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SEC NEWS DIGEST
Issue 2007-153 August 9, 2007
COMMISSION ANNOUNCEMENTS
COMMISSIONER CAMPOS TO LEAVE COMMISSION
Commissioner Roel C. Campos of the Securities and Exchange Commission
today announced that he intends to leave the Commission in a month's
time and plans to return to the private sector. Currently serving his
second term, Mr. Campos was first appointed by President George W.
Bush and confirmed by the U.S. Senate as a Commissioner in August
2002.
Mr. Campos has served during one of the busiest and most productive
periods in the history of the SEC. Mr. Campos developed a reputation
as a fierce advocate for investors. He fought for the elimination of
conflicts, enhanced issuer disclosure, improved corporate governance,
and greater shareholder rights with respect to the election of
directors. As a former prosecutor, Mr. Campos supported an aggressive
SEC enforcement program to restore investor confidence in the wake of
the infamous corporate scandals at Enron, WorldCom and other
companies. Mr. Campos also represented the Commission with
international regulators, serving as Vice Chair of the Technical
Committee of the International Organization of Securities Commissions.
He championed high standards and strong investor protections in
jurisdictions around the world. Such high standards, he argued,
attract capital and ultimately create strong markets.
As the first Hispanic Commissioner, Mr. Campos helped recruit talented
minority employees to the SEC and helped establish a diversity
initiative for the agency. He also created a new awareness and
appreciation in both the SEC and on Wall Street of the importance and
benefits of diversity in the workplace and board rooms.
"Commissioner Campos has worked tirelessly, both at home and abroad,
for the protection of investors and the betterment of U.S. markets,"
said SEC Chairman Christopher Cox. "At a time when international
collaboration among securities regulators has been key to our
enforcement and investor protection missions, Roel Campos has led the
way. As a result of his exceptional devotion to raising investor
protection standards around the globe - in both developed and
developing markets - he is respected and admired among national
regulators and international securities regulatory organizations
throughout the world. His leadership on diversity in the workplace has
helped make the SEC one of the top three places to work in the entire
federal government. And his initiatives for ordinary investors -
including his work to provide better disclosure for workers with
401(k) plans - have helped keep America's markets the best in the
world. I have appreciated his sound advice, his prosecutor's sense of
judgment and discretion, and above all his friendship. The nation's
investors have had a true friend in Roel Campos, and on a personal
level, so have I."
Mr. Campos said, "I have been quite fortunate and privileged to have
served the American investor at a crucial period in the history of
U.S. markets. I am greatly honored to have worked closely with great
public servants, Chairman Chris Cox and his predecessors, Bill
Donaldson and Harvey Pitt, as well as my fellow Commissioners. I also
am extremely grateful to have worked with the outstanding career
professionals who comprise the SEC staff. I am very proud to have
contributed to the historic accomplishments of the SEC during my
tenure."
Mr. Campos received his B.S. in Engineering Management and Economics
from the U.S. Air Force Academy in 1971, his M.B.A. from the UCLA
Graduate School of Business in 1972, and his J.D. from Harvard Law
School in 1979. (Press Rel. 2007-163)
ENFORCEMENT PROCEEDINGS
IN THE MATTER OF GENERAL AMERICAN LIFE INSURANCE COMPANY AND WILLIAM
C. THATER
On August 9, the Commission issued a settled order finding that
William C. Thater (Thater) permitted, and General American Life
Insurance Company (General American) failed to prevent, late trading
of mutual funds underlying private placement variable universal life
insurance (PPVUL) policies that were offered by General American, a
St. Louis based insurance company and subsidiary of MetLife, Inc., one
of the worlds largest financial services companies. Late trading is
the illegal practice of transmitting, placing, confirming, or
cancelling orders to purchase or redeem mutual fund shares after 4:00
p.m. ET on a given day to be filled at the fund's net asset value
calculated that same day.
According to the order, Thater, a General American senior vice-
president and resident of Danbury, Connecticut, entered into a written
agreement that gave a New York family exclusive late trading
privileges in the mutual funds underlying the PPVUL policies that the
family purchased for approximately $20 million. From Feb. 1, 2002, to
Nov. 18, 2002, the New York family placed numerous trade requests, 79
of which they submitted, confirmed and/or cancelled after 4:00 p.m.
ET. As a result of the New York family's late trading, the value of
the underlying mutual funds was diluted by approximately $3.3 million.
Certain General American personnel became aware of the late trading
but failed to take adequate steps to investigate the activity and
ensure that it ceased.
The Commission's order requires that General American and Thater cease
and desist from committing or causing certain violations of the
antifraud and other provisions of the federal securities laws. Under
the order, General American must pay disgorgement of $1 and a civil
penalty of $3.3 million, and comply with various undertakings. The
order also requires Thater to pay disgorgement of $100,000, with
prejudgment interest of $13,137.49, pay a civil penalty of $50,000,
and be barred from association with, among other things, any broker,
dealer or investment adviser with the right to reapply for association
after three years. General American and Thater settled to the entry of
the Commission's order without admitting or denying the Commission's
findings. (Rels. 33-8832; 34-56229; IC-27925; File No. 3-12720; Press
Rel. 2007-162)
COURT ENTERS FINAL JUDGMENTS AGAINST GERSHON TANNENBAUM AND JAY
VERMONTY FOR SECURITIES FRAUD IMPOSING CIVIL PENALTIES AND
DISGORGEMENT
On July 25, 2007, the U.S. District Court for the Eastern District of
New York entered final judgments against Gershon Tannenbaum
(Tannenbaum) and Jay M. Vermonty (Vermonty) for securities fraud,
imposing civil penalties totaling $200,000 and disgorgement in excess
of $155,000. The Commission alleged in its action that Tannenbaum and
Vermonty were part of a fraudulent scheme from 1995 through 1997 to
falsify and inflate the financial condition of Power Phone Inc. and
its successor TMC Agroworld Corporation. The Commission alleged in its
action that Tannenbaum and Vermonty fraudulently promoted Power Phone
and TMC Agroworld stock.
The Commission's complaint alleged that Power Phone's audited
financial statements for the fiscal year ended June 30, 1995,
improperly included two assets that Power Phone did not own: (i)
artwork with a purported value of $2 million; and (ii) a commercial
grade application software program also with a purported value of $2
million. Collectively, these assets accounted for 95% of Power Phone's
total assets. The Commission's complaint alleged that Tannenbaum and
Vermonty actively and fraudulently touted the stock of Power Phone and
TMC Agroworld to the investing public and then sold their stock in
those entities at artificially inflated prices.
Under the terms of the final judgments, Tannenbaum and Vermonty were
each permanently enjoined from further violations of Section 10(b) of
the Securities Exchange Act of 1934 (Exchange Act) and Exchange Act
Rule 10b-5. The court also ordered Tannenbaum to pay disgorgement in
the amount of $95,026, plus prejudgment interest, and $100,000 in
civil penalties. The court ordered Vermonty to pay disgorgement in the
amount of $63,880, plus prejudgment interest, and $100,000 in civil
penalties. The court also ordered both Tannenbaum and Vermonty to
provide a verified, sworn accounting.
For additional information regarding this action, see Litigation
Release No. 1173 (Sept. 28, 1999) (describing the initial filing).
Also see In the Matter of Michael, Adest & Blumenkrantz, P.C., et al.,
Admin. Proc. File No. 3-9873 (Apr. 14, 1999); In the Matter of Joseph
Salamon, Admin. Proc. File No. 3-10095 (Nov. 10, 1999); In the Matter
of Isaac Hager, Admin. Proc. File No. 3-10317 (Feb. 7, 2001). [SEC v.
Gershon Tannenbaum and Jay M. Vermonty, Civ. Action No. 1:99-CV-06050
(E.D.N.Y.) (ARR) (JMA)] (LR-20231; AAE Rel. 2665)
DISTRIBUTION OF $2.1 MILLION TO INVESTORS IN J&K GLOBAL MARKETING AND
AAA-AUCTION.COM FRAUD
On July 21, 2007, the court in Colorado approved a distribution plan
to pay $2,124,980 to 2,724 investors who lost money in a fraudulent
investment scheme conducted between 1999 and 2001 by Kenneth Roy
Weare, aka Roy Weaver, of Lakewood, Colorado, and J&K Global Marketing
Corporation and AAA-Auction.com. This distribution is funds recovered
in litigation by the Commission from foreign bank accounts in
Luxembourg and Grenada. Investors making claims will receive 100% of
their principle, reduced by any previous payments. The court has
scheduled a hearing on Oct. 15, 2007, to address disputed claims.
Weare and J&K operated a Ponzi scheme offering $375 memberships in
investment contracts through an Internet website that promised annual
returns of 600%. Weare raised money for AAA-Auction.com,
misrepresenting that funds would be used to purchase inventory for
sale on live Internet auctions. In 2002, Weare, J&K, AAA-Auction.com
were enjoined and ordered to pay disgorgement, prejudgment interest,
and civil penalties. In a related criminal case, Weare pled guilty and
was sentenced on Aug. 3, 2005, to fraud and wire fraud to 36 months,
which he has served, and three years of supervised release (U.S.A. v.
Weare, Criminal Action No. 03-cr-00121. USDC, D. Colo.). For further
information see (LR-16961) (LR-17804) and (LR-17811). [SEC v. Weare,
et al., Civil Action No. 01-CV-0645-JLK, USDC, D. Colo.] (LR-20232)
SEC FILES FRAUD CHARGES AGAINST NICOR'S FORMER CEO, CFO AND TREASURER
On August 9, the Commission filed a civil injunctive action against
former Chairman, CEO and President Thomas Fisher, former CFO and
Executive Vice-President Kathleen Halloran, and former Treasurer and
Vice-President George Behrens of Nicor, Inc., a major Chicago-area
natural gas distributor, alleging financial fraud lasting from 1999 to
2002.
The complaint alleges that in 1999, Fisher, Halloran, and Behrens
participated in devising a method by which Nicor could profit by
accessing its low-cost last-in, first-out (LIFO) layers of gas
inventory. As a result, from 1999 through 2002, the former officer
defendants engaged in or approved improper transactions, and made
material misrepresentations in financial statements and documents
filed with the Commission. They also failed to disclose material
information regarding Nicor's rigged reductions in gas inventory
levels that enabled it to improperly manipulate its earnings and to
increase Nicor's revenues under a performance-based utility rate plan.
In addition, the former officers materially understated Nicor's
expenses during the first and second quarters of 2001 by improperly
bundling a weather-insurance contract with an agreement to supply gas
to Nicor's insurance provider at below-market prices. Moreover, they
caused the losses on the supply agreement with the insurance provider
to be improperly charged to Nicor's utility customers. These improper
transactions enabled Nicor to understate its expenses and to
manipulate its earnings to achieve its earnings targets. As a result
of the manipulative scheme, Nicor materially overstated its reported
income for the years ending 2000 and 2001, and for each of the
quarters within those years and the financial statements filed with
those reports.
Additionally, the former officer defendants failed to make disclosures
required by GAAP about the effects of LIFO inventory liquidations on
Nicor's reported income. Nicor, through Fisher, Halloran, and Behrens,
failed to disclose in either its Management's Discussion & Analysis
section of its 2000 and 2001 annual and quarterly reports, or in its
financial statements filed with those reports, that it had recorded
material increases to income resulting from the liquidation of its
LIFO inventory, and that the continued liquidation of Nicor's low-cost
inventory was not sustainable.
The complaint alleges that by their conduct Fisher, Halloran, and
Behrens violated the antifraud provisions of the federal securities
laws and aided and abetted Nicor's violations of the reporting
provisions of the same laws. The Commission's action seeks injunctive
relief, disgorgement, civil penalties, and officer and director bars
against Fisher, Halloran, and Behrens. [SEC v. Fisher, Halloran, and
Behrens, Civil Action No. 07C 4483, USDC, ND IL] (LR-20233; AAE Rel.
2666; Press Rel. 2007-164)
SEC v. WOOD RIVER CAPITAL MANAGEMENT, LLC, ET AL.
The Commission announced today that on August 6 the Honorable Naomi
Reice Buchwald, United States District Judge for the Southern District
of New York, entered a Final Judgment by Consent against defendant
John H. Whittier (Whittier). The Final Judgment permanently enjoins
Whittier from future violations of Section 17(a) of the Securities Act
of 1933; Sections 10(b), 13(d) and 16(a) of the Securities Exchange
Act of 1934 (Exchange Act) and Rules 10b-5, 13d-1, 13d-2, 16a-2, and
16a-3 thereunder; and Sections 206(1) and (2) of the Investment
Advisers Act of 1940. The Final Judgment also orders Whittier to pay
disgorgement of $5,535,571 plus prejudgment interest thereon of
$798,339, for a total of $6,333,910, representing Whittier's ill-
gotten gains from the fraud alleged in the SEC's Complaint. Whittier
may offset from this $6,333,910 the amount of forfeiture and
restitution payments imposed against and paid by him in the parallel
criminal case, United States of America vs. John H. Whittier., 07 CR
087 (JSR) (S.D.N.Y. 2007), brought by the U.S. Attorney's Office for
the Southern District of New York. Whittier consented to entry of the
Final Judgment without admitting or denying the allegations in the
Commission's Complaint.
For more information, see Litigation Release No. 19428 (Oct. 13,
2005). [SEC v. Wood River Capital Management, LLC, et al., U.S.
District Court for Southern District of New York (Civil Action No. 05-
CV-8713) (NRB)] (LR-20234)
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule
change filed by The NASDAQ Stock Market (SR-NASDAQ-2007-070) to adopt
certain FINRA rules relating to trading halts and disclosure of
disciplinary information 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 August 13. (Rel.
34-56204)
A proposed rule change filed by the Chicago Board Options Exchange to
establish transaction fees for Credit Default Options (SR-CBOE-2007-
92) 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 August 13. (Rel. 34-56214)
PROPOSED RULE CHANGE
The American Stock Exchange filed a proposed rule change (SR-Amex-
2007-74) and Amendment No. 1 thereto relating to the listing and
trading of shares of funds of the Rydex ETF Trust. Publication is
expected in the Federal Register during the week of August 13. (Rel.
34-56218)
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:
. In most cases, this information is also
available on the Commission's website: < www.sec.gov>.
SB-2 CHARLESTON BASICS INC, 1701 AVE I, BROOKLYN, NY, 11230,
40,720 ($20,360.00) Equity, (File 333-145211 - Aug. 8) (BR. 02)
SB-2 Mezey Howarth Racing Stables, Inc., 405A ARENOSO, SAN CLEMENETE, CA,
92672, 9494294001 - 10,000,000 ($1,000,000.00) Equity,
(File 333-145212 - Aug. 8) (BR. 09)
S-4 ROYAL GOLD INC, 1660 WYNKOOP STREET, SUITE 1000, DENVER, CO,
80202-1132, 303-573-1660 - 0 ($45,323,935.00) Equity,
(File 333-145213 - Aug. 8) (BR. 04A)
S-3 Darwin Professional Underwriters Inc, 9 FARM SPRINGS ROAD, FARMINGTON,
CT, 06032, 860-284-1300 - 0 ($197,730,125.60) Equity,
(File 333-145214 - Aug. 8) (BR. 01C)
SB-2 REMOTE MDX INC, 5095 WEST 2100 SOUTH, SALT LAKE CITY, UT, 84120,
8019749475 - 22,948,214 ($36,717,142.00) Equity, (File 333-145215 -
Aug. 8) (BR. 10C)
SB-2 Bio-Matrix Scientific Group, Inc., 8885 REHCO RD., SAN DIEGO, CA,
92121, 619-398-3517X301 - 17,195,263 ($7,136,034.00) Equity,
(File 333-145216 - Aug. 8) (BR. 08C)
SB-2 POSITRON CORP, 1304 LANGHAM CREEK DRIVE, SUITE 310, HOUSTON, TX, 77048,
2814927100 - 13,246,240 ($728,543.20) Equity, (File 333-145217 -
Aug. 8) (BR. 10C)
S-8 EPIQ SYSTEMS INC, 501 KANSAS AVENUE, KANSAS CITY, KS, 66105-1309,
9136219500 - 0 ($63,678,150.00) Equity, (File 333-145218 - Aug. 8)
(BR. 03A)
S-8 BANCORP RHODE ISLAND INC, ONE TURKS HEAD PLACE, PROVIDENCE, RI, 02903,
4014565015 - 75,000 ($2,628,000.00) Equity, (File 333-145219 - Aug. 8)
(BR. 07A)
S-3 CITIBANK SOUTH DAKOTA N A, 425 PARK AVE., 2ND FLOOR, NEW YORK, NY,
10043, 6053312626 - 0 ($1,000,000.00) Non-Convertible Debt,
(File 333-145220 - Aug. 8) (BR. 05D)
S-8 GEORESOURCES INC, 1407 W DAKOTA PKWY, WILLISTON, ND, 58801,
7015722020 - 0 ($12,760,000.00) Equity, (File 333-145221 - Aug. 8)
(BR. 04B)
S-3 CENTERPOINT ENERGY RESOURCES CORP, 1111 LOUISIANA ST, HOUSTON, TX,
77002, 7132073000 - 0 ($900,000,000.00) Non-Convertible Debt,
(File 333-145223 - Aug. 8) (BR. 02C)
S-8 Voltaire Ltd., 9 HAMENOFIM STREET BUILDING A, HERZELIYA, L3, 46725,
972 (9) 971-7666 - 0 ($10,488,778.00) Equity, (File 333-145224 -
Aug. 8) (BR. 03)
SB-2 AMERIWEST MINERALS CORP., 5135 CAMINO AL NORTE RD., SUITE 250,
NORTH LAS VEGAS, NV, 89031, 702 974 0677 -
3,250,000 ($65,000.00) Equity, (File 333-145225 - Aug. 8) (BR. 04)
S-8 METABOLIX, INC., 21 ERIE ST., CAMBRIDGE, MA, 02139, 617-492-0505 -
0 ($8,767,149.62) Equity, (File 333-145232 - Aug. 8) (BR. 06C)
S-8 3DICON CORP, 7507 S SANDUSKY, TULSA, OK, 74136, 918-492-5802 -
15,000,000 ($11,400,000.00) Equity, (File 333-145234 - Aug. 8) (BR. 11C)
S-8 ENBRIDGE INC, 3000 425 - 1ST STREET SW, CALGARY ALBERTA CANA, A0,
T2P 3L8, 4032313900 - 4,000,000 ($138,880,000.00) Equity,
(File 333-145236 - Aug. 8) (BR. 04B)
S-8 PROS Holdings, Inc., 3100 MAIN STREET, SUITE 900, HOUSTON, TX, 77002,
713-335-5151 - 0 ($15,312,470.00) Equity, (File 333-145237 - Aug. 8)
(BR. 03C)
S-8 OM GROUP INC, 1500 KEY TOWER, 127 PUBLIC SQUARE, CLEVELAND, OH, 44114,
2167810083 - 3,000,000 ($123,660,000.00) Equity, (File 333-145238 -
Aug. 8) (BR. 06C)
S-8 Neuro-Hitech, Inc., ONE PENN PLAZA, SUITE 2514, NEW YORK, NY, 10119,
212-798-8100 - 2,750,000 ($13,214,495.00) Equity, (File 333-145241 -
Aug. 8) (BR. 01B)
S-8 DOT HILL SYSTEMS CORP, 6305 EL CAMINO REAL, CARLSBAD, CA, 92009,
2129894455 - 0 ($3,938,000.00) Equity, (File 333-145242 - Aug. 8)
(BR. 03B)
S-8 Altus Pharmaceuticals Inc., 125 SIDNEY STREET, CAMBRIDGE, MA, 02139,
617-299-2900 - 908,051 ($11,581,453.79) Equity, (File 333-145243 -
Aug. 8) (BR. 01C)
S-8 DURECT CORP, 10240 BUBB RD, CUPERTINO, CA, 95014, 4087771417 -
2,475,000 ($10,275,750.00) Equity, (File 333-145244 - Aug. 8) (BR. 01A)
S-8 XCORPOREAL, INC., 11150 SANTA MONICA BOULEVARD, SUITE 340, LOS ANGELES,
CA, 90025, 310-484-5668 - 3,900,000 ($21,702,000.00) Equity,
(File 333-145245 - Aug. 8) (BR. 10A)
S-8 IMMERSION CORP, 801 FOX LANE, SAN JOSE, CA, 95131, 4084671900 -
3,303,232 ($52,587,453.44) Equity, (File 333-145246 - Aug. 8) (BR. 03B)
S-3 PLANETOUT INC, 0 ($38,274,783.12) Equity, (File 333-145247 - Aug. 8)
(BR. 08A)
S-8 TECHTEAM GLOBAL INC, 27335 W. ELEVEN MILE ROAD, SOUTHFIELD, MI, 48034,
248-357-2866 - 0 ($25,208,000.00) Equity, (File 333-145248 - Aug. 8)
(BR. 03A)
S-3ASR INVERNESS MEDICAL INNOVATIONS INC, 51 SAWYER ROAD, SUITE 200, WALTHAM,
MA, 02453, 7816473900 -
0 ($150,000,000.00) Debt Convertible into Equity,
587,985 ($27,282,504.00) Equity, (File 333-145249 - Aug. 8) (BR. 01A)
S-3ASR Deerfield Triarc Capital Corp, 6250 NORTH RIVER ROAD, ROSEMONT, IL,
60018, 773-380-1600 - 9,964,884 ($70,003,310.00) Equity,
(File 333-145250 - Aug. 8) (BR. 08B)
S-3 Hughes Communications, Inc., 11717 EXPLORATION LANE, GERMANTOWN, MD,
20876, 301-428-5500 -
0 ($300,000,000.00) Unallocated (Universal) Shelf, (File 333-145251 -
Aug. 8) (BR. 11C)
S-8 DCT Industrial Trust Inc., 518 SEVENTEENTH STREET, DENVER, CO, 80202,
3038694700 - 421,000 ($4,710,990.00) Equity, (File 333-145252 - Aug. 8)
(BR. 08A)
S-3ASR DCT Industrial Trust Inc., 518 SEVENTEENTH STREET, DENVER, CO, 80202,
3038694700 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-145253 - Aug. 8) (BR. 08A)
S-1 ALLEGRO MICROSYSTEMS INC, 115 NORTHEAST CUTOFF, WORCESTER, MA, 01606,
508-853-5000 - 0 ($115,000,000.00) Equity, (File 333-145254 - Aug. 8)
(BR. )
S-1 BANCTEC INC, 2701 E GRAUWYLER RD, IRVING, TX, 75061, 9725796000 -
0 ($372,600,000.00) Equity, (File 333-145255 - Aug. 8) (BR. 03C)
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 8K ITEM NO.
NAME OF ISSUER CODE DATE COMMENT
1 800 FLOWERS COM INC DE 2.02,9.01 08/08/07
ABRAXAS PETROLEUM CORP NV 7.01,9.01 08/08/07
ACUSPHERE INC DE 2.02,9.01 08/08/07
ADA-ES INC CO 2.02,9.01 08/08/07
ADAMS GOLF INC DE 2.02,9.01 08/08/07
ADVOCAT INC DE 2.02,9.01 08/08/07
AECOM TECHNOLOGY CORP DE 2.02,9.01 08/08/07
AGL RESOURCES INC GA 5.02,9.01 08/06/07
AHERN RENTALS INC 8.01,9.01 08/08/07
AIRSPAN NETWORKS INC WA 2.02,9.01 08/08/07
Aleris International, Inc. DE 1.01,5.02,7.01,9.01 08/08/07
ALESCO FINANCIAL INC 2.02,9.01 08/07/07
ALLEGHANY CORP /DE DE 2.02,9.01 08/07/07
ALLIANCE DATA SYSTEMS CORP DE 8.01,9.01 08/08/07
ALLIED CAPITAL CORP MD 2.02,9.01 08/08/07
ALLIED MOTION TECHNOLOGIES INC CO 1.01,9.01 05/07/07 AMEND
ALLIED WORLD ASSURANCE CO HOLDINGS LT 2.02,9.01 08/07/07
ALLION HEALTHCARE INC DE 2.02 06/30/07
Allis Chalmers Energy Inc. DE 2.02,7.01,9.01 08/08/07
ALR TECHNOLOGIES INC 7.01 08/08/07
Alternative Asset Management Acquisit DE 8.01,9.01 08/07/07
AMEDISYS INC DE 1.01 08/02/07
AMERICA FIRST APARTMENT INVESTORS INC MD 2.02,8.01,9.01 08/08/07
AMERICAN ENTERPRISE DEVELOPMENT CORP TX 1.01,9.01 03/31/06 AMEND
AMERICAN INTERNATIONAL GROUP INC DE 2.02,9.01 08/08/07
AMERICAN LEISURE HOLDINGS, INC. NV 1.01,9.01 06/29/07
AMERICAN MORTGAGE ACCEPTANCE CO MA 2.02,9.01 08/08/07
AMERICAN REAL ESTATE PARTNERS L P DE 8.01 08/07/07
AMERICAN REAL ESTATE PARTNERS L P DE 2.02,9.01 08/07/07
American Reprographics CO DE 2.02,9.01 08/08/07
AMERICAN RIVER BANKSHARES CA 7.01,9.01 08/08/07
AMERICAN SHARED HOSPITAL SERVICES CA 2.02,9.01 08/08/07
AMERICAN WAGERING INC NV 1.01,5.02,9.01 08/06/07
AMERICREDIT CORP TX 2.02,9.01 08/08/07
AMPEX CORP /DE/ DE 2.02,9.01 08/06/07
AMREIT TX 2.02,9.01 08/07/07
ANTHRACITE CAPITAL INC MD 2.02,8.01,9.01 08/08/07
APAC CUSTOMER SERVICE INC IL 7.01,9.01 08/06/07
APCO ARGENTINA INC/NEW 2.02,9.01 08/07/07
APOLLO GROUP INC AZ 7.01,9.01 08/08/07
APTIMUS INC WA 1.01,2.02,3.03,9.01 08/07/07
ARBINET THEXCHANGE INC DE 2.02,9.01 08/08/07
ARC WIRELESS SOLUTIONS INC UT 5.02,9.01 08/08/07
Argo Group International Holdings, Lt 2.01,3.01,3.03,4.01,5.01,5.02, 08/06/07
5.03,9.01
ART TECHNOLOGY GROUP INC DE 7.01,9.01 08/07/07
ARTISTDIRECT INC DE 1.01,9.01 08/03/07
ASIA PAYMENT SYSTEMS INC NV 4.02 08/08/07
ATEL CAPITAL EQUIPMENT FUND VII LP CA 4.01,9.01 02/05/07 AMEND
ATLAS AIR WORLDWIDE HOLDINGS INC DE 2.02,9.01 08/08/07
ATLAS AMERICA INC DE 2.02,9.01 08/07/07
Authorize.Net Holdings, Inc. DE 8.01,9.01 08/08/07
AVALON PHARMACEUTICALS INC 2.02,9.01 08/08/07
AVANIR PHARMACEUTICALS CA 2.01,2.02,5.02,9.01 08/03/07
Avantair, Inc DE 9.01 03/21/07 AMEND
AVIS BUDGET GROUP, INC. DE 2.02,9.01 08/07/07
AVNET INC NY 2.02,9.01 08/08/07
BALLANTYNE OF OMAHA INC DE 2.02,9.01 08/07/07
Bank of New York Mellon CORP 9.01 06/29/07 AMEND
BARR PHARMACEUTICALS INC DE 2.02,9.01 08/08/07
BAUSCH & LOMB INC NY 2.02,9.01 08/08/07
BEACON POWER CORP DE 2.02,9.01 08/07/07
BEARINGPOINT INC DE 5.02,5.03,9.01 08/02/07
BEMIS CO INC MO 5.02 08/02/07
BENIHANA INC DE 5.02 06/30/07
BEST BUY CO INC MN 7.01 08/08/07
BIO IMAGING TECHNOLOGIES INC DE 2.02,9.01 08/08/07
BIOLASE TECHNOLOGY INC DE 2.02 08/07/07
BioMed Realty Trust Inc MD 2.02,7.01,9.01 08/07/07 AMEND
BLACKSANDS PETROLEUM, INC. NV 1.01,2.01,3.02,4.01,5.01,5.02, 08/03/07
5.06,9.01
BLUEFLY INC DE 2.02,9.01 08/08/07
BON TON STORES INC PA 5.02,9.01 08/08/07
BOTTLING GROUP LLC DE 2.05 08/08/07
BOTTOMLINE TECHNOLOGIES INC /DE/ DE 2.02,9.01 08/08/07
BPI Energy Holdings, Inc. 8.01,9.01 08/08/07
BRAVO! BRANDS INC. DE 8.01 08/07/07
BRIGHAM EXPLORATION CO DE 7.01 08/07/07
BROADRIDGE FINANCIAL SOLUTIONS, INC. DE 5.02,5.05,8.01,9.01 08/02/07
BROCADE COMMUNICATIONS SYSTEMS INC DE 2.02,9.01 08/08/07
Brookdale Senior Living Inc. DE 2.02,9.01 08/08/07
BRUSH ENGINEERED MATERIALS INC 7.01,9.01 08/08/07
BUCYRUS INTERNATIONAL INC DE 9.01 08/02/07
CALGON CARBON CORPORATION DE 8.01 08/07/07
CALIFORNIA OIL & GAS CORP 3.02 08/07/07
Calumet Specialty Products Partners, DE 2.02,7.01,9.01 08/07/07
CAPITAL SENIOR LIVING CORP DE 2.02,9.01 08/07/07
CAPSTONE TURBINE CORP DE 2.02,9.01 08/08/07
CARAUSTAR INDUSTRIES INC NC 2.02,9.01 08/03/07
Cardiac Science CORP 5.02 08/02/07
CAREER EDUCATION CORP DE 2.02,9.01 08/08/07
CARRIZO OIL & GAS INC TX 2.02,9.01 08/08/07
CATUITY INC DE 3.01 08/02/07
Celanese CORP DE 7.01,8.01,9.01 08/08/07
CELL THERAPEUTICS INC WA 2.02,9.01 08/08/07
Centerplate, Inc. DE 2.02,9.01 08/08/07
CENTRAL GARDEN & PET CO DE 2.02,9.01 08/08/07
CENTRAL VERMONT PUBLIC SERVICE CORP VT 2.02,7.01,9.01 08/08/07
CF Industries Holdings, Inc. DE 7.01 08/08/07
CHARMING SHOPPES INC PA 7.01,9.01 08/08/07
CHEMED CORP DE 8.01,9.01 08/08/07
CHEMED CORP DE 8.01,9.01 08/08/07
CHESAPEAKE CORP /VA/ VA 2.02,9.01 08/08/07
CHESAPEAKE UTILITIES CORP DE 2.02,9.01 08/07/07
CHICOS FAS INC FL 8.01,9.01 08/08/07
China Direct, Inc DE 2.02,9.01 08/08/07
China Natural Gas, Inc. DE 1.01,3.02,9.01 08/02/07
CHINA ORGANIC AGRICULTURE, INC. 1.01,7.01,9.01 07/10/07
CHINDEX INTERNATIONAL INC DE 2.02,7.01,9.01 08/08/07
CHL Mortgage Pass-Through Trust 2007- DE 8.01,9.01 07/31/07
CHYRON CORP NY 2.02,9.01 08/08/07
CISCO SYSTEMS INC CA 5.02 08/06/07
CIT GROUP INC DE 8.01,9.01 08/07/07
Citi Trends Inc 2.02,9.01 08/08/07
CITIGROUP INC DE 8.01,9.01 08/08/07
CITY NATIONAL CORP DE 8.01 08/07/07
CLARUS CORP DE 2.02,9.01 08/08/07
CLEAN HARBORS INC MA 2.02,9.01 08/08/07
CNB CORP /SC/ SC 2.02,9.01 07/30/07
COLONIAL BANCGROUP INC DE 7.01,9.01 08/08/07
COMPASS BANCSHARES INC DE 8.01,9.01 08/08/07
COMPUDYNE CORP NV 1.01,8.01,9.01 08/06/07
COMPUDYNE CORP NV 2.02,9.01 08/07/07
CONCHO RESOURCES INC DE 1.01,5.02,5.03,7.01,9.01 08/02/07
CONSOLIDATED EDISON INC NY 2.02,9.01 08/02/07
Constellation Energy Partners LLC DE 2.02,9.01 08/08/07
CONTINENTAL RESOURCES INC OK 2.02,7.01,9.01 08/06/07
Copano Energy, L.L.C. DE 2.02,9.01 06/30/07
Core-Mark Holding Company, Inc. DE 2.02,9.01 08/08/07
CORVEL CORP DE 2.02,9.01 08/08/07
COSI INC DE 2.02,9.01 08/08/07
COUNTERPATH SOLUTIONS, INC. NV 1.01,2.01,3.02,5.02,9.01 08/02/07
CPS TECHNOLOGIES CORP/DE/ DE 9.01 06/30/07
CREDITRISKMONITOR COM INC NV 2.02,9.01 08/08/07
CREDO PETROLEUM CORP CO 8.01,9.01 08/06/07
CRITICAL THERAPEUTICS INC DE 2.02,9.01 08/08/07
CROWN MEDIA HOLDINGS INC DE 2.02,9.01 08/08/07
Crystal River Capital, Inc. MD 8.01,9.01 08/07/07
CSP INC /MA/ MA 2.02,9.01 08/07/07
CSS INDUSTRIES INC DE 5.03,9.01 08/02/07
CUMULUS MEDIA INC DE 2.02,9.01 08/08/07
CVD EQUIPMENT CORP NY 3.01,9.01 08/06/07
CWABS Asset-Backed Certificates Trust DE 8.01,9.01 06/29/07
CYGNE DESIGNS INC DE 1.01,3.02,8.01,9.01 08/03/07
CYTOGEN CORP DE 2.02,9.01 08/08/07
CYTOMEDIX INC DE 3.02 08/03/07
DATATRAK INTERNATIONAL INC OH 5.02 08/02/07
DAWSON GEOPHYSICAL CO TX 7.01,9.01 08/08/07
DCT Industrial Trust Inc. MD 2.02,9.01 08/08/07
DEBT RESOLVE INC DE 1.01,9.01 07/30/07
DEERE & CO DE 7.01 08/08/07
Deerfield Triarc Capital Corp MD 2.02,8.01,9.01 08/07/07
Deerfield Triarc Capital Corp MD 7.01 04/20/07 AMEND
Deerfield Triarc Capital Corp MD 7.01 04/20/07 AMEND
Deerfield Triarc Capital Corp MD 7.01 06/07/07 AMEND
DELL INC DE 5.02,8.01,9.01 08/03/07
DELPHI CORP DE 2.02,9.01 08/08/07
DELPHI FINANCIAL GROUP INC/DE DE 5.02 08/02/07
DELTA PETROLEUM CORP/CO CO 2.02,9.01 08/08/07
DELTIC TIMBER CORP DE 1.01,2.03,9.01 08/08/07
DENNYS CORP DE 5.02 08/03/07
DIGITAL ALLY INC 2.02,9.01 08/06/07
Digital Realty Trust, Inc. MD 2.02,7.01,9.01 08/07/07
DIGITAL VIDEO SYSTEMS INC DE 8.01 08/08/07
DIGUANG INTERNATIONAL DEVELOPMENT CO. NV 5.02 08/08/07
Discovery Holding CO DE 2.02 08/08/07
DIXIE GROUP INC TN 7.01,9.01 08/08/07
DNAPRINT GENOMICS INC UT 1.01,9.01 07/24/07
DOUBLE EAGLE PETROLEUM CO MD 7.01,9.01 08/08/07
DOVER CORP DE 8.01 08/02/07
DreamWorks Animation SKG, Inc. 1.01,8.01,9.01 08/05/07
DURA AUTOMOTIVE SYSTEMS INC DE 8.01 08/02/07
DYNEGY INC. DE 8.01 08/08/07
DYNTEK INC DE 2.02,9.01 08/07/07
Eagle Bulk Shipping Inc. 2.02,9.01 08/07/07
Eagle Hospitality Properties Trust, I MD 8.01,9.01 08/08/07
EDGE PETROLEUM CORP DE 2.02 08/07/07
EL CAPITAN PRECIOUS METALS INC NV 8.01,9.01 08/08/07
Elite Artz, Inc NV 1.02,9.01 08/07/07
ELOYALTY CORP DE 7.01,9.01 08/08/07
ELOYALTY CORP DE 2.02,9.01 08/08/07
EMAGEON INC 2.02,9.01 08/08/07
ENCORE CAPITAL GROUP INC DE 2.02,9.01 08/08/07
ENDEAVOUR INTERNATIONAL CORP NV 2.02,9.01 08/08/07
ENDOCARE INC DE 5.02,9.01 08/06/07
ENERGY PARTNERS LTD DE 2.02 08/08/07
EnerSys DE 2.02,9.01 08/08/07
ENTREMED INC DE 2.02,9.01 08/08/07
EQUICAP INC CA 9.01 07/06/07 AMEND
EQUITY ONE, INC. 2.02,7.01,9.01 08/07/07
ERIE INDEMNITY CO PA 8.01,9.01 08/08/07
Ever-Glory International Group, Inc. FL 1.01,2.03,3.02 08/02/07
EVOLVING SYSTEMS INC DE 2.02,5.01,8.01,9.01 08/07/07
ExlService Holdings, Inc. DE 2.02,9.01 08/08/07
Expedia, Inc. 1.01,9.01 08/07/07
EXPEDITORS INTERNATIONAL OF WASHINGTO WA 2.02,7.01,9.01 08/07/07
EXPRESSJET HOLDINGS INC DE 2.02,9.01 06/30/07
F5 NETWORKS INC WA 1.01,9.01 08/06/07
FARO TECHNOLOGIES INC FL 8.01,9.01 08/07/07
Federal Home Loan Bank of Pittsburgh PA 2.02,9.01 08/08/07
FERRO CORP OH 2.02,9.01 08/08/07
FIELDPOINT PETROLEUM CORP CO 2.01,9.01 08/02/07
FIFTH THIRD BANCORP OH 8.01,9.01 08/08/07
FILTERING ASSOCIATES INC NV 1.01,9.01 05/31/07 AMEND
FINANCIAL SECURITY ASSURANCE HOLDINGS NY 2.02,9.01 08/08/07
FIRST ALBANY COMPANIES INC NY 2.02,9.01 06/30/07
FIRST BANCORP /PR/ PR 8.01,9.01 08/07/07
FIRST INDIANA CORP IN 2.02,9.01 08/07/07
FIRST MONTAUK FINANCIAL CORP NJ 8.01,9.01 08/08/07
FISCHER IMAGING CORP DE 8.01 07/24/07
FISHER COMMUNICATIONS INC WA 1.01,9.01 08/03/07
FOAMEX INTERNATIONAL INC DE 5.02,8.01,9.01 08/06/07
FOLDERA, INC 5.02 08/02/07
FOREST OIL CORP NY 2.02,7.01,9.01 08/07/07
Fortress International Group, Inc. DE 5.02,9.01 08/06/07
FOSTER WHEELER LTD D0 2.02,9.01 08/08/07
FOSTER WHEELER LTD D0 5.02 08/06/07
FOXHOLLOW TECHNOLOGIES, INC. DE 2.02,9.01 08/08/07
FRONTIER OIL CORP /NEW/ WY 2.02,9.01 08/08/07
Fuel Systems Solutions, Inc. DE 7.01,9.01 08/07/07
G REIT INC MD 2.01,7.01,9.01 08/02/07
GENSYM CORP DE 5.02 08/03/07
GENSYM CORP DE 2.02,9.01 08/08/07
GENTEK INC DE 5.03,7.01 08/07/07
GETTY REALTY CORP /MD/ MD 2.02,9.01 08/07/07
GEVITY HR INC FL 7.01 08/08/07
GLOBAL PARTNERS LP 2.02,7.01,9.01 08/08/07
GOLDEN OVAL EGGS LLC DE 5.02,9.01 08/02/07
GOLDEN STAR RESOURCES LTD 2.02,9.01 08/07/07
GOLF TRUST OF AMERICA INC MD 8.01 08/07/07
GP STRATEGIES CORP DE 2.02,9.01 08/08/07
GREAT ATLANTIC & PACIFIC TEA CO INC MD 8.01 08/08/07
Great Lakes Dredge & Dock CORP DE 2.02,9.01 08/08/07
Great Wolf Resorts, Inc. DE 2.02,9.01 08/07/07
GREATBATCH, INC. DE 2.01,9.01 06/06/07 AMEND
GREEN PLAINS RENEWABLE ENERGY, INC. IA 7.01,9.01 08/08/07
GREENFIELD ONLINE INC DE 2.02,9.01 08/08/07
GREENSHIFT CORP DE 4.02 07/26/07
GRILL CONCEPTS INC DE 4.02 08/06/07
GS CARBON CORP DE 4.02 07/26/07
GuangZhou Global Telecom, Inc. FL 1.01,2.03,3.02,9.01 08/06/07 AMEND
GULF ISLAND FABRICATION INC LA 8.01,9.01 08/08/07
H3 ENTERPRISES INC FL 8.01 08/07/07
HABER INC DE 8.01,9.01 08/07/07
HAEMONETICS CORP MA 5.02 08/06/07
HANSEN NATURAL CORP DE 8.01,9.01 08/07/07
HANSEN NATURAL CORP DE 2.02,9.01 06/30/07
HARRINGTON WEST FINANCIAL GROUP INC/C 7.01,9.01 08/08/07
HAYNES INTERNATIONAL INC DE 2.02,9.01 08/06/07
HCC INSURANCE HOLDINGS INC/DE/ DE 2.02 08/07/07
HEALTH BENEFITS DIRECT CORP DE 5.02 08/02/07
HEALTHSOUTH CORP DE 2.02,9.01 08/08/07
HECLA MINING CO/DE/ DE 2.02,9.01 08/08/07
Helios & Matheson North America Inc. NY 2.02,9.01 08/08/07
HERCULES OFFSHORE, INC. DE 4.01,9.01 08/03/07
HERITAGE COMMERCE CORP CA 2.02,8.01,9.01 06/30/07
HERZFELD CARIBBEAN BASIN FUND INC MD 3.01,5.02,9.01 07/31/07
HEXION SPECIALTY CHEMICALS, INC. NJ 1.01,2.03,7.01,9.01 08/07/07
Hi-Tech Wealth Inc. NV 2.03,9.01 08/02/07
HILLMAN COMPANIES INC DE 3.01,9.01 08/03/07
Hilltop Holdings Inc. MD 2.02,7.01,9.01 08/08/07
HMS HOLDINGS CORP 5.02 08/07/07
HMS HOLDINGS CORP 2.02,7.01,9.01 08/03/07
HOME SOLUTIONS OF AMERICA INC DE 7.01,9.01 08/08/07
Hometown Bancorp,Inc. X1 2.02,9.01 08/06/07
HOSPIRA INC DE 2.02,9.01 08/08/07
HOT TOPIC INC /CA/ CA 2.02,9.01 08/08/07
HYPERCOM CORP DE 5.02 08/01/07 AMEND
I2 TECHNOLOGIES INC DE 1.01,1.02,9.01 08/06/07
ICONIX BRAND GROUP, INC. DE 2.02,9.01 08/07/07
IMATION CORP DE 5.02 08/02/07
IMPAX LABORATORIES INC DE 7.01,9.01 08/08/07
IMPERIAL CAPITAL BANCORP, INC. CA 2.02,9.01 08/06/07
IMPERIAL INDUSTRIES INC DE 2.02,7.01,9.01 08/08/07
INDUSTRIAL SERVICES OF AMERICA INC /F FL 1.01,2.01,3.02,5.02,9.01 08/02/07
INERGY HOLDINGS, L.P. 2.02,7.01,9.01 08/08/07
INERGY L P DE 2.02,7.01,9.01 08/08/07
INFINITY CAPITAL GROUP, INC. NV 5.02 08/02/07
INFOSPACE INC DE 2.02,9.01 08/08/07
INNERWORKINGS INC 2.02,9.01 08/08/07
INPUT OUTPUT INC DE 2.02,9.01 08/08/07
INSIGHTFUL CORP DE 2.01,9.01 08/02/07
INSITE VISION INC DE 2.02,9.01 08/08/07
INSPIRE PHARMACEUTICALS INC DE 2.02,9.01 08/08/07
INTEGRAL SYSTEMS INC /MD/ MD 2.02,9.01 08/07/07
INTEGRAMED AMERICA INC DE 1.01,2.01,2.03,5.02,9.01 08/08/07
INTEGRYS ENERGY GROUP, INC. WI 2.02,9.01 08/08/07
INTER PARFUMS INC DE 2.02,7.01,8.01,9.01 08/08/07
InterDigital, Inc. PA 2.02,9.01 08/08/07
INTERSECTIONS INC DE 1.01,2.01,9.01 08/08/07
INTERSTATE HOTELS & RESORTS INC DE 2.02,9.01 08/08/07
INTEVAC INC CA 7.01,9.01 08/08/07
INTRICON CORP PA 2.01,9.01 05/22/07 AMEND
INVENTIV HEALTH INC DE 2.02,9.01 08/08/07
INVERNESS MEDICAL INNOVATIONS INC DE 8.01,9.01 08/08/07
INVESTMENT TECHNOLOGY GROUP INC DE 8.01,9.01 08/08/07
IOMED INC UT 8.01,9.01 08/08/07
IOWA TELECOMMUNICATIONS SERVICES INC IA 2.02,9.01 08/08/07
IPASS INC DE 2.02,9.01 06/30/07
iPCS, INC DE 5.02,9.01 08/08/07
IRIS INTERNATIONAL INC DE 5.02,9.01 08/06/07
ISIS PHARMACEUTICALS INC DE 2.02,9.01 08/08/07
ISLE OF CAPRI CASINOS INC DE 2.02,9.01 04/29/07
J P MORGAN CHASE & CO DE 9.01 08/06/07
J&J SNACK FOODS CORP NJ 8.01,9.01 08/08/07
J2 GLOBAL COMMUNICATIONS INC DE 7.01 08/07/07
J2 GLOBAL COMMUNICATIONS INC DE 7.01 08/08/07
JACK IN THE BOX INC /NEW/ DE 2.02,9.01 08/08/07
JACOBS ENTERTAINMENT INC DE 2.02,9.01 08/07/07
James River Coal CO VA 1.01,2.02,8.01,9.01 08/08/07
Jayhawk Energy, Inc. CO 7.01,9.01 08/07/07
JER Investors Trust Inc 2.02,9.01 08/07/07
JK Acquisition Corp. 2.03,7.01,9.01 08/08/07
KAPSTONE PAPER & PACKAGING CORP DE 2.02,9.01 08/08/07
KELLY SERVICES INC DE 8.01,9.01 08/08/07
KIMBERLY CLARK CORP DE 5.02 08/08/07
KINDRED HEALTHCARE, INC DE 2.02,7.01,9.01 08/07/07
KITE REALTY GROUP TRUST MD 2.02,9.01 08/08/07
KNBT BANCORP INC PA 7.01,9.01 08/08/07
KNOLOGY INC DE 2.02,9.01 08/07/07
KNOT INC DE 2.02,9.01 08/08/07
KYTO BIOPHARMA INC FL 5.02 07/27/07
LAIDLAW INTERNATIONAL INC DE 8.01,9.01 08/08/07
LAMAR ADVERTISING CO/NEW DE 2.02,9.01 08/08/07
LANDEC CORP \CA\ CA 8.01,9.01 08/06/07
LEGACY RESERVES L P 2.02,9.01 08/08/07
LEHMAN ABS CORP CORP BACK TR AIG DEBE DE 8.01,9.01 08/01/07
LEHMAN BROTHERS HOLDINGS INC DE 9.01 08/02/07
Lehman XS Trust Series 2007-15N DE 1.03 08/06/07
Lehman XS Trust Series 2007-7N DE 1.03 08/06/07
LENOX GROUP INC DE 2.02,9.01 08/07/07
LEUCADIA NATIONAL CORP NY 8.01,9.01 08/08/07
LIBERTY MEDIA CORP 2.02,8.01,9.01 08/08/07
LIGAND PHARMACEUTICALS INC DE 2.02,9.01 08/08/07
LTX CORP MA 2.02,9.01 08/08/07
lululemon athletica inc. DE 5.03,9.01 08/02/07
LUMINENT MORTGAGE CAPITAL INC 7.01,9.01 08/07/07
LUNA INNOVATIONS INC 2.02,9.01 08/08/07
M45 Mining Resources, Inc. NV 4.01,9.01 07/22/07 AMEND
Maidenform Brands, Inc. DE 2.02,9.01 08/07/07
MAN SANG HOLDINGS INC NV 8.01,9.01 06/28/07
MARLIN BUSINESS SERVICES CORP 2.02 08/07/07
MATRIX SERVICE CO DE 5.02 08/02/07
MAX ENTERTAINMENT HOLDINGS, INC. DE 4.01 07/31/07
MAXIM INTEGRATED PRODUCTS INC DE 5.02 08/06/07
MCDONALDS CORP DE 7.01,9.01 08/08/07
MEDALLION FINANCIAL CORP DE 2.02,9.01 08/07/07
MEDICAL STAFFING NETWORK HOLDINGS INC DE 2.05 08/07/07
MEDICAL STAFFING NETWORK HOLDINGS INC DE 2.02,9.01 08/08/07
MEDIS TECHNOLOGIES LTD DE 2.02,9.01 08/08/07
MERCER INTERNATIONAL INC. WA 2.02,9.01 06/30/07
MERIDIAN RESOURCE CORP TX 2.02 08/08/07
Merrill Lynch Alternative Note Asset DE 6.02,9.01 07/01/07
METRETEK TECHNOLOGIES INC DE 2.02,9.01 08/08/07
METRETEK TECHNOLOGIES INC DE 3.01,5.03,9.01 08/06/07
MICROFINANCIAL INC MA 1.01,9.01 08/02/07
MICROMET, INC. DE 2.02,9.01 08/08/07
MIDDLEBY CORP DE 2.02,9.01 08/07/07
MINE SAFETY APPLIANCES CO PA 2.02,9.01 08/07/07
MIRANT CORP DE 8.01,9.01 08/06/07
MIVA, INC. DE 2.02,9.01 08/06/07
Modigene Inc. 5.02,9.01 08/07/07
MSC SOFTWARE CORP DE 2.02,9.01 08/08/07 AMEND
NANOGEN INC DE 2.02,9.01 08/08/07
NANOMETRICS INC DE 1.01,5.02,9.01 08/06/07
NASTECH PHARMACEUTICAL CO INC DE 2.02,9.01 08/08/07
NATIONAL ENERGY GROUP INC DE 2.02,9.01 08/08/07
NATIONAL FUEL GAS CO NJ 8.01,9.01 08/07/07
NATIONAL HEALTH INVESTORS INC MD 8.01 08/06/07
NATIONAL HEALTHCARE CORP DE 2.02,9.01 06/30/07
NATIONAL RESEARCH CORP WI 2.02,9.01 08/07/07
NATIONAL WESTERN LIFE INSURANCE CO CO 2.02,9.01 06/30/07
NATROL INC DE 9.01 08/08/07 AMEND
NaturalNano , Inc. NV 9.01 11/29/05 AMEND
NAVIGANT CONSULTING INC DE 5.02,9.01 08/06/07
Neenah Paper Inc DE 2.02,9.01 08/08/07
NEKTAR THERAPEUTICS DE 2.02,9.01 08/08/07
NEOMAGIC CORP DE 5.02 08/06/07
NeurogesX Inc CA 2.02,9.01 08/08/07
NEW FRONTIER MEDIA INC CO 1.02,2.02,5.02,9.01 08/08/07
NEW WORLD BRANDS INC DE 5.02 08/01/07
NEWS CORP 2.02,9.01 08/08/07
NewStar Financial, Inc. 2.02,9.01 08/08/07
NexCen Brands, Inc. DE 1.01,2.01,3.02,8.01,9.01 08/07/07
NEXSTAR BROADCASTING GROUP INC DE 2.02,9.01 08/08/07
NNN Healthcare/Office REIT, Inc. MD 9.01 06/08/07 AMEND
No Borders, Inc. NV 8.01,9.01 08/03/07
Norcraft Holdings, L.P. DE 2.02,9.01 08/08/07
NORTHWESTERN CORP DE 2.02,8.01,9.01 08/08/07
NOVAVAX INC DE 5.03,9.01 08/02/07
NTN BUZZTIME INC DE 2.02,9.01 08/08/07
NU-MEX URANIUM CORP. NV 5.02 08/02/07
OHIO CASUALTY CORP OH 8.01,9.01 08/08/07
OHIO CASUALTY CORP OH 8.01,9.01 08/08/07
OHIO CASUALTY CORP OH 8.01,9.01 08/08/07 AMEND
Omrix Biopharmaceuticals, Inc. DE 2.02 08/08/07
ONVIA INC DE 2.02,9.01 08/07/07
OPNEXT INC 2.02,9.01 08/02/07
ORTHOLOGIC CORP DE 2.02 08/08/07
OTELCO INC. AL 2.02,9.01 08/08/07
OTTER TAIL CORP MN 2.02,9.01 08/06/07
PACER INTERNATIONAL INC TN 2.02,8.01,9.01 06/30/07
PALADIN REALTY INCOME PROPERTIES INC MD 1.01,9.01 08/02/07
PAM TRANSPORTATION SERVICES INC DE 5.02,5.03,8.01,9.01 08/02/07
PARALLEL PETROLEUM CORP DE 2.02,9.01 08/08/07
PARALLEL PETROLEUM CORP DE 7.01,9.01 08/08/07
Park Place Energy Corp. NV 2.01,3.02,4.01,5.01,5.02,5.06, 07/30/07 AMEND
9.01
PARKERVISION INC FL 2.02,9.01 08/08/07
PATHMARK STORES INC DE 8.01 08/07/07
PAULSON CAPITAL CORP OR 8.01,9.01 08/08/07
PEGASYSTEMS INC MA 2.02,9.01 08/07/07
PeopleSupport, Inc. DE 2.02,8.01,9.01 08/07/07
PEPCO HOLDINGS INC DE 8.01 08/07/07
PEPSI BOTTLING GROUP INC DE 2.05 08/08/07
PERRY ELLIS INTERNATIONAL INC FL 2.02,7.01,9.01 08/08/07
PETROHAWK ENERGY CORP DE 2.02,9.01 08/07/07
PETROLEUM DEVELOPMENT CORP NV 7.01,9.01 08/08/07
PHAR MOR INC PA 7.01 08/02/07
PHARMOS CORP NV 5.02,5.03,7.01,8.01 08/06/07
PHOENIX TECHNOLOGIES LTD DE 1.01 08/02/07
PHYSICIANS FORMULA HOLDINGS, INC. DE 5.02 08/06/07
PIONEER DRILLING CO TX 1.01,5.02,5.05,9.01 08/03/07
Platinum Research Organization, Inc. DE 4.01 08/03/07
POLO RALPH LAUREN CORP DE 2.02,9.01 08/08/07
POLYONE CORP 2.02,9.01 08/07/07
Polypore International, Inc. 2.02,9.01 08/07/07
PONIARD PHARMACEUTICALS, INC. WA 2.02,9.01 08/07/07
PORTLAND GENERAL ELECTRIC CO /OR/ OR 5.03,9.01 08/02/07
POTOMAC ELECTRIC POWER CO VA 8.01 08/07/07
PRICELINE COM INC DE 2.02,7.01,9.01 08/07/07
PRINCIPAL LIFE INSURANCE CO IA 9.01 08/03/07
PRINCIPAL LIFE INSURANCE CO IA 9.01 08/03/07
PROASSURANCE CORP DE 2.02,9.01 08/08/07
PROGENICS PHARMACEUTICALS INC DE 2.02,9.01 08/08/07
PROGRESS ENERGY INC NC 2.02,9.01 08/08/07
PROSPECT CAPITAL CORP MD 2.02,9.01 08/08/07
PS BUSINESS PARKS INC/CA CA 2.02,9.01 08/07/07
PS BUSINESS PARKS INC/CA CA 2.02,9.01 08/07/07
PUBLIC SERVICE CO OF COLORADO CO 8.01,9.01 08/08/07
PUREDEPTH, INC. CO 1.01,9.01 08/02/07
QUALITY DISTRIBUTION INC FL 1.01 08/02/07
QUALITY DISTRIBUTION INC FL 2.02,9.01 08/08/07
QUALITY SYSTEMS INC CA 2.02,9.01 08/06/07
QUICKSILVER RESOURCES INC DE 2.02,7.01,9.01 08/08/07
Quintana Maritime LTD 1T 2.02,9.01 08/07/07
Rackable Systems, Inc. DE 5.02 08/06/07
RAE SYSTEMS INC DE 2.02,9.01 08/06/07
RAIT Financial Trust MD 7.01,9.01 08/02/07
RAYONIER INC NC 5.02,7.01 08/06/07
REDWOOD TRUST INC MD 2.02,9.01 08/07/07
Regal Rock, Inc. NV 5.02 08/08/07
RENTRAK CORP OR 2.02,9.01 08/07/07
REPLIGEN CORP DE 2.02,9.01 08/08/07
Resource Capital Corp. MD 2.02,9.01 06/30/07
REVLON CONSUMER PRODUCTS CORP DE 7.01,9.01 08/08/07
REVLON INC /DE/ DE 2.02,9.01 08/08/07
Rockville Financial Inc. 8.01 08/08/07
ROTECH HEALTHCARE INC DE 4.02 08/07/07
ROYALTECH CORP. DE 5.02 08/08/07
RUBIOS RESTAURANTS INC DE 2.02,9.01 08/08/07
SALEM COMMUNICATIONS CORP /DE/ DE 8.01,9.01 08/07/07
SAMARITAN PHARMACEUTICALS INC NV 8.01,9.01 08/08/07
SANTARUS INC DE 8.01,9.01 08/07/07
SAUL CENTERS INC MD 2.02,9.01 08/08/07
SCOTTISH RE GROUP LTD E9 5.02 08/02/07
SEABOARD CORP /DE/ DE 2.02,8.01,9.01 08/08/07
SECURITY BANK CORP GA 1.02,8.01,9.01 08/07/07
SECURITY NATIONAL FINANCIAL CORP UT 2.01 07/16/07
SELECTICA INC DE 2.02,9.01 08/08/07
SEMCO ENERGY INC MI 2.02,9.01 08/08/07
SENECA FOODS CORP /NY/ NY 2.02,9.01 06/30/07
Sensata Technologies B.V. P7 2.02,9.01 08/08/07
SERVICE 1ST BANCORP CA 2.02,9.01 08/08/07
SERVICE CORPORATION INTERNATIONAL TX 2.02,9.01 08/07/07
SERVICE CORPORATION INTERNATIONAL TX 7.01,9.01 08/08/07
SFSB, Inc. X1 8.01,9.01 08/06/07
SGX PHARMACEUTICALS, INC. DE 2.02,9.01 08/08/07
SILGAN HOLDINGS INC DE 8.01,9.01 08/07/07
SKYWEST INC UT 2.02,9.01 08/08/07
SMALL BUSINESS CO DE 5.02 04/18/07
Solo Cup CO DE 5.02 08/03/07
SOUTH JERSEY INDUSTRIES INC NJ 2.02,7.01,9.01 06/30/07
SPECIALIZED HEALTH PRODUCTS INTERNATI DE 2.02,9.01 08/08/07
SPORTSNUTS INC DE 5.02 08/08/07
SPRINT NEXTEL CORP KS 2.02,9.01 08/08/07
SRA INTERNATIONAL INC DE 2.02,5.02,9.01 08/06/07
ST MARY LAND & EXPLORATION CO DE 1.01 08/08/07
STATION CASINOS INC NV 2.02,9.01 08/08/07
Sterling Mining CO ID 3.02,8.01,9.01 08/02/07
STRATEGIC HOTELS & RESORTS, INC 2.02,9.01 08/02/07
Sucampo Pharmaceuticals, Inc. 5.03,9.01 08/07/07
Sun Cal Energy , Inc. NV 3.02 06/29/07
SUN HYDRAULICS CORP FL 2.02,9.01 08/07/07
SUN-TIMES MEDIA GROUP INC DE 2.02,9.01 08/08/07
Sunstone Hotel Investors, Inc. MD 2.02,9.01 08/08/07
Superior Well Services, INC DE 2.02,9.01 08/08/07
Surfect Holdings, Inc NV 1.01,2.03,9.01 04/05/07
Swank, Inc. DE 2.02,9.01 08/08/07
SYDYS CORP NV 5.02 08/02/07
SYMMETRICOM INC DE 2.02,4.02,9.01 08/06/07
SYNERGX SYSTEMS INC DE 5.02 08/03/07
SYNTEC BIOFUEL INC WA 2.03 08/01/07
SYNTHETECH INC OR 2.02,9.01 08/08/07
TANDY LEATHER FACTORY INC DE 2.02,9.01 08/07/07
TELIK INC DE 2.02,9.01 08/08/07
TENNECO INC DE 8.01 08/08/07
Tennessee Valley Authority 5.02,9.01 08/03/07
TETRA TECHNOLOGIES INC DE 5.02,9.01 08/02/07
THERMADYNE HOLDINGS CORP /DE DE 2.02,4.02,8.01,9.01 08/07/07
THESTREET COM DE 1.01,2.01,3.02,9.01 08/02/07
THINK PARTNERSHIP INC NV 2.02,8.01,9.01 08/06/07
THINKENGINE NETWORKS, INC. 2.02,9.01 08/08/07
THOMAS PROPERTIES GROUP INC DE 2.02,9.01 08/08/07
TIB FINANCIAL CORP. FL 8.01,9.01 08/06/07
TIME WARNER TELECOM INC DE 2.02,9.01 08/07/07
TITANIUM METALS CORP DE 2.02,7.01,9.01 08/07/07
TNS INC 5.02,9.01 08/08/07
TOLL BROTHERS INC DE 2.02,9.01 08/08/07
TOPPS CO INC DE 8.01,9.01 08/08/07
TOWER AUTOMOTIVE INC DE 2.01,3.03,5.01,5.02,5.03 07/31/07
TRANSMETA CORP DE 2.02,7.01,9.01 08/06/07
TRIARC COMPANIES INC DE 7.01 08/07/07
TRINITY INDUSTRIES INC DE 8.01 08/07/07
TUCOWS INC /PA/ PA 2.02,9.01 08/07/07
TVI CORP MD 1.01,2.02,2.03,9.01 08/07/07
TVI CORP MD 1.01,5.02,9.01 08/06/07
TXU CORP /TX/ TX 2.02,9.01 08/07/07
Tyco Electronics Ltd. D0 2.02,9.01 08/08/07
ULTICOM INC NJ 5.02,9.01 08/02/07
ULTRA PETROLEUM CORP 2.02,5.02,9.01 08/06/07
UNIFIED WESTERN GROCERS INC CA 1.01,7.01,9.01 08/02/07
UNION BANKSHARES CORP VA 2.02,9.01 08/06/07
UNITED COMPONENTS INC DE 2.02,9.01 08/08/07
UNIVERSAL AMERICAN FINANCIAL CORP NY 8.01 08/08/07
UNIVERSAL CORP /VA/ VA 8.01,9.01 08/08/07
UNIVERSAL ENERGY CORP. 7.01,9.01 08/02/07
URS CORP /NEW/ DE 2.02,9.01 08/08/07
VAIL RESORTS INC DE 5.02,9.01 08/06/07
VALENCE TECHNOLOGY INC DE 2.02,9.01 08/08/07
VALHI INC /DE/ DE 2.02,7.01,9.01 08/07/07
VALPEY FISHER CORP MD 2.02,9.01 08/08/07
VERASUN ENERGY CORP 3.01 08/02/07
VERIDIGM, INC. DE 4.01 07/02/07 AMEND
Verigy Ltd. U0 2.02,9.01 08/08/07
VIAD CORP DE 8.01,9.01 08/08/07
VIASAT INC CA 2.02,9.01 08/08/07
VIEWCAST COM INC DE 7.01,9.01 08/08/07
VINEYARD NATIONAL BANCORP CA 8.01 08/08/07
VINEYARD NATIONAL BANCORP CA 5.03,9.01 08/02/07
VIRGIN MEDIA INC. DE 2.02 08/08/07
VIROPRO INC NV 5.02 08/06/07
VirtualScopics, Inc. DE 2.02,9.01 08/08/07
VISUAL MANAGEMENT SYSTEMS INC NV 1.01,2.01 07/17/07 AMEND
VITAL IMAGES INC MN 2.02,9.01 08/07/07 AMEND
VNUS MEDICAL TECHNOLOGIES INC 2.02,9.01 08/08/07
WEBSITE PROS INC DE 8.01,9.01 08/08/07
WESBANCO INC WV 8.01,9.01 08/08/07
WEST PHARMACEUTICAL SERVICES INC PA 8.01,9.01 08/07/07
WESTAR ENERGY INC /KS KS 2.02,9.01 08/08/07
WHITE ELECTRONIC DESIGNS CORP ID 2.02,9.01 08/08/07
WINDSTREAM CORP DE 2.02,9.01 08/08/07
WORLD HEART CORP A6 2.02,9.01 08/08/07
WORLDTRADESHOW COM INC 1.01,2.03,9.01 08/01/07
WYETH DE 1.01,1.02,2.03,9.01 08/02/07
X RITE INC MI 2.02,9.01 08/07/07
XCEL ENERGY INC MN 8.01,9.01 08/08/07
XENOPORT INC DE 2.02,9.01 08/08/07
XEROX CORP NY 8.01,9.01 08/01/07
XSTREAM BEVERAGE NETWORK, INC. NV 5.02,5.03,7.01,8.01,9.01 06/22/07
YUKON GOLD CORP INC DE 8.01,9.01 08/07/07
ZIFF DAVIS HOLDINGS INC DE 9.01 07/31/07 AMEND
Zumiez Inc 7.01,9.01 08/08/07
http://www.sec.gov/news/digest/2007/dig080907.htm
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