SEC NEWS DIGEST Issue 2007-108 June 6, 2007 COMMISSION ANNOUNCEMENTS COMMISSION MEETINGS Following is a schedule of Commission meetings, which will be conducted under provisions of the Government in the Sunshine Act. Meetings will be scheduled according to the requirements of agenda items under consideration. Open meetings will be held in the Auditorium, Room LL-002 at the Commission's headquarters building, 100 F Street, N.E., Washington, D.C. Visitors are welcome at all open meetings, insofar as space is available. Persons wishing to photograph or videotape Commission meetings must obtain permission in advance from the Secretary of the Commission. Persons wishing to tape record a Commission meeting should notify the Secretary's office 48 hours in advance of the meeting. Any member of the public who requires auxiliary aids such as a sign language interpreter or material on tape to attend a public meeting should contact Rochelle Franks, Office of Human Resources, to make arrangements. Ms. Franks can be reached at TTY number (202) 551-4106. In the event Ms. Franks cannot be reached, you may call the interpreter directly at (202) 551-4158. If you are calling from a non TTY number, please call the Relay Service at 1 866 377 8642. OPEN MEETING - TUESDAY, JUNE 12, 2007 - 9:00 A.M. The subject matter of the open meeting scheduled for Tuesday, June 12, at 9:00 a.m. will be: The Commission will hold a roundtable discussion regarding selective mutual recognition of foreign jurisdictions. The discussion will address the implications of granting foreign market participants access to U.S. investors under an abbreviated registration system, provided those entities are supervised in a foreign jurisdiction that has a securities regulatory regime substantially comparable (but not necessarily identical) to that in the United States. The roundtable will explore whether selective mutual recognition would benefit U.S. investors by providing greater cross-border access to foreign investment opportunities while preserving investor protection. OPEN MEETING - WEDNESDAY, JUNE 13, 2007 - 10:00 A.M. The subject matter of the open meeting scheduled for Wednesday, June 13, at 10:00 a.m. will be: 1. The Commission will consider whether to adopt amendments to the grandfather provision of Rule 203 of Regulation SHO and the market decline limitation of Rule 200(e)(3). 2. The Commission will consider whether to re-propose amendments to the options market maker exception to the close-out requirement of Regulation SHO and the marking requirements of Rule 200(g) of Regulation SHO. 3. The Commission will consider whether to adopt amendments to the short sale price test of Rule 10a-1. In addition, the Commission will consider whether to adopt an amendment to the "short exempt" marking requirement of Regulation SHO. 4. The Commission will consider whether to adopt amendments to Rule 105 of Regulation M that would further safeguard the integrity of the capital raising process and protect issuers from manipulative activity that can reduce issuers' offering proceeds and dilute security holder value. CLOSED MEETING - THURSDAY, JUNE 14, 2007 - 10:00 A.M. The subject matter of the closed meeting scheduled for Thursday, June 14, will be: Formal orders of investigations; Institution and settlement of injunctive actions; Institution and settlement of administrative proceedings of an enforcement nature; Resolution of litigation claims; Other matters related to enforcement proceedings; and An adjudicatory matter. 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 DISMISSES PROCEEDING WITH RESPECT TO FUELNATION, INC. On Nov. 8, 2006, the Commission issued an Order Instituting Proceedings against FuelNation, Inc. and four other respondents under Section 12(j) of the Securities Exchange Act of 1934, seeking the suspension or revocation of the registration of FuelNation's securities. The Division of Enforcement subsequently filed a motion to dismiss FuelNation from the proceeding on the ground that FuelNation no longer had any class of securities registered pursuant to Section 12 of the Exchange Act. The Commission found that, because revocation or suspension of registration are the only remedies available in a proceeding instituted under Exchange Act Section 12(j), it was appropriate to dismiss the proceeding against FuelNation. (Rel. 34- 55863; File No. 3-12475) COMMISSION DENIES MOTION FOR RECONSIDERATION FILED BY AMERICA'S SPORTS VOICE, INC. ((N/K/A MILAGRO HOLDINGS, INC.). The Commission has denied the motion of America's Sports Voice, Inc., n/k/a Milagro Holdings, Inc. for reconsideration of the Commission's March 22, 2007 decision revoking the registration of the company's securities based on violations of the periodic reporting requirements of the federal securities laws. In denying the motion, the Commission found that America's Sports Voice failed to identify any manifest errors of law or fact in the Commission's earlier decision. (Rel. 34- 55867; File No. 3-12329) SEC ISSUES NOTICE OF PROPOSED DISTRIBUTION PLAN AND OPPORTUNITY FOR COMMENT IN FRANKLIN ADVISERS MARKET TIMING CASE The Commission announced today that it has given notice, pursuant to Rule 1103 of the Securities and Exchange Commission's Rules on Fair Fund and Disgorgement Plans, 17 C.F.R. § 201.1103, that the Division of Enforcement has filed a proposed plan (Distribution Plan) for the distribution of monies placed into a Fair Fund pursuant to Section 308(a) of the Sarbanes Oxley Act of 2002 in the Matter of Franklin Advisers, Inc., Administrative Proceeding File No. 3-11572. The Fair Fund is comprised of $50 million in disgorgement and civil penalties paid by Franklin Advisers, Inc. (Franklin), plus accumulated interest. Under the Distribution Plan, eligible investors would receive proportionate shares of the Fair Fund to compensate them for market timing during the period of Dec. 31, 1996, through Oct. 18, 2001, in mutual funds for which Franklin served as the investment adviser. Interested parties may print a copy of the Distribution Plan from the Commission's public website, http://www.sec.gov/, or the Franklin Templeton Investments public website, http://www.franklintempleton.com. Interested parties may also obtain a written copy of the Distribution Plan by submitting a written request to Cary S. Robnett, Assistant Regional Director, U.S. Securities and Exchange Commission, 44 Montgomery Street, Suite 2600, San Francisco, CA 94104. All persons who desire to comment on the Distribution Plan may submit their comments, in writing, no later than July 6, 2007: (1) to the Office of the Secretary, U.S. Securities and Exchange Commission, 100 F Street, N.E., Washington, DC 20549-1090; (2) by using the Commission's Internet comment form (http://www.sec.gov/litigation/admin.shtml); or (3) by sending an e- mail to rule-comments@sec.gov. Comments submitted by email or via the Commission's website should include "Administrative Proceeding File Number 3-11572" on the subject line. Comments received will be publicly available. Persons should submit only information that they wish to make publicly available. For more information, see Investment Advisers Act of 1940 Release No. 2271 (Aug. 2, 2004); Investment Company Act of 1940 Release No. 26523 (Aug. 2, 2004), and Press Release No. 2004-102 (Aug. 2, 2004). (Rel. 34-55868; File No. 3-11572) IN THE MATTER OF CHRIS G. GUNDERSON On June 6, the Commission issued an Order Instituting Administrative Proceedings and Imposing Temporary Suspension Pursuant to Rule 102(e)(3) of the Commission's Rules of Practice (Order) against Chris G. Gunderson. The Order finds that a court of competent jurisdiction has found that Gunderson violated the federal securities laws, and has permanently enjoined him from further violations. Based on the above, the Order temporarily suspends Gunderson from appearing or practicing before the Commission. If Gunderson does not petition to lift that suspension within thirty days after service of the Order, the suspension will become permanent pursuant to Rule 102(e)(3)(ii) of the Commission's Rules of Practice. (Rel. 34-55869; File No. 3-12653) OREGON INVESTMENT ADVISER AND HIS COMPANIES CONSENT TO THE ENTRY OF PERMANENT INJUNCTIONS The Commission today announced that C. Wesley Rhodes, age 55 and a resident of West Linn, Oregon, and three Oregon companies he controlled consented to be enjoined from future securities fraud. The Commission's complaint alleges that Rhodes and his companies raised millions of dollars from individual investors, including many senior citizens, by representing that he would invest their money in stocks and bonds. The complaint further alleges that contrary to representations made to investors, Rhodes did not invest their funds in stocks and bonds. Instead, Rhodes took their money and used it for other purposes, including buying vintage automobiles and sports memorabilia. According to the complaint, Rhodes sent account statements to the investors representing that their investments had an aggregate value of nearly $40 million as of June 30, 2006. On Sept. 21, 2006, however, Rhodes had less than $2 million invested in stocks and bonds. Rhodes and his companies, without admitting or denying the allegations of the Commission's complaint, consented to the entry of final judgments permanently enjoining them from future violations of the antifraud provisions of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 206(1) and 206(2) of the Investment Advisers Act of 1940. The court entered the permanent injunctions on May 30, 2007. The Commission continues to seek return of ill-gotten gains with prejudgment interest and penalties against all defendants. [SEC v. C. Wesley Rhodes, Jr., Rhodes Econometrics, Inc., The Rhodes Company, and Resource Transactions, Inc., Civil Action No. CV06-01353-MO (D. Or.)] (LR-20144) MASSACHUSETTS HEDGE FUND ADVISER SENTENCED TO 7 YEARS The Commission announced that on May 7, 2007, Mark R. Conway, formerly of Waltham, Massachusetts, was sentenced to seven years in prison, to be followed by three years of supervised release, a $1,300 special assessment fine and payment of restitution in the amount of $20 million based upon his guilty plea to criminal charges brought by the United States Attorney's Office for the District of Massachusetts pursuant to a criminal Information. On Oct. 23, 2006, Conway pleaded guilty to 13 counts of mail and wire fraud in connection with a scheme in which he defrauded approximately 50 investors of more than $20 million. The U.S. Attorney's Office has civilly forfeited approximately $15 million in funds from bank accounts controlled by Conway and will apply the forfeited funds to the restitution amount to be returned to investors. On Nov. 4, 2005, the Commission filed an enforcement action and obtained emergency relief (including an asset freeze) against Conway and his firm, Groundswell Partners based on conduct similar to that in the criminal Information referred to above. On June 30, 2006, the Commission obtained default judgments against Groundswell Partners and Groundswell Capital, a relief defendant. The Commission is continuing to litigate its action against Conway. For further information, please see Litigation Release Nos. 19460 (Nov. 9, 2005), 19473 (Nov. 22, 2005), 19773 (July 26, 2006), 19807 (Aug. 17, 2006). [U.S. v. Mark R. Conway, 06-CR-10236-PBS (D. Mass.); SEC v. Mark R. Conway and Groundswell Partners LLC, 05-12209-RWZ (D. Mass.)] (LR-20145) SELF-REGULATORY ORGANIZATIONS APPROVAL OF PROPOSED RULE CHANGE The Commission granted approval to a proposed rule change filed by The NASDAQ Stock Market relating to the waiver of fees upon relisting of companies removed for late filings (SR-NASDAQ-2007-040) pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of June 11. (Rel. 34-55832) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change (SR-CBOE-2007-56) filed by the Chicago Board Options Exchange relating to market maker obligations 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 June 11. (Rel. 34-55853) ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission noticed and granted accelerated approval to a proposed rule change by The NASDAQ Stock Market (SR-NASDAQ-2007-053) relating to trading shares of the PowerShares DB Energy Fund, the PowerShares DB Oil Fund, the PowerShares DB Precious Metals Fund, the PowerShares DB Gold Fund, the PowerShares DB Silver Fund, the PowerShares DB Base Metals Fund, and the PowerShares DB Agriculture Fund pursuant to unlisted trading privileges. Publication is expected in the Federal Register during the week of June 11. (Rel. 34-55862) 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 ALESCO FINANCIAL INC, CIRA CENTRE, 2929 ARCH STREET, 17TH FLOOR, PHILADELPHIA, PA, 19104, 215-701-9555 - 921,349 ($8,798,883.00) Equity, (File 333-143503 - Jun. 5) (BR. 08C) S-8 OPTIUM CORP, 200 PRECISION ROAD, HORSHAM, PA, 19044, 2678033800 - 0 ($14,495,272.45) Equity, (File 333-143504 - Jun. 5) (BR. 10B) S-8 CISCO SYSTEMS INC, 170 WEST TASMAN DR, SAN JOSE, CA, 95134-1706, 4085264000 - 15,378,787 ($250,466,530.64) Equity, (File 333-143506 - Jun. 5) (BR. 03C) S-1 Robcor Properties Inc, 7 GRAPHICS DRIVE, EWING, NJ, 08628, 609 637-9700 - 0 ($111,703,030.00) Equity, (File 333-143507 - Jun. 5) (BR. 08C) S-8 Fox Chase Bancorp Inc, 4390 DAVISVILLE ROAD, HATBORO, PA, 19040, 215-682-7400 - 1,007,030 ($13,886,944.00) Equity, (File 333-143509 - Jun. 5) (BR. 07C) S-3ASR JANUS CAPITAL GROUP INC, 151 DETROIT ST, DENVER, CO, 80206, 3033333863 - 0 ($0.00) Other, (File 333-143510 - Jun. 5) (BR. 06A) S-8 ZENITH NATIONAL INSURANCE CORP, 21255 CALIFA ST, WOODLAND HILLS, CA, 91367, 8187131000 - 0 ($24,260,000.00) Equity, (File 333-143511 - Jun. 5) (BR. 01C) SB-2 Tara Minerals Corp., 2162 ACORN COURT, WHEATON, IL, 60187, 630-462-2079 - 0 ($3,269,600.00) Equity, (File 333-143512 - Jun. 5) (BR. 04) S-3 SunTrust Auto Receivables, LLC, 303 PEACHTREE STREET, N.E., 11TH FLOOR, ATLANTA, GA, 30308, (404)588-7711 - 0 ($1,000,000.00) Asset-Backed Securities, (File 333-143513 - Jun. 5) (BR. ) S-8 PENN VIRGINIA CORP, 100 MATSONFORD ROAD SUITE 300, THREE RADNOR CORPORATE CENTER, RADNOR, PA, 19087, 6106878900 - 1,000,000 ($79,140,000.00) Equity, (File 333-143514 - Jun. 5) (BR. 04C) S-3 SOVEREIGN BANCORP INC, 1500 MARKET ST, PHILADELPHIA, PA, 19102, 2155574630 - 3,674,996 ($85,204,782.26) Equity, (File 333-143515 - Jun. 5) (BR. 07C) S-8 CORN PRODUCTS INTERNATIONAL INC, 5 WESTBROOK CORPORATE CENTER, WESTCHESTER, IL, 60154, 7085512600 - 440,000 ($17,982,800.00) Equity, (File 333-143516 - Jun. 5) (BR. 04A) S-8 SPIRE CORP, ONE PATRIOTS PARK, BEDFORD, MA, 01730-2396, 6172756000 - 1,000,000 ($9,750,150.00) Equity, (File 333-143517 - Jun. 5) (BR. 10C) S-3 CITIZENS INC, 400 EAST ANDERSON LANE, AUSTIN, TX, 78752, 5128377100 - 0 ($125,000,000.00) Equity, (File 333-143518 - Jun. 5) (BR. 01A) S-8 GREATBATCH, INC., 9645 WEHRLE DRIVE, CLARENCE, NY, 14031, 716-759-5600 - 1,450,000 ($42,949,000.00) Other, (File 333-143519 - Jun. 5) (BR. 10B) S-8 Bio-Matrix Scientific Group, Inc., 8885 REHCO RD., SAN DIEGO, CA, 92121, 619-398-3517X301 - 1,500,000 ($1,050,000.00) Other, (File 333-143520 - Jun. 5) (BR. 08C) S-8 CREDENCE SYSTEMS CORP, 1421 CALIFORNIA CIRCLE, MILPITAS, CA, 95035, 408635-4300 - 450,000 ($1,512,000.00) Equity, (File 333-143521 - Jun. 5) (BR. 10A) S-1 Beacon Federal Bancorp, Inc., 5000 BRITTONFIELD PARKWAY, EAST SYRACUSE, NY, 13057, (315) 433-0111 - 11,902,500 ($119,025,000.00) Equity, (File 333-143522 - Jun. 5) (BR. ) SB-2 UNIVEC INC, 22 DUBON COURT, FARMINGDALE, NY, 11735, 5167772000 - 9,778,351 ($76,271.00) Equity, (File 333-143523 - Jun. 5) (BR. 10C) S-8 IOMAI CORP, 20 FIRSTFIELD ROAD, SUITE 250, GAITHERSBURG, MD, 20878, 301-556-4537 - 0 ($1,823,250.00) Equity, (File 333-143525 - Jun. 5) (BR. 01C) S-1 LaPorte Bancorp, Inc., 710 INDIANA AVENUE, LAPORTE, IN, 45350, (219) 362-7511 - 0 ($29,853,920.00) Equity, (File 333-143526 - Jun. 5) (BR. ) S-8 CECO ENVIRONMENTAL CORP, 3120 FORRER STREET, CINCINNATI, OH, 45209, 4165936543 - 2,000,000 ($25,900,000.00) Equity, (File 333-143527 - Jun. 5) (BR. 06C) F-10 NORTH AMERICAN PALLADIUM LTD, NORTH AMERICAN PALLADIUM STD, 130 ADELAIDE STREET W SUITE 2116, TORONTO ONTARIO CANA, A6, M5H3P5, 4163602655 - 0 ($486,785.00) Equity, (File 333-143528 - Jun. 5) (BR. 04B) S-8 Bunge LTD, 50 MAIN STREET, 6TH FLOOR, WHITE PLAINS, NY, 10606, 914-684-2800 - 600,000 ($46,568,745.00) Equity, (File 333-143529 - Jun. 5) (BR. 04A) 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 ------------------------------------------------------------------------------------------------------- ABX AIR INC 7.01,9.01 06/05/07 ACCELLENT INC 5.02,9.01 05/30/07 ACCESS PHARMACEUTICALS INC DE 8.01,9.01 06/04/07 ACRO INC. NV 5.02 06/05/07 ACTUATE CORP DE 1.01,9.01 06/01/07 AEROFLEX INC DE 8.01 06/05/07 AEROFLEX INC DE 9.01 06/04/07 AMEND Affinion Group, Inc. DE 1.01,5.02,9.01 06/01/07 AFS SenSub Corp. 1.01,9.01 05/31/07 ALFACELL CORP DE 7.01,9.01 06/05/07 ALTERA CORP DE 7.01,9.01 06/05/07 Alternative Loan Trust 2007-14T2 DE 9.01 05/30/07 Alternative Loan Trust 2007-15CB DE 9.01 05/31/07 Alternative Loan Trust 2007-15CB DE 8.01,9.01 05/31/07 Alternative Loan Trust 2007-HY4 DE 9.01 05/31/07 Alternative Loan Trust 2007-J2 DE 9.01 05/30/07 AMERALIA INC 8.01 05/29/07 American Home Mortgage Assets Trust 2 DE 8.01,9.01 06/05/07 AMERICAN MOLD GUARD INC 5.05,8.01 06/01/07 AMERICAN SKIING CO /ME DE 1.01,9.01 06/04/07 AMERICAN STANDARD COMPANIES INC DE 1.01,1.02,2.03,2.05,9.01 05/31/07 AMERICAN WOODMARK CORP VA 2.02,9.01 04/30/07 AMERICASBANK CORP MD 8.01,9.01 05/31/07 AMETEK INC/ DE 1.01,3.03,5.03 06/02/07 AMYLIN PHARMACEUTICALS INC DE 8.01,9.01 06/05/07 ANGELICA CORP /NEW/ MO 2.02,9.01 06/04/07 ANTIGENICS INC /DE/ DE 7.01,9.01 06/05/07 APAC CUSTOMER SERVICE INC IL 7.01,9.01 06/05/07 ARADIGM CORP CA 5.02,9.01 06/05/07 ARKADOS GROUP, INC. DE 1.01,2.03,3.02,9.01 05/30/07 ARQULE INC DE 5.02 05/30/07 ARROW INTERNATIONAL INC PA 5.02 05/31/07 ASPIRE JAPAN, INC. DE 5.02 07/21/06 Aspreva Pharmaceuticals CORP A1 1.01,5.02,9.01 06/05/07 ASSET ACCEPTANCE CAPITAL CORP 1.01,2.03,9.01 06/05/07 ASSOCIATED ESTATES REALTY CORP OH 7.01 06/05/07 AT&T INC. DE 8.01 06/01/07 Atlas Pipeline Holdings, L.P. DE 1.01,3.02,7.01,9.01 06/01/07 ATLAS PIPELINE PARTNERS LP DE 1.01,3.02,7.01,9.01 06/01/07 ATWOOD OCEANICS INC TX 7.01,9.01 06/05/07 AURIGA LABORATORIES, INC. DE 5.02,9.01 06/05/07 AVAYA INC DE 1.01,8.01,9.01 06/04/07 AVAYA INC DE 3.03,9.01 06/04/07 AVENTINE RENEWABLE ENERGY HOLDINGS IN 1.01 05/31/07 AVISTA CORP WA 8.01 05/25/07 B&G Foods, Inc. DE 3.01,9.01 06/05/07 BAB, INC. DE 8.01,9.01 06/05/07 BAKBONE SOFTWARE INC 8.01,9.01 06/01/07 BAKER HUGHES INC DE 1.01,2.03,5.03,9.01 05/31/07 BANCINSURANCE CORP OH 8.01,9.01 06/04/07 BARRY R G CORP /OH/ OH 7.01 05/30/07 BECKMAN COULTER INC DE 5.02,8.01,9.01 05/31/07 BED BATH & BEYOND INC NY 5.02,7.01,9.01 05/31/07 BELAIR CAPITAL FUND LLC 4.02 05/29/07 BELCREST CAPITAL FUND LLC 4.02 05/29/07 BELMAR CAPITAL FUND LLC 4.02 05/29/07 BELPORT CAPITAL FUND LLC 4.02 05/29/07 BELROSE CAPITAL FUND LLC DE 4.02 05/29/07 BIONOVO INC DE 8.01,9.01 06/04/07 BNCCORP INC DE 2.01,7.01,9.01 06/01/07 Boardwalk Bancorp Inc NJ 5.02,9.01 06/01/07 BofI Holding, Inc. DE 8.01,9.01 06/01/07 Bois d Arc Energy, Inc. NV 8.01,9.01 06/05/07 BROOKE CORP KS 7.01,9.01 05/29/07 BROWN FORMAN CORP DE 2.02,9.01 06/05/07 BROWN SHOE CO INC NY 7.01,9.01 06/05/07 BSD MEDICAL CORP DE 7.01,9.01 06/05/07 BURKE MILLS INC NC 5.02 06/05/07 BV Financial, Inc. X1 8.01,9.01 06/05/07 CALLAWAY GOLF DE 8.01,9.01 06/05/07 CASELLA WASTE SYSTEMS INC DE 7.01 06/05/07 CB Financial CORP NC 2.02,9.01 06/05/07 CBRL GROUP INC TN 1.02,2.03,7.01,9.01 05/30/07 Celanese CORP DE 8.01,9.01 06/04/07 CELLCYTE GENETICS CORP NV 1.01,9.01 06/01/07 CENTERLINE HOLDING CO DE 1.01,9.01 05/30/07 Chemtura CORP DE 5.02,9.01 06/01/07 CHITTENDEN CORP /VT/ VT 8.01,9.01 06/04/07 CHL Mortgage Pass-Through Trust 2007- DE 9.01 05/30/07 CHL Mortgage Pass-Through Trust 2007- DE 9.01 05/30/07 CHL Mortgage Pass-Through Trust 2007- DE 9.01 05/30/07 CHL Mortgage Pass-Through Trust 2007- DE 9.01 05/30/07 CIGNA CORP DE 7.01 06/05/07 CIT GROUP INC DE 8.01,9.01 06/04/07 CITIZENS FINANCIAL SERVICES INC PA 8.01,9.01 06/05/07 CITIZENS FIRST CORP KY 5.03 05/30/07 CMGI INC DE 2.02,9.01 06/05/07 COLONIAL PROPERTIES TRUST AL 5.02 06/04/07 COMMUNICATE COM INC NV 1.01,5.02,7.01,9.01 06/04/07 COMVERSE TECHNOLOGY INC/NY/ NY 1.01,5.02,9.01 05/30/07 CONCENTRA OPERATING CORP NV 7.01,9.01 06/05/07 CONNS INC DE 5.02,9.01 05/30/07 Consolidated Communications Holdings, DE 7.01,9.01 06/05/07 COOPER COMPANIES INC DE 2.02,9.01 06/05/07 CORAUTUS GENETICS INC DE 8.01,9.01 06/04/07 CORNELL COMPANIES INC DE 7.01 05/30/07 CORVEL CORP DE 7.01,9.01 06/05/07 CPI CORP DE 5.03,8.01,9.01 05/30/07 CRAY INC WA 7.01,9.01 06/04/07 CTS CORP IN 7.01,9.01 06/05/07 CUTTER & BUCK INC WA 5.02 05/31/07 CX2 Technologies, Inc. NV 5.02 06/05/07 CYTORI THERAPEUTICS, INC. DE 1.01,2.01 05/30/07 DAY INTERNATIONAL GROUP INC DE 1.01,9.01 05/31/07 Deep Down, Inc. NV 5.02 06/05/07 Deerfield Triarc Capital Corp MD 1.01,9.01 04/17/07 DGSE COMPANIES INC NV 5.02 06/01/07 Diamond Foods Inc DE 7.01,9.01 06/05/07 DICKS SPORTING GOODS INC DE 2.02,4.02,9.01 06/01/07 DIGENE CORP DE 5.02,8.01,9.01 05/30/07 DOLLAR GENERAL CORP TN 8.01,9.01 06/04/07 Duke Energy Carolinas, LLC NC 8.01,9.01 06/05/07 EASTGROUP PROPERTIES INC MD 5.02 06/05/07 ECHOSTAR COMMUNICATIONS CORP NV 5.02 06/04/07 ECOLLEGE COM DE 8.01,9.01 06/05/07 EDWARDS A G INC DE 1.01,9.01 05/30/07 EMISPHERE TECHNOLOGIES INC DE 5.02 05/30/07 EMMIS COMMUNICATIONS CORP IN 2.01 06/04/07 ENERGY PARTNERS LTD DE 1.01,5.02,9.01 05/30/07 ENERNOC INC 5.02,8.01,9.01 05/31/07 ENTERPRISE PRODUCTS PARTNERS L P DE 5.02,7.01,9.01 05/31/07 ENZO BIOCHEM INC NY 1.01,2.01,9.01 05/31/07 FAIRCHILD CORP DE 5.02,9.01 06/05/07 FCStone Group, Inc. DE 1.01,9.01 06/01/07 Federal Home Loan Bank of Atlanta X1 2.03 05/30/07 Federal Home Loan Bank of Boston X1 2.03 05/30/07 Federal Home Loan Bank of Chicago X1 2.03 05/30/07 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 05/30/07 Federal Home Loan Bank of Dallas 2.03 05/30/07 Federal Home Loan Bank of Des Moines X1 2.03,9.01 05/31/07 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 05/30/07 Federal Home Loan Bank of New York X1 2.03,9.01 05/30/07 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 05/30/07 Federal Home Loan Bank of San Francis X1 2.03 05/30/07 Federal Home Loan Bank of Seattle 2.03 06/04/07 Federal Home Loan Bank of Topeka 2.03 05/30/07 FEDEX CORP DE 1.01,1.02 05/31/07 Fidelity National Financial, Inc. 1.01,5.02,9.01 05/30/07 FILTERING ASSOCIATES INC NV 1.01,9.01 05/31/07 FINANCIAL INDUSTRIES CORP TX 8.01,9.01 06/05/07 FLEXSTEEL INDUSTRIES INC MN 5.03,9.01 06/04/07 FOOT LOCKER INC NY 5.02,9.01 05/30/07 FORCE PROTECTION INC NV 8.01 05/30/07 FULL HOUSE RESORTS INC DE 1.01,8.01,9.01 05/31/07 GATEWAY ENERGY CORP/NE DE 2.01,9.01 05/31/07 GENELINK INC 5.02 06/01/07 GENESEE & WYOMING INC DE 5.02,9.01 05/30/07 GEVITY HR INC FL 7.01 06/05/07 GLOBALSCAPE INC DE 5.02,7.01,9.01 06/01/07 GMH Communities Trust MD 7.01 06/05/07 Goodman Global Inc 7.01,9.01 06/04/07 GRAHAM CORP DE 2.02,8.01,9.01 06/01/07 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 06/01/07 GREATER COMMUNITY BANCORP NJ 2.04 05/30/07 Greenpoint Mortgage Funding Trust 200 DE 6.02 06/01/07 GreenPoint Mortgage Funding Trust 200 DE 6.02 06/01/07 GRILL CONCEPTS INC DE 8.01 05/31/07 GUESS INC DE 2.02,9.01 06/05/07 GUITAR CENTER INC DE 1.01,9.01 06/01/07 Gulf United Energy, Inc. NV 1.01 05/30/07 H&E Equipment Services, Inc. DE 5.03,9.01 06/05/07 HABER INC DE 8.01,9.01 06/05/07 HALLWOOD GROUP INC DE 2.02,9.01 06/05/07 HANMI FINANCIAL CORP DE 7.01,9.01 06/05/07 HANMI FINANCIAL CORP DE 8.01,9.01 05/29/07 HAYES LEMMERZ INTERNATIONAL INC DE 1.01,2.03,3.02,8.01,9.01 05/30/07 HD Partners Acquisition CORP CA 1.01,7.01,9.01 05/30/07 HERTZ CORP DE 1.01,7.01,9.01 05/30/07 HERTZ GLOBAL HOLDINGS INC 1.01,7.01,9.01 05/30/07 Horizon Lines, Inc. 5.02,5.03,9.01 06/05/07 HSI Asset Securitization CORP Trust 2 8.01,9.01 06/05/07 HUB INTERNATIONAL LTD A6 8.01,9.01 06/05/07 HUB INTERNATIONAL LTD A6 8.01,9.01 06/05/07 HUNGARIAN TELEPHONE & CABLE CORP DE 2.02,7.01,9.01 06/05/07 HUNTINGTON BANCSHARES INC/MD MD 8.01,9.01 06/04/07 HUTCHINSON TECHNOLOGY INC MN 8.01,9.01 06/05/07 HUTTIG BUILDING PRODUCTS INC DE 4.01,9.01 05/30/07 IASIS Healthcare LLC DE 2.01,9.01 05/31/07 IDM PHARMA, INC. DE 8.01,9.01 06/05/07 IMAGE SENSING SYSTEMS INC MN 5.02,9.01 06/01/07 IMMUNOGEN INC MA 8.01,9.01 06/04/07 INFINITY PHARMACEUTICALS, INC. DE 7.01,8.01,9.01 06/05/07 INOVIO BIOMEDICAL CORP 8.01,9.01 06/05/07 INTEGRA LIFESCIENCES HOLDINGS CORP DE 8.01,9.01 06/04/07 Integrative Health Technologies, Inc. DE 8.01 06/05/07 INTER TEL (DELAWARE), INC DE 8.01,9.01 06/04/07 INTERCONTINENTALEXCHANGE INC 1.01,9.01 05/30/07 INTERNATIONAL BUSINESS MACHINES CORP NY 8.01 06/05/07 INTERVOICE INC TX 8.01,9.01 05/30/07 INTROGEN THERAPEUTICS INC 5.02,8.01 05/30/07 INVESTOOLS INC DE 7.01,9.01 06/04/07 ISOLAGEN INC DE 2.02,9.01 12/31/06 ITLA CAPITAL CORP CA 8.01,9.01 06/04/07 J P MORGAN CHASE & CO DE 9.01 06/01/07 J&J SNACK FOODS CORP NJ 5.02,9.01 06/05/07 JER Investors Trust Inc 1.01,5.02,9.01 05/30/07 JUPITER MARINE INTERNATIONAL HOLDINGS FL 8.01 06/01/07 KINDER MORGAN INC KS 1.01,1.02,2.03,3.01,3.03,5.01, 05/30/07 5.02,5.03,9.01 KITE REALTY GROUP TRUST MD 7.01,9.01 06/05/07 KMG CHEMICALS INC TX 2.02,5.02,9.01 06/01/07 KRISPY KREME DOUGHNUTS INC NC 7.01,9.01 06/04/07 LCC INTERNATIONAL INC DE 2.01,2.03,9.01 06/01/07 LEARNING TREE INTERNATIONAL INC DE 4.01,9.01 05/31/07 AMEND LEGACY RESERVES L P 7.01,9.01 06/04/07 LEGACY RESERVES L P 2.01,9.01 06/04/07 LEHMAN BROTHERS HOLDINGS INC DE 9.01 05/31/07 LIFE PARTNERS HOLDINGS INC TX 2.02,9.01 06/04/07 LIGHTSCAPE TECHNOLOGIES INC. NV 4.01,9.01 05/30/07 MACROVISION CORP DE 2.05,5.02,7.01,9.01 05/31/07 MAD CATZ INTERACTIVE INC 2.02,5.02,9.01 06/01/07 Malibu Minerals Inc. NV 1.01,2.01,3.02,5.02,9.01 05/29/07 MAXXAM INC DE 8.01 06/05/07 MDC PARTNERS INC A6 5.02,9.01 06/01/07 MEREDITH CORP IA 8.01,9.01 06/05/07 MMA Media Inc. DE 3.03,5.03,8.01,9.01 06/05/07 MONUMENTAL MARKETING INC NV 1.01,3.02,9.01 06/01/07 MOSAIC CO 7.01,9.01 06/05/07 MOVENTIS CAPITAL, INC. DE 7.01,9.01 06/05/07 MSC-Medical Services CO FL 1.01,9.01 05/30/07 NATIONAL PATENT DEVELOPMENT CORP DE 5.02 05/31/07 NAVISITE INC DE 2.02,9.01 06/04/07 NEENAH FOUNDRY CO WI 5.02,9.01 06/05/07 NEUROGEN CORP DE 1.02 06/04/07 NEW CENTURY BANCORP INC NC 5.02 05/30/07 NEW FRONTIER ENERGY INC CO 1.01,9.01 06/04/07 NEW FRONTIER MEDIA INC CO 2.02,9.01 06/05/07 NEWS CORP 8.01,9.01 06/05/07 NII HOLDINGS INC DE 1.01,2.03,3.02 05/30/07 North Penn Bancorp, Inc. PA 5.02 06/05/07 NORTHWEST AIRLINES CORP DE 5.02 05/31/07 NOTIFY TECHNOLOGY CORP CA 5.02 06/02/07 NOVASTAR FINANCIAL INC MD 2.03,9.01 06/01/07 NUTRACEA CA 5.02 06/01/07 NxStage Medical, Inc. DE 1.01,3.02,8.01,9.01 06/04/07 OAKLEY INC WA 5.02 05/31/07 OSI RESTAURANT PARTNERS, INC. DE 8.01,9.01 06/05/07 OXFORD INDUSTRIES INC GA 2.02,7.01,9.01 06/05/07 PACIFIC CAPITAL BANCORP /CA/ CA 1.01,5.02,9.01 06/04/07 PACKAGING CORP OF AMERICA 7.01,9.01 06/04/07 PALL CORP NY 2.02,9.01 05/31/07 PALM INC DE 1.01,3.02,3.03,5.02,9.01 06/01/07 PANDA ETHANOL, INC. NV 8.01,9.01 06/05/07 PANDA ETHANOL, INC. NV 8.01 06/05/07 PAYLESS SHOESOURCE INC /DE/ DE 1.01,5.02,9.01 06/04/07 PEGASYSTEMS INC MA 7.01 06/04/07 PERFORMANCE CAPITAL MANAGEMENT LLC CA 2.03 06/01/07 PETROQUEST ENERGY INC DE 7.01,9.01 06/05/07 PHILADELPHIA CONSOLIDATED HOLDING COR PA 1.01 05/31/07 PICO HOLDINGS INC /NEW CA 1.01,9.01 05/30/07 PIER 1 IMPORTS INC/DE DE 1.01,9.01 05/31/07 PIONEER BANKSHARES INC/VA 8.01 05/29/07 PLATO LEARNING INC DE 1.01,2.03,9.01 06/04/07 PLATO LEARNING INC DE 2.02,9.01 06/05/07 POLYMEDIX INC 3.03,7.01,8.01,9.01 06/04/07 POLYMER GROUP INC DE 2.05,9.01 06/01/07 POWERWAVE TECHNOLOGIES INC DE 5.02 06/04/07 PRB Energy, Inc. NV 5.02,9.01 05/31/07 PREMIERE GLOBAL SERVICES, INC. GA 8.01 05/30/07 PRG SCHULTZ INTERNATIONAL INC GA 1.01,2.01,9.01 05/30/07 PRINTRONIX INC DE 2.02,9.01 06/05/07 PROCTER & GAMBLE CO OH 7.01 06/05/07 PROSPECT ENERGY CORP MD 8.01,9.01 06/05/07 PSS WORLD MEDICAL INC FL 2.02,7.01,9.01 06/05/07 PURE VANILLA EXCHANGE INC NV 2.03,3.02,9.01 05/30/07 QLT INC/BC A1 8.01 06/04/07 QUALITY SYSTEMS INC CA 5.02,5.03,8.01 05/31/07 QUEST GROUP INTERNATIONAL INC NV 1.01,3.02,5.02,9.01 05/31/07 QUEST RESOURCE CORP NV 7.01 06/04/07 QWEST COMMUNICATIONS INTERNATIONAL IN DE 5.02,9.01 06/04/07 Rackable Systems, Inc. DE 5.02 05/30/07 RADYNE CORP DE 5.02,9.01 05/30/07 RAIT Financial Trust MD 2.02,7.01,9.01 06/05/07 RECLAMATION CONSULTING & APPLICATIONS CO 1.01,2.03,3.02,9.01 05/30/07 Red Lake Exploration Inc. NV 8.01 06/05/07 RED ROBIN GOURMET BURGERS INC DE 8.01,9.01 06/04/07 REFLECT SCIENTIFIC INC UT 9.01 11/17/06 AMEND REGENCY CENTERS CORP FL 1.01,2.03,9.01 05/31/07 REGENCY CENTERS LP FL 1.01,2.03,9.01 05/31/07 REPROS THERAPEUTICS INC. DE 8.01,9.01 06/05/07 REX STORES CORP DE 2.02,9.01 06/05/07 RUBIOS RESTAURANTS INC DE 7.01,9.01 06/04/07 Ruths Chris Steak House, Inc. DE 5.02,9.01 06/04/07 SAFEWAY INC DE 1.01,2.03,9.01 06/01/07 SANMINA-SCI CORP DE 5.03 06/05/07 SATCON TECHNOLOGY CORP DE 7.01 06/05/07 SCHOOL SPECIALTY INC WI 2.02,8.01,9.01 06/05/07 SCO GROUP INC DE 2.02,9.01 06/05/07 SEA CONTAINERS LTD /NY/ 8.01,9.01 05/30/07 Security With Advanced Technology, In CO 1.01,7.01,9.01 05/30/07 SELECT COMFORT CORP 7.01,9.01 06/01/07 Seligman LaSalle International Real E MD 8.01 06/05/07 SENOMYX INC DE 5.02,9.01 05/30/07 SHANGHAI CENTURY ACQUISITION CORP F4 8.01,9.01 06/05/07 Shermen WSC Acquisition Corp DE 8.01,9.01 05/30/07 SHUMATE INDUSTRIES INC DE 8.01,9.01 06/03/07 SKY FINANCIAL GROUP INC OH 8.01 05/22/07 SLM Student Loan Trust 2007-1 DE 6.02 05/31/07 SLM Student Loan Trust 2007-2 DE 6.02 05/31/07 SLM Student Loan Trust 2007-3 DE 6.02 05/31/07 SLM Student Loan Trust 2007-4 DE 6.02 05/31/07 Smart SMS Corp FL 5.02 06/04/07 Smart SMS Corp FL 5.02 06/04/07 SMURFIT STONE CONTAINER CORP DE 5.02 05/31/07 SOLUTIA INC DE 1.01,9.01 05/31/07 SPECTRX INC DE 5.02,9.01 06/05/07 AMEND STAR BUFFET INC DE 7.01,9.01 06/05/07 STATE BANCORP INC NY 1.01,2.05,5.02,8.01,9.01 05/31/07 SYNPLICITY INC CA 5.02,8.01,9.01 05/30/07 SYNTHETECH INC OR 2.02,9.01 06/04/07 TAL International Group, Inc. DE 8.01,9.01 06/05/07 Tarpon Industries, Inc. MI 9.01 06/05/07 TD AMERITRADE HOLDING CORP DE 5.02,8.01,9.01 06/05/07 TECHNEST HOLDINGS INC NV 1.01,9.01 06/05/07 TECHTEAM GLOBAL INC DE 1.01,1.02,2.01,2.03,9.01 05/31/07 TECTON CORP NV 1.01 05/30/07 TELIK INC DE 8.01,9.01 06/04/07 TIDEWATER INC DE 8.01,9.01 06/04/07 TLC VISION CORP A6 1.01,9.01 05/30/07 TOMPKINS TRUSTCO INC NY 7.01 05/31/07 TORTOISE CAPITAL RESOURCES CORP 8.01,9.01 06/04/07 TOUSA INC DE 1.01,9.01 05/30/07 TRANSCEND SERVICES INC DE 8.01 06/04/07 Transforma Acquisition Group Inc. DE 5.02,5.03,9.01 05/30/07 TRANSNATIONAL FINANCIAL NETWORK INC CA 3.01 06/05/07 TRANSOCEAN INC E9 7.01,9.01 06/05/07 TransTech Services Partners Inc. 8.01,9.01 05/30/07 Triad Automobile Receivables Trust 20 8.01,9.01 05/30/07 TRIBUNE CO DE 1.01,5.02,8.01,9.01 06/04/07 TRM CORP OR 1.01 05/31/07 TRUE RELIGION APPAREL INC NV 8.01,9.01 06/05/07 TRULITE INC DE 1.01,2.03,9.01 05/30/07 TULLYS COFFEE CORP 8.01,9.01 06/04/07 UGODS, INC. NV 1.01,3.02,5.01,5.03,5.06,9.01 05/30/07 ULTRA CLEAN HOLDINGS INC 8.01 05/29/07 UNITED COMMUNITY BANKS INC GA 2.01,9.01 06/01/07 USANA HEALTH SCIENCES INC UT 8.01,9.01 06/05/07 Vanda Pharmaceuticals Inc. DE 5.02,9.01 06/05/07 Viacom Inc. DE 5.02,9.01 05/30/07 VION PHARMACEUTICALS INC DE 8.01,9.01 06/04/07 VOLTERRA SEMICONDUCTOR CORP 8.01,9.01 06/05/07 W&T OFFSHORE INC TX 8.01,9.01 05/31/07 Wachovia Bank Commercial Mortgage Tru NC 1.01,9.01 05/01/07 WaferGen Bio-systems, Inc. NV 1.01,2.01,3.02,5.01,5.02,5.03, 05/31/07 5.06,9.01 Warner Music Group Corp. DE 8.01,9.01 06/05/07 WEBSTER FINANCIAL CORP DE 8.01,9.01 06/05/07 WESTAFF INC DE 1.01,9.01 05/31/07 AMEND WEYERHAEUSER CO WA 7.01 06/04/07 WHIRLPOOL CORP /DE/ DE 5.02,9.01 06/05/07 WHOLE FOODS MARKET INC TX 7.01,9.01 06/05/07 WILSONS THE LEATHER EXPERTS INC MN 1.01,9.01 06/01/07 World Energy Solutions, Inc. DE 2.01,8.01,9.01 06/01/07 WORLD WASTE TECHNOLOGIES INC CA 7.01,9.01 05/30/07 WORTHINGTON INDUSTRIES INC OH 5.02,9.01 06/05/07 Yaletown Capital Inc. NV 1.01,3.02,9.01 06/01/07 Yaletown Capital Inc. NV 1.01,9.01 06/01/07 ZAPATA CORP NV 5.03,9.01 05/30/07