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SEC NEWS DIGEST
Issue 2007-249 December 31, 2007
ENFORCEMENT PROCEEDINGS
IN THE MATTER OF MONEESH K. BAKSHI, ESQ.
On December 28, the United States Securities and Exchange Commission
announced the issuance of an Order Instituting Public Administrative
Proceedings and Imposing Temporary Suspension Pursuant to Rule
102(e)(3) of the Commission's Rules of Practice against Moneesh K.
Bakshi. The Order finds that a court of competent jurisdiction has
found that Bakshi violated the federal securities laws, and has
permanently enjoined him from further violations.
Based on the above, the Order temporarily suspends Bakshi from
appearing or practicing before the Commission. If Bakshi does not
petition to lift that suspension within thirty days after service of
the Order, the suspension will become permanent pursuant to Rule
102(e)(3)(ii) of the Commission's Rules of Practice. (Rel. 34-57064;
File No. 3-12916)
SEC CHARGES SECOND CFO IN CONNECTION WITH FINANCIAL FRAUD AT UNITED
RENTALS, INC.
On December 27, the Securities and Exchange Commission filed a
complaint against Joseph F. Apuzzo, former Chief Financial Officer
(CFO) of Terex Corporation, for aiding and abetting securities law
violations of United Rentals, Inc. (URI) and Michael J. Nolan, a
former CFO of URI. Apuzzo is the second CFO charged in connection with
the alleged violations. On Dec. 12, 2007, the Commission filed settled
financial fraud charges against Nolan.
The Commission's complaint, filed in the United States District Court
for the District of Connecticut, alleges that Apuzzo aided and abetted
a fraudulent accounting scheme involving two sale-leaseback
transactions, carried out between 2000 and 2002 by URI, Nolan and
others. The transactions were structured to improve URI's 2000 and
2001 financial results by allowing URI to recognize revenue
prematurely and to inflate the profit generated from the sales. The
complaint further alleges that Apuzzo substantially assisted URI and
Nolan in implementing the fraudulent scheme by, among other things,
signing agreements with URI that he knew or was reckless in not
knowing were designed to hide URI's continuing risks and financial
obligations relating to the sale-leaseback transactions, and directing
or approving the issuance of inflated invoices that he knew or was
reckless in not knowing URI, through Nolan and others, would use to
inflate URI's gain on the transactions As a result of the fraudulent
transactions, URI materially overstated its financial results in its
Forms 10-K for fiscal years 2000 and 2001, as well as in other filings
and public releases.
The Commission's complaint alleges, as a result of his actions, that
Apuzzo aided and abetted URI's violations of Sections 10(b), 13(a) and
13(b)(2)(A) of the Securities Exchange Act of 1934 and Rules 10b-5 and
13a-1 thereunder, and Nolan's violations of Section 13(b)(5) of the
Exchange Act and Exchange Act Rule 13b2-1. As part of this action, the
Commission seeks a permanent injunction prohibiting Apuzzo from future
violations of the federal securities laws, an officer and director
bar, disgorgement plus prejudgment interest, civil penalties, and
other equitable relief.
The Commission acknowledges the assistance of the U.S. Attorney's
Office for the District of Connecticut and the New Haven Field Office
of the Federal Bureau of Investigation in the investigation of this
matter.
The Commission's investigation is continuing.
For further information, see Litigation Release No. 20396 (Dec. 12,
2007). [SEC v. Joseph F. Apuzzo, Civil Action No. 07-CV-1910,
CFD,D.CT.] (LR-20418; AAER-2762)
INVESTMENT COMPANY ACT RELEASES
UNIFIED SERIES TRUST AND ENVESTNET ASSET MANAGEMENT, INC.
An order has been issued on an application filed by Unified Series
Trust and Envestnet Asset Management, Inc. exempting applicants from
Section 15(a) of the Investment Company Act and Rule 18f-2 under the
Act. The order permits the applicants to enter into and materially
amend subadvisory agreements without shareholder approval and grants
relief from certain disclosure requirements. (Rel. IC-28117 - December
27)
ORDERS OF DEREGISTRATION UNDER THE INVESTMENT COMPANY ACT
Orders have been issued under Section 8(f) of the Investment Company
Act declaring that each of the following has ceased to be an
investment company:
International Equity Portfolio [File No. 811-8434]
[Rel. No. IC-28085]
Small Cap Growth Portfolio [File No. 811-7269]
[Rel. No. IC-28086]
The Premium Portfolios [File No. 811-8436]
[Rel. No. IC-28087]
Government Income Portfolio [File No. 811-8438]
[Rel. No. IC-28088]
CitiFunds Tax Free Reserves [File No. 811-3893]
[Rel. No. IC-28089]
CitiFunds Multi-State Tax Free Trust [File No. 811-4596]
[Rel. No. IC-28090]
CitiFunds Fixed Income Trust [File No. 811-5033]
[Rel. No. IC-28091]
CitiFunds International Trust [File No. 811-6154]
[Rel. No. IC-28092]
Adjustable Rate Securities Portfolios [File No. 811-6242]
[Rel. No. IC-28093]
Atlas Funds [File No. 811-5485]
[Rel. No. IC-28094]
Colonial Insured Municipal Fund [File No. 811-9533]
[Rel. No. IC-28095]
BlackRock Basic Value Fund II, Inc. [File No. 811-9957]
[Rel. No. IC-28096]
Hallmark Equity Series Trust [File No. 811-7734]
[Rel. No. IC-28097]
Hallmark Investment Series Trust [File No. 811-879]
[Rel. No. IC-28098]
Merit Advisors Investment Trust [File No. 811-21495]
[Rel. No. IC-28099]
Merit Advisors Investment Trust II [File No. 811-21520]
[Rel. No. IC-28100]
Lazard Global Mid Cap Fund, Inc. [File No. 811-21683]
[Rel. No. IC-28101]
WhiteRock Portfolio Investors, L.L.C. [File No. 811-9104]
[Rel. IC-28102]
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A proposed rule change filed with the Commission by the New York Stock
Exchange relating to Rule 1000 (Automatic Execution of Limit Orders
Against Orders Reflected in NYSE Published Quotation) (SR NYSE-2007
123) has become immediately effective under Section 19(b)(3)(A) of the
Securities Exchange Act of 1934 and Rule 19b-4(f)(6) thereunder.
Publication is expected in the Federal Register during the week of
December 31. (Rel. 34-57063)
A proposed rule change filed by the American Stock Exchange relating
to options licensing fee changes (SR-Amex-2007-140) 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 31. (Rel. 34-57052)
A proposed rule change filed by the Boston Stock Exchange (SR-BSE-
2007-53) relating to the opening of the market of the Boston Options
Exchange 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 31. (Rel. 34-57037)
ACCELERATED APPROVAL OF PROPOSED RULE CHANGES
The Commission approved on an accelerated basis proposed rule changes
(SR-NASDAQ-2007-101, SR-Amex-2007-142, SR-NYSE-2007-122, and SR-
NYSEArca-2007-131, SR-NASD-2007-035) filed by the NASDAQ Stock Market,
American Stock Exchange, New York Stock Exchange, and NYSE Arca under
Section 19(b)(1) of the Exchange Act. The approved rule change extends
the deadline until March 31, 2008, for issuers to become compliant
with listing requirements concerning direct registration programs.
Publication is expected in the Federal Register during the week of
December 31. (Rel. 34-57062)
The Commission published notice of, and granted accelerated approval
to, a proposed rule change (SR-NYSEArca-2007-127), as modified by
Amendment No. 1 thereto, submitted by NYSE Arca through its wholly
owned subsidiary, NYSE Arca Equities, Inc., pursuant to Rule 19b-4
under the Securities Exchange Act of 1934 relating to the listing and
trading of shares of the iShares MSCI Belgium Index Fund. Publication
is expected in the Federal Register during the week of December 31.
(Rel. 34-57047)
APPROVAL OF PROPOSED RULE CHANGES
A proposed rule change (SR-Amex-2007-116), as modified by Amendment
Nos. 1 and 2, filed by the American Stock Exchange to harmonize the
annual listing fees for all Exchange Traded Funds has been approved
pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934.
Publication is expected in the Federal Register during the week of
December 31. (Rel. 34-57060)
The Commission approved a proposed rule change, as modified by
Amendment No. 1 thereto (SR-NYSE-2007-102), submitted by the New York
Stock Exchange under Rule 19b-4 of the Securities Exchange Act of 1934
relating to NYSE Rule 1500 (NYSE MatchPointSM). Publication is
expected in the Federal Register during the week of December 31. (Rel.
34-57058)
The Commission granted approval of a proposed rule change (SR-CBOE-
2007-125), as modified by Amendment No. 2 thereto, submitted by the
Chicago Board Options Exchange pursuant to Rule 19b-4 under the
Securities Exchange Act of 1934, relating to the $1 Strike Pilot
Program. Publication is expected in the Federal Register during the
week of December 31. (Rel. 34-57049)
PROPOSED RULE CHANGE
The New York Stock Exchange filed a proposed rule change (SR-NYSE-
2007-119) under Section 19(b)(1) of the Securities Exchange Act of
1934 relating to the adoption of new Exchange Rule 309 (Failure to Pay
Fees). Publication is expected in the Federal Register during the week
of December 31. (Rel. 34-57065)
The New York Stock Exchange filed with the Securities and Exchange
Commission a proposed rule change under Rule 19b-4 (SR-NYSE-2007-113)
to amend Annual Fees applicable to groups of Real Estate Investment
Trusts under common external management. Publication is expected in
the Federal Register during the week of December 31. (Rel. 34-57061)
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 BANYAN CORP /OR/, 1925 CENTURY PARK EAST, SUITE 500, LOS ANGELES, CA,
90067, 1-800-808-0899 - 35,000,000 ($52,500.00) Equity,
(File 333-148368 - Dec. 28) (BR. 01A)
SB-2 EnerJex Resources, Inc., 7300 WEST 110TH, 7TH FLOOR, OVERLAND PARK, KS,
66210, 913-693-4600 - 3,000,000 ($3,000,000.00) Equity,
(File 333-148369 - Dec. 28) (BR. 04B)
S-8 Guaranty Financial Group Inc., 1300 MOPAC EXPRESSWAY SOUTH, AUSTIN, TX,
78746, 512-434-1000 - 4,200,000 ($62,475,000.00) Equity,
(File 333-148373 - Dec. 28) (BR. 07)
S-8 BOSTON BEER CO INC, ONE DESIGN CENTER PLACE, SUITE 850, BOSTON, MA,
02210, 617-368-5061 - 1,000,000 ($38,450,000.00) Equity,
(File 333-148374 - Dec. 28) (BR. 09A)
S-8 Forestar Real Estate Group Inc., 1300 MOPAC EXPRESSWAY SOUTH, SUITE 3S,
AUSTIN, TX, 78746, 512-433-5200 - 3,800,000 ($90,725,000.00) Equity,
(File 333-148375 - Dec. 28) (BR. 08)
S-8 ASPECT MEDICAL SYSTEMS INC, 141 NEEDHAM STREET, NEWTON, MA, 02464-1505,
(617) 559-7857 - 700,000 ($10,234,000.00) Equity, (File 333-148376 -
Dec. 28) (BR. 10A)
S-8 HARLEYSVILLE NATIONAL CORP, 483 MAIN ST, P O BOX 195, HARLEYSVILLE, PA,
19438, 2152568851 - 25,480 ($401,310.00) Equity, (File 333-148377 -
Dec. 28) (BR. 07B)
S-1 North Asia Investment CORP, JONGRO TOWER 18F, 6 JONGRO 2-GA, JONGRO-GU,
SEOUL, M5, 111111, 822-2198-3333 - 0 ($201,250,000.00) Equity,
(File 333-148378 - Dec. 28) (BR. 04)
S-8 ENSIGN GROUP, INC, 27101 PUERTA REAL, SUITE 450, MISSION VIEJO, CA,
92691, (949) 487-9500 - 0 ($21,216,445.00) Equity, (File 333-148379 -
Dec. 28) (BR. 11)
S-8 COMMSCOPE INC, 8283242200 - 1,857,349 ($91,455,864.76) Equity,
(File 333-148380 - Dec. 28) (BR. 11A)
S-1 CHINA PACIFIC ACQUISITION CORP, 43RD FLOOR JARDINE HOUSE,
1 CONNAUGHT PLACE, HONG KONG, F4, 0, 011-852-2537-9898 -
0 ($133,875,000.00) Equity, (File 333-148381 - Dec. 28) (BR. 05)
S-8 PARLUX FRAGRANCES INC, 3725 S W 30TH AVE, FT LAUDERDALE, FL, 33312,
9543169008 - 2,000,000 ($8,100,000.00) Equity, (File 333-148383 -
Dec. 28) (BR. 06A)
S-3ASR FLOTEK INDUSTRIES INC/CN/, 7030 EMPIRE CENTRAL DRIVE, HOUSTON, TX,
77040, 7138499911 - 0 ($0.00) Other, (File 333-148384 - Dec. 28)
(BR. 06A)
SB-2 Lans Holding, Inc., 50 WEST LIBERTY STREET, SUITE 800, RENO, NV, 89501,
775-322-0626 - 950,000 ($19,000.00) Equity, (File 333-148385 - Dec. 28)
(BR. )
S-3 Agfeed Industries, Inc, 1095 QINGLAN AVENUE,
ECONOMIC AND TECHNOLOGICAL DEVELOPMENT Z,
NAN CHANG CITY, JIANGXI PROVIN, F4, 330013, 662-262-9347 -
0 ($75,000,000.00) Equity, (File 333-148386 - Dec. 28) (BR. 04B)
S-8 SUB SURFACE WASTE MANAGEMENT OF DELAWARE INC, 5922-B FARNSWORTH COURT,
CARLSBAD, CA, 92008, 760-918-1860 - 80,000,000 ($80,000.00) Equity,
(File 333-148388 - Dec. 28) (BR. 06B)
S-8 US MICROBICS INC, 6451 EL CAMINO REAL #C, CARLSBAD, CA, 92009,
7609181860 - 80,000,000 ($168,000.00) Equity, (File 333-148389 -
Dec. 28) (BR. 06A)
S-3 Agfeed Industries, Inc, 1095 QINGLAN AVENUE,
ECONOMIC AND TECHNOLOGICAL DEVELOPMENT Z,
NAN CHANG CITY, JIANGXI PROVIN, F4, 330013, 662-262-9347 -
0 ($20,284,860.50) Equity, (File 333-148390 - Dec. 28) (BR. 04B)
SB-2 Future Now Group Inc., 650 - 1500 WEST GEORGIA STREET, VANCOUVER, A1,
V3B 5X6, 604-669-5244 - 5,054,400 ($2,527,200.00) Equity,
(File 333-148391 - Dec. 28) (BR. 04C)
SB-2 Derycz Scientific Inc, 10990 Wilshire Blvd, Suite 1410, Los Angeles,
CA, 90024, 3104770385 - 2,900,000 ($7,562,500.00) Equity,
(File 333-148392 - Dec. 28) (BR. )
SB-2 3DICON CORP, 7507 S SANDUSKY, TULSA, OK, 74136, 918-492-5802 -
6,500,000 ($1,885,000.00) Equity, (File 333-148393 - Dec. 28) (BR. 11C)
SB-2 Cord Blood America, Inc., 9000 W. SUNSET BLVD., SUITE 400,
WEST HOLLYWOOD, CA, 90069, 310-432-4090 -
37,184,339 ($613,542.00) Equity, (File 333-148394 - Dec. 28) (BR. 09A)
S-8 Magnum dOr Resources Inc, 1108 W VALLEY BLVD, STE 6-399, ALHAMBRA, CA,
91803, 626-407-2618 - 11,000,000 ($880,000.00) Equity,
(File 333-148395 - Dec. 28) (BR. 04C)
S-1 Consumer Partners Acquisition Corp.,
11150 SANTA MONICA BLVD., SUITE 700, LOS ANGELES, CA, 90025,
310-445-6511 - 0 ($194,062,500.00) Equity, (File 333-148396 - Dec. 28)
(BR. )
S-1 Raycliff Acquisition Corp, 5 EAST 59TH STREET, 4TH FLOOR,
NEW YORK CITY, NY, 10022, 212 508 5312 - 0 ($230,000,000.00) Equity,
(File 333-148397 - Dec. 28) (BR. )
SB-2 Bonds.com Group, Inc., 1515 S. FEDERAL HIGHWAY, SUITE 212, BOCA RATON,,
FL, 33432, 561-953-5343 - 16,969,550 ($33,939,100.00) Equity,
(File 333-148398 - Dec. 28) (BR. 08B)
S-3 CENTRAL GARDEN & PET CO, 1340 TREAT BOULEVARD, SUITE 600, WALNUT CREEK,
CA, 94597, 9259484000 -
0 ($500,000,000.00) Unallocated (Universal) Shelf, (File 333-148399 -
Dec. 28) (BR. 02B)
S-3 EMERITUS CORP\WA\, 3131 ELLIOTT AVENUE, SUITE 500, SEATTLE, WA, 98121,
2062982909 - 6,714,981 ($166,330,079.37) Equity, (File 333-148400 -
Dec. 28) (BR. 11B)
S-8 ORION ENERGY SYSTEMS, INC., 1204 PILGRIM ROAD, PLYMOUTH, WI, 53073,
800-660-9340 - 6,451,177 ($123,927,111.00) Equity, (File 333-148401 -
Dec. 28) (BR. 11C)
S-8 Voyager Petroleum, Inc., 123 EAST OGDEN AVE #102A, HINSDALE, IL, 60521,
630-325-7130 - 15,333,334 ($613,333.36) Equity, (File 333-148402 -
Dec. 28) (BR. 06A)
S-3 BANC OF AMERICA FUNDING CORP, C/O NORWEST BANK MINNESOTA N A,
11000 BROKEN LAND PARKWAY, COLUMBIA, MD, 21044, 4108842000 -
25,000,000,000 ($25,000,000,000.00) Other, (File 333-148403 - Dec. 28)
(BR. 05)
S-8 ALTIGEN COMMUNICATIONS INC, 4555 CUSHING PARKWAY, FREMONT, CA, 94538,
5102529712 - 0 ($1,679,787.28) Equity, (File 333-148404 - Dec. 28)
(BR. 11B)
S-3 RAM Holdings Ltd., RAM RE HOUSE, 46 REID STREET, HAMILTON, D0, HM 12,
(441) 298-2116 - 350,000,000 ($350,000,000.00) Equity,
(File 333-148405 - Dec. 28) (BR. 01A)
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
---------------------------------------------------------------------------------------------------------
1st Pacific Bancorp CA 5.02,9.01 12/21/07
ACTION PRODUCTS INTERNATIONAL INC FL 8.01,9.01 11/30/07
ACTIVE POWER INC DE 5.02,9.01 12/27/07
ADVANCED ENERGY INDUSTRIES INC DE 8.01,9.01 12/24/07
ADVANCED ENVIRONMENTAL RECYCLING TECH DE 3.01,8.01,9.01 12/21/07
ALEXANDERS INC DE 1.01,2.03,9.01 12/28/07
Alexza Pharmaceuticals Inc. DE 1.01,9.01 12/27/07
ALL STATE PROPERTIES LP DE 1.01,5.02,7.01 12/20/07
ALLIANCE DATA SYSTEMS CORP DE 1.01,2.03,9.01 12/21/07
AMERICAN LIFE HOLDING CO INC FL 1.01,9.01 12/21/07
AMERICAN ROCK SALT CO LLC 7.01 12/28/07
ANADARKO PETROLEUM CORP DE 1.01,2.03,7.01,9.01 12/27/07
ANDREW CORP DE 2.01,3.01,3.03,5.02,9.01 12/27/07
ANTHRACITE CAPITAL INC MD 1.01,9.01 12/28/07
APPLIED DNA SCIENCES INC NV 1.01,2.03,3.02,5.02,9.01 12/20/07
ARK RESTAURANTS CORP NY 5.03,9.01 12/28/07
ASHWORTH INC DE 2.02,9.01 12/28/07
ATC HEALTHCARE INC /DE/ DE 5.03,9.01 12/21/07
AVANEX CORP DE 8.01,9.01 12/27/07
AVASOFT, INC. NV 9.01 12/28/07 AMEND
BALLANTYNE OF OMAHA INC DE 2.01,7.01,9.01 10/12/07 AMEND
Banc of America Commercial Mortgage I DE 8.01,9.01 12/28/07
Banc of America Funding 2007-1 Trust DE 8.01,9.01 12/28/07 AMEND
Banc of America Funding 2007-2 Trust DE 8.01,9.01 12/28/07 AMEND
Banc of America Funding 2007-3 Trust DE 8.01,9.01 12/28/07 AMEND
Banc of America Funding 2007-4 Trust DE 8.01,9.01 12/28/07 AMEND
Banc of America Funding 2007-C Trust DE 8.01,9.01 12/28/07 AMEND
Beacon Federal Bancorp, Inc. MD 1.01,9.01 12/27/07
Behringer Harvard Opportunity REIT I, MD 1.01,9.01 12/20/07
Bonds.com Group, Inc. DE 1.01,2.01,3.02,4.01,5.01,5.02, 12/21/07
5.06,9.01
BOSTON BEER CO INC MA 5.02 12/21/07
BreitBurn Energy Partners L.P. DE 5.02,9.01 11/05/07
BROADPOINT SECURITIES GROUP, INC. NY 5.03,8.01,9.01 12/28/07
BROOKS AUTOMATION INC DE 5.02,9.01 12/27/07
BRUSH ENGINEERED MATERIALS INC 1.01 12/28/07
BRUSH ENGINEERED MATERIALS INC 1.01,9.01 12/28/07
BUCA INC /MN MN 5.02,9.01 12/20/07
CAL MAINE FOODS INC DE 2.02,9.01 12/28/07
CALAIS RESOURCES INC 1.01,2.01,3.02 12/21/07
CANARGO ENERGY CORP DE 8.01 12/28/07
CANO PETROLEUM, INC 2.03 12/21/07
CAPITAL BANK CORP NC 5.02,9.01 12/27/07
CAPITAL SENIOR LIVING CORP DE 1.01,7.01,9.01 12/21/07
CAPTARIS INC WA 1.01,9.01 12/20/07
CARLATERAL, INC. NV 5.03,9.01 12/21/07
CDI CORP PA 5.02,9.01 12/21/07
CENTERLINE HOLDING CO DE 7.01,9.01 12/27/07
CENVEO, INC CO 5.02,7.01,9.01 12/27/07
CHATSWORTH ACQUISITIONS I INC DE 3.02 12/26/07
CHATSWORTH ACQUISITIONS II INC DE 3.02 12/26/07
CHATSWORTH ACQUISITIONS III INC DE 3.02 12/26/07
CHECKPOINT SYSTEMS INC PA 5.03,9.01 12/28/07
CHINDEX INTERNATIONAL INC DE 5.02,7.01,9.01 12/27/07
CHITTENDEN CORP /VT/ VT 5.02 12/21/07
CLAYTON HOLDINGS INC 5.02,9.01 12/21/07
CLST Holdings, Inc. DE 8.01 12/21/07
CLX INVESTMENT COMPANY, INC. CO 2.01,9.01 10/15/07 AMEND
CNB CORP /MI/ MI 8.01 12/28/07
COBRA ELECTRONICS CORP DE 5.02 12/21/07
COEUR D ALENE MINES CORP ID 2.01,3.02,9.01 12/21/07
COHEN & STEERS ADVANTAGE INCOME REALT MD 5.03,9.01 12/21/07
Cohen & Steers Closed-End Opportunity MD 5.03,9.01 12/21/07
Cohen & Steers Dividend Majors Fund, MD 5.03,9.01 12/21/07
COHEN & STEERS PREMIUM INCOME REALTY MD 5.03,9.01 12/21/07
COHEN & STEERS QUALITY INCOME REALTY MD 5.03,9.01 12/21/07
COHEN & STEERS REIT & PREFERRED INCOM MD 5.03,9.01 12/21/07
COHEN & STEERS WORLDWIDE REALTY INCOM MD 5.03,9.01 12/21/07
COMCAST CORP PA 5.02,9.01 12/27/07
COMMONCACHE INC FL 5.02,9.01 12/21/07
COMMSCOPE INC DE 1.01,2.01,9.01 12/27/07
Comtech Group Inc MD 5.02,9.01 12/21/07
CONCURRENT COMPUTER CORP/DE DE 3.01,9.01 12/26/07
CONSOLIDATED GRAPHICS INC /TX/ TX 8.01,9.01 12/28/07
Constellation Energy Partners LLC DE 5.03,9.01 12/28/07
CONSTITUTION MINING CORP NV 5.02 12/20/07
CONTANGO OIL & GAS CO DE 2.01,9.01 12/21/07
CORDIA CORP NV 8.01 12/28/07
CORDIA CORP NV 8.01 12/28/07 AMEND
CUBIC ENERGY INC TX 8.01 12/21/07
CUBIST PHARMACEUTICALS INC DE 1.01,2.01,9.01 12/24/07
CWMBS INC DE 9.01 12/28/07
DANAHER CORP /DE/ DE 2.01,9.01 11/21/07 AMEND
DAVITA INC DE 1.01 12/20/07
DAYTON SUPERIOR CORP DE 1.01,9.01 12/27/07
Deerfield Capital Corp. MD 1.01,1.02,2.01,5.02,5.03,9.01 12/21/07
DEL LABORATORIES INC DE 8.01 12/28/07
DEVELOPERS DIVERSIFIED REALTY CORP OH 1.01,2.03,9.01 12/26/07
DG FastChannel, Inc DE 4.02 11/08/07
DIGITAL ALLY INC NV 3.01,9.01 12/26/07
DIXIE GROUP INC TN 8.01,9.01 12/28/07
DOR BIOPHARMA INC DE 5.02,9.01 12/27/07
Double-Take Software, Inc. DE 1.01,2.01,9.01 12/24/07
DOVER SADDLERY INC 5.03,9.01 12/21/07
DYADIC INTERNATIONAL INC DE 3.01,8.01,9.01 12/21/07
EASTMAN KODAK CO NJ 8.01 12/21/07
Eddie Bauer Holdings, Inc. DE 8.01,9.01 12/27/07
EDEN ENERGY CORP NV 5.02,9.01 12/21/07
EESTech, Inc. 3.02 12/13/07
Electronic Sensor Technology, Inc 1.01,9.01 12/27/07
EMPIRE FINANCIAL HOLDING CO FL 8.01,9.01 12/28/07
ENCYSIVE PHARMACEUTICALS INC DE 8.01 12/28/07
ENDEAVOUR INTERNATIONAL CORP NV 1.01,9.01 12/21/07
ENDWAVE CORP DE 1.01,1.02,2.01,3.03,9.01 12/21/07
ENTERTAINMENT DISTRIBUTION CO INC DE 1.01,5.02,9.01 12/20/07
ESSEX PORTFOLIO LP CA 1.01,9.01 12/27/07
ESSEX PROPERTY TRUST INC MD 1.01,9.01 12/27/07
EXIDE TECHNOLOGIES DE 1.01,9.01 12/26/07
FASTENAL CO MN 8.01,9.01 12/28/07
Federal Home Loan Bank of Cincinnati X1 5.02,9.01 12/28/07
Federal Home Loan Bank of New York X1 5.02 12/20/07
FINISH LINE INC /IN/ IN 8.01,9.01 12/27/07
First Horizon Asset Sec Mort Pass Thr DE 8.01,9.01 12/28/07
FIRST KEYSTONE CORP PA 2.01,5.02 12/28/07 AMEND
FIRST NATIONAL BANCSHARES INC /SC/ SC 8.01,9.01 12/27/07
FIRST REGIONAL BANCORP CA 8.01 12/27/07
FOCUS ENHANCEMENTS INC DE 5.02,9.01 12/21/07
FRANKLIN TOWERS ENTERPRISES INC 8.01,9.01 12/28/07
Gaming Partners International CORP NV 5.03,9.01 12/27/07
GD Conference Center, Inc DE 8.01 12/27/07
GE Capital Credit Card Master Note Tr DE 8.01,9.01 12/17/07
GENESCO INC TN 8.01,9.01 12/28/07
GENLYTE GROUP INC DE 8.01 12/21/07
GEODYNE ENERGY INCOME LTD PARTNERSHIP OK 9.01 12/13/07 AMEND
GEODYNE ENERGY INCOME LTD PARTNERSHIP OK 9.01 12/13/07 AMEND
GEODYNE ENERGY INCOME LTD PARTNERSHIP OK 2.01,9.01 12/28/07
GEODYNE ENERGY INCOME LTD PARTNERSHIP OK 9.01 12/13/07 AMEND
GEODYNE INSTITUTIONAL PENSION ENERGY OK 9.01 12/13/07 AMEND
GEODYNE INSTITUTIONAL PENSION ENERGY OK 2.01,9.01 12/28/07
GEODYNE INSTITUTIONAL PENSION ENERGY OK 2.01,9.01 12/28/07
GEODYNE INSTITUTIONAL PENSION ENERGY TX 9.01 12/13/07 AMEND
Globalstar, Inc. DE 1.01 12/21/07
GRUBB & ELLIS CO DE 1.01,2.01,2.03,5.03,8.01,9.01 12/21/07
Grubb & Ellis Healthcare REIT, Inc. MD 1.01,2.03 12/19/07
Grubb & Ellis Healthcare REIT, Inc. MD 1.01,2.03 12/20/07
Grubb & Ellis Healthcare REIT, Inc. MD 1.01,2.01,2.03,7.01,9.01 12/20/07
GSC INVESTMENT CORP. MD 8.01,9.01 12/28/07
GSR Mortgage Loan Trust 2007-5F DE 8.01,9.01 12/28/07
HARRAHS ENTERTAINMENT INC DE 8.01,9.01 12/27/07
HD Partners Acquisition CORP CA 5.03,9.01 12/28/07
HILLMAN COMPANIES INC DE 1.01,2.01,9.01 12/28/07
Home Equity Mortgage Loan Asset-Backe DE 1.01,9.01 12/26/07
Home System Group 4.01,9.01 12/28/07
HOUSERAISING, INC. NC 8.01 12/21/07
HUTCHINSON TECHNOLOGY INC MN 1.01,2.03,9.01 12/28/07
HYDROGEN POWER INC DE 5.02 12/20/07
HYPERTENSION DIAGNOSTICS INC /MN MN 8.01 12/28/07
IA GLOBAL INC DE 2.03,5.02,9.01 12/21/07
IElement CORP NV 1.01,2.01,3.02,5.02,8.01 12/28/07
Ignis Petroleum Group, Inc. 5.02 12/19/07
IKON OFFICE SOLUTIONS INC OH 5.02 12/21/07
IMAGING DIAGNOSTIC SYSTEMS INC /FL/ FL 1.01,5.02,9.01 12/26/07
IMERGENT INC DE 8.01,9.01 12/20/07 AMEND
IndyMac IMJA Mortgage Loan Trust 2007 9.01 12/28/07
INFOSPACE INC DE 2.01,9.01 12/28/07
Inrob Tech Ltd. NV 1.01,9.01 12/24/07
INSIGHT HEALTH SERVICES HOLDINGS CORP 8.01,9.01 12/27/07
InterDigital, Inc. PA 1.01,2.03 12/28/07
INTERNATIONAL ASSETS HOLDING CORP DE 8.01 12/27/07
INTERNATIONAL SHIPHOLDING CORP DE 8.01,9.01 12/28/07
ISCO INTERNATIONAL INC DE 8.01 12/27/07
ISLAND PACIFIC INC DE 1.01,2.01,7.01,9.01 12/28/07
IWT TESORO CORP NV 5.02 12/27/07
J P MORGAN CHASE & CO DE 9.01 12/27/07
JAKKS PACIFIC INC DE 8.01 12/26/07
KENSEY NASH CORP DE 5.03,9.01 12/21/07
KEY TECHNOLOGY INC OR 1.01,9.01 12/21/07
KINETIC CONCEPTS INC /TX/ TX 5.03,9.01 12/20/07
KINGLAKE RESOURCES INC. NV 1.01 12/28/07
KRISPY KREME DOUGHNUTS INC NC 1.01 12/21/07
La Solucion Inc DE 1.01,3.02,9.01 12/26/07
LANDAMERICA FINANCIAL GROUP INC VA 5.02 11/30/07
LANDRYS RESTAURANTS INC 5.03,9.01 12/27/07
Language Enterprises Corp. 5.02 12/24/07
LANTRONIX INC DE 3.01,9.01 12/28/07
LEGEND INTERNATIONAL HOLDINGS INC DE 1.01,3.02,9.01 11/02/07
LEGEND INTERNATIONAL HOLDINGS INC DE 1.01,3.02 12/28/07
LEGEND INTERNATIONAL HOLDINGS INC DE 1.01,9.01 12/07/07
LEGEND MOBILE INC DE 3.02 12/28/07
LEGG MASON INC MD 1.01,2.03,8.01,9.01 12/28/07
LEHMAN BROTHERS HOLDINGS INC DE 9.01 12/21/07
LEMAITRE VASCULAR INC 7.01,8.01,9.01 12/20/07
LGL GROUP INC IN 5.02,9.01 12/24/07
LUBYS INC DE 2.02,9.01 12/27/07
MACC PRIVATE EQUITIES INC DE 8.01,9.01 12/28/07
MAX CAPITAL GROUP LTD. 1.01 12/24/07
MCGRATH RENTCORP CA 5.03,9.01 12/28/07
MEDIANET GROUP TECHNOLOGIES INC NV 3.02 12/26/07 AMEND
MEDICAL DISCOVERIES INC UT 5.02 12/21/07
MERGE TECHNOLOGIES INC WI 2.02,9.01 12/27/07
MERIDIAN INTERSTATE BANCORP INC MA 1.01,8.01,9.01 12/24/07
MERRILL LYNCH & CO INC DE 9.01 12/24/07 AMEND
MERRILL LYNCH DEPOSITOR INC PREFERRED NY 8.01,9.01 12/17/07
MERRILL LYNCH DEPOSITOR INC PREFERRED DE 8.01,9.01 12/17/07
MERRILL LYNCH DEPOSITOR PREFERREDPLUS DE 8.01,9.01 12/17/07
METLIFE INC DE 5.02,9.01 12/21/07
MFS CALIFORNIA INSURED MUNICIPAL FUND MA 8.01,9.01 12/21/07
MFS CHARTER INCOME TRUST 8.01,9.01 12/21/07
MFS GOVERNMENT MARKETS INCOME TRUST MA 8.01,9.01 12/21/07
MFS HIGH INCOME MUNICIPAL TRUST 8.01,9.01 12/21/07
MFS HIGH YIELD MUNICIPAL TRUST MA 8.01,9.01 12/21/07
MFS INTERMARKET INCOME TRUST I MA 8.01,9.01 12/21/07
MFS INTERMEDIATE HIGH INCOME FUND MA 8.01,9.01 12/21/07
MFS INTERMEDIATE INCOME TRUST MA 8.01,9.01 12/21/07
MFS INVESTMENT GRADE MUNICIPAL TRUST MA 8.01,9.01 12/21/07
MFS MULTIMARKET INCOME TRUST MA 8.01,9.01 12/21/07
MFS MUNICIPAL INCOME TRUST MA 8.01,9.01 12/21/07
MFS SPECIAL VALUE TRUST MA 8.01,9.01 12/21/07
MGT CAPITAL INVESTMENTS INC DE 5.03,5.05,8.01 12/28/07
MIDDLETON DOLL CO WI 8.01,9.01 12/28/07
MINES MANAGEMENT INC ID 4.01,9.01 12/20/07
MINRAD INTERNATIONAL, INC. 1.01,2.03 12/26/07
MOLINA HEALTHCARE INC DE 1.01,9.01 12/24/07
Morgan Stanley Mortgage Loan Trust 20 DE 8.01,9.01 11/30/07 AMEND
MotivNation, Inc. 1.01,9.01 11/16/07
MTC TECHNOLOGIES INC DE 1.01,9.01 12/21/07
NARA BANCORP INC DE 5.03,9.01 12/20/07
NASDAQ STOCK MARKET INC DE 5.02 12/21/07
NATIONAL CITY AUTO RECEIVABLES TRUST 8.01,9.01 12/17/07
NATIONAL COAL CORP FL 1.01,3.02,9.01 12/20/07
NATIONAL FUEL GAS CO NJ 5.02 12/21/07
NATIONAL FUEL GAS CO NJ 8.01,9.01 12/28/07
NATIONAL FUEL GAS CO NJ 2.02,7.01,9.01 10/11/07 AMEND
NATIONAL RURAL UTILITIES COOPERATIVE DC 1.01 12/21/07
NATROL INC DE 2.01,3.01,5.01,5.02,5.03,8.01,9.01 12/28/07
NEOPHARM INC DE 3.01,9.01 12/26/07
NeurogesX Inc CA 1.01,3.02,9.01 12/23/07
NeuroMetrix, Inc. 1.01,2.01,3.02,9.01 12/26/07
NewPage Holding CORP DE 1.01,2.01,2.03,5.02,9.01 12/21/07
NEWPARK RESOURCES INC DE 1.01,1.02,2.03,3.03,9.01 12/21/07
NEWTEK BUSINESS SERVICES INC NY 1.01,5.02,9.01 12/21/07
Nilam Resources Inc. NV 1.01,5.02,9.01 12/07/07 AMEND
NMS COMMUNICATIONS CORP DE 1.01,2.01,9.01 12/21/07
NORD RESOURCES CORP DE 8.01,9.01 12/28/07
NovaRay Medical, Inc. DE 1.01,2.01,3.02,5.01,5.02,5.03,5.06,9.01 12/26/07
Nuance Communications, Inc. DE 5.02 12/21/07
ODYSSEY HEALTHCARE INC DE 1.01,9.01 12/21/07
Oncologix Tech Inc. NV 5.02,8.01 12/28/07
Orexigen Therapeutics, Inc. DE 5.02 12/20/07
ORLEANS HOMEBUILDERS INC DE 1.01,9.01 12/21/07
PACIFIC GAS & ELECTRIC CO CA 8.01 12/27/07
PARKVALE FINANCIAL CORP PA 5.02,5.03,9.01 12/20/07
PENNSYLVANIA REAL ESTATE INVESTMENT T PA 5.02,8.01,9.01 12/20/07
PEOPLES BANCORP IN 8.01,9.01 12/28/07
PERFORMANCE TECHNOLOGIES INC \DE\ DE 1.01,5.03 12/21/07
Permanent Funding (No. 2) LTD X0 1.01,9.01 12/28/07
PG&E CORP CA 8.01 12/27/07
PHH CORP MD 1.02,9.01 12/20/07
PIXELWORKS, INC OR 3.01,9.01 12/24/07
PNA Group, Inc. DE 1.01,9.01 12/24/07
POLYMER GROUP INC DE 5.02 12/20/07
POPE & TALBOT INC /DE/ DE 1.01,9.01 12/21/07
PPL CORP PA 5.04,9.01 12/27/07
PPLUS Trust Series JPM-1 DE 8.01,9.01 12/17/07
QRS MUSIC TECHNOLOGIES INC DE 1.01 12/21/07
QUIKSILVER INC DE 5.02,8.01 12/26/07
REDDI BRAKE SUPPLY CORP NV 1.01,3.02,5.01,5.02,8.01,9.01 12/28/07
REMINGTON ARMS CO INC/ DE 1.01,9.01 12/21/07
Rocketinfo Inc. DE 5.02,8.01 12/28/07
Rubicon Technology, Inc. DE 5.02 12/24/07
SAFECO CORP WA 1.02,5.02,9.01 12/27/07
SALARY. COM, INC. DE 2.01,9.01 12/21/07
SANTANDER BANCORP 1.01 12/20/07
Scout Exploration, Inc NV 5.02,8.01,9.01 12/06/07
SCPIE HOLDINGS INC DE 5.02,5.03,9.01 12/21/07
SES SOLAR INC. 8.01,9.01 12/28/07
SHAW GROUP INC LA 8.01,9.01 12/28/07
SIMMONS FIRST NATIONAL CORP AR 8.01 12/28/07
SLM CORP DE 5.02 12/22/07
SMITHFIELD FOODS INC VA 5.03,9.01 12/27/07
SOLAR ENERTECH CORP NV 2.02,4.02,9.01 12/24/07
Solar Thin Films, Inc. DE 5.02 12/20/07
SOLUTIA INC DE 7.01,9.01 12/28/07
Southland Health Services, Inc. 1.02 12/28/07
Spansion Inc. DE 5.03,9.01 12/20/07
SPORT SUPPLY GROUP, INC. DE 7.01,9.01 12/28/07
STERLING FINANCIAL CORP /WA/ WA 5.02,9.01 12/28/07
Sterling Oil & Gas CO NV 7.01,9.01 12/27/07
STONEMOR PARTNERS LP DE 1.01,2.01,2.03,7.01,8.01,9.01 12/18/07
Storm Cat Energy CORP 9.01 12/28/07
STRATS SM TRUST FOR DAIMLERCHRYSLER N 8.01,9.01 12/17/07
STRATS SM TRUST FOR DOMINION RESOURCE DE 8.01,9.01 12/17/07
STRATS SM TRUST FOR Goldman Sachs Cap 8.01,9.01 12/17/07
STRATS SM TRUST FOR GOLDMAN SACHS GRO 8.01,9.01 12/17/07
STRATS SM TRUST FOR JPMORGAN CHASE & 8.01,9.01 12/17/07
STRATS SM TRUST FOR U S CELL CORP SEC 8.01,9.01 12/17/07
STRATS SM TRUST FOR WAL-MART STORES, 8.01,9.01 12/17/07
STRATS(SM) TRUST FOR DOMINION RESOURC 8.01,9.01 12/17/07
STRATS(SM) TRUST FOR GEN ELEC CAP COR 8.01,9.01 12/17/07
STRATS(SM) Trust For Goldman Sachs Ca 8.01,9.01 12/17/07
SUNCOM WIRELESS HOLDINGS, INC. 8.01 12/28/07
SUNCREST GLOBAL ENERGY CORP NV 1.01,2.01,3.02,4.01,5.01,5.02,5.03,5.06 12/20/07
SUNOVIA ENERGY TECHNOLOGIES INC 5.03,8.01,9.01 12/27/07
SUNOVIA ENERGY TECHNOLOGIES INC 4.01,9.01 12/27/07
SUPERCLICK INC WA 4.02 12/28/07
Superior Offshore International Inc. DE 1.01,9.01 12/28/07
SUPERTEX INC CA 5.03 12/21/07
SYNERGY BRANDS INC DE 3.02 12/21/07
T REIT LIQUIDATING TRUST VA 7.01,9.01 12/28/07
TALON INTERNATIONAL, INC. DE 3.01,9.01 12/27/07
TARGETED GENETICS CORP /WA/ WA 5.03,9.01 12/27/07
Tarpon Industries, Inc. MI 1.01,9.01 12/24/07
TBS INTERNATIONAL LTD 5.02 12/28/07
TE PRODUCTS PIPELINE CO LLC TX 2.04 12/26/07
TELEFLEX INC DE 7.01,9.01 12/28/07
TEPPCO PARTNERS LP DE 1.01,2.03,2.04,5.03,9.01 12/21/07
Titan Global Holdings, Inc. UT 9.01 09/17/07 AMEND
TOLL BROTHERS INC DE 5.02,9.01 12/20/07
TOLLGRADE COMMUNICATIONS INC \PA\ PA 5.02 12/26/07
TRANSMERIDIAN EXPLORATION INC DE 5.03,9.01 12/24/07
TRIAD GUARANTY INC DE 5.02 12/28/07
TRIBUNE CO DE 1.01,2.01,2.03,3.01,3.03,5.01,5.02,5.03,9.01 12/20/07
Triton Distribution Systems, Inc. CO 4.02 12/10/07 AMEND
Trustcash Holdings, Inc. DE 1.01,7.01,9.01 12/20/07
TUESDAY MORNING CORP/DE DE 5.02 12/21/07
TVIA INC DE 1.02 12/24/07
ULTRA PETROLEUM CORP 5.02,9.01 12/28/07
UNICA CORP 2.02,4.02 12/20/07
UNION TANK CAR CO DE 8.01,9.01 12/25/07
United Financial Bancorp, Inc. MD 1.01,9.01 12/27/07
UNITED STATIONERS INC DE 1.01,2.01,2.03,9.01 12/20/07
UNITED THERAPEUTICS CORP DE 5.02,9.01 12/28/07
US Energy Initiatives CORP GA 1.01,2.01,5.02,9.01 12/21/07
UTILITY INVESTMENT RECOVERY, INC. 5.01 12/20/07
VALASSIS COMMUNICATIONS INC DE 5.02,9.01 12/20/07
Vanguard Natural Resources, LLC DE 1.01,7.01,9.01 12/21/07
VASCULAR SOLUTIONS INC DE 1.01 12/26/07
VAXGEN INC DE 8.01,9.01 12/20/07
VCA ANTECH INC DE 5.02 12/27/07
VCG HOLDING CORP CO 2.01,2.03,3.02,8.01,9.01 12/21/07
VECTREN CORP IN 5.02,9.01 12/26/07
VERSO TECHNOLOGIES INC MN 1.01,2.01,3.01,3.02,9.01 12/28/07
VONAGE HOLDINGS CORP DE 1.01,5.02 12/21/07
WASTE INDUSTRIES USA INC NC 8.01,9.01 12/21/07
WELLCARE HEALTH PLANS, INC. DE 1.01,9.01 12/20/07
http://www.sec.gov/news/digest/2007/dig123107.htm
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