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SEC NEWS DIGEST
Issue 2007-229 November 29, 2007
COMMISSION ANNOUNCEMENTS
SEC �VOTES �TO �CODIFY LONGSTANDING POLICY ON SHAREHOLDER PROPOSALS ON
ELECTION �PROCEDURES �
On �November �28, �the �Commission voted to adopt an amendment to Rule
14a-8(i)(8) �under �the �Securities �Exchange �Act �of �1934 to codify
the �Commission's �longstanding �interpretation �of �that �rule. �This
action �was �taken �to provide certainty to shareholders and companies
following �a �2006 �decision �by �the �U.S. �Court �of Appeals for the
Second ��Circuit ��which ��did ��not ��defer ��to ��the ��Commission's
interpretation ��of �the �rule. �It �will �also �ensure �that �current
disclosure requirements and antifraud protections aren't upended.
"The �decision �today �maintains �the �status �quo of the past decade,
preserving �every �right �that �shareholders �presently �enjoy, �while
ensuring ��there �is �no �unintended �breach �in �the �disclosure �and
antifraud ���protections �applicable �to �proxy �contests," �said �SEC
Chairman �Christopher �Cox. �"If �the �Commission �did �nothing, �then
there �would �be �no �clear �and �authoritative �interpretation of our
rules. �And �there �would �be �an easy end run around the Commission's
required �disclosures �and �our �antifraud rules in proxy contests. We
owe it to investors and the markets to at least �ensure that this does
not �happen. �Now �that �we �have accomplished our investor protection
objectives, ����I �believe �we �can �move �forward �and �re-open �this
discussion �in �2008 �to �consider �how �to strengthen the proxy rules
to �better �vindicate the fundamental state law rights of shareholders
to elect directors."
John �White, �the �Director �of �the �Division of Corporation Finance,
noted, �"I �believe �that �investors, registrants and the staff of the
Commission ��will �all �benefit �from �the �certainty �that �the �rule
clarification �the Commission adopted today will provide. This step is
critically �important �to �the �application of the proxy rules for the
upcoming annual meeting season."
Rule �14a-8 �under �the �Exchange �Act �provides �an opportunity for a
shareholder owning a relatively small amount of a company's securities
to �submit �a �proposal �for inclusion in a company's proxy materials,
provided ��that �the �shareholder �complies �with �certain �procedural
requirements �and �the �proposal �does not fall within one of thirteen
substantive bases for exclusion. One of the thirteen substantive bases
for �exclusion, �Rule �14a-8(i)(8), permits a company to omit from its
proxy �materials �any �proposal �that �"relates �to �an �election �for
membership �on the company's board of directors or analogous governing
body." �
The �Commission �voted �to �amend �the language of the rule to read as
follows: �"If �the proposal relates to a nomination or an election for
membership ����on �the �company's �board �of �directors �or �analogous
governing �body �or a procedure for such nomination or election." This
language �was �not �revised from the proposal. The rule amendment will
take �effect �30 �days �after it is published in the Federal Register.
(Press Rel. 2007-246)
SEC �ADOPTS �PROXY �RULE AMENDMENTS ENCOURAGING ELECTRONIC SHAREHOLDER
FORUMS
On �November �28, �the �Commission �voted �to �adopt amendments to the
federal �proxy �rules �under �the �Securities �Exchange Act of 1934 to
facilitate �the �use �of electronic shareholder forums. The amendments
are expected to open up new avenues for real-time communications among
shareholders, and between shareholders and the companies they own.
"Today's action is intended to tap the potential of technology to help
shareholders �communicate �with one another and express their concerns
to companies in ways that could be more effective and less expensive,"
said �SEC �Chairman Christopher Cox. "The rule amendments are intended
to �remove �legal �concerns, �such �as �the risk that discussion in an
online forum might be viewed as a proxy solicitation, that might deter
shareholders and companies from using this new technology."
"I �think the Commission demonstrated again today that it welcomes the
opportunity �to �remove �barriers �that �may �exist �for investors and
companies �to �communicate �with �each �other," �said �John White, the
Director �of the Division of Corporation Finance. "This new proxy rule
exemption ���should �help �facilitate �another �venue �for �interested
investors �to �share �thoughts �and �ideas with company management and
among themselves."
Specifically, �the �amendments �will �clarify that participation in an
electronic �shareholder �forum, �which �could potentially constitute a
solicitation �subject �to the current proxy rules, will be exempt from
most �of �the �proxy �rules �if �the �conditions �to the exemption are
satisfied. In summary:
* Any �participant �in an electronic shareholder forum will be able
to ��� rely �on �the �new �exemption �so �long �as �his �or �her
communications �occur �more �than �60 �days �prior �to �the �date
announced �by �the �company �for its annual or special meeting of
shareholders, �and �the �communicating �party �does �not �solicit
proxy �authority �while �relying �on the exemption. A participant
in �an �electronic �shareholder forum will be eligible to solicit
proxy �authority �after �the date that the exemption is no longer
available, ��provided �that �the �solicitation �is �conducted �in
accordance with Regulation 14A.
* Where �the �company announces a meeting of shareholders less than
60 �days �before �the �meeting �date, �the solicitation could not
occur more than two days following the company's announcement.
In �addition, �the �amendments provide that a shareholder, company, or
third �party �acting �on �behalf �of �a shareholder or a company, that
establishes, �maintains �or �operates �an electronic shareholder forum
will not be liable under the federal securities laws for any statement
or information provided by another person participating in the forum.
The �rule amendments will take effect 30 days after they are published
in the Federal Register. (Press Rel. 2007-247)
PETER BRESNAN, DEPUTY DIRECTOR OF ENFORCEMENT, TO LEAVE COMMISSION
The �Commission announced today that Peter H. Bresnan, Deputy Director
of �Enforcement, �will �leave �the �Commission �on December 5. He will
become �a �partner �in the law firm Simpson Thacher & Bartlett LLP, in
the firm's Washington office.
Since �joining �Commission staff, Mr. Bresnan has led some of the most
challenging �and significant investigations and enforcement actions in
Commission �history, �including landmark settlements with WorldCom and
several mutual fund market timers.
"Peter �has �been �an �eloquent and passionate advocate for investors'
interests," �said SEC Chairman Christopher Cox. "His strong leadership
of �our �national enforcement program has upheld the SEC's preeminence
as �the �gold �standard of securities law enforcement. Investors large
and small, America's capital markets, and the entire nation have had a
courageous �champion �in �Peter Bresnan. His many years of outstanding
public service place all of us deeply in his debt."
Linda �Chatman �Thomsen, �the Director of the Division of Enforcement,
said, �"Peter has had a remarkable and varied career at the SEC and he
has �excelled at every stage along the way. Time and again, when faced
with a difficult challenge, we turned to Peter. And time and again, he
met �the �challenge with characteristic excellent judgment, hard work,
great �skills �and �quiet good humor. Investors are better off because
Peter �was �here. �And all of us who have had the privilege of working
with him are better off too."
Mr. �Bresnan �said, �"It has been an honor and a privilege to work for
the past 12 years with a group of dedicated and talented professionals
who �exemplify the very best in public service. Working with others on
the �SEC �staff to protect investors and safeguard capital markets has
been immensely rewarding, both personally and professionally."
Mr. �Bresnan �joined the Commission's staff in April 1995 as Assistant
Chief Litigation Counsel. In November 2001, he became the Deputy Chief
Litigation ��Counsel, �and �shared �responsibility �for �managing �the
Commission's nationwide litigation program. Bresnan also served as the
Acting �District �Administrator �of �the �Boston �District Office from
November 2003 to April 2004, and as an Associate Director in the SEC's
Washington �office �from April 2004 to November 2005. For the past two
years, �Bresnan �has �served �as one of the Enforcement Division's two
Deputy �Directors. �In �that �role, �he �assisted �the Director in the
overall �management �of the Enforcement program and in the formulation
and implementation of the Division's priorities.
Among �groundbreaking �cases, �Mr. �Bresnan �was the Commission's lead
trial counsel in the WorldCom lawsuit in which the Commission obtained
the �largest �civil penalty ever levied for a violation of the federal
securities �laws. �Recently, �he �was �responsible �for finalizing the
Commission's �financial �fraud �actions against Fannie Mae and Freddie
Mac. As an Associate Director, Mr. Bresnan led the investigations that
resulted in actions against former senior executives at Kmart, as well
as actions involving Instinet, Ford Motor Credit Company, and the Wood
River �hedge funds. During his tenure as the interim head of the SEC's
Boston �office, Mr. Bresnan spearheaded the Commission's market timing
cases �against �Putnam, �Massachusetts Financial Services Company, and
two subsidiaries of FleetBoston. Earlier, he successfully resolved the
Commission's �first �litigated �yield-burning �case �and litigated the
Commission's �first �fraud case against an offshore hedge fund and its
manager.
Mr. �Bresnan �received �the �Commission's Stanley Sporkin Award, which
recognizes those who have made "exceptionally tenacious and insightful
contributions" �to �the enforcement of the federal securities laws. He
earned his undergraduate degree from Kenyon College and his law degree
from Fordham University Law School. (Press Rel. 2007-248)
SEC RELEASES SAMPLE FORMAT FOR PROPOSED MUTUAL FUND SUMMARY PROSPECTUS
Commission �Seeks �Investor �Input �on Proposal to Improve Mutual Fund
Disclosure
The �Securities �and �Exchange �Commission �has �published a prototype
"summary �prospectus" �for �mutual funds, and asked for public comment
from ���investors. �The �proposed �streamlined �prospectus �would �let
investors quickly learn key information about a mutual fund.
The �Commission �voted �unanimously �on �November �15 �to propose rule
amendments �that �would �enable �investors �to �view �a concise, plain
English �summary �of key facts about a mutual fund. The SEC is seeking
public �comment on the proposed rule amendments, including the summary
prospectus, ����which �are �available �online �along �with �additional
information �to �help �investors �understand �and �participate �in the
comment process: http:///www.sec.gov/investor/enhanceddisclosure.htm.
"In �three �or �four �pages, an investor could get the important facts
about �a mutual fund in a quick and convenient way," said SEC Chairman
Christopher �Cox. �"Instead �of �digging �through �pages �of legalese,
investors would be able to spend more time learning how their money is
invested and making informed investment decisions."
The Commission is proposing that the following information be included
in a mutual fund summary prospectus:
* ��investment objectives ��
* ��costs ��
* � principal investment strategies,risks, and performance
*� top 10 portfolio holdings
* � identity of investment advisers and portfolio managers
* brief purchase, sale, and tax information
* information about broker compensation and conflicts
During �the �comment �period, the Commission is seeking investor input
about �what �improvements �would make the summary prospectus easier to
read �and understand, and what key information investors would like to
see �included. �The Commission also is seeking comment on its proposal
for �mutual �funds �to provide investors the summary information while
making �the �full �prospectus �available �online or in paper copy upon
request. �Comments �should �be �received �no later than Feb. 28, 2008.
(Press Rel. 2007-249)
ENFORCEMENT PROCEEDINGS
IN THE MATTER OF DAVID A. DADANTE
On ��November ��29, ��the ��Commission ��issued ��an Order Instituting
Administrative ����Proceedings �Pursuant �to �Section �203(f) �of �the
Investment Advisers Act of 1940, Making Findings and Imposing Remedial
Sanctions �(Order) against David A. Dadante (Dadante), Respondent. The
Order �finds �that �on �November �1, �2007 �a �judgment �of �permanent
injunction ��was �entered �by �consent �against �Dadante, �permanently
enjoining him from future violations of Sections 5(a), 5(c), and 17(a)
of �the �Securities �Act �of �1933, �Section �10(b) �of the Securities
Exchange �Act �of �1934 and Rule 10b-5 thereunder, and Sections 206(1)
and �(2) of the Advisers Act in the civil action entitled SEC v. David
Dadante, �et al., Civil Action Number 06-CV-0938, in the U.S. District
Court �for �the �Northern �District �of �Ohio �Eastern �Division. �The
Commission's �complaint �alleged �that, �from �at �least �1999 through
November �2005, �Dadante, �acting �by �and �through �his �unregistered
investment �company, �IPOF Fund, raised approximately $50 million from
at �least �110 �investors �by soliciting them to purchase unregistered
limited �partnership �interests �in IPOF. Dadante lured investors with
promises �that �he �and �IPOF would invest their funds in low risk and
high �return �trading �strategies. �However, �Dadante �and �IPOF never
invested ��the �funds �as �promised. �Rather �Dadante, �acting �as �an
unregistered �investment �adviser �to �IPOF, �misappropriated investor
funds for his own use, operated IPOF as a Ponzi scheme, and pursued an
undisclosed high-risk investment strategy.
Based �on �the above, the Order bars Dadante from association with any
investment �adviser. �Dadante �consented �to the issuance of the Order
without �admitting or denying any of the findings in the Order, except
he �admitted �the �entry of the injunction. (Rel. IA-2678; File No. 3-
12894)
IN THE MATTER OF RAMP CORPORATION
An �Administrative �Law �Judge has issued an Order Making Findings and
Imposing Remedial Sanction by Default (Default Order) in the matter of
Ramp Corporation. The Order Instituting Proceedings (OIP) alleged that
Ramp �Corporation, �an �issuer �of �registered �securities, repeatedly
failed �to �file �required �annual �and �quarterly �reports �with �the
Securities �and �Exchange Commission, in violation of Section 13(a) of
the �Securities �Exchange �Act of 1934 (Exchange Act) and Exchange Act
Rules 13a-1 and 13a-13. The Default Order finds the allegations in the
OIP �to �be �true �and �revokes �the �registered �securities �of �Ramp
Corporation �pursuant �to Section 12(j) of the Exchange Act. (Rel. 34-
56859; File No. 3-12872)
INVESTMENT COMPANY ACT RELEASES
RAFFERTY ASSET MANAGEMENT, LLC, ET AL.
An �order �has �been �issued on an application filed by Rafferty Asset
Management, �LLC, �et al., under Section 12(d)(1)(J) of the Investment
Company �Act for an exemption from Sections 12(d)(1)(A) and (B) of the
Act and under Sections 6(c) and 17(b) of the Act for an exemption from
Section �17(a) �of �the �Act. �The �order �permits �certain management
investment �companies �and unit investment trusts registered under the
Act �to �acquire �shares �of �certain �open �end management investment
companies �registered under the Act that are outside of the same group
of �investment �companies as the acquiring investment companies. (Rel.
IC-28067 - November 27)
PFL VARIABLE LIFE ACCOUNT A
An �order has been issued under Section 8(f) of the Investment Company
Act �declaring �that �PFL �Variable Life Account A has ceased to be an
investment company. (Rel. IC-28068 - November 27)
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
The �NASDAQ Stock Market filed a proposed rule change (SR-NASDAQ-2007-
066), ���which �became �effective �upon �filing �pursuant �to �Section
19(b)(3)(A) �of �the Exchange Act, that clarifies the requirement that
all �issuers �be �eligible �to �participate in the Direct Registration
Program �also �applies �to �issuers �that �are �limited �partnerships.
Publication �is �expected �in �the Federal Register during the week of
November 26. (Rel. 34-56825)
The Options Clearing Corporation filed a proposed rule change (SR-OCC-
2007-14) �under �Section 19(b)(3)(A) of the Securities Exchange Act to
update �the descriptions of OCC's assignment procedures to reflect the
expanded �use �of �sub-accounts at OCC. Publication is expected in the
Federal Register during the week of Dec. 3, 2007. (Rel. 34-56845)
The Options Clearing Corporation filed a proposed rule change (SR-OCC-
2007-11) �under �Section 19(b)(3)(A) of the Securities Exchange Act to
allow �clearing �members to maintain sub-accounts for certain types of
accounts �for �position �reporting, �margin, collateral and settlement
purposes. �Publication �is expected in the Federal Register during the
week of Dec. 3, 2007. (Rel. 34-56846)
A �proposed �rule �change �filed by the Chicago Board Options Exchange
regarding fees for trading on the FLEX Hybrid Trading System (SR CBOE-
2007-139) �has �become immediately effective under Section 19(b)(3)(A)
of ���the �Securities �Exchange �Act �of �1934 �and �Rule �19b-4(f)(2)
thereunder. Publication is expected in the Federal Register during the
week of Dec. 3, 2007. (Rel. 34-56852)
PROPOSED RULE CHANGE
The �Depository �Trust �Company �filed a proposed rule change (SR-DTC-
2007-13) �to provide that DTC's Foreign Currency Payment Option may be
used (1) in relation to securities denominated in U.S. dollars and (2)
regardless �of �whether the terms of the issue originally contemplated
the �option �of �payment �in �one �or �more currencies. Publication is
expected �in �the �Federal �Register �during the week of Dec. 3, 2007.
(Rel. 34-56840)
ACCELERATED APPROVAL OF PROPOSED RULE CHANGE
The �Commission granted accelerated approval of a proposed rule change
(SR-Amex-2007-123), �as �modified by Amendment No. 1 thereto, filed by
the �American �Stock Exchange to send P/A Orders through Linkage prior
to �the �opening �of �trading. �Publication is expected in the Federal
Register during the week of Dec. 3, 2007. (Rel. 34-56850)
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-1 CONCHO RESOURCES INC, 550 WEST TEXAS AVENUE, SUITE 1300, MIDLAND, TX,
79701, 432-683-7443 - 10,000,000 ($204,800,000.00) Equity,
(File 333-147655 - Nov. 28) (BR. 04C)
S-3ASR NUCOR CORP, 2100 REXFORD RD, CHARLOTTE, NC, 28211, 7043667000 -
0 ($0.00) Unallocated (Universal) Shelf, (File 333-147657 - Nov. 28)
(BR. 06A)
S-3ASR ROCKWELL AUTOMATION INC, 1201 SOUTH 2ND STREET, MILWAUKEE, WI, 53204,
414-382-2000 - 0 ($0.00) Debt, (File 333-147658 - Nov. 28) (BR. 10C)
F-6 MERAFE RESOURCES LTD, 1ST FLOOR, BLOCK B, SANDTON PLACE,
68 WIERDA ROAD EAST, WIERDA VALLEY, SANDTON, T3, 00000,
100,000,000 ($5,000,000.00) ADRs/ADSs, (File 333-147662 - Nov. 28)
(BR. )
S-8 CULP INC, 1823 EASTCHESTER DRIVE, HIGH POINT, NC, 27265, 3368895161 -
1,200,000 ($10,824,000.00) Equity, (File 333-147663 - Nov. 28) (BR. 02C)
S-3ASR NORDSTROM INC, 1700 SEVENTH AVENUE, SUITE 1300, SEATTLE, WA,
98101-4407, 2066282111 - 0 ($0.00) Debt, (File 333-147664 - Nov. 28)
(BR. 09B)
S-8 ARENA RESOURCES INC, 4920 SOUTH LEWIS STREET, SUITE 107, TULSA, OK,
74105, 9187476060 - 280,000 ($982,800.00) Equity, (File 333-147665 -
Nov. 28) (BR. 04A)
SB-2 Mobile Presence Technologies Inc., 211 WEST 106TH STREET, 15D,
NEW YORK, NY, 10025, (917)825-9093 - 171,500 ($171,500.00) Equity,
(File 333-147666 - Nov. 28) (BR. 03)
S-8 RED REEF LABORATORIES INTERNATIONAL INC, 450 FAIRWAY DRIVE SUITE 103,
DEERFIELD BEACH, FL, 33441, 954-725-9475 -
20,000,000 ($260,000.00) Equity, (File 333-147667 - Nov. 28) (BR. 06B)
S-8 TRANSOCEAN INC, 4 GREENWAY PLAZA, HOUSTON, TX, 77046, 7132327500 -
0 ($171,944,521.00) Equity, (File 333-147669 - Nov. 28) (BR. 04A)
S-8 TRANSOCEAN INC, 4 GREENWAY PLAZA, HOUSTON, TX, 77046, 7132327500 -
0 ($3,672,600.00) Equity, (File 333-147670 - Nov. 28) (BR. 04A)
S-8 Terra Nova Financial Group Inc, 100 S WACKER DR, STE 1550, CHICAGO, IL,
60606, 8668666546 - 1,000,000 ($1,550,000.00) Equity,
(File 333-147671 - Nov. 28) (BR. 08C)
S-8 TRAILER BRIDGE INC, 10405 NEW BERLIN ROAD, EAST, JACKSONVILLE, FL,
32226, 9047517100 - 500,000 ($5,004,418.82) Equity, (File 333-147672 -
Nov. 28) (BR. 05C)
S-8 YTB International, Inc., 560 SYLVAN AVENUE, ENGLEWOOD CLIFFS, NJ,
07632, 2015678500 - 40,000,000 ($43,200,000.00) Equity,
(File 333-147678 - Nov. 28) (BR. 05C)
S-3 ADVANCED ENVIRONMENTAL RECYCLING TECHNOLOGIES INC,
914 N. JEFFERSON STREET, -, SPRINGDALE, AR, 72764, 479-756-7400 -
0 ($13,725,769.00) Equity, (File 333-147679 - Nov. 28) (BR. 06C)
SB-2 OPHTHALMIC IMAGING SYSTEMS, 221 LATHROP WAY, SUITE 1, SACRAMENTO, CA,
95815, 9166462020 - 3,056,728 ($2,903,892.00) Equity,
(File 333-147680 - Nov. 28) (BR. 10B)
S-8 Teekay Offshore Partners L.P., TEEKAY SHIPPING (CANADA) LTD.,,
SUITE 2000 - 550 BURRARD STREET, VANCOUVER, A1, V6C 2K2, 242-502-8820 -
1,000,000 ($24,865,000.00) Equity, (File 333-147682 - Nov. 28) (BR. 05C)
S-8 TEEKAY CORP, BAYSIDE HOUSE, BAYSIDE EXECUTIVE PARK,
WEST BAY ST & BLAKE RD, PO BOX AP-59212, NASSAU BAHAMAS, C5, 00000,
604-683-3529 - 3,000,000 ($164,775,000.00) Equity, (File 333-147683 -
Nov. 28) (BR. 05C)
SB-2 PEOPLES LIBERATION INC, 150 WEST JEFFERSON BOULEVARD, LOS ANGELES, CA,
90007, 213-745-2123 - 1,460,000 ($657,000.00) Equity,
(File 333-147684 - Nov. 28) (BR. 09A)
SB-2 Reflex Inc., 50 WEST LIBERTY STREET, SUITE 880, RENO, NV, 89501,
000-000-0000 - 950,000 ($19,000.00) Equity, (File 333-147685 - Nov. 28)
(BR. )
S-8 OPLINK COMMUNICATIONS INC, 3469 NORTH FIRST STREET, SAN JOSE, CA,
95134, 4084330606 - 0 ($17,261,497.47) Equity, (File 333-147686 -
Nov. 28) (BR. 11B)
S-3 PERFICIENT INC, 1120 SOUTH CAPITAL OF TEXAS HWY,, SUITE 220, BLDG. 3,
AUSTIN, TX, 78746, 5125316000 - 449,680 ($7,221,860.80) Equity,
(File 333-147687 - Nov. 28) (BR. 03B)
SB-2 COMMUNICATE COM INC, 375 WATER STREET, SUITE 645, VANCOUVER BC V6B 5C6,
A1, 89502, 6046970136 - 2,550,000 ($4,704,750.00) Equity,
(File 333-147688 - Nov. 28) (BR. 02A)
S-3 UPFC Auto Financing CORP, 421 W. HARWOOD ROAD, SUITE 110, HURST, TX,
76054, 817-282-9451 - 0 ($1,800,000,000.00) Asset-Backed Securities,
(File 333-147689 - Nov. 28) (BR. 05)
S-4 Bristow Group Inc, 2000 W SAM HOUSTON PARKWAY SOUTH, SUITE 1700,
HOUSTON, TX, 77042, 7132677600 -
0 ($350,000,000.00) Non-Convertible Debt, (File 333-147690 - Nov. 28)
(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
-------------------------------------------------------------------------------------------------------
21ST CENTURY HOLDING CO FL 5.03,9.01 11/27/07
A.C. Moore Arts & Crafts, Inc. PA 5.02,7.01,9.01 11/28/07
ADA-ES INC CO 8.01,9.01 11/28/07
ADMIRALTY HOLDING CO CO 4.01 08/30/07
ADOLOR CORP 8.01,9.01 11/28/07
Advaxis, Inc. DE 4.01,9.01 11/27/07
Agfeed Industries, Inc NV 5.02,7.01,9.01 11/21/07
Aleris International, Inc. DE 7.01,9.01 11/28/07
ALLIANCE IMAGING INC /DE/ DE 7.01,8.01,9.01 11/28/07
Allis Chalmers Energy Inc. DE 7.01,9.01 11/28/07
AMASYS CORP DE 1.01,9.01 11/15/07
AMCON DISTRIBUTING CO DE 5.03,9.01 11/21/07
AMEREN CORP MO 8.01,9.01 11/28/07
AMERICAN BANCORP OF NEW JERSEY INC NJ 8.01,9.01 11/27/07
AMERICAN EAGLE OUTFITTERS INC DE 2.02,9.01 11/27/07
AMERICAN ELECTRIC POWER CO INC NY 7.01 11/28/07
AMERICAN GREETINGS CORP OH 8.01,9.01 11/28/07
AMERICAN MEDICAL SYSTEMS HOLDINGS INC DE 7.01 11/28/07
AMERICAN PHYSICIANS SERVICE GROUP INC TX 8.01,9.01 11/27/07
AMERIGON INC MI 5.02,9.01 11/27/07
AMERIRESOURCE TECHNOLOGIES INC DE 3.03,5.03 11/28/07
Amtrust Financial Services, Inc. DE 7.01,9.01 11/27/07
ANIXTER INTERNATIONAL INC DE 8.01,9.01 11/27/07
AOM Minerals Ltd. NV 5.02 11/20/07
AOM Minerals Ltd. NV 5.03,7.01,9.01 10/29/07
APOLLO GROUP INC AZ 5.02 11/26/07
APPLEBEES INTERNATIONAL INC DE 7.01,9.01 11/28/07
Approach Resources Inc DE 1.01,9.01 11/21/07
Ardea Biosciences, Inc./DE DE 7.01,9.01 11/28/07
ARIBA INC DE 7.01 11/28/07
ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 11/28/07
ASHLAND INC. KY 7.01,9.01 11/27/07
ASIA GLOBAL HOLDINGS CORP. NV 5.03,9.01 11/05/07
ASPEN INSURANCE HOLDINGS LTD D0 5.02 11/14/07
ATLANTIC COAST FEDERAL CORP X1 8.01,9.01 11/27/07
Atlantic Coast Financial CORP MD 8.01,9.01 11/27/07
ATWOOD OCEANICS INC TX 2.02,7.01,8.01,9.01 11/28/07
AXT INC DE 8.01,9.01 11/27/07
BANCORP RHODE ISLAND INC 8.01,9.01 11/26/07
BARRIER THERAPEUTICS INC DE 8.01,9.01 11/27/07
Basin Water, Inc. DE 9.01 09/14/07 AMEND
BECKMAN COULTER INC DE 1.01,9.01 11/21/07
Beneficial Mutual Bancorp Inc X1 5.02,9.01 11/27/07
BPZ RESOURCES, INC. TX 1.01,7.01,9.01 11/21/07
BRINKS CO VA 8.01,9.01 11/28/07
BROADRIDGE FINANCIAL SOLUTIONS, INC. DE 8.01,9.01 11/27/07
Bronco Drilling Company, Inc. DE 8.01,9.01 11/28/07
BROWN SHOE CO INC NY 2.02,9.01 11/28/07
BRT REALTY TRUST MA 8.01,9.01 11/27/07 AMEND
BUCKEYE TECHNOLOGIES INC DE 7.01,8.01,9.01 11/27/07
BUCKLE INC NE 8.01,9.01 11/28/07
CABOT MICROELECTRONICS CORP DE 5.02 11/27/07
CAL MAINE FOODS INC DE 2.02,9.01 11/27/07
CALIFORNIA OIL & GAS CORP 3.02,5.02,9.01 11/20/07
CALLIDUS SOFTWARE INC 2.05,8.01 11/27/07
CAMBRIDGE HEART INC DE 1.01 11/21/07
Canyon Bancorp 8.01,9.01 11/27/07
CardioVascular BioTherapeutics, Inc. DE 8.01 11/26/07
CBRL GROUP INC TN 2.02,7.01,9.01 11/28/07
CEDAR SHOPPING CENTERS INC MD 5.03,9.01 11/27/07
CEF EQUIPMENT HOLDING LLC DE 8.01,9.01 11/20/07
Centerplate, Inc. DE 8.01 11/27/07
Chase Mortgage Finance Trust Series 2 DE 8.01,9.01 11/28/07
China 3C Group NV 1.01,9.01 11/22/07
CHINA BAK BATTERY INC NV 2.02,9.01 11/28/07
China Holdings Acquisition Corp. DE 8.01,9.01 11/21/07
China Public Security Technology, Inc 8.01,9.01 11/27/07
China Solar & Clean Energy Solutions, NV 8.01,9.01 11/28/07
China Yingxia International, Inc. FL 2.02,9.01 11/26/07
CHITTENDEN CORP /VT/ VT 8.01,9.01 11/28/07
CNB CORP /MI/ MI 8.01 11/27/07
COCA COLA ENTERPRISES INC DE 8.01 11/21/07 AMEND
COGENCO INTERNATIONAL INC CO 5.02,8.01,9.01 11/26/07
COLDWATER CREEK INC DE 2.02,9.01 11/28/07
COMMODORE APPLIED TECHNOLOGIES INC DE 8.01,9.01 11/27/07
COMMUNITY CAPITAL CORP /SC/ SC 5.03,9.01 11/28/07
CONSOLIDATED WATER CO LTD E6 8.01 11/22/07
Constant Contact, Inc. DE 1.01,9.01 11/26/07
COREL CORP A6 9.01 11/28/07
CORTLAND BANCORP INC OH 2.01,8.01 11/27/07
CRDENTIA CORP DE 1.01,2.03 11/21/07
CSMC Asset-Backed Trust 2007-NC1 DE 1.01,9.01 11/21/07
CULP INC NC 2.02,5.02,9.01 11/28/07
DANA CORP VA 8.01,9.01 11/27/07
DAWSON GEOPHYSICAL CO TX 5.03,9.01 11/21/07
Delek Resources, Inc. FL 5.02,9.01 11/16/07
DESERT CAPITAL REIT INC MD 1.01,1.02,2.01,7.01,9.01 11/21/07
DG FastChannel, Inc DE 1.01,2.01,5.02,9.01 05/31/06 AMEND
DG FastChannel, Inc DE 2.01,7.01,9.01 06/04/07 AMEND
DG FastChannel, Inc DE 2.01,9.01 08/14/07 AMEND
DIAMOND ENTERTAINMENT CORP NJ 5.02,9.01 11/28/07
DigitalPost Interactive, Inc. NV 1.01,9.01 11/28/07
DNB FINANCIAL CORP /PA/ PA 8.01,9.01 11/28/07
DOLLAR TREE STORES INC VA 2.02,7.01,9.01 11/28/07
DRESS BARN INC CT 2.02,9.01 11/27/07
DRESS BARN INC CT 7.01,9.01 11/27/07
DUPONT FABROS TECHNOLOGY, INC. MD 2.01,2.02,7.01,9.01 11/28/07
DURA AUTOMOTIVE SYSTEMS INC DE 7.01,9.01 11/28/07
DYCOM INDUSTRIES INC FL 7.01,9.01 11/28/07
EL PASO CORP/DE DE 8.01,9.01 11/28/07
El Paso Pipeline Partners, L.P. DE 1.01,2.01,2.03,3.02,5.02,5.03, 11/21/07
7.01,9.01
ELANDIA INTERNATIONAL INC. DE 1.01,3.02,9.01 11/21/07
EMERSON ELECTRIC CO MO 7.01 11/28/07
ENBRIDGE ENERGY PARTNERS LP DE 7.01,9.01 11/28/07
Endeavor Energy CORP NV 1.01,9.01 11/21/07
ENDO PHARMACEUTICALS HOLDINGS INC DE 7.01,9.01 11/28/07
ENER1 INC FL 7.01,9.01 11/28/07
ENVIRONMENTAL TECTONICS CORP PA 2.03,2.04 11/21/07
ERESEARCHTECHNOLOGY INC /DE/ DE 1.01,7.01,9.01 11/27/07
ESCO TECHNOLOGIES INC MO 1.01,2.01,9.01 11/25/07
Federal Home Loan Bank of Atlanta X1 7.01 11/28/07
Financial Media Group, Inc. NV 8.01,9.01 11/26/07
FIRST BANCORP /NC/ NC 8.01,9.01 11/28/07
FIRST FEDERAL BANCSHARES OF ARKANSAS TX 8.01,9.01 11/28/07
FIRST KEYSTONE CORP PA 5.02 11/28/07
FIRST PACTRUST BANCORP INC MD 8.01 11/28/07
FISERV INC WI 1.01,2.03,9.01 11/27/07
FISERV INC WI 5.02 08/21/07 AMEND
FNB CORP/FL/ FL 8.01,9.01 11/28/07
FORD MOTOR CO DE 8.01,9.01 11/28/07
FOX PETROLEUM INC. NV 1.01,3.02,9.01 10/24/07
FSONA SYSTEMS CORP. NV 3.02 10/16/07
Fuel Systems Solutions, Inc. DE 5.02,8.01 11/28/07
Future Now Group Inc. NV 4.01,9.01 10/30/07
GENESIS ENERGY LP DE 8.01,9.01 11/27/07
GLOBAL ADVANCE CORP DE 1.01,5.01,5.02,9.01 11/21/07
GOODRICH PETROLEUM CORP DE 7.01,9.01 11/27/07
GRAMERCY CAPITAL CORP MD 8.01,9.01 11/28/07
GREAT LAKES BANCORP, INC. DE 8.01,9.01 11/28/07
GREAT SOUTHERN BANCORP INC MD 7.01 11/28/07
GREATBATCH, INC. DE 1.01,8.01,9.01 11/21/07
GREENE COUNTY BANCORP INC DE 5.03,9.01 11/20/07
GREENFIELD ONLINE INC DE 8.01 11/28/07
GRYPHON GOLD CORP NV 7.01,9.01 11/28/07
HANDLEMAN CO /MI/ MI 5.02 11/27/07
HARMONIC INC DE 9.01 11/28/07
HCC INSURANCE HOLDINGS INC/DE/ DE 7.01,9.01 11/28/07
HEALTH MANAGEMENT ASSOCIATES INC DE 8.01,9.01 11/26/07
HEALTH NET INC DE 8.01 11/27/07
HEPALIFE TECHNOLOGIES INC FL 1.01,7.01,9.01 11/20/07
HUDSON CITY BANCORP INC DE 7.01,9.01 11/28/07
HUDSON VALLEY HOLDING CORP NY 8.01,9.01 11/27/07
HUSKER AG LLC NE 8.01 11/21/07
HydroGen CORP NV 3.01,7.01,9.01 11/21/07
I TRAX INC DE 1.01,3.02,9.01 11/27/07
ICF International, Inc. DE 8.01 11/28/07
IDEARC INC. DE 5.02 11/26/07
INDUSTRIAL MINERALS INC DE 3.02 11/23/07
INDYMAC MBS INC RESIDENTIAL ASSET SEC 8.01 11/25/07
IndyMac RAST 2004-R2 8.01 11/25/07
INERGY HOLDINGS, L.P. 2.02,7.01,9.01 11/28/07
INERGY L P DE 2.02,7.01,9.01 11/28/07
Information Services Group Inc. DE 2.02,9.01 11/28/07
Inland American Real Estate Trust, In MD 2.01,9.01 11/28/07
International Coal Group, Inc. DE 5.03,9.01 11/28/07
INTERNATIONAL IMAGING SYSTEMS INC 4.01,9.01 11/21/07
INTERNET BRANDS, INC. DE 5.03,9.01 11/21/07
Intrepid Holdings, Inc. NV 5.02,9.01 11/28/07
ION GEOPHYSICAL CORP DE 3.02,9.01 11/27/07
J P MORGAN CHASE & CO DE 9.01 11/26/07
J&J SNACK FOODS CORP NJ 8.01,9.01 11/27/07
Jaguar Acquisition Corp. DE 8.01,9.01 11/28/07
JDS UNIPHASE CORP /CA/ DE 7.01,9.01 11/27/07
JO-ANN STORES INC OH 2.02,9.01 11/28/07
Juniper Content Corp DE 5.03,9.01 11/27/07
K-9 Concepts, Inc. NV 1.01,3.02,9.01 11/28/07
Kelyniam Global, Inc. NV 5.03,7.01,8.01 10/24/07
Language Enterprises Corp. 5.01,5.02,9.01 11/21/07
LEE ENTERPRISES, INC DE 5.02,9.01 11/27/07
LEFT BEHIND GAMES INC. WA 5.02 11/26/07
LIBERTY BANCORP INC 5.03,9.01 11/21/07
LIFEPOINT HOSPITALS, INC. 8.01,9.01 11/26/07
LINCOLN NATIONAL CORP IN 5.04,9.01 11/21/07
LITTLE SQUAW GOLD MINING CO AK 8.01,9.01 11/27/07
LIVEDEAL INC NV 5.02,9.01 11/20/07
MAGNITUDE INFORMATION SYSTEMS INC DE 7.01,9.01 11/27/07
MAINSTREET FINANCIAL CORP 5.02 11/21/07
MARINE GROWTH VENTURES INC 1.01,9.01 11/27/07
MAXIM INTEGRATED PRODUCTS INC DE 5.02 11/21/07
MAXUS REALTY TRUST INC. 3.01,7.01 11/21/07
MEADOWBROOK INSURANCE GROUP INC MI 7.01,9.01 11/27/07
MEDIS TECHNOLOGIES LTD DE 1.01,9.01 11/26/07
MENS WEARHOUSE INC TX 2.02,9.01 11/28/07
MERCADOLIBRE INC 5.02 11/21/07
Mercantile Bancorp, Inc. DE 5.03,9.01 11/20/07
MERRILL LYNCH & CO INC DE 8.01,9.01 11/28/07
MERRILL LYNCH & CO INC DE 8.01,9.01 11/28/07
Millennium India Acquisition CO Inc. DE 8.01 11/28/07 AMEND
Millennium India Acquisition CO Inc. DE 7.01,9.01 11/28/07 AMEND
MISSION COMMUNITY BANCORP CA 8.01,9.01 11/27/07
ML MACADAMIA ORCHARDS L P DE 1.01,9.01 11/23/07
MOMENTUM BIOFUELS, INC. CO 5.02 11/27/07
MOOG INC NY 5.02,9.01 11/28/07
MOOG INC NY 8.01,9.01 11/28/07
MUNICIPAL MORTGAGE & EQUITY LLC DE 1.01,9.01 11/21/07
NANOSENSORS INC 1.01,7.01,9.01 11/27/07
NATIONAL CITY AUTO RECEIVABLES TRUST 8.01,9.01 11/15/07
NAVISITE INC DE 9.01 09/12/07 AMEND
NAVISTAR INTERNATIONAL CORP DE 2.02,7.01,9.01 11/28/07
NETEZZA CORP 2.02,9.01 11/28/07
Nitar Tech Corp. DE 5.02 11/19/07
NORTHWEST PIPELINE GP 1.01,9.01 11/21/07
NxStage Medical, Inc. DE 1.01,1.02,2.03,9.01 11/21/07
ODYSSEY HEALTHCARE INC DE 7.01,9.01 11/28/07
OLYMPIC STEEL INC OH 1.01,9.01 11/28/07
OPEN ENERGY CORP NV 1.01,9.01 11/27/07
OPTI INC CA 7.01 11/27/07
OPTIMER PHARMACEUTICALS INC 5.02 11/27/07
ORASURE TECHNOLOGIES INC DE 7.01,9.01 11/28/07
OTTER TAIL CORP MN 5.03,9.01 11/26/07
OVERHILL FARMS INC NV 8.01,9.01 11/28/07
PACIFIC SUNWEAR OF CALIFORNIA INC CA 5.02,5.03,7.01,9.01 11/27/07
PATHFINDER BANCORP INC DE 5.03,9.01 11/28/07
PEABODY ENERGY CORP DE 7.01,9.01 11/28/07
PEP BOYS MANNY MOE & JACK PA 2.02,8.01,9.01 11/27/07
PETROLEUM DEVELOPMENT CORP NV 1.01,2.03 11/28/07
Piedmont Office Realty Trust, Inc. MD 8.01 11/28/07
PIPELINE DATA INC 4.02 06/30/07 AMEND
PLANTRONICS INC /CA/ DE 2.02,2.05 11/27/07
PORTALTOCHINA COM 5.02 11/28/07
POSSIS MEDICAL INC MN 7.01,9.01 11/28/07
PREMIER FINANCIAL BANCORP INC KY 1.01,7.01,9.01 11/27/07
PRINCIPAL FINANCIAL GROUP INC DE 5.02,7.01,9.01 11/27/07
PRINCIPAL LIFE INSURANCE CO IA 9.01 11/23/07
PRIVATEBANCORP, INC DE 7.01 11/28/07
PROGRESS ENERGY INC NC 1.02,5.02 11/20/07
PROVIDENT FINANCIAL HOLDINGS INC DE 8.01,9.01 11/28/07
PROVIDENT FINANCIAL HOLDINGS INC DE 8.01 11/28/07
PRUDENTIAL FINANCIAL INC NJ 5.02,9.01 11/28/07
Rand Logistics, Inc. DE 7.01,9.01 11/14/07 AMEND
ROHM & HAAS CO DE 1.01 11/27/07
Rosetta Resources Inc. DE 7.01,9.01 11/28/07
SABA SOFTWARE INC DE 5.03,9.01 11/27/07
SAFETY INSURANCE GROUP INC DE 8.01 11/27/07
SANGUINE CORP NV 1.01,3.02,5.01,8.01,9.01 11/21/07
SANMINA-SCI CORP DE 1.01 11/28/07
SENESCO TECHNOLOGIES INC DE 4.01,9.01 10/22/07 AMEND
SENSUS METERING SYSTEMS INC 5.02,9.01 11/28/07
SERVICEMASTER CO DE 5.02 11/20/07
SIGMA DESIGNS INC CA 2.02,9.01 11/28/07
Sino Gas International Holdings, Inc. UT 1.01,2.01,3.02,3.03,4.01,5.01, 09/07/06 AMEND
5.06,8.01,9.01
SLC Student Loan Trust 2007-2 DE 1.01,2.01,9.01 11/28/07
SLM CORP DE 5.02 11/26/07
SMITHTOWN BANCORP INC NY 8.01 11/27/07
SOUTHERN MICHIGAN BANCORP INC MI 8.01,9.01 11/27/07
SPAR GROUP INC DE 3.01,9.01 11/21/07
Star Resorts Development Inc. NV 3.02,9.01 10/23/07
STIFEL FINANCIAL CORP DE 8.01 11/28/07
Strategic Resources Ltd. NV 8.01,9.01 11/28/07
SYCAMORE NETWORKS INC DE 2.02,9.01 11/28/07
SYNTAX-BRILLIAN CORP DE 7.01,9.01 11/28/07
Syprus, Inc. NV 3.02,5.01,5.06,9.01 11/28/07
TAMM Oil & Gas Corp. NV 1.01,3.02,9.01 11/07/07
TAMM Oil & Gas Corp. NV 5.02 11/27/07
TERRA NOSTRA RESOURCES CORP. NV 5.02 11/23/07
THESTREET COM DE 5.02,9.01 11/21/07
TITANIUM METALS CORP DE 2.01,7.01,9.01 11/27/07
TIVO INC DE 2.02,9.01 11/28/07
TIVO INC DE 8.01 11/28/07
TORBAY HOLDINGS INC DE 3.01 11/20/07
TRANS ENERGY INC NV 8.01,9.01 11/23/07
TRANSCONTINENTAL GAS PIPE LINE CORP DE 1.01,9.01 11/21/07
TRIZETTO GROUP INC DE 5.03,9.01 11/21/07
Tropicana Entertainment, LLC DE 5.02,8.01,9.01 11/21/07
TXCO Resources Inc DE 7.01,8.01,9.01 11/28/07
ULTRA CLEAN HOLDINGS INC 8.01 11/26/07
UNITED BANCORP INC /MI/ MI 5.02 11/28/07
United Financial Bancorp Inc 8.01,9.01 11/27/07
United Financial Bancorp, Inc. MD 8.01,9.01 11/27/07
VECTREN CORP IN 2.02,7.01 11/28/07
VENTAS INC DE 8.01,9.01 11/27/07
VIRGIN MEDIA INC. DE 8.01 11/27/07
VUBOTICS INC NV 5.02,9.01 11/28/07
WACHOVIA ASSET SECURITIZATION INC 200 8.01,9.01 11/26/07
WACHOVIA ASSET SECURITIZATION INC AST 8.01,9.01 11/26/07
WARWICK VALLEY TELEPHONE CO NY 9.01 11/28/07
WELLCARE HEALTH PLANS, INC. DE 1.01,9.01 11/21/07
Wells Fargo Alternative Loan 2007-PA6 DE 9.01 11/28/07
Wells Fargo Mortgage Backed Securitie DE 9.01 11/28/07
WHERIFY WIRELESS INC DE 5.02,9.01 11/20/07
WHITE ELECTRONIC DESIGNS CORP ID 2.02,9.01 11/28/07
WILLIAMS COMPANIES INC DE 1.01,9.01 11/21/07
Williams Partners L.P. 1.02 11/21/07
WORLD AM, INC. 5.02 11/13/07
XSUNX INC CO 1.01,5.02,7.01,9.01 11/26/07
Znomics, Inc. NV 8.01,9.01 11/27/07
http://www.sec.gov/news/digest/2007/dig112907.htm
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