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SEC NEWS DIGEST
Issue 2007-200 October 17, 2007
ENFORCEMENT PROCEEDINGS
COMMISSION REVOKES REGISTRATION OF SECURITIES OF INSTAPAY SYSTEMS,
INC. FOR FAILURE TO MAKE REQUIRED PERIODIC FILINGS
On October 17, the Commission revoked the registration of each class
of registered securities of Instapay Systems, Inc. (Instapay) 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, Instapay 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 Instapay
Systems, 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
Instapay's securities pursuant to Section 12(j) of the Exchange Act.
This order settled the charges brought against Instapay in In the
Matter of The CattleSale Co., et al., Administrative Proceeding File
No. 3-12706.
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 The CattleSale Co.,
et al., Administrative Proceeding File No. 3-12706, Exchange Act
Release No. 56111 (July 20, 2007). (Rel. 34-56664; File No. 3-12706)
COMMISSION REVOKES REGISTRATION OF SECURITIES OF GEN-ID LAB SERVICES,
INC. FOR FAILURE TO MAKE REQUIRED PERIODIC FILINGS
On October 17, the Commission revoked the registration of each class
of registered securities of Gen-ID Lab Services, Inc. (Gen-ID) 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, Gen-ID 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 Gen-ID
Lab Services, 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 Gen-ID's securities pursuant to Section 12(j) of the Exchange
Act. This order settled the charges brought against Gen-ID in In the
Matter of The CattleSale Co., et al., Administrative Proceeding File
No. 3-12706.
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 The CattleSale Co.,
et al., Administrative Proceeding File No. 3-12706, Exchange Act
Release No. 56111 (July 20, 2007). (Rel. 34-56665; File No. 3-12706)
IN THE MATTER OF STEPHEN J. MCLAUGHLIN
On October 17, the Commission issued an Order Instituting
Administrative Proceedings Pursuant to Section 15(b) of the Securities
Exchange Act of 1934 and Section 203(f) of the Investment Advisers
Act, Making Findings, and Imposing Remedial Sanctions against Stephen
J. McLaughlin. The Order finds that McLaughlin, a former senior vice
president at New England Financial (NEF) and an associated person at a
New England Financial subsidiary registered with the Commission as a
broker-dealer and investment adviser, consented to a final judgment
issued on Oct. 5, 2007 in the U.S. District Court for the District of
Massachusetts permanently enjoining him from future violations of
Section 17(a) of the Securities Act of 1933, Sections 10(b) and
13(b)(5) of the Securities Exchange Act of 1934 and Rules 10b-5 and
13b2-1 thereunder, and Section 34(b) of the Investment Company Act of
1940 and from aiding and abetting violations of Sections 13(a),
13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act and Rules 13a-1, 13a-
11, 13a-13, and 12b-20 thereunder. The Order cited the Commission's
civil complaint against McLaughlin which alleged that from at least
1998 through August 2003, McLaughlin engaged in a fraudulent scheme at
NEF to hide expenses and improperly reclassified certain NEF expenses
as commissions, which led directly to the publication of materially
false financial statements by NEF and its parent, MetLife, Inc.
Based on the above, the Order suspended McLaughlin from association
with any broker, dealer, or investment adviser for a period of twelve
months. McLaughlin consented to the issuance of the Order without
admitting or denying any of the findings in the Order except those
relating to the entry of the final judgment and injunction, which he
admitted. (Rels. 34-56668; IA-2671; File No. 3-12867)
SEC BRINGS ACTION TO SET ASIDE FRAUDULENT TRANSFER OF MANHATTAN
COOPERATIVE APARTMENT
On October 12, the Commission filed a civil action in the U.S.
District Court for the Southern District of New York seeking to set
aside the fraudulent transfer of a Manhattan cooperative apartment
from Joshua S. Shainberg to Laryssa S. Shainberg.
In 1999, the Commission brought a civil enforcement action against
Joshua S. Shainberg, alleging that he violated 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. In 2006, after a jury trial,
the court entered a judgment against Joshua S. Shainberg, permanently
enjoining him from future violations of the federal securities laws,
ordering him to pay disgorgement and prejudgment interest of
$589,109.81, and imposing a civil penalty against him of $200,000.
Joshua S. Shainberg has not paid any portion of that judgment.
The Commission's complaint in the fraudulent transfer action alleges
that in two transactions in 2001 and 2003, while the Commission's
civil enforcement action was pending against him, Joshua S. Shainberg
transferred all his interest in a Manhattan cooperative apartment to
Laryssa S. Shainberg, his wife, without receiving consideration. The
complaint alleges that the transfer of the apartment was a fraudulent
conveyance in that it was made while Joshua S. Shainberg was a
defendant in the civil enforcement action, and that Joshua S.
Shainberg made the transfer with the intent to hinder, delay, or
defraud the Commission in its collection efforts. [SEC v. Joshua S.
Shainberg and Laryssa Shainberg, 07 Civ. 8814 (S.D.N.Y.)] (LR-20335)
SEC CHARGES THREE FORMER OFFICERS OF CENTERPULSE LTD. IN FINANCIAL
FRAUD SCHEME
The Commission today filed civil fraud charges in the U.S. District
Court for the District of Columbia against three former officers of
Centerpulse Ltd., alleging that they fraudulently inflated
Centerpulse's third and fourth quarter 2002 income by manipulating
reserves and refusing to recognize expenses and liabilities. Named in
the Commission's complaint are former CFO Urs Kamber, former
Controller Stephan Husi, and Richard Jon May, the former group vice
president of finance, tax counsel and treasurer of Centerpulse USA
Holding Company. Centerpulse (which was acquired by Zimmer Holdings
Inc. in 2003) was a medical implants manufacturer headquartered in
Switzerland during the alleged misconduct.
The complaint alleges that Kamber, Husi and May fraudulently inflated
Centerpulse's third quarter 2002 income by improperly deferring
recognition of a $25 million expense, refusing to write down $3.4
million in costs associated with an impaired asset, and approving $3.6
million in improper reserve adjustments. As a result, Centerpulse
overstated its third quarter 2002 pretax income by approximately $32
million.
The complaint also alleges that Kamber, Husi and May fraudulently
inflated Centerpulse's fourth quarter and fiscal 2002 income by
refusing to increase a reserve to cover at least $18 million in
liabilities, improperly using anticipated refund credits to offset
another $5 million in expenses, and again refusing to write down $3.4
million in costs associated with an impaired asset. As a result,
Centerpulse overstated its fourth quarter and fiscal year 2002 pretax
income by at least $26.4 million.
The complaint charges Kamber, Husi and May with violating and/or
aiding and abetting violations of the antifraud, reporting, books and
records and internal controls provisions of the federal securities
laws - namely, Sections 10(b), 13(a), 13(b)(2)(A), 13(b)(2)(B) and
13(b)(5) of the Securities Exchange Act of 1934, and Exchange Act
Rules 10b-5, 12b-20, 13a-1, 13a-16 and 13b2-1. Kamber is also charged
with violating the certification provision of the Sarbanes-Oxley Act
of 2002, found in Exchange Act Rule 13a-14, and May is charged with
violating the lying to auditors provision of Exchange Act Rule 13b2-2.
The Commission seeks a permanent injunction, a civil monetary penalty,
an officer and director bar, and disgorgement with prejudgment
interest against each defendant. [SEC v. Urs Kamber, Stephan Husi and
Richard Jon May, Civil Action No. 1:07-CV-01867 (JDB) (D.D.C.)] (LR-
20336; AAE Rel. 2741)
JAMES DILORENZO, FORMER EXECUTIVE AND PRINCIPAL FINANCIAL AND
ACCOUNTING OFFICER OF BOXING PROMOTER CEDRIC KUSHNER PROMOTIONS, INC.
AGREES TO PERMANENT INJUNCTION, TIME LIMITED OFFICER AND DIRECTOR BAR,
AND CIVIL PENALTY IN SETTLEMENT OF SEC FRAUD CHARGES
The Commission announced today that James DiLorenzo (DiLorenzo), the
former Executive Vice President and Principal Financial and
Accounting Officer of New York-based boxing promoter Cedric Kushner
Promotions, Inc. (CKP), has agreed to settle the Commission's
civil injunctive action pending against him in U.S. District Court
for the Southern District of New York. The Commission's March 24,
2004, complaint charged DiLorenzo and others with fraud and other
federal securities law violations for their conduct in connection
with the filing of an annual report and amended annual report in
2003 without the consent of the company's auditors. The complaint
also alleged that DiLorenzo and others knew, or were reckless in
not knowing, that the company's financial statements included
in its fiscal year 2002 filings were materially false and
misleading. See Litigation Release No. 18638. DiLorenzo has agreed to
settle all of the Commission's charges against him.
Without admitting or denying the allegations of the Commission's
complaint, DiLorenzo consented to the entry of an order: (1)
permanently enjoining him from violating Section 10(b) of the
Securities Exchange Act of 1934 (Exchange Act) and Exchange Act Rules
10b-5 and 13a-14, and from aiding and abetting violations of Sections
13(a), 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act and Exchange
Act Rules 12b-20 and 13a-1; (2) barring him from serving as an officer
or director of any public company for a period of three years; and (3)
ordering him to pay a civil penalty of $25,000. Exchange Act Rule 13a-
14, added by the Sarbanes-Oxley Act, required DiLorenzo, as CKP's
Principal Financial and Accounting Officer, to certify the accuracy
and completeness of the company's financial reports.
Previously, in 2005, also without admitting or denying the allegations
in the Commission's complaint, CKP, currently doing business as
CKRUSH, Inc., and Cedric Kushner (Kushner), CKP's former Chairman,
President, CEO and Founder, each settled with the Commission in 2005
for their alleged roles in the fraudulent filings. Both defendants
consented to the issuance of orders imposing, among other things,
anti-fraud injunctions. Kushner also consented to a civil penalty and
officer and director bar. CKP also consented to certain required
remedial undertakings. See Litigation Release No. 19485. [SEC v.
Cedric Kushner Promotions, Inc. et al., Civil Action No. 04 CV 2324
(TPG) (S.D.N.Y.)] (LR-20337; AAE Rel. 2742)
SEC FILES SETTLED INSIDER TRADING ACTION AGAINST CHARLES S. LENZNER
AND MICHAEL P. PITTERICH
The Commission announced today that it has filed a complaint in the
U.S. District Court for the Western District of Pennsylvania against
Charles S. Lenzner and Michael P. Pitterich, both of whom reside in
Sewickley, Pennsylvania. The Commission's complaint alleges they
engaged in unlawful insider trading. In particular, Pitterich
unlawfully purchased 2,000 shares of the common stock of NSD Bancorp,
Inc. (NSD Bancorp) in advance of an Oct. 15, 2004, public announcement
of a merger between NSD Bancorp and F.N.B. Corporation (FNB) and after
being tipped about the merger by Lenzner, a member of NSD Bancorp's
Board of Directors. Following the announcement, NSD Bancorp's share
price increased $12.68 or 52 percent, from $24.02 to $36.70. On Oct.
18, 2004, three days after NSD Bancorp's public announcement,
Pitterich sold all 2,000 shares of his stock for a profit of $25,230.
Simultaneously with the filing of the complaint, and without admitting
or denying the Commission's allegations, Lenzner and Pitterich
consented to the entry of a final judgment, subject to the Court's
approval: permanently enjoining them from future violations of Section
10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule
10b-5 thereunder; ordering Pitterich to pay disgorgement of his
trading profits, plus prejudgment interest thereon, totaling $30,460,
and a one-time civil penalty of $25,230; and ordering Lenzner to pay a
one-time civil penalty of $25,230.
The Commission's complaint further alleges that Pitterich knew Lenzner
was a member of NSD Bancorp's Board of Directors. Because of his
position as a Director, by Sept. 15, 2004, Lenzner knew that at least
four companies had submitted indications of interest in acquiring NSD
Bancorp and that FNB had specifically offered $40 per share. The
complaint further alleges that on Sept. 22, 2004, Lenzner provided
Pitterich with such information at or before they attended a
Pittsburgh Pirates baseball game. On the morning of Sept. 23, 2004,
Pitterich, who had no prior history of trading in the securities of
NSD Bancorp, purchased 1,000 shares of NSD Bancorp's stock on the
basis of the material, nonpublic information provided to him by
Lenzner. On Oct. 1, 2004, Pitterich, on the basis of the same
information, purchased an additional 1,000 shares. As a result of this
conduct, the complaint alleges that Lenzner and Pitterich violated
Section 10(b) of the Exchange Act and Rule 10b-5 thereunder.
The Commission acknowledges the assistance of the National Association
of Securities Dealers (now known as the Financial Industry Regulatory
Authority) with respect to this matter. [SEC v. Charles S. Lenzner and
Michael P. Pitterich, Civil Action No. 07-cv-01404-AJS (W.D.P.A.)]
(LR-20338)
TRUST INDENTURE ACT RELEASES
APPLICATION AND OPPORTUNITY FOR HEARING: GRUPO IUSACELL CELULAR, S.A.
de C.V.
The Commission has issued a notice giving interested persons until
Nov. 14, 2007, to request a hearing on an application by Grupo
Iusacell Celular, S.A. de C.V. under Section 304(d) of the Trust
Indenture Act of 1939. The application requests that the Commission
exempt from the certificate or opinion delivery requirements of
Section 314(d) of the 1939 Act certain provisions of indentures
between Iusacell Celular, certain guarantors and Law Debenture Trust
Company of New York, as trustee. The indentures relate to Senior
Floating Rate First Lien Notes due 2011 and 10% Senior Subordinated
Second Lien Notes due 2012. (Rel. 39-2449; File No. 22-28859)
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 CHINA DIGITAL VENTURES CORP, RM 1001, NO.10 BUILDING, YUMIN VILLAGE,
HEPING ROAD, LUOHU DISTRICT, SHENZHEN, F4, 0000, 8675561578170 -
7,000,000 ($140,000.00) Equity, (File 333-146727 - Oct. 16) (BR. 11)
S-3 DG FastChannel, Inc, 750 WEST JOHN CARPENTER FREEWAY, SUITE 700,
IRVING, TX, 75039, 972 581 2000 - 0 ($108,405,000.00) Equity,
(File 333-146728 - Oct. 16) (BR. 08A)
S-3ASR DealerTrack Holdings, Inc., 1111 MARCUS AVENUE, SUITE M04,
LAKE SUCCESS, NY, 11042, (516) 734-3600 - 0 ($222,456,000.00) Equity,
(File 333-146729 - Oct. 16) (BR. 03B)
S-8 WuXi PharmaTech (Cayman) Inc., 288 FUTE ZHONG ROAD,
WAIGAOQIAO FREE TRADE ZONE, SHANGHAI, F4, 200131, 86-21-5046-1111 -
0 ($204,481,049.00) ADRs/ADSs, (File 333-146730 - Oct. 16) (BR. 01)
S-3ASR J P MORGAN CHASE & CO, 270 PARK AVE, 39TH FL, NEW YORK, NY, 10017,
2122706000 - 0 ($0.00) Other, (File 333-146731 - Oct. 16) (BR. 07C)
SB-2 SPEEDEMISSIONS INC, 1134 SENOIA ROAD, SUITE B2, TYRONE, GA, 30290,
770-306-7667 - 0 ($23,452,425.00) Equity, (File 333-146733 - Oct. 16)
(BR. 05B)
S-4 IBT BANCORP INC /MI/, 200 E BROADWAY, MT PLEASANT, MI, 48858,
5177729471 - 514,809 ($7,958,947.14) Equity, (File 333-146734 -
Oct. 16) (BR. 07C)
SB-2 Bella Viaggio, Inc., 665 ASHFORD PLACE, BRENTWOOD, CA, 94513,
(925) 270-7625 - 750,000 ($75,000.00) Equity, (File 333-146735 -
Oct. 16) (BR. 11)
S-8 Simcere Pharmaceutical Group, NO. 699-18 XUAN WU AVENUE,
XUAN WU DISTRICT, NANJING, JIANGSU PROVINCE, F4, 210042,
(86)-25-8556-6666 - 0 ($57,293,013.00) ADRs/ADSs, (File 333-146736 -
Oct. 16) (BR. 01B)
S-8 BIO SOLUTIONS MANUFACTURING, INC., 1161 JAMES ST, ., HATTIESBURG, MS,
39403, 888-262-1600 - 10,000,000 ($1,100,000.00) Equity,
(File 333-146737 - Oct. 16) (BR. 06C)
N-2 NEW AMERICA HIGH INCOME FUND INC, 6172636400 -
0 ($25,000,000.00) Equity, (File 333-146738 - Oct. 16) (BR. 22)
S-4 EQUITY ONE, INC., 1600 N E MIAMI GARDENS DRIVE, NORTH MIAMI BEACH, FL,
33179, 305-947-1664 - 0 ($150,000,000.00) Non-Convertible Debt,
(File 333-146739 - Oct. 16) (BR. 08B)
S-8 JOE'S JEANS INC., 5901 SOUTH EASTERN AVENUE, -, COMMERCE, CA, 90040,
323-8373700 - 0 ($6,438,820.00) Equity, (File 333-146740 - Oct. 16)
(BR. 09B)
S-8 TCF FINANCIAL CORP, 200 LAKE STREET EAST, MAIL CODE EX-03-A, WAYZATA,
MN, 55391-1693, 612 661 6500 - 0 ($52,720,000.00) Equity,
(File 333-146741 - Oct. 16) (BR. 07A)
SB-2 WATER CHEF INC, 6029914534 -
12,718,971 ($839,452.00) Debt Convertible into Equity,
3,771,150 ($314,360.00) Equity, (File 333-146742 - Oct. 16) (BR. 06C)
N-2 Fifth Street Finance Corp, WHITE PLAINS PLAZA,
445 HAMILTON AVENUE, SUITE 1206, WHITE PLAINS, NY, 10601,
(914) 286-6800 - 0 ($150,000,000.00) Equity, (File 333-146743 -
Oct. 16) (BR. )
SB-2 MACH ONE CORP, 6430 CONGRESS DRIVE, WEST BEND, WI, 53095,
262-675-2499 - 7,670,000 ($690,300.00) Equity, (File 333-146744 -
Oct. 16) (BR. 01)
F-3 Scopus Video Networks Ltd., 10 HA, PARK AFEK, ROSH HA-AYIN, L3, 48092,
972-3-900-7777 - 4,434,180 ($23,456,812.20) Equity, (File 333-146745 -
Oct. 16) (BR. 11C)
S-8 QPC Lasers, 15632 ROXFORD STREET, SYLMAR, CA, 91342, 818-986-0000 -
5,785,416 ($3,963,009.96) Equity, (File 333-146746 - Oct. 16) (BR. 10C)
SB-2 PAY88, 1053 NORTH BARNSTEAD ROAD, BARNSTEAD, NH, 03225, 603 776 6044 -
7,929,500 ($9,251,080.00) Equity, (File 333-146747 - Oct. 16) (BR. 02A)
SB-2 Swav Enterprises Ltd., 168 - 919 CENTRE STREET NW, CALGARY, A0,
T2E 2P6, 403-288-8103 - 2,500,000 ($75,000.00) Equity,
(File 333-146748 - Oct. 16) (BR. )
S-8 VICON INDUSTRIES INC /NY/, 89 ARKAY DR, HAUPPAUGE, NY, 11788,
5169522288 - 500,000 ($5,690,000.00) Equity, (File 333-146749 -
Oct. 16) (BR. 11C)
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
---------------------------------------------------------------------------------------------------------
AASTROM BIOSCIENCES INC MI 1.01,9.01 10/15/07
ACCESS INTEGRATED TECHNOLOGIES INC DE 1.01,9.01 09/28/07
ACRO INC. NV 8.01,9.01 10/16/07
ADTRAN INC DE 2.02,9.01 10/15/07
ADTRAN INC DE 5.03,9.01 10/13/07
AEROSONIC CORP /DE/ DE 1.01,9.01 10/10/07
AES CORP DE 8.01,9.01 10/16/07
AFFILIATED MANAGERS GROUP INC DE 8.01,9.01 10/11/07
Allegiant Travel CO NV 1.01,8.01 10/09/07
ALLIED DEFENSE GROUP INC DE 3.02 10/05/07
ALR TECHNOLOGIES INC 4.01,9.01 09/26/07
AMANASU TECHNOLOGIES CORP NV 5.02 10/16/07
AMB PROPERTY CORP MD 2.02,7.01,9.01 10/16/07
AMB PROPERTY LP DE 7.01,9.01 10/16/07
AMERICAN MEDICAL ALERT CORP NY 1.01,9.01 10/10/07
AMERICAN RIVER BANKSHARES CA 1.01,9.01 10/15/07
American Telecom Services Inc 8.01,9.01 10/15/07
AMERISERV FINANCIAL INC /PA/ PA 2.02 10/15/07
AMERISOURCEBERGEN CORP DE 8.01,9.01 10/16/07
ANESIVA, INC. DE 1.01,2.03,5.02 10/10/07
API Nanotronics Corp. DE 2.02,9.01 10/15/07
ASIA GLOBAL HOLDINGS CORP. NV 8.01 10/15/07
ASSOCIATED MEDIA HOLDINGS INC 5.02 10/12/07
ASYST TECHNOLOGIES INC CA 5.03,9.01 10/10/07
AT&T INC. DE 5.02 10/11/07
ATARI INC DE 3.01,5.02,7.01 10/10/07
ATS CORP DE 1.01,9.01 10/12/07
AXS ONE INC DE 3.01,9.01 10/16/07
BALLANTYNE OF OMAHA INC DE 2.01,7.01,9.01 10/12/07
BANK OF GRANITE CORP DE 2.02,9.01 10/16/07
BAUSCH & LOMB INC NY 7.01,9.01 10/16/07
BAYWOOD INTERNATIONAL INC NV 4.01,9.01 10/16/07
BEACON POWER CORP DE 7.01,9.01 10/15/07
Bear Stearns Structured Products Inc. DE 9.01 08/31/07 AMEND
BELL MICROPRODUCTS INC CA 2.02,9.01 10/16/07
BILL BARRETT CORP 7.01,9.01 10/15/07
BIOSPECIFICS TECHNOLOGIES CORP DE 7.01,9.01 10/16/07
BlackRock Kelso Capital CORP DE 1.01,9.01 10/15/07
BLUEGREEN CORP MA 1.01,3.03,9.01 10/15/07
BOK FINANCIAL CORP ET AL OK 2.02,9.01 09/30/07
BON TON STORES INC PA 7.01,9.01 10/16/07
BPO Management Services DE 1.01,9.01 10/10/07
BPZ RESOURCES, INC. TX 3.03,5.03,7.01,8.01,9.01 10/11/07
BRANDYWINE REALTY TRUST MD 1.01,2.03,9.01 10/15/07
Brookdale Senior Living Inc. DE 1.01,2.03,9.01 10/10/07
BTHC VIII INC DE 5.03,9.01 10/16/07
Burlington Coat Factory Investments H 7.01,9.01 10/16/07
BUTLER INTERNATIONAL INC /MD/ MD 8.01 10/11/07
CALIFORNIA STEEL INDUSTRIES INC 2.02,9.01 10/16/07
CARDINAL COMMUNICATIONS, INC NV 4.01,9.01 10/10/07
CARDIODYNAMICS INTERNATIONAL CORP CA 8.01,9.01 10/16/07
CASCADE BANCORP OR 2.02,9.01 10/16/07
Cavit Sciences, Inc. 5.02 10/11/07
CENTEX CORP NV 5.02,5.03,9.01 10/10/07
CHECKFREE CORP \GA\ DE 8.01 10/15/07
CHEESECAKE FACTORY INC DE 8.01,9.01 10/11/07
CHEETAH OIL & GAS LTD. NV 7.01,9.01 10/12/07
CHINA AGRITECH INC 1.01,9.01 07/06/07 AMEND
China Precision Steel, Inc. CO 3.02,8.01,9.01 10/15/07
CHINA SHEN ZHOU MINING & RESOURCES, I NV 2.01,3.02,5.01,5.03,9.01 09/15/06 AMEND
CHL Mortgage Pass-Through Trust 2007- DE 7.01,9.01 10/11/07
CHORDIANT SOFTWARE INC DE 5.02 10/11/07
CNB FINANCIAL SERVICES INC WV 2.02,9.01 10/16/07
CNET NETWORKS INC DE 1.01,2.03,9.01 10/12/07
COACTIVE MARKETING GROUP INC DE 5.02,9.01 10/15/07
Collexis Holdings, Inc. 4.02,5.01,9.01 10/15/07
COLLINS & AIKMAN CORP DE 1.03 10/12/07
COLOMBIA GOLDFIELDS LTD 5.02 10/15/07
COLORADO INTERSTATE GAS CO DE 1.01,3.03,9.01 10/15/07
COMMERCE BANCSHARES INC /MO/ MO 2.02 10/16/07
COMMONWEALTH BIOTECHNOLOGIES INC VA 9.01 10/11/07
COMMUNITY TRUST BANCORP INC /KY/ KY 2.02,7.01,9.01 09/30/07
COMPELLENT TECHNOLOGIES INC DE 5.03,8.01,9.01 10/15/07
CONSUMERS BANCORP INC /OH/ OH 2.02,9.01 10/16/07
COSI INC DE 2.02,9.01 10/16/07
COUNTRYWIDE FINANCIAL CORP DE 2.05 09/07/07 AMEND
CRITICARE SYSTEMS INC /DE/ DE 1.01,5.03,9.01 10/10/07
CSX CORP VA 2.02,9.01 09/28/07
CYTOMEDIX INC DE 1.01,9.01 10/16/07
DARDEN RESTAURANTS INC FL 8.01,9.01 10/10/07
DATASCENSION INC NV 4.02 10/15/07
DCP Midstream Partners, LP DE 4.02,9.01 10/10/07 AMEND
DealerTrack Holdings, Inc. DE 5.02,8.01,9.01 10/11/07
DELTA AIR LINES INC /DE/ DE 2.02,9.01 10/16/07
DiamondRock Hospitality Co 2.02,9.01 10/16/07
DISCOVERY TECHNOLOGIES INC /KS/ KS 8.01 10/16/07
Dividend Capital Total Realty Trust I MD 9.01 06/07/07 AMEND
DOMINOS PIZZA INC 2.02,9.01 10/16/07
DRI CORP NC 7.01,9.01 10/16/07
DUSKA THERAPEUTICS, INC. NV 5.02 10/09/07
EARTHFIRST TECHNOLOGIES INC FL 4.01,9.01 10/02/07 AMEND
ECO2 PLASTICS INC DE 5.02 10/10/07
Ecology Coatings, Inc. NV 7.01,9.01 10/16/07
ELOYALTY CORP DE 5.02,9.01 10/12/07
Embarq CORP DE 5.02 06/22/07 AMEND
ENER1 INC FL 7.01,9.01 10/16/07
ENTERPRISE BANCORP INC /MA/ MA 2.02,9.01 10/16/07
ENTERPRISE BANCORP INC /MA/ MA 8.01,9.01 10/16/07
Enterprise Informatics Inc CA 5.01 10/16/07
ENZO BIOCHEM INC NY 2.02,9.01 10/15/07
EQUITY LIFESTYLE PROPERTIES INC MD 2.02,9.01 10/16/07
ESB FINANCIAL CORP PA 2.02,9.01 10/16/07
Federal Home Loan Bank of Boston X1 2.03 10/10/07
Federal Home Loan Bank of Chicago X1 2.03 10/10/07
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 10/10/07
Federal Home Loan Bank of Dallas 2.03 10/10/07
Federal Home Loan Bank of Des Moines X1 2.03,9.01 10/11/07
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 10/10/07
Federal Home Loan Bank of New York X1 2.03,9.01 10/10/07
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 10/10/07
Federal Home Loan Bank of San Francis X1 2.03 10/10/07
Federal Home Loan Bank of Seattle 2.03 10/16/07
Federal Home Loan Bank of Topeka 2.03 10/12/07
FENTURA FINANCIAL INC MI 8.01,9.01 10/12/07
FIRST DEFIANCE FINANCIAL CORP OH 2.02,9.01 10/15/07
FIRST M&F CORP/MS MS 5.02,9.01 10/16/07
FIRST NATIONAL BANCSHARES INC /SC/ SC 1.01 10/10/07
FIRST PLACE FINANCIAL CORP /DE/ DE 2.02,7.01,9.01 10/16/07
Fitmedia Inc. DE 1.01,9.01 10/15/07
FMB EQUIBANC INC GA 5.02 10/16/07
FNB CORP/FL/ FL 5.02,9.01 10/10/07
FOREST LABORATORIES INC DE 2.02,9.01 09/30/07
FOREST OIL CORP NY 7.01,9.01 10/15/07
FSI INTERNATIONAL INC MN 2.02,9.01 10/16/07
GATEWAY INC DE 3.02,5.01,5.02 10/16/07
GENERAL DATACOMM INDUSTRIES INC DE 8.01 10/11/07
GEODYNE ENERGY INCOME LTD PARTNERSHIP OK 2.01,9.01 10/10/07
GEODYNE ENERGY INCOME LTD PARTNERSHIP OK 2.01,9.01 10/10/07
GEODYNE ENERGY INCOME LTD PARTNERSHIP OK 2.01,9.01 10/10/07
GEODYNE INSTITUTIONAL PENSION ENERGY OK 2.01,9.01 10/10/07
GEODYNE INSTITUTIONAL PENSION ENERGY TX 2.01,9.01 10/10/07
GLADSTONE CAPITAL CORP MD 8.01,9.01 10/16/07
GOTTSCHALKS INC DE 4.01,9.01 10/10/07
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 10/15/07
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 10/12/07
GREENS WORLDWIDE INC AZ 1.01,9.01 10/11/07
GREER BANCSHARES INC SC 2.02,9.01 10/15/07
HANDHELD ENTERTAINMENT, INC. DE 1.01,8.01,9.01 10/16/07
HARVARD BIOSCIENCE INC DE 7.01,9.01 10/11/07
HEALTHCARE REALTY TRUST INC MD 8.01 10/09/07
HEALTHSOUTH CORP DE 8.01,9.01 10/15/07
Highland Distressed Opportunities, In 7.01,9.01 10/16/07
Highlands Acquisition Corp DE 8.01,9.01 10/16/07
Hill International, Inc. DE 1.01,2.03,9.01 10/15/07
HOKU SCIENTIFIC INC DE 1.01 10/15/07
HOKU SCIENTIFIC INC DE 1.01,9.01 10/12/07
HOKU SCIENTIFIC INC DE 2.02,9.01 10/16/07
HOLLY ENERGY PARTNERS LP DE 1.01,9.01 10/10/07
HORTON D R INC /DE/ DE 2.02,9.01 10/16/07
HydroGen CORP NV 7.01,9.01 10/16/07
ICU MEDICAL INC/DE DE 8.01 10/16/07
IDAHO POWER CO ID 1.01,9.01 10/15/07
INLAND WESTERN RETAIL REAL ESTATE TRU MD 1.01,9.01 10/16/07
Inova Technology Inc. NV 8.01 10/09/07
INTEGRA BANK CORP IN 2.02,9.01 10/16/07
INTEL CORP DE 2.02,7.01 10/16/07
Inter-Atlantic Financial, Inc. DE 8.01,9.01 10/09/07
INTERNATIONAL BUSINESS MACHINES CORP NY 2.02 10/16/07
INTREPID TECHNOLOGY & RESOURCES, INC. ID 1.01 10/16/07
ISCO INTERNATIONAL INC DE 7.01,9.01 10/16/07
IsoRay, Inc. MN 1.01,9.01 10/10/07
ITEX CORP NV 2.01,9.01 07/30/07 AMEND
Ivivi Technologies, Inc. NJ 1.01,3.02,9.01 10/15/07
J P MORGAN CHASE & CO DE 9.01 10/12/07
J.P. Morgan Chase Commercial Mortgage DE 8.01,9.01 09/28/07
JACKSON HEWITT TAX SERVICE INC DE 5.02,8.01,9.01 10/09/07 AMEND
JEFFERIES GROUP INC /DE/ DE 2.02,9.01 10/16/07
JOHN D. OIL & GAS CO 1.01,2.03,9.01 10/10/07
JOHNSON & JOHNSON NJ 2.02,9.01 10/16/07
KENT FINANCIAL SERVICES INC NV 7.01,9.01 10/16/07
KEYCORP /NEW/ OH 2.02,9.01 10/16/07
KIMBALL INTERNATIONAL INC IN 8.01,9.01 10/16/07
KIMBALL INTERNATIONAL INC IN 5.03,9.01 10/16/07
LAMAR ADVERTISING CO/NEW DE 1.01,2.03,9.01 10/11/07
LEHMAN BROTHERS HOLDINGS INC DE 9.01 10/12/07
LEVITT CORP FL 2.02,9.01 10/11/07
LIFE PARTNERS HOLDINGS INC TX 8.01,9.01 10/15/07
LIFECORE BIOMEDICAL INC MN 2.02,9.01 10/16/07
Lifevantage Corp CO 2.02,7.01,9.01 10/12/07
LITTLE SIOUX CORN PROCESSORS LLC 5.02 10/11/07
Live Nation, Inc. DE 3.02 10/11/07
LMI AEROSPACE INC MO 2.01,9.01 07/31/07 AMEND
MACE SECURITY INTERNATIONAL INC DE 5.02,5.03,8.01,9.01 10/16/07
MAKEMUSIC, INC. MN 2.02,8.01,9.01 10/10/07
MANNKIND CORP 5.02,9.01 10/10/07
MARSH & MCLENNAN COMPANIES, INC. DE 8.01 10/16/07
MARTEK BIOSCIENCES CORP DE 1.01,3.02,9.01 10/15/07
MARVELL TECHNOLOGY GROUP LTD D0 8.01,9.01 10/12/07
MATERIAL TECHNOLOGIES INC /CA/ DE 7.01,9.01 10/16/07
MAXIMUS INC VA 5.02 10/15/07
MAXWELL TECHNOLOGIES INC DE 8.01 10/12/07
MCCLATCHY CO DE 9.01 09/30/07
MDI, INC. DE 1.01,2.01 10/16/07
MEDIS TECHNOLOGIES LTD DE 8.01,9.01 10/16/07
MEDIWARE INFORMATION SYSTEMS INC NY 7.01,9.01 10/16/07
MERIT MEDICAL SYSTEMS INC UT 7.01,9.01 10/15/07
META FINANCIAL GROUP INC DE 5.02,9.01 10/16/07
MGP INGREDIENTS INC KS 7.01,9.01 10/16/07
MICHAELS STORES INC DE 7.01,9.01 10/16/07
MICROFIELD GROUP INC OR 5.02 10/10/07
MICROISLET INC NV 8.01,9.01 10/15/07
MILLENNIUM CELL INC DE 3.02 10/10/07
MINN DAK FARMERS COOPERATIVE ND 8.01 10/15/07
MIPS TECHNOLOGIES INC DE 5.02,9.01 10/10/07
MOLINA HEALTHCARE INC DE 5.02,9.01 10/15/07
Morgan Stanley ABS Capital I Inc. Tru DE 8.01,9.01 09/28/07
N-VIRO INTERNATIONAL CORP DE 8.01,9.01 10/16/07
NABORS INDUSTRIES LTD D0 5.02 10/14/07
NATIONAL PENN BANCSHARES INC PA 2.02,7.01 10/15/07
NATIONAL PENN BANCSHARES INC PA 2.02,7.01 10/16/07
NATIONAL RETAIL PROPERTIES, INC. MD 8.01,9.01 10/10/07
NB&T FINANCIAL GROUP INC OH 2.02,7.01,9.01 10/16/07
NEPHROS INC DE 8.01,9.01 10/16/07
Neuralstem, Inc. DE 4.01,9.01 10/10/07 AMEND
NORTHERN TRUST CORP DE 5.02,9.01 10/16/07
NORTHSTAR REALTY 5.02 10/16/07
NPS PHARMACEUTICALS INC DE 5.02 07/19/07 AMEND
OCCAM NETWORKS INC/DE DE 2.02,9.01 10/16/07
Oceanaut, Inc. 1T 1.01,3.02,7.01,9.01 10/12/07
OLD POINT FINANCIAL CORP VA 2.02,9.01 10/16/07
OLIN CORP VA 1.01,2.06,5.02,8.01,9.01 10/15/07
ON2 TECHNOLOGIES, INC. DE 8.01 10/15/07
OptimumBank Holdings, Inc. FL 2.02,7.01,9.01 10/16/07
OSI PHARMACEUTICALS INC DE 8.01,9.01 10/15/07
OXIS INTERNATIONAL INC DE 1.01,9.01 10/11/07
PALM HARBOR HOMES INC /FL/ FL 2.02,9.01 10/16/07
PAR PHARMACEUTICAL COMPANIES, INC. DE 8.01,9.01 10/15/07 AMEND
PETROLEUM DEVELOPMENT CORP NV 9.01 10/16/07
PetroSouth Energy Corp. 3.02 10/11/07
Pharmasset Inc 5.02 10/10/07
Pinnacle Gas Resources, Inc. DE 1.01,8.01,9.01 10/15/07
PIPEX PHARMACEUTICALS, INC. DE 5.02,9.01 10/10/07
PLANETOUT INC DE 1.01 10/10/07
Platinum Research Organization, Inc. DE 1.01 10/12/07
POLARIS INDUSTRIES INC/MN MN 2.02 10/16/07
PORTA SYSTEMS CORP DE 1.01 10/11/07
POWER 3 MEDICAL PRODUCTS INC NY 1.01,9.01 10/01/07
PRINCIPAL FINANCIAL GROUP INC DE 7.01 10/12/07
PROGENICS PHARMACEUTICALS INC DE 8.01,9.01 10/15/07
PROVIDENT COMMUNITY BANCSHARES, INC. 2.02,9.01 10/16/07
PROXYMED INC /FT LAUDERDALE/ FL 1.01,2.03 10/10/07
PSI CORP NV 8.01 10/15/07
Puppy Zone Enterprises, Inc NV 5.01,5.02 10/10/07
QNB CORP PA 2.02,9.01 10/16/07
QUEST RESOURCE CORP NV 1.01,8.01,9.01 10/15/07
RALCORP HOLDINGS INC /MO MO 8.01,9.01 10/11/07
RASER TECHNOLOGIES INC UT 5.02 10/16/07
RED TRAIL ENERGY, LLC 5.02 10/16/07
REGIONS FINANCIAL CORP DE 2.02,7.01,9.01 10/16/07
REGIS CORP MN 1.01,7.01,9.01 10/12/07
ROCKWELL AUTOMATION INC DE 5.02,9.01 10/13/07
ROCKY MOUNTAIN MINERALS INC WY 1.01,9.01 10/15/07
RONSON CORP NJ 1.01,8.01,9.01 10/12/07
Rosetta Resources Inc. DE 7.01,9.01 10/16/07
S&T BANCORP INC PA 2.02,9.01 10/16/07
SAMARITAN PHARMACEUTICALS INC NV 1.01,7.01,9.01 10/16/07
SANTANDER DRIVE AUTO RECEIVABLES LLC DE 8.01,9.01 10/15/07
SARATOGA RESOURCES INC /TX TX 4.01,9.01 10/08/07 AMEND
SAVANNAH BANCORP INC GA 7.01 10/16/07
SCBT FINANCIAL CORP SC 2.02,9.01 10/16/07
SCPIE HOLDINGS INC DE 1.01,9.01 10/15/07
SEAGATE TECHNOLOGY E9 2.02,9.01 10/16/07
SECURE ALLIANCE HOLDINGS CORP DE 8.01 09/14/07
SELECTICA INC DE 8.01,9.01 10/15/07
SEQUENOM INC DE 5.02,9.01 10/11/07
SHORE FINANCIAL CORP VA 7.01,9.01 10/16/07
SIELOX INC DE 2.01,9.01 07/31/07 AMEND
Sino Fibre Communications, Inc. NV 5.02,7.01,9.01 10/16/07
SINOBIOMED INC DE 1.01,2.01,9.01 08/06/07 AMEND
SMITH A O CORP DE 2.02,2.05,5.02,9.01 10/15/07
SMITHFIELD FOODS INC VA 8.01 10/16/07
SONIC CORP DE 2.02,9.01 08/31/07
SONO TEK CORP NY 7.01,9.01 10/15/07
SONOCO PRODUCTS CO SC 5.02 10/15/07
SOUTHERN FIRST BANCSHARES INC SC 2.02,9.01 10/16/07
SOUTHERN NATURAL GAS CO DE 1.01,3.03,9.01 10/15/07
SOYO GROUP INC NV 8.01 10/09/07
Spansion Inc. DE 2.02,9.01 10/16/07
SPARTAN MOTORS INC MI 7.01,9.01 10/16/07
STANLEY FURNITURE CO INC. DE 2.02,9.01 10/16/07
Stanley, Inc. DE 1.01,2.03,9.01 10/10/07
STAR SCIENTIFIC INC DE 8.01,9.01 10/15/07
STATE STREET CORP MA 2.02,9.01 10/16/07
STRATEGIC GAMING INVESTMENTS, INC. DE 5.02,9.01 10/16/07
Structured Asset Securities CORP Mort DE 6.02,9.01 08/01/07
SUNPOWER CORP CA 1.01,7.01,9.01 10/10/07
SUPERTEL HOSPITALITY INC VA 9.01 07/31/07 AMEND
SUPERVALU INC DE 2.02,9.01 10/16/07
Symmetry Holdings Inc DE 8.01,9.01 10/15/07
TELEFFICIENCY HOLDING CORP DE 8.01 11/27/06
TELIK INC DE 8.01,9.01 10/15/07
Tennessee Commerce Bancorp, Inc. TN 3.01,9.01 10/15/07
THERMODYNETICS INC DE 5.03,9.01 10/15/07
THESTREET COM DE 9.01 08/02/07 AMEND
TIDEWATER INC DE 2.02,9.01 10/16/07
Titan Global Holdings, Inc. UT 1.01,9.01 10/12/07
TODD SHIPYARDS CORP WA 8.01 10/14/07
TONGA CAPITAL CORP CO 5.02,5.05,8.01,9.01 10/09/07
TORBAY HOLDINGS INC DE 2.01 09/03/07
TORTOISE CAPITAL RESOURCES CORP 2.02,7.01,9.01 10/10/07
TORVEC INC NY 8.01 10/16/07
TRIMERIS INC DE 2.02,9.01 10/15/07
TRINITY CAPITAL CORP NM 2.02,9.01 09/30/07
TRUSTCO BANK CORP N Y NY 2.02,9.01 09/30/07
TSR INC DE 1.01,5.02,9.01 10/12/07
U S WIRELESS DATA INC DE 5.02 10/10/07
UAP HOLDING CORP DE 1.01,5.02,9.01 10/12/07
UMB FINANCIAL CORP MO 7.01,9.01 10/11/07
UNIGENE LABORATORIES INC DE 9.01 10/16/07 AMEND
United EcoEnergy Corp. 5.02,8.01 09/11/07
UNITED STATES STEEL CORP DE 1.01,9.01 10/12/07
UNIVERSAL HOSPITAL SERVICES INC MN 8.01 10/12/07
US BANCORP \DE\ DE 2.02,9.01 10/16/07
VALUECLICK INC/CA DE 2.02,7.01,9.01 10/16/07
VELOCITY EXPRESS CORP DE 7.01,9.01 10/15/07
VIEWCAST COM INC DE 7.01,9.01 10/16/07
VUBOTICS INC NV 1.01,2.03,3.02 10/16/07
WELLS FARGO & CO/MN DE 2.02,9.01 10/16/07
WERNER ENTERPRISES INC NE 2.02,8.01,9.01 10/11/07
WESTELL TECHNOLOGIES INC DE 5.02 10/15/07
Western Standard Energy Corp. NV 3.02,8.01,9.01 10/10/07
WILLBROS GROUP INC R1 8.01,9.01 10/16/07
WINNEBAGO INDUSTRIES INC IA 5.02 10/10/07
Xcorporeal, Inc. DE 4.01,9.01 10/12/07 AMEND
YAHOO INC DE 2.02,9.01 10/16/07
ZEBRA TECHNOLOGIES CORP/DE DE 1.01,9.01 10/15/07
ZILOG INC CA 1.01,9.01 10/10/07
ZION OIL & GAS INC DE 1.01,9.01 10/16/07
http://www.sec.gov/news/digest/2007/dig101707.htm
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