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SEC NEWS DIGEST
Issue 2007-150 August 6, 2007
COMMISSION ANNOUNCEMENTS
DIVISION OF CORPORATION FINANCE DEPUTY DIRECTOR MARTY DUNN TO LEAVE
SEC
The Commission announced today that Martin P. Dunn, Deputy Director of
the Division of Corporation Finance, will leave the agency at the end
of August to join O'Melveny & Myers LLP as a partner in its Washington
D.C. office.
Mr. Dunn served in many roles during his 19 years in the Division of
Corporation Finance, including Chief Counsel. As Deputy Director since
2002, Mr. Dunn played a key role in drafting, implementing and
interpreting the federal securities laws, including the significant
Sarbanes-Oxley Act of 2002 reforms. Furthermore, Mr. Dunn played a
critical role in interpreting and applying the Commission's
requirements in the proxy and shareholder proposal processes,
securities offering reform, plain English, and the Commission's
ongoing small business initiatives.
"For two decades, America's investors have had no better friend than
Marty Dunn. He has exemplified the ideals of professionalism and
service to others that are the hallmark of the SEC," said SEC Chairman
Christopher Cox. "As Chairman, I have relied on his sound judgment and
solid expertise, and I have enjoyed his quick wit and humble spirit -
all traits that have made him an outstanding and inspirational leader
for the entire Division of Corporation Finance. Marty's substantial
legacy of accomplishments will endure for many years to come. All of
us at the agency are grateful for having had the opportunity to work
with him."
"Marty has served the Commission with true distinction," said John
White, Director of the Division of Corporation Finance. "The breadth
of his knowledge is legendary and he has an extraordinary talent for
finding practical solutions to complex problems. All members of the
Division of Corporation Finance will miss Marty's sound counsel,
effective guidance, and creative wit."
Mr. Dunn said, "I sincerely thank the Commission for the opportunity
to work on behalf of investors for the past 19 years. During that
time, I have been humbled to serve with the talented and generous
staff of the agency and honored to be part of the Division of
Corporation Finance."
Mr. Dunn received his B.B.A. in Finance from the University of Notre
Dame in 1985 and his J.D. from The American University's Washington
College of Law in 1988. (Press Rel. 2007-159)
RULES AND RELATED MATTERS
SEC ADOPTS RULE TO PROHIBIT FRAUD BY INVESTMENT ADVISERS TO CERTAIN
POOLED INVESTMENT VEHICLES
The Commission issued a release adopting a new antifraud rule under
the Investment Advisers Act of 1940 that is intended to clarify our
ability to bring enforcement actions under the Advisers Act.
New Rule 206(4)-8 makes it a fraudulent, deceptive, or manipulative
act, practice, or course of business for an investment adviser to a
pooled investment vehicle to make false or misleading statements to,
or otherwise to defraud, investors or prospective investors in that
pool. Rule 206(4) 8 applies to all investment advisers to pooled
investment vehicles, regardless of whether the adviser is registered
under the Advisers Act. Under the new rule, a pooled investment
vehicle will include any investment company and any company that would
be an investment company but for the exclusions in Sections 3(c)(1) or
3(c)(7) of the Investment Company Act.
The compliance date of the rule is 30 days from publication in FR.
FOR FURTHER INFORMATION CONTACT: Vivien Liu, Senior Counsel, at 202-
551-6787, Division of Investment Management. (Rel. IA-2628; File
No.S7-25-06)
ENFORCEMENT PROCEEDINGS
SEC v. MICHAEL PIETRZAK, MAURICE FURLONG AND DONALD JORDAN
The Commission announced today that a federal jury found Michael J.
Pietrzak and Maurice W. Furlong liable for securities fraud and other
charges in their operation of Hexagon Consolidated Companies of
America, Inc. (HCCA), a development stage mining company headquartered
in Reno, Nevada. Pietrzak was HCCA's general counsel, CFO, and
executive secretary, as well as a director. Furlong was HCCA's
chairman, president and CEO. The complaint alleged that Pietrzak and
Furlong engaged in protracted efforts to fraudulently increase the
stock price and value of the company by, among other means, filing
false and misleading registration statements and periodic and current
reports, and by issuing false press releases and a letter to
shareholders. During the same time, Pietrzak and Furlong sold a total
of more than 197 million shares of HCCA stock and fraudulently
received proceeds of $1.3 million and $3.4 million, respectively. The
complaint also alleged that from 1996 through 2001 HCCA, through the
efforts of Pietrzak and Furlong, reported to the public that is was an
entity with substantial assets when, in fact, it was virtually
worthless.
A hearing has been scheduled for Sept. 24, 2007, to determine the
appropriate relief against Pietrzak and Furlong which, as requested by
the SEC, may include permanent injunctions, disgorgement of the stock
proceeds with interest, civil penalties, officer and director bars and
penny stock bars. [SEC v. Michael J. Pietrzak, Maurice W. Furlong and
Donald E. Jordan, Civil Action No. 03C 1507 (NDIL)] (LR-20223; Press
Rel. 2007-158)
SEC CHARGES BRITISH TRADER WITH MAKING OVER $3 MILLION IN ILLICIT
PROFITS THROUGH INSIDER TRADING INVOLVING CALL OPTIONS AND DERIVATIVE
"SPREAD BETS"
The Commission has charged a London, England resident with insider
trading ahead of the July 14, 2006 announcement that San Diego-based
Petco Animal Supplies, Inc. would be purchased by two private equity
firms.
The Commission's amended complaint, filed in federal court in San
Diego on Aug. 1, 2007, charges Taher Suterwalla, 30, of London,
England, with insider trading in the securities of Petco. The amended
complaint alleges that in the three weeks preceding Petco's
acquisition announcement, Suterwalla purchased Petco call options from
a Swiss financial institution, which filled Suterwalla's orders by
purchasing Petco call options in the United States. The options
generally were out of the money, representing a bet that the price of
Petco stock would rise substantially, and were set to expire within
weeks of the purchase date, representing a bet that the price rise
would happen soon. The amended complaint further alleges that
Suterwalla purchased from brokerage houses in the United Kingdom
certain derivative instruments known as spread bets, which caused the
brokers to purchase Petco common stock and options in the United
States.
"Insider trading ahead of mergers and acquisitions is one of the
Commission's top priorities," said Linda Thomsen, Director of the
Commission's Division of Enforcement. "We will aggressively pursue
people who commit such violations. The geographical distance between
perpetrators and the markets they defraud will not preclude us from
taking action."
Andrew Petillon, Associate Regional Director of the Commission's Los
Angeles Regional Office, said "This case demonstrates how
nontraditional financial instruments such as spread bets can be used
to defraud the U.S. markets, and how the Commission will act to
prevent such fraud. This case also exemplifies the cooperation that
exists between domestic and foreign regulators in protecting their
respective markets."
The amended complaint alleges that Suterwalla entered into the
transactions while aware of material nonpublic information regarding
the pending acquisition of Petco, and that he took highly leveraged
and speculative positions in the price of Petco's securities, which
exposed him to the potential for millions of dollars in losses if
Petco's price declined. The amended complaint further alleges that
Suterwalla made all of his purchases within 17 days of Petco's
acquisition announcement, that he made a number of his purchases the
day before the announcement, and that his illicit profit from these
transactions was more than $3 million.
On July 18, 2006, the U.S. District Court for the Southern District of
California entered a temporary restraining order freezing assets of
certain then-unknown purchasers of call options for the common stock
of Petco and prohibiting the unknown purchasers from obtaining the
options or the proceeds from the sale of the options. In addition to
freezing approximately $862,000 in assets, the court issued orders
that provide for expedited discovery and prohibit the defendants from
destroying evidence. On Aug. 4, 2006, the court entered a preliminary
injunction that extended the temporary restraining order and asset
freeze. In amending the complaint, the Commission identified
Suterwalla as a defendant who had been described as "one or more
unknown purchasers" of Petco securities in the initial complaint.
The Commission alleges that Suterwalla engaged in insider trading in
violation of the antifraud provisions of the Securities Exchange Act
of 1934. The Commission is seeking a permanent injunction,
disgorgement of ill-gotten gains with prejudgment interest thereon,
and the imposition of civil penalties.
For more information, see Litigation Release No. 19778 (July 27,
2006).
The Commission acknowledges the Chicago Board Options Exchange, the
United Kingdom Financial Services Authority, the Swiss Federal Banking
Commission, and the Ontario Securities Commission for their continuing
assistance in this matter. [SEC v. ONE OR MORE UNKNOWN PURCHASERS OF
CALL OPTIONS FOR THE COMMON STOCK OF PETCO ANIMAL SUPPLIES, INC. AND
TAHER SUTERWALLA, Case No. 06-CV1446 DMS (LSP) (S.D. Cal.)] (LR-20224;
Press Rel. 2007-157)
SEC SETTLES CIVIL FRAUD CHARGES AGAINST TWO FORMER ENRON EXECUTIVES
The Commission announced today that on Aug. 2, 2007, the U.S. District
Court in Houston entered final judgments in the Commission's civil
action against Jerry K. Castleman, former Enron executive and
accountant, and Kathleen M. Lynn, former Enron executive.
In its complaint filed on Oct. 13, 2006, the Commission alleged that
Castleman, Lynn, and others participated in a transaction that
defrauded Enron's security holders to enrich themselves and others.
The complaint also alleged that the defendants' conduct involved both
the closing of a sham sale pursuant to which Enron manufactured
earnings, and the later unwinding of this sham sale by Enron
repurchasing the asset without reversing the previously (and
improperly) recognized earnings. The sham sale manipulated Enron's
publicly-reported earnings, which resulted in Enron filing materially
false and misleading financial statements in the company's annual
report on Form 10-K for the fiscal years ended Dec. 31, 1999, and
2000, and in the company's quarterly reports on Form 10-Q for the
third quarter of fiscal year 1999, the first three quarters of fiscal
year 2000, and the first two quarters of fiscal year 2001.
Specifically, the Commission's complaint alleged, among other things,
that Enron sold an interest in a troubled power project in Cuiaba,
Brazil to a related party called LJM Cayman, LP (LJM1), controlled by
Enron's then Chief Financial Officer, Andrew Fastow (the "selldown").
Through the selldown, Enron South America (ESA), an Enron subsidiary,
deconsolidated its interest in the project and Enron recognized
earnings from related gas supply contracts. Enron and ESA needed these
earnings to meet earnings estimates for the third and fourth quarters
of 1999. In conformity with relevant accounting rules, deconsolidation
and recognition were not appropriate, because the seller (Enron) did
not transfer to the buyer (LJM1) the usual risks and rewards of
ownership, in that the selldown included an oral side agreement that
LJM1 would not lose money on its Cuiaba investment (side agreement).
The side agreement was neither memorialized in the deal documents nor
disclosed to Enron's auditor. In 2001, to satisfy the side agreement,
Enron bought back LJM1's interest without reversing the previously
(and improperly) recognized earnings. In addition, Enron paid LJM1 a
profit, despite the poor economics of the project.
Castleman and Lynn each consented to the final judgments without
admitting or denying the allegations in the Commission's complaint.
They each agreed to be enjoined permanently from violating Section
17(a) of the Securities Act of 1933, Sections 10(b) and 13(b)(5) of
the Securities Exchange Act of 1934 and Exchange Act Rules 10b-5 and
13b2-1, and from aiding and abetting violations of Exchange Act
Sections 13(a), 13(b)(2)(A) and 13(b)(2)(B) and Exchange Act Rules
12b-20, 13a-1 and 13a-13. Castleman also agreed to be enjoined
permanently from violating Exchange Act Rule13b2-2. Lynn's judgment
orders her to pay nominal disgorgement of $1 and a civil penalty of
$30,000. Castleman's judgment orders him to pay $41,268.29, consisting
of disgorgement of $30,000 and prejudgment interest of $11,268.29,
with all but $12,000 waived, based upon Castleman's sworn financial
statements and other documents submitted to the Commission. The
Commission intends to have the disgorgement and civil penalty amounts
paid into a court account pursuant to the Fair Fund provisions of
Section 308(a) of the Sarbanes-Oxley Act of 2002 for ultimate
distribution to victims of the fraud.
In settlement of this action, Castleman also consented to the entry of
an Administrative Order, pursuant to Rule 102(e) of the Commission's
Rules of Practice, suspending him from appearing or practicing before
the Commission as an accountant, with a right to apply for
reinstatement after five years. [SEC v. Jerry K. Castleman and
Kathleen M. Lynn, Civil Action No. 06-3226 (Werlein) (S.D. Tex.)] (LR-
20225; AAE Rel. 2663)
SEC v. DAVID E. TETHER The Commission announced the filing on Aug. 3,
2007, of a complaint against David E. Tether in the United States
District Court for the Middle District of Florida. Until August 2004,
Tether was the chief executive officer and a director of Solomon
Technologies, Inc., a Florida corporation. Solomon's securities have
been registered with the Commission since January 2004. The
Commission's complaint alleges that in April 2004, Tether fraudulently
misrepresented his beneficial ownership of Solomon stock in Solomon's
amended annual report filed on Form 10-KSB/A for the year ended Dec.
31, 2003. Specifically, the complaint alleges that Tether transferred
200,000 shares of his Solomon stock while that stock was subject to a
publicly disclosed lock up agreement and that the stock was used to
pay for a 47-foot catamaran. However, as alleged in the complaint,
Tether failed to disclose in the Form 10-KSB/A that he had transferred
his locked up stock. Additionally, the Form 10-KSB/A overstated
Tether's beneficial ownership of Solomon stock by the 200,000 shares
he had already transferred. Moreover, the complaint alleges that
Tether failed to file timely a Statement of Changes in Beneficial
Ownership of Securities on Form 4 disclosing the transfer of the
shares. Based on this conduct, the Commission alleges that Tether
violated Sections 10(b), 13(g) and 16(a) of the Securities Exchange
Act of 1934, and Rules 10b-5, 13a-14, 13d-1(d), 13d-2(b) and 16a-3
thereunder, and that he aided and abetted Solomon's violations of
Section 13(a) of the Exchange Act and Rule 13a-1 thereunder. In its
complaint, the Commission seeks a permanent injunction, disgorgement
plus prejudgment interest, a civil penalty, and an officer and
director bar. [SEC v. David E. Tether, (U.S. District Court for the
Middle District of Florida, Civil Action No. 2:07-CV-488-JES-SPC (M.D.
FL)] (LR-20226)
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 CHORDIANT SOFTWARE INC, 20400 STEVENS CREEK BLVD, SUITE 400, CUPERTINO,
CA, 95014, 4085176100 - 1,600,000 ($23,616,000.00) Equity,
(File 333-145080 - Aug. 3) (BR. 03A)
S-8 CHARTERED SEMICONDUCTOR MANUFACTURING LTD,
60 WOODLANDS INDUSTRIAL PARK D STREE 2, SINGAPORE, 653622838 -
200,000,000 ($148,000,000.00) Equity, (File 333-145081 - Aug. 3)
(BR. 10A)
SB-2 LEGEND INTERNATIONAL HOLDINGS INC, LEVEL 8 580 ST KILDA RD, MELBOURNE,
VICTORIA, C3, 8008, 61392341000 - 159,650,468 ($245,861,720.00) Equity,
(File 333-145082 - Aug. 3) (BR. 08B)
S-3 WISCONSIN ELECTRIC POWER CO, 231 W MICHIGAN ST, PO BOX 2046, MILWAUKEE,
WI, 53290-0001, 414-221-2345 - 0 ($800,000,000.00) Debt,
(File 333-145083 - Aug. 3) (BR. 02B)
S-1 China Holdings Acquisition Corp., 33 RIVERSIDE AVENUE, 5TH FLOOR,
WESTPORT, CT, 06880, 203-226-6288 - 0 ($201,250,000.00) Equity,
(File 333-145085 - Aug. 3) (BR. 09)
S-1 ACCOONA CORP, 101 HUDSON STREET, JERSEY CITY, NJ, 07302, 2015579399 -
0 ($80,500,000.00) Equity, (File 333-145086 - Aug. 3) (BR. 02)
SB-2 PARK CITY GROUP INC, 3160 PINEBROOK ROAD, PARK CITY, UT, 84098,
435-645-2000 - 2,558,433 ($7,547,378.00) Equity, (File 333-145087 -
Aug. 3) (BR. 03B)
SB-2 Coyote Hills Golf, Inc., 2044 N. RECKER ROAD, MESA, AZ, 85215,
(480) 231-4293 - 2,000,000 ($100,000.00) Equity, (File 333-145088 -
Aug. 3) (BR. 02)
S-8 CYMER INC, 17075 THORNMINT COURT, SAN DIEGO, CA, 92127, 8583857300 -
0 ($43,450,000.00) Equity, (File 333-145089 - Aug. 3) (BR. 10A)
SB-2 Pacific Copper Corp., 1226 WHITE OAKS BLVD., SUITE 10A, OAKVILLE, A6,
L6H 2B9, 905-845-1839 - 9,488,000 ($5,590,090.00) Equity,
(File 333-145091 - Aug. 3) (BR. 04A)
S-8 SENSIENT TECHNOLOGIES CORP, 777 EAST WISCONSIN AVENUE, MILWAUKEE, WI,
53202, 4142716755 - 0 ($38,475,000.00) Equity, (File 333-145092 -
Aug. 3) (BR. 06B)
S-3D FIRST KEYSTONE CORP, 111 W FRONT ST, BERWICK, PA, 18603,
570-752-3671 EXT 173 - 0 ($3,600,000.00) Equity, (File 333-145093 -
Aug. 3) (BR. 07B)
S-8 DYNAVAX TECHNOLOGIES CORP, 2929 SEVENTH STREET, SUITE 100, BERKELEY,
CA, 94710, 5108485100 - 0 ($1,626,000.00) Equity, (File 333-145094 -
Aug. 3) (BR. 01A)
S-8 Independence Bancshares, Inc., 500 E. WASHINGTON STREET, P.O. BOX 1776,
GREENVILLE, SC, 29602, 864-672-1776 - 260,626 ($2,606,260.00) Equity,
(File 333-145095 - Aug. 3) (BR. 07A)
S-8 FIRST BUSEY CORP /NV/, 201 W MAIN STREET, URBANA, IL, 61801,
2173844513 - 0 ($61,029,604.00) Equity, (File 333-145097 - Aug. 3)
(BR. 07A)
F-3 FreeSeas Inc., 93 AKTI MIAOULI, PIRAEUS, J3, 18233, 30-210-4528770 -
0 ($4,001,373.20) Equity, (File 333-145098 - Aug. 3) (BR. 05B)
S-8 Cal Dive International, Inc., 400 N. SAM HOUSTON PARKWAY E, SUITE 1000,
HOUSTON, TX, 77060, 281-618-0400 - 2,000,000 ($31,340,000.00) Equity,
(File 333-145099 - Aug. 3) (BR. 04C)
N-2 Eaton Vance Credit Opportunities Fund II, THE EATON VANCE BUILDING,
255 STATE STREET, BOSTON, MA, 02109, 617-482-8260 -
50,000 ($1,000,000.00) Equity, (File 333-145100 - Aug. 3) (BR. 16)
S-8 WASTE INDUSTRIES USA INC, 3301 BENSON DR, STE 601, RALEIGH, NC, 27609,
9193254000 - 0 ($40,976,000.00) Equity, (File 333-145101 - Aug. 3)
(BR. 06C)
S-8 SAFEGUARD SCIENTIFICS INC, 435 DEVON PARK DR, BLDG 800, WAYNE, PA,
19087, 6102930600 - 1,500,000 ($3,930,000.00) Equity,
(File 333-145102 - Aug. 3) (BR. 08C)
S-8 WASTE INDUSTRIES USA INC, 3301 BENSON DR, STE 601, RALEIGH, NC, 27609,
9193254000 - 0 ($3,966,855.00) Equity, (File 333-145103 - Aug. 3)
(BR. 06C)
S-3ASR INTERNATIONAL BUSINESS MACHINES CORP, 1 NEW ORCHARD ROAD, ARMONK, NY,
10504, 9144991900 - 0 ($0.00) Other, (File 333-145104 - Aug. 3)
(BR. 03B)
N-2 TORTOISE POWER & ENERGY INCOME CO, 10801 MASTIN BOULEVARD, SUITE 222,
OVERLAND PARK, KS, 66210, 913-981-1020 -
200,000 ($5,000,000.00) Equity, (File 333-145105 - Aug. 3) (BR. 16)
S-8 VISTEON CORP, ONE VILLAGE CENTER DRIVE, VAN BUREN TOWNSHIP, MI, 48111,
800-847-8366 - 0 ($45,850,000.00) Equity, (File 333-145106 - Aug. 3)
(BR. 05C)
F-10 TELUS CORP, 3777 KINGSWAY, BURNABY, D1, 00000,
2,806,623,632 ($2,806,623,632.00) Unallocated (Universal) Shelf,
(File 333-145107 - Aug. 3) (BR. 11C)
S-8 J P MORGAN CHASE & CO, 270 PARK AVE, 39TH FL, NEW YORK, NY, 10017,
2122706000 - 0 ($503,930,000.00) Equity, (File 333-145108 - Aug. 3)
(BR. 07C)
S-3 CHASE ISSUANCE TRUST, 201 N. WALNUT, DE1-1001, WILMINGTON, DE, 19801,
3025944000 - 10 ($1,000,000.00) Debt, (File 333-145109 - Aug. 3)
(BR. 05D)
S-1 Prospect Acquisition Corp, 695 EAST MAIN STREET, STAMFORD, CT, 06901,
203-363-0885 - 0 ($301,875,000.00) Equity, (File 333-145110 - Aug. 3)
(BR. )
S-8 AVENTINE RENEWABLE ENERGY HOLDINGS INC, 120 NORTH PARKWAY,
P.O. BOX 1800, PEKIN, IL, 61555-1800, 309-347-9200 -
1,700,000 ($27,659,000.00) Equity, (File 333-145111 - Aug. 3) (BR. 06A)
S-8 ARRIS GROUP INC, 3871 LAKEFIELD DRIVE, SUWANEE, GA, 30024,
770-622-8400 - 5,000,000 ($73,725,000.00) Equity, (File 333-145112 -
Aug. 3) (BR. 11B)
S-8 ZOLTEK COMPANIES INC, 3101 MCKELVEY RD, ST LOUIS, MO, 63044,
3142915110 - 0 ($46,490,000.00) Equity, (File 333-145113 - Aug. 3)
(BR. 10C)
S-8 ZOLTEK COMPANIES INC, 3101 MCKELVEY RD, ST LOUIS, MO, 63044,
3142915110 - 0 ($83,100,875.00) Equity, (File 333-145114 - Aug. 3)
(BR. 10C)
SB-2 Eworld Interactive, Inc., 1088 SOUTH PUDONG ROAD, SUITE 1202, SHANGHAI,
F4, 200120, 021-6888 0708 - 3,666,668 ($2,533,334.40) Equity,
(File 333-145115 - Aug. 3) (BR. 08A)
S-8 GRAHAM CORP, 20 FLORENCE AVE, POST OFFICE BOX 719, BATAVIA, NY, 14020,
5853432216 - 250,000 ($8,775,000.00) Equity, (File 333-145116 - Aug. 3)
(BR. 10B)
S-8 Commercial Vehicle Group, Inc., 6530 WEST CAMPUS WAY, NEW ALBANY, OH,
43054, 614 289 5360 - 0 ($14,840,000.00) Equity, (File 333-145120 -
Aug. 3) (BR. 05B)
S-8 RENT A CENTER INC DE, 5501 HEADQUARTERS DRIVE, PLANO, TX, 75024,
972-801-1100 - 0 ($38,387,500.00) Other, (File 333-145121 - Aug. 3)
(BR. 06B)
S-3 MEDIVATION, INC., 201 SPEAR STREET, 3RD FLOOR, SAN FRANCISCO, CA,
94105, 415-543-3470 -
0 ($100,000,000.00) Unallocated (Universal) Shelf, (File 333-145122 -
Aug. 3) (BR. 01B)
S-8 ICAGEN INC, 4222 EMPEROR BLVD, SUITE 350, DURHAM, NC, 27703,
919-941-5206 - 3,069,108 ($5,509,048.86) Equity, (File 333-145123 -
Aug. 3) (BR. 01A)
S-1 BG Medicine, Inc., 610N LINCOLN STREET, WALTHAM, MA, 02451,
781-890-1199 - 0 ($80,000,000.00) Equity, (File 333-145124 - Aug. 3)
(BR. )
S-8 LEAPFROG ENTERPRISES INC, 6401 HOLLIS ST, STE 150, EMERYVILLE, CA,
94608, 5104205000 - 0 ($24,465,000.00) Equity, (File 333-145125 -
Aug. 3) (BR. 05B)
SB-2 DAYSTAR TECHNOLOGIES INC, 13 CORPORATE DRIVE, HALFMOON, NY, 12065,
518-383-4600 - 0 ($34,500,000.00) Equity, (File 333-145126 - Aug. 3)
(BR. 10A)
S-8 MOODYS CORP /DE/, 99 CHURCH STREET, NEW YORK, NY, 10007, 2125530300 -
3,000,000 ($161,490,000.00) Equity, (File 333-145127 - Aug. 3) (BR. 11C)
S-4 Chaparral Energy, Inc., 701 CEDAR LAKE BOULEVARD, OKLAHOMA CITY, OK,
73114, (405) 478-8770 - 0 ($322,328,500.00) Non-Convertible Debt,
(File 333-145128 - Aug. 3) (BR. 04)
S-8 SM&A, 4695 MACARTHUR COURT, 8TH FLOOR, NEWPORT BEACH, CA, 92660,
949-975-1550 - 0 ($692,000.00) Equity, (File 333-145130 - Aug. 3)
(BR. 08C)
S-8 SM&A, 4695 MACARTHUR COURT, 8TH FLOOR, NEWPORT BEACH, CA, 92660,
949-975-1550 - 0 ($10,380,000.00) Equity, (File 333-145131 - Aug. 3)
(BR. 08C)
SB-2 WITel Corp., 1800 CENTURY PARK EAST, STE 600, LOS ANGELES, CA, 90067,
310-576-4758 - 6,000,000 ($3,000,000.00) Equity, (File 333-145134 -
Aug. 3) (BR. )
RECENT 8K FILINGS
Form 8-K is used by companies to file current reports on the following
events:
1.01 Entry into a Material Definitive Agreement
1.02 Termination of a Material Definitive Agreement
1.03 Bankruptcy or Receivership
2.01 Completion of Acquisition or Disposition of Assets
2.02 Results of Operations and Financial Condition
2.03 Creation of a Direct Financial Obligation or an Obligation under an
Off-Balance Sheet Arrangement of a Registrant
2.04 Triggering Events That Accelerate or Increase a Direct Financial Obligation
under an Off-Balance Sheet Arrangement
2.05 Cost Associated with Exit or Disposal Activities
2.06 Material Impairments
3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or
Standard; Transfer of Listing
3.02 Unregistered Sales of Equity Securities
3.03 Material Modifications to Rights of Security Holders
4.01 Changes in Registrant's Certifying Accountant
4.02 Non-Reliance on Previously Issued Financial Statements or a Related Audit
Report or Completed Interim Review
5.01 Changes in Control of Registrant
5.02 Departure of Directors or Principal Officers; Election of Directors;
Appointment of Principal Officers
5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
5.04 Temporary Suspension of Trading Under Registrant's Employee Benefit Plans
5.05 Amendments to the Registrant's Code of Ethics, or Waiver of a
Provision of the Code of Ethics
6.01. ABS Informational and Computational Material.
6.02. Change of Servicer or Trustee.
6.03. Change in Credit Enhancement or Other External Support.
6.04. Failure to Make a Required Distribution.
6.05. Securities Act Updating Disclosure.
7.01 Regulation FD Disclosure
8.01 Other Events
9.01 Financial Statements and Exhibits
8-K reports may be obtained in person or by writing to the
Commission's Public Reference Branch at 100 F Street, N.E.,
Washington, D.C. 20549-1090 or at the following e-mail box address:
<publicinfo@sec.gov>. In most cases, this information is also
available on the Commission's website: <www.sec.gov>.
STATE
NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT
-------------------------------------------------------------------------------------------------------
ABBOTT LABORATORIES IL 5.02 07/31/07
ACME UNITED CORP CT 1.01 08/03/07
AETNA INC /PA/ PA 7.01 08/02/07
AGREE REALTY CORP DE 2.02,9.01 08/03/07
AIMS WORLDWIDE INC NV 1.01,9.01 08/02/07
AIR INDUSTRIES GROUP, INC. DE 1.01 08/02/07 AMEND
AIRVANA INC DE 2.02,9.01 08/03/07
AKORN INC LA 2.02,9.01 07/30/07
ALAMO GROUP INC DE 2.02,9.01 08/01/07
ALBANY INTERNATIONAL CORP /DE/ DE 2.05,9.01 08/02/07
ALESCO FINANCIAL INC 1.01 07/30/07
ALEXANDRIA REAL ESTATE EQUITIES INC MD 2.02,9.01 08/02/07
ALLIANCE BANKSHARES CORP 8.01,9.01 08/02/07
ALLIANCE BANKSHARES CORP 2.02,9.01 08/02/07
Alliance Distributors Holding Inc. DE 1.01,5.02,9.01 07/30/07
ALLIANCE IMAGING INC /DE/ DE 2.02,9.01 08/02/07
ALLIN CORP DE 2.02,9.01 08/01/07
ALLOY INC DE 5.02,9.01 07/30/07
Alternative Construction Company, Inc FL 5.02,9.01 08/03/07
Alternative Loan Trust 2007-HY9 DE 9.01 07/31/07
AMAG PHARMACEUTICALS INC. DE 5.02,9.01 07/31/07
AMB PROPERTY CORP MD 5.02 07/31/07
AMBAC FINANCIAL GROUP INC DE 1.01,2.03,9.01 07/30/07
AMERICAN AIRLINES INC DE 8.01 08/03/07
AMERICAN AXLE & MANUFACTURING HOLDING DE 5.02 08/01/07
AMERICAN EXPRESS CO NY 5.02 07/31/07
AMERICAN FINANCIAL REALTY TRUST 2.02 08/03/07
AMERICAN HOME MORTGAGE INVESTMENT COR MD 1.01,2.04,5.02,8.01,9.01 07/30/07
AMERICAN HOME MORTGAGE INVESTMENT COR MD 5.02,8.01,9.01 07/27/07 AMEND
American Lorain CORP DE 8.01,9.01 06/06/07 AMEND
American Lorain CORP DE 1.01,2.01,3.01,4.01,5.01,5.02, 05/11/07 AMEND
5.03,5.06,9.01
AMERICAN SKIING CO /ME DE 2.04 07/31/07
AMERISOURCEBERGEN CORP DE 8.01,9.01 08/02/07
AMGEN INC DE 5.02,9.01 07/31/07
AMIS HOLDINGS INC 1.01,2.03,9.01 08/01/07
AMR CORP DE 8.01 08/03/07
ANALYTICAL SURVEYS INC CO 4.01 08/03/07
ANCHOR BANCORP WISCONSIN INC WI 2.02 08/03/07
APPLIED DNA SCIENCES INC NV 2.03,3.02,9.01 07/30/07
AQUILA INC DE 2.02,9.01 08/03/07
ARBOR REALTY TRUST INC MD 2.02,9.01 08/03/07
Argyle Security Acquisition CORP 8.01,9.01 07/30/07
ARVINMERITOR INC IN 2.02,9.01 07/30/07
Atlantic Southern Financial Group, In 7.01 08/01/07
Atlas Pipeline Holdings, L.P. DE 2.02,9.01 08/03/07
ATLAS PIPELINE PARTNERS LP DE 2.02,9.01 08/03/07
ATS CORP DE 7.01,9.01 08/03/07
ATSI COMMUNICATIONS INC/DE NV 2.02,9.01 08/03/07
AUTOBYTEL INC DE 5.02,9.01 07/30/07
Avicena Group, Inc. DE 1.02 07/30/07
BACK YARD BURGERS INC DE 8.01,9.01 08/03/07
BANCINSURANCE CORP OH 5.02 08/01/07
Bancorp of New Jersey, Inc. NJ 5.02 08/01/07
BASIC EARTH SCIENCE SYSTEMS INC DE 8.01,9.01 08/03/07
Battle Mountain Gold Exploration Corp 1.01,9.01 07/30/07
BAY BANKS OF VIRGINIA INC VA 8.01 08/01/07
BCAPB LLC Trust 2007-AB1 8.01,9.01 07/19/07
BCSB BANKCORP INC 1.01,5.02,9.01 07/31/07
BEIJING MED PHARM CORP 7.01 08/01/07
BioScrip, Inc. DE 1.01,9.01 08/02/07
BioSolar Inc 5.02 08/02/07
BNC BANCORP NC 2.02,9.01 08/03/07
BNCCORP INC DE 1.01,1.02,2.03,3.02,9.01 07/30/07
BODISEN BIOTECH, INC DE 4.01,8.01 07/30/07
BOSTON BEER CO INC MA 1.01 07/31/07
BOSTON SCIENTIFIC CORP DE 1.01,8.01,9.01 07/31/07
Bronco Drilling Company, Inc. DE 2.02,9.01 08/03/07
Brooke Credit CORP DE 2.03,7.01,9.01 07/30/07
BRUSH ENGINEERED MATERIALS INC 2.02,9.01 08/03/07
BUCYRUS INTERNATIONAL INC DE 2.02,9.01 08/02/07
Bunge LTD 8.01 08/01/07
CALLON PETROLEUM CO DE 2.02,7.01,9.01 08/02/07
CALPINE CORP DE 1.01,9.01 07/30/07
CAMDEN PROPERTY TRUST TX 2.02,9.01 08/02/07
CAMPBELL FUND TRUST MD 3.02 08/01/07
CAPITAL ALLIANCE INCOME TRUST REAL ES DE 5.02 08/02/07
CAPITAL GROWTH SYSTEMS INC /FL/ FL 1.01,3.02 08/03/07
CAPITAL TRUST INC MD 7.01,9.01 08/03/07
CAPITAL TRUST INC MD 2.02,9.01 07/31/07
CAPITALSOURCE INC DE 1.01 07/30/07
CapLease, Inc. 2.02,9.01 08/02/07
CAPTARIS INC WA 2.02,9.01 08/02/07
CAPTECH FINANCIAL GROUP, INC FL 2.01,3.02,4.01,5.01,5.02, 08/01/07
5.06,9.01
CATCHER HOLDINGS, INC 1.01,3.02 07/30/07
CBL & ASSOCIATES PROPERTIES INC DE 8.01,9.01 08/02/07
CBL & ASSOCIATES PROPERTIES INC DE 2.02,9.01 06/30/07
CERIDIAN CORP /DE/ DE 1.01,8.01,9.01 07/30/07
CHAD THERAPEUTICS INC CA 1.01,9.01 07/30/07
CHANNELL COMMERCIAL CORP DE 1.01,2.03,9.01 07/30/07
CHATSWORTH DATA SOLUTIONS, INC. 1.01,2.03,7.01,9.01 07/31/07
CHATSWORTH DATA SOLUTIONS, INC. 1.01,2.03,7.01,9.01 07/31/07
CHESAPEAKE ENERGY CORP OK 2.02,9.01 08/02/07
CHINA AGRITECH INC 8.01,9.01 07/30/07
CHINA BAK BATTERY INC NV 5.02 08/03/07
CHINA ORGANIC AGRICULTURE, INC. 5.02,9.01 08/01/07
China Water & Drinks Inc.. NV 8.01,9.01 07/31/07
CHL Mortgage Pass-Through Trust 2007- DE 9.01 07/31/07
CIRCOR INTERNATIONAL INC DE 2.02,9.01 08/01/07
CIT GROUP INC DE 8.01 07/30/07
Citicorp Mortgage Securities Trust, S DE 8.01,9.01 08/03/07
CITIGROUP DIVERSIFIED FUTURES FUND LP 3.02 08/01/07
CITIGROUP FAIRFIELD FUTURES FUND LP I 3.02 08/01/07
Citizens Community Bancorp Inc. MD 2.02,9.01 08/03/07
CITY HOLDING CO WV 1.01,9.01 08/01/07
CLARIENT, INC DE 2.02,9.01 08/01/07
CLARKSTON FINANCIAL CORP 2.02,9.01 08/01/07
CLAYTON HOLDINGS INC 2.02,9.01 08/03/07
CLEVELAND CLIFFS INC OH 2.01,9.01 07/31/07
CMALT (CitiMortgage Alternative Loan DE 8.01,9.01 08/03/07
Cogdell Spencer Inc. MD 2.02,9.01 08/02/07
COMFORT SYSTEMS USA INC 7.01,9.01 08/02/07
COMPUSONICS VIDEO CORP CO 8.01 06/30/07
Constellation Energy Partners LLC DE 1.01,3.02,7.01,9.01 08/02/07
COOPER INDUSTRIES LTD 1.01,3.03,9.01 08/03/07
CORINTHIAN COLLEGES INC 2.05 07/30/07
CRAY INC WA 2.02,9.01 08/02/07
CRESCENT REAL ESTATE EQUITIES CO TX 5.01,9.01 08/03/07
CRESCENT REAL ESTATE EQUITIES LTD PAR DE 5.01,9.01 08/03/07
CRYOCOR INC DE 8.01,9.01 08/02/07
Cryoport, Inc. 8.01 08/03/07
CTS CORP IN 5.02 08/03/07
CUBIST PHARMACEUTICALS INC DE 8.01,9.01 08/01/07
DALRADA FINANCIAL CORP DE 5.02,9.01 08/01/07
DATASCOPE CORP DE 5.02,9.01 07/30/07
DAWSON GEOPHYSICAL CO TX 7.01,9.01 08/01/07
DEB SHOPS INC PA 2.02,9.01 08/02/07
Deutsche Alt-A Securities Mortgage Lo 8.01,9.01 08/03/07 AMEND
DEVON ENERGY CORP/DE DE 2.02,9.01 08/01/07
DIGIMARC CORP DE 2.02,9.01 08/03/07
DIGITAL ANGEL CORP DE 8.01 07/31/07
DJO INC DE 2.02,8.01,9.01 08/02/07 AMEND
DOCUMENT SCIENCES CORP DE 2.02,9.01 08/03/07
Domtar CORP DE 2.05,9.01 07/31/07
DOVER CORP DE 5.02,7.01 08/02/07
DRI CORP NC 7.01,9.01 08/03/07
DUN & BRADSTREET CORP/NW DE 5.02 04/02/07 AMEND
DYNEX CAPITAL INC VA 2.02,9.01 08/02/07
EastBridge Investment Group Corp AZ 4.01 07/30/07
Eastern Insurance Holdings, Inc. PA 8.01,9.01 08/02/07
EASTERN VIRGINIA BANKSHARES INC VA 7.01 08/01/07
EASYLINK SERVICES CORP DE 2.02,9.01 08/03/07
EBAY INC DE 1.01,9.01 08/02/07
EMTEC INC/NJ UT 8.01,9.01 07/31/07
ENERGY CONVERSION DEVICES INC DE 5.02,9.01 08/01/07
ENPRO INDUSTRIES, INC NC 2.02,9.01 08/03/07
ENTERCOM COMMUNICATIONS CORP PA 5.02 08/03/07
ENVIRONMENTAL TECTONICS CORP PA 1.01,9.01 07/31/07
ESCALADE INC IN 2.02,9.01 08/03/07
EVERLAST WORLDWIDE INC DE 8.01,9.01 08/03/07
EXELON CORP PA 7.01 08/02/07
FALCON NATURAL GAS CORP 1.01,9.01 07/19/07
FARMERS & MERCHANTS BANCORP DE 2.02,9.01 08/02/07
FiberTower CORP DE 5.03,9.01 08/02/07
FIRST BANCORP /PR/ PR 1.01,2.02,9.01 07/30/07
FIRST FEDERAL BANKSHARES INC DE 2.02,9.01 07/31/07
FIRST INDIANA CORP IN 4.01,9.01 07/25/07 AMEND
FIRST MID ILLINOIS BANCSHARES INC DE 5.02 08/03/07
FIRST PACTRUST BANCORP INC MD 2.02,9.01 08/03/07
FIRST REGIONAL BANCORP CA 7.01,8.01,9.01 07/30/07
FIRSTCITY FINANCIAL CORP DE 8.01,9.01 08/02/07
FIRSTCITY FINANCIAL CORP DE 1.01,2.03,9.01 07/30/07
FISCHER WATT GOLD CO INC NV 8.01,9.01 07/31/07
FISHER COMMUNICATIONS INC WA 2.02,9.01 08/02/07
FLEETWOOD ENTERPRISES INC/DE/ DE 2.02,9.01 08/03/07
Flooring Zone Inc 8.01 08/01/07
FPB BANCORP INC FL 2.02,9.01 08/03/07
FRANKLIN RESOURCES INC DE 2.02 07/30/07
Freedom Acquisition Holdings, Inc. DE 8.01,9.01 08/03/07
FRIENDLY ICE CREAM CORP MA 2.02,9.01 08/03/07
Frontier Airlines Holdings, Inc. DE 5.02,7.01,9.01 08/01/07
FURNITURE BRANDS INTERNATIONAL INC DE 5.02,8.01,9.01 08/02/07
GALLAGHER ARTHUR J & CO DE 1.01,2.03,9.01 08/03/07
GARMIN LTD 8.01,9.01 08/03/07
GENERAL MILLS INC DE 1.01,5.02,9.01 08/01/07
GENESEE CORP NY 5.02,8.01,9.01 08/03/07
Gentor Resources, Inc. FL 3.02,5.02,8.01 07/31/07
GENWORTH FINANCIAL INC DE 2.02,9.01 08/03/07
GLADSTONE INVESTMENT CORPORATION\DE DE 2.02 06/13/06 AMEND
GLADSTONE INVESTMENT CORPORATION\DE DE 2.02 05/31/07 AMEND
GLADSTONE INVESTMENT CORPORATION\DE DE 2.02 08/01/07 AMEND
Global Realty Development Corp DE 1.01,2.03,3.02,9.01 07/30/07
GLOBECOMM SYSTEMS INC 2.02,9.01 08/03/07
GLOBECOMM SYSTEMS INC 8.01,9.01 08/03/07
GoFish Corp. 1.02,8.01 08/01/07
GRANDSOUTH BANCORPORATION SC 2.02,9.01 07/27/07 AMEND
GROUP 1 AUTOMOTIVE INC DE 8.01,9.01 08/03/07
HAIGHTS CROSS COMMUNICATIONS INC DE 8.01,9.01 07/30/07
HAIGHTS CROSS COMMUNICATIONS INC DE 8.01,9.01 08/01/07
HALLIBURTON CO DE 1.01,9.01 07/11/07
Hampden Bancorp, Inc. DE 2.02,5.02,5.03,7.01,8.01,9.01 07/31/07
HANGER ORTHOPEDIC GROUP INC DE 2.02,9.01 07/30/07
HARRIS & HARRIS GROUP INC /NY/ NY 1.01,9.01 08/02/07
HARTFORD LIFE INSURANCE CO CT 9.01 08/03/07
HAVERTY FURNITURE COMPANIES INC MD 2.02,9.01 06/30/07
HEALTH DISCOVERY CORP TX 1.01,9.01 07/31/07
HEALTH MANAGEMENT ASSOCIATES INC DE 8.01,9.01 08/02/07
HEALTHCARE ACQUISITION CORP DE 8.01,9.01 08/02/07
HERCULES OFFSHORE, INC. DE 2.02,9.01 08/03/07
HERCULES TECHNOLOGY GROWTH CAPITAL IN MD 2.02,9.01 08/02/07
Heritage Financial Group DC 8.01,9.01 08/01/07
HMS HOLDINGS CORP 2.02,9.01 08/02/07
HOLLIS EDEN PHARMACEUTICALS INC /DE/ DE 2.02,9.01 08/03/07
HOME EQUITY MORTGAGE LOAN ASSET-BACKE DE 2.01,9.01 05/23/07
HORIZON BANCORP /IN/ IN 2.02,9.01 08/03/07
ICAGEN INC DE 2.02,8.01,9.01 08/03/07
Icon Development, Inc. 1.01,9.01 07/30/07
IDERA PHARMACEUTICALS, INC. DE 5.02 07/31/07
IMATION CORP DE 1.01,2.01,9.01 07/31/07
IMMUCELL CORP /DE/ DE 2.02,9.01 08/03/07
IMPERIAL OIL LTD 2.02,9.01 08/03/07
INFINITY CAPITAL GROUP, INC. NV 7.01,9.01 07/25/07
INFINITY PROPERTY & CASUALTY CORP OH 5.02,9.01 07/31/07
INGERSOLL RAND CO LTD 5.02,9.01 08/01/07
INGLES MARKETS INC NC 2.02,9.01 08/03/07
Innophos Holdings, Inc. 8.01 08/03/07
INNOSPEC INC. DE 2.02 08/03/07
INNOVATIVE SOFTWARE TECHNOLOGIES INC CA 5.02,9.01 08/03/07
INTEGRAL SYSTEMS INC /MD/ MD 5.02,9.01 07/30/07 AMEND
INTERLINE BRANDS, INC./DE DE 2.02,9.01 08/02/07
INTERNAP NETWORK SERVICES CORP DE 8.01 08/03/07
INTERNATIONAL BANCSHARES CORP TX 2.02 08/03/07
INTERNATIONAL BUSINESS MACHINES CORP NY 8.01 08/03/07
INTERNET AMERICA INC TX 7.01 08/03/07
INTEST CORP DE 2.02,5.02,9.01 08/01/07
INVESTOOLS INC DE 2.02,8.01,9.01 08/02/07
Investors Bancorp Inc DE 1.01,9.01 08/03/07
IWT TESORO CORP NV 1.01,3.02 04/09/07 AMEND
J P MORGAN CHASE & CO DE 9.01 08/01/07
J.P. Morgan Alternative Loan Trust 20 DE 6.02 08/03/07
J.P. Morgan Mortgage Trust 2007-S2 DE 6.02 08/03/07
J.P. Morgan Mortgage Trust 2007-S3 DE 6.02 08/01/07
JABIL CIRCUIT INC DE 5.02,7.01,9.01 08/02/07
K-SEA TRANSPORTATION PARTNERS LP 2.02,9.01 08/03/07
KADANT INC DE 1.01,2.03 07/30/07
Key Hospitality Acquisition CORP DE 1.01,3.02,9.01 08/02/07
KEYSPAN CORP NY 2.02,9.01 08/03/07
L & L FINANCIAL HOLDINGS INC NV 5.02,8.01 08/02/07
LANDAMERICA FINANCIAL GROUP INC VA 2.02 08/01/07
LANDRYS RESTAURANTS INC 8.01,9.01 08/02/07
LAYNE CHRISTENSEN CO DE 1.01,3.02,5.02,9.01 10/16/06
LEHMAN BROTHERS HOLDINGS INC DE 9.01 07/31/07
LEHMAN BROTHERS HOLDINGS INC DE 9.01 07/31/07
LEHMAN BROTHERS HOLDINGS INC DE 9.01 07/31/07
LEHMAN BROTHERS HOLDINGS INC DE 9.01 07/31/07
LEHMAN BROTHERS HOLDINGS INC DE 9.01 07/31/07
LENNOX INTERNATIONAL INC DE 1.01,8.01,9.01 08/03/07
Liberty Global, Inc. 8.01 08/03/07
LIFE SCIENCES RESEARCH INC MD 1.01,9.01 08/01/07
LIGHTSCAPE TECHNOLOGIES INC. NV 5.02 08/01/07
LITTELFUSE INC /DE DE 5.02,9.01 07/30/07
LoopNet, Inc. CA 1.01,2.01,8.01,9.01 08/02/07
LYDALL INC /DE/ DE 5.02,9.01 08/03/07
MANAS PETROLEUM CORP 4.01,9.01 08/03/07
MANNKIND CORP 1.01,2.02,5.02,9.01 08/01/07
MARATHON OIL CORP DE 1.01 07/30/07
MARKWEST ENERGY PARTNERS L P 8.01,9.01 08/02/07
MARTHA STEWART LIVING OMNIMEDIA INC DE 2.02,9.01 08/01/07
MASCO CORP /DE/ DE 2.02,9.01 07/31/07
MASTR Adjustable Rate Mortgages Trust DE 9.01 07/23/07
MCGRAW-HILL COMPANIES INC NY 5.02 08/03/07
MCMORAN EXPLORATION CO /DE/ DE 8.01,9.01 08/02/07
MEDALLION FINANCIAL CORP DE 1.01,2.03,9.01 07/31/07
METABASIS THERAPEUTICS INC 2.02,9.01 08/03/07
MHI Hospitality CORP MD 1.01,2.03,7.01,9.01 08/02/07
MHI Hospitality CORP MD 1.01,2.03,7.01,9.01 08/01/07
MICRUS ENDOVASCULAR CORP 1.01,9.01 07/31/07
MIDDLEBY CORP DE 7.01,9.01 08/03/07
MIDDLEFIELD BANC CORP OH 2.01,9.01 08/01/07
MILACRON INC DE 2.02,9.01 08/03/07
MIRANT AMERICAS GENERATION LLC 1.01,9.01 07/30/07
MIRANT CORP DE 1.01,9.01 07/30/07
MIRANT MID ATLANTIC LLC DE 1.01,9.01 07/30/07
Mirant North America, LLC DE 1.01,9.01 07/30/07
MONROE BANCORP IN 2.02,9.01 07/17/07 AMEND
MORGAN CREEK ENERGY CORP NV 4.01,9.01 07/31/07
Morgan Stanley Mortgage Loan Trust 20 DE 1.01 08/02/07
Morningstar, Inc. IL 7.01 08/03/07
MOTOROLA INC DE 8.01,9.01 08/03/07
MOVADO GROUP INC NY 1.01,2.03 07/31/07
MOVE INC DE 2.02 08/02/07
MSC-Medical Services CO FL 8.01,9.01 07/24/07
Mueller Water Products, Inc. DE 2.02,9.01 08/02/07
MULTI COLOR CORP OH 8.01,9.01 08/03/07
MVC CAPITAL, INC. DE 8.01 08/03/07
MYMETICS CORP DE 3.02 07/31/07
NAPSTER INC DE 5.02,7.01,9.01 07/30/07
NASHUA CORP MA 2.02,9.01 08/02/07
NATIONAL DENTEX CORP /MA/ MA 2.02,9.01 08/03/07
NATIONAL FUEL GAS CO NJ 2.02,9.01 08/02/07
NATIONAL HEALTHCARE CORP DE 8.01 08/02/07
National Interstate CORP OH 2.02,8.01,9.01 08/02/07
NATIONAL PATENT DEVELOPMENT CORP DE 5.02 07/30/07
NATIONAL PRESTO INDUSTRIES INC WI 5.02,8.01 08/03/07
NBOG BANCORPORATION INC GA 5.02 08/03/07
NEOPROBE CORP DE 5.03,9.01 07/26/07
NEPHROS INC DE 2.04 07/30/07
NESTOR INC DE 1.01,9.01 08/03/07
NEWBRIDGE BANCORP NC 1.01,5.02,5.03,9.01 07/31/07
NEWFIELD EXPLORATION CO /DE/ DE 1.01,8.01 08/03/07
NEWMONT MINING CORP /DE/ DE 1.01,3.02 07/11/07 AMEND
NEWPARK RESOURCES INC DE 2.02,2.05,9.01 08/01/07
NN INC DE 2.02,9.01 08/02/07
Nomura Asset Acceptance Corporation, DE 2.01,9.01 07/10/07
NORTHEAST UTILITIES MA 2.02,9.01 08/02/07
NOVA BIOSOURCE FUELS, INC. NV 7.01,9.01 08/02/07
NOVATEL WIRELESS INC DE 5.02,9.01 08/02/07
NTELOS HOLDINGS CORP 1.01,9.01 08/03/07
NUMEREX CORP /PA/ PA 2.02,8.01,9.01 08/02/07
NYSE Euronext DE 1.01,2.01 08/03/07
O2DIESEL CORP 5.02,9.01 07/31/07
O2DIESEL CORP 1.01,3.02,9.01 07/06/07 AMEND
OAK HILL FINANCIAL INC OH 2.02,9.01 07/31/07
OLYMPIC STEEL INC OH 2.02,9.01 08/03/07
ON2 TECHNOLOGIES, INC. DE 1.01,5.02,9.01 07/31/07
ON2 TECHNOLOGIES, INC. DE 8.01,9.01 08/02/07
ONVIA INC DE 1.01,1.02,9.01 07/31/07
Opexa Therapeutics, Inc. TX 1.01,9.01 07/31/07
OPNEXT INC 2.02,7.01,9.01 08/02/07
ORAMED PHARMACEUTICALS INC. NV 1.01,5.02,9.01 08/01/07
ORAMED PHARMACEUTICALS INC. NV 1.01,3.02,9.01 08/02/07
ORAMED PHARMACEUTICALS INC. NV 3.02,9.01 08/02/07
ORBCOMM Inc. DE 5.02,9.01 07/30/07
ORIENT EXPRESS HOTELS LTD 2.02,9.01 08/02/07
OSCIENT PHARMACEUTICALS CORP MA 2.02,9.01 08/02/07
OYO GEOSPACE CORP DE 2.02,9.01 08/03/07
PARK BANCORP INC DE 2.02,9.01 08/03/07
Park Place Energy Corp. NV 2.01,3.02,4.01,5.01,5.02,5.06, 07/30/07
9.01
PEDIATRIC SERVICES OF AMERICA INC DE 8.01,9.01 07/30/07
PENN VIRGINIA CORP VA 2.02,7.01,9.01 08/03/07
PENNSYLVANIA REAL ESTATE INVESTMENT T PA 2.03 08/03/07
PENNSYLVANIA REAL ESTATE INVESTMENT T PA 2.02,9.01 07/31/07
PHOTON DYNAMICS INC CA 1.01,2.01,3.02,9.01 07/30/07
Physicians Remote Solutions, Inc. FL 8.01 07/30/07
Pike Electric CORP 5.02,9.01 08/01/07
PIONEER COMPANIES INC DE 8.01 08/03/07
PLAYTEX PRODUCTS INC DE 2.02,9.01 08/03/07
PNM RESOURCES INC NM 2.02,9.01 06/30/07
Polypore International, Inc. 1.01,1.02,2.04,9.01 07/30/07
POOL CORP DE 7.01,9.01 08/03/07
POTOMAC BANCSHARES INC WV 2.02 08/03/07
PRIMEDIA INC DE 1.01,2.03,9.01 08/03/07
PRO PHARMACEUTICALS INC NV 8.01,9.01 08/02/07
PROCTER & GAMBLE CO OH 2.02 06/30/07
PROTECTIVE LIFE CORP DE 2.02,9.01 08/02/07
Public Storage MD 2.02,9.01 06/30/07
QCR HOLDINGS INC DE 8.01,9.01 06/30/07
QUALITY DISTRIBUTION INC FL 7.01,9.01 08/02/07
RBC LIFE SCIENCES, INC. DE 2.02,9.01 07/31/07
RENT A CENTER INC DE 5.02 07/31/07
RESMED INC DE 5.02 07/30/07
RIVIERA HOLDINGS CORP NV 7.01,9.01 08/03/07
RIVIERA HOLDINGS CORP NV 7.01 08/03/07
ROFIN SINAR TECHNOLOGIES INC DE 2.02 06/30/07
RONSON CORP NJ 3.01,5.02,9.01 08/03/07
SAFETY INSURANCE GROUP INC DE 2.02,9.01 08/03/07
SAFEWAY INC DE 8.01 08/01/07
SALOMON SMITH BARNEY ORION FUTURES FU 3.02 08/01/07
SALTON INC DE 3.01 08/01/07
SANTARUS INC DE 8.01,9.01 08/03/07
SAST 2007-3 VA 8.01,9.01 08/03/07
SBA COMMUNICATIONS CORP FL 2.02 08/02/07
SCHNITZER STEEL INDUSTRIES INC OR 5.03,9.01 08/01/07
Security Capital Assurance Ltd D0 7.01,9.01 08/03/07
Select Notes Trust LT 2004-1 DE 8.01,9.01 08/01/07
SENSE HOLDINGS INC FL 8.01,9.01 06/27/07 AMEND
SHARPER IMAGE CORP DE 1.01,9.01 07/31/07
Shire plc 8.01,9.01 08/02/07
SMITH BARNEY BRISTOL ENERGY FUND LP 3.02 08/01/07
SMITH BARNEY POTOMAC FUTURES FUND LP 3.02 08/01/07
SMITH BARNEY TIDEWATER FUTURES FUND L 3.02 08/01/07
SMITH BARNEY WARRINGTON FUND L P 3.02 08/01/07
SMITH BARNEY WESTPORT FUTURES FUND LP 3.02 08/01/07
Southridge Technology Group, Inc. DE 2.01,4.01,9.01 07/13/07 AMEND
SPARTAN MOTORS INC MI 7.01,9.01 08/03/07
Specialty Underwriters Alliance, Inc. DE 2.02,9.01 08/02/07
Spectra Energy Corp. DE 7.01,9.01 08/03/07
Spectra Energy Corp. DE 8.01,9.01 08/03/07
Spectrum Brands, Inc. WI 5.02 08/01/07
SPORT CHALET INC DE 2.02,9.01 08/01/07
ST MARY LAND & EXPLORATION CO DE 2.02,7.01,9.01 08/03/07
STARM Mortgage Loan Trust 2007-3 DE 8.01,9.01 06/28/07
STEPAN CO DE 2.02,9.01 07/31/07
STINGER SYSTEMS, INC 1.01,2.03,3.02,9.01 08/02/07
STONERIDGE INC OH 5.02,8.01,9.01 08/02/07
SUNRISE TELECOM INC 2.02 06/30/07
SUPERIOR ESSEX INC DE 2.02,7.01,9.01 08/02/07
SUPERIOR ESSEX INC DE 7.01,9.01 07/31/07
SUPERIOR UNIFORM GROUP INC FL 5.01,9.01 08/03/07
SYNERGY BRANDS INC DE 3.01 08/01/07
TAGALDER GLOBAL INVESTMENT, INC. 5.02 04/15/07
TALON INTERNATIONAL, INC. DE 5.02,8.01 07/31/07
TEAM FINANCIAL INC /KS KS 2.02,9.01 08/02/07
TECH LABORATORIES INC NJ 5.03,9.01 08/03/07
TEKNI PLEX INC DE 1.01,9.01 07/30/07
Telanetix,Inc DE 3.02 07/30/07
TEREX CORP DE 2.02,9.01 08/03/07
TERRA ENERGY & RESOURCE TECHNOLOGIES, DE 4.01,9.01 07/31/07
TESCO CORP 2.02,9.01 08/02/07
TETRA TECHNOLOGIES INC DE 2.02,9.01 08/03/07
Tim Hortons Inc. DE 2.02,9.01 08/03/07
TIME WARNER CABLE INC. DE 5.02 07/30/07
Tix CORP DE 3.02,9.01 07/31/07
TOPPS CO INC DE 5.02,8.01,9.01 07/30/07
TOR MINERALS INTERNATIONAL INC DE 2.02,9.01 08/01/07
TOUSA INC DE 1.01,2.01,2.03,3.02,5.03,9.01 07/31/07
Triangle Petroleum Corp NV 5.02,9.01 08/01/07
TRM CORP OR 1.01,5.02,9.01 08/01/07
TRULITE INC DE 1.01,1.02,9.01 07/30/07
TWL CORP UT 5.02,8.01,9.01 07/26/07
TYSON FOODS INC DE 5.02,9.01 08/02/07
UBS Managed Futures LLC (Aspect Serie 3.02 08/01/07
UNITED BANCORP INC /MI/ MI 2.02,8.01,9.01 08/03/07
United Community Bancorp X1 2.02,9.01 08/02/07
UNITED HERITAGE CORP UT 1.01,1.02,5.01,5.02,9.01 07/23/07
UNITED PAN AM FINANCIAL CORP CA 5.02,9.01 07/30/07
UNITED STATIONERS INC DE 2.02,9.01 08/02/07
UNITED THERAPEUTICS CORP DE 5.02,8.01 07/31/07
UNIVERSAL COMPRESSION INC TX 5.02,9.01 07/30/07
Universal Compression Partners, L.P. DE 5.02,9.01 07/30/07
UNIVERSAL POWER GROUP INC. TX 1.01,2.03,8.01,9.01 08/03/07
US AIRWAYS GROUP INC DE 2.02,9.01 08/03/07
USA Mobility, Inc DE 1.01,2.02,8.01,9.01 08/01/07
UST INC DE 5.02,9.01 08/01/07
UTIX GROUP INC DE 4.01 07/30/07
Valentec Systems, Inc DE 8.01,9.01 08/03/07
VECTREN CORP IN 2.02 08/02/07
VELCERA, INC. DE 8.01,9.01 08/01/07
VERAMARK TECHNOLOGIES INC DE 1.01,5.02,9.01 07/30/07
VeriFone Holdings, Inc. DE 5.02,9.01 08/02/07
VISTA GOLD CORP 5.02,8.01,9.01 07/30/07
VISTEON CORP DE 8.01,9.01 08/03/07
VISUAL MANAGEMENT SYSTEMS INC NV 4.01,5.02 07/30/07
VITESSE SEMICONDUCTOR CORP DE 2.02,9.01 07/30/07
VOLT INFORMATION SCIENCES, INC. NY 1.01,2.01,2.03,8.01,9.01 07/31/07
VSE CORP DE 2.02,9.01 06/30/07
WAKO LOGISTICS GROUP INC 1.01,2.01,2.03,3.02,5.02,9.01 07/31/07
WALTER INDUSTRIES INC /NEW/ DE 2.02,9.01 08/02/07
WALTER INDUSTRIES INC /NEW/ DE 1.01 07/30/07
WESTERN SIERRA MINING CORP UT 2.01,9.01 07/29/07
WEYERHAEUSER CO WA 2.02,9.01 08/03/07
WHITE MOUNTAINS INSURANCE GROUP LTD D0 2.02,9.01 08/02/07
WIFIMED HOLDINGS COMPANY, INC. NV 1.01,9.01 07/30/07
WILLIAMS SCOTSMAN INTERNATIONAL INC DE 2.02,9.01 08/03/07
WILLIAMS SONOMA INC CA 8.01 08/03/07
WIRELESS RONIN TECHNOLOGIES INC MN 1.01,9.01 08/01/07
WITS BASIN PRECIOUS MINERALS INC MN 1.01,9.01 07/27/07
WORLD ACCEPTANCE CORP SC 5.03,8.01,9.01 08/01/07
XENOPORT INC DE 5.02 08/01/07
XTOL Energy Inc. 3.02 08/01/07
http://www.sec.gov/news/digest/2007/dig080607.htm
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