SEC NEWS DIGEST Issue 2007-26 February 8, 2007 COMMISSION ANNOUNCEMENTS COMMISSION MEETINGS CLOSED MEETING - THURSDAY, FEBRUARY 15, 2007 - 10:00 A.M. The subject matter of the closed meeting scheduled for Thursday, February 15, will be: formal orders of investigation; institution and settlement of injunctive actions; institution and settlement of administrative proceedings of an enforcement nature; resolution of a litigation claim; adjudicatory matters; amicus consideration; and other matters relating to enforcement proceedings. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551-5400. ENFORCEMENT PROCEEDINGS IN THE MATTER OF ROBERT MONTANI, JR. On February 7, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing (Order) against Robert Montani, Jr. (Montani). In the Order, the Division of Enforcement alleges that Montani has pled guilty to one count of conspiracy to commit securities fraud and wire fraud before the United States District Court for the District of New Jersey, U.S. v. Robert Montani, 05 Cr. 87 (D.N.J.). The Order further alleges that the count of the criminal indictment to which Montani pled guilty alleged, among other things, that Montani used various instrumentalities of interstate commerce, while employed at Valley Forge, a registered broker-dealer, to defraud investors as he conspired to manipulate the stocks of two companies, Eagletech Communications, Inc. and Select Media & Communications, Inc. A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Montani an opportunity to dispute these allegations, and to determine what, if any, remedial sanctions against Montani are appropriate and in the public interest pursuant to the Exchange Act. The Commission directed that an administrative law judge issue an initial decision in this matter within 210 days from the date of service of the Order Instituting Proceedings. (Rel. 34-55252; File No. 3-12562) IN THE MATTER OF JAMES CAVALIERE On February 8, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing (Order) against James Cavaliere. In the Order, the Division of Enforcement alleges that Cavaliere has pled guilty to one count of conspiracy to commit securities fraud and wire fraud before the U.S. District Court for the District of New Jersey, U.S. v. James Cavaliere, 05 Cr. 49 (D.N.J.). The Order further alleges that the sole count of the criminal information to which Cavaliere pled guilty alleged, among other things, that Cavaliere, using various instrumentalities of interstate commerce, while employed at Bryn Mawr Investment Group, Inc., a broker-dealer registered with the Commission, which later was known as Valley Forge Securities, Inc. (Valley Forge), defrauded investors by receiving undisclosed excessive cash commissions, which were not disclosed to customers. Cavaliere also paid excessive and undisclosed commissions to licensed and unlicensed brokers employed at Valley Forge's Staten Island Office. Cavaliere also employed deceptive sales practices to mislead customers into buying certain stocks. A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Cavaliere an opportunity to dispute these allegations, and to determine what, if any, remedial sanctions against Cavaliere are appropriate and in the public interest pursuant to the Exchange Act. The Commission directed that an administrative law judge issue an initial decision in this matter within 210 days from the date of service of the Order Instituting Proceedings. (Rel. 34-55253; File No. 3-12563) SEC ORDERS HEARING ON REGISTRATION REVOCATION AGAINST SIX COMPANIES FOR FAILURE TO MAKE REQUIRED PERIODIC FILINGS Today the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of six companies for failure to make required periodic filings with the Commission: * Airstar Technologies, Inc. * Amdiv.com, Inc. * ATM Holdings, Inc. * Antares Capital Corp. * Bre Consulting Group, Inc. * Cerplex Group, Inc. In this Order, the Division of Enforcement (Division) alleges that the six 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. 34-55257; File No. 3-12565) SEC CHARGES FORMER CO-CHAIRMAN OF SINA CORP. AND HIS WIFE, CEO OF TREND MICRO INCORPORATED, WITH INSIDER TRADING The Commission announced today that it has filed a complaint in the U.S. District Court for the District of Columbia against Daniel Fongnien Chiang, the former Co-Chairman of SINA Corp., and his wife, Eva Yi-Fen Chen, the CEO of Trend Micro Incorporated, charging that Chiang, aided and abetted by Chen, engaged in illegal insider trading by selling SINA stock short while in possession of material, non- public information about internal SINA projections that SINA's first quarter 2005 mobile value-added revenues could be off my as much as twenty to thirty percent from the previous quarter, resulting in a twelve to eighteen percent decline in total revenues for the previous quarter. The Commission's complaint alleges that on Feb. 4, 2005, Chiang participated in a SINA Board of Director's meeting where he learned confidential information that SINA was going to disclose lower than expected revenue projections. On the morning of Feb. 7, 2005, in breach of his duty of trust and confidence owed to SINA, Chiang, with the assistance of Chen, positioned himself to profit from a drop in SINA's stock price by placing eight separate orders to sell short 200,000 shares of SINA securities in Chen's mother's account. Due to the limited buying power in the account, ultimately, four orders totaling 70,000 shares of SINA were sold short in the account. After the close of the market on Feb. 7, 2005, SINA announced that it was expecting a revenue shortfall, and its stock price dropped approximately 26%. As a result of his unlawful insider trading, Chiang realized $257,833 in ill-gotten gains. Simultaneously with the filing of the complaint, Chiang has consented, without admitting or denying the allegations in the Commission's complaint, to the entry of an order that permanently enjoins him from violating, directly or indirectly, Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder. In addition, the order bars Chiang from serving as an officer or director of a public company for a period of five years, requires him to pay disgorgement of $257,833 plus prejudgment interest thereon, and requires him to pay a civil penalty of $257,833. Also simultaneously with the filing of the complaint, Chen has consented, without admitting or denying the allegations in the Commission's complaint, to the entry of an order that permanently enjoins her from violating, directly or indirectly, Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder, and requires her to pay a civil penalty of $128,916. [SEC v. Daniel Fongnien Chiang and Eva Yi-Fen Chen, Civil Action No. 1:07CV00285 (D.D.C.)] (LR-19994) SEC CHARGES FAMILY-RUN HEDGE FUND WITH $3.7 MILLION INSIDER TRADING SCHEME The Commission today announced the filing of a civil action in federal district court in New York, New York involving a rampant insider trading scheme which generated more than $3.7 million in profits and losses avoided for a family and certain friends over a five year period. From at least 2001 through 2005, seven individuals, including lawyers and accountants, participated in a scheme to trade in the stock and option contracts of Taro Pharmaceuticals Industries, Ltd. (Taro), an Israeli-based publicly traded pharmaceutical company, ahead of eight earnings announcements and five FDA approval announcements. In the later stages of the scheme, certain of the defendants broadened the scheme by trading on information stolen from Pricewaterhouse Coopers LLP (PwC) and Ernst & Young, LLP (E&Y) concerning two possible mergers. In its complaint, the Commission alleged that Zvi Rosenthal (Zvi), a Vice President at Taro, abused his position at Taro by systematically stealing material, nonpublic information concerning 13 separate company announcements, including earnings results and pending generic drug approvals by the Food and Drug Administration. Zvi then traded on the information and passed it on to his family members who then traded in Taro stock and options. Typically, Zvi provided information to his son, Amir Rosenthal (Amir), who traded in personal accounts he controlled, and in the account of the family- owned and controlled hedge fund, Aragon Partners, LP. Amir also tipped his brothers, Oren Rosenthal (Oren) and Ayal Rosenthal (Ayal); his father-in-law, Bahram Delshad (Delshad); his best friend, David Heyman (Heyman); and his work supervisor, Young Kim (Kim), with information he received from Zvi, and each of them traded. The complaint further alleges that in its later stages, certain of the defendants broadened the scheme to include trading on nonpublic information stolen from entities other than Taro. On at least two occasions, Ayal and Heyman misappropriated material, nonpublic information concerning impending mergers from their respective employers, PwC and E&Y, and tipped Amir with the information. Amir then traded on it. Amir also tipped Kim with the information from Ayal and Heyman, and Kim traded on the information. The Commission's complaint, filed in the U.S. District Court for the Southern District of New York, charges Zvi, Amir, Oren, Ayal, Aragon Partners, LP, Aragon Capital Advisors, LLC, Heyman, Heyman & Son Investment Partnership LP, Delshad, and Kim with violations of the antifraud provisions of the federal securities laws. The Commission is seeking permanent injunctive relief, disgorgement of all illegal profits and losses avoided plus prejudgment interest and the imposition of civil monetary penalties against the defendants. The complaint also seeks an officer and director bar against Zvi. The Commission has reached an agreement with Kim to settle the insider trading charges against him. Kim has consented to a final judgment permanently enjoining him from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and ordering him to pay $4,287.71 in disgorgement of his ill-gotten gains plus prejudgment interest, and $41,702.29 in civil penalties. Kim consented to the final judgment without admitting or denying the allegations in the complaint. [SEC v. Aragon Capital Management, L.L.C., et al., Civil Action No. 07 CV 00919 (KMK) SDNY] (LR-19995; Press Rel. 2007-17) SELF-REGULATORY ORGANIZATIONS APPROVAL OF PROPOSED RULE CHANGES The Commission granted approval to a proposed rule change (SR-DTC- 2006-15) filed by The Depository Trust Company under Section 19(b)(1) of the Securities Exchange Act of 1934. The order amends DTC's Rule 30, Canadian-Link Service, to allow Canadian-Link transactions to settle in U.S. dollars. Publication is expected in the Federal Register during the week of February 12. (Rel. 34-55239) The Commission granted approval to a proposed rule change (SR-CBOE- 2006-62), as modified by Amendment No. 1 thereto, submitted by the Chicago Board Options Exchange related to its index obvious error rule. Publication is expected in the Federal Register during the week of February 12. (Rel. 34-55246) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change filed by the New York Stock Exchange relating to Rule 122 (Orders with More than One Broker) until the availability of full d-Quote functions in a particular security or March 5, 2007, whichever comes first (SR-NYSE-2007-11), has become effective under Section 19(b)(3)(A)(ii) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 12. (Rel. 34-55244) PROPOSED RULE CHANGE American Stock Exchange filed a proposed rule change (SR-Amex-2006- 90), as revised by Amendment Nos. 1 and 2 thereto, to list and trade notes linked to the performance of the Hang Seng China Enterprises Index. Publication is expected in the Federal Register during the week of February 12. (Rel. 34-55248) 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-1 RESOLVE STAFFING INC, 105 N FALKENBURG ROAD, SUITE B, TAMPA, FL, 33619, 813-662-0074 - 6,000,000 ($15,500,000.00) Equity, (File 333-140487 - Feb. 7) (BR. 11C) N-2 Kayne Anderson MLP Investment CO, 1800 AVENUE OF THE STARS, SECOND FLOOR, LOS ANGELES, CA, 90067, 877-657-3863 - 0 ($500,000,000.00) Equity, (File 333-140488 - Feb. 7) (BR. 17) S-8 AMERICHIP INTERNATIONAL INC, PLYMOUTH TRADE CENTER, 9282 GENERAL DRIVE, SUITE 100, PLYMOUTH, MI, 48170-4607, 734-207-0334 - 60,000,000 ($1,560,000.00) Equity, (File 333-140489 - Feb. 7) (BR. 10A) S-3ASR WACHOVIA CORP NEW, ONE WACHOVIA CTR, CHARLOTTE, NC, 28288-0013, 7043746565 - 0 ($0.00) Non-Convertible Debt, (File 333-140491 - Feb. 7) (BR. 07A) S-8 EZCORP INC, 1901 CAPITAL PKWY, AUSTIN, TX, 78746, 5123143400 - 0 ($36,967,500.00) Equity, (File 333-140492 - Feb. 7) (BR. 02C) S-1 CAI International, Inc., 415-788-0100 - 0 ($100,000,000.00) Equity, (File 333-140496 - Feb. 7) (BR. ) S-3ASR Google Inc., 1600 AMPHITHEATRE PARKWAY, MOUNTAIN VIEW, CA, 94043, 650 623 4000 - 3,233,464 ($1,526,518,354.40) Equity, (File 333-140498 - Feb. 7) (BR. 03A) S-8 ITRONICS INC, 6490 SO. MCCARRAN BLVD., BLDG C STE 23, RENO, NV, 89509, 7756897696 - 30,000,000 ($390,000.00) Equity, (File 333-140499 - Feb. 7) (BR. 05B) S-1 IRVINE SENSORS CORP/DE/, 3001 REDHILL AVE, COSTA MESA, CA, 92626, 7145498211 - 17,663,298 ($27,908,010.84) Equity, (File 333-140500 - Feb. 7) (BR. 10B) S-1 NeurogesX Inc, 981 INDUSTRIAL ROAD SUITE F, SAN CARLOS, CA, 94070, 650-508-2116 - 0 ($69,000,000.00) Equity, (File 333-140501 - Feb. 7) (BR. ) S-8 SINOFRESH HEALTHCARE INC, 516 PAUL MORRIS DR, ENGLEWOOD, FL, 34223, 941-681-3100 - 500,000 ($55,000.00) Equity, (File 333-140502 - Feb. 7) (BR. 01C) S-1 TechTarget Inc, 117 KENDRICK ST, SUITE 800, NEEDHAM, MA, 02492, 781-657-1000 - 0 ($75,000,000.00) Equity, (File 333-140503 - Feb. 7) (BR. ) S-1 Biodel Inc, 6 CHRISTOPHER COLUMBUS AVE, DANBURY, CT, 06810, 203-798-3603 - 0 ($86,250,000.00) Equity, (File 333-140504 - Feb. 7) (BR. ) S-8 INFE HUMAN RESOURCES INC, 67 WALL STREET, NEW YORK, NY, 10005, 2,750,000 ($1,237,500.00) Equity, (File 333-140505 - Feb. 7) (BR. 08B) S-3 SANDERS MORRIS HARRIS GROUP INC, 600 TRAVIS, SUITE 2900, HOUSTON, TX, 77002, 7139934610 - 0 ($1.00) Other, (File 333-140506 - Feb. 7) (BR. 11B) S-8 NOBEL LEARNING COMMUNITIES INC, 1615 WEST CHESTER PIKE, SUITE 200, WEST CHESTER, PA, 19382-6223, 484-947-2000 - 0 ($10,000,000.00) Non-Convertible Debt, (File 333-140507 - Feb. 7) (BR. 11A) S-3 MEDIS TECHNOLOGIES LTD, 805 THIRD AVENUE, NEW YORK, NY, 10022, 2129358484 - 5,750 ($57,500,000.00) Equity, (File 333-140508 - Feb. 7) (BR. 10B) 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 AASTROM BIOSCIENCES INC MI 2.02,9.01 02/07/07 ACACIA RESEARCH CORP DE 1.01 02/01/07 ACCO BRANDS CORP DE 2.02,2.05,2.06,9.01 02/07/07 ACME PACKET INC DE 2.02,9.01 02/07/07 ACORDA THERAPEUTICS INC 8.01,9.01 02/05/07 ACTIVISION INC /NY DE 2.02,9.01 02/07/07 Adams Respiratory Therapeutics, Inc. DE 2.02,5.02,8.01,9.01 02/07/07 ADVANCED ENERGY INDUSTRIES INC DE 2.02,7.01,9.01 02/07/07 AFFYMETRIX INC DE 2.02,9.01 02/07/07 Aftersoft Group DE 1.01,2.01,3.02,8.01,9.01 02/07/07 Aftersoft Group DE 1.01,2.01,3.02,9.01 08/04/06 AMEND AKAMAI TECHNOLOGIES INC DE 2.02,8.01,9.01 02/05/07 Akeena Solar, Inc. DE 1.01,1.02,2.03,8.01,9.01 01/29/07 AMEND ALKERMES INC PA 2.02,9.01 02/07/07 Alliance Holdings GP, L.P. DE 5.02,9.01 02/02/07 ALLIANCE RESOURCE PARTNERS LP DE 5.02,9.01 02/02/07 ALLIED CAPITAL CORP MD 2.02,8.01,9.01 02/02/07 ALLIED CAPITAL CORP MD 5.02,9.01 02/01/07 ALLIED HOLDINGS INC GA 7.01,9.01 02/07/07 ALNYLAM PHARMACEUTICALS, INC. 2.02,9.01 02/07/07 AMERIANA BANCORP IN 5.02 02/05/07 AMERICAN AIRLINES INC DE 8.01 02/02/07 American Basketball Association, Inc. UT 1.01,9.01 12/05/06 American Basketball Association, Inc. UT 5.02,9.01 01/31/07 AMERICAN COMMERCIAL LINES INC. DE 2.02,7.01,9.01 02/06/07 AMERICAN COMMERCIAL LINES INC. DE 8.01,9.01 02/07/07 AMERICAN ENTERPRISE DEVELOPMENT CORP TX 5.03 12/31/06 AMERICAN EXPRESS CO NY 7.01 02/07/07 AMICAS, Inc. DE 5.02 02/05/07 AMKOR TECHNOLOGY INC DE 2.02,9.01 02/07/07 AMR CORP DE 8.01 02/02/07 AMSURG CORP TN 7.01,9.01 02/06/07 ANALYSTS INTERNATIONAL CORP 1.01,9.01 02/01/07 ANAVEX LIFE SCIENCES CORP. NV 2.01,3.02,5.01,5.06,9.01 01/31/07 ANDREW CORP DE 2.02,9.01 02/01/07 ANNAPOLIS BANCORP INC MD 2.02,9.01 02/07/07 APOLLO GROUP INC AZ 2.02,5.02,9.01 02/06/07 AQUILA INC DE 1.01,8.01,9.01 02/06/07 ARENA PHARMACEUTICALS INC DE 8.01 02/05/07 ARENA RESOURCES INC NV 5.02 02/01/07 ARKANSAS BEST CORP /DE/ DE 5.02,9.01 02/07/07 ARVINMERITOR INC IN 8.01,9.01 02/07/07 ASPECT MEDICAL SYSTEMS INC DE 1.01,2.02,9.01 02/07/07 Aspreva Pharmaceuticals CORP A1 2.02,9.01 02/07/07 ASSOCIATED BANC-CORP WI 8.01 02/07/07 ASSURANT INC 2.02 02/07/07 ASTORIA FINANCIAL CORP DE 2.02,9.01 02/01/07 AT&T INC. DE 8.01,9.01 02/06/07 ATHEROS COMMUNICATIONS INC DE 5.02 02/02/07 ATMI INC DE 2.02,9.01 02/07/07 ATS CORP DE 7.01,9.01 02/07/07 ATSI COMMUNICATIONS INC/DE NV 2.02,9.01 02/07/07 AURELIO RESOURCE CORP NV 3.02 02/05/07 AUTO DATA NETWORK DE 8.01,9.01 01/30/07 AUTONATION INC /FL DE 2.02,9.01 02/07/07 AVEROX INC. NV 4.01 11/13/06 AMEND AVIGEN INC \DE DE 5.02 02/05/07 AVIGEN INC \DE DE 2.02,9.01 02/07/07 BALDWIN & LYONS INC IN 2.02,7.01,9.01 02/05/07 BALDWIN & LYONS INC IN 5.02,9.01 02/06/07 BANKATLANTIC BANCORP INC FL 7.01,9.01 02/06/07 BANKRATE INC FL 2.02,9.01 02/06/07 BAUSCH & LOMB INC NY 7.01,9.01 02/06/07 Bear Stearns Asset Backed Securities DE 9.01 02/01/07 BEASLEY BROADCAST GROUP INC DE 2.01,2.03,7.01 02/01/07 Behringer Harvard Opportunity REIT I, MD 1.01,9.01 02/01/07 BELDEN & BLAKE CORP /OH/ OH 5.02 02/02/07 BENCHMARK ELECTRONICS INC TX 2.02,9.01 02/06/07 BIG CAT ENERGY CORP 1.01,7.01,9.01 02/07/07 BIOANALYTICAL SYSTEMS INC IN 2.02,9.01 02/07/07 BIOCRYST PHARMACEUTICALS INC DE 2.02,9.01 02/07/07 BIOSPECIFICS TECHNOLOGIES CORP DE 4.02 01/21/07 AMEND BIOSPECIFICS TECHNOLOGIES CORP DE 4.02 01/21/07 AMEND BLACKBOARD INC DE 7.01 02/06/07 BOOTS & COOTS INTERNATIONAL WELL CONT DE 5.02 02/07/07 BOSTON LIFE SCIENCES INC /DE DE 1.01,5.02,9.01 02/05/07 BROADCASTER INC CA 3.02,8.01 02/01/07 C-BASS 2007-CB1 Trust DE 8.01,9.01 02/07/07 CAM COMMERCE SOLUTIONS INC DE 2.02,9.01 02/07/07 CANADIAN DERIVATIVES CLEARING CORP A6 9.01 01/31/07 CANYON RESOURCES CORP DE 8.01 02/06/07 CAPITOL BANCORP LTD MI 5.02,5.03,8.01 02/06/07 CARSUNLIMITED COM INC NV 1.01,2.03,3.02,5.02,9.01 02/01/07 CARVER BANCORP INC DE 8.01,9.01 02/06/07 CASCADE BANCORP OR 5.02,9.01 02/01/07 CASCADE NATURAL GAS CORP WA 2.02,9.01 02/06/07 CATCHER HOLDINGS, INC 1.01,5.02,9.01 02/01/07 CB RICHARD ELLIS GROUP INC DE 2.02,9.01 02/06/07 CELGENE CORP /DE/ DE 5.02 02/02/07 CENTERPOINT ENERGY INC 3.02 02/01/07 CENTILLIUM COMMUNICATIONS INC DE 2.02,9.01 02/07/07 CENTRAL GARDEN & PET CO DE 2.02,9.01 02/07/07 CepTor CORP DE 4.01,9.01 02/01/07 CHAMPPS ENTERTAINMENT INC DE 2.02,9.01 02/06/07 CHARTERMAC DE 5.02,9.01 02/01/07 Chelsea Therapeutics International, L DE 8.01,9.01 02/07/07 CHINA MULTIMEDIA, INC. NV 4.02 02/01/07 China VoIP & Digital Telecom Inc. NV 8.01,9.01 02/07/07 CIGNA CORP DE 2.02 02/07/07 CIMNET INC/PA DE 1.01,9.01 01/26/07 CINCINNATI FINANCIAL CORP OH 2.02,7.01,9.01 02/05/07 CITIGROUP INC DE 8.01,9.01 02/07/07 CLARUS CORP DE 5.02 02/01/07 CLAYTON HOLDINGS INC 2.02,9.01 02/07/07 CLIFTON SAVINGS BANCORP INC 5.02 02/06/07 CLX INVESTMENT COMPANY, INC. CO 5.02 02/01/07 COCA COLA BOTTLING CO CONSOLIDATED /D DE 2.05 02/02/07 Columbia Equity Trust, Inc. MD 8.01,9.01 02/01/07 COMPETITIVE TECHNOLOGIES INC DE 5.02 02/06/07 CONSOLIDATED GRAPHICS INC /TX/ TX 2.02,9.01 02/07/07 CONSOLIDATED GRAPHICS INC /TX/ TX 2.02,9.01 02/07/07 CONVERSION SERVICES INTERNATIONAL INC DE 2.03 02/01/07 CORONADO INDUSTRIES INC NY 1.01,2.01,3.02,5.01,5.02,9.01 01/26/07 CORPORATE EXECUTIVE BOARD CO DE 1.01,2.02,5.02,9.01 02/06/07 CRAFTMADE INTERNATIONAL INC DE 2.02,7.01,9.01 02/07/07 CULP INC NC 3.02,5.02,9.01 02/01/07 CWHEQ Revolving Home Equity Loan Trus 8.01,9.01 01/31/07 DANKA BUSINESS SYSTEMS PLC 2.02,4.02,8.01,9.01 02/06/07 DANKA BUSINESS SYSTEMS PLC 7.01,9.01 02/06/07 DATALINK CORP MN 2.02,9.01 02/07/07 DATAMETRICS CORP DE 5.02 02/02/07 DAWSON GEOPHYSICAL CO TX 7.01,9.01 02/07/07 DAYSTAR TECHNOLOGIES INC DE 8.01,9.01 02/01/07 DAYTON POWER & LIGHT CO OH 8.01,9.01 02/01/07 DealerTrack Holdings, Inc. DE 2.01,7.01,9.01 02/01/07 DEAN FOODS CO DE 2.02,9.01 02/07/07 DELCATH SYSTEMS INC DE 5.02,8.01,9.01 01/02/07 DELTIC TIMBER CORP DE 2.02,9.01 02/07/07 DENTSPLY INTERNATIONAL INC /DE/ DE 2.02,9.01 02/06/07 DEVELOPERS DIVERSIFIED REALTY CORP OH 8.01 02/06/07 DEVON ENERGY CORP/DE DE 8.01 02/07/07 DEVON ENERGY CORP/DE DE 2.02,9.01 02/07/07 DEVRY INC DE 5.02,9.01 02/06/07 DIGITAL RECORDERS INC NC 7.01,8.01,9.01 02/07/07 DIODES INC /DEL/ DE 2.02,9.01 02/06/07 DIOMED HOLDINGS INC NV 5.02,9.01 02/07/07 DIRECT GENERAL CORP 2.02,9.01 02/06/07 DIRECTV GROUP INC DE 2.02 02/07/07 DIRECTV GROUP INC DE 7.01,9.01 02/07/07 DIRECTV HOLDINGS LLC DE 2.02 02/07/07 DOMINOS PIZZA INC 1.01,8.01,9.01 02/06/07 DPL INC OH 8.01,9.01 02/01/07 DSL NET INC DE 8.01 02/07/07 DUKE REALTY CORP IN 1.01,2.02,9.01 02/01/07 DUKE REALTY LIMITED PARTNERSHIP/ IN 1.01,2.02,9.01 02/01/07 EASTERN CO CT 2.02,7.01,9.01 02/07/07 EASTERN CO CT 1.01 02/07/07 ECHELON CORP DE 2.02,9.01 12/31/06 ECOLLEGE COM DE 5.02 02/01/07 EL PASO CORP/DE DE 8.01 02/05/07 ELCOM INTERNATIONAL INC DE 1.01,3.02,9.01 02/02/07 ELECTRONIC DATA SYSTEMS CORP /DE/ DE 2.02,9.01 02/07/07 ENCORIUM GROUP INC NV 2.02,9.01 02/05/07 ENDWAVE CORP DE 2.02,9.01 02/07/07 ENDWAVE CORP DE 5.02,9.01 02/02/07 ENERGYSOUTH INC AL 1.01,9.01 02/01/07 EnerSys DE 1.01,2.02,2.03,9.01 02/07/07 ENERTECK CORP 4.01,9.01 01/15/07 AMEND EQUINIX INC DE 1.01,2.02,9.01 02/01/07 EQUITY OFFICE PROPERTIES TRUST MD 8.01,9.01 02/07/07 EQUITY RESIDENTIAL MD 2.02,9.01 02/06/07 ERGO SCIENCE CORP /DE/ DE 3.01,3.03,5.03,8.01,9.01 02/06/07 ESCALA GROUP INC NY 1.01,5.02,8.01,9.01 02/01/07 ESSEX PROPERTY TRUST INC MD 8.01,9.01 02/07/07 EVERGREEN ENERGY INC DE 7.01,9.01 02/07/07 EXIDE TECHNOLOGIES DE 2.02,9.01 02/07/07 EXPLORATION CO OF DELAWARE INC DE 7.01,9.01 02/02/07 FAIR ISAAC CORP DE 5.02,9.01 02/06/07 FBL FINANCIAL GROUP INC IA 2.02,7.01 02/06/07 FIFTH THIRD BANCORP OH 7.01,9.01 02/07/07 FINANCIAL INDUSTRIES CORP TX 1.01,5.02,9.01 02/01/07 FIRST AMERICAN CORP CA 1.01,9.01 02/01/07 FIRST BANCORP /PR/ PR 8.01,9.01 05/07/02 FIRST INTERSTATE BANCSYSTEM INC MT 2.02,7.01,9.01 02/02/07 AMEND FIRST KEYSTONE FINANCIAL INC 7.01,9.01 02/07/07 FIRST SOUTH BANCORP INC /VA/ VA 5.02 02/06/07 FMC CORP DE 2.02,9.01 02/06/07 FOX PETROLEUM INC. NV 5.03,7.01,9.01 02/05/07 FRANKLIN BANK CORP 7.01,9.01 02/07/07 FUEL TECH, INC. DE 1.01,9.01 02/01/07 GameStop Corp. DE 5.03,7.01,9.01 02/07/07 Genemen Inc. 5.02 02/06/07 GENERAL CABLE CORP /DE/ DE 2.01,9.01 02/07/07 GEODYNE ENERGY INCOME LTD PARTNERSHIP OK 9.01 02/05/07 GEODYNE ENERGY INCOME LTD PARTNERSHIP OK 2.01,9.01 02/01/07 GEODYNE ENERGY INCOME LTD PARTNERSHIP OK 9.01 02/05/07 GEODYNE ENERGY INCOME LTD PARTNERSHIP OK 2.01,9.01 02/01/07 GEODYNE ENERGY INCOME LTD PARTNERSHIP OK 9.01 02/05/07 GEODYNE INSTITUTIONAL PENSION ENERGY OK 9.01 02/05/07 GEODYNE INSTITUTIONAL PENSION ENERGY TX 9.01 02/05/07 GOLDEN STAR RESOURCES LTD 2.02,9.01 02/07/07 GOLDMAN SACHS HEDGE FUND PARTNERS LLC DE 7.01 02/07/07 GRAINGER W W INC IL 2.02,9.01 12/31/06 GRAN TIERRA ENERGY, INC. NV 7.01,9.01 02/07/07 GROUP 1 AUTOMOTIVE INC DE 7.01,9.01 02/05/07 GTREX CAPITAL, INC. DE 5.02 02/01/07 Gulf United Energy, Inc. NV 3.02 02/07/07 HARTFORD LIFE INSURANCE CO CT 9.01 02/07/07 HEALTHWAYS, INC DE 9.01 12/01/06 AMEND HERCULES TECHNOLOGY GROWTH CAPITAL IN MD 2.02,9.01 02/07/07 HERITAGE COMMERCE CORP CA 2.02,8.01,9.01 02/06/07 HERSHA HOSPITALITY TRUST MD 1.01,2.01,9.01 02/01/07 HIBBETT SPORTING GOODS INC DE 1.01,9.01 02/02/07 HILLENBRAND INDUSTRIES INC IN 2.02,9.01 02/06/07 HNI CORP IA 2.02,9.01 02/07/07 HOT TOPIC INC /CA/ CA 2.02,9.01 02/07/07 HSBC USA INC /MD/ MD 8.01 02/07/07 HUMANA INC DE 5.02 02/02/07 HuntMountain Resources WA 1.01 01/31/07 HYDRON TECHNOLOGIES INC NY 1.01,3.02,9.01 02/01/07 IGIA, Inc. DE 1.01,2.03,3.02,9.01 02/01/07 IMMUCELL CORP /DE/ DE 2.02,9.01 02/07/07 IMPART MEDIA GROUP INC NV 8.01 02/01/07 IMPAX LABORATORIES INC DE 7.01,9.01 02/07/07 INDEVUS PHARMACEUTICALS INC DE 2.02,7.01,9.01 02/07/07 INFOCROSSING INC DE 7.01,9.01 02/07/07 INFOCUS CORP OR 1.01,2.02,9.01 02/06/07 INNOVO GROUP INC DE 1.02,2.02,8.01,9.01 02/01/07 instaCare Corp. NV 8.01,9.01 12/18/06 INTERCONTINENTALEXCHANGE INC 2.02,9.01 02/07/07 INTERNATIONAL ALUMINUM CORP CA 2.02,9.01 02/05/07 INTERNATIONAL BARRIER TECHNOLOGY INC/ 7.01,9.01 02/06/07 INTERNATIONAL FLAVORS & FRAGRANCES IN NY 2.02,9.01 02/06/07 INTUIT INC DE 2.01,2.03,8.01,9.01 02/06/07 INVACARE CORP OH 8.01,9.01 02/07/07 ISHARES COMEX GOLD TRUST NY 8.01,9.01 02/06/07 Isilon Systems, Inc. DE 2.02,9.01 02/07/07 ISIS PHARMACEUTICALS INC DE 1.01,9.01 02/01/07 ISONICS CORP CA 3.02 02/01/07 IsoRay, Inc. MN 1.01,3.03,5.03,9.01 02/01/07 ITEC ENVIRONMENTAL GROUP INC DE 5.02 02/01/07 JL HALSEY CORP 1.02,3.02,7.01,9.01 01/31/07 JMAR TECHNOLOGIES INC DE 1.01,3.02,9.01 02/01/07 JOHNSON & JOHNSON NJ 8.01 02/01/07 KANSAS CITY SOUTHERN DE 8.01,9.01 02/06/07 KEANE, INC. MA 8.01,9.01 02/07/07 KEANE, INC. MA 8.01,9.01 02/07/07 KENILWORTH SYSTEMS CORP NY 4.01 02/07/07 KFORCE INC FL 2.02,9.01 02/06/07 KFORCE INC FL 5.03,9.01 02/02/07 KNOLL INC DE 2.02,9.01 02/07/07 KYPHON INC DE 7.01,9.01 02/06/07 Lazard Ltd D0 2.02,9.01 02/07/07 LEARNING QUEST TECHNOLOGIES, INC. NV 3.02 02/07/07 AMEND LEHMAN ABS CORP AT&T WIRELESS SERV NO DE 8.01 02/06/07 LEHMAN ABS CORP ROYAL & SUN ALLIANCE DE 8.01 02/05/07 LEXINGTON REALTY TRUST MD 2.03,3.02 02/05/07 LEXINGTON REALTY TRUST MD 2.03,3.02 02/05/07 AMEND LIFEPOINT HOSPITALS, INC. 2.02,9.01 02/06/07 Lightstone Value Plus Real Estate Inv MD 2.01,2.03,9.01 02/01/07 LIQUIDITY SERVICES INC 2.02 02/07/07 LoopNet, Inc. CA 2.02,9.01 02/07/07 LUBRIZOL CORP OH 2.02,8.01,9.01 02/07/07 LUMINEX CORP DE 2.02,9.01 02/07/07 M&T BANK CORP NY 8.01 02/05/07 MACK CALI REALTY L P DE 1.01,9.01 02/01/07 MAJESTIC STAR CASINO LLC IN 5.02,9.01 01/31/07 MANGAPETS, INC. DE 5.02 02/07/07 MANHATTAN ASSOCIATES INC GA 2.02,9.01 02/07/07 MARINE PRODUCTS CORP DE 2.02,9.01 02/07/07 MARKETAXESS HOLDINGS INC 2.02,9.01 02/07/07 MAXIM INTEGRATED PRODUCTS INC DE 2.02,9.01 02/07/07 MAXUS REALTY TRUST INC. 1.02 02/07/07 MEDICAL ACTION INDUSTRIES INC DE 7.01,9.01 02/07/07 MEDIMMUNE INC /DE DE 2.02,9.01 02/07/07 MENS WEARHOUSE INC TX 2.03,9.01 02/02/07 MERRILL LYNCH & CO INC DE 8.01,9.01 02/07/07 MGI PHARMA INC MN 2.02,9.01 02/07/07 MILLENNIUM CELL INC DE 1.01,9.01 02/01/07 MISSION WEST PROPERTIES INC CA 2.02 02/07/07 MOLINA HEALTHCARE INC DE 5.02 02/06/07 MOODYS CORP /DE/ DE 2.02,7.01,9.01 02/07/07 MTM Technologies, Inc. NY 2.02,9.01 02/06/07 MUZAK HOLDINGS LLC DE 2.02,9.01 02/07/07 MWI Veterinary Supply, Inc. DE 7.01,9.01 02/07/07 NABORS INDUSTRIES LTD D0 2.02,9.01 02/06/07 NATIONAL FUEL GAS CO NJ 4.01 02/01/07 National Health Partners Inc 2.02,9.01 01/31/07 Nationstar Home Equity Loan Trust 200 DE 8.01,9.01 02/07/07 NAUTILUS, INC. WA 2.02,9.01 02/07/07 NAVIGATORS GROUP INC DE 1.01,2.03,9.01 02/02/07 NESTOR INC DE 1.01,9.01 02/05/07 NET 1 UEPS TECHNOLOGIES INC 2.02,7.01,9.01 02/07/07 NETFABRIC HOLDINGS, INC DE 7.01,9.01 02/07/07 NETFABRIC HOLDINGS, INC DE 4.01,9.01 01/24/07 AMEND NETOPIA INC DE 2.01,3.01,3.03,5.01,9.01 02/06/07 NEW CENTURY FINANCIAL CORP MD 2.02,4.02,9.01 02/07/07 NEW HORIZONS WORLDWIDE INC DE 3.02,5.02,9.01 02/01/07 NEW JERSEY RESOURCES CORP NJ 2.02,9.01 12/31/06 New Oriental Energy & Chemical Corp. 5.03,9.01 02/07/07 New Oriental Energy & Chemical Corp. 7.01,9.01 02/07/07 NEWPORT CORP NV 1.01,2.03,3.02,8.01,9.01 02/01/07 NEWS CORP 2.02,9.01 02/07/07 NEXTPHASE WIRELESS, INC. NV 1.01,9.01 02/02/07 NORTEL NETWORKS CORP 2.02,2.05,9.01 02/07/07 NORTEL NETWORKS LTD 2.02,2.05,9.01 02/07/07 NORTHEAST BANCORP /ME/ ME 4.01 02/06/07 AMEND NOVADEL PHARMA INC DE 5.02,9.01 02/01/07 NU SKIN ENTERPRISES INC DE 2.02,9.01 02/07/07 NxStage Medical, Inc. DE 1.01,3.02 02/07/07 OCCIDENTAL PETROLEUM CORP /DE/ DE 7.01 02/07/07 Odimo INC DE 1.01 02/05/07 OHIO CASUALTY CORP OH 2.02,9.01 12/31/06 Opteum Inc. MD 7.01,9.01 02/01/07 ORGANITECH USA INC DE 1.01,9.01 02/07/07 Orsus Xelent Technologies Inc DE 5.02,5.03,8.01,9.01 02/07/07 ORTHODONTIX INC FL 4.01,9.01 02/04/07 ORTHOVITA INC 2.02,9.01 02/06/07 OSI PHARMACEUTICALS INC DE 8.01 02/07/07 OSI SYSTEMS INC CA 2.02,9.01 02/07/07 OXFORD INDUSTRIES INC GA 1.01,1.02,5.02,9.01 02/05/07 OYO GEOSPACE CORP DE 2.02,9.01 02/07/07 PAM TRANSPORTATION SERVICES INC DE 2.02,9.01 02/07/07 PARADISE MUSIC & ENTERTAINMENT INC DE 5.02 02/01/07 PARLUX FRAGRANCES INC DE 1.01,5.02,5.03,9.01 02/06/07 PARTNERS TRUST FINANCIAL GROUP INC 1.01,8.01,9.01 02/07/07 PATHFINDER BANCORP INC DE 2.02 12/31/06 PATRON SYSTEMS INC DE 8.01,9.01 02/01/07 PAY88 NV 1.01,5.02,9.01 02/01/07 PEOPLES BANCORP IN 5.01 02/07/07 PEPSICO INC NC 5.02,5.03,9.01 02/02/07 PEPSICO INC NC 5.02,9.01 02/02/07 PETRO RESOURCES CORP 7.01,9.01 02/06/07 PETROSEARCH ENERGY CORP 1.01,2.03,9.01 02/01/07 PHH MORTGAGE CAPITAL LLC DE 9.01 02/07/07 PINGCHUAN PHARMACEUTICAL INC NC 2.01,3.02,5.01 01/30/07 AMEND PINNACLE AIRLINES CORP DE 7.01 02/06/07 PIONEER NATURAL RESOURCES CO DE 2.02,9.01 02/06/07 PLUM CREEK TIMBER CO INC DE 5.02 10/31/06 AMEND POLO RALPH LAUREN CORP DE 2.02,9.01 02/07/07 POWER ONE INC DE 2.02,9.01 02/07/07 POWERWAVE TECHNOLOGIES INC DE 5.02 02/01/07 PRAECIS PHARMACEUTICALS INC DE 5.01,8.01,9.01 02/07/07 PREMIER FINANCIAL BANCORP INC KY 2.02,9.01 02/05/07 PREMIERE GLOBAL SERVICES, INC. GA 8.01 02/02/07 PRIMUS GUARANTY LTD 2.02,9.01 02/06/07 PRINTRONIX INC DE 2.02,9.01 02/07/07 PRO PHARMACEUTICALS INC NV 8.01,9.01 02/07/07 PROSPECT ENERGY CORP MD 8.01,9.01 02/06/07 PRUDENTIAL FINANCIAL INC NJ 2.02,7.01,9.01 02/07/07 PUGET ENERGY INC /WA WA 7.01 02/07/07 QUAKER CHEMICAL CORP PA 5.02 02/01/07 R&R ACQUISITION III, INC NJ 1.02,9.01 02/01/07 RADISYS CORP OR 2.02,9.01 02/01/07 RALCORP HOLDINGS INC /MO MO 2.02,9.01 02/06/07 RAMBUS INC DE 3.01,9.01 02/06/07 Rand Logistics, Inc. DE 7.01,9.01 02/06/07 RANGE RESOURCES CORP DE 8.01,9.01 02/06/07 REDENVELOPE INC DE 7.01,9.01 02/07/07 REGENERATION TECHNOLOGIES INC FL 2.02,9.01 02/07/07 RENAISSANCERE HOLDINGS LTD 2.02,9.01 02/06/07 RENTRAK CORP OR 2.02,9.01 02/06/07 Restaurant Acquisition Partners, Inc. DE 8.01,9.01 02/07/07 Restore Medical, Inc. DE 5.02 02/01/07 Riverbed Technology, Inc. DE 2.02,9.01 02/07/07 ROCKELLE CORP. DE 1.01,9.01 01/31/07 ROHM & HAAS CO DE 5.02 02/07/07 ROLLINS INC DE 2.02 02/07/07 RPC INC DE 2.02,9.01 02/07/07 RUDOLPH TECHNOLOGIES INC DE 2.02,9.01 12/31/06 SAFENET INC DE 3.01,9.01 01/31/07 Sara Lee Corp MD 2.02,9.01 02/07/07 SCBT FINANCIAL CORP SC 8.01,9.01 02/07/07 SCHAWK INC DE 3.01,5.02 02/01/07 SCM MICROSYSTEMS INC DE 2.02,9.01 02/07/07 SCOTTS MIRACLE-GRO CO OH 1.01,1.02,2.03,8.01,9.01 02/07/07 SEA CONTAINERS LTD /NY/ 8.01,9.01 02/06/07 SELECT COMFORT CORP 2.02,9.01 02/07/07 SEMOTUS SOLUTIONS INC NV 2.03,3.02,9.01 02/01/07 Seneca Gaming Corp XX 8.01 02/07/07 Seneca Gaming Corp XX 1.01,1.02,5.02,9.01 02/07/07 SENIOR HOUSING PROPERTIES TRUST MD 5.03,8.01,9.01 02/07/07 SIMTROL INC DE 1.01,2.03,3.02,3.03,5.03,9.01 01/30/07 AMEND SINA CORP 2.02,5.02,8.01,9.01 02/01/07 SINGING MACHINE CO INC DE 1.01,3.02,9.01 02/01/07 SINGING MACHINE CO INC DE 1.01,3.02,9.01 02/07/07 AMEND SKY PETROLEUM, INC. NV 1.01,5.02,9.01 02/05/07 SKYWEST INC UT 2.02,9.01 02/07/07 SMITHFIELD FOODS INC VA 8.01,9.01 02/05/07 SOMERSET HILLS BANCORP NJ 2.02 02/06/07 SONICWALL INC CA 2.02,9.01 02/07/07 SONOCO PRODUCTS CO SC 2.02,9.01 02/07/07 SONTRA MEDICAL CORP MN 5.02 02/05/07 Southland Health Services, Inc. 8.01,9.01 02/01/07 SPECTRALINK CORP CO 2.02,9.01 02/07/07 SPRINT NEXTEL CORP KS 1.01 02/05/07 STERICYCLE INC DE 2.02,9.01 02/07/07 STOCKERYALE INC MA 5.02,9.01 02/01/07 STRATS (SM) TRUST FOR JPMORGAN CHASE 8.01,9.01 02/01/07 STRATS SM TRUST FOR IBM CORP SEC SERI 8.01,9.01 01/29/07 Strats(SM) Trust for JPMorgan Chase C 8.01,9.01 02/01/07 STRATS(SM) Trust For Morgan Stanley S 8.01,9.01 02/01/07 STRUCTURED PRODUCTS CORTS TR FOR SOUT DE 8.01,9.01 02/02/07 STUDENT LOAN CORP DE 5.02 02/07/07 SULPHCO INC NV 5.02,9.01 02/05/07 SUN BANCORP INC /NJ/ NJ 5.02 02/07/07 SUREWEST COMMUNICATIONS CA 5.02 01/29/07 SYNCHRONOSS TECHNOLOGIES INC 2.02,9.01 02/07/07 SYNNEX CORP DE 5.02,9.01 02/07/07 TAUBMAN CENTERS INC MI 2.02,9.01 02/07/07 TECHNOCONCEPTS, INC. CO 1.01,9.01 02/01/07 TELECOMMUNICATION SYSTEMS INC /FA/ 2.02,9.01 02/07/07 TEPPCO PARTNERS LP DE 2.02,9.01 02/06/07 TEXOLA ENERGY CORP NV 4.02 02/06/07 TIB FINANCIAL CORP. FL 2.02,9.01 02/05/07 Tim Hortons Inc. DE 2.02,5.02,9.01 02/01/07 TIME WARNER TELECOM INC DE 2.02,9.01 02/06/07 TIMKEN CO OH 2.02 02/07/07 TIMKEN CO OH 2.02 02/07/07 TORCHMARK CORP DE 2.02,9.01 02/07/07 TorreyPines Therapeutics, Inc. DE 8.01 02/05/07 Traffic.com, Inc. DE 5.02 02/07/07 TRANSCOMMUNITY FINANCIAL CORP VA 8.01,9.01 02/07/07 TRANSMETA CORP DE 1.01 02/01/07 TRAVELZOO INC DE 2.02,9.01 02/06/07 TRI-S SECURITY CORP GA 2.02,7.01,9.01 02/07/07 TRICO MARINE SERVICES INC DE 1.01,2.03,3.02 02/01/07 TRIMERIS INC DE 2.02,9.01 02/06/07 TRUMP ENTERTAINMENT RESORTS, INC. DE 2.02,7.01,9.01 02/07/07 TRUSTREET PROPERTIES INC MD 5.03,9.01 02/02/07 TWEETER HOME ENTERTAINMENT GROUP INC DE 2.02,9.01 02/06/07 UMB FINANCIAL CORP MO 5.02 02/01/07 UNIVERSAL CORP /VA/ VA 2.02,8.01,9.01 02/07/07 UNIVERSAL TECHNICAL INSTITUTE INC DE 2.02,9.01 02/07/07 UNUMPROVIDENT CORP DE 5.01,9.01 02/06/07 US BioEnergy CORP 1.01,9.01 02/01/07 USANA HEALTH SCIENCES INC UT 2.02,9.01 02/06/07 UTSTARCOM INC DE 5.02 02/01/07 V F CORP PA 2.02,7.01,9.01 02/06/07 VALASSIS COMMUNICATIONS INC DE 2.02,9.01 02/07/07 VALENTIS INC DE 1.01,8.01,9.01 02/01/07 Vanda Pharmaceuticals Inc. DE 2.02,9.01 02/07/07 VAXGEN INC DE 5.02 01/31/07 VECTOR GROUP LTD DE 1.01,2.03,9.01 02/02/07 Venoco, Inc. DE 7.01,9.01 02/06/07 VERTICALNET INC PA 3.02 02/01/07 VIACELL INC 8.01,9.01 02/06/07 VIASPACE Inc. NV 8.01,9.01 02/07/07 VICON INDUSTRIES INC /NY/ NY 2.02,9.01 12/31/06 VIEWSONIC CORP DE 5.02,9.01 02/01/07 VIROPHARMA INC DE 7.01,9.01 02/07/07 VISICU INC DE 2.02,9.01 02/07/07 VORNADO REALTY TRUST MD 8.01,9.01 02/07/07 WALT DISNEY CO/ DE 2.02,9.01 02/07/07 WARNING MANAGEMENT SERVICES INC NY 4.01,5.02 02/07/07 AMEND WASHINGTON MUTUAL, INC WA 5.03,9.01 02/01/07 WASTE CONNECTIONS INC/DE DE 5.02,9.01 02/01/07 WATTS WATER TECHNOLOGIES INC DE 1.01,5.03,9.01 02/05/07 WEBSITE PROS INC DE 2.02,9.01 02/07/07 WELLCO ENTERPRISES INC NC 1.01,5.02,9.01 02/06/07 WENDYS INTERNATIONAL INC OH 5.02,8.01,9.01 02/01/07 Western Union CO DE 5.02,9.01 02/06/07 WESTWOOD HOLDINGS GROUP INC DE 2.02,7.01,9.01 02/07/07 WHIRLPOOL CORP /DE/ DE 2.02,9.01 02/07/07 WIND RIVER SYSTEMS INC DE 8.01 02/07/07 WISCONSIN ENERGY CORP WI 7.01 02/02/07 WISCONSIN ENERGY CORP WI 2.02 02/07/07 WORLD HEART CORP A6 5.02,9.01 02/02/07 Wright Express CORP 2.02,9.01 02/07/07 XATA CORP /MN/ MN 2.02 02/07/07 Xenonics Holdings, Inc. NV 1.01,3.02,8.01,9.01 02/02/07 XL CAPITAL LTD 2.02,9.01 02/06/07 XSTREAM BEVERAGE NETWORK, INC. NV 1.01,9.01 01/31/07 Zumiez Inc 5.02,7.01,9.01 02/07/07