SEC NEWS DIGEST Issue 2007-37 February 26, 2007 RULES AND RELATED MATTERS FILINGS WITH RESPECT TO PROPOSED RULE CHANGES SUBMITTED PURSUANT TO SECTION 19(B)(7)(A) OF THE SECURITIES EXCHANGE ACT OF 1934 On February 23, the Commission proposed to require Self-Regulatory Organizations (SROs) that submit proposed rule changes pursuant to Section 19(b)(7)(A) of the Securities Exchange Act of 1934 to file these rule changes electronically. In addition, the Commission proposed to require SROs to post all such proposed rule changes on their Web sites. For further information, contact Timothy Fox, Special Counsel, at (202) 551-5643 or Michou Nguyen, Special Counsel, at (202) 551-5634, Division of Market Regulation, Commission, 100 F Street, NE, Washington, DC 20549-6628. (Rel. 34-55341; File No. S7-06-07) ENFORCEMENT PROCEEDINGS SEC v. PLATINUM CAPITAL ADVOCATES, INC. PLATINUM CAPITAL ADVOCATES ELITE, INC., STEPHEN AMELLA, ANDRE HAYDEN, AND STRATEGIC MANAGEMENT ALLIANCE, INC., The Commission announced that on February 21 the Honorable James F. Holderman of the United States District Court for the Northern District of Illinois issued a Temporary Restraining Order and an Order of Preliminary Injunction (the Orders) against Platinum Capital Advocates, Inc. (PCA), Platinum Capital Advocates Elite, Inc. (PCA Elite), Stephen P. Amella (Amella), Andre Hayden (Hayden), and Strategic Management Alliance, Inc. (Strategic Management). The Orders, among other things, imposed an asset freeze against PCA, PCA Elite and Strategic Management in addition to other emergency relief. The Commission's civil injunctive complaint, filed earlier the same day, alleged that Defendants PCA, PCA Elite, Amella, Hayden and Strategic Management violated the antifraud provisions of the federal securities laws. According to allegations in the Commission's complaint, Amella and Hayden, through three companies they control, PCA, PCA Elite and Strategic Management, solicited investors to purchase preferred shares of PCA and PCA Elite. The Commission's complaint alleged that in the offer and sale of shares of PCA and PCA Elite, Amella and Hayden informed investors that: * Their investment would result in returns of 10% to 15% per month, when in fact there was no basis for such returns; * Invested funds would be safe based on certain procedures implemented to protect investor principal, when in fact no such procedures have been implemented; * PCA and PCA Elite are associated with reputable entities such as Archer Daniels Midland Company, when in fact no such association exists; and * Investor funds would be used to invest in real estate or currency trading and that dividends would be based on earnings in such investments, when in fact dividends thus far were paid not based on earnings but were taken from investor principal, exhibiting characteristics of the early stages of a Ponzi Scheme. The Commission's complaint further alleged that, based on the above misrepresentations, Amella and Hayden, through PCA and PCA Elite, raised at least $1.3 million from approximately 27 investors in four states. The Commission acknowledges the assistance of the Commodity Futures Trading Commission. The Commission also acknowledges the assistance of the Federal Bureau of Investigation which conducted its own separate, parallel investigation. [SEC v. Platinum Capital Advocates, Inc., Platinum Capital Advocates Elite, Inc., Stephen P. Amella, Andre Hayden, and Strategic Management Alliance , Inc., Civil Action No. 07CV985 (N.D. Ill.) Holderman, J.] (LR-20016) SEC FILES SETTLED SECURITIES FRAUD CHARGES AGAINST HEDGE FUND ADVISER AND ONE OF ITS MANAGING MEMBERS The Commission today filed a settled civil injunctive action against a Northbrook, Illinois hedge fund adviser, Crestview Capital Partners, LLC (Crestview), and one of its managing members, Stewart R. Flink, charging them with making fraudulent representations in connection with investments by Crestview-managed funds (Crestview funds) in two registered direct offerings. Registered direct offerings generally are characterized as privately negotiated sales of securities by public companies pursuant to an effective shelf registration statement. Crestview and Flink made false representations in the offering documentation for the two registered direct offerings that Crestview funds had not shorted the respective issuer's stock in the ten trading days preceding the signing of the documentation. Without admitting or denying the Commission's allegations, Crestview and Flink have agreed to a civil injunction for violations of the federal securities laws. In addition, Crestview agreed to pay $394,640 in disgorgement and civil penalties and to retain an independent consultant to monitor Crestview's compliance procedures. Also, Flink agreed to pay $120,000 in civil penalties. After filing, the Court entered final judgments against Crestview and Flink today. The Commission's complaint, filed in the United States District Court for the Northern District of Illinois, alleges that Crestview funds agreed to invest $1.4 million in a registered direct offering by Introgen Therapeutics, Inc. (Introgen) that was publicly announced on November 26, 2003 and agreed to invest $1.25 million in a registered direct offering by Targeted Genetics Corporation (Targeted Genetics) that was publicly announced on February 2, 2004. The complaint further alleges that as a condition to participating in the offerings, Introgen and Targeted Genetics required the Crestview funds to represent in the subscription agreements for the offerings that Crestview funds had not shorted Introgen and Targeted Genetics stock respectively in the ten days preceding the execution of the agreements. The complaint alleges that Flink, who is 50 years old and resides in Deerfield, Illinois, acting with full authority for Crestview, knowingly or recklessly signed the Introgen and Targeted Genetics subscription agreements on behalf of Crestview funds even though Crestview funds had short sold 108,218 and 255,000 shares respectively of Introgen and Targeted Genetics stock in the ten days preceding the execution of the subscription agreements for each of the companies. Flink's shorting of Introgen and Targeted Genetics stock yielded Crestview funds $197,320 in illegal profits. The complaint alleges that Crestview and Flink violated Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder. Without admitting or denying the Commission's allegations, Crestview and Flink have agreed to the entry of final judgments permanently enjoining them from violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. Crestview also has agreed to disgorge $197,320 in unlawful profits, plus 37,879 in prejudgment interest and to pay a civil penalty of $197,320. Crestview further agreed to retain an independent consultant to monitor Crestview's compliance procedures for 18 months and to report to the Commission staff every 6 months during the 18 month period. Flink also agreed to pay a $120,000 civil penalty. After filing, the Court entered final judgments against Crestview and Flink today. [SEC v. Crestview Capital Partners, LLC and Stewart R. Flink, Civil Action No. 07C-1090, USDC, N.D. Ill., Judge Moran] (LR-20017) COURT ORDERS TEMPORARY RESTRAINING ORDER AND ASSET FREEZE IN SEC EMERGENCY FRAUD ACTION INVOLVING TRADING IN ADVANCE OF PRESS RELEASES OF 12 U.S. COMPANIES; FOREIGN DEFENDANTS GARNERED PROFITS OF OVER $2.7 MILLION THROUGH ILLEGAL SCHEME In an emergency federal court action filed on February 26, the Commission obtained a court order temporarily restraining Blue Bottle Limited, a Hong Kong company, and Matthew Charles Stokes, a citizen of Guernsey, from violating the antifraud provisions of the federal securities laws. The Honorable Charles S. Haight, Jr., U.S. District Judge, Southern District of New York, also ordered a freeze of Blue Bottle's and Stokes's assets, as well as an order requiring them to repatriate funds transferred to overseas accounts. In addition, the Court ordered the defendants to appear on March 7, 2007, to show cause why the Court should not enter a preliminary injunction extending the asset freeze and other ancillary relief entered in the Temporary Restraining Order pending a final determination of the case. The Commission's complaint alleges that Blue Bottle and Stokes, immediately prior to the publication of news releases by 12 different U.S. public companies, repeatedly traded in the securities of those companies, including options and equities trading. The Commission alleges that the defendants fraudulently gained access to material nonpublic information through fraudulent devices, schemes, or artifices, which may include, but are not limited to, hacking into computer networks or otherwise improperly obtaining electronic access to systems that contain information about imminent news releases. The complaint alleges that, with the material nonpublic information in hand, defendants traded ahead of the public dissemination of that information, realizing profits of $2,707,177. The Commission further alleges that Blue Bottle and Stokes provided false information and used fake documents to open an account at the U.S. broker-dealer through which they executed the illegal trades. The Commission alleges that the illegal trading, which began in early January 2007, was in the securities of the following 12 U.S. companies: AllianceBernstein Holding L.P., Allscripts Healthcare Solutions Inc., Achillion Pharmaceuticals Inc., BJ's Wholesale Club Inc., Brady Corporation, CACI International, Inc., Hornbeck Offshore Services, Inc., LeCroy Corporation, Millipore Corporation, Odyssey Healthcare Inc., Symantec Corporation, and RealNetworks, Inc. For instance, with respect to the defendants' trading in Symantec, the complaint alleges that on Jan. 12, 2007, at approximately 1:03 p.m. EST, the defendants began buying 10,000 SYMC Jan07 20 put contracts, which represented 20 percent of the total trading in that security for the day. Those contracts were out-of-the money when purchased. Later that same day, at approximately 1:37 p.m. EST, the defendants began buying 500 SYMC Jan07 22.5 put contracts, which represented 41 percent of the total trading in that security for the day. All of the put contracts were to expire on Jan. 20, 2007. Essentially, buying the put options was a bet by the defendants that the price of Symantec stock would decrease. The Commission further alleges that on the next trading day, Jan. 16, 2007, at 7:48 a.m. EST, Symantec issued a downward revision of its third quarter 2007 earnings and revenue forecast. Shortly following Symantec's announcement, the defendants began selling the put contracts, amassing a profit of $1,030,471. As a result of the illegal trading in the 12 companies, the Commission alleges that Blue Bottle and Stokes violated Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act), and Exchange Act Rule 10b-5. The complaint seeks permanent injunctions, disgorgement of illegal profits plus prejudgment interest, and civil money penalties. The Commission acknowledges the assistance of the Options Regulatory Surveillance Authority. [SEC v. Blue Bottle Limited and Matthew C. Stokes, 07 Civ. 01-CV-1380 (CSH) (KNF) (S.D.N.Y.)] (LR-20018) SEC CHARGES FORMER OFFICER OF ENGINEERED SUPPORT SYSTEMS, INC. AND HIS BROKER WITH INSIDER TRADING On February 26, the Commission filed civil injunctive actions against Ronald W. Davis, the former President of Business Development of Engineered Support Systems, Inc., and his friend and former broker, Matthew E. Kopsky, for insider trading in the securities of Engineered Support Systems. The complaint alleges that Davis repeatedly tipped Kopsky before each of Engineered Support Systems's first three quarterly earnings announcements in 2003. According to the complaint, Kopsky purchased Engineered Support securities for himself, family members, and/or his clients and earned an aggregate profit of $276,259, including $107,062 for himself and his wife, and $169,197 for his clients. The complaint alleges that Davis received material, nonpublic information about the company's earnings announcements before its public release and provided this information to Kopsky. According to the complaint, Davis provided Kopsky with material, nonpublic information in an email shortly before the company's first quarter earnings announcement in 2003. Furthermore, the complaint alleges that in each quarter Kopsky purchased Engineered Support securities shortly after phone calls from Davis. In the third quarter of 2003, when the company most significantly outperformed market expectations, Kopsky purchased Engineered Support call options for the first time and invested more than 90% of his IRA in company stock, according to the complaint. The complaint alleges that by buying options just prior to Engineered Support's third quarter announcement, Kopsky and his wife earned a return of 132% on their investment. The Commission's complaint alleges that Davis and Kopsky violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Commission is seeking permanent injunctions, disgorgement of ill-gotten gains, including prejudgment interest, and civil penalties from each defendant. [SEC v. Matthew E. Kopsky and Ronald W. Davis, Civil Action No. 4:07-cv-00379, USDC, ED Missouri] (LR-20019; AAE Rel. 2565) INVESTMENT COMPANY ACT RELEASES FINANCIAL INVESTORS VARIABLE INSURANCE TRUST An order has been issued on an application filed by Financial Investors Variable Insurance Trust pursuant to Section 8(f) of the Investment Company Act declaring that it has ceased to be an investment company. (Rel. IC-27709 - February 22) ORDERS OF DEREGISTRATION UNDER THE INVESTMENT COMPANY ACT Orders have been issued under Section 8(f) of the Investment Company Act declaring that each of the following has ceased to be an investment company: Boston Advisors Trust [File No. 811-9675] [Rel No. IC-27710]February 22, 2007 Credit Suisse New York Municipal Fund [File No. 811-4964] [Rel No. IC-27711]February 22, 2007 Morgan Stanley Global Utilities Fund [File No. 811-7119] [Rel No. IC-27712]February 22, 2007 Morgan Stanley Balanced Income Fund [File No. 811-7243] [Rel No. IC-27713]February 22, 2007 Morgan Stanley Income Builder Fund [File No. 811-7575] [Rel No. IC-27714]February 22, 2007 UMB Scout Money Market Fund, Inc. [File No. 811-3528] [Rel No. IC-27715]February 22, 2007 UMB Scout Tax-Free Money Market Fund, Inc. [File No. 811-3556] [Rel No. IC-27716]February 22, 2007 UMB Scout Stock Fund, Inc. [File No. 811-3557] [Rel No. IC-27717]February 22, 2007 UMB Scout Bond Fund, Inc. [File No. 811-3558] [Rel No. IC-27718]February 22, 2007 UMB Scout WorldWide Fund, Inc. [File No. 811-7472] [Rel No. IC-27719]February 22, 2007 UMB Scout Kansas Tax-Exempt Bond Fund, Inc. [File No. 811-8513] [Rel No. IC-27720]February 22, 2007 UMB Scout Balanced Fund, Inc. [File No. 811-7323] [Rel No. IC-27721]February 22, 2007 The Jundt Growth Fund, Inc. [File No. 811-6317] [Rel No. IC-27722]February 22, 2007 Jundt Funds, Inc. [File No. 811-9128] [Rel No. IC-27723]February 22, 2007 American Eagle Funds, Inc. [File No. 811-9699] [Rel No. IC-27724]February 22, 2007 Bremer Investment Funds, Inc. [File No. 811-7919] [Rel No. IC-27725]February 22, 2007 Putnam Managed High Yield Trust [File No. 811-7658] [Rel No. IC-27726]February 22, 2007 Oppenheimer Total Return Bond Fund [File No. 811-21268] [Rel No. IC-27727]February 22, 2007 Tep Fund, Inc. [File No. 811-3609] [Rel No. IC-27728]February 22, 2007 Credit Suisse Alternative Capital Event Driven Master Fund, LLC [811-21738] [Rel No. IC-27729]February 22, 2007 Credit Suisse Alternative Capital Relative Value Master Fund, LLC [811-21740] [Rel No. IC-27730]February 22, 2007 Credit Suisse Alternative Capital Tactical Trading Master Fund, LLC [811-21741] [Rel No. IC-27731]February 22, 2007 Credit Suisse Alternative Capital Relative Value Fund, LLC [811-21660] [Rel No. IC-27732]February 22, 2007 Credit Suisse Alternative Capital Relative Value Institutional Fund, LLC [811-21642] [Rel No. IC-27733]February 22, 2007 Credit Suisse Alternative Capital Tactical Trading Institutional Fund, LLC [811-21643] [Rel No. IC-27734]February 22, 2007 Credit Suisse Alternative Capital Event Driven Institutional Fund, LLC [811-21645] [Rel No. IC-27735]February 22, 2007 Credit Suisse Alternative Capital Event Driven Fund, LLC [811-21659] [Rel No. IC-27736]February 22, 2007 Credit Suisse Alternative Capital Tactical Trading Fund, LLC [811-21661] [Rel No. IC-27737]February 22 INTEGRITY LIFE INSURANCE COMPANY, ET AL. An order has been issued pursuant to Section 26(c) of the Investment Company Act permitting the substitution of securities issued by certain registered investment companies for shares of certain other registered investment companies by Integrity Life Insurance Company, National Integrity Life Insurance Company, Separate Account I of Integrity Life Insurance Company, Separate Account II of Integrity Life Insurance Company, Separate Account I of National Integrity Life Insurance Company, and Separate Account II of National Integrity Life Insurance Company. (Rel. IC-27738 - February 23) NOTICES OF DEREGISTRATION UNDER THE INVESTMENT COMPANY ACT For the month of February, 2007, a notice has been issued giving interested persons until March 20, 2007, to request a hearing on any of the following applications for an order under Section 8(f) of the Investment Company Act declaring that the applicant has ceased to be an investment company: Eagle Growth Shares Investing Programs [File No. 811-2018] Credit Suisse Institutional Fixed Income Fund, Inc. [File No. 811-8917] Credit Suisse Small Cap Growth Fund, Inc. [File No. 811-7909] Credit Suisse Fixed Income Fund [File No. 811-5039] Federated Municipal High Yield Advantage Fund, Inc. [File No. 811-4533] Pioneer Tax Qualified Dividend Fund [File No. 811-21459] Pioneer International Income and Growth Trust [File No. 811-21535] Pioneer Municipal High Yield Trust [File No. 811-21717] Liberty All-Star Mid-Cap Fund [File No. 811-21733] Ameritrade Automatic Common Exchange Security Trust [File No. 811-9319] Pioneer AllWeather Fund LLC [File No. 811-21408] (Rel. IC-27739 - February 23) SELF-REGULATORY ORGANIZATIONS PROPOSED RULE CHANGE The International Securities Exchange filed a proposed rule change (SR-ISE-2006-59) and Amendment No. 1 thereto relating to foreign currency options. Publication is expected in the Federal Register during the week of February 26. (Rel. 34-55336) IMMEDIATE EFFECTIVENESS OF A PROPOSED RULE CHANGES A proposed rule change (SR-NASDAQ-2007-008) filed by The NASDAQ Stock Market clarifying the opening process for the Nasdaq Market Center has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 26. (Rel. 34-55329) The Commission issued notice of immediate effectiveness of a proposed rule change (SR-NYSEArca-2007-06) filed by NYSE Arca relating to obvious errors in options transactions. Publication is expected in the Federal Register during the week of February 26. (Rel. 34-55330) A proposed rule change (SR-Phlx-2007-09) filed by the Philadelphia Stock Exchange relating to the definition of Complex Trade has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 26. (Rel. 34-55331) A proposed rule change (SR-Phlx-2007-13) filed by the Philadelphia Stock Exchange relating to 100 share away markets in non-Nasdaq securities on XLE has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 26. (Rel. 34-55333) A proposed rule change (SR-NASDAQ-2007-005) filed by The NASDAQ Stock Market to modify the date for compliance with Regulation NMS has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 26. (Rel. 34-55335) APPROVAL OF PROPOSED RULE CHANGE The Commission granted approval to a proposed rule change (SR-NYSE- 2006-04), as modified by Amendment Nos. 1 and 2 thereto, filed by the New York Stock Exchange relating to NYSE Rule 116 (Stop Constitutes Guarantee) and NYSE Rule 123B (Exchange Automated Order Routing Systems). Publication is expected in the Federal Register during the week of February 26. (Rel. 34-55337) 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-3ASR NYMEX HOLDINGS INC, ONE NORTH END AVENUE, WORLD FINANCIAL CTR, NEW YORK, NY, 10282-1101, 2122992000 - 0 ($0.00) Equity, (File 333-140845 - Feb. 23) (BR. 06A) F-3 MITTAL STEEL CO N.V., 15TH FLOOR, HOFPLEIN 20, 3032 AC ROTTERDAM, ROTTERDAM, P7, 000000000, 31102178800 - 0 ($500,000,000.00) Non-Convertible Debt, (File 333-140846 - Feb. 23) (BR. 06A) S-3D LAKELAND BANCORP INC, 250 OAK RIDGE RD, OAK RIDGE, NJ, 07438, 9736972000 - 0 ($14,555,000.00) Equity, (File 333-140847 - Feb. 23) (BR. 07A) S-8 GRACO INC, 88 11TH AVENUE NE, MINNEAPOLIS, MN, 55413-1894, 6126236000 - 2,000,000 ($83,120,000.00) Equity, (File 333-140848 - Feb. 23) (BR. 10B) S-1 STEN CORP, 10275 WAYZATA BLVD., SUITE 310, MINNETONKA, MN, 55305, 952-545-2776 - 25,000,000 ($25,000,000.00) Non-Convertible Debt, (File 333-140852 - Feb. 23) (BR. 05C) S-4 NEENAH FOUNDRY CO, 2121 BROOKS AVE, PO BOX 729, NEENAH, WI, 54927, 9207257000 - 0 ($225,000,000.00) Non-Convertible Debt, (File 333-140853 - Feb. 23) (BR. 06A) S-8 BOLT TECHNOLOGY CORP, FOUR DUKE PL, NORWALK, CT, 06854, 2038530700 - 500,000 ($10,235,000.00) Equity, (File 333-140854 - Feb. 23) (BR. 04B) S-8 Mayflower Bancorp Inc, 30 SOUTH MAIN STREET, MIDDLEBORO, MA, 02346, 508-947-4343 - 0 ($943,001.00) Equity, (File 333-140855 - Feb. 23) (BR. 07) S-8 ENCANA CORP, 1800 855 2ND STREET SW, PO BOX 2850, CALGARY, A0, T2P 2S5, (403) 645-2000 - 1,600,000 ($76,464,000.00) Equity, (File 333-140856 - Feb. 23) (BR. 04A) S-8 HEWLETT PACKARD CO, 3000 HANOVER ST, MS 1050, PALO ALTO, CA, 94304, 6508571501 - 0 ($1,778,980.00) Equity, (File 333-140857 - Feb. 23) (BR. 03C) S-8 SoftBrands, Inc., TWO MERIDIAN CROSSING, SUITE 800, MINNEAPOLIS, MN, 55423, 612-851-1900 - 0 ($7,222,225.00) Equity, (File 333-140858 - Feb. 23) (BR. 03B) S-3ASR DOW CHEMICAL CO /DE/, 2030 DOW CENTER, MIDLAND, MI, 48674-2030, 989-636-1000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-140859 - Feb. 23) (BR. 06B) S-8 PIER 1 IMPORTS INC/DE, 100 PIER 1 PLACE, FORT WORTH, TX, 76102, 8172526000 - 3,000,000 ($20,070,000.00) Equity, (File 333-140860 - Feb. 23) (BR. 02A) S-3ASR AMB PROPERTY CORP, PIER 1 BAY 1, SAN FRANCISCO, CA, 94111, 4153949000 - 0 ($0.00) Equity, (File 333-140861 - Feb. 23) (BR. 08A) S-8 SILICON LABORATORIES INC, 400 W CESAR CHAVEZ, AUSTIN, TX, 78701, 5124168500 - 0 ($94,605,371.84) Equity, (File 333-140862 - Feb. 23) (BR. 10C) S-4 Bank of New York Mellon CORP, ONE WALL STREET, NEW YORK, NY, 10286, 212-495-1784 - 0 ($53,312,625,000.00) Equity, (File 333-140863 - Feb. 23) (BR. ) SB-2 SES SOLAR INC., 129 ROUTE DE SAINT-JULIEN, PLAN-LES-OUATES, GENEVA, V8, 000000, 41-22-884-1484 - 15,728,851 ($13,841,388.88) Equity, (File 333-140864 - Feb. 23) (BR. 02A) S-8 People's United Financial, Inc., C/O PEOPLE'S BANK, 850 MAIN STREET, BRIDGEPORT, CT, 06604, 203-338-4114 - 0 ($300,000,000.00) Equity, (File 333-140865 - Feb. 23) (BR. 07) S-8 NICOR INC, 1844 FERRY RD, NAPERVILLE, IL, 60563, 6303059500 - 1,500,000 ($70,065,000.00) Equity, (File 333-140866 - Feb. 23) (BR. 02A) S-3 INNOVO GROUP INC, 5901 SOUTH EASTERN AVENUE, -, COMMERCE, CA, 90040, 323-8373700 - 0 ($9,347,725.74) Equity, (File 333-140867 - Feb. 23) (BR. 02B) N-2 Nuveen Multi-Currency Short-Term Government Income Fund, 333 WEST WACKER DRIVE, CHICAGO, IL, 60606, 312-917-8146 - 0 ($20,000.00) Equity, (File 333-140868 - Feb. 23) (BR. ) SB-2 FP Technology, Inc., 181 WELLS AVENUE, SUITE 100, NEWTON,, MA, 02459, (617) 928-6001 - 4,753,798 ($40,407,283.00) Equity, (File 333-140869 - Feb. 23) (BR. 11C) S-3ASR CNA FINANCIAL CORP, CNA, 333 S. WABASH, CHICAGO, IL, 60604, 3128225000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-140870 - Feb. 23) (BR. 01C) S-3ASR STANDARD PACIFIC CORP /DE/, 15326 ALTON PARKWAY, IRVINE, CA, 92618, 9497891600 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-140871 - Feb. 23) (BR. 06B) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: 1.01 Entry into a Material Definitive Agreement 1.02 Termination of a Material Definitive Agreement 1.03 Bankruptcy or Receivership 2.01 Completion of Acquisition or Disposition of Assets 2.02 Results of Operations and Financial Condition 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant 2.04 Triggering Events That Accelerate or Increase a Direct Financial Obligation under an Off-Balance Sheet Arrangement 2.05 Cost Associated with Exit or Disposal Activities 2.06 Material Impairments 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 3.02 Unregistered Sales of Equity Securities 3.03 Material Modifications to Rights of Security Holders 4.01 Changes in Registrant's Certifying Accountant 4.02 Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review 5.01 Changes in Control of Registrant 5.02 Departure of Directors or Principal Officers; Election of Directors; Appointment of Principal Officers 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year 5.04 Temporary Suspension of Trading Under Registrant's Employee Benefit Plans 5.05 Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics 6.01. ABS Informational and Computational Material. 6.02. Change of Servicer or Trustee. 6.03. Change in Credit Enhancement or Other External Support. 6.04. Failure to Make a Required Distribution. 6.05. Securities Act Updating Disclosure. 7.01 Regulation FD Disclosure 8.01 Other Events 9.01 Financial Statements and Exhibits 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. 20549-1090 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE 8K ITEM NO. NAME OF ISSUER CODE DATE COMMENT 1 800 CONTACTS INC DE 2.05,2.06 02/16/07 1st Pacific Bancorp CA 1.01,7.01,9.01 02/22/07 ABERCROMBIE & FITCH CO /DE/ DE 2.02,8.01,9.01 02/21/07 ACCREDITED HOME LENDERS INC DE 8.01,9.01 02/23/07 ACORDA THERAPEUTICS INC 8.01,9.01 02/23/07 ACTUANT CORP WI 1.01,2.03,9.01 02/16/07 ADTRAN INC DE 5.02 02/23/07 ADTRAN INC DE 5.02 02/23/07 AK STEEL HOLDING CORP DE 1.01,1.02,2.03,9.01 02/20/07 ALASKA AIR GROUP INC DE 7.01 02/23/07 ALBANY INTERNATIONAL CORP /DE/ DE 1.01 02/16/07 ALBANY INTERNATIONAL CORP /DE/ DE 1.01 02/16/07 ALFA CORP DE 2.02,9.01 02/23/07 ALLEGHENY TECHNOLOGIES INC DE 8.01,9.01 02/23/07 ALLIANCE ONE INTERNATIONAL, INC. VA 1.01,9.01 02/23/07 ALLOS THERAPEUTICS INC DE 5.02,7.01,9.01 02/16/07 ALPINE GROUP INC /DE/ DE 1.01,2.01,9.01 02/16/07 Alternative Loan Trust 2007-1T1 DE 8.01,9.01 01/30/07 AMB PROPERTY CORP MD 8.01,9.01 02/23/07 AMBASSADORS INTERNATIONAL INC DE 1.01,9.01 02/21/07 AMC ENTERTAINMENT INC DE 8.01,9.01 02/22/07 AMC ENTERTAINMENT INC DE 7.01,9.01 02/23/07 AMEDISYS INC DE 7.01,9.01 02/23/07 AMERICA FIRST APARTMENT INVESTORS INC MD 5.02,9.01 02/21/07 AMERICAN BIO MEDICA CORP NY 3.01 02/23/07 AMERICAN COMMUNITY BANCSHARES INC NC 5.02 01/23/07 AMERICAN FINANCIAL GROUP INC OH 8.01 02/22/07 AMERICAN RIVER BANKSHARES CA 5.02 02/21/07 American Security Resources Corp. NV 7.01 02/14/07 AMERIGAS PARTNERS LP DE 8.01,9.01 02/22/07 AMTECH SYSTEMS INC AZ 5.02,7.01,9.01 02/19/07 Amtrust Financial Services, Inc. DE 2.02,9.01 02/22/07 APAC CUSTOMER SERVICE INC IL 2.02,9.01 02/23/07 APPLIED INNOVATION INC DE 1.01,7.01,9.01 02/22/07 ARCADIA RESOURCES, INC NV 2.01,2.03,3.02,5.02,9.01 02/16/07 Ardent Acquisition CORP DE 7.01,9.01 02/22/07 AMEND ARVINMERITOR INC IN 1.01,9.01 02/23/07 ASG Consolidated LLC DE 8.01,9.01 02/23/07 ASSOCIATED MEDIA HOLDINGS INC 2.01,9.01 02/19/07 ATS MEDICAL INC MN 1.01,9.01 02/20/07 BALCHEM CORP MD 2.02,9.01 02/23/07 BankFinancial CORP 7.01,9.01 02/22/07 BIODELIVERY SCIENCES INTERNATIONAL IN DE 1.01,5.02,7.01,8.01,9.01 02/22/07 BJS WHOLESALE CLUB INC DE 5.02,9.01 02/19/07 BRADY CORP WI 2.02,5.02,9.01 02/20/07 BRANDYWINE OPERATING PARTNERSHIP LP / DE 2.02,9.01 02/22/07 BRANDYWINE REALTY TRUST MD 2.02,9.01 02/22/07 BreitBurn Energy Partners L.P. DE 5.02 02/16/07 BUILDING MATERIALS CORP OF AMERICA DE 8.01,9.01 02/20/07 C&D TECHNOLOGIES INC DE 5.02,9.01 02/20/07 CAREY W P & CO LLC DE 2.02,9.01 02/23/07 CARMAX INC VA 8.01,9.01 02/22/07 CAVALIER HOMES INC DE 1.01,2.02,9.01 12/31/06 AMEND CENTRAL VALLEY COMMUNITY BANCORP CA 5.02 01/17/07 CERUS CORP DE 2.02,9.01 02/22/07 CHADMOORE WIRELESS GROUP INC CO 8.01 02/16/07 CHAMPION INDUSTRIES INC WV 2.02,9.01 02/23/07 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 02/21/07 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 02/22/07 CHECKPOINT SYSTEMS INC PA 5.03,9.01 02/16/07 CHESAPEAKE ENERGY CORP OK 2.02,9.01 02/22/07 CHINA MOBILITY SOLUTIONS, INC. (forme FL 5.02 02/23/07 China Public Security Technology, Inc 3.02,9.01 02/01/07 CHROMCRAFT REVINGTON INC DE 2.02,9.01 12/31/06 CIPHERGEN BIOSYSTEMS INC DE 2.02,9.01 02/23/07 CIRCUIT CITY STORES INC VA 5.02,9.01 02/23/07 CLEVELAND CLIFFS INC OH 7.01,9.01 02/22/07 CMGI INC DE 5.02,9.01 02/19/07 Cobalis Corp NV 1.01,2.03,3.02,8.01,9.01 02/20/07 COBRA ELECTRONICS CORP DE 2.02,8.01,9.01 02/23/07 Coconut Palm Acquisition Corp. DE 8.01,9.01 10/23/06 AMEND COLLINS & AIKMAN CORP DE 8.01,9.01 02/20/07 COLONIAL COMMERCIAL CORP NY 1.01,9.01 02/21/07 COMMERCE GROUP INC /MA MA 5.02,9.01 02/16/07 COMMSCOPE INC DE 2.02,9.01 02/23/07 COMMSCOPE INC DE 5.02 02/21/07 Community Bancorp NV 5.02,9.01 02/21/07 CONCEPTUS INC DE 1.01,8.01,9.01 02/20/07 CONSTELLATION BRANDS, INC. DE 1.01,2.03,9.01 02/23/07 CORDIA CORP NV 8.01 02/23/07 COUSINS PROPERTIES INC GA 5.02 02/19/07 CRESCENT FINANCIAL CORP NC 2.02 02/23/07 CRESTED CORP CO 1.01,9.01 02/22/07 CRM Holdings, Ltd. 8.01,9.01 02/23/07 CRUSADE MANAGEMENT LTD 8.01,9.01 02/22/07 CRUSADE MANAGEMENT LTD 8.01,9.01 02/22/07 Crystal River Capital, Inc. MD 1.01,7.01,9.01 02/16/07 CT COMMUNICATIONS INC /NC NC 5.02,9.01 02/22/07 CTI GROUP HOLDINGS INC DE 1.01,9.01 02/16/07 CWABS Asset-Backed Certificates Trust DE 8.01,9.01 02/09/07 CYBER DEFENSE SYSTEMS INC FL 1.01 02/05/07 AMEND Cyberkinetics Neurotechnology Systems DE 8.01,9.01 02/20/07 DATASTAND TECHNOLOGIES INC IN 1.01,9.01 02/23/07 DiamondRock Hospitality Co 2.02,9.01 02/22/07 DIGUANG INTERNATIONAL DEVELOPMENT CO. NV 2.02 02/20/07 DOLLAR FINANCIAL CORP DE 1.01,9.01 02/22/07 DOMINOS PIZZA INC 2.02,9.01 02/23/07 DOMINOS PIZZA INC 1.01,8.01,9.01 02/23/07 DOR BIOPHARMA INC DE 1.01,9.01 02/21/07 Dorman Products, Inc. PA 2.02,5.03,9.01 02/23/07 DOW JONES & CO INC DE 1.01,2.03,5.02,5.03,9.01 02/20/07 DREW INDUSTRIES INC DE 8.01,9.01 02/15/07 EASTERN AMERICAN NATURAL GAS TRUST DE 2.02,9.01 02/23/07 Eastern Insurance Holdings, Inc. PA 2.02,8.01,9.01 02/15/07 ECOLAB INC DE 5.02,9.01 02/21/07 EDEN ENERGY CORP NV 1.01,9.01 02/14/07 EL PASO CORP/DE DE 7.01,9.01 02/23/07 ELCOM INTERNATIONAL INC DE 5.02 02/16/07 EMVELCO CORP. DE 1.01,2.01,9.01 02/16/07 AMEND ENBRIDGE ENERGY PARTNERS LP DE 2.02,9.01 12/31/06 ENCORIUM GROUP INC NV 8.01 02/21/07 Energy Transfer Equity, L.P. DE 8.01,9.01 02/22/07 ENTRUST INC MD 8.01 02/21/07 ENVIRONMENTAL ENERGY SERVICES INC MD 8.01,9.01 02/15/07 ENVIRONMENTAL SERVICE PROFESSIONALS, NV 2.01,9.01 02/20/07 ENVIRONMENTAL SOLUTIONS WORLDWIDE INC FL 1.01,5.02 02/16/07 EQUITABLE RESOURCES INC /PA/ PA 5.02,5.03,9.01 02/21/07 ESS TECHNOLOGY INC CA 9.01 02/16/07 AMEND ESTERLINE TECHNOLOGIES CORP DE 1.01,8.01,9.01 02/22/07 EVANS BANCORP INC NY 7.01,9.01 02/23/07 EXAR CORP DE 5.02,9.01 02/22/07 EXCHANGE NATIONAL BANCSHARES INC MO 8.01,9.01 02/22/07 FAIRPOINT COMMUNICATIONS INC DE 2.02,7.01,9.01 02/21/07 Federal Home Loan Bank of Atlanta X1 2.03 02/20/07 FERRO CORP OH 7.01,9.01 02/23/07 FERRO CORP OH 5.02,9.01 02/23/07 FIRST ALBANY COMPANIES INC NY 5.02 02/16/07 First Franklin Mortgage Loan Trust, S DE 8.01,9.01 02/08/07 FIRST NATIONAL BANCSHARES INC /SC/ SC 1.01 02/23/07 FIRST POTOMAC REALTY TRUST MD 2.02,7.01,9.01 02/22/07 FIRST UNITED CORP/MD/ MD 2.02,9.01 02/22/07 FIRSTFED FINANCIAL CORP DE 7.01,9.01 01/31/07 FLIGHT SAFETY TECHNOLOGIES INC NV 8.01,9.01 01/25/07 FLYI INC DE 7.01 02/20/07 FNB FINANCIAL SERVICES CORP NC 8.01,9.01 02/22/07 FOREST OIL CORP NY 5.02,8.01 02/21/07 FOREVERGREEN WORLDWIDE CORP NV 3.02 02/23/07 FRANKLIN CREDIT MANAGEMENT CORP/DE/ DE 1.01,9.01 02/22/07 FREZER, INC. NV 1.01,3.02,5.01,5.02,5.03, 02/22/07 8.01,9.01 FUELCELL ENERGY INC DE 1.01,3.02,9.01 02/20/07 FULL HOUSE RESORTS INC DE 5.02 02/19/07 GAMCO INVESTORS, INC. ET AL NY 2.02,9.01 02/20/07 GCI INC AK 5.02 02/23/07 GENCOR INDUSTRIES INC DE 2.02,8.01,9.01 02/21/07 GENERAL COMMUNICATION INC AK 5.02 02/23/07 GENESIS ENERGY LP DE 2.02,9.01 02/23/07 GENTA INC DE/ DE 8.01,9.01 02/23/07 GEODYNE INSTITUTIONAL PENSION ENERGY OK 8.01,9.01 02/23/07 AMEND GEORESOURCES INC CO 1.01 02/16/07 GETTY IMAGES INC DE 8.01 02/21/07 GETTY IMAGES INC DE 1.01,9.01 02/21/07 AMEND GLENAYRE TECHNOLOGIES INC DE 5.03,8.01 02/16/07 GLOBAL ENTERTAINMENT HOLDINGS/EQUITIE CO 4.01,9.01 12/28/06 AMEND GLOBAL GREEN SOLUTIONS INC. WA 3.02 12/29/06 AMEND Global Telecom & Technology, Inc. DE 5.02,9.01 02/23/07 GlobalOptions Group, Inc. DE 3.03,5.03,9.01 02/22/07 GRANITE CONSTRUCTION INC DE 2.02,9.01 02/22/07 GRANT PRIDECO INC DE 5.02 02/21/07 GREAT AMERICAN FINANCIAL RESOURCES IN DE 8.01,9.01 02/23/07 GREATER BAY BANCORP CA 7.01,8.01,9.01 02/23/07 GREATER COMMUNITY BANCORP NJ 5.02 02/20/07 GSAA Home Equity Trust 2007-2 DE 9.01 02/23/07 GSAA Home Equity Trust 2007-3 DE 9.01 02/23/07 GSAMP Trust 2007-HE1 DE 8.01,9.01 02/23/07 HAIGHTS CROSS COMMUNICATIONS INC DE 5.02,9.01 02/02/07 AMEND HAMPTONS LUXURY HOMES INC DE 8.01,9.01 02/23/07 HARLAND JOHN H CO GA 8.01,9.01 02/23/07 HARLEY DAVIDSON INC WI 5.02 02/20/07 HARTFORD FINANCIAL SERVICES GROUP INC DE 7.01,9.01 02/21/07 HARTFORD LIFE INSURANCE CO CT 9.01 02/23/07 HAWAIIAN ELECTRIC INDUSTRIES INC HI 2.02,8.01 02/13/07 HAYNES INTERNATIONAL INC DE 1.02,3.03,5.03,9.01 02/20/07 HEALTH MANAGEMENT ASSOCIATES INC DE 1.01,1.02,2.03,5.02,9.01 02/16/07 HEARST ARGYLE TELEVISION INC DE 2.02,7.01,9.01 02/23/07 HEMCURE INC NV 1.01,3.02,9.01 02/16/07 HFF, Inc. DE 8.01,9.01 02/22/07 HINES HORTICULTURE INC DE 8.01 02/16/07 AMEND HINES REAL ESTATE INVESTMENT TRUST IN 8.01 02/23/07 HOLLY ENERGY PARTNERS LP DE 7.01,9.01 02/23/07 Home Equity Loan Trust 2007-HSA1 8.01,9.01 02/23/07 HOME PROPERTIES INC MD 7.01,9.01 02/22/07 HONEYWELL INTERNATIONAL INC DE 5.02 02/16/07 HOSPIRA INC DE 5.03,8.01,9.01 02/20/07 I TRAX INC DE 2.02,9.01 02/21/07 I2 TECHNOLOGIES INC DE 5.02,9.01 02/19/07 iCURIE, INC. NV 1.01,2.03 02/20/07 ImmunoCellular Therapeutics, Ltd. DE 1.01,3.02 02/16/07 IMPAC MORTGAGE HOLDINGS INC MD 2.02,4.02,9.01 02/20/07 INCOME OPPORTUNITY REALTY INVESTORS I NV 5.02 02/22/07 INNOVATIVE SOFTWARE TECHNOLOGIES INC CA 1.01,5.02,9.01 02/16/07 INSIGNIA SYSTEMS INC/MN MN 2.02,5.02,5.03,9.01 02/20/07 INTEGRATED ALARM SERVICES GROUP INC DE 8.01,9.01 02/23/07 INTERNAL HYDRO INTERNATIONAL INC NV 8.01 02/20/07 INTERNATIONAL ALUMINUM CORP CA 2.02,9.01 02/21/07 INTEVAC INC CA 7.01,9.01 02/23/07 ION MEDIA NETWORKS INC. DE 8.01,9.01 02/22/07 ITONIS INC. NV 4.01,9.01 02/09/07 ITRON INC /WA/ WA 5.02 02/22/07 IXIA CA 2.02,3.01,9.01 02/23/07 J P MORGAN CHASE & CO DE 9.01 02/21/07 Jazz Technologies, Inc. DE 2.01,2.02,3.03,5.02,5.03, 02/16/07 5.06,9.01 JER Investors Trust Inc 2.02,9.01 02/23/07 KAIRE HOLDINGS INC DE 5.02 02/23/07 KEANE, INC. MA 5.02 02/19/07 KEANE, INC. MA 8.01,9.01 02/23/07 KIMBERLY CLARK CORP DE 5.02 02/23/07 KITE REALTY GROUP TRUST MD 1.01,5.02,9.01 02/16/07 KRISPY KREME DOUGHNUTS INC NC 1.01,2.03,9.01 02/16/07 LAM RESEARCH CORP DE 7.01,9.01 02/23/07 LANDAMERICA FINANCIAL GROUP INC VA 9.01 02/19/07 LAPOLLA INDUSTRIES INC DE 1.01,2.03,8.01 02/23/07 LARGE SCALE BIOLOGY CORP DE 8.01,9.01 02/13/07 LAS VEGAS SANDS CORP NV 1.01 02/16/07 LASALLE HOTEL PROPERTIES MD 2.02,9.01 02/22/07 Legacy Bancorp, Inc. DE 7.01,9.01 02/23/07 Lexaria Corp. 5.02 02/14/07 LEXINGTON REALTY TRUST MD 2.02,7.01,9.01 02/02/07 LIBERTY STAR GOLD CORP NV 1.01,9.01 02/12/07 LITFUNDING CORP NV 8.01,9.01 02/20/07 LL&E ROYALTY TRUST TX 7.01,9.01 02/23/07 LOWES COMPANIES INC NC 2.02,9.01 02/23/07 MACROCHEM CORP DE 5.02 02/23/07 MAGNITUDE INFORMATION SYSTEMS INC DE 1.01,8.01,9.01 02/19/07 MAINE & MARITIMES CORP ME 5.02,5.03,5.05,9.01 02/23/07 MAINSOURCE FINANCIAL GROUP IN 7.01,9.01 02/23/07 MAINSTREET BANKSHARES INC VA 5.02 02/21/07 MANGAPETS, INC. DE 5.03 02/23/07 MARKWEST HYDROCARBON INC DE 1.01,2.03,9.01 02/23/07 Marquee Holdings Inc. DE 8.01,9.01 02/22/07 MASSEY ENERGY CO DE 5.02 02/19/07 MASTR Adjustable Rate Mortgages Trust 8.01,9.01 02/23/07 AMEND MATRIA HEALTHCARE INC DE 2.02,9.01 02/22/07 MAXIMUS INC VA 8.01,9.01 02/16/07 MBI Financial, Inc. NV 3.02 02/19/07 MC SHIPPING INC 5.02 02/23/07 MCA Holdings CORP NV 3.02 02/23/07 MEDCO HEALTH SOLUTIONS INC DE 5.02 02/21/07 MEDIACOM COMMUNICATIONS CORP DE 2.02,9.01 02/23/07 MERRILL LYNCH & CO INC DE 8.01,9.01 02/15/07 MFB CORP IN 8.01 02/23/07 MICRO IMAGING TECHNOLOGY, INC. CA 3.02,8.01 02/14/07 MICROFIELD GROUP INC OR 2.02,9.01 02/20/07 MICROSEMI CORP DE 7.01 02/22/07 MICROVISION INC DE 5.02 02/16/07 MILACRON INC DE 2.02,8.01,9.01 02/23/07 MILACRON INC DE 5.02 02/22/07 MILLENNIUM BANKSHARES CORP VA 5.02 02/19/07 MONDEO INVESTMENTS, INC. DE 5.01,5.02 02/16/07 AMEND Morgans Hotel Group Co. DE 1.01,1.02,8.01,9.01 02/16/07 MOSCOW CABLECOM CORP DE 1.01,9.01 02/21/07 MYERS INDUSTRIES INC OH 2.02,9.01 12/31/06 NANOGEN INC DE 5.02,9.01 02/19/07 NATIONAL HOLDINGS CORP DE 1.01,2.03,3.02,8.01,9.01 02/22/07 NATIONAL HOME HEALTH CARE CORP DE 8.01,9.01 02/21/07 NATIONAL SECURITY GROUP INC DE 8.01,9.01 02/23/07 NATURAL ALTERNATIVES INTERNATIONAL IN DE 1.01 02/19/07 NAVISTAR FINANCIAL CORP DE 8.01,9.01 02/16/07 NAVISTAR INTERNATIONAL CORP DE 7.01 02/23/07 nCoat, Inc. DE 4.01,8.01,9.01 02/22/07 NEAH POWER SYSTEMS, INC. NV 5.02,7.01,9.01 02/20/07 NEENAH FOUNDRY CO WI 5.02 02/23/07 NEOMAGIC CORP DE 5.02,9.01 02/21/07 NETWORK CN INC DE 1.01,9.01 02/15/07 AMEND NEUROBIOLOGICAL TECHNOLOGIES INC /CA/ DE 5.02 02/20/07 NEW FRONTIER ENERGY INC CO 2.01,9.01 12/14/06 AMEND New Oriental Energy & Chemical Corp. 5.03,9.01 10/11/06 AMEND NEW RIVER PHARMACEUTICALS INC VA 1.01,8.01,9.01 02/20/07 NEW YORK TIMES CO NY 5.02,9.01 02/22/07 NewGen Technologies, Inc NV 1.01,2.03,3.02,9.01 02/23/07 NewMarket Technology Inc NV 1.01,9.01 02/20/07 NEWS CORP 8.01,9.01 02/23/07 NEXITY FINANCIAL CORP DE 2.02,7.01,9.01 02/23/07 NEXMED INC NV 3.01 02/16/07 NEXMED INC NV 1.01,9.01 02/22/07 NICOR INC IL 2.02,9.01 02/23/07 NightHawk Radiology Holdings Inc 5.02 02/21/07 NORDSTROM INC WA 5.03,8.01,9.01 02/23/07 NORFOLK SOUTHERN CORP VA 7.01,9.01 02/23/07 NORTH VALLEY BANCORP CA 8.01,9.01 02/22/07 NORTHERN ETHANOL, INC. DE 8.01,9.01 02/14/07 NORTHROP GRUMMAN CORP /DE/ DE 5.02 02/20/07 NOTIFY TECHNOLOGY CORP CA 1.01,9.01 02/23/07 NTN BUZZTIME INC DE 5.03,9.01 02/21/07 O REILLY AUTOMOTIVE INC MO 7.01 12/31/06 OCEAN SHORE HOLDING CO X1 8.01,9.01 02/23/07 Oculus Innovative Sciences, Inc. CA 2.02,9.01 02/22/07 ODYSSEY RE HOLDINGS CORP DE 2.02 02/22/07 OHIO CASUALTY CORP OH 1.01,8.01,9.01 02/20/07 OIL STATES INTERNATIONAL, INC DE 8.01,9.01 02/22/07 OIL STATES INTERNATIONAL, INC DE 5.02,7.01,9.01 02/16/07 ONE VOICE TECHNOLOGIES INC NV 4.01,9.01 02/16/07 Onstream Media CORP FL 8.01,9.01 02/22/07 OSCIENT PHARMACEUTICALS CORP MA 8.01,9.01 02/22/07 OSI PHARMACEUTICALS INC DE 2.02,5.02,8.01,9.01 02/21/07 OSI RESTAURANT PARTNERS, INC. DE 2.02,9.01 02/22/07 Ottawa Savings Bancorp, Inc. X1 8.01,9.01 02/21/07 OVERSTOCK.COM, INC UT 5.02,8.01,9.01 02/23/07 OYO GEOSPACE CORP DE 1.01,9.01 02/21/07 PACIFIC GAS & ELECTRIC CO CA 5.02 02/23/07 AMEND PACIFICNET INC DE 5.02,9.01 02/16/07 PARKERVISION INC FL 2.02,3.02,9.01 02/23/07 PEETS COFFEE & TEA INC WA 8.01,9.01 02/22/07 PERFICIENT INC DE 1.01,2.01,3.02,7.01,9.01 02/20/07 PEROT SYSTEMS CORP DE 1.01 01/05/07 PETRO RESOURCES CORP 1.01,2.03,3.02,9.01 02/16/07 PETROHAWK ENERGY CORP DE 2.02,9.01 02/21/07 PETROLEUM DEVELOPMENT CORP NV 8.01,9.01 02/22/07 PG&E CORP CA 5.02 02/23/07 AMEND PINGCHUAN PHARMACEUTICAL INC NC 5.02 02/23/07 PIPER JAFFRAY COMPANIES 5.02 02/20/07 PLANTRONICS INC /CA/ DE 5.02 02/16/07 PLUG POWER INC DE 5.02,9.01 02/15/07 POWER ONE INC DE 5.02 02/23/07 PREMIUM STANDARD FARMS, INC. 8.01,9.01 02/23/07 PRICELINE COM INC DE 1.01,9.01 02/20/07 PRO DEX INC CO 5.02,9.01 02/21/07 PROGRESSIVE GAMING INTERNATIONAL CORP NV 2.02,9.01 02/20/07 PROVIDENCE & WORCESTER RAILROAD CO/RI RI 5.02 02/23/07 PSYCHIATRIC SOLUTIONS INC DE 5.02,9.01 02/20/07 PTS INC/NV/ NV 8.01 02/20/07 PURE VANILLA EXCHANGE INC NV 2.03,7.01,9.01 02/16/07 PW EAGLE INC MN 8.01,9.01 02/23/07 QUALMARK CORP CO 1.01,2.03 02/20/07 QUEST OIL CORP NV 1.01,8.01,9.01 02/22/07 R&G FINANCIAL CORP PR 8.01,9.01 02/23/07 RAINIER PACIFIC FINANCIAL GROUP INC WA 8.01,9.01 02/22/07 AMEND RASC Series 2006-KS9 Trust DE 8.01,9.01 02/23/07 RASC Series 2007-KS1 Trust DE 8.01,9.01 02/23/07 READERS DIGEST ASSOCIATION INC DE 8.01,9.01 02/23/07 REALOGY CORP DE 2.02,7.01,8.01,9.01 02/23/07 REGENCY AFFILIATES INC DE 8.01 02/20/07 REINSURANCE GROUP OF AMERICA INC MO 5.02,9.01 02/20/07 Republic Property Trust MD 1.01,2.01,2.03,9.01 02/16/07 RESPIRONICS INC DE 4.01 02/18/07 ROGERS CORP MA 1.01,3.03,9.01 02/22/07 ROPER INDUSTRIES INC /DE/ DE 2.02,9.01 12/31/06 RTI INTERNATIONAL METALS INC OH 2.02,9.01 02/22/07 RUBICON FINANCIAL INC DE 1.01,2.01,3.02,5.02,5.06,9.01 02/01/07 SBA COMMUNICATIONS CORP FL 2.02 02/22/07 SCHWAB CHARLES CORP DE 5.02,9.01 02/20/07 Searchlight Minerals Corp. NV 4.01 02/16/07 Searchlight Minerals Corp. NV 1.01,5.02,9.01 02/16/07 SELECTICA INC DE 3.01,9.01 02/15/07 SEMCO ENERGY INC MI 1.01,8.01,9.01 02/22/07 SERACARE LIFE SCIENCES INC 1.01,1.02,1.03,3.02,3.03, 02/21/07 5.02,9.01 SERENA SOFTWARE INC DE 5.02,9.01 02/21/07 Shire plc 8.01,9.01 02/22/07 Shire plc 1.01,2.03,3.02,8.01,9.01 02/20/07 SILGAN HOLDINGS INC DE 5.02 02/19/07 SIMON PROPERTY GROUP INC /DE/ DE 1.01,8.01,9.01 02/16/07 SIMTEK CORP CO 2.02,9.01 02/22/07 SIMTROL INC DE 1.01,2.03,3.03,5.03,9.01 02/16/07 Sinoenergy CORP NV 7.01,9.01 02/21/07 SKECHERS USA INC DE 1.01,8.01 02/20/07 SMITHFIELD FOODS INC VA 8.01 02/23/07 Somaxon Pharmaceuticals, Inc. DE 7.01,9.01 02/23/07 SONO TEK CORP NY 7.01,9.01 02/23/07 SOUTH JERSEY INDUSTRIES INC NJ 7.01,9.01 02/23/07 Southern Star Energy Inc. NV 1.01,9.01 01/22/07 SPATIALIZER AUDIO LABORATORIES INC DE 8.01,9.01 02/21/07 SPEAKING ROSES INTERNATIONAL INC NV 5.02,7.01,9.01 11/07/06 SRA INTERNATIONAL INC DE 5.02,9.01 02/06/07 ST MARY LAND & EXPLORATION CO DE 2.02,9.01 02/22/07 STANDARD PARKING CORP DE 8.01,9.01 02/22/07 STARM Mortgage Loan Trust 2007-1 DE 8.01,9.01 02/23/07 STILLWATER MINING CO /DE/ DE 2.02,9.01 02/23/07 STONEMOR PARTNERS LP DE 1.01 02/16/07 STRATEGIC HOTELS & RESORTS, INC 1.01 02/20/07 STRATS SM TRUST FOR BOEING SEC SER 20 8.01,9.01 02/15/07 STRATS SM TRUST FOR DAIMLERCHRYSLER N 8.01,9.01 02/15/07 STRATS SM TRUST FOR Goldman Sachs Cap 8.01,9.01 02/15/07 STRATS SM TRUST FOR GOLDMAN SACHS GRO 8.01,9.01 02/15/07 STRATS SM TRUST FOR JPMORGAN CHASE & 8.01,9.01 02/15/07 STRATS SM TRUST FOR WAL-MART STORES, 8.01,9.01 02/15/07 STRATS(SM) TRUST FOR DOMINION RESOURC 8.01,9.01 02/15/07 STRATS(SM) TRUST FOR GEN ELEC CAP COR 8.01,9.01 02/15/07 STRATS(SM) Trust For Goldman Sachs Ca 8.01,9.01 02/15/07 SUN NEW MEDIA INC. MN 5.02,9.01 02/22/07 SUN-TIMES MEDIA GROUP INC DE 5.02 02/16/07 SUPERTEL HOSPITALITY INC VA 1.01,2.03,9.01 02/22/07 SUREWEST COMMUNICATIONS CA 8.01,9.01 02/23/07 SyntheMed, Inc. DE 5.02 02/16/07 SYSCO CORP DE 5.02,9.01 02/23/07 TAKE TWO INTERACTIVE SOFTWARE INC DE 1.01,5.02,9.01 02/20/07 TALBOTS INC DE 1.01,2.03,9.01 02/23/07 TASKER PRODUCTS CORP NV 1.01 02/16/07 TC PIPELINES LP DE 1.01,2.01,2.03,3.02,9.01 02/20/07 TELEPHONE & DATA SYSTEMS INC /DE/ DE 2.02,3.01,8.01,9.01 02/23/07 TENFOLD CORP /UT DE 2.02 02/21/07 TEXAS INDUSTRIES INC DE 8.01,9.01 02/22/07 TLC VISION CORP A6 8.01,9.01 02/23/07 TOMPKINS TRUSTCO INC NY 5.02,9.01 02/20/07 Tornado Gold International Corp NV 8.01 02/15/07 TREND TECHNOLOGY CORP NV 5.02 02/22/04 TRI-CONTINENTAL CORP MD 7.01,9.01 02/21/07 TRIMBLE NAVIGATION LTD /CA/ CA 1.01,2.01,2.03,5.03,9.01 02/23/07 Triple Crown Media, Inc. DE 5.02 02/23/07 TRUE TEMPER SPORTS INC 5.02 02/19/07 TRUSTREET PROPERTIES INC MD 7.01,9.01 02/23/07 TVIA INC DE 3.01,9.01 02/20/07 UCBH HOLDINGS INC DE 1.01,9.01 02/21/07 UGI CORP /PA/ PA 8.01,9.01 02/22/07 UNITED BANCORP INC /MI/ MI 2.02,5.02,9.01 02/23/07 UNITED SECURITY BANCSHARES CA 2.01,9.01 02/16/07 UNITED STATES CELLULAR CORP DE 2.02,3.01,8.01,9.01 02/23/07 UNITED THERAPEUTICS CORP DE 5.02 02/20/07 UNITED WISCONSIN GRAIN PRODUCERS LLC WI 2.02,9.01 02/23/07 Universal Truckload Services, Inc. MI 2.02,9.01 02/21/07 URANIUM RESOURCES INC /DE/ DE 8.01,9.01 02/23/07 Uraniumcore CO DE 8.01 02/23/07 US ENERGY CORP WY 1.01,9.01 02/22/07 US Oncology Holdings, Inc. DE 8.01,9.01 02/20/07 US Oncology Holdings, Inc. DE 2.02,9.01 02/22/07 US ONCOLOGY INC DE 2.02,9.01 02/22/07 UTEK CORP 1.01,9.01 02/21/07 VECTREN CORP IN 8.01 02/22/07 Venture Lending & Leasing V, Inc. MD 5.02 02/23/07 VERINT SYSTEMS INC 8.01,9.01 02/23/07 VOIP INC 1.01,2.03,2.04,3.02,9.01 02/16/07 VOIP INC 8.01 02/21/07 WaMu Mortgage Pass-Through Certificat DE 6.01 02/23/07 Washington Mutual Mortgage Pass-Throu DE 6.01 02/22/07 WASTECH, INC. 1.01,2.01,9.01 12/22/06 WATER CHEF INC DE 5.02 02/20/07 Western Iowa Energy, L.L.C. IA 8.01,9.01 02/23/07 WEYERHAEUSER CO WA 7.01 02/20/07 WINMARK CORP MN 2.02,5.03,7.01,9.01 02/23/07 WINN DIXIE STORES INC FL 2.02,9.01 02/20/07 WINSTON HOTELS INC NC 1.01,8.01,9.01 02/21/07 WITS BASIN PRECIOUS MINERALS INC MN 1.01,9.01 02/19/07 WOLVERINE TUBE INC DE 1.01,2.03,3.02,3.03,5.01, 02/16/07 5.02,8.01 WORKSTREAM INC 5.02,9.01 02/20/07 X-CHANGE CORP NV 1.01,3.02,9.01 02/20/07 XEROX CORP NY 8.01,9.01 02/16/07 XOMA LTD /DE/ DE 1.01 02/21/07 YARRAMAN WINERY, INC. NV 8.01 02/22/07 YOUNG INNOVATIONS INC MO 5.02,9.01 02/16/07 ZILA INC DE 3.02,9.01 02/20/07 ZION OIL & GAS INC DE 1.01,8.01,9.01 01/24/07