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SEC NEWS DIGEST
Issue 2007-191 October 3, 2007
COMMISSION ANNOUNCEMENTS
ERIK SIRRI TO TESTIFY
Erik Sirri, Director of the Division of Market Regulation, U.S.
Securities and Exchange Commission, will testify before the Senate
Committee on Banking, Housing, and Urban Affairs on Thursday, Oct. 4,
2007. Mr. Sirri's testimony, which concerns the consolidated
supervision of U.S. securities firms and affiliated Industrial Loan
Corporations, will be delivered in Room 538 of the Dirksen Senate
Office Building at 10:00 a.m.
SEC DIVISION OF CORPORATION FINANCE APPOINTS ACADEMIC ENGINEERING
FELLOW
The Securities and Exchange Commission's Division of Corporation
Finance today announced the appointment of Dr. John W. Lee as an
Academic Engineering Fellow. Dr. Lee will serve a one-year term ending
in August 2008, and will work on various issues related to the
disclosure of oil and gas reserves.
"I look forward to working with John Lee as we begin a review and
evaluation of our current disclosure requirements for oil and gas
reserves," said John White, Director of the SEC's Division of
Corporation Finance. "Dr. Lee has a unique background and distinct
area of expertise which I believe will significantly enhance our
ability to evaluate, among other things, new technologies that
companies may use to evaluate current, and identify new, reserves. He
will also assist us in determining what recommendation we will make to
the Commission, if any, about revisions to our current disclosure
requirements."
Dr. Lee, who specializes in the field of petroleum reservoir
engineering, holds the Peterson Chair in Petroleum Engineering at
Texas A&M University, where he has worked since 1977. His areas of
specialization are unconventional resources, reservoir management, gas
reservoir engineering and pressure transient testing.
Earning his B.Ch.E., M.S. and Ph.D. degrees at Georgia Tech, Dr. Lee
worked for Exxon Corp from 1962 to 1976, focusing on simulator reserve
studies and heading Exxon USA's major field study group. He also
worked for petroleum engineering consulting firm S.A. Holditch &
Associates from 1980 to 1999.
Dr. Lee has authored or co-authored several textbooks published by the
Society of Petroleum Engineers (SPE). He is a past SPE board member
and a Continuing Education Lecturer for the SPE, and the recipient of
numerous awards including the SPE's Distinguished Faculty Achievement
Award, SPE's DeGolyer Distinguished Service Medal, and the SPE/AIME
Anthony F. Lucas Gold Medal. (Press Rel. 2007-211)
SEC COMPLETES DISTRIBUTION OF $513,000 TO VICTIMS OF A PONZI SCHEME
On October 3, the Commission announced the distribution of,
approximately, $513,000 to victims of a Ponzi scheme perpetrated by
the late Donald Matthew Greth (Greth) and Brenda B. Melton (Melton).
This distribution represents the completion of the emergency action
filed by the Commission in October 2005 against Greth and Melton
(Civil Action). SEC v. Donald Matthew Greth, et al., Civil Action No.
05-5040 (D.N.J.). In the Civil Action, the Commission alleged that,
since June 2003, Greth and Melton engaged in a fraudulent scheme to
deceive investors, using misrepresentations and omissions of material
fact in connection with the offer and sale of shares in a fictitious
"Christian" investment fund run by Greth. The Commission alleged that,
in fact, the defendants were using the funds from new investors to pay
prior investors and to enrich themselves. The Commission charged Greth
and Melton with violations of Section 17(a) of the Securities Act of
1933, Section 10(b) of the Securities Exchange Act of 1934, and Rule
10b-5 thereunder, and further charged Greth with violations of
Sections 206(1) and 206(2) of the Investment Advisers Act of 1940.
Greth died immediately after the filing of the Civil Action, and the
Commission pursued its claims for monetary relief against Greth's
Estate. The Commission ultimately resolved the litigation with both
the Estate and Melton, resulting in judgments to which the defendants
consented without admitting or denying the factual allegations in the
Complaint. The judgment against the Estate, entered by the Court on
Feb. 23, 2007, ordered the Estate to pay a total $1,377,984 in
disgorgement and prejudgment interest. The judgment against Melton,
entered by the Court on May 25, 2007, permanently enjoined her from
violations of the referenced antifraud provisions, and ordered her to
pay approximately $43,000 in disgorgement and prejudgment interest,
but waived all but, approximately, $19,000, and did not impose a civil
penalty, based on her inability to pay. The funds were distributed
pursuant to a Court approved Final Distribution Plan, a copy of which
can be obtained at:
http://www.sec.gov/divisions/enforce/claims/donaldgreth.htm For
further information on the Civil Action, see Litigation Release No.
19441 at: http://www.sec.gov/litigation/litreleases/lr19441.htm
For further information contact:
Daniel M. Hawke, Regional Director Elaine C. Greenberg, Associate
Regional Director Amy J. Greer, Regional Trial Counsel Catherine E.
Pappas, Senior Trial Counsel Philadelphia Regional Office (215) 597-
3100 Distribution Plan:
http://www.sec.gov/divisions/enforce/claims/donaldgreth_plan20070906
.pdf Complaint: http://www.sec.gov/litigation/complaints/comp19441.pdf
[SEC v. Donald Matthew Greth, et al., Civil Action No. 05-5040
(D.N.J.)] (LR-20322)
ENFORCEMENT PROCEEDINGS
COURT ENTERS PRELIMINARY INJUNCTION AGAINST PETER J. DAWSON, BMG
ADVISORY SERVICES, INC., AND ETHAN THOMAS CO., INC.
The Commission announced today that on Aug. 27, 2007, the U.S.
District Court for the Eastern District of New York entered a
preliminary injunction order against Peter J. Dawson, BMG Advisory
Services, Inc., and Ethan Thomas Co., Inc. Pending a final disposition
of the Commission's enforcement action, the Order enjoins all
Defendants from violating Section 17(a) of the Securities Act of 1933,
and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-
5 thereunder and enjoins Defendants Dawson and BMG from violating
Sections 206(1) and 206(2) of the Investment Advisers Act of 1940.
Among other things, the Order also freezes the Defendants' assets and
the assets of Defendant Dawson's spouse, Lisa Dawson.
The Commission's complaint, filed on Nov. 30, 2006, alleges that the
Defendants misappropriated more than $2 million from at least seven
investment advisory clients. Dawson, the president and sole
shareholder of BMG and Ethan Thomas, targeted primarily elderly
investors living on Long Island, and advised these clients to
surrender existing variable annuity policies, mortgage their
residences, and transfer the proceeds to Ethan Thomas for Dawson to
manage through BMG, his investment advisory firm. In connection with
Dawson's advisory services, Dawson made materially false and
misleading statements to his clients about their investments and the
use of their funds. Dawson promised between a 12 and 15 percent
guaranteed return on each investment, and he assured clients that he
would arrange to pay their mortgages and/or pay monthly "returns" on
the investments. To the extent that the 12 to 15 percent return
exceeded the client's mortgage obligation, Dawson promised that excess
return would be accrued in the client's account. Rather than investing
the money as promised, Dawson abused his clients' trust and
misappropriated their funds for his own use. Dawson withdrew over
$100,000 of his clients' funds for his own benefit. At the same time,
Dawson failed to make investors' mortgage payments as he had promised.
In October and November 2006, because some investors received notices
that their mortgages were not being paid, they complained to Dawson,
who refused to return their calls and closed BMG's office. In its
enforcement action, the Commission is seeking additional relief,
including orders permanently enjoining the Defendants from committing
future violations of the foregoing federal securities laws, and a
final judgment ordering the Defendants to disgorge ill-gotten gains
and assessing civil penalties. [SEC v. Peter J. Dawson, et al., Civil
Action No. 06 CV 6360 (ADS) (EDNY)] (LR-20321)
INVESTMENT COMPANY ACT RELEASES
JNF ADVISORS, INC. AND NORTHERN LIGHTS VARIABLE TRUST
A notice has been issued giving interested persons until October 29 to
request a hearing on an application filed by JNF Advisors, Inc. and
Northern Lights Variable Trust for an order exempting applicants from
Section 15(a) of the Investment Company Act and Rule 18f-2 under the
Act. The order would permit applicants to enter into and materially
amend subadvisory agreements without shareholder approval and grant
relief from certain disclosure requirements. (Rel. IC-28010 - October
2)
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A proposed rule change filed by the New York Stock Exchange relating
to NYSE Rules 104(b) and 123D (SR-NYSE-2007-92) has become effective
pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of
1934. Publication is expected in the Federal Register during the week
of October 8. (Rel. 34-56588)
The Commission issued notice of immediate effectiveness of a proposed
rule change (SR-NYSE-2007-85) filed by the New York Stock Exchange
under Rule 19b-4 of the Securities Exchange Act of 1934 relating to
temporary waiver of the specialist marketing and investor education
fee for specialists in certain listed investment company units.
Publication is expected in the Federal Register during the week of
October 8. (Rel. 34-56589)
A proposed rule change filed by the New York Stock Exchange to modify
the Exchange's transaction fees and certain trading floor fees (SR
NYSE-2007 88) has become immediately effective under Section
19(b)(3)(A) of the Securities Exchange Act of 1934 and Rule 19b-
4(f)(2) thereunder. Publication is expected in the Federal Register
during the week of October 8. (Rel. 34-56590)
A proposed rule change filed by the New York Stock Exchange to
institute a revised system of payments to specialist firms (SR NYSE-
2007 89) has become immediately effective under Section 19(b)(3)(A) of
the Securities Exchange Act of 1934 and Rule 19b-4(f)(2) thereunder.
Publication is expected in the Federal Register during the week of
October 8. (Rel. 34-56591)
APPROVAL OF PROPOSED RULE CHANGE
The Commission granted approval of a proposed rule change (SR-Amex-
2007-60), as modified by Amendment Nos. 1 and 2 thereto, submitted by
the American Stock Exchange relating to the listing and trading of
shares of eight funds of the ProShares Trust based on international
equity indexes. Publication is expected in the Federal Register during
the week of October 8. (Rel. 34-56592)
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-8 OSCIENT PHARMACEUTICALS CORP, 1000 WINTER STREET, SUITE 2200, WALTHAM,
MA, 02451, 7813982300 - 650,000 ($1,677,000.00) Equity,
(File 333-146435 - Oct. 2) (BR. 01B)
F-1 LONGTOP FINANCIAL TECHNOLOGIES LTD, 15/F, BLOCK A, CHUANGXIN BUILDING,
SOFTWARE PARK, XIAMEN, F4, 361005, (86-592) 2396-888 -
0 ($200,000,000.00) ADRs/ADSs, (File 333-146437 - Oct. 2) (BR. )
S-8 UNIVERSAL DETECTION TECHNOLOGY, 9595 WILSHIRE BOULEVARD, SUITE 700,
BEVERLY HILLS, CA, 90212, 3102483655 -
120,000,000 ($426,000.00) Equity, (File 333-146438 - Oct. 2) (BR. 10C)
F-3 CERAGON NETWORKS LTD, 24 RAOUL WALLENBERG ST, 972-3-645-5733,
TEL AVIV ISRAEL, L3, 69719, 0119723645 - 0 ($117,679,500.00) Equity,
(File 333-146440 - Oct. 2) (BR. 11A)
SB-2 Startale Group Inc., 4320 WINFIELD ROAD, SUITE 200, WARENVILLE, IL,
60555, 630-836-8710 - 4,500,000 ($36,000.00) Equity, (File 333-146441 -
Oct. 2) (BR. 02)
SB-2 Goldspan Resources, Inc., 1155 SEYMOUR STREET, SUITE 204, VANCOUVER,
A1, V6B 1K2, 604-779-4099 - 2,544,000 ($508,800.00) Equity,
(File 333-146442 - Oct. 2) (BR. 04)
S-8 WSFS FINANCIAL CORP, 838 MARKET ST, WILMINGTON, DE, 19801, 3027926000 -
462,000 ($29,239,980.00) Equity, (File 333-146443 - Oct. 2) (BR. 07A)
F-6 MAXCOM TELECOMMUNICATIONS INC, GUILLERMO GONZALEZ CAMARENA NO 2000,
COLONIA CENTRO DE CIUDAD SANTA FE, MEXICO DF, O5, 01210, 5251471111 -
100,000,000 ($5,000,000.00) ADRs/ADSs, (File 333-146444 - Oct. 2)
(BR. 11C)
S-8 HERCULES TECHNOLOGY GROWTH CAPITAL INC, 400 HAMILTON AVE, SUITE 310,
PALO ALTO, CA, 94301, 650-289-3060 - 1,000,000 ($13,200,000.00) Equity,
(File 333-146445 - Oct. 2) (BR. 18)
S-8 NYFIX INC, 100 WALL STREET, 26TH FLOOR, NEW YORK, NY, 10005,
212-809-3542 - 9,450,000 ($43,186,500.00) Equity, (File 333-146446 -
Oct. 2) (BR. 03C)
S-3 NUTRITION 21 INC, 4 MANHATTANVILLE ROAD, PURCHASE, NY, 10577-2197,
9147014500 - 35,463,730 ($34,045,180.00) Equity, (File 333-146450 -
Oct. 2) (BR. 01B)
S-3 MARSHALL EDWARDS INC, 140 WICKS RD., NORTH RYDE, C3, NSW 2113,
0 ($24,009,807.52) Equity, (File 333-146453 - Oct. 2) (BR. 01C)
S-3 KEYSTONE CONSOLIDATED INDUSTRIES INC, 5430 LBJ FWY STE 1740,
THREE LINCOLN CENTRE, DALLAS, TX, 75240, 2144580028 -
2,500,000 ($25,000,000.00) Equity, (File 333-146454 - Oct. 2) (BR. 06B)
S-4 KEYCORP /NEW/, 127 PUBLIC SQ, CLEVELAND, OH, 44114-1306, 2166896300 -
0 ($378,578,212.00) Equity, (File 333-146456 - Oct. 2) (BR. 07C)
S-11 CNL INCOME PROPERTIES INC, 200,000,000 ($1,997,500,000.00) Equity,
(File 333-146457 - Oct. 2) (BR. 08A)
S-8 Lev Pharmaceuticals Inc, 122 WEST 42ND STREET, SUITE 2606, NEW YORK,
NY, 10168, 212-682-3096 - 10,000,000 ($9,907,701.00) Equity,
(File 333-146458 - Oct. 2) (BR. 01C)
S-8 ITERIS, INC., 1515 S. MANCHESTER AVE., ANAHEIM, CA, 92802, 7147745000 -
0 ($1,887,000.00) Equity, (File 333-146459 - Oct. 2) (BR. 11A)
S-8 DAWSON GEOPHYSICAL CO, 508 WEST WALL, SUITE 800, MIDLAND, TX, 79701,
9156843000 - 0 ($57,427,500.00) Equity, (File 333-146460 - Oct. 2)
(BR. 04A)
S-8 Coleman Cable, Inc., 1530 SHIELDS DRIVE, WAUKEGAN, IL, 60085,
(847) 672-2300 - 0 ($23,133,000.00) Equity, (File 333-146461 - Oct. 2)
(BR. 06A)
SB-2 DYNAMIC LEISURE CORP, 5680A W. CYPRESS STREET, TAMPA, FL, 33607,
813-877-6300 - 3,000,000 ($450,000.00) Equity, (File 333-146462 -
Oct. 2) (BR. 05B)
S-3 HEALTHCARE ACQUISITION CORP, 2116 FINANCIAL CENTER, 666 WALNUT STREET,
DES MOINES, IA, 50309, 515-244-5746 -
14,119,884 ($74,163,951.00) Equity, (File 333-146463 - Oct. 2) (BR. 09)
S-8 DARDEN RESTAURANTS INC, 5900 LAKE ELLENOR DR, ORLANDO, FL, 32809,
4072454000 - 3,899,227 ($165,073,775.04) Equity, (File 333-146464 -
Oct. 2) (BR. 05B)
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
--------------------------------------------------------------------------------------------------------
Access Plans USA, Inc. OK 2.01,9.01 10/01/07
ACHILLION PHARMACEUTICALS INC 5.02 08/20/07
ACUITY BRANDS INC DE 8.01,9.01 09/28/07
ACXIOM CORP DE 2.02,9.01 10/02/07
AIS FUTURES FUND IV LP DE 3.02 09/30/07
ALION SCIENCE & TECHNOLOGY CORP DE 3.02 09/30/07
Alliance Distributors Holding Inc. DE 8.01,9.01 10/02/07
ALLIANCE ONE INTERNATIONAL, INC. VA 7.01,9.01 10/02/07
Alternative Loan Trust 2007-OA9 7.01,9.01 10/02/07
AMERIANA BANCORP IN 5.03,9.01 09/24/07
AMERISOURCEBERGEN CORP DE 8.01,9.01 10/01/07
AMICAS, Inc. DE 5.02 10/01/07
ANIXTER INTERNATIONAL INC DE 1.01,9.01 09/26/07
AP PHARMA INC /DE/ DE 5.02 10/01/07
APARTMENT INVESTMENT & MANAGEMENT CO MD 8.01 09/30/07
APOGEE TECHNOLOGY INC DE 1.01,3.01,9.01 09/26/07
APPLIED NEUROSOLUTIONS INC DE 1.01,3.02 09/28/07
APPLIED NEUROSOLUTIONS INC DE 1.01,3.02 09/28/07
ARCADIA RESOURCES, INC NV 2.03,9.01 09/26/07
ARCH CAPITAL GROUP LTD. 1.01,2.03,9.01 10/01/07
ARROW INTERNATIONAL INC PA 2.01,3.01,3.03,5.01,5.02,5.03, 10/01/07
9.01
ASPEN INSURANCE HOLDINGS LTD D0 1.01,2.03 09/28/07
AT&T INC. DE 8.01 09/30/07
AT&T INC. DE 8.01 09/30/07
Atlas Pipeline Holdings, L.P. DE 9.01 07/27/07 AMEND
AURIGA LABORATORIES, INC. DE 1.01,1.02,3.02,9.01 09/26/07
AURIGA LABORATORIES, INC. DE 1.02 10/01/07
AUTO PHOTO TECHNOLOGIES INC NV 5.03,7.01,9.01 09/21/07
AUTODESK INC DE 5.02,9.01 09/27/07
AVATECH SOLUTIONS INC DE 2.02,9.01 09/28/07
AVENUE GROUP INC DE 8.01,9.01 09/25/07
AXIAL VECTOR ENGINE CORP NV 1.01,9.01 09/24/07
BANK OF THE JAMES FINANCIAL GROUP INC VA 8.01,9.01 10/02/07
Baseline Oil & Gas Corp. NV 8.01,9.01 10/02/07
Bear Stearns Structured Products Inc. DE 9.01 08/31/07
BERLINER COMMUNICATIONS INC DE 2.02,9.01 10/02/07
BIOPURE CORP DE 5.03,9.01 10/02/07
BLUE HOLDINGS, INC. NV 5.02 09/28/07
BlueLinx Holdings Inc. DE 7.01,9.01 10/02/07
Boo Koo Holdings, Inc FL 8.01 09/26/07
Brooke Credit CORP DE 8.01,9.01 09/28/07
BROOKSIDE TECHNOLOGY HOLDINGS, CORP. TX 1.01,2.01,3.02,5.03,9.01 09/26/07
BRUSH ENGINEERED MATERIALS INC 1.01,9.01 09/28/07
CAMBREX CORP DE 5.02 10/02/07
CANARGO ENERGY CORP DE 3.01,7.01,9.01 09/27/07
CAPITAL AUTO RECEIVABLES LLC DE 8.01,9.01 09/27/07
CAPITAL GROWTH SYSTEMS INC /FL/ FL 5.02,9.01 09/26/07
CapLease, Inc. 7.01,9.01 10/01/07
CAPSTEAD MORTGAGE CORP MD 8.01,9.01 09/26/07
CARBIZ INC A6 1.01,2.01,2.03,3.02,9.01 09/26/07
Care Investment Trust Inc. MD 1.01,2.03,7.01,9.01 10/01/07
CDI CORP PA 8.01 09/28/07
CENTER BANCORP INC NJ 8.01,9.01 10/01/07
CENTILLIUM COMMUNICATIONS INC DE 2.03,9.01 09/27/07
CHEMOKINE THERAPEUTICS CORP DE 8.01,9.01 10/02/07
China Direct, Inc DE 3.02 10/02/07
China Natural Gas, Inc. DE 8.01 09/24/07
CIBER INC DE 5.02,9.01 10/01/07
CITIGROUP INC DE 1.01,8.01,9.01 10/02/07
Citigroup Mortgage Loan Trust 2007-6 8.01,9.01 04/12/07
Citigroup Mortgage Loan Trust 2007-AR 8.01,9.01 02/09/07
Citigroup Mortgage Loan Trust 2007-AR 8.01,9.01 03/07/07
Citigroup Mortgage Loan Trust Inc., S 8.01,9.01 05/11/07
CLICKNSETTLE COM INC DE 3.02,5.01,5.02,9.01 09/26/07
COACHMEN INDUSTRIES INC IN 7.01,9.01 10/02/07
COHERENT INC DE 4.02,9.01 09/26/07
Cole Credit Property Trust II Inc MD 8.01 10/02/07
COLLINS & AIKMAN CORP DE 8.01 09/27/07
COLUMBIA LABORATORIES INC DE 8.01,9.01 10/02/07
COMMERCE BANCORP INC /NJ/ NJ 8.01,9.01 10/02/07
COMMUNITY BANKS INC /PA/ PA 8.01,9.01 10/02/07
COMMUNITY CAPITAL BANCSHARES INC 1.02,5.02 09/26/07
Conmed Healthcare Management, Inc. DE 8.01,9.01 10/01/07
CONTINENTAL AIRLINES INC /DE/ DE 8.01,9.01 10/02/07
Contracted Services, Inc. 5.03,8.01 10/01/07
CORNING NATURAL GAS CORP NY 5.03,9.01 09/26/07
COUNTRYWIDE FINANCIAL CORP DE 5.02,9.01 09/26/07
COVAD COMMUNICATIONS GROUP INC DE 1.01,9.01 09/27/07
CTI INDUSTRIES CORP DE 5.02,9.01 09/28/07
DAVIDSON DIVERSIFIED REAL ESTATE II L DE 1.01,2.03,9.01 09/26/07
DEAN FOODS CO DE 2.02,2.05,9.01 09/27/07
DEL MONTE FOODS CO DE 5.02,9.01 09/27/07
DELTA AIR LINES INC /DE/ DE 8.01 09/27/07
DG FastChannel, Inc DE 2.01 08/31/07 AMEND
DHB INDUSTRIES INC DE 5.02,8.01,9.01 07/17/07
DHB INDUSTRIES INC DE 5.03,9.01 10/01/07
DIAMOND HILL INVESTMENT GROUP INC OH 8.01 10/02/07
DIAMOND OFFSHORE DRILLING INC DE 7.01,9.01 10/01/07
DIRT MOTOR SPORTS, INC. DE 1.01,2.03,3.02,5.03,7.01,9.01 10/02/07
DISCOVER CARD MASTER TRUST I DE 8.01 09/30/07
DONNELLEY R H INC DE 8.01,9.01 10/02/07
DUCKWALL ALCO STORES INC KS 7.01,9.01 10/02/07
DUSA PHARMACEUTICALS INC NJ 1.01,8.01,9.01 09/26/07
DUSKA THERAPEUTICS, INC. NV 1.01,2.03,3.02,5.02,9.01 09/27/07
Dussault Apparel Inc. 3.02 09/19/07
EATON VANCE CORP MD 1.01,9.01 09/27/07
EFJ INC DE 2.02,7.01,9.01 10/01/07
EL CAPITAN PRECIOUS METALS INC NV 5.02,9.01 09/26/07
ELECTRO SCIENTIFIC INDUSTRIES INC OR 5.02 09/27/07
Energtek 1.01,2.01,9.01 09/26/07
EnerJex Resources, Inc. NV 1.01,7.01,8.01,9.01 09/26/07
ENTERPRISE FINANCIAL SERVICES CORP DE 5.03,9.01 09/26/07
ENVIRONMENTAL POWER CORP DE 1.01,8.01,9.01 09/27/07
EOG RESOURCES INC DE 7.01 10/02/07
EQUITABLE RESOURCES INC /PA/ PA 7.01 10/01/07
ev3 Inc. DE 2.02,9.01 10/02/07
EXELON CORP PA 7.01 10/02/07
FAIRPOINT COMMUNICATIONS INC DE 8.01,9.01 10/02/07
Federal Home Loan Bank of Atlanta X1 2.03 09/26/07
Federal Home Loan Bank of Boston X1 7.01,9.01 10/02/07
Federal Home Loan Bank of Boston X1 2.03 09/26/07
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 09/26/07
Federal Home Loan Bank of Des Moines X1 2.03,9.01 09/27/07
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 09/26/07
Federal Home Loan Bank of New York X1 2.03,9.01 09/26/07
Federal Home Loan Bank of New York X1 8.01 10/02/07
Federal Home Loan Bank of New York X1 8.01 10/02/07
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 09/26/07
Federal Home Loan Bank of Pittsburgh PA 5.02 07/02/07 AMEND
Federal Home Loan Bank of San Francis X1 2.03 09/26/07
Federal Home Loan Bank of Seattle 2.03 10/02/07
Federal Home Loan Bank of Topeka 2.03 09/28/07
FLOWERS FOODS INC GA 5.02,9.01 10/01/07
FMC TECHNOLOGIES INC DE 5.02 10/01/07
FNB United Corp. NC 5.02,9.01 09/30/07
FORD MOTOR CO DE 8.01,9.01 10/02/07
FORD MOTOR CREDIT CO LLC DE 8.01,9.01 10/02/07
FREEPORT MCMORAN COPPER & GOLD INC DE 1.01 09/27/07
FutureFuel Corp. DE 5.02 10/02/07
GAINSCO INC TX 8.01 10/01/07
GALAXY ENERGY CORP CO 2.03,9.01 09/28/07
GENCO SHIPPING & TRADING LTD 2.01,9.01 09/28/07
GENERAL CABLE CORP /DE/ DE 1.01,2.03,3.02,8.01,9.01 10/02/07
GENERAL MOTORS CORP DE 8.01 10/02/07
GENESIS TECHNOLOGY GROUP INC FL 1.01,2.01,3.02,5.01,5.02,9.01 10/01/07
GENUINE PARTS CO GA 7.01,9.01 10/02/07
GEORESOURCES INC CO 1.01,2.03,9.01 09/26/07
GLOBAL CASINOS INC UT 1.01 09/28/07 AMEND
GOLFSMITH INTERNATIONAL HOLDINGS INC DE 1.01,9.01 10/02/07
GOURMET HERB GROWERS INC 1.01 10/01/07
GREEN MOUNTAIN COFFEE ROASTERS INC DE 5.02 09/26/07
HarborView 2007-7 DE 8.01,9.01 10/02/07
HAROLDS STORES INC OK 1.01,2.03,9.01 09/26/07
HAYNES INTERNATIONAL INC DE 8.01,9.01 10/02/07
HEARTLAND, INC. MD 8.01 10/01/07
Helios & Matheson North America Inc. NY 1.01,9.01 09/27/07
HILTON HOTELS CORP DE 1.01,3.03,9.01 10/01/07
HINES REAL ESTATE INVESTMENT TRUST IN 9.01 07/19/07 AMEND
HORMEL FOODS CORP /DE/ DE 5.02,9.01 10/01/07
Horsehead Holding Corp 5.02,7.01,9.01 09/27/07
Houston Wire & Cable CO 1.01,2.03,8.01,9.01 09/28/07
HUMANA INC DE 7.01 09/27/07
Hyundai Auto Receivables Trust 2007-A DE 8.01,9.01 09/28/07
IFSA Strongman, Inc. DE 5.03,8.01,9.01 09/19/07
INFITECH VENTURES INC NV 4.01,9.01 09/28/07
Information Services Group Inc. DE 1.01,7.01,8.01,9.01 10/02/07
INNOVATIVE DESIGNS INC DE 8.01,9.01 10/02/07
INSITE VISION INC DE 1.01,5.02 10/01/07
INTEGRA BANK CORP IN 5.02 09/29/07
INTEGRYS ENERGY GROUP, INC. WI 2.01,9.01 09/28/07
INTELLIGROUP INC NJ 8.01,9.01 10/02/07
Intermec, Inc. DE 1.01,1.02,2.03 10/01/07
International Coal Group, Inc. DE 7.01,8.01,9.01 10/01/07
International Power Group, Ltd. DE 8.01 09/06/07
INTERNATIONAL RECTIFIER CORP /DE/ DE 5.02,7.01,9.01 10/02/07
Intersearch Group Inc FL 5.02 10/02/07
INVERNESS MEDICAL INNOVATIONS INC DE 8.01,9.01 10/02/07
INVICTA GROUP INC 4.02 08/31/07 AMEND
IRON MOUNTAIN INC DE 7.01,9.01 10/02/07
ISIS PHARMACEUTICALS INC DE 1.01,9.01 09/13/07 AMEND
J P MORGAN CHASE & CO DE 9.01 09/28/07
J.P. Morgan Mortgage Trust 2007-S3 DE 6.02 10/01/07
JABIL CIRCUIT INC DE 2.05,2.06 07/20/06 AMEND
James River Coal CO VA 7.01,9.01 10/02/07
JOHNSON CONTROLS INC WI 8.01 10/02/07
KERYX BIOPHARMACEUTICALS INC DE 1.01 09/26/07
KEYSTONE CONSOLIDATED INDUSTRIES INC DE 8.01,9.01 10/02/07
KNOLL INC DE 2.01,2.03,9.01 10/01/07
Kohlberg Capital CORP DE 1.01,2.03,8.01,9.01 10/01/07
KOHLS CORPORATION WI 7.01,9.01 10/02/07
LA-Z-BOY INC MI 2.05 10/02/07
LAMAR ADVERTISING CO/NEW DE 8.01,9.01 10/02/07
LAMSON & SESSIONS CO OH 8.01,9.01 10/01/07
LANNETT CO INC DE 2.02,9.01 10/01/07
LaPorte Bancorp, Inc. X1 8.01,9.01 10/02/07
Legacy Bancorp, Inc. DE 7.01,9.01 10/02/07
LEHMAN BROTHERS HOLDINGS INC DE 9.01 09/27/07
LEHMAN BROTHERS HOLDINGS INC DE 9.01 09/28/07
LEHMAN BROTHERS HOLDINGS INC DE 9.01 09/27/07
LifeCare Holdings, Inc. DE 5.02 09/26/07
LIME ENERGY CO. DE 5.02,9.01 10/01/07
LITHIA MOTORS INC OR 2.02,9.01 10/02/07
LOJACK CORP MA 8.01,9.01 09/26/07
LUBYS INC DE 7.01 10/02/07
MACRO Securities Depositor, LLC DE 1.01,8.01,9.01 10/02/07
MACRO Securities Depositor, LLC DE 1.01,8.01,9.01 10/02/07
MACROVISION CORP DE 8.01 10/01/07
MAGUIRE PROPERTIES INC MD 5.02,7.01,9.01 09/26/07
MANAGEMENT NETWORK GROUP INC 5.02,9.01 09/26/07
MATRITECH INC/DE/ DE 1.02,9.01 09/26/07
MDwerks, Inc. DE 1.01,3.02,9.01 09/28/07
MED GEN INC NV 1.01,8.01 10/01/07
METABASIS THERAPEUTICS INC 5.03,9.01 09/27/07
MICRO TECH IDENTIFICATION SYSTEMS INC NV 5.02 10/02/07
MICRO TECH IDENTIFICATION SYSTEMS INC NV 3.02 10/02/07
MICRON TECHNOLOGY INC DE 2.02,2.05,9.01 10/02/07
MIDWAY GAMES INC DE 2.02,9.01 10/02/07
MOLEX INC DE 5.02 09/26/07
MOLINA HEALTHCARE INC DE 8.01 10/01/07
Morgan Stanley Structured Trust I 200 9.01 08/31/07
MOVE INC DE 5.02 09/28/07
MPC CORP CO 8.01,9.01 10/01/07
Myriad Entertainment & Resorts, Inc. 1.01,9.01 09/27/07
NANO SUPERLATTICE TECHNOLOGY INC. 5.02 10/01/07
NATIONAL SEMICONDUCTOR CORP DE 5.02,8.01,9.01 09/28/07 AMEND
NaturalNano , Inc. NV 4.02 09/26/07
NBOG BANCORPORATION INC GA 5.03,7.01,9.01 10/01/07
Neonode, Inc DE 3.02,9.01 09/26/07
NeurogesX Inc CA 5.02 08/30/07 AMEND
NEW FRONTIER MEDIA INC CO 1.01 09/28/07
NEWBRIDGE BANCORP NC 5.02,9.01 09/28/07
NORTEL NETWORKS CORP 5.02,8.01,9.01 09/28/07
NORTEL NETWORKS LTD 5.02,8.01,9.01 09/28/07
NORTHWEST AIRLINES CORP DE 9.01 10/02/07
NORTHWEST BIOTHERAPEUTICS INC DE 1.01,5.02,8.01,9.01 09/28/07
NORTHWEST PIPELINE GP 1.01,8.01,9.01 10/01/07
NowAuto Group, Inc. NV 2.02,7.01,9.01 10/01/07
Nuance Communications, Inc. DE 5.02 09/26/07
O REILLY AUTOMOTIVE INC MO 7.01 09/30/07
OCCAM NETWORKS INC/DE DE 1.01,9.01 09/27/07
Ocean Power Technologies, Inc. NJ 1.01,8.01,9.01 09/26/07
OLIN CORP VA 7.01,9.01 10/01/07
OMNIVISION TECHNOLOGIES INC DE 5.02,9.01 09/26/07
OPTIMAL GROUP INC 1.01,3.02,9.01 09/26/07
OPTIO SOFTWARE INC GA 1.01,9.01 09/27/07
Orange 21 Inc. DE 8.01,9.01 10/01/07
ORCHESTRA THERAPEUTICS, INC. DE 1.01 09/28/07
OSI PHARMACEUTICALS INC DE 7.01,8.01,9.01 09/28/07
Owens Corning DE 7.01,9.01 10/02/07
PALADIN REALTY INCOME PROPERTIES INC MD 1.01,2.01,2.03,9.01 09/26/07
PANACOS PHARMACEUTICALS, INC. DE 5.02 10/02/07 AMEND
Paramount Acquisition Corp DE 8.01,9.01 10/01/07
PECO II INC OH 5.02 10/01/07
PEPSI BOTTLING GROUP INC DE 2.02,2.05,9.01 10/02/07
PERKINELMER INC MA 1.01,9.01 10/01/07
PETROHAWK ENERGY CORP DE 5.02 10/01/07 AMEND
PETROQUEST ENERGY INC DE 7.01,9.01 10/02/07
PETROQUEST ENERGY INC DE 7.01,9.01 10/02/07
Phoenix International Ventures, Inc. NV 1.01,8.01,9.01 09/10/07
PILGRIMS PRIDE CORP DE 5.02 09/26/07
PINNACLE AIRLINES CORP DE 8.01 09/26/07
PMA CAPITAL CORP PA 1.01,2.03,9.01 10/01/07
POLYCOM INC DE 2.02,9.01 10/02/07
PONIARD PHARMACEUTICALS, INC. WA 3.01,8.01,9.01 09/27/07
PRIMEDIA INC DE 5.02 09/27/07
PRINTRONIX INC DE 1.01,3.03,8.01,9.01 10/02/07
PROVIDENT BANKSHARES CORP MD 8.01 10/02/07
PSI CORP NV 8.01 09/28/07
PUREDEPTH, INC. CO 1.01,7.01,9.01 09/28/07
QUEST SOFTWARE INC CA 5.02 09/26/07
R H DONNELLEY CORP DE 8.01,9.01 10/02/07
R H DONNELLEY CORP DE 8.01,9.01 10/02/07
R H DONNELLEY CORP DE 8.01,9.01 10/02/07
RADIAN GROUP INC DE 4.01,9.01 09/26/07
RALCORP HOLDINGS INC /MO MO 5.02,9.01 09/27/07
RAPTOR NETWORKS TECHNOLOGY INC 4.01,9.01 10/01/07
Red Lake Exploration Inc. NV 1.01,8.01,9.01 10/02/07
REFLECT SCIENTIFIC INC UT 5.02 10/01/07
Renaissance Home Equity Loan Trust 20 2.01,9.01 08/27/07
RENOVIS INC DE 5.02,8.01,9.01 10/01/07
Rhino Outdoor International, Inc. 2.01,9.01 09/28/07
RYERSON INC. DE 8.01,9.01 10/02/07
SALARY. COM, INC. DE 8.01,9.01 08/23/07
SALTON INC DE 1.01,3.02,3.03,8.01,9.01 10/01/07
SANGUI BIOTECH INTERNATIONAL INC CO 4.01,8.01 09/18/07
SCBT FINANCIAL CORP SC 1.01,9.01 09/28/07
SCHERING PLOUGH CORP NJ 1.01,8.01,9.01 09/26/07
Select Notes Trust LT 2004-1 DE 8.01,9.01 10/01/07
SHARPER IMAGE CORP DE 2.03 09/26/07
SHUFFLE MASTER INC MN 1.01,9.01 09/26/07
SI INTERNATIONAL INC DE 5.03,9.01 09/27/07
SILICON GRAPHICS INC DE 5.02 08/28/07
SILVERSTAR HOLDINGS LTD B0 2.02,9.01 09/27/07
SIMON PROPERTY GROUP INC /DE/ DE 3.02,5.03,9.01 09/27/07
SMF ENERGY CORP DE 2.02,9.01 09/28/07
SOLECTRON CORP DE 5.02 09/10/07 AMEND
Solo Cup CO DE 5.02,9.01 10/01/07
SOMERSET HILLS BANCORP NJ 5.02,9.01 09/26/07
SOUTH TEXAS OIL CO NV 5.02,9.01 10/02/07
Specialty Underwriters Alliance, Inc. DE 1.01,3.02,9.01 10/01/07
SPEEDEMISSIONS INC FL 3.02 10/02/07
SPORT HALEY INC CO 2.02,9.01 09/28/07
STANDARD PARKING CORP DE 8.01 10/01/07
STANDARD PARKING CORP DE 5.02 10/01/07
STANDARD PARKING CORP DE 7.01 10/01/07
STEC, INC. CA 5.03,9.01 10/02/07
STOCKGROUP INFORMATION SYSTEMS INC CO 7.01,9.01 10/02/07
STONE ENERGY CORP DE 7.01,9.01 09/27/07
STONE ENERGY CORP DE 8.01 10/01/07
STRYKER CORP MI 8.01,9.01 09/27/07
SUMTOTAL SYSTEMS INC DE 5.02 09/28/07
SUPERIOR BANCORP DE 7.01,9.01 10/02/07
SYCAMORE NETWORKS INC DE 8.01 09/28/07
SYMS CORP NJ 2.02,9.01 10/01/07
SYNERGY BRANDS INC DE 3.01 10/01/07
SYNTHESIS ENERGY SYSTEMS INC DE 1.01,9.01 09/26/07
Synutra International, Inc. DE 5.02,9.01 10/01/07
TALON INTERNATIONAL, INC. DE 5.02 10/01/07
Targa Resources Partners LP DE 7.01,9.01 10/01/07
TD AMERITRADE HOLDING CORP DE 5.02 09/26/07
TEKNI PLEX INC DE 1.01,9.01 09/30/07
Tennessee Valley Authority 4.01 09/27/07
TETON ENERGY CORP DE 1.01,7.01,9.01 09/26/07
THESTREET COM DE 5.02 10/01/07
THESTREET COM DE 5.02 09/26/07
THOR INDUSTRIES INC DE 2.02,9.01 10/01/07
TIDELANDS OIL & GAS CORP/WA NV 5.02,9.01 09/21/07
TIDEWATER INC DE 5.02,9.01 09/26/07
TOWER TECH HOLDINGS INC. NV 2.01,9.01 10/01/07
TRONOX INC DE 1.01,2.03,7.01,8.01,9.01 09/25/07
Trycera Financial, Inc. NV 5.02 09/27/07
TTM TECHNOLOGIES INC WA 7.01,9.01 10/02/07
TUPPERWARE BRANDS CORP DE 1.01,1.02,2.03,9.01 09/28/07
UBS Managed Futures LLC (Aspect Serie 3.02 10/01/07
UDR, Inc. MD 7.01,9.01 10/02/07
UMPQUA HOLDINGS CORP OR 7.01,9.01 10/01/07
UNIFI INC NY 5.02,9.01 09/26/07
UNION PACIFIC CORP UT 5.03,8.01,9.01 09/26/07
UNITED HERITAGE CORP UT 5.01,8.01,9.01 09/26/07
VALLEY FINANCIAL CORP /VA/ VA 3.02,8.01 10/01/07
VERASUN ENERGY CORP 8.01,9.01 10/01/07
Verigy Ltd. U0 5.02,9.01 10/01/07
VIACELL INC 1.01,9.01 10/01/07
VIACELL INC 8.01,9.01 10/01/07
VIGNETTE CORP DE 2.02,9.01 10/01/07
VILLAGE SUPER MARKET INC NJ 7.01,9.01 07/28/07
VIRAL GENETICS INC /DE/ DE 3.02,5.02,9.01 07/05/07
VIRGINIA COMMERCE BANCORP INC 8.01,9.01 09/28/07
VISION SCIENCES INC /DE/ DE 8.01 10/02/07
VOICESERVE INC DE 8.01 09/28/07
VOIP INC 1.01,2.03,3.02,9.01 09/24/07
WACCAMAW BANKSHARES INC NC 1.01,8.01,9.01 09/20/07
Watson Wyatt Worldwide, Inc. DE 1.01 09/27/07
WATTS WATER TECHNOLOGIES INC DE 5.02,9.01 09/27/07
Wauwatosa Holdings, Inc. WI 8.01 09/28/07
WAYNE SAVINGS BANCSHARES INC /DE/ DE 5.02,9.01 09/27/07
WELLPOINT INC IN 5.02,9.01 09/28/07
WENTWORTH II INC 3.02,9.01 09/28/07
WESTERN POWER & EQUIPMENT CORP DE 1.01,9.01 09/26/07
WHOLE FOODS MARKET INC TX 8.01,9.01 10/02/07
Winning Edge International, Inc. DE 1.01,2.01,9.01 09/26/07
WOODWARD GOVERNOR CO DE 8.01,9.01 10/02/07
WORDLOGIC CORP NV 3.02 09/28/07
WORLD AM, INC. 4.02 09/26/07
WSFS FINANCIAL CORP DE 8.01,9.01 09/28/07
WYETH DE 5.02,8.01,9.01 09/27/07
XEDAR CORP CO 1.01,2.01,9.01 09/26/07
YADKIN VALLEY FINANCIAL CORP NC 8.01,9.01 10/02/07
YRC WORLDWIDE INC DE 7.01,9.01 10/01/07
YTB International, Inc. NY 7.01,9.01 10/02/07
ZHONGPIN INC. DE 1.01,5.02,9.01 09/26/07
ZIMMER HOLDINGS INC DE 1.01,7.01,9.01 09/27/07
http://www.sec.gov/news/digest/2007/dig100307.htm
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