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SEC NEWS DIGEST
Issue 2007-165 August 27, 2007
COMMISSION ANNOUNCEMENTS
COMMISSION MEETINGS
CLOSED MEETING - THURSDAY, AUGUST 30, 2007 - 2:00 P.M.
The subject matter of the closed meeting scheduled for August 30 will
be: Formal orders of investigations; Institution and settlement of
injunctive actions; Institution and settlement of administrative
proceedings of an enforcement nature; Resolution of litigation claims;
Other matters related to enforcement proceedings; and An adjudicatory
matter.
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
IN THE MATTER OF NEXT FINANCIAL GROUP, INC.
On August 24, the Commission issued an Order Instituting
Administrative and Cease-and-Desist Proceedings Pursuant to Sections
15(b) and 21C of the Securities Exchange Act of 1934 (Order) against
NEXT Financial Group, Inc. (NEXT).
The Order alleges that NEXT, a registered broker-dealer headquartered
in Houston, Texas, willfully violated Regulation S-P by disclosing
nonpublic personal information about its customers to nonaffiliated
third parties, without allowing the customer the opportunity to opt
out of such disclosure, by allowing registered representatives to take
customer nonpublic personal information with them when leaving NEXT's
employment. The Order also alleges that NEXT willfully aided and
abetted and caused other broker-dealers' violations of Regulation S-P
by encouraging, and in many cases facilitating newly employed
registered representatives to bring their customers' personal
nonpublic information, such as social security numbers, account
numbers, passport numbers, drivers license numbers, dates of birth and
customer financial information, to NEXT without proper notice to the
customer and a reasonable opportunity to opt out of such disclosure.
A hearing will be scheduled before an administrative law judge to
determine whether the allegations contained in the Order are true, to
provide NEXT an opportunity to respond to these allegations, and to
determine what sanctions, if any, are appropriate and in the public
interest. The Order directs the administrative law judge to issue an
initial decision within 300 days from the date of service of the Order
Instituting Proceedings. (Rel. 34-56316; File No. 3-12738)
SEC BRINGS EMERGENCY ACTION IN CONNECTION WITH FRAUDULENT INDEX OPTION
TRADING SCHEME
On August 23, the Commission filed an emergency civil action against
Charles O. Morgan, Jr., as personal representative of the Estate of
Frederick J. Kunen (Kunen's Estate), in connection with a fraudulent
options trading scheme orchestrated by Frederick J. Kunen (Kunen).
Kunen died on July 11, 2007, at age 55, and resided in Coconut Creek,
Florida. On August 23, the Honorable Alan S. Gold, United States
District Judge for the Southern District of Florida entered, among
other things, an emergency order temporarily freezing the assets of
Kunen's Estate.
The Commission's complaint (Complaint) alleges that from at least
January 2007 until his death on July 11, 2007, Kunen raised over $2
million through a fraudulent index options trading program. The
Complaint further alleges that Kunen falsely represented to investors
that they were guaranteed a 10-20%, risk-free monthly return on their
investment, that their principal was safe, and that the index options
trading program had a successful eight-year track record. The
Complaint also alleges that Kunen effected transactions in individual
investors' accounts once the investors had funded the accounts, and
after effecting the trades, Kunen falsely told investors that the
trading had resulted in profits and instructed investor to send him
his portion of the profits. Finally, the Complaint alleges that Kunen
received approximately $1 million in fraudulently obtained
compensation from investors and that none of the investors' accounts
show profits from Kunen's trading.
The Court appointed Scott M. Dimond, an attorney in the law firm of
Dimond Kaplan & Rothstein P.A., as Receiver over Kunen's Estate. Among
other things, Mr. Dimond is responsible for marshaling and
safeguarding assets held by Kunen's Estate.
The Complaint charges Kunen with violating Section 17(a) of the
Securities Act of 1933 and Section 10(b) of the Securities Exchange
Act of 1934 and Rule 10b-5 thereunder. The SEC is also seeking, among
other things, disgorgement of ill-gotten profits against and an
accounting from Kunen's Estate. [SEC v. Charles O. Morgan, Jr., as
Personal Representative of THE ESTATE OF FREDERICK J. KUNEN, Case No.
07-22204-CIV-GOLD (S.D. Fla.,)] (LR-20253)
SEC v. BRIAN N. HOLLNAGEL AND BCI AIRCRAFT LEASING, INC.
On August 22, after a two-day evidentiary hearing, the Honorable
Elaine E. Bucklo of the United States District Court for the Northern
District of Illinois issued a preliminary injunction against Brian N.
Hollnagel (Hollnagel) and BCI Aircraft Leasing, Inc. (BCI), enjoining
Hollnagel and BCI from further violations of the antifraud provisions
of the federal securities laws, in addition to other relief.
Previously, on Aug. 13, 2007, the Commission filed a civil injunctive
complaint alleging that Hollnagel and BCI, from 1999 through 2006,
raised at least $82 million from approximately 120 investors through
the fraudulent offer and sale of membership shares of Limited
Liability Corporations (LLCs) controlled and managed by BCI. According
to the complaint, Hollnagel, a resident of Chicago, Illinois, and BCI,
headquartered in Chicago, Illinois, told investors that they would use
investor funds to purchase specifically identified commercial aircraft
for the LLCs and, in turn, lease the aircraft to commercial airlines.
According to the complaint, investors were told they would receive
part of the lease revenue from the particular aircraft, in the form of
regular monthly payments, as their return. The complaint further
alleged that the Defendants also told investors that if an aircraft
owned by an LLC was sold, investors were entitled to half of all
proceeds from the sale above and beyond their capital contribution. In
reality, according to the complaint, Defendants operated a massive
Ponzi scheme. In addition, the complaint alleged that, in 2007,
Defendants continued their scheme by fraudulently repurchasing
investors' interests through materially misleading statements.
Finally, the complaint alleges that, as a result of their conduct,
Hollnagel and BCI violated Section 17(a) of the Securities Act of 1933
and Section 10(b) of the Securities and Exchange Act of 1934 and Rule
10b-5 promulgated thereunder.
In its Memorandum and Order, the Court found that the Commission had
satisfied its burden of proof and was entitled to a preliminary
injunction. The Court further found, among other things:
* "It is undisputed that BCI made material representations in its
LLC offering documents that the investors were buying shares in an
LLC that would purchase a specific aircraft that in many cases were
not true."
* "There can be no doubt that BCI and Hollnagel acted with
scienter."
As a result, the Court issued a preliminary injunction against
Hollnagel and BCI enjoining them from further violations of Section
17(a) of the Securities Act and Section 10(b) of the Exchange Act and
Rule 10b-5 thereunder. The Court declined, however, to grant the
Commission's request for an asset freeze or the appointment of a
receiver at this time to give BCI and Hollnagel the opportunity to
fulfill their promise to pay investors within 60 days the $48 million
that is due to them. The Court further provided that, among other
things:
* If BCI does not repay the investors within 60 days, or for any
other reason it becomes apparent before that time that BCI will not
be able to pay the investors, the Court will reconsider the
Commission's request for a freeze of assets and appointment of
receiver; and
* BCI must provide certain reports to the Commission on a weekly
basis and must provide notice to the Commission prior to any
significant withdrawals (in excess of $20,000). [SEC v. Brian N.
Hollnagel and BCI Aircraft Leasing, Inc., Civil Action No. 07 C
4538 (N.D. Ill.)(Bucklo, J.)] (LR-20254)
COMMISSION OBTAINS TEMPORARY RESTRAINING ORDER, ASSET FREEZE AND
APPOINTMENT OF A RECEIVER IN ALLEGED $25 MILLION PONZI SCHEME
On August 24, the U.S. District Court for the Eastern District of
California granted the SEC's request and issued an order temporarily
prohibiting the further sales of investments by defendants, freezing
assets, and appointing Michael J. Quilling to take control of the
assets and operations of Secure Investment Services, Inc., American
Financial Services, Inc. and the Lyndon Group, Inc., as a temporary
receiver. The court set the matter for further hearing on a
preliminary injunction on Sept. 21, 2007.
According to its complaint, the Commission alleges that Donald Neuhaus
of Redding, Calif., his daughter Kimberley Snowden, and their company
Secure Investment Services, Inc., orchestrated the Ponzi scheme that
falsely promised safe, secure and profitable interests in life
insurance policies known as "viaticals" while failing to disclose the
dire financial condition of the investment venture. Many of the
investors were elderly and invested their retirement savings. The
Commission also alleges Neuhaus and Snowden pocketed $700,000 for
their personal use while the scam was on the verge of collapse.
According to the Commission's complaint, Neuhaus and Snowden sold
shares of life insurance policies, calling them "bonded life
settlements." They persuaded investors to buy the securities by
representing that their money would be used to purchase and pay the
necessary premiums on the life insurance policies. They promised
returns up to 125 percent when the person insured by the policy died.
The Commission's complaint alleges that Neuhaus and Snowden instead
used investors' money for their own personal use and to cover the
premiums on other insurance policies owned by other groups of
investors. Their conduct constituted a Ponzi scheme in which every new
investor was being defrauded to provide the cash needed to conceal the
misrepresentations to an earlier group of investors. They failed to
inform investors that the enterprise was on the brink of collapse, and
that investors risked losing everything if life insurance policies
expired due to lack of payment.
The Commission further alleges that Neuhaus and Snowden misled
investors by providing them with life expectancy estimates supposedly
certified by a physician who was, in reality, a convicted felon
falsely holding himself out as a physician. They falsely claimed that
the investments were protected by bonding companies. But these were,
in fact, unlicensed overseas firms with no assurance of actually
repaying investors.
The Commission continues to seek preliminary and permanent
injunctions, return of ill-gotten gains with prejudgment interest, and
penalties against all defendants.
Investors may direct their inquiries to the temporary receiver,
Michael J. Quilling, at (214) 871-2100 or visit his website at
www.secreceiver.com. [SEC v. Secure Investment Services, Inc.,
American Financial Services, Inc., Lyndon Group, Inc., Donald F.
Neuhaus, and Kimberly A. Snowden, Case No. 2:07-CV-01724-LEK-CMK (E.D.
Cal.)] (LR-20255)
INVESTMENT COMPANY ACT RELEASES
ORDERS OF DEREGISTRATION UNDER THE INVESTMENT COMPANY ACT
Orders have been issued under Section 8(f) of the Investment Company
Act declaring that each of the following has ceased to be an
investment company:
Portico Funds, Inc. [File No. 811-10511]
(Order: Rel. No. IC-27937)
Conseco Fund Group [File No. 811-7839]
(Order: Rel. No. IC-27938)
First Investors Fund For Income, Inc. [File No. 811-2107]
(Order: Rel. No. IC-27939)
First Investors Special Bond Fund, Inc. [File No. 811-2981]
(Order: Rel. No. IC-27940)
First Investors Global Fund, Inc. [File No. 811-3169]
(Order: Rel. No. IC-27941)
First Investors Insured Tax Exempt Fund, Inc. [File No.
811-2923]
(Order: Rel. No. IC-27942)
First Investors New York Insured Tax Free Fund, Inc. [File
No. 811-3843]
(Order: Rel. No. IC-27943)
First Investors Multi-State Insured Tax Free Fund [File No.
811-4623]
(Order: Rel. No. IC-27944)
Executive Investors Trust [File No. 811-4927]
(Order: Rel. No. IC-27945)
Badgley Funds, Inc. [File No. 811-8769]
(Order: Rel. No. IC-27946)
American Century Avanti Funds, Inc. [File No. 811-10217]
(Order: Rel. No. IC-27947)
Prudential Europe Growth Fund, Inc. [File No. 811-7167]
(Order: Rel. No. IC-27948)
First Investors Series Fund [File No. 811-5690]
(Order: Rel. No. IC-27949)
Value Line Hedged Opportunity Fund, Inc. [File No. 811-8607]
(Order: Rel. No. IC-27950)
Value Line Smaller Companies Fund, Inc. [File No. 811-21608]
(Order: Rel. No. IC-27951)
Value Line Value Fund, Inc. [File No. 811-21639]
(Order: Rel. No. IC-27952)
Vestaur Securities Fund [File No. 811-2320]
(Order: Rel. No. IC-27953)
SELF-REGULATORY ORGANIZATIONS
PROPOSED RULE CHANGE
The Chicago Board Options Exchange filed a proposed rule change and
Amendment No. 1 thereto (SR-CBOE-2006-99) under Rule 19b-4 of the
Securities Exchange Act of 1934 related to FLEX options trading.
Publication is expected in the Federal Register during the week of
August 27. (Rel. 34-56311)
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A proposed rule change filed by the National Association of Securities
Dealers (n/k/a Financial Industry Regulatory Authority, Inc.) to amend
NASD Rule 7002B to establish fees for the transfer of transaction fees
through the NASD/Nasdaq Trade Reporting Facility (SR-NASD-2007-051)
have become effective under Section 19(b)(3)(A)(ii) of the Securities
Exchange Act of 1934. Publication is expected in the Federal Register
during the week of August 27. (Rel. 34-56314)
A proposed rule change filed by the Chicago Board Options Exchange to
amend the CBOE's rules related to Credit Default Basket Options (SR-
CBOE-2007-93) 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 August 27. (Rel. 34-56317)
APPROVAL OF PROPOSED RULE CHANGE
The Commission issued an order approving a proposed rule change by the
International Securities Exchange relating to ISEE Select Market Data
Fees (SR-ISE-2007-58). Publication is expected in the Federal Register
during the week of August 27. (Rel. 34-56315)
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 XEDAR CORP, 8310 SOUTH VALLEY HIGHWAY, SUITE 220, ENGLEWOOD, CO, 80112,
(303) 377-0033 - 12,445,661 ($41,692,964.35) Equity, (File 333-145664 -
Aug. 24) (BR. 09A)
S-3 BOOKHAM, INC., 2584 JUNCTION AVENUE, SAN JOSE, CA, 95134,
(408) 919-1500 - 0 ($200,000,000.00) Other, (File 333-145665 - Aug. 24)
(BR. 10A)
S-1 PRECISION THERAPEUTICS INC, 2516 JANE STREET, PITTSBURGH, PA, 15203,
412-432-1500 - 0 ($80,500,000.00) Equity, (File 333-145666 - Aug. 24)
(BR. 09)
S-8 MULTI COLOR CORP, 425 WALNUT STREET, SUITE 1300, CINCINNATI, OH, 45202,
5133811480 - 500,000 ($19,280,000.00) Equity, (File 333-145667 -
Aug. 24) (BR. 05B)
S-3ASR LEUCADIA NATIONAL CORP, 315 PARK AVE S, NEW YORK, NY, 10010,
2124601900 - 0 ($0.00) Other, (File 333-145668 - Aug. 24) (BR. 06A)
S-3 SOUTHWESTERN ELECTRIC POWER CO, 1 RIVERSIDE PLAZA, COLUMBUS, OH, 43215,
614-716-2654 - 660,000,000 ($660,000,000.00) Non-Convertible Debt,
(File 333-145669 - Aug. 24) (BR. 02B)
S-8 VECTr SYSTEMS INC, 252 N. WASHINGTON STREET, FALLS CHURCH, VA, 22046,
888-429-1438 - 5,020,500 ($3,626,250.00) Equity, (File 333-145670 -
Aug. 24) (BR. 03A)
S-3ASR CHARMING SHOPPES INC, 450 WINKS LANE, BENSALEM, PA, 19020, 2152459100 -
275,000 ($275,000,000.00) Debt Convertible into Equity,
(File 333-145671 - Aug. 24) (BR. 02C)
S-1 FX Real Estate & Entertainment Inc., 650 MADISON AVENUE, NEW YORK, NY,
10022, 212-838-3100 - 0 ($38,649,000.00) Equity, (File 333-145672 -
Aug. 24) (BR. 05)
S-8 PENNICHUCK CORP, 25 MANCHESTER STREET, MERRIMACK, NH, 03054,
603-882-5191 - 233,333 ($5,592,992.01) Equity, (File 333-145673 -
Aug. 24) (BR. 02C)
S-8 SPARTAN MOTORS INC, 1000 REYNOLDS RD, P O BOX 440, CHARLOTTE, MI,
48813, 5175436400 - 900,000 ($13,923,000.00) Equity, (File 333-145674 -
Aug. 24) (BR. 05C)
S-3 CURIS INC, 61 MOULTON ST, CAMBRIDGE, MA, 02138, 6178760086 -
0 ($18,033,843.38) Equity, (File 333-145675 - Aug. 24) (BR. 01A)
S-8 GEOVIC MINING CORP., 743 HORIZON COURT, SUITE 300A, GRAND JUNCTION, CO,
81506, (970) 256-9681 - 11,337,384 ($2,494,178.76) Equity,
(File 333-145676 - Aug. 24) (BR. 04C)
S-8 HIRERIGHT INC, 5151 CALIFORNIA AVENUE, IRVINE, CA, 92617,
949 428 5800 - 0 ($32,982,790.00) Equity, (File 333-145677 - Aug. 24)
(BR. 03A)
S-4 Porter Bancorp, Inc., 2500 EASTPOINT PARKWAY, LOUISVILLE, KY, 40223,
502-499-4800 - 0 ($6,346,548.00) Equity, (File 333-145678 - Aug. 24)
(BR. 07A)
F-6 BRAZILIAN DISTRIBUTION CO COMPANHIA BRASILEIRA DE DISTR CBD,
AV BRIGADEIRO LUIZ ANTONIO, 3126 1 ANDAR SP BRAZIL 01402-901,
SAO PAULO, D5, 0118860814 - 100,000,000 ($5,000,000.00) ADRs/ADSs,
(File 333-145679 - Aug. 24) (BR. 02A)
S-8 CELSION CORP, 10220-I OLD COLUMBIA PIKE, STE I, COLUMBIA, MD,
21046-1705, 4102905390 - 1,000,000 ($5,740,000.00) Equity,
(File 333-145680 - Aug. 24) (BR. 10A)
S-8 TII NETWORK TECHNOLOGIES, INC., 141 RODEO DRIVE, EDGEWOOD, NY, 11717,
631-789-5000 - 500,000 ($1,122,500.00) Equity, (File 333-145681 -
Aug. 24) (BR. 10C)
S-3 AMERICAN SUPERCONDUCTOR CORP /DE/, TWO TECHNOLOGY DR, WESTBOROUGH, MA,
01581, 5088364200 - 202,423 ($4,028,217.70) Equity, (File 333-145683 -
Aug. 24) (BR. 10A)
S-1 Global Brands Acquisition Corp., 11 WEST 42ND STREET, 21ST FLOOR,
NEW YORK, NY, 10036, 212-201-8118 - 0 ($503,125,000.00) Equity,
(File 333-145684 - Aug. 24) (BR. )
S-8 AMERICAN SUPERCONDUCTOR CORP /DE/, TWO TECHNOLOGY DR, WESTBOROUGH, MA,
01581, 5088364200 - 3,300,000 ($65,670,000.00) Equity,
(File 333-145685 - Aug. 24) (BR. 10A)
S-3D SIERRA PACIFIC RESOURCES /NV/, PO BOX 30150, 6100 NEIL RD, RENO, NV,
89511, 7758344011 - 0 ($44,490,000.00) Equity, (File 333-145686 -
Aug. 24) (BR. 02B)
S-3 GENCO SHIPPING & TRADING LTD, 35 WEST 56TH STREET, NEW YORK, NY, 10019,
(646) 443-8550 - 0 ($737,509,008.00) Equity, (File 333-145687 -
Aug. 24) (BR. 05A)
S-8 HEINZ H J CO, 600 GRANT ST, PITTSBURGH, PA, 15219, 4124565700 -
2,000,000 ($88,900,000.00) Equity, (File 333-145688 - Aug. 24) (BR. 04B)
S-8 CenterStaging Corp., 3407 WINONE AVENUE, BURBANK, CA, 91504,
310-275-4290 - 0 ($680,000.00) Equity, (File 333-145689 - Aug. 24)
(BR. 08A)
S-3ASR PEPCO HOLDINGS INC, SUITE 1300, 701 NINTH STREET, NW, WASHINGTON, DC,
20068, 202-872-2000 - 0 ($0.00) Equity, 0 ($0.00) Non-Convertible Debt,
(File 333-145691 - Aug. 24) (BR. 02A)
S-11 Behringer Harvard REIT II, Inc., 15601 DALLAS PARKWAY, SUITE 600,
ADDISON, TX, 75001, (866) 655-1605 - 0 ($2,500,000,000.00) Equity,
(File 333-145692 - Aug. 24) (BR. )
S-1 MEDASSETS INC, 100 NORTH POINT CENTER EAST, ALPHARETTA, GA, 30022,
2124056200 - 0 ($230,000,000.00) Equity, (File 333-145693 - Aug. 24)
(BR. )
SB-2 PROELITE, INC., 12121 WILSHIRE BLVD., SUITE 1001, LOS ANGELES, CA,
90025, 310-526-8700 - 15,570,236 ($108,991,652.00) Equity,
(File 333-145694 - Aug. 24) (BR. 05B)
S-8 Community Partners Bancorp, 1250 HIGHWAY 35 SOUTH, MIDDLETOWN, NJ,
07748, 732-706-9009 - 1,924,922 ($17,131,805.80) Equity,
(File 333-145695 - Aug. 24) (BR. 07B)
S-3 Evercore Partners Inc., 55 EAST 52ND STREET, 43RD FLOOR, NEW YORK, NY,
10055, 212-857-3100 - 0 ($448,506,452.00) Equity, (File 333-145696 -
Aug. 24) (BR. 06B)
S-1 EMAGIN CORP, 2070 ROUTE 52, SUITE 2000, HOPEWELL JUNCTION, NY, 12533,
845 838 7900 - 10,955,152 ($11,613,240.00) Equity, (File 333-145697 -
Aug. 24) (BR. 10B)
S-3 TRICO MARINE SERVICES INC, 250 N AMERICAN COURT, HOUMA, LA, 70363,
713 780 9926 - 0 ($86,395,154.00) Equity, (File 333-145698 - Aug. 24)
(BR. 05C)
S-3 TRICO MARINE SERVICES INC, 250 N AMERICAN COURT, HOUMA, LA, 70363,
713 780 9926 - 0 ($250,000,000.00) Unallocated (Universal) Shelf,
(File 333-145699 - Aug. 24) (BR. 05C)
S-8 VIRTRA SYSTEMS INC, 440 NORTH CENTER, ARLINGTON, TX, 76011,
8172650440 - 11,566,000 ($462,640.00) Equity, (File 333-145701 -
Aug. 24) (BR. 05C)
S-1 Sonics, Inc., 1098 ALTA AVENUE, SUITE 101, MOUNTAIN VIEW, CA, 94043,
650-938-2500 - 0 ($80,000,000.00) Equity, (File 333-145702 - Aug. 24)
(BR. )
S-8 ADVANCED ENVIRONMENTAL RECYCLING TECHNOLOGIES INC,
914 N. JEFFERSON STREET, -, SPRINGDALE, AR, 72764, 479-756-7400 -
0 ($2,921,865.00) Equity, (File 333-145703 - Aug. 24) (BR. 06C)
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
ACACIA AUTOMOTIVE INC TX 2.01 07/10/07
ACCELR8 TECHNOLOGY CORP CO 5.02 08/20/07
ACCENTIA BIOPHARMACEUTICALS INC 1.01,2.03,3.02,9.01 08/22/07
ACCESS PHARMACEUTICALS INC DE 1.01,9.01 08/24/07
Ad.Venture Partners, Inc. DE 8.01,9.01 08/24/07
ADDVANTAGE TECHNOLOGIES GROUP INC OK 3.01,7.01,9.01 08/22/07
Advance America, Cash Advance Centers DE 5.02,9.01 08/21/07
AEROSONIC CORP /DE/ DE 1.01,9.01 08/21/07
AFFILIATED COMPUTER SERVICES INC DE 8.01 08/23/07
Allegiant Travel CO NV 8.01 08/10/07
Alternative Loan Trust 2007-23CB DE 8.01,9.01 08/24/07
AMERICAN AMMUNITION INC/FL NV 4.02 08/24/07
AMERICAN BIO MEDICA CORP NY 5.02,9.01 08/22/07
AMERICAN DAIRY INC UT 3.02 08/21/07
AMERICAN LEISURE HOLDINGS, INC. NV 5.01 08/13/07 AMEND
AMERICAN MEDIA OPERATIONS INC DE 4.02 08/20/07
American Racing Capital, Inc. NV 1.01,2.03,3.02,9.01 08/16/07
American Racing Capital, Inc. NV 1.01,3.02,9.01 08/20/07
AMERICAN TECHNICAL CERAMICS CORP DE 1.01,2.02,9.01 08/23/07
AMERICAN WOODMARK CORP VA 8.01,9.01 07/31/07
ANNTAYLOR STORES CORP DE 2.02,5.02,5.03,9.01 08/23/07
ANTHRACITE CAPITAL INC MD 8.01,9.01 08/23/07
ASIAINFO HOLDINGS INC DE 7.01,9.01 08/24/07
Audio Stocks, Inc. DE 1.01 08/24/07
BALLISTIC RECOVERY SYSTEMS INC MN 1.01,2.03,9.01 08/15/07
BALLY TECHNOLOGIES, INC. NV 2.02,8.01,9.01 08/21/07
Bear Stearns Mortgage Funding Trust 2 DE 8.01,9.01 06/29/07 AMEND
Behringer Harvard Opportunity REIT I, MD 1.01 08/20/07
BI-OPTIC VENTURES INC 7.01,9.01 06/01/07
BigString CORP DE 8.01,9.01 08/23/07
BioFuel Energy Corp. 4.01,9.01 08/21/07
BON TON STORES INC PA 5.02 08/08/07 AMEND
BOTTOMLINE TECHNOLOGIES INC /DE/ DE 5.02,5.03 08/24/07
BPZ ENERGY INC CO 1.01,3.03,5.02,5.03,8.01,9.01 08/17/07
BRAVO! BRANDS INC. DE 1.02,8.01 08/21/07
BRIDGFORD FOODS CORP CA 2.02,9.01 08/24/07
BRINKER INTERNATIONAL INC DE 7.01,9.01 08/23/07
BRUSH ENGINEERED MATERIALS INC 7.01,9.01 08/24/07
Burger King Holdings Inc DE 2.02,9.01 08/24/07
CANO PETROLEUM, INC 5.02 08/20/07
CAROLINA BANK HOLDINGS INC NC 5.02 08/21/07
CARTOON ACQUISITION, INC. DE 4.01,9.01 05/22/07
CATO CORP DE 2.02,9.01 08/23/07
CENTER BANCORP INC NJ 5.02 08/20/07
CHAMPION INDUSTRIES INC WV 2.02,9.01 08/23/07
CHAMPION PARTS INC IL 2.02,9.01 07/01/07
CHEESECAKE FACTORY INC DE 8.01,9.01 08/24/07
CHESAPEAKE ENERGY CORP OK 7.01,9.01 08/23/07
CHICOS FAS INC FL 5.02,9.01 08/22/07
China 3C Group NV 7.01,9.01 08/22/07
CHINA DIGITAL MEDIA CORP NV 1.01 08/17/07
CHINA FIRE & SECURITY GROUP, INC. 5.03,9.01 08/13/07 AMEND
China Industrial Waste Management Inc NV 1.01 08/23/07
CHINA RECYCLING ENERGY CORP 1.01,3.02,5.01,5.02,9.01 08/23/07
China Water & Drinks Inc.. NV 1.01,3.02,9.01 08/24/07
CHINA WIRELESS COMMUNICATIONS INC NV 5.02,9.01 08/21/07
CITIZENS & NORTHERN CORP PA 8.01 08/23/07
CLEARANT INC 3.03,9.01 08/23/07
COCA COLA BOTTLING CO CONSOLIDATED /D DE 2.02,9.01 08/24/07
COLOMBIA GOLDFIELDS LTD 1.01,3.02,9.01 08/24/07
Comverge, Inc. DE 5.02 08/21/07
CONCHO RESOURCES INC DE 1.01,5.02,9.01 08/21/07
CONSOL ENERGY INC 5.02,9.01 08/24/07
CONSTAR INTERNATIONAL INC DE 8.01 08/14/07
CONSTAR INTERNATIONAL INC DE 5.02,9.01 08/20/07
CORNERSTONE BANCSHARES INC TN 8.01,9.01 08/24/07
CREE INC NC 5.02,9.01 08/20/07
CRYOCOR INC DE 5.02 08/20/07
CWABS Asset-Backed Certificates Trust DE 8.01,9.01 05/31/07 AMEND
CWABS Asset-Backed Certificates Trust DE 8.01,9.01 07/20/07 AMEND
DANA CORP VA 8.01 08/23/07
DARK DYNAMITE, INC NV 8.01 08/24/07
DCT Industrial Trust Inc. MD 8.01,9.01 08/24/07
DHB INDUSTRIES INC DE 5.03,9.01 08/23/07
Disaboom, Inc. CO 5.02,5.03,7.01,8.01,9.01 08/21/07
DOUBLE EAGLE PETROLEUM CO MD 1.01,3.03,9.01 08/24/07
DYNEGY INC. DE 5.02,9.01 08/24/07
EASTERN AMERICAN NATURAL GAS TRUST DE 2.02,9.01 08/24/07
EMC CORP MA 8.01 08/24/07
EMCOR GROUP INC DE 1.01,9.01 08/20/07
EMERSON ELECTRIC CO MO 7.01 08/24/07
EMPIRE FINANCIAL HOLDING CO FL 1.01,3.02,9.01 08/20/07
EPIC ENERGY RESOURCES, INC. CO 1.01,9.01 08/10/07
EPOD International Inc 4.01,4.02 08/24/07
eSavingsStore.com, Inc. NV 5.02 08/22/07
EXAR CORP DE 7.01,9.01 08/23/07
EXELIXIS INC DE 8.01 08/23/07
EXIDE TECHNOLOGIES DE 5.02,5.03,8.01,9.01 08/22/07
EXTERRAN PARTNERS, L.P. DE 1.01,5.03,8.01,9.01 08/20/07
FEDERAL NATIONAL MORTGAGE ASSOCIATION 7.01,9.01 08/24/07
Finmetal Mining Ltd. 5.02 08/21/07
FIRST BANCSHARES INC /MS/ MS 2.02,9.01 08/24/07
FIRST CAPITAL INC IN 7.01,9.01 08/23/07
FIRST LITCHFIELD FINANCIAL CORP DE 8.01,9.01 08/23/07
FISERV INC WI 5.02,9.01 08/21/07
FLOW INTERNATIONAL CORP WA 5.03,9.01 08/20/07
FMC TECHNOLOGIES INC DE 7.01,9.01 08/23/07
FOUNTAIN POWERBOAT INDUSTRIES INC 5.02 08/20/07
g8wave Holdings, Inc. 5.02 08/20/07
GABRIEL TECHNOLOGIES CORP DE 8.01 08/20/07
GATEWAY ENERGY CORP/NE DE 1.01,2.03,7.01,9.01 08/23/07
GENLYTE GROUP INC DE 8.01 08/22/07
GEOPETRO RESOURCES CO 7.01,9.01 08/24/07
GIBRALTAR INDUSTRIES, INC. DE 5.02,9.01 08/21/07
GILMAN & CIOCIA INC DE 1.01,3.02,5.02,9.01 08/20/07
GLOBAL PARTNERS LP 1.01,2.03,9.01 08/21/07
GOODYEAR TIRE & RUBBER CO /OH/ OH 8.01,9.01 08/24/07
GREAT ATLANTIC & PACIFIC TEA CO INC MD 8.01,9.01 08/24/07
GREAT PLAINS ETHANOL LLC SD 8.01 08/21/07
GREATER ATLANTIC FINANCIAL CORP DE 8.01,9.01 08/24/07
GRYPHON GOLD CORP NV 2.01,3.02,7.01,9.01 08/21/07
HALLMARK FINANCIAL SERVICES INC NV 1.01,2.03,9.01 08/23/07
Hana Biosciences Inc DE 5.02,8.01,9.01 08/21/07
HANOVER CAPITAL MORTGAGE HOLDINGS INC MD 2.02,8.01,9.01 08/21/07
HANOVER COMPRESSOR CO / DE 8.01,9.01 08/20/07
HANOVER COMPRESSOR CO / DE 4.01,9.01 08/20/07
HARRIS INTERACTIVE INC DE 2.02,5.02,7.01,9.01 08/22/07
Harris Stratex Networks, Inc. DE 5.02,7.01 08/14/07
HARTFORD LIFE INSURANCE CO CT 9.01 08/24/07
HEINZ H J CO PA 2.02,9.01 08/24/07
HEPALIFE TECHNOLOGIES INC FL 7.01,9.01 08/21/07
HERBALIFE LTD. E9 8.01,9.01 08/23/07
HEWITT ASSOCIATES INC DE 5.02,9.01 08/23/07
Highland Distressed Opportunities, In 7.01,9.01 08/24/07
HOME BANCSHARES INC 1.01,9.01 08/24/07
HYDROMER INC NJ 8.01 08/23/07
IBT BANCORP INC /MI/ MI 1.01,8.01,9.01 08/21/07
IMCLONE SYSTEMS INC DE 8.01,9.01 08/20/07
IMMUNICON CORP 7.01,9.01 08/23/07
IMMUREBOOST, INC. NV 9.01 08/18/07 AMEND
INDALEX HOLDINGS FINANCE INC 5.02,9.01 08/24/07
Infosmart Group, Inc. CA 5.02 08/21/07
INFOUSA INC DE 8.01,9.01 08/23/07
INGRAM MICRO INC DE 1.01,1.02,2.03,9.01 08/23/07
INOVIO BIOMEDICAL CORP 5.02,9.01 08/21/07
INTERLINK ELECTRONICS INC DE 4.01,9.01 08/15/07 AMEND
IPG PHOTONICS CORP DE 8.01 08/13/07
J P MORGAN CHASE & CO DE 9.01 08/22/07
KENMAR GLOBAL TRUST DE 2.01,7.01,9.01 08/24/07
KEY ENERGY SERVICES INC MD 5.02,9.01 08/22/07
KEYSPAN CORP NY 3.01,5.01,5.02,5.03 08/24/07
KEYSTONE AUTOMOTIVE INDUSTRIES INC CA 8.01,9.01 08/24/07
L-1 IDENTITY SOLUTIONS, INC. DE 5.02 08/20/07
LABARGE INC DE 2.02,9.01 07/01/07
LECROY CORP DE 5.02,9.01 08/20/07
LEHMAN BROTHERS HOLDINGS INC DE 9.01 08/21/07
LEVITT CORP FL 8.01 08/24/07
LIBERTY STAR URANIUM & METALS CORP. NV 1.01,3.02 06/25/07
LifeCare Holdings, Inc. DE 5.02,9.01 08/20/07
LIMITED BRANDS INC DE 2.02,7.01 08/22/07
LITTLE SQUAW GOLD MINING CO AK 8.01,9.01 08/23/07
Live Nation, Inc. DE 5.02,9.01 08/23/07
Live Nation, Inc. DE 5.02,9.01 08/23/07 AMEND
LODGIAN INC DE 5.02,7.01,8.01,9.01 08/22/07
MARINE PETROLEUM TRUST TX 7.01,9.01 08/21/07
MDC PARTNERS INC A6 1.01 08/20/07
MEADWESTVACO CORP DE 7.01 08/24/07
MED-TECH SOLUTIONS, INC. 1.01 08/22/07
MedAire, Inc. NV 8.01 08/23/07
MEDQUIST INC NJ 1.01,9.01 03/23/07 AMEND
MERGE TECHNOLOGIES INC WI 4.02 08/10/07 AMEND
MICRON ENVIRO SYSTEMS INC NV 8.01 08/23/07
ML APM Global Commodity FuturesAccess DE 5.02 08/16/07
ML Appleton FuturesAccess LLC DE 5.02 08/16/07
ML Aspect FuturesAccess LLC DE 5.02 08/16/07
ML Chesapeake FuturesAccess LLC DE 5.02 08/16/07
ML Cornerstone FuturesAccess LLC DE 5.02 08/16/07
ML SELECT FUTURES I LP 5.02 08/16/07
ML Systematic Momentum FuturesAccess DE 5.02 08/16/07
ML Transtrend DTP Enhanced FuturesAcc DE 5.02 08/16/07
ML TREND-FOLLOWING FUTURES FUND L.P, DE 5.02 08/16/07
ML Winton FuturesAccess LLC DE 5.02 08/16/07
MMA Media Inc. DE 4.01,9.01 07/19/07 AMEND
MOST HOME CORP NV 5.03,9.01 07/27/07
NARA BANCORP INC DE 8.01 08/24/07
NATIONAL COAL CORP FL 2.02,9.01 08/20/07
NATIONAL WESTERN LIFE INSURANCE CO CO 8.01 08/24/07
NCO Group, Inc. 2.02,7.01,9.01 08/22/07
Neonode, Inc DE 1.01,9.01 08/15/07
NEW FRONTIER MEDIA INC CO 5.02,9.01 08/24/07
NEW MOTION, INC. DE 5.02,5.05,9.01 08/20/07
NEW PEOPLES BANKSHARES INC VA 8.01,9.01 08/24/07
NEW WORLD BRANDS INC DE 5.02 08/20/07
New York & Company, Inc. 1.01 08/24/07
NORTH VALLEY BANCORP CA 8.01,9.01 08/24/07
NTELOS HOLDINGS CORP 5.02,9.01 08/24/07
NVR INC VA 1.01,2.03,9.01 08/23/07
OAKLEY INC WA 8.01,9.01 08/24/07
OHIO CASUALTY CORP OH 2.01,3.01,3.03,5.01,5.02,9.01 08/24/07
Orange 21 Inc. DE 5.02 08/20/07
Orbitz Worldwide, Inc. DE 7.01,9.01 08/24/07
Pacific Copper Corp. DE 1.01,8.01,9.01 08/13/07
PACIFIC VEGAS GLOBAL STRATEGIES INC CO 5.01,5.02 08/23/07
PACIFIC WEBWORKS INC NV 4.02 08/23/07
Palace Entertainment Holdings, Inc. DE 1.01,9.01 08/23/07
PENN VIRGINIA RESOURCE PARTNERS L P DE 1.01,9.01 08/23/07
People's United Financial, Inc. DE 7.01,9.01 08/23/07
PEOPLES BANCORP IN 5.03 08/23/07
PetroHunter Energy Corp MD 4.02 08/22/07
PHH CORP MD 1.01,9.01 03/14/07 AMEND
PHOENIX TECHNOLOGIES LTD DE 5.02 08/21/07
PILGRIMS PRIDE CORP DE 1.01,2.04,9.01 08/20/07
PointStar Entertainment Corp. NV 3.02,9.01 08/22/07
POKERTEK, INC. NC 8.01 08/22/07
PORTSMOUTH SQUARE INC CA 8.01 08/20/07
POWERSECURE INTERNATIONAL, INC. DE 1.01,1.02,2.03,9.01 08/23/07
PROSPECT MEDICAL HOLDINGS INC DE 2.02,9.01 08/20/07
PSS WORLD MEDICAL INC FL 5.02 08/20/07
QUANTA CAPITAL HOLDINGS LTD 1.02 08/22/07
QUANTUM MRI, INC. WA 4.02,9.01 07/13/07 AMEND
REDENVELOPE INC DE 3.01,7.01,9.01 08/20/07
REGAL BELOIT CORP WI 1.01,2.03,9.01 08/23/07
REGEN BIOLOGICS INC DE 1.01,9.01 08/23/07
REGIONS FINANCIAL CORP DE 5.02,9.01 08/24/07
RFMSI Series 2007-S8 Trust DE 8.01,9.01 08/24/07
RLI CORP IL 8.01,9.01 08/23/07
Rockville Financial Inc. 8.01 08/21/07
ROO GROUP INC DE 2.02,9.01 08/21/07
SANMINA-SCI CORP DE 5.02,9.01 08/24/07
SANTA FE FINANCIAL CORP NV 8.01 08/20/07
SCIELE PHARMA, INC. DE 2.01,9.01 06/13/07 AMEND
SECURITY BANK CORP GA 8.01,9.01 08/22/07
SENSUS METERING SYSTEMS INC 5.02,9.01 08/24/07
SENTRA CONSULTING CORP 1.01,3.02,5.03,9.01 08/20/07
SHARPER IMAGE CORP DE 2.03 08/20/07
SHARPS COMPLIANCE CORP DE 5.02,9.01 08/20/07
SHEARSON FINANCIAL NETWORK INC NV 5.03,9.01 08/24/07
SILICON IMAGE INC DE 5.02,9.01 08/23/07
SIRVA INC DE 5.02,8.01,9.01 08/23/07
SLADES FERRY BANCORP MA 1.01,9.01 08/21/07
SMARTIRE SYSTEMS INC 1.01,2.03,3.02 08/23/07
SOLOMON TECHNOLOGIES INC DE 1.01,3.02 08/24/07
SOLOMON TECHNOLOGIES INC DE 4.02 08/14/07 AMEND
SPACEDEV INC CO 1.01,3.03,8.01,9.01 08/23/07
ST MARY LAND & EXPLORATION CO DE 5.02,8.01,9.01 08/24/07
STAGE STORES INC NV 2.02,9.01 08/23/07
STAKTEK HOLDINGS INC DE 1.01,7.01,9.01 08/21/07
STANDARD PACIFIC CORP /DE/ DE 7.01,9.01 08/21/07
Stereotaxis, Inc. DE 8.01 08/23/07
STRATTEC SECURITY CORP WI 7.01,9.01 08/22/07
STRUCTURED PROD TIERS CORP BOND-BCKD DE 8.01,9.01 08/15/07
STRUCTURED PRODUCTS CORP COR TRUST FO DE 8.01,9.01 08/15/07
STRUCTURED PRODUCTS CORP CORTS TRUST DE 8.01,9.01 08/15/07
STRUCTURED PRODUCTS CORP CORTS TRUST DE 8.01,9.01 08/15/07
STRUCTURED PRODUCTS CORP CORTS TRUST DE 8.01,9.01 08/15/07
SUNPOWER CORP CA 1.01,2.03 08/20/07
SUPERIOR BANCORP DE 4.01,9.01 08/10/07 AMEND
SYNPLICITY INC CA 9.01 06/08/07 AMEND
Synutra International, Inc. DE 3.01,9.01 08/20/07
TAL International Group, Inc. DE 1.01 08/24/07
TECHNOCONCEPTS, INC. CO 2.04,9.01 08/20/07
TEMECULA VALLEY BANCORP INC CA 8.01,9.01 08/22/07
TESSERA TECHNOLOGIES INC DE 5.02,8.01,9.01 08/24/07
TETON ENERGY CORP DE 5.02,7.01,9.01 08/20/07
TEXAS INDUSTRIES INC DE 7.01,9.01 08/23/07
TEXTRON INC DE 8.01,9.01 08/24/07
TIAA Seasoned Commercial Mortgage Tru 8.01,9.01 08/09/07
TIDEWATER INC DE 8.01,9.01 08/24/07
TIERONE CORP 8.01 08/23/07
TOWER TECH HOLDINGS INC. NV 1.01,3.02,5.02,9.01 08/20/07
TRANS WORLD ENTERTAINMENT CORP NY 2.02,7.01,9.01 08/23/07
TREX CO INC DE 5.02 08/21/07
TRICO BANCSHARES / CA 8.01,9.01 08/21/07
TRICO BANCSHARES / CA 8.01,9.01 08/21/07
TRULITE INC DE 1.01,2.03,9.01 08/20/07
U S WIRELESS DATA INC DE 5.02 08/24/07
U S WIRELESS DATA INC DE 1.01,2.04,9.01 08/08/07
UNION PACIFIC CORP UT 1.01,2.03,9.01 08/21/07
UNITY WIRELESS CORP DE 2.02 08/24/07
UNIVERSAL AMERICAN FINANCIAL CORP NY 5.03,8.01,9.01 08/24/07
UNIVERSAL COMPRESSION HOLDINGS INC DE 1.02,2.01,3.01,3.03,5.01,5.02, 08/20/07
9.01
UNIVEST CORP OF PENNSYLVANIA PA 5.02,9.01 08/23/07
Unum Group DE 8.01,9.01 08/24/07
V F CORP PA 1.01,2.03,9.01 08/21/07
VAIL RESORTS INC DE 2.02,4.02,9.01 08/22/07
VALIDIAN CORP NV 1.01,5.02,5.03,9.01 08/02/07
VARSITY GROUP INC 3.01,9.01 08/20/07
VECTr SYSTEMS INC 1.01,3.02,8.01,9.01 05/30/07 AMEND
Voyager Petroleum, Inc. NV 1.01,9.01 08/23/07
W&T OFFSHORE INC TX 7.01,9.01 08/23/07
WESTAFF INC DE 2.02,5.02,9.01 08/15/07 AMEND
WHITEMARK HOMES INC CO 5.02 08/22/07
WHITNEY INFORMATION NETWORK INC CO 2.02,8.01,9.01 08/24/07
WHOLE FOODS MARKET INC TX 8.01,9.01 08/23/07
Williams Partners L.P. 5.02,7.01,9.01 08/22/07
WILLIS GROUP HOLDINGS LTD D0 1.01,9.01 08/22/07
WORLDTRADESHOW COM INC 1.01 08/24/07
Z TRIM HOLDINGS, INC IL 3.01,7.01,9.01 08/17/07
http://www.sec.gov/news/digest/2007/dig082707.htm
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