SEC NEWS DIGEST Issue 2007-52 March 19, 2007 ENFORCEMENT PROCEEDINGS COMMISSION REVOKES REGISTRATION OF SECURITIES OF INTERCHANGE MEDICAL, INC. FOR FAILURE TO MAKE REQUIRED PERIODIC FILINGS On March 19, the Commission revoked the registration of each class of registered securities of Interchange Medical, Inc. (Interchange) for failure to make required periodic filings with the Commission. Without admitting or denying the findings in the order, except as to jurisdiction, which it admitted, Interchange consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Interchange Medical, Inc. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of Interchange's securities pursuant to Section 12(j) of the Exchange Act. This order settled the charges brought against Interchange in the Matter of Auto Wholesale Specialists, Inc., et al., Administrative Proceeding File No. 3-12553. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows: No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . .. For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Auto Wholesale Specialists, Inc., et al., Administrative Proceeding File No. 3-12553, Exchange Act Release No. 55317 (Jan. 31, 2007). (Rel. 34-55487; File No. 3-12553) RAYMOND BURGHARD ENJOINED AND ORDER TO PAY PENALTY, DEFAULT JUDGMENT ORDERED AGAINST ESAFETYWORLD, INC. (N/K/A EZ AUCTIONS AND SHIPPING INC.) The Commission announced that the Honorable Denis R. Hurley, U.S. District Judge for the Eastern District of New York, entered final judgment as to defendant Raymond Burghard, a former stock broker and Managing Director of Harbor Ridge Communications, Inc., on May 18, 2006. Burghard, without admitting or denying the allegations of the Commission's complaint, consented to the entry of the judgment, which enjoins him from aiding and abetting violations of the antifraud, reporting, and recordkeeping provisions of the Securities Exchange Act of 1934. The judgment also orders Burghard to pay a civil penalty of $25,000. The Commission commenced this action against Burghard on Dec. 15, 2005, and filed its First Amended Complaint on Feb. 22, 2006, alleging that Burghard aided and abetted financial fraud at eSafetyworld by signing a false loan agreement and a false loan confirmation that he knew would be provided to eSafetyworld's auditors. In so doing, the Commission alleged that Burghard aided and abetted violations of Sections 10(b), 13(a), 13(b)(2)(A) and 13(b)(5) of the Exchange Act and Rules 10b-5, 13a-1, 13b2-1 and 13b2-2 thereunder. By a separate order, dated Jan. 4, 2007, the Court issued a default judgment against eSafetyworld, enjoining eSafetyworld from violations of the antifraud, reporting, and recordkeeping provisions of the Exchange Act. The Commission's First Amended Complaint alleged that eSafety engaged in fraudulent schemes in 2001 involving financial fraud, false statements to eSafetyworld's auditors, issuance of a false press release, and market manipulation. The First Amended Complaint alleged that eSafetyworld violated Sections 10(b), 13(a), 13(b)(2)(A), and 13(b)(2)(B) of the Securities Exchange Act of 1934 (the "Exchange Act"), Rules 10b-5, 13a-1, 13a-13, 13b2-1, 12b-20, and 12b-25 thereunder, and Section 232.302 of Regulation S-T. These judgments conclude this litigation. For more information, see Litigation Release 19494, and Administrative Releases 34-53418, 34-53330, 34-53087, and 34-52959. [SEC v. Raymond Burghard and eSafetyWorld, Inc. (n/k/a EZ Auctions and Shipping Inc.), Civil Action No. CV-05-5851 (Eastern District of New York) (Judge Hurley)] (LR-20045) BURTON FRIEDLANDER CONSENTS TO PERMANENT INJUNCTION On Feb. 21, 2007, U.S. District Judge Kimba Wood entered final judgments by consent against Burton Friedlander and four entities he formerly controlled. These final judgments conclude the Commission's action, except for a final distribution by the court-appointed receiver. The Commission filed its original complaint in May 2001, alleging fraud in connection with Friedlander's management of the assets of Friedlander International Limited, an overseas hedge fund. The Commission alleged that Friedlander inflated the hedge fund's net asset value by improperly and arbitrarily valuing certain unlisted securities of a company in which Friedlander and entities he controlled had heavily invested. The Commission's complaint also alleged that Friedlander engaged in "portfolio pumping" by purchasing a thinly-traded common stock as part of a manipulative scheme to inflate the value of that stock and to inflate the hedge fund's net asset value. The Commission's amended complaint, filed in October 2003, additionally alleged that, in connection with a separate pooled investment fund he managed, Friedlander converted investors' proceeds to his own benefit. The amended complaint alleged that Friedlander provided pooled fund investors with false asset reports, portions of which were on the letterhead of an independent audit firm. However, the audit firm did not prepare or assist in preparing those asset reports. The audit firm also did not authorize the use of its letterhead, nor did it sign or approve any of these asset reports. The Commission's case was stayed pending the resolution of a criminal indictment, U.S. v. Friedlander (03 Cr. 1173 (JGK)(S.D.N.Y.), against Friedlander based upon the same conduct alleged in the Commission's amended complaint. On May 25, 2005, Friedlander pleaded guilty to a felony count of fraud in violation of Section 206 of the Investment Advisers Act of 1940 (Advisers Act). On March 9, 2006, Friedlander was sentenced to thirty months incarceration, two years of supervised release, and fined $50,000. The consent judgments resolving the Commission's civil complaint permanently enjoin Friedlander, and the entities he formerly controlled, Friedlander Capital Management Corporation, Friedlander Limited Partnership, Friedlander International Limited, and Friedlander Management Limited, from violating Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder. In addition, the judgments permanently enjoin Friedlander, Friedlander Capital Management, and Friedlander Management from violating Sections 206(1) and (2) of the Advisers Act. In light of Friedlander's payment, forfeiture, and surrender of sums and assets totaling $4,875,674 in the Commission's action, the criminal action, and Friedlander's bankruptcy proceedings, and in light of his criminal conviction, the consent judgments do not impose disgorgement or penalties upon Friedlander or the entities he formerly controlled. For further information see Litigation Release No. 17021 (June 1, 2001), Litigation Release No. 17315 (Jan. 15, 2002), Litigation Release No. 18426 (Oct. 24, 2003), and Advisers Act Release No. 2397 (June 16, 2005). [SEC v. Burton G. Friedlander, et al., Civil Action No. 01 Civ. 4683 (KMW) (S.D.N.Y.)] (LR-20046) COURT ORDERS PRELIMINARY INJUNCTION AND ASSET FREEZE IN SEC FRAUD ACTION INVOLVING TRADING IN ADVANCE OF PRESS RELEASES OF 12 U.S. COMPANIES On March 7, in a fraud action filed last month by the Commission, the U.S. District Court for the Southern District of New York entered a preliminary injunction order against defendants Blue Bottle Limited and Matthew Charles Stokes. In that order, the Honorable Charles S. Haight, Jr., among other things, enjoined Stokes, a citizen of Guernsey, and Blue Bottle, a Hong Kong chartered company, from violations of the antifraud provisions of the federal securities laws. In addition, the Court, which had previously entered a temporary restraining order and asset freeze on Feb. 26, 2007, continued the freeze of the defendants' assets. The Commission's complaint alleges that Blue Bottle and Stokes fraudulently gained access to material nonpublic information and, with that information, traded in the securities of 12 different U.S. public companies immediately prior to the publication of news releases concerning those companies, realizing profits of $2,707,177. The Commission also alleges that Blue Bottle and Stokes provided false information and used fake documents to open an account at the U.S. broker-dealer through which they executed the illegal trades. As a result of the illegal trading in the 12 companies, the Commission alleges that Blue Bottle and Stokes violated Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act), and Exchange Act Rule 10b-5. The Commission acknowledges the assistance of the Options Regulatory Surveillance Authority. For further information, please see Litigation Release No. 20018 (Feb. 26, 2007). [SEC v. Blue Bottle Limited and Matthew C. Stokes, 07 Civ. 01-CV-1380 (CSH) (KNF) (S.D.N.Y.)] (LR-20047) COMMISSION MOVES REYNOLDS BE HELD IN CONTEMPT FOR SELLING MERCEDES BOUGHT WITH INVESTOR FUNDS IN VIOLATION OF FREEZE On March 16, the Commission filed a motion for an order to show cause and order holding Archie Paul Reynolds in civil contempt for violating the preliminary injunction and asset freeze entered by the Court on Aug. 24, 2006. According to the Commission's motion, Reynolds sold a Mercedes-Benz automobile for $37,000 in December 2006. The car had originally been purchased in February 2006 using $57,000 in investor funds from a bank account in the name of Success Trust and Holding LLC. However, the car was titled in Reynolds' name. The application seeks to have Reynolds held in civil contempt for his violation of the order freezing his assets; an order requiring him to pay the $37,000 proceeds from the sale of the car to the Receiver; and an order requiring him to pay the $5,980 difference between the proceeds from the sale of the car and its fair market value at the time of the sale to the Receiver. Previously, the Commission filed a complaint against Reynolds and Success Trust and Holding LLC (Success Trust) on Aug. 2, 2006. The complaint alleged that, from as early as May 2005 through the present, Reynolds and Success Trust have raised millions of dollars from at least 500 investors by fraudulently offering and selling interests in three investment programs resembling "Prime Bank" frauds. The complaint charged the defendants with violations of Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The complaint sought, among other relief, injunctions against future violations, disgorgement of all ill-gotten gains with prejudgment interest, and the imposition of civil penalties against defendants. [SEC v. Archie Paul Reynolds a/k/a Dr. A. Paul Reynolds, and Success Trust and Holding LLC, Civil Action No. 1:06-CV-1801-RWS (NDGA)] (LR- 20048) SELF-REGULATORY ORGANIZATIONS PROPOSED RULE CHANGES The American Stock Exchange filed a proposed rule change (SR-Amex- 2006-99) and Amendment No.1 thereto relating to reverse mergers. Publication is expected in the Federal Register during the week of March 19. (Rel. 34-55477) The American Stock Exchange filed a proposed rule change (SR-Amex- 2006-114) and Amendment No. 1 thereto clarifying the continued listing standards for units. Publication is expected in the Federal Register during the week of March 19. (Rel. 34-55479) APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change (SR-BSE-2006-46) filed by the Boston Stock Exchange requiring certain listed securities to be eligible for a Direct Registration System operated by a clearing agency registered under Section 17A of the Exchange Act. Publication is expected in the Federal Register during the week of March 19. (Rel. 34-55480) The Commission approved a proposed rule change (SR-CHX-2006-33) filed by the Chicago Stock Exchange requiring certain listed securities to be eligible for a Direct Registration System operated by a clearing agency registered under Section 17A of the Exchange Act. Publication is expected in the Federal Register during the week of March 19. (Rel. 34-55481) The Commission approved a proposed rule change (SR-Phlx-2006-69) filed by the Philadelphia Stock Exchange requiring certain listed securities to be eligible for a Direct Registration System operated by a clearing agency registered under Section 17A of the Exchange Act. Publication is expected in the Federal Register during the week of March 19. (Rel. 34-55482) 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 AIR PRODUCTS & CHEMICALS INC /DE/, 7201 HAMILTON BLVD, ALLENTOWN, PA, 18195-1501, 6104814911 - 0 ($136,748,352.40) Other, (File 333-141336 - Mar. 16) (BR. 06C) S-8 AIR PRODUCTS & CHEMICALS INC /DE/, 7201 HAMILTON BLVD, ALLENTOWN, PA, 18195-1501, 6104814911 - 0 ($88,173,515.00) Other, (File 333-141337 - Mar. 16) (BR. 06C) S-8 AIR PRODUCTS & CHEMICALS INC /DE/, 7201 HAMILTON BLVD, ALLENTOWN, PA, 18195-1501, 6104814911 - 0 ($2,695,680.00) Equity, (File 333-141338 - Mar. 16) (BR. 06C) S-8 Cord Blood America, Inc., 9000 W. SUNSET BLVD., SUITE 400, WEST HOLLYWOOD, CA, 90069, 310-432-4090 - 4,000,000 ($444,000.00) Equity, (File 333-141339 - Mar. 16) (BR. 09B) S-8 RIGHTNOW TECHNOLOGIES INC, 40 ENTERPRISE BLVD., BOZEMAN, MT, 59718, 406 522 2952 - 0 ($16,121,612.00) Equity, (File 333-141340 - Mar. 16) (BR. 03C) S-3 INVESTORS REAL ESTATE TRUST, 12 MAIN ST S, PO BOX 1988, MINOT, ND, 58702-1988, 701-837-4738 - 496,501 ($5,069,275.21) Equity, (File 333-141341 - Mar. 16) (BR. 08B) S-1 KBL Healthcare Acquisition Corp III, 757 THIRD AVENUE, 21ST FLOOR, NEW YORK, NY, 10017, 212-319-5555 - 0 ($212,450,000.00) Equity, (File 333-141342 - Mar. 16) (BR. 09) SB-2 NUANCE RESOURCES CORP., 601-8623 GRANVILLE ST, VANCOUVER, A1, V6P 582, (778) 235-6658 - 14,000,000 ($3,500,000.00) Equity, (File 333-141343 - Mar. 16) (BR. 04) S-8 AMREP CORP., 300 ALEXANDER PARK, SUITE 204, PRINCETON, NJ, 08540, (609) 716-8200 - 400,000 ($36,358,000.00) Equity, (File 333-141344 - Mar. 16) (BR. 08C) S-3 CULP INC, 1823 EASTCHESTER DRIVE, HIGH POINT, NC, 27265, 3368895161 - 0 ($5,502,229.98) Equity, (File 333-141346 - Mar. 16) (BR. 02C) S-3 EMPIRE DISTRICT ELECTRIC CO, 602 JOPLIN ST, JOPLIN, MO, 64801, 4176255100 - 2,000,000 ($47,430,000.00) Equity, (File 333-141347 - Mar. 16) (BR. 02A) S-1 AUTHENTEC INC, 100 RIALTO ROAD, SUITE 400, MELBOURNE, FL, 32901, 321-952-5312 - 0 ($86,250,000.00) Equity, (File 333-141348 - Mar. 16) (BR. ) S-3 HAYES LEMMERZ INTERNATIONAL INC, 15300 CENTENNIAL DRIVE, NORTHVILLE, MI, 48167, 7347375084 - 0 ($180,000,000.00) Equity, (File 333-141349 - Mar. 16) (BR. 05B) SB-2 DOMAIN REGISTRATION CORP, 6767 W. TROPICANA AVENUE, SUITE 207, LAS VEGAS, NV, 89103, 7022481047 - 2,100,000 ($21,000.00) Equity, (File 333-141350 - Mar. 16) (BR. 09A) SB-2 Hometown Bancorp,Inc., 12 MAIN STREET, WALDEN, NY, 12586, (845) 778-2171 - 0 ($10,712,250.00) Equity, (File 333-141351 - Mar. 16) (BR. ) S-8 Omniture, Inc., ATTN: SHAWN LINDQUIST, 550 EAST TIMPANOGOS CIRCLE, OREM, UT, 84097, 801-722-7000 - 0 ($48,313,420.97) Equity, (File 333-141352 - Mar. 16) (BR. 03C) S-8 INTERNATIONAL TOWER HILL MINES LTD, #507 837 WEST HASTINGS ST, VANCOUVER BC V6C 3N6, BC, A1, V6E 3N6, 6046851017 - 3,051,182 ($7,030,535.86) Equity, (File 333-141353 - Mar. 16) (BR. 04A) S-8 COMARCO INC, 25541 COMMERCENTRE DRIVE, ., LAKE FOREST, CA, 92630, 949-599-7400 - 0 ($3,550,500.00) Equity, (File 333-141354 - Mar. 16) (BR. 11B) S-8 CEVA INC, 2033 GATEWAY PLACE, SUITE 150, SAN JOSE, CA, 95110-1002, 4085142900 - 0 ($3,612,500.00) Equity, (File 333-141355 - Mar. 16) (BR. 10A) S-3 HAYES LEMMERZ INTERNATIONAL INC, 15300 CENTENNIAL DRIVE, NORTHVILLE, MI, 48167, 7347375084 - 0 ($276,633,773.00) Equity, (File 333-141356 - Mar. 16) (BR. 05B) S-3 FLORIDA POWER & LIGHT CO, 700 UNIVERSE BLVD, JUNO BEACH, FL, 33408, 5616943715 - 1,000,000 ($1,000,000.00) Asset-Backed Securities, (File 333-141357 - Mar. 16) (BR. 02A) S-8 FREEPORT MCMORAN COPPER & GOLD INC, 1615 POYDRAS ST, NEW ORLEANS, LA, 70112, 5045824000 - 1,000,000 ($55,490,000.00) Equity, (File 333-141358 - Mar. 16) (BR. 04A) S-8 MDC PARTNERS INC, 45 HAZELTON AVE, TORONTO, A6, M5R 2E3, 646 429 1800 - 0 ($24,518,787.25) Equity, (File 333-141359 - Mar. 16) (BR. 11A) S-1 Abington Community Bancorp, Inc., 180 OLD YORK ROAD, JENKINTOWN, PA, 19046, (215) 886-8280 - 36,245,920 ($362,459,200.00) Equity, (File 333-141360 - Mar. 16) (BR. 07A) S-4 BANK OF AMERICA CORP /DE/, BANK OF AMERICA CORPORATE CENTER, 100 N TRYON ST, CHARLOTTE, NC, 28255, 7043868486 - 0 ($2,177,600,000.00) Non-Convertible Debt, (File 333-141361 - Mar. 16) (BR. 07B) S-3 MATHSTAR INC, 19075 NORTHWEST TANASBOURNE DRIVE, SUITE 200, HILLSBORO, OR, 97124, 503-726-5500 - 0 ($40,000,000.00) Equity, (File 333-141362 - Mar. 16) (BR. 10B) N-2 TURKISH INVESTMENT FUND INC, 73 TREMONT STREET, 8TH FLOOR, BOSTON, MA, 02108-3913, 6175578732 - 0 ($1,000,000.00) Equity, (File 333-141363 - Mar. 16) (BR. 16) S-1 NIMBLEGEN SYSTEMS INC, 505 SOUTH ROSA ROAD, MADISON, WI, 53719, 0 ($75,000,000.00) Equity, (File 333-141364 - Mar. 16) (BR. ) SB-2 VERSADIAL, INC., 305 MADISON AVENUE, SUITE 4510, NEW YORK, NY, 10165, 212-986-0886 - 12,454,559 ($15,568,200.00) Equity, (File 333-141365 - Mar. 16) (BR. 08A) S-3 BALTIMORE GAS & ELECTRIC CO, 39 WEST LEXINGTON STREET, BALTIMORE, MD, 21201, 4107833624 - 0 ($1,000,000.00) Asset-Backed Securities, (File 333-141366 - Mar. 16) (BR. 02A) S-3ASR ENERGY EAST CORP, 52 FARM VIEW DRIVE, NEW GLOUCESTER, ME, 04260, 2076886300 - 0 ($0.00) Debt, (File 333-141367 - Mar. 16) (BR. 02A) SB-2 PRECISION OPTICS CORPORATION INC, 22 EAST BROADWAY, GARDNER, MA, 01440-3338, 9786301800 - 20,000,000 ($9,000,000.00) Equity, (File 333-141368 - Mar. 16) (BR. 10C) S-3 UNIVERSAL DISPLAY CORP \PA\, 6096710980 - 37,075 ($467,886.50) Equity, (File 333-141369 - Mar. 16) (BR. 10C) S-8 SILICON IMAGE INC, 1060 EAST ARQUES AVE, SUNNYVALE, CA, 94085, 4086164000 - 0 ($45,793,604.53) Equity, (File 333-141370 - Mar. 16) (BR. 10C) S-8 MTC TECHNOLOGIES INC, 0 ($20,000,000.00) Other, (File 333-141371 - Mar. 16) (BR. 03C) SB-2 WUHAN GENERAL GROUP (CHINA), INC, CANGLONGDAO SCIENCE PARK OF WUHAN, EAST LAKE HI-TECH DEVELOPMENT ZONE, WUHAN, HUBEI, F4, 430200, 011 86 138 7113 6999 - 31,433,476 ($93,671,760.00) Equity, (File 333-141372 - Mar. 16) (BR. 09B) S-8 CALIPER LIFE SCIENCES INC, 68 ELM STREET, ., HOPKINTON, MA, 01748, 508-435-9500 - 0 ($29,355,209.00) Equity, (File 333-141373 - Mar. 16) (BR. 10A) N-2 BlackRock International Growth & Income Trust, 40 EAST 52ND STREET, NEW YORK, NY, 10022, 212-810-5300 - 50,000 ($1,000,000.00) Equity, (File 333-141374 - Mar. 16) (BR. 17) SB-2 Commerce Planet, 404 EAST 1ST STREET, 1345, LONG BEACH, CA, 90802, 562-983-5331 - 11,893,500 ($23,430,195.00) Equity, (File 333-141375 - Mar. 16) (BR. 11A) S-8 CUTERA INC, 3240 BAYSHORE BOULEVARD, BRISBANE, CA, 94005, 94005 - 905,757 ($27,775,684.00) Equity, (File 333-141376 - Mar. 16) (BR. 10A) N-2 THAI CAPITAL FUND INC, ONE EVERTRUST PLAZA- 9TH FL, DAIWA SECURITIES TRUST CO, JERSEY CITY, NJ, 07302-3051, 201-915-3054 - 0 ($1,000,000.00) Equity, (File 333-141377 - Mar. 16) (BR. 18) S-4 BANNER CORP, 10 S FIRST AVENUE, WALLA WALLA, WA, 99362, 5095273636 - 819,277 ($10,556,640.00) Equity, (File 333-141378 - Mar. 16) (BR. 07A) S-8 BLUE NILE INC, 705 FIFTH AVE S, STE 900, SEATTLE, WA, 98104, 2063366700 - 0 ($33,283,240.20) Equity, (File 333-141379 - Mar. 16) (BR. 02C) SB-2 FSB Community Bankshares Inc, 45 SOUTH MAIN STREET, FAIRPORT, NY, 14450, (585) 223-9080 - 1,305,308 ($13,053,080.00) Equity, (File 333-141380 - Mar. 16) (BR. ) SB-2 China Media Group CORP, 9901 I.H. 10 WEST, SUITE 800, SAN ANTONIO, TX, 78230, 01186755 61657704 - 5,208,333 ($260,416.65) Debt Convertible into Equity, 48,750,000 ($2,437,500.00) Equity, (File 333-141381 - Mar. 16) (BR. 09A) N-2 Kohlberg Capital CORP, 295 MADISON AVENUE, 6TH FLOOR, NEW YORK, NY, 10017, 212-455-8300 - 57,555 ($884,620.35) Equity, (File 333-141382 - Mar. 16) (BR. 18) S-8 SUPPORTSOFT INC, 575 BROADWAY, REDWOOD, CA, 94063, 650 556-1194 - 0 ($11,540,000.00) Equity, (File 333-141383 - Mar. 16) (BR. 03B) SB-2 Aspen Racing Stables, 211 MISTY MORNING DRIVE, ALBERTA, A0, T3Z 2Z8, 403-237-8573 - 1,000,000 ($300,000.00) Equity, (File 333-141384 - Mar. 16) (BR. ) S-3ASR Copano Energy, L.L.C., 2727 ALLEN PARKWAY, SUITE 1200, HOUSTON, TX, 77019, 713-621-9547 - 0 ($231,030,622.00) Equity, (File 333-141385 - Mar. 16) (BR. 02C) S-8 Kohlberg Capital CORP, 295 MADISON AVENUE, 6TH FLOOR, NEW YORK, NY, 10017, 212-455-8300 - 1,500,000 ($23,115,000.00) Equity, (File 333-141386 - Mar. 16) (BR. 18) 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 ------------------------------------------------------------------------------------------------------- 360 GLOBAL WINE CO NV 5.02,8.01,9.01 03/07/07 AMEND 4 KIDS ENTERTAINMENT INC NY 2.02,9.01 03/16/07 Adams Respiratory Therapeutics, Inc. DE 8.01,9.01 03/16/07 ADMINISTAFF INC \DE\ DE 8.01 03/16/07 AeroGrow International, Inc. NV 3.02,7.01,9.01 03/12/07 AeroGrow International, Inc. NV 3.02,7.01,9.01 03/12/07 Aircastle LTD D0 8.01,9.01 03/14/07 Aircastle LTD D0 2.02,9.01 12/31/06 AIRTRAN HOLDINGS INC NV 7.01,9.01 03/14/07 AKSYS LTD DE 2.01 03/07/07 Alexza Pharmaceuticals Inc. DE 5.02 03/12/07 ALFA CORP DE 2.02,9.01 03/16/07 ALLEGHENY ENERGY, INC MD 1.01,9.01 03/12/07 ALLIED HEALTHCARE PRODUCTS INC DE 1.01 03/16/07 ALPHARMA INC DE 7.01,9.01 03/16/07 ALTERNATIVE ENERGY SOURCES INC 7.01,9.01 03/16/07 Alternative Loan Trust 2007-4CB 8.01,9.01 02/27/06 Alternative Loan Trust 2007-5CB 8.01,9.01 02/27/07 AMERICAN AIRLINES INC DE 7.01 03/16/07 AMERICAN CELLULAR CORP /DE/ 1.01,2.03,8.01,9.01 03/15/07 American Home Mortgage Assets Trust 2 DE 9.01 02/28/07 AMERICAN INTERNATIONAL GROUP INC DE 8.01,9.01 03/15/07 AMERICAN ITALIAN PASTA CO DE 1.01,8.01,9.01 03/13/07 AMERICAN ORIENTAL BIOENGINEERING INC CO 2.02,9.01 03/12/07 AMH Holdings, Inc. DE 2.02,9.01 03/16/07 Ammex Gold Mining Corp. 4.01,9.01 08/18/06 AMEND AMR CORP DE 7.01 03/16/07 ANALYTICAL SURVEYS INC CO 8.01,9.01 03/16/07 ANNTAYLOR STORES CORP DE 2.02,9.01 03/16/07 APEX SILVER MINES LTD 2.02,9.01 03/16/07 APPLIX INC /MA/ MA 2.02 02/08/07 AMEND ARBINET THEXCHANGE INC DE 5.02,9.01 03/16/07 ARBINET THEXCHANGE INC DE 1.01,5.02 09/25/06 AMEND ARGONAUT GROUP INC DE 1.01,9.01 03/14/07 Arran Funding LTD XX 8.01,9.01 03/15/07 ARTESIAN RESOURCES CORP DE 1.01,9.01 03/13/07 ARVANA INC NV 5.02 03/12/07 ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 03/15/07 ASSOCIATED MATERIALS INC DE 2.02,9.01 03/16/07 ATS MEDICAL INC MN 1.01,3.02,9.01 03/15/07 AUTOBYTEL INC DE 5.02 03/13/07 AVATAR HOLDINGS INC DE 2.02,7.01,9.01 03/16/07 AVP INC DE 5.02,9.01 03/12/07 BABYUNIVERSE, INC. FL 1.01,9.01 03/13/07 BALLY TOTAL FITNESS HOLDING CORP DE 8.01,9.01 03/15/07 BALLY TOTAL FITNESS HOLDING CORP DE 8.01,9.01 03/15/07 AMEND BAXTER INTERNATIONAL INC DE 5.02,9.01 03/15/07 Bear Stearns Asset Backed Securities DE 9.01 01/30/07 BEARINGPOINT INC DE 1.01 03/15/07 BEICANG IRON & STEEL INC NV 8.01,9.01 02/22/07 BELL INDUSTRIES INC /NEW/ CA 1.01,9.01 03/12/07 Benda Pharmaceutical, Inc. MN 4.01,9.01 01/09/07 AMEND BENIHANA INC DE 1.01,2.03,9.01 03/15/07 BERKSHIRE HILLS BANCORP INC 5.02,9.01 03/15/07 BIG 5 SPORTING GOODS CORP DE 5.02,9.01 03/12/07 BIODELIVERY SCIENCES INTERNATIONAL IN DE 1.01,2.03,9.01 03/12/07 BioMETRX DE 1.01,7.01,9.01 03/08/07 BIOSPHERE MEDICAL INC DE 5.02 03/12/07 BISYS GROUP INC DE 2.02,9.01 03/15/07 BLACK HILLS CORP /SD/ SD 5.04,9.01 03/16/07 BLUE RIDGE PAPER PRODUCTS INC 2.02,9.01 03/16/07 BODYTEL SCIENTIFIC INC. NV 8.01,9.01 03/16/07 BOSTON PRIVATE FINANCIAL HOLDINGS INC MA 5.02 03/15/07 BOYD GAMING CORP NV 2.04,9.01 03/16/07 BRALORNE MINING CO NV 4.01 03/06/07 BRIGHTSTAR INFORMATION TECHNOLOGY GRO DE 4.01,9.01 03/09/07 AMEND BROADCASTER INC CA 3.02,5.02,8.01 03/14/07 Brookdale Senior Living Inc. DE 5.02 03/12/07 BROOKE CORP KS 9.01 01/08/07 AMEND BUCKEYE TECHNOLOGIES INC DE 5.02 03/15/07 BUTLER NATIONAL CORP DE 2.02,8.01,9.01 03/16/07 CACHE INC FL 2.02 03/16/07 CALLIDUS SOFTWARE INC 5.02,9.01 03/16/07 CANEUM INC NV 9.01 12/29/06 AMEND CAPITAL LEASE FUNDING INC 1.01,9.01 03/14/07 CapitalSouth Bancorp DE 5.02 03/13/07 CAREMARK RX INC DE 8.01,9.01 03/16/07 CARNIVAL PLC 2.02,9.01 03/16/07 CATERPILLAR FINANCIAL SERVICES CORP DE 5.02 03/16/07 CBOT HOLDINGS INC DE 8.01,9.01 03/15/07 CBS CORP DE 5.02,9.01 03/13/07 CENTENE CORP 8.01,9.01 03/15/07 Centennial Bank Holdings, Inc. DE 4.02 03/12/07 CenterStaging Corp. DE 5.02,9.01 03/13/07 CENTRAL FEDERAL CORP DE 8.01,9.01 03/16/07 CENTURY CASINOS INC /CO/ DE 2.02 03/16/07 CENVEO, INC CO 4.01,9.01 03/14/07 CHEESECAKE FACTORY INC DE 8.01,9.01 03/15/07 CHEMBIO DIAGNOSTICS, INC. NV 7.01,9.01 03/16/07 CHENIERE ENERGY INC DE 1.01,9.01 03/12/07 CHESAPEAKE ENERGY CORP OK 8.01,9.01 03/13/07 CHICOPEE BANCORP, INC. 8.01,9.01 03/16/07 CIGNA CORP DE 8.01,9.01 03/15/07 CIT GROUP INC DE 8.01,9.01 03/13/07 CITIZENS BANKING CORP MI 2.01,9.01 12/29/06 AMEND CITIZENS FINANCIAL CORP/DE/ DE 5.02 03/14/07 CITRIX SYSTEMS INC DE 3.01,7.01,9.01 03/15/07 CLEVELAND CLIFFS INC OH 8.01 03/16/07 CLICKNSETTLE COM INC DE 5.02 03/16/07 CNH CAPITAL RECEIVABLES LLC DE 8.01,9.01 03/16/07 COAST DISTRIBUTION SYSTEM INC DE 2.02,9.01 03/13/07 COLOMBIA GOLDFIELDS LTD 5.02,8.01 03/14/07 COMMERCE BANCORP INC /NJ/ NJ 8.01 03/15/07 COMMUNITY BANCORP /VT VT 8.01 03/16/07 COMMUNITY VALLEY BANCORP CA 8.01,9.01 03/16/07 COMPUMED INC DE 1.01,3.02 03/12/07 COMPUTER SOFTWARE INNOVATIONS INC 9.01 12/29/06 AMEND Consolidated Communications Holdings, DE 5.02,9.01 03/12/07 CORRECTIONS CORP OF AMERICA MD 5.02,9.01 03/16/07 COST U LESS INC WA 1.01,9.01 03/16/07 CREDIT ACCEPTANCE CORPORATION MI 5.02,7.01,9.01 03/15/07 CREDIT SUISSE COMMERCIAL MORTGAGE TRU DE 9.01 03/16/07 CRESCENT REAL ESTATE EQUITIES CO TX 2.02,9.01 03/16/07 CRONOS GROUP 2.02,9.01 03/16/07 CTS CORP IN 1.01,9.01 03/13/07 CULP INC NC 5.02,9.01 03/13/07 CYBERTEL CAPITAL CORP NV 4.01,9.01 03/16/07 DANAHER CORP /DE/ DE 5.03,9.01 03/13/07 DARLING INTERNATIONAL INC DE 2.02,9.01 03/13/07 DEVCON INTERNATIONAL CORP FL 1.01,1.02,7.01,9.01 03/12/07 DEVELOPERS DIVERSIFIED REALTY CORP OH 1.01,2.03,3.02,8.01,9.01 03/12/07 DICKS SPORTING GOODS INC DE 2.02,9.01 03/13/07 DigiCurve, Inc. NV 8.01 03/15/07 Directed Electronics, Inc. FL 2.02,9.01 03/16/07 DOBSON COMMUNICATIONS CORP OK 1.01,2.03,8.01,9.01 03/15/07 DOCUMENT SCIENCES CORP DE 2.02,9.01 03/15/07 DOW JONES & CO INC DE 5.02,9.01 03/14/07 E PRIME AEROSPACE CORP CO 5.02,8.01,9.01 03/10/07 Eddie Bauer Holdings, Inc. DE 7.01,9.01 03/14/07 AMEND EDIETS COM INC DE 8.01 03/14/07 EMERGE INTERACTIVE INC DE 1.03,9.01 03/15/07 EMVELCO CORP. DE 1.01,9.01 03/16/07 Energy Transfer Partners, L.P. DE 7.01 03/16/07 ENGLOBAL CORP NV 2.02,9.01 03/15/07 ENVIRONMENTAL CONTROL CORP. NV 3.02 03/15/07 EQUITY ONE, INC. 5.02 03/16/07 EUROBANCSHARES INC 1.01,5.02,9.01 03/13/07 EXACTECH INC FL 4.02 03/15/07 EXPRESS SCRIPTS INC DE 8.01,9.01 03/16/07 FAIR ISAAC CORP DE 5.02 03/12/07 FCB Bancorp CA 5.01 03/12/07 FCStone Group, Inc. IA 8.01,9.01 03/16/07 FEDERAL AGRICULTURAL MORTGAGE CORP 2.02,9.01 03/15/07 FedFirst Financial CORP X1 2.02,8.01,9.01 03/15/07 First California Financial Group, Inc DE 2.01,3.02,5.02,5.03,5.05,9.01 03/12/07 FIRST CHARTER CORP /NC/ NC 3.01,8.01,9.01 03/16/07 FIRST REAL ESTATE INVESTMENT TRUST OF NJ 8.01 03/15/07 FLATBUSH FEDERAL BANCORP INC 2.02,9.01 03/14/07 FREESTAR TECHNOLOGY CORP NV 8.01 03/15/07 FREESTAR TECHNOLOGY CORP NV 1.02,8.01 03/15/07 FREMONT GENERAL CORP NV 8.01,9.01 03/16/07 FRIEDMAN INDUSTRIES INC TX 4.01,9.01 03/07/07 AMEND FURNITURE BRANDS INTERNATIONAL INC DE 8.01,9.01 03/16/07 GAMEZNFLIX INC NV 1.01,9.01 08/01/06 GASTAR EXPLORATION LTD 3.01 03/15/07 GENAERA CORP DE 2.02,9.01 03/14/07 GENERAL CABLE CORP /DE/ DE 1.01,8.01,9.01 03/15/07 GENITOPE CORP DE 2.02,9.01 03/13/07 GEORGIA GULF CORP /DE/ DE 1.01,8.01,9.01 03/14/07 GERON CORP DE 2.02,9.01 03/16/07 GETTY IMAGES INC DE 1.01,9.01 03/12/07 GOODRICH PETROLEUM CORP DE 2.02,9.01 03/13/07 GRAY TELEVISION INC GA 2.02,9.01 03/15/07 GSAMP Trust 2007-FM1 DE 8.01 03/02/07 GSAMP Trust 2007-FM2 DE 8.01 03/02/07 GSAMP Trust 2007-NC1 DE 8.01 02/27/07 GYRODYNE CO OF AMERICA INC NY 8.01,9.01 03/13/07 HANGER ORTHOPEDIC GROUP INC DE 1.01,9.01 03/12/07 HARTFORD LIFE INSURANCE CO CT 9.01 03/16/07 HAYES LEMMERZ INTERNATIONAL INC DE 1.01,2.02,9.01 03/16/07 HAYES LEMMERZ INTERNATIONAL INC DE 1.01,2.02,9.01 03/16/07 AMEND HEALTH CARE REIT INC /DE/ DE 8.01 03/12/07 HEALTH ENHANCEMENT PRODUCTS INC NV 3.02 03/16/07 HEINZ H J CO PA 5.02 03/14/07 HEWLETT PACKARD CO DE 5.03,8.01,9.01 03/14/07 HOLLIS EDEN PHARMACEUTICALS INC /DE/ DE 2.02,9.01 03/16/07 HOLMES FUNDING LTD 8.01,9.01 03/16/07 Home Equity Mortgage Pass-Through Cer DE 7.01 03/16/07 HOOKER FURNITURE CORP VA 2.02,9.01 03/15/07 HORTON D R INC /DE/ DE 2.04,9.01 03/15/07 HUNGARIAN TELEPHONE & CABLE CORP DE 5.02 03/12/07 HYDROGEN POWER INC DE 1.01,9.01 03/12/07 IBERIABANK CORP LA 4.01,9.01 03/13/07 iBroadband, Inc. NV 1.01,5.02 03/16/07 IBT BANCORP INC PA 8.01,9.01 03/16/07 IDT CORP DE 5.02,5.05,8.01,9.01 03/13/07 IKON OFFICE SOLUTIONS INC OH 8.01,9.01 03/16/07 IMAGIN MOLECULAR CORP DE 8.01 03/13/07 INDEPENDENT BANK CORP MI 5.02,8.01 03/12/07 Ingen Technologies, Inc. 1.01,9.01 03/15/07 INNOFONE COM INC NV 1.01,2.03,3.02,9.01 03/12/07 INOVIO BIOMEDICAL CORP 5.02 03/16/07 INSIGHT HEALTH SERVICES HOLDINGS CORP 1.01,9.01 03/15/07 INSMED INC VA 1.01,2.02,9.01 03/16/07 INTEGRATED DATA CORP DE 1.01,9.01 03/15/07 INTERDENT SERVICE CORP WA 3.03,9.01 03/15/07 INTERMOUNTAIN COMMUNITY BANCORP ID 5.02 03/14/07 INTERNATIONAL ASSETS HOLDING CORP DE 8.01 03/16/07 INTERNATIONAL BANCSHARES CORP TX 7.01 03/16/07 INTERNATIONAL ELECTRONICS INC MA 8.01 03/16/07 INTERNATIONAL PAPER CO /NEW/ NY 5.02 03/12/07 INTERNATIONAL WIRE GROUP INC DE 4.02 03/16/07 INTERNET COMMERCE CORP DE 2.02,9.01 03/15/07 INTRUSION INC DE 1.01,3.02,8.01,9.01 03/15/07 INVERNESS MEDICAL INNOVATIONS INC DE 1.01,2.01,3.02,9.01 03/12/07 INVESTORS REAL ESTATE TRUST ND 8.01,9.01 03/16/07 IPG PHOTONICS CORP DE 5.02 03/14/07 IRVINE SENSORS CORP/DE/ DE 9.01 12/29/06 AMEND ISLE OF CAPRI CASINOS INC DE 3.01,9.01 03/16/07 JACOBS ENGINEERING GROUP INC /DE/ DE 5.03,9.01 03/14/07 James River Coal CO VA 2.02,9.01 03/16/07 JEFFERSONVILLE BANCORP NY 8.01,9.01 03/14/07 JENNIFER CONVERTIBLES INC DE 8.01 03/15/07 JUPITERMEDIA CORP DE 7.01 03/14/07 KANSAS CITY LIFE INSURANCE CO MO 2.02 03/16/07 KELLWOOD CO DE 2.02,9.01 03/16/07 KINTERA INC 5.02 02/28/07 LADISH CO INC WI 4.01,9.01 03/12/07 LANCASTER COLONY CORP OH 1.01,9.01 03/14/07 LEHMAN ABS CORP BACKED TRUST CERTS SE DE 8.01,9.01 02/26/07 LEHMAN ABS CORP DAIMLERCHRYSLER DEBEN DE 8.01,9.01 03/01/07 LENOX GROUP INC DE 2.02,9.01 03/15/07 LEVEL 3 COMMUNICATIONS INC DE 1.01,1.02,2.03,8.01,9.01 03/13/07 Lightstone Value Plus Real Estate Inv MD 8.01 03/16/07 LINCOLN NATIONAL CORP IN 1.01 03/14/07 Linens Holding Co. DE 2.02,9.01 03/15/07 LITHIUM TECHNOLOGY CORP DE 5.02 03/15/07 LODGENET ENTERTAINMENT CORP DE 8.01,9.01 03/15/07 LOUD TECHNOLOGIES INC WA 2.02,9.01 03/16/07 MADISON GAS & ELECTRIC CO WI 8.01 03/14/07 MAGMA DESIGN AUTOMATION INC DE 1.01,2.03,3.02,9.01 03/14/07 MAIR HOLDINGS INC MN 1.01 03/12/07 MAKEMUSIC, INC. MN 5.02 03/15/07 MANITOWOC CO INC WI 7.01,9.01 03/15/07 MANNATECH INC TX 2.02,9.01 03/15/07 MAPINFO CORP DE 1.01,8.01,9.01 03/14/07 MATRIX SERVICE CO DE 8.01,9.01 03/16/07 MDC PARTNERS INC A6 7.01,9.01 03/15/07 MediaREADY Inc FL 4.01,9.01 03/14/07 MEDICALCV INC MN 7.01,9.01 03/16/07 MERIDIAN RESOURCE CORP TX 2.02,8.01,9.01 03/12/07 MERRILL LYNCH & CO INC DE 8.01,9.01 03/14/07 MERRILL LYNCH MORTGAGE INVESTORS INC DE 9.01 03/02/07 MGE ENERGY INC WI 8.01 03/14/07 MGP INGREDIENTS INC KS 7.01,9.01 03/16/07 MICROHELIX INC OR 1.01,2.03,3.02,5.02,9.01 03/12/07 MICRON ENVIRO SYSTEMS INC NV 8.01,9.01 03/14/07 MIDWEST AIR GROUP INC WI 8.01,9.01 03/12/07 Mill Basin Technologies, Ltd. NV 4.01,9.01 01/17/07 AMEND MIPS TECHNOLOGIES INC DE 3.01,9.01 03/14/07 MIVA, INC. DE 2.02,9.01 03/14/07 MMC ENERGY, INC. DE 5.02 03/12/07 MONONGAHELA POWER CO /OH/ OH 1.01,9.01 03/12/07 MOOG INC NY 8.01,9.01 03/16/07 Morgans Hotel Group Co. DE 2.01,8.01 02/02/07 AMEND MOVENTIS CAPITAL, INC. DE 1.01,5.02,9.01 03/13/07 NABI BIOPHARMACEUTICALS DE 2.02,9.01 03/12/07 AMEND NABI BIOPHARMACEUTICALS DE 2.02,9.01 03/12/07 AMEND NABO Inc. NV 5.01,5.02,8.01 03/06/07 NATIONAL DENTEX CORP /MA/ MA 2.02,9.01 03/16/07 NATIONAL HEALTH INVESTORS INC MD 8.01 12/31/06 NATIONAL HEALTH REALTY INC MD 2.02 12/31/06 NATIONAL HEALTHCARE CORP DE 2.02 12/31/06 NATIONAL RURAL UTILITIES COOPERATIVE DC 2.03,7.01,9.01 03/16/07 NEOSE TECHNOLOGIES INC DE 2.02,2.05,9.01 03/16/07 NeoStem, Inc. DE 7.01,9.01 03/15/07 NESCO INDUSTRIES INC NV 5.02 03/13/07 NETRATINGS INC DE 2.02,9.01 03/16/07 Neuralstem, Inc. DE 3.02,9.01 03/15/07 NEURO-HITECH PHARMACEUTICALS INC DE 9.01 11/29/06 AMEND NEW FRONTIER ENERGY INC CO 3.02,8.01,9.01 01/16/07 AMEND NEW YORK COMMUNITY BANCORP INC DE 8.01,9.01 03/15/07 NEW YORK MORTGAGE TRUST INC MD 2.02,7.01,9.01 03/15/07 NEWS CORP 8.01,9.01 03/16/07 NEXT INC/TN DE 5.02,9.01 03/15/07 NOBLE INTERNATIONAL, LTD. DE 1.01,7.01,9.01 03/16/07 NOBLE INTERNATIONAL, LTD. DE 7.01 03/16/07 NORCROSS SAFETY PRODUCTS LLC DE 5.02 03/16/07 NORTEL NETWORKS CORP 4.01,9.01 03/16/07 NORTEL NETWORKS CORP 2.02,4.02,8.01,9.01 03/16/07 NORTEL NETWORKS LTD 4.01,9.01 03/16/07 NORTEL NETWORKS LTD 2.02,4.02,8.01,9.01 03/16/07 NORTH PITTSBURGH SYSTEMS INC PA 2.02,9.01 03/16/07 NORTHWEST AIRLINES CORP DE 1.01 03/13/07 NORTHWEST BIOTHERAPEUTICS INC DE 2.03 03/12/07 Novori Inc. DE 8.01 03/16/07 NTN BUZZTIME INC DE 5.02 03/12/07 NTS REALTY HOLDINGS LP DE 2.01,9.01 03/14/07 O A K FINANCIAL CORP MI 8.01,9.01 03/16/07 OMEGA PROTEIN CORP NV 1.01,9.01 03/16/07 OMI CORP/M I 8.01,9.01 03/16/07 OMTOOL LTD DE 2.01,9.01 12/29/06 AMEND OUTDOOR CHANNEL HOLDINGS INC 2.02,9.01 03/16/06 PACIFIC GAS & ELECTRIC CO CA 8.01 03/15/07 PACIFIC VEGAS GLOBAL STRATEGIES INC CO 5.02 03/15/07 PEAPACK GLADSTONE FINANCIAL CORP NJ 5.03,9.01 03/15/07 PEAPACK GLADSTONE FINANCIAL CORP NJ 8.01,9.01 03/15/07 PEDIATRIX MEDICAL GROUP INC FL 1.01,9.01 03/15/07 PENN TREATY AMERICAN CORP PA 2.02,9.01 03/15/07 PETROQUEST ENERGY INC DE 8.01 03/14/07 PG&E CORP CA 8.01 03/15/07 PHARMACOPEIA DRUG DISCOVERY INC DE 2.02,9.01 03/14/07 AMEND PharmaNet Development Group Inc DE 8.01 03/12/07 PINNACLE AIRLINES CORP DE 1.01,9.01 03/15/07 PINNACLE DATA SYSTEMS INC OH 2.02,9.01 03/15/07 PITNEY BOWES INC /DE/ DE 8.01,9.01 03/15/07 PLM EQUIPMENT GROWTH FUND V CA 2.01,9.01 03/16/07 PLM EQUIPMENT GROWTH FUND VI CA 2.01,9.01 03/16/07 PLUG POWER INC DE 1.01,9.01 03/15/07 PMA CAPITAL CORP PA 5.02 03/12/07 POINT THERAPEUTICS INC DE 2.02,9.01 03/16/07 PPL CORP PA 8.01 03/15/07 PRG SCHULTZ INTERNATIONAL INC GA 3.02 03/12/07 PRIDE BUSINESS DEVELOPMENT HOLDINGS, 4.01 03/13/07 AMEND PRIMUS TELECOMMUNICATIONS GROUP INC DE 1.01,9.01 02/23/07 AMEND PROFESSIONAL LEASE MANAGEMENT INCOME DE 2.01 03/16/07 PROTECTION ONE INC DE 1.01,2.02,2.03,9.01 03/13/07 PROVIDENCE SERVICE CORP DE 2.02,7.01,9.01 03/14/07 PS BUSINESS PARKS INC/CA CA 1.01,3.02,5.03,7.01,9.01 03/16/07 PUBLIC STORAGE INC /CA CA 5.03,9.01 03/16/07 PURE VANILLA EXCHANGE INC NV 9.01 03/16/07 AMEND PXRE GROUP LTD 1.01,5.02,9.01 03/13/07 QUIKSILVER INC DE 5.02,9.01 03/16/07 RADIAN GROUP INC DE 7.01,9.01 02/06/07 AMEND RADIO ONE INC DE 8.01,9.01 03/16/07 RESPIRONICS INC DE 7.01 03/16/07 Robcor Properties Inc 1.01,2.01,3.02,3.03,5.01,5.02, 03/12/07 5.03,5.06,9.01 Rockville Financial Inc. 4.02 03/12/07 Rosetta Resources Inc. DE 7.01 03/15/07 Rosetta Resources Inc. DE 7.01,9.01 03/15/07 RUBICON FINANCIAL INC DE 1.01,3.02,5.02,8.01,9.01 02/01/07 Safety Products Holdings, Inc. DE 5.02 03/16/07 SALEM COMMUNICATIONS CORP /DE/ DE 5.02 03/14/06 SAVIENT PHARMACEUTICALS INC DE 2.02,9.01 03/14/07 SBE INC DE 2.02,7.01,9.01 01/31/07 SCHERING PLOUGH CORP NJ 8.01,9.01 03/12/07 SCHMITT INDUSTRIES INC OR 3.01 03/16/07 SCIENTIFIC INDUSTRIES INC DE 1.01 03/15/07 SCOLR Pharma, Inc. DE 1.02,9.01 03/14/07 SEACOAST BANKING CORP OF FLORIDA FL 5.02 03/12/07 SEDONA CORP PA 5.02 03/12/07 SEI INVESTMENTS CO PA 8.01,9.01 03/15/07 SHENANDOAH TELECOMMUNICATIONS CO/VA/ VA 1.01,9.01 03/13/07 SHUFFLE MASTER INC MN 8.01,9.01 03/13/07 SIERRA BANCORP CA 5.02 03/15/07 SIGNATURE EYEWEAR INC CA 8.01 03/14/07 SILVERADO GOLD MINES LTD A1 8.01,9.01 03/13/07 SIRVA INC DE 1.01,8.01,9.01 03/13/07 SOLECTRON CORP DE 5.02 03/14/07 SOLITARIO RESOURCES CORP CO 1.01 03/14/07 SONIC AUTOMOTIVE INC DE 5.02 03/13/07 SOUTHWALL TECHNOLOGIES INC /DE/ DE 1.01 03/16/07 SOUTHWEST WATER CO DE 8.01,9.01 03/16/07 SPARTECH CORP DE 2.02,8.01,9.01 03/12/07 SS&C TECHNOLOGIES INC DE 5.02 03/12/07 STAGE STORES INC NV 8.01,9.01 03/14/07 Stereotaxis, Inc. DE 1.01,9.01 03/15/07 STERLING CHEMICALS INC DE 1.01,3.03,8.01,9.01 03/16/07 STONEMOR PARTNERS LP DE 2.02,9.01 03/16/07 STRATEGIC DISTRIBUTION INC DE 8.01,9.01 03/15/07 STRATEGIC DISTRIBUTION INC DE 8.01,9.01 03/15/07 STRATEGIC HOTELS & RESORTS, INC 5.02 02/20/07 AMEND STRATUS PROPERTIES INC DE 2.02,9.01 03/15/07 Structured Asset Mortgage Investments DE 9.01 02/28/07 Sun American Bancorp DE 8.01,9.01 03/09/07 SUN-TIMES MEDIA GROUP INC DE 8.01 03/14/07 SUPERCLICK INC WA 7.01,9.01 03/15/07 SYMYX TECHNOLOGIES INC DE 5.02 03/12/07 T-3 ENERGY SERVICES INC TX 2.02,9.01 03/16/07 TALEO CORP DE 2.02,9.01 02/15/07 AMEND TANOX INC DE 2.02,9.01 03/15/07 TAPESTRY PHARMACEUTICALS, INC DE 1.01 03/16/07 TERAYON COMMUNICATION SYSTEMS DE 7.01,9.01 03/16/07 THERMA WAVE INC DE 7.01,9.01 03/15/07 TITAN PHARMACEUTICALS INC DE 1.01,9.01 03/14/07 TRACK DATA CORP DE 5.02 03/16/07 TRAFFIX INC DE 8.01 03/16/07 TRANSACTION SYSTEMS ARCHITECTS INC DE 8.01,9.01 03/16/07 TRANSCOMMUNITY FINANCIAL CORP VA 5.02 03/12/07 TRANSMERIDIAN EXPLORATION INC DE 2.02,7.01,8.01,9.01 03/16/07 TransMontaigne Partners L.P. DE 9.01 12/29/06 AMEND TRIMERIS INC DE 5.02 03/15/07 TRIPOS INC UT 7.01,9.01 03/15/07 TRUE RELIGION APPAREL INC NV 5.02,9.01 03/14/07 TRUE RELIGION APPAREL INC NV 2.02,9.01 03/15/07 TRW AUTOMOTIVE HOLDINGS CORP DE 1.01,9.01 03/14/07 TULLYS COFFEE CORP 8.01,9.01 03/14/07 TXU CORP /TX/ TX 2.03,9.01 03/13/07 U S GOLD CORP CO 7.01,8.01,9.01 03/16/07 U S GOLD CORP CO 7.01,8.01,9.01 03/16/07 U S GOLD CORP CO 7.01,8.01,9.01 03/16/07 U S PHYSICAL THERAPY INC /NV NV 2.02 03/16/07 U S PHYSICAL THERAPY INC /NV NV 7.01 03/16/07 UNION BANKSHARES CO/ME ME 8.01,9.01 03/14/07 UNITY BANCORP INC /NJ/ NJ 8.01,9.01 03/16/07 UNIVERSAL HOSPITAL SERVICES INC MN 2.02,7.01,9.01 03/16/07 URANIUM RESOURCES INC /DE/ DE 8.01,9.01 03/16/07 US Oncology Holdings, Inc. DE 1.01,1.02,2.03,8.01,9.01 03/13/07 USAutos Series 2004-1 Trust DE 8.01,9.01 03/05/07 VALIDIAN CORP NV 1.01,3.02 03/09/07 VECTREN CORP IN 7.01 03/15/07 VIEWPOINT CORP DE 1.01,9.01 03/14/07 VIEWPOINT CORP DE 1.01,9.01 03/12/07 VISANT CORP 8.01,9.01 03/16/07 VISANT HOLDING CORP 8.01,9.01 03/16/07 VISTA GOLD CORP 1.01,8.01,9.01 03/16/07 VORNADO REALTY TRUST MD 1.01,9.01 03/15/07 WABASH NATIONAL CORP /DE DE 8.01,9.01 03/16/07 WATERFORD GAMING LLC DE 8.01 03/16/07 WAVE SYSTEMS CORP DE 2.02,9.01 03/15/07 AMEND WELLS REAL ESTATE FUND VI L P GA 7.01,9.01 03/16/07 WELLS REAL ESTATE FUND VII L P GA 7.01,9.01 03/16/07 WESCORP ENERGY INC 5.02,9.01 03/07/07 WHEELING PITTSBURGH CORP /DE/ DE 2.02,8.01,9.01 03/16/07 WHERIFY WIRELESS INC DE 5.02 03/12/07 Wilber CORP 8.01,9.01 03/15/07 WILLIAMS SONOMA INC CA 1.01,5.02 03/13/07 WILLIS GROUP HOLDINGS LTD D0 5.02,8.01,9.01 03/13/07 WMS INDUSTRIES INC /DE/ DE 5.02,9.01 03/13/07 WORLD ENERGY SOLUTIONS, INC. FL 8.01,9.01 03/15/07 YARDVILLE NATIONAL BANCORP NJ 8.01,9.01 03/16/07 YELLOWCAKE MINING INC. NV 1.01,3.02,9.01 03/14/07 ZEVEX INTERNATIONAL INC NV 2.01,3.01,3.03,5.01,5.02,5.03, 03/16/07 9.01