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SEC NEWS DIGEST
Issue 2007-167 August 29, 2007
INVESTMENT COMPANY ACT RELEASES
MEDALLION FINANCIAL CORP.
An order has been issued on an application by Medallion Financial
Corp. under Section 61(a)(3)(B) of the Investment Company Act
approving applicant's proposal to grant certain stock options to non-
employee directors under applicant's 2006 stock option plan. (Rel. IC-
27955 - August 28)
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A proposed rule change (SR-ISE-2007-72) filed by the International
Securities Exchange to list and trade options on the iShares Emerging
Markets Index Fund for a six month pilot program, as modified by
Amendment No. 1 thereto, 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 Sept. 3, 2007.
(Rel. 34-56324)
NOTICE OF PROPOSED RULE CHANGE
The American Stock Exchange filed a proposed rule change (SR-Amex-
2007-48) under Section 19(b)(1) of the Securities Exchange Act of 1934
to modify the options listing criteria for underlying securities.
Publication is expected in the Federal Register during the week of
Sept. 3, 2007. (Rel. 34-56318)
A proposed rule change (SR-Amex-2007-90), as modified by Amendment No.
1, to establish a fee on a listed company that changes its corporate
name or ticker symbol has been filed by the American Stock Exchange
under Section 19(b)(2) of the Securities Exchange Act of 1934.
Publication is expected in the Federal Register during the week of
Sept. 3, 2007. (Rel. 34-56325).
NYSE Arca filed a proposed rule change (SR-NYSEArca-2007-73) under
Section 19(b)(1) of the Securities Exchange Act of 1934 to amend NYSE
Arca Equities Rules 5.2(j)(3) (Investment Company Units) and 8.100
(Portfolio Depository Receipts) in connection with the dissemination
of information in extended hours trading. Publication is expected in
the Federal Register during the week of Sept. 3, 2007. (Rel. 34-56328)
NYSE Arca through its wholly owned subsidiary NYSE Arca Equities,
Inc., filed a proposed rule change (SR-NYSEArca-2007-75) and Amendment
No. 1 thereto under Rule 19b-4 of the Securities Exchange Act of 1934
to expand the trading hours of certain exchange-traded funds.
Publication is expected in the Federal Register during the week of
Sept. 3, 2007. (Rel. 34-56329)
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>.
SB-2 Lexington Energy Services Inc., 234125 WRANGLER ROAD SE. RR#5, CALGARY,
A0, T2P 2G6, 403-279-4550 - 2,745,365 ($549,073.00) Equity,
(File 333-145734 - Aug. 28) (BR. 04C)
SB-2 PETRO RESOURCES CORP, 777 POST OAK BLVD #910, HOUSTON, TX, 77056,
832-369-6986 - 0 ($35,000,000.00) Equity, (File 333-145735 - Aug. 28)
(BR. 04C)
S-8 MANAS PETROLEUM CORP, BAHNHOFSTR. 9, PO BOX 155, BAAR, V8, 6341,
41 44 718 10 32 - 10,650,000 ($44,550,000.00) Equity,
(File 333-145736 - Aug. 28) (BR. 08C)
SB-2 REFLECT SCIENTIFIC INC, 970 TERRA BELLA AVENUE, MOUNTAIN VIEW, CA,
94043, 650 960-0300 - 8,500,000 ($6,486,538.50) Equity,
(File 333-145737 - Aug. 28) (BR. 09B)
SB-2 CARDIO VASCULAR MEDICAL DEVICE CORP, 33 JABOTINSKY ST, PO BOX 129,
RAMATGAN, L6, 52511, 972 544 646 141 - 3,500,000 ($105,000.00) Equity,
(File 333-145738 - Aug. 28) (BR. )
S-4 Hyperion Energy, Inc., P.O. BOX 152112, SAN DIEGO, CA, 92195,
619-659-8297 - 18,000,000 ($18,000.00) Equity, (File 333-145739 -
Aug. 28) (BR. 09)
S-3 ELECTRO OPTICAL SCIENCES INC /NY, 3 WEST MAIN STREET, SUITE 201,
IRVINGTON, NY, 10533, 914-591-3783 - 0 ($14,476,268.00) Equity,
(File 333-145740 - Aug. 28) (BR. 10B)
S-8 EXAR CORP, 48720 KATO ROAD, 48720 KATO ROAD, FREMONT, CA, 94538,
5106687000 - 2,682,280 ($27,146,170.32) Equity, (File 333-145741 -
Aug. 28) (BR. 10B)
S-3 KANA SOFTWARE INC, 181 CONSTITUTION DRIVE, MENLO PARK, CA, 94025,
6506148300 - 8,000,000 ($20,280,000.00) Equity, (File 333-145742 -
Aug. 28) (BR. 03C)
SB-2 Bonfire Productions, Inc., 2018 156TH AVENUE NE SUITE 100, BELLEVUE,,
WA, 98007, 425-748-5041 - 20,000,000 ($300,000.00) Equity,
(File 333-145743 - Aug. 28) (BR. )
S-8 Core-Mark Holding Company, Inc., 395 OYSTER POINT BLVD., #415,
SOUTH SAN FRANCISCO, CA, 94080, 650-589-9445 -
1,202,350 ($40,843,829.50) Equity, (File 333-145744 - Aug. 28) (BR. 02A)
S-8 MMC ENERGY, INC., 26 BROADWAY,, SUITE 907, NEW YORK, NY, 10004,
(212) 977-0900 - 491,164 ($2,645,383.00) Equity, (File 333-145745 -
Aug. 28) (BR. 02B)
S-8 SCANNER TECHNOLOGIES CORP, 4665 SOUTH ASH AVENUE, STE G-20, TEMPE, AZ,
85282, 4807773793 - 1,500,000 ($210,000.00) Equity, (File 333-145746 -
Aug. 28) (BR. 10C)
S-8 DEAN FOODS CO, 2515 MCKINNEY AVENUE LB 30, SUITE 1200, DALLAS, TX,
75201, 2143033400 - 0 ($166,440,000.00) Equity, (File 333-145747 -
Aug. 28) (BR. 04C)
N-2 HYPERION BROOKFIELD TOTAL RETURN FUND INC,
THREE WORLD FINANCIAL CENTER, 200 VESEY STREET, 10TH FLOOR, NEW YORK,
NY, 10281-1010, 212-549-8415 - 0 ($79,988,785.00) Equity,
(File 333-145748 - Aug. 28) (BR. 17)
S-1 EAGLE BROADBAND INC, 101 COURAGEOUS DRIVE, LEAGUE CITY, TX, 77573,
2815386000 - 18,000,000 ($594,000.00) Equity, (File 333-145749 -
Aug. 28) (BR. 11C)
S-3 TOMPKINS FINANCIAL CORP, PO BOX 460 THE COMMONS, ITHACA, NY, 14851,
6072733210 - 500,000 ($19,500,000.00) Equity, (File 333-145750 -
Aug. 28) (BR. 07A)
S-8 ABN AMRO HOLDING N V, GUSTAV MAHLERLAAN 10, AMSTERDAM, P7, 1082 PP,
673,281 ($30,742,010.46) Equity, (File 333-145751 - Aug. 28) (BR. 07C)
S-1 TENSAR CORP, 5871 GLENRIDGE DRIVE, SUITE 300, ATLANTA, GA, 30328,
404-214-1700 - 0 ($201,250,000.00) Equity, (File 333-145752 - Aug. 28)
(BR. )
S-1 NYFIX INC, 100 WALL STREET, 26TH FLOOR, NEW YORK, NY, 10005,
212-809-3542 - 4,640,604 ($24,525,592.14) Equity, (File 333-145753 -
Aug. 28) (BR. 03C)
S-3 Crystal River Capital, Inc., THREE WORLD FINANCIAL CENTER,
200 VESEY STREET, 10TH FLOOR, NEW YORK, NY, 10281-1010, 212-549-8400 -
0 ($500,000,000.00) Other, (File 333-145754 - Aug. 28) (BR. 08B)
S-8 NYFIX INC, 100 WALL STREET, 26TH FLOOR, NEW YORK, NY, 10005,
212-809-3542 - 1,500,000 ($7,927,000.00) Equity, (File 333-145755 -
Aug. 28) (BR. 03C)
S-4 BELDEN INC., BELDEN INC., 7701 FORSYTH BOULEVARD, SUITE 800, ST. LOUIS,
MO, 63105, 314-854-8000 - 0 ($350,000,000.00) Debt, (File 333-145756 -
Aug. 28) (BR. 06C)
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
-------------------------------------------------------------------------------------------------------
ACADIA REALTY TRUST MD 5.02,9.01 08/23/07
ADOLOR CORP 8.01,9.01 08/28/07
ADVANCED BIOTHERAPY INC DE 5.02 08/28/07
AFFIRMATIVE INSURANCE HOLDINGS INC DE 7.01 08/28/07
Agfeed Industries, Inc NV 8.01 08/24/07
AIR INDUSTRIES GROUP, INC. DE 1.01,2.01,2.03,3.02,9.01 08/24/07
ALBANY INTERNATIONAL CORP /DE/ DE 8.01 08/28/07
Aleris International, Inc. DE 1.01,2.03 08/23/07
ALLEGHENY ENERGY, INC MD 1.01 08/28/07
ALLEGRO BIODIESEL CORP DE 5.03,8.01,9.01 08/22/07
ALLIANCE FINANCIAL CORP /NY/ NY 7.01 08/28/07
ALLSCRIPTS HEALTHCARE SOLUTIONS INC DE 7.01,9.01 08/28/07
Alternative Construction Company, Inc FL 1.01,9.01 08/28/07
AMAG PHARMACEUTICALS INC. DE 1.01,9.01 08/27/07
AMCOMP INC /FL DE 8.01,9.01 08/28/07
AMERICAN BILTRITE INC DE 3.01,9.01 08/22/07
AMERICAN CRYSTAL SUGAR CO /MN/ MN 5.02,7.01 08/27/07
AMERICAN DENTAL PARTNERS INC DE 8.01,9.01 08/23/07
AMERISOURCEBERGEN CORP DE 8.01,9.01 08/27/07
ANAREN INC NY 2.02,9.01 08/28/07
ANAREN INC NY 4.02,9.01 08/28/07
ANGEION CORP/MN MN 1.01,5.02,5.03,9.01 08/22/07
APOGEE ROBOTICS INC CO 1.01,3.02,4.01,5.01,5.02,8.01, 02/06/07
9.01
APOGEE TECHNOLOGY INC DE 8.01,9.01 08/23/07
APPLERA CORP DE 1.01,9.01 08/27/07
ARES CAPITAL CORP MD 7.01,9.01 08/28/07
ARGON ST, Inc. DE 8.01 08/24/07
AT&S HOLDINGS INC NV 1.01 08/28/07
AURIGA LABORATORIES, INC. DE 1.01,5.02,9.01 08/27/07
AVATAR SYSTEMS INC TX 2.02,9.01 08/23/07
AVISTAR COMMUNICATIONS CORP DE 5.02 08/23/07
AWARE INC /MA/ MA 8.01,9.01 08/28/07
Bancorp of New Jersey, Inc. NJ 5.02 08/27/07
BARRIER THERAPEUTICS INC DE 5.02 08/22/07
BARRY R G CORP /OH/ OH 2.02,5.02,9.01 08/24/07
BCSB BANKCORP INC 4.02 08/28/07
BIOANALYTICAL SYSTEMS INC IN 5.02,9.01 08/28/07
BIOGEN IDEC INC. DE 7.01,9.01 08/28/07
BLUE NILE INC DE 5.02,9.01 08/23/07
BLUEFIRE ETHANOL FUELS INC NV 3.02,9.01 08/22/07
BNS HOLDING, INC. 8.01,9.01 08/23/07
BOE FINANCIAL SERVICES OF VIRGINIA IN VA 7.01,9.01 08/28/07
BOK FINANCIAL CORP ET AL OK 8.01 08/28/07
BSD MEDICAL CORP DE 7.01,9.01 08/28/07
BUCKEYE PARTNERS L P DE 1.01,2.03,9.01 08/24/07
BUCKEYE TECHNOLOGIES INC DE 7.01,8.01,9.01 08/28/07
BV Financial, Inc. X1 8.01,9.01 08/24/07
Cal Dive International, Inc. DE 8.01,9.01 08/27/07
CALLAWAY GOLF CO DE 5.02 08/22/07
CALPINE CORP DE 5.02 08/28/07
CAMBREX CORP DE 8.01 08/28/07
CAMERON INTERNATIONAL CORP DE 7.01,9.01 08/27/07
CANYON RESOURCES CORP DE 8.01 08/27/07
CAPELLA EDUCATION CO 8.01 08/23/07
CAPITAL AUTO RECEIVABLES LLC DE 8.01,9.01 08/23/07
CAPITAL ONE FINANCIAL CORP DE 9.01 08/28/07
CAPSTONE TURBINE CORP DE 1.01 08/24/07
Cardinal Ethanol LLC 1.01 08/22/07
Cardium Therapeutics, Inc. 8.01,9.01 08/28/07
CARRINGTON LABORATORIES INC /TX/ TX 1.01,2.03,3.02,8.01,9.01 04/25/07
CENTER BANCORP INC NJ 5.02,9.01 08/23/07
CEPHALON INC DE 1.01,8.01,9.01 08/23/07
CHADMOORE WIRELESS GROUP INC CO 8.01 08/22/07
China Direct, Inc DE 1.01,9.01 08/24/07
China Water & Drinks Inc.. NV 2.01,9.01 06/15/07 AMEND
CHINACAST EDUCATION CORP DE 8.01 08/28/07
CIT GROUP INC DE 8.01,9.01 08/28/07
CKE RESTAURANTS INC DE 2.02,9.01 08/22/07
CLEVELAND CLIFFS INC OH 7.01,9.01 08/27/07
CNH CAPITAL RECEIVABLES LLC DE 8.01 08/28/07
COACHMEN INDUSTRIES INC IN 5.03,9.01 08/22/07
COMDISCO HOLDING CO INC DE 8.01,9.01 08/27/07
COMMONWEALTH BIOTECHNOLOGIES INC VA 2.02,9.01 08/22/07
Con-way Inc. DE 1.01 08/28/07
CONGOLEUM CORP DE 3.01,9.01 08/22/07
CONSOLIDATED EDISON CO OF NEW YORK IN NY 8.01,9.01 08/28/07
CONSTELLATION ENERGY GROUP INC MD 5.02 08/22/07
CORINTHIAN COLLEGES INC 2.02,5.02,9.01 08/23/07
COST U LESS INC WA 1.01,9.01 08/27/07
COUNTRYWIDE FINANCIAL CORP DE 1.01,3.02,5.03,9.01 08/22/07
CrossPoint Energy CO NV 1.01 08/22/07
CSMG TECHNOLOGIES, INC. TX 4.01,9.01 07/03/07 AMEND
CULP INC NC 2.02,9.01 08/28/07
CWABS Asset-Backed Certificates Trust DE 8.01,9.01 08/13/07
DETTO DE 5.02 08/22/07
Deutsche Alt-A Securities Mortgage Lo DE 8.01 08/28/07
DigitalTown, Inc. MN 5.02 08/01/07
Dividend Capital Total Realty Trust I MD 9.01 03/27/07 AMEND
DOUBLE EAGLE PETROLEUM CO MD 5.03,9.01 08/28/07
DOV PHARMACEUTICAL INC DE 8.01 08/23/07
Duncan Energy Partners L.P. DE 8.01,9.01 06/30/07
DURA AUTOMOTIVE SYSTEMS INC DE 8.01,9.01 08/22/07
DURA AUTOMOTIVE SYSTEMS INC DE 7.01,9.01 08/28/07
DYADIC INTERNATIONAL INC DE 3.01,9.01 08/23/07
EARTHLINK INC DE 2.05,5.02,7.01,9.01 08/27/07
ECASH, INC DE 4.01,9.01 08/13/07 AMEND
Education Management LLC DE 2.02,9.01 08/22/07
ELECTRONICS FOR IMAGING INC DE 3.01 08/23/07
ENCORE ACQUISITION CO DE 1.01,9.01 08/22/07
Energtek 2.01,8.01,9.01 08/22/07
ENTERPRISE PRODUCTS PARTNERS L P DE 8.01,9.01 08/27/07
ENVIROKARE TECH INC NV 4.01,9.01 08/27/07
ENVIRONMENTAL TECTONICS CORP PA 1.01,3.02,5.03,9.01 08/23/07
EQUITY RESIDENTIAL MD 8.01,9.01 08/28/07
ERP OPERATING LTD PARTNERSHIP MD 8.01,9.01 08/28/07
ETHAN ALLEN INTERIORS INC DE 8.01,9.01 08/27/07
EXAR CORP DE 2.01,9.01 08/27/07
EXIDE TECHNOLOGIES DE 1.01,8.01,9.01 08/28/07
FAIRPOINT COMMUNICATIONS INC DE 5.02,9.01 08/24/07
FBL FINANCIAL GROUP INC IA 7.01 08/28/07
FEDDERS CORP /DE DE 5.02 08/14/07
FEDDERS CORP /DE DE 1.03,8.01,9.01 08/22/07
Federal Home Loan Bank of Atlanta X1 2.03 08/22/07
Federal Home Loan Bank of Boston X1 2.03 08/22/07
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 08/22/07
Federal Home Loan Bank of Dallas 2.03 08/22/07
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 08/23/07
Federal Home Loan Bank of New York X1 2.03,9.01 08/22/07
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 08/22/07
Federal Home Loan Bank of San Francis X1 2.03 08/22/07
Federal Home Loan Bank of Seattle 2.03 08/28/07
Federal Home Loan Bank of Topeka 2.03 08/23/07
FERRELLGAS PARTNERS L P DE 7.01,8.01 08/28/07
FIELDPOINT PETROLEUM CORP CO 7.01,9.01 08/21/07
FINISAR CORP DE 5.02 08/08/07
FIRST COMMUNITY BANCSHARES INC /NV/ NV 8.01,9.01 08/28/07
FIRST DATA CORP DE 1.01,3.03,9.01 08/22/07
FIRST HARTFORD CORP ME 2.03 08/28/07
FIRST NATIONAL BANCSHARES INC /SC/ SC 1.01,9.01 08/26/07
FIRSTCITY FINANCIAL CORP DE 1.01,2.03,7.01,9.01 08/22/07
FOAMEX INTERNATIONAL INC DE 5.02,8.01,9.01 08/27/07
FOSSIL INC DE 5.02 08/27/07
FreightCar America, Inc. DE 1.01,2.03,9.01 08/24/07
FREMONT GENERAL CORP NV 5.02,9.01 08/23/07
GALAXY ENERGY CORP CO 5.02 08/24/07
GATEWAY INC DE 1.01,3.03,8.01,9.01 08/27/07
GATEWAY INC DE 1.01,3.03,8.01,9.01 08/27/07 AMEND
GENCO SHIPPING & TRADING LTD 2.01,9.01 08/28/07
GENERAL METALS CORP DE 3.02 08/03/07 AMEND
GENERAL MILLS INC DE 2.05,2.06 08/23/07
GLU MOBILE INC 1.01,2.03,9.01 08/22/07
Google Inc. DE 5.02,9.01 08/27/07
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 08/24/07
GREATER BAY BANCORP CA 8.01 08/15/07
GREENE COUNTY BANCORP INC DE 8.01 08/22/07
GULFMARK OFFSHORE INC DE 7.01,9.01 08/28/07
HARVEY ELECTRONICS INC NY 9.01 08/28/07
HEI INC MN 5.03,9.01 08/24/07
HERCULES INC DE 8.01 08/28/07
HOME DEPOT INC DE 1.01,9.01 08/27/07
Honda Auto Receivables 2007-3 Owner T CA 8.01,9.01 08/23/07
IA GLOBAL INC DE 1.01,3.02,9.01 08/24/07
ICP Solar Technologies Inc. 1.01,2.01,8.01,9.01 08/28/07
IGATE CORP PA 1.01,9.01 08/28/07
IMARX THERAPEUTICS INC 8.01,9.01 08/28/07
INDEVUS PHARMACEUTICALS INC DE 8.01,9.01 08/28/07
INDYMAC MBS INC RESIDENTIAL ASSET SEC 8.01 08/27/07
IndyMac RAST 2004-R2 8.01 08/27/07
INFINITY PHARMACEUTICALS, INC. DE 7.01,9.01 08/28/07
INFRASOURCE SERVICES INC DE 8.01 08/23/07
INPUT OUTPUT INC DE 7.01 08/28/07
INSITUFORM TECHNOLOGIES INC DE 5.02 08/13/07 AMEND
INSTEEL INDUSTRIES INC NC 8.01,9.01 08/28/07
INTELLI CHECK INC DE 5.02,9.01 08/23/07
INTELLIGENTIAS, INC. 5.02 08/24/07
INTELLIGROUP INC NJ 1.01,9.01 08/22/07
INTERLEUKIN GENETICS INC DE 5.02 08/21/07
International Coal Group, Inc. DE 2.03,3.02,8.01,9.01 08/28/07
INVERNESS MEDICAL INNOVATIONS INC DE 7.01 08/23/07
INVERNESS MEDICAL INNOVATIONS INC DE 1.01,8.01,9.01 08/27/07
ITRONICS INC TX 1.01,2.03,3.02,9.01 08/22/07
J P MORGAN CHASE & CO DE 9.01 08/24/07
J P MORGAN CHASE & CO DE 9.01 08/24/07
JUNIPER NETWORKS INC DE 8.01 08/28/07
LEAR CORP DE 5.02 08/24/07
LEHMAN ABS CORP BOEING NOTE BACKED SE DE 8.01,9.01 08/15/07
LEHMAN ABS CORP BOEING SECURITIES BAC DE 8.01,9.01 08/15/07
LEHMAN ABS CORP CORP BACK TR AIG DEBE DE 8.01,9.01 07/31/07 AMEND
LEHMAN ABS CORP DUKE CAPITAL NOTE BAC DE 8.01,9.01 08/15/07
LEHMAN ABS CORP GOLD SACHS CAP I SEC DE 8.01,9.01 08/15/07
LEHMAN ABS CORP GOLDMAN SACHS CAP 1 S DE 8.01,9.01 08/15/07
LEHMAN ABS CORP GOLDMAN SACHS CAP 1 S DE 8.01,9.01 08/15/07
LEHMAN ABS CORP GOLDMAN SACHS NOTE-BK DE 8.01,9.01 08/15/07
LEXICON PHARMACEUTICALS, INC./DE DE 3.02,5.02 08/28/07
Lifevantage Corp CO 5.02,9.01 08/25/07
Lightspace Corp 5.02,8.01,9.01 08/23/07
LINCOLN GOLD CORP NV 1.01,3.02,9.01 08/23/07
LKA INTERNATIONAL INC /DE/ DE 1.01,2.03,9.01 08/24/07
LL&E ROYALTY TRUST TX 2.02,9.01 08/28/07
MANARIS CORP NV 3.02,9.01 08/22/07
MANPOWER INC /WI/ WI 8.01,9.01 08/27/07
MARSH & MCLENNAN COMPANIES, INC. DE 8.01,9.01 08/24/07
MATRITECH INC/DE/ DE 1.01,9.01 08/27/07
MATTEL INC /DE/ DE 7.01,9.01 08/28/07
MAXIM INTEGRATED PRODUCTS INC DE 8.01,9.01 08/23/07
Mayflower Bancorp Inc MA 2.02,9.01 08/24/07
MEDCO HEALTH SOLUTIONS INC DE 1.01,8.01,9.01 08/28/07
MEDIRECT LATINO INC FL 3.02,5.01,9.01 08/22/07
MEDQUIST INC NJ 5.02,9.01 08/23/07
METLIFE INC DE 8.01 08/21/07
MICROS SYSTEMS INC MD 2.02,9.01 08/28/07
MIDAMERICAN ENERGY HOLDINGS CO /NEW/ IA 8.01,9.01 08/28/07
MIPS TECHNOLOGIES INC DE 1.01,2.01,2.03,3.02,5.02,9.01 08/24/07
ML-CFC Commercial Mortgage Trust 2007 DE 9.01 08/28/07
Morgan Stanley ABS Capital I Inc. Tru DE 1.01,9.01 08/23/07
MOVIE GALLERY INC DE 1.01,9.01 08/27/07
NATIONAL PENN BANCSHARES INC PA 1.01,5.02,9.01 08/22/07
NATIONAL PRESTO INDUSTRIES INC WI 8.01,9.01 08/27/07
NEFF CORP DE 5.02 08/22/07
NEWS CORP 8.01,9.01 08/28/07
NORDSTROM INC WA 8.01 08/16/07
NORTH AMERICAN SCIENTIFIC INC 1.01,2.03 08/24/07
NORTHWEST PIPELINE CORP DE 8.01 08/24/07
NxStage Medical, Inc. DE 2.06,8.01 08/28/07
OPHTHALMIC IMAGING SYSTEMS CA 5.02,9.01 08/22/07
OPTICAL COMMUNICATION PRODUCTS INC DE 8.01,9.01 08/28/07
ORAMED PHARMACEUTICALS INC. NV 1.01,8.01,9.01 08/01/07
ORCHESTRA THERAPEUTICS, INC. DE 5.02,8.01 08/24/07
Orexigen Therapeutics, Inc. DE 1.01,9.01 08/22/07
Owens Corning DE 8.01 08/28/07
PAB BANKSHARES INC GA 8.01 08/28/07
PACIFIC CAPITAL BANCORP /CA/ CA 5.02 08/22/07
PAINCARE HOLDINGS INC CT 2.01,9.01 08/13/07
PARAMOUNT GOLD & SILVER CORP. 5.02,5.03,8.01,9.01 08/23/07
Penn Virginia GP Holdings, L.P. 1.01,9.01 08/23/07
PEPSICO INC NC 5.02 08/28/07
PERCEPTRON INC/MI MI 2.02,9.01 08/28/07
PETROLEUM DEVELOPMENT CORP NV 7.01,9.01 08/28/07
PETROQUEST ENERGY INC DE 8.01 08/28/07
Pike Electric CORP 2.02,9.01 08/28/07
PIONEER COMPANIES INC DE 8.01,9.01 08/28/07
PIONEER NATURAL RESOURCES CO DE 7.01,9.01 08/28/07
PLAYLOGIC ENTERTAINMENT INC DE 5.02 08/28/07
PLURIS ENERGY GROUP INC NV 5.02 08/22/07
PLURIS ENERGY GROUP INC NV 7.01,9.01 08/28/07
POLYMEDICA CORP MA 1.01,8.01,9.01 08/28/07
POWER 3 MEDICAL PRODUCTS INC NY 4.01,9.01 08/10/07 AMEND
POWER TECHNOLOGY INC/CN NV 8.01 08/07/07
PREMIER FINANCIAL BANCORP INC KY 7.01,9.01 08/28/07
PRIVATEBANCORP, INC DE 5.03,7.01,9.01 08/23/07
PROGINET CORP DE 2.02,9.01 08/22/07
PROVIDENT NEW YORK BANCORP DE 5.03,8.01,9.01 08/23/07
QEP CO INC DE 5.03,8.01,9.01 08/24/07
QUANEX CORP DE 2.02 08/28/07
QUIDEL CORP /DE/ DE 5.02 08/23/07
R H DONNELLEY CORP DE 2.03,9.01 08/23/07
RAM Holdings Ltd. D0 5.02,9.01 08/27/07
REGENCY CENTERS CORP FL 5.03,9.01 08/27/07
REPUBLIC AIRWAYS HOLDINGS INC DE 1.01 08/28/07
REPUBLIC AIRWAYS HOLDINGS INC DE 8.01,9.01 08/28/07
RICKS CABARET INTERNATIONAL INC TX 5.02 08/24/07
RIVER HAWK AVIATION INC DE 1.01,2.01,3.03,8.01,9.01 01/10/07
ROCKY MOUNTAIN CHOCOLATE FACTORY INC CO 5.02,9.01 08/17/07
ROMA FINANCIAL CORP X1 8.01,9.01 08/27/07
SANTANDER DRIVE AUTO RECEIVABLES LLC DE 8.01,9.01 08/23/07
SEMTECH CORP DE 2.02,7.01,9.01 05/31/05
SENESCO TECHNOLOGIES INC DE 5.02 08/24/07
SENSE HOLDINGS INC FL 1.01,9.01 08/24/07
SEQUA CORP /DE/ DE 8.01,9.01 08/27/07
SMART MOVE, INC. DE 3.02,8.01,9.01 08/28/07
SMITH MIDLAND CORP DE 5.02 08/28/07
SoftNet Technology Corp. NV 4.01,9.01 08/28/07 AMEND
SourceForge, Inc DE 2.02 08/28/07
SOUTH TEXAS OIL CO NV 5.02,9.01 08/28/07
SOUTHERN IOWA BIOENERGY LLC 1.01 08/27/07
SPACEHAB INC \WA\ WA 1.01 08/23/07
SRA INTERNATIONAL INC DE 1.01,9.01 08/09/07
Stanley, Inc. DE 8.01 08/28/07
STAR ENERGY CORP NV 5.02,9.01 08/22/07
STAR ENERGY CORP NV 5.02,9.01 08/22/07
STEIN MART INC FL 2.02,9.01 08/23/07
STERICYCLE INC DE 1.01,2.03,9.01 08/24/07
SUFFOLK BANCORP NY 8.01 08/27/07
Sun Motor International Inc 5.02 08/21/07
SUNESIS PHARMACEUTICALS INC 2.05,9.01 08/27/07
SUSSEX BANCORP NJ 8.01,9.01 08/23/07
T-3 ENERGY SERVICES INC TX 5.02,9.01 08/24/07
TAGALDER GLOBAL INVESTMENT, INC. 2.01,5.06,9.01 08/27/07
TASKER PRODUCTS CORP DE 8.01,9.01 08/22/07
TELLABS INC DE 5.02,8.01 08/22/07
Thrust Energy Corp. NV 5.02 08/27/07
TIAA REAL ESTATE ACCOUNT NY 2.02,7.01,9.01 08/28/07
TODD SHIPYARDS CORP WA 8.01 08/27/07
TOWER TECH HOLDINGS INC. NV 5.03,9.01 02/07/06 AMEND
TRANSMERIDIAN EXPLORATION INC DE 8.01,9.01 08/27/07
Travelport LTD D0 1.01,5.02,9.01 08/28/07
True North Energy CORP 1.01,9.01 08/23/07
TUESDAY MORNING CORP/DE DE 2.02,9.01 08/28/07
TXU CORP /TX/ TX 1.01 08/24/07
U S PHYSICAL THERAPY INC /NV NV 1.01,2.03 08/27/07
U.S. Shipping Partners L.P. DE 8.01 08/22/07
Uni-Pixel DE 8.01,9.01 08/28/07
UNIVISION COMMUNICATIONS INC DE 5.02 08/27/07
URANIUM 308 CORP. NV 4.01,9.01 08/28/07
uVuMobile, Inc 5.02,8.01 08/23/07
VERSANT CORP CA 2.02,9.01 08/28/07
VICORP RESTAURANTS INC CO 2.02,9.01 08/28/07
VIEWSONIC CORP DE 1.01,9.01 08/23/07
WACHOVIA ASSET SECURITIZATION INC 200 8.01,9.01 08/27/07
WACHOVIA ASSET SECURITIZATION INC AST 8.01,9.01 08/27/07
WASTE SERVICES, INC. A6 5.02,9.01 08/23/07
WEBSITE PROS INC DE 8.01,9.01 08/28/07
WESTBOROUGH FINANCIAL SERVICES INC MA 8.01,9.01 08/24/07
WESTERN DIGITAL CORP DE 5.02 08/22/07
WET SEAL INC DE 5.03,9.01 08/22/07
WHOLE FOODS MARKET INC TX 1.01,1.02,2.01,2.03,8.01,9.01 08/28/07
WILD OATS MARKETS INC DE 8.01,9.01 08/23/07
WINLAND ELECTRONICS INC MN 7.01,9.01 08/27/07
WINN DIXIE STORES INC FL 2.02,9.01 08/28/07
WINSONIC DIGITAL MEDIA GROUP LTD NV 7.01,8.01,9.01 08/28/07
Wise Metals Group LLC DE 4.01,9.01 08/22/07
Wright Express CORP 1.01,2.03 08/22/07
WRIGLEY WM JR CO DE 5.02 08/27/07
XSUNX INC CO 1.01 08/27/07
ZINGO, INC NV 5.03 08/17/07
http://www.sec.gov/news/digest/2007/dig082907.htm
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