SEC NEWS DIGEST Issue 2006-212 November 2, 2006 ENFORCEMENT PROCEEDINGS IN THE MATTER OF SALVATORE FAVATA On November 1, 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 Salvatore Favata (aka Sam Favata). The Order finds that on Oct. 19, 2006, a final judgment was entered by consent against Favata, permanently enjoining him from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, Sections 10(b) and 15(a) of the Securities and Exchange Act of 1934 and Rule 10b-5 thereunder, in the civil action entitled SEC v. Salvatore Favata, Civil Action Number SACV06-943 JVS (ANx) in the U.S. District Court for the Central District of California. The Commission's complaint alleged that, in connection with the sale of "private money investment notes," Favata falsely told investors that their money would be used to fund high interest rate residential mortgage loans, that they would receive annual interest payments between 30-60 percent of their original investment, and that the loans underlying the notes would be secured by real property. In reality, Favata used investor funds to pay returns to existing investors in a Ponzi-scheme fashion, to pay operating expenses of NCM's more conventional mortgage brokerage business and to pay Favata's gambling debts which amounted to more than $10 million. The complaint also alleged that Favata sold unregistered securities and acted as an unregistered broker-dealer. Based on the above, the Order bars Salvatore Favata from association with any broker or dealer. Salvatore Favata consented to the issuance of the Order without admitting or denying any of the findings in the Order, except with respect to the final judgment entered in the civil action. The Commission acknowledges the assistance and cooperation of the U.S. Attorney's Office for the Central District of California, the Federal Bureau of Investigation and the Office of the United States Trustee for the Central District of California in this matter. (Rel. 34-54683; File No. 3-12469) COMMISSION REVOKES REGISTRATIONS OF SECURITIES OF PRETORY USA, INC. FOR FAILURE TO MAKE REQUIRED PERIODIC FILINGS On November 2, the Commission revoked the registration of each class of registered securities of Pretory USA, Inc. (n/k/a Sunrise Petroleum Resources, Inc.) (SRSP) 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, SRSP 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 Pretory USA, Inc. 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 SRSP's securities pursuant to Section 12(j) of the Exchange Act. This order settled the charges brought against it in In the Matter of New Yorker Marketing Corp., et al., Administrative Proceeding File No. 3- 12451. 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 Rel. 34-54574 (Oct. 5, 2006). (Rel. 34- 54687; File No. 3-12451) IN THE MATTER OF HORST HANSEN November 2, the Commission issued an Order Instituting Cease-and- Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order Pursuant to Section 21C of the Securities Exchange Act of 1934 (Order) against Horst Hansen. The Order finds that Hansen was a Director of Spiegel, Inc. and the Chair of Spiegel's Audit Committee. As a publicly-held company, Spiegel, whose securities traded on NASDAQ, was required to file annual and quarterly reports with the Commission and its 2001 Form 10- K annual report was due on March 31, 2002. In February 2002, Spiegel's independent auditor advised that it would have to consider including a going concern opinion on its audit report of Spiegel's 2001 financial statements unless Spiegel's lending banks waived breaches of loan covenants through 2002 or Spiegel obtained new credit. Spiegel could not meet these conditions and its executive management did not want the going concern opinion to become definite. Spiegel's management accordingly did not file the 2001 Form 10-K or the first quarter 2002 Form 10-Q. On May 31, 2002, two months past the original date the 2001 Form 10-K was due, Hansen recommended that Spiegel's Executive Committee withhold filing until the auditor provided an unqualified opinion. The Executive Committee adopted the recommendation and withheld the Forms. Based on the above, Hansen is ordered to cease and desist from causing any violations and any future violations of Section 13(a) of the Securities Exchange Act of 1934 and Rules 13a-1 and 13a-13 thereunder. Hansen consented to the issuance of the Order without admitting or denying any of the findings. (Rel. 34-54689; AAE Rel. 2507; File No. 3-12470) NOTICE OF VOLUNTARY DISMISSAL FILED AS TO RELIEF DEFENDANT CHRISTINE GRATZ The Commission announced that on May 28, 2004, it filed a Notice of Voluntary Dismissal as to its remaining claims against Relief Defendant Christine Gratz. The notice of dismissal lifts the asset freeze and dismisses the Commission's claims for disgorgement against her. On March 20, 2003, the Commission filed an Emergency Application for an Order to Show Cause Why Defendant Philip R. Gratz d/b/a Phoenix World Wide Enterprises, Inc. Should not be Held in Civil Contempt for disobeying a prior final judgment of permanent injunction entered against him on April 30, 1992. On its Emergency Application the Commission requested that the Court freeze Christine Gratz's assets and order her to disgorge all profits she received from the offer and sale of Philip Gratz's securities. [SEC v. Philip R. Gratz, Case No. 91-2136-CIV-MARRA] (LR-19896) SEC CHARGES DELPHI CORPORATION AND NINE INDIVIDUALS, INCLUDING FORMER CEO, CFO, TREASURER AND CONTROLLER, IN WIDE-RANGING FINANCIAL FRAUD; FOUR OTHERS CHARGED WITH AIDING AND ABETTING RELATED VIOLATIONS Delphi and Six Individuals Settle On November 2, the Commission filed settled enforcement actions against former officers and directors of Spiegel, Inc., an Illinois- based public company. During the relevant period, Spiegel owned and operated catalogue retailers Spiegel, Eddie Bauer and Newport News. The Commission filed settled charges against the former Co-Presidents of Spiegel, Michael Moran and James Sievers, former CEO Martin Zaepfel, former CFO James Cannataro, and former Treasurer John Steele, in connection with the overstatement of the performance of Spiegel's credit card receivables portfolio. In addition, the Commission settled with the former Chairman of Spiegel's Board of Directors, Michael Otto, and a former director, Michael Crusemann, and former CEO Martin Zaepfel in connection with the decision to withhold Spiegel's required financial reports to avoid issuance by its outside auditor of a "going concern" opinion. The Commission alleges in its complaints that Moran, Sievers, Zaepfel, Cannataro and Steele improperly increased inter-company fees between Spiegel's retail subsidiaries and Spiegel's bank subsidiary, which had the effect of hiding the deteriorating performance of the company's credit card receivables portfolio. Spiegel was thus able to benefit improperly from the securitization of that portfolio. The Commission also alleged that former Directors Otto and Crusemann and former CEO Zaepfel all participated in the decision to not file Spiegel's 2001 Form 10-K and first quarter 2002 Form 10-Q on a timely basis. Prior to the deadline for the filing of the Form 10-K, Spiegel's outside auditor informed the company that a "going concern" opinion would accompany the filing unless Spiegel was able to resolve its underlying financial problems. When it failed to resolve those problems by the April 15, 2002, deadline, the company improperly elected to withhold its filing rather than make the required disclosures to the investing public. In light of the above, the Commission alleged that Moran, Sievers, Zaepfel, Cannataro and Steele violated Sections 17(a)(2) and 17(a)(3) of the Securities Act of 1933 and violated and aided and abetted violations of various books and records and financial reporting provisions of the Securities Exchange Act of 1934. The Commission also alleged that Otto, Crusemann and Zaepfel aided and abetted Spiegel's violations of the financial reporting provisions of the Exchange Act. Without admitting or denying the Commission's allegations, Moran, Sievers, Cannataro, Steele, Otto, Crusemann and Zaepfel have consented to the Court's issuance of an order of permanent injunction enjoining them from future violations of the federal securities laws. In addition, Moran, Sievers, Cannataro and Steele have consented to each pay a civil penalty of $120,000. Otto and Crusemann have consented to each pay a civil penalty of $100,000. Zaepfel has consented to pay a civil penalty of $170,000. [SEC v. Michael Moran and James Sievers, No. 06-CV-5968, N.D. Ill.; SEC v. Martin Zaepfel, No. 06-CV-5967, N.D. Ill.; SEC v. James Cannataro, No. 06-CV-5961, N.D. Ill.; SEC v. John Steele, No. 06-CV-5965, N.D. Ill.; SEC v. Michael Crusemann and Michael Otto, No. 06-CV-5969, N.D. Ill.] (LR-19897; AAE Rel. 2508; Press Rel. 2006-184) 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-3ASR Copano Energy, L.L.C., 2727 ALLEN PARKWAY, SUITE 1200, HOUSTON, TX, 77019, 713-621-9547 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-138341 - Nov. 1) (BR. 02C) S-4 RAFAELLA APPAREL GROUP,INC., P.O.BOX 856, NEW YORK, NY, 10018, 212-403-0300 - 0 ($172,000,000.00) Debt, (File 333-138342 - Nov. 1) (BR. 02) S-4 WOLVERINE TUBE INC, 200 CLINTON AVENUE WEST, SUITE 1000, HUNTSVILLE, AL, 35801, 2568900460 - 0 ($235,618,572.00) Other, (File 333-138343 - Nov. 1) (BR. 06C) S-3 EAGLE BROADBAND INC, 101 COURAGEOUS DRIVE, LEAGUE CITY, TX, 77573, 2815386000 - 750,000 ($543,750.00) Equity, (File 333-138344 - Nov. 1) (BR. 11C) S-8 ACTIVECORE TECHNOLOGIES INC, 156 FRONT STREET WEST, SUITE 210, TORONTO, A6, M5J 2L6, 9053069343 - 63,368,212 ($1,710,941.72) Equity, (File 333-138346 - Nov. 1) (BR. 03C) F-6 KOOKMIN BANK, 9-1 2-GA NAMDAEMUM-RO, JUNG-GU, SEOUL, M5, 100 703, 82 2 317 2114 - 200,000,000 ($10,000,000.00) ADRs/ADSs, (File 333-138347 - Nov. 1) (BR. 07C) SB-2 BIG CAT ENERGY CORP, 201 WEST LAKEWAY, SUITE 1100, GILETTE, WY, 82718, (307) 685-3122 - 8,900,000 ($15,575,000.00) Equity, (File 333-138348 - Nov. 1) (BR. 04A) S-8 INNOCOM TECHNOLOGY HOLDINGS, INC., UNIT 3, 25/F, GLOBAL GATEWAY, 98 WANG LUNG ST, TSUEN WAN, K3, 00000, 011-8552-827-6288 - 3,000,000 ($6,150,000.00) Equity, (File 333-138349 - Nov. 1) (BR. 11B) S-8 MELLON FINANCIAL CORP, ONE MELLON BANK CTR, 500 GRANT ST, PITTSBURGH, PA, 15258-0001, 4122345000 - 0 ($19,450,000.00) Equity, (File 333-138350 - Nov. 1) (BR. 07A) SB-2 RADIAL ENERGY, INC., 1313 EAST MAPLE STREET, BELLINGHAM, WA, 98225, 360-685-4200 - 13,333,333 ($12,533,333.00) Other, (File 333-138351 - Nov. 1) (BR. 01A) S-4 LOCKHEED MARTIN CORP, 6801 ROCKLEDGE DR, BETHESDA, MD, 20817, 3018976000 - 0 ($1,079,230,000.00) Non-Convertible Debt, (File 333-138352 - Nov. 1) (BR. 05C) S-3ASR BEAR STEARNS COMPANIES INC, ONE METROTECH NORTH, 9TH FL, BROOKLYN, NY, 11201, 3476439862 - 0 ($0.00) Debt, (File 333-138353 - Nov. 1) (BR. 06B) S-8 Innovive Pharmaceuticals, Inc., 555 MADISON AVENUE, 25TH FLOOR, NEW YORK, NY, 10022, 212-716-1810 - 925,000 ($3,468,750.00) Equity, (File 333-138356 - Nov. 1) (BR. 01C) S-4 NATIONAL MENTOR HOLDINGS, INC., 313 CONGRESS STREET, 5TH FLOOR, BOSTON, MA, 02210, 617-790-4800 - 0 ($180,000,000.00) Debt, (File 333-138362 - Nov. 1) (BR. 09B) S-8 QWEST COMMUNICATIONS INTERNATIONAL INC, 1801 CALIFORNIA ST, DENVER, CO, 80202, 3039921400 - 0 ($868,000,000.00) Equity, (File 333-138364 - Nov. 1) (BR. 11B) S-4 Ithaka Acquisition Corp, 100 SOUTH POINTE DRIVE, 23RD FLOOR, MIAMI, FL, 33139, 305-532-3800 - 14,000,000 ($18,913,457.94) Equity, (File 333-138365 - Nov. 1) (BR. 09) S-3 ACCENTIA BIOPHARMACEUTICALS INC, 324 SOUTH HYDE PARK AVE, SUITE 350, TAMPA, FL, 33606, 8138642562 - 14,626,754 ($49,730,963.60) Equity, (File 333-138366 - Nov. 1) (BR. 01B) S-3ASR VORNADO REALTY TRUST, 888 SEVENTH AVE, NEW YORK, NY, 10019, 212-894-7000 - 0 ($0.00) Other, (File 333-138367 - Nov. 1) (BR. 08C) 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 ------------------------------------------------------------------------------------------------------- 1 800 CONTACTS INC DE 5.02 10/26/06 21ST CENTURY HOLDING CO FL 2.02,9.01 11/01/06 ABIGAIL ADAMS NATIONAL BANCORP INC DE 2.02,9.01 10/26/06 Abington Community Bancorp, Inc. PA 2.02,9.01 10/31/06 ABRAXAS PETROLEUM CORP NV 7.01,9.01 11/01/06 ACCENTIA BIOPHARMACEUTICALS INC 1.01,5.02,8.01,9.01 10/27/06 ACTIVE POWER INC DE 5.02 11/01/06 ADEZA BIOMEDICAL CORP DE 2.02,8.01,9.01 11/01/06 ADMINISTAFF INC \DE\ DE 2.02,9.01 11/01/06 ADMIRALTY HOLDING CO CO 7.01 10/26/06 ADVANCIS PHARMACEUTICAL CORP 2.02,9.01 11/01/06 AEP INDUSTRIES INC DE 1.01,5.02,9.01 10/26/06 AEROCENTURY CORP DE 2.02 11/01/06 AETHER HOLDINGS INC DE 1.01,5.03,8.01,9.01 10/31/06 AFFILIATED COMPUTER SERVICES INC DE 2.02,9.01 11/01/06 AGCO CORP /DE DE 2.02,9.01 11/01/06 AGL RESOURCES INC GA 1.01,5.03,9.01 10/26/06 AGREE REALTY CORP DE 2.02,9.01 11/01/06 AKSYS LTD DE 3.01 10/30/06 ALBANY INTERNATIONAL CORP /DE/ DE 2.05 10/26/06 Aleris International, Inc. DE 7.01,9.01 11/01/06 ALEXION PHARMACEUTICALS INC DE 2.02,9.01 11/01/06 ALLERGAN INC DE 2.02,9.01 11/01/06 ALLIANCE BANKSHARES CORP 2.02,9.01 10/31/06 ALLIED WASTE INDUSTRIES INC DE 2.02,9.01 09/30/06 ALLTEL CORP DE 2.02,9.01 10/27/06 AMEND Alternative Loan Trust 2006-J7 DE 9.01 10/30/06 ALTEX INDUSTRIES INC DE 1.01 09/19/06 AMERICAN CAPITAL STRATEGIES LTD 2.02,9.01 10/31/06 AMERICAN DENTAL PARTNERS INC DE 1.01 10/27/06 AMERICAN MEDIA OPERATIONS INC DE 1.01,9.01 10/26/06 AMERICAN SAFETY INSURANCE HOLDINGS LT 2.02 09/30/06 AMERICREDIT CORP TX 1.01,9.01 11/01/06 AMERIGROUP CORP 8.01 11/01/06 AMERISAFE INC TX 2.02,7.01,9.01 10/31/06 AMERUS GROUP CO/IA IA 2.02,9.01 11/01/06 AMN HEALTHCARE SERVICES INC DE 2.02,9.01 11/01/06 AMSOUTH BANCORPORATION DE 8.01,9.01 11/01/06 ANDREW CORP DE 2.02,9.01 10/26/06 ANNALY CAPITAL MANAGEMENT INC MD 2.02,9.01 11/01/06 ANNAPOLIS BANCORP INC MD 2.02,9.01 11/01/06 ANSWERTHINK INC FL 2.02,9.01 11/01/06 APOLLO GOLD CORP 1.01,9.01 10/30/06 Apple REIT Seven, Inc. VA 1.01 10/30/06 AQUA AMERICA INC PA 2.02,9.01 11/01/06 ARBIOS SYSTEMS INC DE 1.01 10/29/06 ARCHER DANIELS MIDLAND CO DE 2.02,9.01 09/30/06 ARGONAUT GROUP INC DE 1.01 11/01/06 ARISTOTLE CORP DE 2.02,9.01 11/01/06 Arkanova Energy Corp NV 5.03,7.01,9.01 11/01/06 ARMSTRONG WORLD INDUSTRIES INC PA 2.02,9.01 10/30/06 ASHFORD HOSPITALITY TRUST INC MD 2.02,9.01 11/01/06 Aspreva Pharmaceuticals CORP A1 2.02,9.01 11/01/06 ASSURANT INC 2.02 11/01/06 ATLANTIC TELE NETWORK INC /DE DE 2.02,9.01 10/31/06 ATS MEDICAL INC MN 2.02,5.02,9.01 11/01/06 AUXILIUM PHARMACEUTICALS INC 7.01,9.01 11/01/06 AVANT IMMUNOTHERAPEUTICS INC DE 2.02,9.01 11/01/06 AVENTINE RENEWABLE ENERGY HOLDINGS IN 2.02,9.01 10/31/06 AVIS BUDGET GROUP, INC. DE 7.01,9.01 10/31/06 AVISTA CORP WA 2.02,9.01 11/01/06 AXCELIS TECHNOLOGIES INC DE 2.02,9.01 11/01/06 B&G Foods, Inc. DE 2.02,7.01,8.01 11/01/06 BANTA CORP WI 1.01,3.03,8.01,9.01 10/31/06 BARRIER THERAPEUTICS INC DE 2.02,9.01 10/31/06 BAS SECURITIZATION LLC DE 8.01,9.01 11/01/06 BCSB BANKCORP INC 5.02,9.01 10/30/06 BECKMAN COULTER INC DE 2.02,9.01 11/01/06 BEHRINGER HARVARD REIT I INC MD 2.01,2.03,9.01 10/26/06 BETTER BIODIESEL, INC 4.01,5.03,9.01 10/27/06 BH RE LLC NV 1.01,9.01 10/23/06 BIOANALYTICAL SYSTEMS INC IN 4.01,9.01 10/30/06 BIOMARIN PHARMACEUTICAL INC DE 2.02,9.01 11/01/06 BlueLinx Holdings Inc. DE 2.02,5.02,9.01 10/31/06 BNS HOLDING, INC. 1.01,2.03,8.01,9.01 10/30/06 BOISE CASCADE HOLDINGS, L.L.C. DE 2.02,9.01 11/01/06 BOSTON LIFE SCIENCES INC /DE DE 1.01,2.03,9.01 11/01/06 BPZ ENERGY INC CO 5.02,7.01,9.01 10/30/06 Brand Energy & Infrastructure Service DE 4.02,9.01 09/22/06 AMEND BRE PROPERTIES INC /MD/ MD 2.02,8.01,9.01 10/31/06 BRINKS CO VA 2.02,9.01 11/01/06 Bronco Drilling Company, Inc. DE 2.02,7.01,9.01 11/01/06 BRUSH ENGINEERED MATERIALS INC 2.02,9.01 10/26/06 AMEND BSQUARE CORP /WA WA 1.01,1.02 10/30/06 BUCKEYE TECHNOLOGIES INC DE 8.01,9.01 10/31/06 Burger King Holdings Inc DE 2.02,9.01 11/01/06 C&D TECHNOLOGIES INC DE 1.01,8.01,9.01 10/24/06 CALLAWAY GOLF CO /CA DE 2.02,9.01 11/01/06 CAMBREX CORP DE 1.01 10/26/06 CAMERON INTERNATIONAL CORP DE 2.02,9.01 11/01/06 CAPITAL TRUST INC MD 7.01,8.01,9.01 10/30/06 Cardiac Science CORP 2.02,9.01 11/01/06 CARDICA INC DE 2.02,9.01 11/01/06 Caribou Coffee Company, Inc. MN 2.02,9.01 11/01/06 CATO CORP DE 5.02,9.01 10/30/06 CB RICHARD ELLIS GROUP INC DE 1.01,9.01 10/30/06 CBEYOND INC 2.02,9.01 11/01/06 CBOT HOLDINGS INC DE 8.01,9.01 11/01/06 CEDAR FAIR L P DE 9.01 10/31/06 CELLSTAR CORP DE 1.01,9.01 10/26/06 CENTRAL BANCORP INC /MA/ MA 2.02,9.01 10/31/06 CepTor CORP DE 5.02 10/31/06 CERADYNE INC DE 2.02,9.01 11/01/06 Chartwell International, Inc. NV 2.02,9.01 10/30/06 CHEESECAKE FACTORY INCORPORATED DE 8.01,9.01 10/27/06 CHEMUNG FINANCIAL CORP NY 5.02 11/01/06 CHINA EDUCATION ALLIANCE INC. NC 1.01,2.03,2.04,3.02,9.01 09/29/06 CHOICEONE FINANCIAL SERVICES INC MI 2.02,9.01 10/31/06 CHOICEONE FINANCIAL SERVICES INC MI 7.01,9.01 11/01/06 CIGNA CORP DE 2.02 11/01/06 CINCINNATI FINANCIAL CORP OH 2.02,9.01 11/01/06 CIRCUIT RESEARCH LABS INC AZ 1.01,9.01 10/25/06 CIT GROUP INC DE 8.01,9.01 10/24/06 CITIZENS COMMUNICATIONS CO DE 5.02,9.01 11/01/06 CITY NATIONAL CORP DE 8.01,9.01 11/01/06 Clear Channel Outdoor Holdings, Inc. DE 2.02,9.01 10/30/06 CLEVELAND CLIFFS INC OH 8.01 10/31/06 CLIFTON SAVINGS BANCORP INC 2.02,9.01 11/01/06 CLOROX CO /DE/ DE 2.02,9.01 11/01/06 COASTAL BANKING CO INC SC 2.02,8.01,9.01 10/26/06 COHERENT INC DE 1.02,2.02,8.01,9.01 11/01/06 COMMERCE BANCORP INC /NJ/ NJ 8.01 11/01/06 COMMUNITY BANKSHARES INC /SC/ SC 2.02,9.01 11/01/06 COMMUNITY CENTRAL BANK CORP MI 2.02,9.01 11/01/06 COMMUNITY FINANCIAL SHARES INC DE 2.02,9.01 10/31/06 COMPASS MINERALS INTERNATIONAL INC DE 1.01,8.01,9.01 10/27/06 Complete Production Services, Inc. DE 2.02,9.01 11/01/06 COMPX INTERNATIONAL INC DE 7.01,9.01 10/31/06 COMSYS IT PARTNERS INC DE 2.02,8.01,9.01 10/26/06 CONSOLIDATED GRAPHICS INC /TX/ TX 2.02,9.01 11/01/06 CONSOLIDATED GRAPHICS INC /TX/ TX 2.02,9.01 11/01/06 CORE LABORATORIES N V P7 8.01,9.01 10/31/06 COTHERIX INC 2.02,9.01 11/01/06 CPG INTERNATIONAL INC. DE 8.01,9.01 11/01/06 CPI CORP DE 1.01,1.02,9.01 11/01/06 CRA INTERNATIONAL, INC. MA 1.01,9.01 10/26/06 CRYOCOR INC DE 1.01 10/30/06 CUMMINS INC IN 2.02,7.01,9.01 11/01/06 CVS CORP DE 2.02,9.01 11/01/06 CWALT INC DE 9.01 10/30/06 AMEND CWHEQ Home Equity Loan Trust, Series 7.01,9.01 11/01/06 CWHEQ Home Equity Loan Trust, Series 8.01,9.01 11/01/06 CYPRESS SEMICONDUCTOR CORP /DE/ DE 1.01 10/27/06 CYTYC CORP DE 8.01,9.01 10/31/06 DATASCOPE CORP DE 2.02,9.01 10/31/06 DAVITA INC DE 2.02,9.01 11/01/06 Deerfield Triarc Capital Corp MD 1.01,2.03,7.01,9.01 10/27/06 DENBURY RESOURCES INC DE 2.02,9.01 11/01/06 DENNYS CORP DE 5.02 10/26/06 DENNYS CORP DE 2.02,9.01 10/26/06 AMEND DEVON ENERGY CORP/DE DE 8.01 11/01/06 DEVON ENERGY CORP/DE DE 2.02,9.01 11/01/06 DIAMOND HILL INVESTMENT GROUP INC OH 8.01 10/31/06 DIAMOND HILL INVESTMENT GROUP INC OH 9.01 09/30/06 DIGITAL YOUTH NETWORK CORP. 5.02 10/02/06 DIRECT GENERAL CORP 2.02,9.01 10/31/06 Dividend Capital Total Realty Trust I MD 2.01,2.03,9.01 10/26/06 DOCUMENT SCIENCES CORP DE 2.02,9.01 11/01/06 DOMINION RESOURCES INC /VA/ VA 2.02,9.01 11/01/06 DREAMS INC UT 1.01,3.02,9.01 11/01/06 DRESS BARN INC CT 2.02 11/01/06 DSL NET INC DE 1.01,2.03,8.01,9.01 10/30/06 DTE ENERGY CO MI 2.02,9.01 11/01/06 DYADIC INTERNATIONAL INC DE 1.01,3.02,9.01 10/26/06 DYNAMIC MATERIALS CORP DE 2.02,9.01 11/01/06 EDGAR ONLINE INC DE 2.02,9.01 11/01/06 EFUNDS CORP DE 2.02 11/01/06 ELECTRO OPTICAL SCIENCES INC /NY 1.01,3.02,9.01 10/31/06 ELECTRONIC DATA SYSTEMS CORP /DE/ DE 2.02,9.01 11/01/06 ENCORE ACQUISITION CO DE 2.02,9.01 10/31/06 ENER1 INC FL 5.02 10/26/06 ENUCLEUS INC DE 5.02,9.01 10/31/06 EQUITY ONE, INC. 2.02,7.01,9.01 10/31/06 EQUITY RESIDENTIAL MD 2.02,9.01 10/31/06 ERICO INTERNATIONAL CORP 2.02,9.01 11/01/06 ERIE INDEMNITY CO PA 2.02,9.01 11/01/06 EUROWEB INTERNATIONAL CORP DE 8.01,9.01 10/31/06 EVERGREEN ENERGY INC DE 2.02,9.01 11/01/06 EVERGREENBANCORP INC WA 8.01,9.01 10/31/06 EXCO RESOURCES INC TX 2.02,9.01 10/31/06 EXTREME NETWORKS INC DE 2.02,9.01 10/26/06 FAIR ISAAC CORP DE 2.02,5.02,9.01 11/01/06 FAMOUS DAVES OF AMERICA INC MN 2.02,9.01 11/01/06 FEDERAL SIGNAL CORP /DE/ DE 7.01,9.01 11/01/06 FEI CO OR 2.02,9.01 11/01/06 FelCor Lodging LP DE 1.01,2.03,3.03,8.01,9.01 10/26/06 FelCor Lodging Trust Inc MD 1.01,2.03,3.03,8.01,9.01 10/26/06 FIDELITY SOUTHERN CORP GA 7.01,9.01 11/01/06 FIIC HOLDINGS DE 1.01,2.03,3.02,9.01 10/24/06 FIRST BANCORP OF INDIANA INC IN 2.02,9.01 11/01/06 FIRST FEDERAL BANKSHARES INC DE 5.02,8.01,9.01 10/26/06 FIRST NILES FINANCIAL INC DE 2.02,9.01 10/27/06 FISHER COMMUNICATIONS INC WA 5.02,5.03,9.01 10/26/06 FLEXIBLE SOLUTIONS INTERNATIONAL INC NV 8.01,9.01 11/01/06 FMC TECHNOLOGIES INC DE 7.01,9.01 11/01/06 FORD MOTOR CO DE 8.01,9.01 11/01/06 FRANKLIN BANK CORP 2.02,9.01 10/31/06 FREEPORT MCMORAN COPPER & GOLD INC DE 5.02,8.01,9.01 10/31/06 FRONTIER OIL CORP /NEW/ WY 8.01,9.01 11/01/06 FROZEN FOOD EXPRESS INDUSTRIES INC TX 2.02,9.01 10/31/06 FTI CONSULTING INC MD 2.02,7.01,9.01 10/31/06 GARMIN LTD 2.02,9.01 11/01/06 GATX CORP NY 5.02 07/21/06 AMEND GEN PROBE INC DE 2.02,9.01 11/01/06 GENCO SHIPPING & TRADING LTD 2.02,9.01 11/01/06 GENERAL MARITIME CORP/ 7.01 10/31/06 GENERAL MOTORS CORP DE 8.01 11/01/06 GENESCO INC TN 1.01 11/01/06 GENESEE & WYOMING INC DE 2.02,8.01,9.01 01/11/06 GENIUS PRODUCTS INC DE 7.01 11/01/06 Georgetown Bancorp, Inc. X1 2.02,9.01 10/30/06 GFI Group Inc. DE 2.02,9.01 11/01/06 GIGA TRONICS INC CA 2.02,9.01 10/31/06 GLADSTONE INVESTMENT CORPORATION\DE DE 2.02,9.01 11/01/06 GLOBALNET CORP NV 8.01 11/01/06 GOVERNMENT PROPERTIES TRUST INC 2.02 11/01/06 GPS INDUSTRIES, INC. NV 1.01,9.01 10/26/06 GREAT LAKES BANCORP, INC. DE 2.02,9.01 10/31/06 GREEN MOUNTAIN POWER CORP VT 1.01,8.01,9.01 10/30/06 GreenPoint Mortgage Funding Trust 200 DE 6.02 11/01/06 GUESS INC DE 2.02,9.01 11/01/06 GUITAR CENTER INC DE 2.02,8.01,9.01 11/01/06 GULF ISLAND FABRICATION INC LA 8.01,9.01 11/01/06 GULF ISLAND FABRICATION INC LA 2.02,9.01 11/01/06 GULFMARK OFFSHORE INC DE 2.02,9.01 11/01/06 HAEMONETICS CORP MA 5.02,9.01 10/27/06 HANCOCK FABRICS INC DE 1.01,7.01,8.01,9.01 11/01/06 HARLEYSVILLE SAVINGS FINANCIAL CORP 1.01,9.01 10/31/06 HARVARD BIOSCIENCE INC DE 2.02,9.01 11/01/06 HAWAIIAN HOLDINGS INC DE 2.02,9.01 11/01/06 HCC INSURANCE HOLDINGS INC/DE/ DE 2.02,7.01,8.01,9.01 11/01/06 HEALTH GRADES INC DE 2.02,9.01 11/01/06 HELIX ENERGY SOLUTIONS GROUP INC MN 2.02,9.01 10/31/06 HOKU SCIENTIFIC INC DE 2.02,9.01 11/01/06 HOME PROPERTIES INC MD 7.01,9.01 10/31/06 HOME SOLUTIONS OF AMERICA INC DE 1.01,3.02,5.02,7.01,9.01 10/26/06 HORNBECK OFFSHORE SERVICES INC /LA DE 2.02,9.01 11/01/06 HOSPITALITY PROPERTIES TRUST MD 2.02,9.01 11/01/06 HOT TOPIC INC /CA/ CA 2.02,9.01 11/01/06 HSBC Automotive Trust (USA) 2006-3 NV 8.01,9.01 11/01/06 HUDSON HIGHLAND GROUP INC DE 2.02,9.01 10/31/06 HUDSON VALLEY HOLDING CORP NY 2.02,8.01,9.01 10/31/06 Huifeng Bio-Pharmaceutical Technology NV 1.01,9.01 10/27/06 AMEND Huntsman CORP DE 1.01,9.01 10/31/06 I MANY INC DE 2.02,9.01 10/31/06 IBERIABANK CORP LA 1.01,2.03,9.01 10/31/06 IBSG INTERNATIONAL INC FL 4.02 08/23/06 AMEND IMAGE SENSING SYSTEMS INC MN 2.02,9.01 10/30/06 IMMUNE RESPONSE CORP DE 3.02 10/26/06 IMMUNICON CORP 2.02,9.01 11/01/06 IMPART MEDIA GROUP INC NV 5.02 07/31/06 IMPERIAL OIL LTD 2.02,9.01 10/31/06 INDUSTRIAL SERVICES OF AMERICA INC /F FL 2.02,9.01 11/01/06 INFERX CORP DE 3.02,9.01 10/24/06 AMEND INFOSPACE INC DE 2.02,9.01 11/01/06 INFRASOURCE SERVICES INC DE 2.02,9.01 11/01/06 INFRASOURCE SERVICES INC DE 1.01,9.01 10/26/06 INLAND RETAIL REAL ESTATE TRUST INC MD 8.01,9.01 11/01/06 INSIGNIA SYSTEMS INC/MN MN 2.02,9.01 10/31/06 INTERDIGITAL COMMUNICATIONS CORP PA 2.02,9.01 11/01/06 Intermec, Inc. DE 2.02,9.01 11/01/06 International Power Group, Ltd. DE 5.02 10/23/06 INTERNATIONAL RECTIFIER CORP /DE/ DE 7.01,9.01 11/01/06 INTERPUBLIC GROUP OF COMPANIES, INC. DE 5.02 10/26/06 INTEVAC INC CA 5.03,9.01 10/26/06 INVERNESS MEDICAL INNOVATIONS INC DE 2.02,9.01 11/01/06 Investors Bancorp Inc DE 2.02,9.01 10/26/06 AMEND INX Inc DE 2.02,7.01,9.01 11/01/06 IPSCO INC 7.01,9.01 11/01/06 IR BIOSCIENCES HOLDINGS INC DE 1.01,9.01 10/23/06 ISLE OF CAPRI CASINOS INC DE 1.01 11/01/06 ISONICS CORP CA 1.01,9.01 10/26/06 ITRON INC /WA/ WA 2.02,9.01 11/01/06 IWT TESORO CORP NV 2.04 10/25/06 IXYS CORP /DE/ DE 2.02,9.01 11/01/06 JL HALSEY CORP 8.01,9.01 08/16/06 AMEND JLG INDUSTRIES INC PA 8.01,9.01 11/01/06 JOHNSON CONTROLS INC WI 2.02,7.01,9.01 10/25/06 JONES SODA CO WA 2.02,9.01 11/01/06 JORGENSEN EARLE M CO /DE/ DE 3.03,9.01 10/26/06 JOY GLOBAL INC DE 9.01 10/31/06 KADANT INC DE 9.01 11/01/06 KENDLE INTERNATIONAL INC OH 9.01 08/16/06 AMEND KERYX BIOPHARMACEUTICALS INC DE 2.02,9.01 11/01/06 KINGSWAY CAPITAL, INC. DE 1.01,5.01,5.02,9.01 10/26/06 AMEND Koppers Holdings Inc. PA 5.02,9.01 10/31/06 KOPPERS INC PA 5.02,9.01 10/31/06 KYPHON INC DE 2.02,9.01 11/01/06 LAKES ENTERTAINMENT INC MN 7.01,9.01 10/30/06 LAMSON & SESSIONS CO OH 1.01,5.02,9.01 10/26/06 LAS VEGAS SANDS CORP NV 2.02,9.01 11/01/06 LASERCARD CORP DE 1.01,9.01 10/30/06 Lazard Ltd D0 2.02,9.01 11/01/06 LEESPORT FINANCIAL CORP PA 8.01 11/01/06 LIFE PARTNERS HOLDINGS INC TX 5.02,9.01 10/27/06 LIGHTBRIDGE INC DE 2.02,8.01,9.01 11/01/06 LINCOLN ELECTRIC HOLDINGS INC OH 8.01,9.01 10/31/06 LIPID SCIENCES INC/ AZ 1.01 11/01/06 LITTLEFIELD CORP DE 2.02,9.01 11/01/06 LMI AEROSPACE INC MO 1.01 08/07/06 LONE STAR TECHNOLOGIES INC DE 1.01,9.01 10/31/06 LONGVIEW FIBRE CO WA 1.01,5.02,9.01 10/27/06 LUMERA CORP 5.02,8.01,9.01 10/30/06 LYONDELL CHEMICAL CO DE 1.01,9.01 10/30/06 M POWER ENTERTAINMENT INC. DE 4.01,9.01 11/01/06 MAGELLAN MIDSTREAM HOLDINGS LP 2.02,9.01 11/01/06 MAGELLAN MIDSTREAM PARTNERS LP DE 2.02,9.01 11/01/06 MAJESTIC STAR CASINO LLC IN 5.02 10/26/06 MARITRANS INC /DE/ DE 2.02,9.01 10/31/06 MARKETAXESS HOLDINGS INC 2.02,8.01,9.01 11/01/06 MARKWEST ENERGY PARTNERS L P 1.01,9.01 10/26/06 MARKWEST HYDROCARBON INC DE 1.01,9.01 10/26/06 MARSH & MCLENNAN COMPANIES, INC. DE 2.02,9.01 11/01/06 MASTERCARD INC DE 2.02,7.01,9.01 11/01/06 MAXIM INTEGRATED PRODUCTS INC DE 2.02,9.01 11/01/06 MAXXON INC 1.01,3.02,5.01,9.01 10/24/06 McCormick & Schmicks Seafood Restaura 2.02,5.02,8.01,9.01 11/01/06 MEADE INSTRUMENTS CORP DE 1.01 10/31/06 MEADWESTVACO CORP DE 2.02,9.01 11/01/06 MEDICAL ACTION INDUSTRIES INC DE 7.01,9.01 11/01/06 MEDICAL STAFFING NETWORK HOLDINGS INC DE 2.02,9.01 11/01/06 MERCER INSURANCE GROUP INC PA 2.02,9.01 10/30/06 MERCHANTS BANCSHARES INC DE 2.02,9.01 11/01/06 MFA MORTGAGE INVESTMENTS MD 2.02,7.01,9.01 11/01/06 MGI PHARMA INC MN 7.01,9.01 10/31/06 MGM MIRAGE DE 1.01,7.01,9.01 10/31/06 MICROTUNE INC DE 4.02,9.01 11/01/06 MILLENNIUM BIOTECHNOLOGIES GROUP INC DE 1.01,9.01 10/25/06 MINERALS TECHNOLOGIES INC DE 5.02,9.01 10/31/06 MINRAD INTERNATIONAL, INC. 1.01,9.01 10/26/06 MMC ENERGY, INC. NV 2.02,7.01,9.01 11/01/06 MODTECH HOLDINGS INC CA 1.01,3.02,9.01 10/31/06 MONITRONICS INTERNATIONAL INC TX 1.01 11/01/06 MONOLITHIC POWER SYSTEMS INC CA 1.01,9.01 10/26/06 MSC SOFTWARE CORP DE 1.01,8.01,9.01 10/26/06 MULTI FINELINE ELECTRONIX INC 8.01,9.01 11/01/06 MultiCell Technologies, Inc. DE 1.01,9.01 10/26/06 MVC CAPITAL, INC. DE 8.01 10/31/06 MYLAN LABORATORIES INC PA 2.02,9.01 11/01/06 Nalco Finance Holdings LLC 2.02,9.01 09/30/06 Nalco Holding CO 2.02,9.01 09/30/06 Nalco Holdings LLC DE 2.02,9.01 09/30/06 NANOGEN INC DE 2.02,9.01 11/01/06 NASTECH PHARMACEUTICAL CO INC DE 1.01,2.02,5.02,9.01 11/01/06 NATIONAL BANCSHARES CORP /OH/ OH 5.02,9.01 11/01/06 NATIONAL FINANCIAL PARTNERS CORP 2.02 11/01/06 NATIONWIDE HEALTH PROPERTIES INC MD 2.02,9.01 11/01/06 NATURAL GAS SERVICES GROUP INC 2.03,9.01 10/26/06 NATURAL HEALTH TRENDS CORP DE 1.01,1.02,9.01 10/31/06 NATUS MEDICAL INC DE 2.02,9.01 11/01/06 NAUTILUS, INC. WA 2.02,9.01 11/01/06 NCI, Inc. DE 2.02,7.01,9.01 11/01/06 NDS GROUP PLC X0 1.01,5.02,9.01 10/30/06 NETWORK CN INC DE 1.01,3.02,9.01 10/28/06 NEUROGEN CORP DE 8.01 11/01/06 NEW PLAN EXCEL REALTY TRUST INC MD 9.01 09/12/06 AMEND NEW YORK MORTGAGE TRUST INC MD 5.02,9.01 11/01/06 NEWCASTLE INVESTMENT CORP MD 8.01,9.01 10/31/06 NewGen Technologies, Inc NV 8.01 10/26/06 NEWMONT MINING CORP /DE/ DE 2.02,9.01 11/01/06 NICOR INC IL 2.02,9.01 11/01/06 NN INC DE 2.02,9.01 10/30/06 NOBLE ENERGY INC DE 2.02,9.01 11/01/06 Nomura Home Equity Loan, Inc., Home E DE 8.01,9.01 06/30/06 NORTHEAST UTILITIES MA 2.01,9.01 11/01/06 Northstar Neuroscience, Inc. WA 2.02,9.01 11/01/06 NOVA BIOSOURCE FUELS, INC. NV 7.01,8.01,9.01 11/01/06 NOVACEA INC DE 1.02,9.01 10/31/06 NOVADEL PHARMA INC DE 2.02,8.01,9.01 11/01/06 NOVAMED INC DE 2.02,9.01 11/01/06 Novelis Inc. A6 1.01 10/26/06 Novelis Inc. A6 1.01,8.01,9.01 10/26/06 NOVELL INC DE 8.01,9.01 10/30/06 NUCO2 INC /FL FL 2.02,9.01 11/01/06 OCCIDENTAL PETROLEUM CORP /DE/ DE 7.01 11/01/06 OCWEN FINANCIAL CORP FL 5.02,9.01 10/31/06 ODYSSEY HEALTHCARE INC DE 7.01,9.01 10/31/06 OGE ENERGY CORP OK 2.02 10/31/06 OHIO CASUALTY CORP OH 2.02,9.01 11/01/06 OHIO LEGACY CORP OH 2.02,9.01 11/01/06 OKLAHOMA GAS & ELECTRIC CO OK 2.02 10/31/06 OLYMPIC STEEL INC OH 2.02,9.01 11/01/06 Opexa Therapeutics, Inc. TX 8.01,9.01 10/27/06 OPNET TECHNOLOGIES INC DE 2.02,9.01 11/01/06 ORASURE TECHNOLOGIES INC DE 2.02,9.01 11/01/06 OSCIENT PHARMACEUTICALS CORP MA 9.01 08/18/06 AMEND OTTER TAIL CORP MN 2.02,5.05,9.01 10/30/06 PAB BANKSHARES INC GA 2.02 11/01/06 PANERA BREAD CO DE 7.01,9.01 11/01/06 PAPA JOHNS INTERNATIONAL INC DE 2.02,9.01 10/31/06 PARAMETRIC TECHNOLOGY CORP MA 2.02,9.01 11/01/06 PAREXEL INTERNATIONAL CORP MA 3.01 05/01/06 AMEND PARKER DRILLING CO /DE/ DE 2.02,9.01 11/01/06 PATAPSCO BANCORP INC MD 5.02,9.01 10/30/06 PATTERSON UTI ENERGY INC DE 2.02,9.01 11/01/06 PEMSTAR INC MN 2.02,8.01,9.01 11/01/06 PENN NATIONAL GAMING INC PA 2.02,9.01 10/26/06 PEOPLES BANCORP IN 1.01,9.01 10/26/06 PeopleSupport, Inc. DE 2.02,9.01 11/01/06 PeopleSupport, Inc. DE 9.01 11/01/06 PEPCO HOLDINGS INC DE 1.01 10/26/06 PERMA FIX ENVIRONMENTAL SERVICES INC DE 2.02,9.01 11/01/06 Permanent Funding (No. 2) LTD X0 9.01 11/01/06 PHOTOMEDEX INC DE 8.01,9.01 10/31/06 PINNACLE DATA SYSTEMS INC OH 2.02,9.01 10/31/06 PIONEER NATURAL RESOURCES CO DE 2.02,9.01 11/01/06 PLACER SIERRA BANCSHARES CA 2.02,8.01,9.01 10/26/06 AMEND PLASTICON INTERNATIONAL, INC. DE 1.01,2.01,3.02,7.01 01/01/06 PLATINUM ENERGY RESOURCES INC DE 1.01,1.02,9.01 10/26/06 Platinum Research Organization, Inc. NV 1.01,2.03,3.02,9.01 10/26/06 PLEXUS CORP WI 2.02 11/01/06 POINT ACQUISITION CORP NV 1.01,9.01 11/01/06 POPE & TALBOT INC /DE/ DE 2.02 11/01/06 PPL CORP PA 1.01 11/01/06 PRE PAID LEGAL SERVICES INC OK 5.02 10/26/06 PREMIER FINANCIAL BANCORP INC KY 2.02,9.01 10/30/06 Prestige Brands Holdings, Inc. 2.02,7.01,9.01 11/01/06 PRIMUS TELECOMMUNICATIONS GROUP INC DE 2.02,9.01 11/01/06 PRIVATEBANCORP, INC DE 8.01,9.01 11/01/06 PROSPECT ENERGY CORP MD 8.01,9.01 11/01/06 PROVIDENT NEW YORK BANCORP DE 1.01,2.02,9.01 10/26/06 PRUDENTIAL FINANCIAL INC NJ 2.02,7.01,9.01 11/01/06 PSYCHEMEDICS CORP DE 2.02,9.01 10/30/06 PUBLIC CO MANAGEMENT CORP NV 5.02,9.01 11/01/06 PUBLIC SERVICE ENTERPRISE GROUP INC NJ 2.02,9.01 11/01/06 PUBLIX SUPER MARKETS INC FL 2.02,9.01 11/01/06 PW EAGLE INC MN 2.02 11/01/06 QC Holdings, Inc. KS 1.01,9.01 10/30/06 QCR HOLDINGS INC DE 2.02,9.01 11/01/06 QUAKER CHEMICAL CORP PA 2.02,9.01 10/31/06 QUICKSILVER RESOURCES INC DE 9.01 10/31/06 QUIDEL CORP /DE/ DE 2.02,9.01 11/01/06 QUIXOTE CORP DE 1.02,2.02,8.01,9.01 10/31/06 QUOTESMITH COM INC DE 2.02,7.01,9.01 11/01/06 RADISYS CORP OR 2.02,9.01 10/26/06 RAINMAKER SYSTEMS INC CA 2.02,7.01,9.01 11/01/06 RAM Holdings Ltd. D0 2.02,9.01 11/01/06 RBC Bearings INC 5.02 11/01/06 REALOGY CORP DE 2.02,9.01 11/01/06 REGAL ENTERTAINMENT GROUP DE 1.01,9.01 10/31/06 RELIV INTERNATIONAL INC DE 2.02,9.01 11/01/06 RIMAGE CORP MN 2.02,9.01 10/31/06 RIVIERA HOLDINGS CORP NV 2.02,9.01 11/01/06 ROCK OF AGES CORP DE 1.01,8.01,9.01 11/01/06 ROCKWELL COLLINS INC DE 2.02,7.01,9.01 11/01/06 ROWAN COMPANIES INC DE 8.01,9.01 10/31/06 RR Donnelley & Sons Co DE 1.01,9.01 10/31/06 RUBICON FINANCIAL INC DE 4.01,9.01 10/31/06 RUBIOS RESTAURANTS INC DE 2.02,9.01 11/01/06 S&C HOLDCO 3 INC 1.01,5.02,9.01 10/26/06 SANDERSON FARMS INC MS 1.01 10/26/06 SAUER DANFOSS INC DE 2.02,9.01 11/01/06 SEAGATE TECHNOLOGY E9 1.01,9.01 10/26/06 SEDONA CORP PA 7.01,9.01 11/01/06 SERVICE 1ST BANCORP CA 2.02,9.01 11/01/06 SERVICEMASTER CO DE 2.02,9.01 11/01/06 SEYCHELLE ENVIRONMENTAL TECHNOLOGIES NV 7.01,9.01 11/01/06 SIMPSON MANUFACTURING CO INC /CA/ DE 8.01 10/30/06 SINCLAIR BROADCAST GROUP INC MD 2.02,9.01 11/01/06 SIRNA THERAPEUTICS INC DE 1.01,3.03,8.01,9.01 10/30/06 SKYWORKS SOLUTIONS INC DE 2.02,9.01 11/01/06 SMALL WORLD KIDS INC UT 5.01 10/27/06 SMITH MICRO SOFTWARE INC DE 2.02,9.01 11/01/06 SOHU COM INC DE 2.02,9.01 10/26/06 SONA MOBILE HOLDINGS CORP DE 1.01,9.01 09/01/06 AMEND SONOMA VALLEY BANCORP CA 5.02 10/18/06 Sound Revolution Inc. DE 5.02,9.01 11/01/06 SOUTHWALL TECHNOLOGIES INC /DE/ DE 2.02,9.01 10/30/06 SOVRAN SELF STORAGE INC MD 2.02,9.01 11/01/06 SPHERION CORP DE 2.02,9.01 11/01/06 SPRINT NEXTEL CORP KS 1.01,9.01 10/26/06 SPSS INC DE 2.02,9.01 11/01/06 SPX CORP DE 2.02,9.01 11/01/06 SRA INTERNATIONAL INC DE 2.02,9.01 11/01/06 STANDARD MOTOR PRODUCTS INC NY 1.01,2.02,9.01 10/20/06 STARTEK INC DE 2.02,9.01 11/01/06 STEMCELLS INC DE 2.02,9.01 11/01/06 STERLING CONSTRUCTION CO INC DE 1.01,8.01,9.01 10/27/06 STEVEN MADDEN, LTD. DE 2.02,8.01,9.01 11/01/06 STOCKERYALE INC MA 8.01,9.01 10/31/06 STONE ENERGY CORP DE 2.02,7.01,9.01 10/31/06 STRATAGENE CORP DE 7.01,9.01 11/01/06 STRATEX NETWORKS INC DE 2.02,9.01 11/01/06 SUN HEALTHCARE GROUP INC DE 2.02,9.01 10/31/06 SUPERGEN INC DE 2.02,9.01 11/01/06 SURMODICS INC MN 2.02,9.01 11/01/06 SYNTAX-BRILLIAN CORP DE 1.01,9.01 10/27/06 TAGALDER GLOBAL INVESTMENT, INC. 1.02,5.03,9.01 06/30/05 TALLY HO VENTURES INC DE 4.01,9.01 10/31/06 TARGETED GENETICS CORP /WA/ WA 1.01,9.01 10/27/06 TBS INTERNATIONAL LTD 7.01,9.01 11/01/06 TECHNOLOGY RESEARCH CORP FL 2.02,9.01 10/31/06 TEKELEC CA 1.01,2.02,2.05,9.01 10/26/06 TELVUE CORP DE 8.01,9.01 11/01/06 TERRA INDUSTRIES INC MD 7.01,9.01 10/26/06 TERRA NITROGEN CO L P /DE DE 7.01,9.01 10/26/06 TESSERA TECHNOLOGIES INC DE 2.02,7.01,9.01 11/01/06 TEXAS INDUSTRIES INC DE 1.02,3.03,9.01 11/01/06 TEXAS REGIONAL BANCSHARES INC TX 8.01,9.01 10/31/06 TEXAS REGIONAL BANCSHARES INC TX 8.01,9.01 10/31/06 Texas Roadhouse, Inc. DE 2.02,9.01 10/30/06 THERAGENICS CORP DE 2.02 11/01/06 THINK PARTNERSHIP INC NV 7.01,9.01 11/01/06 Thomas Weisel Partners Group, Inc. DE 7.01,9.01 10/30/06 TIME WARNER INC DE 2.02,9.01 11/01/06 TNS INC 2.02,7.01,9.01 11/01/06 TORRENT ENERGY CORP CO 7.01,9.01 10/31/06 TOWER AUTOMOTIVE INC DE 1.01,9.01 10/06/06 TRAMMELL CROW CO DE 1.01,7.01,9.01 10/30/06 TRC COMPANIES INC /DE/ DE 1.01,5.02 10/29/06 TREATY OAK BANCORP INC TX 1.01,9.01 09/27/06 TREX CO INC DE 2.02 11/01/06 TRIZETTO GROUP INC DE 1.01,7.01,9.01 10/26/06 TRW AUTOMOTIVE HOLDINGS CORP DE 2.02,9.01 11/01/06 TTM TECHNOLOGIES INC WA 2.02,9.01 11/01/06 TVI CORP MD 1.01,1.02,2.01,2.02, 10/31/06 2.03,3.02,9.01 ULTICOM INC NJ 2.02,7.01,9.01 11/01/06 ULTRA PETROLEUM CORP 2.02,9.01 10/31/06 United Community Bancorp X1 2.02,9.01 11/01/06 UNITED NATIONAL FILM CORP CO 8.01,9.01 10/31/06 UNITED RENTALS INC /DE DE 2.02,9.01 10/31/06 UNITED RENTALS INC /DE DE 7.01 11/01/06 Universal Truckload Services, Inc. MI 7.01 11/01/06 UNUMPROVIDENT CORP DE 2.02,9.01 11/01/06 UREX ENERGY CORP. 2.01,9.01 06/08/06 AMEND UTSTARCOM INC DE 1.01,5.03,9.01 10/26/06 VALENTIS INC DE 1.01,2.01,9.01 10/26/06 VALUECLICK INC/CA DE 2.02,9.01 11/01/06 VARIAN INC DE 2.02,9.01 11/01/06 VCAMPUS CORP DE 3.02,5.03,9.01 10/27/06 VECTOR VENTURES CORP. NV 8.01 10/23/06 VeriFone Holdings, Inc. DE 1.01,2.01,2.03,8.01,9.01 10/31/06 Verigy Ltd. U0 1.01,5.01,9.01 10/31/06 VIRTRA SYSTEMS INC TX 8.01 10/25/06 VISHAY INTERTECHNOLOGY INC DE 7.01,9.01 11/01/06 VISTA GOLD CORP 1.01,8.01,9.01 10/30/06 VITASTI, INC. /DE/ DE 5.03 10/26/06 VIVUS INC CA 8.01,9.01 10/31/06 VNUS MEDICAL TECHNOLOGIES INC 2.02,9.01 11/01/06 Volcano CORP DE 2.02,7.01,9.01 11/01/06 VOXWARE INC DE 5.02 10/31/06 WAKO LOGISTICS GROUP INC 5.03,9.01 10/26/06 WARNACO GROUP INC /DE/ DE 2.02,9.01 11/01/06 WASTE INDUSTRIES USA INC NC 2.02,9.01 10/31/06 WAVE WIRELESS CORP DE 1.03,5.02 10/31/06 WCA WASTE CORP 2.02 11/01/06 WELLCARE HEALTH PLANS, INC. DE 1.01,2.02,9.01 11/01/06 WELLS REAL ESTATE INVESTMENT TRUST II MD 2.01,9.01 10/31/06 WHISPERING OAKS INTERNATIONAL INC A1 7.01 10/31/06 WILD OATS MARKETS INC DE 1.01 10/26/06 WILLIAMS SCOTSMAN INTERNATIONAL INC DE 2.02,9.01 11/01/06 WILLIAMS SCOTSMAN INTERNATIONAL INC DE 9.01 08/18/06 AMEND WILLOW FINANCIAL BANCORP, INC. PA 2.02,7.01,8.01,9.01 10/26/06 WINDROSE MEDICAL PROPERTIES TRUST MD 8.01,9.01 10/31/06 WINLAND ELECTRONICS INC MN 2.02,9.01 11/01/06 WOLVERINE TUBE INC DE 8.01,9.01 11/01/06 WOLVERINE TUBE INC DE 2.02,9.01 11/01/06 XA, INC. NV 1.01,3.02,9.01 09/26/06 ZEBRA TECHNOLOGIES CORP/DE DE 2.02,9.01 11/01/06 Zumiez Inc 7.01,9.01 11/01/06 ZYMOGENETICS INC WA 2.02,9.01 11/01/06