SEC NEWS DIGEST Issue 2007-95 May 17, 2007 COMMISSION ANNOUNCEMENTS COMMISSION MEETINGS CHANGE IN THE MEETING: CANCELLATION OF MEETING The closed meeting scheduled for Thursday, May 17, 2007, at 9:45 a.m., was cancelled. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551-5400. ENFORCEMENT PROCEEDINGS COMMISSION BARS BRADLEY SMITH FROM ASSOCIATING WITH ANY BROKER OR DEALER OR INVESTMENT ADVISER FOLLOWING ENTRY OF PERMANENT INJUNCTION The Commission barred Bradley T. Smith, the former president of an investment adviser and of a former broker dealer, from associating with any broker or dealer or investment adviser, following the entry of a permanent injunction against him by the U.S. District Court for the Southern District of Ohio. Smith was enjoined from violating the antifraud provisions of the federal securities laws. The U.S. Court of Appeals for the Sixth Circuit affirmed the district court's decision. In barring Smith, the Commission found that Smith prepared, and distributed to investors, private offering memoranda and marketing materials that contained material misrepresentations concerning the proposed use of proceeds raised through the private securities offerings of two of his companies. The Commission found that Smith diverted some of these offering proceeds to pay the expenses of his other businesses and for his personal use. The Commission concluded that the bar against Smith was warranted by the public interest. (Rels. 34-55771; IA-2604; File No. 3-12267) IN THE MATTER OF LARRY PARRISH AND MICHAEL ZIMMERMAN On May 17, the Commission issued Orders Instituting Administrative Proceedings Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions (Order) against Larry Michael Parrish and Michael Edward Zimmerman. The Orders find that on April 26, 2007 and May 9, 2007, final judgments were entered by consent against Parrish and Zimmerman, permanently enjoining them from future violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities and Exchange Act of 1934 and Rule 10b-5 thereunder, in the civil action entitled SEC v. Z-Par Holdings, Inc., et al., Civil Action Number 05-CV-1031- JFM in the U.S. District Court for the District of Maryland. The Commission's complaint alleged that, from at least April 2004 to April 2005, Parrish and Zimmerman marketed a fraudulent prime bank investment scheme in which they raised approximately $8.2 million from eleven investors in Florida and others elsewhere throughout the United States. The complaint also alleged that Parrish and Zimmerman fraudulently represented to investors that their funds would be pooled with those of other investors in $1 million lots for the purchase of "debt obligations of the top 50 banks in the world," which would be safe and secure investments yielding high rates of return. The complaint alleged that Parrish and Zimmerman fraudulently sold interests in fictitious prime bank debt instruments and payment obligations, claiming that they carried a financial insurance guarantee to further enhance the value and lower the risk of default. Based on the above, the Orders bar Parrish and Zimmerman from association with any broker or dealer, with the right to reapply for association after five years to the appropriate self-regulatory organization, or if there is none, to the Commission. Parrish and Zimmerman consented to the issuance of the respective Orders without admitting or denying any of the findings in the Order, except with respect to the final judgment entered in the civil action. [SEC v. Larry Michael Parrish, et al., 05 Civ. 1031, D. Md. (Judge Motz)] (LR- 20121); Administrative Proceeding in the matter of Michael Edward Zimmerman (Rel. 34-55778, File No. 3-12637); Administrative Proceeding in the matter of Larry Michael Parrish (Rel. 34-55779, File No. 3- 12638) SEC SETTLES SECURITIES FRAUD CHARGES AGAINST DEFENDANT BRUCE POLLOCK The Commission announced today that it has settled its enforcement action, which involves charges of a deliberate "pump and dump" scheme to defraud investors in the stock of Aimsi Technologies, against Defendant Bruce Pollock. On May 10, the Honorable Louis L. Stanton of the U.S. District Court for the Southern District of New York entered a final judgment against Pollock that enjoined him from violating Sections 17(a) of the Securities Act of 1933 and 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The judgment also prohibits Pollock from acting as an officer or director of a public company, and requires him to pay a civil penalty in the amount of $170,000, and disgorgement and prejudgment interest in the amount of $80,000. The Commission also obtained a final judgment against Relief Defendant William Watkins, which requires disgorgement of $250,000. Pollock and Watkins, without admitting or denying the allegations of the complaint, consented to the entry of these final judgments. The Commission filed its action on an emergency basis on May 16, 2005, alleging that Aimsi Technologies, Inc., its Chief Executive Officer, Reginald Hall, and a group of stock promoters including Pollock (Promoter Defendants), engaged in a deliberate "pump and dump" scheme to defraud investors, in which the Promoter Defendants, with the active cooperation of Hall, acquired a substantial stake in the shares of Aimsi, orchestrated a fraudulent promotional campaign to drive up the price and trading volume of Aimsi's stock, and then sold their shares at a substantial profit to the investing public after their plan succeeded. The Complaint alleges that before the Commission suspended trading in Aimsi's stock on Dec. 15, 2004, the defendants earned illicit trading profits of at least $3.1 million. In connection with the Commission's filing of the Complaint, it also obtained a temporary restraining order that, among other things, froze defendants' assets. The Complaint charges violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5. The litigation is pending against the remaining defendants. [SEC v. Aimsi Technologies, Inc., et al., 05 CV 4724 (LLS) SDNY] (LR-20119) COURT ENTERS FINAL JUDGMENT AGAINST FORMER BOSTON MONEY MANAGER BRADFORD BLEIDT AND HIS INVESTMENT ADVISORY FIRM The Commission announced that on May 8 U. S. District Judge Nancy Gertner entered final judgments against Bradford C. Bleidt and his investment advisory firm Allocation Plus Asset Management Co., Inc. (Allocation Plus) concerning, among other things, their misappropriation of millions of dollars in advisory client funds. The final judgments enjoin Bleidt and Allocation Plus from future violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and Sections 206(1) and 206(2) of the Advisers Act and order them to pay, jointly and severally, disgorgement of $31,734,192.75 plus prejudgment interest of $9,497,553.30. The Commission's action, which was filed on Nov. 12, 2004, was based on its complaint alleging that Bleidt had admitted to stealing tens of millions of dollars from clients over a period of 20 years in a taped confession delivered to the Commission's Boston office. In its Complaint, the Commission alleged that Bleidt confessed that he diverted client funds into a bank account that he controlled. Bleidt stated in his taped confession that the "day of reckoning" came when he no longer had enough funds to cover a client's request for a withdrawal. "The money's gone. I stole it," Bleidt said in the recording, according to the Complaint. Previously, on Nov. 12, 2004, the Commission sought and obtained an emergency asset freeze and temporary restraining order against Bleidt and Allocation Plus. On Dec. 2, 2004, the Court entered preliminary injunctions against Bleidt and Allocation Plus extending the asset freeze. On Nov. 18, 2004, the Court appointed Boston attorney David A. Vicinanzo as receiver to preserve the assets of the defendants, including a radio station and other entities owned or controlled by Bleidt. On Dec. 5, 2005, Bleidt was sentenced to 11 years and three months in prison and ordered to pay restitution of $31,734,192.75 based upon his guilty plea to parallel criminal charges brought by the U.S. Attorney's Office for the District of Massachusetts. [SEC v. Bradford C. Bleidt, et al., Civil Action No. 04-12415-NG, USDC D. Mass.] (LR- 20120) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change filed by the National Association of Securities Dealers regarding its exemptive authority relating to Regulation NMS trade reporting requirements (SR-NASD-2007-032) 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 May 21. (Rel. 34-55759) A proposed rule change filed by the New York Stock Exchange relating to Rule 13 (Definitions of Orders) to establish the new order type called Do Not Ship (SR-NYSE-2007-24), as amended by Amendment No. 1 thereto, 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 May 21. (Rel. 34-55768) A proposed rule change filed by the National Securities Clearing Corporation relating to its ability to receive transaction data from trade reporting facilities that are facilities of a self-regulatory organization (SR-NSCC-2007-05) 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 May 21. (Rel. 34-55770) ACCELERATED APPROVAL OF PROPOSED RULE CHANGES The Commission granted accelerated approval to a proposed rule change (SR-NASDAQ-2007-046) submitted by The NASDAQ Stock Market to trade three iPath Exchange-Traded Notes pursuant to unlisted trading privileges. Publication is expected in the Federal Register during the week of May 21. (Rel. 34-55760) The Commission granted accelerated approval to a proposed rule change (SR-NASDAQ-2007-045) and Amendment No. 1 thereto submitted by The NASDAQ Stock Market to trade the United States Oil Fund, LP pursuant to unlisted trading privileges. Publication is expected in the Federal Register during the week of May 21. (Rel. 34-55761) The Commission granted accelerated approval of a proposed rule change (SR-NASDAQ-2007-051) filed by The NASDAQ Stock Market to trade shares of the PowerShares DB Commodity Index Tracking Fund pursuant to unlisted trading privileges. Publication is expected in the Federal Register during the week of May 21. (Rel. 34-55767) PROPOSED RULE CHANGES The National Association of Securities Dealers filed a proposed rule change (SR-NASD-2006-044) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 relating to Interpretive Material to NASD Rule 3060 to require members to adopt policies and procedures addressing business entertainment. Publication is expected in the Federal Register during the week of May 21. (Rel. 34-55765) The New York Stock Exchange filed a proposed rule change (SR-NYSE- 2006-06) pursuant to Rule 19(b)(1) of the Securities Exchange Act of 1934 relating to Proposed New Rule 350A (Business Entertainment) Concerning Polices and Procedures Addressing Business Entertainment. Publication is expected in the Federal Register during the week of May 21. (Rel. 34-55766) 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: . N-2 Nicholas Applegate Global Equity & Convertible Income Fund, ONE INTERNATIONAL PLACE, C/O ROPES & GRAY LLP, BOSTON, MA, 02110, 617-951-7000 - 40,000 ($1,000,000.00) Equity, (File 333-142995 - May. 16) (BR. 17) S-8 EQUIFAX INC, 1550 PEACHTREE ST NW, ATLANTA, GA, 30302, 4048858000 - 0 ($100,780,393.00) Equity, (File 333-142997 - May. 16) (BR. 11B) N-2 Stone Harbor Local Markets Income Fund, 303-623-2577 - 0 ($1,000,000.00) Equity, (File 333-142998 - May. 16) (BR. 17) SB-2 WIRELESS RONIN TECHNOLOGIES INC, 14700 MARTIN DRIVE, EDEN PRAIRIE, MN, 55344, 9522248110 - 0 ($39,137,750.00) Equity, (File 333-142999 - May. 16) (BR. 04C) S-8 CAI International, Inc., 415-788-0100 - 0 ($10,829,700.00) Equity, (File 333-143000 - May. 16) (BR. 06A) S-4 DAVITA INC, 601 HAWAII STREET, EL SEGUNDO, CA, 90245, 3105362400 - 0 ($400,000,000.00) Non-Convertible Debt, (File 333-143001 - May. 16) (BR. 01C) S-8 ADA-ES INC, 175,248 ($3,062,025.36) Equity, (File 333-143004 - May. 16) (BR. 06B) S-8 STEWART ENTERPRISES INC, 1333 SOUTH CLEARVIEW PARKWAY, JEFFERSON, LA, 70121, 5047291400 - 5,000,000 ($37,042,800.00) Equity, (File 333-143005 - May. 16) (BR. 11B) S-8 ENOVA SYSTEMS INC, 19850 SOUTH MAGELLAN DR, SUITE 305, TORRANCE, CA, 90502, 3105272800 - 0 ($18,660,000.00) Equity, (File 333-143006 - May. 16) (BR. 10B) S-3ASR ANIXTER INTERNATIONAL INC, 2301 PATRIOT BLVD, GLENVIEW, IL, 60026, 2245218204 - 0 ($300,000,000.00) Debt Convertible into Equity, (File 333-143007 - May. 16) (BR. 10A) SB-2 SMOKY MARKET FOODS INC, 1511 E 2ND ST, WEBSTER CITY, IA, 50595, 866-851-7787 - 18,337,475 ($3,012,898.00) Equity, (File 333-143008 - May. 16) (BR. 05C) N-2 Gabelli Global Gold, Natural Resources & Income Trust, ONE CORPORATE CENTER, RYE, NY, 10580-1422, 800.422.3554 - 0 ($350,000,000.00) Equity, (File 333-143009 - May. 16) (BR. 22) S-8 MARATHON OIL CORP, P O BOX 3128, HOUSTON, TX, 77253-3128, 7136296600 - 0 ($1,794,350,000.00) Equity, (File 333-143010 - May. 16) (BR. 04B) S-8 FIRST FINANCIAL HOLDINGS INC /DE/, 34 BROAD STREET, SUITE 10, CHARLESTON, SC, 29401, 8435295933 - 900,000 ($30,388,500.00) Equity, (File 333-143011 - May. 16) (BR. 07A) S-1 Security Capital Assurance Ltd, ONE BERMUDIANA ROAD, HAMILTON, D0, HM 11, 441-292-8515 - 11,132,025 ($367,022,864.25) Equity, (File 333-143013 - May. 16) (BR. 01B) S-3ASR ADVANCED MAGNETICS INC, 125 CAMBRIDGEPARK DRIVE, 6TH FLOOR, CAMBRIDGE, MA, 02140, 6174972070 - 0 ($0.00) Equity, (File 333-143014 - May. 16) (BR. 01C) S-3 FIRST HORIZON ASSET SECURITIES INC, 4000 HORIZON WAY, IRVING, TX, 75063, 9724845600 - 1,000,000 ($1,000,000.00) Equity, (File 333-143015 - May. 16) (BR. 05D) S-8 INSITE VISION INC, 965 ATLANTIC AVE, --, ALAMEDA, CA, 94501, 5108658800 - 1,990,699 ($3,015,908.99) Equity, (File 333-143016 - May. 16) (BR. 01A) S-4 GENERAL CABLE CORP /DE/, 4 TESSENEER DRIVE, HIGHLAND HEIGHTS, KY, 41076, 8595728000 - 0 ($325,000,000.00) Debt, (File 333-143017 - May. 16) (BR. 06A) S-3 MAXYGEN INC, 515 GALVESTON DRIVE, REDWOOD CITY, CA, 94063, 6502985300 - 0 ($150,000,000.00) Unallocated (Universal) Shelf, (File 333-143018 - May. 16) (BR. 01B) SB-2 INTRAOP MEDICAL CORP, 570 DEL REY AVENUE, SUNNYVALE, CA, 94085, 4086361020 - 7,003,563 ($1,155,587.94) Equity, (File 333-143021 - May. 16) (BR. 10B) S-8 Jazz Technologies, Inc., 4321 JAMBOREE ROAD, NEWPORT BEACH, CA, 92660, (949) 435-8000 - 4,700,000 ($16,356,000.00) Equity, (File 333-143022 - May. 16) (BR. 08A) S-3ASR EVERGREEN SOLAR INC, 138 BARTLETT STREET, MARLBORO, MA, 01752, 508-357-2221 - 0 ($27,420,000.00) Equity, (File 333-143023 - May. 16) (BR. 10B) S-8 AXIS CAPITAL HOLDINGS LTD, 92 PITTS BAY ROAD, PEMBROKE, D0, HM 08, 4412962600 - 0 ($192,225,000.00) Other, (File 333-143024 - May. 16) (BR. 01A) SB-2 NEW MOTION, INC., 42 CORPORATION PARK, SUITE 250, IRVINE, CA, 92606, (949) 777-3700 - 6,362,820 ($86,088,954.60) Equity, (File 333-143025 - May. 16) (BR. 09) S-3ASR MICRON TECHNOLOGY INC, 8000 S FEDERAL WAY, PO BOX 6, BOISE, ID, 83716-9632, 2083684000 - 0 ($0.00) Debt Convertible into Equity, (File 333-143026 - May. 16) (BR. 10B) N-2 GLADSTONE CAPITAL CORP, 1521 WESTBRANCH DRIVE, MCLEAN, VA, 22102, 703-287-5800 - 0 ($300,000,000.00) Other, (File 333-143027 - May. 16) (BR. 17) S-8 PROTON LABORATORIES INC, 1135 ATLANTIC AVE, SUITE 101, ALAMEDA, CA, 94501, 5108656412 - 4,200,000 ($840,000.00) Equity, (File 333-143028 - May. 16) (BR. 02C) S-8 IVANHOE ENERGY INC, SUITE 654, 999 CANADA PLACE, VANCOUVER, A1, V6C 3E1, 4,000,000 ($7,360,000.00) Equity, (File 333-143029 - May. 16) (BR. 04C) S-3 Jazz Technologies, Inc., 4321 JAMBOREE ROAD, NEWPORT BEACH, CA, 92660, (949) 435-8000 - 166,750,000 ($166,750,000.00) Equity, (File 333-143030 - May. 16) (BR. 08A) 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 21ST CENTURY INSURANCE GROUP CA 1.01,8.01,9.01 05/15/07 3M CO DE 8.01,9.01 02/26/07 A J&J PHARMA CORP NV 4.01 05/09/07 ABX AIR INC 5.02 05/09/07 ACCENTURE LTD 8.01 05/15/07 ACCENTURE LTD 8.01 05/15/07 ACCENTURE SCA 8.01 05/15/07 ACCENTURE SCA 8.01 05/15/07 Access Plans USA, Inc. OK 2.02 05/15/07 ADDVANTAGE TECHNOLOGIES GROUP INC OK 1.01,2.02 05/15/07 ADUDDELL INDUSTRIES INC CO 8.01,9.01 05/16/07 ADVANCE AUTO PARTS INC DE 2.02,5.02,9.01 05/16/07 ADVANCED COMMUNICATIONS TECHNOLOGIES FL 4.01,9.01 05/11/07 ADVANCED MAGNETICS INC DE 5.02,5.03,7.01,9.01 05/14/07 AECOM TECHNOLOGY CORP DE 7.01,9.01 05/15/07 AGILE SOFTWARE CORP DE 1.01,2.02,3.03,9.01 05/15/07 AGILE SOFTWARE CORP DE 5.02 05/09/07 Aircastle LTD D0 2.02,9.01 05/14/07 ALBEMARLE CORP VA 8.01,9.01 05/15/07 Alliance Distributors Holding Inc. DE 2.02,9.01 05/15/07 ALLIANCE LAUNDRY HOLDINGS LLC 2.02,9.01 05/15/07 Allied Nevada Gold Corp DE 1.01,2.01,3.02,5.01,8.01,9.01 05/10/07 ALPHARX INC DE 8.01,9.01 05/16/07 Alternative Loan Trust 2007-OA6 DE 8.01,9.01 04/30/07 AM MARKETING INC 4.01 05/09/07 AMB PROPERTY CORP MD 5.03,9.01 05/15/07 AMERICAN ACCESS TECHNOLOGIES INC FL 8.01,9.01 05/16/07 American Caresource Holdings, Inc. DE 2.02,9.01 05/15/07 AMERICAN LAND LEASE INC DE 7.01,9.01 05/15/07 American Natural Energy Corp OK 7.01,9.01 05/15/07 AMREP CORP. OK 5.02 05/15/07 ANDREW CORP DE 5.02 05/10/07 ANGELICA CORP /NEW/ MO 7.01,9.01 05/16/07 APPALACHIAN BANCSHARES INC GA 8.01,9.01 05/16/07 APPLE INC CA 5.02,9.01 05/10/07 ARCH CHEMICALS INC VA 5.02 05/12/07 ASIA GLOBAL HOLDINGS CORP. NV 2.03,9.01 03/12/07 AMEND ASP VENTURES CORP FL 8.01 05/11/07 ASTORIA FINANCIAL CORP DE 8.01,9.01 05/16/07 ASYST TECHNOLOGIES INC CA 2.02,9.01 05/10/07 AVATECH SOLUTIONS INC DE 2.02,5.02,7.01,9.01 05/14/07 AVNET INC NY 8.01,9.01 05/16/07 AXIS CAPITAL HOLDINGS LTD 5.02,8.01,9.01 05/11/07 BA Credit Card Funding, LLC DE 8.01,9.01 05/16/07 BABYUNIVERSE, INC. FL 2.02,7.01,8.01,9.01 05/15/07 BANCORP RHODE ISLAND INC 8.01,9.01 05/16/07 BANK OF THE JAMES FINANCIAL GROUP INC VA 8.01,9.01 05/16/07 BARRIER THERAPEUTICS INC DE 1.01,5.02,9.01 05/16/07 Basin Water, Inc. DE 1.01,9.01 05/10/07 BAUSCH & LOMB INC NY 1.01,8.01,9.01 05/16/07 BEA SYSTEMS INC DE 2.02,8.01,9.01 05/15/07 Bear Stearns Asset Backed Securities DE 9.01 05/16/07 BEARINGPOINT INC DE 5.02,5.05 05/10/07 Behringer Harvard Opportunity REIT I, MD 7.01,9.01 05/16/07 Behringer Harvard Opportunity REIT I, MD 1.01 05/10/07 BERLINER COMMUNICATIONS INC DE 2.01,9.01 02/28/07 AMEND BioMed Realty Trust Inc MD 8.01 05/14/07 BIOMET INC IN 5.02,9.01 05/14/07 BioScrip, Inc. DE 5.02,9.01 05/14/07 BIOTIME INC CA 2.02,9.01 05/16/07 BLACK HAWK EXPLORATION 5.02 05/16/07 BLACK HILLS CORP /SD/ SD 1.01,2.03,9.01 05/11/07 BLUE DOLPHIN ENERGY CO DE 2.02,9.01 05/15/07 BOSTON COMMUNICATIONS GROUP INC MA 5.02 05/14/07 BOSTON PROPERTIES INC DE 5.02,9.01 05/11/07 BOSTON PROPERTIES LTD PARTNERSHIP 5.02,9.01 05/11/07 Buckingham Exploration Inc. NV 3.02 05/16/07 BUSINESS OBJECTS S.A. 1.01,2.03,5.03,9.01 05/11/07 CABOT CORP DE 5.02 05/10/07 CACI INTERNATIONAL INC /DE/ DE 1.01,2.03,3.02,9.01 05/10/07 Capital One Auto Finance Trust 2007-B DE 8.01,9.01 05/10/07 CAPITAL SENIOR LIVING CORP DE 7.01,9.01 05/16/07 CardioVascular BioTherapeutics, Inc. DE 8.01,9.01 05/16/07 CAREGUIDE INC DE 2.02,9.01 05/15/07 CBIZ, Inc. DE 5.02,9.01 05/14/07 CBRL GROUP INC TN 7.01,9.01 05/15/07 CECO ENVIRONMENTAL CORP DE 1.01 05/14/07 Celanese CORP DE 8.01,9.01 05/14/07 Cellu Tissue Holdings, Inc. DE 2.02,9.01 05/15/07 CELSION CORP MD 8.01,9.01 05/11/07 Celsius Holdings, Inc. NV 2.02,7.01,9.01 03/31/07 CENTEX CORP NV 5.02,5.03,9.01 05/10/07 CERTO GROUP CORP. DE 4.01,5.02 05/10/07 CHAMPION PARTS INC IL 2.02,9.01 04/01/07 Chaparral Steel CO DE 1.01,9.01 05/11/07 CHARMING SHOPPES INC PA 1.01,2.03,3.02,8.01,9.01 05/11/07 CHART INDUSTRIES INC DE 7.01,9.01 05/14/07 CHINA AUTOMOTIVE SYSTEMS INC DE 5.02 05/16/07 CHINA SECURITY & SURVEILLANCE TECHNOL D8 1.01,2.01,3.02,9.01 05/16/07 China West Coal Energy Inc TX 4.01,9.01 05/15/07 CHITTENDEN CORP /VT/ VT 8.01,9.01 05/16/07 CIGMA METALS CORP FL 8.01,9.01 05/14/07 CIPHERGEN BIOSYSTEMS INC DE 5.02,9.01 05/15/07 CIPHERGEN BIOSYSTEMS INC DE 2.02,9.01 05/16/07 CIT GROUP INC DE 7.01,9.01 05/16/07 COBIZ INC CO 7.01 05/16/07 COMMERCE ENERGY GROUP, INC. DE 8.01,9.01 05/10/07 COMMUNITY SHORES BANK CORP MI 5.02,9.01 05/10/07 COMMVAULT SYSTEMS INC DE 5.02 05/10/07 CONCURRENT COMPUTER CORP/DE DE 8.01,9.01 05/16/07 CONSECO INC DE 7.01,9.01 05/15/07 CONSOLIDATED EDISON INC NY 2.02,8.01,9.01 05/10/07 CORAUTUS GENETICS INC DE 1.01,1.02,3.02,8.01 05/11/07 CORDIA CORP NV 8.01 05/16/07 CORGENIX MEDICAL CORP/CO NV 8.01 05/15/07 COUSINS PROPERTIES INC GA 5.02,9.01 05/14/07 COVER ALL TECHNOLOGIES INC DE 2.02,9.01 05/14/07 COX RADIO INC DE 8.01,9.01 05/16/07 CRITICAL PATH INC CA 2.02,9.01 05/15/07 CUISINE SOLUTIONS INC DE 2.02,9.01 05/15/07 CUMULUS MEDIA INC DE 4.02,5.02 05/10/07 CUTERA INC DE 8.01,9.01 05/15/07 CVS CAREMARK CORP DE 8.01 05/15/07 Cyberkinetics Neurotechnology Systems DE 8.01 05/10/07 DAYSTAR TECHNOLOGIES INC DE 5.02,9.01 05/09/07 DEERE & CO DE 2.02,7.01,8.01,9.01 05/16/07 DEERE JOHN CAPITAL CORP DE 2.02,7.01,8.01,9.01 05/16/07 DEFENSE INDUSTRIES INTERNATIONAL INC NV 2.02,9.01 05/16/07 AMEND DEL LABORATORIES INC DE 1.01,2.02,9.01 05/16/07 DIGITAL LIGHTWAVE INC DE 1.01,2.03,9.01 05/11/07 Digital Music Group, Inc. DE 5.02,9.01 05/14/07 DIGITAL POWER CORP CA 2.02,9.01 05/14/07 DIGITAL RECORDERS INC NC 7.01,9.01 05/16/07 DIGUANG INTERNATIONAL DEVELOPMENT CO. NV 7.01,9.01 05/16/07 DIOMED HOLDINGS INC NV 1.01,9.01 05/16/07 DISTRIBUTED ENERGY SYSTEMS CORP DE 1.01,2.02,9.01 05/10/07 Dolby Laboratories, Inc. DE 8.01,9.01 05/15/07 Dolby Laboratories, Inc. DE 8.01,9.01 05/15/07 DOLLAR GENERAL CORP TN 8.01 05/16/07 DOR BIOPHARMA INC DE 2.02,9.01 05/16/07 DORCHESTER MINERALS LP DE 7.01,9.01 05/16/07 DOV PHARMACEUTICAL INC DE 1.01,2.02,8.01,9.01 05/10/07 DOW JONES & CO INC DE 3.01 05/10/07 DYNATRONICS CORP UT 2.02,9.01 05/14/07 EAGLE MATERIALS INC DE 8.01 05/10/07 ECOLAB INC DE 1.01,9.01 05/14/07 ECOSPHERE TECHNOLOGIES INC FL 1.01,1.02,5.02,9.01 05/10/07 Education Realty Trust, Inc. MD 7.01,9.01 05/15/07 EDWARDS LIFESCIENCES CORP DE 1.01,9.01 05/10/07 ELECTRO ENERGY INC FL 3.03,9.01 05/10/07 ELECTROGLAS INC DE 1.01,9.01 05/15/07 EMAGIN CORP DE 1.01,2.02,9.01 05/08/07 EMCORE CORP NJ 3.01,9.01 05/14/07 Emergent BioSolutions Inc. DE 5.02 05/16/07 EMPIRE RESOURCES INC /NEW/ DE 2.02,9.01 05/15/07 EMVELCO CORP. DE 1.01,9.01 05/14/07 ENCORE CLEAN ENERGY, INC NV 5.02 11/06/06 EnerSys DE 2.02,9.01 05/16/07 ENIGMA SOFTWARE GROUP, INC DE 2.02,9.01 05/16/07 EPICEPT CORP 2.02,9.01 05/11/07 EPICUS COMMUNICATIONS GROUP INC FL 1.01 05/11/07 EPLUS INC DE 3.01,9.01 05/10/07 EQUUS TOTAL RETURN, INC. DE 2.02,8.01,9.01 05/10/07 EVCI Career Colleges Holding Corp DE 3.01 05/11/07 EXPLORATION CO OF DELAWARE INC DE 1.01,5.02,5.03,7.01,9.01 05/11/07 Federal Home Loan Bank of Dallas 2.03 05/14/07 Federal Home Loan Bank of Des Moines X1 7.01,9.01 05/14/07 FEDERAL SIGNAL CORP /DE/ DE 7.01,9.01 05/15/07 FEDERATED DEPARTMENT STORES INC /DE/ DE 2.02,9.01 05/16/07 Feldman Mall Properties, Inc. MD 2.02,9.01 05/14/07 FIFTH THIRD BANCORP OH 7.01,9.01 05/16/07 FIRST CENTURY BANKSHARES INC WV 8.01,9.01 05/16/07 FIRST COMMONWEALTH FINANCIAL CORP /PA PA 8.01,9.01 05/15/07 FIRST FINANCIAL CORP /IN/ IN 8.01,9.01 05/16/07 FIRST FINANCIAL HOLDINGS INC /DE/ DE 7.01,9.01 03/15/07 FIRST INDIANA CORP IN 2.02,7.01,9.01 05/15/07 FIRST KEYSTONE CORP PA 1.01 05/16/07 FIRST MIDWEST BANCORP INC DE 7.01,9.01 05/15/07 FIRST NATIONAL COMMUNITY BANCORP INC PA 8.01,9.01 05/16/07 FIRST UNITED ETHANOL LLC 1.01 05/11/07 FLUSHING FINANCIAL CORP DE 8.01,9.01 05/15/07 FNBH BANCORP INC MI 5.02 03/01/07 AMEND FORESIGHT SPECIALISTS INC 4.01 05/09/07 FOREST OIL CORP NY 7.01,9.01 05/16/07 FORRESTER RESEARCH INC DE 3.01,9.01 05/15/07 FOUNDRY NETWORKS INC DE 3.01,9.01 05/09/07 FRANKLIN CREDIT MANAGEMENT CORP/DE/ DE 2.02,9.01 05/16/07 FRANKLIN CREDIT MANAGEMENT CORP/DE/ DE 8.01,9.01 05/16/07 Fresh Harvest Products, Inc. 1.02,9.01 05/11/07 FSONA SYSTEMS CORP. NV 4.01,9.01 04/30/07 FUNDSTECH CORP DC 5.02 05/15/07 FUSHI INTERNATIONAL INC NV 8.01,9.01 05/16/07 GASCO ENERGY INC NV 7.01,9.01 05/15/07 GASTAR EXPLORATION LTD 2.02,9.01 05/15/07 GATX CORP NY 1.01,2.03,9.01 05/15/07 GENESIS ENERGY LP DE 7.01 05/15/07 GENESIS HEALTHCARE CORP PA 8.01,9.01 05/11/07 GENTEK INC DE 2.02,9.01 05/15/07 GENZYME CORP MA 7.01,9.01 05/16/07 GEORGIA GULF CORP /DE/ DE 5.02,7.01,9.01 05/14/07 GLOBAL AIRCRAFT SOLUTIONS, INC. AZ 2.02,7.01,9.01 05/16/07 GLOBALNET CORP NV 1.01,2.03,3.02,9.01 05/11/07 GLOBALNET CORP NV 1.01,2.03,3.02 05/11/07 AMEND GlobalOptions Group, Inc. DE 1.01,2.03,8.01,9.01 05/10/07 Golden West Brewing Company, Inc. CA 7.01,9.01 05/16/07 GRAHAM PACKAGING HOLDINGS CO DE 2.02,7.01,9.01 05/15/07 GRANT HAYWARD INC NV 4.01 05/09/07 GREAT SOUTHERN BANCORP INC MD 7.01 05/16/07 GREER J ALLEN INC 4.01 05/09/07 GSE SYSTEMS INC DE 2.02,9.01 05/16/07 HALLWOOD GROUP INC DE 2.02,9.01 05/14/07 HANDHELD ENTERTAINMENT, INC. DE 2.02,9.01 05/15/07 HANGER ORTHOPEDIC GROUP INC DE 5.02 05/10/07 HANOVER CAPITAL MORTGAGE HOLDINGS INC MD 2.02,8.01,9.01 05/11/07 HARLEYSVILLE NATIONAL CORP PA 1.01,7.01,9.01 05/15/07 HARRIS & HARRIS GROUP INC /NY/ NY 8.01 05/14/07 HARRIS INTERACTIVE INC DE 1.01,9.01 05/10/07 HEALTH CARE REIT INC /DE/ DE 8.01 05/11/07 HEALTH SCIENCES GROUP INC DE 5.02 04/27/07 HealthMarkets, Inc. DE 5.02 05/14/07 HEARUSA INC DE 2.02,9.01 05/15/07 HEAT 2007-3 DE 8.01,9.01 05/16/07 HEPALIFE TECHNOLOGIES INC FL 1.01,1.02,3.02,7.01,9.01 05/11/07 HEWLETT PACKARD CO DE 2.02,9.01 05/16/07 HOME EQUITY MORTGAGE TRUST 2007-2 DE 9.01 04/30/07 Hometown Bancorp,Inc. X1 1.01,9.01 05/14/07 HOSPITALITY PROPERTIES TRUST MD 1.01,3.03,8.01,9.01 05/15/07 HRPT PROPERTIES TRUST MD 1.01,8.01,9.01 05/15/07 HUNGARIAN TELEPHONE & CABLE CORP DE 2.02,9.01 05/15/07 HYDROMER INC NJ 8.01 05/14/07 IA GLOBAL INC DE 2.02,9.01 05/16/07 ICO INC TX 7.01 04/24/07 ICP Solar Technologies Inc. 1.01,2.01,8.01,9.01 05/15/07 AMEND IGI INC DE 2.02,8.01,9.01 05/10/07 IKONICS CORP 2.02,9.01 05/15/07 INDALEX HOLDINGS FINANCE INC 2.02,9.01 05/16/07 INDUSTRIAL SERVICES OF AMERICA INC /F FL 8.01,9.01 05/15/07 IndyMac INDX Mortgage Loan Trust 2007 8.01,9.01 04/27/07 INFINITY ENERGY RESOURCES, INC 8.01 05/15/07 INFORMATION ANALYSIS INC VA 2.02,9.01 05/10/07 INLAND REAL ESTATE CORP MD 7.01,9.01 05/16/07 INOVIO BIOMEDICAL CORP 1.01,8.01,9.01 05/14/07 INTEGRATED SILICON SOLUTION INC DE 3.01 05/14/07 INTEL CORP DE 1.01,9.01 05/16/07 Intellect Neurosciences, Inc. 4.01 05/10/07 INTER TEL (DELAWARE), INC DE 8.01,9.01 05/14/07 INTERNATIONAL ASSETS HOLDING CORP DE 2.02,7.01,9.01 05/15/07 INVESTORS REAL ESTATE TRUST ND 5.03,9.01 05/16/07 INX Inc DE 7.01,9.01 05/16/07 IOMED INC UT 2.02,9.01 05/15/07 IONATRON, INC. DE 5.02 05/11/07 IRWIN FINANCIAL CORP IN 5.02,7.01,8.01,9.01 05/16/07 J P MORGAN CHASE & CO DE 9.01 05/15/07 JACK IN THE BOX INC /NEW/ DE 2.02,9.01 05/16/07 JACLYN INC DE 2.02,9.01 05/15/07 JACOBS ENTERTAINMENT INC DE 2.02,9.01 05/15/07 Juma Technology Corp. 2.01,9.01 03/07/07 AMEND KEITHLEY INSTRUMENTS INC OH 1.01,9.01 05/11/07 KV PHARMACEUTICAL CO /DE/ DE 7.01,9.01 05/16/07 L-1 IDENTITY SOLUTIONS, INC. DE 1.01,5.03,8.01,9.01 05/16/07 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 05/15/07 Lares Asset Securitization, Inc. DE 8.01,9.01 05/01/07 Liberty Global, Inc. 7.01 05/16/07 LIGHTPATH TECHNOLOGIES INC DE 2.02,9.01 05/15/07 LITHIUM TECHNOLOGY CORP DE 3.02,9.01 05/11/07 Live Nation, Inc. DE 5.02,9.01 05/11/07 LOCATEPLUS HOLDINGS CORP 3.01 05/14/07 LONE STAR TECHNOLOGIES INC DE 8.01 05/15/07 LONGS DRUG STORES CORP MD 2.02,9.01 05/16/07 LYONDELL CHEMICAL CO DE 8.01,9.01 05/15/07 M&T BANK CORP NY 7.01,9.01 05/16/07 MARRIOTT INTERNATIONAL INC /MD/ DE 1.01,2.03,9.01 05/14/07 MAXIMUM AWARDS INC 1.01,5.02,9.01 05/15/07 MAXXAM INC DE 8.01 05/15/07 MEDAREX INC NJ 5.02,9.01 05/16/07 MEDIALINK WORLDWIDE INC DE 2.02,9.01 05/15/07 Mediavest, Inc. NJ 4.01,9.01 05/15/07 MENTOR CORP /MN/ MN 2.02,9.01 05/16/07 Mercantile Bancorp, Inc. DE 2.02,9.01 05/16/07 MERIDIAN BIOSCIENCE INC OH 5.03,8.01,9.01 05/11/07 Meruelo Maddux Properties, Inc. DE 2.02,9.01 05/15/07 Metabolic Research, Inc. IN 1.01,3.02,9.01 05/16/07 MICROISLET INC NV 1.01,2.02,2.03,2.05,3.03,8.01, 05/10/07 9.01 Microsmart Devices, Inc. NV 1.01,5.01,5.03,7.01,9.01 05/11/07 MICROSOFT CORP WA 8.01,9.01 04/26/07 MIDDLEFIELD BANC CORP OH 7.01,9.01 05/16/07 MISONIX INC NY 1.01,9.01 05/14/07 MOBILITY ELECTRONICS INC DE 7.01,9.01 05/14/07 MODINE MANUFACTURING CO WI 8.01,9.01 05/16/07 MORGAN GROUP HOLDING CO 7.01 05/11/07 Morgan Stanley ABS Capital I Inc. Tru DE 8.01,9.01 04/26/07 MortgageIT Securities Corp. DE 8.01,9.01 05/16/07 MOTIENT CORP DE 7.01,9.01 05/16/07 MPC CORP CO 2.02,8.01,9.01 05/15/07 MULTI COLOR CORP OH 2.02,9.01 05/11/07 MULTIBAND CORP MN 7.01 05/15/07 Nalco Finance Holdings LLC 1.02,5.02 05/11/07 Nalco Holding CO 1.02,5.02 05/11/07 Nalco Holdings LLC DE 1.02,5.02 05/11/07 NAPSTER INC DE 2.02,9.01 05/16/07 Nascent Wine Company, Inc. 1.01,2.01,9.01 05/11/07 NATIONAL BANCSHARES CORP /OH/ OH 2.02,9.01 05/16/07 NATIONAL COAL CORP FL 2.02,9.01 05/15/07 NATIONAL HOME HEALTH CARE CORP DE 8.01,9.01 05/15/07 Natixis Real Estate Capital Trust 200 DE 8.01,9.01 04/30/07 NATURAL HEALTH TRENDS CORP DE 5.02 05/10/07 NATURAL RESOURCE PARTNERS LP DE 5.02,9.01 05/16/07 NAUTILUS, INC. WA 8.01,9.01 05/11/07 NEOPHARM INC DE 5.02,9.01 05/10/07 New England Bancshares, Inc. 8.01,9.01 05/15/07 NEW YORK MORTGAGE TRUST INC MD 2.02,7.01,9.01 05/14/07 NewGen Technologies, Inc NV 1.01 05/16/07 NEWS CORP 8.01,9.01 05/15/07 NEXTEST SYSTEMS CORP 5.02,9.01 05/15/07 NOBLE CORP 7.01,9.01 05/16/07 NORTEL NETWORKS CORP 8.01,9.01 05/16/07 NORTEL NETWORKS LTD 8.01,9.01 05/16/07 NORTHWEST BANCORP INC PA 8.01,9.01 05/16/07 NOVADEL PHARMA INC DE 2.02,8.01,9.01 05/15/07 O CHARLEYS INC TN 2.02,7.01,9.01 05/16/07 O CHARLEYS INC TN 2.02,7.01,9.01 05/16/07 AMEND O2DIESEL CORP 2.02,9.01 05/16/07 OCEAN SHORE HOLDING CO X1 7.01,9.01 05/15/07 OI CORP OK 2.02,9.01 05/15/07 OMNI ENERGY SERVICES CORP LA 2.01 03/02/07 AMEND OMNI ENERGY SERVICES CORP LA 2.01,9.01 03/02/07 AMEND OPNET TECHNOLOGIES INC DE 2.02,9.01 05/16/07 Optelecom-NKF, Inc. DE 2.02,9.01 05/02/07 Option One Mortgage Loan Trust 2007-4 DE 2.01,9.01 04/06/07 Owens Corning DE 7.01,9.01 05/16/07 PACCAR INC DE 1.01,9.01 05/16/07 PACIFIC CMA INC DE 5.02 05/10/07 PACIFIC CONTINENTAL CORP OR 5.03,9.01 05/15/07 PARKWAY PROPERTIES INC MD 5.02 05/10/07 PARTNERRE LTD 8.01,9.01 05/11/07 Pathogenics, Inc. 1.02,9.01 05/15/07 PDG ENVIRONMENTAL INC DE 5.02 05/02/07 PDI INC 2.02,9.01 05/09/07 PEAK INTERNATIONAL LTD D0 3.01,5.02 05/14/07 PEAK INTERNATIONAL LTD D0 2.02,9.01 05/16/07 PENN TREATY AMERICAN CORP PA 3.02,9.01 03/11/07 PETMED EXPRESS INC FL 8.01,9.01 05/14/07 PETSMART INC DE 2.02,5.02,9.01 05/15/07 PFF BANCORP INC DE 8.01,9.01 05/14/07 PFIZER INC DE 8.01,9.01 05/16/07 PFSWEB INC DE 2.02 05/15/07 PHARMION CORP 1.01,8.01,9.01 05/10/07 PHOTRONICS INC CT 2.02,9.01 05/15/07 PIERRE FOODS INC NC 5.02,9.01 05/11/07 PINNACLE AIRLINES CORP DE 5.02,8.01,9.01 05/14/07 PLIANT CORPORORATION DE 7.01,9.01 05/16/07 PNC FINANCIAL SERVICES GROUP INC PA 2.02,9.01 05/16/07 PNM RESOURCES INC NM 8.01 05/16/07 POSSIS MEDICAL INC MN 7.01,9.01 05/16/07 POWER INTEGRATIONS INC CA 2.02,9.01 05/15/07 POWER TECHNOLOGY INC/CN NV 8.01 05/10/07 PPL CORP PA 8.01,9.01 05/16/07 PRECISION OPTICS CORPORATION INC MA 2.02,9.01 05/15/07 PRINCIPAL LIFE INSURANCE CO IA 9.01 05/11/07 PRINCIPAL LIFE INSURANCE CO IA 9.01 05/11/07 PRINCIPAL LIFE INSURANCE CO IA 9.01 05/11/07 PROASSURANCE CORP DE 5.02,8.01,9.01 05/12/07 PROGINET CORP DE 2.02,9.01 05/15/07 PROGRESSIVE CORP/OH/ OH 7.01,9.01 05/16/07 PROSPECT MEDICAL HOLDINGS INC DE 2.02,9.01 05/15/07 PROVIDENCE RESOURCES INC TX 8.01 05/11/07 PRUDENTIAL BANCORP INC OF PENNSYLVANI 5.03,9.01 05/16/07 PSYCHIATRIC SOLUTIONS INC DE 5.02,9.01 05/10/07 PURE BIOFUELS CORP NV 1.01,3.02,5.02,8.01 05/11/07 QUADRAMED CORP DE 8.01,9.01 05/14/07 QUANEX CORP DE 7.01 05/16/07 QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 1.01,9.01 05/11/07 QUIPP INC FL 2.02,9.01 05/11/07 QUOVADX INC DE 5.02 05/14/07 RAM ENERGY RESOURCES INC DE 2.01 05/15/07 RAMBUS INC DE 3.01,9.01 05/14/07 REALNETWORKS INC WA 7.01,9.01 05/15/07 RED HAT INC DE 5.02,9.01 05/10/07 REMINGTON ARMS CO INC/ DE 7.01,9.01 05/16/07 REPUBLIC BANCORP INC /KY/ KY 7.01,9.01 05/16/07 Republic Property Trust MD 1.01,8.01 05/10/07 RIVER HAWK AVIATION INC DE 1.01,9.01 05/09/07 RIVERSOURCE LIFE INSURANCE CO MN 8.01 05/15/07 ROBERTS REALTY INVESTORS INC GA 1.01,9.01 05/11/07 ROYAL QUANTUM GROUP INC NV 1.01,2.03,5.03,8.01,9.01 05/09/07 S Y BANCORP INC KY 5.02,9.01 05/15/07 S Y BANCORP INC KY 8.01,9.01 05/15/07 SALESFORCE COM INC DE 2.02,9.01 05/16/07 SALISBURY BANCORP INC CT 7.01,9.01 05/16/07 SALTON INC DE 2.02,8.01,9.01 05/15/07 SAN HOLDINGS INC CO 2.02,9.01 05/16/07 SAN HOLDINGS INC CO 1.01,9.01 05/16/07 SCRIPPS E W CO /DE OH 5.02,5.03,9.01 05/10/07 SECURITY BANK CORP GA 5.02,8.01,9.01 05/10/07 SEMCO ENERGY INC MI 8.01 05/15/07 SENDTEC, INC. 2.02,9.01 05/15/07 SENESCO TECHNOLOGIES INC DE 2.02,9.01 05/16/07 SERVICEMASTER CO DE 7.01 05/16/07 SERVOTRONICS INC /DE/ DE 2.02,9.01 05/15/07 SHELBY GROUP INC 4.01 05/09/07 SIERRA HEALTH SERVICES INC NV 8.01 05/16/07 SIMCLAR INC FL 5.02,8.01,9.01 05/10/07 SIMMONS CO DE 2.02,9.01 05/15/07 Sino Gas International Holdings, Inc. UT 8.01 05/15/07 SIRVA INC DE 2.02,7.01,9.01 05/15/07 SKY PETROLEUM, INC. NV 4.02 05/15/07 SLADES FERRY BANCORP MA 7.01,9.01 05/15/07 SMITH & WESSON HOLDING CORP NV 5.02,9.01 05/10/07 Solo Cup CO DE 2.02,9.01 05/15/07 SONESTA INTERNATIONAL HOTELS CORP NY 5.02 05/16/07 SOURCE INTERLINK COMPANIES INC DE 1.01,7.01,9.01 05/13/07 SPARTAN STORES INC MI 2.02,9.01 05/16/07 SpeechSwitch, Inc. NJ 1.01,3.02,9.01 05/04/07 SPHERION CORP DE 8.01,9.01 05/15/07 SPHERIX INC DE 2.02,9.01 05/14/07 ST JOE CO FL 5.02 05/15/07 Stanley, Inc. DE 2.02,9.01 05/16/07 STAR SCIENTIFIC INC DE 1.01 05/10/07 STILLWATER MINING CO /DE/ DE 8.01 05/15/07 STRATEGIC INTERNET INVESTMENTS INC DE 8.01 04/23/07 STRUCTURED PRODUCTS CORP CORTS R TR F DE 8.01,9.01 05/02/07 SunOpta Inc. 7.01,9.01 05/16/07 Surfect Holdings, Inc NV 3.02,9.01 05/03/07 Surge Global Energy, Inc. 1.01,2.01,9.01 03/02/07 AMEND Susser Holdings CORP DE 2.02,9.01 05/16/07 TANDY BRANDS ACCESSORIES INC DE 1.01,9.01 05/16/07 Targa Resources Partners LP DE 2.02,9.01 05/15/07 TASKER PRODUCTS CORP NV 5.02 05/10/07 TELULAR CORP DE 5.02 05/14/07 Terra Nova Financial Group Inc TX 2.02,9.01 05/15/07 TERREMARK WORLDWIDE INC DE 1.01,7.01,8.01,9.01 05/11/07 TIBCO SOFTWARE INC DE 5.02,9.01 05/15/07 TIER TECHNOLOGIES INC DE 5.03 05/16/07 TIER TECHNOLOGIES INC DE 7.01 05/16/07 TIERONE CORP 7.01,9.01 05/15/07 TII NETWORK TECHNOLOGIES, INC. DE 2.02,8.01,9.01 05/15/07 TNS INC 2.02,7.01,9.01 05/07/07 AMEND TOFUTTI BRANDS INC DE 2.02,9.01 05/16/07 TOLLGRADE COMMUNICATIONS INC \PA\ PA 7.01,9.01 05/16/07 TOWER FINANCIAL CORP IN 7.01,9.01 05/15/07 TRAILER BRIDGE INC 2.02,9.01 05/15/07 TRANSACTION SYSTEMS ARCHITECTS INC DE 3.01,5.02,7.01,9.01 05/10/07 TRIPOS INC UT 1.01,1.02,9.01 05/15/07 TRUE RELIGION APPAREL INC NV 4.01,9.01 05/11/07 U.S. Helicopter CORP DE 1.01,2.03,3.02,9.01 05/14/07 uBid.com Holdings, Inc. DE 5.02,9.01 05/14/07 ULTIMATE SOFTWARE GROUP INC DE 5.02,9.01 05/15/07 UMPQUA HOLDINGS CORP OR 5.02,9.01 05/16/07 UNIGENE LABORATORIES INC DE 1.01,8.01,9.01 05/10/07 UNION NATIONAL FINANCIAL CORP / PA PA 1.01,5.02,9.01 05/11/07 UNITED FUEL & ENERGY CORP NV 2.02,9.01 05/15/07 UNITED STATES STEEL CORP DE 8.01,9.01 05/16/07 UNITEDHEALTH GROUP INC MN 8.01 05/16/07 UNITRIN INC DE 5.02,8.01 05/14/07 UNIVERSAL CITY DEVELOPMENT PARTNERS L 7.01 05/16/07 Universal City Florida Holding Co. I FL 7.01 05/16/07 UTSTARCOM INC DE 2.02 05/10/07 VELOCITY EXPRESS CORP DE 7.01,9.01 05/15/07 VELOCITY EXPRESS CORP DE 7.01,9.01 05/16/07 Venoco, Inc. DE 2.02,9.01 05/16/07 VIRGINIA ELECTRIC & POWER CO VA 8.01,9.01 05/14/07 VISANT CORP 8.01,9.01 05/16/07 VISANT HOLDING CORP 2.01,9.01 05/16/07 VISTA GOLD CORP 1.01,2.01,3.02,5.03,8.01,9.01 05/10/07 VISUALANT INC NV 8.01,9.01 05/09/07 VITA FOOD PRODUCTS INC NV 1.01,2.02,5.01,9.01 05/14/07 VitalTrust Business Development CORP 5.02,8.01,9.01 05/08/07 VNUS MEDICAL TECHNOLOGIES INC 2.02 05/09/07 AMEND WESTAR ENERGY INC /KS KS 1.01,2.03,9.01 05/16/07 WESTBOROUGH FINANCIAL SERVICES INC MA 1.01,9.01 05/15/07 WESTERN SIZZLIN CORP DE 2.02,5.02,9.01 05/15/07 WESTSTAR FINANCIAL SERVICES CORP NC 8.01,9.01 05/16/07 WHITE MOUNTAINS INSURANCE GROUP LTD D0 8.01,9.01 05/16/07 WHITE MOUNTAINS INSURANCE GROUP LTD D0 7.01,9.01 05/16/07 WINMARK CORP MN 1.01 05/15/07 WINNER MEDICAL GROUP INC NV 7.01,9.01 05/16/07 WORLD FINANCIAL NETWORK CREDIT CARD M DE 8.01,9.01 05/15/07 XELR8 HOLDINGS, INC. NV 8.01,9.01 05/10/07 XEROX CORP NY 5.04,9.01 05/11/07 YORK WATER CO PA 7.01,9.01 05/16/07 ZAREBA SYSTEMS INC MN 5.03,9.01 05/10/07