SEC NEWS DIGEST Issue 2007-72 April 16, 2007 COMMISSION ANNOUNCEMENTS SEC STAFF ANNOUNCES AVAILABILITY OF ANTI-MONEY LAUNDERING COMPLIANCE TOOL The Securities and Exchange Commission's staff today announced the availability of a new compliance tool to assist anti-money laundering (AML) compliance efforts by broker-dealers. The "AML Source Tool" is on the Commission's website at: http://www.sec.gov/about/offices/ocie/amlsourcetool.htm Broker-dealers have compliance obligations under statutory and regulatory provisions and related rules of the securities self- regulatory organizations (SROs). The AML Source Tool, developed by the SEC's Office of Compliance Inspections and Examinations (OCIE), compiles and organizes key AML laws, rules and related guidance applicable to broker-dealers and provides links to these materials to promote easy accessibility. "We're hoping that this AML Source Tool will assist broker-dealers with their AML compliance efforts," said Lori Richards, Director of OCIE. "It puts all AML requirements in one easy-to-reference location. While we initially developed the Source Tool for our own SEC examiners, we think it also will be an invaluable reference tool for broker-dealers and their internal AML compliance staff." The Commission's staff appreciates the assistance it received from the staff of the U.S. Treasury Department's Office of the Financial Crimes Enforcement Network (FinCEN) and Office of Foreign Assets and Control (OFAC), as well as from the NASD and NYSE. (Press Rel. 2007-67) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change (SR-NSX-2007-04) filed by the National Stock Exchange to extend the effective period for Rule 2.12 regarding third- party routing services in respect of orders entered into NSX BLADE 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 April 16. (Rel. 34-55624) SECURITIES ACT REGISTRATIONS The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be obtained in person or by writing to the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. 20549-1090 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . S-8 TAG IT PACIFIC INC, 21900 BURBANK BLVD., SUITE 270, WOODLAND HILLS, CA, 91367, 8184444100 - 2,922,500 ($3,726,188.00) Equity, (File 333-142078 - Apr. 13) (BR. 02B) S-3ASR ASHFORD HOSPITALITY TRUST INC, 14185 DALLAS PARKWAY SUITE 1100, DALLAS, TX, 75254, 9724909600 - 0 ($448,200,000.00) Equity, 0 ($0.00) Unallocated (Universal) Shelf, (File 333-142079 - Apr. 13) (BR. 08A) N-2 HIGHLAND FLOATING RATE ADVANTAGE FUND, TWO GALLERIA TOWER, 13455 NOEL ROAD, SUITE 1300, DALLAS, TX, 75240, 9726284100 - 0 ($1,566,250,000.00) Equity, (File 333-142080 - Apr. 13) (BR. 16) S-4 SBARRO INC, 401 BROADHOLLOW ROAD, MELVILLE, NY, 11747, 6317154100 - 0 ($150,000,000.00) Non-Convertible Debt, (File 333-142081 - Apr. 13) (BR. 05C) S-3 MASTEC INC, 800 DOUGLAS ROAD, 12TH FLOOR, CORAL GABLES, FL, 33134, 3055991800 - 0 ($2,188,000.00) Equity, (File 333-142083 - Apr. 13) (BR. 06C) S-4 MASTEC INC, 800 DOUGLAS ROAD, 12TH FLOOR, CORAL GABLES, FL, 33134, 3055991800 - 0 ($150,000,000.00) Non-Convertible Debt, (File 333-142085 - Apr. 13) (BR. 06C) S-8 PRICE T ROWE GROUP INC, 100 E PRATT ST, BALTIMORE, MD, 21202, 4103452000 - 0 ($36,240,000.00) Equity, (File 333-142092 - Apr. 13) (BR. 06A) SB-2 KRANTI RESOURCES, INC., 103 - 8318 120TH STREET, SURREY, A1, V3W 3N4, 604-716-2274 - 2,000,000 ($80,000.00) Equity, (File 333-142096 - Apr. 13) (BR. 04) S-8 ADVANCE DISPLAY TECHNOLOGIES INC, 7334 S. ALTON WAY, BUILDING 14, SUITE F, CENTENNIAL, CO, 80112, 3032670111 - 25,000,000 ($2,500,000.00) Debt, (File 333-142097 - Apr. 13) (BR. 11B) S-8 Sugar Creek Financial Corp, 28 WEST BROADWAY, TRENTON, IL, 62293, 618-224-9228 - 79,805 ($798,059.00) Equity, (File 333-142098 - Apr. 13) (BR. 07) SB-2 JAGGED PEAK, INC., 2701 N. ROCKY POINT DRIVE, SUITE 1250, TAMPA, FL, 33607, 800-430-1312 - 0 ($608,688.00) Equity, (File 333-142099 - Apr. 13) (BR. 03A) SB-2 PETROSEARCH ENERGY CORP, 675 BERING DRIVE, SUITE 200, HOUSTON, TX, 77057, 713 961-9337 - 12,270,719 ($16,496,892.00) Equity, (File 333-142100 - Apr. 13) (BR. 02A) S-8 KBR, INC., 601 JEFFERSON STREET, SUITE 3400, HOUSTON, TX, 77002, (713) 753-3011 - 2,982,972 ($62,538,007.98) Equity, (File 333-142101 - Apr. 13) (BR. 06C) S-4 WELLS FARGO & CO/MN, 420 MONTGOMERY STREET, SAN FRANCISCO, CA, 94163, 6126671234 - 19,444,000 ($652,320,000.00) Other, (File 333-142102 - Apr. 13) (BR. 07A) N-2 Delaware Investments Enhanced Global Dividend & Income Fund, 2005 MARKET STREET, PHILADELPHIA, PA, 19103, (800) 523-1918 - 100,000 ($2,000,000.00) Other, (File 333-142103 - Apr. 13) (BR. ) SB-2 Thomas Pharmaceuticals, Ltd., 750 HIGHWAY 34, MATAWAN, NJ, 07747, 732-441-7700 - 73,360,200 ($349,425.00) Asset-Backed Securities, (File 333-142104 - Apr. 13) (BR. 01) SB-2 Consolidation Services inc, 2756 N GreenValley Parkway, Ste 225, Henderson, NV, 89014, 7024991347 - 0 ($210,150,000.00) Equity, (File 333-142105 - Apr. 13) (BR. 02) S-3D ENTERPRISE PRODUCTS PARTNERS L P, 1100 LOUISIANA 10TH FLOOR, HOUSTON, TX, 77002, 7133816500 - 25,000,000 ($803,500,000.00) Equity, (File 333-142106 - Apr. 13) (BR. 04B) S-8 ELGRANDE INTERNATIONAL, INC., 1450 KOOTENAY STREET, VANCOUVER BC CANADA, A1, 00000, 604-689-0808 - 30,000,000 ($90,000.00) Equity, (File 333-142107 - Apr. 13) (BR. 02C) S-3 TransMontaigne Partners L.P., 1670 BROADWAY, SUITE 3100, DENVER, CO, 80202, 303-626-8200 - 0 ($1,000,000,000.00) Other, (File 333-142108 - Apr. 13) (BR. 04C) S-8 J P MORGAN CHASE & CO, 270 PARK AVE, 39TH FL, NEW YORK, NY, 10017, 2122706000 - 0 ($19,558,000,000.00) Equity, (File 333-142109 - Apr. 13) (BR. 07C) S-1 Silver State Bancorp, 400 N GREEN VALLEY PARKWAY, HENDERSON, NV, 89074, 0 ($90,000,000.00) Equity, (File 333-142110 - Apr. 13) (BR. ) S-8 VOIP INC, 151 SOUTH WYMORE ROAD, SUITE 3000, ALTAMONTE SPRINGS, FL, 32714, 407-389-3232 - 4,600,000 ($1,058,000.00) Equity, (File 333-142111 - Apr. 13) (BR. 11C) N-2 ING International High Dividend Equity Income Fund, 7337 E. DOUBLETREE RANCH ROAD, SCOTTSDALE, AZ, 85258, 8009920180 - 40,000 ($1,000,000.00) Equity, (File 333-142112 - Apr. 13) (BR. ) S-1 Horsehead Holding Corp, 300 frankfort RD, MONACA, PA, 15061, 15,812,500 ($213,468,750.00) Equity, (File 333-142113 - Apr. 13) (BR. ) S-3 IBIS TECHNOLOGY CORP, 32 CHERRY HILL DR, DANVERS, MA, 01923, 9787774247 - 0 ($3,357,497.00) Equity, (File 333-142115 - Apr. 13) (BR. 10B) S-B FEDERATIVE REPUBLIC OF BRAZIL, MINIST DA FEZANDA ESPLANADA DOS MINIST, BLOCO P ED ANEXO SALA A 071.70048-900, BRASILIA-DF, D5, 70071-970, 01155614123960 - 0 ($9,220,065,147.00) Non-Convertible Debt, (File 333-142116 - Apr. 13) (BR. DN) S-8 Veraz Networks, Inc., 926 ROCK AVENUE, SUITE 20, SAN JOSE, CA, 95131, 4087509575 - 0 ($12,748,679.36) Equity, (File 333-142117 - Apr. 13) (BR. 03C) S-3ASR ALEXANDRIA REAL ESTATE EQUITIES INC, 385 E. COLORADO BLVD, SUITE 299, PASADENA, CA, 91101, 6265780777 - 0 ($474,925,906.00) Equity, (File 333-142118 - Apr. 13) (BR. 08A) S-8 People's United Financial, Inc., C/O PEOPLE'S BANK, 850 MAIN STREET, BRIDGEPORT, CT, 06604, 203-338-4114 - 0 ($217,164,409.31) Equity, (File 333-142119 - Apr. 13) (BR. 07) S-4 Owens Corning, ONE OWENS CORNING PARKWAY, TOLEDO, OH, 43659, 419-248-8000 - 0 ($1,200,000,000.00) Non-Convertible Debt, (File 333-142120 - Apr. 13) (BR. 06C) SB-2 AETHLON MEDICAL INC, 7825 FAY AVENUE SUITE 200, LAJOLLA, CA, 92037, 2129120930 - 25,227,891 ($16,271,990.00) Equity, (File 333-142121 - Apr. 13) (BR. 10A) F-3 Gol Intelligent Airlines Inc., RUA TAMOIOS 246, JARDIM AEROPORTO, S?O PAULO, D5, 04630-000, 55 11 5033-4226 - 2,470,794 ($72,097,769.00) ADRs/ADSs, (File 333-142122 - Apr. 13) (BR. 05B) S-3 GASTAR EXPLORATION LTD, 1331 LAMAR STREET, SUITE 1080, HOUSTON, TX, 77010, 7137391800 - 0 ($250,000,000.00) Unallocated (Universal) Shelf, (File 333-142123 - Apr. 13) (BR. 04B) S-8 OPSWARE INC, 599 N MATHILDA AVENUE, SUNNYVALE, CA, 94086, 0 ($35,572,576.66) Equity, (File 333-142124 - Apr. 13) (BR. 03C) S-3 DIGIMARC CORP, 9405 SW GEMINI DRIVE, BEAVERTON, OR, 97008, 5034694800 - 0 ($90,000,000.00) Other, (File 333-142125 - Apr. 13) (BR. 03A) S-3 DATATRAK INTERNATIONAL INC, 6150 PARKLAND BLVD, SUITE 100, MAYFIELD HEIGHTS, OH, 44124, 4404430082 - 2,412,388 ($13,147,514.60) Equity, (File 333-142126 - Apr. 13) (BR. 03B) S-8 IAMGOLD CORP, 401 BAY STREET, SUITE 3200, TORONTO ONTARIO CANADA, A6, M5H 2Y4, 4163604710 - 8,969,921 ($69,063,199.00) Equity, (File 333-142127 - Apr. 13) (BR. 04B) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: 1.01 Entry into a Material Definitive Agreement 1.02 Termination of a Material Definitive Agreement 1.03 Bankruptcy or Receivership 2.01 Completion of Acquisition or Disposition of Assets 2.02 Results of Operations and Financial Condition 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant 2.04 Triggering Events That Accelerate or Increase a Direct Financial Obligation under an Off-Balance Sheet Arrangement 2.05 Cost Associated with Exit or Disposal Activities 2.06 Material Impairments 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 3.02 Unregistered Sales of Equity Securities 3.03 Material Modifications to Rights of Security Holders 4.01 Changes in Registrant's Certifying Accountant 4.02 Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review 5.01 Changes in Control of Registrant 5.02 Departure of Directors or Principal Officers; Election of Directors; Appointment of Principal Officers 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year 5.04 Temporary Suspension of Trading Under Registrant's Employee Benefit Plans 5.05 Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics 6.01. ABS Informational and Computational Material. 6.02. Change of Servicer or Trustee. 6.03. Change in Credit Enhancement or Other External Support. 6.04. Failure to Make a Required Distribution. 6.05. Securities Act Updating Disclosure. 7.01 Regulation FD Disclosure 8.01 Other Events 9.01 Financial Statements and Exhibits 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. 20549-1090 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT ------------------------------------------------------------------------------------------------------- AAON INC NV 5.02 04/10/07 ACE Securities Corp. Home Equity Loan DE 2.01,9.01 03/30/07 ACG HOLDINGS INC DE 1.01,9.01 04/09/07 ACROSS AMERICA REAL ESTATE CORP CO 1.01,2.03,7.01,9.01 04/12/07 ADVANCIS PHARMACEUTICAL CORP 1.01,3.02,9.01 04/09/07 AFS SenSub Corp. 1.01,9.01 04/11/07 Aftersoft Group DE 1.01,2.01,3.02,8.01,9.01 02/07/07 AMEND Aftersoft Group DE 1.01,2.01,4.02 12/30/05 AMEND ALCOA INC PA 2.02,9.01 04/10/07 AMBASSADORS INTERNATIONAL INC DE 2.03,3.02 04/13/07 AMERICAN BANK INC PA 2.02,9.01 10/10/06 AMERICAN PACIFIC CORP DE 5.04,9.01 04/13/07 AMERICAN PHYSICIANS CAPITAL INC MI 8.01,9.01 04/12/07 AMES NATIONAL CORP IA 2.02,9.01 04/13/07 AMTECH SYSTEMS INC AZ 5.02 04/11/07 ANADARKO PETROLEUM CORP DE 1.01,2.03,9.01 04/10/07 ANNTAYLOR STORES CORP DE 5.02,9.01 04/10/07 ARAMARK SERVICES INC DE 8.01,9.01 04/12/07 ARENA PHARMACEUTICALS INC DE 5.02,9.01 04/09/07 ARI NETWORK SERVICES INC /WI WI 2.01,9.01 01/26/07 AMEND ARIAD PHARMACEUTICALS INC DE 8.01,9.01 04/13/07 Armitage Mining Corp 5.03,9.01 02/14/07 ASHFORD HOSPITALITY TRUST INC MD 1.01,2.03,9.01 04/10/07 ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 04/12/07 ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 04/13/07 AVANIR PHARMACEUTICALS CA 4.01,9.01 04/10/07 AXSYS TECHNOLOGIES INC DE 1.01,2.01,9.01 04/13/07 BAKERS FOOTWEAR GROUP INC MO 2.02,7.01,9.01 04/10/07 BALLY TOTAL FITNESS HOLDING CORP DE 1.01,8.01,9.01 04/12/07 Banc of America Alternative Loan Trus DE 8.01,9.01 03/29/07 Banc of America Funding 2007-B Trust DE 8.01,9.01 03/30/07 BANK JOS A CLOTHIERS INC /DE/ DE 8.01,9.01 04/12/07 BANK OF AMERICA CORP /DE/ DE 7.01,9.01 04/13/07 BANK OF FLORIDA CORP FL 8.01,9.01 04/13/07 Basin Water, Inc. DE 5.02,9.01 04/09/07 BAUSCH & LOMB INC NY 1.01,5.02,9.01 04/09/07 Bear Stearns Commercial Mortgage Secu DE 8.01,9.01 03/29/07 BEARINGPOINT INC DE 1.01 04/11/07 BIOMARIN PHARMACEUTICAL INC DE 1.01 04/04/07 BIOMIMETIC THERAPEUTICS, INC. DE 5.02 04/10/07 BLOCKBUSTER INC DE 5.02,9.01 04/11/07 BODYTEL SCIENTIFIC INC. NV 5.02,5.03,8.01,9.01 03/16/07 BOK FINANCIAL CORP ET AL OK 5.02 04/11/07 BON TON STORES INC PA 8.01 04/13/07 BRIGHAM EXPLORATION CO DE 1.01,2.03,9.01 03/27/07 BROADRIDGE FINANCIAL SOLUTIONS, INC. DE 5.02,8.01,9.01 04/11/07 BSI2000 INC DE 8.01,9.01 04/13/07 BURLINGTON NORTHERN SANTA FE CORP DE 1.01,2.03,9.01 04/10/07 BV Financial, Inc. X1 1.01,9.01 04/12/07 CA, INC. DE 8.01 04/13/07 CABCO TRUST FOR TEXACO CAPITAL INC. G DE 8.01,9.01 04/01/07 CALIFORNIA OIL & GAS CORP 3.02,9.01 04/09/07 CAPITAL SENIOR LIVING CORP DE 7.01,9.01 04/12/07 CAPRIUS INC DE 8.01,9.01 04/11/07 CASCADE BANCORP OR 2.02,9.01 04/12/07 AMEND CCA INDUSTRIES INC DE 8.01 04/11/07 CELSION CORP MD 5.02,9.01 03/12/07 AMEND CENTURY ALUMINUM CO DE 5.02 03/20/07 AMEND CHAPEAU INC UT 3.02,9.01 03/29/07 CHASE CORP MA 2.02,9.01 04/09/07 CHICOS FAS INC FL 1.01,9.01 04/11/07 CHILDRENS PLACE RETAIL STORES INC 3.01 04/09/07 CINTEL CORP NV 9.01 04/12/07 Citicorp Residential Mortgage Trust S DE 8.01,9.01 03/29/07 CLARKE AMERICAN CORP. DE 8.01,9.01 04/12/07 CLAYTON WILLIAMS ENERGY INC /DE DE 1.01,9.01 04/12/07 CLST Holdings, Inc. DE 1.01,5.02,9.01 04/09/07 COBALT CMBS Commercial Mortgage Trust DE 9.01 04/13/07 COMMERCE BANCSHARES INC /MO/ MO 2.02 04/12/07 Community Bancorp NV 5.02 04/13/07 COMPETITIVE TECHNOLOGIES INC DE 1.01,9.01 04/12/07 COMPUDYNE CORP NV 5.05,9.01 04/10/07 Comverge, Inc. DE 1.01,7.01,9.01 04/12/07 CONSTAR INTERNATIONAL INC DE 8.01 04/09/07 CONTINENTAL AIRLINES INC /DE/ DE 1.01,2.03,9.01 04/10/07 COREL CORP A6 9.01 04/13/07 COST PLUS INC/CA/ CA 4.02,9.01 04/11/07 CTC Media, Inc. 5.02,9.01 04/13/07 CUTTER & BUCK INC WA 1.01,7.01,9.01 04/12/07 CWABS Asset-Backed Certificates Trust DE 8.01,9.01 03/30/07 CWABS Asset-Backed Certificates Trust DE 8.01,9.01 03/29/07 CWABS Asset-Backed Certificates Trust DE 8.01,9.01 03/29/07 CYPLASIN BIOMEDICAL LTD. NV 1.01,2.01,9.01 04/11/07 CYTOMEDIX INC DE 4.01,9.01 04/12/07 DATALINK CORP MN 9.01 01/30/07 AMEND Deutsche Alt-B Securities Mortgage Lo 8.01,9.01 04/13/07 DG FastChannel, Inc DE 5.03,9.01 04/11/07 Dhanoa Minerals Ltd. NV 4.01,9.01 03/27/07 AMEND DIASENSE INC/PA PA 8.01,9.01 04/13/07 DOLLAR FINANCIAL CORP DE 5.02,9.01 04/09/07 DOW JONES & CO INC DE 7.01,9.01 04/13/07 DTE ENERGY CO MI 8.01,9.01 04/13/07 DUSA PHARMACEUTICALS INC NJ 5.02 04/10/07 EDEN ENERGY CORP NV 1.01,9.01 04/05/07 eGENE, INC. 7.01,9.01 04/12/07 EMAGIN CORP DE 1.01,2.03,3.02,5.02,9.01 03/28/07 EMCORE CORP NJ 8.01 04/09/07 ENERGEN CORP AL 2.04 04/11/07 ENERGY EAST CORP NY 5.03,9.01 04/10/07 Enterra Systems Inc. A1 4.01,9.01 04/12/07 EQUUS TOTAL RETURN, INC. DE 8.01,9.01 04/11/07 ESCALADE INC IN 2.02,5.02,8.01,9.01 04/12/07 eXegenics Inc DE 4.01,5.02,9.01 04/09/07 FALCON NATURAL GAS CORP 1.01,9.01 01/04/07 FCStone Group, Inc. DE 2.02,9.01 04/13/07 Federal Home Loan Bank of Cincinnati X1 8.01,9.01 04/11/07 Federal Home Loan Bank of Indianapoli X1 2.02,9.01 04/13/07 FERMAVIR PHARMACEUTICALS, INC. FL 1.01,2.03,5.02,9.01 04/09/07 FERRO CORP OH 5.02 04/09/07 FIRST M&F CORP/MS MS 7.01,9.01 04/13/07 FIRST NATIONAL BANCSHARES INC /SC/ SC 2.02,9.01 04/11/07 FIRST STATE FINANCIAL CORP/FL 5.02,9.01 04/09/07 FISCHER WATT GOLD CO INC NV 8.01,9.01 04/11/07 Flooring Zone Inc 7.01,9.01 04/13/07 FOOTHILLS RESOURCES INC 8.01,9.01 03/14/07 FRANKLIN COVEY CO UT 2.02,8.01,9.01 04/12/07 GAINSCO INC TX 8.01 04/09/07 GASCO ENERGY INC NV 8.01,9.01 04/09/07 GateHouse Media, Inc. DE 1.01,9.01 04/12/07 GateHouse Media, Inc. DE 1.01,2.03,9.01 04/11/07 GateHouse Media, Inc. DE 4.01,9.01 04/05/07 AMEND GENE LOGIC INC DE 5.02,9.01 04/13/07 GENERAL ELECTRIC CO NY 2.02,7.01 04/13/07 GENWORTH LIFE & ANNUITY INSURANCE CO VA 8.01 04/13/07 GMACM Home Equity Loan Trust 2007-HE1 DE 8.01,9.01 03/29/07 GOLDEN CHIEF RESOURCES INC KS 8.01 04/04/07 GOODYEAR TIRE & RUBBER CO /OH/ OH 5.02,9.01 04/10/07 Grant Life Sciences, Inc. NV 5.02 04/09/07 GREATER CHINA MEDIA & ENTERTAINMENT C NV 5.02 04/13/07 GREEN PLAINS RENEWABLE ENERGY, INC. IA 5.02 04/12/07 GREENE COUNTY BANCSHARES INC TN 2.02,7.01,9.01 04/12/07 GREENE COUNTY BANCSHARES INC TN 2.02,7.01,9.01 04/12/07 AMEND GSAA Home Equity Trust 2007-4 DE 8.01,9.01 03/29/07 GSR Mortgage Loan Trust 2007-2F DE 8.01,9.01 03/30/07 GUARDIAN TECHNOLOGIES INTERNATIONAL I DE 8.01 04/13/07 GUESS INC DE 5.02 04/10/07 Harbin Electric, Inc 8.01,9.01 04/09/07 HARTFORD LIFE INSURANCE CO CT 9.01 04/13/07 HCC INSURANCE HOLDINGS INC/DE/ DE 5.02,9.01 04/12/07 HEALTH ANTI AGING LIFESTYLE OPTIONS I UT 5.02 04/10/07 HEALTH CARE REIT INC /DE/ DE 7.01,8.01,9.01 04/12/07 HEARUSA INC DE 1.01,3.02,9.01 04/09/07 HEPALIFE TECHNOLOGIES INC FL 7.01,9.01 03/28/07 Home Loan Trust 2007-HI1 DE 8.01,9.01 04/12/07 HomeBanc 2007-1 DE 8.01,9.01 03/30/07 HUNGARIAN TELEPHONE & CABLE CORP DE 7.01,9.01 04/13/07 IMAGE ENTERTAINMENT INC DE 8.01 04/10/07 IMATION CORP DE 5.02,9.01 04/13/07 Impac Secured Assets Corp., Mortgage CA 9.01 03/29/07 INDEPENDENT BANK CORP MI 9.01 04/11/07 IndyMac INDX Mortgage Loan Trust 2007 8.01,9.01 03/29/07 ING USA Global Funding Trust 1 IA 8.01,9.01 04/02/07 INHIBITEX, INC. 1.01,9.01 04/09/07 INTEGRAL SYSTEMS INC /MD/ MD 5.02 04/10/07 INTEGRATED ELECTRICAL SERVICES INC DE 5.02 04/13/07 INTERNAP NETWORK SERVICES CORP DE 1.01,3.03,5.03,9.01 04/11/07 INTRAOP MEDICAL CORP 1.01,2.03,3.02,9.01 04/09/07 IRIS INTERNATIONAL INC DE 8.01,9.01 04/10/07 IRWIN FINANCIAL CORP IN 8.01,9.01 04/13/07 J P MORGAN CHASE & CO DE 9.01 04/10/07 J.P. Morgan Chase Commercial Mortgage DE 8.01,9.01 03/29/07 J.P. MORGAN MORTGAGE TRUST 2007-A2 DE 8.01,9.01 04/13/07 J.P. Morgan Mortgage Trust 2007-S1 DE 8.01,9.01 04/13/07 JEWETT CAMERON TRADING CO LTD OR 5.02 04/12/07 KBR, INC. DE 5.02,9.01 04/09/07 KEANE, INC. MA 2.02,9.01 04/13/07 KENDLE INTERNATIONAL INC OH 1.01,2.03 03/30/07 KUHLMAN COMPANY, INC MN 2.01 04/11/07 L-1 IDENTITY SOLUTIONS, INC. DE 2.02,7.01,9.01 04/12/07 LANDAMERICA FINANCIAL GROUP INC VA 2.06,9.01 04/10/07 LAS VEGAS SANDS CORP NV 1.01,2.03 04/10/07 LASALLE HOTEL PROPERTIES MD 1.01,2.03,7.01,9.01 04/13/07 LATIN AMERICAN TELECOMMUNICATIONS VEN NV 1.01,2.01,3.02,5.01,5.02,5.03, 04/13/07 5.06,9.01 Lawson Software, Inc. MN 4.02 04/12/07 Lehman Mortgage Trust 2007-3 DE 8.01,9.01 03/30/07 Lehman XS 2007-4N DE 8.01,9.01 04/13/07 LIGHTPATH TECHNOLOGIES INC DE 2.02,9.01 04/13/07 Linkwell CORP FL 1.01,9.01 04/06/07 LITHIA MOTORS INC OR 7.01,9.01 04/13/07 LODGENET ENTERTAINMENT CORP DE 2.01,9.01 02/01/07 AMEND LUBRIZOL CORP OH 2.02,9.01 04/13/07 MAC FILMWORKS INC DE 3.02 03/23/07 MAGELLAN MIDSTREAM PARTNERS LP DE 1.01,9.01 04/12/07 MAJESCO ENTERTAINMENT CO DE 5.02,8.01,9.01 04/11/07 MARINEMAX INC DE 7.01,9.01 04/12/07 MAUI LAND & PINEAPPLE CO INC HI 5.02,9.01 04/09/07 MedaSorb Technologies CORP 5.02 04/09/07 MEDCOM USA INC DE 4.01,9.01 02/07/07 AMEND MEDICAL ACTION INDUSTRIES INC DE 5.02,9.01 04/13/07 MEDIS TECHNOLOGIES LTD DE 8.01,9.01 04/13/07 Merrill Lynch Alternative Note Asset DE 8.01,9.01 03/29/07 Merrill Lynch Mortgage Backed Securit DE 8.01,9.01 03/30/07 MGM MIRAGE DE 8.01 04/10/07 MIDWEST AIR GROUP INC WI 8.01,9.01 04/13/07 Molecular Insight Pharmaceuticals, In MA 5.02 04/09/07 Molecular Insight Pharmaceuticals, In MA 5.02,9.01 04/11/07 MORGAN STANLEY DE 5.02,8.01,9.01 04/10/07 MOTHERS WORK INC DE 2.02,9.01 04/12/07 MOVIE STAR INC /NY/ NY 1.01,3.02,5.02,9.01 04/09/07 MTM Technologies, Inc. NY 5.02,7.01,9.01 04/12/07 MTM Technologies, Inc. NY 1.01,3.02,5.03,9.01 04/09/07 AMEND NAUTILUS, INC. WA 2.02,9.01 04/11/07 NEWPARK RESOURCES INC DE 8.01,9.01 04/13/07 Newport Gold, Inc. NV 8.01,9.01 04/13/07 No Borders, Inc. NV 5.02 04/12/07 Nomura Home Equity Loan, Inc., Home E 2.01,9.01 01/31/07 NORTHWEST BIOTHERAPEUTICS INC DE 2.03 04/10/07 NOVA BIOSOURCE FUELS, INC. NV 8.01 04/09/07 NOVELOS THERAPEUTICS, INC. DE 1.01,7.01,9.01 04/12/07 NU SKIN ENTERPRISES INC DE 2.02,7.01,9.01 03/31/06 NU SKIN ENTERPRISES INC DE 7.01,9.01 03/13/07 NUMEREX CORP /PA/ PA 5.02 04/10/07 NYFIX INC DE 8.01,9.01 04/09/07 OAK HILL FINANCIAL INC OH 2.02,9.01 04/12/07 Omni Financial Services, Inc. GA 7.01,9.01 04/13/07 OMNIVISION TECHNOLOGIES INC DE 1.01 04/10/07 ORTHOLOGIC CORP DE 1.02 04/10/07 Owens Corning DE 1.01,8.01,9.01 04/13/07 PACIFIC CAPITAL BANCORP /CA/ CA 2.02,9.01 04/13/07 Pacific Ethanol, Inc. DE 8.01 04/13/07 PANACOS PHARMACEUTICALS, INC. DE 5.02,9.01 04/13/07 PANDA ETHANOL, INC. NV 8.01 04/13/07 PANTRY INC DE 5.02,9.01 04/12/07 Paradigm Holdings, Inc WY 1.01,2.01,2.03,7.01,9.01 04/09/07 PENTAIR INC MN 2.03,9.01 04/09/07 PETROLEUM DEVELOPMENT CORP NV 1.01,9.01 04/13/07 AMEND PHYSICIANS FORMULA HOLDINGS, INC. DE 7.01,9.01 04/12/07 PIPER JAFFRAY COMPANIES 1.01,7.01,9.01 04/12/07 PNM RESOURCES INC NM 8.01 04/12/07 POKERTEK INC 5.02,9.01 08/09/06 POLO RALPH LAUREN CORP DE 8.01,9.01 04/13/07 POLYCOM INC DE 5.03,9.01 04/11/07 POMEROY IT SOLUTIONS INC DE 8.01,9.01 04/10/07 PONIARD PHARMACEUTICALS, INC. WA 8.01,9.01 04/12/07 ProLink Holdings Corp. DE 1.01,9.01 04/09/07 PRUDENTIAL FINANCIAL INC NJ 8.01 04/13/07 PUBLICARD INC PA 2.02,9.01 04/11/07 PUBLICARD INC PA 4.01,9.01 03/29/07 AMEND Qnective, Inc. 5.02 02/12/07 QUEPASA CORP NV 4.02 04/09/07 QUEST RESOURCE CORP NV 5.02,9.01 04/10/07 RAIT Financial Trust MD 8.01,9.01 04/12/07 RALI Series 2007-QH3 Trust DE 8.01,9.01 04/13/07 RALI Series 2007-QO3 Trust DE 8.01,9.01 04/12/07 RALI Series 2007-QS4 Trust DE 8.01,9.01 04/11/07 RALI Series 2007-QS5 Trust DE 8.01,9.01 04/13/07 RASC Series 2007-KS3 Trust DE 8.01,9.01 04/12/07 REGIONS FINANCIAL CORP DE 5.02,9.01 04/13/07 Republic Property Trust MD 1.02,2.05,2.06 04/09/07 Republic Property Trust MD 9.01 02/16/07 AMEND Residential Asset Securitization Trus 8.01,9.01 03/29/07 RFMSI Series 2007-S3 Trust DE 8.01,9.01 04/11/07 RITE AID CORP DE 2.02,9.01 04/13/07 RITE AID CORP DE 5.02,5.03,8.01,9.01 04/11/07 Rockwood Holdings, Inc. DE 5.02,9.01 04/09/07 ROYAL BANCSHARES OF PENNSYLVANIA INC PA 5.02 04/09/07 RURAL CELLULAR CORP MN 1.01,2.02,8.01 04/12/07 RURBAN FINANCIAL CORP OH 8.01,9.01 04/12/07 SANDY SPRING BANCORP INC MD 2.02,8.01,9.01 04/13/07 Santa Lucia Bancorp CA 5.02 04/12/07 SEMITOOL INC MT 2.02,9.01 04/13/07 SENESCO TECHNOLOGIES INC DE 8.01,9.01 04/13/07 SERVICE AIR GROUP INC NJ 1.02,3.02,5.02,9.01 04/13/07 SIENA TECHNOLOGIES, INC. NV 1.01,2.01,2.06,9.01 04/09/07 SMITH A O CORP DE 5.02,9.01 04/09/07 SMTC CORP DE 5.02 04/10/07 SOLAR ENERTECH CORP NV 4.02 04/09/07 Structured Adjustable Rate Mortgage L DE 8.01,9.01 03/30/07 SUMMIT FINANCIAL GROUP INC WV 1.01,8.01,9.01 04/12/07 SUMTOTAL SYSTEMS INC DE 2.02,8.01,9.01 04/12/07 SUN NEW MEDIA INC. MN 1.01,9.01 04/09/07 SUNCOM WIRELESS HOLDINGS, INC. 2.02,9.01 04/13/07 SUPERCLICK INC WA 7.01,9.01 04/13/07 Symmetry Medical Inc. DE 5.02,9.01 04/11/07 TAKE TWO INTERACTIVE SOFTWARE INC DE 1.01,5.02,5.03,8.01,9.01 04/09/07 TALX CORP MO 5.02,9.01 04/12/07 THERMO FISHER SCIENTIFIC INC. DE 9.01 04/13/07 TORO CO DE 1.01,8.01,9.01 04/09/07 TORTOISE CAPITAL RESOURCES CORP 2.02,7.01,9.01 04/12/07 TORVEC INC NY 8.01 04/13/07 Trinsic, Inc. DE 8.01 04/09/07 Tube Media Corp. CO 3.01,8.01 04/13/06 TXU CORP /TX/ TX 8.01 04/11/07 UNIFI INC NY 2.06,8.01 04/09/07 UNION BANKSHARES INC VT 2.02,8.01,9.01 04/13/07 UNITED COMMUNITY BANKS INC GA 1.01,9.01 04/13/07 UROLOGIX INC MN 2.02,9.01 04/12/07 VARIAN MEDICAL SYSTEMS INC DE 2.02,9.01 04/12/07 VEECO INSTRUMENTS INC DE 5.02 04/06/07 WALGREEN CO IL 5.02,9.01 04/10/07 WARWICK VALLEY TELEPHONE CO NY 8.01,9.01 04/13/07 WASTE SERVICES, INC. A6 2.03,9.01 04/12/07 Wells Fargo Home Equity Asset-Backed DE 8.01,9.01 03/30/07 WESCORP ENERGY INC 2.02,9.01 04/12/07 WEST BANCORPORATION INC IA 7.01 04/13/07 Whos Your Daddy Inc NV 1.01,9.01 04/29/05 AMEND WORLDTRADESHOW COM INC 1.01,4.02 08/01/06 AMEND WORLDWATER & POWER CORP DE 8.01 04/09/07 WYNN RESORTS LTD 1.01 04/09/07 XELR8 HOLDINGS, INC. NV 3.01,8.01,9.01 04/13/07 XFormity Technologies, Inc. CO 5.02 04/11/07