SEC NEWS DIGEST Issue 2006-149 August 3, 2006 ENFORCEMENT PROCEEDINGS IN THE MATTER OF PAUL FLYNN An Administrative Law Judge has issued an Initial Decision in the matter of Paul A. Flynn. The Initial Decision concludes that Security Trust Company, N.A. (STC), Canary Capital Partners, LLC (Canary), and Samaritan Asset Management (Samaritan) violated Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder, as a result of their deceptive market-timing and late-trading practices. It further concludes that STC violated Rule 22c-1 under the Investment Company Act of 1940 by permitting Canary and Samaritan to receive the previously computed net asset value for their orders to purchase or redeem mutual fund shares that were submitted after 4:00 p.m. Eastern time. However, the Initial Decision concludes that Respondent Paul A. Flynn did not willfully aid and abet or cause STC's, Canary's, or Samaritan's primary violations of the aforementioned provisions. Accordingly, the Initial Decision dismisses all charges against Flynn. (Initial Decision No. 316; File No. 3-11390). ADMINISTRATIVE PROCEEDING INSTITUTED AGAINST WON CHARLIE YI On August 3, the Commission issued an Order Instituting Public Administrative Proceedings Pursuant To Section 203(f) of the Investment Advisers Act of 1940 And Notice of Hearing (OIP) against Won Charlie Yi (Yi). The Division of Enforcement alleges in the OIP that Yi was enjoined by a United States District Court from future violations 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 of 1940. The OIP further alleges that the District Court's Final Judgment ordered Yi to disgorge ill-gotten gains in the amount of $29,094,555.80, plus prejudgment interest, and imposed a civil penalty in the amount of $120,000. The complaint in the District Court action alleged that since at least May 2002, Yi perpetrated a fraud primarily against members of the Korean community in Los Angeles through C+ Capital Management, LLC (C+ Capital). Yi represented that C+ Capital would establish brokerage accounts in the clients' names at Carlin Equities Corp. (Carlin), a registered broker-dealer, and promised to use his expertise to buy and sell stocks in the clients' accounts. Yi did not open brokerage accounts for the advisory clients, but instead deposited the clients' checks into a bank account held in his name. Clients subsequently were provided fabricated account statements by mail or in person, purporting to reflect their portfolio positions in accounts at Carlin, the complaint alleged. Yi attempted to forestall discovery of the fraud by offering various excuses to clients to prevent them from liquidating their holdings. A hearing will be scheduled before an Administrative Law Judge to determine whether the allegations contained in the OIP are true, to afford Yi an opportunity to respond, and to determine what, if any, remedial sanctions are appropriate and in the public interest. The OIP requires the Administrative Law Judge to issue an initial decision no later than 210 days from the date of service of the order, pursuant to Rule 360(a)(2) of the Commission's Rules of Practice. (Rel. IA-2541; File No.3-12388) COURT ENTERS FINAL JUDGMENT AGAINST JAMES UPSHAW, SR. On July 25, 2006, Judge Samuel Der-Yeghiayan of the U.S. District Court for the Northern District of Illinois entered a Final Judgment against James E. Upshaw, Sr. (Upshaw), pursuant to his consent, which permanently enjoins Upshaw from violating the registration and antifraud provisions of the federal securities laws and orders him to pay disgorgement of $2,189,183.37 plus prejudgment interest of $68,438.78, but waives payment of those amounts and does not impose a civil penalty based on Upshaw's sworn Statement of Financial Condition and the seven and one-half year prison sentence he is currently serving based on his criminal conviction by the Circuit Court of Cook County for theft and securities fraud in December 2004. The Commission's complaint, filed on Aug. 18, 2004, alleged that, from at least October 2000 to August 2004, Upshaw raised approximately $6.5 million through an "affinity fraud" in which he targeted members of the African-American community. According to the Commission's complaint, Upshaw represented to investors that he would invest their funds in large-cap U.S. stocks, Treasury bills and commercial paper and guaranteed returns of up to 10% per month on their investment. Upshaw, however, invested little, if any, investor proceeds in the manner promised. Instead, the Commission's complaint alleged that Upshaw used investor funds to pay returns to other investors, fund business ventures for himself, his wife, and his friends, and purchase a luxury home and two luxury cars. For further information see L.R- 18839 (Aug. 19, 2004). [SEC v. Upshaw and Associates, L.L.C., et al., Civil Action No. 04 C 5437, USDC N.D. Ill.] (LR-19790) SEC CHARGES TEXAS INSURANCE FIRM WITH DECEPTIVE SALE OF INVESTMENTS TO MILITARY PERSONNEL 57,000 MILITARY PERSONNEL TO BENEFIT FROM $10 MILLION SETTLEMENT The Commission today sued a Waco, Texas insurance company and its affiliates for targeting American military personnel with a deceptive sales program that misleadingly suggested that investing in the company's product would make one a millionaire. Since 2000, approximately 57,000 members of the United States military services purchased the product. The vast majority earned little or nothing on their investment. The Commission's complaint, filed in the United States District Court for the Southern District of California, charged affiliated entities American-Amicable Life Insurance Company of Texas, Pioneer American Insurance Company, and Pioneer Security Life Insurance Company (together, "American-Amicable"), all based in Waco, Texas, with securities law violations. American-Amicable has agreed to settle the action by paying $10 million to the approximately 57,000 military personnel who invested in the product sold as an investment known as "Horizon Life." The settlement is part of a global settlement of claims brought by the Commission, state insurance regulators led by the Georgia Department of Insurance and the Texas Department of Insurance, and the United States Attorney's Office for the Eastern District of Pennsylvania. The settlement with the other regulators will provide additional relief, which the other regulators value at approximately $60 million. In the agreed settlement, the company has neither admitted nor denied the Commission's allegations. Pursuant to the settlement, American- Amicable will discontinue sales of Horizon Life and will terminate the deceptive sales program, which it called the "Building Success" system. Unlike insurance products legitimately offered to a wide range of potential buyers with a potential interest in the insurance features of those products, Horizon Life was targeted at military personnel who had little or no interest in insurance because they already were provided access to low-cost insurance sponsored by the government. Instead, American-Amicable represented Horizon Life to military personnel as a security and a wealth-creating investment. As a material element of its marketing, American-Amicable senior staff trained its sales agents to hold themselves out as "financial advisers" or "financial coaches." Purporting to play that role, the sales agents then misled military personnel to believe they could become millionaires if they invested in Horizon Life. At the same time, the agents denigrated other investment alternatives, claiming that mutual funds, bank savings accounts and government bonds were not sensible investments compared to Horizon Life. Although the written materials ultimately provided to investors apparently accurately described the Horizon Life product, the company's deceptive sales pitch did not. Contrary to the representations, the overwhelming majority of military personnel who purchased Horizon Life earned little or nothing from their investment. The Commission's complaint charges American-Amicable with violating Sections 17(a)(2) and (3) of the Securities Act of 1933, an antifraud statute. Without admitting or denying the allegations, American- Amicable has agreed to be enjoined from further violations of these provisions, and to pay disgorgement of $10 million, which will be distributed to the affected investors. In related matters, Georgia Insurance Commissioner John W. Oxendine and Texas Insurance Commissioner Mike Geeslin announced today a multi- state settlement with American-Amicable alleging violations of state insurance and consumer protection laws, and U.S. Attorney Patrick L. Meehan of the Eastern District of Pennsylvania announced the filing of a complaint, settlement and proposed consent decree with American- Amicable alleging civil claims of wire and mail fraud. [SEC v. American-Amicable Life Insurance Company Of Texas; Pioneer American Insurance Company; and Pioneer Security Life Insurance Company, Case No. 06-cv-1553 JAH WMC, S.D. Cal.] (LR-19791; Press Rel. 2006-132) SEC SUES BROKER FOR DEFRAUDING PENNSYLVANIA SCHOOL DISTRICTS The Commission today filed civil charges against Robert Bradbury of Chester County, Pennsylvania, and his firm Dolphin & Bradbury Incorporated, a broker-dealer located in Philadelphia, Pennsylvania. The SEC alleges that the two defendants defrauded four Pennsylvania school districts by repeatedly selling them a series of risky, short- term notes issued to finance a speculative golf course in central Pennsylvania. The notes defaulted on September 1, 2004, resulting in losses to the school districts that exceed $11 million. According to the Commission's complaint, the defendants knew or were reckless in not knowing that the notes were both impermissible investments under state law for the school districts, as well as unsuitable investments for the school districts. Moreover, Bradbury and his firm allegedly failed to distribute a disclosure document concerning the notes or otherwise disclose to the school districts the material risks associated with these investments. Further, Bradbury on behalf of his firm allegedly executed numerous false and misleading documents to conceal the fraud. The Commission further alleges that the defendants exploited the relationships of trust and confidence that they had developed over the years with the school districts and sold the notes to the four school districts because they had no other place to sell them. The Commission's complaint also names Bradbury's wife, Margaret, as a relief defendant. The Commission alleges that Bradbury transferred over $5.41 million of assets to her for little or no consideration in an effort to hinder, delay or defraud the Commission and other creditors. The Commission has charged defendants with, among other things, violations of the antifraud provisions of the federal securities laws as well as regulations relating to the review and distribution of official statements by brokers. In its action, the Commission seeks permanent injunctive relief, disgorgement of ill-gotten gains or avoided losses with prejudgment interest, civil monetary penalties, an officer and director bar for Bradbury, and the setting aside of Bradbury's fraudulent transfers to his wife. [SEC v. Robert J. Bradbury, Dolphin & Bradbury, Incorporated and Margaret B. Bradbury as Relief Defendant, United States District Court for the Eastern District of Pennsylvania, Civil Action No. 06-CV-3435] (LR-19792) ADDITIONS AND CORRECTIONS A summary in yesterday's Digest entitled COURT ENTERS FINAL JUDGMENT BY CONSENT AGAINST DEFENDANT FAROUK KHAN should have read as follows: COURT ENTERS FINAL JUDGMENT BY CONSENT AGAINST DEFENDANT FAROUK KHAN The Commission announced that on July 28, 2006, a Rhode Island federal court entered a final judgment by consent against Farouk A. Khan, a defendant in a fraud action filed by the Commission in April 2002. The Commission alleged in its complaint that Khan and others participated in a fraudulent offering scheme that raised at least $52 million from investors. The Commission filed its action against Khan and eight other defendants and a relief defendant on April 1, 2002, alleging that Khan and others participated in a scheme that made fraudulent representations to investors about a purported high yield trading program operated through entities formerly known as Brite Business Corporation and Seaview Development & Holdings Ltd. Among other things, the Commission alleged in its complaint that in an attempt to convince an investor to invest additional funds, Khan made fraudulent misrepresentations to the investor by promising him a 107% annual return on investment. Without admitting or denying the allegations in the Commission's complaint, Khan consented to a final judgment entered by the Court. The final judgment enjoins Khan from future violations of Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The court's final judgment also orders that Khan be liable for disgorgement in the amount of $225,000 (representing profits gained as a result of conduct alleged in the complaint), plus prejudgment interest in the amount of $59,385.82, for a total amount of $284,385.82. Based on Khan's sworn representations and other documents and information submitted to the Commission, however, the Court did not order Khan to pay a civil monetary penalty and waived payment of the disgorgement and prejudgment interest. According to the final judgment, the Court's determination not to impose a civil penalty and to waive payment of the disgorgement and prejudgment interest is contingent upon the accuracy and completeness of Khan's financial statements. For further information see Litigation Release Numbers 17514 (May 13, 2002) [preliminary injunction and asset freeze against Khan and others]; and 17461 (April 5, 2002) [temporary restraining order and asset freeze against Khan and others]. [SEC v. Dennis S. Herula, et al., USDC for the District of Rhode Island, C.A. No. 02-154-ML] (LR-19789) INVESTMENT COMPANY ACT RELEASES NOTICES OF DEREGISTRATION UNDER THE INVESTMENT COMPANY ACT For the month of July, 2006, a notice has been issued giving interested persons until Aug. 22, 2006, 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: The Thurlow Funds, Inc. [File No. 811-8219] Retirement Income Trust [File No. 811-21320] WM Prime Income Fund [File No. 811-9122] Smith Barney Principal Return Fund [File No. 811-5678] Fidelity Qualified Dividend Fund [File No. 811-3071] The Nevis Fund, Inc. [File No. 811-8689] Highland Institutional Floating Rate Income Fund [File No. 811- 8955] CIM High Yield Securities [File No. 811-5328] Morgan Stanley KLD Social Index Fund [File No. 811-10353] Morgan Stanley Biotechnology Fund [File No. 811-21040] ACM Government Securities Fund, Inc. [File No. 811-5402] ACM Government Spectrum Fund, Inc. [File No. 811-5500] Scudder Yieldwise Funds [File No. 811-8047] Scudder Focus Value Plus Growth Fund [File No. 811-7331] Scudder Growth Trust [File No. 811-1365] Scudder Dynamic Growth Fund [File No. 811-1702] Scudder Aggressive Growth Fund [File No. 811-7855] Scudder Investors Trust [File No. 811-9057] Scudder New Europe Fund, Inc. [File No. 811-5969] (Rel. IC- 27442 - July 28) SELF-REGULATORY ORGANIZATIONS APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change (SR-NYSE-2005-03) filed by the New York Stock Exchange to amend Exchange Rule 325 (Capital Requirements for Member Organizations), Rule 326 (Growth Capital Requirement, Business Reduction Capital Requirement, Unsecured Loans and Advances), and Rule 431 (Margin Requirement). Publication is expected in the Federal Register during the week of August 14. (Rel. 34-54255) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-Phlx-2006-46) filed by the Philadelphia Stock Exchange extending the Specialist Option Transaction Charge Credit Pilot Program 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 August 14. (Rel. 34-54257) A proposed rule change (SR-NASDAQ-2006-024) filed by The NASDAQ Stock Market regarding technical and conforming changes to Nasdaq's 7000 Series Rules 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 August 14. (Rel. 34-54260) A proposed rule change (SR-Amex-2006-69) and Amendment No. 1 thereto filed by the American Stock Exchange relating to an extension of a pilot program for the fee cap program for certain options spread trades has become effective immediately under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of August 14. (Rel. 34-54261) PROPOSED RULE CHANGE The American Stock Exchange filed a proposed rule change (SR-Amex- 2006-64) and Amendment No. 1 thereto to a retroactive suspension of transaction charges for specialist orders in the Nasdaq-100 Tracking StockŪ (QQQQ). Publication is expected in the Federal Register during the week of August 14. (Rel. 34-54262) 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 NUTECH DIGITAL INC, 7900 GLORIA AVE, VAN NUYS, CA, 91406, 8189943831X12 - 5,000,000 ($85,000.00) Other, (File 333-136222 - Aug. 2) (BR. 05B) SB-2 Smokers Lozenge Inc, 610-1112 WEST PENDER STREET, VANCOUVER, A1, V6E 2S1, 604-893-8778 - 300,000 ($3,000.00) Equity, (File 333-136223 - Aug. 2) (BR. 09) S-3ASR BAXTER INTERNATIONAL INC, ONE BAXTER PKWY, DF2-2W, DEERFIELD, IL, 60015, 8479482000 - 0 ($0.00) Debt, (File 333-136224 - Aug. 2) (BR. 10A) S-8 ARROWHEAD RESEARCH CORP, 1118 EAST GREEN STREET, PASADENA, CA, 91106, 626-792-5549 - 5,000,000 ($24,075,000.00) Equity, (File 333-136225 - Aug. 2) (BR. 01B) S-8 FIBERNET TELECOM GROUP INC\, 570 LEXINGTON AVENUE, 3RD FLOOR, NEW YORK, NY, 10022, 2124056200 - 5,000,000 ($865,000.00) Equity, (File 333-136226 - Aug. 2) (BR. 11C) S-8 VONAGE HOLDINGS CORP, 23 MAIN STREET, HOLMDEL, NJ, 07733, 732-528-2600 - 44,058,743 ($324,272,348.48) Equity, (File 333-136227 - Aug. 2) (BR. 11B) S-3 GMAC COMMERCIAL MORTGAGE SECURITIES INC, 650 DRESHER ROAD HORSHAM, PENNSYLVANIA, PA, 190444, 4108842000 - 2,962,367,000 ($2,962,367,000.00) Asset-Backed Securities, (File 333-136228 - Aug. 2) (BR. 05D) S-8 ENTERPRISE FINANCIAL SERVICES CORP, 150 NORTH MERAMEC, 150 NORTH MERAMEC, CLAYTON, MO, 63105, 3147255500 - 850,000 ($23,570,500.00) Equity, (File 333-136230 - Aug. 2) (BR. 07C) S-8 COAST FINANCIAL HOLDINGS INC, 2412 CORTEZ ROAD WEST, BRADENTON, FL, 34207, 9417525900 - 0 ($6,844,500.00) Equity, (File 333-136233 - Aug. 2) (BR. 07B) S-8 CENTRAL BANCORP INC /MA/, 399 HIGHLAND AVENUE, SOMERVILLE, MA, 02144, 6176284000 - 150,000 ($4,651,500.00) Equity, (File 333-136234 - Aug. 2) (BR. 07B) SB-2 Mercury Internet CORP, 10 EAST 53RD STREET, 22ND FLOOR, NEW YORK, NY, 10022, 212-287-1552 - 5,562,475 ($2,781,238.00) Equity, (File 333-136235 - Aug. 2) (BR. 09) S-8 INTERNATIONAL GAME TECHNOLOGY, 9295 PROTOTYPE DRIVE, P O BOX 10580, RENO, NV, 89510, 7754487777 - 9,000,000 ($343,440,000.00) Equity, (File 333-136237 - Aug. 2) (BR. 06B) S-8 GENETHERA INC, 3930 YOUNGFIELD STREET, WHEAT RIDGE, CO, 80033, 3034636371 - 6,000,000 ($480,000.00) Equity, (File 333-136238 - Aug. 2) (BR. 01A) S-8 STERIS CORP, 5960 HEISLEY RD, MENTOR, OH, 44060, 4403542600 - 6,600,000 ($151,074,000.00) Equity, (File 333-136239 - Aug. 2) (BR. 10C) S-3 AGL RESOURCES INC, TEN PEACHTREE PLACE, ATLANTA, GA, 30309, 4045844000 - 2,000,000 ($77,160,000.00) Equity, (File 333-136240 - Aug. 2) (BR. 02A) S-8 AGL RESOURCES INC, TEN PEACHTREE PLACE, ATLANTA, GA, 30309, 4045844000 - 200,000 ($7,716,000.00) Equity, (File 333-136241 - Aug. 2) (BR. 02A) SB-2 EMPIRE ENERGY CORP, 7500 COLLEGE BOULEVARD, SUITE 1215, OVERLAND PARK, KS, 66210, 9134695615 - 0 ($10,102,017.00) Equity, (File 333-136243 - Aug. 2) (BR. 04C) S-3ASR SONOCO PRODUCTS CO, ONE NORTH SECOND ST, P O BOX 160, HARTSVILLE, SC, 29551-0160, 8433837000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-136244 - Aug. 2) (BR. 03A) F-3 CLEARLY CANADIAN BEVERAGE CORP, 2267 10TH AVENUE WEST, VANCOUVER, A1, V6K 2J1, 604-742-5300 - 16,315,173 ($55,797,891.66) Equity, (File 333-136245 - Aug. 2) (BR. 02B) S-8 PRIDE BUSINESS DEVELOPMENT HOLDINGS, INC., 15760 VENTURA BLVD., SUITE 1020, ENCINO, CA, 91436, 866-868-0461 - 150,000 ($120,000.00) Equity, (File 333-136246 - Aug. 2) (BR. 02C) SB-2 DoMar Exotic Furnishings Inc., 1624 TIOGA TRAIL, WINTER PARK, FL, 32789, 407 448 0100 - 1,000,000 ($50,000.00) Equity, (File 333-136247 - Aug. 2) (BR. ) S-1 Freedom Acquisition Holdings, Inc., 1114 AVENUE OF THE AMERICAS, 41ST FLOOR, NEW YORK, NY, 10035, 212-380-2230 - 41,250,000 ($330,000,000.00) Equity, (File 333-136248 - Aug. 2) (BR. ) S-3 LIVEPERSON INC, 2126094200 - 4,238,250 ($17,503,972.50) Equity, (File 333-136249 - Aug. 2) (BR. 08B) S-8 RF MICRO DEVICES INC, 7628 THORNDIKE ROAD, GREENSBORO, NC, 27409-9421, 3369317042 - 15,217,103 ($91,150,446.97) Equity, (File 333-136250 - Aug. 2) (BR. 10C) S-8 RF MICRO DEVICES INC, 7628 THORNDIKE ROAD, GREENSBORO, NC, 27409-9421, 3369317042 - 1,380,000 ($8,266,200.00) Equity, (File 333-136251 - Aug. 2) (BR. 10C) S-8 RF MICRO DEVICES INC, 7628 THORNDIKE ROAD, GREENSBORO, NC, 27409-9421, 3369317042 - 0 ($23,960,000.00) Equity, (File 333-136252 - Aug. 2) (BR. 10C) S-3ASR FEDEX CORP, 942 SOUTH SHADY GROVE ROAD, MEMPHIS, TN, 38120-, 9018187500 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-136253 - Aug. 2) (BR. 05B) SB-2 PARK CITY GROUP INC, 333 MAIN STREET, SUITE 300, P.O. BOX 5000, PARK CITY, UT, 84060, 435-649-2221 - 197,985,699 ($13,859,000.00) Equity, (File 333-136254 - Aug. 2) (BR. 03B) N-2 HIGHLAND FLOATING RATE FUND, TWO GALLERIA TOWER, 13455 NOEL ROAD,SUITE 1300, DALLAS, TX, 75240, 9726284100 - 0 ($907,700,000.00) Equity, (File 333-136255 - Aug. 2) (BR. 16) S-3 TEXAS UNITED BANCSHARES INC, P.O. BOX B, LA GRANGE, TX, 78945, 9799687261 - 0 ($8,060,370.00) Equity, (File 333-136256 - Aug. 2) (BR. 07A) S-1 VANGUARD CAR RENTAL GROUP INC., 6929 NORTH LAKEWOOD AVENUE, SUITE 100, TULSA, OK, 74117, 918 401-6000 - 0 ($300,000,000.00) Equity, (File 333-136257 - Aug. 2) (BR. ) SB-2 HEALTHCARE BUSINESS SERVICES GROUPS, INC., 1126 WEST FOOTHILL BLVD, SUITE 105, UPLAND, CA, 91786, (909) 608-2035 - 111,111,111 ($2,000,000.00) Equity, (File 333-136258 - Aug. 2) (BR. 08C) S-4 New Sally Holdings, Inc., 2525 ARMITAGE AVENUE, MELROSE PARK, IL, 60160, (708) 450-3000 - 0 ($4,399,175,000.00) Equity, (File 333-136259 - Aug. 2) (BR. ) S-8 MAJESCO ENTERTAINMENT CO, 160 RARITAN CENTER PARKWAY, SUITE 1, EDISON, NJ, 08837, 7328727490 - 0 ($5,520,000.00) Equity, (File 333-136260 - Aug. 2) (BR. 03C) S-8 WEBMETHODS INC, 3877 FAIRFAX RIDGE ROAD - SOUTH TOWER, FAIRFAX, VA, 22030, 7034602500 - 0 ($56,448,412.00) Equity, (File 333-136261 - Aug. 2) (BR. 03B) 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 NO. DATE COMMENT ---------------------------------------------------------------------------------------------------- 21ST CENTURY HOLDING CO FL 2.02,9.01 08/02/06 ABIGAIL ADAMS NATIONAL BANCORP INC DE 2.02,9.01 04/28/06 ACADIA REALTY TRUST MD 2.02,7.01,9.01 07/31/06 ACCELRYS, INC. DE 2.02,9.01 08/02/06 ACCESS NATIONAL CORP VA 1.01,9.01 07/27/06 ACG HOLDINGS INC DE 7.01,9.01 08/02/06 Adams Respiratory Therapeutics, Inc. DE 1.01,2.01,8.01,9.01 07/27/06 ADELPHIA COMMUNICATIONS CORP DE 1.01,9.01 07/27/06 ADVANCIS PHARMACEUTICAL CORP 2.02,9.01 08/02/06 ADVO INC DE 8.01,9.01 08/02/06 ADVO INC DE 2.02,9.01 08/02/06 AeroGrow International, Inc. NV 1.01,9.01 07/27/06 AGL RESOURCES INC GA 7.01,9.01 08/02/06 AGREE REALTY CORP DE 2.02,9.01 08/02/06 ALBANY MOLECULAR RESEARCH INC DE 2.02,5.02,9.01 07/28/06 ALCAN INC A6 2.02,9.01 08/02/06 ALLERGAN INC DE 2.02,9.01 08/02/06 ALLIED CAPITAL CORP MD 2.02,9.01 08/02/06 ALLTEL CORP DE 2.02,9.01 08/02/06 ALTERA CORP DE 8.01,9.01 07/28/06 Alternative Loan Trust 2006-19CB DE 8.01,9.01 07/21/06 Alternative Loan Trust 2006-J4 DE 8.01,9.01 07/27/06 Alternative Loan Trust 2006-J5 7.01,9.01 07/28/06 AMEDISYS INC DE 2.02,9.01 08/01/06 AMERICA SERVICE GROUP INC /DE DE 2.02,9.01 08/01/06 AMERICAN CAMPUS COMMUNITIES INC MD 2.02,7.01,9.01 08/01/06 AMERICAN CAPITAL STRATEGIES LTD 2.02,9.01 08/01/06 AMERICAN COMMUNITY BANCSHARES INC NC 8.01,9.01 07/28/06 AMERICAN EQUITY INVESTMENT LIFE HOLDI IA 7.01,9.01 08/02/06 AMERICAN EQUITY INVESTMENT LIFE HOLDI IA 7.01,9.01 08/02/06 AMERICAN EXPRESS CO NY 8.01,9.01 08/01/06 AMERICAN FINANCIAL GROUP INC OH 2.02,9.01 06/30/06 AMERICAN RIVER BANKSHARES CA 7.01,9.01 08/02/06 AMERICAN SAFETY INSURANCE HOLDINGS LT 2.02 06/30/06 AMERICAN SUPERCONDUCTOR CORP /DE/ DE 1.01,9.01 08/02/06 AMERISTAR CASINOS INC NV 1.01,5.02,9.01 07/28/06 AMERUS GROUP CO/IA IA 2.02,2.03,9.01 07/31/06 AML COMMUNICATIONS INC DE 2.02,9.01 08/02/06 ANGELICA CORP /NEW/ MO 1.01,9.01 07/28/06 ANNAPOLIS BANCORP INC MD 2.02,9.01 08/02/06 APAC CUSTOMER SERVICE INC IL 7.01,9.01 07/27/06 APOLLO GOLD CORP 1.01,2.03,9.01 07/28/06 AQUA AMERICA INC PA 5.02 08/01/06 AQUA AMERICA INC PA 2.02,9.01 08/02/06 ARABIAN AMERICAN DEVELOPMENT CO DE 8.01 08/01/06 ARC WIRELESS SOLUTIONS INC UT 1.01,7.01,9.01 07/28/06 ARC WIRELESS SOLUTIONS INC UT 1.01,7.01,9.01 07/28/06 AMEND ARCH COAL INC DE 7.01,9.01 08/02/06 ARCH WESTERN RESOURCES LLC 4.02 08/02/06 Armitage Mining Corp 5.01,5.02,8.01,9.01 07/27/06 ARTESIAN RESOURCES CORP DE 1.01,9.01 07/28/06 ASHFORD HOSPITALITY TRUST INC MD 2.02,9.01 08/02/06 Asset Backed Securities CORP Home Equ DE 8.01,9.01 08/02/06 ATLANTIC BANCGROUP INC FL 2.02,9.01 08/02/06 ATLAS PIPELINE PARTNERS LP DE 2.02,9.01 07/31/06 ATS MEDICAL INC MN 2.02,9.01 08/02/06 AUTOMATIC DATA PROCESSING INC DE 2.02,8.01,9.01 08/02/06 AUTOMATIC DATA PROCESSING INC DE 5.02,9.01 08/02/06 AUXILIUM PHARMACEUTICALS INC 2.02,9.01 08/02/06 AVALON PHARMACEUTICALS INC 1.01,9.01 08/01/06 AVANT IMMUNOTHERAPEUTICS INC DE 2.02,9.01 08/02/06 AVISTA CORP WA 2.02,9.01 08/02/06 AXCELIS TECHNOLOGIES INC DE 2.02,9.01 08/02/06 AXS ONE INC DE 2.02,9.01 08/02/06 AXT INC DE 2.02,9.01 08/02/06 AZZ INC TX 4.01,9.01 08/02/06 BALCHEM CORP MD 2.02,9.01 08/01/06 Banc of America Commercial Mortgage I DE 8.01,9.01 08/02/06 BANK OF AMERICA CORP /DE/ DE 8.01,9.01 07/26/06 BANKRATE INC FL 2.02,7.01,9.01 08/02/06 BEA SYSTEMS INC DE 1.01,1.02,2.03 07/31/06 BECKMAN COULTER INC DE 2.02,9.01 08/02/06 BERMAN CENTER, INC. DE 8.01,9.01 07/27/06 BIO IMAGING TECHNOLOGIES INC DE 2.02,9.01 08/02/06 BIOMARIN PHARMACEUTICAL INC DE 2.02,9.01 08/02/06 BLOUNT INTERNATIONAL INC DE 2.05,7.01,9.01 07/27/06 BLUEFLY INC DE 5.02,9.01 07/28/06 BLUEGREEN CORP MA 1.01,3.03,8.01,9.01 07/27/06 BNP RESIDENTIAL PROPERTIES INC MD 2.02,9.01 08/01/06 Boardwalk Bancorp Inc NJ 5.02 08/01/06 BORDERS GROUP INC MI 1.01,9.01 07/31/06 BRAVO FOODS INTERNATIONAL CORP DE 8.01,9.01 07/27/06 BRINKS CO VA 2.02,9.01 08/02/06 BROOKE CORP KS 8.01,9.01 07/31/06 BROWN FORMAN CORP DE 1.01,9.01 07/27/06 BRUKER BIOSCIENCES CORP DE 2.02,9.01 08/01/06 BSD MEDICAL CORP DE 7.01,9.01 08/02/06 BUILDING MATERIALS HOLDING CORP DE 2.01,9.01 07/31/06 CA, INC. DE 1.01,5.02,9.01 07/27/06 CADIZ INC DE 3.01 07/31/06 CAGLES INC GA 3.01 08/02/06 CALAIS RESOURCES INC 1.01,3.02 07/27/06 CAPITAL GOLD CORP NV 1.01 07/31/06 Cardiac Science CORP 8.01 07/25/06 CAROLINA NATIONAL CORP SC 2.02,9.01 07/27/06 CARSUNLIMITED COM INC NV 5.03,9.01 08/01/06 CATERPILLAR FINANCIAL SERVICES CORP DE 2.02,4.02 07/28/06 CELSION CORP MD 1.01,2.03,9.01 07/28/06 CENTER FINANCIAL CORP CA 8.01,9.01 07/27/06 CENTRAL EUROPEAN DISTRIBUTION CORP DE 2.02,9.01 08/02/06 CENTRAL GARDEN & PET CO DE 2.02,9.01 08/02/06 CENTURY ALUMINUM CO DE 8.01,9.01 08/01/06 CENVEO, INC CO 2.02 08/01/06 CEPHALON INC DE 1.01,9.01 08/02/06 CERAMICS PROCESS SYSTEMS CORP/DE/ DE 2.02 07/01/06 CERES GROUP INC DE 1.01,9.01 08/02/06 CHANNELL COMMERCIAL CORP DE 5.02 07/29/06 CHARLES RIVER LABORATORIES INTERNATIO 1.01,2.03,9.01 07/31/06 CHECKFREE CORP \GA\ DE 1.01 07/27/06 CHECKFREE CORP \GA\ DE 2.02,9.01 08/01/06 AMEND Chemtura CORP DE 2.02,9.01 08/02/06 CHILDRENS PLACE RETAIL STORES INC 1.01 07/27/06 CHL Mortgage Pass-Through Trust 2006- 7.01,9.01 07/28/06 CIGNA CORP DE 2.02 08/02/06 CIMAREX ENERGY CO DE 2.02,7.01,9.01 08/02/06 CINCINNATI BELL INC OH 2.02,9.01 08/02/06 CINCINNATI BELL INC OH 7.01,9.01 08/02/06 CINCINNATI FINANCIAL CORP OH 2.02,7.01,9.01 08/02/06 CITIGROUP INC DE 9.01 08/02/06 CITIZENS COMMUNICATIONS CO DE 2.01,2.02,9.01 08/02/06 CLARIENT, INC DE 2.02,7.01,9.01 08/02/06 CLICK COMMERCE INC 2.02,9.01 07/27/06 CLOROX CO /DE/ DE 2.02,9.01 08/02/06 CNL Hotels & Resorts, Inc. MD 8.01 08/02/06 CNS INC /DE/ DE 2.02,8.01,9.01 08/02/06 Cogent, Inc. DE 2.02,9.01 08/02/06 COGNIZANT TECHNOLOGY SOLUTIONS CORP 2.02,9.01 08/02/06 COGNIZANT TECHNOLOGY SOLUTIONS CORP 5.02,9.01 08/02/06 COLLAGENEX PHARMACEUTICALS INC DE 2.02,9.01 08/02/06 COLORADO INTERSTATE GAS CO DE 1.01,2.03,8.01,9.01 07/31/06 COMMUNITY BANK SYSTEM INC DE 1.01,5.02,9.01 07/31/06 COMMUNITY CAPITAL BANCSHARES INC 1.01 07/27/06 COMPETITIVE TECHNOLOGIES INC DE 5.02 08/02/06 COMPUCREDIT CORP GA 2.02,9.01 08/02/06 COMPUTER SCIENCES CORP NV 5.03 07/31/06 COMSYS IT PARTNERS INC DE 1.01,8.01 07/27/06 COMVERSE TECHNOLOGY INC/NY/ NY 1.01,1.02,5.02,5.03,9.01 07/27/06 Consolidated Communications Holdings, DE 1.01,9.01 07/28/06 CONSOLIDATED GRAPHICS INC /TX/ TX 2.02,9.01 08/02/06 CONSOLIDATED GRAPHICS INC /TX/ TX 2.02,9.01 08/02/06 CONTINENTAL AIRLINES INC /DE/ DE 8.01,9.01 08/01/06 CORPORATE OFFICE PROPERTIES TRUST MD 2.02,9.01 08/02/06 COTHERIX INC 2.02,9.01 08/02/06 COTT CORP /CN/ 1.01,5.02,9.01 07/27/06 COX RADIO INC DE 2.02,9.01 08/02/06 CREDIT ACCEPTANCE CORPORATION MI 2.02,9.01 08/02/06 CUBIC CORP /DE/ DE 1.01 08/02/06 CUBIC ENERGY INC TX 1.01,3.02,9.01 07/28/06 CURAGEN CORP DE 1.01,5.02,9.01 08/01/06 CWALT INC DE 8.01 08/02/06 CWMBS INC DE 8.01,9.01 08/02/06 CYBEX INTERNATIONAL INC NY 7.01,9.01 08/01/06 DAVITA INC DE 2.02,9.01 08/02/06 DDI CORP CA 3.02 07/31/06 DealerTrack Holdings, Inc. DE 2.02,5.02 08/02/06 DEAN FOODS CO/ DE 2.02,9.01 08/02/06 DELPHI CORP DE 4.01,9.01 12/07/05 AMEND DENBURY RESOURCES INC DE 2.02,9.01 08/02/06 DEVON ENERGY CORP/DE DE 2.02,9.01 08/02/06 DEVON ENERGY CORP/DE DE 8.01 08/02/06 DIALYSIS CORP OF AMERICA FL 1.01,2.03,9.01 08/02/06 DIAMOND HILL INVESTMENT GROUP INC OH 8.01 07/31/06 DIAMONDCLUSTER INTERNATIONAL INC DE 8.01,9.01 08/02/06 DIGENE CORP DE 8.01 07/27/06 DIGITAL ANGEL CORP DE 7.01,9.01 08/02/06 DIRECT GENERAL CORP 2.02,9.01 08/01/06 DISCOVERY LABORATORIES INC /DE/ DE 2.02,9.01 07/28/06 Dividend Capital Total Realty Trust I MD 8.01 08/02/06 DNB FINANCIAL CORP /PA/ PA 2.02,9.01 08/02/06 DOCUMENT SCIENCES CORP DE 8.01,9.01 08/01/06 Dolby Laboratories, Inc. DE 2.02,9.01 08/02/06 DOT HILL SYSTEMS CORP NY 2.02,9.01 08/02/06 DOUBLE EAGLE PETROLEUM CO MD 1.01 07/27/06 DOWNEY FINANCIAL CORP DE 1.01,8.01 07/28/06 DRESS BARN INC CT 2.02,9.01 08/02/06 Dresser-Rand Group Inc. DE 5.02 08/01/06 DUCKWALL ALCO STORES INC KS 1.01,9.01 08/01/06 AMEND DURECT CORP DE 8.01,9.01 08/02/06 DYNAMIC LEISURE CORP MN 1.01,3.02,9.01 07/28/06 EARTHSHELL CORP DE 1.01,2.03 07/28/06 EASYLINK SERVICES CORP DE 1.01,2.03,9.01 07/27/06 EL PASO CORP/DE DE 1.01,2.03,8.01,9.01 07/31/06 EL PASO CORP/DE DE 5.02,9.01 07/27/06 EL PASO NATURAL GAS CO DE 1.01,2.03,8.01,9.01 07/31/06 ELECTRIC & GAS TECHNOLOGY INC TX 2.01,3.02,9.01 08/01/06 ELECTRONIC ARTS INC DE 1.01 08/02/06 EMULEX CORP /DE/ DE 1.01,9.01 08/01/06 ENBRIDGE ENERGY PARTNERS LP DE 2.02,9.01 06/30/06 ENDOLOGIX INC /DE/ DE 2.02,9.01 06/30/06 ENDURANCE SPECIALTY HOLDINGS LTD 1.01,9.01 08/01/06 ENERGAS RESOURCES INC DE 1.01,3.02,9.01 07/27/06 ENERGEN CORP AL 7.01 08/02/06 ENTERCOM COMMUNICATIONS CORP PA 2.02,9.01 08/02/06 ENTERTAINMENT PROPERTIES TRUST MD 2.02 07/31/06 EQUINIX INC DE 2.02,9.01 08/02/06 EQUITY ONE, INC. 2.02,7.01,9.01 08/01/06 EQUITY RESIDENTIAL MD 2.02,9.01 08/01/06 ERIE INDEMNITY CO PA 2.02,9.01 08/02/06 ESTERLINE TECHNOLOGIES CORP DE 2.02,9.01 08/02/06 EVANS & SUTHERLAND COMPUTER CORP UT 1.01,5.02 07/27/06 EVERLAST WORLDWIDE INC DE 2.02,9.01 08/01/06 EXELON CORP PA 8.01,9.01 08/02/06 EXPEDITORS INTERNATIONAL OF WASHINGTO WA 2.02,9.01 08/02/06 EXPRESSJET HOLDINGS INC DE 8.01,9.01 07/31/06 EXPRESSJET HOLDINGS INC DE 2.02 06/30/06 EXTENDICARE HEALTH SERVICES INC DE 2.02,9.01 08/02/06 F&M BANK CORP VA 8.01 07/26/06 FAMOUS DAVES OF AMERICA INC MN 1.01,2.02,2.06,9.01 07/28/06 FCB Bancorp CA 7.01,9.01 08/02/06 FCB Bancorp CA 1.01,9.01 07/31/06 FEDDERS CORP /DE DE 1.01,9.01 07/28/06 Federal Home Loan Bank of Des Moines X1 1.01,5.02,9.01 07/31/06 Federal Home Loan Bank of Seattle 2.02 08/01/06 FEDERAL REALTY INVESTMENT TRUST MD 2.02,9.01 08/02/06 FEDERAL TRUST CORP FL 2.02,9.01 08/01/06 FEDEX CORP DE 1.01,8.01,9.01 07/31/06 FEI CO OR 2.02,9.01 08/02/06 FelCor Lodging Trust Inc MD 5.02,9.01 07/28/06 FIRST BANCSHARES INC /MS/ MS 2.02,9.01 08/02/06 FIRST INTERSTATE BANCSYSTEM INC MT 2.02,7.01,9.01 08/02/06 FIRST MERCHANTS CORP IN 8.01,9.01 08/02/06 FIRST OAK BROOK BANCSHARES INC DE 8.01,9.01 08/01/06 FIRST PACTRUST BANCORP INC MD 2.02,9.01 08/02/06 FIRST PLACE FINANCIAL CORP /DE/ DE 7.01,9.01 08/01/06 FIRST REGIONAL BANCORP CA 5.03,9.01 07/31/06 FISERV INC WI 1.01,9.01 08/01/06 FLAG FINANCIAL CORP GA 3.01,9.01 07/27/06 FMC CORP DE 2.02,9.01 08/01/06 FOCUS ENHANCEMENTS INC DE 1.01,3.01,9.01 07/28/06 FORD MOTOR CO DE 2.02,8.01,9.01 08/02/06 FORD MOTOR CREDIT CO DE 8.01,9.01 08/02/06 FOXHOLLOW TECHNOLOGIES, INC. DE 2.02,9.01 08/02/06 FRANKLIN STREET PROPERTIES CORP /MA/ 2.02,9.01 08/02/06 Frontier Airlines Holdings, Inc. DE 5.02 07/27/06 FTD Group, Inc. 1.01,2.01,5.02,7.01,9.01 07/28/06 GARMIN LTD 2.02,9.01 08/02/06 GASCO ENERGY INC NV 2.02,9.01 08/01/06 GASCO ENERGY INC NV 7.01,9.01 08/02/06 GENCO SHIPPING & TRADING LTD 2.02,9.01 08/02/06 GENE LOGIC INC DE 2.05 07/31/06 GENTA INC DE/ DE 1.01 07/27/06 Georgetown Bancorp, Inc. X1 2.02,8.01 07/31/06 Georgetown Bancorp, Inc. X1 5.03,9.01 07/31/06 GETTY REALTY CORP /MD/ MD 2.02,9.01 08/01/06 GIGA TRONICS INC CA 2.02,9.01 07/31/06 GLADSTONE INVESTMENT CORPORATION\DE DE 2.02,9.01 08/02/06 GMACM Home Equity Loan Trust 2006-HE1 DE 8.01,9.01 08/02/06 GMACM Home Equity Loan Trust 2006-HE2 DE 8.01,9.01 08/02/06 GMX RESOURCES INC OK 2.02,9.01 08/02/06 GOLDEN CHIEF RESOURCES INC KS 5.02 07/31/06 GOLDEN EAGLE INTERNATIONAL INC CO 5.02,9.01 07/27/06 GOLDEN EAGLE INTERNATIONAL INC CO 5.02,9.01 05/05/06 AMEND GRAPHIC PACKAGING CORP DE 2.02,9.01 08/01/06 GREAT AMERICAN FINANCIAL RESOURCES IN DE 2.02,9.01 06/30/06 GREAT CHINA MINING, INC NV 8.01,9.01 07/26/06 GREAT SOUTHERN BANCORP INC MD 8.01,9.01 07/28/06 Great Wolf Resorts, Inc. DE 2.02,9.01 08/02/06 GREATER CHINA CORP DE 2.01,3.02,5.01,5.02 01/31/06 GTECH HOLDINGS CORP DE 8.01 08/02/06 GUESS INC DE 2.02,9.01 08/02/06 HALLADOR PETROLEUM CO CO 1.01,9.01 07/31/06 HANDLEMAN CO /MI/ MI 1.01 07/27/06 HANMI FINANCIAL CORP DE 7.01,9.01 08/02/06 HARLEYSVILLE SAVINGS FINANCIAL CORP 2.02,9.01 08/02/06 Harry & David Operations Corp. DE 1.01,9.01 08/01/06 HEALTH CARE PROPERTY INVESTORS INC MD 1.01,9.01 07/27/06 HECLA MINING CO/DE/ DE 2.02,9.01 08/02/06 HEIDRICK & STRUGGLES INTERNATIONAL IN DE 2.02,9.01 08/02/06 HELIX ENERGY SOLUTIONS GROUP INC MN 2.02,9.01 08/01/06 HERBALIFE LTD. E9 2.02,9.01 08/02/06 HF FINANCIAL CORP DE 2.02,8.01,9.01 07/31/06 HICKORY TECH CORP MN 2.02,7.01,9.01 08/01/06 HOME FEDERAL BANCORP, INC. OF LOUISIA 2.02,9.01 08/02/06 Horizon Lines, Inc. 1.01,2.02,7.01,8.01,9.01 07/27/06 HORNBY INTERNATIONAL INC/CA 5.01,5.02 06/26/06 HOSPITALITY PROPERTIES TRUST MD 2.02,9.01 08/02/06 HOST AMERICA CORP DE 3.02 07/31/06 Huntsman CORP DE 2.02 08/02/06 ICHARGEIT INC DE 1.01,9.01 08/02/06 ID SYSTEMS INC DE 8.01 08/02/06 IGIA, Inc. DE 1.01,2.03,3.02,9.01 07/27/06 ILX RESORTS INC AZ 1.01 08/01/06 IMMUNICON CORP 2.02,9.01 08/02/06 INDYMAC BANCORP INC DE 1.01,9.01 08/01/06 INFOSPACE INC DE 2.02,9.01 08/02/06 INPHONIC INC 2.02,9.01 08/02/06 INSITUFORM TECHNOLOGIES INC DE 2.02,9.01 07/27/06 INTEGRA LIFESCIENCES HOLDINGS CORP DE 2.02,9.01 08/02/06 INTELLIGENT SYSTEMS CORP GA 8.01 08/02/06 INTERDIGITAL COMMUNICATIONS CORP PA 2.02,9.01 08/02/06 INTERNET CAPITAL GROUP INC DE 1.01,9.01 08/01/06 INVERNESS MEDICAL INNOVATIONS INC DE 2.02,9.01 08/02/06 IRIS INTERNATIONAL INC DE 2.02,9.01 08/02/06 IRWIN FINANCIAL CORP IN 2.02,9.01 08/02/06 ITLA CAPITAL CORP CA 7.01 08/02/06 J2 GLOBAL COMMUNICATIONS INC DE 1.01 07/10/06 J2 GLOBAL COMMUNICATIONS INC DE 2.02,7.01,9.01 08/01/06 JAFRA WORLDWIDE HOLDINGS LUX SARL N4 1.01,9.01 07/27/06 James River Group, INC DE 2.02,9.01 08/02/06 JOY GLOBAL INC DE 5.02 08/02/06 K-FED BANCORP 5.02 08/02/06 KADANT INC DE 2.02,9.01 08/02/06 KANA SOFTWARE INC DE 2.02,9.01 07/28/06 KATY INDUSTRIES INC DE 2.02,9.01 08/02/06 KENEXA CORP 2.02,9.01 08/01/06 KERR MCGEE CORP /DE DE 8.01 07/28/06 KERYX BIOPHARMACEUTICALS INC DE 8.01,9.01 08/01/06 KEY TECHNOLOGY INC OR 2.03,9.01 07/27/06 KFX INC DE 7.01,9.01 07/31/06 KIWA BIO-TECH PRODUCTS GROUP CORP DE 1.01,7.01,9.01 07/28/06 KKR Financial Corp 2.02,9.01 08/02/06 KOHLER CAPITAL I CORP FL 5.01,5.02,5.03,8.01 07/18/06 KONA GRILL INC DE 2.02,9.01 08/01/06 LA JOLLA PHARMACEUTICAL CO DE 8.01,9.01 08/02/06 LAIDLAW INTERNATIONAL INC DE 1.01,1.02 07/27/06 LAKES ENTERTAINMENT INC MN 7.01,9.01 07/28/06 LAS VEGAS SANDS CORP NV 2.02,9.01 08/02/06 LASERSIGHT INC /DE DE 1.02,2.03 07/26/06 Lazard Ltd D0 2.02,9.01 08/02/06 LEAP WIRELESS INTERNATIONAL INC DE 1.01,9.01 07/25/06 LEAP WIRELESS INTERNATIONAL INC DE 1.01,5.02 08/02/06 LEAPFROG ENTERPRISES INC 2.02,9.01 08/02/06 Lehman XS Trust Series 2006-12N DE 6.02 08/01/06 LHC Group, Inc 2.01,8.01,9.01 07/31/06 LIFESTREAM TECHNOLOGIES INC NV 2.04 07/27/06 LMT 2006-4 DE 8.01 07/31/06 LONE STAR STEAKHOUSE & SALOON INC DE 7.01,9.01 08/02/06 LSB FINANCIAL CORP IN 2.02,9.01 08/01/06 LUMERA CORP 2.02,7.01,9.01 08/01/06 MAGELLAN HEALTH SERVICES INC DE 2.01,3.02,9.01 07/31/06 MAKEMUSIC, INC. MN 1.01,5.02 07/31/06 MARITRANS INC /DE/ DE 2.02,9.01 08/01/06 MARKETAXESS HOLDINGS INC 2.02,9.01 08/02/06 MARSH SUPERMARKETS INC IN 8.01,9.01 08/02/06 MASTERCARD INC DE 2.02,7.01,9.01 08/02/06 MAVERICK TUBE CORP DE 2.02,8.01,9.01 08/01/06 MAXIMUS INC VA 2.02,9.01 08/02/06 MAXWELL TECHNOLOGIES INC DE 2.02,9.01 08/02/06 Maysia Resources CORP 5.02 08/02/06 McCormick & Schmicks Seafood Restaura 2.02,9.01 08/02/06 MCG CAPITAL CORP DE 2.02,9.01 08/02/06 MEDIA GENERAL INC VA 8.01,9.01 08/01/06 MEDICALCV INC MN 5.02 07/31/06 MEDICIS PHARMACEUTICAL CORP DE 2.02,9.01 08/02/06 MEDTRONIC INC MN 2.02,9.01 08/02/06 Mercantile Bancorp, Inc. DE 8.01,9.01 07/31/06 MERCHANTS & MANUFACTURERS BANCORPORAT WI 2.02,9.01 08/02/06 MERCHANTS BANCSHARES INC DE 2.02,9.01 08/02/06 MERCK & CO INC NJ 1.01,9.01 07/28/06 MFA MORTGAGE INVESTMENTS MD 2.02,7.01,9.01 08/02/06 MFC DEVELOPMENT CORP DE 5.02 07/27/06 MFC DEVELOPMENT CORP DE 1.01,5.03,9.01 07/27/06 MIAD SYSTEMS LTD A6 5.01,5.02,9.01 07/21/06 MICROSEMI CORP DE 1.01 08/01/06 MID PENN BANCORP INC PA 1.01,9.01 07/31/06 MILLENNIUM BANKSHARES CORP VA 1.01,5.02,9.01 08/01/06 MINE SAFETY APPLIANCES CO PA 2.02,9.01 08/01/06 MIPS TECHNOLOGIES INC DE 1.01,9.01 07/27/06 MITCHAM INDUSTRIES INC TX 1.01 07/27/06 MKS INSTRUMENTS INC MA 5.02 08/01/06 MOCON INC MN 2.02,9.01 08/01/06 MOLEX INC DE 2.02,9.01 08/02/06 MOLSON COORS BREWING CO CO 8.01 08/02/06 MONOLITHIC POWER SYSTEMS INC CA 2.02,9.01 08/02/06 MOODYS CORP /DE/ DE 2.02,7.01,9.01 08/02/06 Morningstar, Inc. IL 1.01,8.01,9.01 08/02/06 MOSAIC CO 8.01,9.01 08/02/06 MoSys, Inc. 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