SEC NEWS DIGEST Issue 2007-09 January 16, 2007 ENFORCEMENT PROCEEDINGS IN THE MATTER OF INDIGENOUS GLOBAL DEVELOPMENT CORPORATION An Administrative Law Judge has issued an Initial Decision in Indigenous Global Development Corporation. The Initial Decision finds that Indigenous Global Development Corporation failed to file any annual or quarterly reports for any period after March 31, 2005, while its securities were registered with the Securities and Exchange Commission. The Initial Decision concludes that Indigenous Global Development Corporation violated Section 13(a) of the Securities Exchange Act of 1934 and Rules 13a-1 and 13a-13 thereunder. It revokes the registration of each class of the registered securities of Indigenous Global Development Corporation, pursuant to Section 12(j) of the Securities Exchange Act of 1934. (Initial Decision 325; File No. 3-12414) IN THE MATTER OF GLENN GLASSHAGEL The Commission issued an initial decision as to Glenn E. Glasshagel. The Order finds, among other things, that on Oct. 31, 2006, the U.S. District Court, Southern District of Florida, entered an order, by consent, permanently enjoining Glasshagel from future violations of Sections 10(b) and 13(b)(5) of the Exchange Act and Rules 10b-5, 13b2- 1 and 13b2-2 thereunder, and aiding and abetting violations of Sections 13(a), 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act and Rules 12b-20, 13a-1 and 13a-13 thereunder, and barring him from serving as an officer or director pursuant to Section 21(d)(2) of the Securities Exchange Act of 1934. Based on the above, the Order suspends Glasshagel, by consent, from appearing or practicing before the Commission as an accountant. (Rel. 34-55100; File No.3-12536). Glasshagel consented to the issuance of the Order without admitting or denying the findings in the Order. (Rel. 34-55100; AAE Rel. 2541; File No. 3-12536) COMMISSION BARS EMANUEL FRIEDMAN FROM ASSOCIATION IN A SUPERVISORY CAPACITY WITH ANY BROKER OR DEALER WITH A RIGHT TO REAPPLY AFTER TWO YEARS On January 12, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against Emanuel J. Friedman (Friedman). The Order finds that on Dec. 22, 2006, the District Court for the District of Columbia entered a final judgment by consent against Friedman permanently enjoining him from violations of Section 5 of the Securities Act of 1933 and, as a controlling person, from violations of Sections 10(b) and 15(f) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder. The Commission's complaint in the civil injunctive action alleged that in September and October 2001, Friedman, along with others, had responsibility for, actively participated in and directed or controlled, the day-to-day management of FBR. In particular, the complaint alleged that Friedman, among other things, was a member of FBR's underwriting committee, participated in meetings regarding the progress of investment banking transactions and supervised FBR's compliance and trading departments. Accordingly, the complaint alleged that Friedman was a controlling person of FBR pursuant to Section 20(a) of the Exchange Act. The complaint also alleged that, in connection with a Private Investment in Public Equity (PIPE) offering by CompuDyne Corporation (CompuDyne), FBR failed to establish, maintain and enforce policies and procedures reasonably designed to prevent the misuse of material, nonpublic information and, in violation of the antifraud provisions of the federal securities laws, improperly traded CompuDyne stock in its market making account while aware of material, nonpublic information concerning the CompuDyne PIPE offering. The complaint further alleged that Friedman, as a controlling person, is liable for the foregoing conduct by FBR. The complaint also alleged that FBR and Friedman engaged in unregistered sales of CompuDyne securities. Based on the above, the Order bars Friedman from association in a supervisory capacity with any broker or dealer with a right to reapply after two years. Friedman consented to the issuance of the Order without admitting or denying the findings in the Order. (Rel. 34- 55104; File No. 3-12537) COMMISSION CENSURES FRIEDMAN, BILLINGS, RAMSEY & CO., INC. AND REQUIRES IT TO RETAIN AN INDEPENDENT CONSULTANT TO REVIEW ITS POLICIES AND PROCEDURES TO PREVENT THE MISUSE OF MATERIAL NONPUBLIC INFORMATION IN ORDER TO BE IN COMPLIANCE WITH SECTION 15(f) OF THE SECURITIES EXCHANGE ACT OF 1934 On January 12, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b)(4) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against Friedman, Billings, Ramsey & Co., Inc. (FBR). The Order finds that on Dec. 22, 2006, the District Court for the District of Columbia entered a final judgment by consent against FBR permanently enjoining it from violations of Sections 5 and 17(a) of the Securities Act of 1933 and Sections 10(b) and 15(f) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder. The Commission's complaint in the civil injunctive action alleged that FBR, in connection with a Private Investment in Public Equity (PIPE) offering of stock by CompuDyne Corporation (CompuDyne), failed to establish, maintain and enforce policies and procedures reasonably designed to prevent the misuse of material, nonpublic information and, in violation of the antifraud provisions of the federal securities laws, improperly traded CompuDyne stock in its market making account while aware of material, nonpublic information concerning the CompuDyne PIPE offering. In particular, the complaint alleged that while FBR had policies and procedures relating to the handling of material, nonpublic information, those policies and procedures were not reasonably designed to prevent the misuse of material, nonpublic information, and were not enforced by FBR, in connection with the CompuDyne PIPE transaction. The complaint also alleged that FBR entered into a written engagement agreement to act as the placement agent for the CompuDyne PIPE offering, which, among other things, required FBR to keep information that it learned about the PIPE offering confidential until such information became public. The complaint further alleged that as a result of this engagement, FBR learned material, nonpublic information regarding the CompuDyne offering and breached a duty of trust and confidence that it owed to CompuDyne when it traded in its market making account while aware of such material, nonpublic information. The complaint also alleged that FBR engaged in unregistered sales of CompuDyne securities. Based on the above, the Order censures FBR and requires FBR to (a) retain an independent consultant to conduct a comprehensive review and prepare written reports regarding FBR's policies, procedures and practices to prevent the misuse of material nonpublic information, which are required by Section 15(f) of the Exchange Act; and (b) adopt the independent consultant's recommendations as to how FBR should improve, modify or supplement its policies and procedures to prevent the misuse of material nonpublic information in order to be in compliance with Section 15(f) of the Exchange Act. FBR consented to the issuance of the Order without admitting or denying the findings in the Order. (Rel. 34-55105; File No. 3-12538) COMMISSION BARS JOSE ZOLLINO FROM ASSOCIATION WITH ANY BROKER, DEALER, OR INVESTMENT ADVISER The Commission has barred Jose P. Zollino from association with any broker, dealer, or investment adviser. Zollino is the former chairman of InverWorld, Inc., an investment adviser formerly registered with the Commission, and InverWorld Securities, Inc., a broker dealer formerly registered with the Commission. The Commission's action was based on Zollino's guilty plea to conspiracy to commit fraud and money laundering and on his injunction from violations of the antifraud provisions of the federal securities laws. The Commission concluded that the public interest requires that Zollino be barred. In reaching this determination, the Commission noted that Zollino's misconduct was egregious and evidenced a high degree of scienter. The Commission further noted that, as Zollino had shown no recognition of the wrongful nature of his conduct and has provided no assurance against future violations, there is a significant risk that, given the opportunity, Zollino would commit further misconduct if he were not barred. (Rels. 34-55107; IA-2579; File No. 3-11536) FINAL JUDGMENT OF DISGORGEMENT ENTERED AGAINST PAUL JOHNSON The Commission announced that on Dec. 5, 2006, the Honorable Daniel T.K. Hurley, U.S. District Judge for the Southern District of Florida entered a Final Judgment of Disgorgement against Defendant Paul Johnson. The Court previously entered a final judgment of permanent injunction against Johnson and further directing the disgorgement of ill gotten gains related to the conduct underlying his conviction of counts 2 through 15 of the parallel superseding criminal indictment (U.S. v. Paul Johnson, Case No. 02-60012-CR-Middlebrooks) together with imposition of civil penalties, with a reservation of jurisdiction to determine the appropriate amounts of disgorgement and civil penalties upon further motion of the Commission. Based on the Commission's motion, the Court ordered Johnson to pay disgorgement in the amount of $1,505,850.00, plus prejudgment interest of $356,825.59 and dismissed with prejudice the Commission's claim for civil money penalty against him. The SEC began this action by filing its complaint on Dec. 12, 2001, against Johnson, among others. [SEC v. Paul R. Johnson, et al., Case No. 01-7874-CIV-HURLEY (S.D. Fla.)] (LR-19965) HEDGE FUND FRAUD DEFENDANTS JOHN KIM, WON LEE, YUNG KIM, AND OTHERS INDICTED The Commission announced that on Dec. 15, 2006, the U.S. Attorney for the Southern District of Florida indicted Jung Bae Kim, a.k.a. John Kim, Won Sok Lee, Yung Bae Kim, KL Group, LLC, KL Florida, LLC, KL Triangulum Management, LLC, and Shoreland Trading, LLC (collectively, the criminal defendants) on thirty-five counts of committing and conspiring to commit wire and mail fraud and money laundering while orchestrating a massive hedge fund fraud. The indictments became public on Jan. 9, 2007, when John Kim was arrested before his arraignment in the U.S. District Court for the Southern District of Florida, where he is already incarcerated after the District Court held him in contempt for violating an asset freeze order issued in an SEC securities fraud case against the criminal defendants and others. The SEC filed its securities fraud case on March 2, 2005, against John Kim the other criminal defendants, and others, alleging that from approximately 1999 to March 2005, they raised tens of millions of dollars from investors nationwide by boasting annualized returns of 125 to 150% and sending false account statements to investors showing similar gains. According to the SEC's complaint, the hedge funds actually were suffering tremendous trading losses, and little remained of investors' money. The SEC has already obtained permanent injunctions against Defendants John Kim, Yung Bae Kim, and Won Sok Lee, and its case is continuing. [U.S. v. Jung Bae Kim, a.k.a. "John Kim," et al, Case No. 06-80197-CR-Ryskamp/Hopkins] (LR-19967) JUDGMENT OF PERMANENT INJUNCTION AND OTHER RELIEF ENTERED AGAINST DEFENDANT THOMAS BOJADZIJEV The Commission announced that on Jan. 3, 2007, the Honorable Gregory A. Presnell, U.S. District Judge for the Middle District of Florida, entered a Judgment of Permanent Injunction and Other Relief against Defendant Thomas L. Bojadzijev. The Judgment, entered with Bojadzijev's consent, without admitting or denying the allegations of the SEC's complaint, enjoins him from future violations of Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933, Sections 10(b), 13(d) and 16(a) of the Securities Exchange Act of 1934, and Rules 10b- 5, 13d-1, 13d-2 and 16a-3 thereunder. The Judgment also bars Bojadzijev from participating in an offer or sale of a penny stock. In addition, it provides for disgorgement and the imposition of a civil penalty in amounts to be determined by the Court upon the SEC's motion. The SEC commenced this action by filing its complaint against Bojadzijev, among others, alleging the defendants violated the registration, antifraud, and reporting provisions of the federal securities laws. [SEC v. Roanoke Technology Corp., et al., Case No. 6:05-cv-1880-Orl-31KRS (M.D.Fla.)] (LR-19968) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change filed by the Chicago Board Options Exchange to amend its rule pertaining to accommodation liquidations (cabinet trades) (SR-CBOE-2007 02) 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. 34-55081) A proposed rule change filed by the National Association of Securities Dealers relating to amendments to the Alternative Display Facility rules (SR-NASD-2007-001) 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. 34-55088) A proposed rule change (SR-ISE-2006-80) filed by the International Securities Exchange relating to fee changes 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. 34-55089) A proposed rule change (SR-Amex-2007-03) filed by the American Stock Exchange modifying listing fees for transferring and dual listing issuers and reverse mergers 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 January 15. (Rel. 34-55096) A proposed rule change filed by The Depository Trust Company to enhance its SMART/Track for Corporate Action Liability Notification service (SR-DTC-2006-19) 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 January 15. (Rel. 34-55098) A proposed rule change filed by the National Association of Securities Dealers to make conforming changes to the NASD/Nasdaq Trade Reporting Facility rules consistent with the new requirements of Regulation NMS (SR-NASD-2007-002) 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. 34-55101) ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission granted accelerated approval to a proposed rule change (SR-NYSEArca-2006-39) submitted by NYSE Arca to trade certain iShares MSCI Index Funds pursuant to unlisted trading privileges. Publication is expected in the Federal Register during the week of January 15. (Rel. 34-55083) 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 LEVEL 3 COMMUNICATIONS INC, 1025 ELDORADO BOULEVARD, BLDG 2000, BROOMFIELD, CO, 80021, 7208881000 - 0 ($28,952,385.00) Equity, (File 333-139836 - Jan. 8) (BR. 11C) S-3ASR LEVEL 3 COMMUNICATIONS INC, 1025 ELDORADO BOULEVARD, BLDG 2000, BROOMFIELD, CO, 80021, 7208881000 - 0 ($180,000,000.00) Other, (File 333-139838 - Jan. 8) (BR. 11C) S-3ASR AVALONBAY COMMUNITIES INC, 2900 EISENHOWER AVENUE, SUITE 300, ALEXANDRIA, VA, 22314, 7033296300 - 0 ($0.00) Other, (File 333-139839 - Jan. 8) (BR. 08A) SB-2 SBD International, Inc, 2534 N MIAMI AVE, ., MIAMI, FL, 33127, 3055739339 - 30,301,000 ($1,515,050.00) Equity, (File 333-139853 - Jan. 8) (BR. 09B) S-3ASR BALDOR ELECTRIC CO, 5711 R S BOREHAM JR ST, P O BOX 2400, FORT SMITH, AR, 72902-2400, 5016464711 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-139854 - Jan. 8) (BR. 10A) S-8 GOLDEN PHOENIX MINERALS INC /MN/, 1675 E. PRATER WAY,, SUITE 102, SPARKS, NV, 89434, 7758534919 - 100,000 ($39,500.00) Equity, (File 333-139855 - Jan. 8) (BR. 04C) S-8 GERBER SCIENTIFIC INC, 83 GERBER RD WEST, SOUTH WINDSOR, CT, 06074, 8606441551 - 0 ($1,357,300.00) Equity, (File 333-139856 - Jan. 8) (BR. 10B) S-8 IDEARC INC., 2200 WEST AIRFIELD DRIVE, DFW AIRPORT, TX, 75261, (972) 453-7000 - 2,500,000 ($70,875,000.00) Equity, (File 333-139857 - Jan. 8) (BR. 05A) S-8 PHAZAR CORP, 1209 ORANGE STREET, PO BOX 8985, WILMINGTON, DE, 19801, 9403253301 - 71,725 ($403,094.50) Equity, (File 333-139858 - Jan. 8) (BR. 11A) SB-2 getpokerrakeback.com, 1288 WEST CORDOVA STREET, SUITE 1805, VANCOUVER, A1, V6C 3R3, 403-618-1370 - 0 ($106,250.00) Equity, (File 333-139940 - Jan. 12) (BR. ) SB-2 Global Pharmatech, Inc., 89 RAVINE EDGE DRIVE, RICHMOND HILL, ONTARIO, A6, L4E 4J6, 905-787-8225 - 1,000,000 ($1,250,000.00) Equity, (File 333-139941 - Jan. 12) (BR. 01B) S-8 Global Pharmatech, Inc., 89 RAVINE EDGE DRIVE, RICHMOND HILL, ONTARIO, A6, L4E 4J6, 905-787-8225 - 2,000,000 ($2,500,000.00) Equity, (File 333-139942 - Jan. 12) (BR. 01B) S-3 HOLMES FUNDING LTD, ABBEY HOUSE BAKER STREET, 011-44-20-7612-4000, LONDON NW1 6XL UNITE, X0, 00000, 0 ($1,000,000.00) Mortgage Backed Securities, (File 333-139944 - Jan. 12) (BR. 05D) SB-2 Asia Document Transition, Inc., 10TH FLOOR, NEW YORK HOUSE, 60 CONNAUGHT ROAD, CENTRAL, K3, 00000, 852-25459133 - 6,150,000 ($615,000.00) Equity, (File 333-139946 - Jan. 12) (BR. ) S-3ASR RAIT Financial Trust, 1818 MARKET, 28TH FL, PHILADELPHIA, PA, 19103, 2158617900 - 6,952,295 ($231,511,424.00) Equity, (File 333-139948 - Jan. 12) (BR. 08C) S-8 SATYAM COMPUTER SERVICES LTD, 271A ANNA SALAI, TEYNAMPET, CHENNAI 600 018, INDIA, K7, 00000, 9140784322 - 13,000,000 ($157,300,000.00) Equity, (File 333-139949 - Jan. 12) (BR. 03A) S-3ASR ACADIA REALTY TRUST, 20 SOUNDVIEW MARKETPLACE, PO BOX 1679, PORT WASHINGTON, NY, 11050, 5167678830 - 0 ($300,000,000.00) Equity, (File 333-139950 - Jan. 12) (BR. 08A) S-3 IPARTY CORP, 270 BRIDGE STREET, SUITE 301, DEDHAM, MA, 02026, 6173230822 - 0 ($1,123,959.03) Equity, (File 333-139951 - Jan. 12) (BR. 02B) S-8 GLOBAL TRAFFIC NETWORK, INC., 800 SECOND AVENUE, 5TH FLOOR, NEW YORK, NY, 10017, 212-896-1255 - 0 ($5,328,000.00) Equity, (File 333-139952 - Jan. 12) (BR. 11C) S-3ASR CROWN CASTLE INTERNATIONAL CORP, 510 BERING DRIVE, SUITE 600, HOUSTON, TX, 77057, 7135703000 - 632,100 ($20,916,189.00) Equity, (File 333-139953 - Jan. 12) (BR. 11A) S-8 MSB FINANCIAL CORP., 1902 LONG HILL ROAD, MILLINGTON, NJ, 07946, 908 647-4000 - 24,611 ($300,008.00) Equity, (File 333-139955 - Jan. 12) (BR. 07) S-8 NBT BANCORP INC, 52 S BROAD ST, NORWICH, NY, 13815, 6073372265 - 250,000 ($6,037,500.00) Equity, (File 333-139956 - Jan. 12) (BR. 07B) S-8 Allis Chalmers Energy Inc., 5075 WESTHEIMER, SUITE 890, HOUSTON, TX, 77056, 713-369-0550 - 0 ($28,065,000.00) Equity, (File 333-139957 - Jan. 12) (BR. 04A) S-8 ANNTAYLOR STORES CORP, 7 TIMES SQUARE, 15TH FLOOR, NEW YORK, NY, 10036, 2125413300 - 0 ($1,694,500.00) Equity, (File 333-139959 - Jan. 12) (BR. 02A) S-8 IDAHO GENERAL MINES INC, 10 N. POST STREET, SUITE 610, SPOKANE, WA, 99201, 509 838 1213 - 0 ($4,952,000.00) Equity, (File 333-139961 - Jan. 12) (BR. 04C) N-2 Nuveen Core Equity Alpha Fund, 333 WEST WACKER DRIVE, CHICAGO, IL, 60606, 312-917-8146 - 1,000 ($20,000.00) Equity, (File 333-139962 - Jan. 12) (BR. ) N-2 TORTOISE ENERGY CAPITAL CORP, 10801 MASTIN BOULEVARD, OVERLAND PARK, KS, 66210, 913-981-1020 - 0 ($1,000.00) Unallocated (Universal) Shelf, (File 333-139963 - Jan. 12) (BR. 16) S-3 THIRD WAVE TECHNOLOGIES INC /WI, 502 S ROSA RD, MADISON, WI, 53719-1256, 608-663-7036 - 0 ($11,831,093.00) Equity, (File 333-139964 - Jan. 12) (BR. 01C) S-8 AMERICAN CAPITAL STRATEGIES LTD, 2 BETHESDA METRO CENTER, 14TH FL, BETHESDA, MD, 20814, 3019516122 - 3,800,000 ($173,622,000.00) Equity, (File 333-139965 - Jan. 12) (BR. 22) S-8 TETON ENERGY CORP, PO BOX 774327, STEAMBOAT SPRINGS, CO, 80477, (303) 565-4600 - 0 ($2,375,000.00) Equity, (File 333-139966 - Jan. 12) (BR. 04B) S-3 ZILA INC, 5227 NORTH 7TH STREET, PHOENIX, AZ, 85014-2800, 6022666700 - 17,368,637 ($38,732,061.00) Equity, (File 333-139967 - Jan. 12) (BR. 01C) S-8 HAMPTON ROADS BANKSHARES INC, 201 VOLVO PARKWAY, CHESAPEAKE, VA, 23320, 7574361000 - 200,000 ($2,360,000.00) Equity, (File 333-139968 - Jan. 12) (BR. 07C) S-8 SKYTERRA COMMUNICATIONS INC, 10802 PARKRIDGE BOULEVARD, RESTON, VA, 20191, 703-390-1899 - 10,400,000 ($102,960,000.00) Equity, (File 333-139969 - Jan. 12) (BR. 11C) S-8 DAYTON SUPERIOR CORP, 7777 WASHINGTON VILLAGE DRIVE, SUITE 130, DAYTON, OH, 45459, 9374287172 - 0 ($18,104,763.00) Equity, (File 333-139970 - Jan. 12) (BR. 06A) S-3 CALLISTO PHARMACEUTICALS INC, 420 LEXINGTON AVENUE, SUITE 601, NEW YORK, NY, 10170, 2126729190 - 0 ($23,587,630.00) Equity, (File 333-139971 - Jan. 12) (BR. 01A) S-8 CONVERA CORP, 1921 GALLOWS ROAD SUITE 200, VIENNA, VA, 22182, 7037615254 - 3,000,000 ($12,480,000.00) Equity, (File 333-139973 - Jan. 12) (BR. 03A) S-3 PRO PHARMACEUTICALS INC, 189 WELLS ST, STE 200, NEWTON, MA, 02459, 6175590033 - 37,087,013 ($14,649,370.00) Equity, (File 333-139974 - Jan. 12) (BR. 01B) S-3 PEREGRINE PHARMACEUTICALS INC, 14282 FRANKLIN AVE, TUSTIN, CA, 92780, 7145086000 - 0 ($30,000,000.00) Equity, (File 333-139975 - Jan. 12) (BR. 01B) S-3 VICAL INC, 10390 PACIFIC CENTER COURT, ., SAN DIEGO, CA, 92121-4340, 858-646-1100 - 0 ($80,000,000.00) Equity, (File 333-139976 - Jan. 12) (BR. 01C) S-8 FORCE PROTECTION INC, 9801 HIGHWAY 78 - BLDG 3, LADSON, SC, 29456, (843) 740-7015 - 0 ($34,948,997.00) Equity, (File 333-139977 - Jan. 12) (BR. 05A) S-3 Williams Partners L.P., ONE WILLIAMS CENTER, TULSA, OK, 74172-0172, (918) 573-2000 - 0 ($376,088,517.06) Equity, (File 333-139978 - Jan. 12) (BR. 02C) S-3 THINK PARTNERSHIP INC, 28050 US 19 NORTH, SUITE 509, CLEARWATER, FL, 33761, 727-324-0046 - 0 ($50,000,000.00) Equity, (File 333-139979 - Jan. 12) (BR. 11B) S-1 Aerobic Creations, Inc., 47 SCHOOL AVENUE, CHATHAM, NJ, 07928, (973) 635-4047 - 18,855,640 ($507,970,941.60) Equity, (File 333-139980 - Jan. 12) (BR. 05A) N-2 ING Asia Pacific High Dividend Equity Income Fund, 7337 E. DOUBLETREE RANCH ROAD, SCOTTSDALE, AZ, 85258, 8009920180 - 40,000 ($1,000,000.00) Equity, (File 333-139981 - Jan. 12) (BR. ) SB-2 PRO ELITE INC, 100 DORIGO LAND, SECAUCUS, NJ, 07094, 9,999,999 ($32,499,996.00) Equity, (File 333-139982 - Jan. 12) (BR. 09) S-8 Hostopia.com Inc., 110 EAST BROWARD BLVD., SUITE 1650, FORT LAUDERDALE, FL, 33301, 800-322-9438 - 1,105,053 ($4,387,498.00) Equity, (File 333-139859 - Jan. 9) (BR. 08A) S-8 AMERIRESOURCE TECHNOLOGIES INC, 3440 E. RUSSELL ROAD, SUITE 217, LAS VEGAS, NV, 89120, 702-214-4245 - 125,000,000 ($635,000.00) Equity, (File 333-139860 - Jan. 9) (BR. 08C) S-8 NATROL INC, 21411 PRAIRIE ST, CHATSWORTH, CA, 91311, 8187396000 - 0 ($8,020,410.00) Equity, (File 333-139861 - Jan. 9) (BR. 01C) S-1 FONIX CORP, 9350 SOUTH 150 EAST, SUITE 700, SANDY, UT, 84070, 8015536600 - 300,000,000 ($3,000,000.00) Equity, (File 333-139862 - Jan. 9) (BR. 11C) S-3ASR SNAP ON INC, 10801 CORPORATE DRIVE, KENOSHA, WI, 53141-1430, 4146565200 - 0 ($300,000,000.00) Other, (File 333-139863 - Jan. 9) (BR. 06B) S-3 AMERICA FIRST TAX EXEMPT INVESTORS LP, 1004 FARNAM ST, STE 400, OMAHA, NE, 68102, 4024441630 - 0 ($100,000,000.00) Equity, (File 333-139864 - Jan. 9) (BR. 11A) S-8 AMERIGON INC, 21680 HAGGERTY ROAD, NORTHVILLE, MI, 48167-8994, 248-504-0500 - 0 ($17,748,000.00) Equity, (File 333-139868 - Jan. 9) (BR. 05A) S-3ASR SIRIUS SATELLITE RADIO INC, 1221 AVENUE OF THE AMERICAS, 36TH FLOOR, NEW YORK, NY, 10020, 2128995000 - 22,058,824 ($83,382,354.72) Equity, (File 333-139869 - Jan. 9) (BR. 11B) S-3ASR TARGET CORP, 1000 NICOLLET MALL, MINNEAPOLIS, MN, 55403, 6123046073 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-139870 - Jan. 9) (BR. 02B) S-8 WACHOVIA CORP NEW, ONE WACHOVIA CTR, CHARLOTTE, NC, 28288-0013, 7043746565 - 0 ($275,000,000.00) Other, (File 333-139871 - Jan. 9) (BR. 07A) S-8 LANDMARK LAND CO INC/DE, 3015743330 - 966,000 ($1,980,300.00) Equity, (File 333-139873 - Jan. 9) (BR. 07C) S-8 DECKERS OUTDOOR CORP, 495A SOUTH FAIRVIEW AVENUE, GOLETA, CA, 93117, 8059677611 - 0 ($117,140,000.00) Equity, (File 333-139874 - Jan. 9) (BR. 06C) S-8 ORACLE CORP, 500 ORACLE PARKWAY, MAIL STOP 5 OP 7, REDWOOD CITY, CA, 94065, 6505067000 - 0 ($29,568,000.00) Equity, (File 333-139875 - Jan. 9) (BR. 03B) S-8 Fuel Systems Solutions, Inc., 3030 SOUTH SUSAN STREET, SANTA ANA, CA, 92704, 714-656-1200 - 400,000 ($400.00) Equity, (File 333-139876 - Jan. 9) (BR. 05B) S-8 INVERNESS MEDICAL INNOVATIONS INC, 51 SAWYER ROAD, SUITE 200, WALTHAM, MA, 02453, 7816473900 - 0 ($76,254,000.00) Equity, (File 333-139878 - Jan. 9) (BR. 01A) S-8 KNIGHT CAPITAL GROUP, INC., NEWPORT TOWER 29TH FL, 525 WASHINGTON BLVD, JERSEY CITY, NJ, 07310, 2012229400 - 0 ($154,280,000.00) Equity, (File 333-139879 - Jan. 9) (BR. 06C) SB-2 AURIGA LABORATORIES, INC., 4704 HARLAN ST, STE 420, DENVER, CO, 80212, 3038311977 - 0 ($7,313,777.00) Equity, (File 333-139880 - Jan. 9) (BR. 09B) S-3 PUGET ENERGY INC /WA, 10885 NE 4TH STREET, BELLEVUE, WA, 980045515, 4254546363 - 6,833,139 ($171,716,783.00) Equity, (File 333-139881 - Jan. 9) (BR. 02B) S-3 LANGER INC, 450 COMMACK ROAD, DEER PARK, NY, 11729, 6136671200 - 6,080,000 ($28,484,000.00) Equity, (File 333-139882 - Jan. 9) (BR. 10B) S-1 USA TECHNOLOGIES INC, 100 DEERFIELD LANE, SUITE 140, MALVERN, PA, 19355, 6109890340 - 2,290,152 ($16,489,094.40) Equity, (File 333-139883 - Jan. 9) (BR. 03B) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: 1.01 Entry into a Material Definitive Agreement 1.02 Termination of a Material Definitive Agreement 1.03 Bankruptcy or Receivership 2.01 Completion of Acquisition or Disposition of Assets 2.02 Results of Operations and Financial Condition 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant 2.04 Triggering Events That Accelerate or Increase a Direct Financial Obligation under an Off-Balance Sheet Arrangement 2.05 Cost Associated with Exit or Disposal Activities 2.06 Material Impairments 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 3.02 Unregistered Sales of Equity Securities 3.03 Material Modifications to Rights of Security Holders 4.01 Changes in Registrant's Certifying Accountant 4.02 Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review 5.01 Changes in Control of Registrant 5.02 Departure of Directors or Principal Officers; Election of Directors; Appointment of Principal Officers 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year 5.04 Temporary Suspension of Trading Under Registrant's Employee Benefit Plans 5.05 Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics 6.01. ABS Informational and Computational Material. 6.02. Change of Servicer or Trustee. 6.03. Change in Credit Enhancement or Other External Support. 6.04. Failure to Make a Required Distribution. 6.05. Securities Act Updating Disclosure. 7.01 Regulation FD Disclosure 8.01 Other Events 9.01 Financial Statements and Exhibits 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. 20549-1090 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE 8K ITEM NO. NAME OF ISSUER CODE DATE COMMENT ACCESS INTEGRATED TECHNOLOGIES INC DE 1.01,8.01,9.01 01/07/07 ACCESS PHARMACEUTICALS INC DE 1.01,5.02 01/08/07 ACORDA THERAPEUTICS INC 5.02,9.01 01/02/07 ACORDA THERAPEUTICS INC 2.02,8.01,9.01 01/08/07 ACTIVISION INC /NY DE 5.02,9.01 12/29/06 ACUSPHERE INC DE 1.01,2.03,9.01 01/05/07 ADA-ES INC CO 7.01,9.01 01/08/07 ADERA MINES LTD 2.02,9.01 01/08/07 ADUDDELL INDUSTRIES INC CO 1.01 12/20/06 ADVANCED VIRAL RESEARCH CORP DE 3.02,9.01 12/31/06 AEI Income & Growth Fund 26 LLC DE 2.01,9.01 12/29/06 AEI INCOME & GROWTH FUND XXII LTD PAR MN 2.01,9.01 12/29/06 AFFYMETRIX INC DE 2.02,9.01 01/08/07 AFLAC INC GA 5.02 01/03/07 AIR PRODUCTS & CHEMICALS INC /DE/ DE 7.01,9.01 01/08/07 ALANCO TECHNOLOGIES INC AZ 2.02,9.01 01/08/07 ALICO INC FL 8.01,9.01 01/04/07 ALLIANCE ONE INTERNATIONAL, INC. VA 7.01,8.01 01/08/07 Alpha Natural Resources, Inc. DE 5.02,5.03,9.01 01/08/07 Alternative Loan Trust 2006-OC10 8.01,9.01 11/30/06 AMEND Alternative Loan Trust 2006-OC11 DE 9.01 12/29/06 ALTRIA GROUP, INC. VA 8.01 01/03/07 AMERICA SERVICE GROUP INC /DE DE 1.01 01/01/07 AMERICAN AIRLINES INC DE 8.01 01/08/07 American Basketball Association, Inc. UT 1.01,2.01,3.02,3.03,5.01,5.02, 12/21/06 9.01 AMERICAN TECHNOLOGY CORP /DE/ DE 2.02,3.01,7.01,8.01,9.01 01/04/07 American Telecom Services Inc 8.01,9.01 01/08/07 AMERISOURCEBERGEN CORP DE 8.01,9.01 01/08/07 AMR CORP DE 8.01 01/08/07 ANGEION CORP/MN MN 2.02,4.02,5.02,8.01,9.01 01/02/07 APAC CUSTOMER SERVICE INC IL 7.01,9.01 01/08/07 APOLLO RESOURCES INTERNATIONAL INC UT 8.01 11/22/06 APPLEBEES INTERNATIONAL INC DE 7.01,8.01,9.01 01/08/07 APPLIED MEDICAL DEVICES INC CO 4.01,9.01 12/12/06 ARAMARK CORP/DE DE 7.01,9.01 01/08/06 Ardent Acquisition CORP DE 7.01,8.01,9.01 01/08/07 ARDENT MINES LTD NV 1.01,8.01,9.01 01/07/07 ARES CAPITAL CORP MD 7.01 01/08/07 Arkanova Energy Corp 1.01,9.01 12/31/06 Asia Electrical Power International G NV 3.02,3.03,5.02,5.03,9.01 12/21/06 ASIA PAYMENT SYSTEMS INC NV 1.01,5.02 01/01/07 ATMEL CORP DE 5.02,9.01 12/29/06 AUDIBLE INC 5.02,9.01 01/08/07 AUTOCAM CORP/MI MI 8.01 01/06/07 AUXILIUM PHARMACEUTICALS INC 7.01,9.01 01/08/07 AVALONBAY COMMUNITIES INC MD 2.02,9.01 01/08/07 AVAYA INC DE 2.05 12/31/06 BA Credit Card Trust 8.01,9.01 01/08/07 BALDOR ELECTRIC CO MO 1.01,2.02,8.01,9.01 01/08/07 BANK OF GRANITE CORP DE 2.02,9.01 01/08/07 BEA SYSTEMS INC DE 8.01,9.01 01/08/07 BEA SYSTEMS INC DE 5.02,9.01 12/31/06 BELL INDUSTRIES INC /NEW/ CA 5.02,8.01,9.01 01/05/07 BENIHANA INC DE 2.02,9.01 01/08/07 BERKSHIRE HILLS BANCORP INC 7.01,9.01 01/08/07 BILL BARRETT CORP 7.01,9.01 01/05/07 BioMETRX DE 1.01,3.02,9.01 01/05/07 BIOVERIS CORP DE 8.01 01/08/07 BLAST ENERGY SERVICES, INC. CA 2.04,8.01 01/08/07 BODISEN BIOTECH, INC DE 5.02,8.01,9.01 01/05/07 BODISEN BIOTECH, INC DE 7.01,9.01 01/08/07 BORLAND SOFTWARE CORP DE 5.02,9.01 01/02/07 BOSTON COMMUNICATIONS GROUP INC MA 1.01,5.02,8.01,9.01 12/29/06 BOSTON SCIENTIFIC CORP DE 1.01,9.01 12/29/06 BPO Management Services DE 3.01,9.01 01/05/07 BRAZIL FAST FOOD CORP DE 8.01 12/31/06 BRINKS CO VA 8.01,9.01 01/08/07 BROOKS AUTOMATION INC DE 8.01,9.01 12/29/06 BROWN SHOE CO INC NY 7.01,9.01 01/08/07 BUCKEYE TECHNOLOGIES INC DE 8.01 12/31/06 BUTLER INTERNATIONAL INC /MD/ MD 5.02 12/31/06 CANEUM INC NV 9.01 12/29/06 AMEND CAREGUIDE INC DE 5.02 12/31/06 CAREMARK RX INC DE 8.01,9.01 01/08/07 Caribou Coffee Company, Inc. MN 2.02,9.01 01/08/07 CASUAL MALE RETAIL GROUP INC DE 2.04,3.02,9.01 01/05/07 CATO CORP DE 2.02,9.01 01/04/07 CATUITY INC DE 5.02 01/02/07 CBOT HOLDINGS INC DE 5.02,9.01 01/02/07 CCI GROUP INC UT 2.04,8.01 11/07/06 Celanese CORP DE 8.01,9.01 01/05/07 CENTENE CORP 1.01 01/01/07 Center for Wound Healing, Inc. 5.02 01/03/07 CENTRAL EUROPEAN DISTRIBUTION CORP DE 1.01,5.02,9.01 01/01/07 CENTURION GOLD HOLDINGS INC FL 2.01,9.01 09/30/06 CHAMPIONS SPORTS INC DE 3.02 01/03/07 CHATTEM INC TN 2.01,9.01 01/02/07 CHEMOKINE THERAPEUTICS CORP DE 1.01,1.02,2.03,9.01 01/08/07 CHINA IVY SCHOOL, INC. NV 5.03,9.01 01/08/07 China VoIP & Digital Telecom Inc. NV 8.01,9.01 01/08/07 CKE RESTAURANTS INC DE 3.03 12/31/06 CLEARONE COMMUNICATIONS INC UT 8.01,9.01 01/08/07 CNX Gas CORP DE 2.02,7.01,9.01 01/08/07 COLOMBIA GOLDFIELDS LTD 5.02 12/31/06 COMBINATORX, INC DE 9.01 01/08/07 COMMUNITY BANK SYSTEM INC DE 5.02 12/31/06 COMPUCREDIT CORP GA 2.02 01/08/07 COMPUWARE CORP MI 1.01,9.01 01/02/07 Core-Mark Holding Company, Inc. DE 5.02,9.01 01/08/07 CORNELL COMPANIES INC DE 8.01,9.01 01/03/07 COSTAR GROUP INC 8.01 01/08/07 Cougar Biotechnology, Inc. 1.01,5.02,9.01 12/29/06 COVENTRY HEALTH CARE INC DE 2.02,9.01 01/08/07 CRESTED CORP CO 8.01,9.01 01/02/07 CrossPoint Energy CO NV 3.02 01/08/07 CYBER LAW REPORTER INC TX 1.01,5.01,5.06 01/08/06 CYGNUS OIL & GAS CORP DE 2.04,5.02,8.01,9.01 12/29/06 D&E COMMUNICATIONS INC PA 5.02 01/08/07 DAYBREAK OIL & GAS INC WA 5.02,7.01,9.01 01/02/07 DEARBORN BANCORP INC /MI/ MI 8.01,9.01 01/04/07 DELTA APPAREL INC GA 2.02,9.01 01/08/07 DENBURY RESOURCES INC DE 5.02 12/06/06 AMEND DENMARK BANCSHARES INC WI 7.01 01/05/07 DIALOG GROUP INC UT 2.01,8.01,9.01 01/04/07 DIGITAL RECORDERS INC NC 1.01,2.03,3.02 12/29/06 DIGUANG INTERNATIONAL DEVELOPMENT CO. NV 8.01 01/01/07 DILLARDS INC DE 7.01,9.01 01/08/07 DIODES INC /DEL/ DE 5.02,9.01 01/01/07 DIVERSA CORP DE 1.01,1.02,2.02,9.01 12/31/06 DOVER DOWNS GAMING & ENTERTAINMENT IN DE 1.01 01/03/07 DOVER MOTORSPORTS INC DE 1.01 01/03/07 Duke Energy CORP DE 2.01,9.01 01/08/07 DUQUESNE LIGHT HOLDINGS INC PA 2.03 01/03/07 DUSA PHARMACEUTICALS INC NJ 1.01,9.01 01/08/07 E DIGITAL CORP DE 1.01,3.02,9.01 01/02/07 EAST KANSAS AGRI ENERGY LLC KS 1.01,1.02,5.02 12/31/06 EASTGROUP PROPERTIES INC MD 5.02,9.01 12/29/06 EBANK FINANCIAL SERVICES INC GA 5.02 01/02/07 Emergent BioSolutions Inc. DE 2.02,9.01 01/08/07 ENER1 INC FL 1.01,3.02 01/05/07 Energtek 1.01,3.02,9.01 11/28/06 Energy Transfer Equity, L.P. DE 2.01,9.01 12/01/06 AMEND Energy Transfer Partners, L.P. DE 2.01,9.01 12/01/06 AMEND EnerJex Resources, Inc. NV 1.01,8.01,9.01 12/12/06 ENSTAR GROUP INC GA 3.01,8.01,9.01 01/05/07 ENVIRONMENTAL POWER CORP DE 5.02 01/08/07 ev3 Inc. DE 2.02,9.01 01/08/07 EVERGREEN SOLAR INC DE 5.02,5.03,9.01 01/02/07 EXPRESS SCRIPTS INC DE 8.01,9.01 01/08/07 EXPRESS SCRIPTS INC DE 8.01,9.01 01/08/07 FACTORY CARD & PARTY OUTLET CORP DE 2.02,9.01 01/04/07 Farrier Resources Corp NV 5.03 01/04/07 FASTFUNDS FINANCIAL CORP NV 1.01,5.02,9.01 12/29/06 Federal Home Loan Bank of Seattle 7.01,9.01 01/05/07 FIELDSTONE INVESTMENT CORP 1.01,5.02,9.01 12/29/06 FIRST CENTURY BANKSHARES INC WV 5.02 01/03/07 FIRST FARMERS & MERCHANTS CORP TN 7.01 01/08/07 FIRST INDIANA CORP IN 8.01,9.01 01/08/07 FIRST MONTAUK FINANCIAL CORP NJ 5.02,9.01 01/05/07 FMC TECHNOLOGIES INC DE 7.01,9.01 01/05/07 Franchise Capital Corp. NV 5.02 01/02/07 FRANKLIN BANK CORP 8.01 12/31/06 GENAERA CORP DE 8.01,9.01 01/03/07 GENERAL MOTORS CORP DE 8.01 01/03/07 GENESCO INC TN 7.01 01/08/07 GENESEE & WYOMING INC DE 5.02 01/08/07 GLENAYRE TECHNOLOGIES INC DE 2.01,9.01 12/31/06 GLOBAL GOLD CORP DE 1.01,3.02,5.02,8.01 01/01/07 GLOBAL GREEN SOLUTIONS INC. WA 3.02 12/29/06 GOLDEN EAGLE INTERNATIONAL INC CO 1.01,1.02,3.02,3.03,9.01 12/29/06 GOLDMAN SACHS HEDGE FUND PARTNERS LLC DE 7.01 01/08/07 GOLDMAN SACHS HEDGE FUND PARTNERS LLC DE 3.02 01/08/07 GOODRICH PETROLEUM CORP DE 5.02,9.01 01/05/07 GPS INDUSTRIES, INC. NV 3.02,5.02,5.03,9.01 12/29/06 Grande Communications Holdings, Inc. DE 1.01,9.01 12/29/06 GREAT CHINA INTERNATIONAL HOLDINGS, I NV 8.01 12/20/06 GROUP 1 AUTOMOTIVE INC DE 2.02,7.01,8.01,9.01 01/08/07 GTREX CAPITAL, INC. DE 5.02 01/02/07 GUESS INC DE 5.02,8.01,9.01 12/29/06 HANOVER COMPRESSOR CO / DE 3.02 01/03/07 HANSEN NATURAL CORP DE 5.02,9.01 12/30/06 HAPC, Inc. DE 7.01,8.01,9.01 01/08/07 HEALTHSOUTH CORP DE 7.01,9.01 01/08/07 HERTZ CORP DE 7.01,9.01 01/05/07 HERTZ GLOBAL HOLDINGS INC 7.01,9.01 01/05/07 HMS HOLDINGS CORP 2.02,7.01,9.01 01/08/07 HOME DEPOT INC DE 5.03,9.01 01/04/07 HOUSTON EXPLORATION CO DE 1.01,3.03,5.02,7.01,9.01 01/07/07 HSI Asset Securitization CORP Trust 2 8.01,9.01 12/05/06 HUDSON CITY BANCORP INC DE 5.02,9.01 01/01/07 HUMAN GENOME SCIENCES INC DE 2.02,9.01 01/08/07 Huron Consulting Group Inc. DE 1.01,2.01,2.03,9.01 12/29/06 HYDROGEN POWER INTERNATIONAL INC DE 1.01,3.02,5.02,9.01 12/29/06 ICON CASH FLOW PARTNERS L P SEVEN DE 5.02 01/08/07 ICON CASH FLOW PARTNERS L P SEVEN DE 5.02 01/08/07 AMEND ICON INCOME FUND EIGHT /DE DE 5.02 01/08/07 ICON INCOME FUND EIGHT B LP 5.02 01/08/07 ICON INCOME FUND NINE LLC DE 5.02 01/08/07 ICON INCOME FUND TEN LLC DE 5.02 01/08/07 ICON Leasing Fund Eleven, LLC DE 5.02 01/08/07 IDM PHARMA, INC. DE 7.01,9.01 01/08/07 IMMUNE RESPONSE CORP DE 3.02 01/03/07 IMPAX LABORATORIES INC DE 8.01,9.01 12/29/06 IMPLANT SCIENCES CORP MA 1.01 12/29/06 INDEPENDENCE HOLDING CO DE 5.02 01/02/07 INFINITY PHARMACEUTICALS, INC. DE 7.01,8.01,9.01 01/08/07 INNSUITES HOSPITALITY TRUST OH 4.01 12/31/06 INPUT OUTPUT INC DE 5.02,9.01 01/05/07 INSURE.COM, INC 7.01,9.01 01/08/07 INTEGRITY MUTUAL FUNDS INC ND 5.02 12/29/06 INTELSAT LTD 7.01,9.01 01/08/07 INTERNATIONAL MONETARY SYSTEMS LTD /W WI 1.01,2.01,9.01 12/30/06 International Power Group, Ltd. DE 5.02 01/02/07 INTERNATIONAL TEXTILE GROUP INC DE 8.01 12/29/06 INTERNATIONAL TEXTILE GROUP INC DE 1.01,2.03,8.01 12/29/06 INTERSTATE BAKERIES CORP/DE/ DE 7.01,9.01 01/05/07 IPARTY CORP DE 5.02,9.01 01/08/07 iPCS, INC DE 8.01 01/08/07 IQ Micro Inc. CO 1.01 12/31/06 ISRAMCO INC DE 1.01 12/31/06 Ithaka Acquisition Corp DE 8.01,9.01 01/03/07 IWT TESORO CORP NV 9.01 01/03/07 IWT TESORO CORP NV 9.01 10/19/06 AMEND IWT TESORO CORP NV 9.01 12/10/06 AMEND J P MORGAN CHASE & CO DE 5.02 12/31/06 J.P. Morgan Mortgage Trust 2005-A7 DE 8.01,9.01 01/08/07 JACKSONVILLE BANCORP INC IL 2.02,9.01 01/08/07 JUNIPER NETWORKS INC DE 5.02 01/04/07 KANSAS CITY LIFE INSURANCE CO MO 8.01 01/08/07 KATY INDUSTRIES INC DE 1.01,5.02,9.01 01/08/07 Kearny Financial Corp. X1 4.02 01/02/07 KENTUCKY BANCSHARES INC /KY/ KY 5.02 01/08/07 KFORCE INC FL 5.02,9.01 12/31/06 KINETIC CONCEPTS INC /TX/ TX 2.02,9.01 12/31/06 KLONDIKE STAR MINERAL CORP DE 8.01 12/19/06 KRAFT FOODS INC VA 2.06 01/03/07 LANDAMERICA FINANCIAL GROUP INC VA 5.02,9.01 12/28/06 AMEND LAS VEGAS GAMING INC NV 5.03,9.01 12/29/06 LASER MASTER INTERNATIONAL INC NY 8.01 12/21/06 LAUREATE EDUCATION, INC. MD 5.02 12/29/06 LEAPFROG ENTERPRISES INC 5.02,9.01 12/31/06 Legacy Bancorp, Inc. DE 7.01,9.01 01/05/07 LEHMAN ABS CORP BACKED TR CERT FED EX DE 8.01,9.01 01/01/07 LEHMAN ABS CORP BACKED TRUST CERTS SE DE 8.01 01/04/07 Lexington Master Limited Partnership DE 1.02,5.01,5.03,8.01,9.01 12/29/06 LEXINGTON REALTY TRUST MD 1.01,2.01,3.02,5.02,5.03,8.01, 12/31/06 9.01 LIFECELL CORP DE 2.02,9.01 01/08/07 LONG-E INTERNATIONAL, INC. UT 1.01,2.01,2.02,3.02,3.03,4.01, 12/29/06 5.01,5.02,5.06 LSI INDUSTRIES INC OH 2.02,9.01 12/31/06 MACATAWA BANK CORP MI 3.02 01/01/07 MAINSOURCE FINANCIAL GROUP IN 7.01,9.01 01/08/07 MANAGEMENT NETWORK GROUP INC 8.01 01/02/07 MANAKOA SERVICES CORP NV 8.01,9.01 01/08/07 MANCHESTER INC 1.01,2.01,2.03,3.02,5.02,8.01, 12/29/06 9.01 MASTERCARD INC DE 3.02 12/31/06 MCF CORP DE 1.01,9.01 01/08/07 MCKESSON CORP DE 1.01,1.02,3.03,5.03,8.01,9.01 01/04/07 MedaSorb Technologies CORP 5.02 01/01/07 MEDecision, Inc. PA 2.02,9.01 01/05/07 MEDICSIGHT INC DE 8.01,9.01 01/05/07 MEDICSIGHT INC DE 8.01,9.01 01/05/07 AMEND MEDWAVE INC DE 3.01,8.01,9.01 01/05/07 MIDNET INC 1.01,5.02,9.01 01/08/07 MILLENNIUM CELL INC DE 1.01,1.02,2.01,3.02,9.01 12/29/06 MOLEX INC DE 2.02,9.01 01/08/07 MONEY CENTERS OF AMERICA, INC. DE 1.01,2.03,3.02,9.01 12/28/06 MVB FINANCIAL CORP WV 4.01 01/08/07 MYRIAD GENETICS INC DE 8.01,9.01 01/08/07 NARROWSTEP INC DE 5.02 01/02/07 NATIONAL CITY CORP DE 8.01,9.01 01/05/07 NAVISITE INC DE 3.02 01/02/07 NBOG BANCORPORATION INC GA 3.02 12/28/06 NEENAH FOUNDRY CO WI 1.01,2.03,9.01 12/29/06 NEOMEDIA TECHNOLOGIES INC DE 1.01,3.02,9.01 12/29/06 NETBANK INC GA 3.02,8.01,9.01 12/29/06 Neuralstem, Inc. DE 8.01,9.01 01/04/07 NEW WORLD BRANDS INC DE 3.02,5.02,5.03,8.01,9.01 12/29/06 NITRO PETROLEUM INC 5.03 12/29/06 Nomura Asset Acceptance Corporation, DE 2.01,9.01 08/31/06 AMEND Novelis Inc. A6 5.02,9.01 12/29/06 NRG ENERGY, INC. DE 8.01,9.01 12/29/06 NU HORIZONS ELECTRONICS CORP DE 2.02,9.01 01/08/07 OPTIO SOFTWARE INC GA 8.01,9.01 01/05/07 ORIGINALLY NEW YORK INC 5.02 01/03/07 ORTHODONTIX INC FL 1.01,2.01,3.02,5.01,5.02,5.06, 12/31/06 9.01 OSI RESTAURANT PARTNERS, INC. DE 2.02,9.01 01/08/07 PACIFICHEALTH LABORATORIES INC DE 1.02 01/05/07 PARAGON TECHNOLOGIES INC PA 8.01,9.01 01/08/07 PARLUX FRAGRANCES INC DE 8.01,9.01 01/08/07 PATRIARCH INC DE 1.01,9.01 12/29/06 PATRIOT TRANSPORTATION HOLDING INC FL 8.01 01/08/06 PAULSON CAPITAL CORP OR 5.02,9.01 01/05/07 Penn Virginia GP Holdings, L.P. 1.01 01/08/07 PENN VIRGINIA RESOURCE PARTNERS L P DE 3.02 01/08/07 PENWEST PHARMACEUTICALS CO WA 5.02 01/03/07 PHARMACOPEIA DRUG DISCOVERY INC DE 8.01 01/03/07 PHARMACOPEIA DRUG DISCOVERY INC DE 7.01,9.01 01/08/07 PINNACLE ENTERTAINMENT INC DE 5.02,9.01 12/29/06 PINNACLE ENTERTAINMENT INC DE 8.01 01/05/07 PINNACLE FINANCIAL PARTNERS INC TN 3.01,9.01 01/05/07 PLANETOUT INC DE 1.01,3.03,5.03,9.01 01/04/07 PLATO LEARNING INC DE 5.02,9.01 01/05/07 PNM RESOURCES INC NM 2.01,8.01 01/08/07 POLYMER GROUP INC DE 2.05,9.01 01/03/07 PROGENICS PHARMACEUTICALS INC DE 5.02,9.01 01/08/07 PROLIANCE INTERNATIONAL, INC. DE 1.01,9.01 01/03/07 ProLink Holdings Corp. DE 1.01,3.02,5.03,9.01 12/29/06 PSB BANCORP INC PA 3.01,9.01 01/04/07 PSB GROUP INC MI 5.02 12/31/06 PURE VANILLA EXCHANGE INC NV 2.01,3.02,5.02,9.01 12/31/06 PYRAMID BREWERIES INC WA 1.01,9.01 01/02/07 RAAC Series 2006-SP4 Trust DE 8.01,9.01 01/08/07 RADIOSHACK CORP DE 2.02,9.01 01/08/07 RALCORP HOLDINGS INC /MO MO 1.01,9.01 01/03/07 RAMCO GERSHENSON PROPERTIES TRUST MD 8.01,9.01 01/08/07 RANCHER ENERGY CORP. NV 1.01,2.01,3.02,7.01,9.01 01/04/07 REGIONS FINANCIAL CORP DE 5.02 01/02/07 REHABCARE GROUP INC DE 7.01,9.01 01/05/07 RENOVIS INC DE 5.02,9.01 01/04/07 RG GLOBAL LIFESTYLES INC CA 3.02,5.02 12/26/06 RICHARDSON ELECTRONICS LTD/DE DE 7.01 01/04/07 RIVER CAPITAL GROUP, INC. DE 1.01,3.02,9.01 12/31/06 Rockwood Holdings, Inc. DE 2.01,9.01 01/02/07 RR Donnelley & Sons Co DE 1.01,9.01 01/02/07 SACO I Trust 2006-10 DE 9.01 10/30/06 AMEND SAFE TRAVEL CARE INC NV 1.01,2.01,5.02,9.01 12/29/06 SAIA INC DE 5.02 01/01/07 SCANSOURCE INC SC 2.02,9.01 01/08/07 SCHIMATIC CASH TRANSACTIONS NETWORK C FL 1.01 04/06/06 SCHNITZER STEEL INDUSTRIES INC OR 2.02,9.01 01/08/07 SEATTLE GENETICS INC /WA DE 1.01,9.01 01/07/07 SEATTLE GENETICS INC /WA DE 1.01,9.01 01/07/07 SECURED DIGITAL APPLICATIONS INC DE 2.02,9.01 01/03/07 SECURED FINANCIAL NETWORK, INC. NV 4.01,9.01 12/14/06 AMEND SEITEL INC DE 5.02 01/08/07 SEMOTUS SOLUTIONS INC NV 1.01,9.01 01/03/07 SHELRON GROUP INC DE 3.02 12/29/06 Shine Media Acquisition Corp. DE 8.01,9.01 12/27/06 AMEND SHUTTERFLY INC 5.02,9.01 01/01/07 SIBONEY CORP MD 5.02 01/08/07 SIERRA BANCORP CA 5.02,9.01 01/01/07 SILICON IMAGE INC DE 1.01,9.01 01/02/07 SILVERADO GOLD MINES LTD A1 8.01,9.01 01/05/07 SILVERGRAPH INTERNATIONAL INC NV 1.01,3.02,8.01 12/31/06 SK REALTY VENTURES INC 5.02 01/03/07 SKYE INTERNATIONAL, INC NV 3.01 01/05/07 SLM CORP DE 5.02 12/29/06 SOFTECH INC MA 5.02,9.01 01/02/07 Solar Power, Inc. NV 4.01,9.01 12/29/06 Solar Power, Inc. NV 1.01,1.02,2.01,3.02,5.01,5.02, 12/29/06 9.01 Solexa, Inc. DE 8.01,9.01 01/08/07 Somaxon Pharmaceuticals, Inc. DE 7.01,9.01 01/08/07 SOMERSET HILLS BANCORP NJ 5.02 01/04/07 SONOSITE INC 2.02,9.01 01/08/07 Spectra Energy Capital, LLC DE 2.01,5.03,9.01 12/30/06 Spectra Energy Corp. DE 7.01,8.01,9.01 01/02/07 SPECTRANETICS CORP DE 1.01 12/29/06 SPECTRUM CONTROL INC PA 2.02,9.01 01/08/07 SPRINT NEXTEL CORP KS 2.02,7.01,9.01 01/08/07 ST JUDE MEDICAL INC MN 2.02,9.01 01/08/07 STAR GAS PARTNERS LP DE 8.01 01/08/07 STARTEK INC DE 5.02,9.01 01/05/07 Sun American Bancorp DE 1.01,2.01,8.01,9.01 12/27/06 SUNCOM WIRELESS HOLDINGS, INC. 1.02 12/29/06 SunOpta Inc. 5.02,9.01 01/05/07 SUNTRUST ALTERNATIVE LOAN TRUST, SERI DE 1.01,6.02 01/02/07 SUPERIOR INDUSTRIES INTERNATIONAL INC CA 5.02,9.01 12/31/06 SYNTAX-BRILLIAN CORP DE 2.02,9.01 01/08/07 SyntheMed, Inc. DE 8.01 01/02/07 TARGETED GENETICS CORP /WA/ WA 1.01,3.02,9.01 01/08/07 TECO ENERGY INC FL 8.01,9.01 01/08/07 TEKOIL & GAS CORP DE 1.01,3.02,9.01 12/29/06 TELLABS INC DE 2.02,9.01 01/05/07 TESCO CORP 7.01 01/08/07 TEXAS UNITED BANCSHARES INC TX 5.02 12/29/06 THERMA WAVE INC DE 1.01,5.02,7.01,9.01 01/07/07 THERMADYNE HOLDINGS CORP /DE DE 2.05,2.06 12/30/06 Titan Global Holdings, Inc. UT 1.01,1.02,2.03,3.02,7.01,9.01 12/29/06 Titan Global Holdings, Inc. UT 1.01,3.02,9.01 12/29/06 TITANIUM METALS CORP DE 5.02 01/01/07 TLC VISION CORP A6 8.01,9.01 01/08/07 TRC COMPANIES INC /DE/ DE 1.01,9.01 12/29/06 TRINITY3 CORP DE 5.02 12/30/06 TRIPOS INC UT 1.01,8.01,9.01 01/05/07 Tube Media Corp. CO 1.01,9.01 01/02/07 TVIA INC DE 2.03 12/29/06 TYCO INTERNATIONAL LTD /BER/ D0 1.01,1.02,9.01 12/29/06 UAL CORP /DE/ DE 2.02,7.01,9.01 01/05/07 UMPQUA HOLDINGS CORP OR 7.01,9.01 01/08/07 UNIFIRST CORP MA 5.02 01/05/07 UNITED STATES LIME & MINERALS INC TX 5.02 12/29/06 UNITED SURGICAL PARTNERS INTERNATIONA DE 1.01,3.03,7.01,9.01 01/07/07 UNITEDHEALTH GROUP INC MN 7.01 01/08/07 UNIVERSAL HOSPITAL SERVICES INC MN 7.01,9.01 01/08/07 UREX ENERGY CORP. 3.02,9.01 12/29/06 US AIRWAYS GROUP INC DE 8.01,9.01 01/08/07 US ENERGY CORP WY 8.01,9.01 01/02/07 UTSTARCOM INC DE 8.01,9.01 01/08/07 VALASSIS COMMUNICATIONS INC DE 1.01,3.03,9.01 01/05/07 Valentec Systems, Inc DE 5.02,9.01 01/08/07 VANTAGEMED CORP DE 1.01,9.01 01/05/07 VAXGEN INC DE 2.01,2.02,9.01 12/28/06 VENTANA MEDICAL SYSTEMS INC DE 2.01 01/08/07 VERSO TECHNOLOGIES INC MN 1.01,2.01,3.02,9.01 12/29/06 VFINANCE INC DE 5.02,9.01 12/29/06 VIASPACE Inc. NV 8.01,9.01 01/08/07 VICAL INC DE 5.02 01/05/07 VICTORY ENERGY CORP NV 5.02 12/15/06 VIROPHARMA INC DE 7.01,9.01 01/08/07 VITAL SIGNS INC NJ 8.01,9.01 12/19/06 VOXWARE INC DE 1.01,2.03,9.01 01/03/07 WABASH NATIONAL CORP /DE DE 5.02,9.01 01/01/07 WAH KING INVEST CORP. DE 1.02,8.01 01/08/07 WAKO LOGISTICS GROUP INC 5.02,7.01,9.01 01/08/07 WAUSAU PAPER CORP. WI 5.02 12/18/06 WEATHERFORD INTERNATIONAL LTD D0 1.01,5.02,9.01 12/31/06 WEBEX COMMUNICATIONS INC DE 1.01 01/03/07 WELLCARE HEALTH PLANS, INC. DE 7.01 01/08/07 WELLS FARGO & CO/MN DE 9.01 01/08/07 WESTFIELD FINANCIAL INC MA 1.01,9.01 01/03/07 WHIRLPOOL CORP /DE/ DE 5.03,9.01 01/05/07 WILLBROS GROUP INC R1 5.02,9.01 12/29/06 WORKSTREAM INC 2.02,8.01,9.01 12/03/06 Wright Express CORP 5.02,8.01,9.01 01/03/07 XATA CORP /MN/ MN 5.02,9.01 01/02/07 XSTREAM BEVERAGE NETWORK, INC. NV 1.01,8.01,9.01 01/08/07 YOUBET COM INC DE 5.02,9.01 12/13/06 ZILOG INC CA 5.02,9.01 01/03/07 99 CENTS ONLY STORES CA 2.02,9.01 01/08/07 ABRAXAS PETROLEUM CORP NV 7.01,9.01 01/09/07 ACCEPTANCE INSURANCE COMPANIES INC DE 8.01,9.01 01/08/07 ACORN FACTOR, INC. DE 1.01,5.02 12/31/06 ACTIVE POWER INC DE 8.01,9.01 01/09/07 ADOLOR CORP 1.01,5.02,9.01 01/04/07 ADVANCED BATTERY TECHNOLOGIES, INC. DE 4.01,9.01 12/26/06 ADVANCED MICRO DEVICES INC DE 2.01,9.01 10/24/06 AMEND Affinion Group, Inc. DE 1.01,9.01 01/04/07 AGILE SOFTWARE CORP DE 8.01,9.01 01/09/07 Aircastle LTD D0 5.02,9.01 01/08/07 AIRGUIDE, INC. OK 5.03 01/08/07 Alexza Pharmaceuticals Inc. DE 1.01 01/04/07 ALLOS THERAPEUTICS INC DE 5.02,5.03,7.01,8.01,9.01 01/05/07 AMARU INC NV 5.02,9.01 01/08/06 AMERICA FIRST TAX EXEMPT INVESTORS LP DE 8.01,9.01 01/09/07 AMERICAN AIRLINES INC DE 7.01 01/09/07 AMERICAN DAIRY INC UT 5.02 01/03/07 AMERICAN HOME MORTGAGE INVESTMENT TRU DE 8.01,9.01 12/26/06 AMERICAN HOME MORTGAGE INVESTMENT TRU DE 8.01,9.01 12/26/06 AMERICAN VANGUARD CORP DE 8.01,9.01 01/08/07 AMH Holdings, Inc. DE 7.01,9.01 01/09/07 AMR CORP DE 7.01 01/09/07 APOLLO GOLD CORP 1.01,9.01 12/31/06 ASPEN TECHNOLOGY INC /DE/ DE 8.01,9.01 01/08/07 ASSOCIATED MATERIALS INC DE 7.01,9.01 01/09/07 ASTRONICS CORP NY 1.01,2.03,9.01 01/09/07 ATARI INC DE 7.01,8.01,9.01 01/03/07 ATHEROGENICS INC GA 8.01,9.01 01/08/07 AtriCure, Inc. DE 1.01,5.02,9.01 01/04/07 AURA SYSTEMS INC DE 1.01,9.01 01/04/07 AVALON DEVELOPMENT ENTERPRISES, INC. FL 5.02 01/08/07 AVON PRODUCTS INC NY 8.01,9.01 01/09/07 AXT INC DE 8.01,9.01 01/09/07 AZTEC OIL & GAS, INC. NV 3.02,8.01 01/09/07 BARR PHARMACEUTICALS INC DE 9.01 10/24/06 AMEND BASIC EARTH SCIENCE SYSTEMS INC DE 8.01,9.01 01/09/07 BEACON POWER CORP DE 7.01,9.01 01/09/07 BIG 5 SPORTING GOODS CORP DE 2.02,9.01 01/09/07 BILL BARRETT CORP 7.01,9.01 01/09/07 BIOPHAN TECHNOLOGIES INC NV 4.02 01/09/07 BJS WHOLESALE CLUB INC DE 2.05,2.06,5.02 01/03/07 BNS HOLDING, INC. 8.01,9.01 01/09/07 BODYTEL SCIENTIFIC INC. NV 8.01,9.01 01/08/07 BOSTON SCIENTIFIC CORP DE 2.05,9.01 01/08/07 Breezer Ventures Inc. NV 8.01 01/08/07 BRONZE MARKETING INC 1.01,9.01 01/09/07 BUCKLE INC NE 7.01,9.01 01/09/07 CACHE INC FL 2.02 01/04/07 CALIFORNIA NEWS TECH NV 8.01 01/09/07 CALPINE CORP DE 8.01 01/09/07 CAREMARK RX INC DE 8.01,9.01 01/08/07 Caribou Coffee Company, Inc. MN 7.01,9.01 01/09/07 CECO ENVIRONMENTAL CORP DE 8.01,9.01 01/04/07 CELGENE CORP /DE/ DE 8.01,9.01 01/08/07 CENTRA FINANCIAL HOLDINGS INC WV 5.02 01/05/07 CENTRAL FEDERAL CORP DE 5.02,9.01 01/08/07 CENTRAL GARDEN & PET CO DE 5.02 01/03/07 CHAMPIONS SPORTS INC DE 3.02 01/05/07 CHANNELL COMMERCIAL CORP DE 5.02,9.01 01/03/07 Chaparral Energy, Inc. DE 8.01,9.01 01/09/07 Chaparral Energy, Inc. DE 7.01 01/09/07 Chaparral Energy, Inc. DE 7.01,9.01 10/31/06 AMEND CHEMOKINE THERAPEUTICS CORP DE 8.01 01/09/07 CHINA DIGITAL COMMUNICATION GROUP NV 5.02,9.01 01/04/07 CHINA IVY SCHOOL, INC. NV 4.01,9.01 01/09/07 CHINA WIRELESS COMMUNICATIONS INC NV 4.01,9.01 01/03/07 CINGULAR WIRELESS LLC DE 5.02 01/03/07 CIT GROUP INC DE 8.01 01/05/07 CITIGROUP INC DE 8.01,9.01 01/08/07 Citizens Community Bancorp Inc. MD 1.02,5.02 01/03/07 CKRUSH, INC. DE 1.01,9.01 01/05/07 COLOR KINETICS INC DE 1.01 01/03/07 COMPUCREDIT CORP GA 1.01,9.01 01/03/07 CONCORD CAMERA CORP NJ 5.02,9.01 01/09/07 CONOCOPHILLIPS DE 8.01 01/09/07 CONOR MEDSYSTEMS INC 8.01,9.01 01/05/07 CONSOLIDATED CONTAINER CO LLC DE 5.02 12/01/06 CORGENIX MEDICAL CORP/CO NV 8.01 01/04/07 CORNERSTONE BANCORP/SC SC 1.01,9.01 01/05/07 COVAD COMMUNICATIONS GROUP INC DE 5.02,9.01 01/04/07 CRAY INC WA 2.02,9.01 01/09/07 CREDO PETROLEUM CORP CO 8.01,9.01 01/05/07 CRITICAL THERAPEUTICS INC DE 2.02,9.01 01/09/07 CYCLE COUNTRY ACCESSORIES CORP NV 2.02,9.01 01/09/07 CYTRX CORP DE 1.01,7.01,9.01 01/08/07 Darwin Professional Underwriters Inc DE 5.02 01/08/07 DAVI SKIN, INC. NV 8.01 01/03/07 DAVITA INC DE 7.01 01/08/07 DCAP GROUP INC DE 8.01,9.01 01/08/07 DEARBORN BANCORP INC /MI/ MI 2.01,8.01,9.01 01/04/07 AMEND DGSE COMPANIES INC NV 1.01,7.01,9.01 01/09/07 DIAMOND OFFSHORE DRILLING INC DE 7.01,9.01 01/08/07 Dividend Capital Total Realty Trust I MD 8.01 01/04/07 DJO INC DE 2.02,9.01 01/09/07 DOUBLE EAGLE PETROLEUM CO MD 7.01,9.01 01/09/07 DREW INDUSTRIES INC DE 8.01,9.01 01/02/07 DUN & BRADSTREET CORP/NW DE 2.02,2.05,7.01,9.01 01/05/07 DUSKA THERAPEUTICS, INC. NV 1.01,3.02,9.01 01/08/07 DXP ENTERPRISES INC TX 5.02 01/09/07 E-Z-EM, Inc. DE 2.02,7.01,9.01 01/09/07 EASTMAN KODAK CO NJ 2.05,9.01 01/05/07 ECHELON CORP DE 8.01 01/09/07 EDGEWATER TECHNOLOGY INC/DE/ DE 7.01,9.01 01/09/07 EMAGEON INC 7.01,9.01 01/08/07 EMCORE CORP NJ 2.02,7.01,9.01 01/08/07 EMDEON CORP DE 2.02,9.01 01/09/07 EMMIS COMMUNICATIONS CORP IN 2.02,9.01 01/09/07 ENCYSIVE PHARMACEUTICALS INC DE 7.01,9.01 01/08/07 ENDO PHARMACEUTICALS HOLDINGS INC DE 7.01,9.01 01/09/07 ENDOCARE INC DE 8.01 12/31/06 EnerSys DE 7.01,9.01 01/09/07 ENESCO GROUP INC IL 2.04,9.01 01/04/07 EPOCH HOLDING CORP DE 8.01,9.01 01/09/07 EXCELSIOR LASALLE PROPERTY FUND INC 8.01 01/09/07 Federal Home Loan Bank of Atlanta X1 2.03 01/04/07 Federal Home Loan Bank of Boston X1 2.03 01/03/07 Federal Home Loan Bank of Chicago X1 2.03 01/03/07 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 01/03/07 Federal Home Loan Bank of Dallas 2.03 01/03/07 Federal Home Loan Bank of Des Moines X1 2.03,9.01 01/03/06 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 12/27/06 Federal Home Loan Bank of New York X1 2.03,9.01 01/03/07 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 01/03/07 Federal Home Loan Bank of San Francis X1 2.03 01/03/07 Federal Home Loan Bank of Seattle 2.03 01/08/07 Federal Home Loan Bank of Topeka 2.03 01/03/07 Federal Services Acquisition CORP DE 1.01,7.01,8.01,9.01 01/08/07 FINISAR CORP DE 5.02 01/08/07 FIRST FEDERAL BANKSHARES INC DE 5.02,9.01 01/03/07 First Horizon Asset Sec Mort Pass Thr DE 8.01,9.01 12/28/06 First Horizon Asset Sec Mort Pass Thr DE 8.01,9.01 12/28/06 First Horizon Asset Sec Mort Pass Thr DE 8.01,9.01 12/28/06 First Horizon Asset Sec Mort Pass Thr DE 8.01,9.01 12/28/06 FIRST NORTHERN COMMUNITY BANCORP CA 1.01 12/31/06 FIRST SOUTH BANCORP INC /VA/ VA 8.01,9.01 01/09/07 FirstBank Financial Services, Inc. GA 5.02 01/05/07 FOREST OIL CORP NY 1.01,7.01,9.01 01/07/07 Franchise Capital Corp. NV 5.03 01/03/07 FRANKLIN CREDIT MANAGEMENT CORP/DE/ DE 8.01,9.01 01/09/07 GASTAR EXPLORATION LTD 7.01,9.01 01/09/07 GE-WMC Asset-Backed Pass Through Cert 9.01 12/25/06 GE-WMC Asset-Backed Pass-Through Cert 9.01 12/25/06 GENWORTH FINANCIAL INC DE 5.02,8.01 01/08/07 GENZYME CORP MA 2.02,9.01 01/09/07 GLOBAL ENTERTAINMENT HOLDINGS/EQUITIE CO 4.01 12/28/06 GLOBAL SUNRISE, Inc. CO 8.01,9.01 01/08/07 GMX RESOURCES INC OK 7.01,9.01 01/09/07 GOLDEN CHIEF RESOURCES INC KS 4.01 08/09/06 AMEND GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 01/05/07 GREAT ATLANTIC & PACIFIC TEA CO INC MD 2.02,9.01 01/09/07 GREENBRIER COMPANIES INC DE 2.02,9.01 01/09/07 GS AGRIFUELS CORP DE 5.02 12/26/06 HarborView 2006-14 DE 8.01,9.01 12/22/06 HARRIS & HARRIS GROUP INC /NY/ NY 8.01 01/08/07 HEALTH CARE PROPERTY INVESTORS INC MD 8.01,9.01 01/08/07 HEALTH CARE PROPERTY INVESTORS INC MD 8.01,9.01 01/08/07 HEARUSA INC DE 2.02,9.01 01/09/07 HERBST GAMING INC NV 2.01,2.03,9.01 01/03/07 HIGHLANDS BANKSHARES INC /WV/ WV 8.01 01/09/07 HOKU SCIENTIFIC INC DE 8.01,9.01 01/08/07 HORIZON BANCORPORATION INC FL 2.02,9.01 01/09/07 HORTON D R INC /DE/ DE 2.02,9.01 01/09/07 HOSPIRA INC DE 5.02 01/03/07 HUDSON HIGHLAND GROUP INC DE 5.02 01/04/07 HUDSON HOLDING CORP DE 5.02,9.01 01/04/07 HUNGARIAN TELEPHONE & CABLE CORP DE 5.02 01/09/07 HUNGARIAN TELEPHONE & CABLE CORP DE 1.01,3.02,5.02,8.01,9.01 01/08/07 HYDROGEN ENGINE CENTER, INC. NV 9.01 01/09/07 HyperSpace Communications, Inc. CO 8.01,9.01 01/08/07 ID-CONFIRM, INC. NV 5.02 01/05/07 iDNA, Inc. DE 7.01,9.01 01/09/07 IKON OFFICE SOLUTIONS INC OH 8.01,9.01 01/08/07 IMERGENT INC DE 7.01 01/04/07 IMPAX LABORATORIES INC DE 8.01,9.01 01/08/07 INNOVA PURE WATER INC /FL/ FL 1.01,5.02,5.03,8.01 01/08/07 INTEGRA BANK CORP IN 8.01,9.01 01/09/07 INTEVAC INC CA 7.01,9.01 01/09/07 INTUITIVE SURGICAL INC DE 8.01,9.01 01/08/07 IRON MOUNTAIN INC DE 8.01,9.01 01/08/07 IRON MOUNTAIN INC DE 7.01 10/05/06 AMEND IRONCLAD PERFORMANCE WEAR CORP 2.02,9.01 01/08/07 IRVINE SENSORS CORP/DE/ DE 3.02 01/04/07 J P MORGAN CHASE & CO DE 9.01 01/05/07 J&J SNACK FOODS CORP NJ 8.01,9.01 01/09/07 J.P. MORGAN MORTGAGE TRUST 2006-S4 DE 8.01,9.01 01/09/07 JACKSON HEWITT TAX SERVICE INC DE 8.01 01/03/07 JAFRA WORLDWIDE HOLDINGS LUX SARL N4 5.02 01/08/07 JEWETT CAMERON TRADING CO LTD OR 3.01,5.02,9.01 01/08/06 JONES SODA CO WA 7.01 01/08/07 KVH INDUSTRIES INC \DE\ DE 2.02,9.01 01/08/07 L-1 IDENTITY SOLUTIONS, INC. DE 5.02,9.01 01/03/07 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 01/09/07 LAKES ENTERTAINMENT INC MN 8.01,9.01 01/03/07 LANDRYS RESTAURANTS INC 2.02,9.01 01/08/07 Lawson Software, Inc. MN 2.02,9.01 01/08/07 LENOX GROUP INC DE 1.01,2.02,2.04,5.02,7.01,9.01 01/04/07 Liberty Global, Inc. 7.01 01/09/07 LIGHTING SCIENCE GROUP CORP DE 1.01,2.03,3.03,5.03,9.01 12/29/06 LIN TV CORP DE 5.02 01/03/07 LUCYS CAFE INC 1.01,2.01,3.02,5.01,5.02,5.03, 12/29/06 5.06 MANNATECH INC TX 8.01,9.01 01/03/07 MARINEMAX INC DE 7.01,9.01 01/08/07 MB SOFTWARE CORP CO 4.01,9.01 01/09/07 McAfee, Inc. DE 5.02,8.01,9.01 01/02/07 MDI, INC. DE 5.02 01/05/07 MEDIS TECHNOLOGIES LTD DE 5.02 01/02/07 MENTOR GRAPHICS CORP OR 2.02 01/08/07 Merisant Worldwide, Inc. DE 8.01,9.01 01/07/07 Meritage Homes CORP MD 2.02,9.01 01/09/07 MILLS CORP DE 2.02,8.01 01/08/07 MODERN MEDICAL MODALITIES CORP NY 3.02,8.01 01/09/07 Nalco Finance Holdings LLC 8.01,9.01 01/09/07 Nalco Holding CO 8.01,9.01 01/09/07 Nalco Holdings LLC DE 8.01,9.01 01/09/07 NATIONAL BANK OF INDIANAPOLIS CORP IN 1.01 01/05/07 NATURAL HEALTH TRENDS CORP DE 1.01,9.01 01/03/07 NCR CORP MD 8.01 01/05/07 NEKTAR THERAPEUTICS DE 5.02,9.01 01/05/07 NEOMEDIA TECHNOLOGIES INC DE 8.01,9.01 01/05/07 NETBANK INC GA 5.02 01/04/07 NEUTRON ENTERPRISES INC NV 2.01,3.02,8.01,9.01 01/03/07 NEVADA GOLD & CASINOS INC NV 5.02,9.01 01/04/07 New York & Company, Inc. 7.01,9.01 01/09/07 New York & Company, Inc. 5.02 01/09/07 NEWFIELD EXPLORATION CO /DE/ DE 8.01,9.01 01/09/07 NGP Capital Resources CO MD 7.01,9.01 01/09/07 NUCO2 INC /FL FL 5.02,7.01,9.01 01/09/07 NUVASIVE INC DE 1.01,9.01 01/03/07 NYSE Euronext, Inc. DE 1.01,9.01 01/05/07 NYSE Group, Inc. DE 1.01,9.01 01/05/07 OCTILLION CORP 7.01,9.01 01/03/07 OLD DOMINION ELECTRIC COOPERATIVE VA 5.02 01/08/07 OMNICELL INC /CA/ CA 5.02,9.01 01/03/07 OMTOOL LTD DE 8.01 01/04/07 ON ASSIGNMENT INC DE 1.01,2.01,9.01 01/03/07 ORIENT EXPRESS HOTELS LTD 5.03,9.01 01/05/07 Orsus Xelent Technologies Inc DE 2.03,9.01 01/09/07 OSCIENT PHARMACEUTICALS CORP MA 2.02,9.01 01/08/07 OSIRIS THERAPEUTICS, INC. DE 7.01,9.01 01/08/07 OUTDOOR CHANNEL HOLDINGS INC 2.06,4.02 01/08/06 OXFORD INDUSTRIES INC GA 5.02,5.03,9.01 01/08/07 OXFORD INDUSTRIES INC GA 2.02,9.01 01/09/07 PANACOS PHARMACEUTICALS, INC. DE 5.02,9.01 01/05/07 PANTRY INC DE 1.01 01/05/07 PAR PHARMACEUTICAL COMPANIES, INC. 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NY 3.02,5.02 01/08/07 Red Mile Entertainment Inc 8.01 01/09/07 REGEN BIOLOGICS INC DE 4.02 11/06/06 AMEND ROWAN COMPANIES INC DE 7.01,9.01 09/06/06 RR Donnelley & Sons Co DE 8.01,9.01 01/03/07 RUBY TUESDAY INC GA 2.02,9.01 12/05/06 S&T BANCORP INC PA 4.01 01/05/07 S3 INVESTMENT COMPANY, INC. CA 5.02 01/05/07 SAFENET INC DE 4.02 01/03/07 SBARRO INC NY 7.01,9.01 01/09/07 SBARRO INC NY 7.01,9.01 01/08/07 SCHIMATIC CASH TRANSACTIONS NETWORK C FL 5.03,9.01 11/29/06 Select Notes Trust LT 2004-1 DE 8.01,9.01 01/02/07 SEMITOOL INC MT 2.02,9.01 01/09/07 SERACARE LIFE SCIENCES INC 8.01 01/05/07 SIGMA DESIGNS INC CA 3.01,4.01,9.01 01/03/07 SILGAN HOLDINGS INC DE 8.01,9.01 01/08/07 SIMTEK CORP CO 8.01,9.01 01/08/07 SKY PETROLEUM, INC. NV 7.01,9.01 01/09/07 Smart Energy Solutions, Inc. UT 3.02,9.01 01/03/07 SMITH & WESSON HOLDING CORP NV 2.01,9.01 01/03/07 SNAP ON INC DE 9.01 11/28/06 AMEND SPHERION CORP DE 5.02,9.01 01/08/07 SPSS INC DE 1.01,9.01 01/03/07 ST JOE CO FL 1.01,5.02,9.01 01/05/07 ST. 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CA 1.01,7.01,9.01 01/03/07 STAGE STORES INC NV 8.01,9.01 01/05/07 STIFEL FINANCIAL CORP DE 1.01,9.01 01/09/07 STRATEGIC DISTRIBUTION INC DE 7.01,9.01 01/08/07 STRATEGIC DISTRIBUTION INC DE 1.01,9.01 01/08/07 STRATEGIC DISTRIBUTION INC DE 5.02 12/20/06 AMEND STRATEX NETWORKS INC DE 8.01,9.01 01/08/07 STRUCTURED PRODUCTS CORP CASTSM STEP DE 8.01,9.01 01/02/07 STRUCTURED PRODUCTS CORP CORTS TR FOR DE 8.01,9.01 12/31/06 STRUCTURED PRODUCTS CORP CORTS TRUST DE 8.01,9.01 01/02/07 STRUCTURED PRODUCTS CORP CORTS TRUST DE 8.01,9.01 01/02/07 STRUCTURED PRODUCTS CORP CRED ENHANCE DE 8.01,9.01 01/02/07 STRUCTURED PRODUCTS CORP TIERS R INFL DE 8.01,9.01 01/02/07 SUPERIOR ENERGY SERVICES INC DE 8.01,9.01 01/09/07 SUPERIOR GALLERIES INC DE 1.01,1.02,2.03,5.01,5.02,9.01 01/06/07 SUPERTEL HOSPITALITY INC VA 1.01,2.01,2.03,9.01 01/05/07 SUPERVALU INC DE 2.02,9.01 01/09/07 SYNNEX CORP DE 2.02,9.01 01/09/07 TEAM INC TX 2.02,9.01 01/08/07 TECHTEAM GLOBAL INC DE 8.01,9.01 12/29/06 TELEPHONE & DATA SYSTEMS INC /DE/ DE 5.02,9.01 01/01/07 Teleplus World, Corp. 4.01,9.01 01/05/07 TENET HEALTHCARE CORP NV 4.01,9.01 01/09/07 THOMAS GROUP INC DE 5.02,9.01 01/03/07 THQ INC DE 4.02,9.01 01/08/07 TOPPS CO INC DE 8.01,9.01 01/09/07 Triton Distribution Systems, Inc. CO 5.02 01/02/07 TRUE RELIGION APPAREL INC NV 5.02,9.01 01/03/07 UNIT CORP DE 8.01,9.01 01/09/07 UNITED AUTO GROUP INC DE 5.02,9.01 01/09/07 US MEDSYS CORP CO 8.01 01/08/07 UTEK CORP 8.01,9.01 01/04/07 VASCULAR SOLUTIONS INC DE 1.01,9.01 01/09/07 VAXGEN INC DE 2.02,2.05,5.02,9.01 01/03/07 Venoco, Inc. DE 7.01,9.01 01/08/07 VIRAGE LOGIC CORP CA 2.02,5.02,9.01 01/04/07 VMS NATIONAL PROPERTIES JOINT VENTURE IL 1.01,9.01 01/03/07 VOIP INC 2.04 01/03/07 Volcom Inc 5.02 01/05/07 VOLT INFORMATION SCIENCES, INC. NY 2.02,9.01 01/09/07 WaMu Asset Acceptance Corp. DE 9.01 01/08/07 Wauwatosa Holdings, Inc. WI 1.01,9.01 01/05/07 WCA WASTE CORP 5.02,9.01 01/05/07 WD 40 CO DE 2.02,9.01 01/09/07 WebMD Health Corp. 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