SEC NEWS DIGEST Issue 2007-70 April 12, 2007 COMMISSION ANNOUNCEMENTS STATEMENT OF THE SECURITIES AND EXCHANGE COMMISSION ON THE DEATH OF FORMER COMMISSIONER JAMES J. NEEDHAM The Commission released the following statement on the death of former Commissioner James J. Needham: STATEMENT OF THE SECURITIES AND EXCHANGE COMMISSION April 12, 2007 Christopher Cox, Chairman Paul S. Atkins Roel C. Campos Annette L. Nazareth Kathleen L. Casey The Commission notes with great sadness the death on Friday, April 6th, of James J. Needham, who served as a Commissioner from July 10, 1969, to July 14, 1972. Mr. Needham was the first Commissioner who had been a practicing public accountant, and he often spoke of the need to make improvements in accounting principles, procedures, practices and financial reporting. He was particularly active in the areas relating to the structure and composition of the securities markets, and he was a strong proponent of fully automated markets. He frequently spoke about the need for vigorous self-regulation in the securities industry, subject to appropriate federal oversight. He was also a strong advocate for adequate Commission resources. His contributions to the public interest and the objectives of securities regulation will be long remembered. The Commission and its staff extend their deepest sympathy to Mr. Needham's family and his many friends. (Press Rel. 2007-65) STATEMENT OF THE SECURITIES AND EXCHANGE COMMISSION ON THE DEATH OF FORMER COMMISSIONER J. CARTER BEESE, JR. The Commission released the following statement on the death of former Commissioner J. Carter Beese, Jr.: STATEMENT OF THE SECURITIES AND EXCHANGE COMMISSION April 12, 2007 Christopher Cox, Chairman Paul S. Atkins Roel C. Campos Annette L. Nazareth Kathleen L. Casey The Commission notes with great sadness the death on Sunday, April 8th, of J. Carter Beese, Jr., who served as a Commissioner from March 10, 1992, to Nov. 14, 1994. While at the SEC, Mr. Beese was a strong voice for market-based solutions to securities regulatory issues. He chaired the SEC's Auditor's Oversight Roundtable and was particularly active in the areas of international markets, derivatives products, corporate governance and 401(k) employee benefits. As a Commissioner, he testified before the U.S. Congress on regulatory issues, including regulation of derivatives activities (October 1993) before the Senate Committee on Banking, Finance, and Urban Affairs, and development of a secondary market for commercial loans (June 1994) before the House Telecommunications and Finance Committee. His contributions to the public interest and the objectives of securities regulation will be long remembered. Through his warmth, thoughtfulness, and affability, he won the affection and esteem of all who knew him. The Commission and its staff extend their deepest sympathy to Mr. Beese's family and his many friends. (Press Rel. 2007-66) COMMISSION MEETINGS CLOSED MEETING - THURSDAY, APRIL 19, 2007 - 2:00 P.M. The subject matter of the closed meeting scheduled for Thursday, April 19, will be: Formal orders of investigations; Institution and settlement of injunctive actions; Institution and settlement of administrative proceedings of an enforcement nature; Litigation matters; and Other matters related to enforcement proceedings. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551-5400. ENFORCEMENT PROCEEDINGS SEC OBTAINS TEMPORARY RESTRAINING ORDER AND ASSET FREEZE AGAINST NOVUS TECHNOLOGIES, LLC, RCH2, LLC, ROBERT CASEY HALL, RALPH W. THOMPSON AND DUANE C. JOHNSON. COURT ORDERS FREEZE ON THE ASSETS OF US VENTURES, LC, US VENTURES INTERNATIONAL, LLC, ONLINE STRATEGIES, INC., DAVID STORY AND ROBERT L. HOLLOWAY The Commission has obtained an order temporarily restraining Novus Technologies, LLC, Ralph W. Thompson, Jr., Duane C. Johnson, RCH2, LLC, and Robert Casey Hall, from making unregistered fraudulent offers, sales and purchases of securities. The Court also temporarily restrained Hall, Thompson and Johnson from acting as unregistered brokers. The Court also froze the assets of Novus, RCH2, Hall, Thompson, Johnson, U.S. Ventures, LC, U.S. Ventures International, LLC, Robert L. Holloway, Online Strategies Group, Inc. and David Story This matter involves the alleged ongoing unregistered offer and sale of securities which has raised at least $4.8 million from over 50 investors located primarily in Utah. Investors allegedly have been solicited through Novus' website, referrals from current investors, and sales presentations at a Salt Lake City shopping mall. The complaint alleges investors have been sold six month promissory notes bearing interest payments of 3% to 5% a month with returns generated through investments in hard money lending, real estate, S&P 500 options or futures, foreign currency futures, and stocks. It is alleged, however, that most of the invested funds have been lost in speculative futures trading, used for personal spending by those involved in the scheme and used to pay returns to earlier investors in a classic Ponzi scheme. The complaint alleges Novus, RCH2, Hall, Thompson and Johnson violated Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The complaint also alleges Hall, Thompson and Johnson violated Section 15(a) of the Exchange Act and Wheeler aided and abetted violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. The Commission alleges that US Ventures, USVI, Online, Story and Holloway received funds from Novus and RCH2, and demands that these individuals and entities return the funds. A hearing has been scheduled for April 20, 2007. The Commission acknowledges the assistance of the United States Attorney's Office for the District of Utah, the Federal Bureau of Investigation, the Bureau of Land Management and the State of Utah Division of Securities in this matter. [SEC v. Novus Technologies, LLC, a Utah limited liability company, Ralph W. Thompson, Jr., Duane C. Johnson, RCH2, LLC, a Utah limited liability company, Robert Casey Hall and Eric J. Wheeler, defendants, and U.S. Ventures, LC, a Utah limited liability company, U.S. Ventures International, LLC, a Utah limited liability company, Robert L. Holloway, Online Strategies Group, Inc., a Delaware corporation, and David Story, relief defendants, Civil No. 2:07 CV 00235 PGC, USDC Utah] (LR-20075) SELF-REGULATORY ORGANIZATIONS APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change (SR-BSE-2006-11) and Amendments No. 1 and 2 thereto filed by the Boston Stock Exchange relating to the Boston Options Exchange's minor rule violation plan. Publication is expected in the Federal Register during the week of April 16. (Rel. 34-55606) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-CHX-2007-11) and Amendment No. 1 thereto filed by the Chicago Stock Exchange relating to participant fees and credits 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 April 16. (Rel. 34-55613) A proposed rule change (SR-NASD-2007-022) filed by National Association of Securities Dealers to make technical amendments to the Code of Mediation Procedures has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of April 16. (Rel. 34-55617) PROPOSED RULE CHANGE The New York Stock Exchange filed a proposed rule change (SR-NYSE- 2007-34) to amend NYSE Rule 80A.40(b) to update the definition of "program trading," to substitute simplified audit trail requirements, and to make conforming amendments to NYSE Rule 410B. Publication is expected in the Federal Register during the week of April 16. (Rel. 34-55615) SECURITIES ACT REGISTRATIONS The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be obtained in person or by writing to the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. 20549-1090 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . S-8 DIONEX CORP /DE, 1228 TITAN WAY, P O BOX 3603, SUNNYVALE, CA, 94086-3603, 4087370700 - 1,500,000 ($102,495,000.00) Equity, (File 333-142014 - Apr. 11) (BR. 10A) SB-2 NeoStem, Inc., 420 LEXINGTON AVENUE, SUITE 450, NEW YORK, NY, 10170, 212-584-4171 - 0 ($20,394,955.00) Equity, (File 333-142015 - Apr. 11) (BR. 01C) S-3ASR CIMAREX ENERGY CO, 1700 LINCOLN STREET, SUITE 1800, DENVER, CO, 80203-4518, 303-295-3995 - 0 ($300,000,000.00) Debt, (File 333-142016 - Apr. 11) (BR. 04A) SB-2 LIGHTING SCIENCE GROUP CORP, 2100 MCKINNEY AVENUE, SUITE 1555, DALLAS, TX, 75201, 2143823630 - 46,666,428 ($14,466,592.68) Equity, (File 333-142018 - Apr. 11) (BR. 10B) SB-2 AOM Minerals Ltd., 2258 HEIDI AVE, BURLINGTON, A6, L7M 3W4, (905) 331-4605 - 5,500,000 ($55,000.00) Equity, (File 333-142019 - Apr. 11) (BR. 04) S-8 MCCORMICK & CO INC, 18 LOVETON CIRCLE, P O BOX 6000, SPARKS, MD, 21152, 4107717301 - 0 ($26,873,000.00) Equity, (File 333-142020 - Apr. 11) (BR. 04A) SB-2 TOWERSTREAM CORP, 55 HAMMERLUND WAY, MIDDLETOWN, RI, 02842, (401) 848-5848 - 0 ($40,000,000.00) Equity, (File 333-142032 - Apr. 11) (BR. 11B) S-3 CAPITAL ONE FUNDING, LLC, 140 EAST SHORE DRIVE, ROOM 1071-B, GLEN ALLEN, VA, 23059, 8042906959 - 0 ($1,000,000.00) Asset-Backed Securities, (File 333-142033 - Apr. 11) (BR. 05D) S-1 ATEL 12, LLC, ATEL FINANCIAL SERVICES, LLC, 600 CALIFORNIA STREET, 6TH FLOOR, SAN FRANCISCO, CA, 94108, 415-989-8800 - 0 ($150,000,000.00) Other, (File 333-142034 - Apr. 11) (BR. 06) S-4 HERITAGE COMMERCE CORP, 150 ALMADEN BOULEVARD, SAN JOSE, CA, 95113, 4089476900 - 0 ($40,225,593.00) Equity, (File 333-142035 - Apr. 11) (BR. 07C) S-8 HEALTH BENEFITS DIRECT CORP, 5 RADNOR CORPORATE CENTER, SUITE 555, RADNOR, PA, 19087, 610-971-6197 - 6,000,000 ($16,290,000.00) Equity, (File 333-142036 - Apr. 11) (BR. 01C) SB-2 GOLDEN KEY INTERNATIONAL INC, 44-457 SAN RAFAEL AVE, UNIT 1, PALM DESERT, CA, 92260, 870,000 ($130,500.00) Equity, (File 333-142037 - Apr. 11) (BR. 08) S-8 LSI CORP, 1621 BARBER LANE, MILPITAS, CA, 95035, 4084338000 - 0 ($872,808,734.30) Equity, (File 333-142038 - Apr. 11) (BR. 10B) S-3ASR LSI CORP, 1621 BARBER LANE, MILPITAS, CA, 95035, 4084338000 - 0 ($314,334,922.20) Equity, (File 333-142039 - Apr. 11) (BR. 10B) S-8 ZAP, 501 FOURTH STREET, SANTA ROSA, CA, 95401, 7075258658 - 30,000,000 ($33,300,000.00) Equity, (File 333-142042 - Apr. 11) (BR. 05C) S-8 Cobalis Corp, 2445 MCCABE WAY, SUITE 150, IRVINE, CA, 92614, 949-757-0001 - 411,080 ($347,362.60) Equity, (File 333-142043 - Apr. 11) (BR. 01C) S-3ASR HARTFORD FINANCIAL SERVICES GROUP INC/DE, ONE HARTFORD PLAZA, HARTFORD, CT, 06155, 8605475000 - 0 ($0.00) Other, (File 333-142044 - Apr. 11) (BR. 01B) SB-2 UNIFY CORP, 4084674500 - 9,700,000 ($5,141,000.00) Equity, (File 333-142045 - Apr. 11) (BR. 03B) SB-2 MARMION INDUSTRIES CORP, 9103 EMMOTT RD, BUILDING 6 SUITE A, HOUSTON, TX, 77040, 7134666585 - 15,900,000 ($159,000.00) Equity, (File 333-142046 - Apr. 11) (BR. 02C) N-2 DWS RREEF World Real Estate Plus Fund, Inc., 345 PARK AVENUE, NEW YORK, NY, 10154, 800-728-3337 - 0 ($1,000,000.00) Equity, (File 333-142047 - Apr. 11) (BR. ) SB-2 International Stem Cell CORP, 2595 JASON COURT, OCEANSIDE, CA, 92056, 760-940-6383 - 0 ($48,807,471.38) Equity, (File 333-142048 - Apr. 11) (BR. 09) S-3 INSITE VISION INC, 965 ATLANTIC AVE, --, ALAMEDA, CA, 94501, 5108658800 - 0 ($75,016,287.00) Equity, (File 333-142049 - Apr. 11) (BR. 01A) S-8 MICROMED CARDIOVASCULAR INC, 8965 INTERCHANGE DRIVE, HOUSTON, TX, 77054, 713-580-8236 - 2,316,506 ($2,374,418.65) Equity, (File 333-142050 - Apr. 11) (BR. 10B) SB-2 Blackhawk Fund, 1802 N. CARSON ST, SUITE 212-3018, CARSON CITY, NV, 89701, 7758870670 - 55,000,000 ($550,000.00) Equity, (File 333-142051 - Apr. 11) (BR. 11A) S-3 CECO ENVIRONMENTAL CORP, 3120 FORRER STREET, CINCINNATI, OH, 45209, 4165936543 - 0 ($53,943,978.00) Equity, (File 333-142052 - Apr. 11) (BR. 06C) SB-2 MAINLAND RESOURCES INC., 512 EAST 57TH AVENUE, VANCOUVER, A1, V5X 1S9, 604.719.4047 - 1,417,000 ($6.52) Equity, (File 333-142053 - Apr. 11) (BR. ) 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 ABLEAUCTIONS COM INC FL 1.01 04/09/07 ACCELLENT INC 7.01 04/11/07 ACCELLENT INC 7.01 04/11/07 Accredited Mortgage Loan REIT Trust MD 4.01,9.01 03/27/07 AMEND ACME COMMUNICATIONS INC DE 5.02 04/10/07 ACROSS AMERICA REAL ESTATE CORP CO 5.02,7.01,9.01 04/11/07 ADESA INC 1.01,3.03,9.01 04/09/07 AEP INDUSTRIES INC DE 5.02 04/10/07 AHERN RENTALS INC 8.01,9.01 04/09/07 Airbee Wireless, Inc. DE 2.03,9.01 04/05/07 Aircastle LTD D0 1.01,2.03,9.01 04/11/07 ALCOA INC PA 2.02,9.01 04/10/07 ALLIANCEBERNSTEIN HOLDING L.P. DE 7.01,9.01 04/11/07 ALLIANCEBERNSTEIN L.P. DE 7.01,9.01 04/11/07 ALLOY INC DE 5.02 04/05/07 ALTEON INC /DE DE 1.01,3.02,5.02,9.01 04/05/07 Alternative Loan Trust 2007-HY3 8.01,9.01 02/01/07 Altra Holdings, Inc. DE 1.01,3.03,8.01,9.01 04/05/07 AMARU INC NV 5.02 03/22/07 AMARU INC NV 5.02 04/02/07 AMCOMP INC /FL DE 4.01,9.01 04/05/07 ANADIGICS INC DE 8.01,9.01 04/11/07 ANGELICA CORP /NEW/ MO 2.02,9.01 04/10/07 ARCADIA RESOURCES, INC NV 5.02 04/05/07 ARCHON CORP NV 4.01,9.01 04/11/07 AMEND Armitage Mining Corp 1.01,2.01,3.02,5.01,5.02,5.06, 02/14/07 AMEND 9.01 ARROWHEAD RESEARCH CORP DE 1.01 04/06/07 ASHLAND INC. KY 1.01,1.02,9.01 04/09/07 Atlantic Southern Financial Group, In 2.01,9.01 01/31/07 AMEND ATWOOD OCEANICS INC TX 5.02 04/05/07 AUXILIUM PHARMACEUTICALS INC 7.01,9.01 04/11/07 BANK OF SOUTH CAROLINA CORP SC 2.02,9.01 04/10/07 BAYWOOD INTERNATIONAL INC NV 2.01,2.03,3.02,3.03,9.01 04/05/07 BED BATH & BEYOND INC NY 2.02,9.01 04/11/07 BERKSHIRE HILLS BANCORP INC 7.01,9.01 04/11/07 BFC FINANCIAL CORP FL 7.01 04/10/07 BIO-LIFE LABS INC. 1.01,3.02,5.01,5.02,8.01 07/17/06 BlueLinx Holdings Inc. DE 7.01,9.01 04/11/07 BOSTON COMMUNICATIONS GROUP INC MA 8.01,9.01 04/10/07 BRADLEY PHARMACEUTICALS INC DE 7.01,9.01 04/11/07 BSD MEDICAL CORP DE 7.01,9.01 04/11/07 CAMBREX CORP DE 1.01,2.03,8.01,9.01 04/11/07 CANDELA CORP /DE/ DE 5.02 04/05/07 CAPELLA EDUCATION CO 7.01 04/09/07 CAPITAL ONE MASTER TRUST NY 8.01,9.01 04/10/07 CAPTARIS INC WA 5.02 04/05/07 Caribou Coffee Company, Inc. MN 7.01,9.01 04/11/07 CASCADE CORP OR 1.01,2.02,5.02,5.03,8.01,9.01 04/05/07 CATUITY INC DE 8.01 04/09/07 CCH II LLC 8.01,9.01 04/05/07 CCO HOLDINGS LLC 8.01,9.01 04/05/07 CELL GENESYS INC DE 1.01,7.01,9.01 04/11/07 CHANNELL COMMERCIAL CORP DE 5.02 04/08/07 Chaparral Steel CO DE 8.01 04/11/07 CHARTER COMMUNICATIONS HOLDINGS LLC DE 8.01,9.01 04/05/07 CHARTER COMMUNICATIONS INC /MO/ DE 8.01,9.01 04/05/07 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 04/11/07 CHATTEM INC TN 1.01,2.03,3.02,8.01,9.01 04/04/07 CHECKFREE CORP \GA\ DE 7.01,9.01 04/11/07 CHEROKEE INTERNATIONAL CORP DE 3.01,9.01 04/05/07 CHINA BAK BATTERY INC NV 4.01 03/28/07 AMEND CHINA SHEN ZHOU MINING & RESOURCES, I NV 5.02 04/10/07 CHRISTOPHER & BANKS CORP DE 2.02,9.01 04/11/07 CIMAREX ENERGY CO DE 7.01,9.01 04/11/07 CIPHERGEN BIOSYSTEMS INC DE 2.02,9.01 04/09/07 CITIGROUP INC DE 7.01,9.01 04/11/07 CITIZENS COMMUNICATIONS CO DE 9.01 03/08/07 AMEND CLEARANT INC 5.02 04/05/07 CLEVELAND BIOLABS INC DE 1.01,5.02 04/06/07 CNB FINANCIAL CORP/PA PA 1.01 04/05/07 CNL Hotels & Resorts, Inc. MD 8.01,9.01 04/10/07 COATES INTERNATIONAL LTD \DE\ DE 1.01 04/06/07 COCA COLA ENTERPRISES INC DE 5.02 04/05/07 COMMONWEALTH EDISON CO IL 7.01,9.01 04/11/07 Community Partners Bancorp NJ 7.01,9.01 04/11/07 COMVERSE TECHNOLOGY INC/NY/ NY 5.02,8.01,9.01 03/28/07 CONVENTION ALL HOLDINGS INC DE 1.01,2.01,3.02,5.01,5.02,9.01 04/05/07 Copano Energy, L.L.C. DE 1.01,3.02,9.01 04/05/07 COSTCO WHOLESALE CORP /NEW WA 8.01,9.01 04/10/07 CWHEQ Revolving Home Equity Loan Trus 8.01,9.01 03/30/07 CWHEQ Revolving Home Equity Loan Trus 8.01,9.01 03/30/07 CYBEX INTERNATIONAL INC NY 8.01,9.01 04/10/07 DELTA MUTUAL INC 2.03,3.02,9.01 03/12/07 Dermisonics, Inc NV 8.01 04/05/07 DETTO DE 1.01,3.02 04/06/07 DIGENE CORP DE 5.03,9.01 04/09/07 DIGITAL ANGEL CORP DE 2.01,9.01 04/05/07 Digital Realty Trust, Inc. MD 1.01,3.03,5.03,9.01 04/09/07 Directed Electronics, Inc. FL 7.01 04/04/07 DOT HILL SYSTEMS CORP NY 2.02,9.01 04/11/07 DYNAMIC HEALTH PRODUCTS INC FL 1.01,3.02,9.01 04/11/07 Eagle Hospitality Properties Trust, I MD 5.02,9.01 04/10/07 Eastern Insurance Holdings, Inc. PA 8.01,9.01 04/11/07 EDAC TECHNOLOGIES CORP WI 2.02,9.01 04/04/07 EDGEN MURRAY CORP 1.01,7.01,9.01 04/10/07 EL CAPITAN PRECIOUS METALS INC NV 4.01,9.01 03/27/07 EMERGENCY FILTRATION PRODUCTS INC/ NV NV 8.01,9.01 04/10/07 EMISPHERE TECHNOLOGIES INC DE 1.01,5.02,9.01 04/06/07 EPICEPT CORP 2.02,8.01,9.01 04/10/07 AMEND ESCALADE INC IN 8.01,9.01 04/10/07 ESCHELON TELECOM INC 8.01,9.01 04/11/07 EXELON CORP PA 7.01,9.01 04/11/07 EXPLORATION CO OF DELAWARE INC DE 7.01,9.01 04/11/07 FINLAY ENTERPRISES INC /DE DE 5.02 04/05/07 FINLAY FINE JEWELRY CORP DE 5.02 04/05/07 FIRST ADVANTAGE CORP DE 5.02,8.01 03/01/07 AMEND FIVE STAR PRODUCTS INC DE 1.01,2.01,9.01 04/05/07 FOREFRONT HOLDINGS, INC. FL 1.01,2.03,9.01 04/05/07 FRANKLIN COVEY CO UT 8.01,9.01 04/09/07 FRANKLIN ELECTRIC CO INC IN 5.02 04/06/07 GateHouse Media, Inc. DE 2.01,9.01 04/11/07 GENENTECH INC DE 2.02,8.01,9.01 04/11/07 GENERAL GROWTH PROPERTIES INC DE 7.01,9.01 04/10/07 GENERAL MILLS INC DE 1.01,2.03,9.01 04/11/07 GENESIS HEALTHCARE CORP PA 8.01,9.01 04/11/07 GIANT INDUSTRIES INC DE 8.01,9.01 04/10/07 GOLDLEAF FINANCIAL SOLUTIONS INC. TN 5.02,8.01,9.01 04/11/07 GuangZhou Global Telecom, Inc. FL 4.01,9.01 04/04/07 AMEND Harry & David Operations Corp. DE 2.01,9.01 04/10/07 HEALTHEXTRAS INC DE 5.03,9.01 04/05/07 HEALTHEXTRAS INC DE 5.05,9.01 04/05/07 HIGHLANDS BANKSHARES INC /WV/ WV 8.01 04/10/07 HOUSERAISING, INC. NC 8.01 04/11/07 HuntMountain Resources WA 1.01,7.01,9.01 04/05/07 IA GLOBAL INC DE 8.01,9.01 04/11/07 ImmunoCellular Therapeutics, Ltd. DE 1.01,3.02 04/05/07 INDEPENDENT BANK CORP MI 2.02,7.01,9.01 04/11/07 INDEVUS PHARMACEUTICALS INC DE 7.01,8.01,9.01 04/11/07 InfoLogix Inc 1.01,9.01 04/09/07 InfoLogix Inc 4.01,9.01 03/30/07 AMEND INSURANCE AUTO AUCTIONS, INC IL 1.01,3.03,8.01,9.01 04/06/07 INTELLIGENTIAS, INC. 8.01 03/16/07 INTER PARFUMS INC DE 8.01 04/09/07 ISONICS CORP CA 1.01,2.03,3.02,9.01 04/05/07 iVOW, Inc. DE 1.01,1.02,9.01 04/04/07 JER Investors Trust Inc 8.01,9.01 04/11/07 JEWETT CAMERON TRADING CO LTD OR 2.02 04/10/07 JMG Exploration, Inc. NV 4.02 04/03/07 AMEND KEY TRONIC CORP WA 1.01,9.01 04/10/07 KILROY REALTY CORP MD 1.01,2.03,3.02,9.01 04/11/07 LASALLE HOTEL PROPERTIES MD 7.01 04/11/07 Legacy Bancorp, Inc. DE 7.01,9.01 04/09/07 LEGACY RESERVES L P 7.01,9.01 04/10/07 LEVEL 3 COMMUNICATIONS INC DE 1.01,9.01 04/09/07 LIFE PARTNERS HOLDINGS INC TX 8.01,9.01 04/09/07 LIMITED BRANDS INC DE 5.02,9.01 04/09/07 LITHIUM TECHNOLOGY CORP DE 3.02,5.02,8.01,9.01 04/04/07 LITTLE SIOUX CORN PROCESSORS LLC 1.01,2.03 04/05/07 LOOKSMART LTD DE 5.02 04/05/07 LOUISVILLE GAS & ELECTRIC CO /KY/ KY 8.01 04/11/07 LSI CORP DE 9.01 04/02/07 AMEND M&F BANCORP INC /NC/ NC 2.02,9.01 04/09/07 Macquarie Infrastructure CO Trust DE 7.01,9.01 04/03/07 MAGMA DESIGN AUTOMATION INC DE 5.02 04/05/07 MAGNITUDE INFORMATION SYSTEMS INC DE 1.01,8.01,9.01 04/10/07 MAGUIRE PROPERTIES INC MD 1.01,7.01,9.01 04/05/07 MAINSTREET FINANCIAL CORP 5.02 02/21/07 AMEND MANOR CARE INC DE 8.01,9.01 04/11/07 MARKWEST ENERGY PARTNERS L P 1.01,3.02,9.01 04/09/07 MAX RE CAPITAL LTD 1.01,8.01,9.01 04/10/07 MCA Holdings CORP NV 9.01 04/10/07 McNab Creek Gold Corp. NV 1.01,9.01 03/15/07 MDC PARTNERS INC A6 1.01,9.01 04/04/07 MEDICINES CO /DE DE 5.02 04/09/07 MEDIMMUNE INC /DE DE 2.02,9.01 04/09/07 MERCANTILE BANK CORP MI 2.02,9.01 04/11/07 MERCANTILE BANK CORP MI 2.02,7.01,9.01 04/11/07 Merisant Worldwide, Inc. DE 5.02,9.01 04/04/07 MERRILL LYNCH & CO INC DE 8.01,9.01 04/05/07 MERRILL LYNCH & CO INC DE 8.01,9.01 04/05/07 MERRILL LYNCH MORTGAGE INVESTORS INC DE 8.01,9.01 03/27/07 METRO ONE TELECOMMUNICATIONS INC OR 1.01,5.02,9.01 04/11/07 MID AMERICA APARTMENT COMMUNITIES INC TN 7.01,9.01 04/11/07 MIDDLEBY CORP DE 5.02 04/09/07 MIDDLETON DOLL CO WI 5.02,9.01 04/05/07 MIDLAND CAPITAL HOLDINGS CORP 5.02,9.01 04/01/07 Mistral Ventures Inc. NV 5.02 03/28/07 MODERN TECHNOLOGY CORP NV 1.01,2.03,3.02,9.01 03/12/07 MOHAWK INDUSTRIES INC DE 5.02 04/11/07 MOLSON COORS BREWING CO CO 1.01,9.01 04/10/07 MONOLITHIC POWER SYSTEMS INC CA 8.01,9.01 04/06/07 MWI Veterinary Supply, Inc. DE 1.01 04/10/07 NASTECH PHARMACEUTICAL CO INC DE 5.02 04/09/07 NATIONAL HEALTH REALTY INC MD 1.01,9.01 04/06/07 NATIONAL HEALTHCARE CORP DE 1.01,9.01 04/06/07 NATIONAL PATENT DEVELOPMENT CORP DE 1.01,2.01,9.01 04/05/07 NATIONWIDE FINANCIAL SERVICES INC/ DE 1.01 04/05/07 NAVIGANT CONSULTING INC DE 7.01 04/11/07 NETSCOUT SYSTEMS INC DE 5.02 04/05/07 New Oriental Energy & Chemical Corp. DE 1.01,5.02,8.01,9.01 04/01/07 NEW YORK COMMUNITY BANCORP INC DE 5.02,9.01 04/07/07 NEW YORK TIMES CO NY 2.05 04/05/07 NEWCASTLE INVESTMENT CORP MD 8.01,9.01 04/05/07 NEWMARKET CORP VA 8.01,9.01 04/11/07 NewPage Holding CORP DE 5.02 04/11/07 NICOR INC IL 7.01,9.01 04/11/07 NORTH AMERICAN GALVANIZING & COATINGS DE 8.01 04/11/07 NORTH VALLEY BANCORP CA 1.01,7.01,9.01 04/10/07 NORTHERN TECHNOLOGIES INTERNATIONAL C DE 2.02,9.01 04/11/07 NOVASTAR FINANCIAL INC MD 7.01,9.01 04/11/07 NOVATEL WIRELESS INC DE 2.02,9.01 04/10/07 Nuance Communications, Inc. DE 1.01,2.03,9.01 04/05/07 NUTRACEA CA 5.02 04/11/07 OSCIENT PHARMACEUTICALS CORP MA 2.02,5.02,9.01 04/05/07 OSI PHARMACEUTICALS INC DE 8.01 04/11/07 PACIFICNET INC DE 4.02,9.01 03/16/07 AMEND PATRICK INDUSTRIES INC IN 1.01,3.02,9.01 04/10/07 PENSON WORLDWIDE INC DE 1.01 04/05/07 PEOPLES BANCTRUST CO INC AL 7.01 04/06/07 PHARMACOPEIA DRUG DISCOVERY INC DE 7.01,9.01 04/11/07 PHILLIPS VAN HEUSEN CORP /DE/ DE 5.02,9.01 04/05/07 PLM EQUIPMENT GROWTH & INCOME FUND VI CA 2.01,9.01 04/11/07 PLM EQUIPMENT GROWTH FUND V CA 2.01,9.01 04/11/07 PLM EQUIPMENT GROWTH FUND VI CA 2.01,9.01 04/11/07 POWER 3 MEDICAL PRODUCTS INC NY 1.01,9.01 04/03/07 Prescient Applied Intelligence, Inc. DE 5.02 04/11/07 PRINCIPAL LIFE INSURANCE CO IA 9.01 04/06/07 PRINCIPAL LIFE INSURANCE CO IA 9.01 04/06/07 PRINCIPAL LIFE INSURANCE CO IA 9.01 04/06/07 PRO PHARMACEUTICALS INC NV 8.01,9.01 04/11/07 PROGRESSIVE CORP/OH/ OH 2.02,9.01 04/11/07 PS BUSINESS PARKS INC/CA CA 7.01,9.01 04/10/07 PUREDEPTH, INC. CO 1.01 04/05/07 REALNETWORKS INC WA 5.02 04/05/07 RED ROCK PICTURES HOLDINGS, INC 1.01,3.02,9.01 04/05/07 REPLIGEN CORP DE 1.01,3.02,9.01 04/06/07 RESTORATION HARDWARE INC CA 1.01,9.01 04/11/07 RETRACTABLE TECHNOLOGIES INC TX 8.01,9.01 04/10/07 ROYAL GOLD INC DE 8.01,9.01 04/09/07 SAIC, Inc. DE 2.02,9.01 04/11/07 SALESFORCE COM INC DE 5.02 04/09/07 SECURITY BANK CORP GA 1.01,9.01 04/09/07 SEI INVESTMENTS CO PA 1.01,5.02,9.01 04/11/07 SERENA SOFTWARE INC DE 5.02,9.01 04/10/07 SEVERN BANCORP INC MD 2.02,9.01 04/11/07 SHAW GROUP INC LA 4.01,4.02,9.01 04/05/07 AMEND Shea Development Corp. 1.01,5.02,9.01 04/04/07 SHORE BANCSHARES INC MD 5.02,9.01 04/09/07 SIERRA HEALTH SERVICES INC NV 1.01,5.02 04/06/07 SIX FLAGS, INC. DE 8.01,9.01 04/06/07 SMURFIT STONE CONTAINER CORP DE 2.04,7.01,9.01 04/09/07 SMURFIT-STONE CONTAINER ENTERPRISES I DE 2.04 04/09/07 Solar Power, Inc. NV 3.02,9.01 04/09/07 SONICBLUE INC DE 8.01,9.01 02/28/07 SPANISH BROADCASTING SYSTEM INC DE 5.02 04/02/07 AMEND SPARTAN STORES INC MI 1.01,9.01 04/05/07 SPIRIT FINANCE CORP 5.03,8.01,9.01 04/10/07 STERLING FINANCIAL CORP /WA/ WA 7.01,8.01,9.01 04/11/07 STRATAGENE CORP DE 1.01,9.01 04/05/07 STRUCTURED PRODUCTS CORP TIERS R INFL DE 1.01,1.02 04/11/07 Surfect Holdings, Inc NV 5.02 04/05/07 SYPRIS SOLUTIONS INC DE 1.01,9.01 04/11/07 Tank Sports, Inc. CA 2.01,9.01 01/30/07 TECHNOLOGY RESEARCH CORP FL 8.01,9.01 04/05/07 TERAX ENERGY, INC. NV 8.01 04/10/07 TEREX CORP DE 8.01,9.01 04/11/07 TEXADA VENTURES INC NV 1.01,3.02,8.01,9.01 04/05/07 THOMAS PROPERTIES GROUP INC DE 8.01,9.01 04/11/07 THOMAS PROPERTIES GROUP INC DE 2.02,9.01 04/10/07 AMEND TOWER BANCORP INC PA 8.01,9.01 04/11/07 TOWER BANCORP INC PA 2.02,9.01 04/11/07 TRACTOR SUPPLY CO /DE/ DE 7.01,9.01 04/11/07 TRANSBOTICS CORP DE 5.02,9.01 04/11/07 TRANSCENDENT INC NV 4.01,8.01,9.01 03/22/07 AMEND TRANSOCEAN INC E9 8.01 04/09/07 TRAVELZOO INC DE 1.01,5.02,9.01 04/06/07 TRIZETTO GROUP INC DE 8.01,9.01 04/10/07 TRIZETTO GROUP INC DE 2.02,9.01 04/10/07 TRUSTCO BANK CORP N Y NY 8.01,9.01 04/11/07 TRX INC/GA GA 5.02,9.01 04/05/07 TUTOGEN MEDICAL INC FL 1.01,3.02,9.01 04/10/07 TWL CORP UT 5.01 04/09/07 UDR, Inc. MD 7.01,9.01 04/11/07 UMB FINANCIAL CORP MO 7.01,9.01 04/11/07 UNITED HERITAGE CORP UT 1.02,5.02,9.01 03/29/07 UNITED RENTALS INC /DE DE 1.01,5.02,7.01,9.01 04/09/07 URANIUM RESOURCES INC /DE/ DE 8.01,9.01 04/11/07 US HOME SYSTEMS INC DE 1.01 04/02/07 USI HOLDINGS CORP DE 8.01,9.01 04/10/07 USI HOLDINGS CORP DE 7.01 04/11/07 VALSPAR CORP DE 8.01,9.01 04/10/07 VIASPACE Inc. NV 8.01,9.01 04/11/07 VINEYARD NATIONAL BANCORP CA 5.02,9.01 04/11/07 VION PHARMACEUTICALS INC DE 8.01,9.01 04/11/07 VIRCO MFG CORPORATION DE 5.04,9.01 04/11/07 VOLT INFORMATION SCIENCES, INC. NY 5.03,8.01,9.01 04/05/07 VYYO INC DE 1.01,1.02,9.01 04/05/07 W HOLDING CO INC PR 5.02,9.01 04/10/07 Wachovia Mortgage Loan Trust, Series DE 8.01,9.01 03/27/07 WaMu Mortgage Pass-Through Certificat DE 9.01 03/27/07 WARWICK VALLEY TELEPHONE CO NY 1.01,9.01 04/11/07 WELLS REAL ESTATE INVESTMENT TRUST IN MD 8.01 04/11/07 Western Refining, Inc. DE 8.01,9.01 04/10/07 WESTSIDE ENERGY CORP NV 1.01,5.02 04/04/07 Whitestone REIT TX 7.01,9.01 04/11/07 XANSER CORP DE 5.02 04/05/07 XENOMICS INC FL 4.01 04/05/07 XTENT INC 5.02 04/06/07 YARRAMAN WINERY, INC. NV 5.02 04/02/07 YOUBET COM INC DE 1.01,9.01 04/10/07 ZALE CORP DE 1.01,9.01 04/11/07 Zumiez Inc 7.01,9.01 04/11/07