SEC NEWS DIGEST Issue 2007-34 February 21, 2007 ENFORCEMENT PROCEEDINGS DELINQUENT FILERS STOCK REGISTRATION REVOKED The registration of the stock of seven corporations - Auto Wholesale Specialists, Inc., Globalot Corp., Gsociety, Inc., Icon International Holdings, Inc., f/k/a Marketing Systems USA, Inc., Intelliworxx, Inc., Outsource International, Inc., and Smart Choice Automotive Group, Inc. - has been revoked. None had filed any annual or quarterly reports with the Securities and Exchange Commission for four or more years. Thus, each violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocations were ordered in an administrative proceeding before an administrative law judge. (Rel. 34-55317; File No. 3-12553) COMMISSION DISMISSES PROCEEDINGS AGAINST GLOBAL CROWN CAPITAL, LLC, J&C GLOBAL SECURITIES INVESTMENTS, LLC, RANI JARKAS, AND ANTOINE CHAYA The Commission has dismissed proceedings against Global Crown Capital, LLC, J&C Global Securities Investments, LLC, Rani T. Jarkas, and Antoine K. Chaya in response to an unopposed motion by the Commission's Division of Enforcement. The Division moved to dismiss the proceedings "in light of the potential impact of the recent decision by the District of Columbia Circuit in Goldstein v. SEC, 451 F.3d 873 (D.C. Cir. 2006), on the validity of claims against these Respondents under Sections 206(1) and 206(2) of the [Investment] Advisers Act [of 1940]." In granting the Division's motion, the Commission noted that the Division did not move to amend the order instituting proceedings to allege violations of other provisions of the federal securities laws. The Commission expressed no view on whether the facts alleged in the order instituting proceedings could support findings of violation under other provisions of the federal securities laws. The Commission concluded that, under the circumstances, it was appropriate to grant the Division's motion to dismiss the proceedings. (Rels. 34-55318; IA-2591; File No. 3-12250) SEC v. VERITAS SOFTWARE CORPORATION The Commission filed a complaint in the U.S. District Court for the District of Columbia yesterday charging Veritas Software Corporation with securities fraud for engaging in an earnings management scheme and filing false and misleading financial statements from 2000 through 2003. Veritas was also charged with fraud in connection with improper round-trip transactions, including a round-trip transaction with America Online, Inc. (AOL), as well as aiding and abetting AOL's fraud. Veritas was acquired by Symantec Corporation on July 2, 2005. Without admitting or denying the allegations in the complaint, Veritas consented to the entry of a judgment that enjoins the company from violating the antifraud, reporting, books and records, and internal control provisions of the federal securities laws, and from aiding and abetting securities fraud violations by other parties. Veritas was also ordered to pay a $30 million civil penalty, which the Commission will seek to distribute to harmed investors pursuant to the Fair Funds provision of the Sarbanes-Oxley Act of 2002. [SEC v. Veritas Software Corp., Civil Action No. 07-364 (D.D.C.)] (LR-20008; AAE Rel. 2562) SEC v. BENNETT ENVIRONMENTAL, INC., JOHN BENNETT, ROBERT P.G. GRIFFITHS, AND RICHARD STERN On February 9, the Commission settled fraud charges against Richard L. Stern, the former CFO of Bennett Environmental, Inc. (BEI), and two others for their roles in the repeated dissemination of false and misleading information concerning a Superfund soil remediation contract awarded to the company in 2003. The Commission alleged that between June 2003 and April 2004, Stern and others caused BEI to issue press releases and make public filings misrepresenting and exaggerating a contract that it extolled as "the largest in the Company's history" with a value of "$200 million [Canadian]." In reality, the contract had a guaranteed value of less than $250,000, later was cancelled by the Army Corps of Engineers, reinstated on a limited basis, and then re-solicited under materially different terms. The complaint alleges that during the relevant time period, Stern and the other defendants failed to inform the public about material changes to the contract, failed to correct prior false statements, and continued to misrepresent the contract by asserting that it was in full force and effect and worth C$200 million. Only after a new CEO took over at BEI did the true facts come to light, which were disclosed in a July 2004 press release. Without admitting or denying the Commission's allegations , Stern has consented to the entry of a final judgment permanently enjoining him from violating Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 10b-5 and 13a-14 thereunder, and aiding and abetting violations of Section 13(a) of the Exchange Act and Rules 12b-20, 13a-1, and 13a-16 thereunder. Stern also agreed to pay a $75,000 civil penalty and to be barred from acting as an officer or director of a public company for five years. [SEC v. Bennett Environmental, Inc., John A. Bennett, Robert P.G. Griffiths, and Richard L. Stern, Case No. 06-Civ-14294] (LR-20009) SEC SETTLES CIVIL INJUNCTIVE ACTION AGAINST FORMER CEO OF BIOPURE CORPORATION The Commission announced today that a final judgment by consent was entered by the U.S. District Court of the District of Massachusetts against Thomas Moore, the former chief executive officer of Biopure Corporation, in a previously-filed action alleging misleading public statements about the company's efforts to obtain FDA approval for its primary product, Hemopure, a synthetic blood product. The final judgment against Moore, age 56, of Philadelphia, entered on Feb. 12, 2007, permanently enjoins Moore from violating antifraud provisions of the federal securities laws and orders him to pay a $120,000 civil penalty. The Commission's complaint, filed Sept. 14, 2005, alleges that, beginning in April 2003, Biopure received negative information from the FDA regarding its efforts to obtain FDA approval of its synthetic blood product Hemopure but failed to disclose the information, or falsely described it as positive developments. Specifically, the complaint alleges that in April 2003, the FDA placed a clinical hold barring Biopure from conducting clinical trials of Hemopure in trauma settings such as emergency rooms, because of safety concerns about Hemopure. The complaint further alleges that, during the next eight months, Moore and other Biopure employees concealed the imposition of the clinical hold while making public statements about Biopure's plans to obtain approval for trauma uses of Hemopure. In addition, according to the complaint, in July 2003 the FDA informed Biopure that it had not approved Biopure's application for use of Hemopure in orthopedic surgery, and instead conveyed serious concerns about whether the materials Biopure had submitted in support of its application were reliable and questioning the safety of Hemopure. According to the complaint, Biopure, however, issued public statements beginning on Aug. 1, 2003, describing the FDA's communication as good news, causing its stock price to increase by over 20%. The complaint alleges that Moore and other Biopure employees continued to make misleading statements until December 2003. During this period, Biopure raised over $35 million from investors. The complaint further alleges that as the true status of Biopure's efforts to obtain FDA approval gradually became public, through a series of incomplete and misleading disclosures between late October and the end of December 2003, the company's stock price plummeted almost 66% from its August 1 price. To settle the Commission's charges, Moore consented, without admitting or denying the allegations of the complaint, to the entry of a final judgment permanently enjoining him from committing future violations of Section 17(a) of the Securities Act of 1933 (Securities Act) and Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 10b 5 and 13a-14 thereunder and from aiding and abetting future violations of Section 13(a) of the Exchange Act and Rules 12b- 20, 13a-11 and 13a-13 thereunder. The final judgment also imposes a civil penalty in the amount of $120,000. For further information, see Litigation Release No. 19825 (Sept. 12, 2006) (SEC Settles Civil Injunctive Action Against Biopure Corporation and Its General Counsel), Litigation Release No. 19651 (April 11, 2006) (SEC Settles with Former Biopure Executive) and Litigation Release No. 19376 (Sept. 14, 2005) (Biopure and others charged by the Commission). [SEC v. Biopure Corporation, et al., Civil Action No. 05- 11853-PBS (D. Mass.)] (LR-20010) SEC CHARGES MASSACHUSETTS COMPANY AND ITS PRINCIPAL WITH FRAUD IN CONNECTION WITH UNREGISTERED OFFERING OF SECURITIES On February 20, the Commission filed a complaint in Massachusetts federal court against Braintree Energy, Inc., a Massachusetts corporation located in Cheshire, Massachusetts, and its principal, Howard Graham, a Canadian citizen in Ontario. The Commission's complaint alleges that defendants fraudulently offered and sold unregistered securities in the form of investment contracts and/or fractional interests in oil and gas leases. The Commission alleges that between at least 2000 through 2006, defendants made oral and written misrepresentations to more than 200 investors nationwide and in foreign countries regarding the expected rate of return and associated investment risks. The complaint alleges that defendants routinely communicated to investors that they could expect to earn between 500-900% on their investments, with little or no risk. The Commission alleges defendants failed to disclose many material facts to the investors, including that Graham intended to and was routinely diverting up to 30% of investor funds for his personal use. The Commission alleges that Defendants obtained at least $9 million in investor funds and Graham diverted approximately $3 million for personal expenses and for non-business payments to friends and family members. The Commission's complaint charges Braintree and Graham with violations of the antifraud provisions of the federal securities laws (Section 10(b) of the Exchange Act of 1934 [15 U.S.C. § 78j(b)] and Rule 10b-5 thereunder [17 C.F.R. § 240.10b-5], and Section 17(a) of the Securities Act of 1933 [15 U.S.C. § 77q(a)]); with the unregistered offer and sale of securities (Sections 5(a) and 5(c) of the Securities Act of 1933 [15 U.S.C. § 77e]); and with failure to register as a broker-dealer (Section 15(a) of the Exchange Act of 1934 [15 U.S.C. § 78o(a)]). The Commission seeks a permanent injunction, an order of disgorgement and prejudgment interest, and civil penalties. The Commission acknowledges the assistance of the Massachusetts Securities Division and the Pennsylvania Securities Commission, which previously filed separate actions against Braintree. [SEC v. Braintree Energy, Inc. and Howard Graham, Civil Action No. 1:07-cv-10307, USDC, D. Mass.] (LR-20011) SELF-REGULATORY ORGANIZATIONS ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission granted accelerated approval to a proposed rule change (SR-Amex-2006-86), as modified by Amendment Nos. 1, 2, and 3 thereto, submitted by the American Stock Exchange relating to the listing and trading of shares of the PowerShares DB US Dollar Index Bullish Fund and the PowerShares DB US Dollar Index Bearish Fund. Publication is expected in the Federal Register during the week of February 19. (Rel. 34-55292) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change (SR-ISE-2007-15) filed by the International Securities Exchange relating to the extension of a pilot period to increase position limits and exercise limits for equity options and options on the Nasdaq-100 Tracking Stock 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 February 19. (Rel. 34-55311) 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: . In most cases, this information is also available on the Commission's website: . S-8 ALTERNET SYSTEMS INC, SUITE 610, 815 WEST HASTINGS STREET, VANCOUVER, A1, V6C 1B4, 604-608-2540 - 10,000,000 ($1,000,000.00) Equity, (File 333-140774 - Feb. 20) (BR. 03C) SB-2 Royal Strategies & Solutions, Inc., 1933 W. COPANS ROAD, POMPANO BEACH, FL, 33064, 954-978-8401 - 3,869,000 ($2,613,750.00) Equity, (File 333-140775 - Feb. 20) (BR. ) S-8 ALCiS Health, Inc., 560 SOUTH WINCHESTER BLVD, 5TH FLOOR, SAN JOSE, CA, 95128, 408-236-7525 - 1,300,000 ($364,000.00) Equity, (File 333-140776 - Feb. 20) (BR. 09A) S-3ASR VECTREN CORP, ONE VECTREN SQUARE, EVANSVILLE, IN, 47708, 8124914000 - 0 ($0.00) Equity, (File 333-140777 - Feb. 20) (BR. 02B) S-3ASR MYLAN LABORATORIES INC, 1500 CORPORATE DRIVE, SUITE 400, CANONSBURG, PA, 15317, 724-514-1800 - 0 ($0.00) Equity, (File 333-140778 - Feb. 20) (BR. 01B) S-8 ATWOOD OCEANICS INC, 15835 PARK TEN PL DR, SUITE 200, HOUSTON, TX, 77084, 2817497845 - 2,000,000 ($96,630,000.00) Equity, (File 333-140781 - Feb. 20) (BR. 04C) S-3 ARGAN INC, ONE CHURCH STREET SUITE 401, ROCKVILLE, MD, 20850, 301 315-0027 - 2,653,335 ($16,450,677.00) Equity, (File 333-140782 - Feb. 20) (BR. 01A) S-8 KONINKLIJKE PHILIPS ELECTRONICS NV, BREITNER CENTER, AMSTELPLEIN 2, AMSTERDAM, P7, 1096 BC, 31 20 59 77777 - 11,000,000 ($430,760,000.00) Equity, (File 333-140784 - Feb. 20) (BR. 10B) S-8 IRVINE SENSORS CORP/DE/, 3001 REDHILL AVE, COSTA MESA, CA, 92626, 7145498211 - 0 ($4,408,000.00) Equity, (File 333-140785 - Feb. 20) (BR. 10B) S-8 ON TRACK INNOVATIONS LTD, P O BOX 32, ZHR INDUSTRIAL ZONE, ROSH PINAISRAEL, L3, 2126616500 - 2,000,000 ($12,440,000.00) Equity, (File 333-140786 - Feb. 20) (BR. 10C) S-8 ST. BERNARD SOFTWARE, INC., 15015 AVENUE OF SCIENCE, SAN DIEGO, CA, 92128, 858-676-2277 - 0 ($1,642,500.00) Equity, (File 333-140787 - Feb. 20) (BR. 03C) S-1 HOST AMERICA CORP, 2 BROADWAY, HAMDEN, CT, 06518, 2032484100 - 372,000 ($682,620.00) Equity, (File 333-140788 - Feb. 20) (BR. 05B) SB-2 Cobalis Corp, 2445 MCCABE WAY, SUITE 150, IRVINE, CA, 92614, 949-757-0001 - 10,583,737 ($9,737,038.04) Equity, (File 333-140790 - Feb. 20) (BR. 01C) S-8 NEW WORLD RESTAURANT GROUP INC, 1687 COLE BOULEVARD, GOLDEN, CO, 80401, 3035688000 - 0 ($1,185,000.00) Equity, (File 333-140791 - Feb. 20) (BR. 05B) S-8 CEL SCI CORP, 8229 BOONE BLVD ., SUITE 802, VIENNA, VA, 22182, 7035069460 - 0 ($9,375,000.00) Equity, (File 333-140792 - Feb. 20) (BR. 01A) F-6 RWE AG /FI, KRUPSTRASSE 5 45128 ESSEN, GERMANY, I8, 50,000,000 ($2,500,000.00) ADRs/ADSs, (File 333-140793 - Feb. 20) (BR. ) SB-2 DECORIZE INC, 1938 EAST PHELPS, ., SPRINGFIELD, MO, 65802, 417-879-3326 - 22,916,140 ($15,812,136.00) Equity, (File 333-140794 - Feb. 20) (BR. 02A) S-3ASR DUKE REALTY CORP, 600 EAST 96TH STREET, STE 100, INDIANAPOLIS, IN, 46240, 3178086000 - 0 ($541,660,395.00) Equity, (File 333-140796 - Feb. 20) (BR. 08A) F-9 SUNCOR ENERGY INC, 112 4TH AVENUE SW PO BOX 38, CALGARY, ALBERTA CANADA, A0, T2P 2V5, 4032698100 - 0 ($2,000,000,000.00) Debt, (File 333-140797 - Feb. 20) (BR. 04B) S-8 ABN AMRO HOLDING N V, GUSTAV MAHLERLAAN 10, AMSTERDAM, P7, 1082 PP, 0 ($55,000,000.00) Other, (File 333-140798 - Feb. 20) (BR. 07C) S-8 Diamond I, Inc., 8733 SIEGEN LANE, SUITE 309, BATON ROUGE, LA, 70810, 225-923-1034 - 30,000,000 ($660,000.00) Equity, (File 333-140799 - Feb. 20) (BR. 03A) SB-2 OMNIRELIANT HOLDINGS, INC., 4902 EISENHOWER BLVD, SUITE 185, TAMPA, FL, 33634, 813 885 5998 - 0 ($34,170,000.00) Equity, (File 333-140800 - Feb. 20) (BR. 04C) SB-2 iCarbon CORP, 106 LAKESIDE AVENUE, P.O. BOX 210, DELANO, PA, 18220, 570-467-2222 - 0 ($13,814,904.00) Equity, (File 333-140801 - Feb. 20) (BR. 04A) S-3 MAGNA ENTERTAINMENT CORP, 337 MAGNA DRIVE, AURORA, ONTARIO CANADA, A6, L4G 7K1, 9057262462 - 0 ($500,000,000.00) Equity, (File 333-140802 - Feb. 20) (BR. 05B) SB-2 DAYSTAR TECHNOLOGIES INC, 13 CORPORATE DRIVE, HALFMOON, NY, 12065, 518-383-4600 - 0 ($18,459,911.00) Equity, (File 333-140803 - Feb. 20) (BR. 10A) S-3 JP MORGAN CHASE COMMERCIAL MORTGAGE SECURITIES CORP, C/O STATE STREET BANK & TRUST CO, TWO INTERNATIONAL PLACE 5TH FLOOR, BOSTON, MA, 02110, 2126483063 - 0 ($1,000,000.00) Mortgage Backed Securities, (File 333-140804 - Feb. 20) (BR. 05D) 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: . In most cases, this information is also available on the Commission's website: . STATE 8K ITEM NO. NAME OF ISSUER CODE DATE COMMENT 1ST SOURCE CORP IN 1.01,8.01,9.01 02/19/07 ABBOTT LABORATORIES IL 5.02 02/13/07 ABERCROMBIE & FITCH CO /DE/ DE 8.01,9.01 02/16/07 ACADIA REALTY TRUST MD 2.02,9.01 02/14/07 ACCELR8 TECHNOLOGY CORP CO 5.02 02/16/07 ACORDA THERAPEUTICS INC 2.02,9.01 12/20/06 Acquicor Technology Inc DE 8.01,9.01 02/20/07 ACRONGENOMICS INC NV 1.01,3.02,9.01 02/12/07 ACURA PHARMACEUTICALS, INC NY 8.01,9.01 02/20/07 ADVANCE AUTO PARTS INC DE 8.01 02/20/07 ADVANCED MAGNETICS INC DE 1.01,9.01 02/15/07 ADVANTA BUSINESS RECEIVABLES CORP 8.01,9.01 02/20/07 AeroGrow International, Inc. NV 2.02,7.01,9.01 02/20/07 AeroGrow International, Inc. NV 7.01 02/20/07 AIR PRODUCTS & CHEMICALS INC /DE/ DE 7.01,9.01 02/19/07 AK STEEL HOLDING CORP DE 7.01,9.01 02/16/07 AK STEEL HOLDING CORP DE 8.01,9.01 02/20/07 AKSYS LTD DE 2.04,8.01 02/06/07 ALLIANCE RESOURCE PARTNERS LP DE 1.01,9.01 02/16/07 ALLSCRIPTS HEALTHCARE SOLUTIONS INC DE 5.02 02/13/07 ALLTEL CORP DE 2.02,9.01 02/20/07 Alternative Loan Trust 2007-2CB DE 6.02,9.01 02/14/07 Altra Holdings, Inc. DE 1.01,7.01,9.01 02/17/07 AMC ENTERTAINMENT INC DE 1.01,2.01,9.01 02/13/07 AMEDISYS INC DE 2.02,9.01 02/20/07 AMERICAN LOCKER GROUP INC DE 5.02 02/20/07 AMERICAN MEDICAL ALERT CORP NY 8.01,9.01 02/20/07 AMERICAN SKIING CO /ME DE 1.01,9.01 02/16/07 AMERICAN TOWER CORP /MA/ DE 1.01,2.02,2.03,5.02,8.01,9.01 02/14/07 AMERICAN WOODMARK CORP VA 8.01,9.01 01/31/07 AMERICHIP INTERNATIONAL INC 2.01,9.01 02/15/07 Ames True Temper, Inc. DE 4.01,9.01 02/13/07 AMGEN INC DE 5.03,9.01 02/14/07 Ammex Gold Mining Corp. 4.01,9.01 08/18/06 AMPEX CORP /DE/ DE 5.02,9.01 02/16/07 AMSURG CORP TN 2.02,7.01,9.01 02/20/07 ANALYTICAL SURVEYS INC CO 8.01,9.01 02/20/07 Answers CORP 2.02,7.01,9.01 02/20/07 ANSWERTHINK INC FL 2.02,9.01 02/20/07 ANSYS INC DE 2.02,9.01 02/20/07 ARIBA INC DE 1.01,8.01,9.01 02/15/07 ART TECHNOLOGY GROUP INC DE 7.01,9.01 02/20/07 ASIAN FINANCIAL INC WY 2.02,7.01,9.01 02/20/07 ASPEN INSURANCE HOLDINGS LTD D0 7.01,9.01 02/20/07 ATLANTIC COAST FEDERAL CORP X1 2.02,9.01 02/20/07 ATS MEDICAL INC MN 5.02,5.03,9.01 02/13/07 AURIGA LABORATORIES, INC. DE 7.01,8.01,9.01 02/20/07 AUTOMATIC DATA PROCESSING INC DE 2.02 12/31/06 AUXILIUM PHARMACEUTICALS INC 7.01,9.01 02/20/07 AVAYA INC DE 5.02,8.01,9.01 02/14/07 AXESSTEL INC NV 2.02,9.01 02/20/07 AXSYS TECHNOLOGIES INC DE 2.02,9.01 02/20/07 BALDOR ELECTRIC CO MO 1.01 02/14/07 BANCORPSOUTH INC MS 4.02,9.01 02/16/07 BANK ONE AUTO SECURITIZATION TRUST 20 DE 8.01,9.01 02/20/07 BARD C R INC /NJ/ NJ 5.02 02/14/07 BAUSCH & LOMB INC NY 5.02,9.01 02/16/07 BCB BANCORP INC 8.01,9.01 02/16/07 Bear Stearns ALT-A Trust 2006-1 DE 8.01,9.01 01/31/06 AMEND Bear Stearns Mortgage Funding Trust 2 DE 9.01 01/30/07 AMEND BEICANG IRON & STEEL INC NV 4.01,9.01 02/02/07 AMEND BERKSHIRE INCOME REALTY INC 9.01 12/06/06 AMEND BIO RAD LABORATORIES INC DE 5.01,9.01 02/14/07 BIOMARIN PHARMACEUTICAL INC DE 2.02,9.01 02/20/07 BIOMET INC IN 8.01,9.01 02/20/07 BLACK BOX CORP DE 3.01,9.01 02/15/07 BLAIR CORP DE 2.02,7.01,9.01 02/16/07 BOYD GAMING CORP NV 2.02,9.01 02/20/07 BSD MEDICAL CORP DE 7.01,9.01 02/20/07 BTU INTERNATIONAL INC DE 2.02,9.01 02/20/07 BUILD A BEAR WORKSHOP INC DE 2.02,8.01,9.01 02/20/07 CABELAS INC DE 5.02 02/13/07 CABLEVISION SYSTEMS CORP /NY DE 8.01 02/20/07 CALLISTO PHARMACEUTICALS INC DE 5.02 02/16/07 CAPITAL LEASE FUNDING INC 5.02,9.01 02/13/07 CAPRIUS INC DE 8.01,9.01 02/15/07 CAREGUIDE INC DE 9.01 02/20/07 AMEND CASTELLE \CA\ DE 2.02,9.01 01/16/07 CATERPILLAR INC DE 7.01 02/19/07 CBRL GROUP INC TN 2.02,7.01,9.01 02/20/07 CENTER FINANCIAL CORP CA 5.02 02/14/07 CENTRAL EUROPEAN DISTRIBUTION CORP DE 2.02,2.03,8.01,9.01 02/20/07 CENTRAL GARDEN & PET CO DE 8.01 02/20/07 CENTURY ALUMINUM CO DE 2.02,7.01,9.01 12/31/06 CEPHEID CA 1.01,2.01,9.01 02/14/07 CET SERVICES INC CA 1.01,3.02,9.01 02/16/07 CHAMPION COMMUNICATION SERVICES INC DE 1.01,8.01,9.01 02/13/07 CHAMPION ENTERPRISES INC MI 2.02,9.01 02/20/07 CHAMPION PARTS INC IL 5.02 02/20/07 Chardan North China Acquisition Corp DE 7.01,9.01 02/20/07 Chardan South China Acquisition Corp DE 7.01,9.01 02/20/07 CHARLES & COLVARD LTD NC 5.02,9.01 02/13/07 CHEESECAKE FACTORY INCORPORATED DE 8.01,9.01 02/20/07 CHEMED CORP DE 2.02,9.01 02/20/07 CHINA AGRITECH INC 7.01,9.01 02/20/07 CHINA BAK BATTERY INC NV 7.01,9.01 02/20/07 China Fruits Corportion DE 1.01 02/19/07 CHINA SECURITY & SURVEILLANCE TECHNOL D8 7.01,9.01 02/20/07 CHINA-BIOTICS, INC DE 7.01,9.01 02/20/07 CINCINNATI BELL INC OH 2.02,9.01 02/20/07 CINCINNATI BELL INC OH 7.01,9.01 02/20/07 CINEMARK INC DE 1.01,2.01 02/13/07 CINEMARK USA INC /TX TX 1.01,2.01 02/13/07 CIRRUS LOGIC INC DE 5.02,9.01 02/14/07 CLEVELAND CLIFFS INC OH 7.01,9.01 02/19/07 CNH WHOLESALE RECEIVABLES LLC DE 8.01,9.01 02/15/07 Cobalis Corp NV 5.02,8.01,9.01 02/14/07 CODORUS VALLEY BANCORP INC PA 5.02,9.01 02/13/07 COLDWATER CREEK INC DE 1.01,1.02,2.03,9.01 02/13/07 Colonial Bankshares Inc X1 2.02,9.01 02/16/07 Community Bancorp NV 8.01,9.01 02/20/07 COMMUNITY FIRST BANCORP INC MD 2.02,9.01 02/20/07 CommunitySouth Bancshares Inc SC 2.02,9.01 02/16/07 CONAGRA FOODS INC /DE/ DE 7.01,9.01 02/20/07 CONECTISYS CORP CO 1.01,3.02,9.01 02/16/07 CONSTAR INTERNATIONAL INC DE 5.02,9.01 02/15/07 CONSUMER PORTFOLIO SERVICES INC CA 1.01,7.01,9.01 02/14/07 Copano Energy, L.L.C. DE 5.02,8.01,9.01 02/13/07 Cord Blood America, Inc. FL 1.01,2.01,8.01,9.01 02/02/07 COSTCO WHOLESALE CORP /NEW WA 8.01,9.01 02/13/07 CREDIT ACCEPTANCE CORPORATION MI 7.01,9.01 02/20/07 CRESCENT BANKING CO GA 2.02,9.01 02/15/07 Crocs, Inc. 2.02,9.01 02/20/07 CRYOLIFE INC FL 2.02,5.02,9.01 02/13/07 Cyclacel Pharmaceuticals, Inc. DE 8.01,9.01 02/20/07 DANAHER CORP /DE/ DE 1.01,9.01 02/15/07 DATALINK CORP MN 1.01,3.02,5.02,8.01,9.01 02/14/07 DCT Industrial Trust Inc. MD 2.02,9.01 02/20/07 dELiAs, Inc. DE 5.02,9.01 02/20/07 DELL INC DE 5.02,9.01 02/13/07 DELTA WOODSIDE INDUSTRIES INC /SC/ SC 1.01,2.01,9.01 02/13/07 DELTATHREE INC DE 1.01,2.01,3.02,7.01,9.01 02/17/07 DEVELOPERS DIVERSIFIED REALTY CORP OH 8.01 02/19/07 DIAMOND OFFSHORE DRILLING INC DE 7.01,9.01 02/20/07 DigitalFX International Inc FL 2.02,9.01 02/20/07 DIGUANG INTERNATIONAL DEVELOPMENT CO. NV 7.01,9.01 02/20/07 Dinewise, Inc. NV 1.01,2.03,3.02 02/16/07 DIVERSIFAX INC DE 4.01,5.03,9.01 02/20/07 DOCUCORP INTERNATIONAL INC DE 7.01,9.01 02/19/07 DOMINION RESOURCES BLACK WARRIOR TRUS DE 2.02,9.01 02/20/07 DONEGAL GROUP INC DE 2.02 02/20/07 DOW CHEMICAL CO /DE/ DE 8.01,9.01 02/20/07 DRUGSTORE COM INC DE 5.02 02/13/07 DTS, INC. DE 2.02,2.05,9.01 02/16/07 Dynegy Acquisition, Inc. DE 8.01,9.01 02/20/07 Echo Healthcare Acquisition Corp. DE 1.01,7.01,8.01,9.01 02/20/07 EL PASO CORP/DE DE 7.01 02/20/07 ELCOM INTERNATIONAL INC DE 1.01 02/15/07 ELECSYS CORP KS 5.02,9.01 02/19/07 ELECTRONIC SYSTEMS TECHNOLOGY INC WA 8.01,9.01 02/16/07 EMCORE CORP NJ 3.01 02/13/07 EMERGE INTERACTIVE INC DE 3.01,5.02,9.01 02/16/07 EMERGENCY FILTRATION PRODUCTS INC/ NV NV 4.02,8.01,9.01 02/16/07 EMPIRE RESORTS INC DE 8.01 02/16/07 EMPIRE RESORTS INC DE 8.01,9.01 02/19/07 EMVELCO CORP. DE 1.01,2.01,9.01 02/16/07 EPIQ SYSTEMS INC MO 2.02,9.01 02/20/07 EQUINIX INC DE 5.02,8.01,9.01 02/15/07 EQUUS TOTAL RETURN, INC. DE 8.01,9.01 02/16/07 ESCALADE INC IN 4.02,9.01 02/13/07 ESCHELON TELECOM INC 7.01,9.01 02/19/07 ESPEY MFG & ELECTRONICS CORP NY 8.01,9.01 02/19/07 ETHANEX ENERGY, INC. NV 1.01,9.01 02/09/07 ETRIALS WORLDWIDE INC. 2.02,9.01 02/20/07 ev3 Inc. DE 1.01,1.02,9.01 02/20/07 ev3 Inc. DE 2.02,9.01 02/20/07 EVERGREEN ENERGY INC DE 5.02 02/16/07 EXAR CORP DE 5.02,9.01 02/19/07 FACTORY CARD & PARTY OUTLET CORP DE 1.01,5.02,9.01 02/19/07 FEDDERS CORP /DE DE 1.01,9.01 02/20/07 Federal Home Loan Bank of Atlanta X1 2.03 02/14/07 Federal Home Loan Bank of Boston X1 2.03 02/14/07 Federal Home Loan Bank of Des Moines X1 2.03,9.01 02/15/07 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 02/14/07 Federal Home Loan Bank of New York X1 2.03,9.01 02/14/07 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 02/14/07 Federal Home Loan Bank of San Francis X1 2.03 02/14/07 Federal Home Loan Bank of Seattle 2.03 02/20/07 Federal Home Loan Bank of Topeka 2.03 02/14/07 FEDERAL NATIONAL MORTGAGE ASSOCIATION 5.02,7.01,9.01 02/08/07 FINOTEC GROUP INC NV 8.01 01/31/07 FIRST ADVANTAGE CORP DE 5.03,9.01 02/20/07 FIRST ALBANY COMPANIES INC NY 2.02,9.01 12/30/06 FIRST BANCORP /PR/ PR 7.01,9.01 02/20/07 FIRST CHARTER CORP /NC/ NC 5.02 02/18/07 FIRST CONSULTING GROUP INC DE 5.02,9.01 02/16/07 FIRST FEDERAL BANCSHARES INC /DE DE 8.01,9.01 02/16/07 FIRST FRANKLIN CORP DE 2.02,9.01 02/16/07 FIRST NORTHERN COMMUNITY BANCORP CA 5.02 01/26/07 AMEND FirstBank Financial Services, Inc. GA 5.02 02/15/07 FIRSTENERGY CORP OH 2.02,9.01 02/20/07 FISCHER IMAGING CORP DE 5.02 02/16/07 FIVE STAR PRODUCTS INC DE 1.01,5.02,9.01 02/20/07 FOCUS ENHANCEMENTS INC DE 2.02,9.01 02/20/07 FORCE PROTECTION INC NV 1.01,9.01 02/14/07 FOSSIL INC DE 2.02,9.01 02/20/07 FRANKLIN STREET PROPERTIES CORP /MA/ 2.02,9.01 02/20/07 FREDERICK COUNTY BANCORP INC MD 8.01 02/20/07 Fuel Systems Solutions, Inc. DE 5.02,9.01 02/20/07 FULLER H B CO MN 5.02,9.01 02/16/07 FUSHI INTERNATIONAL INC NV 8.01,9.01 02/20/06 FX ENERGY INC NV 5.02,9.01 02/19/07 GB&T BANCSHARES INC GA 2.02,2.06,9.01 02/20/07 GENESIS TECHNOLOGY GROUP INC FL 8.01,9.01 02/12/07 GENUINE PARTS CO GA 5.02,8.01,9.01 02/20/07 GENUINE PARTS CO GA 2.02,9.01 02/20/07 GEO GROUP INC FL 1.01,2.03,9.01 02/13/07 GLATFELTER P H CO PA 2.02,9.01 02/15/07 GLOBAL CROSSING LTD 2.03,9.01 02/14/07 GLOBAL ENTERTAINMENT HOLDINGS/EQUITIE CO 4.01,9.01 12/28/06 AMEND GLOBAL TRAFFIC NETWORK, INC. DE 5.02,9.01 02/14/07 GLOBALSANTAFE CORP 8.01,9.01 02/14/07 GOLDEN STAR RESOURCES LTD 8.01 02/07/07 Great Lakes Dredge & Dock CORP DE 1.01,9.01 02/15/07 GULF ISLAND FABRICATION INC LA 5.02 02/14/06 HALLIBURTON CO DE 5.02 02/15/07 HALOZYME THERAPEUTICS INC NV 1.01,3.02,9.01 02/13/07 AMEND Hana Biosciences Inc DE 8.01,9.01 02/20/07 HANCOCK HOLDING CO MS 3.03,9.01 02/19/07 HANDHELD ENTERTAINMENT, INC. DE 8.01,9.01 02/12/07 AMEND HARRAHS ENTERTAINMENT INC DE 1.01,2.03,9.01 02/14/07 HARTVILLE GROUP INC NV 1.01,3.02,7.01,9.01 02/14/07 HAWAIIAN HOLDINGS INC DE 2.02,9.01 02/20/07 HCC INSURANCE HOLDINGS INC/DE/ DE 2.02 02/20/07 HEALTH BENEFITS DIRECT CORP DE 5.02,9.01 02/15/07 HEALTH GRADES INC DE 7.01,9.01 02/20/07 HEALTHSOUTH CORP DE 8.01,9.01 02/20/07 HEALTHSTREAM INC TN 1.01,2.02,2.03,5.02,7.01,9.01 02/15/07 HEALTHTRONICS, INC. GA 1.01,9.01 02/13/07 Heelys, Inc. DE 5.02 02/15/07 HEIDRICK & STRUGGLES INTERNATIONAL IN DE 1.01,5.02,9.01 02/16/07 Helios & Matheson North America Inc. NY 2.02,9.01 02/20/07 HERCULES OFFSHORE, INC. DE 7.01,9.01 02/20/07 HERCULES TECHNOLOGY GROWTH CAPITAL IN MD 5.02,9.01 01/25/07 HERSHEY CO DE 2.05 02/20/07 HEWLETT PACKARD CO DE 2.02,2.05,8.01,9.01 02/15/07 HIENERGY TECHNOLOGIES INC DE 8.01 02/13/06 Hiland Holdings GP, LP DE 2.02,7.01,9.01 02/20/07 Hiland Partners, LP 2.02,7.01,9.01 02/20/07 HILB ROGAL & HOBBS CO VA 5.02 02/13/07 HOME DEPOT INC DE 2.02,9.01 02/20/07 HOMEBANC CORP 5.02 02/14/07 HOMELAND ENERGY SOLUTIONS LLC 5.03 01/31/07 HORNBECK OFFSHORE SERVICES INC /LA DE 1.01 02/13/07 HOTEL OUTSOURCE MANAGEMENT INTERNATIO DE 2.01 02/13/07 Huntsman CORP DE 1.01,8.01,9.01 02/15/07 HURCO COMPANIES INC IN 2.02,9.01 02/16/07 I FLOW CORP /DE/ DE 2.02 02/20/07 I2 TECHNOLOGIES INC DE 5.02,9.01 02/16/07 ICEWEB INC 8.01,9.01 02/16/07 ILLUMINA INC DE 8.01 02/16/07 IMS HEALTH INC DE 5.02 02/13/07 INCENTRA SOLUTIONS, INC. NV 9.01 02/14/07 INLAND REAL ESTATE CORP MD 2.02,7.01,9.01 12/31/06 INNERWORKINGS INC 5.02 02/13/07 INNERWORKINGS INC 5.02 02/13/07 AMEND INSPIRE PHARMACEUTICALS INC DE 9.01 02/20/07 AMEND INTEGRAMED AMERICA INC DE 7.01,9.01 02/20/07 INTEGRATED ELECTRICAL SERVICES INC DE 7.01,9.01 02/15/07 INTEGRATED ELECTRICAL SERVICES INC DE 2.02 02/14/07 INTEGRATED ENVIRONMENTAL TECHNOLOGIES DE 8.01,9.01 02/14/07 INTER TEL INC AZ 5.02 02/13/07 Intermec, Inc. DE 2.02,7.01,9.01 02/20/07 Intermec, Inc. DE 2.02,7.01,9.01 02/20/07 AMEND INTRALASE CORP 1.01 02/13/07 ION MEDIA NETWORKS INC. DE 7.01,8.01,9.01 02/20/07 ISONICS CORP CA 1.01,3.03,5.02,5.03,9.01 02/13/07 ISTA PHARMACEUTICALS INC DE 5.02,8.01 02/16/07 J&J SNACK FOODS CORP NJ 8.01,9.01 02/20/07 JAKKS PACIFIC INC DE 5.02 02/15/07 JDS UNIPHASE CORP /CA/ DE 5.02,9.01 02/13/07 JOURNAL COMMUNICATIONS INC 5.02,9.01 02/13/07 KBW, INC. 2.02,9.01 02/20/07 KELLOGG CO DE 5.02,9.01 02/16/07 KELLY SERVICES INC DE 8.01,9.01 02/20/07 KEYCORP /NEW/ OH 8.01 02/16/07 KITE REALTY GROUP TRUST MD 2.02,9.01 02/20/07 KNIGHT TRANSPORTATION INC AZ 7.01,9.01 02/16/07 Koppers Holdings Inc. PA 2.02,9.01 02/15/07 KRAFT FOODS INC VA 7.01,8.01,9.01 02/20/07 LESCO INC/OH OH 1.01,5.02,8.01,9.01 02/19/07 LEVEL 3 COMMUNICATIONS INC DE 8.01,9.01 02/16/07 LEVEL 3 COMMUNICATIONS INC DE 1.01,2.03,9.01 02/14/07 Liberty Global, Inc. 7.01 02/19/07 LIFE PARTNERS HOLDINGS INC TX 2.02 02/19/07 Lightspace Corp 5.02,9.01 02/15/07 LIME ENERGY CO. DE 7.01,9.01 02/16/07 LINN ENERGY, LLC DE 7.01,9.01 02/20/07 LITHIA MOTORS INC OR 7.01,9.01 02/16/07 LODGIAN INC DE 5.02 01/26/07 AMEND LUFKIN INDUSTRIES INC TX 5.02,9.01 02/15/07 MAGIC COMMUNICATIONS INC DE 1.01,1.02 02/20/07 MAGNA ENTERTAINMENT CORP DE 2.06,9.01 02/19/07 MAGUIRE PROPERTIES INC MD 1.01,7.01,9.01 02/13/07 MANARIS CORP NV 5.02,5.03,9.01 02/13/07 MARINER ENERGY INC DE 2.02,9.01 02/20/07 Marquee Holdings Inc. DE 1.01,2.01,9.01 02/13/07 MASTEC INC FL 1.01,9.01 02/14/07 MATHSTAR INC MN 2.02,9.01 02/20/07 MEADE INSTRUMENTS CORP DE 5.02 02/20/07 MEDIA SCIENCES INTERNATIONAL INC 4.01,9.01 02/16/07 MEDICAL STAFFING NETWORK HOLDINGS INC DE 7.01,9.01 02/20/07 MEDQUIST INC NJ 1.01 02/13/07 MEDQUIST INC NJ 5.02,9.01 02/16/07 MEDTRONIC INC MN 2.02,9.01 02/20/07 MEMORY PHARMACEUTICALS CORP 8.01,9.01 02/15/07 MERCK & CO INC NJ 1.01 02/13/07 MERIX CORP OR 3.01,9.01 02/12/07 MESA ROYALTY TRUST/TX TX 7.01,9.01 02/20/07 METAL MANAGEMENT INC DE 8.01,9.01 02/16/07 METAL MANAGEMENT INC DE 8.01,9.01 02/20/07 MICREL INC CA 5.02 02/16/07 MIDDLEBY CORP DE 7.01,9.01 02/19/07 MONARCH COMMUNITY BANCORP INC MD 8.01 02/16/07 MONDEO INVESTMENTS, INC. DE 1.01,5.01,5.02,9.01 02/16/07 MOTOROLA INC DE 5.02 02/16/07 MOVENTIS CAPITAL, INC. DE 2.02,7.01,9.01 02/20/07 MPM TECHNOLOGIES INC WA 5.02 02/19/07 MRV COMMUNICATIONS INC DE 2.02,8.01,9.01 02/15/07 MUTUALFIRST FINANCIAL INC MD 2.02,9.01 02/09/07 MYLAN LABORATORIES INC PA 3.02 02/15/07 MYLAN LABORATORIES INC PA 2.01,9.01 01/08/07 AMEND Nalco Finance Holdings LLC 1.01,5.02,9.01 02/15/07 Nalco Holding CO 1.01,5.02,9.01 02/15/07 Nalco Holdings LLC DE 1.01,5.02,9.01 02/15/07 NANOGEN INC DE 2.02,9.01 02/20/07 NANOMETRICS INC DE 1.01,2.03 02/14/07 NARROWSTEP INC DE 5.02 02/14/07 NATIONAL MEDICAL HEALTH CARD SYSTEMS DE 1.01,2.03,3.01,9.01 02/13/07 NATUS MEDICAL INC DE 2.02,9.01 02/20/07 NAUTILUS, INC. WA 1.01,2.03,9.01 02/19/07 NAVISITE INC DE 1.01,2.03,3.02,9.01 02/13/07 NEOMAGIC CORP DE 5.02,9.01 02/13/07 NEUSTAR INC 2.02,9.01 02/20/07 NEVADA CHEMICALS INC UT 5.02 02/14/07 NEW YORK COMMUNITY BANCORP INC DE 7.01,9.01 02/20/07 NEW YORK COMMUNITY BANCORP INC DE 8.01,9.01 02/20/07 Newport Bancorp Inc 2.02,9.01 02/16/07 NEWS CORP 8.01,9.01 02/16/07 NEWTEK BUSINESS SERVICES INC NY 8.01,9.01 02/16/07 NIKE INC OR 5.02,5.03,8.01,9.01 02/16/07 NNN Healthcare/Office REIT, Inc. MD 7.01,8.01,9.01 02/14/07 NOBEL LEARNING COMMUNITIES INC DE 8.01,9.01 02/20/07 NORD RESOURCES CORP DE 8.01,9.01 02/15/07 NORTHEAST UTILITIES MA 2.02,9.01 02/19/07 NOVASTAR FINANCIAL INC MD 2.02,7.01,9.01 02/20/07 NUTRACEA CA 1.01,3.02,9.01 02/16/07 NUVASIVE INC DE 2.02,9.01 02/20/07 O2DIESEL CORP 1.01,3.02,9.01 02/16/07 ODYSSEY HEALTHCARE INC DE 2.02,9.01 02/20/07 OFFICEMAX INC DE 5.02,9.01 02/14/07 OLIN CORP VA 5.02,9.01 02/13/07 OM GROUP INC DE 5.02 02/16/07 OMI CORP/M I 2.02,9.01 02/19/07 OMI CORP/M I 8.01,9.01 02/20/07 Omniture, Inc. DE 1.01,9.01 02/14/07 OMNIVISION TECHNOLOGIES INC DE 5.02 02/13/07 Onstream Media CORP FL 8.01,9.01 02/20/07 OPTION CARE INC/DE DE 2.02,9.01 02/20/07 ORTHOVITA INC 5.02 02/16/07 OSIRIS THERAPEUTICS, INC. DE 2.02,9.01 02/19/07 PALATIN TECHNOLOGIES INC DE 8.01,9.01 02/16/07 Panglobal Brands Inc. DE 1.01,9.01 02/15/07 PARK BANCORP INC DE 2.02,9.01 02/20/07 PC MALL INC DE 2.02,9.01 02/20/07 PENN OCTANE CORP DE 3.02,5.02 02/13/07 PERMIAN BASIN ROYALTY TRUST TX 2.02,9.01 02/16/07 PERVASIVE SOFTWARE INC DE 5.02 02/16/07 PETROLEUM DEVELOPMENT CORP NV 8.01,9.01 02/20/07 PETROLEUM DEVELOPMENT CORP NV 1.01,9.01 02/16/07 PharmaNet Development Group Inc DE 5.02,9.01 02/14/07 PHILADELPHIA CONSOLIDATED HOLDING COR PA 2.02,9.01 02/16/07 PHOTOWORKS INC /WA WA 5.02 02/16/03 PLANETOUT INC DE 1.01,5.02,9.01 02/14/07 PNC FINANCIAL SERVICES GROUP INC PA 1.01,3.03 02/13/07 POLARIS INDUSTRIES INC/MN MN 1.01,7.01,9.01 02/15/07 POOL CORP DE 5.02 02/20/07 PORTLAND GENERAL ELECTRIC CO /OR/ OR 8.01 02/12/07 POST PROPERTIES INC GA 5.02,5.03,9.01 02/13/07 PRE PAID LEGAL SERVICES INC OK 2.02,9.01 12/31/06 PREFORMED LINE PRODUCTS CO OH 2.02,9.01 02/19/07 PREMIERWEST BANCORP OR 7.01,9.01 02/20/07 PRIMUS GUARANTY LTD 3.02 02/14/07 PRINCIPAL LIFE INSURANCE CO IA 9.01 02/20/07 PROVIDENCE & WORCESTER RAILROAD CO/RI RI 4.02,9.01 02/16/07 PYR ENERGY CORP DE 1.01,9.01 02/14/07 QUAKER FABRIC CORP /DE/ DE 1.01,9.01 02/20/07 QUIDEL CORP /DE/ DE 5.02,9.01 02/14/07 RadNet, Inc. NY 5.03,8.01 11/16/06 AMEND RAM Holdings Ltd. D0 2.02,9.01 02/20/07 RAMP Series 2007-RZ1 Trust DE 8.01,9.01 02/20/07 RANCHER ENERGY CORP. NV 5.02,7.01,9.01 02/15/07 RARE HOSPITALITY INTERNATIONAL INC GA 5.02,5.03,9.01 02/13/07 RC2 CORP DE 2.02 02/13/07 AMEND Red Lion Hotels CORP WA 5.02 02/13/07 REDWOOD TRUST INC MD 2.02,9.01 02/20/07 REGAL ENTERTAINMENT GROUP DE 1.01,2.01,9.01 02/13/07 Renaissance Acquisition Corp. DE 8.01,9.01 02/16/07 RENAISSANCERE HOLDINGS LTD 8.01 02/14/07 Residential Asset Securitization Trus 8.01,9.01 02/20/07 RETRACTABLE TECHNOLOGIES INC TX 8.01,9.01 02/15/07 RGC RESOURCES INC VA 1.01 02/16/07 RIO VISTA ENERGY PARTNERS LP DE 3.02,5.02 02/15/07 RITE AID CORP DE 1.01,9.01 02/15/07 ROCK OF AGES CORP DE 1.01,2.02,9.01 02/20/07 Rockville Financial Inc. 2.02,9.01 02/20/07 RTI INTERNATIONAL METALS INC OH 1.01,9.01 02/13/07 RUDDICK CORP NC 5.02,9.01 02/15/07 RURAL/METRO CORP /DE/ DE 3.01,9.01 02/15/07 SAN JUAN BASIN ROYALTY TRUST TX 2.02,9.01 02/16/07 SANTARUS INC DE 5.02 02/15/07 SCANSOURCE INC SC 1.01,3.01,9.01 02/13/07 SCHULMAN A INC DE 7.01,9.01 02/16/07 SELECT MEDICAL CORP DE 5.02 02/13/07 SELECT MEDICAL HOLDINGS CORP 5.02 02/13/07 SEQUENOM INC DE 5.02,8.01 02/14/07 SERVICE CORPORATION INTERNATIONAL TX 7.01,9.01 02/20/07 Shire plc 2.02,4.02,9.01 02/20/07 Shire plc 8.01,9.01 02/20/07 SI INTERNATIONAL INC DE 2.02,9.01 02/20/07 Siberian Energy Group Inc. NV 8.01 02/15/07 Siberian Energy Group Inc. NV 1.01,3.02,9.01 01/25/07 SIMCLAR INC FL 1.01,2.03,9.01 01/26/07 SIMPLETECH INC CA 2.02,7.01,9.01 02/20/07 SIRENZA MICRODEVICES INC DE 1.01,9.01 02/15/07 SIRIUS SATELLITE RADIO INC DE 8.01,9.01 02/19/07 SMART & FINAL INC/DE DE 1.01,2.02,5.01,8.01,9.01 02/20/07 SMF ENERGY CORP DE 2.02,9.01 02/15/07 SMITH A O CORP DE 8.01,9.01 02/13/07 Solar Power, Inc. NV 1.01,3.03,8.01,9.01 02/14/07 SOUTHERN UNION CO DE 5.02 02/15/07 SOVEREIGN BANCORP INC PA 5.02 02/13/07 SPARTAN STORES INC MI 5.02 02/13/07 SPECTRE GAMING INC MN 8.01 02/14/07 SPEEDWAY MOTORSPORTS INC DE 5.02 02/13/07 STAMPS.COM INC DE 2.02,9.01 02/15/07 State Auto Financial CORP OH 2.02,9.01 02/15/07 STERLING BANCORP NY 8.01 02/15/07 STOCKGROUP INFORMATION SYSTEMS INC CO 1.01,9.01 01/31/07 STOCKGROUP INFORMATION SYSTEMS INC CO 5.02,9.01 01/01/07 STOCKGROUP INFORMATION SYSTEMS INC CO 2.01,3.01,9.01 01/31/07 AMEND STRATEGIC HOTELS & RESORTS, INC 5.02,9.01 02/13/07 SUPERIOR ESSEX INC DE 2.02,7.01,9.01 02/19/07 SUPREME INDUSTRIES INC DE 8.01,9.01 02/14/07 Switch & Data Facilities Company, Inc DE 5.02,5.03,7.01,9.01 02/13/07 SYNTEC BIOFUEL INC WA 2.03 02/16/07 Synthenol Inc FL 2.03 02/16/07 SYNTROLEUM CORP DE 8.01 02/20/07 SYNTROLEUM CORP DE 8.01 02/20/07 AMEND T-3 ENERGY SERVICES INC TX 5.02 02/15/07 TANGER FACTORY OUTLET CENTERS INC NC 2.02,7.01,9.01 12/31/06 Tarpon Industries, Inc. MI 9.01 02/16/07 TB WOODS CORP DE 1.01,5.02,7.01,9.01 02/16/07 TEAMSTAFF INC NJ 1.01,9.01 02/14/07 TECHPRECISION CORP 1.01,8.01,9.01 02/13/07 TENNANT CO MN 2.02,5.02,9.01 02/13/07 TENNECO INC DE 7.01,9.01 02/19/07 TERREMARK WORLDWIDE INC DE 1.01,2.03,9.01 02/15/07 THERAGENICS CORP DE 1.01,3.03,5.02,8.01,9.01 02/13/07 THERAVANCE INC DE 8.01,9.01 02/20/07 Thomas Equipment, Inc. DE 1.01,2.03,3.02,9.01 11/08/06 Thomas Equipment, Inc. DE 1.01,2.03,3.02,9.01 01/17/07 Thomas Equipment, Inc. DE 1.01,2.03,3.02,9.01 02/13/07 THOMAS GROUP INC DE 5.02,9.01 01/31/07 THORATEC CORP CA 5.02 02/13/07 THORATEC CORP CA 2.02 02/15/07 AMEND TIME WARNER CABLE INC. DE 5.02 02/13/07 TOR MINERALS INTERNATIONAL INC DE 8.01,9.01 02/15/07 TORCH ENERGY ROYALTY TRUST DE 2.02,9.01 02/20/07 TOREADOR RESOURCES CORP DE 7.01,9.01 02/20/07 TORO CO DE 2.02 02/20/07 TORRENT ENERGY CORP CO 3.02 02/13/07 TRANSAX INTERNATIONAL LTD CO 1.01,9.01 02/20/07 TRANSGENOMIC INC DE 3.01,9.01 02/13/07 TRIDENT MICROSYSTEMS INC DE 3.01,9.01 02/13/07 TRUSTCO BANK CORP N Y NY 5.03,8.01,9.01 02/20/07 TRUSTREET PROPERTIES INC MD 7.01,9.01 02/20/07 TYCO INTERNATIONAL LTD /BER/ D0 1.02,5.02,9.01 02/20/07 U-Store-It Trust MD 1.02,2.02,5.02,9.01 02/13/07 UIL HOLDINGS CORP CT 2.02,9.01 02/20/07 ULTRADATA SYSTEMS INC DE 4.01,9.01 11/13/06 UNICORP INC /NEW NV 5.02,9.01 02/15/07 UNIFI INC NY 2.02,7.01,9.01 02/20/07 UNITED CAPITAL CORP /DE/ DE 2.02,9.01 02/20/07 United Financial Bancorp Inc 5.03,9.01 02/15/07 UNITED FIRE & CASUALTY CO IA 5.02,9.01 02/16/07 UNITED HERITAGE CORP UT 8.01,9.01 02/20/07 UNITED THERAPEUTICS CORP DE 2.02,9.01 02/20/07 UNIVERSAL AMERICAN FINANCIAL CORP NY 2.02,7.01 02/16/07 UNIVERSAL STAINLESS & ALLOY PRODUCTS DE 8.01,9.01 02/20/07 US CONCRETE INC DE 5.02 02/20/07 US DATAWORKS INC NV 1.01,9.01 02/13/07 USG CORP DE 5.02 02/14/07 UTG INC 2.01,2.03,9.01 02/16/07 AMEND uWink, Inc. UT 7.01,9.01 02/20/07 VALASSIS COMMUNICATIONS INC DE 7.01,9.01 02/20/07 VALLEY FINANCIAL CORP /VA/ VA 1.02 02/20/07 VANTAGEMED CORP DE 1.01,8.01,9.01 02/16/07 VECTREN CORP IN 8.01 02/20/07 Veri-Tek International, Corp. MI 7.01,9.01 02/20/07 VIASAT INC CA 3.02,9.01 02/16/07 VIASPACE Inc. NV 8.01,9.01 02/20/07 VICAL INC DE 2.02,9.01 02/20/07 VION PHARMACEUTICALS INC DE 1.01,2.03,3.02,8.01,9.01 02/20/07 VirtualScopics, Inc. DE 5.02 02/15/07 Visiphor CORP A1 9.01 02/19/07 VITAL IMAGES INC MN 2.02,9.01 02/20/07 VNUS MEDICAL TECHNOLOGIES INC 1.01 02/13/07 Volkswagen Auto Lease Trust 2004-A DE 8.01,9.01 02/20/07 Volkswagen Auto Lease Trust 2005-A 8.01,9.01 02/20/07 VOLKSWAGEN AUTO LOAN ENHANCED TRUST 2 DE 8.01,9.01 02/20/07 Volkswagen Auto Loan Enhanced Trust 2 8.01,9.01 02/20/07 Volkswagen Credit Auto Master Owner T DE 8.01,9.01 02/20/07 VULCAN MATERIALS CO NJ 1.01,8.01,9.01 02/19/07 VWR International, Inc. 5.02 02/13/07 WAL MART STORES INC DE 2.02,9.01 02/20/07 Warner Music Group Corp. DE 8.01,9.01 02/20/07 WASHINGTON BANKING CO WA 5.02 02/14/07 WENDYS INTERNATIONAL INC OH 7.01,9.01 02/20/07 WEST CORP DE 1.01,9.01 02/14/07 WEST PHARMACEUTICAL SERVICES INC PA 2.02,9.01 12/31/06 WESTERN ALLIANCE BANCORPORATION 7.01 02/20/07 WESTLAKE CHEMICAL CORP 2.02,9.01 02/20/07 WEYERHAEUSER CO WA 7.01 02/16/07 WGL ENTERTAINMENT HOLDINGS, INC. DE 5.01,5.03,9.01 02/12/07 WHOLE FOODS MARKET INC TX 8.01,9.01 02/16/07 WILMINGTON TRUST CORP DE 5.02 02/13/07 WILSON HOLDINGS, INC. NV 4.01,9.01 01/22/07 WINNER MEDICAL GROUP INC NV 7.01,9.01 02/20/07 WIRELESS AGE COMMUNICATIONS INC NV 5.02,8.01 02/13/07 Wonder Auto Technology, Inc NV 7.01,9.01 02/20/07 WORLD FINANCIAL NETWORK CREDIT CARD M DE 8.01,9.01 02/15/07 WORLD OMNI AUTO RECEIVABLES LLC DE 1.01,8.01,9.01 02/13/07 XERIUM TECHNOLOGIES INC DE 8.01,9.01 02/20/07 XM SATELLITE RADIO HOLDINGS INC DE 8.01,9.01 02/19/07 ZYMOGENETICS INC WA 2.02,9.01 02/15/07