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SEC NEWS DIGEST
Issue 2008-16 January 24, 2008
COMMISSION ANNOUNCEMENTS
SEC SUSPENDS TRADING IN THE SECURITIES OF ASIA PACIFIC ENERGY INC. AND
BOLIVAR MINING CORP.
On January 24, as part of its Anti-Spam initiative, the Securities and
Exchange Commission ordered the temporary suspension of trading in the
securities �of �the �following issuers, commencing at 9:30 a.m. EST on
Jan. 24, 2008, and terminating at 11:59 p.m. EST on Feb. 6, 2008:
* Asia Pacific Energy Inc. (APCC)
* Bolivar Mining Corp. (BOLV)
The �Commission ordered these trading suspensions because of questions
that �have �arisen �regarding �the �adequacy �and accuracy of publicly
disseminated �information �concerning �among �other �things: �(1) �the
companies' current financial condition, (2) the companies' management,
(3) �the �companies' �business �operations, and/or (4) stock promoting
activity.
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 the companies.
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 securities
of �the �companies listed above 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 �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. 34-57190)
ENFORCEMENT PROCEEDINGS
DISTRICT �COURT �GRANTS �SUMMARY �JUDGMENT AGAINST DEFENDANTS AIRTRAC,
INC. AND CLARENCE FRIEND
The �Commission �announced �today that on January 16 the U.S. District
Court �for �the �Central �District of California, Judge James V. Selna
presiding, �granted �the �Commission's �Motion �for �Summary �Judgment
Against ����AirTrac �Inc., �a �Nevada �Corporation, �based �in �Irvine
California, �and �against �Clarence �Friend, an individual residing in
Orange �County �California (Friend). The Court entered a Revised Final
Judgment �of �Permanent Injunction, Disgorgement, Prejudgment Interest
and Civil Penalties against both AirTrac and Friend.
According �to �the �Commission's �complaint, �AirTrac had purported to
develop �and market voice-activated applications that allowed users to
access �the �Internet and check e-mail through cellular telephones and
personal �digital assistants. The Commission also alleged that between
January �2004 �and April 2005, the defendants offered and sold AirTrac
stock ��and �raised �nearly �$1.8 �million �from �over �200 �investors
nationwide. �The �company �failed �to register the securities with the
Commission.
The �district �court �found �that �the �sales �of �AirTrac �stock were
unregistered �and �that �no applicable exemption from registration was
available for their sale, either under federal law or California state
law. �The �Court �also �found �that the defendants made three separate
false �misrepresentations �to �AirTrac �investors. �First, �defendants
falsely �represented �that Airtrac was only weeks away from conducting
an �Initial Public Offering (IPO). Second, the defendants falsely told
investors �that �the �company �was �on �the �verge �of �very lucrative
contracts �with �several �major �telecommunications �companies. Third,
Friend �and �AirTrac �misrepresented �to investors the use of proceeds
raised �����from �investors. �The �Court �found �that �each �of �these
misrepresentations �was �material. The Court also found that Defendant
Friend �had �acted �as �an �unregistered broker in selling the AirTrac
stock. �In granting summary judgment in favor of the Commission on all
counts, �the �Court �found �that �the defendants had failed to raise a
genuine of material fact which would have precluded summary judgment.
The �Court �enjoined �AirTrac �and �Friend �from �future violations of
Section 5 and 17(a) of the Securities Act of 1933 (Securities Act) and
Section �10(b) �of �the Securities Exchange Act of 1934 (Exchange Act)
and �Rule 10b-5 promulgated thereunder. The Court also enjoined Friend
from future violations of Section 15(a) of the Exchange Act. The Court
awarded �equitable �disgorgement �of �$273,487.87 �against �Friend and
$1,759,542.28 �against �AirTrac (less any amount actually disgorged by
Friend) �and �also �awarded �prejudgment �interest �in �the �amount of
$18,008.22 �against �Friend �and �$115,859.70 �(less any interest that
Friend �in �fact pays) against AirTrac. The Court awarded a third-tier
penalty of $130,000 against Friend and separately a third-tier penalty
of $130,000 against AirTrac.
For �more �information, �see �Litigation �Release No. 19741A (June 27,
2006). [SEC v. AirTrac, Inc., Clarence Friend et al., Case No SACV 06-
0582-JVS (RNBx)] (LR-20436)
SEC �SETTLES SECURITIES FRAUD CHARGES AGAINST AIMSI TECHNOLOGIES, INC.
AND WINFRED FIELDS
The �Commission �announced �today �that it has settled its enforcement
action, �which involves charges of a deliberate "pump and dump" scheme
to �defraud �investors �in �the �stock �of Aimsi Technologies, against
Defendants �Aimsi �Technologies, �Inc. and Winfred Fields. On Jan. 15,
2008, �the �Honorable �Louis L. Stanton of the U.S. District Court for
the �Southern �District of New York entered final judgments on consent
against �Aimsi �and �Fields that enjoined them from violating Sections
17(a) �of �the �Securities �Act �of �1933 �and 10(b) of the Securities
Exchange �Act �of �1934 �and �Rule �10b-5 �thereunder, �and which also
prohibit �Fields �from �acting �as �an officer or director of a public
company. The judgment against Aimsi requires it to pay disgorgement of
$169,000 �and �prejudgment �interest �of �$33,423.62, �but payment was
waived �for �the amount exceeding $50,525.51, and civil penalties were
not �imposed, �based �on �Aimsi's defunct status. The judgment against
Fields �requires �him �to pay disgorgement of $350,000 and prejudgment
interest �of �$63,572.13, �but �payment �was �waived �for �the �amount
exceeding �$62,035, �and �civil �penalties �were not imposed, based on
Fields' ���sworn �representations �of �his �financial �condition. �The
Commission �also �announced �that �it has dismissed its claims against
Relief �Defendants China Global Distribution Corp., Wonderland Capital
and BP International.
The Commission filed its action on an emergency basis on May 16, 2005,
alleging �that �Aimsi, �Fields �and �the other defendants engaged in a
deliberate �"pump �and �dump" �scheme �to �defraud investors, in which
Defendants �acquired �a �substantial �stake �in �the �shares of Aimsi,
orchestrated �a �fraudulent promotional campaign to drive up the price
and �trading �volume of Aimsi's stock, and then sold their shares at a
substantial profit to the investing public after their plan succeeded.
The �complaint alleges that before the Commission suspended trading in
Aimsi's �stock on Dec. 15, 2004, the defendants earned illicit trading
profits �of at least $3.1 million. In connection with the Commission's
filing �of �the �complaint, �it �also obtained a temporary restraining
order ��that, �among �other �things, �froze �defendants' �assets. �The
complaint charges 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. �The �Commission �litigation �is �pending against the remaining
defendants. [SEC v. Aimsi Technologies, Inc., et al., 05 CV 4724 (LLS)
(S.D.N.Y.)] (LR-20437)
INVESTMENT COMPANY ACT RELEASES
METLIFE INVESTMENT FUNDS, INC.
An order has been issued on an application filed by MetLife Investment
Funds, �Inc. declaring that it has ceased to be an investment company.
(Rel. IC-28132 - January 23)
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A proposed rule change filed by The NASDAQ Stock Market to clarify the
recipients of certain risk disclosures (SR-NASDAQ-2008-006) has become
effective �under Section 19(b)(3)(A) of the Securities Exchange Act of
1934. �Publication is expected in the Federal Register during the week
of January 21. (Rel. 34-57175)
A �proposed �rule change filed by The The NASDAQ Stock Market to delay
implementation �of certain fee changes (SR-NASDAQ-2008-007) 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 January 28. (Rel. 34-57183)
APPROVAL OF PROPOSED RULE CHANGE
The �Commission approved a proposed rule change (SR NYSEArca-2007-121)
submitted �by �NYSE �Arca �relating �to �Rule �6.37B �and �the quoting
obligations �of �Lead �Market �Makers. �Publication is expected in the
Federal Register during the week of January 28. (Rel. 34-57186)
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 ELECTRONIC GAME CARD INC, 712 FIFTH AVENUE, 19TH FLOOR, NEW YORK, NY,
10019, 646-723-8936 - 605,391 ($363,234.60) Equity, (File 333-148799 -
Jan. 23) (BR. 06B)
SB-2 ELECTRONIC GAME CARD INC, 712 FIFTH AVENUE, 19TH FLOOR, NEW YORK, NY,
10019, 646-723-8936 - 5,111,543 ($3,066,925.80) Equity,
(File 333-148800 - Jan. 23) (BR. 06B)
SB-2 ESL Teachers Inc., 2475 PASEO DEL LAS AMERICAS, SUITE 1135, SAN DIEGO,
CA, 92154, 619-955-7885 - 1,200,000 ($60,000.00) Equity,
(File 333-148801 - Jan. 23) (BR. 03)
S-3 HANSEN MEDICAL INC, 380 NORTH BERNARDO AVENUE, MOUNTAIN VIEW, CA,
94043, 650 404 5800 - 0 ($2,908,796.96) Equity, (File 333-148802 -
Jan. 23) (BR. 10B)
S-8 PIPELINE DATA INC, 1599 WASHINGTON STREET, SUITE 1D, BRAINTREE, MA,
02184, 781 843 3812 - 10,000,000 ($8,424,892.00) Equity,
(File 333-148803 - Jan. 23) (BR. 03C)
SB-2 XEDAR CORP, 8310 SOUTH VALLEY HIGHWAY, SUITE 220, ENGLEWOOD, CO, 80112,
(303) 377-0033 - 1,596,000 ($399,000.00) Equity, (File 333-148804 -
Jan. 23) (BR. 09A)
N-2 MCG CAPITAL CORP, 1100 WILSON BLVD, SUITE 800, ARLINGTON, VA, 22209,
7032477500 - 0 ($104,500,000.00) Equity, (File 333-148805 - Jan. 23)
(BR. 22)
S-8 FAIRCHILD SEMICONDUCTOR INTERNATIONAL INC, 82 RUNNING HILL RD,
SOUTH PORTLAND, ME, 04106, 2077758100 - 0 ($72,940,023.00) Equity,
(File 333-148809 - Jan. 23) (BR. 10A)
S-8 A. H. Belo CORP, 400 S. RECORD STREET, DALLAS, TX, 75202,
214-977-6606 - 0 ($332,400,000.00) Equity, (File 333-148811 - Jan. 23)
(BR. 05A)
S-8 CHDT CORP, 350 JIM MORAN BLVD., SUITE 120, DEERFIELD BEACH, FL, 33442,
(954) 252-3440 - 10,000,000 ($260,000.00) Equity, (File 333-148812 -
Jan. 23) (BR. 02B)
S-3 Winthrop Realty Trust, 7 BULFINCH PLACE, SUITE 500 PO BOX 9507, BOSTON,
MA, 02114, 6175704614 - 8,845,036 ($44,755,883.00) Equity,
(File 333-148813 - Jan. 23) (BR. 08B)
S-1 Accuro Healthcare Solutions, Inc., 14241 DALLAS PARKWAY, SUITE 800,
DALLAS, TX, 75254, (972) 755-6500 - 0 ($143,750,000.00) Equity,
(File 333-148818 - Jan. 23) (BR. )
S-8 PBSJ CORP /FL/, 5300 WEST CYPRESS STREET, SUITE 200, TAMPA, FL, 33607,
813-282-7275 - 5,000,000 ($148,400,000.00) Equity, (File 333-148819 -
Jan. 23) (BR. 06A)
S-8 GENERAL MILLS INC, NUMBER ONE GENERAL MILLS BLVD, MINNEAPOLIS, MN,
55426, (763) 764-7600 - 10,000,000 ($526,050,000.00) Equity,
(File 333-148820 - Jan. 23) (BR. 04A)
S-8 ECO2 PLASTICS INC, 5300 CLAUS ROAD, RIVERBANK, CA, 95367,
415-948-9060 - 5,000,000 ($350,000.00) Equity, (File 333-148821 -
Jan. 23) (BR. 06B)
S-8 CARRINGTON LABORATORIES INC /TX/, 2001 WALNUT HILL LANE, IRVING, TX,
75038, 972-518-1300 - 1,500,000 ($555,000.00) Equity,
(File 333-148822 - Jan. 23) (BR. 06A)
S-8 Esmark INC, 2500 EUCLID AVENUE, CHICAGO HEIGHTS, IL, 60411,
708-756-0400 - 750,000 ($6,352,500.00) Equity, (File 333-148823 -
Jan. 23) (BR. 06B)
S-4 Macrovision Solutions CORP, C/O MACROVISION CORPORATION,
2830 DE LA CRUZ BOULEVARD, SANTA CLARA, CA, 95050, 408-562-8400 -
102,439,627 ($1,555,663,826.00) Equity, (File 333-148825 - Jan. 23)
(BR. )
SB-2 GOLD HORSE INTERNATIONAL, INC., NO. 31 TONGDAO SOUTH ROAD,
HOHHOT, INNER MONGOLIA, F4, 010030, 86 (471) 339-7999 -
10,285,470 ($3,538,202.00) Equity, (File 333-148827 - Jan. 23) (BR. 06A)
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 Certain Officers; Election of Directors;
Appointment of Certain Officers; Compensatory Arrangements of Certain 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
5.06 Change in Shell Company Status
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
-------------------------------------------------------------------------------------------------------
ABBOTT LABORATORIES IL 2.02,9.01 01/23/08
ACORN ENERGY, INC. DE 9.01 11/07/07 AMEND
ACXIOM CORP DE 2.02,9.01 01/23/08
ADVANCE AUTO PARTS INC DE 5.02,7.01,9.01 01/23/08
ADVANCED ENERGY INDUSTRIES INC DE 7.01,9.01 01/22/08
Affinity Media International Corp., DE 8.01,9.01 01/23/08
AIR PRODUCTS & CHEMICALS INC /DE/ DE 2.02,9.01 01/23/08
AIR PRODUCTS & CHEMICALS INC /DE/ DE 7.01,9.01 01/23/08
ALANCO TECHNOLOGIES INC AZ 1.01,3.02,9.01 01/22/08
ALICO INC FL 8.01,9.01 01/18/08
ALION SCIENCE & TECHNOLOGY CORP DE 2.02,7.01 01/23/08
ALLEGHENY TECHNOLOGIES INC DE 2.02,5.02,9.01 01/23/08
ALLEGHENY TECHNOLOGIES INC DE 2.02,7.01,9.01 01/23/08
Allied Nevada Gold Corp DE 7.01,8.01,9.01 01/18/08
Allis Chalmers Energy Inc. DE 7.01,9.01 01/23/08
ALTIGEN COMMUNICATIONS INC 2.02,9.01 01/23/08
AMB FINANCIAL CORP DE 2.02,9.01 01/23/08
AMBAC FINANCIAL GROUP INC DE 1.01,5.02 01/15/08
AMERICAN ITALIAN PASTA CO DE 5.02,9.01 01/18/08
American Racing Capital, Inc. NV 2.04 12/20/07
AMERICAN URANIUM CORP NV 3.02,9.01 01/15/08
AMH Holdings, Inc. DE 2.05 01/18/08
ANALOG DEVICES INC MA 5.02 01/22/08
ANALYSTS INTERNATIONAL CORP 5.02,7.01,9.01 01/17/08
APOLLO RESOURCES INTERNATIONAL INC UT 8.01 01/22/08
APPLIED INDUSTRIAL TECHNOLOGIES INC OH 2.02,9.01 01/23/08
APPLIED MICRO CIRCUITS CORP DE 2.02,9.01 01/23/08
Approach Resources Inc DE 1.01,1.02,2.03,9.01 01/18/08
ARABIAN AMERICAN DEVELOPMENT CO DE 3.01 01/22/08
ARCH CAPITAL GROUP LTD. 7.01 01/18/08
ARCTIC CAT INC MN 2.02,9.01 01/23/08
Armor Electric, Inc. 8.01 01/14/08
ASSOCIATED BANC-CORP WI 7.01 01/23/08
ASSOCIATED MATERIALS INC DE 2.05 01/18/08
ATLANTIC BANCGROUP INC FL 8.01,9.01 01/18/08
ATLANTIS PLASTICS INC FL 1.01,9.01 01/18/08
Atlas Energy Resources, LLC DE 8.01,9.01 01/18/08
ATM FINANCIAL CORP NV 8.01 01/22/08
AURIGA LABORATORIES, INC. DE 5.02 01/22/08
BANK MUTUAL CORP WI 2.02 01/17/08
BANK OF GRANITE CORP DE 5.02,9.01 01/22/08
Bank of New York Mellon CORP 8.01,9.01 01/22/08
BANKERS STORE INC NY 5.03,9.01 01/17/08
BANNER CORP WA 2.02,9.01 01/22/08
BASIC EARTH SCIENCE SYSTEMS INC DE 8.01,9.01 01/21/08
Bear Stearns Structured Products Inc. DE 8.01,9.01 10/31/07 AMEND
BEAZER HOMES USA INC DE 2.02 01/23/08
BIG CAT ENERGY CORP 7.01,9.01 01/23/08
BIOFIELD CORP \DE\ DE 3.02,5.01,5.02,5.03,9.01 01/23/08
Biogold Fuels CORP NV 5.02,8.01,9.01 01/16/08
BIOJECT MEDICAL TECHNOLOGIES INC OR 1.01,3.01,3.02,3.03,5.03,9.01 01/18/08
BIRNER DENTAL MANAGEMENT SERVICES INC CO 8.01,9.01 01/23/08
BNC CORP Mortgage Loan Trust 2007-BNC 8.01,9.01 01/08/08
BOOKHAM, INC. DE 2.02,9.01 01/23/08
BRISTOL MYERS SQUIBB CO DE 5.02,9.01 01/22/08
BSD MEDICAL CORP DE 7.01,9.01 01/23/08
Buck-A-Roo$ Holding CORP 5.02 01/23/08
BUCKEYE TECHNOLOGIES INC DE 9.01 01/22/08
BUILD A BEAR WORKSHOP INC DE 4.02 11/08/07 AMEND
C2 Global Technologies Inc FL 5.02,9.01 01/16/08
CABOT MICROELECTRONICS CORP DE 7.01,9.01 01/23/08
CALYPTE BIOMEDICAL CORP DE 1.01,3.02,9.01 01/16/08
CANYON RESOURCES CORP DE 8.01,9.01 01/23/08
CAPITAL ONE FINANCIAL CORP DE 2.02,7.01,8.01,9.01 01/23/08
CAROLINA BANK HOLDINGS INC NC 2.02 01/23/08
CCF HOLDING CO GA 5.02,9.01 01/17/08
Celsius Holdings, Inc. NV 5.02 01/21/08
CENTERLINE HOLDING CO DE 8.01 01/15/08
Centerplate, Inc. DE 8.01,9.01 01/23/08
CENTRA FINANCIAL HOLDINGS INC WV 5.02 01/18/08
CENTRAL VALLEY COMMUNITY BANCORP CA 5.02 01/16/08
CHANNELL COMMERCIAL CORP DE 2.02 01/22/08
CHARLOTTE RUSSE HOLDING INC 2.02,9.01 01/23/08
China Direct, Inc FL 7.01,9.01 01/23/08
China Premium Lifestyle Enterprise, I NV 1.01,9.01 01/18/08
China TransInfo Technology Corp. NV 4.02 01/23/08
China Water Group, Inc. NV 1.01,2.01,9.01 12/29/07
CISCO SYSTEMS INC CA 5.02 01/16/08
CIT GROUP INC DE 8.01,9.01 01/22/08
CITRIX SYSTEMS INC DE 2.02 01/23/08
CLARCOR INC DE 5.02,9.01 01/19/08
COHEN & STEERS INC 2.02,9.01 01/23/08
COLONIAL BANCGROUP INC DE 2.02,7.01,9.01 01/23/08
COLUMBIA BANCORP \OR\ OR 2.02,9.01 01/23/08
COMMSCOPE INC DE 5.02,9.01 01/22/08
COMMUNITY CAPITAL CORP /SC/ SC 2.02 01/22/08
Compass Diversified Holdings DE 8.01,9.01 01/21/08
CONGOLEUM CORP DE 8.01,9.01 01/17/08
CONOCOPHILLIPS DE 2.02,9.01 01/22/08
CONSOLIDATED TOMOKA LAND CO FL 5.02 01/23/08
CONSTELLATION BRANDS, INC. DE 7.01,9.01 01/23/08
COOPERATIVE BANKSHARES INC NC 5.02 01/16/08
COPART INC CA 8.01,9.01 01/22/08
COPART INC CA 5.02 01/20/08
CORE LABORATORIES N V P7 1.01 01/23/08
CORNERSTONE BANCSHARES INC TN 2.02,9.01 01/23/08
CRYO CELL INTERNATIONAL INC DE 5.02,8.01,9.01 01/22/08
CTS CORP IN 5.02 01/23/08
CUBIST PHARMACEUTICALS INC DE 2.02,9.01 01/23/08
CUISINE SOLUTIONS INC DE 5.03 12/06/07 AMEND
CULLEN FROST BANKERS INC TX 2.02,9.01 01/23/08
DATASCENSION INC NV 5.02,9.01 01/22/08
DELTA AIR LINES INC /DE/ DE 2.02,9.01 01/23/08
DEVCON INTERNATIONAL CORP FL 5.02,7.01,9.01 01/16/08
DEXCOM INC 5.02,9.01 01/18/08
DIGI INTERNATIONAL INC DE 2.02,9.01 01/23/08
DIRECTV GROUP INC DE 8.01,9.01 01/23/08
DOCUMENT CAPTURE TECHNOLOGIES, INC. 5.02,9.01 01/18/08
DOLLAR TREE STORES INC VA 1.01,5.02,5.03,8.01,9.01 01/16/08
DOVER DOWNS GAMING & ENTERTAINMENT IN DE 7.01,9.01 01/23/08
DOVER MOTORSPORTS INC DE 7.01,9.01 01/23/08
DOWNEY FINANCIAL CORP DE 2.02,9.01 12/31/07
DTE ENERGY CO MI 1.01,9.01 01/17/08
DUCKWALL ALCO STORES INC KS 7.01,9.01 01/22/08
DURAVEST INC 5.02,9.01 12/09/07
EACO CORP FL 1.01,9.01 12/20/07 AMEND
EAGLE BANCORP INC MD 5.02 01/16/08
EBAY INC DE 2.02,9.01 01/23/08
EDEN ENERGY CORP NV 1.01,3.02,9.01 01/17/08
EDEN ENERGY CORP NV 1.01,3.02,9.01 01/22/08
ELECTRO RENT CORP CA 8.01,9.01 01/23/08
ELECTRONICS FOR IMAGING INC DE 2.02,9.01 01/23/08
Elixir Gaming Technologies, Inc. NV 4.01,9.01 01/17/08
EMC INSURANCE GROUP INC IA 7.01 01/23/08
ENERGEN CORP AL 2.02,9.01 01/23/08
ENTRUST INC MD 5.02,9.01 01/16/08
Epic Bancorp 2.02,8.01,9.01 01/23/08
Equity Media Holdings CORP DE 5.02,9.01 01/22/08
ESPEED INC DE 5.02 01/23/08
ETHAN ALLEN INTERIORS INC DE 2.02,9.01 01/23/08
EXAR CORP DE 1.01,9.01 01/16/08
EXELON CORP PA 2.02,7.01,9.01 01/23/08
F5 NETWORKS INC WA 2.02,8.01,9.01 01/23/08
FAUQUIER BANKSHARES, INC. VA 8.01,9.01 01/18/08
Federal Home Loan Bank of Chicago X1 2.03 01/16/08
Federal Home Loan Bank of Chicago X1 1.01,2.02,7.01,9.01 01/17/08
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 01/16/08
Federal Home Loan Bank of Dallas 2.03 01/16/08
Federal Home Loan Bank of Des Moines X1 2.03,9.01 01/16/08
Federal Home Loan Bank of Topeka 2.03 01/16/08
FIDELITY D & D BANCORP INC PA 2.02,9.01 01/23/08
Fidelity National Financial, Inc. 9.01 11/09/07 AMEND
FIDELITY SOUTHERN CORP GA 5.02,9.01 01/17/08
FINANCIAL INSTITUTIONS INC NY 5.02,9.01 01/16/08
FIRST BANKS, INC MO 2.02,9.01 01/23/08
FIRST CASH FINANCIAL SERVICES INC DE 2.02 01/22/08
First Clover Leaf Financial Corp. MD 8.01,9.01 01/22/08
FIRST COMMONWEALTH FINANCIAL CORP /PA PA 2.02,9.01 01/23/08
FIRST COMMUNITY BANCORP /CA/ CA 2.02,5.02,9.01 01/17/08
FIRST COMMUNITY BANCSHARES INC /NV/ NV 2.02,9.01 01/23/08
FIRST MERCHANTS CORP IN 2.02,9.01 01/23/08
FIRST MIDWEST BANCORP INC DE 2.02,7.01,9.01 01/23/08
FIRST NATIONAL LINCOLN CORP /ME/ ME 2.02 12/31/07
FIRST PACTRUST BANCORP INC MD 8.01 01/23/08
FIRSTMERIT CORP /OH/ OH 5.02,9.01 01/17/08
Fit For Business International Inc NV 1.01,9.01 01/16/08
FLUSHING FINANCIAL CORP DE 2.02,9.01 12/31/07
FNB CORP/FL/ FL 5.02,9.01 01/16/08
Ford Credit Auto Owner Trust 2008-A DE 8.01,9.01 01/23/08
FORGENT NETWORKS INC DE 9.01 10/05/07 AMEND
FORLINK SOFTWARE CORP INC NV 4.01,9.01 01/16/08
FRANCHISE CAPITAL CORP NV 5.03 01/21/08
GAP INC DE 7.01,9.01 01/16/08
GENAERA CORP DE 8.01,9.01 01/23/08
GENERAL DYNAMICS CORP DE 2.02,9.01 01/23/08
GENERAL MOTORS CORP DE 8.01,9.01 01/23/08
GILEAD SCIENCES INC DE 2.02,9.01 01/23/08
GLADSTONE CAPITAL CORP MD 2.02,9.01 01/08/08
GLADSTONE INVESTMENT CORPORATION\DE DE 2.02,9.01 01/08/08
GLIMCHER REALTY TRUST MD 2.02,2.05,2.06,8.01,9.01 01/22/08
GLOBAL GREEN SOLUTIONS INC. 7.01 01/23/08
GLOBAL GREEN SOLUTIONS INC. 7.01,9.01 01/23/08
GLOBALPAYNET HOLDINGS, INC. 1.01,9.01 01/17/08
GLU MOBILE INC 1.01,9.01 01/23/08
GMX RESOURCES INC OK 5.02 01/18/08
GOLDEN QUEEN MINING CO LTD 3.02,8.01 01/23/08
GOLDEN STAR RESOURCES LTD 2.02,8.01,9.01 01/17/08
GOLDEN STAR RESOURCES LTD 5.02 01/16/08
GREEN BANKSHARES, INC. TN 5.02,9.01 01/14/08
GS FINANCIAL CORP LA 2.02,9.01 01/22/08
HAMPTON ROADS BANKSHARES INC VA 2.02 01/23/08
HANSEN MEDICAL INC 8.01 01/23/08
Harbor Acquisition Corp. DE 8.01,9.01 01/23/08
HARRAHS ENTERTAINMENT INC DE 8.01,9.01 01/23/08
HEALTHCARE SERVICES GROUP INC PA 8.01,9.01 01/22/08
HEALTHSOUTH CORP DE 1.01,9.01 01/23/08
HealthSpring, Inc. DE 2.02,7.01,9.01 01/23/08
Heelys, Inc. DE 3.01,9.01 01/17/08
HOLLIS EDEN PHARMACEUTICALS INC /DE/ DE 5.02 01/17/08
HOME FEDERAL BANCORP IN 2.02,9.01 01/22/08
HOME FEDERAL BANCORP IN 5.02,9.01 01/22/08
HouseValues, Inc. WA 2.02,2.05,5.02 01/22/08
HUDSON CITY BANCORP INC DE 2.02,9.01 01/23/08
HYDROGEN POWER INC DE 5.02,8.01 01/18/08
IA GLOBAL INC DE 8.01,9.01 01/23/08
IBERIABANK CORP LA 2.02,9.01 01/22/08
ICC Worldwide, Inc. DE 1.01,2.03,9.01 01/15/08
ICO INC TX 5.02,9.01 01/17/08
IMMUNOSYN CORP 8.01 01/23/08
Independence Bancshares, Inc. SC 5.02 01/14/08
INDEPENDENT BANK CORP /MI/ MI 2.02,7.01,9.01 01/23/08
Index Oil & Gas Inc. NV 7.01,9.01 01/22/08
INFINITY CAPITAL GROUP, INC. NV 7.01,9.01 01/22/08
InfoSearch Media, Inc. DE 4.01,9.01 12/31/07 AMEND
Innovative Consumer Products, Inc. 5.03,9.01 01/21/08
INTEGRATED ELECTRICAL SERVICES INC DE 5.02,9.01 01/22/08
Intellect Neurosciences, Inc. 7.01,9.01 01/22/08
InterDigital, Inc. PA 5.02 01/18/08
INTERLEUKIN GENETICS INC DE 1.01,5.02,9.01 01/22/08
INTERNATIONAL SHIPHOLDING CORP DE 2.02,9.01 01/23/08
INTERSIL CORP/DE DE 2.02,7.01,9.01 01/23/08
INTROGEN THERAPEUTICS INC 2.01,9.01 01/17/08
INVENTIV HEALTH INC DE 9.01 01/18/08
IOMEGA CORP DE 2.02,9.01 01/23/08
iPCS, INC DE 2.02,9.01 01/23/08
ITC Holdings Corp. MI 8.01,9.01 01/18/08
ITT EDUCATIONAL SERVICES INC DE 5.02 01/21/08
J P MORGAN CHASE & CO DE 9.01 01/18/08
JACKSONVILLE BANCORP INC /FL/ FL 2.02,9.01 01/22/08
JANUS CAPITAL GROUP INC DE 5.02 12/14/07 AMEND
JEFFERIES GROUP INC /DE/ DE 2.02,7.01,9.01 01/23/08
JETBLUE AIRWAYS CORP DE 1.01,9.01 01/22/08
JUNIATA VALLEY FINANCIAL CORP PA 2.02,8.01 01/23/08
KAYNE ANDERSON ENERGY DEVELOPMENT CO MD 8.01,9.01 01/22/08
KBS Real Estate Investment Trust, Inc MD 8.01 12/17/07
KENNAMETAL INC PA 2.02,9.01 01/23/08
Kesselring Holding Corporation. 5.02 01/17/08
KID CASTLE EDUCATIONAL CORP FL 8.01 12/14/07
KV PHARMACEUTICAL CO /DE/ DE 1.01,7.01,9.01 01/16/08
LANGER INC NY 8.01,9.01 01/18/08
LEE ENTERPRISES, INC DE 2.02,9.01 01/22/08
LEHMAN BROTHERS HOLDINGS INC DE 9.01 01/22/08
LEVI STRAUSS & CO DE 5.02,9.01 01/16/08
LIMCO-PIEDMONT INC DE 5.02,9.01 01/22/08
LPL Investment Holdings Inc. DE 2.01,9.01 11/07/07 AMEND
LSI CORP DE 2.02,2.06,9.01 01/23/08
LTV CORP DE 8.01,9.01 01/23/08
M & F WORLDWIDE CORP DE 5.02 01/22/08
M&T BANK CORP NY 8.01,9.01 01/23/08
MADISON GAS & ELECTRIC CO WI 5.02,9.01 01/18/08
Magnum dOr Resources Inc 1.01,9.01 01/22/08
MAINSOURCE FINANCIAL GROUP IN 2.02,9.01 01/23/08
MARINE PRODUCTS CORP DE 8.01,9.01 01/23/08
MARINE PRODUCTS CORP DE 2.02,9.01 01/23/08
MARTEK BIOSCIENCES CORP DE 5.02 01/17/08
MARVELL TECHNOLOGY GROUP LTD D0 5.02,9.01 01/22/08
MB SOFTWARE CORP CO 1.01,3.02,9.01 01/11/08
MCCORMICK & CO INC MD 2.02,9.01 01/23/08
MDwerks, Inc. DE 1.01,3.02,9.01 01/18/08
MERCURY COMPUTER SYSTEMS INC MA 2.02,9.01 01/23/08
MERIDIAN INTERSTATE BANCORP INC MA 8.01,9.01 01/23/08
MERRILL LYNCH DEPOSITOR INC PPLUS TRU DE 8.01,9.01 01/16/08
MERRILL LYNCH DEPOSITOR INC PREFERRED DE 8.01,9.01 01/15/08
MERRILL LYNCH DEPOSITOR INC PREFERRED DE 8.01,9.01 01/15/08
MET PRO CORP PA 4.02 01/22/08
MGE ENERGY INC WI 5.02,9.01 01/18/08
MGI PHARMA INC MN 5.01,9.01 01/23/08
MGIC INVESTMENT CORP WI 2.02,9.01 01/22/08
MICROMED CARDIOVASCULAR INC DE 8.01 01/23/08
Millennium India Acquisition CO Inc. DE 8.01,9.01 01/18/08
MISCOR GROUP, LTD. 9.01 01/22/08
MOBILEPRO CORP DE 5.02 01/17/08
MOLEX INC DE 2.02,9.01 01/23/08
MOMENTUM BIOFUELS, INC. CO 7.01,9.01 01/18/08
MONSTER WORLDWIDE INC DE 1.01,5.01,9.01 01/22/08
MORRIS PUBLISHING GROUP LLC GA 2.02,7.01,9.01 01/23/08
MOTOROLA INC DE 2.02,9.01 01/23/08
MTS SYSTEMS CORP MN 2.02,9.01 01/23/08
MyStarU.com,Inc. 5.02 01/18/08
NARROWSTEP INC DE 5.02 01/22/08
NATIONAL HEALTHCARE CORP DE 2.01 01/21/08
NATIONAL SEMICONDUCTOR CORP DE 2.05,9.01 01/21/08
Naugatuck Valley Financial Corp X1 2.02,9.01 01/22/08
NAUTILUS, INC. WA 1.01,2.03,9.01 01/16/08
NETFLIX INC DE 2.02,9.01 01/23/08
NETMANAGE INC DE 8.01 01/22/08
New Century Energy Corp. CO 1.01,9.01 01/20/08
NORD RESOURCES CORP DE 7.01,9.01 01/23/08
NORTHEAST BANCORP /ME/ ME 2.02,7.01,9.01 12/31/07
NORTHEAST UTILITIES MA 8.01 01/18/08
NORTHRIM BANCORP INC AK 2.02,9.01 01/23/08
NORTHWEST NATURAL GAS CO OR 7.01,9.01 01/22/08
NORWOOD FINANCIAL CORP PA 2.02,9.01 01/23/08
NVE CORP /NEW/ MN 2.02 01/23/08
OPENWAVE SYSTEMS INC DE 5.02,9.01 01/18/08
PACIFIC CONTINENTAL CORP OR 2.02,9.01 01/23/08
PACIFIC SUNWEAR OF CALIFORNIA INC CA 5.02 01/16/08
PACKAGING CORP OF AMERICA 2.02,9.01 01/22/08
PACTIV CORP DE 2.02,9.01 01/23/08
PALATIN TECHNOLOGIES INC DE 8.01,9.01 01/22/08
PANERA BREAD CO DE 5.02,9.01 01/22/08
PARAMETRIC TECHNOLOGY CORP MA 2.02,9.01 01/23/08
PATAPSCO BANCORP INC MD 2.02,9.01 01/17/08
PATCH INTERNATIONAL INC/CN 7.01,9.01 01/22/08
PENNS WOODS BANCORP INC PA 2.02,9.01 01/22/08
PEOPLES FINANCIAL CORP /MS/ MS 2.02,9.01 12/31/07
PFIZER INC DE 2.02,9.01 01/23/08
PHAR MOR INC PA 7.01 01/22/08
PIEDMONT NATURAL GAS CO INC NC 1.01 01/16/08
PIPER JAFFRAY COMPANIES 2.02,9.01 01/23/08
PLEXUS CORP WI 2.02 01/23/08
POLYCOM INC DE 2.02,9.01 01/23/08
POLYONE CORP 2.02,9.01 01/23/08
Porter Bancorp, Inc. KY 2.02,9.01 01/23/08
POWERSECURE INTERNATIONAL, INC. DE 1.01,2.03,8.01,9.01 01/16/08
PPLUS TRUST SERIES CSF-1 DE 8.01,9.01 01/15/08
PPLUS Trust Series DCNA-1 DE 8.01,9.01 01/18/08
PPLUS TRUST SERIES PMC-1 DE 8.01,9.01 01/15/08
PRAXAIR INC DE 2.02,9.01 01/23/08
PRECISION CASTPARTS CORP OR 2.02,9.01 01/22/08
PRUDENTIAL FINANCIAL INC NJ 5.02,9.01 01/23/08
PSB HOLDINGS INC /WI/ WI 2.02,9.01 01/23/08
PSS WORLD MEDICAL INC FL 2.02,9.01 01/23/08
PULASKI FINANCIAL CORP MO 2.02,9.01 01/22/08
PURE BIOSCIENCE CA 5.02 01/22/08
PUREDEPTH, INC. CO 5.02 01/16/08
QLOGIC CORP DE 2.02,9.01 01/23/08
QUALCOMM INC/DE DE 2.02,9.01 01/23/08
QUANTUM CORP /DE/ DE 2.02,9.01 01/23/08
QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 9.01 01/11/08 AMEND
QUANTUM GROUP INC /FL 8.01,9.01 01/22/08
RAFAELLA APPAREL GROUP,INC. DE 5.02,9.01 01/08/08
RANGE RESOURCES CORP DE 8.01,9.01 01/21/08
RASER TECHNOLOGIES INC UT 1.01,3.02,9.01 01/23/08
RC2 CORP DE 2.02,7.01,9.01 01/22/08
REINSURANCE GROUP OF AMERICA INC MO 2.02,9.01 01/23/08
RELIANCE STEEL & ALUMINUM CO CA 4.01,9.01 01/16/08
Renegy Holdings, Inc. DE 1.01,2.03,9.01 01/17/08
RESPONSE GENETICS INC 8.01,9.01 01/22/08
RIDGEWOOD ELECTRIC POWER TRUST V DE 9.01 02/22/07 AMEND
RIDGEWOOD POWER GROWTH FUND /NJ DE 9.01 02/22/07 AMEND
RLI CORP IL 2.02,9.01 01/22/08
ROBBINS & MYERS INC OH 5.03,9.01 01/22/08
ROCK OF AGES CORP DE 1.01 01/23/08
ROCKWELL AUTOMATION INC DE 2.02 01/23/08
ROLLINS INC DE 8.01 01/22/08
ROLLINS INC DE 2.02 01/23/08
RPC INC DE 8.01,9.01 01/23/08
RPC INC DE 2.02,9.01 01/23/08
RxElite, Inc. 1.01,9.01 01/18/08
RYLAND GROUP INC MD 2.02,9.01 01/23/08
SALTON INC DE 1.01,1.02,5.02,9.01 01/16/08
SANMINA-SCI CORP DE 2.02,9.01 01/23/08
SHARPS COMPLIANCE CORP DE 8.01,9.01 01/22/08
ShengdaTech, Inc. 7.01,9.01 01/23/08
SHORE FINANCIAL CORP VA 2.02,9.01 01/22/08
SIERRA BANCORP CA 2.02,9.01 01/22/08
SLM CORP DE 2.02 01/23/08
SLM Student Loan Trust 2008-1 DE 1.01,2.01,9.01 01/17/08
SLM Student Loan Trust 2008-1 DE 1.01,9.01 01/17/08
SM&A DE 8.01,9.01 01/23/08
SMITH A O CORP DE 2.02,9.01 01/23/08
SOLUTIA INC DE 7.01,9.01 01/23/08
SOMANETICS CORP MI 2.02,9.01 01/23/08
SOUTHERN COMMUNITY FINANCIAL CORP 2.02,9.01 01/23/08
SOUTHWEST AIRLINES CO TX 2.02 12/31/07
ST JUDE MEDICAL INC MN 2.02,9.01 01/23/08
STAR SCIENTIFIC INC DE 8.01,9.01 01/23/08
STRATUM HOLDINGS, INC. NV 5.02 01/23/08
STRATUS SERVICES GROUP INC DE 1.01 01/17/08
STRYKER CORP MI 2.02,9.01 12/31/07
STUDIO II PRODUCTIONS INC FL 4.01 12/24/07
SUNOVIA ENERGY TECHNOLOGIES INC 4.01,9.01 12/27/07
SUNTRUST BANKS INC GA 2.02,7.01,9.01 01/23/08
SURMODICS INC MN 2.02,9.01 01/23/08
SYMANTEC CORP DE 2.02,9.01 01/23/08
Synvista Therapeutics, Inc. DE 1.01,9.01 01/17/08
TBS INTERNATIONAL LTD 1.01,2.03 01/22/08
TCF FINANCIAL CORP DE 2.02,9.01 01/23/08
TECH OPS SEVCON INC DE 2.02,5.02,9.01 12/29/07
TELLABS INC DE 2.02,2.05,9.01 01/21/08
TELTRONICS INC DE 1.01,2.01,8.01,9.01 01/23/08
TENFOLD CORP /UT DE 5.02,8.01 01/23/08
TESCO CORP 7.01 01/22/08
TF FINANCIAL CORP DE 2.02 01/23/08
THERAVANCE INC DE 1.01,2.03,8.01,9.01 01/16/08
Tiger Ethanol International Inc. NV 8.01,9.01 01/16/08
TIMBERLAND BANCORP INC WA 2.02,9.01 01/22/08
TODD SHIPYARDS CORP WA 8.01 01/23/08
TODD SHIPYARDS CORP WA 8.01 01/23/08
TOWER TECH HOLDINGS INC. NV 2.01,3.02,8.01,9.01 01/16/08
TRANQUILITY INC 4.01 03/01/07
TRANSCEND SERVICES INC DE 1.01 01/16/08
TVI CORP MD 1.01,2.03,5.02,9.01 01/17/08
TYCO INTERNATIONAL LTD /BER/ D0 2.02,9.01 01/23/08
U S GOLD CORP CO 7.01,9.01 01/22/08
U S PRECIOUS METALS INC DE 1.01,8.01 01/16/08
UNISYS CORP DE 8.01 01/02/08
UNITED AMERICA INDEMNITY, LTD E9 5.02 01/23/08
UNITED COMMUNITY BANKS INC GA 2.02,9.01 01/23/08
UNITED TECHNOLOGIES CORP /DE/ DE 2.02,8.01,9.01 01/23/08
US ENERGY CORP WY 5.02 01/18/08
Utah Uranium Corp. NV 1.01,9.01 01/14/08
VARIAN INC DE 2.02,9.01 01/23/08
VARIAN MEDICAL SYSTEMS INC DE 2.02,9.01 01/23/08
Vestin Realty Mortgage I, Inc. 5.02,9.01 01/16/08
VIRGINIA COMMERCE BANCORP INC 2.02,7.01,9.01 01/23/08
VIRGINIA FINANCIAL GROUP INC VA 2.02,8.01,9.01 01/23/08
VNUS MEDICAL TECHNOLOGIES INC 1.01,5.02,9.01 01/18/08
VOICESERVE INC DE 5.02 01/21/08
WACCAMAW BANKSHARES INC NC 5.03,8.01,9.01 01/17/07
WAKE FOREST BANCSHARES INC 2.02,9.01 01/23/08
WASHINGTON FEDERAL INC WA 7.01,9.01 01/22/08
WATAIRE INTERNATIONAL, INC. WA 5.02 01/17/08
WELLPOINT INC IN 2.02,9.01 01/23/08
Welwind Energy International CORP DE 1.01,3.02,8.01,9.01 01/17/08
WEST MARINE INC DE 8.01 01/14/08
WESTERN ALLIANCE BANCORPORATION 2.02,9.01 01/22/08
WESTERN DIGITAL CORP DE 2.02,9.01 01/23/08
WHITNEY HOLDING CORP LA 2.02,9.01 12/31/07
X-CHANGE CORP NV 5.03,9.01 12/28/07
XEDAR CORP CO 1.01,2.03,9.01 01/22/08
XETHANOL CORP CO 5.02,9.01 01/16/08
ZALE CORP DE 5.02,9.01 01/17/08
ZIOPHARM ONCOLOGY INC 5.02 01/18/08
http://www.sec.gov/news/digest/2008/dig012408.htm
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