 |
|
SEC NEWS DIGEST
Issue 2007-173 September 7, 2007
COMMISSION ANNOUNCEMENTS
NYSE EURONEXT BECOMES FIRST EXCHANGE TO FILE FINANCIAL STATEMENTS
USING INTERACTIVE DATA
The Securities and Exchange Commission today announced that NYSE
Euronext is the first stock exchange to submit financial reporting
information using interactive data.
In furnishing 10-Q information in XBRL format, NYSE Euronext joined
more than 40 public companies that are leading the way in making
filings more accessible and understandable to investors. The XBRL
computer language, specially designed for financial reporting, makes
income statements, balance sheets, and even footnotes completely
interactive. Investors and analysts can easily search them, download
the information into popular spreadsheet software, and even generate
real-time data feeds to their desktops to alert them to new SEC
filings.
SEC Chairman Christopher Cox said, "NYSE Euronext is demonstrating
admirable leadership in making their financial reports available to
investors in a user-friendly way. Interactive data has the potential
to save significant time and expense for investors, analysts, and
those who prepare financial reports. This significant step by the
world's largest exchange is another important milestone in the
evolution of all public company reporting into the interactive
format."
The SEC's voluntary interactive data filing program allows public
companies to submit documents in eXtensible Business Reporting
Language (XBRL) format as exhibits to periodic reports and investment
company act filings. Participants in the program provide the SEC with
feedback on benefits or deficiencies involved with submitting XBRL
filings. The SEC staff, in return, provides expedited reviews of all
of their registration statements and Form 10-Ks.
The SEC encourages additional companies to participate in its
interactive data initiative by joining the XBRL financial reporting
test group. Companies should visit the SEC's interactive data
spotlight page at http://www.sec.gov/spotlight/xbrl.htm and contact
Jeffrey Naumann in the Office of the Chief Accountant
(naumannj@sec.gov) or Brigitte Lippmann in the Division of Corporation
Finance (lippmannb@sec.gov) for additional information. (Press Rel.
2007-176)
SELF-REGULATORY ORGANIZATIONS
ACCELERATED APPROVAL OF PROPOSED RULE CHANGE
A proposed rule change (SR-Amex-2007-40), as modified by Amendment No.
1 thereto, filed with the Commission by the American Stock Exchange
relating to Options Quote Size Mitigation has been granted approval on
an accelerated basis under Section 19(b)(2) of the Securities Exchange
Act of 1934. Publication is expected in the Federal Register during
the week of September 10. (34-56354)
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A proposed rule change (SR-ISE-2007-75) filed by the International
Securities Exchange relating to non-ISE market maker fees 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 September 10. (Rel. 34-56355)
A proposed rule change filed by the Chicago Board Options Exchange to
establish transaction fees for Credit Default Basket Options (SR-CBOE-
2007-101) 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 September 10. (Rel. 34-56357)
A proposed rule change (SR-ISE-2007-82) filed by the International
Securities Exchange relating to fee changes 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
September 10. (Rel. 34-56367)
A proposed rule change (SR-ISE-2007-81) filed by the International
Securities Exchange relating to fee changes 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
September 10. (Rel. 34-56368)
The Commission issued notice of immediate effectiveness of a proposed
rule change (SR-NYSE-2007-81) filed by the New York Stock Exchange
relating to Rule 104 (Dealings by Specialists). Publication is
expected in the Federal Register during the week of September 10.
(Rel. 34-56370)
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 INVERNESS MEDICAL INNOVATIONS INC, 51 SAWYER ROAD, SUITE 200, WALTHAM,
MA, 02453, 7816473900 - 0 ($204,696,351.00) Equity, (File 333-145892 -
Sep. 6) (BR. 01A)
S-8 INVERNESS MEDICAL INNOVATIONS INC, 51 SAWYER ROAD, SUITE 200, WALTHAM,
MA, 02453, 7816473900 - 0 ($19,072,367.00) Equity, (File 333-145893 -
Sep. 6) (BR. 01A)
S-3ASR STARWOOD HOTEL & RESORTS WORLDWIDE INC, 1111 WESTCHESTER AVENUE,
WHITE PLAINS, NY, 10604, 9146408100 - 0 ($0.00) Equity,
(File 333-145894 - Sep. 6) (BR. 08C)
S-4 CARDINAL HEALTH INC, 7000 CARDINAL PLACE, DUBLIN, OH, 43017,
6147573033 - 600,000,000 ($600,000,000.00) Non-Convertible Debt,
(File 333-145896 - Sep. 6) (BR. 09B)
SB-2 HL VENTURES INC., OFFICE 404 - 4TH FLOOR, ALBANY HOUSE,
324-326 REGENT STREET, LONDON, X0, W1B 3HH, 702 993 6122 -
3,200,000 ($64,000.00) Equity, (File 333-145897 - Sep. 6) (BR. 04)
SB-2 Red Sun Mining, Inc., 11045 LA MAIDA ST, SUITE 201, NORTH HOLLYWOOD,
X1, 91601, 760 4139275 - 1,000,000 ($25,000.00) Equity,
(File 333-145898 - Sep. 6) (BR. 04)
S-3 PERFICIENT INC, 1120 SOUTH CAPITAL OF TEXAS HWY,, SUITE 220, BLDG. 3,
AUSTIN, TX, 78746, 5125316000 - 355,633 ($8,222,234.96) Equity,
(File 333-145899 - Sep. 6) (BR. 03B)
SB-2 NARROWSTEP INC, 60 PARSONS GREEN LANE, LONDON UK, X0, SW6 4HU,
011442077314242 - 64,766,400 ($33,013,800.00) Equity,
(File 333-145900 - Sep. 6) (BR. 11C)
S-1 CHINA ENERGY & RESOURCES LTD, SHEN ZHEN CHINA JIA YUE TRADING CO LTD,
RM 921 BLK A GOLDEN CENTRAL TWR JINTIAN, FUTIAN DISTRICT SHENZHEN, F4,
00000, 86 755 23993668 - 9,760,001 ($85,680,100.00) Equity,
(File 333-145901 - Sep. 6) (BR. 09)
S-8 DealerAdvance, Inc., 16801 ADDISON ROAD, SUITE 310, ADDISON, TX, 75001,
214-866-0606 - 10,000,000 ($1,000,000.00) Equity, (File 333-145902 -
Sep. 6) (BR. 03C)
S-1 STARTECH ENVIRONMENTAL CORP, 15 OLD DANBURY ROAD, SUITE 203, WILTON,
CT, 06897-2525, 202-762-2499 - 4,939,135 ($10,372,183.50) Equity,
(File 333-145903 - Sep. 6) (BR. 06A)
S-8 RCM TECHNOLOGIES INC, 2500 MCCLELLAN AVE STE 350, PENNSAUKEN, NJ,
08109, 8564861777 - 0 ($4,774,000.00) Equity, (File 333-145904 -
Sep. 6) (BR. 11C)
S-8 INDYMAC BANCORP INC, 888 EAST WALNUT STREET, PASADENA, CA, 91101-7211,
8006692300 - 0 ($213,050,000.00) Equity, (File 333-145905 - Sep. 6)
(BR. 07B)
S-3 HYTHIAM INC, 11150 SANTA MONICA BOULEVARD, SUITE 1500, LOS ANGELES, CA,
90025, 310 444 4300 - 0 ($50,000,000.00) Other, (File 333-145906 -
Sep. 6) (BR. 01C)
S-8 MIPS TECHNOLOGIES INC, 1225 CHARLESTON ROAD, MOUNTAIN VIEW, CA,
94043-1353, 6505675000 - 1,975,689 ($14,750,903.46) Equity,
(File 333-145907 - Sep. 6) (BR. 10B)
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
-------------------------------------------------------------------------------------------------------
ABATIX CORP DE 3.01,7.01,9.01 09/05/07
ABERCROMBIE & FITCH CO /DE/ DE 7.01,9.01 09/06/07
ABM INDUSTRIES INC /DE/ DE 2.02,8.01,9.01 09/05/07
ACCELLENT INC 5.02 09/04/07
ACCESS PHARMACEUTICALS INC DE 1.01 09/06/07
ACCREDITED HOME LENDERS HOLDING CO DE 1.01 08/30/07
Accredited Mortgage Loan REIT Trust MD 1.01 09/04/07
ACORDA THERAPEUTICS INC 8.01,9.01 09/05/07
ACTIS GLOBAL VENTURES INC NV 9.01 04/24/07 AMEND
ADAPTEC INC DE 5.02 08/31/07
AEI INCOME & GROWTH FUND XXI LTD PART MN 2.01,9.01 08/30/07
AIRGAS INC DE 7.01,9.01 09/06/07
ALABAMA NATIONAL BANCORPORATION DE 8.01,9.01 09/06/07
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 09/06/07
ALLIED WASTE INDUSTRIES INC DE 8.01 09/04/07
ALLOY INC DE 2.02,9.01 09/06/07
ALPHARMA INC DE 7.01,9.01 09/06/07
AMEDISYS INC DE 2.01,9.01 09/01/07
AMERICAN COMMERCIAL LINES INC. DE 8.01,9.01 09/05/07
AMERICAN GREETINGS CORP OH 5.02,9.01 09/05/07
AMERICAN MEDICAL SYSTEMS HOLDINGS INC DE 7.01 09/06/07
AMERICAN SOFTWARE INC GA 2.02,9.01 09/06/07
AMERICAS CARMART INC TX 2.02,5.02,9.01 09/06/07
AMERIGROUP CORP 8.01 09/05/07
AMERISOURCEBERGEN CORP DE 8.01 09/04/07
AML COMMUNICATIONS INC DE 8.01,9.01 09/04/07
AMSURG CORP TN 5.02 09/06/07
ANESIVA, INC. DE 1.01,2.03,9.01 08/30/07
ANGELICA CORP /NEW/ MO 2.05,7.01,9.01 08/30/07
ANNTAYLOR STORES CORP DE 7.01,9.01 09/06/07
ANSOFT CORP PA 8.01 09/06/07
APPLERA CORP DE 1.01,9.01 08/30/07
ARADIGM CORP CA 1.01 08/31/07
ARBIOS SYSTEMS INC DE 5.02 08/31/07
ARBITRON INC DE 7.01,9.01 08/31/07
ARCH COAL INC DE 7.01,9.01 09/06/07
ASHLAND INC. KY 7.01,9.01 09/06/07
ATWOOD OCEANICS INC TX 7.01 09/06/07
AUXILIUM PHARMACEUTICALS INC 7.01,9.01 09/06/07
BAKER HUGHES INC DE 8.01 08/31/07
Bank of Marin Bancorp CA 7.01 09/05/07
BANKUNITED FINANCIAL CORP FL 5.02 08/29/07
BARNES & NOBLE INC DE 8.01 09/06/07
Barrington Broadcasting Group LLC DE 1.01 08/31/07
Basin Water, Inc. DE 1.01,9.01 08/31/07 AMEND
BBM HOLDINGS, INC. UT 4.01 08/30/07 AMEND
BELLAVISTA CAPITAL INC MD 2.02,9.01 09/06/07
BIOGEN IDEC INC. DE 7.01,9.01 09/06/07
BIOLIFE SOLUTIONS INC DE 1.01,3.02 09/04/07
BIOMET INC IN 8.01,9.01 09/05/07
BlackRock Inc. DE 5.02,9.01 09/05/07
BLASTGARD INTERNATIONAL INC CO 1.01,7.01,9.01 08/30/07
BOSTON SCIENTIFIC CORP DE 5.02,9.01 09/05/07
BROOKE CORP KS 2.03,7.01,9.01 08/31/07
Brooke Credit CORP DE 2.03,7.01,9.01 08/30/07
BTHC VI Inc DE 5.02,5.03,9.01 08/31/07
Calamos Asset Management, Inc. /DE/ 5.02,9.01 09/05/07
CALIFORNIA PIZZA KITCHEN INC DE 8.01,9.01 09/06/07
CAMPBELL SOUP CO NJ 2.02,9.01 09/06/07
CAPITAL GROWTH SYSTEMS INC /FL/ FL 1.01,5.02,9.01 08/31/07
CAPRIUS INC DE 8.01,9.01 09/04/07
CARPENTER TECHNOLOGY CORP DE 5.02 09/05/07
CASELLA WASTE SYSTEMS INC DE 2.02,9.01 09/05/07
CASEYS GENERAL STORES INC IA 2.02,9.01 09/06/07
CENTURY ALUMINUM CO DE 5.02 08/30/07
CENVEO, INC CO 1.01,2.01,2.03,3.03,8.01,9.01 08/30/07
Chaparral Steel CO DE 8.01 09/05/07
Chardan South China Acquisition Corp DE 7.01,9.01 09/06/07
CHART INDUSTRIES INC DE 7.01,9.01 09/06/07
CHILDRENS PLACE RETAIL STORES INC 8.01,9.01 09/06/07
CHINA AOXING PHARMACEUTICAL COMPANY, FL 1.01,9.01 09/04/07
CHINA BAK BATTERY INC NV 7.01,9.01 09/06/07
China Direct, Inc DE 7.01,9.01 09/04/07
CHINA SXAN BIOTECH, INC. NV 1.01 09/04/07
China Water & Drinks Inc.. NV 2.01,9.01 06/15/07 AMEND
CHRISTOPHER & BANKS CORP DE 7.01,9.01 09/06/07
CHYRON CORP NY 8.01 09/05/07
CITIGROUP DIVERSIFIED FUTURES FUND LP 3.02 09/01/07
CITIGROUP FAIRFIELD FUTURES FUND LP I 3.02 09/01/07
Citigroup Mortgage Loan Trust 2007-6 6.02 08/31/07
Citigroup Mortgage Loan Trust 2007-OP 6.02 09/04/07
CLEARANT INC 7.01,9.01 09/06/07
CLEARANT INC 2.02,9.01 09/06/07
CME GROUP INC. DE 8.01,9.01 09/05/07
CME GROUP INC. DE 1.01 08/31/07
CNA FINANCIAL CORP DE 7.01,9.01 09/04/07
Coleman Cable, Inc. DE 9.01 09/05/07
COLLECTIVE BRANDS, INC. DE 5.02,9.01 09/04/07
COLONIAL BANCGROUP INC DE 7.01,9.01 09/06/07
COMMODORE APPLIED TECHNOLOGIES INC DE 5.02 08/01/07
CONAGRA FOODS INC /DE/ DE 7.01,9.01 09/06/07
COOPER COMPANIES INC DE 2.02,9.01 09/06/07
Copano Energy, L.L.C. DE 7.01,9.01 08/30/07
CORRECTIONS CORP OF AMERICA MD 1.01,2.03,9.01 09/05/07
COVANTA HOLDING CORP DE 7.01,9.01 09/06/07
CPI CORP DE 1.01,3.03,9.01 09/05/07
CrossPoint Energy CO NV 1.01,2.01,5.02,9.01 08/30/07
CRYOCOR INC DE 5.02 08/30/07
CSX CORP VA 7.01,9.01 09/06/07
CV THERAPEUTICS INC DE 8.01,9.01 09/05/07
CYBER DIGITAL INC NY 9.01 06/22/07 AMEND
CYTOGENIX INC NV 5.02,9.01 09/06/07
DAWSON GEOPHYSICAL CO TX 7.01,9.01 09/05/07
Dekania Corp. DE 5.02 08/30/07
Deutsche Alt-A Securities Mortgage Lo DE 1.01,1.02,6.02 09/06/07
DILLARDS INC DE 7.01,9.01 09/06/07
DIVX INC 8.01,9.01 09/06/07
Dolan Media CO DE 2.02,9.01 09/06/07
DORAL FINANCIAL CORP PR 5.02,7.01,9.01 08/31/07
DOUBLE EAGLE PETROLEUM CO MD 7.01,9.01 09/06/07
DRI CORP NC 7.01,9.01 09/06/07
DTLL INC MN 5.03,8.01,9.01 08/27/07
DUNE ENERGY INC DE 8.01,9.01 09/06/07
DYNEGY INC. DE 7.01,9.01 09/06/07
ECO2 PLASTICS INC DE 1.01,9.01 08/30/07
EMCORE CORP NJ 7.01,9.01 09/05/07
ENCYSIVE PHARMACEUTICALS INC DE 8.01 09/04/07
ERP OPERATING LTD PARTNERSHIP MD 5.02,7.01,9.01 09/05/07
ESTEE LAUDER COMPANIES INC DE 3.02 09/04/07
ETHANEX ENERGY, INC. NV 5.02,9.01 08/30/07
EVANS & SUTHERLAND COMPUTER CORP UT 5.02 08/31/07
EVOLVING SYSTEMS INC DE 5.02,9.01 09/04/07
EXPRESS SCRIPTS INC DE 7.01 09/04/07
FACTORY CARD & PARTY OUTLET CORP DE 2.02,9.01 09/06/07
FAMILY DOLLAR STORES INC DE 2.02,9.01 09/06/07
Federal Home Loan Bank of Atlanta X1 2.03 08/31/07
Federal Home Loan Bank of Boston X1 2.03 08/31/07
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 09/04/07
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 08/31/07
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 08/31/07
Federal Home Loan Bank of San Francis X1 2.03 08/31/07
Federal Home Loan Bank of Seattle 7.01,9.01 09/06/07
FINISAR CORP DE 5.02 08/30/07
FINISH LINE INC /IN/ IN 2.02,9.01 09/06/07
FIRST BANCORP /PR/ PR 8.01,9.01 09/05/07
FIRST PLACE FINANCIAL CORP /DE/ DE 8.01,9.01 09/06/07
FIRST STATE BANCORPORATION NM 8.01,9.01 08/31/07
FLEETWOOD ENTERPRISES INC/DE/ DE 2.02,9.01 09/06/07
FORD MOTOR CREDIT CO LLC DE 8.01,9.01 09/04/07
FOSTER L B CO PA 8.01,9.01 09/05/07
FPL GROUP INC FL 7.01 09/06/07
FUQI INTERNATIONAL, INC. DE 5.02,9.01 08/30/07
GAMETECH INTERNATIONAL INC DE 2.03,8.01,9.01 08/30/07
GAP INC DE 7.01,9.01 09/06/07
GENCO SHIPPING & TRADING LTD 7.01 09/06/07
GENERAL MILLS INC DE 2.02,9.01 09/06/07
GIBRALTAR INDUSTRIES, INC. DE 1.01,2.01,8.01,9.01 09/06/07
GLOBALSANTAFE CORP 7.01,9.01 09/06/07
Globetech Environmental, Inc. NV 1.01,2.03,9.01 08/30/07
GOODRICH PETROLEUM CORP DE 5.02 08/30/07
H&R BLOCK INC MO 7.01,9.01 09/06/07
HAIGHTS CROSS COMMUNICATIONS INC DE 1.01,5.02 08/30/07
Halcyon Jets Holdings, Inc. DE 8.01,9.01 09/06/07
Hammonds Industries, Inc. NV 2.03,9.01 08/31/07
HARVEY ELECTRONICS INC NY 5.02 08/31/07
HAYES LEMMERZ INTERNATIONAL INC DE 2.02,7.01,9.01 09/06/07
HEALTH NET INC DE 7.01 09/05/07
HEI INC MN 1.01,2.01,8.01,9.01 08/30/07
HEWITT ASSOCIATES INC DE 8.01,9.01 09/06/07
HOVNANIAN ENTERPRISES INC DE 2.02 07/31/07
HUTTON HOLDINGS CORP NV 5.02 09/05/07
IA GLOBAL INC DE 1.01,9.01 09/04/07
IMAGING DIAGNOSTIC SYSTEMS INC /FL/ FL 1.01,5.02 08/30/07
IMMEDIATEK INC NV 1.01,2.01,3.02,9.01 08/31/07
INERGY HOLDINGS, L.P. 8.01,9.01 09/04/07
INERGY L P DE 8.01,9.01 09/04/07
INTEGRA LIFESCIENCES HOLDINGS CORP DE 1.01,2.03,9.01 09/06/07
INTEGRAMED AMERICA INC DE 1.01,9.01 09/06/07
InterDigital, Inc. PA 8.01 09/05/07
INTERMUNE INC DE 5.02,9.01 09/06/07
INTERNATIONAL MONETARY SYSTEMS LTD /W WI 1.01,2.01,9.01 09/05/07
International Stem Cell CORP 8.01,9.01 07/19/07
ISRAMCO INC DE 1.01,5.02,9.01 08/02/07
J P MORGAN CHASE & CO DE 9.01 09/04/07
JACKSON HEWITT TAX SERVICE INC DE 2.02,9.01 09/06/07
JACOBS ENTERTAINMENT INC DE 1.01,2.01,9.01 09/04/07
JMG Exploration, Inc. NV 1.01,2.01,9.01 09/05/07
KELLWOOD CO DE 2.02,8.01,9.01 09/06/07
KINDER MORGAN ENERGY PARTNERS L P DE 7.01 09/05/07
KINDER MORGAN MANAGEMENT LLC DE 7.01 09/05/07
KIRKLANDS INC 2.02,9.01 08/30/07
KITTY HAWK INC DE 5.02 08/31/07
KOHLS CORPORATION WI 7.01,9.01 09/06/07
KORN FERRY INTERNATIONAL DE 2.02,9.01 09/06/07
LAKELAND INDUSTRIES INC DE 2.02,9.01 09/06/07
LANTRONIX INC DE 2.02,9.01 09/06/07
Lazy Days R.V. Center, Inc. 5.02 09/06/07
LEGACY RESERVES L P 1.01,7.01,8.01,9.01 09/05/07
LEHMAN BROTHERS HOLDINGS INC DE 8.01,9.01 09/06/07
Liberty Global, Inc. 2.03,9.01 09/05/07
LOGILITY INC GA 2.02,9.01 09/06/07
LOOKSMART LTD DE 5.02 08/31/07
LORAL SPACE & COMMUNICATIONS INC. DE 1.01,8.01,9.01 09/04/07
MACC PRIVATE EQUITIES INC DE 1.01,2.03,8.01,9.01 09/06/07
MAGELLAN PETROLEUM CORP /DE/ DE 8.01,9.01 09/06/07
MAGNUS INTERNATIONAL RESOURCES, INC. NV 3.02,8.01,9.01 08/28/07
MARKWEST ENERGY PARTNERS L P 1.01,8.01,9.01 09/05/07
MARKWEST HYDROCARBON INC DE 1.01,8.01,9.01 09/05/07
MAXIM INTEGRATED PRODUCTS INC DE 3.01,9.01 08/31/07
MB FINANCIAL INC /MD MD 7.01 09/06/07
MENTOR CORP /MN/ MN 8.01 09/05/07
MERCURY COMPUTER SYSTEMS INC MA 7.01,9.01 09/06/07
MEREDITH CORP IA 8.01,9.01 09/06/07
Merrill Lynch Mortgage Backed Securit DE 6.02,9.01 09/01/07
METHODE ELECTRONICS INC DE 2.02,9.01 09/06/07
MID PENN BANCORP INC PA 1.01,5.02,9.01 08/31/07
MOVADO GROUP INC NY 2.02,9.01 09/06/07
MPC CORP CO 1.01,7.01,9.01 09/04/07
MRU HOLDINGS INC DE 7.01,9.01 09/05/07
NATIONAL CITY CORP DE 8.01,9.01 09/06/07
NATIONAL COAL CORP FL 5.02,9.01 08/31/07
NATIONAL PATENT DEVELOPMENT CORP DE 2.01,7.01 09/04/07
NATIONAL SEMICONDUCTOR CORP DE 2.02,8.01,9.01 09/06/07
NBTY INC DE 7.01,9.01 09/05/07
NCI BUILDING SYSTEMS INC DE 5.02,9.01 08/30/07
NEAH POWER SYSTEMS, INC. NV 7.01,9.01 09/06/07
Neiman Marcus, Inc. DE 2.02,7.01 09/06/07
NELNET INC NE 2.05,2.06,8.01,9.01 08/10/07
NESTOR INC DE 5.02 09/04/07 AMEND
NeurogesX Inc CA 5.02,9.01 08/30/07 AMEND
NEW YORK MORTGAGE TRUST INC MD 3.01,7.01,9.01 09/05/07
NEWPOWER HOLDINGS INC DE 8.01,9.01 09/04/07
NexCen Brands, Inc. DE 3.02,8.01 09/05/07
NNN Healthcare/Office REIT, Inc. MD 1.01,2.01,2.03,7.01,9.01 08/30/07
NOBLE INTERNATIONAL, LTD. DE 1.01,2.01,2.03,3.02,5.01,5.02, 08/30/07
5.03,9.01
NORDSTROM INC WA 7.01 09/06/07
NORTHEAST BANCORP /ME/ ME 8.01,9.01 08/31/07
NU SKIN ENTERPRISES INC DE 7.01 09/06/07
NUCOR CORP DE 8.01,9.01 09/06/07
OGE ENERGY CORP OK 8.01,9.01 09/06/07
OMEGA PROTEIN CORP NV 8.01,9.01 08/31/07
ONEOK INC /NEW/ OK 8.01,9.01 09/06/07
OPEN ENERGY CORP NV 1.01,2.03,3.02,3.03,9.01 09/06/07
ORION HEALTHCORP INC DE 5.02,9.01 09/05/07
OTTER TAIL CORP MN 1.01,2.03,9.01 08/31/07
PACIFICAP ENTERTAINMENT HOLDINGS INC NV 1.01,2.03,3.02,9.01 08/30/07
PAINCARE HOLDINGS INC CT 2.01,9.01 09/04/07
Paramount Acquisition Corp DE 8.01,9.01 09/05/07
Patriot Capital Funding, Inc. DE 1.01,9.01 08/31/07
PAULSON CAPITAL CORP OR 5.02,9.01 09/06/07
PEOPLES COMMUNITY BANCORP INC /MD/ MD 8.01,9.01 09/05/07
PERFECTENERGY INTERNATIONAL LTD NV 4.01,9.01 09/06/07 AMEND
PERVASIVE SOFTWARE INC DE 5.03,9.01 08/30/07
PetroHunter Energy Corp MD 8.01 09/05/07
PFF BANCORP INC DE 8.01 09/05/07
PLAINS ALL AMERICAN PIPELINE LP DE 7.01 09/06/07
PLATINA ENERGY GROUP INC. DE 2.03,3.02,9.01 09/05/07
PLATO LEARNING INC DE 2.02,9.01 09/06/07
POKERTEK, INC. NC 8.01,9.01 09/06/07
POMEROY IT SOLUTIONS INC DE 1.02,9.01 08/30/07 AMEND
POWERCOLD CORP NV 2.03,3.02,8.01 09/06/07
PPT VISION INC MN 3.02,9.01 08/30/07
Pro Financial Holdings Inc FL 9.01 09/05/07
PROASSURANCE CORP DE 7.01,9.01 09/06/07
PROELITE, INC. NJ 3.02,9.01 08/31/07
PROSPECT CAPITAL CORP MD 8.01,9.01 09/06/07
PROVIDENT BANKSHARES CORP MD 7.01,9.01 09/06/07
PUBLIX SUPER MARKETS INC FL 5.02,9.01 09/06/07
QUALSTAR CORP CA 2.02,9.01 09/06/07
QUANTA SERVICES INC DE 1.01,1.02,2.01,2.03,5.02,7.01, 08/30/07
9.01
QUEST RESOURCE CORP NV 7.01 08/31/07
QUESTCOR PHARMACEUTICALS INC CA 5.02 08/30/07
QUIKSILVER INC DE 2.02,9.01 09/06/07
RADYNE CORP DE 1.01,2.03,9.01 09/06/07
REMINGTON ARMS CO INC/ DE 5.02 08/31/07
RESPONSE GENETICS INC 5.02 08/24/07
REX STORES CORP DE 8.01 09/05/07
RUBIOS RESTAURANTS INC DE 7.01,9.01 09/06/07
SAIC, Inc. DE 2.02,9.01 09/06/07
SAIC, Inc. DE 5.02,9.01 09/06/07
SAKS INC TN 8.01,9.01 09/06/07
SALOMON SMITH BARNEY ORION FUTURES FU 3.02 09/01/07
SCBT FINANCIAL CORP SC 8.01,9.01 09/06/07
SCHULMAN A INC DE 1.02,9.01 08/31/07
SEAWRIGHT HOLDINGS INC DE 1.01,2.03,9.01 09/04/07
SHAW GROUP INC LA 1.01,9.01 08/30/07
SLM Student Loan Trust 2003-1 DE 8.01,9.01 09/05/07
SMITH & WESSON HOLDING CORP NV 2.02,9.01 09/06/07
SMITH BARNEY BRISTOL ENERGY FUND LP 3.02 09/01/07
SMITH BARNEY TIDEWATER FUTURES FUND L 3.02 09/01/07
SMITH BARNEY WESTPORT FUTURES FUND LP 3.02 09/01/07
SMITHFIELD FOODS INC VA 2.02,9.01 09/05/07
SOMERSET INTERNATIONAL GROUP,INC. DE 1.01,2.01,9.01 06/30/07 AMEND
SONUS NETWORKS INC DE 5.02,9.01 08/30/07
SOYO GROUP INC NV 8.01 09/05/07
ST LAWRENCE SEAWAY CORP IN 3.02,5.01,5.02 08/31/07
STERLING BANCSHARES INC TX 5.02,9.01 09/01/07
STERLING EQUITY HOLDINGS INC NV 5.02,8.01,9.01 08/31/07
SVB FINANCIAL GROUP 7.01,9.01 09/06/07
SYNPLICITY INC CA 5.02 08/31/07
SYPRIS SOLUTIONS INC DE 5.02,7.01,9.01 09/06/07
TALLY HO VENTURES INC DE 5.02,8.01,9.01 09/04/07
TECHNOLOGY RESOURCES INC FL 8.01 08/20/07
TEKOIL & GAS CORP DE 8.01 08/20/07
TEMPUR PEDIC INTERNATIONAL INC DE 7.01,9.01 09/06/07
TERABEAM, INC. DE 3.03,5.03,9.01 09/04/07
TERRA NOSTRA RESOURCES CORP. NV 1.01,2.03,3.02 08/29/07
TERRA NOSTRA RESOURCES CORP. NV 1.01,2.03,3.02,9.01 08/29/07 AMEND
TERRESTAR CORP DE 7.01,9.01 09/06/07
TESCO CORP 5.02 06/08/07
THERAVANCE INC DE 7.01,9.01 09/06/07
THORNBURG MORTGAGE INC MD 8.01 09/04/07
TIDEWATER INC DE 5.02,9.01 09/06/07
TIMBERLAND CO DE 1.01 09/04/07
TRANSCOMMUNITY FINANCIAL CORP VA 1.01,9.01 09/05/07
TRANSMETA CORP DE 8.01,9.01 09/05/07
TRICO MARINE SERVICES INC DE 7.01,9.01 09/04/07
TRW AUTOMOTIVE HOLDINGS CORP DE 8.01 09/06/07
TUMBLEWEED COMMUNICATIONS CORP DE 7.01,9.01 09/06/07
UDR, Inc. MD 7.01,9.01 09/06/07
UIL HOLDINGS CORP CT 2.03,9.01 09/06/07
UNION NATIONAL FINANCIAL CORP / PA PA 1.01,5.02,9.01 09/04/07
UNITRIN INC DE 8.01,9.01 09/05/07
UNIVERSAL CORP /VA/ VA 5.02,9.01 08/30/07
UNIVERSAL HEALTH SERVICES INC DE 1.01,2.03,9.01 08/31/07
US AIRWAYS GROUP INC DE 2.02,9.01 09/06/07
US AIRWAYS GROUP INC DE 5.02 09/06/07
US DRY CLEANING CORP DE 1.01,9.01 08/30/07
UTi WORLDWIDE INC 2.02,9.01 09/06/07
VALASSIS COMMUNICATIONS INC DE 7.01,9.01 09/06/07
VENTAS INC DE 8.01,9.01 09/05/07
VENTURE FINANCIAL GROUP INC WA 8.01,9.01 09/06/07
VeriFone Holdings, Inc. DE 2.02,9.01 09/06/07
VERISIGN INC/CA DE 1.01,2.03,3.02,8.01,9.01 08/20/07 AMEND
VERIZON COMMUNICATIONS INC DE 8.01 09/06/07
ViewPoint Financial Group X1 8.01,9.01 09/05/07
VIRCO MFG CORPORATION DE 2.02,9.01 09/05/07
VISTEON CORP DE 2.02,7.01,9.01 09/06/07
VOIP INC 2.02,7.01,9.01 09/06/07
VOLT INFORMATION SCIENCES, INC. NY 2.02,9.01 09/06/07
WACCAMAW BANKSHARES INC NC 8.01,9.01 09/04/07
Wachovia Bank Commercial Mortgage Tru NC 8.01,9.01 08/22/07
WATER CHEF INC DE 5.02 08/31/07
WATERS CORP /DE/ DE 8.01 09/04/07
WEBSITE PROS INC DE 8.01,9.01 09/06/07
Whitestone REIT TX 7.01,9.01 08/29/07
WILLIAMS INDUSTRIES INC VA 1.01,9.01 08/31/07
WINNER MEDICAL GROUP INC NV 7.01,9.01 09/06/07
XECHEM INTERNATIONAL INC DE 1.01,5.02,9.01 08/16/07
XILINX INC DE 7.01,9.01 09/06/07
http://www.sec.gov/news/digest/2007/dig090707.htm
|
