 |
|
SEC NEWS DIGEST
Issue 2007-183 September 21, 2007
COMMISSION ANNOUNCEMENTS
SEC SUSPENDS TRADING IN SECURITIES OF PLASTICON INTERNATIONAL, INC.
The Commission announced the temporary suspension, pursuant to Section
12(k) of the Securities Exchange Act of 1934 (Exchange Act), of
trading of the securities of Plasticon International, Inc.
(Plasticon), of Lexington, Kentucky at 9:30 a.m. on Sept. 21, 2007,
and terminating at 11:59 p.m. on Oct. 4, 2007.
The Commission temporarily suspended trading in the securities of
Plasticon because Plasticon has failed to file periodic reports in a
timely manner.
The Commission cautions broker dealers, shareholders, and prospective
purchasers that they should carefully consider the foregoing
information along with all other currently available information and
any information subsequently issued by the company.
Further, brokers and dealers should be alert to the fact that,
pursuant to Rule 15c2-11 under the Exchange Act, at the termination of
the trading suspension, no quotation may be entered unless and until
they have strictly complied with all of the provisions of the rule. If
any broker or dealer has any questions as to whether or not he has
complied with the rule, he should not enter any quotation but
immediately contact the staff in the Division of Market Regulation,
Office of Interpretation and Guidance, at (202) 551-5760. If any
broker or dealer is uncertain as to what is required by Rule 15c2-11,
he should refrain from entering quotations relating to Plasticon's
securities until such time as he has familiarized himself with the
rule and is certain that all of its provisions have been met. If any
broker or dealer enters any quotation which is in violation of the
rule, the Commission will consider the need for prompt enforcement
action.
If any broker dealer or other person has any information which may
relate to this matter, the Denver Regional Office of the Securities
and Exchange Commission should be telephoned at 303-844-1000. (Rel.
34-56489)
SEC VOTES TO ADOPT TEMPORARY RULE ON PRINCIPAL TRADES WITH CERTAIN
ADVISORY CLIENTS; ALSO VOTES TO PROPOSE RULE AMENDMENTS REGARDING
INTERPRETIVE RULES UNDER THE ADVISERS ACT AFFECTING BROKER-DEALERS
On September 19, the Commission voted to adopt, on an interim-final
basis, a temporary rule that will establish an alternative means for
investment advisers who are registered as broker-dealers to meet the
requirements of Section 206(3) of the Advisers Act when they act in a
principal capacity in transactions with certain of their advisory
clients.
The temporary rule is being adopted on an interim final basis in
response to the decision by the U.S. Court of Appeals for the District
of Columbia Circuit in Financial Planning Association v. SEC. As a
result of the Court's decision, which takes effect as early as October
1, fee-based brokerage customers must decide whether they will convert
their accounts to fee-based accounts that are subject to the Advisers
Act or to commission-based brokerage accounts. The temporary rule is
designed to enable investors to continue to have access to many of the
securities held by the firms providing advisory accounts. Compliance
with the temporary rule will not relieve an investment adviser from
its fiduciary obligations imposed by the Advisers Act or by other
applicable provisions of federal law. These obligations include
fulfilling the duty to seek best execution of client transactions, as
well as the duty to disclose material facts necessary to alert clients
to the adviser's potential conflicts of interest.
Temporary Rule 206(3)-3T permits an adviser, with respect to a non-
discretionary advisory account, to comply with Section 206(3) of the
Advisers Act by, among other things, (i) providing written prospective
disclosure regarding the conflicts arising from principal trades; (ii)
obtaining written, revocable consent from the client prospectively
authorizing the adviser to enter into principal transactions; (iii)
making certain disclosures either orally or in writing and obtaining
the client's consent before each principal transaction; (iv) sending
to the client confirmation statements disclosing the capacity in which
the adviser has acted and disclosing that the adviser informed the
client that it may act in a principal capacity and that the client
authorized the transaction; and (v) delivering to the client an annual
report itemizing the principal transactions. The rule also requires
that the investment adviser be registered as a broker-dealer under
Section 15 of the Exchange Act and that each account for which the
adviser relies on this rule be a brokerage account subject to the
Exchange Act, and the rules thereunder, and the rules of the self-
regulatory organization(s) of which it is a member.
The temporary rule will expire and no longer be effective on Dec. 31,
2009. The Commission invites comments on all aspects of the temporary
rule. The Commission should receive comments by Nov. 30, 2007. The
Commission also voted to propose rule amendments that would reinstate
three interpretive provisions of a rule that was vacated by the Court
of Appeals for the District of Columbia Circuit in Financial Planning
Association v. SEC. Those interpretations relate to the application of
the Advisers Act to certain activities of broker-dealers.
The proposed rule amendments would re-codify guidance as to when
advice is "solely incidental" to the conduct of business as a broker-
dealer within the meaning of Section 202(a)(11)(C) of the Advisers
Act.
Separate Fee or Contract. When a broker-dealer charges a separate
fee or separately contracts for advisory services, its advice would
not be considered "solely incidental" to the business of brokerage.
Discretionary Asset Management. When a broker-dealer exercises
investment discretion it would not be considered to be providing
advice that is "solely incidental" to the business of brokerage.
The proposed rule amendments would also re-codify guidance as to when
a broker-dealer receives "special compensation" for providing
investment advice within the meaning of Section 202(a)(11)(C) of the
Advisers Act.
Discount Brokerage. Under the proposal, a broker-dealer does not
receive "special compensation" solely because it charges a
commission for discount brokerage that is less than it charges for
full-service brokerage.
Finally, the proposed rule amendments would re-codify an
interpretation that dually-registered broker-dealers and investment
advisers are considered investment advisers solely with respect to
those accounts for which they provide services that subject them to
the Advisers Act. Comments on these proposed amendments should be
received by the Commission by Nov. 2, 2007. (Press Rel. 2007-193)
SEC RELEASES SOURCE CODE FOR INTERACTIVE DATA VIEWER FOR FREE USE BY
THE MARKET
Major Breakthrough in Introduction of Interactive Data Reporting to Be
Announced Next Week in New York
Securities and Exchange Commission Chairman Christopher Cox announced
today that the source code for the Interactive Financial Report Viewer
that enables investors to analyze companies' interactive data filings
is now available via its Web site for free use by the market.
"The SEC is committed to making the source code for all of our
interactive data applications, including our Web-based interactive
data viewer, available to the world as a basis for developing new
XBRL-enabled products," said Chairman Cox. "Contributing this to the
public domain will encourage the development of software that uses SEC
data feeds to give investors better and faster information with
cutting-edge tools created by the private sector."
Separately, Chairman Cox said the SEC will participate in a news
conference with XBRL US and others on Tuesday, Sept. 25 in New York to
announce a major breakthrough in the introduction of interactive
financial reporting.
Interactive data is powered by XBRL, a computer software language that
labels companies' financial and other data with codes from standard
lists so that investors and analysts can more easily locate and
analyze desired information.
The SEC's XBRL Voluntary Financial Reporting Program is an initiative
to make filings more accessible and understandable to the common
investor by allowing public companies to submit documents in
eXtensible Business Reporting Language (XBRL) format as exhibits to
periodic reports and investment company act filings. The Interactive
Financial Report Viewer, first released in December 2006, allows
investors to view and analyze the XBRL-based filings submitted to the
SEC.
The source code is now available at:
http://www.sec.gov/spotlight/xbrl/xbrlviewerlicense.htm.
(Press Rel. 2007-194)
ENFORCEMENT PROCEEDINGS
IN THE MATTER OF DAVID S. GROSKY
On September 20, the Commission issued an Order Instituting
Administrative Proceedings Pursuant to Section 15(b) of the Securities
Exchange Act of 1934, Making Findings, and Imposing a Remedial
Sanctions (Order) against David S. Grosky, the former Chairman and CEO
of Efoora, Inc., a Buffalo Grove, Illinois company.
The Order finds that, on Aug. 23, 2007, the U.S. District Court for
the Northern District of Illinois entered a final judgment by consent
against Grosky permanently enjoining him from future violations of
Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933, Sections
10(b) and 15(a) of the Securities Exchange Act of 1934 (Exchange Act)
and Rule 10b-5 thereunder.
The Commission's complaint alleged, among other things, that Grosky,
as Efoora's CEO, committed securities fraud when he reviewed and
approved private placement memoranda issued by Efoora in 2002 and 2003
even though he knew or was reckless in not knowing that they contained
false and misleading statements. The complaint further alleged that
Grosky, through Partners Holding, LLC, an entity he owned and
controlled, knowingly or recklessly made false and misleading
statements to Efoora investors and gave them misleading offering
documents. The complaint also alleged that Grosky violated the
registration provisions of the Securities Act by selling unregistered
shares of Efoora securities. Finally, the complaint alleged that
Partners Holding violated Section 15(a) of the Exchange Act by
effecting transactions in, and inducing or attempting to induce the
purchase or sale of Efoora securities without registering as a broker
in accordance with Section 15(b) of the Exchange Act, and that Grosky
knowingly and substantially aided and abetted Partners Holding's
violations.
Based on the above, the Order bars Grosky from association with any
broker or dealer. Grosky consented to the issuance of the Order
without admitting or denying any of the findings in the Order.
Additional information may be found in Litigation Release No.20282
[SEC v. Efoora, Inc., et al., No. 06-CV-3526, USDC, ND IL]. (Rel. 34-
56482; File No. 3-12816)
IN THE MATTER OF PAUL R. VENESKY, CPA
On September 20, the Commission issued an Order Instituting
Administrative Proceedings Pursuant to Rule 102(e) of the Commission's
Rules of Practice, Making Findings, and Imposing Remedial Sanctions
(Order) against Paul R. Venesky, CPA. The Order finds that Venesky was
permanently enjoined, by consent, from future violations of Sections
10(b) and 13(b)(5) of the Exchange Act and Rules 10b-5, 13b2-1, and
13b2-2 thereunder, and aiding and abetting violations of Sections
13(a), 13(b)(2)(A), and 13(b)(2)(B) of the Exchange Act and Rules 12b-
20, 13a-1, 13a-11, and 13a-13 thereunder. Venesky was also ordered to
pay a $25,000 civil money penalty.
Based on the above, the Order suspends Venesky from appearing or
practicing before the Commission as an accountant. After 3 years from
the date of this Order, Venesky may request that the Commission
consider his reinstatement by submitting an application to resume
appearing or practicing before the Commission as a preparer or
reviewer, or a person responsible for the preparation or review, or
any public company's financial statements that are filed with the
Commission, or an independent accountant. Venesky consented to the
issuance of the Order without admitting or denying any of the findings
in the Order. (Rel. 34-56484; AAE Rel. 2722; File No. 3-12817)
IN THE MATTER OF JOHN R. HOLTZHAUSER, CPA
On September 20, the Commission issued an Order Instituting
Administrative Proceedings Pursuant to Rule 102(e) of the Commission's
Rules of Practice, Making Findings, and Imposing Remedial Sanctions
(Order) against John R. Holtzhauser, CPA. The Order finds that
Holtzhauser was permanently enjoined, by consent, from future
violations of Section 17(a) of the Securities Act and Sections 10(b)
and 13(b)(5) of the Exchange Act and Rules 10b-5, 13b2-1, and 13b2-2
thereunder, and aiding and abetting violations of Sections 13(a),
13(b)(2)(A), and 13(b)(2)(B) of the Exchange Act and Rules 12b-20,
13a-1, 13a-11, and 13a-13 thereunder. Holtzhauser was also ordered to
pay a $76,707 in disgorgement and a $100,000 civil money penalty.
Based on the above, the Order suspends Holtzhauser from appearing or
practicing before the Commission as an accountant. After 5 years from
the date of this Order, Holtzhauser may request that the Commission
consider his reinstatement by submitting an application to resume
appearing or practicing before the Commission as a preparer or
reviewer, or a person responsible for the preparation or review, or
any public company's financial statements that are filed with the
Commission, or an independent accountant. Holtzhauser consented to the
issuance of the Order without admitting or denying any of the findings
in the Order. (Rel. 34-56485; AAE Rel. 2723; File No. 3-12818)
IN THE MATTER OF JAMES M. MATERNA, CPA
On September 20, the Commission issued an Order Instituting
Administrative Proceedings Pursuant to Rule 102(e) of the Commission's
Rules of Practice, Making Findings, and Imposing Remedial Sanctions
(Order) against James M. Materna, CPA. The Order finds that Materna
was permanently enjoined, by consent, from future violations of
Section 17(a) of the Securities Act and Sections 10(b) and 13(b)(5) of
the Exchange Act and Rules 10b-5, 13b2-1, and 13b2-2 thereunder, and
aiding and abetting violations of Sections 13(a), 13(b)(2)(A), and
13(b)(2)(B) of the Exchange Act and Rules 12b-20, 13a-1, 13a-11, and
13a-13 thereunder. Materna was also ordered to pay a $100,000 civil
money penalty.
Based on the above, the Order suspends Materna from appearing or
practicing before the Commission as an accountant. After 5 years from
the date of this Order, Materna may request that the Commission
consider his reinstatement by submitting an application to resume
appearing or practicing before the Commission as a preparer or
reviewer, or a person responsible for the preparation or review, or
any public company's financial statements that are filed with the
Commission, or an independent accountant. Materna consented to the
issuance of the Order without admitting or denying any of the findings
in the Order. (Rel. 34-56486; AAE Rel. 2724; File No. 3-12819)
COMMISSION REVOKES REGISTRATION OF SECURITIES OF CHS ELECTRONICS, INC.
FOR FAILURE TO MAKE REQUIRED PERIODIC FILINGS
On September 21, the Commission revoked the registration of each class
of registered securities of CHS Electronics, Inc. (CHS) for failure to
make required periodic filings with the Commission.
Without admitting or denying the findings in the order, except as to
jurisdiction, which it admitted, CHS consented to the entry of an
Order Making Findings and Revoking Registration of Securities Pursuant
to Section 12(j) of the Securities Exchange Act of 1934 as to CHS
Electronics, Inc. finding that it had failed to comply with Section
13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules
13a-1 and 13a-13 thereunder and revoking the registration of each
class of CHS's securities pursuant to Section 12(j) of the Exchange
Act. This order settled the charges brought against CHS in In the
Matter of American Pad & Paper Co., et al., Administrative Proceeding
File No. 3-12705.
Brokers and dealers should be alert to the fact that Exchange Act
Section 12(j) provides, in pertinent part, as follows:
No member of a national securities exchange, broker, or dealer shall
make use of the mails or any means or instrumentality of interstate
commerce to effect any transaction in, or to induce the purchase or
sale of, any security the registration of which has been and is
suspended or revoked . . . .
For further information see Order Instituting Administrative
Proceedings and Notice of Hearing Pursuant to Section 12(j) of the
Securities Exchange Act of 1934, In the Matter of American Pad & Paper
Co., et al., Administrative Proceeding File No. 3-12705, Exchange Act
Release No. 56111 (July 20, 2007). (Rel. 34-56488; File No. 3-12705)
PROCEEDINGS INSTITUTED AGAINST PLASTICON INTERNATIONAL, INC. FOR
FAILURE TO MAKE REQUIRED PERIODIC FILINGS
On September 21, the Commission issued an Order Instituting
Proceedings Pursuant to Section 12(j) of the Securities Exchange Act
of 1934 and Notice of Hearing against Plasticon International, Inc.
(Plasticon) to determine whether the registration of each class of its
securities should be revoked or suspended for a period not exceeding
twelve months based on its failure to file required periodic reports.
The Division of Enforcement (Division) alleges that Plasticon has
failed to comply with Section 13(a) of the Securities Exchange Act of
1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder by failing
to file periodic reports required by those laws.
A hearing will be scheduled before an Administrative Law Judge to
provide Plasticon an opportunity to respond to the allegations of the
Division contained in the Order Instituting Proceedings, to determine
whether these allegations are true, and to determine whether
Plasticon's registration should be suspended for a period not
exceeding twelve months, or revoked, pursuant to Section 12(j) of the
Exchange Act. As directed by the Commission, the administrative law
judge shall issue an initial decision in this matter not later than
120 days from the date of service of the Order Instituting
Proceedings. (Rel. 34-56490; File No. 3-12820)
SELF-REGULATORY ORGANIZATIONS
PROPOSED RULE CHANGE
The Commission issued notice of filing of a proposed rule change (SR-
Amex-2006-96), as modified by Amendments No. 1, 2, 3, 4, 5, and 6
thereto, filed by the American Stock Exchange relating to the listing
and trading of shares of the Nuveen Commodities Income and Growth
Fund. Publication is expected in the Federal Register during the week
of September 24. (Rel. 34-56465)
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE
A proposed rule change (SR-CBOE-2007-108) filed by the Chicago Board
Options Exchange relating to the appointment costs for options on the
CBOE Russell 2000 Volatility Index and the CBOE Nasdaq-100 Volatility
Index 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 24. (Rel. 34-56467)
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 International Surf Resorts, Inc., 1097 COUNTRY COACH DR., SUITE 705,
HENDERSON, NV, 89002, 800-315-0045 - 489,800 ($122,450.00) Equity,
(File 333-146182 - Sep. 20) (BR. 08)
S-8 NASTECH PHARMACEUTICAL CO INC, 3830 MONTE VILLA PARKWAY, BOTHELL, WA,
98021, 4259083600 - 0 ($4,059,000.00) Equity, (File 333-146183 -
Sep. 20) (BR. 01B)
S-1 LAYNE CHRISTENSEN CO, 1900 SHAWNEE MISSION PKWY, MISSION WOODS, KS,
66205-2001, 9133620510 - 0 ($172,500,000.00) Equity, (File 333-146184 -
Sep. 20) (BR. 06B)
S-3ASR INTEGRA LIFESCIENCES HOLDINGS CORP, 311 C ENTERPRISE DRIVE, PLAINSBORO,
NJ, 08536, 6092750500 - 0 ($123,884,017.25) Equity, (File 333-146185 -
Sep. 20) (BR. 10B)
S-4 Security Capital Assurance Ltd, ONE BERMUDIANA ROAD, HAMILTON, D0,
HM 11, 441-292-8515 - 250,000 ($250,000,000.00) Equity,
(File 333-146186 - Sep. 20) (BR. 01B)
S-3ASR INTEGRA LIFESCIENCES HOLDINGS CORP, 311 C ENTERPRISE DRIVE, PLAINSBORO,
NJ, 08536, 6092750500 - 0 ($126,361,418.00) Equity, (File 333-146187 -
Sep. 20) (BR. 10B)
S-8 HEALTHCARE TECHNOLOGIES LTD, KIRYAT MINRAV, 3 HABOSEM ST,
ASHDOD ISRAEL, L3, 77010, 212-308-1820 - 237,500 ($217,384.00) Equity,
(File 333-146188 - Sep. 20) (BR. 01A)
S-8 Omagine, Inc., 350 FIFTH AVENUE, SUITE 1103, NEW YORK, NY, 10118,
212-563-4141 - 2,500,000 ($2,500,000.00) Equity, (File 333-146189 -
Sep. 20) (BR. 05A)
N-2 Kohlberg Capital CORP, 295 MADISON AVENUE, 6TH FLOOR, NEW YORK, NY,
10017, 212-455-8300 - 0 ($50,000,000.00) Equity, (File 333-146190 -
Sep. 20) (BR. 18)
F-6 HILTON GROUP PLC/FI, CHANEL HOUSE NEASDEN LN,
LONDON NW10 2XE UNITED KINGDOM, X0, 00000,
50,000,000 ($2,500,000.00) ADRs/ADSs, (File 333-146191 - Sep. 20) (BR. )
S-8 NETLIST INC, 0 ($346,000.00) Equity, (File 333-146192 - Sep. 20)
(BR. 10)
SB-2 CYBER DIGITAL INC, 400 OSER AVE, SUITE 1650, HAUPPAUGE, NY, 11788,
5162311200 - 3,200,000 ($1,600,000.00) Equity, (File 333-146193 -
Sep. 20) (BR. 11C)
S-8 F5 NETWORKS INC, 401 ELLIOT AVE WEST, STE 500, SEATTLE, WA, 98119,
2062725555 - 2,830,703 ($112,775,207.52) Equity, (File 333-146195 -
Sep. 20) (BR. 03B)
SB-2 Sound Financial, Inc., 2005 FIFTH AVENUE, 2ND FLOOR, SEATTLE, WA,
98121, 206-448-0884 - 1,725,863 ($17,258,630.00) Equity,
(File 333-146196 - Sep. 20) (BR. 07)
S-3 Buckeye GP Holdings L.P., 100 MATSONFORD ROAD, RADNOR, PA, 19087,
(610) 254-4640 - 0 ($533,822,000.00) Equity, (File 333-146197 -
Sep. 20) (BR. 04)
SB-2 Lexaria Corp., 604-684-0999 #4 - 13,435,100 ($15,181,663.00) Equity,
(File 333-146200 - Sep. 20) (BR. 07)
S-8 ARC WIRELESS SOLUTIONS INC, 4860 ROBB STREET, SUITE 101, WHEAT RIDGE,
CO, 80033, 3034214063 - 300,000 ($1,518,000.00) Equity,
(File 333-146201 - Sep. 20) (BR. 11B)
S-8 BLACK BOX CORP, 1000 PARK DRIVE, LAWRENCE, PA, 15055, 724-746-5500 -
20,000 ($805,786.66) Equity, (File 333-146202 - Sep. 20) (BR. 03B)
S-8 GS Energy CORP, ONE PENN PLAZA, SUITE 1612, NEW YORK, NY, 10119,
212-994-5374 - 525,000,000 ($315,000.00) Equity, (File 333-146203 -
Sep. 20) (BR. 02A)
S-8 MERRILL LYNCH & CO INC, 4 WORLD FINANCIAL CTR, NEW YORK, NY, 10080,
2124491000 - 0 ($83,362,447.00) Equity, (File 333-146204 - Sep. 20)
(BR. 06C)
S-3 DOLLAR FINANCIAL CORP, DOLLAR FINANCIAL CORP., 1436 LANCASTER AVENUE,
BERWYN, PA, 19312-1288, 6102963400 - 0 ($200,000,000.00) Debt,
(File 333-146205 - Sep. 20) (BR. 11B)
SB-2 Piedmont Community Bank Group, Inc., 110 HIGHWAY 18 CONNECTOR, GRAY,
GA, 31032, (478) 986-5900 - 0 ($6,000,000.00) Equity,
(File 333-146206 - Sep. 20) (BR. 07)
S-3 Gracechurch Card Programme Funding LTD, P.O. BOX 75, 26 NEW STREET,
ST. HELIER, CHANNEL ISLANDS, XX, JE2 3RA, 44 1534 814814 -
0 ($1,000,000.00) Asset-Backed Securities, (File 333-146207 - Sep. 20)
(BR. )
S-8 China Yingxia International, Inc., HARBIN YINGXIA INDUSTRIAL CO., LTD,
NO.300, XIDAZHI STREET NANGANG, HARBIN HEILONGJIANG, F4, 150001,
86 451 86310948 - 120,000 ($273,600.00) Equity, (File 333-146208 -
Sep. 20) (BR. 04A)
SB-2 Cheetah Consulting, Inc., 6860 GULFPORT BLVD. S. NO. 161,
ST PETERSBURG, FL, 33707, (727) 415-4121 -
1,350,000 ($135,000.00) Equity, (File 333-146209 - Sep. 20) (BR. )
F-1 JA Solar Holdings Co., Ltd., JINGLONG GROUP INDUSTRIAL PARK,
JINGLONG STREET, NINGJIN, HEBEI PROVINCE, F4, 055550,
(86-319) 580-0760 - 0 ($274,318,413.00) ADRs/ADSs, (File 333-146210 -
Sep. 20) (BR. 10)
S-4 Capmark Financial Group Inc., 116 WELSH ROAD, HORSHAM, PA, 19044,
215-328-3200 - 0 ($2,550,000,000.00) Debt, (File 333-146211 - Sep. 20)
(BR. )
S-3 EMISPHERE TECHNOLOGIES INC, 765 OLD SAW MILL RIVER ROAD, TARRYTOWN, NY,
10591, 9143472220 - 7,000,000 ($29,610,000.00) Equity,
(File 333-146212 - Sep. 20) (BR. 01A)
S-3ASR LINCOLN NATIONAL CORP, 1500 MARKET STREET STE 3900,
CENTRE SQUARE WEST TOWER, PHILADELPHIA, PA, 19102, 2154481475 -
10,000,000 ($10,000,000.00) Debt, (File 333-146213 - Sep. 20) (BR. 01C)
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
3COM CORP DE 2.02,7.01,9.01 09/20/07
a21, Inc. DE 8.01,9.01 09/20/07
ABATIX CORP DE 3.01,7.01,8.01,9.01 09/17/07
ABLE ENERGY INC DE 4.01,8.01,9.01 08/13/07 AMEND
ACCREDITED HOME LENDERS HOLDING CO DE 1.01,8.01,9.01 09/18/07
Accredited Mortgage Loan REIT Trust MD 8.01,9.01 09/18/07
ACI WORLDWIDE, INC. DE 2.02,7.01,9.01 09/19/07
Advance America, Cash Advance Centers DE 8.01,9.01 09/20/07
ADVANCED CELL TECHNOLOGY, INC. DE 1.01,5.02 09/14/07
AFS SenSub Corp. 8.01,9.01 09/20/07
AGILYSYS INC OH 8.01,9.01 09/20/07
ALCOA INC PA 5.03,9.01 09/14/07
ALDILA INC DE 8.01,9.01 09/20/07
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 09/20/07
Alternative Loan Trust 2007-24 DE 8.01,9.01 08/30/07
AMEDIA NETWORKS, INC. DE 8.01 09/18/07
American Community Newspapers Inc. DE 8.01,9.01 09/17/07
AMERICAN GREETINGS CORP OH 2.02,9.01 09/20/07
American Racing Capital, Inc. NV 1.01,9.01 09/06/07
AMERICAN REAL ESTATE PARTNERS L P DE 5.03,9.01 09/17/07
AMERICAN RIVER BANKSHARES CA 8.01,9.01 09/20/07
AMERICAN RIVER BANKSHARES CA 1.01 09/19/07
AMERITRANS CAPITAL CORP DE 1.01,5.02 09/20/07
AMERON INTERNATIONAL CORP DE 2.02,5.03,9.01 09/19/07
AML COMMUNICATIONS INC DE 8.01,9.01 09/17/07
APOGEE ENTERPRISES INC MN 2.02,9.01 09/19/07
ARBIOS SYSTEMS INC DE 1.01,9.01 09/14/07
ARIBA INC DE 1.01,8.01,9.01 09/20/07
ARK RESTAURANTS CORP NY 8.01,9.01 09/20/07
ASYST TECHNOLOGIES INC CA 5.02 09/18/07
AUDIBLE INC 4.01,9.01 09/14/07
BALLY TOTAL FITNESS HOLDING CORP DE 1.03,8.01,9.01 09/17/07
BANK OF SOUTH CAROLINA CORP SC 8.01 09/20/07
BARNES GROUP INC DE 1.01 09/19/07
BARNWELL INDUSTRIES INC DE 8.01,9.01 09/20/07
Baseline Oil & Gas Corp. NV 8.01,9.01 09/20/07
Baseline Oil & Gas Corp. NV 1.01,9.01 09/17/07
BAXTER INTERNATIONAL INC DE 5.02 09/18/07 AMEND
BEA SYSTEMS INC DE 3.01,9.01 09/14/07
BEAR STEARNS COMPANIES INC DE 2.02,8.01,9.01 08/31/07
Benda Pharmaceutical, Inc. MN 5.02,9.01 09/14/07
BIOPACK ENVIRONMENTAL SOLUTIONS INC. NV 2.01,3.02,4.01,5.01,5.02,9.01 03/27/07 AMEND
BIZNET GROUP INC FL 5.01,5.02,5.03,8.01 09/19/07
BOULDER CAPITAL OPPORTUNITIES II LTD 4.01,9.01 09/20/07
BOYSTOYS COM INC DE 1.01 09/17/07
BRE PROPERTIES INC /MD/ MD 1.01,9.01 09/18/07
BROADCOM CORP CA 5.02 09/14/07
BROADRIDGE FINANCIAL SOLUTIONS, INC. DE 8.01,9.01 09/20/07
BUCKEYE PARTNERS L P DE 5.02 09/17/07
CALPINE CORP DE 7.01,9.01 09/18/07
CAPITAL GOLD CORP NV 5.02 09/14/07
CARDIMA INC DE 4.02,9.01 08/30/07
CARMAX AUTO FUNDING LLC DE 8.01,9.01 09/19/07
CARNIVAL CORP DE 2.02,9.01 09/20/07
CATERPILLAR INC DE 7.01 09/20/07
CATERPILLAR INC DE 7.01 09/20/07 AMEND
CDI CORP PA 8.01,9.01 09/20/07
CENTER FINANCIAL CORP CA 1.01,9.01 09/18/07
CFS BANCORP INC IN 7.01,9.01 09/20/07
CHENIERE ENERGY INC DE 1.01,2.03,9.01 09/14/07
CHILDRENS PLACE RETAIL STORES INC 3.01 09/17/07
CHINA FUND INC MD 7.01,9.01 08/01/07
CHL Mortgage Pass-Through Trust 2007- DE 8.01,9.01 08/30/07
CHL Mortgage Pass-Through Trust 2007- DE 8.01,9.01 08/30/07
CIMAREX ENERGY CO DE 5.03,8.01,9.01 09/18/07
CIMAREX ENERGY CO DE 7.01,9.01 09/20/07
CIMAREX ENERGY CO DE 7.01,9.01 09/20/07
CINCINNATI FINANCIAL CORP OH 7.01 09/20/07
CIRCUIT CITY STORES INC VA 2.02,9.01 08/31/07
CISCO SYSTEMS INC CA 5.02,7.01 09/14/07
CITIBANK CREDIT CARD ISSUANCE TRUST DE 8.01,9.01 09/20/07
CKE RESTAURANTS INC DE 2.02,9.01 09/19/07
CLARCOR INC DE 2.02,9.01 09/19/07
CLEARWIRE CORP 5.02 09/14/07
CMS ENERGY CORP MI 7.01 09/20/07
COLONY BANKCORP INC GA 8.01 09/20/07
COMMERCIAL METALS CO DE 7.01,9.01 09/19/07
COMPUDYNE CORP NV 5.02 09/14/07
CONAGRA FOODS INC /DE/ DE 2.02,9.01 09/20/07
Conihasset Capital Partners, Inc. DE 2.01,9.01 06/29/07 AMEND
COOPER TIRE & RUBBER CO DE 1.01,9.01 09/14/07
COTT CORP /CN/ 5.02 09/17/07
CRDENTIA CORP DE 1.01,9.01 09/14/07
CREDIT SUISSE COMMERCIAL MORTGAGE TRU DE 8.01,9.01 08/24/07
CRM Holdings, Ltd. 8.01,9.01 09/20/07
CRM Holdings, Ltd. 8.01,9.01 09/17/07
CSMC Asset-Backed Trust 2007-NC1 DE 9.01 08/31/07
CSMC Trust 2007-4 DE 8.01,9.01 09/20/07 AMEND
CUISINE SOLUTIONS INC DE 2.02,9.01 09/20/07
CURAGEN CORP DE 2.05,5.02 09/19/07
CVD EQUIPMENT CORP NY 3.01,8.01,9.01 09/20/07
DALECO RESOURCES CORP NV 5.02 09/20/07
DEL GLOBAL TECHNOLOGIES CORP NY 1.01,5.02,9.01 09/17/07
DELTATHREE INC DE 3.01,9.01 09/17/07
Devine Entertainment CORP A6 8.01,9.01 09/20/07
Diamond Foods Inc DE 2.02,9.01 09/20/07
Dollarama Group L.P. A8 7.01,9.01 09/19/07
DRI CORP NC 7.01,9.01 09/20/07
DYCOM INDUSTRIES INC FL 7.01,9.01 09/20/07
EAGLE ROCK ENERGY PARTNERS L P DE 8.01 09/19/07
ECOTALITY, INC. NV 1.01,9.01 09/18/07
EDGE PETROLEUM CORP DE 2.02 09/20/07
EDWARDS A G INC DE 2.02 09/20/07
ELECTROGLAS INC DE 1.01 09/19/07
ELECTROGLAS INC DE 2.02,9.01 09/20/07
EMERGING VISION INC NY 8.01,9.01 09/20/07
EMTA Holdings, Inc. NV 7.01,9.01 09/20/07
ENCYSIVE PHARMACEUTICALS INC DE 8.01 09/19/07
Energtek 7.01,9.01 09/19/07
Enterprise GP Holdings L.P. DE 8.01,9.01 09/20/07
EXCELSIOR LASALLE PROPERTY FUND INC 1.01 09/14/07
EXELIXIS INC DE 1.01,2.03 09/14/07
Exterra Energy Inc. NV 1.01,5.02,9.01 09/20/07
FAR EAST ENERGY CORP 5.02,9.01 09/14/07
Federal Home Loan Bank of Atlanta X1 2.03 09/17/07
Federal Home Loan Bank of Boston X1 2.03 09/17/07
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 09/17/07
Federal Home Loan Bank of New York X1 2.03,9.01 09/17/07
Federal Home Loan Bank of New York X1 5.02 09/14/07
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 09/17/07
Federal Home Loan Bank of San Francis X1 2.03 09/17/07
Federal Home Loan Bank of Topeka 2.03 09/17/07
FEDEX CORP DE 2.02,9.01 09/20/07
FIFTH THIRD AUTO TRUST 2004-A 8.01,9.01 09/20/07
FILTERING ASSOCIATES INC NV 1.01,9.01 09/17/07
FIRST ALBANY COMPANIES INC NY 2.01,9.01 09/14/07
FIRST CHARTER CORP /NC/ NC 1.01,9.01 09/14/07
FIRST COMMUNITY BANK CORP OF AMERICA FL 8.01,9.01 09/20/07
FIRST NATIONAL LINCOLN CORP /ME/ ME 8.01 09/19/07
FIRST OF LONG ISLAND CORP NY 5.03,9.01 09/18/07
FIRST ROBINSON FINANCIAL CORP DE 8.01 09/18/07
FLEETWOOD ENTERPRISES INC/DE/ DE 7.01,9.01 09/20/07
FLEETWOOD ENTERPRISES INC/DE/ DE 1.01,2.03,9.01 09/19/07
FLEXPETZ HOLDINGS INC DE 5.02,9.01 09/17/07
FORRESTER RESEARCH INC DE 5.03,9.01 09/19/07
FORTUNE INDUSTRIES, INC. DE 5.02 09/14/07
Foundation Coal Holdings, Inc. DE 7.01,9.01 09/20/07
FOXHOLLOW TECHNOLOGIES, INC. DE 8.01 08/31/07
FreightCar America, Inc. DE 8.01,9.01 09/20/07
FREMONT MICHIGAN INSURACORP INC MI 7.01,9.01 09/20/07
GENESCO INC TN 8.01,9.01 09/19/07
GENESIS BIOVENTURES INC NY 4.02 09/20/07
GEODYNE ENERGY INCOME LTD PARTNERSHIP OK 2.01,9.01 09/14/07
GEORGIA GULF CORP /DE/ DE 5.02,7.01,9.01 09/17/07
GERBER SCIENTIFIC INC CT 5.02 09/20/07
GLOBALSANTAFE CORP 8.01,9.01 09/19/07
GOLDEN EAGLE INTERNATIONAL INC CO 5.03,8.01 09/14/07
GOLDEN ENTERPRISES INC DE 8.01,9.01 09/20/07
GOLDMAN SACHS GROUP INC/ DE 2.02,8.01,9.01 09/20/07
Granite Master Issuer plc X0 8.01 09/14/07
GREAT ATLANTIC & PACIFIC TEA CO INC MD 8.01 09/20/07
GREAT PLAINS ENERGY INC MO 8.01,9.01 09/20/07
GREATER COMMUNITY BANCORP NJ 8.01,9.01 09/18/07
GSAMP 2007-HSBC1 8.01,9.01 08/30/07
GSC INVESTMENT CORP. MD 5.02 09/14/07
HABERSHAM BANCORP GA 8.01,9.01 09/19/07
HAIN CELESTIAL GROUP INC DE 3.01,9.01 09/14/07
HALLADOR PETROLEUM CO CO 2.01,9.01 07/31/06 AMEND
HANSEN NATURAL CORP DE 5.03,9.01 09/18/07
HARLAND CLARKE HOLDINGS CORP DE 5.02 09/19/07
HARRINGTON WEST FINANCIAL GROUP INC/C 7.01,9.01 09/19/07
HCP, INC. MD 8.01,9.01 09/19/07
HCP, INC. MD 5.02,9.01 09/18/07
Healthsport, Inc. DE 2.01,9.01 05/04/07 AMEND
HEMIS CORP NV 5.02 09/14/07
HERCULES OFFSHORE, INC. DE 7.01,9.01 09/20/07
HLTH CORP DE 5.02,8.01,9.01 09/18/07
HOLOGIC INC DE 2.01,3.02,9.01 09/18/07
HOME DIAGNOSTICS INC DE 5.02 09/14/07
HUMANA INC DE 8.01 09/12/07
HUSKER AG LLC NE 2.03 09/14/07
HYDROMER INC NJ 8.01 09/19/07
I TRAX INC DE 7.01 09/20/07
IHS Inc. DE 2.02,9.01 09/20/07
IMARX THERAPEUTICS INC 8.01,9.01 09/10/07
IMPAC MORTGAGE HOLDINGS INC MD 5.02,8.01,9.01 09/15/07
INDEPENDENT BANK CORP MA 8.01 09/20/07
INLAND WESTERN RETAIL REAL ESTATE TRU MD 7.01,9.01 09/20/07
Inova Technology Inc. NV 4.01 05/29/07 AMEND
INTEGRAL SYSTEMS INC /MD/ MD 5.03,8.01,9.01 09/14/07
INTEGRATED ELECTRICAL SERVICES INC DE 7.01,9.01 09/20/07
InterAmerican Acquisition Group Inc 8.01,9.01 09/20/07
INTERMOUNTAIN COMMUNITY BANCORP ID 8.01 09/20/07
INTERNATIONAL BUSINESS MACHINES CORP NY 8.01,9.01 09/19/07
INTERNATIONAL ENERGY, INC. NV 1.01,9.01 09/19/07
IRELAND INC. NV 3.02,3.03 09/14/07
IVAX DIAGNOSTICS INC DE 5.02,9.01 09/17/07
J P MORGAN CHASE & CO DE 9.01 09/18/07
JACKSON HEWITT TAX SERVICE INC DE 1.01 09/19/07
JACKSON HEWITT TAX SERVICE INC DE 8.01 09/20/07
JAMES RIVER GROUP, INC DE 8.01,9.01 09/20/07
K-FED BANCORP 5.02 09/18/07
K-SEA TRANSPORTATION PARTNERS LP 7.01,9.01 09/19/07
KEY ENERGY SERVICES INC MD 1.01,7.01,9.01 09/19/07
KOHLS CORPORATION WI 8.01,9.01 09/20/07
LACLEDE GROUP INC MO 5.02 09/20/07
LAYNE CHRISTENSEN CO DE 8.01,9.01 09/20/07
LEGALOPINION COM NV 5.02,5.03 04/14/04
LEGALOPINION COM NV 2.01 06/17/05
LEGALOPINION COM NV 5.03,8.01 08/08/07
LEGALOPINION COM NV 2.01 08/21/07
LIGHTPATH TECHNOLOGIES INC DE 5.02,9.01 09/18/07
LINCOLN BANCORP /IN/ IN 8.01,9.01 09/18/07
LKQ CORP DE 1.01,8.01,9.01 09/19/07
LUCAS ENERGY, INC. NV 5.05 09/19/07
MAGNETEK, INC. DE 1.01 09/19/07
MAIR HOLDINGS INC MN 5.02 09/17/07
MARTHA STEWART LIVING OMNIMEDIA INC DE 1.01 09/18/07
MATERIAL TECHNOLOGIES INC /CA/ DE 4.01,9.01 09/19/07
MAXUS REALTY TRUST INC. 2.03,9.01 09/14/07
MEADOW VALLEY CORP NV 7.01,9.01 09/20/07
MEDIA SCIENCES INTERNATIONAL INC 2.02,9.01 09/19/07
MERCADOLIBRE INC 5.02,7.01 09/20/07
MF Global Ltd. D0 5.02,7.01,9.01 09/19/07
MFIC CORP DE 5.02,8.01,9.01 09/17/07
MGIC INVESTMENT CORP WI 1.01,9.01 09/14/07
MICROMED CARDIOVASCULAR INC DE 5.02 09/13/07
MIDDLEBURG FINANCIAL CORP VA 5.02,9.01 09/17/07
MISSION COMMUNITY BANCORP CA 8.01,9.01 09/18/07
MODERN MEDICAL MODALITIES CORP NY 1.01,3.02,9.01 09/14/07
MODERN MEDICAL MODALITIES CORP NY 1.01,3.02,9.01 09/14/07
MONSANTO CO /NEW/ DE 5.02,9.01 09/17/07
Morgans Hotel Group Co. DE 5.02,9.01 09/19/07
NASDAQ STOCK MARKET INC DE 8.01,9.01 09/20/07
NATIONAL LAMPOON INC CA 4.01,9.01 08/27/07 AMEND
NETSCOUT SYSTEMS INC DE 7.01,9.01 09/20/07
NEW BRUNSWICK SCIENTIFIC CO INC NJ 8.01,9.01 09/20/07
NEWPORT CORP NV 5.02,9.01 09/18/07
NIC INC CO 5.03,9.01 05/01/07
NIKE INC OR 2.02,9.01 09/20/07
NOVADEL PHARMA INC DE 1.01,9.01 09/13/07
NOVASTAR FINANCIAL INC MD 1.01 09/07/07 AMEND
NUVEEN INVESTMENTS INC DE 8.01,9.01 09/18/07
NYSE Euronext DE 5.02,9.01 09/19/07
OAKLEY INC WA 5.02,9.01 09/20/07 AMEND
OLD POINT FINANCIAL CORP VA 5.03,9.01 09/11/07 AMEND
OLD SECOND BANCORP INC DE 5.04,9.01 09/19/07
OMEGA COMMERCIAL FINANCE CORP WY 1.01,2.01,4.01 09/14/07
Opexa Therapeutics, Inc. TX 5.02,9.01 09/19/07
OPTICAL CABLE CORP VA 2.01,2.02,9.01 09/14/07
OPTIUM CORP DE 2.02,9.01 09/20/07
ORACLE CORP 2.02,9.01 09/20/07
OSIRIS THERAPEUTICS, INC. DE 1.01,9.01 09/20/07
Osteologix, Inc. DE 1.01,5.02 09/14/07
OVERSEAS SHIPHOLDING GROUP INC DE 8.01,9.01 09/19/07
PALADIN REALTY INCOME PROPERTIES INC MD 1.01,2.01,2.03,9.01 09/14/07
PALM INC DE 2.02,7.01,9.01 09/17/07 AMEND
PARK ELECTROCHEMICAL CORP NY 9.01 09/20/07
Penn Virginia GP Holdings, L.P. 1.01,9.01 09/19/07
PENN VIRGINIA RESOURCE PARTNERS L P DE 1.01,9.01 09/19/07
PHOTOWORKS INC /WA WA 4.01,9.01 09/05/07 AMEND
PIER 1 IMPORTS INC/DE DE 2.02,9.01 09/20/07
PINNACLE AIRLINES CORP DE 1.01 09/14/07
PORTLAND GENERAL ELECTRIC CO /OR/ OR 2.03 09/19/07
POZEN INC /NC 5.03,9.01 09/19/07
PREMIERWEST BANCORP OR 7.01,9.01 09/20/07
PROGRESS SOFTWARE CORP /MA MA 2.02,9.01 09/20/07
Project Development Pacific, Inc. NV 5.02 09/15/07
PROLIANCE INTERNATIONAL, INC. DE 5.02,9.01 09/19/07
ProLink Holdings Corp. DE 1.01,9.01 09/14/07
Protalix BioTherapeutics, Inc. FL 9.01 12/31/06 AMEND
PROTECTIVE LIFE INSURANCE CO TN 9.01 09/18/07
PROVIDENT COMMUNITY BANCSHARES, INC. 5.02 09/18/07
PRUDENTIAL BANCORP INC OF PENNSYLVANI 7.01,9.01 09/19/07
PUBLIC SERVICE ENTERPRISE GROUP INC NJ 1.01,8.01,9.01 09/19/07
RADIAN GROUP INC DE 1.01,9.01 09/14/07
RAINMAKER SYSTEMS INC CA 5.02,9.01 09/17/07
RALI Series 2007-QO5 Trust DE 8.01,9.01 09/19/07 AMEND
REMINGTON ARMS CO INC/ DE 1.01 09/20/07
Renaissance Home Equity Loan Trust 20 8.01,9.01 08/27/07
REPUBLIC BANCORP INC /KY/ KY 1.01 09/19/07
REX STORES CORP DE 8.01 09/19/07
RIVER VALLEY BANCORP IN 8.01,9.01 09/18/07
RUSH ENTERPRISES INC \TX\ TX 5.03,8.01,9.01 09/20/07
SAMARITAN PHARMACEUTICALS INC NV 8.01,9.01 09/20/07
SAN DIEGO GAS & ELECTRIC CO CA 8.01,9.01 09/17/07
SCHOLASTIC CORP DE 2.02,9.01 09/20/07
SHENANDOAH TELECOMMUNICATIONS CO/VA/ VA 5.02,9.01 09/17/07
SILVERADO GOLD MINES LTD A1 1.01,3.02,9.01 09/04/07
SIRVA INC DE 5.02,9.01 09/17/07
SMITHTOWN BANCORP INC NY 8.01 09/19/07
SMOKY MARKET FOODS INC NV 3.02 09/17/07
SONOCO PRODUCTS CO SC 7.01,9.01 09/18/07
SONTRA MEDICAL CORP MN 1.01,2.01,3.02,5.02,9.01 09/14/07
SOUTHWEST AIRLINES CO TX 1.01,9.01 09/19/07
SOYO GROUP INC NV 8.01 09/19/07
SPHERION CORP DE 1.01,9.01 09/19/07
SportsQuest, Inc. NJ 5.02,5.03,9.01 08/16/07
ST JOE CO FL 2.01,9.01 06/20/07 AMEND
STEELCASE INC MI 2.02,9.01 09/20/07
STEWART ENTERPRISES INC LA 8.01,9.01 09/19/07
SUBURBAN PROPANE PARTNERS LP DE 1.01,9.01 09/17/07
Sucampo Pharmaceuticals, Inc. 7.01,9.01 09/20/07
SUN-TIMES MEDIA GROUP INC DE 5.02 07/31/07 AMEND
SUNCOM WIRELESS INC 5.02,9.01 09/16/07
SVB FINANCIAL GROUP 7.01,9.01 09/20/07
SVB FINANCIAL GROUP 2.05 07/18/07 AMEND
SYNERGY FINANCIAL GROUP INC /NJ/ NJ 8.01,9.01 09/18/07
Synova Healthcare Group Inc 1.01,2.03,3.02,9.01 09/19/07
Target Credit Card Master Trust DE 8.01,9.01 09/20/07
Target Credit Card Master Trust DE 8.01,9.01 09/20/07
TARGET LOGISTICS INC DE 1.01,9.01 09/17/07
TEKTRONIX INC OR 2.02,9.01 09/20/07
TERRA INDUSTRIES INC MD 1.01,2.01,9.01 09/14/07
THESTREET COM DE 1.01 09/13/07
TIFFANY & CO DE 8.01 09/20/07
TOPPS CO INC DE 8.01,9.01 09/19/07
TOPPS CO INC DE 8.01 09/19/07
TOPSPIN MEDICAL INC 5.02 09/16/07
TOREADOR RESOURCES CORP DE 7.01,9.01 09/19/07
TransDigm Group INC DE 5.02,9.01 09/19/07
TRANSMETA CORP DE 8.01 09/20/07
TRANSOCEAN INC E9 8.01,9.01 09/20/07
Trubion Pharmaceuticals, Inc 8.01 09/14/07
Tyco Electronics Ltd. D0 2.02,7.01,9.01 09/20/07
Uni-Pixel DE 5.02,9.01 09/11/07
UQM TECHNOLOGIES INC CO 1.01,9.01 09/18/07
US REALTY PARTNERS LTD PARTNERSHIP DE 1.01,2.03,9.01 09/14/07
UTIX GROUP INC DE 4.01 09/17/07
VALIDUS HOLDINGS LTD 7.01,9.01 09/20/07
VCG HOLDING CORP CO 1.01,2.01,2.03,8.01,9.01 09/14/07
VERASUN ENERGY CORP 8.01 09/19/07
VeriChip CORP DE 8.01,9.01 09/20/07
Vestin Realty Mortgage I, Inc. 8.01,9.01 09/20/07
Vestin Realty Mortgage II, Inc 8.01,9.01 09/20/07
Vivid Learning Systems, Inc. DE 5.02 09/19/07
Volkswagen Auto Loan Enhanced Trust 2 8.01,9.01 09/20/07
VOLKSWAGEN DEALER FINANCE LLC DE 8.01,9.01 09/20/07
VWR Funding, Inc. DE 5.02 09/14/07
WAKE FOREST BANCSHARES INC 1.01,1.02 09/20/07
WebMD Health Corp. DE 5.02 09/18/07
WENTWORTH II INC 1.01,9.01 09/14/07
WENTWORTH V INC DE 1.01,9.01 09/18/07
WET SEAL INC DE 5.02,9.01 09/19/07
WEYERHAEUSER CO WA 8.01,9.01 09/19/07
WILMINGTON TRUST CORP DE 5.02 09/14/07
WILSON HOLDINGS, INC. NV 1.01,1.02,5.02,9.01 09/17/07
WNC CALIFORNIA HOUSING TAX CREDITS LP CA 7.01,9.01 09/20/07
WORKSTREAM INC 5.02,9.01 09/14/07
WORLD OMNI AUTO RECEIVABLES LLC DE 1.01,8.01 09/17/07
XECHEM INTERNATIONAL INC DE 8.01 09/20/07
http://www.sec.gov/news/digest/2007/dig092107.htm
|
