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SEC NEWS DIGEST
Issue 2007-244 December 20, 2007
ENFORCEMENT PROCEEDINGS
IN THE MATTER OF CHRIS G. GUNDERSON, ESQ.
An Administrative Law Judge has issued an Initial Decision in Chris G.
Gunderson, �Esq. �The �Initial Decision finds that Respondent Chris G.
Gunderson �was permanently enjoined from future violations of Sections
5 �and �17(a) �of �the Securities Act of 1933 and Section 10(b) of the
Securities �Exchange Act of 1934 and Rule 10b-5 thereunder by the U.S.
District �Court �for �the �Southern �District of New York. The Initial
Decision concludes that, pursuant to Rule 102(e) of the Securities and
Exchange �Commission's �(Commission) �Rules �of Practice, it is in the
public �interest �and �necessary �to �preserve �the �integrity �of the
Commission's procedures to permanently disqualify Respondent Gunderson
from �practicing or appearing before the Commission. (Initial Decision
No. 339; File No. 3-12653)
GREGORY �B. �TAYLER, �CA �REINSTATED TO APPEAR AND PRACTICE BEFORE THE
COMMISSION �AS AN ACCOUNTANT RESPONSIBLE FOR THE PREPARATION OR REVIEW
OF FINANCIAL STATEMENTS REQUIRED TO BE FILED WITH THE COMMISSION
Pursuant �to �Rule 102(e)(5)(i) of the Commission's Rules of Practice,
Gregory �B. �Tayler, CA has applied for and been granted reinstatement
of �his �privilege �to appear and practice before the Commission as an
accountant �responsible �for �the �preparation �or review of financial
statements �required �to �be filed with the Commission. Mr. Tayler was
suspended �from �appearing or practicing before the Commission on July
7, �2003. �His reinstatement is effective immediately. (Rel. 34-57008;
AAE Rel. 2759; File No. 3-11171)
JOHN �LAWBAUGH, �FORMER �CEO �OF �1ST �ATLANTIC GUARANTY CORP. AND SBM
CERTIFICATE �CO., SENTENCED TO 33 MONTHS IN PRISON FOR STEALING $3.128
MILLION FROM INVESTMENT COMPANIES, WIRE FRAUD, AND TAX EVASION
The �Commission announced today that, on December 17, John J. Lawbaugh
(Lawbaugh), �age �38, of Poolesville, Maryland, the former Chairman of
the ��Board �of �Directors, �Chief �Executive �Officer, �and �majority
shareholder of 1st Atlantic Guaranty Corp. (1st Atlantic) and Chairman
and CEO of SBM Certificate Company (SBM), both face-amount certificate
companies �registered �with �the �Commission, �was �sentenced �by U.S.
District �Judge �Roger �W. �Titus, �of the U.S. District Court for the
District �of Maryland, to 33 months in prison, followed by three years
of �supervised �release, based upon his guilty plea to charges of wire
fraud, �theft �from �a �registered �investment company, and income tax
evasion. �Lawbaugh was convicted of stealing more than $3 million from
1st Atlantic and SBM, which funds he admitted were diverted to his own
use.
Previously, �on �Sept. �29, �2003, the Commission filed an enforcement
action �against �Lawbaugh �charging �him with fraud, embezzlement, and
other �prohibited �conduct �in �connection �with �his operation of 1st
Atlantic �and �SBM. �SEC �v. Lawbaugh, Civil Action No. 03-cv-2768 (D.
Md.) �On �March �14, 2005, the Commission obtained a default judgment,
permanently �restraining and enjoining Lawbaugh from violating Section
17(a) of the Securities Act of 1933 (Securities Act), Section 10(b) of
the �Securities �Exchange �Act �of �1934 (Exchange Act) and Rule 10b-5
thereunder, and Sections 17(e)(1), 34 and 37 of the Investment Company
Act �of �1940 �(Investment �Company �Act); permanently restraining and
enjoining �him �from �serving �as �an �officer, director, member of an
advisory �board, �investment �adviser, �or depositor of any registered
investment �company, �or as a principal underwriter for any registered
open-end �investment �company, �unit �investment trust, or face-amount
certificate �company �pursuant �to �Section �36(a) �of �the Investment
Company �Act; permanently restraining and enjoining him from acting as
an �officer �or �director �of �a �public �company �pursuant to Section
21(d)(2) �of the Exchange Act; holding him liable for disgorgement and
prejudgment �interest in the amount of $4,149,752.89, and finding that
amount �satisfied �as �a �result �of �the forced sale in bankruptcy of
Lawbaugh's �entire stock interest in 1st Atlantic; as well as ordering
Lawbaugh to pay a civil penalty of $120,000.
Additional �information may be found in Litigation Release Nos. 18377,
20169. �[U.S. �v. �Lawbaugh, �Criminal Action No. 05-cr-0402 (D. Md.)]
(LR-20408)
SEC OBTAINS $1.77 MILLION JUDGMENT AGAINST WEBSITE OPERATORIN INTERNET
STOCK MANIPULATION SCHEME
The ���Commission �today �announced �that �the �U.S. �District �Court,
Central �District �of �California, �has �entered final judgment in the
Commission's ����civil �securities �fraud �case �against �Nicholas �A.
Czuczko. ��Czuczko �was �the �operator �of �an �Internet �website �who
defrauded �investors �by �secretly �selling �the stocks he recommended
as �"mega �bonus �buys" �on �his �site, �www.thestockster.com. Czuczko
previously ���consented, ���without ���admitting ���or ���denying �the
allegations �of �the �Commission's �complaint, �to �entry �of an order
enjoining �him �from �further �violations �of the securities laws.
The �Commission's complaint alleges that between December 2005 and the
end ��of ��March ��2006, ��Czuczko, ��age ��35, ��of ��Beverly �Hills,
California, �routinely �promoted �thinly-traded �penny �stocks �on his
Stockster �website �while �he personally planned to sell his shares of
the �stocks �into �the �rising �price �spurred �by the recommendation.
Czuczko's �practice �was �to �buy �shares �of �the �recommended stocks
shortly ��before ��posting ��the ��buy ��selection ��on �the Stockster
website. �When �unsuspecting �Internet visitors bought the recommended
stocks �and, �as �Czuczko �intended, drove up the price of the shares,
Czuczko �sold �or �"scalped" �his �holdings �for �substantial �profits
without �disclosing �his �own �sales �on �the Stockster site. To drive
visitors �to �the �Stockster �website �and thus increase the number of
potential �investors, �Czuczko �spent considerable sums on a sustained
Internet ��advertising ��campaign. ��According ��to ��the Commission's
complaint, �in �a �related �scheme, �Czuczko �touted shares of his own
company, �Epic Media, Inc., on a predecessor to the Stockster website.
After the price of Epic Media stock spiked, Czuczko sold his shares at
a �profit. �Czuczko �did �not �publicly �disclose �those trades, among
others, �in �stock �ownership �forms �required �to �be �filed with the
Commission �under �federal �securities �laws.
The �Commission �filed its complaint on Aug. 1, 2006. On Dec. 5, 2007,
the �court �entered �judgment enjoining Czuczko from future violations
of �the �antifraud �provisions of the federal securities laws (Section
17(a) of the Securities Act of 1933, �Section �10(b) of the Securities
Exchange �Act �of �1934, �and �Rule 10b-5 thereunder), as well as from
future �violations �of �the �ownership �disclosure �provisions �of the
federal �securities �laws �(Section �16(a) �of the Securities Exchange
Act �and �Rule �16a-3 �thereunder). �In �addition, �the �court ordered
Czuczko �to �disgorge �$1,552,463 in ill-gotten gains plus $121,105.64
in �prejudgment �interest, imposed a $100,000 civil monetary �penalty,
and �barred �him �from �participating �in �penny �stock �offerings and
from ��serving �as �an �officer �or �director �of �a �publicly �traded
company. �[SEC �v. �Nicholas A. Czuczko, Case No. CV 06-4792 ODW (C.D.
Cal.)] �(LR-20409) �
SEC �FILES �SETTLED �BOOKS �AND RECORDS AND INTERNAL �CONTROLS CHARGES
AGAINST �AKZO �NOBEL �N.V. �FOR �IMPROPER PAYMENTS TO �IRAQ UNDER THE
U.N. �OIL FOR FOOD PROGRAM - - COMPANY AGREES TO PAY OVER $2.9 MILLION
The �Commission �today �filed �Foreign Corrupt Practices Act books and
records �and �internal �controls �charges �against �Akzo Nobel N.V., a
Netherlands-based �pharmaceutical �company, in the U.S. District Court
for �the District of Columbia. The Commission's complaint alleges that
from �2000 �to �2003, �two of Akzo Nobel's subsidiaries authorized and
made �$279,491 �in kickback payments in connection with their sales of
humanitarian �goods �to �Iraq �under �the �U.N. �Oil �for Food Program
(Program). �The �kickbacks �were characterized as "after-sales service
fees" �(ASSFs), �but no bona fide services were performed. The Program
was �intended to provide humanitarian relief for the Iraqi population,
which �faced �severe �hardship under international trade sanctions. It
allowed �the Iraqi government to purchase humanitarian goods through a
U.N. �escrow �account. �The �kickbacks �paid �in �connection with Akzo
Nobel's �subsidiaries' �sales �to Iraq bypassed the escrow account and
were paid by third parties to Iraqi-controlled accounts in Lebanon and
Jordan.
According to the Commission's Complaint:
Akzo �Nobel's �subsidiary Intervet International B.V. entered into one
Program �contract �involving a kickback payment of $38,741. During the
Program, �Intervet �conducted �business �in �Iraq through two separate
agents, �who were paid jointly on all Iraqi contracts. In August 2000,
the �agents' fees were 2.5 percent each. In September 2000, one of the
agents �informed �Intervet �that �the �Iraqi �ministry �required �that
Intervet �make �a five percent kickback under a Program contract under
negotiation. �Although Intervet initially refused to make the payment,
at �the �contract �signing, �an Intervet employee who was aware of the
kickback �demand saw the agent deliver an envelope to one of the Iraqi
representatives. Shortly thereafter, the agent sought reimbursement of
the �five percent kickback made on the contract. In order to reimburse
the �agent �for �the kickback while not accurately reflecting the true
purpose �of �the �payment �in �the �company's �books �and records, the
Intervet �employees �agreed �to �revert �to Intervet's pre-August 2000
commission �arrangement �with its two agents, giving each agent a five
percent commission. By doing so, the agents could keep the 2.5 percent
they were each entitled to receive and the agent who paid the kickback
could �be �reimbursed �for �the �five �percent �passed on to the Iraqi
ministry.
Akzo Nobel's subsidiary N.V. Organon entered into three contracts that
involved the payment of $240,750 in ASSF payments. The same agent that
worked �on �the �Intervet �transaction �was �involved in each of these
transactions. �On �the �first contract, Organon and the Iraqi ministry
agreed �on �an �initial contract price. However, when Organon prepared
the �contract �documents �that �were �approved �by �the �U.N., Organon
inflated �the contract price by ten percent to cover the ASSF payment.
On �the two subsequent contracts, Organon simply agreed with the Iraqi
ministry �on �an �initial �contract �price �that �was �inflated by ten
percent, �and �then submitted that inflated contract price in the U.N.
documents. �An �Organon �employee �created backdated price quotes that
matched �the �pricing �reflected �in �the three contracts. The agent's
commission �was �increased �from �five �percent �to fifteen percent to
account for the ten percent kickback. On the first contract, the agent
requested �that Organon pay ten percent of his commission to an entity
called �"Sabbagh Drugstore." On the remaining two contracts, the agent
requested �that Organon pay the extra ten percent commissions directly
to �an �account in his name. The Organon employees were aware that the
contract �price �submitted to the U.N. was inflated by ten percent and
that �the �increase �in the agent's commission resulted in money going
directly to the Iraqi Ministry of Health, also known as Kimadia.
Akzo �Nobel �knew or was reckless in not knowing that illicit payments
were ��either �offered �or �paid �in �connection �with �all �of �these
transactions. �Akzo �Nobel �failed �to �maintain an adequate system of
internal �controls �to �detect �and prevent the payments. Akzo Nobel's
accounting for these transactions failed properly to record the nature
of �the �company's payments, and characterized the ASSFs as legitimate
commission payments to the agent.
Akzo �Nobel, �without �admitting �or �denying �the �allegations in the
Commission's �complaint, �consented �to �the entry of a final judgment
permanently ��enjoining ��it ��from ��future ��violations �of Sections
13(b)(2)(A) �and �13(b)(2)(B) �of the Securities Exchange Act of 1934,
ordering �it �to disgorge $1,647,363 in profits, plus $584,150 in pre-
judgment �interest, and to pay a civil penalty of $750,000. Akzo Nobel
will �also �enter �into �a �non-prosecution �agreement �with �the U.S.
Department �of �Justice, Fraud Section. Akzo Nobel's former subsidiary
will ��enter �into �a �criminal �disposition �with �the �Dutch �Public
Prosecutor pursuant to which it will pay a fine.
The �Commission �considered �remedial acts promptly undertaken by Akzo
Nobel, �which �self-reported, �and cooperation afforded the Commission
staff in its continuing investigation. The Commission acknowledges the
assistance �of the Department of Justice, Fraud Section and the United
Nations Independent Inquiry Committee. [SEC v. Akzo Nobel, N.V., Civil
Action No. 07-CV-02293 (D.D.C.) (HHK)] (LR-20410)
SELF-REGULATORY ORGANIZATIONS
APPROVAL OF PROPOSED RULE CHANGE
The Commission approved a proposed rule change filed by NYSE Arca (SR-
NYSEArca-2007-87) �and �Amendment No. 2 thereto, to amend listing fees
for �Structured �Products. �Publication �is �expected �in �the Federal
Register during the week of December 24. (Rel. 34-56975)
PROPOSED RULE CHANGES
The �American �Stock Exchange filed a proposed rule change as modified
by Amendments No. 1 and 2 thereto (SR-Amex-2007-79) to modify the cure
period available to a listed issuer that loses an independent director
or �audit �committee �member. �Publication �is expected in the Federal
Register during the week of December 24. (Rel. 34-56982)
The New York Stock Exchange filed a proposed rule change and Amendment
No. �1 �thereto �(SR-NYSE-2007-110) �to �amend �its �listing �fees for
structured �products, �short-term �securities, �and �debt �securities.
Publication �is �expected �in �the Federal Register during the week of
December 24. (Rel. 34-56984)
ACCELERATED APPROVAL OF PROPOSED RULE CHANGES
The �Commission granted accelerated approval to a proposed rule change
(SR-NYSEArca-2007-128), �as �modified �by �Amendment �No. �1 �thereto,
submitted by NYSE Arca, through its wholly owned subsidiary, NYSE Arca
Equities, �Inc., �relating to the listing and trading of shares of the
iShares �MSCI �Japan �Small Cap Index Fund. Publication is expected in
the Federal Register during the week of December 24. (Rel. 34-56983)
The �Commission granted accelerated approval to a proposed rule change
(SR-NASDAQ-2007-098) �submitted by The NASDAQ Stock Market relating to
the �trading �of �certain �securities �outside �of �the Regular Market
Session. �Publication �is �expected in the Federal Register during the
week of December 24. (Rel. 34-56985)
The �Commission granted accelerated approval to a proposed rule change
(SR-NYSEArca-2007-119), �as �modified �by �Amendment �No. �1 �thereto,
submitted �by �the �NYSE Arca to list and trade shares of the BearLink
Alerian �MLP �Select Index ETN. Publication is expected in the Federal
Register during the week of December 24. (Rel. 34-56987)
The �Commission granted accelerated approval to a proposed rule change
(SR-Amex-2007-104), �as modified by Amendment No. 1 thereto, submitted
by �the �American �Stock �Exchange �to list and trade shares of eleven
funds �of �the ProShares Trust. Publication is expected in the Federal
Register during the week of December 24. (Rel. 34-56998)
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE
The Options Clearing Corporation filed a proposed rule change (SR-OCC-
2007-15) �under �Section 19(b)(3)(A) of the Securities Exchange Act to
clarify �that �the �existing �by-laws �and �rules �of OCC constitute a
"cross-margining �or �similar �arrangement" for purposes of the United
States �Bankruptcy �Code �with respect to cleared contracts carried in
any �proprietary account at OCC to the extent that commodity contracts
and �securities contracts are permitted to be carried in such account.
The �proposed �rule �change �became �effective �upon �filing �with the
Commission. Publication is expected in the Federal Register during the
week of December 24. (Rel. 34-56991)
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 MASIMO CORP, 2852 KELVIN AVE, STE 100, IRVINE, CA, 92614, 7142509688 -
11,218,285 ($167,699,925.70) Equity, (File 333-148149 - Dec. 19)
(BR. 10B)
S-1 FINISAR CORP, 1389 MOFFETT PARK DR, SUNNYVALE, CA, 94089, 4085481000 -
0 ($100,000,000.00) Debt Convertible into Equity, (File 333-148150 -
Dec. 19) (BR. 10B)
S-1 PROMETHEUS LABORATORIES INC, 5739 PACIFIC CENTER BLVD, SAN DIEGO, CA,
92121, 8585874115 - 0 ($100,000,000.00) Equity, (File 333-148151 -
Dec. 19) (BR. 01B)
S-8 TECHPRECISION CORP, ONE BELLA DRIVE, WESTMINSTER, MA, 01473,
978-874-0591 - 1,000,000 ($3,450,000.00) Equity, (File 333-148152 -
Dec. 19) (BR. 09)
S-3ASR EQUITABLE RESOURCES INC /PA/, 225 NORTH SHORE DR, PITTSBURGH, PA,
15212-5861, 4125535700 - 0 ($0.00) Other, (File 333-148154 - Dec. 19)
(BR. 02C)
SB-2 NP Capital Corp, 818 A1A NORTH,, SUITE 201, PONTE VEDRA BEACH, FL,
32082, (904) 280-2669 - 3,280,512 ($2,296,358.40) Equity,
(File 333-148155 - Dec. 19) (BR. 10C)
S-3 Hill International, Inc., 303 LIPPINCOTT CENTRE, MARLTON, NJ, 08053,
(856) 810-6200 - 0 ($16,513,200.00) Equity, (File 333-148156 - Dec. 19)
(BR. 06C)
SB-2 INTERNATIONAL MEDICAL STAFFING, 542 EAST 3RD STREET, BROOKLYN, NY,
11218, 646 383 2404 - 2,000,000 ($50,000.00) Equity, (File 333-148158 -
Dec. 19) (BR. 08)
S-8 Quest Energy Partners, L.P., 9520 N. MAY, SUITE 300, OKLAHOMA CITY, OK,
73120, 405-488-1304 -
2,115,950 ($29,898,373.50) Limited Partnership Interests,
(File 333-148159 - Dec. 19) (BR. 04B)
S-8 NaturalNano , Inc., 15 SCHOEN PLACE, PITTSFORD, NY, 14534,
585-267-4850 - 17,000,000 ($2,210,000.00) Equity, (File 333-148163 -
Dec. 19) (BR. 01C)
S-8 FAVRILLE INC, 0 ($8,244,308.76) Equity, (File 333-148164 - Dec. 19)
(BR. 01B)
S-3 PHH MORTGAGE CAPITAL LLC, 3000 LEADENHALL ROAD, MT LAUREL, NJ, 08054,
8569176000 - 0 ($1,000,000.00) Mortgage Backed Securities,
(File 333-148166 - Dec. 19) (BR. 05D)
SB-2 Euro Trend Inc., 13 FALCON HILL, LOVERS WALK TIVOLI, CORK, L2, 0000,
00-353-862-44-5850 - 1,812,500 ($271,875.00) Equity, (File 333-148167 -
Dec. 19) (BR. 09)
S-1 MALVERN FEDERAL BANCORP INC, 42 EAST LANCASTER AVENUE, PAOLI, PA,
19301, 610-644-9400 - 4,165,875 ($41,658,750.00) Equity,
(File 333-148169 - Dec. 19) (BR. 07)
S-4 PAETEC Holding Corp., (585) 340-2500 - 0 ($204,045,387.00) Equity,
(File 333-148172 - Dec. 19) (BR. 11A)
S-4 OLD SECOND BANCORP INC, 37 S RIVER ST, AURORA, IL, 60507, 7088920202 -
0 ($14,938,042.00) Equity, (File 333-148173 - Dec. 19) (BR. 07A)
SB-2 FUTUREIT, INC., 4 HAMELACHA STREET, LOD, L3, 71520, 972-8-920-8070 -
11,432,020 ($5,716,010.00) Equity, (File 333-148174 - Dec. 19) (BR. )
SB-2 ORAMED PHARMACEUTICALS INC., 2 ELZA STREET, JERUSALEM, L3, 93706,
011 972-54-7909058 - 8,638,025 ($4,440,907.50) Equity,
(File 333-148175 - Dec. 19) (BR. 04B)
S-8 ADC TELECOMMUNICATIONS INC, 13625 TECHNOLOGY DRIVE, EDEN PRAIRIE, MN,
55344, 9529388080 - 0 ($4,385,296.50) Equity, (File 333-148176 -
Dec. 19) (BR. 11B)
S-8 QUALCOMM INC/DE, 5775 MOREHOUSE DR, SAN DIEGO, CA, 92121, 8585871121 -
0 ($31,669,271.00) Equity, (File 333-148177 - Dec. 19) (BR. 11B)
SB-2 Eagle Bend Holding CO, 5445 DTC Parkway, Suite 490, Greenwood Village,
CO, 80111, 100,000 ($100,000.00) Equity, (File 333-148180 - Dec. 19)
(BR. )
S-3 EXTERRAN PARTNERS, L.P., 4444 BRITTMORE ROAD, HOUSTON, TX, 77041-8004,
713-335-7000 -
2,014,395 ($65,769,996.75) Limited Partnership Interests,
(File 333-148181 - Dec. 19) (BR. 02B)
S-8 ZEBRA TECHNOLOGIES CORP/DE, 333 CORPORATE WOODS PKWY, VERNON HILLS, IL,
60061, 7086346700 - 0 ($2,756,663.32) Equity, (File 333-148183 -
Dec. 19) (BR. 10C)
S-8 INTEGRATED SILICON SOLUTION INC, 2231 LAWSON LANE, SANTA CLARA, CA,
95054-3311, 4085880800 - 7,100,000 ($45,503,000.00) Equity,
(File 333-148184 - Dec. 19) (BR. 10B)
S-8 INSPIRE PHARMACEUTICALS INC, 4222 EMPEROR BLVD STE 200, DURHAM, NC,
27703-8466, 9199419777 - 5,000,000 ($25,000,000.00) Equity,
(File 333-148185 - Dec. 19) (BR. 01A)
S-3ASR POWERWAVE TECHNOLOGIES INC, 1801 E. ST. ANDREW PLACE, SANTA ANA, CA,
92705, 7144661000 - 0 ($150,000,000.00) Debt Convertible into Equity,
(File 333-148186 - Dec. 19) (BR. 11B)
S-1 DANGER INC, 3101 PARK BOULEVARD, PALO ALTO, CA, 94306, 650-289-5000 -
0 ($100,050,000.00) Equity, (File 333-148187 - Dec. 19) (BR. )
S-8 SEATTLE GENETICS INC /WA, 21823 30TH DRIVE SE, SUITE, BOTHELL, WA,
98021, 4255274000 - 5,500,000 ($59,785,000.00) Equity,
(File 333-148188 - Dec. 19) (BR. 01C)
SB-2 Jupiter Resources Inc., SUITE 98-1446 WEST 13 AVENUE, VANCOUVER, A1,
V6H 1N9, 604-537-9788 - 2,000,000 ($20,000.00) Equity,
(File 333-148189 - Dec. 19) (BR. )
SB-2 Mojo Shopping Inc, 6620 Escondido Street, Suite E, Las Vegas, NV,
89119, 702-349-5750 - 1,000,000 ($20,000.00) Equity, (File 333-148190 -
Dec. 19) (BR. )
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
--------------------------------------------------------------------------------------------------------
3COM CORP DE 2.02,7.01,8.01,9.01 12/19/07
8X8 INC /DE/ DE 5.03,9.01 12/18/07
AAR CORP DE 2.02,9.01 12/18/07
ACCENTURE LTD 2.02,9.01 12/19/07
ACCENTURE SCA 2.02,9.01 12/19/07
ACE LTD D0 1.01,1.02,2.03 12/14/07
ACORN FACTOR, INC. DE 2.01,8.01,9.01 12/14/07
ACTUANT CORP WI 2.02,9.01 12/19/07
ADC TELECOMMUNICATIONS INC MN 8.01,9.01 12/18/07
Advance America, Cash Advance Centers DE 8.01,9.01 12/18/07
ADVENTRX PHARMACEUTICALS INC DE 5.03,9.01 12/18/07
AETNA INC /PA/ PA 5.02 12/18/07
AKORN INC LA 1.01 12/19/07
ALLIED CAPITAL CORP MD 5.02 12/14/07
Alpha Security Group CORP DE 4.01,9.01 12/18/07
Alsius Corp DE 7.01,8.01,9.01 12/18/07
AMALGAMATED ACQUISITION CORP. DE 3.02 12/03/07
AMERICAN DENTAL PARTNERS INC DE 1.01,2.04,9.01 12/18/07
American Electric Technologies Inc FL 8.01,9.01 12/17/07
AMERICAN WOODMARK CORP VA 1.01,9.01 12/13/07
ANTARES PHARMA INC DE 1.01 12/17/07
ANTIGENICS INC /DE/ DE 5.03,9.01 12/17/07
APOLLO GOLD CORP 8.01 12/19/07
ARCH CHEMICALS INC VA 7.01,9.01 12/19/07
ARCTIC CAT INC MN 5.03,9.01 12/13/07
ARK RESTAURANTS CORP NY 2.02 12/18/07
ARRAY BIOPHARMA INC DE 8.01,9.01 12/19/07
ARRHYTHMIA RESEARCH TECHNOLOGY INC /D DE 3.02 12/14/07
ARVINMERITOR INC IN 1.01,9.01 09/17/07
ASCENDIA BRANDS, INC. DE 1.01,7.01,9.01 12/15/07
Ascent Solar Technologies, Inc. DE 1.01,9.01 12/18/07
ASI TECHNOLOGY CORP NV 2.02,9.01 12/19/07
ASIA TIME CORP 4.02 12/13/07
Aspreva Pharmaceuticals CORP A1 8.01,9.01 12/18/07
ASSISTED LIVING CONCEPTS INC NV 8.01,9.01 12/18/07
ATMOS ENERGY CORP TX 8.01 12/13/07
ATS CORP DE 5.03,9.01 12/17/07
AURIGA LABORATORIES, INC. DE 1.01,3.02,8.01,9.01 12/14/07
AVID TECHNOLOGY INC DE 5.02,9.01 12/19/07
AXESSTEL INC NV 3.01,9.01 12/19/07
Bank of Commerce Holdings CA 8.01,9.01 09/19/07
BAR HARBOR BANKSHARES ME 8.01 12/19/07
BEACON POWER CORP DE 5.05,9.01 12/13/07
BEHRINGER HARVARD MID TERM VALUE ENHA TX 8.01,9.01 12/19/07
Behringer Harvard Opportunity REIT I, MD 7.01,8.01,9.01 12/18/07
BEIJING MED PHARM CORP 5.03,9.01 12/17/07
BERKLEY W R CORP DE 5.02,9.01 12/17/07
BEVERLY NATIONAL CORP MA 5.02,9.01 12/18/07
Boardwalk Pipeline Partners, LP DE 5.02,7.01,9.01 12/18/07
Boo Koo Holdings, Inc FL 1.01,3.03,5.02,5.03,9.01 12/17/07
BRE PROPERTIES INC /MD/ MD 7.01,9.01 12/19/07
BROADCASTER INC CA 2.05,2.06,8.01 12/13/07
BUTLER INTERNATIONAL INC /MD/ MD 1.01,9.01 12/13/07
C & F FINANCIAL CORP VA 1.01,2.03 12/14/07
CABCO SERIES 2004-102 TRUST (SBC COMM 8.01,9.01 12/15/07
Cal Dive International, Inc. DE 7.01,9.01 12/18/07
CAMBRIDGE HEART INC DE 1.01,5.02 12/14/07
Camden Learning CORP DE 8.01,9.01 12/19/07
CAMERON INTERNATIONAL CORP DE 5.03,9.01 12/17/07
CanAm Uranium Corp NV 5.02 12/17/07
CARDINAL BANKSHARES CORP VA 8.01,9.01 12/13/07 AMEND
CARMAX INC VA 2.02,9.01 12/19/07
CARVER BANCORP INC DE 5.03,9.01 12/17/07
CATAPULT COMMUNICATIONS CORP CA 5.02 12/17/07
CATCHER HOLDINGS, INC 1.02,5.02 12/19/07
CERADYNE INC DE 5.03,9.01 12/18/07
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 12/18/07
CHEESECAKE FACTORY INC DE 7.01 12/19/07
Chemtura CORP DE 8.01,9.01 12/18/07
CHESAPEAKE ENERGY CORP OK 5.02,9.01 12/14/07
China 3C Group NV 5.02,9.01 12/17/07
China Direct, Inc DE 7.01,9.01 12/19/07
CHINA EDUCATION ALLIANCE INC. NC 4.01,9.01 12/19/07
CHINA SKY ONE MEDICAL, INC. NV 8.01,9.01 12/18/07
CHROMCRAFT REVINGTON INC DE 5.03,9.01 12/13/07
CIRCUIT CITY STORES INC VA 5.02,9.01 12/13/07
CIT GROUP INC DE 8.01,9.01 12/17/07
CITIZENS REPUBLIC BANCORP, INC. MI 1.01,3.03,8.01 12/19/07
CLARCOR INC DE 1.01,2.03,9.01 12/18/07
CLARCOR INC DE 5.03,9.01 12/17/07
CLARUS CORP DE 1.02 12/13/07
CLEAN POWER CONCEPTS INC. 5.02 12/18/07
Clear Skies Holdings Inc NV 1.01,3.03,5.02,9.01 12/18/07
COCA COLA CO DE 5.02,9.01 12/17/07
COHERENT INC DE 3.01,5.02,9.01 12/14/07
COMMERCIAL BANCSHARES INC \OH\ OH 5.02,8.01 12/01/07
COMMERCIAL METALS CO DE 2.02,9.01 12/19/07
Community Partners Bancorp NJ 5.03,9.01 12/18/07
COMPOSITE TECHNOLOGY CORP NV 7.01,9.01 12/19/07
COMPUTER HORIZONS CORP NY 8.01,9.01 12/19/07
CORINTHIAN COLLEGES INC 2.05 12/19/07 AMEND
CORPORATE BOND BACKED CERT TR SER 199 8.01,9.01 12/17/07
CORPORATE BOND BACKED CERT TR SER 199 DE 8.01,9.01 12/17/07
COVAD COMMUNICATIONS GROUP INC DE 8.01 12/10/07
COVANCE INC DE 5.02,8.01,9.01 12/14/07
CRAFTMADE INTERNATIONAL INC DE 1.01,9.01 12/18/07
CRANE CO /DE/ DE 8.01,9.01 12/18/07
CROWN CASTLE INTERNATIONAL CORP DE 2.03 12/17/07
CROWN HOLDINGS INC PA 5.02 12/17/07
CV THERAPEUTICS INC DE 8.01,9.01 12/18/07
CYBERONICS INC DE 1.01 12/19/07
DANKA BUSINESS SYSTEMS PLC 3.01,9.01 12/17/07
DATASCOPE CORP DE 8.01,9.01 12/18/07
DELPHI CORP DE 8.01 12/10/07 AMEND
DEXTERITY SURGICAL INC DE 4.01 12/18/07
DIGITAL IMAGING RESOURCES INC. DE 1.01,9.01 12/05/07
Digital Music Group, Inc. DE 4.01,9.01 12/19/07
DIOMED HOLDINGS INC NV 5.02 12/14/07
DIRT MOTOR SPORTS, INC. DE 1.01,3.02,7.01,9.01 12/14/07
DNB FINANCIAL CORP /PA/ PA 5.02,5.03,9.01 12/19/07
DOCUCON INC DE 1.01,2.01,3.02,5.01,5.02,5.03, 12/19/07
5.06,8.01,9.01
DOLLAR FINANCIAL CORP DE 2.01,9.01 12/15/07
DORAL FINANCIAL CORP PR 5.02,7.01,9.01 12/13/07
DOV PHARMACEUTICAL INC DE 8.01 12/13/07
DRI CORP NC 7.01,9.01 12/19/07
DRINKS AMERICAS HOLDINGS, LTD DE 1.01,3.02,7.01,9.01 12/18/07
Duke Energy CORP DE 5.02 10/25/07 AMEND
DUN & BRADSTREET CORP/NW DE 5.02,9.01 12/13/07
DYNACQ HEALTHCARE INC DE 2.01,9.01 12/18/07
DYNTEK INC DE 3.01,9.01 12/17/07
EAGLE ROCK ENERGY PARTNERS L P DE 5.02,9.01 12/19/07
ECB BANCORP INC NC 8.01,9.01 12/18/07
EDGE PETROLEUM CORP DE 8.01 12/18/07
EMCORE CORP NJ 2.02,7.01,9.01 12/17/07
EMERSON RADIO CORP DE 5.02,5.03,8.01,9.01 12/13/07
EMPIRE ENERGY CORP UT 1.01,2.04,8.01,9.01 12/10/07
ENABLE IPC CORP DE 1.01,9.01 12/19/07
ENBRIDGE ENERGY PARTNERS LP DE 1.01,9.01 12/18/07
ENCOMPASS HOLDINGS, INC. NV 5.02 12/18/07
ENCYSIVE PHARMACEUTICALS INC DE 3.01 12/19/07
ENDEAVOUR INTERNATIONAL CORP NV 7.01,9.01 12/19/07
ENDO PHARMACEUTICALS HOLDINGS INC DE 5.02,9.01 12/13/07
EPIQ SYSTEMS INC MO 5.02 12/11/07
ESB FINANCIAL CORP PA 5.03,9.01 12/18/07
ESB FINANCIAL CORP PA 8.01,9.01 12/19/07
ESCALADE INC IN 1.01,9.01 12/18/07
EVCI Career Colleges Holding Corp DE 2.05,2.06,5.02,9.01 12/13/07
EXACTECH INC FL 5.02,9.01 12/17/07
EXELON CORP PA 7.01,9.01 12/19/07
EXOPACK HOLDING CORP 5.02 12/13/07
EXTERRAN PARTNERS, L.P. DE 9.01 12/19/07
Federal Home Loan Bank of Seattle 7.01,9.01 12/19/07
Federal Home Loan Bank of Topeka 7.01,9.01 12/19/07
First Business Financial Services, In 7.01,9.01 12/18/07
FIRST INDIANA CORP IN 7.01,9.01 12/19/07
FLOWSERVE CORP NY 5.02,5.03,9.01 12/14/07
FREEPORT MCMORAN COPPER & GOLD INC DE 5.02,9.01 12/13/07
FTS GROUP, INC. NV 1.01,2.03,9.01 12/13/07
GAMMACAN INTERNATIONAL INC DE 1.01,9.01 12/13/07
GARDNER DENVER INC DE 5.02,9.01 12/13/07
GASTAR EXPLORATION LTD 7.01,9.01 12/18/07
GATEWAY FINANCIAL HOLDINGS INC NC 3.02 12/19/07
GENERAL GROWTH PROPERTIES INC DE 8.01,9.01 12/18/07
GENERAL MILLS INC DE 2.02,9.01 12/19/07
GENESCO INC TN 5.03,9.01 12/14/07
GENLYTE GROUP INC DE 8.01 12/17/07
GEODYNE ENERGY INCOME LTD PARTNERSHIP OK 2.01,9.01 12/13/07
GEODYNE ENERGY INCOME LTD PARTNERSHIP OK 2.01,9.01 12/13/07
GEODYNE ENERGY INCOME LTD PARTNERSHIP OK 2.01,9.01 12/13/07
GEODYNE INSTITUTIONAL PENSION ENERGY OK 2.01,9.01 12/13/07
GEODYNE INSTITUTIONAL PENSION ENERGY TX 2.01,9.01 12/13/07
GERON CORP DE 5.02 12/18/07
GEVITY HR INC FL 1.01 12/14/07
GILEAD SCIENCES INC DE 5.02,9.01 12/14/07
GILEAD SCIENCES INC DE 1.01,2.03,9.01 12/18/07
GlenRose Instruments Inc. 1.01,2.03,5.02 12/19/07
GLOBAL AXCESS CORP NV 2.04 12/13/07
GLOBAL CLEAN ENERGY, INC. CO 8.01 12/19/07
Globalstar, Inc. DE 1.01,2.03,7.01,9.01 12/17/07
Globetech Environmental, Inc. NV 1.01,1.02,2.03,3.02,5.02,9.01 10/01/07
Golden Aria Corp. 1.01,9.01 12/14/07
GOODYEAR TIRE & RUBBER CO /OH/ OH 5.02 12/17/07
GRAFTECH INTERNATIONAL LTD DE 8.01 12/14/07
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 11/30/07
GRAPHIC PACKAGING CORP DE 7.01,9.01 12/19/07
GREAT LAKES BANCORP, INC. DE 1.01,9.01 12/14/07
Grubb & Ellis Realty Advisors, Inc. DE 5.02,5.03,9.01 12/13/07
HarborView 2007-7 DE 8.01,9.01 12/19/07
HARSCO CORP DE 5.02,9.01 12/18/07
HD Partners Acquisition CORP CA 4.01,9.01 12/19/07
HEALTHAXIS INC PA 8.01 12/19/07
HEALTHWAYS, INC DE 2.02,9.01 12/19/07
HEICO CORP FL 5.03,9.01 12/17/07
HEICO CORP FL 2.02 12/19/07
HELIX ENERGY SOLUTIONS GROUP INC MN 7.01,9.01 12/18/07
HEPALIFE TECHNOLOGIES INC FL 1.01,7.01,9.01 11/20/07 AMEND
HERCULES OFFSHORE, INC. DE 7.01,9.01 12/19/07
Hollund Industrial, Inc. WA 5.01,9.01 10/30/07
Home Federal Bancorp, Inc. MD 8.01,9.01 12/19/07
HOMELAND ENERGY SOLUTIONS LLC 7.01,9.01 12/19/07
HOVNANIAN ENTERPRISES INC DE 2.02,9.01 12/18/07
HSW International, Inc. DE 9.01 10/02/07 AMEND
ICF International, Inc. DE 1.01,9.01 12/18/07
Ideation Acquisition Corp. DE 8.01 12/18/07
Ingen Technologies, Inc. 5.02,9.01 12/14/07
INNOVEX INC MN 5.02,9.01 12/15/07
INTEGRA BANK CORP IN 5.03 12/19/07
INTEGRA LIFESCIENCES HOLDINGS CORP DE 5.02 12/18/07
INTEGRATED ENVIRONMENTAL TECHNOLOGIES DE 7.01,9.01 12/12/07
INTELLIGROUP INC NJ 8.01,9.01 12/18/07
INTERLEUKIN GENETICS INC DE 3.02,9.01 12/17/07
INTERLEUKIN GENETICS INC DE 1.01,5.02 07/02/07 AMEND
International Stem Cell CORP 8.01,9.01 12/19/07
INTREPID TECHNOLOGY & RESOURCES, INC. ID 5.02 12/07/07
INTROGEN THERAPEUTICS INC 5.02 12/15/07
ITT CORP IN 5.02 12/18/07
J P MORGAN CHASE & CO DE 9.01 12/17/07
JANUS CAPITAL GROUP INC DE 5.02,9.01 12/14/07
JARDEN CORP DE 1.01,5.03,9.01 12/13/07
JDS UNIPHASE CORP /CA/ DE 5.02 12/15/07
JOY GLOBAL INC DE 2.02,9.01 12/19/07
KANSAS CITY LIFE INSURANCE CO MO 5.02 12/19/07
KNIGHT TRANSPORTATION INC AZ 5.03,9.01 12/18/07
KOSAN BIOSCIENCES INC CA 8.01,9.01 12/17/07
LANTRONIX INC DE 5.02,9.01 12/13/07
Lattice INC DE 5.02 12/12/07
LEAR CORP DE 5.02,9.01 12/18/07
LEGEND INTERNATIONAL HOLDINGS INC DE 1.01,3.02,9.01 12/12/07
LIFE TIME FITNESS INC MN 5.02,9.01 12/13/07
LIGAND PHARMACEUTICALS INC DE 1.01,2.03,9.01 12/13/07
LILLY ELI & CO IN 5.02 12/17/07
LINN ENERGY, LLC DE 5.02,9.01 12/13/07
LIVEDEAL INC NV 2.02,9.01 12/19/07 AMEND
LIVEPERSON INC DE 9.01 10/03/07 AMEND
LOOKSMART LTD DE 8.01,9.01 12/19/07
MACROVISION CORP DE 2.01,9.01 12/14/07
MAJESTIC STAR CASINO LLC IN 8.01,9.01 12/19/07
MANTECH INTERNATIONAL CORP DE 2.03,7.01,9.01 12/18/07
MARKWEST ENERGY PARTNERS L P 1.01,3.02,7.01,9.01 12/18/07
MARLIN BUSINESS SERVICES CORP 5.03,9.01 12/19/07
MAX CAPITAL GROUP LTD. 8.01 12/18/07
MCGRATH RENTCORP CA 8.01,9.01 12/18/07
MEADOW VALLEY CORP NV 5.02 12/14/07
MedAire, Inc. NV 8.01 12/19/07
MEDAREX INC NJ 5.02,9.01 12/17/07
MEMSIC Inc 1.01,5.02,5.03,9.01 12/13/07
MIDDLESEX WATER CO NJ 8.01 12/19/07
MILLER HERMAN INC MI 2.02,2.03,7.01,9.01 12/18/07
MIVA, INC. DE 1.01,9.01 12/13/07
MOMENTA PHARMACEUTICALS INC DE 5.02,9.01 12/14/07
MORGAN STANLEY DE 2.02,9.01 12/19/07
MTS MEDICATION TECHNOLOGIES, INC /DE/ DE 1.01,1.02,2.03,9.01 12/19/07
MTS SYSTEMS CORP MN 5.02,9.01 12/15/07
NACCO INDUSTRIES INC DE 5.02,9.01 12/14/07
NATIONAL BANKSHARES INC VA 5.02,9.01 12/19/07
NATIONAL FUEL GAS CO NJ 8.01,9.01 12/19/07
Neonode, Inc DE 8.01 12/19/07
Neuro-Hitech, Inc. DE 3.02,9.01 12/14/07
NEW CENTURY FINANCIAL CORP MD 7.01,9.01 12/17/07
NEW JERSEY RESOURCES CORP NJ 1.01,1.02,2.03 12/19/07
NEWELL RUBBERMAID INC DE 5.02 12/17/07
NEWMONT MINING CORP /DE/ DE 5.02,9.01 12/13/07
NEWTEK BUSINESS SERVICES INC NY 8.01,9.01 12/11/07
NGA Holdco, LLC NV 1.01,2.01,9.01 12/14/07
NICOR INC IL 5.02,9.01 12/19/07
NIKE INC OR 2.02,9.01 12/19/07
NNN 2003 VALUE FUND LLC 2.01,7.01,9.01 12/13/07
NORTHLAND CABLE PROPERTIES EIGHT LIMI WA 8.01,9.01 12/13/07
NORTHLAND CABLE PROPERTIES SEVEN LIMI WA 8.01,9.01 12/13/07
NOVAMED INC DE 5.02 12/17/07
NUANCE RESOURCES CORP. NV 1.01,1.02,2.01,9.01 10/15/07
NUTRITION 21 INC NY 1.01,5.02,9.01 12/17/07
NVE CORP /NEW/ MN 5.03 12/18/07
OLD SECOND BANCORP INC DE 8.01 12/18/07
OMNI ENERGY SERVICES CORP LA 8.01,9.01 12/17/07
Omniture, Inc. DE 2.01,3.02,9.01 12/13/07
Oncothyreon Inc. DE 8.01,9.01 12/17/07
OPEN ENERGY CORP NV 2.05 12/13/07
ORACLE CORP 2.02,9.01 12/19/07
ORBITAL SCIENCES CORP /DE/ DE 5.02 12/14/07
Organic To Go Food CORP DE 1.01,5.02,9.01 12/15/07
OWENS & MINOR INC/VA/ VA 5.02 12/18/07
Pacific Asia Petroleum Inc de 5.02 12/17/07
PAETEC Holding Corp. 1.01,9.01 12/18/07
PALL CORP NY 8.01,9.01 12/19/07
PARK ELECTROCHEMICAL CORP NY 2.02,9.01 12/19/07
PAYCHEX INC DE 2.02 12/19/07
PEDIATRIX MEDICAL GROUP INC FL 8.01,9.01 12/19/07
PEGASYSTEMS INC MA 1.01,9.01 12/13/07
PEOPLES BANCORP IN 5.02,9.01 12/18/07
PERINI CORP MA 5.02 12/18/07
PHARMACEUTICAL PRODUCT DEVELOPMENT IN NC 5.02 12/13/07
Piedmont Office Realty Trust, Inc. MD 7.01 12/19/07
PIZZA INN INC /MO/ MO 3.01,5.02 12/19/07
PLANETOUT INC DE 2.01,9.01 12/14/07
PORTEC RAIL PRODUCTS INC WV 8.01,9.01 12/14/07
POWELL INDUSTRIES INC NV 1.01,2.03,9.01 12/14/07
Power of The Dream Ventures Inc DE 4.01,5.06,9.01 04/10/07 AMEND
POWERCOLD CORP NV 8.01 12/18/07
POWERWAVE TECHNOLOGIES INC DE 9.01 10/15/06 AMEND
PRG SCHULTZ INTERNATIONAL INC GA 5.02,9.01 12/17/07
PRINCIPAL LIFE INSURANCE CO IA 9.01 12/19/07
PRINCIPAL LIFE INSURANCE CO IA 9.01 12/19/07
PRINCIPAL LIFE INSURANCE CO IA 9.01 12/19/07
PRINCIPAL LIFE INSURANCE CO IA 9.01 12/19/07
PROVIDENT FINANCIAL HOLDINGS INC DE 8.01 12/19/07
PUBLIC SERVICE ENTERPRISE GROUP INC NJ 2.01,8.01,9.01 12/14/07
QUALITY DISTRIBUTION INC FL 9.01 12/18/07
R&G FINANCIAL CORP PR 8.01,9.01 12/19/07
RAMBUS INC DE 2.02,9.01 12/19/07
RASER TECHNOLOGIES INC UT 1.02,2.01 12/19/07
RathGibson Inc DE 1.01,2.03,9.01 12/13/07
Ready Mix, Inc. NV 5.02 12/14/07
RED TRAIL ENERGY, LLC 2.02,9.01 12/18/07
REDDY ICE HOLDINGS INC DE 5.02,8.01,9.01 12/17/07
REMEDENT, INC. NV 1.01,7.01,9.01 11/29/07
RENTECH INC /CO/ CO 5.02,9.01 12/13/07
ROCKWELL AUTOMATION INC DE 8.01 11/30/07
RUBIOS RESTAURANTS INC DE 5.02,5.03,9.01 12/13/07
RURAL ELECTRIC COOPERATIVE GRANTOR TR NY 8.01,9.01 12/17/07
S Y BANCORP INC KY 5.03,9.01 12/18/07
SALEM COMMUNICATIONS CORP /DE/ DE 5.02,9.01 12/17/07
SAMARITAN PHARMACEUTICALS INC NV 8.01,9.01 12/19/07
SANTA FE ENERGY TRUST TX 1.01,2.01,9.01 12/17/07
SEDONA CORP PA 1.01,3.02 12/12/07
SEDONA CORP PA 1.01,3.02 11/02/07 AMEND
SHENANDOAH TELECOMMUNICATIONS CO/VA/ VA 5.02 12/17/07
ShengdaTech, Inc. 8.01,9.01 12/19/07
Shire plc 8.01,9.01 12/19/07
SILICON IMAGE INC DE 1.01,5.02,9.01 12/13/07
SILVERLEAF RESORTS INC 7.01,9.01 12/18/07
SIMULATIONS PLUS INC 8.01,9.01 12/18/07
SINCLAIR BROADCAST GROUP INC MD 7.01,9.01 12/18/07
SMART Modular Technologies (WWH), Inc 2.02,9.01 12/19/07
SNAP ON INC DE 5.02,9.01 12/18/07
SONIC FOUNDRY INC MD 5.03,9.01 12/13/07
SONIC INNOVATIONS INC DE 2.01,9.01 12/19/07 AMEND
SONIC SOLUTIONS/CA/ CA 8.01 12/12/07
SOUTH SHORE RESOURCES INC. 7.01,9.01 12/19/07
SOUTHCOAST FINANCIAL CORP SC 5.02,9.01 12/13/07
SOUTHERN MICHIGAN BANCORP INC MI 1.01,5.02,9.01 12/17/07
Southern Trust Securities Holding Cor 8.01 12/19/07
SOUTHERN UNION CO DE 5.02 12/17/07
SPICY PICKLE FRANCHISING INC 1.01,3.02,9.01 12/14/07
SPX CORP DE 1.01,2.03,9.01 12/13/07
ST MARY LAND & EXPLORATION CO DE 7.01,9.01 12/19/07
STAAR SURGICAL CO DE 1.01,3.02 12/14/07
STANDARD MICROSYSTEMS CORP DE 2.02,9.01 12/19/07
STEELCASE INC MI 2.02,9.01 12/19/07
STEINER LEISURE LTD C5 5.02 12/18/07
STONEMOR PARTNERS LP DE 1.01,7.01,9.01 12/17/07
STRATASYS INC DE 5.02,9.01 12/17/07
STRATEGIC HOTELS & RESORTS, INC 5.02 12/18/07
SUN COMMUNITIES INC MD 8.01,9.01 12/19/07
SYNIVERSE HOLDINGS INC DE 2.01,9.01 12/19/07
SYNOVUS FINANCIAL CORP GA 5.02,8.01,9.01 12/19/07
SYNTAX-BRILLIAN CORP DE 1.01,5.02,9.01 12/18/07
TARGACEPT INC 8.01 12/18/07
TBS INTERNATIONAL LTD 7.01,9.01 12/19/07
TELULAR CORP DE 5.02 12/14/07
TEREX CORP DE 5.02 12/13/07
TESCO CORP 7.01 12/17/07
THERMOENERGY CORP AK 1.01,3.02,9.01 12/17/07
TIME WARNER CABLE INC. DE 5.02 12/14/07
TIME WARNER INC. DE 5.02,5.03 12/13/07
TITAN PHARMACEUTICALS INC DE 1.01,9.01 12/17/07
TOLL BROTHERS INC DE 5.02,9.01 12/18/07
TORCHMARK CORP DE 8.01,9.01 12/13/07
TOREADOR RESOURCES CORP TX 7.01,9.01 12/18/07
TORRENT ENERGY CORP CO 5.02,9.01 12/19/07
TOUSA INC DE 1.01 12/14/07 AMEND
TOWER TECH HOLDINGS INC. NV 3.02,5.02,5.03,5.05,9.01 12/13/07
TRANSCEND SERVICES INC DE 5.02,5.03,9.01 12/13/07
TRC COMPANIES INC /DE/ DE 1.01,9.01 12/14/07
TRI-S SECURITY CORP GA 5.03,9.01 12/13/07
TRIARC COMPANIES INC DE 1.01,5.02,9.01 12/19/07
TRIDENT MICROSYSTEMS INC DE 5.02,9.01 12/19/07
TrueBlue, Inc. WA 5.03,7.01,9.01 12/18/07
TUESDAY MORNING CORP/DE DE 1.01,5.02,9.01 12/19/07
TVIA INC DE 1.01,9.01 11/30/07
UAL CORP /DE/ DE 7.01,9.01 12/19/07
UNION PACIFIC CORP UT 7.01,9.01 12/19/07
UNION PACIFIC RAILROAD CO/DE DE 7.01,9.01 12/19/07
UNITED INDUSTRIAL CORP /DE/ DE 2.04,3.01,3.02,3.03,5.03,8.01, 12/18/07
9.01
UNIVERSAL AMERICAN FINANCIAL CORP NY 7.01,9.01 12/14/07
UNIVERSAL CITY DEVELOPMENT PARTNERS L 1.01,9.01 10/08/07
Universal City Florida Holding Co. I FL 1.01,9.01 10/08/07
UNIVERSAL TECHNICAL INSTITUTE INC DE 5.02,9.01 12/13/07
US DATAWORKS INC NV 1.02,9.01 12/13/07
UST INC DE 5.02,8.01,9.01 12/14/07
VALUEVISION MEDIA INC MN 5.02 12/13/07
VERAMARK TECHNOLOGIES INC DE 1.01,5.02,7.01,9.01 12/17/07
VIA Pharmaceuticals, Inc. DE 5.02,9.01 12/14/07
VIPER NETWORKS INC NV 2.02,8.01,9.01 12/19/07
VISICU INC DE 1.01,7.01,9.01 12/18/07
VITESSE SEMICONDUCTOR CORP DE 8.01,9.01 12/18/07
Volcano CORP DE 2.01,8.01,9.01 12/18/07
Voyager Learning CO DE 4.01 12/03/07 AMEND
WACCAMAW BANKSHARES INC NC 5.03,9.01 12/13/07
WASTE MANAGEMENT INC DE 5.02 12/13/07
WAUSAU PAPER CORP. WI 8.01,9.01 12/19/07
WEBSTER FINANCIAL CORP DE 5.03,9.01 12/18/07
Wentworth Energy, Inc. OK 1.01,1.02,3.02,5.02,9.01 12/13/07
WESTERN SIZZLIN CORP DE 7.01 12/13/07
WEYERHAEUSER CO WA 5.02,5.03,9.01 12/13/07
Whitehall Jewelers Holdings, Inc. DE 2.02,9.01 12/18/07
Whitehall Jewelers Holdings, Inc. DE 2.02,9.01 12/18/07 AMEND
WHITNEY HOLDING CORP LA 5.02 12/17/07
WIND ENERGY AMERICA INC. MN 1.01 12/12/07 AMEND
WIRELESS AGE COMMUNICATIONS INC NV 1.01,8.01,9.01 12/19/07
Wright Express CORP 5.03,9.01 12/19/07
WYNN RESORTS LTD 8.01,9.01 12/19/07
XETHANOL CORP CO 8.01,9.01 12/19/07
XFormity Technologies, Inc. CO 3.02,5.02 12/12/07
ZILA INC DE 5.02,5.03,8.01,9.01 12/13/07
ZIONS BANCORPORATION /UT/ UT 7.01 12/18/07
ZOLTEK COMPANIES INC DE 5.03,9.01 12/14/07
http://www.sec.gov/news/digest/2007/dig122007.htm
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