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SEC NEWS DIGEST
Issue 2007-240 December 14, 2007
COMMISSION ANNOUNCEMENTS
SECURITIES �AND �EXCHANGE COMMISSION SUSPENDS TRADING IN GREEN MACHINE
DEVELOPMENT CORP.
The �Commission �announced �the temporary suspension of trading of the
securities ��of �Green �Machine �Development �Corp. �(Green �Machine),
commencing at 9:30 a.m. EST on Dec. 14, 2007, and terminating at 11:59
p.m. EST on Dec. 28, 2007.
The �Commission �temporarily �suspended �trading �in the securities of
Avitech �because �the market may be reacting to manipulative forces or
deceptive ����practices �and �there �is �insufficient �current �public
information �about �the �issuer �upon �which �an �informed �investment
decision �may be made, particularly concerning (1) the identity of and
prior �securities �fraud �judgments �against �persons who appear to be
involved �in �the �offer �and �sale �of �Green Machine shares; (2) the
financial performance and business prospects of Green Machine; and (3)
offerings �to �foreign investors and any restrictions on the resale of
shares. �This �order �was �entered �pursuant �to �Section 12(k) of the
Securities Exchange Act of 1934 (Exchange Act).
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 this company.
Brokers �and �dealers �should �be �alert to the fact that, pursuant to
Exchange ��Act �Rule �15c2-11, �at �the �termination �of �the �trading
suspensions, no quotation may be entered relating to the securities of
the subject company unless and until the broker or dealer has strictly
complied �with �all �of �the �provisions of the rule. If any broker or
dealer �is �uncertain �as �to �what is required by the rule, it should
refrain �from �entering �quotations relating to the securities of this
company �that has been subject to a trading suspension until such time
as it has familiarized itself with the rule and is certain that all of
its �provisions �have �been �met. �Any broker or dealer with questions
regarding �the �rule �should �contact �the staff of the Securities and
Exchange Commission in Washington, DC at (202) 551-5720. If any broker
or �dealer enters any quotation which is in violation of the rule, the
Commission will consider the need for prompt enforcement action.
If �any �broker, �dealer or other person has any information which may
relate �to �this �matter, �they �should �contact Gregory G. Faragasso,
Assistant ���Director, ��at ��(202) ��551-4734, ��or ��by ��email ��at
faragassog@sec.gov. (Rel. 34-56963)
SECURITIES ��AND �EXCHANGE �COMMISSION �SUSPENDS �TRADING �IN �AVITECH
LIFESCIENCES, INC.
The �Commission �announced �the temporary suspension of trading of the
securities of Avitech LifeSciences, Inc. (Avitech), commencing at 9:30
a.m. �EST �on Dec. 14, 2007, and terminating at 11:59 p.m. EST on Dec.
28, 2007.
The �Commission �temporarily �suspended �trading �in the securities of
Avitech �because �the market may be reacting to manipulative forces or
deceptive ����practices �and �there �is �insufficient �current �public
information �about �the �issuer �upon �which �an �informed �investment
decision �may be made, particularly concerning (1) the identity of and
prior �securities �fraud �judgments �against �persons who appear to be
involved �in �the �offer and sale of Avitech shares; (2) the financial
performance �and �business �prospects of Avitech; and (3) offerings to
foreign �investors �and any restrictions on the resale of shares. This
order was entered pursuant to Section 12(k) of the Securities Exchange
Act of 1934 (Exchange Act).
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 this company.
Brokers �and �dealers �should �be �alert to the fact that, pursuant to
Exchange ��Act �Rule �15c2-11, �at �the �termination �of �the �trading
suspensions, no quotation may be entered relating to the securities of
the subject company unless and until the broker or dealer has strictly
complied �with �all �of �the �provisions of the rule. If any broker or
dealer �is �uncertain �as �to �what is required by the rule, it should
refrain �from �entering �quotations relating to the securities of this
company �that has been subject to a trading suspension until such time
as it has familiarized itself with the rule and is certain that all of
its �provisions �have �been �met. �Any broker or dealer with questions
regarding �the �rule �should �contact �the staff of the Securities and
Exchange Commission in Washington, DC at (202) 551-5720. If any broker
or �dealer enters any quotation which is in violation of the rule, the
Commission will consider the need for prompt enforcement action.
If �any �broker, �dealer or other person has any information which may
relate �to �this �matter, �they �should �contact Gregory G. Faragasso,
Assistant ���Director, ��at ��(202) ��551-4734, ��or ��by ��email ��at
faragassog@sec.gov. (Rel. 34-56964)
SECURITIES AND EXCHANGE COMMISSION SUSPENDS TRADING IN XIIVA HOLDINGS,
INC.
The �Commission �announced �the temporary suspension of trading of the
securities �of �Xiiva �Holdings, Inc. (Xiiva), commencing at 9:30 a.m.
EST �on �Dec. �14, 2007, and terminating at 11:59 p.m. EST on Dec. 28,
2007.
The �Commission �temporarily �suspended �trading �in the securities of
Xiiva �because �the �market �may be reacting to manipulative forces or
deceptive ����practices �and �there �is �insufficient �current �public
information �about �the �issuer �upon �which �an �informed �investment
decision �may be made, particularly concerning (1) the identity of and
prior �securities �fraud �judgments �against �persons who appear to be
involved �in �the �offer �and �sale of Xiiva shares; (2) the financial
performance �and �business �prospects �of �Xiiva; and (3) offerings to
foreign �investors �and any restrictions on the resale of shares. This
order was entered pursuant to Section 12(k) of the Securities Exchange
Act of 1934 (Exchange Act).
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 this company.
Brokers �and �dealers �should �be �alert to the fact that, pursuant to
Exchange ��Act �Rule �15c2-11, �at �the �termination �of �the �trading
suspensions, no quotation may be entered relating to the securities of
the subject company unless and until the broker or dealer has strictly
complied �with �all �of �the �provisions of the rule. If any broker or
dealer �is �uncertain �as �to �what is required by the rule, it should
refrain �from �entering �quotations relating to the securities of this
company �that has been subject to a trading suspension until such time
as it has familiarized itself with the rule and is certain that all of
its �provisions �have �been �met. �Any broker or dealer with questions
regarding �the �rule �should �contact �the staff of the Securities and
Exchange Commission in Washington, DC at (202) 551-5720. If any broker
or �dealer enters any quotation which is in violation of the rule, the
Commission will consider the need for prompt enforcement action.
If �any �broker, �dealer or other person has any information which may
relate �to �this �matter, �they �should �contact Gregory G. Faragasso,
Assistant ���Director, ��at ��(202) ��551-4734, ��or ��by ��email ��at
faragassog@sec.gov. (Rel. 34-56965)
SEC �STAFF �HOLD FIRST CCOUTREACH PROGRAMS FOR SEC INVESTMENT ADVISERS
IN ASIA
The �Securities �and Exchange Commission staff announced today that it
has �conducted �two �CCOutreach �seminars �for �Asian-based investment
advisers registered with the SEC.
The programs were held in Hong Kong on December 4 and in Mumbai, India
on �December �6. �Together, �they �included more than 120 participants
representing investment advisers registered with the SEC based in Hong
Kong, �Singapore, �Australia, and India, as well as local industry and
regulatory representatives. The program in Hong Kong was hosted by the
Securities �and �Futures �Commission, �and �the �program in Mumbai was
hosted by the Securities and Exchange Board of India.
Lori �Richards, Director of the SEC's Office of Compliance Inspections
and ��Examinations, ��said, ��"The ��CCOutreach ��program �provides an
opportunity �for �SEC �staff and industry compliance officers to share
information, and to highlight effective compliance practices. We think
that �this �dialogue �helps �to �support the important role that chief
compliance �officers �play, �and �helps to foster compliance with U.S.
securities �laws. �We're �thrilled �that �Asian advisers attended this
event."
Ethiopis �Tafara, �Director �of �the �SEC's �Office �of �International
Affairs, �added, �"American �investors �rely on SEC-registered foreign
investment �advisers �for advice and insights when investing globally.
We �appreciate �both the Hong Kong Securities and Futures Commission's
and the Securities and Exchange Board of India's commitment to support
the �SEC �staff �efforts to engage with foreign-based chief compliance
officers of these firms."
The �CCOutreach �program is designed to help SEC-registered investment
advisers �and �their �chief �compliance �officers �to establish robust
compliance �programs �for �the �protection �of �investors. The program
features �a �number �of �elements, �including �a �national �seminar in
Washington, �D.C., �and �regional seminars in the U.S. The programs in
Mumbai �and �Hong �Kong �were �the first CCOutreach events in Asia for
foreign-based, �SEC-registered �investment advisers. In July 2007, the
SEC �staff �held a CCOutreach program in Luxembourg for European-based
SEC registered investment advisers.
The �CCOutreach �events were conducted by staff of the SEC's Office of
Compliance �Inspections and Examinations, and included a discussion of
topical �compliance �issues, �including �the �process for conducting a
compliance ��risk �assessment, �establishing �and �testing �compliance
controls, and common deficiencies found in SEC examinations.
More information about the SEC's CCOutreach program, sponsored jointly
by �the �Office �of �Compliance �Inspections �and Examinations and the
Division �of �Investment �Management, �is �on �the �SEC's �Web site at
http://www.sec.gov/info/ccoutreach.htm. (Press Rel. 2007-264)
FEE �RATE �ADVISORY �#4 FOR FISCAL YEAR 2008
The ���continuing �resolution �funding �the �Securities �and �Exchange
Commission �for �fiscal �year �2008 �since �Oct. �1, �2007, �is �being
extended ��through ��Dec. ��21, ��2007. ��Therefore, ��fees paid under
Section �6(b) �of �the �Securities �Act �of �1933 �and Sections 13(e),
14(g) �and 31 of the Securities Exchange Act of 1934 �will �remain �at
their �current rates.
As previously announced, thirty �days �after �the date of enactment of
the �Commission's �regular fiscal year 2008 appropriation, the Section
31 �fee �rate �applicable �to securities transactions on the exchanges
and �in �the �over-the-counter �markets �will �decrease �to $11.00 per
million �dollars �from the current rate of $15.30 per million dollars.
The �assessment �on �security futures transactions under Section 31(d)
will remain unchanged at $0.0042 for each �round turn transaction.
In ����addition, �five �days �after �the �date �of �enactment �of �the
Commission's ���regular �appropriation, �the �Section �6(b) �fee �rate
applicable �to �the registration of securities, the Section 13(e) �fee
rate �applicable �to �the �repurchase �of �securities, and the Section
14(g) �fee �rate �applicable �to �proxy �solicitations �and statements
in ��corporate �control �transactions �will �increase �to �$39.30 �per
million ���dollars �from �the �current �rate �of �$30.70 �per �million
dollars.
The �Office �of �Interpretation �and �Guidance �within the Division of
Trading �and �Markets �is �available �to �answer questions relating to
Section �31. That office may be reached by phone at 202-551-5777 or by
email �at �tradingandmarkets@sec.gov.
A �copy �of the Commission's April 30, 2007, order regarding fee rates
for ������fiscal ������year ������2008 ������is ������available ����at
http://www.sec.gov/rules/other/2007/33-8794.pdf. �
The �Commission will �issue further notices as appropriate to keep the
public ���informed �of �developments �relating �to �enactment �of �the
Commission's �regular �appropriation �and �the effective dates for the
above ��fee �rate �changes. �These �notices �will �be �posted �at �the
SEC's �Internet web site at http://www.sec.gov. (Press Rel. 2007-265)
ENFORCEMENT PROCEEDINGS
COMMISSION ���DISMISSES �SALVATORE �F. �SODANO'S �MOTION �FOR �SUMMARY
AFFIRMANCE
The �Commission has dismissed Salvatore F. Sodano's motion for summary
affirmance �of �an �administrative �law �judge's initial decision. The
Commission �found �that �the �Division �of Enforcement's appeal of the
initial �decision �presents important questions about the Commission's
regulatory ��authority �and �that �the �Commission �would �benefit �by
considering the appeal "as part of the normal appellate process rather
than �the �abbreviated �process �involved �with a summary affirmance."
(Rel. 34-56961; File No. 3-12596)
IN THE MATTER OF JAMES DOOLAN
COMMISSION �ORDERS �THAT �JAMES DOOLAN BE BARRED FROM ASSOCIATION WITH
ANY BROKER, DEALER, OR INVESTMENT ADVISER
On ��December ��14, ��the ��Commission ��issued ��an Order Instituting
Administrative Proceedings Pursuant to Section 15(b) of the Securities
Exchange �Act �of �1934, and Section 203(f) of the Investment Advisers
Act �of 1940, Making Findings, and Imposing Remedial Sanctions (Order)
against James Doolan. The Order finds that in or about and between May
2005 �and �January 2006, Doolan was associated with Maxim Group LLC, a
broker-dealer �registered �with �the �Commission �that also operated a
registered investment advisor, Maxim Financial Advisors LLC. The Order
further �finds �that, �on �Dec. 4, 2007, Doolan consented to permanent
injunctions �from future violations of Section 17(a) of the Securities
Act �of 1933, Section 10(b) of the Securities Exchange Act of 1934 and
Rule �10b-5 �thereunder �in �SEC �v. Smart Online, Inc., et al., Civil
Action �No. �07-CV-7960, �in �the U.S. District Court for the Southern
District �of �New �York. The Order further finds that the Commission's
complaint �alleged �that, �between �May �2005 and January 2006, Doolan
received undisclosed compensation for soliciting customer purchases of
Smart Online, Inc. stock.
Based �on �the �above, the Order bars Doolan from association with any
broker, �dealer, �or �investment �adviser. �Doolan �consented �to �the
issuance of the Order without admitting or denying any of the findings
in �the �Order, �except �with �respect to the findings that on Dec. 4,
2007, a judgment was entered against Doolan, permanently enjoining him
from future violations of Section 17(a) of the Securities Act of 1933,
Section 10(b) of the Exchange Act of 1934 and Rule 10b-5 thereunder in
SEC �v. Smart Online, Inc., et al., Civil Action Number 07-CV-7960, in
the USDC, SDNY] (Rels. 34-56966; IA-2682; File No. 3-12904)
IN THE MATTER OF IN AMES DEPARTMENT STORES, INC., ET AL.
An �Administrative �Law �Judge has issued an Order Making Findings and
Imposing Remedial Sanctions by Default as to Four Respondents (Default
Order) �in �Ames Department Stores, Inc., et al. The Order Instituting
Proceedings �(OIP) �alleged �that �the �Respondents, �five �issuers of
registered �securities, �repeatedly failed to file required annual and
quarterly �reports �with the 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 as to four Respondents: Bradlees, Inc., Caldor Corp.,
Homeplace �of �America, �Inc., and Stuarts Department Stores, Inc. The
Default ����Order �revokes �the �registered �securities �of �the �four
Respondents pursuant to Section 12(j) of the Exchange Act.
The Commission has previously accepted an Offer of Settlement from the
other �Respondent named in the OIP, Ames Department Stores, Inc. (Rel.
34-56967; File No. 3-12887)
GRAND �JURY INDICTS ROBERT BRADBURY FOR DEFRAUDING PENNSYLVANIA SCHOOL
DISTRICTS
The �Commission �announced today that on December 11, Robert Bradbury,
chairman �of �Dolphin �& �Bradbury, Incorporated (D&B), a Philadelphia
broker-dealer, �was �indicted �by �a �grand �jury convened by the U.S.
Attorney for the Eastern District of Pennsylvania.
The �nine �count �criminal indictment charges Bradbury with defrauding
four ����Pennsylvania �school �districts �by �selling �them �high-risk
securities �that �were �unlawful and inappropriate investments for the
districts. �According �to �the indictment, Bradbury concealed from the
school �districts �the �true �nature �of and risks associated with the
high-risk �bond �anticipation �notes, �issued to finance a speculative
golf course project known as Whitetail. The indictment alleges that in
order �to �facilitate �the �scheme, �Bradbury �also knowingly executed
certificates �containing �false �statements of material facts so as to
mislead others involved in the Whitetail project about the identity of
the ��holders �of �the �bond �anticipation �notes. �According �to �the
indictment, �the notes eventually defaulted in September 2004, and the
four school districts collectively lost approximately $10.5 million as
a �result �of the fraud. If convicted, Bradbury faces a maximum of 160
years imprisonment and a $2 million fine.
Previously, �in �August �2006, the Commission filed a civil injunctive
action �against �Bradbury, �D&B �and �Bradbury's �wife, Margaret, as a
relief �defendant �in this matter. The Commission charged Bradbury and
D&B �with, �among other things, violations of the antifraud provisions
of �the federal securities laws as well as regulations relating to the
review �and �distribution of official statements by brokers. The trial
in �the �Commission's �lawsuit �is �scheduled �for �May 2008. For more
information �on �this �case �see Litigation Release No. 19792 (Aug. 3,
2006). �[SEC �v. �Robert J. Bradbury, Dolphin & Bradbury, Incorporated
and �Margaret B. Bradbury as Relief Defendant, Civil Action No. 06-CV-
3435 (JPF), USDC, E.D.Pa]. [U.S. v. Robert Bradbury (E.D.Pa., Criminal
No. 07-0764)] (LR-20398)
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A �proposed �rule change filed by the American Stock Exchange to amend
Commentary �.10 to Amex Rule 584 to delete the reference to the Weekly
Bulletin �(SR-Amex-2007-134) �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 17. (Rel.
34-56947)
A �proposed rule change (SR-NYSE-2007-115) filed by the New York Stock
Exchange �relating �to �NYSE �Rule �2 ("Member," "Membership," "Member
Firm," �etc.) has become effective under Section 19(b)(3)(A) under the
Securities �Exchange �Act �of �1934. �Publication �is �expected in the
Federal Register during the week of December 17. (Rel. 34-56953)
ORDER �APPROVING �AND �DECLARING �EFFECTIVE �A �PROPOSED �PLAN FOR THE
ALLOCATION OF REGULATORY RESPONSIBILITIES PURSUANT TO RULE 17d-2
The Commission approved and declared effective a proposed plan for the
allocation of regulatory responsibilities pursuant to Rule 17d-2 under
the �Securities Exchange Act of 1934 (File No. 4-551) submitted by the
American �Stock Exchange, the Boston Stock Exchange, the Chicago Board
Options �Exchange, �the �International �Securities Exchange, Financial
Industry �Regulatory �Authority, NYSE Arca, and the Philadelphia Stock
Exchange. �Publication �is expected in the Federal Register during the
week of December 17. (Rel. 34-56941)
APPROVAL OF PROPOSED RULE CHANGES
The �Commission �granted �approval of a proposed rule change (SR-CBOE-
2007-74), �as �modified �by �Amendment No. 1 thereto, submitted by the
Chicago �Board Options Exchange to amend CBOE Rule 6.13A to modify the
Simple ��Auction �Liason �auction �process �and �incorporate �specific
provisions �for the Hybrid 3.0 classes. Publication is expected in the
Federal Register during the week of December 17. (Rel. 34-56951)
The �Commission �approved a proposed rule change (SR-ISE-2007-101) and
granted �accelerated �approval of Amendment No. 1 thereto submitted by
International �Securities Exchange relating to a corporate transaction
in which its parent, International Securities Exchange Holdings, Inc.,
will �become a wholly-owned indirect subsidiary of Eurex Frankfurt AG.
Publication �is �expected �in �the Federal Register during the week of
December 17. (Rel. 34-56955)
PROPOSED RULE CHANGE
The �International �Securities �Exchange �filed a proposed rule change
(SR-ISE-2007-110) �relating to the $1 Strike Pilot Program pursuant to
Rule �19b-4 �under the Securities Exchange Act of 1934. Publication is
expected in the Federal Register during the week of December 17. (Rel.
34-56956)
JOINT INDUSTRY PLAN RELEASES
ORDER APPROVING ON A TEMPORARY BASIS NOT TO EXCEED 120 DAYS A PROPOSED
AMENDMENT �TO THE PLAN FOR REPORTING OF CONSOLIDATED OPTIONS LAST SALE
REPORTS AND QUOTATION INFORMATION
The �Options �Price �Reporting Authority filed a notice of filing of a
proposed �Plan �amendment, as modified by Amendment No. 1, pursuant to
Section �11A �of �the �Securities �Exchange �Act �of 1934 and Rule 608
thereunder �(SR-OPRA-2007-03) to modify various provisions of the OPRA
Plan �and the OPRA Fee Schedule to reflect the elimination of separate
fees �for �access �to �market data concerning certain foreign currency
options. �Publication �is �expected in the Federal Register during the
week of December 17. (Rel. 34-56949)
IMMEDIATE ��EFFECTIVENESS �OF �PROPOSED �AMENDMENT �TO �THE �PLAN �FOR
REPORTING �OF �CONSOLIDATED �OPTIONS �LAST �SALE REPORTS AND QUOTATION
INFORMATION
The �Options �Price �Reporting �Authority filed a notice of filing and
immediate �effectiveness �of �a �proposed �Plan �amendment pursuant to
Section �11A �of �the �Securities �Exchange �Act �of 1934 and Rule 608
thereunder ��(SR-OPRA-2007-04) ��to ��revise ��OPRA's ��Fee �Schedule.
Publication �is �expected �in �the Federal Register during the week of
December 17. (Rel. 34-56950)
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.
SB-2 Sterling Oil & Gas CO, 201 W LAKEWAY, SUITE 1000, GILLETTE, WY, 82718,
307-685-3122 - 22,500,000 ($7,750,000.00) Equity, (File 333-148034 -
Dec. 13) (BR. 04)
SB-2 Kurrant Mobile Catering, Inc., 3029 SOUTH CHERRY WAY, DENVER, CO,
80222, (303) 300-5255 - 1,266,534 ($12,665.34) Equity,
(File 333-148035 - Dec. 13) (BR. 04)
SB-2 Goldpoint Resources, Inc., 110 FAIRFAX AVENUE #A11-123, LOS ANGELES,
CA, 90036, 213-590-7249 - 5,000,000 ($100,000.00) Equity,
(File 333-148036 - Dec. 13) (BR. 04)
F-6 ANADIS LTD, 4 CAPITAL LINK DRIVE, CAMPBELLFIELD 3061, VICTORIA, C3,
00000, 50,000,000 ($2,500,000.00) ADRs/ADSs, (File 333-148037 -
Dec. 13) (BR. DN)
SB-2 Attitude Drinks Inc., 11300 U.S. HIGHWAY 1, SUITE 207,
NORTH PALM BEACH, FL, 33408, 561-799-5053 -
6,363,642 ($125.05) Debt Convertible into Equity,
11,033,322 ($262.36) Equity, (File 333-148038 - Dec. 13) (BR. 09)
S-3 US DATAWORKS INC, 5301 HOLLISTER ROAD, SUITE 250, HOUSTON, TX, 77040,
713-934-3856 - 18,139,535 ($4,897,674.45) Equity, (File 333-148039 -
Dec. 13) (BR. 03A)
S-3 FLORIDA POWER CORP, 100 CENTRAL AVENUE, ST. PETERSBURG, FL, 33701,
7278205151 - 0 ($4,000,000,000.00) Unallocated (Universal) Shelf,
(File 333-148040 - Dec. 13) (BR. 02A)
S-8 SELECTICA INC, 8,535,350 ($6,828,280.00) Equity, (File 333-148041 -
Dec. 13) (BR. 03A)
SB-2 Jamaica Jim,Inc., 102 LAKESIDE DRIVE, STEPHENS CITY, VA, 22655,
(540)664-2934 - 6,000,000 ($6,000,000.00) Equity, (File 333-148042 -
Dec. 13) (BR. 06)
S-3ASR WALT DISNEY CO/, 500 SOUTH BUENA VISTA ST, BURBANK, CA, 91521,
8185601000 - 0 ($0.00) Other, (File 333-148043 - Dec. 13) (BR. 05C)
S-8 International Building Technologies Group, Inc.,
1151 HARBOR BAY PARKWAY, SUITE 202, ALAMEDA, CA, 94502, 510-814-3778 -
15,000,000 ($108,000.00) Equity, (File 333-148044 - Dec. 13) (BR. 05C)
SB-2 NEPTUNE INDUSTRIES, INC., 21218 ST. ANDREWS BOULEVARD, SUITE 645,
BOCA RATON, FL, 33433-2449, 561-482-6408 -
17,337,370 ($6,779,751.80) Equity, (File 333-148045 - Dec. 13) (BR. 05C)
S-3 GAMCO INVESTORS, INC. ET AL, ONE CORPORATE CENTER,
401 THEODORE FREMD AVENUE, RYE, NY, 10580, 9149213700 -
943,396 ($56,985,836.00) Equity, (File 333-148046 - Dec. 13) (BR. 08A)
S-8 QUIXOTE CORP, 35 E. WACKER DRIVE, SUITE 1100, CHICAGO, IL, 60601,
3124676755 - 0 ($1,867,500.00) Equity, (File 333-148047 - Dec. 13)
(BR. 06C)
S-8 YAMANA GOLD INC, 150 YORK ST, STE 1902, TORONTO, A6, M5H 3S5,
4168150220 - 7,458,632 ($53,681,697.00) Equity, (File 333-148048 -
Dec. 13) (BR. 04A)
S-1 Aspect Global Diversified Fund LP, C/O STEBEN & COMPANY, INC.,
2099 GAITHER ROAD, SUITE 200, ROCKVILLE, MD, 20850, (240)631-9808 -
120,000,000 ($60,000,060.00) Limited Partnership Interests,
(File 333-148049 - Dec. 13) (BR. )
S-8 DIET COFFEE INC, 1173 A SECOND AVENUE, NEW YORK, NY, 10021,
3472477589 - 17,994,000 ($449,850.00) Equity, (File 333-148050 -
Dec. 13) (BR. 02B)
S-1 China Mining Resources Holdings LTD, C/O SSC MANDARIN GROUP,
ONE INTERNATIONAL FINANCE CENTER, HARBOUR VIEW STREET CENTRAL, K3,
00000, 011-852-2504-2333 - 0 ($169,000,100.00) Other,
(File 333-148051 - Dec. 13) (BR. )
S-8 KULICKE & SOFFA INDUSTRIES INC, 1005 VIRGINIA DRIVE, FT. WASHINGTON,
PA, 19034, 2157846000 - 149,800 ($1,262,814.00) Equity,
(File 333-148052 - Dec. 13) (BR. 10B)
S-3 CANO PETROLEUM, INC, BURNETT PLAZA, 801 CHERRY STREET,
UNIT 25, SUITE 3200, FORT WORTH, TX, 76102, 817-698-0900 -
0 ($150,000,000.00) Unallocated (Universal) Shelf, (File 333-148053 -
Dec. 13) (BR. 04A)
F-3 BANK OF MONTREAL /CAN/, 1 FIRST CANADIAN PLACE, TORONTO,
ONTARIO CANADA, A6, M5X 1A1, 4168677191 -
6,000,000,000 ($6,000,000,000.00) Debt, (File 333-148054 - Dec. 13)
(BR. 07A)
S-8 Teekay Tankers Ltd., C/O TEEKAY CORPORATION, BAYSIDE HOUSE,
WEST BAY ST. & BLAKE P.O. BOX AP-59212, NASSAU, C5, 000000000,
(242) 502-8820 - 1,000,000 ($19,500,000.00) Equity, (File 333-148055 -
Dec. 13) (BR. 05C)
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
-------------------------------------------------------------------------------------------------------
AAR CORP DE 1.01,5.02,9.01 12/11/07
ACA Capital Holdings Inc 3.01,9.01 12/13/07
ACUITY BRANDS INC DE 7.01,9.01 12/13/07
ADVANCED MICRO DEVICES INC DE 5.02,9.01 12/12/07
AE Biofuels, Inc. CO 2.01,3.02,5.01,5.02,5.03,5.06, 12/07/07
9.01
AEOLUS PHARMACEUTICALS, INC. DE 2.02,9.01 12/13/07
AEROTELESIS INC DE 5.02 12/12/07
AES CORP DE 4.01,9.01 12/07/07
ALBANY INTERNATIONAL CORP /DE/ DE 1.01 12/10/07
ALLEGHENY ENERGY, INC MD 1.01,2.03,9.01 12/13/07
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 12/13/07
Altra Holdings, Inc. DE 5.02 12/12/07
AMC ENTERTAINMENT INC DE 5.02 12/09/07
AMERICAN DAIRY INC UT 4.01,9.01 12/07/07
AMERICAN DENTAL PARTNERS INC DE 8.01,9.01 12/12/07
AMERICAN ELECTRIC POWER CO INC NY 5.02,5.03,9.01 12/12/07
AMERICAN ITALIAN PASTA CO DE 5.02,9.01 12/06/07
AMERICAN ITALIAN PASTA CO DE 3.02,5.02 12/07/07
AMERICAN TOWER CORP /MA/ DE 8.01,9.01 12/13/07
AMGEN INC DE 5.02,9.01 12/10/07
AMICAS, Inc. DE 5.03,9.01 12/07/07
ANESIVA, INC. DE 1.01,8.01,9.01 12/12/07
APPALACHIAN POWER CO VA 5.03,9.01 12/12/07
APPLIED NEUROSOLUTIONS INC DE 5.02,9.01 12/13/07
ARENA PHARMACEUTICALS INC DE 8.01 12/13/07
ARENA RESOURCES INC NV 2.01,9.01 12/11/07
ARIAD PHARMACEUTICALS INC DE 5.03,9.01 12/12/07
Arkanova Energy Corp NV 3.02,9.01 10/31/07
ARMSTRONG HOLDINGS INC /PA/ PA 8.01,9.01 12/13/07
ARVANA INC NV 1.01,1.02,2.01,5.02,9.01 12/07/07
ASSURED GUARANTY LTD 7.01,9.01 12/12/07
ATSI COMMUNICATIONS INC/DE NV 1.01,2.03,9.01 12/13/07
AURIGA LABORATORIES, INC. DE 1.01,9.01 12/12/07
AVANIR PHARMACEUTICALS CA 4.02 11/19/07 AMEND
AVI BIOPHARMA INC OR 1.01,7.01,8.01,9.01 12/12/07
AVISTAR COMMUNICATIONS CORP DE 3.01,9.01 12/07/07
BANK JOS A CLOTHIERS INC /DE/ DE 2.02,9.01 12/13/07
BANK OF AMERICA CORP /DE/ DE 8.01,9.01 12/12/07
BARD C R INC /NJ/ NJ 8.01 12/13/07
BARNWELL INDUSTRIES INC DE 8.01,9.01 12/13/07
Belvedere SoCal CA 1.01,3.02,3.03,9.01 12/10/07
BERLINER COMMUNICATIONS INC DE 5.02,9.01 12/10/07
BigBand Networks, Inc. DE 5.02 12/09/07
BIOFORM MEDICAL INC 2.02,9.01 12/13/07
BIOMARIN PHARMACEUTICAL INC DE 8.01,9.01 12/13/07
BLACK & DECKER CORP MD 1.01,1.02,2.03,5.03,9.01 12/13/07
C-BASS 2007-CB1 Trust DE 8.01 12/10/07
C-BASS 2007-CB5 Trust DE 6.02 12/10/07
C-BASS Mortgage Loan Trust 2007-CB3 8.01 12/10/07
CALLON PETROLEUM CO DE 1.01,7.01,9.01 12/10/07
CALPINE CORP DE 1.01,7.01,9.01 12/07/07
CALPINE CORP DE 1.01,7.01,9.01 12/07/07
CALPINE CORP DE 7.01,9.01 12/11/07
CALYPTE BIOMEDICAL CORP DE 7.01,9.01 12/06/07
CARDINAL BANKSHARES CORP VA 8.01,9.01 12/13/07
CASEYS GENERAL STORES INC IA 7.01 12/13/07
CASTLE GROUP INC 2.02,8.01,9.01 12/13/07
CELADON GROUP INC DE 5.03,9.01 12/10/07
CELL THERAPEUTICS INC WA 1.01,2.03,3.02,5.03,7.01,9.01 12/11/07
Celsion CORP MD 1.01,9.01 12/07/07
Chase Mortgage Finance Trust Series 2 DE 8.01,9.01 11/28/07
CHEROKEE INC DE 5.03,9.01 12/10/07
CHINA BAK BATTERY INC NV 2.02,9.01 12/13/07
China Bio Energy Holding Group Co., L 5.02 12/09/07
China Bio Energy Holding Group Co., L 2.02,9.01 10/23/07 AMEND
CHINA DIGITAL MEDIA CORP NV 5.02 12/10/07
China Direct, Inc DE 8.01,9.01 10/01/07 AMEND
CHINA FUND INC MD 7.01,9.01 10/01/07 AMEND
China Public Security Technology, Inc 5.02,8.01,9.01 12/13/07
China Public Security Technology, Inc 1.01,2.01,3.02,9.01 12/13/07
CHINDEX INTERNATIONAL INC DE 1.01,2.03,3.02,8.01,9.01 12/10/07
CIENA CORP DE 2.02,5.02,9.01 12/10/07
CIGNA CORP DE 7.01 12/13/07
CIMAREX ENERGY CO DE 7.01,9.01 12/12/07
CIT GROUP INC DE 5.03,9.01 12/10/07
Clear Channel Outdoor Holdings, Inc. DE 5.03,9.01 12/07/07
CME GROUP INC. DE 1.01,2.03,9.01 12/10/07
CNB Financial Corp. MA 5.02 12/12/07
COCA COLA ENTERPRISES INC DE 5.02,5.03 12/11/07
COMMUNITY BANCORP /VT VT 5.02,9.01 12/11/07
CONSTITUTION MINING CORP NV 5.02 12/13/07
CONTINENTAL AIRLINES INC /DE/ DE 7.01,9.01 09/10/07
CONTINENTAL AIRLINES INC /DE/ DE 7.01,9.01 12/13/07
CONVERSION SERVICES INTERNATIONAL INC DE 1.01,9.01 12/11/07
CORRECTIONS CORP OF AMERICA MD 5.03,9.01 12/13/07
COSTCO WHOLESALE CORP /NEW WA 2.02,9.01 12/13/07
COUNTRYWIDE FINANCIAL CORP DE 2.02,9.01 12/13/07
COVAD COMMUNICATIONS GROUP INC DE 1.01,9.01 12/07/07
CPI INTERNATIONAL, INC. DE 2.02,9.01 12/12/07
CUMMINS INC IN 3.03,9.01 12/13/07
CV THERAPEUTICS INC DE 8.01 12/12/07
Cyberkinetics Neurotechnology Systems DE 8.01,9.01 12/07/07
DANA CORP VA 8.01,9.01 12/12/07
DATAMEG CORP DE 2.01,8.01,9.01 12/07/07
DATATRAK INTERNATIONAL INC OH 7.01,9.01 12/13/07
DELPHI CORP DE 7.01,9.01 12/10/07
DELTIC TIMBER CORP DE 8.01 12/13/07
DENBURY RESOURCES INC DE 5.02,9.01 12/07/07
DIODES INC /DEL/ DE 7.01,9.01 12/12/07
Discovery Holding CO DE 8.01,9.01 12/13/07
DISTRIBUTED ENERGY SYSTEMS CORP DE 5.02,9.01 12/07/07
DOVER SADDLERY INC 7.01,9.01 12/13/07
DOVER SADDLERY INC 7.01,9.01 12/13/07
DOW CHEMICAL CO /DE/ DE 8.01 12/13/07
DRI CORP NC 7.01,9.01 12/13/07
DRS TECHNOLOGIES INC DE 5.02,9.01 12/13/07
DYNEGY INC. DE 7.01,9.01 12/13/07
EAGLE ROCK ENERGY PARTNERS L P DE 1.01,1.02,2.03,7.01,9.01 12/13/07
EASTGROUP PROPERTIES INC MD 5.03,9.01 12/07/07
EASYLINK SERVICES INTERNATIONAL CORP DE 2.01,9.01 12/07/07
EESTech, Inc. 1.01,2.01,9.01 10/22/07
ELECTRO ENERGY INC FL 1.01,3.02,5.03,8.01,9.01 12/07/07
EMPIRE DISTRICT ELECTRIC CO KS 8.01,9.01 12/12/07
EMS TECHNOLOGIES INC GA 1.01 12/07/07
ENCYSIVE PHARMACEUTICALS INC DE 5.02 12/11/07
ENDEAVOUR INTERNATIONAL CORP NV 5.03,9.01 12/12/07
ENDOCARE INC DE 8.01 12/12/07
ENERGEN CORP AL 7.01,9.01 12/12/07
Energy Transfer Partners, L.P. DE 1.01,7.01,9.01 12/12/07
EnerLume Energy Management Corp. CO 3.02 12/12/07
ENTERPRISE BANCORP INC /MA/ MA 1.01,3.03,9.01 12/11/07
ENTERPRISE FINANCIAL SERVICES CORP DE 5.02 12/12/07
ENTROPIC COMMUNICATIONS INC 5.03,9.01 12/13/07
ENVIRONMENTAL POWER CORP DE 3.01,5.03,9.01 12/07/07
EON COMMUNICATIONS CORP DE 8.01 12/13/07
EURONET WORLDWIDE INC DE 8.01,9.01 12/13/07
EVERGREEN SOLAR INC DE 1.01,9.01 12/07/07
FAIRPOINT COMMUNICATIONS INC DE 8.01,9.01 12/12/07
Famous Uncle Als Hot Dogs & Grille In DE 1.01,3.02,8.01,9.01 12/12/07
FARMERS & MERCHANTS BANCORP DE 8.01,9.01 12/12/07
Federal Home Loan Bank of Atlanta X1 2.03 12/10/07
Federal Home Loan Bank of Boston X1 2.03 12/10/07
Federal Home Loan Bank of Chicago X1 2.03 12/11/07
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 12/10/07
Federal Home Loan Bank of Des Moines X1 2.03,9.01 12/10/07
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 12/10/07
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 12/10/07
Federal Home Loan Bank of San Francis X1 2.03 12/10/07
Federal Home Loan Bank of Seattle 2.03 12/12/07
Federal Home Loan Bank of Topeka 2.03 12/10/07
Fieldstone Mortgage Investment Trust, MD 8.01 12/10/07
FIRST MONTAUK FINANCIAL CORP NJ 1.01 12/07/07
Flagship Global Health, Inc. DE 5.02 12/07/07
FLEETWOOD ENTERPRISES INC/DE/ DE 2.02,9.01 12/06/07
FLORIDA POWER CORP FL 8.01,9.01 12/13/07
FOLDERA, INC 5.02,9.01 12/06/07 AMEND
FOREST LABORATORIES INC DE 1.01,2.03,9.01 12/07/07
FORSTER DRILLING CORP NV 8.01,9.01 12/13/07
FOUR OAKS FINCORP INC NC 1.01,9.01 12/10/07
FRANKFORT TOWER INDUSTRIES INC DE 8.01,9.01 12/13/07
FRANKLIN ELECTRONIC PUBLISHERS INC PA 1.01 12/07/07
Frontier Airlines Holdings, Inc. DE 5.02 12/10/07
GAMCO INVESTORS, INC. ET AL NY 5.02,9.01 12/11/07
GENESIS MICROCHIP INC /DE DE 1.01,3.03,9.01 12/10/07
GENWORTH LIFE & ANNUITY INSURANCE CO VA 9.01 12/13/07
GENWORTH LIFE & ANNUITY INSURANCE CO VA 9.01 12/13/07
GENWORTH LIFE & ANNUITY INSURANCE CO VA 9.01 12/13/07
GILEAD SCIENCES INC DE 1.01,8.01,9.01 09/10/07
GLIMCHER REALTY TRUST MD 5.03,9.01 12/07/07
GLOBAL ENERGY INC NV 3.02,9.01 12/05/07
GLOBAL GREEN SOLUTIONS INC. 1.02,3.02 12/07/07
Global Telecom & Technology, Inc. DE 7.01,9.01 12/13/07
GOAMERICA INC DE 8.01 12/13/07
GOODRICH CORP NY 5.02,9.01 12/10/07
GRACO INC MN 5.02 12/07/07
GRUBB & ELLIS CO DE 1.01,2.01,2.03,5.01,5.02,5.03, 12/07/07
8.01,9.01
Grubb & Ellis Healthcare REIT, Inc. MD 1.01,2.01,2.03,7.01,9.01 12/07/07
GTX INC /DE/ DE 5.02 12/11/07
Harbor Acquisition Corp. DE 8.01,9.01 12/13/07
HARSCO CORP DE 2.01,9.01 12/07/07
HAYNES INTERNATIONAL INC DE 2.02,9.01 12/12/07
HEALTH NET INC DE 5.02 12/11/07
HEARTLAND, INC. MD 4.01,9.01 12/13/07
HERCULES OFFSHORE, INC. DE 5.02 12/07/07
HINES HORTICULTURE INC DE 5.02 12/06/07
HOLMES BIOPHARMA, INC. NV 3.01 12/06/07
HOME FEDERAL BANCORP, INC. OF LOUISIA 8.01,9.01 12/12/07
HOME FEDERAL BANCORP, INC. OF LOUISIA 8.01,9.01 12/12/07 AMEND
HOSPITALITY PROPERTIES TRUST MD 5.03,9.01 12/13/07
HRPT PROPERTIES TRUST MD 5.03,9.01 12/13/07
HYPERCOM CORP DE 1.01 12/07/07
HYPERDYNAMICS CORP DE 8.01,9.01 12/13/07
IHOP CORP DE 7.01,9.01 12/13/07
II-VI INC PA 8.01 12/12/07
ILX RESORTS INC AZ 7.01,9.01 12/13/07
ILX RESORTS INC AZ 7.01,9.01 12/13/07
IMCLONE SYSTEMS INC DE 1.01,9.01 12/07/07
INDEPENDENT BANK CORP MA 8.01 12/13/07
INDIANA MICHIGAN POWER CO IN 5.03,9.01 12/12/07
INPHONIC INC 3.01 12/12/07
INSIGHT COMMUNICATIONS CO INC DE 8.01 12/10/07
INSMED INC VA 8.01,9.01 12/12/07
InterDigital, Inc. PA 8.01 12/10/07
INTERNATIONAL FLAVORS & FRAGRANCES IN NY 5.02 12/13/07
INTERNATIONAL PAPER CO /NEW/ NY 5.02 12/11/07
INTERNET CAPITAL GROUP INC DE 1.01,5.02,9.01 12/07/07
INTRAWARE INC DE 5.03,9.01 12/12/07
INVERNESS MEDICAL INNOVATIONS INC DE 8.01,9.01 12/12/07
INVERNESS MEDICAL INNOVATIONS INC DE 8.01,9.01 12/13/07
INVESTORS REAL ESTATE TRUST ND 8.01 12/13/07
IPALCO ENTERPRISES, INC. IN 4.01,9.01 12/13/07
IRON MOUNTAIN INC DE 5.03 12/13/07
IRWIN FINANCIAL CORP IN 1.01,5.02,8.01,9.01 12/13/07
iShares S&P GSCI Commodity-Indexed Tr DE 3.01,9.01 12/10/07
Isilon Systems, Inc. DE 1.02 12/07/07
ITERIS, INC. DE 5.03,9.01 12/07/07
IXYS CORP /DE/ DE 5.03 12/07/07
JACLYN INC DE 1.02,8.01,9.01 12/12/07
JER Investors Trust Inc 5.02 12/12/07
JONES APPAREL GROUP INC PA 5.02 12/10/07
JPMAC 2007-CH1 DE 8.01,9.01 12/13/07
JPMAC 2007-CH2 DE 8.01,9.01 12/13/07
KAISER ALUMINUM CORP DE 1.01,2.03,7.01,9.01 12/07/07
KAISER GROUP HOLDINGS INC DE 8.01 12/13/07
KBS Real Estate Investment Trust, Inc MD 1.01,2.03 12/07/07
KEMET CORP DE 9.01 10/12/07 AMEND
KEY ENERGY SERVICES INC MD 1.01,7.01,9.01 12/07/07
KOPIN CORP DE 3.01,9.01 12/12/07
KRAFT FOODS INC VA 5.02,5.03,9.01 12/07/07
KRAFT FOODS INC VA 5.02 12/07/07 AMEND
Kreido Biofuels, Inc. NV 1.01,5.02,9.01 12/10/07
LANDMARK LAND CO INC/DE DE 5.02 12/12/07
LASALLE RE HOLDINGS LTD 8.01 12/12/07
LATTICE SEMICONDUCTOR CORP DE 7.01,9.01 12/13/07
LCC INTERNATIONAL INC DE 2.02,9.01 12/11/07
LEAP WIRELESS INTERNATIONAL INC DE 2.02,9.01 12/13/07
LEHMAN BROTHERS HOLDINGS INC DE 2.02,9.01 12/13/07
LEHMAN BROTHERS HOLDINGS INC DE 9.01 12/11/07
LEHMAN BROTHERS HOLDINGS INC DE 9.01 12/10/07
LINCOLN EDUCATIONAL SERVICES CORP NJ 8.01,9.01 12/13/07
LUMINENT MORTGAGE CAPITAL INC 1.01,2.03,8.01,9.01 12/07/07
MAGELLAN PETROLEUM CORP /DE/ DE 8.01,9.01 12/12/07
MANATRON INC MI 2.02,9.01 10/31/07
Mariposa Resources, Ltd. NV 5.02 12/13/07
Marquee Holdings Inc. DE 5.02 12/09/07
MASIMO CORP DE 5.02 12/11/07
MAYS J W INC NY 2.02 12/13/07
MBIA INC CT 1.01,3.02,8.01,9.01 12/10/07
MDI, INC. DE 9.01 12/11/07 AMEND
MDU RESOURCES GROUP INC DE 2.03 12/13/07
MEDICAL NUTRITION USA INC NJ 2.02,9.01 12/12/07
MESA OFFSHORE TRUST TX 1.01,8.01,9.01 12/03/07
METALS USA INC DE 5.02 12/06/07
METLIFE INC DE 5.02,9.01 12/11/07
MFA MORTGAGE INVESTMENTS MD 7.01,9.01 12/13/07
MICROFIELD GROUP INC OR 8.01 12/12/07
MICRON TECHNOLOGY INC DE 5.02 12/13/07 AMEND
MIDWEST AIR GROUP INC WI 8.01,9.01 12/12/07
MINE SAFETY APPLIANCES CO PA 5.02,9.01 12/11/07
MIPS TECHNOLOGIES INC DE 5.02,9.01 12/07/07
MMC ENERGY, INC. DE 5.02,8.01,9.01 12/09/07
MODINE MANUFACTURING CO WI 1.01,2.05,2.06,9.01 12/11/07
MOHEGAN TRIBAL GAMING AUTHORITY 2.02,9.01 12/13/07
MONMOUTH REAL ESTATE INVESTMENT CORP MD 2.02,9.01 12/13/07
MONSTER WORLDWIDE INC DE 5.03,9.01 03/08/07
Morgan Stanley Capital I Trust 2007-I DE 8.01,9.01 11/29/07
Morgan Stanley Mortgage Loan Trust 20 8.01,9.01 06/29/07
MSC INDUSTRIAL DIRECT CO INC NY 3.01,5.02 12/07/07
MULTIMEDIA GAMES INC TX 5.03,9.01 12/07/07
NATIONAL BANK OF INDIANAPOLIS CORP IN 4.01,9.01 12/07/07
NATIONAL BEEF PACKING CO LLC DE 7.01,9.01 12/12/07
NATIONAL ENERGY GROUP INC DE 8.01,9.01 12/13/07
NATIONAL FINANCIAL PARTNERS CORP 1.01,9.01 12/11/07
NATIONAL RURAL UTILITIES COOPERATIVE DC 5.02 12/11/07
NATIONAL TECHNICAL SYSTEMS INC /CA/ CA 2.02,9.01 12/13/07
NAVISTAR INTERNATIONAL CORP DE 1.01 12/13/07
NCO Group, Inc. 1.01,7.01,9.01 12/11/07
NEUROLOGIX INC/DE DE 8.01,9.01 12/13/07
New Oriental Energy & Chemical Corp. DE 7.01,9.01 12/13/07
NewPage Holding CORP DE 1.01,9.01 12/07/07
NEWS CORP 8.01,9.01 12/13/07
NEXTPHASE WIRELESS, INC. NV 1.01,8.01 12/13/07
NGP Capital Resources CO MD 7.01 12/13/07
NORTH AMERICAN SCIENTIFIC INC 1.01,3.02,5.02,8.01,9.01 12/11/07
NORTHWESTERN CORP DE 7.01,9.01 12/13/07
NOVAMERICAN STEEL INC. DE 4.01,5.03,9.01 12/07/07
NOVELL INC DE 2.05 10/31/07
NOVELL INC DE 2.02,9.01 10/31/07
NRDC Acquisition Corp. DE 4.01,9.01 12/10/07
NYFIX INC DE 5.02 12/11/07
NYMEX HOLDINGS INC DE 5.02,9.01 12/11/07
Omega Flex, Inc. PA 8.01,9.01 12/13/07 AMEND
ON SEMICONDUCTOR CORP DE 1.01,8.01,9.01 12/13/07
OPEN ENERGY CORP NV 1.01,2.03,3.02,3.03,9.01 12/07/07
ORBIT INTERNATIONAL CORP DE 4.01 12/11/07
ORCHESTRA THERAPEUTICS, INC. DE 1.01 12/06/07
PACIFICNET INC DE 1.01,9.01 12/07/07
PARKER HANNIFIN CORP OH 5.02 12/07/07
PAULSON CAPITAL CORP OR 8.01,9.01 12/13/07
PENN NATIONAL GAMING INC PA 8.01,9.01 12/12/07
PENNANTPARK INVESTMENT CORP 2.02,9.01 12/13/07
Phoenix International Ventures, Inc. NV 4.01,9.01 12/10/07
PINNACLE ENTERTAINMENT INC DE 5.03,9.01 12/11/07
PIONEER DRILLING CO TX 5.03,9.01 12/10/07
PRA International DE 3.01,3.03,5.01,5.02 12/13/07
PRESIDENTIAL REALTY CORP/DE/ DE 1.01,9.01 12/12/07
PROCYON CORP CO 8.01,9.01 12/08/07
PROELITE, INC. NJ 1.01,3.02,9.01 12/07/07
PSS WORLD MEDICAL INC FL 8.01 12/07/07
PUBLIC SERVICE CO OF OKLAHOMA OK 5.03,9.01 12/12/07
PUBLICARD INC PA 7.01,9.01 11/29/07
QUANTA CAPITAL HOLDINGS LTD 5.02,9.01 12/13/07
QUANTUM GROUP INC /FL 8.01,9.01 12/13/07
Quicksilver Gas Services LP DE 5.02,9.01 12/10/07
QUIKSILVER INC DE 2.02,9.01 12/13/07
RAYONIER INC NC 5.02,9.01 12/07/07
RAZOR RESOURCES INC DE 5.02 11/27/07
RBC LIFE SCIENCES, INC. DE 5.02,9.01 12/07/07
REALTY INCOME CORP MD 5.02 12/12/07
REALTY INCOME CORP MD 5.03 12/12/07
RED CARPET ENTERTAINMENT INC NV 1.01,2.01,3.02,5.01,5.02,5.03, 12/12/07
5.06,9.01
RED ROBIN GOURMET BURGERS INC DE 5.03 12/07/07
REDHOOK ALE BREWERY INC WA 5.02,8.01,9.01 12/10/07
Regency Energy Partners LP DE 1.01,3.02,8.01,9.01 12/10/07
RENT A CENTER INC DE 5.02 12/07/07
RENTECH INC /CO/ CO 1.01,9.01 12/07/07
REPLIGEN CORP DE 5.02,9.01 12/12/07
RETAIL VENTURES INC OH 2.02,9.01 12/13/07
RICA FOODS INC NV 8.01 11/30/07
RICA FOODS INC NV 8.01,9.01 12/13/07
RIGEL PHARMACEUTICALS INC DE 8.01,9.01 12/13/07
SAFEWAY INC DE 2.02,8.01,9.01 12/13/07
SAMARITAN PHARMACEUTICALS INC NV 3.01,7.01,9.01 12/13/07
SANTARUS INC DE 1.01,9.01 12/11/07
Security Capital Assurance Ltd D0 8.01,9.01 12/13/07
SENIOR HOUSING PROPERTIES TRUST MD 5.03,8.01,9.01 12/12/07
SENTRY PETROLEUM LTD. 8.01,9.01 12/12/07
SGX PHARMACEUTICALS, INC. DE 1.01,9.01 12/10/07
SoftBrands, Inc. DE 2.02,9.01 12/13/07
SOUTHWESTERN ELECTRIC POWER CO DE 5.03,9.01 12/12/07
Spansion Inc. DE 1.01,9.01 12/12/07
Spectra Energy Corp. DE 5.02 12/13/07
SPLINTERNET HOLDINGS INC DE 1.01,9.01 12/10/07
SPSS INC DE 5.02 12/13/07
streetTRACKS GOLD TRUST 8.01,9.01 12/13/07
SUN HYDRAULICS CORP FL 5.02,8.01,9.01 12/07/07
SUPPORTSOFT INC DE 5.03,9.01 12/11/07
SYMYX TECHNOLOGIES INC DE 5.02 12/10/07
TAYLOR CAPITAL GROUP INC DE 8.01,9.01 12/12/07
TECHPRECISION CORP 7.01,9.01 12/11/07
TECUMSEH PRODUCTS CO MI 1.01,2.01,7.01,9.01 12/07/07
TEEKA TAN PRODUCTS, INC. DE 5.03,7.01,8.01,9.01 12/07/07
TEMPLE INLAND INC DE 8.01,9.01 12/13/07
TENDERCARE INTERNATIONAL INC CO 5.01 12/07/07
TERADYNE, INC MA 1.01,9.01 12/11/07
TERRA SYSTEMS CORP UT 7.01,9.01 12/13/07
THAXTON GROUP INC SC 1.01,8.01,9.01 12/10/07
THESTREET COM DE 1.01 12/07/07
THIRD WAVE TECHNOLOGIES INC /WI DE 1.01,2.03,3.02,9.01 12/10/07
TIB FINANCIAL CORP. FL 1.01,7.01,9.01 12/13/07
TIER TECHNOLOGIES INC DE 2.02,9.01 12/13/07
TITAN INTERNATIONAL INC IL 1.01,9.01 12/12/07
TomoTherapy Inc 8.01,9.01 12/13/07
TOWER TECH HOLDINGS INC. NV 1.01,3.02,9.01 12/09/07
TRAILER BRIDGE INC 7.01,9.01 12/12/07
Tropicana Entertainment, LLC DE 8.01,9.01 12/13/07
TVI CORP MD 3.01,5.02,9.01 12/04/07
TX Holdings, Inc. GA 9.01 12/12/07
U-Store-It Trust MD 7.01,9.01 12/13/07
U. S. Premium Beef, LLC 7.01,9.01 12/12/07
U.S. Auto Parts Network, Inc. DE 5.02 12/10/07
ULTRALIFE BATTERIES INC DE 5.02 12/07/07
UNISOURCE ENERGY CORP AZ 5.02 12/07/07
URANERZ ENERGY CORP. NV 8.01 12/06/07
URANIUM ENERGY CORP NV 3.02 12/12/07
Uranium Hunter CORP NV 8.01,9.01 12/11/07
USEC INC DE 5.03,9.01 12/13/07
UTILITY INVESTMENT RECOVERY, INC. 5.02 12/13/07
VALERO ENERGY CORP/TX DE 5.02,9.01 12/11/07
Vanda Pharmaceuticals Inc. DE 8.01,9.01 12/12/07
VERAMARK TECHNOLOGIES INC DE 1.01,9.01 12/10/07
VIASPACE Inc. NV 5.03,8.01,9.01 12/07/07
VISTACARE, INC. DE 2.02,9.01 12/11/07
VISTEON CORP DE 7.01,8.01,9.01 12/12/07
VITAL SIGNS INC NJ 2.02,9.01 12/12/07
VIVUS INC CA 8.01,9.01 12/12/07
Volcom Inc 7.01,8.01 12/13/07
Voyant International CORP NV 3.02,5.02,9.01 12/07/07
Wells Fargo Alternative Loan 2007-PA6 DE 8.01,9.01 11/28/07
Wells Fargo Mortgage Backed Securitie DE 8.01,9.01 11/28/07
Wells Fargo Mortgage Backed Securitie DE 9.01 11/29/07
Wells Timberland REIT, Inc. MD 1.01 12/13/07
Western Goldfields Inc. A6 7.01,9.01 12/13/07
WHITE ELECTRONIC DESIGNS CORP ID 2.02,9.01 11/28/07 AMEND
WILSHIRE BANCORP INC CA 5.02,9.01 12/07/07
WORLD HEART CORP A6 1.01,2.03,3.02,9.01 12/11/07
XCEL ENERGY INC MN 8.01,9.01 12/13/07 AMEND
XENOPORT INC DE 8.01 12/13/07
YUKON GOLD CORP INC DE 5.02,9.01 12/13/07
http://www.sec.gov/news/digest/2007/dig121407.htm
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