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SEC NEWS DIGEST
Issue 2007-145 July 30, 2007
ENFORCEMENT PROCEEDINGS
IN THE MATTER OF MICHAEL J. RICE
On July 30, the Commission issued an Order Instituting Administrative
Proceedings, Making Findings, and Imposing Remedial Sanctions Pursuant
to Section 15(b) of the Securities Exchange Act of 1934 and Section
203(f) of the Investment Advisers Act of 1940 (Order) against Michael
J. Rice. Rice consented to the issuance of the Order without admitting
or denying the Commission's findings, except as to the Commission's
jurisdiction over him and the subject matter of the proceedings.
The Order finds that Rice, the former Executive Director and President
of the Private Client Group of Prudential Securities, Inc. (PSI)
failed reasonably to supervise former PSI registered representatives
who used fraudulent and deceptive trading practices to evade
restrictions on market timing imposed by the mutual fund companies
whose funds they traded. From at least November 2000 until at least
June 2003, Rice became aware of numerous red flags which indicated
that certain PSI registered representatives were using deceptive
practices to engage in market timing but failed to take effective
steps to respond to these red flags. Due in part to Rice's failure to
take effective action, the registered representatives' widespread use
of fraudulent and deceptive practices continued until at least June
2003.
Based on the above, the Order suspends Rice from association in a
supervisory capacity with any broker, dealer, or investment adviser
for a period of twelve months. The Order also directs Rice to pay a
civil money penalty in the amount of $100,000. (Rels. 34-56163; IA-
2623; File No. 3-12715)
IN THE MATTER OF GARY M. KORNMAN
On July 30, the Commission issued an Order Instituting Administrative
Proceedings Pursuant to Section 15(b) of the Securities Exchange Act
of 1934 and Section 203(f) of the Investment Advisers Act of 1940, and
Notice of Hearing (Order) against Gary M. Kornman. According to the
order, Kornman pled guilty to one count of making a false statement to
the Commission in connection with its investigation into his trades in
MiniMed, Inc. common stock. The order alleges that Kornman entered his
guilty plea before the United States District Court for the Northern
District of Texas, In United States v. Gary M. Kornman, Crim. No.
3:05-CR-0298-P. The order further alleges that on July 11, 2007, a
judgment of conviction in the criminal case was entered against
Kornman. He was sentenced to two years of supervised probation and
ordered to pay $143,465.
A hearing will be scheduled before an Administrative Law Judge to
determine whether the allegations are true and to provide Kornman with
an opportunity to establish any defenses to the allegations, to
determine whether remedial action is appropriate and in the public
interest. (Rels. 34-56164; IA-2624; File No. 3-12716)
COURT ISSUES FINAL JUDGMENT BY CONSENT AGAINST DEFENDANT DEAN A.
NICHOLS
The Commission announced today that on July 19, 2007, Judge Harold A.
Ackerman of the United States District Court for the District of New
Jersey issued a Final Judgment against Dean A. Nichols (Nichols), a
certified public accountant who formerly served as a senior manager at
a subsidiary of Performance Food Group Company (PFG), a large public
company. The Final Judgment: (1) permanently enjoins Nichols from
violating Sections 10(b) and 13(b)(5) of the Securities Exchange Act
of 1934 (Exchange Act) and Rules 10b-5 and 13b2-1 thereunder, and from
aiding and abetting violations of Sections 13(a) and 13(b)(2)(A) of
the Exchange Act and Rules 12b-20 and 13a-13 thereunder; and (2)
orders Nichols to pay a civil penalty in the amount of $25,000 under
Section 21(d)(3) of the Exchange Act. Nichols consented to the entry
of the Final Judgment without admitting or denying the allegations of
the Commission's Complaint.
The Commission filed its action against Nichols in February 2004,
alleging that, during 2000 and 2001, Nichols engaged in a fraudulent
course of conduct in which he made numerous improper accounting
journal entries on the books of AFI Foodservice Distributor, Inc., a
subsidiary of PFG. Nichols' conduct caused PFG to overstate its income
by a total of $3.8 million in the company's Forms 10-Q filed with the
Commission for the second and third quarters of 2000, and for the
first and third quarters of 2001.
As part of the settlement, Nichols also agreed to the entry of a
Commission Order suspending him from appearing or practicing before
the Commission as an accountant.
For further information, please see Litigation Release Number 18578.
[SEC v. DEAN A. NICHOLS, Civil Action No. 04-CV-641 (D.N.J.)] (LR-
20217; AAE Rel. 2659)
INVESTMENT COMPANY ACT RELEASES
ASTON FUNDS AND ASTON ASSET MANAGEMENT LLC
An order has been issued on an application filed by Aston Funds and
Aston Asset Management LLC for an order 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-27910 - July 25)
THE BISYS GROUP, INC., ET AL.
The Commission has issued a temporary order to The BISYS Group, Inc.,
et al., under Section 9(c) of the Investment Company Act with respect
to a securities-related injunction entered by the U.S. District Court
for the Southern District of New York on or about July 27, 2007. The
temporary order exempts applicants from the provisions of Section 9(a)
of the Act, until the earlier of Sept. 24, 2007, or until the
Commission takes final action on the application for a permanent
order. (Rel. IC-27915 - July 27)
HEALTHSHARES, INC., ET AL.
A notice has been issued giving interested persons until Aug. 17,
2007, to request a hearing on an application filed by HealthShares,
Inc., et al. for an order to amend a prior order that permits: (a)
open-end management investment companies, whose series are based on
certain equity securities indices, to issue shares redeemable only in
large aggregations; (b) secondary market transactions in the shares of
the series to occur at negotiated prices; (c) dealers to sell shares
to purchasers in the secondary market unaccompanied by a prospectus
when prospectus delivery is not required by the Securities Act of
1933; and (d) certain affiliated persons of the series to deposit
securities into, and receive securities from, the series in connection
with the purchase and redemption of aggregations of the series'
shares. The amended order would permit open-end management investment
companies to offer additional series that would hold equity and fixed
income securities and to provide that certain representations and
undertakings contained in the prior order shall not apply to a series
where an entity that creates, compiles, sponsors, or maintains an
underlying index is not an affiliated person, or an affiliated person
of an affiliated person, of the series, its investment adviser,
distributor, promoter, or any sub-adviser to the series. In addition,
the amended order would delete a condition related to future relief in
the prior order. (Rel. IC-27916 - July 27)
STANDARDS SETTING BOARDS
FINAL RULES
The Commission approved the Public Company Accounting Oversight
Board's proposed Auditing Standard No. 5, An Audit of Internal Control
Over Financial Reporting that is Integrated with an Audit of Financial
Statements, a Related Independence Rule 3525, Audit Committee Pre-
Approval of Non-Audit Services Related to Internal Control Over
Financial Reporting, and conforming amendments to its auditing
standards (File No. PCAOB-2007-02). These rules establish requirements
that apply when an auditor is engaged to perform an audit of the
effectiveness of internal control over financial reporting that is
integrated with an audit of financial statements.
Publication of the approval order for Auditing Standard No. 5, PCAOB
Independence Rule 3525 and conforming amendments is expected in the
Federal Register during the week of July 30. (Rel. 34-56152)
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
The National Securities Clearing Corporation filed a proposed rule
change (SR-NSCC-2007-09), which became effective immediately, to
permit NSCC to use the Federal Reserve Bank's National Settlement
Service (NSS) for the settlement of credit balances. Publication is
expected in the Federal Register during the week of June 30. (Rel. 34-
56125)
The Depository Trust Company filed a proposed rule change (SR-DTC-
2007-08), which became effective immediately, to permit DTC to use the
Federal Reserve Bank's National Settlement Service (NSS) for the
settlement of credit balances. Publication is expected in the Federal
Register during the week of June 30. (Rel. 34-56126)
A proposed rule change filed by the American Stock Exchange relating
to the options order cancellation fee (SR-Amex-2007-63) 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 June 30. (Rel. 34-56127)
A proposed rule change (SR-BSE-2007-29) filed by the Boston Stock
Exchange to amend the existing fee schedules has become effective
under Section 19(b)(3)(A) of the Act. Publication is expected in the
Federal Register during the week of June 30. (Rel. 34-56129)
A proposed rule change (SR-NASDAQ-2007-061) filed by The NASDAQ Stock
Market to institute a pricing incentive program for market makers in
exchange-traded funds and index-linked securities 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 June 30. (Rel. 34-56130)
A proposed rule change (SR-CBOE-2007-86) filed by the Chicago Board
Options Exchange to extend the Penny Pilot 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 June 30. (Rel. 34-56139)
A proposed rule change, as modified by Amendment No. 1 thereto, filed
by the New York Stock Exchange (SR-NYSE-2007-55) relating to Rule 106
(Specialists' Contact with Listed Companies and Member Organizations),
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 June 30. (Rel. 34-56140)
A proposed rule change (SR-Phlx-2007-53), and Amendment No. 1 thereto,
filed by the Philadelphia Stock Exchange relating to the extension of
a Pilot Program to quote and trade options in penny increments 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 June 30. (Rel. 34-56141)
ACCELERATED APPROVAL OF PROPOSED RULE CHANGES
The Commission granted accelerated approval to a proposed rule change
(SR-NYSEArca-2007-57) 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, to list and trade Currency Trust
Shares. Publication is expected in the Federal Register during the
week of June 30. (Rel. 34-56131)
The Commission granted accelerated approval to a proposed rule change
(SR-NASD-2007-053) submitted by the National Association of Securities
Dealers, relating to the Restated Certificate of Incorporation of
National Association of Securities Dealers, Inc. Publication is
expected in the Federal Register during the week of June 30. (Rel. 34-
56146)
PROPOSED RULE CHANGE
The New York Stock Exchange filed a proposed rule change and Amendment
No. 1 thereto (SR-NYSE-2007-22) relating to the harmonization of NYSE
and National Association of Securities Dealers regulatory standards,
the updating of certain NYSE terminology, and the reorganization and
clarification of certain NYSE Rules in connection with the
harmonization process. Publication is expected in the Federal Register
during the week of June 30. (Rel. 34-56142)
APPROVAL OF PROPOSED RULE CHANGE
The Commission approved a proposed rule change (SR-NASD-2007-023)
submitted by the National Association of Securities Dealers to amend
the By-Laws of NASD to implement governance and related changes to
accommodate the consolidation of the member firm regulatory functions
of NASD and NYSE Regulation, Inc. Publication is expected in the
Federal Register during the week of June 30. (Rel. 34-56145)
APPROVAL OF PROPOSED PLAN FOR ALLOCATION OF REGULATORY
RESPONSIBILITIES
The Commission approved and declared effective a proposed plan for
allocation of regulatory responsibilities pursuant to Rule 17d-2 under
the Securities Exchange Act of 1934 (File No. 4-544) submitted by the
National Association of Securities Dealers, New York Stock Exchange,
and NYSE Regulation, Inc. Publication is expected in the Federal
Register during the week of June 30. (Rel. 34-56148)
JOINT INDUSTRY PLAN RELEASES
NINTH CHARGES AMENDMENT TO THE SECOND RESTATEMENT OF THE CONSOLIDATED
TAPE ASSOCIATION PLAN
Pursuant to Rule 608 under the Securities Exchange Act of 1934, the
Consolidated Tape Association (CTA) has filed an amendment to the CTA
Plan to impose a limit on the maximum amount that any entity is
required to pay for any calendar month's charge for broadcast, cable
or satellite television distribution of a Network A ticker.
Publication is expected in the Federal Register during the week of
June 30. (Rel. 34-56134)
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 BRISTOL MYERS SQUIBB CO, 345 PARK AVE, NEW YORK, NY, 10154,
2125464000 - 0 ($3,103,194,000.00) Equity, (File 333-144893 - Jul. 27)
(BR. 01A)
S-1 K12 INC, 8000 WESTPARK DRIVE, SUITE 675, MCLEAN, VA, 22102,
310 440 3657 - 0 ($172,500,000.00) Equity, (File 333-144894 - Jul. 27)
(BR. 11)
S-8 PREMIERWEST BANCORP, 503 AIRPORT ROAD, PO BOX 40, MEDFORD, OR, 97501,
5416186000 - 1,000,000 ($12,480,000.00) Equity, (File 333-144895 -
Jul. 27) (BR. 07C)
S-4 NxStage Medical, Inc., 439 SOUTH UNION STREET, 5TH FLOOR, LAWRENCE, MA,
01843, 978-687-4700 - 0 ($3,181,414.00) Equity, (File 333-144896 -
Jul. 27) (BR. 10B)
N-2 Eaton Vance Risk-Managed Diversified Equity Income Opportunities Fund,
THE EATON VANCE BUILDING, 255 STATE STREET, BOSTON, MA, 02109,
617-482-8260 - 50,000 ($1,000,000.00) Equity, (File 333-144897 -
Jul. 27) (BR. 16)
S-8 GOLDLEAF FINANCIAL SOLUTIONS INC., 9020 OVERLOOK BLVD, SUITE 300,
BRENTWOOD, TN, 37027, 615-221-8400 - 1,242,624 ($6,585,907.00) Equity,
(File 333-144898 - Jul. 27) (BR. 03A)
S-1 ENTROPIC COMMUNICATIONS INC, 9276 SCRANTON ROAD, SUITE 200, SAN DIEGO,
CA, 92121, 858-625-3200 - 0 ($100,000,000.00) Equity,
(File 333-144899 - Jul. 27) (BR. 10)
F-6 TOMCO ENERGY PLC, SIXTY CIRCULAR ROAD, DOUGLAS, X0, IM1 1SA,
50,000,000 ($2,500,000.00) ADRs/ADSs, (File 333-144900 - Jul. 27) (BR. )
S-8 Macy's, Inc., 7 WEST SEVENTH STREET, CINCINNATI, OH, 45202,
5135797000 - 1,100,000 ($42,086,000.00) Equity, (File 333-144901 -
Jul. 27) (BR. 02A)
S-8 VioQuest Pharmaceuticals, Inc., 180 MT. AIRY ROAD SUITE 102,
BASKING RIDGE, NJ, 07920, 732-274-0399 -
1,000,000 ($490,000.00) Equity, (File 333-144902 - Jul. 27) (BR. 01A)
S-3 SUN LIFE INSURANCE & ANNUITY CO OF NEW YORK, 60 E 42ND ST, SUITE 1115,
NEW YORK, NY, 10165, 2129836352 - 10,000,000 ($10,000,000.00) Other,
(File 333-144903 - Jul. 27) (BR. 28)
S-8 HEARUSA INC, 1250 NORTHPOINT PARKWAY, WEST PALM BEACH, FL, 33407,
5614788770 - 2,500,000 ($3,950,000.00) Equity, (File 333-144904 -
Jul. 27) (BR. 02B)
S-3 METALICO INC, 186 NORTH AVE EAST, 908-497-9610, CRANFORD, NJ, 07016,
908-497-9610 - 0 ($43,463,102.00) Equity, (File 333-144905 - Jul. 27)
(BR. 06C)
S-8 WABCO Holdings Inc., ONE CENTENNIAL AVENUE, P.O. BOX 6820, PISCATAWAY,
NJ, 08855-6820, 732-980-6000 - 0 ($522,500,000.00) Equity,
(File 333-144906 - Jul. 27) (BR. 05B)
S-8 Public Storage, 701 WESTERN AVENUE, GLENDALE, CA, 91201-2349,
818-244-8080 - 0 ($364,500,000.00) Equity, (File 333-144907 - Jul. 27)
(BR. 08)
S-3 SUN LIFE INSURANCE & ANNUITY CO OF NEW YORK, 60 E 42ND ST, SUITE 1115,
NEW YORK, NY, 10165, 2129836352 - 10,000,001 ($10,000,001.00) Other,
(File 333-144908 - Jul. 27) (BR. 28)
F-3 EXCEL MARITIME CARRIERS LTD, 14 PAR LA VILLE RD, 3RD FL PARLAVILLE RD,
HAMILTON HM 08 BERMU, D0, 00000, 8092956875 -
0 ($500,000,000.00) Unallocated (Universal) Shelf, (File 333-144909 -
Jul. 27) (BR. 05A)
SB-2 Buzz Media, Ltd., 11 THORNHILL DRIVE, SUITE 216, DARTMOUTH, A5,
B3B 1R9, 000-000-0000 - 750,000 ($150,000.00) Equity,
(File 333-144910 - Jul. 27) (BR. 05)
S-3 SUN LIFE INSURANCE & ANNUITY CO OF NEW YORK, 60 E 42ND ST, SUITE 1115,
NEW YORK, NY, 10165, 2129836352 - 10,000,002 ($10,000,002.00) Other,
(File 333-144911 - Jul. 27) (BR. 28)
S-3 SUN LIFE INSURANCE & ANNUITY CO OF NEW YORK, 60 E 42ND ST, SUITE 1115,
NEW YORK, NY, 10165, 2129836352 - 10,000,003 ($10,000,003.00) Other,
(File 333-144912 - Jul. 27) (BR. 28)
SB-2 HYDROGEN HYBRID TECHNOLOGIES, INC., 1845 SANDSTONE MANOR, UNIT 11,
PICKERING, A6, L1W3X9, 905-697-4880 -
8,323,862 ($23,723,006.70) Equity, (File 333-144914 - Jul. 27) (BR. 09B)
S-4 BANCTRUST FINANCIAL GROUP INC, 100 ST JOSEPH ST, P O BOX 3067, MOBILE,
AL, 36602, 2514317800 - 0 ($97,097,512.75) Equity, (File 333-144915 -
Jul. 27) (BR. 07A)
S-8 GENERAL COMMUNICATION INC, 2550 DENALI ST STE 1000, ANCHORAGE, AK,
99503, 9072655600 - 2,500,000 ($30,825,000.00) Equity,
(File 333-144916 - Jul. 27) (BR. 11B)
S-3 HEARTLAND PAYMENT SYSTEMS INC, 90 NASSAU STREET, 2ND FLOOR, PRINCETON,
NJ, 08542, 6096833850 - 7,187,500 ($208,293,750.00) Equity,
(File 333-144917 - Jul. 27) (BR. 08C)
S-3 BROOKE CORP, 205 F STREET 2ND FLOOR, PHILLIPSBURG, KS, 67661,
0 ($28,822,500.00) Equity, (File 333-144922 - Jul. 27) (BR. 01A)
SB-2 Laural Resources, Inc., 15 - 1019 NORTH SHORE BLVD. EAST, BURLINGTON,
A6, L7T 1X8, 905-639-4525 - 975,000 ($48,750.00) Equity,
(File 333-144923 - Jul. 27) (BR. 04)
S-8 PERKINELMER INC, 940 WINTER STREET, WALTHAM, MA, 02451, 781 663 5776 -
500,000 ($6,815,000.00) Equity, (File 333-144924 - Jul. 27) (BR. 10C)
S-3 ATS MEDICAL INC, 3905 ANNAPOLIS LA, SUITE 105, MINNEAPOLIS, MN, 55447,
6125537736 - 11,760,000 ($20,815,200.00) Equity, (File 333-144925 -
Jul. 27) (BR. 10A)
N-2 FRANKLIN MUTUAL RECOVERY FUND, ONE FRANKLIN PARKWAY, SAN MATEO, CA,
94403-1906, 6503122865 - 50,000,000 ($777,460,000.00) Equity,
(File 333-144926 - Jul. 27) (BR. 18)
S-3 ACCESS INTEGRATED TECHNOLOGIES INC, 55 MADISON AVENUE, SUITE 300,
MORRISTOWN, NJ, 07960, 973-290-0080 - 255,006 ($2,074,474.00) Equity,
(File 333-144927 - Jul. 27) (BR. 08A)
S-8 CAPITAL TRUST INC, 410 PARK AVENUE, 14TH FLOOR, NEW YORK, NY, 10022,
2126550220 - 700,000 ($22,512,000.00) Equity, (File 333-144929 -
Jul. 27) (BR. 08A)
SB-2 Carbon Sciences, Inc., 50 CASITILIAN DR., SUITE C, SANTA BARBARA, CA,
93117, (805)690-9090 - 32,100,000 ($3,210,000.00) Equity,
(File 333-144931 - Jul. 27) (BR. )
S-8 Franchise Capital CORP, 29970 TECHNOLOGY DRIVE, SUITE 203, MURRIETA,
CA, 92563, 951-677-6735 - 22,005,654 ($220,056.54) Equity,
(File 333-144932 - Jul. 27) (BR. 05)
S-3 LEXICON PHARMACEUTICALS, INC./DE, 8800 TECHNOLOGY FOREST PLACE,
THE WOODLANDS, TX, 77381, 2818633000 -
7,650,622 ($25,514,824.37) Equity, (File 333-144933 - Jul. 27) (BR. 01B)
S-8 INTERSTATE HOTELS & RESORTS INC, 4501 NORTH FAIRFAX DRIVE, ARLINGTON,
VA, 22203, (703) 387-3100 - 3,000,000 ($13,260,000.00) Equity,
(File 333-144935 - Jul. 27) (BR. 08B)
S-8 OFFICE DEPOT INC, 2200 OLD GERMANTOWN RD, DELRAY BEACH, FL, 33445,
5612664800 - 25,000,000 ($662,500,000.00) Equity, (File 333-144936 -
Jul. 27) (BR. 02A)
S-1 Allied Nevada Gold Corp, SUITE 5, 7961 SHAFFER PARKWAY, LITTLETON, CO,
80127, 720-981-1185 - 7,896,000 ($41,454,000.00) Equity,
(File 333-144937 - Jul. 27) (BR. 04A)
S-1 EAGLE ROCK ENERGY PARTNERS L P, 16701 GREENSPOINT PARK DRIVE,
SUITE 200, HOUSTON, TX, 77060, 281-408-1200 -
14,803,789 ($383,418,135.10) Limited Partnership Interests,
(File 333-144938 - Jul. 27) (BR. 04B)
S-1 EYEONICS INC, 6 JOURNEY SUITE 125, ALISO VIEJO, CA, 92656,
949-916-9352 - 0 ($86,250,000.00) Equity, (File 333-144940 - Jul. 27)
(BR. )
S-1 Talecris Biotherapeutics Holdings Corp., 4101 RESEARCH COMMONS,
79 T.W. ALEXANDER DRIVE, RESEARCH TRIANGLE PARK, NC, 27709,
919-316-6300 - 0 ($1,000,000,000.00) Equity, (File 333-144941 -
Jul. 27) (BR. )
S-1 Intcomex, Inc., 9835 N.W. 14TH STREET, MIAMI, FL, 33172,
(305)477-6230 - 0 ($125,000,000.00) Equity, (File 333-144942 - Jul. 27)
(BR. 03A)
SB-2 WATCHTOWER, INC., 5348 VEGAS DRIVE, LAS VEGAS, NV, 89108,
888-251-3412 - 8,500,000 ($425,000.00) Equity, (File 333-144943 -
Jul. 27) (BR. )
S-3 RFS HOLDING LLC, 777 LONG RIDGE RD 3RD FLOOR, BLDG B, STAMFORD, CT,
06927, 2035856669 - 0 ($1,000,000.00) Asset-Backed Securities,
(File 333-144945 - Jul. 27) (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 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
-------------------------------------------------------------------------------------------------------
3COM CORP DE 5.02 07/23/07
ACADIA REALTY TRUST MD 2.02,9.01 07/25/07
ACE COMM CORP MD 3.01,9.01 07/23/07
ACME UNITED CORP CT 2.02,9.01 07/26/07
ACTIVE POWER INC DE 2.02,9.01 07/27/07
AcuNetx, Inc. NV 1.01,9.01 06/30/07
ADAMS EXPRESS CO MD 5.04 07/27/07
ADVANCED MEDICAL OPTICS INC DE 8.01,9.01 07/27/07
ADVANCED VIRAL RESEARCH CORP DE 3.02,9.01 07/24/07
ADVENT SOFTWARE INC /DE/ DE 2.02,9.01 07/25/07 AMEND
Affinity Media International Corp., DE 9.01 07/26/07
AFFORDABLE RESIDENTIAL COMMUNITIES IN MD 8.01,9.01 07/24/07
AIRTRAN HOLDINGS INC NV 2.02,7.01,9.01 07/26/07
ALANCO TECHNOLOGIES INC AZ 1.01,2.03,9.01 07/26/07
ALFA CORP DE 2.02,9.01 07/27/07
ALLEGHENY ENERGY, INC MD 2.02,9.01 07/26/07
ALLEGHENY ENERGY, INC MD 5.02,9.01 07/26/07
ALLIANCE BANCORP INC OF PENNSYLVANIA X1 2.02,8.01,9.01 07/24/07
ALLIANCE LAUNDRY SYSTEMS LLC 5.02 07/26/07
Allied Nevada Gold Corp DE 5.02,9.01 07/27/07
Allied Nevada Gold Corp DE 5.02 06/27/07 AMEND
Altra Holdings, Inc. DE 2.02,9.01 07/27/07
AMERICAN AXLE & MANUFACTURING HOLDING DE 2.02,7.01,9.01 07/27/07
AMERICAN AXLE & MANUFACTURING HOLDING DE 5.02,9.01 07/25/07
AMERICAN MORTGAGE ACCEPTANCE CO MA 8.01,9.01 07/24/07
AMERICAN PHYSICIANS CAPITAL INC MI 8.01,9.01 07/25/07
AMPEX CORP /DE/ DE 3.01,5.02,9.01 07/23/07
ANADYS PHARMACEUTICALS INC 8.01,9.01 07/26/07
ANALYSTS INTERNATIONAL CORP 7.01,9.01 07/26/07
APA Enterprises, Inc. MN 2.01,5.03,9.01 07/27/07
APPALACHIAN BANCSHARES INC GA 2.02,7.01,9.01 07/27/07
ARTHROCARE CORP DE 2.02,9.01 07/26/07
ASIA GLOBAL HOLDINGS CORP. NV 4.01,9.01 07/26/07
ASPEN INSURANCE HOLDINGS LTD D0 7.01,9.01 07/27/07
AspenBio Pharma, Inc. CO 7.01,9.01 07/25/07
ASV INC /MN/ MN 2.02,9.01 07/27/07
ATS MEDICAL INC MN 1.01 06/19/07 AMEND
ATSI COMMUNICATIONS INC/DE NV 8.01,9.01 07/27/07
AUTO UNDERWRITERS OF AMERICA, INC. 1.01,2.03,9.01 07/19/07
AUTODESK INC DE 5.02,9.01 07/23/07
AVEROX INC. NV 7.01,9.01 07/27/07
BAKER HUGHES INC DE 2.02,7.01,9.01 07/27/07
BankFinancial CORP 8.01,9.01 07/27/07
Bayview Financial Mortgage Pass-Throu DE 8.01,9.01 07/27/07
BEAZER HOMES USA INC DE 2.02,9.01 07/26/07
BEL FUSE INC /NJ NJ 2.02,9.01 07/27/07
BEL FUSE INC /NJ NJ 2.02,9.01 07/27/07
BENCHMARK ELECTRONICS INC TX 2.02,9.01 07/26/07
BENCHMARK ELECTRONICS INC TX 8.01,9.01 07/26/07
Benjamin Franklin Bancorp, Inc. MA 2.02,8.01,9.01 07/26/07
BI-OPTIC VENTURES INC 7.01,9.01 07/25/07
BINGO.COM LTD. 1A 7.01 07/26/07
Biodel Inc 1.01,9.01 07/23/07
BIODELIVERY SCIENCES INTERNATIONAL IN DE 8.01 07/26/07
BIOENVISION INC DE 8.01,9.01 07/13/07
BJs RESTAURANTS INC CA 2.02,9.01 07/26/07
BLUE RIVER BANCSHARES INC IN 2.02,5.02,5.03,8.01,9.01 07/24/07
BNS HOLDING, INC. 8.01,9.01 07/27/07
Boardwalk Bancorp Inc NJ 1.01,2.02,9.01 07/24/07
BROWN FORMAN CORP DE 2.02,7.01,9.01 07/26/07
BROWN SHOE CO INC NY 7.01,9.01 07/27/07
BTHC VI Inc DE 5.02 07/23/07
Buckeye GP Holdings L.P. DE 2.02,5.02,9.01 07/26/07
Buckeye GP Holdings L.P. DE 5.02 07/26/07
BUCKEYE PARTNERS L P DE 2.02,9.01 07/26/07
BUCKEYE PARTNERS L P DE 5.02 07/26/07
BUCKEYE TECHNOLOGIES INC DE 1.01,8.01 07/25/07
BUCKEYE TECHNOLOGIES INC DE 5.02 07/23/07
CALPINE CORP DE 7.01,9.01 07/26/07
CANARGO ENERGY CORP DE 7.01,9.01 07/22/07
CAPITALSOURCE INC DE 8.01,9.01 07/25/07
CAPSTEAD MORTGAGE CORP MD 7.01,9.01 07/26/07
CAPSTEAD MORTGAGE CORP MD 2.02,9.01 07/26/07
CARDINAL FINANCIAL CORP VA 2.02,8.01,9.01 07/25/07
CARPENTER TECHNOLOGY CORP DE 8.01 07/27/07
Carrington Mortgage Loan Trust, Serie DE 8.01,9.01 07/27/07
Cartan Holdings Inc. NV 1.01,2.01,3.02,5.01,5.02,5.03, 07/23/07
5.06,9.01
Celanese CORP DE 2.02,7.01,9.01 07/27/07
CELL THERAPEUTICS INC WA 1.01,3.02,9.01 07/24/07
CELL THERAPEUTICS INC WA 1.01,3.03,5.03,7.01,9.01 07/25/07
CENTER BANCORP INC NJ 2.02,9.01 07/26/07
CENTER FINANCIAL CORP CA 2.02,9.01 07/25/07
CENTERSTATE BANKS OF FLORIDA INC FL 2.02,9.01 07/27/07
CENTRAL BANCORP INC /MA/ MA 8.01,9.01 07/26/07
CENVEO, INC CO 3.01 07/23/07
CFS BANCORP INC IN 2.02,9.01 07/27/07
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 07/26/07
CHEVRON CORP DE 2.02 07/27/07
CHICOPEE BANCORP, INC. 8.01,9.01 07/27/07
CHINA DIRECT TRADING CORP FL 7.01,9.01 07/23/07
CHINA EXPERT TECHNOLOGY, INC. NV 5.02 05/31/07
China Industrial Waste Management Inc NV 4.02 01/26/07
CHORDIANT SOFTWARE INC DE 5.02,9.01 07/27/07
CITIGROUP INC DE 5.04,9.01 07/23/07
CITIZENS BANCORP OF VIRGINIA INC VA 2.02,9.01 07/26/07
CITIZENS COMMUNICATIONS CO DE 8.01,9.01 07/27/07
CITIZENS HOLDING CO /MS/ MS 2.02,7.01,9.01 07/25/07
CLEAR CHANNEL COMMUNICATIONS INC TX 2.02,8.01,9.01 07/27/07
Clear Channel Outdoor Holdings, Inc. DE 2.02,9.01 07/27/07
CLEARONE COMMUNICATIONS INC UT 2.03 07/27/07
CLEVELAND CLIFFS INC OH 2.02,9.01 07/26/07
CMALT (CitiMortgage Alternative Loan DE 9.01 07/27/07
CMGI INC DE 5.02,9.01 07/23/07
CNA SURETY CORP DE 2.02,9.01 07/27/07
CNL INCOME PROPERTIES INC MD 8.01 07/27/07
COBRA ELECTRONICS CORP DE 2.02,8.01,9.01 07/27/07
COCA COLA ENTERPRISES INC DE 5.02 07/23/07
COEUR D ALENE MINES CORP ID 8.01,9.01 07/26/07
COGNIGEN NETWORKS INC CO 1.01,2.03,5.02,9.01 06/28/07 AMEND
COHU INC DE 2.02,9.01 07/26/07
COLE KENNETH PRODUCTIONS INC NY 2.02,9.01 07/27/07
COLUMBIA BANKING SYSTEM INC WA 2.02,8.01,9.01 07/26/07
COMERICA INC /NEW/ DE 8.01 07/27/07
COMMERCE BANCSHARES INC /MO/ MO 5.02 07/27/07
COMMERCE ENERGY GROUP, INC. DE 5.02,9.01 07/23/07
COMMUNITY BANK SHARES OF INDIANA INC IN 5.03 07/24/07
CommunitySouth Bancshares Inc SC 2.02,9.01 07/27/07
COMPOSITE TECHNOLOGY CORP NV 3.02 07/26/07
COMPUWARE CORP MI 5.02 07/23/07
Con-way Inc. DE 5.02,7.01 07/26/07
Conihasset Capital Partners, Inc. DE 2.01,5.02,9.01 07/23/07
CONSOLIDATED CAPITAL INSTITUTIONAL PR CA 1.01,9.01 07/23/07
CONSTELLATION ENERGY GROUP INC MD 2.02,9.01 07/26/07
CORGENIX MEDICAL CORP/CO NV 1.01,3.02,9.01 07/25/07
COSINE COMMUNICATIONS INC DE 2.02,9.01 07/25/07
COVENANT TRANSPORTATION GROUP INC NV 2.02,9.01 07/25/07
Covidien Ltd. D0 8.01,9.01 07/27/07
CRITICARE SYSTEMS INC /DE/ DE 2.02,9.01 07/26/07
CURTISS WRIGHT CORP DE 2.02,9.01 07/26/07
CWALT INC DE 8.01,9.01 07/27/07
CYPRESS BIOSCIENCE INC DE 5.03,9.01 07/27/07
DEB SHOPS INC PA 1.01,8.01,9.01 07/26/07
Delek US Holdings, Inc. 1.01,5.02,9.01 07/23/07
DELTA WOODSIDE INDUSTRIES INC /SC/ SC 7.01,9.01 07/27/07
DHB INDUSTRIES INC DE 1.01,5.02,9.01 07/19/07
DIGENE CORP DE 8.01 07/23/07
Discover Card Execution Note Trust DE 1.01,9.01 07/26/07
DONALDSON CO INC DE 8.01,9.01 07/27/07
DOVER MOTORSPORTS INC DE 1.01,9.01 07/26/07
DPL INC OH 2.02,7.01,8.01,9.01 07/24/07
DRS TECHNOLOGIES INC DE 2.02,7.01,9.01 07/26/07
DURA AUTOMOTIVE SYSTEMS INC DE 7.01,9.01 07/27/07
EDD HELMS GROUP INC FL 7.01 07/26/07
EDUCATIONAL DEVELOPMENT CORP DE 2.02,9.01 07/27/07
EGPI FIRECREEK, INC. NV 8.01 07/23/07
ELECTRONIC ARTS INC DE 5.02,9.01 07/27/07
ELECTRONIC CLEARING HOUSE INC NV 5.02 07/23/07
Embarq CORP DE 2.02,9.01 07/26/07
EMPIRE DISTRICT ELECTRIC CO KS 2.02,9.01 07/26/07
Encore Bancshares Inc TX 2.02,9.01 07/26/07
ENDO PHARMACEUTICALS HOLDINGS INC DE 1.02,9.01 07/23/07
Epic Bancorp 1.01,5.02,8.01 07/27/07
ETHAN ALLEN INTERIORS INC DE 1.01 07/26/07
Euoko, Inc. NV 1.01,7.01,9.01 07/23/07
EXELON CORP PA 8.01,9.01 07/26/07
Federal Home Loan Bank of Cincinnati X1 2.02,9.01 07/27/07
Federal Home Loan Bank of San Francis X1 2.02,9.01 07/26/07
FEDERAL NATIONAL MORTGAGE ASSOCIATION 2.02,9.01 07/27/07
FEDERATED INVESTORS INC /PA/ PA 2.02,9.01 07/26/07
Fidelity National Financial, Inc. 2.02,9.01 07/25/07
FIFTH THIRD BANCORP OH 5.02,9.01 07/27/07
FIRST CAPITAL BANCORP, INC. VA 2.02,9.01 07/26/07
FIRST CHESTER COUNTY CORP PA 2.02 06/30/07
FIRST CITIZENS BANCSHARES INC /DE/ DE 5.05,9.01 07/23/07
FIRST FINANCIAL HOLDINGS INC /DE/ DE 7.01,9.01 07/27/07
FIRST MERCHANTS CORP IN 8.01,9.01 07/24/07
FIRST STATE BANCORPORATION NM 2.02,5.02,9.01 07/25/07
FLUSHING FINANCIAL CORP DE 7.01,9.01 07/26/07
FNB BANCORP/CA/ 2.02,9.01 07/27/07
FNB CORP \VA\ VA 8.01,9.01 07/26/07
FORCE PROTECTION INC NV 1.01,2.03 07/20/07
FORTUNE BRANDS INC DE 2.02,7.01,9.01 07/27/07
FOSTER L B CO PA 1.01,9.01 07/27/07
Frontier Airlines Holdings, Inc. DE 2.02,9.01 07/26/07
Frontier Airlines Holdings, Inc. DE 5.02 07/26/07
Fuel Systems Solutions, Inc. DE 4.02,8.01,9.01 07/26/07
FutureFuel Corp. DE 4.02 07/25/07
GE Capital Credit Card Master Note Tr DE 8.01,9.01 07/16/07
GEMSTAR TV GUIDE INTERNATIONAL INC DE 2.02,9.01 06/30/07
GEN-ID LAB SERVICES, INC. MN 1.02,8.01 07/25/07
GENESCO INC TN 8.01,9.01 07/26/07
GENWORTH FINANCIAL INC DE 2.02,9.01 07/27/07
GEVITY HR INC FL 5.02,9.01 07/27/07
GIBRALTAR INDUSTRIES, INC. DE 7.01,9.01 07/26/07
GIGABEAM CORP DE 8.01,9.01 07/25/07
GLACIER BANCORP INC DE 2.02,9.01 07/26/07
Global Cash Access Holdings, Inc. DE 5.02,7.01,9.01 07/26/07
GLOBAL GREEN SOLUTIONS INC. 3.02 07/23/07
GLOBAL INDUSTRIES LTD LA 1.01,2.03,3.02 07/23/07
GORMAN RUPP CO OH 2.02,9.01 07/26/07
GRAHAM CORP DE 8.01,9.01 07/27/07
GRANT ENTERPRISES INC. DE 5.03,9.01 07/26/07
GRANT PRIDECO INC DE 2.02,9.01 07/26/07
GUITAR CENTER INC DE 1.01 07/25/07
GULF ISLAND FABRICATION INC LA 2.02,9.01 07/26/07
GUNDLE SLT ENVIRONMENTAL INC DE 1.01,9.01 07/19/07
HAMPSHIRE GROUP LTD DE 1.01,9.01 07/25/07
HARRIS INTERACTIVE INC DE 1.01,2.03,9.01 07/23/07
HARTFORD FINANCIAL SERVICES GROUP INC DE 2.02,9.01 07/26/07
HARTFORD LIFE INSURANCE CO CT 9.01 07/27/07
HARVEY ELECTRONICS INC NY 1.01,9.01 07/24/07
HEALTHAXIS INC PA 2.02 07/27/07
HEALTHSOUTH CORP DE 8.01,9.01 07/26/07
HeartWare LTD C3 3.02 07/24/07
hhgregg, Inc. DE 1.01,2.03,3.03,8.01,9.01 07/24/07
HOME FEDERAL BANCORP IN 1.01,5.02,9.01 07/24/07
HUBBELL INC CT 2.02,9.01 07/27/07
ICON CASH FLOW PARTNERS L P SEVEN DE 8.01,9.01 07/23/07 AMEND
ICON INCOME FUND NINE LLC DE 8.01 07/24/07
ICON INCOME FUND TEN LLC DE 8.01 07/24/07
ICON Leasing Fund Twelve, LLC DE 8.01 07/24/07
ICU MEDICAL INC/DE DE 1.01 07/26/07
IDEX CORP /DE/ DE 7.01,9.01 07/24/07
IDEXX LABORATORIES INC /DE DE 2.02,9.01 07/27/07
IDLEAIRE TECHNOLOGIES CORP DE 8.01,9.01 07/26/07
IGATE CORP PA 2.02,9.01 07/26/07
IMMERSION CORP DE 8.01,9.01 07/27/07
IMS HEALTH INC DE 1.01,9.01 07/23/07
INFINITY CAPITAL GROUP, INC. NV 1.01,9.01 07/24/07
INGERSOLL RAND CO LTD 2.02,8.01,9.01 07/27/07
Inland American Real Estate Trust, In MD 1.01,9.01 07/25/07
INN OF THE MOUNTAIN GODS RESORTS & CA 2.02,9.01 07/27/07
Innovive Pharmaceuticals, Inc. DE 5.02,9.01 07/25/07
INSPIRE PHARMACEUTICALS INC DE 8.01 07/26/07
INSTAPAY SYSTEMS INC UT 7.01,8.01 07/25/07
Intcomex, Inc. DE 8.01,9.01 07/27/07
INTERMOUNTAIN COMMUNITY BANCORP ID 2.02,9.01 07/25/07
INTERNAP NETWORK SERVICES CORP DE 8.01,9.01 07/26/07
International Securities Exchange Hol 8.01,9.01 07/27/07
INTERNATIONAL SMART SOURCING INC DE 5.02 07/26/07
INTERNATIONAL STAR INC NV 5.02 07/20/07
INTERPHASE CORP TX 2.02,9.01 07/26/07
INTRICON CORP PA 2.02,7.01,9.01 07/24/07
ITT CORP IN 2.02,7.01,8.01,9.01 07/27/07
J.P. Morgan Mortgage Acquisition Trus DE 8.01,9.01 07/27/07
J.P. Morgan Mortgage Trust 2007-S3 DE 8.01,9.01 07/27/07
Jingwei International LTD NV 4.01,9.01 07/24/07
KANSAS CITY SOUTHERN DE 2.02,9.01 07/26/07
KAYDON CORP DE 2.02,5.02,8.01,9.01 07/26/07
KAYNE ANDERSON ENERGY DEVELOPMENT CO MD 8.01,9.01 07/27/07
KBR, INC. DE 8.01 07/26/07
KEY TRONIC CORP WA 5.02 07/26/07
KEYCORP /NEW/ OH 8.01,9.01 07/26/07
KIMCO REALTY CORP MD 2.02 07/27/07
KV PHARMACEUTICAL CO /DE/ DE 2.02,9.01 07/26/07
KYPHON INC DE 2.02,9.01 07/27/07
LACLEDE GROUP INC MO 2.02,9.01 07/27/07
LAMSON & SESSIONS CO OH 2.02,9.01 07/27/07
LANGER INC NY 1.01,5.02,9.01 07/27/07
LAUREATE EDUCATION, INC. MD 2.02,9.01 07/27/07
Lawson Software, Inc. MN 8.01,9.01 07/26/07
LEHMAN ABS CORP ALTRIA DEB BACKED SER DE 8.01,9.01 07/15/07
LEHMAN ABS CORP FORD MOTOR CO NOTE BA DE 8.01,9.01 07/16/07
LEHMAN ABS CORP HSBC DEBENTURE BACKED DE 8.01,9.01 07/15/07
LEHMAN ABS CORP PRUDENTIAL FINANCIAL DE 8.01,9.01 07/15/07
LEHMAN ABS CORP REPACK AMER GEN FLOAT DE 8.01,9.01 07/15/07
LEXMARK INTERNATIONAL INC /KY/ DE 5.02,9.01 07/27/07
LINCOLN BANCORP /IN/ IN 2.02,9.01 07/24/07
LIQUIDMETAL TECHNOLOGIES INC 1.01,2.01,2.03,7.01,9.01 07/24/07
LITHIA MOTORS INC OR 2.02,9.01 07/26/07 AMEND
LOCKHEED MARTIN CORP MD 8.01,9.01 07/26/07
LSB CORP MA 2.02,9.01 07/26/07
LUBRIZOL CORP OH 2.02,9.01 07/27/07
LYDALL INC /DE/ DE 2.02,9.01 07/27/07
MACE SECURITY INTERNATIONAL INC DE 5.02 07/25/07
MAGELLAN HEALTH SERVICES INC DE 2.02,9.01 07/27/07
Magyar Bancorp, Inc. DE 2.02,9.01 07/25/07
MANCHESTER INC 8.01,9.01 07/27/07
MANPOWER INC /WI/ WI 8.01 07/27/07
MANPOWER INC /WI/ WI 8.01 07/26/07
MARINEMAX INC DE 2.02,9.01 07/26/07
MASSEY ENERGY CO DE 2.02 07/27/07
MATTHEWS INTERNATIONAL CORP PA 1.02 07/23/07
MEDCO HEALTH SOLUTIONS INC DE 2.02 07/27/07
MEDecision, Inc. PA 3.01,9.01 07/23/07
MEDTRONIC INC MN 8.01,9.01 07/26/07
MENS WEARHOUSE INC TX 8.01,9.01 07/27/07
Meritage Homes CORP MD 2.02,9.01 07/26/07
METABOLIX, INC. DE 5.02 07/23/07
METROPOLITAN HEALTH NETWORKS INC FL 2.05 07/23/07
MFB CORP IN 2.02 06/30/07 AMEND
MFS GOVERNMENT MARKETS INCOME TRUST MA 8.01,9.01 07/27/07
MIDLAND CAPITAL HOLDINGS CORP 2.02,9.01 07/27/07
MINERALS TECHNOLOGIES INC DE 2.02,9.01 07/26/07
MINISTRY PARTNERS INVESTMENT CORP CA 5.02 07/04/07
MIT Holding, Inc. DE 4.01,9.01 05/04/07 AMEND
MODENA I INC DE 4.01,9.01 07/18/07 AMEND
MOOG INC NY 2.02,9.01 07/27/07
MOVADO GROUP INC NY 8.01 07/25/07
MRU HOLDINGS INC DE 8.01,9.01 07/24/07
MULTI COLOR CORP OH 2.02,9.01 07/27/07
NATIONAL CITY AUTO RECEIVABLES TRUST 8.01,9.01 07/16/07
NATIONAL COAL CORP FL 5.02,9.01 07/23/07
NEOGEN CORP MI 2.02,9.01 07/26/07
NEOWARE INC DE 5.02,8.01 07/23/07
NESTOR INC DE 1.01,3.02,8.01,9.01 07/26/07
NEVADA GOLD & CASINOS INC NV 5.03,9.01 07/24/07
NEW YORK COMMUNITY BANCORP INC DE 8.01,9.01 07/26/07
NEWCASTLE INVESTMENT CORP MD 1.02,2.03 07/26/07
NEXTPHASE WIRELESS, INC. NV 1.01,2.01,9.01 07/22/07
NIKE INC OR 5.02 07/26/07
NOBLE CORP 8.01,9.01 07/27/07
NORDIC NICKEL LTD NV 5.02 05/15/07
NORTH CENTRAL BANCSHARES INC IA 2.02,9.01 07/27/07
NOVADEL PHARMA INC DE 5.02,9.01 07/25/07
NUVEEN INVESTMENTS INC DE 5.02,9.01 07/26/07
OAK RIDGE MICRO-ENERGY INC CO 7.01,8.01,9.01 12/24/04 AMEND
OCTILLION CORP 1.01,7.01,9.01 07/23/07
OFFICE DEPOT INC DE 5.02 07/27/07
OLIN CORP VA 2.02,9.01 07/26/07
OLIN CORP VA 1.01,2.03,9.01 07/25/07
Omega Flex, Inc. PA 9.01 06/30/07
OMNICELL, Inc CA 5.03,9.01 07/24/07
ONEOK INC /NEW/ OK 5.02,9.01 07/27/07
ONEOK Partners LP DE 5.02,9.01 07/27/07
Orbitz Worldwide, Inc. DE 1.01,2.03,9.01 07/23/07
Organetix NJ 5.02,9.01 07/27/07
ORRSTOWN FINANCIAL SERVICES INC PA 2.02,8.01,9.01 07/26/07
ORTHOFIX INTERNATIONAL N V 8.01,9.01 07/23/07
ORTHOVITA INC 5.02 07/23/07
PACIFIC CMA INC DE 1.01,1.02,2.03,9.01 07/27/07
Pacific Copper Corp. DE 3.02,9.01 06/01/07
PACIFIC MERCANTILE BANCORP CA 2.02,9.01 07/26/07
PALADIN REALTY INCOME PROPERTIES INC MD 8.01 07/26/07
PENWEST PHARMACEUTICALS CO WA 2.02,9.01 07/27/07
PEOPLES BANCORP INC OH 7.01,9.01 07/27/07
PEPCO HOLDINGS INC DE 5.02 07/26/07
PETROL OIL & GAS INC 5.02 07/23/07
PETROLEUM & RESOURCES CORP MD 5.04 07/27/07
PFF BANCORP INC DE 8.01,9.01 07/25/07
PIONEER BANKSHARES INC/VA 8.01,9.01 07/26/07
PIONEER FINANCIAL SERVICES INC MO 5.02,9.01 07/24/07
POINT 360 CA 8.01 07/25/07
POINT THERAPEUTICS INC DE 5.02,9.01 07/27/07
POMEROY IT SOLUTIONS INC DE 1.02,5.02,9.01 07/23/07
Porter Bancorp, Inc. KY 7.01,9.01 07/27/07
PRO PHARMACEUTICALS INC NV 2.02,9.01 07/27/07
PROS Holdings, Inc. DE 5.02,9.01 07/23/07
PROVIDENT FINANCIAL HOLDINGS INC DE 8.01,9.01 07/26/07
PROVIDENT FINANCIAL SERVICES INC DE 8.01,9.01 07/26/07
PROVIDENT NEW YORK BANCORP DE 2.02,9.01 07/24/07
PROVIDENT NEW YORK BANCORP DE 5.04,9.01 07/27/07
PUBLIC SERVICE ENTERPRISE GROUP INC NJ 4.02 07/26/07
PUBLICARD INC PA 5.02,9.01 07/27/07
QUAINT OAK BANCORP INC PA 2.02,9.01 07/27/07
QUIGLEY CORP NV 2.02,8.01,9.01 07/26/07
R H DONNELLEY CORP DE 5.02 07/24/07
R H DONNELLEY CORP DE 5.02,9.01 07/24/07
Rackable Systems, Inc. DE 5.02 07/23/07
RAYMOND JAMES FINANCIAL INC FL 2.02,7.01,9.01 07/27/07
RBC Bearings INC 8.01,9.01 07/25/07
Red Lake Exploration Inc. NV 8.01,9.01 07/24/07
Regency Energy Partners LP DE 1.01,8.01,9.01 07/26/07
RELIV INTERNATIONAL INC DE 1.01,9.01 07/26/07
ReoStar Energy CORP 9.01 07/20/07
Riverbed Technology, Inc. DE 2.02,9.01 07/26/07 AMEND
ROCK OF AGES CORP DE 5.02,9.01 07/26/07
ROCKY BRANDS, INC. OH 2.02,9.01 07/27/07
ROPER INDUSTRIES INC /DE/ DE 2.02,9.01 06/30/07
RYERSON INC. DE 3.03,5.02,9.01 07/24/07
Saint James CO NC 4.01,9.01 07/13/07
SAMSONITE CORP/FL DE 1.01,9.01 07/25/07
SANDISK CORP DE 5.03,9.01 07/25/07
SCANA CORP SC 2.02,9.01 07/27/07
SCANTEK MEDICAL INC DE 1.01,7.01,9.01 06/01/07
SCHIMATIC CASH TRANSACTIONS NETWORK C FL 2.03,5.03,9.01 07/24/07
SCOTTS LIQUID GOLD INC CO 8.01,9.01 07/23/07
SEARCHHELP INC 4.01,9.01 07/25/07
SELECTICA INC DE 2.05 07/20/07
Seligman LaSalle International Real E MD 7.01 07/27/07
SEMOTUS SOLUTIONS INC NV 1.01,9.01 07/24/07
Sensata Technologies B.V. P7 1.01,2.03,9.01 07/27/07
SEPRACOR INC /DE/ DE 2.02,8.01,9.01 07/27/07
Sequoia Mortgage Trust 2007-3 8.01,9.01 07/25/07
SIGMATEL INC DE 4.01,5.02 07/23/07
SIGMATEL INC DE 4.01,9.01 04/26/07 AMEND
SJW CORP CA 2.02,9.01 06/30/07
SKILLSOFT PUBLIC LIMITED CO 9.01 05/14/07 AMEND
SKYLINE CORP IN 2.02,9.01 07/27/07
SMURFIT STONE CONTAINER CORP DE 2.02,9.01 07/26/07
SONICWALL INC CA 5.02 07/27/07
SOUTHERN COPPER CORP/ DE 5.02 07/26/07
SOUTHERN COPPER CORP/ DE 2.02,9.01 07/26/07
SPARK NETWORKS INC X0 5.02,7.01,9.01 07/23/07
SPORT SUPPLY GROUP, INC. DE 1.01,3.02,7.01,9.01 07/26/07
STANDARD PACIFIC CORP /DE/ DE 2.02,9.01 07/26/07
STANDARD REGISTER CO OH 2.02,9.01 07/27/07
Stanley-Martin Communities, LLC DE 2.02,9.01 07/27/07
STEINER LEISURE LTD C5 2.02 06/30/07
STEINER LEISURE LTD C5 8.01 06/27/07
STERICYCLE INC DE 9.01 03/31/07
STERIS CORP OH 8.01,9.01 07/25/07
STEWART INFORMATION SERVICES CORP DE 2.02,9.01 07/27/07
STRATEGIC INTERNET INVESTMENTS INC DE 8.01 07/27/07
SUBJEX CORP MN 8.01 07/27/07
SUMMIT FINANCIAL GROUP INC WV 2.02,9.01 07/26/07
Summit Global Logistics, Inc. DE 1.02,2.05,5.02 07/19/07
Surge Global Energy, Inc. 5.02 07/24/07
SYBASE INC DE 2.02,9.01 07/25/07
SYMBION INC/TN DE 2.02,9.01 07/27/07
SYNCHRONOSS TECHNOLOGIES INC 2.02,9.01 07/26/07
SYNIVERSE HOLDINGS INC DE 5.02,9.01 07/25/07
Synutra International, Inc. DE 4.01,9.01 07/27/07
TAGALDER GLOBAL INVESTMENT, INC. 1.01,9.01 07/26/07
TAKE TWO INTERACTIVE SOFTWARE INC DE 1.01,9.01 07/26/07
TAMPA ELECTRIC CO FL 1.01,2.03,9.01 07/25/07
TELOS CORP MD 4.01,9.01 07/25/07 AMEND
TELULAR CORP DE 2.02,5.02,9.01 07/24/07
TEMECULA VALLEY BANCORP INC CA 5.02,9.01 07/25/07
TEMECULA VALLEY BANCORP INC CA 1.01,9.01 07/25/07
TESCO CORP 7.01 07/27/07
TIDEWATER INC DE 7.01,9.01 07/26/07
TOUCHSTONE SOFTWARE CORP /CA/ DE 2.02 07/27/07
TRANS WORLD CORP NV 2.03 07/23/07
Travelport LTD D0 1.01,9.01 07/23/07
TRI CITY BANKSHARES CORP WI 2.02,9.01 06/30/07
TRIZETTO GROUP INC DE 2.02,9.01 07/27/07
TULLYS COFFEE CORP 2.02,9.01 07/27/07
TXCO Resources Inc DE 1.01,9.01 07/25/07
UCBH HOLDINGS INC DE 2.02,9.01 07/26/07
ULTIMATE SOFTWARE GROUP INC DE 2.02,5.02,9.01 07/24/07
UMPQUA HOLDINGS CORP OR 7.01,9.01 07/26/07
UNION BANKSHARES CO/ME ME 2.02,7.01,9.01 07/27/07
UNION BANKSHARES CORP VA 2.02,9.01 07/20/07
UNIONBANCAL CORP DE 5.02 07/25/07
UNITED PARCEL SERVICE INC DE 2.02,9.01 07/24/07
UNIVERSAL HEALTH SERVICES INC DE 2.02,9.01 07/26/07
Universal Truckload Services, Inc. MI 2.02,9.01 07/26/07
URANIUM ENERGY CORP NV 5.02 07/23/07
Uranium Hunter CORP NV 8.01,9.01 07/26/07
UROLOGIX INC MN 5.03 07/23/07
VAIL RESORTS INC DE 7.01,9.01 07/27/07
Vanda Pharmaceuticals Inc. DE 5.03,9.01 07/24/07
VASCO DATA SECURITY INTERNATIONAL INC DE 2.02,9.01 07/26/07
VEECO INSTRUMENTS INC DE 2.02,5.02,9.01 07/25/07
VERTICALNET INC PA 1.01,9.01 07/24/07
VIAD CORP DE 2.02,9.01 07/27/07
VIPER NETWORKS INC NV 1.01,3.02,5.03,9.01 07/24/07
VIRGINIA COMMERCE BANCORP INC 5.03,9.01 07/25/07
VIRGINIA FINANCIAL GROUP INC VA 8.01,9.01 07/26/07
VISIONGATEWAY INC NV 4.01,9.01 07/27/07
VYYO INC DE 2.05 07/23/07
WASTE MANAGEMENT INC DE 8.01,9.01 07/27/07
Wayside Technology Group, Inc. DE 2.02,9.01 07/26/07
WESTWOOD HOLDINGS GROUP INC DE 2.02,7.01,9.01 07/26/07
WESTWOOD HOLDINGS GROUP INC DE 5.02,9.01 07/26/07
Wilber CORP 2.02,9.01 07/27/07
Winsted Holdings, Inc. FL 5.02 06/30/07
WORLD ACCEPTANCE CORP SC 8.01,9.01 07/27/07
XEDAR CORP CO 1.01,2.01,9.01 07/26/07
XTOL Energy Inc. 1.01,3.02 07/24/07
YAHOO INC DE 5.02,5.03,9.01 07/26/07
YARDVILLE NATIONAL BANCORP NJ 2.02,9.01 07/27/07
YRC WORLDWIDE INC DE 2.02,8.01,9.01 07/26/07
YUKON GOLD CORP INC DE 8.01,9.01 07/23/07
http://www.sec.gov/news/digest/2007/dig073007.htm
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