 |
|
SEC NEWS DIGEST
Issue 2007-221 November 16, 2007
COMMISSION ANNOUNCEMENTS
SEC VOTES TO ADOPT THREE RULES TO IMPROVE REGULATION OF SMALLER
BUSINESSES
On November 15, the Securities and Exchange Commission voted to adopt
three measures to modernize and improve its capital-raising, reporting
and disclosure requirements for smaller companies. These measures
address some of the key recommendations made by the SEC's Advisory
Committee on Smaller Public Companies in its final report.
The final rules:
* make scaled disclosure r egulations available to an additional
1,500 smaller companies;
* shorten the holding periods under Securities Act Rule 144
for restricted securities of public companies from one year to
six months to reduce the cost of capital and to increase access
to capital; and
* create two new exemptions for compensatory employee stock
options so that the Exchange Act registration requirements will
not be triggered solely by a company's compensation decisions.
"Smaller businesses are a critical part of our nation's economy," said
SEC Chairman Christopher Cox. "Although it may seem that large
multinational companies are creating most of the new jobs and
innovation, in fact, small business is leading the way in America's
economy. Today's rule amendments will enable smaller companies to
raise capital more effectively and ease some of the burdens of our
reporting and disclosure requirements, and they will ensure that
investors in these companies are paying for important investor
protections and not red tape."
John W. White, Director of the SEC's Division of Corporation Finance,
said, "In taking these steps to enhance capital-raising opportunities
for smaller public companies, and expanding the pool of smaller
companies that is eligible to comply with scaled disclosure
requirements, the Commission has again demonstrated its commitment to
the well-being of these companies. The revisions to Rule 144 should
make it more efficient for companies of all sizes to access the
private markets. In the coming months, we expect to recommend that the
Commission finalize additional rules that will further promote capital
formation by smaller companies."
Smaller Reporting Company Regulatory Relief and Simplification
The final rules:
* replace the current "small business issuer" category with
a new expanded category of "smaller reporting
companies" having less than $75 million in public equity
float or, if a company does not have a calculable
public equity float, having revenues of less than $50
million in the last fiscal year;
* expand eligibility for the Commission's scaled disclosure
and reporting requirements for smaller companies by
allowing the newly defined category of smaller reporting
companies to use the scaled disclosure requirements;
* move 12 non-financial scaled disclosure item requirements
from Regulation S-B into Regulation S-K (the scaled
disclosure requirements will only be available to
smaller reporting companies);
* move the scaled financial statement requirements in Item
310 of Regulation S-B into new Article 8 of Regulation S-X,
and amend these requirements to provide a scaled
disclosure option for smaller reporting companies, requiring
two years of balance sheet data instead of one year;
* permit smaller reporting companies to elect to comply with
scaled financial disclosure and non-financial disclosure on
an item-by-item or "a la carte" basis;
* eliminate our current "SB" forms, but allow a phase-out period
for current small business issuers transitioning to
smaller reporting company status; and
* permit all foreign companies to qualify as "smaller
reporting companies" if they choose to file on
domestic company forms and provide financial statements
prepared in accordance with U.S. Generally Accepted
Accounting Principles.
The effective date for these rules will be 30 days after their
publication in the Federal Register.
Revisions to Securities Act Rules 144 and 145
The amendments to Rule 144:
* shorten the holding period for restricted securities of
reporting companies to six months;
* substantially simplify Rule 144 compliance for non-
affiliates by allowing non-affiliates of reporting
companies to freely resell restricted securities after
satisfying a six-month holding period (subject only to the
Rule 144(c) public information requirement until the
securities have been held for one year) and by allowing non-
affiliates of non-reporting companies to freely resell
restricted securities after satisfying a 12-month holding
period;
* for affiliates' sales, revise the manner of sale requirements
for equity securities and eliminate them for debt securities
and relax the volume limitations for debt securities;
* for affiliates' sales, raise the thresholds that trigger Form
144 filing requirements from 500 shares or $10,000 to
5,000 shares or $50,000;
* simplify and streamline the Preliminary Note to and other
parts of Rule 144; and
* codify certain staff interpretations relating to Rule 144.
The amendments to Rule 145:
* eliminate the presumptive underwriter provision except with
respect to transactions involving blank check or shell
companies; and
* revise the resale provisions of Rule 145(d).
These amendments will be effective 60 days after their publication in
the Federal Register.
Exemption of Compensatory Employee Stock Options from Registration
under Section 12(g) of the Exchange Act
The two amendments to Exchange Act Rule 12h-1:
* provide an exemption for private non-reporting issuers from
Exchange Act Section 12(g) registration for compensatory
employee stock options issued under employee stock option
plans; and
* provide an exemption for issuers that are required to file
reports under the Exchange Act pursuant to Exchange Act
Section 13 or Section 15(d) from Section 12(g)
registration for compensatory employee stock options.
The exemptions will apply only to an issuer's compensatory employee
stock options and will not extend to the class of securities
underlying those options.
These amendments will be effective as soon as they are published in
the Federal Register. (Press Rel. 2007-233)
SEC VOTES TO PROPOSE IMPROVEMENT OF MUTUAL FUND DISCLOSURE
On November 15, the Commission voted to propose rule changes that are
intended to improve mutual fund disclosure. The proposed rules would
require that all mutual fund investors receive a clear, concise
summary of key information needed to make an informed investment
decision. The rule changes would also encourage funds to harness the
power of the Internet to allow investors to choose the format in which
they receive more detailed information and to provide that information
in a more user-friendly format than is available today. The proposed
rules are intended to enable investors to use and compare mutual fund
information more effectively.
"The concept behind the proposal is disclosure that is layered in a
manner that allows each mutual fund investor - and each intermediary,
analyst, and other user - to quickly find and use the information that
he or she needs and wants," said Andrew J. Donohue, Director of the
Commission's Division of Investment Management. "The core of the
proposal is a concise, plain English summary of key information about
a mutual fund's investment objectives and strategies, costs, and
risks, with more detailed information available both in paper and in a
user-friendly online format."
The proposed rules to be published for comment include the following.
* Summary Information at the Front of the Prospectus. The
proposal would amend Form N-1A, the form used by mutual funds
to register under the Investment Company Act of 1940 and to
offer securities under the Securities Act of 1933, by
requiring every mutual fund to include key information in
plain English in a standardized order at the front of the
mutual fund statutory prospectus. Like the risk/return
summary that is currently included at the front of
every mutual fund prospectus, this summary would include
a fund's investment objectives and strategies, risks, and
costs. It also would include brief information regarding
top ten portfolio holdings, investment advisers and
portfolio managers, purchase and sale procedures and
tax consequences, and financial intermediary compensation.
The proposed amendments would require that the summary
information be presented separately for each fund covered
by a multiple fund prospectus. This requirement is
intended to assist investors in finding important
information regarding the particular fund in
which they are interested.
* New Prospectus Delivery Option for Mutual Fund Securities.
The proposed rule would permit a person to satisfy
its mutual fund prospectus delivery obligations under
the securities laws by sending or giving key
information to investors in the form of a "summary
prospectus" and providing the summary prospectus,
statutory prospectus, shareholder reports, and other
information on an Internet Web site in a format that enhances
investors' ability to effectively use the more detailed
information in those documents. In addition, the
statutory prospectus and other information would be provided
in paper to any investor who prefers to review more
detailed information in that format. The summary prospectus
would contain the same information in the same order as
the required summary at the front of the statutory
prospectus.
The proposed rule would require that the Internet version of the
summary prospectus and statutory prospectus be presented in a user-
friendly format that permits investors, financial intermediaries,
analysts, and other users to move readily back and forth between
related information in the summary prospectus and the statutory
prospectus. This is intended to allow investors and others to
efficiently access the particular information in which they are
interested. The proposed rule would also require that persons
accessing the Internet information be able to permanently retain an
electronic version of the summary prospectus, statutory prospectus,
and other information. The proposal is intended to take advantage of
technological developments and the expanded use of the Internet in
order to provide investors with information that is easier to use and
more readily accessible, while retaining the comprehensive quality of
the information that is available to investors today.
Public comments on these proposed rule changes should be received by
the Commission 90 days after their publication in the Federal
Register. (Press Rel. 2007-234)
SEC TAKES ACTION TO IMPROVE CONSISTENCY OF DISCLOSURE TO U.S.
INVESTORS IN FOREIGN COMPANIES
On November 15, the Securities and Exchange Commission voted
unanimously to help American investors better analyze and get more
readily comparable financial information from the U.S.-registered
foreign companies in which they invest. The Commission's action
responds to the record number of U.S. investors who own the securities
of foreign companies, and the growing need for high-quality accounting
standards that transcend borders.
Having considered extensive and informative public comment on its June
2007 proposal, the Commission approved rule amendments under which
financial statements from foreign private issuers in the U.S. will be
accepted without reconciliation to U.S. Generally Accepted Accounting
Principles only if they are prepared using International Financial
Reporting Standards (IFRS) as issued by the International Accounting
Standards Board. The purpose of the requirement to use the IASB-
approved version is to encourage the development of IFRS as a uniform
global standard, not a divergent set of standards applied differently
in every nation. Consistency of application of IFRS will help U.S.
investors who own foreign securities to have better comparability.
The number of Americans who own foreign securities has risen
significantly in recent years. Today, two-thirds of American investors
own securities of foreign companies. That is a 30 percent increase in
the past five years. The vast majority of U.S. investors own
securities of companies that report their financial information using
IFRS. IFRS is mandatory in Europe and in several other countries, and
its use is mandated or permitted in over 100 nations around the world.
"Consistent application of international accounting standards will
help the two-thirds of U.S. investors who own foreign securities to
understand and draw better comparisons among investment options than
they could with a multiplicity of national accounting standards," said
SEC Chairman Christopher Cox.
Chairman Cox also announced that the SEC will convene two roundtables,
on December 13 and December 17, to collect more feedback from the
public on the issue of giving U.S. domestic issuers the same option
that foreign issuers have in our markets to use either IFRS or U.S.
GAAP.
In addition to improving the consistency and comparability of
financial reporting for U.S. investors who own foreign securities, the
Commission's rule amendments will also facilitate cross-border capital
formation and increase investment opportunities available to U.S.
investors.
The rule amendments will take effect 60 days after they are published
in the Federal Register and apply to financial statements covering
years ended after Nov. 15, 2007. (Press Rel. 2007-235)
SEC SEEKS PUBLIC VIEWS ON ENHANCED ACCESS TO COMPANY REPORTING ON
BUSINESS IN COUNTRIES ON STATE DEPARTMENT LIST
The Securities and Exchange Commission today asked for public comment
about whether to develop mechanisms to facilitate greater access to
companies’ disclosures concerning their business activities in or with
countries designated as State Sponsors of Terrorism by the U.S.
Secretary of State.
The Commission’s request comes in the form of a concept release that
asks whether improvements in public access to company disclosures can
be made.
“Investors have told us they want to avoid supporting terrorism
directly or indirectly through their investments,” said SEC Chairman
Christopher Cox. “Some of the information they need for this purpose
is already on file with the SEC. We’re interested in ways to help
investors find what they’re looking for.”
The five nations that have been designated by the U.S. Secretary of
State as state sponsors of terrorism are Cuba, Iran, North Korea,
Sudan and Syria.
Earlier this year, the Commission temporarily provided a Web tool that
linked to portions of companies’ most recent annual reports that
described their business activities in any of the five countries.
Because the linked reports were not always the company’s most recent
disclosure, and because of other concerns with the Web tool, it was
discontinued pending consideration of the issues set forth in the
concept release.
Company disclosures of their business activities in the five countries
remain available online through the SEC’s EDGAR database of company
disclosure.
The concept release can be found on the Commission’s Web site at
http://www.sec.gov/rules/concept/2007/33-8860.pdf. (Press Rel. 2007-
237)
ENFORCEMENT PROCEEDINGS
JURY RULES IN SEC’S FAVOR, FINDS FORMER CHAIRMAN/CEO OF CHANCELLOR
CORPORATION LIABLE FOR SECURITIES FRAUD
The Securities and Exchange Commission announced that a federal court
jury returned a verdict today in the SEC’s favor on all securities
fraud charges against Brian M. Adley, who is the former chairman,
chief executive officer and controlling shareholder of Chancellor
Corporation, a defunct Boston-based transportation equipment-leasing
company.
Adley was found liable for using fabricated documents and fraudulent
accounting from 1998 through 2000 to orchestrate a scheme that
inflated Chancellor’s reported assets, revenue and income, and paid
unwarranted fees to entities that he controlled. The verdict followed
a three-week trial in Boston before the Honorable Patti B. Saris, U.S.
District Court Judge for the District of Massachusetts.
“The positive jury verdict brings closure to this multi-faceted
financial fraud that reached the highest level of a public company,”
said David Bergers, Regional Director of the SEC’s Boston Regional
Office. “The SEC will continue to vigorously pursue corporate
officials who participate in the deception of investors and who
attempt to unfairly benefit themselves at the expense of corporate
shareholders.”
The Commission’s complaint alleged that Adley caused Chancellor to
file false financial statements in 1999 and 2000 by directing the
wholesale fabrication of corporate documents, instructing that the
fabricated documents be given to the company’s auditors, and
coordinating the filing of false financial statements with the SEC.
The jury found Adley liable for violating the antifraud and record-
keeping provisions of the federal securities laws, for making false
statements to its accountants, and for aiding and abetting
Chancellor’s reporting and recordkeeping provisions of the securities
laws. The district court will determine the appropriate sanctions and
remedies at a later date.
The Commission previously settled with 10 other defendants: Chancellor
Corporation; the former President and Chief Operating Officer; the
former acting Chief Financial Officer; the former treasurer; two
former Chancellor directors and audit committee members; Chancellor’s
outside auditing firm and three members of its audit team.
The case was tried by the SEC’s Boston Regional Office trial team of
R. Daniel O’Connor, Britt Collins, Stephanie DeSisto and Samantha
Harris. (Press Rel. 2007-236)
IN THE MATTER OF ALEXANDER RICCI AND ADAM KLEIN
On November 15, the Commission issued an Order Makings Findings and
Imposing Remedial Sanctions Pursuant to Section 15(b) of the
Securities Exchange Act of 1934 (Order) against Adam Klein (Klein).
The Order finds that from July 2000 to July 2001 Klein was a
registered representative associated with Bryn Mawr Investment Group,
Inc., a broker-dealer registered with the Commission, which later was
known as Valley Forge. On April 29, 2005, Klein pled guilty to one
count of conspiracy to commit securities fraud and wire fraud and one
count of wire fraud before the U.S. District Court for the District of
New Jersey (U.S. v. Klein, 05 Cr. 322, D.N.J.). On Sept. 5, 2007, a
judgment in the criminal case was entered against Klein. He was
sentenced to 48 months of probation, 120 hours of community service
and ordered to make restitution in the amount of $930,864.08. The
Order further finds that the count of the criminal information to
which Klein pled guilty alleged, inter alia, that Klein, participated
in a scheme while employed at Valley Forge to manipulate the price of
Select Media Communications, Inc. stock and that he received
undisclosed excessive commissions from the sales of stocks while
employed at Valley Forge.
Based on the above, the Order bars Klein from association with any
broker or dealer. Klein consented to the issuance of the Order,
without admitting or denying the Commission's findings, except as to
the Commission's jurisdiction over him, the subject matter of the
proceedings, and his criminal conviction. (Rel. 34-56793; File No. 3-
12807)
IN THE MATTER OF ALEXANDER RICCI
On November 15, the Commission issued an Order Makings Findings and
Imposing Remedial Sanctions Pursuant to Section 15(b) of the
Securities Exchange Act of 1934 (Order) as to Alexander Ricci (Ricci).
The Order finds that from August 1999 to August 2000, Ricci was a co-
manager and registered representative of Bryn Mawr Investment Group,
Inc., a broker-dealer registered with the Commission, which later was
known as Valley Forge Securities, Inc. (Valley Forge). On May 26,
2005, Ricci pled guilty to one count of conspiracy to commit
securities fraud before the U.S. District Court for the District of
New Jersey, U.S. v. Alexander Ricci, 05 Cr. 422 (D.N.J.). On Sept. 5,
2007, a judgment in the criminal case was entered against Ricci. He
was sentenced to 6 months of home confinement and 48 months of
probation and ordered to make restitution in the amount of
$499,158.57. The Order further finds that the criminal information to
which Ricci pled guilty alleged, among other things, that Ricci, while
employed at Valley Forge Securities, Inc. (Valley Forge), a broker-
dealer registered with the Commission, participated in a scheme to
manipulate the stock price of Eagletech Communications, Inc. and
Select Media Communications, Inc. and received cash commissions, which
were not disclosed to customers. The information also alleged that
Ricci used deceptive sales practices to mislead customers into buying
certain stocks and that he offered and paid certain registered
representatives and unregistered individuals undisclosed, excessive
cash commissions for selling stocks to customers.
Based on the above, the Order bars Ricci from association with any
broker or dealer. Ricci consented to the issuance of the Order,
without admitting or denying the Commission's findings, except as to
the Commission's jurisdiction over them, the subject matter of the
proceedings, and his criminal conviction. (Rel. 34-56794; File No. 3-
12807)
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-3 VERENIUM CORP, 55 CAMBRIDGE PARKWAY, CAMBRIDGE, MA, 02142,
617 674 5300 - 0 ($163,380,000.00) Equity, (File 333-147403 - Nov. 15)
(BR. 01A)
S-8 EnergySolutions, Inc., 423 WEST 300 SOUTH, SUITE 200, SALT LAKE CITY,
UT, 84101, 801-649-2000 - 0 ($240,120,000.00) Equity,
(File 333-147404 - Nov. 15) (BR. 06B)
F-6 WSP Holdings LTD, NO. 38 ZHUJIANG ROAD, XINQU, WUXI, JIANGSU PROVINCE,
F4, 214028, 86-510-8522-6351 - 100,000,000 ($5,000,000.00) ADRs/ADSs,
(File 333-147405 - Nov. 15) (BR. 04)
S-8 LANTRONIX INC, 15353 BARRANCA PARKWAY, IRVINE, CA, 92618, 9494533990 -
2,150,000 ($2,150,000.00) Equity, (File 333-147406 - Nov. 15) (BR. 03B)
S-3ASR BOSTON PRIVATE FINANCIAL HOLDINGS INC, 10 POST OFFICE SQ, BOSTON, MA,
02109, 6175561900 -
287,500,000 ($287,500,000.00) Debt Convertible into Equity,
(File 333-147407 - Nov. 15) (BR. 07B)
S-8 FIRST HORIZON NATIONAL CORP, 165 MADISON AVENUE, MEMPHIS, TN, 38103,
9018186232 - 5,000,000 ($110,625,000.00) Equity, (File 333-147409 -
Nov. 15) (BR. 07A)
S-8 LANNETT CO INC, 9000 STATE RD, PHILADELPHIA, PA, 19136, 2153339000 -
0 ($10,475,000.00) Equity, (File 333-147410 - Nov. 15) (BR. 01B)
S-3ASR AMB PROPERTY CORP, PIER 1 BAY 1, SAN FRANCISCO, CA, 94111, 4153949000 -
0 ($68,585,142.75) Equity, (File 333-147412 - Nov. 15) (BR. 08A)
S-8 FREEPORT MCMORAN COPPER & GOLD INC, ONE NORTH CENTRAL AVENUE, PHOENIX,
AZ, 85004-4414, 6023668100 - 25,000,000 ($2,517,750,000.00) Equity,
(File 333-147413 - Nov. 15) (BR. 04A)
S-11 Apple REIT Nine, Inc., 814 EAST MAIN STREET, RICHMOND, VA, 23219,
804.334.8121 - 0 ($2,000,000,000.00) Equity, (File 333-147414 -
Nov. 15) (BR. 08)
F-6 CGEN DIGITAL MEDIA CO LTD, SUITE 3213-3214, TOWER B,
SHANGHAI CITY CENTER, NO. 100 ZUNYI ROAD, SHANGHAI, F4, 200051,
(86-21) 6237 2250 - 0 ($5,000,000.00) Other, (File 333-147416 -
Nov. 15) (BR. )
S-8 WINN DIXIE STORES INC, 5050 EDGEWOOD CT, JACKSONVILLE, FL, 32224,
9047835000 - 2,188,000 ($42,129,940.00) Equity, (File 333-147417 -
Nov. 15) (BR. 02C)
S-8 BEA SYSTEMS INC, 2315 NORTH FIRST STREET, -, SAN JOSE, CA, 95131,
4085708000 - 56,949,287 ($930,772,585.41) Equity, (File 333-147418 -
Nov. 15) (BR. 03A)
S-8 CITRIX SYSTEMS INC, 851 WEST CYPRESS CREEK ROAD, FORT LAUDERDALE, FL,
33309, 9542673000 - 3,549,010 ($137,595,117.70) Equity,
(File 333-147419 - Nov. 15) (BR. 03A)
S-8 Sucampo Pharmaceuticals, Inc., 4520 EAST-WEST HIGHWAY, SUITE 300,
BETHESDA, MD, 20814, 3019613400 - 0 ($168,533,461.00) Equity,
(File 333-147420 - Nov. 15) (BR. 01B)
S-8 CITRIX SYSTEMS INC, 851 WEST CYPRESS CREEK ROAD, FORT LAUDERDALE, FL,
33309, 9542673000 - 5,400,000 ($209,358,000.00) Equity,
(File 333-147421 - Nov. 15) (BR. 03A)
S-8 GENERAL MOTORS CORP, 300 RENAISSANCE CTR, MAIL CODE: 482-C34-D71,
DETROIT, MI, 48265-3000, 3135565000 -
16,000,000 ($500,960,000.00) Equity, (File 333-147422 - Nov. 15)
(BR. 05A)
S-8 ADEPT TECHNOLOGY INC, 3011 TRIAD DRIVE, LIVERMORE, CA, 94551,
9252453400 - 200,000 ($1,287,000.00) Equity, (File 333-147423 -
Nov. 15) (BR. 10A)
S-1 Syngence Corp, 5151 Beltline, Dallas, tx, 75254, 214-269-2901 -
0 ($37,740,000.00) Equity, (File 333-147424 - Nov. 15) (BR. )
S-3 Neonode, Inc, 4550 NORRIS CANYON ROAD, SAN RAMON, CA, 94583,
5103552000 - 4,673,137 ($17,080,315.75) Equity, (File 333-147425 -
Nov. 15) (BR. 03A)
S-3ASR ADVANCED MICRO DEVICES INC, ONE AMD PL, MS 68, SUNNYVALE, CA,
94088-3453, 4087322400 - 0 ($700,000,000.00) Equity, (File 333-147426 -
Nov. 15) (BR. 10A)
SB-2 Willow Creek Enterprises Inc., 6 CARMEL COURT, SHERWOOD PARK T8A 5A4,
A0, T8A 5A4, 780.416.7777 - 2,866,666 ($171,999.96) Equity,
(File 333-147427 - Nov. 15) (BR. )
F-6 L AIR LIQUIDE SA /FI, 75 QUAI D ORSAY, 75321 PARIS CEDEX 07, FRANCE,
I0, 00000, 50,000,000 ($2,500,000.00) ADRs/ADSs, (File 333-147428 -
Nov. 15) (BR. )
S-8 Rotoblock CORP, SUITE 205, 1715 COOK STREET, VANCOUVER, A1, V5Y 3J6,
604 872 1234 - 5,000,000 ($450,000.00) Equity, (File 333-147429 -
Nov. 15) (BR. 10C)
S-8 TRIMERIS INC, 3500 PARAMOUNT PARKWAY, MORRISVILLE, NC, 27560,
(919) 419-6050 - 1,000,000 ($6,640,000.00) Equity, (File 333-147430 -
Nov. 15) (BR. 01C)
S-8 TRIMERIS INC, 3500 PARAMOUNT PARKWAY, MORRISVILLE, NC, 27560,
(919) 419-6050 - 250,000 ($1,660,000.00) Equity, (File 333-147431 -
Nov. 15) (BR. 01C)
S-8 RF MICRO DEVICES INC, 7628 THORNDIKE ROAD, GREENSBORO, NC, 27409-9421,
3369317042 - 0 ($26,158,066.00) Equity, (File 333-147432 - Nov. 15)
(BR. 10C)
S-3ASR International Coal Group, Inc., 300 CORPORATE CENTRE DRIVE,
SCOTT DEPOT, WV, 25560, 304-760-2400 -
0 ($1.00) Debt Convertible into Equity, (File 333-147433 - Nov. 15)
(BR. 04B)
S-8 KLA TENCOR CORP, 160 RIO ROBLES, SAN JOSE, CA, 95134, 4084344200 -
0 ($472,362,000.00) Equity, (File 333-147434 - Nov. 15) (BR. 10B)
S-8 Elixir Gaming Technologies, Inc., 1120 N. TOWN CENTER DRIVE, SUITE 260,
LAS VEGAS, NV, 89144, 7027337195 - 0 ($61,750,000.00) Equity,
(File 333-147435 - Nov. 15) (BR. 06C)
S-1 COMMUNICATION INTELLIGENCE CORP, 275 SHORELINE DR, STE 500,
REDWOOD SHORES, CA, 94065, 6508027888 - 0 ($11,727,787.20) Equity,
(File 333-147436 - Nov. 15) (BR. 03C)
S-8 KLA TENCOR CORP, 160 RIO ROBLES, SAN JOSE, CA, 95134, 4084344200 -
0 ($75,000,000.00) Other, (File 333-147437 - Nov. 15) (BR. 10B)
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
-------------------------------------------------------------------------------------------------------
180 Connect Inc. DE 5.02 11/12/07
1st Pacific Bancorp CA 5.02,9.01 11/08/07
AARON RENTS INC GA 5.03,9.01 11/13/07
ABIGAIL ADAMS NATIONAL BANCORP INC DE 2.02,9.01 11/15/07
ABM INDUSTRIES INC /DE/ DE 1.01,1.02,2.01,2.03,9.01 11/14/07
ABX AIR INC 1.01,2.02,2.03,9.01 10/26/07
ACTION PRODUCTS INTERNATIONAL INC FL 1.01,9.01 11/15/07
ACTIVANT SOLUTIONS INC /DE/ DE 1.01,5.02 11/02/07 AMEND
ADC TELECOMMUNICATIONS INC MN 8.01 11/15/07
Advanced Life Sciences Holdings, Inc. 8.01,9.01 11/15/07
ADVANCED PHOTONIX INC DE 2.02,9.01 11/12/07
ADVENT SOFTWARE INC /DE/ DE 8.01 11/08/07
AEROPOSTALE INC 1.01,1.02,2.03,7.01,9.01 11/13/07
AFC ENTERPRISES INC MN 2.02,9.01 11/14/07
AFFIRMATIVE INSURANCE HOLDINGS INC DE 5.02 11/08/07
AGILENT TECHNOLOGIES INC DE 2.02,5.02,8.01,9.01 11/15/07
ALDILA INC DE 7.01,9.01 11/13/07
Aleris International, Inc. DE 2.02,9.01 11/09/07 AMEND
ALICO INC FL 2.02,9.01 11/14/07
ALION SCIENCE & TECHNOLOGY CORP DE 5.05,9.01 11/13/07
Alliance Holdings GP, L.P. DE 7.01,9.01 11/12/07
ALLIANCE LAUNDRY HOLDINGS LLC 2.02,9.01 11/15/07
ALLIANCE RESOURCE PARTNERS LP DE 7.01,9.01 11/12/07
Allied Nevada Gold Corp DE 7.01,9.01 11/13/07
ALMOST FAMILY INC DE 5.03,9.01 11/12/07
AMB PROPERTY CORP MD 8.01,9.01 11/14/07
AMB PROPERTY LP DE 8.01,9.01 11/14/07
AMBASSADORS INTERNATIONAL INC DE 5.02,9.01 11/12/07
AMEREN CORP MO 5.04 11/15/07
AMERICAN AXLE & MANUFACTURING HOLDING DE 5.02,5.05 10/25/07
AMERICAN EQUITY INVESTMENT LIFE HOLDI IA 7.01 11/15/07
AMERICAN FINANCIAL GROUP INC OH 8.01,9.01 11/14/07
AMERICAN HOMEPATIENT INC DE 2.02,9.01 11/14/07
AMERICAN INTERNATIONAL GROUP INC DE 8.01,9.01 11/09/07
American Lorain CORP DE 2.02,9.01 11/15/07
AMERICAN OIL & GAS INC NV 7.01,9.01 11/15/07
AMERICAN PACIFIC CORP DE 5.02,5.03,9.01 11/13/07
AMERITYRE CORP NV 8.01 11/15/07
AMG OIL LTD NV 4.01,9.01 11/13/07 AMEND
AMYLIN PHARMACEUTICALS INC DE 8.01,9.01 11/15/07
AP PHARMA INC /DE/ DE 9.01 11/14/07 AMEND
APOLLO GOLD CORP 2.02,9.01 11/14/07
APOLLO RESOURCES INTERNATIONAL INC UT 8.01 11/14/07
ARBITRON INC DE 7.01,9.01 11/15/07
ARGENTEX MINING CORP NV 3.02,3.03,5.03,9.01 11/05/07
ARRIS GROUP INC DE 8.01,9.01 11/14/07
Ashton Woods USA L.L.C. NV 5.02 11/12/07
ASIAN FINANCIAL INC WY 2.02,9.01 11/15/07
ASIANADA, INC. NV 1.01,2.03,9.01 11/15/07
ASPYRA INC CA 5.02,9.01 11/15/07
ASTEA INTERNATIONAL INC DE 2.02,9.01 11/15/07
ATHEROGENICS INC GA 8.01 11/14/07
ATWOOD OCEANICS INC TX 7.01 11/15/07
AUTHENTIDATE HOLDING CORP DE 5.02,5.03,9.01 11/08/07
AUTOBYTEL INC DE 5.02,9.01 11/10/07
AUTODESK INC DE 2.02,9.01 11/15/07
AVANEX CORP DE 5.02,5.03,9.01 11/08/07
AVATECH SOLUTIONS INC DE 2.02,9.01 11/14/07
AVAX TECHNOLOGIES INC DE 8.01,9.01 11/13/07
Avicena Group, Inc. DE 1.01,9.01 11/09/07
Basin Water, Inc. DE 2.02,9.01 11/14/07
Basin Water, Inc. DE 1.01,9.01 11/12/07
BEA SYSTEMS INC DE 2.02,9.01 11/15/07
BEACON POWER CORP DE 2.02,9.01 11/09/07
BEAR STEARNS COMPANIES INC DE 8.01,9.01 11/14/07
BELL MICROPRODUCTS INC CA 3.01,5.02,5.03,9.01 11/09/07
BERLINER COMMUNICATIONS INC DE 5.02,9.01 11/15/07
BI-OPTIC VENTURES INC 7.01,9.01 11/14/07
BigString CORP DE 1.01,2.02,2.04,9.01 09/13/07
BIOTIME INC CA 2.02,9.01 11/15/07
BLACK BOX CORP DE 8.01 11/12/07
BLUE DOLPHIN ENERGY CO DE 2.02,9.01 11/14/07
BLUE HOLDINGS, INC. NV 1.01,3.01,3.02,9.01 11/12/07
BRAINTECH INC NV 5.02,9.01 11/13/07
Bridge Capital Holdings CA 5.02,9.01 11/15/07
BROADCAST INTERNATIONAL INC UT 5.02 11/09/07
BROADCOM CORP CA 8.01,9.01 11/14/07
Bronco Drilling Company, Inc. DE 1.01 11/15/07
BUILDING MATERIALS CORP OF AMERICA DE 2.02,9.01 11/14/07
CAB-TIVE ADVERTISING, INC. NV 5.02,8.01,9.01 11/13/07
CALIFORNIA COASTAL COMMUNITIES INC DE 5.02 11/12/07
CAPITAL ALLIANCE INCOME TRUST REAL ES DE 2.02,9.01 11/14/07
CAPITAL GOLD CORP NV 5.02 11/13/07
CASEYS GENERAL STORES INC IA 7.01 11/15/07
CHANNELL COMMERCIAL CORP DE 2.02 11/14/07
CHART INDUSTRIES INC DE 7.01,9.01 11/13/07
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 11/15/07
CHASE CREDIT CARD MASTER TRUST NY 8.01,9.01 11/15/07
CHENIERE ENERGY INC DE 7.01,9.01 11/14/07
Cheniere Energy Partners, L.P. DE 7.01,9.01 11/14/07
CHINA AGRITECH INC 2.02,9.01 11/14/07
China Architectural Engineering, Inc. DE 2.02,7.01,9.01 11/14/07
China Biologic Products, Inc. F4 2.02,9.01 11/15/07
CHINA IVY SCHOOL, INC. NV 2.02,7.01,9.01 11/14/07
CHINA ORGANIC AGRICULTURE, INC. 7.01,9.01 11/14/07
China Public Security Technology, Inc 2.02,9.01 11/14/07
China Shenghuo Pharmaceutical Holding 2.02,7.01,9.01 11/14/07
China Shuangji Cement Ltd. CA 4.02,5.02 11/13/07
CHORDIANT SOFTWARE INC DE 2.02,9.01 11/15/07
CINCINNATI BELL INC OH 5.02,9.01 11/09/07
Cinemark Holdings, Inc. DE 1.01,2.02,7.01,9.01 11/12/07
CITIBANK OMNI-S MASTER TRUST 8.01 11/13/07
CITIBANK SOUTH DAKOTA N A DE 8.01 10/16/07
CITY CAPITAL CORP NV 1.01,3.02,8.01 11/07/07
CKE RESTAURANTS INC DE 2.02,9.01 11/14/07
CLAIBORNE LIZ INC DE 8.01,9.01 11/12/07
CLAYTON WILLIAMS ENERGY INC /DE DE 7.01,9.01 11/14/07
Clean Energy Fuels Corp. DE 2.02,9.01 11/12/07
CLEARANT INC 2.02,9.01 11/15/07
CNB FINANCIAL CORP/PA PA 8.01 11/14/07
COATES INTERNATIONAL LTD \DE\ DE 8.01,9.01 11/13/07
COCA COLA CO DE 8.01,9.01 11/15/07
CODORUS VALLEY BANCORP INC PA 5.03,9.01 11/13/07
COINMACH SERVICE CORP DE 8.01,9.01 11/15/07
COLONIAL COMMERCIAL CORP NY 2.02,9.01 11/14/07
COLORADO GOLDFIELDS INC. NV 1.01,3.02,9.01 11/14/07
COMMERCE BANCSHARES INC /MO/ MO 8.01 11/13/07
COMPELLENT TECHNOLOGIES INC DE 2.02,9.01 11/15/07
CONEXANT SYSTEMS INC DE 5.02,9.01 11/14/07
CONSUMER PORTFOLIO SERVICES INC CA 1.01 11/08/07
CONTINENTAL MATERIALS CORP DE 8.01,9.01 11/14/07
Convergence Ethanol, Inc. 1.03,2.04 11/06/07
COOPER COMPANIES INC DE 7.01,9.01 11/14/07 AMEND
Cooper-Standard Holdings Inc. DE 2.02,9.01 11/14/07
CORTEX PHARMACEUTICALS INC/DE/ DE 5.03,9.01 11/14/07
COSTCO WHOLESALE CORP /NEW WA 1.01,8.01,9.01 11/13/07
CRDENTIA CORP DE 1.01,2.01 11/14/07
CRDENTIA CORP DE 1.01,3.02,9.01 11/13/07
Crystal River Capital, Inc. MD 7.01,9.01 11/15/07
CSS INDUSTRIES INC DE 8.01,9.01 11/12/07
CUBIC CORP /DE/ DE 5.02 11/14/07
CURAGEN CORP DE 8.01 11/15/07
CYTORI THERAPEUTICS, INC. DE 5.02 11/09/07
DANAHER CORP /DE/ DE 1.01,2.03,9.01 11/13/07
DATARAM CORP NJ 2.02,8.01,9.01 11/15/07
DELPHI CORP DE 8.01,9.01 11/14/07
DELTA FINANCIAL CORP DE 2.02,9.01 09/30/07
DELTA OIL & GAS INC 4.01,5.02,9.01 10/15/07 AMEND
DERMA SCIENCES, INC. PA 3.02,9.01 11/08/07
DERMA SCIENCES, INC. PA 1.02,2.03,9.01 11/08/07
DERMA SCIENCES, INC. PA 2.01,9.01 11/09/07
DigitalFX International Inc FL 2.02,9.01 11/09/07
DIRECTV GROUP INC DE 3.01,9.01 11/14/07
DITECH NETWORKS INC DE 2.02,9.01 11/15/07
DOCUMENT SECURITY SYSTEMS INC NY 2.02,9.01 11/14/07
DOW CHEMICAL CO /DE/ DE 5.02 11/10/07
DOWNEY FINANCIAL CORP DE 7.01,9.01 10/31/07
DUKE REALTY CORP IN 1.01,2.03,9.01 11/13/07
DUKE REALTY LIMITED PARTNERSHIP/ IN 1.01,2.03,9.01 11/13/07
EAGLE BROADBAND INC TX 1.03 11/14/07
Eagle Bulk Shipping Inc. 5.02,9.01 11/09/07
EARTH BIOFUELS INC DE 8.01 11/15/07
EBIX INC DE 5.02 11/11/07
EDGE PETROLEUM CORP DE 5.04,9.01 11/13/07
ELDORADO ARTESIAN SPRINGS INC CO 2.02,9.01 11/15/07
ELECTRONIC SYSTEMS TECHNOLOGY INC WA 8.01,9.01 11/13/07
ELECTRONICS FOR IMAGING INC DE 5.03,8.01,9.01 11/09/07
EMAGEON INC 5.03,9.01 11/13/07
EMAGIN CORP DE 2.02,9.01 11/14/07
EMAK Worldwide, Inc. DE 1.01,2.03,9.01 11/15/07
EMERITUS CORP\WA\ WA 5.03,9.01 11/13/07
EMERSON RADIO CORP DE 2.02,9.01 11/15/07
ENERGY XXI (BERMUDA) LTD D0 5.03,9.01 11/13/07
ENHERENT CORP DE 1.02,5.02 11/15/07
ENSCO INTERNATIONAL INC DE 2.02,9.01 11/15/07
EPIX Pharmaceuticals, Inc. 1.01,3.02,7.01,9.01 11/09/07
EQUUS TOTAL RETURN, INC. DE 2.02,8.01,9.01 11/14/07
EROOMSYSTEM TECHNOLOGIES INC NV 2.02,9.01 11/15/07
ESCO TECHNOLOGIES INC MO 5.02 11/09/07
EXPRESSJET HOLDINGS INC DE 8.01,9.01 10/31/07
FAIRCHILD SEMICONDUCTOR INTERNATIONAL DE 7.01 11/14/07
FARMER BROTHERS CO CA 2.02,9.01 11/09/07
FCStone Group, Inc. DE 2.02,9.01 11/15/07
FCStone Group, Inc. DE 5.02,9.01 11/15/07
Federal Home Loan Bank of Atlanta X1 2.03 11/09/07
Federal Home Loan Bank of Boston X1 8.01,9.01 11/08/07
Federal Home Loan Bank of Boston X1 5.02,9.01 11/15/07
Federal Home Loan Bank of Boston X1 7.01,9.01 11/15/07
Federal Home Loan Bank of Boston X1 2.03 11/09/07
Federal Home Loan Bank of Chicago X1 2.03 11/13/07
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 11/09/07
Federal Home Loan Bank of Des Moines X1 2.03,9.01 11/13/07
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 11/13/07
Federal Home Loan Bank of New York X1 2.03,9.01 11/13/07
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 11/09/07
Federal Home Loan Bank of San Francis X1 2.03 11/09/07
Federal Home Loan Bank of Seattle 2.03 11/14/07
Federal Home Loan Bank of Topeka 2.02,7.01,9.01 11/15/07
Federal Home Loan Bank of Topeka 2.03 11/13/07
Fidelity National Financial, Inc. 2.01,9.01 11/09/07
FIELDPOINT PETROLEUM CORP CO 7.01 11/13/07 AMEND
FINISH LINE INC /IN/ IN 8.01 11/15/07
FIRST CORP /CN/ CO 8.01,9.01 11/14/07
First Guaranty Bancshares, Inc. LA 7.01 11/09/07
FIRST KEYSTONE CORP PA 5.02 11/15/07
FIRST OTTAWA BANCSHARES INC DE 8.01,9.01 11/14/07
Fittipaldi Logistics, Inc. NV 1.01,7.01,9.01 11/08/07
FLIGHT SAFETY TECHNOLOGIES INC NV 8.01,9.01 11/15/07
FLOWSERVE CORP NY 8.01 11/13/07
FORD MOTOR CO DE 1.01,8.01,9.01 11/15/07
FORD MOTOR CREDIT CO LLC DE 8.01,9.01 11/15/07
Fortress International Group, Inc. DE 7.01,9.01 11/15/07
Fortress Investment Group LLC DE 2.02,9.01 11/13/07
FRANKLIN CREDIT MANAGEMENT CORP/DE/ DE 1.01,2.06,8.01,9.01 11/15/07
FREMONT GENERAL CORP NV 1.01,5.02,9.01 11/08/07
Fuel Systems Solutions, Inc. DE 2.02 11/14/07
FUQI INTERNATIONAL, INC. DE 2.02,7.01,9.01 11/14/07
FUSION TELECOMMUNICATIONS INTERNATION 2.02,9.01 11/15/07
g8wave Holdings, Inc. 2.02,7.01,9.01 11/14/07
GAINSCO INC TX 2.02,9.01 11/13/07
GALAXY ENERGY CORP CO 2.03,9.01 11/09/07
GAMMACAN INTERNATIONAL INC DE 5.02 11/15/07
GASTAR EXPLORATION LTD 7.01,8.01,9.01 11/15/07
GENCO SHIPPING & TRADING LTD 2.01,9.01 11/15/07
GENELINK INC 3.02 11/09/07
GENERAL CABLE CORP /DE/ DE 5.02,9.01 11/12/07
GENERAL ELECTRIC CAPITAL CORP CT 8.01,9.01 11/06/07
GENERAL STEEL HOLDINGS INC NV 2.02,9.01 11/15/07
GENTA INC DE/ DE 8.01,9.01 11/15/07
GEO GROUP INC FL 2.02,9.01 11/09/07
GeoPharma, Inc. FL 2.02,8.01,9.01 11/12/07
GEOVIC MINING CORP. DE 7.01,9.01 11/15/07
GEVITY HR INC FL 5.02 11/09/07
GIGA TRONICS INC CA 8.01,9.01 11/13/07
GLOBAL PARTNERS LP 2.01,7.01,9.01 11/14/07
GOAMERICA INC DE 2.02,9.01 11/15/07
GOLDLEAF FINANCIAL SOLUTIONS INC. TN 2.02,9.01 11/15/07
GOUVERNEUR BANCORP INC DE 2.02,9.01 11/15/07
GREATER COMMUNITY BANCORP NJ 1.01,5.02,9.01 11/13/07
GREEN MOUNTAIN COFFEE ROASTERS INC DE 2.02,9.01 11/15/07
GRYPHON GOLD CORP NV 7.01,9.01 11/14/07
GSC INVESTMENT CORP. MD 8.01,9.01 11/15/07
HALIFAX CORP OF VIRGINIA VA 2.02,9.01 11/15/07
Hana Biosciences Inc DE 1.02 11/08/07
HANCOCK FABRICS INC DE 5.02,9.01 11/15/07
HARLAND CLARKE HOLDINGS CORP DE 2.02,9.01 11/15/07
HARRINGTON WEST FINANCIAL GROUP INC/C 5.02,9.01 11/15/07
HAWKINS INC MN 5.02,9.01 11/09/07
HAYES LEMMERZ INTERNATIONAL INC DE 1.01,2.01,9.01 11/09/07
Health Fitness Corp /MN/ MN 2.02,4.02,9.01 11/12/07
HEALTHWAYS, INC DE 5.03,9.01 11/08/07
HELMERICH & PAYNE INC DE 2.02,9.01 11/15/07
HEMISPHERX BIOPHARMA INC DE 5.03 11/15/07
Henry Bros. Electronics, Inc. DE 2.02,5.02,5.03,9.01 11/08/07
HERTZ CORP DE 2.02,9.01 11/13/07
HERTZ GLOBAL HOLDINGS INC 2.02,9.01 11/13/07
HOME DEPOT INC DE 5.02,9.01 11/08/07
HOME PROPERTIES INC MD 7.01,9.01 11/08/07 AMEND
Horne International, Inc. DE 2.02,9.01 11/14/07
House of Taylor Jewelry, Inc. NV 9.01 11/15/07
HSBC Finance Corp 8.01,9.01 11/15/07
HUDSON CITY BANCORP INC DE 7.01,9.01 11/14/07
HUNGARIAN TELEPHONE & CABLE CORP DE 2.02,7.01,9.01 11/15/07
HUTTON HOLDINGS CORP NV 5.03 11/15/07
I2 TELECOM INTERNATIONAL INC WA 5.02,9.01 11/15/07
IBT BANCORP INC /MI/ MI 2.02,9.01 11/11/07
ICF International, Inc. DE 1.01,9.01 11/15/07
IGATE CORP PA 8.01,9.01 11/15/07
IMAGENETIX INC /NV/ NV 2.01,9.01 11/14/07
IMAGING DIAGNOSTIC SYSTEMS INC /FL/ FL 5.05,9.01 11/15/07 AMEND
INFORMATICA CORP DE 5.02 11/13/07
INFORMATION ANALYSIS INC VA 2.02,9.01 11/13/02
INFORMEDIX HOLDINGS INC NV 4.01 10/26/07 AMEND
INFOTECH USA INC DE 1.01,8.01,9.01 11/15/07
INGRAM MICRO INC DE 5.02,9.01 11/13/07
INTEL CORP DE 7.01 11/14/07
INTERNATIONAL BUSINESS MACHINES CORP NY 7.01 11/15/07
INTERNATIONAL ISOTOPES INC TX 5.02,7.01,9.01 11/12/07
INTERPHARM HOLDINGS INC DE 1.01 11/07/07
INTERPHARM HOLDINGS INC DE 3.01,8.01 11/15/07
INTERWOVEN INC CA 3.01 11/09/07
INTUIT INC DE 2.02,9.01 11/15/07
IXI Mobile, Inc. DE 1.01,3.02,9.01 11/11/07
J C PENNEY CO INC DE 2.02,9.01 11/15/07
J P MORGAN CHASE & CO DE 9.01 11/14/07
JACLYN INC DE 2.02,9.01 11/14/07
Ketner Global Investments Inc NV 4.01,4.02,9.01 11/12/07 AMEND
KEY ENERGY SERVICES INC MD 1.01,2.03,8.01,9.01 11/12/07
KEY TECHNOLOGY INC OR 2.02,9.01 11/15/07
KeyOn Communications Holdings Inc. DE 2.02,9.01 11/14/07
KITTY HAWK INC DE 8.01 11/15/07
KOHLS CORPORATION WI 2.02,7.01,9.01 11/15/07
KOPIN CORP DE 3.01,9.01 11/12/07
KRAFT FOODS INC VA 8.01,9.01 11/15/07
Kraton Polymers LLC DE 7.01,9.01 11/15/07
KULICKE & SOFFA INDUSTRIES INC PA 2.02,9.01 11/15/07
LAZARE KAPLAN INTERNATIONAL INC DE 5.03,9.01 11/12/07
LEGACY RESERVES LP DE 7.01,9.01 11/15/07
LEHMAN BROTHERS HOLDINGS INC DE 5.02,5.03,9.01 11/08/07
LEVITT CORP FL 2.02,9.01 11/09/07
LIMCO-PIEDMONT INC DE 8.01,9.01 11/15/07
LIME ENERGY CO. DE 8.01,9.01 11/15/07
LITHIA MOTORS INC OR 5.03,9.01 11/15/07
LSI CORP DE 5.03,9.01 11/09/07
M&T BANK CORP NY 2.02,9.01 11/15/07
MACE SECURITY INTERNATIONAL INC DE 2.02,9.01 11/14/07
MACE SECURITY INTERNATIONAL INC DE 1.01,9.01 11/08/07
MARTIN MIDSTREAM PARTNERS LP DE 3.02 11/14/07
MATTHEWS INTERNATIONAL CORP PA 5.02,9.01 11/13/07
Mayflower Bancorp Inc MA 5.03,9.01 11/08/07
MCMORAN EXPLORATION CO /DE/ DE 1.01,8.01,9.01 11/08/07
MED-EMERG INTERNATIONAL INC 2.02,9.01 11/14/07
MEDALLION FINANCIAL CORP DE 8.01,9.01 11/13/07
MEDCATH CORP DE 7.01,9.01 11/15/07
MEDCATH CORP DE 8.01,9.01 11/14/07
MEDIALINK WORLDWIDE INC DE 2.02,9.01 11/14/07
MEGA MEDIA GROUP INC NV 1.01 11/09/07
Merrill Lynch Alternative Note Asset DE 8.01,9.01 10/31/07
METLIFE INC DE 8.01,9.01 11/15/07
MICROSEMI CORP DE 2.02 11/15/07
MIDWEST AIR GROUP INC WI 8.01,9.01 11/12/07
MINISTRY PARTNERS INVESTMENT CORP CA 5.02 11/15/07
MISONIX INC NY 2.02,9.01 11/14/07
MobiVentures Inc. NV 1.01,3.02,9.01 11/09/07
MONACO COACH CORP /DE/ DE 5.03,9.01 11/12/07
Morgan Stanley Mortgage Loan Trust 20 DE 8.01,9.01 09/28/07
MOUNTAINS WEST EXPLORATION INC NM 1.01,2.01,2.03,3.02,5.01,5.02, 11/07/07
5.03,5.06,9.01
MOVIE STAR INC /NY/ NY 2.02,8.01,9.01 11/13/07
MRU HOLDINGS INC DE 2.02,9.01 11/14/07
MTM Technologies, Inc. NY 4.01,9.01 11/15/07
MTS MEDICATION TECHNOLOGIES, INC /DE/ DE 5.02,7.01,9.01 11/15/07
MTS SYSTEMS CORP MN 2.02,9.01 11/15/07
MUTUALFIRST FINANCIAL INC MD 8.01,9.01 11/14/07
MY SCREEN MOBILE, INC. 2.03,8.01 09/07/07
NASTECH PHARMACEUTICAL CO INC DE 7.01,9.01 11/14/07
NATIONAL ATLANTIC HOLDINGS CORP NJ 8.01 11/13/07
NATIONAL ENERGY SERVICES CO INC NV 2.02,9.01 11/15/07
National Health Partners Inc 2.02,9.01 11/13/07
NATIONAL LAMPOON INC CA 2.02,9.01 11/15/07
NATIONAL OILWELL VARCO INC DE 5.03,9.01 11/14/07
NATURADE INC DE 5.02,9.01 11/09/07
NATURE VISION, INC. MN 1.01,1.02,2.03,9.01 11/08/07
NBT BANCORP INC DE 5.02 10/22/07
Neonode, Inc DE 8.01,9.01 11/15/07
NEW JERSEY RESOURCES CORP NJ 1.01,2.02,5.03,9.01 11/15/07
NEW MOTION, INC. DE 2.02,8.01,9.01 11/14/07
NEW YORK MORTGAGE TRUST INC MD 2.02,7.01,9.01 11/14/07
NORDIC NICKEL LTD NV 5.02,5.03 11/14/07
NovaBay Pharmaceuticals, Inc. CA 2.02,9.01 11/15/07
NOVADEL PHARMA INC DE 2.02,9.01 11/14/07
NOVASTAR FINANCIAL INC MD 7.01,9.01 11/15/07
NOVEN PHARMACEUTICALS INC DE 5.02,5.03,9.01 11/13/07
NTR Acquisition Co. DE 8.01,9.01 11/15/07
Nuance Communications, Inc. DE 2.02,9.01 11/15/07
NUTECH DIGITAL INC CA 4.01 10/26/07
NYSE Euronext DE 5.02 11/14/07
O2DIESEL CORP DE 2.02,9.01 11/15/07
OCEANEERING INTERNATIONAL INC DE 7.01 11/15/07
ON THE GO HEALTHCARE INC 5.03 11/12/07
OPTIMAL GROUP INC 7.01 11/15/07
ORAMED PHARMACEUTICALS INC. NV 7.01,9.01 11/15/07
Orsus Xelent Technologies Inc DE 2.02,9.01 11/15/07
PACIFIC GAS & ELECTRIC CO CA 8.01 11/14/07
PANDA ETHANOL, INC. NV 1.01,9.01 11/09/07
PANTRY INC DE 2.02,7.01,9.01 11/15/07
Paramount Acquisition Corp DE 8.01,9.01 11/15/07
PARTICLE DRILLING TECHNOLOGIES INC/NV NV 5.02 11/15/07
PATCH INTERNATIONAL INC/CN 5.03,8.01,9.01 09/14/07 AMEND
PCMT CORP DE 1.01,3.02,8.01,9.01 11/14/07
PEABODY ENERGY CORP DE 7.01,9.01 11/15/07
Peninsula Gaming, LLC DE 2.02 09/30/07
PENN NATIONAL GAMING INC PA 8.01 11/09/07
PetroHunter Energy Corp MD 1.01,2.03,3.02,8.01,9.01 11/13/07
PFIZER INC DE 8.01,9.01 11/15/07
PG&E CORP CA 8.01 11/14/07
PharMerica CORP DE 5.02 11/13/07
PIER 1 IMPORTS INC/DE DE 5.02,9.01 11/09/07
PITNEY BOWES INC /DE/ DE 7.01,9.01 11/15/07
PLAINS ALL AMERICAN PIPELINE LP DE 7.01 11/15/07
PLANETLINK COMMUNICATIONS INC GA 1.01,3.03,9.01 11/09/07
POLYONE CORP 7.01,9.01 11/15/07
POMEROY IT SOLUTIONS INC DE 5.02 11/12/07
POSSIS MEDICAL INC MN 7.01,9.01 11/15/07
POTOMAC ELECTRIC POWER CO VA 8.01,9.01 11/13/07
POWERWAVE TECHNOLOGIES INC DE 8.01 11/14/07
PRESIDENTIAL REALTY CORP/DE/ DE 2.02 11/14/07
PRINCIPAL LIFE INSURANCE CO IA 9.01 11/09/07
PRINCIPAL LIFE INSURANCE CO IA 9.01 11/09/07
PRINCIPAL LIFE INSURANCE CO IA 9.01 11/09/07
PRO DEX INC CO 2.02,9.01 11/13/07 AMEND
PROCENTURY CORP 7.01,9.01 11/14/07
PROGINET CORP DE 2.02,9.01 11/14/07
PROVIDENCE SERVICE CORP DE 1.01,2.03,3.02,9.01 11/09/07
Puda Coal, Inc. 1.02,2.01,9.01 11/08/07
PVF CAPITAL CORP OH 2.02,9.01 11/09/07
QMED INC DE 5.02,8.01,9.01 11/12/07
QRS MUSIC TECHNOLOGIES INC DE 3.01,8.01 11/15/07
QUANTUM CORP /DE/ DE 5.02,9.01 11/10/07
QUEST RESOURCE CORP NV 5.02,9.01 11/08/07
QUESTCOR PHARMACEUTICALS INC CA 5.02,5.03,7.01,9.01 11/12/07
QUIPP INC FL 2.02,9.01 11/14/07
RAE SYSTEMS INC DE 1.01 11/09/07
RALCORP HOLDINGS INC /MO MO 7.01,9.01 11/15/07
RALCORP HOLDINGS INC /MO MO 5.02,8.01,9.01 11/14/07
RALCORP HOLDINGS INC /MO MO 2.02,9.01 11/07/07
RAMBUS INC DE 5.03,9.01 11/13/07
RED CARPET ENTERTAINMENT INC NV 8.01 11/12/07
REDENVELOPE INC DE 2.02,9.01 11/14/07
REEDS INC DE 2.02,9.01 11/15/07
REGIONS FINANCIAL CORP DE 5.02,9.01 11/15/07
RELIABILITY INC TX 5.02 11/14/07
RELM WIRELESS CORP NV 2.02,9.01 11/12/07
RENEWABLE ENERGY RESOURCES INC NV 5.02,8.01 11/12/07
RETROSPETTIVA INC 2.03,9.01 11/14/07
RLI CORP IL 8.01,9.01 11/14/07
ROCHESTER MEDICAL CORPORATION MN 2.02,9.01 11/15/07
ROCKWELL AUTOMATION INC DE 5.02,9.01 11/09/07
ROTECH HEALTHCARE INC DE 5.02 11/15/07
ROYAL BANCSHARES OF PENNSYLVANIA INC PA 2.06,3.01,8.01,9.01 11/09/07
ROYAL GOLD INC DE 3.03,5.03,9.01 11/08/07
Royal Spring Water Inc 5.02 11/13/07
RURAL/METRO CORP /DE/ DE 3.01,7.01,9.01 11/14/07
RYLAND GROUP INC MD 2.04 11/14/07
SALESFORCE COM INC DE 2.02,9.01 11/15/07
SANDERS MORRIS HARRIS GROUP INC TX 8.01,9.01 11/15/07
SANTANDER BANCORP 2.02,9.01 11/14/07
SATCON TECHNOLOGY CORP DE 2.02,9.01 11/13/07
SBARRO INC NY 2.02,9.01 11/14/07
SELECTIVE INSURANCE GROUP INC NJ 7.01,9.01 11/15/07
SELIGMAN SELECT MUNICIPAL FUND INC MD 7.01,9.01 11/15/07
SENESCO TECHNOLOGIES INC DE 2.02,9.01 11/15/07
SERVICE 1ST BANCORP CA 2.02,9.01 11/14/07
SERVOTRONICS INC /DE/ DE 2.02,9.01 11/12/07
Siberian Energy Group Inc. NV 3.02,8.01,9.01 10/22/07
SILICON GRAPHICS INC DE 5.02 11/09/07
SIMMONS CO DE 2.02,9.01 11/13/07
SMART MOVE, INC. DE 1.01,3.02,9.01 11/14/07
Smart SMS Corp FL 1.01,5.03,9.01 08/06/07
SMITH MICRO SOFTWARE INC DE 1.01,9.01 11/12/07
SMTC CORP DE 2.02,9.01 11/12/07
Solo Cup CO DE 2.01,2.02,9.01 11/12/07
Sound Worldwide Holdings, Inc. DE 1.01,2.01,3.02,4.01,5.02,5.03, 10/25/07 AMEND
5.06,9.01
SOUTHERN MICHIGAN BANCORP INC MI 7.01,9.01 11/15/07
SOUTHWALL TECHNOLOGIES INC /DE/ DE 2.02,9.01 11/14/07
SOUTHWEST GAS CORP CA 5.03 11/15/07
SOUTHWESTERN ENERGY CO DE 1.01,8.01,9.01 11/09/07
SOVEREIGN BANCORP INC PA 5.02,9.01 11/09/07
SPARE BACKUP, INC. DE 8.01 11/15/07
SPHERIX INC DE 5.03,9.01 11/09/07
SPLINTERNET HOLDINGS INC DE 4.01,9.01 11/15/07
SPORT HALEY INC CO 2.02,9.01 11/14/07
Star Resorts Development Inc. NV 5.02 11/13/07
STARBUCKS CORP WA 2.02,5.02,9.01 11/15/07
STEAK & SHAKE CO IN 2.02,9.01 11/15/07
STERLING FINANCIAL CORP /PA/ PA 3.01 11/13/07
STONE ENERGY CORP DE 7.01,9.01 11/15/07
STRUCTURED PROD CORTS TR II FOR PROVI DE 8.01 11/06/07
STRUCTURED PRODUCTS CORP CORTS FOR PR DE 8.01 11/06/07
STRUCTURED PRODUCTS CORP CORTS TR III DE 8.01 11/06/07
STRUCTURED PRODUCTS CORP CORTS TRUST DE 8.01 11/06/07
SUBURBAN PROPANE PARTNERS LP DE 2.02,9.01 11/15/07
SULPHCO INC NV 1.01,9.01 11/09/07
SUNLINK HEALTH SYSTEMS INC OH 2.02,7.01,9.01 11/14/07
SUNLINK HEALTH SYSTEMS INC OH 8.01,9.01 11/07/07
SUNRISE SENIOR LIVING INC DE 3.01 11/15/07
SUNTRUST BANKS INC GA 7.01,9.01 11/15/07
SUPERCONDUCTOR TECHNOLOGIES INC DE 1.01,3.02,3.03,5.03,8.01,9.01 11/09/07
Superior Offshore International Inc. DE 2.02,5.02,8.01,9.01 11/08/07
Superior Offshore International Inc. DE 1.01,2.03,9.01 11/14/07
SURMODICS INC MN 5.02,5.03,8.01,9.01 11/12/07
SUTOR TECHNOLOGY 2.02,9.01 11/15/07
SVI Media, Inc. NV 5.02 11/12/07
Symmetry Holdings Inc DE 8.01,9.01 11/08/07
Symmetry Holdings Inc DE 8.01,9.01 11/15/07
SYNTEC BIOFUEL INC WA 5.02 11/08/07
TEL INSTRUMENT ELECTRONICS CORP NJ 2.02 11/15/07
TELEPHONE & DATA SYSTEMS INC /DE/ DE 5.03,9.01 11/13/07
TELESTONE TECHNOLOGIES CORP CO 2.02,9.01 11/14/07
TELULAR CORP DE 8.01 11/12/07
TERRESTAR CORP DE 7.01,9.01 11/15/07
TETRA TECH INC DE 2.02,9.01 11/14/07
THERAGENICS CORP DE 5.02 11/12/07
THERMO FISHER SCIENTIFIC INC. DE 5.03,9.01 11/15/07
TIENS BIOTECH GROUP USA INC 8.01,9.01 11/15/07
TMT CAPITAL CORP FL 5.02 11/15/07
TORCH ENERGY ROYALTY TRUST DE 8.01,9.01 11/14/07
TREATY OAK BANCORP INC TX 2.02,5.02,8.01,9.01 11/13/07
TRI-CONTINENTAL CORP MD 7.01,9.01 11/15/07
TRIAD AUTOMOBILE RECEIVABLES TRUST 20 8.01,9.01 11/14/07
TRIPOS INC UT 5.02,8.01,9.01 11/14/07
TTM TECHNOLOGIES INC WA 7.01,9.01 11/15/07
TULLYS COFFEE CORP 2.02,9.01 11/14/07
TUTOGEN MEDICAL INC FL 5.02,8.01,9.01 11/09/07
TXP CORP NV 2.02,9.01 11/14/07
Tyco Electronics Ltd. D0 2.02,9.01 11/15/07
TYCO INTERNATIONAL LTD /BER/ D0 2.02,9.01 11/15/07
UNICA CORP 2.02,9.01 11/15/07
UNICORP INC /NEW NV 8.01,9.01 11/14/07
UNION BANKSHARES CORP VA 8.01,9.01 11/08/07
UNION PACIFIC CORP UT 8.01 11/15/07
United Community Bancorp X1 8.01,9.01 11/15/07
UNITED FUEL & ENERGY CORP NV 2.02,9.01 11/14/07
United States Oil Fund, LP DE 1.01,9.01 11/13/07
UNIVERSAL CITY DEVELOPMENT PARTNERS L 7.01 11/15/07
Universal City Florida Holding Co. I FL 7.01 11/15/07
UNIVERSAL SECURITY INSTRUMENTS INC MD 1.01,9.01 11/13/07
UNIVERSAL TRAVEL GROUP NV 2.02,7.01,9.01 11/09/07
URS CORP /NEW/ DE 2.01,9.01 11/15/07
US CONCRETE INC DE 1.01,2.03,9.01 11/09/07
US HOME SYSTEMS INC DE 2.02,9.01 11/14/07
VALIDUS HOLDINGS LTD 7.01,9.01 11/15/07
Vella Productions Inc. NV 5.02 11/14/07
VERIDIEN CORP DE 7.01,9.01 11/14/07
VERTIS INC DE 2.02,7.01,9.01 11/14/07
VFINANCE INC DE 2.02,9.01 11/14/07
VICOR CORP DE 3.01,7.01,9.01 11/13/07
VIKING SYSTEMS INC DE 8.01 11/13/07
VINEYARD NATIONAL BANCORP CA 2.02,9.01 11/14/07
Virgin Mobile USA, Inc. DE 2.02,9.01 11/15/07
VISION SCIENCES INC /DE/ DE 2.02 11/14/07
Voyager Learning CO DE 2.02,4.01,7.01,9.01 11/14/07
W HOLDING CO INC PR 8.01,9.01 11/12/07
WARWICK VALLEY TELEPHONE CO NY 8.01,9.01 11/15/07
WASHINGTON MUTUAL, INC WA 5.02,9.01 11/14/07
WASTE INDUSTRIES USA INC NC 7.01,9.01 11/14/07
WATTS WATER TECHNOLOGIES INC DE 8.01,9.01 11/09/07
WESTSIDE ENERGY CORP NV 1.01,3.02,5.02,5.03,8.01,9.01 11/09/07
Wilber CORP 5.02,9.01 11/13/07
WILLIAMS SONOMA INC CA 2.02,8.01,9.01 11/15/07
WILLIS LEASE FINANCE CORP DE 2.02,7.01,9.01 11/13/07
WOODWARD GOVERNOR CO DE 2.02,9.01 11/14/07
Wornick CO DE 1.01,9.01 11/13/07
YTB International, Inc. NY 2.02,9.01 11/14/07
Z TRIM HOLDINGS, INC IL 5.02,5.03,7.01,9.01 11/09/07
ZALE CORP DE 2.01,9.01 11/15/07
ZANETT INC DE 2.02,9.01 11/14/07
ZIM CORP A6 2.02,9.01 11/15/07
ZOLL MEDICAL CORP MA 2.02,9.01 11/15/07
ZVUE CORP DE 8.01,9.01 11/14/07
ZVUE CORP DE 8.01,9.01 11/14/07
http://www.sec.gov/news/digest/2007/dig111607.htm
|
