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SEC NEWS DIGEST
Issue 2007-198 October 15, 2007
ENFORCEMENT PROCEEDINGS
COMMISSION ISSUES NOTICE OF PROPOSED MODIFIED DISTRIBUTION PLAN IN
PREVIOUSLY SETTLED ADMINISTRATIVE PROCEEDINGS AGAINST GERSON ASSET
MANAGEMENT, INC. AND SETH GERSON
On October 15, the Commission issued a Notice of Proposed Modified
Distribution Plan and Opportunity for Comment (Notice) in connection
with previously instituted and settled administrative and cease-and-
desist proceedings against Gerson Asset Management, Inc. (GAM) and
Seth Gerson. The Notice informs interested parties of the filing of a
Proposed Modified Plan for the Administration and Distribution of the
Disgorgement Fund (Modified Plan) in the proceedings against GAM and
Gerson, provides that persons wishing to comment on the Modified Plan
may do so by submitting their comments in writing to the Commission,
and provides instructions on how to do so.
In an order entered on Dec. 2, 2005, the Commission found that GAM, a
registered investment adviser, and Gerson, its sole owner, officer,
and employee, engaged in "cherry picking" -- the unfair allocation of
profitable trades to Gerson at the expense of GAM clients -- in
violation of the antifraud provisions of the Securities Exchange Act
of 1934 and the Investment Advisers Act of 1940. See Gerson Asset
Management, Inc., Exchange Act Release No. 52880 (Dec. 2, 2005). GAM
and Gerson consented to the issuance of the Order without admitting or
denying the Commission's findings. As part of the settlement of the
proceedings, Gerson paid disgorgement in the amount of $160,237. Based
upon GAM and Gerson's sworn representation of their financial
condition, payment of prejudgment interest was waived, and no penalty
was imposed.
Previously, on May 5, 2006, the Commission issued a Notice of Proposed
Plan for the Administration and Distribution of the Disgorgement Fund
(Original Plan) and Opportunity for Comment. Having determined that
certain modifications to the Original Plan are appropriate, the
Commission has issued this Notice to afford interested parties an
opportunity to comment on the Modified Plan. Under the Modified Plan,
the disgorgement paid by Gerson will be distributed to investment
advisory clients of GAM during the period May 1, 2000 through Feb. 28,
2004, who were harmed by Gerson and GAM's fraudulent allocation scheme
and were not previously compensated for that harm. Additional details
regarding the distribution are available in the Modified Plan, which
can be accessed by a hyperlink in the Notice. (Rel. 34-56659; File No.
3-12121)
SEC v. BRIAN N. HOLLNAGEL AND BCI AIRCRAFT LEASING, INC.
On Oct. 5, 2007, the Commission filed a Motion for Order to Show Cause
to determine whether Defendants Brian N. Hollnagel (Hollnagel) and BCI
Aircraft Leasing, Inc. (BCI) should be held in contempt of an order
entered on Aug. 22, 2007, by the Honorable Elaine E. Bucklo of the
U.S. District Court for the Northern District of Illinois (Order) in
light of Defendants' multiple violations of the Order. In addition, on
Oct. 11, 2007, the Commission filed a Supplement to the Motion for
Order to Show Cause.
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.
As part of the Order entered on Aug. 22, 2007, the court found that
BCI and Hollnagel made material misrepresentations to investors and
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 that 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, among
other things, that 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).
In its Motion for an Order to Show Cause and the Supplement to the
Motion, the Commission alleges, among other things, that Defendants,
on multiple occasions, did not comply with the reporting and notice
requirements set forth in the Order and that Defendants were not
repaying all of the investors in cash as required by the Order. For
additional information, see Litigation Release No. 20254 (Aug. 24,
2007). [SEC v. Brian N. Hollnagel and BCI Aircraft Leasing, Inc.,
Civil Action No. 07 C 4538 (N.D. Ill.) Bucklo, J.] (LR-20330)
FINAL JUDGMENT ENTERED AGAINST SPOUSE OF FORMER OFFICER OF TRIANGLE
PHARMACEUTICALS, INC. FOR ILLEGAL INSIDER TRADING
The Commission today announced the Honorable Malcolm J. Howard, U.S.
District Judge for the Eastern District of North Carolina, entered a
Final Judgment As To Defendant Daniel Joseph McKay of Creedmoor, North
Carolina, enjoining him from future violations of Section 10(b) of the
Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The court
ordered disgorgement against McKay of $11, 416 plus prejudgment
interest of $1,043. McKay was also ordered to pay a civil penalty of
$11,416. McKay consented to the entry of the judgment without
admitting or denying the allegations of the Commission's complaint.
The Commission's complaint, filed on Sept. 27, 2007, alleged that
between October 2002 and November 2002, McKay misappropriated from his
spouse, who was then an executive vice president of Triangle, the
material nonpublic information that Triangle had received an
acquisition offer from another company. The Commission's complaint
further alleged that after misappropriating this information, McKay
purchased Triangle stock and tipped two of his siblings, who also
purchased Triangle stock. As a result of this illegal conduct, McKay
and his siblings obtained illicit profits and gains in the amount of
$11,416. [SEC v. Daniel Joseph McKay, Civil Action File No. 5:07-CV-
378-H (EDNC)] (LR-20331)
SEC CHARGES NEW YORK HEDGE FUND FOR ILLEGAL TRADING IN CONNECTION WITH
PUBLIC OFFERINGS
Defendants Improperly Covered Short Sales and Used Sham Trades to
Conceal Violations
On October 15, the Commission charged a New York hedge fund, its
adviser, and its Managing Director with illegal trading in connection
with at least eighteen public offerings. The Commission's complaint,
filed in federal court in Manhattan, alleges that Colonial Fund LLC,
Colonial Investment Management LLC, and Cary G. Brody violated Rule
105 of Regulation M under the Securities Exchange Act of 1934 when
they used shares purchased in at least eighteen registered public
offerings to cover short sales that they made during a restricted
period. The Defendants realized profits in excess of $1.48 million
from the illegal trades.
In general, Rule 105 seeks to prevent manipulative trading by short
sellers prior to registered public offerings and to promote offering
prices that are based upon open market prices, determined by supply
and demand, rather than by artificial forces. At the time of the
alleged violations, Rule 105 generally prohibited short sellers,
regardless of intent, from using securities purchased in registered
public offerings to cover short sales that occurred during the five
business days before the pricing of the offerings (the restricted
period). The Defendants realized profits from their illegal trading
because Colonial Fund typically sold shares short during the
restricted period at prices that were higher than what it would pay a
short time later when it purchased shares in the registered public
offerings.
The complaint also alleges that, in an effort to conceal their illegal
trading, the Defendants often engaged in sham market trades after
covering Colonial Fund's restricted period short positions. For
example, Colonial Fund, after covering, entered riskless cross trades
to buy and sell the same quantity of shares, at the same price, and
from the same broker. Defendant Brody, acting through Colonial
Investment, directed, authorized, supervised, and profited from the
illegal trading alleged in the complaint.
The Commission seeks an injunction prohibiting each Defendant from
further violating Rule 105 of Regulation M. The complaint also seeks
full disgorgement and prejudgment interest from all Defendants, on a
joint and several basis, and a civil penalty from Brody. [SEC v.
Colonial Investment Management LLC, Colonial Fund LLC, and Cary G.
Brody Civil Action No. 07 Civ. 8849, USDC, SDNY, PKC] (LR-20332)
NORTEL NETWORKS PAYS $35 MILLION TO SETTLE FINANCIAL FRAUD CHARGES
SEC v. NORTEL NETWORKS CORPORATION AND NORTEL NETWORKS LIMITED
The Commission today filed civil fraud charges in the U.S. District
Court for the Southern District of New York against Nortel Networks
Corporation and its principal operating subsidiary Nortel Networks
Limited (Nortel). Nortel is a Canadian manufacturer of
telecommunications equipment.
Without admitting or denying the Commission's charges, Nortel has
agreed to settle the Commission's action by consenting to be
permanently enjoined from violating the antifraud, reporting, books
and records and internal control provisions of the federal securities
laws - namely, Section 17(a) of the Securities Act of 1933, Sections
10(b), 13(a), 13(b)(2)(A), 13(b)(2)(B) and 13(b)(5) of the Securities
Exchange Act of 1934, and Exchange Act Rules 10b-5, 12b-20, 13a-1 and
13a-13. Nortel also has agreed to pay a $35 million civil penalty and
$1 in disgorgement, which the Commission will seek to place in a Fair
Fund for distribution to affected shareholders, and to report
periodically to the Commission's staff on its progress in implementing
remedial measures and resolving an outstanding material weakness over
its revenue recognition procedures.
According to the Commission's complaint, from late 2000 through
January 2001, Nortel made changes to its revenue recognition policies
that were not in conformity with U.S. Generally Accepted Accounting
Principles (GAAP). The changes were made to fraudulently accelerate
revenue into 2000 to meet its publicly-announced revenue targets for
the fourth quarter of 2000 and for that year. The complaint alleges
that Nortel also selectively reversed certain revenue entries during
the 2000 year-end closing process when its acceleration efforts pulled
in more revenue than necessary to meet its targets. These actions, the
complaint alleges, inflated Nortel's fourth quarter and fiscal year
2000 revenues by approximately $1.4 billion.
The complaint further alleges that Nortel had improperly established,
and was improperly maintaining, over $400 million in excess reserves
by the time it announced its fiscal year 2002 financial results.
According to the complaint, these reserve manipulations erased
Nortel's fourth quarter 2002 pro forma profit and allowed it to report
a loss instead so that Nortel would not show a profit earlier than it
had previously forecast to the market. The complaint alleges that in
the first and second quarters of 2003, Nortel improperly released
approximately $500 million in excess reserves to boost its earnings
and fabricate a return to profitability. These efforts turned Nortel's
first quarter 2003 loss into a reported profit under US GAAP, and
largely erased its second quarter loss while generating a pro forma
profit. According to the complaint, in both quarters Nortel's inflated
earnings allowed it to pay tens of millions of dollars in so-called
"return to profitability" bonuses, largely to a select group of senior
managers.
The Commission previously announced the filing of civil fraud charges
in U.S. District Court against Nortel's former CEO Frank Dunn, former
CFO Douglas Beatty, former Controller Michael Gollogly and former
Assistant Controller MaryAnne Pahapill (a.k.a. Mary Anne Poland) for
their roles in Nortel's accounting fraud. See Litigation Release No.
20036 (March 12, 2007) / Accounting and Auditing Enforcement Release
No. 2576 (March 12, 2007). The Commission subsequently amended its
complaint to bring charges against Douglas Hamilton, Craig Johnson,
James Kinney and Kenneth Taylor, the former vice presidents of finance
of Nortel's business units. See Litigation Release No. 20275 (Sept.12,
2007) / Accounting and Auditing Enforcement Release No. 2676 (Sept.
12, 2007). [SEC v. Nortel Networks Corporation and Nortel Networks
Limited, Civil Action No. 07-CV-8851 (S.D.N.Y.)] (LR-20333; AAE Rel.
2740)
INVESTMENT COMPANY ACT RELEASES
RAYMOND JAMES EMPLOYEE INVESTMENT FUND I, L.P., ET AL.
A notice has been issued giving interested persons until Nov. 5, 2007,
to request a hearing on an application filed by Raymond James Employee
Investment Fund I, L.P., et al. for an order to exempt certain limited
partnerships and other investment vehicles formed for the benefit of
eligible employees of Raymond James Financial, Inc. and its affiliates
from certain provisions of the Investment Company Act. Each
partnership or other investment vehicle will be an "employees'
securities company" within the meaning of section 2(a)(13) of the Act.
(Rel. IC-28012 - October 11)
METLIFE INSURANCE COMPANY OF CT, ET AL.
A notice has been issued giving interested persons until Nov. 6, 2007,
to request a hearing on an application filed by The MetLife Insurance
Company of Connecticut and MetLife Life and Annuity Company of
Connecticut (Insurance Companies); Metlife Investment Funds, Inc. and
Metropolitan Series Fund, Inc. (Investment Companies); and MetLife of
CT Separate Account Five for Variable Annuities, MetLife of CT
Separate Account Six for Variable Annuities, MetLife of CT Fund U for
Variable Annuities, MetLife of CT Separate Account QP for Variable
Annuities, MetLife of CT Separate Account QPN for Variable Annuities,
MetLife of CT Fund UL II for Variable Life Insurance, and MetLife of
CT Fund UL for Variable Life Insurance (Separate Accounts). The
Insurance Companies and the Separate Accounts seek an order pursuant
to Section 26(c) of the Investment Company Act to permit substitution
of shares of certain registered management investment companies with
shares of certain other registered management investment companies.
The Insurance Companies, Separate Accounts and Investment Companies
seek an order of exemption pursuant to Section 17(b) of the Act from
Section 17(a) of the Act to the extent necessary to permit certain in-
kind transactions in connection with the substitutions. (Rel. IC-28013
- October 12)
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A proposed rule change (SR-CBOE-2007-118) filed by the Chicago Board
Options Exchange relating to its marketing fee 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 October 15. (Rel. 34-56640)
A proposed rule change (SR-CBOE-2007-117) filed by the Chicago Board
Options Exchange relating to its marketing fee program in connection
with the expansion 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 October 15. (Rel. 34-56641)
A proposed rule change (SR-NYSEArca-2007-100) filed by NYSE Arca
relating to exchange fees and charges 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
October 15. (Rel. 34-56642)
A proposed rule change (SR-ISE-2007-96), filed by the International
Securities Exchange relating to payment for order flow fees 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 October 15. (Rel. 34-56646)
A proposed rule change (SR-BSE-2007-48) filed by the Boston Stock
Exchange to reflect the fact that Sun Microsystems, Inc. has changed
its trading symbol from SUNW to JAVA 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
October 15. (Rel. 34-56652)
The Commission issued notice of immediate effectiveness of a proposed
rule change (SR-BSE-2007-47) filed by the Boston Stock Exchange under
Rule 19b-4 of the Securities Exchange Act of 1934 relating to the
listing of options series with $2.50 strike price intervals between
$50 and $75. Publication is expected in the Federal Register during
the week of October 15. (Rel. 34-56655)
ACCELERATED APPROVAL OF PROPOSED RULE CHANGES
The Commission has approved, on an accelerated basis, a proposed rule
change and Amendment No. 1 thereto filed by the International
Securities Exchange (SR-ISE-2007-80) under Rule 19b-4 of the
Securities Exchange Act of 1934 relating to options listing criteria
for underlying securities. Publication is expected in the Federal
Register during the week of October 15. (Rel. 34-56647)
The Commission granted accelerated approval to a proposed rule change
(SR-Phlx-2007-71) as modified by Amendment No. 1 thereto submitted by
the Philadelphia Stock Exchange pursuant to Rule 19b-4 under the
Securities Exchange Act of 1934 to eliminate position and exercise
limits on Russell 2000® Index options. Publication is expected in the
Federal Register during the week of October 15. (Rel. 34-56651)
APPROVAL OF PROPOSED RULE CHANGES
A proposed rule change (SR-Amex-2007-35), as modified by Amendment No.
1, filed by the American Stock Exchange relating to the criteria for
securities that underlie options traded on the Exchange has been
approved pursuant to Section 19(b)(2) of the Securities Exchange Act
of 1934. Publication is expected in the Federal Register during the
week of October 15. (Rel. 34-56650)
The Commission approved a proposed rule change (SR-NASD-2007-056)
submitted by the National Association of Securities Dealers (n/k/a
Financial Industry Regulatory Authority, Inc.) under Rule 19b-4 of the
Securities Exchange Act of 1934 to establish a membership waive-in
process for certain NYSE member organizations. Publication is expected
in the Federal Register during the week of October 15. (Rel. 34-56653)
The Commission approved a proposed rule change (SR-NYSE-2007-67)
submitted by the New York Stock Exchange under Rule 19b-4 of the
Securities Exchange Act of 1934 relating to NYSE Rule 2 ("Member,"
"Membership," "Member Firm," etc.). Publication is expected in the
Federal Register during the week of October 15. (Rel. 34-56654)
SECURITIES ACT REGISTRATIONS
The following registration statements have been filed with the SEC
under the Securities Act of 1933. The reported information appears as
follows: Form, Name, Address and Phone Number (if available) of the
issuer of the security; Title and the number and/or face amount of the
securities being offered; Name of the managing underwriter or
depositor (if applicable); File number and date filed; Assigned
Branch; and a designation if the statement is a New Issue.
Registration statements may be obtained in person or by writing to the
Commission's Public Reference Branch at 100 F Street, N.E.,
Washington, D.C. 20549-1090 or at the following e-mail box address:
publicinfo@sec.gov. In most cases, this information is also available
on the Commission's website: www.sec.gov.
S-8 uKARMA CORP, 520 BROADWAY, SUITE 350, SANTA MONICA, CA, 90401,
310 998 8909 - 7,500,000 ($150,000.00) Equity, (File 333-146642 -
Oct. 12) (BR. 05C)
SB-2 Kushi Resources Inc, 2215 SOUTH WEST MARINE DRIVE, VANCOUVER, A1,
V6P 6C1, 778-835-9200 -
2,230,000 ($111,500.00) Debt Convertible into Equity,
(File 333-146643 - Oct. 12) (BR. 04)
S-1 TRANSOMA MEDICAL INC, 4211 LEXINGTON AVE NORTH, SUITE 2244,
ARDEN HILLS, MN, 55126, 651-481-7400 - 0 ($75,000,000.00) Equity,
(File 333-146644 - Oct. 12) (BR. 10C)
F-1 012 SMILE.COMMUNICATIONS LTD, 25 HASAVIM STREET, PETACH-TIKVA, L3,
49170, 972 72 2002111 - 0 ($122,820,000.00) Equity, (File 333-146645 -
Oct. 12) (BR. 11)
S-8 LEGG MASON INC, 100 LIGHT ST, BALTIMORE, MD, 21202-1476, 4105390000 -
5,000,000 ($427,950,000.00) Equity, (File 333-146646 - Oct. 12)
(BR. 06A)
F-10 GERDAU AMERISTEEL CORP, 42,440,750 ($539,421,932.50) Equity,
(File 333-146647 - Oct. 12) (BR. 06A)
S-8 REX ENERGY CORP, 1975 WADDLE ROAD, STATE COLLEGE, PA, 16803,
814-278-7267 - 3,079,470 ($30,948,673.50) Equity, (File 333-146648 -
Oct. 12) (BR. 04C)
S-1 Tarpon Industries, Inc., 2420 WILLS STREET, MARYSVILLE, MI, 48040,
810-364-7421 - 32,000,000 ($8,000,000.00) Equity, (File 333-146651 -
Oct. 12) (BR. 06A)
S-4 UNITED COMMUNITY FINANCIAL CORP, 275 FEDERAL PLAZA WEST, YOUNGSTOWN,
OH, 44503-1203, 3307420500 - 9,300,000 ($48,965,884.00) Equity,
(File 333-146652 - Oct. 12) (BR. 07A)
F-1 Scope Metals Group Ltd., 972 8 863 1000 - 0 ($2,858,000.00) Equity,
(File 333-146654 - Oct. 12) (BR. 05)
S-8 ARUBA NETWORKS, INC., 1322 CROSSMAN AVE., SUNNYVALE, CA, 94089-1113,
4082274500 - 5,384,912 ($105,559,661.54) Equity, (File 333-146655 -
Oct. 12) (BR. 03C)
S-8 MAP Pharmaceuticals, Inc., 2400 BAYSHORE PARKWAY, SUITE 200,
MOUNTAIN VIEW, CA, 94043, 650-386-3100 -
5,567,584 ($47,864,118.00) Equity, (File 333-146656 - Oct. 12) (BR. 01)
SB-2 g8wave Holdings, Inc., 126 BROOKLINE AVENUE, SUITE 201, BOSTON, MA,
02215, (617) 425-2600 - 2,674,893 ($4,681,062.70) Equity,
(File 333-146657 - Oct. 12) (BR. 11B)
S-4 FIRST BANCORP /NC/, 341 NORTH MAIN ST, PO BOX 508, TROY, NC,
27371-0508, 9105766171 - 0 ($50,578,000.00) Equity, (File 333-146658 -
Oct. 12) (BR. 07A)
S-8 SPAN AMERICA MEDICAL SYSTEMS INC, 70 COMMERCE DR, P O BOX 5231,
GREENVILLE, SC, 29615, 8642888877 - 52,052 ($332,966.86) Equity,
(File 333-146659 - Oct. 12) (BR. 10C)
S-8 SPAN AMERICA MEDICAL SYSTEMS INC, 70 COMMERCE DR, P O BOX 5231,
GREENVILLE, SC, 29615, 8642888877 - 250,000 ($4,537,500.00) Equity,
(File 333-146660 - Oct. 12) (BR. 10C)
S-8 IMMERSION CORP, 801 FOX LANE, SAN JOSE, CA, 95131, 4084671900 -
5,148,493 ($37,223,604.39) Equity, (File 333-146661 - Oct. 12) (BR. 03B)
S-8 Point.360, 2777 NORTH ONATRIO STREET, BURBANK, CA, 91504,
818-565-1400 - 0 ($4,420,000.00) Equity, (File 333-146662 - Oct. 12)
(BR. 05C)
S-8 BRINKS CO, 1801 BAYBERRY COURT, P O BOX 18100, RICHMOND, VA,
23226-1800, 8042899623 - 1,490,873 ($87,588,788.75) Equity,
(File 333-146673 - Oct. 12) (BR. 05A)
S-1 Urigen Pharmaceuticals, Inc., 875 MAHLER ROAD, SUITE 235, BURLINGAME,
CA, 94010, (650) 697-1900 - 28,000,000 ($3,920,000.00) Equity,
(File 333-146674 - Oct. 12) (BR. 01C)
SB-2 Sierra Ventures, Inc., 1685 H STREET, NUMBER 155, BLAINE, WA, 98230,
604-275-6519 - 145,000 ($145,000.00) Equity, (File 333-146675 -
Oct. 12) (BR. 04)
S-3 ALANCO TECHNOLOGIES INC, 15575 N 83RD WAY, SUITE 3, SCOTTSDALE, AZ,
85260, 4806071010 - 5,302,775 ($273.50) Equity, (File 333-146676 -
Oct. 12) (BR. 03B)
S-8 IA GLOBAL INC, 101 CALIFORNIA STREET, SUITE 2450, SAN FRANCISCO, CA,
94111, 415-946-8828 - 20,000,000 ($9,400,000.00) Equity,
(File 333-146677 - Oct. 12) (BR. 11B)
S-3 NORTHSTAR REALTY, 399 PARK AVENUE,, 18TH FLOOR, NEW YORK, NY, 10022,
212-547-2640 - 0 ($107,010,011.92) Equity, (File 333-146679 - Oct. 12)
(BR. 08B)
F-1 Giant Interactive Group Inc., 2/F NO. 29 BUILDING, 396 GUILIN ROAD,
SHANGHAI, F4, 200233, 8621 6451-5001 - 0 ($100,000,000.00) ADRs/ADSs,
(File 333-146681 - Oct. 12) (BR. )
SB-2 ER Urgent Care Holdings Inc, 850 IVES DAIRY RD, SUITE T-64,
NORTH MIAMI BEACH, FL, 33179, 305-917-9170 -
89,500,000 ($7,200,000.00) Equity, (File 333-146682 - Oct. 12) (BR. )
S-4 ARRIS GROUP INC, 3871 LAKEFIELD DRIVE, SUWANEE, GA, 30024,
770-622-8400 - 0 ($266,057,606.00) Equity, (File 333-146683 - Oct. 12)
(BR. 11B)
F-1 AKELA PHARMA INC., 3333 COTE-VERTU, SUITE 710, ST. LAURENT, A8,
H4R 2N1, (512) 834-0449 - 0 ($39,606,000.00) Equity, (File 333-146684 -
Oct. 12) (BR. )
S-4 ACORN ACQUISITION CORP, 1035 PARK AVENUE, SUITE 7B, NEW YORK, NY,
10028, 646-827-9362 - 51,250,000 ($5,125.00) Equity, (File 333-146685 -
Oct. 12) (BR. 09A)
S-1 INFINERA CORP, 169 JAVA DRIVE, SUNNYVALE, CA, 94089, 408-572-5200 -
11,500,000 ($277,322,500.00) Equity, (File 333-146686 - Oct. 12)
(BR. 11B)
S-3 SENESCO TECHNOLOGIES INC, 34 CHAMBERS STREET, PO BOX 3303, PRINCETON,
NJ, 08542, 6092520880 - 0 ($2,500,000.00) Equity, (File 333-146691 -
Oct. 12) (BR. 01C)
S-8 NEXIA HOLDINGS INC, 59 WEST 100 SOUTH, SALT LAKE CITY, UT, 84101,
8015758073 - 15,000,000,000 ($1,500,000.00) Equity, (File 333-146693 -
Oct. 12) (BR. 08C)
S-3 MOVIE STAR INC /NY/, 2126797260 - 0 ($110,000.00) Equity,
(File 333-146694 - Oct. 12) (BR. 02A)
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
-------------------------------------------------------------------------------------------------------
247MGI, Inc. FL 1.01,3.02,5.06,7.01,8.01,9.01 08/31/07
ACA Capital Holdings Inc 1.02,5.02 10/12/07
ACE MARKETING & PROMOTIONS INC NY 7.01,8.01,9.01 10/11/07
ACORDA THERAPEUTICS INC 8.01,9.01 10/11/07
ACURA PHARMACEUTICALS, INC NY 5.03,9.01 10/11/07
ACXIOM CORP DE 8.01 10/12/07
AFC ENTERPRISES INC MN 5.02,9.01 10/09/07
AGILENT TECHNOLOGIES INC DE 8.01,9.01 10/11/07
Airbee Wireless, Inc. DE 2.02,2.03,8.01 09/28/07
AIRGAS INC DE 5.03,9.01 10/09/07
AKAMAI TECHNOLOGIES INC DE 5.02,9.01 10/09/07
ALABAMA POWER CO AL 8.01,9.01 10/11/07
ALCOA INC PA 2.02,9.01 10/09/07
Alternative Loan Trust 2007-22 DE 8.01,9.01 07/30/07
AMERICAN BILTRITE INC DE 2.02,8.01,9.01 10/11/07
American Community Newspapers Inc. DE 4.01,9.01 10/05/07
AMERICAN CRYSTAL SUGAR CO /MN/ MN 7.01 10/12/07
AMERICAN EXPRESS CO NY 5.02,9.01 10/08/07
AMERICAN TECHNOLOGY CORP /DE/ DE 4.01 10/10/07
AMES NATIONAL CORP IA 2.02,9.01 10/12/07
ANNALY CAPITAL MANAGEMENT INC MD 8.01,9.01 10/11/07
ANNALY CAPITAL MANAGEMENT INC MD 1.01,9.01 10/11/07
AON CORP DE 5.02,9.01 10/12/07
ARADYME CORP DE 8.01 10/11/07
ARK RESTAURANTS CORP NY 8.01 10/12/07
Ascend Acquisition Corp. DE 1.01,7.01,9.01 07/30/07 AMEND
Ascent Solar Technologies, Inc. DE 8.01 10/12/07
ATMEL CORP DE 1.01,2.05,2.06,9.01 10/08/07
AUTODESK INC DE 8.01,9.01 06/04/07
AUTODESK INC DE 8.01,9.01 06/08/07
AUTODESK INC DE 8.01,9.01 08/31/07
AVON PRODUCTS INC NY 8.01,9.01 10/11/07
BA Master Credit Card Trust II 8.01,9.01 10/12/07
BAKER MICHAEL CORP PA 5.02,9.01 10/11/07
BANC OF AMERICA FUNDING CORP DE 8.01,9.01 09/27/07
BANC OF AMERICA FUNDING CORP DE 8.01,9.01 09/27/07
Bancroft Uranium, Inc. NV 5.02 10/12/07
BANK OF SOUTH CAROLINA CORP SC 2.02,9.01 10/12/07
BANK OF THE OZARKS INC AR 2.02,7.01,9.01 10/11/07
BARNES & NOBLE INC DE 5.03,9.01 10/12/07
BCB BANCORP INC 5.03,9.01 10/10/07
Bear Stearns Commercial Mortgage Secu DE 8.01,9.01 09/27/07
Beneficial Mutual Bancorp Inc X1 1.01,9.01 10/08/07
BigString CORP DE 1.01,2.02,2.04,9.01 09/13/07
BIOSPHERE MEDICAL INC DE 5.02,9.01 10/10/07
BIOTIME INC CA 5.02,5.05,9.01 10/10/07
BLACK HILLS CORP /SD/ SD 8.01,9.01 10/12/07
BROADCOM CORP CA 5.02 10/05/07 AMEND
Brookdale Senior Living Inc. DE 5.02 10/09/07
C-COR INC PA 1.01,9.01 10/11/07
CABELAS INC DE 5.02 10/10/07
CAPITAL CORP OF THE WEST CA 8.01,9.01 10/11/07
CAPITAL CORP OF THE WEST CA 8.01,9.01 10/11/07
CAPITAL ONE FUNDING, LLC 8.01,9.01 10/11/07
CAPTARIS INC WA 2.02,9.01 10/11/07
CARDICA INC DE 5.02 10/10/07
CAREGUIDE INC DE 1.01 10/05/07
CATERPILLAR INC DE 5.02,8.01,9.01 10/10/07
CENTEX CORP NV 2.02,9.01 10/12/07
CENTRAL EUROPEAN DISTRIBUTION CORP DE 1.01,2.03,9.01 10/10/07
Century Petroleum Corp. NV 3.02 09/14/07
CHARMING SHOPPES INC PA 7.01,9.01 10/11/07
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 10/10/07
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 10/10/07
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 10/10/07
CHATTEM INC TN 5.02 10/08/07
CHDT CORP FL 4.02 10/12/07
CHESAPEAKE CORP /VA/ VA 5.02 10/08/07
China 3C Group NV 5.02,9.01 10/08/07
CHINACAST EDUCATION CORP DE 8.01,9.01 10/11/07
CIGMA METALS CORP FL 8.01,9.01 10/11/07
COINSTAR INC DE 5.02 10/08/07
Compass Diversified Holdings DE 1.01,9.01 10/10/07
Constellation Energy Partners LLC DE 9.01 09/21/07 AMEND
CORNELL COMPANIES INC DE 1.01,9.01 10/10/07
CORTEX PHARMACEUTICALS INC/DE/ DE 7.01,9.01 10/11/07
Cougar Biotechnology, Inc. 8.01,9.01 10/12/07
CRITICAL THERAPEUTICS INC DE 3.01 10/06/07
CRYOLIFE INC FL 2.02,9.01 10/11/07
CURRENCYSHARES AUSTRALIAN DOLLAR TRUS 3.01 10/09/07
CURRENCYSHARES BRITISH POUND STERLING 3.01 10/09/07
CURRENCYSHARES CANADIAN DOLLAR TRUST 3.01 10/09/07
CURRENCYSHARES EURO TRUST 3.01 10/09/07
CURRENCYSHARES JAPANESE YEN TRUST 3.01 10/09/07
CURRENCYSHARES MEXICAN PESO TRUST 3.01 10/09/07
CURRENCYSHARES SWEDISH KRONA TRUST 3.01 10/09/07
CURRENCYSHARES SWISS FRANC TRUST 3.01 10/09/07
CYBER DEFENSE SYSTEMS INC FL 3.02,9.01 10/12/07
DANA CORP VA 1.01,8.01,9.01 10/12/07
DANKA BUSINESS SYSTEMS PLC 1.01,5.02,9.01 10/11/07
DELPHI CORP DE 8.01 10/11/07
DENDREON CORP DE 1.01,9.01 10/11/07
DigitalTown, Inc. MN 5.02,8.01 10/05/07
DILLARDS INC DE 7.01,9.01 10/11/07
DOLLAR FINANCIAL CORP DE 1.01,9.01 10/11/07
DOW CHEMICAL CO /DE/ DE 5.02 10/11/07 AMEND
DRI CORP NC 7.01,9.01 10/12/07
EAGLE BROADBAND INC TX 1.01,1.02,2.01,2.03,3.02,9.01 10/11/07
EDEN ENERGY CORP NV 7.01,9.01 10/11/07
ELECTRONIC ARTS INC. DE 2.02 10/11/07
ELECTRONIC DATA SYSTEMS CORP /DE/ DE 5.02 10/11/07
ENERGY FOCUS, INC/DE DE 5.02 10/08/07
ENERNOC INC 9.01 09/27/07 AMEND
ESPEED INC DE 8.01,9.01 10/10/07
EXPRESSJET HOLDINGS INC DE 8.01,9.01 10/11/07
FACEPRINT GLOBAL SOLUTIONS INC WY 3.02,5.02,9.01 10/12/07
FACTORY CARD & PARTY OUTLET CORP DE 2.02,9.01 10/11/07
FAMILY DOLLAR STORES INC DE 5.02,7.01,9.01 10/09/07
Federal Home Loan Bank of Des Moines X1 7.01,9.01 10/12/07
FINISH LINE INC /IN/ IN 8.01,9.01 10/11/07
FIRST MUTUAL BANCSHARES INC WA 8.01,9.01 10/11/07
FMG ACQUISITION CORP DE 1.01,9.01 10/11/07
FORCE PROTECTION INC NV 8.01 10/08/07
FORGENT NETWORKS INC DE 2.01,3.02,9.01 10/05/07
FREDERICK COUNTY BANCORP INC MD 2.02,7.01,9.01 10/12/07
FRONTIER OIL CORP /NEW/ WY 8.01,9.01 10/12/07
FURNITURE BRANDS INTERNATIONAL INC DE 5.02,7.01,9.01 10/09/07
GAINSCO INC TX 8.01 10/11/07
GENERAL CABLE CORP /DE/ DE 2.04,3.03 10/09/07
GENERAL ELECTRIC CO NY 8.01 10/12/07
GENERAL ELECTRIC CO NY 2.02,7.01 10/12/07
GENIUS PRODUCTS INC DE 7.01,9.01 10/09/07
GLOBAL CASINOS INC UT 2.02,7.01 10/12/07
GLOBAL ENERGY INC NV 1.01,7.01,9.01 10/05/07
GLOBETEL COMMUNICATIONS CORP DE 8.01 10/05/07
GOLDEN OVAL EGGS LLC DE 5.02 10/05/07
GOLF TRUST OF AMERICA INC MD 8.01,9.01 10/04/07
GREENSHIFT CORP DE 1.01,9.01 10/09/07
GREYSTONE LOGISTICS, INC. 4.01 10/03/07 AMEND
GREYSTONE LOGISTICS, INC. 9.01 10/03/07 AMEND
Hampden Bancorp, Inc. DE 8.01,9.01 10/05/07
HANSEN MEDICAL INC 1.01 10/10/07
HARMAN INTERNATIONAL INDUSTRIES INC / DE 8.01 10/12/07
HEMAGEN DIAGNOSTICS INC DE 2.01,9.01 10/08/07
HIGHWATER ETHANOL LLC 1.01,9.01 10/09/07
HMS HOLDINGS CORP 7.01,9.01 10/08/07
HOOPER HOLMES INC NY 1.01,2.01,9.01 10/09/07
HUNT J B TRANSPORT SERVICES INC AR 2.02,9.01 10/11/07
Huron Consulting Group Inc. DE 9.01 07/29/07 AMEND
IBERIABANK CORP LA 5.02 10/09/07
IHS Inc. DE 7.01 10/11/07
IMAX CORP A6 8.01 10/11/07
IMERGENT INC DE 3.01,9.01 10/11/07
ImmunoCellular Therapeutics, Ltd. DE 5.02 10/10/07
INDEPENDENT BANK CORP MA 1.01,9.01 10/11/07
INDEPENDENT BANK CORP MA 8.01,9.01 10/12/07
IndyMac INDA Mortgage Loan Trust 2007 8.01,9.01 09/27/07
INERGY L P DE 8.01,9.01 10/08/07
INLAND WESTERN RETAIL REAL ESTATE TRU MD 8.01,9.01 10/12/07
INPHONIC INC 2.02,2.04,5.02,8.01,9.01 10/05/07
INTEGRATED ELECTRICAL SERVICES INC DE 1.01,9.01 10/01/07
Interactive Television Networks NV 8.01 10/08/07
International Coal Group, Inc. DE 5.02 10/09/07
INTERPHARM HOLDINGS INC DE 2.04,3.01 10/12/07
INTRICON CORP PA 1.01,1.02,5.02,5.03,9.01 10/05/07
INX Inc DE 7.01,9.01 10/12/06
IPARTY CORP DE 9.01 10/11/07 AMEND
IRELAND INC. NV 4.01,9.01 10/06/07
ISOLAGEN INC DE 8.01 10/11/07
ITT CORP IN 8.01,9.01 10/11/07
J.P. Morgan Mortgage Trust 2007-A5 DE 8.01,9.01 10/12/07
JACKSONVILLE BANCORP INC IL 2.02,9.01 10/11/07
Jade Mountain CORP NV 1.01,2.01,3.02,3.03,4.01,5.01, 10/05/07
5.02,5.06,9.01
JAGGED PEAK, INC. NV 7.01,9.01 10/12/07
KLONDIKE STAR MINERAL CORP DE 3.02 10/12/07
KMG America CORP VA 8.01,9.01 10/12/07
KORN FERRY INTERNATIONAL DE 5.02,9.01 10/12/07
KV PHARMACEUTICAL CO /DE/ DE 4.02,7.01,9.01 10/11/07
LANGER INC NY 1.01,9.01 10/09/07
Language Enterprises Corp. NV 5.02 10/09/07
LaPorte Bancorp, Inc. X1 8.01,9.01 10/12/07
LASALLE HOTEL PROPERTIES MD 7.01 10/10/07
LASERCARD CORP DE 8.01 09/21/07
LB-UBS Commercial Mortgage Trust 2007 8.01,9.01 10/11/07 AMEND
LEAR CORP DE 1.01,9.01 10/11/07
Lehman Mortgage Trust 2007-9 DE 8.01,9.01 09/28/07
Lehman XS Trust 2007-17H DE 8.01,9.01 09/28/07
Lehman XS Trust Series 2007-18N DE 8.01,9.01 09/28/07
LEVI STRAUSS & CO DE 1.01,2.03,2.04,8.01,9.01 10/11/07
LINCOLN INTERNATIONAL CORP DE 5.03,9.01 10/11/07
LION INC/WA WA 1.01,8.01,9.01 10/11/07
LODGIAN INC DE 5.02 10/09/07
LOGICVISION INC DE 3.01,9.01 10/11/07
LOOKSMART LTD DE 5.02 10/12/07
MAGNITUDE INFORMATION SYSTEMS INC DE 7.01,9.01 10/12/07
MANCHESTER INC 1.01 08/16/07
Marine Exploration Inc CO 1.01 10/11/07
MATRITECH INC/DE/ DE 5.02,5.03,9.01 10/05/07
MCDONALDS CORP DE 2.02,9.01 10/12/07
MEDAREX INC NJ 5.02,9.01 10/05/07
MERRILL LYNCH MUNICIPAL ABS INC NY 9.01 10/01/07
MGI PHARMA INC MN 2.05 10/24/06 AMEND
MICROPAC INDUSTRIES INC DE 8.01 10/10/07
MINDEN BANCORP INC 7.01,9.01 10/10/07
MOLSON COORS BREWING CO CO 5.02,9.01 10/09/07
MOOG INC NY 7.01,8.01,9.01 10/10/07
MOTHERS WORK INC DE 2.02,9.01 10/11/07
NATIONAL BANCSHARES CORP /OH/ OH 2.02,9.01 10/11/07
NATIONAL FUEL GAS CO NJ 2.02,7.01,9.01 10/11/07
NATIONAL MEDICAL HEALTH CARD SYSTEMS DE 8.01,9.01 10/12/07
NATUS MEDICAL INC DE 1.01,9.01 10/09/07
NEAH POWER SYSTEMS, INC. NV 5.02,7.01,9.01 10/12/07
NEPTUNE INDUSTRIES, INC. FL 5.02 10/10/07
NETWORK APPLIANCE INC CA 1.01,2.03 10/05/07
NETWORK APPLIANCE INC CA 1.01,2.03 10/10/07
NEW YORK TIMES CO NY 5.02,9.01 10/11/07
NEWPARK RESOURCES INC DE 7.01,9.01 10/11/07
NextMart Inc. DE 1.01 08/07/07 AMEND
NIGHTHAWK SYSTEMS INC NV 1.01,2.01,3.02,9.01 10/09/07
NNN Healthcare/Office REIT, Inc. MD 9.01 07/27/07 AMEND
NNN Healthcare/Office REIT, Inc. MD 9.01 08/15/07 AMEND
NNN Healthcare/Office REIT, Inc. MD 9.01 08/30/07 AMEND
NNN Healthcare/Office REIT, Inc. MD 9.01 09/28/07 AMEND
NNN Healthcare/Office REIT, Inc. MD 9.01 09/10/07 AMEND
NNN Healthcare/Office REIT, Inc. MD 9.01 09/05/07 AMEND
NOBLE CORP 7.01,9.01 10/11/07
NOVASTAR FINANCIAL INC MD 1.01 10/09/07
NPS PHARMACEUTICALS INC DE 1.01,8.01,9.01 10/09/07
NPS PHARMACEUTICALS INC DE 7.01,9.01 10/11/07
NU HORIZONS ELECTRONICS CORP DE 8.01,9.01 10/11/07
NU-MEX URANIUM CORP. NV 1.01,9.01 10/05/07
OC Financial Inc MD 5.02 10/09/07
OHIO VALLEY BANC CORP OH 2.02,9.01 09/30/07
OIL DRI CORP OF AMERICA DE 5.02,8.01,9.01 10/09/07
ON SEMICONDUCTOR CORP DE 2.03,9.01 10/09/07
OXFORD INDUSTRIES INC GA 1.01,5.02,5.03,9.01 10/09/07
Pacific Ethanol, Inc. DE 5.02 10/08/07
PAETEC Holding Corp. 1.01,9.01 10/11/07
PANTRY INC DE 5.02,8.01,9.01 08/09/07
PARTNERS TRUST FINANCIAL GROUP INC 8.01 10/01/07
Pathogenics, Inc. 4.01,9.01 10/04/07
Patriot Coal CORP DE 7.01,9.01 10/12/07
PC TEL INC DE 5.02,9.01 10/09/07
PENNSYLVANIA COMMERCE BANCORP INC 5.02,9.01 10/08/07
PENSON WORLDWIDE INC DE 1.01,9.01 10/08/07
PEOPLES BANCTRUST CO INC AL 8.01,9.01 10/11/07
PEOPLES SIDNEY FINANCIAL CORP DE 2.02,8.01,9.01 10/12/07
PLANETLINK COMMUNICATIONS INC GA 5.02,8.01,9.01 10/10/07
PLANETLINK COMMUNICATIONS INC GA 5.02,9.01 10/12/07
PLURISTEM LIFE SYSTEMS INC NV 5.02 10/12/07
PLY GEM HOLDINGS INC DE 2.05,7.01,9.01 10/11/07
POWERCOLD CORP NV 2.03,3.02 10/05/07
PRG SCHULTZ INTERNATIONAL INC GA 3.02 10/08/07
PRIDE INTERNATIONAL INC DE 5.02 10/07/07
PRINCIPAL LIFE INSURANCE CO IA 9.01 10/12/07
PROCTER & GAMBLE CO OH 5.02 10/11/07
PROGRESS ENERGY INC NC 5.02 10/12/07
PROSPECT CAPITAL CORP MD 8.01,9.01 10/10/07
PROSPECT CAPITAL CORP MD 8.01,9.01 10/12/07
PROVIDENCE SERVICE CORP DE 1.01,9.01 10/05/07
RALI Series 2007-QS11 Trust DE 8.01,9.01 10/12/07
Rand Logistics, Inc. DE 7.01,9.01 10/12/07
REGIS CORP MN 2.02,9.01 10/10/07
RESPIRONICS INC DE 7.01 10/08/07
RIO VISTA ENERGY PARTNERS LP DE 9.01 07/27/07 AMEND
Rock-Tenn CO GA 5.02 10/10/07
ROYAL MINES & MINERALS CORP NV 2.01,3.02,4.01,5.01,5.02,5.06, 10/05/07
9.01
RUBY TUESDAY INC GA 2.02,5.03,9.01 09/04/07
SAIC, Inc. DE 8.01 10/12/07
SCBT FINANCIAL CORP SC 8.01,9.01 10/11/07
SEALIFE CORP 8.01,9.01 10/12/07
Seligman LaSalle International Real E MD 8.01 10/12/07
SIRF TECHNOLOGY HOLDINGS INC 9.01 08/06/07 AMEND
SKRM Interactive, Inc. 1.01,3.02,5.02,9.01 09/12/07
SLADES FERRY BANCORP MA 1.01,9.01 10/11/07
SMF ENERGY CORP DE 5.02 10/08/07
SMITH MIDLAND CORP DE 5.02 10/08/07
Somaxon Pharmaceuticals, Inc. DE 5.02 10/08/07
SPATIALIGHT INC NY 5.02 10/08/07
Springbank Resources, Inc. NV 2.01,3.02,4.01,4.02,5.01,5.02, 10/11/07
5.06,9.01
SPRINT NEXTEL CORP KS 5.02,7.01,9.01 10/08/07
STAGE STORES INC NV 8.01,9.01 10/11/07
STANLEY FURNITURE CO INC. DE 5.02 10/08/07
STAR SCIENTIFIC INC DE 5.02,9.01 10/10/07
STRATS (SM) TRUST FOR JPMORGAN CHASE 8.01,9.01 10/01/07
STRATS SM TRUST FOR IBM CORP SEC SERI 8.01,9.01 10/01/07
Strats(SM) Trust for JPMorgan Chase C 8.01,9.01 10/01/07
STRATS(SM) Trust For Morgan Stanley S 8.01,9.01 10/01/07
Structured Adjustable Rate Mortgage L DE 8.01,9.01 09/28/07
Summit Global Logistics, Inc. DE 2.04 10/08/07
SUNRISE SENIOR LIVING INC DE 1.01,9.01 10/10/07
SYNTA PHARMACEUTICALS CORP 1.01,3.02,9.01 10/08/07
TECTON CORP NV 1.01,9.01 10/01/07
TORVEC INC NY 8.01 10/12/07
TYSON FOODS INC DE 5.02 10/12/07
UFP TECHNOLOGIES INC DE 5.02,9.01 10/08/07
UNIFIED WESTERN GROCERS INC CA 5.02,7.01,9.01 10/05/07
UNITED SECURITY BANCSHARES CA 2.02,9.01 10/12/07
UNITED STATIONERS INC DE 5.03,9.01 10/10/07
UNITED THERAPEUTICS CORP DE 5.02 10/08/07
UNIVERSAL TECHNICAL INSTITUTE INC DE 2.01,9.01 10/10/07
URANIUM RESOURCES INC /DE/ DE 1.01,7.01,9.01 10/12/07
VALUE LINE INC NY 5.02 10/10/07
VELOCITY ASSET MANAGEMENT INC DE 1.01,3.02,9.01 10/11/07
VENTAS INC DE 8.01,9.01 10/10/07
VERSO TECHNOLOGIES INC MN 5.02,9.01 10/05/07
VICTORY RENEWABLE FUELS LLC 8.01,9.01 10/06/07
VIDEO DISPLAY CORP GA 2.02,9.01 10/12/07
VIKING SYSTEMS INC DE 5.02 10/06/07
VIPER POWERSPORTS INC 3.02 10/12/07
VONAGE HOLDINGS CORP DE 1.01 10/07/07
Voyant International CORP NV 1.01 09/26/07
VS HOLDINGS, INC. DE 2.02,9.01 10/10/07
Vsurance NV 8.01,9.01 10/12/07
WATER CHEF INC DE 5.02 10/12/07
WELLCARE HEALTH PLANS, INC. DE 1.01,9.01 10/09/07
Wells Fargo Mortgage Backed Securitie DE 8.01,9.01 09/28/07
WENDYS INTERNATIONAL INC OH 7.01,9.01 10/12/07
Wentworth Energy, Inc. OK 8.01 10/11/07
Western Goldfields Inc. A6 3.02 10/12/07
WHOLESALE AUTO RECEIVABLES LLC DE 8.01,9.01 10/12/07
WHX CORP DE 2.01,9.01 04/13/07 AMEND
WILLIAMS COMPANIES INC DE 8.01,9.01 10/12/07
World Energy Solutions, Inc. DE 1.01,9.01 10/09/07
XCEL ENERGY INC MN 2.02,9.01 10/12/07
XL CAPITAL LTD 8.01,9.01 10/12/07
XTO ENERGY INC DE 2.01,7.01,9.01 07/31/07 AMEND
YOUBET COM INC DE 8.01 10/11/07
YTB International, Inc. NY 7.01,9.01 10/12/07
ZHONGPIN INC. DE 5.02 10/10/07
ZIMMER HOLDINGS INC DE 7.01 10/11/07
http://www.sec.gov/news/digest/2007/dig101507.htm
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