SEC NEWS DIGEST Issue 2007-32 February 16, 2007 ENFORCEMENT PROCEEDINGS DEFAULT ORDER ISSUED AGAINST LARRY WEBMAN On February 14, an Administrative Law Judge issued an Order Making Findings and Imposing Sanctions by Default in Larry Webman, Administrative Proceeding No. 3-12494. The Order Instituting Proceedings alleged that previously the United States District Court for the Southern District of Florida permanently enjoined Respondents Larry and Melvin Webman from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 and Sections 10(b) and 15(a)(1) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Default Order finds these allegations to be true and, pursuant to Section 15(b) of the Securities Exchange Act of 1934, bars both Respondents from associating with a broker or dealer. (Rel. 34- 55291; File No. 3-12494) INVESTMENT ADVISER SANCTIONED Investment Adviser Warwick Capital Management, Inc., and its owner, Carl Lawrence, have been sanctioned following a hearing before an administrative law judge. On February 15, Lawrence was barred from association with any investment adviser, and both he and Warwick were ordered to cease and desist from violations of the antifraud and other provisions of the securities laws. The law judge found that Lawrence overstated Warwick's assets under management over a period of several years in filings with the Securities and Exchange Commission in the face of a requirement that an investment adviser have $25 million or more in assets under management in order to remain Commission-registered. Additionally, he supplied inflated performance data, as well as inflated values for Warwick's assets under management, to three database services that published it to subscribers. (Initial Decision Rel. No. 327; File No. 3-12357) CIVIL AND ADMINSTRATIVE PROCEEDINGS RESOLVED AS TO WILLIAM MUEGER On February 16, the Commission announced that it has resolved certain administrative and district court proceedings with William J. Mueger. On February 2, 2007, the Honorable Berle M. Schiller, United States District Court Judge, signed a Final Judgment permanently enjoining Mueger from, among other things, violations of antifraud and registration provisions of the federal securities laws. SEC v. Mueger, et al., Civil Action No. 93-5200 (E.D. Pa.). Mueger consented to the entry of the Final Judgment, without admitting or denying the allegations of the Commission's complaint, except as to jurisdiction. In the civil injunctive action filed by the Commission in 1993, the Commission's complaint alleged that, from January 1988 through June 1989, Mueger participated in an ongoing scheme to sell the worthless securities of Amglo Industries, Inc. and Amglobal Corporation through manipulative activities, and through false and misleading representations about the companies. The complaint further alleged that many of the securities were not registered with the Commission and originated from stock certificates that were either fabricated or improperly issued by the companies or their transfer agents. According to the complaint, Mueger and others utilized a fraudulent broker- dealer network to distribute more than $3.4 million in these worthless securities in the over-the-counter market, and that this fraudulent network channeled the securities from undisclosed brokerage accounts controlled by Mueger and/or others to bona fide public investors. The Commission's complaint alleged that, ultimately, the scheme to defraud collapsed in the summer of 1989, after the distribution of approximately $3.4 million of worthless securities to unwitting investors through the over-the-counter market. In January 1994, the Commission's civil action was stayed upon the request of the office of the United States Attorney for the Eastern District of Pennsylvania. The Final Judgment permanently enjoins Mueger from violating Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, Section 10(b) of Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Rules 101 and 102 of Regulation M of the Exchange Act. The Final Judgment orders Mueger to pay disgorgement together with prejudgment interest in the amount of $1,057,543, but waives payment of the same based on Mueger's inability to pay. The Commission did not seek a civil penalty from Mueger because the alleged wrongdoing preceded the effective date of the Securities Enforcement Remedies and Penny Stock Reform Act of 1990, Pub. L. No. 101-429, 104 Stat. 931 (1990). On February 15, 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 barring Mueger from association with any broker or dealer. The Order is based on the permanent injunction contained in the Final Judgment and its entry completes the Commission's litigation in connection with the described scheme to defraud. (Rel. 34-55303) [SEC v. Mueger, et al., Civil Action No. 93-5200, E.D. Pa.] (LR-20007) IN THE MATTER OF RICHARD CAUSEY On February 16, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission's Rules of Practice, Making Findings and Imposing Remedial Sanctions against Richard A. Causey. The Order finds that on Jan. 22, 2004, the Commission filed a complaint against Causey in SEC v. Richard A. Causey, Civil Action No. H-04-0284 (S.D. Tex.). The Order also finds that on Feb. 8, 2007, the court entered a final judgment permanently enjoining him from violating, and aiding and abetting the violation of, Sections 10(b) and 13(b)(5) of the Securities Exchange Act of 1934 and Exchange Act Rules 10b-5, 13b2-1 and 13b2-2, and from aiding and abetting the violation of Sections 13(a), 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act and Exchange Act Rules 12b-20, 13a-1 and 13a-13. Causey was also barred permanently from acting as an officer or director of a public company. The Commission's complaint alleged that Causey, Enron's former Chief Accounting Officer, along with others, engaged in a wide-ranging scheme to manipulate Enron's publicly-reported earnings through a variety of devices designed to produce materially false and misleading financial results. As alleged, Causey and others fraudulently manipulated Enron's merchant asset portfolio; improperly used "off- balance-sheet" special purpose entities; manipulated Enron's "business segment reporting" to conceal losses at Enron's retail energy business, Enron Energy Services; manipulated expenses to conceal losses at Enron's broadband unit, Enron Broadband Services; and manipulated reserves in Enron's wholesale energy trading business to conceal earnings volatility and losses. The complaint also alleged that Causey and others made false and misleading statements concerning Enron's financial results and the performance of its businesses, and that these misrepresentations were reflected in Enron's public filings with the Commission. Based on the above, the Order suspends Causey from appearing or practicing before the Commission as an accountant. Causey consented to the issuance of the Order without admitting or denying the findings in the Order except as to the entry of the injunction. (Rels. 34-55310; AAER-2560; File No. 3-12569) SEC SETTLES CHARGES AGAINST FORMER i2 TECHNOLOGIES CEO GREGORY BRADY On February 15, the Commission settled civil charges against Gregory A. Brady, the former chief executive officer of Dallas-based i2 Technologies, Inc. and a defendant in the Commission's July 2005 enforcement action. The Commission's complaint had alleged that, over the four years ended Dec. 31, 2001, and the first three quarters of 2002, i2 misstated approximately $1 billion of software license revenue, including over $125 million of revenue it never should have recognized. The complaint further alleged that Brady participated and assisted others in misstating these amounts. The proposed Judgment to which Brady has consented, without admitting or denying the Commission's allegations, enjoins him from violating or aiding and abetting violations of Section 17(a) of the Securities Act of 1933 and Sections 10(b), 13(a), 13(b)(2)(A), 13(b)(2)(B) and 13(b)(5) of the Securities Exchange Act of 1934 and Rules 10b-5, 12b- 20, 13a-1, 13a-13, 13b2-1 and 13b2-2 thereunder. The proposed Judgment also prohibits Brady from serving as an officer or director of a public company for five years, and orders him to pay disgorgement and prejudgment interest of $7,800,334 and a third-tier civil penalty of $500,000. The settlement is subject to court approval. [SEC v. Gregory A. Brady, et al., Civil Action No. 3:05-CV-1416-D, USDC, NDTX] (LR- 20005) INVESTMENT COMPANY ACT RELEASE HERCULES TECHNOLOGY GROWTH CAPITAL, INC. An order has been issued on an application by Hercules Technology Growth Capital, Inc. under Section 61(a)(3)(B) of the Investment Company Act approving applicant's 2006 Non-employee Director Plan and the grant of certain stock options under the plan. (Rel. IC-27699 - February 15) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-Phlx-2007-10) filed by the Philadelphia Stock Exchange relating to the extension of the position limits pilot program 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 February 19. (Rel. 34-55285) A proposed rule change, as modified by Amendment No. 1 thereto (SR- Phlx-2007-05), filed by the Philadelphia Stock Exchange relating to changing the payment for order flow fee for options subject to the penny pilot program has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 19. (Rel. 34-55290) ACCELERATED APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change (SR-NYSE-2006-120) and noticed and granted accelerated approval to Amendment No. 1 thereto, submitted under Rule 19b-4 of the Securities Exchange Act of 1934 by the New York Stock Exchange regarding the proposed combination between NYSE Group, Inc. and Euronext N.V. Publication is expected in the Federal Register during the week of February 19. (Rel. 34-55293) The Commission granted accelerated approval of a proposed rule change (SR-NYSEArca-2007-05) and noticed and granted accelerated approval to Amendment No. 1 thereto, submitted under Rule 19b-4 of the Securities Exchange Act of 1934 by NYSE Arca regarding a proposed combination between NYSE Group, Inc. and Euronext N.V. Publication is expected in the Federal Register during the week of February 19. (Rel. 34-55294) 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 LASERCARD CORP, 1875 NORTH SHORELINE BOULEVARD, MOUNTAIN VIEW, CA, 94043, (650) 969-4428 - 0 ($0.00) Equity, (File 333-140724 - Feb. 15) (BR. 03C) S-8 AMDOCS LTD, SUITE 5, TOWER HILL HOUSE LE BORDAGE, ST PETER PORT, ISLAND OF GUERNSEY, X0, GY1 3QT, 011-44-1481-728444 - 0 ($42,239.00) Equity, (File 333-140728 - Feb. 15) (BR. 03B) F-6 Fresenius Medical Care AG & Co. KGaA, ELSE-KROENER STRASSE 1, BAD HOMBURG, 2M, 61352, 011-49-6172-6090 - 100,000,000 ($5,000,000.00) ADRs/ADSs, (File 333-140730 - Feb. 15) (BR. 01A) S-3 AMERICAN HOME MORTGAGE SECURITIES LLC, 520 BROADHOLLOW RD, MELVILLE, NY, 11747, (516) 620-1072 - 0 ($2,000,000,000.00) Mortgage Backed Securities, (File 333-140731 - Feb. 15) (BR. 05D) S-3ASR CSX CORP, 500 WATER STREET, 15TH FLOOR, JACKSONVILLE, FL, 32202, 9043593200 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-140732 - Feb. 15) (BR. 05B) S-3 FAVRILLE INC, 0 ($18,933,812.50) Equity, (File 333-140737 - Feb. 15) (BR. 01B) SB-2 ZBB ENERGY CORP, N93 W14475 WHITTAKER WAY, MENOMONEE FALLS, X1, 53051, 262-253-9800 - 0 ($8,742,802.00) Equity, (File 333-140738 - Feb. 15) (BR. 02) S-8 OPTIMER PHARMACEUTICALS INC, 10110 SORRENTO VALLEY ROAD, SUITE C, SAN DIEGO, CA, 92121, 8589090736 - 0 ($19,654,780.50) Equity, (File 333-140739 - Feb. 15) (BR. 01) S-3 CWCapital Commercial Funding Corp., ONE CHARLES RIVER PLACE, 63 KENDRICK STREET, NEEDHAM, MA, 02494, 781-707-9300 - 0 ($1,000,000.00) Mortgage Backed Securities, (File 333-140740 - Feb. 15) (BR. 05D) S-8 XATA CORP /MN/, 151 E CLIFF RD STE 10, BURNSVILLE, MN, 55337, 6128943680 - 0 ($5,222,645.00) Equity, (File 333-140741 - Feb. 15) (BR. 03A) S-8 TIDELANDS OIL & GAS CORP/WA, 5098918373 - 35,000,000 ($7,700,000.00) Debt Convertible into Equity, (File 333-140742 - Feb. 15) (BR. 04A) S-8 KLA TENCOR CORP, 160 RIO ROBLES, SAN JOSE, CA, 95134, 4084344200 - 0 ($8,692,431.00) Equity, (File 333-140743 - Feb. 15) (BR. 10B) 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 ------------------------------------------------------------------------------------------------------- 3D SYSTEMS CORP DE 8.01,9.01 02/12/07 ACCESS PHARMACEUTICALS INC DE 5.02,9.01 02/15/07 ACE Securities Corp. Home Equity Loan DE 9.01 02/15/07 ACRO INC. NV 3.02 02/15/07 ACTION PRODUCTS INTERNATIONAL INC FL 2.02,5.02,9.01 02/12/07 ADAM INC GA 2.02,9.01 02/13/07 ADEPT TECHNOLOGY INC CA 7.01,9.01 02/13/07 ADVANCE AUTO PARTS INC DE 2.02,9.01 02/15/07 Advance Nanotech, Inc. DE 2.02,9.01 02/15/07 ADVANCED MEDICAL OPTICS INC DE 1.01 02/09/07 ADVENTRX PHARMACEUTICALS INC DE 1.01 02/12/07 AGILENT TECHNOLOGIES INC DE 2.02,9.01 02/15/07 AIRTRAN HOLDINGS INC NV 1.01,2.03,8.01 02/12/07 ALANCO TECHNOLOGIES INC AZ 2.02 12/31/06 ALEXION PHARMACEUTICALS INC DE 2.02,9.01 02/15/07 ALFACELL CORP DE 8.01,9.01 02/12/07 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 02/15/07 ALLIED WASTE INDUSTRIES INC DE 2.02,9.01 12/31/06 ALMOST FAMILY INC DE 2.01,3.02,9.01 02/15/07 AMEND AMC ENTERTAINMENT INC DE 7.01,9.01 02/15/07 AMEREN CORP MO 2.02,5.02,8.01,9.01 02/09/07 AMERIANA BANCORP IN 2.02,9.01 02/13/07 American Express Issuance Trust DE 8.01,9.01 01/15/07 AMERICAN EXPRESS RECEIVABLES FINANCIN DE 8.01,9.01 02/14/07 AMERICAN MEDICAL SYSTEMS HOLDINGS INC DE 5.02 02/09/07 AMERICAN MEDICAL SYSTEMS HOLDINGS INC DE 2.02,9.01 02/15/07 AMERICAN STATES WATER CO CA 8.01,9.01 02/08/07 American Telecom Services Inc 2.02,9.01 02/15/07 AMERICAN TONERSERV CORP. DE 3.02 02/12/07 AMERICAN WAGERING INC NV 1.01,5.02 02/09/07 AMERIGON INC MI 5.02 02/12/07 AMERIGON INC MI 2.02,9.01 02/14/06 AMERIGROUP CORP 2.02,9.01 02/14/07 AMERIPATH INC DE 1.01,8.01,9.01 02/12/07 AMERITRANS CAPITAL CORP DE 2.02,9.01 12/31/06 AML COMMUNICATIONS INC DE 8.01,9.01 02/12/07 ANALYTICAL SURVEYS INC CO 2.02,8.01,9.01 02/14/07 Andover Medical, Inc. DE 8.01 02/13/07 API Nanotronics Corp. DE 1.01,9.01 02/14/07 APOLLO INVESTMENT CORP MD 1.01 02/15/07 APPLE HOSPITALITY TWO INC VA 8.01,9.01 02/15/07 APPLEBEES INTERNATIONAL INC DE 2.02,9.01 02/14/07 AQUANTIVE INC WA 2.02,9.01 02/15/07 ARBITRON INC DE 2.02,9.01 02/15/07 ARCADIA RESOURCES, INC NV 7.01,9.01 02/14/07 ARCHER DANIELS MIDLAND CO DE 8.01,9.01 02/14/07 ARIAD PHARMACEUTICALS INC DE 1.01,2.02,8.01,9.01 02/14/07 ARMSTRONG WORLD INDUSTRIES INC PA 8.01,9.01 02/15/07 Arran Funding LTD XX 8.01,9.01 02/15/07 ARRIS GROUP INC DE 2.02,9.01 02/15/07 ARROW ELECTRONICS INC NY 1.01,9.01 02/09/07 ASBURY AUTOMOTIVE GROUP INC DE 2.02,7.01,9.01 02/15/07 ASBURY AUTOMOTIVE GROUP INC DE 5.02,7.01,9.01 02/13/07 ASCENDIA BRANDS, INC. DE 1.01,1.02,2.01,2.03,5.02,9.01 02/09/07 ASIA 4 SALE COM INC NV 3.02,5.02 02/01/07 ATLANTICA INC UT 8.01,9.01 02/15/07 AtriCure, Inc. DE 2.02,9.01 02/15/07 AUBURN NATIONAL BANCORPORATION INC DE 8.01,9.01 02/14/07 AURORA GOLD CORP DE 8.01,9.01 02/14/07 AUXILIUM PHARMACEUTICALS INC 2.02,9.01 02/15/07 AVEROX INC. NV 5.03 02/15/07 AXCESS INTERNATIONAL INC/TX DE 2.02,9.01 02/15/07 AXIS CAPITAL HOLDINGS LTD 5.02 02/09/07 BAKER HUGHES INC DE 2.02,7.01,9.01 02/15/07 Banc of America Funding 2007-A Trust DE 8.01,9.01 01/31/07 BARD C R INC /NJ/ NJ 5.02 02/14/07 BARNES GROUP INC DE 2.02,9.01 02/15/07 BAYLAKE CORP WI 5.02,9.01 01/23/07 BEA SYSTEMS INC DE 5.02,9.01 02/13/07 BEACON POWER CORP DE 8.01 02/15/07 Bear Stearns ALT-A Trust 2007-1 DE 8.01,9.01 01/31/07 Bear Stearns Asset Backed Securities DE 9.01 01/30/07 Bear Stearns Asset Backed Securities DE 9.01 02/15/07 Bear Stearns Mortgage Funding Trust 2 DE 8.01,9.01 01/31/07 BEHRINGER HARVARD REIT I INC MD 1.01,9.01 02/09/07 BEL FUSE INC /NJ NJ 2.02,9.01 02/15/07 BERMAN CENTER, INC. DE 1.01,1.02,9.01 04/15/06 BIOGEN IDEC INC DE 2.02,7.01,9.01 02/15/07 BIOLIFE SOLUTIONS INC DE 1.01,3.02,9.01 02/12/07 BIOPURE CORP DE 1.01,2.02,8.01,9.01 02/14/07 BLACK HILLS CORP /SD/ SD 1.01,3.02,9.01 02/14/07 BLACK HILLS CORP /SD/ SD 2.02,9.01 02/14/07 BOOKHAM, INC. DE 5.02,9.01 02/12/07 Bootie Beer CORP FL 5.02,8.01,9.01 11/13/06 BORDERS GROUP INC MI 5.02 02/11/07 BPO Management Services DE 2.02,7.01,9.01 02/15/07 BRIGGS & STRATTON CORP WI 8.01,9.01 02/15/07 BRIGHT HORIZONS FAMILY SOLUTIONS INC DE 2.02,9.01 02/15/07 BRIGHTPOINT INC IN 1.01,5.02,8.01 02/09/07 Brownsville CO NV 5.03,9.01 02/14/07 BRUSH ENGINEERED MATERIALS INC 7.01,9.01 02/15/07 BSQUARE CORP /WA WA 2.02,9.01 02/15/07 BUFFALO WILD WINGS INC MN 2.02,9.01 02/15/07 BUILDING MATERIALS CORP OF AMERICA DE 1.01,9.01 02/09/07 C H ROBINSON WORLDWIDE INC DE 8.01,9.01 02/15/07 CALIFORNIA PIZZA KITCHEN INC DE 2.02,9.01 02/15/07 CALIFORNIA PIZZA KITCHEN INC DE 8.01,9.01 02/15/07 CAPELLA EDUCATION CO 2.02,5.02,9.01 02/13/07 Capital One Auto Finance Trust 2007-A DE 8.01,9.01 02/15/07 CAPITOL CITY BANCSHARES INC GA 1.01,3.02,5.03,9.01 02/09/07 CAPTARIS INC WA 5.02,9.01 02/14/07 CAPTARIS INC WA 2.02,9.01 02/15/07 Caribou Coffee Company, Inc. MN 2.02,9.01 02/15/07 CARVER BANCORP INC DE 4.02 02/14/07 CASEYS GENERAL STORES INC IA 7.01 02/15/07 CATERPILLAR INC DE 8.01 02/15/07 CATERPILLAR INC DE 8.01 02/15/07 CELLSTAR CORP DE 8.01,9.01 02/12/07 AMEND CENTURYTEL INC LA 2.02,9.01 12/31/06 CHAMPION ENTERPRISES INC MI 5.03 02/13/07 CHANNELL COMMERCIAL CORP DE 1.01,9.01 02/12/07 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 02/15/07 CHASE CREDIT CARD MASTER TRUST NY 8.01,9.01 02/15/07 CHESAPEAKE CORP /VA/ VA 2.02,9.01 12/31/06 China Health Holding, Inc. NV 5.02,9.01 02/09/07 CHIPOTLE MEXICAN GRILL INC 2.02,9.01 02/15/07 CHL Mortgage Pass-Through Trust 2007- DE 7.01,9.01 02/15/07 CIRRUS LOGIC INC DE 3.01,9.01 02/15/07 CIRRUS LOGIC INC DE 5.02,9.01 02/15/07 CITIBANK CREDIT CARD ISSUANCE TRUST DE 8.01,9.01 02/15/07 CITIBANK OMNI-S MASTER TRUST 8.01,9.01 02/15/07 CITIBANK SOUTH DAKOTA N A DE 8.01 01/26/07 CLARKSTON FINANCIAL CORP 2.02,9.01 02/14/07 Clearpoint Business Resources, Inc DE 4.01,9.01 02/12/07 CNA FINANCIAL CORP DE 2.02,5.02,9.01 02/07/07 AMEND CNB FINANCIAL CORP/PA PA 8.01 02/13/07 CNL INCOME PROPERTIES INC MD 2.03,8.01 02/09/07 COATES INTERNATIONAL LTD \DE\ DE 8.01,9.01 02/15/07 Coley Pharmaceutical Group, Inc. DE 2.02,9.01 02/15/07 COMCAM INC DE 2.01,9.01 02/14/07 COMMERCE GROUP INC /MA MA 5.02 02/14/07 COMMODORE APPLIED TECHNOLOGIES INC DE 7.01,9.01 02/12/07 COMMONWEALTH BIOTECHNOLOGIES INC VA 1.01,3.02,5.01,5.02,9.01 02/09/07 COMMUNITY HEALTH SYSTEMS INC DE 2.02,7.01,9.01 02/15/07 COMPASS BANCSHARES INC DE 5.02 02/14/07 COMPETITIVE TECHNOLOGIES INC DE 4.01,9.01 02/12/07 COMPUTER HORIZONS CORP NY 8.01,9.01 02/14/07 COMPUTER SOFTWARE INNOVATIONS INC 1.01,2.01,2.03,9.01 02/09/07 COMSYS IT PARTNERS INC DE 2.02,5.02,9.01 02/09/07 COMTEX NEWS NETWORK INC DE 2.02,9.01 02/14/07 COMVERSE TECHNOLOGY INC/NY/ NY 1.01 02/12/07 CONEXANT SYSTEMS INC DE 8.01 02/15/07 CONSOLIDATED TOMOKA LAND CO FL 2.02,9.01 02/14/07 Constellation Energy Partners LLC DE 2.02,7.01,9.01 02/15/07 CONSUMER PORTFOLIO SERVICES INC CA 2.02,9.01 02/14/07 COOPERATIVE BANKSHARES INC NC 7.01,9.01 02/15/07 CORPORATE OFFICE PROPERTIES TRUST MD 2.02,9.01 02/14/07 COVANTA HOLDING CORP DE 1.01,1.02,2.03,9.01 02/09/07 CREDIT ACCEPTANCE CORPORATION MI 1.01,2.02,9.01 02/09/07 CRYOCOR INC DE 2.02,9.01 02/15/07 CSMC Mortgage Backed Trust Series 200 DE 8.01,9.01 02/15/07 CTI INDUSTRIES CORP DE 1.01,3.02,9.01 06/06/06 CWALT INC DE 9.01 02/15/07 CYBEX INTERNATIONAL INC NY 2.02,9.01 02/15/07 Cyclacel Pharmaceuticals, Inc. DE 1.01,8.01,9.01 02/12/07 CYCLE COUNTRY ACCESSORIES CORP NV 7.01 02/15/07 CYGNE DESIGNS INC DE 1.01,3.02,9.01 02/13/07 CYGNUS OIL & GAS CORP DE 2.04 02/09/07 DAKOTA GROWERS PASTA CO INC ND 1.01,2.03,3.02,5.03,9.01 02/09/07 DAKTRONICS INC /SD/ SD 2.02,9.01 01/27/07 DANA CORP VA 8.01 02/15/07 DATAMEG CORP DE 8.01 02/15/07 DEL LABORATORIES INC DE 5.02,9.01 02/15/07 DELTIC TIMBER CORP DE 5.02,9.01 02/15/07 DENDRITE INTERNATIONAL INC NJ 2.02,9.01 02/15/07 DENNYS CORP DE 2.02,9.01 02/15/07 Deutsche Alt-A Securities Mortgage Lo 8.01,9.01 02/15/07 DEVCON INTERNATIONAL CORP FL 1.01,1.02,5.02,7.01,9.01 02/09/07 DITECH NETWORKS INC DE 2.02,9.01 02/15/07 DREAMS INC UT 2.02,9.01 02/15/07 DUQUESNE LIGHT HOLDINGS INC PA 1.01,9.01 02/09/07 Dynegy Acquisition, Inc. DE 8.01,9.01 02/15/07 DYNEX CAPITAL INC VA 2.02,9.01 02/14/07 Eagle Bulk Shipping Inc. 8.01,9.01 02/15/07 EAGLE FAMILY FOODS HOLDINGS INC DE 5.02,8.01,9.01 02/09/07 ECC Capital CORP 2.01,2.06,5.02,8.01,9.01 02/09/07 Eddie Bauer Holdings, Inc. DE 5.02,9.01 02/09/07 eHealth, Inc. DE 2.02,9.01 02/15/07 ELOYALTY CORP DE 2.02,9.01 02/14/07 EMISPHERE TECHNOLOGIES INC DE 5.02 02/12/07 ENCORIUM GROUP INC NV 5.02,9.01 02/15/07 ENDOLOGIX INC /DE/ DE 5.02 01/17/07 ENERGY EAST CORP NY 5.02 02/15/07 ENPRO INDUSTRIES, INC NC 2.02,5.02,8.01,9.01 02/15/07 ENSCO INTERNATIONAL INC DE 2.02,9.01 02/15/07 ENTRUST INC MD 1.01 02/15/07 ENVIRONMENTAL ENERGY SERVICES INC MD 3.02,3.03,5.03,9.01 01/25/07 ENVIRONMENTAL SOLUTIONS WORLDWIDE INC FL 1.01,2.03 02/09/07 AMEND EQUIFAX INC GA 1.01,8.01,9.01 02/14/07 ESTEE LAUDER COMPANIES INC DE 7.01,9.01 02/15/07 ETS PAYPHONES INC 1.01,2.01,3.03,5.03 02/09/07 EVANS BOB FARMS INC DE 2.02,7.01,9.01 02/14/07 Eworld Interactive, Inc. FL 3.02,8.01 02/15/07 EXCHANGE NATIONAL BANCSHARES INC MO 8.01,9.01 02/14/07 EXCO RESOURCES INC TX 8.01,9.01 02/14/07 Expedia, Inc. 2.02,9.01 02/15/07 EXXON MOBIL CORP NJ 2.02,7.01 02/15/07 FAMILYMEDS GROUP, INC. NV 8.01,9.01 02/15/07 FAVRILLE INC DE 2.02,8.01,9.01 02/15/07 FEDERAL AGRICULTURAL MORTGAGE CORP 7.01,9.01 02/15/07 Federal Home Loan Bank of Atlanta X1 2.03 02/12/07 Federal Home Loan Bank of Boston X1 2.03 02/12/07 Federal Home Loan Bank of Chicago X1 2.03 02/13/07 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 02/12/07 Federal Home Loan Bank of Dallas 2.03 02/12/07 Federal Home Loan Bank of Des Moines X1 2.03,9.01 02/12/07 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 02/09/07 Federal Home Loan Bank of New York X1 2.03,9.01 02/12/07 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 02/12/07 Federal Home Loan Bank of San Francis X1 2.02 02/14/07 Federal Home Loan Bank of San Francis X1 2.03 02/12/07 Federal Home Loan Bank of Seattle 2.03 02/14/07 Federal Home Loan Bank of Topeka 2.03 02/12/07 FIRST CENTURY BANKSHARES INC WV 2.02,9.01 02/14/07 FIRST FINANCIAL HOLDINGS INC /DE/ DE 7.01,9.01 02/13/07 FIRST FINANCIAL HOLDINGS INC /DE/ DE 7.01,9.01 02/13/07 AMEND FIRST M&F CORP/MS MS 5.02 02/15/07 FIRST STATE BANCORPORATION NM 8.01,9.01 02/12/07 FLORIDA EAST COAST INDUSTRIES INC FL 2.02,9.01 02/15/07 Florida East Coast Industries, Inc. 7.01,9.01 02/15/07 Florida East Coast Industries, Inc. 7.01,9.01 02/15/07 FOAMEX INTERNATIONAL INC DE 8.01,9.01 02/09/07 Foundation Coal Holdings, Inc. DE 2.02,9.01 02/15/07 FOUNDRY NETWORKS INC DE 5.02,9.01 02/09/07 FOUNTAIN POWERBOAT INDUSTRIES INC 2.02 02/12/07 Fox Chase Bancorp Inc X1 2.02,9.01 02/13/07 FRANKLIN CREDIT MANAGEMENT CORP/DE/ DE 1.01,9.01 02/14/07 FRANKLIN LAKE RESOURCES INC /NV NV 8.01,9.01 02/15/07 FULLER H B CO MN 2.02 01/16/07 AMEND GASTAR EXPLORATION LTD 7.01,9.01 02/15/07 GEM SOLUTIONS, INC. DE 4.02 01/08/07 General Finance CORP DE 8.01,9.01 02/15/07 GENERAL KINETICS INC VA 1.03 02/09/07 Geneva Gold Corp NV 5.02 02/07/07 GeNOsys, Inc. UT 5.02 01/03/07 GENTIVA HEALTH SERVICES INC DE 2.02,9.01 02/14/07 GEOGLOBAL RESOURCES INC. DE 7.01,9.01 02/15/07 Georgetown Bancorp, Inc. X1 5.02,9.01 02/09/07 GLASSMASTER CO SC 1.02 02/15/07 GOLDEN CHIEF RESOURCES INC KS 4.02 10/13/06 GOLDEN CHIEF RESOURCES INC KS 4.01,9.01 08/09/06 AMEND GOLDMAN SACHS HEDGE FUND PARTNERS LLC DE 1.01 02/14/07 GOTTSCHALKS INC DE 8.01 02/15/07 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 01/31/07 GREAT PLAINS ENERGY INC MO 7.01,9.01 02/15/07 Gregg Appliances Inc 7.01 02/15/07 GREIF INC DE 1.01,2.03,9.01 02/09/07 GRIFFIN LAND & NURSERIES INC DE 2.02,9.01 02/15/07 GRUBB & ELLIS CO DE 5.02,9.01 02/09/07 GRYPHON GOLD CORP NV 2.02,3.02 02/13/07 GS FINANCIAL CORP LA 2.02,9.01 12/31/06 GSAA Home Equity Trust 2007-1 DE 8.01,9.01 01/30/07 GSR Mortgage Loan Trust 2007-AR1 DE 8.01,9.01 01/31/07 Guidance Software, Inc. DE 5.02,9.01 02/14/07 GULF ISLAND FABRICATION INC LA 2.02,9.01 02/13/07 GYMBOREE CORP DE 5.02 02/10/07 Halo Technology Holdings, Inc. NV 2.02,9.01 02/15/07 Halo Technology Holdings, Inc. NV 1.01,5.02,9.01 02/09/07 HAMPTON ROADS BANKSHARES INC VA 8.01 02/15/07 HANOVER CAPITAL MORTGAGE HOLDINGS INC MD 1.01,1.02,5.02,9.01 02/15/07 HANOVER COMPRESSOR CO / DE 2.02,9.01 02/15/07 HEARTLAND PAYMENT SYSTEMS INC DE 2.02,8.01,9.01 02/12/07 HEMIS CORP NV 1.01,1.02 02/13/07 HERTZ CORP DE 1.01 02/09/07 HERTZ GLOBAL HOLDINGS INC 1.01 02/09/07 HIBBETT SPORTING GOODS INC DE 1.01,5.02,5.03,8.01,9.01 02/09/07 HICKOK INC OH 2.02,9.01 12/31/06 HIGHLANDS BANKSHARES INC /WV/ WV 2.02,9.01 02/15/07 HIGHWOODS PROPERTIES INC MD 2.02,9.01 02/15/07 HITTITE MICROWAVE CORP 2.02,9.01 02/15/07 HOLLY CORP DE 5.02 02/09/07 HOLLY ENERGY PARTNERS LP DE 5.02 02/09/07 Home Equity Mortgage Loan Asset-Backe DE 8.01,9.01 02/05/07 HORNBECK OFFSHORE SERVICES INC /LA DE 2.02,9.01 02/15/07 Hostopia.com Inc. 5.02,9.01 02/09/07 HRPT PROPERTIES TRUST MD 2.02,9.01 02/15/07 HUBBELL INC CT 5.02,9.01 02/09/07 Huntsman CORP DE 2.02,2.06,7.01,9.01 02/15/07 HYDRIL CO DE 1.01,3.03,8.01,9.01 02/11/07 AMEND ICON CASH FLOW PARTNERS L P SEVEN DE 5.02 02/15/07 ICON INCOME FUND EIGHT /DE DE 5.02 02/15/07 ICON INCOME FUND EIGHT B LP 5.02 02/15/07 ICON INCOME FUND NINE LLC DE 5.02 02/15/07 ICON INCOME FUND TEN LLC DE 5.02 02/15/07 ICON Leasing Fund Eleven, LLC DE 5.02 02/15/07 IDACORP INC ID 2.02,9.01 02/15/07 IDERA PHARMACEUTICALS, INC. DE 3.02 02/13/07 IKONA GEAR INTERNATIONAL INC NV 5.02,9.01 02/08/07 IMMUNE RESPONSE CORP DE 3.02,8.01 02/09/07 IMPERIAL SUGAR CO /NEW/ TX 5.02,9.01 02/12/07 INCYTE CORP DE 2.02,8.01,9.01 02/15/07 Industrial Enterprises of America, In NV 2.02,7.01 02/14/07 IndyMac INDX Mortgage Loan Trust 2007 8.01,9.01 01/31/07 INGRAM MICRO INC DE 2.02,9.01 02/15/07 INNOCOM TECHNOLOGY HOLDINGS, INC. NV 8.01,9.01 02/15/07 Innovive Pharmaceuticals, Inc. DE 5.02 02/14/07 INSIGNIA SOLUTIONS PLC 1.01,9.01 02/11/07 INSPIRE PHARMACEUTICALS INC DE 9.01 02/15/07 INSTEEL INDUSTRIES INC NC 5.02,8.01,9.01 02/13/07 INTAC INTERNATIONAL INC NV 1.01,8.01,9.01 01/29/07 AMEND INTER TEL INC AZ 2.02,9.01 02/15/07 INTERACTIVE DATA CORP/MA/ DE 5.02,9.01 02/09/07 INTERACTIVE SYSTEMS WORLDWIDE INC /DE DE 2.02,9.01 02/14/07 INTERMOST CORP UT 8.01 02/15/07 INTERPHARM HOLDINGS INC DE 5.02 02/15/07 INTERPHARM HOLDINGS INC DE 5.02 02/15/07 INVENTURE GROUP, INC. DE 2.02,9.01 02/15/07 INVESTMENT TECHNOLOGY GROUP INC DE 5.03,9.01 02/09/07 INVESTORS TITLE CO NC 2.02,9.01 02/15/07 ITONIS INC. NV 4.01 02/09/07 J2 GLOBAL COMMUNICATIONS INC DE 8.01,9.01 02/15/07 JAFRA WORLDWIDE HOLDINGS LUX SARL N4 5.02 02/15/07 JAMES RIVER GROUP, INC DE 2.02,9.01 02/15/07 JAMES RIVER GROUP, INC DE 5.02,8.01 02/12/07 JEFFERSONVILLE BANCORP NY 2.02,9.01 02/14/07 JK Acquisition Corp. 1.01,3.02,9.01 02/14/07 JOHNSON & JOHNSON NJ 5.02,8.01 02/12/07 JOURNAL COMMUNICATIONS INC 5.02,5.03,9.01 02/13/07 K&F Industries Holdings, Inc. 2.02,9.01 02/15/07 KADANT INC DE 2.02,9.01 02/14/07 KAL ENERGY INC DE 2.01,5.02,5.06,9.01 02/09/07 KAYNE ANDERSON ENERGY DEVELOPMENT CO MD 2.02,8.01,9.01 02/14/07 KAYNE ANDERSON ENERGY DEVELOPMENT CO MD 8.01,9.01 02/15/07 KEANE, INC. MA 5.02 02/09/07 KENEXA CORP 2.02,9.01 02/14/07 KIRBY CORP NV 7.01,9.01 02/15/07 KRONOS WORLDWIDE INC 7.01,9.01 02/15/07 LABORATORY CORP OF AMERICA HOLDINGS DE 2.02 02/15/07 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 02/15/07 LAIDLAW INTERNATIONAL INC DE 7.01,9.01 02/15/07 LAND O LAKES INC 2.02,9.01 02/15/07 LANDMARK BANCORP INC DE 2.02,8.01,9.01 02/15/07 Lazy Days R.V. Center, Inc. 5.02 02/13/07 Lehman XS Trust Series 2007-2N DE 8.01,9.01 02/15/07 LEISURE DIRECT INC NV 3.02 02/13/07 LEVEL 3 COMMUNICATIONS INC DE 8.01,9.01 02/15/07 LEVI STRAUSS & CO DE 4.01,9.01 02/05/07 AMEND LHC Group, Inc 5.02,9.01 02/15/07 LIBBEY INC DE 2.02,9.01 02/15/07 LIFE TIME FITNESS INC MN 2.02,9.01 02/15/07 LIGHTPATH TECHNOLOGIES INC DE 2.02,9.01 02/15/07 LOOKSMART LTD DE 2.02,9.01 02/15/07 Lotus Pharmaceuticals, Inc. 1.01,3.02,9.01 02/12/07 LTX CORP MA 2.02,9.01 02/15/07 LUMINENT MORTGAGE CAPITAL INC 2.02,9.01 02/09/07 Magyar Bancorp, Inc. DE 5.02,8.01,9.01 02/12/07 MANAGEMENT NETWORK GROUP INC 2.02,9.01 02/15/07 MANTECH INTERNATIONAL CORP DE 1.01,9.01 02/14/07 Marquee Holdings Inc. DE 7.01,9.01 02/15/07 MARSH & MCLENNAN COMPANIES, INC. DE 8.01 02/15/07 MATHSTAR INC MN 8.01,9.01 02/15/07 MATRIXX INITIATIVES INC DE 5.02,5.03 02/09/07 MAX RE CAPITAL LTD 5.02,5.05,8.01,9.01 02/09/07 MBI Financial, Inc. NV 1.01,2.01 02/12/07 MedaSorb Technologies CORP 5.02 02/08/07 MELLON BANK N A MA 8.01,9.01 02/09/07 METROPOLITAN HEALTH NETWORKS INC FL 2.02,9.01 02/14/07 MGM MIRAGE DE 1.01,9.01 02/09/07 MICREL INC CA 5.02 02/09/07 MICROHELIX INC OR 5.02 02/12/07 MIDLAND CO OH 2.02,9.01 02/15/07 MKS INSTRUMENTS INC MA 2.02,9.01 02/15/07 MOHAWK INDUSTRIES INC DE 2.02,9.01 02/15/07 MOLINA HEALTHCARE INC DE 1.01 02/12/07 MOLSON COORS BREWING CO CO 2.02 02/15/07 MONTPELIER RE HOLDINGS LTD D0 2.02,7.01,9.01 02/14/07 Mortgage Assistance Center Corp FL 1.01,5.02,9.01 02/09/07 MOTIENT CORP DE 1.01,2.03,7.01,9.01 02/14/07 MOTOROLA INC DE 5.02,9.01 02/11/07 MTM Technologies, Inc. NY 1.01,9.01 02/14/07 MULTI COLOR CORP OH 8.01,9.01 02/14/07 MULTI FINELINE ELECTRONIX INC 9.01 01/12/07 AMEND NANOMETRICS INC DE 2.02,9.01 02/15/07 NATIONAL FINANCIAL PARTNERS CORP 7.01,9.01 02/15/07 NATIONAL HEALTHCARE CORP DE 8.01 02/14/07 NATIONAL HOME HEALTH CARE CORP DE 8.01,9.01 02/14/07 NATURAL RESOURCE PARTNERS LP DE 2.02,9.01 02/14/07 NAVIGANT CONSULTING INC DE 2.02,9.01 02/15/07 nCoat, Inc. DE 1.01,2.01,3.02,4.01, 02/02/07 5.03,5.06,9.01 NESS TECHNOLOGIES INC 2.02,5.02,7.01,9.01 02/15/07 NETBANK INC GA 4.01 02/13/07 NETGEAR, INC DE 2.02,9.01 02/15/07 NETWORK CN INC DE 1.01,9.01 02/15/07 NEURO-HITECH PHARMACEUTICALS INC DE 5.02 02/14/04 New Oriental Energy & Chemical Corp. 2.02,9.01 02/15/07 NEWPARK RESOURCES INC DE 8.01,9.01 02/12/07 NEWS CORP 8.01,9.01 02/15/07 NEXEN INC A0 2.02,9.01 02/15/07 NightHawk Radiology Holdings Inc 2.02,9.01 02/15/07 NORD RESOURCES CORP DE 8.01,9.01 02/15/07 NORTHERN BORDER PIPELINE CO TX 2.02,7.01 02/15/07 NORTHWEST NATURAL GAS CO OR 2.02 02/15/07 NOVASTAR FINANCIAL INC MD 7.01,9.01 02/13/07 NOVELL INC DE 5.02 02/13/07 AMEND NVR INC VA 5.02,9.01 02/15/07 NxStage Medical, Inc. DE 2.02,9.01 02/15/07 NYSE Euronext, Inc. DE 8.01,9.01 02/15/07 NYSE Group, Inc. DE 8.01,9.01 02/15/07 OHIO VALLEY BANC CORP OH 8.01 02/09/07 OLYMPIC STEEL INC OH 2.02,9.01 02/15/07 OM GROUP INC DE 5.02,9.01 02/09/07 ON SEMICONDUCTOR CORP DE 5.02 02/12/07 ONEOK INC /NEW/ OK 7.01 02/15/07 ONEOK Partners LP DE 7.01 02/15/07 ONYX PHARMACEUTICALS INC DE 2.02,9.01 02/15/07 OPTI INC CA 8.01,9.01 02/14/07 ORAGENICS INC FL 8.01,9.01 02/13/07 OTELCO INC. AL 2.02,9.01 02/15/07 PACIFIC GAS & ELECTRIC CO CA 7.01,9.01 02/15/07 PACIFIC LAND & COFFEE CORP DE 5.02 02/14/07 PEDIATRIX MEDICAL GROUP INC FL 2.02,8.01,9.01 02/15/07 Peninsula Gaming, LLC DE 1.01 02/05/07 PENN TRAFFIC CO DE 7.01,9.01 02/15/07 PENN VIRGINIA CORP VA 2.02,7.01,9.01 02/14/07 Penn Virginia GP Holdings, L.P. 2.02,7.01,9.01 02/14/07 PENN VIRGINIA RESOURCE PARTNERS L P DE 2.02,7.01,9.01 02/14/07 PENWEST PHARMACEUTICALS CO WA 1.01,5.02,9.01 02/09/07 PEOPLES BANCORP INC OH 5.02,9.01 02/15/07 PERINI CORP MA 2.02 12/31/06 PG&E CORP CA 7.01,9.01 02/15/07 Phinder Technologies Inc FL 8.01,9.01 02/15/07 PINNACLE FOODS GROUP INC DE 1.01,8.01,9.01 02/15/07 PLANETOUT INC DE 2.02,9.01 02/15/07 PLATINUM ENERGY RESOURCES INC DE 1.01,9.01 02/09/07 PLAYTEX PRODUCTS INC DE 2.02,9.01 02/15/07 POGO PRODUCING CO DE 2.02,8.01,9.01 02/15/07 POOL CORP DE 2.02,5.02,7.01,9.01 02/15/07 POOL CORP DE 1.01,2.03,9.01 02/15/07 POSSIS MEDICAL INC MN 7.01,9.01 02/15/07 POWER INTEGRATIONS INC CA 2.02,9.01 02/15/07 POZEN INC /NC 5.02,9.01 02/13/07 PRICE T ROWE GROUP INC MD 8.01,9.01 02/15/07 PRIME RESOURCE INC UT 1.01,9.01 02/15/07 PRIMUS TELECOMMUNICATIONS GROUP INC DE 8.01 02/14/07 PROGINET CORP DE 2.02,9.01 02/15/07 PROQUEST CO DE 2.01,5.02,8.01,9.01 02/09/07 PROSPERO MINERALS CORP. NV 5.02 02/14/07 Puda Coal, Inc. 2.02,9.01 02/15/07 PW EAGLE INC MN 2.02,8.01,9.01 02/15/07 Quest Minerals & Mining Corp UT 3.03,5.03,9.01 02/09/07 QUESTCOR PHARMACEUTICALS INC CA 5.02,9.01 02/09/07 QUIDEL CORP /DE/ DE 2.02,9.01 02/15/07 RADIANT SYSTEMS INC GA 2.02,9.01 02/15/07 RALI Series 2007-QS1 Trust DE 8.01,9.01 02/15/07 AMEND RAMTRON INTERNATIONAL CORP DE 2.02,9.01 12/31/06 RBSGC 2007-A DE 8.01,9.01 01/31/07 REALTY INCOME CORP MD 2.02,9.01 02/14/07 Red Lion Hotels CORP WA 2.02,9.01 02/15/07 REGENCY CENTERS CORP FL 2.03,9.01 02/09/07 REGENCY CENTERS LP FL 2.03,9.01 02/09/07 RELIANCE STEEL & ALUMINUM CO CA 2.02,9.01 02/15/07 Renaissance Acquisition Corp. DE 8.01,9.01 02/14/07 REPUBLIC AIRWAYS HOLDINGS INC DE 2.02,9.01 02/15/07 RIDGEWOOD ELECTRIC POWER TRUST I DE 4.02,9.01 02/09/07 RITE AID CORP DE 8.01 02/15/07 RMD Technologies, Inc. CA 5.02 02/12/07 ROCKFORD CORP AZ 5.02,7.01,9.01 02/12/07 ROCKY MOUNTAIN CHOCOLATE FACTORY INC CO 7.01,9.01 02/15/07 SAKS INC TN 8.01 02/15/07 SCHAWK INC DE 5.02 02/12/07 SEACOAST BANKING CORP OF FLORIDA FL 5.02 01/07/07 SECURITY BANK CORP GA 8.01,9.01 02/15/07 SELIGMAN QUALITY MUNICIPAL FUND INC MD 7.01 02/15/07 SENESCO TECHNOLOGIES INC DE 2.02,9.01 02/15/07 SEPRACOR INC /DE/ DE 8.01 02/14/07 Shire plc 8.01,9.01 02/14/07 SHOE PAVILION INC DE 2.02,9.01 02/15/07 SIGMA ALDRICH CORP DE 2.01,7.01,9.01 02/15/07 SILVERLEAF RESORTS INC 3.01,7.01,9.01 02/15/07 SIMPLETECH INC CA 9.01 02/09/07 AMEND SIRENZA MICRODEVICES INC DE 5.02,8.01,9.01 02/09/07 SMALL BUSINESS CO DE 1.01,3.02,9.01 02/12/07 SMARTIRE SYSTEMS INC 1.01,2.03,3.02,8.01,9.01 02/09/07 SMITH A O CORP DE 1.01,5.02,9.01 02/15/07 SMITHFIELD FOODS INC VA 2.02,8.01,9.01 02/15/07 SONIC SOLUTIONS/CA/ CA 2.02,9.01 02/15/07 SONOSITE INC 2.02,9.01 12/31/06 SONOSITE INC 1.01,9.01 02/13/07 SPARTAN MOTORS INC MI 2.02,9.01 02/15/07 STEPAN CO DE 2.02,9.01 02/13/07 STEREO VISION ENTERTAINMENT INC NV 3.02 02/08/07 STOCKERYALE INC MA 2.02,9.01 02/15/07 STONEPATH GROUP INC DE 1.01,3.02,5.02,7.01,9.01 02/09/07 STRAYER EDUCATION INC MD 2.02,9.01 02/15/07 Structured Adjustable Rate Mortgage L DE 8.01,9.01 01/31/07 Structured Asset Mortgage Investments DE 9.01 01/31/07 STRUCTURED PRODUCTS CORP CORTS TRUST DE 8.01,9.01 02/01/07 STRUCTURED PRODUCTS CORPTIERS PRINC P DE 8.01,9.01 02/01/07 SunOpta Inc. 7.01,9.01 02/13/07 SVB FINANCIAL GROUP 7.01,9.01 02/15/07 Symmetry Medical Inc. DE 1.01,8.01,9.01 02/09/07 TACTICAL AIR DEFENSE SERVICES, INC. NV 5.02,9.01 12/31/06 TALEO CORP DE 2.02,9.01 02/15/07 TALX CORP MO 1.01,5.01,7.01,8.01,9.01 02/14/07 TB WOODS CORP DE 2.02,9.01 02/14/07 TC PIPELINES LP DE 1.01 02/13/07 TEAM FINANCIAL INC /KS KS 2.02,9.01 02/09/07 Technology Holdings, Inc. 5.03,9.01 02/08/07 TEKOIL & GAS CORP DE 1.01,9.01 02/08/07 TENNECO INC DE 7.01,9.01 02/15/07 TheRetirementSolution.com, Inc. UT 5.03 02/14/07 THERMAGE INC DE 2.02,9.01 02/13/07 THESTREET COM DE 2.02,9.01 02/15/07 THORATEC CORP CA 2.02 02/15/07 TRADESTATION GROUP INC FL 2.02,5.02,8.01,9.01 02/15/07 TRANSNET CORP DE 7.01,9.01 02/14/07 TRICO MARINE SERVICES INC DE 2.03,3.02,8.01,9.01 02/01/07 Trinsic, Inc. DE 5.02 02/09/07 TRIZETTO GROUP INC DE 5.02 01/30/07 AMEND TRX INC/GA GA 2.02,9.01 02/15/07 TTM TECHNOLOGIES INC WA 2.02,9.01 02/15/07 TUCOWS INC /PA/ PA 8.01,9.01 02/15/07 UCN INC DE 2.01,3.02,9.01 02/15/07 ULTRALIFE BATTERIES INC DE 2.02,9.01 02/15/07 UNIVERSAL AMERICAN FINANCIAL CORP NY 2.02,7.01 02/15/07 URANIUM RESOURCES INC /DE/ DE 8.01,9.01 02/15/07 US DATAWORKS INC NV 4.02 07/27/06 US DRY CLEANING CORP DE 4.02 02/12/07 VALASSIS COMMUNICATIONS INC DE 8.01,9.01 02/14/07 VALMONT INDUSTRIES INC DE 2.02,9.01 02/14/07 VCAMPUS CORP DE 1.01,2.03,9.01 02/13/07 VCG HOLDING CORP CO 2.01,2.03,8.01,9.01 02/13/07 VeriChip CORP DE 1.01,9.01 02/13/07 VERINT SYSTEMS INC 1.01,9.01 02/11/07 VION PHARMACEUTICALS INC DE 3.02,8.01,9.01 02/13/07 VOLTERRA SEMICONDUCTOR CORP 5.02,9.01 02/13/07 VONAGE HOLDINGS CORP DE 2.02,9.01 02/15/07 WABASH NATIONAL CORP /DE DE 8.01,9.01 02/13/07 WACHOVIA CORP NEW NC 8.01,9.01 02/15/07 WASHINGTON REAL ESTATE INVESTMENT TRU MD 2.02,7.01,9.01 02/15/07 WEIS MARKETS INC PA 9.01 12/30/06 WELLS REAL ESTATE FUND VII L P GA 7.01,9.01 02/14/07 AMEND WHITNEY HOLDING CORP LA 5.02 02/12/07 WIND RIVER SYSTEMS INC DE 5.02 02/15/07 WINSTON HOTELS INC NC 2.02,9.01 02/15/07 WINTHROP RESIDENTIAL ASSOCIATES I MD 1.01 02/15/07 WITNESS SYSTEMS INC DE 1.01,3.01,3.03,5.01,5.02,9.01 02/09/07 WORLD FUEL SERVICES CORP FL 7.01,9.01 02/15/07 WRIGHT MEDICAL GROUP INC DE 2.02,5.02,9.01 02/13/07 WWA GROUP INC NV 2.01,5.02,9.01 12/31/06 XFormity Technologies, Inc. CO 9.01 01/31/07 AMEND ZANETT INC DE 2.02,9.01 02/15/07 ZAP CA 5.02 02/09/07 ZHONGPIN INC. DE 5.03 02/14/07 ZOLTEK COMPANIES INC DE 2.02,9.01 02/09/07