SEC NEWS DIGEST Issue 2007-41 March 2, 2007 COMMISSION ANNOUNCEMENTS STATEMENT OF SEC DIVISION OF MARKET REGULATION DIRECTOR ERIK SIRRI REGARDING THE START OF THE TRADING PHASE OF COMPLIANCE WITH REGULATION NMS ON MONDAY, MARCH 5, 2007 Erik R. Sirri, Director of the Division of Market Regulation, U.S. Securities and Exchange Commission, made the following statement today regarding the start of the Trading Phase of Regulation NMS: On Monday, March 5, 2007, exchanges and electronic communication networks (ECNs) will begin complying with the Trading Phase of Regulation NMS. The Trading Phase was designed to identify and work out any problems before full effectiveness of Regulation NMS. Beginning March 5, 2007, the exchanges and ECNs participating in the Alternative Display Facility of the NASD will implement policies and procedures reasonably designed to prevent trade-throughs of better- priced protected quotations displayed by other exchanges and ADF participants. On July 9, 2007, securities firms also will comply with the trade-through provisions of Regulation NMS for 250 pilot stocks. In recent months, many of the exchanges and ADF participants have developed new automated trading systems or significantly modified their existing automated trading systems. Many of these systems route orders out to access better-priced protected quotations at other markets. In addition, many securities industry participants may choose during the Trading Phase to begin routing intermarket sweep orders (ISOs). An ISO allows a receiving trading center to execute the order without regard to any better-priced protected quotations at other trading centers. The router of an ISO, however, is required to route additional ISOs, as necessary, to execute against any better-priced protected quotations at other trading centers. The Trading Phase is designed to provide all industry participants with an opportunity to gain experience with the new trading rules, including ISOs, prior to Regulation NMS becoming fully effective. The start of the Trading Phase is a very important step in the implementation of Regulation NMS. The Commission staff, in consultation with the self-regulatory organizations and other securities industry organizations, has monitored the status of the industry's implementation efforts. The exchanges already have rolled out the most significant aspects of their new trading systems over the preceding weeks and months, but some will rollout new functionalities on March 5th. A market's rollout of new trading systems inevitably presents challenges for the market and its participants. In addition, the exceptional trading volume and price volatility of the equity markets over the last few days raise the potential of even greater challenges during the Trading Phase. Throughout the Trading Phase, the Commission staff will closely monitor the operation of the equity markets to assess whether any systems or other trading problems arise. Regulation NMS addresses systems problems through an exception for trades executed at a time when a trading center displaying a protected quotation is experiencing a failure, material delay, or malfunction of its systems or equipment. (Rule 611(b)(1), commonly referred to as the "self-help" exception.) The self-help exception also excepts the routing of ISOs. We recognize that use of this exception will be appropriate if systems problems arise at one or more markets. As a supplement to individual use of the self-help exception during the Trading Phase, if market-wide problems arise, the Commission staff intends to consult with the self-regulatory organizations to assess whether these systems problems are so serious that an industry-wide exception should be triggered under Rule 611(b)(1). Staff particularly will consult on this matter with the NASD, as the primary self- regulatory authority with responsibilities for broker-dealers participating in multiple markets. When appropriate, either the Commission or NASD will issue a public notice that the equity markets are experiencing conditions that appropriately trigger an industry- wide use of the self-help exception. This industry-wide exception would effectively suspend operation of all trade-through provisions. For example, it would allow all trading centers and order routers to execute trades and route ISOs without regard to the protected quotations displayed at any particular time. The exception would continue for the time period specified in the notice. The U.S. equity markets are the deepest and most liquid in the world and vitally important to the U.S. economy. Should serious systems problems or difficult market conditions arise, I believe that the first priority should be to enable the equity markets to continue trading and establishing the most efficient prices possible for investors. (Press Rel. 2007-29) ENFORCEMENT PROCEEDINGS COMMISSION REVOKES REGISTRATIONS OF SECURITIES OF ATM HOLDINGS, INC. FOR FAILURE TO MAKE REQUIRED PERIODIC FILINGS On March 2, the Commission revoked the registration of each class of registered securities of ATM Holdings, Inc. (ATM Holdings) for failure to make required periodic filings with the Commission. Without admitting or denying the findings in the order, except as to jurisdiction, which it admitted, ATM Holdings consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to ATM Holdings, Inc., finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of ATM Holdings's securities pursuant to Section 12(j) of the Exchange Act. This order settled the charges brought against ATM Holdings in the Matter of Airstar Technologies, Inc., et al. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows: No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . . For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Airstar Technologies, Inc., et al., Administrative Proceeding File No. 3-12565, Exchange Act Release No. 55257 (Feb. 8, 2007). (Rel. 34- 55382; File No. 3-12565) IN THE MATTER OF DAVID KIRKPATRICK On March 2, the Commission issued an Order Instituting Cease-and- Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order Pursuant to Section 21C of the Securities Exchange Act of 1934 (Exchange Act). The Order finds that David C. Kirkpatrick (Kirkpatrick) committed violations of Rule 13b2-1 of the Exchange Act and caused violations of Section 13(a) of the Exchange Act and Rules 12b-20, 13a-1 and 13b2-2 promulgated thereunder while employed at Coca Cola Enterprises Inc. and doing business with Kmart Corporation. Based on the above, the Order directs that Kirkpatrick cease and desist from committing or causing any violations and any future violations of Rule 13b2-1 of the Exchange Act and causing any violations and any future violations of Section 13(a) of the Exchange Act and Rules 12b-20, 13a-1 and 13b2-2 promulgated thereunder. Kirkpatrick consented to the issuance of the Order without admitting or denying any of the findings in the Order. (Rel. 34-55383; AAE Rel. 2569; File No. 3-12577) IN THE MATTER OF JOHN PAUL ORR On March 2, the Commission issued an Order Instituting Cease-and- Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order Pursuant to Section 21C of the Securities Exchange Act of 1934 (Exchange Act). The Order finds that John Paul Orr (Orr) caused violations of Rule 13b2-1 of the Exchange Act while employed at Kmart Corporation. Based on the above, the Order directs that Orr cease and desist from committing or causing any violations and any future violations of Rule 13b2-1 of the Exchange Act. Orr consented to the issuance of the Order without admitting or denying any of the findings in the Order. (Rel. 34-55384; AAE Rel. 2570; File No. 3-12578) FINAL JUDGMENT AS TO C. BURT DUREN The Commission announced that on March 1 the Honorable R. Bryan Harwell, U.S. District Judge for the District of South Carolina, entered a Final Judgment as to Defendant C. Burt Duren, enjoining him from future violations of Section 17(a) of the Securities Act of 1933 and Sections 10(b) and 13(b)(5) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 10b-5, 13a-14, 13b2-1 and 13b2-2 thereunder, and from aiding and abetting violations of Sections 13(a), 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act and Rules 12b-20, 13a-1 and 13a-13 thereunder. Duren consented to the entry of the judgment without admitting or denying the allegations of the Commission's complaint. The court ordered a civil penalty against Duren in the amount of $35,000, and prohibited Duren from acting as an officer or director of any issuer that has a class of registered securities for a period of five years. The Commission's complaint, filed on Aug. 25, 2005, alleged that, during the period from late 2002 through December 2003, Duren and the other defendants caused One Price Clothing Stores, Inc. (One Price) to misrepresent in its Commission filings that it was in compliance with its credit facility, on which the company relied to provide cash for its operations. The complaint further alleged that One Price was actually in default because the defendants caused the company to artificially inflate its inventory levels, which collateralized its debt, in weekly reports to its lender. The complaint also alleged that One Price filed false and misleading periodic reports with the Commission because the inflated inventory levels were included in the financial statements that were filed with those reports. [SEC v. Leonard M. Snyder, H. Dane Reynolds, C. Burt Duren, and Carey Johnson, Civil Action No. 7:05-2471-RBH (D.S.C.)] (LR-20025; AAE Rel. 2568) SEC SETTLES CHARGES AGAINST FINAL TWO DEFENDANTS IN KMART VENDOR ALLOWANCE CASE The Commission today announced that it settled charges against the final two defendants in its case against several individuals for causing Kmart to improperly account for millions of dollars worth of vendor "allowances." Kmart obtained allowances from its vendors for various promotional and marketing activities. According to the SEC'S complaint, Kmart executives and employees of Eastman Kodak Company, Coca Cola Enterprises Inc. and PepsiCo Inc.'s wholly-owned subsidiaries, Pepsi-Cola Company and Frito-Lay, Inc., caused Kmart to recognize allowances prematurely on the basis of false information provided to the company's accounting department. On Dec. 2, 2004, the SEC announced settlements with two Kmart executives and three vendor defendants. For more information, see LR- 18989 (Dec. 2, 2004). The three non-settling defendants were John Paul Orr, former Divisional Vice President of Kmart's photo division, David C. Kirkpatrick, former National Sales Director for Coca Cola Enterprises, Inc., and David N. Bixler, a former National Sales Director of PepsiCo's Pepsi-Cola division. On March 6, 2006, the U.S. District Court for the Eastern District of Michigan granted Bixler's motion to dismiss in its entirety and granted Orr and Kirkpatrick's motions to dismiss in part. For more information, see SEC v. Orr, 2006 U.S. Dist. LEXIS 11447 (March 6. 2006). Without admitting or denying the charges against him, Orr has now agreed to settle by consenting to an administrative order to cease and desist from committing or causing violations of Rule 13b2-1 of the Securities Exchange Act of 1934 (Exchange Act). Without admitting or denying the charges against him, Kirkpatrick has agreed to settle by paying a $25,000 civil penalty and by consenting to an administrative order to cease and desist from committing or causing violations of Rule 13b2-1 of the Exchange Act and causing any violations and any future violations of Section 13(a) of the Exchange Act and Rules 12b- 20, 13a-1 and 13b2-2 promulgated thereunder. [SEC v. John Paul Orr, Michael J. Frank, Albert M. Abbood, Darrell Edquist, David C. Kirkpatrick, David N. Bixler, Thomas L. Taylor and Randall M. Stone, 04 Civ. 74702 (Roberts, J.) (E.D. Michigan] (LR-20026) FINAL JUDGMENT BY CONSENT ENTERED AS TO CHARLES B. SPADONI The Commission announced today that on Feb. 27, 2007, the Connecticut federal district court entered a final judgment by consent in a fraud action filed by the Commission against Charles B. Spadoni, the former vice-president and general counsel of Triumph Capital Group, Inc. (Triumph), an investment firm headquartered in Boston, Massachusetts. In the complaint filed against Spadoni and ten other defendants, the Commission had alleged that Paul J. Silvester, the former Treasurer of the State of Connecticut, agreed to invest $200 million of state pension funds with Triumph in November 1998; in return, Triumph, through Spadoni and the firm's chairman, agreed to provide consulting contracts valued at approximately $1 million each to two of Silvester's friends. On Oct. 10, 2000, in a case entitled U.S. v. Triumph Capital Group, Inc. et al., Criminal No. 3:00CR-217 (EBB), the U.S. Attorney for the District of Connecticut indicted Spadoni and others for their roles in the scheme. On July 16, 2003, after a trial in this criminal action, a jury found Spadoni guilty of various charges, including racketeering and racketeering conspiracy concerning acts of bribery and obstruction of justice, theft/bribery concerning programs receiving federal funds, and wire fraud/theft of honest services. On Oct. 27, 2006, the court sentenced Spadoni to 36 months imprisonment and ordered him to pay a fine of $50,000. In the Commission's matter against him, Spadoni had been charged with primary violations of Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and with aiding and abetting Triumph's violations of Sections 206(1) and 206(2) of the Investment Advisers Act of 1940. Without admitting or denying the allegations contained in the Commission's complaint, Spadoni consented to the entry of a final judgment against him, pursuant to which he agreed to a permanent injunction against future violations of these same provisions. On Sept. 1, 2004, the Commission permanently barred Spadoni from associating with any broker, dealer, or investment adviser, and he had been forthwith suspended on November 17, 2006 from appearing or practicing as an attorney before the Commission pursuant to Rule 102(e)(2) of the Commission's Rules of Practice. See Litigation Release Number 20027. For further information, see Litigation Release Numbers 16759 (Oct. 10, 2000), 16834 (Dec. 19, 2000), 18436 (Oct. 30, 2003), 18460 (Nov. 17, 2003), 18461 (Nov. 17, 2003), 19241 (May 31, 2005) and 19566 (Feb. 15, 2006), and Administrative Proceeding Release Numbers 34-50300 (Sept. 1, 2004) and 34-54774 (Nov. 17, 2006). [SEC v. Paul J. Silvester, et al., Civil Action No. 3:00 CV 1941 (EBB) (D. Conn.)] (LR-20027) SELF-REGULATORY ORGANIZATIONS APPROVAL OF PROPOSED PLAN FOR ALLOCATION OF REGULATORY RESPONSIBILITIES The Commission approved and declared effective a proposed plan for allocation of regulatory responsibilities pursuant to Rule 17d-2 under the Securities Exchange Act of 1934 (File No. 4-529) submitted by the International Securities Exchange and the National Association of Securities Dealers. Publication is expected in the Federal Register during the week of March 5. (Rel. 34-55367) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES The Fixed Income Clearing Corporation filed a proposed rule change (SR-FICC-2007-01), which became effective upon filing, to interpret Rule 5 Section 6 of the Government Securities Division Rules. Publication is expected in the Federal Register during the week of March 5. (Rel. 34-55370) A proposed rule change (SR-Phlx-2007-06) filed by the Philadelphia Stock Exchange relating to port fees 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 March 5. (Rel. 34-55371) A proposed rule change (SR-NYSEArca-2007-20) filed by NYSE Arca relating to NYSE Arca Marketplace's trading sessions has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of March 5. (Rel. 34-55374) A proposed rule change filed by the National Association of Securities Dealers to amend the Alternative Display Facility Quotation Update Fee (SR-NASD-2007-017) 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 March 5. (Rel. 34-55379) APPROVAL OF PROPOSED RULE CHANGE A proposed rule change (SR-Phlx-2006-31) and Amendment Nos. 1, 2, and 3 thereto, filed by the Philadelphia Stock Exchange relating to electronically submitted Limit Orders has been approved pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of March 5. (Rel. 34-55375) 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-1 Sirtris Pharmaceuticals, Inc., SUITE 104, 790 MEMORIAL DRIVE, CAMBRIDGE, MA, 02139, 617-252-6920 - 0 ($60,000,000.00) Equity, (File 333-140979 - Mar. 1) (BR. 01) S-8 DEERE & CO, ONE JOHN DEERE PLACE, MOLINE, IL, 61265-8098, (309) 765-5688 - 0 ($453,600,000.00) Equity, (File 333-140980 - Mar. 1) (BR. 10A) S-8 DEERE & CO, ONE JOHN DEERE PLACE, MOLINE, IL, 61265-8098, (309) 765-5688 - 0 ($226,800,000.00) Equity, (File 333-140981 - Mar. 1) (BR. 10A) S-8 TUCOWS INC /PA/, 96 MOWAT AVENUE, TORONTO, A6, M6K 3M1, 4165350123 - 0 ($4,300,000.00) Equity, (File 333-140985 - Mar. 1) (BR. 03B) S-8 PFIZER INC, 235 E 42ND ST, NEW YORK, NY, 10017, 2125732323 - 200,000 ($5,148,000.00) Equity, (File 333-140987 - Mar. 1) (BR. 01B) S-8 ECOLAB INC, ECOLAB CORPORATE CENTER, 370 WABASHA STREET NORTH, ST PAUL, MN, 55102, 6512932233 - 0 ($48,207,500.00) Equity, (File 333-140988 - Mar. 1) (BR. 06A) S-3D PFIZER INC, 235 E 42ND ST, NEW YORK, NY, 10017, 2125732323 - 20,000,000 ($514,800,000.00) Equity, (File 333-140989 - Mar. 1) (BR. 01B) S-8 CROWN HOLDINGS INC, ONE CROWN WAY, PHILADELPHIA, PA, 19154, 2156985100 - 3,000,000 ($68,010,000.00) Equity, (File 333-140991 - Mar. 1) (BR. 06A) S-8 CROWN HOLDINGS INC, ONE CROWN WAY, PHILADELPHIA, PA, 19154, 2156985100 - 1,000,000 ($22,670,000.00) Equity, (File 333-140992 - Mar. 1) (BR. 06A) S-8 ANHEUSER-BUSCH COMPANIES, INC., ONE BUSCH PL, ST LOUIS, MO, 63118-1852, 3145772000 - 15,000,000 ($747,450,000.00) Debt, (File 333-140993 - Mar. 1) (BR. 02A) S-8 Rackable Systems, Inc., 1933 MILMONT DRIVE, MILPITAS, CA, 95035, 408-240-8300 - 1,949,702 ($34,470,731.36) Equity, (File 333-140994 - Mar. 1) (BR. 03B) S-8 ALBANY INTERNATIONAL CORP /DE/, 1373 BROADWAY, ALBANY, NY, 12204, 5184452200 - 1,000,000 ($33,950,000.00) Equity, (File 333-140995 - Mar. 1) (BR. 02C) S-8 WEYERHAEUSER CO, 33663 WEYERHAEUSER WAY SOUTH, FEDERAL WAY, WA, 98003, 2539242345 - 4,539,127 ($374,477,977.50) Equity, (File 333-140996 - Mar. 1) (BR. 06B) S-3ASR FREEPORT MCMORAN COPPER & GOLD INC, 1615 POYDRAS ST, NEW ORLEANS, LA, 70112, 5045824000 - 0 ($0.00) Other, (File 333-140997 - Mar. 1) (BR. 04A) S-8 FORD MOTOR CO, ONE AMERICAN ROAD, DEARBORN, MI, 48126, 3133223000 - 0 ($237,998,158.22) Equity, (File 333-140998 - Mar. 1) (BR. 05A) S-8 UNITED ONLINE INC, 21301 BURBANK BOULEVARD, WOODLAND HILLS, CA, 91367, 8182873000 - 0 ($83,774,122.00) Other, (File 333-140999 - Mar. 1) (BR. 03C) SB-2 Uranium Star Corp., 901 ? 141 ADELAIDE STREET WEST, TORONTO, A6, M5H 3L5, 416-364-4986 - 89,860,339 ($124,007,267.82) Equity, (File 333-141001 - Mar. 1) (BR. 04B) S-1 Storm Cat Energy CORP, 1125 SEVENTEENTH STREET, SUITE 2310, DENVER, CO, 80202, 303-991-5070 - 0 ($11,722,991.00) Equity, (File 333-141002 - Mar. 1) (BR. 04A) S-3 VCG HOLDING CORP, 390 UNION BLVD, SUITE 540, LAKEWOOD, CO, 80228, 303-934-2424 - 3,000,000 ($31,770,000.00) Equity, (File 333-141004 - Mar. 1) (BR. 05C) S-8 BANKUNITED FINANCIAL CORP, 255 ALHAMBRA CIRCLE, CORAL GABLES, FL, 33134, 3055692000 - 0 ($420,381,975.00) Equity, (File 333-141005 - Mar. 1) (BR. 07A) S-8 STERLING FINANCIAL CORP /WA/, 111 N WALL ST, SPOKANE, WA, 99201, 509-354-8165 - 0 ($18,679,390.00) Equity, (File 333-141006 - Mar. 1) (BR. 07A) S-8 ALTERA CORP, 101 INNOVATION DR, SAN JOSE, CA, 95134, 4085448000 - 11,000,000 ($235,620,000.00) Equity, (File 333-141007 - Mar. 1) (BR. 10A) S-3 ACE SECURITIES CORP, 6525 MORRISON BLVD, SUITE 318, CHARLOTTE, NC, 28211, 7043650569 - 1,000,000 ($1,000,000.00) Asset-Backed Securities, (File 333-141008 - Mar. 1) (BR. 05D) S-3ASR American Reprographics CO, 700 NORTH CENTRAL AVENUE, SUITE 550, GLENDALE, CA, 91203, 818-500-0225 - 6,515,623 ($201,137,282.01) Equity, (File 333-141009 - Mar. 1) (BR. 11B) SB-2 MH&SC, INC, 3505 CASTLEGATE COURT, LEXINGTON, KY, 40502, 889 268 6264 - 265,000 ($26,500.00) Equity, (File 333-141010 - Mar. 1) (BR. ) S-4 AHERN RENTALS INC, 4241 SOUTH ARVILLE ST, LAS VEGAS, NV, 89103, 702-362-0623 - 0 ($90,000,000.00) Debt, (File 333-141011 - Mar. 1) (BR. 06B) S-3 Nomura Home Equity Loan, Inc., 2 WORLD FINANCIAL CENTER, 21ST FLOOR, NEW YORK, NY, 10281, (212) 667-9300 - 0 ($1,000,000.00) Asset-Backed Securities, (File 333-141012 - Mar. 1) (BR. 05D) S-3ASR HONEYWELL INTERNATIONAL INC, 101 COLUMBIA RD, PO BOX 4000, MORRISTOWN, NJ, 07962, 9734552000 - 0 ($0.00) Debt, 0 ($0.00) Equity, (File 333-141013 - Mar. 1) (BR. 05C) S-3 ZIOPHARM ONCOLOGY INC, 1180 AVENUE OF THE AMERICA, 19TH FLOOR, NEW YORK, NY, 10036, 617-214-0700 - 7,269,366 ($40,199,593.98) Equity, (File 333-141014 - Mar. 1) (BR. 01C) S-4 STATE STREET CORP, STATE STREET FINANCIAL CENTER, ONE LINCOLN STREET, BOSTON, MA, 02111, 6177863000 - 0 ($4,247,600,856.00) Equity, (File 333-141015 - Mar. 1) (BR. 07B) S-8 Oculus Innovative Sciences, Inc., 1129 N. MCDOWELL BLVD., PETALUMA, CA, 94954, 707-782-0792 - 0 ($18,753,103.00) Equity, (File 333-141017 - Mar. 1) (BR. 10C) 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 ------------------------------------------------------------------------------------------------------- 3D SYSTEMS CORP DE 1.01,9.01 02/26/07 Abington Community Bancorp, Inc. PA 8.01,9.01 03/01/07 ACCESS PHARMACEUTICALS INC DE 7.01 03/01/07 ACE Securities Corp. Home Equity Loan DE 1.01,9.01 02/28/06 ACTIVE POWER INC DE 8.01 02/26/07 ACUSPHERE INC DE 8.01 03/01/07 Adjustable Rate Mortgage Trust 2007-1 DE 8.01,9.01 02/28/07 ADVOCAT INC DE 2.02,9.01 03/01/07 Affinity Group Holding, Inc. DE 1.01,9.01 02/27/07 AFFINITY GROUP INC DE 1.01,9.01 02/27/07 Agfeed Industries, Inc NV 3.02 02/28/07 AIR METHODS CORP DE 2.02 03/01/07 AIRSPAN NETWORKS INC WA 1.01,2.02,5.02,9.01 02/28/07 ALCOA INC PA 1.01,2.03,8.01,9.01 02/21/07 ALEXANDERS J CORP TN 2.02,7.01,9.01 03/01/07 ALLIANCE BANCSHARES CALIFORNIA CA 5.02 02/14/07 ALLIANCE SEMICONDUCTOR CORP /DE/ DE 8.01,9.01 02/28/07 Altus Pharmaceuticals Inc. DE 1.01,3.02,9.01 02/27/07 AMBASSADORS INTERNATIONAL INC DE 7.01,9.01 02/28/07 AMERICAN BANCORP OF NEW JERSEY INC NJ 8.01,9.01 02/28/07 AMERICAN CAMPUS COMMUNITIES INC MD 2.02,7.01,9.01 02/28/07 AMERICAN CELLULAR CORP /DE/ 9.01 10/05/06 AMEND AMERICAN CRYSTAL SUGAR CO /MN/ MN 7.01 02/28/07 AMERICAN GREETINGS CORP OH 1.01 02/26/07 AMERICAN INTERNATIONAL GROUP INC DE 2.02,9.01 03/01/07 AMERICAN INTERNATIONAL GROUP INC DE 8.01,9.01 03/01/07 American Railcar Industries, Inc./DE DE 1.01,2.03,8.01,9.01 02/28/07 AMERICAN RIVER BANKSHARES CA 7.01,9.01 02/28/07 AMERICAN SKIING CO /ME DE 1.01,2.01,9.01 02/28/07 AMERICAN WOODMARK CORP VA 8.01,9.01 03/01/07 AMICAS, Inc. DE 2.02,9.01 02/28/07 AML COMMUNICATIONS INC DE 8.01,9.01 02/26/07 AMSURG CORP TN 7.01,9.01 02/28/07 ANTHRACITE CAPITAL INC MD 1.01,9.01 02/23/07 AON CORP DE 4.02 02/26/07 APAC CUSTOMER SERVICE INC IL 5.02 02/26/07 APPLIED DIGITAL SOLUTIONS INC MO 5.02 03/01/07 APPLIED NEUROSOLUTIONS INC DE 7.01 03/01/07 APPLIED SPECTRUM TECHNOLOGIES INC MN 4.01,9.01 02/08/07 AQUILA INC DE 2.02,9.01 03/01/07 AQUILA INC DE 2.02,9.01 03/01/07 AMEND ARCH CAPITAL GROUP LTD. 7.01,8.01,9.01 02/28/07 ARENA PHARMACEUTICALS INC DE 8.01,9.01 02/26/07 Argyle Security Acquisition CORP 7.01,9.01 02/28/07 ARROW RESOURCES DEVELOPMENT INC DE 1.01,9.01 03/01/07 ARTHROCARE CORP DE 1.01,9.01 02/23/07 ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 03/01/07 ASSET ACCEPTANCE CAPITAL CORP 2.02,2.05,9.01 03/01/07 ATEL CAPITAL EQUIPMENT FUND IX LLC CA 4.01,9.01 02/05/07 AMEND ATEL CAPITAL EQUIPMENT FUND VII LP CA 4.01,9.01 02/05/07 AMEND ATEL CAPITAL EQUIPMENT FUND VIII LLC CA 4.01,9.01 02/05/07 AMEND ATEL CAPITAL EQUIPMENT FUND X LLC CA 4.01,9.01 02/05/07 AMEND ATEL Capital Equipment Fund XI, LLC CA 4.01,9.01 02/05/07 AMEND ATEL CASH DISTRIBUTION FUND V L P CA 4.01,9.01 02/05/07 AMEND ATEL CASH DISTRIBUTION FUND VI LP CA 4.01,9.01 02/05/07 AMEND ATLANTIS BUSINESS DEVELOPMENT CORP DE 5.02 02/26/07 AURIGA LABORATORIES, INC. DE 5.05,8.01,9.01 03/01/07 AUXILIUM PHARMACEUTICALS INC 5.02 02/23/07 AVOCENT CORP DE 7.01,9.01 03/01/07 AXS ONE INC DE 2.02,9.01 03/01/07 BANCORPSOUTH INC MS 7.01,8.01,9.01 03/01/07 BANK HOLDINGS NV 2.02 02/26/07 BankFinancial CORP 2.02,7.01,9.01 02/28/07 BANKRATE INC FL 7.01 02/28/07 BARE ESCENTUALS INC DE 1.01,9.01 12/19/06 BASIC EARTH SCIENCE SYSTEMS INC DE 8.01,9.01 03/01/07 BEAR STEARNS DEPOSITOR INC TRUST CERT 8.01,9.01 02/15/07 BENTLEY PHARMACEUTICALS INC DE 2.02,9.01 03/01/07 BILL BARRETT CORP 5.02 02/28/07 BLOUNT INTERNATIONAL INC DE 5.02 02/23/07 BLUEGREEN CORP MA 2.03,9.01 02/26/07 BOE FINANCIAL SERVICES OF VIRGINIA IN VA 7.01,9.01 03/01/07 BOISE CASCADE HOLDINGS, L.L.C. DE 2.02,9.01 03/01/07 BOSTON COMMUNICATIONS GROUP INC MA 4.02,8.01 02/20/07 BRANDPARTNERS GROUP INC DE 5.02,9.01 02/26/07 BROOKE CORP KS 7.01,9.01 02/27/07 BROWN FORMAN CORP DE 5.02,7.01,9.01 03/01/07 BUCKEYE PARTNERS L P DE 7.01,8.01,9.01 02/27/07 BUCKEYE TECHNOLOGIES INC DE 8.01,9.01 02/28/07 CABCO SERIES 2004-1 TRUST (GOLDMAN SA 8.01,9.01 02/15/07 CABCO SERIES 2004-101 TRUST (GOLDMAN 8.01,9.01 02/15/07 CABELAS INC DE 8.01 03/01/07 CALIFORNIA WATER SERVICE GROUP DE 7.01,9.01 02/28/07 CALIPER LIFE SCIENCES INC DE 2.02,9.01 03/01/07 CALTON INC NJ 5.02 03/01/07 Cambridge Display Technology, Inc. DE 2.02,9.01 03/01/07 CAPELLA EDUCATION CO 5.02,7.01,9.01 02/26/07 CAPITAL ONE FINANCIAL CORP DE 7.01,9.01 03/01/07 CapitalSouth Bancorp DE 8.01,9.01 02/28/07 CAPRIUS INC DE 1.01,3.02,5.02,9.01 02/23/07 CARAUSTAR INDUSTRIES INC NC 2.02,9.01 02/23/07 CARROLS CORP DE 8.01,9.01 03/01/07 CARROLS RESTAURANT GROUP, INC. 2.02,9.01 03/01/07 CATALYST SEMICONDUCTOR INC DE 2.02,9.01 03/01/07 CATCHER HOLDINGS, INC 5.02 02/18/07 CATHAY MERCHANT GROUP, INC. DE 3.01,9.01 02/27/07 CBL & ASSOCIATES PROPERTIES INC DE 2.02,9.01 12/31/06 CDI CORP PA 7.01,9.01 03/01/07 CELL GENESYS INC DE 2.02,9.01 03/01/07 Cellu Tissue Holdings, Inc. DE 1.01,9.01 02/26/07 CENTRAL EUROPEAN DISTRIBUTION CORP DE 2.02,9.01 02/28/07 CENTRAL EUROPEAN MEDIA ENTERPRISES LT 2.02,9.01 03/01/07 CENTRAL VERMONT PUBLIC SERVICE CORP VT 5.02 02/26/07 CENVEO, INC CO 7.01,9.01 02/27/07 CENVEO, INC CO 2.02 02/28/07 CHARYS HOLDING CO INC 1.01,2.03,3.02,8.01,9.01 02/14/07 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 03/01/07 CHESAPEAKE CORP /VA/ VA 8.01 03/01/07 CHINA SHEN ZHOU MINING & RESOURCES, I NV 4.01,9.01 02/27/07 CIENA CORP DE 2.02,9.01 03/01/07 CINCINNATI FINANCIAL CORP OH 7.01,9.01 02/28/07 CIRCUIT RESEARCH LABS INC AZ 5.02 03/01/07 CITADEL BROADCASTING CORP DE 2.02,9.01 03/01/07 CITIGROUP INC DE 5.02,9.01 02/23/07 CITIZENS COMMUNICATIONS CO DE 8.01,9.01 03/01/07 CITY HOLDING CO WV 5.02,5.03,8.01,9.01 02/28/07 CITY HOLDING CO WV 8.01,9.01 03/01/07 CITY NATIONAL CORP DE 5.02 02/26/07 CKX, Inc. DE 4.02 02/26/07 CLEAR CHOICE FINANCIAL, INC. NV 1.01,1.02,9.01 02/23/07 CLEARONE COMMUNICATIONS INC UT 8.01 03/01/07 CLIFTON SAVINGS BANCORP INC 8.01,9.01 03/01/07 CLYVIA INC NV 9.01 06/16/05 AMEND CNB CORP /MI/ MI 4.01 02/22/07 AMEND CNL INCOME PROPERTIES INC MD 5.02 02/23/07 CNX Gas CORP DE 5.02 02/23/07 COACTIVE MARKETING GROUP INC DE 3.01 02/16/07 Coastal Bancshares Acquisition Corp. 8.01 02/26/07 COASTAL BANKING CO INC SC 2.02,9.01 02/28/07 Cobalis Corp NV 5.03,8.01,9.01 03/01/07 Coleman Cable, Inc. DE 8.01,9.01 02/28/07 COMFORT SYSTEMS USA INC 2.02,8.01,9.01 02/28/07 COMMONWEALTH TELEPHONE ENTERPRISES IN PA 8.01,9.01 03/01/07 Compass Diversified Trust DE 8.01,9.01 02/28/07 COMPUDYNE CORP NV 1.02,5.02 02/28/07 CONCENTRA OPERATING CORP NV 1.01 02/27/07 CONCEPTUS INC DE 1.01,8.01,9.01 02/27/07 CONSTELLATION BRANDS, INC. DE 7.01,9.01 03/01/07 CONSUMERS FINANCIAL CORP PA 4.01,9.01 02/21/07 COOPER TIRE & RUBBER CO DE 2.02,9.01 03/01/07 COOPERATIVE BANKSHARES INC NC 8.01,9.01 03/01/07 Cord Blood America, Inc. FL 1.01,8.01,9.01 02/23/07 CORNERSTONE BANCSHARES INC TN 8.01,9.01 02/28/07 CORRECTIONS CORP OF AMERICA MD 8.01,9.01 03/01/07 CREDENCE SYSTEMS CORP DE 2.02,9.01 03/01/07 CRESCENT REAL ESTATE EQUITIES CO TX 4.02 02/28/07 CRESCENT REAL ESTATE EQUITIES CO TX 2.02,5.02,7.01,8.01,9.01 03/01/07 CRONOS GROUP 8.01,9.01 02/28/07 CROSSTEX ENERGY INC DE 2.02,9.01 03/01/07 CROSSTEX ENERGY LP DE 2.02,9.01 03/01/07 CSK AUTO CORP DE 3.01,9.01 02/26/07 CT COMMUNICATIONS INC /NC NC 2.02,9.01 03/01/07 CUMULUS MEDIA INC DE 2.02,9.01 03/01/07 CWALT INC DE 9.01 03/01/07 CYBERONICS INC DE 2.02,9.01 02/23/07 DANA CORP VA 1.01,2.06,9.01 02/23/07 DDI CORP CA 2.02,9.01 03/01/07 DEL MONTE FOODS CO DE 2.02,7.01,9.01 03/01/07 DELL INC DE 2.02,3.01,8.01,9.01 02/28/07 DELTATHREE INC DE 2.02,9.01 03/01/07 DESTINY MEDIA TECHNOLOGIES INC CO 3.02,9.01 02/26/07 Dex Media, Inc./new DE 2.02,9.01 03/01/07 DIALYSIS CORP OF AMERICA FL 2.02,9.01 02/28/07 DIGITAL RECORDERS INC NC 1.01,5.02 02/23/07 DigitalTown, Inc. MN 5.03,9.01 03/01/07 DISCOVER CARD MASTER TRUST I DE 8.01 02/28/07 Discovery Holding CO DE 2.02 02/28/07 DNB FINANCIAL CORP /PA/ PA 8.01,9.01 03/01/07 DONALDSON CO INC DE 8.01,9.01 03/01/07 DRESS BARN INC CT 7.01,9.01 02/28/07 DREW INDUSTRIES INC DE 5.02,9.01 07/18/06 DYCOM INDUSTRIES INC FL 5.02 02/26/07 DYNAMICS RESEARCH CORP MA 2.02,9.01 02/28/07 Eagle Hospitality Properties Trust, I MD 8.01,9.01 02/28/07 EASTMAN KODAK CO NJ 5.02,9.01 02/27/07 EASYLINK SERVICES CORP DE 2.02,9.01 03/01/07 ENCORE CAPITAL GROUP INC DE 7.01,9.01 03/01/07 ENDURANCE SPECIALTY HOLDINGS LTD 8.01 03/01/07 ENERGY EAST CORP NY 2.02,7.01,9.01 02/28/06 ENERGY PARTNERS LTD DE 2.02 03/01/07 ENSCO INTERNATIONAL INC DE 5.02,9.01 02/28/07 Enstar Group LTD D0 2.01,9.01 02/23/07 ENTERPRISE FINANCIAL SERVICES CORP DE 1.01,3.02,7.01,9.01 02/26/07 EQUIFAX INC GA 5.02,9.01 03/01/07 ETRIALS WORLDWIDE INC. 2.02,9.01 02/28/07 Ever-Glory International Group, Inc. FL 2.01,9.01 12/30/06 AMEND EVERGREEN ENERGY INC DE 2.02,5.02,9.01 03/01/07 EXPRESS SCRIPTS INC DE 1.01,9.01 02/22/07 EXPRESSJET HOLDINGS INC DE 8.01,9.01 03/01/07 FAIR ISAAC CORP DE 5.02,5.03,9.01 02/23/07 FALCON NATURAL GAS CORP 1.01,3.02,9.01 01/27/07 FARO TECHNOLOGIES INC FL 2.02,7.01,9.01 03/01/07 FCB Bancorp CA 2.02,8.01,9.01 02/28/07 Federal Home Loan Bank of Atlanta X1 2.03 02/26/07 Federal Home Loan Bank of Boston X1 2.03 02/26/07 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 02/26/07 Federal Home Loan Bank of Des Moines X1 2.03,9.01 02/26/07 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 02/26/07 Federal Home Loan Bank of New York X1 2.03,9.01 02/26/07 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 02/26/07 Federal Home Loan Bank of San Francis X1 2.03 02/27/07 Federal Home Loan Bank of Seattle 2.03 03/01/07 FINANCIAL INDUSTRIES CORP TX 5.02,9.01 02/26/07 FIRST AMERICAN CORP CA 2.02,9.01 03/01/07 FIRST BANCORP /NC/ NC 7.01,9.01 02/28/07 FIRST BANCSHARES INC /MO/ MO 8.01,9.01 03/01/07 FIRST BUSEY CORP /NV/ NV 8.01,9.01 02/28/06 FIRST FINANCIAL SERVICE CORP KY 7.01,9.01 02/27/07 FIRST MIDWEST BANCORP INC DE 7.01,9.01 03/01/07 FIRST PACTRUST BANCORP INC MD 8.01 03/01/07 FIRST SOLAR, INC. DE 5.02,9.01 03/01/07 FIVE STAR QUALITY CARE INC 2.02,9.01 03/01/07 FLIR SYSTEMS INC OR 4.02,9.01 02/26/07 FLUOR CORP DE 2.02,9.01 03/01/07 FLUSHING FINANCIAL CORP DE 5.02,9.01 02/27/07 FLUSHING FINANCIAL CORP DE 8.01,9.01 02/27/07 FOCUS ENHANCEMENTS INC DE 2.02,7.01,9.01 03/01/07 FORD MOTOR CO DE 8.01,9.01 03/01/07 FORGENT NETWORKS INC DE 9.01 03/01/07 FORTUNE BRANDS INC DE 5.02,9.01 02/26/07 FOSTER WHEELER LTD D0 5.02,9.01 02/27/07 FOUR OAKS FINCORP INC NC 5.02 02/23/07 FREEPORT MCMORAN COPPER & GOLD INC DE 7.01 03/01/07 Fresh Harvest Products, Inc. 2.03,3.02,9.01 02/26/07 FREZER, INC. NV 1.01,3.02,9.01 02/27/07 FULTON FINANCIAL CORP PA 7.01,8.01,9.01 03/01/07 GALAXY ENERGY CORP CO 1.01,9.01 12/29/06 AMEND GAMMACAN INTERNATIONAL INC DE 3.02,9.01 02/27/07 GAP INC DE 2.02,9.01 03/01/07 GASCO ENERGY INC NV 2.02,9.01 02/28/07 GASCO ENERGY INC NV 7.01,9.01 02/28/07 GateHouse Media, Inc. DE 1.01,2.01,9.01 02/28/07 GateHouse Media, Inc. DE 1.01,2.03,9.01 02/27/07 GEHL CO WI 5.02,9.01 02/23/07 GENERAL MARITIME CORP/ 7.01,9.01 03/01/07 GENERAL MOTORS CORP DE 8.01 03/01/07 GENERAL MOTORS CORP DE 8.01 03/01/07 GERON CORP DE 8.01,9.01 02/26/07 GEVITY HR INC FL 7.01 03/01/07 GLIMCHER REALTY TRUST MD 1.01 02/23/07 GLOBAL INDUSTRIES LTD LA 2.02,9.01 02/28/07 GlobalOptions Group, Inc. DE 1.01,2.01,9.01 02/28/07 GlobalOptions Group, Inc. DE 1.01,2.01,3.02,9.01 02/28/07 GMX RESOURCES INC OK 2.02,9.01 02/26/07 Goodman Global Inc 2.02,9.01 03/01/07 GREAT AMERICAN FINANCIAL RESOURCES IN DE 5.02,9.01 03/01/07 GREAT PLAINS ENERGY INC MO 8.01,9.01 03/01/07 GREAT SOUTHERN BANCORP INC MD 8.01,9.01 02/23/07 Great Wolf Resorts, Inc. DE 2.02,9.01 02/28/07 GREEN MOUNTAIN POWER CORP VT 1.01,8.01,9.01 03/01/07 GREEN PLAINS RENEWABLE ENERGY, INC. IA 5.02,9.01 03/01/07 GRYPHON GOLD CORP NV 7.01,9.01 03/01/07 Guidance Software, Inc. DE 5.03,9.01 02/28/07 Hana Biosciences Inc DE 5.02 02/23/07 HANDLEMAN CO /MI/ MI 1.01,8.01,9.01 02/26/07 HANSEN NATURAL CORP DE 8.01 02/26/07 Harris Stratex Networks, Inc. DE 1.01 02/23/07 HARVARD BIOSCIENCE INC DE 2.02,9.01 03/01/07 HEALTHSOUTH CORP DE 2.02,9.01 03/01/07 HERITAGE BANKSHARES INC /VA VA 8.01,9.01 03/01/07 HERSHA HOSPITALITY TRUST MD 2.02,9.01 02/28/07 HERTZ CORP DE 7.01,9.01 02/28/07 HERTZ GLOBAL HOLDINGS INC 7.01,9.01 02/28/07 HMS HOLDINGS CORP 2.02,9.01 02/28/07 Home Equity Loan Asset Backed Certifi 8.01,9.01 02/27/07 Home Equity Loan Asset Backed Certifi 9.01 02/28/07 HORIZON OFFSHORE INC DE 2.02,9.01 02/28/07 Hughes Communications, Inc. DE 1.01,9.01 02/28/07 Hughes Network Systems, LLC DE 1.01,9.01 02/28/07 HYDROGEN ENGINE CENTER, INC. NV 9.01 03/01/07 HYPERION SOLUTIONS CORP DE 1.01,3.03,8.01,9.01 02/28/07 I2 TELECOM INTERNATIONAL INC WA 1.01,3.02,9.01 03/01/07 IA GLOBAL INC DE 2.02,9.01 03/01/07 IBERIABANK CORP LA 8.01 03/01/07 ICAGEN INC DE 2.02,9.01 03/01/07 ID SYSTEMS INC DE 2.02,9.01 03/01/07 ILX RESORTS INC AZ 1.01,9.01 02/26/07 IMERGENT INC DE 7.01 02/28/07 IMMERSION CORP DE 2.02,9.01 03/01/07 IMMERSION CORP DE 1.01,9.01 02/28/07 IMPART MEDIA GROUP INC NV 8.01 03/01/07 INDYMAC BANCORP INC DE 7.01,9.01 03/01/07 INGRAM MICRO INC DE 7.01 02/28/07 INPUT OUTPUT INC DE 2.02,9.01 02/28/07 INSIGHTFUL CORP DE 2.02,9.01 03/01/07 INTERNATIONAL ASSETS HOLDING CORP DE 8.01 02/26/07 AMEND INTERPLAY ENTERTAINMENT CORP DE 8.01 02/22/07 INTERSECTIONS INC DE 2.02,9.01 02/28/07 INTERVOICE INC TX 8.01,9.01 02/24/07 J P MORGAN CHASE & CO DE 9.01 02/27/07 JOURNAL COMMUNICATIONS INC 2.01,9.01 02/26/07 KAMAN CORP CT 2.02,9.01 03/01/07 KANA SOFTWARE INC DE 2.02,9.01 03/01/07 KAPSTONE PAPER & PACKAGING CORP DE 8.01,9.01 03/01/07 KEWAUNEE SCIENTIFIC CORP /DE/ DE 2.02,9.01 02/28/07 KINDER MORGAN INC KS 1.01,7.01,9.01 02/26/07 KNOLL INC DE 7.01,9.01 02/28/07 KOHLS CORPORATION WI 2.02,7.01,9.01 03/01/07 LA JOLLA PHARMACEUTICAL CO DE 2.02 03/01/07 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 03/01/07 LABORATORY CORP OF AMERICA HOLDINGS DE 8.01 03/01/07 LAUREATE EDUCATION, INC. MD 2.02,4.02,9.01 02/28/07 LEADIS TECHNOLOGY INC DE 8.01,9.01 03/01/07 LEAPFROG ENTERPRISES INC 2.02,9.01 03/01/07 LEARNING TREE INTERNATIONAL INC DE 1.01,9.01 02/28/07 LEHMAN ABS CORP AT&T WIRELESS SERV NO DE 8.01,9.01 02/13/07 LEHMAN ABS CORP BELLSOUTH CAPITAL FUN DE 8.01 02/27/07 LEHMAN ABS CORP BELLSOUTH DEB BCKD SE DE 8.01,9.01 02/14/07 LEHMAN ABS CORP BELLSOUTH DEBT- BACKE DE 8.01 02/27/07 LEHMAN ABS CORP ROYAL & SUN ALLIANCE DE 8.01,9.01 02/21/07 LEHMAN BROTHERS HOLDINGS INC DE 9.01 02/23/07 LHC Group, Inc 2.02,9.01 02/28/07 LIBERTY DIVERSIFIED HOLDINGS INC NV 4.01 02/27/07 Liberty Global, Inc. 2.02,8.01 02/28/07 Liberty Global, Inc. 2.02 03/01/07 Liberty Global, Inc. 2.02 03/01/07 LIBERTY MEDIA CORP 2.02 02/28/07 LIBERTY MEDIA LLC 2.02 02/28/07 LIFECELL CORP DE 2.02,9.01 03/01/07 LIMITED BRANDS INC DE 2.02,7.01 02/28/07 Live Nation, Inc. DE 2.02,9.01 03/01/07 LODGIAN INC DE 2.02,9.01 03/01/07 LONGS DRUG STORES CORP MD 7.01,9.01 03/01/07 LUCAS ENERGY, INC. NV 2.01,9.01 02/24/07 LUMINEX CORP DE 1.01,2.01,9.01 03/01/07 MAC-GRAY CORP DE 2.02,9.01 03/01/07 MAGELLAN MIDSTREAM HOLDINGS LP 2.02,9.01 02/28/07 MAGELLAN MIDSTREAM PARTNERS LP DE 2.02,9.01 02/28/07 MAIN STREET TRUST INC IL 8.01,9.01 02/28/07 MAINE & MARITIMES CORP ME 8.01,9.01 03/01/07 MAKEMUSIC, INC. MN 5.02,9.01 02/26/07 MANITOWOC CO INC WI 5.02,9.01 02/27/07 MASSEY ENERGY CO DE 2.02,9.01 01/25/07 AMEND MATRITECH INC/DE/ DE 1.01,9.01 02/28/07 MAXWELL TECHNOLOGIES INC DE 5.02,9.01 03/01/07 MDI, INC. DE 1.01,8.01,9.01 02/28/07 MEDIACOM COMMUNICATIONS CORP DE 5.02 02/23/07 MEDIALINK WORLDWIDE INC DE 8.01,9.01 02/23/07 MEDIFAST INC DE 5.02 03/01/07 MEDTOX SCIENTIFIC INC DE 2.02,9.01 02/27/07 MERRILL LYNCH & CO INC DE 8.01,9.01 03/01/07 MERRILL LYNCH MORTGAGE INVESTORS TRUS DE 2.01,9.01 02/28/07 MESA OFFSHORE TRUST TX 7.01,9.01 03/01/07 METROMEDIA INTERNATIONAL GROUP INC DE 1.01,9.01 02/15/07 MGI PHARMA INC MN 2.02,4.02,9.01 02/27/07 MHI Hospitality CORP MD 2.02,9.01 02/28/07 MICREL INC CA 5.02 02/23/07 MIDAS INC DE 2.02 03/01/07 MIDDLESEX WATER CO NJ 8.01 03/01/07 MONSANTO CO /NEW/ DE 1.01,1.02,2.03,9.01 03/01/07 MS STRUCTURED ASSET CORP CBT SERIES 2 DE 8.01,9.01 02/26/07 MS Structured SATURNS Series 2007-1 DE 9.01 03/01/07 MSCC HELOC Trust 2007-1 DE 1.01 02/27/07 MUNICIPAL MORTGAGE & EQUITY LLC DE 1.01,2.03,9.01 02/23/07 MYERS INDUSTRIES INC OH 5.02 02/28/07 NASH FINCH CO DE 2.02,9.01 03/01/07 NASH FINCH CO DE 5.02,9.01 03/01/07 NASH FINCH CO DE 5.02 03/01/07 NASTECH PHARMACEUTICAL CO INC DE 5.02 02/06/07 AMEND NATCO GROUP INC DE 2.02,7.01,9.01 02/28/07 NATIONAL DATACOMPUTER INC DE 1.01,2.01,3.02,5.01,9.01 01/23/07 AMEND NATIONAL DATACOMPUTER INC DE 1.01,2.01,3.02,5.01,9.01 01/23/07 AMEND National Investment Managers Inc. FL 1.01,3.02,9.01 02/27/07 NATIONAL PENN BANCSHARES INC PA 5.02,5.03,9.01 02/28/07 NATIONAL PRESTO INDUSTRIES INC WI 8.01 02/26/07 NATURAL GAS SERVICES GROUP INC 2.02,9.01 03/01/07 NAVISTAR INTERNATIONAL CORP DE 7.01,9.01 03/01/07 NCI BUILDING SYSTEMS INC DE 2.02,9.01 02/28/07 Neenah Paper Inc DE 2.01,9.01 03/01/07 Neenah Paper Inc DE 1.01,2.03 03/01/07 NESS TECHNOLOGIES INC 5.02,9.01 03/01/07 NETWORK ENGINES INC DE 5.02 02/26/07 New Life Scientific, Inc. 5.02 02/23/07 NEWFIELD EXPLORATION CO /DE/ DE 9.01 02/14/07 AMEND NewGen Technologies, Inc NV 1.01 02/28/07 NewPage Holding CORP DE 2.02,9.01 03/01/07 NEWS CORP 8.01,9.01 03/01/07 NEXSTAR BROADCASTING GROUP INC DE 2.02,9.01 03/01/07 NISOURCE INC/DE DE 7.01,9.01 03/01/07 NITRO PETROLEUM INC. 5.02,8.01,9.01 01/31/07 NITROMED INC DE 1.01 02/23/07 NN INC DE 2.02,9.01 02/28/07 NOBLE INTERNATIONAL, LTD. DE 7.01,9.01 03/01/07 NORDSON CORP OH 2.01,9.01 12/14/06 AMEND NORTHSTAR REALTY 1.01,7.01,9.01 02/23/07 NORTHWESTERN CORP DE 8.01,9.01 03/01/07 NOVA BIOSOURCE FUELS, INC. NV 5.03,9.01 02/26/07 Novelis Inc. A6 2.02,9.01 03/01/07 NOVELL INC DE 2.02,9.01 01/31/07 NOVEN PHARMACEUTICALS INC DE 2.02 03/01/07 NOVINT TECHNOLOGIES INC DE 3.03,5.03,9.01 02/14/07 NTELOS HOLDINGS CORP 2.02,9.01 03/01/07 NUWAY MEDICAL INC DE 3.02,9.01 02/23/07 O REILLY AUTOMOTIVE INC MO 2.02 12/31/06 O2 SECURE WIRELESS, INC. GA 5.02,9.01 03/01/07 OAKLEY INC WA 5.02 03/01/07 OLIN CORP VA 8.01,9.01 02/28/07 OMNIVISION TECHNOLOGIES INC DE 2.02,8.01,9.01 03/01/07 OneBeacon Insurance Group, Ltd. D0 2.02,9.01 02/02/07 AMEND OSI RESTAURANT PARTNERS, INC. DE 7.01,9.01 03/01/07 Ottawa Savings Bancorp, Inc. X1 8.01 02/23/07 OWENS MORTGAGE INVESTMENT FUND A CALI CA 1.01,2.03 03/01/07 Pacific Ethanol, Inc. DE 2.02,9.01 03/01/07 Panglobal Brands Inc. DE 3.02,7.01,9.01 02/27/07 Paradigm Holdings, Inc WY 1.01,2.01,7.01,9.01 02/23/07 PARTNERS TRUST FINANCIAL GROUP INC 7.01 03/01/07 PATCH INTERNATIONAL INC/CN NV 3.02,9.01 02/27/07 Patient Safety Technologies, Inc DE 2.03,9.01 09/19/06 AMEND PATTERSON UTI ENERGY INC DE 5.02,9.01 02/28/07 PAULSON CAPITAL CORP OR 8.01,9.01 02/28/07 PEDIATRIX MEDICAL GROUP INC FL 2.02,4.02,8.01,9.01 02/27/07 PEPCO HOLDINGS INC DE 2.02,9.01 03/01/07 Permanent Master Issuer plc 9.01 03/01/07 PFF BANCORP INC DE 8.01,9.01 02/28/07 PharmaNet Development Group Inc DE 2.02,9.01 03/01/07 PINNACLE ENTERTAINMENT INC DE 2.02,9.01 03/01/07 PLUG POWER INC DE 2.02,9.01 03/01/07 PLUG POWER INC DE 5.02,9.01 02/28/07 PMC SIERRA INC DE 5.02,9.01 02/23/07 POINT THERAPEUTICS INC DE 8.01,9.01 03/01/07 PORTLAND GENERAL ELECTRIC CO /OR/ OR 2.02,9.01 02/28/07 POSSIS MEDICAL INC MN 5.03,9.01 02/28/07 POWELL INDUSTRIES INC NV 5.02,8.01,9.01 02/23/07 PRG SCHULTZ INTERNATIONAL INC GA 2.02,9.01 02/28/07 PRIDE INTERNATIONAL INC DE 2.02,9.01 03/01/07 PRINCETON REVIEW INC DE 5.02,8.01 02/23/07 PROTALEX INC DE 1.01 02/26/07 PUBLIC SERVICE ENTERPRISE GROUP INC NJ 7.01,9.01 03/01/07 PUBLIX SUPER MARKETS INC FL 2.02,9.01 03/01/07 QUEST RESOURCE CORP NV 5.02,9.01 02/24/07 R H DONNELLEY CORP DE 2.02,9.01 03/01/07 RAE SYSTEMS INC DE 2.02,9.01 02/28/07 RAE SYSTEMS INC DE 7.01,9.01 02/28/07 RALI Series 2006-QO8 Trust DE 8.01,9.01 02/28/07 RALI Series 2007-QO2 Trust DE 8.01,9.01 02/27/07 READERS DIGEST ASSOCIATION INC DE 8.01,9.01 03/01/07 REALOGY CORP DE 2.02,7.01,9.01 03/01/07 REGENT COMMUNICATIONS INC DE 1.01,2.03,9.01 02/23/07 RENOVIS INC DE 2.02,9.01 03/01/07 RESMED INC DE 5.03,9.01 02/23/07 ROLLINS INC DE 5.02,9.01 02/26/07 RPC INC DE 5.02 02/26/07 RTW INC /MN/ MN 2.02,5.02,9.01 02/28/07 S&T BANCORP INC PA 4.01 03/01/07 AMEND S1 CORP /DE/ DE 2.02,9.01 03/01/07 SCHAWK INC DE 2.02 03/01/07 SCIENTIFIC GAMES CORP DE 2.02,9.01 03/01/07 SCO GROUP INC DE 2.02,9.01 03/01/07 SEARS HOLDINGS CORP DE 2.02,7.01,9.01 03/01/07 Securitized Asset Backed Receivables 8.01,9.01 01/30/07 Securitized Asset Backed Receivables 8.01,9.01 01/30/07 SEPRACOR INC /DE/ DE 5.02 03/01/07 SERVICEMASTER CO DE 2.03 03/01/07 SHENANDOAH TELECOMMUNICATIONS CO/VA/ VA 5.02 02/19/07 ShengdaTech, Inc. 5.02,5.03,5.05,9.01 02/23/07 Shire plc 8.01,9.01 02/27/07 SI Financial Group, Inc. X1 2.02,9.01 02/28/07 SIENA TECHNOLOGIES, INC. NV 1.01,2.03,3.02,9.01 02/26/07 SIGMA DESIGNS INC CA 8.01 02/20/07 SIMMONS CO DE 5.02 02/25/07 SIMON PROPERTY GROUP INC /DE/ DE 8.01,9.01 03/01/07 SLM CORP DE 4.02 03/01/07 SMITHFIELD FOODS INC VA 2.02,9.01 03/01/07 SOMERSET HILLS BANCORP NJ 8.01,9.01 03/01/07 SOUTH DAKOTA SOYBEAN PROCESSORS LLC 7.01,9.01 03/01/07 SOUTHERN UNION CO DE 7.01,9.01 02/28/07 SOUTHERN UNION CO DE 2.02,7.01,9.01 03/01/07 SOUTHWEST WATER CO DE 8.01,9.01 03/01/07 SOUTHWESTERN ENERGY CO AR 7.01 03/01/07 SOUTHWESTERN ENERGY CO AR 5.02 02/26/07 SOUTHWESTERN ENERGY CO AR 4.01 02/26/07 SOVRAN ACQUISITION LTD PARTNERSHIP MD 5.02,9.01 03/01/07 SOVRAN SELF STORAGE INC MD 5.02,9.01 03/01/07 SPEAKING ROSES INTERNATIONAL INC NV 3.02 02/23/07 SS&C TECHNOLOGIES INC DE 2.02,9.01 02/28/07 ST JUDE MEDICAL INC MN 5.02,7.01 02/27/07 STANDARD MANAGEMENT CORP IN 1.01,2.03,3.02,5.01,5.02,9.01 02/20/07 STAPLES INC DE 2.02,9.01 03/01/07 STAR SCIENTIFIC INC DE 8.01,9.01 02/26/07 STEEL TECHNOLOGIES INC KY 1.01,3.03,8.01,9.01 02/28/07 STEINER LEISURE LTD C5 2.02 12/31/06 STEINWAY MUSICAL INSTRUMENTS INC DE 2.02,9.01 03/01/07 STERLING CHEMICALS INC DE 7.01 03/01/07 STIFEL FINANCIAL CORP DE 2.01,3.02,8.01,9.01 02/28/07 STRATEGIC HOTELS & RESORTS, INC 2.02,9.01 02/28/07 STRATIVATION, INC. DE 1.01,9.01 02/23/07 Sub-Urban Brands, Inc. NV 1.01,2.03,3.02,4.01,9.01 01/22/07 SUN-TIMES MEDIA GROUP INC DE 8.01,9.01 02/28/07 SUN-TIMES MEDIA GROUP INC DE 4.02 03/01/07 SUNTRUST BANKS INC GA 8.01,9.01 01/19/07 AMEND SUPERIOR BANCORP DE 8.01,9.01 03/01/07 SUPPORTSOFT INC DE 5.02 02/26/07 SUREWEST COMMUNICATIONS CA 8.01,9.01 02/28/07 SYNAGRO TECHNOLOGIES INC DE 2.02,9.01 02/28/07 SYNTEC BIOFUEL INC WA 2.03 02/26/07 Synthenol Inc FL 2.03 02/26/07 SYNTROLEUM CORP DE 8.01,9.01 02/28/07 AMEND TARGETED GENETICS CORP /WA/ WA 8.01,9.01 02/28/07 TASTY BAKING CO PA 2.02,5.02,9.01 03/01/07 TCF FINANCIAL CORP DE 5.03,9.01 02/26/07 TD AMERITRADE HOLDING CORP DE 5.03 02/27/07 TECUMSEH PRODUCTS CO MI 5.03,8.01,9.01 02/28/07 TELEFLEX INC DE 2.02,9.01 02/28/07 TELEFLEX INC DE 7.01,9.01 03/01/07 TELEPHONE & DATA SYSTEMS INC /DE/ DE 2.02,8.01,9.01 03/01/07 TENNECO INC DE 5.02,9.01 02/28/07 THERMO FISHER SCIENTIFIC INC. DE 5.02 03/01/07 THORATEC CORP CA 8.01,9.01 03/01/07 TODCO DE 7.01,9.01 02/28/07 TODCO DE 2.02,9.01 03/01/07 TODCO DE 5.03,9.01 02/26/07 TRANS WORLD ENTERTAINMENT CORP NY 2.02,7.01,9.01 03/01/07 TRANS-INDIA ACQUISITION CORP DE 8.01,9.01 02/14/07 TRANSACTION SYSTEMS ARCHITECTS INC DE 2.02,5.03,7.01,9.01 02/23/07 TRANSCEND SERVICES INC DE 1.01,9.01 10/30/06 AMEND TRB SYSTEMS INTERNATIONAL INC DE 3.01 02/28/07 TRI VALLEY CORP DE 3.02,5.02,9.01 02/27/07 TRICO MARINE SERVICES INC DE 2.02,9.01 03/01/07 TRUSTMARK CORP MS 7.01,9.01 03/01/07 TVI CORP MD 2.02,9.01 03/01/07 TYLER TECHNOLOGIES INC DE 2.02 02/28/07 U-Store-It Trust MD 4.02,9.01 02/27/07 UBRANDIT COM NV 5.03 02/09/07 UC Hub Group Inc NV 1.01,2.03,3.02 02/23/07 UGI CORP /PA/ PA 5.02,9.01 02/27/07 UNIGENE LABORATORIES INC DE 8.01,9.01 02/27/07 UNITED BANKSHARES INC/WV WV 8.01,9.01 03/01/07 UNITED STATES CELLULAR CORP DE 2.02,8.01,9.01 03/01/07 UNITED SURGICAL PARTNERS INTERNATIONA DE 2.02,9.01 02/28/07 UNIVERSAL HEALTH SERVICES INC DE 2.02,9.01 02/28/07 UNIVEST CORP OF PENNSYLVANIA PA 8.01,9.01 02/28/07 Uranium Star Corp. NV 8.01,9.01 02/19/07 US CONCRETE INC DE 5.02,9.01 02/23/07 US DRY CLEANING CORP DE 9.01 02/15/07 AMEND VALASSIS COMMUNICATIONS INC DE 8.01,9.01 02/28/07 VALHI INC /DE/ DE 7.01,9.01 02/28/07 VeriFone Holdings, Inc. DE 2.02,9.01 03/01/07 VERISIGN INC/CA DE 8.01 03/01/07 Viacom Inc. DE 2.02,9.01 03/01/07 Voyager Petroleum, Inc. NV 5.02 02/25/07 Vyteris Holdings (Nevada), Inc. NV 1.01,9.01 02/23/07 WEST MARINE INC DE 2.02,9.01 03/01/07 WESTINGHOUSE AIR BRAKE TECHNOLOGIES C DE 1.01 02/23/07 WESTLAKE CHEMICAL CORP 5.02,9.01 02/23/07 WHITNEY HOLDING CORP LA 7.01,9.01 03/01/07 WILLIAM LYON HOMES DE 2.02,9.01 02/28/07 WILLIAMS COMPANIES INC DE 5.02,9.01 02/25/07 WILLIAMS COMPANIES INC DE 1.01,9.01 02/23/07 WILSONS THE LEATHER EXPERTS INC MN 5.02 02/23/07 WINDSTREAM CORP DE 1.01,2.03,9.01 02/27/07 WINMARK CORP MN 1.01 02/27/07 WORLD FUEL SERVICES CORP FL 2.02,7.01,9.01 03/01/07 WRIGLEY WM JR CO DE 8.01,9.01 02/26/07 WSI INDUSTRIES, INC. MN 5.02,9.01 02/23/07 YELLOWCAKE MINING INC. NV 3.02,9.01 02/28/07 YORK WATER CO PA 2.02,9.01 03/01/07 ZION OIL & GAS INC DE 1.01,8.01,9.01 02/28/07