 |
|
SEC NEWS DIGEST
Issue 2007-204 October 23, 2007
ENFORCEMENT PROCEEDINGS
IN THE MATTER OF LAMINAIRE CORP. (N/K/A CAVICO CORP.), TAM
RESTAURANTS, INC. (N/K/A AEROFOAM METALS, INC.), AND UPSIDE
DEVELOPMENT, INC. (N/K/A AMOROCORP)
On October 22, the Commission denied the motion of the Division of
Enforcement to amend the Order Instituting Proceedings, issued June
13, 2007, in the Matter of Laminaire Corp. (n/k/a Cavico Corp.), TAM
Restaurants, Inc. (n/k/a Aerofoam Metals, Inc.) ("AMI"), and Upside
Development, Inc. (n/k/a Amorocorp). By motion dated August 3, 2007,
the Division moved to amend the Order to strike "TAM Restaurants, Inc.
(n/k/a Aerofoam Metals, Inc.)" as a party and to substitute "TAM
Restaurants, Inc." ("First TAM") in its place. The Division contended
that, after the Order was instituted, AMI advised the Division that
"it was the victim of mistaken identity and that it had acquired a
different and unrelated TAM Restaurants, Inc." ("Second TAM"). In
denying the Division's motion, the Commission concluded that, after
reviewing the pleadings and exhibits furnished by the parties, it was
unclear what AMI's relationship is to First TAM and that, as a result,
the record required further development. (Rel. 34-56685; File No. 3-
12658)
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE
A proposed rule change (SR-FINRA-2007-013) filed by the Financial
Industry Regulatory Authority relating to amendments to certain rules
in light of amendments to Rule 10a-1 under the Securities Exchange Act
of 1934 and Regulation SHO has become effective under Section
19(b)(3)(A). Publication is expected in the Federal Register during
the week of October 22. (Rel. 34-56682)
NOTICE OF PROPOSED RULE CHANGE
The Commission issued notice of filing of a proposed rule change (SR-
CBOE-2007-59) submitted by the Chicago Board Options Exchange under
Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4
thereunder to amend the minimum quote size requirements for Hybrid
Opening System rotations. Publication is expected in the Federal
Register during the week of October 22. (Rel. 34-56680)
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-3 DCP Midstream Partners, LP, 370 17TH STREET, SUITE 2775, DENVER, CO,
80202, 720.944.9400 - 5,386,732 ($222,579,766.24) Limited Partnership Interests,
(File 333-146832 - Oct. 22) (BR. 02)
S-3 NUTRACEUTICAL INTERNATIONAL CORP, 1400 KEARNS BOULEVARD, 2ND FLOOR,
PARK CITY, UT, 84060, 4356556000 - 0 ($22,882,500.00) Equity,
(File 333-146833 - Oct. 22) (BR. 01B)
SB-2 Windstar Inc., 50 WEST LIBERTY STREET, SUITE 880, RENO, NV, 89501,
000-000-0000 - 950,000 ($19,000.00) Equity, (File 333-146834 - Oct. 22)
(BR. 06)
S-8 JACKSON RIVERS CO, 402 WEST BROADWAY SUITE 400, SAN DIEGO, CA, 92101,
6196154242 - 34,085,356 ($8,521.34) Equity, (File 333-146835 - Oct. 22)
(BR. 11C)
S-3 PROGRESSIVE GAMING INTERNATIONAL CORP, 920 PILOT ROAD, LAS VEGAS, NV,
89119, 7028963890 - 0 ($50,000,000.00) Equity, (File 333-146836 -
Oct. 22) (BR. 06B)
S-1 Comverge, Inc., 3950 SHACKLEFORD ROAD, SUITE 400, DULUTH, GA, 30096,
770-696-7660 - 0 ($200,000,000.00) Equity, (File 333-146837 - Oct. 22)
(BR. 10)
S-1 GLOWPOINT INC, 225 LONG AVENUE, HILLSIDE, NJ, 07205, 8054828277 -
42,111,582 ($29,034,372.40) Equity, (File 333-146838 - Oct. 22)
(BR. 11C)
S-8 AMARIN CORP PLC\UK, 110 CANNON STREET, LONDON, X0, EC4N 6AR,
44-0-207-907-2442 - 60,000,000 ($2,580,000.00) Other,
(File 333-146839 - Oct. 22) (BR. 01A)
SB-2 UVENTUS TECHONOLOGIES CORP, 932 8 NO 304 GANGNAM GU, DAECHI 4 DONG,
SEOUL, M4, 00000, 011 82 10 5717 0812 - 1,200,000 ($60,000.00) Equity,
(File 333-146840 - Oct. 22) (BR. 09)
SB-2 MANARIS CORP, 1155 RENE-LEVESQUE BLVD. WEST, SUITE 2720, MONTREAL, A8,
H3B 2K8, (514) 337-2447 - 80,489,033 ($10,852,022.40) Equity,
(File 333-146841 - Oct. 22) (BR. 11C)
SB-2 BOREAL PRODUCTIONS INC., 8017 KENYON AVENUE, LOS ANGELES, CA, 90045,
604 731 6979 - 3,000,000 ($45,000.00) Equity, (File 333-146842 -
Oct. 22) (BR. 05)
SB-2 Nile Therapeutics, Inc., 2850 TELEGRAPH AVENUE, SUITE 310, BERKELEY,
CA, 94705, (510) 281-7700 - 8,810,376 ($38,765,655.00) Equity,
(File 333-146843 - Oct. 22) (BR. 01B)
S-8 AMES NATIONAL CORP, PO BOX 846, AMES, IA, 50010, 5152326251 -
25,000 ($509,250.00) Equity, (File 333-146844 - Oct. 22) (BR. 07A)
S-8 BEARINGPOINT INC, 1676 INTERNATIONAL DR, MCLEAN, VA, 22102,
7037473000 - 0 ($105,162,027.00) Equity, (File 333-146845 - Oct. 22)
(BR. 08B)
S-8 BEARINGPOINT INC, 1676 INTERNATIONAL DR, MCLEAN, VA, 22102,
7037473000 - 0 ($55,903,138.00) Equity, (File 333-146846 - Oct. 22)
(BR. 08B)
S-3ASR POPULAR INC, 209 MUNOZ RIVERA AVE, POPULAR CENTER BUILDING, HATO REY,
PR, 00918, 7877659800 - 0 ($0.00) Equity, (File 333-146847 - Oct. 22)
(BR. 07B)
S-8 TERREMARK WORLDWIDE INC, 2601 SOUTH BAYSHORE DRIVE, MIAMI, FL, 33133,
2123199160 - 0 ($22,980,000.00) Equity, (File 333-146848 - Oct. 22)
(BR. 11B)
S-1 China Architectural Engineering, Inc.,
105 BAISHI ROAD, JIUZHOU WEST AVENUE,, ZHUHAI, F4, 519070,
0086-756-8538908 - 0 ($5,966,254.00) Equity, (File 333-146851 -
Oct. 22) (BR. 06B)
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
----------------------------------------------------------------------------------------------------------
1ST CONSTITUTION BANCORP NJ 5.03,9.01 10/18/07
AAR CORP DE 5.02 10/17/07
ACORN FACTOR, INC. DE 1.01 10/16/07
AEROPOSTALE INC 5.02,9.01 10/18/07
AGL RESOURCES INC GA 2.02,9.01 10/22/07
AK STEEL HOLDING CORP DE 7.01 10/22/07
Alexza Pharmaceuticals Inc. DE 5.02 10/22/07
ALLEGHANY CORP /DE DE 5.02,5.03,9.01 10/16/07
ALLIANCE FINANCIAL CORP /NY/ NY 2.02,9.01 10/22/07
ALLSTATE LIFE INSURANCE CO 2.02 10/22/07
AMBASSADORS GROUP INC DE 8.01,9.01 10/05/07
AMERICAN EXPRESS CO NY 2.02,7.01 10/22/07
Ameris Bancorp GA 2.02 10/22/07
ANSOFT CORP PA 1.01,2.03 10/22/07
APOLLO GROUP INC AZ 2.02,5.02,8.01,9.01 10/17/07
APPLE INC CA 2.02,9.01 10/22/07
APPLEBEES INTERNATIONAL INC DE 8.01,9.01 10/22/07
ARBOR REALTY TRUST INC MD 8.01,9.01 10/22/07
ASCENDIA BRANDS, INC. DE 3.01,7.01,9.01 10/17/07
ASSURED GUARANTY LTD 2.02,9.01 10/22/07
ASTEC INDUSTRIES INC TN 2.02,9.01 10/22/07
ATLANTIC SYNDICATION NETWORK INC NV 1.01,3.02,9.01 10/01/07
ATSI COMMUNICATIONS INC/DE NV 2.02,9.01 10/22/07
AURIGA LABORATORIES, INC. DE 7.01,8.01,9.01 10/16/07
AVAYA INC DE 5.04,9.01 09/07/07 AMEND
AVICI SYSTEMS INC DE 5.02 10/16/07
AVID TECHNOLOGY INC DE 5.02 10/19/07
Banc of America Commercial Mortgage I DE 6.02 10/18/07
BANK MUTUAL CORP WI 2.02,9.01 10/18/07
BANK OF HAWAII CORP DE 2.02,9.01 10/22/07
BARRIER THERAPEUTICS INC DE 8.01,9.01 10/19/07
BAUSCH & LOMB INC NY 7.01 10/22/07
BEACH FIRST NATIONAL BANCSHARES INC SC 5.03,9.01 10/17/07
Bear Stearns ARM Trust 2007-1 DE 1.01,9.01 10/19/07
Bear Stearns ARM Trust 2007-1 DE 1.01,9.01 10/19/07
Behringer Harvard Opportunity REIT I, MD 9.01 09/13/07 AMEND
BERLINER COMMUNICATIONS INC DE 5.02 10/17/07
BERRY PETROLEUM CO DE 7.01,9.01 10/22/07
BigBand Networks, Inc. DE 1.01,1.02,5.02,9.01 10/18/07
BladeLogic, Inc. DE 5.02,9.01 10/18/07
BlueLinx Holdings Inc. DE 5.02 10/17/07
Brighton Oil & Gas, Inc. NV 1.01,3.02,5.02,7.01,9.01 10/19/07
BROWN & BROWN INC FL 2.02 09/30/07
BUSINESS OBJECTS S.A. 7.01,9.01 10/22/07
C & F FINANCIAL CORP VA 5.03,9.01 10/16/07
CADIZ INC DE 8.01 10/19/07
Calumet Specialty Products Partners, DE 1.01,7.01,8.01,9.01 10/19/07
CANO PETROLEUM, INC 3.02 10/17/07
CAPITAL ONE FUNDING, LLC 8.01,9.01 10/19/07
CAPITOL CITY BANCSHARES INC GA 5.02 10/18/07
CAPITOL FEDERAL FINANCIAL 5.03,7.01,9.01 10/22/07
CARMIKE CINEMAS INC DE 1.01,9.01 10/17/07
CASS INFORMATION SYSTEMS INC MO 2.02,8.01,9.01 10/18/07
CASUAL MALE RETAIL GROUP INC DE 2.02,9.01 10/18/07
CATHAY GENERAL BANCORP DE 5.03,9.01 10/18/07
CBL & ASSOCIATES PROPERTIES INC DE 2.01,9.01 10/18/07
CCF HOLDING CO GA 2.02,5.02,9.01 10/17/07
CD 2007-CD4 Commercial Mortgage Trust DE 6.02 10/18/07
Technologies, Inc. NV 5.02 10/16/07
CENTRAL BANCORP INC /MA/ MA 5.03,9.01 10/18/07
CENTRAL EUROPEAN MEDIA ENTERPRISES LT 5.02 10/16/07
CERIDIAN CORP /DE/ DE 2.02,7.01,8.01,9.01 10/22/07
CHAMPPS ENTERTAINMENT INC DE 2.01,5.01,5.02,8.01,9.01 10/22/07
CHANCELLOR GROUP INC/ NV 2.04,5.02,9.01 10/16/07
CHANNELL COMMERCIAL CORP DE 4.01,9.01 10/16/07
CHARMING SHOPPES INC PA 1.01,9.01 10/17/07
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 10/19/07
CHEESECAKE FACTORY INC DE 1.01 10/03/07
CHEMICAL FINANCIAL CORP MI 2.02,9.01 10/22/07
China Direct, Inc DE 7.01,9.01 10/22/07
CHINA ORGANIC AGRICULTURE, INC. 5.02,7.01,9.01 10/17/07
China Precision Steel, Inc. CO 8.01,9.01 10/17/07
China VoIP & Digital Telecom Inc. NV 8.01,9.01 10/22/07
Chino Commercial Bancorp CA 2.02 09/30/07
CITIZENS COMMUNICATIONS CO DE 8.01,9.01 10/22/07
CITIZENS FIRST CORP KY 2.02,5.03,7.01,9.01 10/18/07
CITRIX SYSTEMS INC DE 2.01,9.01 10/19/07
COMMONWEALTH BANKSHARES INC VA 8.01,9.01 10/22/07
COMPX INTERNATIONAL INC DE 1.01,9.01 10/16/07
Comverge, Inc. DE 1.01,9.01 10/16/07
Comverge, Inc. DE 9.01 10/04/07 AMEND
CONCORD CAMERA CORP NJ 1.01,2.03 10/19/07
CONEXANT SYSTEMS INC DE 5.02 10/19/07
Covidien Ltd. D0 1.01,2.03,9.01 10/17/07
CRANE CO /DE/ DE 2.02,8.01,9.01 10/22/07
CYBERSOURCE CORP DE 5.02 10/16/07
Deep Field Technologies, Inc. NJ 2.04,5.02 10/10/07
DIGITAL POWER CORP CA 1.01,2.03,9.01 10/19/07
Digital Realty Trust, Inc. MD 8.01,9.01 10/16/07
DIME COMMUNITY BANCSHARES INC DE 2.02,9.01 10/19/07
DIMECO INC PA 2.02,9.01 10/22/07
DRUGSTORE COM INC DE 2.02,9.01 10/22/07
DXP ENTERPRISES INC TX 1.01,7.01,9.01 10/22/07
EAGLE MATERIALS INC DE 2.02,9.01 10/22/07
ECB BANCORP INC NC 2.02,9.01 10/19/07
ECOLAB INC DE 2.02,9.01 10/22/07
EDWARDS LIFESCIENCES CORP DE 2.02,9.01 10/22/07
EESTech, Inc. 1.01,3.02,9.01 09/21/07
EESTech, Inc. 1.01,9.01 09/28/07
EESTech, Inc. 1.02 10/03/07
ELECTRO RENT CORP CA 5.02,9.01 10/19/07
ENCORE CAPITAL GROUP INC DE 1.01,9.01 10/19/07
ENXNET INC OK 7.01,9.01 10/22/07
EON COMMUNICATIONS CORP DE 8.01 10/22/07
EON COMMUNICATIONS CORP DE 8.01 10/22/07
EQUIFAX INC GA 2.02,9.01 10/22/07
EVEREST RE GROUP LTD D0 2.02,9.01 09/30/07
EXACT SCIENCES CORP DE 2.02,9.01 10/22/07
Exousia Advanced Materials, Inc. TX 5.02 10/22/07
EXPRESSJET HOLDINGS INC DE 2.02,8.01,9.01 09/30/07
F&M BANK CORP VA 2.02,9.01 10/22/07
FAIR ISAAC CORP DE 5.02,9.01 10/18/07
FAIRPOINT COMMUNICATIONS INC DE 8.01,9.01 10/22/07
FARMERS NATIONAL BANC CORP /OH/ OH 2.02,9.01 10/22/07
FEDERAL NATIONAL MORTGAGE ASSOCIATION 5.03,7.01,9.01 10/16/07
FIFTH THIRD AUTO TRUST 2004-A 1.02,2.01,8.01,9.01 10/22/07
FIRST CITIZENS BANCSHARES INC /DE/ DE 2.02,5.03,7.01 10/22/07
FIRST FRANKLIN CORP DE 2.02,9.01 10/19/07
FIRST INDIANA CORP IN 5.02,5.03,9.01 10/16/07
FIRST OF LONG ISLAND CORP NY 5.03,9.01 10/16/07
FIRST RELIANCE BANCSHARES INC SC 2.02,9.01 10/22/07
FIRSTPLUS FINANCIAL GROUP INC NV 8.01,9.01 10/17/07
FNB BANCORP/CA/ 2.02,9.01 10/22/07
Ford Credit Auto Owner Trust 2007-B DE 1.01,9.01 10/17/07
FORWARD AIR CORP TN 2.02,9.01 10/22/07
FOUR OAKS FINCORP INC NC 2.02,9.01 10/22/07
FRANKFORT TOWER INDUSTRIES INC DE 8.01,9.01 10/19/07
FRANKFORT TOWER INDUSTRIES INC DE 8.01,9.01 10/22/07
FRANKLIN FINANCIAL SERVICES CORP /PA/ PA 8.01,9.01 10/19/07
FRANKLIN STREET PROPERTIES CORP /MA/ 1.01,2.03,9.01 10/19/07
FURNITURE BRANDS INTERNATIONAL INC DE 7.01,9.01 10/16/07
GEMSTAR TV GUIDE INTERNATIONAL INC DE 5.02,9.01 10/16/07
GENERAL MILLS INC DE 1.02 10/22/07
GENTEX CORP MI 2.02,9.01 10/22/07
GeoMet, Inc. DE 5.02,9.01 10/22/07
GEORESOURCES INC CO 1.01,2.01,2.03,8.01,9.01 10/17/07
GILEAD SCIENCES INC DE 5.02,9.01 10/22/07
GLADSTONE INVESTMENT CORPORATION\DE DE 1.01,9.01 10/18/07
Global Resource CORP CO 3.03,5.03,8.01 10/22/07
Global Resource CORP CO 1.01,8.01,9.01 10/16/07
GMX RESOURCES INC OK 2.02,7.01,9.01 10/18/07
GOAMERICA INC DE 1.01,9.01 10/18/07
GRANITE CONSTRUCTION INC DE 5.01 09/20/07
GREAT ATLANTIC & PACIFIC TEA CO INC MD 2.01 10/22/07
GREYSTONE LOGISTICS, INC. 2.02,9.01 10/22/07
GSAA Home Equity Trust 2007-9 DE 8.01,9.01 09/28/07
HANSEN NATURAL CORP DE 5.02 10/17/07
HAPC, Inc. DE 1.01,7.01,9.01 10/17/07
HARLEYSVILLE SAVINGS FINANCIAL CORP 2.02,9.01 10/19/07
HARRAHS ENTERTAINMENT INC DE 8.01,9.01 10/17/07
HASBRO INC RI 2.02,9.01 10/22/07
HEMOSENSE INC DE 8.01,9.01 10/18/07
HERITAGE COMMERCE CORP CA 5.02,9.01 10/17/07
HI/FN INC DE 2.02,9.01 09/30/07
HOLOGIC INC DE 1.01,2.01,2.03,5.02,5.03,5.05, 10/22/07
9.01
HOST AMERICA CORP DE 7.01,9.01 10/19/07
HSBC Home Equity Loan Trust (USA) 200 8.01,9.01 10/18/07
IA GLOBAL INC DE 1.01 10/22/07
IDENIX PHARMACEUTICALS INC 5.02,9.01 10/16/07
IDEX CORP /DE/ DE 7.01,9.01 10/18/07
IDEX CORP /DE/ DE 7.01,9.01 10/18/07
IMERGENT INC DE 8.01,9.01 10/16/07
Industrial Enterprises of America, In NV 3.01,7.01 10/16/07
INFORMATICA CORP DE 5.03,9.01 10/16/07
Inland American Real Estate Trust, In MD 1.01,5.02,8.01,9.01 10/16/07
INTEGRAMED AMERICA INC DE 9.01 08/08/07 AMEND
INTERNATIONAL ENERGY, INC. NV 2.03,8.01,9.01 10/16/07
INTERSTATE BAKERIES CORP/DE/ DE 1.01,7.01,9.01 10/18/07
INTERWOVEN INC CA 1.01,9.01 10/17/07
INVESTORS REAL ESTATE TRUST ND 1.01,8.01,9.01 10/17/07
Iowa Renewable Energy, LLC IA 5.02 10/16/07
IRIDEX CORP DE 1.02,5.02,9.01 10/16/07
IRONCLAD PERFORMANCE WEAR CORP 7.01,9.01 10/17/07
ISONICS CORP CA 3.01,9.01 10/17/07
ITRONICS INC TX 3.02 10/16/07
IVANY MINING INC DE 8.01,9.01 10/18/07
J C PENNEY CO INC DE 7.01,9.01 10/22/07
J P MORGAN CHASE & CO DE 9.01 10/18/07
JAKKS PACIFIC INC DE 2.02,9.01 10/22/07
JANEL WORLD TRADE LTD NV 1.01,2.01,3.02,9.01 10/18/07
JAVA DETOUR INC. DE 1.01,9.01 10/16/07
JDA SOFTWARE GROUP INC DE 2.02,9.01 10/22/07
JO-ANN STORES INC OH 8.01 10/18/07
JONES APPAREL GROUP INC PA 5.02 10/17/07
JUNIATA VALLEY FINANCIAL CORP PA 2.02,5.02,8.01 10/16/07
KIMBERLY CLARK CORP DE 2.02 10/22/07
KING PHARMACEUTICALS INC TN 5.02,9.01 10/16/07
KITTY HAWK INC DE 4.01,9.01 10/17/07
KNBT BANCORP INC PA 8.01,9.01 10/22/07
LADENBURG THALMANN FINANCIAL SERVICES FL 1.01,2.01,2.03,3.02,9.01 10/19/07
LEINER HEALTH PRODUCTS INC DE 8.01 10/22/07
LEVITT CORP FL 2.04 10/17/07
LINCOLN BANCORP /IN/ IN 2.02,9.01 10/18/07
LUMINENT MORTGAGE CAPITAL INC 5.02,7.01,9.01 10/17/07
MARTIN MIDSTREAM PARTNERS LP DE 7.01,9.01 10/22/07
MATTHEWS INTERNATIONAL CORP PA 5.03,9.01 10/18/07
MAX & ERMAS RESTAURANTS INC DE 5.02 10/16/07
MCMORAN EXPLORATION CO /DE/ DE 7.01,9.01 10/22/07
MEDIA GENERAL INC VA 1.01,9.01 10/18/07
MEDIANEWS GROUP INC DE 1.01,2.01,3.02,8.01 10/19/07
MEDICAL STAFFING NETWORK HOLDINGS INC DE 7.01,9.01 10/22/07
MEDICALCV INC MN 1.01,9.01 10/19/07
MEDIWARE INFORMATION SYSTEMS INC NY 1.01,9.01 10/16/07
MEDTOX SCIENTIFIC INC DE 2.02,7.01,9.01 10/16/07
MERCK & CO INC NJ 2.02,9.01 10/22/07
MESA ROYALTY TRUST/TX TX 2.02,9.01 10/22/07
MetaMorphix Inc. MD 4.02 10/17/07
MEXORO MINERALS LTD CO 5.02 10/15/07
MIDWESTONE FINANCIAL GROUP INC IA 2.02,9.01 10/19/07
MINRAD INTERNATIONAL, INC. 8.01 10/22/07
MISCOR GROUP, LTD. 1.01,2.01,9.01 10/19/07
ML-CFC Commercial Mortgage Trust 2007 DE 6.02 10/18/07
MOBILE MINI INC DE 2.02,7.01,9.01 10/22/07
MONARCH COMMUNITY BANCORP INC MD 2.02,9.01 10/18/07
MRU HOLDINGS INC DE 1.01,2.03,7.01,9.01 10/19/07
My Quote Zone, Inc. NV 3.02,9.01 10/17/07
NATIONAL COAL CORP FL 3.02 10/16/07
NATIONAL HEALTH INVESTORS INC MD 8.01 10/22/07
NATIONAL RV HOLDINGS INC DE 3.01,9.01 10/16/07
NATURAL HEALTH TRENDS CORP DE 1.01,3.02,8.01,9.01 10/19/07
NAVISTAR INTERNATIONAL CORP DE 8.01,9.01 10/22/07
NAVISTAR INTERNATIONAL CORP DE 8.01 10/22/07
NEOMEDIA TECHNOLOGIES INC DE 5.02,9.01 10/22/07
NESTOR INC DE 2.02,9.01 10/21/07
NETFLIX INC DE 2.02,9.01 10/22/07
New York & Company, Inc. 2.05,2.06,7.01,9.01 10/16/07
NEXTEST SYSTEMS CORP 5.02 10/16/07
NEXTPHASE WIRELESS, INC. NV 3.03 10/02/07
NORD RESOURCES CORP DE 8.01,9.01 10/19/07 AMEND
NORTH POINTE HOLDINGS CORP 1.01,9.01 10/22/07
NORTHRIM BANCORP INC AK 8.01,9.01 10/19/07
NORTHWEST BANCORP INC PA 2.02,9.01 10/22/07
Novelis Inc. A6 5.02 10/16/07
Nuance Communications, Inc. DE 1.01,3.02,7.01,9.01 10/16/07
ONEOK INC /NEW/ OK 3.03,5.03,8.01,9.01 10/18/07
Oracle Healthcare Acquisition Corp. 8.01,9.01 10/22/07
ORION ETHANOL, INC KS 5.02 10/22/07
PACIFIC STATE BANCORP 2.02,9.01 10/18/07
PACTIV CORP DE 2.02,9.01 10/22/07
Patient Safety Technologies, Inc DE 1.01,3.02,5.02,9.01 10/17/07
PATRON SYSTEMS INC DE 4.01,9.01 10/16/07
PENINSULA GAMING CORP. DE 1.01 10/16/07
People's United Financial, Inc. DE 5.02,9.01 10/18/07
PETMED EXPRESS INC FL 8.01,9.01 10/22/07
PETROLEUM DEVELOPMENT CORP NV 1.01,2.03,9.01 10/18/07
PINNACLE FINANCIAL PARTNERS INC TN 5.03,9.01 10/16/07
PLUM CREEK TIMBER CO INC DE 2.02,9.01 10/22/07
PLUSH MALL, INC. NV 3.03,5.03,8.01,9.01 10/12/07
PLX TECHNOLOGY INC DE 2.02,9.01 10/22/07
POPULAR INC 2.02,5.03,8.01,9.01 10/17/07
POTASH CORP OF SASKATCHEWAN INC 1.01,2.03,9.01 10/19/07
PREMIERWEST BANCORP OR 1.01,7.01,9.01 10/22/07
PRG SCHULTZ INTERNATIONAL INC GA 3.02 10/17/07
PRIVATEBANCORP, INC DE 2.02,8.01,9.01 10/22/07
PRO PHARMACEUTICALS INC NV 1.01,3.02,9.01 10/19/07
QC Holdings, Inc. KS 1.01,9.01 10/17/07
QUEPASA CORP NV 4.02 10/22/07
QUIKSILVER INC DE 5.02,9.01 10/17/07
QUIPP INC FL 1.01 10/20/07
RADIATION THERAPY SERVICES INC FL 1.01,5.03,9.01 10/17/07
RAMBUS INC DE 3.01,9.01 10/18/07
RAYONIER INC NC 5.02 10/19/07 AMEND
REFLECT SCIENTIFIC INC UT 4.01,9.01 10/03/07 AMEND
REGAN HOLDING CORP CA 1.01,2.06,8.01,9.01 10/17/07
REGIS CORP MN 2.02,9.01 10/22/07
REINSURANCE GROUP OF AMERICA INC MO 2.02,9.01 10/22/07
REMINGTON ARMS CO INC/ DE 5.02 10/22/07
REPUBLIC FIRST BANCORP INC PA 2.02,9.01 10/19/07
ROWAN COMPANIES INC DE 7.01,9.01 10/22/07
ROYAL CARIBBEAN CRUISES LTD 2.02,7.01,9.01 10/22/07
RURBAN FINANCIAL CORP OH 2.02,9.01 10/18/07
RYERSON INC. DE 2.01,3.01,5.01,5.02,9.01 10/19/07
SALEM COMMUNICATIONS CORP /DE/ DE 8.01,9.01 10/18/07
SAN HOLDINGS INC CO 5.02 10/19/07
SAN JUAN BASIN ROYALTY TRUST TX 2.02,9.01 10/19/07
SARATOGA RESOURCES INC /TX TX 1.01,9.01 10/18/07
SATCON TECHNOLOGY CORP DE 1.01,3.02,9.01 10/19/07
SATCON TECHNOLOGY CORP DE 8.01,9.01 10/22/07
SATCON TECHNOLOGY CORP DE 8.01,9.01 10/22/07 AMEND
SCHERING PLOUGH CORP NJ 2.02,8.01,9.01 10/22/07
SECURITY FEDERAL CORP SC 2.02,9.01 10/22/07
SELIGMAN SELECT MUNICIPAL FUND INC MD 7.01,9.01 10/22/07
SMITH MICRO SOFTWARE INC DE 8.01 10/11/07
SONOSITE INC 8.01 10/22/07
SOUTH JERSEY INDUSTRIES INC NJ 7.01 10/22/07
SOUTHERN IOWA BIOENERGY LLC 1.01 10/16/07
SPARE BACKUP, INC. DE 8.01 10/17/07
SRKP 11 INC DE 1.01 10/20/07
STANLEY WORKS CT 5.02,9.01 10/19/07
STAR GAS PARTNERS LP DE 5.02 10/18/07
StatSure Diagnostic Systems, Inc. DE 3.02,7.01,9.01 10/22/07
STERLING FINANCIAL CORP /WA/ WA 2.02,9.01 10/22/07
SUNRISE SENIOR LIVING INC DE 8.01 10/22/07
Superior Offshore International Inc. DE 1.01,5.02,9.01 10/16/07
SUSSEX BANCORP NJ 1.01,2.02,5.03,8.01,9.01 10/17/07
SWMX, INC. DE 5.02 10/16/07
SYCAMORE NETWORKS INC DE 5.02,9.01 10/18/07
Synova Healthcare Group Inc 1.01 10/16/07
SYNPLICITY INC CA 2.02,9.01 10/22/07
Target Credit Card Master Trust DE 8.01,9.01 10/22/07
Target Credit Card Master Trust DE 8.01,9.01 10/22/07
TAUBMAN CENTERS INC MI 2.02,9.01 10/22/07
TEXAS INSTRUMENTS INC DE 2.02,9.01 10/22/07
TGC INDUSTRIES INC TX 2.02,9.01 10/22/07
THERAVANCE INC DE 7.01,9.01 10/22/07
THOMAS & BETTS CORP TN 2.02,9.01 10/22/07
THORNBURG MORTGAGE INC MD 5.02,9.01 10/16/07
THQ INC DE 2.02,9.01 10/22/07
TIME LENDING CALIFORNIA INC NV 8.01 10/16/07
Titan Global Holdings, Inc. UT 1.01,7.01,9.01 10/16/07
TITANIUM METALS CORP DE 1.01,9.01 10/16/07
TorreyPines Therapeutics, Inc. DE 8.01,9.01 10/22/07
TRANSWITCH CORP /DE DE 2.05 10/22/07
TRINITY INDUSTRIES INC DE 5.02 10/17/07
TRINITY INDUSTRIES INC DE 1.01,2.03,7.01,9.01 10/19/07
TRUSTCO BANK CORP N Y NY 8.01,9.01 10/22/07
TYCO INTERNATIONAL LTD /BER/ D0 1.01,9.01 10/19/07
U.S. Helicopter CORP DE 1.01,2.04,3.02 10/17/07
ULTRA CLEAN HOLDINGS INC 2.02,9.01 10/22/07
UNITED COMMUNITY FINANCIAL CORP OH 2.02,9.01 10/22/07
United Financial Bancorp Inc 2.02,9.01 10/19/07
UNITED FIRE & CASUALTY CO IA 2.02,9.01 09/30/07
UpSnap, Inc. 1.01,7.01,9.01 10/16/07
URANIUM ENERGY CORP NV 7.01,9.01 10/19/07
VAALCO ENERGY INC /DE/ DE 8.01,9.01 10/17/07
VALENCE TECHNOLOGY INC DE 8.01,9.01 10/18/07
VECTOR GROUP LTD DE 5.03,9.01 10/19/07
VEECO INSTRUMENTS INC DE 2.02,9.01 10/22/07
Veri-Tek International, Corp. MI 1.01,2.03,9.01 10/18/07
VINEYARD NATIONAL BANCORP CA 2.02,9.01 10/22/07
Volkswagen Auto Loan Enhanced Trust 2 8.01,9.01 10/22/07
VOLKSWAGEN DEALER FINANCE LLC DE 8.01,9.01 10/22/07
VOLTERRA SEMICONDUCTOR CORP 2.02,9.01 10/22/07
VOS INTERNATIONAL INC CO 1.01,2.01,3.02,5.01,5.02,5.06, 10/16/07
8.01,9.01
VTEX ENERGY INC NV 5.02 10/22/07
WASHINGTON FEDERAL INC WA 2.02,7.01,9.01 10/18/07
WASHINGTON TRUST BANCORP INC RI 2.02 10/19/07
WASTE CONNECTIONS INC/DE DE 2.02,7.01,9.01 10/22/07
WEATHERFORD INTERNATIONAL LTD D0 2.02,7.01,9.01 10/21/07
WESCORP ENERGY INC 7.01,9.01 10/18/07
Whos Your Daddy Inc NV 2.02,4.02,9.01 10/17/07
WII Components, Inc. DE 4.01 10/22/07
WINSONIC DIGITAL MEDIA GROUP LTD NV 1.01,2.03,3.02,7.01,9.01 10/04/07
WITS BASIN PRECIOUS MINERALS INC MN 1.02,8.01 10/15/07
YADKIN VALLEY FINANCIAL CORP NC 7.01,9.01 10/22/07
YARDVILLE NATIONAL BANCORP NJ 8.01,9.01 10/19/07
YOUBET COM INC DE 8.01 10/19/07
YUM BRANDS INC NC 8.01,9.01 10/16/07
ZEBRA TECHNOLOGIES CORP/DE DE 2.02,9.01 10/22/07
ZENITH NATIONAL INSURANCE CORP DE 2.02,9.01 10/22/07
ZORAN CORP \DE\ DE 2.02,9.01 10/22/07
http://www.sec.gov/news/digest/2007/dig102307.htm
|
