SEC NEWS DIGEST Issue 2007-35 February 22, 2007 ENFORCEMENT PROCEEDINGS IN THE MATTER OF ANTHONY HURLEY On February 21, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions (Order) against Anthony L. Hurley. The Order finds that Hurley was a certified public accountant licensed in the State of Massachusetts and that he was employed as the assistant controller of Enterasys Networks, Inc. from October 1998 through November 2002. The Commission filed a civil injunctive complaint alleging that Hurley and others engaged in a fraudulent scheme which resulted in Enterasys reporting inflated revenues for periods in 2000 and 2001. The Commission alleged, among other things, that Enterasys improperly recognized revenues from sales tied to investment transactions that lacked economic substance. It contended that Enterasys funded the purchase of its own products by purchasing equity interests in other companies that used the investment proceeds to pay for Enterasys products. The Commission alleged that Hurley knowingly participated in the fraudulent scheme by allowing Enterasys to improperly recognize revenue and by misrepresenting material information to, or concealing material information from, Enterasys' outside auditor. The Order also finds that a permanent injunction was entered against Hurley on Feb. 6, 2007, in the civil action Securities and Exchange Commission v. Anthony L. Hurley, Civil Action Number 07cv022, in the U.S. District Court for the District of New Hampshire. The injunction prohibits future violations of Sections 10(b) and 13(b)(5) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 10b-5, 13b2-1 and 13b2-2 thereunder, and from aiding and abetting violations of Sections 13(a), 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act and Rules 12b-20, 13a- 1 and 13a-13 thereunder. Based on the above, the Order suspends Hurley from appearing or practicing before the Commission as an accountant. After five years from the date of this Order, Hurley may request that the Commission consider his reinstatement by submitting an application. Hurley consented to the issuance of the Order without admitting or denying any of the findings in the Order. (Rel. 34-55324; AAE Rel. 2564; File No. 3-12571) IN THE MATTER OF SHEA SILVA On February 21, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Exchange Act) Making Findings and Imposing Remedial Sanctions (Order) against Shea Silva. The Order finds that Silva, president and sole principal of Allied Capital Management, Inc., Sunrise Energy, Inc., and Blue Marlin Energy, Inc., acted as an unregistered broker, and was not associated with any registered broker-dealer when he solicited investors to purchase securities, negotiated terms of sales to investors and received and handled investor funds. The Order further finds that on Dec. 11, 2006, Silva was permanently enjoined from future violations of Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 (Securities Act) and Sections 10(b) and 15(a) of the Exchange Act and Rule 10b-5 thereunder in the civil action entitled Securities and Exchange Commission v. Allied Capital Management, Inc., Shea Silva and Joanna Banks, Civil Action Number 05-cv-08800-GPS (JTLx), in the U.S. District Court for the Central District of California. In the complaint, the Commission alleged that Silva misused and misappropriated investor funds, made numerous misrepresentations to investors, including misrepresentations about Allied Capital, Silva, the nature of the investments, the risks involved in the investments and the potential returns on the investments, and otherwise engaged in a variety of conduct which operated as a fraud and deceit on investors. The complaint also alleged that Silva sold unregistered securities and that Silva acted as an unregistered broker. Based on the above, the Order bars Shea Silva from association with any broker or dealer. Shea Silva consented to the issuance of the Order without admitting or denying the findings of the Order, except as to the jurisdiction of the Commission and the entry of the injunction against him. (Rel. 34-55327; File No. 3-12572) SEC OBTAINS FINAL JUDGMENT AGAINST FORMER REGISTERED REPRESENTATIVE AT DEUTSCHE BANK SECURITIES, INC. FOR DECEPTIVE MARKET TIMING OF MUTUAL FUNDS The Commission announced that on Jan. 26, 2007, the U.S. District Court for the Southern District of New York entered a final judgment against Michael G. Velasco. Velasco was a registered representative at Deutsche Bank Securities, Inc., a registered broker- dealer and investment adviser. In the complaint in this action, the Commission alleges that Velasco defrauded mutual funds by engaging in deceptive practices to circumvent mutual funds' restrictions on his market timing customers. The final judgment permanently enjoins Velasco from violating Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5. In addition, the final judgment directs Velasco to pay disgorgement of $60,824.26 plus prejudgment interest of $8,063.17, and directs him to pay a civil penalty of $60,824.26. Velasco consented to the entry of the final judgment without admitting or denying the allegations in the complaint. The Commission also announced today that it instituted a settled administrative proceeding against Velasco. The Commission entered an order based on the entry of the injunction barring Velasco from association with any broker or dealer or investment adviser, with the right to reapply for association after 2 years, pursuant to Section 15(b) of the Exchange Act and Section 203(f) of the Investment Advisers Act of 1940. Velasco consented to the entry of the order without admitting or denying its findings except he admitted the entry of the injunction. For further information, see Litigation Release No. 19954 (Dec. 21, 2006). [SEC v. Michael G. Velasco, Civil Action No. 06 CV 15345 (SDNY)] (LR-20012); Administrative Proceeding - Rel. 34- 55322; IA-2592; File No. 3-12570) SEC FILES SETTLED INSIDER TRADING CHARGES AGAINST FORMER SADIA S.A. CHIEF FINANCIAL OFFICER AND FORMER INVESTMENT BANKER AT ABN AMRO REAL S.A. The Commission today filed settled civil actions in the U.S. District Court for the District of Columbia against (i) Luiz Gonzaga Murat Júnior, former Chief Financial Officer and Director of Investor Relations at Sadia S.A. (Sadia), a Brazilian food products company, and (ii) Alexandre Ponzio De Azevedo, a former employee of Banco ABN AMRO Real S.A. (ABN AMRO), an investment banking firm retained by Sadia. Each defendant is alleged to have engaged in insider trading by purchasing securities of Perdigão S.A. (Perdigão) prior to Sadia's tender offer for Perdigão, which was announced on July 16, 2006. Without admitting or denying the allegations, Murat and Azevedo have each consented to the entry of a final judgment imposing injunctive and monetary relief. Murat has also consented to be barred from acting as an officer or director of a publicly traded company for a period of five years. The Commission's complaint against Murat alleges that on April 7, 2006, representatives of an investment bank met with Murat and another Sadia executive to propose that Sadia make a tender offer for Perdigão. According to the complaint, Murat proceeded to purchase American Depositary Shares (ADSs) of Perdigão both later the same day and subsequently on June 29, 2006, on the basis of material, nonpublic information concerning the proposed acquisition, and in breach of a duty of trust and confidence he owed to Sadia. The complaint alleges that Murat's holdings totaled 45,900 ADSs of Perdigão by the time Sadia announced the tender offer. On July 17, 2006, the price of Perdigão ADSs increased to $24.50, up $4.25 (21%) from the previous closing price. According to the complaint, Murat had imputed illicit profits of $180,404 from his unlawful trading. The Commission's complaint against Azevedo alleges that he learned of the possible tender offer on April 11, 2006, in his capacity as an employee of ABN AMRO assigned to the tender offer financing team, and that ABN AMRO later placed Perdigão on a list of securities in which ABN AMRO employees could not trade. According to the complaint, Azevedo subsequently purchased 14,000 ADSs of Perdigão on June 20, 2006, on the basis of material, nonpublic information concerning the proposed acquisition, and in breach of a duty of trust and confidence he owed to ABN AMRO. Azevedo sold 10,500 ADSs on July 17, 2006, one day after Sadia had publicly announced its tender offer for Perdigão. According to the complaint, Azevedo realized illicit profits of $52,290 on the 10,500 ADSs he sold on July 17 and had imputed profits of $14,875 on his remaining 3,500 ADSs. Without admitting or denying the allegations in the respective complaints, both defendants have agreed to settle the Commission's charges by consenting to the entry of final judgments that would permanently enjoin them from further violations of Sections 10(b) and 14(e) of the Securities Exchange Act of 1934, and Rules 10b-5 and 14e- 3 thereunder. The final judgment against Murat also would (i) bar him for a period of five years from serving as an officer or director of a publicly traded company, (ii) require him to pay $184,028.12 in disgorgement and prejudgment interest, and (iii) order him to pay a civil penalty of $180,404. The final judgment against Azevedo also would (i) require him to pay $68,215.45 in disgorgement and prejudgment interest, and (ii) require him to pay a civil penalty of $67,165. Azevedo has also consented to the Commission's entry of an order, following the Court's anticipated entry of an injunction against him, which would bar him pursuant to Section 15(b)(6) of the Exchange Act from association with a broker or dealer, with a right to reapply after three years. The Commission wishes to acknowledge the assistance of the Brazilian Comissão de Valores Mobilários. The Commission's investigation in this matter is continuing. [SEC v. Luiz Gonzaga Murat Júnior, C.A. No.1:07CV00381 (D.D.C.) (PLF); SEC v. Alexandre Ponzio De Azevedo, C.A. No.1:07CV00380 (D.D.C.) (PLF)] (LR-20013) INVESTMENT COMPANY ACT RELEASES RYDEX ETF TRUST, ET AL. A notice has been issued giving interested persons until March 19, 2007, to request a hearing on an application filed by Rydex ETF Trust, et al., for an order to permit new series, as described in the application, of an existing open-end management investment company to issue shares of limited redeemability that would trade in the secondary market at negotiated prices. The order would allow dealers to sell shares of the new series in the secondary market unaccompanied by a prospectus when prospectus delivery is not required by the Securities Act of 1933. The order also would permit certain affiliated persons of the new series to deposit securities into, and receive securities from, the new series. (Rel. IC-27703 - February 20) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-Amex-2007-14) filed by the American Stock Exchange relating to the options fee schedule has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 26. (Rel. 34-55296) A proposed rule change filed by NYSE Arca relating to the SizeQuote pilot program (SR-NYSEArca-2007-16) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 26. (Rel. 34-55312) A proposed rule change (SR-NYSE-2007-17) filed by the New York Stock Exchange to provide that there be no initial listing fee payable for any equity security, structured product or closed-end management investment company that transfers from another national securities exchange to NYSE has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 26. (Rel. 34-55314) National Securities Clearing Corporation filed a proposed rule change (SR-NSCC-2006-19) under Section 19(b)(3)(A) of the Securities Exchange Act that revises NSCC's fee schedule. Publication is expected in the Federal Register during the week of February 26. (Rel. 34-55315) A proposed rule change (SR-NYSE-2007-14) and Amendment No. 1 thereto filed by the New York Stock Exchange relating to Rule 70 (Bids and Offers) has become effective under Section 19(b)(3)(A)(ii) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 26. (Rel. 34-55316) A proposed rule change (SR-CHX-2007-01) filed by the Chicago Stock Exchange to specify that a "SOLD" indicator must be affixed to a trade to the extent required by the applicable intermarket trade reporting plans has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 26. (Rel. 34-55319) A proposed rule change (SR-NASDAQ-2007-009) filed by The NASDAQ Stock Market relating to intermarket sweep orders has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 26. (Rel. 34-55323) ACCELERATED APPROVAL OF PROPOSED RULE CHANGES The Commission granted accelerated approval to a proposed rule change (SR-NYSEArca-2007-15) submitted by NYSE Arca, through its wholly-owned subsidiary, NYSE Arca Equities, Inc. to trade shares of the CurrencySharesSM Japanese Yen Trust pursuant to unlisted trading privileges. Publication is expected in the Federal Register during the week of February 26. (Rel. 34-55320) The Commission granted accelerated approval to a proposed rule change (SR-Phlx-2006-85) submitted by the Philadelphia Stock Exchange relating to listing standards for Basket Linked Notes. Publication is expected in the Federal Register during the week of February 26. (Rel. 34-55321) 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 SILVERADO GOLD MINES LTD, 1111 WEST GEORGIA ST, SUITE 505, VANCOUVER BC CANADA, A1, V6E 4M3, 6046891535 - 25,000,000 ($2,525,000.00) Equity, (File 333-140805 - Feb. 21) (BR. 04A) SB-2 Babydot CO, 3071 wandering river court, las vegas, nv, 89135, 702-873-9223 - 2,960,000 ($14,800.00) Non-Convertible Debt, (File 333-140806 - Feb. 21) (BR. 02) S-8 FIRST SOLAR, INC., 4050 EAST COTTON CENTER BLVD, BUILDING 6, SUITE 68, PHOENIX, AZ, 85040, (602) 414-9300 - 0 ($232,754,516.00) Equity, (File 333-140807 - Feb. 21) (BR. 10B) F-1 XINHUA FINANCE MEDIA LTD, ROOMS 3905-3909,TOWER 1,GRAND GATEWAY, 1 HONGQIAO LU, SHANGHAI, F4, 200030, 86-21-6113-5900 - 0 ($371,538,462.00) Equity, (File 333-140808 - Feb. 21) (BR. 11) S-8 CIMATRON LTD, 11 GUSH ETZION ST, GIVAT SHMUEL, ISRAEL 51905, L3, 00000, 9725312121 - 490,000 ($952,190.00) Equity, (File 333-140809 - Feb. 21) (BR. 03B) SB-2 Smart Holdings Inc, 647 MILL POINT DR., MILFORD, MI, 48341, 248-937-1824 - 3,000,000 ($3,000,000.00) Equity, (File 333-140810 - Feb. 21) (BR. 08) S-8 FLEXSTEEL INDUSTRIES INC, PO BOX 877, 3400 JACKSON, DUBUQUE, IA, 52004-0877, 3195567730 - 500,000 ($7,325,000.00) Equity, (File 333-140811 - Feb. 21) (BR. 06B) F-6 XINHUA FINANCE MEDIA LTD, ROOMS 3905-3909,TOWER 1,GRAND GATEWAY, 1 HONGQIAO LU, SHANGHAI, F4, 200030, 86-21-6113-5900 - 100,000,000 ($5,000,000.00) ADRs/ADSs, (File 333-140813 - Feb. 21) (BR. 11) S-1 Arcade Acquisition Corp., 62 LA SALLE ROAD, SUITE 304, WEST HARTFORD, CT, 06107, 201-568-2417 - 0 ($111,000,100.00) Other, (File 333-140814 - Feb. 21) (BR. 09) S-8 1st Pacific Bancorp, 4275 EXECUTIVE SQUARE, SUITE 650, LA JOLLA, CA, 92037, 8588752000 - 0 ($16,594,272.00) Equity, (File 333-140815 - Feb. 21) (BR. 07) S-8 BIOGEN IDEC INC, 11011 TORREYANA ROAD, SAN DIEGO, CA, 92121, 6195508500 - 850,000 ($40,795,750.00) Equity, (File 333-140817 - Feb. 21) (BR. 01A) F-3 Pharmaxis Ltd., 2/10 RODBOROUGH ROAD, FRENCHS FOREST, NEW SOUTH WALES, C3, 2086, 61 (2) 9454 7203 - 0 ($359,200,013.65) Other, (File 333-140818 - Feb. 21) (BR. 01A) S-8 NEWMONT MINING CORP /DE/, 1700 LINCOLN STREET, DENVER, CO, 80203, 303-863-7414 - 0 ($15,000,000.00) Equity, (File 333-140819 - Feb. 21) (BR. 04A) S-8 YP CORP, 4840 E JASMINE ST, STE 110, MESA, AZ, 85020, 4806549646 - 3,000,000 ($3,060,000.00) Equity, (File 333-140820 - Feb. 21) (BR. 09B) N-2 Alternative Investment Partners Absolute Return Fund, ONE TOWER BRIDGE, 100 FRONT STREET, WEST CONSHOHOCKEN, PA, 19428-2881, 610-260-7600 - 750,000 ($750,000,000.00) Equity, (File 333-140821 - Feb. 21) (BR. 16) N-2 Alternative Investment Partners Absolute Return Fund STS, ONE TOWER BRIDGE, 100 FRONT STREET, SUITE 1100, WEST CONSHOHOCKEN, PA, 19428-2881, 610-260-7600 - 450,000 ($450,000,000.00) Equity, (File 333-140822 - Feb. 21) (BR. 16) SB-2 Political Calls, Inc., 1015 S. CIMARRON RD., LAS VEGAS, NV, 89145, 702-273-8920 - 150,612,000 ($3,012,240.00) Equity, (File 333-140823 - Feb. 21) (BR. ) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: 1.01 Entry into a Material Definitive Agreement 1.02 Termination of a Material Definitive Agreement 1.03 Bankruptcy or Receivership 2.01 Completion of Acquisition or Disposition of Assets 2.02 Results of Operations and Financial Condition 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant 2.04 Triggering Events That Accelerate or Increase a Direct Financial Obligation under an Off-Balance Sheet Arrangement 2.05 Cost Associated with Exit or Disposal Activities 2.06 Material Impairments 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 3.02 Unregistered Sales of Equity Securities 3.03 Material Modifications to Rights of Security Holders 4.01 Changes in Registrant's Certifying Accountant 4.02 Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review 5.01 Changes in Control of Registrant 5.02 Departure of Directors or Principal Officers; Election of Directors; Appointment of Principal Officers 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year 5.04 Temporary Suspension of Trading Under Registrant's Employee Benefit Plans 5.05 Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics 6.01. ABS Informational and Computational Material. 6.02. Change of Servicer or Trustee. 6.03. Change in Credit Enhancement or Other External Support. 6.04. Failure to Make a Required Distribution. 6.05. Securities Act Updating Disclosure. 7.01 Regulation FD Disclosure 8.01 Other Events 9.01 Financial Statements and Exhibits 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. 20549-1090 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE 8K ITEM NO. NAME OF ISSUER CODE DATE COMMENT AARON RENTS INC GA 2.02,9.01 02/20/07 ABX AIR INC 1.01,2.03 02/16/07 ACACIA RESEARCH CORP DE 2.02,9.01 02/21/07 ACE MARKETING & PROMOTIONS INC NY 7.01,8.01,9.01 02/09/07 ADVANTA BUSINESS RECEIVABLES CORP 8.01,9.01 02/21/07 ADVENT SOFTWARE INC /DE/ DE 1.01,2.03 02/14/07 AIRTRAX INC NJ 1.01,2.03,3.02,9.01 02/20/07 ALABAMA NATIONAL BANCORPORATION DE 5.02,9.01 02/20/07 ALCAN INC A6 5.02 02/21/07 ALLIED WORLD ASSURANCE CO HOLDINGS LT 1.01,9.01 02/16/07 ALLSTATE LIFE GLOBAL FUNDING DE 9.01 02/14/07 AMB PROPERTY CORP MD 2.03,9.01 02/14/07 AMB PROPERTY LP DE 2.03,9.01 02/14/07 AMC ENTERTAINMENT INC DE 7.01,9.01 02/21/07 AMEDISYS INC DE 5.02,9.01 02/21/07 AMERICAN BIO MEDICA CORP NY 3.01 02/21/07 AMERICAN EQUITY INVESTMENT LIFE HOLDI IA 7.01,9.01 02/21/07 AMERICAN NATIONAL BANKSHARES INC VA 5.02 02/21/07 AMERICAN TOWER CORP /MA/ DE 8.01,9.01 02/20/07 AMERICAS CARMART INC TX 5.02,7.01,9.01 02/19/07 AMPAL-AMERICAN ISRAEL CORP NY 7.01,9.01 02/18/06 AMSURG CORP TN 5.02,9.01 02/15/07 ANALOG DEVICES INC MA 2.02,9.01 02/21/07 ANALYSTS INTERNATIONAL CORP 2.02,5.02,8.01,9.01 02/14/07 ANGELICA CORP /NEW/ MO 5.03,9.01 02/16/07 ANNAPOLIS BANCORP INC MD 8.01,9.01 02/21/07 ANR PIPELINE CO DE 1.01,7.01,9.01 02/20/07 ANSWERTHINK INC FL 8.01 02/21/07 ANTIGENICS INC /DE/ DE 2.02,9.01 02/21/07 APPLE INC CA 5.03,9.01 02/14/07 APPLETON PAPERS INC/WI 2.02,9.01 02/21/07 ARBITRON INC DE 3.01 02/16/07 ARCTIC CAT INC MN 5.02,9.01 02/14/07 ARENA PHARMACEUTICALS INC DE 2.02,8.01,9.01 02/21/07 ARKADOS GROUP, INC. DE 1.01,9.01 02/14/07 ARRIS GROUP INC DE 1.01,9.01 02/14/07 ASHLAND INC. KY 7.01,9.01 02/21/07 ASSET BACKED SECURITIES CORP HOME EQU DE 8.01,9.01 02/21/07 ASTORIA FINANCIAL CORP DE 5.05,8.01,9.01 02/21/07 AVID TECHNOLOGY INC DE 5.02,9.01 02/14/07 AVIS BUDGET GROUP, INC. DE 2.02,9.01 02/20/07 AZUR HOLDINGS, INC. DE 2.04 02/19/07 BANCORP RHODE ISLAND INC 5.02,9.01 02/21/07 BARNES GROUP INC DE 1.01 02/14/07 BARRIER THERAPEUTICS INC DE 8.01,9.01 02/20/07 BEAR STEARNS COMPANIES INC DE 5.02 02/14/07 Behringer Harvard Opportunity REIT I, MD 2.02,9.01 02/21/07 BIO IMAGING TECHNOLOGIES INC DE 2.02,9.01 02/21/07 BLACKHAWK CAPITAL GROUP BDC INC DE 7.01,9.01 02/20/07 BLUE RIVER BANCSHARES INC IN 2.02,9.01 02/21/07 BlueLinx Holdings Inc. DE 5.02 02/14/07 BOWL AMERICA INC MD 8.01 02/21/07 BRIGHTPOINT INC IN 1.01,1.02,2.03,8.01,9.01 02/16/07 BRITTON & KOONTZ CAPITAL CORP MS 8.01,9.01 02/20/07 BROWN SHOE CO INC NY 5.04 02/21/07 BUILDING MATERIALS CORP OF AMERICA DE 7.01,9.01 02/21/07 Bunge LTD 7.01,9.01 02/21/07 BURLINGTON NORTHERN SANTA FE CORP DE 5.02 02/14/07 C-COR INC PA 5.02 02/20/07 CALIFORNIA PIZZA KITCHEN INC DE 8.01,9.01 02/21/07 CALLAWAY GOLF CO /CA DE 1.01,9.01 02/15/07 CANARGO ENERGY CORP DE 1.01,1.02,2.03,9.01 02/21/07 CANEUM INC NV 8.01 02/14/07 CAPITAL CORP OF THE WEST CA 5.02,9.01 02/20/07 Capital One Auto Finance Trust 2007-A DE 8.01,9.01 02/15/07 CAPITAL TRUST INC MD 5.02 02/15/07 CAREER EDUCATION CORP DE 2.02,9.01 02/15/07 CAREER EDUCATION CORP DE 2.05 11/14/06 AMEND CAREGUIDE INC DE 1.01,9.01 02/15/07 CAREMARK RX INC DE 2.02 02/20/07 CARMAX INC VA 5.02,9.01 02/21/07 CARTERS INC DE 2.02,2.05,7.01,9.01 02/15/07 CASCADE NATURAL GAS CORP WA 5.02 02/16/07 CATCHER HOLDINGS, INC 1.01,5.02,9.01 02/19/07 CAVALIER HOMES INC DE 1.01,2.02,9.01 12/31/06 CBRL GROUP INC TN 7.01,9.01 02/21/07 CENTRAL PARKING CORP TN 1.01,5.02,7.01,9.01 02/20/07 CHARLOTTE RUSSE HOLDING INC 5.02 02/14/07 China Public Security Technology, Inc 7.01,9.01 02/21/07 China Public Security Technology, Inc 8.01 02/16/07 CIT GROUP INC DE 8.01,9.01 02/20/07 CITIZENS FIRST CORP KY 5.02 02/15/07 CLARKE AMERICAN CORP. DE 2.02,9.01 02/21/07 CLEVELAND CLIFFS INC OH 5.02,9.01 02/20/07 COLONIAL BANCGROUP INC DE 7.01,9.01 02/21/07 COLUMBIA BANCORP \OR\ OR 5.02,9.01 02/20/07 Columbia Equity Trust, Inc. MD 8.01,9.01 02/20/07 COMBINATORX, INC DE 1.01,2.03,9.01 02/14/07 COMERICA INC /NEW/ DE 8.01,9.01 02/20/07 Commerce Planet UT 5.03,8.01,9.01 02/16/07 COMPUTER TASK GROUP INC NY 2.02,9.01 02/21/07 CONEXANT SYSTEMS INC DE 8.01,9.01 02/16/07 CONSOLIDATED CAPITAL INSTITUTIONAL PR CA 1.01,9.01 02/15/07 CONSOLIDATED ENERGY INC WY 5.02 02/20/07 CONVERGYS CORP OH 5.02 02/20/07 COOPER COMPANIES INC DE 1.01,9.01 02/16/07 CORGENIX MEDICAL CORP/CO NV 8.01 02/20/07 COUSINS PROPERTIES INC GA 2.02,9.01 02/21/07 CROSS A T CO RI 2.02 12/30/06 CSP INC /MA/ MA 2.02,9.01 09/30/06 CSP INC /MA/ MA 3.01,9.01 02/20/07 CYTOGEN CORP DE 1.01 02/15/07 CYTRX CORP DE 3.02 02/15/07 DELL INC DE 8.01,9.01 02/14/07 DIEBOLD INC OH 5.02,8.01,9.01 02/14/07 DigitalPost Interactive, Inc. NV 1.01,2.01,3.02,5.01,5.02,5.03, 01/30/07 AMEND 5.06,9.01 Dividend Capital Total Realty Trust I MD 2.01,8.01,9.01 12/06/06 AMEND DreamWorks Animation SKG, Inc. 5.02 02/16/07 DSLA 2007-AR1 DE 8.01,9.01 02/21/07 DYAX CORP DE 2.02,9.01 02/21/07 DYAX CORP DE 5.02,9.01 02/14/07 DYNAMEX INC DE 5.02 02/14/07 DYNATRONICS CORP UT 2.02,9.01 02/07/07 ECOTALITY, INC. NV 1.01,1.02,5.02,9.01 02/16/07 EDO CORP NY 1.01,5.02,9.01 02/16/07 EDWARDS LIFESCIENCES CORP DE 5.03,9.01 02/15/07 EFUNDS CORP DE 9.01 02/21/07 EL PASO CORP/DE DE 2.01,7.01,9.01 02/21/07 EMDEON CORP DE 2.02,7.01,9.01 02/21/07 Emrise CORP DE 2.02,9.01 02/14/07 ENCORIUM GROUP INC NV 5.02 02/20/07 ENCORIUM GROUP INC NV 5.02 02/15/07 AMEND ENDOLOGIX INC /DE/ DE 1.01,2.03 02/21/07 ENESCO GROUP INC IL 1.03,2.01,5.02,9.01 02/15/07 ENTRUST INC MD 5.02 02/21/07 ENXNET INC OK 7.01,9.01 02/21/07 EPIX Pharmaceuticals, Inc. 7.01,9.01 02/21/07 EQUITY ONE, INC. 2.02,7.01,9.01 02/20/07 ESCALADE INC IN 8.01,9.01 02/21/07 ESS TECHNOLOGY INC CA 1.01,2.01,5.02,9.01 02/15/07 EURONET WORLDWIDE INC DE 2.02,9.01 02/20/07 Evercore Partners Inc. DE 8.01,9.01 02/21/07 EVERGREEN SOLAR INC DE 2.02,9.01 02/14/07 EVERGREENBANCORP INC WA 5.02,9.01 02/15/07 FAMILYMEDS GROUP, INC. NV 1.01,9.01 02/14/07 Federal Home Loan Bank of Atlanta X1 2.02 02/21/07 Federal Home Loan Bank of Boston X1 5.02,7.01,9.01 02/16/07 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 02/14/07 Federal Home Loan Bank of Dallas 2.03 02/14/07 FELLOWS ENERGY LTD NV 1.01,2.03,3.02,9.01 02/15/07 FIRST DEFIANCE FINANCIAL CORP OH 3.02,9.01 02/20/07 FIRST FRANKLIN FINANCIAL CORP GA 5.02 02/21/07 FIRST NIAGARA FINANCIAL GROUP INC DE 5.02,9.01 02/20/07 FIRST UNITED CORP/MD/ MD 5.02,9.01 02/14/07 FIRSTPLUS FINANCIAL GROUP INC NV 7.01 02/21/07 FLANDERS CORP NC 2.02 08/15/05 FLORIDA ROCK INDUSTRIES INC FL 1.01,3.03,8.01,9.01 02/19/07 Fluid Media Networks, Inc. 1.01,2.01,3.02,4.01,5.01,5.02, 02/14/07 5.03,5.06,9.01 FMC TECHNOLOGIES INC DE 5.02,8.01 02/20/07 FOOTHILLS RESOURCES INC 8.01,9.01 02/20/07 Foundation Coal Holdings, Inc. DE 7.01,9.01 02/21/07 FPL GROUP INC FL 5.02,8.01 02/15/07 FTD Group, Inc. 1.01,5.02,7.01,8.01,9.01 02/20/07 FTI CONSULTING INC MD 7.01,9.01 02/15/07 FULL HOUSE RESORTS INC DE 7.01,9.01 02/21/07 G III APPAREL GROUP LTD /DE/ DE 2.02,9.01 02/21/07 GENCORP INC OH 1.01,9.01 02/16/07 GENERAL MARITIME CORP/ 1.01,2.02,2.03,8.01,9.01 02/21/07 GEVITY HR INC FL 7.01,8.01 02/21/07 Glass Wave Enterprises, Inc. NV 2.01,3.02,5.01,5.02,5.03,7.01, 02/15/07 9.01 Global Employment Holdings, Inc. 5.02 02/14/07 GLOBAL GREEN SOLUTIONS INC. WA 3.02 02/19/07 GRAFTECH INTERNATIONAL LTD DE 8.01 02/21/07 GRAINGER W W INC IL 5.02,5.03,9.01 02/21/07 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 02/16/07 GRAYSON BANKSHARES INC VA 2.02,9.01 02/20/07 GREATER ATLANTIC FINANCIAL CORP DE 3.01,9.01 02/21/07 GREATER BAY BANCORP CA 8.01,9.01 02/21/07 GREEN MOUNTAIN POWER CORP VT 2.02,9.01 02/20/07 GREER BANCSHARES INC SC 7.01,9.01 02/16/07 GROUP 1 AUTOMOTIVE INC DE 2.02,9.01 02/21/07 GSAMP Trust 2007-FM2 DE 8.01,9.01 02/21/07 GSAMP Trust 2007-H1 DE 8.01,9.01 01/31/07 GSAMP Trust 2007-NC1 DE 8.01,9.01 02/20/07 GSI COMMERCE INC DE 7.01,9.01 02/20/07 Guidance Software, Inc. DE 2.02,9.01 02/21/07 H2Diesel Holdings, Inc FL 5.02,9.01 02/14/07 HANOVER INSURANCE GROUP, INC. DE 5.02,8.01,9.01 02/15/07 HANOVER INSURANCE GROUP, INC. DE 5.02 02/21/07 HANSEN MEDICAL INC 2.02,9.01 02/21/07 HARLEY DAVIDSON INC WI 5.03,9.01 02/14/07 HARLEYSVILLE GROUP INC DE 2.02,9.01 02/21/07 HARTFORD LIFE INSURANCE CO CT 9.01 02/21/07 HAVERTY FURNITURE COMPANIES INC MD 2.02 12/31/06 HAYES LEMMERZ INTERNATIONAL INC DE 2.01,9.01 02/14/07 HCC INSURANCE HOLDINGS INC/DE/ DE 5.02,7.01,9.01 02/20/07 HealthSpring, Inc. DE 2.02,9.01 02/21/07 HECLA MINING CO/DE/ DE 2.02,9.01 02/21/07 HECLA MINING CO/DE/ DE 1.01,9.01 02/21/07 HEINZ H J CO PA 2.02,9.01 02/20/07 HEMIS CORP NV 8.01 02/20/07 HEMOSENSE INC DE 8.01 02/20/07 HENDRX CORP NV 8.01 02/15/07 HENRY SCHEIN INC DE 2.02,9.01 09/30/06 HILB ROGAL & HOBBS CO VA 2.02,2.06,4.02,9.01 02/16/07 Home Equity Loan Trust 2007-HSA1 8.01,9.01 02/20/07 HOPFED BANCORP INC DE 2.02,9.01 01/31/07 HOST HOTELS & RESORTS L.P. DE 2.02,9.01 02/21/07 HOST HOTELS & RESORTS, INC. MD 2.02,9.01 02/21/07 HSI Asset Loan Obligation Trust 2007- 8.01,9.01 02/06/07 Huntsman CORP DE 4.02 02/14/07 HUNTSMAN INTERNATIONAL LLC DE 2.06,4.02 02/14/07 HUTTIG BUILDING PRODUCTS INC DE 2.05 02/20/07 IBIS TECHNOLOGY CORP MA 1.01,3.02,9.01 02/16/07 IDACORP INC ID 2.02,5.02,9.01 02/21/06 IDEXX LABORATORIES INC /DE DE 5.02,9.01 02/14/07 IDM PHARMA, INC. DE 1.01,3.02,9.01 02/20/07 IHOP CORP DE 2.02,8.01,9.01 02/21/07 ILLUMINA INC DE 1.01 02/14/07 IMMUNICON CORP 2.02,9.01 02/21/07 Independent BancShares, Inc. FL 2.02,9.01 02/20/07 INDEPENDENT BANK CORP MI 1.01,8.01 02/15/07 Industrial Enterprises of America, In NV 2.02,7.01 02/16/07 INERGY L P DE 2.02,7.01,9.01 02/07/07 Ingen Technologies, Inc. 1.01,4.01 02/19/07 INGRAM MICRO INC DE 5.02,5.03,9.01 02/21/07 INKSURE TECHNOLOGIES INC. DE 5.02 02/21/06 INLAND REAL ESTATE CORP MD 8.01,9.01 02/20/07 INSIGHT ENTERPRISES INC DE 5.02 02/15/07 INSPIRE PHARMACEUTICALS INC DE 8.01 02/21/07 Integrated Healthcare Holdings Inc NV 5.02,9.01 02/14/07 INTERNATIONAL ASSETS HOLDING CORP DE 2.02,7.01,9.01 02/20/07 IPASS INC DE 5.02 02/20/07 IPC HOLDINGS LTD 2.02,9.01 02/20/07 ISLAND PACIFIC INC DE 4.01,4.02,9.01 02/21/07 ISOTIS INC DE 2.02,3.02,8.01,9.01 02/14/07 ISOTIS SA V8 2.02,8.01,9.01 02/14/07 IWT TESORO CORP NV 9.01 02/20/07 J P MORGAN CHASE & CO DE 9.01 02/16/07 J P MORGAN CHASE & CO DE 8.01 02/16/07 JACK IN THE BOX INC /NEW/ DE 2.02,9.01 02/21/07 JETBLUE AIRWAYS CORP DE 7.01,9.01 02/21/07 JL HALSEY CORP 2.02,5.02,5.03,9.01 02/14/07 JMAR TECHNOLOGIES INC DE 5.02 02/14/07 JUNIPER NETWORKS INC DE 5.02 02/20/07 KAHIKI FOODS INC OH 7.01,9.01 02/21/07 KANA SOFTWARE INC DE 2.02,9.01 02/20/07 KANSAS GAS & ELECTRIC CO /KS/ 8.01 02/21/07 KEMET CORP DE 2.01,9.01 02/19/07 KENTUCKY BANCSHARES INC /KY/ KY 2.02,9.01 02/21/07 KEYNOTE SYSTEMS INC DE 5.02 02/15/07 KRONOS ADVANCED TECHNOLOGIES INC NV 1.01 02/21/07 LAND O LAKES INC 1.01,8.01 02/21/07 LAND O LAKES INC 2.02 02/21/07 LEHMAN ABS CORP BACKED TRUST CERTS SE DE 8.01 02/20/07 LEXICON GENETICS INC/TX DE 2.02,9.01 02/21/07 LIME ENERGY CO. DE 1.01,9.01 01/24/07 LIONBRIDGE TECHNOLOGIES INC /DE/ DE 1.01 02/15/07 LOEWS CORP DE 5.02 02/21/07 LOJACK CORP MA 2.02,9.01 02/21/07 LTV CORP DE 8.01,9.01 02/21/07 LUCAS ENERGY, INC. NV 5.02,8.01 02/21/07 Lusora Healthcare Systems Inc. 3.02,9.01 02/20/07 MANNATECH INC TX 1.01,9.01 02/18/07 MANPOWER INC /WI/ WI 5.02,9.01 02/14/07 MARINE GROWTH VENTURES INC 1.01,9.01 02/20/07 Marquee Holdings Inc. DE 7.01,9.01 02/21/07 MBIA INC CT 5.02,9.01 02/16/07 MCDONALDS CORP DE 5.02 02/14/07 MDU RESOURCES GROUP INC DE 5.02,9.01 02/15/07 MEDCO HEALTH SOLUTIONS INC DE 2.02 02/21/07 MEDICAL PROPERTIES TRUST INC 5.02,7.01,9.01 02/15/07 METRETEK TECHNOLOGIES INC DE 7.01,9.01 02/21/07 MGP INGREDIENTS INC KS 7.01 02/21/07 MICHAELS STORES INC DE 5.02,9.01 02/15/07 MICROWAVE FILTER CO INC /NY/ NY 3.01 02/21/07 Mid-America Bancshares, Inc. TN 2.02,7.01,9.01 02/21/07 MIDDLETON DOLL CO WI 5.02,5.03,9.01 02/15/07 MILLENNIUM CELL INC DE 1.01,3.02,8.01,9.01 02/15/07 MILLIPORE CORP /MA MA 5.02,8.01 02/14/07 MINDEN BANCORP INC 2.02,9.01 02/20/07 MMC ENERGY, INC. DE 8.01,9.01 02/19/07 MMC ENERGY, INC. DE 8.01,9.01 02/20/07 MONEY CENTERS OF AMERICA, INC. DE 5.02 02/14/07 MONEYGRAM INTERNATIONAL INC 1.01,8.01 02/15/07 MONTEREY GOURMET FOODS DE 2.02,9.01 02/16/07 MOSAIC CO 7.01,9.01 02/21/07 MOTORCAR PARTS AMERICA INC NY 2.02,9.01 02/20/07 MOVADO GROUP INC NY 1.01 02/15/07 MOVIE GALLERY INC DE 2.02,9.01 02/20/07 MS STRUCTURED SATURNS SERIES 2003-11 DE 8.01,9.01 02/15/07 MS STRUCTURED SATURNS SERIES 2003-6 DE 8.01,9.01 02/15/07 MS STRUCTURED SATURNS SERIES 2004-2 DE 8.01,9.01 02/15/07 MS STRUCTURED SATURNS SERIES 2004-4 DE 8.01,9.01 02/15/07 MS STRUCTURED SATURNS SERIES 2004-6 DE 8.01,9.01 02/15/07 MS STRUCTURED SATURNS SERIES 2005-1 DE 8.01,9.01 02/15/07 MUTUALFIRST FINANCIAL INC MD 8.01,9.01 02/20/07 NATIONAL BANK OF INDIANAPOLIS CORP IN 5.02 02/15/07 AMEND NATIONAL FUEL GAS CO NJ 5.02,5.03,9.01 02/15/07 NATIONAL RV HOLDINGS INC DE 1.01,2.01,9.01 02/16/07 NCI, Inc. DE 2.02,5.02,9.01 02/20/07 NEDAK ETHANOL, LLC NE 1.01,2.03,9.01 02/20/07 NEKTAR THERAPEUTICS DE 5.02 02/14/07 NETBANK INC GA 2.02,9.01 02/21/07 NEUROCRINE BIOSCIENCES INC CA 5.02,9.01 02/20/07 NEW CENTURY FINANCIAL CORP MD 1.01,8.01,9.01 02/14/07 NEW GENERATION HOLDINGS INC DE 5.03,8.01,9.01 02/16/07 NEW HORIZONS WORLDWIDE INC DE 7.01,9.01 02/20/07 NEW HORIZONS WORLDWIDE INC DE 2.02,8.01,9.01 02/20/07 NEWFIELD EXPLORATION CO /DE/ DE 5.02,9.01 02/14/07 NEWS CORP 8.01,9.01 02/21/07 NewStar Financial, Inc. 2.02,9.01 02/21/07 NewStar Financial, Inc. 5.02 02/15/07 NexCen Brands, Inc. DE 1.01,7.01,8.01,9.01 02/14/07 NexCen Brands, Inc. DE 1.01,2.01,3.02,8.01,9.01 02/15/07 NORD RESOURCES CORP DE 8.01,9.01 02/20/07 NORTH AMERICAN TECHNOLOGIES GROUP INC 5.02 02/14/07 NORTHERN TRUST CORP DE 1.02,9.01 02/20/07 NOVADEL PHARMA INC DE 8.01,9.01 02/20/07 NOVASTAR FINANCIAL INC MD 7.01 02/20/07 NOVASTAR FINANCIAL INC MD 7.01,9.01 02/21/07 NTR Acquisition Co. DE 8.01,9.01 02/20/07 OCEANEERING INTERNATIONAL INC DE 2.02,9.01 02/21/07 OCWEN FINANCIAL CORP FL 8.01,9.01 02/14/07 OMTOOL LTD DE 2.02,9.01 02/15/07 ONSCREEN TECHNOLOGIES INC CO 7.01,9.01 02/21/07 OPTIGENEX INC. 1.01,2.03,3.02,9.01 02/14/07 ORBITAL SCIENCES CORP /DE/ DE 2.02,9.01 02/21/07 ORIENT EXPRESS HOTELS LTD 5.02,9.01 02/16/07 OSHKOSH TRUCK CORP WI 9.01 12/06/06 AMEND OURPETS CO CO 2.02,5.02,9.01 02/15/07 Owens Corning DE 1.01,2.02,8.01,9.01 02/20/07 OYO GEOSPACE CORP DE 7.01,9.01 02/21/07 P&F INDUSTRIES INC DE 1.01,2.01,2.03,7.01,9.01 02/14/07 PALOMAR MEDICAL TECHNOLOGIES INC DE 1.01 02/21/07 PANACOS PHARMACEUTICALS, INC. DE 2.02,8.01,9.01 02/21/07 PARAGON TECHNOLOGIES INC PA 1.01,5.02,9.01 02/19/07 PARLUX FRAGRANCES INC DE 3.01,9.01 02/14/07 PC TEL INC DE 2.02,9.01 02/21/07 PDL BIOPHARMA, INC. DE 5.02 02/14/07 PEABODY ENERGY CORP DE 7.01,9.01 02/21/07 PEERLESS MANUFACTURING CO TX 3.03,9.01 02/20/07 PENSON WORLDWIDE INC DE 2.02,9.01 02/20/07 PEOPLES EDUCATIONAL HOLDINGS MN 1.01,1.02,2.03,3.03,9.01 02/15/07 PEPSICO INC NC 8.01,9.01 02/20/07 PETRO STOPPING CENTERS L P DE 1.01,9.01 02/16/07 PETROLEUM DEVELOPMENT CORP NV 8.01,9.01 02/21/07 PETROLEUM DEVELOPMENT CORP NV 1.01,9.01 02/16/07 PHARMACOPEIA DRUG DISCOVERY INC DE 2.02,9.01 02/21/07 PHARMACYCLICS INC DE 8.01,9.01 02/20/07 PHARMION CORP 2.02,9.01 02/21/07 PLATINUM UNDERWRITERS HOLDINGS LTD D0 2.02,9.01 02/20/07 POSSIS MEDICAL INC MN 9.01 02/21/07 POSSIS MEDICAL INC MN 5.02 02/16/07 POTOMAC BANCSHARES INC WV 2.02 02/21/07 POWERWAVE TECHNOLOGIES INC DE 2.02,9.01 02/20/07 PPG INDUSTRIES INC PA 5.02 02/14/07 PRECISION OPTICS CORPORATION INC MA 2.02,9.01 02/15/07 PRINCETON REVIEW INC DE 2.01,2.03,9.01 02/16/07 PRINTRONIX INC DE 8.01,9.01 02/21/07 RADIO ONE INC DE 4.02,9.01 02/14/07 RAINIER PACIFIC FINANCIAL GROUP INC WA 8.01,9.01 02/21/07 RAINIER PACIFIC FINANCIAL GROUP INC WA 8.01,9.01 02/21/07 RAMCO GERSHENSON PROPERTIES TRUST MD 2.02,9.01 02/21/07 Rosetta Resources Inc. DE 7.01,9.01 02/21/07 RUBIOS RESTAURANTS INC DE 7.01,9.01 02/21/07 Ruths Chris Steak House, Inc. DE 2.02,9.01 02/21/07 S Y BANCORP INC KY 8.01,9.01 02/20/07 S3 INVESTMENT COMPANY, INC. CA 5.02 02/16/07 SALESFORCE COM INC DE 2.02,9.01 02/21/07 SANDISK CORP DE 2.05 02/15/07 SCBT FINANCIAL CORP SC 5.02 02/15/07 SCIENTIFIC LEARNING CORP DE 2.02 02/14/07 SCOTTISH RE GROUP LTD E9 1.01,2.02,9.01 02/20/07 SCOTTISH RE GROUP LTD E9 2.02,9.01 02/21/07 SES SOLAR INC. 7.01,9.01 02/21/07 SEVERN BANCORP INC MD 7.01,9.01 02/21/07 SIERRA BANCORP CA 5.02,5.03,9.01 02/15/07 SIMPLETECH INC CA 2.02,9.01 02/20/07 SIPEX CORP DE 2.02,9.01 02/21/07 SIRIUS SATELLITE RADIO INC DE 1.01,9.01 02/19/07 SKECHERS USA INC DE 2.02,9.01 02/21/07 SMF ENERGY CORP DE 1.01,9.01 02/14/07 SMITHFIELD FOODS INC VA 2.02,9.01 02/21/07 SOCKET COMMUNICATIONS INC DE 2.02,9.01 12/31/06 SONTRA MEDICAL CORP MN 5.02,9.01 02/14/07 SOUTH DAKOTA SOYBEAN PROCESSORS LLC 5.02 02/14/07 SPACEHAB INC \WA\ WA 8.01,9.01 02/20/07 SPEAR & JACKSON INC NV 5.02 02/14/07 SPRINT NEXTEL CORP KS 5.02 02/05/07 AMEND ST MARY LAND & EXPLORATION CO DE 2.04,9.01 02/20/07 STAGE STORES INC NV 8.01,9.01 02/20/07 STAKTEK HOLDINGS INC DE 2.02,9.01 02/21/07 STELLAR RESOURCES LTD NV 9.01 02/21/07 Stereotaxis, Inc. DE 2.02,9.01 02/21/07 STEWART ENTERPRISES INC LA 5.02,9.01 02/15/07 STRYKER CORP MI 5.02,9.01 02/14/07 SUMTOTAL SYSTEMS INC DE 7.01,9.01 02/21/07 Sunstone Hotel Investors, Inc. MD 5.02 02/15/07 SUPERIOR ESSEX INC DE 1.01,9.01 02/16/07 SUPERIOR ESSEX INC DE 5.02,9.01 02/15/07 SUPERVALU INC DE 7.01,9.01 02/21/07 SUPREME INDUSTRIES INC DE 2.02,9.01 02/15/07 SYNOPSYS INC DE 2.02,9.01 02/21/07 Synovics Pharmaceuticals NV 3.02,9.01 01/26/07 AMEND TANGER FACTORY OUTLET CENTERS INC NC 2.02,9.01 12/31/06 AMEND TARGET RECEIVABLES CORP MN 8.01,9.01 02/21/07 TARGET RECEIVABLES CORP MN 8.01,9.01 02/21/07 TASER INTERNATIONAL INC 2.02,9.01 02/21/07 TASKER PRODUCTS CORP NV 2.03,3.02 02/14/07 TECHTEAM GLOBAL INC DE 8.01,9.01 02/21/07 TEGAL CORP /DE/ DE 2.02,9.01 02/21/07 TEGAL CORP /DE/ DE 2.02,9.01 02/21/07 AMEND TELESTONE TECHNOLOGIES CORP CO 1.01,3.02,9.01 02/20/07 TELETECH HOLDINGS INC DE 1.01 02/15/07 TELKONET INC 8.01,9.01 02/21/07 TENNECO INC DE 7.01,9.01 02/21/07 Texas Roadhouse, Inc. DE 2.02,9.01 02/20/07 THERAVANCE INC DE 5.02 02/14/07 THERMADYNE HOLDINGS CORP /DE DE 2.05,2.06,7.01 12/30/06 Thomas Equipment, Inc. DE 1.01,2.03,3.02,9.01 02/13/07 AMEND THUNDER MOUNTAIN GOLD INC WA 1.01,3.02,5.02,8.01,9.01 02/16/07 TILDEN ASSOCIATES INC DE 1.01 02/16/07 Timberline Resources Corp 2.02,9.01 02/15/07 TJX COMPANIES INC /DE/ DE 2.02,8.01,9.01 02/21/07 TOTAL IDENTITY CORP FL 5.02,9.01 02/13/07 TRANSACTION SYSTEMS ARCHITECTS INC DE 3.01,9.01 02/15/07 TWEEN BRANDS, INC. DE 2.02,9.01 02/21/07 ULTRA PETROLEUM CORP 8.01,9.01 02/20/07 ULTRA PETROLEUM CORP 2.02,9.01 02/20/07 ULTRALIFE BATTERIES INC DE 1.01,9.01 02/14/07 Uni-Pixel DE 8.01,9.01 02/21/07 UNITED BANCSHARES INC/OH OH 5.02,9.01 02/21/07 UNITED HERITAGE CORP UT 8.01,9.01 02/21/07 UNITED NATURAL FOODS INC DE 2.02,7.01,8.01,9.01 02/20/07 Uranium Star Corp. NV 4.01,7.01,9.01 12/22/06 AMEND US BIODEFENSE INC UT 2.01,9.01 08/07/06 AMEND US LEC CORP DE 2.02,9.01 02/20/07 USB HOLDING CO INC DE 8.01,9.01 02/17/07 USN CORP CO 4.01,9.01 02/09/07 VALUECLICK INC/CA DE 2.02,9.01 02/21/07 VANTAGEMED CORP DE 8.01,9.01 02/20/07 VARIAN MEDICAL SYSTEMS INC DE 5.02,9.01 02/15/07 VASCO DATA SECURITY INTERNATIONAL INC DE 2.02,9.01 02/20/07 VCA ANTECH INC DE 2.02,8.01,9.01 02/21/07 VENTAS INC DE 2.02,8.01,9.01 02/20/07 VENTAS INC DE 7.01,9.01 02/20/07 VENTURE LENDING & LEASING IV INC MD 5.02 02/21/07 Vestin Realty Mortgage II, Inc 8.01,9.01 02/20/07 Viacom Inc. DE 5.02,9.01 02/21/07 VIASPACE Inc. NV 8.01,9.01 02/21/07 Vivid Learning Systems, Inc. DE 9.01 12/19/06 AMEND WACHOVIA CORP NEW NC 5.02 02/20/07 WaMu Mortgage Pass-Through Certificat DE 6.01 02/21/07 Warner Music Group Corp. DE 8.01,9.01 02/21/07 Web2 Corp DE 5.02,9.01 02/21/07 WebMD Health Corp. DE 2.02,7.01,9.01 02/21/07 WELLCARE HEALTH PLANS, INC. DE 1.01,9.01 02/19/07 Western Refining, Inc. DE 8.01,9.01 02/20/07 WEYCO GROUP INC WI 2.02,9.01 02/20/07 WHOLE FOODS MARKET INC TX 2.02,9.01 02/21/07 WHOLE FOODS MARKET INC TX 1.01,7.01,9.01 02/21/07 WIDEPOINT CORP DE 7.01,9.01 02/21/07 WJ COMMUNICATIONS INC DE 2.02,9.01 02/21/07 WORLDBID CORP NV 3.02 02/15/07 XM SATELLITE RADIO HOLDINGS INC DE 1.01,3.03,9.01 02/19/07 ZALE CORP DE 2.02 02/21/07 ZEROS & ONES INC NV 3.02,5.02,9.01 02/15/07 ZIX CORP TX 2.02,9.01 02/20/07 ZORAN CORP \DE\ DE 4.02,5.02,9.01 02/15/07 ZYNEX MEDICAL HOLDINGS INC NV 5.02 02/16/07