SEC NEWS DIGEST Issue 2006-213 November 3, 2006 COMMISSION ANNOUNCEMENT ALEXANDER COHEN NAMED SEC DEPUTY GENERAL COUNSEL The Securities and Exchange Commission announced today the selection of Alexander F. Cohen to serve as the agency's Deputy General Counsel for Legal Policy and Administrative Practice. Mr. Cohen will be joining Andrew N. Vollmer, Deputy General Counsel for Litigation and Adjudication. Mr. Cohen, 45, is a partner in the international law firm of Latham & Watkins LLP, and is Co-Chair of the firm's Corporate Finance Practice Group. He has particular expertise in advising non-U.S. issuers on a wide variety of matters under the U.S. securities laws. Mr. Cohen is currently a resident in Latham & Watkins' Hong Kong office and from October 2001-July 2006 was based in the firm's London office. The SEC's General Counsel, Brian Cartwright, said, "Alex will be a tireless advocate for the individual investor. His deep knowledge of U.S. securities law, coupled with his on-the-ground experience with the European and Asian capital markets, will be invaluable as we seek to maintain the highest standards to protect our investors here at home while also assuring that our domestic markets continue to be the most competitive sources of capital and liquidity in the world. Alex also brings a strong management background to this position of leadership in the Office of the General Counsel. I am delighted he will be joining us." Mr. Cohen said, "The SEC's mission of protecting investors, regulating the financial markets and facilitating capital formation has never been more critical to the United States. Practicing abroad has driven home to me the key role the SEC plays in the global capital markets. I am deeply honored to have this opportunity to work with the Commission and its superb staff, particularly at a moment when the Commission faces so many complex issues of both national and international scope." Mr. Cohen began his legal career in 1988, after earning a J.D. from Yale University, where he was Articles Editor of the Yale Journal of International Law. From 1989-1990 he served as law clerk to the Hon. Wilfred Feinberg of the U.S. Court of Appeals for the Second Circuit. Mr. Cohen received his M.A. from Yale University in International Relations in 1985, and his B.A. from Yale University in 1982. Mr. Cohen plans to join the SEC in mid-November. (Press Rel. 2006-185) RULES AND RELATED MATTERS AMENDMENTS TO THE TENDER OFFER BEST-PRICE RULES The Commission approved the issuance of a release adopting amendments to its issuer and third-party tender offer best-price rules under the Securities Exchange Act of 1934. The Commission is amending Exchange Act Rule 13e-4(f)(8) and Exchange Act Rule 14d-10 to clarify that they apply only with respect to the consideration paid for securities tendered in a tender offer. The amended rules also exempt certain employment compensation, severance or other employee benefit arrangements from the best-price rules, so long as the arrangements meet certain requirements, and provide a safe harbor for such arrangements if they are approved by independent directors. Publication of the adopting release is expected in the Federal Register during the week of November 6. (Rel. 34-54684; IC-27542; File No. S7-11-05) ENFORCEMENT PROCEEDINGS COMMISSION REMANDS NASD DISCIPLINARY PROCEEDING AGAINST JUSTIN FICKEN The Commission has remanded for further consideration NASD's disciplinary proceeding against Justin F. Ficken, a former general securities representative. The Commission determined that this proceeding raised some of the same questions at issue in the Commission's Frank P. Quattrone opinion. The Commission concluded that, because the Quattrone opinion had not yet been issued at the time NASD issued its decision in this proceeding, and in light of unresolved questions concerning Ficken's access to relevant information during the discovery phase of this proceeding, it was appropriate to remand this proceeding to NASD for further consideration. (Rel. 34-54699; File No. 3-12143) ORDER MAKING FINDINGS AND REVOKING REGISTRATIONS BY DEFAULT IN THE MATTER OF CHINA CONTINENTAL, INC. An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default (Default Order) in the matter of China Continental, Inc. and Xcelera, Inc. The Order Instituting Proceedings alleged that Respondents China Continental, Inc., and Xcelera, Inc., failed repeatedly to file required annual and quarterly reports while their securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true and revokes the registrations of each class of registered securities they have with the Commission, pursuant to Section 12(j) of the Securities Exchange Act of 1934. (Rel. 34-54700; File No. 3-12438) FORMER CEO AND CHAIRMAN OF COMPUTER ASSOCIATES, SANJAY KUMAR, SENTENCED TO 12 YEARS IN PRISON FOR ACCOUNTING FRAUD AND OBSTRUCTING COMMISSION INVESTIGATION The Commission announced that in a criminal case prosecuted by the U.S. Attorney's Office for the Eastern District of New York, Sanjay Kumar, a former CEO and Chairman of Computer Associates International, Inc., was yesterday sentenced to a prison term of 12 years by Judge I. Leo Glasser of the United States District Court for the Eastern District of New York. Judge Glasser also directed Kumar to pay an $8 million dollar fine. Judge Glasser will determine Kumar's restitution obligation at a later hearing. Kumar, 44, pled guilty to eight felonies, including securities fraud, obstruction of justice, and perjury, on April 24, 2006, two weeks before a scheduled trial. Kumar admitted fraudulently inflating the quarterly revenue and earnings of Computer Associates by keeping open the company's books past quarter- ends in order to give the appearance that the company had met or exceeded quarterly revenue projections, when, in fact, Computer Associates' performance had fallen short of those goals. The indictment charged that in 1999 and 2000, under Kumar's oversight and direction, over $2 billion in revenue were manipulated to prop up the price of the stock. Kumar also admitted obstructing the government's investigation by providing false explanations for the fraudulent accounting practices to the company's lawyers, with the intent that those lawyers would repeat those false explanations to the government, and by lying himself to federal investigators to conceal the fraud scheme. Kumar's co-defendant, Stephen Richards, Computer Associates' former Head of World-Wide Sales, also pled guilty to eight felonies on April 24, 2006, and will be sentenced by Judge Glasser on Nov. 14, 2006. Five other of Kumar's co-conspirators previously entered guilty pleas, agreed to cooperate with the prosecution and are awaiting sentencing: David Kaplan, David Rivard, Lloyd Silverstein, Steven Woghin and Ira Zar. The Commission previously filed civil injunctive actions against Kumar, the above-named former Computer Associates executives and Computer Associates itself. In the Commission's actions, Judge Glasser previously imposed injunctions and other equitable relief, on consent, against all of these defendants. The Commission's claims for disgorgement and civil penalties remain pending against Kumar, Rivard, Silverstein, Woghin and Zar. The Commission acknowledges the assistance of the United States Attorney's Office for the Eastern District of New York and the Federal Bureau of Investigation in this matter. For further information see prior Lit. Rel. Nos. 19730, 18954, 18891, 18665 and 18552. [U.S. v. Sanjay Kumar, 04 Cr. No. 846 (E.D.N.Y.)(I.L.G.); SEC v. Sanjay Kumar and Stephen Richards, 04 Civ. 4101 (E.D.N.Y.)(I.L.G.)] (LR-19898; AAE Rel. No. 2509) INVESTMENT COMPANY ACT RELEASES SSGA FUNDS MANAGEMENT, INC., ET AL. An order has been issued on an application filed by SSgA Funds Management, Inc., et al. for an order to permit certain management investment companies and unit investment trusts registered under the Investment Company Act to acquire shares of certain open-end management investment companies and unit investment trusts registered under the Act that operate as exchange traded funds and are outside of the same group of investment companies as the acquiring investment companies. The order also amends a prior order to permit: (a) dealers to sell shares of certain exchange-traded funds to purchasers in the secondary market unaccompanied by a prospectus when prospectus delivery is not required by the Securities Act of 1933; (b) under certain circumstances, exchange-traded funds that track certain foreign equity securities indexes to pay redemption proceeds more than seven days after the tender of shares in large aggregations for redemption; and (c) additional exchange-traded funds that track certain foreign equity securities indexes to rely on the prior order. Further, the order amends the prior order to add certain representations and terms concerning the operations of exchange-traded funds that track certain foreign equity securities indexes, replace certain conditions, and add a condition. (Rel. IC-27543 - November 1) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-CBOE-2006-86) by the Chicago Board Options Exchange to extend the duration of CBOE Rule 6.45A(b) pertaining to orders represented in open outcry 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 November 6. (Rel. 34-54680) A proposed rule change (SR-NYSE-2006-95) filed by the New York Stock Exchange to include an additional 32 securities in the current Exchange Pilot operating in conjunction with the implementation of Hybrid Market Phase 3 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 November 6. (Rel. 34-54685) NYSE Arca filed a proposed rule change (SR-NYSEArca-2006-68) relating to the revision of certain equity transaction fees. The proposed rule change 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 November 6. (Rel. 34-54686) PROPOSED RULE CHANGE The National Association of Securities Dealers filed a proposed rule change (SR-NASD-2006-103) relating to TRACE requirements in connection with the exercise or settlement of options, swaps, or similar instruments. Publication is expected in the Federal Register during the week of November 6. (Rel. 34-54681) 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 TorreyPines Therapeutics, Inc., 11085 NORTH TORREY PINES ROAD, SUITE 300, LA JOLLA, CA, 92037, 858 623-5665 XT 158 - 0 ($15,936,316.50) Equity, (File 333-138368 - Nov. 2) (BR. 01C) S-1 PETROL OIL & GAS INC, CORPORATE WOODS, BUILDING 51, 9393 WEST 110TH STREET, SUITE 500, OVERLAND PARK, KS, 66210, 913-323-4925 - 3,651,510 ($6,407,004.81) Equity, (File 333-138369 - Nov. 2) (BR. 04A) S-1 Super Micro Computer, Inc., 980 ROCK AVENUE, SAN JOSE, CA, 95131, 408-503-8000 - 0 ($150,000,000.00) Equity, (File 333-138370 - Nov. 2) (BR. 03) S-1 Duncan Energy Partners L.P., 1100 LOUISIANA STREET, 10TH FLOOR, HOUSTON, TX, 77002, 7133816500 - 0 ($313,950,000.00) Equity, (File 333-138371 - Nov. 2) (BR. 02) S-8 GIGABEAM CORP, 470 SPRING PARK PLACE, SUITE 900, HERNDON, VA, 20170, 703-378-0099 - 2,284,000 ($17,970,016.00) Equity, (File 333-138372 - Nov. 2) (BR. 11A) S-3 MANNKIND CORP, 28903 NORTH AVE PAINE, VALENCIA, CA, 91355, 6617755300 - 0 ($500,000,000.00) Other, (File 333-138373 - Nov. 2) (BR. 01B) S-8 Vocalscape Networks, Inc., 305 - 1847 W. BROADWAY, VANCOUVER, A1, V6J 1Y6, (604) 696-6313 - 13,000,000 ($3,510,000.00) Equity, (File 333-138375 - Nov. 2) (BR. 03A) S-3ASR FEDERATED DEPARTMENT STORES INC /DE/, 7 WEST SEVENTH STREET, CINCINNATI, OH, 45202, 5135797000 - 0 ($2,000,000,000.00) Unallocated (Universal) Shelf, (File 333-138376 - Nov. 2) (BR. 02A) S-8 COMFORT SYSTEMS USA INC, 777 POST OAK BOULEVARD, SUITE 500, HOUSTON, TX, 77056, 7138309600 - 0 ($41,440,000.00) Equity, (File 333-138377 - Nov. 2) (BR. 06C) S-8 American Southwest Music Distribution, Inc, 8721 SUNSET BLVD.,, PENTHOUSE 7, HOLLYWOOD,, CA, 90069, 310-659-8770 - 10,000,000 ($8,800,000.00) Equity, (File 333-138378 - Nov. 2) (BR. 04A) S-1 U.S. Auto Parts Network, Inc., 17150 SOUTH MARGAY AVENUE, CARSON, CA, 90746, (310) 715-6666 - 0 ($100,000,000.00) Equity, (File 333-138379 - Nov. 2) (BR. 02) S-4 BERRY PLASTICS HOLDING CORP, 101 OAKLEY ST, P O BOX 959, EVANSVILLE, IN, 47710, 8124242904 - 7,500,000 ($80,250.00) Debt, (File 333-138380 - Nov. 2) (BR. 06A) F-1 AerCap Holdings N.V., EVERT VAN DE BEEKSTRAAT 312, SCHIPHOL AIRPORT, P7, 1118 CX, 31 20 655 9655 - 0 ($720,360,000.00) Equity, (File 333-138381 - Nov. 2) (BR. 06) S-8 STERLING FINANCIAL CORP /PA/, NORTH POINTE BANKING CORP, 101 NORTH POINTE BLVD, LANCASTER, PA, 17601-4133, 7175816030 - 2,500,000 ($56,562,500.00) Equity, (File 333-138382 - Nov. 2) (BR. 07C) S-8 COGNOS INC, 3755 RIVERSIDE DR, PO BOX 9707, OTTAWA ONTARIO CAN K, A6, 00000, 6137381440 - 1,000,000 ($36,480,000.00) Equity, (File 333-138383 - Nov. 2) (BR. 03C) S-8 ACUITY BRANDS INC, 1170 PEACHTREE STREET, NE, SUITE 2400, ATLANTA, GA, 30309-7676, 404-853-1400 - 0 ($14,904,000.00) Equity, 0 ($13,000,000.00) Other, (File 333-138384 - Nov. 2) (BR. 06C) S-8 COGNOS INC, 3755 RIVERSIDE DR, PO BOX 9707, OTTAWA ONTARIO CAN K, A6, 00000, 6137381440 - 2,000,000 ($72,960,000.00) Equity, (File 333-138385 - Nov. 2) (BR. 03C) N-2 PRCM Global EcoTrends Fund, ONE INTERNATIONAL PLACE, C/O ROPES & GRAY LLP, BOSTON, MA, 02110, (617) 951-7000 - 40,000 ($1,000,000.00) Equity, (File 333-138388 - Nov. 2) (BR. ) S-1 People's United Financial, Inc., C/O PEOPLE'S BANK, 850 MAIN STREET, BRIDGEPORT, CT, 06604, 203-338-4114 - 345,819,729 ($6,916,394,580.00) Equity, (File 333-138389 - Nov. 2) (BR. ) S-3ASR ASSOCIATED BANC-CORP, 1200 HANSEN ROAD, GREEN BAY, WI, 54304, 920-431-8836 - 0 ($0.00) Equity, (File 333-138390 - Nov. 2) (BR. 07A) S-1 Platform Acquisition Corp. International, 330 PRIMROSE ROAD, SUITE 300, BURLINGAME, CA, 94010, 650-696-3877 - 0 ($306,666,672.00) Other, (File 333-138391 - Nov. 2) (BR. ) S-8 Owens Corning, ONE OWENS CORNING PARKWAY, TOLEDO, OH, 43659, 419-248-8000 - 8,850,000 ($265,500,000.00) Equity, (File 333-138392 - Nov. 2) (BR. 06) S-8 NETWORK INSTALLATION CORP, 9497537551 - 6,000,000 ($1,980,000.00) Equity, (File 333-138393 - Nov. 2) (BR. 11B) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: 1.01 Entry into a Material Definitive Agreement 1.02 Termination of a Material Definitive Agreement 1.03 Bankruptcy or Receivership 2.01 Completion of Acquisition or Disposition of Assets 2.02 Results of Operations and Financial Condition 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant 2.04 Triggering Events That Accelerate or Increase a Direct Financial Obligation under an Off-Balance Sheet Arrangement 2.05 Cost Associated with Exit or Disposal Activities 2.06 Material Impairments 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 3.02 Unregistered Sales of Equity Securities 3.03 Material Modifications to Rights of Security Holders 4.01 Changes in Registrant's Certifying Accountant 4.02 Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review 5.01 Changes in Control of Registrant 5.02 Departure of Directors or Principal Officers; Election of Directors; Appointment of Principal Officers 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year 5.04 Temporary Suspension of Trading Under Registrant's Employee Benefit Plans 5.05 Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics 6.01. ABS Informational and Computational Material. 6.02. Change of Servicer or Trustee. 6.03. Change in Credit Enhancement or Other External Support. 6.04. Failure to Make a Required Distribution. 6.05. Securities Act Updating Disclosure. 7.01 Regulation FD Disclosure 8.01 Other Events 9.01 Financial Statements and Exhibits 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. 20549-1090 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT ------------------------------------------------------------------------------------------------------- 21ST CENTURY INSURANCE GROUP CA 2.02 11/01/06 24/7 REAL MEDIA INC DE 2.02,9.01 11/01/06 4 KIDS ENTERTAINMENT INC NY 1.01 10/26/06 ABERCROMBIE & FITCH CO /DE/ DE 7.01,9.01 11/02/06 ABLEAUCTIONS COM INC FL 2.01,9.01 10/30/06 ABLEAUCTIONS COM INC FL 4.01,9.01 11/01/06 ACCO BRANDS CORP DE 2.02,9.01 11/02/06 ACCREDITED HOME LENDERS INC DE 1.01,9.01 10/31/06 ACCREDITED HOME LENDERS INC DE 1.01,9.01 10/31/06 ACCREDITED HOME LENDERS INC DE 1.01,9.01 10/31/06 ACCREDITED HOME LENDERS INC DE 1.01,9.01 10/31/06 ACCREDITED HOME LENDERS INC DE 1.01,9.01 10/31/06 ACCREDITED HOME LENDERS INC DE 1.01,9.01 10/31/06 ACCREDITED HOME LENDERS INC DE 1.01,9.01 10/31/06 ACCURIDE CORP DE 2.02,9.01 11/02/06 ACE MARKETING & PROMOTIONS INC NY 3.02,7.01,9.01 07/20/06 AMEND ACORDA THERAPEUTICS INC 2.02,9.01 11/02/06 ADVANCE AUTO PARTS INC DE 2.02,9.01 11/02/06 Advanced Life Sciences Holdings, Inc. 1.01 10/27/06 AEGIS ASSESSMENTS INC DE 1.01,3.02,9.01 10/27/06 AEROFLEX INC DE 2.02,9.01 11/02/06 AKORN INC LA 2.02,9.01 10/30/06 ALAMO GROUP INC DE 2.02,9.01 11/01/06 ALION SCIENCE & TECHNOLOGY CORP DE 3.02 09/30/06 AMEND ALKERMES INC PA 2.02,9.01 11/02/06 ALLERGAN INC DE 1.01,9.01 11/01/06 ALLIANCE RESOURCE PARTNERS LP DE 5.02,9.01 10/31/06 ALLIANT TECHSYSTEMS INC DE 2.02,9.01 11/02/06 ALLIED DEFENSE GROUP INC DE 5.02 10/27/06 ALNYLAM PHARMACEUTICALS, INC. 2.02,9.01 11/02/06 ALPHA INNOTECH CORP DE 1.01,2.02,5.02,9.01 10/31/06 Alpha Natural Resources, Inc. DE 2.02,9.01 11/02/06 ALPHA PRO TECH LTD DE 2.02,9.01 11/02/06 ALPHA SPACECOM INC NV 2.01,5.01,5.02,5.06,7.01,9.01 10/25/06 AMERICAN CAMPUS COMMUNITIES INC MD 2.02,7.01,9.01 11/01/06 AMERICAN COMMERCIAL LINES INC. DE 2.01,9.01 10/27/06 AMERICAN CRYSTAL SUGAR CO /MN/ MN 7.01 11/01/06 AMERICAN EAGLE OUTFITTERS INC DE 7.01,9.01 11/01/06 AMERICAN HOMEPATIENT INC DE 2.02,9.01 11/01/06 AMERICAN MORTGAGE ACCEPTANCE CO MA 1.01,9.01 10/27/06 AMERICAN POWER CONVERSION CORP MA 2.02,8.01,9.01 11/02/06 American Reprographics CO DE 2.02,5.02,9.01 10/30/06 AMERICAN SPECTRUM REALTY INC MD 2.02,9.01 11/02/06 AMERICAN SUPERCONDUCTOR CORP /DE/ DE 2.02,9.01 11/02/06 AMERICAN TECHNICAL CERAMICS CORP DE 2.02,9.01 11/02/06 AMERISOURCEBERGEN CORP DE 8.01,9.01 11/01/06 AMERUS GROUP CO/IA IA 7.01 11/02/06 AMICAS, Inc. DE 2.02,9.01 11/01/06 AMPEX CORP /DE/ DE 8.01,9.01 11/01/06 ANADYS PHARMACEUTICALS INC 2.02,9.01 11/02/06 ANDERSONS INC OH 2.02 11/01/06 Andover Medical, Inc. DE 3.02 10/27/06 ANNTAYLOR STORES CORP DE 7.01,9.01 11/02/06 ANSYS INC DE 2.02,9.01 11/02/06 AON CORP DE 1.01,2.02,9.01 11/01/06 APAC CUSTOMER SERVICE INC IL 1.01,2.05,9.01 11/02/06 APARTMENT INVESTMENT & MANAGEMENT CO MD 2.02,9.01 11/02/06 APPLICA INC FL 1.02 10/31/06 APPLICA INC FL 2.02,8.01,9.01 11/02/06 APPLIED IMAGING CORP DE 1.02 10/30/06 APTIMUS INC WA 2.01,9.01 08/17/06 AMEND AQUANTIVE INC WA 2.02,9.01 11/02/06 AQUILA INC DE 2.02,9.01 11/02/06 ARBINET THEXCHANGE INC DE 2.02,9.01 11/02/06 ARES CAPITAL CORP MD 1.01,7.01 11/01/06 ARIAD PHARMACEUTICALS INC DE 8.01,9.01 11/02/06 ARIAD PHARMACEUTICALS INC DE 2.02,8.01,9.01 11/02/06 Armitage Mining Corp 4.01,9.01 11/01/06 ASBURY AUTOMOTIVE GROUP INC DE 1.01,9.01 10/27/06 ASG Consolidated LLC DE 7.01,9.01 11/01/06 ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 11/02/06 ASSET ACCEPTANCE CAPITAL CORP 2.02,9.01 11/02/06 AT&S HOLDINGS INC NV 1.01,2.01 10/26/06 ATLANTIC BANCGROUP INC FL 2.02,9.01 11/02/06 ATLANTIC WINE AGENCIES INC FL 8.01 10/13/06 ATLAS FUTURES FUND LIMITED PARTNERSHI IN 4.01 10/25/06 AMEND ATMEL CORP DE 2.02,9.01 11/02/06 AUDIBLE INC 2.02,8.01,9.01 09/30/06 Aurora Oil & Gas CORP UT 8.01,9.01 11/02/06 AVANEX CORP DE 2.02,9.01 11/02/06 AVIGEN INC \DE DE 4.01,9.01 10/27/06 AWARE INC /MA/ MA 2.02,9.01 11/02/06 AXS ONE INC DE 1.01,2.01,9.01 10/31/06 AZZ INC TX 1.01,2.01,7.01,9.01 10/31/06 BACK YARD BURGERS INC DE 8.01,9.01 11/01/06 BAKERS FOOTWEAR GROUP INC MO 2.02,7.01,9.01 11/02/06 BALDOR ELECTRIC CO MO 5.03,9.01 10/28/06 Banc of America Funding 2006-H Trust DE 9.01 11/02/06 AMEND BANK JOS A CLOTHIERS INC /DE/ DE 8.01,9.01 11/02/06 BANKATLANTIC BANCORP INC FL 7.01,9.01 11/02/06 BANKUNITED FINANCIAL CORP FL 7.01,9.01 11/02/06 BANKUNITED FINANCIAL CORP FL 1.01 10/30/06 BANTA CORP WI 9.01 10/31/06 AMEND BASIC EARTH SCIENCE SYSTEMS INC DE 8.01,9.01 11/02/06 BEACON POWER CORP DE 2.02,9.01 10/31/06 BEBE STORES INC CA 2.02,9.01 10/28/06 BECTON DICKINSON & CO NJ 2.02,9.01 11/02/06 BELO CORP DE 8.01,9.01 11/02/06 Benjamin Franklin Bancorp, Inc. MA 2.02,8.01,9.01 10/26/06 BENTLEY PHARMACEUTICALS INC DE 2.02,9.01 11/02/06 BIO RAD LABORATORIES INC DE 2.02,9.01 09/30/06 BIOJECT MEDICAL TECHNOLOGIES INC OR 2.02,8.01,9.01 11/01/06 BIOMET INC IN 8.01,9.01 11/02/06 BIOPHAN TECHNOLOGIES INC NV 5.02,7.01,9.01 10/31/06 BIOSPHERE MEDICAL INC DE 2.02,9.01 11/02/06 BLACK HAWK EXPLORATION 1.01,3.02,9.01 11/01/06 BLACKHAWK CAPITAL GROUP BDC INC DE 1.01 10/31/06 BLOCKBUSTER INC DE 2.02,9.01 11/02/06 BODISEN BIOTECH, INC DE 5.02 10/31/06 Bois d Arc Energy, Inc. NV 2.02,9.01 09/30/06 BOSTON COMMUNICATIONS GROUP INC MA 5.02,9.01 10/31/06 BOSTON PRIVATE FINANCIAL HOLDINGS INC MA 5.02 10/16/06 BRADLEY PHARMACEUTICALS INC DE 8.01,9.01 10/31/06 BRINKER INTERNATIONAL INC DE 7.01,9.01 11/02/06 BRISTOL WEST HOLDINGS INC 2.02,9.01 11/01/06 BROMWELL FINANCIAL FUND LP DE 4.01 10/25/06 AMEND BRT REALTY TRUST MA 1.01,2.03,9.01 11/02/06 BRUKER BIOSCIENCES CORP DE 2.02,9.01 11/02/06 Buckeye GP Holdings L.P. DE 5.02 10/31/06 BUCKEYE PARTNERS L P DE 5.02 10/31/06 CA, INC. DE 2.02,9.01 11/02/06 CABELAS INC DE 2.02,7.01,9.01 11/02/06 CABLEVISION SYSTEMS CORP /NY DE 8.01 11/01/06 CABOT CORP DE 2.02,9.01 11/01/06 CABOT MICROELECTRONICS CORP DE 2.02,7.01,9.01 11/02/06 CACI INTERNATIONAL INC /DE/ DE 2.02,7.01,9.01 11/01/06 CAGLES INC GA 2.02,9.01 09/30/06 CALIFORNIA NEWS TECH NV 8.01 10/31/06 CALLWAVE INC 2.02,9.01 11/02/06 CAMBREX CORP DE 2.01,2.06,8.01,9.01 10/27/06 CAMBRIDGE HEART INC DE 2.02,9.01 11/02/06 CAMCO FINANCIAL CORP DE 2.02,9.01 10/27/06 Cape Fear Bank CORP NC 2.02,8.01,9.01 11/01/06 CAPITAL LEASE FUNDING INC 2.02,9.01 11/02/06 CAPTARIS INC WA 2.02,9.01 11/02/06 CAREMARK RX INC DE 2.02 11/01/06 CARRINGTON LABORATORIES INC /TX/ TX 2.02,9.01 11/02/06 Carrington Mortgage Loan Trust, Serie DE 8.01,9.01 11/02/06 CARROLLTON BANCORP MD 7.01,9.01 11/01/06 CASUAL MALE RETAIL GROUP INC DE 2.02,9.01 11/02/06 CBS CORP DE 2.02,9.01 11/02/06 CBS CORP DE 8.01,9.01 11/02/06 CECO ENVIRONMENTAL CORP DE 1.01,9.01 10/31/06 CELL GENESYS INC DE 2.02,9.01 11/02/06 CENTERPOINT ENERGY INC 2.02,9.01 11/02/06 CENTILLIUM COMMUNICATIONS INC DE 2.02,9.01 11/02/06 Century Petroleum Corp. NV 1.02,3.02 10/25/06 CENTURYTEL INC LA 2.02,9.01 11/02/06 CENVEO, INC CO 7.01,9.01 10/31/06 CEPHALON INC DE 2.02,9.01 11/02/06 CHEETAH OIL & GAS LTD. NV 5.02,9.01 10/30/06 CHENIERE ENERGY INC DE 7.01,9.01 11/01/06 CHICOS FAS INC FL 2.02,9.01 11/02/06 CHINA EDUCATION ALLIANCE INC. NC 1.01,2.03,2.04,3.02,9.01 09/29/06 AMEND CHINA EXPERT TECHNOLOGY, INC. NV 1.01,9.01 10/31/06 CHIQUITA BRANDS INTERNATIONAL INC NJ 2.02,9.01 11/02/06 CHRISTOPHER & BANKS CORP DE 7.01,9.01 11/02/06 CINCINNATI BELL INC OH 2.02,9.01 11/02/06 CIRRUS LOGIC INC DE 8.01,9.01 11/02/06 Citicorp Mortgage Securities Trust, S DE 8.01,9.01 11/02/06 Citigroup Mortgage Loan Trust 2006-WF 9.01 10/02/06 CITIZENS COMMUNICATIONS CO DE 8.01,9.01 11/02/06 CLAIRES STORES INC DE 2.02,9.01 11/02/06 CLAREMONT TECHNOLOGIES CORP NV 5.02,5.03 11/02/06 CLARKSTON FINANCIAL CORP 5.02 10/31/06 CMALT (CitiMortgage Alternative Loan DE 8.01,9.01 11/02/06 CMS ENERGY CORP MI 2.02,9.01 11/02/06 CNB CORP /SC/ SC 2.02,9.01 09/30/06 CNS INC /DE/ DE 2.02,9.01 11/02/06 COACH INDUSTRIES GROUP INC NV 1.01,9.01 10/01/06 COFFEE PACIFICA INC NV 8.01 09/20/06 Cogent, Inc. DE 2.02,9.01 11/02/06 COGNIZANT TECHNOLOGY SOLUTIONS CORP 2.02,8.01,9.01 11/02/06 COINSTAR INC DE 2.02,9.01 11/02/06 Coley Pharmaceutical Group, Inc. DE 2.02,9.01 11/02/06 COLLEGIATE PACIFIC INC DE 7.01,9.01 11/02/06 COLUMBIA SPORTSWEAR CO OR 1.01,2.03,9.01 10/27/06 COMMODORE APPLIED TECHNOLOGIES INC DE 5.02 11/01/06 COMMSCOPE INC DE 7.01 11/02/06 COMPUTER SCIENCES CORP NV 2.02 09/29/06 COMPX INTERNATIONAL INC DE 2.02,7.01,9.01 11/01/06 COMSTOCK RESOURCES INC NV 2.02,9.01 09/30/06 CONCENTRA OPERATING CORP NV 1.01,7.01,9.01 11/01/06 CONMED CORP NY 1.01,9.01 11/01/06 CONSECO INC DE 2.02,9.01 11/01/06 CONTINENTAL AIRLINES INC /DE/ DE 8.01,9.01 11/02/06 COSINE COMMUNICATIONS INC DE 2.02,9.01 11/02/06 CRAWFORD & CO GA 1.01,1.02,2.01,2.03,9.01 10/31/06 CREDIT SUISSE (USA) INC DE 9.01 10/31/06 CREDIT SUISSE (USA) INC DE 8.01 11/02/06 CRESTED CORP CO 5.02 10/13/06 Crocs, Inc. DE 2.02,9.01 11/02/06 CROSS A T CO RI 8.01 11/02/06 CRYOCOR INC DE 2.02,9.01 11/02/06 CRYOLIFE INC FL 2.02,7.01,9.01 11/02/06 CTD HOLDINGS INC FL 8.01 10/30/06 CURIS INC DE 1.01,9.01 10/30/06 CVS CORP DE 1.01,8.01,9.01 11/01/06 CWABS Asset-Backed Certificates Trust DE 8.01,9.01 09/08/06 CYBEX INTERNATIONAL INC NY 2.02,9.01 11/02/06 CYTODYN INC CO 4.01 10/03/06 AMEND CYTOGEN CORP DE 2.02,9.01 11/02/06 DDI CORP CA 1.01,3.02,8.01 10/27/06 DealerTrack Holdings, Inc. DE 2.02 11/02/06 DEAN FOODS CO DE 8.01,9.01 10/31/06 DEB SHOPS INC PA 2.02,9.01 11/02/06 DENDRITE INTERNATIONAL INC NJ 2.02,9.01 11/02/06 DENTSPLY INTERNATIONAL INC /DE/ DE 2.02,9.01 11/01/06 DEVRY INC DE 8.01 11/02/06 Diamond Ranch Foods, Ltd., NEW NV 4.01,9.01 10/24/06 AMEND DIGI INTERNATIONAL INC DE 2.02,9.01 11/02/06 DILLARDS INC DE 7.01,9.01 11/02/06 DILLARDS INC DE 7.01,9.01 10/30/06 DIOMED HOLDINGS INC NV 1.01,9.01 11/02/06 AMEND DIRT MOTOR SPORTS, INC. DE 5.02 10/31/06 DISCOVER CARD MASTER TRUST I DE 8.01 10/31/06 DJO INC DE 2.02,9.01 11/02/06 DOLLAR FINANCIAL CORP DE 1.01,1.02,2.01,2.03,3.03,9.01 10/27/06 DOLLAR GENERAL CORP TN 7.01,9.01 11/02/06 DOLLAR TREE STORES INC VA 2.02,7.01,9.01 11/02/06 DORAL FINANCIAL CORP PR 1.01,5.02,8.01,9.01 10/31/06 Douglas Lake Minerals Inc. 5.02,9.01 10/26/06 DOW JONES & CO INC DE 1.01,9.01 11/02/06 DRESSER INC DE 1.01,3.03,9.01 10/31/06 DREW INDUSTRIES INC DE 2.02,7.01,9.01 10/31/06 DRIL-QUIP INC DE 2.02,9.01 11/02/06 DSLA MORTGAGE LOAN TRUST 2006-AR1 DE 8.01,9.01 10/01/06 DTE ENERGY CO MI 7.01,9.01 11/02/06 DUKE REALTY CORP IN 2.02,9.01 10/26/06 DUKE REALTY LIMITED PARTNERSHIP/ IN 2.02,9.01 10/26/06 DUN & BRADSTREET CORP/NW DE 2.02,9.01 11/02/06 DXP ENTERPRISES INC TX 1.01,2.01,7.01,9.01 11/01/06 DXP ENTERPRISES INC TX 2.02,9.01 09/30/06 DYNAMICS RESEARCH CORP MA 2.02,9.01 11/01/06 DYNAVAX TECHNOLOGIES CORP DE 5.02,9.01 10/30/06 DYNTEK INC DE 1.01,2.01,3.02,7.01,9.01 10/27/06 EASYLINK SERVICES CORP DE 2.02,9.01 11/02/06 EDAC TECHNOLOGIES CORP WI 2.02,9.01 10/31/06 EDEN BIOSCIENCE CORP WA 2.02,9.01 11/02/06 EDO CORP NY 2.02 11/02/06 EL PASO ELECTRIC CO /TX/ TX 2.02,9.01 11/02/06 ELECTRIC AQUAGENICS UNLIMITED INC DE 1.01,3.02 10/27/06 ELECTRONIC ARTS INC DE 2.02,9.01 11/02/06 EMAGIN CORP DE 2.02,9.01 11/02/06 EMDEON CORP DE 2.02,7.01,9.01 11/02/06 Emergency Medical Services CORP DE 2.02,9.01 11/02/06 EMPIRE FINANCIAL HOLDING CO FL 3.02 10/31/06 ENCORE CAPITAL GROUP INC DE 2.02,9.01 11/02/06 ENCORIUM GROUP INC NV 8.01,9.01 11/01/06 ENCYSIVE PHARMACEUTICALS INC DE 2.02,9.01 11/02/06 ENDURANCE SPECIALTY HOLDINGS LTD 5.02,8.01,9.01 11/02/06 Energy Transfer Equity, L.P. DE 1.01,2.01,2.03,3.02, 11/01/06 5.03,8.01,9.01 ENTEGRIS INC MN 2.02,9.01 11/02/06 ENTERTAINMENT PROPERTIES TRUST MD 2.01,9.01 11/02/06 ENTRADE INC PA 1.01,2.03,3.02 10/27/06 ENTRAVISION COMMUNICATIONS CORP DE 2.02,9.01 11/02/06 ENTRUST INC MD 1.01,5.02,9.01 10/29/06 ENXNET INC OK 7.01,9.01 11/01/06 ENZON PHARMACEUTICALS INC DE 2.02,9.01 11/02/06 EPICEPT CORP 1.02,9.01 10/30/06 EQUITY INNS INC TN 2.02,7.01,9.01 11/02/06 ESCHELON TELECOM INC 7.01,9.01 11/01/06 ESSEX PROPERTY TRUST INC MD 2.02,9.01 11/01/06 EVERGREEN HOLDINGS INC OR 8.01,9.01 11/01/06 EXCEL TECHNOLOGY INC DE 1.02,9.01 11/01/06 EXELIXIS INC DE 2.02,7.01,8.01,9.01 11/02/06 EXPRESS-1 EXPEDITED SOLUTIONS INC DE 2.02,9.01 11/02/06 EXPRESSJET HOLDINGS INC DE 8.01,9.01 10/31/06 Extra Space Storage Inc. MD 2.02,5.02,9.01 11/02/06 EZENIA INC DE 2.02,9.01 11/02/06 FACTORY CARD & PARTY OUTLET CORP DE 2.02,9.01 11/02/06 FAMILY DOLLAR STORES INC DE 7.01,9.01 11/02/06 FEDDERS CORP /DE DE 3.01,5.03,9.01 11/02/06 Federal Home Loan Bank of Atlanta X1 2.03 10/30/06 Federal Home Loan Bank of Boston X1 2.03 10/30/06 Federal Home Loan Bank of Chicago X1 2.03 10/30/06 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 10/30/06 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 10/31/06 Federal Home Loan Bank of New York X1 2.03,8.01,9.01 10/30/06 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 10/30/06 Federal Home Loan Bank of San Francis X1 2.03 10/30/06 Federal Home Loan Bank of Seattle 2.03 11/01/06 Federal Home Loan Bank of Topeka 2.03 10/31/06 FEDERATED DEPARTMENT STORES INC /DE/ DE 8.01 11/02/06 FEDERATED DEPARTMENT STORES INC /DE/ DE 7.01,9.01 11/02/06 FEDERATED DEPARTMENT STORES INC /DE/ DE 2.02,9.01 11/02/06 FEDERATED DEPARTMENT STORES INC /DE/ DE 1.01,9.01 11/01/06 FINANCIAL INDUSTRIES CORP TX 8.01,9.01 11/01/06 FINI GROUP, INC DE 2.01,9.01 07/27/06 FINLAY ENTERPRISES INC /DE DE 2.02,9.01 11/02/06 FINLAY FINE JEWELRY CORP DE 2.02,9.01 11/02/06 FIRST AMERICAN CORP CA 2.02,9.01 11/02/06 FIRST CONSULTING GROUP INC DE 2.02,9.01 11/02/06 First Horizon Asset Sec Mort Pass Thr DE 8.01,9.01 10/30/06 FIRST IPSWICH BANCORP /MA MA 2.01,9.01 10/31/06 FIRST POTOMAC REALTY TRUST MD 2.02,7.01,9.01 11/01/06 FIRST STATE BANCORPORATION NM 1.01 10/27/06 FIRSTENERGY CORP OH 4.02 10/27/06 FLAGSTAR BANCORP INC MI 8.01,9.01 11/02/06 FLORIDA EAST COAST INDUSTRIES INC FL 2.02,9.01 11/02/06 Florida East Coast Industries, Inc. 7.01,9.01 11/02/06 FMC CORP DE 2.02,9.01 11/01/06 FOOT LOCKER INC NY 2.02,9.01 11/02/06 FORD MOTOR CREDIT CO DE 8.01,9.01 11/01/06 FOREST OIL CORP NY 7.01,9.01 11/02/06 Fox Chase Bancorp Inc X1 2.02,9.01 11/02/06 Fremont Home Loan Trust 2006-3 DE 2.01,8.01,9.01 09/29/06 FRIEDMAN BILLINGS RAMSEY GROUP INC VA 2.02,9.01 11/02/06 FRIEDMAN BILLINGS RAMSEY GROUP INC VA 2.02,9.01 11/02/06 FRIENDLY ICE CREAM CORP MA 1.01 11/01/06 Friendlyway CORP NV 8.01 10/18/06 FTI CONSULTING INC MD 7.01,9.01 10/31/06 FUSION TELECOMMUNICATIONS INTERNATION 8.01,9.01 11/01/06 GALAXY ENERGY CORP CO 2.03,9.01 11/01/06 GAP INC DE 2.02,9.01 11/02/06 GATEWAY INC DE 2.02,9.01 11/02/06 GCI INC AK 2.02,9.01 11/01/06 GEMSTAR TV GUIDE INTERNATIONAL INC DE 2.02,9.01 11/02/06 GENERAL COMMUNICATION INC AK 2.02,9.01 11/01/06 GENERAL COMPONENTS, INC. NV 2.01,3.02,5.01,5.02,9.01 09/26/06 GENOMIC HEALTH INC 2.02,9.01 11/02/06 GIBRALTAR INDUSTRIES, INC. DE 1.01,2.01,8.01,9.01 10/30/06 Global Cash Access Holdings, Inc. DE 2.02,9.01 11/02/06 GLOBAL INDUSTRIES LTD LA 2.02,9.01 11/01/06 GLOBALSANTAFE CORP 2.02,9.01 11/01/06 GLOBALSANTAFE CORP 7.01,9.01 11/01/06 GLOBECOMM SYSTEMS INC 2.02,9.01 11/02/06 GLOBETEL COMMUNICATIONS CORP DE 5.02 10/25/06 GOLDLEAF FINANCIAL SOLUTIONS INC. TN 8.01,9.01 11/02/06 GOODYEAR TIRE & RUBBER CO /OH/ OH 2.05 06/16/06 AMEND Granite Falls Energy, LLC MN 8.01 10/31/06 GRAPHIC PACKAGING CORP DE 2.02,9.01 11/02/06 GREENE COUNTY BANCORP INC DE 8.01 11/01/06 Greenville Federal Financial CORP 1.01,8.01,9.01 11/02/06 GREIF INC DE 1.01,2.03,5.02 10/31/06 GTC BIOTHERAPEUTICS INC MA 2.02,9.01 11/02/06 GTX INC /DE/ DE 2.02,9.01 11/02/06 GUNDLE SLT ENVIRONMENTAL INC DE 2.02,9.01 11/02/06 GYMBOREE CORP DE 2.02,9.01 10/28/06 HAIN CELESTIAL GROUP INC DE 2.02,9.01 11/02/06 Hana Biosciences Inc DE 2.02,9.01 11/02/06 HANDLEMAN CO /MI/ MI 1.01,9.01 10/27/06 HARRIS CORP /DE/ DE 1.01,9.01 10/27/06 HARTMAN COMMERCIAL PROPERTIES REIT TX 5.02,9.01 10/27/06 HEMOSENSE INC DE 1.01,5.02 11/02/06 HENRY SCHEIN INC DE 2.02,9.01 09/30/06 HERBST GAMING INC NV 1.01,9.01 10/31/06 HERCULES OFFSHORE, INC. DE 1.01,5.02,7.01,9.01 10/31/06 HERITAGE OAKS BANCORP CA 7.01,9.01 10/27/06 HOLLY CORP DE 2.02,9.01 11/01/06 HOLOGIC INC DE 1.01,9.01 10/30/06 HOME FEDERAL BANCORP, INC. OF LOUISIA 2.02,9.01 11/01/06 HORACE MANN EDUCATORS CORP /DE/ DE 2.02,9.01 11/01/06 HORIZON OFFSHORE INC DE 2.02,9.01 11/01/06 HUNTINGTON BANCSHARES INC/MD MD 8.01,9.01 11/02/06 Huron Consulting Group Inc. DE 2.02,9.01 09/30/06 HUTCHINSON TECHNOLOGY INC MN 2.02,8.01,9.01 11/02/06 HYPERCOM CORP DE 2.02,9.01 11/02/06 HYPERFEED TECHNOLOGIES INC DE 5.02 11/01/06 I MANY INC DE 1.01,3.02,8.01,9.01 11/01/06 ICONIX BRAND GROUP, INC. DE 1.01,2.02,9.01 10/27/06 ICOS CORP WA 2.02 11/02/06 ID SYSTEMS INC DE 2.02,9.01 11/02/06 IDLEAIRE TECHNOLOGIES CORP DE 1.02,5.02,9.01 10/31/06 ILX RESORTS INC AZ 2.02,9.01 10/27/06 IMMERSION CORP DE 2.02,9.01 11/02/06 IMMUNICON CORP 7.01,9.01 11/01/06 IMMUNOGEN INC MA 2.02,9.01 11/02/06 IMPAX LABORATORIES INC DE 7.01,9.01 11/02/06 IMPERIAL OIL LTD 8.01,9.01 11/01/06 IMPSAT FIBER NETWORKS INC DE 8.01,9.01 11/02/06 INCYTE CORP DE 2.02,9.01 11/02/06 INDUS INTERNATIONAL INC DE 1.01,1.02,5.02,9.01 10/31/06 INDYMAC BANCORP INC DE 2.02,9.01 11/02/06 INDYMAC MBS INC RESIDENTIAL ASSET SEC 8.01 09/25/06 IndyMac RAST 2004-R2 8.01 09/25/06 INFOCUS CORP OR 1.01 10/27/06 INNODATA ISOGEN INC DE 2.02,9.01 11/02/06 INNOSPEC INC. DE 2.02,9.01 11/02/06 INSIGHTFUL CORP DE 2.02,9.01 11/02/06 INSPIRE PHARMACEUTICALS INC DE 8.01,9.01 11/02/06 INTEGRA LIFESCIENCES HOLDINGS CORP DE 2.02,9.01 11/02/06 INTERCHANGE CORP DE 5.03,9.01 10/27/06 AMEND INTERCONTINENTALEXCHANGE INC 2.02,9.01 11/02/06 INTERNATIONAL FLAVORS & FRAGRANCES IN NY 2.02,9.01 11/02/06 INTERNATIONAL PAPER CO /NEW/ NY 2.02,9.01 11/02/06 INTERNATIONAL RECTIFIER CORP /DE/ DE 2.02,9.01 11/02/06 International Securities Exchange Hol 8.01,9.01 11/02/06 INTERNATIONAL SPEEDWAY CORP FL 7.01,8.01 10/31/06 INTERNET CAPITAL GROUP INC DE 2.02,9.01 11/02/06 INTERSTATE BAKERIES CORP/DE/ DE 8.01,9.01 11/02/06 INTRAOP MEDICAL CORP 5.02 10/30/06 INVESTMENT TECHNOLOGY GROUP INC DE 2.02,9.01 11/02/06 IPARTY CORP DE 1.01,8.01,9.01 11/02/06 IPASS INC DE 2.02,9.01 11/02/06 IRVINE SENSORS CORP/DE/ DE 1.01 10/27/06 ISIS PHARMACEUTICALS INC DE 2.02,9.01 11/02/06 ISTA PHARMACEUTICALS INC DE 2.02,9.01 11/02/06 ITC Holdings Corp. MI 2.02,9.01 11/01/06 ITERIS, INC. DE 2.02,9.01 11/02/06 ITT EDUCATIONAL SERVICES INC DE 8.01 11/02/06 J P MORGAN CHASE & CO DE 9.01 10/31/06 JDS UNIPHASE CORP /CA/ DE 2.02,9.01 11/02/06 JENNIFER CONVERTIBLES INC DE 1.01,9.01 10/27/06 JO-ANN STORES INC OH 2.02,9.01 11/02/06 KANSAS CITY SOUTHERN DE 2.02,9.01 10/31/06 KIMBALL INTERNATIONAL INC IN 2.02,9.01 11/02/06 KINDRED HEALTHCARE, INC DE 2.02,7.01,9.01 11/01/06 KINGLAKE RESOURCES INC. NV 5.01,5.02,8.01 11/02/06 KIRBY CORP NV 7.01,9.01 11/02/06 KNOLL INC DE 7.01,9.01 11/02/06 KOHLS CORPORATION WI 2.02,9.01 11/02/06 KOPIN CORP DE 8.01,9.01 11/01/06 L-1 IDENTITY SOLUTIONS, INC. DE 2.02,7.01,9.01 11/02/06 LABARGE INC DE 2.02,9.01 10/01/06 LACLEDE GROUP INC MO 1.01,9.01 10/27/06 LAWSON PRODUCTS INC/NEW/DE/ DE 2.02,9.01 10/27/06 LEAPFROG ENTERPRISES INC 2.02,9.01 11/02/06 Legacy Bancorp, Inc. DE 7.01,9.01 11/02/06 LHC Group, Inc 2.02,9.01 11/02/06 LION INC/WA WA 2.02,9.01 11/02/06 LITTELFUSE INC /DE DE 2.02,9.01 11/02/06 LIVEPERSON INC DE 2.02,9.01 11/02/06 LOCAL.COM DE 2.02,9.01 11/02/06 LOCKHEED MARTIN CORP MD 1.01,9.01 10/27/06 LODGIAN INC DE 2.02,2.05,2.06,7.01,8.01,9.01 10/27/06 LOJACK CORP MA 2.02,9.01 11/02/06 LONGS DRUG STORES CORP MD 7.01,9.01 11/02/06 LOOKSMART LTD DE 2.02,9.01 11/02/06 LTC PROPERTIES INC MD 2.02,9.01 11/02/06 Luminent Mortgage Trust 2006-6 DE 6.02 11/01/06 MACERICH CO MD 1.01,5.02,9.01 11/01/06 MACK CALI REALTY CORP MD 2.02,7.01,9.01 11/01/06 MACROVISION CORP DE 2.02,9.01 11/02/06 MAGNA ENTERTAINMENT CORP DE 2.02,9.01 09/30/06 MANTECH INTERNATIONAL CORP DE 2.02,7.01,9.01 11/02/06 MAPINFO CORP DE 2.02,9.01 09/30/06 MARINEMAX INC DE 2.02,9.01 11/02/06 MARTHA STEWART LIVING OMNIMEDIA INC DE 2.02,9.01 11/02/06 MASTR Adjustable Rate Mortgages Trust 8.01,9.01 11/02/06 AMEND MASTR Asset Backed Securities Trust 2 DE 9.01 10/17/06 MATERIAL TECHNOLOGIES INC /CA/ DE 1.01,2.03,3.02,9.01 10/27/06 MAUI LAND & PINEAPPLE CO INC HI 1.01,2.03,9.01 10/27/06 MAXWELL TECHNOLOGIES INC DE 2.02,9.01 11/02/06 MCDERMOTT INTERNATIONAL INC R1 2.02,9.01 11/02/06 MCGRATH RENTCORP CA 2.02,9.01 11/02/06 MEADOWBROOK INSURANCE GROUP INC MI 2.02,7.01,9.01 10/31/06 MEDIACOM COMMUNICATIONS CORP DE 2.02,9.01 11/02/06 MEDICALCV INC MN 1.01 10/30/06 MEDICINOVA INC DE 1.01,9.01 10/31/06 MEDICOR LTD DE 2.02,9.01 11/02/06 MEDICOR LTD DE 8.01 11/02/06 MERCHANTS GROUP INC DE 1.01,7.01,9.01 11/01/06 MERRILL LYNCH & CO INC DE 8.01,9.01 11/01/06 MET PRO CORP PA 8.01 11/02/06 METABASIS THERAPEUTICS INC 1.01,2.02,3.02,9.01 11/02/06 METAL MANAGEMENT INC DE 2.02,9.01 11/02/06 METALLINE MINING CO NV 8.01,9.01 11/02/06 METTLER TOLEDO INTERNATIONAL INC/ DE 2.02,9.01 11/02/06 MFC DEVELOPMENT CORP DE 5.03,8.01,9.01 10/30/06 MGM MIRAGE DE 2.02,9.01 11/02/06 MICHAELS STORES INC DE 2.02,9.01 11/02/06 MICROTUNE INC DE 2.02,9.01 11/02/06 MICROVISION INC DE 2.02,9.01 11/02/06 MID AMERICA APARTMENT COMMUNITIES INC TN 2.02,9.01 11/02/06 MIDLAND CO OH 9.01 10/24/06 AMEND MIDWAY GAMES INC DE 2.02,9.01 11/02/06 MINN DAK FARMERS COOPERATIVE ND 8.01 11/02/06 MINRAD INTERNATIONAL, INC. 2.02,9.01 10/30/06 MIPS TECHNOLOGIES INC DE 8.01 10/27/06 MOCON INC MN 2.02,9.01 11/01/06 MONACO COACH CORP /DE/ DE 2.02,9.01 11/02/06 MONMOUTH CAPITAL CORP NJ 7.01,9.01 11/02/06 MONTPELIER RE HOLDINGS LTD D0 5.02,7.01,9.01 11/02/06 MORGAN CREEK ENERGY CORP NV 5.02 10/25/06 Morningstar, Inc. IL 2.02,9.01 11/02/06 MOVE INC DE 2.02 11/02/06 MTC TECHNOLOGIES INC DE 5.02,9.01 10/30/06 MTS MEDICATION TECHNOLOGIES, INC /DE/ DE 2.02,7.01,9.01 11/02/06 MUNICIPAL MORTGAGE & EQUITY LLC DE 4.01 10/20/06 AMEND NACCO INDUSTRIES INC DE 2.02,9.01 11/02/06 NACCO INDUSTRIES INC DE 2.02,7.01,9.01 11/02/06 NANOGEN INC DE 1.01,5.02,9.01 10/27/06 NANOMETRICS INC DE 2.02,9.01 11/02/06 NATCO GROUP INC DE 2.02,7.01,9.01 11/02/06 NATIONAL BANCSHARES CORP /OH/ OH 5.02 11/02/06 NATIONAL TAX CREDIT INVESTORS II CA 8.01 10/31/06 NATIONWIDE FINANCIAL SERVICES INC/ DE 8.01,9.01 11/01/06 NATIONWIDE FINANCIAL SERVICES INC/ DE 2.02,7.01 11/02/06 NATURAL RESOURCE PARTNERS LP DE 2.02,7.01,9.01 11/02/06 NaturalNano , Inc. NV 1.01,5.02,7.01,9.01 10/31/06 Naugatuck Valley Financial Corp X1 7.01,9.01 11/02/06 Neiman Marcus, Inc. DE 2.02,7.01,9.01 11/02/06 NEKTAR THERAPEUTICS DE 2.02 11/02/06 NEOSE TECHNOLOGIES INC DE 1.01,1.02,9.01 10/31/06 NEOSE TECHNOLOGIES INC DE 2.02,9.01 11/02/06 NEOWARE INC DE 1.01,9.01 10/27/06 NESS TECHNOLOGIES INC 2.02,7.01,9.01 11/02/06 NETRATINGS INC DE 2.02,9.01 11/02/06 NETWOLVES CORP NY 5.02 10/27/06 NEUROCRINE BIOSCIENCES INC CA 2.02,9.01 11/02/06 NEUSTAR INC 2.02,9.01 11/02/06 NEW CENTURY FINANCIAL CORP MD 2.02,9.01 11/02/06 NEW PACIFIC VENTURES INC CO 1.01,2.01,3.02,5.01, 10/30/06 5.02,5.06,9.01 NEW PLAN EXCEL REALTY TRUST INC MD 2.02,9.01 11/02/06 New York & Company, Inc. 2.02,7.01,9.01 11/02/06 NEWALLIANCE BANCSHARES INC 5.02,9.01 10/31/06 NEWMONT MINING CORP /DE/ DE 5.02 11/01/06 NICHOLAS FINANCIAL INC FL 2.02,9.01 11/02/06 NICOR INC IL 7.01,9.01 11/02/06 NISOURCE INC/DE DE 2.02,9.01 11/02/06 NITROMED INC DE 2.02,9.01 11/02/06 NL INDUSTRIES INC NJ 7.01,9.01 11/01/06 NORDSTROM INC WA 7.01 11/02/06 NORTH AMERICAN SCIENTIFIC INC 8.01,9.01 11/02/06 NORTHERN BORDER PIPELINE CO TX 2.02,7.01,8.01 11/02/06 NORTHWEST AIRLINES CORP DE 2.02,9.01 10/31/06 NORTHWEST NATURAL GAS CO OR 2.02 11/02/06 NOVA BIOSOURCE FUELS, INC. NV 7.01,9.01 11/02/06 NOVELL INC DE 8.01 11/02/06 NU SKIN ENTERPRISES INC DE 2.02,9.01 09/30/06 NUVELO INC DE 2.02,9.01 11/02/06 NYSE Group, Inc. DE 8.01,9.01 11/02/06 OCCAM NETWORKS INC/DE DE 1.01,8.01,9.01 11/01/06 OFFICEMAX INC DE 8.01 11/02/06 ON2 TECHNOLOGIES, INC. DE 2.02,9.01 11/02/06 ONEOK INC /NEW/ OK 2.02,9.01 11/01/06 ONEOK Partners LP DE 2.02,9.01 11/01/06 Onstream Media CORP FL 1.01,3.02 10/27/06 OPTICAL COMMUNICATION PRODUCTS INC DE 5.02,8.01,9.01 11/01/06 ORAMED PHARMACEUTICALS INC. NV 1.01,9.01 09/26/06 ORASURE TECHNOLOGIES INC DE 7.01,9.01 11/01/06 ORCHID CELLMARK INC 2.02,9.01 11/02/06 ORIENT EXPRESS HOTELS LTD 2.02,9.01 11/01/06 ORIENTAL FINANCIAL GROUP INC PR 2.02,9.01 11/01/06 ORTHOLOGIC CORP DE 2.02,9.01 11/02/06 OSIRIS THERAPEUTICS, INC. DE 1.01,2.03,3.02,9.01 10/30/06 OTELCO INC. AL 2.02,9.01 11/02/06 OUVO, INC. 2.01,5.06,9.01 09/08/06 Owens Corning DE 1.01,2.03,3.02,5.01, 10/31/06 5.02,5.03,9.01 PACIFIC ENERGY PARTNERS LP 2.02,7.01,9.01 11/01/06 PACIFIC ENTERPRISES INC CA 2.02,9.01 11/02/06 PANTRY INC DE 5.02 07/05/06 AMEND PAR TECHNOLOGY CORP DE 8.01 11/02/06 PAYLESS SHOESOURCE INC /DE/ DE 7.01,9.01 11/02/06 PEAK INTERNATIONAL LTD D0 2.02,9.01 11/01/06 PEDIATRIX MEDICAL GROUP INC FL 2.02,8.01,9.01 11/02/06 PENN VIRGINIA CORP VA 2.02,7.01,9.01 11/01/06 PENN VIRGINIA RESOURCE PARTNERS L P DE 2.02,7.01,9.01 11/01/06 PENNSYLVANIA REAL ESTATE INVESTMENT T PA 2.02,9.01 11/02/06 PENTON MEDIA INC DE 1.01,8.01,9.01 11/01/06 PEPCO HOLDINGS INC DE 2.02,9.01 11/02/06 PERINI CORP MA 2.02 09/30/06 PERRIGO CO MI 1.01,9.01 10/30/06 PETROQUEST ENERGY INC DE 2.02 11/02/06 PGT, Inc. DE 2.02,9.01 11/01/06 PHARMACOPEIA DRUG DISCOVERY INC DE 2.02,9.01 11/02/06 PharmaNet Development Group Inc DE 2.02,9.01 11/02/06 PHOTOMEDEX INC DE 2.02,9.01 11/02/06 PHOTON DYNAMICS INC CA 2.02,9.01 11/02/06 PIER 1 IMPORTS INC/DE DE 8.01,9.01 11/02/06 PIONEER DRILLING CO TX 2.02,9.01 11/02/06 PLAINS ALL AMERICAN PIPELINE LP DE 2.02,7.01,9.01 11/02/06 PLC SYSTEMS INC 2.02,9.01 11/02/06 PMA CAPITAL CORP PA 2.02,9.01 11/02/06 PMI GROUP INC DE 2.02,9.01 11/02/06 POLYONE CORP 2.02,9.01 11/01/06 POWER INTEGRATIONS INC CA 2.02,9.01 11/02/06 POWERCOLD CORP NV 5.02 11/01/06 POWERWAVE TECHNOLOGIES INC DE 2.02,9.01 11/02/06 PPG INDUSTRIES INC PA 8.01,9.01 11/02/06 PRECISION CASTPARTS CORP OR 2.02,9.01 07/25/06 PRESSTEK INC /DE/ DE 8.01,9.01 11/01/06 PRESSTEK INC /DE/ DE 8.01,9.01 11/02/06 PRIDE BUSINESS DEVELOPMENT HOLDINGS, 8.01,9.01 10/31/06 PRIMEGEN ENERGY CORP 1.01,9.01 10/31/06 PRO PHARMACEUTICALS INC NV 7.01,9.01 11/02/06 PROCENTURY CORP 2.02,9.01 11/01/06 PROVIDENCE SELECT FUND LP 4.01 10/25/06 AMEND PROVIDENT FINANCIAL SERVICES INC DE 7.01,9.01 11/02/06 PTS INC/NV/ NV 2.01 10/17/06 PUGET ENERGY INC /WA WA 2.02 11/02/06 Q COMM INTERNATIONAL INC UT 2.02,9.01 11/01/06 QC Holdings, Inc. KS 2.02,9.01 11/02/06 QPC Lasers NV 9.01 10/23/06 AMEND QUADRAMED CORP DE 8.01,9.01 10/31/06 QUALCOMM INC/DE DE 2.02,9.01 11/02/06 QUALITY DISTRIBUTION INC FL 2.02,9.01 11/01/06 QUANTA SERVICES INC DE 2.02,9.01 11/02/06 QUANTA SERVICES INC DE 8.01,9.01 11/02/06 QUESTCOR PHARMACEUTICALS INC CA 2.02,9.01 11/02/06 RADIATION THERAPY SERVICES INC FL 2.02,9.01 11/01/06 RADIOSHACK CORP DE 5.02,9.01 11/02/06 RALCORP HOLDINGS INC /MO MO 5.02,9.01 10/27/06 REALNETWORKS INC WA 2.01 10/31/06 Red Lion Hotels CORP WA 2.02,9.01 11/02/06 REDDY ICE HOLDINGS INC DE 2.02,9.01 11/02/06 REDWOOD TRUST INC MD 2.02,7.01,9.01 11/02/06 REGIONS FINANCIAL CORP DE 7.01,9.01 11/02/06 REHABCARE GROUP INC DE 2.02,7.01,9.01 11/02/06 RELM WIRELESS CORP NV 2.02,9.01 11/02/06 RENHUANG PHARMACEUTICALS INC NV 2.02,9.01 10/30/06 REPLIGEN CORP DE 2.02,9.01 11/02/06 Republic Companies Group, Inc. DE 2.02,9.01 11/02/06 ROCKWELL AUTOMATION INC DE 5.02 11/01/06 ROSS STORES INC DE 2.02,9.01 11/02/06 ROYAL GOLD INC DE 2.02,9.01 11/02/06 RUDOLPH TECHNOLOGIES INC DE 9.01 09/30/06 S1 CORP /DE/ DE 1.01,2.02,5.02,9.01 11/02/06 SABRE HOLDINGS CORP DE 2.02,7.01,9.01 11/02/06 SAGA COMMUNICATIONS INC DE 2.02,9.01 11/02/06 SAKS INC TN 8.01,9.01 11/02/06 SAN DIEGO GAS & ELECTRIC CO CA 2.02,9.01 11/02/06 SAN HOLDINGS INC CO 1.01,9.01 10/27/06 SANTANDER BANCORP 2.02,9.01 09/30/06 SAVIENT PHARMACEUTICALS INC DE 2.02,9.01 10/30/06 SBE INC DE 5.02,9.01 10/31/06 SCHWAB CHARLES CORP DE 1.01 10/30/06 SCIENTIFIC GAMES CORP DE 2.02,9.01 11/02/06 SCOTTISH RE GROUP LTD E9 1.01,9.01 10/25/06 SEITEL INC DE 1.01,2.02,7.01,9.01 10/31/06 SEMCO ENERGY INC MI 1.01,2.03,2.04,3.03,9.01 10/31/06 SEMPRA ENERGY CA 2.02,9.01 11/02/06 SEQUENOM INC DE 2.02,9.01 11/02/06 SERVICEMASTER CO DE 2.05,9.01 11/02/06 SES SOLAR INC. 1.01,9.01 10/27/06 SHAW GROUP INC LA 1.01 10/27/06 SHELLS SEAFOOD RESTAURANTS INC DE 1.01,2.01,9.01 10/27/06 SHELLS SEAFOOD RESTAURANTS INC DE 1.01 10/30/06 SHOE CARNIVAL INC IN 2.02,9.01 11/02/06 SHUFFLE MASTER INC MN 1.01,9.01 10/31/06 SILGAN HOLDINGS INC DE 8.01,9.01 11/02/06 SINA CORP 2.02,9.01 11/02/06 SNAP ON INC DE 1.01,9.01 11/01/06 Sotech Inc. 1.01,5.01,5.02,9.01 10/27/06 SOUTH TEXAS OIL CO NV 8.01,9.01 11/01/06 Southern National Bancorp of Virginia VA 1.01,8.01,9.01 11/01/06 SOUTHRIDGE ENTERPRISES INC. NV 5.02 10/25/06 SOUTHSIDE BANCSHARES INC TX 2.02,9.01 11/01/06 SOUTHWEST GAS CORP CA 2.02 11/02/06 Souvall-Page & Company, Inc. UT 5.02 10/31/06 Souvall-Page & Company, Inc. UT 7.01,9.01 11/02/06 SPAN AMERICA MEDICAL SYSTEMS INC SC 2.02,9.01 11/02/06 SPARTAN MOTORS INC MI 7.01,9.01 11/02/06 Specialty Underwriting & Residential DE 2.01,9.01 10/18/06 SPIRIT FINANCE CORP 2.02,7.01,9.01 11/02/06 ST MARY LAND & EXPLORATION CO DE 2.02,9.01 11/01/06 ST MARY LAND & EXPLORATION CO DE 7.01,9.01 11/02/06 STAKTEK HOLDINGS INC DE 2.02,9.01 11/02/06 STANDEX INTERNATIONAL CORP/DE/ DE 1.01 10/31/06 STATION CASINOS INC NV 2.02 11/02/06 STEAK & SHAKE CO IN 2.03,9.01 10/27/06 STEINWAY MUSICAL INSTRUMENTS INC DE 2.02,9.01 11/02/06 STELLENT INC MN 1.01,2.02,9.01 11/02/06 STERLING BANCORP NY 7.01,9.01 11/01/06 STOCKERYALE INC MA 2.02,9.01 11/02/06 STONERIDGE INC OH 1.01,5.02,5.03 10/29/06 SUBURBAN PROPANE PARTNERS LP DE 7.01,8.01,9.01 11/02/06 SUMMIT BANK CORP GA 8.01,9.01 10/31/06 SUNCOM WIRELESS HOLDINGS, INC. 2.02,5.02,9.01 10/30/06 SUNCOM WIRELESS INC 5.02 10/30/06 SUNESIS PHARMACEUTICALS INC 2.02,9.01 11/02/06 SUNGARD DATA SYSTEMS INC DE 2.02,9.01 11/02/06 SUNOCO INC PA 2.02,7.01,9.01 11/01/06 Sunstone Hotel Investors, Inc. MD 2.02,9.01 11/01/06 SUPERIOR BANCORP DE 2.02,7.01,9.01 10/31/06 SUPERTEL HOSPITALITY INC VA 9.01 08/18/06 AMEND SURGE ENTERPRISES, INC. NV 5.02 10/30/06 SWIFT ENERGY CO 2.02 09/30/06 Symmetry Medical Inc. DE 2.02,9.01 11/01/06 SYNERGETICS USA INC 8.01,9.01 11/02/06 SYNTAX-BRILLIAN CORP DE 2.02,9.01 11/02/06 TAIWAN FUND INC DE 7.01,9.01 09/01/06 TALBOTS INC DE 2.02,9.01 11/02/06 TANOX INC DE 2.02,9.01 11/02/06 TC PIPELINES LP DE 2.02,7.01,9.01 11/02/06 TD AMERITRADE HOLDING CORP DE 5.02 10/27/06 TECHE HOLDING CO LA 2.02,9.01 10/30/06 TECHNOLOGY INVESTMENT CAPITAL CORP MD 2.02,9.01 11/02/06 TECHWELL INC 2.02,9.01 11/02/06 TEJON RANCH CO DE 2.02,9.01 11/02/06 TELECOMMUNICATION SYSTEMS INC /FA/ 2.02,9.01 11/02/06 TELOS CORP MD 5.02,9.01 10/31/06 TENNANT CO MN 5.02,9.01 11/01/06 TERCICA INC DE 2.02,9.01 11/02/06 TESORO CORP /NEW/ DE 2.02,9.01 11/02/06 TEXAS PACIFIC LAND TRUST 8.01,9.01 10/31/06 THERMA WAVE INC DE 2.02,9.01 11/02/06 THERMODYNETICS INC DE 8.01,9.01 11/01/06 THIRD WAVE TECHNOLOGIES INC /WI DE 2.02,9.01 11/02/06 TIDEWATER INC DE 8.01,9.01 11/01/06 TIME LENDING CALIFORNIA INC NV 8.01 11/01/06 TIME WARNER INC DE 1.01,9.01 11/02/06 TODCO DE 2.02,9.01 11/02/06 TORA TECHNOLOGIES INC NV 5.02 11/02/06 Tower Group, Inc. DE 2.02,9.01 11/02/06 TOWN SPORTS INTERNATIONAL HOLDINGS IN DE 2.02,9.01 11/02/06 TRAMMELL CROW CO DE 2.02,9.01 11/02/06 TRANSMETA CORP DE 2.02,7.01,9.01 11/02/06 TRANSOCEAN INC E9 2.02,7.01,9.01 11/02/06 TRINITY INDUSTRIES INC DE 2.02,7.01 11/01/06 TriView Global Fund, LLC DE 4.01 10/25/06 AMEND TRONOX INC DE 2.01,9.01 11/01/06 TRX INC/GA GA 2.02,9.01 11/02/06 TTM TECHNOLOGIES INC WA 1.01,1.02,2.03,9.01 10/27/06 TVI CORP MD 2.02,9.01 11/02/06 U S ENERGY SYSTEMS INC DE 8.01 11/02/06 U S PHYSICAL THERAPY INC /NV NV 2.02,9.01 11/02/06 UAP HOLDING CORP DE 5.02,9.01 11/02/06 ULTICOM INC NJ 2.02,7.01,9.01 11/01/06 AMEND UNIPRO FINANCIAL SERVICES INC 1.01,2.01,3.02,5.01, 10/27/06 5.03,5.06,9.01 UNISOURCE ENERGY CORP AZ 2.02,9.01 11/01/06 UNIT CORP DE 2.02,9.01 11/02/06 UNITED ONLINE INC DE 2.02,8.01,9.01 11/02/06 UNIVERSAL AMERICAN FINANCIAL CORP NY 2.02,7.01 11/01/06 UNIVERSAL ELECTRONICS INC DE 2.02,9.01 11/02/06 UNIVISION COMMUNICATIONS INC DE 2.02,9.01 11/02/06 US ENERGY CORP WY 8.01 10/13/06 US ENERGY CORP WY 1.01,9.01 10/31/06 USA Mobility, Inc DE 8.01 11/01/06 USEC INC DE 2.02,9.01 11/02/06 UTEK CORP 8.01,9.01 11/01/06 VALEANT PHARMACEUTICALS INTERNATIONAL DE 2.02,9.01 11/02/06 VALENCE TECHNOLOGY INC DE 5.02 10/30/06 VALENTIS INC DE 1.01,2.01,9.01 10/23/06 VALHI INC /DE/ DE 1.01,7.01,9.01 11/01/06 Vanda Pharmaceuticals Inc. DE 2.02,9.01 11/02/06 VIACELL INC 2.02,9.01 09/30/06 VIASAT INC CA 2.02,9.01 11/02/06 VIASYS HEALTHCARE INC DE 2.02,9.01 11/02/06 VICAL INC DE 2.02,9.01 11/02/06 VIEWCAST COM INC DE 1.01,9.01 10/28/06 VIEWCAST COM INC DE 1.01 11/01/06 VIROPHARMA INC DE 2.02,9.01 11/02/06 VITALSTREAM HOLDINGS INC NV 1.01,9.01 07/31/06 VIVUS INC CA 8.01,9.01 11/01/06 VSE CORP DE 2.02,9.01 09/30/06 W-H ENERGY SERVICES INC TX 1.01,9.01 10/27/06 WebMD Health Corp. DE 2.02,7.01,9.01 11/02/06 WEBMETHODS INC DE 2.02,9.01 11/02/06 WEBMETHODS INC DE 5.02 10/31/06 WEBSIDESTORY INC CA 1.01,1.02,2.02,5.02,9.01 10/27/06 WEIGHT WATCHERS INTERNATIONAL INC VA 1.01,2.02,5.02,9.01 11/02/06 WEINGARTEN REALTY INVESTORS /TX/ TX 2.02,9.01 10/30/06 WEINGARTEN REALTY INVESTORS /TX/ TX 5.02 10/30/06 WELLPOINT INC IN 5.03,9.01 10/28/06 WELLPOINT INC IN 1.01,9.01 10/27/06 WELLS FARGO & CO/MN DE 9.01 11/02/06 WEST PHARMACEUTICAL SERVICES INC PA 2.02,9.01 09/30/06 WESTERN DIGITAL CORP DE 1.01,2.02,5.02,9.01 10/31/06 WESTLAKE CHEMICAL CORP 2.02,9.01 11/02/06 WHERIFY WIRELESS INC DE 1.01,8.01,9.01 10/27/06 WHITE MOUNTAINS INSURANCE GROUP LTD D0 2.02,9.01 11/02/06 WILLBROS GROUP INC R1 1.01,1.02,2.03,3.03,9.01 10/27/06 WILLIAMS COMPANIES INC DE 2.02,7.01,9.01 11/02/06 Williams Partners L.P. 2.02,7.01,9.01 11/02/06 Winthrop Realty Trust OH 1.01,8.01,9.01 10/30/06 WJ COMMUNICATIONS INC DE 2.02,2.05,4.02,8.01,9.01 10/30/06 WOLVERINE TUBE INC DE 8.01,9.01 11/01/06 WORTHINGTON INDUSTRIES INC OH 1.01,9.01 10/30/06 WPS RESOURCES CORP WI 2.02,9.01 11/02/06 WPT ENTERPRISES INC 2.02,9.01 11/02/06 WYNDHAM WORLDWIDE CORP DE 2.02,9.01 11/01/06 WYNN RESORTS LTD 1.01,1.02,9.01 10/27/06 XENOPORT INC DE 2.02,9.01 11/02/06 XILINX INC DE 1.01,5.02,9.01 11/02/06 XOMA LTD /DE/ DE 1.01,9.01 11/02/06 XTO ENERGY INC DE 1.01,9.01 10/27/06 YORK WATER CO PA 1.01,2.03,9.01 10/27/06 ZALE CORP DE 2.02 11/02/06 ZEVEX INTERNATIONAL INC NV 7.01 11/01/06 ZIFF DAVIS HOLDINGS INC DE 2.02,9.01 11/02/06 ZILOG INC CA 2.02,9.01 11/02/06