SEC NEWS DIGEST
Issue 2007-46 March 9, 2007
COMMISSION ANNOUNCEMENTS
SEC STAFF RELEASE REPORT CONCERNING EXAMINATIONS OF RETAIL OPTIONS
ORDER ROUTING AND EXECUTION PRACTICES
On March 8, the Commission's staff released a report summarizing the
results of recent examinations and analysis of routing and execution
practices in equity options. The "Report Concerning Examinations of
Options Order Routing and Execution" can be found on the Commission's
website at
http://www.sec.gov/news/studies/2007/optionsroutingreport.pdf.
The Commission's Office of Compliance Inspections and Examinations,
with the staff from the Division of Market Regulation, conducted a
series of examinations of the options order routing practices of eight
broker-dealers that have a significant amount of retail options order
flow. In addition, the Office of Economic Analysis conducted an
analysis of quote competition among the options markets.
Today's staff report describes broker-dealers' current order routing
practices, including the use of "smart routing" technology,
opportunities for price improvement for retail options orders, and
payment for order flow and internalization practices. Among other
things, the staff found the following.
* Many firms have begun to utilize order routing technology - often
called "smart routers" - to ensure that marketable retail customer
options orders are sent to the market displaying the best price.
* While there has been improvement in order routing firms' processes
to seek and obtain best execution for their retail customers' options
orders, multiple market centers often display the same best price, so
firms frequently rely on other competitive factors, such as payment
for order flow and other inducements, to determine to which market
center to route customer orders.
* The amount of quote competition in the options markets has increased
since 2000. For the most actively-traded options series, there are at
least four exchanges quoting at the NBBO for more than half of the
trading day, and the NBBO is at the minimum increment for a
significant portion of the trading day.
* Because standardized execution quality statistics are not provided
by each of the options exchanges, most firms analyze only the
execution quality provided to their own customer orders. The lack of
standardized, widely available execution quality data may affect
thorough best execution reviews by firms.
The Report concludes that these findings support the Commission's
efforts to encourage the options markets to quote in penny increments
and support the need for standardized execution quality data in best
execution analyses for the options market. (Press Rel. 2007-38)
ENFORCEMENT PROCEEDINGS
IN THE MATTER OF STEVEN LANDMANN
On March 9, the Commission issued an Order Instituting Administrative
Proceedings Pursuant to Rule 102(e) of the Commission's Rules of
Practice, Making Findings and Imposing Remedial Sanctions against
Steven J. Landmann. The Order finds that on Feb. 6, 2007, the
Commission filed a complaint against Landmann, alleging that, among
other things, Landmann, at the direction of others, engaged in a
fraudulent scheme which resulted in Engineered Support Systems, Inc.
(ESSI) filing materially false and misleading statements and/or
materially misstated financial statements in filings with the
Commission. The complaint alleged that Landmann, at the direction of
others, backdated company stock options to coincide with low points in
the closing market price for ESSI common stock, resulting in
approximately $20 million of ill-gotten benefits to ESSI insiders. The
complaint also alleged that Landmann, at the direction of others,
engaged in other manipulative stock option granting practices, such as
canceling and reissuing options that had fallen out-of-the-money and
issuing unauthorized options to non-employee directors. The Order also
finds that on Feb. 12, 2007, the court entered an order, by consent,
permanently enjoining Landmann from future violations of Section 17(a)
of the Securities Act of 1933, Sections 10(b), 13(b)(5), and 14(a) of
the Securities Exchange Act of 1934 and Rules 10b-5, 13b2-1, 13b2-2,
and 14a-9 thereunder, and from aiding and abetting violations 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, and ordering Landmann to
pay $518,972.50 in disgorgement, $108,099 in prejudgment interest, and
a $259,486 civil penalty.
Based on the above, the Order suspends Landmann from appearing or
practicing before the Commission as an accountant. Landmann consented
to the issuance of the Order without admitting or denying any of the
findings in the Order. (Rels. 34-55432; AAER-2574; File No. 3-12587)
IN THE MATTER OF CHRISTOPHER BRYAN
On March 9, 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 Sanctions against
Christopher Bryan, of Corona Del Mar, Calif. The Order finds that on
Nov. 21, 2006, a final judgment was entered by consent against Bryan
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. AirTrac, Inc., et al.,
Civil Action No. SACV 06-582 JVS (RNBx) (C.D. Cal.) in the U.S.
District Court for the Central District of California.
The Order further finds that the Commission's complaint alleged that,
in connection with the sale of AirTrac's securities, Bryan misused and
misappropriated investor funds, falsely stated to investors that
AirTrac was on the verge of signing lucrative contracts with several
large, well-known telecommunications firms, and falsely stated to
investors that AirTrac was preparing to conduct an initial public
offering and had applied for listing its stock on a securities
exchange. The complaint also alleged that Bryan and AirTrac sold
unregistered securities.
Based on the above, the Order bars Bryan from association with any
broker or dealer. Bryan consented to the issuance of the Order without
admitting or denying any of the findings in the Order, except he
admitted the final judgment entered in the civil action.
For further information, please see LR-19741A (June 27, 2006). (Rel.
34-55433; File No. 3-12588)
IN THE MATTER OF C. BURT DUREN, CPA
On March 9, the Commission issued an Order Instituting Administrative
Proceedings Pursuant to Rule 102(e) of the Commission's Rules of
Practice, Making Findings, and Imposing Remedial Sanctions against C.
Burt Duren. The Order finds that Duren, 46, was employed as Vice
President of Finance and Treasurer for One Price Clothing Stores, Inc.
until October 2003, when he was appointed as CFO of the company. The
Order further finds that on March 1, 2007, a final judgment was
entered against Duren, permanently enjoining him from future
violations of Section 17(a) of the Securities Act of 1933, Sections
10(b) and 13(b)(5) of the Securities and Exchange Act of 1934 and
Rules 10b-5, 13a-14, 13b2-1 and 13b2-2 thereunder, and aiding and
abetting violations 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, in the
civil action entitled SEC v. Leonard M. Snyder et Al., Civil Action
Number 7-05-2471-RBH, in the United States District Court for the
District of South Carolina. The Order also finds that the complaint in
the underlying injunctive action alleged, among other things, that in
order to increase One Price's allowable borrowings and avoid default
under its credit facility, Duren and others caused One Price to
falsely report as inventory merchandise that was ordered but never
shipped to the company. The complaint also alleged that this false
reporting of in-transit inventory was a default under the terms of One
Price's credit facility. Additionally, the complaint alleged that One
Price included the falsely inflated levels of inventory in its general
ledger and thus reported false and inflated levels of inventory in the
interim financial statements One Price filed with the Commission on
Forms 10-Q for the quarters ended May 3, Aug. 2, and Nov. 1, 2003.
Based on the above, Duren is suspended from appearing or practicing
before the Commission as an accountant. However, after three years
from the date of the order, Duren may request that the Commission
consider his reinstatement by submitting an application to resume
appearing or practicing before the Commission. Duren consented to the
issuance of the Order without admitting or denying any of the
allegations in the civil injunctive action. (Rels. 34-55434; AAER-
2575; File No. 3-12589)
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A proposed rule change, as modified by Amendment No. 1, filed by the
NASDAQ Stock Market to assess a fee for unsuccessful appeals under
Rule 11890 (SR-NASDAQ-2007-013) 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
March 12. (Rel. 34-55413)
A proposed rule change (SR-CBOE-2007-22) by the Chicago Board Options
Exchange to increase the class quoting limit in the option class NYSE
Group, Inc. (NYX), has become effective under Section 19(b)(3)(A) of
the Securities Exchange Act of 1934. Publication of the notice is
expected in the Federal Register during the week of March 12. (Rel.
34-55413)
A proposed rule change (SR-BSE-2007-10) filed by the Boston Stock
Exchange relating to Exchange fees and charges has become effective
under Section 19(b)(3)(A) under the Securities Exchange Act of 1934.
Publication is expected in the Federal Register during the week of
March 12. (Rel. 34-55419)
PROPOSED RULE CHANGE
The New York Stock Exchange filed a proposed rule change (SR-NYSE-
2007-19) under Section 19(b)(1) of the Securities Exchange Act of 1934
to waive certain listing fees. Publication of the proposal is expected
in the Federal Register during the week of March 12. (Rel. 34-55421)
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:
<publicinfo@sec.gov>. In most cases, this information is also
available on the Commission's website: <www.sec.gov>.
S-4 FREESCALE SEMICONDUCTOR INC, 6501 WILLIAM CANNON DRIVE, AUSTIN, TX,
78735, 5128952000 - 0 ($5,950,000,000.00) Non-Convertible Debt,
(File 333-141128 - Mar. 8) (BR. 10B)
S-8 China Media Group CORP, 9901 I.H. 10 WEST, SUITE 800, SAN ANTONIO, TX,
78230, 01186755 61657704 - 38,400,000 ($1,920,000.00) Equity,
(File 333-141129 - Mar. 8) (BR. 09A)
S-3ASR WEST PHARMACEUTICAL SERVICES INC, 101 GORDON DR, P O BOX 645,
LIONVILLE, PA, 19341-0645, 6105942900 - 0 ($0.00) Other,
(File 333-141130 - Mar. 8) (BR. 06B)
SB-2 Smartec Holdings Inc., 3702 SOUTH VIRGINIA STREET, #G12-401, RENO, NV,
89502, (775) 338-2598 - 1,250,000 ($25,000.00) Equity,
(File 333-141131 - Mar. 8) (BR. 06)
S-3 SLC STUDENT LOAN RECEIVABLES I INC, 750 WASHINGTON BOULEVARD,
9TH FLOOR, STAMFORD, CT, 06901, 203-975-6112 -
1,000,000 ($1,000,000.00) Asset-Backed Securities, (File 333-141134 -
Mar. 8) (BR. 05D)
S-8 MAPINFO CORP, ONE GLOBAL VIEW, TROY, NY, 12180, 5182856000 -
1,000,000 ($13,270,000.00) Equity, (File 333-141137 - Mar. 8) (BR. 03A)
S-3ASR CHEVRON CORP, 6001 BOLLINGER CANYON ROAD, SAN RAMON, CA, 94583,
925-842-1000 - 0 ($0.00) Non-Convertible Debt, (File 333-141138 -
Mar. 8) (BR. 04C)
S-8 EVANS BOB FARMS INC, 3776 S HIGH ST, COLUMBUS, OH, 43207, 6144421866 -
4,000,000 ($142,280,000.00) Equity, (File 333-141139 - Mar. 8) (BR. 05A)
S-8 RAVEN MOON ENTERTAINMENT INC, 2005 TREE FORK LANE, STE 101, LONGWOOD,
FL, 32750, 407-774-4462 - 1,000,000,000 ($100,000.00) Equity,
(File 333-141140 - Mar. 8) (BR. 05C)
SB-2 Outsiders Entertainment, Inc., 153 WEST 27TH STREET, NEW YORK, NY,
10001, 212-924-8877 - 1,300,000 ($13,000.00) Equity, (File 333-141141 -
Mar. 8) (BR. )
S-1 AECOM TECHNOLOGY CORP, 555 SOUTH FLOWER STREET, SUITE 3700,
LOS ANGELES, CA, 90071, 0 ($200,000,000.00) Equity, (File 333-141142 -
Mar. 8) (BR. 08)
SB-2 Titan Global Holdings, Inc., 407 INTERNATIONAL PARKWAY, SUITE #403,
RICHARDSON, TX, 75081, (972) 470-9100. -
8,140,000 ($10,622,700.00) Equity, (File 333-141143 - Mar. 8) (BR. 11B)
S-3 CHASE MORTGAGE FINANCE CORP, 194 WOOD AVENUE SOUTH,
C/O A HARDY EUBANKS III, ISELIN, NJ, 08830, 7322050600 -
1,000,000 ($1,000,000.00) Debt, (File 333-141145 - Mar. 8) (BR. 05D)
S-3ASR ALLIANT TECHSYSTEMS INC, 5050 LINCOLN DRIVE, EDINA, MN, 55436-1097,
9523513000 - 0 ($324,750,000.00) Debt Convertible into Equity,
(File 333-141151 - Mar. 8) (BR. 05A)
S-8 DOMTAR INC /CANADA, 395 DE MAISONNEUVE BLVD W, MONTREAL QUEBEC CANA,
A8, H3A 1L6, 5148485400 - 25,693,787 ($227,390,014.95) Equity,
(File 333-141152 - Mar. 8) (BR. 03A)
S-8 ZHONE TECHNOLOGIES INC, 7001 OAKPORT STREET, OAKLAND, CA, 94621,
5107777000 - 0 ($2,207,516.56) Equity, (File 333-141153 - Mar. 8)
(BR. 11B)
S-4 Williams Partners L.P., ONE WILLIAMS CENTER, TULSA, OK, 74172-0172,
(918) 573-2000 - 0 ($150,000,000.00) Non-Convertible Debt,
(File 333-141154 - Mar. 8) (BR. 02C)
F-10 ANGIOTECH PHARMACEUTICALS INC, 1618 STATION STREET, VANCOUVER, A1,
V6A 1B6, 0 ($325,000,000.00) Other, (File 333-141155 - Mar. 8) (BR. 01C)
S-4 Williams Partners L.P., ONE WILLIAMS CENTER, TULSA, OK, 74172-0172,
(918) 573-2000 - 0 ($600,000,000.00) Non-Convertible Debt,
(File 333-141156 - Mar. 8) (BR. 02C)
S-3ASR SKYWORKS SOLUTIONS INC, 20 SYLVAN ROAD, WOBURN, MA, 01801, 6179355150 -
0 ($200,000,000.00) Debt Convertible into Equity, (File 333-141157 -
Mar. 8) (BR. 10C)
SB-2 BLS Media, Inc., 1683 DUARTE DRIVE, HENDERSON, NV, 89014,
(702)450-2163 - 4,000,000 ($400,000.00) Equity, (File 333-141158 -
Mar. 8) (BR. )
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: <publicinfo@sec.gov>. In most cases, this
information is also available on the Commission's website: <www.sec.gov>.
STATE 8K ITEM NO.
NAME OF ISSUER CODE DATE COMMENT
21ST CENTURY HOLDING CO FL 2.02,9.01 03/08/07
ABERCROMBIE & FITCH CO /DE/ DE 7.01,9.01 03/08/07
ABLE ENERGY INC DE 2.04,9.01 01/10/07 AMEND
ABLEST INC DE 2.02,9.01 03/07/07
ACCENTURE LTD 8.01 03/08/07
ACE Securities Corp. Home Equity Loan DE 9.01 03/08/07
ACTEL CORP CA 7.01,9.01 03/08/07
ACTIVANT SOLUTIONS INC /DE/ DE 1.01,9.01 02/05/07
ACTIVISION INC /NY DE 8.01,9.01 02/27/07
AEROPOSTALE INC 5.02,7.01,9.01 03/08/07
AEROPOSTALE INC 7.01,9.01 03/08/07
AeroVironment Inc DE 2.02,9.01 03/08/07
AFFILIATED COMPUTER SERVICES INC DE 5.02 03/06/07
AIR METHODS CORP DE 2.02 03/08/07
Aircastle LTD D0 8.01,9.01 03/06/07
ALLIANCE BANCSHARES CALIFORNIA CA 2.02,9.01 02/20/07
ALLIANCE ONE INTERNATIONAL, INC. VA 1.01,2.03,9.01 03/02/07
ALLIN CORP DE 5.02,9.01 02/13/07
Allis Chalmers Energy Inc. DE 2.02,7.01,9.01 03/08/07
Alon USA Energy, Inc. DE 2.02,9.01 03/07/07
ALPHA INNOTECH CORP DE 2.02,9.01 03/05/07
ALPHA PRO TECH LTD DE 2.02,9.01 03/08/07
ALTAIR NANOTECHNOLOGIES INC A6 2.02,9.01 03/08/07
Altra Industrial Motion, Inc. DE 8.01,9.01 03/08/07
Altus Pharmaceuticals Inc. DE 5.02 03/04/07
AMEN PROPERTIES INC DE 5.02 03/07/07
AMERICAN ACCESS TECHNOLOGIES INC FL 2.02,9.01 03/07/07
AMERICAS CARMART INC TX 2.02,9.01 03/07/07
AMERICASBANK CORP MD 2.02,9.01 03/07/07
ANNALY CAPITAL MANAGEMENT INC MD 8.01,9.01 03/07/07
ANNALY CAPITAL MANAGEMENT INC MD 1.01,9.01 03/07/07
ANNTAYLOR STORES CORP DE 7.01,9.01 03/08/07
ANTHRACITE CAPITAL INC MD 2.02,8.01,9.01 03/08/07
ANWORTH MORTGAGE ASSET CORP MD 2.02,9.01 03/08/07
APOLLO INVESTMENT CORP MD 7.01 03/06/07
APPLIED DIGITAL SOLUTIONS INC MO 1.01,9.01 03/02/07
ARES CAPITAL CORP MD 2.02,5.02,7.01,9.01 03/08/07
ARI NETWORK SERVICES INC /WI WI 2.02,7.01,9.01 03/08/07
ARROW INTERNATIONAL INC PA 5.02,9.01 03/06/07
ASCENDIA BRANDS, INC. DE 5.02,7.01,9.01 03/07/07
ASG Consolidated LLC DE 8.01,9.01 03/08/07
ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 03/08/07
ASHWORTH INC DE 2.02,9.01 03/08/07
ASTA FUNDING INC DE 1.01,2.01,2.03,9.01 03/05/07
ATLAS AIR WORLDWIDE HOLDINGS INC DE 2.02,9.01 03/08/07
Aurora Oil & Gas CORP UT 8.01,9.01 03/08/07
AVALON PHARMACEUTICALS INC 1.01,9.01 03/05/07
B&G Foods, Inc. DE 2.02,7.01,9.01 03/08/07
BANCINSURANCE CORP OH 5.02 03/07/07
BANK JOS A CLOTHIERS INC /DE/ DE 8.01,9.01 03/08/07
BASIC ENERGY SERVICES INC 1.01,2.01,3.02,8.01,9.01 03/06/07
bebe stores, inc. CA 2.02,9.01 03/03/07
BELL MICROPRODUCTS INC CA 8.01,9.01 03/08/07
BIG 5 SPORTING GOODS CORP DE 2.02,9.01 03/08/07
BLACKBOARD INC DE 5.02 03/08/07
BLUE COAT SYSTEMS INC DE 2.02,9.01 03/08/07
BLUE RIVER BANCSHARES INC IN 5.02 03/07/07
BLUEFIRE ETHANOL FUELS INC NV 5.02,9.01 03/07/07
BLUEGREEN CORP MA 2.02,9.01 03/05/07
Boxwoods, Inc DE 4.01,9.01 01/17/07 AMEND
Boxwoods, Inc DE 4.01,9.01 01/17/07 AMEND
BRINKS CO VA 7.01 03/08/07
BROOKE CORP KS 2.02,9.01 03/06/07
BROWN SHOE CO INC NY 2.02,8.01,9.01 03/07/07
Burlington Coat Factory Investments H 2.02,9.01 03/08/07
CABOT MICROELECTRONICS CORP DE 5.02,5.03,9.01 03/05/07
Calamos Asset Management, Inc. /DE/ 5.03,9.01 03/05/07
CARDINAL FINANCIAL CORP VA 7.01,9.01 03/08/07
CARDTRONICS INC DE 2.02 03/08/07
CAREMARK RX INC DE 8.01,9.01 03/08/07
CARRIAGE SERVICES INC DE 2.02,9.01 03/07/07
CARRIER ACCESS CORP DE 1.01,2.01,9.01 03/02/07
CARROLLTON BANCORP MD 5.02,7.01,9.01 03/08/07
CASCADE NATURAL GAS CORP WA 1.01,2.03,9.01 03/08/07
CASELLA WASTE SYSTEMS INC DE 2.02,9.01 03/07/07
CASEYS GENERAL STORES INC IA 2.02,5.02,5.03,9.01 03/06/07
CBRL GROUP INC TN 7.01,9.01 03/07/07
CELLSTAR CORP DE 8.01,9.01 03/07/07
CENTENE CORP 5.02 03/06/07
CENTENE CORP 7.01,8.01,9.01 03/08/07
CENTRA FINANCIAL HOLDINGS INC WV 4.02 03/02/07
Chartwell International, Inc. NV 2.03,3.02,5.03,9.01 03/02/07
CHARYS HOLDING CO INC 1.01,2.01,2.03,3.02,9.01 09/01/06 AMEND
CHECKPOINT SYSTEMS INC PA 1.01,3.03,9.01 03/08/07
CHEESECAKE FACTORY INC DE 5.02,5.03,8.01,9.01 03/05/07
CHENIERE ENERGY INC DE 7.01,9.01 03/07/07
CHILDRENS PLACE RETAIL STORES INC 8.01,9.01 03/08/07
CHINA DIGITAL WIRELESS INC 5.02,8.01 03/08/07
China Media Group CORP TX 8.01,9.01 12/07/06 AMEND
CHINA SECURITY & SURVEILLANCE TECHNOL D8 8.01,9.01 03/08/07
CHIQUITA BRANDS INTERNATIONAL INC NJ 1.01,9.01 03/07/07
CHURCH & DWIGHT CO INC /DE/ DE 1.01 03/08/07
CINEMARK USA INC /TX TX 8.01,9.01 03/06/07
CITIGROUP INC DE 9.01 03/06/07
CITIZENS FINANCIAL CORP/DE/ DE 2.02,9.01 01/18/07 AMEND
CITIZENS INC CO 8.01,9.01 03/02/07
CLAIRES STORES INC DE 2.02,9.01 03/08/07
CLAYTON WILLIAMS ENERGY INC /DE DE 5.03,9.01 03/08/07
CLEVELAND CLIFFS INC OH 8.01 03/05/07
COCA COLA ENTERPRISES INC DE 5.02 03/03/07
COLUMBUS MCKINNON CORP NY 2.01,9.01 03/05/07
COMMUNICATIONS SYSTEMS INC MN 3.01,8.01,9.01 03/05/07
COMMUNITY CAPITAL BANCSHARES INC 1.02,5.02 03/02/07
COMPUTER SCIENCES CORP NV 7.01,9.01 03/02/07
COMTECH TELECOMMUNICATIONS CORP /DE/ DE 2.02,5.02,9.01 03/07/07
Consolidated Communications Holdings, DE 2.02,9.01 03/08/07
COOPER COMPANIES INC DE 2.02,9.01 03/08/07
CORPORATE BOND BACKED CERT TR SER 199 8.01,9.01 03/01/07
CORPORATE REALTY INCOME FUND I L P DE 2.01,8.01,9.01 02/28/07
COSTCO WHOLESALE CORP /NEW WA 2.02,9.01 03/08/07
Cougar Biotechnology, Inc. 1.01 03/02/07
CRITICAL THERAPEUTICS INC DE 5.02 03/02/07
CRM Holdings, Ltd. 2.02,9.01 03/08/07
CROSS A T CO RI 1.01,8.01,9.01 03/05/07
CROWN CASTLE INTERNATIONAL CORP DE 1.01,2.03,9.01 03/06/07
CROWN MEDIA HOLDINGS INC DE 2.02,9.01 03/08/07
CROWN MEDIA HOLDINGS INC DE 8.01,9.01 03/08/07
CSG SYSTEMS INTERNATIONAL INC DE 5.02 03/06/07
CTI GROUP HOLDINGS INC DE 2.01,9.01 12/22/06 AMEND
CUTTER & BUCK INC WA 2.02,7.01,9.01 03/08/07
CV THERAPEUTICS INC DE 8.01,9.01 03/06/07
CVS CORP DE 8.01,9.01 03/08/07
DAVITA INC DE 5.02,5.03,9.01 03/02/07
DAYTON POWER & LIGHT CO OH 8.01,9.01 03/05/07
DEB SHOPS INC PA 2.02,9.01 03/08/07
Delek US Holdings, Inc. 2.02,5.02,9.01 03/06/07
DELTA FINANCIAL CORP DE 2.02,9.01 12/31/06
DEPOMED INC CA 5.02 02/26/07
DESTINY MEDIA TECHNOLOGIES INC CO 8.01,9.01 03/05/07
Diamond Foods Inc DE 2.02,9.01 03/08/07
DIEDRICH COFFEE INC CA 2.01,9.01 02/02/07 AMEND
DIGIMARC CORP DE 2.02,9.01 03/08/07
DigitalPost Interactive, Inc. NV 4.01,9.01 03/08/07
DIRECT GENERAL CORP 8.01,9.01 03/08/07
DOCUMENT SECURITY SYSTEMS INC NY 2.02,9.01 03/08/07
DOLLAR GENERAL CORP TN 7.01,9.01 03/08/07
DOMINION HOMES INC OH 1.01,9.01 03/02/07
DONEGAL GROUP INC DE 8.01 03/07/07
DPL INC OH 8.01,9.01 03/05/07
DSLA 2007-AR1 DE 7.01,8.01,9.01 02/22/07
Duke Energy CORP DE 5.02,9.01 03/02/07
Duncan Energy Partners L.P. DE 7.01 03/07/07
DYNAMEX INC DE 2.02,7.01,9.01 03/07/07
EARTH BIOFUELS INC DE 5.02,8.01 03/05/07
EDAC TECHNOLOGIES CORP WI 2.02,9.01 03/05/07
EDGE PETROLEUM CORP DE 2.02,9.01 03/07/07
EL PASO ELECTRIC CO /TX/ TX 5.02 03/02/07
EMC INSURANCE GROUP INC IA 7.01 03/08/07
ENCOMPASS HOLDINGS, INC. NV 8.01 03/08/07
ENERGY CONVERSION DEVICES INC DE 5.02,9.01 03/05/07
Enterprise GP Holdings L.P. DE 7.01 03/07/07
ENTERPRISE PRODUCTS PARTNERS L P DE 7.01,9.01 03/07/07
Epic Bancorp 5.02,8.01 03/08/07
EQUICAP INC CA 1.01,9.01 03/07/07
EQUITY LIFESTYLE PROPERTIES INC MD 8.01 03/02/07
ESTERLINE TECHNOLOGIES CORP DE 2.02,9.01 03/05/07
EURONET WORLDWIDE INC DE 1.01,3.02,8.01,9.01 03/07/07
FACTORY CARD & PARTY OUTLET CORP DE 2.02,9.01 03/08/07
FAMILY DOLLAR STORES INC DE 2.02,8.01,9.01 03/07/07
FCB Bancorp CA 8.01 03/07/07
Federal Home Loan Bank of Atlanta X1 2.03 03/06/07
Federal Home Loan Bank of Boston X1 2.03 03/05/07
Federal Home Loan Bank of Chicago X1 2.03 03/06/07
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 03/05/07
Federal Home Loan Bank of Dallas 2.03 03/06/07
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 03/05/07
Federal Home Loan Bank of New York X1 2.03,9.01 03/06/07
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 03/05/07
Federal Home Loan Bank of San Francis X1 2.03 03/05/07
Federal Home Loan Bank of Seattle 2.03 03/07/07
Federal Home Loan Bank of Topeka 2.03 03/06/07
FEDERATED DEPARTMENT STORES INC /DE/ DE 8.01,9.01 03/07/07
FINISH LINE INC /IN/ IN 2.02,9.01 03/08/07
FIRST HARTFORD CORP ME 2.03 03/06/07
FIRST STATE BANCORPORATION NM 5.02,9.01 03/06/07
Fittipaldi Logistics, Inc. NV 1.01 01/30/07
FIVE STAR PRODUCTS INC DE 9.01 03/01/07 AMEND
FLEETWOOD ENTERPRISES INC/DE/ DE 2.02,9.01 03/08/07
Fluid Media Networks, Inc. 1.01,2.01,3.02,4.01,5.01,5.02,5.03,5.06,9.01 02/14/07 AMEND
FMS FINANCIAL CORP NJ 1.01,9.01 03/07/07
FOOT LOCKER INC NY 2.02,7.01,9.01 03/07/07
FOSTER L B CO PA 1.01,9.01 03/08/07
FREDERICK COUNTY BANCORP INC MD 4.01,9.01 03/08/07
FREMONT GENERAL CORP NV 8.01,9.01 03/07/07
FREMONT GENERAL CORP NV 1.01,9.01 03/07/07
FTD Group, Inc. 1.01,8.01,9.01 03/07/07
GAMETECH INTERNATIONAL INC DE 2.02,9.01 03/07/07
GAP INC DE 7.01,9.01 03/08/07
GENERAL CABLE CORP /DE/ DE 7.01,9.01 03/08/07
GENEVA ACQUISITION CORP DE 8.01,9.01 02/16/07 AMEND
GENIUS PRODUCTS INC DE 1.01,9.01 01/02/07
GENTA INC DE/ DE 1.01,9.01 03/07/07
GEOGLOBAL RESOURCES INC. DE 1.01,9.01 03/08/07
GEOPETRO RESOURCES CO 5.03 03/05/07
GLOBALSANTAFE CORP 7.01,9.01 03/08/07
GLOBETEL COMMUNICATIONS CORP DE 1.01 02/14/07
Golden West Brewing Company, Inc. CA 1.01,9.01 12/28/06
GRAFTECH INTERNATIONAL LTD DE 2.02,9.01 03/07/07
GRAHAM CORP DE 1.01,9.01 03/07/07
GRANITE CITY FOOD & BREWERY LTD MN 1.01,3.02,8.01,9.01 03/08/07
Greenwich Capital Commercial Funding 9.01 03/08/07
GULF ISLAND FABRICATION INC LA 5.02 03/01/07
GULF ISLAND FABRICATION INC LA 1.01 03/05/07
Halo Technology Holdings, Inc. NV 8.01 03/08/07
HALOZYME THERAPEUTICS INC NV 2.02,9.01 03/08/07
HANCOCK FABRICS INC DE 5.02,7.01,8.01,9.01 03/08/07
HANSEN NATURAL CORP DE 7.01 03/07/07
HANSEN NATURAL CORP DE 3.01,9.01 03/05/07
HEALTHTRONICS, INC. GA 2.02,7.01,9.01 03/05/07
HELIX BIOMEDIX INC DE 3.02 03/05/07
HELMERICH & PAYNE INC DE 5.02,8.01,9.01 03/07/07
HEMIS CORP NV 1.01 02/28/07
Henry Bros. Electronics, Inc. DE 1.01,2.02,5.02,9.01 03/02/07
HENRY SCHEIN INC DE 1.01 03/05/07
HERLEY INDUSTRIES INC /NEW DE 2.02,9.01 03/06/07
HICKORY TECH CORP MN 2.02,7.01,9.01 03/07/07
HOLLIS EDEN PHARMACEUTICALS INC /DE/ DE 8.01,9.01 03/08/07
HOSPITALITY PROPERTIES TRUST MD 8.01,9.01 03/07/07
HSBC Finance CORP 7.01,9.01 03/08/07
HSBC Finance CORP 8.01,9.01 03/08/07
HSI Asset Securitization CORP Trust 2 8.01,9.01 03/08/07
HYDRIL CO DE 5.02,9.01 03/02/07
ICO INC TX 7.01,9.01 03/08/07
IDEXX LABORATORIES INC /DE DE 5.02 03/02/07
IDT CORP DE 2.02,9.01 03/08/07
InfoSearch Media, Inc. DE 5.02 12/18/06 AMEND
INFOSONICS CORP 5.02 03/05/07
INFOUSA INC DE 8.01,9.01 03/08/07
INHIBITEX, INC. 2.02,9.01 03/08/07
INNODATA ISOGEN INC DE 2.02,9.01 03/08/07
INNOVATIVE CARD TECHNOLOGIES INC DE 8.01 03/08/07
INNOVATIVE SOLUTIONS & SUPPORT INC PA 7.01,9.01 03/07/07
INSIGHT ENTERPRISES INC DE 3.01,9.01 03/06/07
INSMED INC VA 1.01,9.01 03/07/07
INTERNAP NETWORK SERVICES CORP DE 8.01,9.01 03/05/07
INTERNATIONAL TEXTILE GROUP INC DE 1.01,1.02,3.02,5.03,9.01 03/02/07
INTERNET COMMERCE CORP DE 1.01,5.02,8.01,9.01 03/01/07
INTROGEN THERAPEUTICS INC 2.02,9.01 03/08/07
INVESTMENT TECHNOLOGY GROUP INC DE 8.01,9.01 03/08/07
IRON MOUNTAIN INC DE 5.02,9.01 03/07/07
ISIS PHARMACEUTICALS INC DE 2.02,9.01 03/08/07
ISRAMCO INC DE 2.01,2.03 03/02/07
ITC Holdings Corp. MI 2.02,9.01 03/07/07
IXYS CORP /DE/ DE 3.01 03/07/07
J P MORGAN CHASE & CO DE 9.01 03/06/07
JETBLUE AIRWAYS CORP DE 1.02,5.02 03/06/07
JONES SODA CO WA 2.02,9.01 03/08/07
K TRON INTERNATIONAL INC NJ 1.01 03/02/07
K2 INC DE 7.01 03/07/07
KAL ENERGY INC DE 1.01,5.02,9.01 03/01/07
KENTEX PETROLEUM INC NV 1.01,7.01,9.01 03/07/07
KERYX BIOPHARMACEUTICALS INC DE 2.02 03/08/07
KINDER MORGAN ENERGY PARTNERS L P DE 7.01 03/07/07
KINDER MORGAN MANAGEMENT LLC DE 7.01 03/07/07
KOHLS CORPORATION WI 7.01,9.01 03/08/07
KORN FERRY INTERNATIONAL DE 2.02,8.01,9.01 03/08/07
KRISPY KREME DOUGHNUTS INC NC 1.01,3.02,9.01 03/02/07
KUHLMAN COMPANY, INC MN 1.01 03/02/07
LA JOLLA PHARMACEUTICAL CO DE 8.01,9.01 03/08/07
LAKES ENTERTAINMENT INC MN 8.01,9.01 03/02/07
LAKES ENTERTAINMENT INC MN 1.01,1.02,2.01,9.01 03/02/07
LEVITT CORP FL 2.02 03/08/07
LIBERTY STAR GOLD CORP NV 7.01,9.01 03/02/07
LION INC/WA WA 2.02,9.01 03/08/07
LOCAL.COM DE 8.01,9.01 03/08/07
LUMERA CORP 2.02,7.01,9.01 03/08/07
Marine Park Holdings, Inc. DE 4.01,9.01 02/21/07 AMEND
MARKWEST ENERGY PARTNERS L P 7.01,9.01 03/07/07
MASTR ASSET BACKED SECURITIES TRUST 2 DE 7.01 02/06/07
MAUI LAND & PINEAPPLE CO INC HI 5.02 03/05/07
MAYS J W INC NY 2.02 03/08/07
McAfee, Inc. DE 5.02,9.01 03/05/07
MEDecision, Inc. PA 2.02,9.01 03/08/07
MEDICAL STAFFING NETWORK HOLDINGS INC DE 7.01,9.01 03/08/07
MEDIVATION, INC. DE 3.01,9.01 03/08/07
MEDTRONIC INC MN 5.02 03/08/07
MELT INC NV 4.02 03/07/07
Mercantile Bancorp, Inc. DE 1.01,9.01 03/02/07
Merisant Worldwide, Inc. DE 5.02,9.01 03/05/07
MERRILL LYNCH MORTGAGE INVESTORS TRUS DE 8.01,9.01 09/26/05 AMEND
MERRILL LYNCH MORTGAGE INVESTORS TRUS DE 8.01,9.01 10/25/05 AMEND
MERRILL LYNCH MORTGAGE INVESTORS TRUS DE 8.01,9.01 11/25/05 AMEND
MERRILL LYNCH MORTGAGE INVESTORS TRUS DE 8.01,9.01 12/27/05 AMEND
Merrill Lynch Mortgage Investors Trus DE 8.01,9.01 03/08/07
Merrill Lynch Mortgage Investors Trus DE 8.01,9.01 03/08/07
METABASIS THERAPEUTICS INC 2.02,9.01 03/08/07
Metabolic Research, Inc. IN 8.01,9.01 03/07/07
MICRO COMPONENT TECHNOLOGY INC MN 2.02,9.01 03/05/07
Mittal Steel USA Inc. DE 1.01,9.01 03/08/07
MOBILEPRO CORP DE 8.01 03/06/07
MOHEGAN TRIBAL GAMING AUTHORITY 5.02 03/04/07
MONEY CENTERS OF AMERICA, INC. DE 1.01,5.02 03/01/07
Morgan Stanley ABS Capital I Inc. Tru DE 8.01 03/02/07
Morgan Stanley ABS Capital I Inc. Tru DE 8.01 03/02/07
Morgan Stanley ABS Capital I Inc. Tru DE 8.01 03/02/07
Morgan Stanley ABS Capital I Inc. Tru DE 8.01 03/02/07
Morgan Stanley Capital I Trust 2007-H DE 8.01,9.01 02/28/07
Morgan Stanley Home Equity Loan Trust DE 8.01 03/02/07
MOTHERS WORK INC DE 5.02,9.01 03/02/07
MS STRUCTURED SATURNS SERIES 2002-1 DE 8.01 03/08/07
NANOVIRICIDES, INC. NV 1.01,9.01 03/07/07
National CineMedia, Inc. DE 1.01 03/02/07
NATIONAL SEMICONDUCTOR CORP DE 2.02,8.01,9.01 03/08/07
NaturalNano , Inc. NV 1.01,7.01,9.01 03/07/07
NATUREWELL INC CA 8.01,9.01 03/08/07
NATUREWELL INC CA 8.01,9.01 03/08/07
NBTY INC DE 7.01,9.01 03/07/07
Neenah Paper Inc DE 2.05,8.01,9.01 03/07/07
Neenah Paper Inc DE 2.01,9.01 03/07/07
Neiman Marcus, Inc. DE 2.02,9.01 03/08/07
Neiman Marcus, Inc. DE 2.02,7.01 03/08/07
NEPTUNE INDUSTRIES, INC. FL 4.01 03/07/07
NeuroMetrix, Inc. 1.01,3.03,9.01 03/07/07
NEW CENTURY FINANCIAL CORP MD 2.02,5.02,8.01,9.01 03/02/07
New York & Company, Inc. 7.01,9.01 03/08/07
NewGen Technologies, Inc NV 1.01 03/07/07
NEWS CORP 8.01,9.01 03/07/07
NEXEN INC A0 5.02 02/28/07
NITROMED INC DE 2.02,9.01 03/08/07
NOBLE CORP 7.01,9.01 03/08/07
NORD RESOURCES CORP DE 1.01,9.01 03/08/07
NORDSTROM INC WA 7.01 03/08/07
NORTH AMERICAN TECHNOLOGIES GROUP INC 1.01,2.03,9.01 03/07/07
NORTHWEST PIPELINE CORP DE 2.04 03/05/07
NORTHWESTERN CORP DE 8.01,9.01 03/08/07
NOVATEL WIRELESS INC DE 5.02,9.01 03/05/07
NYFIX INC DE 2.02,8.01,9.01 03/06/07
NYMAGIC INC NY 2.02,9.01 03/05/07
OCEANEERING INTERNATIONAL INC DE 1.01 03/08/07
OGE ENERGY CORP OK 8.01,9.01 03/08/07
OIL DRI CORPORATION OF AMERICA DE 2.02,9.01 02/27/07
Oilsands Quest Inc 1.01,3.02,8.01,9.01 03/06/07
OMNI ENERGY SERVICES CORP LA 1.01,9.01 03/02/07
OMNI ENERGY SERVICES CORP LA 2.01,9.01 03/02/07
OMNI ENERGY SERVICES CORP LA 2.01,9.01 03/02/07
Omrix Biopharmaceuticals, Inc. DE 2.02 03/08/07
OMTOOL LTD DE 5.02 02/23/07 AMEND
ON2 TECHNOLOGIES, INC. DE 2.02,9.01 03/08/07
ONLINE RESOURCES CORP DE 5.02 02/16/07 AMEND
Opteum Inc. MD 7.01,9.01 03/07/07
Option One Mortgage Loan Trust 2007-C DE 9.01 02/08/07
ORBIT INTERNATIONAL CORP DE 2.02 03/08/07
ORCHID CELLMARK INC 2.02,9.01 03/08/07
OSTEOTECH INC DE 2.02,9.01 03/08/07
PAR PHARMACEUTICAL COMPANIES, INC. DE 5.02,9.01 03/08/07
PAYLESS SHOESOURCE INC /DE/ DE 1.01,9.01 03/06/07
PENINSULA GAMING CORP. DE 2.02 03/07/07
PHH CORP MD 1.01,2.03,9.01 03/06/07
PIER 1 IMPORTS INC/DE DE 8.01,9.01 03/08/07
PINNACLE FOODS GROUP INC DE 8.01,9.01 03/08/07
PNC FINANCIAL SERVICES GROUP INC PA 2.01,9.01 03/02/07
POLYMEDICA CORP MA 8.01 03/07/07
Polypore, Inc. DE 2.02,9.01 03/07/07
PORTA SYSTEMS CORP DE 1.01 03/05/07
POWER EFFICIENCY CORP DE 1.01,3.02,9.01 03/02/07
PPG INDUSTRIES INC PA 7.01 03/08/07
PPOL INC CA 8.01,9.01 03/08/07
PROASSURANCE CORP DE 5.02 03/07/07
PROCENTURY CORP 7.01,9.01 03/08/07
PROCERA NETWORKS INC NV 9.01 08/31/06 AMEND
PROTON LABORATORIES INC WA 1.01 02/20/07
PS BUSINESS PARKS INC/CA CA 7.01,9.01 03/01/07
QAD INC DE 5.02 03/05/07
QUANTA SERVICES INC DE 5.02 03/02/07
QUIKSILVER INC DE 2.02,9.01 03/08/07
RAMP Series 2007-RS1 Trust DE 8.01,9.01 03/08/07
RASC Series 2007-EMX1 Trust DE 8.01,9.01 03/08/07
READERS DIGEST ASSOCIATION INC DE 1.01,1.02,2.01,2.03,3.01,3.02,5.01,5.02,5.03 03/08/07
REDHOOK ALE BREWERY INC WA 5.02 03/06/07
REGEN BIOLOGICS INC DE 1.01,3.02,3.03,5.03,7.01,9.01 03/02/07
REHABCARE GROUP INC DE 2.02,7.01,9.01 12/31/06
REPROS THERAPEUTICS INC. DE 5.02,9.01 03/07/07
Republic Property Trust MD 2.02,7.01,9.01 03/08/07
Resource Capital Corp. MD 2.02,9.01 12/31/06
RF MONOLITHICS INC /DE/ DE 1.01,9.01 03/08/07
RUSH ENTERPRISES INC \TX\ TX 5.02 03/06/07
SAFEGUARD SCIENTIFICS INC PA 2.02,9.01 03/08/07
SANDERS MORRIS HARRIS GROUP INC TX 2.02,4.02,7.01,9.01 03/07/07
SAVANNAH BANCORP INC GA 4.01 03/07/07
SCORES HOLDING CO INC UT 1.01,1.02,5.02,8.01,9.01 02/28/07
SCPIE HOLDINGS INC DE 2.02,9.01 03/08/07
Securitized Asset Backed Receivables 8.01 03/02/07
Securitized Asset Backed Receivables 8.01 03/02/07
SELIGMAN NEW TECHNOLOGIES FUND II INC MD 7.01,9.01 03/08/07
SELIGMAN NEW TECHNOLOGIES FUND, INC 7.01,9.01 03/08/07
SEMTECH CORP DE 2.02,7.01,9.01 03/08/07
Seneca Gaming Corp XX 1.01,9.01 03/02/07
Shea Development Corp. NV 5.03,9.01 03/02/07
Shea Development Corp. NV 1.01,2.01,3.02,5.01,5.02,
5.03,5.06,9.01 03/02/07
SIENA TECHNOLOGIES, INC. NV 1.01,2.03,9.01 03/02/07
SILVERLEAF RESORTS INC 2.02,9.01 03/07/07
SIMPLETECH INC CA 5.03,9.01 03/07/07
Skinny Nutritional Corp. 1.01,3.02 03/07/07
SKYSTAR BIO-PHARMACEUTICAL CO NV 4.01,9.01 02/28/07 AMEND
SMARTIRE SYSTEMS INC 1.01,2.03,3.02,9.01 03/08/07
SmartPros Ltd. DE 2.02,9.01 03/08/07
SOLAR ENERTECH CORP NV 1.01,3.02,9.01 03/07/07
SONOSITE INC 2.02,9.01 02/15/07 AMEND
SONUS NETWORKS INC DE 3.01,9.01 03/02/07
SOUNDVIEW HOME LOAN TRUST 2007-1 DE 7.01 02/16/07
Soundview Home Loan Trust 2007-NS1 DE 7.01 03/02/07
Soundview Home Loan Trust 2007-NS1 DE 9.01 03/02/07
SOUTHWEST GEORGIA FINANCIAL CORP GA 5.02,9.01 03/07/07
SPARK NETWORKS PLC X0 5.02 03/05/07
SPATIALIGHT INC NY 1.01,9.01 03/06/07
STANDARD PARKING CORP DE 2.02,7.01 03/07/07
STAPLES INC DE 5.02 03/06/07
STAR SCIENTIFIC INC DE 7.01,8.01,9.01 03/06/07
STRATS (SM) TRUST FOR JPMORGAN CHASE 8.01,9.01 03/01/07
STRATS SM TRUST FOR IBM CORP SEC SERI 8.01 03/05/07
STRATS SM TRUST FOR IBM CORP SEC SERI 8.01 03/01/07
STRATS SM TRUST FOR JPMORGAN CHASE & 8.01 03/05/07
Strats(SM) Trust for JPMorgan Chase C 8.01,9.01 03/01/07
STRATS(SM) Trust For Morgan Stanley S 8.01,9.01 03/01/07
SUMMIT HOTEL PROPERTIES LLC 1.01,2.03,9.01 03/05/07
SUN BANCORP INC /NJ/ NJ 5.02 02/21/07
SUN HEALTHCARE GROUP INC DE 2.02,9.01 03/08/07
SUPERCONDUCTOR TECHNOLOGIES INC DE 1.01 03/02/07
SUPERIOR ENERGY SERVICES INC DE 5.02,8.01 03/02/07
Surge Global Energy, Inc. 1.01,2.01,3.02,5.03,9.01 03/02/07
Syzygy Entertainment Ltd OH 2.01,7.01,9.01 02/16/07 AMEND
TALEO CORP DE 1.01,2.01,9.01 03/02/07
TARGETED GENETICS CORP /WA/ WA 5.01 03/02/07
TEAM FINANCIAL INC /KS KS 1.01,9.01 03/02/07
TEAMSTAFF INC NJ 5.02,8.01,9.01 03/02/07
TEAMSTAFF INC NJ 8.01,9.01 03/02/07
TECH DATA CORP FL 2.02,9.01 03/08/07
TEKELEC CA 5.02 03/06/07
TELESTONE TECHNOLOGIES CORP CO 8.01,9.01 03/08/07
TELOS CORP MD 8.01,9.01 03/08/07
TEPPCO PARTNERS LP DE 7.01,8.01,9.01 03/07/07
TERAYON COMMUNICATION SYSTEMS DE 5.02 03/06/07
TERCICA INC DE 2.02,9.01 03/08/07
TEREX CORP DE 5.02,9.01 03/06/07
TERRACE VENTURES INC NV 1.01,9.01 02/28/07 AMEND
TESCO CORP 2.02,9.01 03/08/07
TETRIDYN SOLUTIONS INC NV 7.01,9.01 03/07/07
THINKPATH INC A6 1.01,9.01 03/08/07
TOTAL LUXURY GROUP INC IN 9.01 03/06/07
TRADESTAR SERVICES, INC. NV 1.01,2.01,2.03,3.02,5.03,9.01 03/02/07
TRANSGENOMIC INC DE 2.02,9.01 03/08/07
TRINITY INDUSTRIES INC DE 5.02,5.03,9.01 03/05/04
TRINITY INDUSTRIES INC DE 5.02 12/14/06 AMEND
Trinsic, Inc. DE 5.02 03/02/07
TRUE RELIGION APPAREL INC NV 5.02,9.01 03/05/07
TURBOCHEF TECHNOLOGIES INC DE 2.02,9.01 03/08/07
U.S. Shipping Partners L.P. DE 8.01 03/08/07
UFP TECHNOLOGIES INC DE 2.02,9.01 03/07/07
UNITED RETAIL GROUP INC/DE DE 1.01,5.03,8.01 03/02/07
UNUMPROVIDENT CORP DE 5.02,9.01 03/07/07
URSTADT BIDDLE PROPERTIES INC MD 2.02,9.01 03/08/07
US BioEnergy CORP 5.02,9.01 03/07/07
US CONCRETE INC DE 1.01,2.03,9.01 03/02/07
USA Mobility, Inc DE 2.02,9.01 03/07/07
VA SOFTWARE CORP DE 1.01,5.02,9.01 03/07/07
VALASSIS COMMUNICATIONS INC DE 1.01,2.01,2.03,8.01,9.01 03/02/07
VCAMPUS CORP DE 3.02 03/07/07
VERAMARK TECHNOLOGIES INC DE 1.01,9.01 03/02/07
VeriChip CORP DE 2.02,9.01 03/08/07
VeriChip CORP DE 5.02,9.01 03/02/07
Viacom Inc. DE 5.02 03/05/07
VIASYS HEALTHCARE INC DE 5.02 03/02/07
VIRAGE LOGIC CORP CA 5.02,9.01 03/02/07
VIRAL GENETICS INC /DE/ DE 1.01,3.02,9.01 03/02/07
W&T OFFSHORE INC TX 2.02,9.01 03/08/07
Warner Chilcott Ltd D0 2.02,9.01 03/07/07
Warner Music Group Corp. DE 8.01,9.01 03/08/07
Washington Mutual Asset-Backed Certif DE 6.01 03/08/07
Waterbank of America (USA) Inc. UT 4.01,9.01 11/30/06 AMEND
WCI COMMUNITIES INC 5.02 03/02/07
WESCO INTERNATIONAL INC DE 8.01 03/08/07
WESTMORELAND COAL CO DE 1.01,9.01 03/08/07
WHOLE FOODS MARKET INC TX 5.02,8.01,9.01 03/05/07
WILLBROS GROUP INC R1 2.02,9.01 03/07/07
WIND RIVER SYSTEMS INC DE 2.02,9.01 03/08/07
WINNEBAGO INDUSTRIES INC IA 7.01,9.01 03/08/07
WISCONSIN ENERGY CORP WI 8.01 03/05/07