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SEC NEWS DIGEST
Issue 2007-156 August 14, 2007
ENFORCEMENT PROCEEDINGS
IN THE MATTER OF RHODES ECONOMETRICS, INC.
On August 13, the Commission issued of an Order Instituting
Administrative Proceedings Pursuant to Section 203(e) of the
Investment Advisers Act of 1940, Making Findings, and Imposing
Remedial Sanctions against Rhodes Econometrics, Inc., an Oregon
investment adviser.
The Order finds that a final judgment was entered by consent against
Rhodes Econometrics on June 21, 2007, permanently enjoining it from
future violations of Sections 206(1) and 206(2) of the Investment
Advisers Act, in the civil action entitled SEC v. C. Wesley Rhodes,
Jr., et al., Civil Action Number CV06-01353-MO, in the United States
District Court for the District of Oregon.
The Commission's complaint alleges that C. Wesley Rhodes, Jr., through
Rhodes Econometrics and other companies Rhodes controlled, raised
millions of dollars from individual investors by representing that he
would invest their money in stock or bond funds or portfolios or
directly in stocks and bonds. The complaint further alleges that in
July 2006, Rhodes sent account statements to the individual investors
showing that their balances had an aggregate value of nearly $40
million as of June 30, 2006. The complaint alleges that, contrary to
representations made to investors, Rhodes had not been using the
investors' money to invest in stocks and bonds and, instead, was
actually misappropriating and misusing the investor funds for other
purposes, including the purchase of automobiles and sports
memorabilia. The complaint alleges that by the time a receiver was
appointed for Rhodes Econometrics and other companies Rhodes
controlled in September 2006, Rhodes and his companies had less than
$2 million invested in stocks and bonds as compared to the almost $40
million that he had claimed was invested as of June 30, 2006, in the
statements that he had provided to his investors.
Based on the above, the Order revokes Rhodes Econometrics'
registration as an investment adviser. Rhodes Econometrics consented
to the issuance of the Order without admitting or denying any of the
findings, except it admitted the entry of the injunction. (Rel. IA-
2631; File No. 3-12722)
IN THE MATTER OF STEPHEN LUSCKO
On August 14, the Commission issued of an Order Instituting
Administrative Proceedings Pursuant to Section 15(b) of the Securities
Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
against Stephen Luscko, of Sarasota, Fla. The Order finds that on July
20, 2007, a final judgment was entered by consent against Luscko
permanently enjoining him from future violations of Sections 5(a) and
5(c) of the Securities Act of 1933 and Section 10(b) of the Securities
Exchange Act of 1934 and Rule 10b-5 thereunder, in a civil action
entitled SEC v. Luscko, et al., Civil Action No. CV 07-2783 DDP (AGRx)
in the U.S. District Court for the Central District of California.
The Order further finds that the Commission's complaint alleged that
between March 2004 and August 2004, Luscko orchestrated a "pump and
dump" scheme of four issuers whose securities traded on over-the-
counter market. The complaint alleged that Luscko helped draft false
and misleading spam e-mails that were disseminated to millions of
recipients, resulting in a rapid increase in the issuers' stock price.
The complaint further alleges that Luscko then sold the issuers'
shares through his own, or nominees', brokerage accounts. The
complaint also alleged that Luscko and the four issuers sold
unregistered securities.
Based on the above, the Order bars Luscko from association with any
broker or dealer. Luscko consented to the issuance of the Order
without admitting or denying any of the findings in the Order, except
he admitted the final judgment entered in the civil action. (Rel. 34-
56244; File No. 3-12723)
IN THE MATTER OF AMERICAN TELETRONICS, INC
On August 14, an Administrative Law Judge issued an Order Making
Findings and Revoking Registrations by Default in American
Teletronics, Inc. (n/k/a Shine Holdings, Inc.), Administrative
Proceeding No. 3-12663. The Order Instituting Proceedings alleged that
Respondent American Teletronics, Inc. (n/k/a Shine Holdings, Inc.),
failed repeatedly to file required annual and quarterly reports while
its securities were registered with the Securities and Exchange
Commission. The Default Order finds these allegations to be true and
revokes the registrations of each class of registered securities of
American Teletronics, Inc. (n/k/a Shine Holdings, Inc.), pursuant to
Section 12(j) of the Securities Exchange Act of 1934. (Rel. 34-56243;
File No. 3-12663)
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-4 Vangent, Inc., 4250 NORTH FAIRFAX DRIVE, SUITE 1200, ARLINGTON, VA,
22203, 703-284-5600 - 0 ($190,000,000.00) Debt, (File 333-145355 -
Aug. 13) (BR. 03)
S-1 NANOSPHERE INC, 4088 COMMERCIAL AVE, NORTHBROOK, IL, 60062,
847-400-9000 - 0 ($100,000,000.00) Equity, (File 333-145356 - Aug. 13)
(BR. 10B)
S-8 KENDLE INTERNATIONAL INC, 441 VINE ST, STE 1200, CINCINNATI, OH, 45202,
5137631414 - 1,000,000 ($36,010,000.00) Equity, (File 333-145357 -
Aug. 13) (BR. 01B)
S-3ASR GENERAL MILLS INC, NUMBER ONE GENERAL MILLS BLVD, MINNEAPOLIS, MN,
55426, (763) 764-7600 -
0 ($1,150,000,000.00) Debt Convertible into Equity, (File 333-145358 -
Aug. 13) (BR. 04A)
S-3ASR TRIZETTO GROUP INC, 567 NICHOLAS DRIVE SUITE 360, NEWPORT BEACH, CA,
92660, 9497192200 - 0 ($230,000,000.00) Debt Convertible into Equity,
(File 333-145359 - Aug. 13) (BR. 03C)
SB-2 HEALTHY FAST FOOD INC, 1075 AMERICAN PACIFIC #C, HENDERSON, NV, 89052,
917-626-2492 - 9,375,000 ($79,050,000.00) Equity, (File 333-145360 -
Aug. 13) (BR. 05)
S-1 SANDRIDGE ENERGY INC, 1601 NW EXPRESSWAY, SUITE 1600, OKLAHOMA CITY,
OK, 73118, 405-753-5500 - 62,035,864 ($1,302,753,144.00) Equity,
(File 333-145386 - Aug. 13) (BR. 04C)
S-1 INTERLINK ELECTRONICS INC, 546 FLYNN RD, CAMARILLO, CA, 93012,
8054848855 - 0 ($6,847,404.00) Equity, (File 333-145387 - Aug. 13)
(BR. 03C)
S-8 CHESAPEAKE CORP /VA/, 1021 E CARY ST, PO BOX 2350, RICHMOND, VA, 23219,
8046971000 - 0 ($1,092,000.00) Equity, (File 333-145388 - Aug. 13)
(BR. 03C)
S-8 Eagle Bulk Shipping Inc., 477 MADISON AVENUE, SUITE 1405, NEW YORK, NY,
10022, 212-785-2500 - 2,600,000 ($61,334,000.00) Equity,
(File 333-145390 - Aug. 13) (BR. 05B)
S-8 VULCAN MATERIALS CO, 1200 URBAN CENTER DRIVE, BIRMINGHAM, AL, 35242,
2052983000 - 0 ($2,340,000.00) Equity, (File 333-145391 - Aug. 13)
(BR. 04A)
S-8 ILLINOIS TOOL WORKS INC, 3600 W LAKE AVE, GLENVIEW, IL, 60025-5811,
8476574106 - 18,704,647 ($1,010,705,600.64) Equity, (File 333-145392 -
Aug. 13) (BR. 10B)
S-3 PHARMACOPEIA DRUG DISCOVERY INC, P.O. BOX 5350, PRINCETON, NJ,
08543-5350, 609-452-3600 - 0 ($80,000,000.00) Other, (File 333-145393 -
Aug. 13) (BR. 01C)
SB-2 Deli Solar (USA), Inc., 10105 E VIA LINDA #103, PMB 382, SCOTTSDALE,
AZ, 85258, 4806142874 - 0 ($12,103,625.00) Equity, (File 333-145394 -
Aug. 13) (BR. 11C)
F-10 AGRIUM INC, 13131 LAKE FRASER DRIVE S.E., CALGARY, A0, T2J7E8,
403 225-7000 -
1,000,000,000 ($1,000,000,000.00) Unallocated (Universal) Shelf,
(File 333-145395 - Aug. 13) (BR. 05B)
S-1 Maxum Petroleum Holdings, Inc., 1455 EAST PUTNAM AVENUE, OLD GREEWICH,
CT, 06870, (203) 862-9370 - 0 ($400,000,000.00) Equity,
(File 333-145396 - Aug. 13) (BR. )
S-1 Classmates Media CORP, 21301 BURBANK BOULEVARD, WOODLAND HILLS, CA,
91367, 818-287-3000 - 0 ($125,000,000.00) Equity, (File 333-145397 -
Aug. 13) (BR. )
S-4 COMMSCOPE INC, 8283242200 - 0 ($111,157,754.00) Other,
(File 333-145398 - Aug. 13) (BR. 11A)
S-8 PHARSIGHT CORP, 321 E. EVELYN AVENUE, 3RD FLOOR, MOUNTAIN VIEW, CA,
94041, 6503143800 - 704,822 ($1,303,920.70) Equity, (File 333-145399 -
Aug. 13) (BR. 03C)
S-8 Unum Group, 1 FOUNTAIN SQUARE, CHATTANOOGA, TN, 37402, 4232944350 -
0 ($804,475,000.00) Equity, (File 333-145400 - Aug. 13) (BR. 01C)
S-8 Data Domain, Inc., 2300 CENTRAL EXPRESSWAY, SANTA CLARA, CA, 95050,
(408) 980-4800 - 19,237,533 ($501,907,235.97) Equity,
(File 333-145401 - Aug. 13) (BR. 03A)
S-8 VMWARE, INC., 3401 HILLVIEW AVENUE, PALO ALTO, CA, 94304,
(650) 427-5000 - 86,400,000 ($2,290,049,997.02) Equity,
(File 333-145402 - Aug. 13) (BR. 03C)
S-1 NEUROBIOLOGICAL TECHNOLOGIES INC /CA/, 2000 POWELL STREET, SUITE 800,
EMERYVILLE, CA, 94608, 510-595-6000 - 0 ($74,750,000.00) Equity,
(File 333-145403 - Aug. 13) (BR. 01B)
S-8 SUNESIS PHARMACEUTICALS INC, 341 OYSTER POINT BOULEVARD,
SOUTH SAN FRANCISCO, CA, 94080, 650-266-3500 -
1,417,646 ($4,905,055.16) Equity, (File 333-145404 - Aug. 13) (BR. 01C)
S-1 Hamilton Beach, Inc., 4421 WATERFRONT DRIVE, GLEN ALLEN, VA, 23060,
804-273-9777 - 8,266,970 ($27,556.58) Equity, (File 333-145405 -
Aug. 13) (BR. 11C)
SB-2 GoFish Corp., 500 THIRD STREET, SUITE 260, SAN FRANCISCO, CA, 94107,
415-738-8705 - 16,011,036 ($5,927,248.00) Equity, (File 333-145406 -
Aug. 13) (BR. 05B)
S-8 NESS TECHNOLOGIES INC, NESS BLDG 4 PO BOX 58182, KIRYATATIDIM,
TELAVIV ISRAEL, L3, 61580, 0119723766800 -
3,000,000 ($31,606,500.00) Equity, (File 333-145407 - Aug. 13) (BR. 03A)
S-3ASR ILLUMINA INC, 9885 TOWNE CENTRE DRIVE, SAN DIEGO, CA, 92121,
8582024500 - 0 ($400,000,000.00) Debt Convertible into Equity,
(File 333-145408 - Aug. 13) (BR. 10B)
SB-2 TIMESHARE HOLDINGS, INC., 2350 S. JONES BLVD, SUITE 101, LAS VEGAS, NV,
89146, 877-220-6404 - 20,383,374 ($10,191,687.00) Equity,
(File 333-145409 - Aug. 13) (BR. )
S-8 Care Investment Trust Inc., 505 FIFTH AVENUE, 6TH FLOOR, NEW YORK, NY,
10017, 212-771-0505 - 700,000 ($8,967,000.00) Equity,
(File 333-145410 - Aug. 13) (BR. 08B)
S-1 Value Financial Services, Inc., 1063 MAITLAND CENTER COMMONS BLVD.,
SUITE 200, MAITLAND, FL, 32751, 407-339-0064 -
0 ($86,250,000.00) Equity, (File 333-145411 - Aug. 13) (BR. )
S-8 GENEREX BIOTECHNOLOGY CORP, 33 HARBOUR SQ, STE 202,
TORONTO ONTARIO CANADA, A1, M5J 2G2, 4163642551 -
10,000,000 ($15,800,000.00) Equity, (File 333-145412 - Aug. 13)
(BR. 01A)
S-8 Silver State Bancorp, 400 N GREEN VALLEY PARKWAY, HENDERSON, NV, 89074,
0 ($16,258,667.67) Equity, (File 333-145413 - Aug. 13) (BR. 07)
S-3 ALESCO FINANCIAL INC, CIRA CENTRE, 2929 ARCH STREET, 17TH FLOOR,
PHILADELPHIA, PA, 19104, 215-701-9555 -
0 ($140,000,000.00) Debt Convertible into Equity, (File 333-145417 -
Aug. 13) (BR. 08C)
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
-----------------------------------------------------------------------------------------------------------
ABLE ENERGY INC DE 4.01 8/13/07
ACCEPTANCE INSURANCE COMPANIES INC DE 8.01,9.01 8/09/07
ADDVANTAGE TECHNOLOGIES GROUP INC OK 2.02,9.01 8/07/07
ADVANCED PHOTONIX INC DE 2.02,9.01 8/13/07
ADVENTRX PHARMACEUTICALS INC DE 1.02 8/09/07
ADVOCAT INC DE 1.01,8.01,9.01 8/10/07
AFFYMAX INC 2.02,9.01 8/13/07
Aircastle LTD D0 2.02,9.01 8/10/07
Aleris International, Inc. DE 2.02,9.01 8/13/07
Alexza Pharmaceuticals Inc. DE 2.02,9.01 8/13/07
ALLIANCE BANKSHARES CORP 2.02,9.01 8/13/07
ALLIED WASTE INDUSTRIES INC DE 8.01 8/10/07
Alternative Loan Trust 2007-HY8C DE 8.01,9.01 6/29/07
Altra Holdings, Inc. DE 2.02,9.01 8/13/07 AMEND
American Community Newspapers Inc. DE 2.02,9.01 8/13/07
AMERICAN COMMUNITY PROPERTIES TRUST MD 2.02 6/30/07
AMERICAN ECOLOGY CORP DE 5.02 8/13/07
AMERICAN LEISURE HOLDINGS, INC. NV 5.01,9.01 8/13/07
AMERICAN MEDICAL ALERT CORP NY 2.02,9.01 8/13/07
AMERICAN ROCK SALT CO LLC 7.01 8/10/07
AMERICAN SKIING CO /ME DE 1.01,2.01,9.01 7/31/07
AMERICAN TONERSERV CORP. DE 1.01,5.02 8/07/07
Ames True Temper, Inc. DE 2.02,9.01 8/13/07
Answers CORP 2.02,7.01,9.01 8/13/07
APPLIED DNA SCIENCES INC NV 2.03,3.02,9.01 8/08/07
AQUANTIVE INC WA 2.01,3.01,5.01,5.02,9.01 8/10/07
ARK RESTAURANTS CORP NY 2.02 8/13/07
AROTECH CORP DE 2.02,9.01 8/13/07
ASAP SHOW, INC. NV 1.01 8/13/07
Ascend Acquisition Corp. DE 1.01,7.01,9.01 7/30/07 AMEND
ASCENDANT SOLUTIONS INC DE 2.02 8/13/07
Asia Automotive Acquisition Corp. DE 5.01 3/31/07
Atlantic Southern Financial Group, In 1.01,9.01 8/10/07
Aviza Technology, Inc. DE 2.02,9.01 8/13/07
BANCTRUST FINANCIAL GROUP INC AL 2.02,9.01 8/09/07
Bayview Financial Mortgage Pass-Throu DE 8.01,9.01 7/01/07
Behringer Harvard Opportunity REIT I, MD 7.01,9.01 8/13/07
Bidz.com, Inc. CA 2.02,9.01 8/13/07
BIOGEN IDEC INC. DE 5.02,7.01,9.01 8/07/07
BIW LTD CT 1.01,9.01 8/10/07
Blackstone Group L.P. DE 2.02,9.01 8/13/07
Bridge Capital Holdings CA 2.02,9.01 8/13/07
BRIGGS & STRATTON CORP WI 5.02 8/07/07
BRISTOL MYERS SQUIBB DEBENTURE BACKED DE 8.01,9.01 8/01/07
BROOKE CORP KS 2.02,9.01 8/08/07
Brooke Credit CORP DE 2.02,9.01 8/08/07
Buckingham Exploration Inc. NV 3.02 8/10/07
CABLEVISION SYSTEMS CORP /NY DE 7.01,9.01 8/13/07
Calamos Asset Management, Inc. /DE/ 5.02,9.01 8/07/07
CAMBRIDGE HEART INC DE 2.02,9.01 8/13/07
CANARGO ENERGY CORP DE 7.01,9.01 8/10/07
CANTERBURY PARK HOLDING CORP MN 2.02,9.01 8/10/07
CANYON RESOURCES CORP DE 2.02,9.01 8/13/07
CAPITAL ONE FUNDING, LLC 8.01,9.01 8/13/07
CARDINAL HEALTH INC OH 5.02,7.01,8.01,9.01 5/01/07 AMEND
CARDIODYNAMICS INTERNATIONAL CORP CA 8.01,9.01 8/09/07
CASCADE BANCORP OR 8.01,9.01 8/13/07
Castle Brands Inc 2.02,9.01 8/13/07
CATALINA MARKETING CORP/DE DE 8.01,9.01 8/13/07
CELSION CORP MD 2.02,9.01 8/09/07
CENTERLINE HOLDING CO DE 1.01,9.01 8/13/07
CENTERSTATE BANKS OF FLORIDA INC FL 1.01,9.01 8/13/07
CHART INDUSTRIES INC DE 2.02,9.01 8/13/07
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 8/13/07
CHINA SECURITY & SURVEILLANCE TECHNOL D8 2.02,9.01 8/13/07
China Water & Drinks Inc.. NV 5.02,9.01 7/24/07 AMEND
Cinemark Holdings, Inc. DE 2.02,7.01,9.01 8/13/07
CIPHERGEN BIOSYSTEMS INC DE 2.02,9.01 8/13/07
CIRCUIT CITY STORES INC VA 7.01 8/13/07
CITIGROUP INC DE 9.01 8/13/07
CITIZENS FINANCIAL CORP /KY/ KY 5.02 8/09/07
CITIZENS FIRST BANCORP INC DE 2.02,9.01 8/07/07
CLEAR CHANNEL COMMUNICATIONS INC TX 8.01,9.01 8/13/07
CLEARONE COMMUNICATIONS INC UT 8.01 8/10/07
CLOROX CO /DE/ DE 1.01,9.01 8/13/07
COLUMBIA BANCORP MD 5.02,9.01 8/02/07
COLUMBIA BANCORP \OR\ OR 5.02,9.01 8/02/07
COMMUNITY BANKS INC /PA/ PA 1.01,3.03,9.01 8/07/07
COMPUTER SOFTWARE INNOVATIONS INC 2.02,9.01 8/13/07
CONEXANT SYSTEMS INC DE 8.01 8/07/07
CONSTAR INTERNATIONAL INC DE 2.02,9.01 8/13/07
CORCEPT THERAPEUTICS INC 2.02,9.01 8/13/07
COSI INC DE 5.03,9.01 8/07/07
CPI INTERNATIONAL, INC. DE 2.02,9.01 8/13/07
CRANE CO /DE/ DE 8.01,9.01 8/13/07
CRC Health CORP DE 2.02,9.01 8/13/07
CRESCENT FINANCIAL CORP NC 7.01,9.01 8/13/07
CROSS COUNTRY HEALTHCARE INC DE 2.02,7.01,9.01 8/08/07
CSG SYSTEMS INTERNATIONAL INC DE 7.01,9.01 8/10/07
CSK AUTO CORP DE 8.01,9.01 8/10/07
CT HOLDINGS ENTERPRISES INC DE 7.01,9.01 8/13/07
CWABS INC DE 9.01 8/13/07
Cyclacel Pharmaceuticals, Inc. DE 2.02,9.01 8/09/07
DARLING INTERNATIONAL INC DE 5.03,9.01 8/07/07
DEVRY INC DE 8.01,9.01 8/13/07
DEVRY INC DE 2.02,9.01 8/13/07
DG FastChannel, Inc DE 1.01,9.01 8/09/07
DGT Corp. NV 1.01,5.01,5.02,9.01 8/09/07
Digital Realty Trust, Inc. MD 2.02,7.01,9.01 8/13/07 AMEND
DIONEX CORP /DE CA 5.02 8/07/07
Dolan Media CO DE 1.01,2.03,9.01 8/08/07
Domtar CORP DE 2.02,9.01 8/13/07
DOV PHARMACEUTICAL INC DE 2.02,8.01,9.01 8/08/07
Drayton Harbor Resources Inc. NV 5.02 8/10/07
ECASH, INC DE 4.01,9.01 8/13/07
ECCO Energy Corp. NV 2.01,9.01 8/01/07
EGPI FIRECREEK, INC. NV 1.01,2.01,8.01,9.01 8/03/07
EMC CORP MA 5.02,9.01 8/09/07
EMISPHERE TECHNOLOGIES INC DE 5.02 8/13/07
ENERGY FOCUS, INC/DE DE 2.02,9.01 8/08/07
EQUINIX INC DE 7.01,9.01 8/10/07
EQUITABLE FINANCIAL CORP 5.02 8/10/07
EQUITY INNS INC TN 8.01,9.01 8/10/07
Equity Media Holdings CORP DE 7.01,9.01 8/13/07
eTelecare Global Solutions, Inc. 5.02,7.01,8.01,9.01 8/07/07
Ethos Environmental, Inc. NV 1.01,2.01,2.03,3.02,9.01 8/09/07
EVANS BOB FARMS INC DE 1.01,2.02,5.02,9.01 8/13/07
Exobox Technologies Corp. NV 8.01 8/13/07
EZENIA INC DE 2.02,9.01 8/13/07
F5 NETWORKS INC WA 5.03,9.01 8/13/07
FAIRPOINT COMMUNICATIONS INC DE 2.02,7.01,8.01,9.01 8/09/07
FASHION HOUSE HOLDINGS INC 5.01,9.01 8/04/07
FEDERAL TRUST CORP FL 2.02,9.01 7/30/07
FELLOWS ENERGY LTD NV 2.01 8/10/07
FIRST BANKS, INC MO 1.01,2.03 8/13/07
FIRST CHARTER CORP /NC/ NC 7.01 8/09/07
Fitmedia Inc. DE 1.01,9.01 8/10/07
FORCE PROTECTION INC NV 8.01,9.01 8/13/07
GALAXY ENERGY CORP CO 3.01,9.01 5/22/07 AMEND
GALTECH SEMICONDUCTOR MATERIALS CO UT 2.01,9.01 5/17/07 AMEND
GENERAL MOTORS CORP DE 2.01,9.01 8/07/07
GENIUS PRODUCTS INC DE 2.02,7.01,9.01 8/13/07
Genpact LTD D0 8.01,9.01 8/10/07
GENSYM CORP DE 1.01,5.01,8.01,9.01 8/13/07
GENTA INC DE/ DE 8.01,9.01 8/13/07
GEO GROUP INC FL 2.02,5.03,9.01 8/07/07
GEOKINETICS INC DE 2.02,7.01,9.01 8/07/07
GLATFELTER P H CO PA 1.01,7.01 8/08/07
GLOBALNET CORP NV 1.01,2.03,3.02,9.01 8/06/07
GMX RESOURCES INC OK 7.01,9.01 8/13/07
GOLDMAN SACHS GROUP INC/ DE 8.01,9.01 8/13/07
GOODYEAR TIRE & RUBBER CO /OH/ OH 5.02,9.01 8/07/07
GRAN TIERRA ENERGY, INC. NV 5.03,9.01 8/09/07
GREAT SOUTHERN BANCORP INC MD 7.01 8/13/07
GROUP 1 AUTOMOTIVE INC DE 7.01,8.01,9.01 8/08/07
H&R BLOCK INC MO 5.03 8/12/07
HANMI FINANCIAL CORP DE 7.01,9.01 8/13/07
HANOVER CAPITAL MORTGAGE HOLDINGS INC MD 8.01,9.01 8/08/07
HAPC, Inc. DE 8.01,9.01 8/13/07
HARDINGE INC NY 2.02,9.01 8/09/07
HAROLDS STORES INC OK 2.02,9.01 8/09/07
HAROLDS STORES INC OK 5.02 8/08/07
HARSCO CORP DE 5.02,9.01 8/13/07
HARTFORD FINANCIAL SERVICES GROUP INC DE 7.01 8/13/07
HC Innovations, Inc. DE 2.02,9.01 8/13/07
HEALTH BENEFITS DIRECT CORP DE 2.02,9.01 8/13/07
Health Fitness Corp /MN/ MN 5.02,8.01,9.01 8/09/07
HERTZ CORP DE 2.02,9.01 8/07/07
HERTZ GLOBAL HOLDINGS INC 2.02,9.01 8/07/07
HICKOK INC OH 2.02,9.01 8/13/07
HOME DIAGNOSTICS INC DE 2.02,5.03,9.01 8/06/07
HOOPER HOLMES INC NY 2.02,8.01,9.01 8/09/07
Horizon Lines, Inc. 1.01,1.02,2.03,3.02,3.03,8.01,9.01 8/08/07
HOVNANIAN ENTERPRISES INC DE 2.02 7/31/07
I TRAX INC DE 2.02,9.01 8/08/07
IBERIABANK CORP LA 7.01,9.01 8/13/07
ICOP DIGITAL, INC CO 2.02 8/13/07
IElement CORP NV 1.01,5.02 8/13/07
ILLUMINA INC DE 9.01 1/26/07 AMEND
IMERGENT INC DE 8.01 8/10/07
IMPART MEDIA GROUP INC NV 2.02,9.01 8/13/07
INDALEX HOLDINGS FINANCE INC 2.02,9.01 8/13/07
INFINITY ENERGY RESOURCES, INC 5.02 8/07/07
InPlay Technologies, Inc. NV 2.02,9.01 6/30/07
INTEGRA BANK CORP IN 7.01,9.01 8/13/07
INTELLIGENT SYSTEMS CORP GA 2.02 8/13/07
IRIS INTERNATIONAL INC DE 2.02,9.01 8/09/07
J P MORGAN CHASE & CO DE 9.01 8/10/07
J.P. Morgan Mortgage Trust 2007-S3 DE 8.01,9.01 8/13/07
K-SEA TRANSPORTATION PARTNERS LP 5.02 8/07/07
KANSAS CITY LIFE INSURANCE CO MO 2.02 8/13/07
KBS Real Estate Investment Trust, Inc MD 1.01,2.01 8/07/07
Kearny Financial Corp. X1 2.02,9.01 8/10/07
KELLY SERVICES INC DE 5.03,9.01 8/08/07
KEY ENERGY SERVICES INC MD 7.01,9.01 8/13/07
KNOLL INC DE 7.01 8/13/07
Kohlberg Capital CORP DE 2.02 8/13/07
KRAFT FOODS INC VA 9.01 8/08/07
LANDMARK LAND CO INC/DE DE 8.01,9.01 8/10/07
LANDMARK LAND CO INC/DE DE 5.02,9.01 8/10/07
LARGE SCALE BIOLOGY CORP DE 8.01,9.01 7/20/07
LCC INTERNATIONAL INC DE 8.01,9.01 8/13/07
LECROY CORP DE 2.02,9.01 8/13/07
LEGACY RESERVES L P 9.01 8/13/07 AMEND
LEVITT CORP FL 2.02,9.01 8/09/07
LEXINGTON REALTY TRUST MD 2.02,7.01,9.01 8/08/07
LIME ENERGY CO. DE 2.02,9.01 8/13/07
Limelight Networks, Inc. DE 5.02 8/10/07
LML PAYMENT SYSTEMS INC A1 2.02,7.01,9.01 8/09/07
LODGIAN INC DE 5.02,9.01 8/08/07
LUMINENT MORTGAGE CAPITAL INC 2.04 8/07/07
MAC-GRAY CORP DE 1.01,2.01,9.01 8/08/07
MAC-GRAY CORP DE 2.02,9.01 8/09/07
MARSHALL & ILSLEY CORP/WI/ WI 8.01,9.01 8/10/07
Marvel Entertainment, Inc. DE 2.02,9.01 8/07/07
MAX CAPITAL GROUP LTD. 1.01,9.01 8/07/07
MAX ENTERTAINMENT HOLDINGS, INC. DE 4.01,9.01 7/31/07 AMEND
MB FINANCIAL INC /MD MD 7.01 8/13/07
MDI, INC. DE 1.01 8/07/07
MEADOW VALLEY CORP NV 2.02,9.01 8/09/07
MEDQUIST INC NJ 8.01,9.01 8/13/07
MEGOLA INC 1.01,9.01 7/24/07
MENTOR CORP /MN/ MN 5.02,9.01 8/10/07
MEREDITH CORP IA 1.01 8/13/07
MESA LABORATORIES INC /CO CO 2.02,9.01 8/13/07
MFIC CORP DE 8.01 8/13/07
MICRO COMPONENT TECHNOLOGY INC MN 2.02,9.01 8/08/07
MICROSOFT CORP WA 7.01,8.01,9.01 8/10/07
MIDWEST AIR GROUP INC WI 8.01,9.01 8/10/07
MIDWEST AIR GROUP INC WI 8.01,9.01 8/12/07
MIGO SOFTWARE, INC. DE 2.01,9.01 6/06/07 AMEND
MINDEN BANCORP INC 2.02,9.01 8/10/07
ML APM Global Commodity FuturesAccess DE 5.02 5/22/07
ML Appleton FuturesAccess LLC DE 5.02 5/22/07
ML Aspect FuturesAccess LLC DE 5.02 5/22/07
ML Chesapeake FuturesAccess LLC DE 5.02 7/28/07
ML Cornerstone FuturesAccess LLC DE 5.02 5/22/07
ML MACADAMIA ORCHARDS L P DE 2.02,9.01 8/13/07
ML SELECT FUTURES I LP 5.02 5/22/07
ML Systematic Momentum FuturesAccess DE 5.02 5/22/07
ML Transtrend DTP Enhanced FuturesAcc DE 5.02 7/28/07
ML TREND-FOLLOWING FUTURES FUND L.P, DE 5.02,5.03,9.01 5/22/07
ML Winton FuturesAccess LLC DE 5.02 5/22/07
MMC ENERGY, INC. DE 8.01 8/10/07
Molecular Insight Pharmaceuticals, In MA 2.02,9.01 8/13/07
Monarch Financial Holdings, Inc. VA 1.01,9.01 8/13/07
MONDEO INVESTMENTS, INC. DE 7.01,9.01 8/03/07
MONROE BANCORP IN 7.01,9.01 8/13/07
MONTEREY GOURMET FOODS DE 2.02,9.01 8/09/07
MONTPELIER RE HOLDINGS LTD D0 1.01,9.01 8/13/07
MORGAN GROUP HOLDING CO 7.01 8/13/07
MQ ASSOCIATES INC 1.01,7.01,9.01 8/13/07
MRV COMMUNICATIONS INC DE 1.01,1.02,3.02,8.01,9.01 8/10/07
My Quote Zone, Inc. NV 1.01,3.02,5.01,5.06,9.01 8/10/07
NATIONAL BANK OF INDIANAPOLIS CORP IN 2.02,9.01 8/13/07
NATIONAL RURAL UTILITIES COOPERATIVE DC 2.02,4.02,7.01,9.01 8/07/07
NATIONAL SECURITY GROUP INC DE 7.01,9.01 8/13/07
Natural Nutrition Inc. NV 1.01,3.02,9.01 5/31/07 AMEND
NAVARRE CORP /MN/ MN 1.01,9.01 8/10/07
NBTY INC DE 5.02 8/10/07
NEPHROS INC DE 2.02,9.01 8/13/07
NEW BRUNSWICK SCIENTIFIC CO INC NJ 2.02,9.01 8/13/07
NEWTEK BUSINESS SERVICES INC NY 8.01,9.01 7/27/07
NEXTERA ENTERPRISES INC DE 2.02,9.01 5/13/07
NORCROSS SAFETY PRODUCTS LLC DE 2.02,9.01 8/13/07
NORTHROP GRUMMAN CORP /DE/ DE 1.01,9.01 8/10/07
NOVA BIOSOURCE FUELS, INC. NV 1.01,7.01,9.01 8/08/07
NOVASTAR FINANCIAL INC MD 7.01,9.01 8/13/07
NowAuto Group, Inc. NV 2.02,7.01,9.01 8/13/07
NUCO2 INC /FL FL 7.01,9.01 8/10/07
NUTRITION 21 INC NY 2.02,9.01 8/13/07
Oculus Innovative Sciences, Inc. CA 1.01,3.02,9.01 8/07/07
OCWEN FINANCIAL CORP FL 8.01,9.01 8/13/07
OLD SECOND BANCORP INC DE 8.01 8/13/07
Onstream Media CORP FL 8.01,9.01 8/13/07
Orbitz Worldwide, Inc. DE 2.02,9.01 8/13/07
Organic To Go Food CORP DE 2.02,9.01 8/07/07
ORION ETHANOL, INC KS 5.02,8.01 8/07/07
OSAGE EXPLORATION & DEVELOPMENT INC DE 1.01,2.03,9.01 8/13/07
OVERSEAS SHIPHOLDING GROUP INC DE 8.01,9.01 8/10/07
PACIFIC CAPITAL BANCORP /CA/ CA 8.01 8/10/07
PARTICLE DRILLING TECHNOLOGIES INC/NV NV 2.02,9.01 8/07/07
PDI INC 2.02,9.01 8/08/07
PEOPLES EDUCATIONAL HOLDINGS MN 2.02,9.01 8/13/07
PeopleSupport, Inc. DE 8.01 8/09/07
PEPCO HOLDINGS INC DE 5.02,9.01 8/07/07
PERFECTENERGY INTERNATIONAL LTD NV 1.01,2.01,3.02,5.01,5.02,5.06,9.01 8/08/07
PETROLEUM DEVELOPMENT CORP NV 2.02,9.01 8/09/07
PHARMACOPEIA DRUG DISCOVERY INC DE 8.01 8/07/07
PharMerica CORP DE 1.01,5.02,9.01 8/07/07
PHI INC LA 2.02,9.01 8/09/07
PHOENIX FOOTWEAR GROUP INC DE 2.02,9.01 8/13/07
PHYSICIANS FORMULA HOLDINGS, INC. DE 2.02,7.01 8/12/07
PINNACLE AIRLINES CORP DE 8.01,9.01 8/07/07
PLY GEM HOLDINGS INC DE 2.02,9.01 8/07/07
PNC FINANCIAL SERVICES GROUP INC PA 2.02,8.01,9.01 8/10/07
POKERTEK INC 2.02,9.01 8/13/07
POLO RALPH LAUREN CORP DE 8.01,9.01 8/09/07
PORTEC RAIL PRODUCTS INC WV 4.01,9.01 8/09/07
PORTLAND GENERAL ELECTRIC CO /OR/ OR 7.01,9.01 8/13/07
POWER INTEGRATIONS INC CA 8.01,9.01 8/13/07
POWER INTEGRATIONS INC CA 5.02,7.01,9.01 8/08/07
Pregis Holding II CORP DE 2.02,9.01 8/13/07
PROFESSIONALS DIRECT INC MI 8.01 8/10/07
ProtoKinetix, Inc. 5.02 8/01/07
PSB Holdings, Inc. 2.02,9.01 8/10/07
PURE VANILLA EXCHANGE INC NV 4.01,5.02,9.01 7/20/07
QUAKER FABRIC CORP /DE/ DE 3.01,8.01 8/07/07
QUANTA SERVICES INC DE 8.01 8/13/07
QUANTUM MRI, INC. WA 4.02,9.01 7/13/07
QUEST DIAGNOSTICS INC DE 2.01,9.01 5/31/07 AMEND
QUEST RESOURCE CORP NV 8.01,9.01 8/09/07
QWEST COMMUNICATIONS INTERNATIONAL IN DE 5.02,9.01 8/10/07
RADIAN GROUP INC DE 2.02,9.01 8/13/07
RAM ENERGY RESOURCES INC DE 2.02,9.01 8/10/07
REDDI BRAKE SUPPLY CORP NV 2.01,3.02,5.01,5.02,5.03,5.06,9.01 8/13/07
RF MICRO DEVICES INC NC 8.01,9.01 8/13/07
RIVIERA HOLDINGS CORP NV 8.01 8/10/07
Rocketinfo Inc. DE 5.02,9.01 8/09/07
ROYAL INVEST INTERNATIONAL CORP. DE 1.01 2/16/07
ROYAL INVEST INTERNATIONAL CORP. DE 1.01 5/25/07
ROYAL INVEST INTERNATIONAL CORP. DE 1.01 5/25/07
ROYAL INVEST INTERNATIONAL CORP. DE 1.01 5/25/07
ROYAL INVEST INTERNATIONAL CORP. DE 1.01 5/25/07
S1 CORP /DE/ DE 8.01 8/13/07
Safety Products Holdings, Inc. DE 2.02,9.01 8/13/07
SATCON TECHNOLOGY CORP DE 2.02,9.01 8/09/07
SATELLITE SECURITY CORP NV 5.03,8.01,9.01 8/06/07
SBE INC DE 2.01,3.02,5.01,5.02,5.03,8.01,9.01 8/10/07
SCHERING PLOUGH CORP NJ 5.03,8.01,9.01 8/09/07
SCO GROUP INC DE 8.01 8/10/07
SCOLR Pharma, Inc. DE 1.01,5.02,9.01 8/10/07
SCOTTS LIQUID GOLD INC CO 2.02,9.01 8/13/07
SEDONA CORP PA 1.01,3.02 8/03/07
SHORE BANCSHARES INC MD 5.02,9.01 8/09/07
SILVERADO GOLD MINES LTD A1 8.01,9.01 8/08/07
SIRENZA MICRODEVICES INC DE 8.01,9.01 8/13/07
Solar Thin Films, Inc. DE 1.01,2.01,3.02,9.01 8/03/07
SOUTHWALL TECHNOLOGIES INC /DE/ DE 2.02,9.01 8/07/07
SPATIALIGHT INC NY 5.02,9.01 8/10/07
SPATIALIZER AUDIO LABORATORIES INC DE 2.02,5.02,9.01 8/10/07
ST JOE CO FL 2.01,9.01 6/20/07 AMEND
STANDARD MOTOR PRODUCTS INC NY 2.02,9.01 8/06/07
STAR ENERGY CORP NV 1.01,3.02,5.02,9.01 8/01/07
STEAK & SHAKE CO IN 5.02,9.01 8/13/07
STEC, INC. CA 2.02,9.01 8/13/07
Stereotaxis, Inc. DE 1.01,9.01 8/09/07
STIFEL FINANCIAL CORP DE 5.02 8/07/07
SUNOCO LOGISTICS PARTNERS LP DE 1.01,1.02,9.01 8/08/07
Switch & Data Facilities Company, Inc DE 2.02,9.01 8/13/07
SYNALLOY CORP DE 5.03 8/13/07
Synova Healthcare Group Inc 5.02,9.01 8/07/07
SYSCO CORP DE 2.02,9.01 8/13/07
TARRANT APPAREL GROUP CA 2.02,9.01 8/13/07
TAYLOR CAPITAL GROUP INC DE 7.01,9.01 8/13/07
TEAM INC TX 9.01 6/01/07 AMEND
TECHNOLOGY SOLUTIONS COMPANY DE 2.02,9.01 8/13/07
TEMPLE INLAND INC DE 8.01 8/10/07
TERABEAM, INC. DE 2.02,9.01 8/13/07
TERRESTAR CORP DE 7.01,9.01 8/13/07
THERMADYNE HOLDINGS CORP /DE DE 8.01 8/07/07
THERMODYNETICS INC DE 2.02,9.01 8/13/07
THIRD CENTURY BANCORP 2.02,9.01 8/10/07
TII NETWORK TECHNOLOGIES, INC. DE 2.02,9.01 8/13/07
Tix CORP DE 1.01,2.01,3.02,9.01 8/07/07
Tower Group, Inc. DE 8.01,9.01 8/13/07
TRADESTATION GROUP INC FL 5.02 8/07/07
Travelport LTD D0 2.02,9.01 8/13/07
TRI-S SECURITY CORP GA 2.02,9.01 8/13/07
TRICO MARINE SERVICES INC DE 1.01,9.01 8/09/07
TRIPATH TECHNOLOGY INC 8.01 8/08/07
Trubion Pharmaceuticals, Inc 2.02,9.01 8/13/07
TRULITE INC DE 5.02 8/08/07
TXU CORP /TX/ TX 8.01,9.01 8/13/07
ULURU INC. NV 2.02,9.01 8/13/07
UNICO AMERICAN CORP NV 2.02 8/10/07
UNITED HERITAGE CORP UT 8.01 8/09/07
UNITED ONLINE INC DE 8.01,9.01 8/13/07
URANERZ ENERGY CORP. NV 8.01,9.01 8/10/07
URON INC MN 8.01 8/10/07
US BioEnergy CORP 2.02,5.02,8.01,9.01 8/08/07
VAALCO ENERGY INC /DE/ DE 2.02,9.01 8/10/07
VALASSIS COMMUNICATIONS INC DE 8.01,9.01 8/10/07
VALSPAR CORP DE 2.02,9.01 8/13/07
VARIAN MEDICAL SYSTEMS INC DE 5.02 8/09/07
VCG HOLDING CORP CO 2.01,9.01 4/16/07 AMEND
VERISIGN INC/CA DE 5.02,8.01,9.01 8/13/07
VERSO TECHNOLOGIES INC MN 2.02,5.02,9.01 8/13/07
VERTICALNET INC PA 1.01,1.02,9.01 8/06/07
VIASPACE Inc. NV 2.02,9.01 8/13/07
VICTORY RENEWABLE FUELS LLC 1.02,8.01,9.01 7/31/07
VINEYARD NATIONAL BANCORP CA 8.01 8/13/07
VISANT CORP 2.02,9.01 8/13/07
VISANT HOLDING CORP 2.02,9.01 8/13/07
VISTACARE, INC. DE 2.02,9.01 8/08/07
VOXWARE INC DE 5.02 8/08/07
VYYO INC DE 2.02,9.01 8/13/07
WaMu Asset Acceptance Corp. DE 6.01 8/13/07
WaMu Asset Acceptance Corp. DE 6.01 8/13/07
WaMu Asset Acceptance Corp. DE 6.01 8/13/07
WARWICK VALLEY TELEPHONE CO NY 8.01,9.01 8/13/07
WAVE SYSTEMS CORP DE 2.02,9.01 8/08/07
Wells Fargo Mortgage Backed Securitie DE 8.01,9.01 7/30/07
WEST BANCORPORATION INC IA 7.01,9.01 8/13/07
WESTFIELD FINANCIAL INC MA 3.01,8.01,9.01 8/09/07
WHEELING PITTSBURGH CORP /DE/ DE 2.02,8.01,9.01 8/09/07
WILD OATS MARKETS INC DE 5.02 8/10/07
WILLBROS GROUP INC R1 2.02,9.01 8/07/07
World Energy Solutions, Inc. DE 2.01,9.01 6/01/07 AMEND
Worldwide Biotech & Pharmaceutical CO DE 4.01,9.01 8/10/07
XCORPOREAL, INC. DE 7.01,9.01 8/13/07
XEDAR CORP CO 2.02,7.01,9.01 8/13/07
XFONE INC NV 5.02 6/30/07
XO HOLDINGS INC DE 2.02,8.01,9.01 8/09/07
XPLORE TECHNOLOGIES CORP 5.03,9.01 8/08/07
YELLOWCAKE MINING INC. 1.01,9.01 8/01/07
ZUNICOM INC TX 3.02,9.01 8/09/07
http://www.sec.gov/news/digest/2007/dig081407.htm
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