SEC NEWS DIGEST Issue 2007-25 February 7, 2007 COMMISSION ANNOUNCEMENTS CHANGE IN THE MEETING: TIME CHANGE The time of the closed meeting scheduled for Thursday, February 8, has been changed from 2:00 p.m. to 10:00 a.m. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact the Office of the Secretary at (202) 551-5400. ENFORCEMENT PROCEEDINGS IN THE MATTER OF BYRON NERNOFF On February 6, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanction (Order) barring Byron Nernoff, of Roslyn Heights, New York, from association with any broker or dealer. Nernoff consented to the Order without admitting or denying the findings, except as to the Final Judgment against him. The Order finds that on Jan. 16, 2007, a final judgment was entered by consent against Nernoff permanently enjoining him from future violations of Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 and Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder in a civil action entitled SEC v. Jack Calvin, et al., Civil Action No. 03-CV-10586-MEL (D. Mass.) in the U.S. District Court for the District of Massachusetts. On March 31, 2003, the Commission filed a complaint against five defendants, including Nernoff, and one relief defendant. The Commission's complaint alleged that Nernoff and the other defendants offered and sold securities in a purported trading program called Growth Benefit Systems (GBS) that was completely fictitious. The defendants allegedly solicited investors by, among other things, telling them that their funds would be pooled to purchase "Prime Bank" instruments that would be traded by top-rated banks and promising returns as high as 20% per month. In fact, according to the complaint, the GBS trading program never existed and defendants' representations to investors were therefore false. For further information, please see Litigation Release Nos. 18056 (March 31, 2003), 18544 (Jan. 15, 2004), and 19974 (Jan. 19, 2007). (Rel. 34-55242; File No. 3-12561) COMMISSION REVOKES REGISTRATIONS OF SECURITIES OF CAPMACCO CORP., FIRST CMA, INC., AND NATIONAL CMA, INC. FOR FAILURE TO MAKE REQUIRED PERIODIC FILINGS On February 7, the Commission revoked the registration of each class of registered securities of Capmacco Corp., First CMA, Inc., and National CMA, Inc. (collectively the Respondents) for failure to make required periodic filings with the Commission. Without admitting or denying the findings in the order, except as to jurisdiction, which they each admitted, Respondents consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Capmacco Corp., First CMA, Inc., and National CMA, Inc. finding that they had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of the Respondents' securities pursuant to Section 12(j) of the Exchange Act. This order settled the charges brought against the Respondents in the Matter of Capmacco Corp., et al., Administrative Proceeding File No. 3-12539. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows: No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . . For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Capmacco Corp., et al., Administrative Proceeding File No. 3-12539, Exchange Act Release No. (Jan. 17, 2007). (Rel. 34-55249; File No. 3-12539) COMMISSION REVOKES REGISTRATIONS OF SECURITIES OF TELYNX, INC. FOR FAILURE TO MAKE REQUIRED PERIODIC FILINGS On February 7, the Commission revoked the registration of each class of registered securities of Telynx, Inc. (Telynx) for failure to make required periodic filings with the Commission. Without admitting or denying the findings in the order, except as to jurisdiction, which it admitted, Telynx consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Telynx, Inc. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of Telynx's securities pursuant to Section 12(j) of the Exchange Act. This order settled the charges brought against Telynx in In the Matter of Cosmetic Center, Inc., et al., Administrative Proceeding File No. 3-12519. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows: No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . . For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Cosmetic Center, Inc., et al., Administrative Proceeding File No. 3-12519, Exchange Act Release No. 55022 (Dec. 29, 2006). (Rel. 34-55250; File No. 3-12519) SEC FILES ACTIONS AGAINST FORMER CFO AND FORMER CONTROLLER OF ENGINEERED SUPPORT SYSTEMS, INC. RELATING TO OPTIONS BACKDATING SCHEME; FORMER CONTROLLER CONSENTS TO PERMANENT INJUNCTION, OFFICER- AND-DIRECTOR BAR, AND PAYMENT OF $886,557 On February 6, the Commission filed civil injunctive actions against Gary C. Gerhardt, the former Chief Financial Officer of Engineered Support Systems, Inc., and Steven J. Landmann, the company's former Controller, alleging that they participated in a six-year fraudulent options backdating scheme in which they granted undisclosed, in-the- money stock options to themselves and to other Engineered Support officers, employees, and directors. According to the complaints, Engineered Support employees and directors received approximately $20 million in unauthorized compensation as a result of the backdating, $15 million of which was received by top executives and directors. Gerhardt and Landmann personally profited by $1,906,300 and $518,972 respectively. The complaints allege that, from 1997 through 2002, Gerhardt instructed Landmann to backdate company stock option grants to coincide with historically low closing prices of Engineered Support's common stock. The company's stock options vested at the time of grant, allowing the option recipients to obtain immediate cash profits. In addition, the complaints allege that, on at least two occasions, Gerhardt ordered Landmann to cancel previously issued Engineered Support stock options that had fallen out-of-the-money and to reissue them with new backdated grant dates and exercise prices, to bring them back in-the-money. The complaints also allege that Gerhardt directed Landmann to issue additional Engineered Support stock options to nonemployee directors in excess of authorized amounts, from which these directors received a total gain of approximately $6 million. The complaints allege that as part of the scheme, Gerhardt and Landmann caused Engineered Support to misrepresent in its filings with the Commission that its stock options were granted with an exercise price equal to the fair market value of the company's common stock on the date of the award. The complaints also allege that Engineered Support filed materially misstated financial statements with the Commission that understated compensation expense associated with Engineered Support's stock option grants by approximately $26 million, or 21% of its aggregate pretax operating income for fiscal years 1997 through 2002. Landmann has settled the civil action filed against him by consenting to a permanent injunction and an officer-and-director bar, and by agreeing to pay disgorgement of $518,972, prejudgment interest of $108,099, and a civil penalty of $259,486. As part of the settlement, Landmann has also consented to be suspended from appearing or practicing before Commission as an accountant in a subsequent administrative proceeding. The Commission's investigation in this matter is continuing. [SEC v. Gary C. Gerhardt, Civil Action No. 4:07-CV-271, USDC, ED Mo.; SEC v. Steven J. Landmann, Civil Action No.4:07-CV-270, USDC, ED Mo] (LR- 19990; AAE Rel. 2551; Press Rel. 2007-15) SEC FILES SETTLED BOOKS AND RECORDS AND INTERNAL CONTROLS CHARGES AGAINST EL PASO CORPORATION FOR IMPROPER PAYMENTS TO IRAQ UNDER THE U.N. OIL FOR FOOD PROGRAM - - COMPANY AGREES TO PAY $7.7 MILLION The Commission today filed Foreign Corrupt Practices Act books and records and internal controls charges against El Paso Corporation (El Paso), a Texas-based energy company, in the U.S. District Court for the Southern District of New York. The Commission's complaint alleges that from approximately June 2001 through June 2002, El Paso, and its predecessor in-interest The Coastal Corporation, indirectly made approximately $5.5 million in illegal surcharge payments to Iraq in connection with its purchases of crude oil from third parties under the U.N. Oil for Food Program. The Program was intended to provide humanitarian relief for the Iraqi population, which faced severe hardship under international trade sanctions. However, beginning in August 2000, officials of Iraq's State Oil Marketing Organization (SOMO), began demanding illegal kickbacks. The kickbacks were made in the form of surcharges, and were sent to Iraqi-controlled accounts at banks in Jordan and Lebanon. According to the Commission's complaint: In September 2000, The Coastal Corporation - which merged with an El Paso subsidiary in January 2001 - received its first surcharge demand from a SOMO official. An El Paso consultant and former Coastal official arranged a $201,877 surcharge payment on the company's behalf, which was made to an Iraqi-controlled account at Ahli Bank in Jordan. After receiving notice from SOMO that all oil contracts would include surcharges, El Paso ceased direct purchases from SOMO. Instead, it continued its purchases through third parties. Beginning in June 2001, El Paso entered into fourteen additional third-party transactions involving fifteen contracts to purchase some 21.4 million barrels of oil. Approximately 25 to 30 cents of every barrel was illegally kicked back to Iraq by third parties. El Paso's oil traders had to factor the surcharge into their oil price, and there are recorded conversations of the company's officials and traders discussing the surcharges. El Paso knew, or was reckless in not knowing, that $5.5 million in illegal surcharges were made on those contracts, and passed back to El Paso in premiums. El Paso failed to maintain an adequate system of internal controls to detect and prevent the payments. Although El Paso inserted a provision in some contracts requiring the third party to represent that it had not paid surcharges, El Paso failed to conduct due diligence to ensure that surcharges were not paid. Recorded conversations reveal El Paso's knowledge that the provision was entirely ineffective. In one conversation, a third party that indicated he was willing to pay illegal surcharges to Iraq indicated that he would be equally willing to sign a false certification denying the payment. El Paso's accounting for its Oil for Food transactions failed properly to record the nature of the company's payments. In at least fifteen transactions, a portion of the company's price for oil constituted kickbacks to Iraq. The company failed to so designate those payments, characterizing them instead simply as part of the cost of goods sold. El Paso ceased its oil trading and refinery business entirely by March 2004. El Paso, without admitting or denying the allegations in the Commission's complaint, consented to the entry of a final judgment permanently enjoining it from future violations of Sections 13(b)(2)(A) and 13(b)(2)(B) of the Securities Exchange Act of 1934, ordering it to disgorge $5,482,363 in profits, and to pay a civil penalty of $2,250,000. El Paso will satisfy its disgorgement obligation by forfeiting $5,482,363 pursuant to a non-prosecution agreement with the U.S. Attorney's Office for the Southern District of New York. Since being approached by the Commission's staff, El Paso has cooperated with the Commission's investigation, which is continuing. The Commission acknowledges the assistance of the United States Attorney's Office for the Southern District of New York and the United Nations Independent Inquiry Committee. [SEC v. El Paso Corporation, Civil Action No. 07CV00899 (S.D.N.Y.)] (LR-19991; Press Rel. 2007-16) SEC CHARGES AUDIT COMMITTEE CHAIRMAN WITH INSIDER TRADING IN ADVANCE OF ANNOUNCEMENT OF MERGER BETWEEN MAGNUM HUNTER RESOURCES, INC. AND CIMAREX ENERGY COMPANY On February 6, the Commission filed an insider trading action in U.S. District Court for the Northern District of Texas against Donald A. Erickson, former audit committee chairman and a former director of Magnum Hunter Resources, Inc. (MHR). The Commission alleges that Erickson engaged in unlawful insider trading in the securities of MHR ahead of the January 26, 2005 announcement of merger between MHR and Cimarex Energy Company (Cimarex). In its complaint, the Commission alleges that in late December 2004, Donald A. Erickson, while serving as audit committee chairman and a director of MHR, purchased MHR call options during the time MHR was exploring a possible merger or sale of the company. The complaint alleges that Erickson was briefed regularly on the status of negotiations and participated in key decisions regarding the Cimarex deal. The complaint also alleges that in mid-January 2005-just two trading days before the public announcement of the merger, and one day after he attended a board meeting addressing the status of negotiations with Cimarex-Erickson exercised his call options and acquired 30,000 shares of MHR stock. According to the Commission, Erickson purchased and exercised the options based on material, nonpublic information about MHR's merger negotiations and, ultimately, the Cimarex deal. Further, the Commission alleges that Erickson failed to report to the Commission his purchases of MHR call options, a requirement for corporate insiders. In addition, the Commission alleges that Erickson was late in disclosing to the Commission the exercise of his options, and further alleges that his ultimate disclosure was materially false- indicating, incorrectly, that he had exercised the options after the merger announcement. The Commission alleges in its complaint that Erickson violated Sections 10(b) and 16(a) of the Securities Exchange Act of 1934 and Rules 10b-5, 16a-3(a), and 16a-3(g)(1) thereunder. The Commission seeks against Erickson a permanent injunction, disgorgement plus prejudgment interest, civil money penalties, and an officer and director bar. [SEC v. Donald A. Erickson, Civil Action No. 3-07-CV- 0254-N, USDC, NDTX, Dallas Division] (LR-19992) SEC CHARGES FORMER DIVISION PRESIDENT OF ENTERASYS NETWORKS, INC. WITH FINANCIAL FRAUD The Commission announced today that it filed a settled civil fraud action in the U.S. District Court for the District of New Hampshire against Gary M. Workman, the former president of the Asia Pacific division for Enterasys Networks, Inc. (Enterasys) and its former parent company, Cabletron Systems, Inc. (Cabletron). The complaint alleges that from March 2000 through December 2001, Workman participated in a company-wide scheme to fraudulently inflate revenues at Enterasys and its former parent company, Cabletron, and thereby convince the market that Enterasys was a viable independent company with consistently strong revenue growth. The Commission's complaint further alleges that Workman directly participated in transactions which involved undisclosed side agreements in which the purchaser was granted full return or exchange rights, or payment for the product was contingent upon the purchaser's resale of the product, or payment was contingent upon an investment by Enterasys. In the latter, Enterasys agreed to take a debt or equity interest in its customer, in return for that company's agreement to use those funds to purchase product from Enterasys. Workman, without admitting or denying the allegations of the complaint, consented to an injunction against future violations of Sections 10(b) and 13(b)(5) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 10b-5, 13b2-1 and 13b2-2 thereunder; and from aiding and abetting any violation of Sections 13(a), 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act and Rules 12b-20, 13a-1 and 13a-13 thereunder. Additionally, Workman consented to paying disgorgement in the amount of $165,241, plus prejudgment interest in the amount of $40,231, reflecting the full amount of his ill gotten gains. Additionally, Workman consented to paying a civil penalty of $20,000. In a related criminal case, Workman pled guilty to one count of wire fraud and cooperated with the U.S. Attorney's Office for the District of New Hampshire in the prosecution of U.S. v. Barber et al., Criminal No. 04-126 (D.N.H.). [SEC v. Gary M. Workman, Civil Action No. 07cv026 (D.N.H.)] (LR-19993) INVESTMENT COMPANY ACT RELEASES COUNTRY INVESTORS LIFE ASSURANCE COMPANY, ET AL. A notice has been issued giving interested persons until February 27 to request a hearing on an application filed by Country Investors Life Assurance Company and Country Investors Variable Life Account and Country Investors Variable Annuity Account (the Separate Accounts). Applicants seek an order pursuant to Section 26(c) of the Investment Company Act to permit the substitution of securities issued by certain registered investment companies and held by the Separate Accounts for shares of certain other registered investment companies. (Rel. IC- 27695 - February 2) SELF-REGULATORY ORGANIZATIONS ACCELERATED APPROVAL OF PROPOSED RULE CHANGES The Commission granted accelerated approval to a proposed rule change, as amended by Amendment No. 1, submitted by the Philadelphia Stock Exchange (SR-Phlx-2006-79) relating to an amendment to the generic listing standards for Trust Shares. Publication in the Federal Register is expected during the week of February 5. (Rel. 34-55211) The National Association of Securities Dealers filed a proposed rule change (SR-NASD-2007-009) to extend retroactively to Dec. 16, 2006, and prospectively through Dec. 15, 2007, NASD's short sale rule contained in NASD Rule 5100 and the short sale standard contained in IM-5100. Publication in the Federal Register is expected during the week of February 12. (Rel. 34-55245) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change filed by the Chicago Board Options Exchange to extend the duration of CBOE Rule 6.45A(b) pertaining to orders represented in open outcry (SR-CBOE-2007-10) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of February 5. (Rel. 34-55219) A proposed rule change filed by NYSE Arca (SR-NYSEArca-2007-07) and Amendment No. 2 thereto relating to exchange fees and charges has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of February 5. (Rel. 34-55223) A proposed rule change (SR-Amex-2007-12) filed by the American Stock Exchange relating to a clarification to the exchange's payment for order flow plan has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of February 5. (Rel. 34-55229) A proposed rule change (SR-CBOE-2007-06) filed by the Chicago Board Options Exchange to amend CBOE Rules relating to CBOE's determination to trade options on the iShares Russell 2000 Index Fund (IWM) on the Hybrid 2.0 Platform has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of February 12. (Rel. 34-55243) PROPOSED RULE CHANGES The Boston Stock Exchange filed a proposed rule change and Amendment No. 1 thereto (SR-BSE-2006-56) to add to the Boston Options Exchange a new functionality called an Automatic Auction Order. Publication in the Federal Register is expected during the week of February 5. (Rel. 34-55233) The Commission issued notice of filing of a proposed rule change (SR- Amex-2007-07) and Amendment No. 1 thereto filed by the American Stock Exchange amending existing rules for portfolio depositary receipts and index fund shares. Publication in the Federal Register is expected during the week of February 12. (Rel. 34-55240) 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 INFOTEC BUSINESS SYSTEMS INC, 444 COLUMBIA ST EAST, NEW WESTMINSTER, BRITISH COLUMBIA, CANADA V3L 3W9, A1, 00000, 6047771707 - 35,000,000 ($700,000.00) Equity, (File 333-140463 - Feb. 6) (BR. 08B) S-1 EPICEPT CORP, 270 SYLVAN AVENUE, ENGLEWOOD CLIFFS, NJ, 07632, 2018948980 - 0 ($15,174,733.00) Equity, (File 333-140464 - Feb. 6) (BR. 01A) S-8 MICROS SYSTEMS INC, 7031 COLUMBIA GATEWAY DRIVE, COLUMBIA, MD, 21046-2289, 4432856000 - 600,000 ($33,234,000.00) Equity, (File 333-140468 - Feb. 6) (BR. 03B) S-8 AMERISOURCEBERGEN CORP, 1300 MORRIS DRIVE, CHESTERBROOK, PA, 19087-5594, 6107277000 - 0 ($573,320,000.00) Equity, (File 333-140470 - Feb. 6) (BR. 09B) S-8 VERTICAL BRANDING, INC., 16000 VENTURA BLVD, SUITE 301, ENCINO, CA, 91436, 310-575-0955 - 5,000,000 ($3,525,000.00) Equity, (File 333-140471 - Feb. 6) (BR. 08B) S-3 Bronco Drilling Company, Inc., 14313 NORTH MAY AVENUE, SUITE 100, OKLAHOMA CITY, OK, 73134, 405.848.8807 - 4,070,390 ($65,492,575.10) Equity, (File 333-140472 - Feb. 6) (BR. 04C) S-8 THINKENGINE NETWORKS, INC., 100 NICKERSON ROAD, MARLBOROUGH, MA, 01752, 5086247600 - 500,000 ($1,500,000.00) Equity, (File 333-140473 - Feb. 6) (BR. 11C) S-8 Frontier Airlines Holdings, Inc., 7001 TOWER ROAD, DENVER, CO, 80249, (720) 374-4200 - 0 ($11,968,000.00) Equity, (File 333-140474 - Feb. 6) (BR. 05B) S-4 COMMERCE BANCSHARES INC /MO/, 1000 WALNUT, KANSAS CITY, MO, 64106, 8162342000 - 0 ($14,056,682.24) Equity, (File 333-140475 - Feb. 6) (BR. 07C) S-3 American Home Mortgage Assets LLC, 538 BROADHOLLOW ROAD, MELVILLE, NY, 11747, (516) 622-8960 - 0 ($3,000,000,000.00) Mortgage Backed Securities, (File 333-140476 - Feb. 6) (BR. 05D) S-8 PREMIER EXHIBITIONS, INC., 3340 PEACHTREE ROAD NE, SUITE 2250, ATLANTA, GA, 30326, 404-842-2600 - 4,600,000 ($49,956,000.00) Equity, (File 333-140477 - Feb. 6) (BR. 05B) F-10 NORTH AMERICAN PALLADIUM LTD, NORTH AMERICAN PALLADIUM STD, 130 ADELAIDE STREET W SUITE 2116, TORONTO ONTARIO CANA, A6, M5H3P5, 4163602655 - 68,138 ($544,422.62) Equity, (File 333-140478 - Feb. 6) (BR. 04B) S-8 EAGLE BROADBAND INC, 101 COURAGEOUS DRIVE, LEAGUE CITY, TX, 77573, 2815386000 - 2,000,000 ($900,000.00) Equity, (File 333-140479 - Feb. 6) (BR. 11C) S-8 PHARMACYCLICS INC, PHARMACYCLICS INC, 995 E ARQUES AVE, SUNNYVALE, CA, 94085-4521, 408 774 0330 - 200,000 ($968,000.00) Equity, (File 333-140480 - Feb. 6) (BR. 01B) S-3 JAVELIN PHARMACEUTICALS, INC, 130 WEST 42ND STREET, NEW YORK, NY, 10036, 2125544550 - 0 ($50,000,000.00) Equity, (File 333-140481 - Feb. 6) (BR. 01A) S-3 NUMEREX CORP /PA/, 1600 PARKWOOD CIRCLE, SUITE 200, ATLANTA, GA, 30339, 770-693-5950 - 1,152,822 ($11,643,975.00) Equity, (File 333-140483 - Feb. 6) (BR. 11A) F-6 KINGFISHER PLC /FI, 119 MARYEBONE RD, NORTH WEST HOUSE, LONDON ENGLAND NWI 5PX, X0, 00000, 50,000,000 ($2,500,000.00) ADRs/ADSs, (File 333-140484 - Feb. 6) (BR. ) SB-2 DREAM MEDIA INC., 4695 MACARTHUR COURT, 11TH FLOOR, NEWPORT BEACH, CA, 92660, (202) 756-1616 - 1,075,000 ($1,075,000.00) Equity, (File 333-140486 - Feb. 6) (BR. 09) 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 ------------------------------------------------------------------------------------------------------- ABM INDUSTRIES INC /DE/ DE 5.02 02/02/07 ABRAXAS PETROLEUM CORP NV 7.01,9.01 02/06/07 ACCESS WORLDWIDE COMMUNICATIONS INC DE 2.02,9.01 02/06/07 ACE COMM CORP MD 9.01 02/06/07 ACXIOM CORP DE 5.02,9.01 02/06/07 ADVISORY BOARD CO DE 1.01,2.02,5.02,7.01,9.01 02/06/07 AEROCENTURY CORP DE 2.02 02/06/07 AEROPOSTALE INC 5.02,9.01 02/01/07 AFFIRMATIVE INSURANCE HOLDINGS INC DE 1.01,1.02,2.01,2.03,9.01 01/31/07 AHPC Holdings, Inc. MD 3.01 01/31/07 ALABAMA POWER CO AL 8.01,9.01 01/30/07 ALEXANDRIA REAL ESTATE EQUITIES INC MD 8.01,9.01 02/05/07 ALLIANCE BANKSHARES CORP 2.02,9.01 02/05/07 ALPHA PRO TECH LTD DE 7.01,9.01 02/06/07 ALPINE GROUP INC /DE/ DE 1.01,9.01 01/31/07 ALTERA CORP DE 5.02,9.01 01/18/07 Altus Pharmaceuticals Inc. DE 1.01,9.01 11/15/06 AMEDIA NETWORKS, INC. DE 1.01,2.03,9.01 01/31/07 AMERICAN BILTRITE INC DE 8.01,9.01 02/01/07 AMERICAN CAPITAL STRATEGIES LTD 5.02,9.01 02/06/07 AMERICAN EAGLE OUTFITTERS INC DE 3.01,7.01,9.01 02/05/07 AMERICAN ECOLOGY CORP DE 2.02,9.01 02/06/07 AMERICAN ECOLOGY CORP DE 5.02 01/31/07 AMERICAN LAND LEASE INC DE 1.01 01/31/07 AMERICAN LAND LEASE INC DE 5.02,7.01,9.01 01/31/07 AMERICAN PACIFIC CORP DE 1.01,2.03,8.01,9.01 02/06/07 AMERICAN TECHNICAL CERAMICS CORP DE 2.05 02/01/07 AMERIGROUP CORP 8.01 02/02/07 AMERISOURCEBERGEN CORP DE 8.01,9.01 02/05/07 AMSURG CORP TN 7.01,9.01 02/05/07 ANADARKO PETROLEUM CORP DE 2.02,7.01,9.01 02/06/07 ANCHOR BANCORP WISCONSIN INC WI 2.02,9.01 02/05/07 ANNALY CAPITAL MANAGEMENT INC MD 2.02,9.01 02/06/07 AQUANTIVE INC WA 5.02 01/31/07 ARCHER DANIELS MIDLAND CO DE 5.02,5.03,9.01 02/03/07 ARES CAPITAL CORP MD 8.01,9.01 02/06/07 ART TECHNOLOGY GROUP INC DE 2.02,9.01 02/06/07 ARTISTDIRECT INC DE 1.01,9.01 02/02/07 ASPEN TECHNOLOGY INC /DE/ DE 2.02,4.02,9.01 02/06/07 ASSET BACKED SECURITIES CORP HOME EQU DE 8.01,9.01 02/06/07 ASTORIA FINANCIAL CORP DE 8.01,9.01 02/06/07 ASYST TECHNOLOGIES INC CA 2.02,8.01,9.01 01/31/07 ATMOS ENERGY CORP TX 2.02,9.01 02/06/07 ATWOOD OCEANICS INC TX 2.02,9.01 02/06/07 AUTOMATIC DATA PROCESSING INC DE 2.02,9.01 02/06/07 AVANEX CORP DE 2.02,9.01 02/06/07 Averion International Corp. 1.01 01/31/07 AVERY DENNISON CORPORATION DE 5.02 02/05/07 AVON PRODUCTS INC NY 2.02,9.01 02/06/07 AWARE INC /MA/ MA 2.02,9.01 02/06/07 BAD TOYS Holdings, Inc. NV 2.01,9.01 02/01/07 BALDOR ELECTRIC CO MO 1.01,2.01,2.02,2.03,3.02,7.01, 01/31/07 8.01,9.01 BCSB BANKCORP INC 2.02,9.01 02/02/07 Bear Stearns ALT-A Trust 2006-7 DE 8.01,9.01 10/31/06 AMEND Behringer Harvard Opportunity REIT I, MD 1.01,9.01 01/31/07 BELL INDUSTRIES INC /NEW/ CA 1.01,2.01,2.03,3.02,5.02,8.01, 01/31/07 9.01 BELLACASA PRODUCTIONS INC NV 8.01,9.01 01/31/07 BIO KEY INTERNATIONAL INC MN 8.01,9.01 02/02/07 BIODELIVERY SCIENCES INTERNATIONAL IN DE 7.01,8.01,9.01 02/02/07 BIOENVISION INC DE 1.01,9.01 01/31/07 BIOLIFE SOLUTIONS INC DE 5.02 02/02/07 BioMed Realty Trust Inc MD 3.02,5.02,9.01 01/31/07 BLACKBOARD INC DE 2.02,5.02,8.01,9.01 02/05/07 BLONDER TONGUE LABORATORIES INC DE 5.02,7.01,9.01 01/31/07 BMC SOFTWARE INC DE 5.02 02/05/07 BOOKHAM, INC. DE 2.05 01/31/07 BOSTON PROPERTIES INC DE 1.01,2.03,3.02,9.01 01/31/07 BOSTON PROPERTIES LTD PARTNERSHIP 1.01,2.03,3.02,9.01 01/31/07 BOWATER INC DE 2.02,8.01,9.01 02/06/07 BRIGHTPOINT INC IN 2.02,9.01 02/06/07 BROOKFIELD HOMES CORP DE 2.02,5.02,9.01 02/01/07 BROOKS AUTOMATION INC DE 2.02,9.01 02/06/07 BSD MEDICAL CORP DE 7.01,9.01 02/06/07 BUCKEYE TECHNOLOGIES INC DE 5.02 02/05/07 BUSINESS OBJECTS S.A. 2.02,9.01 02/06/07 CALAVO GROWERS INC CA 1.01,2.03,9.01 01/31/07 CALYPTE BIOMEDICAL CORP DE 5.02 02/01/07 CAMPBELL FUND TRUST MD 3.02 02/01/07 CAMPBELL FUND TRUST MD 3.02 01/01/07 AMEND CANO PETROLEUM, INC 2.02,7.01,9.01 02/05/07 CAPITAL BANCORP INC TN 1.01,8.01,9.01 02/05/07 CAPITAL BANCORP INC TN 5.02,8.01,9.01 02/05/07 CAPITAL BANCORP INC TN 8.01,9.01 02/06/07 CAPITALSOURCE INC DE 5.02 01/31/07 Cardium Therapeutics, Inc. 8.01,9.01 02/05/07 CARRIER ACCESS CORP DE 2.02,9.01 02/06/07 CATUITY INC DE 8.01 02/06/07 CELADON GROUP INC DE 5.02 01/31/07 Celanese CORP DE 2.02,7.01,9.01 02/06/07 CELL GENESYS INC DE 8.01 02/06/07 CELL THERAPEUTICS INC WA 4.02 01/29/07 AMEND CENTENE CORP 2.02,9.01 02/06/07 CENTER FINANCIAL CORP CA 2.02,9.01 02/01/07 CENTERPOINT ENERGY INC 1.01,9.01 02/01/07 CENTERPOINT ENERGY RESOURCES CORP DE 1.01,9.01 02/01/07 CenterStaging Corp. DE 5.02,7.01,9.01 02/06/07 CENTEX CORP NV 1.01,7.01,9.01 01/31/07 CENTRAL VIRGINIA BANKSHARES INC VA 2.02,9.01 02/01/07 CHANNELL COMMERCIAL CORP DE 2.02 02/06/07 CHARMING SHOPPES INC PA 7.01,9.01 02/06/07 CHARYS HOLDING CO INC 5.02,9.01 12/31/06 CHATTEM INC TN 5.02 01/31/07 CHEESECAKE FACTORY INCORPORATED DE 2.02,9.01 02/06/07 CHEESECAKE FACTORY INCORPORATED DE 5.02 02/06/07 CHESAPEAKE ENERGY CORP OK 2.02,9.01 02/05/07 CHINA PHARMA HOLDINGS, INC. DE 1.01,3.02,7.01,9.01 02/01/07 CHOICE HOTELS INTERNATIONAL INC /DE DE 5.02,9.01 02/02/07 CHURCH & DWIGHT CO INC /DE/ DE 2.02,9.01 02/06/07 CINCINNATI FINANCIAL CORP OH 5.02,9.01 01/31/07 CINCINNATI FINANCIAL CORP OH 9.01 01/31/07 AMEND CISCO SYSTEMS INC CA 2.02 02/06/07 CIT GROUP INC DE 8.01,9.01 02/05/07 CLAIBORNE LIZ INC DE 5.02,9.01 01/31/07 CMS ENERGY CORP MI 1.01,5.02,9.01 02/03/07 CNET NETWORKS INC DE 7.01,9.01 01/31/07 COINSTAR INC DE 5.02,9.01 02/02/07 COLDWATER CREEK INC DE 5.02,9.01 02/03/07 COLLAGENEX PHARMACEUTICALS INC DE 1.02 02/06/07 COLLINS & AIKMAN CORP DE 5.02,9.01 01/31/07 COLLINS & AIKMAN FLOOR COVERINGS INC DE 5.02,9.01 02/02/07 COMMERCE BANCSHARES INC /MO/ MO 5.02,8.01 02/02/07 COMPETITIVE TECHNOLOGIES INC DE 5.02,9.01 02/02/07 COMPREHENSIVE HEALTHCARE SOLUTIONS IN DE 2.01,5.02 12/05/06 AMEND COMPUTER SCIENCES CORP NV 2.02 12/29/06 CONCEPTUS INC DE 2.02,8.01,9.01 02/05/07 CONCEPTUS INC DE 9.01 02/06/07 CONGOLEUM CORP DE 8.01,9.01 02/01/07 AMEND CONNS INC DE 2.02,9.01 02/06/07 CONSOLIDATED CONTAINER CO LLC DE 5.02 01/31/07 CONSOLIDATED GRAPHICS INC /TX/ TX 2.03,8.01,9.01 01/31/07 CONSTELLATION BRANDS, INC. DE 7.01,9.01 02/06/07 CONVERA CORP DE 5.02 02/01/07 COOPER COMPANIES INC DE 1.01,2.03,9.01 01/31/07 CORNERSTONE MINISTRIES INVESTMENTS IN GA 5.02 02/02/07 CORTEX PHARMACEUTICALS INC/DE/ DE 5.02 02/01/07 CORVEL CORP DE 2.01,2.03,9.01 01/31/07 COVANTA HOLDING CORP DE 1.01,9.01 01/31/07 CPI INTERNATIONAL, INC. DE 2.02,9.01 02/06/07 CREDIT ACCEPTANCE CORPORATION MI 7.01,9.01 02/06/07 CrossPoint Energy CO NV 4.01,9.01 02/05/07 AMEND CYBERONICS INC DE 2.02,5.02,9.01 01/31/07 CYTRX CORP DE 1.01 02/05/07 DANKA BUSINESS SYSTEMS PLC 2.01,8.01,9.01 01/31/07 DAWSON GEOPHYSICAL CO TX 2.02,9.01 02/06/07 DCP Holding CO OH 3.02 01/31/07 DECODE GENETICS INC DE 1.01 02/05/07 Delek US Holdings, Inc. 8.01,9.01 02/05/07 DELPHAX TECHNOLOGIES INC MN 8.01,9.01 02/05/07 DENBURY RESOURCES INC DE 2.02,9.01 02/06/07 DIGITAL RIVER INC /DE DE 8.01,9.01 02/06/07 DigitalPost Interactive, Inc. NV 1.01,2.01,3.02,5.01,5.02,5.03, 01/30/07 AMEND 5.06,9.01 DISCOVER CARD MASTER TRUST I DE 6.05 02/01/07 Dividend Capital Total Realty Trust I MD 2.01,2.03,9.01 02/01/07 DOLLAR THRIFTY AUTOMOTIVE GROUP INC DE 5.02,5.03,9.01 01/31/07 DUCKWALL ALCO STORES INC KS 7.01 02/06/07 DUCOMMUN INC /DE/ DE 5.02,5.03,9.01 01/31/07 Duke Energy CORP DE 2.02,9.01 02/06/07 DYNAMICS RESEARCH CORP MA 2.02,9.01 02/05/07 Dynegy Acquisition, Inc. DE 8.01,9.01 02/06/07 Eagle Bulk Shipping Inc. 7.01 02/06/07 EARTHLINK INC DE 2.02,9.01 02/06/07 Eddie Bauer Holdings, Inc. DE 8.01,9.01 02/05/07 EDGAR ONLINE INC DE 2.02,9.01 02/06/07 EDGE PETROLEUM CORP DE 2.02,9.01 02/06/07 ELECTRO RENT CORP CA 5.02,9.01 02/01/07 ELECTRONIC DATA SYSTEMS CORP /DE/ DE 5.03,9.01 02/06/07 EMERITUS CORP\WA\ WA 8.01,9.01 02/06/07 EMERSON ELECTRIC CO MO 2.02,7.01,9.01 02/06/07 EMERSON RADIO CORP DE 8.01 01/31/07 Employers Holdings, Inc. NV 8.01,9.01 02/05/07 ENCORE WIRE CORP /DE/ DE 2.02,7.01,9.01 02/06/07 ENCORIUM GROUP INC NV 5.02 02/05/07 ENDEAVOUR INTERNATIONAL CORP NV 7.01,9.01 02/06/07 ENOVA SYSTEMS INC CA 4.01,5.02,9.01 01/31/07 EPL Intermediate, Inc. DE 5.02 01/31/07 EQUINIX INC DE 1.01,2.03,9.01 02/02/07 EQUITY OFFICE PROPERTIES TRUST MD 1.01,8.01,9.01 02/05/07 ESPEED INC DE 5.02 02/01/07 ESTERLINE TECHNOLOGIES CORP DE 1.01,7.01,9.01 01/31/07 ETHANEX ENERGY, INC. NV 1.01,9.01 12/08/06 EV Energy Partners, LP DE 1.01,2.01,2.03,7.01,9.01 01/31/07 EXCO RESOURCES INC TX 1.01,7.01,9.01 02/01/07 EYI INDUSTRIES INC. 7.01 02/06/07 FAIRPOINT COMMUNICATIONS INC DE 7.01,8.01,9.01 02/06/07 Federal Home Loan Bank of Atlanta X1 2.03 01/31/07 Federal Home Loan Bank of Boston X1 2.03 01/31/07 Federal Home Loan Bank of Chicago X1 2.03 01/31/07 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 01/31/07 Federal Home Loan Bank of Dallas 2.03 01/31/07 Federal Home Loan Bank of Des Moines X1 2.03,9.01 01/31/07 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 01/31/07 Federal Home Loan Bank of New York X1 2.03,9.01 01/31/07 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 01/31/07 Federal Home Loan Bank of San Francis X1 2.03 01/31/07 Federal Home Loan Bank of Seattle 2.03 02/06/07 Federal Home Loan Bank of Topeka 2.03 02/02/07 FEI CO OR 2.02,9.01 02/06/07 FelCor Lodging Trust Inc MD 5.02,9.01 01/31/07 FIRST BANCORP /PR/ PR 2.02,8.01,9.01 02/01/07 FIRST CHARTER CORP /NC/ NC 2.02,7.01,9.01 02/05/07 FIRST MERCHANTS CORP IN 5.02,9.01 02/06/07 FLORIDA COMMUNITY BANKS INC FL 2.02,9.01 02/06/07 FOOTHILLS RESOURCES INC 9.01 09/08/06 AMEND FOOTSTAR INC DE 8.01,9.01 02/02/07 FOREST CITY ENTERPRISES INC OH 5.02 02/01/07 FRANKLIN ELECTRIC CO INC IN 2.02,9.01 12/30/06 FREDS INC TN 5.02,9.01 02/01/07 FREMONT GENERAL CORP NV 7.01 02/06/07 FURNITURE BRANDS INTERNATIONAL INC DE 2.02,5.02,8.01,9.01 02/06/07 FX ENERGY INC NV 8.01,9.01 02/06/07 GABRIEL TECHNOLOGIES CORP DE 1.01,1.02,5.02 12/18/06 GARTNER INC DE 1.01,1.02,2.03,9.01 01/31/07 GARTNER INC DE 2.02,8.01,9.01 02/06/07 GASTAR EXPLORATION LTD 7.01,9.01 02/06/07 GateHouse Media, Inc. DE 1.01,9.01 01/28/07 AMEND GENLYTE GROUP INC DE 8.01,9.01 02/01/07 GENOMIC HEALTH INC 2.02,8.01,9.01 02/06/07 GENTA INC DE/ DE 8.01,9.01 02/06/07 GEO GROUP INC FL 1.01,2.03,9.01 01/31/07 GETTY REALTY CORP /MD/ MD 2.02,9.01 02/06/07 GLADSTONE CAPITAL CORP MD 2.02,9.01 02/06/07 GLADSTONE INVESTMENT CORPORATION\DE DE 2.02,9.01 02/05/07 GLEN BURNIE BANCORP MD 2.02,9.01 02/05/07 Global Developments Inc. DE 8.01 02/06/07 GLOBAL PARTNERS LP 5.02,9.01 02/01/07 GLOBECOMM SYSTEMS INC 2.02,9.01 02/06/07 GOLDRANGE RESOURCES, INC. NV 1.01,2.01,3.02,5.03,5.06,9.01 02/06/07 GRANT PRIDECO INC DE 2.02,9.01 02/05/07 GSI GROUP INC A3 2.02,2.05,9.01 02/01/07 GUESS INC DE 8.01 02/05/07 H&R BLOCK INC MO 1.01,2.03 01/31/07 HAMPSHIRE GROUP LTD DE 5.02 02/06/07 HARSCO CORP DE 2.01 02/06/07 HAWAIIAN ELECTRIC INDUSTRIES INC HI 8.01 02/06/07 HCA INC/TN DE 2.02,7.01,9.01 02/06/07 Healthsport, Inc. DE 1.01,9.01 01/31/07 HENRY JACK & ASSOCIATES INC DE 8.01,9.01 02/05/07 HEWITT ASSOCIATES INC DE 2.02,9.01 02/05/07 HEXION SPECIALTY CHEMICALS, INC. NJ 2.01,9.01 01/31/07 HOLLYWOOD MEDIA CORP FL 1.01,2.01,9.01 02/01/07 HOME DEPOT INC DE 5.02,9.01 02/05/07 HONEYWELL INTERNATIONAL INC DE 5.02 02/01/07 HORACE MANN EDUCATORS CORP /DE/ DE 2.02,9.01 02/06/07 Horizon Lines, Inc. 3.01 02/05/07 HOSPITALITY PROPERTIES TRUST MD 1.01,2.01,2.03,9.01 01/29/07 HOST AMERICA CORP DE 8.01 02/06/07 HOUSTON EXPLORATION CO DE 8.01 01/31/07 HSI Asset Loan Obligation Trust 2007- 8.01,9.01 02/06/07 HUTTIG BUILDING PRODUCTS INC DE 2.02,9.01 02/06/07 HYTHIAM INC DE 2.02,9.01 02/06/07 IAC/INTERACTIVECORP DE 2.02,7.01 02/06/07 IASIS Healthcare LLC DE 2.02,9.01 02/06/07 IBERIABANK CORP LA 2.01,5.02,5.03,9.01 01/31/07 IBT BANCORP INC PA 2.02,9.01 02/06/07 ICAGEN INC DE 8.01,9.01 02/06/07 Icon Development, Inc. NV 5.02,8.01,9.01 08/22/06 IDEXX LABORATORIES INC /DE DE 2.01,9.01 01/31/07 IMCLONE SYSTEMS INC DE 8.01,9.01 02/05/07 IMCLONE SYSTEMS INC DE 1.02,9.01 02/02/07 IMERGENT INC DE 2.02,9.01 02/06/07 IMMUNE RESPONSE CORP DE 3.02 01/31/07 IMPART MEDIA GROUP INC NV 2.02,9.01 02/06/07 INFINITY CAPITAL GROUP, INC. NV 8.01,9.01 02/05/07 INTEGRAL SYSTEMS INC /MD/ MD 1.01,9.01 01/31/07 INTELSAT LTD 1.01,9.01 02/02/07 INTERNAP NETWORK SERVICES CORP DE 5.02 01/31/07 International Coal Group, Inc. DE 1.01 01/31/07 International Securities Exchange Hol 2.02,9.01 02/06/07 INTEVAC INC CA 2.02,9.01 02/06/07 INVACARE CORP OH 8.01,9.01 02/06/07 INVESTORS FINANCIAL SERVICES CORP DE 1.01,9.01 02/06/06 IPASS INC DE 2.02,9.01 02/06/07 IPSCO INC 5.02 02/01/07 Irish Mag, Inc. 1.01,3.02,9.01 02/06/07 ITEC ENVIRONMENTAL GROUP INC DE 3.02 02/01/07 IXYS CORP /DE/ DE 1.01 01/31/07 J P MORGAN CHASE & CO DE 9.01 02/02/07 JACKSON VENTURES, INC. NV 1.01,9.01 02/01/07 James River Coal CO VA 1.01,9.01 01/30/07 AMEND JCM PARTNERS LLC DE 3.02 02/01/07 JOHNSONDIVERSEY HOLDINGS INC DE 5.02 02/06/07 JOURNAL REGISTER CO DE 2.02,7.01,9.01 02/06/07 KAIRE HOLDINGS INC DE 2.01,9.01 02/06/07 KBS Real Estate Investment Trust, Inc MD 1.01,2.01,2.03,9.01 01/31/07 KIMBALL INTERNATIONAL INC IN 2.02,9.01 02/06/07 KINDER MORGAN ENERGY PARTNERS L P DE 7.01 02/05/07 KINDER MORGAN MANAGEMENT LLC DE 7.01 02/05/07 KINDRED HEALTHCARE, INC DE 8.01,9.01 02/05/07 KMA GLOBAL SOULUTIONS INTERNATIONAL I 3.02 01/31/07 KNBT BANCORP INC PA 7.01,9.01 02/06/07 LACROSSE FOOTWEAR INC WI 2.02,9.01 02/06/07 LADISH CO INC WI 8.01,9.01 02/06/07 LAUREATE EDUCATION, INC. MD 1.01,5.02 02/01/07 LECG CORP DE 8.01 01/31/07 LEHMAN ABS CORP BELLSOUTH CAPITAL FUN DE 5.01 02/02/07 LEHMAN ABS CORP BELLSOUTH DEB BCKD SE DE 8.01 02/02/07 LEHMAN ABS CORP BELLSOUTH DEBT- BACKE DE 8.01 02/02/07 LEXINGTON REALTY TRUST MD 9.01 12/31/06 AMEND LIBERTY BANCORP INC 5.02 02/05/07 LIBERTY BANCORP INC 2.02,9.01 02/05/07 LIBERTY PROPERTY TRUST MD 2.02,9.01 02/05/07 LIGAND PHARMACEUTICALS INC DE 2.05,5.02,9.01 01/31/07 LINCOLN BANCORP /IN/ IN 2.02,9.01 01/31/07 LINCOLN NATIONAL CORP IN 2.02,9.01 02/06/07 LIONBRIDGE TECHNOLOGIES INC /DE/ DE 2.02 02/06/07 LITTELFUSE INC /DE DE 2.02,9.01 02/06/07 LOUISIANA-PACIFIC CORP DE 2.02,9.01 02/06/07 LSB BANCSHARES INC /NC/ NC 2.02,9.01 02/02/07 AMEND LTC PROPERTIES INC MD 2.02,9.01 02/06/07 LTC PROPERTIES INC MD 5.02,9.01 02/06/07 M B A HOLDINGS INC NV 4.01,9.01 01/29/07 MACKINAC FINANCIAL CORP /MI/ MI 1.01,5.02,9.01 01/31/07 MAGMA DESIGN AUTOMATION INC DE 1.01 02/01/07 MAGUIRE PROPERTIES INC MD 2.02,7.01,9.01 02/06/07 MAIR HOLDINGS INC MN 2.02,9.01 02/06/07 MAJESCO ENTERTAINMENT CO DE 5.02,9.01 01/31/07 MATERIAL TECHNOLOGIES INC /CA/ DE 1.01,2.01,3.02,3.03,5.03,9.01 02/01/07 MATRITECH INC/DE/ DE 2.02,9.01 02/06/07 MAXYGEN INC DE 2.02,9.01 02/06/07 MBI Financial, Inc. NV 5.02 02/01/07 MCCLATCHY CO DE 9.01 02/06/07 McCormick & Schmicks Seafood Restaura 5.02 02/05/07 MEADE INSTRUMENTS CORP DE 5.03,8.01,9.01 02/05/07 MEDIANET GROUP TECHNOLOGIES INC NV 5.02 01/23/07 MEDIWARE INFORMATION SYSTEMS INC NY 2.02,9.01 02/06/07 MERCANTILE BANKSHARES CORP MD 8.01,9.01 02/06/07 MERCURY COMPUTER SYSTEMS INC MA 7.01,9.01 02/06/07 MERRILL LYNCH DEPOSITOR INC PREFERRED DE 8.01,9.01 02/01/07 METAL MANAGEMENT INC DE 2.02,9.01 02/06/07 MEXORO MINERALS LTD CO 5.02 02/01/07 MFRI INC DE 1.01,7.01,8.01,9.01 02/02/07 MGIC INVESTMENT CORP WI 8.01,9.01 02/06/07 MHI Hospitality CORP MD 2.01,9.01 07/22/05 AMEND MILLS CORP DE 7.01,9.01 02/06/07 MOLDFLOW CORP 1.01,2.02,9.01 02/02/07 MOLECULAR DEVICES CORP DE 5.02 01/31/07 MONARCH COMMUNITY BANCORP INC MD 2.02 02/06/07 Morgans Hotel Group Co. DE 1.01,9.01 02/06/07 MOVENTIS CAPITAL, INC. DE 2.01,9.01 11/22/06 AMEND MOVIE GALLERY INC DE 8.01,9.01 02/06/07 MRS FIELDS FAMOUS BRANDS LLC DE 1.01 01/31/07 MS STRUCTURED SATURNS SERIES 2002-6 DE 8.01,9.01 02/01/07 MS STRUCTURED TILES SERIES 2005-1 DE 8.01,9.01 02/01/07 MTS MEDICATION TECHNOLOGIES, INC /DE/ DE 2.02,7.01,9.01 02/06/07 MUELLER INDUSTRIES INC DE 2.02,9.01 02/06/07 MULTI FINELINE ELECTRONIX INC 2.02,9.01 02/06/07 MYERS INDUSTRIES INC OH 2.01,9.01 01/31/07 MYRIAD GENETICS INC DE 2.02,9.01 02/06/07 MYRIAD GENETICS INC DE 2.02,8.01,9.01 02/06/07 AMEND NAPCO SECURITY SYSTEMS INC DE 2.02,9.01 02/06/07 NATIONAL CITY CORP DE 8.01 01/31/07 NATIONAL FUEL GAS CO NJ 2.02,9.01 02/05/07 NATIONAL OILWELL VARCO INC DE 2.02,9.01 02/06/07 NATIONWIDE FINANCIAL SERVICES INC/ DE 1.01,9.01 01/02/07 NAUTILUS, INC. WA 1.01 02/06/07 Nayna Networks, Inc. WY 1.01,5.02,9.01 01/31/07 Neenah Paper Inc DE 1.01,9.01 02/05/07 NEOMEDIA TECHNOLOGIES INC DE 5.02,8.01,9.01 02/01/07 NEPTUNE INDUSTRIES, INC. FL 4.01 02/01/07 NETBANK INC GA 2.06,7.01,9.01 01/31/07 NETRATINGS INC DE 1.01,7.01,9.01 02/05/07 Neuralstem, Inc. DE 4.01,9.01 01/29/07 AMEND NEW CENTURY FINANCIAL CORP MD 1.01,9.01 01/31/07 NEW FRONTIER MEDIA INC CO 2.02,9.01 02/06/07 NEW RIVER PHARMACEUTICALS INC VA 8.01,9.01 02/06/07 NEW WORLD BRANDS INC DE 5.02 02/01/07 NEW WORLD BRANDS INC DE 5.02 02/01/07 AMEND NEWALLIANCE BANCSHARES INC 8.01,9.01 02/05/07 NightHawk Radiology Holdings Inc 3.01,9.01 02/01/07 NORTEL NETWORKS CORP 5.02,9.01 02/06/07 NORTEL NETWORKS LTD 5.02,9.01 02/06/07 NORTHWEST AIRLINES CORP DE 2.02,9.01 02/06/07 NOVASTAR FINANCIAL INC MD 7.01,9.01 02/06/07 NTR Acquisition Co. DE 5.03,8.01,9.01 02/01/07 OCCAM NETWORKS INC/DE DE 2.02,9.01 02/05/07 OccuLogix, Inc. DE 1.01,3.02,9.01 02/06/07 OLD LINE BANCSHARES INC 1.01,9.01 01/31/07 OM GROUP INC DE 1.01,2.03,8.01 01/31/07 OMEGA HEALTHCARE INVESTORS INC MD 2.02,9.01 02/06/07 Omni Financial Services, Inc. GA 8.01,9.01 01/31/07 ON ASSIGNMENT INC DE 2.01,9.01 01/31/07 ON SEMICONDUCTOR CORP DE 8.01,9.01 02/05/07 OPTICAL COMMUNICATION PRODUCTS INC DE 2.02,9.01 02/05/07 Optionable Inc 2.02,9.01 02/06/07 Orchids Paper Products CO /DE DE 5.02,9.01 02/02/07 PACIFIC SUNWEAR OF CALIFORNIA INC CA 1.01,2.05,2.06,7.01,9.01 02/02/07 PALMETTO BANCSHARES INC SC 2.02,9.01 01/19/07 Panglobal Brands Inc. DE 5.03,7.01,9.01 02/02/07 PANTRY INC DE 5.02 01/31/07 PARKWAY PROPERTIES INC MD 2.02,9.01 02/05/07 PARTNERRE LTD 2.02 02/05/07 PATCH INTERNATIONAL INC/CN NV 1.01,2.01,3.02,5.02,5.03,8.01, 01/16/07 9.01 PATCH INTERNATIONAL INC/CN NV 7.01,9.01 01/22/07 PC MALL INC DE 1.01 01/31/07 PDF SOLUTIONS INC DE 2.02,7.01,9.01 02/06/07 PEABODY ENERGY CORP DE 7.01,9.01 02/06/07 PEAPACK GLADSTONE FINANCIAL CORP NJ 2.02,9.01 02/01/07 PENTAIR INC MN 2.02,9.01 02/06/07 PERCEPTRON INC/MI MI 2.02,9.01 02/06/07 PERICOM SEMICONDUCTOR CORP CA 2.02,9.01 01/31/07 PEROT SYSTEMS CORP DE 2.02,9.01 02/06/07 PETROQUEST ENERGY INC DE 7.01,9.01 02/06/07 PHARMACEUTICAL PRODUCT DEVELOPMENT IN NC 2.02,9.01 02/05/07 PHARMACEUTICAL PRODUCT DEVELOPMENT IN NC 7.01 02/06/07 Pike Electric CORP 2.02,9.01 02/06/07 PIZZA INN INC /MO/ MO 5.02,9.01 01/31/07 PLANAR SYSTEMS INC OR 2.02,9.01 02/06/07 PLATO LEARNING INC DE 4.01 02/05/07 POLYMEDICA CORP MA 2.02,9.01 02/05/07 Polypore International, Inc. 5.02 01/31/07 Polypore, Inc. DE 5.02 01/31/07 POST PROPERTIES INC GA 2.02,9.01 02/05/07 POWER TECHNOLOGY INC/CN NV 2.03,9.01 01/31/07 PPLUS Trust Series LMG-3 8.01,9.01 02/01/07 PPlus Trust Series LMG-4 DE 8.01,9.01 02/01/07 PRIMEDIA INC DE 2.01,9.01 02/06/07 PRIMEENERGY CORP DE 5.02,8.01 01/31/07 PRINCIPAL FINANCIAL GROUP INC DE 2.02 02/05/07 PROLOGIS MD 2.02,9.01 02/06/07 ProUroCare Medical Inc. NV 1.01,5.02 02/01/07 ProUroCare Medical Inc. NV 3.02,9.01 01/18/07 AMEND PROVIDENCE SERVICE CORP DE 2.02,7.01,8.01,9.01 02/01/07 PSB GROUP INC MI 5.02 01/25/07 PUGET ENERGY INC /WA WA 2.02 02/06/07 QUALITY SYSTEMS INC CA 2.02,9.01 02/05/07 QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 1.01,2.03 01/31/07 QUEST RESOURCE CORP NV 1.01,2.03 01/31/07 RADIAL ENERGY, INC. 1.01,9.01 01/31/07 RADIAN GROUP INC DE 8.01,9.01 02/06/07 RAINING DATA CORP DE 8.01 02/05/07 RAMBUS INC DE 8.01,9.01 02/05/07 Red Mile Entertainment Inc 8.01,9.01 01/30/07 REFAC OPTICAL GROUP DE 8.01,9.01 02/05/07 REGENERON PHARMACEUTICALS INC NY 1.01,9.01 02/06/07 RELIANCE STEEL & ALUMINUM CO CA 8.01,9.01 02/01/07 REMY INTERNATIONAL, INC. DE 1.01,8.01,9.01 02/06/07 Renaissance Acquisition Corp. DE 8.01,9.01 02/01/07 RENHUANG PHARMACEUTICALS INC NV 7.01,9.01 01/29/07 RENHUANG PHARMACEUTICALS INC NV 7.01,9.01 02/05/07 RENT A CENTER INC DE DE 2.02,9.01 02/05/07 REPROS THERAPEUTICS INC. DE 8.01,9.01 02/05/07 REPTRON ELECTRONICS INC FL 1.01,8.01,9.01 02/05/07 RESMED INC DE 2.02,9.01 02/06/07 RICKS CABARET INTERNATIONAL INC TX 5.02,9.01 02/01/07 SABINE ROYALTY TRUST TX 2.02,9.01 02/05/07 SAKS INC TN 5.02,9.01 01/31/07 SANFILIPPO JOHN B & SON INC DE 2.02,9.01 02/02/07 SEATTLE GENETICS INC /WA DE 2.02,9.01 02/06/07 SECURE COMPUTING CORP DE 2.02,9.01 02/01/07 SECURITY BANK CORP GA 5.02 01/30/07 SHILOH INDUSTRIES INC DE 4.01,5.02,9.01 01/31/07 SILICON GRAPHICS INC DE 5.02 01/31/07 SILICON GRAPHICS INC DE 2.02,9.01 02/06/07 SIMPSON MANUFACTURING CO INC /CA/ DE 8.01,9.01 02/02/07 SIRVA INC DE 2.02,7.01,9.01 02/06/06 Skinny Nutritional Corp. 3.02 01/31/07 SMITH MICRO SOFTWARE INC DE 1.01,9.01 01/31/07 SOLUTIA INC DE 5.02 01/31/07 SONA DEVELOPMENT CORP NV 3.02 02/02/07 SOURCE INTERLINK COMPANIES INC DE 3.01,9.01 02/01/07 SOUTHERN NATURAL GAS CO DE 8.01,9.01 02/05/07 SOUTHWEST BANCORP INC OK 1.01,8.01,9.01 02/02/07 SOUTHWEST CASINO CORP 1.01,9.01 01/31/07 SPHERION CORP DE 5.02,9.01 01/31/07 ST JOE CO FL 2.02,9.01 02/06/07 STAKTEK HOLDINGS INC DE 5.02 02/01/07 Stanley, Inc. DE 2.02,9.01 02/05/07 STATE STREET CORP MA 7.01,9.01 02/06/07 STATE STREET CORP MA 1.01,9.01 02/04/07 STOCKGROUP INFORMATION SYSTEMS INC CO 2.01,3.02,9.01 01/31/07 STRATAGENE CORP DE 7.01,9.01 02/05/07 STRUCTURED PRODUCTS CORP CORTS TR FOR DE 8.01,9.01 01/31/07 STRUCTURED PRODUCTS CORP TRUST SERIES DE 8.01,9.01 01/30/07 SUMTOTAL SYSTEMS INC DE 5.02,9.01 02/01/07 SUMTOTAL SYSTEMS INC DE 2.02,9.01 02/06/07 SUN NEW MEDIA INC. MN 1.01,9.01 02/06/07 SUPERCONDUCTOR TECHNOLOGIES INC DE 1.01 02/05/07 Sweet Success Enterprises, Inc NV 5.02 02/05/07 SWS GROUP INC DE 2.02,9.01 02/06/07 Synovics Pharmaceuticals NV 1.01,3.02,9.01 02/01/07 SYNTAX-BRILLIAN CORP DE 9.01 11/21/06 AMEND TAYLOR DEVICES INC NY 5.02 01/31/07 TECHNICAL COMMUNICATIONS CORP MA 2.02,9.01 02/06/07 TECO ENERGY INC FL 2.02,5.02,9.01 01/31/07 TERRA INDUSTRIES INC MD 1.01,2.03,9.01 02/05/07 TETON ENERGY CORP DE 5.02,9.01 02/01/07 THINKPATH INC A6 5.02,9.01 02/01/07 THOMAS & BETTS CORP TN 1.01,2.02,9.01 01/31/07 Thomas Weisel Partners Group, Inc. DE 5.02,9.01 02/05/07 THOR INDUSTRIES INC DE 2.02,9.01 02/05/07 TIERONE CORP 7.01,9.01 02/05/07 Tix CORP DE 1.01,3.02,9.01 02/06/07 AMEND TransDigm Group INC DE 1.01,8.01,9.01 01/31/07 TRC COMPANIES INC /DE/ DE 1.01,9.01 01/31/07 Trilliant, Inc. NV 1.01,9.01 02/06/07 TYCO INTERNATIONAL LTD /BER/ D0 2.02,9.01 02/06/07 U S CANADIAN MINERALS INC CA 8.01 02/05/07 U.S. Shipping Partners L.P. DE 8.01,9.01 02/06/07 ULTRALIFE BATTERIES INC DE 7.01,9.01 02/06/07 Uni-Pixel DE 5.03,9.01 02/01/07 UNION BANKSHARES CORP VA 7.01,9.01 01/31/07 UNITED BANCORP INC /OH/ OH 2.02,9.01 02/02/07 UNITED COMMUNITY BANKS INC GA 1.01,8.01,9.01 02/05/07 United EcoEnergy Corp. 8.01 02/01/07 UNIVERSAL FOREST PRODUCTS INC MI 2.02,9.01 02/06/07 US AIRWAYS GROUP INC DE 2.02,9.01 02/06/07 US BANCORP \DE\ DE 3.02,9.01 01/31/07 US LEC CORP DE 1.01,9.01 02/06/07 VALENCE TECHNOLOGY INC DE 2.02,4.01,9.01 02/06/07 Valera Pharmaceuticals Inc 7.01,9.01 02/06/07 VERIZON COMMUNICATIONS INC DE 5.02 02/01/07 VERSO TECHNOLOGIES INC MN 1.01,3.02,9.01 02/02/07 VioQuest Pharmaceuticals, Inc. DE 5.02,9.01 01/31/07 VISHAY INTERTECHNOLOGY INC DE 2.02,7.01,9.01 02/06/07 Visiphor CORP A1 1.02,5.02,9.01 01/31/07 VITRIA TECHNOLOGY INC DE 2.02,9.01 02/06/07 VIVUS INC CA 8.01,9.01 02/05/07 Vocus, Inc. DE 5.02 01/31/07 VOICE DIARY INC DE 4.01,9.01 02/02/07 Vsurance NV 8.01 02/05/07 WALTER INDUSTRIES INC /NEW/ DE 5.02 01/31/07 Wauwatosa Holdings, Inc. WI 2.02,9.01 02/05/07 WCI COMMUNITIES INC 5.02 01/30/07 WELLS REAL ESTATE INVESTMENT TRUST II MD 5.02 02/02/07 WHITE ELECTRONIC DESIGNS CORP ID 2.02,9.01 02/06/07 WILLIAMS COAL SEAM GAS ROYALTY TRUST DE 2.02,9.01 02/05/07 WINTHROP PARTNERS 80 LTD PARTNERSHIP MA 2.01 02/01/07 WIRELESS RONIN TECHNOLOGIES INC MN 5.02,9.01 02/02/07 WORLDBID CORP NV 3.02 01/31/07 WORTHINGTON INDUSTRIES INC OH 8.01,9.01 02/06/07 XECHEM INTERNATIONAL INC DE 8.01 01/31/07