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SEC NEWS DIGEST
Issue 2008-12 January 17, 2008
COMMISSION ANNOUNCEMENTS
COMMISSION MEETINGS
CLOSED MEETING - THURSDAY, JANUARY 24, 2008 - 2:00 P.M.
The subject matter of the closed meeting scheduled for Thursday,
January 24, will be: Formal orders of investigations; Institution and
settlement of injunctive actions; Institution and settlement of
administrative proceedings of an enforcement nature; A regulatory
matter regarding a financial institution; and Other matters related to
enforcement proceedings.
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.
NOTICE OF MEETING OF SEC ADVISORY COMMITTEE ON IMPROVEMENTS TO
FINANCIAL REPORTING
The Securities and Exchange Commission Advisory Committee on
Improvements to Financial Reporting is providing notice that it will
hold a public telephone conference meeting on Monday, Feb. 11, 2008,
beginning at 2:00 p.m. Members of the public may take part in the
meeting by listening to the webcast accessible on the Commission's Web
site at www.sec.gov or by calling telephone number (888) 830-6260 and
using code number 763960. Persons needing special accommodations to
take part because of a disability should notify a contact person
listed below.
The agenda for the meeting includes: (1) discussion and deliberation
of a draft progress report with developed proposals, conceptual
approaches and currently identified future considerations based on the
Committee's deliberations of the Draft Decision Memorandum presented
at its Jan. 11, 2008 meeting in the areas of substantive complexity,
standard setting, audit process and compliance and delivery of
financial information; (2) a vote on a proposal to publish the
Committee's draft progress report in final form to the Commission and
for public feedback; and (3) a discussion of next steps and planning
for the next meeting. The public is invited to submit written
statements for the meeting. (Rels. 33-8882; 34-57162; File No. 265-24)
ENFORCEMENT PROCEEDINGS
SEC CHARGES ERNESTO TAPANES WITH INSIDER TRADING IN CONNECTION WITH
ODYSSEY MARINE EXPLORATION, INC.'S DISCOVERY OF BLACK SWAN SHIPWRECK
Ernesto Tapanes Agrees to Settlement Including Permanent Injunction
and Payment of Disgorgement and a Civil Penalty Totaling Over $216,000
On January 17, the Commission filed a complaint against Ernesto
Tapanes in the U.S. District Court for the Southern District of
Florida alleging that he engaged in unlawful trading on the basis of
material, nonpublic information in the securities of Odyssey Marine
Exploration, Inc. (Odyssey Marine) before Odyssey Marine's May 18,
2007 announcement of its discovery of the Black Swan shipwreck, a find
valued at more than $500 million dollars.
The complaint alleges that on March 30, 2007, Tapanes, one of Odyssey
Marine's oceanographic surveying consultants, discovered an anomaly on
the ocean floor, while surveying off the coast of Gibraltar. Within
days of the discovery, Odyssey Marine confirmed that the anomaly was
an 18th century shipwreck, code-named the Black Swan, containing tons
of silver and gold coins. Shortly thereafter, Tapanes and others
signed a confidentiality agreement agreeing to keep the find
confidential and not to trade in Odyssey Marine stock. In breach of
his duty of trust and confidence, and while in possession of material,
nonpublic information about that discovery, Tapanes purchased Odyssey
Marine stock prior to Odyssey Marine's public announcement of the
discovery. The complaint further alleges that soon after Odyssey
Marine announced its discovery of the Black Swan on May 18, 2007,
Tapanes sold his entire Odyssey Marine position for a profit of more
than $107,000.
Tapanes has consented, without admitting or denying the allegations in
the complaint, to a final judgment permanently enjoining him from
violating Section 10(b) of the Securities Exchange Act of 1934 and
Rule 10b-5 thereunder, and ordering him to pay disgorgement of
$107,101.92, plus prejudgment interest of $2,151.56, and imposing a
civil penalty of $107,101.92, payable pursuant to a one-year payment
plan, with applicable post-judgment interest. [SEC v. Ernesto Tapanes,
Civil Action No. 08-60064-CIV-DIMITROULEAS (S.D. FL.)] (LR-20431A)
SEC SETTLES CIVIL INJUNCTIVE ACTION AGAINST MORRIS GAD
The Commission announced that a final judgment was entered on January
15 by the U.S. District Court for the Southern District of New York
against Morris Gad, an officer and principal shareholder of Almod
Diamonds, Inc., a family-owned jewelry retailer. Gad consented to the
entry of final judgment, without admitting or denying the allegations
of the Commission's complaint, except as to jurisdiction.
The complaint, which was filed Sept. 27, 2007, alleges that Nathan
Rosenblatt, a former director of NBTY, Inc., and member of its three-
person audit committee, tipped his close friend Gad with material,
nonpublic information concerning the company's significant revenue and
earnings shortfall for the third quarter of 2004, prior the company's
public release of its financial results. With this information in
hand, Gad sold his entire position of NBTY stock, sold the stock
short, purchased put contracts, and sold call contracts through the
custodial accounts of his three children prior to NBTY's release of
its 2004 third quarter financial results. In so doing, Gad made
approximately $400,000 in trading profits and losses avoided.
The final judgment against Gad permanently enjoins Gad from violating
the antifraud provisions of the federal securities laws, Section 10(b)
of the Exchange Act of 1934 and Rule 10b-5 thereunder, and Section
17(a) of the Securities Act of 1933, orders him to disgorge
$399,187.40, representing profits earned and losses avoided in trading
NBTY shares, to pay prejudgment interest of $97,718.87, and to pay a
civil penalty of $399,187.40. [SEC v. Morris Gad and Nathan
Rosenblatt, 07-CV-8385 (GEL) (S.D.N.Y.)] (LR-20432)
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A proposed rule change (SR-FINRA-2007-034) filed by the Financial
Industry Regulatory Authority relating to the dissemination of trade
reports for OTC Equity Securities transactions of fewer than 100
shares 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 21. (Rel. 34-57143)
A proposed rule change filed by the American Stock Exchange extending
the pilot program increasing position and exercise limits for options
on the iShares® Russell 2000® Index Fund (SR-Amex-2008-01) has become
immediately 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 21. (Rel. 34-57145)
A proposed rule change and Amendment No. 1 thereto filed by The NASDAQ
Stock Market to establish fees for members using the NASDAQ Pre-Trade
Risk Management Functionality (SR-NASDAQ-2008-003) 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 21. (Rel. 34-57146)
A proposed rule change and Amendment No. 1 thereto filed by The NASDAQ
Stock Market to modify fees for members using the Nasdaq Market Center
(SR-NASDAQ-2008-001) 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 21. (Rel.
34-57147)
A proposed rule change and Amendment No. 1 thereto filed by Boston
Stock Exchange relating to exchange fees and charges to be assessed in
connection with the implementation of an electronic registration
process (SR-BSE-2007-55) 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 21. (Rel.
34-57152)
A proposed rule change (SR-ISE-2008-04), as modified by Amendment No.
1 thereto, filed by the International Securities Exchange relating to
a fee waiver 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 21. (Rel. 34-57153)
A proposed rule change (SR-Amex-2008-03) filed by the American Stock
Exchange that provides for "Amex only" order and quotes 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 21. (Rel. 34-57154)
A proposed rule change (SR-NYSE-2007-120) filed by the New York Stock
Exchange to amend NYSE Rules 13, 60, and 1000 to allow for the
automatic execution of G-Quotes in the Display Book has become
effective under Section 19(b)(3)(A) under the Securities Exchange Act
of 1934. Publication is expected in the Federal Register during the
week of January 21. (Rel. 34-57156)
ACCELERATED APPROVAL OF PROPOSED RULE CHANGES
The Commission granted accelerated approval to a proposed rule change
(SR-Amex-2007-137), as modified by Amendment No. 1 thereto, filed by
the American Stock Exchange to amend Section 107D of the Amex Company
Guide. Publication is expected in the Federal Register during the week
of January 21. (Rel. 34-57148)
The Commission granted accelerated approval to a proposed rule change
(SR-Amex-2007-130), as modified by Amendment Nos. 1 and 2 thereto,
submitted by the American Stock Exchange relating to certain
modifications to the initial listing standards for Index-Linked
Securities, Commodity-Linked Securities, and Currency-Linked
Securities. Publication is expected in the Federal Register during the
week of January 21. (Rel. 34-57150)
AMENDMENT TO PROPOSED RULE CHANGE AND ACCELERATED APPROVAL OF PROPOSED
RULE CHANGE
The Commission noticed Amendment No. 3 to a proposed rule change and
granted accelerated approval to the proposed rule change (SR-BSE-2006-
16), as modified by Amendments No. 1 and 3 thereto, filed by the
Boston Stock Exchange to adopt a Universal Price Improvement Period
for public customer orders. Publication is expected in the Federal
Register during the week of January 21. (Rel. 34-57157)
APPROVAL OF PROPOSED RULE CHANGE
The Commission approved a proposed rule change (SR-NYSEArca-2007-120)
submitted by NYSE Arca relating to restrictions on acting as Market
Makers and Floor Brokers. Publication is expected in the Federal
Register during the week of January 21. (Rel. 34-57158)
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-1 Biodel Inc, 100 SAW MILL ROAD, DANBURY, CT, 06810, 203-796-5000 -
0 ($101,344,095.00) Equity, (File 333-148688 - Jan. 16) (BR. 01A)
SB-2 Concrete Leveling Systems Inc, 5046 East Boulevard NW, Canton, OH,
44718, (330) 494-5275 - 2,500,000 ($300,000.00) Equity,
(File 333-148690 - Jan. 16) (BR. 06)
S-4 SouthPeak Interactive CORP, 3130 FAIRVIEW PARK DRIVE, SUITE 500,
FALLS CHURCH, VA, 22042, (703) 373-3141 -
22,580,000 ($22,800,000.00) Equity, (File 333-148691 - Jan. 16) (BR. 09)
S-8 IRVINE SENSORS CORP/DE/, 3001 REDHILL AVE, COSTA MESA, CA, 92626,
7145498211 - 0 ($760,000.00) Equity, (File 333-148692 - Jan. 16)
(BR. 10B)
S-4 BOSP BANCSHARES, INC., 228 EAST MAIN STREET, SUN PRAIRIE, WI, 53590,
608-837-4511 - 1,200,000 ($42,768,000.00) Equity, (File 333-148693 -
Jan. 16) (BR. 07)
SB-2 Eternal Image Inc, 28800 ORCHARD LAKE ROAD , SUITE 130,
FARMINGTON HILLS, MI, 48334, (248) 932-3333 -
54,452,940 ($2,178,117.60) Equity, (File 333-148695 - Jan. 16) (BR. 09A)
SB-2 SKREEM RECORDS CORP, 11637 ORPINGTON STREET, ORLANDO, FL, 32817,
407 207 0400 - 2,000,000 ($1,000,000.00) Equity, (File 333-148697 -
Jan. 16) (BR. 11)
S-3 SECURITY BANK CORP, 4719 FORSYTH RD, MACON, GA, 31210, 4787226200 -
0 ($58,187,500.00) Unallocated (Universal) Shelf, (File 333-148698 -
Jan. 16) (BR. 07A)
S-3 Deerfield Capital Corp., 6250 NORTH RIVER ROAD, ROSEMONT, IL, 60018,
773-380-1600 - 0 ($256,694,520.64) Equity, (File 333-148703 - Jan. 16)
(BR. 08B)
S-8 ERIE INDEMNITY CO, 100 ERIE INSURANCE PL, ERIE, PA, 16530, 8148702000 -
1,239,361 ($62,153,954.15) Equity, (File 333-148705 - Jan. 16) (BR. 01A)
S-8 ACXIOM CORP, 1 INFORMATION WAY, P O BOX 8180, LITTLE ROCK, AR,
72203-0180, 5013421000 - 7,000,000 ($70,140,000.00) Equity,
(File 333-148708 - Jan. 16) (BR. 03A)
S-8 LaPorte Bancorp, Inc., 710 INDIANA AVENUE, LAPORTE, IN, 45350,
(219) 362-7511 - 0 ($1.00) Equity, (File 333-148709 - Jan. 16) (BR. 07C)
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
-------------------------------------------------------------------------------------------------------
99 CENTS ONLY STORES CA 5.02,9.01 01/11/08
ACUITY BRANDS INC DE 1.01,9.01 01/16/08
ACUITY BRANDS INC DE 5.02 01/10/08
AEROPOSTALE INC 8.01 01/15/08
AFFILIATED COMPUTER SERVICES INC DE 8.01 01/15/08
Agfeed Industries, Inc NV 8.01,9.01 01/15/08
AIRTRAX INC NJ 5.02,9.01 01/10/08
Akeena Solar, Inc. DE 1.01,2.03,9.01 01/11/08
ALABAMA POWER CO AL 8.01,9.01 01/08/07
Aldabra 2 Acquisition Corp. DE 8.01,9.01 01/16/08
Aleris, Inc. DE 2.01,9.01 01/11/08
ALLETE INC MN 2.03 01/15/08
ALTERNET SYSTEMS INC NV 8.01,9.01 01/16/08
AMBAC FINANCIAL GROUP INC DE 5.02,8.01,9.01 01/13/08
AMERICAN AIRLINES INC DE 2.02,9.01 01/16/08
AMERICAN APPAREL, INC DE 7.01,9.01 01/16/08
AMERICAN LOCKER GROUP INC DE 5.02,9.01 01/11/08
AMR CORP DE 2.02,9.01 01/16/08
ANALOG DEVICES INC MA 2.01,9.01 01/11/08
APOLLO GROUP INC AZ 7.01,9.01 01/16/08
Apple REIT Eight, Inc. VA 1.01,2.01,9.01 01/15/08
ASPEN TECHNOLOGY INC /DE/ DE 2.02,4.01,9.01 01/10/08
ATLANTIS PLASTICS INC FL 3.01,9.01 01/11/08
ATWOOD OCEANICS INC TX 7.01 01/16/08
AUDIOVOX CORP DE 2.01,9.01 01/03/08
AVANT IMMUNOTHERAPEUTICS INC DE 5.02 01/15/08
Avensys CORP NV 5.03,9.01 12/30/07
Averion International Corp. 5.02,8.01,9.01 01/10/08
BALLISTIC RECOVERY SYSTEMS INC MN 4.02,8.01,9.01 01/11/08
BANK OF THE OZARKS INC AR 2.02,7.01,9.01 01/15/08
Bear Stearns Structured Products Inc. DE 8.01,9.01 01/16/08
Beijing Logistic, Inc. NV 8.01,9.01 01/15/08
BEIJING MED PHARM CORP 9.01 10/31/07 AMEND
BENACQUISTA GALLERIES INC NV 1.01,5.01,5.02,9.01 01/11/08
BIOLARGO, INC. DE 1.01,9.01 01/10/08
BIW LTD CT 2.01,3.03,5.01,5.02,5.03,8.01, 01/16/08
9.01
BJS WHOLESALE CLUB INC DE 5.02 01/14/08
BOSTON CAPITAL REAL ESTATE INVESTMENT MD 5.01,9.01 01/15/08
CalAmp Corp. DE 7.01,9.01 01/16/08
CALGON CARBON CORPORATION DE 8.01 01/15/08
Candev Resource Exploration, Inc. 1.01,2.01,9.01 01/15/08
CAPSTONE TURBINE CORP DE 5.02 01/14/08
CASCADE FINANCIAL CORP DE 1.01,1.02,9.01 01/16/08
CASH SYSTEMS INC DE 5.02,7.01,9.01 01/11/08
CAVCO INDUSTRIES INC DE 8.01,9.01 01/16/08
CCF HOLDING CO GA 2.02,9.01 01/16/08
CENTURY BANCORP INC MA 2.02,9.01 01/15/08
CHARLOTTE RUSSE HOLDING INC 2.02,9.01 01/16/08
CHAUS BERNARD INC NY 1.01,9.01 01/16/08
Cheniere Energy Partners, L.P. DE 8.01,9.01 01/16/08
China Healthcare Acquisition Corp. DE 4.01,9.01 01/14/08
China VoIP & Digital Telecom Inc. NV 8.01,9.01 01/16/08
CHORDIANT SOFTWARE INC DE 5.02,9.01 01/10/08
CHUGACH ELECTRIC ASSOCIATION INC AK 5.02 01/11/08
Cinemark Holdings, Inc. DE 1.01,9.01 01/14/08
CNL INCOME PROPERTIES INC MD 9.01 11/30/07 AMEND
COLONY BANKCORP INC GA 2.02 01/16/08
COMMONWEALTH EDISON CO IL 1.01,2.03,9.01 01/16/08
Community Bancorp NV 8.01,9.01 01/11/08
COMMUNITY TRUST BANCORP INC /KY/ KY 2.02,7.01 12/31/07
COMPUWARE CORP MI 2.02,9.01 01/11/08
COMPUWARE CORP MI 2.02,9.01 01/11/08 AMEND
Comstock Homebuilding Companies, Inc. DE 3.01,9.01 01/09/08
COOPER TIRE & RUBBER CO DE 7.01 01/16/08
Copano Energy, L.L.C. DE 7.01,9.01 01/11/08
Copano Energy, L.L.C. DE 8.01,9.01 01/16/08
COURIER CORP MA 2.02,9.01 01/16/08
COX RADIO INC DE 7.01,9.01 01/16/08
CYGNE DESIGNS INC DE 3.01 01/14/08
DECORATOR INDUSTRIES INC PA 8.01 01/16/08
Deerfield Capital Corp. MD 2.06,5.02,7.01,8.01,9.01 12/21/07 AMEND
DIOMED HOLDINGS INC NV 7.01,9.01 01/16/08
Discover Card Execution Note Trust DE 1.01,9.01 01/16/08
DOCUMENT CAPTURE TECHNOLOGIES, INC. 5.03,8.01,9.01 12/26/07 AMEND
EACO CORP FL 8.01,9.01 12/20/07
EBAY INC DE 5.03 01/15/08
EFJ INC DE 3.01 01/14/08
Electronic Sensor Technology, Inc 3.02 01/11/08
ENER1 INC FL 5.02 01/15/08
ENLIVEN MARKETING TECHNOLOGIES CORP DE 2.01,9.01 01/16/08 AMEND
Epic Bancorp 8.01,9.01 01/16/08
ETHANEX ENERGY, INC. NV 3.03,8.01 01/11/08
EXACTECH INC FL 2.02,7.01,9.01 01/16/08
ExlService Holdings, Inc. DE 7.01 01/16/08
FARMERS & MERCHANTS BANCORP INC OH 5.02 01/10/08
FASTENAL CO MN 7.01,9.01 01/15/08
Federal Home Loan Bank of Indianapoli X1 2.02,9.01 01/15/08
FIDELITY BANCORP INC PA 2.02,8.01,9.01 01/16/08
Financial Media Group, Inc. NV 8.01,9.01 01/14/08
FIRST CAPITAL INC IN 8.01,9.01 01/16/08
FIRST FINANCIAL BANKSHARES INC TX 7.01,9.01 01/16/08
FIRST INTERSTATE BANCSYSTEM INC MT 1.01,1.02,2.01,2.03,3.02,9.01 01/10/08
FORD MOTOR CO DE 8.01,9.01 01/16/08
FORD MOTOR CO DE 8.01,9.01 01/16/08 AMEND
FORD MOTOR CREDIT CO LLC DE 8.01,9.01 01/16/08
FOX PETROLEUM INC. NV 8.01,9.01 01/10/08
FRANKLIN ELECTRIC CO INC IN 5.02,9.01 01/10/08
FREDERICK COUNTY BANCORP INC MD 2.02,7.01,9.01 01/16/08
FULLER H B CO MN 2.02,9.01 01/15/08
FutureFuel Corp. DE 5.02 01/15/08
GAMETECH INTERNATIONAL INC DE 2.02,9.01 01/14/08
GENTA INC DE/ DE 1.01 11/19/07
GLOBAL ENTERTAINMENT CORP NV 2.02,9.01 01/14/08
GOAMERICA INC DE 1.01,2.01,2.03,3.02,5.02,5.03, 01/10/08
9.01
GOLD CREST MINES INC 5.02 01/15/08
GREATER COMMUNITY BANCORP NJ 2.02,7.01,9.01 01/16/08
GROEN BROTHERS AVIATION INC /UT/ UT 5.02 01/11/08
H&R BLOCK INC MO 1.01 01/10/08
HAYES LEMMERZ INTERNATIONAL INC DE 2.02,7.01,9.01 01/16/08
HI TECH PHARMACAL CO INC NY 8.01 01/16/08
Highland Distressed Opportunities, In 7.01,9.01 01/16/08
HIGHLANDS BANKSHARES INC /VA/ VA 2.04 01/15/08
HUIHENG MEDICAL, INC. NV 3.03,9.01 01/15/08
Hybrid Technologies Inc. NV 4.01,5.03,9.01 01/11/08
HydroGen CORP NV 1.01,8.01,9.01 01/11/08
IGI INC DE 9.01 11/27/06 AMEND
Ignis Petroleum Group, Inc. 1.02 12/21/07
IKON OFFICE SOLUTIONS INC OH 2.02,9.01 01/10/08
India Globalization Capital, Inc. MD 1.01,2.03,3.02,9.01 01/08/08
Information Services Group Inc. DE 3.01,9.01 01/16/08
INFORMEDIX HOLDINGS INC NV 5.02 01/10/08
INKSURE TECHNOLOGIES INC. DE 1.01,9.01 01/16/08
INLAND WESTERN RETAIL REAL ESTATE TRU MD 8.01,9.01 01/14/08
INNOVATIVE SOFTWARE TECHNOLOGIES INC CA 5.03,9.01 01/04/08
INTELLON CORP DE 8.01 01/11/08
InterAmerican Acquisition Group Inc 4.01,9.01 01/16/08
INVACARE CORP OH 5.02,7.01,9.01 01/16/08
IONA TECHNOLOGIES PLC 2.05,5.02,7.01,9.01 01/11/08
IVANHOE ENERGY INC 5.02 12/19/07
IVANY MINING INC DE 3.02 01/14/08
J P MORGAN CHASE & CO DE 2.02,9.01 01/16/08
J P MORGAN CHASE & CO DE 9.01 01/14/08
Jake's Trucking International, Inc. NV 8.01,9.01 01/14/08
JAMBA, INC. DE 7.01,9.01 01/16/08
JK Acquisition Corp. 7.01,8.01,9.01 01/11/08
JONES SODA CO WA 7.01,9.01 01/16/08
KAYNE ANDERSON ENERGY DEVELOPMENT CO MD 8.01,9.01 01/16/08
KINDER MORGAN ENERGY PARTNERS L P DE 2.02,9.01 01/16/08
KLONDIKE STAR MINERAL CORP DE 3.02 01/11/08
KNIGHT CAPITAL GROUP, INC. DE 2.02,7.01,9.01 01/16/08
KODIAK ENERGY, INC. DE 8.01,9.01 01/16/08
KOSAN BIOSCIENCES INC CA 8.01,9.01 01/15/08
KROGER CO OH 8.01,9.01 01/16/08
LAS VEGAS SANDS CORP NV 1.02,8.01 01/15/08
LECROY CORP DE 2.02,9.01 01/16/08
LEHMAN BROTHERS HOLDINGS INC DE 9.01 01/11/08
LEUCADIA NATIONAL CORP NY 1.01 01/10/08
Liberty Global, Inc. 7.01 01/16/08
LifeCare Holdings, Inc. DE 5.02,9.01 01/14/08
LINEAR TECHNOLOGY CORP /CA/ DE 2.02,9.01 01/15/08
Live Nation, Inc. DE 8.01 01/11/08
LORAL SPACE & COMMUNICATIONS INC. DE 1.01,5.02,9.01 01/10/08
LUNA INNOVATIONS INC 5.02 01/16/08
MAP Pharmaceuticals, Inc. DE 8.01,9.01 01/16/08
MARVELL TECHNOLOGY GROUP LTD D0 5.02 01/11/08
MEDIANET GROUP TECHNOLOGIES INC NV 3.02 12/26/07 AMEND
MEDIS TECHNOLOGIES LTD DE 8.01,9.01 01/14/08
MERIDIAN INTERSTATE BANCORP INC MA 8.01,9.01 01/15/08
MERIT MEDICAL SYSTEMS INC UT 2.02,9.01 01/15/08
MERIT MEDICAL SYSTEMS INC UT 7.01 01/15/08
MERRILL LYNCH & CO INC DE 3.02,3.03,5.03,9.01 01/15/08
META FINANCIAL GROUP INC DE 4.01,9.01 01/15/08
METLIFE INC DE 8.01,9.01 01/11/08
Mezey Howarth Racing Stables, Inc. NV 8.01 01/10/08
Mezey Howarth Racing Stables, Inc. NV 8.01 01/10/08 AMEND
MIDDLEFIELD BANC CORP OH 8.01 01/08/08
MIDWEST AIR GROUP INC WI 2.05,2.06,8.01,9.01 01/16/08
MORTONS RESTAURANT GROUP INC DE 8.01,9.01 01/15/08
MOST HOME CORP NV 1.01,2.01,2.03,3.02,8.01,9.01 01/11/08
MSB FINANCIAL CORP. X1 8.01 01/15/08
MTR GAMING GROUP INC DE 2.02,9.01 01/16/08
NASHUA CORP MA 8.01,9.01 01/16/08
Naugatuck Valley Financial Corp X1 8.01,9.01 01/16/08
NBT BANCORP INC DE 2.02,9.01 01/15/08
NEPHROS INC DE 8.01,9.01 01/16/08
NETBANK INC GA 8.01,9.01 01/11/08
NEW ENGLAND REALTY ASSOCIATES LIMITED MA 8.01,9.01 01/15/08
New Life Scientific, Inc. 1.01,2.01,5.02,8.01,9.01 01/15/08
NEWPOWER HOLDINGS INC DE 8.01,9.01 01/15/08
NOBLE CORP 7.01,9.01 01/16/08
NORTH POINTE HOLDINGS CORP 5.02,9.01 11/02/07
NORTHERN TRUST CORP DE 2.02,9.01 01/16/08
NORTHSTAR ELECTRONICS INC DE 4.01,9.01 01/15/08
NYSE Euronext DE 1.01,9.01 01/12/08
OHIO VALLEY BANC CORP OH 8.01,9.01 01/15/08
OHIO VALLEY BANC CORP OH 8.01,9.01 01/15/08
ONEOK Partners LP DE 8.01,9.01 01/16/08
Organic To Go Food CORP DE 2.02,9.01 01/16/08
Organic To Go Food CORP DE 7.01,9.01 01/16/08
PAR PHARMACEUTICAL COMPANIES, INC. DE 1.01 01/16/08
PARK NATIONAL CORP /OH/ OH 5.02 01/16/08
PARKWAY PROPERTIES INC MD 5.02 01/14/08
PARTNERRE LTD 2.02,9.01 01/16/08
PENN NATIONAL GAMING INC PA 8.01 01/16/08
PENN TREATY AMERICAN CORP PA 4.02,9.01 01/10/08
PFF BANCORP INC DE 8.01,9.01 01/15/08
PIERRE FOODS INC NC 2.02,9.01 01/15/08
PINNACLE ENTERTAINMENT INC DE 2.03 01/10/08
PLAINS ALL AMERICAN PIPELINE LP DE 7.01 01/16/08
PLATINA ENERGY GROUP INC. DE 2.03,3.02,9.01 01/15/08
PLUMAS BANCORP CA 8.01,9.01 01/16/08
POSSIS MEDICAL INC MN 7.01,9.01 01/16/08
POSSIS MEDICAL INC MN 7.01,9.01 01/16/08
PROCERA NETWORKS INC NV 2.05 01/10/08
PROGRESSIVE CORP/OH/ OH 2.02,9.01 01/16/08
PROVIDENCE & WORCESTER RAILROAD CO/RI RI 1.01,9.01 01/10/08
PROVIDENT BANKSHARES CORP MD 2.02,9.01 01/16/08
PROXIM WIRELESS CORP DE 1.01,1.02,5.02,9.01 01/14/08
PUBLICARD INC PA 7.01 01/09/08
RAM ENERGY RESOURCES INC DE 9.01 12/05/07 AMEND
RED ROBIN GOURMET BURGERS INC DE 2.02,9.01 01/16/08
RED ROCK PICTURES HOLDINGS, INC 5.02 01/04/08
RedRoller Holdings, Inc. DE 7.01,9.01 01/16/08
Regency Energy Partners LP DE 1.01,2.01,2.03,3.02,5.03,8.01, 01/15/08
9.01
RENASANT CORP MS 2.02,9.01 01/15/08
REPLIGEN CORP DE 5.02 01/14/08
RIVER VALLEY BANCORP IN 2.02,9.01 01/15/08
RR Donnelley & Sons Co DE 5.02 01/10/08
RxElite, Inc. 1.01,1.02,5.02,9.01 01/11/08
SALEM COMMUNICATIONS CORP /DE/ DE 8.01,9.01 01/16/08
SANDY SPRING BANCORP INC MD 5.02 01/10/08
SANMINA-SCI CORP DE 2.02,9.01 01/16/08
SATELLITE SECURITY CORP NV 2.01,3.02,5.01,5.02,5.06,9.01 12/31/07
SCHWAB CHARLES CORP DE 2.02,9.01 01/16/08
Secure America Acquisition CORP DE 8.01,9.01 01/16/08
SECURITY FEDERAL CORP SC 2.02,9.01 01/15/08
Silver State Bancorp 8.01,9.01 01/14/08
Silver State Bancorp 5.02 12/19/07 AMEND
SIX FLAGS, INC. DE 7.01,9.01 01/16/08
SOLAR ENERTECH CORP NV 1.01,3.02,9.01 01/11/08
Southern Trust Securities Holding Cor 5.03 01/15/08
SPARTA INC /DE DE 1.01,5.04,9.01 01/15/08
SPEEDWAY MOTORSPORTS INC DE 1.01,2.01,2.03,8.01,9.01 01/10/08
SPORT SUPPLY GROUP, INC. DE 7.01,9.01 01/15/08
STANDARD MANAGEMENT CORP IN 1.01,1.02,9.01 12/21/07
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 01/15/08
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 01/15/08
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 01/15/08
STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 01/15/05
STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 01/15/08
SUN MICROSYSTEMS, INC. DE 2.02,9.01 01/16/08
SUNOVIA ENERGY TECHNOLOGIES INC 1.01,3.02,9.01 01/09/08
SUNPOWER CORP CA 1.01,7.01,9.01 01/10/08
Surfect Holdings, Inc NV 1.01,3.02,5.02,9.01 01/10/08
Surfect Holdings, Inc NV 3.02 11/30/07 AMEND
SWMX, INC. DE 2.04,5.02 01/11/08
SWS GROUP INC DE 8.01,9.01 01/15/08
SYNTROLEUM CORP DE 1.01,9.01 01/10/08
TEAMSTAFF INC NJ 2.02,9.01 01/15/08
Texas Roadhouse, Inc. DE 5.02 01/14/08
TheRetirementSolution.com, Inc. UT 1.01,2.01,3.02,5.01,9.01 01/15/08
THERMAGE INC DE 2.02,9.01 01/16/08
THERMODYNETICS INC DE 8.01,9.01 01/16/08
THORNBURG MORTGAGE INC MD 5.03,8.01,9.01 01/14/08
TOUSA INC DE 8.01 01/15/08
TOWN SPORTS INTERNATIONAL HOLDINGS IN DE 5.02,9.01 01/14/08
TRAFFIX INC DE 8.01,9.01 01/11/08
TRUE RELIGION APPAREL INC NV 5.02 01/10/08
TVIA INC DE 4.02 01/11/08
U S ENERGY SYSTEMS INC DE 1.01,1.03,2.04,3.01,8.01,9.01 01/09/08
UAP HOLDING CORP DE 8.01,9.01 01/16/08
UNICORP INC /NEW NV 4.01,9.01 01/14/08
UNIFY CORP DE 8.01,9.01 01/15/08
UNIPROP MANUFACTURED HOUSING COMMUNIT MI 8.01 01/16/08
UNITY HOLDINGS INC GA 5.02 01/01/08
UNIVERSAL TECHNICAL INSTITUTE INC DE 5.02,9.01 01/14/08
URS CORP /NEW/ DE 5.02,7.01,9.01 01/16/08
US Energy Initiatives CORP GA 4.01,5.03,9.01 01/11/08
VALIDUS HOLDINGS LTD 7.01,9.01 01/16/08
VASCO DATA SECURITY INTERNATIONAL INC DE 5.02,9.01 01/09/08 AMEND
VCAMPUS CORP DE 1.01 01/09/08
VERINT SYSTEMS INC 7.01 01/16/08
VERTICALNET INC PA 8.01,9.01 01/15/08
VIA Pharmaceuticals, Inc. DE 8.01,9.01 01/16/08
Virgin Mobile USA, Inc. DE 5.02 01/10/08
VISTACARE, INC. DE 1.01 01/15/08 AMEND
Volcom Inc 2.02,7.01,9.01 01/16/08
WELLS FARGO & CO/MN DE 2.02,9.01 01/16/08
WEST COAST BANCORP /NEW/OR/ OR 2.02,9.01 01/15/08
WHERIFY WIRELESS INC DE 5.02 01/10/08
WHISPERING OAKS INTERNATIONAL INC A1 1.01 01/09/08
XCEL ENERGY INC MN 8.01,9.01 01/16/08
XENOPORT INC DE 8.01 01/15/08 AMEND
YTB International, Inc. NY 7.01,9.01 01/12/08
http://www.sec.gov/news/digest/2008/dig011708.htm
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