 |
|
SEC NEWS DIGEST
Issue 2007-146 July 31, 2007
COMMISSION ANNOUNCEMENTS
SEC CHAIRMAN COX ANNOUNCES MEMBERS OF ADVISORY COMMITTEE ON
IMPROVEMENTS TO FINANCIAL REPORTING; COMMITTEE TO HOLD FIRST MEETING
ON AUGUST 2
On July 31, Securities and Exchange Commission Chairman Christopher
Cox announced the appointment of the following members to the SEC
Advisory Committee on Improvements to Financial Reporting. The
advisory committee, established last month, will hold its first
meeting on Thursday, Aug. 2, at 10 a.m. at the SEC's Washington D.C.
headquarters.
Denny Beresford, Ernst & Young Executive Professor of Accounting, J.M.
Tull School of Business, University of Georgia, Athens, Ga. Mr.
Beresford is a member of the boards of directors and chairman of the
audit committees of Fannie Mae, Kimberly-Clark Corporation and Legg
Mason, Inc. He was the chairman of the Financial Accounting Standards
Board from 1987 to 1997. Mr. Beresford will represent Fortune 500
audit committees.
Susan Bies, was a Federal Reserve Board Governor from 2001 to 2007.
Before becoming a member of the Federal Reserve Board, Dr. Bies was
Executive Vice President for Risk Management and Auditor at First
Tennessee National Corporation in Memphis, Tenn. Dr. Bies will
represent banking regulators.
J. Michael Cook, retired Chairman and Chief Executive Officer of
Deloitte & Touche LLP. Mr. Cook is a member of the boards of directors
and chairs the audit committees of Burt's Bees Inc., Comcast
Corporation, and Eli Lilly and Company, and is a member of the board
of directors and chairs the compensation committee of International
Flavors and Fragrances. Mr. Cook will represent Fortune 500 audit
committees.
Jeffrey J. Diermeier, President and Chief Executive Officer, CFA
Institute, Charlottesville, Va. Prior to joining CFA Institute, Mr.
Diermeier was global chief investment officer at UBS Global Asset
Management. Mr. Diermeier will represent investment professionals.
Scott C. Evans, Executive Vice President, Asset Management, TIAA-CREF,
New York, N.Y., and Chief Executive Officer of TIAA-CREF's investment
advisory subsidiaries Teachers Advisors, Inc. and TIAA-CREF Investment
Management LLC. Mr. Evans is responsible for development of TIAA-
CREF's investment products and oversight of the company's more than
$380 billion in assets under management. Mr. Evans will represent
pension funds.
Linda Griggs, Partner, Morgan Lewis, Washington, D.C. Ms. Griggs will
represent securities attorneys.
Joseph A. Grundfest, William A. Franke Professor of Law and Business,
Stanford Law School, Stanford, Calif., and co-director of the Rock
Center on Corporate Governance at Stanford University. Mr. Grundfest
joined Stanford's faculty in 1990 after serving for more than four
years as an SEC Commissioner. Mr. Grundfest will represent securities
attorneys.
Greg Jonas, Managing Director, Moody's Investors Service, New York,
N.Y. Mr. Jonas joined Moody's from Andersen, where he led the
technical functions that supported Andersen's worldwide financial
assurance practice. In the 1990s, Mr. Jonas served as the Executive
Director of the AICPA Special Committee on Financial Reporting. Mr.
Jonas will represent credit rating agencies.
Christopher Liddell, Chief Financial Officer, Microsoft Corporation,
Redmond, Wash. Mr. Liddell is responsible for leading Microsoft's
worldwide finance organization and overseeing accounting and
reporting, strategic planning and analysis, treasury, tax, audit and
investor relations. Before joining Microsoft, Mr. Liddell was Chief
Financial Officer of International Paper Co. Previously, he was Chief
Executive Officer of Carter Holt Harvey Ltd., New Zealand's second-
largest listed company. Mr. Liddell will represent Fortune 500
technology companies.
William H. Mann, III, Senior Investment Analyst, Motley Fool,
Alexandria, Va., and the lead advisor for "Motley Fool Global Gains,"
an investment newsletter service focused on identifying market-beating
international stocks. Mr. Mann will represent individual investors.
G. Edward McClammy, Senior Vice President, Chief Financial Officer and
Treasurer, Varian, Inc., a global technology company in Palo Alto,
Calif., that builds leading-edge tools and solutions for diverse,
high-growth applications in life science and industry. Prior to
joining Varian, Mr. McClammy served in various management roles at
Quantum and Lucky Stores, Inc. Mr. McClammy also has worked for Price
Waterhouse and the FASB. Mr. McClammy will represent mid-size
companies.
Edward E. Nusbaum, Executive Partner and Chief Executive Officer,
Grant Thornton, LLP, Chicago, Ill. Before becoming CEO, Mr. Nusbaum
served as the firm's National Managing Partner of Professional
Services, Managing Partner of the Philadelphia Office and National
Director of Assurance Services based in New York. Mr. Nusbaum will
represent auditors of mid-size and smaller public companies.
James H. Quigley, Chief Executive Officer, Deloitte Touche Tohmatsu,
New York, N.Y. Mr. Quigley previously served as Chief Executive
Officer of Deloitte & Touche USA LLP. Mr. Quigley will represent
auditors of large and multi-national public companies.
Robert C. Pozen, Chairman, MFS Investment Management, which manages
more than $200 billion in assets for more than five million investors
worldwide. Mr. Pozen also is an independent director of Medtronics and
serves on the audit committees. Mr. Pozen was formerly vice chairman
of Fidelity Investments, sponsor of the Fidelity funds. Prior to
joining Fidelity, Mr. Pozen served as Associate General Counsel for
the SEC. He will represent mutual funds.
David Sidwell, Chief Financial Officer, Morgan Stanley, New York, N.Y.
Prior to joining Morgan Stanley, Mr. Sidwell spent nine years at
PricewaterhouseCoopers and 20 years at JPMorgan Chase & Co. Mr.
Sidwell will represent securities broker-dealers.
Peter J. Wallison, Senior Fellow, American Enterprise Institute for
Public Policy Research, and co-director of AEI's program on Financial
Market Deregulation. Before joining AEI, he practiced banking,
corporate and financial law at Gibson, Dunn & Crutcher in Washington,
D.C. Mr. Wallison also has served as General Counsel of the U.S.
Department of the Treasury, General Counsel to the Depository
Institutions Deregulation Committee, White House counsel to President
Ronald Reagan and counsel to Vice President Nelson Rockefeller. Mr.
Wallison will represent proponents of interactive data for financial
reporting.
Thomas Weatherford, serves on the boards of directors of Synplicity
Inc., Tesco Corporation, Advanced Analogic Technologies, SMART Modular
Technologies, Mellanox Technologies and several private companies. Mr.
Weatherford retired in January 2003 as Executive Vice President and
Chief Financial Officer of Business Objects S.A. Mr. Weatherford will
represent small and mid-size company audit committees.
Chairman Cox said, "I am pleased that this exceptionally distinguished
group will advise the Commission and the nation on how our
increasingly complex financial reporting system can be tamed and made
more useful for everyone who relies on it. The committee members each
represent key constituencies in our capital markets. I know we can
count on them to thoroughly study these issues and recommend
improvements that will keep America's financial reporting system as
the gold standard for the world."
Chairman Cox previously announced the appointment of Robert C. Pozen,
chairman of MFS Investment Management and former vice chairman of
Fidelity Investments, as chairman of the advisory committee. Mr. Pozen
will be joined by these 16 other members representing investors,
companies, and various other entities within the securities markets.
Chairman Cox also announced today that five others will serve as
official observers of the advisory committee, representing the
Financial Accounting Standards Board (FASB), Public Company Accounting
Oversight Board (PCAOB), U.S. Department of the Treasury,
International Accounting Standards Board, and federal banking
regulators. They are:
Robert Herz, Chairman, Financial Accounting Standards Board, Norwalk,
Conn.
Charles Holm, Associate Director and Chief Accountant, Banking
Supervision and Regulation, Federal Reserve Board.
Phil Laskawy, Chairman of the Trustees, International Accounting
Standards Committee Foundation, which oversees the International
Accounting Standards Board, London, U.K.
Mark Olson, Chairman, Public Company Accounting Oversight Board,
Washington, D.C.
Kristen E. Jaconi, Senior Policy Advisor to the Under Secretary for
Domestic Finance, U.S. Department of the Treasury
The advisory committee will examine the U.S. financial reporting
system and provide recommendations about how to improve its usefulness
for investors and reduce unnecessary complexity for U.S. companies.
As financial reporting has become more complex, many investors have
expressed concerns that it is often difficult to understand the
financial reports of companies in which they invest. Likewise,
companies have expressed concerns that it is difficult to ensure
compliance with U.S. GAAP and SEC reporting rules when preparing
financial reports. In fact, during 2006, almost 10 percent of U.S.
public companies had to restate prior financial reports due to the
discovery of errors in those reports. Restatements are costly to
companies, and undermine the confidence of investors in the financial
reporting system.
As part of its consideration of these areas, the advisory committee
will explore ways to redesign the financial reporting system to take
advantage of interactive data and the XBRL computer language for
financial reporting. These new technologies, the SEC believes, can
help address accounting complexity by making financial information
more useful to investors and others who use it.
Further information about the advisory committee and its initial
meeting is available on the SEC's Web site at:
http://www.sec.gov/about/offices/oca/acifr.shtml. (Press Rel. 2007-
154)
SEC CHAIRMAN COX APPOINTS KRISTIN KAEPPLEIN DIRECTOR OF THE OFFICE OF
INVESTOR EDUCATION AND ADVOCACY; ANNOUNCES EXPANSION OF THE OFFICE
On July 31, Securities and Exchange Commission Chairman Christopher
Cox announced that Ms. Kristin J. Kaepplein, Vice President for Global
Compliance Operations at Goldman Sachs, will be joining the SEC as
Director of the Office of Investor Education and Advocacy.
Chairman Cox also announced significant new responsibilities for the
Office, formerly known as the Office of Investor Education and
Assistance.
"I am extraordinarily pleased that Kristi has agreed to join the
Commission at a time when we are facing so many issues important to
retail investors," Chairman Cox said. "Her demonstrated passion about
issues important to investors, as well as her deep knowledge of the
financial services industry and extensive management experience, will
make her an excellent advocate within the Commission for issues that
retail investors care about."
Chairman Cox also announced a significant expansion of the Office. Two
new organization units will be formed within the Office: the Office of
Policy and Investor Outreach and the Office of Investor Education. The
Office of Policy and Investor Outreach will focus on assessing the
views and needs of retail investors and ensuring that those views
inform the Commission's regulatory policies and disclosure programs.
The Office of Investor Education will be devoted to improving
financial literacy and helping investors make informed investment
decisions.
These two new organizational components will join the existing Office
of Investor Assistance and the Office of the Freedom of Information
Act.
The Office of Investor Education and Advocacy each year has contact
with tens of thousands of individual American investors through its
investor assistance and education programs. As a result of the
knowledge and experience gained through these programs, the Office is
able to provide invaluable advice to the Commission on how to advance
the interests of America's investors. The Office also plays an
important role in the Commission's key initiatives aimed at retail
investors - including using "interactive data" to make disclosure more
useful to investors, helping senior citizens to guard against
securities fraud, and standing up for investors who want disclosures
in 'plain English' and easily available on the Internet.
"Expanding the responsibilities of the Office of Investor Education
and Advocacy will help the Commission stay firmly focused on its work
to put individual investors first," Chairman Cox said.
Prior to arriving at Goldman Sachs in 2004, Ms. Kaepplein worked with
many of the financial services industry's largest broker-dealers and
investment managers as a management consultant with
PricewaterhouseCoopers and TIAA-CREF, and as self-employed contractor.
In 2000, Ms. Kaepplein created Investor's Bullhorn, a company focused
on using the Internet to provide online investor services, including
proxy voting recommendations, fill-in-the-blank shareholder proposals,
and a forum for shareholders to nominate director-candidates from
among their own ranks. Ms. Kaepplein received her B.A. from Georgetown
and her MBA from the University of Pennsylvania's Wharton School of
Business.
"I am looking forward to this opportunity to serve individual
investors and advocate their needs and interests within the
Commission," Ms. Kaepplein said. "This effort to further expand SEC
outreach to retail investors will help even better provide them with
the valuable information and protections they need to invest wisely,
avoid fraud, and secure their financial futures as families plan and
save for their education, health care and retirement needs."
Ms. Kaepplein will begin work at the SEC on Aug. 6, 2007. (Press Rel.
2007-153)
ENFORCEMENT PROCEEDINGS
IN THE MATTER OF WILLIAM STICKNEY
On July 30, 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, Making
Findings, and Imposing Remedial Sanctions against William M. Stickney.
The Order finds that Stickney, a former assistant regional vice
president at New England Financial (NEF) and an associated person at a
New England Financial subsidiary registered with the Commission as a
broker-dealer and investment adviser, consented to a final judgment in
United States District Court for the District of Massachusetts
permanently enjoining him from future violations of Section 17(a) of
the Securities Act of 1933, Sections 10(b) and 13(b)(5) of the
Exchange Act of 1934 and Rules 10b-5 and 13b2-1 thereunder, and
Section 34(b) of the Investment Company Act and from aiding and
abetting violations of Sections 13(a), 13(b)(2)(A) and 13(b)(2)(B) of
the Exchange Act and Rules 13a-1, 13a-11, 13a-13, and 12b-20
thereunder. The Order found that, from at least 1998 through August
2003, Stickney engaged in a fraudulent scheme at NEF to hide expenses
and improperly reclassified certain NEF expenses as commissions, which
led directly to the publication of materially false financial
statements by NEF and its parent, MetLife, Inc.
Based on the above, the Order suspended Stickney from association with
any broker, dealer, or investment adviser for a period of twelve
months. Stickney consented to the issuance of the Order without
admitting or denying any of the findings in the Order. (Rels. 34-
56168; IA-2625; File No. 3-12717)
SEC INSTITUTES SETTLED CEASE-AND-DESIST PROCEEDINGS AGAINST ASPEN
TECHNOLOGY, INC. FOR VIOLATIONS OF THE ANTIFRAUD, INTERNAL CONTROLS,
BOOKS AND RECORDS AND REPORTING PROVISIONS OF THE FEDERAL SECURITIES
LAWS
On July 31, the Commission issued an Order Instituting Cease-and-
Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist
Order Pursuant to Section 8A of the Securities Act of 1933 and Section
21C of the Securities Exchange Act of 1934 against Aspen Technology,
Inc. The Order finds that from at least 1999 through 2002, Aspen,
acting through its senior management, engaged in a scheme to
improperly recognize revenue on at least nineteen different software
license transactions involving at least fifteen different customers
world-wide. The scheme involved premature recognition of revenue where
revenue was not recognizable under generally accepted accounting
principles (GAAP) in the quarters claimed by Aspen either because
contracts were not signed within the appropriate quarter or because
the earnings process was incomplete due to side letters or other
contingency arrangements. In several reporting periods, Aspen would
not have met analysts' earnings expectations without the improperly
recognized revenue. On March 15, 2005, Aspen restated its financial
statements for fiscal years ended June 30, 2000, through June 30,
2004. Among other things, the restatement revealed that Aspen had
overstated previously reported license revenue for the fiscal year
ended June 30, 2000, by 5.5% and for the fiscal year ended June 30,
2001, by 9.3%, resulting in net income dropping from $5.4 million to a
loss of $3.2 million for fiscal 2000 and increasing the previously
reported loss for fiscal 2001 by $16 million.
Based on the above, the Order directs Aspen to cease and desist from
committing or causing any violations and any future violations of
Section 17(a) of the Securities Act of 1933 and Sections 10(b), 13(a),
13(b)(2)(A), and 13(b)(2)(B) of the Securities Exchange Act of 1934
and Rules 10b-5, 12b-20, 13a-1, 13a-11, and 13a-13 thereunder. In
addition, the Order directs Aspen to undertake to retain an
independent consultant to review Aspen's financial and accounting
policies and procedures relating to revenue recognition on software
licensing agreements. Aspen consented to the issuance of the Order
without admitting or denying any of the findings in the Order. (Rels.
33-8827; 34-56170; AAER-2660; File No. 3-12718)
INVESTMENT COMPANY ACT RELEASES
NOTICES OF DEREGISTRATION UNDER THE INVESTMENT COMPANY ACT OF 1940
For the month of July, 2007, a notice has been issued giving
interested persons until Aug. 22, 2007, to request a hearing on any of
the following applications for an order under Section 8(f) of the
Investment Company Act declaring that the applicant has ceased to be
an investment company:
Portico Funds, Inc. [File No. 811-10511]
Conseco Fund Group [File No. 811-7839]
First Investors Fund For Income, Inc. [File No. 811-2107]
First Investors Special Bond Fund, Inc. [File No. 811-2981]
First Investors Global Fund, Inc. [File No. 811-3169]
First Investors Insured Tax Exempt Fund, Inc. [File No. 811-2923]
First Investors New York Insured Tax Free Fund, Inc. [File No. 811-3843]
First Investors Multi-State Insured Tax Free Fund [File No. 811-4623]
Executive Investors Trust [File No. 811-4927]
Badgley Funds, Inc. [File No. 811-8769]
American Century Avanti Funds, Inc. [File No. 811-10217]
Prudential Europe Growth Fund, Inc. [File No. 811-7167]
First Investors Series Fund [File No. 811-5690]
Value Line Hedged Opportunity Fund, Inc. [File No. 811-8607]
Value Line Smaller Companies Fund, Inc. [File No. 811-21608]
Value Line Value Fund, Inc. [File No. 811-21639]
Vestaur Securities Fund [File No. 811-2320]
40|86 Series Trust [File No. 811-3641]
Huntington VA Funds [File No. 811-9481]
(Rel. IC-27912 - July 27)
MEDALLION FINANCIAL CORP.
A notice has been issued giving interested persons until Aug. 24,
2007, to request a hearing on an application filed by Medallion
Financial Corp. for an order under Section 61(a)(3)(B) of the
Investment Company Act approving applicant's proposal to grant certain
stock options to non-employee directors under applicant's 2006 stock
option plan. (Rel. IC-27917 - July 30)
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A proposed rule change (SR-NYSE-2007-59) filed by the New York Stock
Exchange to amend NYSE Rules 342(c) ("Offices - Approval, Supervision
and Control") and 343 ("Offices - Sole Tenancy, Hours, Display of
Membership Certificates") has become effective under Section
19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is
expected to be made in the Federal Register during the week of July
30. (Rel. 34-56143)
A proposed rule change (SR-BSE-2007-38) filed by the Boston Stock
Exchange to extend the Penny Pilot Program 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 July 30. (Rel. No. 34-56149)
A proposed rule change (SR-NYSEArca-2007-56), as modified by Amendment
Nos. 1 and 2 thereto, filed by NYSE Arca relating to NYSE Arca Rule
6.72 and the Penny Pilot for Options Trading 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 July 30. (Rel. 34-56150)
A proposed rule change (SR-ISE-2007-68) filed by the International
Securities Exchange relating to an extension of the Penny Pilot
Program 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 July 30. (Rel. 34-56151)
A proposed rule change (SR-CBOE-2007-85) filed by the Chicago Board
Options Exchange relating to CBOE's delisting policy 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 July 30. (Rel. 34-56154)
A proposed rule change (SR-NYSEArca-2007-71) filed by NYSE Arca
relating to NYSE Arca Rule 6.86 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
July 30. (Rel. 34-56157)
A proposed rule change (SR-Amex-2007-76) filed by the American Stock
Exchange as modified by Amendment No. 1 relating to an extension of
the Penny Pilot Program 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 July 30. (Rel. 34-
56159)
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:
. In most cases, this information is also
available on the Commission's website: <www.sec.gov >.
SB-2 ROSTOCK VENTURES CORP, 34 - 102 PAWLYCHENKO LANE, SASKATOON, A9,
S7V 1G9, 306-477-0850 - 1,814,039 ($90,701.95) Equity,
(File 333-144944 - Jul. 30) (BR. 04)
S-8 BERLINER COMMUNICATIONS INC, 20 BUSHES LANE, ELMWOOD PARK, NJ, 07407,
201.791.3200 - 2,859,984 ($3,031,583.04) Equity, (File 333-144946 -
Jul. 30) (BR. 11C)
SB-2 CETUS LYONNAIS CORP, 291 SOUTH 200 WEST, FARMINGTON, UT, 80425,
801-451-5965 - 7,500,000 ($75,000.00) Equity, (File 333-144947 -
Jul. 30) (BR. 05)
S-3 Origen Residential Securities, Inc., 27777 SOUTH FRANKLIN ROAD,
SUITE 1700, SOUTHFIELD, MI, 48034, (313) 746-7000 -
0 ($1,000,000,000.00) Non-Convertible Debt, (File 333-144948 - Jul. 30)
(BR. 05D)
S-8 SANDY SPRING BANCORP INC, 17801 GEORGIA AVE, OLNEY, MD, 20832,
3017746400 - 0 ($464,027.48) Equity, (File 333-144949 - Jul. 30)
(BR. 07B)
S-8 SMITH A O CORP, P O BOX 245009, MILWAUKEE, WI, 53224-9509, 4143594000 -
1,250,000 ($62,543,750.00) Equity, (File 333-144950 - Jul. 30) (BR. 10C)
S-8 FIRST LITCHFIELD FINANCIAL CORP, 13 NORTH ST, P O BOX 578, LITCHFIELD,
CT, 06759, 2035678752 - 25,000 ($427,500.00) Other, (File 333-144951 -
Jul. 30) (BR. 07B)
S-8 Veracity Management Global, Inc., 2655 LEJEUNE ROAD, SUITE 311,
CORAL GABLES, FL, 33134, 305-728-1359 - 18,250,000 ($2.83) Equity,
(File 333-144952 - Jul. 30) (BR. 08B)
S-3ASR ILLUMINA INC, 9885 TOWNE CENTRE DRIVE, SAN DIEGO, CA, 92121,
8582024500 - 0 ($95,585,415.00) Equity, (File 333-144953 - Jul. 30)
(BR. 10B)
S-8 NEWFIELD EXPLORATION CO /DE/, 363 NORTH SAM HOUSTON PARKWAY EAST,
SUITE 2020, HOUSTON, TX, 77060, 281-847-6000 -
1,100,000 ($51,870,500.00) Equity, (File 333-144954 - Jul. 30) (BR. 04B)
S-8 PARTICLE DRILLING TECHNOLOGIES INC/NV, 11757 KATY FREEWAY, SUITE 1300,
HOUSTON, TX, 77002, 713-223-3031 - 0 ($3,300,000.00) Equity,
(File 333-144955 - Jul. 30) (BR. 04B)
S-8 STERLING FINANCIAL CORP /WA/, 111 N WALL ST, SPOKANE, WA, 99201,
509-354-8165 - 0 ($46,820,000.00) Equity, (File 333-144956 - Jul. 30)
(BR. 07A)
S-8 BEST BUY CO INC, 7601 PENN AVE SOUTH, RICHFIELD, MN, 55423,
6122911000 - 0 ($624,820,000.00) Equity, (File 333-144957 - Jul. 30)
(BR. 02C)
S-8 YRC WORLDWIDE INC, ATTN: FINANCIAL REPORTING MANAGER - A415,
10990 ROE AVENUE, OVERLAND PARK, KS, 66211, 9136966100 -
0 ($34,470.00) Equity, (File 333-144958 - Jul. 30) (BR. 05C)
SB-2 China Shenghuo Pharmaceutical Holdings Inc, NO. 2, JING YOU ROAD,
KUNMING NATIONAL ECONOMY &, TECHNOLOGY DEVELOPING DISTRICT, F4, 00000,
0086-871-7282628 - 1,357,800 ($4.42) Equity, (File 333-144959 -
Jul. 30) (BR. 01A)
S-3 WorldSpace, Inc, 2400 N STREET, NW, WASHINGTON, DC, 20037,
(202)969-6000 - 0 ($13,500,001.75) Equity, (File 333-144960 - Jul. 30)
(BR. 11C)
SB-2 AEI Income & Growth Fund 27 LLC, 30 EAST 7TH STREET SUITE 1300,
ST. PAUL, MN, 55101, 651-227-7333 - 10,000,000 ($100,000,000.00) Other,
(File 333-144961 - Jul. 30) (BR. )
S-8 BIO RAD LABORATORIES INC, 1000 ALFRED NOBEL DR, HERCULES, CA, 94547,
5107247000 - 0 ($62,859,867.00) Equity, (File 333-144962 - Jul. 30)
(BR. 10A)
S-8 Monotype Imaging Holdings Inc., 500 UNICORN PARK DRIVE, WOBURN, MA,
01801, 781-970-6000 - 0 ($62,543,887.20) Equity, (File 333-144963 -
Jul. 30) (BR. 03A)
S-8 COMPUMED INC, 5777 WEST CENTURY BLVD., SUITE 1285, LOS ANGELES, CA,
90045, 310-258-5000 - 10,000,000 ($5,600,000.00) Equity,
(File 333-144965 - Jul. 30) (BR. 03A)
S-3ASR COCA COLA ENTERPRISES INC, 2500 WINDY RIDGE PKWY, ATLANTA, GA, 30339,
7709893000 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-144967 - Jul. 30) (BR. 02A)
SB-2 Joss Star International Group, Inc., 5428 VEGAS DRIVE, LAS VEGAS, NV,
89108, 86-411-82312333 - 50,000,000 ($50,000.00) Equity,
(File 333-144968 - Jul. 30) (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 8K ITEM NO.
NAME OF ISSUER CODE DATE COMMENT
21ST CENTURY HOLDING CO FL 2.02,9.01 07/26/07
21ST CENTURY HOLDING CO FL 2.02,9.01 07/30/07
ABAXIS INC CA 5.03,9.01 07/25/07
ABLE ENERGY INC DE 4.02 07/23/07 AMEND
ABLEAUCTIONS COM INC FL 1.01,9.01 07/30/07
ACI WORLDWIDE, INC. DE 5.02,5.03,9.01 07/24/07
ACTUATE CORP DE 2.02,9.01 07/30/07
ADOLOR CORP 2.02,9.01 07/30/07
ADVANCED ANALOGIC TECHNOLOGIES INC DE 2.02,9.01 07/30/07
ADVANTA BUSINESS RECEIVABLES CORP 8.01,9.01 07/30/07
AEOLUS PHARMACEUTICALS, INC. DE 2.02,9.01 07/30/07
AFTERMARKET TECHNOLOGY CORP DE 2.02,7.01,9.01 07/30/07
Alberto-Culver CO DE 2.02,9.01 07/30/07
ALEXANDERS J CORP TN 2.02,7.01,9.01 07/30/07
Alliance Holdings GP, L.P. DE 2.02,9.01 07/30/07
ALLIANCE ONE INTERNATIONAL, INC. VA 5.02,9.01 07/30/07
ALLIANCE RESOURCE PARTNERS LP DE 2.02,9.01 07/30/07
ALLIED CAPITAL CORP MD 2.02,9.01 07/27/07
ALLIED CAPITAL CORP MD 5.03,9.01 07/27/07
Alternative Loan Trust 2007-HY7C DE 8.01,9.01 06/29/07
Alternative Loan Trust 2007-OA9 9.01 07/30/07
Alternative Loan Trust 2007-OH3 9.01 07/30/07
AMB FINANCIAL CORP DE 2.02,9.01 07/30/07
AMEN PROPERTIES INC DE 5.02,9.01 07/30/07
AMERICAN CAPITAL STRATEGIES LTD 1.01,9.01 07/30/07
AMERICAN DAIRY INC UT 8.01,9.01 07/30/07
American Electric Technologies Inc FL 9.01 05/15/07 AMEND
AMERICAN MEDICAL SYSTEMS HOLDINGS INC DE 2.02,9.01 07/30/07
AMERICAN SAFETY INSURANCE HOLDINGS LT 2.02 06/30/07
American Security Resources Corp. NV 5.02 07/26/07
AMERICAN SKIING CO /ME DE 8.01,9.01 07/30/07
AMERICAN TOWER CORP /MA/ DE 5.02 07/26/07 AMEND
AMERICANWEST BANCORPORATION WA 8.01,9.01 07/27/07
AmeriCredit Automobile Receivables Tr 1.01,9.01 07/26/07
AMERISAFE INC TX 1.02 07/25/07
AMERISOURCEBERGEN CORP DE 8.01,9.01 07/30/07
AMETEK INC/ DE 5.03,9.01 07/25/07
ANNALY CAPITAL MANAGEMENT INC MD 2.02,9.01 07/30/07
Apple REIT Seven, Inc. VA 9.01 05/15/07 AMEND
ARCHER DANIELS MIDLAND CO DE 2.02,9.01 07/30/07
ASIA PREMIUM TELEVISION GROUP NV 3.02,9.01 07/30/07
ASTEC INDUSTRIES INC TN 5.03,9.01 07/26/07
ATARI INC DE 5.03,8.01,9.01 07/24/07
Atlas Pipeline Holdings, L.P. DE 3.02,7.01,9.01 07/27/07
ATLAS PIPELINE PARTNERS LP DE 1.01,2.01,2.03,3.02,5.03, 07/27/07
7.01,9.01
AUTHENTIDATE HOLDING CORP DE 1.01,9.01 07/26/07
AVERY DENNISON CORPORATION DE 5.02,5.03,9.01 07/25/07
B&G Foods, Inc. DE 2.02,7.01,9.01 07/30/07
BACK YARD BURGERS INC DE 1.01 07/30/07
BALDOR ELECTRIC CO MO 2.02,9.01 07/26/07
BANKATLANTIC BANCORP INC FL 7.01,9.01 07/30/07
BAR HARBOR BANKSHARES ME 2.02 07/30/07
BASSETT FURNITURE INDUSTRIES INC VA 8.01,9.01 07/25/07
BAUSCH & LOMB INC NY 8.01,9.01 07/29/07
BELO CORP DE 2.02,5.02,5.03,9.01 07/26/07
BERKSHIRE HILLS BANCORP INC 2.02,9.01 07/27/07
BEST BUY CO INC MN 1.01 07/24/07
BigBand Networks, Inc. DE 1.01,9.01 07/30/07
Biodel Inc 2.02,9.01 07/30/07
BIODELIVERY SCIENCES INTERNATIONAL IN DE 8.01,9.01 07/26/07
BIOENVISION INC DE 5.02 07/27/07
BLUE HOLDINGS, INC. NV 5.02,9.01 07/24/07
BLUEGREEN CORP MA 2.02,9.01 07/26/07
BMC SOFTWARE INC DE 7.01 07/30/07
Boardwalk Pipeline Partners, LP DE 2.02,9.01 07/30/07
BROWN FORMAN CORP DE 7.01 07/26/07 AMEND
C & F FINANCIAL CORP VA 2.02,9.01 07/27/07
CABLEVISION SYSTEMS CORP /NY DE 8.01,9.01 07/24/07
CALIFORNIA STEEL INDUSTRIES INC 2.02,9.01 07/30/07
CAMBREX CORP DE 1.01 07/27/07
CANEUM INC NV 1.01 07/17/07
CAPELLA EDUCATION CO 5.02 07/24/07
CAPITAL GROWTH SYSTEMS INC /FL/ FL 1.01,3.02 07/23/07
CARROLLTON BANCORP MD 7.01,9.01 07/30/07
CDEX INC NV 1.01,9.01 07/27/07
CENTRAL EUROPEAN DISTRIBUTION CORP DE 7.01,9.01 07/30/07
CENTRAL JERSEY BANCORP NJ 2.02,9.01 07/26/07
CENTRUE FINANCIAL CORP DE 5.03,8.01,9.01 07/24/07
CH ENERGY GROUP INC NY 2.02,7.01,9.01 07/30/07
CH ENERGY GROUP INC NY 8.01 07/30/07
CHAMPION COMMUNICATION SERVICES INC DE 8.01 07/24/07
CHATSWORTH ACQUISITIONS II INC DE 3.02 07/24/07
CHATSWORTH ACQUISITIONS III INC DE 3.02 07/24/07
CHEESECAKE FACTORY INC DE 8.01,9.01 07/27/07
CHINA SECURITY & SURVEILLANCE TECHNOL D8 5.02,8.01,9.01 07/30/07
CIRCUIT RESEARCH LABS INC AZ 4.01,9.01 07/20/07
CITIZENS SOUTH BANKING CORP DE 7.01 07/30/07
CNA FINANCIAL CORP DE 2.02,9.01 07/30/07
CNB CORP /MI/ MI 8.01 07/27/07
COASTAL BANKING CO INC SC 5.02 05/18/07
Colonial Bankshares Inc X1 2.02,9.01 07/27/07
COMMSCOPE INC DE 2.02,9.01 07/30/07
COMMUNICATE COM INC NV 5.02 07/23/07
COMMUNITY HEALTH SYSTEMS INC DE 1.01,1.02,2.01,3.03,5.02, 07/24/07
7.01,9.01
COMMUNITY HEALTH SYSTEMS INC DE 2.02,7.01,9.01 07/30/07
COMPASS MINERALS INTERNATIONAL INC DE 2.02,9.01 07/30/07
CONSOLIDATED TOMOKA LAND CO FL 9.01 07/25/07
CORCEPT THERAPEUTICS INC 5.02 07/24/07
CORPORATE EXECUTIVE BOARD CO DE 2.02,5.02,8.01,9.01 07/23/07
COTT CORP /CN/ 5.02 07/24/07
CRAWFORD & CO GA 2.02,9.01 07/30/07
CRESTED CORP CO 8.01,9.01 06/30/07
CSG SYSTEMS INTERNATIONAL INC DE 7.01,9.01 07/27/07
CTC Media, Inc. 2.02,9.01 07/30/07
CV THERAPEUTICS INC DE 8.01,9.01 07/30/07
CV THERAPEUTICS INC DE 2.02,9.01 07/30/07
CWALT INC DE 9.01 07/30/07
CWALT INC DE 9.01 07/30/07
CWALT INC DE 9.01 07/30/07
CWALT INC DE 9.01 07/30/07
CWMBS INC DE 9.01 07/30/07
CWMBS INC DE 9.01 07/30/07
DATA I/O CORP WA 2.02 07/26/07
DATAJUNGLE SOFTWARE INC NV 1.01,3.02,5.02,9.01 07/25/07
DATAWATCH CORP DE 2.02,9.01 07/30/07
DECKERS OUTDOOR CORP DE 2.02,7.01,9.01 07/26/07
DEXCOM INC 2.02,5.02,9.01 07/30/07
DNAPRINT GENOMICS INC UT 1.01 07/24/07
DRI CORP NC 7.01,9.01 07/30/07
DUCKWALL ALCO STORES INC KS 5.02,7.01,9.01 07/23/07
DUCOMMUN INC /DE/ DE 2.02,9.01 07/30/07
DYNCORP INTERNATIONAL INC. DE 2.02,9.01 07/30/07
Eagle Bulk Shipping Inc. 1.01,7.01,9.01 07/30/07
EAGLE MATERIALS INC DE 2.02,9.01 07/30/07
EARTHSHELL CORP DE 1.03 07/24/07
EastBridge Investment Group Corp AZ 1.01 07/24/07
ECO2 PLASTICS INC DE 1.01,2.03,9.01 07/24/07
Ecology Coatings, Inc. NV 1.01,3.02,4.01,5.01,5.02,5.03, 07/26/07
5.06,9.01
EDEN BIOSCIENCE CORP WA 5.02,9.01 07/25/07
EDULINK INC NV 5.01 07/25/07
EFJ INC DE 5.02 07/26/07
ELECTRONIC CLEARING HOUSE INC NV 5.02 07/23/07 AMEND
ELECTRONICS FOR IMAGING INC DE 2.02,9.01 07/30/07
ENERGY CONVERSION DEVICES INC DE 5.02,9.01 07/24/07
ENOVA SYSTEMS INC CA 1.01,3.02,7.01 07/25/07
ENTERPRISE FINANCIAL SERVICES CORP DE 7.01,9.01 07/30/07
Enterprise GP Holdings L.P. DE 2.02,9.01 07/26/07
EPICOR SOFTWARE CORP DE 2.02,9.01 07/25/07
EUROBANCSHARES INC PR 7.01,9.01 07/30/07
EVERGREEN ENERGY INC DE 1.01,2.03,3.02,9.01 07/30/07
EVERGREEN SOLAR INC DE 1.01,9.01 07/24/07
EVERLAST WORLDWIDE INC DE 8.01,9.01 07/30/07
EXCO RESOURCES INC TX 7.01,9.01 07/30/07
Federal Home Loan Bank of Indianapoli X1 7.01 07/24/07
FIFTH THIRD BANCORP OH 5.02,9.01 07/30/07
FIFTH THIRD BANCORP OH 9.01 07/30/07
FIRST FEDERAL BANCSHARES OF ARKANSAS TX 2.02,9.01 07/27/07
FIRST FINANCIAL BANCORP /OH/ OH 8.01,9.01 07/30/07
FIRST FINANCIAL BANCORP /OH/ OH 7.01,9.01 07/30/07
FISHER COMMUNICATIONS INC WA 5.02,9.01 07/26/07
FLATBUSH FEDERAL BANCORP INC 5.02,9.01 07/26/07
FLORIDA ROCK INDUSTRIES INC FL 2.02,9.01 07/30/07
FLUSHING FINANCIAL CORP DE 5.02,9.01 07/24/07
FNB CORP \VA\ VA 1.01,7.01,9.01 07/26/07
FORD MOTOR CO DE 8.01,9.01 07/30/07
FOXHOLLOW TECHNOLOGIES, INC. DE 5.02 07/24/07
FPL GROUP INC FL 2.02,9.01 07/30/07
FRANKLIN ELECTRIC CO INC IN 2.02,9.01 06/30/07
FRANKLIN ELECTRONIC PUBLISHERS INC PA 5.02 07/24/07
FRONTIER FINANCIAL CORP /WA/ WA 1.01,7.01,9.01 07/25/07
FULTON FINANCIAL CORP PA 7.01,8.01,9.01 07/30/07
GATX CORP NY 5.02,9.01 07/27/07
GEHL CO WI 2.02,9.01 07/30/07
GENAERA CORP DE 8.01,9.01 07/27/07
GENTA INC DE/ DE 8.01,9.01 07/30/07
Global Realty Development Corp DE 1.01,2.03,3.02 03/25/07
GMAC LLC DE 2.02,9.01 07/30/07
GRAHAM CORP DE 2.02,9.01 07/30/07
GRAHAM CORP DE 5.02 07/26/07
GSAA Home Equity Trust 2007-8 DE 9.01 07/30/07
GSI TECHNOLOGY INC 5.02 07/25/07
GULF ISLAND FABRICATION INC LA 5.02,5.03,8.01,9.01 07/27/07
HABERSHAM BANCORP GA 2.02,9.01 06/30/07
HANOVER INSURANCE GROUP, INC. DE 5.02,9.01 07/24/07
HARMONIC INC DE 1.01 07/25/07
HAWAIIAN HOLDINGS INC DE 2.02,9.01 07/30/07
HEARTLAND FINANCIAL USA INC DE 2.02 07/30/07
HEARUSA INC DE 1.01 07/24/07
HERZFELD CARIBBEAN BASIN FUND INC MD 3.01,8.01,9.01 07/23/07
HONEYWELL INTERNATIONAL INC DE 5.02 07/27/07
HOPFED BANCORP INC DE 2.02,9.01 07/30/07
HS3 TECHNOLOGIES INC. 4.01,9.01 07/27/07
HSBC Finance Corp 7.01,9.01 07/30/07
HUDSON CITY BANCORP INC DE 5.03,9.01 07/24/07
HUMANA INC DE 2.02,7.01,9.01 06/30/07
HUNT J B TRANSPORT SERVICES INC AR 2.03,9.01 07/26/07
HYDROMAID INTERNATIONAL INC NV 1.03,8.01,9.01 07/27/07
iBroadband, Inc. NV 2.04 07/30/07
IC2E International Inc. CO 2.01,5.02,8.01,9.01 07/18/07
IHOP CORP DE 1.01,2.03 07/16/07
ILLUMINA INC DE 8.01,9.01 07/26/07
IMATION CORP DE 1.01,9.01 07/24/07
IMCLONE SYSTEMS INC DE 1.01,9.01 07/27/07
IMERGENT INC DE 8.01 07/25/07
INDEPENDENCE TAX CREDIT PLUS PROGRAM DE 8.01,9.01 07/30/07
INDEPENDENT BANK CORP MA 8.01 07/24/07
IndyMac IMSC Mortgage Loan Trust 2007 9.01 07/30/07
IndyMac INDA Mortgage Loan Trust 2007 9.01 07/27/07
IndyMac INDX Mortgage Loan Trust 2007 9.01 07/30/07
IndyMac INDX Mortgage Loan Trust 2007 9.01 07/27/07
INNOFONE COM INC NV 1.01,9.01 07/24/07
INNOVATIVE SOFTWARE TECHNOLOGIES INC CA 1.01,9.01 07/30/07
INTEGRAL TECHNOLOGIES INC NV 1.01,7.01,9.01 07/19/07
INTERACTIVE INTELLIGENCE INC IN 2.02,9.01 07/30/07
INTERPUBLIC GROUP OF COMPANIES, INC. DE 5.02 07/26/07
INTEVAC INC CA 2.02,9.01 07/30/07
INTRA ASIA ENTERTAINMENT CORP NV 1.01,9.01 07/24/07
INTRAOP MEDICAL CORP 1.01,2.03,3.02,8.01,9.01 07/25/07
INTUIT INC DE 5.02,9.01 07/24/07
Investors Bancorp Inc DE 2.02,9.01 07/26/07
ION MEDIA NETWORKS INC. DE 7.01,9.01 07/30/07
ISOTIS SA V8 8.01,9.01 07/30/07
ISTAR FINANCIAL INC MD 2.02,9.01 07/30/07
ITEX CORP NV 1.01,2.03,9.01 07/25/07
IVANY MINING INC DE 5.03 07/18/07 AMEND
IXI Mobile, Inc. DE 9.01 06/06/07 AMEND
IXYS CORP /DE/ DE 2.02,9.01 07/30/07
J P MORGAN CHASE & CO DE 9.01 07/26/07
J2 GLOBAL COMMUNICATIONS INC DE 5.02,9.01 07/24/07
JARDEN CORP DE 2.02,9.01 07/30/07
JEFFERSON BANCSHARES INC TN 2.02,9.01 07/26/07
K2 INC DE 8.01,9.01 07/30/07
KBL Healthcare Acquisition Corp III DE 8.01,9.01 07/25/07
KBR, INC. DE 8.01 07/30/07
KBS Real Estate Investment Trust, Inc MD 1.01,2.01,2.02,2.03,8.01,9.01 07/16/07
KEMET CORP DE 5.02,9.01 07/30/07
KIMBERLY CLARK CORP DE 8.01,9.01 07/25/07
Kreido Biofuels, Inc. NV 1.01,1.02,5.02,8.01,9.01 07/26/07
KSW INC NY 4.01,9.01 07/24/07
KYPHON INC DE 1.01,2.04,7.01,9.01 07/26/07
LACROSSE FOOTWEAR INC WI 2.02,9.01 07/30/07
LandBank Group Inc DE 5.02 07/27/07
LEHMAN BROTHERS HOLDINGS INC DE 9.01 07/26/07
Lehman Mortgage Trust 2007-7 DE 8.01,9.01 07/30/07
LEVEL 3 COMMUNICATIONS INC DE 2.02,9.01 07/26/07
Liberty Global, Inc. 2.02 07/30/07
LITTLEFIELD CORP DE 2.02,9.01 07/25/07
LL&E ROYALTY TRUST TX 7.01,9.01 07/30/07
LOEWS CORP DE 2.02,9.01 06/30/07
LUMINENT MORTGAGE CAPITAL INC 2.02,9.01 07/30/07
LUTCAM INC 1.01,1.02,3.02,5.01,5.02,9.01 07/24/07
MANARIS CORP NV 1.01,9.01 06/27/07
MARSHALL EDWARDS INC DE 5.03,9.01 07/27/07
MARTEK BIOSCIENCES CORP DE 1.01 07/25/07
MASS MEGAWATTS WIND POWER INC 2.02,9.01 07/30/07
MATHSTAR INC MN 8.01,9.01 07/30/07
MATRIA HEALTHCARE INC DE 5.03,9.01 07/30/07
MAX CAPITAL GROUP LTD. 5.02,9.01 07/27/07
MBI Financial, Inc. NV 1.01,2.03,3.02,9.01 06/26/07
MBIA INC CT 8.01,9.01 07/24/07
Mediavest, Inc. NJ 1.01,3.02,9.01 07/24/07
MEDIVATION, INC. DE 8.01,9.01 07/30/07
MEDTRONIC INC MN 1.01,9.01 07/26/07
MERCER INSURANCE GROUP INC PA 2.02,9.01 07/30/07
MERCK & CO INC NJ 5.02 07/24/07
MERIX CORP OR 5.02 07/27/07
METAL MANAGEMENT INC DE 8.01,9.01 07/30/07
MEXICAN RESTAURANTS INC TX 5.02,9.01 07/25/07
MICRON TECHNOLOGY INC DE 5.02 07/25/07
MIDDLEBY CORP DE 2.02,9.01 07/30/07
MILLENNIUM CELL INC DE 2.02,9.01 07/30/07
MONRO MUFFLER BRAKE INC NY 2.02,8.01,9.01 07/26/07
MONSTER WORLDWIDE INC DE 2.02,2.05,7.01,9.01 07/26/07
MONSTER WORLDWIDE INC DE 5.02 07/26/07
MORGAN STANLEY DE 8.01,9.01 07/24/07
MORTONS RESTAURANT GROUP INC DE 2.02,9.01 07/30/07
MOTHERS WORK INC DE 5.02,9.01 07/30/07
MOTIVE INC DE 4.01,7.01,9.01 07/27/07
MOTOROLA INC DE 5.02,9.01 07/25/07
MRV COMMUNICATIONS INC DE 2.02,8.01,9.01 07/25/07
MS STRUCTURED ASSET CORP CBT SERIES 2 DE 8.01,9.01 07/25/07
MSTI Holdings, Inc. DE 4.01,9.01 07/25/07
NASB FINANCIAL INC MO 2.02 06/30/07
NATIONAL RETAIL PROPERTIES, INC. MD 2.02,9.01 07/30/07
NAVIGATORS GROUP INC DE 2.02,7.01 07/30/07
NEOPROBE CORP DE 2.02,5.02,9.01 07/26/07
NESS TECHNOLOGIES INC 2.02,7.01,9.01 07/30/07
NETEZZA CORP 5.03 07/24/07
NETWORK EQUIPMENT TECHNOLOGIES INC DE 2.02,9.01 07/30/07
NEVADA GOLD & CASINOS INC NV 1.01,9.01 07/30/07
NEW YORK MORTGAGE TRUST INC MD 7.01,9.01 07/30/07
NEWFIELD EXPLORATION CO /DE/ DE 2.02,7.01,9.01 07/25/07
NewGen Technologies, Inc NV 1.01,9.01 07/24/07
NEWMARKET CORP VA 2.02,9.01 07/27/07
NEXITY FINANCIAL CORP DE 2.02,9.01 07/30/07
NIC INC CO 7.01,9.01 07/30/07
Nissan Auto Lease Trust 2007-A DE 1.01,9.01 07/26/07
NN INC DE 5.02 07/30/07
NNN Healthcare/Office REIT, Inc. MD 9.01 05/15/07 AMEND
NOVASTAR FINANCIAL INC MD 3.03,5.02,5.03,7.01,8.01,9.01 07/27/07
NuStar Energy L.P. DE 2.02,9.01 07/30/07
NuStar GP Holdings, LLC DE 2.02,9.01 07/30/07
ODYSSEY HEALTHCARE INC DE 1.01,2.02,5.02,9.01 07/26/07
OHIO CASUALTY CORP OH 2.02,9.01 06/30/07
OI CORP OK 2.02,9.01 07/30/07
OIL STATES INTERNATIONAL, INC DE 7.01 07/30/07
OLD LINE BANCSHARES INC 2.02,9.01 06/30/07
OLD NATIONAL BANCORP /IN/ IN 2.02,9.01 07/30/07
ONEIDA FINANCIAL CORP DE 2.02 07/26/07
OPTIUM CORP DE 2.02,9.01 07/30/07
OPTIUM CORP DE 2.01,9.01 05/21/07 AMEND
OREGON PACIFIC BANCORP OR 8.01,9.01 07/27/07
OSI SYSTEMS INC CA 1.01,9.01 07/27/07
OURPETS CO CO 2.02,9.01 07/26/07
PAB BANKSHARES INC GA 2.02 07/30/07
PACIFIC CMA INC DE 3.01 07/24/07
PACIFICORP /OR/ OR 5.02 07/30/07
PARK NATIONAL CORP /OH/ OH 8.01,9.01 07/30/07
PARLUX FRAGRANCES INC DE 5.02,9.01 07/26/07
PENN NATIONAL GAMING INC PA 2.02,9.01 07/26/07
PHILADELPHIA CONSOLIDATED HOLDING COR PA 2.02,9.01 07/27/07
PINNACLE ENTERTAINMENT INC DE 5.02,9.01 07/24/07
PITNEY BOWES INC /DE/ DE 2.02,9.01 07/30/07
POPULAR INC 7.01,9.01 07/30/07
PORTLAND GENERAL ELECTRIC CO /OR/ OR 2.02,9.01 07/27/07
POWERWAVE TECHNOLOGIES INC DE 2.02,9.01 07/30/07
PPL CORP PA 8.01,9.01 07/30/07
PPLUS Trust Series DCNA-1 DE 8.01,9.01 07/18/07
PRIDE INTERNATIONAL INC DE 8.01 07/24/07
PRIMUS TELECOMMUNICATIONS GROUP INC DE 8.01 07/27/07
PRINCIPAL FINANCIAL GROUP INC DE 7.01 07/30/07
Protalix BioTherapeutics, Inc. FL 5.02 07/24/07
PROVIDENT FINANCIAL HOLDINGS INC DE 2.02,9.01 07/30/07
PRUDENTIAL BANCORP INC OF PENNSYLVANI 2.02,9.01 07/27/07
PVF CAPITAL CORP OH 2.02,8.01,9.01 07/25/07
PVF CAPITAL CORP OH 1.01,9.01 07/24/07
RADIOSHACK CORP DE 2.02,9.01 06/30/07
RADYNE CORP DE 2.02 07/30/07
RALI Series 2007 QH7 Trust DE 8.01,9.01 07/27/07
RALI Series 2007 QS9 Trust DE 8.01,9.01 07/30/07
REFLECT SCIENTIFIC INC UT 7.01,9.01 07/12/07
REMINGTON ARMS CO INC/ DE 5.02 07/24/07
RENAISSANCE LEARNING INC WI 4.02 07/27/07
RESIDENTIAL CAPITAL, LLC DE 2.02,9.01 07/30/07
REX ENERGY CORP DE 8.01,9.01 07/30/07
RFMSI Series 2007 S7 Trust DE 8.01,9.01 07/30/07
RICHARDSON ELECTRONICS LTD/DE DE 7.01,9.01 07/27/07
Rockwood Holdings, Inc. DE 2.02,9.01 07/30/07
ROLLINS INC DE 2.02,9.01 07/27/07 AMEND
RTI INTERNATIONAL METALS INC OH 2.02,8.01,9.01 07/25/07
RURAL CELLULAR CORP MN 1.01,8.01,9.01 07/29/07
S&T BANCORP INC PA 5.02 07/30/07
SAIA INC DE 7.01,9.01 07/24/07
SAMARITAN PHARMACEUTICALS INC NV 8.01,9.01 07/30/07
Santa Lucia Bancorp CA 2.02,5.02,8.01,9.01 07/23/07 AMEND
SANTANDER BANCORP 9.01 06/30/07
SEACOAST BANKING CORP OF FLORIDA FL 2.02,7.01,9.01 07/25/07
SEACOR HOLDINGS INC /NEW/ DE 2.02,9.01 07/26/07
Securitized Asset Backed Receivables 8.01,9.01 07/10/07
Seligman LaSalle International Real E MD 7.01 07/30/07
SENIOR HOUSING PROPERTIES TRUST MD 2.02,9.01 07/30/07
SERVICEMASTER CO DE 1.01,1.02,2.03,3.03,5.01,5.02,5.03,9.01 07/24/07
SHOE CARNIVAL INC IN 7.01,9.01 07/30/07
SIERRA PACIFIC RESOURCES /NV/ NV 2.02,9.01 07/30/07
SIMON PROPERTY GROUP INC /DE/ DE 2.02,7.01,9.01 07/30/07
SIMTEK CORP CO 2.02,9.01 07/26/07
SIMTROL INC DE 5.02 07/24/07
SONICWALL INC CA 5.03,9.01 07/30/07
SONOSITE INC 2.01,2.02,8.01,9.01 07/27/07
Southridge Technology Group, Inc. DE 4.01 07/25/07
SOUTHWEST BANCORP INC OK 8.01 07/27/07
ST JOE CO FL 1.01,9.01 07/30/07
STAKTEK HOLDINGS INC DE 1.01,2.03 07/25/07
STATE BANCORP INC NY 5.02,8.01,9.01 07/24/07
STERLING BANCORP NY 7.01,9.01 07/30/07
STEWARDSHIP FINANCIAL CORP NJ 2.02,9.01 07/26/07
STRATEGIC GAMING INVESTMENTS, INC. DE 1.01,5.02,9.01 07/24/07
STUDENT LOAN CORP DE 5.02 07/27/07
SUN MICROSYSTEMS, INC. DE 2.02,9.01 07/30/07
SUNOCO INC PA 1.01 07/25/07
SUPERIOR BANCORP DE 2.01,7.01,9.01 07/27/07
SUPERTEL HOSPITALITY INC VA 9.01 05/16/07 AMEND
SUSQUEHANNA BANCSHARES INC PA 5.02,9.01 07/25/07
SYMBION INC/TN DE 8.01 07/30/07
SYNTAX-BRILLIAN CORP DE 1.01,2.03,9.01 07/26/07
SYPRIS SOLUTIONS INC DE 1.01 07/24/07
TARGETED GENETICS CORP /WA/ WA 8.01,9.01 07/26/07
TELKONET INC 1.01,9.01 07/24/07
Tennessee Commerce Bancorp, Inc. TN 3.01,7.01,9.01 07/24/07
TERAX ENERGY, INC. NV 3.02,5.01,5.03,7.01,9.01 06/08/07
TEXHOMA ENERGY INC 1.01,3.02,3.03,5.02,5.03,9.01 06/05/07
TII NETWORK TECHNOLOGIES, INC. DE 7.01,9.01 07/30/07
TITAN INTERNATIONAL INC IL 2.02,9.01 07/30/07
TOLLGRADE COMMUNICATIONS INC \PA\ PA 8.01,9.01 07/26/07
TORVEC INC NY 8.01 07/30/07
TOTAL LUXURY GROUP INC IN 1.01,5.02,7.01 07/20/07
TOUSA INC DE 5.02 07/24/07
TRADESTATION GROUP INC FL 5.02 07/27/07
TRANSMERIDIAN EXPLORATION INC DE 3.02,5.03,8.01,9.01 07/25/07
TRC COMPANIES INC /DE/ DE 8.01,9.01 07/26/07
TRICO BANCSHARES / CA 2.02,9.01 07/26/07
TRIDENT MICROSYSTEMS INC DE 5.02,5.03,9.01 07/24/07
TRIZETTO GROUP INC DE 1.01,7.01,9.01 07/26/07
TYSON FOODS INC DE 2.02,9.01 06/30/07
ULTRATECH INC DE 5.02,9.01 07/24/07
UNION NATIONAL FINANCIAL CORP / PA PA 9.01 06/30/07
UNITED BANCORP INC /OH/ OH 2.02,9.01 07/26/07
US ENERGY CORP WY 8.01,9.01 06/30/07
USB HOLDING CO INC DE 1.01,9.01 07/25/07
UTSTARCOM INC DE 1.01,5.02,5.05,8.01,9.01 07/24/07
V F CORP PA 1.01,7.01,9.01 07/26/07
Valentec Systems, Inc DE 1.01,9.01 07/30/07
VALENTIS INC DE 2.01,4.01,5.01,5.02,5.06,8.01,9.01 07/13/07 AMEND
VALLEY FINANCIAL CORP /VA/ VA 2.02 07/30/07
VALUECLICK INC/CA DE 2.02,7.01,9.01 07/27/07
VARIAN MEDICAL SYSTEMS INC DE 1.01,2.03,3.03 07/27/07
VCAMPUS CORP DE 3.02 07/24/07
Vector Intersect Security Acquisition DE 4.01,9.01 07/23/07
VERIZON COMMUNICATIONS INC DE 2.02 07/30/07
VERTRUE INC DE 8.01,9.01 07/30/07
VICOR CORP DE 2.02,9.01 07/30/07
Vicor Technologies, Inc. DE 7.01,9.01 07/30/07
VIRGINIA FINANCIAL GROUP INC VA 1.01,7.01,9.01 07/26/07
VIVUS INC CA 8.01,9.01 07/30/07
W R GRACE & CO DE 2.02,9.01 07/25/07
WASHINGTON BANKING CO WA 2.02,7.01,8.01,9.01 07/25/07
WEBSTER FINANCIAL CORP DE 8.01 07/27/07
WEINGARTEN REALTY INVESTORS /TX/ TX 2.02,9.01 07/26/07
WELLCARE HEALTH PLANS, INC. DE 1.01,9.01 07/24/07
Wells Fargo Mortgage Backed Securitie DE 9.01 07/30/07
WESTAFF INC DE 5.02,9.01 07/25/07
WIDEPOINT CORP DE 5.02,9.01 07/25/07
WILSHIRE BANCORP INC CA 2.02,8.01,9.01 07/26/07
WINTRUST FINANCIAL CORP IL 1.01,8.01,9.01 07/25/07
WIRELESS FACILITIES INC DE 1.01,2.01,9.01 07/24/07
WPCS INTERNATIONAL INC DE 2.02,9.01 07/30/07
WRIGLEY WM JR CO DE 2.02,9.01 07/30/07
XILINX INC DE 5.02 07/25/07
ZILA INC DE 5.02 07/24/07
http://www.sec.gov/news/digest/2007/dig073107.htm
|
