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SEC NEWS DIGEST
Issue 2008-7 January 10, 2008
COMMISSION ANNOUNCEMENTS
SEC SUSPENDS TRADING IN AAMPRO GROUP, INC.
The Commission announced the temporary suspension, pursuant to Section
12(k) of the Securities Exchange Act of 1934 (the Exchange Act), of
trading of the securities of Aampro Group, Inc. (Aampro), of Peapack,
New Jersey commencing at 9:30 a.m. EST on Jan. 10, 2008, and
terminating at 11:59 p.m. EST on Jan. 24, 2008. The securities of
Aampro are quoted on the Pink Sheets under the symbol APGO.
The Commission temporarily suspended trading in the securities of
Aampro because of questions that have been raised about the accuracy
and adequacy of publicly disseminated information concerning, among
other things, the company's business operations, business combinations
and financial condition.
The Commission cautions brokers, dealers, shareholders, and
prospective purchasers that they should carefully consider the
foregoing information along with all other currently available
information and any information subsequently issued by the company.
Further, brokers and dealers should be alert to the fact that,
pursuant to Rule 15c2-11 under the Exchange Act, at the termination of
the trading suspension, no quotation may be entered unless and until
they have strictly complied with all of the provisions of the rule. If
any broker or dealer has any questions as to whether or not he has
complied with the rule, he should not enter any quotation but
immediately contact the staff in the Division of Trading and Markets,
Office of Interpretation and Guidance, at (202) 551-5760. If any
broker or dealer is uncertain as to what is required by Rule 15c2-11,
he should refrain from entering quotations relating to Aampro's
securities until such time as he has familiarized himself with the
rule and is certain that all of its provisions have been met. If any
broker or dealer enters any quotation which is in violation of the
rule, the Commission will consider the need for prompt enforcement
action.
If any broker, dealer or other person has any information which may
relate to this matter, they should contact Doria G. Bachenheimer,
Assistant Regional Director, Division of Enforcement, New York
Regional Office, at (212) 336-0024. (Rel. 34-57120)
ENFORCEMENT PROCEEDINGS
IN THE MATTER OF RONALD J. NADEL
On January 10, 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 Ronald J. Nadel. The Order finds
that on Sept. 4, 2007, a final judgment was entered by consent against
Nadel, permanently enjoining him from future violations of Sections
5(a), 5(c), and 17(a) of the Securities Act of 1933, Sections 10(b)
and 15(a) of the Exchange Act and Rule 10b-5 thereunder, in the civil
action entitled SEC v. Renaissance Asset Fund, Inc., Ronald J. Nadel
and Joseph M. Malone, Civil Action Number SAC 06-661-JVS(ANx), in the
United States District Court for the Central District of California.
The Commission's complaint alleged that, from at least March 1999
through April 2004, Ronald Nadel, through Renaissance, operated
various investment programs as a Ponzi scheme. The complaint further
alleges that Nadel, individually and through a network of other
solicitors raised at least $16 million by selling promissory notes. At
least 190 individuals invested in Nadel's programs. According to the
complaint, Renaissance made numerous misrepresentations when selling
these investments, including promising returns ranging from 10% to 75%
annually and claiming that the investments would be used to provide
loans or other financing to promising businesses. As investors began
requesting the return of their money, Nadel engaged in a series of
stalling tactics, including soliciting "rollovers" of investors'
purported returns into other investment programs and making partial
repayments from funds contributed by other investors. Renaissance
invested approximately $1 million of the funds it raised in business
projects, but Nadel spent most of the investors' money operating his
Ponzi scheme. Nadel also diverted at least $2.3 million to himself.
Based on the above, the Order bars Ronald J. Nadel from association
with any broker or dealer with the right to reapply for association
after five years to the appropriate self-regulatory organization, or
if there is none, to the Commission. Ronald J. Nadel consented to the
issuance of the Order without admitting or denying any of the
findings. (Rel. 34-57123; File No. 3-12927)
IN THE MATTER OF JOSEPH M. MALONE
On January 10, the Commission issued an Order Instituting
Administrative Proceedings Pursuant to Section 15(b)(6) of the
Securities Exchange Act of 1934 (Exchange Act), Making Findings and
Imposing Remedial Sanctions (Order) against Joseph M. Malone. The
Order finds that on Sept. 7, 2007, a final judgment was entered by
consent against Malone, permanently enjoining him from future
violations of Sections 5(a), 5(c), 17(a)(2) and 17(a)(3) of the
Securities Act of 1933 as well as Section 15(a) of the Exchange Act,
in the civil action entitled Securities and Exchange Commission v.
Renaissance Asset Fund, Inc., Ronald J. Nadel and Joseph M. Malone,
Civil Action Number SAC 06-661-JVS(ANx), in the United States District
Court for the Central District of California.
The Commission's complaint alleged that Malone solicited investments
and supervised the solicitation of investments in Renaissance.
Further, the Commission's complaint alleged that Malone's
responsibilities while he was Renaissance's investor relations
representative included, among other things, accepting investment
agreements and signing off on the suitability of investments,
overseeing salesmen who solicited investors, determining commission
payments to them for their sales, and attending board meetings.
Additionally, the Commission's complaint alleged that Malone received
at least $230,000 in salary or other compensation from entities
controlled by Renaissance's president Ronald J. Nadel.
Based on the above, the Order bars Joseph M. Malone from association
with any broker or dealer with the right to reapply for association
after three years to the appropriate self-regulatory organization, or
if there is none, to the Commission. Joseph M. Malone consented to the
issuance of the Order without admitting or denying any of the findings
in the Order. (Rel. 34-57124; File No. 3-12928)
FINAL JUDGMENT ENTERED AGAINST BRIAN M. ADLEY, FORMER CHAIRMAN AND CEO
OF BOSTON-BASED CHANCELLOR CORPORATION, IMPOSING PERMANENT INJUNCTION,
OFFICER AND DIRECTOR BAR, AND ORDERING $930,000 IN DISGORGEMENT
The Commission announced that on January 3 the Honorable Patti B.
Saris, U.S. District Court Judge for the District of Massachusetts,
entered a Final Judgment against Brian M. Adley, the former Chairman,
Chief Executive Officer and controlling shareholder of Chancellor
Corporation, a now defunct Boston, MA transportation equipment-leasing
company, for his role in a multi-faceted financial fraud. The Court
ordered that Adley be enjoined from future violations of the federal
securities laws, that he pay $930,000 in disgorgement and that Adley
is barred from acting as an officer or director of a public company
for twenty-years.
On Nov. 26, 2007, after a three week trial, a jury found Adley liable
for violating the antifraud and record-keeping provisions of the
federal securities laws, for making false statements to Chancellor's
accountants, and for aiding and abetting Chancellor's reporting and
recordkeeping provisions of the federal securities laws. The
Commission's complaint alleged that Adley caused Chancellor to file
false financial statements in 1999 and 2000 by directing the wholesale
fabrication of corporate documents, by instructing that the fabricated
documents be given to the company's auditors, and by coordinating the
filing of false financial statements with the Commission. The Final
Judgment followed a jury verdict in the SEC's favor on all securities
fraud charges against Adley. [SEC v. Chancellor Corporation, et al.,
USDC, District of Massachusetts, C.A. No. 03-10762-PBS)] (LR-20426;
AAE Rel. 2767)
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.
N-2 Alternative Strategies Fund, 4 WORLD FINANCIAL CENTER, NEW YORK, NY,
10080, 212-449-4742 - 0 ($1,000,000.00) Equity, (File 333-148531 -
Jan. 9) (BR. )
S-1 Bayhill Therapeutics, Inc., 3400 W BAYSHORE RD, PALO ALTO, CA, 94303,
650-320-3800 - 0 ($86,250,000.00) Equity, (File 333-148532 - Jan. 9)
(BR. 01)
S-8 SYNTHESIS ENERGY SYSTEMS INC, 6330 WEST LOOP SOUTH SUITE 300, HOUSTON,
TX, 77401, 713-579-0600 - 2,000,000 ($22,400,000.00) Equity,
(File 333-148544 - Jan. 9) (BR. 06B)
SB-2 Hammer Handle Enterprises Inc., 1212 HAIDA AVENUE, SASKATOON, A9,
S7M 2W7, 604-762-8682 - 470,000 ($47,000.00) Equity, (File 333-148545 -
Jan. 9) (BR. 04)
SB-2 DBL SENIOR CARE, INC., 925 GARDENIA CIR., ST. GEORGE, UT, 84790,
435-817-0043 - 630,000 ($31,500.00) Equity, (File 333-148546 - Jan. 9)
(BR. 11)
S-8 NANOGEN INC, 10398 PACIFIC CENTER COURT, SAN DIEGO, CA, 92121,
858 410 4600 - 0 ($1,739,352.00) Equity, (File 333-148547 - Jan. 9)
(BR. 10B)
S-3 Cougar Biotechnology, Inc., 10990 WILSHIRE BLVD., SUITE 1200,
LOS ANGELES, CA, 90024, 310 943 8040 - 0 ($91,500,000.00) Equity,
(File 333-148548 - Jan. 9) (BR. 01A)
F-1 ASM Acquisition CO LTD, UNIT 601-2, 6TH FLOOR,
ST. GEORGE'S BUILDING, 2 ICE HOUSE ST., CENTRAL, K3, 000000000,
852-2106-0888 - 0 ($301,875,000.00) Equity, (File 333-148549 - Jan. 9)
(BR. 01)
F-1 ReneSola Ltd, NO. 8 BAOQUN ROAD, YAOZHUANG, JIASHAN, F4, 314117,
(86-573) 8477 3058 - 0 ($200,000,000.00) ADRs/ADSs, (File 333-148550 -
Jan. 9) (BR. 10C)
S-3 Akeena Solar, Inc., 16005 LOS GATOS BLVD, LOS GATOS, CA, 95032,
408-395-7774 - 0 ($38,068,144.00) Equity, (File 333-148551 - Jan. 9)
(BR. 02A)
S-3 PACIFICORP /OR/, 825 N.E. MULTNOMAH, SUITE 2000, PORTLAND, OR, 97232,
5038135000 - 0 ($1.00) Mortgage Backed Securities, (File 333-148552 -
Jan. 9) (BR. 02B)
S-8 QUALCOMM INC/DE, 5775 MOREHOUSE DR, SAN DIEGO, CA, 92121, 8585871121 -
0 ($186,557.00) Equity, (File 333-148556 - Jan. 9) (BR. 11B)
F-6 ReneSola Ltd, NO. 8 BAOQUN ROAD, YAOZHUANG, JIASHAN, F4, 314117,
(86-573) 8477 3058 - 100,000,000 ($5,000,000.00) ADRs/ADSs,
(File 333-148559 - Jan. 9) (BR. 10C)
SB-2 TEKOIL & GAS CORP, 25050 I-45 NORTH, SUITE 525, THE WOODLANDS, TX,
77380, 281-364-6950 - 7,142,858 ($1,428,572.00) Equity,
(File 333-148560 - Jan. 9) (BR. 04B)
S-3 THIRD WAVE TECHNOLOGIES INC /WI, 502 S ROSA RD, MADISON, WI,
53719-1256, 608-663-7036 - 0 ($16,915,800.00) Equity,
(File 333-148567 - Jan. 9) (BR. 01C)
F-1 First Class Navigation CORP, 22 ETHNIKIS ANTISTASEOS STREET,
152 32 HALANDRI, ATHENS, J3, 00000, 30-210-68-00-375 -
0 ($301,875,000.00) Equity, (File 333-148569 - Jan. 9) (BR. )
S-8 LEARNING TREE INTERNATIONAL INC, 400 NORTH CONTINENTAL BOULEVARD,
SUITE 200, EL SEGUNDO, CA, 90245, 3104179700 -
1,000,000 ($21,380,000.00) Equity, (File 333-148571 - Jan. 9) (BR. 11B)
S-1 OMEROS CORP, 1420 5TH AVE, SUITE 2600, SEATTLE, WA, 98101,
206-623-4688 - 0 ($115,000,000.00) Equity, (File 333-148572 - Jan. 9)
(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 Certain Officers; Election of Directors;
Appointment of Certain Officers; Compensatory Arrangements of Certain 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
5.06 Change in Shell Company Status
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
--------------------------------------------------------------------------------------------------------
ACCELERIZE NEW MEDIA INC DE 8.01 01/08/08
ACCESS PHARMACEUTICALS INC DE 2.01,7.01,9.01 01/09/08
Affinion Group, Inc. DE 7.01,9.01 01/09/08
AGL RESOURCES INC GA 5.02,9.01 01/08/08
Aldabra 2 Acquisition Corp. DE 7.01,9.01 01/09/08
Alexza Pharmaceuticals Inc. DE 5.02 01/04/08
ALLIANT TECHSYSTEMS INC DE 1.01,9.01 01/08/08
ALLSTATE LIFE INSURANCE CO 1.01,9.01 01/04/08
AMERICAN CAPITAL STRATEGIES LTD 8.01,9.01 01/07/08
AMERICAN HOMEPATIENT INC DE 5.02 01/08/08
AMERICAN SOIL TECHNOLOGIES INC NV 5.02 01/03/08
AMERICAN TECHNOLOGY CORP /DE/ DE 2.02,3.01,9.01 01/03/08
Apple REIT Eight, Inc. VA 9.01 11/09/07 AMEND
Apple REIT Eight, Inc. VA 9.01 12/14/07 AMEND
Apple REIT Eight, Inc. VA 9.01 12/06/07 AMEND
Apple REIT Eight, Inc. VA 9.01 11/15/07 AMEND
APPLETON PAPERS INC/WI 1.01 01/09/08
ARGENTEX MINING CORP NV 7.01 12/27/07
ART TECHNOLOGY GROUP INC DE 2.02,9.01 01/09/08
ARUBA NETWORKS, INC. DE 1.01,9.01 01/04/08
ATHEROGENICS INC GA 2.03,3.02 01/09/08
Atwood Minerals & Mining CORP. NV 4.01,9.01 01/03/08
ATWOOD OCEANICS INC TX 7.01 01/09/08
ATWOOD OCEANICS INC TX 7.01,8.01,9.01 01/09/08
AVANI INTERNATIONAL GROUP INC // NV 3.02,3.03,5.01 11/11/07
AVANT IMMUNOTHERAPEUTICS INC DE 3.01,9.01 01/09/08
AVISTAR COMMUNICATIONS CORP DE 1.01,2.03,7.01,9.01 01/09/08
BANK BUILDING CORP VA 1.01,8.01,9.01 01/08/08
BEKEM METALS INC UT 5.02 01/03/08
BELL MICROPRODUCTS INC CA 2.02,3.01,8.01,9.01 01/03/08
BEVERLY NATIONAL CORP MA 8.01,9.01 01/08/08
BIOMIMETIC THERAPEUTICS, INC. DE 1.01,1.02,2.01,9.01 01/04/08
BIOTIME INC CA 1.01,7.01,9.01 01/03/08
BOSTON SCIENTIFIC CORP DE 1.01,9.01 01/03/08
BOTTOMLINE TECHNOLOGIES INC /DE/ DE 2.02,7.01 01/09/08
BRADY CORP WI 5.02,9.01 01/08/08
Bronco Drilling Company, Inc. DE 8.01,9.01 01/04/08
CA, INC. DE 1.01,8.01,9.01 01/03/08
Calumet Specialty Products Partners, DE 1.01,2.01,2.03,8.01,9.01 01/03/08
CAMDEN NATIONAL CORP ME 8.01 01/03/08
Cape Bancorp, Inc. MD 8.01,9.01 01/09/08
CAPITOL FEDERAL FINANCIAL 7.01,9.01 01/09/08
CASTLE GROUP INC 5.02,9.01 01/08/08
Celsius Holdings, Inc. NV 1.01,3.02,9.01 12/19/07 AMEND
CENTRUE FINANCIAL CORP DE 8.01,9.01 01/07/08
CHASE CORP MA 2.02,9.01 01/07/08
China Direct, Inc FL 7.01,9.01 01/09/08
CHINA RUITAI INTERNATIONAL HOLDINGS C DE 4.01,9.01 12/19/07 AMEND
China Shoe Holdings, Inc. NV 4.01,9.01 09/06/07 AMEND
CKE RESTAURANTS INC DE 7.01,9.01 01/09/08
CLEVELAND CLIFFS INC OH 8.01 01/08/08
COHEN & STEERS TOTAL RETURN REALTY FU MD 5.03,9.01 01/07/08
COLDWATER CREEK INC DE 7.01 01/08/08
COMMUNICATION INTELLIGENCE CORP DE 1.01 01/09/08
COMMUNITY BANCORP /VT VT 5.02,8.01,9.01 01/09/08
COMPREHENSIVE CARE CORP DE 5.02,7.01,9.01 01/04/08
COMPUTER SOFTWARE INNOVATIONS INC 1.01,9.01 01/02/08
Constellation Energy Partners LLC DE 8.01 01/09/08
CONTANGO OIL & GAS CO DE 1.01,2.01,9.01 01/03/08
CONVERSION SERVICES INTERNATIONAL INC DE 8.01,9.01 01/09/08
COUNTRYWIDE FINANCIAL CORP DE 2.02,9.01 01/09/08
CRIMSON EXPLORATION INC. 2.02,8.01,9.01 01/07/08
CSS INDUSTRIES INC DE 2.05 01/03/08
Customer Acquisition Network Holdings DE 1.01,2.03,9.01 01/04/08
CYBERDEFENDER CORP CA 5.02 01/08/08
DAKTRONICS INC /SD/ SD 7.01,9.01 01/09/08
Deep Down, Inc. NV 2.01,2.03,9.01 12/18/07
DEL MONTE FOODS CO DE 5.02,7.01,9.01 01/07/08
DELPHI CORP DE 7.01,9.01 01/09/08
DELPHI CORP DE 8.01,9.01 01/09/08
DENBURY RESOURCES INC DE 5.02 01/04/08
Dialpoint Communications Corp NV 1.01,2.01,3.02,9.01 01/09/08
DigitalFX International Inc FL 3.01,9.01 01/03/08
DigitalPost Interactive, Inc. NV 1.01,9.01 01/08/08
DIRECT INSITE CORP DE 5.02,9.01 12/23/07
DOCUMENT SECURITY SYSTEMS INC NY 8.01,9.01 01/09/08
DUCOMMUN INC /DE/ DE 5.02 01/07/08
DUPONT E I DE NEMOURS & CO DE 2.02 01/09/08
DUPONT E I DE NEMOURS & CO DE 2.06 01/08/08
DURA AUTOMOTIVE SYSTEMS INC DE 1.01,9.01 12/28/07
DVL INC /DE/ DE 8.01,9.01 12/31/07 AMEND
EFJ INC DE 2.02,2.05,5.02,9.01 01/04/08
ELECTRO OPTICAL SCIENCES INC /NY 8.01,9.01 01/09/08
ELECTRONICS FOR IMAGING INC DE 2.02,9.01 01/09/08
ELITE PHARMACEUTICALS INC /DE/ DE 1.01,2.01,3.02,5.02,8.01,9.01 01/03/08
Emergency Medical Services CORP DE 7.01,9.01 01/09/08
EMS TECHNOLOGIES INC GA 2.02,9.01 01/07/08
Endeavor Energy CORP NV 5.02 01/04/08
ENDO PHARMACEUTICALS HOLDINGS INC DE 7.01,9.01 01/09/08
ENDOLOGIX INC /DE/ DE 2.02,9.01 01/07/08
Energy Future Holdings Corp /TX/ TX 5.02,9.01 01/08/08
ENTECH ENVIRONMENTAL TECHNOLOGIES INC FL 4.01,9.01 05/15/07
EOG RESOURCES INC DE 5.03,7.01,8.01,9.01 01/09/08
ESS TECHNOLOGY INC CA 3.01,9.01 01/03/08
Ever-Glory International Group, Inc. FL 4.01,9.01 12/12/07 AMEND
EXELIXIS INC DE 8.01 01/04/08
FAIRPOINT COMMUNICATIONS INC DE 8.01,9.01 01/09/08
Firepond, Inc. DE 5.01 01/09/08
FIRST COMMUNITY BANCORP /CA/ CA 1.01,9.01 01/07/08
FNB BANCORP/CA/ 8.01,9.01 01/08/08
FORRESTER RESEARCH INC DE 5.02 01/07/08
FORSTER DRILLING CORP NV 4.01,9.01 01/07/08
FORSTER DRILLING CORP NV 1.01,9.01 01/03/08
FREMONT GENERAL CORP NV 1.01,5.02,7.01,9.01 01/07/08
FREQUENCY ELECTRONICS INC DE 5.02 01/04/08
FUNDSTECH CORP DC 5.03,9.01 01/07/08
FX Real Estate & Entertainment Inc. DE 1.01,3.02,5.02,9.01 01/03/08
GASCO ENERGY INC NV 7.01,9.01 01/09/08
GENERAL GROWTH PROPERTIES INC DE 8.01,9.01 01/08/08
GENLYTE GROUP INC DE 8.01 01/09/08
Gentor Resources, Inc. FL 8.01 01/09/08
GENZYME CORP MA 1.01,9.01 01/07/08 AMEND
GIGABEAM CORP DE 7.01 01/09/08
Graymark Healthcare, Inc. 7.01,9.01 01/07/08
GREEN BANKSHARES, INC. TN 5.02,7.01,9.01 01/04/08
HAMPTON ROADS BANKSHARES INC VA 1.01,9.01 01/08/08
HANOVER CAPITAL MORTGAGE HOLDINGS INC MD 1.01 01/03/08
HARRAHS ENTERTAINMENT INC DE 1.01,8.01,9.01 01/08/08
HARVEST NATURAL RESOURCES, INC. DE 8.01 01/02/08
HARVEY ELECTRONICS INC NY 4.01,9.01 12/18/07 AMEND
HCC INSURANCE HOLDINGS INC/DE/ DE 8.01 01/09/08
HEARUSA INC DE 2.02,9.01 01/08/08
HEPALIFE TECHNOLOGIES INC FL 1.01,7.01,9.01 11/02/07 AMEND
HEPALIFE TECHNOLOGIES INC FL 1.01,7.01,9.01 11/20/07 AMEND
Highlands Acquisition Corp DE 4.01,9.01 01/08/08
HIGHLANDS BANKSHARES INC /WV/ WV 5.03,9.01 01/09/08
HIGHLANDS BANKSHARES INC /WV/ WV 5.02,9.01 01/08/08
HOLLY CORP DE 7.01,9.01 01/07/08
HORNBECK OFFSHORE SERVICES INC /LA DE 7.01,8.01,9.01 01/09/08
HUBBELL INC CT 5.02 01/04/08
Huifeng Bio-Pharmaceutical Technology NV 1.01,2.03,9.01 12/31/07 AMEND
HUMANA INC DE 7.01 01/09/08
ILLINOIS TOOL WORKS INC DE 2.02,9.01 12/31/07
ILX RESORTS INC AZ 5.02 01/07/08
IMPAX LABORATORIES INC DE 7.01,9.01 01/09/08
INFINERA CORP DE 8.01 01/09/08
Information Services Group Inc. DE 4.01,5.03 01/09/08
INNOVATIVE CARD TECHNOLOGIES INC DE 1.01,2.03,3.02,9.01 01/08/08
INTUITIVE SURGICAL INC DE 1.01 01/09/08 AMEND
INVESTMENT TECHNOLOGY GROUP INC DE 8.01,9.01 01/09/08
IONA TECHNOLOGIES PLC 2.02,7.01,9.01 01/09/08
IR BIOSCIENCES HOLDINGS INC DE 1.01,2.03,3.02,7.01,9.01 01/03/08
ISCO INTERNATIONAL INC DE 1.01 01/09/08
ITEX CORP NV 7.01,9.01 01/09/08
J P MORGAN CHASE & CO DE 9.01 01/08/08
J.P. Morgan Mortgage Trust 2007-A5 DE 8.01,9.01 01/09/08 AMEND
JACKSONVILLE BANCORP INC IL 2.02,9.01 01/09/08
JONES SODA CO WA 5.02,9.01 01/03/08
KBL Healthcare Acquisition Corp III DE 4.01,9.01 01/03/08
KELLWOOD CO DE 2.01,8.01,9.01 01/08/08
Kodiak Oil & Gas Corp 5.02,9.01 01/07/08
Kohlberg Capital CORP DE 8.01 01/09/08
KROGER CO OH 7.01 01/09/08
LAND O LAKES INC 5.02,8.01,9.01 01/07/08
Language Enterprises Corp. 5.03,7.01,9.01 01/07/08
LEGEND MOBILE INC DE 3.02 01/09/08 AMEND
LIMCO-PIEDMONT INC DE 2.02,9.01 01/07/08
LIMCO-PIEDMONT INC DE 5.02 01/07/08
LUMINENT MORTGAGE CAPITAL INC 5.02,8.01,9.01 01/04/08
M & F WORLDWIDE CORP DE 5.02 01/01/08
MAGSTAR TECHNOLOGIES INC MN 8.01,9.01 01/09/08
MARKWEST ENERGY PARTNERS L P 8.01,9.01 01/03/08
MARKWEST HYDROCARBON INC DE 8.01,9.01 01/03/08
MATERIAL SCIENCES CORP DE 2.02,9.01 01/09/08
MATRIX SERVICE CO DE 2.02,9.01 01/09/08
MBIA INC CT 1.01,7.01,8.01 01/08/08
MBIA INC CT 8.01,9.01 01/09/08
MBT FINANCIAL CORP MI 8.01,9.01 01/07/08
MERCANTILE BANK CORP MI 2.02,9.01 01/09/08
MERCURY COMPUTER SYSTEMS INC MA 7.01,9.01 01/09/08
MERIX CORP OR 2.02,9.01 01/09/08
MH&SC, INC DE 4.01,9.01 01/07/08
MIDDLEFIELD BANC CORP OH 5.02,8.01,9.01 01/07/08
Millennium India Acquisition CO Inc. DE 7.01,9.01 07/19/07 AMEND
Millennium India Acquisition CO Inc. DE 8.01 08/02/07 AMEND
Millennium India Acquisition CO Inc. DE 7.01,9.01 11/23/07 AMEND
MONTEREY GOURMET FOODS DE 5.02,9.01 01/07/08
MORTONS RESTAURANT GROUP INC DE 2.02,9.01 01/09/08
MOSAIC CO 2.02,9.01 01/09/08
MSC INDUSTRIAL DIRECT CO INC NY 8.01,9.01 01/09/08
MSC SOFTWARE CORP DE 2.02,9.01 01/09/08
NATIONAL RURAL UTILITIES COOPERATIVE DC 5.02 01/09/08
NEOPROBE CORP DE 1.01,5.02,9.01 01/03/08
NeoStem, Inc. DE 8.01,9.01 01/09/08
NETLOGIC MICROSYSTEMS INC 9.01 10/24/07 AMEND
Neuro-Hitech, Inc. DE 8.01,9.01 01/09/08
NII HOLDINGS INC DE 2.02,5.02,8.01,9.01 01/06/08
NORPAC TECHNOLOGIES, INC. NV 1.01,9.01 01/03/08
NORTH POINTE HOLDINGS CORP 1.01,5.01,9.01 01/03/08
NORTHERN TECHNOLOGIES INTERNATIONAL C DE 2.02,9.01 01/08/08
Northfield Bancorp, Inc. X1 5.02,9.01 01/03/08
NOVELL INC DE 5.02 01/07/07
OccuLogix, Inc. DE 5.02,9.01 01/04/08
OLD DOMINION FREIGHT LINE INC/VA VA 5.02 01/03/08
ONCOVISTA INNOVATIVE THERAPIES, INC 5.03,8.01,9.01 01/03/08
ORCHESTRA THERAPEUTICS, INC. DE 1.01 01/07/08
ORMAT TECHNOLOGIES, INC. DE 3.02,8.01,9.01 01/09/08
OSI PHARMACEUTICALS INC DE 3.02,8.01,9.01 01/03/08
PALOMAR MEDICAL TECHNOLOGIES INC DE 1.01 01/09/08
PC CONNECTION INC DE 5.03,9.01 12/28/07
PETRO RESOURCES CORP DE 7.01,9.01 01/07/08
PETROQUEST ENERGY INC DE 7.01,9.01 01/09/08
Pharmasset Inc 8.01,9.01 01/07/08
PHARMOS CORP NV 1.01,2.03,3.02,3.03,5.02,9.01 01/03/08 AMEND
PHILADELPHIA CONSOLIDATED HOLDING COR PA 1.01 01/03/08
PINNACLE DATA SYSTEMS INC OH 5.02,9.01 01/07/08
PORTFOLIO RECOVERY ASSOCIATES INC DE 5.02 01/04/08
POWERSECURE INTERNATIONAL, INC. DE 8.01,9.01 01/08/08
PREMIER EXHIBITIONS, INC. 2.02,5.02,9.01 01/09/08
PRIMEDIA INC DE 7.01,9.01 01/08/08
PRO DEX INC CO 5.02,9.01 12/31/07
ProUroCare Medical Inc. 1.01,2.03,3.02 01/04/08
PROXIM WIRELESS CORP DE 5.05 01/03/08
Public Storage MD 7.01 01/08/08
QLOGIC CORP DE 2.02,9.01 01/09/08
QUEST SOFTWARE INC CA 3.01,9.01 01/07/08
RAIT Financial Trust MD 5.02 01/07/08
ROBBINS & MYERS INC OH 2.02,8.01,9.01 01/08/08
SALON MEDIA GROUP INC DE 1.01,5.02,9.01 01/07/08
Sara Lee Corp MD 5.02 01/07/08
SAVVIS, Inc. DE 2.02,7.01,9.01 01/09/08
SCIELE PHARMA, INC. DE 7.01,9.01 01/09/08
Semoran Financial CORP FL 5.02 12/20/07
SENTRA CONSULTING CORP 4.01,9.01 01/07/08
SEREFEX CORP DE 2.01,9.01 10/22/07 AMEND
SHAW GROUP INC LA 2.02,9.01 01/09/08
SHORE FINANCIAL CORP VA 1.01,9.01 01/08/08
SKYTERRA COMMUNICATIONS INC DE 1.01,2.03,3.02,8.01,9.01 01/07/08
SLM CORP DE 5.02 01/07/08
SMART BALANCE, INC. DE 5.02,7.01,9.01 01/07/08
SMITH MICRO SOFTWARE INC DE 1.01,2.01,9.01 01/04/08
SOLOMON TECHNOLOGIES INC DE 5.02 01/03/08
SOUTHERN BELLA INC DE 4.01,9.01 01/07/08
SOUTHERN CONNECTICUT BANCORP INC CT 8.01,9.01 01/04/08
SPATIALIGHT INC NY 5.02,8.01 01/08/08
SPONGETECH DELIVERY SYSTEMS INC DE 1.01,5.02,9.01 12/03/07
SPORT SUPPLY GROUP, INC. DE 1.01,9.01 01/07/08
STANLEY WORKS CT 8.01,9.01 01/09/08
Storm Cat Energy CORP 7.01,9.01 01/09/08
STREAMLINE HEALTH SOLUTIONS INC. DE 4.01 01/08/08
SUMMIT FINANCIAL SERVICES GROUP INC FL 1.01,9.01 01/03/08
SUNCOM WIRELESS HOLDINGS, INC. 8.01 12/28/07 AMEND
SUNOCO LOGISTICS PARTNERS LP DE 5.02,7.01,9.01 01/09/08
SUPERVALU INC DE 5.04,9.01 01/08/08
SYMANTEC CORP DE 5.02,9.01 01/08/08
TAILWIND FINANCIAL INC. DE 1.01,7.01,9.01 01/09/08
TAMM Oil & Gas Corp. NV 5.02,9.01 01/07/08
TAMM Oil & Gas Corp. NV 1.01,9.01 11/26/07
TAMM Oil & Gas Corp. NV 1.01,9.01 12/27/07
TATONKA OIL & GAS, INC. CO 2.01,8.01,9.01 01/02/08
TAUBMAN CENTERS INC MI 1.01,2.03,9.01 01/08/08
TAYLOR DEVICES INC NY 9.01 01/09/08
TEAMSTAFF INC NJ 3.01,9.01 01/04/08
TECHNOLOGY RESOURCES INC FL 8.01 09/14/07
Timberline Resources Corp 5.02,7.01,9.01 01/07/08
TRADESTATION GROUP INC FL 5.02 01/03/08
TRANSOCEAN INC E9 7.01,9.01 01/08/08
U S PHYSICAL THERAPY INC /NV NV 7.01 01/09/08
U.S. Helicopter CORP DE 8.01 01/07/08
uBid.com Holdings, Inc. DE 5.02,9.01 01/09/08
UNITED PARCEL SERVICE INC DE 8.01,9.01 01/09/08
USA VIDEO INTERACTIVE CORP WY 4.01,9.01 01/07/08
V F CORP PA 7.01,9.01 01/09/08
Vantage Energy Services, Inc. DE 1.01 01/04/08
VIROPHARMA INC DE 7.01,9.01 01/09/08
VITAL IMAGES INC MN 5.02,9.01 01/09/08
VITAL SIGNS INC NJ 4.01,9.01 01/07/08
VOLT INFORMATION SCIENCES, INC. NY 5.02 01/07/08
VONAGE HOLDINGS CORP DE 2.02,7.01,9.01 01/09/08
WD 40 CO DE 2.02,9.01 01/09/08
WEST COAST BANCORP /NEW/OR/ OR 2.02,9.01 01/08/08
WEST PHARMACEUTICAL SERVICES INC PA 7.01,9.01 01/09/08
WestCoast Golf Experiences Inc. NV 5.02,8.01,9.01 01/04/08
WET SEAL INC DE 5.03,8.01,9.01 01/07/08
WGL HOLDINGS INC VA 7.01,9.01 01/08/08
WGNB CORP GA 2.02,9.01 10/22/07
WILLIAMS COMPANIES INC DE 5.02 01/04/08
WIRELESS RONIN TECHNOLOGIES INC MN 1.01,9.01 01/07/08
WMS INDUSTRIES INC /DE/ DE 5.02,9.01 01/07/08
Wornick CO DE 1.01,8.01,9.01 01/07/08
XENOMICS INC FL 5.02 01/03/08
XFONE INC NV 8.01,9.01 12/30/07
http://www.sec.gov/news/digest/2008/dig011008.htm
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