 |
|
SEC NEWS DIGEST
Issue 2007-199 October 16, 2007
COMMISSION ANNOUNCEMENTS
CHIEF ACCOUNTANT �IS �SEEKING �CANDIDATES �FOR �FIVE �PROFESSIONAL
ACCOUNTING FELLOW POSITIONS
The ���Securities �and �Exchange �Commission's �Office �of �the �Chief
Accountant �is �now accepting applications for Professional Accounting
Fellow �(PAF) �positions. �The �PAF �program, �which began in 1972, is
designed ��to ��provide ��participating ��fellows ��with ��outstanding
opportunities �for �public service to investors, personal development,
and �career �advancement. �During �their �fellowship, �the �successful
candidates �will �be �involved �in �the �study and development of rule
proposals �under the federal securities laws, liaison with accounting,
auditing ��and ��other ��professional ��standard-setting ��bodies, and
consultation �with registrants on reporting matters. The Office of the
Chief �Accountant �plans �to �select �up �to �five �candidates for the
following positions.
* The �Office �of �the �Chief �Accountant's Accounting Group
would like �to �select �three candidates with significant
experience in the �application �of �U.S. �GAAP �and/or
International Financial Reporting �Standards �(areas �of
specialty �may include, but are not �limited �to, �accounting
topics such as revenue recognition, compensation, business
combinations, and financial �instruments).
* The �Office �of �the �Chief �Accountant's �International �Group
would ��like ��to ��select ��one ��candidate ��with ��significant
experience ��with International ��Financial �Reporting �Standards
and/or �International Standards on Auditing.
* The �Office �of �the �Chief �Accountant's �Professional
Practice Group �would �like �to �select �one �candidate �with
significant experience in internal �control �over �financial
reporting under Section 404 of the Sarbanes-Oxley ��Act ��and
analyzing ��and implementing ��auditing, �independence, �and/or
quality �control standards.�
Interested applicants should submit
* a resume;
* Standard �Form �171, �"Personal �Qualification �Statement,"
Form OF-612, �"Optional �Application �for �Federal Employment,"
or any other ��written ��format ��that ��clearly ��identifies
the title (Professional �Accounting �Fellow) �and �grade �(SK16-
14) �of the job for which the applicant is seeking; �and
* at �least �two �letters �of recommendation from non-relatives.
Standard �Form �171, �Form �OF-612, �and "Applying for a Federal Job,"
which highlights the information to be included in the resume or other
written ��submission, ��can ��be ��obtained ��from ��the ��Office ��of
Administrative �and �Personnel �Management, �Securities �and �Exchange
Commission, �100 �F Street, N.E., Washington, D.C., 20549. Form OF-612
is �also �available �on the Internet at http://www.opm.gov.
Applicants �are �required �to �submit �an �eight �to twelve page essay
that ���they �have �prepared �on �their �own �on �a �subject �directly
related ���to �a �current �accounting �or �auditing �topic. �While �no
restriction ����is �placed �on �the �essay �topic, �applicants �should
consider ��focusing �their �essay �on �a �particular �technical �topic
and ����supplementing ���their ���technical ���discussion ���with ���a
consideration ��of �one �or �more �interrelated �policy-level �issues.
Applicants �are �encouraged �to consider selecting any accounting ��or
auditing ��topic ��on ��which ��they ��possess ��expertise. �Suggested
accounting �and �auditing �topics include, but are not limited to, the
following:
* classification ����and ���measurement ���issues ���related
to liabilities and equity; ��
* cash or share-based compensation arrangements; �
* pensions �and other postretirement benefits;
* lease accounting; ��
* consolidation policy; ��
* fair�value option;
* derecognition of financial assets;
* revenue recognition;
* derivative accounting;
* financial statement presentation; �
* eliminating ��the ��reconciliation ��requirement ��for
financial statements filed using IFRS;
* auditor responsibility for detecting fraud;
* auditing estimates and fair value; and �
* internal �controls �over �financial �reporting.
Suggested �policy-level �considerations �to be discussed in connection
with �the �technical �topic �include, �but �are �not �limited �to, the
following: ��
* SEC ���Advisory ��Committee ��on ��Improvements ��to
Financial Reporting;
* international ����convergence ��of ��accounting ��and
auditing standards; �
* the �role �of International Financial Reporting Standards in
the United States;
* fair value as a measurement basis;
* SEC Staff Report on Off-Balance Sheet Arrangements;
* SEC Study on Adoption of a Principles-Based Accounting �System;
* use of technology in financial reporting �(e.g., XBRL); �
* structured transactions; �
* audit considerations in setting accounting standards; and
* SEC oversight of the �PCAOB �and FASB.
The �application �and �essay should be submitted on or before Jan. 18,
2008, ��to �the �Chief �Accountant �of �the �Securities �and �Exchange
Commission, �100 F Street, N.E., Washington, D.C., 20549. In addition
to �the �hard �copy, applicants should also submit a CD that includes
their �essay �and �resume �in �electronic �form. �Inquiries �about the
program �may �be �addressed �to �the attention of Bob Malhotra or Jeff
Ellis �in �the �Office �of �the Chief Accountant at (202) 551-5305 and
(202) �551-5329, �respectively. �
The �Commission's �policy �of �affording �equal employment opportunity
to �all �interested candidates will be followed.
ENFORCEMENT PROCEEDINGS
FINAL JUDGMENT ENTERED AGAINST OFFICER OF IMMUCOR, INC.
The �Commission �today �announced �that on Oct. 2, 2007, the Honorable
Horace �T. �Ward, �U.S. �District �Judge �for the Northern District of
Georgia, �entered �a �Final �Judgment �As �To �Defendant Gioacchino De
Chirico, Chief Executive Officer of Immucor, Inc., ordering him to pay
a �civil �penalty in the amount of $30,000. The Commission's complaint
alleged �that �De �Chirico violated Section 13(b)(5) of the Securities
Exchange �Act �of �1934 (Exchange Act) and Rule 13b2-1 thereunder, and
aided �and �abetted violations of Sections 13(b)(2)(A) and 13(b)(2)(B)
of the Exchange Act. De Chirico 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. 28, 2007, alleged that in
April �2004, �Immucor paid 13,500 euro to the director of a public
hospital �in �Milan, Italy as a quid pro quo for the hospital director
favoring �Immucor �in �selecting contracts for supplies and equipment.
The complaint further alleged that De Chirico approved an invoice that
falsely described the 13,500 euro payment as a consulting fee for
services in connection with opportunities in Switzerland, which De
Chirico knew the �hospital �director �had �never �performed. �[SEC v.
Gioacchino De Chirico, Civil Action File No. 1:07-CV-2367-HTW (NDGA)]
(LR-20334)
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A �proposed �rule �change �(SR-NYSEArca-2007-94) �and �Amendment No. 1
thereto �filed �by NYSE Arca to eliminate position and exercise limits
for �options �on �the �Russell 2000 Index, and to specify that certain
reduced-value options on broad-based security indexes have no position
and ���exercise �limits �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.
34-56656)
A proposed rule change SR-CBOE-2007-115), as modified by Amendment No.
1 �thereto, �filed �by �Chicago �Board Options Exchange to broaden the
application of existing transaction fees for VIX options to options on
all volatility indexes calculated by the Exchange 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
October 15. (Rel. 34-56660)
PROPOSED RULE CHANGES
A �proposed �rule �change �(SR-CHX-2007-09) �to �amend �the Exchange's
institutional �broker rules to add provisions relating to the handling
of �stop �and �stop-limit �orders �has been filed by the Chicago Stock
Exchange �under �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. 34-56657)
A �proposed �rule �change �(SR-NASD-2005-100) �has �been �filed by the
National �Association �of Securities Dealers (n/k/a Financial Industry
Regulatory Authority, Inc.) to require members to provide customers in
TRACE-eligible �debt �securities with additional, transaction-specific
disclosures ��and �to �notify �customers �of �the �availability �of �a
disclosure �document. �Publication is expected in the Federal Register
during the week of October 15. (Rel. 34-56661)
ACCELERATED APPROVAL OF PROPOSED RULE CHANGES
A �proposed �rule �change �(SR-NASD-2005-080) �filed �by �the National
Association of Securities Dealers (n/k/a Financial Industry Regulatory
Authority, �Inc.) �relating �to �fairness �opinions �has �been granted
accelerated �approval �under �Section �19(b)(2) �of �the Exchange Act.
Publication �is �expected �in �the Federal Register during the week of
October 15. (Rel. 34-56645)
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-4 WEATHERFORD INTERNATIONAL INC /NEW/, 515 POST OAK BLVD, SUITE 600,
HOUSTON, TX, 77027-3415, 7132978400 -
0 ($1,500,000,000.00) Non-Convertible Debt, (File 333-146695 - Oct. 15)
(BR. 04)
S-3ASR L-1 IDENTITY SOLUTIONS, INC., 177 BROAD STREET, STAMFORD, CT, 06901,
203-504-1100 - 0 ($30,478,650.30) Equity, (File 333-146696 - Oct. 15)
(BR. 03A)
S-1 Western Gas Partners LP, 1201 LAKE ROBBINS DRIVE, THE WOODLANDS, TX,
77380, 832-636-1000 - 0 ($452,812,500.00) Equity, (File 333-146700 -
Oct. 15) (BR. 04)
S-3 AFS SenSub Corp., 2265B RENAISSANCE DRIVE, SUITE 17, LAS VEGAS, NV,
89119, 702-932-4914 -
1,000,000 ($1,000,000.00) Asset-Backed Securities, (File 333-146701 -
Oct. 15) (BR. 05D)
S-8 ITRONICS INC, 6490 SO. MCCARRAN BLVD., BLDG C STE 23, RENO, NV, 89509,
7756897696 - 50,000,000 ($200,000.00) Equity, (File 333-146702 -
Oct. 15) (BR. 05B)
S-8 TOPSPIN MEDICAL INC, 1013 CENTER ROAD, WILMINGTON, DE, 19805,
3026365400 - 0 ($6,714,000.00) Equity, (File 333-146703 - Oct. 15)
(BR. 10)
S-1 AFP IMAGING CORP, 250 CLEARBROOK RD, ELMSFORD, NY, 10523, 9145926100 -
0 ($13,035,042.70) Equity, (File 333-146704 - Oct. 15) (BR. 10A)
SB-2 House Fly Rentals, Inc., 1252 LAKE HURON PARKWAY, SARNIA, A6, N7S 3S9,
519-542-2216 - 3,750,000 ($37,500.00) Equity, (File 333-146705 -
Oct. 15) (BR. 08)
S-8 UAP HOLDING CORP, C/O UNITED AGRI PRODUCTS INC, 7251 W 4TH STREET,
GREELEY, CO, 80634, 9703554400 - 0 ($168,465,000.00) Equity,
(File 333-146706 - Oct. 15) (BR. 05A)
S-3 CARDICA INC, 900 SAGINAW DRIVE, REDWOOD CITY, CA, 94063, 650-364-9975 -
0 ($74,001,698.10) Equity, (File 333-146708 - Oct. 15) (BR. 10A)
S-8 METHODE ELECTRONICS INC, 7401 W WILSON AVE, CHICAGO, IL, 60706,
7088676777 - 1,250,000 ($20,037,500.00) Equity, (File 333-146709 -
Oct. 15) (BR. 10B)
S-3 INX Inc, 6401 SOUTHWEST FREEWAY, HOUSTON, TX, 77074, 7137952000 -
0 ($100,000,000.00) Equity, (File 333-146710 - Oct. 15) (BR. 03C)
S-8 SUB SURFACE WASTE MANAGEMENT OF DELAWARE INC, 5922-B FARNSWORTH COURT,
CARLSBAD, CA, 92008, 760-918-1860 - 60,000,000 ($300,000.00) Equity,
(File 333-146712 - Oct. 15) (BR. 06B)
S-8 EMAGIN CORP, 2070 ROUTE 52, SUITE 2000, HOPEWELL JUNCTION, NY, 12533,
845 838 7900 - 590,225 ($590,225.00) Equity, (File 333-146713 -
Oct. 15) (BR. 10B)
SB-2 VILLAGEEDOCS INC, 1401 N. TUSTIN AVE STE 230, SANTA ANA, CA, 92705,
7147341030 - 188,977,261 ($10,393,749.36) Equity, (File 333-146714 -
Oct. 15) (BR. 08C)
N-2 NGP Capital Resources CO, 1221 MCKINNEY STREET, SUITE 2975, HOUSTON,
TX, 77010, (713) 752-0062 - 0 ($250,000,000.00) Equity,
(File 333-146715 - Oct. 15) (BR. 18)
S-1 Starent Networks, Corp., 30 INTERNATIONAL PLACE, TEWKSBURY, MA, 01876,
978-851-1100 - 0 ($251,758,000.00) Equity, (File 333-146717 - Oct. 15)
(BR. 11C)
S-8 IDT CORP, 520 BROAD ST, NEWARK, NJ, 07102, 973 438 1000 -
0 ($21,323,750.00) Equity, (File 333-146718 - Oct. 15) (BR. 11A)
S-8 PGT, Inc., 1070 TECHNOLOGY DRIVE, NOKOMIS, FL, 34275, 941-480-1600 -
500,000 ($4,045,000.00) Equity, (File 333-146719 - Oct. 15) (BR. 06A)
S-3ASR NEWMONT MINING CORP /DE/, 1700 LINCOLN STREET, DENVER, CO, 80203,
303-863-7414 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-146720 - Oct. 15) (BR. 04A)
S-3ASR Expedia, Inc., 3150 139TH AVENUE SE, BELLEVUE, WA, 98005,
(425)679-7200 - 0 ($0.00) Other, (File 333-146721 - Oct. 15) (BR. 05B)
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
---------------------------------------------------------------------------------------------------------
1ST CENTENNIAL BANCORP CA 2.02,9.01 10/12/07
ACCESS WORLDWIDE COMMUNICATIONS INC DE 5.02,9.01 10/10/07
ACCIDENT PREVENTION PLUS INC NV 2.01,3.02,5.01,5.02,5.06,9.01 05/21/07
ACCREDITED HOME LENDERS HOLDING CO DE 3.01,5.01,5.02,5.03,8.01,9.01 10/11/07
ACCREDITED HOME LENDERS HOLDING CO DE 2.04,8.01,9.01 10/10/07
Accredited Mortgage Loan REIT Trust MD 5.01,8.01,9.01 10/11/07
Accredited Mortgage Loan REIT Trust MD 2.04,8.01,9.01 10/10/07
ACORN FACTOR, INC. DE 5.02,9.01 10/10/07
ACTIVIDENTITY CORP DE 2.02,9.01 10/11/07
ADAPTEC INC DE 8.01 10/12/07
Advanced BioEnergy, LLC DE 1.01,1.02,2.03,8.01,9.01 10/09/07
Advaxis, Inc. DE 8.01 10/09/07
AFS SenSub Corp. 1.01,9.01 10/11/07
ALCAN INC A6 7.01 10/12/07
ALLIANCE DATA SYSTEMS CORP DE 8.01,9.01 10/15/07
ALLTEL CORP DE 8.01,9.01 10/15/07
ALLTEL CORP DE 5.04,9.01 10/12/07
Alphatec Holdings, Inc. DE 5.02 10/09/07
Alternative Loan Trust 2007-25 DE 8.01,9.01 09/27/07
AMACORE GROUP, INC. DE 1.01,2.01,3.02,9.01 10/05/07
AMDL INC DE 8.01,9.01 10/12/07
American Express Issuance Trust DE 8.01,9.01 10/15/07
American Patriot Financial Group, Inc TN 5.02,9.01 10/09/07
AMERICAN URANIUM CORP NV 1.01,9.01 10/10/07
AMERIGAS PARTNERS LP DE 5.03,9.01 10/15/07
Amish Naturals, Inc. NV 8.01 10/15/07
Amnutria Dairy Inc. NV 1.01,2.01,3.02,5.01,5.02,5.03, 10/09/07
5.06,9.01
ANESIVA, INC. DE 1.01,9.01 10/09/07
APOLLO GOLD CORP 8.01,9.01 10/12/07
APPALACHIAN BANCSHARES INC GA 5.02,9.01 10/15/07
Ardea Biosciences, Inc./DE DE 5.02,9.01 10/08/07
ARIAD PHARMACEUTICALS INC DE 1.01,9.01 10/09/07
AROTECH CORP DE 8.01 10/15/07
ARTS WAY MANUFACTURING CO INC DE 2.02 10/15/07
AURELIO RESOURCE CORP NV 8.01 10/12/07
AVALON PHARMACEUTICALS INC 5.02,9.01 10/12/07
BADGER METER INC WI 2.02,9.01 10/15/07
BANK OF FLORIDA CORP FL 3.01 10/11/07
BCSB Bancorp Inc. MD 8.01,9.01 10/11/07
BCSB BANKCORP INC 8.01,9.01 10/11/07
BEACON ROOFING SUPPLY INC 5.02,9.01 10/15/07
BEAZER HOMES USA INC DE 8.01,9.01 10/15/07
BioFuel Energy Corp. 8.01,9.01 10/15/07
BIOPURE CORP DE 5.02,7.01,9.01 10/10/07
Birmingham Bloomfield Bancshares MI 5.02 10/11/07
BPO Management Services DE 1.01,9.01 09/28/07 AMEND
BRIDGE BANCORP INC NY 5.02,9.01 10/09/07
Britton International Inc. NV 2.01,8.01 10/02/07
BUCKEYE TECHNOLOGIES INC DE 7.01,8.01,9.01 10/12/07
Burlington Coat Factory Investments H 5.02 10/15/07
CABCO TRUST FOR TEXACO CAPITAL INC. G DE 8.01,9.01 10/01/07
CALYPSO FINANCIAL SERVICES INC DE 1.01,9.01 10/12/07
Capital One Auto Finance Trust 2007-C DE 8.01,9.01 10/11/07
CASEYS GENERAL STORES INC IA 7.01 10/15/07
CATERPILLAR INC DE 5.02,9.01 10/10/07
CELL THERAPEUTICS INC WA 2.01,9.01 07/31/07 AMEND
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 10/15/07
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 10/15/07
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 10/15/07
CHASE CREDIT CARD MASTER TRUST NY 8.01,9.01 10/15/07
CHILDRENS PLACE RETAIL STORES INC 4.01,8.01,9.01 10/09/07
China Housing & Land Development, Inc NV 5.02,9.01 10/15/07
China Industrial Waste Management Inc NV 1.01 10/09/07
China Shoe Holdings, Inc. NV 4.01,9.01 09/06/07
CIRCUIT CITY STORES INC VA 5.02 10/15/07
CITIBANK OMNI-S MASTER TRUST 8.01 10/15/07
CITIBANK SOUTH DAKOTA N A DE 8.01 09/25/07
CITIGROUP INC DE 2.02,9.01 10/15/07
CITIZENS INC CO 8.01,9.01 10/09/07
CLEAN HARBORS INC MA 5.02 10/15/07
CLEVELAND CLIFFS INC OH 2.01,9.01 07/31/07 AMEND
COMM BANCORP INC PA 2.02,9.01 10/15/07
COMPUMED INC DE 7.01,9.01 10/15/07
CONGOLEUM CORP DE 2.02,9.01 10/11/07
CONSECO INC DE 7.01,9.01 10/12/07
Constant Contact, Inc. DE 5.03,9.01 10/09/07
CONTINUCARE CORP FL 1.01,9.01 10/11/07
COSWAY INDUSTRIES, INC. DE 5.01,5.02,9.01 10/12/07
Covidien Ltd. D0 2.06 10/11/07
CRESCENT FINANCIAL CORP NC 2.02 10/15/07
CROSS COUNTRY HEALTHCARE INC DE 1.01,9.01 10/15/07
CSK AUTO CORP DE 1.01,5.04,8.01,9.01 10/10/07
CSMC Mortgage-Backed Trust 2007-6 DE 8.01,9.01 10/15/07
CYTOKINETICS INC 1.01,3.02,9.01 10/15/07
DANAHER CORP /DE/ DE 2.02,9.01 10/15/07
DANAHER CORP /DE/ DE 1.01,9.01 10/15/07
DAVITA INC DE 5.02 07/31/07 AMEND
DEARBORN BANCORP INC /MI/ MI 5.02 10/11/07
DECODE GENETICS INC DE 7.01 10/09/07
DELTA WOODSIDE INDUSTRIES INC /SC/ SC 7.01,9.01 08/28/07
DELTA WOODSIDE INDUSTRIES INC /SC/ SC 1.01,1.03,3.03,5.01,5.02,5.03, 10/10/07
9.01
Deutsche Alt-A Securities Mortgage Lo DE 8.01,9.01 10/15/07
DIAMOND OFFSHORE DRILLING INC DE 7.01,9.01 10/15/07
DIGIRAD CORP DE 5.02 10/12/07
DIONEX CORP /DE CA 5.02,9.01 10/10/07
Driftwood Ventures, Inc. NV 5.02 10/11/06
DYNEGY INC. DE 7.01,9.01 10/15/07
E DIGITAL CORP DE 1.01,2.03,3.02,9.01 10/15/07
EAGLE ROCK ENERGY PARTNERS L P DE 8.01,9.01 10/15/07
EATON CORP OH 2.02,9.01 10/15/07
EATON VANCE CORP MD 7.01,9.01 10/12/07
EAU TECHNOLOGIES, INC. DE 1.01,3.02,8.01 10/09/07
Eco Depot, Inc 5.02 10/15/07
ECOSPHERE TECHNOLOGIES INC FL 1.01,2.01,3.02,5.02 10/09/07
EDUCATIONAL DEVELOPMENT CORP DE 2.02,9.01 10/15/07
ENER1 INC FL 1.01,7.01 10/15/07
ENERGIZER HOLDINGS INC MO 5.02 10/10/07
Energy Future Holdings Corp /TX/ TX 7.01,9.01 10/15/07
Energy Future Holdings Corp /TX/ TX 8.01,9.01 10/15/07
Energy Future Holdings Corp /TX/ TX 7.01,9.01 10/15/07
Energy Future Holdings Corp /TX/ TX 3.02,5.02 10/09/07
Energy Transfer Equity, L.P. DE 8.01 10/15/07
Energy Transfer Partners, L.P. DE 8.01 10/15/07
ENSCO INTERNATIONAL INC DE 2.02,9.01 10/15/07
EXCO RESOURCES INC TX 7.01,9.01 10/15/07
EXELON CORP PA 8.01,9.01 10/15/07
EZENIA INC DE 8.01,9.01 10/15/07
FINISH LINE INC /IN/ IN 1.01,9.01 10/12/07
FIRST KEYSTONE CORP PA 8.01 10/15/07
FLIGHT SAFETY TECHNOLOGIES INC NV 8.01,9.01 10/15/07
FRANKLIN FINANCIAL SERVICES CORP /PA/ PA 8.01,9.01 10/15/07
FTI CONSULTING INC MD 7.01,9.01 10/15/07
GALAXY ENERGY CORP CO 2.03,9.01 10/11/07
GENE LOGIC INC DE 9.01 10/15/07
GENENTECH INC DE 2.02,8.01,9.01 10/15/07
GENERAL MILLS INC DE 1.01,1.02,2.03,8.01,9.01 10/09/07
GENERAL MOTORS CORP DE 1.01,8.01,9.01 10/10/07
GENESIS MICROCHIP INC /DE DE 5.02,9.01 10/09/07
GEOVIC MINING CORP. DE 7.01,9.01 10/15/07
Global Beverage Solutions, Inc. 1.01,9.01 10/09/07
Global Resource CORP CO 8.01 10/09/07
GRAINGER W W INC IL 2.02,9.01 09/30/07
GRAN TIERRA ENERGY, INC. NV 5.02 10/10/07
GREAT PLAINS ENERGY INC MO 8.01,9.01 10/15/07
GRYPHON GOLD CORP NV 7.01,9.01 10/15/07
H&R BLOCK INC MO 4.01 10/12/07
HAIGHTS CROSS COMMUNICATIONS INC DE 5.02,9.01 10/10/07
HARMONIC INC DE 9.01 07/31/07 AMEND
HARTFORD LIFE INSURANCE CO CT 9.01 10/15/07
HCP, INC. MD 8.01,9.01 10/10/07
HEALTHCARE ACQUISITION CORP DE 5.02 10/09/07
HEALTHSOUTH CORP DE 8.01,9.01 10/15/07
HELEN OF TROY LTD 2.02,9.01 10/10/07
HERITAGE OAKS BANCORP CA 2.01,5.02,9.01 10/12/07
Highlands Acquisition Corp DE 8.01,9.01 10/09/07 AMEND
HORIZON BANCORPORATION INC FL 2.02,9.01 10/15/07
HRPT PROPERTIES TRUST MD 8.01,9.01 10/15/07
HSW International, Inc. DE 8.01,9.01 10/15/07
IA GLOBAL INC DE 1.01 10/12/07
IBASIS INC DE 4.01,7.01,9.01 10/09/07
IBT BANCORP INC PA 2.02,9.01 10/15/07
ICAHN ENTERPRISES L.P. DE 8.01 10/09/07
IMATION CORP DE 9.01 07/31/07 AMEND
Innophos Holdings, Inc. 5.02 10/11/07
INNOVA PURE WATER INC /FL/ FL 9.01 06/27/05
Integrated Healthcare Holdings Inc NV 1.01,2.03,3.02,9.01 10/09/07
INTERNATIONAL SHIPHOLDING CORP DE 8.01,9.01 10/15/07
INTERNATIONAL SPEEDWAY CORP FL 1.02 10/09/07
INTERNET INFINITY INC DE 1.01,3.02 10/04/07
INTERPHARM HOLDINGS INC DE 2.04,3.01 10/15/07 AMEND
INTRAWARE INC DE 2.02,9.01 10/15/07
Intrepid Global Imaging 3D, INC. DE 5.02 10/15/07
IRIDEX CORP DE 5.02,9.01 10/09/07
ISCO INTERNATIONAL INC DE 5.02,7.01,9.01 10/15/07
ISDERA NORTH AMERICA, INC. 1.01,5.01,5.02,9.01 10/12/07
J P MORGAN CHASE & CO DE 9.01 10/11/07
JACKSON HEWITT TAX SERVICE INC DE 5.02,8.01,9.01 10/09/07
JOE'S JEANS INC. DE 5.03 10/11/07
JOURNAL REGISTER CO DE 5.02,9.01 10/12/07
KAYNE ANDERSON ENERGY DEVELOPMENT CO MD 2.02,9.01 10/11/07
KBS Real Estate Investment Trust, Inc MD 1.01 10/09/07
KEMET CORP DE 2.01,9.01 10/15/07
KH FUNDING CO MD 5.02 10/05/07
KITTY HAWK INC DE 1.03,9.01 10/15/07
LA-Z-BOY INC MI 2.05 10/15/07
LAKELAND FINANCIAL CORP IN 2.02,9.01 09/30/07
LAWSON PRODUCTS INC/NEW/DE/ DE 1.01,9.01 10/09/07
Laycor Ventures Corp. NV 4.01,9.01 10/12/07
LEHMAN BROTHERS HOLDINGS INC DE 9.01 10/10/07
LEHMAN BROTHERS HOLDINGS INC DE 8.01,9.01 10/10/07
LENNOX INTERNATIONAL INC DE 1.01,1.02,2.03,9.01 10/12/07
Lev Pharmaceuticals Inc DE 1.01 10/10/07
LIPIDVIRO TECH INC NV 5.02,9.01 09/10/07
LITHIA MOTORS INC OR 7.01,9.01 10/15/07
LOGICA HOLDINGS INC 1.01,3.02,9.01 10/04/07
LUMINEX CORP DE 8.01,9.01 10/15/07
M45 Mining Resources, Inc. NV 7.01,9.01 10/15/07
MACATAWA BANK CORP MI 2.02,9.01 10/15/07
MACROCHEM CORP DE 9.01 10/10/07 AMEND
MANATRON INC MI 5.02,5.03,7.01,9.01 10/11/07
MANTECH INTERNATIONAL CORP DE 5.02 10/15/07
MARCHEX INC DE 1.01,9.01 10/09/07
MATTEL INC /DE/ DE 2.02,7.01,9.01 10/12/07
MEDQUIST INC NJ 8.01,9.01 10/15/07
MEDTRONIC INC MN 7.01,9.01 10/15/07
MEDTRONIC INC MN 7.01 10/15/07
MEMORY PHARMACEUTICALS CORP 8.01,9.01 10/15/07
MESABI TRUST NY 2.02,9.01 10/15/07
MIDWEST URANIUM CORP NV 5.02 10/09/07
MINISTRY PARTNERS INVESTMENT CORP CA 1.01 10/08/07
MIV THERAPEUTICS INC NV 8.01 10/09/07
MMC ENERGY, INC. DE 8.01 10/09/07
MOBILEPRO CORP DE 5.02 10/12/07
MOHEGAN TRIBAL GAMING AUTHORITY 2.02,9.01 10/15/07
MORGAN STANLEY CHARTER ASPECT L.P. DE 1.01,9.01 10/09/07
MORGAN STANLEY SPECTRUM CURRENCY LP DE 1.01,9.01 10/09/07
MORGAN STANLEY SPECTRUM GLOBAL BALANC DE 1.01,9.01 10/09/07
MORGAN STANLEY SPECTRUM SELECT LP DE 1.01,9.01 10/09/07
MORGAN STANLEY SPECTRUM STRATEGIC LP NY 1.01,9.01 10/09/07
MORGAN STANLEY SPECTRUM TECHNICAL LP DE 1.01,9.01 10/09/07
MOSAIC CO 2.02,9.01 10/09/07
MUTUALFIRST FINANCIAL INC MD 5.03,9.01 10/10/07
NANOBAC PHARMACEUTICALS INC FL 4.01 10/12/07
NATCO GROUP INC DE 5.02,5.03 10/15/07
NATHANIEL ENERGY CORP NV 8.01,9.01 10/15/07
NATIONAL RESEARCH CORP WI 5.03,9.01 10/10/07
NATURAL ALTERNATIVES INTERNATIONAL IN DE 2.02,9.01 10/15/07
Navidec Financial Services, Inc. CO 5.02,8.01 09/20/07
NBTY INC DE 2.02,9.01 10/12/07
NETWORK ENGINES INC DE 1.01,2.01,2.03,3.02,9.01 10/09/07
NEVADA GOLD & CASINOS INC NV 1.01,9.01 10/12/07
NEW YORK TIMES CO NY 1.02 10/11/07
NEWBRIDGE BANCORP NC 9.01 08/01/07 AMEND
NEWFIELD EXPLORATION CO /DE/ DE 5.02,9.01 10/15/07
NEWMONT MINING CORP /DE/ DE 8.01,9.01 10/15/07
NIAGARA MOHAWK POWER CORP /NY/ NY 5.02 10/15/07
Nile Therapeutics, Inc. 7.01,9.01 10/11/07
NU HORIZONS ELECTRONICS CORP DE 3.01,9.01 10/12/07
NUMEREX CORP /PA/ PA 9.01 07/31/07 AMEND
NUVEEN INVESTMENTS INC DE 2.02,7.01,9.01 10/15/07
OCCAM NETWORKS INC/DE DE 5.02 10/11/07
OCTILLION CORP 7.01,9.01 10/01/07
OGE ENERGY CORP OK 8.01,9.01 10/15/07
Oilsands Quest Inc 5.02,8.01,9.01 10/11/07
OKLAHOMA GAS & ELECTRIC CO OK 8.01,9.01 10/15/07
PAIVIS, CORP ./NV/ NV 1.01,3.02,7.01,8.01,9.01 10/04/07
PAIVIS, CORP ./NV/ NV 8.01,9.01 10/05/07
Panglobal Brands Inc. DE 2.01,9.01 05/11/07 AMEND
PAR PHARMACEUTICAL COMPANIES, INC. DE 8.01,9.01 10/15/07
Paradigm Oil & Gas, Inc. NV 4.01,9.01 10/15/07
PARK NATIONAL CORP /OH/ OH 2.02,9.01 10/15/07
PEGASYSTEMS INC MA 5.02 10/09/07
PEOPLES FINANCIAL CORP /MS/ MS 2.02,9.01 10/15/07
PEOPLES LIBERATION INC DE 5.02 10/12/07
PETMED EXPRESS INC FL 8.01,9.01 10/15/07
PHARMACOPEIA INC DE 1.01,9.01 10/11/07
PIERRE FOODS INC NC 2.02,9.01 10/13/07
PLANAR SYSTEMS INC OR 5.02,9.01 10/09/07
PREMIER WEALTH MANAGEMENT, INC. DE 2.01,2.04,9.01 10/05/07
PRIMEDIA INC DE 7.01,9.01 10/15/07
PRO PHARMACEUTICALS INC NV 1.01,3.02,9.01 10/15/07
PROASSURANCE CORP DE 7.01,9.01 10/15/07
PROVIDENCE SERVICE CORP DE 2.01,9.01 08/01/07 AMEND
PROVIDENT FINANCIAL HOLDINGS INC DE 8.01 10/15/07
PRUDENTIAL BACHE WATSON & TAYLOR LTD TX 8.01,9.01 10/11/07
PUREDEPTH, INC. CO 1.01,9.01 09/28/07 AMEND
RED HAT INC DE 5.02,9.01 10/12/07
REDDI BRAKE SUPPLY CORP NV 2.04 10/15/07
REDDY ICE HOLDINGS INC DE 8.01,9.01 10/12/07
ROHM & HAAS CO DE 2.02,8.01 10/15/07
ROLLINS INC DE 8.01 10/10/07
ROYALITE PETROLEUM CO INC. NV 1.01,7.01,9.01 10/01/07
SANTANDER DRIVE AUTO RECEIVABLES LLC DE 8.01,9.01 10/09/07
SCHMITT INDUSTRIES INC OR 2.02,9.01 10/15/07
SCHWAB CHARLES CORP DE 2.02,9.01 10/15/07
SEANERGY MARITIME CORP. 8.01,9.01 10/12/07
SERVICE BANCORP INC MA 5.02 10/09/07
SHAW GROUP INC LA 5.02,9.01 10/10/07
SI Financial Group, Inc. X1 8.01,9.01 10/15/07
SIMPSON MANUFACTURING CO INC /CA/ DE 1.01,2.03,9.01 10/10/07
SKYLYNX COMMUNICATIONS INC DE 8.01 10/03/07 AMEND
SOCKET COMMUNICATIONS INC DE 8.01,9.01 10/12/07
SOFTECH INC MA 2.02,9.01 10/15/07
SOMERSET INTERNATIONAL GROUP,INC. DE 3.02 10/12/07
SONOSITE INC 8.01 10/15/07
Southland Health Services, Inc. 1.03 10/04/07
SOUTHSIDE BANCSHARES INC TX 8.01,9.01 10/10/07
Stargold Mines, Inc. 5.02 09/21/07
STARTEK INC DE 1.01,1.02 10/12/07
STEVEN MADDEN, LTD. DE 2.02,9.01 10/15/07
STRATUS SERVICES GROUP INC DE 9.01 08/01/07 AMEND
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 10/15/07
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 10/15/07
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 10/15/07
STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 10/15/07
STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 10/15/07
STUDENT LOAN CORP DE 2.02 10/11/07
Sucampo Pharmaceuticals, Inc. 7.01,9.01 10/15/07
SUFFOLK BANCORP NY 2.02 10/15/07
SUN BANCORP INC /NJ/ NJ 2.02,9.01 10/15/07
SURMODICS INC MN 9.01 07/31/07 AMEND
SVI Media, Inc. NV 5.02 10/09/07
SYBASE INC DE 7.01,9.01 10/12/07
SYMMETRICOM INC DE 5.02,9.01 10/12/07
Synova Healthcare Group Inc 5.02 09/28/07 AMEND
SYNTHESIS ENERGY SYSTEMS INC DE 7.01,8.01,9.01 10/09/07
TABATHA II INC CO 1.01,9.01 10/10/07
TBS INTERNATIONAL LTD 7.01,9.01 10/15/07
TEKTRONIX INC OR 1.01,3.03,5.02,9.01 10/15/07
THORNBURG MORTGAGE INC MD 2.02,9.01 10/09/07
TLC VISION CORP A6 8.01,9.01 10/15/07
TOUSA INC DE 9.01 07/31/07 AMEND
TOWER FINANCIAL CORP IN 8.01,9.01 10/12/07
TreeHouse Foods, Inc. DE 2.01,7.01,9.01 10/15/07
Trustcash Holdings, Inc. DE 8.01,9.01 10/05/07
Turnaround Partners, Inc. DE 1.01,9.01 10/09/07
UNION BANKSHARES INC VT 2.02,5.03,8.01,9.01 10/12/07
VIKING SYSTEMS INC DE 8.01 10/12/07
VILLAGEEDOCS INC CA 7.01,9.01 10/15/07
VISION SCIENCES INC /DE/ DE 8.01,9.01 10/15/07
VITESSE SEMICONDUCTOR CORP DE 1.01,9.01 10/10/07
VULCAN MATERIALS CO NJ 7.01,9.01 10/12/07
WACCAMAW BANKSHARES INC NC 2.02,9.01 10/15/07
WAKO LOGISTICS GROUP INC 9.01 07/31/07 AMEND
WALGREEN CO IL 5.03 10/09/07
WALKER FINANCIAL CORP DE 1.01,2.01,3.02,5.03,9.01 10/15/07
WALTER INDUSTRIES INC /NEW/ DE 1.01,9.01 10/09/07
WASHINGTON GROUP INTERNATIONAL INC DE 2.02 10/15/07
WEATHERFORD INTERNATIONAL LTD D0 8.01,9.01 10/09/07 AMEND
Wells Timberland REIT, Inc. MD 1.01,2.01,2.03,3.02,3.03 10/15/07
WENTWORTH II INC 1.01,2.01,3.02,5.01,5.02,5.03, 10/09/07
5.06,9.01
WESTAFF INC DE 1.01,5.02,9.01 10/15/07
WGNB CORP GA 5.02 10/09/07
WII Components, Inc. DE 4.01,9.01 10/09/07
WILLIAM LYON HOMES DE 2.02,9.01 10/05/07
WILLIAMS COMPANIES INC DE 3.03,9.01 10/12/07
Xcorporeal Operations, Inc. DE 2.01,5.03,7.01,9.01 10/12/07
Xcorporeal, Inc. DE 2.01,4.01,5.01,5.02,5.03,5.05, 10/12/07
5.06,7.01,9.01
YELLOWCAKE MINING INC. 7.01,9.01 10/11/07
ZONE 4 PLAY INC NV 5.02 10/15/07
http://www.sec.gov/news/digest/2007/dig101607.htm
|
