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SEC NEWS DIGEST
Issue 2007-233 December 5, 2007
COMMISSION ANNOUNCEMENTS
SEC SUSPENDS TRADING IN THE STOCK OF KIMBER-X RESOURCES CORP.
On December 5, as part of its Anti-Spam Initiative, the Securities and
Exchange Commission ordered the temporary suspension of trading in the
securities of Kimber-X Resources Corp. (Kimber-X) pursuant to Section
12(k) of the Exchange Act, commencing at 9:30 a.m. EST on Dec. 5,
2007, and terminating at 11:59 p.m. EST on Dec. 18, 2007. The
securities of Kimber-X are quoted on the Pink Sheets under the symbol
KRXR.
The Commission ordered this trading suspension because of questions
that have arisen regarding the adequacy and accuracy of Kimber-X's
press releases and other publicly-disseminated information concerning
the company's current operations, issuance of securities, and
transactions in company stock by company insiders.
The Commission cautions brokers, dealers, shareholders, and
prospective purchasers that they should carefully consider the
foregoing information along with all other currently available
information and any information subsequently issued by Kimber-X.
Further, brokers and dealers should be alert to the fact that,
pursuant to Rule 15c2-11 under the Exchange Act, at the termination of
the trading suspension, no quotation may be entered unless and until
they have strictly complied with all of the provisions of the rule. If
any broker or dealer has any questions as to whether or not it has
complied with the rule, it should not enter any quotation but
immediately contact the staff in the Division of Trading and Markets,
Office of Interpretation and Guidance, at (202) 551-5760. If any
broker or dealer is uncertain as to what is required by Rule 15c2-11,
it should refrain from entering quotations relating to the Kimber-X
securities until such time as it has familiarized itself with the rule
and is certain that all of its provisions have been met. If any broker
or dealer enters any quotation that is in violation of the rule, the
Commission will consider the need for prompt enforcement action.
The Staff acknowledges the assistance of the Saskatchewan Financial
Services Commission.
The SEC's Office of Investor Education and Assistance has information
for investors and members of the general public on topics directly
related to this action by the SEC. See
http://www.sec.gov/investor/35tradingsuspensions.htm for a compilation
of helpful links.
Any broker, dealer or other person with information relating to this
matter is invited to e-mail the Securities and Exchange Commission at
35suspensions@sec.gov. (Rel. 34-56897)
H. DAVID KOTZ NAMED NEW INSPECTOR GENERAL AT SEC
The Securities and Exchange Commission announced today that H. David
Kotz has been named the agency's new Inspector General. Mr. Kotz is
currently Inspector General of the Peace Corps.
As the SEC's Inspector General, Mr. Kotz will conduct independent and
objective audits, investigations and inspections to detect waste,
fraud and abuse, and promote economy, effectiveness and efficiency. He
also will issue fact-based reports in accordance with professional
standards.
Under the Inspector General Act of 1978, Inspectors General have a
dual and independent reporting relationship to the agency head and to
Congress. Appointments are based on integrity and ability in such
areas as accounting, auditing, financial analysis, public
administration and law, without regard to political affiliation.
"The Office of Inspector General has an enormous responsibility to
both the agency and the public that requires a principled and
independent leader," said SEC Chairman Christopher Cox. "Mr. Kotz has
demonstrated consistent strength, independence and integrity as
Inspector General of the Peace Corps. He will be responsible for
assessing all aspects of the Commission's programs to ensure
efficiency, effectiveness and accountability."
Mr. Kotz said, "I appreciate this opportunity to play an integral role
in ensuring that the SEC effectively fulfills its mission. I look
forward to working with the professional staff of the SEC's Office of
Inspector General to further the Commission's commitment to the
highest standards of efficiency, integrity and credibility."
As Inspector General at the Peace Corps since February 2006, Mr. Kotz
was responsible for overseeing the internal operations of Peace Corps
programs in Washington, D.C., at 11 regional offices, and in nearly 70
countries around the world. After joining the Peace Corps staff in
October 2002, he was an Associate General Counsel for more than three
years.
Mr. Kotz previously worked at the U.S. Agency for International
Development (USAID), where he was an Attorney Advisor in the Office of
the General Counsel and later a Chief in the Office of Labor and
Employee Relations. Prior to his government service, Mr. Kotz worked
at three law firms: Pepper Hamilton LLP in Washington D.C.; Stults &
Balber, P.C., in New York City; and Graham & James in New York City.
Mr. Kotz graduated cum laude from the University of Maryland in 1987
with a B.A. in Government and Politics, and earned his J.D. at Cornell
Law School in 1990.
Mr. Kotz replaces Walter Stachnik, who recently retired from the SEC
after 30 years of government service. (Press Rel. 2007-251)
JOHN LOESCH NAMED DEPUTY DIRECTOR IN SEC'S OFFICE OF INVESTOR
EDUCATION AND ADVOCACY
The Securities and Exchange Commission announced today that John
Loesch has been named Deputy Director of the agency's Office of
Investor Education and Advocacy (OIEA), which is undergoing an
expansion announced by SEC Chairman Christopher Cox earlier this year.
"John brings significant enforcement and management experience to the
job and OIEA is fortunate to have him join the team," said Kristi
Kaepplein, Director of OIEA. "John's leadership skills and commitment
to the protection of investors will serve OIEA well as it acts as
advocate on issues important to individual investors."
Mr. Loesch said, "I am excited to begin working with the dedicated
professionals of OIEA and look forward to the opportunity to serve
individual investors, especially in light of Chairman Cox's recent
expansion of the office."
As Deputy Director, Mr. Loesch will play an important role in the
management of the office, recently restructured to handle new
responsibilities. He will advise and assist the Director with planning
and managing several new initiatives, including assessing the views
and needs of retail investors, ensuring that those views inform the
Commission's regulatory policies and disclosure programs, improving
financial literacy, and helping investors make informed investment
decisions.
Mr. Loesch joins OIEA from the SEC's Division of Enforcement, where he
has served as senior counsel and branch chief since September 1999. In
that capacity, he supervised a number of complex enforcement
investigations in several major program areas and was one of the lead
attorneys assigned to the Enforcement Division's investigation of
Enron Corporation.
Before his SEC service, Mr. Loesch worked in the U.S. Senate as
counsel to the Committee on Governmental Affairs and in the U.S. House
of Representatives as counsel to the Committee on Education and the
Workforce. Prior to that, he served as a surface warfare officer in
the United States Navy.
Mr. Loesch received his undergraduate degree from the United States
Naval Academy and earned his law degree from the University of San
Diego School of Law. (Press Rel. 2007-252)
SEC'S OFFICE OF INTERACTIVE DISCLOSURE URGES PUBLIC COMMENT AS
INTERACTIVE DATA MOVES CLOSER TO REALITY FOR INVESTORS
The Securities and Exchange Commission's Office of Interactive
Disclosure today heralded the release for public comment of computer
labels that will help companies make their financial disclosures more
useful for investors.
The labels are already supported by at least nine software companies
whose products will enable public companies to make quarterly and
annual financial reports available in interactive data form instead of
text form. Interactive data concepts allow companies to present their
financial information in an electronic format that investors,
analysts, and others can use to more easily locate and analyze desired
information. The interactive data is encoded in a format known as
eXtensible Business Reporting Language (XBRL), which allows companies
to map their financial information to a set of computer codes that
represent U.S. GAAP accounting standards. This standardized list of
codes used to represent U.S. GAAP is known as a taxonomy.
The SEC's Office of Interactive Disclosure, created in October to lead
the transformation to interactive financial reporting by public
companies, encourages broad public review of the taxonomy and the
corresponding instructions about how to create a financial statement
in XBRL.
"We've been saying that interactive data is on the brink of
transforming the review and analysis of financial information for the
benefit of investors and public companies alike," said David
Blaszkowsky, Director of the SEC's Office of Interactive Disclosure.
"With the release of this taxonomy today, investors can now begin to
visually see the progress being made, and so will every public company
that uses GAAP. Interactive data is no longer merely an up-and-comer,
it's becoming reality. We encourage both users and preparers of
financial information to participate in this public review so we can
advance interactive data to be recognized as, not only amazing
technology, but a superior way of doing business and making faster,
cheaper, and more informed investment decisions."
The SEC launched its interactive data filing initiative in April 2005
to make filings more accessible and understandable to the common
investor. A test group of public companies have since been voluntarily
submitting XBRL documents as exhibits to periodic reports and
Investment Company Act filings. Through feedback from these voluntary
XBRL filers and a global collaboration of technologists, the XBRL US
project team created tags for a financial reporting taxonomy that
covers every U.S. GAAP accounting concept - virtually every fact that
a company might want to report on its financial statements and in its
footnotes.
The SEC will use the initial financial statements prepared using the
new taxonomy to help it update its electronic filing system to
seamlessly accept and render the filings.
A free taxonomy review tool is publicly available on the Internet at
http://usgaap.xbrl.us along with other information, including the nine
software companies whose products are compatible with the new draft
taxonomy. The public comment period ends on April 5, 2008. (Press Rel.
2007-253)
COMMISSION MEETINGS
Following is a schedule of Commission meetings, which will be
conducted under provisions of the Government in the Sunshine Act.
Meetings will be scheduled according to the requirements of agenda
items under consideration.
Open meetings will be held in the Auditorium, Room L-002 at the
Commission's headquarters building, 100 F Street, N.E., Washington,
D.C. Visitors are welcome at all open meetings, insofar as space is
available. Persons wishing to photograph or videotape Commission
meetings must obtain permission in advance from the Secretary of the
Commission. Persons wishing to tape record a Commission meeting should
notify the Secretary's office 48 hours in advance of the meeting.
Any member of the public who requires auxiliary aids such as a sign
language interpreter or material on tape to attend a public meeting
should contact Rochelle Franks, Office of Human Resources, to make
arrangements. Ms. Franks can be reached at TTY number (202) 551-4106.
In the event Ms. Franks cannot be reached, you may call the
interpreter directly at (202) 551-4158. If you are calling from a non
TTY number, please call the Relay Service at 1 866 377 8642.
OPEN MEETING - TUESDAY, DECEMBER 11, 2007 - 10:00 A.M.
The subject matter of the open meeting scheduled for Tuesday, December
11, will be:
1. The Commission will consider whether to approve the 2008 budget of
the Public Company Accounting Oversight Board and will consider the
related annual accounting support fee for the Board under Section 109
of the Sarbanes-Oxley Act of 2002.
2. The Commission will consider whether to adopt amendments to the
eligibility requirements of Form S-3 and Form F-3 of the Securities
Act of 1933 to allow companies that do not meet the current public
float requirements of the forms to nevertheless register primary
offerings of their securities, subject to certain restrictions,
including the amount of securities those companies may sell pursuant
to the expanded eligibility standard in any one-year period.
3. The Commission will consider whether to adopt amendments to mandate
electronic filing of Form D and revise the information requirements of
that form. Form D is a notice required to be filed by companies that
have sold securities without registration under the Securities Act of
1933 based on a claim of exemption under Regulation D or Section 4(6)
of the Act. Form D filings are also required by most states.
4. The Commission will consider whether to publish a concept release
to solicit public comment concerning possible revisions to the oil and
gas reserves disclosure requirements. These requirements exist in
their current form in Item 102 of Regulation S-K and Rule 4-10 of
Regulation S-X under the Securities Act of 1933 and the Securities
Exchange Act of 1934.
OPEN MEETING - THURSDAY, DECEMBER 13, 2007 - 9:00 A.M. AND OPEN
MEETING - MONDAY, DECEMBER 17, 2007 - 9:00 A.M.
The subject matter of the open meetings to be held on Thursday,
December 13, at 9:00 a.m. and on Monday, December 17, at 9:00 a.m.
will be:
The Commission will hold roundtable discussions on whether to provide
U.S. issuers the choice of reporting their financial results under
International Financial Reporting Standards. The roundtables will
further explore the matters covered in the Commission's Concept
Release on Allowing U.S. Issuers to Prepare Financial Statements in
Accordance with International Financial Reporting Standards (Release
33-8831; 34-56217) and the responses received.
CLOSED MEETING - THURSDAY, DECEMBER 13, 2007 - 2:00 P.M.
The subject matter of the closed meeting scheduled for Thursday,
December 13, will be: Formal orders of investigation; Institution and
settlement of injunctive actions; Institution and settlement of
administrative proceedings of an enforcement nature; and Adjudicatory
matters.
At times, changes in Commission priorities require
alterations in the scheduling of meeting items. For further
information and to ascertain what, if any, matters have been added,
deleted or postponed, please contact: The Office of the Secretary at
(202) 551-5400.
ENFORCEMENT PROCEEDINGS
COMMISSION DENIES IN PART AND GRANTS IN PART CHARLES E. GAECKE'S
PETITION TO VACATE A 1994 COMMISSION BAR ORDER
The Commission has denied in part and granted in part a petition by
Charles E. Gaecke to vacate a 1994 Commission bar order entered with
his consent.
In the 1994 order, the Commission found that Gaecke willfully aided
and abetted his former investment advisory firm's diversion of
$123,000 from a client's brokerage account; aided and abetted the
firm's failure to provide clients with quarterly statements as to
funds held in custody, to have client funds verified by an annual
surprise audit, and to file annual audited balance sheets with the
Commission; and filed Forms ADV that falsely stated that the former
firm did not have custody of client funds and omitted requisite
audited balance sheets. The Commission barred Gaecke from association
with a broker, dealer, investment adviser, investment company, or
municipal securities dealer and imposed other sanctions.
Since the entry of the bar order, Gaecke has published an investment
newsletter, apparently in reliance on the publisher's exclusion from
the definition of investment adviser in the Investment Advisers Act of
1940. In his petition, Geacke asked the Commission to "lift, rescind
or modify" the bar order so that he can reassure clients of the
legality of the newsletter under the Advisers Act.
The Commission determined that there are no compelling circumstances
that warrant vacating the bar order. In reaching this decision, the
Commission noted that the nature of the misconduct at issue,
particularly the misappropriation of advisory client funds, involved
serious violations of the federal securities laws and that only
thirteen years have passed since imposition of the bar. The Commission
also determined, however, that it was appropriate to modify the bar
order by vacating that portion prohibiting Gaecke from association
with a broker, dealer, investment company, or municipal securities
dealer. (Rel. IA-2681; File No. 3-8424)
SEC FILES SETTLED INSIDER TRADING CHARGES AGAINST CHEYENNE, WYOMING
ATTORNEY JAMES R. BELCHER
On December 3, the Commission filed a settled civil injunctive
action in the U.S. District Court for the District of Colorado
against James R. Belcher. Belcher is an attorney and was a partner in
the Cheyenne, Wyoming office of a large regional law firm based in
Denver, Colorado. Belcher was charged with engaging in illegal
insider trading by purchasing shares of Western Gas Resources,
Inc. (Western), formerly a Denver-based company engaged in the
exploration and production of natural gas, in violation of the
antifraud provisions of the federal securities laws. Without admitting
or denying the allegations in the Commission's complaint, Belcher has
agreed to settle this matter by consenting to the entry of a final
judgment against him which imposes injunctive and monetary relief.
The complaint alleges that Western, a client of Belcher's law
firm, engaged Belcher to provide legal advice regarding whether
approval by a Wyoming regulatory body was required in the event
Western merged into another entity. Thereafter, Western provided
Belcher with more detailed information related to the contemplated
merger transaction. The complaint alleges that on the basis of that
material, nonpublic information, on June 19, 2006, Belcher purchased
800 shares of Western at $40.83 per share. Western announced on June
23, 2006, that it was merging into Anadarko Petroleum Corporation.
Western's share price, which had closed at approximately $41 on
June 22, rose 46% to approximately $60 a share by the close of
the market on June 23. Belcher sold his shares and is alleged
to have made profits of $15,537.
The complaint alleges that Belcher knew, or was reckless in not
knowing, that he purchased Western shares based on material,
nonpublic information obtained from his firm's client, and in so doing
breached a fiduciary duty owed to Western's shareholders. Based on the
facts alleged, the Commission charged Belcher with violating Section
10(b) of the Securities Exchange Act of 1934 and Rule 10b-5
thereunder. Without admitting or denying the allegations in the
complaint, Belcher has consented to the entry of a final judgment
that: (i) permanently enjoins him from violating Section 10(b) of the
Exchange Act and Rule 10b-5 thereunder; (ii) requires him to disgorge
$15,537 in illicit gains and $1,171 in prejudgment interest thereon;
and (iii) additionally orders him to pay a civil penalty of $15,537.
[SEC v. James R. Belcher, C.A.. No. 07-CV-02507-LTB (D. Colo.) (LR-
20382)
SEC CHARGES MARC A. FREEDMAN WITH DEFRAUDING INVESTMENT ADVISORY
CLIENTS
The Commission announced that today it filed securities fraud
charges in the U.S. District Court for the District of Maryland
against Marc A. Freedman of Gaithersburg, Maryland. Freedman was
the President, Chief Compliance Officer and part-owner of TriCapital
Advisors, Inc. (TriCapital), an investment adviser registered
with the Commission and located in North Bethesda, Maryland.
Without admitting or denying the allegations of the Complaint,
Freedman has consented to the entry of a final judgment permanently
enjoining him from engaging in the violations set forth below.
Freedman has also agreed to an Order by the Commission barring him
from association with any investment adviser.
The Commission's Complaint alleges that, between 1999 and June
2005, Freedman misappropriated approximately $2.38 million from
three TriCapital clients, falsely representing to the clients that
the funds had been invested for them, or had been used to pay
investment advisory fees owed to TriCapital. In order to conduct
and conceal his fraud, Freedman created and distributed to clients
false account statements and other documents, and made
additional untrue statements in correspondence and in
conversations with these clients. The Complaint alleges that Freedman
transferred the stolen client funds to brokerage or bank accounts he
controlled. He then used the stolen funds to repay two TriCapital
clients he had previously defrauded and for a variety of his own
personal expenses and debts, including, among other things, vacations,
cars, credit card bills, and his daughter's college expenses.
The Complaint alleges that Freedman violated 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 Sections 206(1) and
206(2) of the Investment Advisers Act of 1940, and seeks the
imposition of a permanent injunction.
There is a pending criminal proceeding against Freedman in the
District of Maryland based on similar conduct. [SEC v. Marc A.
Freedman, Civil Action No. 07-3263, DKC (D.Md.)] (LR-20383)
INVESTMENT COMPANY ACT RELEASES
TOWER 21st CENTURY FUND, LLC, ET AL.
An order has been issued on an application filed by Tower 21st Century
Fund, LLC and Sonnenschein Nath & Rosenthal LLP under Sections 6(b)
and 6(e) of the Investment Company Act. The order exempts certain
investment vehicles formed for the benefit of partners and key
eligible current and former employees of Sonnenschein Nath & Rosenthal
LLP and its affiliates from certain provisions of the Act. Each
investment vehicle will be an "employees' securities company" within
the meaning of Section 2(a)(13) of the Act. (Rel. IC-28072 - December
4)
NATIONAL PRESTO INDUSTRIES, INC.
The Commission has issued an order under Section 38(a) of the
Investment Company Act declaring that National Presto Industries, Inc.
shall not be deemed to have been registered under the Act by virtue of
the Form N-8A it filed with the Commission on March 22, 2006. (Rel.
IC-28073 - December 4)
BTOP50 MANAGED FUTURES FUND AND ASSET ALLIANCE ADVISORS, INC.
An order has been issued on an application filed by BTOP50 Managed
Futures Fund and Asset Alliance Advisors, Inc. under Section 6(c) of
the Investment Company Act granting an exemption from Sections 18(c)
and 18(i) of the Act. The order permits certain registered closed-end
management investment companies to issue multiple classes of shares.
(Rel. IC-28074 - December 4)
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A proposed rule change (SR-NASDAQ-2007-065) filed by The NASDAQ Stock
Market conforming SRO rules to changes to Rule 10a-1 and Regulation
SHO has become effective under Section 19(b)(3)(A). Publication is
expected in the Federal Register during the week of December 10. (Rel.
34-56867)
A proposed rule change (SR-BSE-2007-49) and Amendment No. 1 thereto
filed by the Boston Stock Exchange relating to position and exercise
limits 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 December 10. (Rel. 34-56889)
APPROVAL OF PROPOSED RULE CHANGES
The Commission granted approval of a proposed rule change (SR-OCC-
2007-08) filed by The Options Clearing Corporation to permit OCC to
clear and settle various types of binary options including fixed
return options and binary options on broad-based securities indexes.
Publication is expected in the Federal Register during the week of
December 10. (Rel. 34-56875)
The Commission approved a proposed rule change submitted by the
American Stock Exchange (SR-AMEX-2007-56) that would amend Amex Rule
724 to require all members to designate an off-floor contact for
resolving uncompared transactions. Publication is expected in the
Federal Register during the week of December 10. (Rel. 34-56882)
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 CHINA TECHNOLOGY DEVELOPMENT GROUP CORP,
34TH FLOOR, WEST TOWER, SHUNTAK CENTRE, HONG KONG, K3, 00000,
852-2105-6253 - 1,000,000 ($5,040,000.00) Equity, (File 333-147806 -
Dec. 4) (BR. 03A)
S-3 IDAHO POWER CO, 1221 W IDAHO ST, PO BOX 70, BOISE, ID, 83702,
2083882200 - 0 ($350,000,000.00) Debt, (File 333-147807 - Dec. 4)
(BR. 02B)
S-8 GREAT ATLANTIC & PACIFIC TEA CO INC, 2 PARAGON DR, MONTVALE, NJ, 07645,
2015739700 - 12,294,118 ($372,388,834.22) Equity, (File 333-147808 -
Dec. 4) (BR. 02A)
S-3ASR MCCORMICK & CO INC, 18 LOVETON CIRCLE, P O BOX 6000, SPARKS, MD, 21152,
4107717301 - 0 ($0.00) Debt, (File 333-147809 - Dec. 4) (BR. 04A)
S-3 BTU INTERNATIONAL INC, 23 ESQUIRE ROAD, NORTH BILLERICA, MA, 01862,
5086674111 - 0 ($45,000,000.00) Equity, (File 333-147811 - Dec. 4)
(BR. 10A)
S-8 TRIO TECH INTERNATIONAL, 14731 CALIFA STREET, VAN NUYS, CA, 91411,
818-787-7000 - 0 ($4,820,000.00) Equity, (File 333-147817 - Dec. 4)
(BR. 10C)
S-3 Globalstar, Inc., 461 SOUTH MILPITAS BLVD., MILPITAS, CA, 95035,
408-933-4000 - 0 ($246,432.00) Equity, (File 333-147819 - Dec. 4)
(BR. 11B)
SB-2 CONOLOG CORP, 5 COLUMBIA RD, SOMERVILLE, NJ, 08876, 9087228081 -
1,439,500 ($2,504,730.00) Equity, (File 333-147821 - Dec. 4) (BR. 10A)
S-3 MRU HOLDINGS INC, 1114 AVENUE OF THE AMERICAS, NEW YORK, NY, 10036,
(212) 398-1780 - 5,180,000 ($3.96) Equity, (File 333-147822 - Dec. 4)
(BR. 07A)
S-8 AVATECH SOLUTIONS INC, 11403 CRONHILL DRIVE, SUITE A, OWING MILLS, MD,
21117, 4109026900 - 1,017,156 ($67,100.97) Equity, (File 333-147823 -
Dec. 4) (BR. 03A)
SB-2 PACIFIC GOLD CORP, 465 SOUTH MEADOWS PARKWAY, SUITE 20, RENO, NV,
89521, 888-257-4193 - 25,000,000 ($1,350,000.00) Equity,
(File 333-147824 - Dec. 4) (BR. 04A)
N-2 BLACKROCK SENIOR FLOATING RATE FUND, INC., 800 SCUDDERS MILL RD,
PLAINSBORO, NJ, 08536, 6092822800 - 50,000 ($1,000,000.00) Equity,
(File 333-147825 - Dec. 4) (BR. 17)
S-8 CONCEPTUS INC, 1021 HOWARD AVE, SAN CARLOS, CA, 94070, 4158027240 -
0 ($1,999,000.00) Equity, (File 333-147826 - Dec. 4) (BR. 10A)
S-8 FISERV INC, 255 FISERV DR, PO BOX 979, BROOKFIELD, WI, 53045,
4148795000 - 0 ($13,626,674.00) Equity, (File 333-147827 - Dec. 4)
(BR. 03B)
S-4 HAWKER BEECHCRAFT ACQUISITION CO LLC, 10511 EAST CENTRAL, WICHITA, KS,
67206, (316) 676-7111 - 0 ($1,100,000,000.00) Non-Convertible Debt,
(File 333-147828 - Dec. 4) (BR. )
S-3ASR KRAFT FOODS INC, THREE LAKES DRIVE, NORTHFIELD, IL, 60093, 8476462000 -
0 ($0.00) Non-Convertible Debt, (File 333-147829 - Dec. 4) (BR. 04C)
S-8 Limelight Networks, Inc., 2220 W. 14TH STREET, TEMPE, AZ, 85281,
602-850-5000 - 15,692,090 ($101,513,788.68) Equity, (File 333-147830 -
Dec. 4) (BR. 03C)
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
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4 KIDS ENTERTAINMENT INC NY 8.01,9.01 12/04/07
AASTROM BIOSCIENCES INC MI 5.02 11/30/07
ACTIVISION INC /NY DE 1.01 12/03/07
ACURA PHARMACEUTICALS, INC NY 5.03,9.01 12/04/07
ADVANCE AUTO PARTS INC DE 5.02 11/29/07
ADVANCED VIRAL RESEARCH CORP DE 1.01,2.01,3.02,3.03,5.02,7.01, 12/03/07
9.01
AeroVironment Inc DE 2.02,9.01 12/04/07
AETNA INC /PA/ PA 1.01,7.01,8.01,9.01 11/29/07
AFFORDABLE GREEN HOMES INTERNATIONAL NV 4.01,9.01 11/26/07
AIS FUTURES FUND IV LP DE 3.02 11/30/07
Aldabra 2 Acquisition Corp. DE 8.01,9.01 12/03/07
ALLIANCE IMAGING INC /DE/ DE 1.01,2.03,7.01,9.01 12/04/07
ALLIED WASTE INDUSTRIES INC DE 8.01,9.01 12/03/07
AMERICAN AIRLINES INC DE 8.01 12/04/07
AMERICAS CARMART INC TX 2.02,9.01 12/04/07
AMERIPRISE FINANCIAL INC DE 7.01,9.01 12/03/07
AMERISOURCEBERGEN CORP DE 8.01,9.01 12/03/07
AMERISTAR CASINOS INC NV 2.01,9.01 09/18/07 AMEND
AMH Holdings, Inc. DE 1.01,9.01 11/29/07
AMKOR TECHNOLOGY INC DE 7.01,9.01 12/03/07
AMR CORP DE 8.01 12/04/07
ANALOG DEVICES INC MA 5.02,9.01 12/04/07
ANESIVA, INC. DE 8.01,9.01 11/28/07
ANHEUSER-BUSCH COMPANIES, INC. DE 5.02,9.01 12/04/07
APA Enterprises, Inc. MN 2.02,4.02,9.01 12/04/07
APOLLO INVESTMENT CORP MD 2.02,9.01 12/03/07
APPLIED DIGITAL SOLUTIONS INC MO 1.01,8.01,9.01 12/04/07
APRIA HEALTHCARE GROUP INC DE 2.01,9.01 12/04/07
ARIEL WAY INC FL 8.01,9.01 12/04/07
ARROWHEAD RESEARCH CORP DE 5.02,9.01 12/01/07
ARTESIAN RESOURCES CORP DE 5.02 12/03/07
ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 12/04/07
ASSISTED LIVING CONCEPTS INC NV 7.01,9.01 12/04/07
ASSOCIATED MATERIALS INC DE 1.01,9.01 11/29/07
Atlantic Southern Financial Group, In 2.01,9.01 11/30/07
ATMOSPHERIC GLOW TECHNOLOGIES INC DE 1.01 11/29/07
AUTOBYTEL INC DE 8.01 11/30/07
AUTOZONE INC NV 2.02 12/04/07
BANK OF AMERICA CORP /DE/ DE 8.01,9.01 11/29/07
BARRETT BUSINESS SERVICES INC MD 7.01,9.01 12/03/07
Basic Services, Inc. NV 1.01,2.03,3.01,9.01 11/29/07
Bear Stearns Structured Products Inc. DE 8.01,9.01 10/31/07 AMEND
BERRY PETROLEUM CO DE 7.01,9.01 12/04/07
BFC FINANCIAL CORP FL 5.03,9.01 12/03/07
BLACKSANDS PETROLEUM, INC. NV 5.02 11/30/07
BOTETOURT BANKSHARES INC VA 8.01,9.01 12/03/07
BPI Energy Holdings, Inc. 1.01,2.03,9.01 11/29/07
CAMPBELL FUND TRUST MD 3.02 12/01/07
CAPITAL CITY BANK GROUP INC FL 5.04,9.01 11/30/07
CAPITAL PROPERTIES INC /RI/ RI 2.01,9.01 11/30/07
CapitalSouth Bancorp DE 3.02 11/30/07
CBRL GROUP INC TN 7.01,9.01 12/04/07
CDEX INC NV 5.03,9.01 11/27/07
CERAGENIX PHARMACEUTICALS, INC. DE 7.01,9.01 12/03/07
CF Industries Holdings, Inc. DE 7.01,9.01 12/04/07
CHATSWORTH DATA SOLUTIONS, INC. 5.02,9.01 12/03/07
CHEMOKINE THERAPEUTICS CORP DE 5.02,8.01,9.01 12/02/07
CHEMUNG FINANCIAL CORP NY 1.01,9.01 11/30/07
CHICOS FAS INC FL 2.02,9.01 12/04/07
CHINA ORGANIC AGRICULTURE, INC. 2.02,7.01,9.01 12/03/07
China VoIP & Digital Telecom Inc. NV 8.01,9.01 12/04/07
CHINACAST EDUCATION CORP DE 8.01 12/04/07
CIT GROUP INC DE 8.01,9.01 12/03/07
CITADEL BROADCASTING CORP DE 1.01,5.02,9.01 11/30/07
CITIZENS HOLDING CO /MS/ MS 7.01,9.01 12/04/07
CITIZENS INC CO 8.01,9.01 12/04/07
CLARCOR INC DE 2.01,8.01,9.01 12/03/07
CLAYTON HOLDINGS INC 2.06,9.01 11/28/07
CLEVELAND CLIFFS INC OH 8.01 12/03/07
CMS ENERGY CORP MI 5.02 11/29/07
CNB FINANCIAL SERVICES INC WV 5.05,9.01 11/29/07
COACTIVE MARKETING GROUP INC DE 5.03,9.01 12/03/07
COHESANT TECHNOLOGIES INC DE 1.01,9.01 12/03/07
COLLECTIVE BRANDS, INC. DE 2.02,7.01,9.01 12/04/07
COMMERCE ENERGY GROUP, INC. DE 1.01,5.02,9.01 11/29/07
COMMSCOPE INC DE 8.01,9.01 12/04/07
COMMSCOPE INC DE 7.01,9.01 12/04/07
COMMUNICATION INTELLIGENCE CORP DE 5.02,7.01,9.01 11/28/07
COMPOSITE TECHNOLOGY CORP NV 7.01,9.01 12/04/07
COMPUTER SCIENCES CORP NV 1.01 12/03/07
CONCEPTUS INC DE 8.01 12/01/07
CONSTELLATION BRANDS, INC. DE 1.01,9.01 11/28/07
CONTINENTAL AIRLINES INC /DE/ DE 8.01,9.01 12/03/07
CREDO PETROLEUM CORP CO 8.01,9.01 12/03/07
DELPHI CORP DE 8.01,9.01 12/03/07
DELTA AIR LINES INC /DE/ DE 7.01,9.01 12/04/07
DENNYS CORP DE 5.02 11/28/07
DEVON ENERGY CORP/DE DE 1.01,5.02,9.01 11/28/07
DEVON ENERGY CORP/DE DE 8.01,9.01 12/03/07
DIGITAL ANGEL CORP DE 1.01,8.01,9.01 12/04/07
DigitalFX International Inc FL 2.03,3.02,9.01 11/30/07
DIOMED HOLDINGS INC NV 3.01,9.01 11/29/07
DIRECTV GROUP INC DE 8.01 12/04/07
Disaster Preparedness Systems Inc. NV 5.02 12/01/07
DISCOVERY LABORATORIES INC /DE/ DE 8.01,9.01 12/03/07
DOW CHEMICAL CO /DE/ DE 2.05,2.06,8.01 12/03/07
DreamWorks Animation SKG, Inc. 1.01,9.01 11/28/07
DUN & BRADSTREET CORP/NW DE 2.03,7.01,9.01 12/04/07
DURA AUTOMOTIVE SYSTEMS INC DE 4.02 11/30/07
DYNEGY INC. DE 5.02,7.01,9.01 12/04/07
E TRADE FINANCIAL CORP DE 1.01,1.02,2.03,3.02,5.02,9.01 11/28/07
EASYLINK SERVICES INTERNATIONAL CORP DE 2.01,9.01 08/20/07 AMEND
EDO CORP NY 8.01,9.01 12/04/07
EMCOR GROUP INC DE 9.01 09/19/07 AMEND
EMPIRE RESORTS INC DE 8.01 11/29/07
ENERGEN CORP AL 8.01 12/04/07
ENERGIZER HOLDINGS INC MO 1.01,2.03,9.01 12/03/07
ENERGY XXI (BERMUDA) LTD D0 8.01 12/04/07
ENERGYSOUTH INC AL 1.01,2.01,2.03,8.01,9.01 11/28/07
ENHERENT CORP DE 5.02 12/03/07
ENVIRONMENTAL TECTONICS CORP PA 4.01 11/28/07
Epic Bancorp 8.01 12/04/07
EPLUS INC DE 1.01,9.01 11/29/07
ERESEARCHTECHNOLOGY INC /DE/ DE 2.01,2.05,8.01,9.01 11/28/07
ESPEY MFG & ELECTRONICS CORP NY 8.01,9.01 12/03/07
EXELIXIS INC DE 2.03 12/03/07
EXXON MOBIL CORP NJ 5.02 12/04/07
Federal Home Loan Bank of Atlanta X1 2.03 11/28/07
Federal Home Loan Bank of Boston X1 2.03 11/29/07
Federal Home Loan Bank of Chicago X1 2.03 11/28/07
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 11/28/07
Federal Home Loan Bank of Des Moines X1 2.03,9.01 11/28/07
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 11/28/07
Federal Home Loan Bank of New York X1 2.03,9.01 11/28/07
Federal Home Loan Bank of New York X1 8.01,9.01 12/04/07
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 11/28/07
Federal Home Loan Bank of San Francis X1 2.03 11/28/07
Federal Home Loan Bank of Seattle 2.03 12/03/07
Federal Home Loan Bank of Topeka 2.03 11/28/07
FEDERAL NATIONAL MORTGAGE ASSOCIATION 7.01,9.01 12/04/07
FINISAR CORP DE 5.03,9.01 11/28/07
FINISH LINE INC /IN/ IN 5.02,9.01 11/30/07
FIRST BANCORP /PR/ PR 8.01,9.01 12/03/07
First National Master Note Trust DE 1.01,9.01 11/29/07
FIRST REGIONAL BANCORP CA 8.01 11/30/07
FLOWSERVE CORP NY 8.01 11/28/07
FNB CORP \VA\ VA 5.03,9.01 11/29/07
FNB CORP \VA\ VA 5.03,9.01 11/29/07
FNB CORP \VA\ VA 8.01,9.01 12/04/07
FORWARD INDUSTRIES INC NY 5.02 11/29/07
FOUNTAIN POWERBOAT INDUSTRIES INC 8.01,9.01 12/03/07
FREEDOM FINANCIAL HOLDINGS INC MD 5.02,8.01 12/03/07
FULTON FINANCIAL CORP PA 7.01,9.01 12/04/07
GALAXY ENERGY CORP CO 2.03,9.01 12/03/07
GASTAR EXPLORATION LTD 1.01,2.03,8.01,9.01 11/29/07
GENELINK INC 8.01,9.01 12/01/07
GENELINK INC 3.02 11/30/07
GENERAL MOTORS CORP DE 8.01,9.01 12/03/07
GEODYNE ENERGY INCOME LTD PARTNERSHIP OK 2.01,9.01 11/15/07 AMEND
GEODYNE ENERGY INCOME LTD PARTNERSHIP OK 2.01,9.01 11/15/07 AMEND
GEODYNE INSTITUTIONAL PENSION ENERGY TX 2.01,9.01 11/15/07 AMEND
GEOGLOBAL RESOURCES INC. DE 7.01,9.01 12/03/07
GEVITY HR INC FL 8.01 12/04/07
GLOBAL CASINOS INC UT 7.01,9.01 12/04/07
Global Consumer Acquisition Corp. DE 8.01,9.01 11/27/07
GOLDMAN SACHS HEDGE FUND PARTNERS LLC DE 7.01,9.01 12/04/07
GOODYEAR TIRE & RUBBER CO /OH/ OH 5.02,9.01 12/03/07
GP STRATEGIES CORP DE 8.01 11/29/07
GRANITE CONSTRUCTION INC DE 5.03,9.01 11/30/07
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 11/30/07
GREAT ATLANTIC & PACIFIC TEA CO INC MD 2.01,5.02,5.03,8.01,9.01 12/03/07
GREEN MOUNTAIN COFFEE ROASTERS INC DE 1.01 12/03/07
GREY WOLF INC TX 5.03,9.01 12/03/07
GTREX CAPITAL, INC. DE 5.02 11/28/07
GUESS INC DE 2.02,5.03,9.01 11/29/07
GULF RESOURCES, INC. DE 5.03,8.01,9.01 11/28/07
GULFPORT ENERGY CORP DE 1.01,7.01,8.01,9.01 11/30/07
H&R BLOCK INC MO 1.01,1.02,2.05,7.01,9.01 12/03/07
HANCOCK FABRICS INC DE 7.01,8.01,9.01 11/30/07
HARMAN INTERNATIONAL INDUSTRIES INC / DE 5.02,9.01 11/29/07
HARMAN INTERNATIONAL INDUSTRIES INC / DE 5.02 11/29/07
HEALTH NET INC DE 5.02 11/08/07 AMEND
HEI INC MN 2.02,9.01 12/03/07
HOSPITALITY PROPERTIES TRUST MD 8.01,9.01 12/03/07
HUDSON HOLDING CORP DE 1.01,9.01 11/28/07
HYPERDYNAMICS CORP DE 7.01,9.01 12/03/07
ICEWEB INC DE 8.01,9.01 12/04/07
ICONIX BRAND GROUP, INC. DE 9.01 10/03/07 AMEND
ICOP DIGITAL, INC CO 5.03,9.01 12/03/07
IMMUNICON CORP 5.03,9.01 11/28/07
IMPAC MORTGAGE HOLDINGS INC MD 3.01 11/28/07
INFORM WORLDWIDE HOLDINGS INC FL 1.01,3.02 09/06/07
INFORMATICA CORP DE 8.01 11/28/07
INGERSOLL RAND CO LTD 2.01,9.01 11/30/07
INNOVATIVE FOOD HOLDINGS INC FL 5.02,9.01 11/30/07
INTERNATIONAL BARRIER TECHNOLOGY INC/ 7.01,9.01 11/29/07
INTERNET AMERICA INC TX 5.02 11/30/07
INTERSECTIONS INC DE 1.01,2.03,8.01 11/20/07
INTERSTATE BAKERIES CORP/DE/ DE 1.01,9.01 11/29/07
INTERSTATE HOTELS & RESORTS INC DE 2.01,9.01 11/28/07
INTERVEST BANCSHARES CORP DE 5.02 11/28/07
INTERVEST MORTGAGE CORP NY 5.02 11/28/07
IONATRON, INC. DE 5.02 11/29/07
ISIS PHARMACEUTICALS INC DE 1.01,9.01 12/03/07
ISLAND PACIFIC INC DE 1.01,5.02 12/03/07
ISLE OF CAPRI CASINOS INC DE 2.02,9.01 12/03/07
J P MORGAN CHASE & CO DE 9.01 11/30/07
JEFFERIES GROUP INC /DE/ DE 5.03,9.01 12/03/07
JK Acquisition Corp. 2.03,3.01,9.01 11/28/07
JOURNAL REGISTER CO DE 5.02,9.01 11/30/07
KEMET CORP DE 8.01 11/28/07
LAYNE CHRISTENSEN CO DE 2.02,9.01 12/04/07
LBI MEDIA HOLDINGS INC 2.01,2.03 12/04/07
LEAP WIRELESS INTERNATIONAL INC DE 8.01 12/03/07
LEHMAN BROTHERS HOLDINGS INC DE 9.01 11/29/07
LEHMAN BROTHERS HOLDINGS INC DE 9.01 12/03/07
LEUCADIA NATIONAL CORP NY 8.01,9.01 12/04/07
LEVITT CORP FL 5.03,9.01 12/03/07
LEXINGTON REALTY TRUST MD 5.02 11/28/07
LIFETIME BRANDS, INC DE 8.01,9.01 12/03/07
LINCOLN EDUCATIONAL SERVICES CORP NJ 5.02,9.01 11/30/07
LINCOLN ELECTRIC HOLDINGS INC OH 8.01,9.01 11/29/07
LIVEWORLD INC DE 8.01 12/04/07
LODGENET ENTERTAINMENT CORP DE 7.01,8.01,9.01 12/04/07
Magyar Bancorp, Inc. DE 7.01,9.01 11/30/07
MARKWEST ENERGY PARTNERS L P 8.01,9.01 12/04/07
MARKWEST HYDROCARBON INC DE 8.01,9.01 12/04/07
MATERIAL TECHNOLOGIES INC /CA/ DE 4.02 12/04/07
MATRIX SERVICE CO DE 5.03,9.01 11/28/07
MAXYGEN INC DE 8.01,9.01 12/04/07
MCDONALDS CORP DE 5.02,9.01 11/28/07
MDU RESOURCES GROUP INC DE 8.01,9.01 12/03/07
MEDALLION FINANCIAL CORP DE 1.01,2.03,9.01 11/29/07
MERRILL LYNCH & CO INC DE 8.01,9.01 12/04/07
MERRILL LYNCH & CO INC DE 1.01,9.01 12/04/07
META FINANCIAL GROUP INC DE 8.01,9.01 11/30/07
METROCORP BANCSHARES INC 3.01,9.01 10/17/07 AMEND
MiddleBrook Pharmaceuticals, Inc. 8.01 12/03/07
MIDWEST URANIUM CORP NV 7.01,8.01,9.01 12/04/07
MILLENNIUM BANKSHARES CORP VA 1.01,9.01 11/30/07
MITCHAM INDUSTRIES INC TX 7.01 12/04/07
MOLSON COORS BREWING CO CO 5.02 12/02/07
MONTPELIER RE HOLDINGS LTD D0 7.01,9.01 12/04/07
MORGAN STANLEY SPECTRUM TECHNICAL LP DE 1.01,9.01 11/28/07
MORRIS PUBLISHING GROUP LLC GA 1.01,7.01,9.01 12/31/06
MORRIS PUBLISHING GROUP LLC GA 1.01,7.01,9.01 12/31/06
MUNICIPAL MORTGAGE & EQUITY LLC DE 1.01,1.02,7.01,9.01 11/28/07
NATIONAL COAL CORP FL 7.01,9.01 12/04/07
National Investment Managers Inc. FL 1.01,2.03,3.02,9.01 11/30/07
nCoat, Inc. DE 1.01,7.01,8.01,9.01 06/19/07 AMEND
NEDAK ETHANOL, LLC NE 9.01 02/20/07 AMEND
NEOGEN CORP MI 2.01,9.01 12/03/07
NEUROLOGIX INC/DE DE 5.02,9.01 12/04/07
New Century Energy Corp. CO 1.01,3.02,9.01 11/30/07
NEW JERSEY RESOURCES CORP NJ 2.02,4.02,9.01 12/03/07
NOVA BIOSOURCE FUELS, INC. NV 5.02,7.01,9.01 11/28/07
NRG ENERGY, INC. DE 8.01,9.01 12/04/07
NUCLEAR SOLUTIONS INC NV 1.01,3.02,9.01 11/30/07
NUCOR CORP DE 1.01,2.03,9.01 11/28/07
Och-Ziff Capital Management Group LLC DE 7.01 12/04/07
OGE ENERGY CORP OK 5.02,8.01,9.01 12/04/07
OKLAHOMA GAS & ELECTRIC CO OK 5.02,9.01 12/04/07
OLIN CORP VA 9.01 11/19/07 AMEND
ORBITAL SCIENCES CORP /DE/ DE 5.02,9.01 11/30/07
PACIFIC GAS & ELECTRIC CO CA 8.01,9.01 12/04/07
PAYCHEX INC DE 5.02,9.01 11/30/07
Peninsula Gaming, LLC DE 8.01 12/04/07
PG&E CORP CA 8.01,9.01 12/04/07
PILGRIMS PRIDE CORP DE 5.03,9.01 12/04/07
PINNACLE FINANCIAL PARTNERS INC TN 1.01,2.01,5.02,9.01 11/27/07
Plastinum Polymer Technologies Corp. DE 3.02,5.02 12/03/07
PLY GEM HOLDINGS INC DE 7.01,9.01 11/28/07
PREMIER EXHIBITIONS, INC. 8.01 11/28/07
PROELITE, INC. NJ 8.01,9.01 12/04/07
PROTECTIVE LIFE INSURANCE CO TN 9.01 11/29/07
PRUDENTIAL FINANCIAL INC NJ 2.02,7.01,9.01 12/04/07
PRUDENTIAL FINANCIAL INC NJ 7.01,9.01 12/04/07
PUGET ENERGY INC /WA WA 3.02,9.01 12/03/07
R H DONNELLEY CORP DE 7.01,9.01 12/04/07
R&G FINANCIAL CORP PR 7.01,9.01 11/30/07
RadNet, Inc. NY 5.03,9.01 11/30/07
RAPHAEL INDUSTRIES LTD. NV 1.01 12/01/07
RAYMOND JAMES FINANCIAL INC FL 7.01,9.01 12/04/07
Reis, Inc. MD 3.01,5.03,9.01 11/30/07
RENT A CENTER INC DE 2.05,9.01 11/30/07
RENTECH INC /CO/ CO 2.06,9.01 12/04/07
REPROS THERAPEUTICS INC. DE 7.01,8.01,9.01 12/03/07
REVLON CONSUMER PRODUCTS CORP DE 7.01,9.01 12/04/07
REVLON INC /DE/ DE 7.01,9.01 12/04/07
RG GLOBAL LIFESTYLES INC CA 5.02,9.01 11/30/07
RIO VISTA ENERGY PARTNERS LP DE 1.01,3.02,9.01 11/29/07
RITE AID CORP DE 8.01,9.01 12/04/07
ROCKWELL MEDICAL TECHNOLOGIES INC MI 1.01,3.02,8.01,9.01 11/28/07
SAMARITAN PHARMACEUTICALS INC NV 8.01,9.01 12/04/07
SATELLITE SECURITY CORP NV 1.01,3.02,5.01,9.01 11/30/07
SAVVIS, Inc. DE 5.02,9.01 11/28/07
Seligman LaSalle International Real E MD 7.01,9.01 12/04/07
SELIGMAN SELECT MUNICIPAL FUND INC MD 7.01,9.01 12/04/07
SERVICE CORPORATION INTERNATIONAL TX 5.02 11/30/07
Shea Development Corp. 1.01,9.01 11/28/07
SIERRA PACIFIC RESOURCES /NV/ NV 8.01,9.01 12/03/07
SIRIUS SATELLITE RADIO INC DE 8.01 12/04/07
SKYTERRA COMMUNICATIONS INC DE 8.01 12/04/07
SMART BALANCE, INC. DE 2.02,9.01 12/04/07
Solo Cup CO DE 7.01,9.01 12/04/07
SONORAN ENERGY INC WA 5.02 12/03/07
SONORAN ENERGY INC WA 1.01,2.03,9.01 11/29/07
Sound Worldwide Holdings, Inc. DE 5.02 11/14/07
SOUTHWEST BANCORP INC OK 7.01,9.01 12/04/07
SOUTHWEST WATER CO DE 5.02,9.01 12/04/07
SOUTHWESTERN ELECTRIC POWER CO DE 8.01,9.01 12/04/07
SOYO GROUP INC NV 8.01 12/03/07
SPARTAN MOTORS INC MI 1.01,2.03,9.01 11/30/07
Spectrum Brands, Inc. WI 5.03,9.01 12/04/07 AMEND
SPEEDEMISSIONS INC FL 7.01,9.01 12/04/07
SPEEDUS CORP DE 5.03,9.01 12/03/07
SPHERION CORP DE 2.01,9.01 12/03/07
STAAR SURGICAL CO DE 5.02 11/27/07 AMEND
STEIN MART INC FL 2.02,9.01 11/29/07
STEINWAY MUSICAL INSTRUMENTS INC DE 2.05,9.01 11/29/07
STEMCELLS INC DE 1.01,8.01 12/03/07
Stratos Renewables CORP 4.01 12/04/07
STUDIO ONE MEDIA, INC. DE 1.01 12/03/07
SUN HYDRAULICS CORP FL 1.01,9.01 11/30/07
Sutura, Inc. 1.01,8.01,9.01 12/03/07
SYNIVERSE HOLDINGS INC DE 8.01,9.01 12/04/07
SYNTHETECH INC OR 1.01,9.01 11/30/07
TAPESTRY PHARMACEUTICALS, INC DE 5.02 11/28/07
TARGACEPT INC 5.02 11/28/07
TEKOIL & GAS CORP DE 8.01,9.01 11/27/07
TELETECH HOLDINGS INC DE 1.01,9.01 11/30/07
TEMPLE INLAND INC DE 1.01,2.03,9.01 12/03/07
TENNESSEE VALLEY FINANCIAL HOLDINGS I TN 5.03 11/20/07
TERRESTAR CORP DE 7.01,9.01 12/04/07
TESCO CORP 7.01 12/03/07
TEXTRON INC DE 8.01,9.01 12/04/07
TIDEWATER INC DE 7.01,9.01 12/04/07
TITAN PHARMACEUTICALS INC DE 8.01,9.01 12/03/07
TRANSBOTICS CORP DE 2.03,3.02,5.01,9.01 12/04/07
TRANSBOTICS CORP DE 5.02,9.01 11/27/07
TRI COUNTY FINANCIAL CORP /MD/ 3.02,9.01 11/30/07
UBS Managed Futures LLC (Aspect Serie 3.02 12/01/07
UDR, Inc. MD 7.01,9.01 12/04/07
UNION CARBIDE CORP /NEW/ NY 2.05,2.06 11/30/07
United Community Bancorp X1 8.01 12/04/07
UNITED HERITAGE CORP UT 1.01,5.02,9.01 11/28/07
UNITEDHEALTH GROUP INC MN 7.01,9.01 12/03/07
URANIUM 308 CORP. NV 3.02,5.01,8.01,9.01 11/07/07
US GEOTHERMAL INC DE 7.01 11/28/07
US Oncology Holdings, Inc. DE 1.01,9.01 11/30/07
Utah Uranium Corp. NV 5.02 11/30/07
VALIDUS HOLDINGS LTD 1.01,2.03,9.01 11/28/07
VAXGEN INC DE 5.02 11/30/07
VERSANT CORP CA 2.02,9.01 12/04/07
VERTICALNET INC PA 3.01,9.01 11/28/07
VICTORIA INDUSTRIES INC 2.01,9.01 12/04/07
VINEYARD NATIONAL BANCORP CA 2.02,9.01 12/04/07
VIRGINIA FINANCIAL GROUP INC VA 8.01,9.01 12/04/07
VISANT CORP 8.01,9.01 12/04/07
VISANT HOLDING CORP 8.01,9.01 12/04/07
VNUS MEDICAL TECHNOLOGIES INC 1.01,5.02,9.01 12/04/07
Vocus, Inc. DE 7.01 12/04/07
WACHOVIA ASSET SECURITIZATION INC 200 8.01,9.01 08/25/06 AMEND
WACHOVIA ASSET SECURITIZATION INC AST 8.01,9.01 08/25/06 AMEND
WACHOVIA ASSET SECURITIZATION INC AST 8.01,9.01 11/26/07 AMEND
WELLMAN INC DE 3.01,9.01 11/28/07
WELLS REAL ESTATE INVESTMENT TRUST II MD 8.01 12/04/07
Whos Your Daddy Inc NV 4.02,9.01 12/04/07
WIND RIVER SYSTEMS INC DE 2.02,9.01 12/04/07
Wornick CO DE 1.01,9.01 12/03/07
XCEL ENERGY INC MN 8.01 12/03/07
XECHEM INTERNATIONAL INC DE 4.02 12/03/07
XM SATELLITE RADIO HOLDINGS INC DE 8.01 12/04/07
YOUBET COM INC DE 5.02,9.01 11/29/07
http://www.sec.gov/news/digest/2007/dig120507.htm
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