SEC NEWS DIGEST Issue 2006-147 August 1, 2006 COMMISSION ANNOUNCEMENTS SEC ISSUES ORDER APPROVING THE EXCHANGE ACT REGISTRATION OF SECURITIES TO BE TRADED ON THE NASDAQ STOCK MARKET LLC On July 31, the Securities and Exchange Commission issued two orders affecting companies listed on the Nasdaq Global Market and the Nasdaq Capital Market to facilitate Nasdaq's transition from a national securities association to a national securities exchange. The first order grants a request made by Nasdaq and the NASDAQ Stock Market LLC on behalf of Nasdaq's listed companies for registration of the companies' securities under Section 12(b) of the Securities Exchange Act of 1934. The Commission approved Nasdaq's application for registration as an exchange on Jan. 13, 2006. Exchange Act Section 12(a) prohibits brokers and dealers from effecting transactions in any security on a national securities exchange unless the security is registered under Section 12(b). To register securities under Section 12(b), issuers must file a registration statement with the Commission and the exchange must certify that the securities are approved for listing and registration. Recognizing the unique circumstances of Nasdaq's transition to an exchange structure, and in view of the fact that the type of information elicited by registration under Section 12(b) already has been required to be publicly disclosed by the vast majority of the approximately 3,300 companies listed on Nasdaq that previously have registered their securities under Section 12(g) of the Exchange Act, the Commission permitted the request by Nasdaq and the NASDAQ Stock Market LLC to serve as the single application for Exchange Act registration on behalf of all of these listed companies. This action avoided the cost and administrative burden that otherwise would have resulted from the filing of individual Exchange Act registration statements. The application also served as certification of securities by the NASDAQ Stock Market. The Section 12(b) registration of the securities identified in the application is effective as of July 31, 2006. The NASDAQ Stock Market is expected to commence operations on Aug. 1, 2006. In addition, the Commission is issuing an order that exempts NASDAQ Stock Market members, brokers and dealers from the requirements of Section 12(a) with respect to certain securities that are not registered under Section 12(b). Prior to the transition, Nasdaq listed four insurance companies and nine foreign private issuers that qualified for an exemption from the Section 12(g) registration requirements for their securities. According to Nasdaq, immediate registration under Section 12(b) could force these issuers to withdraw from Nasdaq and thereby potentially deprive investors of depth and liquidity in the market for these securities. The Commission order allows a member, broker or dealer to effect transactions in these unregistered securities without violating Section 12(a) until Aug. 1, 2009. The application of Nasdaq and the NASDAQ Stock Market LLC for Section 12(b) registration on behalf of the issuers identified in the application, and Commission order approving the application, are available on the Commission's website at www.sec.gov/rules/other/2006/34-54240.pdf. The application of Nasdaq and the NASDAQ Stock Market LLC for an exemption from Section 12(a) on behalf of the issuers identified in the application to allow the trading of certain unregistered securities, and the Commission's order granting the exemption, are available on the Commission's website at www.sec.gov/rules/exorders/2006/34-54241.pdf. ENFORCEMENT PROCEEDINGS CIVIL AND ADMINSTRATIVE PROCEEDINGS RESOLVED AS TO LESLIE MERSKY On July 31, 2006, the Commission announced that it had resolved certain administrative and district court proceedings with Leslie Mersky. On July 25, 2006, the Honorable Berle M. Schiller, United States District Court Judge, signed a Final Judgment permanently enjoining Mersky from, among other things, violations of antifraud and registration provisions of the federal securities laws. Securities and Exchange Commission v. Mersky, et al., Civil Action No. 93-5200 (E.D. Pa.). Mersky consented to the Final Judgment without admitting or denying the allegations of the Commission's complaint, except as to jurisdiction. In the civil injunctive action filed by the Commission in 1993, the Commission alleges that Mersky was an officer and a principal of Amglo Industries (Amglo) and its subsidiary, Amglobal Corporation (Amglobal), and that he controlled brokerage accounts that actively traded in the securities of both companies. The complaint further alleges that, from 1988 through 1989, Mersky and others participated in a scheme to sell worthless securities of Amglo and Amglobal. According to the complaint, the price of these securities was artificially inflated through manipulative and fraudulent activities of Mersky and others. The complaint alleges that the scheme to defraud collapsed in the summer of 1989, after Mersky and others distributed approximately $3.4 million of worthless securities to unwitting investors through the over-the-counter market. In January 1994, the Commission's civil action was stayed upon the request of the office of the United States Attorney for the Eastern District of Pennsylvania. The Final Judgment permanently enjoins Mersky from violating Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, Section 10(b) of Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder, Section 15(a)(1) of the Exchange Act, and Rules 101 and 102 of Regulation M of the Exchange Act. He also is barred from participating in the offering of any penny stock. The Final Judgment orders Mersky to pay disgorgement together with prejudgment interest in the amount of $543,689. The Commission did not seek a civil penalty because the alleged wrongdoing preceded the effective date of the Securities Enforcement Remedies and Penny Stock Reform Act of 1990. (Pub. L. No. 101-429, 104 Stat. 931 (1990)). The Commission also announced today that it issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions barring Mersky from association with any broker or dealer. This order is based on the permanent injunction contained in the Final Judgment. (Rel. 34-54254; File No. 3-12387) [SEC v. Leslie Mersky, et al., Civil Action No. 93-CV-5200, E.D. Pa.] (LR-19782) TOP TWO FORMER EXECUTIVES OF IMPATH INC. AGREE TO SETTLE FINANCIAL FRAUD CHARGES IN PENDING SEC ENFORCEMENT CASE The Commission announced today that defendants Anuradha D. Saad, the former Chief Executive Officer and Chairman of the Board of IMPATH, Inc., and Richard P. Adelson, Impath's former President and Chief Operating Officer, have consented to the entry of final judgments against them in the Commission's pending federal court action (SEC v. Anuradha D. Saad, et al., 05 CV 3308 (SDNY)(JSR)). The judgments, which were issued by the Honorable Jed S. Rakoff of the Southern District of New York and entered on July 31, 2006, prohibit Saad and Adelson from acting as officers or directors of a public company and impose permanent injunctive relief for violations of antifraud, proxy solicitation, corporate reporting, books and records and internal control provisions of the federal securities laws. Specifically, Saad and Adelson are permanently enjoined from violating, or engaging in conduct that would make them liable for violations of, Section 17(a) of the Securities Act of 1933, Sections 10(b), 13(a), 13(b)(2), 13(b)(5) and 14(a) of the Securities Exchange Act of 1934, and Exchange Act Rules 10b-5, 12b-20, 13a-1, 13a-13, 13b2-1, 14a-3 and 14a-9. In addition, Saad agreed to pay a total of $2,055,047, consisting of $1,905,047 in disgorgement plus prejudgment interest and a $150,000 civil penalty. The Commission's requests for disgorgement and civil penalties against Adelson were withdrawn in view of Adelson's having been sentenced to serve 42 months in prison and to pay $1.2 million in civil forfeiture and $50 million in restitution as a result of his conviction earlier this year in the parallel criminal case. Both Saad and Adelson consented to the entry of the final judgments without admitting or denying the allegations in the Commission's complaint, which was filed on March 29, 2005. The complaint named Saad, Adelson and five other former Impath executives as defendants: David Cammarata, the Chief Financial Officer, Peter J. Torres, the Vice President for Corporate Finance, Robert McKie, a divisional Vice President, Karin Gardner, the Controller, and Kenneth Jugan, the National Billing Director. The complaint alleges that the defendants engaged in fraudulent accounting practices to make it appear that Impath, formerly a public company that provided laboratory services used in the treatment of cancer, had made multimillion dollar profits when it had actually suffered large losses. Impath filed for bankruptcy in September 2003 and is being liquidated. The complaint further alleges that Saad, Adelson and Cammarata engaged in multiple forms of undisclosed self-dealing, including the use of corporate funds to pay for stock option exercises without obtaining board approval or making the required proxy statement disclosures. The ill-gotten gains that Saad is required to disgorge under the terms of the settlement include $352,000 in stock option exercise costs that she paid with corporate funds, as well as $990,537 in proceeds from her sales of Impath stock and a $220,000 severance payment. In the parallel criminal case, Adelson was tried before a jury, and on Feb. 16, 2006, he was convicted on multiple counts of conspiracy, securities fraud, and filing false reports with the Commission. On May 30, 2006, Adelson was sentenced to 42 months in prison and was also ordered to forfeit $1.2 million and to pay, on a joint and several basis, restitution of $50 million. Saad had previously pled guilty to two felony counts of solicitation of proxies with false proxy statements, and one count of failure to implement an adequate system of internal accounting controls. Saad was sentenced to three months in prison, followed by two years of supervised release, and ordered to pay a $6,900 fine. Cammarata, Torres, Gardner, and Jugan previously pled guilty to conspiracy to commit securities fraud and related counts, and in June 2006, they were each sentenced to pay, jointly and severally, restitution of $50 million. Cammarata was also sentenced to one month in prison. Cammarata, Torres, Gardner, and Jugan previously consented to the entry of judgments in the civil case that permanently enjoin them from committing the federal securities law violations alleged in the Commission's complaint and, in the case of Cammarata and Torres, bar them from acting as officers or directors of a public company. In addition, Cammarata consented to the entry of an administrative order pursuant to Rule 102(e) of the Commission's Rules of Practice suspending him from appearing or practicing before the Commission as an accountant. On July 28, 2006, the Commission withdrew its requests for disgorgement and civil penalties against Cammarata, Torres, Gardner, and Jugan in view of the sentences imposed on them in the criminal case. McKie had consented to the entry of a final judgment imposing permanent injunctive relief, disgorgement plus prejudgment interest and a civil penalty simultaneous with the filing of the Commission's complaint. Accordingly, the civil case is now concluded. For additional information, see Litigation Release No. 19402 (September 29, 2005) and Litigation Release No. 19159 (March 29, 2005). [SEC v. Anuradha D. Saad, et al., 05 CV 3308, SDNY, JSR] (LR- 19783) ATLANTA MAN ORDERED TO PAY $771,787 FOR ILLEGAL INSIDER TRADING The Commission announced today that on July 28, 2006, the Honorable Clarence Cooper, United States District Judge for the Northern District of Georgia, issued an order requiring Arnold E. Johns, Jr. of Atlanta, Georgia, to pay $372,578 of disgorgement, plus prejudgment interest of $399,209, for his 1996 illegal insider trading. The ruling came after an evidentiary hearing held July 17, 2006, and follows a remand from the Eleventh Circuit which directed that the district court conduct the evidentiary hearing. Johns was president and a director of Vista 2000, Inc., a now defunct consumer products company formerly headquartered in Roswell, Georgia. Vista's common stock previously traded on the NASDAQ SmallCap Market until it became listed on the NASDAQ National Market on February 13, 1996. Subsequently, on May 31, 1996, Vista's stock was delisted. Judge Cooper found that Johns unlawfully sold 47,500 shares of Vista 2000, Inc. stock over an 11-day period in February 1996 while he was in possession of material, nonpublic information regarding Vista 2000, Inc. The information Johns possessed was not publicly disclosed until April 15, 1996, after the close of the market. As a result, Johns has now been ordered to pay a total of $771,787. Previously, on Oct. 30, 2002, Judge Cooper issued an Order of Permanent Injunction prohibiting Johns from violating the antifraud provisions, books and records provisions, internal accounting control provisions and reporting provisions of the Securities Act of 1933 (Section 17(a)) and the Securities Exchange Act of 1934 (Sections 10(b), 13(a), 13(b)(2)(A), 13(b)(2)(B), 13(b)(5) and Rules 10b-5, 12b- 20, 13-11, 13a-13 and 13b2-1 thereunder). Johns agreed to settle the charges without admitting or denying the allegations in the amended complaint. The Commission's amended complaint alleged a wide-range of securities law violations committed by Johns during 1995 and 1996. The allegations included Johns': (1) failure to conform with generally accepted accounting principles ("GAAP") resulting in the overstatement in various filings made with the Commission of Vista's revenues, income, earnings per share, and assets during 1995 and 1996 (the misstated amounts ranged up to 83,592% and in most periods, resulted in Vista reporting income when it was, in fact, experiencing losses), (2) failure to disclose the misappropriation of $481,000 in 1996 by Vista's chairman of the board, and (3) engaging in illegal insider selling of Vista common stock during 1996. The Commission alleged that the misstatements contained in Vista's financial statements during Johns' tenure were material and caused numerous reports on Forms 10-QSB and 8-K to be false and misleading. [SEC v. Richard P. Smyth, Arnold E. Johns, Jr., Michael J. Becker and Alan T. Davis, Civil Action No. 1:01-CV-1344, N.D. Ga.] (LR-19784) SELF-REGULATORY ORGANIZATIONS IMMEDATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-NASDAQ-2006-019) filed by the The NASDAQ Stock Market regarding technical and conforming changes to Nasdaq's 4000 Series Rules has become effective immediately under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of July 31, 2006. (Rel. 34-54248) A proposed rule change (SR-NASDAQ-2006-017) filed by the The NASDAQ Stock Market regarding technical and conforming changes to Nasdaq's 1000 Series Rules has become effective immediately under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of July 31, 2006. (Rel. 34-54249) The Commission issued notice of filing and immediate effectiveness of a proposed rule change (SR-Nasdaq-2006-018) filed by The NASDAQ Stock Market under Rule 19b-4 of the Securities Exchange Act of 1934 regarding technical and conforming changes to Nasdaq's 2000 and 3000 Series Rules. Publication of the proposal is expected in the Federal Register during the week of July 31, 2006. (Rel. 34-54253) ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission noticed and granted accelerated approval to a proposed rule change and Amendment No. 1 thereto (SR-NYSEArca-2006-18), submitted by the NYSE Arca under Rule 19b-4 of the Securities Exchange Act of 1934, relating to the trading of the Index-Linked Securities of Barclays Bank PLC Linked to the Performance of the Goldman Sachs Crude Oil Total Return Index™ Pursuant to Unlisted Trading Privileges. Publication is expected in the Federal Register during the week of July 31, 2006. (Rel. 34-54251) APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change and Amendments No. 1 and 2 thereto filed by NYSE Arca (SR-NYSEArca-2006-13), and issued notice of and granted accelerated approval to Amendment No. 3 thereto, relating to the establishment of the OX trading platform. Publication of the order is expected in the Federal Register during the week of July 31, 2006. (Rel. 34-54238) 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 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . SB-2 CRYSTAL INTERNATIONAL TRAVEL GROUP, INC., 641 SHUNPIKE RD., SUITE 333, CHATHAM, NJ, 07928, 9732104966 - 0 ($22,114,125.50) Equity, (File 333-136143 - Jul. 31) (BR. 09B) S-1 VIRAGEN INC, 865 SW 78TH AVENUE, SUITE 100, PLANTATION, FL, 33324, 9542338746 - 0 ($50,912,355.00) Equity, (File 333-136144 - Jul. 31) (BR. 01C) S-8 Education Realty Trust, Inc., 530 OAK COURT DRIVE, SUITE 300, MEMPHIS, TN, 38117, 901.259.2500 - 0 ($12,624,000.00) Equity, (File 333-136145 - Jul. 31) (BR. 08B) S-1 NEG Oil & Gas LLC, 1400 ONE ENERGY SQUARE, 4925 GREENVILLE AVENUE, DALLAS, TX, 75206, 214-692-9211 - 0 ($200,000,000.00) Non-Convertible Debt, (File 333-136146 - Jul. 31) (BR. 04) S-3 Education Realty Trust, Inc., 530 OAK COURT DRIVE, SUITE 300, MEMPHIS, TN, 38117, 901.259.2500 - 0 ($250,000,000.00) Unallocated (Universal) Shelf, (File 333-136147 - Jul. 31) (BR. 08B) S-3 Education Realty Trust, Inc., 530 OAK COURT DRIVE, SUITE 300, MEMPHIS, TN, 38117, 901.259.2500 - 0 ($63,100,000.00) Equity, (File 333-136148 - Jul. 31) (BR. 08B) SB-2 AURORA GOLD CORP, PO BOX 3711 STN TERMINAL, 349 WEST GEORGIA STREET, VANCOUVER, BC CANADA V6B 3Z1, A1, 00000, 604-687-4432 - 8,000,000 ($6,080,000.00) Equity, (File 333-136149 - Jul. 31) (BR. 04C) S-3 BRIGHAM EXPLORATION CO, 6300 BRIDGE POINT PARKWAY, BLDG 2 SUITE 500, AUSTIN, TX, 78730, 5124273300 - 0 ($1.00) Non-Convertible Debt, (File 333-136150 - Jul. 31) (BR. 04A) S-3ASR MONTPELIER RE HOLDINGS LTD, MINTFLOWER PLACE, 8 PAR-LA-VILLE ROAD, HAMILTON HM 08, D0, 00000, 441 296 5550 - 0 ($0.00) Other, (File 333-136151 - Jul. 31) (BR. 01B) S-4 KIMCO REALTY CORP, 3333 NEW HYDE PARK RD, PO BOX 5020, NEW HYDE PARK, NY, 11042, 5168699000 - 0 ($410,795,560.00) Equity, (File 333-136152 - Jul. 31) (BR. 08B) SB-2 Axxent Media CORP, 12665-54TH AVE., SURREY, A1, V3X 3C1, (604) 341-8993 - 5,800,000 ($580,000.00) Equity, (File 333-136167 - Jul. 31) (BR. 09) S-8 WNS (HOLDINGS) LTD, GATE 4, GODREJ & BOYCE COMPLEX, PIROJSHANAGAR, VIKHROLI (W), MUMBAI, K7, 400 079, 91-22-55976100 - 6,965,776 ($159,516,270.40) Equity, (File 333-136168 - Jul. 31) (BR. 11B) S-3ASR PUBLIC STORAGE INC /CA, 701 WESTERN AVE, STE 200, GLENDALE, CA, 91201-2349, (818) 244-8080 - 0 ($1,200,000,000.00) Unallocated (Universal) Shelf, (File 333-136169 - Jul. 31) (BR. 08C) S-B QUEENSLAND TREASURY CORP, LEVEL 14 61 MARY STREET, GPO BOX 1096, BRISBANE QUEENSLAND, C3, 4001, 61738424600 - 0 ($3,000,000,000.00) Non-Convertible Debt, (File 333-136170 - Jul. 31) (BR. DN) SB-2 TEDA TRAVEL GROUP INC, CHINACHEM CENTURY TOWER, SUITE 2102, 178 GLOUCESTER ROAD, WANCHAI, HONG KONG, F4, 00000, 852 2833 2186 - 7,225,000 ($4,298,875.00) Equity, (File 333-136171 - Jul. 31) (BR. 09B) S-8 SCORE ONE INC, SUITES 2203-06, LEVEL 22, OFFICE TOWER, LANGHAM PLACE, 8 ARGYLE STREET, MONGKOK, KOWLOON, K3, 852, 85231055063 - 6,000,000 ($6.42) Equity, (File 333-136172 - Jul. 31) (BR. 09) S-3ASR DUKE REALTY CORP, 600 EAST 96TH STREET, STE 100, INDIANAPOLIS, IN, 46240, 3178086000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-136173 - Jul. 31) (BR. 08A) SB-2 SEREFEX CORP, 4420 MERCANTILE AVENUE, SUITE 4, NAPLES, FL, 34104, 2392621610 - 127,777,778 ($5,111,111.00) Equity, (File 333-136174 - Jul. 31) (BR. 03C) S-8 VENTAS INC, 10350 ORMSBY PARK PLACE, SUITE 300, LOUISVILLE, KY, 40223, 5023579000 - 0 ($188,946,000.00) Equity, (File 333-136175 - Jul. 31) (BR. 08C) S-8 AETNA INC /PA/, 151 FARMINGTON AVENUE, HARTFORD, CT, 06156, 8602730123 - 0 ($209,235,000.00) Equity, (File 333-136176 - Jul. 31) (BR. 01A) S-8 AETNA INC /PA/, 151 FARMINGTON AVENUE, HARTFORD, CT, 06156, 8602730123 - 0 ($640,581,000.00) Equity, (File 333-136177 - Jul. 31) (BR. 01A) S-8 DIVERSINET CORP, 2225 SHEPPARD AVE EAST STE 1801, TORONTO CANADA M2J 5C2, ONTARIO, A6, 00000, 4167562324 - 1,003,750 ($594,220.00) Equity, (File 333-136178 - Jul. 31) (BR. 03B) S-8 WESBANCO INC, 1 BANK PLAZA, WHEELING, WV, 26003, 3042349000 - 500,000 ($14,565,000.00) Equity, (File 333-136179 - Jul. 31) (BR. 07A) F-3 JED OIL INC., SUITE 2600, 500 - 4TH AVE. S.W., CALGARY, A0, T2P 2V6, 403-537-3250 - 0 ($92,270,554.00) Equity, (File 333-136180 - Jul. 31) (BR. 04A) F-3 DIVERSINET CORP, 2225 SHEPPARD AVE EAST STE 1801, TORONTO CANADA M2J 5C2, ONTARIO, A6, 00000, 4167562324 - 20,684,328 ($12,245,122.17) Equity, (File 333-136181 - Jul. 31) (BR. 03B) S-8 NEWPORT CORP, 1791 DEERE AVE, IRVINE, CA, 92714, 7148633144 - 0 ($48,637,107.00) Equity, (File 333-136182 - Jul. 31) (BR. 10B) S-8 ELECTRO OPTICAL SCIENCES INC /NY, 3 WEST MAIN STREET, SUITE 201, IRVINGTON, NY, 10533, 914-591-3783 - 0 ($6,878,669.00) Equity, (File 333-136183 - Jul. 31) (BR. 10) S-3 ARTESIAN RESOURCES CORP, 664 CHURCHMANS RD, NEWARK, DE, 19702, 3024536900 - 0 ($30,000,000.00) Equity, (File 333-136184 - Jul. 31) (BR. 02C) S-3ASR ROYAL CARIBBEAN CRUISES LTD, 1050 CARIBBEAN WAY, MIAMI, FL, 33132, 3055396000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-136186 - Jul. 31) (BR. 05C) S-1 HEMISPHERX BIOPHARMA INC, 1617 JFK BLVD #660, ONE PENN CENTER, PHILADELPHIA, PA, 19104, 2159880080 - 12,720,381 ($3,130.49) Equity, (File 333-136187 - Jul. 31) (BR. 01A) S-3ASR ALLERGAN INC, 2525 DUPONT DRIVE, IRVINE, CA, 92612, 7142464500 - 0 ($750,000,000.00) Debt Convertible into Equity, (File 333-136188 - Jul. 31) (BR. 01B) S-4 ALLERGAN INC, 2525 DUPONT DRIVE, IRVINE, CA, 92612, 7142464500 - 800,000,000 ($800,000,000.00) Non-Convertible Debt, (File 333-136189 - Jul. 31) (BR. 01B) SB-2 JURAK CORP WORLD WIDE INC, 7115 BERMUDA, LAS VEGAS, NV, 89119, 8005288911 - 60,000,000 ($63,000,000.00) Equity, (File 333-136190 - Jul. 31) (BR. 04A) S-8 HELIX BIOMEDIX INC, 22122 20TH AVE SE, BOTHELL, WA, 98021, 425 402 8400 - 0 ($6,355,343.00) Equity, (File 333-136192 - Jul. 31) (BR. 01A) S-4 Intelsat (Bermuda), Ltd., WELLESLEY HOUSE NORTH, 2ND FLOOR, 90 PITTS BAY ROAD, PEMBROKE, D0, HM 08, (441) 294-1650 - 0 ($478,700,000.00) Non-Convertible Debt, (File 333-136193 - Jul. 31) (BR. ) SB-2 RUSH FINANCIAL TECHNOLOGIES INC, 13355 NOEL RD, STE 300, DALLAS, TX, 75240, 9724506000 - 18,000,000 ($4,320,000.00) Equity, (File 333-136194 - Jul. 31) (BR. 07C) 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 450 Fifth Street, N.W., Washington, D.C. 20549 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 ---------------------------------------------------------------------------------------------------- A.C. Moore Arts & Crafts, Inc. PA 1.01,9.01 07/31/06 ABAXIS INC CA 1.01 07/25/06 ABX AIR INC 7.01,9.01 07/27/06 ACE Securities Corp Series 2004-HE3 DE 8.01,9.01 06/01/06 ACE Securities Corp. Home Equity Loan DE 8.01,9.01 06/01/06 ACE Securities Corp. Home Equity Loan DE 9.01 07/31/06 ACTION PRODUCTS INTERNATIONAL INC FL 2.02,5.02,9.01 07/28/06 ACTUATE CORP DE 2.02,9.01 07/25/06 ADOLOR CORP 2.02,9.01 07/31/06 ADSERO CORP DE 5.02 07/25/06 ADVANCED ANALOGIC TECHNOLOGIES INC DE 2.02,9.01 07/31/06 ADVANCED MICRO DEVICES INC DE 1.01 07/25/06 AFFORDABLE RESIDENTIAL COMMUNITIES IN MD 1.01,9.01 07/27/06 AFFYMETRIX INC DE 2.02,9.01 07/31/06 AGCO CORP /DE DE 1.01,2.02,5.02,9.01 07/31/06 AHPC Holdings, Inc. MD 4.02 05/11/06 AIRSPAN NETWORKS INC WA 1.01,5.02,8.01 07/28/06 ALDILA INC DE 7.01,9.01 07/28/06 Aleris International, Inc. DE 7.01,9.01 07/31/06 ALPHARMA INC DE 2.02,9.01 07/31/06 ALTERA CORP DE 7.01,9.01 07/31/06 ALTIRIS INC DE 2.02,8.01,9.01 07/31/06 AMERICAN BANCORP OF NEW JERSEY INC NJ 2.02,9.01 07/28/06 AMERICAN CONSUMERS INC GA 1.01,2.03,9.01 07/25/06 AMERICAN MORTGAGE ACCEPTANCE CO MA 1.01,9.01 07/26/06 AMERICAN RIVER BANKSHARES CA 1.01,9.01 07/28/06 AMIS HOLDINGS INC 1.01 07/26/06 AMIS HOLDINGS INC 1.01,9.01 07/28/06 ANALOG DEVICES INC MA 8.01,9.01 07/31/06 ANALYSTS INTERNATIONAL CORP 8.01,9.01 07/31/06 ANDREW CORP DE 2.02,9.01 07/27/06 Answers CORP 2.02,7.01,9.01 07/31/06 APOLLO INVESTMENT CORP MD 5.02,9.01 07/31/06 AQUANTIVE INC WA 8.01 07/25/06 ARIAD PHARMACEUTICALS INC DE 1.01,9.01 06/14/06 ARTS WAY MANUFACTURING CO INC DE 5.02 07/31/06 ARVINMERITOR INC IN 2.02,5.02,9.01 07/31/06 ASPEN INSURANCE HOLDINGS LTD D0 7.01,9.01 07/31/06 ATLAS AMERICA INC DE 7.01,9.01 07/28/06 AUDIBLE INC 1.01,9.01 07/31/06 AURELIO RESOURCE CORP NV 1.01,9.01 07/21/06 AMEND AVIGEN INC \DE DE 2.02,9.01 07/27/06 AVON PRODUCTS INC NY 2.02,9.01 07/31/06 BACKWEB TECHNOLOGIES LTD 2.02,2.05,3.01,9.01 07/25/06 Banc of America Funding 2006-G Trust DE 9.01 07/31/06 BANKATLANTIC BANCORP INC FL 7.01,9.01 07/31/06 BARRIER THERAPEUTICS INC DE 8.01,9.01 07/28/06 Basin Water, Inc. CA 8.01,9.01 07/27/06 BAUSCH & LOMB INC NY 1.01 07/25/06 BE AEROSPACE INC DE 1.01,1.02 07/26/06 Bear Stearns ALT-A Trust 2006-5 DE 8.01,9.01 07/31/06 Bear Stearns Mortgage Funding Trust 2 DE 9.01 07/31/06 Bear Stearns Mortgage Funding Trust 2 DE 8.01,9.01 07/31/06 BELO CORP DE 5.02,9.01 07/28/06 BERMAN CENTER, INC. DE 5.02,9.01 07/25/06 BIOANALYTICAL SYSTEMS INC IN 1.01,9.01 07/27/06 Birmingham Bloomfield Bancshares MI 8.01,9.01 07/31/06 BLAST ENERGY SERVICES, INC. CA 8.01,9.01 07/26/06 BONUSAMERICA WORLDWIDE CORP. NV 5.02,5.03,8.01,9.01 07/27/06 BOYD GAMING CORP NV 1.01 07/25/06 BRIGHTPOINT INC IN 2.02,9.01 07/31/06 BROADWAY FINANCIAL CORP \DE\ DE 2.02,9.01 07/31/06 BROADWING CORP DE 1.01,5.02,9.01 07/25/06 BRUSH ENGINEERED MATERIALS INC 7.01,9.01 07/31/06 BRUSH ENGINEERED MATERIALS INC 7.01,9.01 07/31/06 BSD MEDICAL CORP DE 7.01,9.01 07/31/06 C & F FINANCIAL CORP VA 8.01,9.01 07/31/06 C-BASS 2006-CB6 Trust DE 9.01 07/31/06 CA, INC. DE 2.02,4.02,9.01 07/27/06 CA, INC. DE 9.01 03/06/03 AMEND CAMDEN NATIONAL CORP ME 2.02,9.01 07/31/06 CARDICA INC DE 2.02,9.01 07/31/06 CARRIZO OIL & GAS INC TX 3.02 07/18/06 CASTELLE \CA\ DE 2.02,9.01 07/28/06 Centennial Bank Holdings, Inc. DE 2.02,7.01,9.01 07/31/06 CENTERPOINT ENERGY INC 7.01,9.01 07/31/06 CentraCore Properties Trust MD 1.01,9.01 07/27/06 CENTRAL BANCORP INC /MA/ MA 8.01,9.01 07/31/06 CHENIERE ENERGY INC DE 1.01,9.01 07/25/06 CHIPOTLE MEXICAN GRILL INC 2.02,8.01,9.01 07/31/06 CIRRUS LOGIC INC DE 1.01,9.01 07/28/06 CISCO SYSTEMS INC CA 1.01,9.01 07/27/06 CISCO SYSTEMS INC CA 5.02 01/31/06 AMEND Citigroup Mortgage Loan Trust 2006-AR 2.01,9.01 06/30/06 CITIZENS BANCORP OF VIRGINIA INC VA 2.02,9.01 07/26/06 CITIZENS HOLDING CO /MS/ MS 2.02,7.01,9.01 07/31/06 CLEAR CHANNEL COMMUNICATIONS INC TX 5.03,9.01 07/25/06 CNA SURETY CORP DE 2.02,9.01 07/31/06 COACHMEN INDUSTRIES INC IN 2.02,7.01,9.01 07/31/06 COASTAL BANKING CO INC SC 2.02,9.01 07/28/06 COMMONWEALTH BIOTECHNOLOGIES INC VA 8.01,9.01 07/26/06 AMEND COMPASS MINERALS INTERNATIONAL INC DE 2.02,9.01 07/31/06 CONAGRA FOODS INC /DE/ DE 8.01,9.01 07/28/06 COUNTERPATH SOLUTIONS, INC. NV 1.01,3.02 07/26/06 COX RADIO INC DE 1.01,1.02,2.03,9.01 07/26/06 CRAWFORD & CO GA 2.02,9.01 07/31/06 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE 8.01,9.01 07/31/06 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE 8.01,9.01 07/31/06 CSK AUTO CORP DE 1.01,7.01,9.01 07/27/06 CTC Media, Inc. 2.02,9.01 07/31/06 CUBIST PHARMACEUTICALS INC DE 5.05,9.01 07/25/06 CWMBS INC DE 9.01 07/31/06 DANAHER CORP /DE/ DE 2.01,9.01 05/16/06 AMEND DATA I/O CORP WA 2.02 06/30/06 DATAMEG CORP DE 8.01 07/31/06 DAVITA INC DE 1.01,5.02,9.01 07/25/06 DCAP GROUP INC DE 1.01,2.03,7.01,9.01 07/28/06 DELPHI CORP DE 7.01,9.01 07/31/06 DELTA APPAREL INC GA 5.02 07/26/06 Deutsche Alt-A Securities Mortgage Lo 8.01,9.01 07/31/06 DIAMONDCLUSTER INTERNATIONAL INC DE 2.01,9.01 07/31/06 DIGENE CORP DE 1.01,9.01 07/26/06 DISCOVERY PARTNERS INTERNATIONAL INC DE 1.01 07/27/06 DUCOMMUN INC /DE/ DE 2.02,9.01 07/31/06 DYADIC INTERNATIONAL INC DE 7.01 07/31/06 DYNTEK INC DE 2.02,9.01 07/27/06 Eagle Bulk Shipping Inc. 1.01 07/31/06 EMAGEON INC 2.02,9.01 07/31/06 EMERSON RADIO CORP DE 8.01,9.01 07/26/06 ENCORE MEDICAL CORP DE 2.02,9.01 07/31/06 ENTERPRISE FINANCIAL SERVICES CORP DE 7.01,9.01 07/31/06 ENUCLEUS INC DE 5.02 07/28/06 EOG RESOURCES INC DE 2.02,9.01 07/31/06 EOG RESOURCES INC DE 7.01 07/31/06 EPIX Pharmaceuticals, Inc. 8.01,9.01 07/31/06 EQUITY ONE, INC. 2.04 07/31/06 EUROBANCSHARES INC 7.01,9.01 07/31/06 EXACTECH INC FL 2.02,7.01 07/31/06 EXCHANGE NATIONAL BANCSHARES INC MO 8.01,9.01 07/28/06 EXELON CORP PA 8.01,9.01 07/28/06 EXELON CORP PA 2.02,7.01,9.01 07/31/06 EXELON CORP PA 9.01 07/31/06 EXPRESS SCRIPTS INC DE 7.01 07/31/06 Federal Home Loan Bank of Boston X1 5.02 07/28/06 FEDERAL NATIONAL MORTGAGE ASSOCIATION 7.01,9.01 07/28/06 FEDERAL REALTY INVESTMENT TRUST MD 1.01,1.02,2.03,9.01 07/28/06 FedFirst Financial CORP X1 2.02,9.01 07/31/06 FERRO CORP OH 2.04 07/28/06 FIA Card Services, National Associati DE 8.01,9.01 07/28/06 FIRST COMMUNITY BANCORP /CA/ CA 7.01,9.01 07/28/06 First Franklin Mortgage Loan Trust 20 8.01 07/31/06 FIRST MUTUAL BANCSHARES INC WA 8.01 07/28/06 FLOWSERVE CORP NY 2.02,8.01,9.01 07/27/06 FLYI INC DE 7.01 07/31/06 FNB CORP \VA\ VA 1.01,2.02,5.02,9.01 07/27/06 FRANKLIN ELECTRIC CO INC IN 9.01 04/21/06 AMEND FRANKLYN RESOURCES III INC NV 4.01,5.02,8.01,9.01 07/26/06 AMEND FREQUENCY ELECTRONICS INC DE 3.01 06/28/06 FRIEDMAN BILLINGS RAMSEY GROUP INC VA 2.02,9.01 07/28/06 FULTON FINANCIAL CORP PA 7.01,9.01 07/31/06 FURNITURE BRANDS INTERNATIONAL INC DE 2.02,8.01,9.01 07/27/06 FUSION TELECOMMUNICATIONS INTERNATION 8.01,9.01 07/31/06 GABRIEL TECHNOLOGIES CORP DE 1.01,9.01 07/25/06 GANNETT CO INC /DE/ DE 5.02 03/27/06 AMEND GE-WMC Asset-Backed Pass Through Cert 9.01 07/25/06 GE-WMC Asset-Backed Pass-Through Cert 9.01 07/25/06 GEHL CO WI 2.02,9.01 07/31/06 GEN PROBE INC DE 2.02,9.01 07/31/06 GENESCO INC TN 7.01 07/31/06 GENSYM CORP DE 8.01,9.01 07/27/06 GEORGIA CAROLINA BANCSHARES INC GA 2.02,9.01 07/28/06 GERON CORP DE 2.02,9.01 07/31/06 GEVITY HR INC FL 2.02,9.01 07/31/06 GOLDEN STAR RESOURCES LTD 5.02 07/27/06 GORMAN RUPP CO OH 2.02,9.01 07/28/06 GOVERNMENT PROPERTIES TRUST INC 2.01,9.01 05/22/06 AMEND Great Wolf Resorts, Inc. DE 1.01,2.03,9.01 07/28/06 GREATER BAY BANCORP CA 1.01,9.01 07/25/06 GREEN PLAINS RENEWABLE ENERGY, INC. IA 8.01,9.01 07/31/06 GREENE COUNTY BANCORP INC DE 2.02,9.01 07/31/06 GREYSTONE LOGISTICS, INC. 7.01,9.01 07/27/06 GRIFFON CORP DE 9.01 02/03/06 GS Auto Loan Trust 2006-1 9.01 07/28/06 GULFMARK OFFSHORE INC DE 4.01,9.01 07/31/06 H&E Equipment Services, Inc. DE 1.01,2.03,8.01,9.01 07/28/06 HALOZYME THERAPEUTICS INC NV 5.02,5.03,9.01 07/27/06 HARTFORD LIFE INSURANCE CO CT 9.01 07/31/06 HD Partners Acquisition CORP CA 8.01,9.01 07/31/06 HEALTH GRADES INC DE 2.02,9.01 07/31/06 HEALTH NET INC DE 1.01,5.02,9.01 07/27/06 HEALTHBRIDGE INC TX 3.02 07/25/06 HERCULES OFFSHORE, INC. DE 2.02,9.01 07/31/06 Heritage Financial Group DC 8.01,9.01 07/26/01 HEWITT ASSOCIATES INC DE 8.01 07/28/06 HOME CITY FINANCIAL CORP OH 2.02,9.01 07/25/06 HOME SOLUTIONS OF AMERICA INC DE 7.01,9.01 07/31/06 HOMEBANC CORP 1.01,9.01 07/31/06 HORIZON BANCORP /IN/ IN 2.02,9.01 07/27/06 HOUSTON EXPLORATION CO DE 1.01,9.01 07/31/06 HQ SUSTAINABLE MARITIME INDUSTRIES, I DE 5.02 07/26/06 HSBC Automotive Trust (USA) 2006-2 NV 8.01,9.01 07/26/06 HSBC Finance CORP 2.02,9.01 07/31/06 HSBC Finance CORP 7.01,9.01 07/31/06 HUMANA INC DE 2.02,7.01,9.01 07/31/06 HUSKER AG LLC NE 1.01 07/25/06 IBERIABANK CORP LA 1.01,7.01,9.01 07/26/06 AMEND ICAD INC DE 2.02,9.01 07/27/06 ICONIX BRAND GROUP, INC. DE 2.02,9.01 07/27/06 ICT GROUP INC PA 1.01,9.01 07/25/06 IKANOS COMMUNICATIONS CA 2.02,9.01 07/31/06 IMMUNE RESPONSE CORP DE 3.02 07/25/06 INGLES MARKETS INC NC 2.02,9.01 07/31/06 INLAND WESTERN RETAIL REAL ESTATE TRU MD 3.03,9.01 07/31/06 INTERNET SECURITY SYSTEMS INC/GA DE 2.02,9.01 07/31/06 INTRALASE CORP 5.02,9.01 07/25/06 INTUIT INC DE 1.01,9.01 07/25/06 IPIX CORP DE 1.01,1.03 07/26/06 IROBOT CORP DE 2.02,9.01 07/31/06 ISIS PHARMACEUTICALS INC DE 1.01,9.01 07/28/06 ITRON INC /WA/ WA 2.03,9.01 07/31/06 IVOICE, INC /DE DE 1.01,9.01 07/28/06 J P MORGAN ACCEPTANCE CORP I DE 8.01,9.01 07/31/06 JPMAC 2006-FRE2 DE 8.01,9.01 07/31/06 AMEND JPMAC 2006-NC1 DE 8.01,9.01 07/31/06 AMEND KINETIC CONCEPTS INC /TX/ TX 9.01 06/30/06 KRISPY KREME DOUGHNUTS INC NC 8.01,9.01 07/28/06 KUSHNER LOCKE CO CA 8.01,9.01 07/28/06 LA-Z-BOY INC MI 7.01 07/31/06 LACROSSE FOOTWEAR INC WI 2.02,9.01 07/31/06 Lake Shore Bancorp, Inc. X1 2.02,9.01 07/31/06 LAKELAND INDUSTRIES INC DE 7.01,8.01 07/31/06 Lawson Software, Inc. MN 1.01 07/27/06 Lawson Software, Inc. MN 1.01,2.02,5.02,9.01 07/24/06 LCC INTERNATIONAL INC DE 8.01,9.01 07/31/06 Lehman XS Trust 2006-11 DE 8.01 07/31/06 Lehman XS Trust Series 2006-12N DE 8.01,9.01 07/31/06 Lehman XS Trust Series 2006-GP4 DE 8.01,9.01 07/31/06 LITTLEFIELD CORP DE 1.01,9.01 07/28/06 LONGS DRUG STORES CORP MD 7.01,9.01 07/28/06 LPATH, INC NV 5.02,8.01 07/25/06 MACKINAC FINANCIAL CORP /MI/ MI 5.02 07/26/06 MACROVISION CORP DE 5.02,9.01 07/28/06 MAGNACHIP SEMICONDUCTOR LLC 1.01,2.02,2.06,9.01 07/25/06 MARKET DATA CONSULTANTS, INC. DE 4.02 07/24/06 MASTR Asset-Backed Securities Trust 2 DE 9.01 07/20/06 MATRIA HEALTHCARE INC DE 1.01,9.01 07/26/06 MAX RE CAPITAL LTD 2.02,8.01 07/26/06 MAXYGEN INC DE 2.02,9.01 07/31/06 McAfee, Inc. DE 2.02,9.01 07/27/06 MediaMax Technology CORP NV 8.01 07/31/06 MEDICIS PHARMACEUTICAL CORP DE 1.01,9.01 07/25/06 MEGOLA INC 1.01,8.01,9.01 07/26/06 MEMC ELECTRONIC MATERIALS INC DE 1.01,2.03,9.01 07/25/06 METLIFE INC DE 2.02,9.01 07/31/06 METRIS MASTER TRUST DE 9.01 07/20/06 METROLOGIC INSTRUMENTS INC NJ 2.02,9.01 07/26/06 MGCC INVESTMENT STRATEGIES INC NV 8.01 07/31/06 MGP INGREDIENTS INC KS 2.02,7.01 07/31/06 Middle Kingdom Resources Ltd. NV 4.01 07/21/06 MINDSPEED TECHNOLOGIES, INC DE 2.02,9.01 07/31/06 MOBILE MINI INC DE 2.02 07/31/06 MOMENTA PHARMACEUTICALS INC DE 8.01 07/31/06 MONADNOCK BANCORP INC MD 2.02,9.01 07/31/06 Morningstar, Inc. IL 5.03,9.01 07/28/06 NASH FINCH CO DE 5.02,8.01,9.01 07/31/06 NATIONAL HEALTHCARE TECHNOLOGY INC CO 4.02,5.02 07/26/06 NAUTILUS, INC. WA 2.02,9.01 07/31/06 NBTY INC DE 7.01,9.01 07/27/06 Newkirk Realty Trust, Inc. MD 2.02,9.01 07/27/06 NORTH AMERICAN GALVANIZING & COATINGS DE 7.01 07/31/06 NORTH EUROPEAN OIL ROYALTY TRUST DE 2.02,9.01 07/31/06 NORTH POINTE HOLDINGS CORP 2.02,7.01,9.01 07/31/06 NORTHERN GROWERS LLC SD 8.01 07/28/06 OFFICE DEPOT INC DE 5.02 07/26/06 OFFICE DEPOT INC DE 5.03,9.01 07/27/06 OLD NATIONAL BANCORP /IN/ IN 5.03,8.01,9.01 07/31/06 OLIN CORP VA 1.01 07/25/06 OMEGA PROTEIN CORP NV 8.01,9.01 07/31/06 Onstream Media CORP FL 2.02,5.02,9.01 07/25/06 Orchids Paper Products CO /DE DE 2.02 07/28/06 OSI SYSTEMS INC CA 1.01,5.02,9.01 07/26/06 PAM TRANSPORTATION SERVICES INC DE 2.02,9.01 07/26/06 PANACOS PHARMACEUTICALS, INC. DE 1.01,2.02,9.01 07/27/06 PATHFINDER BANCORP INC DE 2.02,9.01 06/30/06 PAVILION BANCORP INC 2.02,9.01 07/31/06 PAXSON COMMUNICATIONS CORP DE 5.02 07/31/06 PENNFED FINANCIAL SERVICES INC DE 1.01 07/25/06 PENSON WORLDWIDE INC DE 1.01,9.01 07/25/06 PeopleSupport, Inc. DE 2.02,9.01 07/31/06 PHOTOWORKS INC /WA WA 1.01,5.02,9.01 07/27/06 PLACER SIERRA BANCSHARES CA 8.01,9.01 07/27/06 PLAYTEX PRODUCTS INC DE 2.02,9.01 07/31/06 PLUM CREEK TIMBER CO INC DE 5.02,9.01 07/31/06 POGO PRODUCING CO DE 1.01 07/25/06 POLYMEDICA CORP MA 1.01,9.01 07/25/06 POSSIS MEDICAL INC MN 7.01,9.01 07/31/06 POTLATCH CORP DE 2.02,9.01 07/31/06 POWER INTEGRATIONS INC CA 2.02,9.01 07/31/06 POWERWAVE TECHNOLOGIES INC DE 2.02,9.01 07/31/06 POZEN INC /NC 8.01,9.01 07/31/06 PPL CORP PA 5.02 07/31/06 AMEND Prescient Applied Intelligence, Inc. DE 1.01,1.02,9.01 07/31/06 PRIMEDIA INC DE 5.02,9.01 07/31/06 PROCERA NETWORKS INC NV 4.01 07/26/06 PROVIDENT FINANCIAL HOLDINGS INC DE 1.02,9.01 07/28/06 PUBLIC STORAGE INC /CA CA 8.01,9.01 07/31/06 QUADRAMED CORP DE 4.02 07/25/06 QUALITY SYSTEMS INC CA 1.01 07/25/06 QUALSTAR CORP CA 5.02 07/25/06 RADIOSHACK CORP DE 1.01,5.02,9.01 07/31/06 RANCHER ENERGY CORP. NV 3.02 07/20/06 RANCHER ENERGY CORP. NV 4.01,9.01 07/31/06 RAPTOR NETWORKS TECHNOLOGY INC 1.01,2.03,3.02,8.01,9.01 07/30/06 REAL ESTATE ASSOCIATES LTD VI CA 1.01,9.01 07/25/06 REALOGY CORP DE 1.01,2.03,7.01,9.01 07/27/06 REGAL ENTERTAINMENT GROUP DE 2.02,8.01,9.01 07/31/06 RELIANT HOME WARRANTY CORP FL 4.01 06/29/06 REPLIGEN CORP DE 7.01,9.01 07/31/06 RESPIRONICS INC DE 2.02 07/27/06 REX STORES CORP DE 8.01,9.01 07/31/06 SAFENET INC DE 4.02 07/26/06 SAFENET INC DE 2.02,9.01 07/26/06 SALON MEDIA GROUP INC DE 1.01,3.02,9.01 07/27/06 SANDISK CORP DE 1.01,9.01 07/30/06 SANTA FE ENERGY TRUST TX 2.02,7.01,9.01 07/31/06 SEACOAST BANKING CORP OF FLORIDA FL 2.02,7.01,9.01 07/25/06 SECURE COMPUTING CORP DE 2.02,9.01 07/26/06 Seneca-Cayuga Bancorp, Inc. X1 2.02,9.01 07/31/06 SGS International, Inc. DE 1.01,8.01 07/31/06 SHERWIN WILLIAMS CO OH 5.03,9.01 07/26/06 SIERRA PACIFIC RESOURCES /NV/ NV 7.01,9.01 07/31/06 SIMON PROPERTY GROUP INC /DE/ DE 2.02,7.01,9.01 07/31/06 SIMPSON MANUFACTURING CO INC /CA/ DE 8.01 07/28/06 SINGING MACHINE CO INC DE 1.01,9.01 07/25/06 SIRICOMM INC DE 5.02,9.01 07/26/06 SJW CORP CA 1.01,2.02,9.01 07/27/06 SKYLINE CORP IN 2.02,9.01 07/31/06 SOLUTIA INC DE 7.01,9.01 07/31/06 SOUTHERN MISSOURI BANCORP INC MO 2.02,9.01 07/27/06 SpeechSwitch, Inc. NJ 1.01,9.01 07/28/06 ST JOE CO FL 1.01,1.02,2.03,9.01 07/27/06 ST JUDE MEDICAL INC MN 1.01,9.01 07/30/06 STANDARD REGISTER CO OH 2.02,9.01 07/27/06 STARWOOD HOTEL & RESORTS WORLDWIDE IN MD 1.01,5.02,7.01,9.01 07/25/06 STERLING BANCORP NY 2.02,7.01,8.01,9.01 07/28/06 STRUCTURED ASSET SECURITIES CORP DE 8.01 07/31/06 STRUCTURED ASSET SECURITIES CORP DE 8.01,9.01 07/31/06 SUMMIT BANK CORP GA 2.02,9.01 07/26/06 SUMMIT HOTEL PROPERTIES LLC 1.01,2.03,9.01 07/25/06 SUNRISE SENIOR LIVING INC DE 2.02,4.02,9.01 07/30/06 SUNTERRA CORP MD 1.02,4.02,5.02,8.01,9.01 07/25/06 Super Luck, Inc. DE 4.02 07/24/06 SUPERIOR BANCORP DE 7.01,9.01 07/31/06 SYNAPTICS INC CA 1.01,9.01 07/25/06 TALBOTS INC DE 1.01,9.01 07/27/06 TASTY BAKING CO PA 1.01,2.02,5.02,7.01,9.01 07/27/06 TECHNOLOGY RESEARCH CORP FL 2.02,9.01 06/30/06 TELLABS INC DE 8.01 07/31/06 Tennessee Commerce Bancorp, Inc. TN 7.01,9.01 07/31/06 TERABEAM, INC. DE 1.01,9.01 07/25/06 THORATEC CORP CA 2.02 07/31/06 TIBCO SOFTWARE INC DE 1.01,9.01 07/27/06 TIDEWATER INC DE 7.01,9.01 07/27/06 TIER TECHNOLOGIES INC DE 3.01 07/25/06 TITAN INTERNATIONAL INC IL 8.01,9.01 07/26/06 TOR MINERALS INTERNATIONAL INC DE 2.02,9.01 07/31/06 TRANSCAT INC OH 1.01 07/25/06 TransDigm Group INC DE 2.02,9.01 07/31/06 Transnational Automotive Group, Inc. NV 5.02 06/19/06 TRANSOCEAN INC E9 7.01,9.01 07/31/06 TRICO BANCSHARES / CA 2.02,9.01 07/26/06 TRIDENT MICROSYSTEMS INC DE 2.02,9.01 07/26/06 TRIDENT MICROSYSTEMS INC DE 1.01 07/25/06 TRINITY INDUSTRIES INC DE 1.01,9.01 07/31/06 TRIPOS INC UT 7.01 07/31/06 TUMBLEWEED COMMUNICATIONS CORP DE 1.01,9.01 07/25/06 TX Holdings, Inc. GA 8.01 07/24/06 TYSON FOODS INC DE 1.01,2.02,9.01 07/31/06 UAL CORP /DE/ DE 2.02,9.01 07/31/06 UGI CORP /PA/ PA 1.01 07/25/06 UGI UTILITIES INC PA 1.01 07/25/06 UMPQUA HOLDINGS CORP OR 7.01,9.01 07/31/06 UNIFI INC NY 1.01,5.03,9.01 07/25/06 UNION BANKSHARES CO/ME ME 2.02,9.01 07/28/06 UNION BANKSHARES CORP VA 1.01,9.01 07/25/06 United EcoEnergy Corp. 8.01 07/31/06 UNITED FINANCIAL CORP \MN\ MN 2.02,7.01,9.01 07/28/06 UNITED HERITAGE BANKSHARES OF FLORIDA FL 2.02 07/31/06 UNITED MORTGAGE TRUST MD 1.01 07/31/06 VALENCE TECHNOLOGY INC DE 3.01 07/25/06 VALERO L P DE 2.02,9.01 07/31/06 VERSO TECHNOLOGIES INC MN 1.01 07/27/06 VISTAPRINT LTD D0 2.02,8.01,9.01 07/31/06 VIVUS INC CA 2.02,9.01 07/27/06 W R GRACE & CO DE 2.02,9.01 07/27/06 WASHINGTON BANKING CO WA 2.02,7.01,9.01 07/25/06 WASHINGTON REAL ESTATE INVESTMENT TRU MD 2.01,9.01 05/19/06 AMEND WESTAFF INC DE 1.01,9.01 07/25/06 WESTBANK CORP MA 2.02,9.01 07/28/06 WHOLE FOODS MARKET INC TX 2.02,9.01 07/31/06 WYNDHAM WORLDWIDE CORP DE 1.01,2.03,7.01,9.01 07/27/06 XFONE INC NV 8.01,9.01 07/31/06 XYNERGY CORP NV 1.01 06/28/06 YANKEE CANDLE CO INC 1.01,9.01 07/25/06 YARDVILLE NATIONAL BANCORP NJ 1.01 07/26/06 YTB International, Inc. NY 2.01 07/26/06 ZIFF DAVIS HOLDINGS INC DE 2.02,9.01 07/31/06