SEC NEWS DIGEST Issue 2007-98 May 22, 2007 COMMISSION ANNOUNCEMENTS CHAIRMAN COX TO CONVENE SEC CHAIRMEN ROUNDTABLE SEC Chairman Christopher Cox today announced that on May 23, 2007, five former chairmen of the U.S. Securities and Exchange Commission will join him for a roundtable discussion. In addition to Chairman Cox, roundtable participants will include * William H. Donaldson, 2003-05, Chairman, Donaldson Enterprises * Roderick M. Hills, 1975-77, Partner, Hills and Stern LLP * Arthur Levitt, 1993-2001, Senior Advisor, The Carlyle Group * Harvey L. Pitt, 2001-03, CEO and Founder of Kalorama Partners * David S. Ruder, 1987-89, William W. Gurley Memorial Professor of Law at Northwestern School of Law The public roundtable is scheduled for 5:00 - 6:00 P.M., E.D.T., on May 23, 2007, and will be conducted in the Auditorium of the Commission's headquarters building at 100 F Street, N.E., Washington, D.C. The public is invited to attend on a space available basis. The event will also be webcast live at http://www.sec.gov/news/otherwebcasts.shtml. (Press Rel. 2007-98) ENFORCEMENT PROCEEDINGS COURT PERMANENTLY ENJOINS ALAN BROWN IN FRAUD AGAINST SENIOR CITIZENS On May 22, the U.S. District Court for the Eastern District of New York entered a partial consent judgment against defendant Alan Brown, of Wheatley Heights, New York, in an action filed last year by the Securities and Exchange Commission. Without admitting or denying the allegations of the Commission's complaint, Brown consented to the entry of a judgment by the Honorable Nicholas Garaufis permanently enjoining Brown from further violations of the antifraud and registration provisions of the federal securities laws. The Court also ordered that Brown pay disgorgement and prejudgment interest in an amount to be determined after further proceedings, and that it would also determine in those proceedings if Brown should be ordered to pay a civil money penalty and, if so, the amount of that penalty. The Commission's complaint alleged that Brown made numerous oral and written false and misleading statements to investors, primarily senior citizens, who were induced to purchase One Wall Street, Inc. common stock. The defendants, including Brown, raised at least $1.6 million from at least 64 investors. The litigation is continuing against the remaining defendants and the relief defendant. [SEC v. One Wall Street, Inc., Donte C. Jarvis, Alan Brown, Willis "Bill" White III, and Cecil Baptiste, a/k/a John Latorri, 06 Civ. 4217 (NGG) (ARL) (E.D.N.Y.)] (LR-20123) COURT ENTERS JUDGMENT OF SECURITIES FRAUD AGAINST GERALD AND MARIE LEVINE Former CEO Gerald H. Levine and Principal Financial Officer Marie A. Levine Ordered to Disgorge $217,368.59 and Penalized $200,000 On May 8, the Honorable Henry H. Kennedy, U.S. District Judge for the District of Columbia, entered judgment against defendants Gerald H. Levine and Marie A. Levine in the Commission's litigation against them for violations of the federal securities laws. In addition to finding both Levines liable for securities fraud and other federal securities law violations, the Court held the defendants jointly and severally liable for disgorgement of $217,368.59 plus prejudgment interest and ordered them to pay, jointly and severally, a civil penalty of $200,000. The Court also enjoined the Levines for a period of ten years from violating the anti-fraud provisions of the federal securities laws, and barred each of them for a period of ten years from serving as an officer or director of a public company. The judgment followed a December 2006 hearing during which the Court heard evidence on what remedies should be imposed as a result of the October 2003 jury verdict that found that the defendants had fraudulently overstated the assets of C.E.C. Industries Corporation (CEC) and filed false annual and quarterly reports with the Commission. In his Findings of Fact and Conclusions of Law, Judge Kennedy stated, among other things, that "[t]he Levines undertook a complex scheme of stealth and concealment by which they defrauded investors and brought financial gain to themselves," and that they were the "undisputed kingpins" of the scheme. Judge Kennedy further stated the Levines "utterly failed to acknowledge their wrongdoing or show contrition." The Commission's complaint, filed on Sept. 28, 1999, alleged that the Levines overstated CEC's assets in reports that they filed with the Commission for CEC's fiscal years 1996 and 1997. Gerald Levine was CEC's chief executive officer; his wife Marie was CEC's secretary- treasurer, and the company's principal financial officer. The complaint also alleged that the Levines, acting through another corporate entity, Wire to Wire Inc., profited from their fraud by selling CEC stock while they knew that they had overstated CEC's assets. In particular, the complaint alleged that the Levines overstated the value of two purported corporate assets: (1) a 9,000- acre tract of land in Tennessee that they claimed held 52 million tons of coal and substantial timber assets; and (2) forty one paintings by "Sky Jones," which they claimed had a value of $1.7 million. The Commission proved at trial that CEC (and its corporate affiliates) did not own the land and that the paintings were worth no more than $10,350. Previously, on Sept. 11, 2001, CEC settled the Commission's financial fraud charges against the company, without admitting or denying the allegations, by consenting to the entry of a final judgment that included a permanent injunction. Judge Kennedy specifically found that Gerald and Marie Levine each violated 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 Sections 17(a)(1), (2) and (3) of the Securities Act of 1933, and enjoined the Levines for a period of ten years from violating these provisions. The Court also barred the Levines for a period of ten years from serving as an officer or director of any issuer that has a class of securities registered pursuant to Section 12 of the Exchange Act, or that is required to file reports pursuant to Section 15(d) of the Exchange Act. For further background information, please see Litigation Release No. 18420 (Oct. 21, 2003), Litigation Release No. 17139 (Sept. 19, 2001) and Litigation Release No. 16299 (Sept. 28, 1999). [SEC v. Gerald H. Levine and Marie A. Levine, Civil Action No. 99 CIV 02568 (D.D.C.)] (LR-20124; AAE Rel. 2610) SELF-REGULATORY ORGANIZATIONS ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission granted accelerated approval to a proposed rule change filed by NYSE Arca (SR-NYSEArca-2007-36), as modified by Amendment No. 1 thereto, to establish generic listing standards for series of Investment Company Units and Portfolio Depositary Receipts based on fixed income indexes. Publication is expected in the Federal Register during the week of May 21. (Rel. 34-55783) 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 WIZZARD SOFTWARE CORP /CO, 5001 BAUM BOULEVARD, SUITE 770, PITTSBURGH, PA, 15213, 4126210902 - 200,000 ($430,000.00) Equity, (File 333-143102 - May. 21) (BR. 03B) S-8 WIZZARD SOFTWARE CORP /CO, 5001 BAUM BOULEVARD, SUITE 770, PITTSBURGH, PA, 15213, 4126210902 - 200,000 ($430,000.00) Equity, (File 333-143103 - May. 21) (BR. 03B) S-8 CARROLLTON BANCORP, 15 CHARLES PLZ STE 200, BALTIMORE, MD, 21201-3936, 4105364600 - 500,000 ($7,940,000.00) Other, (File 333-143104 - May. 21) (BR. 07B) S-3 SONOSITE INC, 21919 30TH DRIVE SE, BOTHELL, WA, 98021-3904, 4259511200 - 0 ($225,000,000.00) Unallocated (Universal) Shelf, (File 333-143105 - May. 21) (BR. 10C) S-1 HERTZ GLOBAL HOLDINGS INC, 225 BRAE BOULEVARD PARK RIDGE, NEW JERSEY, NY, 07656, 201-307-2619 - 0 ($1,131,513,750.00) Equity, (File 333-143108 - May. 21) (BR. 05C) S-3ASR BROCADE COMMUNICATIONS SYSTEMS INC, 0 ($0.00) Other, (File 333-143109 - May. 21) (BR. 03A) S-3ASR CVS CAREMARK CORP, ONE CVS DR., WOONSOCKET, RI, 02895, 4017651500 - 0 ($0.00) Debt, (File 333-143110 - May. 21) (BR. 01C) S-3 AVANT IMMUNOTHERAPEUTICS INC, 119 FOURTH AVE, NEEDHAM, MA, 02494, 7814330771 - 0 ($1.00) Other, (File 333-143112 - May. 21) (BR. 01C) S-8 ELOYALTY CORP, 150 FIELD DRIVE SUITE 250, LAKE FOREST, IL, 60045, 3122284500 - 0 ($11,125,970.88) Equity, (File 333-143114 - May. 21) (BR. 08A) S-8 APACHE CORP, 2000 POST OAK BLVD, STE 100, HOUSTON, TX, 77056-4400, 7132966000 - 15,000,000 ($1,137,750,000.00) Equity, (File 333-143115 - May. 21) (BR. 04B) S-8 GENTIVA HEALTH SERVICES INC, 3 HUNTINGTON QUADRANGLE 2S, MELVILLE, NY, 11747-8943, 6315017000 - 0 ($2,880,000.00) Equity, (File 333-143116 - May. 21) (BR. 01A) SB-2 ITEC ENVIRONMENTAL GROUP INC, 5300 CLAUS ROAD, RIVERBANK, CA, 95367, 2098483900 - 488,179,885 ($92,754,178.00) Equity, (File 333-143117 - May. 21) (BR. 06B) S-8 SP Holding CORP, 3317 THIRD AVENUE SOUTH,, SEATTLE,, WA, 98134, (206) 838-4670 - 3,600,000 ($8,028,000.00) Equity, (File 333-143118 - May. 21) (BR. 05C) S-8 PETROLEUM GEO SERVICES ASA, STRANDVEIEN 4, N-1366 LYSAKER, NORWAY, Q8, 00000, 0114767526600 - 2,250,000 ($57,892,500.00) ADRs/ADSs, (File 333-143120 - May. 21) (BR. 04C) S-3ASR LIFEPOINT HOSPITALS, INC., 103 POWELL COURT, SUITE 200, BRENTWOOD, TN, 37027, 615-372-8500 - 0 ($0.00) Other, (File 333-143121 - May. 21) (BR. 01B) SB-2 INTREPID TECHNOLOGY & RESOURCES, INC., 501 WEST BROADWAY, SUITE 200, IDAHO FALLS, ID, 83442, 2085295337 - 0 ($4,400,000.00) Debt Convertible into Equity, (File 333-143122 - May. 21) (BR. 06C) S-3 MDI, INC., 10226 SAN PEDRO AVENUE, SAN ANTONIO, TX, 78216, 210-582-2664 - 0 ($8,508,187.00) Equity, (File 333-143123 - May. 21) (BR. 10B) S-8 U-Store-It Trust, 6745 ENGLE ROAD, SUITE 300, CLEVELAND, OH, 44130, (440) 234-0700 - 3,900,000 ($69,147,000.00) Equity, (File 333-143124 - May. 21) (BR. 08C) S-8 U-Store-It Trust, 6745 ENGLE ROAD, SUITE 300, CLEVELAND, OH, 44130, (440) 234-0700 - 3,000,000 ($3,000,000.00) Other, (File 333-143125 - May. 21) (BR. 08C) S-8 U-Store-It Trust, 6745 ENGLE ROAD, SUITE 300, CLEVELAND, OH, 44130, (440) 234-0700 - 1,000,000 ($1,000,000.00) Other, (File 333-143126 - May. 21) (BR. 08C) SB-2 YTB International, Inc., 560 SYLVAN AVENUE, ENGLEWOOD CLIFFS, NJ, 07632, 2015678500 - 200,000 ($786,000.00) Equity, (File 333-143127 - May. 21) (BR. 05C) S-8 WEST PHARMACEUTICAL SERVICES INC, 101 GORDON DR, P O BOX 645, LIONVILLE, PA, 19341-0645, 6105942900 - 4,100,000 ($197,948,000.00) Equity, (File 333-143129 - May. 21) (BR. 06B) S-8 THRESHOLD PHARMACEUTICALS INC, 1300 SEAPORT BOULEVARD, REDWOOD CITY, CA, 94063, 650 474 8200 - 1,214,402 ($1,858,035.06) Equity, (File 333-143130 - May. 21) (BR. 01C) S-3 STAAR SURGICAL CO, 1911 WALKER AVE, MONROVIA, CA, 91016, 6263037902 - 0 ($327,600.00) Equity, (File 333-143131 - May. 21) (BR. 10C) S-8 US BioEnergy CORP, 5500 CENEX DRIVE, MAIL STATION 175, INVER GROVE HEIGHTS, MN, 55077, (651) 355-8300 - 0 ($41,957,236.88) Equity, (File 333-143132 - May. 21) (BR. 06A) S-3 NOVA BIOSOURCE FUELS, INC., 2777 ALLEN PARKWAY, SUITE 860, HOUSTON, TX, 77019, 7138696682 - 0 ($200,000,000.00) Equity, (File 333-143133 - May. 21) (BR. 04A) F-3ASR Lan Airlines SA, AVENIDA AMERICO VESPUCIO, SUR NO 901 RENCA, SANTIAGO DE CHILE, F3, 00000, 5625652525 - 0 ($0.00) Equity, (File 333-143134 - May. 21) (BR. 05C) 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 ------------------------------------------------------------------------------------------------------- 3D SYSTEMS CORP DE 3.01,9.01 05/17/07 5 G WIRELESS COMMUNICATIONS INC NV 3.02 04/11/07 AB WATLEY GROUP INC DE 8.01 05/10/07 ABLEST INC DE 8.01 05/15/07 ACTEL CORP CA 3.01,9.01 05/15/07 ACUSPHERE INC DE 1.01,2.03,9.01 05/18/07 ADAMS GOLF INC DE 1.01,5.02 05/15/07 ADVANCE AUTO PARTS INC DE 5.02,8.01 05/15/07 ADVENT SOFTWARE INC /DE/ DE 5.03,8.01,9.01 05/16/07 AEP GENERATING CO /OH/ OH 2.01,9.01 05/16/07 AEROFLEX INC DE 8.01,9.01 05/21/07 AES CORP DE 2.01 05/16/07 AIR PRODUCTS & CHEMICALS INC /DE/ DE 7.01,9.01 05/21/07 ALBANY MOLECULAR RESEARCH INC DE 1.01,9.01 05/16/07 ALESCO FINANCIAL INC 1.01,2.03,9.01 05/15/07 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 05/21/07 ALLIED CAPITAL CORP MD 1.01,9.01 05/15/07 ALTUS EXPLORATIONS INC NV 4.01,5.02,9.01 05/09/07 Altus Pharmaceuticals Inc. DE 5.02,9.01 05/21/07 AMERICAN BILTRITE INC DE 1.01,9.01 05/21/07 AMERICAN ITALIAN PASTA CO DE 8.01,9.01 05/18/07 AMERICAN MOLD GUARD INC 5.02 05/17/07 AMERITRANS CAPITAL CORP DE 5.02 05/21/07 AMGEN INC DE 8.01,9.01 05/18/07 Andover Medical, Inc. DE 3.02,9.01 05/03/07 ANTIGENICS INC /DE/ DE 7.01,9.01 05/21/07 ANWORTH MORTGAGE ASSET CORP MD 5.03,9.01 05/18/07 APPLIED DIGITAL SOLUTIONS INC MO 1.01,3.02,9.01 05/15/07 AQUILA INC DE 8.01 05/17/07 ARC WIRELESS SOLUTIONS INC UT 1.01 05/17/07 ASHLAND INC. KY 7.01,9.01 05/21/07 ATLANTIC COAST FEDERAL CORP X1 5.02,8.01,9.01 05/18/07 Atlas Energy Resources, LLC DE 1.01,3.02,7.01,9.01 05/18/07 ATWOOD OCEANICS INC TX 7.01 05/21/07 BANK OF KENTUCKY FINANCIAL CORP KY 7.01,9.01 05/21/07 BANK ONE AUTO SECURITIZATION TRUST 20 DE 8.01,9.01 05/21/07 BELL MICROPRODUCTS INC CA 1.01,3.01,9.01 05/14/07 Beneficial Mutual Bancorp Inc X1 1.01,9.01 05/18/07 BENIHANA INC DE 1.01,3.03,8.01,9.01 05/18/07 BLACKSANDS PETROLEUM, INC. NV 1.01,9.01 05/17/07 Boulder Specialty Brands, Inc. DE 8.01,9.01 05/21/07 BRADY CORP WI 2.02,9.01 05/16/07 BROCADE COMMUNICATIONS SYSTEMS INC DE 8.01,9.01 05/18/07 BUFFETS HOLDINGS, INC. DE 2.02,9.01 05/21/07 BUFFETS HOLDINGS, INC. DE 7.01,9.01 05/21/07 BURKE MILLS INC NC 2.02,9.01 03/31/07 BUSINESS OBJECTS S.A. 8.01,9.01 05/21/07 CA, INC. DE 8.01,9.01 05/21/07 CABELAS INC DE 5.02,9.01 05/15/07 CabelTel International Corp NV 2.02,9.01 05/16/07 CAL-BAY INTERNATIONAL INC NV 5.02 05/18/07 CALGON CARBON CORPORATION DE 2.02,9.01 05/21/07 CALYPTE BIOMEDICAL CORP DE 7.01,9.01 05/18/07 CAMPBELL SOUP CO NJ 2.02,9.01 05/21/07 CAPITAL ALLIANCE INCOME TRUST REAL ES DE 9.01 05/21/07 CAPSTEAD MORTGAGE CORP MD 7.01,9.01 05/21/07 CAREGUIDE INC DE 5.02 05/15/07 CATALYST SEMICONDUCTOR INC DE 5.02,9.01 05/17/07 CELSION CORP MD 8.01,9.01 05/21/07 CENVEO, INC CO 2.01,9.01 05/07/07 AMEND CHEMBIO DIAGNOSTICS, INC. NV 7.01,9.01 05/16/07 CHESAPEAKE ENERGY CORP OK 7.01,9.01 05/16/07 CHINA EXPERT TECHNOLOGY, INC. NV 1.01,9.01 05/14/07 CHURCH & DWIGHT CO INC /DE/ DE 5.02 05/21/07 Claymont Steel Holdings, Inc. DE 2.02,9.01 05/14/07 CLEARWIRE CORP DE 7.01,9.01 05/21/07 CMS ENERGY CORP MI 8.01 05/15/07 CNL INCOME PROPERTIES INC MD 1.01,9.01 05/15/07 COBIZ INC CO 8.01 05/09/07 COLONIAL COMMERCIAL CORP NY 4.02,8.01 05/21/07 COMMERCIAL BANCSHARES INC \OH\ OH 5.02,8.01 05/15/07 COMMERCIAL BANKSHARES INC FL 8.01 05/21/07 Comverge, Inc. DE 5.02 05/15/07 COPART INC CA 8.01,9.01 05/21/07 CORDIA CORP NV 1.01,8.01 05/21/07 CSAB Mortgage-Backed Trust 2007-1 8.01,9.01 05/21/07 CWABS Asset-Backed Certificates Trust DE 8.01,9.01 05/04/07 CYTOKINETICS INC 5.02 05/21/07 CYTRX CORP DE 1.02,5.02 05/21/07 CYTYC CORP DE 1.01,5.02,9.01 05/20/07 DAYTON POWER & LIGHT CO OH 7.01,9.01 05/21/07 DEERE & CO DE 5.02,9.01 05/18/07 DENDREON CORP DE 2.05 05/16/07 DIAMOND OFFSHORE DRILLING INC DE 5.02,9.01 05/15/07 DIGICORP UT 4.01,9.01 05/08/07 DIGITAL ANGEL CORP DE 1.01,5.02 05/16/07 Digital Realty Trust, Inc. MD 7.01,9.01 05/18/07 Digital Realty Trust, Inc. MD 7.01,9.01 05/21/07 AMEND DOLLAR THRIFTY AUTOMOTIVE GROUP INC DE 8.01,9.01 05/21/07 DOMINION RESOURCES BLACK WARRIOR TRUS DE 2.02,9.01 05/21/07 Domtar CORP DE 2.02,9.01 05/21/07 DPL INC OH 7.01,9.01 05/21/07 DRUGSTORE COM INC DE 5.02,7.01,9.01 05/21/07 DTE ENERGY CO MI 7.01,8.01,9.01 05/18/07 DUN & BRADSTREET CORP/NW DE 8.01 05/09/07 DUNE ENERGY INC DE 1.02,2.01,2.03,3.02,9.01 05/15/07 DUQUESNE LIGHT HOLDINGS INC PA 5.02 05/16/07 ELOYALTY CORP DE 5.02,9.01 05/17/07 EMS TECHNOLOGIES INC GA 5.02 05/18/07 ENER1 INC FL 1.01,2.04,3.02,7.01,9.01 05/15/07 Energtek 1.01,9.01 05/15/07 EPIQ SYSTEMS INC MO 5.03,8.01,9.01 05/17/07 EQUITY LIFESTYLE PROPERTIES INC MD 5.02,9.01 05/15/07 ESCALADE INC IN 1.01,9.01 05/18/07 ESPEY MFG & ELECTRONICS CORP NY 8.01,9.01 05/18/07 ESTEE LAUDER COMPANIES INC DE 1.02 05/18/07 EV Energy Partners, LP DE 7.01,9.01 05/15/07 EXCELSIOR LASALLE PROPERTY FUND INC 1.01 05/15/07 FIELDSTONE INVESTMENT CORP 1.01,9.01 05/15/07 FIFTH THIRD AUTO TRUST 2004-A 8.01,9.01 05/21/07 FIFTH THIRD BANCORP OH 7.01,9.01 05/21/07 First California Financial Group, Inc DE 2.02,9.01 05/15/07 FIRST MIDWEST BANCORP INC DE 5.02,9.01 05/21/07 FIRST NATIONAL COMMUNITY BANCORP INC PA 5.02,9.01 05/21/07 FIRST NIAGARA FINANCIAL GROUP INC DE 5.02,9.01 04/27/07 FIRST REAL ESTATE INVESTMENT TRUST OF NJ 5.02,5.03,9.01 05/15/07 FIRST ROBINSON FINANCIAL CORP DE 2.02,9.01 05/18/07 FISCHER IMAGING CORP DE 7.01,9.01 05/15/07 FLEXSTEEL INDUSTRIES INC MN 5.02,9.01 05/21/07 FLUSHING FINANCIAL CORP DE 7.01,9.01 05/21/07 FNB FINANCIAL SERVICES CORP NC 8.01,9.01 05/17/07 FSI INTERNATIONAL INC MN 1.02 05/21/07 FSONA SYSTEMS CORP. NV 1.01,2.01,3.02,4.01,5.01,5.02, 02/08/07 AMEND 5.03,5.06,9.01 FX ENERGY INC NV 8.01,9.01 05/21/07 GENAERA CORP DE 8.01,9.01 05/17/07 GENERAL ELECTRIC CO NY 8.01 05/21/07 GENIUS PRODUCTS INC DE 7.01,9.01 05/21/07 GENWORTH FINANCIAL INC DE 1.01 05/17/07 GETTY IMAGES INC DE 5.02,9.01 05/17/07 Global Employment Holdings, Inc. 1.01,1.02,2.01,2.03,5.03,9.01 02/28/07 AMEND GLOBAL ENERGY INC NV 1.01,9.01 05/11/07 GLOBAL INDUSTRIES LTD LA 8.01,9.01 05/16/07 Global Logistics Acquisition CORP DE 1.01,7.01,9.01 05/18/07 GLOWPOINT INC DE 5.02,9.01 05/15/07 GOODRICH PETROLEUM CORP DE 5.02,9.01 05/17/07 GRAPHIC PACKAGING CORP DE 2.03,9.01 05/16/07 GREAT ATLANTIC & PACIFIC TEA CO INC MD 8.01 05/21/07 GREAT PLAINS ETHANOL LLC SD 8.01 05/17/07 GREENE COUNTY BANCSHARES INC TN 2.01,7.01,9.01 05/16/07 GREENLEAF FOREST PRODUCTS, INC. NV 4.01,9.01 05/21/07 AMEND GREY WOLF INC TX 5.03,9.01 05/15/07 GSC INVESTMENT CORP. MD 8.01,9.01 05/21/07 GULF RESOURCES, INC. DE 2.02,7.01,9.01 05/15/07 Halo Technology Holdings, Inc. NV 1.01,2.03,4.02,5.02,9.01 05/17/07 HANSEN NATURAL CORP DE 3.01 05/16/07 HARLEYSVILLE NATIONAL CORP PA 8.01,9.01 05/15/07 HARTCOURT COMPANIES INC UT 2.01,3.02,9.01 05/21/07 HARTFORD FINANCIAL SERVICES GROUP INC DE 5.03,9.01 05/17/07 HASCO Trust 2007-HE2 8.01,9.01 05/04/07 Health Fitness Corp /MN/ MN 7.01,9.01 05/21/07 HEALTHCARE REALTY TRUST INC MD 5.02,9.01 05/15/07 HEI INC MN 1.01,2.03,9.01 05/15/07 HELEN OF TROY LTD 4.01,9.01 05/15/07 HERCULES INC DE 8.01,9.01 05/21/07 HLTH CORP DE 5.03,9.01 05/15/07 HOLOGIC INC DE 1.01,5.02,9.01 05/20/07 Home Equity Mortgage Loan Asset-Backe DE 1.01,9.01 02/05/07 HQ SUSTAINABLE MARITIME INDUSTRIES, I DE 5.02 05/18/07 HUB INTERNATIONAL LTD A6 5.02 05/18/07 HUMAN BIOSYSTEMS INC CA 1.01,2.03,3.02,9.01 05/21/07 HUNGARIAN TELEPHONE & CABLE CORP DE 4.02,9.01 05/15/07 HUSKER AG LLC NE 2.03 05/15/07 HYDROMER INC NJ 8.01 05/17/07 ICT GROUP INC PA 1.01,2.03,2.05,2.06 05/15/07 IDERA PHARMACEUTICALS, INC. DE 5.02 05/17/07 Ignis Petroleum Group, Inc. 4.02 05/15/07 IHS Inc. DE 8.01,9.01 05/21/07 IMAGEWARE SYSTEMS INC DE 2.02,9.01 05/15/07 INDUSTRIAL ELECTRIC SERVICES INC 2.02,7.01,9.01 05/15/07 IndyMac Residential Mortgage-Backed T DE 2.01,9.01 03/21/07 Ingen Technologies, Inc. 1.01,9.01 05/17/07 INGRAM MICRO INC DE 8.01,9.01 05/21/07 INTEVAC INC CA 1.01 05/15/07 INTEVAC INC CA 5.02,9.01 05/17/07 INTREPID TECHNOLOGY & RESOURCES, INC. ID 1.01,2.03,3.02 05/21/07 ISIS PHARMACEUTICALS INC DE 1.01 05/16/07 itLinkz Group, Inc. FL 5.02 05/19/07 ITT CORP IN 5.02,7.01,9.01 05/21/07 J P MORGAN CHASE & CO DE 9.01 05/18/07 JMG Exploration, Inc. NV 9.01 12/31/06 JONES LANG LASALLE INC MD 7.01,9.01 05/21/07 KING PHARMACEUTICALS INC TN 5.02,9.01 05/15/07 KINTERA INC 5.02,9.01 05/18/07 KIWA BIO-TECH PRODUCTS GROUP CORP DE 5.02 05/18/07 KONA GRILL INC DE 3.01,5.02,9.01 05/16/07 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 05/21/07 LAS VEGAS GAMING INC NV 5.02 05/15/07 LBI MEDIA HOLDINGS INC 2.02,9.01 05/21/07 LEE ENTERPRISES, INC DE 5.03,9.01 05/17/07 LENOX GROUP INC DE 5.02,5.03,8.01,9.01 05/15/07 LGL GROUP INC IN 8.01,9.01 05/18/07 LIBERTY MEDIA CORP 7.01 05/17/07 LIBERTY MEDIA LLC 7.01 05/17/07 LIGAND PHARMACEUTICALS INC DE 5.02 05/21/07 LIN TV CORP DE 8.01,9.01 05/18/07 LOWES COMPANIES INC NC 2.02,9.01 05/21/07 LYONDELL CHEMICAL CO DE 1.02,2.01,8.01,9.01 05/15/07 MANCHESTER INC 5.02,8.01,9.01 05/15/07 MARCHEX INC DE 7.01,9.01 05/21/07 MATHSTAR INC MN 3.01,9.01 05/16/07 MATTEL INC /DE/ DE 5.03,9.01 05/21/07 MBF Healthcare Acquisition Corp. DE 8.01,9.01 04/23/07 AMEND MELLON FINANCIAL CORP PA 8.01,9.01 05/10/07 Meritage Homes CORP MD 1.01,2.03,9.01 05/18/07 Mill Basin Technologies, Ltd. NV 9.01 05/21/07 AMEND MILLENNIUM CHEMICALS INC DE 1.02,2.01,8.01,9.01 05/15/07 Modigene Inc. 3.02 05/21/07 MONMOUTH CAPITAL CORP NJ 8.01,9.01 05/18/07 MONMOUTH REAL ESTATE INVESTMENT CORP MD 8.01,9.01 05/18/07 Morgan Stanley ABS Capital I Inc. Tru DE 8.01,9.01 05/03/07 MOTHERS WORK INC DE 5.02,9.01 05/15/07 Mutual Federal Bancorp, Inc. X1 8.01,9.01 05/21/07 NANOMETRICS INC DE 5.02,9.01 05/17/07 National Investment Managers Inc. FL 1.01,5.02,9.01 05/16/07 NEOSE TECHNOLOGIES INC DE 5.02 05/04/07 Neoview Holdings Inc. NV 1.01,2.01,3.02,5.01,5.02,5.03, 05/16/07 5.06,8.01,9.01 NET 1 UEPS TECHNOLOGIES INC 8.01,9.01 05/17/07 NETMANAGE INC DE 2.02 05/21/07 Neuralstem, Inc. DE 8.01,9.01 05/21/07 NEWPORT CORP NV 5.02 05/15/07 NEWS CORP 8.01,9.01 05/21/07 NewStar Financial, Inc. 1.01,9.01 05/15/07 NNN Healthcare/Office REIT, Inc. MD 7.01,9.01 05/21/07 Nomura Home Equity Loan, Inc., Home E DE 1.01,9.01 01/31/07 NORTH AMERICAN GALVANIZING & COATINGS DE 1.01,2.03,9.01 05/17/07 NORTH PITTSBURGH SYSTEMS INC PA 8.01,9.01 05/21/07 NORTHWEST AIRLINES CORP DE 1.03,8.01,9.01 05/18/07 NORTHWEST BIOTHERAPEUTICS INC DE 1.01,5.02,7.01,8.01,9.01 05/17/07 NORWOOD FINANCIAL CORP PA 5.02,9.01 05/21/07 Novelis Inc. A6 5.02,9.01 05/15/07 NTS REALTY HOLDINGS LP DE 8.01 05/16/07 NUVELO INC DE 8.01 05/21/07 NYFIX INC DE 5.02,9.01 05/15/07 OCCAM NETWORKS INC/DE DE 3.01,9.01 05/17/07 OFFICEMAX INC DE 5.02,9.01 05/17/07 OFFLINE CONSULTING INC 1.01,2.01,3.02,5.01,5.02,5.03, 05/18/07 5.06,9.01 OLIN CORP VA 1.01,8.01,9.01 05/20/07 OMI CORP/M I 8.01,9.01 05/18/07 OMNI ENERGY SERVICES CORP LA 7.01,9.01 05/17/07 OMNICOMM SYSTEMS INC DE 5.02 05/18/07 ON SEMICONDUCTOR CORP DE 1.02 05/15/07 OPTIUM CORP DE 1.01,2.01,8.01,9.01 05/21/07 Orange 21 Inc. DE 2.02,9.01 05/21/07 ORTEC INTERNATIONAL INC DE 3.01 05/21/07 OSHKOSH TRUCK CORP WI 5.02 05/15/07 PACIFIC SUNWEAR OF CALIFORNIA INC CA 2.02,9.01 05/21/07 PEGASYSTEMS INC MA 2.02,3.01,9.01 05/21/07 PERMA FIX ENVIRONMENTAL SERVICES INC DE 8.01,9.01 05/16/07 PERMIAN BASIN ROYALTY TRUST TX 2.02,9.01 05/18/07 PIONEER DRILLING CO TX 2.02,9.01 05/21/07 POINT 360 CA 8.01 05/15/07 POINT THERAPEUTICS INC DE 8.01,9.01 05/21/07 POMEROY IT SOLUTIONS INC DE 8.01,9.01 05/15/07 POWELL INDUSTRIES INC NV 2.02,3.01,4.02,9.01 05/15/07 POWER TECHNOLOGY INC/CN NV 1.01,9.01 05/15/07 PRECISION CASTPARTS CORP OR 1.01,9.01 05/16/07 PRESIDENTIAL REALTY CORP/DE/ DE 2.02 05/21/07 PRIMEDIA INC DE 1.01,9.01 05/21/07 PROVIDENT BANKSHARES CORP MD 5.02 05/16/07 QUEPASA CORP NV 5.02 05/21/07 QUEST RESOURCE CORP NV 5.02,9.01 05/16/07 QUEST SOFTWARE INC CA 8.01,9.01 05/21/07 Quintana Maritime LTD 1T 5.02,9.01 05/17/07 R&G FINANCIAL CORP PR 1.01,9.01 05/20/07 REMINGTON ARMS CO INC/ DE 1.01 05/21/07 REYNOLDS AMERICAN INC 8.01 05/15/07 Rosetta Resources Inc. DE 5.02,9.01 05/21/07 ROWAN COMPANIES INC DE 3.01 05/17/07 ROYAL CARIBBEAN CRUISES LTD 7.01,9.01 05/21/07 RURAL CELLULAR CORP MN 2.03,3.03,8.01 05/15/07 RYDER SYSTEM INC FL 8.01 05/18/07 S1 CORP /DE/ DE 7.01,9.01 05/21/07 SAKS INC TN 2.02,9.01 05/21/07 SAN JUAN BASIN ROYALTY TRUST TX 2.02,9.01 05/18/07 SCBT FINANCIAL CORP SC 5.02,9.01 05/21/07 SCHWAB CHARLES CORP DE 5.02 05/17/07 SCOTTISH RE GROUP LTD E9 5.02,9.01 05/16/07 SEDONA CORP PA 4.01 04/13/07 AMEND SELECT COMFORT CORP 5.03,8.01,9.01 05/15/07 SEPRACOR INC /DE/ DE 5.02 05/15/07 SEQUIAM CORP CA 1.01 05/16/07 SERACARE LIFE SCIENCES INC 5.02,5.05,8.01,9.01 05/18/07 Shire plc 8.01,9.01 05/18/07 SIERRA HEALTH SERVICES INC NV 8.01,9.01 05/17/07 SIGMA DESIGNS INC CA 5.02 05/21/07 SIMPSON MANUFACTURING CO INC /CA/ DE 5.02,9.01 05/15/07 SINCLAIR BROADCAST GROUP INC MD 2.04 05/18/07 SMART MOVE, INC. DE 2.02,9.01 05/21/07 SMART ONLINE INC 8.01 05/21/07 SmartPros Ltd. DE 8.01 05/16/07 SNAP ON INC DE 1.01,2.06,9.01 05/18/07 SOLECTRON CORP DE 5.02 05/15/07 SONOCO PRODUCTS CO SC 1.01 05/16/07 SONOSITE INC 8.01 05/21/07 SOUTHWEST BANCORP INC OK 7.01,9.01 05/21/07 SOUTHWEST CASINO CORP 1.01,7.01,9.01 05/18/07 SOUTHWEST GAS CORP CA 1.01 05/18/07 SP Holding CORP DE 1.01,5.03,9.01 05/16/07 Spansion Inc. DE 1.01,1.02,2.03,8.01,9.01 05/18/07 SPARK NETWORKS PLC X0 7.01,8.01,9.01 05/16/07 SPARTAN STORES INC MI 5.02,9.01 05/18/07 STARTECH ENVIRONMENTAL CORP CO 1.01,3.02,9.01 05/17/07 STOCKGROUP INFORMATION SYSTEMS INC CO 3.02,9.01 05/15/07 SUMTOTAL SYSTEMS INC DE 1.01,7.01,9.01 05/18/07 SUNCOM WIRELESS HOLDINGS, INC. 1.01,2.01,5.02,9.01 05/15/07 SUNCOM WIRELESS INC 1.01,5.02,9.01 05/15/07 SUNTRUST BANKS INC GA 2.03,9.01 05/21/07 SUPERIOR ESSEX INC DE 4.01,9.01 05/18/07 Superior Well Services, INC DE 5.02 05/15/07 SUPERTEL HOSPITALITY INC VA 1.01,2.01,2.03,9.01 05/16/07 SYNPLICITY INC CA 5.02 05/15/07 TECHLABS INC FL 1.02,3.03,9.01 05/14/07 THERAGENICS CORP DE 5.02,8.01 05/17/07 THQ INC DE 5.02,8.01 05/15/07 TOLLGRADE COMMUNICATIONS INC \PA\ PA 5.03,9.01 05/17/07 TORCH ENERGY ROYALTY TRUST DE 2.02,9.01 05/21/07 TRANSACT TECHNOLOGIES INC DE 5.02,9.01 05/15/07 TransMontaigne Partners L.P. DE 1.01,7.01,9.01 05/17/07 TRM CORP OR 7.01,9.01 05/18/07 ULTRALIFE BATTERIES INC DE 1.01,9.01 05/18/07 UNICORP INC /NEW NV 1.01,3.02,9.01 05/18/07 UNIPROP MANUFACTURED HOUSING COMMUNIT MI 1.01 05/17/07 UNITED AMERICA INDEMNITY, LTD E9 3.01,9.01 05/16/07 UNITED SECURITY BANCSHARES CA 8.01 05/17/07 UNITED STATES STEEL CORP DE 2.04,8.01,9.01 05/16/07 UNITED WESTERN BANCORP INC CO 5.02,8.01,9.01 05/17/07 UNIVERSAL CORP /VA/ VA 2.02,8.01,9.01 05/17/07 URANERZ ENERGY CORP. NV 8.01,9.01 05/18/07 USG CORP DE 2.05 05/15/07 VENDINGDATA CORP NV 3.02 05/15/07 VERTICALNET INC PA 1.01,2.02,2.03,9.01 05/15/07 VERTIS INC DE 5.02,9.01 05/21/07 VIAD CORP DE 5.02,9.01 05/15/07 VIASPACE Inc. NV 8.01,9.01 05/21/07 VISTAPRINT LTD D0 1.01,9.01 05/15/07 VITAL LIVING INC AZ 4.01,9.01 04/23/07 VIVUS INC CA 2.01,9.01 05/15/07 Volkswagen Auto Lease Trust 2005-A 8.01,9.01 05/21/07 VOLKSWAGEN AUTO LOAN ENHANCED TRUST 2 DE 8.01,9.01 05/21/07 Volkswagen Auto Loan Enhanced Trust 2 8.01,9.01 05/21/07 VOLKSWAGEN DEALER FINANCE LLC DE 8.01,9.01 05/21/07 W&T OFFSHORE INC TX 5.02,7.01,9.01 05/15/07 WASHINGTON REAL ESTATE INVESTMENT TRU MD 5.02,9.01 05/17/07 Wayside Technology Group, Inc. DE 5.02,9.01 05/16/07 WELLMAN INC DE 5.02,9.01 05/15/07 WELLS REAL ESTATE INVESTMENT TRUST IN MD 1.01,5.02,9.01 05/15/07 WESBANCO INC WV 5.02,8.01 05/21/07 West Coast Car CO 1.01,2.01,3.02,3.03,4.01,5.01, 05/15/07 5.06,8.01,9.01 WESTELL TECHNOLOGIES INC DE 2.02,2.05 05/21/07 WESTERN DIGITAL CORP DE 7.01 05/21/07 WESTERN POWER & EQUIPMENT CORP DE 1.01,2.01,9.01 05/17/07 WILSON HOLDINGS, INC. NV 7.01,9.01 05/21/07 WORLD WASTE TECHNOLOGIES INC CA 1.01,5.02,9.01 05/15/07 X-CHANGE CORP NV 5.02,7.01,9.01 05/11/07 ZANETT INC DE 2.02,9.01 05/21/07 ZILA INC DE 5.02,8.01,9.01 05/15/07