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SEC NEWS DIGEST
Issue 2008-9 January 14, 2008
ENFORCEMENT PROCEEDINGS
COMMISSION DISMISSES APPEAL OF WEDBUSH MORGAN SECURITIES, INC.
The Commission has dismissed the appeal by Wedbush Morgan Securities,
Inc. of an NASD Hearing Officer's Decision. The NASD Hearing Officer
found that Wedbush had failed to pay the full amount of post-award
interest due under an NASD arbitration proceeding against the Firm.
The Hearing Officer's Decision would have resulted in the suspension
of Wedbush's NASD membership if the Firm failed to make full payment
of the amount before March 23, 2007. However, Wedbush made its payment
on March 22, 2007, and the suspension never took effect. As a result,
the Commission found that it lacked a statutory basis to review the
NASD Hearing Officer's Decision and accordingly dismissed Wedbush's
appeal. (Rel. 34-57138; File No. 3-12618)
SELF-REGULATORY ORGANIZATIONS
ACCELERATED APPROVAL OF PROPOSED RULE CHANGE
The Commission granted accelerated approval to a proposed rule change
filed by the International Securities Exchange (SR-ISE-2007-103), as
modified by Amendment No. 1 thereto, to permit trading pursuant to
unlisted trading privileges of shares of eight funds of the ProShares
Trust. Publication is expected in the Federal Register during the week
of January 14. (Rel. 34-57115)
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A proposed rule change filed by the Chicago Board Options Exchange
relating to complex orders (SR-CBOE-2008-01) 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 14. (Rel. 34-57119)
A proposed rule change filed by the International Securities Exchange
(SR-ISE-2008-02) relating to fee changes has become immediately
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 14. (Rel. 34-57128)
A proposed rule change filed by the International Securities Exchange
(SR-ISE-2008-01) relating to fee changes has become immediately
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 14. (Rel. 34-57129)
A proposed rule change filed by NYSE Arca (SR-NYSEArca-2008-04) to
expand, and make permanent, the $1 Strike Program has become
immediately 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 14. (Rel. 34-57130)
PROPOSED RULE CHANGES
The International Securities Exchange filed a proposed rule change
(SR-ISE-2007-112), as modified by Amendment No. 1 thereto, relating
to obvious errors. Publication is expected in the Federal Register
during the week of January 14. (Rel. 34-57127)
The Municipal Securities Rulemaking Board filed a proposed rule
change (SR-MSRB-2007-08) consisting of an amendment of its Rule
G-8, Books and Records, Rule G-9, Preservation of Records, and
Rule G-34, CUSIP Numbers and New Issue Requirements, to improve
transaction reporting of new issues. Publication is expected in the
Federal Register during the week of January 14. (Rel. 34-57131)
APPROVAL OF PROPOSED RULE CHANGES
The Commission granted approval to a proposed rule change (SR-
NYSEArca-2007-125), submitted by NYSE Arca, through its wholly owned
subsidiary, NYSE Arca Equities, Inc., relating to the continued
listing standards for Equity Index-Linked Securities. Publication is
expected in the Federal Register during the week of January 14. (Rel.
34-57132)
The Commission approved a proposed rule change, as amended, submitted
by the Philadelphia Stock Exchange (SR-Phlx-2005-68) relating to the
deletion of Phlx Rule 702. Publication is expected in the Federal
Register during the week of January 14. (Rel. 34-57134)
The Commission approved a proposed rule change (SR-NYSEArca-2006-83)
filed by NYSE Arca. The filing consists of proposed amendments to NYSE
Arca Equities Rules 2.17 and 4.5 relating to certain Options Trading
Permit (OTP) Holder and OTP Firm administrative procedures.
Publication is expected in the Federal Register during the week of
January 14. (Rel. 34-57135)
The Commission approved a proposed rule change (SR-NYSEArca-2006-82)
submitted by NYSE Arca. The rule changes amend NYSE Arca Equities
Rules 2.16 and 4.5 relating to certain Equity Trading Permit (ETP)
Holder administrative procedures. Publication is expected in the
Federal Register during the week of January 14. (Rel. 34-57136)
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 MEDICINES CO /DE, 8 CAMPUS DRIVE, PARSIPPANY, NJ, 07054, 973-656-1616 -
0 ($32,810,000.00) Equity, (File 333-148602 - Jan. 11) (BR. 01B)
SB-2 China Media Group CORP, 9901 I.H. 10 WEST, SUITE 800, SAN ANTONIO, TX,
78230, 01186755 61657704 - 37,631,579 ($790,263.16) Equity,
(File 333-148603 - Jan. 11) (BR. 11A)
F-6 Evotec AG, SCHNACKENBURGALLE 114, HAMBURG, 2M, 22525, 49-40-560-810 -
50,000,000 ($2,500,000.00) Equity, (File 333-148604 - Jan. 11) (BR. 01B)
F-1 China Evergreen Acquisition Corp., B-2102 CAIZHI TWOER,
ZHONGGUANCUN RD. E., HAIDIAN, BEIJING, F4, 100083, 390-1174-642 -
0 ($70,320,100.00) Equity, (File 333-148605 - Jan. 11) (BR. 03)
S-8 MIPS TECHNOLOGIES INC, 1225 CHARLESTON ROAD, MOUNTAIN VIEW, CA,
94043-1353, 6505675000 - 19,589,686 ($84,747,946.94) Equity,
(File 333-148606 - Jan. 11) (BR. 10B)
F-1 Valor Computerized Systems Ltd., 4 FARAN STREET, P.O. BOX 152, YAVNE,
L3, 70600, 97289432430 - 0 ($80,500,000.00) Equity, (File 333-148607 -
Jan. 11) (BR. 03)
S-3 CHINDEX INTERNATIONAL INC, 4340 EAST WEST HWY, SUITE 1100, BETHESDA,
MD, 20814, 3012157777 - 1,795,977 ($60,003,591.00) Equity,
(File 333-148608 - Jan. 11) (BR. 09B)
N-2 Nuveen Credit Strategies Fund, 333 WEST WACKER DRIVE, CHICAGO, IL,
60606, 312-917-8146 - 1,000 ($20,000.00) Equity, (File 333-148610 -
Jan. 11) (BR. 18)
SB-2 Sino-Global Shipping America, Ltd., 36-09 MAIN STREET, SUITE 9C-2,
FLUSHING, NY, 11354, 718-888-1814 - 0 ($11,889,552.24) Equity,
(File 333-148611 - Jan. 11) (BR. )
S-1 NEW ASIA PARTNERS CHINA I CORP, 140 02 CHINA INSURANCE BUILDING,
166 LU JIA ZUI DONG LU, PUDONG SHANGHAI, F4, 200120, 8621 5879 8152 -
0 ($87,900,100.00) Equity, (File 333-148612 - Jan. 11) (BR. )
S-1 PowerShares DB Multi-Sector Commodity Trust,
C/O DB COMMODITY SERVICES LLC, 60 WALL STREET, NEW YORK, NY, 10005,
(212) 250-5883 - 158,098,073 ($5,000,000,127.39) Equity,
(File 333-148613 - Jan. 11) (BR. 08B)
S-3ASR LIBERTY PROPERTY TRUST, 500 CHESTERFIELD PARKWAY, MALVERN, PA, 19355,
6106481700 - 0 ($77,070,000.00) Equity, (File 333-148614 - Jan. 11)
(BR. 08B)
S-8 IMAGEWARE SYSTEMS INC, 10883 THORNMINT RD, 619-673-8600, SAN DIEGO, CA,
92127, 6196738600 - 0 ($3,742,778.15) Equity, (File 333-148615 -
Jan. 11) (BR. 03C)
S-8 INTRAOP MEDICAL CORP, 570 DEL REY AVENUE, SUNNYVALE, CA, 94085,
4086361020 - 42,062,664 ($6,413,840.93) Other, (File 333-148616 -
Jan. 11) (BR. 10B)
S-3 LOCAL.COM, ONE TECHNOLOGY DRIVE, BUILDING G, IRVINE, CA, 92618,
(949) 784-0800 - 0 ($4,581,429.85) Equity, (File 333-148617 - Jan. 11)
(BR. 03A)
S-8 HOME DIRECTOR INC, 900 E HAMILTON AVENUE, SUITE 550, CAMPBELL, CA,
95008, 480-559-3100 - 411,532 ($69,960.44) Equity, (File 333-148618 -
Jan. 11) (BR. 11B)
S-8 INERGY L P, TWO BRUSH CREEK, SUITE 200, KANSAS CITY, MO, 64112,
8168428181 - 0 ($102,779,052.00) Limited Partnership Interests,
(File 333-148619 - Jan. 11) (BR. 02C)
S-1 LogMeIn, Inc., 500 UNICORN PARK DRIVE, WOBURN, MA, 01801,
781-638-9094 - 0 ($86,250,000.00) Equity, (File 333-148620 - Jan. 11)
(BR. )
S-8 MARVELL TECHNOLOGY GROUP LTD, CANON'S COURT, 22 VICTORIA STREET,
HAMILTON HM 12, D0, 4412966395 - 0 ($466,086,257.10) Equity,
(File 333-148621 - Jan. 11) (BR. 10B)
SB-2 COLORADO GOLDFIELDS INC., 10920 W. ALAMEDA AVENUE, SUITE 207, LAKEWOOD,
CO, 80226, 303-984-5324 - 0 ($11,785,484.00) Equity, (File 333-148622 -
Jan. 11) (BR. 04B)
SB-2 Web Wizard, Inc., 6588 SOUTHOAKS CRES, UNIT 76, BURNABY, A1, V5E4K1,
604-669-0780 - 0 ($64,500.00) Equity, (File 333-148623 - Jan. 11) (BR. )
SB-2 Osprey Ventures, Inc., 88 WEST 44TH AVENUE, VANCOUVER, A1, V7Y2V1,
604-275-6519 - 3,100,000 ($155,000.00) Equity, (File 333-148625 -
Jan. 11) (BR. )
S-3 WACHOVIA COMMERCIAL MORTGAGE SECURITIES INC, 201 SOUTH COLLEGE STREET,
CHARLOTTE, NC, 02110, 7043746828 -
0 ($1,000,000.00) Mortgage Backed Securities, (File 333-148628 -
Jan. 11) (BR. 05D)
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
--------------------------------------------------------------------------------------------------------
1st Century Bancshares, Inc. DE 9.01 12/20/07
99 CENTS ONLY STORES CA 2.02,9.01 01/09/08
ABLE ENERGY INC DE 8.01 01/07/08
ABM INDUSTRIES INC /DE/ DE 1.01 01/07/08
ACTIGA CORP NV 1.01,1.02,9.01 01/07/08
ACUITY BRANDS INC DE 2.01,9.01 01/10/08
ACUSPHERE INC DE 3.01,9.01 01/10/08
ADVANCE AUTO PARTS INC DE 5.02,9.01 01/07/08
Advanced BioEnergy, LLC DE 7.01,9.01 01/11/08
Advanced Scientific Asset Holding, In DE 5.01,5.02,5.03,9.01 01/04/08
AEROPOSTALE INC 7.01,9.01 01/10/08
AFFILIATED COMPUTER SERVICES INC DE 1.01,9.01 01/04/08
Aleris International, Inc. DE 7.01,9.01 01/11/08
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 01/11/08
ALLIANCEBERNSTEIN HOLDING L.P. DE 2.02,7.01,9.01 01/10/08
ALLIANCEBERNSTEIN L.P. DE 2.02,7.01,9.01 01/10/08
ALNYLAM PHARMACEUTICALS, INC. 2.02,9.01 01/07/08
Alon USA Energy, Inc. DE 5.02 01/07/08
ALTERA CORP DE 5.02 01/07/08
Alternative Loan Trust 2006-6CB 7.01 01/10/08
AMCOMP INC /FL DE 1.01,8.01,9.01 01/11/08
AMERICAN EXPRESS RECEIVABLES FINANCIN DE 8.01,9.01 12/17/07
AMERICAN UNITED GOLD CORP NV 4.01,9.01 01/11/08
ANTIGENICS INC /DE/ DE 3.02,9.01 01/09/08
APPLIANCE RECYCLING CENTERS OF AMERIC MN 3.01,5.02,9.01 01/04/08
ARBINET THEXCHANGE INC DE 5.02,9.01 01/11/08
ARK RESTAURANTS CORP NY 8.01 01/11/08
Ascend Acquisition Corp. DE 1.01,7.01,9.01 07/30/07 AMEND
ASCENDIA BRANDS, INC. DE 7.01,9.01 01/10/08
Ascent Solar Technologies, Inc. DE 1.01,8.01,9.01 01/11/08
ASTA FUNDING INC DE 5.02,8.01,9.01 01/08/08
Atlantic Southern Financial Group, In 2.02,9.01 01/10/08
ATM FINANCIAL CORP NV 5.01 01/10/08
Atomic Guppy Inc NV 1.01,1.02,5.01,5.02,7.01,8.01, 12/21/07
9.01
AVOCENT CORP DE 2.02,9.01 01/07/08
BAKERS FOOTWEAR GROUP INC MO 7.01,9.01 01/10/08
BANK OF AMERICA CORP /DE/ DE 8.01,9.01 01/11/08
Bear Stearns Commercial Mortgage Secu DE 8.01,9.01 12/27/07
Benda Pharmaceutical, Inc. MN 1.01,3.02,9.01 01/04/08
BERKSHIRE HILLS BANCORP INC 2.02,9.01 01/10/08
BEST BUY CO INC MN 7.01,9.01 01/11/08
BILL BARRETT CORP 7.01,9.01 01/08/08
BIOGEN IDEC INC. DE 5.02 01/08/08
BJs RESTAURANTS INC CA 8.01,9.01 01/11/08
Blackstone Group L.P. DE 7.01,9.01 01/10/08
BlueLinx Holdings Inc. DE 5.02,9.01 01/08/08
Boo Koo Holdings, Inc FL 8.01 01/09/08
BROWN SHOE CO INC NY 7.01,9.01 01/10/08
BUCKEYE PARTNERS L P DE 8.01,9.01 01/08/08
BUILDING MATERIALS CORP OF AMERICA DE 5.02 01/07/08
CABLE & CO WORLDWIDE INC DE 4.01,5.02,9.01 01/07/08
CADENCE PHARMACEUTICALS INC 7.01,9.01 01/11/08
CalAmp Corp. DE 7.01,9.01 01/10/08
Caribou Coffee Company, Inc. MN 5.02,9.01 01/10/08
Caribou Coffee Company, Inc. MN 2.02,9.01 01/11/08
CARROLS RESTAURANT GROUP, INC. 2.02,9.01 01/11/08
CELADON GROUP INC DE 5.02 01/07/08
CELADON GROUP INC DE 5.02 01/07/08
CENTRAL EUROPEAN DISTRIBUTION CORP DE 1.01,2.03,9.01 01/07/08
CENTRAL PACIFIC FINANCIAL CORP HI 7.01,9.01 12/31/07
CHEROKEE INC DE 1.01,9.01 01/08/08
China TransInfo Technology Corp. NV 5.02,9.01 01/07/08
CIB MARINE BANCSHARES INC WI 7.01 01/11/08
CIT GROUP INC DE 2.02,2.06,9.01 01/11/08
CLAIBORNE LIZ INC DE 8.01,9.01 01/08/08
CMS ENERGY CORP MI 1.01,9.01 01/08/08
COLONIAL PROPERTIES TRUST AL 2.03 01/08/08
COLUMBIA BANKING SYSTEM INC WA 7.01,8.01,9.01 01/10/08
COLUMBUS MCKINNON CORP NY 8.01,9.01 01/11/08
COMMAND SECURITY CORP NY 2.01,9.01 01/07/08
COMMODORE APPLIED TECHNOLOGIES INC DE 8.01,9.01 01/08/08
COMMUNITY BANCORP /VT VT 5.02 12/31/07 AMEND
Compass Diversified Holdings DE 8.01,9.01 01/10/08
Comstock Homebuilding Companies, Inc. DE 1.01,2.02,2.03,9.01 01/07/08
CONCEPTUS INC DE 1.01,2.01,9.01 01/07/08
CONCORD CAMERA CORP NJ 5.02,9.01 01/11/08
CONSTITUTION MINING CORP NV 5.02 01/10/08
COUNTRYWIDE FINANCIAL CORP DE 8.01,9.01 01/11/08
CREDENCE SYSTEMS CORP DE 1.01,2.03 01/07/08
CROSSTEX ENERGY INC DE 7.01,9.01 01/11/08
CROSSTEX ENERGY LP DE 7.01,9.01 01/11/08
CRYO CELL INTERNATIONAL INC DE 5.02 01/07/08
CSMC Trust 2007-5R DE 8.01,9.01 12/28/07
CYCLE COUNTRY ACCESSORIES CORP NV 2.02,9.01 01/08/08
DATAMEG CORP DE 2.01,9.01 12/07/07 AMEND
DDI CORP CA 7.01,9.01 01/11/08
DEL LABORATORIES INC DE 5.02,8.01 01/04/08
DENNYS CORP DE 5.02 01/11/08
DIGIRAD CORP DE 7.01,9.01 01/10/08
DigitalTown, Inc. MN 8.01 12/01/07
Discover Card Execution Note Trust DE 1.01,9.01 01/09/08
Driver Passport, Inc. ND 4.01,9.01 01/08/08
Duke Energy Carolinas, LLC NC 8.01,9.01 01/07/08
E-Z-EM, Inc. DE 2.02,8.01,9.01 01/08/08
EconoShare, Inc. 2.01,4.01,5.01,5.02,5.03,5.06, 01/10/08 AMEND
9.01
ELANDIA INTERNATIONAL INC. DE 4.02 01/07/08
Elite Artz, Inc NV 5.02 01/04/08
Elite Artz, Inc NV 4.01,9.01 01/09/08
EMCORE CORP NJ 7.01,9.01 01/11/08
Employers Holdings, Inc. NV 1.01,7.01,8.01,9.01 01/09/08
ENDEAVOUR INTERNATIONAL CORP NV 7.01,9.01 01/10/08
Energetics Holdings, Inc. DE 4.01,9.01 12/05/07 AMEND
ENLIVEN MARKETING TECHNOLOGIES CORP DE 8.01,9.01 01/10/08
EPICEPT CORP 5.02 01/07/08
ETHAN ALLEN INTERIORS INC DE 2.02,2.05,2.06,7.01,9.01 01/10/07
Exousia Advanced Materials, Inc. TX 1.01,3.02 12/10/07
EXPRESSJET HOLDINGS INC DE 8.01,9.01 12/31/07
FAMILYMEDS GROUP, INC. NV 1.01,2.01 01/09/08
FCStone Group, Inc. DE 5.02,9.01 01/10/08
Federal Home Loan Bank of Dallas 5.02 01/07/08 AMEND
Federal Home Loan Bank of Des Moines X1 2.03,9.01 01/07/08
FEI CO OR 5.02 01/11/08
FIRST INTERSTATE BANCSYSTEM INC MT 8.01 01/10/08
FIRST KEYSTONE CORP PA 2.01,9.01 01/11/08 AMEND
FIRST KEYSTONE CORP PA 2.01,9.01 01/11/08 AMEND
FIRST NIAGARA FINANCIAL GROUP INC DE 1.01,9.01 01/10/08
FIRSTGOLD CORP. DE 5.02,9.01 12/21/07
FISERV INC WI 2.01,7.01,9.01 01/10/08
Fortified Holdings Corp. NV 3.02 01/07/08
FRANKLIN COVEY CO UT 2.02,8.01,9.01 01/09/08
G III APPAREL GROUP LTD /DE/ DE 8.01,9.01 01/10/08
G/O BUSINESS SOLUTIONS, INC. CO 5.01 12/27/07
GANNETT CO INC /DE/ DE 5.02,9.01 01/07/08
GENCOR INDUSTRIES INC DE 5.03,9.01 01/08/08
GENERAL STEEL HOLDINGS INC NV 1.01,9.01 12/12/07
GENOPTIX INC 5.02,9.01 01/08/08
GENTA INC DE/ DE 3.01,9.01 01/07/08
GENWORTH FINANCIAL INC DE 5.03,9.01 01/10/08
GEORGIA GULF CORP /DE/ DE 7.01,9.01 01/10/08
GIGABEAM CORP DE 3.01 01/11/08
GLOBAL GOLD CORP DE 8.01 01/11/08
Global Transport Technologies, Inc 4.02,9.01 01/11/08
GOLFSMITH INTERNATIONAL HOLDINGS INC DE 1.02,2.02,5.02,9.01 01/09/08
Goodman Global Inc 8.01,9.01 01/11/08
GRYPHON GOLD CORP NV 7.01,9.01 01/09/08
GSC INVESTMENT CORP. MD 2.02,9.01 01/10/08
GSR Mortgage Loan Trust 2007-5F DE 8.01,9.01 12/28/07
GSV INC DE 1.01 01/07/08
GVI SECURITY SOLUTIONS INC DE 3.02,5.02,9.01 01/08/08
H&R BLOCK INC MO 1.01,8.01,9.01 01/08/08
H2Diesel Holdings, Inc FL 1.02,5.02,9.01 01/07/08
HABERSHAM BANCORP GA 5.02,9.01 01/07/08
HALIFAX CORP OF VIRGINIA VA 4.01,9.01 01/11/08
HARLEYSVILLE NATIONAL CORP PA 5.02 01/11/08
HARTFORD LIFE INSURANCE CO CT 9.01 01/11/08
HIGHBURY FINANCIAL INC DE 1.01,9.01 01/08/08
HOME SOLUTIONS OF AMERICA INC DE 1.01,2.04,3.01,9.01 12/31/07
HONG KONG WINALITE GROUP, INC. 5.03,9.01 01/11/08
HONG KONG WINALITE GROUP, INC. 4.01,9.01 01/11/08 AMEND
HUDSON TECHNOLOGIES INC /NY NY 5.02,8.01 01/07/08
HUNGARIAN TELEPHONE & CABLE CORP DE 7.01,9.01 01/11/08
HYDROGEN POWER INC DE 1.02,5.02,7.01,8.01 01/07/08
IA GLOBAL INC DE 5.02,9.01 01/10/08
IAC/INTERACTIVECORP DE 5.02 01/07/08
IBSG INTERNATIONAL INC FL 4.02 12/31/06
ICP Solar Technologies Inc. 3.03,9.01 01/11/08
IDACORP INC ID 8.01,9.01 01/11/08
IMATION CORP DE 2.02,7.01,9.01 01/10/08
IMCLONE SYSTEMS INC DE 5.02 01/07/08
INFERX CORP DE 4.01 01/07/08
INFINITY CAPITAL GROUP, INC. NV 1.01,9.01 01/09/08
INFINITY ENERGY RESOURCES, INC 2.01,9.01 01/07/08
INGERSOLL RAND CO LTD 8.01,9.01 01/10/08
INTERACTIVE INTELLIGENCE INC IN 2.02,9.01 01/10/08
INTERNATIONAL BARRIER TECHNOLOGY INC/ 7.01,9.01 01/10/08
INTERPHARM HOLDINGS INC DE 2.04 01/11/08
ION MEDIA NETWORKS INC. DE 8.01 01/11/08
ISCO INTERNATIONAL INC DE 7.01,9.01 01/11/08
J P MORGAN CHASE & CO DE 9.01 01/10/08
J.P. Morgan Alternative Loan Trust 20 DE 8.01,9.01 01/11/08 AMEND
Jade Art Group Inc. NV 8.01,9.01 01/11/08
JOY GLOBAL INC DE 1.01,8.01,9.01 09/08/07
KAISER GROUP HOLDINGS INC DE 8.01 01/11/08
KBS Real Estate Investment Trust, Inc MD 2.01,9.01 11/07/07 AMEND
KBS Real Estate Investment Trust, Inc MD 2.01,9.01 11/13/07 AMEND
KBS Real Estate Investment Trust, Inc MD 2.01,9.01 11/29/07 AMEND
KIRKLANDS INC 5.02 01/07/08
KIWA BIO-TECH PRODUCTS GROUP CORP DE 1.01,3.02 01/10/08
KNIGHT CAPITAL GROUP, INC. DE 7.01 01/10/08
LEE ENTERPRISES, INC DE 3.03,5.02,9.01 01/11/08
LESCARDEN INC NY 4.01,9.01 01/07/08
LEVITT CORP FL 5.02 01/07/08
LEXINGTON REALTY TRUST MD 5.02,9.01 01/08/08
LEXINGTON REALTY TRUST MD 1.01,5.05,9.01 01/07/08
LIBERTY MEDIA CORP 7.01 01/07/08
LIBERTY PROPERTY TRUST MD 8.01,9.01 01/11/08
LIBERTY STAR URANIUM & METALS CORP. NV 7.01,9.01 01/09/08
Limelight Networks, Inc. DE 2.02,9.01 01/11/08
LITTLE SQUAW GOLD MINING CO AK 8.01,9.01 01/07/08
LSI INDUSTRIES INC OH 2.02,9.01 01/09/08
M WAVE INC DE 3.01,9.01 01/11/08
MAGNA ENTERTAINMENT CORP DE 5.02,7.01,9.01 01/07/08
MAGSTAR TECHNOLOGIES INC MN 8.01,9.01 01/11/08
MANAGEMENT NETWORK GROUP INC 5.02 01/08/08
MASSEY ENERGY CO DE 5.02 01/11/08
MECHANICAL TECHNOLOGY INC NY 3.01,9.01 01/09/08
MERRILL LYNCH DEPOSITOR INC INDEXPLUS DE 8.01,9.01 12/20/07
Metavante Technologies, Inc. 8.01,9.01 01/10/08
MICROSOFT CORP WA 5.02 01/10/08
MIDWEST AIR GROUP INC WI 8.01,9.01 01/11/08
MIGO SOFTWARE, INC. DE 1.01,1.02,5.02 01/09/08
Millennium India Acquisition CO Inc. DE 8.01,9.01 01/09/08
MONARCH SERVICES INC MD 1.01 12/28/07
MOOG INC NY 5.02,9.01 01/09/08
Morgan Stanley Capital I Trust 2007-H DE 8.01,9.01 12/28/07
MOTHERS WORK INC DE 2.02,9.01 01/10/08
NATIONAL FILING AGENTS INC NV 5.03,8.01,9.01 01/10/08
NATIONAL FUEL GAS CO NJ 8.01,9.01 01/11/08
NATURALLY ADVANCED TECHNOLOGIES INC A1 1.01,9.01 01/11/08
nCoat, Inc. DE 5.02 01/07/08
NeoStem, Inc. DE 5.02,9.01 01/09/08
NESS ENERGY INTERNATIONAL INC /NV/ WA 9.01 01/11/08
NEXTERA ENTERPRISES INC DE 2.02,9.01 01/11/08
NOBLE CORP 7.01,9.01 01/11/08
NORTH AMERICAN TECHNOLOGIES GROUP INC 8.01,9.01 01/11/08
North Shore Acquisition Corp. DE 8.01,9.01 01/11/08
NORTHERN TRUST CORP DE 8.01 01/10/08
NOVASTAR FINANCIAL INC MD 2.05 01/08/08
NUVASIVE INC DE 5.02 01/04/08
O2DIESEL CORP DE 8.01,9.01 01/11/08
OMNOVA SOLUTIONS INC OH 8.01,9.01 01/07/08
OPLINK COMMUNICATIONS INC DE 9.01 10/31/07 AMEND
Orsus Xelent Technologies Inc DE 1.01,5.02,9.01 01/11/08
PAB BANKSHARES INC GA 2.02 01/11/08
PANDA ETHANOL, INC. NV 5.02 01/07/08
PARK NATIONAL CORP /OH/ OH 1.01,2.03,9.01 01/10/08
PARKER DRILLING CO /DE/ DE 8.01 01/11/08
PATRIOT TAX CREDIT PROPERTIES LP DE 8.01,9.01 01/09/08
PEABODY ENERGY CORP DE 5.02,9.01 01/07/08
PEAPACK GLADSTONE FINANCIAL CORP NJ 5.02 01/11/08 AMEND
PEOPLES BANCORP INC OH 8.01 01/11/08
PEOPLES EDUCATIONAL HOLDINGS MN 2.02,9.01 01/11/08
PETROLEUM DEVELOPMENT CORP NV 7.01 01/11/08
PFF BANCORP INC DE 8.01,9.01 01/09/08
PHOTON DYNAMICS INC CA 8.01,9.01 01/07/08
POPE & TALBOT INC /DE/ DE 1.01,9.01 01/07/08
POTLATCH CORP DE 2.01,2.03 01/10/08
Pregis Holding II CORP DE 1.01 01/09/08
PROVIDENT BANKSHARES CORP MD 8.01,9.01 01/11/08
Pzena Investment Management, Inc. DE 8.01,9.01 01/10/08
Pzena Investment Management, Inc. DE 8.01,9.01 01/10/08 AMEND
QUESTAR PIPELINE CO UT 1.01,9.01 01/11/08
REDDY ICE HOLDINGS INC DE 8.01,9.01 01/09/08
RENOVIS INC DE 8.01 01/07/08
RESTORATION HARDWARE INC CA 2.02,9.01 01/11/08
RF MICRO DEVICES INC NC 2.02 01/11/08
Rock-Tenn CO GA 1.01,9.01 01/10/08
ROLLINS INC DE 8.01 01/09/08
RUDOLPH TECHNOLOGIES INC DE 5.02 01/11/08
Ruths Chris Steak House, Inc. DE 5.02,9.01 01/10/08
SALARY. COM, INC. DE 1.01,5.02,9.01 01/08/08
SANFILIPPO JOHN B & SON INC DE 5.02 01/10/08
SCIENTIFIC LEARNING CORP DE 1.01,2.01,9.01 01/07/08
SECURED DIVERSIFIED INVESTMENT LTD 5.02 01/07/08
Security Capital Assurance Ltd D0 8.01 01/11/08
SELECTICA INC DE 5.02 01/09/08
SFG FINANCIAL CORP DE 5.02 01/01/08
SHORE FINANCIAL CORP VA 8.01,9.01 01/08/08
SHUFFLE MASTER INC MN 5.02,9.01 01/09/08
SKINS INC. NV 1.01,2.03,9.01 12/21/07
SLM CORP DE 1.02,5.02 01/07/08
SOLAR ENERGY LTD DE 5.02 01/04/08
SONGZAI INTERNATIONAL HOLDING GROUP I NV 5.03,9.01 01/07/08 AMEND
SONIC SOLUTIONS/CA/ CA 8.01 01/08/08
SOUTHWEST WATER CO DE 2.05,8.01,9.01 01/11/08
ST LAWRENCE SEAWAY CORP DE 4.01,9.01 12/31/07 AMEND
STAGE STORES INC NV 8.01,9.01 01/10/08
Star Resorts Development Inc. NV 3.02,9.01 01/04/08
STEAK & SHAKE CO IN 2.02,9.01 01/11/08
STEELCLOUD INC VA 2.02,9.01 01/08/08
STOCKERYALE INC MA 5.02,9.01 01/07/08
STRATS SM TRUST FOR WAL-MART STORES, 8.01 01/07/08
STRATS(SM) TRUST FOR DOMINION RESOURC 8.01 01/07/08
STRATS(SM) TRUST FOR GEN ELEC CAP COR 8.01 01/07/08
Structured Asset Securities CORP Mort DE 8.01,9.01 01/11/08
STUDENT LOAN CORP DE 5.02 01/07/08
Sunberta Resources Inc. NV 5.03,9.01 01/11/08
SUNCREST GLOBAL ENERGY CORP NV 5.02 01/08/08
Sunstone Hotel Investors, Inc. MD 9.01 01/11/08
Surfect Holdings, Inc NV 5.02 01/07/08
Surfect Holdings, Inc NV 9.01 11/30/07 AMEND
SYNNEX CORP DE 8.01,9.01 01/10/08
SYNTEC BIOFUEL INC WA 2.03 01/02/08
Synthenol Inc FL 2.03 01/02/08
Synutra International, Inc. DE 2.02,4.02,9.01 01/10/08
TAILWIND FINANCIAL INC. DE 8.01,9.01 01/11/08
TEAM INC TX 2.02,9.01 01/07/08
TEREX CORP DE 1.01,9.01 01/11/08
THERAGENICS CORP DE 5.02,9.01 01/07/08
THERAVANCE INC DE 8.01 01/10/08
TIFFANY & CO DE 7.01,9.01 01/11/08
Titan Global Holdings, Inc. UT 1.01,9.01 12/24/07
Titan Machinery Inc. ND 2.02,9.01 01/11/08
Tix CORP DE 9.01 08/14/07 AMEND
TM Entertainment & Media, Inc. DE 4.01,9.01 01/08/08
TomoTherapy Inc 5.02,9.01 01/11/08
TORTOISE CAPITAL RESOURCES CORP 8.01,9.01 01/10/08
Touchmark Bancshares, Inc. GA 5.02 01/09/08
TRIAD FINANCIAL CORP CA 1.01 01/10/08
TRICO MARINE SERVICES INC DE 7.01,9.01 01/11/08
TRUMP ENTERTAINMENT RESORTS, INC. DE 5.02 01/07/08
TRX INC/GA GA 5.02,9.01 01/10/08
TULLYS COFFEE CORP 1.01,2.03,7.01,9.01 01/07/08
U. S. Premium Beef, LLC 7.01,9.01 01/11/08
UBRANDIT COM NV 8.01 01/11/08
Ulta Salon, Cosmetics & Fragrance, In DE 7.01,9.01 01/10/08
UNIONBANCAL CORP DE 2.02,9.01 01/11/08
UNITED RENTALS INC /DE DE 2.02,7.01,8.01,9.01 01/10/08
UNITED STATES STEEL CORP DE 2.01,9.01 10/31/07 AMEND
UNIVERSAL SERVICES GROUP INC /DE/ DE 4.01 01/05/08
UNIVERSAL TECHNICAL INSTITUTE INC DE 5.02,9.01 01/10/08
USANA HEALTH SCIENCES INC UT 8.01,9.01 01/11/08
VASCULAR SOLUTIONS INC DE 8.01 01/11/08
VERIZON COMMUNICATIONS INC DE 8.01 01/10/08
VERMILLION, INC. DE 8.01,9.01 01/10/08
VIASAT INC CA 1.01 01/07/08
VIDEO DISPLAY CORP GA 2.02,9.01 01/11/08
Visa Inc. DE 8.01 01/10/08
Vista International Technologies Inc NV 7.01,9.01 01/11/08
W HOLDING CO INC PR 8.01,9.01 01/10/08
WARNACO GROUP INC /DE/ DE 5.03,9.01 01/09/08
WELLCARE HEALTH PLANS, INC. DE 1.01 01/08/08
WELLS GARDNER ELECTRONICS CORP IL 1.01 01/11/08
WEST SUBURBAN BANCORP INC IL 1.01,9.01 01/08/08
WHITNEY HOLDING CORP LA 5.02 01/08/08
WILLIAM LYON HOMES DE 1.01,2.01 12/26/07
WILSON HOLDINGS, INC. NV 5.02,7.01 01/10/08
WINDSWEPT ENVIRONMENTAL GROUP INC DE 1.01,9.01 01/08/08
XETHANOL CORP CO 1.02 01/07/08
YOUNG BROADCASTING INC /DE/ DE 8.01,9.01 01/10/08
Z TRIM HOLDINGS, INC IL 5.02,7.01,9.01 01/10/08
http://www.sec.gov/news/digest/2008/dig011408.htm
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