SEC NEWS DIGEST Issue 2006-141 July 24, 2006 COMMISSION ANNOUNCEMENTS CHAIRMAN COX TO TESTIFY Christopher Cox, Chairman, U.S. Securities and Exchange Commission, will testify before the Senate Committee on Banking, Housing, and Urban Affairs on Tuesday, July 25, 2006. Chairman Cox's testimony, which concerns hedge funds, will be delivered in Room 538 of the Dirksen Senate Office Building at 10:00 a.m. ENFORCEMENT PROCEEDINGS WADDELL & REED, INC., WADDELL & REED INVESTMENT MANAGEMENT COMPANY, AND WADDELL & REED SERVICES COMPANY SETTLE CHARGES RELATING TO MARKET TIMING ABUSES IN THE WADDELL & REED MUTUAL FUND COMPLEX The Commission announced the issuance of an Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order against Waddell & Reed, Inc. (W&R), a registered broker-dealer and investment adviser, Waddell & Reed Investment Management Company (W&R Investment Management), a registered investment adviser, and Waddell & Reed Services Company (W&R Services), a registered transfer agent. The Order finds that beginning in December 1998 and continuing through the fall of 2003, W&R Services and/or W&R collected a total of $3.6 million in asset-based fees from three market timers (the Fee Paying Timers). The Order further finds that W&R Investment Management allowed the Fee Paying Timers to time certain Waddell & Reed funds in a manner that it knew or had reason to believe would be harmful to shareholders in exchange for fees paid to W&R Services and W&R, and it allowed the Fee Paying Timers to time the Waddell & Reed Advisors International Growth Fund despite having been notified that timers were harming the fund through dilution. These actions created a conflict of interest that W&R Investment Management knowingly or recklessly failed to disclose to the board of directors and shareholders of the funds. The Order further finds that W&R and W&R Services negotiated written agreements with the Fee Paying Timers, from which they financially benefited, that caused W&R Investment Management to breach its fiduciary duty to the funds' board and defraud the funds' shareholders. The Order finds that, through their respective actions, W&R Investment Management willfully violated, and W&R Services and W&R willfully aided and abetted and caused W&R Investment Management's violations, of Sections 206(1) and 206(2) of the Advisers Act and that all three entities willfully violated Section 17(d) of the Investment Company Act and Rule 17d-1 thereunder. Furthermore, based on the above, the Order requires the W&R Investment Management, W&R Services and W&R to pay, jointly and severally, $50 million in disgorgement and civil penalties. The Commission acknowledges the assistance in its investigation of the New York Attorney General's Office and the Office of the Kansas Securities Commissioner. (Rels. 34-54193; IA-2537; IC-27424; File No. 3-12372) PERMANENT INJUNCTION, ORDERS OF DISGORGEMENT AND PENALTY ENTERED AGAINST WON CHARLIE YI The Securities and Exchange Commission announced that on July 7, 2006, the Honorable Gary A. Feess, United States District Judge for the Central District of California, entered a final judgment by default against Won Charlie Yi in connection with an affinity fraud perpetrated by Yi through C+ Capital Management, LLC, formerly an investment advisory firm registered with the State of California and based in Los Angeles. Judge Feess ordered that Yi be enjoined from committing securities fraud in violation of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and from aiding and abetting violations of Sections 206(1) and 206(2) of the Investment Advisers Act. C+ Capital previously was enjoined from violating the above antifraud provisions in a default judgment issued by the Court on February 28, 2005. Judge Feess further ordered that Yi was individually liable for disgorgement of $13,384,065.10, and both Yi and C+ Capital were jointly and severally liable for disgorgement of an additional $15,710,490.70, plus prejudgment interest. Yi also was ordered to pay a civil penalty of $120,000. The Commission's complaint, filed on May 25, 2004, alleged that Yi and C+ Capital raised at least $36 million since May 2002 by soliciting members of the Korean-language speaking community in Southern California. Yi represented that C+ Capital would establish brokerage accounts in the clients' names at Carlin Equities Corp., a registered broker-dealer, and promised to use his expertise to buy and sell stocks in the clients' accounts. However, Yi did not open brokerage accounts for advisory clients, but instead deposited the clients' checks into a bank account held in his name. Yi subsequently provided C+ Capital's clients with fabricated account statements, purporting to reflect their portfolio positions in accounts at Carlin. Yi attempted to forestall discovery of the fraud by offering various excuses to clients to prevent them from liquidating their holdings. For additional information, see LR-18729 (May 28, 2004) and LR-18747 (June 16, 2004). [SEC v. C+ Capital Management, LLC & Won Charlie Yi, Civil Action No. CV 04-3670 GAF, VBKx, C.D.Cal.] (LR-19769) SEC OBTAINS FINAL JUDGMENT AGAINST KOSTA KOVACHEV AND DARIN ROBERTS IN $28 MILLION PONZI SCHEME CASE The Commission announced that on June 30, 2006, the Honorable Larry J. McKinney, Chief Judge, U.S. District Court for the Southern District of Indiana, entered final judgments against Kosta S. Kovachev and Darin W. Roberts, which enjoin Kovachev and Roberts from violating the antifraud and registration violations of the federal securities laws and order the payment of disgorgement and, in the case of Kovachev, a civil financial penalty. The final judgment against Kovachev orders him to pay disgorgement in the amount of $217,527.21 and prejudgment interest in the amount of $20,621.15; orders him to pay civil penalties in the amount of $120,000; and permanently enjoins him from future 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 final judgment against Roberts orders him to pay disgorgement in the amount of $125,097.08 and prejudgment interest in the amount of $8,145.22; and permanently enjoins him from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, Sections 10(b) and 15(a) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder, and does not impose a civil penalty based on his Sworn Statement of Financial Condition and other documents. Both Kovachev and Roberts consented to the entry of the final judgments without admitting or denying the allegations contained in the Commission's Nov. 10, 2003, complaint. In its complaint, the Commission alleged that Kovachev, Roberts, and ten individuals and entities offered and sold securities, which were nominally structured as hotel timeshare rental interests, in unregistered transactions as part of a Ponzi scheme that defrauded at least 600 investors of over $28 million in 30 states. On Nov. 10, 2003, Chief Judge McKinney issued a temporary restraining order, which froze the defendants' assets and temporarily restrained the defendants from violating the antifraud and registration provisions of the federal securities laws. On Nov. 20, 2003, the court issued preliminary injunctive orders against Kovachev, Roberts and the other defendants which continued the asset freeze and enjoined the defendants from violating the antifraud and registration provisions of the federal securities laws during the pendency of the litigation. To date, the Commission has obtained final judgments from ten of the twelve defendants in this action. [SEC v. Patrick Ballinger, Dennis R. Weaver, Kosta S. Kovachev, Lee E. Larscheid, Benny G. Morris, Darin W. Roberts, Linda M. Sears, Todd F. Walker, Branson City Limits, Inc., Resort Hotels, Inc., Universal Financial Leasing, Inc., and Ozark Ticket and Travel, Inc., No. 1:03-cv-1659-LJM-WTL, S.D. Ind., Nov. 10, 2003] (LR-19770) INVESTMENT COMPANY ACT RELEASES COHEN & STEERS VIF REALTY FUND, INC. ET AL. An order has been issued on an application filed by Cohen & Steers VIF Realty Fund, Inc. (the Fund) and Cohen & Steers Capital Management, Inc. (the Investment Adviser) (collectively, the Applicants) pursuant to Section 6(c) of the Investment Company Act exempting certain life insurance companies and their separate accounts that currently invest in or may hereafter invest in the Fund from the provisions of Sections 9(a), 13(a), 15(a) and 15(b) of the Act and Rules 6e-2(b)(15) and 6e- 3(T)(b)(15) thereunder, to the extent necessary to permit shares of the Fund, and shares of any existing or future investment company that is designed to fund insurance products and for which the Investment Adviser or any of its affiliates, may serve as investment adviser, investment manager, subadviser, administrator, principal underwriter or sponsor (collectively the Insurance Funds) to be sold to and held by (a) separate accounts funding variable annuity contracts and variable life insurance policies issued by both affiliated life insurance companies and unaffiliated life insurance companies; (b) trustees of qualified group pension and group retirement plans outside of the separate account context; (c) separate accounts that are not registered as investment companies under the Act pursuant to exemptions from registration under Section 3(c) of the Act; (d) any adviser to an Insurance Fund or successor to an adviser for the purpose of providing seed capital to an Insurance Fund; and (e) any other account of a Participating Insurance Company permitted to hold shares of an Insurance Fund. (Rel. IC-27422 - July 20) ING LIFE INSURANCE AND ANNUITY COMPANY, ET AL. A notice has been issued giving interested persons until Aug. 14, 2006, to request a hearing on an application filed by ING Life Insurance and Annuity Company, et al. Applicants seek an order pursuant to Section 26(c) of the Investment Company Act to permit the substitution of securities issued by certain registered investment companies for shares of certain other registered investment companies. Applicants also request an order of the Commission exempting them from Section 17(a) of the Act to the extent necessary to permit them to carry out certain of the proposed substitutions that involve in-kind transfers. (Rel. IC-27423 - July 20) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change filed by NASD to modify the pricing schedule for NASD members using the Nasdaq Market Center and Nasdaq's Brut and INET Facilities (SR-NASD-2006-057) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of July 24. (Rel. 34-54160) A proposed rule change and Amendment No. 1 thereto, filed by the American Stock Exchange (SR-Amex-2006-61) relating to the handling of immediate or cancel orders in options has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of July 24. (Rel. 34-54181) A proposed rule change (SR-Amex-2006-68) filed by the American Stock Exchange applying the allocation algorithm in Rule 935(a)(4) - ANTE to Supplemental Registered Options Traders has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of July 24. (Rel. 34-54183) ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission noticed and granted accelerated approval to a proposed rule change and Amendment No. 1 thereto (SR-NASD-2006-058) filed by NASD through its subsidiary, The Nasdaq Stock Market, Inc. under Rule 19b-4 of the Securities Exchange Act of 1934 regarding pricing for non-members using the Nasdaq Market Center and Nasdaq's Brut and INET Facilities. Publication of the proposal is expected in the Federal Register during the week of July 24. (Rel. 34-54159) PROPOSED RULE CHANGES The Chicago Board Options Exchange filed a proposed rule change (SR- CBOE-2006-66) under Rule 19b-4 of the Securities Exhange Act of 1934 regarding Market-Maker appointments. Publication of the proposal is expected in the Federal Register during the week of July 24. (Rel. 34- 54184) The Chicago Stock Exchange filed a proposed rule change and Amendment No. 1 thereto (SR-CHX-2006-66) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 regarding cancellation of the stock leg of a stock-option order. Publication of the proposal is expected in the Federal Register during the week of July 24. (Rel. 34-54185) NASD filed a proposed rule change and Amendment No. 1 thereto (SR- NASD-2006-081) under Section 19(b)(1) of the Securities Exchange Act of 1934 to adopt new NASD Rule 5150 relating to trade throughs. Publication of the proposal is expected in the Federal Register during the week of July 24. (Rel. 34-54186) APPROVAL OF PROPOSED RULE CHANGES The Commission has granted approval to a proposed rule change and Amendment Nos. 1 and 2 thereto (SR-NYSE-2006-19) submitted by the New York Stock Exchange under Rule 19b-4 of the Securities Exchange Act of 1934 to list and trade index-linked securities of Barclays Bank PLC linked to the performance of the Goldman Sachs Crude Oil Total Return Index™. Publication is expected in the Federal Register during the week of July 24. (Rel. 34-54177) The Commission approved a proposed rule change submitted under Section 19(b)(1) of the Securities Exchange Act of 1934 by the Chicago Board Options Exchange (SR-CBOE-2006-51) relating to Market Maker appointments. (Rel. 34-54182) 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 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . S-8 NEUROCRINE BIOSCIENCES INC, 12790 EL CAMINO REAL, SAN DIEGO, CA, 92130, (858) 617-7600 - 0 ($9,580,000.00) Equity, (File 333-135909 - Jul. 21) (BR. 01B) S-8 HANOVER COMPRESSOR CO /, 12001 N HOUSTON ROSSLYN, HOUSTON, TX, 77086, 2814478787 - 6,000,000 ($102,780,000.00) Equity, (File 333-135910 - Jul. 21) (BR. 06B) SB-2 DEBT RESOLVE INC, 707 WESTCHESTER AVE, SUITE L7, WHITE PLAINS, NY, 10604, 9149495500 - 5,663,362 ($20,183,162.00) Equity, (File 333-135911 - Jul. 21) (BR. 03A) S-3 CBIZ, Inc., 6050 OAK TREE BOULEVARD, SOUTH, SUITE 500, CLEVELAND, OH, 44131, 2164479000 - 100,000,000 ($100,000,000.00) Unallocated (Universal) Shelf, (File 333-135912 - Jul. 21) (BR. 08A) F-1 Qimonda AG, GUSTAV-HEINEMANN-RING 212, MUNICH, 2M, D-81739, 001498920390 - 0 ($1,304,100,000.00) Equity, (File 333-135913 - Jul. 21) (BR. ) S-8 Vimicro International CORP, 15/F SHINING TOWER, NO. 35 XUEYUAN ROAD, HAIDIAN DISTRICT, BEIJING, F4, 100083, (86 10) 6894-8888 - 41,881,120 ($55,685,363.96) ADRs/ADSs, (File 333-135914 - Jul. 21) (BR. 10) S-8 Heritage Financial Group, 310 WEST OGLETHORPE BOULEVARD, ALBANY, GA, 31701, 229-878-3325 - 0 ($10,271,705.00) Equity, (File 333-135915 - Jul. 21) (BR. 07) S-8 BANCSHARES OF FLORIDA INC, 3411 TAMIAML TRAIL NORTH SUITE 200, NAPLES, FL, 341001, 9416434646 - 0 ($62,550,000.00) Equity, (File 333-135917 - Jul. 21) (BR. 07C) SB-2 Alaska Pacific Resources Inc, 9101 WEST SAHARA SUITE 105-195, LAS VEGAS, NV, 89117-5772, (702) 528-2499 - 1,000,000 ($100,000.00) Equity, (File 333-135918 - Jul. 21) (BR. 04C) S-3ASR MELLON FUNDING CORP, 500 GRANT ST, ONE MELLON BANK CENTER, PITTSBURGH, PA, 15258, 4122345000 - 0 ($0.00) Other, (File 333-135919 - Jul. 21) (BR. 07) S-8 CenterStaging Corp., 190 NORTH CANON DRIVE, SUITE 420, BEVERLY HILLS, CA, 90210, 310-275-4290 - 20,000 ($37,700.00) Equity, (File 333-135920 - Jul. 21) (BR. 08A) S-8 GENESIS BIOVENTURES INC, 1A - 3033 KING GEORGE HIGHWAY, SURREY, BRITISH COLUMBIA CAN, A1, V4P 1B8, 6045420820 - 3,000,000 ($600,000.00) Equity, (File 333-135941 - Jul. 21) (BR. 09A) F-1 NACG Holdings Inc., ZONE 3, ACHESON INDUSTRIAL AREA, 2-53016 HIGHWAY 60, ACHESON, A0, T7X 5A7, 780-960-7171 - 0 ($250,000,000.00) Equity, (File 333-135943 - Jul. 21) (BR. ) S-1 GateHouse Media, Inc., 350 WILLOWBROOK OFFICE PARK, FAIRPORT, NY, 14450, (585)598-0030 - 0 ($200,000,000.00) Equity, (File 333-135944 - Jul. 21) (BR. 05) S-3 NORTH AMERICAN SCIENTIFIC INC, 20200 SUNBURST ST, CHATSWORTH, CA, 91311, 8187348600 - 18,992,940 ($30,008,845.00) Equity, (File 333-135945 - Jul. 21) (BR. 10B) SB-2 HEMIS CORP, NEUHOFSTRASSE 8, DUEBENDORF, V8, 8600, (702) 387-2382 - 6,954,517 ($6,954,517.00) Equity, (File 333-135946 - Jul. 21) (BR. 01) S-8 JENNIFER CONVERTIBLES INC, 419 CROSSWAYS PK DR, WOODBURY, NY, 11797, 5164961900 - 700,000 ($3,344,334.26) Equity, (File 333-135948 - Jul. 21) (BR. 02A) S-8 CHESAPEAKE ENERGY CORP, 6100 N WESTERN AVE, OKLAHOMA CITY, OK, 73118, 4058488000 - 4,000,000 ($116,320,000.00) Equity, (File 333-135949 - Jul. 21) (BR. 04B) SB-2 EUROWEB INTERNATIONAL CORP, VAROSMAJOR UTCA 13, VAROSMAJOR UTCA 13, BUDAPEST, K5, 1122, 36-1-8897000 - 3,477,968 ($8,729,699.68) Equity, (File 333-135950 - Jul. 21) (BR. 03C) S-3 CROSSTEX ENERGY LP, 0 ($230,676,927.20) Other, (File 333-135951 - Jul. 21) (BR. 04A) S-1 MICROFIELD GROUP INC, 1631 NW THURMAN, SUITE 310, PORTLAND, OR, 97209, 5034193580 - 0 ($31,237,500.00) Equity, (File 333-135953 - Jul. 21) (BR. 06) S-8 REPLIDYNE INC, 1450 INFINITE DRIVE, LOUISVILLE, CO, 80027, 303-665-3450 - 0 ($62,193,580.94) Equity, (File 333-135954 - Jul. 21) (BR. 01A) SB-2 AMERICAN HEALTHCHOICE INC /NY/, 7350 HAWK ROAD, FLOWER MOUND, TX, 75022, 9725380122 - 85,000,000 ($2,805,000.00) Equity, (File 333-135955 - Jul. 21) (BR. 01A) F-6 WITWATERSRAND CONSOLIDATED GOLD RESOURCES LTD, 12TH FLOOR, 70 FOX ST., MARSHALLTOWN,JOHANNESBURG, T3, 2001, 27 11 832 1749 - 50,000,000 ($2,500,000.00) ADRs/ADSs, (File 333-135956 - Jul. 21) (BR. ) S-1 MAVERICK OIL & GAS, INC., 888 EAST LAS OLAS BOULEVARD, SUITE 400, FORT LAUDERDALE, FL, 33301, 954 463 5707 - 30,089,004 ($27,681,884.00) Equity, (File 333-135957 - Jul. 21) (BR. 04C) S-3 US ENERGY CORP, 877 NORTH 8TH WEST, GLEN L LARSEN BLDG, RIVERTON, WY, 82501, 3078569271 - 11,169,930 ($48,647,797.00) Equity, (File 333-135958 - Jul. 21) (BR. 04C) S-4 IPAYMENT INC, 40 BURTON HILLS BLVD, SUITE 415, NASHVILLE, TN, 37215, 6156651856 - 0 ($205,000,000.00) Non-Convertible Debt, (File 333-135959 - Jul. 21) (BR. 08B) S-8 CTI GROUP HOLDINGS INC, 333 NORTH ALABAMA STREET, SUITE 240, INDIANAPOLIS, IN, 46204, 6106661700X206 - 3,000,000 ($1,290,000.00) Equity, (File 333-135960 - Jul. 21) (BR. 03C) S-4 STERLING FINANCIAL CORP /PA/, NORTH POINTE BANKING CORP, 101 NORTH POINTE BLVD, LANCASTER, PA, 17601-4133, 7175816030 - 800,000 ($529,842.40) Equity, (File 333-135961 - Jul. 21) (BR. 07C) S-3 VECTOR GROUP LTD, 100 S E SECOND ST, MIAMI, FL, 33131, 3055798000 - 0 ($14,557,148.00) Equity, (File 333-135962 - Jul. 21) (BR. 04C) SB-2 GRYPHON GOLD CORP, 390 UNION BLVD., SUITE 360, LAKEWOOD, CO, 80228, 303-988-5222 - 15,239,685 ($16,916,050.35) Equity, (File 333-135963 - Jul. 21) (BR. 03) S-3 STOCKERYALE INC, 32 HAMPSHIRE ROAD, SALEM, NH, 03079, 6038938778 - 642,857 ($642,857.00) Equity, (File 333-135964 - Jul. 21) (BR. 10C) S-4 ENERGY PARTNERS LTD, 201 ST CHARLES AVENUE, NEW ORLEANS, LA, 70170, 5045691875 - 0 ($553,593,555.00) Equity, (File 333-135965 - Jul. 21) (BR. 04A) SB-2 RG GLOBAL LIFESTYLES INC, 17751 MITCHELL AVENUE, IRVINE, CA, 92614, 949-486-6666 - 11,911,600 ($11,896,316.00) Equity, (File 333-135966 - Jul. 21) (BR. 06C) SB-2 HOMELAND ENERGY SOLUTIONS LLC, 951 NORTH LINN AVE, NEW HAMPTON, IA, 50659, 641-985-2147 - 0 ($95,000,000.00) Other, (File 333-135967 - Jul. 21) (BR. ) S-8 SAVANNAH BANCORP INC, 25 BULL ST, SAVANNAH, GA, 31401, 9126518200 - 376,250 ($14,060,462.00) Equity, (File 333-135968 - Jul. 21) (BR. 07A) S-3 CAMBRIDGE HEART INC, ONE OAK PARK DR, BEDFORD, MA, 01730, 7812711200 - 0 ($20,000,000.00) Equity, (File 333-135969 - Jul. 21) (BR. 10A) SB-2 Bywater Resources, Inc, HOWARD HUGHES CENTER, 6080 CENTER DRIVE, 6TH FLOOR, LOS ANGELES, CA, 90045, 732-409-1212 - 4,000,000 ($80,000.00) Equity, (File 333-135970 - Jul. 21) (BR. ) S-8 ELEPHANT TALK COMMUNICATIONS INC, 438 EAST KATELLA AVENUE, SUITE 217, ORANGE, CA, 92867, 714-288-1570 - 25,000,000 ($3,500,000.00) Other, (File 333-135971 - Jul. 21) (BR. 11C) S-8 CAMBRIDGE HEART INC, ONE OAK PARK DR, BEDFORD, MA, 01730, 7812711200 - 0 ($223,500.00) Equity, (File 333-135972 - Jul. 21) (BR. 10A) S-8 NRG ENERGY, INC., 211 CARNEGIE CENTER, -, PRINCETON, NJ, 08540, 609-524-4500 - 0 ($188,120,000.00) Equity, (File 333-135973 - Jul. 21) (BR. 02A) S-4 MGM MIRAGE, 3600 LAS VEGAS BLVD S, LAS VEGAS, NV, 89109, 7028913333 - 0 ($2,107,000.00) Non-Convertible Debt, (File 333-135974 - Jul. 21) (BR. 05B) S-4 MGM MIRAGE, 3600 LAS VEGAS BLVD S, LAS VEGAS, NV, 89109, 7028913333 - 0 ($750,000,000.00) Non-Convertible Debt, (File 333-135975 - Jul. 21) (BR. 05B) 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 450 Fifth Street, N.W., Washington, D.C. 20549 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 NUMBERS DATE COMMENT ------------------------------------------------------------------------------------------------------------------- 1ST INDEPENDENCE FINANCIAL GROUP, INC DE 8.01 07/21/06 511410 INC DE 8.01 07/21/06 ABLE LABORATORIES INC DE 1.03,9.01 07/17/06 ACME UNITED CORP CT 2.02,9.01 07/21/06 AEHR TEST SYSTEMS CA 2.02,9.01 07/20/06 AMEND AFS Funding Trust 8.01,9.01 07/20/06 AIR METHODS CORP DE 2.02 07/20/06 AJS BANCORP INC DE 2.02,8.01 07/20/06 AKAMAI TECHNOLOGIES INC DE 1.01 07/18/06 ALBANY INTERNATIONAL CORP /DE/ DE 2.02,9.01 07/20/06 ALFA CORP DE 2.02,9.01 07/20/06 ALLERGAN INC DE 9.01 03/23/06 AMEND ALLIANCE LAUNDRY SYSTEMS LLC 1.01 07/20/06 ALLTEL CORP DE 1.01,2.01,9.01 07/17/06 AMCOL INTERNATIONAL CORP DE 2.02,9.01 07/21/06 AMCON DISTRIBUTING CO DE 5.01 07/17/06 AMEDIA NETWORKS, INC. DE 1.01,9.01 07/14/06 AMERICAN INTERNATIONAL GROUP INC DE 1.01,5.02,9.01 07/19/06 American Security Resources Corp. NV 3.02 07/21/06 AMERICASBANK CORP MD 8.01,9.01 07/18/06 AMERIVEST PROPERTIES INC MD 1.01,9.01 07/17/06 AMETEK INC/ DE 2.02,9.01 07/20/06 AMPAL-AMERICAN ISRAEL CORP NY 5.03,8.01,9.01 07/21/06 AMYLIN PHARMACEUTICALS INC DE 2.02,9.01 07/21/06 ARCADIA RESOURCES, INC NV 8.01 07/18/06 ARCH COAL INC DE 2.02,9.01 07/21/06 Argent Securities Trust 2006-M1 2.01,9.01 06/09/06 AT&T INC. DE 8.01 07/21/06 ATLANTIC TELE NETWORK INC /DE DE 8.01,9.01 07/20/06 AURIGA LABORATORIES, INC. DE 5.02,9.01 07/14/06 AUTOBYTEL INC DE 1.01 07/17/06 AVALON HOLDINGS CORP OH 8.01 07/21/06 BANCFIRST CORP /OK/ OK 2.02,9.01 07/20/06 BANK OF KENTUCKY FINANCIAL CORP KY 2.02,9.01 07/21/06 BANKUNITED FINANCIAL CORP FL 1.01 07/20/06 BARNES & NOBLE INC DE 8.01 07/21/06 Battle Mountain Gold Exploration Corp 1.01,5.02,9.01 07/14/06 BAY NATIONAL CORP 1.01 07/19/06 Bayview 2006-B DE 7.01 07/21/06 Bayview Financial Mortgage Pass-Throu 7.01 07/21/06 BELLSOUTH CORP GA 7.01,9.01 07/21/06 BIG SKY ENERGY CORP NV 4.01 05/09/06 AMEND BNC BANCORP NC 2.01,5.02,9.01 07/20/06 BOSTON COMMUNICATIONS GROUP INC MA 1.01,9.01 07/21/06 BOSTON COMMUNICATIONS GROUP INC MA 1.01,9.01 07/21/06 BOTTLING GROUP LLC DE 5.02 07/19/06 BRIDGE BANCORP INC NY 2.02,9.01 07/21/06 Bridge Capital Holdings CA 2.02,9.01 07/20/06 BRIDGE STREET FINANCIAL INC NY 8.01,9.01 07/20/06 BRITTON & KOONTZ CAPITAL CORP MS 2.02,9.01 07/21/06 BROOKS AUTOMATION INC DE 8.01 07/17/06 BTU INTERNATIONAL INC DE 2.02,9.01 07/20/06 Bunge LTD 1.01,5.02,9.01 07/19/06 BWAY CORP DE 1.01,1.02,2.01,2.03,8.01,9.01 07/17/06 CANADIAN ROCKPORT HOMES INTERNATIONAL 4.01,9.01 07/18/06 CAPITALSOURCE INC DE 5.02 07/17/06 CAPSTEAD MORTGAGE CORP MD 2.02,9.01 07/20/06 CARDINAL FINANCIAL CORP VA 2.02,8.01,9.01 07/19/06 CAROLINA BANK HOLDINGS INC NC 2.02,9.01 07/19/06 CATERPILLAR FINANCIAL SERVICES CORP DE 2.02 06/30/06 CATERPILLAR INC DE 2.02,7.01,9.01 07/21/06 Center for Wound Healing, Inc. 5.02 07/18/06 CENTILLIUM COMMUNICATIONS INC DE 1.01,9.01 07/19/06 CENTRAL BANCORP INC /MA/ MA 8.01,9.01 07/20/06 CENTRAL FEDERAL CORP DE 2.02,9.01 07/21/06 CENTRAL VERMONT PUBLIC SERVICE CORP VT 8.01 07/18/06 CENTURYTEL INC LA 8.01,9.01 07/21/06 CHILCO RIVER HOLDINGS INC 1.01,3.02 07/05/06 CHINA BIOPHARMACEUTICALS HOLDINGS INC DE 5.02,8.01,9.01 07/21/06 CHINA FUND INC MD 7.01,9.01 06/01/06 CHITTENDEN CORP /VT/ VT 7.01,9.01 06/30/06 Citigroup Mortgage Loan Trust Inc., S 2.01,9.01 05/31/06 CITIZENS COMMUNITY BANCORP 8.01,9.01 07/21/06 CKE RESTAURANTS INC DE 3.01,8.01 07/17/06 CLEAN POWER TECHNOLOGIES INC. NV 2.01,3.02,5.01,5.03,9.01 05/22/06 COACH INDUSTRIES GROUP INC NV 5.02 07/20/06 COGNOS INC CA 2.02 05/31/06 COHU INC DE 2.02,9.01 07/20/06 COLE KENNETH PRODUCTIONS INC NY 5.02 07/21/06 COLONIAL BANCGROUP INC DE 7.01 07/21/06 COLONY BANKCORP INC GA 2.02,7.01,9.01 07/21/06 COMMERCIAL BANKSHARES INC FL 2.02,9.01 07/20/06 COMMUNITY BANK SYSTEM INC DE 2.02,9.01 07/20/06 CommunitySouth Bancshares Inc SC 2.02,9.01 07/19/06 COMPUTER PROGRAMS & SYSTEMS INC DE 2.02,9.01 07/20/06 COMTEX NEWS NETWORK INC DE 5.02,9.01 07/17/06 CONAGRA FOODS INC /DE/ DE 2.02,2.06,8.01 07/14/06 AMEND CONNECTICUT WATER SERVICE INC / CT CT 8.01,9.01 07/20/06 COOPER INDUSTRIES LTD 1.01,2.02,9.01 07/20/06 CORDIA CORP NV 7.01 07/21/06 COUSINS PROPERTIES INC GA 1.01 07/17/06 CRDENTIA CORP DE 1.01,9.01 07/18/06 CREDIT SUISSE (USA) INC DE 9.01 07/21/06 CROSS TIMBERS ROYALTY TRUST TX 2.02,9.01 07/21/06 CROWN HOLDINGS INC PA 5.02,9.01 07/19/06 CRYOCOR INC DE 1.01,5.02,9.01 07/21/06 CSB BANCORP INC /OH OH 2.02,9.01 07/20/06 CYBERONICS INC DE 2.04,8.01 07/15/06 CYTODYN INC CO 1.01,2.01,9.01 06/20/06 DANA CORP VA 3.03,9.01 07/18/06 DANAHER CORP /DE/ DE 2.03 07/21/06 DELL INC DE 2.02,9.01 07/21/06 DONEGAL GROUP INC DE 1.01,2.02,5.03,9.01 07/20/06 DSP GROUP INC /DE/ DE 5.02 07/19/06 DST SYSTEMS INC DE 2.02,9.01 07/20/06 Eagle Hospitality Properties Trust, I MD 1.01,2.01,9.01 07/21/06 EDENTIFY, INC. NV 4.02 07/19/06 Education Realty Trust, Inc. MD 9.01 01/06/06 AMEND ELCOM INTERNATIONAL INC DE 1.01,5.02 07/21/06 Embarq CORP DE 2.02,9.01 07/21/06 EMC CORP MA 1.01 06/28/06 EMCLAIRE FINANCIAL CORP PA 2.02,9.01 07/21/06 EMERGING VISION INC NY 1.01,9.01 07/14/06 Energy Transfer Partners, L.P. DE 2.01,9.01 06/01/06 AMEND ENESCO GROUP INC IL 1.01,9.01 07/20/06 Epic Bancorp 1.01,2.02,5.03,9.01 07/21/06 EPLUS INC DE 3.01,9.01 07/17/06 EQUITABLE FINANCIAL CORP 8.01,9.01 07/21/06 ESSEX PROPERTY TRUST INC MD 8.01,9.01 07/20/06 EVISION INTERNATIONAL INC CO 4.01 07/13/06 AMEND EXPEDITORS INTERNATIONAL OF WASHINGTO WA 7.01 07/20/06 EXPRESSJET HOLDINGS INC DE 7.01 07/21/06 F5 NETWORKS INC WA 7.01,9.01 07/20/06 FAIRCHILD CORP DE 8.01 07/19/06 FARMERS NATIONAL BANC CORP /OH/ OH 2.02,9.01 07/21/06 FEDERAL NATIONAL MORTGAGE ASSOCIATION 2.02,7.01,9.01 07/18/06 FIDELITY BANKSHARES INC DE 2.02,8.01,9.01 07/21/06 FIDELITY SOUTHERN CORP GA 2.02,9.01 07/20/06 FIRST FINANCIAL HOLDINGS INC /DE/ DE 2.02,9.01 07/21/06 FIRST HORIZON PHARMACEUTICAL CORP DE 1.01,9.01 07/19/06 FIRST NATIONAL CORP /VA/ VA 2.02,9.01 07/20/06 FIRST NIAGARA FINANCIAL GROUP INC DE 2.02,9.01 07/14/06 FIRST NORTHERN COMMUNITY BANCORP CA 2.02,7.01,9.01 06/30/06 FIRST OF LONG ISLAND CORP NY 1.01,3.03,7.01,8.01,9.01 07/18/06 FIRST REGIONAL BANCORP CA 2.02,7.01,8.01,9.01 07/18/06 AMEND FIRST STATE FINANCIAL CORP/FL 2.02 07/21/06 FIRSTMERIT CORP /OH/ OH 2.02,9.01 07/20/06 FLAGSTAR BANCORP INC MI 2.02,9.01 07/20/06 FLORIDA COMMUNITY BANKS INC FL 2.02,9.01 07/20/06 FNB CORP/FL/ FL 5.02,9.01 07/19/06 FNB United Corp. NC 1.01,9.01 07/19/06 FOAMEX INTERNATIONAL INC DE 1.01,3.03,9.01 07/19/06 FULTON FINANCIAL CORP PA 1.01,9.01 07/21/06 GARMIN LTD 8.01,9.01 07/21/06 GB&T BANCSHARES INC GA 1.01,2.02,9.01 07/17/06 GCO Education Loan Funding Trust-I DE 8.01,9.01 07/17/06 GENLYTE GROUP INC DE 5.02 07/21/06 GENTA INC DE/ DE 5.02,9.01 07/21/06 GENWORTH FINANCIAL INC DE 1.01,5.02,9.01 07/20/06 GLENAYRE TECHNOLOGIES INC DE 1.01,9.01 07/19/06 GLOBAL GOLD CORP DE 4.02 07/20/06 GOLDEN PATRIOT CORP NV 8.01,9.01 07/19/06 GRANDSOUTH BANCORPORATION SC 2.02,9.01 07/17/06 GREAT ATLANTIC & PACIFIC TEA CO INC MD 2.02,9.01 07/21/06 GRIFFON CORP DE 1.01,9.01 07/18/06 GS FINANCIAL CORP LA 2.02,9.01 07/20/06 GSV INC DE 4.01,9.01 07/18/06 GTSI CORP DE 1.01,9.01 07/13/06 H&E Equipment Services, Inc. DE 9.01 07/20/06 AMEND HANOVER DIRECT INC DE 5.02 07/18/06 HARRAHS ENTERTAINMENT INC DE 1.01,5.03,8.01,9.01 07/19/06 HERBALIFE LTD. E9 1.01,1.02,2.03,2.04,8.01,9.01 07/21/06 HERTZ CORP DE 1.01,5.02 07/17/06 HMN FINANCIAL INC DE 2.02,9.01 07/20/06 HNI CORP IA 2.02,9.01 07/21/06 HOLMES BIOPHARMA, INC. NV 8.01 07/21/06 Home Equity Loan Trust 2006-HSA4 8.01,9.01 07/20/06 Home Loan Trust 2006-HI3 DE 8.01,9.01 07/21/06 HORIZON BANCORP /IN/ IN 1.01,9.01 07/19/06 Horizon Lines, Inc. 7.01,9.01 07/21/06 HOSPITALITY PROPERTIES TRUST MD 8.01,9.01 07/21/06 HOUSTON AMERICAN ENERGY CORP DE 8.01,9.01 07/20/06 HSI ASSET SECURITIZATION CORP 8.01 07/07/06 HUB GROUP INC DE 2.02,9.01 06/30/06 HUGOTON ROYALTY TRUST TX 2.02,9.01 07/21/06 HUNTINGTON BANCSHARES INC/MD MD 2.02,9.01 07/21/06 HURCO COMPANIES INC IN 5.02,9.01 07/21/06 HUSKER AG LLC NE 1.01,5.02 07/17/06 ICHARGEIT INC DE 1.01,9.01 07/20/06 AMEND ICOS CORP WA 2.02 07/21/06 IDEX CORP /DE/ DE 7.01,9.01 07/20/06 IMMUCELL CORP /DE/ DE 2.02,9.01 07/20/06 INDEPENDENT BANK CORP MI 9.01 07/19/06 INSIGHT ENTERPRISES INC DE 1.01,9.01 07/20/06 INTELLIGROUP INC NJ 1.01,5.02,8.01,9.01 07/21/06 INTERACTIVE INTELLIGENCE INC IN 1.01,9.01 07/19/06 INTERNATIONAL SURFACING INC DE 4.01 11/18/05 IOMEGA CORP DE 1.01 07/17/06 iPhone2, Inc. WA 4.01,9.01 06/13/06 JACUZZI BRANDS INC DE 8.01,9.01 07/17/06 AMEND KNIGHT TRANSPORTATION INC AZ 2.02,9.01 07/19/06 LABORATORY CORP OF AMERICA HOLDINGS DE 1.01,5.02 07/21/06 LAWSON SOFTWARE AMERICAS, INC DE 2.01,9.01 04/24/06 AMEND Lawson Software, Inc. MN 2.01,9.01 04/24/06 AMEND LEAR CORP DE 1.01,9.01 07/20/06 LEE ENTERPRISES, INC DE 2.02,9.01 07/20/06 LEHMAN ABS CORP COR BK TR CER CORN DE DE 8.01 07/20/06 LEHMAN BROTHERS HOLDINGS INC DE 9.01 07/20/06 LIBERTY BANCORP INC MO 8.01,9.01 07/21/06 LIFE USA INC CO 3.02 07/20/06 LILLY ELI & CO IN 2.02,9.01 07/21/06 LIN TV CORP DE 5.02 07/21/06 LITHIUM TECHNOLOGY CORP DE 1.01 07/14/06 LODGENET ENTERTAINMENT CORP DE 2.02,9.01 07/20/06 M B A HOLDINGS INC NV 2.01,9.01 06/30/06 MAF BANCORP INC DE 1.01,1.02,2.02,2.03,9.01 07/20/06 MAF BANCORP INC DE 1.01,1.02,2.02,2.03,9.01 07/20/06 MANGAPETS, INC. DE 5.02 06/13/06 MARTIN MIDSTREAM PARTNERS LP DE 7.01,9.01 07/21/06 MASTR Alternative Loan Trust 2006-2 DE 8.01,9.01 07/21/06 AMEND MASTR Asset Backed Securities Trust 2 DE 8.01,9.01 07/21/06 AMEND MATHSTAR INC MN 7.01 07/21/06 MAXXAM INC DE 1.01,1.02,2.03,9.01 07/18/06 MAYFAIR MINING & MINERALS INC NV 5.02 07/20/06 MEDTOX SCIENTIFIC INC DE 2.02,9.01 07/17/06 MENTOR GRAPHICS CORP OR 5.03 07/19/06 Mercantile Bancorp, Inc. DE 5.05,9.01 07/17/06 Mercantile Bancorp, Inc. DE 2.02,9.01 07/19/06 MERCHANTS BANCSHARES INC DE 2.02,9.01 07/21/06 Merisant Worldwide, Inc. DE 5.02 07/20/06 MERRILL MERCHANTS BANCSHARES INC ME 2.02,9.01 07/21/06 MESA OFFSHORE TRUST TX 7.01,9.01 07/21/06 MESA ROYALTY TRUST/TX TX 7.01,9.01 07/21/06 MFB CORP IN 8.01 06/30/06 MICRON ENVIRO SYSTEMS INC NV 1.01,9.01 06/26/06 MID WISCONSIN FINANCIAL SERVICES INC WI 2.02,9.01 07/21/06 MIDCAROLINA FINANCIAL CORP NC 8.01,9.01 06/30/06 MIDDLEBURG FINANCIAL CORP VA 5.02 07/17/06 MIDWESTONE FINANCIAL GROUP INC IA 2.02,9.01 07/21/06 MODTECH HOLDINGS INC CA 3.02 07/19/06 Molecular Pharmacology (USA) LTD NV 8.01,9.01 07/19/06 Molecular Pharmacology (USA) LTD NV 5.02,9.01 07/20/06 MOLEX INC DE 5.02 07/18/06 Morgan Stanley IXIS Real Estate Capit DE 8.01,9.01 06/30/06 MORLEX INC /CO CO 4.01,9.01 07/06/06 AMEND MULTI COLOR CORP OH 2.02,9.01 07/21/06 MWI Veterinary Supply, Inc. DE 1.01,7.01,9.01 07/19/06 Nalco Finance Holdings LLC 1.01,9.01 07/20/06 Nalco Holdings LLC DE 1.01,9.01 07/20/06 NANOPHASE TECHNOLOGIES CORPORATION IL 2.02,9.01 07/20/06 NASB FINANCIAL INC MO 8.01 07/21/06 NATIONAL BANK OF INDIANAPOLIS CORP IN 5.02 07/20/06 NATIONAL BANKSHARES INC VA 2.02 06/30/06 NATIONSRENT COMPANIES INC DE 1.01,8.01,9.01 07/18/06 NEPHROS INC DE 3.01,9.01 07/17/06 NETMANAGE INC DE 2.02,9.01 07/21/06 NEW HAMPSHIRE THRIFT BANCSHARES INC DE 2.02,9.01 07/14/06 NewMarket Technology Inc NV 8.01,9.01 07/20/06 NEWMIL BANCORP INC DE 2.02,9.01 07/19/06 Newport Bancorp Inc MD 1.01 07/18/06 NextWave Wireless LLC DE 1.01,2.03,3.02,9.01 07/17/06 NOBLE INTERNATIONAL, LTD. DE 2.02,9.01 07/21/06 NORTH EUROPEAN OIL ROYALTY TRUST DE 4.01,9.01 07/18/06 NORTH FORK BANCORPORATION INC DE 2.02,9.01 07/21/06 NORTHERN ETHANOL, INC. DE 4.01,9.01 07/20/06 NORTHWEST INDIANA BANCORP IN 1.01,9.01 07/20/06 NOVA OIL INC NV 5.02,7.01,9.01 07/17/06 NOVASTAR RESOURCES LTD. NV 1.01,9.01 07/21/06 NS GROUP INC KY 1.01,9.01 07/18/06 NTL INC DE 1.01,9.01 07/10/06 NUCOR CORP DE 2.02,9.01 07/21/06 NUVELO INC DE 5.02,9.01 07/17/06 OCCIDENTAL PETROLEUM CORP /DE/ DE 1.01,5.03,8.01,9.01 07/19/06 OCEANFIRST FINANCIAL CORP DE 2.02,8.01,9.01 07/19/06 Odimo INC DE 9.01 05/11/06 AMEND OHIO VALLEY BANC CORP OH 8.01 07/18/06 OLD SECOND BANCORP INC DE 2.02,9.01 07/21/06 ONYX SOFTWARE CORP/WA WA 8.01,9.01 07/20/06 OSAGE FEDERAL FINANCIAL INC 1.01,2.02,8.01,9.01 07/21/06 OSULLIVAN INDUSTRIES HOLDINGS INC DE 5.02 07/21/06 PACIFIC PREMIER BANCORP INC DE 2.02,9.01 07/20/06 PARK NATIONAL CORP /OH/ OH 5.05,9.01 07/17/06 PARKVALE FINANCIAL CORP PA 2.02,9.01 07/20/06 PENN OCTANE CORP DE 3.01,9.01 07/17/06 PENNS WOODS BANCORP INC PA 2.02,9.01 07/20/06 PENTON MEDIA INC DE 1.01 07/19/06 PEOPLES BANCORPORATION INC /SC/ SC 2.02,9.01 07/18/06 PEOPLES LIBERATION INC DE 1.01,5.02,9.01 07/13/06 PEP BOYS MANNY MOE & JACK PA 1.01,5.02,9.01 07/17/06 PEPSI BOTTLING GROUP INC DE 1.01,5.02 07/19/06 PERFORMANCE CAPITAL MANAGEMENT LLC CA 1.01 07/17/06 PETROLEUM DEVELOPMENT CORP NV 8.01 07/20/06 PETROLEUM DEVELOPMENT CORP NV 7.01,9.01 07/06/06 PETROLEUM DEVELOPMENT CORP NV 2.01,7.01 07/21/06 PFGI CAPITAL CORP MD 2.02,8.01,9.01 07/21/06 PHH CORP MD 2.02,4.02,8.01,9.01 07/17/06 PINNACLE WEST CAPITAL CORP AZ 2.02,7.01,9.01 06/30/06 PLANAR SYSTEMS INC OR 1.01,9.01 07/18/06 PMI GROUP INC DE 8.01,9.01 07/21/06 PNM RESOURCES INC NM 8.01 07/21/06 POCAHONTAS BANCORP INC DE 2.02,9.01 07/19/06 PPG INDUSTRIES INC PA 5.03,9.01 07/20/06 PRIDE BUSINESS DEVELOPMENT HOLDINGS, 1.01,2.03,3.02,9.01 07/18/06 PROGRESSIVE CORP/OH/ OH 5.02 07/17/06 ProLink Holdings Corp. DE 1.01,5.02 07/18/06 PROSPERITY BANCSHARES INC TX 2.02,9.01 07/20/06 PROSPERITY BANCSHARES INC TX 7.01,8.01,9.01 07/20/06 PROTOCALL TECHNOLOGIES INC NV 9.01 06/27/06 PSB HOLDINGS INC /WI/ WI 2.02,9.01 07/21/06 PYRAMID BREWERIES INC WA 8.01 07/20/06 PYRAMID OIL CO CA 8.01 07/20/06 QCR HOLDINGS INC DE 2.02,9.01 07/21/06 QUAKER FABRIC CORP /DE/ DE 2.02,8.01,9.01 07/18/06 QUEST RESOURCE CORP NV 7.01,9.01 07/19/06 QUOVADX INC DE 1.01,9.01 07/21/06 RADIOSHACK CORP DE 2.02,9.01 07/21/06 RED TRAIL ENERGY, LLC 5.02 07/13/06 RENAISSANCE LEARNING INC WI 2.02,8.01,9.01 07/18/06 RENAISSANCERE HOLDINGS LTD 1.01,9.01 07/19/06 REPUBLIC BANCORP INC /KY/ KY 2.02,9.01 07/21/06 RESTAURANT CO DE 4.01,9.01 07/17/06 REWARDS NETWORK INC DE 8.01,9.01 07/20/06 REYNOLDS & REYNOLDS CO OH 2.02,9.01 07/21/06 RIMAGE CORP MN 1.01,2.02,9.01 07/19/06 ROBBINS & MYERS INC OH 1.01,5.02,9.01 07/17/06 RURBAN FINANCIAL CORP OH 2.02,7.01,9.01 07/20/06 S3 INVESTMENT COMPANY, INC. CA 1.01 07/17/06 AMEND SAIA INC DE 2.02,9.01 07/20/06 SATCON TECHNOLOGY CORP DE 1.01,1.02,2.03,3.02,8.01,9.01 07/19/06 SCHLUMBERGER LTD /NV/ P8 2.02,9.01 07/21/06 SCHNITZER STEEL INDUSTRIES INC OR 3.01,9.01 07/18/06 SCHWEITZER MAUDUIT INTERNATIONAL INC DE 1.01,2.03,9.01 07/20/06 Securitized Asset Backed Receivables 8.01,9.01 07/06/06 SENECA FOODS CORP /NY/ NY 7.01,9.01 07/21/06 SEPRACOR INC /DE/ DE 2.02,9.01 07/21/06 Services Acquisition Corp. Internatio DE 8.01,9.01 07/20/06 SIERRA PACIFIC RESOURCES /NV/ NV 8.01 07/20/06 SIERRA PACIFIC RESOURCES /NV/ NV 8.01,9.01 07/20/06 AMEND SIMMONS FIRST NATIONAL CORP AR 2.02 07/20/06 SIMULATIONS PLUS INC 8.01,9.01 07/20/06 SINOFRESH HEALTHCARE INC FL 7.01 07/18/06 SIX FLAGS INC DE 7.01,9.01 07/21/06 SMALL WORLD KIDS INC UT 5.02 07/18/06 SMART VIDEO TECHNOLOGIES INC 1.01,3.02,9.01 07/17/06 SMITHWAY MOTOR XPRESS CORP NV 2.02,9.01 07/20/06 SOLAR ENERGY SOURCES INC. 1.01,9.01 07/15/06 SOLAR ENERTECH CORP NV 1.01,9.01 07/19/06 SONA MOBILE HOLDINGS CORP DE 1.01,5.02,9.01 07/21/06 SONEX RESEARCH INC MD 8.01 07/21/06 SOUTH FINANCIAL GROUP INC SC 2.02,9.01 07/20/06 SOUTHERN COMMUNITY FINANCIAL CORP 7.01,9.01 07/21/06 SOUTHERN CONNECTICUT BANCORP INC CT 2.02,9.01 07/21/06 STAR GAS PARTNERS LP DE 1.01,3.03,9.01 07/20/06 STATE BANCORP INC NY 2.02,9.01 07/21/06 STOCKERYALE INC MA 2.02,9.01 07/19/06 Storm Cat Energy CORP 1.01,9.01 07/17/06 STRATS SM TRUST FOR DAIMLERCHRYSLER N 8.01,9.01 07/17/06 STRATS SM TRUST FOR Goldman Sachs Cap 8.01,9.01 07/17/06 STRATS SM TRUST FOR GOLDMAN SACHS GRO 8.01,9.01 07/17/06 STRATS SM TRUST FOR JPMORGAN CHASE & 8.01,9.01 07/17/06 STRATS SM TRUST FOR WAL-MART STORES, 8.01,9.01 07/17/06 STRATS(SM) TRUST FOR DOMINION RESOURC 8.01,9.01 07/17/06 STRATS(SM) TRUST FOR GEN ELEC CAP COR 8.01,9.01 07/17/06 STRATS(SM) Trust For Goldman Sachs Ca 8.01,9.01 07/17/06 Structured Asset Investment Loan Trus DE 8.01 07/20/06 AMEND SULPHCO INC NV 8.01,9.01 07/20/06 SULPHCO INC NV 1.01,9.01 07/21/06 SUMMIT FINANCIAL GROUP INC WV 2.02,9.01 07/21/06 SUN COMMUNITIES INC MD 2.02,9.01 07/21/06 SUN MICROSYSTEMS, INC. DE 5.02 07/17/06 SUN NEW MEDIA INC. MN 2.01,3.02,9.01 03/10/06 AMEND SUSSEX BANCORP NJ 2.02,8.01,9.01 07/20/06 SYBASE INC DE 2.02,9.01 07/20/06 T REIT INC VA 1.01,8.01,9.01 07/13/06 TACTICAL AIR DEFENSE SERVICES, INC. NV 8.01,9.01 07/20/06 TECHE HOLDING CO LA 2.02,9.01 07/20/06 Telzuit Medical Technologies, Inc. 1.01,3.02,9.01 07/14/06 TESSERA TECHNOLOGIES INC DE 1.01,7.01,9.01 07/21/06 TETON ENERGY CORP DE 1.01,7.01,8.01,9.01 07/20/06 TEXAS CAPITAL BANCSHARES INC/TX DE 2.02,9.01 07/19/06 THERMADYNE HOLDINGS CORP /DE DE 1.01,8.01,9.01 07/21/06 THOMAS PROPERTIES GROUP INC DE 1.01,9.01 07/17/06 THORNBURG MORTGAGE INC MD 2.02,9.01 07/20/06 TIVO INC DE 8.01,9.01 07/21/06 TOMPKINS TRUSTCO INC NY 8.01,9.01 07/21/06 Traffic.com, Inc. DE 1.01 07/20/06 TRANSCAT INC OH 2.02,9.01 07/18/06 TREND MINING CO DE 7.01,9.01 07/20/06 ULTRALIFE BATTERIES INC DE 2.01,9.01 07/03/06 AMEND UNIFIRST CORP MA 8.01,9.01 07/20/06 UNIFIRST CORP MA 1.01,9.01 07/19/06 UNION TANK CAR CO DE 5.02 07/21/06 UNIONBANCAL CORP DE 2.02,9.01 07/20/06 UNITED PAN AM FINANCIAL CORP CA 2.02,9.01 07/20/06 UNITY WIRELESS CORP DE 1.01 07/21/06 US Energy Initiatives CORP GA 1.01,2.03,9.01 07/14/06 US XPRESS ENTERPRISES INC NV 2.02,9.01 07/20/06 UTEK CORP 8.01,9.01 07/18/06 UTIX GROUP INC DE 1.01,9.01 07/17/06 VALENCE TECHNOLOGY INC DE 1.01,9.01 07/20/06 Valera Pharmaceuticals Inc 1.01,9.01 07/17/06 Valley Commerce Bancorp CA 3.03,8.01,9.01 07/18/06 VALLEY NATIONAL BANCORP NJ 5.02 07/18/06 VELOCITY EXPRESS CORP DE 1.01 07/20/06 VESTA INSURANCE GROUP INC DE 7.01 07/20/06 VIRGINIA FINANCIAL GROUP INC VA 8.01,9.01 07/21/06 VITASTI, INC. /DE/ DE 1.01,9.01 07/17/06 VULCAN MATERIALS CO NJ 1.01,9.01 07/19/06 Vyteris Holdings (Nevada), Inc. NV 1.01,2.03 07/18/06 VYYO INC DE 1.01,2.03 07/17/06 W&T OFFSHORE INC TX 1.01,7.01,9.01 07/21/06 WASHINGTON REAL ESTATE INVESTMENT TRU MD 5.02,9.01 07/19/06 WERNER ENTERPRISES INC NE 2.02,9.01 07/19/06 WEST CORP DE 2.02,8.01,9.01 07/19/06 WESTMORELAND COAL CO DE 4.02 07/20/06 WILMINGTON TRUST CORP DE 2.02 07/21/06 WINDSTREAM CORP DE 1.01,1.02,2.01,2.03,5.01,5.02,5.03,5.05,9.01 07/17/06 Winsted Holdings, Inc. FL 4.02,8.01,9.01 07/21/06 WORKSTREAM INC 2.02,9.01 07/20/06 WORLD MONITOR TRUST SERIES A DE 8.01,9.01 07/20/06 WORLD MONITOR TRUST SERIES B DE 8.01,9.01 07/20/06 Z AXIS CORP CO 1.01,2.03,9.01