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SEC NEWS DIGEST
Issue 2008-4 January 7, 2008
RULES AND RELATED MATTERS
ACCEPTANCE FROM FOREIGN PRIVATE ISSUERS OF FINANCIAL STATEMENTS
PREPARED IN ACCORDANCE WITH INTERNATIONAL FINANCIAL REPORTING
STANDARDS WITH RECONCILIATION TO U.S. GAAP
The Commission issued Release No. 33-8879 adopting rules to accept
from foreign private issuers in their filings with the Commission
financial statements prepared in accordance with International
Financial Reporting Standards as issued by the International
Accounting Standards Board with reconciliation to generally accepted
accounting principles as used in the United States. To implement this,
the Commission adopted amendments to Form 20-F, conforming changes to
Regulation S-X, and conforming amendments to other regulations, forms
and rules under the Securities Act and the Securities Exchange Act.
For further information, please contact Michael Coco, Special Counsel,
Office of International Corporate Finance, Division of Corporation
Finance at 202-551-3450; or Katrina Kimpel, Professional Accounting
Fellow, Office of the Chief Accountant at 202-551-5300. (Rels. 33-
8879; 34-57026; International Series Rel. 1306; File No. S7-13-07)
INVESTMENT COMPANY ACT RELEASES
PRINCIPAL WORLD FUND, INC.
An order has been issued pursuant to Section 8(f) of the Investment
Company Act declaring that Principal World Fund, Inc. has ceased to be
an investment company. (Rel. IC-28107- December 27)
PRINCIPAL MONEY MARKET FUND, INC.
An order has been issued pursuant to Section 8(f) of the Investment
Company Act declaring that Principal Money Market Fund, Inc. has
ceased to be an investment company. (Rel. IC-28108) - December 27)
PRINCIPAL HIGH YIELD FUND, INC.
An order has been issued pursuant to Section 8(f) of the Investment
Company Act declaring that Principal High Yield Fund, Inc. has ceased
to be an investment company. (Rel. IC-28109 - December 27)
PRINCIPAL GROWTH FUND, INC.
An order has been issued pursuant to Section 8(f) of the Investment
Company Act declaring that Principal Growth Fund, Inc. has ceased to
be an investment company. (Rel. IC-28110 - December 27)
PRINCIPAL GOVERNMENT SECURITIES FUND, INC.
An order has been issued pursuant to Section 8(f) of the Investment
Company Act declaring that Principal Government Securities Fund, Inc.
has ceased to be an investment company. (Rel. IC-28111 - December 27)
PRINCIPAL EMERGING GROWTH FUND, INC.
An order has been issued pursuant to Section 8(f) of the Investment
Company Act declaring that Principal Emerging Growth Fund, Inc. has
ceased to be an investment company. (Rel. IC-28112 - December 27)
PRINCIPAL BOND FUND, INC.
An order has been issued pursuant to Section 8(f) of the Investment
Company Act declaring that Principal Bond Fund, Inc. has ceased to be
an investment company. (Rel. IC-28113 - December 27)
PRINCIPAL BALANCED FUND, INC.
An order has been issued pursuant to Section 8(f) of the Investment
Company Act declaring that Principal Balanced Fund, Inc. has ceased to
be an investment company. (Rel. IC-28114 - December 27)
PRINCIPAL ASSET ALLOCATION FUND, INC.
An order has been issued pursuant to Section 8(f) of the Investment
Company Act declaring that Principal Asset Allocation Fund, Inc. has
ceased to be an investment company. (Rel. IC-28115 - December 27)
PRINCIPAL AGGRESSIVE GROWTH FUND, INC.
An order has been issued pursuant to Section 8(f) of the Investment
Company Act declaring that Principal Aggressive Growth Fund, Inc. has
ceased to be an investment company. (Rel. IC-28116 - December 27)
SELF-REGULATORY ORGANIZATIONS
PROPOSED RULE CHANGES
The Chicago Board Options Exchange filed a proposed rule change (SR-
CBOE-2007-151) relating to Linkage Fees. Publication is expected in
the Federal Register during the week of January 7. (Rel. 34-57083)
A proposed rule change been filed by the Chicago Board Options
Exchange (SR-CBOE-2007-143) pertaining to the imposition of fines for
minor rule violations under Section 19(b)(2) of the Securities
Exchange Act of 1934. Publication is expected in the Federal Register
during the week of January 7. (Rel. 34-57089)
IMMEDIATE EFFECTIVENESS OF A PROPOSED RULE CHANGES
A proposed rule change filed by the Philadelphia Stock Exchange
amending the Examinations Fee (SR-Phlx-2007-94) 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 January 7. (Rel. 34-57090)
A proposed rule change (SR-NYSE-2007-127) filed by the New York Stock
Exchange to eliminate certain regulatory fees has become effective
under Section 19(b)(3)(A) under the Securities Exchange Act of 1934.
Publication is expected in the Federal Register during the week of
January 7. (Rel. 34-57093)
A proposed rule change (SR-CBOE-2007-154) filed by the Chicago Board
Options Exchange relating to the marketing fee program 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 January 7. (Rel. 34-57094)
A proposed rule change filed by The NASDAQ Stock Market (SR-NASDAQ-
2008-002) relating to Nasdaq Stockholders' Agreement between The
Nasdaq Stock Market, Inc. and Borse Dubai Limited 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
January 7. (Rel. 34-57099)
APPROVAL OF PROPOSED RULE CHANGE
The Commission granted approval to a proposed rule change, as modified
by Amendment No. 1 thereto (SR-CBOE-2007-65), submitted by the Chicago
Board Options Exchange regarding nullification and modification of
transactions executed on the CBOE Stock Exchange. Publication is
expected in the Federal Register during the week of January 7. (Rel.
34-57095)
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 OVERLAND STORAGE INC, 4820 OVERLAND AVENUE, SAN DIEGO, CA, 92123,
8585715555 - 0 ($1,210,124.00) Equity, (File 333-148458 - Jan. 4)
(BR. 03C)
S-8 LUMENIS LTD, PO BOX 240, YOKNEAM ISRAEL 20692, L5, 00000, 9729599000 -
25,473,494 ($77,889,381.51) Equity, (File 333-148460 - Jan. 4) (BR. 10B)
S-4 PARALLEL PETROLEUM CORP, 1004 N. BIG SPRING, SUITE 400, MIDLAND, TX,
79701, 9156843727 - 0 ($150,000,000.00) Non-Convertible Debt,
(File 333-148465 - Jan. 4) (BR. 04C)
SB-2 NANOVIRICIDES, INC., 135 WOOD STREET, SUITE 205, WEST HAVEN, CT, 06516,
(203) 937-6137 - 3,255,000 ($1,302,000.00) Equity, (File 333-148471 -
Jan. 4) (BR. 01B)
S-8 RAVEN MOON ENTERTAINMENT INC, 2005 TREE FORK LANE, STE 101, LONGWOOD,
FL, 32750, 407-774-4462 - 1,000,000,000 ($100,000.00) Equity,
(File 333-148478 - Jan. 4) (BR. 05C)
SB-2 EPIC ENERGY RESOURCES, INC., 10655 SIX PINES, SUITE 210, THE WOODLANDS,
TX, 77380, 2814193742 - 0 ($113,237,413.00) Equity, (File 333-148479 -
Jan. 4) (BR. 04A)
S-8 EARTH BIOFUELS INC, 3001 KNOX STREET, SUITE 403, DALLAS, TX, 75201,
214 389 9800 - 12,500,000 ($562,500.00) Equity, (File 333-148480 -
Jan. 4) (BR. 06C)
S-1 IPC Systems Holdings Corp., HARBORSIDE FINANCIAL CENTER PLAZA 10,
1500 PLAZA TEN, 15TH FLOOR, JERSEY CITY, NJ, 07311, 201.253.2030 -
0 ($400,000,000.00) Equity, (File 333-148481 - Jan. 4) (BR. )
SB-2 STANDARD MOBILE INC, 16870 VALLEY VIEW AVE, -, LA MIRADA, CA, 90638,
714-670-7868 - 108,000 ($54,000.00) Equity, (File 333-148482 - Jan. 4)
(BR. 09)
S-3 Advanced Life Sciences Holdings, Inc., (630) 739-6744 -
0 ($26,140,128.75) Equity, (File 333-148483 - Jan. 4) (BR. 01B)
S-1 Colfax CORP, 8730 STONY POINT PARKWAY, SUITE 150, RICHMOND, VA, 23235,
(804) 560-4070 - 0 ($300,000,000.00) Equity, (File 333-148486 - Jan. 4)
(BR. )
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
-----------------------------------------------------------------------------------------------------
ACUITY BRANDS INC DE 5.02,9.01 10/25/07
AcuNetx, Inc. NV 5.02,9.01 01/01/08
AIS FUTURES FUND IV LP DE 3.02 12/31/07
ALBEMARLE CORP VA 5.03,9.01 01/01/08
ALEXANDERS J CORP TN 1.01,9.01 12/31/07
ALMOST FAMILY INC DE 2.01,3.02,9.01 01/04/08 AMEND
AMCORE FINANCIAL INC NV 5.02 11/07/07
AMERICA SERVICE GROUP INC /DE DE 1.01,9.01 12/31/07
AMERICAN AIRLINES INC DE 7.01 01/04/08
AMERICAN CLAIMS EVALUATION INC NY 3.01,9.01 12/28/07
AMERICAN COMMUNITY PROPERTIES TRUST MD 1.01,9.01 01/02/08
AMERICAN FINANCIAL GROUP INC OH 8.01,9.01 01/04/08
AMERICAN MORTGAGE ACCEPTANCE CO MA 2.01,9.01 12/28/07
American Railcar Industries, Inc./DE DE 1.01,2.03,9.01 12/28/07
AMERICAN STATES WATER CO CA 5.03,9.01 12/31/07
AMERICAN TONERSERV CORP. DE 1.01,2.01,3.02,9.01 12/19/07
AMERICAN VANGUARD CORP DE 8.01 12/28/07
AMERIWEST ENERGY CORP. NV 5.02 12/27/07
AMR CORP DE 7.01 01/04/08
ANALOG DEVICES INC MA 5.02 01/03/08
Andover Medical, Inc. DE 1.01,3.02,9.01 12/28/07
ANGIODYNAMICS INC DE 2.02,9.01 01/03/08
APOGEE ENTERPRISES INC MN 5.02,9.01 01/02/08
APPLIED DIGITAL SOLUTIONS INC MO 2.01,3.01,3.02,3.03,5.02,5.03, 12/28/07
8.01,9.01
ARCTIC CAT INC MN 2.02,9.01 01/04/08
ARTIFICIAL LIFE INC DE 1.01,3.02,9.01 12/31/07
ASIA PREMIUM TELEVISION GROUP NV 5.02 01/04/08
ASIAMART, INC. DE 4.01,9.01 01/04/08 AMEND
AUTOZONE INC NV 1.01,9.01 01/01/08
AZZ INC TX 2.02,8.01,9.01 01/04/08
BARNES & NOBLE INC DE 5.02 12/29/07
Basin Water, Inc. DE 5.02 12/28/07
Basin Water, Inc. DE 1.01,2.01,7.01,9.01 12/28/07
BAYWOOD INTERNATIONAL INC NV 7.01,9.01 12/19/07
BB&T CORP NC 5.02 12/31/07
Bear Stearns Structured Products Inc. DE 9.01 10/24/07 AMEND
BEARINGPOINT INC DE 5.02 12/31/07
BEHRINGER HARVARD SHORT TERM OPPORTUN TX 8.01,9.01 01/04/08
BEIJING MED PHARM CORP 8.01,9.01 12/28/07
BIOMARIN PHARMACEUTICAL INC DE 1.01,9.01 12/31/07
BIW LTD CT 8.01,9.01 01/03/08
BORLAND SOFTWARE CORP DE 2.05 12/31/07
BPZ RESOURCES, INC. TX 5.02 01/01/08
BreitBurn Energy Partners L.P. DE 5.02 12/31/07
Brookdale Senior Living Inc. DE 8.01 01/02/08
BROOKE CAPITAL CORP KS 2.03,9.01 12/31/07
BSD MEDICAL CORP DE 5.03,9.01 12/31/07
BUFFETS HOLDINGS, INC. DE 8.01,9.01 01/03/08
BUILDING MATERIALS CORP OF AMERICA DE 5.02,9.01 12/31/07
CALAIS RESOURCES INC 3.02 12/31/07
CALYPSO FINANCIAL SERVICES INC DE 2.01,5.01,5.06,9.01 12/31/07
CAPITAL GROWTH SYSTEMS INC /FL/ FL 1.01,9.01 12/28/07
Care Investment Trust Inc. MD 1.01,2.01,2.03,3.02,7.01,9.01 12/31/07
CASCADE BANCORP OR 2.06,9.01 12/28/07
CASTLE A M & CO MD 1.01,2.03,9.01 01/02/08
CATAPULT COMMUNICATIONS CORP CA 4.01,9.01 12/28/07
Cavit Sciences, Inc. 1.01,2.01,9.01 12/28/07
CENTRAL VERMONT PUBLIC SERVICE CORP VT 1.01,1.02,2.03,9.01 12/28/07
CENTURY CASINOS INC /CO/ DE 1.01,7.01,9.01 01/02/08
CERAGENIX PHARMACEUTICALS, INC. DE 8.01,9.01 11/28/07
CHAD THERAPEUTICS INC CA 2.03,3.02,9.01 01/02/08
CHESAPEAKE ENERGY CORP OK 5.03 01/03/08
Chinese Manufacturers Online Corp DE 4.01,9.01 11/14/07 AMEND
CIRCUIT CITY STORES INC VA 5.02,9.01 12/13/07 AMEND
CISCO SYSTEMS INC CA 5.02,9.01 12/31/07
CITIZENS COMMUNICATIONS CO DE 8.01,9.01 01/04/08
CLEAR CHANNEL COMMUNICATIONS INC TX 1.01,3.03,8.01,9.01 01/02/08
Clear Skies Holdings Inc DE 1.01,5.02 12/31/07
CLEVELAND BIOLABS INC DE 8.01,9.01 01/04/08
COACTIVE MARKETING GROUP INC DE 5.02 12/31/07
Cohen & Steers Global Income Builder, MD 5.03,9.01 12/21/07
Coley Pharmaceutical Group, Inc. DE 3.01,5.01,5.03,8.01,9.01 01/04/08
COLUMBIA LABORATORIES INC DE 7.01,9.01 01/04/08
COMMSCOPE INC DE 1.01,9.01 12/28/07
Community Bankers Acquisition Corp. DE 5.03 12/31/07
COMMUNITY FIRST INC TN 5.02,9.01 01/01/08
COMMUNITY SHORES BANK CORP MI 2.06,7.01,9.01 12/27/07
Comverge, Inc. DE 5.02,5.03,7.01,9.01 12/28/07
CONCRETE CASTING INC 5.02 12/31/07
COOPERATIVE BANKSHARES INC NC 5.02,9.01 01/04/08
CORE MOLDING TECHNOLOGIES INC DE 5.02,9.01 12/31/07
CORE MOLDING TECHNOLOGIES INC DE 5.03,9.01 12/31/07
CRAFTMADE INTERNATIONAL INC DE 2.01,3.02,9.01 01/02/08
CRAY INC WA 1.01,2.03,9.01 12/31/07
CREDO PETROLEUM CORP CO 8.01,9.01 01/03/08
Customer Acquisition Network Holdings DE 2.03,9.01 01/03/08
DATASCOPE CORP DE 8.01,9.01 01/03/08
DELPHI CORP DE 7.01,9.01 01/04/08
DELUXE CORP MN 7.01,9.01 01/03/08
DentalServ.com NV 2.01,3.02,4.01,5.01,5.02,5.03, 12/28/07
5.06,9.01
DIAMOND HILL INVESTMENT GROUP INC OH 8.01 01/04/08
DIGITAL ANGEL CORP DE 2.01,3.01,3.03,5.02,5.03,8.01, 12/28/07
9.01
DIGUANG INTERNATIONAL DEVELOPMENT CO. NV 1.01,9.01 12/29/07
DIOMED HOLDINGS INC NV 1.02 12/31/07
DOMINION HOMES INC OH 3.01,5.02,9.01 12/31/07
DOV PHARMACEUTICAL INC DE 8.01 01/04/08
DOVER DOWNS GAMING & ENTERTAINMENT IN DE 1.01 01/02/08
DOVER MOTORSPORTS INC DE 1.01,1.02,5.02,9.01 01/02/08
DVL INC /DE/ DE 8.01,9.01 12/31/07
Dynamic Natural Resources Inc. NV 8.01 01/03/08
DYNEGY INC. DE 5.02,9.01 01/01/08
E DIGITAL CORP DE 1.01,2.03,3.02,9.01 12/31/07
EASTERN SERVICES HOLDINGS, INC. DE 8.01 01/04/08
Echo Therapeutics, Inc. MN 8.01 12/31/07
EDGAR ONLINE INC DE 5.02,9.01 01/04/08
ELEC COMMUNICATIONS CORP NY 5.03,8.01,9.01 12/28/07
Emergency Medical Services CORP DE 5.02,9.01 01/04/08
EMERSON RADIO CORP DE 8.01,9.01 01/04/07
Empire Water CORP NV 1.01,3.02 12/28/07
EN POINTE TECHNOLOGIES INC DE 5.03 12/17/07 AMEND
Energy Future Holdings Corp /TX/ TX 5.02 01/02/08
ENERGYTEC INC NV 8.01 01/04/08
EnerLume Energy Management Corp. CO 1.01,3.02,9.01 12/31/07
EQUITY RESIDENTIAL MD 9.01 01/04/08
Esmark INC DE 1.01,4.01,9.01 12/28/07
EUROBANCSHARES INC PR 5.02,9.01 01/01/08
EVCI Career Colleges Holding Corp DE 9.01 12/31/07 AMEND
EXACT SCIENCES CORP DE 7.01,9.01 01/04/08
Exousia Advanced Materials, Inc. TX 8.01 12/10/07
Explortex Energy Inc. NV 5.02,8.01 01/04/08
Exterra Energy Inc. NV 8.01 01/04/08
EZENIA INC DE 5.02 12/31/07
FAIRPOINT COMMUNICATIONS INC DE 8.01,9.01 01/04/08
FCCC INC CT 4.01,9.01 12/31/07
Federal Home Loan Bank of Boston X1 2.03 12/31/07
Federal Home Loan Bank of Indianapoli X1 1.02,5.02,9.01 01/04/08
FEDERATED INVESTORS INC /PA/ PA 8.01 12/28/07
FedFirst Financial CORP X1 4.01,9.01 01/01/08
FEI CO OR 2.04,9.01 01/03/08
FIDELITY SOUTHERN CORP GA 7.01,9.01 01/03/08
Finmetal Mining Ltd. 1.01,9.01 12/28/07
FIRST ACCEPTANCE CORP /DE/ DE 5.02,9.01 12/31/07
FIRST COMMUNITY FINANCIAL CORP PA 8.01,9.01 01/01/08
FIRST FARMERS & MERCHANTS CORP TN 7.01,9.01 01/04/08
FIRST INTERSTATE BANCSYSTEM INC MT 5.02 01/02/08
FIRST MERCHANTS CORP IN 1.01,9.01 01/03/08
FIRST NATIONAL BANCSHARES INC /SC/ SC 1.01 01/04/08
FIRST OF LONG ISLAND CORP NY 1.01,9.01 12/31/07
FirstBank Financial Services, Inc. GA 1.01,9.01 01/01/08
FISHER COMMUNICATIONS INC WA 2.01,9.01 01/01/08
FLUOR CORP DE 5.02 01/02/08
FLUSHING FINANCIAL CORP DE 5.02,9.01 01/02/08
FORD MOTOR CREDIT CO LLC DE 8.01,9.01 01/04/08
FOREFRONT HOLDINGS, INC. FL 1.01,7.01,8.01,9.01 12/31/07
Fortress International Group, Inc. DE 1.01,3.02,8.01,9.01 01/02/08
FRANKLIN COVEY CO UT 8.01,9.01 01/04/08
FRANKLIN CREDIT MANAGEMENT CORP/DE/ DE 1.01,8.01,9.01 12/28/07
FRANKLIN CREDIT MANAGEMENT CORP/DE/ DE 3.01,9.01 01/03/08
FREDS INC TN 5.02,9.01 12/28/07
FRONTIER OIL CORP /NEW/ WY 5.03,9.01 12/31/07
FSONA SYSTEMS CORP. NV 5.02 12/28/07
FUTURA PICTURES, INC. DE 1.01,5.06,9.01 12/27/07
GARDNER DENVER INC DE 5.02,9.01 01/03/08
GENERAL MOTORS CORP DE 1.02 01/04/08
GENZYME CORP MA 1.01,9.01 12/31/07
Georgetown Bancorp, Inc. X1 2.02,9.01 07/30/07
GIGABEAM CORP DE 3.03,5.03,9.01 12/31/07
Global Entertainment Holdings, Inc. NV 1.01,1.02,3.02,9.01 12/31/07
Goal Capital Funding Trust 2007-1 DE 1.01,6.02,9.01 01/01/08
Goodman Global Inc 1.01,8.01,9.01 01/03/08
GOURMET HERB GROWERS INC 1.01,2.01,3.02,4.01,5.01,5.02, 12/28/07
5.03,5.06,9.01
GRIFFIN LAND & NURSERIES INC DE 8.01,9.01 01/04/08
GRIFFON CORP DE 1.01,9.01 12/31/07
GRUBB & ELLIS CO DE 5.02,9.01 12/31/07
GULFMARK OFFSHORE INC DE 7.01,9.01 01/04/08
GVC VENTURE CORP DE 4.01,9.01 12/31/07
HARVEY ELECTRONICS INC NY 1.03,2.03,3.01,9.01 12/28/07
HASBRO INC RI 8.01,9.01 01/04/08
HAWK CORP DE 1.01,3.03,9.01 01/04/08
HELICOS BIOSCIENCES CORP 1.01,2.03,9.01 12/31/07
HINES REAL ESTATE INVESTMENT TRUST IN 7.01,8.01,9.01 12/27/07
HIRERIGHT INC 1.01,9.01 12/31/07
HOSPIRA INC DE 5.02 12/31/07
IBT BANCORP INC /MI/ MI 2.01,5.02,9.01 01/01/08
IKANOS COMMUNICATIONS CA 5.02 01/01/08
ILLUMINA INC DE 5.02,9.01 01/04/08
IMARX THERAPEUTICS INC 8.01,9.01 01/04/08
IMMEDIATEK INC NV 5.02,9.01 01/01/08
IMS HEALTH INC DE 2.05,9.01 12/31/07
INCENTRA SOLUTIONS, INC. NV 1.01,2.03,3.02,5.02,9.01 12/28/07
Independence Bancshares, Inc. SC 1.02,5.02 01/02/08
INDUSTRIAL SERVICES OF AMERICA INC /F FL 8.01 12/28/07
INFE HUMAN RESOURCES INC NV 3.02,9.01 01/04/08
INFOSPACE INC DE 1.01,5.02,8.01,9.01 12/28/07
INSMED INC VA 5.02 01/03/08
INTERFACE INC GA 1.01,2.03,9.01 01/03/08
INTERMOUNTAIN COMMUNITY BANCORP ID 5.02 12/28/07
INTERWOVEN INC CA 3.01 12/31/07
INTREPID TECHNOLOGY & RESOURCES, INC. ID 1.01 10/16/07
INTREPID TECHNOLOGY & RESOURCES, INC. ID 1.01 01/04/08
iPCS, INC DE 5.03,9.01 01/04/08
ISCO INTERNATIONAL INC DE 7.01,9.01 01/04/08
J.P. Morgan Chase Commercial Mortgage DE 8.01,9.01 12/20/07
JACKSON HEWITT TAX SERVICE INC DE 5.02,8.01,9.01 01/02/08
Jpak Group, Inc. 3.02,3.03,5.03,9.01 12/28/07
JPMMT 2007-A6 DE 9.01 01/04/08 AMEND
JUPITER MARINE INTERNATIONAL HOLDINGS FL 1.02,9.01 01/03/08
KAISER GROUP HOLDINGS INC DE 8.01 01/04/08
KANSAS CITY SOUTHERN DE 8.01,9.01 01/02/08
KBS Real Estate Investment Trust, Inc MD 2.01,9.01 11/30/07 AMEND
KBS Real Estate Investment Trust, Inc MD 2.01,9.01 11/15/07 AMEND
KELLWOOD CO DE 1.01,9.01 01/03/08
KOSAN BIOSCIENCES INC CA 5.02 01/02/08
LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 01/04/08
LANDAMERICA FINANCIAL GROUP INC VA 5.02,9.01 01/01/08
LANDEC CORP \CA\ CA 4.01,9.01 01/02/08
LANDSTAR SYSTEM INC DE 5.02 01/02/08
LAPOLLA INDUSTRIES INC DE 3.02,8.01 12/27/07
LAS VEGAS SANDS CORP NV 1.01,2.03,9.01 12/28/07
LBO CAPITAL CORP CO 1.01 12/31/07
Legacy Bancorp, Inc. DE 7.01,9.01 01/04/08
LEHMAN BROTHERS HOLDINGS INC DE 9.01 12/31/07
LEHMAN BROTHERS HOLDINGS INC DE 9.01 12/28/07
LHC Group, Inc 5.03,9.01 12/31/07
LHC Group, Inc 5.02,9.01 01/01/08
LMI AEROSPACE INC MO 1.01 01/01/08
Location Based Technologies, Inc. NV 3.02,5.03,5.05,7.01,9.01 01/04/08
LPL Investment Holdings Inc. DE 5.03,9.01 01/01/08
lululemon athletica inc. DE 5.02,9.01 01/02/08
M WAVE INC DE 5.03,9.01 01/03/08
MACROVISION CORP DE 1.01,3.03,8.01 12/31/07
MAGELLAN HEALTH SERVICES INC DE 5.02 01/03/08
MAGNITUDE INFORMATION SYSTEMS INC DE 1.01,2.04,3.02,9.01 12/28/07
MAP VII ACQUISITION, INC. DE 1.01,3.02,5.01,5.02,9.01 12/27/07
Marine Park Holdings, Inc. DE 1.01,2.01,3.02,4.01,5.01,5.02, 12/27/07
5.06,9.01
MDwerks, Inc. DE 5.02,9.01 12/31/07
MEDCATH CORP DE 8.01 01/04/08
MEDIS TECHNOLOGIES LTD DE 5.03,9.01 12/28/07
MEDIS TECHNOLOGIES LTD DE 8.01,9.01 01/04/08
Mellanox Technologies, Ltd. L3 5.02 12/31/07
MEMSIC Inc 5.02,9.01 12/24/07
MERRILL LYNCH & CO INC DE 7.01 01/04/08
MERRILL LYNCH LIFE INSURANCE CO AR 4.01,5.01,9.01 12/28/07
MERRIMAC INDUSTRIES INC DE 1.01,9.01 12/28/07
MESA AIR GROUP INC NV 3.01 01/02/08
MF Global Ltd. D0 5.02,7.01,9.01 01/04/08
MICROISLET INC NV 5.02 01/03/08
MIDDLEBY CORP DE 1.01,2.01,2.03,9.01 12/28/07
MIDDLEBY CORP DE 5.03,9.01 12/31/07
MILESTONE SCIENTIFIC INC/NJ DE 5.02 01/01/08
MILLENNIUM CELL INC DE 3.02 01/03/08
MILLENNIUM PHARMACEUTICALS INC DE 2.02 01/04/08
MILLER HERMAN INC MI 1.01,9.01 01/03/08
MINES MANAGEMENT INC ID 4.01,9.01 12/20/07 AMEND
MIPS TECHNOLOGIES INC DE 5.02,9.01 01/02/08
ML LIFE INSURANCE CO OF NEW YORK NY 4.01,5.01,9.01 12/28/07
Modigene Inc. 5.02 01/01/08
MODTECH HOLDINGS INC CA 8.01,9.01 01/03/08
MONEYGRAM INTERNATIONAL INC 1.01 12/28/07
Monotype Imaging Holdings Inc. DE 5.02,9.01 01/01/08
Morgan Stanley Mortgage Loan Trust 20 DE 8.01,9.01 12/31/07
Morgan Stanley Mortgage Loan Trust 20 DE 8.01,9.01 12/31/07
Morgan Stanley Mortgage Loan Trust 20 DE 8.01,9.01 12/31/07
Morningstar, Inc. IL 7.01 01/04/08
MOTOROLA INC DE 2.05 12/31/07
MTI TECHNOLOGY CORP DE 2.01,5.02,8.01,9.01 12/21/07
NABORS INDUSTRIES LTD D0 8.01 12/31/07
Nalco Finance Holdings LLC 5.02 01/04/08
Nalco Holding CO 5.02 01/04/08
Nalco Holdings LLC DE 5.02 01/04/08
NANO PROPRIETARY INC TX 5.02,9.01 01/01/08
NATIONAL COAL CORP FL 9.01 10/19/07 AMEND
National Interstate CORP OH 5.02,9.01 12/28/07
NATIONAL MENTOR HOLDINGS, INC. DE 2.02,7.01,9.01 01/04/08
NATIONAL PENN BANCSHARES INC PA 8.01,9.01 01/04/08
NATIONAL SEMICONDUCTOR CORP DE 8.01 01/04/08
NaturalNano , Inc. NV 4.01,9.01 01/04/07
NAUTILUS, INC. WA 1.01,5.02,8.01,9.01 12/31/07
NEENAH ENTERPRISES, INC. 2.02,9.01 01/04/08
NEOGEN CORP MI 2.02,9.01 01/03/08
NETLIST INC DE 5.02,9.01 12/31/07
NEW JERSEY RESOURCES CORP NJ 5.02,9.01 01/04/08
NextMart Inc. DE 5.02 12/27/07
Nilam Resources Inc. NV 3.02,9.01 01/02/08
NITCHES INC CA 4.01,9.01 12/31/07 AMEND
NORD RESOURCES CORP DE 8.01,9.01 01/03/08
North Penn Bancorp Inc 5.02 01/04/08
NORTH POINTE HOLDINGS CORP 8.01,9.01 01/03/08
NORTH POINTE HOLDINGS CORP 8.01,9.01 01/03/08
NORTHERN ETHANOL, INC. DE 1.01,9.01 12/18/07
NOVEN PHARMACEUTICALS INC DE 1.01,1.02 01/02/08
OMNOVA SOLUTIONS INC OH 1.01 12/28/07
Onstream Media CORP FL 1.01,3.01,7.01,8.01,9.01 12/28/07
ORAGENICS INC FL 5.02,9.01 12/31/07
ORBIT FR INC DE 5.02 01/01/08
ORIENT EXPRESS HOTELS LTD 5.02 01/04/08 AMEND
OSIRIS THERAPEUTICS, INC. DE 1.01,7.01,9.01 01/03/08
PACIFIC SUNWEAR OF CALIFORNIA INC CA 2.05,2.06,7.01,9.01 01/02/08
PATCH INTERNATIONAL INC/CN 5.02 12/31/07
PC UNIVERSE INC NV 5.02 01/03/08
PDC 2003-A LP WV 4.01 01/04/08
PDC 2003-B LP WV 4.01 01/04/08
PDC 2003-C LP WV 4.01 01/04/08
PDC 2003-D LP WV 4.01 01/04/08
PDC 2004-A Limited Partnership WV 4.01 01/04/08
PDC 2004-B Limited Partnership WV 4.01 01/04/08
PDC 2004-C Limited Partnership 4.01 01/04/08
PDC 2004-D Limited Partnership WV 4.01 01/04/08
PDC 2005-A Limited Partnership WV 4.01 01/04/08
PDC 2005-B Limited Partnership WV 4.01 01/04/08
PECO II INC OH 5.02,9.01 12/28/07
PENN TREATY AMERICAN CORP PA 8.01,9.01 12/28/07
PEOPLES BANCORP IN 3.01 12/28/07
PERFORMANCE TECHNOLOGIES INC \DE\ DE 1.01,5.03 12/31/07 AMEND
PERFORMANCE TECHNOLOGIES INC \DE\ DE 8.01 12/31/07 AMEND
Permanent Master Issuer plc 1.01,9.01 01/04/08
PHARMOS CORP NV 1.01,2.03,3.02,3.03,5.02,9.01 01/03/08
PHOENIX FOOTWEAR GROUP INC DE 1.01,2.01,9.01 12/29/07
PLAINS ALL AMERICAN PIPELINE LP DE 5.02,5.03,8.01,9.01 12/28/07
PLUG POWER INC DE 1.01,9.01 12/31/07
POWERWAVE TECHNOLOGIES INC DE 1.01,8.01 12/30/07
PREVENTION INSURANCE COM NV 5.01,5.02,9.01 12/31/07
PRO-FAC COOPERATIVE INC 7.01,9.01 01/04/08
PSI CORP NV 4.01 01/04/08
QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 3.01,9.01 12/28/07
Quest Energy Partners, L.P. DE 7.01,9.01 01/03/08
QUEST RESOURCE CORP NV 7.01,9.01 01/03/08
QUESTCOR PHARMACEUTICALS INC CA 7.01 01/04/08
QUESTCOR PHARMACEUTICALS INC CA 1.01,9.01 12/28/07
RedRoller Holdings, Inc. DE 5.02,7.01,9.01 01/04/08
REDWOOD TRUST INC MD 5.02 12/28/07
Reel Estate Services Inc. NV 1.01,2.01,3.02,5.01,5.02,5.03, 12/28/07
5.06,9.01
REGENT COMMUNICATIONS INC DE 5.02,9.01 12/28/07
RELIV INTERNATIONAL INC DE 1.01,9.01 01/02/08
REMEDIATION SERVICES, INC. NV 3.03,5.03,8.01,9.01 01/04/08
Retail Pro, Inc. DE 5.03,9.01 01/04/08
Rockies Region Private LP 4.01 01/04/08
SAGA COMMUNICATIONS INC DE 5.02,9.01 12/28/07
SALTON INC DE 1.01,9.01 12/28/07
SARS CORP. NV 3.02 12/28/07
SCHULMAN A INC DE 2.02,8.01,9.01 01/04/08
SCIELE PHARMA, INC. DE 8.01,9.01 01/02/08
SCO GROUP INC DE 5.03,9.01 12/31/07
SEAENA INC. 4.01,9.01 12/31/07
SEAWAY VALLEY CAPITAL CORP 9.01 01/04/08
Security With Advanced Technology, In CO 3.02,3.03,5.02,5.03,8.01,9.01 12/28/07
SEPRACOR INC /DE/ DE 1.01 12/31/07
Shire plc 8.01,9.01 01/03/08
Sirtris Pharmaceuticals, Inc. DE 5.02,9.01 01/02/08
SKYLINE CORP IN 2.02,9.01 01/04/08
SONIC CORP DE 2.02,9.01 11/30/07
SOUTHERN FIRST BANCSHARES INC SC 1.01,2.03,9.01 12/28/07
SOUTHWALL TECHNOLOGIES INC /DE/ DE 5.02 01/02/08
SOUTHWESTERN ENERGY CO DE 7.01 01/04/08
SOUTHWESTERN ENERGY CO DE 1.01 01/02/08
SOUTHWESTERN ENERGY CO DE 8.01,9.01 01/03/08
SOYO GROUP INC NV 2.01 01/03/08
Spansion Inc. DE 1.01,1.02,2.03 12/28/07
SPRINT NEXTEL CORP KS 5.02 12/31/07
SPSS INC DE 5.02,8.01 01/03/08
SPSS INC DE 8.01,9.01 01/03/08
SRA INTERNATIONAL INC DE 5.02 12/28/07
ST LAWRENCE SEAWAY CORP DE 4.01,9.01 12/31/07
ST. BERNARD SOFTWARE, INC. CA 1.01,1.02,5.02,9.01 12/31/07
STAAR SURGICAL CO DE 2.01,9.01 12/29/07
Sterling Banks, Inc. NJ 5.02,9.01 12/28/07
STOCKERYALE INC MA 1.01,2.03,3.02,9.01 12/28/07
SUN COMMUNITIES INC MD 1.01,9.01 12/30/07
SUNPOWER CORP CA 1.01,7.01,9.01 12/28/07
Sunrise Mining CORP NV 3.02,7.01,9.01 01/03/08
SUPERIOR ENERGY SERVICES INC DE 1.01,8.01,9.01 12/31/07
Surge Global Energy, Inc. 5.02,9.01 12/31/07
SVI Media, Inc. NV 2.03,3.02 12/21/07
Sweet Success Enterprises, Inc NV 8.01 01/03/08
TAKE TWO INTERACTIVE SOFTWARE INC DE 5.02 12/28/07
TALBOTS INC DE 2.05,2.06,7.01,9.01 01/03/08
TARGACEPT INC 5.02 01/03/08
Targanta Therapeutics Corp. DE 5.02 12/31/07
TECHNEST HOLDINGS INC NV 2.01,5.02,8.01,9.01 12/31/07
TERRA ENERGY & RESOURCE TECHNOLOGIES, DE 1.01,1.02,3.02,5.01,5.02,5.03, 12/27/07
8.01,9.01
TERRESTAR CORP DE 5.02,9.01 01/04/08
TEXAS INDUSTRIES INC DE 2.02,9.01 01/04/08
THERMAGE INC DE 5.02,8.01,9.01 01/03/08
THOMAS PROPERTIES GROUP INC DE 5.03,9.01 01/01/08
TIER TECHNOLOGIES INC DE 5.02 01/04/08
TOMBSTONE CARDS, INC. CO 7.01,8.01,9.01 12/21/07
TOWER TECH HOLDINGS INC. NV 1.01,3.02,9.01 12/28/07
TOWER TECH HOLDINGS INC. NV 9.01 10/19/07 AMEND
TRANSMETA CORP DE 1.01,5.02,9.01 12/31/07
Travelport LTD D0 1.01 12/28/07
TRIARC COMPANIES INC DE 1.01,5.02,9.01 01/04/08
TRIMAS CORP DE 1.01,9.01 01/04/08
UAL CORP /DE/ DE 5.02 01/03/08
US AIRWAYS GROUP INC DE 2.02,9.01 01/04/08
US AIRWAYS GROUP INC DE 2.02,9.01 01/04/08
UTIX GROUP INC DE 5.02 12/28/07
VALUECLICK INC/CA DE 5.02,9.01 01/03/08
Vaughan Foods, Inc. OK 2.03,9.01 12/31/07
Vestin Realty Mortgage II, Inc 5.03,9.01 12/31/07
VIASPACE Inc. NV 1.01 01/03/08
Vicor Technologies, Inc. DE 2.04 12/31/07
VILLAGEEDOCS INC CA 5.02 12/31/07
VILLAGEEDOCS INC CA 7.01,9.01 12/31/07
VINEYARD NATIONAL BANCORP CA 5.02,9.01 01/04/08
VIPER NETWORKS INC NV 1.01,1.02,5.02,9.01 12/31/07
VISION SCIENCES INC /DE/ DE 8.01,9.01 01/04/08
Vista International Technologies Inc NV 7.01,9.01 01/04/08
VOLTERRA SEMICONDUCTOR CORP 5.02 12/28/07
Voyager Petroleum, Inc. NV 1.01,9.01 12/28/07
Wells Fargo Mortgage Backed Securitie DE 8.01,9.01 12/20/07
Wells Fargo Mortgage Backed Securitie DE 8.01,9.01 12/21/07
Wellstar International, Inc. NV 8.01,9.01 12/20/07
WENDYS INTERNATIONAL INC OH 7.01,9.01 01/04/08
WESTELL TECHNOLOGIES INC DE 1.01,9.01 12/28/07
WINDSTREAM CORP DE 5.02,9.01 01/01/08
WINLAND ELECTRONICS INC MN 1.01,5.02,9.01 12/31/07
WORKSTREAM INC 5.02 01/01/08
Yankee Holding Corp. DE 5.02,9.01 01/03/08
http://www.sec.gov/news/digest/2008/dig010708.htm
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