SEC NEWS DIGEST Issue 2007-73 April 17, 2007 ENFORCEMENT PROCEEDINGS CONNECTICUT DEFENDANT IN $6 MILLION INTERNET PONZI SCHEME SENTENCED TO TEN YEARS IN PRISON On March 30, 2007, U.S. District Judge Janet Bond Arterton of the U.S. District Court for the District of Connecticut sentenced Connecticut resident Blake A. Prater to one hundred twenty months of imprisonment followed by three years of supervised release. On Oct. 3, 2006, Prater pleaded guilty to one count of securities fraud and one count of conspiracy to engage in certain monetary transactions involving proceeds of securities fraud. On Aug. 16, 2004, in a related civil action, the Court had approved a settlement concerning similar allegations by the Commission against Prater and his now-defunct company, Wellspring Capital Group, Inc. The amounts collected from the defendants under the settlement have been distributed to victims of Prater's fraud. The Commission's complaint, filed on Sept. 5, 2003, alleged that Prater, through Wellspring Capital Group, Inc., operated a sophisticated Internet Ponzi scheme that raised millions of dollars from thousands of investors. Prater was indicted for substantially similar conduct by a federal grand jury in Hartford on Jan. 4, 2006. [U.S. v. Prater (United States District Court for the District of Connecticut, No. 3:06-cr-00001-JBA); SEC v. Blake A. Prater and Wellspring Capital Group, Inc. (United States District Court for the District of Connecticut, Civil Action No. 03-CV-01524-MRK)] (LR-20076) INVESTMENT COMPANY ACT RELEASES JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.), ET AL. An order has been issued on an application filed by John Hancock Life Insurance Company (U.S.A.), John Hancock Life Insurance Company (U.S.A.) Separate Account H, John Hancock Life Insurance Company of New York and John Hancock Life Insurance Company of New York Separate Account A. The order approves the substitution of shares of certain series of John Hancock Trust for shares of certain series of other registered investment companies. (Rel. IC-27781 - April 16) SELF-REGULATORY ORGANIZATIONS PROPOSED RULE CHANGES The Chicago Stock Exchange filed a proposed rule change (SR-CHX-2007- 08) to expand its price manipulation rule to address additional instances of improper behavior. Publication is expected in the Federal Register during the week of April 16. (Rel. 34-55625) A proposed rule change (SR-NSX-2006-16) and Amendment No. 1 thereto have been filed by the National Stock Exchange regarding the annual certification of compliance and supervisory processes. Publication is expected in the Federal Register during the week of April 16. (Rel. 34-55631) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES The Commission issued a notice of immediate effectiveness of a proposed rule change (SR-CBOE-2007-34) filed by the Chicago Board Options Exchange regarding subsidy arrangements with members that provide or use certain order routing functionalities. Publication is expected in the Federal Register during the week of April 16. (Rel. 34-55629) A proposed rule change filed by The NASDAQ Stock Market relating to fees of other market centers related to clearly erroneous rulings (SR- NASDAQ-2007-041) 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 April 16. (Rel. 34-55633) The Commission issued a notice of immediate effectiveness of a proposed rule change (SR-NASDAQ-2007-036) filed by The NASDAQ Stock Market to modify pricing for Nasdaq members using the Nasdaq Market Center. Publication is expected in the Federal Register during the week of April 16. (Rel. 34-55634) ACCELERATED APPROVAL OF PROPOSED RULE CHANGES The Commission issued an order granting accelerated approval to a proposed rule change, as modified by Amendment No. 1 thereto (SR-CBOE- 2007-21), filed by the Chicago Board Options Exchange amending existing rules for portfolio depositary receipts and index fund shares. Publication is expected in the Federal Register during the week of April 16. (Rel. 34-55630) The Commission issued an order granting accelerated approval to a proposed rule change, as modified by Amendment No. 1 thereto (SR-ISE-2007-16), filed by the International Securities Exchange relating to options based on commodity pool ETFs. Publication is expected in the Federal Register during the week of April 16. (Rel. 34-55635) APPROVAL OF PROPOSED RULE CHANGE The Commission granted approval to a proposed rule change, as amended (SR-Amex-2006-112), filed by the American Stock Exchange relating to the listing and trading of units of the United States Natural Gas Fund, LP. Publication is expected in the Federal Register during the week of April 16. (Rel. 34-55632) 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: . SB-2 XTOL Energy Inc., 595 HOWE STREET, SUITE 600, VANCOUVER, A1, V6C 2T5, 604-662-3910 - 1,772,000 ($886,000.00) Equity, (File 333-142128 - Apr. 16) (BR. 04) S-8 RELIANT HOME WARRANTY CORP, SUITE 700, 200 YORKLAND BLVD, TORONTO, A6, M2J 5C1, 416-445-9500 - 10,000,000 ($1,300,000.00) Equity, (File 333-142129 - Apr. 16) (BR. 11B) SB-2 QUANTRX BIOMEDICAL CORP, 321 NORRISTOWN ROAD, SUITE 230, AMBLER, PA, 19002, 2155404206 - 0 ($31,009,913.00) Equity, (File 333-142130 - Apr. 16) (BR. 10C) S-4 BOSTON PRIVATE FINANCIAL HOLDINGS INC, 10 POST OFFICE SQ, BOSTON, MA, 02109, 6175561900 - 1 ($1.00) Equity, (File 333-142131 - Apr. 16) (BR. 07B) S-8 WESTMORELAND COAL CO, 2 NORTH CASCADE AVENUE 14TH FLOOR, COLORADO SPRINGS, CO, 80903, 7194422600 - 600,000 ($13,035,000.00) Equity, (File 333-142132 - Apr. 16) (BR. 04C) F-6 LINKTONE LTD, 5TH FLOOR, EASTERN TOWER, 689 BEIJING DONG ROAD, SHANGHAI, F4, 200001, 862133184900 - 50,000,000 ($2,500,000.00) ADRs/ADSs, (File 333-142133 - Apr. 16) (BR. 03C) S-3ASR DYNEGY INC., 1000 LOUISIANA STREET, SUITE 5800, HOUSTON, TX, 77002, (713) 507-6400 - 96,891,014 ($989,741,708.01) Equity, (File 333-142134 - Apr. 16) (BR. 02) S-8 Employers Holdings, Inc., 9790 GATEWAY DRIVE, RENO, NV, 89521, 775-327-2936 - 682,963 ($13,577,304.44) Equity, (File 333-142135 - Apr. 16) (BR. 01B) S-8 COOPER TIRE & RUBBER CO, LIMA & WESTERN AVENUES, FINDLAY, OH, 45840, 4194231321 - 5,000,000 ($94,450,000.00) Equity, (File 333-142136 - Apr. 16) (BR. 06B) S-8 UNIFIRST CORP, 68 JONSPIN RD, WILMINGTON, MA, 01887, (978) 658-8888 - 350,000 ($14,448,000.00) Equity, (File 333-142138 - Apr. 16) (BR. 11A) S-3 VERSO TECHNOLOGIES INC, 400 GALLERIA PARKWAY, SUITE 300, ATLANTA, GA, 30326, 7706123500 - 7,500,000 ($6,975,000.00) Equity, (File 333-142139 - Apr. 16) (BR. 03C) SB-2 SPO Medical Inc, 21860 BURBANK BLVD, NORTH BUILDING SUITE 380, WOODLAND HILLS, CA, 91367, 8188884380 - 0 ($9,172,218.00) Equity, (File 333-142141 - Apr. 16) (BR. 10C) SB-2 CARBIZ INC, 7405 NORTH TAMIAMI TRAIL, SARASOTA, FL, 34243, 941-952-9255 - 31,316,745 ($5,167,262.94) Equity, (File 333-142142 - Apr. 16) (BR. 03B) S-3ASR HEADWATERS INC, 10653 SOUTH RIVERFRONT PARKWAY, SUITE 300, SOUTH JORDAN, UT, 84095, 8019849400 - 0 ($160,000,000.00) Debt Convertible into Equity, (File 333-142143 - Apr. 16) (BR. 06A) S-1 SOUNDBITE COMMUNICATIONS INC, 2 BURLINGTON WOODS DRIVE, BURLINGTON, MA, 01803, 781-359-2200 - 0 ($69,000,000.00) Equity, (File 333-142144 - Apr. 16) (BR. ) S-8 RESOURCES CONNECTION INC, 695 TOWN CTR DR, STE 600, COSTA MESA, CA, 92626, 8009001131 - 3,842,377 ($121,380,689.40) Equity, (File 333-142145 - Apr. 16) (BR. 08C) S-8 MAX & ERMAS RESTAURANTS INC, 4849 EVANSWOOD DR, COLUMBUS, OH, 43229, 6144315800 - 250,000 ($2,220,000.00) Equity, (File 333-142146 - Apr. 16) (BR. 05B) S-3ASR FIRST POTOMAC REALTY TRUST, 7600 WISCONSIN AVENUE, 11TH FLOOR, BETHESDA, MD, 20814, 3019869200 - 0 ($0.00) Other, (File 333-142147 - Apr. 16) (BR. 08B) S-3ASR FIRST POTOMAC REALTY TRUST, 7600 WISCONSIN AVENUE, 11TH FLOOR, BETHESDA, MD, 20814, 3019869200 - 0 ($3,492,725.20) Equity, (File 333-142148 - Apr. 16) (BR. 08B) S-3ASR FIRST POTOMAC REALTY TRUST, 7600 WISCONSIN AVENUE, 11TH FLOOR, BETHESDA, MD, 20814, 3019869200 - 0 ($98,768,006.98) Equity, (File 333-142149 - Apr. 16) (BR. 08B) S-3 GALAXY ENERGY CORP, 1331 17TH STREET, #730, DENVER, CO, 80202, (303) 293-2300 - 2,000,000 ($30,000.00) Equity, (File 333-142150 - Apr. 16) (BR. 04B) S-8 SEMTECH CORP, 200 FLYNN ROAD, CAMARILLO, CA, 93012-8790, 8054982111 - 3,097,800 ($41,975,190.00) Equity, (File 333-142151 - Apr. 16) (BR. 10C) S-8 FIRST POTOMAC REALTY TRUST, 7600 WISCONSIN AVENUE, 11TH FLOOR, BETHESDA, MD, 20814, 3019869200 - 0 ($18,551,000.00) Equity, (File 333-142152 - Apr. 16) (BR. 08B) S-8 SEMTECH CORP, 200 FLYNN ROAD, CAMARILLO, CA, 93012-8790, 8054982111 - 600,000 ($8,130,000.00) Equity, (File 333-142153 - Apr. 16) (BR. 10C) N-2 TECHNOLOGY INVESTMENT CAPITAL CORP, 8 SOUND SHORE DR, SUITE 255, GREENWICH, CT, 06830, 2039835275 - 5,750,000 ($98,612,500.00) Equity, (File 333-142154 - Apr. 16) (BR. 16) S-3 ATLAS AIR WORLDWIDE HOLDINGS INC, 2000 WESTCHESTER AVENUE, PURCHASE, NY, 10577-2543, 9147018000 - 0 ($443,749,274.10) Equity, (File 333-142155 - Apr. 16) (BR. 05A) S-1 LIMCO-PIEDMONT INC, 5304 S. LAWTON AVENUE, TULSA, OK, 74107, 918-445-4300 - 0 ($45,000,000.00) Equity, (File 333-142157 - Apr. 16) (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: . In most cases, this information is also available on the Commission's website: . STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT --------------------------------------------------------------------------------------------------------- ACE Securities Corp. Home Equity Loan DE 2.01,9.01 01/29/07 Aircastle LTD D0 1.01,5.02,9.01 04/12/07 AKORN INC LA 5.03,9.01 04/11/07 ALBEMARLE CORP VA 5.02,5.03,9.01 04/11/07 Allis Chalmers Energy Inc. DE 5.02 04/10/07 Alternative Loan Trust 2007-10CB DE 9.01 03/29/07 Alternative Loan Trust 2007-HY5R DE 9.01 03/30/07 AMC ENTERTAINMENT INC DE 8.01,9.01 02/22/07 AMEND AMERICAN ACCESS TECHNOLOGIES INC FL 2.02,3.01,8.01,9.01 04/11/07 AMERICAN ENTERPRISE DEVELOPMENT CORP TX 7.01,9.01 12/31/06 American Express Issuance Trust DE 8.01,9.01 04/16/07 AMERISERV FINANCIAL INC /PA/ PA 8.01 04/16/07 AMYLIN PHARMACEUTICALS INC DE 2.02,9.01 04/16/07 ANTS SOFTWARE INC DE 5.02 04/12/07 ANWORTH MORTGAGE ASSET CORP MD 2.02,9.01 04/13/07 APACHE CORP DE 1.01,9.01 04/11/07 APOLLO GROUP INC AZ 3.01,8.01,9.01 04/11/07 ARBOR REALTY TRUST INC MD 5.02,5.03,9.01 04/12/06 ARCADIA RESOURCES, INC NV 7.01,9.01 04/16/07 Arran Funding LTD XX 8.01,9.01 04/16/07 ART TECHNOLOGY GROUP INC DE 5.02,9.01 04/12/07 Audio Stocks, Inc. DE 5.02 12/15/06 AURIGA LABORATORIES, INC. DE 2.02,7.01,9.01 04/16/07 AVANT IMMUNOTHERAPEUTICS INC DE 2.05,9.01 04/16/07 AVENTINE RENEWABLE ENERGY HOLDINGS IN 5.02,9.01 04/16/07 Aventura Holdings Inc. FL 9.01 10/01/06 AMEND Avicena Group, Inc. DE 1.01,3.02,9.01 04/10/07 BAKERS FOOTWEAR GROUP INC MO 2.02,7.01,9.01 04/10/07 AMEND BANK JOS A CLOTHIERS INC /DE/ DE 8.01,9.01 04/16/07 Bear Stearns ALT-A Trust 2007-2 DE 8.01,9.01 03/30/07 Bear Stearns Mortgage Funding Trust 2 DE 8.01,9.01 03/30/07 BEST BUY CO INC MN 5.02 04/10/07 AMEND BIOLARGO, INC. DE 3.02,9.01 04/11/07 BIOMET INC IN 3.01,9.01 04/11/07 BLACK & DECKER CORP MD 8.01,9.01 04/16/07 BLACK & DECKER CORP MD 2.02,7.01,9.01 04/16/07 BODISEN BIOTECH, INC DE 2.02,9.01 04/16/07 BROCADE COMMUNICATIONS SYSTEMS INC DE 9.01 01/29/07 AMEND BSML INC UT 3.01,9.01 04/12/07 BURKE MILLS INC NC 2.02 12/30/06 C&D TECHNOLOGIES INC DE 2.02,9.01 04/16/07 CABOT OIL & GAS CORP DE 8.01 04/12/07 CAL-BAY INTERNATIONAL INC NV 8.01 04/16/07 CARDINAL HEALTH INC OH 2.01,2.05,9.01 11/29/06 AMEND CASEYS GENERAL STORES INC IA 7.01 04/16/07 CD 2007-CD4 Commercial Mortgage Trust DE 8.01,9.01 03/29/07 CDW CORP IL 8.01,9.01 04/16/07 CELL THERAPEUTICS INC WA 1.01,3.03,5.03,7.01,8.01,9.01 04/11/07 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 04/16/07 CHASE CREDIT CARD MASTER TRUST NY 8.01,9.01 04/16/07 CHECKFREE CORP \GA\ DE 7.01 04/16/07 CHEMICAL FINANCIAL CORP MI 2.02,9.01 04/16/07 CHEMOKINE THERAPEUTICS CORP DE 8.01,9.01 04/16/07 CHINA BIOPHARMA, INC. DE 5.02 04/12/07 China Direct, Inc DE 5.02,9.01 04/12/07 CHINA EXPERT TECHNOLOGY, INC. NV 2.02,9.01 03/30/07 CHINA FIRE & SECURITY GROUP, INC. 5.02 04/16/06 China VoIP & Digital Telecom Inc. NV 8.01,9.01 04/16/07 CHL Mortgage Pass-Through Trust 2007- DE 9.01 03/30/07 CINCINNATI FINANCIAL CORP OH 2.02,9.01 04/12/07 CITIBANK OMNI-S MASTER TRUST 8.01,9.01 04/16/07 CITIBANK SOUTH DAKOTA N A DE 8.01 03/27/07 CITIGROUP INC DE 2.02,9.01 04/16/07 CITIZENS & NORTHERN CORP PA 8.01,9.01 04/16/07 CMS ENERGY CORP MI 2.01,9.01 04/11/07 CODORUS VALLEY BANCORP INC PA 8.01,9.01 04/16/07 COMM BANCORP INC PA 8.01,9.01 04/16/07 COMM BANCORP INC PA 2.02,9.01 04/16/07 CONSOLIDATED WATER CO LTD E6 5.05 04/16/07 CONTANGO OIL & GAS CO DE 7.01 03/08/07 Copper Road Inc. NV 5.02 11/15/06 CORAUTUS GENETICS INC DE 1.02 04/10/07 Cord Blood America, Inc. FL 1.01,8.01,9.01 04/12/07 CORILLIAN CORP OR 7.01 04/12/07 CORNERSTONE BANCSHARES INC TN 2.02,9.01 04/16/07 CPAC INC NY 8.01,9.01 04/13/07 CRITICAL PATH INC CA 2.02,9.01 04/16/07 CRUISESTOCK INC. TX 3.02 04/10/07 CRYO CELL INTERNATIONAL INC DE 2.02,9.01 04/16/07 CSMC Mortgage-Backed Trust 2007-3 DE 8.01,9.01 04/16/07 CUBIC CORP /DE/ DE 5.02 04/11/07 CWABS Asset-Backed Certificates Trust DE 8.01,9.01 03/30/07 CWHEQ Home Equity Loan Trust, Series 8.01,9.01 03/30/07 CWHEQ Home Equity Loan Trust, Series 8.01,9.01 03/30/07 CWHEQ Home Equity Loan Trust, Series 8.01,9.01 03/30/07 CWHEQ Home Equity Loan Trust, Series 8.01,9.01 04/06/07 CWHEQ Revolving Home Equity Loan Trus 8.01,9.01 03/30/07 CWHEQ Revolving Home Equity Loan Trus 8.01,9.01 03/30/07 CYBER DEFENSE SYSTEMS INC FL 8.01 04/16/06 CYBER DIGITAL INC NY 1.01 04/13/07 CYGNUS OIL & GAS CORP DE 2.03,3.01,9.01 04/06/07 DAY INTERNATIONAL GROUP INC DE 8.01 04/12/07 DEER VALLEY CORP 2.03,9.01 04/11/07 DELCATH SYSTEMS INC DE 1.01,9.01 04/10/07 DELPHI CORP DE 8.01 04/12/07 DETTO DE 2.01,9.01 11/23/05 AMEND Deutsche Alt-A Securities Mortgage Lo 8.01,9.01 04/16/07 DIGITAL VIDEO SYSTEMS INC DE 5.02,9.01 04/11/07 DISCOVER CARD MASTER TRUST I DE 8.01 04/16/07 DOLLAR GENERAL CORP TN 2.02,7.01,9.01 04/12/07 AMEND DOT HILL SYSTEMS CORP NY 1.01,9.01 04/12/07 DOW CHEMICAL CO /DE/ DE 5.02,8.01,9.01 04/11/07 DYNEGY INC. DE 7.01,9.01 04/16/07 DYNEGY INC. DE 4.01,9.01 04/11/07 EAST WEST BANCORP INC 2.02,9.01 03/31/07 EATON CORP OH 2.02,9.01 04/16/07 EATON VANCE CORP MD 7.01,9.01 04/16/07 EDD HELMS GROUP INC FL 8.01 04/11/07 EMVELCO CORP. DE 5.02 04/09/07 AMEND ENERGY PARTNERS LTD DE 7.01,9.01 04/10/07 EnerJex Resources, Inc. NV 1.01,2.03,3.02,8.01,9.01 04/11/07 ENSCO INTERNATIONAL INC DE 2.02,9.01 04/16/07 ENTERPRISE PRODUCTS PARTNERS L P DE 8.01,9.01 04/13/07 EOG RESOURCES INC DE 5.02 04/16/07 Epic Bancorp 5.02 04/16/07 EQUICAP INC CA 4.01,9.01 04/05/07 AMEND EQUITABLE RESOURCES INC /PA/ PA 1.01,7.01,9.01 04/13/07 ev3 Inc. DE 8.01,9.01 04/16/07 EXACTECH INC FL 4.01,9.01 04/13/07 EXPLORATION CO OF DELAWARE INC DE 5.03,9.01 04/12/07 FAIR ISAAC CORP DE 2.02,9.01 04/16/07 FAMILY DOLLAR STORES INC DE 5.02,9.01 04/11/07 Federal Home Loan Bank of Dallas 5.02 04/10/07 Feldman Mall Properties, Inc. MD 1.01,2.03,3.02,5.02,9.01 04/10/07 FIRST AMERICAN CAPITAL CORP /KS KS 7.01,9.01 04/13/07 FIRST CONSULTING GROUP INC DE 7.01,9.01 04/16/07 FIRST UNITED CORP/MD/ MD 2.02,7.01,9.01 04/13/07 FORD CREDIT FLOORPLAN CORP DE 6.02 04/11/07 FORD CREDIT FLOORPLAN LLC DE 6.02 04/11/07 FOXHOLLOW TECHNOLOGIES, INC. DE 5.02 04/10/07 FREMONT GENERAL CORP NV 8.01,9.01 04/16/07 FREZER, INC. NV 5.03,9.01 04/12/07 FRIEDMAN BILLINGS RAMSEY GROUP INC VA 1.02,8.01 04/16/07 FULL HOUSE RESORTS INC DE 1.01,2.01,2.03,9.01 01/31/07 GAMETECH INTERNATIONAL INC DE 5.02 04/13/07 Gaming Partners International CORP NV 4.02,8.01,9.01 04/12/07 GATEWAY ENERGY CORP/NE DE 1.01,9.01 04/13/07 GENERAL STEEL HOLDINGS INC NV 5.02,9.01 04/13/07 GENWORTH FINANCIAL INC DE 2.02,8.01,9.01 04/16/07 GEOCOM RESOURCES INC NV 7.01 03/28/07 GeoEye, Inc. DE 5.02,9.01 04/12/07 GeoEye, Inc. DE 5.02 04/13/07 GETTY IMAGES INC DE 4.02,8.01,9.01 04/10/07 GEVITY HR INC FL 7.01,9.01 04/13/07 Global Employment Holdings, Inc. 4.02 03/22/07 AMEND GLOBAL GOLD CORP DE 1.01 04/16/07 GLOBETEL COMMUNICATIONS CORP DE 4.01 04/13/07 GOLF TRUST OF AMERICA INC MD 1.01,2.03,9.01 04/10/07 GOODRICH PETROLEUM CORP DE 5.02,9.01 04/11/07 GRAINGER W W INC IL 9.01 03/31/07 GRAN TIERRA ENERGY, INC. NV 2.04,9.01 04/11/07 Great Lakes Dredge & Dock CORP DE 1.01,8.01,9.01 04/13/07 GREATER ATLANTIC FINANCIAL CORP DE 1.01,9.01 04/12/07 GRILL CONCEPTS INC DE 2.03 04/13/07 GRYPHON GOLD CORP NV 7.01,9.01 04/16/07 GSC INVESTMENT CORP. MD 1.01,7.01,9.01 04/11/07 GTA-IB, LLC FL 1.01,2.03,9.01 04/10/07 HarborView 2007-2 DE 8.01,9.01 03/30/07 HARLAND JOHN H CO GA 2.02,7.01,9.01 04/16/07 HARLEYSVILLE SAVINGS FINANCIAL CORP 5.02 04/13/07 HENRY JACK & ASSOCIATES INC DE 8.01,9.01 04/13/07 HERBST GAMING INC NV 2.01,9.01 04/16/07 HERCULES OFFSHORE, INC. DE 7.01,9.01 04/16/07 HIGHWOODS PROPERTIES INC MD 5.02,9.01 04/13/07 HOTEL OUTSOURCE MANAGEMENT INTERNATIO DE 4.01,9.01 04/12/07 House of Taylor Jewelry, Inc. NV 5.02,9.01 04/13/07 HYPERDYNAMICS CORP DE 8.01,9.01 03/07/07 IDLEAIRE TECHNOLOGIES CORP DE 5.02,9.01 04/10/07 IMMUNE RESPONSE CORP DE 5.03,9.01 04/16/07 INFOCUS CORP OR 8.01,9.01 04/13/07 INNKEEPERS USA TRUST/FL MD 1.01,8.01,9.01 04/15/07 INNKEEPERS USA TRUST/FL MD 8.01,9.01 04/13/07 Innovive Pharmaceuticals, Inc. DE 8.01,9.01 04/16/07 INTERSTATE HOTELS & RESORTS INC DE 5.02 04/12/07 ITRON INC /WA/ WA 7.01 04/12/07 J P MORGAN CHASE & CO DE 9.01 04/13/07 J.P. Morgan Chase Commercial Mortgage DE 8.01,9.01 03/29/07 AMEND JDA SOFTWARE GROUP INC DE 2.02,9.01 04/16/07 KAIRE HOLDINGS INC DE 5.02 04/09/07 KATY INDUSTRIES INC DE 3.01,9.01 04/16/07 Kreido Biofuels, Inc. NV 1.01,5.02,9.01 04/10/07 L-1 IDENTITY SOLUTIONS, INC. DE 5.02 04/10/07 LAKELAND FINANCIAL CORP IN 2.02,9.01 03/31/07 LAMPERD LESS LETHAL INC NV 1.01,3.02,9.01 12/04/06 LANE CO 3 INC 5.02 04/16/07 LAS VEGAS SANDS CORP NV 2.02,7.01,9.01 04/13/07 Lawson Software, Inc. MN 8.01,9.01 04/16/07 LEHMAN ABS CORP CIT CAPITAL TR 1 SEC DE 8.01,9.01 04/10/07 LEHMAN ABS CORP CORPORATE BACKED TRUS DE 8.01,9.01 04/10/07 LENOX GROUP INC DE 1.01,5.02,7.01,9.01 04/13/07 Lev Pharmaceuticals Inc DE 1.01,9.01 04/12/07 LILLY ELI & CO IN 2.02,9.01 04/16/07 LOGICVISION INC DE 3.01,9.01 04/12/07 M & F WORLDWIDE CORP DE 2.02,9.01 04/16/07 Marquee Holdings Inc. DE 8.01,9.01 02/22/07 AMEND MATRITECH INC/DE/ DE 1.01,9.01 04/12/07 MATTEL INC /DE/ DE 2.02,7.01,9.01 04/13/07 MCDONALDS CORP DE 2.02,9.01 04/13/07 MEDICIS PHARMACEUTICAL CORP DE 5.03,9.01 04/11/07 MELLON BANK N A MA 8.01,9.01 04/10/07 MENS WEARHOUSE INC TX 5.02 04/10/07 MENTOR GRAPHICS CORP OR 2.02 04/13/07 Merrill Lynch Alternative Note Asset 8.01,9.01 03/30/07 Merrill Lynch Mortgage Investors Trus DE 8.01,9.01 04/16/07 MERRIMAC INDUSTRIES INC DE 2.02,9.01 04/16/07 MESABI TRUST NY 2.02,9.01 04/13/07 MICHAELS STORES INC DE 5.02 04/13/07 ML MACADAMIA ORCHARDS L P DE 2.02,9.01 04/13/07 ML MACADAMIA ORCHARDS L P DE 2.02,9.01 04/13/07 AMEND ML-CFC Commercial Mortgage Trust 2007 DE 9.01 03/28/07 Modigene Inc. 1.01,3.02 04/12/07 MOHEGAN TRIBAL GAMING AUTHORITY 2.02,9.01 04/16/07 MONRO MUFFLER BRAKE INC NY 1.01 04/11/07 MONSTER WORLDWIDE INC DE 5.02,9.01 04/11/07 Morgan Stanley ABS Capital I Inc. Tru DE 8.01,9.01 03/29/07 MOTORSPORTS EMPORIUM, INC. NV 5.02 04/13/07 NASDAQ STOCK MARKET INC DE 2.02,9.01 04/16/07 NATIONAL FUEL GAS CO NJ 7.01,9.01 04/16/07 NEUSTAR INC 1.01,5.02,9.01 04/10/07 NEW CENTURY FINANCIAL CORP MD 1.01,5.02,5.03,8.01,9.01 04/10/07 NEW FIBER CLOTH TECHNOLOGY INC NV 4.01,9.01 10/09/06 AMEND NEW HAMPSHIRE THRIFT BANCSHARES INC DE 1.01,9.01 04/16/07 NEW YORK COMMUNITY BANCORP INC DE 8.01,9.01 04/16/07 NORTH AMERICAN GALVANIZING & COATINGS DE 1.01 04/11/07 NORTHWAY FINANCIAL INC 8.01 04/13/07 NOVELL INC DE 1.01 04/13/07 NOVELL INC DE 5.03,9.01 04/13/07 NOVELL INC DE 5.02,9.01 04/13/07 NUTRACEUTICAL INTERNATIONAL CORP DE 5.02,9.01 04/13/07 NYFIX INC DE 5.02 04/10/07 NYFIX INC DE 5.02 04/16/07 OCEAN BIO CHEM INC FL 5.02 04/13/07 OCEAN BIO CHEM INC FL 8.01 04/16/07 OLD DOMINION ELECTRIC COOPERATIVE VA 5.02 04/11/07 OLD POINT FINANCIAL CORP VA 2.02,9.01 04/16/07 OMTOOL LTD DE 5.02,9.01 04/11/07 OPEN ENERGY CORP NV 2.02,5.02,8.01,9.01 04/11/07 OPEN ENERGY CORP NV 9.01 12/21/06 AMEND Optionable Inc 1.01,3.02,5.02,8.01,9.01 04/10/07 OSI RESTAURANT PARTNERS, INC. DE 7.01,9.01 04/12/07 OXIS INTERNATIONAL INC DE 1.01,5.02 03/08/07 PARK NATIONAL CORP /OH/ OH 2.02,8.01,9.01 04/16/07 PATCH INTERNATIONAL INC/CN NV 5.02 04/02/07 PEERLESS SYSTEMS CORP DE 5.02 04/10/07 PENN VIRGINIA CORP VA 1.01,9.01 04/13/07 PENWEST PHARMACEUTICALS CO WA 5.02 04/11/07 PEOPLES BANCORP INC OH 2.02,7.01,8.01,9.01 04/12/07 PEOPLES FINANCIAL CORP /MS/ MS 2.02,9.01 04/16/07 PHOENIX INTERESTS INC 4.01 04/16/07 PLANAR SYSTEMS INC OR 2.02,9.01 04/12/07 Platinum Research Organization, Inc. NV 8.01,9.01 04/13/07 PORTEC RAIL PRODUCTS INC WV 8.01,9.01 04/12/07 POWELL INDUSTRIES INC NV 2.02,4.02,9.01 04/13/07 POWER AIR CORP NV 2.03,3.02,9.01 04/16/07 Power of The Dream Ventures Inc DE 1.01,2.01,3.02,5.01,5.02,8.01, 04/10/07 9.01 PRIMEGEN ENERGY CORP 1.01,9.01 03/05/07 PROCTER & GAMBLE CO OH 7.01 04/16/07 PROSPERITY BANCSHARES INC TX 9.01 01/31/07 AMEND PSB HOLDINGS INC /WI/ WI 8.01 04/10/07 PSI CORP NV 1.01,2.03,8.01,9.01 04/16/07 QUADRIGA SUPERFUND J5 5.02 04/13/07 QUEST DIAGNOSTICS INC DE 8.01,9.01 04/16/07 QUICKSILVER RESOURCES INC DE 5.02,9.01 04/10/07 RAE SYSTEMS INC DE 1.01,2.01,9.01 04/13/07 RAINMAKER SYSTEMS INC CA 2.02,9.01 04/16/07 RAMTRON INTERNATIONAL CORP DE 4.01,9.01 04/10/07 RANGE RESOURCES CORP DE 1.01,7.01,8.01,9.01 04/13/07 RAPTOR PHARMACEUTICALS CORP. DE 2.02,9.01 04/16/07 RASC Series 2007-KS3 Trust DE 8.01,9.01 04/16/07 AMEND REALOGY CORP DE 1.01,1.02,2.03,2.04,3.01,5.01, 04/10/07 5.02,5.03,9.01 REGAL ENTERTAINMENT GROUP DE 7.01 04/16/07 Renaissance Home Equity Loan Trust 20 2.01,9.01 02/21/07 RESIDENTIAL ASSET SECURITIES CORP DE 8.01,9.01 04/16/07 RESIDENTIAL ASSET SECURITIES CORP DE 8.01,9.01 04/16/07 RESIDENTIAL ASSET SECURITIES CORP DE 8.01,9.01 04/16/07 RYLAND GROUP INC MD 5.02,9.01 04/12/07 S&T BANCORP INC PA 2.02 03/31/07 S1 CORP /DE/ DE 5.02,9.01 04/13/07 Santa Monica Media CORP DE 8.01,9.01 04/02/07 Securus Technologies, Inc. DE 2.01 03/16/07 Seneca Gaming Corp XX 5.02,9.01 04/10/07 SINOFRESH HEALTHCARE INC FL 2.02,5.02,9.01 04/11/07 SOFTECH INC MA 2.02,9.01 04/16/07 SOHU COM INC DE 5.02 04/12/07 Spectrum Brands, Inc. WI 7.01,9.01 04/13/07 SPECTRX INC DE 5.02,9.01 04/16/07 ST. BERNARD SOFTWARE, INC. CA 2.01,9.01 01/29/07 AMEND STAGE STORES INC NV 8.01,9.01 04/12/07 STARINVEST GROUP, INC. NV 5.02 11/22/06 STEEL TECHNOLOGIES INC KY 8.01,9.01 04/13/07 STEVEN MADDEN, LTD. DE 1.01,9.01 04/10/07 STOCKGROUP INFORMATION SYSTEMS INC CO 9.01 01/31/07 AMEND STRATAGENE CORP DE 8.01 04/10/07 Structured Asset Securities CORP Mort DE 9.01 03/30/07 STUDENT LOAN CORP DE 2.02,9.01 04/16/07 SYMMETRICOM INC DE 2.02,4.02,9.01 04/13/07 SYNOVIS LIFE TECHNOLOGIES INC MN 4.01,9.01 04/11/07 TALEO CORP DE 5.02,9.01 02/06/07 AMEND TCF FINANCIAL CORP DE 8.01,9.01 04/14/07 TECHLABS INC FL 7.01,9.01 02/15/07 TECUMSEH PRODUCTS CO MI 7.01,9.01 04/11/07 TECUMSEH PRODUCTS CO MI 2.02,9.01 04/10/07 TECUMSEH PRODUCTS CO MI 5.02,9.01 04/10/07 TENET HEALTHCARE CORP NV 5.02 04/12/07 TESCO CORP 7.01 04/13/07 THERMOENERGY CORP AK 1.01,7.01,9.01 04/13/07 TIMBERLAND BANCORP INC WA 1.01,9.01 04/13/07 TRANSCAT INC OH 5.02,9.01 04/10/07 TRIPOS INC UT 1.01,7.01,9.01 04/10/07 TWC Holding LLC DE 5.02,8.01 04/11/07 U S GOLD CORP CO 7.01,9.01 04/13/07 UNITED REFINING CO PA 8.01,9.01 04/16/07 UNITED SECURITY BANCSHARES CA 2.02,9.01 04/16/07 UNIVERSAL HEALTH SERVICES INC DE 5.02,9.01 04/11/07 URSTADT BIDDLE PROPERTIES INC MD 8.01,9.01 04/13/07 VALSPAR CORP DE 8.01,9.01 04/13/07 VERSANT CORP CA 1.01,9.01 04/12/07 VIASPACE Inc. NV 8.01,9.01 04/16/07 VioQuest Pharmaceuticals, Inc. DE 1.01 04/10/07 VIROPHARMA INC DE 7.01,9.01 04/13/07 VISTEON CORP DE 1.01,2.03,9.01 04/10/07 WACHOVIA CORP NEW NC 2.02,9.01 04/16/07 WADDELL & REED FINANCIAL INC DE 5.02,9.01 04/11/07 WAUSAU PAPER CORP. WI 9.01 04/16/07 WELLS REAL ESTATE INVESTMENT TRUST IN MD 7.01 04/16/07 WESTSPHERE ASSET CORP INC CO 4.02 03/01/07 WGNB CORP GA 2.02,9.01 04/13/07 WILLIS GROUP HOLDINGS LTD D0 8.01 04/10/07 WIND ENERGY AMERICA INC. MN 5.02,8.01 04/11/07 WITS BASIN PRECIOUS MINERALS INC MN 1.01,3.02,9.01 04/10/07 WORLD FUEL SERVICES CORP FL 5.02,9.01 04/16/07 WorldSpace, Inc DE 1.01,9.01 04/13/07 Wornick CO DE 5.02,8.01 04/11/07 WPCS INTERNATIONAL INC DE 1.01,2.03,9.01 04/10/07 ZOLTEK COMPANIES INC DE 8.01,9.01 04/12/07 Zoro Mining Corp. NV 1.01,9.01 04/12/07