SEC NEWS DIGEST Issue 2007-85 May 3, 2007 ENFORCEMENT PROCEEDINGS INITIAL DECISION IN THE MATTER OF ANTHONY SNELL AND CHARLES LECROY An Administrative Law Judge has issued an Initial Decision in the matter of Anthony C. Snell and Charles E. LeCroy. Respondents Anthony C. Snell and Charles E. LeCroy were members of J.P. Morgan Securities, Inc.'s, public finance group assigned to secure municipal business for the firm in Philadelphia, Pennsylvania, from mid-2001 to the end of 2003. Snell and LeCroy each pleaded guilty in January 2005 to two counts of wire fraud in connection with their scheme to defraud J.P. Morgan Securities, Inc., by submitting a fraudulent invoice of $50,000 to pay Ronald A. White, a Philadelphia lawyer with close ties to senior city officials, for work he did not perform. In June 2005, the U.S. District Court of the Eastern District of Pennsylvania sentenced Snell to ninety days' house arrest and three years' probation, and ordered him to pay a $15,000 fine plus a special assessment. LeCroy was sentenced to three months' incarceration, followed by two years of supervised release, and ordered to pay a $15,000 fine, plus a special assessment. Snell and LeCroy were ordered jointly and severally to pay $50,000 in restitution. On July 7, 2006, the Securities and Exchange Commission issued an Order Instituting Proceedings against Respondents Anthony C. Snell and Charles E. LeCroy. On Oct. 18, 2006, based on their guilty pleas to wire fraud, the Administrative Law Judge granted partial summary disposition to the Division of Enforcement. He issued an order that barred Snell and LeCroy from associating with any broker, dealer, or municipal securities dealer. Anthony C. Snell, 89 SEC Docket 380 (Oct. 18, 2006). A hearing was held in December 2006 on the remaining charge, whether Snell's and LeCroy's conduct also willfully violated Section 15B(c)(1) of the Exchange Act and Rule G-38 of the Municipal Securities Rulemaking Board. Today's Initial Decision dismisses these charges that Respondents willfully violated Section 15B(c)(1) of the Exchange Act and MSRB Rule G-38. (Initial Decision No. 330; File No. 3-12359) SEC OBTAINS EMERGENCY ASSET FREEZE AGAINST FORMER STOCK OPTIONS ADMINISTRATOR IN CONNECTION WITH THEFT OF STOCK OPTIONS On May 2, the Commission announced that it obtained an emergency asset freeze against the former stock options administrator of San Diego- based Wireless Facilities, Inc. (WFI), who was charged with defrauding the company and its shareholders by causing the unauthorized issuance and transfer of over 700,000 shares of WFI stock and stock options to himself and his wife. On May 2, the Honorable John A. Houston, U.S. District Judge for the Southern District of California, entered a temporary restraining order freezing the assets of Vencent A. Donlan (Donlan), age 44, and his wife, Robin D. Colls Donlan (Colls), age 44, both of San Diego, California. The Commission's complaint alleges that Donlan defrauded WFI and its shareholders by abusing his position as WFI's stock options administrator to fraudulently issue and transfer WFI's stock and stock options to an account in his name, in violation of the antifraud provisions of the federal securities laws. The complaint charges Donlan with securities fraud and names Colls as a relief defendant because she received proceeds from the fraud. The Commission's complaint alleges that between November 2002 and November 2003, Donlan abused his position as WFI's stock options administrator to issue and transfer over 700,000 shares of WFI stock and stock options to a brokerage account that he held jointly with his wife, Colls. According to the complaint, Donlan caused these transfers by making false entries in WFI's stock options software to create and then hide the unauthorized stock options grants to Colls and by providing false information to WFI's brokerage firm and transfer agent. Over the thirteen month period of the fraud, Donlan initiated twenty-seven unauthorized transfers of WFI stock and stock options to his and Colls' brokerage account. The complaint further alleges that Donlan and/or Colls exercised the options and sold the stock on the open market, realizing net proceeds of at least $7.7 million. All of these proceeds, according to the complaint, were then transferred or paid to other accounts. Some of the proceeds may also have been used to purchase real estate, including a home in San Diego for $942,000 in cash and property in Julian, Calif., for $655,000 in cash. In addition to freezing several million dollars in personal and real property, the court's order requires an accounting of Donlan's and Colls' assets, provides for expedited discovery, and prohibits them from destroying evidence. The Commission alleges that Donlan's fraudulent scheme violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Commission is seeking against Donlan permanent injunctive relief, disgorgement of the ill- gotten gains with prejudgment interest thereon, and civil monetary penalties. The complaint names Colls as a relief defendant and seeks against her disgorgement with prejudgment interest. [SEC v. VENCENT A. DONLAN, DEFENDANT, AND ROBIN D. COLLS DONLAN, RELIEF DEFENDANT, Civil Action No. 07 CV 793 JAH (LSP) (S.D. Cal.)] (LR-20101) SEC OBTAINS EMERGENCY RELIEF, INCLUDING AN ASSET FREEZE, AGAINST MASSACHUSETTS HEDGE FUND MANAGER Court Freezes at least $13 Million The Commission announced that today the U.S. District Court in Boston will issue a preliminary injunction order that, among other things, continues a freeze on the assets of a Boston-based hedge fund adviser and its principals. On April 12, 2007, the Commission filed an emergency action in the federal district court in Massachusetts against Lydia Capital, LLC, a registered investment adviser based in Boston, Massachusetts, and its two principals, Glenn Manterfield, of Sheffield, England and Evan Andersen, of Boston, Massachusetts. The Commission filed an Amended Complaint against all three defendants on May 1, 2007. The Commission's Amended Complaint alleges that, between June 2006 and April 2007, Manterfield and Andersen, acting through Lydia, engaged in a scheme to defraud more than 60 investors, who invested approximately $34 million in Lydia Capital Alternative Investment Fund LP (Fund), an unregistered hedge fund managed by Lydia. The Amended Complaint alleges that defendants told investors that they intended to use the Fund's assets to acquire a portfolio of life insurance polices in the life settlement market. According to the Amended Complaint, while the Fund did acquire interests in some insurance polices, defendants materially misled investors about their operations and misappropriated at least $2 million of investor funds. According to the Amended Complaint, Manterfield, Andersen, and Lydia sold limited partnership interests and retained investors in the Fund through a series of material misrepresentations and omissions, including but not limited to: (1) materially overstating, and in some instances completing fabricating the Fund's performance; (2) inventing business partners, offices, and investors in an attempt to legitimatize the firm and concealing the truth as to why key vendors and banks ceased relationships with the Defendants; (3) lying about Manterfield's significant criminal history, and failing to disclose a February 2007 criminal asset freeze in England; (4) lying about how the Fund planned to address certain material risks and failing to disclose others; and (5) misstating the nature of the Fund's assets and its investment process. In addition to making serious material misrepresentations and omissions, the Amended Complaint alleges that Manterfield and Andersen misappropriated millions of dollars of investors' funds by withdrawing investor monies to which they were not entitled. On April 12, 2007, in response to the Commission's request for emergency relief, the Court issued a temporary restraining order that, among other things, froze defendants' assets. On May 3, 2007, following a hearing before the Court on May 2, 2007, the Court issued a consented-to preliminary injunction and ordered a continuation of an asset freeze of the defendants' assets. The Commission's Amended Complaint alleges that defendants violated Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder and Sections 206(1) and 206(2) of the Investment Advisers Act of 1940. The Commission acknowledges the assistance of the Securities Division of the Secretary of State of the Commonwealth of Massachusetts, which also filed an action against the parties on April 13, 2007. [SEC v. Lydia Capital, LLC et al., Civil Action No. 07-10712-RGS, USDC, D.Mass.] (LR-20102) INVESTMENT COMPANY ACT RELEASES FORWARD FUNDS, ET AL. An order has been issued on an application filed by Forward Funds, et al. for an exemption from Section 15(a) of the Investment Company Act and Rule 18f-2 under the Act. The order permits the applicants to enter into and materially amend subadvisory agreements without shareholder approval. (Rel. IC-27814 - May 1) HERCULES TECHNOLOGY GROWTH CAPITAL, INC. A notice has been issued giving interested persons until May 22 to request a hearing on an application filed by Hercules Technology Growth Capital, Inc. (HTGC) for an order under Section 6(c) of the Investment Company Act for an exemption from Sections 23(a), 23(b) and 63 of the Act, and under Sections 57(a)(4) and 57(i) of the Act and Rule 17d-1 under the Act authorizing certain joint transactions otherwise prohibited by Section 57(a)(4) of the Act. The order would permit HTGC to issue shares of its restricted common stock as part of the compensation packages for certain of its employees and directors, and certain employees of its wholly-owned consolidated subsidiaries. (Rel. IC-27815 - May 2) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-NYSEArca-2007-35) filed by the NYSE Arca relating to Exchange fees and charges 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 April 30. (Rel. 34-55679) A proposed rule change (SR-BSE-2007-17) filed by the Boston Stock Exchange to extend its $1 strike pilot program for an additional year 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 May 7. (Rel. 34-55684) A proposed rule change filed by the Philadelphia Stock Exchange relating to the quoting obligations in long term options (SR-Phlx- 2007-36) 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 May 7. (Rel. 34-55689) ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission granted accelerated approval to a proposed rule change (SR-Amex-2007-41) submitted by the American Stock Exchange relating to the continuation of a quote assist feature in the ANTE System on a pilot program basis. Publication is expected in the Federal Register during the week of May 7. (Rel. 34-55685) APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change submitted by the Options Clearing Corporation (SR-OCC-2006-21) relating to membership requirements. Publication is expected in the Federal Register during the week of May 7. (Rel. 34-55686) 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 COLONIAL PROPERTIES TRUST, 2101 SIXTH AVE N STE 750, STE 750, BIRMINGHAM, AL, 35203, 205-250-8700 - 0 ($249,300,000.00) Equity, (File 333-142537 - May. 2) (BR. 08A) SB-2 NESCO INDUSTRIES INC, 305 MADISON AVENUE, SUITE 4510, NEW YORK, NY, 10165, 212-986-0886 - 19,929,181 ($23,915,024.40) Equity, (File 333-142538 - May. 2) (BR. 06A) S-3ASR ISTAR FINANCIAL INC, 1114 AVENUE OF THE AMERICAS 27TH FLOOR, NEW YORK, NY, 10036, 2129309494 - 0 ($0.00) Other, (File 333-142539 - May. 2) (BR. 08B) S-8 Eastern Environment Solutions Corp., HARBIN DONGDAZHI STREET 165,, HARBIN,, F4, 150001, 3154511515 - 2,000,000 ($3,550,000.00) Equity, (File 333-142541 - May. 2) (BR. 11A) S-8 NextWave Wireless Inc., 12670 HIGH BLUFF DRIVE, SAN DIEGO, CA, 92130, 858 480-3100 - 1 ($1.00) Equity, (File 333-142542 - May. 2) (BR. 11A) S-1 ABINGTON BANCORP, INC./PA, 180 OLD YORK ROAD, JENKINTOWN, PA, 19046, (215) 886-8280 - 36,245,920 ($362,459,200.00) Equity, (File 333-142543 - May. 2) (BR. 07) S-4 MEDIACOM BROADBAND LLC, C/O MEDIACOM COMMUNICATIONS CORP, 100 CRYSTAL RUN ROAD, MIDDLETOWN, NY, 10941, 8456952600 - 0 ($300,000,000.00) Non-Convertible Debt, (File 333-142544 - May. 2) (BR. 11B) S-8 RENHUANG PHARMACEUTICALS INC, NO. 281, TAIPING ROAD, TAIPING DISTRICT, HARBIN, HEILONGJIANG PROVINCE,, PEOPLES REPUBLIC OF, F4, 150050, 86-451-5762-0378 - 200,000 ($610,000.00) Equity, (File 333-142545 - May. 2) (BR. 01C) S-4 Nielsen Finance LLC, 770 BROADWAY, NEW YORK, NY, 10003, 646-654-5000 - 0 ($2,377,218,300.00) Non-Convertible Debt, (File 333-142546 - May. 2) (BR. 08) S-8 Ocean Power Technologies, Inc., 1590 REED ROAD, PENNINGTON, NJ, 08534, 609-730-0400 - 0 ($34,193,185.00) Equity, (File 333-142547 - May. 2) (BR. 02B) S-8 ANDREA ELECTRONICS CORP, 65 ORVILLE DRIVE, BOHEMIA, NY, 11716, (631) 719-1800 - 10,000,000 ($1,600,000.00) Equity, (File 333-142548 - May. 2) (BR. 11C) S-8 VERIZON COMMUNICATIONS INC, 140 WEST STREET, 29TH FLOOR, NEW YORK, NY, 10007, 212-395-1000 - 0 ($489,580,000.00) Equity, (File 333-142549 - May. 2) (BR. 11B) S-3ASR CATERPILLAR FINANCIAL SERVICES CORP, 2120 WEST END AVE, NASHVILLE, TN, 37203, 6153411000 - 0 ($0.00) Non-Convertible Debt, (File 333-142550 - May. 2) (BR. 11A) S-8 CENTILLIUM COMMUNICATIONS INC, 215 FOURIER AVENUE, FREMONT, CA, 94539, 5107713700 - 2,868,838 ($5,435,121.53) Equity, (File 333-142552 - May. 2) (BR. 11C) SB-2 Harvard Holdings International, Inc., 7453 WOODRUFF WAY, STONE MOUNTAIN, GA, 30087, 352-361-1659 - 5,000,000 ($2,500,000.00) Equity, (File 333-142553 - May. 2) (BR. 05) S-8 PEPSI BOTTLING GROUP INC, ONE PEPSI WAY, SOMERS, NY, 10589-2201, 9147676000 - 0 ($3,294,000.00) Equity, (File 333-142554 - May. 2) (BR. 02B) SB-2 HEALTH BENEFITS DIRECT CORP, 5 RADNOR CORPORATE CENTER, SUITE 555, RADNOR, PA, 19087, 610-971-6197 - 0 ($19,740,000.00) Equity, (File 333-142556 - May. 2) (BR. 01C) S-8 EL PASO ELECTRIC CO /TX/, 303 N OREGON ST, EL PASO, TX, 79901, 9155435711 - 0 ($26,680,000.00) Equity, (File 333-142557 - May. 2) (BR. 02C) S-3 FIRST COMMUNITY BANCSHARES INC /NV/, PO BOX 989, BLUEFIELD, VA, 26406-0989, 3044879000 - 0 ($2,900,000.00) Equity, (File 333-142558 - May. 2) (BR. 07C) S-8 ALLEGHENY TECHNOLOGIES INC, 1000 SIX PPG PLACE, PITTSBURGH, PA, 15222, 4123942800 - 1,077,889 ($116,072,476.97) Equity, (File 333-142559 - May. 2) (BR. 06A) S-8 CBEYOND, INC., 320 INTERSTATE NORTH PARKWAY SE, SUITE 300, ATLANTA, GA, 30339, 678-424-2400 - 0 ($29,419,497.00) Equity, (File 333-142562 - May. 2) (BR. 11C) S-4 ADVANCED MEDICAL OPTICS INC, 1700 E. ST. ANDREW PL., SANTA ANA, CA, 92705, 714-247-8200 - 0 ($250,000,000.00) Non-Convertible Debt, (File 333-142563 - May. 2) (BR. 10A) S-3 GTC BIOTHERAPEUTICS INC, 175 CROSSING BLVD, FRAMINGHAM, MA, 01701, 508620-970 - 0 ($60,000,000.00) Equity, (File 333-142564 - May. 2) (BR. 01A) S-1 CEL SCI CORP, 8229 BOONE BLVD ., SUITE 802, VIENNA, VA, 22182, 7035069460 - 0 ($37,806,267.00) Equity, (File 333-142565 - May. 2) (BR. 01A) S-3 GTC BIOTHERAPEUTICS INC, 175 CROSSING BLVD, FRAMINGHAM, MA, 01701, 508620-970 - 278,370 ($328,476.60) Equity, (File 333-142566 - May. 2) (BR. 01A) S-3ASR PHARMION CORP, 2525 28TH STREET, BOULDER, CO, 80301, 720 564 9100 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-142567 - May. 2) (BR. 01B) S-4 PXRE GROUP LTD, PXRE HOUSE, 110 PITTS BAY ROAD, PEMBROKE, D0, HM 08, 4412965858 - 0 ($1,206,155,277.69) Equity, (File 333-142568 - May. 2) (BR. 01B) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: 1.01 Entry into a Material Definitive Agreement 1.02 Termination of a Material Definitive Agreement 1.03 Bankruptcy or Receivership 2.01 Completion of Acquisition or Disposition of Assets 2.02 Results of Operations and Financial Condition 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant 2.04 Triggering Events That Accelerate or Increase a Direct Financial Obligation under an Off-Balance Sheet Arrangement 2.05 Cost Associated with Exit or Disposal Activities 2.06 Material Impairments 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 3.02 Unregistered Sales of Equity Securities 3.03 Material Modifications to Rights of Security Holders 4.01 Changes in Registrant's Certifying Accountant 4.02 Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review 5.01 Changes in Control of Registrant 5.02 Departure of Directors or Principal Officers; Election of Directors; Appointment of Principal Officers 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year 5.04 Temporary Suspension of Trading Under Registrant's Employee Benefit Plans 5.05 Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics 6.01. ABS Informational and Computational Material. 6.02. Change of Servicer or Trustee. 6.03. Change in Credit Enhancement or Other External Support. 6.04. Failure to Make a Required Distribution. 6.05. Securities Act Updating Disclosure. 7.01 Regulation FD Disclosure 8.01 Other Events 9.01 Financial Statements and Exhibits 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. 20549-1090 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT ------------------------------------------------------------------------------------------------------- ABX AIR INC 1.01,2.03 04/25/07 ABX AIR INC 8.01,9.01 05/01/07 ACCO BRANDS CORP DE 2.02,9.01 05/02/07 ACE Securities Corp. Home Equity Loan DE 6.01,8.01,9.01 04/30/07 ACME PACKET INC DE 2.02,9.01 05/02/07 ACORDA THERAPEUTICS INC 8.01,9.01 05/02/07 Adjustable Rate Mortgage Trust 2007-1 DE 8.01,9.01 02/28/07 AMEND ADVANCED MEDICAL OPTICS INC DE 8.01,9.01 04/02/07 ADVANTA CORP DE 8.01 04/27/07 AEROSONIC CORP /DE/ DE 2.02,9.01 05/01/07 AETNA INC /PA/ PA 5.03 04/27/07 AFFILIATED COMPUTER SERVICES INC DE 5.02,9.01 04/30/07 AFFYMETRIX INC DE 5.02 04/26/07 AGCO CORP /DE DE 2.02,9.01 05/02/07 AGL RESOURCES INC GA 2.02,9.01 05/02/07 ALABAMA POWER CO AL 3.02 05/01/07 ALBANY MOLECULAR RESEARCH INC DE 5.02,9.01 04/30/07 ALDILA INC DE 2.02,7.01,9.01 05/02/07 ALEXION PHARMACEUTICALS INC DE 2.02,9.01 05/01/07 ALFA CORP DE 2.02,9.01 05/02/07 ALKERMES INC PA 1.01,8.01,9.01 04/26/07 Allegiant Travel CO NV 2.02,9.01 05/01/07 ALLERGAN INC DE 2.02,8.01,9.01 05/02/07 Allied Nevada Gold Corp DE 8.01 04/30/07 Allis Chalmers Energy Inc. DE 1.01,2.03 04/26/07 ALONG MOBILE TECHNOLOGIES INC NV 1.01 04/30/07 AMBASSADORS GROUP INC DE 5.02 05/02/07 AMEDISYS INC DE 7.01,9.01 05/01/07 AMERICAN BANK NOTE HOLOGRAPHICS INC DE 8.01,9.01 05/01/07 AMERICAN CAPITAL STRATEGIES LTD 2.02,9.01 05/01/07 AMERICAN FINANCIAL REALTY TRUST 5.02 04/30/07 AMERICAN FINANCIAL REALTY TRUST 5.02 04/30/07 American Natural Energy Corp OK 7.01,9.01 05/01/07 AMERICAN PHYSICIANS CAPITAL INC MI 5.02,9.01 05/01/07 American Reprographics CO DE 1.01,5.02,8.01,9.01 04/27/07 AMERICAN SPECTRUM REALTY INC MD 8.01,9.01 05/01/07 American Telecom Services Inc 8.01,9.01 05/01/07 American Telecom Services Inc 8.01,9.01 05/02/07 AMERICHIP INTERNATIONAL INC 5.03 04/25/07 AMEXDRUG CORP CA 4.01,9.01 04/30/07 Animal Health International, Inc. DE 2.02,9.01 05/02/07 ANNAPOLIS BANCORP INC MD 2.02,9.01 05/02/07 APPLIANCE RECYCLING CENTERS OF AMERIC MN 1.01,9.01 04/30/07 AQUA AMERICA INC PA 2.02,9.01 05/02/07 Argyle Security Acquisition CORP 8.01 05/02/07 ARIAD PHARMACEUTICALS INC DE 5.02 04/27/07 ARRAY BIOPHARMA INC DE 1.01,8.01,9.01 05/01/07 ARTESIAN RESOURCES CORP DE 8.01 05/01/07 ARVINMERITOR INC IN 2.05 05/01/07 ARVINMERITOR INC IN 2.02,9.01 05/01/07 AMEND ASAP SHOW, INC. NV 4.01,9.01 04/13/07 AMEND ASHFORD HOSPITALITY TRUST INC MD 2.02,9.01 05/02/07 ASPEN INSURANCE HOLDINGS LTD D0 2.02,7.01,9.01 05/02/07 Aspreva Pharmaceuticals CORP A1 2.02,9.01 05/02/07 ASSURANT INC 2.02 05/02/07 ATARI INC DE 1.01,5.02,9.01 05/01/07 ATLANTIC EXPRESS TRANSPORTATION CORP NY 7.01,8.01,9.01 05/01/07 Atlin Mineral Exploration Corp. NV 1.01,7.01,9.01 05/01/07 ATMOS ENERGY CORP TX 2.02,5.03,8.01,9.01 05/02/07 ATSI COMMUNICATIONS INC/DE NV 8.01,9.01 05/02/07 AUXILIUM PHARMACEUTICALS INC 7.01,9.01 05/02/07 AVENTINE RENEWABLE ENERGY HOLDINGS IN 2.02,9.01 05/01/07 AVEROX INC. NV 5.02,9.01 04/26/06 AVIS BUDGET GROUP, INC. DE 2.02,9.01 05/02/07 AVOCENT CORP DE 5.02,9.01 04/27/07 AXCELIS TECHNOLOGIES INC DE 2.02,9.01 05/02/07 AXT INC DE 2.02,9.01 05/02/07 Bank of Commerce Holdings CA 8.01,9.01 05/02/07 BankFinancial CORP 7.01,9.01 05/01/07 BANKRATE INC FL 2.02,9.01 05/02/07 BARE ESCENTUALS INC DE 2.02,9.01 05/02/07 BAXTER INTERNATIONAL INC DE 5.02,9.01 05/01/07 Bayview Financial Mortgage Pass-Throu DE 8.01,9.01 04/18/07 BEASLEY BROADCAST GROUP INC DE 2.02,9.01 05/02/07 BECKMAN COULTER INC DE 5.02,9.01 04/27/07 BECKMAN COULTER INC DE 2.02,9.01 05/02/07 BECKMAN COULTER INC DE 1.01,9.01 05/01/07 BERRY PETROLEUM CO DE 2.02,9.01 05/02/07 BIO IMAGING TECHNOLOGIES INC DE 2.02,9.01 05/02/07 BIOGEN IDEC INC. DE 2.02,9.01 05/02/07 BIOMERICA INC DE 2.04 05/01/07 BIOSITE INC DE 1.01,9.01 05/01/07 BLACKBOARD INC DE 2.02,9.01 05/02/07 BLOCKBUSTER INC DE 2.02,9.01 05/02/07 BLUE HOLDINGS, INC. NV 1.01,9.01 04/27/07 BLYTH INC DE 1.01 04/27/07 BofI Holding, Inc. DE 2.02,9.01 05/02/07 BOWNE & CO INC DE 8.01 05/02/07 BRANDYWINE OPERATING PARTNERSHIP LP / DE 2.02,9.01 05/01/07 BRANDYWINE REALTY TRUST MD 2.02,9.01 05/01/07 BRAVO! BRANDS INC. DE 3.02,5.01,8.01,9.01 04/27/07 BRE PROPERTIES INC /MD/ MD 2.02,8.01,9.01 05/01/07 BRIDGE BANCORP INC NY 5.02 04/27/07 BRIGHAM EXPLORATION CO DE 2.02,7.01 05/01/07 BRINKS CO VA 2.02,9.01 05/02/07 BROWN FORMAN CORP DE 1.01,1.02,2.03,9.01 04/30/07 BSD MEDICAL CORP DE 7.01,9.01 05/02/07 BSD MEDICAL CORP DE 5.02,9.01 05/01/07 BUCYRUS INTERNATIONAL INC DE 1.01,2.03 04/27/07 CABLEVISION SYSTEMS CORP /NY DE 1.01,9.01 05/02/07 CABLEVISION SYSTEMS CORP /NY DE 5.02 05/01/07 CABLEVISION SYSTEMS CORP /NY DE 1.01,9.01 04/30/07 CAL MAINE FOODS INC DE 8.01 04/30/07 CAM COMMERCE SOLUTIONS INC DE 2.02,9.01 05/02/07 CAMBREX CORP DE 5.03,9.01 04/26/07 CAPITALSOURCE INC DE 2.02 05/01/07 CAPITOL BANCORP LTD MI 5.02 04/25/07 CAPITOL BANCORP LTD MI 5.02 04/26/07 AMEND CAVCO INDUSTRIES INC DE 2.02,9.01 05/02/07 CB RICHARD ELLIS GROUP INC DE 2.02,9.01 05/01/07 CBRL GROUP INC TN 1.01,2.03,2.04,3.02,7.01,9.01 04/26/07 CEC ENTERTAINMENT INC KS 2.02,9.01 04/01/07 CELL THERAPEUTICS INC WA 2.02,9.01 05/02/07 CENTILLIUM COMMUNICATIONS INC DE 1.01 04/27/07 CENTRAL VIRGINIA BANKSHARES INC VA 2.02,9.01 04/30/07 CHADMOORE WIRELESS GROUP INC CO 8.01 04/26/07 CHEETAH OIL & GAS LTD. NV 5.03,9.01 04/24/07 CHESAPEAKE ENERGY CORP OK 7.01,9.01 04/30/07 CHESAPEAKE ENERGY CORP OK 5.03,9.01 04/30/07 CHESAPEAKE UTILITIES CORP DE 2.02,9.01 05/01/07 CHICAGO BRIDGE & IRON CO N V 2.02,9.01 05/01/07 Chino Commercial Bancorp CA 8.01 04/30/07 CHL Mortgage Pass-Through Trust 2007- DE 9.01 04/30/07 CHURCHILL DOWNS INC KY 1.01,2.03,9.01 05/02/07 CIGNA CORP DE 2.02 05/02/07 CIMAREX ENERGY CO DE 1.01,2.03,9.01 05/01/07 CINCINNATI FINANCIAL CORP OH 2.02,9.01 05/02/07 CIT GROUP INC DE 8.01,9.01 05/01/07 CITIZENS COMMUNICATIONS CO DE 2.02,9.01 03/31/07 CIVITAS BANKGROUP INC TN 2.02,7.01,9.01 05/02/07 CLECO CORP LA 2.02,9.01 03/31/07 CLOROX CO /DE/ DE 2.02,9.01 05/02/07 CMS Bancorp, Inc. DE 2.02 05/02/07 COAST FINANCIAL HOLDINGS INC 2.02,7.01,9.01 05/02/07 Cobalis Corp NV 8.01 04/23/07 COGNIZANT TECHNOLOGY SOLUTIONS CORP 2.02,9.01 05/02/07 COLE KENNETH PRODUCTIONS INC NY 2.02,9.01 05/02/07 COLLAGENEX PHARMACEUTICALS INC DE 2.02,9.01 05/02/07 COLLEGIATE PACIFIC INC DE 7.01,9.01 05/02/07 COLUMBIA BANKING SYSTEM INC WA 5.02,9.01 04/26/07 COMARCO INC CA 2.02,9.01 04/30/07 COMPOSITE TECHNOLOGY CORP NV 7.01,9.01 05/02/07 COMPX INTERNATIONAL INC DE 2.02,7.01,9.01 05/02/07 CONCUR TECHNOLOGIES INC WA 2.02,9.01 05/02/07 CONSTELLATION BRANDS, INC. DE 5.02,9.01 04/27/07 CONTINENTAL AIRLINES INC /DE/ DE 8.01,9.01 05/01/07 COOPER TIRE & RUBBER CO DE 2.02,9.01 05/02/07 CORPORATE OFFICE PROPERTIES TRUST MD 2.02,9.01 05/02/07 CRAWFORD & CO GA 2.02,9.01 05/02/07 CREDO PETROLEUM CORP CO 7.01,9.01 04/30/07 CRM Holdings, Ltd. 2.02,9.01 05/02/07 CROSS A T CO RI 2.02 05/01/07 CROWN CASTLE INTERNATIONAL CORP DE 2.02,9.01 05/02/07 CURIS INC DE 2.02,9.01 05/02/07 CWABS Asset-Backed Certificates Trust DE 8.01,9.01 02/28/07 CYPRESS SEMICONDUCTOR CORP /DE/ DE 8.01 04/30/07 AMEND Dairy Fresh Farms Inc. 4.01,9.01 05/01/07 DATASCOPE CORP DE 2.02,9.01 05/01/07 DAWSON GEOPHYSICAL CO TX 2.02,9.01 05/02/07 DAYTON SUPERIOR CORP DE 2.02,9.01 05/02/07 DCI USA, INC DE 5.02 05/02/07 DCP Midstream Partners, LP DE 5.02,9.01 04/30/07 DELTA AIR LINES INC /DE/ DE 5.02 04/30/07 DELTA AIR LINES INC /DE/ DE 7.01,9.01 05/02/07 DELTA MUTUAL INC 2.03,9.01 04/30/07 DELTA PETROLEUM CORP/CO CO 5.02,9.01 04/30/07 DESERT MINING INC NV 1.02 05/01/07 DIAMOND HILL INVESTMENT GROUP INC OH 8.01 05/02/07 DiamondRock Hospitality Co 2.02,9.01 05/02/07 DIGITAL RECORDERS INC NC 7.01,9.01 05/02/07 DIGITAL RECORDERS INC NC 1.01,2.01,2.03 04/30/07 DigitalFX International Inc FL 9.01 06/15/06 AMEND DIONEX CORP /DE CA 2.02,9.01 05/02/07 Dolby Laboratories, Inc. DE 2.02,9.01 05/02/07 DOLLAR FINANCIAL CORP DE 5.02,9.01 04/30/07 DOMINION RESOURCES INC /VA/ VA 2.02,9.01 05/02/07 DOMINOS PIZZA INC 2.02,9.01 05/02/07 Double-Take Software, Inc. DE 7.01,9.01 05/02/07 DRIL-QUIP INC DE 2.02,9.01 05/01/07 DTE ENERGY CO MI 2.02,9.01 05/02/07 DUKE REALTY CORP IN 2.02,9.01 04/26/07 DUKE REALTY LIMITED PARTNERSHIP/ IN 2.02,9.01 04/26/07 DUNE ENERGY INC DE 8.01,9.01 05/01/07 DUQUESNE LIGHT HOLDINGS INC PA 1.01 04/26/07 DYAX CORP DE 1.01,9.01 04/26/07 DYNAVAX TECHNOLOGIES CORP DE 2.02,2.03,9.01 05/02/07 DYNEGY INC. DE 9.01 04/02/07 AMEND EASTMAN KODAK CO NJ 2.05 04/26/07 EAU TECHNOLOGIES, INC. DE 1.01,2.03 04/26/07 ECLIPSYS CORP DE 8.01 05/02/07 ECLIPSYS CORP DE 2.02,9.01 05/02/07 EDISON INTERNATIONAL CA 5.02,9.01 04/26/07 Education Realty Trust, Inc. MD 2.02,7.01,9.01 05/01/07 EDWARDS A G INC DE 8.01 05/02/07 EL PASO ELECTRIC CO /TX/ TX 5.02,9.01 05/02/07 ELECTRONIC SYSTEMS TECHNOLOGY INC WA 8.01,9.01 05/01/07 EMC INSURANCE GROUP INC IA 2.02,7.01,9.01 05/02/07 EMERITUS CORP\WA\ WA 8.01,9.01 05/01/07 EMS TECHNOLOGIES INC GA 2.02,9.01 05/02/07 ENCORE WIRE CORP /DE/ DE 7.01,9.01 05/01/07 ENDOLOGIX INC /DE/ DE 2.02,9.01 04/26/07 ENERGY WEST INC MT 7.01,9.01 05/02/07 EnerJex Resources, Inc. NV 1.01,8.01,9.01 04/18/07 ENZON PHARMACEUTICALS INC DE 2.02,9.01 05/02/07 EPIX Pharmaceuticals, Inc. 5.02,7.01,9.01 04/27/07 EQUITY ONE, INC. 2.02,7.01,9.01 05/01/07 EQUITY RESIDENTIAL MD 2.02,9.01 05/01/07 ERIE INDEMNITY CO PA 2.02,9.01 05/02/07 ESPEED INC DE 5.02 05/01/07 ESSEX PROPERTY TRUST INC MD 2.02,9.01 03/30/07 ev3 Inc. DE 7.01 04/24/07 EVANS BANCORP INC NY 5.02,9.01 04/26/07 EXTREME NETWORKS INC DE 2.02,9.01 04/26/07 Federal Home Loan Bank of Chicago X1 7.01 05/01/07 FEDERAL NATIONAL MORTGAGE ASSOCIATION 2.02,7.01,9.01 05/02/07 FEDERAL REALTY INVESTMENT TRUST MD 2.02,9.01 05/02/07 FEDERAL REALTY INVESTMENT TRUST MD 5.02 05/02/06 FERRO CORP OH 1.01,5.02,7.01 04/26/07 FIRST CENTURY BANKSHARES INC WV 2.02,9.01 05/02/07 FIRST COMMUNITY BANCSHARES INC /NV/ NV 7.01 05/02/07 FIRST COMMUNITY BANCSHARES INC /NV/ NV 7.01 05/02/07 AMEND FIRST INDUSTRIAL REALTY TRUST INC MD 5.02 05/01/07 FIRST NIAGARA FINANCIAL GROUP INC DE 5.02,9.01 04/27/07 FISHER COMMUNICATIONS INC WA 2.02,5.03,9.01 04/26/07 FLANDERS CORP NC 2.02 03/31/07 FLORIDA ROCK INDUSTRIES INC FL 2.02,7.01,8.01 05/02/07 FLOW INTERNATIONAL CORP WA 8.01,9.01 05/01/07 FOREST OIL CORP NY 7.01,9.01 05/01/07 Foundation Coal Holdings, Inc. DE 2.02,9.01 05/02/07 FPIC INSURANCE GROUP INC FL 2.02,9.01 05/02/07 FTI CONSULTING INC MD 2.02,7.01,9.01 05/01/07 FURNITURE BRANDS INTERNATIONAL INC DE 8.01,9.01 05/01/07 GARMIN LTD 2.02,9.01 05/02/07 GASCO ENERGY INC NV 2.02,9.01 05/02/07 GEHL CO WI 5.02 04/27/07 GELSTAT CORP MN 5.02 04/27/07 GEN PROBE INC DE 1.01,5.02,9.01 04/27/07 GENCO SHIPPING & TRADING LTD 2.02,9.01 05/02/07 GENE LOGIC INC DE 5.02 05/02/07 GENERAL MARITIME CORP/ 7.01 05/02/07 GENESIS HEALTHCARE CORP PA 1.01,8.01,9.01 05/01/07 GENESIS MICROCHIP INC /DE DE 2.02,9.01 05/02/07 GENIUS PRODUCTS INC DE 3.01 04/26/07 GEORGIA GULF CORP /DE/ DE 8.01 05/02/07 GETTY REALTY CORP /MD/ MD 2.02,9.01 05/01/07 GFI Group Inc. DE 2.02,9.01 05/02/07 GFI Group Inc. DE 5.02,9.01 04/30/07 GLADSTONE CAPITAL CORP MD 2.02,9.01 05/02/07 GLASSMASTER CO SC 1.01,1.03,2.06,3.01,5.02 05/01/07 GLOBAL ENERGY INC NV 1.01,1.02,3.02,5.02,9.01 04/30/07 GLOBAL ENERGY INC NV 5.02 04/30/07 GLOBAL IT HOLDINGS INC NV 5.02 04/20/07 GLOBAL IT HOLDINGS INC NV 5.02,9.01 04/26/07 GLOBALSANTAFE CORP 7.01,9.01 05/02/07 GLU MOBILE INC 2.02,9.01 05/02/07 GMAC LLC DE 2.02,9.01 05/02/07 GMACM Home Equity Loan Trust 2007-HE1 DE 8.01,9.01 05/02/07 GREAT PLAINS ENERGY INC MO 2.02,9.01 03/31/07 HAEMONETICS CORP MA 2.02,9.01 03/31/07 Harris Stratex Networks, Inc. DE 7.01 05/01/07 Harry & David Operations Corp. 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DE 8.01,9.01 04/27/07 Oritani Financial Corp. 2.02,9.01 04/30/07 ORTHOVITA INC 5.02,9.01 04/30/07 OSI PHARMACEUTICALS INC DE 2.02,8.01,9.01 04/26/07 OURPETS CO CO 2.02,9.01 04/30/07 OWENS & MINOR INC/VA/ VA 5.02,5.03,9.01 04/26/07 Owens Corning DE 2.02,9.01 05/02/07 P F CHANGS CHINA BISTRO INC 5.02,5.03,9.01 04/26/07 PACIFIC ENTERPRISES INC CA 2.02,9.01 05/02/07 PACIFICHEALTH LABORATORIES INC DE 2.02 05/02/07 PAIN THERAPEUTICS INC DE 2.02,9.01 05/02/07 PANACOS PHARMACEUTICALS, INC. DE 2.02,8.01,9.01 05/02/07 PANERA BREAD CO DE 7.01,9.01 05/02/07 PARKERVISION INC FL 1.01,9.01 05/02/07 Patient Safety Technologies, Inc DE 1.01,8.01,9.01 04/26/07 PATRIOT TRANSPORTATION HOLDING INC FL 2.02,9.01 05/01/07 PAVILION BANCORP INC 2.02,9.01 04/30/07 PDL BIOPHARMA, INC. DE 5.03,9.01 04/27/07 PECO II INC OH 7.01 04/30/07 PEOPLES FINANCIAL SERVICES CORP/ PA 5.02 05/01/07 PEPSICO INC NC 7.01,9.01 05/02/07 PERFORMANCE TECHNOLOGIES INC \DE\ DE 2.02 03/31/07 PETER KIEWIT SONS INC /DE/ DE 8.01 05/01/07 PGT, Inc. DE 2.02,9.01 05/02/07 PHARMACOPEIA DRUG DISCOVERY INC DE 1.01,8.01,9.01 05/01/07 PHOTONIC PRODUCTS GROUP INC NJ 8.01 04/30/07 Pinpoint Advance CORP 8.01,9.01 05/02/07 PLAINS ALL AMERICAN PIPELINE LP DE 9.01 12/31/06 PLAINS ALL AMERICAN PIPELINE LP DE 2.02,7.01,9.01 05/02/07 PLANTRONICS INC /CA/ DE 5.02,9.01 04/26/07 PLATO LEARNING INC DE 5.02 04/26/07 POPE & TALBOT INC /DE/ DE 5.02 04/30/07 POZEN INC /NC 2.02,9.01 05/02/07 PREMIERWEST BANCORP OR 8.01,9.01 05/02/07 PROGRESS SOFTWARE CORP /MA MA 1.01,5.02,9.01 04/26/07 PROGRESS SOFTWARE CORP /MA MA 5.02,7.01,9.01 03/07/07 AMEND PRUDENTIAL FINANCIAL INC NJ 2.02,7.01,9.01 05/02/07 PUBLIC STORAGE INC /CA CA 8.01 05/01/07 PUBLIX SUPER MARKETS INC FL 2.02,9.01 05/01/07 PW EAGLE INC MN 2.02,9.01 03/31/07 QI SYSTEMS INC 3.02,9.01 04/30/07 QUAKER CHEMICAL CORP PA 2.02,9.01 05/01/07 QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 1.03 04/26/07 QUESTAR CORP UT 7.01 05/01/07 RathGibson Inc DE 8.01,9.01 04/28/07 RBC LIFE SCIENCES, INC. DE 2.02,9.01 04/30/07 REALNETWORKS INC WA 2.02,9.01 05/02/07 REGAL BELOIT CORP WI 1.01,2.03,9.01 04/30/07 RELIV INTERNATIONAL INC DE 2.02,9.01 05/02/07 RENAISSANCERE HOLDINGS LTD 2.02,9.01 05/01/07 ReoStar Energy CORP NV 4.01,9.01 04/30/07 REPUBLIC SERVICES INC DE 1.01,2.03,9.01 04/26/07 RESIDENTIAL CAPITAL, LLC DE 2.02,9.01 05/02/07 RESOURCE AMERICA INC DE 2.02,9.01 03/31/07 RICHARDSON ELECTRONICS LTD/DE DE 1.01,5.02,9.01 03/05/07 Rockville Financial Inc. 5.02,8.01 04/30/07 ROGERS CORP MA 7.01,9.01 04/26/07 ROWAN COMPANIES INC DE 2.02,9.01 05/02/07 RYERSON INC. DE 2.02,9.01 05/02/07 SALTON INC DE 1.01,1.02,5.02,9.01 04/30/07 SAMOYED ENERGY CORP 2.01,9.01 04/23/07 SAN DIEGO GAS & ELECTRIC CO CA 2.02,9.01 05/02/07 SANDERSON FARMS INC MS 1.01,2.03,9.01 04/27/07 SAUER DANFOSS INC DE 2.02,9.01 05/02/07 SCOTTS LIQUID GOLD INC CO 7.01 05/01/07 SEABOARD CORP /DE/ DE 2.02,9.01 05/02/07 SEARS HOLDINGS CORP DE 5.02 04/26/07 SEMPRA ENERGY CA 2.02,9.01 05/02/07 Sensata Technologies B.V. P7 2.02,9.01 05/02/07 SEQUA CORP /DE/ DE 5.02,8.01,9.01 05/02/07 SHENANDOAH TELECOMMUNICATIONS CO/VA/ VA 7.01,9.01 05/01/07 Shire plc 8.01,9.01 05/02/07 SI INTERNATIONAL INC DE 2.02,9.01 05/01/07 SIGMATEL INC DE 4.01,9.01 05/01/07 SINCLAIR BROADCAST GROUP INC MD 2.02,9.01 05/02/07 SIRENZA MICRODEVICES INC DE 2.02,7.01,9.01 05/02/07 SKYWEST INC UT 2.02,9.01 05/02/07 SMART Modular Technologies (WWH), Inc 1.01,2.03 04/30/07 SMITH MICRO SOFTWARE INC DE 2.02,9.01 05/02/07 SOUTH SHORE RESOURCES INC. 7.01,9.01 05/02/07 SOUTHERN CALIFORNIA EDISON CO CA 5.02,9.01 04/26/07 SOUTHERN CONNECTICUT BANCORP INC CT 5.02 04/27/07 SOUTHWALL TECHNOLOGIES INC /DE/ DE 5.02 05/01/07 SOVRAN SELF STORAGE INC MD 2.02,9.01 05/02/07 SPECTRUM PHARMACEUTICALS INC DE 2.02,9.01 05/02/07 SPIRIT FINANCE CORP 2.03 04/27/07 SPRINT NEXTEL CORP KS 2.02,9.01 05/02/07 SPRINT NEXTEL CORP KS 2.02,9.01 05/02/07 AMEND SPX CORP DE 2.02,9.01 05/02/07 SRA INTERNATIONAL INC DE 2.02,9.01 05/02/07 STEPAN CO DE 8.01,9.01 05/01/07 STEVEN MADDEN, LTD. DE 2.02,9.01 05/01/07 STONE ENERGY CORP DE 8.01 04/28/07 STRATEGIC HOTELS & RESORTS, INC 2.02,9.01 05/02/07 Summit Global Logistics, Inc. DE 5.02,9.01 04/29/07 SUN HEALTHCARE GROUP INC DE 2.02,9.01 05/02/07 SUN HYDRAULICS CORP FL 8.01,9.01 04/29/07 SUNCOM WIRELESS HOLDINGS, INC. 1.01,9.01 04/27/07 SUNCOM WIRELESS INC 1.01,9.01 04/27/07 SunTrust Acquisition Closed-End Secon DE 6.01,8.01,9.01 04/30/07 Super Micro Computer, Inc. CA 5.02 04/26/07 SUPERGEN INC DE 2.02,9.01 05/02/07 SUPERIOR ESSEX INC DE 7.01,9.01 04/27/07 SUPERIOR ESSEX INC DE 7.01,9.01 05/02/07 SUPERIOR UNIFORM GROUP INC FL 2.02,9.01 05/01/07 SVB FINANCIAL GROUP 5.02,9.01 04/26/07 SVB FINANCIAL GROUP 5.02,9.01 04/17/07 AMEND Switch & Data Facilities Company, Inc DE 1.01,9.01 04/26/07 SYMANTEC CORP DE 2.02,9.01 05/02/07 SYMMETRICOM INC DE 2.02,9.01 05/02/07 Syngas International Corp. NV 1.01 04/26/07 SYNTAX-BRILLIAN CORP DE 1.01,2.03,9.01 04/26/07 TERRA NOSTRA RESOURCES CORP. NV 5.02,8.01 04/24/07 TESSCO TECHNOLOGIES INC DE 2.02,9.01 05/01/07 TESSCO TECHNOLOGIES INC DE 1.01 04/26/07 Texas Roadhouse, Inc. DE 2.02,9.01 04/30/07 Thomas Weisel Partners Group, Inc. DE 2.02,9.01 05/02/07 TIB FINANCIAL CORP. FL 1.01,5.02,8.01,9.01 04/30/07 TILDEN ASSOCIATES INC DE 1.01 02/16/07 AMEND TIME AMERICA INC NV 9.01 01/22/07 AMEND TIME WARNER CABLE INC. DE 2.02,9.01 05/02/07 TIME WARNER INC DE 2.02,9.01 05/02/07 TORCHMARK CORP DE 5.02,9.01 04/26/07 TOWN SPORTS INTERNATIONAL HOLDINGS IN DE 2.02,9.01 05/02/07 TRANSDERM LABORATORIES CORP DE 1.02 04/27/07 TRANSMERIDIAN EXPLORATION INC DE 3.02 04/25/07 TRANSOCEAN INC E9 2.02,7.01,9.01 05/02/07 TRAVEL HUNT HOLDINGS INC 1.01,5.01,9.01 04/29/07 TRIDENT MICROSYSTEMS INC DE 5.02,9.01 05/01/07 TRW AUTOMOTIVE HOLDINGS CORP DE 2.02,9.01 05/02/07 TRX INC/GA GA 1.01 04/30/07 TTM TECHNOLOGIES INC WA 2.02,9.01 05/02/07 TUCOWS INC /PA/ PA 5.02 04/27/07 UBS Managed Futures LLC (Aspect Serie 3.02 05/01/07 UCBH HOLDINGS INC DE 1.01,9.01 04/30/07 UGODS, INC. NV 5.02 05/01/07 ULTRA PETROLEUM CORP 1.01,2.02,2.03,9.01 04/30/07 Uni-Pixel DE 8.01,9.01 05/02/07 UNIFI INC NY 5.02,9.01 04/30/07 UNITRIN INC DE 7.01,9.01 05/02/07 UNIVEST CORP OF PENNSYLVANIA PA 8.01 05/02/07 Unum Group DE 2.02,7.01,9.01 05/02/07 URS CORP /NEW/ DE 9.01 03/30/07 VALERO ENERGY CORP/TX DE 8.01 05/02/07 Valley Commerce Bancorp CA 2.02,9.01 04/30/07 VALUECLICK INC/CA DE 2.02,9.01 05/02/07 VASO ACTIVE PHARMACEUTICALS INC DE 2.04 05/01/07 VERAMARK TECHNOLOGIES INC DE 2.02 05/02/07 VERISIGN INC/CA DE 2.02,9.01 05/02/07 VERTIS INC DE 5.02 04/26/07 VIASPACE Inc. NV 8.01,9.01 05/02/07 VIEWPOINT CORP DE 1.01,5.02,9.01 04/27/07 VIRAGE LOGIC CORP CA 2.02,9.01 05/02/07 VIRCO MFG CORPORATION DE 1.01,3.03 04/30/07 VIROPHARMA INC DE 2.02,7.01,9.01 05/02/07 VISTEON CORP DE 2.02,7.01,9.01 05/02/07 VSE CORP DE 8.01,9.01 05/01/07 VULCAN MATERIALS CO NJ 2.02,9.01 04/30/07 W HOLDING CO INC PR 2.02,9.01 05/01/07 WALT DISNEY CO/ DE 5.02 05/02/07 WASTE INDUSTRIES USA INC NC 2.02,9.01 05/01/07 WASTE INDUSTRIES USA INC NC 2.02 05/01/07 AMEND WATTS WATER TECHNOLOGIES INC DE 2.02,9.01 05/01/07 WEBSENSE INC DE 1.01,5.02,9.01 04/26/07 WEBSITE PROS INC DE 2.02,9.01 05/02/07 WEIS MARKETS INC PA 9.01 03/31/07 Wentworth Energy, Inc. OK 2.04 05/01/07 WESTERN GOLDFIELDS INC ID 2.02,5.03,8.01,9.01 05/01/07 WHITE MOUNTAINS INSURANCE GROUP LTD D0 2.02,9.01 05/02/07 WILLIAMS SCOTSMAN INTERNATIONAL INC DE 2.02,9.01 05/02/07 WILLOW FINANCIAL BANCORP, INC. PA 8.01,9.01 05/02/07 WINNEBAGO INDUSTRIES INC IA 5.02,9.01 05/01/07 WITNESS SYSTEMS INC DE 8.01,9.01 05/01/07 WJ COMMUNICATIONS INC DE 2.02,9.01 05/02/07 WOIZE INTERNATIONAL LTD. 8.01 03/01/07 Wright Express CORP 2.02,9.01 05/02/07 Wright Express CORP 2.02,9.01 05/02/07 WSFS FINANCIAL CORP DE 5.02 04/26/07 XERIUM TECHNOLOGIES INC DE 1.01,7.01,8.01,9.01 05/02/07 XL CAPITAL LTD 8.01,9.01 05/02/07 YAHOO INC DE 3.02,7.01,9.01 04/28/07 YARDVILLE NATIONAL BANCORP NJ 2.02,9.01 04/30/07 ZHONGPIN INC. DE 2.02,7.01,9.01 05/02/07 ZOOM TECHNOLOGIES INC DE 1.02 04/27/07