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SEC NEWS DIGEST
Issue 2007-247 December 27, 2007
COMMISSION ANNOUNCEMENTS
FEE RATE ADVISORY #6 FOR FISCAL YEAR 2008
President Bush signed H.R. 2764, the appropriations bill that includes
funding for the Securities and Exchange Commission, on Dec. 26, 2007.
Accordingly, effective Dec. 31, 2007, the Section 6(b) fee rate
applicable to the registration of securities, the Section 13(e) fee
rate applicable to the repurchase of securities, and the Section 14(g)
fee rate applicable to proxy solicitations and statements in corporate
control transactions will increase to $39.30 per million dollars. The
Section 6(b) rate is also the rate used to calculate the fees payable
with the Annual Notice of Securities Sold Pursuant to Rule 24f-2 under
the Investment Company Act of 1940.
All filings submitted to the SEC before 5:30 p.m. EST, and filings
pursuant to Rule 462(b) (17 C.F.R. 230.462(b)) submitted to the SEC
before 10:00 p.m. EST, on Dec. 28, 2007, will be subject to the
current fee rate of $30.70 per million dollars. Rule 462(b) filings
submitted after 10:00 p.m. EST, and all other filings submitted after
5:30 p.m. EST, on Dec. 28, 2007, shall be deemed filed as of the next
business day, Dec. 31, 2007, under Section 232.13 of Regulation S-T
(17 C.F.R. 232.13), and be subject to the new fee rate of $39.30 per
million dollars.
Filers with questions about the new Section 6(b), Section 13(e), or
Section 14(g) fee rates should call the SEC at (202) 551-8900.
In addition, effective Jan. 25, 2008, the Section 31 fee rate
applicable to securities transactions on the exchanges and over-the-
counter markets will decrease to $11.00 per million dollars. The
Section 31 assessment on security futures transactions will remain
unchanged at $0.0042 per round turn transaction.
The Office of Interpretation and Guidance in the Commission's Division
of Trading and Markets is available for questions on Section 31 fees
at (202) 551-5777, or by e-mail at tradingandmarkets@sec.gov. The
Commission is required to adjust the filing and securities transaction
fee rates on an annual basis, after consultation with the
Congressional Budget Office (CBO) and the Office of Management and
Budget (OMB). A copy of the Commission's April 30, 2007, order
regarding fee rates for fiscal year 2008 is available at
http://www.sec.gov/rules/other/2007/33-8794.pdf.
The adjusted fee rates will not affect the amount of funding available
to the Commission.
The Commission will announce the new fee rates for fiscal year 2009 no
later than April 30, 2008. These fee rates will become effective Oct.
1, 2008, or after the Commission's fiscal year 2009 appropriation is
enacted, whichever is later. In addition, the Commission may be
required to make a "mid-year" adjustment to the Section 31 fee rate
for fiscal year 2008, after consultation with CBO and OMB, which would
be announced no later than March 1, 2008, effective April 1, 2008.
The Commission will issue further notices as appropriate to keep the
public informed of developments relating to enactment of the
Commission's regular appropriation and the effective dates for the
above fee rate changes. These notices will be posted at the SEC's
Internet web site at http://www.sec.gov. (Press Rel. 2007-270)
ENFORCEMENT PROCEEDINGS
IN THE MATTER OF ROBERT RAY WHITE SAMPLES
On December 27, 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
of 1940, Making Findings, and Imposing Remedial Sanctions (Order)
against Robert Ray White Samples (Samples), based on the entry of a
permanent injunction. On Oct. 11, 2007, an order was entered by
consent against Samples preliminarily enjoining him from future
violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of
1933, Sections 10(b) and 15(a) of the Securities Exchange Act of 1934
and Rule 10b-5 thereunder, and Sections 206(1) and 206(2) of the
Investment Advisers Act, freezing his assets, and ordering an
accounting in a civil action filed in the U.S. District Court for the
District of Colorado (Civil Action). On Dec. 11, 2007 an order was
entered by consent against Samples permanently enjoining him from
future violations of the same provisions of the federal securities
laws in the Civil Action.
The Commission's complaint alleged, among other things, that from at
least September 2002 through September 2007, Samples used material
misrepresentations to raise over $1.2 million from 34 investors,
including seniors, in two pooled investment schemes. The complaint
also alleged that Samples sent false account statements indicating
that investors' funds were fully invested and earning returns.
Further, the complaint alleged that Samples sold unregistered
securities and acted as an unregistered investment adviser.
Based on the above, the Order bars Samples from association with any
broker-dealer and investment adviser. For further information, see SEC
v. Robert Ray White Samples, et al., Civil Action No. 07-CV-02081 LTB-
CBS (D. Colo.)] (LR-20327). (Rels. 34-57043; IA-2687; File No. 3-
12912)
INVESTMENT COMPANY ACT RELEASES
THE UBS FUNDS, ET AL.
A notice has been issued giving interested persons until Jan. 15,
2008, to request a hearing on an application filed by The UBS Funds,
et al. for an order under Section 6(c) of the Investment Company Act
for an exemption from Rule 12d1-2(a) under the Act. The order would
permit funds of funds relying on Rule 12d1-2 under the Act to invest
in certain financial instruments. (Rel. IC-28080 - December 19)
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.), ET AL.
An order has been issued on an application filed by John Hancock Life
Insurance Company (U.S.A.), John Hancock Life Insurance Company
(U.S.A.) Separate Account H, John Hancock Life Insurance Company of
New York, John Hancock Life Insurance Company of New York Separate
Account A and John Hancock Trust (Applicants). The order exempts
Applicants from Section 17(a) of the Investment Company Act to the
extent necessary to carry out certain in-kind purchases in connection
with a substitution. (Rel. IC-28081 - December 21)
MAIN STREET CAPITAL CORPORATION, ET AL.
A notice has been issued giving interested persons until Jan. 15,
2008, to request a hearing on an application filed by Main Street
Capital Corporation, et al. (Main Street) for an order under sections
6(c), 57(c), and 57(i) of the Investment Company Act and for an
exemption from sections 18(a), 23(a), 23(b), 57(a)(2), 61(a) and 63 of
the Act, and under sections 57(a)(4) and 57(i) of the Act and Rule
17d-1 under the Act authorizing certain joint transactions otherwise
prohibited by section 57(a)(4) of the Act. The order would (1) permit
Main Street and its wholly-owned subsidiaries to engage in certain
transactions that otherwise would be permitted if the Main Street and
its subsidiaries were one company, and permit Main Street to adhere to
a modified asset coverage requirement and (2) Main Street to issue
shares of its restricted common stock as part of the compensation
packages for certain of its employees and directors, and certain
employees of its wholly-owned subsidiaries. (Rel. IC-28082 - December
21)
MILLENNIUM INDIA ACQUISITION COMPANY INC.
A notice has been issued giving interested persons until Jan. 15,
2008, to request a hearing on an application filed by Millennium India
Acquisition Company Inc. (MIAC) for an order under Section 6(c) of the
Investment Company Act granting an exemption from Section 12(d)(3) of
the Act. The order would permit MIAC to invest in the securities of
two issuers that each derives more than 15% of its gross revenues from
securities related activities as defined in Rule 12d3-1(b) under the
Act. (Rel. IC-28083 - December 21)
SELF-REGULATORY ORGANIZATIONS
PROPOSED RULE CHANGES
The New York Stock Exchange filed a proposed rule change (SR-NYSE-
2007-101) to amend NYSE Rule 104.21 (Specialist Organizations -
Additional Capital Requirements). The proposed rule change would
reduce the net liquid asset requirements for specialist member
organizations. Publication is expected in the Federal Register during
the week of December 24. (Rel. 34-57000)
The Philadelphia Stock Exchange filed a proposed rule change (SR-Phlx-
2007-68) and Amendment No. 1 thereto relating to customized U.S.
dollar-settled foreign currency options. Publication is expected in
the Federal Register during the week of December 24. (Rel. 34-57018)
The American Stock Exchange filed a proposed rule change (SR-Amex-
2007-138) to establish a new class of Off-Floor Market Makers in ETFs
called Designated Amex Remote Traders. Publication is expected in the
Federal Register during the week of December 24. (Rel. 34-57022)
The Philadelphia Stock Exchange submitted a proposed rule change to
require a non-Streaming Quote Traders Registered Option Trader (non-
SQT ROT) to submit a list of options for intended assignment.
Publication is expected in the Federal Register during the week of
December 24. (Rel. 34-57034)
The Chicago Stock Exchange filed a proposed rule change (SR-CHX-2007-
27) to amend its Rule 25 to eliminate a requirement that a participant
have a formal written agreement to use another participant's give-up.
Publication is expected in the Federal Register during the week of
December 24. (Rel. 34-57036)
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A proposed rule change filed by The NASDAQ Stock Market (SR-NASDAQ-
2007-099) to establish a fee for registering and transferring
registration of associated persons has become effective under Section
19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is
expected in the Federal Register during the week of December 24. (Rel.
34-57001)
A proposed rule change filed by the International Securities Exchange
(SR ISE-2007 116) to open the Exchange's equity trading platform at
9:00 a.m. has become immediately effective under Section 19(b)(3)(A)
of the Securities Exchange Act of 1934 and Rule 19b-4(f)(6)
thereunder. Publication is expected in the Federal Register during the
week of December 24. (Rel. 34-57021)
A proposed rule change (SR-Amex-2007-135) filed by American Stock
Exchange related to Section 107D(g) of the Amex Company Guide has
become effective under Section 19(b)(3)(A) of the Securities Exchange
Act of 1934. Publication is expected in the Federal Register during
the week of December 24. (Rel. 34-57030)
A proposed rule change filed by the New York Stock Exchange to
establish a new non-regulatory trading halt condition under rule 123D
designated as "Investment Company Units or Index-Linked Securities"
(SR-NYSE-2007-117) has become effective under Section 19(b)(3)(A) of
the Securities Exchange Act of 1934. Publication is expected in the
Federal Register during the week of December 24. (Rel. 34-57035)
A proposed rule change filed by the Philadelphia Stock Exchange. (SR-
Phlx-2007-93) relating to $5 strike price intervals of options on
Exchange-Traded Fund Shares above $200 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 24. (Rel. 34-57038)
APPROVAL OF PROPOSED RULE CHANGE
The Commission approved a proposed rule change submitted by the
Philadelphia Stock Exchange (SR-Phlx-2007-83) relating to amending By-
Law Article X, Section 10-11. Publication is expected in the Federal
Register during the week of December 24. (Rel. 34-57023)
ACCELERATED APPROVAL OF PROPOSED RULE CHANGE
The Commission granted accelerated approval to a proposed rule change
(SR-NYSEArca-2007-68), as modified by Amendment No. 1 thereto,
submitted by NYSE Arca to trade shares of the GreenHaven Continuous
Commodity Index Fund pursuant to unlisted trading privileges.
Publication is expected in the Federal Register during the week of
December 24. (Rel. 34-57029)
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 ALVARION LTD, 21A HABAMEL ST, TEL AVIV ISRAEL, L3, 69710,
01197236454803 - 2,504,899 ($22,598,683.30) Equity, (File 333-148316 -
Dec. 26) (BR. 11A)
S-3 DYAX CORP, 0 ($100,000,000.00) Other, (File 333-148317 - Dec. 26)
(BR. 01A)
S-8 BOS BETTER ONLINE SOLUTIONS LTD, 20 FREIMAN STREET, RISHON LEZION, L3,
75100, 011-972-3-954-1000 - 1,100,000 ($2,475,000.00) Equity,
(File 333-148318 - Dec. 26) (BR. 03A)
S-1 SOURCE PHOTONICS INC, 20550 NORDHOFF STREET, CHATSWORTH, CA, 91311,
818-773-9044 - 0 ($130,000,000.00) Equity, (File 333-148319 - Dec. 26)
(BR. 06)
S-3 GTX INC /DE/, 3 NORTH DUNLAP AVE 3RD FL, VAN VLEET BUILDING, MEMPHIS,
TN, 38163, 901-523-9700 - 0 ($100,000,000.00) Equity,
(File 333-148321 - Dec. 26) (BR. 01A)
SB-2 CHINA BEAUTY GROUP, INC., BLOC B, 10 FLOOR FUK ON FACTORY BLDG,
1123 CANTON RD., MONGKOK, KLN, K3, 852, (852) 2543 2727 -
1,000,000 ($1,000,000.00) Equity, (File 333-148322 - Dec. 26) (BR. 09)
S-8 CENTER BANCORP INC, 2455 MORRIS AVE, UNION, NJ, 07083, 9086889500 -
100,000 ($1,138,500.00) Equity, (File 333-148323 - Dec. 26) (BR. 07C)
SB-2 Global Wataire, Inc., 5050 DE SOREL, SUITE 110, MONTREAL, A8, H4P 1G5,
416-490-0254 - 4,000,000 ($520,000.00) Equity, (File 333-148324 -
Dec. 26) (BR. 08C)
S-3 GTX INC /DE/, 3 NORTH DUNLAP AVE 3RD FL, VAN VLEET BUILDING, MEMPHIS,
TN, 38163, 901-523-9700 - 0 ($19,710,796.25) Equity, (File 333-148325 -
Dec. 26) (BR. 01A)
S-8 WORKSTREAM INC, 495 MARCH RD STE 300, OTTAWA ONTARIO, CANADA K2K 3G2,
A6, 00000, 6132362263 - 8,000,000 ($5,040,000.00) Equity,
(File 333-148326 - Dec. 26) (BR. 03B)
SB-2 WWA GROUP INC, 2465 WEST 12TH STREET, SUITE 2, TEMPE, AZ, 85281,
4805050070 - 11,788,092 ($1,279,422.02) Equity, (File 333-148327 -
Dec. 26) (BR. 02B)
S-8 ENTERPRISE FINANCIAL SERVICES CORP, 150 NORTH MERAMEC,
150 NORTH MERAMEC, CLAYTON, MO, 63105, 3147255500 -
200,000 ($4,762,000.00) Equity, (File 333-148328 - Dec. 26) (BR. 07C)
S-3 United States Oil Fund, LP, 1320 HARBOR BAY PARKWAY, SUITE 145,
ALMADEDA, CA, 94502, (800) 394-5064 - 0 ($6,936,000,000.00) Equity,
(File 333-148330 - Dec. 26) (BR. 08A)
S-1 FIRST FRANKLIN FINANCIAL CORP, 213 E TUGALO ST, P O BOX 880, TOCCOA,
GA, 30577, 4048867571 -
800,000,000 ($800,000,000.00) Non-Convertible Debt, (File 333-148331 -
Dec. 26) (BR. 07A)
S-3 DERMA SCIENCES, INC., 214 CARNEGIE CENTER, SUITE 100, PRINCETON, NJ,
08540, 6095144744 - 10,714,275 ($8,357,134.50) Other,
(File 333-148332 - Dec. 26) (BR. 10A)
S-8 NORTHERN OIL & GAS, INC., 130 LAKE STREET WEST, SUITE 300, WAYZATA, MN,
55391, 952-476-9800 - 2,020,000 ($13,756,200.00) Equity,
(File 333-148333 - Dec. 26) (BR. 04B)
S-8 THERMO FISHER SCIENTIFIC INC., 81 WYMAN ST, PO BOX 9046, WALTHAM, MA,
02451, 7816221000 - 0 ($11,341,000.00) Equity, (File 333-148334 -
Dec. 26) (BR. 10C)
SB-2 GUARDIAN ZONE TECHNOLOGIES INC, 17 WOODSIDE RD, CHAGRIN FALLS, OH,
44022, 440-821-4822 - 8,846,338 ($2,211,584.50) Equity,
(File 333-148335 - Dec. 26) (BR. 11)
SB-2 Timberline Resources Corp, 101 EAST LAKESIDE AVENUE, COEUR D'ALENE, ID,
83814, (208) 664-4859 - 9,763,842 ($38,957,729.58) Equity,
(File 333-148336 - Dec. 26) (BR. 04A)
S-4 UNITEDHEALTH GROUP INC, UNITEDHEALTH GROUP CENTER, 9900 BREN ROAD EAST,
MINNEAPOLIS, MN, 55343, 9529361300 -
0 ($1,500,000,000.00) Non-Convertible Debt, (File 333-148337 - Dec. 26)
(BR. 01C)
S-4 UNITEDHEALTH GROUP INC, UNITEDHEALTH GROUP CENTER, 9900 BREN ROAD EAST,
MINNEAPOLIS, MN, 55343, 9529361300 -
0 ($1,600,000,000.00) Non-Convertible Debt, (File 333-148338 - Dec. 26)
(BR. 01C)
S-8 ENDO PHARMACEUTICALS HOLDINGS INC, 100 ENDO BOULEVARD, CHADDS FORD, PA,
19317, 6105589800 - 7,000,000 ($186,900,000.00) Equity,
(File 333-148339 - Dec. 26) (BR. 01A)
S-1 HAWKER BEECHCRAFT ACQUISITION CO LLC, 10511 EAST CENTRAL, WICHITA, KS,
67206, (316) 676-7111 - 0 ($1.00) Other, (File 333-148340 - Dec. 26)
(BR. 05A)
SB-2 FRANKLIN TOWERS ENTERPRISES INC, 5 ASH DRIVE, CENTER BARNSTEAD, NH,
03225, 702 943 0714 - 23,687,000 ($6,038,360.00) Equity,
(File 333-148341 - Dec. 26) (BR. 03A)
S-3 XOMA LTD /DE/, 2910 SEVENTH ST, BERKELEY, CA, 94710, 5106441170 -
0 ($150,000,000.00) Equity, (File 333-148342 - Dec. 26) (BR. 01C)
S-3 Vyteris Holdings (Nevada), Inc., 1390 SOUTH 1100 EAST SUITE 204,
SALT LAKE CITY, UT, 84105-2463, 2017032299 - 0 ($50,000,000.00) Equity,
(File 333-148343 - Dec. 26) (BR. 01C)
S-3 BALTIA AIR LINES INC, 63-25 SAUNDERS STREET, SUITE 7-I, REGO PARK, NY,
11374, 7182755205 - 10,882,500 ($10,882,500.00) Equity,
(File 333-148344 - Dec. 26) (BR. 05A)
S-8 ViewPoint Financial Group, 1309 W 15TH STREET, SUITE 400, PLANO, TX,
75075, 972-578-5000 - 1,624,691 ($27,457,278.00) Equity,
(File 333-148345 - Dec. 26) (BR. 07B)
SB-2 Cherry Tankers Inc, 78 SOKOLOV STREET, HERZELIYA, L3, 49503,
972 546 86 8110 - 2,000,000 ($400,000.00) Equity, (File 333-148346 -
Dec. 26) (BR. )
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
ACA Capital Holdings Inc 1.01,2.04 12/19/07
ACCESS PHARMACEUTICALS INC DE 5.02,7.01,9.01 12/26/07
ADC TELECOMMUNICATIONS INC MN 1.01,9.01 12/19/07
Advanced Life Sciences Holdings, Inc. 1.01,9.01 12/21/07
ADVANTA CORP DE 5.02,9.01 12/20/07
ALABAMA NATIONAL BANCORPORATION DE 1.01,2.03,9.01 12/19/07
ALCOA INC PA 1.01,9.01 12/21/07
Alphatec Holdings, Inc. DE 1.01,3.02,9.01 12/19/07
AMDL INC DE 3.02,7.01,9.01 12/24/07
AMEDISYS INC DE 5.02,9.01 12/19/07
American Reprographics CO DE 1.01,2.03,9.01 12/19/07
ANDREW CORP DE 8.01,9.01 12/24/07
APARTMENT INVESTMENT & MANAGEMENT CO MD 8.01 12/21/07
AspenBio Pharma, Inc. CO 3.02,7.01,8.01,9.01 12/21/07
ASPIRE JAPAN, INC. DE 5.02 12/21/07
ASTA FUNDING INC DE 2.02,9.01 12/24/07
BAYWOOD INTERNATIONAL INC NV 3.03,5.03,9.01 12/18/07
BELDEN INC. DE 1.01,2.03,9.01 12/21/07
BIOJECT MEDICAL TECHNOLOGIES INC OR 5.02 12/20/07
BLACK HAWK EXPLORATION 5.02 12/24/07
BLUE DOLPHIN ENERGY CO DE 5.03,9.01 12/26/07
BLUEFIRE ETHANOL FUELS INC NV 5.02 12/20/07
BMW Vehicle Owner Trust 2005-A 9.01 12/26/07
Bristow Group Inc DE 5.03,9.01 12/21/07
BROADCAST INTERNATIONAL INC UT 1.01,2.03,3.02,7.01,9.01 12/24/07
BRUSH ENGINEERED MATERIALS INC 1.01,9.01 12/26/07
BUCKEYE PARTNERS L P DE 7.01,9.01 12/26/07
CAB-TIVE ADVERTISING, INC. NV 8.01 12/20/07
CAMINOSOFT CORP CA 5.02 12/20/07
CAMPBELL SOUP CO NJ 1.01,9.01 12/20/07
CAPITAL BANK CORP NC 2.06,9.01 12/26/07
CAPITAL GROWTH SYSTEMS INC /FL/ FL 1.01,3.02,9.01 12/19/07
CAPITAL TRUST INC MD 5.02 12/24/07
CARDIMA INC DE 1.01,3.02,9.01 12/17/07
CARPENTER TECHNOLOGY CORP DE 8.01,9.01 12/21/07
CENTRAL VIRGINIA BANKSHARES INC VA 8.01 12/21/07
China VoIP & Digital Telecom Inc. NV 1.01,2.03,3.02,9.01 12/21/07
Clear Skies Holdings Inc DE 2.01,3.02,4.01,5.01,5.02,5.03, 12/19/07
5.06,9.01
CLEVELAND CLIFFS INC OH 8.01 12/20/07
COBIZ FINANCIAL INC CO 7.01,9.01 12/21/07
COHEN & STEERS REIT & UTILITY INCOME MD 5.03,9.01 12/21/07
COHEN & STEERS SELECT UTILITY FUND IN MD 5.03,9.01 12/21/07
COLUMBIA BANCORP \OR\ OR 5.02,9.01 12/24/07
COLUMBIA BANCORP \OR\ OR 5.02,9.01 12/24/07
COLUMBIA BANCORP \OR\ OR 5.02,9.01 12/24/07
COLUMBIA BANCORP \OR\ OR 5.02,9.01 12/24/07
COMARCO INC CA 8.01 12/26/07
COMMONWEALTH BIOTECHNOLOGIES INC VA 9.01 12/26/07 AMEND
COMMSCOPE INC DE 8.01,9.01 12/24/07
COMMUNITY BANCORP /VT VT 8.01,9.01 12/18/07
Comstock Homebuilding Companies, Inc. DE 1.01 12/21/07
COMSYS IT PARTNERS INC DE 5.02 12/24/07
CONSOLIDATED GRAPHICS INC /TX/ TX 5.03,9.01 12/21/07
COVAD COMMUNICATIONS GROUP INC DE 5.01,9.01 12/18/07
CRAWFORD & CO GA 1.01,9.01 12/21/07
CROFF ENTERPRISES INC UT 8.01,9.01 12/24/07
CROSS COUNTRY HEALTHCARE INC DE 2.02,7.01,9.01 12/20/07
CROWN CRAFTS INC DE 8.01,9.01 12/24/07
CSK AUTO CORP DE 1.01,9.01 12/18/07
CSMC Mortgage-Backed Trust 2007-7 DE 8.01,9.01 12/26/07
CUBIST PHARMACEUTICALS INC DE 5.03,9.01 12/18/07
CYBERSOURCE CORP DE 1.01,2.05,2.06,8.01,9.01 12/19/07
CYPRESS SEMICONDUCTOR CORP /DE/ DE 2.03,2.05,9.01 12/19/07
CYTOGEN CORP DE 5.02 12/18/07
DALE JARRETT RACING ADVENTURE INC FL 3.02 12/17/07
DCAP GROUP INC DE 5.03,9.01 12/26/07
DCB FINANCIAL CORP OH 8.01,9.01 12/26/07
DEARBORN BANCORP INC /MI/ MI 5.03,9.01 12/18/07
Digital Music Group, Inc. DE 4.01,9.01 12/19/07 AMEND
Disaboom, Inc. CO 1.02,5.02,8.01,9.01 12/18/07
DOCUMENT SECURITY SYSTEMS INC NY 8.01,9.01 12/18/07
DOT HILL SYSTEMS CORP NY 5.03,9.01 12/23/07
Double-Take Software, Inc. DE 2.02,9.01 12/26/07
DRIL-QUIP INC DE 5.03,9.01 12/21/07
DTE ENERGY CO MI 2.03,9.01 12/18/07
DYNAMIC LEISURE CORP MN 5.02 12/20/07
DYNASIL CORP OF AMERICA NJ 8.01 12/18/07
EASTERN SERVICES HOLDINGS, INC. DE 5.01 12/26/07
EATON CORP OH 1.01,8.01,9.01 12/20/07
EBIX INC DE 2.01,2.03,9.01 12/18/07
ECOTALITY, INC. NV 2.01,9.01 12/26/07
Edgeline Holdings, Inc. NV 1.01,9.01 12/20/07
EESTech, Inc. 3.02 11/29/07
Endeavor Energy CORP NV 1.01,5.02 12/19/07
ENSIGN GROUP, INC 2.02,9.01 12/21/07
EP MEDSYSTEMS INC NJ 5.03,9.01 12/26/07
EQUISTAR CHEMICALS LP DE 1.02,2.03,5.01,5.03,9.01 12/19/07
Esmark INC DE 1.01,9.01 12/18/07
Euoko, Inc. NV 1.01,9.01 12/20/07
EURONET WORLDWIDE INC DE 8.01,9.01 12/26/07
EVANS BANCORP INC NY 5.02,5.03,9.01 12/18/07
EXELIXIS INC DE 1.01,9.01 12/21/07
FARMERS & MERCHANTS BANCORP DE 8.01,9.01 12/21/07
FASTENAL CO MN 8.01,9.01 12/26/07
Federal Home Loan Bank of Atlanta X1 2.03 12/19/07
Federal Home Loan Bank of Chicago X1 5.02 12/18/07
Federal Home Loan Bank of Chicago X1 2.03 12/19/07
Federal Home Loan Bank of Chicago X1 5.02 12/18/07 AMEND
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 12/19/07
Federal Home Loan Bank of Dallas 2.03 12/19/07
Federal Home Loan Bank of Des Moines X1 2.03,9.01 12/19/07
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 12/19/07
Federal Home Loan Bank of New York X1 2.03,9.01 12/19/07
Federal Home Loan Bank of New York X1 5.02 09/14/07 AMEND
Federal Home Loan Bank of New York X1 5.02 11/06/07 AMEND
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 12/19/07
Federal Home Loan Bank of San Francis X1 2.03 12/19/07
Federal Home Loan Bank of Seattle 2.03 12/24/07
Federal Home Loan Bank of Topeka 2.03 12/21/07
Feldman Mall Properties, Inc. MD 2.02,9.01 12/21/07
FIRST CHESTER COUNTY CORP PA 1.01 12/26/07
FIRST CONSULTING GROUP INC DE 5.02 12/18/07
FIRST IPSWICH BANCORP /MA MA 1.01,2.03,5.02 12/21/07
FIRSTFED FINANCIAL CORP DE 5.02 12/19/07
FOREFRONT HOLDINGS, INC. FL 1.01,5.03,9.01 12/26/07
FOSTER L B CO PA 1.01,9.01 12/21/07
FREMONT GENERAL CORP NV 5.02,8.01,9.01 12/21/07
FULTON FINANCIAL CORP PA 1.01,5.02,9.01 12/26/07
GAMCO INVESTORS, INC. ET AL NY 5.02 12/26/07
GateHouse Media, Inc. DE 5.02 12/19/07
GENCO SHIPPING & TRADING LTD 5.02 12/20/07
GENERAL MARITIME CORP/ 5.02 12/21/07
GENESIS ENERGY LP DE 1.01,9.01 12/26/07
GENTA INC DE/ DE 3.01,9.01 12/19/07
GLOBAL AIRCRAFT SOLUTIONS, INC. AZ 1.01,2.03,3.02,3.03,9.01 12/26/07
Global Cash Access Holdings, Inc. DE 1.01,5.03,9.01 12/19/07
GOLDEN GRAIN ENERGY 2.02,9.01 12/21/07
GOLDEN OVAL EGGS LLC DE 5.02 12/18/07
GOODYEAR TIRE & RUBBER CO /OH/ OH 2.05,9.01 12/21/07
GREATER COMMUNITY BANCORP NJ 7.01,8.01,9.01 12/26/07
GULFPORT ENERGY CORP DE 2.03,9.01 12/26/07
HANOVER CAPITAL MORTGAGE HOLDINGS INC MD 1.01 12/19/07
HARVEY ELECTRONICS INC NY 1.01,2.04,4.01,5.02,9.01 12/18/07
HAUPPAUGE DIGITAL INC DE 1.01,2.03,9.01 02/28/07
HAUPPAUGE DIGITAL INC DE 5.03,9.01 12/26/07
HOME SOLUTIONS OF AMERICA INC DE 8.01 12/14/07
HOST HOTELS & RESORTS, INC. MD 5.02 12/18/07
HUSKER AG LLC NE 5.02 12/18/07
IMMTECH PHARMACEUTICALS, INC. DE 8.01 12/26/07
IMMUNOMEDICS INC DE 1.02,9.01 12/26/07
IN VERITAS MEDICAL DIAGNOSTICS, INC. CO 1.01,2.04,9.01 12/18/07
INDYMAC MBS INC RESIDENTIAL ASSET SEC 8.01 12/26/07
IndyMac RAST 2004-R2 8.01 12/26/07
INFOUSA INC DE 5.02,8.01,9.01 12/19/07
INGLES MARKETS INC NC 8.01 12/20/07
Innova Robotics & Automation, Inc. NV 1.01,5.02,9.01 12/18/07
INNOVATIVE CARD TECHNOLOGIES INC DE 8.01,9.01 12/26/07
INSMED INC VA 3.01,9.01 12/20/07
INTEL CORP DE 1.01,9.01 12/22/07
INTERNATIONAL STAR INC NV 1.01,2.03,3.02,5.02,9.01 12/03/07
INTERPHARM HOLDINGS INC DE 5.02 12/18/07
IPASS INC DE 5.02,8.01,9.01 12/20/07
J P MORGAN CHASE & CO DE 9.01 12/21/07
Jake's Trucking International, Inc. NV 2.01,5.01,5.02,9.01 12/24/07
Kansas City Southern de Mexico, S.A. O5 1.01,9.01 12/19/07
KAYNE ANDERSON ENERGY DEVELOPMENT CO MD 8.01,9.01 12/21/07
KENNAMETAL INC PA 8.01 12/21/07
KH FUNDING CO MD 8.01 12/20/07
LAKES ENTERTAINMENT INC MN 1.02,9.01 12/19/07
LaPorte Bancorp, Inc. X1 9.01 10/12/07 AMEND
LEAP WIRELESS INTERNATIONAL INC DE 8.01,9.01 03/23/07 AMEND
LECG CORP DE 1.01 12/20/07
Lehman XS Trust Series 2007-15N DE 1.01,9.01 12/21/07
LEVCOR INTERNATIONAL INC DE 5.02 12/20/07
LEXINGTON REALTY TRUST MD 1.01,2.01,3.02,5.02,8.01,9.01 12/18/07
LIGAND PHARMACEUTICALS INC DE 8.01 12/26/07
LIQUIDITY SERVICES INC 8.01,9.01 12/26/07
LYONDELL CHEMICAL CO DE 1.02,2.03,3.01,3.03,5.01,5.02, 12/20/07
5.03,8.01,9.01
MBIA INC CT 5.02,7.01,8.01,9.01 12/19/07
MDC HOLDINGS INC DE 5.02 12/20/07
MDI, INC. DE 9.01 12/26/07 AMEND
MEADWESTVACO CORP DE 1.02,3.03,8.01,9.01 12/21/07
MECHANICAL TECHNOLOGY INC NY 5.02 12/23/07
MED GEN INC NV 8.01 12/26/07
MEDIA GENERAL INC VA 8.01 12/20/07
MEDIANET GROUP TECHNOLOGIES INC NV 8.01 12/26/07
MEDQUIST INC NJ 5.02 12/18/07
MIKROS SYSTEMS CORP DE 5.02 12/19/07
MILLENNIUM CHEMICALS INC DE 1.01,2.03,5.01,9.01 12/19/07
MISCOR GROUP, LTD. 5.02,9.01 12/19/07
MISCOR GROUP, LTD. 9.01 10/19/07 AMEND
MMC ENERGY, INC. DE 3.01,5.02,9.01 12/18/07
Monarch Investment Properties, Inc. NV 1.01,9.01 12/18/07
MRU HOLDINGS INC DE 1.01,2.03,7.01,9.01 12/21/07
MultiCell Technologies, Inc. DE 5.02,9.01 12/21/07
NATIONAL ATLANTIC HOLDINGS CORP NJ 8.01 12/21/07
NETSUITE INC 5.03,8.01,9.01 12/24/07
NEWMONT MINING CORP /DE/ DE 7.01,9.01 12/21/07
NEWMONT MINING CORP /DE/ DE 1.01,2.01,9.01 11/30/07 AMEND
NEWTEK BUSINESS SERVICES INC NY 8.01 12/20/07
NITCHES INC CA 2.02,9.01 12/26/07
NOVAMERICAN STEEL INC. DE 5.02,8.01 12/26/07
NPS PHARMACEUTICALS INC DE 5.02 12/05/07 AMEND
NRG ENERGY, INC. DE 5.02,9.01 12/21/07
NUCLEAR SOLUTIONS INC NV 8.01,9.01 12/26/07
NYER MEDICAL GROUP INC FL 1.01,9.01 12/20/07
OccuLogix, Inc. DE 1.01,2.01,2.05,9.01 12/19/07
Omniture, Inc. DE 8.01,9.01 12/26/07
ORION ENERGY SYSTEMS, INC. WI 1.01,9.01 12/18/07
OSTEOTECH INC DE 5.02 12/20/07
OXFORD RESIDENTIAL PROPERTIES I LTD P MD 2.04 12/18/07
PAR TECHNOLOGY CORP DE 5.03,9.01 12/20/07
PATRIOT NATIONAL BANCORP INC CT 5.03,9.01 12/19/07
PATTERSON COMPANIES, INC. MN 8.01,9.01 12/20/07
PENGRAM CORP NV 2.03,9.01 12/19/07
People's United Financial, Inc. DE 8.01,9.01 12/26/07
PHARMACYCLICS INC DE 8.01,9.01 12/21/07
POLYMER GROUP INC DE 2.06 12/18/07
PRO PHARMACEUTICALS INC NV 1.01,9.01 12/19/07
PROTECTIVE LIFE CORP DE 1.01,2.03 12/19/07
PROTECTIVE LIFE INSURANCE CO TN 1.01,2.03 12/19/07
PROXYMED INC /FT LAUDERDALE/ FL 4.01,9.01 12/18/07
QMED INC DE 3.01,9.01 12/18/07
QUALSTAR CORP CA 5.03,9.01 12/21/07
REAL ESTATE ASSOCIATES LTD VII CA 8.01 12/18/07
REGAL ENTERTAINMENT GROUP DE 7.01 12/26/07
REXAHN PHARMACEUTICALS, INC. DE 1.01,3.02,9.01 12/24/07
Riverdale Mining Inc. NV 1.01,9.01 12/21/07
ROO GROUP INC DE 5.02,7.01,9.01 12/18/07
Santa Fe Gold CORP DE 3.02,9.01 12/21/07
SATCON TECHNOLOGY CORP DE 3.02,5.02,5.03,9.01 12/19/07
SAUL CENTERS INC MD 1.01 12/19/07
SHARPS COMPLIANCE CORP DE 5.02,9.01 12/16/07
Silver State Bancorp 5.02 12/19/07
SIMPSON MANUFACTURING CO INC /CA/ DE 5.02,9.01 12/20/07
SIRICOMM INC DE 1.03,9.01 12/21/07
SLM CORP DE 1.01,5.02 12/19/07
SMART MOVE, INC. DE 1.01,3.02,8.01,9.01 12/21/07
SMITHTOWN BANCORP INC NY 8.01 12/20/07
Solar Power, Inc. 1.01,3.02,9.01 12/20/07
SONICWALL INC CA 5.02 12/26/07
SPORT SUPPLY GROUP, INC. DE 7.01,9.01 12/24/07
STANDARD MOTOR PRODUCTS INC NY 1.01,2.05,8.01,9.01 12/20/07
STERLING BANCSHARES INC TX 5.02,9.01 12/20/07
STERLING CONSTRUCTION CO INC DE 7.01,9.01 12/24/07
STEWART ENTERPRISES INC LA 5.03,9.01 12/18/07
SUMMIT ENVIRONMENTAL CORP INC TX 5.02 12/18/07
Superior Offshore International Inc. DE 5.02,8.01 12/20/07
SURETY CAPITAL CORP /DE/ DE 9.01 12/21/07
TARGET CORP MN 8.01 12/24/07
Tarpon Industries, Inc. MI 1.01,9.01 12/21/07
TENGASCO INC TN 5.02,8.01,9.01 12/18/07
TESCO CORP 1.01,9.01 12/21/07
THINK PARTNERSHIP INC NV 5.03,9.01 12/20/07
TRANSMERIDIAN EXPLORATION INC DE 5.02 12/20/07
TRANSWITCH CORP /DE DE 1.01,5.02,9.01 12/21/07
Tropicana Entertainment, LLC DE 1.01,9.01 12/21/07
UFood Restaurant Group, Inc. NV 1.01,2.01,3.02,5.01,5.02,5.06, 12/18/07
9.01
UIL HOLDINGS CORP CT 5.03,9.01 12/26/07
UNITED HERITAGE CORP UT 1.01,3.02,9.01 12/26/07
UNITED RENTALS INC /DE DE 2.01,8.01,9.01 12/21/07
United States Natural Gas Fund, LP 7.01,9.01 12/26/07
United States Oil Fund, LP DE 7.01,9.01 12/26/07
UNIVERSAL GUARDIAN HOLDINGS INC DE 5.02 12/19/07
UNIVERSAL STAINLESS & ALLOY PRODUCTS DE 5.02,9.01 12/26/07
URANIUM 308 CORP. NV 1.01,2.01,8.01,9.01 09/21/07 AMEND
URSTADT BIDDLE PROPERTIES INC MD 5.02,9.01 12/19/07
USChina Channel Inc 8.01 12/26/07
Utah Uranium Corp. NV 1.01,9.01 11/30/07
Valley Commerce Bancorp CA 5.02,9.01 12/18/07
VALUEVISION MEDIA INC MN 5.02 12/18/07
VAXGEN INC DE 1.01,9.01 12/20/07
VERASUN ENERGY CORP 5.02,8.01,9.01 12/20/07
VOLT INFORMATION SCIENCES, INC. NY 5.02,5.03,9.01 12/18/07
Voyager Learning CO DE 5.03 12/20/07
Winthrop Realty Trust OH 8.01,9.01 12/20/07
WJ COMMUNICATIONS INC DE 3.01,9.01 12/20/07
WORLD FUEL SERVICES CORP FL 1.01,9.01 12/21/07
WORTHINGTON INDUSTRIES INC OH 2.02,9.01 12/20/07
XECHEM INTERNATIONAL INC DE 3.02 12/21/07
ZALE CORP DE 5.02 12/18/07
http://www.sec.gov/news/digest/2007/dig122707.htm
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