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SEC NEWS DIGEST
Issue 2008-8 January 11, 2008
COMMISSION ANNOUNCEMENTS
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 - WEDNESDAY, JANUARY 16, 2008 - 10:00 A.M.
The subject matter of the January 16 open meeting will be:
The Commission will consider whether to approve a proposed rule change
submitted by the Chicago Board Options Exchange, Incorporated (CBOE)
to interpret the "Exercise Right" in Article Fifth(b) of CBOE's
Certificate of Incorporation (SR-CBOE-2006-106).
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
SEC BARS SECURITIES PROFESSIONAL FROM ASSOCIATING WITH ANY BROKER-
DEALER
On January 10, the Commission barred Elliot Joel Smith (E. Smith), of
New York City, from associating with any broker-dealer. E. Smith was
employed as the Managing Director of Broadband Capital Management,
LLC, a registered broker-dealer. The sanction was based upon the entry
of an injunction against E. Smith, permanently enjoining him from
future violations of Sections 10(b) and 14(e) of the Securities
Exchange Act of 1934 and Rules 10b-5 and 14e-3 thereunder in the civil
action entitled SEC v. Gregg Ashley Smith and Elliot Joel Smith, Civil
Action Number 07-cv-8394, in the U.S. District Court for the Southern
District of New York. The Commission's complaint in that matter
alleged that from December 2001 to December 2002, E. Smith, in
violation of the federal securities laws, received material, nonpublic
information about three public companies from his son, Gregg Ashley
Smith, an investment banker employed by Banc of America Securities,
LLC. E. Smith then unlawfully purchased the stock of the three
companies while in possession of the material, nonpublic information.
E. Smith, age 75, consented to the issuance of a Commission Order
without admitting or denying the Commission's findings, except with
regard to the entry of the injunction, which he admitted. (Rel. 34-
57126; File No. 3-12930)
SEC BARS FORMER BANC OF AMERICA SECURITIES, LLC INVESTMENT BANKER FROM
ASSOCIATING WITH ANY BROKER-DEALERS OR INVESTMENT ADVISERS
On January 10, the Commission barred Gregg Ashley Smith (G. Smith), of
New York City, from associating with any broker-dealer or investment
adviser, provided that he may reapply for association after five
years. G. Smith is a former investment banker with Banc of America
Securities, LLC (BAS). The sanction was based upon the entry of an
injunction against G. Smith, permanently enjoining him from future
violations of Sections 10(b) and 14(e) of the Securities Exchange Act
of 1934 and Rules 10b-5 and 14e-3 thereunder in the civil action
entitled SEC v. Gregg Ashley Smith and Elliot Joel Smith, Civil Action
Number 07-cv-8394, in the U.S. District Court for the Southern
District of New York. The Commission's complaint in that matter
alleged that from December 2001 to December 2002, G. Smith, in
violation of the federal securities laws and in breach of his
fiduciary duties to BAS, tipped his father material, nonpublic
information about three public companies. G. Smith's father then
unlawfully purchased the stock of the three companies while in
possession of material, nonpublic information.
G. Smith, age 37, consented to the issuance of the Commission's Order
without admitting or denying the Commission's findings, except with
regard to the entry of the injunction, which he admitted. (Rels. 34-
57125; IA-2692; File No. 3-12929)
SEC OBTAINS TRO TO HALT FRAUDULENT PONZI-LIKE SCHEME
On January 10, the Commission obtained an order temporarily
restraining Bryan S. Behrens and a private entity controlled by him,
National Investments, Inc., from continuing to engage in the
fraudulent offer and sale of securities. The Honorable Joseph F.
Bataillon of the U.S. District Court for the District of Nebraska also
froze the defendants' assets, ordered that discovery be accelerated
and that defendants be prohibited from destroying documents, ordered
the defendants to promptly provide sworn accountings of investor funds
and other assets, and ordered that a preliminary injunction hearing be
held on Jan. 16, 2008, to determine if the interim relief should be
continued.
The Commission's complaint, filed on January 10, alleges that Behrens,
a resident of Omaha, Nebraska, and National Investments have engaged
in securities fraud in the offer and sale of promissory notes over a
period extending back at least five years. Behrens was previously a
principal at a broker-dealer registered with the Commission. According
to the complaint, the defendants fraudulently raised approximately
$6.5 million from approximately 20 investors, including senior
citizens. The complaint further alleges that the defendants offered
promissory notes to investors falsely claiming that the interest
payable on the notes, approximately 9% interest per annum, would be
generated from lending investors' money to others at a higher rate of
interest. The actual uses to which the monies were put were allegedly
not disclosed to investors. According to the complaint, Behrens,
through National Investments, operated a Ponzi-like scheme by using
proceeds obtained from new investors to make payments to early
investors. Behrens is further alleged to have misappropriated
approximately $3.5 million for personal use, including financing
renovations to his two homes, purchasing luxury vehicles, and
transferring money to another company that Behrens owns.
The complaint alleges that Behrens and National Investments 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. In addition
to emergency and preliminary relief, the Commission's complaint
seeking permanent injunctions, disgorgement and civil penalties. [SEC
v. Bryan S. Behrens, et al., Civil Action No. 8:08CV13 (D. Nebraska)]
(LR-20427)
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF A PROPOSED RULE CHANGES
A proposed rule change filed by the Boston Stock Exchange relating to
BOX's licensing fees (SR-BSE-2008-01) 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
January 14. (Rel. 34-57114)
A proposed rule change filed by the Philadelphia Stock Exchange
relating to securities with restricted trading sessions on XLE (SR-
Phlx-2007-95) 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 January 14. (Rel. 34-57116)
A proposed rule change filed by the American Stock Exchange to amend
Sections 132(e), 211, and 1003(d) of the Company Guide to clarify that
the Exchange may delist or deny initial listing to an issuer for
misrepresenting, or omitting to provide, material information to the
Exchange or for failing to provide requested information within a
reasonable period of time (SR-Amex-2007-89) 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
January 14. (Rel. 34-57121)
JOINT INDUSTRY PLAN RELEASES
ORDER APPROVING THE ELEVENTH SUBSTANTIVE AMENDMENT TO THE SECOND
RESTATEMENT OF THE CONSOLIDATED TAPE ASSOCIATION PLAN
The Commission approved, pursuant to Rule 608 under the Securities
Exchange Act of 1934, a proposed amendment submitted by the
Consolidated Tape Association (CTA) to the CTA Plan (SR-CTA-2007-02)
to permit Participants to report to the Processor under the CTA Plan
the actual number of shares for each transaction (exclusive of odd-
lots). Publication is expected in the Federal Register during the week
of January 14. (Rel. 34-57113)
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 INVERNESS MEDICAL INNOVATIONS INC, 51 SAWYER ROAD, SUITE 200, WALTHAM,
MA, 02453, 7816473900 - 3,000,000 ($164,370,000.00) Equity,
(File 333-148573 - Jan. 10) (BR. 01A)
SB-2 ARK DEVELOPMENT INC, 4225 NEW FORREST DR, PLANO, TX, 75093,
3,850,000 ($115,500.00) Equity, (File 333-148574 - Jan. 10) (BR. 04)
S-3 CHAD THERAPEUTICS INC, 21622 PLUMMER STREET, CHATSWORTH, CA, 91311,
8188820883 - 0 ($621,963.00) Equity, (File 333-148575 - Jan. 10)
(BR. 10A)
S-8 CISCO SYSTEMS INC, 170 WEST TASMAN DR, SAN JOSE, CA, 95134-1706,
4085264000 - 1,336,909 ($16,656,084.15) Equity, (File 333-148576 -
Jan. 10) (BR. 03C)
S-4 PMFG, Inc., 14651 NORTH DALLAS PARKWAY, SUITE 500, DALLAS, TX, 75254,
(214) 357-6181 - 0 ($243,870,123.00) Equity, (File 333-148577 -
Jan. 10) (BR. 06)
SB-2 Arise Technologies Inc., 300 CENTER AVE., STE. 202, BAY CITY, MI,
48708, 989-509-5998 - 20,000,000 ($20,000,000.00) Other,
(File 333-148579 - Jan. 10) (BR. 10A)
S-8 INTUIT INC, 2700 COAST AVENUE, MOUNTAIN VIEW, CA, 94043, 650-944-6000 -
0 ($18,754,419.36) Equity, (File 333-148580 - Jan. 10) (BR. 03C)
S-8 GULFSTREAM INTERNATIONAL GROUP INC, 3201 GRIFFIN ROAD, 4TH FLOOR,
FORT LAUDERDALE, FL, 33312, 954-985-1500 -
350,000 ($2,224,898.00) Equity, (File 333-148588 - Jan. 10) (BR. 05B)
S-8 PARENT CO, 1099 18TH STREET, SUITE 1800, DENVER, CO, 80202,
303-226-6205 - 2,400,000 ($13,992,000.00) Equity, (File 333-148591 -
Jan. 10) (BR. 02A)
S-8 Danvers Bancorp, Inc., ONE CONANT STREET, DANVERS, MA, 01923,
978.777.2200 - 0 ($5,000,000.00) Equity, (File 333-148592 - Jan. 10)
(BR. 07)
S-8 ZYNEX MEDICAL HOLDINGS INC, 8022 SOUTHPARK CIRCLE, SUITE 100,,
LITTLETON, CO, 80120, (303) 703-4906 -
3,000,000 ($3,840,000.00) Equity, (File 333-148594 - Jan. 10) (BR. 10C)
S-8 ELECTRONIC ARTS INC., 209 REDWOOD SHORES PARKWAY, REDWOOD CITY, CA,
94065, 650-628-1500 - 4,560,000 ($247,836,000.00) Equity,
(File 333-148596 - Jan. 10) (BR. 03A)
S-1 INTELIUS INC, 500 108TH AVE NE SUITE 1660, BELLEUE, WA, 98004,
425-454-6200 - 0 ($143,750,000.00) Equity, (File 333-148597 - Jan. 10)
(BR. )
S-8 NATIONAL PENN BANCSHARES INC, PHILADELPHIA AND READING AVES,
PO BOX 547, BOYERTOWN, PA, 19512, 1-800-822-3321 -
872,000 ($12,216,720.00) Equity, (File 333-148598 - Jan. 10) (BR. 07A)
S-8 SCHOLASTIC CORP, 555 BROADWAY, NEW YORK, NY, 10012, 2123436100 -
2,000,000 ($66,000,000.00) Equity, (File 333-148599 - Jan. 10) (BR. 05C)
S-8 SCHOLASTIC CORP, 555 BROADWAY, NEW YORK, NY, 10012, 2123436100 -
500,000 ($16,500,000.00) Equity, (File 333-148600 - Jan. 10) (BR. 05C)
S-3 ROCKWELL MEDICAL TECHNOLOGIES INC, 30142 S WIXOM RD, WIXOM, MI, 48393,
2489609009 - 0 ($23,288,892.00) Equity, (File 333-148601 - Jan. 10)
(BR. 10C)
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 Certain Officers; Election of Directors;
Appointment of Certain Officers; Compensatory Arrangements of Certain 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
5.06 Change in Shell Company Status
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
---------------------------------------------------------------------------------------------------------
1-900 Jackpot, Inc. 5.02,8.01 08/29/07
1st Century Bancshares, Inc. DE 5.02,9.01 01/09/08
3DICON CORP 7.01,9.01 01/10/08
AAR CORP DE 8.01,9.01 01/08/08
ABC Funding, Inc 5.02 01/04/08
ABERCROMBIE & FITCH CO /DE/ DE 7.01,9.01 01/10/08
ACCEPTANCE INSURANCE COMPANIES INC DE 8.01,9.01 01/08/08
ACCO BRANDS CORP DE 1.01,2.03,9.01 01/09/08
ACUITY BRANDS INC DE 2.01,9.01 01/08/08
ADDVANTAGE TECHNOLOGIES GROUP INC OK 5.02,9.01 01/08/08
ADOLOR CORP 5.02 01/04/08
ALCOA INC PA 2.02,9.01 01/09/08
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 01/10/08
ALLIANCE SEMICONDUCTOR CORP /DE/ DE 8.01,9.01 01/09/08
ALONG MOBILE TECHNOLOGIES INC NV 5.02 12/17/07
AMERIANA BANCORP IN 8.01,9.01 01/09/08
American Caresource Holdings, Inc. DE 5.02 01/04/08
AMERICAN EAGLE OUTFITTERS INC DE 7.01,9.01 01/09/08
AMERICAN EXPRESS CO NY 2.02,7.01 01/10/08
AMERICAN SKIING CO /ME DE 1.01 12/31/07
AMERIGON INC MI 2.02,9.01 01/07/08
Animal Health International, Inc. DE 3.01,5.02,9.01 01/07/08
ANNTAYLOR STORES CORP DE 7.01,9.01 01/10/08
Ardea Biosciences, Inc./DE DE 1.01,9.01 01/04/08
ARENA PHARMACEUTICALS INC DE 1.01,3.02,8.01 01/08/08
ARIAD PHARMACEUTICALS INC DE 2.02,8.01,9.01 01/08/08
ARTFEST INTERNATIONAL INC DE 2.01,5.01,5.02,9.01 12/28/07
ASTA FUNDING INC DE 2.02,9.01 01/08/08
ATMI INC DE 1.01,7.01,9.01 01/04/08
AUROR CAPITAL CORP NV 4.01,9.01 09/26/07
AVNET INC NY 7.01,9.01 01/10/08
BANK JOS A CLOTHIERS INC /DE/ DE 7.01,9.01 01/10/08
BARNES & NOBLE INC DE 3.01 01/07/08
BARNES & NOBLE INC DE 2.02,7.01,9.01 01/10/08
BARRIER THERAPEUTICS INC DE 1.01 01/08/08
bebe stores, inc. CA 2.02,9.01 01/10/08
Beneficial Mutual Bancorp Inc X1 5.02 01/07/08
BIG 5 SPORTING GOODS CORP DE 2.02,9.01 01/10/08
BIG LOTS INC OH 8.01,9.01 01/09/08
BIOCRYST PHARMACEUTICALS INC DE 5.02,9.01 01/04/08
BLOUNT INTERNATIONAL INC DE 5.02,9.01 01/04/08
BLUE NILE INC DE 5.02 10/30/07 AMEND
BON TON STORES INC PA 7.01,9.01 01/10/08
BOOKHAM, INC. DE 2.02,7.01,9.01 01/10/08
BOSTON SCIENTIFIC CORP DE 8.01,9.01 01/04/08
Bronco Drilling Company, Inc. DE 7.01,9.01 01/10/08
BROOKFIELD HOMES CORP DE 2.02,9.01 01/08/08
BUFFETS HOLDINGS, INC. DE 1.01,8.01,9.01 01/09/08
BUTLER NATIONAL CORP DE 8.01,9.01 01/10/07
CABLE & CO WORLDWIDE INC DE 1.01 11/05/07
CALIPER LIFE SCIENCES INC DE 2.02,9.01 01/10/08
Calumet Specialty Products Partners, DE 1.01,9.01 01/10/08 AMEND
Cape Fear Bank CORP NC 7.01,9.01 01/10/08
CAPITAL CITY BANK GROUP INC FL 8.01 01/10/08
CAPITAL ONE FINANCIAL CORP DE 7.01,9.01 01/09/08
CAPITAL ONE FINANCIAL CORP DE 2.02,7.01,8.01,9.01 01/10/08
CAPITAL ONE MASTER TRUST NY 8.01,9.01 01/09/08
Cellu Tissue Holdings, Inc. DE 2.02,9.01 01/10/08
CHARMING SHOPPES INC PA 7.01,9.01 01/10/08
CHEVRON CORP DE 2.02 01/10/08
CHICOS FAS INC FL 7.01,9.01 01/10/08
CHILDRENS PLACE RETAIL STORES INC 7.01,9.01 01/10/08
CHINA CLEAN ENERGY INC DE 1.01,3.02,5.02,9.01 01/09/08
China Holdings Acquisition Corp. DE 4.01,9.01 01/09/08
CHROMCRAFT REVINGTON INC DE 5.05,9.01 01/04/08
CHURCH LOANS & INVESTMENTS TRUST TX 5.02 01/08/08
CINTAS CORP WA 1.01,9.01 01/09/08
CITIBANK CREDIT CARD ISSUANCE TRUST DE 8.01,9.01 01/08/08
CITIZENS COMMUNICATIONS CO DE 8.01,9.01 01/10/08
CITIZENS FIRST CORP KY 5.02 01/07/08
CLARKSTON FINANCIAL CORP 5.02,9.01 01/10/08
CleanTech Biofuels, Inc. 8.01 01/09/08
CMGI INC DE 5.02,9.01 01/04/08
COLE KENNETH PRODUCTIONS INC NY 8.01,9.01 01/10/08
COLUMBIA BANCORP \OR\ OR 2.02,9.01 01/10/08
COMMSCOPE INC DE 8.01,9.01 01/07/08
COMMUNITY FIRST INC TN 2.01,7.01,9.01 10/26/07
CONSTITUTION MINING CORP NV 1.01,9.01 01/08/08
CONTANGO OIL & GAS CO DE 1.01,9.01 01/04/08
CONTANGO OIL & GAS CO DE 1.01,9.01 01/07/08
CORDIA CORP NV 8.01 01/10/08
CRA INTERNATIONAL, INC. MA 2.02,9.01 01/10/08
CROWN CASTLE INTERNATIONAL CORP DE 1.01,9.01 01/08/08
CROWN NORTHCORP INC DE 4.01,9.01 01/09/08
CUBIST PHARMACEUTICALS INC DE 2.02,9.01 01/07/08
CUISINE SOLUTIONS INC DE 8.01,9.01 01/10/08
Danvers Bancorp, Inc. DE 8.01,9.01 01/08/08
DemandTec, Inc. DE 2.02,9.01 01/10/08
DENNYS CORP DE 2.02,9.01 01/10/08
DEXCOM INC 7.01,9.01 01/10/08
DEXTERITY SURGICAL INC DE 5.02 01/04/08
DILLARDS INC DE 7.01,9.01 01/10/08
DISCOVERY TECHNOLOGIES INC NV 2.01,9.01 01/02/08 AMEND
DRESS BARN INC CT 2.02,9.01 01/10/08
DRI CORP NC 1.01,9.01 01/07/08
Duke Energy Carolinas, LLC NC 8.01,9.01 01/07/08
DYNEGY INC. DE 5.02 01/07/08
EASTGROUP PROPERTIES INC MD 1.01,2.03,9.01 01/04/08
EASTMAN CHEMICAL CO DE 2.02 01/10/08
Eddie Bauer Holdings, Inc. DE 8.01,9.01 01/10/08
Eddie Bauer, Inc. DE 8.01,9.01 01/10/08
EDGEWATER TECHNOLOGY INC/DE/ DE 7.01,9.01 01/09/08
EGAIN COMMUNICATIONS CORP DE 2.02,9.01 01/10/08
EGAIN COMMUNICATIONS CORP DE 4.01,9.01 01/10/08
EGPI FIRECREEK, INC. NV 1.01,2.01,9.01 01/09/08
ELECTRO ENERGY INC FL 3.02,7.01,9.01 01/04/08
EMAK Worldwide, Inc. DE 7.01,9.01 01/07/08
Embarq CORP DE 8.01,9.01 01/09/08
ENERGY CONVERSION DEVICES INC DE 5.02,9.01 01/10/08
ENOVA SYSTEMS INC CA 7.01,9.01 01/10/08
EXAR CORP DE 5.02,9.01 01/06/08
FAMILY DOLLAR STORES INC DE 7.01,9.01 01/10/08
FAR EAST ENERGY CORP 1.02,5.02 01/07/08
FBL FINANCIAL GROUP INC IA 5.02,9.01 01/10/08
Federal Home Loan Bank of Atlanta X1 2.03 01/07/08
Federal Home Loan Bank of Boston X1 2.03 01/07/08
Federal Home Loan Bank of Chicago X1 2.03 01/07/08
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 01/07/08
Federal Home Loan Bank of Dallas 2.03 01/07/08
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 01/07/08
Federal Home Loan Bank of New York X1 2.03,9.01 01/07/08
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 01/07/08
Federal Home Loan Bank of San Francis X1 2.03 01/07/08
Federal Home Loan Bank of San Francis X1 5.02 01/04/08
Federal Home Loan Bank of Seattle 2.03 01/10/08
Federal Home Loan Bank of Topeka 2.03 01/08/08
FERRO CORP OH 1.01,2.03,9.01 01/04/08
FIDELITY D & D BANCORP INC PA 5.02,9.01 01/10/08
FINLAY ENTERPRISES INC /DE DE 2.02,9.01 01/10/08
FINLAY FINE JEWELRY CORP DE 2.02,9.01 01/10/08
FIRST CITIZENS BANC CORP /OH OH 8.01 01/10/08
FIRST GROWTH INVESTORS INC NV 5.03,9.01 01/09/08
FIRSTFED FINANCIAL CORP DE 5.03,9.01 01/10/08
FIRSTPLUS FINANCIAL GROUP INC NV 1.01,9.01 01/09/08
FX Real Estate & Entertainment Inc. DE 1.01,3.02,3.03,5.02,9.01 01/09/08
GAP INC DE 7.01,9.01 01/10/08
GCI INC AK 8.01 01/09/08
GENERAL COMMUNICATION INC AK 8.01 01/09/08
GLOBAL FOOD TECHNOLOGIES, INC. DE 4.01,9.01 12/06/07 AMEND
GOAMERICA INC DE 8.01,9.01 01/10/08
GOLDEN ENTERPRISES INC DE 8.01,9.01 01/10/08
GREENBRIER COMPANIES INC DE 5.02 01/07/08
GreenHunter Energy, Inc. DE 8.01,9.01 01/04/08
Grubb & Ellis Apartment REIT, Inc. MD 9.01 11/01/07 AMEND
Grubb & Ellis Healthcare REIT, Inc. MD 9.01 11/20/07 AMEND
Grubb & Ellis Healthcare REIT, Inc. MD 9.01 11/15/07 AMEND
Grubb & Ellis Healthcare REIT, Inc. MD 9.01 12/07/07 AMEND
GSI TECHNOLOGY INC 2.02,9.01 01/10/08
GUESS INC DE 7.01,9.01 01/09/08
GYMBOREE CORP DE 7.01 01/09/08
HANOVER GOLD CO INC DE 4.01,9.01 12/27/07
HARLEYSVILLE GROUP INC DE 1.01 01/07/08
HARRIS & HARRIS GROUP INC /NY/ NY 5.02 01/10/08
HARTFORD FINANCIAL SERVICES GROUP INC DE 2.02,9.01 01/09/08
HARTMARX CORP/DE DE 2.02,9.01 01/07/08
HAYES LEMMERZ INTERNATIONAL INC DE 5.02 01/07/08
HEALTHCARE TECHNOLOGIES LTD 3.01,9.01 01/10/08
HERSHA HOSPITALITY TRUST MD 1.01,9.01 01/04/08
HIGHLANDS BANKSHARES INC /WV/ WV 5.02 01/09/08
HOKU SCIENTIFIC INC DE 1.01 01/10/08
HOME FEDERAL BANCORP, INC. OF LOUISIA 7.01,9.01 01/09/08
Horne International, Inc. DE 5.02 01/09/08
HouseValues, Inc. WA 1.02 01/07/08
HUNTINGTON BANCSHARES INC/MD MD 2.02,9.01 01/10/08
I MANY INC DE 1.01 01/05/08
IHS Inc. DE 2.02,9.01 01/10/08
IMPLANT SCIENCES CORP MA 8.01 01/10/08
INLAND WESTERN RETAIL REAL ESTATE TRU MD 8.01,9.01 01/10/08
INNOVATIVE SOLUTIONS & SUPPORT INC PA 7.01,9.01 01/10/08
InterDigital, Inc. PA 8.01 01/08/08
INTRAWARE INC DE 2.02,9.01 01/10/08
INX Inc DE 7.01,9.01 01/10/08
Ivivi Technologies, Inc. NJ 8.01,9.01 01/10/08
JAMBA, INC. DE 2.02,9.01 01/10/08
JOE'S JEANS INC. DE 2.01,9.01 10/25/07 AMEND
JUNIPER NETWORKS INC DE 5.02 01/09/08
KELLWOOD CO DE 8.01 01/10/08
KOHLS CORPORATION WI 7.01,9.01 01/10/08
KONA GRILL INC DE 2.02,9.01 01/10/08
L-1 IDENTITY SOLUTIONS, INC. DE 1.01,3.02,8.01,9.01 01/05/08
LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 01/10/08
LASERCARD CORP DE 5.02 01/04/08
LINCOLN GOLD CORP NV 8.01,9.01 01/10/08
LOEWS CORP DE 7.01 01/10/08
LORAL SPACE & COMMUNICATIONS INC. DE 5.02,9.01 01/04/08
M I HOMES INC OH 7.01,9.01 01/10/08
MACRO Securities Depositor, LLC DE 8.01,9.01 01/04/08
MACRO Securities Depositor, LLC DE 8.01,9.01 01/04/08
MARINE PRODUCTS CORP DE 8.01,9.01 01/10/08
MERIX CORP OR 2.05 01/08/08
METROPCS COMMUNICATIONS INC DE 8.01,9.01 01/09/08
MICROS SYSTEMS INC MD 8.01 01/08/08
MONACO COACH CORP /DE/ DE 5.02 01/04/08
MORGAN STANLEY DE 8.01,9.01 01/04/08
Morgan Stanley Mortgage Loan Trust 20 DE 8.01,9.01 01/07/08
Morgan Stanley Mortgage Loan Trust 20 8.01,9.01 01/07/08
Morgan Stanley Mortgage Loan Trust 20 DE 8.01,9.01 01/07/08
Morgan Stanley Mortgage Loan Trust 20 DE 8.01,9.01 01/07/08
Morgan Stanley Mortgage Loan Trust 20 DE 8.01,9.01 01/07/08
Morgan Stanley Mortgage Loan Trust 20 DE 8.01,9.01 05/31/07
Morgan Stanley Mortgage Loan Trust 20 DE 8.01,9.01 01/07/08
Morningstar, Inc. IL 8.01,9.01 01/09/08
MOSAIC CO 2.02,9.01 01/09/08 AMEND
MPS GROUP INC FL 5.02,9.01 01/07/08
MSC INDUSTRIAL DIRECT CO INC NY 2.02,9.01 01/10/08
MSC INDUSTRIAL DIRECT CO INC NY 8.01,9.01 01/10/08
MSCI Inc. DE 2.02,9.01 01/10/08
MSGI SECURITY SOLUTIONS, INC NV 1.01,3.02,9.01 01/04/08
MTC TECHNOLOGIES INC DE 2.02,9.01 01/10/08
MUTUALFIRST FINANCIAL INC MD 8.01,9.01 01/09/08
Nalco Finance Holdings LLC 1.01,5.02,8.01 01/07/08
Nalco Holding CO 1.01,5.02,8.01 01/07/08
Nalco Holdings LLC DE 1.01,5.02,8.01 01/07/08
NANOMETRICS INC DE 2.05,5.02,9.01 01/07/08
NATIONAL BANK OF INDIANAPOLIS CORP IN 5.02 01/04/08
NBTY INC DE 2.02,9.01 01/08/08
NCR CORP MD 2.02,9.01 01/10/08
Neiman Marcus, Inc. DE 2.02,7.01 01/10/08
NEXPLORE CORP 8.01,9.01 01/04/08
Nexxus Lighting, Inc. DE 7.01,9.01 01/10/08
Nexxus Lighting, Inc. DE 8.01,9.01 01/10/08
NNN 2003 VALUE FUND LLC 9.01 10/25/07 AMEND
NOCOPI TECHNOLOGIES INC/MD/ MD 9.01 01/10/08
NORDSTROM INC WA 7.01 01/10/08
NOVAMED INC DE 5.02,9.01 01/07/08
NOVASTAR FINANCIAL INC MD 1.01,1.02,9.01 01/04/08
NOVASTAR FINANCIAL INC MD 5.02,9.01 12/18/07 AMEND
NOVEN PHARMACEUTICALS INC DE 8.01,9.01 01/10/08
NTS REALTY HOLDINGS LP DE 5.02 01/07/08
NxStage Medical, Inc. DE 1.01 01/10/08
NYER MEDICAL GROUP INC FL 8.01 01/08/08
ODYSSEY HEALTHCARE INC DE 7.01,9.01 01/09/08
OGE ENERGY CORP OK 8.01,9.01 01/10/08
OKLAHOMA GAS & ELECTRIC CO OK 8.01,9.01 01/10/08
OLD DOMINION ELECTRIC COOPERATIVE VA 5.02 01/08/08
Omniture, Inc. DE 8.01,9.01 12/13/07 AMEND
ONEOK INC /NEW/ OK 7.01,9.01 01/08/08
ONEOK Partners LP DE 7.01,9.01 01/08/08
Onstream Media CORP FL 8.01,9.01 01/10/08
OPHTHALMIC IMAGING SYSTEMS CA 7.01,9.01 01/09/08
OPNEXT INC 5.02 01/04/08
OPTIMER PHARMACEUTICALS INC 5.02 01/04/08
ORION ETHANOL, INC KS 4.01,9.01 01/10/08 AMEND
OXFORD INDUSTRIES INC GA 5.02,9.01 01/07/08
Pacific Copper Corp. DE 8.01,9.01 01/08/08
ParaFin CORP CO 3.02 01/09/08
PARAGON TECHNOLOGIES INC PA 8.01,9.01 01/10/08
PATRIOT NATIONAL BANCORP INC CT 8.01,9.01 01/10/08
PC TEL INC DE 2.01,5.02,9.01 01/04/08
PEERLESS SYSTEMS CORP DE 1.01,9.01 01/09/08
PEERLESS SYSTEMS CORP DE 1.01,9.01 01/09/08
PEERLESS SYSTEMS CORP DE 8.01,9.01 01/10/08
PENFORD CORP WA 2.02,9.01 01/09/08
Pet DRx CORP DE 1.01,2.01,2.02,2.03,3.03,4.01, 01/04/08
5.01,5.02,5.03
PetroHunter Energy Corp MD 1.01,9.01 01/04/08
PIER 1 IMPORTS INC/DE DE 8.01,9.01 01/10/08
PINNACLE AIRLINES CORP DE 7.01 01/10/08
PINNACLE BANKSHARES CORP VA 8.01,9.01 01/10/08
POINT THERAPEUTICS INC DE 3.01,9.01 01/10/08
PRICESMART INC DE 2.02,9.01 01/09/08
PRIMUS TELECOMMUNICATIONS GROUP INC DE 2.02,8.01,9.01 01/10/08
PRINCETON REVIEW INC DE 5.02 01/10/08
PROGENICS PHARMACEUTICALS INC DE 8.01,9.01 01/10/08
QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 1.01 01/04/08
QUESTCOR PHARMACEUTICALS INC CA 5.02 01/07/08
REHABCARE GROUP INC DE 7.01,9.01 01/09/08
REPROS THERAPEUTICS INC. DE 7.01,9.01 01/10/08
REPROS THERAPEUTICS INC. DE 1.01,3.01,9.01 01/09/08
REX ENERGY CORP DE 7.01,9.01 01/10/08
ROYAL GOLD INC DE 8.01,9.01 01/08/08
RPC INC DE 8.01,9.01 01/10/08
RUBY TUESDAY INC GA 2.02,9.01 12/04/07
RxElite, Inc. 1.01,2.01,3.02,9.01 01/04/08
SAKS INC TN 8.01,9.01 01/10/08
SAVANNAH BANCORP INC GA 7.01 01/09/08
SCHULMAN A INC DE 8.01,9.01 01/10/08
SENDTEC, INC. 8.01,9.01 01/07/08
SKRM Interactive, Inc. 1.01,1.02,3.02,3.03,4.01,8.01, 09/15/07
9.01
SKYWORKS SOLUTIONS INC DE 2.02,7.01,9.01 01/10/08
SLM Holdings, Inc. 5.02,9.01 01/09/08
SONGZAI INTERNATIONAL HOLDING GROUP I NV 5.03,9.01 01/10/08
SONICWALL INC CA 2.02,5.02 01/10/08
SOUTHERN FIRST BANCSHARES INC SC 5.03,9.01 10/16/07
SPECTRUM CONTROL INC PA 8.01 01/10/08
Starent Networks, Corp. DE 8.01,9.01 01/10/08
STRATS (SM) TRUST FOR JPMORGAN CHASE 8.01,9.01 01/02/08
STRATS SM TRUST FOR IBM CORP SEC SERI 8.01,9.01 12/31/07
Strats(SM) Trust for JPMorgan Chase C 8.01,9.01 01/02/08
STRATS(SM) Trust For Morgan Stanley S 8.01,9.01 01/02/08
SUB SURFACE WASTE MANAGEMENT OF DELAW DE 5.02 12/31/07
SUSQUEHANNA BANCSHARES INC PA 5.02 01/08/08
Symmetry Medical Inc. DE 5.02,8.01,9.01 01/04/08
SYMYX TECHNOLOGIES INC DE 5.02,7.01,9.01 01/08/08
SYNNEX CORP DE 2.02,5.02,9.01 01/07/08
SYNOVUS FINANCIAL CORP GA 5.02,9.01 01/10/08
SYNTEC BIOFUEL INC WA 5.02,9.01 11/01/07
SYSTEMAX INC DE 1.01,2.01,9.01 01/05/08
TALBOTS INC DE 1.01,9.01 01/04/08
TARGET CORP MN 8.01,9.01 01/09/08
TASKER PRODUCTS CORP DE 2.03,3.02 01/04/08
TELOS CORP MD 8.01 01/07/08
TERRA INDUSTRIES INC MD 1.01,9.01 01/09/08
TIME WARNER INC. DE 1.01,2.03,9.01 01/08/08
TOLLGRADE COMMUNICATIONS INC \PA\ PA 5.02,9.01 01/07/08 AMEND
TOWER BANCORP INC PA 8.01,9.01 01/10/08
TOWER BANCORP INC PA 2.02,9.01 01/10/08
TOYS R US INC DE 7.01,9.01 01/10/08
TRANS WORLD ENTERTAINMENT CORP NY 2.02,7.01,9.01 01/10/08
TRI VALLEY CORP DE 5.02 01/10/08
TRIDENT MICROSYSTEMS INC DE 5.02,9.01 01/09/08
TRIO TECH INTERNATIONAL CA 1.01 01/04/08
TRIZETTO GROUP INC DE 2.02,9.01 01/10/08
TUESDAY MORNING CORP/DE DE 2.02,9.01 01/10/08
TUMBLEWEED COMMUNICATIONS CORP DE 8.01,9.01 01/09/08
UNIFIRST CORP MA 5.02,5.03,9.01 01/08/08
UNITED BANCORP INC /MI/ MI 8.01,9.01 01/10/08
US BIODEFENSE INC UT 5.01,5.02,8.01,9.01 01/10/08
US DRY CLEANING CORP DE 8.01 01/03/08
USAA ACCEPTANCE LLC 8.01,9.01 01/10/08
VIASPACE Inc. NV 1.01 01/09/08
ViewPoint Financial Group X1 1.01,9.01 01/08/08
VIGNETTE CORP DE 5.02 01/10/08
VION PHARMACEUTICALS INC DE 8.01,9.01 01/08/08
VIRGINIA FINANCIAL GROUP INC VA 8.01,9.01 01/10/08
VISTA GOLD CORP 1.01,7.01,9.01 01/02/08
VIVUS INC CA 8.01,9.01 01/09/08
VOLTERRA SEMICONDUCTOR CORP 5.02,9.01 01/08/08
VSB BANCORP INC NY 2.02,9.01 01/10/08
W&T OFFSHORE INC TX 7.01,9.01 01/10/08
WALGREEN CO IL 5.02 01/07/08
WASHINGTON FEDERAL INC WA 2.02,7.01,9.01 01/08/08
WAUSAU PAPER CORP. WI 5.02,8.01,9.01 12/19/07
WELLMAN INC DE 5.02,9.01 01/08/08
WEST MARINE INC DE 2.02,2.06,9.01 01/08/08
WESTWOOD ONE INC /DE/ DE 5.02,9.01 01/08/08
WIFIMED HOLDINGS COMPANY, INC. NV 2.01,9.01 10/09/07
WSI INDUSTRIES, INC. MN 2.02,5.02,8.01,9.01 01/09/08
YTB International, Inc. NY 5.02,9.01 01/03/08
Znomics, Inc. NV 4.01,5.03,9.01 12/07/07 AMEND
http://www.sec.gov/news/digest/2008/dig011108.htm
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