SEC NEWS DIGEST Issue 2006-190 October 2, 2006 RULES AND RELATED MATTERS ORDER EXTENDING TEMPORARY EXEMPTION OF BANKS, SAVINGS ASSOCIATIONS, AND SAVINGS BANKS FROM THE DEFINITION OF "BROKER" UNDER SECTION 3(a)(4) OF THE SECURITIES EXCHANGE ACT OF 1934 The Commission issued an order extending the temporary exemption of banks, savings associations, and savings banks from the definition of "broker" under Section 3(a)(4) of the Securities Exchange Act of 1934 until Jan. 15, 2007. For further information, please contact Elizabeth MacDonald at (202) 551-5593. (Rel. 34-54544; File No. S7-12-01) ENFORCEMENT PROCEEDINGS COMMISSION INSTITUTES ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS AGAINST BROKER FOR FRAUD INVOLVING THINLY-TRADED MUNICIPAL BONDS On Sept. 29, 2006, the Commission instituted administrative and cease- and-desist proceedings against Robert K. Malkin (Malkin) and Cantella & Company, Inc. (Cantella). Cantella is a registered broker-dealer headquartered in Boston, Massachusetts, and Malkin was a registered representative employed at Cantella's Ojai, California branch office. The Order finds that Malkin, while employed by Cantella, committed fraud in the purchase and sale of thinly-traded nonrated municipal bonds. From September 2000 through June 2002, Malkin purchased from, and sold to, his customers' accounts bonds at prices that were not related to the prevailing market prices for the bonds. In January 2003, after having received a letter from the Commission's examination staff in which the staff questioned many of the transactions, Malkin reversed many of the improper trades and credited funds to certain customer accounts to reduce losses from the trades at issue. After the reversed transactions and credits to certain customer accounts are taken into consideration, Malkin's net profit from the fraudulent transactions was $79,332. The order finds that, as a result of the improper trades, Malkin violated the antifraud provisions of the federal securities laws, and that he aided and abetted and caused Cantella's violations of certain bond pricing provisions of the federal securities laws and the Municipal Securities Rulemaking Board (MSRB) Rules. The Commission simultaneously accepted Cantella's and Malkin's Offers of Settlement wherein, without admitting or denying the Commission's findings: (1) Malkin agreed to cease and desist from committing or causing any violations of Section 17(a) of the Securities Act of 1933, Sections 10(b) and 15B(c)(1) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder, and MSRB Rule G-30; (2) Cantella agreed to cease and desist from committing or causing any violations of Section 15B(c)(1) of the Exchange Act and MSRB Rule G- 30; (3) Malkin agreed to pay disgorgement and prejudgment interest in the amount of $95,215, and a civil penalty of $80,000, for a total of $175,215; (4) Cantella agreed to pay a civil penalty of $50,000; and (5) Malkin agreed to be barred from association with any broker or dealer, or any municipal securities dealer, with the right to reapply for association after one year. (Rels. 33-8747; 34-54545; File No. 3- 12447) IN THE MATTER OF STRONG CAPITAL MANAGEMENT, INC. On Sept. 29, 2006, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 203(e) of the Investment Advisers Act of 1940 and Sections 9(b) and 9(f) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions (Order) as to Strong Capital Management, Inc. (SCM), formerly an investment adviser registered with the Commission. The Order finds, among other things, that SCM willfully violated Section 34(b) of the Investment Company Act and that SCM caused violations of Section 30(e) of the Investment Company Act and Rule 30e-1 thereunder. In the Order, the Commission finds that SCM made a materially misleading statement and that SCM failed to disclose material facts concerning forbearance agreements that the Strong High-Yield Municipal Bond Fund (Fund) entered into with two obligors on bonds in the Fund's portfolio during the period of 2001-03. The Order finds that SCM, which was responsible for making the Fund's disclosures and public filings, did not disclose to investors that the Fund had entered into forbearance agreements with the obligors on these bonds in the Fund's portfolio. The Order finds that in the portfolio manager's letter for the Fund's April 30, 2003, semiannual report, SCM reported to investors that the percentage of defaulted securities in the Fund's portfolio had fallen below 10% of assets. The Order finds that SCM's statement that the default rate had fallen to below 10% was misleading because the report failed also to disclose that bonds comprising an additional 14% of the Fund's net assets were subject to deferred- interest forbearance agreements. The Order additionally finds that SCM did not designate the bonds subject to the forbearance agreements as partial-interest-paying bonds in the Fund's financial statements, as required by Note 5 of Article 12-12 of Regulation S-X. Based on the above, the Order censures SCM, orders SCM to pay disgorgement and prejudgment interest in the total amount of $1,185,927.60, and orders SCM to pay a civil money penalty of $1,000,000. SCM consented to the issuance of the Order without admitting or denying the findings in the Order. (Rels. IA-2560; IC- 27508; File No. 3-12448) SEC FILES CHARGES AGAINST THREE FORMER EMPLOYEES OF THE PBSJ CORP. The Commission announced the filing of a settled civil injunctive action against William S. DeLoach, Maria M. Garcia, and Rosario F. Licata, three former employees of The PBSJ Corp., an employee-owned engineering, planning and architectural firm based in Miami, Florida. The Commission's complaint alleges that DeLoach, PBSJ's former Chief Financial Officer, and Garcia and Licata, two former employees in PBSJ's accounting department, stole more than $35 million from the company. As a result of the defendants' embezzlement scheme, PBSJ filed materially false quarterly and annual reports with the Commission. According to the SEC's complaint, from approximately 1992 until March 2005, DeLoach, of Aventura, Florida, Garcia of Hialeah, Florida and Licata of Davie, Florida, stole tens of millions of dollars by writing checks for their benefit directly from the company's master cash disbursement account and by diverting funds from PBSJ's medical benefits account to two secret bank accounts that DeLoach controlled. The complaint alleges that the defendants concealed their theft by failing to include the fraudulent checks in the company's accounting journals, preparing phony bank reconciliations and recording false and unsupported journal entries on PBSJ's books and records. Following the company's discovery of the fraudulent scheme in March 2005, the defendants resigned their respective positions and confessed to the theft. Upon the filing of the Commission's complaint, and without admitting or denying the allegations in the complaint, DeLoach, Garcia and Licata consented to the entry of a final judgment permanently enjoining them from violating Sections 10(b) and 13(b)(5) of the Securities Exchange Act of 1934 ("Exchange Act") and Rules 10b-5 and 13b2-1 thereunder, and aiding and abetting PBSJ's violations of Sections 13(a), 13(b)(2)(A), and 13(b)(2)(B) of the Exchange Act and Rules 12b-20, 13a-1, 13a-11 and 13a-13 thereunder. DeLoach also consented to the entry of a final judgment permanently enjoining him from violating Rules 13b2-2 and 13a-14 under the Exchange Act and agreed to be barred from acting as an officer or director of a publicly-traded company. The Court will determine at a later date whether it is appropriate to order disgorgement of ill-gotten gains and civil penalties against the defendants. The United States Attorney's Office for the Southern District of Florida conducted a parallel investigation of this matter. Simultaneous with the SEC's announcement of this action, the United States Attorney's Office announced the filing of charges against DeLoach, Garcia, and Licata. Defendants have pleaded guilty to criminal mail and wire fraud charges. The staff's investigation is continuing. [SEC v. William S. DeLoach, Maria M. Garcia and Rosario F. Licata, USDC, SDFL, Civil Action No. 06-22329-CIV-GOLD] (LR-19853; AAE Rel. 2490) FEDERAL JUDGE PERMANENTLY ENJOINS PAUL DEGENHART, UNIVERSITY CLUB GROUP, INC. AND UC PROPERTIES, LLC. The Commission announced that on Sept. 28, 2006, the Honorable David C. Norton, U.S. District Judge for the District of South Carolina, Charleston Division, entered Final Judgments as to Defendants Paul V. Degenhart (Degenhart), University Club Group, Inc. (UC Group) and UC Properties, LLC (UC Properties). The defendants were enjoined from future violations of 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. The Court ordered disgorgement and prejudgment interest against Degenhart, but waived payment of all but $50,000 due to Degenhart's sworn representations in his Statement of Financial Condition, and did not impose a civil penalty. The defendants consented to the entries of the judgments against them without admitting or denying any of the allegations of the Commission's Complaint. The Complaint alleged that from November 1998 through May 2002, the defendants operated a Ponzi scheme through a series of twenty-one securities offerings they made with the assistance of Southern Financial Group, Inc., a former South Carolina broker-dealer which served as underwriter for these offerings. The actual amount of funds raised from the offerings, including rolled-over investments, totaled approximately $29.8 million. The Complaint alleged that the defendants knew, or were severely reckless in not knowing, but failed to disclose to investors, that the note offerings operated as a Ponzi scheme. The Complaint further alleged that the defendants knew, or were severely reckless in not knowing, that the information presented to investors in connection with these offerings failed to disclose that the collateral was insufficient to secure the payment of the notes, and that the offering materials presented to investors falsely represented, among other things, the interest rates and amounts of UC Group and UC Properties outstanding obligations. Degenhart is an owner and the controlling person of UC Group and UC Properties in Columbia, South Carolina. [SEC v. Paul V. Degenhart, University Club Group, Inc. and UC Properties, LLC, Civil Action No. 2:04-CV-23267 (DSC)] (LR-19854) SEC HALTS FRAUD BY PORTLAND, OREGON INVESTMENT ADVISER On Sept. 21, 2006, the Commission obtained a court order halting an ongoing fraudulent scheme perpetrated by an Oregon-based investment adviser who is alleged to have raised at least $16 million from investors and misappropriated at least $13 million in investor funds. The Commission filed an enforcement action against C. Wesley Rhodes, Jr. age 55 and a resident of West Linn, Ore., and three Oregon companies he controlled -- Rhodes Econometrics, Inc., an investment adviser registered with the Commission; The Rhodes Company, an unregistered investment adviser; and Resource Transactions, Inc., another unregistered investment adviser. Acting on the Commission's lawsuit, the Honorable Michael W. Mosman, United States District Judge for the District of Oregon, issued orders freezing assets and appointing a temporary receiver over any entity directly or indirectly controlled by Rhodes. The Commission's complaint, filed yesterday in federal court in Portland, Ore., alleges that since at least 2004, Rhodes and his companies have raised at least $16.1 million from approximately 50 investors, including several senior citizens, misrepresenting that he would invest their funds in pooled investment funds or directly in stocks and bonds. According to the complaint, Rhodes invested only $3.9 million of the funds raised from investors in securities and made a net profit of only $224,000 on the invested funds. Undisclosed to the investors, Rhodes misappropriated and misused as much as $13.3 million of investor funds to pay his personal and business expenses and to pay $6.3 million to other investors. The complaint alleges that Rhodes used investor funds to pay for home improvements, furs, jewelry, and at least $1.7 million for his hobby of purchasing and restoring classic and exotic cars. In its lawsuit, the Commission obtained an order (1) freezing the assets of Rhodes; (2) freezing the assets of, and appointing a temporary receiver over, Rhodes Econometrics, Rhodes Company, Resource Transactions, and any other entities whose assets Rhodes controls; (3) preventing the destruction of documents; and (4) temporarily enjoining Rhodes, Rhodes Company, and Resource Transactions from future violations of the antifraud provisions of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and temporarily enjoining all defendants from future violations of the investment advisory antifraud provisions of Section 206(1) and 206(2) of the Investment Advisers Act of 1940. The Commission also seeks preliminary and permanent injunctions, disgorgement, and civil penalties against all defendants. A hearing on whether a preliminary injunction should be issued against the defendants and whether a permanent receiver should be appointed is scheduled for Oct. 2, 2006, at 10:00 a.m. The Oregon Department of Consumer and Business Services, Division of Finance and Corporate Securities also instituted proceedings against Rhodes Econometrics and Rhodes, a state licensed investment adviser representative. On Sept. 15, 2006, the Division of Finance and Corporate Securities issued two administrative orders, alleging numerous violations of the Oregon securities law. Among other sanctions, the orders immediately suspend, and seek the permanent revocation of, Rhodes's investment adviser representative license. The Commission acknowledges the assistance of the Oregon Department of Consumer and Business Services, Division of Finance and Corporate Securities, in this matter. [SEC v. C. Wesley Rhodes, Jr., Rhodes Econometrics, Inc., The Rhodes Company, and Resource Transactions, Inc., Civil Action No. CV06-1353-MO (D. Or)] (LR-19855) INVESTMENT COMPANY ACT RELEASES DEREGISTRATION UNDER THE INVESTMENT COMPANY ACT For the month of September, 2006, a notice has been issued giving interested persons until Oct. 24, 2006, to request a hearing on any of the following applications for an order under Section 8(f) of the Investment Company Act declaring that the applicant has ceased to be an investment company: SEI Absolute Return Master Fund, L.P. [File No. 811-21350] SEI Absolute Return Fund, L.P. [File No. 811-21351] Evergreen American Retirement Trust [File No. 811-5434] AmSouth Funds [File No. 811-5551] Mason Street Funds, Inc. [File No. 811-7961] UBS Aspen Fund, L.L.C. [File No. 811-9581] Analysts Investment Trust [File No. 811-7778] AXP Stock Series, Inc. [File No. 811-498] Matterhorn Growth Fund, Inc. [File No. 811-3054] The Treasurer's Fund, Inc. [File No. 811-5347] DB Hedge Strategies Fund LLC [File No. 811-10561] (Rel. IC-27507 - September 29) SELF-REGULATORY ORGANIZATIONS APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change (SR NSX-2006-06) submitted by the National Stock Exchange to allow the primary market print protection rule to be applied on an optional basis. Publication is expected in the Federal Register during the week of October 2. (Rel. 34-54539) 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-1 Altra Holdings, Inc., 14 HAYWARD STREET, QUINCY, MA, 02171, 617-328-3300 - 0 ($172,500,000.00) Equity, (File 333-137660 - Sep. 29) (BR. 10) SB-2 uWink, Inc., 16106 HART STREET, VAN NUYS, CA, 91406, 8189096030 - 15,867,001 ($26,577,226.00) Equity, (File 333-137661 - Sep. 29) (BR. 09B) S-3 KENEXA CORP, 650 EAST SWEDESFORD ROAD, 2ND FLOOR, WAYNE, PA, 19087, 6109719171 - 0 ($200,000,000.00) Unallocated (Universal) Shelf, (File 333-137662 - Sep. 29) (BR. 03C) S-8 Pacific Ethanol, Inc., 5711 N. WEST AVENUE, FRESNO, CA, 93711, 559-435-1771 - 2,000,000 ($27,400,000.00) Equity, (File 333-137663 - Sep. 29) (BR. 06A) S-8 Western Union CO, 100 SUMMIT AVENUE, MONTVALE, NJ, 07645, (201) 263-5949 - 99,500,000 ($1,704,435,000.00) Equity, 0 ($20,000,000.00) Non-Convertible Debt, (File 333-137665 - Sep. 29) (BR. 08B) S-8 THINK PARTNERSHIP INC, 28050 US 19 NORTH, SUITE 509, CLEARWATER, FL, 33761, 7083570900 - 0 ($20,250,000.00) Equity, (File 333-137666 - Sep. 29) (BR. 11B) S-8 AVALON ENERGY CORP., SUITE 806, 1288 ALBERNI STREET, VANCOUVER, A1, V6E 4R8, 604-664-0499 - 4,200,000 ($420,000.00) Equity, (File 333-137667 - Sep. 29) (BR. 04A) S-8 OSI PHARMACEUTICALS INC, 41 PINELAWN ROAD, MELVILLE, NY, 11747, 631-962-2000 - 0 ($34,976,716.44) Equity, (File 333-137669 - Sep. 29) (BR. 01B) S-1 IHS Inc., 15 INVERNESS WAY EAST, ENGLEWOOD, CO, 80112, 303-790-0600 - 0 ($300,000,000.00) Equity, (File 333-137671 - Sep. 29) (BR. 03B) S-8 WEBMETHODS INC, 3877 FAIRFAX RIDGE ROAD - SOUTH TOWER, FAIRFAX, VA, 22030, 7034602500 - 0 ($70,890,000.00) Equity, (File 333-137672 - Sep. 29) (BR. 03B) S-B QUEBEC, 12 ST-LOUIS ST, MINISTERE DES FINANCES, QUEBEC QC CANADA GIR 5L3, A8, 00000, 0 ($1,925,670,418.00) Debt, (File 333-137673 - Sep. 29) (BR. DN) F-6 PRYME OIL & GAS LTD, LEVEL 7, 320 ADELAIDE STREET, BRISBONE QLD 4000, C3, 00000, 50,000,000 ($2,500,000.00) ADRs/ADSs, (File 333-137674 - Sep. 29) (BR. ) S-3 LSI INDUSTRIES INC, 10000 ALLIANCE RD, P O BOX 42728, CINCINNATI, OH, 45242, 5135796411 - 1,419,355 ($123,972,905.95) Unallocated (Universal) Shelf, (File 333-137675 - Sep. 29) (BR. 10B) S-8 SHUTTERFLY INC, 2800 BRIDGE PARKWAY, STE 101, REDWOOD CITY, CA, 94065, 0 ($57,077,203.00) Equity, (File 333-137676 - Sep. 29) (BR. 11B) S-8 BARE ESCENTUALS INC, 71 STEVENSON STREET, 22ND FLOOR, SAN FRANCISCO, CA, 94105, 415-489-5000 - 0 ($115,930,873.20) Equity, (File 333-137677 - Sep. 29) (BR. 06) F-6 Experian Group LTD, PARK HOUSE, NORTH CIRCULAR ROAD, DUBLIN, L2, 7, 011 00353 1869 3811 - 50,000,000 ($2,500,000.00) ADRs/ADSs, (File 333-137678 - Sep. 29) (BR. ) S-8 DITECH NETWORKS INC, 825 E MIDDLEFIELD RD, MOUNTAIN VIEW, CA, 94043, 6506231300 - 0 ($19,092,000.00) Equity, (File 333-137679 - Sep. 29) (BR. 11B) S-8 THOMSON, 46 QUAI A LE GALLO, 92100, BOULOGNEFRANCE, I0, 92100, 0000000000 - 1,150,000 ($18,240,209.00) Other, (File 333-137680 - Sep. 29) (BR. 11C) S-3 OccuLogix, Inc., 2600 SKYMARK AVENUE, UNIT 9, SUITE 201, MISSISSAUGA, A6, L4W 5B2, 905-602-0887 - 8,399,983 ($18,059,963.45) Equity, (File 333-137681 - Sep. 29) (BR. 10C) S-8 UNIGENE LABORATORIES INC, 110 LITTLE FALLS RD, FAIRFIELD, NJ, 07004-2193, 9738820860 - 0 ($7,350,000.00) Equity, (File 333-137682 - Sep. 29) (BR. 01C) S-8 BEBE STORES INC, 400 VALLEY DR, BRISBANE, CA, 94005, 4157153900 - 0 ($12,225,000.00) Equity, (File 333-137683 - Sep. 29) (BR. 02B) S-8 CAPE SYSTEMS GROUP, INC, 3619 KENNEDY ROAD, SOUTH PLAINFIELD, NJ, 07080, 908-756-2000 - 16,300,000 ($81,500.00) Equity, (File 333-137684 - Sep. 29) (BR. 03B) S-8 BELLSOUTH CORP, 1155 PEACHTREE ST NE, ROOM 15G03, ATLANTA, GA, 30309-3610, 4042492000 - 5,000,000 ($212,500,000.00) Equity, (File 333-137685 - Sep. 29) (BR. 11B) S-8 BRADY CORP, 6555 W GOOD HOPE RD, P O BOX 571, MILWAUKEE, WI, 53201-0571, 4143586600 - 0 ($350,100.00) Equity, (File 333-137686 - Sep. 29) (BR. 06A) S-8 IDERA PHARMACEUTICALS, INC., 345 VASSAR STREET, CAMBRIDGE, MA, 02139, 6176795500 - 0 ($214,375.00) Equity, (File 333-137687 - Sep. 29) (BR. 01A) S-8 IDERA PHARMACEUTICALS, INC., 345 VASSAR STREET, CAMBRIDGE, MA, 02139, 6176795500 - 0 ($1,715,000.00) Equity, (File 333-137688 - Sep. 29) (BR. 01A) SB-2 China Shenghuo Pharmaceutical Holdings Inc, NO. 2, JING YOU ROAD, KUNMING NATIONAL ECONOMY &, TECHNOLOGY DEVELOPING DISTRICT, F4, 00000, 0086-871-7282628 - 2,648,600 ($10,650,100.00) Equity, (File 333-137689 - Sep. 29) (BR. 09) S-1 Boardwalk Pipeline Partners, LP, 3800 FREDERICA STREET, OWENSBORO, KY, 42301, 270-926-8686 - 0 ($250,000,000.00) Non-Convertible Debt, (File 333-137690 - Sep. 29) (BR. 02) F-3ASR ABN AMRO HOLDING N V, GUSTAV MAHLERLAAN 10, AMSTERDAM, P7, 1082 PP, 0 ($0.00) Unallocated (Universal) Shelf, (File 333-137691 - Sep. 29) (BR. 11C) S-8 QUALCOMM INC/DE, 5775 MOREHOUSE DR, SAN DIEGO, CA, 92121, 8585871121 - 65,000,000 ($2,486,250,000.00) Equity, (File 333-137692 - Sep. 29) (BR. 11B) S-8 QUALCOMM INC/DE, 5775 MOREHOUSE DR, SAN DIEGO, CA, 92121, 8585871121 - 217,454 ($7,432,577.72) Equity, (File 333-137693 - Sep. 29) (BR. 11B) S-1 CRAY INC, 411 FIRST AVE SOUTH, SUITE 600, SEATTLE, WA, 98104-2860, 2067012000 - 0 ($92,000,000.00) Equity, (File 333-137694 - Sep. 29) (BR. 03C) F-3ASR AMERICA MOVIL SA DE CV/, LAGO ALBERTO 366, COLONIA ANAHUAC MEXICO DF, MEXICO, O5, 11320, 5257033990 - 0 ($0.00) Other, (File 333-137695 - Sep. 29) (BR. 11C) S-3 MICROISLET INC, 6370 NANCY RIDGE DRIVE, SUITE 112, SAN DIEGO, CA, 92121, 858-657-0287 - 3,962,389 ($6,656,813.52) Equity, (File 333-137696 - Sep. 29) (BR. 01B) F-3 Teekay LNG Partners L.P., BAYSIDE HOUSE, BAYSIDE EXECUTIVE PARK, WEST BAY ST. & BLAKE RD., PO BOX AP59212, NASSAU, C5, 0000000000, 242-502-8820 - 0 ($400,000,000.00) Equity, (File 333-137697 - Sep. 29) (BR. 05C) SB-2 CNB BANCORP INC/VA, 11407 WINDSOR BLVD, WINDSOR, VA, 23487, 7572424422 - 747,500 ($5,793,125.00) Equity, (File 333-137698 - Sep. 29) (BR. 07A) S-3 INVESTORS REAL ESTATE TRUST, 12 SOUTH MAIN STREET, PO BOX 1988, MINOT, ND, 58702-1988, 701-837-4738 - 787,220 ($7,785,605.80) Equity, (File 333-137699 - Sep. 29) (BR. 08B) SB-2 CNB BANCORP INC/VA, 11407 WINDSOR BLVD, WINDSOR, VA, 23487, 7572424422 - 325,000 ($2,193,750.00) Equity, (File 333-137700 - Sep. 29) (BR. 07A) SB-2 PrimeCare Systems, Inc., 56 HARRISON STREET, NEW ROCHELLE, NY, 10801, 914-576-8457, EXT 23 - 1 ($1.00) Other, (File 333-137702 - Sep. 29) (BR. 10C) S-3 TELKONET INC, 902A COMMERCE ROAD, ., ANNAPOLIS, MD, 21401, 410-897-5900 - 5,206,998 ($14,527,524.00) Equity, (File 333-137703 - Sep. 29) (BR. 11B) S-8 QUIXOTE CORP, 35 E. WACKER DRIVE, SUITE 1100, CHICAGO, IL, 60601, 3124676755 - 0 ($5,109,000.00) Equity, (File 333-137704 - Sep. 29) (BR. 06C) SB-2 Sweet Success Enterprises, Inc, 1250 NE LOOP 410 STE. 630, SAN ANTONIO, TX, 78209, 210-824-2496 - 0 ($12,217,685.00) Equity, (File 333-137705 - Sep. 29) (BR. 08B) S-8 FLOWSERVE CORP, 5215 N. O'CONNOR BLVD., SUITE 2300, IRVING, TX, 75039, 9724436500 - 3,750,000 ($181,950,000.00) Equity, (File 333-137706 - Sep. 29) (BR. 10B) S-8 ICO Global Communications (Holdings) LTD, PLAZA AMERICA TOWER, 11700 PLAZA AMERICA DRIVE, SUITE 1010, RESTON, VA, 20190, (703) 964-1400 - 0 ($61,994,280.00) Equity, (File 333-137707 - Sep. 29) (BR. 11B) S-8 New BlackRock, Inc., 40 EAST 52ND STREET, NEW YORK, NY, 10022, 212-810-5300 - 0 ($2,287,656,151.00) Equity, 0 ($102,000,000.00) Non-Convertible Debt, (File 333-137708 - Sep. 29) (BR. 07) S-8 POWERLINX INC, 200 MADONNA BLVD., TIERRA VERDE, FL, 33715, 7278667440 - 66,092 ($84,267.30) Equity, (File 333-137709 - Sep. 29) (BR. 11C) SB-2 IDENTICA HOLDINGS CORP, 3675 WEST SHORE BLVD #260, TAMPA, FL, 33629, 813-642-3479 - 25,041,340 ($17,528,937.00) Equity, (File 333-137710 - Sep. 29) (BR. ) S-8 BMC SOFTWARE INC, 2101 CITYWEST BLVD, HOUSTON, TX, 77042-2827, 7139188800 - 3,000,000 ($80,880,000.00) Equity, (File 333-137711 - Sep. 29) (BR. 03C) S-3 FLOTEK INDUSTRIES INC/CN/, 7030 EMPIRE CENTRAL DRIVE, HOUSTON, TX, 77040, 7138499911 - 1,765,496 ($26,129,341.00) Equity, (File 333-137712 - Sep. 29) (BR. 06A) S-3 HEALTHCARE SERVICES GROUP INC, 2159381661 - 368,572 ($9,015,271.12) Equity, (File 333-137713 - Sep. 29) (BR. 08B) SB-2 Airbee Wireless, Inc., 9400 KEY WEST AVENUE, ROCKVILLE, MD, 20850, 301-517-1860 - 30,886,495 ($6,177,299.00) Equity, (File 333-137715 - Sep. 29) (BR. 03A) S-1 China Opportunity Acquisition Corp., 354 EAST 50TH STREET, NEW YORK, NY, 10022, 201-930-9898 - 0 ($133,053,435.20) Equity, (File 333-137716 - Sep. 29) (BR. ) S-1 IWT TESORO CORP, 191 POST ROAD WEST, SUITE 10, WESTPORT, CT, 06880, 203-221-2770 - 0 ($6,297,084.00) Equity, (File 333-137717 - Sep. 29) (BR. 02C) S-4 UNITED HERITAGE CORP, 405 NORTH MARIENFELD, SUITE 200, MIDLAND, TX, 79701, 432-686-2618 - 0 ($98,920,291.00) Equity, (File 333-137718 - Sep. 29) (BR. 04C) S-3 BOOKHAM, INC., 2584 JUNCTION AVENUE, SAN JOSE, CA, 95134, (408) 919-1500 - 0 ($42,030,669.00) Equity, (File 333-137719 - Sep. 29) (BR. 10A) S-3ASR MEDIMMUNE INC /DE, 35 W WATKINS MILL RD, GAITHERSBURG, MD, 20878, 3014170770 - 0 ($1,150,000,000.00) Debt Convertible into Equity, (File 333-137720 - Sep. 29) (BR. 01B) S-8 LITFUNDING CORP, 6375 S. PECOS ROAD, LAS VEGAS, NV, 89120, (702)898-8388 - 6,000,000 ($300,000.00) Equity, (File 333-137721 - Sep. 29) (BR. 11B) 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 NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT -------------------------------------------------------------------------------------------------------- ABFC 2006-OPT1 Trust DE 6.04 09/25/06 ABLE ENERGY INC DE 5.02 09/28/06 ACE CASH EXPRESS INC/TX TX 8.01 09/29/06 Acquicor Technology Inc DE 1.01,9.01 09/26/06 Advanced BioPhotonics Inc. DE 8.01 09/29/06 ADVANCED COMMUNICATIONS TECHNOLOGIES FL 1.01,5.02,8.01,9.01 09/25/06 AIMS WORLDWIDE INC NV 1.01,1.02,9.01 09/28/06 AKSYS LTD DE 8.01 09/29/06 ALFA INTERNATIONAL HOLDINGS CORP. DE 7.01,8.01 09/28/06 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 09/29/06 Allis Chalmers Energy Inc. DE 9.01 08/14/06 AMEND Alon USA Energy, Inc. DE 2.03,8.01,9.01 09/28/06 ALPHARMA INC DE 7.01,9.01 09/28/06 Altra Industrial Motion, Inc. DE 8.01,9.01 09/29/06 AMBASSADORS GROUP INC DE 1.01,9.01 09/25/06 AMBASSADORS INTERNATIONAL INC DE 2.01,9.01 07/21/06 AMEND AMDL INC DE 2.01,3.02,3.03,5.01, 09/27/06 5.03,7.01,9.01 AMERICAN EXPRESS CO NY 5.03,9.01 09/27/06 AMERICAN TECHNICAL CERAMICS CORP DE 1.01 09/25/06 AMERICAN VANGUARD CORP DE 2.02,9.01 09/28/06 AMERITRANS CAPITAL CORP DE 2.02,9.01 06/30/06 AMGEN INC DE 1.01 09/28/06 AMKOR TECHNOLOGY INC DE 7.01,9.01 09/28/06 AMKOR TECHNOLOGY INC DE 1.01,9.01 09/25/06 APOLLO RESOURCES INTERNATIONAL INC UT 5.02 09/25/06 Apple REIT Seven, Inc. VA 1.01 09/27/06 ARETE INDUSTRIES INC CO 2.01,2.03,8.01,9.01 09/18/06 AROTECH CORP DE 3.02 09/29/06 ASPEN TECHNOLOGY INC /DE/ DE 2.02,9.01 09/28/06 ASSURANCEAMERICA CORP NV 2.02,8.01,9.01 09/27/06 ASYST TECHNOLOGIES INC CA 1.01,5.02,8.01 09/25/06 ATHEROGENICS INC GA 1.01,9.01 09/25/06 ATLANTIC COAST FEDERAL CORP X1 8.01,9.01 09/28/06 ATS MEDICAL INC MN 1.01,5.02,9.01 09/25/06 AVIS BUDGET GROUP, INC. DE 7.01 09/29/06 AZZ INC TX 2.02,8.01,9.01 09/29/06 Banc of America Funding 2006-H Trust DE 9.01 09/29/06 Bank of Commerce Holdings CA 8.01,9.01 09/29/06 BASIC EARTH SCIENCE SYSTEMS INC DE 8.01,9.01 09/28/06 BAUSCH & LOMB INC NY 8.01 09/28/06 BAUSCH & LOMB INC NY 8.01,9.01 09/29/06 BEA SYSTEMS INC DE 2.04 09/25/06 Bear Stearns ALT-A Trust 2006-6 DE 8.01,9.01 09/29/06 Bear Stearns ALT-A Trust 2006-R1 DE 8.01,9.01 09/29/06 Bear Stearns ALT-A Trust 2006-R1 DE 8.01,9.01 09/29/06 Bear Stearns ARM Trust 2006-4 DE 9.01 09/29/06 Bear Stearns Mortage Funding Trust 20 DE 8.01,9.01 09/29/06 BEAZER HOMES USA INC DE 1.01 09/27/06 BECTON DICKINSON & CO NJ 2.05,5.02,7.01,9.01 09/26/06 BERTUCCIS CORP DE 1.01 09/25/06 BETTER BIODIESEL, INC 2.01,3.02,5.01,5.02,9.01 09/29/06 BNC Mortgage Loan Trust 2006-1 DE 8.01,9.01 09/29/06 BRANDYWINE OPERATING PARTNERSHIP LP / DE 8.01,9.01 09/28/06 BRANDYWINE REALTY TRUST MD 8.01,9.01 09/28/06 BROADVISION INC DE 2.02 09/25/06 BRODER BROS CO MI 8.01,9.01 09/29/06 BRUSH ENGINEERED MATERIALS INC 1.01,9.01 09/25/06 BUILDING MATERIALS HOLDING CORP DE 5.02,9.01 09/26/06 CABCO SERIES 2004-102 TRUST (SBC COMM DE 8.01,9.01 09/15/06 CAMPBELL SOUP CO NJ 1.01 09/28/06 CANANDAIGUA NATIONAL CORP NY 2.01,9.01 09/29/06 CAPITAL BANK CORP NC 8.01,9.01 09/29/06 CAPITAL TRUST INC MD 1.01 09/29/06 CAPITOL FEDERAL FINANCIAL 7.01,9.01 09/29/06 CASCADE FINANCIAL CORP DE 5.02,9.01 09/28/06 CASEYS GENERAL STORES INC IA 1.01,2.03,9.01 09/29/06 CBOT HOLDINGS INC DE 8.01,9.01 09/29/06 CENTURY PROPERTIES GROWTH FUND XXII CA 1.01,9.01 09/25/06 CHAPARRAL RESOURCES INC DE 2.02,5.03,9.01 09/29/06 Chemtura CORP DE 1.01,9.01 09/28/06 CHINA WORLD TRADE CORP NV 1.01 09/25/06 CHOICEPOINT INC GA 2.05,2.06,9.01 09/29/06 CIB MARINE BANCSHARES INC WI 7.01 09/29/06 CITIGROUP INC DE 9.01 09/29/06 COAST DISTRIBUTION SYSTEM INC DE 5.02,7.01,9.01 09/25/06 COLOMBIA GOLDFIELDS LTD 8.01,9.01 09/25/06 Community Bancorp NV 8.01,9.01 09/29/06 COMMUNITY CAPITAL BANCSHARES INC 1.01,9.01 09/25/06 COMTEX NEWS NETWORK INC DE 2.02,9.01 09/28/06 COMVERSE TECHNOLOGY INC/NY/ NY 1.02,5.02 09/25/06 CONSUMER PORTFOLIO SERVICES INC CA 1.01,2.03,9.01 09/27/06 CORCEPT THERAPEUTICS INC 8.01,9.01 09/29/06 CORINTHIAN COLLEGES INC 2.02 09/29/06 CREDIT SUISSE (USA) INC DE 9.01 09/28/06 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE 8.01,9.01 09/29/06 CREDO PETROLEUM CORP CO 8.01,9.01 09/27/06 CROWN CASTLE INTERNATIONAL CORP DE 1.01,9.01 09/26/06 Crusade Global Trust No. 2 of 2005 8.01,9.01 09/29/06 CRYOLIFE INC FL 1.01 09/25/06 CSAB Mortgage-Backed Pass-Through Cer DE 8.01,9.01 09/29/06 CSAB Mortgage-Backed Pass-Through Cer DE 8.01,9.01 09/29/06 AMEND CSX CORP VA 7.01,9.01 09/29/06 CWABS Asset-Backed Certificates Trust DE 9.01 09/29/06 CWABS Asset-Backed Certificates Trust DE 9.01 09/29/06 CWABS Asset-Backed Certificates Trust DE 9.01 09/29/06 CWALT INC DE 9.01 09/29/06 CWALT INC DE 9.01 09/29/06 CWALT INC DE 9.01 09/29/06 CWALT INC DE 9.01 09/29/06 CWALT INC DE 9.01 09/29/06 CWALT INC DE 9.01 09/29/06 CWHEQ, Inc. 8.01,9.01 09/29/06 CWHEQ, Inc. 8.01,9.01 09/29/06 CWHEQ, Inc. 9.01 09/29/06 DANA CORP VA 2.06 09/29/06 DAYTON SUPERIOR CORP OH 1.01,9.01 09/29/06 DEL GLOBAL TECHNOLOGIES CORP NY 8.01,9.01 09/29/06 DELCATH SYSTEMS INC DE 8.01,9.01 09/27/06 DELPHI CORP DE 7.01,9.01 09/29/06 DELTA AIR LINES INC /DE/ DE 2.02,9.01 09/29/06 DELTIC TIMBER CORP DE 8.01,9.01 09/28/06 DENTSPLY INTERNATIONAL INC /DE/ DE 8.01 09/26/06 Deutsche Alt-A Securities Mortgage Lo 8.01,9.01 08/29/06 Deutsche Alt-B Securities Mortgage Lo 8.01,9.01 09/29/06 DIEDRICH COFFEE INC CA 2.02 09/26/06 DIGI INTERNATIONAL INC DE 1.01,5.02 09/26/06 Directed Electronics, Inc. FL 1.01,2.03,3.02,9.01 09/22/06 AMEND DISCOVER CARD MASTER TRUST I DE 1.01,8.01,9.01 09/28/06 AMEND DOMINION RESOURCES INC /VA/ VA 8.01,9.01 09/26/06 DURA AUTOMOTIVE SYSTEMS INC DE 1.01,2.01 09/25/06 E CENTIVES INC DE 1.01,2.03,3.02,9.01 09/25/06 EATON CORP OH 2.05 09/25/06 EBANK FINANCIAL SERVICES INC GA 1.01,9.01 09/25/06 ECHOSTAR COMMUNICATIONS CORP NV 8.01,9.01 09/29/06 EDWARDS LIFESCIENCES CORP DE 1.01,9.01 09/29/06 ELECTRIC CITY CORP DE 1.01,2.01,9.01 09/26/06 ELECTRONIC DATA SYSTEMS CORP /DE/ DE 5.02 09/07/06 AMEND ELECTRONICS FOR IMAGING INC DE 1.01,7.01,9.01 09/27/06 EMC CORP MA 1.01 09/26/06 EMDEON CORP DE 1.01,9.01 09/26/06 ENCORE WIRE CORP /DE/ DE 1.01,2.03,7.01,9.01 09/28/06 ENTRUST INC MD 9.01 07/19/06 AMEND EPICEPT CORP 8.01,9.01 09/25/06 ESCALA GROUP INC NY 8.01,9.01 09/28/06 ESSENTIAL INNOVATIONS TECHNOLOGY CORP NV 5.02 09/25/06 EXCELLIGENCE LEARNING CORP DE 8.01,9.01 09/28/06 EXPLORATION CO OF DELAWARE INC DE 7.01,9.01 09/28/06 EXXON MOBIL CORP NJ 8.01 09/27/06 EZCORP INC DE 1.01 09/21/06 AMEND FACEPRINT GLOBAL SOLUTIONS INC WY 1.01,5.02,8.01,9.01 09/25/06 Falcon Ridge Development Inc. NV 5.03 09/29/06 FASHION HOUSE HOLDINGS INC 1.01,2.03 09/15/06 Federal Home Loan Bank of Dallas 2.03 09/25/06 Federal Home Loan Bank of San Francis X1 7.01,9.01 09/29/06 Federal Services Acquisition CORP DE 8.01,9.01 10/25/05 AMEND FEDERATED INVESTORS INC /PA/ PA 2.01,9.01 07/14/06 AMEND FINANCIAL FEDERAL CORP NV 2.02,8.01,9.01 09/27/06 FIRST BUSEY CORP /NV/ NV 8.01,9.01 09/29/06 First Horizon Asset Sec Mort Pass Thr DE 8.01,9.01 09/29/06 First Horizon Asset Sec Mort Pass Thr DE 8.01,9.01 09/29/06 First Horizon Asset Sec Mort Pass Thr DE 8.01,9.01 09/29/06 First Horizon Asset Sec Mort Pass Thr DE 8.01,9.01 09/29/06 FIRST HORIZON NATIONAL CORP TN 5.02 09/28/06 FIRST NATIONAL FUNDING LLC NE 8.01,9.01 09/15/06 FIRST UNITED ETHANOL LLC 1.01 09/25/06 FLIGHT SAFETY TECHNOLOGIES INC NV 8.01,9.01 09/29/06 FLORIDA PUBLIC UTILITIES CO FL 1.01 09/25/06 FLYI INC DE 7.01 09/28/06 FORD MOTOR CREDIT CO DE 2.05,9.01 09/14/06 FORTUNE BRANDS INC DE 5.02,5.03,9.01 09/26/06 FreightCar America, Inc. DE 1.01,9.01 09/29/06 FTI CONSULTING INC MD 1.01,9.01 09/27/06 FURIA ORGANIZATION INC /DE/ DE 2.01 09/28/06 AMEND GASTAR EXPLORATION LTD 7.01,9.01 09/29/06 Gemco Minerals, Inc. FL 4.01 09/26/06 GENERAL EMPLOYMENT ENTERPRISES INC IL 1.01,9.01 09/25/06 GENIUS PRODUCTS INC DE 1.01,9.01 07/07/06 AMEND GENWORTH LIFE & ANNUITY INSURANCE CO VA 1.01,9.01 09/25/06 GFR PHARMACEUTICALS INC NV 5.02,7.01,9.01 09/28/06 GLACIER BANCORP INC DE 5.02,9.01 09/27/06 GLOBAL PAYMENTS INC GA 2.02,9.01 09/29/06 GLOBAL TRAFFIC NETWORK, INC. DE 1.01 09/25/06 GMH Communities Trust MD 4.01 09/29/06 GOLDEN EAGLE INTERNATIONAL INC CO 5.02,9.01 09/21/06 GOLDEN PHOENIX MINERALS INC /MN/ MN 5.02,9.01 09/25/06 GOLDEN STAR RESOURCES LTD 1.01,5.02 09/25/06 GOLDEN WEST FINANCIAL CORP /DE/ DE 1.01,5.02,9.01 09/29/06 GOLDLEAF FINANCIAL SOLUTIONS INC. TN 1.01 09/15/06 AMEND GreenPoint Mortgage Funding Trust 200 DE 8.01,9.01 09/29/06 GSAMP Trust 2006-FM2 DE 8.01,9.01 09/29/06 GVI SECURITY SOLUTIONS INC DE 5.02 09/25/06 HANSEN NATURAL CORP DE 8.01,9.01 09/25/06 HARSCO CORP DE 1.01,9.01 09/27/06 HARTFORD LIFE INSURANCE CO CT 9.01 09/29/06 HARTMARX CORP/DE DE 2.02,9.01 09/28/06 HealthMarkets, Inc. DE 1.01,5.02,9.01 09/26/06 HEMACARE CORP /CA/ CA 1.01,9.01 09/26/06 HICKOK INC OH 1.01,2.03,9.01 09/25/06 Hiland Partners, LP 1.01,9.01 09/25/06 HINES REAL ESTATE INVESTMENT TRUST IN 8.01 09/29/06 HOST AMERICA CORP DE 8.01 09/28/06 HUMAN BIOSYSTEMS INC CA 1.01,3.02,9.01 09/29/06 HUTCHINSON TECHNOLOGY INC MN 7.01 09/29/06 HYDROGEN ENGINE CENTER, INC. NV 9.01 08/28/06 IA GLOBAL INC DE 3.01,9.01 09/26/06 IBSG INTERNATIONAL INC FL 8.01,9.01 05/16/06 AMEND IBSG INTERNATIONAL INC FL 2.01,9.01 03/17/06 AMEND IBSG INTERNATIONAL INC FL 3.02,9.01 03/17/06 AMEND Ignis Petroleum Group, Inc. 5.02 09/28/06 IMMUNICON CORP 7.01,9.01 09/29/06 IMPAC SECURED ASSETS CORP., MORTGAGE CA 8.01,9.01 09/29/06 IMPAC SECURED ASSETS CORP., MORTGAGE CA 9.01 09/29/06 IMPLANT SCIENCES CORP MA 4.01 09/22/06 INDYMAC MBS INC RESIDENTIAL ASSET SEC 8.01 09/25/06 IndyMac RAST 2004-R2 8.01 09/25/06 INTEGRATED ENVIRONMENTAL TECHNOLOGIES DE 8.01,9.01 09/28/06 Intelsat CORP DE 8.01 09/29/06 INTERLINK ELECTRONICS INC DE 1.02 09/26/06 INTERNATIONAL GAME TECHNOLOGY NV 5.02 06/15/06 AMEND INTERNATIONAL MONETARY SYSTEMS LTD /W WI 1.01,2.03 09/26/06 INTERNATIONAL STAR INC NV 5.02,9.01 09/25/06 INTERSECTIONS INC DE 1.01,5.02,9.01 09/29/06 INVESTORS REAL ESTATE TRUST ND 8.01,9.01 09/29/06 ISTA PHARMACEUTICALS INC DE 1.01 09/26/06 J CREW GROUP INC DE 5.02,9.01 09/26/06 J P MORGAN ACCEPTANCE CORP I DE 8.01,9.01 09/29/06 J P MORGAN ACCEPTANCE CORP I DE 8.01,9.01 09/29/06 J P MORGAN CHASE & CO DE 9.01 09/27/06 JACLYN INC DE 2.02,9.01 09/28/06 JAVA EXPRESS INC NV 4.01,9.01 09/27/06 JER Investors Trust Inc 8.01,9.01 09/27/06 JMG Exploration, Inc. NV 1.02,9.01 09/28/06 JPMAC 2006-WMC3 DE 8.01,9.01 09/29/06 KEANE, INC. MA 2.02,9.01 09/29/06 KEANE, INC. MA 5.02,9.01 09/25/06 KIMCO REALTY CORP MD 8.01,9.01 09/25/06 KUHLMAN COMPANY, INC MN 1.01,3.02,5.02,9.01 09/25/06 Lares Asset Securitization, Inc. DE 8.01,9.01 09/28/06 LCA VISION INC DE 7.01,9.01 09/29/06 LCA VISION INC DE 5.02,7.01,9.01 09/25/06 LEAPFROG ENTERPRISES INC 1.01,9.01 09/25/06 LEHMAN ABS CORP BCKD TR CRTS GDYR TR DE 8.01,9.01 09/15/06 Lehman Mortgage Trust 2006-6 DE 8.01,9.01 09/29/06 Lehman XS Trust 2006-15 DE 8.01,9.01 09/29/06 Lehman XS Trust Series 2006-16N DE 8.01,9.01 09/29/06 LEXINGTON RESOURCES INC NV 8.01,9.01 09/28/06 LIQUIDITY SERVICES INC 1.01 09/21/06 LUBRIZOL CORP OH 1.01 09/27/06 LUMINENT MORTGAGE CAPITAL INC 8.01 09/26/06 MACK CALI REALTY CORP MD 1.01,9.01 09/25/06 MAGNA ENTERTAINMENT CORP DE 1.01,9.01 09/28/06 MAIN STREET TRUST INC IL 8.01,9.01 09/29/06 MANGAPETS, INC. DE 5.02 09/29/06 MARLIN BUSINESS SERVICES CORP 1.01,9.01 09/28/06 MASCO CORP /DE/ DE 8.01,9.01 09/28/06 MATTEL INC /DE/ DE 7.01,9.01 09/29/06 MAUI LAND & PINEAPPLE CO INC HI 2.05 09/25/06 MAXIM INTEGRATED PRODUCTS INC DE 3.01,9.01 09/25/06 MCKENZIE BAY INTERNATIONAL LTD 1.02,8.01 09/28/06 MD TECHNOLOGIES INC 2.03,9.01 09/06/06 ME PORTFOLIO MANAGEMENT LTD 8.01,9.01 09/27/06 MEDIACOM BROADBAND LLC DE 7.01 09/28/06 MEDIACOM BROADBAND LLC DE 8.01,9.01 09/29/06 MEDIACOM COMMUNICATIONS CORP DE 7.01 09/28/06 MEDIACOM COMMUNICATIONS CORP DE 8.01,9.01 09/29/06 MEDIACOM LLC NY 7.01 09/28/06 MEDICAL STAFFING NETWORK HOLDINGS INC DE 1.01,2.03,8.01,9.01 09/29/06 MEDICINOVA INC DE 8.01 09/29/06 MEDQUIST INC NJ 1.01,9.01 09/25/06 MERCURY INTERACTIVE CORP DE 8.01,9.01 09/28/06 Merrill Lynch Mortgage Investors Trus DE 8.01,9.01 09/29/06 Merrill Lynch Mortgage Investors Trus DE 8.01,9.01 09/29/06 METROLOGIC INSTRUMENTS INC NJ 8.01 09/26/06 MICRON TECHNOLOGY INC DE 5.02,9.01 09/26/06 MILLENNIUM CELL INC DE 1.01 09/25/06 MISONIX INC NY 1.01,9.01 09/11/06 MMC ENERGY, INC. NV 1.01 09/25/06 MODERN TECHNOLOGY CORP NV 4.01 09/26/06 MOLEX INC DE 5.02,8.01,9.01 09/29/06 MONARCH CASINO & RESORT INC NV 8.01 09/28/06 MortgageIT Holdings, Inc. MD 8.01 09/25/06 MOTIENT CORP DE 1.01,9.01 09/25/06 MSC SOFTWARE CORP DE 1.01,9.01 09/25/06 MultiCell Technologies, Inc. DE 1.01,1.02,5.02,9.01 09/28/06 NATHANIEL ENERGY CORP NV 5.02 09/25/06 NATIONAL CITY AUTO RECEIVABLES TRUST 8.01,9.01 09/15/06 NATIONAL CITY CREDIT CARD MASTER TRUS 8.01,9.01 09/15/06 NATIONAL RETAIL PROPERTIES, INC. MD 9.01 09/29/06 Nationstar Home Equity Loan Trust 200 DE 8.01,9.01 09/29/06 NATIONWIDE HEALTH PROPERTIES INC MD 8.01,9.01 09/22/06 NATURADE INC DE 7.01 08/18/06 AMEND NETSMART TECHNOLOGIES INC DE 1.01,9.01 09/29/06 NEUROLOGIX INC/DE DE 7.01 09/28/06 NEW WORLD RESTAURANT GROUP INC DE 7.01 09/28/06 NEWGOLD INC DE 1.01,2.03,3.02,9.01 09/26/06 NEWPOWER HOLDINGS INC DE 8.01,9.01 09/26/06 Nomura Asset Acceptance Corporation, DE 9.01 09/29/06 NORTH AMERICAN GAMING & ENTERTAINMENT DE 1.01,7.01,9.01 09/28/06 NOVADEL PHARMA INC DE 8.01,9.01 09/28/06 Novelis Inc. A6 1.01,7.01,9.01 09/25/06 NTS MORTGAGE INCOME FUND DE 7.01,9.01 09/29/06 NUVASIVE INC DE 1.01,1.02,3.02,9.01 09/26/06 OMNI ENERGY SERVICES CORP LA 1.01,9.01 09/25/06 OMNI ENERGY SERVICES CORP LA 1.01 09/13/06 ONYX PHARMACEUTICALS INC DE 1.01,9.01 09/29/06 OPINION RESEARCH CORP DE 1.01,3.03,9.01 09/26/06 OWENS CORNING DE 8.01,9.01 09/26/06 OXIGENE INC DE 1.01,9.01 09/26/06 PACER HEALTH CORP FL 8.01 09/25/06 Paramount Acquisition Corp DE 8.01,9.01 09/28/06 PATRIOT NATIONAL BANCORP INC CT 8.01,9.01 09/26/06 PDI INC 8.01 09/29/06 PEAK INTERNATIONAL LTD D0 1.02,5.02 09/29/06 PENFORD CORP WA 8.01,9.01 09/28/06 PENN NATIONAL GAMING INC PA 8.01,9.01 09/27/06 PENNICHUCK CORP NH 5.02 09/25/06 PENTAIR INC MN 8.01,9.01 09/28/06 PEOPLES BANCORP IN 1.01,5.02,9.01 09/25/06 PETROLEUM DEVELOPMENT CORP NV 8.01,9.01 09/29/06 PETROLEUM DEVELOPMENT CORP NV 8.01,9.01 09/28/06 PHH CORP MD 3.01,9.01 09/29/06 PLY GEM HOLDINGS INC DE 1.01 09/22/06 POLYONE CORP 7.01,9.01 09/27/06 Popular ABS Mortgage Pass-Through Tru DE 8.01,9.01 09/28/06 POWERWAVE TECHNOLOGIES INC DE 1.01 09/29/06 POWERWAVE TECHNOLOGIES INC DE 1.01,9.01 09/29/06 PPL CORP PA 8.01 09/29/06 PRESSTEK INC /DE/ DE 2.02,9.01 09/29/06 Prestige Brands Holdings, Inc. 1.02,7.01,9.01 09/25/06 PRINCIPAL LIFE INSURANCE CO IA 9.01 09/29/06 PROFESSIONAL LEASE MANAGEMENT INCOME DE 8.01,9.01 09/29/06 PROGRESSIVE CORP/OH/ OH 7.01,9.01 09/29/06 RALI Series 2006-QS12 Trust DE 8.01,9.01 09/28/06 RALI Series 2006-QS13 Trust DE 8.01,9.01 09/28/06 RANCHER ENERGY CORP. NV 3.02 08/11/06 RAVEN GOLD CORP NV 4.01,9.01 09/19/06 RAYTHEON CO/ DE 5.02,9.01 09/29/06 RED HAT INC DE 1.01,9.01 09/25/06 Refco Public Commodity Pool, L.P. DE 4.01,8.01,9.01 09/15/06 RELIANT HOME WARRANTY CORP FL 4.01,9.01 09/29/06 AMEND REVLON CONSUMER PRODUCTS CORP DE 1.01,9.01 09/29/06 REVLON INC /DE/ DE 1.01,9.01 09/29/06 REX STORES CORP DE 8.01,9.01 09/29/06 ROCKWELL COLLINS INC DE 1.01,7.01,9.01 09/26/06 RUSH FINANCIAL TECHNOLOGIES INC TX 5.02 09/25/06 RYANS RESTAURANT GROUP INC SC 8.01 09/28/06 SAFLINK CORP DE 1.01,5.02,9.01 09/25/06 SALESFORCE COM INC DE 1.01 09/29/06 SASCO 2006-WF3 DE 8.01,9.01 09/29/06 SATCON TECHNOLOGY CORP DE 7.01 09/29/06 SAVVIS, Inc. DE 1.01,9.01 09/25/06 SCHMITT INDUSTRIES INC OR 2.02,9.01 09/29/06 SELECTICA INC DE 1.01,5.02,9.01 09/25/06 SENECA FOODS CORP /NY/ NY 5.02 09/29/06 SEQUIAM CORP CA 3.02 09/29/06 SERVICE CORPORATION INTERNATIONAL TX 1.01,7.01,9.01 09/27/06 SHARPER IMAGE CORP DE 1.01,5.02,9.01 09/25/06 SHEERVISION, INC. DE 4.02 09/29/06 Siam Imports, Inc. NV 5.02 09/25/06 Siouxland Ethanol, LLC NE 1.01,2.03 09/26/06 SIRVA INC DE 1.01,2.03,3.01,3.02,3.03, 09/25/06 5.02,5.03,8.01,9.01 SIZELER PROPERTY INVESTORS INC DE 1.01,5.02,9.01 09/26/06 SKY PETROLEUM, INC. NV 4.01 09/29/06 SOLUTIA INC DE 7.01,9.01 09/29/06 SONGZAI INTERNATIONAL HOLDING GROUP I NV 5.02 09/26/06 Soundview Home Loan Trust 2006-3 2.01,8.01,9.01 08/09/06 SOUTHRIDGE ENTERPRISES INC. 5.02 09/26/06 ST PAUL TRAVELERS COMPANIES INC MN 8.01,9.01 09/29/06 STATE BANCORP INC NY 8.01 09/27/06 STATION CASINOS INC NV 2.03,9.01 09/26/06 STILLWATER MINING CO /DE/ DE 2.02,9.01 09/28/06 STONE ENERGY CORP DE 7.01,9.01 09/28/06 STRATEGIC HOTELS & RESORTS, INC 1.01,7.01,9.01 09/26/06 STRUCTURED ASSET SECURITIES CORP DE 8.01,9.01 09/29/06 STURM RUGER & CO INC DE 1.01,9.01 09/25/06 Sub-Urban Brands, Inc. NV 1.01,2.03,3.02,5.02,9.01 08/16/06 SUNCOM WIRELESS HOLDINGS, INC. 3.01 09/27/06 SUNSET FINANCIAL RESOURCES INC 1.01,9.01 09/29/06 SUNTRON CORP DE 5.02,9.01 09/26/06 SUNTRUST BANKS INC GA 4.01,9.01 09/26/06 SWIFT TRANSPORTATION CO INC NV 2.06,7.01,9.01 09/28/06 SYNERGY FINANCIAL GROUP INC /NJ/ NJ 8.01 09/26/06 Synutra International, Inc. DE 4.02 09/25/06 TAIWAN FUND INC DE 7.01,9.01 08/01/06 TALBOTS INC DE 1.01,5.02,9.01 09/22/06 TALK AMERICA HOLDINGS INC DE 8.01,9.01 09/27/06 TANGER FACTORY OUTLET CENTERS INC NC 1.01 09/29/06 TD AMERITRADE HOLDING CORP DE 1.01,9.01 09/26/06 TEAM FINANCIAL INC /KS KS 1.01,5.02,5.03 09/26/06 TELEPLUS ENTERPRISES INC 4.02 09/29/06 AMEND TERAYON COMMUNICATION SYSTEMS DE 8.01 09/21/06 TEXADA VENTURES INC NV 5.01,5.02,9.01 09/26/06 TEXTRON INC DE 1.01,5.03,9.01 09/27/06 TIDELANDS OIL & GAS CORP/WA NV 1.01,2.04,3.02 09/28/06 Tim Hortons Inc. DE 7.01,9.01 09/28/06 TIME WARNER TELECOM INC DE 1.02,5.02 09/26/06 TIMKEN CO OH 7.01 09/29/06 TIMKEN CO OH 7.01 09/29/06 TODCO DE 7.01,9.01 09/29/06 TOWER AUTOMOTIVE INC DE 7.01,9.01 09/29/06 TRANSNET CORP DE 7.01,9.01 09/29/06 UAL CORP /DE/ DE 5.02 09/28/06 UAL CORP /DE/ DE 1.01 09/29/06 UNION PACIFIC CORP UT 5.03 09/28/06 UNION PACIFIC CORP UT 5.02 07/27/06 AMEND UNIPRO FINANCIAL SERVICES INC 1.01,9.01 09/25/06 UNITED REFINING CO PA 8.01,9.01 09/29/06 UNIVERSAL ENERGY CORP. 7.01,9.01 09/28/06 UNIVERSAL TECHNICAL INSTITUTE INC DE 7.01,9.01 09/28/06 USA TRUCK INC DE 8.01 09/29/06 UTSTARCOM INC DE 1.01 09/25/06 VALASSIS COMMUNICATIONS INC DE 8.01,9.01 09/29/06 VELOCITY EXPRESS CORP DE 2.02,9.01 09/29/06 VENDINGDATA CORP NV 1.01,7.01,9.01 07/12/06 AMEND VENDINGDATA CORP NV 1.01,7.01,9.01 07/12/06 AMEND VENTANA MEDICAL SYSTEMS INC DE 2.01,9.01 09/27/06 VISION SCIENCES INC /DE/ DE 1.01,5.02,9.01 09/25/06 Vocalscape Networks, Inc. NV 5.02 09/25/06 VOIP INC 1.01,2.03 09/22/06 WARNACO GROUP INC /DE/ DE 2.01,9.01 01/31/06 AMEND Warner Music Group Corp. DE 1.01,9.01 09/29/06 WAVE WIRELESS CORP DE 3.01,8.01 08/22/06 WAYNE SAVINGS BANCSHARES INC /DE/ DE 7.01,9.01 09/28/06 WebMD Health Corp. DE 1.01,1.02,8.01,9.01 09/25/06 WELLCARE HEALTH PLANS, INC. DE 1.01,9.01 09/27/06 Wells Fargo Mortgage Backed Securitie DE 9.01 09/29/06 WELLS REAL ESTATE FUND IX LP GA 1.01 09/29/06 WELLS REAL ESTATE FUND VIII LP GA 1.01 09/29/06 WENDYS INTERNATIONAL INC OH 7.01,9.01 09/28/06 White River Capital Inc 1.01 09/26/06 WORKSTREAM INC 2.02,9.01 09/28/06 ZILA INC DE 1.01,2.03,9.01 09/25/06 ZIX CORP TX 3.01,9.01 09/26/06