SEC NEWS DIGEST Issue 2006-199 October 16, 2006 COMMISSION ANNOUNCEMENTS JOHN DUGAN NAMED ASSOCIATE DISTRICT ADMINISTRATOR FOR ENFORCEMENT IN THE SEC'S BOSTON DISTRICT OFFICE The Securities and Exchange Commission today announced the appointment of John T. Dugan as Associate District Administrator for Enforcement in the Commission's Boston District Office (BDO). In this position, Dugan will oversee the Commission's enforcement program in the New England area. Dugan succeeds David Bergers, who became the District Administrator of the BDO in April 2006. SEC Director of Enforcement Linda Thomsen stated, "John is a lawyer with considerable talent and experience. He has also proven to be an excellent manager. I am confident that he will carry out the responsibilities of this important position with intelligence and effectiveness and I look forward to continuing to work with him." David Bergers, District Administrator of the BDO, said, "John has been an integral part of this office's efforts to protect investors. He will provide outstanding leadership to our dedicated team of enforcement professionals." As an attorney and manager in the BDO, Dugan has spearheaded a number of important Commission enforcement actions. In recent years, Dugan played a key role in the Commission's market timing cases against Prudential Equity Group, LLC (formerly known as Prudential Securities, Inc.) and Massachusetts Financial Services Company, in which the Commission recovered several hundred million dollars for injured investors. Dugan has also led investigations that resulted in numerous significant enforcement cases in the areas of insider trading, offering fraud and accounting fraud. In those cases, the Commission sued, among others, a broker-dealer for the actions of one of its registered representatives who participated in an investment fraud that raised over $50 million; the former general counsel of a public company for his role in an accounting fraud; the former general counsel of another public company for selling a large amount of his company's stock in advance of an announcement of bad news; and the former CEO of a public biotechnology company accused of making misleading statements about clinical trials for the company's major drug. Dugan joined the BDO initially in 1999 as an enforcement staff attorney and subsequently served as a Branch Chief and, since July 2003, as an Assistant District Administrator in the BDO's enforcement program. Prior to joining the SEC, Dugan was an attorney with the Federal Trade Commission, where he conducted investigations and brought enforcement actions under various federal antitrust, consumer protection, and trade regulation statutes. Dugan received his B.A. from the University of Massachusetts in 1988 and his J.D. from the George Washington University Law School in 1993. (Press Rel. 2006-175) ENFORCEMENT PROCEEDINGS COMMISSION DISMISSES LAWRENCE GAGE'S APPLICATION FOR REVIEW The Commission dismissed the application of Lawrence Gage, a member of the Philadelphia Stock Exchange, Inc., for review of a decision of the PHLX's Board of Governors rejecting his challenge to the PHLX's adoption of PHLX Rule 651. Rule 651 requires PHLX members who unsuccessfully sue the PHLX to reimburse the PHLX for its legal expenses where those expenses exceed $50,000. The Commission determined that the matter was not reviewable because, contrary to Gage's contention, neither Section 19(b) nor Section 19(d) of the Securities Exchange Act of 1934 provided a basis for review of the PHLX's decision. The Commission found that Exchange Act Section 19(b)(3)(C) did not provide a basis to summarily abrogate the rule in response to Gage's appeal of the PHLX's action because Gage did not request abrogation within the sixty-day period specified in that section. The Commission also found that the PHLX's action did not fall within any of the four types of self-regulatory organization actions that the Commission is authorized to review under Exchange Act Section 19(d). (Rel. 34-54600; File No. 3-12230) COMMISSION REVOKES REGISTRATION OF SECURITIES OF CONTINENTAL REAL ESTATE PARTNERS, LTD. FOR FAILURE TO MAKE REQUIRED PERIODIC FILINGS On October 16, the Commission revoked the registration of each class of registered securities of Continental Real Estate Partners, Ltd. (Continental) for failure to make required periodic filings with the Commission. Without admitting or denying the findings in the order, except as to jurisdiction, which it admitted, Continental consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Continental Real Estate Partners, Ltd., 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 Continental's securities pursuant to Section 12(j) of the Exchange Act. This order settled the charges brought against it in the Matter of Amour Fiber Core, Inc., et al. 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. For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Amour Fiber Core, Inc., et al., Administrative Proceeding File No. 3-12415, Exchange Act Release No. 54432, Sept. 13, 2006). (Rel. 34-54602; File No. 3-12415) SEC SETTLES CHARGES AGAINST SCHNITZER STEEL INDUSTRIES FOR $7.7 MILLION FOR VIOLATIONS OF THE FOREIGN CORRUPT PRACTICES ACT On October 16, the Commission charged Schnitzer Steel Industries, Inc., a Portland, Oregon-based steel company that sells scrap metal, with violating the anti-bribery, books and records and internal controls provisions of the Foreign Corrupt Practices Act of 1977 (FCPA). Simultaneous with the filing of the Commission's charges Schnitzer agreed, without admitting or denying the charges, to disgorge approximately $7.7 million in profits and prejudgment interest. In its administrative order, the Commission found that from at least 1999 through 2004, Schnitzer's South Korean subsidiary made improper cash payments or gave gifts to managers of government-owned steel mills in China. Schnitzer made the illicit payments and gifts on its own behalf and on behalf of Japanese steel companies for whom Schnitzer acted as a broker. The Commission further found that during the same period, Schnitzer also paid bribes to managers of privately owned steel mills in both China and South Korea. The purpose of the improper payments and gifts was to induce the managers of the steel mills to purchase scrap metal from Schnitzer and Schnitzer's Japanese customers in violation of the FCPA. The Commission's administrative order finds that by making the payments described above, Schnitzer violated the anti-bribery, books and records and internal controls provisions of the FCPA (respectively, Sections 30A, 13(b)(2)(A) and 13(b)(2)(B) of the Securities Exchange Act of 1934). Without admitting or denying the Commission's findings, Schnitzer agreed to disgorge profits of $6,279,095, pay prejudgment interest of $1,446,106, cease and desist from future violations of the FCPA, and comply with undertakings that require Schnitzer to retain an independent consultant to review the company's FCPA compliance policies and procedures. The Commission's investigation is ongoing. (Rel. 34-54606; AAE Rel. No. 2493; File No. 3-12456) IN THE MATTER OF TRACY EDWARDS On October 16, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions (Order) against Tracy A. Edwards. The Order finds that on Oct. 11, 2006, a final judgment was entered by consent against Edwards, permanently enjoining him from future violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, in the civil action entitled SEC v. Tracy A. Edwards, et al., Civil Action Number 1:05-cv-00372, in the U.S. District Court for the District of Columbia. The Commission's complaint alleges that from 1998 until November 2001, Edwards enticed investors to purchase private placement shares using multiple material misrepresentations, misappropriated investor funds designated for investment, and otherwise engaged in a variety of conduct which operated as a fraud and deceit on investors. Based on the above, the Order bars Edwards from association with any broker or dealer. Edwards consented to the issuance of the Order without admitting or denying any of the findings in the Order. (Rel. 34-54604; File No. 3-12454) IN THE MATTER OF TIMOTHY BELL On October 16, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions (Order) against Timothy F. Bell. The Order finds that on Oct. 11, 2006, a final judgment was entered by consent against Bell, permanently enjoining him from future violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, in the civil action entitled SEC v. Timothy F. Bell, et al., Civil Action Number 1:05-cv-00372, in the U.S. District Court for the District of Columbia. The Commission's complaint alleges that from 1998 until November 2001, Bell enticed investors to purchase private placement shares using multiple material misrepresentations, misappropriated investor funds designated for investment, and otherwise engaged in a variety of conduct which operated as a fraud and deceit on investors. Based on the above, the Order bars Bell from association with any broker or dealer. Bell consented to the issuance of the Order without admitting or denying any of the findings in the Order. (Rel. 34-54605; File No. 3-12455) SEC FILES INSIDER TRADING ACTION AND OBTAINS EMERGENCY FREEZE OF PROCEEDS FROM SALES OF CNS, INC. CALL OPTIONS PURCHASED THROUGH FOREIGN ACCOUNTS On October 12, the SEC filed a complaint against certain unknown purchasers of call options of CNS, Inc. (the "Unknown Purchasers"), alleging that they engaged in insider trading in advance of the Oct. 9, 2006, public announcement of a $566 million merger between CNS, Inc. (CNS) and GlaxoSmithKline plc (Glaxo). The Commission also applied for emergency relief that included an asset freeze to prevent the defendants from removing the proceeds from sales of the options beyond the jurisdiction of the Court. The Honorable Eduardo C. Robreno, U.S. District Judge, Eastern District of Pennsylvania, issued a Temporary Restraining Order freezing over $650,000 in sale proceeds and ordering the Unknown Purchasers to appear before the Court on Oct. 20, 2006, to show cause why the Court should not enter a preliminary injunction extending the asset freeze and other ancillary relief entered in the Temporary Restraining Order until a final adjudication of the case may be made on the merits. In its complaint, the Commission alleges that the Unknown Purchasers purchased near-term, out-of-the money call option contracts for the common stock of CNS through foreign accounts held at U.S. broker- dealers. The foreign accounts were omnibus accounts in the names of Zürcher Kantonalbank (Zurich Cantonal Bank) and Credit Suisse, and were held at U.S. broker-dealers National Financial Services LLC and Swiss-American Securities, Inc., respectively. The Complaint further alleges that the unknown defendants engaged in illegal insider trading in violation of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 and seeks permanent injunctive relief, the disgorgement of all illegal profits, and the imposition of civil monetary penalties. The Court's Temporary Restraining Order freezes the proceeds generated through the insider trading of CNS call options in the U.S. brokerage accounts. In addition, the Order requires the Unknown Purchasers to identify themselves, provides for expedited discovery, prohibits the defendants from destroying documents, and permits alternative means of service of process. [SEC v. One or More Unknown Purchasers of Call Options for the Common Stock of CNS, Inc., Civil Action No. 06-4540, E.D. Pa.] (LR-19867) TENTH CIRCUIT COURT OF APPEALS AFFIRMS JURY VERDICT AND REMEDIES IMPOSED AGAINST MAXXON, INC. AND FORMER PRESIDENT/CEO, GIFFORD M. MABIE, JR. The U.S. Court of Appeals for the Tenth Circuit, on Oct. 11, 2006, affirmed a jury verdict which found Maxxon, Inc. and its former President and Chief Executive Officer, Gifford M. Mabie, Jr., civilly liable for violating the antifraud provisions of the federal securities laws and regulations, and affirmed the remedies imposed by the federal district court. The Tenth Circuit rejected all contentions raised by Maxxon and Mabie on appeal, concluding, among other things, that the district court judge had broad discretion in calculating disgorgement, due to its equitable nature, and in determining the period of time during which gains must be disgorged. On Nov. 18, 2004, a federal jury in the U.S. District Court for the Northern District of Oklahoma found that Maxxon and Mabie violated the antifraud provisions of the federal securities laws by making false or misleading statements in various media about the company and a "safety syringe" it was attempting to develop. The jury found Maxxon and Mabie violated Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder. The jury also found that Maxxon and Mabie violated Sections 17(a)(2) and (3) of the Securities Act of 1933 (Securities Act). On March 11, 2005, Sven Erik Holmes, formerly the Chief Judge of the Northern District of Oklahoma, entered an Order of Final Judgment against Maxxon and Mabie. Judge Holmes permanently enjoined Mabie and Maxxon from violating, or aiding and abetting the violation of, Section 10(b) of the Exchange Act and Rule 10b-5, and Sections 17(a)(2) and 17(a)(3) of the Securities Act. Judge Holmes also barred Mabie from acting as an officer or director of any public company for five years, permanently barred him from participating in any offering of penny stock, and ordered him to pay disgorgement of $433,228.52, prejudgment interest of $221,610.16, and a civil penalty of $433,228.52. [SEC, Appellee, v. Maxxon, Inc., Defendant-Appellant, Gifford M. Mabie, Jr., Defendant-Appellant, and Thomas R. Coughlin, Jr., Defendant, United States Court of Appeals for the Tenth Circuit, Appeal No. 05-5091]; [SEC v. Maxxon, Inc., Gifford M. Mabie, Jr., and Thomas R. Coughlin, Jr., United States District Court for the Northern District of Oklahoma, Civil Action No. 4:02-CV-00975-TCK-SAJ] (LR- 19868) SEC CHARGES FORMER OFFICERS OF RIVERSTONE NETWORKS, INC. WITH FINANCIAL FRAUD The Commission announced today that it has filed a complaint in the U.S. District Court for the Northern District of California against five former officers and one former employee of Riverstone Networks, Inc. (Riverstone), a California-based company that, until recently, was a worldwide provider of communications routers, as a result of their roles in a scheme to inflate Riverstone's net revenues. The complaint alleges that, from June 2001 through June 2002, chief executive officer Romulus S. Pereira, chief financial officer Robert B. Stanton, executive vice president of sales L. John Kern, vice president of marketing Andrew D. Feldman, vice president of finance William F. McFarland, and director of sales operations Lori H. Cornmesser negotiated, reviewed, approved, or were otherwise aware of sales transactions for which Riverstone improperly recognized revenues in contravention of Generally Accepted Accounting Principles. Specifically, Riverstone improperly recognized revenues on sales transactions that involved side agreements with purchasers, under which the customer's payment for Riverstone product was contingent upon resale or the purchaser was granted full return, exchange, or cancellation rights. Due to the defendants' actions and omissions, the side agreements were concealed from Riverstone's outside auditors. Riverstone reported almost $30 million of fraudulent revenues as a result of these contingent sales, causing revenue overstatements in four fiscal quarters ranging between 14.3 and 23.1 percent. In furtherance of the fraudulent scheme, the defendants also circumvented Riverstone's internal accounting controls, falsified Riverstone's accounting records, and lied to Riverstone's outside auditors. The Commission's complaint charges Pereira, Stanton, Kern, Feldman, and McFarland with violating the antifraud provisions of Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder. The complaint further charges various defendants with violating, or aiding and abetting violations of, Sections 13(a), 13(b)(2), and 13(b)(5) of the Exchange Act and Rules 12b-20, 13a-1, 13a-13, 13b2-1, and 13b2-2 thereunder. [SEC v. Romulus S. Pereira, et al., Civil Action No. 3:06-cv-06384-MHP, N.D. Cal.] (LR-19869) COMMISSION FILES SUBPOENA ENFORCEMENT ACTION AGAINST CLIFFORD LEWIS, RICHARD DABNEY AND THOMAS NELSON The Commission announced today that, on Sept. 29, 2006, it filed an application in the United States District Court for the District of Massachusetts for orders to enforce investigative subpoenas served on Clifford A. Lewis of Harrison, Maine, Richard A. Dabney of Torrance, California, and Thomas E. Nelson of Fountain Hills, Arizona. The Commission's application and supporting papers allege that, on Jan. 12, 2006, the Commission issued a Formal Order of Private Investigation entitled, In the Matter of Strategy X, Inc. Strategy X, Inc., is a Nevada corporation based in Harrison, Maine, which purports to have unique expertise in the field of "homeland security." Its stock is publicly traded on the Pink Sheets. Strategy X is not registered and does not file reports with the Commission. According to the Commission's application and supporting papers, its staff is investigating, among other things, the basis for certain statements in Strategy X press releases and statements made about Strategy X directly to investors by persons purporting to act on behalf of the company and whether those statements were false and misleading. The investigation also concerns transactions involving large amounts of unrestricted Strategy X stock that have not been registered with the Commission. According to the Commission's application, Lewis and Dabney are officers of Strategy X, and Nelson provides investor relations services. On Jan. 19, 2006, the Commission issued investigative subpoenas to Lewis and Dabney in the course of its investigation into possible violations of the antifraud and securities registration provisions of the federal securities laws and, on Aug. 24, 2006, the Commission issued a subpoena to Nelson. The subpoenas required Lewis, Dabney, and Nelson to produce documents relevant to the investigation and to appear before the Commission staff for testimony. The Commission alleges that, despite a number of postponements in order to accommodate Lewis and Dabney, as of the date of its application, they and Nelson failed to produce all of the subpoenaed documents and failed to appear for testimony. According to the Commission's application, Lewis, Dabney, and Nelson have no valid justification for failing to comply with the subpoenas, and court orders are necessary to compel them to do so. A hearing on the Commission's application has not yet been scheduled. [In re Application to Show Cause Requiring Compliance with Administrative Subpoena., Docket No. 1:06-mc-10387-NMG, (D. Mass.)] (LR-19870) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-Amex-2006-97) filed by the American Stock Exchange to amend the electronic access fee 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 October 16. (Rel. 34-54593) A proposed rule change (SR-NYSE-2006-81) filed by the New York Stock Exchange relating to the addition of real-time quotation information to the NYSE OpenBook® service 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 October 16. (Rel. 34-54594) A proposed rule change (SR-NASDAQ-2006-042) filed by The NASDAQ Stock Market to modify Nasdaq Rule 4760 relating to the operation of the Nasdaq Crossing Network has become effective under Section 19(b)(3)(A) under the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of October 16. (Rel. 34-54598) PROPOSED RULE CHANGE The American Stock Exchange filed a proposed rule change (SR-Amex - 2006-78) relating to generic listing standards for series of portfolio depositary receipts and index fund shares based on international or global indexes. Publication is expected in the Federal Register during the week of October 16. (Rel. 34-54595) ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission granted accelerated approval to a proposed rule change (SR-NASDAQ-2006-037) filed by The NASDAQ Stock Market to modify NASDAQ Rules 3350(a) and 4755(a)(2). Publication is expected in the Federal Register during the week of October 16. (Rel. 34-54601) 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 ICF International, Inc., 9300 LEE HIGHWAY, FAIRFAX, VA, 22031, (703) 934-3000 - 3,542,182 ($34,312,136.00) Equity, (File 333-137975 - Oct. 13) (BR. 08A) S-1 National CineMedia, Inc., 9110 E. NICHOLS AVE., SUITE 200, CENTENNIAL, CO, 80112, (303) 792-3600 - 0 ($700,000,000.00) Equity, (File 333-137976 - Oct. 13) (BR. ) SB-2 Buckingham Exploration Inc., #502 - 1978 VINE STREET, VANCOUVER, A1, V6K 4S1, (604)7370203 - 3,047,250 ($609,450.00) Equity, (File 333-137978 - Oct. 13) (BR. ) S-4 Harris Stratex Networks, Inc., 1025 WEST NASA BLVD., MELBOURNE, FL, 32919, 321 727 9100 - 0 ($479,553,849.06) Equity, (File 333-137980 - Oct. 13) (BR. ) S-1 Vision-Ease Lens, Inc., 7000 SUNWOOD DRIVE NW, RAMSEY, MN, 55303, 763-506-9000 - 0 ($86,250,000.00) Equity, (File 333-137981 - Oct. 13) (BR. ) S-8 APOGEE ENTERPRISES INC, 7900 XERXES AVE S, SUITE 1800, MINNEAPOLIS, MN, 55431, 6128351874 - 1,600,000 ($24,272,000.00) Equity, (File 333-137982 - Oct. 13) (BR. 06A) F-6 Home Inns & Hotels Management Inc., NO. 400 TIAN YAO QIAO ROAD, SHANGHAI, F4, 200030, (8621) 6468-1818 - 50,000,000 ($2,500,000.00) ADRs/ADSs, (File 333-137983 - Oct. 13) (BR. 08) S-8 WESTINGHOUSE AIR BRAKE TECHNOLOGIES CORP, 1001 AIR BRAKE AVE, WILMERDING, PA, 15148, 4128251000 - 2,000,000 ($57,820,000.00) Equity, (File 333-137985 - Oct. 13) (BR. 05C) S-8 NEW YORK MORTGAGE TRUST INC, 1301 AVENUE OF THE AMERICAS, NEW YORK, NY, 10019, 2126349400 - 1,031,111 ($3,835,732.92) Equity, (File 333-137987 - Oct. 13) (BR. 08B) S-8 WATERS CORP /DE/, 34 MAPLE ST, MILFORD, MA, 01757, 5084782000 - 3,800,000 ($172,292,000.00) Equity, (File 333-137990 - Oct. 13) (BR. 10C) S-3 LOGICVISION INC, 25 METRO DRIVE 3RD FL, SAN JOSE, CA, 95110, 4084530146 - 1,070,499 ($1,445,174.00) Equity, (File 333-137991 - Oct. 13) (BR. 03B) S-3 INTERNATIONAL ASSETS HOLDING CORP, 220 CENTRAL PARKWAY, SUITE 2060, ALTAMONTE SPRINGS, FL, 32701, 407-741-5334 - 1,422,087 ($34,186,971.48) Equity, (File 333-137992 - Oct. 13) (BR. 06A) S-3 CANARGO ENERGY CORP, P.O. BOX 291, ST. PETER PORT, GUERNSEY, C.I., X0, GY1 3RR, 44 1481 729980 - 0 ($49,569,170.08) Equity, (File 333-137993 - Oct. 13) (BR. 04B) S-3 INSITE VISION INC, 965 ATLANTIC AVE, --, ALAMEDA, CA, 94501, 5108658800 - 5,748,091 ($8,737,098.32) Equity, (File 333-137994 - Oct. 13) (BR. 01A) S-8 PHYSICAL SPA & FITNESS INC, 40/F NATWEST TOWER, TIMES SQUARE, NO. 1 MATHESON STREET, HONG KONG, 7149496880 - 3,000,000 ($540,000.00) Other, (File 333-137995 - Oct. 13) (BR. 05B) S-8 Santa Lucia Bancorp, P. O. BOX 6047, ATASCADERO, CA, 93423, 805-466-7087 - 0 ($5,000,000.00) Equity, (File 333-137996 - Oct. 13) (BR. 07) S-8 Santa Lucia Bancorp, P. O. BOX 6047, ATASCADERO, CA, 93423, 805-466-7087 - 0 ($4,880,900.00) Equity, (File 333-137997 - Oct. 13) (BR. 07) S-3ASR SOUTHERN UNION CO, 417 LACKAWANNA AVENUE, SCRANTON, PA, 18503-2013, (570) 614-5000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-137998 - Oct. 13) (BR. 02C) S-8 eHealth, Inc., 440 EAST MIDDLEFIELD ROAD, MOUNTAIN VIEW, CA, 94043, 650-584-2700 - 7,342,766 ($102,798,724.00) Equity, (File 333-137999 - Oct. 13) (BR. 01B) S-8 AUDIOVOX CORP, 180 MARCUS BLVD, HAUPPAUGE, NY, 11788, 6312317750 - 0 ($19,170,000.00) Equity, (File 333-138000 - Oct. 13) (BR. 10A) S-3 TELKONET INC, 902A COMMERCE ROAD, ., ANNAPOLIS, MD, 21401, 410-897-5900 - 1,739,683 ($4,697,145.00) Equity, (File 333-138001 - Oct. 13) (BR. 11B) S-3 COLOR KINETICS INC, 10 MILK ST SUITE 1100, BOSTON, MA, 02108, 617-423-9999 - 0 ($100,000,000.00) Equity, (File 333-138002 - Oct. 13) (BR. 10A) S-1 CANO PETROLEUM, INC, 309 WEST 7TH STREET, STE 1600, FORT WORTH, TX, 76102, 817-698-0900 - 0 ($96,440,714.00) Equity, (File 333-138003 - Oct. 13) (BR. 04A) S-8 WENDYS INTERNATIONAL INC, 4288 W DUBLIN GRANVILLE RD, P O BOX 256, DUBLIN, OH, 43017, 6147643100 - 480,000 ($16,286,400.00) Equity, (File 333-138004 - Oct. 13) (BR. 05C) SB-2 WESTMONT RESOURCES INC., 1621 FREEWAY DRIVE, SUITE 209, MOUNT VERNON, WA, 98273, 360-395-6040 - 0 ($153,320.00) Equity, (File 333-138005 - Oct. 13) (BR. ) S-4 HEALTH CARE REIT INC /DE/, ONE SEAGATE STE 1500, P O BOX 1475, TOLEDO, OH, 43604, 4192472800 - 12,396,731 ($468,071,580.00) Equity, (File 333-138006 - Oct. 13) (BR. 08B) 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 1ST CENTENNIAL BANCORP CA 2.02,9.01 10/13/06 AAA Minerals Inc. NV 4.01 08/01/06 AMEND ABBOTT LABORATORIES IL 5.02 10/13/06 ABIOMED INC DE 2.02,9.01 10/12/06 ABLE ENERGY INC DE 8.01 10/13/06 ACCENTURE LTD 8.01 10/11/06 AcuNetx, Inc. NV 7.01,9.01 10/13/06 ADAM INC GA 5.02 10/10/06 ADEPT TECHNOLOGY INC CA 2.02,4.02,9.01 10/13/06 ADVANCED CELL TECHNOLOGY, INC. DE 1.01,5.02,5.03,9.01 10/12/06 ALCHEMY ENTERPRISES, LTD. NV 5.02,9.01 10/12/06 ALCOA INC PA 2.02,9.01 10/10/06 ALESCO FINANCIAL INC 4.01,8.01,9.01 10/13/06 ALEXANDRIA REAL ESTATE EQUITIES INC MD 9.01 07/28/06 AMEND ALTEON INC /DE DE 3.01,9.01 10/09/06 Alternative Loan Trust 2006-32CB DE 8.01,9.01 09/28/06 Alternative Loan Trust 2006-33CB DE 8.01,9.01 09/29/06 Alternative Loan Trust 2006-34 DE 8.01,9.01 09/28/06 Alternative Loan Trust 2006-J6 DE 8.01,9.01 09/29/06 AMEREN CORP MO 1.01,5.02 10/13/06 AMERICAN CRYSTAL SUGAR CO /MN/ MN 7.01 10/12/06 AMERIVEST PROPERTIES INC MD 1.01,2.01,9.01 10/11/06 AMES NATIONAL CORP IA 2.02,9.01 10/13/06 AMETEK INC/ DE 8.01 10/12/06 APOLLO RESOURCES INTERNATIONAL INC UT 5.02 10/09/06 ARBINET THEXCHANGE INC DE 1.01,5.02,9.01 09/25/06 ASIAN FINANCIAL INC WY 1.01,2.01,3.02,5.01, 10/06/06 5.02,5.03,7.01,9.01 ASPEN INSURANCE HOLDINGS LTD D0 1.01,2.03,9.01 10/11/06 AVENUE GROUP INC DE 1.01,1.02,8.01,9.01 09/21/06 Averion International Corp. 9.01 07/31/06 AMEND AVID TECHNOLOGY INC DE 1.01,8.01,9.01 10/13/06 BACK YARD BURGERS INC DE 1.01,1.02 10/09/06 BAIRNCO CORP /DE/ DE 1.01,2.01,8.01,9.01 10/13/06 Banc of America Funding 2006-5 Trust DE 8.01,9.01 09/28/06 Banc of America Funding 2006-6 Trust DE 8.01,9.01 09/28/06 BANK OF THE OZARKS INC AR 2.02,7.01,9.01 10/12/06 Bear Stearns ALT-A Trust 2006-2, Mort DE 8.01,9.01 03/01/06 Bear Stearns Commercial Mortgage Secu DE 8.01,9.01 09/27/06 Bear Stearns Commercial Mortgage Secu DE 8.01,9.01 09/27/06 AMEND Bear Stearns Commercial Mortgage Secu DE 8.01 09/27/06 AMEND Bear Stearns Commercial Mortgage Secu DE 8.01,9.01 09/27/06 AMEND BECKMAN COULTER INC DE 1.01,5.02,9.01 10/09/06 BERMAN CENTER, INC. DE 1.01,8.01,9.01 10/06/06 BIOPHAN TECHNOLOGIES INC NV 1.01,7.01,9.01 10/11/06 BIOVERIS CORP DE 1.01 10/13/06 BNC Mortgage Loan Trust 2006-1 DE 8.01,9.01 09/29/06 BOVIE MEDICAL CORP DE 8.01 10/11/06 BREEZE-EASTERN CORP DE 8.01,9.01 10/12/06 CALIFORNIA WATER SERVICE GROUP DE 7.01,9.01 10/12/06 CANARGO ENERGY CORP DE 3.02,9.01 10/13/06 CAPITAL GROWTH SYSTEMS INC /FL/ FL 1.01,9.01 10/06/06 CARREKER CORP DE 1.01 10/11/06 Carrington Mortgage Loan Trust, Serie DE 8.01,9.01 10/13/06 CARSUNLIMITED COM INC NV 9.01 08/09/06 AMEND CCF HOLDING CO GA 2.02,9.01 10/12/06 CELADON GROUP INC DE 7.01,9.01 10/10/06 CHL Mortgage Pass-Through trust 2006- DE 8.01,9.01 09/28/06 CIMAREX ENERGY CO DE 8.01 09/20/06 Citigroup Mortgage Loan Trust 2006-NC 2.01,9.01 09/06/06 CLAREMONT TECHNOLOGIES CORP NV 1.01,3.02,9.01 10/12/06 CLUBCORP INC DE 1.01,5.01,8.01,9.01 10/09/06 CODORUS VALLEY BANCORP INC PA 5.02 07/26/06 AMEND COHERENT INC DE 8.01 10/11/06 COMPOSITE TECHNOLOGY CORP NV 1.01,9.01 10/06/06 COMPUWARE CORP MI 2.02,9.01 10/12/06 CONOCOPHILLIPS DE 8.01,9.01 10/10/06 CONTANGO OIL & GAS CO DE 8.01,9.01 10/12/06 Cornerstone Core Properties REIT, Inc MD 1.01,9.01 10/11/06 COST PLUS INC/CA/ CA 5.02 10/10/06 CRAWFORD & CO GA 5.02,9.01 10/06/06 CREDIT & ASSET REP VEHICLE CORP ALLST DE 8.01,9.01 10/01/06 Credit Suisse Commercial Mortgage Tru DE 8.01,9.01 09/28/06 CRIMSON EXPLORATION INC. TX 8.01,9.01 10/11/06 CRITICAL THERAPEUTICS INC DE 5.02,8.01 10/07/06 CRSI Group, Inc. FL 5.02 10/09/06 CRYOLIFE INC FL 2.02,9.01 10/12/06 CSFB Mortgage-Backed Pass-Through Cer DE 8.01,9.01 05/25/04 AMEND CSFB Mortgage-Backed Pass-Through Cer DE 8.01,9.01 06/25/04 AMEND CSFB Mortgage-Backed Pass-Through Cer DE 8.01,9.01 07/26/04 AMEND CSFB Mortgage-Backed Pass-Through Cer DE 8.01,9.01 08/25/04 AMEND CSFB Mortgage-Backed Pass-Through Cer DE 8.01,9.01 09/27/04 AMEND CSFB Mortgage-Backed Pass-Through Cer DE 8.01,9.01 10/25/04 AMEND CSFB Mortgage-Backed Pass-Through Cer DE 8.01,9.01 11/26/04 AMEND CSFB Mortgage-Backed Pass-Through Cer DE 8.01,9.01 12/27/04 AMEND CWHEQ Home Equity Loan Trust, Series 8.01,9.01 09/28/06 CWHEQ Home Equity Loan Trust, Series 8.01,9.01 09/28/06 CWHEQ Home Equity Loan Trust, Series 8.01,9.01 09/29/06 CWHEQ Revolving Home Equity Loan Trus 8.01,9.01 09/29/06 CYPRESS SEMICONDUCTOR CORP /DE/ DE 8.01,9.01 10/12/06 CYTOGEN CORP DE 1.01,9.01 10/11/06 CYTYC CORP DE 1.01,2.03,9.01 10/06/06 DCP Midstream Partners, LP DE 1.01,7.01,9.01 10/09/06 DCT Industrial Trust Inc. MD 1.01,1.02,5.02,5.03,9.01 10/06/06 DELPHI CORP DE 8.01 10/11/06 DELTA FINANCIAL CORP DE 1.01,9.01 10/13/06 DELTA WOODSIDE INDUSTRIES INC /SC/ SC 1.01,1.03,2.04,2.05,8.01 10/12/06 Deutsche Alt-A Securities Mortgage Lo 8.01,9.01 10/13/06 Deutsche Alt-B Securities Mortgage Lo 8.01,9.01 10/13/06 Deutsche Alt-B Securities Mortgage Lo 8.01,9.01 10/13/06 Dhanoa Minerals Ltd. NV 3.02,5.02,7.01,8.01,9.01 10/10/06 Diamond Foods Inc DE 8.01,9.01 10/13/06 DIAMONDCLUSTER INTERNATIONAL INC DE 1.01,9.01 10/01/06 DIRECTVIEW INC NV 1.01,2.01,3.02,5.01,5.02,9.01 10/09/06 DIVERSIFAX INC DE 3.02 07/20/06 AMEND DOW CHEMICAL CO /DE/ DE 5.02 10/12/06 EMAGIN CORP DE 3.01,9.01 10/09/06 Emrise CORP DE 1.01,2.03,9.01 10/09/06 ENCORE MEDICAL CORP DE 8.01,9.01 10/13/06 ENCORE MEDICAL CORP DE 7.01 10/10/06 ENERGY PARTNERS LTD DE 1.02,2.06,9.01 10/11/06 EnerJex Resources, Inc. NV 1.01,9.01 09/26/06 ENHERENT CORP DE 1.01,5.02 10/06/06 ENTRADE INC PA 1.01,2.03,3.02,5.02,9.01 10/06/06 ENZO BIOCHEM INC NY 8.01,9.01 10/13/06 ENZO BIOCHEM INC NY 8.01,9.01 10/13/06 EPICEPT CORP 8.01,9.01 10/09/06 ETHANEX ENERGY, INC. NV 5.02,9.01 10/12/06 Ethanol Grain Processors, LLC TN 1.01 10/09/06 Exobox Technologies Corp. NV 8.01 10/11/06 AMEND EZCORP INC DE 2.02,9.01 10/12/06 FIRST FINANCIAL HOLDINGS INC /DE/ DE 7.01,9.01 10/13/06 FIRST NATIONAL BANCSHARES INC /SC/ SC 2.02,9.01 10/11/06 First Source Data, Inc. NV 1.01,1.02 10/03/06 FIVE STAR QUALITY CARE INC 8.01,9.01 10/12/06 FMS FINANCIAL CORP NJ 1.01,9.01 10/12/06 FPL GROUP INC FL 8.01 10/13/06 GENERAL ELECTRIC CO NY 2.02,7.01 10/13/06 GeoEye, Inc. DE 1.01,5.02,9.01 10/10/06 GeoMet, Inc. DE 7.01,9.01 10/11/06 GOODYEAR TIRE & RUBBER CO /OH/ OH 2.03 10/13/06 Granite Falls Energy, LLC MN 1.01,5.02 10/09/06 Gray Peaks, Inc. DE 8.01,9.01 10/09/06 GreenPoint Mortgage Funding Trust 200 DE 8.01,9.01 09/29/06 GROUP 1 AUTOMOTIVE INC DE 7.01,9.01 10/12/06 GRYPHON GOLD CORP NV 5.02 10/10/06 GS Energy CORP 1.01,2.01,9.01 10/09/06 GS-FFMLT 2006-FF13 DE 8.01,9.01 09/28/06 GSAA Home Equity Trust 2006-15 DE 8.01,9.01 09/28/06 GSAA Home Equity Trust 2006-16 DE 8.01,9.01 09/28/06 GUARANTY FEDERAL BANCSHARES INC DE 2.02,8.01,9.01 09/30/06 GYMBOREE CORP DE 1.01 10/09/06 H&E Equipment Services, Inc. DE 7.01,9.01 10/13/06 Halo Technology Holdings, Inc. NV 1.01,2.03,3.02,9.01 10/12/06 HARTFORD LIFE INSURANCE CO CT 9.01 10/13/06 HEALTH CARE REIT INC /DE/ DE 1.01,9.01 10/12/06 HERLEY INDUSTRIES INC /NEW DE 1.01,1.02,9.01 10/12/06 HIGHBURY FINANCIAL INC DE 7.01,9.01 10/13/06 HIGHBURY FINANCIAL INC DE 4.02 10/13/06 HIGHBURY FINANCIAL INC DE 8.01,9.01 10/13/06 HIGHBURY FINANCIAL INC DE 8.01,9.01 10/13/06 Home Loan Trust 2006-HI4 DE 8.01,9.01 10/11/06 HOOPER HOLMES INC NY 1.01,1.02,2.03,9.01 10/10/06 HUMAN BIOSYSTEMS INC CA 2.01,2.03,3.02,5.02,9.01 10/13/06 HUNT J B TRANSPORT SERVICES INC AR 2.02,9.01 10/13/06 IA GLOBAL INC DE 1.01,9.01 10/11/06 IBSG INTERNATIONAL INC FL 4.02 08/23/06 AMEND IDEAL ACCENTS INC 7.01,8.01,9.01 10/06/06 IMAGE ENTERTAINMENT INC DE 1.01 10/10/06 IMPAC SECURED ASSETS CORP., MORTGAGE CA 2.01,8.01,9.01 09/29/06 Indigo-Energy, Inc. NV 5.02,9.01 10/09/06 IndyMac Home Equity Mortgage Loan Ass 8.01,9.01 09/29/06 IndyMac INDX Mortgage Loan Trust 2006 8.01,9.01 09/28/06 IndyMac INDX Mortgage Loan Trust 2006 8.01,9.01 09/28/06 INFOSONICS CORP 1.01,2.03,7.01,9.01 10/12/06 INGERSOLL RAND CO LTD 8.01,9.01 10/06/06 Innovive Pharmaceuticals, Inc. DE 8.01,9.01 10/13/06 INPHONIC INC 5.02,9.01 10/09/06 INSIGHT COMMUNICATIONS CO INC DE 1.01,1.02,2.03,2.04,9.01 10/06/06 INSIGHT MIDWEST LP DE 1.01,1.02,2.03,2.04,9.01 10/06/06 INTEGRITY MUTUAL FUNDS INC ND 1.01,2.03,3.02,9.01 10/13/06 INTERGRAPH CORP DE 8.01,9.01 10/13/06 INTERNAP NETWORK SERVICES CORP DE 8.01,9.01 10/12/06 INTERNATIONAL ABSORBENTS INC A1 2.03,7.01,8.01 10/10/06 INTERNATIONAL RECTIFIER CORP /DE/ DE 1.01,5.02,9.01 10/09/06 iPCS, INC DE 8.01 10/13/06 Israel Technology Acquisition Corp. DE 9.01 02/28/06 AMEND ITRONICS INC TX 2.02,9.01 10/10/06 IXIA CA 2.02,9.01 10/12/06 J P MORGAN ACCEPTANCE CORP I DE 8.01,9.01 10/13/06 J.P. Morgan Chase Commercial Mortgage 8.01,9.01 09/28/06 J.P. Morgan Mortgage Trust 2006-A6 DE 8.01,9.01 10/13/06 JACKSON HEWITT TAX SERVICE INC DE 8.01,9.01 10/13/06 JACKSONVILLE BANCORP INC IL 2.02,9.01 10/12/06 JAVELIN PHARMACEUTICALS, INC DE 4.01,9.01 10/06/06 JOHNSON CONTROLS INC WI 2.02,9.01 10/09/06 KANSAS CITY SOUTHERN DE 8.01,9.01 10/10/06 Keewatin Windpower Corp. NV 5.01 10/10/06 KENSEY NASH CORP DE 1.01,9.01 10/05/06 KING PHARMACEUTICALS INC TN 2.04 10/06/06 KLONDIKE STAR MINERAL CORP DE 5.02 12/02/05 KNOVA SOFTWARE, INC. DE 4.01 10/10/06 KOHLS CORPORATION WI 1.01,1.02,2.03 10/12/06 KULICKE & SOFFA INDUSTRIES INC PA 1.01,9.01 10/03/06 LEHMAN ABS CORP MOTOROLA DEBENTURE BA DE 8.01,9.01 10/01/06 Lehman Mortgage Trust 2006-6 DE 8.01,9.01 09/29/06 Lehman XS Trust Series 2006-16N DE 8.01,9.01 09/29/06 LENNOX INTERNATIONAL INC DE 8.01,9.01 10/12/06 LEXINGTON CORPORATE PROPERTIES TRUST MD 1.01,9.01 10/12/06 Luminent Mortgage Trust 2006-6 DE 8.01,9.01 09/28/06 MAJESCO ENTERTAINMENT CO DE 5.02 10/09/06 MAVERICK TUBE CORP DE 5.02 10/05/06 MAYS J W INC NY 2.02 10/11/06 ME PORTFOLIO MANAGEMENT LTD 8.01,9.01 10/11/06 MEDCO HEALTH SOLUTIONS INC DE 5.02 10/09/06 MEDICAL SOLUTIONS MANAGEMENT INC. NV 4.02 10/06/06 MERCER INTERNATIONAL INC. WA 1.01,5.02,9.01 10/13/06 Merrill Lynch Mortgage Investors Trus DE 8.01,9.01 09/28/06 MIDCAROLINA FINANCIAL CORP NC 8.01,9.01 10/13/06 Morgan Stanley ABS Capital I Inc. Tru DE 8.01,9.01 09/27/06 MORGAN STANLEY DIVERSIFIED FUTURES FU DE 1.01,9.01 10/09/06 MORGAN STANLEY DIVERSIFIED FUTURES FU DE 9.01 10/09/06 Morgans Hotel Group Co. DE 1.01,1.02,2.03,9.01 10/06/06 MoSys, Inc. CA 1.01,9.01 10/06/06 NATCO GROUP INC DE 1.01,5.02,7.01,9.01 10/09/06 NATIONAL BANKSHARES INC VA 2.02 09/30/06 NATIONAL COLLEGIATE FUNDING LLC 1.01,9.01 09/28/06 NATURE VISION, INC. MN 1.01,9.01 10/09/06 Newkirk Realty Trust, Inc. MD 1.01,9.01 10/13/06 NEWPARK RESOURCES INC DE 5.02,9.01 10/09/06 NEXIA HOLDINGS INC NV 7.01,9.01 10/06/06 NEXIA HOLDINGS INC NV 8.01,9.01 10/12/06 NORTH AMERICAN TECHNOLOGIES GROUP INC 1.01,3.02,9.01 10/06/06 NORTHEAST UTILITIES MA 5.02,9.01 10/10/06 NORTHEAST UTILITIES MA 8.01 10/04/06 NORTHWEST PIPELINE CORP DE 7.01,9.01 10/10/06 NTN BUZZTIME INC DE 5.02 10/12/06 NYMEX HOLDINGS INC DE 8.01,9.01 10/13/06 OFFICE DEPOT INC DE 7.01,8.01 10/12/06 OIL DRI CORPORATION OF AMERICA DE 1.01,8.01,9.01 10/09/06 OLD POINT FINANCIAL CORP VA 2.02,9.01 10/13/06 OSI SYSTEMS INC CA 2.02,7.01,9.01 10/12/06 OSI SYSTEMS INC CA 8.01,9.01 10/13/06 AMEND OVERLAND STORAGE INC CA 7.01,9.01 10/12/06 OwnIt Mortgage Loan Trust Series 2006 DE 8.01,9.01 09/28/06 PAINCARE HOLDINGS INC CT 1.01,9.01 10/13/06 PAREXEL INTERNATIONAL CORP MA 1.01,9.01 10/12/06 PEABODY ENERGY CORP DE 1.01,9.01 10/12/06 PEDIATRIX MEDICAL GROUP INC FL 1.01,9.01 10/13/06 PEOPLES SIDNEY FINANCIAL CORP DE 2.02,8.01,9.01 10/13/06 PHHMC Series 2006-3 Trust DE 9.01 09/28/06 PHILLIPS VAN HEUSEN CORP /DE/ DE 1.01 10/11/06 AMEND PINNACLE AIRLINES CORP DE 8.01,9.01 10/10/06 PORTEC RAIL PRODUCTS INC WV 1.01,9.01 10/10/06 PREMIER COMMUNITY BANKSHARES INC VA 2.02,9.01 10/13/06 PRESSTEK INC /DE/ DE 8.01,9.01 10/13/06 PRG SCHULTZ INTERNATIONAL INC GA 3.02 10/10/06 PUREDEPTH, INC. CO 8.01,9.01 10/13/06 RALI Series 2006-QA8 Trust DE 8.01,9.01 10/13/06 RALI Series 2006-QA8 Trust DE 8.01,9.01 10/13/06 RALI Series 2006-QO7 Trust DE 8.01,9.01 10/13/06 RALI Series 2006-QS12 Trust DE 8.01,9.01 10/13/06 RALI Series 2006-QS13 Trust DE 8.01,9.01 09/01/06 RAMBUS INC DE 5.02,8.01,9.01 10/11/06 RASC Series 2006-EMX8 Trust DE 8.01,9.01 10/13/06 RAYTHEON CO/ DE 5.03,9.01 10/11/06 REGIONS FINANCIAL CORP DE 2.02,7.01,9.01 10/13/06 REGIS CORP MN 2.02,9.01 10/11/06 REMINGTON ARMS CO INC/ DE 1.01 10/09/06 REMY INTERNATIONAL, INC. DE 1.01,8.01,9.01 10/13/06 Renaissance Home Equity Loan Trust 20 2.01,9.01 08/09/06 REPUBLIC BANCORP INC MI 5.04,8.01,9.01 10/13/06 Revelstoke Industries, Inc. NV 8.01 10/13/06 RFMSI Series 2006-S8 Trust DE 8.01,9.01 10/13/06 RFMSI Series 2006-S9 Trust DE 8.01,9.01 10/13/06 RICHARDSON ELECTRONICS LTD/DE DE 7.01 10/10/06 RICHARDSON ELECTRONICS LTD/DE DE 2.02 10/11/06 ROWE COMPANIES NV 1.01,2.01,9.01 10/06/06 RR Donnelley & Sons Co DE 1.01,5.02 10/09/06 Rudy 45 5.01,5.02,8.01,9.01 09/30/06 SAFENET INC DE 2.02,7.01 10/10/06 SAIC, Inc. DE 8.01,9.01 10/12/06 SANMINA-SCI CORP DE 8.01,9.01 10/13/06 SASCO 2006-WF3 DE 8.01,9.01 09/29/06 SCIENCE APPLICATIONS INTERNATIONAL CO DE 8.01,9.01 10/12/06 SECURED INVESTMENT RESOURCES FUND LP KS 2.01 10/02/06 Securitized Asset Backed Receivables 8.01,9.01 09/28/06 SEMTECH CORP DE 1.01,5.02,9.01 10/09/06 SENOMYX INC DE 1.01 10/11/06 SENOMYX INC DE 1.01,9.01 10/10/06 SENSIENT TECHNOLOGIES CORP WI 2.02,9.01 10/13/06 Shire plc 8.01,9.01 10/12/06 SHUFFLE MASTER INC MN 7.01 10/11/06 Siam Imports, Inc. NV 5.02 10/09/06 SIRVA INC DE 4.01,9.01 10/11/06 SITEL CORP MN 8.01,9.01 10/13/06 SKYSTAR BIO-PHARMACEUTICAL CO NV 5.02,9.01 10/06/06 Smart-tek Solutions Inc NV 8.01,9.01 10/13/06 Smart-tek Solutions Inc NV 8.01,9.01 09/29/06 SONO TEK CORP NY 7.01,9.01 08/12/06 SOUTHERN NATURAL GAS CO DE 1.01,9.01 10/06/06 SOVEREIGN BANCORP INC PA 1.01,1.02,5.02,8.01,9.01 10/10/06 Specialty Underwriting & Residential DE 8.01,9.01 09/26/06 AMEND SPORT HALEY INC CO 2.02,9.01 10/12/06 Sports Source Inc 1.01,2.01,3.02,5.01, 10/13/06 5.02,5.06,9.01 ST MARY LAND & EXPLORATION CO DE 2.02,9.01 10/12/06 STANDARD PARKING CORP DE 8.01,9.01 10/12/06 StatSure Diagnostic Systems, Inc. DE 4.02,9.01 10/13/06 STOCKERYALE INC MA 5.02,9.01 10/06/06 STONE ENERGY CORP DE 1.02,8.01,9.01 10/11/06 Structured Adjustable Rate Mortgage L DE 8.01,9.01 09/29/06 Structured Asset Mortgage Investments DE 6.04 10/11/06 STRUCTURED PROD CORP TIERS CORP BND-B DE 8.01,9.01 10/01/06 STRUCTURED PRODUCTS CORP CASTSM STEP DE 8.01,9.01 10/01/06 STRUCTURED PRODUCTS CORP CORTS TRUST DE 8.01 10/04/06 STRUCTURED PRODUCTS CORP TIERS R INFL DE 8.01,9.01 10/01/06 SUBJEX CORP MN 8.01 10/11/06 SUN HYDRAULICS CORP FL 5.02 10/10/06 SUN RIVER ENERGY, INC CO 1.01,9.01 10/12/06 SUPERVALU INC DE 1.01,9.01 10/12/06 SURETY CAPITAL CORP /DE/ DE 1.01 10/11/06 SWS GROUP INC DE 8.01 10/13/06 TELECOMMUNICATION SYSTEMS INC /FA/ 2.02,2.06,9.01 10/13/06 THERAGENICS CORP DE 9.01 08/02/06 AMEND TIME WARNER INC DE 2.01,9.01 07/31/06 AMEND TITAN INTERNATIONAL INC IL 9.01 07/31/06 AMEND TODD SHIPYARDS CORP WA 8.01 10/13/06 TOTAL LUXURY GROUP INC IN 9.01 10/12/06 TOWER FINANCIAL CORP IN 2.02,9.01 10/13/06 TRANS ENERGY INC NV 3.02 10/09/06 TRANSCAT INC OH 2.02,9.01 10/10/06 TRANSCONTINENTAL GAS PIPE LINE CORP DE 7.01,9.01 10/10/06 TRIMERIS INC DE 8.01,9.01 10/11/06 TRINITY INDUSTRIES INC DE 8.01 10/12/06 TRIPOS INC UT 1.01,5.02,8.01,9.01 10/12/06 Triton Distribution Systems, Inc. CO 4.01 10/10/06 Tube Media Corp. CO 5.02 10/06/06 AMEND UNITY WIRELESS CORP DE 2.01,9.01 09/19/06 USA TECHNOLOGIES INC PA 2.02,9.01 06/30/06 VioQuest Pharmaceuticals, Inc. DE 5.02 10/12/06 Washington Mutual Mortgage Pass-Throu DE 9.01 09/28/06 Washington Mutual Mortgage Pass-Throu DE 9.01 09/28/06 Wells Fargo Mortgage Backed Securitie DE 8.01,9.01 09/29/06 Wells Fargo Mortgage Backed Securitie DE 8.01,9.01 09/28/06 Wells Fargo Mortgage Backed Securitie DE 8.01,9.01 09/28/06 Wells Fargo Mortgage Backed Securitie DE 8.01,9.01 09/28/06 Wells Fargo Mortgage Backed Securitie DE 8.01,9.01 09/28/06 Wells Fargo Mortgage Backed Securitie DE 8.01,9.01 09/28/06 WINDROSE MEDICAL PROPERTIES TRUST MD 1.01,9.01 10/12/06 XCORPOREAL, INC. NV 1.01,3.03,5.02,5.03 10/13/06