SEC NEWS DIGEST Issue 2007-33 February 20, 2007 ENFORCEMENT PROCEEDINGS COMMISSION SUSTAINS NASD'S FINDINGS OF VIOLATION AGAINST DONNER CORPORATION INTERNATIONAL, JEFFREY BACLET, VINCENT UBERTI, AND PAUL RUNYON AND SUSTAINS IN PART AND VACATES AND REMANDS IN PART THE SANCTIONS IMPOSED BY NASD The Commission has sustained NASD's findings of violation against Donner Corporation International, a former NASD member firm, Jeffrey L. Baclet, its former president and sole owner, and Vincent M. Uberti and Paul A. Runyon, former registered representatives of Donner. NASD found that Donner, Baclet, Uberti, and Runyon violated Section 10(b) of the Securities Exchange Act of 1934, Exchange Act Rule 10b-5, and NASD Rules 2120, 2210, and 2110 by preparing and disseminating research reports which contained material misstatements and omissions. NASD found further that Donner, Baclet, and Uberti violated NASD Rule 2110 by failing to disclose in certain Donner research reports the compensation Donner received for writing the reports. NASD also determined that Donner and Baclet violated NASD Rules 3010, 2210, and 2110 by failing to establish and maintain adequate written supervisory procedures and by failing to ensure written approval of Donner's research reports by a firm principal. The Commission found that the record supported these findings of violation. NASD expelled Donner, barred Baclet and Uberti, and imposed a six- month suspension, $20,000 fine, and requalification requirement on Runyon. The Commission found Donner's expulsion, Baclet's bar, and Runyon's suspension, fine, and requalification requirement neither excessive nor oppressive. The Commission vacated and remanded the sanction imposed on Uberti because it could not determine from the record whether a bar was excessive or oppressive. (Rel. 34-55313; File No. 3-12260) SEC v. KEITH BAXTER, ET AL. The Commission announced that on February 14 the Honorable Ronald M. Whyte entered an order approving the parties' settlement. Pursuant to the terms of the settlement, Judge Whyte entered an order (i) of permanent injunction prohibiting Keith G. Baxter, former Chief Executive Officer of Cornerstone Propane Partners, LLP, from violations of the federal securities laws; (ii) requiring Baxter to pay a civil money penalty of $40,000; and (iii) prohibiting Baxter from acting as an officer or director for a period of three years. Baxter entered into the settlement and consented to the entry of the injunction without admitting or denying the allegations of the Commission's complaint. The injunction prohibits 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 aiding and abetting violations of Sections 13(a) and 13(b)(2) of the Exchange Act and Rules 12b-20, 13a-1, and 13a-13 thereunder. The complaint alleged generally that Cornerstone's financial statements for fiscal year 2000 and 2001 did not comply with Generally Accepted Accounting Principles (GAAP) because a Cornerstone subsidiary allegedly did not reconcile certain inter-company accounts in a timely manner which allegedly rendered the company's financial statements materially unreliable, and that Cornerstone allegedly failed to disclose the existence of this issue and that it could lead to the possibility of a write-down. The complaint further alleges that for these reasons, Cornerstone's fiscal year 2000 and 2001 Form 10-K and fiscal year 2001 10-Qs improperly represented that Cornerstone's financial statements complied with GAAP. The complaint further alleges that Baxter approved a Sept. 28, 2001 press release that failed to adequately disclose the connection between these accounting problems and a related Q4 2001 non-cash charge. [SEC v. Keith G. Baxter, et al., Civil Action No. 05-3843 RMW, N.D. Cal.] (LR-20006; AAE Rel. 2561) ADDITIONS AND CORRECTIONS The following litigation cite should have been included in the February 16th issue of the Digest in a summary entitled "IN THE MATTER OF RICHARD CAUSEY": [SEC v. Richard A. Causey, Civil Action No. H-04- 0284 (Harmon) SDTX] (LR-19996; AAE Rel. 2552). INVESTMENT COMPANY ACT RELEASES AMERICAN INTERNATIONAL GROUP, INC., ET AL. The Commission has issued an order to American International Group, Inc., et al. under Section 9(c) of the Investment Company Act with respect to a securities-related injunction issued by the U.S. District Court for the Southern District of New York on or about Feb. 21, 2006. The order extends a temporary exemption from Section 9(a) of the Act until the earlier of Aug. 21, 2007, or until the Commission takes final action on the application for a permanent order. (Rel. IC-27700 - February 16) WILSHIRE VARIABLE INSURANCE TRUST, ET AL. A notice has been issued giving interested persons until March 14, 2007, to request a hearing on an application filed by Wilshire Variable Insurance Trust (Trust), and Wilshire Associates Incorporated (Wilshire, and collectively with the Trust, the Applicants). Applicants seek an order exempting them from the provisions of Sections 9(a), 13(a), 15(a) and 15(b) of the Investment Company Act, and Rules 6e 2(b)(15) and 6e 3(T)(b)(15) thereunder, to the extent necessary to permit shares of the Trust and shares of any other investment company or portfolio that is designed to fund insurance products and for which Wilshire or any of its affiliates may serve in the future as investment adviser, manager, principal underwriter, sponsor, or administrator (Future Trusts) (the Trust, together with Future Trusts, the Trusts) to be sold to and held by: (a) separate accounts funding variable annuity and variable life insurance contracts issued by both affiliated and unaffiliated life insurance companies; (b) trustees of qualified group pension and group retirement plans outside of the separate account context; (c) separate accounts that are not registered as investment companies under the Act pursuant to exemptions from registration under Section 3(c) of the Act; (d) Wilshire and any affiliate of Wilshire that serves as an investment adviser, manager, principal underwriter, sponsor or administrator for the purpose of providing seed capital; (e) any other insurance company general accounts permitted to hold shares of the Trusts pursuant to Treasury Regulation Section 1.817-5. (Rel. IC-27701 - February 16) AMERICAN CAPITAL STRATEGIES, LTD. An order has been issued on an application filed by American Capital Strategies, Ltd. under Section 61(a)(3)(B) of the Investment Company Act approving applicant's proposal to grant certain stock options to non-employee directors under applicant's 2006 stock option plan. (Rel. IC-27702 - February 16) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-NASDAQ-2007-003) filed by The NASDAQ Stock Market to modify pricing for Nasdaq members using the Nasdaq Market Center has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 19. (Rel. 34-55284) A proposed rule change (SR-ISE-2007-09) filed by the International Securities Exchange and Amendment No. 1 thereto to establish fee discounts for its Enhanced Sentiment Market Data Offering has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 19. (Rel. 34-55288) A proposed rule change (SR-ISE-2007-04) filed by the International Securities Exchange relating to network fee changes has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 19. (Rel. 34-55289) A proposed rule change (SR-NYSEArca-2007-13) filed by NYSE Arca relating to NYSE Arca Marketplace's trading sessions has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 19. (Rel. 34-55295) A proposed rule change (SR-Phlx-2007-08) filed by the Philadelphia Stock Exchange to permit the listing and trading of Quarterly Options Series has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 19. (Rel. 34-55301) The Depository Trust Company filed a proposed rule change (SR-DTC- 2006-21) under Section 19(b)(1) of the Exchange Act, which proposed rule change became effective upon filing, to modify fee in connection with its offering of a mechanism by which it collects and passes- through fees owed by participants to American Depositary Receipt agents for certain issues. Publication is expected in the Federal Register during the week of February 19. (Rel. 34-55306) The Options Clearing Corporation filed a proposed rule change (SR-OCC- 2006-22) under Section 19(b)(1) of the Exchange Act, which proposed rule change became effective upon filing, to enhance futures clearing services by providing an alternative method for effecting gross position adjustments and certain trade management services. Publication is expected in the Federal Register during the week of February 19. (Rel. 34-55307) A proposed rule change (SR-ISE-2007-11) filed by the International Securities Exchange relating to delay in the implementation of the Trading Phase Date of Regulation NMS has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 19. (Rel. 34-55309) PROPOSED RULE CHANGES The Commission published notice of a proposed rule change (SR-NYSE- 2007-01) filed by the New York Stock Exchange to amend listing and annual fees applicable to Investment Company Units, Currency Trust Shares, Commodity Trust Shares and streetTRACKS® Gold Shares. Publication is expected in the Federal Register during the week of February 19. (Rel. 34-55299) The Commission issued a notice of a proposed rule change and Amendment No. 1 thereto (SR-MSRB-2006-09) filed by the Municipal Securities Rulemaking Board relating to MSRB Rule G-21, on advertising, and MSRB Rule G-27, on supervision. Publication is expected in the Federal Register during the week of February 19. (Rel. 34-55302) The Commission issued notice of a proposed rule change filed by the Chicago Stock Exchange (SR-CHX-2006-38) to extend the late trading session and to permit only the execution of cross orders during that session. Publication is expected in the Federal Register during the week of February 19. (Rel. 34-55308) ACCELERATED APPROVAL OF PROPOSED RULE CHANGES The Commission granted accelerated approval to a proposed rule change (SR-NASDAQ-2007-002), as modified by Amendment No. 1 thereto, submitted by The NASDAQ Stock Market to trade the shares of certain exchange-traded funds based on fixed income portfolios pursuant to unlisted trading privileges. Publication is expected in the Federal Register during the week of February 19. (Rel. 34-55300) The Commission granted accelerated approval to a proposed rule change (SR-Phlx-2006-65), as modified by Amendment Nos. 2 and 3 thereto, filed by the Philadelphia Stock Exchange relating to options on the Russell 2000 Index. Publication is expected in the Federal Register during the week of February 19. (Rel. 34-55305) 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-3ASR WPS RESOURCES CORP, 700 N ADAMS ST, PO BOX 19001, GREEN BAY, WI, 54307-9001, 9204334901 - 325,000 ($325,000,000.00) Debt, (File 333-140744 - Feb. 16) (BR. 02B) S-8 Constellation Energy Partners LLC, 111 MARKET PLACE, BALTIMORE, MD, 21202, (410) 468-3500 - 450,000 ($11,700,000.00) Equity, (File 333-140745 - Feb. 16) (BR. 04C) S-8 PEP BOYS MANNY MOE & JACK, 3111 W ALLEGHENY AVE, PHILADELPHIA, PA, 19132, 2152299000 - 0 ($1,633,500.00) Equity, (File 333-140746 - Feb. 16) (BR. 02C) S-1 WILSON HOLDINGS, INC., 8121 BEE CAVES ROAD, AUSTIN, TX, 78746, (512) 732-0932 - 12,650,000 ($66,010,000.00) Equity, (File 333-140747 - Feb. 16) (BR. 08B) S-3 ACE COMM CORP, 704 QUINCE ORCHARD RD, GAITHERBURG, MD, 20878, 3012589850 - 0 ($115,184.44) Equity, (File 333-140749 - Feb. 16) (BR. 03A) S-8 RED ROCK PICTURES HOLDINGS, INC, 8228 SUNSET BLVD., 3RD FLOOR, LOS ANGELES, CA, 90046, (310) 474-5252 - 9,000,000 ($22,950,000.00) Equity, (File 333-140750 - Feb. 16) (BR. 05A) S-8 WELLCARE HEALTH PLANS, INC., 8725 HENDERSON ROAD, RENAISSANCE ONE, TAMPA, FL, 33634, 8132906200 - 1,200,000 ($91,680,000.00) Equity, (File 333-140753 - Feb. 16) (BR. 01A) S-4 INSIGHT HEALTH SERVICES HOLDINGS CORP, 26250 ENTERPRISE COURT, SUITE 100, LAKE FOREST, CA, 92630, 949-282-6000 - 0 ($56,283,437.50) Equity, (File 333-140754 - Feb. 16) (BR. 09A) S-3 ARGAN INC, ONE CHURCH STREET SUITE 401, ROCKVILLE, MD, 20850, 301 315-0027 - 3,666,667 ($22,733,335.40) Equity, (File 333-140755 - Feb. 16) (BR. 01A) S-8 ADVISORY BOARD CO, 600 NEW HAMPSHIRE AVENUE N.W., WASHINGTON, DC, 20037, 202-672-5600 - 0 ($150,738,000.00) Equity, (File 333-140757 - Feb. 16) (BR. 08B) SB-2 Aftersoft Group, 444 MADISON AVENUE, SUITE 2904, NEW YORK, NY, 10022, 2127507878 - 71,250,000 ($55,218,750.00) Equity, (File 333-140758 - Feb. 16) (BR. 09B) S-4 UMPQUA HOLDINGS CORP, ONE SW COLUMBIA STREET, SUITE 1200, PORTLAND, OR, 97258, 971-544-1085 - 0 ($206,040,000.00) Equity, (File 333-140759 - Feb. 16) (BR. 07B) S-8 MOMENTA PHARMACEUTICALS INC, 43 MOULTON STREET, CAMBRIDGE, MA, 02138, 6174919700 - 0 ($25,499,050.00) Equity, (File 333-140760 - Feb. 16) (BR. 01A) S-8 DNAPRINT GENOMICS INC, 1621 W. UNIVERSITY PARKWAY, SARASOTA, FL, 34243, 9413663400 - 40,700,000 ($600,325.00) Equity, (File 333-140761 - Feb. 16) (BR. 01A) S-1 BARE ESCENTUALS INC, 71 STEVENSON STREET, 22ND FLOOR, SAN FRANCISCO, CA, 94105, 415-489-5000 - 0 ($479,412,000.00) Equity, (File 333-140763 - Feb. 16) (BR. 06C) SB-2 YAFARM TECHNOLOGIES, INC., 197 ROUTE 18 SOUTH, SUITE 3000, PMB 4157, EAST BRUNSWICK, NJ, 08816, (732) 658-4280 - 3,629,626 ($108,889.00) Equity, (File 333-140764 - Feb. 16) (BR. ) S-3 PHARMACOPEIA DRUG DISCOVERY INC, P.O. BOX 5350, PRINCETON, NJ, 08543-5350, 609-452-3600 - 0 ($45,000,000.00) Other, (File 333-140765 - Feb. 16) (BR. 01C) S-3 C&D TECHNOLOGIES INC, 1400 UNION MEETING ROAD, PO BOX 3053, BLUE BELL, PA, 19422, 2156192700 - 54,500,000 ($54,500,000.00) Equity, (File 333-140766 - Feb. 16) (BR. 10A) SB-2 Telanetix,Inc, 6197 CORNERSTONE COURT E, SUITE 108, SAN DIEGO, CA, 92121, 858-362-2250 - 5,110,393 ($12,878,190.00) Equity, (File 333-140767 - Feb. 16) (BR. 11C) SB-2 Semoran Financial CORP, 237 FERNWOOD BLVD., SUITE 109, FERN PARK, FL, 32730, 407-401-8285 - 3,587,500 ($37,375,000.00) Equity, (File 333-140768 - Feb. 16) (BR. ) N-2 ALPINE GLOBAL PREMIER PROPERTIES FUND, 2500 WESTCHESTER AVENUE, SUITE 215, PURCHASE, NY, 10577, 303-623-2577 - 0 ($1,000,000.00) Equity, (File 333-140770 - Feb. 16) (BR. ) S-8 CHINA MEDICINE CORP, 90 GROVE STREET, SUITE 204, RIDGEFIELD, CT, 06877, 203-431-8300 - 1,575,000 ($1.48) Equity, (File 333-140771 - Feb. 16) (BR. 09B) S-8 MICROCHIP TECHNOLOGY INC, 2355 W CHANDLER BLVD, CHANDLER, AZ, 85224-6199, 4807867200 - 3,390,633 ($101,990,241.64) Equity, (File 333-140773 - Feb. 16) (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 ACCURAY INC CA 8.01,9.01 02/13/07 ACORDA THERAPEUTICS INC 5.02 02/14/07 ACORDA THERAPEUTICS INC 5.02 02/14/07 ACTIVISION INC /NY DE 3.01 02/09/07 ADSTAR INC DE 8.01,9.01 02/13/07 Advanced BioEnergy, LLC DE 1.01,2.03,9.01 02/12/07 AETRIUM INC MN 2.02,9.01 02/14/07 AFFILIATED COMPUTER SERVICES INC DE 7.01,9.01 02/13/07 ALAMO GROUP INC DE 5.02 02/16/07 ALCOA INC PA 5.02,8.01,9.01 02/06/07 ALLIED DEFENSE GROUP INC DE 2.02,4.02,9.01 02/06/07 AMEND ALPHA INNOTECH CORP DE 5.02 02/14/07 ALPHA PRO TECH LTD DE 7.01,9.01 02/15/07 Alternative Loan Trust 2007-2CB DE 8.01,9.01 01/30/07 Amerasia Khan Enterprises Ltd. NV 5.02 02/12/07 American Basketball Association, Inc. UT 8.01 02/12/07 AMERICAN ENTERPRISE DEVELOPMENT CORP TX 5.02 12/31/06 AMERICAN MEDIA OPERATIONS INC DE 1.01,9.01 02/15/07 AMERICAN MORTGAGE ACCEPTANCE CO MA 2.06,7.01,9.01 02/12/07 AMERICAN SKIING CO /ME DE 1.01,9.01 02/16/07 AMERIGROUP CORP 5.02,8.01 02/12/07 ANADARKO PETROLEUM CORP DE 5.03,9.01 02/13/07 ANALYTICAL SURVEYS INC CO 3.01,9.01 02/16/07 ANIXTER INTERNATIONAL INC DE 1.01,2.03,3.02,9.01 02/12/07 APPLIED INNOVATION INC DE 2.02,9.01 02/16/07 ARBINET THEXCHANGE INC DE 2.02,9.01 02/15/07 ARCHER DANIELS MIDLAND CO DE 8.01,9.01 02/16/07 ARRHYTHMIA RESEARCH TECHNOLOGY INC /D DE 5.02 02/14/07 ARTHROCARE CORP DE 2.02,9.01 02/15/07 ASCENDIA BRANDS, INC. DE 7.01,9.01 02/16/07 ASPEN EXPLORATION CORP DE 1.01,2.01,9.01 02/13/07 ASPEN TECHNOLOGY INC /DE/ DE 3.01,9.01 02/15/07 ASSET ACCEPTANCE CAPITAL CORP 5.02,9.01 02/12/07 Atlantic Southern Financial Group, In 2.02,9.01 02/15/07 ATLAS AIR WORLDWIDE HOLDINGS INC DE 1.01 02/13/07 ATRION CORP DE 2.02,9.01 02/15/07 ATWOOD OCEANICS INC TX 7.01 02/16/07 AVISTAR COMMUNICATIONS CORP DE 1.01,9.01 02/15/07 AVON PRODUCTS INC NY 7.01,9.01 02/15/07 AXCELIS TECHNOLOGIES INC DE 5.02 02/16/07 AXS ONE INC DE 5.02,9.01 02/15/07 AZCO MINING INC DE 2.01,9.01 05/04/06 AMEND AZUR HOLDINGS, INC. DE 2.04 02/14/07 BA Credit Card Funding, LLC DE 8.01,9.01 02/16/07 BANCFIRST CORP /OK/ OK 7.01 02/16/07 BANK OF AMERICA CORP /DE/ DE 3.03,5.03,8.01,9.01 02/08/07 BCSB BANKCORP INC 1.01,9.01 02/14/07 BEAR STEARNS ASSET BACKED SECURITIES 9.01 01/30/07 BEHRINGER HARVARD REIT I INC MD 9.01 12/13/06 AMEND BEL FUSE INC /NJ NJ 1.01,9.01 02/12/07 BERMAN CENTER, INC. DE 5.02,9.01 02/15/07 BJ SERVICES CO DE 5.02 02/12/07 BJs RESTAURANTS INC CA 2.02,9.01 02/15/07 BLOCKBUSTER INC DE 5.02 02/14/07 BLUE RIDGE PAPER PRODUCTS INC 5.02 02/14/07 BOSTON PROPERTIES INC DE 2.01,9.01 02/15/07 BOSTON PROPERTIES LTD PARTNERSHIP 2.01,9.01 02/15/07 Boulder Specialty Brands, Inc. DE 1.01,2.03,9.01 02/15/07 BRE PROPERTIES INC /MD/ MD 8.01,9.01 02/15/07 Bridge Capital Holdings CA 5.02 02/16/07 Bridge Capital Holdings CA 5.02,9.01 02/16/07 Bridge Capital Holdings CA 1.01,9.01 11/29/06 AMEND BROADVIEW INSTITUTE INC MN 2.02,9.01 02/15/07 BROCADE COMMUNICATIONS SYSTEMS INC DE 5.03,9.01 02/12/07 BROOKE CORP KS 7.01,9.01 02/14/07 BRUSH ENGINEERED MATERIALS INC 5.02,9.01 02/07/07 AMEND BUCYRUS INTERNATIONAL INC DE 2.02,9.01 02/15/07 BURLINGTON NORTHERN SANTA FE CORP DE 5.03,9.01 02/14/07 CABOT OIL & GAS CORP DE 2.02,9.01 02/15/07 Calumet Specialty Products Partners, DE 2.02,7.01,9.01 02/15/07 CAMPBELL SOUP CO NJ 2.02,9.01 02/16/07 CANEUM INC NV 1.01,2.03,9.01 02/12/07 CAPITAL TRUST INC MD 1.01 02/14/07 CARBO CERAMICS INC DE 5.02 02/14/07 CARDICA INC DE 8.01 02/13/07 CARDINAL FINANCIAL CORP VA 7.01,9.01 02/16/07 CAREER EDUCATION CORP DE 2.02,9.01 02/15/07 CAREY W P & CO LLC DE 2.01,9.01 12/01/06 AMEND CARRINGTON LABORATORIES INC /TX/ TX 1.01 02/12/07 CATALINA MARKETING CORP/DE DE 2.02,9.01 02/14/07 CBIZ, Inc. DE 2.02,9.01 02/13/07 CBL & ASSOCIATES PROPERTIES INC DE 5.05,9.01 02/16/07 CENTRAL FEDERAL CORP DE 2.02,9.01 02/16/07 CHAMPIONS SPORTS INC DE 1.01,3.02,8.01,9.01 02/14/07 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 02/15/07 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 02/15/07 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 02/16/07 CHEMBIO DIAGNOSTICS, INC. NV 7.01,9.01 02/16/07 CHEMBIO DIAGNOSTICS, INC. NV 7.01,9.01 02/16/07 CHINA BAK BATTERY INC NV 2.02,7.01,9.01 12/08/06 AMEND CHINA FIRE & SECURITY GROUP, INC. 7.01,9.01 02/16/07 CHINA MULTIMEDIA, INC. NV 4.02,9.01 02/01/07 AMEND CHINA SECURITY & SURVEILLANCE TECHNOL D8 1.01,2.03,3.02,9.01 02/16/07 CHITTENDEN CORP /VT/ VT 7.01,9.01 12/31/06 CHL Mortgage Pass-Through Trust 2007- DE 8.01,9.01 01/30/07 CHL Mortgage Pass-Through Trust 2007- DE 8.01,9.01 02/15/07 CHOICEPOINT INC GA 5.02 02/16/07 CIMAREX ENERGY CO DE 2.02,7.01,9.01 02/15/07 CITIGROUP INC DE 9.01 02/16/07 CLARIENT, INC DE 1.01 02/12/07 CLARK INC DE 1.01 02/15/07 CLEARONE COMMUNICATIONS INC UT 8.01 02/16/07 COACHMEN INDUSTRIES INC IN 8.01,9.01 02/16/07 COHERENT INC DE 3.01,8.01 02/13/07 Community Bancorp NV 8.01,9.01 02/16/07 COMMUNITY BANK SHARES OF INDIANA INC IN 2.02,9.01 02/16/07 COMPASS BANCSHARES INC DE 8.01,9.01 02/15/07 COMPETITIVE COMPANIES INC NV 5.02,9.01 02/13/07 Complete Production Services, Inc. DE 2.02,9.01 02/15/07 CONCEPTUS INC DE 2.03,3.02,8.01,9.01 02/12/07 Converted Organics Inc. DE 2.03,9.01 02/16/07 COOPER INDUSTRIES LTD 8.01,9.01 02/14/07 CORAUTUS GENETICS INC DE 1.02 02/12/07 CORE LABORATORIES N V P7 2.02,9.01 12/31/06 CORE MOLDING TECHNOLOGIES INC DE 8.01,9.01 02/16/07 CORGENIX MEDICAL CORP/CO NV 2.02,9.01 02/14/07 CORPORATE PROPERTY ASSOCIATES 14 INC MD 2.01,2.03,9.01 12/01/06 AMEND CORUS BANKSHARES INC MN 8.01,9.01 02/14/07 Cowen Group, Inc. DE 2.02,9.01 02/12/07 CRAY INC WA 2.02,9.01 02/15/07 Crocs, Inc. 9.01 12/01/06 AMEND CROSS TIMBERS ROYALTY TRUST TX 2.02,9.01 02/16/07 CYBEX INTERNATIONAL INC NY 7.01,9.01 02/16/07 DAKTRONICS INC /SD/ SD 5.02 02/15/07 DATASCOPE CORP DE 3.01 02/16/07 DAVITA INC DE 5.02,9.01 02/12/07 DAYTON SUPERIOR CORP DE 2.02,9.01 02/15/07 DECORIZE INC DE 5.02 02/16/07 DEFENSE INDUSTRIES INTERNATIONAL INC NV 8.01,9.01 02/16/07 DENNYS CORP DE 5.02 02/16/07 DIAMOND HILL INVESTMENT GROUP INC OH 2.02 12/31/06 DIGUANG INTERNATIONAL DEVELOPMENT CO. NV 7.01,9.01 02/16/07 DILLARDS INC DE 7.01,9.01 02/08/07 DISPATCH AUTO PARTS, INC. 2.01 02/14/07 DISPATCH AUTO PARTS, INC. 2.01,5.01 02/15/07 DOBSON COMMUNICATIONS CORP OK 2.02,8.01,9.01 02/14/07 Dragon Acquisition CORP E9 4.01,9.01 02/13/07 DREAMS INC UT 5.02 02/16/07 Eagle Bulk Shipping Inc. 7.01,9.01 02/16/07 EastBridge Investment Group Corp AZ 1.01 11/23/06 EastBridge Investment Group Corp AZ 1.01 12/03/06 EastBridge Investment Group Corp AZ 1.01 01/06/07 EASYLINK SERVICES CORP DE 1.01,5.02,9.01 02/08/07 ECHOSTAR COMMUNICATIONS CORP NV 8.01,9.01 02/15/07 EDAC TECHNOLOGIES CORP WI 5.02,9.01 02/12/07 EDGAR ONLINE INC DE 8.01,9.01 02/16/07 EDGETECH SERVICES INC NV 9.01 02/16/07 EFUNDS CORP DE 1.01,9.01 02/13/07 EL PASO CORP/DE DE 2.02,7.01,9.01 02/15/07 EL PASO EXPLORATION & PRODUCTION CO DE 2.02,7.01,8.01,9.01 02/15/07 Elite Artz, Inc NV 1.01,9.01 02/16/07 EMAGIN CORP DE 1.01,9.01 02/12/07 EMBARCADERO TECHNOLOGIES INC 2.02,5.02,8.01,9.01 02/12/07 Emerald Acquisition CORP E9 4.01,9.01 02/13/07 EN POINTE TECHNOLOGIES INC DE 2.02,9.01 02/12/07 ENCOMPASS HOLDINGS, INC. NV 8.01 02/16/07 ENDO PHARMACEUTICALS HOLDINGS INC DE 1.02,9.01 02/12/07 ENOVA SYSTEMS INC CA 4.01,9.01 01/31/07 AMEND ENTERCOM COMMUNICATIONS CORP PA 1.01,5.02 02/13/07 ENTERGY CORP /DE/ DE 2.03,5.03,9.01 02/16/07 ENVIRONMENTAL CONTROL CORP. NV 7.01 02/16/07 ESTERLINE TECHNOLOGIES CORP DE 8.01,9.01 02/16/07 EVERGREEN SOLAR INC DE 5.02 02/12/07 EXCELSIOR PRIVATE EQUITY FUND II INC MD 4.01,9.01 12/29/06 EXCELSIOR VENTURE PARTNERS III LLC DE 4.01,9.01 12/29/06 FACTORY CARD & PARTY OUTLET CORP DE 8.01 02/13/07 Falcon Ridge Development Inc. NV 4.01,9.01 02/13/07 Falcon Ridge Development Inc. NV 4.02 02/16/07 Federal Home Loan Bank of Des Moines X1 5.02 02/14/07 AMEND Federal Home Loan Bank of Pittsburgh PA 2.02,9.01 02/16/07 FEDERAL REALTY INVESTMENT TRUST MD 5.02 02/12/07 FIELDSTONE INVESTMENT CORP 8.01,9.01 02/16/07 FINANCIAL SECURITY ASSURANCE HOLDINGS NY 2.02,5.02,9.01 02/15/07 Find the World Interactive, Inc. DE 4.01,9.01 02/16/07 FIRST ADVANTAGE CORP DE 5.02 02/13/07 FIRST ADVANTAGE CORP DE 5.02,9.01 02/13/07 FIRST AMERICAN CAPITAL CORP /KS KS 1.01,3.02,7.01,9.01 02/14/07 FIRST BANCORP /PR/ PR 1.01,9.01 02/12/07 FIRST FINANCIAL CORP /TX/ TX 9.01 12/01/06 AMEND FIRST INTERSTATE BANCSYSTEM INC MT 8.01 02/15/07 FIRSTMERIT CORP /OH/ OH 7.01,8.01,9.01 02/15/07 FISCHER WATT GOLD CO INC NV 1.01,9.01 01/25/07 FNBH BANCORP INC MI 8.01,9.01 02/15/07 FPIC INSURANCE GROUP INC FL 2.02,9.01 02/16/07 FROZEN FOOD EXPRESS INDUSTRIES INC TX 5.02,8.01,9.01 02/14/07 FTI CONSULTING INC MD 2.02,7.01,8.01,9.01 02/14/07 Gales Industries Inc DE 5.02 02/13/07 GANDER MOUNTAIN CO MN 5.02 02/15/07 GARTNER INC DE 5.02,9.01 02/15/07 GENERAL CABLE CORP /DE/ DE 5.02 02/14/07 GENERAL MOTORS CORP DE 4.02,8.01,9.01 02/16/07 GENERAL NUTRITION CENTERS, INC. 8.01,9.01 02/15/07 GENERAL STEEL HOLDINGS INC NV 7.01,9.01 02/16/07 GEODYNE ENERGY INCOME LTD PARTNERSHIP OK 9.01 02/01/07 AMEND GEODYNE ENERGY INCOME LTD PARTNERSHIP OK 9.01 02/01/07 AMEND GEODYNE ENERGY INCOME LTD PARTNERSHIP OK 2.01,9.01 02/07/07 AMEND GEODYNE ENERGY INCOME LTD PARTNERSHIP OK 9.01 02/07/07 AMEND GEODYNE INSTITUTIONAL PENSION ENERGY OK 9.01 02/07/07 AMEND GEODYNE INSTITUTIONAL PENSION ENERGY TX 9.01 02/07/07 AMEND GeoMet, Inc. DE 8.01,9.01 02/15/07 GeoMet, Inc. DE 8.01,9.01 02/16/07 GERMAN AMERICAN BANCORP, INC. IN 5.02,5.03,9.01 02/12/07 GLOBALNET CORP NV 1.01,2.03,3.02,9.01 02/12/07 GLOBIX CORP DE 5.02,9.01 02/12/07 GMAC LLC DE 4.02 02/14/07 Golden Aria Corp. 5.02 02/15/07 GOLDEN GRAIN ENERGY 5.02 02/12/07 GOODYEAR TIRE & RUBBER CO /OH/ OH 2.02 02/16/07 GORMAN RUPP CO OH 2.02,9.01 02/15/07 Great Lakes Dredge & Dock CORP DE 2.02,9.01 02/16/07 GREAT WEST LIFE & ANNUITY INSURANCE C CO 9.01 12/31/06 GREENMAN TECHNOLOGIES INC DE 4.01,9.01 02/12/07 AMEND GREY WOLF INC TX 5.02 02/12/07 GROEN BROTHERS AVIATION INC /UT/ UT 1.01,9.01 02/13/07 GSAMP Trust 2007-FM1 DE 8.01,9.01 01/30/07 GUARANTY FEDERAL BANCSHARES INC DE 5.02 02/12/07 GYRODYNE CO OF AMERICA INC NY 1.01,1.02,9.01 02/12/07 HANDHELD ENTERTAINMENT, INC. DE 3.01,8.01,9.01 02/12/07 Hanesbrands Inc. MD 5.02 02/13/07 HANGER ORTHOPEDIC GROUP INC DE 2.02,9.01 02/13/07 HANSEN MEDICAL INC 5.02,5.03,9.01 02/14/07 HARTFORD FINANCIAL SERVICES GROUP INC DE 1.01,2.03,9.01 02/12/07 HARTFORD LIFE INSURANCE CO CT 9.01 02/16/07 HILB ROGAL & HOBBS CO VA 1.01,9.01 02/12/07 Home Equity Asset Trust 2007-1 DE 8.01,9.01 02/16/07 HOME FEDERAL BANCORP IN 5.02,9.01 02/16/07 HOME PROPERTIES INC MD 5.02,9.01 02/14/07 HORMEL FOODS CORP /DE/ DE 2.02,9.01 02/16/07 HOSPITALITY PROPERTIES TRUST MD 5.03,8.01,9.01 02/15/07 HOTEL OUTSOURCE MANAGEMENT INTERNATIO DE 8.01 02/13/07 HouseValues, Inc. WA 2.05 01/22/07 HUGOTON ROYALTY TRUST TX 2.02,9.01 02/16/07 IBF VI GUARANTEED INCOME FUND 2.01,9.01 02/07/07 ICAGEN INC DE 5.02 02/12/07 IDEARC INC. DE 7.01,9.01 02/16/07 IDEX CORP /DE/ DE 7.01,9.01 02/14/07 IDT CORP DE 5.02,9.01 02/14/07 ILLUMINA INC DE 1.01,2.03,3.02,8.01,9.01 02/12/07 IMAX CORP A6 5.02,9.01 02/15/07 INFOSONICS CORP 1.01,9.01 02/16/07 INPUT OUTPUT INC DE 1.01,9.01 02/13/07 INSIGHT COMMUNICATIONS CO INC DE 1.01,9.01 02/12/07 INSIGHT MIDWEST LP DE 1.01,9.01 02/12/07 INSPIRE PHARMACEUTICALS INC DE 9.01 02/16/07 INTEGRAL SYSTEMS INC /MD/ MD 2.02,9.01 02/13/07 INTEGRATED SILICON SOLUTION INC DE 3.01 02/13/07 INTERNAL HYDRO INTERNATIONAL INC NV 5.02 02/13/07 INTERNAP NETWORK SERVICES CORP DE 8.01,9.01 02/13/07 INTERNAP NETWORK SERVICES CORP DE 8.01,9.01 02/15/07 INTERNAP NETWORK SERVICES CORP DE 8.01,9.01 02/16/07 INTERNATIONAL FOOD PRODUCTS GROUP INC NV 4.01 02/12/07 INTERNATIONAL PAPER CO /NEW/ NY 5.02,9.01 02/12/07 INTERNET CAPITAL GROUP INC DE 2.02,9.01 02/16/07 INTERSTATE BAKERIES CORP/DE/ DE 1.01,5.02,9.01 02/16/07 IONATRON, INC. DE 5.02 02/14/07 J P MORGAN CHASE & CO DE 9.01 02/13/07 J P MORGAN CHASE & CO DE 9.01 02/15/07 JACKSONVILLE BANCORP INC /FL/ FL 2.02,9.01 02/15/07 JAGGED PEAK, INC. NV 7.01,9.01 02/16/07 JARDEN CORP DE 1.01,2.03,5.02,9.01 02/12/07 K2 INC DE 2.02,5.02,8.01,9.01 02/12/07 KEANE, INC. MA 8.01 02/14/07 KENDLE INTERNATIONAL INC OH 2.02,9.01 02/16/07 KIMBALL INTERNATIONAL INC IN 8.01,9.01 02/15/07 KODIAK ENERGY, INC. DE 1.01,3.02,9.01 02/15/07 Kohlberg Capital CORP DE 1.01,2.03,9.01 02/14/07 KREISLER MANUFACTURING CORP DE 1.01,5.02,9.01 02/13/07 KRISPY KREME DOUGHNUTS INC NC 3.02,8.01 02/14/07 LAIDLAW INTERNATIONAL INC DE 1.01,9.01 02/14/07 LAIDLAW INTERNATIONAL INC DE 7.01,9.01 02/16/07 LAMSON & SESSIONS CO OH 2.02,9.01 02/16/07 LANDMARK LAND CO INC/DE DE 1.01,9.01 02/15/07 LAS VEGAS GAMING INC NV 3.03,8.01,9.01 02/12/07 LEAPFROG ENTERPRISES INC 2.02,9.01 02/14/07 LEARNING TREE INTERNATIONAL INC DE 3.01,9.01 02/12/07 Lev Pharmaceuticals Inc DE 3.02,8.01 02/15/07 LEXICON GENETICS INC/TX DE 5.02,9.01 02/13/07 LIBBEY INC DE 7.01,9.01 02/15/07 LINCARE HOLDINGS INC DE 2.02,9.01 02/12/07 LITHIA MOTORS INC OR 2.02,9.01 02/15/07 LMI AEROSPACE INC MO 2.02,8.01,9.01 02/13/07 LOGICVISION INC DE 5.02 02/16/07 LOJACK CORP MA 5.02 02/09/07 LUFKIN INDUSTRIES INC TX 2.02,9.01 02/15/07 M I HOMES INC OH 5.02,9.01 02/13/07 MARATHON OIL CORP DE 2.02 02/14/07 MARLIN BUSINESS SERVICES CORP 2.02,9.01 02/15/07 MARTEN TRANSPORT LTD DE 1.01,9.01 02/12/07 MASTR Adjustable Rate Mortgages Trust DE 8.01,9.01 02/16/07 AMEND MASTR Adjustable Rate Mortgages Trust 8.01,9.01 02/16/07 AMEND MASTR Asset Securitization Trust 2006 DE 8.01,9.01 02/16/07 AMEND Matador Acquisition CORP E9 4.01,9.01 02/13/07 MB SOFTWARE CORP CO 4.01 02/15/07 AMEND MEDAREX INC NJ 5.02,9.01 02/12/07 MEDICINES CO /DE DE 5.02 02/13/07 MEDICINOVA INC DE 2.02 02/15/07 MEDIMMUNE INC /DE DE 7.01 02/16/07 MENS WEARHOUSE INC TX 5.02 02/14/07 METLIFE INC DE 8.01,9.01 02/16/07 MFA MORTGAGE INVESTMENTS MD 2.02,7.01,9.01 02/16/07 MIDWEST AIR GROUP INC WI 8.01,9.01 02/12/07 MILLENNIUM BANKSHARES CORP VA 2.02,8.01,9.01 02/14/07 MILLENNIUM CELL INC DE 1.01,3.02,9.01 02/15/07 MILLS CORP DE 1.01,1.02,2.03,3.02,3.03, 02/16/07 8.01, 9.01 MIPS TECHNOLOGIES INC DE 3.01,9.01 02/15/07 Morgan Stanley ABS Capital I Inc. IXI DE 2.01,9.01 01/30/07 Morgan Stanley Mortgage Loan Trust 20 DE 8.01,9.01 01/31/07 Morgan Stanley Mortgage Loan Trust 20 DE 8.01,9.01 01/31/07 MOSAIC CO 7.01,9.01 02/16/07 MTI TECHNOLOGY CORP DE 5.02 02/12/07 NASHUA CORP MA 2.02,9.01 02/15/07 National CineMedia, Inc. DE 1.01,2.03,5.02,8.01,9.01 02/12/07 NATIONAL ENERGY GROUP INC DE 5.02 02/15/07 NATURES SUNSHINE PRODUCTS INC UT 8.01,9.01 02/13/07 nCoat, Inc. DE 1.01,2.01,3.02,4.01,5.03,5.06, 02/02/07 AMEND 9.01 NCR CORP MD 5.02 02/12/07 NESTOR INC DE 8.01 02/16/07 NII HOLDINGS INC DE 5.02 02/12/07 Nissan Auto Receivables 2007-A Owner DE 1.01,9.01 02/14/07 Nissan Auto Receivables 2007-A Owner DE 8.01,9.01 02/14/07 NORTH AMERICAN GALVANIZING & COATINGS DE 7.01 02/14/07 NORTHWEST AIRLINES CORP DE 8.01,9.01 02/15/07 NOTIFY TECHNOLOGY CORP CA 2.02,9.01 02/16/07 NYMEX HOLDINGS INC DE 8.01,9.01 02/14/07 NYSE Group, Inc. DE 8.01 02/16/07 OGE ENERGY CORP OK 2.02,9.01 02/16/07 OKLAHOMA GAS & ELECTRIC CO OK 2.02,9.01 02/16/07 OLD DOMINION ELECTRIC COOPERATIVE VA 5.02 02/13/07 OLD POINT FINANCIAL CORP VA 7.01,9.01 02/15/07 ONEIDA FINANCIAL CORP DE 1.01,9.01 02/14/07 ONLINE RESOURCES CORP DE 5.02 02/16/07 ONVIA INC DE 2.02,9.01 02/15/07 ORBIT E COMMERCE INC NV 4.01 02/13/07 P F CHANGS CHINA BISTRO INC 2.02,9.01 02/14/07 PACIFIC STATE BANCORP 2.02,9.01 02/15/07 PACIFICNET INC DE 5.02 02/09/07 PAULSON CAPITAL CORP OR 8.01,9.01 02/16/07 PENSON WORLDWIDE INC DE 1.01,8.01,9.01 02/16/07 PEOPLES COMMUNITY BANCORP INC /MD/ MD 2.02,9.01 02/14/07 PEOPLES FINANCIAL SERVICES CORP/ PA 1.01 02/15/07 PEP BOYS MANNY MOE & JACK PA 1.01,9.01 02/15/07 Permanent Funding (No. 2) LTD X0 8.01,9.01 02/16/07 PHHMC Series 2007-1 Trust DE 9.01 02/07/07 PHOTOWORKS INC /WA WA 2.02,9.01 02/15/07 PHOTRONICS INC CT 2.02,9.01 02/14/07 PLURISTEM LIFE SYSTEMS INC NV 7.01,9.01 02/14/07 PNM RESOURCES INC NM 5.02,9.01 02/16/07 PONIARD PHARMACEUTICALS, INC. WA 8.01,9.01 02/09/07 POWER ONE INC DE 5.02,9.01 02/16/07 POZEN INC /NC 5.02 02/14/07 PRAECIS PHARMACEUTICALS INC DE 3.01,3.02,5.02,5.03,8.01,9.01 02/16/07 PRECISION CASTPARTS CORP OR 5.02 02/15/07 PRIDE INTERNATIONAL INC DE 8.01,9.01 12/29/06 AMEND PRO PHARMACEUTICALS INC NV 4.02,9.01 02/13/07 PSYCHEMEDICS CORP DE 5.02 02/16/07 PSYCHIATRIC SOLUTIONS INC DE 2.02,9.01 02/15/07 PUBLIC SERVICE CO OF COLORADO CO 8.01 02/14/07 QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 4.01,9.01 02/14/07 QUEST DIAGNOSTICS INC DE 1.01,9.01 02/12/07 QUESTAR CORP UT 5.02,9.01 02/13/06 RALCORP HOLDINGS INC /MO MO 5.02,9.01 02/08/07 AMEND RALI Series 2007-QS2 Trust DE 8.01,9.01 02/16/07 AMEND RBS GLOBAL INC DE 7.01,9.01 02/15/07 READERS DIGEST ASSOCIATION INC DE 8.01,9.01 02/16/07 READERS DIGEST ASSOCIATION INC DE 7.01,9.01 02/16/07 Regency Energy Partners LP DE 3.01,5.02,9.01 02/12/07 REMINGTON ARMS CO INC/ DE 5.02 01/27/07 RENHUANG PHARMACEUTICALS INC NV 7.01,9.01 02/14/07 REPTRON ELECTRONICS INC FL 1.01,2.01,3.03,5.01,8.01,9.01 02/15/07 Ridgewood Energy O Fund LLC 2.06 02/12/07 ROGERS CORP MA 8.01,9.01 02/16/07 Rosetta Resources Inc. DE 7.01 02/16/07 RUB A DUB SOAP INC CO 3.02 02/14/07 Ruby Growth CORP E9 4.01,9.01 02/13/07 Sally Beauty Holdings, Inc. 1.01,2.03,7.01,9.01 02/15/07 SAN HOLDINGS INC CO 2.02,5.02,9.01 02/13/07 SAVE THE WORLD AIR INC NV 5.02,9.01 02/12/07 SCHMITT INDUSTRIES INC OR 1.01,9.01 02/12/07 SCIENTIFIC GAMES CORP DE 1.01,9.01 02/15/07 SEITEL INC DE 1.01,2.01,2.03,5.01,5.02,5.03, 02/14/07 8.01,9.01 SENTO CORP UT 2.05,4.01,5.02,7.01,9.01 02/06/07 SIERRA PACIFIC RESOURCES /NV/ NV 2.02,9.01 02/16/07 SIERRA PACIFIC RESOURCES /NV/ NV 8.01,9.01 02/14/07 SIGMA ALDRICH CORP DE 1.01 02/16/07 SIMON PROPERTY GROUP INC /DE/ DE 8.01,9.01 02/16/07 Smart-tek Solutions Inc NV 4.01,9.01 02/10/07 SMUCKER J M CO OH 2.02,9.01 02/16/07 Somaxon Pharmaceuticals, Inc. DE 7.01,9.01 02/13/07 SONIC AUTOMOTIVE INC DE 5.02 02/13/07 SONIC SOLUTIONS/CA/ CA 3.01,9.01 02/13/07 SOURCE INTERLINK COMPANIES INC DE 5.02,7.01,9.01 02/14/07 SOUTHWEST WATER CO DE 8.01,9.01 02/16/07 ST JOE CO FL 5.02,9.01 02/12/07 STANCORP FINANCIAL GROUP INC OR 5.02,8.01,9.01 02/12/07 STANDARD PARKING CORP DE 8.01,9.01 02/15/07 STARWOOD HOTEL & RESORTS WORLDWIDE IN MD 1.01 02/12/07 StatSure Diagnostic Systems, Inc. DE 8.01,9.01 02/14/07 STEELCLOUD INC VA 8.01,9.01 01/26/07 STEN CORP MN 1.01,8.01,9.01 02/16/07 STEPAN CO DE 5.02,9.01 02/13/07 STEWART INFORMATION SERVICES CORP DE 2.02,9.01 02/16/07 STRATASYS INC DE 2.02,9.01 02/15/07 STRONGHOLD TECHNOLOGIES INC NV 1.01,2.03,3.02,9.01 02/12/07 Sugar Creek Financial Corp X1 1.01,9.01 02/12/07 SUNTRUST BANKS INC GA 5.02,8.01,9.01 02/13/07 SUNTRUST BANKS INC GA 4.01 02/12/07 AMEND Super Luck, Inc. DE 4.02,9.01 07/24/06 AMEND SUPERCLICK INC WA 1.01,9.01 01/16/07 Superior Wholesale Inventory Financin DE 8.01,9.01 02/13/07 TACTICAL AIR DEFENSE SERVICES, INC. NV 5.02,9.01 02/16/07 AMEND Targa Resources Partners LP DE 1.01,2.01,2.03,3.02,5.03,7.01, 02/14/07 9.01 TECHTEAM GLOBAL INC DE 2.02,9.01 02/15/07 TEL INSTRUMENT ELECTRONICS CORP NJ 2.02 02/15/07 TEREX CORP DE 2.02,9.01 02/15/07 THERMOENERGY CORP AK 8.01 02/09/07 THINK PARTNERSHIP INC NV 1.02,5.02 02/16/07 THINKENGINE NETWORKS, INC. 1.01,9.01 02/15/07 TIDELANDS OIL & GAS CORP/WA NV 1.01,9.01 02/14/07 Tiger Growth CORP E9 4.01,9.01 02/13/07 TNR TECHNICAL INC NY 4.01,9.01 02/16/07 TOOTSIE ROLL INDUSTRIES INC VA 8.01 12/31/06 TOREADOR RESOURCES CORP DE 5.02 02/12/07 TOWER TECH HOLDINGS INC. NV 7.01 02/12/07 TREDEGAR CORP VA 2.02,9.01 02/15/07 TREX CO INC DE 1.01,2.03 02/12/07 TRIAD FINANCIAL CORP CA 5.02 02/14/07 TRIBUNE CO DE 5.02 02/13/07 TRULITE INC DE 4.01,9.01 02/12/07 TULLYS COFFEE CORP 2.02,9.01 02/14/07 TURBOSONIC TECHNOLOGIES INC DE 5.02 02/16/07 U. S. Premium Beef, LLC 7.01,9.01 02/16/07 uBid.com Holdings, Inc. DE 5.02,9.01 02/13/07 UGODS, INC. NV 1.01,9.01 02/16/07 Uni-Pixel DE 1.01,3.02,5.03,8.01,9.01 02/13/07 UNITED DOMINION REALTY TRUST INC MD 8.01,9.01 02/16/07 UNITED HERITAGE CORP UT 8.01,9.01 02/16/07 UNITED STATIONERS INC DE 2.02,9.01 02/15/07 UNIVERSAL HEALTH SERVICES INC DE 8.01,9.01 02/16/07 UNIVISION COMMUNICATIONS INC DE 7.01 02/16/07 URANIUM RESOURCES INC /DE/ DE 8.01,9.01 02/16/07 USA VIDEO INTERACTIVE CORP WY 8.01,9.01 02/14/07 VALCOM, INC DE 4.01,9.01 02/15/07 VERAMARK TECHNOLOGIES INC DE 2.02 02/16/07 VERTIS INC DE 5.02 02/14/07 VIDEO DISPLAY CORP GA 5.02 02/16/07 VIRTRA SYSTEMS INC TX 2.03,5.02 09/19/06 VIRTRA SYSTEMS INC TX 7.01,9.01 02/16/07 VISION SCIENCES INC /DE/ DE 2.02,9.01 02/14/07 VISTEON CORP DE 2.02,2.05,7.01,9.01 02/16/07 AMEND Vistula Communications Services, Inc. DE 1.01,9.01 02/12/07 VITACUBE SYSTEMS HOLDINGS INC NV 8.01,9.01 02/16/07 VOLKSWAGEN AUTO LEASE/LOAN UNDERWRITT DE 8.01,9.01 02/13/07 VOUGHT AIRCRAFT INDUSTRIES INC 5.02 02/16/07 VUBOTICS INC NV 5.02,8.01 02/16/07 WEYERHAEUSER CO WA 2.02,9.01 02/16/07 WINLAND ELECTRONICS INC MN 5.02,9.01 02/14/07 WINMARK CORP MN 1.01 02/12/07 WIRELESS RONIN TECHNOLOGIES INC MN 1.01,1.02,2.02,9.01 02/12/07 WORLDSTAR ENERGY, CORP. NV 1.01,9.01 02/12/07 XCEL ENERGY INC MN 8.01 02/14/07 XFormity Technologies, Inc. CO 4.01,9.01 01/31/07 AMEND XPENTION GENETICS INC 8.01,9.01 02/09/07 ZENITH NATIONAL INSURANCE CORP DE 8.01,9.01 02/16/07 ZIOPHARM ONCOLOGY INC 1.01,9.01 02/16/07 ZOOM TECHNOLOGIES INC DE 2.02,9.01 02/16/07