SEC NEWS DIGEST Issue 2007-07 January 11, 2007 COMMISSION ANNOUNCEMENTS COMMISSION MEETINGS CLOSED MEETING - THURSDAY. JANUARY 18, 2007 - 2:00 P.M. The subject matter of the closed meeting scheduled for Thursday, Jan. 18, 2007, will be: formal orders of investigation; institution and settlement of injunctive actions; institution and settlement of administrative proceedings of an enforcement nature; a regulatory matter regarding a financial institution; and other matters relating to enforcement proceedings. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551-5400. RULES AND RELATED MATTERS PROPOSED PLAN FOR THE ALLOCATION OF REGULATORY RESPONSIBILITIES PURSUANT TO RULE 17d-2 BETWEEN THE INTERNATIONAL SECURITIES EXCHANGE, LLC AND THE NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. The International Securities Exchange and the National Association of Securities Dealers filed a proposed plan for the allocation of regulatory responsibilities pursuant to Rule 17d-2 (File No. 4-529). Publication is expected in the Federal Register during the week of January 15. (Rel. 34-55057) NOTICE OF PROPOSED ALTERATION TO TWO EXISTING SYSTEMS OF RECORDS The Commission issued a notice requesting comments on its proposal to alter two existing Privacy Act system of records: "Personnel Management Employment and Staffing Files (SEC-39)", which was previously identified in the Federal Register at 41 FR 41591 on Sept. 22, 1976, 50 FR 37750 on Sept. 17, 1985, and 62 FR 47884 on Sept. 11, 1997, and "Identification and Access Control Cards, Special Credentials, Press Passes, and Building Access Control Cards (SEC- 46)", originally published at 63 FR 37423, July 10, 1998. Publication is expected in the Federal Register during the week of January 15. (PA-38; File No. S7-02-07) SELF-REGULATORY ORGANIZATIONS APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change (SR-CBOE-2006-88) filed by the Chicago Board Options Exchange to codify a fee schedule for the sale of open and close volume data on CBOE listed options by Market Data Express, LLC. Publication is expected in the Federal Register during the week of January 15. (Rel. 34-55062) The Commission approved a proposed rule change (SR-NYSE-2006-80) filed by the New York Stock Exchange, as modified by Amendment No. 1 thereto, relating to NYSE Rule 1300 (Gold Shares) and NYSE Rule 51 (Hours of Business). Publication is expected in the Federal Register during the week of January 15. (Rel. 34-55067) The Commission approved a proposed rule change (SR-BSE-2006-48) filed by the Boston Stock Exchange to implement a Quote Mitigation Plan. Publication is expected in the Federal Register during the week of January 15. (Rel. 34-55073) The Commission approved a proposed rule change (SR-NYSE-2006-97) filed by the New York Stock Exchange relating to amendments to NYSE Rule 342.30. Publication is expected in the Federal Register during the week of January 15. (Rel. 34-55079) PROPOSED RULE CHANGES The American Stock Exchange filed a proposed rule change (SR-Amex- 2006-17) and Amendment Nos. 1 and 2 thereto relating to procedures for at-risk cross transactions. Publication is expected in the Federal Register during the week of January 15. (Rel. 34-55068) The New York Stock Exchange (SR-NYSE-2006-78) and the National Association of Securities Dealers (SR-NASD-2006-113) filed proposed rule changes to amend NYSE Rules 472 and 344, and NASD Rules 1050 and 2711 relating to research analyst conflicts of interest. Publication is expected in the Federal Register during the week of January 15. (Rel. 34-55072) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change filed by the New York Stock Exchange to eliminate the exemption from equity trading fees for principal transactions by a member organization "facilitating" a customer order of at least 10,000 shares (SR NYSE-2006 117) has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934 and Rule 19b-4(f)(2) thereunder. Publication is expected in the Federal Register during the week of January 15. (Rel. 34-55069) A proposed rule change (SR-CHX-2006-37) and Amendment No. 1 thereto filed by the Chicago Stock Exchange relating to participant fees and credits 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 January 15. (Rel. 34-55070) A proposed rule change (SR-Phlx-2006-84) and Amendment No. 1 thereto filed by the Philadelphia Stock Exchange to adopt an appeal fee has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of January 15. (Rel. 34-55071) A proposed rule change (SR-NASD-2006-136) filed by National Association of Securities Dealers regarding technical and grammatical corrections to Rule 10308 has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of January 15. (Rel. 34-55078) SECURITIES ACT REGISTRATIONS The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be obtained in person or by writing to the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. 20549-1090 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . S-8 PUREDEPTH, INC., 255 SHORELINE DRIVE, SUITE 610, REDWOOD CITY, CA, 94065, (650) 632 0804 - 13,741,260 ($10,074,200.22) Equity, (File 333-139884 - Jan. 10) (BR. 10C) S-1 GSI TECHNOLOGY INC, 2360 OWEN STREET, SANTA CLARA, CA, 95054, 4089808388X102 - 0 ($57,500,000.00) Equity, (File 333-139885 - Jan. 10) (BR. 10B) S-8 Cavit Sciences, Inc., 100 EAST LINTON BLVD., SUITE 106B, DELRAY BEACH, FL, 33483, 5612787856 - 2,000,000 ($800,000.00) Equity, (File 333-139886 - Jan. 10) (BR. 01A) SB-2 SMARTIRE SYSTEMS INC, 150 13151 VANIER PL, RICHMOND BC CANADA, A1, V6V 2J1, 6042769884 - 150,000,000 ($4,950,000.00) Debt Convertible into Equity, (File 333-139887 - Jan. 10) (BR. 10C) S-3 RAINMAKER SYSTEMS INC, 1800 GREEN HILLS ROAD, SCOTTS VALLEY, CA, 95006, 8314617299 - 0 ($40,000,000.00) Unallocated (Universal) Shelf, (File 333-139888 - Jan. 10) (BR. 08C) S-3ASR RAIT Financial Trust, 1818 MARKET, 28TH FL, PHILADELPHIA, PA, 19103, 2158617900 - 0 ($0.00) Equity, (File 333-139889 - Jan. 10) (BR. 08C) S-1 J CREW GROUP INC, 770 BROADWAY, NEW YORK, NY, 10003, 2122092500 - 0 ($319,038,750.00) Equity, (File 333-139890 - Jan. 10) (BR. 02C) S-3 CWHEQ, Inc., 4500 PARK GRANADA, CALABASAS, CA, 91302, (818) 225-3505 - 1,000,000 ($1,000,000.00) Asset-Backed Securities, (File 333-139891 - Jan. 10) (BR. 05D) S-8 SIGN MEDIA SYSTEMS INC, 2100 19TH STREET, SARASOTA, FL, 34234, 9413300336 - 10,000,000 ($1,500,000.00) Equity, (File 333-139893 - Jan. 10) (BR. 09A) S-8 GEOKINETICS INC, ONE RIVERWAY, SUITE 2100, HOUSTON, TX, 77056, 7138507600 - 0 ($10,807,646.25) Equity, (File 333-139894 - Jan. 10) (BR. 04C) S-3D BAY BANKS OF VIRGINIA INC, 100 S MAIN STREET, KILMARNICK, VA, 22482, 8044351171 - 250,000 ($3,582,500.00) Equity, (File 333-139895 - Jan. 10) (BR. 07A) S-3 SATCON TECHNOLOGY CORP, 161 FIRST STREET, CAMBRIDGE, MA, 02142, 6176610540 - 0 ($1,024,250.00) Equity, (File 333-139897 - Jan. 10) (BR. 10C) S-3 MODTECH HOLDINGS INC, 2830 BARRETT AVE, PO BOX 1240, PERRIS, CA, 92571, 9099434014 - 4,098,738 ($19,673,942.00) Equity, (File 333-139899 - Jan. 10) (BR. 06B) S-8 ALLIANZ SE, KOENIGINSTRASSE 28, MUNICH GERMANY, 2M, 80802, 011498938000 - 250,000 ($51,117,500.00) ADRs/ADSs, (File 333-139900 - Jan. 10) (BR. 01C) S-8 ORACLE CORP, 500 ORACLE PARKWAY, MAIL STOP 5 OP 7, REDWOOD CITY, CA, 94065, 6505067000 - 0 ($59,197,600.00) Equity, (File 333-139901 - Jan. 10) (BR. 03B) S-3 MODTECH HOLDINGS INC, 2830 BARRETT AVE, PO BOX 1240, PERRIS, CA, 92571, 9099434014 - 189,189 ($908,107.20) Equity, (File 333-139902 - Jan. 10) (BR. 06B) S-3 MINRAD INTERNATIONAL, INC., 847 MAIN ST., BUFFALO, NY, 14203, 716-855-1068 - 13,581,467 ($70,759,443.07) Equity, (File 333-139903 - Jan. 10) (BR. 01B) S-3ASR UNITED DOMINION REALTY TRUST INC, 400 EAST CARY STREET, RICHMOND, VA, 23219-3802, 8047802691 - 0 ($250,000,000.00) Other, (File 333-139904 - Jan. 10) (BR. 08C) S-8 TERAX ENERGY, INC., 13355 NOEL ROAD, 1370 ONE GALLERIA TOWER, DALLAS, TX, 75240, (972) 503-0900 - 3,200,000 ($233,600.00) Equity, (File 333-139905 - Jan. 10) (BR. 04C) S-8 RPM INTERNATIONAL INC/DE/, 2628 PEARL RD, P O BOX 777, MEDINA, OH, 44258, 3302735090 - 1,000,000 ($20,910,000.00) Equity, (File 333-139906 - Jan. 10) (BR. 06A) S-3 TEMECULA VALLEY BANCORP INC, 27710 JEFFERSON AVENUE, SUITE A-100, TEMECULA, CA, 92590, 9096949940 - 1,400,569 ($32,395,160.00) Other, (File 333-139908 - Jan. 10) (BR. 07B) SB-2 Indigo Technologies, Inc., P.O. BOX 431687, SAN YSIDRO, CA, 92143, 775-352-3915 - 2,000,000 ($32,000.00) Equity, (File 333-139910 - Jan. 10) (BR. ) S-3 PANDA ETHANOL, INC., 4100 SPRING VALLEY RD, SUITE 1002, DALLAS, TX, 75244, 972-361-1200 - 29,866,667 ($328,384,003.66) Equity, (File 333-139911 - Jan. 10) (BR. 06B) 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 ------------------------------------------------------------------------------------------------------- 2-Track Global, Inc. 8.01 01/10/07 3D SYSTEMS CORP DE 7.01,9.01 01/10/07 ACE Securities Corp. Home Equity Loan DE 2.01,9.01 11/29/06 ADAM INC GA 5.02 01/08/07 Adams Respiratory Therapeutics, Inc. DE 7.01,9.01 01/10/07 ADAPTEC INC DE 2.02,9.01 01/09/07 ADVANCED ANALOGIC TECHNOLOGIES INC DE 9.01 10/31/06 AMEND ADVANCED MEDICAL OPTICS INC DE 1.01,8.01,9.01 01/05/07 AEP INDUSTRIES INC DE 2.02,9.01 01/10/07 AeroGrow International, Inc. NV 1.02,2.02,7.01,9.01 01/05/07 AFFORDABLE RESIDENTIAL COMMUNITIES IN MD 8.01 01/08/07 AFFYMAX INC 5.02 01/05/07 ALCOA INC PA 2.02,9.01 01/09/07 ALION SCIENCE & TECHNOLOGY CORP DE 1.01,2.03,9.01 01/04/07 ALLIANCE SEMICONDUCTOR CORP /DE/ DE 7.01,9.01 01/09/07 ALLIANCEBERNSTEIN HOLDING L.P. DE 7.01,9.01 01/10/07 ALLIANCEBERNSTEIN L.P. DE 7.01,9.01 01/10/07 ALLIED HOLDINGS INC GA 1.01,9.01 01/05/07 Alternative Construction Company, Inc FL 8.01,9.01 12/15/06 Alternative Loan Trust 2006-OA21 8.01,9.01 12/29/06 Alternative Loan Trust 2006-OC11 DE 8.01,9.01 12/29/06 AMB PROPERTY CORP MD 5.02 01/10/07 AMEDISYS INC DE 7.01,9.01 01/10/07 American Home Food Products, Inc. NY 8.01 01/10/07 American Home Mortgage Investment Tru DE 8.01,9.01 12/26/06 ANGELICA CORP /NEW/ MO 7.01,9.01 01/10/07 ANIKA THERAPEUTICS INC MA 1.01,2.03,9.01 01/04/07 APPLE INC CA 5.03,9.01 01/09/07 Ardent Acquisition CORP DE 8.01,9.01 01/09/07 AMEND ARENA RESOURCES INC NV 5.02 01/05/07 Arran Funding LTD XX 9.01 01/10/07 AMEND Arran Funding LTD XX 9.01 01/10/07 AMEND Arran Funding LTD XX 9.01 01/10/07 AMEND Arran Funding LTD XX 9.01 01/10/07 AMEND Arran Funding LTD XX 9.01 01/10/07 AMEND Arran Funding LTD XX 9.01 01/10/07 AMEND Arran Funding LTD XX 9.01 01/10/07 AMEND Arran Funding LTD XX 9.01 01/10/07 AMEND Arran Funding LTD XX 9.01 01/10/07 AMEND ARRHYTHMIA RESEARCH TECHNOLOGY INC /D DE 7.01,9.01 12/27/06 ARTHROCARE CORP DE 2.02,9.01 01/10/07 ARVINMERITOR INC IN 7.01,9.01 01/10/07 ASHWORTH INC DE 2.02,9.01 01/10/07 AT&S HOLDINGS INC NV 8.01 01/10/07 Atlas Energy Resources, LLC DE 1.01,9.01 01/05/07 ATWOOD OCEANICS INC TX 7.01 01/10/07 AUDIOVOX CORP DE 2.02,8.01 01/09/07 AVON PRODUCTS INC NY 2.05 11/15/05 AMEND BALLISTIC RECOVERY SYSTEMS INC MN 1.01 01/04/07 Banc of America Alternative Loan Trus DE 8.01,9.01 12/28/06 BENCHMARK ELECTRONICS INC TX 2.01,9.01 01/08/07 BERKSHIRE HILLS BANCORP INC 7.01,9.01 01/09/07 BEVERLY NATIONAL CORP MA 8.01,9.01 01/10/07 BIOLASE TECHNOLOGY INC DE 5.03,8.01,9.01 01/08/07 BLUEFLY INC DE 7.01 01/10/07 BNP RESIDENTIAL PROPERTIES INC MD 7.01,9.01 01/09/07 BOSTON SCIENTIFIC CORP DE 2.02,7.01,9.01 01/10/07 BRADLEY PHARMACEUTICALS INC DE 8.01,9.01 01/05/07 BRANDYWINE OPERATING PARTNERSHIP LP / DE 5.02,9.01 01/09/07 BRANDYWINE REALTY TRUST MD 5.02,9.01 01/09/07 BROADCASTER INC CA 1.01,9.01 01/04/07 BROADVISION INC DE 1.01,9.01 12/21/06 BROOKE CORP KS 2.01,7.01,9.01 01/08/07 BROOKFIELD HOMES CORP DE 2.02,9.01 01/08/07 BUCA INC /MN MN 2.02,9.01 01/08/07 CALIFORNIA COASTAL COMMUNITIES INC DE 8.01,9.01 01/09/07 CALIFORNIA PIZZA KITCHEN INC DE 2.02,9.01 01/10/07 CALIPER LIFE SCIENCES INC DE 2.02,9.01 01/10/07 CAMPBELL FUND TRUST MD 3.02 01/01/07 CAPITAL ONE MASTER TRUST NY 8.01,9.01 01/09/07 CardioVascular BioTherapeutics, Inc. DE 8.01,9.01 01/09/07 CATALYTICA ENERGY SYSTEMS INC DE 5.02,9.01 01/10/07 CELGENE CORP /DE/ DE 5.02,9.01 01/07/07 CELLEGY PHARMACEUTICALS INC CA 5.02,9.01 01/08/07 CENTRAL EUROPEAN DISTRIBUTION CORP DE 8.01 01/08/07 CERADYNE INC DE 2.02,9.01 01/09/07 Chaparral Energy, Inc. DE 7.01 01/10/07 CHARMING SHOPPES INC PA 7.01,9.01 01/09/07 CHEVRON CORP DE 2.02 01/09/07 China 3C Group NV 1.01,9.01 11/28/06 AMEND China VoIP & Digital Telecom Inc. NV 8.01,9.01 01/08/07 CHOICE HOTELS INTERNATIONAL INC /DE DE 5.02,9.01 01/05/07 CLEAN DIESEL TECHNOLOGIES INC DE 1.01,3.02,9.01 12/29/06 CLEVELAND CLIFFS INC OH 8.01,9.01 01/09/07 CNET NETWORKS INC DE 7.01,9.01 01/10/07 COHERENT INC DE 5.02 01/04/07 COLOR KINETICS INC DE 1.01,9.01 01/08/07 Compass Diversified Trust DE 8.01,9.01 01/05/07 Compass Diversified Trust DE 1.01,2.01,9.01 01/05/07 CONNETICS CORP DE 8.01,9.01 01/10/07 Consolidated Communications Holdings, DE 7.01,9.01 01/10/07 COSI INC DE 2.02,9.01 01/10/07 CTS CORP IN 7.01,9.01 01/10/07 CUBIST PHARMACEUTICALS INC DE 2.02,9.01 01/08/07 DANA CORP VA 2.01,8.01 01/04/07 DELPHAX TECHNOLOGIES INC MN 3.01,9.01 01/05/07 DEXCOM INC 2.02 01/10/07 Diamond Foods Inc DE 5.02,9.01 01/10/07 DiamondRock Hospitality Co 1.01,5.03,7.01,9.01 01/09/07 Digital Realty Trust, Inc. MD 7.01,9.01 01/09/07 DYNAVAX TECHNOLOGIES CORP DE 8.01,9.01 01/08/07 EASTMAN KODAK CO NJ 1.01,9.01 01/09/07 EATON CORP OH 7.01 01/10/07 ECOLOGY & ENVIRONMENT INC NY 2.01,9.01 01/09/07 Eddie Bauer Holdings, Inc. DE 8.01,9.01 01/10/07 Eddie Bauer Holdings, Inc. DE 8.01,9.01 01/10/07 ELEMENT 21 GOLF CO DE 5.02,9.01 01/09/07 EMCORE CORP NJ 7.01,9.01 01/09/07 EMPIRE ENERGY CORP UT 1.01,2.01,2.03,8.01,9.01 01/05/07 EMPIRE PETROLEUM CORP DE 7.01 01/10/07 EMTA Holdings, Inc. NV 1.01,9.01 01/05/07 ENDOCARE INC DE 2.03 01/08/07 ENDOVASC INC NV 5.02,9.01 01/10/07 ENVIRONMENTAL SOLUTIONS WORLDWIDE INC FL 1.01,2.03 01/05/07 AMEND ENVIRONMENTAL TECTONICS CORP PA 2.02,9.01 01/09/07 EQUINIX INC DE 7.01,9.01 01/10/07 EUROWEB INTERNATIONAL CORP DE 5.03,9.01 01/08/07 EVANS BOB FARMS INC DE 7.01,9.01 01/09/07 EXPLORATION CO OF DELAWARE INC DE 7.01,9.01 01/05/07 FINISAR CORP DE 8.01 01/04/07 FIRST FINANCIAL BANCORP /OH/ OH 7.01,9.01 01/10/07 FIRST FINANCIAL HOLDINGS INC /DE/ DE 7.01,9.01 01/10/07 FLORIDA ROCK INDUSTRIES INC FL 7.01 01/10/07 FLOTEK INDUSTRIES INC/CN/ DE 1.01,2.01,9.01 01/04/07 FRANKLIN COVEY CO UT 8.01,9.01 01/09/07 FREMONT GENERAL CORP NV 7.01 01/10/07 FRIENDLY ICE CREAM CORP MA 1.01,5.02,9.01 01/08/07 FULL HOUSE RESORTS INC DE 5.02,9.01 12/28/06 FX ENERGY INC NV 7.01,9.01 01/10/07 G REIT INC MD 1.01,9.01 01/05/07 GENENTECH INC DE 2.02,8.01,9.01 01/10/07 GEOCOM RESOURCES INC NV 3.02,9.01 01/08/07 George Foreman Enterprises Inc DE 4.02,9.01 12/19/06 AMEND Georgia Exploration, Inc. NV 2.01,3.02,5.01,5.02,5.03, 01/03/07 5.06,9.01 Global Realty Development Corp DE 1.01,2.01,9.01 12/26/06 GLOBALNET CORP NV 1.01,2.01,2.03,3.02,5.02,8.01, 01/05/06 9.01 GlobalOptions Group, Inc. DE 1.01,2.01,3.02,9.01 01/09/07 GOLD STANDARD INC UT 1.01,2.01,3.01,3.02,5.01,5.02 12/29/06 GOODRICH PETROLEUM CORP DE 5.02,9.01 01/08/07 GREATER ATLANTIC FINANCIAL CORP DE 3.01,9.01 01/04/07 GREEN MOUNTAIN COFFEE ROASTERS INC DE 7.01,9.01 01/10/07 HANSEN NATURAL CORP DE 3.01 01/04/07 HAROLDS STORES INC OK 2.02,9.01 01/10/07 HILTON HOTELS CORP DE 5.02,8.01,9.01 01/04/07 HOME FEDERAL BANCORP, INC. OF LOUISIA 7.01,9.01 01/10/07 HUMANA INC DE 5.03,9.01 01/04/07 Huron Consulting Group Inc. DE 2.01 01/09/07 ICP Solar Technologies Inc. 5.02,9.01 01/10/07 IHOP CORP DE 8.01 01/08/07 IMMUNOMEDICS INC DE 5.02,9.01 01/10/07 Impact Medical Solutions, Inc. DE 4.01,9.01 12/27/06 AMEND INDEVUS PHARMACEUTICALS INC DE 8.01,9.01 01/04/07 INNODATA ISOGEN INC DE 2.02,9.01 01/10/07 INSMED INC VA 8.01,9.01 01/10/07 INSTEEL INDUSTRIES INC NC 8.01,9.01 01/05/07 INTEGRA BANK CORP IN 2.02,9.01 01/09/07 AMEND INTERNATIONAL ALUMINUM CORP CA 1.01,7.01,9.01 01/09/07 INTERSTATE HOTELS & RESORTS INC DE 1.01 01/04/07 INTRALASE CORP 1.01,8.01,9.01 01/05/07 INTRAOP MEDICAL CORP 1.01,2.03,3.02,9.01 01/10/07 INVESTMENT TECHNOLOGY GROUP INC DE 8.01,9.01 01/10/07 IPARTY CORP DE 1.01,9.01 01/09/07 iWorld Projects & Systems, Inc. NV 5.02,9.01 01/09/07 J CREW GROUP INC DE 8.01 01/10/07 J CREW GROUP INC DE 8.01,9.01 01/10/07 J P MORGAN CHASE & CO DE 9.01 01/08/07 J2 GLOBAL COMMUNICATIONS INC DE 7.01,9.01 01/10/07 JACKSON HEWITT TAX SERVICE INC DE 8.01 01/09/07 JACUZZI BRANDS INC DE 7.01,9.01 01/10/07 JAMBA, INC. DE 7.01,9.01 01/10/07 JK Acquisition Corp. 8.01,9.01 01/10/07 JORDAN INDUSTRIES INC IL 2.01 12/29/06 JPMAC 2006-CH2 DE 8.01,9.01 01/10/07 AMEND JPMAC 2006-CW2 DE 8.01,9.01 01/10/07 AMEND KAPSTONE PAPER & PACKAGING CORP DE 5.02 01/08/07 KBL Healthcare Acquisition Corp. II DE 1.01,9.01 09/01/06 AMEND KEY ENERGY SERVICES INC MD 5.02,9.01 01/05/07 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 01/10/07 LAKE AREA CORN PROCESSORS LLC 4.01,9.01 01/08/07 LECROY CORP DE 2.02,9.01 01/10/07 LEXINGTON RESOURCES INC NV 1.01,9.01 01/05/07 Lightstone Value Plus Real Estate Inv MD 2.01,2.03,9.01 01/04/07 LINN ENERGY, LLC DE 7.01,9.01 01/10/07 MATERIAL SCIENCES CORP DE 2.02,8.01,9.01 01/10/07 MEADE INSTRUMENTS CORP DE 2.02 01/04/07 AMEND MEDAREX INC NJ 7.01,9.01 01/10/07 MEDCATH CORP DE 5.02,9.01 01/08/07 MEDICAL NUTRITION USA INC NJ 8.01 01/10/07 MERCANTILE BANK CORP MI 2.02,9.01 01/10/07 MGI PHARMA INC MN 2.02,9.01 01/10/07 MICHAELS STORES INC DE 5.02,9.01 01/04/07 MICROHELIX INC OR 5.02 01/08/07 MICRON TECHNOLOGY INC DE 8.01,9.01 01/09/07 MIDDLEBURG FINANCIAL CORP VA 5.02 01/05/07 MIDWEST AIR GROUP INC WI 8.01,9.01 01/10/07 MILLS CORP DE 8.01,9.01 01/09/07 MISONIX INC NY 5.02,9.01 01/09/07 MITCHAM INDUSTRIES INC TX 7.01 01/09/07 MOTOROLA INC DE 2.01,9.01 01/09/07 MURRAY UNITED DEVELOPMENT CORP DE 1.01,9.01 01/03/07 MYLAN LABORATORIES INC PA 1.01,2.01,5.02,9.01 01/08/07 NATIONAL FUEL GAS CO NJ 7.01,9.01 01/10/07 NATIONAL PENN BANCSHARES INC PA 1.01,2.03,9.01 01/10/07 NAVTEQ CORP DE 5.02 01/05/07 NETFONE INC 1.01,9.01 01/04/07 New Century Energy Corp. CO 1.01,3.02,9.01 12/28/06 New Era Marketing Inc 5.02,9.01 01/10/07 NEW GENERATION HOLDINGS INC DE 4.02 01/08/07 NEW WORLD BRANDS INC DE 3.02,9.01 01/09/07 NEW WORLD RESTAURANT GROUP INC DE 7.01,9.01 01/10/07 NEXIA HOLDINGS INC NV 8.01,9.01 01/09/07 NORTHEAST UTILITIES MA 5.02,7.01 01/08/07 NOVADEL PHARMA INC DE 5.02 01/10/07 NxStage Medical, Inc. DE 1.01 01/04/07 NYSE Group, Inc. DE 1.01,9.01 01/10/07 OCEAN BIO CHEM INC FL 7.01 01/10/07 OM GROUP INC DE 5.02 01/09/07 OPSWARE INC DE 8.01 01/04/07 OSI PHARMACEUTICALS INC DE 1.01,8.01,9.01 01/04/07 Owens Corning DE 5.02,8.01 01/04/07 Palace Entertainment Holdings, Inc. DE 1.01,5.02,8.01,9.01 01/08/07 PANDA ETHANOL, INC. NV 8.01,9.01 01/10/07 PENFORD CORP WA 2.02,9.01 01/08/07 PEOPLES FINANCIAL SERVICES CORP/ PA 5.02 01/02/07 PEPCO HOLDINGS INC DE 7.01,9.01 01/10/07 PERCEPTRON INC/MI MI 5.02,9.01 01/04/07 PETROL OIL & GAS INC 7.01,8.01,9.01 01/03/07 PETROLEUM DEVELOPMENT CORP NV 8.01,9.01 01/10/07 PINNACLE BANKSHARES CORP VA 8.01,9.01 01/10/07 PLACER SIERRA BANCSHARES CA 8.01,9.01 01/09/07 PNC FINANCIAL SERVICES GROUP INC PA 5.02 01/04/07 POWERCOLD CORP NV 4.01,9.01 12/18/06 AMEND PREMIER EXHIBITIONS, INC. 2.02,8.01,9.01 01/05/07 PRINCIPAL LIFE INSURANCE CO IA 9.01 01/05/07 PRINCIPAL LIFE INSURANCE CO IA 9.01 01/05/07 PROCTER & GAMBLE CO OH 7.01 01/10/07 PS BUSINESS PARKS INC/CA CA 1.01,3.03,5.03,7.01,9.01 01/09/07 QEP CO INC DE 2.04 01/04/07 QUICKLOGIC CORPORATION CA 3.01,9.01 01/10/07 RADIAN GROUP INC DE 5.02,9.01 01/09/07 RAIT Financial Trust MD 8.01,9.01 12/11/06 RAMCO GERSHENSON PROPERTIES TRUST MD 8.01,9.01 01/10/07 RAMCO GERSHENSON PROPERTIES TRUST MD 8.01,9.01 01/10/07 RAMTRON INTERNATIONAL CORP DE 2.02,9.01 01/09/07 RathGibson Inc DE 5.03 01/08/07 RESIDENTIAL ASSET SECURITIES CORP DE 6.02 01/10/07 RESOLVE STAFFING INC NV 1.01,2.01,2.03,8.01,9.01 01/10/07 SACO I Trust 2006-12 DE 9.01 12/19/06 SAIC, Inc. DE 5.02 01/10/07 SALAMON GROUP INC 4.01,9.01 11/16/06 AMEND SAPIENT CORP DE 2.02,9.01 01/10/07 SAVE THE WORLD AIR INC NV 1.01,9.01 01/04/07 SCIELE PHARMA, INC. DE 7.01,9.01 01/10/07 SCIVANTA MEDICAL CORP DE 5.03,9.01 01/04/07 SHAW GROUP INC LA 2.02,9.01 01/09/07 SIGMA DESIGNS INC CA 4.01 01/10/07 SILICON STORAGE TECHNOLOGY INC CA 5.02 01/04/07 SKECHERS USA INC DE 2.02 01/08/07 Skinny Nutritional Corp. 1.01,2.04,9.01 01/04/07 SKINS INC. NV 5.02 01/09/07 SKYTERRA COMMUNICATIONS INC DE 1.01,1.02,8.01,9.01 01/10/07 SOUTHWESTERN ENERGY CO AR 7.01 01/10/06 SPANISH BROADCASTING SYSTEM INC DE 1.01,2.01,2.03,9.01 01/04/07 ST LAWRENCE SEAWAY CORP IN 1.01,9.01 01/10/07 SUPERIOR ENERGY SERVICES INC DE 9.01 12/12/06 AMEND SYNCHRONOSS TECHNOLOGIES INC 8.01 01/09/07 SYNNEX CORP DE 5.02 01/04/07 TECUMSEH PRODUCTS CO MI 3.01,7.01,9.01 01/04/07 Telecomm Sales Network Inc 8.01 01/08/07 TELVUE CORP DE 1.01 01/10/07 Terra Nova Acquisition CORP DE 8.01,9.01 01/10/07 TETRA TECHNOLOGIES INC DE 1.01,2.03,9.01 12/15/06 TIFFANY & CO DE 8.01 01/09/07 TIFFANY & CO DE 7.01,9.01 01/10/07 Tiger Ethanol International Inc. NV 1.01,3.02 11/01/06 TOYS R US INC DE 2.02,9.01 01/10/07 TransDigm Group INC DE 1.01,7.01,9.01 01/09/07 TRIPOS INC UT 3.01,9.01 01/04/07 TRUE PRODUCT ID, INC. DE 2.02,9.01 01/09/07 TTM TECHNOLOGIES INC WA 2.01,9.01 10/27/06 AMEND TWEEN BRANDS, INC. DE 7.01,9.01 01/08/07 TYCO INTERNATIONAL LTD /BER/ D0 8.01,9.01 01/05/07 TYLER TECHNOLOGIES INC DE 8.01 01/10/07 ULTRALIFE BATTERIES INC DE 2.02,9.01 01/10/07 UMB FINANCIAL CORP MO 7.01,9.01 01/10/07 UNITEDHEALTH GROUP INC MN 7.01,9.01 01/10/07 US AIRWAYS GROUP INC DE 8.01,9.01 01/10/07 USA VIDEO INTERACTIVE CORP WY 8.01,9.01 01/10/07 USANA HEALTH SCIENCES INC UT 2.02,8.01,9.01 01/10/07 UTSTARCOM INC DE 1.01,8.01,9.01 01/09/07 VASCULAR SOLUTIONS INC DE 7.01 01/08/07 Veri-Tek International, Corp. MI 5.02 01/10/07 VOIP INC 2.03,3.02,9.01 01/04/07 WAL MART STORES INC DE 5.02 01/05/07 WHITE ELECTRONIC DESIGNS CORP ID 4.01,9.01 01/04/07 WHITTIER ENERGY CORP NV 8.01,9.01 01/10/07 Worldwide Biotech & Pharmaceutical CO DE 4.01,9.01 01/05/07 YANKEE CANDLE CO INC 2.02,9.01 01/10/07 ZEROS & ONES INC NV 8.01,9.01 01/08/07