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SEC NEWS DIGEST
Issue 2007-177 September 13, 2007
ENFORCEMENT PROCEEDINGS
SEC CHARGES 69 AUDIT FIRMS AND PARTNERS FOR ISSUING AUDIT REPORTS
WHILE NOT REGISTERED WITH THE PCAOB
The Commission today issued 39 settled and contested administrative
orders against 69 auditors that issued audit reports on the financial
statements of public companies while they were not registered with the
Public Company Accounting Oversight Board. The SEC orders name 37
unregistered audit firms and 32 audit partners who participated in the
preparation and issuance of their unregistered firms' audit reports.
These firms and partners did not comply with a fundamental requirement
of the Sarbanes-Oxley Act of 2002-that accounting firms that prepare
and issue audit reports on the financial statements of public
companies must be registered with the PCAOB. The 69 firms and partners
named in today's actions were collectively responsible for issuing 60
audit reports for 53 companies between November 2003 and October 2005.
Twenty-eight audit firms and 22 partners agreed to settlements in
which the Commission found that each firm issued between one and eight
audit reports while unregistered, and ordered the firms and partners
to cease and desist from committing or causing violations of the
registration provision of Sarbanes-Oxley, Section 102(a). The
Commission also censured the firms. Additionally, two firms agreed to
disgorge audit fees they received for their audits, while the other
settling firms that received audit fees returned the fees to their
issuers during the course of the Commission's investigation. Without
admitting or denying the findings of the Orders, each of the settling
firms and partners consented to the entry of an order finding that
they violated Section 102(a) of the Sarbanes-Oxley Act. The firms and
partners who settled the proceedings are named in 29 settled Orders.
Separately, the Commission issued 10 Orders Instituting Proceedings
against a total of nine nonsettling firms and ten nonsettling
partners. The Orders allege that the firms and partners prepared and
issued audit reports that issuers included in filings with the
Commission. The Orders allege that the firms were not registered with
the PCAOB. As to all of the nonsettling audit firms, the Orders
Instituting Proceedings will determine whether, pursuant to Section
4C(a) of the Securities Exchange Act of 1934 and Rule 102(e)(1) of the
Commission's Rules of Practice, the firms failed to possess the
requisite qualifications to represent others and willfully violated
Section 102(a) of Sarbanes-Oxley. As to all of the nonsettling
partners, the Orders will determine whether the partners failed to
possess the requisite qualifications to represent others by
participating in the preparation and issuance of audit reports by a
firm that was not registered with the PCAOB. In addition, as to three
of the nonsettling firms and three of the nonsettling partners-Halt,
Buzas & Powell, Ltd.; Jay J. Shapiro, CPA, P.C.; Jay J. Shapiro, CPA;
Michael Deutchman, CPA; Lester Rex Andersen, CPA; and Richard E.
Sellers, CPA-the Orders also institute cease-and-desist proceedings to
determine whether a cease-and-desist order should issue against each
of them and whether each of them (with the exception of Michael
Deutchman, CPA) should be ordered to pay disgorgement of audit fees. A
hearing will be scheduled before an administrative law judge in all of
the proceedings against the nonsettling firms and partners to
determine whether the allegations in the Orders are true, to provide
the nonsettling firms and partners an opportunity to dispute the
allegations, and to determine what remedial relief, if any, is
appropriate, including whether they should be censured or temporarily
or permanently denied the privilege of appearing or practicing before
the Commission as accountants, and whether certain of the nonsettling
firms and partners should have a cease-and-desist order entered
against them and be ordered to disgorge audit fees. The Orders direct
the administrative law judge to issue an initial decision in the
matter no later than 300 days from the date of service of the Orders.
In the Matter of Andrew M. Smith, CPA- (Rel. 34-56398, AAE Rel. 2678,
File No. 3-12759); In the Matter of Beckman Kirkland & Whitney; James
M. Kirkland, CPA and Robert J. Whitney, CPA-(Rel. 34-56399, AAE Rel.
2679, File No. 3-12760); In the Matter of Berger, Apple & Associates,
Ltd.; Mitchell S. Seifert, CPA- (Rel. 34-56400, AAE Rel. 2680, File
No. 3-12761); In the Matter of Beutel Accountancy Corporation; Todd W.
Beutel, CPA- (Rel. 34-56401, AAE Rel. 2681, File No. 3-12762); In the
Matter of Bray & Associates CPAs, LLC; Arnold D. Bray, CPA- (Rel. 34-
56402, AAE Rel. 2682, File No. 3-12763); In the Matter of Bruce
Redlin, CPA- (Rel. 34-56403, AAE Rel. 2683, File No. 3-12764); In the
Matter of Bujan & Associates, Ltd.; Frank Bujan, CPA- (Rel. 34-56404,
AAE Rel. 2684, File No. 3-12765); In the Matter of Charles J.
Birnberg, CPA- (Rel. 34-56405, AAE Rel. 2685, File No. 3-12766); In
the Matter of Charles R. Hunt, CPA, PA; Charles R. Hunt, CPA- (Rel.
34-56406, AAE Rel. 2686, File No. 3-12767); In the Matter of Dan
Clasby & Company; Daniel E. Clasby, CPA- (Rel. 34-56407, AAE Rel.
2687, File No. 3-12768); In the Matter of Darilek, Butler & Co., P.C.;
Robert F. Darilek, CPA- (Rel. 34-56408, AAE Rel. 2688, File No. 3-
12769); In the Matter of David M. Winings, CPA, An Accountancy
Corporation; David M. Winings, CPA- (Rel. 34-56409, AAE Rel. 2689,
File No. 3-12770); In the Matter of Forbush & Associates; Daniel J.
Forbush, CPA- (Rel. 34-56410, AAE Rel. 2690, File No. 3-12771); In the
Matter of F.X. Duffy & Co., Inc.; Kevin P. Duffy, CPA- (Rel. 34-56411,
AAE Rel. 2691, File No. 3-12772); In the Matter of Harvey S. Weingard,
CPA- (Rel. 34-56412, AAE Rel. 2692, File No. 3-12773); In the Matter
of Henry L. Creel Co., Inc.; Henry L. Creel, CPA- (Rel. 34-56413, AAE
Rel. 2693, File No. 3-12774); In the Matter of Henry Schiffer, CPA, An
Accountancy Corporation; Henry Schiffer, CPA- (Rel. 34-56414, AAE Rel.
2694, File No. 3-12775); In the Matter of Isaac Gordon, CPA- (Rel. 34-
56415, AAE Rel. 2695, File No. 3-12776); In the Matter of Joseph Mao,
CPA- (Rel. 34-56416, AAE Rel. 2696, File No. 3-12777); In the Matter
of McNeal, Williamson & Co.; Daniel L. Williamson, CPA- (Rel. 34-
56417, AAE Rel. 2697, File No. 3-12778); In the Matter of Michael C.
Lingerman, CPA (partner of firm since dissolved) - (Rel. 34-56418, AAE
Rel. 2698, File No. 3-12779); In the Matter of Milner and Brock,
CPA's; Stephen D. Milner, CPA- (Rel. 34-56419, AAE Rel. 2699, File No.
3-12780); In the Matter of Norman Stumacher, CPA- (Rel. 34-56420, AAE
Rel. 2700, File No. 3-12781); In the Matter of Preferred Accounting
Services, Inc.; Ana Costales, CPA- (Rel. 34-56421, AAE Rel. 2701, File
No. 3-12782); In the Matter of Randy Simpson, CPA, P.C.; Randy R.
Simpson, CPA- (Rel. 34-56422, AAE Rel. 2702, File No. 3-12783); In the
Matter of Reed & Taylor, CPAs, P.C.; Robert E. Reed, CPA- (Rel. 34-
56423, AAE Rel. 2703, File No. 3-12784); In the Matter of Sanford H.
Feibusch, CPA, PC; Sanford H. Feibusch, CPA- (Rel. 34-56424, AAE Rel.
2704, File No. 3-12785); In the Matter of United Financial CPA PC;
Anowar Hossain, CPA- (Rel. 34-56425, AAE Rel. 2705, File No. 3-12786);
In the Matter of William E. Costello, CPA- (Rel. 34-56426, AAE Rel.
2706, File No. 3-12787); In the Matter of Banker & Co. and Jitendra S.
Banker - (Rel. 34-56427, AAE Rel. 2707, File No. 3-12788); In the
Matter of Carl S. Sanko, CPA- (Rel. 34-56428, AAE Rel. 2708, File No.
3-12789); In the Matter of Choi Dow Ian Hong & Lee Accountancy
Corporation; Ernest E. Dow, CPA- (Rel. 34-56429, AAE Rel. 2709, File
No. 3-12790); Frederick A. Kaden & Co.; Frederick A. Kaden, CPA- (Rel.
34-56430, AAE Rel. 2710, File No. 3-12791); In the Matter of Halt,
Buzas & Powell, Ltd.; Wayne A. Powell, CPA and Steven R. Halt, CPA-
(Rel. 34-56431, AAE Rel. 2711, File No. 3-12792); In the Matter of Jay
J. Shapiro, CPA, P.C.; Jay J. Shapiro, CPA- (Rel. 34-56432, AAE Rel.
2712, File No. 3-12793); In the Matter of Michael Deutchman, CPA-(Rel.
34-56433, AAE Rel. 2713, File No. 3-12794); In the Matter of
Schuhalter Coughlin & Suozzo PC; Edward J. Suozzo, CPA- (Rel. 34-
56434, AAE Rel. 2714, File No. 3-12795); In the Matter of Story &
Company, P.C.; Brian L. Story, CPA- (Rel. 34-56435, AAE Rel. 2715,
File No. 3-12796); Lester Rex Andersen, CPA and Richard E. Sellers,
CPA - (Rel. 34-56436, AAE Rel. 2716, File No. 3-12797); Press Rel.
2007-183)
SEC FILES SETTLED ACTION AGAINST SURE TRACE SECURITY CORPORATION AND
OTHERS FOR FRAUDULENT PRESS RELEASES AND REPEATED SECURITIES
REGISTRATION VIOLATIONS
The Commission today filed a settled civil action in the U.S. District
Court for the District of Columbia against Sure Trace Security
Corporation and Peter Leeuwerke, a former chief executive officer and
consultant to Sure Trace, for their alleged violations of the
antifraud and registration provisions of the federal securities laws,
and against Michael Cimino, Sure Trace's vice-chairman and president,
for his alleged violations of the registration provisions. Sure Trace
is a development stage company that sells purported technology that
allows identification images to be permanently imprinted on an object.
The Commission's complaint alleges that on September 14, 2004, Sure
Trace issued a press release claiming it had signed a contract for $6
million gross annual revenue, when, in fact, it had not secured the
contract. Sure Trace issued two other press releases in 2004 that
allegedly omitted material facts about Sure Trace's negotiations to
acquire Sensor Media Corporation. Leeuwerke had a role in drafting
each release.
The Commission's complaint also alleges that Sure Trace made several
attempts to evade securities registration requirements. According to
the complaint, from 2002 to 2003, Sure Trace attempted to use at least
three Forms S-8 to register the issuance of stock, purportedly to give
to its employees and consultants under the auspices of various
employee stock option plans. Many of the shares Sure Trace registered
on Forms S-8 and issued to "consultants" were never intended to
compensate the so-called "consultants" for their services, but rather
were designed from the outset to make a market in the company's stock.
Sure Trace also violated the registration requirements in May 2006
when it spun off shares of its subsidiary, True Product ID. Cimino
effected the spin-off.
Sure Trace, without admitting or denying the allegations in the
complaint, consented to a final judgment enjoining it from violating
Sections 5(a) and 5(c) of the Securities Act of 1933 (Securities Act)
and Section 10(b) of the Securities Exchange Act of 1934 (Exchange
Act) and Rule 10b-5 thereunder, and ordering disgorgement of $933,750
and pre-judgment interest of $165,150.75, provided that the Commission
waive the payment of disgorgement and pre-judgment interest and not
impose a civil penalty based on Sure Trace's Sworn Statement of
Financial Condition. Leeuwerke, without admitting or denying the
allegations in the complaint, consented to a final judgment enjoining
him from violating Sections 5(a) and 5(c) of the Securities Act, and
from violating, and aiding and abetting violations of, Section 10(b)
of the Exchange Act and Rule 10b-5 thereunder, and ordering
disgorgement and pre-judgment interest, provided that the Commission
waive the payment of disgorgement and pre-judgment interest and not
impose a civil penalty based on his Sworn Statement of Financial
Condition. Cimino, without admitting or denying the allegations in the
complaint, consented to a final judgment enjoining him from violating
Sections 5(a) and 5(c) of the Securities Act.
The Commission's investigation into the conduct of others is
continuing. The Commission acknowledges the assistance of the Royal
Canadian Mounted Police's Integrated Market Enforcement Team in
Vancouver. [SEC v. Sure Trace Security Corp. et al, Civil Action No.
07-CV-01619) (D.D.C.) (JR)] (LR-20277)
SEC FILES FRAUD CHARGES AGAINST HEDGE FUND MANAGER ROBERT A. BERLACHER
AND THE LANCASTER HEDGE FUNDS FOR ENGAGING IN ILLEGAL "PIPE" TRADING
SCHEME AND INSIDER TRADING
The Commission filed securities fraud and related charges today
against Robert A. Berlacher, Lancaster Investment Partners, L.P.,
Northwood Capital Partners, L.P., Cabernet Partners, L.P., Chardonnay
Partners, L.P., Insignia Partners, L.P., VFT Special Ventures, Ltd.,
LIP Advisors, LLC, NCP Advisors, LLC, and RAB Investment Company, LLC
(collectively, "Lancaster") in the U.S. District Court for the Eastern
District of Pennsylvania. The Commission's complaint alleges that the
defendants collectively perpetrated an illegal trading scheme to evade
the registration requirements of the federal securities laws in
connection with at least ten unregistered securities offerings, which
are commonly referred to as "PIPEs" (Private Investments in Public
Equities), made materially false representations to the PIPE issuers
in connection with those offerings, and engaged in illegal insider
trading.
* The Commission's complaint alleges that, during the period 2000
through 2005, Berlacher implemented an unlawful trading scheme that
enabled Lancaster to improperly realize more than $1.7 million in ill-
gotten gains by investing in PIPE offerings without incurring market
risk. Specifically, the complaint alleges:
* Berlacher and Lancaster, after learning about a PIPE transaction,
sold short the issuer's stock. Once the Commission declared the resale
registration statement effective, Berlacher and Lancaster used the
PIPE shares to cover the short positions ? a practice prohibited by
the registration provisions of the federal securities laws.
* To avoid detection and regulatory scrutiny, Berlacher and Lancaster
employed a variety of deceptive trading techniques, including wash
sales, matched orders, and pre-arranged trades, to make it appear that
they were covering their short sales with open market shares, when, in
fact, Berlacher and Lancaster were on both sides of the transactions
and were covering with their PIPE shares.
* In each of the transactions, Berlacher and Lancaster made materially
false representations to the PIPE issuers to induce them to sell
securities to Lancaster. As a precondition of participation in a PIPE,
Berlacher and Lancaster had to represent that they would not sell,
transfer or dispose of the PIPE shares other than in compliance with
the registration provisions of the Securities Act of 1933. This
representation was material to the PIPE issuers, who, as the stock
purchase agreements made clear, relied on the investors'
representations in order to qualify for an exemption from the
registration requirements for their private offering. At the time
defendants learned about the PIPE, however, they intended to
distribute the restricted PIPE securities in violation of the
registration provisions of the Securities Act.
On at least one occasion, Berlacher and Lancaster engaged in illegal
insider trading by selling short the securities of a certain PIPE
issuer prior to the public announcement of the PIPE, while using
nonpublic information they received when being solicited to invest in
the PIPE. Berlacher and Lancaster engaged in this conduct
notwithstanding their agreement to keep information about the PIPE
confidential and/or to refrain from trading or discussing the offering
prior to the public announcement of the PIPE.
By engaging in the foregoing conduct, the complaint alleges that
defendants violated the registration provisions of the Securities Act
(Sections 5(a), 5(b), and 5(c)) and the antifraud provisions of both
the Securities Act (Section 17(a)) and the Securities Exchange Act of
1934 (Section 10(b) and Rule 10b-5 thereunder). The Commission's
complaint seeks to permanently enjoin defendants from future
violations of the applicable provisions of the federal securities
laws, disgorgement of ill-gotten gains (with prejudgment interest
thereon), and civil penalties.
The Commission's investigation is continuing. [SEC v. Robert A.
Berlacher, Lancaster Investment Partners, L.P., Northwood Capital
Partners, L.P., Cabernet Partners, L.P., Chardonnay Partners, L.P.,
Insignia Partners, L.P., VFT Special Ventures, Ltd., LIP Advisors,
LLC, NCP Advisors, LLC, and RAB Investment Company, LLC, Civil Action
No. 07-CV-3800 (ER] (LR-20278)
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A proposed rule change filed by the New York Stock Exchange relating
to the elimination of one of its NYSE OpenBook® services (SR-NYSE-
2007-80) 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 September 17. (Rel. 34-56384)
The Options Clearing Corporation filed a proposed rule change (SR-OCC-
2007-09) under Section 19(b)(3)(A) of the Securities Exchange Act
which reduces certain OCC clearing fees. Publication is expected in
the Federal Register during the week of September 17. (Rel. 34-56386)
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.
SB-2 NORTHERN ETHANOL, INC., 193 KING STREET EAST, SUITE 300, TORONTO, A6,
M5A 1J5, 416-366-5511 - 4,096,500 ($1.00) Equity, (File 333-145991 -
Sep. 12) (BR. 01B)
SB-2 KNIGHTSBRIDGE RESOURCES INC, P O BOX 10356, 801-609 GRANVILLE ST,
VANCOUVER, A1, V7V 1G3, 441202 716-352 -
2,000,000 ($200,000.00) Equity, (File 333-145992 - Sep. 12) (BR. 04A)
S-3 COLLEGE LOAN LLC, 16855 W. BERNARDO DRIVE, SAN DIEGO, CA, 92127,
0 ($1,000,000.00) Asset-Backed Securities, (File 333-145993 - Sep. 12)
(BR. 05D)
F-1 Babcock & Brown Air LTD, WEST PIER, DUN LAOGHAIRE, COUNTY DUBLIN, L2,
00000, 353 1 231-1900 - 0 ($515,999,976.00) Equity, (File 333-145994 -
Sep. 12) (BR. 06)
S-4 Biomira CORP, 110 - 110TH AVENUE NE, SUITE 685, BELLEVUE, WA, 98004,
425-450-0370 - 0 ($136,536,769.00) Equity, (File 333-145995 - Sep. 12)
(BR. 01)
F-3ASR NICE SYSTEMS LTD, 8 HAPNINA STREET, P.O.B. 690, RA'ANANA, L3, 43107,
972-9-775-3777 - 0 ($54,084,607.00) Equity, (File 333-145996 - Sep. 12)
(BR. 03A)
F-6 Babcock & Brown Air LTD, WEST PIER, DUN LAOGHAIRE, COUNTY DUBLIN, L2,
00000, 353 1 231-1900 - 100,000,000 ($50,000.00) Equity,
(File 333-145997 - Sep. 12) (BR. 06)
S-8 R H DONNELLEY CORP, 1001 WINSTEAD DRIVE, CARY, NC, 27513, 9198046000 -
0 ($5,286,970.00) Equity, (File 333-145998 - Sep. 12) (BR. 11B)
S-8 FLEETWOOD ENTERPRISES INC/DE/, 3125 MYERS ST, P O BOX 7638, RIVERSIDE,
CA, 92503, 9093513798 - 0 ($53,408,614.00) Equity, (File 333-146000 -
Sep. 12) (BR. 05A)
S-8 ORCHID CELLMARK INC, 4390 US ROUTE ONE, PRINCETON, NJ, 08540,
6097502200 - 0 ($10,920,000.00) Equity, (File 333-146002 - Sep. 12)
(BR. 09B)
F-3 CRESUD INC, AV ROQUE SAENZ PENA 832, 8TH FL, BUENOS AIRES ARGENTINA,
C1, 1388, 5413287808 - 0 ($449,904,000.00) Equity, (File 333-146011 -
Sep. 12) (BR. 04B)
SB-2 REEDS INC, 13000 SOUTH SPRING STREET, LOS ANGELES, CA, 90061,
800-997-1361 - 2,414,995 ($15,713,962.50) Equity, (File 333-146012 -
Sep. 12) (BR. 02A)
S-1 BIOPURE CORP, 11 HURLEY ST, CAMBRIDGE, MA, 02141, 6172346500 -
0 ($82,125,000.00) Equity, (File 333-146013 - Sep. 12) (BR. 01C)
SB-2 TETRAGENEX PHARMACEUTICALS, INC., 1 MAYNARD DRIVE, SUITE 205,
PARK RIDGE, NJ, 07656, (201) 505-1300 -
9,963,128 ($12,958,440.00) Equity, (File 333-146014 - Sep. 12) (BR. 07)
S-1 WILLIAMS PIPELINE PARTNERS L.P., ONE WILLIAMS CENTER, SUITE 4700,
TULSA, OK, 74172, 918-573-8009 -
0 ($313,950,000.00) Limited Partnership Interests, (File 333-146015 -
Sep. 12) (BR. )
S-1 Seacastle Inc., 1345 AVENUE OF THE AMERICAS, NEW YORK, NY, 10105,
212-479-5327 - 0 ($345,000,000.00) Equity, (File 333-146016 - Sep. 12)
(BR. )
S-8 LIFETIME BRANDS, INC, 1000 STEWART AVENUE, GARDEN CITY, NY, 11530,
5166836000 - 750,000 ($14,857,500.00) Equity, (File 333-146017 -
Sep. 12) (BR. 06A)
S-8 Atlas Technology Group, Inc., 2001 152ND AVENUE NE, REDMOND, WA, 98052,
415-674-5555 - 8,464,201 ($6,771,361.00) Equity, (File 333-146018 -
Sep. 12) (BR. 03C)
S-1 ACTIVE POWER INC, 11525 STONEHOLLOW DR, STE 110, AUSTIN, TX, 78758,
5128366464 - 0 ($14,500,000.00) Equity, (File 333-146019 - Sep. 12)
(BR. 02A)
S-1 AMC ENTERTAINMENT HOLDINGS, INC., 920 MAIN STREET, KANSAS CITY, MO,
64105, 816-221-4000 - 0 ($500,000,000.00) Equity, (File 333-146021 -
Sep. 12) (BR. )
RECENT 8K FILINGS
Form 8-K is used by companies to file current reports on the following events:
1.01 Entry into a Material Definitive Agreement
1.02 Termination of a Material Definitive Agreement
1.03 Bankruptcy or Receivership
2.01 Completion of Acquisition or Disposition of Assets
2.02 Results of Operations and Financial Condition
2.03 Creation of a Direct Financial Obligation or an Obligation under an
Off-Balance Sheet Arrangement of a Registrant
2.04 Triggering Events That Accelerate or Increase a Direct Financial Obligation
under an Off-Balance Sheet Arrangement
2.05 Cost Associated with Exit or Disposal Activities
2.06 Material Impairments
3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or
Standard; Transfer of Listing
3.02 Unregistered Sales of Equity Securities
3.03 Material Modifications to Rights of Security Holders
4.01 Changes in Registrant's Certifying Accountant
4.02 Non-Reliance on Previously Issued Financial Statements or a Related Audit
Report or Completed Interim Review
5.01 Changes in Control of Registrant
5.02 Departure of Directors or Principal Officers; Election of Directors;
Appointment of Principal Officers
5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
5.04 Temporary Suspension of Trading Under Registrant's Employee Benefit Plans
5.05 Amendments to the Registrant's Code of Ethics, or Waiver of a
Provision of the Code of Ethics
6.01. ABS Informational and Computational Material.
6.02. Change of Servicer or Trustee.
6.03. Change in Credit Enhancement or Other External Support.
6.04. Failure to Make a Required Distribution.
6.05. Securities Act Updating Disclosure.
7.01 Regulation FD Disclosure
8.01 Other Events
9.01 Financial Statements and Exhibits
8-K reports may be obtained in person or by writing to the
Commission's Public Reference Branch at 100 F Street, N.E.,
Washington, D.C. 20549-1090 or at the following e-mail box address:
publicinfo@sec.gov. In most cases, this information is also available
on the Commission's website: www.sec.gov.
STATE
NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT
AASTROM BIOSCIENCES INC MI 5.03,9.01 09/06/07
ACCENTIA BIOPHARMACEUTICALS INC 1.01,2.03,3.02,9.01 09/11/07
Access Plans USA, Inc. OK 4.02 09/06/07
ACE COMM CORP MD 3.01,9.01 09/06/07
ACTEL CORP CA 7.01,9.01 09/12/07
ADCARE HEALTH SYSTEMS INC 1.02,2.01,9.01 09/06/07
ALCOA INC PA 8.01,9.01 09/12/07
Aldabra 2 Acquisition Corp. DE 1.01,9.01 09/07/07 AMEND
ALLIANT TECHSYSTEMS INC DE 5.02,9.01 09/06/07
ALNYLAM PHARMACEUTICALS, INC. 1.01 09/06/07
ALPHA PETROLEUM EXPLORATION CORP NY 4.01 06/01/07
Alphatec Holdings, Inc. DE 1.01,9.01 09/11/07
Alternative Loan Trust 2007-24 DE 9.01 08/30/07
AMACORE GROUP, INC. DE 1.01,2.01,8.01,9.01 08/28/07
AMEN PROPERTIES INC DE 8.01 08/31/07
AMERICAN ELECTRIC POWER CO INC NY 7.01 09/12/07
AMERICAN ORIENTAL BIOENGINEERING INC CO 2.01 09/06/07
AMERICAN PHYSICIANS CAPITAL INC MI 7.01,9.01 09/12/07
AMERICAN SOIL TECHNOLOGIES INC NV 4.01,9.01 09/11/07 AMEND
AMERICAN SOIL TECHNOLOGIES INC NV 4.01,9.01 09/11/07 AMEND
AMERICAN TECHNOLOGY CORP /DE/ DE 5.02,9.01 09/11/07
AMERISOURCEBERGEN CORP DE 8.01 09/12/07
Amtrust Financial Services, Inc. DE 2.01,8.01,9.01 09/07/07
Andover Medical, Inc. DE 3.02,5.03 09/06/07
Andover Medical, Inc. DE 9.01 05/04/07 AMEND
Andover Medical, Inc. DE 9.01 05/11/07 AMEND
APAC CUSTOMER SERVICE INC IL 7.01,9.01 09/12/07
APPLIED MATERIALS INC /DE DC 5.02,7.01,8.01,9.01 09/11/07
ARBITRON INC DE 7.01,9.01 09/12/07
ARCH CAPITAL GROUP LTD. 7.01 09/12/07
ARTS WAY MANUFACTURING CO INC DE 2.01 09/12/07
ASI TECHNOLOGY CORP NV 5.02 09/10/07
ASIA PREMIUM TELEVISION GROUP NV 8.01 09/12/07
AskMeNow,Inc. DE 1.01,2.03,5.03,9.01 09/06/07
ASPEN TECHNOLOGY INC /DE/ DE 2.02,9.01 09/12/07
ASYST TECHNOLOGIES INC CA 1.02,5.02 09/06/07
ATARI INC DE 4.01 09/11/07
Atlas Energy Resources, LLC DE 9.01 06/29/07 AMEND
ATWOOD OCEANICS INC TX 7.01,8.01,9.01 09/11/07
AVANEX CORP DE 5.02 09/06/07
Aviza Technology, Inc. DE 1.02 09/10/07
BACKWEB TECHNOLOGIES LTD 4.01,9.01 09/06/07
BALLY TECHNOLOGIES, INC. NV 1.01,5.02 09/10/07
BANK JOS A CLOTHIERS INC /DE/ DE 2.02,9.01 09/12/07
Battle Mountain Gold Exploration Corp 3.02 09/11/07
BEHRINGER HARVARD SHORT TERM OPPORTUN TX 2.03,9.01 09/06/07
BEXIL CORP MD 3.01,9.01 09/11/07
BFC FINANCIAL CORP FL 8.01 09/10/07
BIODELIVERY SCIENCES INTERNATIONAL IN DE 1.01,2.03,9.01 09/11/07
BIOENVISION INC DE 2.02,9.01 09/12/07
BioFuel Energy Corp. 4.01,9.01 09/11/07
BIOVEST INTERNATIONAL INC DE 1.01,2.03,3.02 09/11/07
BLOCKBUSTER INC DE 5.02,9.01 09/12/07
BOWATER INC DE 8.01,9.01 09/07/07
BOWLIN TRAVEL CENTERS INC NV 2.02,9.01 09/12/07
BPO Management Services DE 1.01,9.01 06/29/07 AMEND
BreitBurn Energy Partners L.P. DE 7.01,9.01 09/12/07
BTHC VII Inc DE 5.03 09/06/07
CABCO TRUST FOR J.C. PENNEY DEBENTURE DE 8.01,9.01 09/01/07
CAMINOSOFT CORP CA 1.01,9.01 09/06/07
CAPITAL ONE MASTER TRUST NY 8.01,9.01 09/11/07
CARRIZO OIL & GAS INC TX 1.01,7.01,9.01 09/10/07
Challenger Powerboats, Inc. NV 1.01,2.01,9.01 08/27/07
Chaparral Steel CO DE 8.01 09/12/07
CHENIERE ENERGY INC DE 5.03,9.01 09/06/07
CHEROKEE INC DE 2.02,9.01 09/12/07
CHINA DIGITAL COMMUNICATION GROUP NV 4.02,5.02,9.01 09/11/07
China Natural Gas, Inc. DE 4.01,9.01 06/21/07
CHINA SUN GROUP HIGH-TECH CO NC 2.02,8.01,9.01 09/12/07
China Water & Drinks Inc.. NV 8.01,9.01 09/11/07
CHL Mortgage Pass-Through Trust 2007- DE 9.01 08/30/07
CHL Mortgage Pass-Through Trust 2007- DE 8.01,9.01 09/11/07
CHL Mortgage Pass-Through Trust 2007- DE 9.01 08/30/07
CHL Mortgage Pass-Through Trust 2007- DE 8.01,9.01 09/11/07
CIT Equipment Collateral 2004-EF1 DE 7.01,9.01 06/30/07
CIT Equipment Collateral 2005-EF1 7.01,9.01 06/30/07
CIT Equipment Collateral 2005-VT1 7.01,9.01 06/30/07
CIT Equipment Collateral 2006-VT1 7.01,9.01 06/30/07
CIT EQUIPMENT COLLATERAL 2006-VT2 7.01,9.01 06/30/07
CIT HOME EQUITY LOAN TRUST 2002-1 DE 7.01,9.01 06/30/07
CIT HOME EQUITY LOAN TRUST 2003-1 DE 7.01,9.01 06/30/07
CIT HOME EQUITY TRUST 2002-2 DE 7.01,9.01 06/30/07
CIT RV TRUST 1998-A DE 7.01,9.01 06/30/07
CIT RV TRUST 1999-A DE 7.01,9.01 06/30/07
CITIBANK CREDIT CARD ISSUANCE TRUST DE 8.01,9.01 09/12/07
CITIZENS BANCORP/OR 8.01,9.01 09/12/07
CKE RESTAURANTS INC DE 7.01,9.01 09/10/07
CLEVELAND CLIFFS INC OH 8.01 09/11/07
CLINICAL DATA INC DE 8.01,9.01 09/12/07
COFFEE PACIFICA INC NV 5.02,8.01 09/05/07
COMMONWEALTH BANKSHARES INC VA 5.02 09/12/07
COMMUNICATE COM INC NV 1.01,5.02,9.01 09/12/07
COMPUTER SCIENCES CORP NV 5.02,5.03 09/12/07
Consolidated Communications Holdings, DE 5.03,9.01 09/11/07
CONTINUCARE CORP FL 2.02,9.01 09/12/07
CORCEPT THERAPEUTICS INC 8.01,9.01 09/11/07
CORPORATE BOND BACKED CERT TR SER 199 8.01,9.01 09/04/07
COSTAR GROUP INC 8.01 09/11/07
CRAFTMADE INTERNATIONAL INC DE 2.02,7.01,9.01 09/12/07
CREDIT ACCEPTANCE CORPORATION MI 7.01,9.01 09/12/07
CREDO PETROLEUM CORP CO 2.02,9.01 09/10/07
Cryoport, Inc. 8.01 09/11/07
CUBIST PHARMACEUTICALS INC DE 8.01,9.01 09/06/07
CYBER DEFENSE SYSTEMS INC FL 1.01,8.01,9.01 09/06/07
CYTRX CORP DE 5.02,9.01 09/07/07
DANAHER CORP /DE/ DE 5.03,9.01 09/12/07
DCI USA, INC DE 2.03,9.01 09/05/07
DELL INC DE 5.02,9.01 09/06/07
DELTA AIR LINES INC /DE/ DE 7.01,9.01 09/12/07
DENNYS CORP DE 5.03,9.01 09/06/07
DIALYSIS CORP OF AMERICA FL 8.01 09/12/07
DIAMOND ENTERTAINMENT CORP NJ 3.01 09/12/07
DreamWorks Animation SKG, Inc. 5.02,9.01 09/07/07
DREW INDUSTRIES INC DE 5.02,9.01 09/07/07
DRI CORP NC 7.01,9.01 09/12/07
DUKE REALTY CORP IN 1.01,9.01 09/11/07
DUKE REALTY LIMITED PARTNERSHIP/ IN 1.01,9.01 09/11/07
DXP ENTERPRISES INC TX 1.01,2.01,9.01 09/11/07
EAU TECHNOLOGIES, INC. DE 5.02,5.03,9.01 01/12/07
Education Realty Trust, Inc. MD 7.01,9.01 09/06/07
ELECTRONIC DATA SYSTEMS CORP /DE/ DE 2.05 09/07/07
Encore Energy Partners LP DE 1.01,7.01,9.01 09/11/07
ENDURANCE SPECIALTY HOLDINGS LTD 1.01,7.01,8.01,9.01 09/10/07
eTelecare Global Solutions, Inc. 1.01,5.05,9.01 09/06/07
EV Energy Partners, LP DE 9.01 06/27/07 AMEND
EXECUTE SPORTS INC NV 1.01,2.01,3.02,9.01 08/29/07
Exobox Technologies Corp. NV 8.01 09/10/07
EXTERRAN HOLDINGS INC. DE 9.01 08/20/07 AMEND
Extra Space Storage Inc. MD 5.02,9.01 09/06/07
EXXON MOBIL CORP NJ 8.01 09/06/07
FAIRCHILD CORP DE 5.02 09/07/07
FAMOUS DAVES OF AMERICA INC MN 8.01,9.01 09/06/07
FBR CAPITAL MARKETS CORP 8.01,9.01 09/12/07
Federal Home Loan Bank of Topeka 5.02,7.01,9.01 09/12/07
FINANCIAL INDUSTRIES CORP TX 4.01,9.01 09/06/07
FIRST INDUSTRIAL REALTY TRUST INC MD 5.02,7.01,9.01 09/10/07
FIRST INVESTORS FINANCIAL SERVICES GR TX 2.02,9.01 09/12/07
FIRST REAL ESTATE INVESTMENT TRUST OF NJ 8.01 09/11/07
Flagship Global Health, Inc. DE 1.01 09/06/07
FORRESTER RESEARCH INC DE 3.01,9.01 09/12/07
Fortunet, Inc. NV 8.01 09/11/07
FREEPORT MCMORAN COPPER & GOLD INC DE 8.01,9.01 09/12/07
FREMONT GENERAL CORP NV 5.02 09/11/07
FRIEDMAN BILLINGS RAMSEY GROUP INC VA 8.01,9.01 09/12/07
GENAERA CORP DE 8.01,9.01 09/10/07
GENERAL CABLE CORP /DE/ DE 1.01,8.01,9.01 09/11/07
GENERAL CABLE CORP /DE/ DE 7.01,9.01 09/12/07
General Finance CORP DE 5.03,8.01,9.01 09/11/07
GERBER SCIENTIFIC INC CT 2.02,9.01 09/12/07
GLOBETEL COMMUNICATIONS CORP DE 4.01 09/11/07
GOAMERICA INC DE 7.01,9.01 09/12/07
GOOD TIMES RESTAURANTS INC NV 5.02 09/12/07
Granite Falls Energy, LLC MN 7.01,9.01 09/12/07
GRYPHON GOLD CORP NV 5.02,7.01,8.01,9.01 09/12/07
GSI COMMERCE INC DE 2.01,7.01,9.01 09/10/07
GUARDIAN TECHNOLOGIES INTERNATIONAL I DE 8.01 09/12/07
GULF RESOURCES, INC. DE 7.01,8.01,9.01 09/06/07
GULF RESOURCES, INC. DE 7.01,8.01,9.01 09/11/07
GYRODYNE CO OF AMERICA INC NY 9.01 06/27/07 AMEND
H&E Equipment Services, Inc. DE 7.01 09/06/07
HAIN CELESTIAL GROUP INC DE 3.01,8.01,9.01 09/11/07
HALOZYME THERAPEUTICS INC NV 1.01,9.01 09/07/07
HAMPTON ROADS BANKSHARES INC VA 8.01 09/12/07
HAPC, Inc. DE 3.02,8.01,9.01 09/06/07
Harry & David Holdings, Inc. DE 2.02,7.01,9.01 09/12/07
HAWAIIAN ELECTRIC INDUSTRIES INC HI 1.01 09/06/07
HEALTHCARE PROVIDERS DIRECT INC. NV 1.01,2.03,3.02,4.01,9.01 08/31/07 AMEND
HEMAGEN DIAGNOSTICS INC DE 1.01,9.01 09/11/07
HIGHBURY FINANCIAL INC DE 7.01,9.01 09/12/07
HRPT PROPERTIES TRUST MD 8.01,9.01 09/11/07
ICONIX BRAND GROUP, INC. DE 1.01 09/06/07
Industrial Enterprises of America, In NV 5.02,7.01 09/04/07
INLAND WESTERN RETAIL REAL ESTATE TRU MD 7.01,9.01 09/12/07
Innophos Holdings, Inc. 8.01 09/11/07
Innovive Pharmaceuticals, Inc. DE 1.01,9.01 09/10/07
INNUITY, INC. /UT/ UT 7.01,9.01 09/12/07
INSPIRE PHARMACEUTICALS INC DE 1.01 09/11/07
InterDigital, Inc. PA 7.01,9.01 09/12/07
INTERNATIONAL TEXTILE GROUP INC DE 8.01,9.01 09/12/07
INTERSTATE BAKERIES CORP/DE/ DE 7.01,9.01 09/11/07
INTUIT INC DE 8.01 09/12/07
INVICTA GROUP INC 4.02,8.01 08/31/07
IONATRON, INC. DE 5.02 09/10/07
IRIDEX CORP DE 5.02,9.01 09/06/07
IRWIN FINANCIAL CORP IN 7.01,9.01 09/12/07
ISDERA NORTH AMERICA, INC. 4.01,9.01 08/14/07
iShares S&P GSCI Commodity-Indexed Tr DE 5.03,9.01 09/12/07
Island Residences Club, Inc. 4.01,9.01 08/16/07
IVANY MINING INC DE 1.01,9.01 09/10/07 AMEND
J P MORGAN CHASE & CO DE 9.01 09/10/07
Jake's Trucking International, Inc. NV 1.01,5.01,5.02,9.01 09/10/07
JETBLUE AIRWAYS CORP DE 5.02,9.01 09/12/07
JMG Exploration, Inc. NV 1.01,9.01 09/12/07
JMP Group Inc. DE 8.01 09/12/07
KH FUNDING CO MD 8.01 09/12/07
KING PHARMACEUTICALS INC TN 1.02,2.06 09/06/07
KRAFT FOODS INC VA 8.01,9.01 09/05/07
Kreido Biofuels, Inc. NV 1.01,8.01,9.01 08/01/07
LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 09/12/07
LEADIS TECHNOLOGY INC DE 5.03,9.01 09/07/07
LEAP WIRELESS INTERNATIONAL INC DE 5.02,9.01 09/10/07
LIQUIDITY SERVICES INC 8.01 09/07/07
LUMINENT MORTGAGE CAPITAL INC 7.01,9.01 09/11/07
MARVELL TECHNOLOGY GROUP LTD D0 5.02 09/06/07
Mercantile Bancorp, Inc. DE 1.01,2.03,9.01 09/07/07
MERIDIAN RESOURCE CORP TX 5.02 09/12/07
MERIDIAN RESOURCE CORP TX 8.01 09/12/07
MIDWESTONE FINANCIAL GROUP INC IA 1.01,9.01 09/11/07
MILESTONE SCIENTIFIC INC/NJ DE 5.02,8.01,9.01 09/12/07
MOLINA HEALTHCARE INC DE 7.01,9.01 09/11/07
MOVIE GALLERY INC DE 8.01,9.01 09/12/07
MUNICIPAL MORTGAGE & EQUITY LLC DE 5.03,9.01 09/06/07
NATHANS FAMOUS INC DE 1.01,9.01 09/12/07
NEUROBIOLOGICAL TECHNOLOGIES INC /CA/ DE 1.01,2.03,9.01 09/12/07
NEW CENTURY FINANCIAL CORP MD 7.01,9.01 08/15/07
NEW YORK MORTGAGE TRUST INC MD 8.01,9.01 09/11/07
NEXIA HOLDINGS INC NV 3.02 09/07/07
NOBEL LEARNING COMMUNITIES INC DE 5.02 09/06/07
NOBLE INTERNATIONAL, LTD. DE 7.01,9.01 09/12/07
NORTHWEST PIPELINE CORP DE 7.01,9.01 09/12/07
NOVASTAR FINANCIAL INC MD 1.01,9.01 09/07/07
NUTRITION 21 INC NY 1.01,3.02,9.01 09/11/07
OCCAM NETWORKS INC/DE DE 3.01,4.02,9.01 09/09/07
Omega Flex, Inc. PA 8.01,9.01 09/11/07
Omniture, Inc. DE 1.01,3.02,7.01,9.01 09/07/07
ON ASSIGNMENT INC DE 5.02 09/12/07
OPTIO SOFTWARE INC GA 2.02,7.01,9.01 09/11/07
ORAMED PHARMACEUTICALS INC. NV 3.02,9.01 09/07/07
ORLEANS HOMEBUILDERS INC DE 2.02,9.01 09/12/07
ORLEANS HOMEBUILDERS INC DE 1.01,9.01 09/06/07
Orsus Xelent Technologies Inc DE 1.01,2.03,9.01 09/11/07
OTTER TAIL CORP MN 1.01,9.01 09/11/07
OVERSEAS SHIPHOLDING GROUP INC DE 8.01,9.01 09/10/07
PACKAGING CORP OF AMERICA 7.01,9.01 09/11/07
PALATIN TECHNOLOGIES INC DE 1.02 09/06/07
PANGEA PETROLEUM CORP CO 1.02 09/12/07
Paramount Acquisition Corp DE 8.01,9.01 09/12/07
PATHMARK STORES INC DE 2.02,9.01 09/12/07
PFF BANCORP INC DE 8.01 09/11/07
PHARMACEUTICAL PRODUCT DEVELOPMENT IN NC 5.02,7.01,9.01 09/12/07
PHOENIX COMPANIES INC/DE DE 5.02,7.01,9.01 09/06/07
PHOTOWORKS INC /WA WA 2.03 09/06/07
POSEIDIS INC FL 1.01,2.03,3.02,5.02,8.01,9.01 02/19/07
PPL CORP PA 1.01,8.01,9.01 09/12/07
PRE PAID LEGAL SERVICES INC OK 1.01,9.01 09/10/07
PRICELINE COM INC DE 8.01 09/10/07
PRICESMART INC DE 2.02,9.01 09/10/07
PRINCIPAL LIFE INSURANCE CO IA 9.01 09/07/07
PRINCIPAL LIFE INSURANCE CO IA 9.01 09/07/07
PSPP HOLDINGS INC NV 1.01,2.03,5.02,8.01,9.01 09/01/07
Puda Coal, Inc. 1.01,9.01 09/06/07
PURCHASE POINT MEDIA CORP MN 1.01,3.02,5.02,5.03,7.01,9.01 04/24/07
QUANTUM GROUP INC /FL 1.01,5.02,9.01 09/07/07
QUICKSILVER RESOURCES INC DE 1.01,5.02,8.01,9.01 09/11/07
RALI Series 2007-QA5 Trust DE 8.01,9.01 09/11/07
RASER TECHNOLOGIES INC UT 5.02 09/11/07
REPROS THERAPEUTICS INC. DE 8.01,9.01 09/12/07
REPUBLIC AIRWAYS HOLDINGS INC DE 1.01,9.01 09/12/07
RETRACTABLE TECHNOLOGIES INC TX 8.01 09/06/07
Rosetta Resources Inc. DE 7.01,9.01 09/11/07
Ruths Chris Steak House, Inc. DE 2.01,9.01 09/10/07
SCIELE PHARMA, INC. DE 8.01,9.01 09/07/07
SCOTTISH RE GROUP LTD E9 2.03,9.01 09/06/07
SELECT COMFORT CORP 7.01,9.01 09/12/07
Select Notes Trust LT 2004-1 DE 8.01,9.01 09/04/07
SIGMATRON INTERNATIONAL INC DE 2.02,9.01 09/12/07
SIMCLAR INC FL 5.02 09/10/07
Sino Gas International Holdings, Inc. UT 1.01,3.01,3.02,5.03 09/07/07 AMEND
SINO-American Development CORP CO 4.01,9.01 09/12/07
SKY PETROLEUM, INC. NV 1.01,5.02 07/14/07
Solo Cup CO DE 1.01,8.01,9.01 09/07/07
SONUS NETWORKS INC DE 8.01,9.01 09/12/07
SOYO GROUP INC NV 8.01 09/11/07
Spectra Energy Corp. DE 2.03,9.01 09/11/07
Star Resorts Development Inc. NV 3.02,9.01 07/30/07
STAR SCIENTIFIC INC DE 5.02,8.01,9.01 09/07/07
STEM CELL INNOVATIONS, INC. DE 7.01,9.01 09/12/07
Surge Global Energy, Inc. 5.02,8.01,9.01 09/06/07
Switch & Data Facilities Company, Inc DE 8.01,9.01 09/07/07
SYNTAX-BRILLIAN CORP DE 2.02,5.02,9.01 09/06/07
SYSVIEW TECHNOLOGY, INC. 7.01,9.01 09/12/07
TARGET CORP MN 5.02,8.01,9.01 09/12/07
TASTY BAKING CO PA 1.01,1.02,2.03,9.01 09/06/07
TENNECO INC DE 8.01 09/11/07
THAXTON GROUP INC SC 8.01,9.01 08/30/07
THERMOGENESIS CORP DE 2.02,9.01 09/12/07
TODD SHIPYARDS CORP WA 8.01 09/12/07
Travelport LTD D0 8.01,9.01 09/10/07
TRIMAS CORP DE 5.02 09/01/07
TRIMAX CORP NV 4.01,5.02,9.01 09/07/07
TURBOCHEF TECHNOLOGIES INC DE 3.01,9.01 09/11/07
TWIN DISC INC WI 7.01,9.01 09/12/07
TWL CORP UT 5.02,9.01 09/05/07
U S GLOBAL INVESTORS INC TX 2.02 09/12/07
UGI CORP /PA/ PA 5.02 09/11/07
UMPQUA HOLDINGS CORP OR 8.01,9.01 09/11/07
UNIFI INC NY 5.02,9.01 09/10/07
UNITED RETAIL GROUP INC/DE DE 1.01,2.02,3.02,3.03,5.02,8.01, 09/10/07
9.01
VANGUARD HEALTH SYSTEMS INC DE 5.02 09/10/07
Vantage Energy Services, Inc. DE 8.01,9.01 09/11/07
VENDINGDATA CORP NV 1.01,3.02 09/12/07
Veri-Tek International, Corp. MI 1.01 09/11/07
VERMILLION, INC. DE 1.01,9.01 09/11/07
VISION SCIENCES INC /DE/ DE 8.01 09/12/07
WEBSTER FINANCIAL CORP DE 7.01 09/11/07
Wells Fargo Mortgage Backed Securitie DE 8.01,9.01 08/29/07
Wentworth Energy, Inc. OK 8.01 09/11/07
Western Goldfields Inc. A6 7.01,9.01 09/06/07
WEYERHAEUSER CO WA 2.02,9.01 09/11/07
WHX CORP DE 1.01 09/10/07
WILSON HOLDINGS, INC. NV 5.03 09/07/07
WORLDTRADESHOW COM INC 1.01,2.03,9.01 09/11/07
WORLDWATER & POWER CORP DE 5.03,9.01 09/06/07
YTB International, Inc. NY 7.01 09/11/07
ZENITH NATIONAL INSURANCE CORP DE 8.01,9.01 09/12/07
ZILOG INC CA 5.02,9.01 09/06/07
http://www.sec.gov/news/digest/2007/dig091207.htm
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