their former branch manager, on Nov. 4, 2003, and amended its
complaint on July 14, 2004. The amended complaint alleged that Ficken
was part of a three-person group of registered representatives, known
as the Druffner Group, that defrauded mutual fund companies and the
funds' shareholders by placing thousands of market timing trades worth
more than $1 billion for five hedge fund customers from at least
January 2001 through September 2003. According to the amended
complaint, Ficken knew that the mutual fund companies monitored and
attempted to restrict excessive trading in their mutual funds. The
amended complaint alleged that, to evade those restrictions when
placing market timing trades, Druffner Group members disguised their
own identities by establishing multiple broker identification numbers
and disguised their customers' identities by opening numerous customer
accounts for what were, in reality, only a handful of customers.
On Sept. 13, 2007, a the U.S. District Court for the District of
Massachusetts entered a final judgment against Ficken after having
previously granted the Commission's motion for summary judgment
against him. The Commission alleged that Ficken, a former registered
representative of broker-dealer Prudential Securities, Inc., committed
fraud in connection with his deceptive market timing trades in dozens
of mutual funds. The final judgment enjoined Ficken from future
violations of the federal securities laws and ordered him to pay
$589,854 in disgorgement and pre-judgment interest. Ficken has
appealed that judgment, and that appeal is pending. [U.S. v. Justin
Ficken, USDC, District of Massachusetts Criminal No. 1:07-cr-10427-
PBS); SEC v. Martin J. Druffner, et al., USDC, District of
Massachusetts Civil Action No. 1:03-cv-12154-NMG] (LR-20413)
SEC FILES SETTLED ACTION AGAINST LUCENT TECHNOLOGIES INC. IN
CONNECTION WITH PAYMENTS OF CHINESE OFFICIALS' TRAVEL AND
ENTERTAINMENT EXPENSES
COMPANY AGREES TO PAY $1.5 MILLION CIVIL PENALTY
The Commission today filed a settled complaint against Lucent
Technologies Inc. (Lucent) in the U.S. District Court for the District
of Columbia alleging violations of the books and records and internal
controls provisions of the Foreign Corrupt Practices Act. Lucent, a
Delaware corporation that provides communications systems and
services, is a wholly-owned subsidiary of Alcatel-Lucent, a French
company.
The Commission's complaint alleges that, from at least 2000 to 2003,
Lucent spent over $10,000,000 for approximately 1,000 Chinese foreign
officials, who were employees of Chinese state-owned or state-
controlled telecommunications enterprises, to travel to the United
States and elsewhere. The Commission alleges that, in authorizing and
improperly recording the payments for approximately 315 trips for
Chinese government officials that had a disproportionate amount of
sightseeing, entertainment and leisure, Lucent violated the books and
records and internal controls provisions of the Foreign Corrupt
Practices Act of 1977.
In the settlement, Lucent, without admitting or denying the
allegations in the Commission's complaint, consented to the entry of a
final judgment permanently enjoining Lucent from future violations of
Sections 13(b)(2)(A) and 13(b)(2)(B) of the Securities Exchange Act of
1934, and ordering Lucent to pay a civil penalty of $1,500,000. Lucent
has also entered into a non-prosecution agreement with the United
States Department of Justice and has agreed to pay a $1,000,000 fine
pursuant to that agreement. [SEC v. Lucent Technologies, Inc., Civil
Action No. 1:07-cv-02301 (RBW) (D.D.C.) (LR-20414; AAE Rel. 2760)
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 Hammonds Industries, Inc., 601 CIEN STREET, SUITE 235, KEMAH, TX,
77565, 281-334-9479 - 70,000 ($28,700.00) Equity, (File 333-148191 -
Dec. 20) (BR. 09A)
SB-2 VELOCITY ASSET MANAGEMENT INC, 1800 ROUTE 34 NORTH,
BUILDING 4, SUITE 404A, WALL, NJ, 07719, 732-556-9090 -
0 ($12,398,437.50) Equity, (File 333-148192 - Dec. 20) (BR. 07C)
S-8 CSK AUTO CORP, 645 E MISSOURI AVENUE, PHOENIX, AZ, 85012, 6022659200 -
375,000 ($5,985,000.00) Equity, (File 333-148193 - Dec. 20) (BR. 02A)
S-8 CSK AUTO CORP, 645 E MISSOURI AVENUE, PHOENIX, AZ, 85012, 6022659200 -
1,500,000 ($7,740,000.00) Equity, (File 333-148194 - Dec. 20) (BR. 02A)
S-1 CLEARWIRE CORP, 4400 CARILLON POINT, KIRKLAND, WA, 98033,
425-216-7600 - 0 ($19,610,032.00) Equity, (File 333-148195 - Dec. 20)
(BR. 11B)
S-8 CARDICA INC, 900 SAGINAW DRIVE, REDWOOD CITY, CA, 94063, 650-364-9975 -
500,000 ($4,645,000.00) Equity, (File 333-148196 - Dec. 20) (BR. 10A)
S-8 ELECTRONICS FOR IMAGING INC, 303 VELOCITY WAY, FOSTER CITY, CA, 94404,
6503573500 - 3,300,000 ($73,524,000.00) Equity, (File 333-148197 -
Dec. 20) (BR. 03C)
S-8 FORMFACTOR INC, 7005 SOUTHFRONT ROAD, LIVERMORE, CA, 94551,
9252433522 - 0 ($87,668,184.00) Equity, (File 333-148198 - Dec. 20)
(BR. 10A)
SB-2 BLUEFIRE ETHANOL FUELS INC, 31 MUSICK, IRVINE, CA, 92618,
949-588-3767 - 13,488,511 ($42,893,464.00) Mortgage Backed Securities,
(File 333-148199 - Dec. 20) (BR. 06B)
S-3 NEPHROS INC, 3960 BROADWAY, NEW YORK, NY, 10032, 2127815113 -
0 ($21,803,980.40) Equity, (File 333-148200 - Dec. 20) (BR. 10B)
S-1 Verso Paper Corp., 6775 LENOX CENTER COURT, SUITE 400, MEMPHIS, TN,
38115, (901) 369-4100 - 0 ($345,000,000.00) Equity, (File 333-148201 -
Dec. 20) (BR. 09)
SB-2 Renewable Energy Acquisition Corp., 7078 EAST FISH LAKE RD., SUITE 800,
MINNEAPOLIS, MN, 55311, 952-541-1155 - 0 ($33,660,000.00) Equity,
(File 333-148204 - Dec. 20) (BR. 09)
SB-2 Medical Billing Assistance Inc, 16325 East Dorado Ave, Centennial, CO,
80015, 1,596,000 ($399,000.00) Equity, (File 333-148205 - Dec. 20)
(BR. 08)
S-8 AQUA AMERICA INC, 762 LANCASTER AVE, BRYN MAWR, PA, 19010, 2155278000 -
0 ($169,520,000.00) Equity, (File 333-148206 - Dec. 20) (BR. 02C)
S-3ASR MACROVISION CORP, 2830 DE LA CRUZ BLVD., SANTA CLARA, CA, 95050,
4087438600 - 0 ($0.00) Equity, (File 333-148209 - Dec. 20) (BR. 03C)
S-3 Xenonics Holdings, Inc., 2236 RUTHERFORD RD., SUITE 123, CARLSBAD, CA,
92008, 760-438-4004 - 0 ($3,785,776.00) Equity, (File 333-148210 -
Dec. 20) (BR. 11A)
S-8 OSI PHARMACEUTICALS INC, 41 PINELAWN ROAD, MELVILLE, NY, 11747,
631-962-2000 - 0 ($329,491,164.32) Equity, (File 333-148211 - Dec. 20)
(BR. 01B)
S-8 US Energy Initiatives CORP, 2701 NORTH ROCKY POINT DRIVE, TAMPA, FL,
33607, 8132875787 - 10,000,000 ($225,000.00) Equity, (File 333-148214 -
Dec. 20) (BR. 05B)
S-1 Intrepid Potash, Inc., 700 17TH STREET, SUITE 1750, DENVER, CO, 80202,
303-296-3006 - 0 ($100,000,000.00) Equity, (File 333-148215 - Dec. 20)
(BR. 04)
S-3ASR KROGER CO, 1014 VINE ST, CINCINNATI, OH, 45201, 5137624000 -
0 ($0.00) Other, (File 333-148216 - Dec. 20) (BR. 02B)
S-3 SMF ENERGY CORP, 200 WEST CYPRESS CREEK ROAD, SUITE 400, FT LAUDERDALE,
FL, 33309, 954 308 4200 - 4,645,273 ($3,517,504.66) Equity,
(File 333-148217 - Dec. 20) (BR. 04B)
S-3 ARROWHEAD RESEARCH CORP, 201 SOUTH LAKE AVENUE, SUITE 703, PASADENA,
CA, 91101, 626-304-3400 - 0 ($50,000,000.00) Equity, (File 333-148218 -
Dec. 20) (BR. 01B)
SB-2 WILLIAM PENN BANCORP INC, 8150 ROUTE 13, LEVITTOWN, PA, 19057,
215-945-1200 - 1,983,750 ($19,837,500.00) Equity, (File 333-148219 -
Dec. 20) (BR. )
SB-2 Znomics, Inc., 2611 SW THIRD AVE., SUITE 200, PORTLAND, OR, 97201,
503-827-5271 - 3,490,828 ($4,879,999.50) Equity, (File 333-148220 -
Dec. 20) (BR. 01A)
SB-2 Baseline Oil & Gas Corp., 16161 COLLEGE OAK, SUITE 101, SAN ANTONIO,
TX, 78249, 210-408-6019 EXT 2 - 0 ($53,070,000.00) Other,
(File 333-148221 - Dec. 20) (BR. 04C)
S-8 EAU TECHNOLOGIES, INC., 1464 WEST 40 SOUTH STE 200, LINDON, UT,
84042-1629, 801-443-1029 - 0 ($2,700,000.00) Equity, (File 333-148222 -
Dec. 20) (BR. 06C)
S-8 EAU TECHNOLOGIES, INC., 1464 WEST 40 SOUTH STE 200, LINDON, UT,
84042-1629, 801-443-1029 - 0 ($2,119,250.00) Equity, (File 333-148223 -
Dec. 20) (BR. 06C)
S-8 ARADIGM CORP, 3929 POINT EDEN WAY, HAYWARD, CA, 94545, 5102659000 -
0 ($2,456,000.00) Equity, (File 333-148226 - Dec. 20) (BR. 10A)
S-3 PRESSURE BIOSCIENCES INC, 321 MANLEY STREET, WEST BRIDGEWATER, MA,
02379, 5085801818 - 0 ($633,750.00) Equity, (File 333-148227 - Dec. 20)
(BR. 10C)
S-4 Baseline Oil & Gas Corp., 16161 COLLEGE OAK, SUITE 101, SAN ANTONIO,
TX, 78249, 210-408-6019 EXT 2 -
0 ($115,000,000.00) Non-Convertible Debt, (File 333-148228 - Dec. 20)
(BR. 04C)
S-3ASR SLM CORP, 12061 BLUEMONT WAY, RESTON, VA, 20190, 7038103000 -
0 ($0.00) Equity, (File 333-148229 - Dec. 20) (BR. 07C)
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 8K ITEM NO.
NAME OF ISSUER CODE DATE COMMENT
ABBOTT LABORATORIES IL 5.02,5.03,9.01 12/14/07
ACE LTD D0 1.01,8.01,9.01 12/14/07
ACHILLION PHARMACEUTICALS INC 5.02 12/14/07
ADAMS RESOURCES & ENERGY, INC. DE 5.03 12/17/07
ADUDDELL INDUSTRIES INC CO 8.01 12/15/07
ADVANCED ENERGY INDUSTRIES INC DE 5.02 12/17/07
ADVENT SOFTWARE INC /DE/ DE 5.02,9.01 12/14/07
AFFYMAX INC 5.02 12/18/07
AFFYMETRIX INC DE 1.01,7.01,9.01 12/15/07
AIR PRODUCTS & CHEMICALS INC /DE/ DE 7.01,9.01 12/19/07
AIR PRODUCTS & CHEMICALS INC /DE/ DE 5.02,9.01 12/14/07
AKESIS PHARMACEUTICALS, INC. NV 3.02,5.02,8.01,9.01 12/17/07
ALASKA AIR GROUP INC DE 5.03,7.01,8.01,9.01 12/20/07
ALASKA AIRLINES INC AK 8.01 12/20/07
ALBANY MOLECULAR RESEARCH INC DE 5.03,9.01 12/14/07
ALLEGHANY CORP /DE DE 5.03,8.01,9.01 12/18/07
ALLIANCE BANCORP INC OF PENNSYLVANIA X1 5.03,9.01 12/14/07
ALLIANCE IMAGING INC /DE/ DE 5.02,5.03,8.01,9.01 12/14/07
ALLIANCEBERNSTEIN HOLDING L.P. DE 5.02,7.01,9.01 12/17/07
ALLIANCEBERNSTEIN L.P. DE 5.02,7.01,9.01 12/17/07
Allied Nevada Gold Corp DE 5.02,7.01,9.01 12/14/07
ALLOY STEEL INTERNATIONAL INC 4.01,9.01 12/18/07
ALTERA CORP DE 8.01 11/09/07
Alternative Construction Company, Inc FL 5.02,9.01 12/20/07
Altus Pharmaceuticals Inc. DE 1.02,7.01 12/19/07
AMAG PHARMACEUTICALS INC. DE 8.01,9.01 12/19/07
AMC ENTERTAINMENT INC DE 5.02,9.01 12/17/07
AMERICA FIRST TAX EXEMPT INVESTORS LP DE 8.01,9.01 12/19/07
AMERICAN FINANCIAL REALTY TRUST 8.01,9.01 12/20/07
AMERICAN GREETINGS CORP OH 2.02,9.01 12/20/07
AMERICAN MEDICAL ALERT CORP NY 5.03,9.01 12/18/07
AMERICAN RIVER BANKSHARES CA 8.01,9.01 12/20/07
Ameris Bancorp GA 5.02 12/17/07
ANADYS PHARMACEUTICALS INC 1.02,9.01 12/18/07
ANAREN INC NY 5.03,9.01 12/19/07
AON CORP DE 1.01,8.01,9.01 12/14/07
AON CORP DE 5.02,9.01 12/15/07
APOGEE ENTERPRISES INC MN 2.02,9.01 12/19/07
Apple REIT Seven, Inc. VA 9.01 12/10/07 AMEND
APPLERA CORP DE 5.02,9.01 12/19/07
Ardea Biosciences, Inc./DE DE 1.01,3.02,7.01,9.01 12/19/07
Ardea Biosciences, Inc./DE DE 5.02 12/14/07
ARENA PHARMACEUTICALS INC DE 1.01 12/17/07
ARRIS GROUP INC DE 2.01,5.02,9.01 12/14/07
ARYx Therapeutics, Inc. DE 2.02,9.01 12/20/07
Ashton Woods USA L.L.C. NV 1.01,8.01,9.01 12/20/07
Aspreva Pharmaceuticals CORP A1 1.01 12/19/07
ASTORIA FINANCIAL CORP DE 8.01,9.01 12/20/07
AURELIO RESOURCE CORP NV 8.01,9.01 12/20/07
AUTHENTIDATE HOLDING CORP DE 3.01,9.01 12/18/07
AUTODESK INC DE 8.01,9.01 12/04/07
AUTOIMMUNE INC DE 1.01 12/16/07
AVID TECHNOLOGY INC DE 5.02,9.01 12/14/07
BABYUNIVERSE, INC. FL 2.02,9.01 12/18/07
BAKERS FOOTWEAR GROUP INC MO 2.02,7.01,9.01 12/18/07
BALLANTYNE OF OMAHA INC DE 2.01,9.01 12/10/07 AMEND
BALLISTIC RECOVERY SYSTEMS INC MN 5.02 10/15/07
BANK HOLDINGS NV 8.01,9.01 12/17/07
BANK HOLDINGS NV 8.01 12/19/07
BANK OF SOUTH CAROLINA CORP SC 8.01 12/20/07
BAR HARBOR BANKSHARES ME 8.01 12/20/07
BARNES GROUP INC DE 8.01,9.01 12/20/07
BENTLEY PHARMACEUTICALS INC DE 5.02 12/14/07
BFC FINANCIAL CORP FL 7.01 12/19/07
BIOJECT MEDICAL TECHNOLOGIES INC OR 1.01,9.01 12/19/07
BIOPURE CORP DE 3.01,5.02,5.03,9.01 12/14/07
BMC SOFTWARE INC DE 5.02 12/19/07
BOTTLING GROUP LLC DE 5.02 12/17/07
BRAINSTORM CELL THERAPEUTICS INC 5.02,9.01 12/17/07
Bridge Capital Holdings CA 5.02,9.01 12/20/07
Bridgeline Software, Inc. DE 5.02 09/04/07
BRITTON & KOONTZ CAPITAL CORP MS 5.02 12/18/07
Brookdale Senior Living Inc. DE 5.03,9.01 12/14/07
Brooklyn Federal Bancorp, Inc. X1 5.02,9.01 12/18/07
Builders FirstSource, Inc. DE 1.01,1.02,2.03,9.01 12/14/07
C2 Global Technologies Inc FL 8.01,9.01 12/18/07
CALTON INC NJ 1.01,9.01 12/20/07
Camden Learning CORP DE 8.01,9.01 12/20/07
CAMDEN NATIONAL CORP ME 3.01,8.01,9.01 12/20/07
CAPITAL CROSSING PREFERRED CORP MA 5.02 12/14/07
CapLease, Inc. 1.01,2.03,9.01 12/17/07
CARDINAL HEALTH INC OH 7.01,9.01 12/20/07
CARNIVAL CORP DE 2.02,9.01 12/20/07
CASPIAN INTERNATIONAL OIL CORP DE 1.01 12/14/07
CAVALIER HOMES INC DE 2.05,2.06,9.01 12/14/07
CEC ENTERTAINMENT INC KS 8.01 12/20/07
CELGENE CORP /DE/ DE 8.01,9.01 12/20/07
CELL GENESYS INC DE 1.01,7.01,9.01 12/19/07
Celsion CORP MD 5.02,9.01 12/14/07
CENTER BANCORP INC NJ 1.01,9.01 12/03/07
Central Iowa Energy, LLC IA 7.01,9.01 12/19/07
CFS BANCORP INC IN 7.01,9.01 12/20/07
CHAMPION PARTS INC IL 9.01 11/30/07
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 12/19/07
CHEMBIO DIAGNOSTICS, INC. NV 3.02,5.03,7.01,9.01 12/19/07
CHESAPEAKE ENERGY CORP OK 8.01,9.01 12/19/07
CHICOS FAS INC FL 5.03,9.01 12/18/07
CHILDRENS PLACE RETAIL STORES INC 5.02,9.01 12/19/07
CHINA FUND INC MD 7.01,9.01 11/01/07
CHINDEX INTERNATIONAL INC DE 5.02 12/17/07
CIT GROUP INC DE 1.01 12/17/07
Citicorp Mortgage Securities Trust, S DE 9.01 12/20/07
CITIZENS BANCORP/OR 8.01,9.01 12/18/07
CLAYTON WILLIAMS ENERGY INC /DE DE 1.01,9.01 12/17/07
COAST DISTRIBUTION SYSTEM INC DE 5.03,9.01 12/19/07
COCA COLA BOTTLING CO CONSOLIDATED /D DE 5.02,9.01 12/20/07
COGNIGEN NETWORKS INC CO 8.01,9.01 12/14/07
COLLECTIVE BRANDS, INC. DE 1.01,9.01 12/19/07
COLONY BANKCORP INC GA 8.01 12/20/07
COLONY BANKCORP INC GA 8.01 12/20/07
COMFORCE CORP DE 5.03,9.01 12/20/07
COMMUNITY CAPITAL BANCSHARES INC 5.02 12/17/07
COMMUNITY FINANCIAL CORP /VA/ VA 5.03,9.01 12/19/07
Compass Diversified Holdings DE 8.01,9.01 12/19/07
COMPUTER SCIENCES CORP NV 2.02 12/20/07
COMPUTER TASK GROUP INC NY 7.01,9.01 12/20/07
Con-way Inc. DE 5.02 12/20/07
CONAGRA FOODS INC /DE/ DE 2.02,9.01 12/20/07
CONCURRENT COMPUTER CORP/DE DE 1.01,2.03,9.01 12/19/07
CONSECO INC DE 7.01,9.01 12/20/07
COOPER TIRE & RUBBER CO DE 8.01,9.01 12/18/07
CORNING NATURAL GAS CORP NY 8.01 12/17/07
COSTAR GROUP INC 8.01 12/19/07
COVENTRY HEALTH CARE INC DE 5.02,9.01 12/20/07
CPI CORP DE 2.02,9.01 11/10/07
CRITICAL PATH INC CA 1.01,3.03,9.01 12/14/07
CROSS TIMBERS ROYALTY TRUST TX 2.02,9.01 12/20/07
CUBIC CORP /DE/ DE 5.02 12/20/07
CUMMINS INC IN 5.02,9.01 12/20/07
CURAGEN CORP DE 5.02 12/14/07
CURIS INC DE 5.02,9.01 12/17/07
Customer Acquisition Network Holdings DE 1.01,2.03,9.01 12/18/07
CYBER DIGITAL INC NY 5.03 12/20/07
DANA CORP VA 7.01,9.01 12/20/07
DAVE & BUSTERS INC MO 2.02,9.01 12/18/07
DAYBREAK OIL & GAS INC WA 5.02,9.01 12/18/07
DCP Midstream Partners, LP DE 5.02,9.01 12/19/07
DECKERS OUTDOOR CORP DE 1.01,5.02,9.01 12/19/07
Deep Field Technologies, Inc. NJ 5.02 12/14/07
Delanco Bancorp, Inc 1.01,9.01 12/17/07
DemandTec, Inc. DE 5.02,9.01 12/19/07
DEXTERITY SURGICAL INC DE 1.01,2.01,3.02,5.01,5.02,5.06, 12/18/07
9.01
DIGITAL LIGHTWAVE INC DE 1.01,2.03,8.01,9.01 12/14/07
Discover Financial Services DE 2.02,9.01 12/20/07
DIVX INC 5.02,5.03,7.01,9.01 12/19/07
DNAPRINT GENOMICS INC UT 2.05 12/14/07
Dollarama Group L.P. A8 7.01,9.01 12/19/07
DOMINION HOMES INC OH 3.01,5.02,9.01 12/17/07
DOWNEY FINANCIAL CORP DE 5.02,5.03,9.01 12/19/07
DRI CORP NC 7.01,9.01 12/20/07
DUCKWALL ALCO STORES INC KS 7.01 12/20/07
EASYLINK SERVICES INTERNATIONAL CORP DE 2.01,9.01 12/18/07
EBAY INC DE 5.02 12/14/07
Echo Therapeutics, Inc. MN 1.01,9.01 12/14/07
ELECTROGLAS INC DE 2.02,9.01 12/20/07
ELECTRONIC CLEARING HOUSE INC NV 1.01,3.03,7.01,9.01 12/19/07
Electronic Sensor Technology, Inc 5.02 12/14/07
EMC CORP MA 5.02,9.01 12/19/07
EMERSON ELECTRIC CO MO 7.01 12/20/07
EMPIRE DISTRICT ELECTRIC CO KS 8.01,9.01 12/19/07
ENER1 INC FL 8.01 12/20/07
ENERGIZER HOLDINGS INC MO 1.01,2.03,9.01 12/18/07
Energy Infrastructure Acquisition Cor DE 7.01,9.01 12/20/07
EnerJex Resources, Inc. NV 1.01,8.01,9.01 12/10/07
ENNIS, INC. TX 5.03,9.01 12/20/07
EPICOR SOFTWARE CORP DE 1.01,1.02,2.03,9.01 12/16/07
EPICUS COMMUNICATIONS GROUP INC FL 4.01 12/20/07
EQUUS TOTAL RETURN, INC. DE 5.02,9.01 12/19/07
EVANS BOB FARMS INC DE 5.02,9.01 12/17/07
Ever-Glory International Group, Inc. FL 4.01,9.01 12/12/07 AMEND
EVEREST FUND L P IA 8.01 12/19/07
EXAR CORP DE 5.02,7.01,9.01 12/18/07
EXCELSIOR LASALLE PROPERTY FUND INC 3.02 12/20/07
FASTENAL CO MN 8.01,9.01 12/20/07
Federal Home Loan Bank of Atlanta X1 2.03 12/17/07
Federal Home Loan Bank of Chicago X1 2.03 12/17/07
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 12/17/07
Federal Home Loan Bank of Dallas 2.03 12/17/07
Federal Home Loan Bank of Des Moines X1 2.03,9.01 12/17/07
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 12/18/07
Federal Home Loan Bank of New York X1 2.03,9.01 12/17/07
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 12/17/07
Federal Home Loan Bank of San Francis X1 2.03 12/17/07
Federal Home Loan Bank of Seattle 2.03 12/19/07
FEDERAL NATIONAL MORTGAGE ASSOCIATION 3.02,5.03,9.01 12/14/07
FEDEX CORP DE 2.02,9.01 12/20/07
FelCor Lodging Trust Inc MD 1.01,2.01,2.03,8.01,9.01 12/14/07
FGX International Holdings LTD 1.01,1.02,2.03,7.01,9.01 12/19/07
FINDEX COM INC NV 5.02,8.01,9.01 12/14/07
FIRST COMMUNITY BANCSHARES INC /NV/ NV 5.03,8.01,9.01 12/18/07
FIRST FEDERAL BANCSHARES OF ARKANSAS TX 5.02,9.01 12/14/07
FIRST FINANCIAL HOLDINGS INC /DE/ DE 4.01 12/20/07
FIRST NATIONAL LINCOLN CORP /ME/ ME 8.01 12/20/07
FIRST UNITED ETHANOL LLC GA 7.01,9.01 12/20/07
FIRST UNITED ETHANOL LLC GA 1.01 11/20/07
FNB CORP/FL/ FL 5.02 12/19/07
FOOTSTAR INC DE 8.01 12/20/07
FOREST CITY ENTERPRISES INC OH 1.01,2.03,9.01 12/20/07
FOSSIL INC DE 5.02 12/20/07
FPL GROUP INC FL 2.03,5.02 12/14/07
FRANKLIN ELECTRIC CO INC IN 5.03,9.01 12/14/07
FREEDOM FINANCIAL GROUP INC DE 5.02,9.01 12/20/07
FRONTIER OIL CORP /NEW/ WY 7.01 12/19/07
FUELCELL ENERGY INC DE 5.02,9.01 12/14/07
FULTON FINANCIAL CORP PA 5.03,9.01 12/20/07
FX ENERGY INC NV 8.01,9.01 12/20/07
GENE LOGIC INC DE 3.01,9.01 12/14/07
GENE LOGIC INC DE 2.01,9.01 12/14/07
GENERAL METALS CORP DE 5.02,7.01,9.01 12/17/07
GENESIS BIOVENTURES INC NY 1.01,3.02,5.02 10/03/07
GENITOPE CORP DE 8.01,9.01 12/20/07
GENOPTIX INC 5.02,9.01 12/18/07
GENWORTH LIFE & ANNUITY INSURANCE CO VA 9.01 12/20/07
GENWORTH LIFE & ANNUITY INSURANCE CO VA 9.01 12/20/07
GEO GROUP INC FL 8.01 12/20/07
GEOGLOBAL RESOURCES INC. DE 4.01,9.01 12/20/07
GLATFELTER P H CO PA 5.03,9.01 12/18/07
Global Wataire, Inc. NV 1.01,3.02,9.01 12/19/07
GlobalOptions Group, Inc. DE 8.01,9.01 12/20/07
GLU MOBILE INC 2.01,9.01 12/19/07
GoFish Corp. 1.01,5.02,8.01,9.01 12/18/07
GOLDEN CYCLE GOLD CORP CO 7.01,9.01 12/18/07
GOLDEN QUEEN MINING CO LTD 8.01,9.01 12/14/07
GOLF TRUST OF AMERICA INC MD 5.02 12/14/07
GOLF TRUST OF AMERICA INC MD 3.01,9.01 12/14/07
GRAMERCY CAPITAL CORP MD 8.01,9.01 12/20/07
GRANITE CITY FOOD & BREWERY LTD MN 1.01,9.01 12/14/07
GREAT SOUTHERN BANCORP INC MD 2.02,9.01 12/19/07
GREATER COMMUNITY BANCORP NJ 8.01,9.01 12/18/07
GREEN BANKSHARES, INC. TN 7.01,9.01 12/19/07
HALLIBURTON CO DE 5.02,8.01 12/14/07
HALOZYME THERAPEUTICS INC DE 1.01,9.01 12/14/07
HAMPSHIRE GROUP LTD DE 5.02,9.01 12/14/07
HAMPTONS LUXURY HOMES INC DE 8.01,9.01 12/20/07
Hana Biosciences Inc DE 5.02 12/17/07
HARRAHS ENTERTAINMENT INC DE 8.01,9.01 12/18/07
HARRAHS ENTERTAINMENT INC DE 8.01,9.01 12/20/07
HC Innovations, Inc. DE 1.01,5.02,8.01,9.01 12/20/07
HEALTH NET INC DE 1.01,2.03,9.01 12/17/07
HEALTHTRONICS, INC. GA 5.03,9.01 12/17/07
HeartWare LTD C3 7.01,9.01 12/19/07
HERBALIFE LTD. E9 5.02,9.01 12/18/07
HERBST GAMING INC NV 1.01,9.01 12/14/07
HIGHBURY FINANCIAL INC DE 8.01,9.01 12/20/07
HOLLY CORP DE 7.01,9.01 12/19/07
HOME DIAGNOSTICS INC DE 8.01,9.01 12/17/07
HORIZON BANCORP /IN/ IN 8.01 12/17/07
HORIZON FINANCIAL CORP WA 5.02,9.01 12/18/07
HUDSON HIGHLAND GROUP INC DE 1.01,2.01,9.01 12/14/07
HUGOTON ROYALTY TRUST TX 2.02,9.01 12/20/07
HUMAN GENOME SCIENCES INC DE 5.02,9.01 12/18/07
HUMAN GENOME SCIENCES INC DE 8.01,9.01 12/19/07
HYPERCOM CORP DE 1.01,5.02,8.01,9.01 12/20/07
I TRAX INC DE 1.01,2.01,2.03,3.02,5.02,9.01 12/14/07
IBT BANCORP INC PA 3.03,9.01 12/16/07
ICO INC TX 5.02,9.01 12/17/07
ICONIX BRAND GROUP, INC. DE 2.01,2.03,9.01 12/17/07
IDERA PHARMACEUTICALS, INC. DE 1.01 12/18/07
IDT CORP DE 5.02,5.05,9.01 12/17/07
IMERGENT INC DE 8.01,9.01 12/20/07
INDALEX HOLDINGS FINANCE INC 5.02 12/14/07
INDEVUS PHARMACEUTICALS INC DE 8.01,9.01 12/19/07
Index Oil & Gas Inc. NV 5.02,9.01 12/16/07
INFOSONICS CORP 1.01,7.01,9.01 12/19/07
Inland American Real Estate Trust, In MD 1.01,2.03,9.01 12/17/07
INLAND WESTERN RETAIL REAL ESTATE TRU MD 7.01,9.01 12/20/07
INNOVATIVE CARD TECHNOLOGIES INC DE 1.01,5.02,8.01,9.01 12/14/07
INNOVATIVE SOFTWARE TECHNOLOGIES INC CA 3.02 12/17/07
INPHONIC INC 8.01 12/13/07
INTERNATIONAL RECTIFIER CORP /DE/ DE 1.01 12/17/07
International Securities Exchange Hol 2.01,3.01,5.01,5.02,8.01,9.01 12/19/07
INTERNATIONAL TEXTILE GROUP INC DE 8.01,9.01 12/14/07
INTERSTATE BAKERIES CORP/DE/ DE 1.01,9.01 12/19/07
INTERSTATE HOTELS & RESORTS INC DE 5.02,5.03,9.01 12/14/07
IOMEGA CORP DE 5.02 12/20/07
ION GEOPHYSICAL CORP DE 8.01 12/20/07
IRELAND INC. NV 1.01,5.02,9.01 12/14/07
IROBOT CORP DE 7.01,9.01 12/18/07
ISECURETRAC CORP DE 1.01,2.03,9.01 12/18/07
ITC DELTACOM INC DE 8.01 12/19/07
ITRON INC /WA/ WA 7.01,9.01 12/20/07
ITT EDUCATIONAL SERVICES INC DE 1.01,1.02,2.03,5.02,9.01 12/17/07
J P MORGAN CHASE & CO DE 9.01 12/18/07
J.P. Morgan Chase Commercial Mortgage DE 8.01,9.01 12/20/07
JABIL CIRCUIT INC DE 2.02,9.01 12/20/07
JANUS CAPITAL GROUP INC DE 7.01 12/20/07
K-SEA TRANSPORTATION PARTNERS LP 5.03,8.01,9.01 11/30/07
KEYCORP /NEW/ OH 8.01,9.01 12/20/07
KINETIC CONCEPTS INC /TX/ TX 1.01,1.02 12/14/07
KLONDIKE STAR MINERAL CORP DE 8.01 12/18/07
LADENBURG THALMANN FINANCIAL SERVICES FL 1.01,5.02,9.01 12/20/07
LADISH CO INC WI 8.01,9.01 12/19/07
Lake Shore Bancorp, Inc. X1 5.02,5.03,9.01 12/19/07
LAKELAND BANCORP INC NJ 8.01,9.01 12/20/07
LCC INTERNATIONAL INC DE 3.01,9.01 12/19/07
LCC INTERNATIONAL INC DE 4.01,9.01 12/19/07 AMEND
LEAR CORP DE 2.05,2.06,7.01,9.01 12/20/07
LEHMAN ABS CORP BACKED TRUST CERTS SE DE 8.01,9.01 12/17/07
LEHMAN BROTHERS HOLDINGS INC DE 9.01 12/18/07
LEUCADIA NATIONAL CORP NY 5.03,9.01 12/17/07
LEVEL 3 COMMUNICATIONS INC DE 5.02,7.01,8.01,9.01 12/14/07
LIFETIME BRANDS, INC DE 2.01,9.01 12/19/07
LINCOLN BENEFIT LIFE CO NE 1.01,9.01 12/14/07
LINDSAY CORP DE 2.02,9.01 12/20/07
LIPID SCIENCES INC/ AZ 8.01,9.01 12/19/07
LL&E ROYALTY TRUST TX 8.01,9.01 12/19/07
LONGWEI PETROLEUM INVESTMENT HOLDING CO 2.01,3.02,5.01,5.02,5.06,9.01 10/16/07 AMEND
LSB INDUSTRIES INC DE 5.03,9.01 12/18/07
MAINSTREET BANKSHARES INC VA 8.01 12/19/07
MAIR HOLDINGS INC MN 8.01,9.01 12/19/07
MALEX INC DE 5.03,8.01,9.01 09/18/07
MANGOSOFT INC NV 8.01,9.01 12/20/07
MANOR CARE INC DE 8.01,9.01 12/20/07
MARCUS CORP WI 2.02,9.01 12/20/07
Marquee Holdings Inc. DE 5.02,9.01 12/17/07
MAX CAPITAL GROUP LTD. 8.01 12/19/07
MDC HOLDINGS INC DE 8.01 12/17/07
MEDCATH CORP DE 7.01,9.01 12/20/07
MEDecision, Inc. PA 5.03,9.01 12/17/07
MEDICAL SOLUTIONS MANAGEMENT INC. NV 1.01,2.03,9.01 12/16/07
MEMORY PHARMACEUTICALS CORP 8.01,9.01 12/20/07
MERCURY COMPUTER SYSTEMS INC MA 5.02,5.03,9.01 12/14/07
MICRON TECHNOLOGY INC DE 2.02,2.05,9.01 12/20/07
MID PENN BANCORP INC PA 5.02,9.01 12/19/07
MINISTRY PARTNERS INVESTMENT CORP CA 5.02 12/14/07
MISSION WEST PROPERTIES INC CA 5.03 12/18/07
MOCON INC MN 5.03,9.01 12/13/07
MOMENTA PHARMACEUTICALS INC DE 5.02 12/14/07
Monogram Biosciences, Inc. DE 7.01,9.01 12/19/07
MOSAIC CO 7.01 12/14/07
Nalco Finance Holdings LLC 5.02 12/20/07
Nalco Holding CO 5.02 12/20/07
Nalco Holdings LLC DE 5.02 12/20/07
NASTECH PHARMACEUTICAL CO INC DE 1.01,5.02,9.01 12/19/07
NATURALLY ADVANCED TECHNOLOGIES INC A1 5.02 12/14/07
NEENAH ENTERPRISES, INC. 5.02 12/14/07
NEKTAR THERAPEUTICS DE 1.01,7.01 12/17/07
NEOMEDIA TECHNOLOGIES INC DE 5.02 12/14/07
NEOPROBE CORP DE 1.01,8.01,9.01 12/14/07
NETBANK INC GA 5.02,8.01,9.01 12/13/07
NETWORK ENGINES INC DE 5.02 11/09/07
NETWORK EQUIPMENT TECHNOLOGIES INC DE 1.01,2.03,3.02,9.01 12/18/07
NEUROBIOLOGICAL TECHNOLOGIES INC /CA/ DE 5.02 12/16/07
NITRO PETROLEUM INC. 5.02 12/15/07
NOBEL LEARNING COMMUNITIES INC DE 7.01,9.01 12/20/07
NOBILITY HOMES INC FL 2.02,9.01 12/20/07
NORTH CENTRAL BANCSHARES INC IA 5.02,9.01 12/14/07
NORTH PITTSBURGH SYSTEMS INC PA 8.01 12/20/07
NOVADEL PHARMA INC DE 5.02 12/14/07
NOVAVAX INC DE 8.01,9.01 12/20/07
NOVELOS THERAPEUTICS, INC. DE 5.02 12/17/07
NTELOS HOLDINGS CORP 5.02,9.01 12/20/07
NTN BUZZTIME INC DE 5.02,5.03,9.01 12/18/07
NUCOR CORP DE 5.03,9.01 12/20/07
NuStar GP Holdings, LLC DE 1.01,9.01 12/20/07
NVE CORP /NEW/ MN 1.01 12/17/07 AMEND
Oilsands Quest Inc 8.01,9.01 12/20/07
OPEN ENERGY CORP NV 8.01 12/12/07
OPLINK COMMUNICATIONS INC DE 5.03,9.01 12/14/07
Oracle Healthcare Acquisition Corp. 8.01,9.01 12/20/07
OSI SYSTEMS INC CA 8.01,9.01 12/19/07
OTTER TAIL CORP MN 1.01,2.03,9.01 12/14/07
OXIGENE INC DE 5.03,9.01 12/19/07
PAB BANKSHARES INC GA 8.01 12/20/07
PACIFIC FINANCIAL CORP WA 8.01 12/19/07
PANACOS PHARMACEUTICALS, INC. DE 5.03,9.01 12/18/07
PAR PHARMACEUTICAL COMPANIES, INC. DE 2.02,9.01 12/20/07
PARADISE MUSIC & ENTERTAINMENT INC DE 2.01 12/17/07
PATHFINDER BANCORP INC DE 8.01 12/20/07
PATRIOT NATIONAL BANCORP INC CT 8.01,9.01 12/20/07
PEAPACK GLADSTONE FINANCIAL CORP NJ 5.02 12/14/07
PENN TREATY AMERICAN CORP PA 5.02,5.03,9.01 12/13/07
PENNSYLVANIA COMMERCE BANCORP INC 5.03,9.01 12/19/07
PEP BOYS MANNY MOE & JACK PA 5.03,9.01 12/19/07
PERMIAN BASIN ROYALTY TRUST TX 2.02,9.01 12/20/07
PFF BANCORP INC DE 8.01,9.01 12/20/07
PHOENIX TECHNOLOGIES LTD DE 8.01 12/20/07
Piedmont Mining Company, Inc. NC 3.03,5.03,9.01 12/17/07
PIER 1 IMPORTS INC/DE DE 2.02,9.01 12/20/07
PILGRIMS PRIDE CORP DE 5.02 12/19/07
PLAYBOX (US) INC. NV 1.01,5.02,8.01,9.01 12/14/07
PLUMAS BANCORP CA 8.01,9.01 12/20/07
PNM RESOURCES INC NM 7.01 12/20/07
POOL CORP DE 1.01,2.03,7.01,9.01 12/20/07
POST PROPERTIES INC GA 5.03,9.01 12/19/07
Power Medical Interventions, Inc. DE 5.02 12/14/07
PPL ENERGY SUPPLY LLC 2.03,8.01,9.01 12/20/07
PRIVATEBANCORP, INC DE 9.01 12/14/07
PROGRESS SOFTWARE CORP /MA MA 2.02,9.01 12/20/07
PROGRESSIVE CORP/OH/ OH 5.02,9.01 12/14/07
PRUDENTIAL BANCORP INC OF PENNSYLVANI 7.01,9.01 12/19/07
Quadra Realty Trust, Inc. MD 7.01 12/20/07
QUANTA SERVICES INC DE 8.01,9.01 12/20/07
QUEST RESOURCE CORP NV 7.01,9.01 12/20/07
RASER TECHNOLOGIES INC UT 1.01 12/14/07
RED HAT INC DE 2.02,9.01 12/20/07
RED HAT INC DE 5.02,9.01 12/17/07
Redpoint Bio CORP 5.02,9.01 12/19/07
REMOTE MDX INC UT 1.01,3.02,7.01,9.01 12/19/07
RENAISSANCE CAPITAL GROWTH & INCOME F TX 2.02,7.01,9.01 12/17/07
RES CARE INC /KY/ KY 8.01,9.01 12/19/07
RESOURCES CONNECTION INC DE 2.02,9.01 12/20/07
RF MONOLITHICS INC /DE/ DE 2.02,9.01 12/20/07
RIGEL PHARMACEUTICALS INC DE 5.02,9.01 12/17/07
RIGHTNOW TECHNOLOGIES INC MT 5.02,9.01 12/19/07
RITE AID CORP DE 2.02,9.01 12/01/07
RIVERVIEW BANCORP INC WA 5.03,9.01 12/19/07
ROCKWELL MEDICAL TECHNOLOGIES INC MI 5.02,5.03,9.01 12/17/07
Rockwood Holdings, Inc. DE 5.02,5.03,9.01 12/14/07
ROCKY BRANDS, INC. OH 5.02,9.01 12/14/07
RONSON CORP NJ 5.03,8.01,9.01 12/06/07 AMEND
ROWAN COMPANIES INC DE 7.01,9.01 12/20/07
RUBY TUESDAY INC GA 2.02,9.01 12/04/07
Ruths Chris Steak House, Inc. DE 7.01 12/20/07
S1 CORP /DE/ DE 8.01 12/18/07
SAFLINK CORP DE 1.01,8.01,9.01 12/14/07
SANTARUS INC DE 8.01 12/20/07
SAVE THE WORLD AIR INC NV 1.01,8.01,9.01 12/17/07
SCHIFF NUTRITION INTERNATIONAL, INC. DE 2.02,9.01 12/20/07
SCHMITT INDUSTRIES INC OR 1.01 12/14/07
SCHOLASTIC CORP DE 2.02,9.01 12/20/07
SCIENTIFIC LEARNING CORP DE 5.02 12/18/07
SCOTTS MIRACLE-GRO CO OH 5.02,9.01 12/18/07
Security Capital Assurance Ltd D0 8.01 12/19/07
Security Capital Assurance Ltd D0 8.01,9.01 12/19/07
SEMPRA ENERGY CA 1.01 12/19/07
Seneca-Cayuga Bancorp, Inc. X1 5.02,5.03,9.01 12/17/07
SENOMYX INC DE 5.03,9.01 12/19/07
SENSIENT TECHNOLOGIES CORP WI 5.02 12/20/07
SEVERN BANCORP INC MD 7.01,9.01 12/19/07
SEVERN BANCORP INC MD 5.02,9.01 12/20/07
SHILOH INDUSTRIES INC DE 2.02,9.01 12/20/07
SINCLAIR BROADCAST GROUP INC MD 7.01,9.01 12/20/07
Sino Fibre Communications, Inc. NV 2.03,3.02,5.02,9.01 12/20/07
SIONIX CORP NV 1.01,5.02,9.01 12/19/07
SKECHERS USA INC DE 5.03,9.01 12/18/07
SKY PETROLEUM, INC. NV 4.02 12/04/07
SL GREEN REALTY CORP MD 8.01,9.01 12/19/07
SLM CORP DE 5.02 12/14/07
SOMERSET HILLS BANCORP NJ 5.03,9.01 12/17/07
SOUTHWESTERN ENERGY CO DE 8.01,9.01 12/19/07
SPAR GROUP INC DE 5.02,9.01 12/14/07
SPARTECH CORP DE 5.02,5.03,9.01 12/19/07
Spectra Energy Capital, LLC DE 8.01,9.01 12/14/07
Spectra Energy Corp. DE 8.01,9.01 12/14/07
SPRINT NEXTEL CORP KS 5.02,9.01 12/17/07
STATER BROS HOLDINGS INC DE 2.02,9.01 12/18/07
STATION CASINOS INC NV 1.01,1.02,5.02,9.01 12/13/07
STERLING CONSTRUCTION CO INC DE 1.01,7.01,9.01 12/18/07
STEWART ENTERPRISES INC LA 2.02,8.01,9.01 12/20/07
STURM RUGER & CO INC DE 1.01,2.03,9.01 12/19/07
SUMMIT FINANCIAL GROUP INC WV 5.02,9.01 12/14/07
SUN BANCORP INC /NJ/ NJ 8.01,9.01 12/20/07
SUN BANCORP INC /NJ/ NJ 8.01,9.01 12/20/07
Sun Cal Energy , Inc. NV 8.01,9.01 12/14/07
SUN-TIMES MEDIA GROUP INC DE 5.02 12/14/07
SUNAIR SERVICES CORP FL 5.03,9.01 12/18/07
SUNTRUST BANKS INC GA 8.01 12/20/07
Superior Offshore International Inc. DE 8.01 12/19/07
Surfect Holdings, Inc NV 1.01,2.03,3.02,5.03,9.01 12/14/07
SYBASE INC DE 1.01,9.01 12/18/07
Synova Healthcare Group Inc 1.03,2.04,5.02,9.01 12/17/07
SYNOVUS FINANCIAL CORP GA 8.01 12/20/07
SYPRIS SOLUTIONS INC DE 7.01,9.01 12/20/07
SYSCO CORP DE 5.02 12/14/07
Target Credit Card Master Trust DE 8.01,9.01 12/20/07
Target Credit Card Master Trust DE 8.01,9.01 12/20/07
Tarpon Industries, Inc. MI 5.03,9.01 12/10/07
TASKER PRODUCTS CORP DE 2.03,3.02 09/28/07 AMEND
TERRESTAR CORP DE 1.01 12/20/07
THEGLOBE COM INC DE 1.01,2.01,9.01 12/13/07
THORNBURG MORTGAGE INC MD 5.02 12/17/07
TIBCO SOFTWARE INC DE 2.02,9.01 12/20/07
TIENS BIOTECH GROUP USA INC 1.01,2.01 12/14/07
TIMBERLAND BANCORP INC WA 5.03,9.01 12/18/07
Titan Global Holdings, Inc. UT 1.01,3.02,9.01 12/14/07
TRINITY CAPITAL CORP NM 5.02,8.01,9.01 12/19/07
TUFCO TECHNOLOGIES INC DE 2.02,7.01,9.01 12/18/07
Turnaround Partners, Inc. DE 5.03 12/14/07
TWIN DISC INC WI 1.01,3.03,9.01 12/14/07
UDR, Inc. MD 7.01,9.01 12/20/07
UMPQUA HOLDINGS CORP OR 8.01,9.01 12/20/07
Under Armour, Inc. MD 1.01,9.01 12/14/07
UNITED BANKSHARES INC/WV WV 8.01,9.01 12/19/07
UNIVERSAL ENERGY CORP. 5.02 12/14/07
URSTADT BIDDLE PROPERTIES INC MD 5.03,9.01 12/12/07
UST INC DE 1.01,2.03,9.01 12/19/07
UTG INC 1.01 12/20/07
uVuMobile, Inc DE 5.02,9.01 12/17/07
V F CORP PA 7.01,9.01 12/19/07
VALMONT INDUSTRIES INC DE 5.02,5.03,9.01 12/16/07
VASO ACTIVE PHARMACEUTICALS INC DE 2.04,8.01 12/15/07
VCG HOLDING CORP CO 3.01,9.01 12/14/07
VENTURE FINANCIAL GROUP INC WA 5.02,9.01 12/20/07
VERIDIGM, INC. DE 2.01,3.02,5.02,9.01 12/19/06
VERTICAL BRANDING, INC. DE 5.02,8.01,9.01 12/17/07
VERTIS INC DE 5.02 12/18/07
VIRAL GENETICS INC /DE/ DE 1.01,2.03,3.02,9.01 12/03/07
Visiphor CORP A1 1.01,2.03,3.02,7.01,9.01 12/13/07
VOIP INC 1.01,1.02,5.02 12/17/07
Volkswagen Auto Loan Enhanced Trust 2 8.01,9.01 12/20/07
VOLKSWAGEN DEALER FINANCE LLC DE 8.01,9.01 12/20/07
VOLT INFORMATION SCIENCES, INC. NY 2.02,9.01 12/20/07
WACHOVIA CORP NEW NC 1.01,9.01 12/19/07
WARNACO GROUP INC /DE/ DE 5.02,9.01 12/19/07
Warner Music Group Corp. DE 5.03,9.01 12/20/07
WARWICK VALLEY TELEPHONE CO NY 5.03,9.01 12/20/07
WASTE INDUSTRIES USA INC NC 1.01,5.02,7.01,9.01 12/17/07
WATERSIDE CAPITAL CORP VA 5.03 12/18/07
WAUSAU PAPER CORP. WI 7.01,9.01 12/20/07
Wave Uranium Holding 5.02 12/18/07
WELLS FARGO & CO/MN DE 9.01 12/20/07
Wells Fargo Mortgage Backed Securitie DE 9.01 12/20/07
Western Goldfields Inc. A6 7.01,9.01 12/20/07
WILSHIRE BANCORP INC CA 5.02,9.01 12/20/07
WIND RIVER SYSTEMS INC DE 5.03,9.01 12/14/07
WINSONIC DIGITAL MEDIA GROUP LTD NV 1.01,2.03,3.02,5.02,7.01,8.01, 11/26/07
9.01
WORTHINGTON INDUSTRIES INC OH 2.02,7.01,9.01 12/20/07
XCEL ENERGY INC MN 8.01 12/14/07
Xenonics Holdings, Inc. NV 2.02,9.01 12/19/07
YTB International, Inc. NY 7.01,9.01 12/20/07
ZOLL MEDICAL CORP MA 8.01 12/14/07
ZVUE CORP DE 5.02,8.01,9.01 12/20/07
http://www.sec.gov/news/digest/2007/dig122107.htm
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