SEC NEWS DIGEST Issue 2006-160 August 18, 2006 COMMISSION ANNOUNCEMENTS COMMISSION MEETINGS CLOSED MEETING - THURSDAY, AUGUST 24, 2006 - 2:00 P.M. The subject matter of the closed meeting scheduled for Thursday, August 24, will be: Formal orders of investigation; Institution and settlement of injunctive actions; Institution and settlement of administrative proceedings of an enforcement nature; and Adjudicatory matters. 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 REVOKES REGISTRATION OF SECURITIES OF TRITON NETWORK SYSTEMS, INC. FOR FAILURE TO MAKE REQUIRED PERIODIC FILINGS On August 18, the Commission revoked the registration of each class of registered securities of Triton Network Systems, Inc. (Triton) for failure to make required periodic filings with the Commission. Without admitting or denying the findings of the order, except as to jurisdiction, which it admitted, Triton consented to the entry of an order finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of Triton's securities pursuant to Section 12(j) of the Exchange Act. This order settled the charges brought against Triton in the Matter of Go Online Networks Corp., et al., Administrative Proceeding File No. 3-12381. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows: No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . . Additional materials are available at www.sec.gov; see also Rel. 34- 54212; File No. 3-12381 (July 26, 2006). (Rel. 34-54330; File No. 3- 12381) MASSACHUSETTS HEDGE FUND ADVISER CHARGED WITH MAIL AND WIRE FRAUD The Commission announced today that on August 7 Mark R. Conway, of Waltham, Massachusetts, was charged in an Information with thirteen counts of mail and wire fraud by the U.S. Attorney for the District of Massachusetts. The Information alleges that, from approximately January 2001 to October 2005, Conway acted as the managing partner of Groundswell Partners LLC, the General Partner and management company for Groundswell Capital LP, a quantitative systematic hedge fund doing business in Massachusetts. According to the Information, as managing partner, Conway made numerous misrepresentations to investors, including that the hedge fund would follow a specific investment strategy devised in part by Conway. The Information alleges that, in fact, Conway, the sole trader for the fund, ceased using the promised investment strategy without notice to, or the approval of, the investors. In addition, according to the Information, in order to hide this deviation from the promised strategy, Conway created and distributed false documentation for the purpose of inducing investors to transmit additional investment monies, concealing the true status of the hedge fund account and its trading history, and causing existing investors to leave their funds under Conway's management. Conway received a fee for his management of the investment funds. If convicted, Conway faces up to 20 years in prison, to be followed by 3 years of supervised release and a $250,000 fine. Previously, on Nov. 4, 2005, the Commission filed an enforcement action and obtained emergency relief (including an asset freeze) against Conway and 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 see LR-19460; LR-19473; and LR-19773. [U.S. v. Mark R. Conway, 06-CR-10236-PBS (D. Mass.)] (LR-19807) SEC SETTLES WITH FORMER BIO ONE EXECUTIVE CHARGED WITH FRAUD The Commission today announced that the U.S. District Court for the Middle District of Florida entered a Final Judgment on Aug. 14, 2006, against Bernard Shinder, of Boca Raton, based on his consent. On Sept. 22, 2005, the Commission filed a complaint against Armand Dauplaise, of Winter Park, Florida, and Shinder alleging fraud and other securities law violations during their tenure as the CEO and CFO, respectively, of Bio One Corporation, a nutritional supplement company located in Winter Springs, Florida. The court entered final judgment by consent against Dauplaise on April 6, 2006. In the complaint, the Commission alleged that Dauplaise and Shinder violated the antifraud provisions of the federal securities laws when they failed to disclose the company's default on a $15 million (Canadian) promissory note and related subsequent events. According to the complaint, Bio One purchased a private company, Interactive Nutrition International Inc. (INI), on March 31, 2004, in part, by issuing the promissory note. The complaint alleges that Bio One never made any of the payments on the note, and the company's former executives signed forbearance agreements in August and November 2004 acknowledging that the company was in default of the note. According to the complaint, in December 2004, the note holder appointed a receiver for INI and provided notice to Bio One that it intended to exercise its security rights under the agreement. The complaint further alleges that Dauplaise and Shinder failed to disclose the default, the forbearance agreements and the appointment of a receiver in its quarterly reports filed in August and November 2004 or in its Form 8-Ks filed in November and December 2004. The Commission also alleges that the defendants violated the record- keeping and reporting provisions of the federal securities laws. Shinder, without admitting or denying the allegations of the complaint, consented to a permanent injunction that enjoins him from violating, directly or indirectly, Section 17(a) of the Securities Act of 1933 (Securities Act), Sections 10(b), 13(a), 13(b)(2)(A)and 13(b)(2)(B) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 10b-5, 13a-11, 13a-13, 13b2-1 and 13b2-2 thereunder. He also consented to a permanent bar from acting as an officer or director of any public company. The court will determine at a later date whether Shinder will be ordered to pay a penalty and the amount. For additional information, see LR-19387 (Sept. 22, 2005) and LR-19643 (April 6, 2006). [SEC v. Armand Dauplaise and Bernard Shinder, Civil Action No. 6:05cv1391-ACC-DAB (M.D. Fla.)] (LR-19808; AAE Rel. No. 2476) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change filed by the International Securities Exchange (SR-ISE-2006-46) relating to cancellation fee changes 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 August 21. (Rel. 34-54321) The Stock Clearing Corporation of Philadelphia filed a proposed rule change (SR-SCCP-2006-01), which proposed rule change became effective upon filing, to amend its value fees for RIO accounts and to remove reference to Electronic Communications Networks from its fee schedule. Publication is expected in the Federal Register during the week of August 21. (Rel. 34-54325) A proposed rule change (SR-CHX-2006-24) and Amendment Nos. 1 and 2 thereto filed by the Chicago Stock Exchange regarding Two-Sided Quote Providers has become immediately 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 August 21. (Rel. 34-54326) PROPOSED RULE CHANGE The Chicago Stock Exchange filed a proposed rule change (SR-CHX-2006- 27) to make effective, retroactive to Feb. 9, 2005, the trading permit fee due if a CHX participant's trading permit is cancelled intra-year. Publication is expected in the Federal Register during the week of August 21. (Rel. 34-54323) APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change (SR-Amex-2006-47) submitted by the American Stock Exchange relating to the member firm guarantee for FLEX equity options. Publication is expected in the Federal Register during the week of August 21. (Rel. 34-54327) ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission granted accelerated approval to a proposed rule change (SR-BSE-2006-10), as modified by Amendment No. 2 thereto, filed by the Boston Stock Exchange establishing a fee per contract traded for Improvement Orders submitted into a Price Improvement Period by a Public Customer that are not submitted as Customer PIP Orders. Publication is expected in the Federal Register during the week of August 21. (Rel. 34-54328) 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 Henix Resources Inc., 19 WEST 60TH AVE, VANCOUVER, A1, V5X 1Z3, 778-322-3191 - 2,000,000 ($200,000.00) Equity, (File 333-136688 - Aug. 17) (BR. 09) SB-1 Viking Gold Corp., 6401 ST. ANDREW'S WAY, VANCOUVER, A1, V0N 1B6, 604-935-3863 - 2,500,000 ($25,000.00) Equity, (File 333-136689 - Aug. 17) (BR. 09) S-8 CPAC INC, 2364 LEICESTER RD, LEICESTER, NY, 14481, 5853823223 - 350,000 ($2,075,500.00) Equity, (File 333-136691 - Aug. 17) (BR. 10A) S-8 HUNTINGTON BANCSHARES INC/MD, HUNTINGTON CTR, 41 S HIGH ST HC0632, COLUMBUS, OH, 43287, 6144808300 - 600,000 ($14,262,000.00) Equity, (File 333-136692 - Aug. 17) (BR. 07C) S-8 TOLLGRADE COMMUNICATIONS INC \PA\, 493 NIXON RD, CHESWICK, PA, 15024, 4122742156 - 1,300,000 ($10,582,000.00) Equity, (File 333-136693 - Aug. 17) (BR. 11B) S-8 SUPERCONDUCTIVE COMPONENTS INC, 1145 CHESAPEAKE AVE, COLUMBUS, OH, 43212, 6144860261 - 302,550 ($1,210,200.00) Equity, (File 333-136694 - Aug. 17) (BR. 10C) S-8 EMBARCADERO TECHNOLOGIES INC, 100 CALIFORNIA STREET, SUITE 1200, SAN FRANCISCO, CA, 94111, 4158343131 - 3,200,000 ($20,528,000.00) Equity, (File 333-136695 - Aug. 17) (BR. 03A) S-8 Cardiome Pharma Corp, 6TH FLOOR, 6190 AGRONOMY RD., VANCOUVER, A1, V6T 1Z3, 1-604-677-6905 - 900,000 ($10,638,000.00) Equity, (File 333-136696 - Aug. 17) (BR. 01C) S-8 TARRANT APPAREL GROUP, 3151 EAST WASHINGTON BLVD, LOS ANGELES, CA, 90023, 2137808250 - 5,100,000 ($6,528,000.00) Equity, (File 333-136697 - Aug. 17) (BR. 02A) S-8 BEMIS CO INC, 222 S 9TH ST STE 2300, MINNEAPOLIS, MN, 55402-4099, 6123763000 - 6,000,000 ($184,320,000.00) Equity, (File 333-136698 - Aug. 17) (BR. 03A) S-8 ENTERPRISE BANCORP INC /MA/, 222 MERRIMACK ST, LOWELL, MA, 01852, 9784599000 - 0 ($77,000.00) Equity, (File 333-136700 - Aug. 17) (BR. 07A) S-3 FORCE PROTECTION INC, 9801 HIGHWAY 78 - BLDG 3, LADSON, SC, 29456, (843) 740-7015 - 0 ($6,260,000.00) Equity, (File 333-136701 - Aug. 17) (BR. 05A) S-8 BIOCRYST PHARMACEUTICALS INC, 2190 PARKWAY LAKE DR, BIRMINGHAM, AL, 35244, 2054444600 - 1,500,000 ($13,222,500.00) Equity, (File 333-136703 - Aug. 17) (BR. 01C) S-3ASR CIGNA CORP, ONE LIBERTY PLACE, 1601 CHESTNUT STREET, PHILADELPHIA, PA, 19192-1550, 2157611000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-136704 - Aug. 17) (BR. 01A) S-8 KANA SOFTWARE INC, 181 CONSTITUTION DRIVE, MENLO PARK, CA, 94025, 6506148300 - 5,599,301 ($12,486,441.23) Equity, (File 333-136705 - Aug. 17) (BR. 08B) S-8 GLOBAL SIGNAL INC, 301 N CATTLEMEN RD, STE 300, SARASOTA, FL, 34232, 941-364-8886 - 2,000,000 ($88,600,000.00) Equity, (File 333-136706 - Aug. 17) (BR. 08C) SB-2 CENTRUS VENTURES INC., 810 PEACE PORTAL DRIVE, SUITE 200, BLAINE, WA, 98230, 360-318-3788 - 3,989,642 ($239,378.52) Equity, (File 333-136707 - Aug. 17) (BR. 09) S-3 UNITED BANCORP INC /OH/, 201 SOUTH FOURTH STREET, P O BOX 10, MARTINS FERRY, OH, 43935, 7406330445 - 250,000 ($2,748,750.00) Equity, (File 333-136708 - Aug. 17) (BR. 07B) 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 8K ITEM NO. NAME OF ISSUER CODE DATE COMMENT ------------------------------------------------------------------------------------------------------- 3M CO DE 5.02,9.01 08/14/06 ABM INDUSTRIES INC /DE/ DE 8.01,9.01 08/15/06 ACNB CORP PA 8.01,9.01 08/15/06 ACORDA THERAPEUTICS INC 1.01 08/16/06 ADVANSTAR COMMUNICATIONS INC NY 2.04 08/15/06 ADVANSTAR INC DE 2.04 08/15/06 AEROPOSTALE INC 7.01,9.01 08/17/06 AFC ENTERPRISES INC MN 2.02,9.01 08/16/06 AFFILIATED COMPUTER SERVICES INC DE 2.02 08/11/06 AFFYMETRIX INC DE 3.01,9.01 08/17/06 AIMS WORLDWIDE INC NV 1.01,1.02,9.01 08/17/06 ALTERA CORP DE 3.01,9.01 08/14/06 AMERICAN RIVER BANKSHARES CA 1.02 08/17/06 AMERICAN RIVER BANKSHARES CA 8.01,9.01 08/17/06 Ameris Bancorp GA 1.01,8.01,9.01 08/15/06 ANNALY CAPITAL MANAGEMENT INC MD 8.01,9.01 08/16/06 ANSYS INC DE 9.01 05/01/06 AMEND Apple REIT Seven, Inc. VA 2.01,9.01 08/17/06 AQUILA INC DE 1.01,9.01 08/11/06 ARROW ELECTRONICS INC NY 1.01,9.01 08/16/06 AT&T INC. DE 8.01,9.01 06/30/06 ATEL CAPITAL EQUIPMENT FUND IX LLC CA 5.02 08/14/06 ATEL CAPITAL EQUIPMENT FUND VII LP CA 5.02 08/14/06 ATEL CAPITAL EQUIPMENT FUND VIII LLC CA 5.02 08/14/06 ATEL CAPITAL EQUIPMENT FUND X LLC CA 5.02 08/14/06 ATEL Capital Equipment Fund XI, LLC CA 5.02 08/14/06 ATEL CASH DISTRIBUTION FUND V L P CA 5.02 08/14/06 ATEL CASH DISTRIBUTION FUND VI LP CA 5.02 08/14/06 ATS MEDICAL INC MN 1.01,9.01 08/15/06 AUTODESK INC DE 2.02,9.01 08/17/06 BABYUNIVERSE, INC. FL 8.01,9.01 08/14/06 BARNES & NOBLE INC DE 2.02,9.01 08/17/06 BEAR STEARNS COMPANIES INC DE 8.01,9.01 08/10/06 BEBE STORES INC CA 2.02,9.01 07/01/06 BIOTIME INC CA 2.02,9.01 08/16/06 BJ SERVICES CO DE 1.01 08/12/06 BOMBAY COMPANY INC DE 2.02,9.01 08/16/06 BOOKS A MILLION INC DE 2.02 08/17/06 BOSTON RESTAURANT ASSOCIATES INC DE 1.01,9.01 08/15/06 BOULDER CREEK EXPLORATIONS, INC. NV 5.02 08/15/06 BRIDGFORD FOODS CORP CA 2.02,9.01 08/16/06 BRINKER INTERNATIONAL INC DE 7.01,9.01 08/16/06 Bristow Group Inc DE 1.01,9.01 05/11/06 BRITTON & KOONTZ CAPITAL CORP MS 1.01,3.02,5.03,9.01 08/17/06 BROCADE COMMUNICATIONS SYSTEMS INC DE 2.02,8.01,9.01 08/17/06 BUCKLE INC NE 2.02,9.01 08/17/06 BUREAU OF NATIONAL AFFAIRS INC DE 4.02 06/17/06 BURKE MILLS INC NC 2.02,9.01 07/01/06 BURLINGTON NORTHERN SANTA FE CORP DE 1.01,2.03,9.01 08/14/06 C & F FINANCIAL CORP VA 8.01,9.01 08/16/06 CabelTel International Corp NV 2.02,9.01 08/17/06 CACI INTERNATIONAL INC /DE/ DE 2.02,7.01,9.01 08/16/06 CALIFORNIA FIRST NATIONAL BANCORP CA 2.02,7.01,9.01 08/15/06 CALLWAVE INC 2.02,9.01 08/17/06 CANO PETROLEUM, INC 1.01,9.01 08/11/06 CANWEST PETROLEUM CORP 1.01,2.01,3.02,5.02,5.03,9.01 08/14/06 CARDINAL COMMUNICATIONS, INC NV 8.01,9.01 08/14/06 CAREY W P & CO LLC DE 7.01,9.01 08/16/06 CASELLA WASTE SYSTEMS INC DE 2.02,9.01 08/16/06 CASTLE A M & CO MD 1.01,7.01,9.01 08/12/06 CASUAL MALE RETAIL GROUP INC DE 2.02,9.01 08/17/06 CATERPILLAR INC DE 7.01 08/17/06 CATO CORP DE 2.02,9.01 08/15/06 Century Petroleum Corp. NV 1.01,2.01,3.02,9.01 08/10/06 CHAMPPS ENTERTAINMENT INC DE 1.01,9.01 08/14/06 CHEESECAKE FACTORY INCORPORATED DE 4.02,8.01,9.01 08/17/06 CHENIERE ENERGY INC DE 4.01,9.01 08/17/06 CHEROKEE INTERNATIONAL CORP DE 2.02,9.01 08/16/06 CHILDRENS PLACE RETAIL STORES INC 2.02,5.02,9.01 08/17/06 CHINA DIGITAL COMMUNICATION GROUP NV 7.01,9.01 08/14/06 CHURCHILL DOWNS INC KY 1.01 08/11/06 Citicorp Residential Mortgage Trust S DE 6.01,9.01 08/10/06 Citigroup Mortgage Loan Trust 2006-HE 8.01,9.01 08/02/06 CKX, Inc. DE 8.01,9.01 08/17/06 CLAIRES STORES INC DE 2.02,9.01 08/17/06 CLEAR CHOICE FINANCIAL, INC. NV 1.01,1.02,2.03,5.02 08/14/06 CLECO CORP LA 8.01,9.01 08/14/06 CLIFTON SAVINGS BANCORP INC 8.01,9.01 08/16/06 COMM BANCORP INC PA 4.01,9.01 08/17/06 COMMUNICATIONS SYSTEMS INC MN 2.02,9.01 08/15/06 COMVERSE TECHNOLOGY INC/NY/ NY 1.02,9.01 08/11/06 CONCORD CAMERA CORP NJ 1.01 08/17/06 CONNS INC DE 7.01 08/17/06 CONSPIRACY ENTERTAINMENT HOLDINGS INC UT 1.01,2.03,3.02,9.01 08/11/06 COOPERATIVE BANKSHARES INC NC 8.01,9.01 08/17/06 COST PLUS INC/CA/ CA 2.02,9.01 08/17/06 COVANTA HOLDING CORP DE 1.01,5.02,9.01 08/17/06 COVER ALL TECHNOLOGIES INC DE 2.02,5.01,9.01 08/13/06 CROWN CASTLE INTERNATIONAL CORP DE 5.02,9.01 08/17/06 CROWN MEDIA HOLDINGS INC DE 5.02 08/14/06 CYCLE COUNTRY ACCESSORIES CORP NV 7.01 08/16/06 DECODE GENETICS INC DE 7.01 08/14/06 DELL INC DE 2.02,9.01 08/17/06 DGSE COMPANIES INC NV 1.01,2.03,7.01,9.01 08/14/06 AMEND Discovery Bancorp CA 2.02,9.01 08/15/06 DITECH NETWORKS INC DE 2.02,9.01 08/17/06 DREAMS INC UT 2.02,9.01 08/17/06 E ENERGY ADAMS LLC 1.01,5.02 08/04/06 Education Realty Trust, Inc. MD 1.01,9.01 08/16/06 ELIZABETH ARDEN INC FL 2.02,5.02,9.01 08/16/06 EMAK Worldwide, Inc. DE 1.01 08/17/06 EMERGENCY FILTRATION PRODUCTS INC/ NV NV 8.01 08/17/06 ENDURANCE SPECIALTY HOLDINGS LTD 7.01,9.01 08/17/06 ENERGY EAST CORP NY 8.01,9.01 08/17/06 Energy Transfer Partners, L.P. DE 8.01,9.01 08/15/06 ENESCO GROUP INC IL 1.01,9.01 08/14/06 Enterprise GP Holdings L.P. DE 7.01,9.01 08/17/06 ENTERPRISE PRODUCTS PARTNERS L P DE 7.01,9.01 08/17/06 ENTRAVISION COMMUNICATIONS CORP DE 4.01,9.01 08/11/06 EP MEDSYSTEMS INC NJ 1.01,5.02,9.01 08/13/06 EPIX Pharmaceuticals, Inc. 2.01,3.03,5.02,9.01 08/16/06 EVANS BANCORP INC NY 7.01,9.01 08/17/06 EVANS BOB FARMS INC DE 5.02,9.01 08/17/06 EVOLVE ONE INC DE 1.01,2.01,3.02,5.01,5.02 08/16/06 EXCHANGE NATIONAL BANCSHARES INC MO 8.01,9.01 08/16/06 Expedia, Inc. 8.01,9.01 08/17/06 Federal Home Loan Bank of Atlanta X1 3.02 08/11/06 Federal Home Loan Bank of Boston X1 2.03 08/14/06 Federal Home Loan Bank of Chicago X1 2.03 08/14/06 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 08/14/06 Federal Home Loan Bank of Dallas 2.03 08/14/06 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 08/15/06 Federal Home Loan Bank of New York X1 2.03,9.01 08/14/06 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 08/14/06 Federal Home Loan Bank of San Francis X1 2.03 08/15/06 Federal Home Loan Bank of Seattle 2.03 08/16/06 Federal Home Loan Bank of Topeka 2.03 08/14/06 Feldman Mall Properties, Inc. MD 2.02,9.01 08/14/06 FINLAY ENTERPRISES INC /DE DE 2.02,9.01 08/17/06 FINLAY FINE JEWELRY CORP DE 2.02,9.01 08/17/06 FIRST ALBANY COMPANIES INC NY 1.01 08/15/06 FIRST FINANCIAL SERVICE CORP KY 7.01,9.01 08/15/06 FIRST HORIZON ASSET SECURITIES INC DE 8.01,9.01 07/06/05 AMEND FIRST NATIONAL CORP /VA/ VA 5.02 08/13/06 FIVE STAR QUALITY CARE INC 1.01,9.01 08/17/06 FLOWERS FOODS INC GA 2.02,9.01 08/17/06 FORCE PROTECTION INC NV 1.01,9.01 08/11/06 FOREST OIL CORP NY 4.01,9.01 08/14/06 FOUNDRY NETWORKS INC DE 3.01,9.01 08/14/06 Fox Chase Bancorp Inc X1 1.01,9.01 08/14/06 FRONTIER FINANCIAL CORP /WA/ WA 8.01 08/16/06 GAMBINO APPAREL GROUP, INC. DE 1.02,5.02 08/16/06 GameStop Corp. DE 2.02,9.01 08/17/06 GAP INC DE 2.02,9.01 08/17/06 GASCO ENERGY INC NV 2.01,7.01,9.01 08/14/06 GENESIS MICROCHIP INC /DE DE 1.01,9.01 08/14/06 GL ENERGY & EXPLORATION INC DE 4.01,9.01 08/11/06 GMACM Home Equity Loan Trust 2006-HE3 DE 8.01,9.01 08/17/06 GOLDEN PHOENIX MINERALS INC /MN/ MN 1.01,5.02,8.01,9.01 08/14/06 GOLDEN TELECOM INC DE 8.01,9.01 08/17/06 GOLFSMITH INTERNATIONAL HOLDINGS INC DE 2.02,9.01 08/15/06 GRANITE BROADCASTING CORP DE 1.01,9.01 08/15/06 GRAPHON CORP/DE DE 8.01,9.01 08/16/06 GREAT PLAINS ENERGY INC MO 1.01 08/12/06 GTREX CAPITAL, INC. DE 1.01,5.02 08/03/06 HAMPSHIRE GROUP LTD DE 3.01,8.01,9.01 08/14/06 HARRINGTON WEST FINANCIAL GROUP INC/C 7.01,9.01 08/16/06 HARTMAN COMMERCIAL PROPERTIES REIT TX 2.02,7.01,9.01 08/17/06 HEALTH CARE PROPERTY INVESTORS INC MD 1.01,9.01 08/14/06 HEALTHAXIS INC PA 1.01,9.01 08/14/06 HEARTLAND OIL & GAS CORP NV 4.02 08/15/06 HIBBETT SPORTING GOODS INC DE 1.01,2.02,7.01,9.01 08/17/06 HOUSERAISING, INC. NC 1.01,3.02 08/10/06 HSBC PRIVATE LABEL CREDIT CARD MASTER DE 1.01,8.01,9.01 08/17/06 I NET INC UT 5.01,5.02 07/07/06 ICONIX BRAND GROUP, INC. DE 1.01 08/17/06 IMAGE ENTERTAINMENT INC DE 7.01,9.01 08/16/06 Industrial Enterprises of America, In NV 2.02,7.01 08/17/06 INFINEX VENTURES INC NV 1.01 08/14/06 INFORMATION ARCHITECTS CORP NC 2.03,9.01 08/17/06 AMEND INTEGRA LIFESCIENCES HOLDINGS CORP DE 1.01,8.01,9.01 08/11/06 INTEGRATED ELECTRICAL SERVICES INC DE 7.01,9.01 08/16/06 INTERNATIONAL RECTIFIER CORP /DE/ DE 1.01,3.03 08/11/06 INTERNATIONAL STAR INC NV 4.02 08/15/06 INTUIT INC DE 5.02,9.01 08/15/06 INVESTORS CAPITAL HOLDINGS LTD MA 2.02,9.01 08/17/06 INVISA INC 3.02,7.01,8.01,9.01 08/14/06 ISOLAGEN INC DE 8.01,9.01 08/14/06 IT&E INTERNATIONAL GROUP 2.02,9.01 08/16/06 ITC Holdings Corp. MI 8.01,9.01 08/10/06 AMEND J P MORGAN CHASE & CO DE 8.01,9.01 08/17/06 JER Investors Trust Inc 3.01 08/16/06 JMG Exploration, Inc. NV 2.02,7.01 08/15/06 JONES APPAREL GROUP INC PA 7.01,8.01,9.01 07/27/06 KANSAS CITY SOUTHERN DE 1.01,2.03 08/11/06 KINDER MORGAN INC KS 8.01 08/14/06 KINDRED HEALTHCARE, INC DE 8.01,9.01 08/17/06 LANCASTER COLONY CORP OH 2.02,9.01 08/17/06 LANTRONIX INC DE 5.02,9.01 08/16/06 LIGHTBRIDGE INC DE 1.01,1.02,2.06 08/16/06 LIMITED BRANDS INC DE 2.02,7.01 08/16/06 Linn Energy, LLC DE 7.01,9.01 08/16/06 LIPID SCIENCES INC/ AZ 3.01,9.01 08/14/06 LITTLEFIELD CORP DE 4.02,9.01 08/16/06 LPA HOLDING CORP DE 1.01,2.04 08/17/06 LTV CORP DE 8.01,9.01 08/17/06 LYONDELL CHEMICAL CO DE 8.01,9.01 08/17/06 MACKINAC FINANCIAL CORP /MI/ MI 7.01 08/16/06 MAIR HOLDINGS INC MN 8.01 08/16/06 MANARIS CORP NV 1.01,9.01 08/11/06 MARATHON OIL CORP DE 8.01 08/14/06 MARINER ENERGY INC DE 1.01,9.01 08/16/06 MARKEL CORP VA 8.01,9.01 08/15/06 MARVELL TECHNOLOGY GROUP LTD D0 2.02,9.01 08/17/06 MedAire, Inc. NV 8.01,9.01 08/16/06 MEDCATH CORP DE 1.01 08/16/06 Medical Media Television, Inc. FL 1.01,2.03,3.02,5.02,9.01 08/11/06 MERITAGE HOSPITALITY GROUP INC MI 8.01,9.01 08/17/06 Merrill Lynch Mortgage Investors Trus DE 1.01,9.01 08/15/06 MICRO LINEAR CORP /CA/ DE 1.01,9.01 08/14/06 MICROFINANCIAL INC MA 5.02,5.03 08/15/06 MIDNIGHT HOLDINGS GROUP INC DE 5.02,8.01,9.01 08/16/06 MILLENNIUM BIOTECHNOLOGIES GROUP INC DE 1.01,3.02,3.03,9.01 08/16/06 MISCOR GROUP, LTD. 8.01,9.01 08/17/06 Morgan Stanley Capital I Trust 2006-T 8.01,9.01 08/17/06 MPHASE TECHNOLOGIES INC NJ 8.01 08/16/06 MS STRUCTURED SATURNS SERIES 2003-6 DE 8.01,9.01 08/15/06 MS STRUCTURED SATURNS SERIES 2004-4 DE 8.01,9.01 08/15/06 MS STRUCTURED SATURNS SERIES 2004-6 DE 8.01,9.01 08/15/06 Myriad Entertainment & Resorts, Inc. 1.01,5.02,9.01 08/09/06 N-VIRO INTERNATIONAL CORP DE 2.02,9.01 08/17/06 NATIONAL BANK OF INDIANAPOLIS CORP IN 1.01,9.01 08/14/06 NATUS MEDICAL INC DE 1.01,3.03,9.01 08/17/06 NEPHROS INC DE 3.01,9.01 08/15/06 New York & Company, Inc. 2.02,7.01,9.01 08/17/06 New York & Company, Inc. 1.01,5.02,9.01 08/17/06 NEWFIELD EXPLORATION CO /DE/ DE 7.01,9.01 08/16/06 NEWMONT MINING CORP /DE/ DE 8.01 08/14/06 NEXTEST SYSTEMS CORP 2.02,9.01 08/17/06 NNN Apartment REIT, Inc. MD 8.01 08/15/06 NORDSTROM INC WA 2.02,7.01,9.01 08/17/06 NOVAVAX INC DE 1.01,5.02,9.01 08/11/06 Novelis Inc. A6 1.01,9.01 08/11/06 NTELOS HOLDINGS CORP 7.01,9.01 08/17/06 NUTRITION 21 INC NY 1.01,9.01 08/15/06 NVR INC VA 1.01,2.04,9.01 08/16/06 OPEN ENERGY CORP NV 5.02 08/11/06 Orange 21 Inc. DE 1.01,5.02,9.01 08/11/06 OREGON PACIFIC BANCORP OR 5.02 08/16/06 ORLEANS HOMEBUILDERS INC DE 2.02,9.01 08/16/06 OXFORD MEDIA, INC. NV 1.01,1.02 08/11/06 PANERA BREAD CO DE 1.01 08/11/06 Patients & Physicians, Inc. DE 1.01,9.01 08/17/06 PENWEST PHARMACEUTICALS CO WA 8.01 08/16/06 PEOPLES BANCORPORATION INC /SC/ SC 1.01 08/17/06 PEOPLES BANCTRUST CO INC AL 1.01,5.02,9.01 08/16/06 PERCEPTRON INC/MI MI 2.02,8.01,9.01 08/17/06 PERCEPTRON INC/MI MI 1.01 08/14/06 PETCO ANIMAL SUPPLIES INC DE 2.02,9.01 08/17/06 PETROHAWK ENERGY CORP DE 1.01 08/11/06 PFIZER INC DE 8.01,9.01 08/15/06 PHARMACYCLICS INC DE 1.01,9.01 08/14/06 PHOTON DYNAMICS INC CA 5.02 08/16/06 Pike Electric CORP 5.02 08/16/06 PINNACLE AIRLINES CORP DE 8.01 08/11/06 PIPER JAFFRAY COMPANIES 1.01,7.01,9.01 08/16/06 PIZZA INN INC /MO/ MO 2.04 08/14/06 Placer Del Mar, Ltd. NV 4.01,9.01 08/15/06 PNM RESOURCES INC NM 8.01 08/17/06 POMEROY IT SOLUTIONS INC DE 8.01,9.01 08/14/06 PPT VISION INC MN 2.02,9.01 08/17/06 PREMIER FINANCIAL BANCORP INC KY 7.01,9.01 08/17/06 PRG SCHULTZ INTERNATIONAL INC GA 1.01,3.02,3.03,7.01,9.01 08/11/06 PRO DEX INC CO 1.01,5.02,9.01 08/14/06 PROGRESS ENERGY INC NC 7.01,9.01 06/30/06 Project Romania Inc. NV 4.01 08/10/06 QAD INC DE 5.02 08/16/06 QAD INC DE 2.02,9.01 08/17/06 QUANTA CAPITAL HOLDINGS LTD 4.01,9.01 08/15/06 QUANTA SERVICES INC DE 2.02,9.01 08/02/06 AMEND QUANTUM CORP /DE/ DE 8.01,9.01 08/17/06 QUEST SOFTWARE INC CA 3.01,9.01 08/14/06 Quintana Maritime LTD 1T 2.01,3.03,5.03,8.01,9.01 08/11/06 Rand Logistics, Inc. DE 7.01,9.01 08/17/06 READERS DIGEST ASSOCIATION INC DE 1.01,9.01 08/11/06 REPTRON ELECTRONICS INC FL 1.01,9.01 08/11/06 RESMED INC DE 2.02,9.01 08/17/06 RESOURCE AMERICA INC DE 1.01,2.03,9.01 08/14/06 RG America, Inc. NV 2.02,7.01,9.01 08/14/06 ROBBINS & MYERS INC OH 8.01 08/15/06 ROOMLINX INC NJ 2.02,9.01 08/17/06 ROYAL GOLD INC DE 2.02,9.01 08/17/06 S Y BANCORP INC KY 5.03,9.01 08/15/06 SCANSOURCE INC SC 2.02,9.01 08/17/06 SCOTTS MIRACLE-GRO CO OH 1.01,5.02,7.01,9.01 08/11/06 SEABRIGHT INSURANCE HOLDINGS INC 1.01,9.01 08/15/06 SEALIFE CORP 8.01 08/17/06 SEARS HOLDINGS CORP DE 2.02,9.01 08/17/06 Shire plc 8.01,9.01 08/16/06 SHOE CARNIVAL INC IN 2.02,9.01 08/17/06 SIERRA HEALTH SERVICES INC NV 1.01,9.01 08/16/06 SIERRA PACIFIC RESOURCES /NV/ NV 2.03,8.01 08/15/06 SILGAN HOLDINGS INC DE 9.01 06/01/06 AMEND SIMMONS CO DE 2.02,9.01 08/15/06 SIRENZA MICRODEVICES INC DE 1.01,9.01 08/14/06 SIRVA INC DE 1.01,9.01 08/15/06 SIRVA INC DE 7.01,9.01 08/16/06 SKYWEST INC UT 8.01 08/14/06 SOLOMON TECHNOLOGIES INC DE 1.01,2.01,5.03,9.01 08/11/06 SONIC INNOVATIONS INC DE 1.01,3.02,9.01 08/14/06 Soundview Home Loan Trust 2006-3 9.01 08/09/06 SOUTH CAROLINA ELECTRIC & GAS CO SC 5.03,9.01 08/16/06 SPECIALIZED HEALTH PRODUCTS INTERNATI DE 9.01 06/02/06 AMEND SPEEDUS CORP DE 2.02,9.01 08/14/06 State National Bancshares, Inc. TX 8.01,9.01 08/17/06 STATION CASINOS INC NV 1.01,9.01 08/15/06 Storm Cat Energy CORP 2.02 08/15/06 STRATUS SERVICES GROUP INC DE 2.02 08/17/06 SULPHCO INC NV 5.02,9.01 08/11/06 SUMTOTAL SYSTEMS INC DE 1.01,9.01 08/16/06 SUPERVALU INC DE 2.01,9.01 06/07/06 AMEND SYNIVERSE HOLDINGS INC DE 1.01,9.01 08/03/06 TCF FINANCIAL CORP DE 2.02,7.01,9.01 08/17/06 TEL INSTRUMENT ELECTRONICS CORP NJ 7.01 08/16/06 TELECOM COMMUNICATIONS INC 1.01,9.01 08/12/06 TELETOUCH COMMUNICATIONS INC DE 1.01,2.01,2.03,8.01,9.01 08/11/06 TETRA TECH INC DE 2.02,9.01 08/16/06 THOMAS GROUP INC DE 8.01,9.01 08/15/06 TIME WARNER INC DE 4.02 08/15/06 TITAN INTERNATIONAL INC IL 8.01,9.01 08/17/06 TOR MINERALS INTERNATIONAL INC DE 2.02,9.01 08/15/06 TRANS ENERGY INC NV 1.01,2.01,9.01 08/14/06 TRANSGENOMIC INC DE 3.01,9.01 08/15/06 TREASURE ISLAND ROYALTY TRUST TX 7.01,9.01 08/16/06 TREY RESOURCES INC DE 9.01 06/02/06 AMEND TRITON NETWORK SYSTEMS INC DE 8.01,9.01 08/15/06 TVIA INC DE 1.01,3.02,9.01 08/15/06 UGI CORP /PA/ PA 1.01 08/11/06 UGI UTILITIES INC PA 1.01,9.01 08/11/06 UNITED DOMINION REALTY TRUST INC MD 8.01,9.01 08/17/06 Uraniumcore CO DE 1.01,4.01,5.02,9.01 08/15/06 US Oncology Holdings, Inc. DE 5.02 08/16/06 Value Consulting Inc NV 5.02,9.01 08/16/06 Value Consulting Inc NV 5.03,9.01 08/16/06 VALUEVISION MEDIA INC MN 2.02,9.01 08/16/06 VCG HOLDING CORP CO 8.01,9.01 08/15/06 VCG HOLDING CORP CO 8.01,9.01 08/16/06 VENDINGDATA CORP NV 2.02,9.01 08/15/06 VERASUN ENERGY CORP 8.01,9.01 08/17/06 VERIDIEN CORP DE 3.02 08/12/06 VERISIGN INC/CA DE 3.01,9.01 08/14/06 VERTICALNET INC PA 1.01 08/11/06 VIISAGE TECHNOLOGY INC DE 1.01,1.02,2.01,2.03,7.01,9.01 08/11/06 VIPER NETWORKS INC UT 4.01,9.01 08/08/06 AMEND Visiphor CORP A1 5.02,7.01,9.01 08/08/06 WADDELL & REED FINANCIAL INC DE 7.01,9.01 08/17/06 Warrior Energy Services CORP DE 1.01,9.01 08/11/06 Warrior Energy Services CORP DE 1.01,9.01 08/14/06 Warrior Energy Services CORP DE 1.01,9.01 07/28/06 AMEND WASHINGTON TRUST BANCORP INC RI 1.01,3.03,9.01 08/17/06 Western Iowa Energy, L.L.C. IA 5.02 08/16/06 WHIRLPOOL CORP /DE/ DE 1.01,9.01 08/13/06 WHITTIER ENERGY CORP NV 9.01 05/31/06 AMEND WORTHINGTON INDUSTRIES INC OH 8.01,9.01 08/16/06 XM SATELLITE RADIO HOLDINGS INC DE 8.01,9.01 08/17/06 ZILA INC DE 1.01,9.01 08/13/06 ZORAN CORP \DE\ DE 3.01,9.01 08/14/06 Zumiez Inc 5.02 08/14/06 ZYGO CORP DE 2.02,9.01 08/17/06 ZYMOGENETICS INC WA 7.01,8.01,9.01 08/14/06