SEC NEWS DIGEST Issue 2007-18 January 29, 2007 COMMISSION ANNOUNCEMENTS REPORTS ON ADMINISTRATIVE PROCEEDINGS Reports on Administrative Proceedings for the Periods April 1, 2005, through Sept. 30, 2005; Oct. 1, 2005, through March 31, 2006; and April 1, 2006 through Sept. 30, 2006, have been issued, giving summary statistical information on the Commission's administrative proceedings caseload. The reports are published in the SEC Docket and appear on the Commission's website. (Rels. 34-55166, 34-55167 and 34-55168) ENFORCEMENT PROCEEDINGS IN THE MATTER OF MBIA INC. On January 29, the Commission issued an Order Instituting Cease-and- Desist Proceedings, Making Findings and Imposing a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934 against MBIA Inc. The Order finds that MBIA Inc., one of the nation's largest insurers of municipal bonds, used sham reinsurance transactions to avoid having to recognize a $170 million loss. MBIA suffered the loss when, in 1998, the Allegheny Health, Education and Research Foundation (AHERF) defaulted on bonds guaranteed by MBIA and MBIA was forced to make good on its guarantee. MBIA addressed analyst concerns about its expected losses on the AHERF bonds by representing that it had obtained reinsurance to cover them. In fact, MBIA had agreed through concessions on other reinsurance agreements to compensate the reinsurers for the losses they were certain to incur on the AHERF contracts. The improper use of the reinsurance contracts enabled MBIA to convert what would otherwise have been the company's first-ever quarterly loss into a profit and reverse the decline in MBIA's stock price. To mask the financial effect of this loss, MBIA's then-senior management devised a scheme to obtain reinsurance that would cover the entire net present value of the anticipated loss, or about $170 million, for a nominal premium. The effect was to offset the entire $170 million loss MBIA recorded in the third quarter with a roughly equivalent reinsurance recovery, thus converting a loss in the quarter to an apparent gain. The AHERF reinsurance consisted of three contracts under which the reinsurers agreed to provide coverage of up to $170 million for the AHERF loss. In order to pass scrutiny with MBIA's accountants and obtain their approval for the desired accounting treatment, these contracts were written as if it was unclear whether the reinsurers would have to pay out under them. In fact, however, MBIA and the reinsurers knew that the reinsurers would be called upon to pay, making the $170 million received by MBIA from the reinsurance companies ineligible for reinsurance accounting. MBIA reimbursed the reinsurers for the $170 million they paid to MBIA by entering into other reinsurance agreements on hundreds of millions of dollars of future MBIA business. Although the reinsurers undertook some risk under these other agreements, they were nevertheless reimbursed for their payments to MBIA on the AHERF contracts because the other agreements entailed so much premium and so little risk to the reinsurers. In addition, MBIA secretly entered a side agreement with one of the reinsurers whereby it orally agreed to re-assume virtually all of the risk given to the reinsurer on the future business, leaving the reinsurer with all the premiums and virtually no risk. In March 2005, MBIA restated $70 million related to these agreements, after an internal investigation concluded that it appeared likely that the oral side agreement existed. In November 2005, MBIA restated the remaining $100 million. Based on the above, MBIA has agreed, without admitting or denying the Commission's findings, to the issuance of a cease-and-desist order that requires MBIA to cease and desist from further violations of Section 17(a) of the Securities Act of 1933 and Sections 10(b), 13(a), 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act of 1934 and Rules 10b- 5, 12b-20, 13a-1, 13a-11,13a-13, and 13b2-1 thereunder, and to comply with various undertakings, including an undertaking to retain an independent consultant to examine a number of specified transactions to which MBIA was a party. In a related settled civil action, MBIA has also consented to pay a $50 million penalty, plus $1 in disgorgement. (Rels. 33-8776; 34- 55184; AAE Rel. 2548; File No. 3-12551); [SEC v. MBIA, Inc., 07 Civ.658 (JGK) SDNY].(LR-19982; AAE Rel. 2547; Press Rel. 2007-11) COURT ORDERS PARENTS OF FORMER FIDELITY TRADER TO COMPLY WITH SUBPOENAS IN CONNECTION WITH AN INVESTIGATION CONCERNING STOCK TRADING The Commission announced today that on January 25 a Massachusetts federal court issued an order requiring Concetta A. Donovan and David K. Donovan, Sr. to comply with Commission subpoenas. Specifically, the Honorable Reginald C. Lindsay of the United States District Court for the District of Massachusetts ordered that Concetta Donovan and David Donovan, Sr. produce all documents responsive to the Commission's subpoenas, and that Concetta Donovan appear for investigative testimony. On Nov. 30, 2006, the Commission filed an application for an order to show cause and for an order to comply with administrative subpoenas against Concetta Donovan and David Donovan, Sr. The Commission sought to compel Concetta Donovan and David Donovan, Sr. to produce documents and Concetta Donovan to appear for testimony. According to the Commission's application and supporting papers, the Commission staff is investigating potential illegal insider trading in the securities of Covad Communications Group, Inc. by, among others, Concetta Donovan, David Donovan, Sr., and their son and then equity trader for Fidelity Investments, David K. Donovan, Jr. On April 6, 2005, the Commission issued investigative subpoenas to Concetta Donovan and David Donovan, Sr., which required them each to produce documents relevant to the investigation and to appear before the Commission staff for testimony. In its application and supporting papers, the Commission alleged that, despite a number of accommodations offered to Concetta Donovan and David Donovan, Sr., they refused to produce the subpoenaed documents and Concetta Donovan refused to appear for testimony. According to the Commission's application, neither Concetta Donovan nor David Donovan, Sr. had a valid justification for their failure to comply with the subpoenas, and court orders were necessary to compel them to produce the subpoenaed documents and to compel Concetta Donovan to appear for testimony. For further information, see Litigation Release Number 19930 (Dec. 1, 2006) [Commission Files Subpoena Enforcement Action against Concetta Donovan and David Donovan, Sr.]. [SEC v. Concetta A. Donovan and David K. Donovan, Sr. (USDC, District of Massachusetts, 06-MC-10454-RCL)] (LR-19983) INVESTMENT COMPANY ACT RELEASES OPAL PRIVATE EQUITY FUND, LP, ET AL. An order has been issued on an application filed by Opal Private Equity Fund, LP, et al. under Sections 6(b) and 6(e) of the Investment Company Act. The order exempts certain investment funds formed for the benefit of eligible current and former employees of Schottenstein, Zox & Dunn Co., L.P.A., and its affiliates from certain provisions of the Act. Each fund will be an "employees' securities company" within the meaning of Section 2(a)(13) of the Act. (Rel. IC-27675 - January 23) ORDERS OF DEREGISTRATION UNDER THE INVESTMENT COMPANY ACT Orders have been issued under Section 8(f) of the Investment Company Act declaring that each of the following has ceased to be an investment company: Agilex Funds [File No. 811-21123] [Rel No. IC-27678] January 25, 2007 Thirteenth Automatic Common Exchange Security Trust [File No. 811- 9431] [Rel No. IC-27679] January 25, 2007 Rydex Capital Partners Sphinx Fund [File No. 811-21278] [Rel No. IC- 27680] January 25, 2007 State and Local Trusts, Series 1 [File No. 811-5147] [Rel No. IC- 27681] January 25, 2007 Mount Yale Opportunity Fund, LLC [File No. 811-21635] [Rel No. IC- 27682] January 25, 2007 GAM Funds, Inc. [File No. 811-4062] [Rel No. IC-27683] January 25, 2007 Man-Glenwood Lexington Institutional TEI, LLC [File No. 811-21772] [Rel No. IC-27684] January 25, 2007 Evergreen Hedged Specialists Fund, LLC [File No. 811-21174] [Rel No. IC-27685] January 25, 2007 Evergreen Managed Strategies Fund, LLC [File No. 811-21175] [Rel No. IC-27686] January 25, 2007 The New York Tax-Exempt Fund, Inc. [File No. 811-5278] [Rel No. IC- 27687] January 25, 2007 NOTICES OF DEREGISTRATION UNDER THE INVESTMENT COMPANY ACT For the month of January, 2007, a notice has been issued giving interested persons until Feb. 21, 2007, to request a hearing on any of the following applications for an order under Section 8(f) of the Investment Company Act declaring that the applicant has ceased to be an investment company: Boston Advisors Trust [File No. 811-9675] Credit Suisse New York [File No. 811-4964] Morgan Stanley Global Utilities Fund [File No. 811-7119] Morgan Stanley Balanced Income Fund [File No. 811-7243] Morgan Stanley Income Builder Fund [File No. 811-7575] UMBScout Money Market Fund, Inc. [File No. 811-3528] UMB Scout Tax-Free Money Market Fund, Inc. [File No. 811-3556] UMB Scout Stock Fund, Inc. [File No. 811-3557] UMB Scout Bond Fund, Inc. [File No. 811-3558] UMB Scout WorldWide Fund, Inc. [File No. 811-7472] UMB Scout Kansas Tax-Exempt Bond Fund, Inc. [File No. 811-8513] UMB Scout Balanced Fund, Inc. [File No. 811-7323] The Jundt Growth Fund, Inc. [File No. 811-6317] Jundt Funds, Inc. [File No. 811-9128] American Eagle Funds, Inc.[File No. 811-9699] Bremer Investment Funds, Inc. [File No. 811-7919] Putnam Managed High Yield Trust [File No. 811-7658] Oppenheimer Total Return Bond Fund [File No. 811-21268] Tep Fund, Inc. [File No. 811-3609] Credit Suisse Alternative Capital Event Driven Master Fund, LLC [811-21738] Credit Suisse Alternative Capital Relative Value Master Fund, LLC [811-21740] Credit Suisse Alternative Capital Tactical Trading Master Fund, LLC [811-21741] Credit Suisse Alternative Capital Relative Value Fund, LLC [811-21660] Credit Suisse Alternative Capital Relative Value Institutional Fund, LLC [811-21642] Credit Suisse Alternative Capital Tactical Trading Institutional Fund, LLC [811- 21643] Credit Suisse Alternative Capital Event Driven Institutional Fund, LLC [811-21645] Credit Suisse Alternative Capital Event Driven Fund, LLC [811-21659] Credit Suisse Alternative Capital Tactical Trading Fund, LLC [811-21661] Travelers Series Trust [File No. 811-6465] Capital Appreciation Fund [File No. 811-3429] High Yield Bond Trust [File No. 811-3428] Managed Assets Trust [File No. 811-3568] Money Market Portfolio [File No. 811-3274] Financial Investors Variable Insurance Trust [File No. 811-10215] (Rel. IC-27689 - January 26) SELF-REGULATORY ORGANIZATIONS APPROVAL OF PROPOSED RULE CHANGES The Commission granted approval of a proposed rule change (SR-OCC- 2006-16) filed by The Options Clearing Corporation under Section 19(b)(1) of the Securities Exchange Act of 1934. The rule change amends the definition of "fund share" in OCC's By-Laws to include interests in certain entities holding or managing portfolios or baskets of currencies, including single currencies. Publication is expected in the Federal Register during the week of January 29. (Rel. 34-55151) The Commission granted approval of a proposed rule change (SR-OCC- 2006-17) filed by The Options Clearing Corporation under Section 19(b)(1) of the Securities Exchange Act of 1934. The rule change will permit OCC to issue, clear, and settle options on equity interests issued by exchange-traded funds that trade directly or indirectly in commodity futures products and are therefore subject to regulation by the Commodity Futures Trading Commission as commodity pools. Publication is expected in the Federal Register during the week of January 29. (Rel. 34-55152) A proposed rule change (SR-CBOE-2006-92), as modified by Amendment No. 1 thereto, filed by the Chicago Board Options Exchange relating to the Penny Pilot Program has been granted approval pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of January 29. (Rel. 34-55154) A proposed rule change (SR-BSE-2006-49), as modified by Amendment No. 1 thereto, filed by the Boston Stock Exchange to implement a pilot program to quote options in pennies has been granted approval pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of January 29. (Rel. 34-55155) A proposed rule change (SR-NYSEArca-2006-73), as modified by Amendment No. 1 thereto, filed by NYSE Arca to create an options Penny Pilot Program has been granted approval pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of January 29. (Rel. 34-55156) A proposed rule change (SR-ISE-2006-62), as modified by Amendment Nos. 1 and 2 thereto, filed by the International Securities Exchange to implement a Penny Pilot Program to quote certain options in pennies has been granted approval pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of January 29. (Rel. 34-55161) A proposed rule change (SR-Amex-2006-106), as modified by Amendment No. 1 thereto, filed by the American Stock Exchange relating to the adoption of a Penny Pilot Program has been granted approval pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of January 29. (Rel. 34-55162) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change filed by the Fixed Income Clearing Corporation to modify the EPN rules of its Mortgage-Backed Securities Division to implement new messaging capabilities and to establish a fee structure (SR-FICC-2006-20) 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 January 29. (Rel. 34-55164) A proposed rule change filed by the International Securities Exchange relating to a pilot program for position and exercise limits for options on the iShares® Russell 2000® Index Fund (SR-ISE-2007-07) 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 January 29. (Rel. 34-55175) A proposed rule change filed by the Chicago Board Options Exchange relating to the establishment of a pilot program that increases position and exercise limits for options on the iShares® Russell 2000® Index Fund (SR-CBOE-2007-08) 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 January 29. (Rel. 34-55176) A proposed rule change (SR-NYSEArca-2007-02) filed by NYSE Arca relating to NYSE Arca Marketplace's trading sessions 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 January 29. (Rel. 34-55178) PROPOSED RULE CHANGES The National Association of Securities Dealers, the New York Stock Exchange, and the American Stock Exchange filed proposed rule changes (SR-NASD-2006-131; SR-NYSE-2006-111; SR-Amex-2007-05) to increase the frequency of the short interest reporting requirements. Publication is expected in the Federal Register during the week of January 29. (Rel. 34-55170) The Chicago Board Options Exchange filed a proposed rule change (SR- CBOE-2006-110) and Amendment No. 1 thereto pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934 relating to the establishment of CBOE Stock Exchange, LLC. Publication is expected in the Federal Register during the week of January 29. (Rel. 34-55172) 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 GLOBAL GREEN SOLUTIONS INC., 789 WEST PENDER STREET, SUITE 1010, VANCOUVER, A1, V6C 1H2, (604) 408-0153 - 10,000,000 ($11,800,000.00) Equity, (File 333-140223 - Jan. 26) (BR. 04A) S-4 Intelsat (Bermuda), Ltd., WELLESLEY HOUSE NORTH, 2ND FLOOR, 90 PITTS BAY ROAD, PEMBROKE, D0, HM 08, (441) 294-1650 - 0 ($2,940,000,000.00) Non-Convertible Debt, (File 333-140224 - Jan. 26) (BR. 11) SB-2 GREENMAN TECHNOLOGIES INC, 7 KIMBALL LANE, BUILDING A, LYNNFIELD, MA, 01940, 7812242411 - 4,140,426 ($1,780,383.18) Equity, (File 333-140225 - Jan. 26) (BR. 06A) S-3 ARCADIA RESOURCES, INC, 26777 CENTRAL PARK BLVD., SUITE 200, SOUTHFIELD, MI, 48076, 248-352-7530 - 0 ($26,541,458.30) Equity, (File 333-140227 - Jan. 26) (BR. 11C) S-1 Aircastle LTD, C/O AIRCASTLE ADVISOR LLC, 300 FIRST STAMFORD PLACE, 5TH FLOOR, STAMFORD, CT, 06902, (203) 504-1020 - 0 ($461,092,500.00) Equity, (File 333-140228 - Jan. 26) (BR. 06C) S-8 PROVIDENT FINANCIAL HOLDINGS INC, 3756 CENTRAL AVE, RIVERSIDE, CA, 92506, 9096866060 - 550,000 ($15,713,500.00) Equity, (File 333-140229 - Jan. 26) (BR. 07A) S-3 ACCESS INTEGRATED TECHNOLOGIES INC, 55 MADISON AVENUE, SUITE 300, MORRISTOWN, NJ, 07960, 973-290-0080 - 99,779 ($838,144.00) Equity, (File 333-140231 - Jan. 26) (BR. 08A) S-1 Monotype Imaging Holdings Inc., 500 UNICORN PARK DRIVE, WOBURN, MA, 01801, 781-970-6000 - 0 ($135,000,000.00) Equity, (File 333-140232 - Jan. 26) (BR. 03) S-8 DSP GROUP INC /DE/, 3120 SCOTT BLVD, SANTA CLARA, CA, 95054, 4089864300 - 0 ($18,158,976.00) Equity, (File 333-140233 - Jan. 26) (BR. 10A) SB-2 WIRELESS RONIN TECHNOLOGIES INC, 14700 MARTIN DRIVE, EDEN PRAIRIE, MN, 55344, 9522248110 - 0 ($38,582,479.00) Equity, (File 333-140234 - Jan. 26) (BR. 04C) S-8 BOTTOMLINE TECHNOLOGIES INC /DE/, 325 CORPORATE DRIVE, PORTSMOUTH, NH, 03801, 6034360700 - 2,251,138 ($23,389,324.00) Equity, (File 333-140235 - Jan. 26) (BR. 03A) SB-2 WELLENTECH SERVICES INC, 7415 SHERBROOKE STREET WEST #1, MONTREAL, A8, H4B 1S2, (514) 489-7064 - 3,415,000 ($34,150.00) Equity, (File 333-140236 - Jan. 26) (BR. 08) S-8 AeroVironment Inc, 181 W HUNTINGTON DRIVE, SUITE 202, MONROVIA, CA, 91016, 626 357 9983 - 0 ($66,703,316.80) Equity, (File 333-140237 - Jan. 26) (BR. 05B) S-8 SENESCO TECHNOLOGIES INC, 34 CHAMBERS STREET, PO BOX 3303, PRINCETON, NJ, 08542, 6092520880 - 0 ($3,585,000.00) Equity, (File 333-140238 - Jan. 26) (BR. 01C) SB-2 INTEGRATED PHARMACEUTICALS INC, 310 AUTHORITY DRIVE, FITCHBURG, MA, 01420, 6176292415 - 15,000,000 ($3,150,000.00) Equity, (File 333-140239 - Jan. 26) (BR. 01B) S-1 FRONTIER FUND, 0 ($236,690,000.00) Other, (File 333-140240 - Jan. 26) (BR. 08B) S-8 HERBORIUM, 3 OAK STREET, TEANECK, NJ, 07666, (888) 836-2424 - 20,000,000 ($1,350,000.00) Equity, (File 333-140241 - Jan. 26) (BR. 01A) S-8 SILICON GRAPHICS INC, 1500 CRITTENDEN LANE, MOUNTAIN VIEW, CA, 94043, 6509601980 - 1,250,000 ($27,412,500.00) Equity, (File 333-140243 - Jan. 26) (BR. 03A) S-8 NORTHERN TECHNOLOGIES INTERNATIONAL CORP, 4201 WOODLAND ROAD, PO BOX 69, CIRCLE PINES, MN, 55014, (763) 225-6601 - 100,000 ($671,000.00) Equity, (File 333-140244 - Jan. 26) (BR. 03A) S-8 NORTHERN TECHNOLOGIES INTERNATIONAL CORP, 4201 WOODLAND ROAD, PO BOX 69, CIRCLE PINES, MN, 55014, (763) 225-6601 - 400,000 ($2,984,000.00) Equity, (File 333-140245 - Jan. 26) (BR. 03A) S-3 IsoRay, Inc., 350 HILLS STREET,, SUITE 106, RICHLAND, WA, 99354, (509) 375-1202 - 0 ($20,000,000.00) Equity, (File 333-140246 - Jan. 26) (BR. 10B) S-3 STRUCTURED ASSET MORTGAGE INVESTMENTS II INC, 383 MADISON AVENUE, NEW YORK, NY, 10179, 212272-2000 - 1,000,000 ($1,000,000.00) Mortgage Backed Securities, (File 333-140247 - Jan. 26) (BR. 05D) S-3 NETSOL TECHNOLOGIES INC, 23901 CALABASAS ROAD, SUITE 2072, CALABASAS, CA, 91302, 8182229195 - 230,863 ($316,282.31) Equity, (File 333-140248 - Jan. 26) (BR. 03A) SB-2 AMEDIA NETWORKS, INC., 2 CORBETT WAY, EATONTOWN, NJ, 07724, 732-440-1992 - 21,063,333 ($15,063,800.00) Equity, (File 333-140249 - Jan. 26) (BR. 11B) S-8 BOSTON BEER CO INC, 75 ARLINGTON ST, BOSTON, MA, 02116, 6174821332 - 500,000 ($17,555,000.00) Equity, (File 333-140250 - Jan. 26) (BR. 02B) S-3 MOMENTA PHARMACEUTICALS INC, 43 MOULTON STREET, CAMBRIDGE, MA, 02138, 6174919700 - 0 ($150,000,000.00) Equity, (File 333-140251 - Jan. 26) (BR. 01A) S-8 SYMANTEC CORP, 20330 STEVENS CREEK BLVD, CUPERTINO, CA, 95014, 4082539600 - 40,000,000 ($701,600,000.00) Equity, (File 333-140252 - Jan. 26) (BR. 03C) S-8 North Penn Bancorp, Inc., 216 ADAMS AVENUE, SCRANTON, PA, 18503, (570) 344-6113 - 93,119 ($1,033,621.00) Equity, (File 333-140253 - Jan. 26) (BR. 07B) S-3 T-3 ENERGY SERVICES INC, 7135 ARDMORE, HOUSTON, TX, 77054, 713 996 4110 - 4,879,316 ($91,194,416.04) Equity, 0 ($500,000,000.00) Other, (File 333-140254 - Jan. 26) (BR. 04B) SB-2 NEAH POWER SYSTEMS, INC., 22122 20TH AVE SE,, SUITE 161, BOTHELL, WA, 98021, 425-424-3324 - 0 ($23,074,401.00) Equity, (File 333-140255 - Jan. 26) (BR. 10B) S-8 SCO GROUP INC, 8017654999 - 0 ($225,043.30) Equity, (File 333-140256 - Jan. 26) (BR. 03A) SB-2 Phoenix International Ventures, Inc., 2201 LOCKHEED WAY, CARSON CITY, NV, 89706, (775) 882-9700 - 3,768,750 ($1,884,375.00) Equity, (File 333-140257 - Jan. 26) (BR. ) S-8 SCO GROUP INC, 8017654999 - 0 ($670,788.14) Equity, (File 333-140258 - Jan. 26) (BR. 03A) SB-2 ADVANCED CELL TECHNOLOGY, INC., 381 PLANTATION STREET, WORCESTER, MA, 01605, 508-756-1212 - 0 ($54,320,777.00) Equity, (File 333-140265 - Jan. 26) (BR. 01C) SB-2 CrossPoint Energy CO, 808 NELSON STREET, SUITE 2103, VANCOUVER, A1, V6Z 2H2, (604) 684-7619 - 12,844,730 ($35,323,008.00) Equity, (File 333-140266 - Jan. 26) (BR. 04B) S-8 ISOTIS INC, 2 GOODYEAR, IRVINE, CA, 92618, 9495958710 - 664,472 ($9,242,805.52) Equity, (File 333-140267 - Jan. 26) (BR. 01) S-3 PDF SOLUTIONS INC, 333 WEST SAN CARLOS STREET, SUITE 700, SAN JOSE, CA, 95110, 4082807900 - 699,298 ($7,321,650.06) Equity, (File 333-140268 - Jan. 26) (BR. 03A) 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 3COM CORP DE 5.02 01/24/07 ADDVANTAGE TECHNOLOGIES GROUP INC OK 7.01,9.01 01/26/07 ADELPHIA COMMUNICATIONS CORP DE 7.01 01/26/07 ADOBE SYSTEMS INC DE 5.02,9.01 01/23/07 ADTRAN INC DE 5.02 01/26/07 AFFILIATED COMPUTER SERVICES INC DE 5.04,9.01 01/26/07 Airbee Wireless, Inc. DE 8.01 01/19/07 Aircastle LTD D0 2.02,8.01,9.01 01/26/07 AIRTRAN HOLDINGS INC NV 2.02,7.01,8.01,9.01 01/26/07 AKORN INC LA 3.01,9.01 01/25/07 ALEXANDER & BALDWIN INC HI 5.03,9.01 01/25/07 ALL STATE PROPERTIES LP DE 8.01 12/19/06 ALLIANCE SEMICONDUCTOR CORP /DE/ DE 2.01,9.01 01/25/07 Alternative Loan Trust 2006-J8 8.01,9.01 12/28/06 Altra Holdings, Inc. DE 8.01,9.01 01/26/07 AMERICAN EXPRESS CO NY 5.02,9.01 01/22/07 American Home Mortgage Assets Trust 2 DE 9.01 01/26/07 AMERICAN MEDICAL ALERT CORP NY 5.02 01/22/07 AMERICAN NATIONAL BANKSHARES INC VA 2.02,9.01 01/25/07 AMERICAN STATES WATER CO CA 5.02,5.03,9.01 01/25/07 AMERIGROUP CORP 8.01 01/19/07 AMH Holdings, Inc. DE 5.02 01/26/07 AMPHENOL CORP /DE/ DE 8.01,9.01 01/26/07 APACHE CORP DE 1.01,8.01,9.01 01/23/07 APPALACHIAN BANCSHARES INC GA 2.02,7.01,9.01 01/26/07 APPLIED INDUSTRIAL TECHNOLOGIES INC OH 5.02,9.01 01/24/07 APPLIED MICRO CIRCUITS CORP DE 2.02,9.01 01/19/07 AMEND ARENA PHARMACEUTICALS INC DE 5.02,9.01 01/22/07 ARGAN INC DE 9.01 12/08/06 AMEND ARVINMERITOR INC IN 5.02,9.01 01/26/07 ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 01/25/07 AspenBio Pharma, Inc. CO 5.02,7.01,9.01 01/24/07 ASSOCIATED MATERIALS INC DE 5.02 01/26/07 ATLANTIC BANCGROUP INC FL 2.02,9.01 01/26/07 Atlantic Bancshares, Inc. SC 5.03,9.01 01/25/07 ATS MEDICAL INC MN 8.01,9.01 01/26/07 AVISTAR COMMUNICATIONS CORP DE 2.02,9.01 01/25/07 AXM PHARMA INC 8.01 01/26/07 BA Credit Card Funding, LLC DE 8.01,9.01 01/26/07 BANCORPSOUTH INC MS 5.03,9.01 01/24/07 BANCSHARES OF FLORIDA INC FL 2.02,8.01,9.01 01/25/07 BARR PHARMACEUTICALS INC DE 8.01 01/26/07 BAY NATIONAL CORP 2.02,9.01 01/25/07 BEAZER HOMES USA INC DE 2.02,9.01 01/26/07 BEAZER HOMES USA INC DE 2.02,9.01 01/26/07 BEHRINGER HARVARD SHORT TERM OPPORTUN TX 2.02,9.01 01/26/07 BELAIR CAPITAL FUND LLC 5.02 01/23/07 BELCREST CAPITAL FUND LLC 5.02 01/23/07 BELMAR CAPITAL FUND LLC 5.02 01/23/07 BELPORT CAPITAL FUND LLC 5.02 01/23/07 BELROSE CAPITAL FUND LLC DE 5.02 01/23/07 Benjamin Franklin Bancorp, Inc. MA 2.02,8.01,9.01 01/25/07 BESTNET COMMUNICATIONS CORP NV 9.01 01/22/07 BigString CORP DE 8.01,9.01 01/24/07 BIOMIMETIC THERAPEUTICS, INC. DE 8.01,9.01 01/25/07 BIOVERIS CORP DE 8.01 01/25/07 BIOVEST INTERNATIONAL INC DE 7.01 01/25/07 BIRCH BRANCH INC CO 2.03,3.02,9.01 01/23/07 Blackhawk Fund NV 4.01,9.01 01/22/07 Boardwalk Bancorp Inc NJ 2.02,5.02,8.01,9.01 01/22/07 BOTETOURT BANKSHARES INC VA 8.01 01/26/07 BREEZE-EASTERN CORP DE 2.02,7.01,9.01 01/25/07 BRIDGE BANCORP INC NY 2.02,9.01 01/26/07 BRITTON & KOONTZ CAPITAL CORP MS 2.02,9.01 01/26/07 BROADWAY FINANCIAL CORP \DE\ DE 5.02 01/22/07 BROOKE CORP KS 7.01,9.01 01/25/07 Buckeye GP Holdings L.P. DE 2.02,9.01 01/26/07 BUCKEYE PARTNERS L P DE 2.02,9.01 01/26/07 BUCKEYE TECHNOLOGIES INC DE 8.01 01/23/07 BUCS FINANCIAL CORP MD 5.02 01/22/07 C-COR INC PA 2.02,9.01 01/25/07 CALLISTO PHARMACEUTICALS INC DE 1.01 01/25/07 CAPITAL ONE FINANCIAL CORP DE 8.01,9.01 01/25/07 CAPITAL ONE FINANCIAL CORP DE 9.01 12/01/06 AMEND CAPITOL BANCORP LTD MI 2.02 12/31/06 CARACO PHARMACEUTICAL LABORATORIES LT MI 2.02,9.01 01/25/07 Cardinal Ethanol LLC 1.01,5.02 01/22/07 CARMAX INC VA 5.02,5.03 01/26/07 CARNIVAL CORP DE 5.02,9.01 01/22/07 CARPENTER TECHNOLOGY CORP DE 1.01,2.02,9.01 01/26/07 CASH AMERICA INTERNATIONAL INC TX 2.02,9.01 01/25/07 CATALINA MARKETING CORP/DE DE 5.02 01/25/07 CATERPILLAR FINANCIAL SERVICES CORP DE 2.02,9.01 01/26/07 CATERPILLAR INC DE 2.02,7.01,9.01 01/26/07 CATERPILLAR INC DE 7.01 01/26/07 CATERPILLAR INC DE 7.01 01/26/07 CATSKILL LITIGATION TRUST 1.01,9.01 01/24/07 CATUITY INC DE 8.01 01/25/07 CDW CORP IL 2.02,9.01 01/26/07 CELSION CORP MD 5.02 01/22/07 AMEND Centennial Bank Holdings, Inc. DE 8.01 01/26/07 CENTER BANCORP INC NJ 2.02,9.01 01/25/07 CFS BANCORP INC IN 2.02,9.01 01/26/07 CHEMICAL FINANCIAL CORP MI 2.02,9.01 01/26/07 Chemtura CORP DE 5.02,9.01 01/26/07 CHINA AOXING PHARMACEUTICAL COMPANY, FL 5.02 01/22/07 CHINA DIGITAL WIRELESS INC 1.01,3.01,5.01,5.02,9.01 01/24/07 CHINA DIGITAL WIRELESS INC 3.01,3.02 01/24/07 AMEND China VoIP & Digital Telecom Inc. NV 8.01,9.01 01/25/07 CHL Mortgage Pass-Through Trust 2006- 8.01,9.01 12/28/06 CIPRICO INC DE 5.02,7.01,9.01 01/25/07 CIRCUIT RESEARCH LABS INC AZ 4.01,9.01 01/26/07 CIVITAS BANKGROUP INC TN 1.01,7.01,9.01 01/25/07 CLEARANT INC 5.02 01/26/07 CMS ENERGY CORP MI 8.01,9.01 01/26/07 CNX Gas CORP DE 5.02,9.01 01/24/07 COAST FINANCIAL HOLDINGS INC 2.06,9.01 01/26/07 COBIZ INC CO 2.02,9.01 01/25/07 COLUMBIA BANKING SYSTEM INC WA 2.02,8.01,9.01 01/25/07 COMMERCIAL NATIONAL FINANCIAL CORP /P PA 2.02 01/26/07 COMMUNITY FIRST INC TN 2.02,7.01,9.01 01/26/07 COMMUNITY VALLEY BANCORP CA 2.02,9.01 01/26/07 CONCURRENT COMPUTER CORP/DE DE 2.02,9.01 01/26/07 COOPER COMPANIES INC DE 8.01,9.01 01/26/07 Cornerstone Core Properties REIT, Inc MD 2.01,2.03,9.01 01/22/07 CORPORATE BOND BACKED CERT TRUST SERI 8.01,9.01 01/16/07 COVANTA HOLDING CORP DE 1.01,9.01 01/25/07 COVENANT TRANSPORT INC NV 2.02,9.01 01/25/07 COVER ALL TECHNOLOGIES INC DE 1.01,9.01 01/22/07 CSB BANCORP INC /OH OH 2.02,9.01 01/26/07 CSS INDUSTRIES INC DE 2.02,9.01 01/25/07 CULP INC NC 1.01,2.03,3.02,9.01 01/22/07 CYBERSOURCE CORP DE 2.02,9.01 01/25/07 AMEND DAYSTAR TECHNOLOGIES INC DE 1.01,9.01 01/22/07 DEL LABORATORIES INC DE 8.01 01/26/07 DELTA WOODSIDE INDUSTRIES INC /SC/ SC 7.01,9.01 01/22/07 DEVCON INTERNATIONAL CORP FL 1.01,1.02,5.02,7.01,9.01 01/22/07 DiamondRock Hospitality Co 8.01,9.01 01/23/07 DILLARDS INC DE 7.01,9.01 01/26/07 DIME COMMUNITY BANCSHARES INC DE 2.02,9.01 01/26/07 DONALDSON CO INC DE 8.01,9.01 01/26/07 DPL INC OH 7.01,9.01 01/25/07 DreamWorks Animation SKG, Inc. 5.02,9.01 01/24/07 EARTH BIOFUELS INC DE 5.02,8.01 12/26/06 EATON CORP OH 5.02,9.01 01/24/07 ELECTRO ENERGY INC FL 8.01 01/26/07 ELECTRO RENT CORP CA 5.02,9.01 01/25/07 ELKCORP DE 2.02,9.01 01/25/07 ENCORE ACQUISITION CO DE 1.01,7.01,9.01 01/23/07 ENCORE ACQUISITION CO DE 7.01,9.01 01/25/07 Epic Bancorp 2.02,8.01,9.01 01/26/07 ESB FINANCIAL CORP PA 2.02,9.01 01/25/07 EUROBANCSHARES INC 5.02 01/22/07 ev3 Inc. DE 5.02,9.01 01/22/07 EXIDE TECHNOLOGIES DE 8.01,9.01 01/25/07 EXPRESSJET HOLDINGS INC DE 2.02 12/31/06 FAIRPOINT COMMUNICATIONS INC DE 1.01,9.01 01/24/07 FALCON NATURAL GAS CORP 1.01,9.01 01/18/07 FARMERS NATIONAL BANC CORP /OH/ OH 2.02,9.01 01/26/07 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 01/23/07 Federal Home Loan Bank of San Francis X1 5.02 01/22/07 FEDERAL NATIONAL MORTGAGE ASSOCIATION 2.02,7.01,9.01 01/19/07 FEDERAL NATIONAL MORTGAGE ASSOCIATION 5.02,9.01 01/25/07 FEDERATED INVESTORS INC /PA/ PA 2.02,9.01 01/25/07 FINANCIAL SECURITY ASSURANCE HOLDINGS NY 2.02,9.01 01/26/07 Finmetal Mining Ltd. 5.03,8.01,9.01 01/22/07 FIRST ALBANY COMPANIES INC NY 8.01,9.01 01/26/07 FIRST BANCORP /NC/ NC 2.02,9.01 01/25/07 FIRST CAPITAL INC IN 2.02,9.01 01/25/07 FIRST COMMONWEALTH FINANCIAL CORP /PA PA 2.02,9.01 01/24/07 FIRST FEDERAL BANKSHARES INC DE 2.02,9.01 01/24/07 FIRST FINANCIAL BANCORP /OH/ OH 2.02,5.02,7.01,9.01 01/23/07 FIRST FINANCIAL SERVICE CORP KY 2.02,9.01 01/25/07 First Franklin Mortgage Loan Trust, S DE 8.01,9.01 01/26/07 FIRSTFED FINANCIAL CORP DE 7.01,9.01 12/31/06 FIRSTFED FINANCIAL CORP DE 2.02,9.01 12/31/06 Fittipaldi Logistics, Inc. NV 1.01,9.01 01/26/07 FLOW INTERNATIONAL CORP WA 1.01,9.01 01/24/07 FLYI INC DE 7.01 01/22/07 FORTUNE BRANDS INC DE 2.02,7.01,9.01 01/26/07 FOUR OAKS FINCORP INC NC 2.02,9.01 01/26/07 FPL GROUP INC FL 2.02,9.01 01/26/07 FRANKLIN FINANCIAL SERVICES CORP /PA/ PA 8.01,9.01 01/24/07 Freedom Acquisition Holdings, Inc. DE 8.01,9.01 01/24/07 Frontier Airlines Holdings, Inc. DE 2.02,9.01 01/25/07 FTS GROUP, INC. NV 1.01,2.03,3.02,9.01 01/22/07 FULLER H B CO MN 5.02,9.01 01/22/07 FUSHI INTERNATIONAL INC NV 1.01,2.03,3.02,9.01 01/24/07 GB&T BANCSHARES INC GA 2.02,9.01 01/24/07 GE Capital Credit Card Master Note Tr DE 8.01,9.01 01/16/07 AMEND Gener8xion Entertainment, Inc. NY 1.01,9.01 09/30/05 AMEND GENERAL MOTORS CORP DE 8.01,9.01 01/25/07 Geneva Gold Corp NV 5.02,8.01,9.01 01/22/07 GLOBAL BUSINESS SERVICES INC DE 2.01,5.02,9.01 01/25/07 GLOBAL CROSSING LTD 8.01,9.01 01/26/07 Global Developments Inc. DE 8.01 01/23/07 Global Developments Inc. DE 8.01 01/24/07 Global Developments Inc. DE 8.01 01/25/07 GLOBAL INNOVATIVE SYSTEMS INC NV 5.02 01/22/07 Global Wataire, Inc. NV 8.01,9.01 01/26/07 GMX RESOURCES INC OK 2.02,9.01 01/25/07 GRAHAM CORP DE 2.02,9.01 01/26/07 GRAINGER W W INC IL 2.02,9.01 12/31/06 GREAT NORTHERN IRON ORE PROPERTIES MN 2.02,9.01 01/26/07 GREENBRIER COMPANIES INC DE 9.01 11/07/06 AMEND GREENE COUNTY BANCSHARES INC TN 1.01,7.01,9.01 01/25/07 Hana Biosciences Inc DE 1.02,5.02 01/22/07 HANCOCK HOLDING CO MS 8.01,9.01 01/25/07 Harbin Electric, Inc 8.01,9.01 01/25/07 HARLEYSVILLE SAVINGS FINANCIAL CORP 2.02,8.01,9.01 01/24/07 HARRINGTON WEST FINANCIAL GROUP INC/C 2.02,9.01 01/25/07 HARTFORD FINANCIAL SERVICES GROUP INC DE 2.02,9.01 01/25/07 HARTFORD LIFE INSURANCE CO CT 9.01 01/26/07 HAYNES INTERNATIONAL INC DE 5.02 01/22/07 HEMIS CORP NV 1.01,9.01 01/25/07 HEPALIFE TECHNOLOGIES INC FL 1.01,1.02,9.01 01/25/07 HERTZ CORP DE 2.02,9.01 01/22/07 HERTZ GLOBAL HOLDINGS INC 2.02,9.01 01/22/07 HIGHLANDS BANKSHARES INC /WV/ WV 2.02,9.01 01/26/07 HIRSCH INTERNATIONAL CORP NY 8.01,9.01 01/24/07 HMN FINANCIAL INC DE 2.02,5.02,9.01 01/22/07 HONEYWELL INTERNATIONAL INC DE 2.02,9.01 01/26/07 HOST AMERICA CORP DE 1.01,9.01 01/26/07 HOUSE OF BRUSSELS CHOCOLATES INC NV 5.02 01/17/07 HUDSON CITY BANCORP INC DE 5.02 01/26/07 IDEXX LABORATORIES INC /DE DE 2.02,9.01 01/26/07 ILINC COMMUNICATIONS INC DE 2.02,9.01 01/25/07 ILINC COMMUNICATIONS INC DE 4.01,9.01 01/24/07 ImmunoCellular Therapeutics, Ltd. DE 8.01,9.01 01/23/07 IMPSAT FIBER NETWORKS INC DE 7.01,9.01 01/26/07 INDYMAC MBS INC RESIDENTIAL ASSET SEC 8.01 01/25/07 IndyMac RAST 2004-R2 8.01 01/25/07 IndyMac Residential Mortgage-Backed T DE 2.01,8.01,9.01 12/14/06 Ingen Technologies, Inc. 1.01,4.01,9.01 01/22/07 INLAND RETAIL REAL ESTATE TRUST INC MD 1.01,5.02,9.01 01/19/07 INSWEB CORP DE 2.02,9.01 01/25/07 INSWEB CORP DE 1.01 01/25/07 INTEGRATED DATA CORP DE 1.01,2.01,9.01 01/05/07 INVERNESS MEDICAL INNOVATIONS INC DE 1.01,7.01,9.01 01/25/07 IVISION GROUP LTD 1.01,3.02,5.01 12/21/06 J CREW GROUP INC DE 8.01,9.01 01/25/07 JACUZZI BRANDS INC DE 7.01,9.01 01/23/07 JEFFERSON BANCSHARES INC TN 2.02,9.01 01/26/07 JOHNSON OUTDOORS INC WI 2.02,9.01 01/26/07 KB HOME DE 8.01 01/19/07 KENSEY NASH CORP DE 2.02,9.01 01/26/07 KINDER MORGAN INC KS 8.01,9.01 01/25/07 KIRBY CORP NV 5.02 01/22/07 LABRANCHE & CO INC DE 2.02,9.01 01/26/07 LASALLE HOTEL PROPERTIES MD 7.01,8.01,9.01 12/19/06 LECG CORP DE 2.02,9.01 01/26/07 Legacy Bancorp, Inc. DE 7.01,9.01 01/26/07 LEHMAN ABS CORP ALTRIA DEB BACKED SER DE 8.01,9.01 01/15/07 LEHMAN ABS CORP BELLSOUTH CAPITAL FUN DE 8.01,9.01 01/15/07 LEHMAN ABS CORP FORD MOTOR CO NOTE BA DE 8.01,9.01 01/16/07 LEHMAN ABS CORP HSBC DEBENTURE BACKED DE 8.01,9.01 01/15/07 LEHMAN ABS CORP PRUDENTIAL FINANCIAL DE 8.01,9.01 01/15/07 LEHMAN ABS CORP REPACK AMER GEN FLOAT DE 8.01,9.01 01/15/07 LIFETIME BRANDS, INC DE 7.01,9.01 01/25/07 Lincolnway Energy, LLC IA 8.01 01/22/07 LL&E ROYALTY TRUST TX 7.01,9.01 01/26/07 LOCAL.COM DE 8.01 01/26/07 LSB CORP MA 2.02,9.01 01/25/07 MAJESTIC OIL & GAS NV 4.01,9.01 01/23/07 MANOR CARE INC DE 2.02,9.01 01/26/07 MARINE PRODUCTS CORP DE 5.02 01/23/07 MARINEMAX INC DE 2.02,9.01 01/25/07 MASSEY ENERGY CO DE 2.02,9.01 01/25/07 MASSEY ENERGY CO DE 2.02,9.01 01/25/07 AMEND MATRIXX INITIATIVES INC DE 5.02,8.01 01/22/07 MCKESSON CORP DE 1.01,2.03,8.01,9.01 01/26/07 MDC HOLDINGS INC DE 2.02,7.01,9.01 01/26/07 MEADE INSTRUMENTS CORP DE 1.02,5.02 01/26/07 MEADWESTVACO CORP DE 5.03,9.01 01/23/07 MEDICAL SOLUTIONS MANAGEMENT INC. NV 5.02 01/22/07 MERRILL LYNCH & CO INC DE 8.01,9.01 01/25/07 MESA AIR GROUP INC NV 2.02,9.01 01/25/07 MID PENN BANCORP INC PA 2.02,9.01 01/24/07 MIDCAROLINA FINANCIAL CORP NC 8.01,9.01 01/26/07 MIDLAND CO OH 8.01,9.01 01/26/07 MIDSOUTH BANCORP INC LA 2.02,8.01,9.01 01/25/07 MIDWESTONE FINANCIAL GROUP INC IA 2.02,9.01 01/26/07 Morgan Stanley ABS Capital I Inc. Tru DE 8.01,9.01 01/26/07 Morgan Stanley ABS Capital I Inc. Tru DE 9.01 01/19/07 MOSAIC CO 7.01,9.01 01/25/07 MOTHERS WORK INC DE 2.02,9.01 01/24/07 MPLC, Inc. DE 1.01,3.02,5.02,5.03,9.01 01/24/07 MULTI COLOR CORP OH 2.02,9.01 01/26/07 NATIONAL DATACOMPUTER INC DE 1.01,2.01,3.02,5.01,9.01 01/23/07 NATIONAL PENN BANCSHARES INC PA 5.02,5.04,8.01,9.01 01/26/07 NAVISTAR FINANCIAL CORP DE 8.01,9.01 10/31/06 NETFABRIC HOLDINGS, INC DE 4.01,9.01 01/24/07 NORTH CENTRAL BANCSHARES INC IA 2.02,9.01 01/26/07 NORTHERN GROWERS LLC SD 8.01 01/24/07 NOVELL INC DE 3.01,9.01 01/25/07 NUTRACEUTICAL INTERNATIONAL CORP DE 2.02,9.01 01/26/07 OCEAN BIO CHEM INC FL 5.02 01/25/07 Opteum Inc. MD 7.01,9.01 01/26/07 Option One Mortgage Loan Trust 2007-F DE 8.01,9.01 01/18/07 Organetix NJ 1.01,1.02 01/18/07 ORRSTOWN FINANCIAL SERVICES INC PA 2.02,9.01 01/25/07 OWENS & MINOR INC/VA/ VA 2.02,9.01 01/25/07 PARALLEL PETROLEUM CORP DE 5.02 01/24/07 PARK NATIONAL CORP /OH/ OH 2.02,9.01 01/26/07 PARLUX FRAGRANCES INC DE 8.01 01/23/07 PARTNERRE LTD 7.01,8.01,9.01 01/22/07 PATRIOT NATIONAL BANCORP INC CT 5.02 01/24/07 PENN NATIONAL GAMING INC PA 1.01 01/22/07 PEOPLES BANCTRUST CO INC AL 2.02,9.01 01/25/07 PER SE TECHNOLOGIES INC DE 2.01,3.01,3.03,5.01,9.01 01/26/07 Permanent Master Issuer plc 1.01,9.01 01/25/07 PHARSIGHT CORP CA 7.01,9.01 01/26/07 PHH Alternative Mortgage Trust, Serie 8.01,9.01 01/26/07 PIONEER NATURAL RESOURCES CO DE 2.02,9.01 01/25/07 POPULAR INC 5.02,9.01 01/25/07 PowerShares DB Commodity Index Tracki 8.01 01/26/07 PowerShares DB G10 Currency Harvest F DE 8.01 01/26/07 PowerShares DB Multi-Sector Commodity DE 8.01 01/26/07 PRICE T ROWE GROUP INC MD 2.02,9.01 01/26/07 Propex Inc. DE 1.01,9.01 01/26/07 PSB HOLDINGS INC /WI/ WI 2.02,9.01 01/26/07 PULASKI FINANCIAL CORP MO 2.02,9.01 01/23/07 QUANTA CAPITAL HOLDINGS LTD 5.02,7.01,9.01 01/25/07 QUEPASA CORP NV 3.01,5.02 01/19/07 AMEND QUIXOTE CORP DE 2.02,9.01 01/25/07 RadNet, Inc. NY 9.01 11/15/06 AMEND RALI Series 2007-QA1 Trust DE 8.01,9.01 01/25/07 RAND CAPITAL CORP NY 7.01,9.01 01/26/07 REDBACK NETWORKS INC DE 3.01,3.02,5.01,8.01 01/24/07 Regency Energy Partners LP DE 8.01,9.01 01/25/07 RIGEL PHARMACEUTICALS INC DE 5.02,9.01 01/24/07 ROO GROUP INC DE 1.01,9.01 01/22/07 ROWAN COMPANIES INC DE 8.01 01/25/07 ROYAL CARIBBEAN CRUISES LTD 1.01 01/26/07 RPC INC DE 5.02 01/23/07 RPM INTERNATIONAL INC/DE/ DE 5.02,7.01,9.01 01/26/07 SAFEWAY INC DE 1.02,9.01 01/24/07 SANDISK CORP DE 9.01 11/19/06 AMEND SBARRO INC NY 7.01,9.01 01/25/07 AMEND SCHWAB CHARLES CORP DE 5.02,9.01 01/24/07 SCOTTISH RE GROUP LTD E9 8.01,9.01 01/25/07 SEA CONTAINERS LTD /NY/ 8.01,9.01 01/24/07 AMEND Security Capital Assurance Ltd D0 5.02 01/23/07 SENIOR HOUSING PROPERTIES TRUST MD 2.02,4.02,9.01 01/22/07 Shire plc 8.01,9.01 01/25/07 SICLONE INDUSTRIES INC DE 4.01 01/22/07 SL INDUSTRIES INC NJ 8.01 01/23/07 SOMERSET INTERNATIONAL GROUP,INC. DE 3.02 01/22/07 SOUTH FINANCIAL GROUP INC SC 5.05,9.01 01/24/07 SOUTHERN COPPER CORP/ DE 2.02,9.01 01/25/07 SOUTHSIDE BANCSHARES INC TX 2.02,9.01 01/25/07 SPARTA INC /DE DE 2.02,9.01 01/22/07 SPATIALIZER AUDIO LABORATORIES INC DE 8.01,9.01 01/24/07 SPEAR & JACKSON INC 8.01 01/22/07 ST MARY LAND & EXPLORATION CO DE 2.02,9.01 01/26/07 Stanadyne Holdings, Inc. DE 5.02 01/22/07 STANLEY WORKS CT 2.02,9.01 01/25/07 STERLING FINANCIAL CORP /PA/ PA 5.02,9.01 01/23/07 STINGER SYSTEMS, INC 1.01,3.02,9.01 01/25/07 SUMMIT FINANCIAL GROUP INC WV 2.02,9.01 01/25/07 SUN NEW MEDIA INC. MN 5.02,9.01 01/25/07 SUNOCO LOGISTICS PARTNERS LP DE 5.02,9.01 01/23/07 SUPERIOR BANCORP DE 5.02 01/25/07 SUPERIOR BANCORP DE 1.01,1.02,2.03 01/26/07 TAIWAN FUND INC DE 7.01,9.01 12/01/06 TARGACEPT INC 1.01 01/22/07 Tarpon Industries, Inc. MI 3.02 01/23/07 TAYLOR CAPITAL GROUP INC DE 1.01,9.01 01/23/07 TBS INTERNATIONAL LTD 1.01,5.02 01/26/07 TERRA INDUSTRIES INC MD 8.01,9.01 01/25/07 TIDEWATER INC DE 7.01,9.01 01/24/07 TIME WARNER INC DE 2.03,5.02 01/24/07 TIVO INC DE 1.01 01/25/07 TIVO INC DE 5.02,9.01 01/26/07 TOMPKINS TRUSTCO INC NY 5.02,9.01 01/23/07 TOREADOR RESOURCES CORP DE 5.02,9.01 01/25/07 TOREADOR RESOURCES CORP DE 7.01,9.01 01/25/07 Touchstone Mining LTD NV 4.01,9.01 01/23/07 Tower Group, Inc. DE 1.01,2.03,9.01 01/22/07 TREX CO INC DE 2.02,4.02,9.01 01/26/07 TRIPLE BAY INDUSTRIES OH 5.01,5.02,9.01 01/25/07 TRUE TEMPER SPORTS INC 1.01,2.03,9.01 01/22/07 TRX INC/GA GA 5.02,9.01 01/23/07 TVIA INC DE 2.03 01/23/07 TWIN LAKES INC NV 4.01,9.01 01/22/07 AMEND U S GLOBAL INVESTORS INC TX 2.02 01/26/07 UCBH HOLDINGS INC DE 2.02,9.01 01/25/07 UNICORP INC /NEW NV 1.01 01/15/07 UNION BANKSHARES CO/ME ME 2.02,9.01 01/26/07 UNION BANKSHARES INC VT 2.02,9.01 01/24/07 UNIT CORP DE 1.01,9.01 01/25/07 UNITED BANCORPORATION OF ALABAMA INC DE 2.02 01/26/07 UNITED BANCSHARES INC/OH OH 2.02,7.01,9.01 01/26/07 United Community Bancorp X1 8.01,9.01 01/25/07 UNITY WIRELESS CORP DE 4.02 11/17/06 AMEND UROLOGIX INC MN 2.02,9.01 01/25/07 USA TRUCK INC DE 2.02,5.05,8.01,9.01 01/24/07 USA VIDEO INTERACTIVE CORP WY 8.01,9.01 01/25/07 V F CORP PA 1.01,2.02,7.01,9.01 01/22/07 VALASSIS COMMUNICATIONS INC DE 8.01,9.01 01/26/07 Valera Pharmaceuticals Inc 1.01,9.01 12/11/06 AMEND VERAMARK TECHNOLOGIES INC DE 5.02,7.01,9.01 01/26/07 VICORP RESTAURANTS INC CO 2.02,9.01 01/26/07 ViewPoint Financial Group X1 2.02,9.01 01/24/07 VITACUBE SYSTEMS HOLDINGS INC NV 3.01,8.01,9.01 01/26/07 VNUS MEDICAL TECHNOLOGIES INC 1.01 01/23/07 VYYO INC DE 5.02 01/22/07 WATER CHEF INC DE 5.02,8.01,9.01 01/22/07 WEIGHT WATCHERS INTERNATIONAL INC VA 1.01,2.03,8.01,9.01 01/26/07 WELLS FARGO & CO/MN DE 9.01 01/25/07 WENDYS INTERNATIONAL INC OH 5.02 01/22/07 WESTAMERICA BANCORPORATION CA 8.01 01/25/07 WESTELL TECHNOLOGIES INC DE 1.01,9.01 01/22/07 WESTSPHERE ASSET CORP INC CO 8.01 01/26/07 WGNB CORP GA 1.01,9.01 01/22/07 Whos Your Daddy Inc NV 1.01,9.01 04/13/06 AMEND Wilber CORP 8.01,9.01 01/26/07 WILLOW FINANCIAL BANCORP, INC. PA 8.01,9.01 01/24/07 WINLAND ELECTRONICS INC MN 5.02,9.01 01/23/07 Winthrop Realty Trust OH 5.02,9.01 01/26/07 WIRELESS RONIN TECHNOLOGIES INC MN 1.01,8.01,9.01 01/24/07 WYETH DE 5.02,5.05,9.01 01/25/07 YOUBET COM INC DE 8.01,9.01 01/23/07 ZEBRA TECHNOLOGIES CORP/DE DE 2.01,9.01 01/25/07