SEC NEWS DIGEST Issue 2007-102 May 29, 2007 COMMISSION ANNOUNCEMENTS COMMISSION ANNOUNCES ROUNDTABLE DISCUSSION REGARDING RULE 12b-1 On May 29, the Securities and Exchange Commission announced that it will host a roundtable discussion next month on issues surrounding Rule 12b 1 under the Investment Company Act of 1940. Rule 12b-1 permits mutual funds to use fund assets to finance the distribution of their shares. The roundtable will take place on June 19, 2007, and will consist of panels addressing * the historical circumstances that led to the promulgation of Rule 12b-1, and the original intended purpose of the rule; * the evolution of the uses of Rule 12b-1 and the rule's current role in fund distribution practices; * the costs and benefits of the current use of Rule 12b-1; and * the options for reform or rescission of Rule 12b-1. "When the Commission adopted Rule 12b-1 more than a quarter century ago, the idea was that 12b-1 fees would be a temporary solution to address specific distribution problems, as they arose. But today's uses of 12b-1 fees have strayed from the original purposes underlying the rule, and it is time for a thorough re-evaluation," said SEC Chairman Christopher Cox. "This roundtable will help us review current uses of 12b-1 fees, how those fees impact retail investors, and the interests and concerns of independent directors, who must approve 12b- 1 plans. The roundtable also will help us identify and evaluate the possibilities for reforming Rule 12b-1." A final agenda and list of participants and moderators will be published closer to the date of the roundtable. The roundtable will begin at 9:00 a.m., e.d.t., and will be held in the Auditorium at the Commission's headquarters at 100 F Street, N.E., Washington, D.C. The roundtable will be open to the public with seating on a first-come, first-served basis. Doors will open at 8:30 a.m., and visitors will be subject to security checks. The roundtable discussion also will be available via webcast on the Commission's Web site at www.sec.gov. The Commission welcomes feedback regarding any of the topics to be addressed at the roundtable, and we will provide a list of specific issues we would like the public to address. The information that is submitted will become part of the public record of the roundtable. Submissions to the Commission may be provided by any of the following methods: Electronic submissions * Use the Commission's Internet submission form; or * Send an e-mail to rule-comments@sec.gov. Paper submissions * Send paper submissions in triplicate to Nancy M. Morris, Secretary, Securities and Exchange Commission, 100 F Street, N.E., Washington, DC 20549-1090. All submissions should refer to File Number 4-538. This file number should be included on the subject line if e-mail is used. To help process and review your submissions more efficiently, please use only one method. The Commission will post all submissions on the Commission's Web site at www.sec.gov. Please note that all submissions received will be posted without change; the SEC does not edit personal identifying information from submissions. You should submit only information that you wish to make available publicly. (Press Rel. 2007-106) ENFORCEMENT PROCEEDINGS IN THE MATTER OF CHRISTIAN NIGRO On May 29, the Commission issued an Order Makings Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934 against Christian Nigro. The Order finds that from December 2000 to October 2001, Nigro was a registered representative associated with Valley Forge Securities, Inc., a broker-dealer registered with the Commission. On May 24, 2005, Nigro pled guilty to one count of conspiracy to commit securities fraud (United States v. Christian Nigro, 06 Cr. 38, D.N.J.). The sole count of the criminal information to which Nigro pled guilty alleged, among other things, that Nigro participated in a scheme while employed at Valley Forge Securities to manipulate the price of Select Media Communications, Inc. and to receive undisclosed, excessive commissions from the sales of stocks while employed at Valley Forge. Based on the above, the Order bars Nigro from association with any broker or dealer. Nigro consented to the issuance of the Order, without admitting or denying the Commission's findings, except as to the Commission's jurisdiction over him, the subject matter of the proceedings, and his criminal conviction. (Rel. 34-55820; File No. 3- 12613) DEFAULT ORDER IN THE MATTER OF COMMONWEALTH GROWTH FUND II, ET AL. On May 29, an Administrative Law Judge issued an Order Making Findings and Revoking Registrations by Default in Commonwealth Growth Fund II, Administrative Proceeding No. 3-12617. The Order Instituting Proceedings alleged that Respondents Commonwealth Growth Fund II, Medical Asset Management, Inc., NexTech Enterprises International, Inc., Pentagenic Pharmaceuticals, Inc., and Star Tech Health Services, Inc., failed repeatedly to file required annual and quarterly reports while their securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true for all Respondents and revokes the registrations of each class of their respective registered securities, pursuant to Section 12(j) of the Securities Exchange Act of 1934. (Rel. 34-55821; File No. 3- 12617) INSIDER TRADING ACTION FILED AGAINST RAYMOND AND NICHOLAS CHOP On May 23, the Commission filed an action against Raymond C. Chop and Nicholas F. Chop, residents of Florida, for engaging in insider trading in the securities of Serologicals, Inc. The Commission's complaint, filed in the United States District Court for the Northern District of Georgia, alleges that the defendants purchased securities of Serologicals while in possession of material nonpublic information in connection with an impending acquisition of Serologicals by Millipore Corporation. The Commission's complaint alleges that on April 23, 2006, the defendants met with a Serologicals employee who informed the defendants that Serologicals was in the process of being sold. The complaint further alleges that on April 24, 2006, the morning after learning of Serologicals' impending merger and based upon that knowledge, defendant Raymond C. Chop purchased 500 shares of Serologicals stock and defendant Nicholas F. Chop purchased 400 shares of Serologicals stock. On April 25, 2006, before the market opened, Millipore publicly announced its agreement to acquire Serologicals at $31.55 per share. Serologicals' stock subsequently closed up $7.83 from the previous day to $31.55 per share, a more than 34% increase. Defendant Raymond Chop reaped a profit of approximately $3,785 and defendant Nicholas Chop gained $2,897. The complaint alleges that by their conduct, Raymond C. Chop and Nicholas F. Chop violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. In a consent filed with the complaint, Raymond C. Chop and Nicholas F. Chop agreed, without admitting or denying the allegations in the complaint, to the entry of a final judgment permanently enjoining them from future violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. In addition, defendant Raymond C. Chop consented to pay disgorgement of $3,785.12, plus prejudgment interest of $172.83, and a civil penalty of $3,785.12. Further, defendant Nicholas F. Chop consented to pay disgorgement of $2,897.61, plus prejudgment interest of $132.31, and a civil penalty of $2,897.61. [SEC v. Raymond C. Chop and Nicholas F. Chop, Civil Action File No. 1:07-CV-1176, N.D. Ga., May 23, 2007] (LR-20131) INVESTMENT COMPANY ACT RELEASES ORDERS OF DEREGISTRATION UNDER THE INVESTMENT COMPANY ACT OF 1940 Orders have been issued under Section 8(f) of the Investment Company Act of 1940 declaring that each of the following has ceased to be an investment company: Stepstone Funds [File No. 811-6192] [Rel No. IC-27827] Morgan Stanley Aggressive Equity Fund [File No. 811-8471] [Rel No. IC-27828] Morgan Stanley Growth Fund [File No. 811-6551] [Rel No. IC-27829] DCM Series Trust [File No. 811-9527] [Rel No. IC-27830] ING Clarion Investors LLC [File No. 811-21501] [Rel No. IC-27831] Rydex Capital Partners Sphinx Equity Long/Short Fund [File No. 811-21773] [Rel No. IC-27832] Kobren Insight Funds [File No. 811-7813] [Rel No. IC-27833] Kopp Funds, Inc. [File No. 811-8267] [Rel No. IC-27834] Citigroup Alternative Investments Multi-Adviser Hedge Fund Portfolios (Series M)LLC [File No. 811-21999] [Rel No. IC-27835] INTRUST Funds Trust [File No. 811- 7505] [Rel No. IC-27836] SSGA FUNDS MANAGEMENT, INC., ET AL. An order has been issued on an application filed by SSgA Funds Management, Inc., et al. The order amends a prior order that permits: (a) open-end management investment companies, whose series are based on certain equity securities indices, to issue shares of limited redeemability; (b) secondary market transactions in the shares of the series to occur at negotiated prices; (c) dealers to sell shares to purchasers in the secondary market unaccompanied by a prospectus when prospectus delivery is not required by the Securities Act of 1933; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of aggregations of the series' shares; and (e) under certain circumstances, the series that track certain foreign equity securities indices to pay redemption proceeds more than seven days after the tender of shares. The amended order permits the open- end management investment companies in the prior order to offer additional series based on certain fixed income securities indices. In addition, the amended order deletes a condition related to future relief in the prior order. (Rel. IC-27839 - May 25) NOTICES OF DEREGISTRATION UNDER THE INVESTMENT COMPANY ACT OF 1940 For the month of May 2007, a notice has been issued giving interested persons until June 19, 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: Prudential Unit Trusts Prudential Equity Trust Shares 1 [File No. 811- 5046] Seligman Quality Municipal Fund, Inc. [File No. 811-6100] California Investment Trust II [File No. 811-4418] Putnam Florida Tax Exempt Income Fund [File No. 811-6129] First Fiduciary Trust [File No. 811-21445] TT International U.S.A. Feeder Trust [File No. 811-9975] TT International U.S.A. Master Trust [File No. 811-10151] Antenor Fund, LLC [File No. 811-21089] Beaumont Fund, LLC [File No. 811-21090] First Funds [File No. 811-6589] Agile Funds, Inc. [File No. 811-21329] Cohen & Steers Quality REIT Preferred Fund, Inc. [File No. 811-21086] Cohen & Steers Dividend Advantage Realty Fund, Inc. [File No. 811-21203] Cohen & Steers Total Return Realty Fund II, Inc. [File No. 811-21310] Cohen & Steers Dividend All Star Fund, Inc. [File No. 811-21573] (Rel. IC-27840 - May 25) SELF-REGULATORY ORGANIZATIONS ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission noticed and granted accelerated approval to a proposed rule change (SR-NASDAQ-2007-027), as amended, submitted by The NASDAQ Stock Market under Rule 19b-4 of the Securities Exchange Act of 1934 to amend the generic listing standards for portfolio depositary receipts and index fund shares. Publication is expected in the Federal Register during the week of May 28. (Rel. 34-55815) PROPOSED RULE CHANGES The Depository Trust Company filed a proposed rule change (SR-DTC- 2006-16) pursuant to Section 19(b)(1) of the Act that will update, standardize, and restate the requirements for the Fast Automated Securities Transfer Program ("FAST"), will restate the requirements for transfer agents participating in the Direct Registration System, and will delineate the responsibilities of DTC and the transfer agents with respect to the securities held by transfer agents as part of the FAST program. Publication of the proposal is expected in the Federal Register during the week of May 28. (Rel. 34-55816) APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change by the Chicago Stock Exchange (SR CHX-2007-08) to expand its price manipulation rule to address additional instances of improper behavior. Publication is expected in the Federal Register during the week of May 28. (Rel. 34- 55811) 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 EXPRESSJET HOLDINGS INC, 1600 SMITH STREET HQSCE, HOUSTON, TX, 77002, 7133242639 - 6,250,000 ($39,125,000.00) Equity, (File 333-143249 - May. 25) (BR. 05B) S-8 AUTONATION INC /FL, 110 SE 6TH ST, FT LAUDERDALE, FL, 33301, 9547696000 - 0 ($42,780,000.00) Equity, (File 333-143250 - May. 25) (BR. 02C) S-8 DENDREON CORP, 3005 FIRST AVENUE, SEATTLE, WA, 98121, 206254545 - 0 ($46,691,445.00) Equity, (File 333-143251 - May. 25) (BR. 01A) S-3 Venoco, Inc., 370 17TH STREET, SUITE 2950, DENVER, CO, 80202-1370, (303)626-8300 - 0 ($548,825,000.00) Other, (File 333-143254 - May. 25) (BR. 04B) S-8 SAFEWAY INC, 5918 STONERIDGE MALL RD, PLEASANTON, CA, 94588, 9254673000 - 28,574,018 ($978,660,116.50) Equity, (File 333-143255 - May. 25) (BR. 02A) S-8 MEDCO HEALTH SOLUTIONS INC, 100 PARSONS POND DR, FRANKLIN LAKES, NJ, 07417, 2012693400 - 0 ($239,816,000.00) Equity, (File 333-143256 - May. 25) (BR. 01B) S-8 GULFMARK OFFSHORE INC, 10111 RICHMOND AVE, STE 340, HOUSTON, TX, 77042, 7139639522 - 150,000 ($7,998,750.00) Equity, (File 333-143258 - May. 25) (BR. 04B) S-3 TARGACEPT INC, 200 EAST FIRST STREET, SUITE 300, WINSTON-SALEM, NC, 27101, 3364802100 - 0 ($75,000,000.00) Equity, (File 333-143259 - May. 25) (BR. 01C) S-8 CONSTELLATION ENERGY GROUP INC, 750 E PRATT ST, BALTIMORE, MD, 21202, 4107832800 - 0 ($813,960,000.00) Equity, (File 333-143260 - May. 25) (BR. 02A) S-3 NANOGEN INC, 10398 PACIFIC CENTER COURT, SAN DIEGO, CA, 92121, 858 410 4600 - 0 ($50,000,000.00) Equity, (File 333-143261 - May. 25) (BR. 10B) S-8 CONOLOG CORP, 5 COLUMBIA RD, SOMERVILLE, NJ, 08876, 9087228081 - 800,000 ($1,568,000.00) Equity, (File 333-143262 - May. 25) (BR. 10A) SB-2 NOVELOS THERAPEUTICS, INC., ONE GATEWAY CENTER, SUITE 504, NEWTON, MA, 02458, 617-244-1616 - 23,400,000 ($26,208,000.00) Equity, (File 333-143263 - May. 25) (BR. 01A) S-1 EnteroMedics Inc, 2800 Patton Rd, St Paul, MN, 55113, 0 ($86,250,000.00) Equity, (File 333-143265 - May. 25) (BR. 10B) S-8 LOWES COMPANIES INC, 1000 LOWE'S BLVD., MOORESVILLE, NC, 28117, 7047581000 - 0 ($796,000,000.00) Equity, (File 333-143266 - May. 25) (BR. 06B) S-8 Acorn International, Inc., 12/F, XINYIN BUILDING, 888 YI SHAN ROAD, SHANGHAI, F4, 200233, 8621-5464-4600 - 0 ($150,666,474.38) ADRs/ADSs, (File 333-143267 - May. 25) (BR. 02) N-2 Nuveen Multi-Currency Government Income Fund, 333 WEST WACKER DRIVE, CHICAGO, IL, 60606, 312-917-8146 - 0 ($20,000.00) Equity, (File 333-143269 - May. 25) (BR. ) N-2 Man Dual Absolute Return Fund, 123 N. WACKER DRIVE, 28TH FLOOR, CHICAGO, IL, 60606, 312-881-6500 - 50,000 ($1,000,000.00) Equity, (File 333-143270 - May. 25) (BR. 22) S-1 COMMVAULT SYSTEMS INC, 2 CRESCENT PLACE, OCEANPORT, NJ, 07757-0900, 7328704000 - 0 ($145,503,750.00) Equity, (File 333-143271 - May. 25) (BR. 03C) S-8 ADVANCED MAGNETICS INC, 125 CAMBRIDGEPARK DRIVE, 6TH FLOOR, CAMBRIDGE, MA, 02140, 6174972070 - 100,000 ($6,440,000.00) Unallocated (Universal) Shelf, (File 333-143272 - May. 25) (BR. 01C) S-8 THOMAS GROUP INC, 5221 N OCONNOR BLVD STE 500, IRVING, TX, 75039, 9728693400 - 0 ($9,240,000.00) Equity, (File 333-143273 - May. 25) (BR. 08C) S-8 LORAL SPACE & COMMUNICATIONS INC., 600 THIRD AVE, NEW YORK, NY, 10016, 2126971105 - 1,582,000 ($73,009,300.00) Equity, (File 333-143274 - May. 25) (BR. 11A) S-8 OCWEN FINANCIAL CORP, 1601 WORTHINGTON ROAD, SUITE 100, WEST PALM BEACH, FL, 33401, 5616818000 - 20,000,000 ($279,400,000.00) Equity, (File 333-143275 - May. 25) (BR. 11C) S-3 VIRAGEN INC, 865 SW 78TH AVENUE, SUITE 100, PLANTATION, FL, 33324, 9542338746 - 45,000,000 ($4,500,000.00) Equity, (File 333-143276 - May. 25) (BR. 01C) S-8 PANERA BREAD CO, 6710 CLAYTON RD, RICHMOND HEIGHTS, MO, 63117, 3146337100 - 0 ($6,926,875.00) Equity, (File 333-143277 - May. 25) (BR. 05C) S-8 VERSANT CORP, 6539 DUMBARTON CIRCLE, FREMONT, CA, 94555, 5107891500 - 0 ($4,629,325.00) Equity, (File 333-143278 - May. 25) (BR. 03B) N-2 MediaTech Investment Corp., 1900 AVENUE OF THE STARS, SUITE 2701, LOS ANGELES, CA, 90067, (310) 777-5900 - 0 ($172,500,000.00) Equity, (File 333-143279 - May. 25) (BR. ) S-3 DELCATH SYSTEMS INC, 1100 SUMMER ST 3RD FLOOR, STAMFORD, CT, 06905, 2033238668 - 0 ($30,000,000.00) Equity, (File 333-143280 - May. 25) (BR. 10A) S-8 WINMARK CORP, 4200 DAHLBERG DRIVE, GOLDEN VALLEY, MN, 55422-4837, 6125208500 - 0 ($1,825,000.00) Equity, (File 333-143281 - May. 25) (BR. 02C) S-4 CHICAGO MERCANTILE EXCHANGE HOLDINGS INC, 20 S. WACKER DR., CHICAGO, IL, 60606, 3129303011 - 2,666,565 ($2,019,356,073.00) Equity, (File 333-143282 - May. 25) (BR. 06B) S-4 MIDWEST BANC HOLDINGS INC, 501 W NORTH AVE, MELROSE PARK, IL, 60160, 7088651053 - 0 ($23,289,157.00) Equity, (File 333-143283 - May. 25) (BR. 07A) S-8 EMAK Worldwide, Inc., 6330 SAN VICENTE BLVD, LOS ANGELES, CA, 90048, 3239324300 - 555,000 ($2,398,000.00) Equity, (File 333-143284 - May. 25) (BR. 11B) S-8 WEST MARINE INC, 500 WESTRIDGE DR, WATSONVILLE, CA, 95076-4100, 4087282700 - 400,000 ($5,432,000.00) Other, (File 333-143285 - May. 25) (BR. 02C) S-4 MIDAMERICAN ENERGY HOLDINGS CO /NEW/, 666 GRAND AVE, SUITE 500, DES MOINES, IA, 50309-2580, 515-242-4300 - 0 ($550,000,000.00) Non-Convertible Debt, (File 333-143286 - May. 25) (BR. 02B) S-3 Onstream Media CORP, 1291 SW 29 AVE, STE 3A, POMPANO BEACH, FL, 33069, 9549176655 - 9,635,545 ($22,643,530.00) Equity, (File 333-143287 - May. 25) (BR. 03A) S-3 IBIS TECHNOLOGY CORP, 32 CHERRY HILL DR, DANVERS, MA, 01923, 9787774247 - 0 ($4,994,280.20) Equity, (File 333-143288 - May. 25) (BR. 10B) S-8 VOIP INC, 151 SOUTH WYMORE ROAD, SUITE 3000, ALTAMONTE SPRINGS, FL, 32714, 407-389-3232 - 500,000 ($72,500.00) Equity, (File 333-143289 - May. 25) (BR. 11C) S-8 IBIS TECHNOLOGY CORP, 32 CHERRY HILL DR, DANVERS, MA, 01923, 9787774247 - 0 ($2,100,000.00) Equity, (File 333-143290 - May. 25) (BR. 10B) S-3 Rand Logistics, Inc., 461 PARK AVENUE, 25TH FLOOR, NEW YORK, NY, 10017, 212-644-3450 - 4,822,312 ($34,141,969.00) Equity, (File 333-143291 - May. 25) (BR. 05C) S-3 DELTATHREE INC, 75 BROAD ST, 31ST FL, NEW YORK, NY, 10004, 2125004850 - 0 ($9,520,000.00) Equity, (File 333-143292 - May. 25) (BR. 11A) S-8 AngioGenex, Inc., 425 MADISON AVENUE, SUITE 902, NEW YORK, NY, 10017, 212-874-6608 - 200,000 ($108,000.00) Equity, (File 333-143293 - May. 25) (BR. 11A) S-3 XELR8 HOLDINGS, INC., 480 SOUTH HOLLY STREET, DENVER, CO, 80246, 303 336-1425 - 0 ($10,808,750.00) Equity, (File 333-143294 - May. 25) (BR. 01C) S-8 BANK OF HAWAII CORP, 130 MERCHANT ST, HONOLULU, HI, 96813-, 8886433888 - 0 ($54,730,000.00) Equity, (File 333-143295 - May. 25) (BR. 07A) S-8 FIRST UNITED CORP/MD/, 19 S SECOND ST, OAKLAND, MD, 21550, 3013349471 - 185,000 ($4,020,050.00) Equity, (File 333-143296 - May. 25) (BR. 07A) S-4 Tube City IMS CORP, 12 MONONGAHELA AVENUE, GLASSPORT, PA, 15045, 412-678-6141 - 0 ($225,000,000.00) Non-Convertible Debt, (File 333-143297 - May. 25) (BR. 06C) S-3 THINK PARTNERSHIP INC, 28050 US 19 NORTH, SUITE 509, CLEARWATER, FL, 33761, 727-324-0046 - 12,118,891 ($34,357,057.00) Equity, (File 333-143299 - May. 25) (BR. 11B) SB-2 CONOLOG CORP, 5 COLUMBIA RD, SOMERVILLE, NJ, 08876, 9087228081 - 936,098 ($1,834,752.00) Equity, (File 333-143300 - May. 25) (BR. 10A) SB-2 Security Devices International Inc., 464 OLD ORCHARD GROVE, TORONTO, A6, M5M 2G4, 647-388-1117 - 0 ($16,020,102.00) Equity, (File 333-143301 - May. 25) (BR. 10) S-8 GREENFIELD ONLINE INC, 21 RIVER ROAD, WILTON, CT, 06897, (203) 847 5700 - 0 ($5,351,500.00) Equity, (File 333-143302 - May. 25) (BR. 08B) S-8 NETLOGIC MICROSYSTEMS INC, 1875 CHARLESTON ROAD, MOUNTAIN VIEW, CA, 94043, 6509616676 - 372,900 ($11,155,303.50) Equity, (File 333-143303 - May. 25) (BR. 10B) S-8 CANO PETROLEUM, INC, BURNETT PLAZA, 801 CHERRY STREET, UNIT 25, SUITE 3200, FORT WORTH, TX, 76102, 817-698-0900 - 0 ($12,525,000.00) Equity, (File 333-143304 - May. 25) (BR. 04A) N-2 Cushing MLP Total Return Fund, 3300 OAK LAWN AVENUE, SUITE 650, DALLAS, TX, 75219, 214-692-6334 - 0 ($1,000,000.00) Equity, (File 333-143305 - May. 25) (BR. ) S-1 FIRST MERCURY FINANCIAL CORP, 29621 NORTHWESTERN HWY, PO BOX 5096, SOUTHFIELD, MI, 48034, 8103584010 - 0 ($45,362,934.00) Equity, (File 333-143306 - May. 25) (BR. 01C) S-3 RAM Holdings Ltd., RAM RE HOUSE, 46 REID STREET, HAMILTON, D0, HM 12, (441) 298-2116 - 9,898,344 ($161,441,990.64) Equity, (File 333-143307 - May. 25) (BR. 01A) S-8 LEAP WIRELESS INTERNATIONAL INC, 10307 PACIFIC CENTER COURT, SAN DIEGO, CA, 92121, 8588826000 - 3,500,000 ($293,720,000.00) Equity, (File 333-143308 - May. 25) (BR. 11A) S-8 ONYX PHARMACEUTICALS INC, 2100 POWELL STREET, EMERYVILLE, CA, 94608, 5105976500 - 0 ($65,814,000.00) Equity, (File 333-143309 - May. 25) (BR. 01B) SB-2 GOLDEN PHOENIX MINERALS INC /MN/, 1675 E. PRATER WAY,, SUITE 102, SPARKS, NV, 89434, 7758534919 - 0 ($13,417,566.11) Equity, (File 333-143310 - May. 25) (BR. 04C) F-6 BRASIL TELECOM HOLDING CO, SIA/SUL ASP LOTE D BLOCO B 1ST FLOOR, BRASILIA DF, D5, 71215000, 55 61 415-1140 - 100,000,000 ($5,000,000.00) ADRs/ADSs, (File 333-143311 - May. 25) (BR. 11A) S-1 NANO PROPRIETARY INC, 3006 LONGHORN BOULEVARD, SUITE 107, AUSTIN, TX, 78758, 5123315020 - 3,913,051 ($5,713,054.00) Equity, (File 333-143312 - May. 25) (BR. 11C) 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 ------------------------------------------------------------------------------------------------------- 24/7 REAL MEDIA INC DE 5.02,9.01 05/17/07 3COM CORP DE 1.01,2.03,9.01 05/25/07 3M CO DE 8.01,9.01 05/25/07 ABERCROMBIE & FITCH CO /DE/ DE 2.02,8.01,9.01 05/23/07 ABLEST INC DE 8.01 05/25/07 ADC TELECOMMUNICATIONS INC MN 5.02,8.01 05/22/07 ADVANCED BIOTHERAPY INC DE 8.01,9.01 05/25/07 ADVANTA BUSINESS RECEIVABLES CORP 8.01 05/25/07 AES CORP DE 7.01,9.01 05/25/07 AGILYSYS INC OH 2.02,7.01,9.01 05/25/07 Alexza Pharmaceuticals Inc. DE 1.01 05/15/07 ALKERMES INC PA 8.01 05/22/07 ALLIANCE BANCSHARES CALIFORNIA CA 7.01,9.01 05/25/07 ALLIED HOLDINGS INC GA 5.02,9.01 05/25/07 AMCORE FINANCIAL INC NV 4.01,9.01 05/21/07 AMERICAN PHYSICIANS SERVICE GROUP INC TX 7.01 05/25/07 AMERICAN WOODMARK CORP VA 8.01,9.01 04/30/07 AMEXDRUG CORP CA 4.01,9.01 04/30/07 AMEND AMGEN INC DE 7.01,8.01,9.01 05/23/07 ANTHRACITE CAPITAL INC MD 5.02,5.03,8.01,9.01 05/25/07 APPLE HOSPITALITY FIVE INC VA 2.02,9.01 05/25/07 Apple REIT Seven, Inc. VA 2.02,9.01 05/25/07 APPLE REIT SIX INC 2.02,9.01 05/25/07 APPLEBEES INTERNATIONAL INC DE 8.01,9.01 05/25/07 ARCADIA RESOURCES, INC NV 3.02,9.01 05/21/07 ARGON ST, Inc. DE 5.02 05/24/07 ASHWORTH INC DE 5.02,9.01 05/21/07 ATHEROGENICS INC GA 8.01 05/24/07 AtriCure, Inc. DE 1.01,3.02,9.01 05/24/07 AVISTA CORP WA 8.01 05/21/07 B&G Foods, Inc. DE 1.01,5.03,8.01,9.01 05/22/07 BANK OF GRANITE CORP DE 5.02 05/21/07 BANK OF KENTUCKY FINANCIAL CORP KY 5.02 05/21/07 BigBand Networks, Inc. DE 5.02,9.01 05/23/07 BILL BARRETT CORP 7.01,9.01 05/25/07 BIO KEY INTERNATIONAL INC MN 1.01,2.01,2.02,8.01,9.01 05/21/07 BIOENVISION INC DE 1.01,9.01 05/24/07 BIOFORCE NANOSCIENCES HOLDINGS, INC. NV 7.01,9.01 05/25/07 BIOMET INC IN 8.01 05/25/07 BIOSANTE PHARMACEUTICALS INC DE 1.01,3.02,9.01 05/25/07 BIOSANTE PHARMACEUTICALS INC DE 1.01,3.02 05/25/07 BIOSTEM, INC. NV 9.01 05/23/07 BMW Vehicle Owner Trust 2004-A 9.01 05/25/07 BMW Vehicle Owner Trust 2005-A 9.01 05/25/07 BNSF RAILWAY CO DE 8.01,9.01 05/25/07 BOMBAY COMPANY INC DE 2.02,9.01 05/25/07 BOWLIN TRAVEL CENTERS INC NV 2.01 05/24/07 Bristow Group Inc DE 5.02 05/24/07 BURLINGTON NORTHERN SANTA FE CORP DE 8.01,9.01 05/25/07 CABCO SERIES 2004-101 TRUST (GOLDMAN 8.01,9.01 05/15/07 CANO PETROLEUM, INC 5.02,9.01 05/22/07 CANYON RESOURCES CORP DE 8.01,9.01 05/25/07 CardioVascular BioTherapeutics, Inc. DE 1.01,3.02,9.01 05/21/07 CardioVascular BioTherapeutics, Inc. DE 8.01 05/21/07 CARRINGTON LABORATORIES INC /TX/ TX 3.01,9.01 05/23/07 CATALYST SEMICONDUCTOR INC DE 5.02,9.01 05/14/07 CATO CORP DE 2.02,9.01 05/24/07 CECO ENVIRONMENTAL CORP DE 5.02,9.01 05/23/07 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 05/23/07 CHEVRON CORP DE 8.01 05/21/07 CHILDRENS INTERNET INC NV 4.01,4.02,9.01 03/04/07 AMEND China Natural Gas, Inc. DE 4.01,9.01 05/21/07 CIRTRAN CORP NV 8.01,9.01 05/25/07 CITADEL BROADCASTING CORP DE 5.01,8.01,9.01 05/22/07 CITIGROUP INC DE 9.01 05/24/07 CLAIRES STORES INC DE 8.01,9.01 05/24/07 CLEARANT INC 5.02 05/24/07 CLEVELAND CLIFFS INC OH 8.01 05/24/07 COAST FINANCIAL HOLDINGS INC 1.01,5.02,7.01,9.01 05/24/07 COLLAGENEX PHARMACEUTICALS INC DE 1.02 05/22/07 Collexis Holdings, Inc. 4.01,5.02,5.05,9.01 03/23/07 AMEND Commercial Vehicle Group, Inc. DE 5.02,9.01 05/22/07 COMMODORE APPLIED TECHNOLOGIES INC DE 7.01,9.01 05/25/07 COMPREHENSIVE CARE CORP DE 5.03,9.01 05/21/07 COMPREHENSIVE CARE CORP DE 1.01,1.02,9.01 05/25/07 COMPUTER SCIENCES CORP NV 5.02 05/21/07 CONAGRA FOODS INC /DE/ DE 5.02 05/23/07 CONCENTRA OPERATING CORP NV 8.01,9.01 05/25/07 CONSOLIDATED ENERGY INC WY 1.01,3.01,9.01 05/24/07 Constellation Energy Partners LLC DE 8.01 05/22/07 Converted Organics Inc. DE 1.01,2.03,9.01 05/23/07 Copper Road Inc. NV 5.02 05/25/07 COPYTELE INC DE 1.01,9.01 05/23/07 CORNELL COMPANIES INC DE 5.02 05/21/07 COWLITZ BANCORPORATION WA 7.01,9.01 05/25/07 CPI CORP DE 1.01,9.01 05/21/07 Craft College Inc UT 1.01,7.01 05/25/07 CRDENTIA CORP DE 1.01,3.02 05/24/07 CRESCENT REAL ESTATE EQUITIES CO TX 1.01,9.01 05/22/07 CRESCENT REAL ESTATE EQUITIES LTD PAR DE 1.01,5.03,9.01 05/22/07 CV THERAPEUTICS INC DE 8.01,9.01 05/24/07 CVS CAREMARK CORP DE 1.01,9.01 05/22/07 DATASCOPE CORP DE 8.01,9.01 05/24/07 DCP Midstream Partners, LP DE 1.01,3.02,7.01,8.01,9.01 05/21/07 DCP Midstream Partners, LP DE 1.01,3.02,7.01,9.01 05/23/07 DELTA NATURAL GAS CO INC KY 5.02,8.01 05/25/07 DNB FINANCIAL CORP /PA/ PA 8.01,9.01 05/23/07 DST SYSTEMS INC DE 1.01 05/24/07 Duncan Energy Partners L.P. DE 8.01,9.01 03/31/07 DYNEGY INC. DE 1.01,1.02,2.03,8.01,9.01 05/21/07 Energtek 2.01,3.02,5.02,9.01 05/22/07 Enterprise GP Holdings L.P. DE 8.01,9.01 03/31/07 ENTERPRISE PRODUCTS PARTNERS L P DE 8.01,9.01 03/31/07 ENTERTAINMENT DISTRIBUTION CO INC DE 5.02 05/25/07 EQUISTAR CHEMICALS LP DE 8.01,9.01 05/25/07 ESCHELON TELECOM INC 8.01,9.01 05/25/07 Euoko, Inc. NV 5.03,7.01,9.01 05/24/07 Eworld Interactive, Inc. FL 2.01,3.02,9.01 05/21/07 EXELON CORP PA 8.01,9.01 05/23/07 EXPONENT INC DE 5.02,8.01 05/25/07 EXPRESS SCRIPTS INC DE 5.02,8.01,9.01 05/23/07 EXXON MOBIL CORP NJ 8.01 05/23/07 FEDERAL NATIONAL MORTGAGE ASSOCIATION 5.02 05/21/07 FERMAVIR PHARMACEUTICALS, INC. FL 4.02 05/21/07 Finmetal Mining Ltd. 8.01,9.01 05/15/07 FIRST AMERICAN CORP CA 8.01 05/21/07 First California Financial Group, Inc DE 9.01 03/12/07 AMEND FIRST SECURITY GROUP INC/TN TN 5.02 05/23/07 FIRSTFED FINANCIAL CORP DE 5.02,9.01 05/24/07 FIRSTFED FINANCIAL CORP DE 7.01,9.01 04/30/07 FISERV INC WI 1.01,9.01 05/24/07 FLORIDA POWER & LIGHT CO FL 9.01 05/22/07 FMC TECHNOLOGIES INC DE 7.01,9.01 05/24/07 FORD MOTOR CREDIT CO LLC DE 8.01,9.01 05/25/07 FPL GROUP INC FL 7.01,8.01,9.01 05/22/07 FPL GROUP INC FL 5.02 03/16/07 AMEND Frontier Airlines Holdings, Inc. DE 2.02,9.01 05/24/07 FUNDSTECH CORP DC 3.02 05/22/07 GALAXY ENERGY CORP CO 3.01,9.01 05/22/07 GEHL CO WI 1.01,5.03,9.01 05/25/07 GENESIS HEALTHCARE CORP PA 8.01,9.01 05/24/07 GENETHERA INC FL 2.02,8.01,9.01 05/25/07 AMEND Geneva Resources, Inc. NV 5.02 05/14/07 GENIUS PRODUCTS INC DE 2.02,7.01,9.01 05/25/07 GENZYME CORP MA 5.03,9.01 05/24/07 GeoMet, Inc. DE 8.01,9.01 05/24/07 GERBER SCIENTIFIC INC CT 1.01,2.03,8.01,9.01 05/21/07 GOLDEN TELECOM INC DE 1.01,9.01 05/21/07 Grant Life Sciences, Inc. NV 4.02 05/17/07 GREATBATCH, INC. DE 1.01,1.02,2.03,9.01 05/22/07 GREENSHIFT CORP DE 5.02 05/22/07 Gregg Appliances Inc 2.02,9.01 05/25/07 GRYPHON GOLD CORP NV 7.01,9.01 05/24/07 GS Energy CORP 5.02 05/22/07 Harley-Davidson Motorcycle Trust 2007 NV 8.01,9.01 05/22/07 Harris Stratex Networks, Inc. DE 5.02,9.01 05/24/07 HARTFORD LIFE INSURANCE CO CT 9.01 05/25/07 HARTFORD LIFE INSURANCE CO CT 9.01 05/25/07 HASBRO INC RI 5.02,8.01 05/24/07 HAWAIIAN HOLDINGS INC DE 8.01,9.01 05/24/07 HAYES LEMMERZ INTERNATIONAL INC DE 8.01 05/25/07 HCC INSURANCE HOLDINGS INC/DE/ DE 5.02 05/25/07 HERBALIFE LTD. E9 5.02 05/23/07 HERITAGE BANKSHARES INC /VA VA 8.01,9.01 05/24/07 HERSHA HOSPITALITY TRUST MD 5.03,9.01 05/24/07 HOLLIS EDEN PHARMACEUTICALS INC /DE/ DE 5.02 05/21/07 Home Equity Loan Trust 2007-HSA3 DE 8.01,9.01 05/25/07 HORACE MANN EDUCATORS CORP /DE/ DE 5.02,9.01 05/22/07 HUB INTERNATIONAL LTD A6 8.01 05/22/07 HUNGARIAN TELEPHONE & CABLE CORP DE 2.02,9.01 05/25/07 HYDRON TECHNOLOGIES INC NY 1.01,3.02,4.02,5.02,9.01 05/20/07 HYTHIAM INC DE 1.01,1.02,7.01,9.01 05/25/07 IBSG INTERNATIONAL INC FL 4.02 12/31/06 IMAX CORP A6 2.02,9.01 05/24/07 Impac Secured Assets Trust 2007-3 CA 9.01 04/30/07 AMEND IMPART MEDIA GROUP INC NV 1.01,2.03,3.02,9.01 05/24/07 INCYTE CORP DE 5.02 05/22/07 INERGY HOLDINGS, L.P. 1.01,7.01,9.01 05/21/07 INFINITY ENERGY RESOURCES, INC 5.02 05/21/07 INNOVO GROUP INC DE 8.01 05/25/07 INOVIO BIOMEDICAL CORP 1.01,8.01 05/25/07 INTER TEL (DELAWARE), INC DE 8.01,9.01 05/18/07 INTERMUNE INC DE 5.02,9.01 05/24/07 INTERNATIONAL CARD ESTABLISHMENT INC DE 5.02 05/21/07 INTERNATIONAL FLAVORS & FRAGRANCES IN NY 4.01 05/23/07 International Gold Resources, Inc. 8.01 05/24/07 INTRICON CORP PA 1.01,2.01,2.03,8.01,9.01 05/22/07 ITLA CAPITAL CORP CA 8.01,9.01 05/25/07 J P MORGAN CHASE & CO DE 9.01 05/23/07 JARDEN CORP DE 1.01,5.02,9.01 05/24/07 Jazz Technologies, Inc. DE 2.02,9.01 05/22/07 JK Acquisition Corp. 7.01,9.01 05/25/07 JOHN D. OIL & GAS CO 2.01,9.01 05/21/07 KAL ENERGY INC DE 9.01 03/01/07 AMEND KAMAN CORP CT 8.01,9.01 05/25/07 KB HOME DE 1.01,9.01 05/22/07 KNOBIAS, INC. DE 5.02 05/24/07 Kodiak Oil & Gas Corp 5.02,9.01 05/24/07 LB-UBS Commercial Mortgage Trust 2007 8.01,9.01 05/09/07 LEHMAN ABS CORP BACKED TRUST CERTS SE DE 8.01 05/24/07 LEHMAN ABS CORP BACKED TRUST CERTS SE DE 8.01 05/24/07 LGL GROUP INC IN 1.01,9.01 05/22/07 LIONBRIDGE TECHNOLOGIES INC /DE/ DE 1.01,5.02 05/21/07 LL&E ROYALTY TRUST TX 7.01,9.01 05/25/07 LOUD TECHNOLOGIES INC WA 1.01,9.01 05/24/07 LOWES COMPANIES INC NC 5.02,8.01,9.01 05/25/07 Luminent Mortgage Trust 2007-2 DE 6.01 05/01/07 Luminent Mortgage Trust 2007-2 DE 8.01,9.01 05/01/07 Luminent Mortgage Trust 2007-2 DE 8.01,9.01 05/01/07 Lusora Healthcare Systems Inc. 3.02,9.01 05/23/07 LYONDELL CHEMICAL CO DE 8.01,9.01 05/25/07 MACROVISION CORP DE 5.02 05/22/07 MANAGEMENT NETWORK GROUP INC 3.01,8.01,9.01 05/21/07 MARCHEX INC DE 7.01 05/25/07 ME PORTFOLIO MANAGEMENT LTD 8.01,9.01 05/24/07 MedaSorb Technologies CORP 5.02 05/22/07 MERCANTILE BANK CORP MI 5.02,7.01,9.01 05/24/07 MERRILL LYNCH & CO INC DE 5.02 05/23/07 MERRILL LYNCH DEPOSITOR INC PPLUS TRU DE 8.01,9.01 05/15/07 MERRILL LYNCH DEPOSITOR INC PPLUS TRU DE 8.01,9.01 05/15/07 METLIFE INC DE 1.02,8.01 05/24/07 METRETEK TECHNOLOGIES INC DE 5.02,9.01 05/21/07 METROMEDIA INTERNATIONAL GROUP INC DE 5.02 05/25/07 MEXICAN RESTAURANTS INC TX 5.02 05/22/07 AMEND MICROMED CARDIOVASCULAR INC DE 5.02 05/23/07 MIGO SOFTWARE, INC. DE 1.01,7.01,9.01 05/23/07 MILLENNIUM QUEST INC DE 4.01,9.01 05/21/07 MINE SAFETY APPLIANCES CO PA 5.02,9.01 05/21/07 MINRAD INTERNATIONAL, INC. 1.01,8.01 05/23/07 MONADNOCK BANCORP INC MD 5.02,8.01,9.01 05/24/07 MONARCH CASINO & RESORT INC NV 8.01 05/22/07 MONOLITHIC POWER SYSTEMS INC CA 5.02,9.01 05/24/07 MOTIENT CORP DE 7.01,8.01,9.01 05/25/07 MPHASE TECHNOLOGIES INC NJ 8.01 05/25/07 MSGI SECURITY SOLUTIONS, INC NV 1.01,3.02,9.01 05/21/07 MTM Technologies, Inc. NY 3.02 05/21/07 NASDAQ STOCK MARKET INC DE 8.01,9.01 05/25/07 NATIONAL ATLANTIC HOLDINGS CORP NJ 8.01 05/24/07 NATIONAL BEVERAGE CORP DE 8.01,9.01 05/25/07 NATIONAL CITY AUTO RECEIVABLES TRUST 8.01,9.01 05/15/07 NATIONAL CITY CORP DE 8.01,9.01 05/25/07 NATIONAL HOME HEALTH CARE CORP DE 8.01,9.01 05/24/07 NCI BUILDING SYSTEMS INC DE 7.01,9.01 05/23/07 NELNET INC NE 2.03 05/22/07 Nelnet Student Loan Trust 2007-1 1.01,9.01 05/22/07 NEW CENTURY FINANCIAL CORP MD 1.01,9.01 05/21/07 NEW YORK REGIONAL RAIL CORP 8.01,9.01 05/17/07 NEWS CORP 8.01,9.01 05/25/07 NISSAN WHOLESALE RECEIVABLES CORP II DE 1.01,9.01 05/23/07 NORTH VALLEY BANCORP CA 8.01,9.01 05/24/07 NOVATEL WIRELESS INC DE 7.01 05/18/07 NOVELL INC DE 8.01,9.01 05/23/07 OBN HOLDINGS NV 5.03,9.01 03/13/07 OCEANEERING INTERNATIONAL INC DE 7.01,9.01 05/24/07 OIL DRI CORP OF AMERICA DE 2.02,9.01 05/24/07 OM GROUP INC DE 5.02 02/16/07 AMEND OM GROUP INC DE 5.02 01/09/07 AMEND ONYX PHARMACEUTICALS INC DE 1.01,5.03,9.01 05/25/07 ORBIT INTERNATIONAL CORP DE 5.02 05/22/07 OVERSTOCK.COM, INC UT 3.01,5.02,9.01 05/24/07 PACKETPORT COM NV 8.01 05/24/07 PALADIN REALTY INCOME PROPERTIES INC MD 8.01 05/24/07 PANERA BREAD CO DE 5.02,9.01 05/24/07 PARAMETRIC TECHNOLOGY CORP MA 7.01 05/25/07 PEERLESS SYSTEMS CORP DE 2.02,9.01 05/24/07 PEPSICO INC NC 1.01,9.01 05/21/07 Physicians Remote Solutions, Inc. FL 5.02,8.01 05/23/07 PINNACLE WEST CAPITAL CORP AZ 5.02,5.03,9.01 05/23/07 PLASTICON INTERNATIONAL, INC. WY 1.03 05/16/07 PLUMAS BANCORP CA 5.02 05/23/07 POLO RALPH LAUREN CORP DE 8.01,9.01 05/22/07 POLO RALPH LAUREN CORP DE 5.02 05/23/07 PPL CORP PA 8.01,9.01 05/25/07 PPLUS Trust Series GSC-2 DE 8.01,9.01 05/15/07 PREMIER COMMUNITY BANKSHARES INC VA 5.02,9.01 05/21/07 PREMIERE GLOBAL SERVICES, INC. GA 2.03 05/25/07 PRINCETON REVIEW INC DE 4.01,9.01 05/21/07 PSYCHIATRIC SOLUTIONS INC DE 1.01,2.03,7.01,9.01 05/24/07 QNB CORP PA 4.02,9.01 05/25/07 QUANTUM CORP /DE/ DE 5.02,5.03,9.01 05/21/07 QUICKSILVER RESOURCES INC DE 1.01,9.01 05/23/07 QWEST COMMUNICATIONS INTERNATIONAL IN DE 1.01,9.01 05/23/07 Rackable Systems, Inc. DE 5.02,9.01 05/23/07 RADIATION THERAPY SERVICES INC FL 5.02,9.01 05/21/07 RadNet, Inc. NY 4.01,9.01 05/25/07 RBS GLOBAL INC DE 2.02,9.01 05/24/07 RBS GLOBAL INC DE 2.02,9.01 05/24/07 AMEND RCN CORP /DE/ DE 1.01,1.02,2.03,3.03,5.02,8.01, 05/25/07 9.01 Regency Energy Partners LP DE 9.01 04/02/07 AMEND RESIDENTIAL CAPITAL, LLC DE 9.01 05/22/07 RIVER HAWK AVIATION INC DE 1.01,9.01 05/23/07 ROCKWELL AUTOMATION INC DE 8.01,9.01 05/24/07 ROCKWELL AUTOMATION INC DE 5.02,9.01 05/21/07 RR Donnelley & Sons Co DE 8.01 05/24/07 RURAL CELLULAR CORP MN 8.01,9.01 05/24/07 S&C HOLDCO 3 INC 1.01,2.03,9.01 05/15/07 S&C HOLDCO 3 INC 5.02 01/02/07 SALON MEDIA GROUP INC DE 1.01,9.01 05/24/07 SCANNER TECHNOLOGIES CORP NM 1.01,2.03,3.02 05/21/07 SCOTTISH RE GROUP LTD E9 5.02,9.01 05/21/07 SCPIE HOLDINGS INC DE 8.01 05/22/07 Searchlight Minerals Corp. NV 7.01,9.01 05/22/07 Sequoia Mortgage Trust 2007-2 8.01,9.01 05/23/07 SILVERADO GOLD MINES LTD A1 3.02,9.01 01/16/07 SILVERSTAR HOLDINGS LTD B0 7.01,9.01 05/22/07 Siouxland Ethanol, LLC NE 1.01,2.03 05/24/07 SKILLSOFT PUBLIC LIMITED CO 2.02,9.01 05/25/07 SKILLSOFT PUBLIC LIMITED CO 5.02,9.01 05/21/07 SMART BALANCE, INC. DE 1.01,2.01,2.03,3.02,3.03,5.02, 05/21/07 5.06,9.01 SMITHTOWN BANCORP INC NY 8.01,9.01 05/25/07 SOCKET COMMUNICATIONS INC DE 3.01,9.01 05/22/07 SONTRA MEDICAL CORP MN 1.01,9.01 05/22/07 SPECTRE GAMING INC MN 1.01,9.01 05/21/07 Spectrum Brands, Inc. WI 1.02,5.02,9.01 05/23/07 SPIRE CORP MA 1.01,2.03,5.02 05/17/07 SPSS INC DE 1.01,9.01 05/21/07 STAGE STORES INC NV 2.02,9.01 05/24/07 STAPLES INC DE 5.02 05/22/07 STONERIDGE INC OH 5.02 05/21/07 STRATS SM TRUST FOR AT&T CORP SEC S 8.01,9.01 05/15/07 STRATS SM TRUST FOR DAIMLERCHRYSLER N 8.01,9.01 05/15/07 STRATS SM TRUST FOR Goldman Sachs Cap 8.01,9.01 05/15/07 STRATS SM TRUST FOR GOLDMAN SACHS GRO 8.01,9.01 05/15/07 STRATS SM TRUST FOR HISTORIC TW INC S DE 8.01,9.01 05/15/07 STRATS SM TRUST FOR JPMORGAN CHASE & 8.01,9.01 05/15/07 STRATS SM TRUST FOR WAL-MART STORES, 8.01,9.01 05/15/07 STRATS TRUST FOR SPRINT CAP CORP SEC DE 8.01,9.01 05/15/07 STRATS(SM) TRUST FOR DOMINION RESOURC 8.01,9.01 05/15/07 STRATS(SM) TRUST FOR GEN ELEC CAP COR 8.01,9.01 05/15/07 STRATS(SM) Trust For Goldman Sachs Ca 8.01,9.01 05/15/07 SUFFOLK BANCORP NY 8.01 05/24/07 Summit Global Logistics, Inc. DE 1.01,2.03,3.02,9.01 05/21/07 Sunstone Hotel Investors, Inc. MD 5.02 05/23/07 T-3 ENERGY SERVICES INC TX 7.01,9.01 05/24/07 TALEO CORP DE 9.01 03/02/07 AMEND TAMPA ELECTRIC CO FL 1.01,2.03,8.01,9.01 05/25/07 TANGER FACTORY OUTLET CENTERS INC NC 8.01,9.01 05/25/07 TARGET CORP MN 5.02,5.03,9.01 05/24/07 TD BANKNORTH INC. DE 3.01,9.01 05/25/07 TEAM FINANCIAL INC /KS KS 1.01,9.01 05/24/07 TEPPCO PARTNERS LP DE 8.01,9.01 03/31/07 TERCICA INC DE 3.03,5.03,9.01 05/24/07 TEREX CORP DE 8.01,9.01 05/23/07 TEXHOMA ENERGY INC 1.01,5.02,9.01 05/15/07 TEXOLA ENERGY CORP NV 5.02 01/24/07 THINKENGINE NETWORKS, INC. 3.01,9.01 05/22/07 Timberline Resources Corp 1.01,8.01,9.01 05/18/07 TITANIUM METALS CORP DE 7.01,9.01 05/24/07 TOTAL LUXURY GROUP INC IN 4.01,4.02 04/17/07 AMEND TOUCHSTONE SOFTWARE CORP /CA/ DE 1.01 05/25/07 TOUSA INC DE 1.01,9.01 05/22/07 TRANSCAT INC OH 2.02,5.02,9.01 05/21/07 TransDigm Group INC DE 8.01,9.01 05/21/07 TRANSGENOMIC INC DE 5.03,9.01 05/23/07 TRANSWITCH CORP /DE DE 1.01,9.01 05/24/07 TRIARC COMPANIES INC DE 1.01,5.02,9.01 05/21/07 TRINITY CAPITAL CORP 8.01,9.01 05/24/07 TRM CORP OR 4.01,9.01 12/29/06 AMEND TVI CORP MD 1.01,2.03,9.01 05/25/07 TWEEN BRANDS, INC. DE 8.01,9.01 05/24/07 TYCO INTERNATIONAL LTD /BER/ D0 8.01,9.01 05/25/07 U S ENERGY SYSTEMS INC DE 8.01 05/24/07 AMEND U S PHYSICAL THERAPY INC /NV NV 5.02,9.01 05/22/07 UCBH HOLDINGS INC DE 8.01,9.01 05/23/07 UNIT CORP DE 1.01,9.01 05/24/07 UNITED RETAIL GROUP INC/DE DE 2.02,9.01 05/05/07 US AIRWAYS GROUP INC DE 8.01 05/25/07 Utilicraft Aerospace Industries, Inc. NV 4.01,9.01 05/25/07 AMEND VALASSIS COMMUNICATIONS INC DE 5.02,9.01 05/24/07 Venoco, Inc. DE 1.01,9.01 05/23/07 VERAMARK TECHNOLOGIES INC DE 1.01 05/22/07 ViewPoint Financial Group X1 8.01,9.01 05/25/07 VION PHARMACEUTICALS INC DE 8.01,9.01 05/23/07 AMEND VISANT CORP 8.01 05/25/07 VISANT HOLDING CORP 8.01 05/25/07 VISTA GOLD CORP 8.01,9.01 05/24/07 WaMu Asset-Backed Certificates, WaMu DE 9.01 05/10/07 WASHINGTON REAL ESTATE INVESTMENT TRU MD 2.01,9.01 03/09/07 AMEND WAVE SYSTEMS CORP DE 8.01,9.01 05/24/07 WELLS FARGO & CO/MN DE 9.01 05/25/07 WESTAFF INC DE 2.02,9.01 05/24/07 WESTMORELAND COAL CO DE 1.01 05/21/07 Whos Your Daddy Inc NV 2.02,9.01 05/25/07 WIFIMED HOLDINGS COMPANY, INC. NV 1.01,9.01 05/18/07 WITS BASIN PRECIOUS MINERALS INC MN 1.01,9.01 05/21/07 WORLD HEART CORP A6 5.02,8.01 05/21/07 WYNDHAM WORLDWIDE CORP DE 1.01,9.01 05/23/07 XCEL ENERGY INC MN 2.02,9.01 05/25/07 XENOMICS INC FL 8.01 05/21/07 ZOLTEK COMPANIES INC DE 4.01,9.01 05/21/07