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SEC NEWS DIGEST
Issue 2007-233 December 5, 2007
COMMISSION ANNOUNCEMENTS
SEC SUSPENDS TRADING IN THE STOCK OF KIMBER-X RESOURCES CORP.
On December 5, as part of its Anti-Spam Initiative, the Securities and
Exchange Commission ordered the temporary suspension of trading in the
securities �of Kimber-X Resources Corp. (Kimber-X) pursuant to Section
12(k) �of �the �Exchange �Act, �commencing at 9:30 a.m. EST on Dec. 5,
2007, �and �terminating �at �11:59 �p.m. �EST �on �Dec. �18, 2007. The
securities �of Kimber-X are quoted on the Pink Sheets under the symbol
KRXR.
The �Commission �ordered �this trading suspension because of questions
that �have �arisen �regarding �the adequacy and accuracy of Kimber-X's
press �releases and other publicly-disseminated information concerning
the ���company's �current �operations, �issuance �of �securities, �and
transactions in company stock by company insiders.
The ��Commission ��cautions ��brokers, ��dealers, ��shareholders, �and
prospective ��purchasers �that �they �should �carefully �consider �the
foregoing ��information �along �with �all �other �currently �available
information and any information subsequently issued by Kimber-X.
Further, �brokers �and �dealers �should �be �alert �to �the fact that,
pursuant to Rule 15c2-11 under the Exchange Act, at the termination of
the �trading �suspension, no quotation may be entered unless and until
they have strictly complied with all of the provisions of the rule. If
any �broker �or �dealer �has any questions as to whether or not it has
complied �with �the �rule, �it �should �not �enter �any �quotation but
immediately �contact the staff in the Division of Trading and Markets,
Office �of �Interpretation �and �Guidance, �at �(202) 551-5760. If any
broker �or dealer is uncertain as to what is required by Rule 15c2-11,
it �should �refrain �from entering quotations relating to the Kimber-X
securities until such time as it has familiarized itself with the rule
and is certain that all of its provisions have been met. If any broker
or �dealer �enters any quotation that is in violation of the rule, the
Commission will consider the need for prompt enforcement action.
The �Staff �acknowledges �the assistance of the Saskatchewan Financial
Services Commission.
The �SEC's Office of Investor Education and Assistance has information
for �investors �and �members �of the general public on topics directly
related �����to �����this �����action �����by �����the �����SEC. ��See
http://www.sec.gov/investor/35tradingsuspensions.htm for a compilation
of helpful links.
Any �broker, �dealer or other person with information relating to this
matter �is invited to e-mail the Securities and Exchange Commission at
35suspensions@sec.gov. (Rel. 34-56897)
H. DAVID KOTZ NAMED NEW INSPECTOR GENERAL AT SEC
The �Securities �and Exchange Commission announced today that H. David
Kotz �has �been �named the agency's new Inspector General. Mr. Kotz is
currently Inspector General of the Peace Corps.
As �the SEC's Inspector General, Mr. Kotz will conduct independent and
objective �audits, �investigations �and �inspections �to detect waste,
fraud and abuse, and promote economy, effectiveness and efficiency. He
also �will �issue �fact-based �reports in accordance with professional
standards.
Under �the �Inspector �General �Act of 1978, Inspectors General have a
dual �and independent reporting relationship to the agency head and to
Congress. �Appointments �are �based �on �integrity and ability in such
areas ���as ��accounting, ��auditing, ��financial ��analysis, ��public
administration and law, without regard to political affiliation.
"The �Office �of �Inspector �General has an enormous responsibility to
both �the �agency �and �the �public �that �requires �a �principled and
independent �leader," said SEC Chairman Christopher Cox. "Mr. Kotz has
demonstrated ��consistent �strength, �independence �and �integrity �as
Inspector �General �of �the �Peace �Corps. �He will be responsible for
assessing ���all �aspects �of �the �Commission's �programs �to �ensure
efficiency, effectiveness and accountability."
Mr. Kotz said, "I appreciate this opportunity to play an integral role
in �ensuring �that �the �SEC �effectively fulfills its mission. I look
forward �to working with the professional staff of the SEC's Office of
Inspector �General �to �further �the �Commission's �commitment �to the
highest standards of efficiency, integrity and credibility."
As �Inspector General at the Peace Corps since February 2006, Mr. Kotz
was �responsible for overseeing the internal operations of Peace Corps
programs in Washington, D.C., at 11 regional offices, and in nearly 70
countries �around �the �world. �After joining the Peace Corps staff in
October �2002, he was an Associate General Counsel for more than three
years.
Mr. �Kotz �previously �worked �at �the �U.S. �Agency for International
Development (USAID), where he was an Attorney Advisor in the Office of
the �General �Counsel �and �later �a �Chief in the Office of Labor and
Employee �Relations. �Prior to his government service, Mr. Kotz worked
at �three �law firms: Pepper Hamilton LLP in Washington D.C.; Stults &
Balber, �P.C., �in New York City; and Graham & James in New York City.
Mr. �Kotz �graduated cum laude from the University of Maryland in 1987
with a B.A. in Government and Politics, and earned his J.D. at Cornell
Law School in 1990.
Mr. �Kotz �replaces Walter Stachnik, who recently retired from the SEC
after 30 years of government service. (Press Rel. 2007-251)
JOHN �LOESCH �NAMED �DEPUTY �DIRECTOR �IN �SEC'S �OFFICE �OF �INVESTOR
EDUCATION AND ADVOCACY
The �Securities �and �Exchange �Commission �announced �today that John
Loesch �has �been �named �Deputy �Director �of �the agency's Office of
Investor �Education �and �Advocacy �(OIEA), �which �is �undergoing �an
expansion announced by SEC Chairman Christopher Cox earlier this year.
"John �brings significant enforcement and management experience to the
job �and �OIEA �is �fortunate �to have him join the team," said Kristi
Kaepplein, �Director of OIEA. "John's leadership skills and commitment
to �the �protection �of �investors �will serve OIEA well as it acts as
advocate on issues important to individual investors."
Mr. �Loesch �said, �"I �am excited to begin working with the dedicated
professionals �of �OIEA �and �look forward to the opportunity to serve
individual �investors, �especially �in �light of Chairman Cox's recent
expansion of the office."
As �Deputy �Director, �Mr. �Loesch �will play an important role in the
management ��of �the �office, �recently �restructured �to �handle �new
responsibilities. He will advise and assist the Director with planning
and �managing �several �new initiatives, including assessing the views
and �needs �of �retail investors, ensuring that those views inform the
Commission's �regulatory �policies �and disclosure programs, improving
financial �literacy, �and �helping �investors make informed investment
decisions.
Mr. Loesch joins OIEA from the SEC's Division of Enforcement, where he
has served as senior counsel and branch chief since September 1999. In
that ���capacity, �he �supervised �a �number �of �complex �enforcement
investigations �in several major program areas and was one of the lead
attorneys �assigned �to �the �Enforcement �Division's investigation of
Enron Corporation.
Before �his �SEC �service, �Mr. �Loesch �worked �in the U.S. Senate as
counsel to the Committee on Governmental Affairs and in the U.S. House
of �Representatives �as �counsel to the Committee on Education and the
Workforce. �Prior �to �that, he served as a surface warfare officer in
the United States Navy.
Mr. �Loesch �received �his undergraduate degree from the United States
Naval �Academy �and �earned �his law degree from the University of San
Diego School of Law. (Press Rel. 2007-252)
SEC'S �OFFICE �OF �INTERACTIVE �DISCLOSURE �URGES �PUBLIC �COMMENT �AS
INTERACTIVE DATA MOVES CLOSER TO REALITY FOR INVESTORS
The ��Securities �and �Exchange �Commission's �Office �of �Interactive
Disclosure �today �heralded the release for public comment of computer
labels �that will help companies make their financial disclosures more
useful for investors.
The �labels �are already supported by at least nine software companies
whose �products �will �enable �public �companies to make quarterly and
annual financial reports available in interactive data form instead of
text �form. Interactive data concepts allow companies to present their
financial ���information �in �an �electronic �format �that �investors,
analysts, and others can use to more easily locate and analyze desired
information. �The �interactive �data �is �encoded in a format known as
eXtensible �Business Reporting Language (XBRL), which allows companies
to �map �their �financial �information to a set of computer codes that
represent �U.S. �GAAP �accounting standards. This standardized list of
codes used to represent U.S. GAAP is known as a taxonomy.
The SEC's Office of Interactive Disclosure, created in October to lead
the �transformation �to �interactive �financial �reporting �by �public
companies, �encourages �broad �public �review �of the taxonomy and the
corresponding �instructions �about how to create a financial statement
in XBRL.
"We've ��been �saying �that �interactive �data �is �on �the �brink �of
transforming �the review and analysis of financial information for the
benefit ���of �investors �and �public �companies �alike," �said �David
Blaszkowsky, �Director �of the SEC's Office of Interactive Disclosure.
"With �the �release of this taxonomy today, investors can now begin to
visually see the progress being made, and so will every public company
that �uses GAAP. Interactive data is no longer merely an up-and-comer,
it's �becoming �reality. �We �encourage �both �users �and preparers of
financial �information �to participate in this public review so we can
advance �interactive �data �to �be �recognized �as, �not �only amazing
technology, �but �a �superior way of doing business and making faster,
cheaper, and more informed investment decisions."
The �SEC launched its interactive data filing initiative in April 2005
to �make �filings �more �accessible �and �understandable to the common
investor. A test group of public companies have since been voluntarily
submitting ��XBRL �documents �as �exhibits �to �periodic �reports �and
Investment �Company Act filings. Through feedback from these voluntary
XBRL �filers �and a global collaboration of technologists, the XBRL US
project �team �created �tags �for �a financial reporting taxonomy that
covers �every U.S. GAAP accounting concept - virtually every fact that
a �company might want to report on its financial statements and in its
footnotes.
The �SEC �will use the initial financial statements prepared using the
new �taxonomy �to �help �it �update �its �electronic �filing system to
seamlessly accept and render the filings.
A �free �taxonomy review tool is publicly available on the Internet at
http://usgaap.xbrl.us along with other information, including the nine
software �companies �whose �products are compatible with the new draft
taxonomy. The public comment period ends on April 5, 2008. (Press Rel.
2007-253)
COMMISSION MEETINGS
Following �is �a �schedule �of �Commission �meetings, �which �will �be
conducted �under �provisions �of �the �Government in the Sunshine Act.
Meetings �will �be �scheduled �according to the requirements of agenda
items under consideration.
Open �meetings �will �be �held �in �the �Auditorium, Room L-002 at the
Commission's �headquarters �building, �100 F Street, N.E., Washington,
D.C. �Visitors �are �welcome at all open meetings, insofar as space is
available. �Persons �wishing �to �photograph �or �videotape Commission
meetings �must �obtain permission in advance from the Secretary of the
Commission. Persons wishing to tape record a Commission meeting should
notify the Secretary's office 48 hours in advance of the meeting.
Any �member �of �the public who requires auxiliary aids such as a sign
language �interpreter �or �material on tape to attend a public meeting
should �contact �Rochelle �Franks, �Office of Human Resources, to make
arrangements. �Ms. Franks can be reached at TTY number (202) 551-4106.
In �the �event �Ms. �Franks �cannot �be �reached, �you �may �call �the
interpreter �directly at (202) 551-4158. If you are calling from a non
TTY number, please call the Relay Service at 1 866 377 8642.
OPEN MEETING - TUESDAY, DECEMBER 11, 2007 - 10:00 A.M.
The subject matter of the open meeting scheduled for Tuesday, December
11, will be:
1. The Commission will consider whether to approve the 2008 budget of
the �Public �Company �Accounting Oversight Board and will consider the
related �annual accounting support fee for the Board under Section 109
of the Sarbanes-Oxley Act of 2002.
2. The �Commission �will �consider whether to adopt amendments to the
eligibility �requirements �of �Form S-3 and Form F-3 of the Securities
Act �of �1933 �to �allow companies that do not meet the current public
float �requirements �of �the �forms �to �nevertheless register primary
offerings �of �their �securities, �subject �to �certain �restrictions,
including �the �amount of securities those companies may sell pursuant
to the expanded eligibility standard in any one-year period.
3. The Commission will consider whether to adopt amendments to mandate
electronic filing of Form D and revise the information requirements of
that �form. �Form D is a notice required to be filed by companies that
have �sold securities without registration under the Securities Act of
1933 �based on a claim of exemption under Regulation D or Section 4(6)
of the Act. Form D filings are also required by most states.
4. The �Commission will consider whether to publish a concept release
to solicit public comment concerning possible revisions to the oil and
gas �reserves �disclosure �requirements. �These �requirements exist in
their �current �form �in �Item �102 of Regulation S-K and Rule 4-10 of
Regulation �S-X �under �the �Securities Act of 1933 and the Securities
Exchange Act of 1934.
OPEN �MEETING �- �THURSDAY, �DECEMBER �13, �2007 �- 9:00 A.M. AND OPEN
MEETING - MONDAY, DECEMBER 17, 2007 - 9:00 A.M.
The �subject �matter �of �the �open �meetings �to be held on Thursday,
December �13, �at �9:00 �a.m. and on Monday, December 17, at 9:00 a.m.
will be:
The �Commission will hold roundtable discussions on whether to provide
U.S. �issuers �the �choice �of reporting their financial results under
International �Financial �Reporting �Standards. �The �roundtables will
further �explore �the �matters �covered �in �the �Commission's Concept
Release �on �Allowing �U.S. Issuers to Prepare Financial Statements in
Accordance �with �International Financial Reporting Standards (Release
33-8831; 34-56217) and the responses received.
CLOSED MEETING - THURSDAY, DECEMBER 13, 2007 - 2:00 P.M.
The �subject �matter �of �the �closed �meeting scheduled for Thursday,
December �13, will be: Formal orders of investigation; Institution and
settlement �of �injunctive �actions; �Institution �and �settlement �of
administrative �proceedings of an enforcement nature; and Adjudicatory
matters. ��
At �����times, ���changes ���in ���Commission ���priorities ���require
alterations ����in �the �scheduling �of �meeting �items. �For �further
information �and �to �ascertain what, if any, matters have been added,
deleted �or �postponed, please contact: The Office of the Secretary at
(202) 551-5400.
ENFORCEMENT PROCEEDINGS
COMMISSION �DENIES �IN �PART �AND �GRANTS �IN PART CHARLES E. GAECKE'S
PETITION TO VACATE A 1994 COMMISSION BAR ORDER
The �Commission �has �denied in part and granted in part a petition by
Charles �E. �Gaecke to vacate a 1994 Commission bar order entered with
his consent.
In �the �1994 �order, the Commission found that Gaecke willfully aided
and �abetted �his �former �investment �advisory �firm's �diversion �of
$123,000 �from �a �client's �brokerage �account; aided and abetted the
firm's �failure �to �provide �clients �with quarterly statements as to
funds �held �in �custody, �to �have client funds verified by an annual
surprise �audit, �and �to �file annual audited balance sheets with the
Commission; �and �filed �Forms ADV that falsely stated that the former
firm �did �not �have �custody �of �client �funds and omitted requisite
audited �balance sheets. The Commission barred Gaecke from association
with �a �broker, �dealer, �investment �adviser, investment company, or
municipal securities dealer and imposed other sanctions.
Since �the �entry of the bar order, Gaecke has published an investment
newsletter, �apparently �in reliance on the publisher's exclusion from
the definition of investment adviser in the Investment Advisers Act of
1940. �In �his petition, Geacke asked the Commission to "lift, rescind
or �modify" �the �bar �order �so �that �he can reassure clients of the
legality of the newsletter under the Advisers Act.
The �Commission �determined that there are no compelling circumstances
that �warrant �vacating �the bar order. In reaching this decision, the
Commission ��noted �that �the �nature �of �the �misconduct �at �issue,
particularly �the �misappropriation of advisory client funds, involved
serious �violations �of �the �federal �securities �laws �and that only
thirteen years have passed since imposition of the bar. The Commission
also �determined, �however, �that it was appropriate to modify the bar
order �by �vacating �that �portion prohibiting Gaecke from association
with �a �broker, �dealer, �investment company, or municipal securities
dealer. (Rel. IA-2681; File No. 3-8424)
SEC �FILES �SETTLED �INSIDER TRADING CHARGES AGAINST CHEYENNE, WYOMING
ATTORNEY �JAMES �R. �BELCHER
On �December �3, �the �Commission �filed �a �settled �civil injunctive
action �in �the �U.S. �District �Court �for �the �District of Colorado
against James R. Belcher. Belcher is an attorney and �was a partner in
the �Cheyenne, �Wyoming �office �of a large regional law firm based in
Denver, �Colorado. �Belcher �was �charged �with �engaging �in �illegal
insider �trading �by �purchasing �shares �of �Western �Gas �Resources,
Inc. �(Western), �formerly �a �Denver-based �company �engaged �in �the
exploration �and �production �of �natural �gas, �in �violation �of the
antifraud provisions of the federal securities laws. Without admitting
or �denying the allegations in the Commission's complaint, Belcher has
agreed �to �settle �this �matter by consenting to the entry of a final
judgment against him which imposes injunctive and monetary relief.
The �complaint �alleges �that �Western, �a �client �of �Belcher's �law
firm, �engaged �Belcher �to �provide �legal �advice �regarding whether
approval �by �a �Wyoming �regulatory �body �was �required in the event
Western �merged �into �another �entity. �Thereafter, �Western provided
Belcher �with �more �detailed �information related to the contemplated
merger transaction. The �complaint �alleges �that on the basis of that
material, �nonpublic �information, on June 19, 2006, Belcher purchased
800 shares of Western at �$40.83 �per share. Western announced on June
23, �2006, �that �it �was merging into Anadarko Petroleum Corporation.
Western's share price, which �had �closed �at �approximately �$41 �on
June �22, �rose 46% to approximately �$60 �a �share �by �the �close of
the �market �on �June �23. �Belcher �sold �his �shares �and is alleged
to �have made profits of $15,537.
The �complaint �alleges �that �Belcher �knew, �or �was reckless in not
knowing, ���that �he �purchased �Western �shares �based �on �material,
nonpublic information obtained from his firm's client, and in so doing
breached a fiduciary duty owed to Western's shareholders. Based on the
facts �alleged, �the Commission charged Belcher with violating Section
10(b) ��of �the �Securities �Exchange �Act �of �1934 �and �Rule �10b-5
thereunder. �Without �admitting �or �denying �the �allegations �in the
complaint, �Belcher �has �consented �to �the entry of a final judgment
that: �(i) permanently enjoins him from violating Section 10(b) of the
Exchange �Act and Rule 10b-5 thereunder; (ii) requires him to disgorge
$15,537 �in �illicit gains and $1,171 in prejudgment interest thereon;
and �(iii) �additionally orders him to pay a civil penalty of $15,537.
[SEC �v. �James �R. Belcher, C.A.. No. 07-CV-02507-LTB (D. Colo.) (LR-
20382)
SEC �CHARGES �MARC �A. �FREEDMAN �WITH �DEFRAUDING INVESTMENT ADVISORY
CLIENTS
The ��Commission �announced �that �today �it �filed �securities �fraud
charges �in �the �U.S. �District �Court �for �the District of Maryland
against �Marc �A. �Freedman �of �Gaithersburg, �Maryland. Freedman was
the President, Chief Compliance Officer and part-owner of TriCapital �
Advisors, ��Inc. ��(TriCapital), ��an �investment adviser registered �
with ���the �Commission �and �located �in �North �Bethesda, �Maryland.
Without �admitting �or �denying �the �allegations �of �the Complaint,
Freedman �has �consented �to the entry of a final judgment permanently
enjoining �him �from �engaging �in �the �violations �set �forth below.
Freedman �has �also �agreed �to an Order by the Commission barring him
from �association �with �any investment adviser.
The Commission's Complaint ���alleges �that, �between �1999 �and �June
2005, ��Freedman �misappropriated �approximately �$2.38 �million �from
three �TriCapital �clients, �falsely �representing to the clients that
the �funds �had �been �invested �for �them, �or �had �been used to pay
investment advisory fees owed �to �TriCapital. �In �order �to �conduct
and �conceal �his �fraud, �Freedman created and distributed to clients
false ����account ��statements ��and ��other ��documents, ��and ��made
additional ���untrue ���statements ���in ���correspondence ���and ��in
conversations �with these clients. The Complaint alleges that Freedman
transferred �the �stolen client funds to brokerage or bank accounts he
controlled. �He �then �used �the �stolen funds to repay two TriCapital
clients �he �had �previously �defrauded �and �for a variety of his own
personal expenses and debts, including, among other things, vacations,
cars, �credit �card �bills, �and �his �daughter's �college expenses. �
The �Complaint �alleges �that �Freedman �violated Section 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
206(2) �of �the �Investment �Advisers �Act �of �1940, �and �seeks �the
imposition �of �a �permanent �injunction.
There �is �a �pending �criminal �proceeding �against �Freedman �in the
District �of �Maryland �based �on �similar �conduct. �[SEC �v. Marc A.
Freedman, Civil Action No. 07-3263, DKC (D.Md.)] (LR-20383)
INVESTMENT COMPANY ACT RELEASES
TOWER 21st CENTURY FUND, LLC, ET AL.
An order has been issued on an application filed by Tower 21st Century
Fund, �LLC �and �Sonnenschein Nath & Rosenthal LLP under Sections 6(b)
and �6(e) �of �the �Investment �Company Act. The order exempts certain
investment �vehicles �formed �for �the �benefit �of �partners �and key
eligible current and former employees of Sonnenschein Nath & Rosenthal
LLP �and �its �affiliates �from �certain �provisions �of the Act. Each
investment �vehicle �will be an "employees' securities company" within
the �meaning of Section 2(a)(13) of the Act. (Rel. IC-28072 - December
4)
NATIONAL PRESTO INDUSTRIES, INC.
The �Commission �has �issued �an �order �under �Section �38(a) �of the
Investment Company Act declaring that National Presto Industries, Inc.
shall not be deemed to have been registered under the Act by virtue of
the �Form �N-8A �it filed with the Commission on March 22, 2006. (Rel.
IC-28073 - December 4)
BTOP50 MANAGED FUTURES FUND AND ASSET ALLIANCE ADVISORS, INC.
An �order �has �been �issued on an application filed by BTOP50 Managed
Futures �Fund �and Asset Alliance Advisors, Inc. under Section 6(c) of
the �Investment �Company Act granting an exemption from Sections 18(c)
and �18(i) of the Act. The order permits certain registered closed-end
management �investment �companies to issue multiple classes of shares.
(Rel. IC-28074 - December 4)
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A �proposed rule change (SR-NASDAQ-2007-065) filed by The NASDAQ Stock
Market �conforming �SRO �rules to changes to Rule 10a-1 and Regulation
SHO �has �become �effective �under Section 19(b)(3)(A). Publication is
expected in the Federal Register during the week of December 10. (Rel.
34-56867)
A �proposed �rule �change (SR-BSE-2007-49) and Amendment No. 1 thereto
filed �by �the Boston Stock Exchange relating to 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 December 10. (Rel. 34-56889)
APPROVAL OF PROPOSED RULE CHANGES
The �Commission �granted �approval �of a proposed rule change (SR-OCC-
2007-08) �filed �by �The Options Clearing Corporation to permit OCC to
clear �and �settle �various �types �of �binary options including fixed
return �options �and binary options on broad-based securities indexes.
Publication �is �expected �in �the Federal Register during the week of
December 10. (Rel. 34-56875)
The �Commission �approved �a �proposed �rule �change �submitted by the
American �Stock �Exchange (SR-AMEX-2007-56) that would amend Amex Rule
724 �to �require �all �members �to �designate an off-floor contact for
resolving �uncompared �transactions. �Publication �is �expected in the
Federal Register during the week of December 10. (Rel. 34-56882)
SECURITIES ACT REGISTRATIONS
The �following �registration �statements �have been filed with the SEC
under �the Securities Act of 1933. The reported information appears as
follows: �Form, �Name, �Address and Phone Number (if available) of the
issuer of the security; Title and the number and/or face amount of the
securities ��being �offered; �Name �of �the �managing �underwriter �or
depositor �(if �applicable); �File �number �and �date �filed; Assigned
Branch; and a designation if the statement is a New Issue.
Registration statements may be obtained in person or by writing to the
Commission's ����Public �Reference �Branch �at �100 �F �Street, �N.E.,
Washington, �D.C. �20549-1090 �or at the following e-mail box address:
publicinfo@sec.gov. �In most cases, this information is also available
on the Commission's website: www.sec.gov.
S-8 CHINA TECHNOLOGY DEVELOPMENT GROUP CORP,
34TH FLOOR, WEST TOWER, SHUNTAK CENTRE, HONG KONG, K3, 00000,
852-2105-6253 - 1,000,000 ($5,040,000.00) Equity, (File 333-147806 -
Dec. 4) (BR. 03A)
S-3 IDAHO POWER CO, 1221 W IDAHO ST, PO BOX 70, BOISE, ID, 83702,
2083882200 - 0 ($350,000,000.00) Debt, (File 333-147807 - Dec. 4)
(BR. 02B)
S-8 GREAT ATLANTIC & PACIFIC TEA CO INC, 2 PARAGON DR, MONTVALE, NJ, 07645,
2015739700 - 12,294,118 ($372,388,834.22) Equity, (File 333-147808 -
Dec. 4) (BR. 02A)
S-3ASR MCCORMICK & CO INC, 18 LOVETON CIRCLE, P O BOX 6000, SPARKS, MD, 21152,
4107717301 - 0 ($0.00) Debt, (File 333-147809 - Dec. 4) (BR. 04A)
S-3 BTU INTERNATIONAL INC, 23 ESQUIRE ROAD, NORTH BILLERICA, MA, 01862,
5086674111 - 0 ($45,000,000.00) Equity, (File 333-147811 - Dec. 4)
(BR. 10A)
S-8 TRIO TECH INTERNATIONAL, 14731 CALIFA STREET, VAN NUYS, CA, 91411,
818-787-7000 - 0 ($4,820,000.00) Equity, (File 333-147817 - Dec. 4)
(BR. 10C)
S-3 Globalstar, Inc., 461 SOUTH MILPITAS BLVD., MILPITAS, CA, 95035,
408-933-4000 - 0 ($246,432.00) Equity, (File 333-147819 - Dec. 4)
(BR. 11B)
SB-2 CONOLOG CORP, 5 COLUMBIA RD, SOMERVILLE, NJ, 08876, 9087228081 -
1,439,500 ($2,504,730.00) Equity, (File 333-147821 - Dec. 4) (BR. 10A)
S-3 MRU HOLDINGS INC, 1114 AVENUE OF THE AMERICAS, NEW YORK, NY, 10036,
(212) 398-1780 - 5,180,000 ($3.96) Equity, (File 333-147822 - Dec. 4)
(BR. 07A)
S-8 AVATECH SOLUTIONS INC, 11403 CRONHILL DRIVE, SUITE A, OWING MILLS, MD,
21117, 4109026900 - 1,017,156 ($67,100.97) Equity, (File 333-147823 -
Dec. 4) (BR. 03A)
SB-2 PACIFIC GOLD CORP, 465 SOUTH MEADOWS PARKWAY, SUITE 20, RENO, NV,
89521, 888-257-4193 - 25,000,000 ($1,350,000.00) Equity,
(File 333-147824 - Dec. 4) (BR. 04A)
N-2 BLACKROCK SENIOR FLOATING RATE FUND, INC., 800 SCUDDERS MILL RD,
PLAINSBORO, NJ, 08536, 6092822800 - 50,000 ($1,000,000.00) Equity,
(File 333-147825 - Dec. 4) (BR. 17)
S-8 CONCEPTUS INC, 1021 HOWARD AVE, SAN CARLOS, CA, 94070, 4158027240 -
0 ($1,999,000.00) Equity, (File 333-147826 - Dec. 4) (BR. 10A)
S-8 FISERV INC, 255 FISERV DR, PO BOX 979, BROOKFIELD, WI, 53045,
4148795000 - 0 ($13,626,674.00) Equity, (File 333-147827 - Dec. 4)
(BR. 03B)
S-4 HAWKER BEECHCRAFT ACQUISITION CO LLC, 10511 EAST CENTRAL, WICHITA, KS,
67206, (316) 676-7111 - 0 ($1,100,000,000.00) Non-Convertible Debt,
(File 333-147828 - Dec. 4) (BR. )
S-3ASR KRAFT FOODS INC, THREE LAKES DRIVE, NORTHFIELD, IL, 60093, 8476462000 -
0 ($0.00) Non-Convertible Debt, (File 333-147829 - Dec. 4) (BR. 04C)
S-8 Limelight Networks, Inc., 2220 W. 14TH STREET, TEMPE, AZ, 85281,
602-850-5000 - 15,692,090 ($101,513,788.68) Equity, (File 333-147830 -
Dec. 4) (BR. 03C)
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
--------------------------------------------------------------------------------------------------------
4 KIDS ENTERTAINMENT INC NY 8.01,9.01 12/04/07
AASTROM BIOSCIENCES INC MI 5.02 11/30/07
ACTIVISION INC /NY DE 1.01 12/03/07
ACURA PHARMACEUTICALS, INC NY 5.03,9.01 12/04/07
ADVANCE AUTO PARTS INC DE 5.02 11/29/07
ADVANCED VIRAL RESEARCH CORP DE 1.01,2.01,3.02,3.03,5.02,7.01, 12/03/07
9.01
AeroVironment Inc DE 2.02,9.01 12/04/07
AETNA INC /PA/ PA 1.01,7.01,8.01,9.01 11/29/07
AFFORDABLE GREEN HOMES INTERNATIONAL NV 4.01,9.01 11/26/07
AIS FUTURES FUND IV LP DE 3.02 11/30/07
Aldabra 2 Acquisition Corp. DE 8.01,9.01 12/03/07
ALLIANCE IMAGING INC /DE/ DE 1.01,2.03,7.01,9.01 12/04/07
ALLIED WASTE INDUSTRIES INC DE 8.01,9.01 12/03/07
AMERICAN AIRLINES INC DE 8.01 12/04/07
AMERICAS CARMART INC TX 2.02,9.01 12/04/07
AMERIPRISE FINANCIAL INC DE 7.01,9.01 12/03/07
AMERISOURCEBERGEN CORP DE 8.01,9.01 12/03/07
AMERISTAR CASINOS INC NV 2.01,9.01 09/18/07 AMEND
AMH Holdings, Inc. DE 1.01,9.01 11/29/07
AMKOR TECHNOLOGY INC DE 7.01,9.01 12/03/07
AMR CORP DE 8.01 12/04/07
ANALOG DEVICES INC MA 5.02,9.01 12/04/07
ANESIVA, INC. DE 8.01,9.01 11/28/07
ANHEUSER-BUSCH COMPANIES, INC. DE 5.02,9.01 12/04/07
APA Enterprises, Inc. MN 2.02,4.02,9.01 12/04/07
APOLLO INVESTMENT CORP MD 2.02,9.01 12/03/07
APPLIED DIGITAL SOLUTIONS INC MO 1.01,8.01,9.01 12/04/07
APRIA HEALTHCARE GROUP INC DE 2.01,9.01 12/04/07
ARIEL WAY INC FL 8.01,9.01 12/04/07
ARROWHEAD RESEARCH CORP DE 5.02,9.01 12/01/07
ARTESIAN RESOURCES CORP DE 5.02 12/03/07
ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 12/04/07
ASSISTED LIVING CONCEPTS INC NV 7.01,9.01 12/04/07
ASSOCIATED MATERIALS INC DE 1.01,9.01 11/29/07
Atlantic Southern Financial Group, In 2.01,9.01 11/30/07
ATMOSPHERIC GLOW TECHNOLOGIES INC DE 1.01 11/29/07
AUTOBYTEL INC DE 8.01 11/30/07
AUTOZONE INC NV 2.02 12/04/07
BANK OF AMERICA CORP /DE/ DE 8.01,9.01 11/29/07
BARRETT BUSINESS SERVICES INC MD 7.01,9.01 12/03/07
Basic Services, Inc. NV 1.01,2.03,3.01,9.01 11/29/07
Bear Stearns Structured Products Inc. DE 8.01,9.01 10/31/07 AMEND
BERRY PETROLEUM CO DE 7.01,9.01 12/04/07
BFC FINANCIAL CORP FL 5.03,9.01 12/03/07
BLACKSANDS PETROLEUM, INC. NV 5.02 11/30/07
BOTETOURT BANKSHARES INC VA 8.01,9.01 12/03/07
BPI Energy Holdings, Inc. 1.01,2.03,9.01 11/29/07
CAMPBELL FUND TRUST MD 3.02 12/01/07
CAPITAL CITY BANK GROUP INC FL 5.04,9.01 11/30/07
CAPITAL PROPERTIES INC /RI/ RI 2.01,9.01 11/30/07
CapitalSouth Bancorp DE 3.02 11/30/07
CBRL GROUP INC TN 7.01,9.01 12/04/07
CDEX INC NV 5.03,9.01 11/27/07
CERAGENIX PHARMACEUTICALS, INC. DE 7.01,9.01 12/03/07
CF Industries Holdings, Inc. DE 7.01,9.01 12/04/07
CHATSWORTH DATA SOLUTIONS, INC. 5.02,9.01 12/03/07
CHEMOKINE THERAPEUTICS CORP DE 5.02,8.01,9.01 12/02/07
CHEMUNG FINANCIAL CORP NY 1.01,9.01 11/30/07
CHICOS FAS INC FL 2.02,9.01 12/04/07
CHINA ORGANIC AGRICULTURE, INC. 2.02,7.01,9.01 12/03/07
China VoIP & Digital Telecom Inc. NV 8.01,9.01 12/04/07
CHINACAST EDUCATION CORP DE 8.01 12/04/07
CIT GROUP INC DE 8.01,9.01 12/03/07
CITADEL BROADCASTING CORP DE 1.01,5.02,9.01 11/30/07
CITIZENS HOLDING CO /MS/ MS 7.01,9.01 12/04/07
CITIZENS INC CO 8.01,9.01 12/04/07
CLARCOR INC DE 2.01,8.01,9.01 12/03/07
CLAYTON HOLDINGS INC 2.06,9.01 11/28/07
CLEVELAND CLIFFS INC OH 8.01 12/03/07
CMS ENERGY CORP MI 5.02 11/29/07
CNB FINANCIAL SERVICES INC WV 5.05,9.01 11/29/07
COACTIVE MARKETING GROUP INC DE 5.03,9.01 12/03/07
COHESANT TECHNOLOGIES INC DE 1.01,9.01 12/03/07
COLLECTIVE BRANDS, INC. DE 2.02,7.01,9.01 12/04/07
COMMERCE ENERGY GROUP, INC. DE 1.01,5.02,9.01 11/29/07
COMMSCOPE INC DE 8.01,9.01 12/04/07
COMMSCOPE INC DE 7.01,9.01 12/04/07
COMMUNICATION INTELLIGENCE CORP DE 5.02,7.01,9.01 11/28/07
COMPOSITE TECHNOLOGY CORP NV 7.01,9.01 12/04/07
COMPUTER SCIENCES CORP NV 1.01 12/03/07
CONCEPTUS INC DE 8.01 12/01/07
CONSTELLATION BRANDS, INC. DE 1.01,9.01 11/28/07
CONTINENTAL AIRLINES INC /DE/ DE 8.01,9.01 12/03/07
CREDO PETROLEUM CORP CO 8.01,9.01 12/03/07
DELPHI CORP DE 8.01,9.01 12/03/07
DELTA AIR LINES INC /DE/ DE 7.01,9.01 12/04/07
DENNYS CORP DE 5.02 11/28/07
DEVON ENERGY CORP/DE DE 1.01,5.02,9.01 11/28/07
DEVON ENERGY CORP/DE DE 8.01,9.01 12/03/07
DIGITAL ANGEL CORP DE 1.01,8.01,9.01 12/04/07
DigitalFX International Inc FL 2.03,3.02,9.01 11/30/07
DIOMED HOLDINGS INC NV 3.01,9.01 11/29/07
DIRECTV GROUP INC DE 8.01 12/04/07
Disaster Preparedness Systems Inc. NV 5.02 12/01/07
DISCOVERY LABORATORIES INC /DE/ DE 8.01,9.01 12/03/07
DOW CHEMICAL CO /DE/ DE 2.05,2.06,8.01 12/03/07
DreamWorks Animation SKG, Inc. 1.01,9.01 11/28/07
DUN & BRADSTREET CORP/NW DE 2.03,7.01,9.01 12/04/07
DURA AUTOMOTIVE SYSTEMS INC DE 4.02 11/30/07
DYNEGY INC. DE 5.02,7.01,9.01 12/04/07
E TRADE FINANCIAL CORP DE 1.01,1.02,2.03,3.02,5.02,9.01 11/28/07
EASYLINK SERVICES INTERNATIONAL CORP DE 2.01,9.01 08/20/07 AMEND
EDO CORP NY 8.01,9.01 12/04/07
EMCOR GROUP INC DE 9.01 09/19/07 AMEND
EMPIRE RESORTS INC DE 8.01 11/29/07
ENERGEN CORP AL 8.01 12/04/07
ENERGIZER HOLDINGS INC MO 1.01,2.03,9.01 12/03/07
ENERGY XXI (BERMUDA) LTD D0 8.01 12/04/07
ENERGYSOUTH INC AL 1.01,2.01,2.03,8.01,9.01 11/28/07
ENHERENT CORP DE 5.02 12/03/07
ENVIRONMENTAL TECTONICS CORP PA 4.01 11/28/07
Epic Bancorp 8.01 12/04/07
EPLUS INC DE 1.01,9.01 11/29/07
ERESEARCHTECHNOLOGY INC /DE/ DE 2.01,2.05,8.01,9.01 11/28/07
ESPEY MFG & ELECTRONICS CORP NY 8.01,9.01 12/03/07
EXELIXIS INC DE 2.03 12/03/07
EXXON MOBIL CORP NJ 5.02 12/04/07
Federal Home Loan Bank of Atlanta X1 2.03 11/28/07
Federal Home Loan Bank of Boston X1 2.03 11/29/07
Federal Home Loan Bank of Chicago X1 2.03 11/28/07
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 11/28/07
Federal Home Loan Bank of Des Moines X1 2.03,9.01 11/28/07
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 11/28/07
Federal Home Loan Bank of New York X1 2.03,9.01 11/28/07
Federal Home Loan Bank of New York X1 8.01,9.01 12/04/07
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 11/28/07
Federal Home Loan Bank of San Francis X1 2.03 11/28/07
Federal Home Loan Bank of Seattle 2.03 12/03/07
Federal Home Loan Bank of Topeka 2.03 11/28/07
FEDERAL NATIONAL MORTGAGE ASSOCIATION 7.01,9.01 12/04/07
FINISAR CORP DE 5.03,9.01 11/28/07
FINISH LINE INC /IN/ IN 5.02,9.01 11/30/07
FIRST BANCORP /PR/ PR 8.01,9.01 12/03/07
First National Master Note Trust DE 1.01,9.01 11/29/07
FIRST REGIONAL BANCORP CA 8.01 11/30/07
FLOWSERVE CORP NY 8.01 11/28/07
FNB CORP \VA\ VA 5.03,9.01 11/29/07
FNB CORP \VA\ VA 5.03,9.01 11/29/07
FNB CORP \VA\ VA 8.01,9.01 12/04/07
FORWARD INDUSTRIES INC NY 5.02 11/29/07
FOUNTAIN POWERBOAT INDUSTRIES INC 8.01,9.01 12/03/07
FREEDOM FINANCIAL HOLDINGS INC MD 5.02,8.01 12/03/07
FULTON FINANCIAL CORP PA 7.01,9.01 12/04/07
GALAXY ENERGY CORP CO 2.03,9.01 12/03/07
GASTAR EXPLORATION LTD 1.01,2.03,8.01,9.01 11/29/07
GENELINK INC 8.01,9.01 12/01/07
GENELINK INC 3.02 11/30/07
GENERAL MOTORS CORP DE 8.01,9.01 12/03/07
GEODYNE ENERGY INCOME LTD PARTNERSHIP OK 2.01,9.01 11/15/07 AMEND
GEODYNE ENERGY INCOME LTD PARTNERSHIP OK 2.01,9.01 11/15/07 AMEND
GEODYNE INSTITUTIONAL PENSION ENERGY TX 2.01,9.01 11/15/07 AMEND
GEOGLOBAL RESOURCES INC. DE 7.01,9.01 12/03/07
GEVITY HR INC FL 8.01 12/04/07
GLOBAL CASINOS INC UT 7.01,9.01 12/04/07
Global Consumer Acquisition Corp. DE 8.01,9.01 11/27/07
GOLDMAN SACHS HEDGE FUND PARTNERS LLC DE 7.01,9.01 12/04/07
GOODYEAR TIRE & RUBBER CO /OH/ OH 5.02,9.01 12/03/07
GP STRATEGIES CORP DE 8.01 11/29/07
GRANITE CONSTRUCTION INC DE 5.03,9.01 11/30/07
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 11/30/07
GREAT ATLANTIC & PACIFIC TEA CO INC MD 2.01,5.02,5.03,8.01,9.01 12/03/07
GREEN MOUNTAIN COFFEE ROASTERS INC DE 1.01 12/03/07
GREY WOLF INC TX 5.03,9.01 12/03/07
GTREX CAPITAL, INC. DE 5.02 11/28/07
GUESS INC DE 2.02,5.03,9.01 11/29/07
GULF RESOURCES, INC. DE 5.03,8.01,9.01 11/28/07
GULFPORT ENERGY CORP DE 1.01,7.01,8.01,9.01 11/30/07
H&R BLOCK INC MO 1.01,1.02,2.05,7.01,9.01 12/03/07
HANCOCK FABRICS INC DE 7.01,8.01,9.01 11/30/07
HARMAN INTERNATIONAL INDUSTRIES INC / DE 5.02,9.01 11/29/07
HARMAN INTERNATIONAL INDUSTRIES INC / DE 5.02 11/29/07
HEALTH NET INC DE 5.02 11/08/07 AMEND
HEI INC MN 2.02,9.01 12/03/07
HOSPITALITY PROPERTIES TRUST MD 8.01,9.01 12/03/07
HUDSON HOLDING CORP DE 1.01,9.01 11/28/07
HYPERDYNAMICS CORP DE 7.01,9.01 12/03/07
ICEWEB INC DE 8.01,9.01 12/04/07
ICONIX BRAND GROUP, INC. DE 9.01 10/03/07 AMEND
ICOP DIGITAL, INC CO 5.03,9.01 12/03/07
IMMUNICON CORP 5.03,9.01 11/28/07
IMPAC MORTGAGE HOLDINGS INC MD 3.01 11/28/07
INFORM WORLDWIDE HOLDINGS INC FL 1.01,3.02 09/06/07
INFORMATICA CORP DE 8.01 11/28/07
INGERSOLL RAND CO LTD 2.01,9.01 11/30/07
INNOVATIVE FOOD HOLDINGS INC FL 5.02,9.01 11/30/07
INTERNATIONAL BARRIER TECHNOLOGY INC/ 7.01,9.01 11/29/07
INTERNET AMERICA INC TX 5.02 11/30/07
INTERSECTIONS INC DE 1.01,2.03,8.01 11/20/07
INTERSTATE BAKERIES CORP/DE/ DE 1.01,9.01 11/29/07
INTERSTATE HOTELS & RESORTS INC DE 2.01,9.01 11/28/07
INTERVEST BANCSHARES CORP DE 5.02 11/28/07
INTERVEST MORTGAGE CORP NY 5.02 11/28/07
IONATRON, INC. DE 5.02 11/29/07
ISIS PHARMACEUTICALS INC DE 1.01,9.01 12/03/07
ISLAND PACIFIC INC DE 1.01,5.02 12/03/07
ISLE OF CAPRI CASINOS INC DE 2.02,9.01 12/03/07
J P MORGAN CHASE & CO DE 9.01 11/30/07
JEFFERIES GROUP INC /DE/ DE 5.03,9.01 12/03/07
JK Acquisition Corp. 2.03,3.01,9.01 11/28/07
JOURNAL REGISTER CO DE 5.02,9.01 11/30/07
KEMET CORP DE 8.01 11/28/07
LAYNE CHRISTENSEN CO DE 2.02,9.01 12/04/07
LBI MEDIA HOLDINGS INC 2.01,2.03 12/04/07
LEAP WIRELESS INTERNATIONAL INC DE 8.01 12/03/07
LEHMAN BROTHERS HOLDINGS INC DE 9.01 11/29/07
LEHMAN BROTHERS HOLDINGS INC DE 9.01 12/03/07
LEUCADIA NATIONAL CORP NY 8.01,9.01 12/04/07
LEVITT CORP FL 5.03,9.01 12/03/07
LEXINGTON REALTY TRUST MD 5.02 11/28/07
LIFETIME BRANDS, INC DE 8.01,9.01 12/03/07
LINCOLN EDUCATIONAL SERVICES CORP NJ 5.02,9.01 11/30/07
LINCOLN ELECTRIC HOLDINGS INC OH 8.01,9.01 11/29/07
LIVEWORLD INC DE 8.01 12/04/07
LODGENET ENTERTAINMENT CORP DE 7.01,8.01,9.01 12/04/07
Magyar Bancorp, Inc. DE 7.01,9.01 11/30/07
MARKWEST ENERGY PARTNERS L P 8.01,9.01 12/04/07
MARKWEST HYDROCARBON INC DE 8.01,9.01 12/04/07
MATERIAL TECHNOLOGIES INC /CA/ DE 4.02 12/04/07
MATRIX SERVICE CO DE 5.03,9.01 11/28/07
MAXYGEN INC DE 8.01,9.01 12/04/07
MCDONALDS CORP DE 5.02,9.01 11/28/07
MDU RESOURCES GROUP INC DE 8.01,9.01 12/03/07
MEDALLION FINANCIAL CORP DE 1.01,2.03,9.01 11/29/07
MERRILL LYNCH & CO INC DE 8.01,9.01 12/04/07
MERRILL LYNCH & CO INC DE 1.01,9.01 12/04/07
META FINANCIAL GROUP INC DE 8.01,9.01 11/30/07
METROCORP BANCSHARES INC 3.01,9.01 10/17/07 AMEND
MiddleBrook Pharmaceuticals, Inc. 8.01 12/03/07
MIDWEST URANIUM CORP NV 7.01,8.01,9.01 12/04/07
MILLENNIUM BANKSHARES CORP VA 1.01,9.01 11/30/07
MITCHAM INDUSTRIES INC TX 7.01 12/04/07
MOLSON COORS BREWING CO CO 5.02 12/02/07
MONTPELIER RE HOLDINGS LTD D0 7.01,9.01 12/04/07
MORGAN STANLEY SPECTRUM TECHNICAL LP DE 1.01,9.01 11/28/07
MORRIS PUBLISHING GROUP LLC GA 1.01,7.01,9.01 12/31/06
MORRIS PUBLISHING GROUP LLC GA 1.01,7.01,9.01 12/31/06
MUNICIPAL MORTGAGE & EQUITY LLC DE 1.01,1.02,7.01,9.01 11/28/07
NATIONAL COAL CORP FL 7.01,9.01 12/04/07
National Investment Managers Inc. FL 1.01,2.03,3.02,9.01 11/30/07
nCoat, Inc. DE 1.01,7.01,8.01,9.01 06/19/07 AMEND
NEDAK ETHANOL, LLC NE 9.01 02/20/07 AMEND
NEOGEN CORP MI 2.01,9.01 12/03/07
NEUROLOGIX INC/DE DE 5.02,9.01 12/04/07
New Century Energy Corp. CO 1.01,3.02,9.01 11/30/07
NEW JERSEY RESOURCES CORP NJ 2.02,4.02,9.01 12/03/07
NOVA BIOSOURCE FUELS, INC. NV 5.02,7.01,9.01 11/28/07
NRG ENERGY, INC. DE 8.01,9.01 12/04/07
NUCLEAR SOLUTIONS INC NV 1.01,3.02,9.01 11/30/07
NUCOR CORP DE 1.01,2.03,9.01 11/28/07
Och-Ziff Capital Management Group LLC DE 7.01 12/04/07
OGE ENERGY CORP OK 5.02,8.01,9.01 12/04/07
OKLAHOMA GAS & ELECTRIC CO OK 5.02,9.01 12/04/07
OLIN CORP VA 9.01 11/19/07 AMEND
ORBITAL SCIENCES CORP /DE/ DE 5.02,9.01 11/30/07
PACIFIC GAS & ELECTRIC CO CA 8.01,9.01 12/04/07
PAYCHEX INC DE 5.02,9.01 11/30/07
Peninsula Gaming, LLC DE 8.01 12/04/07
PG&E CORP CA 8.01,9.01 12/04/07
PILGRIMS PRIDE CORP DE 5.03,9.01 12/04/07
PINNACLE FINANCIAL PARTNERS INC TN 1.01,2.01,5.02,9.01 11/27/07
Plastinum Polymer Technologies Corp. DE 3.02,5.02 12/03/07
PLY GEM HOLDINGS INC DE 7.01,9.01 11/28/07
PREMIER EXHIBITIONS, INC. 8.01 11/28/07
PROELITE, INC. NJ 8.01,9.01 12/04/07
PROTECTIVE LIFE INSURANCE CO TN 9.01 11/29/07
PRUDENTIAL FINANCIAL INC NJ 2.02,7.01,9.01 12/04/07
PRUDENTIAL FINANCIAL INC NJ 7.01,9.01 12/04/07
PUGET ENERGY INC /WA WA 3.02,9.01 12/03/07
R H DONNELLEY CORP DE 7.01,9.01 12/04/07
R&G FINANCIAL CORP PR 7.01,9.01 11/30/07
RadNet, Inc. NY 5.03,9.01 11/30/07
RAPHAEL INDUSTRIES LTD. NV 1.01 12/01/07
RAYMOND JAMES FINANCIAL INC FL 7.01,9.01 12/04/07
Reis, Inc. MD 3.01,5.03,9.01 11/30/07
RENT A CENTER INC DE 2.05,9.01 11/30/07
RENTECH INC /CO/ CO 2.06,9.01 12/04/07
REPROS THERAPEUTICS INC. DE 7.01,8.01,9.01 12/03/07
REVLON CONSUMER PRODUCTS CORP DE 7.01,9.01 12/04/07
REVLON INC /DE/ DE 7.01,9.01 12/04/07
RG GLOBAL LIFESTYLES INC CA 5.02,9.01 11/30/07
RIO VISTA ENERGY PARTNERS LP DE 1.01,3.02,9.01 11/29/07
RITE AID CORP DE 8.01,9.01 12/04/07
ROCKWELL MEDICAL TECHNOLOGIES INC MI 1.01,3.02,8.01,9.01 11/28/07
SAMARITAN PHARMACEUTICALS INC NV 8.01,9.01 12/04/07
SATELLITE SECURITY CORP NV 1.01,3.02,5.01,9.01 11/30/07
SAVVIS, Inc. DE 5.02,9.01 11/28/07
Seligman LaSalle International Real E MD 7.01,9.01 12/04/07
SELIGMAN SELECT MUNICIPAL FUND INC MD 7.01,9.01 12/04/07
SERVICE CORPORATION INTERNATIONAL TX 5.02 11/30/07
Shea Development Corp. 1.01,9.01 11/28/07
SIERRA PACIFIC RESOURCES /NV/ NV 8.01,9.01 12/03/07
SIRIUS SATELLITE RADIO INC DE 8.01 12/04/07
SKYTERRA COMMUNICATIONS INC DE 8.01 12/04/07
SMART BALANCE, INC. DE 2.02,9.01 12/04/07
Solo Cup CO DE 7.01,9.01 12/04/07
SONORAN ENERGY INC WA 5.02 12/03/07
SONORAN ENERGY INC WA 1.01,2.03,9.01 11/29/07
Sound Worldwide Holdings, Inc. DE 5.02 11/14/07
SOUTHWEST BANCORP INC OK 7.01,9.01 12/04/07
SOUTHWEST WATER CO DE 5.02,9.01 12/04/07
SOUTHWESTERN ELECTRIC POWER CO DE 8.01,9.01 12/04/07
SOYO GROUP INC NV 8.01 12/03/07
SPARTAN MOTORS INC MI 1.01,2.03,9.01 11/30/07
Spectrum Brands, Inc. WI 5.03,9.01 12/04/07 AMEND
SPEEDEMISSIONS INC FL 7.01,9.01 12/04/07
SPEEDUS CORP DE 5.03,9.01 12/03/07
SPHERION CORP DE 2.01,9.01 12/03/07
STAAR SURGICAL CO DE 5.02 11/27/07 AMEND
STEIN MART INC FL 2.02,9.01 11/29/07
STEINWAY MUSICAL INSTRUMENTS INC DE 2.05,9.01 11/29/07
STEMCELLS INC DE 1.01,8.01 12/03/07
Stratos Renewables CORP 4.01 12/04/07
STUDIO ONE MEDIA, INC. DE 1.01 12/03/07
SUN HYDRAULICS CORP FL 1.01,9.01 11/30/07
Sutura, Inc. 1.01,8.01,9.01 12/03/07
SYNIVERSE HOLDINGS INC DE 8.01,9.01 12/04/07
SYNTHETECH INC OR 1.01,9.01 11/30/07
TAPESTRY PHARMACEUTICALS, INC DE 5.02 11/28/07
TARGACEPT INC 5.02 11/28/07
TEKOIL & GAS CORP DE 8.01,9.01 11/27/07
TELETECH HOLDINGS INC DE 1.01,9.01 11/30/07
TEMPLE INLAND INC DE 1.01,2.03,9.01 12/03/07
TENNESSEE VALLEY FINANCIAL HOLDINGS I TN 5.03 11/20/07
TERRESTAR CORP DE 7.01,9.01 12/04/07
TESCO CORP 7.01 12/03/07
TEXTRON INC DE 8.01,9.01 12/04/07
TIDEWATER INC DE 7.01,9.01 12/04/07
TITAN PHARMACEUTICALS INC DE 8.01,9.01 12/03/07
TRANSBOTICS CORP DE 2.03,3.02,5.01,9.01 12/04/07
TRANSBOTICS CORP DE 5.02,9.01 11/27/07
TRI COUNTY FINANCIAL CORP /MD/ 3.02,9.01 11/30/07
UBS Managed Futures LLC (Aspect Serie 3.02 12/01/07
UDR, Inc. MD 7.01,9.01 12/04/07
UNION CARBIDE CORP /NEW/ NY 2.05,2.06 11/30/07
United Community Bancorp X1 8.01 12/04/07
UNITED HERITAGE CORP UT 1.01,5.02,9.01 11/28/07
UNITEDHEALTH GROUP INC MN 7.01,9.01 12/03/07
URANIUM 308 CORP. NV 3.02,5.01,8.01,9.01 11/07/07
US GEOTHERMAL INC DE 7.01 11/28/07
US Oncology Holdings, Inc. DE 1.01,9.01 11/30/07
Utah Uranium Corp. NV 5.02 11/30/07
VALIDUS HOLDINGS LTD 1.01,2.03,9.01 11/28/07
VAXGEN INC DE 5.02 11/30/07
VERSANT CORP CA 2.02,9.01 12/04/07
VERTICALNET INC PA 3.01,9.01 11/28/07
VICTORIA INDUSTRIES INC 2.01,9.01 12/04/07
VINEYARD NATIONAL BANCORP CA 2.02,9.01 12/04/07
VIRGINIA FINANCIAL GROUP INC VA 8.01,9.01 12/04/07
VISANT CORP 8.01,9.01 12/04/07
VISANT HOLDING CORP 8.01,9.01 12/04/07
VNUS MEDICAL TECHNOLOGIES INC 1.01,5.02,9.01 12/04/07
Vocus, Inc. DE 7.01 12/04/07
WACHOVIA ASSET SECURITIZATION INC 200 8.01,9.01 08/25/06 AMEND
WACHOVIA ASSET SECURITIZATION INC AST 8.01,9.01 08/25/06 AMEND
WACHOVIA ASSET SECURITIZATION INC AST 8.01,9.01 11/26/07 AMEND
WELLMAN INC DE 3.01,9.01 11/28/07
WELLS REAL ESTATE INVESTMENT TRUST II MD 8.01 12/04/07
Whos Your Daddy Inc NV 4.02,9.01 12/04/07
WIND RIVER SYSTEMS INC DE 2.02,9.01 12/04/07
Wornick CO DE 1.01,9.01 12/03/07
XCEL ENERGY INC MN 8.01 12/03/07
XECHEM INTERNATIONAL INC DE 4.02 12/03/07
XM SATELLITE RADIO HOLDINGS INC DE 8.01 12/04/07
YOUBET COM INC DE 5.02,9.01 11/29/07
http://www.sec.gov/news/digest/2007/dig120507.htm
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