SEC NEWS DIGEST Issue 2007-10 January 17, 2007 COMMISSION ANNOUNCEMENTS SECURITIES AND EXCHANGE COMMISSION SUSPENDS TRADING IN FOREST RESOURCES MANAGEMENT CORP. The Commission today announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act), of trading in the securities of Forest Resources Management Corp. (Forest) (stock symbol FTRM) at 9:30 a.m. EST on Jan. 17, 2007, and terminating at 11:59 p.m. EST on Jan. 30, 2007. The Commission temporarily suspended trading in the securities of Forest because of questions raised regarding the accuracy and adequacy of publicly disseminated information concerning, among other things, Forest's assets and Forest's announced contracts and agreements. The Commission cautions brokers, dealers, shareholders, and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by the company. Further, brokers and dealers should be alert to the fact that, pursuant to Rule 15c2-11 under the Exchange Act, at the termination of the trading suspension, no quotation may be entered unless and until they have strictly complied with all of the provisions of the rule. If any broker or dealer has any questions as to whether or not it has complied with the rule, it should not enter any quotation but immediately contact the staff of the Securities and Exchange Commission in Washington, D.C. If any broker or dealer is uncertain as to what is required by Rule 15c2-11, it should refrain from entering quotations relating to Forest's securities until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. If any broker or dealer enters any quotation that is in violation of the rule, the Commission will consider the need for prompt enforcement action. For questions related to the operation of Rule 15c2-11, please contact the Division of Market Regulation, Office of Interpretation and Guidance, at (202) 551-5760. Any broker, dealer or other person with information relating to this matter is invited to call Gerald A. Gross, Assistant Regional Director, in the Northeast Regional Office of the Securities and Exchange Commission, at (212) 336-0085 or grossg@sec.gov. (Rel. 34- 55112) JAMES BRIGAGLIANO NAMED ASSOCIATE DIRECTOR FOR TRADING PRACTICES AND PROCESSING IN THE SEC'S DIVISION OF MARKET REGULATION The Commission today announced the appointment of James A. Brigagliano as Associate Director for Trading Practices and Processing in the Commission's Division of Market Regulation. In this position, Mr. Brigagliano will oversee the Division's regulatory program in trading practices, clearance and settlement, and the enforcement liaison function. Currently serving as Acting Associate Director, Mr. Brigagliano has been the Assistant Director for the Office of Trading Practices since 1998 and has led the implementation of significant reforms that have benefited investors and the capital markets, including rules governing analyst conflicts of interest and regulations to discourage manipulative conduct. Mr. Brigagliano has also worked to promote compliance and increase regulatory efficiency, including, where appropriate, issuance of letters providing relief for entire classes of financial products and market transactions. SEC Director of Market Regulation Erik Siri commented, "Jamie is a proven manager as well as an energetic and pragmatic lawyer. I look forward to his taking a leadership role in modernizing and administering rules governing trading practices and clearance and settlement." During his tenure in the Division, Mr. Brigagliano has administered rules addressing market manipulation, underwriting, research, soft dollars, issuer repurchases, over-the-counter quotations, short sales, and tender offers. In addition to leading staff efforts on numerous investor protection rulemakings, including Regulation AC (Analyst Certification) and self regulatory organization rules governing analysts conflicts of interest, Mr. Brigagliano also led the drafting and implementation of Regulation SHO, which implemented a comprehensive revision to the scheme of short sale regulation; an emergency rulemaking project following September 11 that revised Rule 10b-18 temporarily to assist issuers in repurchasing their securities following the reopening of the markets; and proposed amendments to Regulation M to address manipulative conduct during the bubble in technology initial public offerings. Mr. Brigagliano joined the Division of Market Regulation in 1998. Prior to that he was Assistant General Counsel for Litigation and Administrative Practice in the Commission's Office of the General Counsel. In that capacity, Mr. Brigagliano represented the Commission in a wide range of matters in federal district and appellate courts. Mr. Brigagliano's achievements have earned him numerous Commission awards. He came to the Commission in 1986 after three years in private practice. Mr. Brigagliano received his law degree from Georgetown and undergraduate degree from Amherst College. (Press Rel. 2007-5) ENFORCEMENT PROCEEDINGS IN THE MATTER MARCOS MARTINEZ AND JAMES FRACE An administrative law judge has issued an Order Making Findings and Imposing Sanction by Default as to Marcos Martinez (Default Order) in the matter of Marcos Martinez and James Frace. The Default Order finds the allegations in the Order Instituting Proceedings to be true. On May 9, 2005, Martinez pleaded guilty to one count of conspiracy to commit securities fraud, mail fraud, and wire fraud. On Sept. 15, 2005, Martinez was sentenced to thirty-seven-months' imprisonment and three years of supervised release, and deferred determination of restitution. On Jan. 24, 2006, Martinez was ordered, jointly and severally with another defendant in the criminal case, to pay restitution of $936,500. On Sept. 27, 2006, Martinez was permanently enjoined from future violations of Sections 5 and 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act), and Exchange Act Rule 10b-5; ordered to disgorge $2,851,170.56, jointly and severally with other defendants, including ill-gotten gains of $2,178,785.66 and prejudgment interest of $672,384.99; and ordered to pay a $120,000 civil penalty. The administrative law judge ordered Martinez barred from association with any broker or dealer, pursuant to Section 15(b) of the Exchange Act. (Rel. 34-55116; File No. 3-12458) COMMISSION ORDERS HEARINGS ON REGISTRATION REVOCATION AGAINST FOUR DELINQUENT COMPANIES FOR FAILURE TO MAKE REQUIRED PERIODIC FILINGS On January 17, the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of four companies for failure to make required periodic filings with the Commission: o Capmacco Corp. o First CMA, Inc. o McCarthy Grenache, Inc. o National CMA, Inc. In this Order, the Division of Enforcement (Division) alleges that the four issuers are delinquent in their required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of the securities of these respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-55115; File No. 3-12539) SEC FILES FINANCIAL FRAUD ACTION AGAINST THREE FORMER SENIOR EXECUTIVES OF UNITED AGRI PRODUCTS, A FORMER SUBSIDIARY OF CONAGRA FOODS, INC. The Commission yesterday filed a civil action charging James Charles Blue, the former President and Chief Operating Officer of ConAgra Agri Products Companies, Randy Cook, the former President of North America Operations of United Agri Products (UAP), and Victor Campbell, UAP's former Controller, with participating in a fraudulent scheme to overstate UAP's operating results in 1999 and 2000. The Commission's complaint alleges that the defendants' conduct at UAP, a former subsidiary of ConAgra Foods Inc., caused ConAgra to file with the Commission, and release to the public, materially false and misleading financial statements which were included in its annual reports for 1999 and 2000. As discussed below, defendants Blue and Campbell have agreed to settle this matter without admitting or denying the allegations in the complaint. The Commission's complaint includes the following allegations: oBlue, Cook and Campbell participated in a series of fraudulent accounting practices that included: (1) the improper recognition of revenue from deferred delivery sales and associated rebates from its suppliers; (2) the failure to record bad debt expenses when realized; and (3) the improper recognition of revenue from advance vendor rebates. oThe defendants' misconduct caused ConAgra to materially overstate its income before income taxes by $46.7 million in fiscal 1999 and $48.5 million in fiscal 2000, an overstatement of approximately 7.35% and 7.85%, respectively. At ConAgra's Agricultural Products' segment level, the defendants' misconduct caused that segment's reported operating profit to be overstated by 16.36% in fiscal 1999, and 34.97% in fiscal 2000. oAs a result of their misconduct, Blue, Cook and Campbell benefited by obtaining inflated bonus compensation. Cook also received additional inflated compensation through his participation in a profit-based compensation plan. The Commission's complaint alleges that by engaging in this conduct, the defendants violated the antifraud, internal controls and books and records provisions of the federal securities laws (Sections 10(b) and 13(b)(5) of the Securities Exchange Act of 1934, and Exchange Act Rules 10b-5 and 13b2-1), and aided and abetted violations of the reporting, books and records, and internal controls provisions of the Exchange Act (Sections 13(a), 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act, and Exchange Act Rules 12b-20 and 13a-1). Defendant Cook also aided and abetted violations of the antifraud provisions of the federal securities laws (Section 10(b) of the Exchange Act and Exchange Act Rule 10b-5). Without admitting or denying the allegations in the complaint, Blue and Campbell have consented to the entry of final judgments that enjoin them from violating the federal securities laws described above. Blue also has agreed to pay a total of $622,087, which includes $336,362 in disgorgement, plus $175,725 of prejudgment interest thereon, and an $110,000 civil penalty. Campbell has agreed to pay $96,893 in disgorgement, plus $51,181 of prejudgment interest thereon, and a $50,000 civil penalty, for a total payment of $198,074. The settlement terms are subject to court approval. As to Cook, the Commission's complaint seeks a permanent injunction against future violations, an officer-and-director bar, and civil penalties. The complaint also seeks to have Cook divest all unexercised stock options, and to disgorge all ill-gotten gains along with prejudgment interest. [SEC v. James Charles Blue, Randy Cook and Victor Campbell, USDC, District of Colorado, Civ. Action No. 07-CV- 00095 REB-MEH, D.C.] (LR-19969; AAE Rel. 2542) SEC v. JOHN SHREWDER, THE FRANKLIN GROUP, INC., ASHLEY MIRON LESHEM, AND ANANDA CAPITAL PARTNERS, INC. On January 12, Judge Kenneth Ryskamp of the U.S. District Court for the Southern District of Florida entered final judgments by consent against all defendants in the Commission's case: John R. "Jay" Shrewder, 46, of Tulsa, Oklahoma; The Franklin Group (TFG), a company that Shrewder founded; Ashley Miron Leshem, 39, of Boca Raton, Florida; and Relief Defendant Ananda Capital Partners. The Commission charged Shrewder and TFG with securities fraud and illegal touting, and Leshem with violations of an SEC Penny Stock Bar. According to the SEC's complaint, this action arose out of promotional campaigns that inundated the public with millions of faxes concerning certain over-the-counter stocks, including ArTec, Inc. (symbol ATKJ) and Sequoia Interests Corp. (symbol SQNC). Without admitting or denying the allegations of the Commission's complaint, Shrewder and The Franklin Group consented to the entry of final judgments that permanently enjoin them from future violations of Sections 17(a) and 17(b) of the Securities Act and Section 10(b) and Rule 10b-5 of the Exchange Act. In addition, Shrewder has consented to the entry of judicial Penny Stock Bar. Shrewder and TFG acknowledged joint and several liability for disgorgement of $908,000 in trading profits plus pre-judgment interest of $123,000. All but $150,000 of Shrewder's and TFG's disgorgement and interest obligations were waived, and no penalty imposed, based on their financial condition. Without admitting or denying the allegations of the Commission's complaint, Leshem consented to a judicial Penny Stock Bar and a permanent injunction from future violations of Section 15(b)(6)(B)(i) of the Exchange Act. Defendant Leshem and Relief Defendant Ananda Capital Partners agreed to pay, jointly and severally, disgorgement of $81,000 and pre-judgment interest of $10,700. In addition, Leshem consented to the imposition of a $7,500 penalty and to the cancellation of 110,000 of shares of ArTec, Inc. [SEC v. John R. Shrewder, The Franklin Group, Inc., Ashley Miron Leshem, and Ananda Capital Partners, Inc., No. 06-80126-Civ-Ryskamp (USDC S.D. Fla.)] (LR-19970) SEC v. OSF, INC., ET AL. The Commission issued a Final Decree after a trial against Lloyd P. Broussard, the former CEO of OSF, Inc. (OSF). Broussard was found to have violated Sections 5 and 17(a) of the Securities Act of 1933 (Securities Act) and Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder. In addition, the Court imposed a five-year officer and director bar against Broussard, imposed a ban on Broussard's participation in the offering of any stock priced below $5 per share and ordered $32,169 in disgorgement. Previously settlements had been reached and the Court had entered Final Judgments against OSF, Winfred Fields, Monyette Preciado, Raven Interests, Inc. and Tenn-Stone, Inc. OSF was enjoined from further violations of Sections 5 and 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder and ordered to pay disgorgement of $471,576 plus $89,010 in prejudgment interest. Fields was enjoined from further violations of Sections 5 and 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. The Court also imposed a five-year penny stock bar against Fields and he was barred from serving as an officer or director of a public company for five years. Preciado was enjoined from further violations of Section 5 of the Securities Act, ordered to pay disgorgement of $23,344 plus $4,406 in prejudgment interest, and received a five-year penny stock bar. Raven and Tenn-Stone were both enjoined from further violations of Section 5 of the Securities Act. The disgorgement against OSF and Preciado was waived based on their sworn financial statements and other documents submitted to the Commission. Penalties against OSF, Fields, Preciado, Raven and Tenn- Stone were also waived based on their sworn financial statements and other documents submitted to the Commission. The Commission's complaint, filed on Nov. 9, 2004, alleged registration violations by OSF, Broussard, Fields, Preciado, Raven Interests, Inc. and Tenn-Stone, Inc. as well as antifraud violations by OSF, Broussard and Fields between August 2003 and June 2004. According to the complaint, Broussard and Fields, with the assistance of Preciado, participated in the unregistered distribution of stock through Raven and Tenn-Stone and issued false and misleading press releases concerning OSF's business operation. [SEC v. OSF, Inc. et al., No. H-04-4291 (USDC S.D. TEX.)] (LR-19971) INVESTMENT COMPANY ACT RELEASES NEXBANK SECURITIES, INC. AND NEXBANK SERIES An order has been issued on an application filed by NexBank Securities, Inc. and NexBank Series under Section 6(c) of the Investment Company Act for an exemption from Sections 12(d)(1)(A), (B), and (C) of the Act and under Sections 6(c) and 17(b) of the Act for an exemption from Section 17(a) of the Act. The order permits certain registered unit investment trusts to acquire shares of registered investment companies both within and outside the same group of investment companies. (Rel. IC-27659 - January 16) JACKSON NATIONAL LIFE INSURANCE COMPANY, ET AL. An order has been issued pursuant to Section 6(c) of the Investment Company Act to Jackson National Life Insurance Company (Jackson National), Jackson National Separate Account - I (JNL Separate Account), and Jackson National Life Distributors LLC (Distributor, and collectively, Applicants) granting exemptions from the provisions of Sections 2(a)(32), 22(c), and 27(i)(2)(A) of the Act and Rule 22c-1 thereunder, to the extent necessary to permit recapture, under specified circumstances, of certain contract enhancements applied to purchase payments made under deferred variable annuity contracts described in the application that Jackson National will issue through the JNL Separate Account (Contracts), as well as under other contracts that Jackson National may issue in the future through its existing or future separate accounts that are substantially similar in all material respects to the Contracts. (Rel. IC-27760 - January 16) SELF-REGULATORY ORGANIZATIONS ACCELERATED APPROVAL OF PROPOSED RULE CHANGES The Commission granted accelerated approval to a proposed rule change (SR-NYSEArca-2006-37), as modified by Amendment No. 1, submitted by NYSE Arca to the trade the streetTRACKS Dow Jones Global Titans Index Fund pursuant to unlisted trading privileges. Publication is expected in the Federal Register during the week of January 15. (Rel. 34-55085) The Commission noticed and granted accelerated approval to a proposed rule change (SR-NYSEArca-2006-63) and Amendment Nos. 1 and 2 thereto submitted by NYSE Arca relating to trading iShares Lehman Bond Funds pursuant to unlisted trading privileges. Publication is expected in the Federal Register during the week of January 15. (Rel. 34-55102) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE The Commission issued notice of immediate effectiveness of proposed rule change (SR-NYSEArca-2006-91) filed by NYSE Arca relating to exchange fees and charges. Publication is expected in the Federal Register during the week of January 15. (Rel. 34-55099) PROPOSED RULE CHANGE NYSE Arca filed a proposed rule change (SR-NYSEArca-2007-05) regarding a proposed combination between NYSE Group, Inc. and Euronext N.V. Publication is expected in the Federal Register during the week of January 15. (Rel. 34-55109) 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 NCI BUILDING SYSTEMS INC, 10943 NORTH SAM HOUSTON PARKWAY W, HOUSTON TEXAS, TX, 77064, 2818977799 - 0 ($5,000,000.00) Other, (File 333-139983 - Jan. 16) (BR. 06C) S-3 IBERIABANK CORP, 200 WEST CONGRESS STREET, LAFAYETTE, LA, 70505, 3375214003 - 0 ($32,549,995.00) Equity, (File 333-139984 - Jan. 16) (BR. 07A) S-8 GOLD RESOURCE CORP, 222 MILWAUKEE ST, SUITE 301, DENVER, CO, 80206, 303-320-7708 - 5,859,700 ($8,320,774.00) Equity, (File 333-139985 - Jan. 16) (BR. 09) SB-2 Geostar Mineral CORP, 706 - 15038 101 AVENUE, SURREY, A1, V3R 0N2, (604) 716-1675 - 2,000,000 ($200,000.00) Equity, (File 333-139986 - Jan. 16) (BR. 04) S-3ASR MEDICINES CO /DE, 8 CAMPUS DRIVE, PARSIPPANY, NJ, 07054, 973-656-1616 - 0 ($0.00) Equity, (File 333-139987 - Jan. 16) (BR. 01B) SB-2 UNIVERSAL GUARDIAN HOLDINGS INC, 4695 MACARTHUR COURT, SUITE 300, NEWPORT BEACH, CA, 92660, 949-861-8295 - 19,384,628 ($13,984,625.74) Equity, (File 333-139988 - Jan. 16) (BR. 08C) S-1 VALIDUS HOLDINGS LTD, 19 PAR-LA-VILLE ROAD, HAMILTON HM11 BERMUDA, D0, 00000, 441-278-9000 - 0 ($200,000,000.00) Equity, (File 333-139989 - Jan. 16) (BR. ) S-4 Advanced BioEnergy, LLC, 10201 WAYZATA BOULEVARD, SUIE 250, MINNEAPOLIS, MN, 55305, 763-226-2701 - 0 ($11,051,205.00) Other, (File 333-139990 - Jan. 16) (BR. 06B) SB-2 JPG ASSOCIATES, INC., 846 GLENDALE ROAD, WILBRAHAM, MA, 01095, 413-596-6767 - 1,300,000 ($13,000.00) Equity, (File 333-139991 - Jan. 16) (BR. ) S-1 GRAYBAR ELECTRIC CO INC, 34 N MERAMEC AVE, ST LOUIS, MO, 63105, 3145129200 - 6,322,000 ($126,440,000.00) Equity, (File 333-139992 - Jan. 16) (BR. 10B) S-1 Greenlight Capital Re, Ltd., PO BOX 31110, 802 WEST BAY ROAD, GRAND CAYMAN, E9, KY1-1205, 345 745 4573 - 0 ($175,000,000.00) Equity, (File 333-139993 - Jan. 16) (BR. ) S-8 Lexington Energy Services Inc., SUITE 1209 - 207 WEST HASTINGS STREET, VANCOUVER, A1, V6B1H7, 6048994550 - 3,000,000 ($3,000,000.00) Equity, (File 333-139994 - Jan. 16) (BR. 04C) S-8 BONTAN CORP INC, 47 AVENUE ROAD, SUITE 200, TORONTO, A6, M5R 2G3, 416-929-1806 - 1,500,000 ($405,000.00) Equity, (File 333-139995 - Jan. 16) (BR. 04B) S-8 MASTEC INC, 800 DOUGLAS ROAD, 12TH FLOOR, CORAL GABLES, FL, 33134, 3055991800 - 0 ($1,659,000.00) Equity, (File 333-139996 - Jan. 16) (BR. 06C) S-8 GENERAL MILLS INC, NUMBER ONE GENERAL MILLS BLVD, MINNEAPOLIS, MN, 55426, (763) 764-7600 - 700,000 ($39,592,000.00) Equity, (File 333-139997 - Jan. 16) (BR. 04A) S-3 LOGICVISION INC, 25 METRO DRIVE 3RD FL, SAN JOSE, CA, 95110, 4084530146 - 4,000,000 ($4,720,000.00) Equity, (File 333-139998 - Jan. 16) (BR. 03B) S-8 TRANSGENOMIC INC, 12325 EMMET ST, OMAHA, NE, 68164, 4027385480 - 0 ($1,950,000.00) Equity, (File 333-139999 - Jan. 16) (BR. 10C) S-8 HALLMARK FINANCIAL SERVICES INC, 777 MAIN STREET, SUITE 1000, FORT WORTH, TX, 76102, 8173481600 - 833,333 ($8,324,996.67) Equity, (File 333-140000 - Jan. 16) (BR. 01A) S-4 EXPRESS SCRIPTS INC, 13900 REIVERPORT DRIVE, MARYLAND HEIGHTS, MO, 63043, 3147701666 - 0 ($11,833,657,446.00) Equity, (File 333-140001 - Jan. 16) (BR. 01A) F-1 JA Solar Holdings Co., Ltd., JINGLONG GROUP INDUSTRIAL PARK, JINGLONG STREET, NINGJIN, HEBEI PROVINCE, F4, 055550, (86-319) 580-0760 - 0 ($250,125,000.00) ADRs/ADSs, (File 333-140002 - Jan. 16) (BR. ) S-8 ISTAR FINANCIAL INC, 1114 AVENUE OF THE AMERICAS 27TH FLOOR, NEW YORK, NY, 10036, 2129309494 - 0 ($222,313,000.00) Equity, (File 333-140003 - Jan. 16) (BR. 08B) S-8 ON THE GO HEALTHCARE INC, 85 CORSTATE AVENUE UNIT 1, CONCORD ONT. CANADA, A6, L4K 4Y2, 905 669 7979 EXT 400 - 50,000,000 ($12,500,000.00) Equity, (File 333-140004 - Jan. 16) (BR. 03B) SB-2 ON THE GO HEALTHCARE INC, 85 CORSTATE AVENUE UNIT 1, CONCORD ONT. CANADA, A6, L4K 4Y2, 905 669 7979 EXT 400 - 24,823,734 ($6,205,933.50) Equity, (File 333-140005 - Jan. 16) (BR. 03B) S-1 TENFOLD CORP /UT, 698 WEST 10000 SOUTH, SUITE 200, SOUTH JORDAN, UT, 84095, 801-495-1010 - 6,338,712 ($2,218,549.20) Equity, (File 333-140006 - Jan. 16) (BR. 03B) S-8 Guidance Software, Inc., 215 NORTH MARENGO AVENUE, PASADENA, CA, 91101, 6262299191 - 0 ($64,736,436.00) Equity, (File 333-140007 - Jan. 16) (BR. 03B) SB-2 GOLD RESOURCE CORP, 222 MILWAUKEE ST, SUITE 301, DENVER, CO, 80206, 303-320-7708 - 5,859,700 ($8,320,774.00) Equity, (File 333-140008 - Jan. 16) (BR. 09) F-6 JA Solar Holdings Co., Ltd., JINGLONG GROUP INDUSTRIAL PARK, JINGLONG STREET, NINGJIN, HEBEI PROVINCE, F4, 055550, (86-319) 580-0760 - 100,000,000 ($5,000,000.00) ADRs/ADSs, (File 333-140009 - Jan. 16) (BR. ) N-2 BlackRock Preferred & Equity Advantage Trust, 40 EAST 52ND STREET, NEW YORK, NY, 10022, 212-810-5300 - 0 ($1,000,000.00) Equity, (File 333-140010 - Jan. 16) (BR. 17) S-8 WINDSTREAM CORP, 4001 RODNEY PARHAM RD., LITTLE ROCK, AR, 72212, 5017487000 - 0 ($42,000,000.00) Non-Convertible Debt, (File 333-140011 - Jan. 16) (BR. 11B) S-8 MEDICAL TECHNOLOGY & INNOVATIONS INC /FL/, 1800 FRUITVILLE PIKE, SUITE 200, LANCASTER, PA, 17601, 7173903777 - 2,300,000 ($287,500.00) Equity, (File 333-140012 - Jan. 16) (BR. 05) SB-2 CUBIC ENERGY INC, 9870 PLANO ROAD, 9870 PLANO ROAD, DALLAS, TX, 75238, 972-681-8047 - 11,820,000 ($8,746,800.00) Debt Convertible into Equity, (File 333-140013 - Jan. 16) (BR. 04C) S-8 World Energy Solutions, Inc., 446 MAIN STREET, WORCESTER, MA, 01608, 508-459-8100 - 9,101,190 ($5,789,040.00) Equity, (File 333-140014 - Jan. 16) (BR. 08A) N-2 Evergreen Global Dividend Opportunity Fund, 200 BERKELEY STREET, BOSTON, MA, 02116, 617-210-3200 - 1,500,000 ($30,000,000.00) Equity, (File 333-140015 - Jan. 16) (BR. ) SB-2 TELOMOLECULAR CORP, 8037 ORANGE AVE, FAIR OAKS, CA, 95628, 916-410-8681 - 18,970,981 ($7,588,392.40) Equity, (File 333-140016 - Jan. 16) (BR. 01A) N-2 NUVEEN MUNICIPAL HIGH INCOME OPPORTUNITY FUND, 56,980 ($1,000,000.00) Equity, (File 333-140017 - Jan. 16) (BR. 18) S-3 INNOVATIVE SOLUTIONS & SUPPORT INC, 420 LAPP RD, MALVERN, PA, 19355, 6108899898 - 0 ($57,891,910.07) Equity, (File 333-140018 - Jan. 16) (BR. 03C) S-3 NOVA BIOSOURCE FUELS, INC., THE RIVIANA BUILDING, 2777 ALLEN PARKWAY, SUITE 800, HOUSTON, TX, 77019, 7138696682 - 0 ($69,228,407.00) Equity, (File 333-140019 - Jan. 16) (BR. 04A) S-3 VERTICALNET INC, 400 CHESTER FIELD PARKWAY, MALVERN, PA, 19355, 2153286100 - 0 ($1,725,000.00) Equity, (File 333-140020 - Jan. 16) (BR. 03C) S-8 NVIDIA CORP, 2701 SAN TOMAS EXPRESSWAY, SANTA CLARA, CA, 95050, 408-486-2000 - 1,091,383 ($49,765,011.09) Equity, (File 333-140021 - Jan. 16) (BR. 10B) S-8 SPECTRANETICS CORP, 96 TALAMINE COURT, COLORADO SPRING, CO, 80907, 7196338333 - 0 ($3,755,500.00) Equity, (File 333-140022 - Jan. 16) (BR. 10C) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: 1.01 Entry into a Material Definitive Agreement 1.02 Termination of a Material Definitive Agreement 1.03 Bankruptcy or Receivership 2.01 Completion of Acquisition or Disposition of Assets 2.02 Results of Operations and Financial Condition 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant 2.04 Triggering Events That Accelerate or Increase a Direct Financial Obligation under an Off-Balance Sheet Arrangement 2.05 Cost Associated with Exit or Disposal Activities 2.06 Material Impairments 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 3.02 Unregistered Sales of Equity Securities 3.03 Material Modifications to Rights of Security Holders 4.01 Changes in Registrant's Certifying Accountant 4.02 Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review 5.01 Changes in Control of Registrant 5.02 Departure of Directors or Principal Officers; Election of Directors; Appointment of Principal Officers 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year 5.04 Temporary Suspension of Trading Under Registrant's Employee Benefit Plans 5.05 Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics 6.01. ABS Informational and Computational Material. 6.02. Change of Servicer or Trustee. 6.03. Change in Credit Enhancement or Other External Support. 6.04. Failure to Make a Required Distribution. 6.05. Securities Act Updating Disclosure. 7.01 Regulation FD Disclosure 8.01 Other Events 9.01 Financial Statements and Exhibits 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. 20549-1090 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE 8K ITEM NO. NAME OF ISSUER CODE DATE COMMENT 3M CO DE 5.02 01/10/07 ACORN ACQUISITION CORP DE 5.02 01/16/07 AcuNetx, Inc. NV 5.02 01/08/07 AEHR TEST SYSTEMS CA 2.02,9.01 01/04/07 AEHR TEST SYSTEMS CA 8.01 01/16/07 AMEND AEP INDUSTRIES INC DE 5.02 01/10/07 AGILYSYS INC OH 8.01,9.01 01/12/07 AKSYS LTD DE 1.01,2.03,2.05,5.02,8.01 01/11/07 ALAMO GROUP INC DE 5.02,9.01 01/15/07 Alberto-Culver CO DE 1.01,1.02 01/10/07 ALEXANDRIA REAL ESTATE EQUITIES INC MD 8.01,9.01 01/09/07 ALEXANDRIA REAL ESTATE EQUITIES INC MD 3.01 01/11/07 ALION SCIENCE & TECHNOLOGY CORP DE 7.01 01/16/07 ALLIED WORLD ASSURANCE CO HOLDINGS LT 5.02,9.01 01/11/07 ALPHATRADE COM NV 1.01,9.01 01/12/07 ALTEON INC /DE DE 1.01,3.02,9.01 01/11/07 AMERICAN HOME MORTGAGE INVESTMENT TRU DE 8.01,9.01 12/26/06 AMEND AMERICAN ITALIAN PASTA CO DE 5.02 01/09/07 AMERICAN LEISURE HOLDINGS, INC. NV 1.01,2.01,3.02,9.01 11/22/06 AMERICAN POWER CONVERSION CORP MA 8.01,9.01 01/16/07 ANGIODYNAMICS INC DE 1.01,8.01,9.01 01/12/07 ANSYS INC DE 5.02 01/10/07 APOGEE TECHNOLOGY INC DE 3.01,8.01,9.01 01/12/07 APPLIED SIGNAL TECHNOLOGY INC CA 4.02 01/09/07 AQUANTIVE INC WA 8.01 01/16/07 ARCADIA RESOURCES, INC NV 5.02 01/09/07 AspenBio Pharma, Inc. CO 2.02,7.01,9.01 01/16/07 ASSOCIATED BANC-CORP WI 8.01 01/15/07 ATLAS AIR WORLDWIDE HOLDINGS INC DE 8.01,9.01 01/12/07 Avalon Oil & Gas, Inc. CO 7.01,9.01 01/08/07 AVALONBAY COMMUNITIES INC MD 8.01,9.01 01/16/07 AVAYA INC DE 8.01,9.01 01/12/07 AVID TECHNOLOGY INC DE 5.02,9.01 12/12/06 AXM PHARMA INC 1.02,2.01,9.01 01/16/07 BANK OF NEW YORK CO INC NY 5.02 01/16/07 BEAR STEARNS COMPANIES INC DE 5.02,9.01 01/10/07 BEDMINSTER NATIONAL CORP DE 8.01,9.01 01/12/07 BigString CORP DE 8.01,9.01 01/12/07 BILL BARRETT CORP 7.01,9.01 01/16/07 BIOFORCE NANOSCIENCES HOLDINGS, INC. NV 5.02,7.01 01/15/07 BLUEGREEN CORP MA 7.01 01/16/07 BORDERS GROUP INC MI 5.02 01/16/07 BRICKMAN GROUP LTD 9.01 10/31/06 AMEND BROOKE CORP KS 7.01,9.01 01/15/07 BROWN FORMAN CORP DE 1.01,7.01,9.01 01/11/07 BUCKEYE VENTURES, INC. MI 1.01,9.01 01/09/07 BUFFETS HOLDINGS, INC. DE 2.01,9.01 11/01/06 AMEND CACI INTERNATIONAL INC /DE/ DE 5.02 01/16/07 CALPINE CORP DE 7.01,9.01 01/16/07 CARDTRONICS INC DE 5.02,7.01,9.01 01/15/07 CASEYS GENERAL STORES INC IA 7.01 01/16/07 CCF HOLDING CO GA 2.02,9.01 01/11/07 CDOOR CORP DE 1.01,2.01,9.01 12/21/06 AMEND Centale, Inc. NY 1.01 12/27/06 CENTEX CORP NV 2.02,8.01,9.01 01/16/07 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 01/16/07 CHASE CORP MA 2.02,9.01 01/12/07 CHASE CREDIT CARD MASTER TRUST NY 8.01,9.01 01/16/07 CHEESECAKE FACTORY INCORPORATED DE 5.02,8.01,9.01 01/16/07 CHEETAH OIL & GAS LTD. NV 5.02,9.01 01/15/07 CHESAPEAKE ENERGY CORP OK 8.01,9.01 01/12/06 CHINA EDUCATION ALLIANCE INC. NC 4.01,9.01 01/04/07 China VoIP & Digital Telecom Inc. NV 8.01,9.01 01/16/07 China West Coal Energy Inc TX 5.03 01/15/07 CHURCH & DWIGHT CO INC /DE/ DE 5.02 01/16/07 AMEND CINTEL CORP NV 9.01 10/30/06 AMEND CITIBANK OMNI-S MASTER TRUST 8.01,9.01 01/16/07 CITIBANK SOUTH DAKOTA N A DE 8.01 12/26/06 CITIZENS COMMUNICATIONS CO DE 8.01,9.01 01/16/07 CN BANCORP INC MD 8.01,9.01 01/16/07 CNA FINANCIAL CORP DE 7.01,9.01 01/12/07 COACTIVE MARKETING GROUP INC DE 4.01 01/10/07 COGNEX CORP MA 3.01 01/11/07 COLE KENNETH PRODUCTIONS INC NY 8.01 01/15/07 COLE KENNETH PRODUCTIONS INC NY 8.01 01/15/07 COMBINATORX, INC DE 5.02,8.01,9.01 01/12/07 COMMERCE BANCORP INC /NJ/ NJ 2.02,9.01 01/16/07 COMMERCE BANCSHARES INC /MO/ MO 2.02 01/16/07 Commercial Vehicle Group, Inc. DE 2.02,7.01,9.01 01/15/07 COMMUNICATIONS SYSTEMS INC MN 3.01,8.01,9.01 01/10/07 CONTANGO OIL & GAS CO DE 8.01,9.01 01/15/07 CORPORATE OFFICE PROPERTIES TRUST MD 1.01,2.01,9.01 01/09/07 COVENANT TRANSPORT INC NV 7.01,9.01 01/15/07 CRAWFORD & CO GA 9.01 01/16/07 AMEND CROSS COUNTRY HEALTHCARE INC DE 8.01,9.01 01/16/07 CRYOLIFE INC FL 2.02,9.01 01/11/07 CWHEQ Home Equity Loan Trust, Series 8.01,9.01 12/29/06 CWHEQ Home Equity Loan Trust, Series 8.01,9.01 12/29/06 CWHEQ Revolving Home Equity Loan Trus 8.01,9.01 12/29/06 CWHEQ Revolving Home Equity Loan Trus 8.01,9.01 12/29/06 CYTRX CORP DE 1.01,7.01,9.01 01/10/07 DATASTAND TECHNOLOGIES INC IN 1.01,3.02,9.01 01/12/07 DESIGN WITHIN REACH INC DE 5.02 01/10/07 Deutsche Alt-A Securities Mortgage Lo 8.01,9.01 01/16/07 DEVRY INC DE 1.01,9.01 01/11/07 Diagnostic CORP of America DE 4.01,9.01 01/12/07 DIGITAL RECORDERS INC NC 1.01,2.03,9.01 01/10/07 DIXIE GROUP INC TN 7.01,9.01 01/16/07 DIXIE GROUP INC TN 1.01 01/16/07 DOBI MEDICAL INTERNATIONAL INC NV 5.02,9.01 01/09/07 DOLLAR FINANCIAL CORP DE 9.01 11/02/06 AMEND DOMINION HOMES INC OH 2.02,7.01,9.01 01/12/07 DONALDSON CO INC DE 7.01 01/16/07 DOV PHARMACEUTICAL INC DE 1.02,8.01 01/15/07 EATON VANCE CORP MD 7.01,9.01 01/12/07 EAUTOCLAIMS, INC NV 5.02 01/15/07 ECHOSTAR COMMUNICATIONS CORP NV 2.04,9.01 01/16/07 EDGE PETROLEUM CORP DE 8.01 01/16/07 ELGRANDE INTERNATIONAL, INC. NV 1.02 01/15/07 ENERGEN CORP AL 1.01,7.01,9.01 01/10/07 EnerSys DE 1.01,2.03,9.01 01/16/07 ENESCO GROUP INC IL 1.03,8.01,9.01 01/12/07 ENSCO INTERNATIONAL INC DE 2.02,9.01 01/16/07 ENTERPRISE BANCORP INC /MA/ MA 8.01,9.01 01/16/07 ENXNET INC OK 1.01,7.01,9.01 01/09/07 EPICOR SOFTWARE CORP DE 5.02 01/09/07 EQUITY OFFICE PROPERTIES TRUST MD 8.01,9.01 01/11/07 ERF Wireless, Inc. NV 9.01 12/15/06 AMEND EV Energy Partners, LP DE 1.01,9.01 01/09/07 EXACT SCIENCES CORP DE 7.01,9.01 01/16/07 EXCO RESOURCES INC TX 1.01,9.01 01/15/07 EXCO RESOURCES INC TX 1.01 01/11/07 EXPONENT INC DE 5.02,9.01 01/16/07 EXPRESS SCRIPTS INC DE 8.01,9.01 01/16/07 EXPRESS SCRIPTS INC DE 8.01,9.01 01/16/07 EXPRESS SCRIPTS INC DE 9.01 12/22/05 AMEND FAIRCHILD CORP DE 4.02 01/05/07 AMEND FAIRPOINT COMMUNICATIONS INC DE 2.02,7.01,8.01,9.01 01/15/07 FARMERS CAPITAL BANK CORP KY 8.01,9.01 01/12/07 FARO TECHNOLOGIES INC FL 5.02,9.01 01/09/07 FASTENAL CO MN 7.01,9.01 01/15/07 Federal Home Loan Bank of Atlanta X1 2.03 01/10/07 Federal Home Loan Bank of Boston X1 2.03 01/10/07 Federal Home Loan Bank of Chicago X1 2.03 01/10/07 Federal Home Loan Bank of Des Moines X1 2.03,9.01 01/10/06 Federal Home Loan Bank of Indianapoli X1 2.02,9.01 01/16/07 Federal Home Loan Bank of Indianapoli X1 2.02,9.01 01/16/07 AMEND Federal Home Loan Bank of New York X1 2.03,9.01 01/10/07 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 01/10/07 Federal Home Loan Bank of San Francis X1 2.03 01/10/07 Federal Home Loan Bank of Seattle 1.02,9.01 01/12/07 Federal Home Loan Bank of Seattle 1.02,9.01 01/12/07 Federal Home Loan Bank of Seattle 2.03 01/16/07 Federal Home Loan Bank of Topeka 2.03 01/10/07 Federal Services Acquisition CORP DE 8.01,9.01 01/16/07 FEDERATED INVESTORS INC /PA/ PA 2.01 01/09/07 FERMAVIR PHARMACEUTICALS, INC. FL 1.01,3.02,9.01 01/10/07 FIFTH THIRD BANCORP OH 5.02,9.01 01/16/07 FINANCIAL INDUSTRIES CORP TX 8.01,9.01 01/16/07 FIRST AMERICAN CORP CA 5.02 01/09/07 FIRST DEFIANCE FINANCIAL CORP OH 2.02,9.01 01/15/07 FIRST PLACE FINANCIAL CORP /DE/ DE 2.02,7.01,9.01 01/16/07 FIRST ROBINSON FINANCIAL CORP DE 8.01 01/16/07 FIRST SOLAR, INC. DE 1.01,9.01 12/21/06 FIRSTENERGY CORP OH 5.02,9.01 01/16/07 FIRSTGOLD CORP. DE 4.01,5.02,9.01 01/05/07 FLOW INTERNATIONAL CORP WA 1.01,8.01,9.01 01/09/07 FLUSHING FINANCIAL CORP DE 5.02 01/16/07 FNB BANCORP/CA/ 8.01,9.01 01/16/07 FOREST LABORATORIES INC DE 2.02,9.01 12/31/06 Fortress America Acquisition CORP DE 8.01,9.01 01/12/07 FOUNTAIN POWERBOAT INDUSTRIES INC 5.02 01/10/07 FRANKLIN COVEY CO UT 1.02,9.01 01/11/07 FREEPORT MCMORAN COPPER & GOLD INC DE 2.02,9.01 01/16/07 FRISCHS RESTAURANTS INC OH 2.02,9.01 01/16/07 FUELCELL ENERGY INC DE 5.02,9.01 01/10/07 FULTON FINANCIAL CORP PA 2.02,9.01 01/16/07 FX ENERGY INC NV 8.01,9.01 01/16/07 GAMCO INVESTORS, INC. ET AL NY 5.02,9.01 01/16/07 GENELINK INC 1.01,3.02 01/12/07 GENERAL MILLS INC DE 8.01,9.01 01/16/07 GENESIS HEALTHCARE CORP PA 8.01,9.01 01/16/07 GEOCOM RESOURCES INC NV 7.01,9.01 01/11/07 Global Developments Inc. DE 8.01 01/15/07 Global Developments Inc. DE 8.01 01/15/07 GLOBAL ENTERTAINMENT CORP NV 2.02,9.01 01/16/07 GLOBAL PARI-MUTUEL SERVICES, INC. NV 1.01,7.01,8.01,9.01 01/08/07 GLOBAL PAYMENT TECHNOLOGIES INC DE 2.02,9.01 01/12/07 GLOBAL SUNRISE, Inc. CO 8.01,9.01 01/16/07 Globetech Environmental, Inc. NV 1.01 01/11/07 GOLDEN PATRIOT CORP NV 8.01,9.01 01/12/07 GOLDEN PHOENIX MINERALS INC /MN/ MN 1.01,9.01 01/10/07 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 01/12/07 GreenPoint MFT 2006-AR2 DE 6.04 01/09/07 GREENVILLE FIRST BANCSHARES INC SC 2.02,9.01 01/16/07 GREIF INC DE 7.01,9.01 01/11/07 GSAA Home Equity Trust 2006-S1 DE 9.01 12/28/06 Guidance Software, Inc. CA 8.01 01/09/07 GUNDLE SLT ENVIRONMENTAL INC DE 5.02 01/15/07 HEADWATERS INC DE 1.01,7.01,8.01,9.01 01/12/07 HEALTH SCIENCES GROUP INC DE 5.02,5.03,9.01 01/12/07 HERSHA HOSPITALITY TRUST MD 1.01,9.01 01/10/07 HOLA COMMUNICATIONS INC. NV 4.01,9.01 11/28/06 AMEND HOLLY CORP DE 1.01,9.01 01/12/07 HOLLY ENERGY PARTNERS LP DE 1.01,9.01 01/12/07 HOMEBANC CORP 7.01,9.01 01/16/07 HOMEFED CORP DE 5.02,9.01 01/09/07 HSI ASSET SECURITIZATION CORP 8.01,9.01 01/16/07 I2 TELECOM INTERNATIONAL INC WA 1.02,8.01,9.01 01/12/07 IA GLOBAL INC DE 3.01,9.01 01/11/07 iBroadband, Inc. NV 4.01 01/16/07 AMEND IDACORP INC ID 8.01 01/16/07 IDEARC INC. DE 5.02,9.01 01/09/07 IDT CORP DE 8.01 01/09/07 IMCLONE SYSTEMS INC DE 8.01 01/10/07 INDEPENDENT BANK CORP /MI/ MI 8.01,9.01 01/16/07 INDYMAC BANCORP INC DE 2.02,9.01 01/16/07 IndyMac INDX Mortgage Loan Trust 2006 8.01,9.01 12/01/06 INFRASOURCE SERVICES INC DE 2.02,9.01 01/16/07 ING USA Global Funding Trust 3 IA 8.01,9.01 12/29/06 INNOFONE COM INC NV 1.02,8.01,9.01 01/10/07 INNOVEX INC MN 2.02,9.01 01/15/07 INNOVO GROUP INC DE 9.01 05/12/06 AMEND INSTEEL INDUSTRIES INC NC 5.02 01/11/07 INTEGRATED ENVIRONMENTAL TECHNOLOGIES DE 7.01,9.01 01/08/07 INTEL CORP DE 2.02,7.01 01/16/07 INTERNATIONAL BARRIER TECHNOLOGY INC/ 8.01,9.01 01/10/07 INTERNATIONAL MONETARY SYSTEMS LTD /W WI 1.01,2.01,9.01 08/29/06 INTERPOOL INC DE 8.01,9.01 01/16/07 INTERVEST BANCSHARES CORP DE 2.02,9.01 01/16/07 INTUIT INC DE 8.01 01/16/07 INVESTORS FINANCIAL SERVICES CORP DE 2.02,9.01 01/16/07 ISIS PHARMACEUTICALS INC DE 8.01,9.01 01/16/07 ISLE OF CAPRI CASINOS INC DE 8.01,9.01 01/16/07 ISOLAGEN INC DE 8.01,9.01 01/09/07 ISTAR FINANCIAL INC MD 3.03,9.01 01/09/07 JMAR TECHNOLOGIES INC DE 8.01,9.01 01/11/07 KAISER VENTURES LLC DE 1.01,5.02,9.01 01/10/07 KB HOME DE 2.06 12/06/06 AMEND KBS Real Estate Investment Trust, Inc MD 1.01,2.01 01/09/07 KENEXA CORP 9.01 11/13/06 AMEND KING PHARMACEUTICALS INC TN 5.02 01/09/07 Kreido Biofuels, Inc. NV 1.01,2.01,3.02,4.01,5.01,5.02, 01/12/07 5.03,5.06,9.01 LAKELAND FINANCIAL CORP IN 5.02,9.01 01/09/07 LAKELAND FINANCIAL CORP IN 2.02,9.01 12/31/06 LEVEL 8 SYSTEMS INC DE 1.01 01/16/07 LIBERTY MEDIA CORP 7.01 01/11/07 LIBERTY MEDIA LLC 7.01 01/11/07 LIBERTY STAR GOLD CORP NV 1.01,3.02,9.01 01/09/07 LIFECORE BIOMEDICAL INC MN 2.02,9.01 01/16/07 LIFETIME BRANDS, INC DE 8.01,9.01 01/16/07 Lifevantage Corp CO 7.01,9.01 01/12/07 LIGAND PHARMACEUTICALS INC DE 5.02,9.01 01/16/07 LIGHTBRIDGE INC DE 1.01 01/12/07 LIMITED BRANDS INC DE 8.01,9.01 01/12/07 Lincoln Park Bancorp 5.02,9.01 01/11/07 LIQUIDITY SERVICES INC 1.01,9.01 01/09/07 LNB BANCORP INC OH 8.01,9.01 01/15/07 LYDALL INC /DE/ DE 5.02,9.01 01/10/07 MACATAWA BANK CORP MI 2.02,9.01 01/15/07 MARINE GROWTH VENTURES INC 1.01,9.01 01/16/07 MARSHALL & ILSLEY CORP/WI/ WI 2.02,8.01,9.01 01/12/07 MASTR Adjustable Rate Mortgages Trust 8.01,9.01 01/16/07 MDC PARTNERS INC A6 1.01 01/12/07 MEDICINES CO /DE DE 2.02,7.01,9.01 01/16/07 MEGOLA INC 1.01,3.02,9.01 01/12/07 MEREDITH CORP IA 8.01,9.01 01/09/07 MERGE TECHNOLOGIES INC WI 5.02,8.01 01/09/07 MERIX CORP OR 5.02,9.01 01/09/07 MESABI TRUST NY 2.02,9.01 01/12/07 MEXICAN RESTAURANTS INC TX 8.01,9.01 01/12/07 MICROSEMI CORP DE 2.01,3.01,7.01,9.01 01/09/07 MILLENNIUM CELL INC DE 7.01,9.01 01/12/07 MOHEGAN TRIBAL GAMING AUTHORITY 2.02,9.01 01/16/07 MONRO MUFFLER BRAKE INC NY 1.01,2.02,8.01,9.01 01/16/07 MONSTER WORLDWIDE INC DE 1.01,2.01,9.01 08/31/06 AMEND MOOG INC NY 8.01,9.01 01/16/07 MULTI FINELINE ELECTRONIX INC 1.01 01/12/07 MYERS INDUSTRIES INC OH 2.01,9.01 01/09/06 NAPSTER INC DE 1.01,9.01 01/11/07 NATIONAL FINANCIAL PARTNERS CORP 2.02,7.01,9.01 01/16/07 NATIONAL HEALTH REALTY INC MD 1.01 01/10/07 NATIONAL HEALTHCARE CORP DE 1.01 01/10/07 NATIONAL HEALTHCARE TECHNOLOGY INC CO 1.01,3.02,5.01,9.01 01/12/07 NATURAL GAS SERVICES GROUP INC 5.02 01/15/07 NATURAL RESOURCE PARTNERS LP DE 2.01,3.02,9.01 01/16/07 NB&T FINANCIAL GROUP INC OH 2.02,7.01,9.01 01/16/07 NCR CORP MD 2.02,9.01 01/16/07 NEOSE TECHNOLOGIES INC DE 8.01,9.01 01/16/07 NEOWARE INC DE 5.02 01/15/07 NETFONE INC 4.01,9.01 08/28/06 NETGEAR, INC DE 5.02,9.01 01/12/07 Network Communications, Inc. 2.02,9.01 01/15/07 NEUROCRINE BIOSCIENCES INC CA 1.01 01/11/07 NEW ULM TELECOM INC MN 2.01,9.01 11/03/06 AMEND NEWTEK BUSINESS SERVICES INC NY 8.01,9.01 01/13/06 NOBLE CORP 7.01,9.01 01/16/07 NOBLE INTERNATIONAL, LTD. DE 1.01,9.01 01/10/07 NORD RESOURCES CORP DE 1.01,9.01 01/11/07 NORTHFIELD LABORATORIES INC /DE/ DE 8.01,9.01 01/16/07 NYFIX INC DE 1.01,5.02,8.01,9.01 01/09/07 OLD POINT FINANCIAL CORP VA 2.02,9.01 01/16/07 OMNI ENERGY SERVICES CORP LA 2.01,9.01 11/01/06 AMEND OMNOVA SOLUTIONS INC OH 2.02,9.01 01/15/07 OMTOOL LTD DE 1.01,5.02 01/09/07 ONEOK INC /NEW/ OK 5.02 01/16/07 Onstream Media CORP FL 8.01,9.01 01/16/07 ORAGENICS INC FL 3.02,8.01,9.01 01/09/07 Orange 21 Inc. DE 8.01,9.01 01/16/07 P F CHANGS CHINA BISTRO INC 2.02,9.01 01/04/07 Pantheon China Acquisition Corp. DE 8.01,9.01 01/16/07 PARK NATIONAL CORP /OH/ OH 2.02,8.01,9.01 01/16/07 PARLUX FRAGRANCES INC DE 8.01,9.01 01/16/07 PDF SOLUTIONS INC DE 1.01,2.01,9.01 10/31/06 AMEND PENGE CORP NV 7.01,9.01 01/12/07 PENN TREATY AMERICAN CORP PA 8.01,9.01 01/12/07 PEOPLES EDUCATIONAL HOLDINGS MN 2.02,9.01 01/16/07 PER SE TECHNOLOGIES INC DE 8.01,9.01 01/11/07 PETER KIEWIT SONS INC /DE/ DE 2.02 01/12/07 PETMED EXPRESS INC FL 7.01,8.01,9.01 01/16/07 PETRO RESOURCES CORP 7.01,9.01 01/16/07 PETROL OIL & GAS INC 7.01,8.01,9.01 01/11/07 PILGRIM'S PRIDE CORP OF GEORGIA, INC. DE 5.01,5.02,5.03,9.01 01/09/07 PLACER SIERRA BANCSHARES CA 1.01,9.01 01/09/07 PLATO LEARNING INC DE 1.01,5.02,9.01 01/09/07 PLY GEM HOLDINGS INC DE 2.01,9.01 01/09/07 AMEND POOL CORP DE 2.02,7.01,9.01 01/11/07 PORTOLA PACKAGING INC DE 2.02,9.01 01/10/07 PRIVATEBANCORP, INC DE 2.02,9.01 01/16/07 PRO PHARMACEUTICALS INC NV 5.02 01/16/07 Puppy Zone Enterprises, Inc NV 4.01,9.01 01/03/07 PURE CYCLE CORP DE 2.02,9.01 01/15/07 PW EAGLE INC MN 1.01,7.01,9.01 01/15/07 PYRAMID OIL CO CA 5.02 01/09/07 QUALSTAR CORP CA 2.02,9.01 01/08/07 QUEST RESOURCE CORP NV 7.01 01/16/07 RALI Series 2006-QO10 Trust 8.01,9.01 01/12/07 RALI Series 2006-QO10 Trust 8.01,9.01 01/16/07 AMEND RALI Series 2006-QS18 Trust DE 8.01,9.01 01/12/07 RANCHER ENERGY CORP. NV 1.01,5.02,7.01,9.01 01/15/07 RBC LIFE SCIENCES, INC. DE 5.02 01/13/07 RECKSON ASSOCIATES REALTY CORP MD 8.01,9.01 01/16/07 REGAL ENTERTAINMENT GROUP DE 5.02 01/10/07 RESIDENTIAL CAPITAL, LLC DE 8.01 01/16/07 RICHARDSON ELECTRONICS LTD/DE DE 2.02,9.01 01/10/07 RICHARDSON ELECTRONICS LTD/DE DE 7.01,9.01 01/11/07 Rockwood Holdings, Inc. DE 2.01,9.01 01/09/07 Rosetta Resources Inc. DE 7.01,9.01 01/15/07 RR Donnelley & Sons Co DE 2.01,8.01,9.01 01/09/07 SACO I Trust 2007-1 DE 9.01 01/16/07 SALESFORCE COM INC DE 5.02 01/11/07 Sally Beauty Holdings, Inc. 1.01,5.02,9.01 01/12/07 SALOMON SMITH BARNEY AAA ENERGY FUND 1.01,9.01 01/16/07 SBARRO INC NY 7.01,9.01 01/16/07 Searchlight Minerals Corp. NV 1.01,7.01,9.01 01/08/07 SEVERN BANCORP INC MD 2.02,9.01 01/16/07 SIRVA INC DE 8.01,9.01 01/10/07 SNAP ON INC DE 1.01,2.03,9.01 01/09/07 SOFTECH INC MA 2.02,9.01 01/16/07 SOMERSET INTERNATIONAL GROUP,INC. DE 5.03,9.01 01/15/07 SONO TEK CORP NY 2.02,9.01 01/12/07 SOUTH DAKOTA SOYBEAN PROCESSORS LLC 1.02 01/12/07 SOUTHRIDGE ENTERPRISES INC. NV 1.01,1.02,5.02,7.01,9.01 11/01/06 Spectrum Brands, Inc. WI 8.01,9.01 01/10/07 SPESCOM SOFTWARE INC CA 5.02 01/16/07 SPIRIT FINANCE CORP 5.02 01/09/07 ST JOE CO FL 2.05,9.01 01/15/07 STEINWAY MUSICAL INSTRUMENTS INC DE 8.01,9.01 01/16/07 STOCKERYALE INC MA 9.01 10/31/06 AMEND STRATIVATION, INC. DE 1.01,3.02,9.01 01/15/07 SUFFOLK BANCORP NY 2.02 01/16/07 SUMTOTAL SYSTEMS INC DE 2.02,9.01 01/15/07 SUNOCO INC PA 1.01,9.01 01/11/07 SYMANTEC CORP DE 2.02,9.01 01/16/07 TANOX INC DE 8.01,9.01 01/15/07 TARGACEPT INC 5.02 01/09/07 TD AMERITRADE HOLDING CORP DE 2.02,9.01 01/16/07 TENNECO INC DE 1.01,9.01 01/15/07 TEREX CORP DE 1.02,9.01 01/15/07 TERRA NOSTRA RESOURCES CORP. NV 2.02,9.01 01/12/07 TIDEWATER INC DE 2.02,9.01 01/16/07 TORCHMARK CORP DE 8.01,9.01 01/12/07 TOWER TECH HOLDINGS INC. NV 5.02 01/15/07 TRANSMETA CORP DE 2.02,5.02,7.01,9.01 01/12/07 TRANSWITCH CORP /DE DE 5.02,9.01 01/12/07 TRIZETTO GROUP INC DE 1.01,2.01,2.03,7.01,9.01 01/10/07 TRIZETTO GROUP INC DE 2.01,3.02,9.01 12/22/06 AMEND TRUSTCO BANK CORP N Y NY 2.02,9.01 12/31/06 TRUSTMARK CORP MS 2.02,9.01 01/16/07 TVI CORP MD 9.01 10/31/06 AMEND TVIA INC DE 2.03 01/09/07 U S PHYSICAL THERAPY INC /NV NV 7.01 01/16/07 UAP HOLDING CORP DE 5.02,9.01 01/11/07 UNITED BANCORP INC /MI/ MI 2.02,8.01,9.01 01/16/07 UNITED REFINING CO PA 8.01,9.01 01/16/07 US BANCORP \DE\ DE 2.02,9.01 01/16/07 US GLOBAL NANOSPACE INC DE 5.02,9.01 01/09/07 UTEK CORP 8.01,9.01 01/10/07 UTi WORLDWIDE INC 1.01,5.03,9.01 01/11/07 Valentec Systems, Inc DE 5.02 01/16/07 VERIDIEN CORP DE 9.01 01/12/07 VERIDIEN CORP DE 2.02,9.01 01/12/07 AMEND VERIZON COMMUNICATIONS INC DE 8.01 01/16/07 VIASPACE Inc. NV 8.01,9.01 01/16/07 VISKASE COMPANIES INC DE 5.02,9.01 01/09/07 VITA FOOD PRODUCTS INC NV 1.01,9.01 01/10/07 VITRO DIAGNOSTICS INC NV 4.01,9.01 01/16/07 VS HOLDINGS, INC. DE 5.02,9.01 12/29/06 WaMu Asset Acceptance Corp. DE 9.01 01/16/07 WaMu Asset Acceptance Corp. DE 9.01 01/16/07 WARNACO GROUP INC /DE/ DE 2.02,9.01 01/11/07 WARWICK VALLEY TELEPHONE CO NY 5.02,8.01,9.01 01/16/07 WASHINGTON FEDERAL INC WA 2.02,7.01,9.01 01/12/07 Washington Mutual Asset-Backed Certif DE 6.01 01/12/07 WATERS CORP /DE/ DE 1.01,1.02,2.03 01/11/07 WATSCO INC FL 2.02,9.01 01/15/07 WELLS FARGO & CO/MN DE 2.02,9.01 01/16/07 WESTINGHOUSE AIR BRAKE TECHNOLOGIES C DE 8.01,9.01 01/11/07 WESTSIDE ENERGY CORP NV 8.01,9.01 01/16/07 WGNB CORP GA 2.02,9.01 01/11/07 WHITING PETROLEUM CORP DE 5.02 01/12/07 Wi-Tron, Inc. DE 3.02,5.02 01/02/07 WII Components, Inc. DE 1.01,1.02,2.03,2.04,5.01,5.02, 01/09/07 5.03,8.01,9.01 WILLBROS GROUP INC R1 5.02,9.01 01/09/07 Willdan Group, Inc. DE 8.01,9.01 01/16/07 Winthrop Realty Trust OH 5.03,9.01 01/10/07 WINTRUST FINANCIAL CORP IL 1.01,9.01 01/09/07 WOIZE INTERNATIONAL LTD. 3.02,9.01 12/29/06 Yukon Resources Corp. NV 3.02 01/12/07 ZIOPHARM ONCOLOGY INC 5.02,9.01 01/13/07