SEC NEWS DIGEST Issue 2007-27 February 9, 2007 SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-ISE-2007-03) filed by the International Securities Exchange relating to a complex order fee waiver has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 12. (Rel. 34-55247) A proposed rule change (SR-PHLX-2006-88) filed by the Philadelphia Stock Exchange to amend its Independent Audit Rule (Phlx Rule 712) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. . Publication is expected in the Federal Register during the week of February 12. (Rel. 34-55254) PROPOSED RULE CHANGE The Chicago Board Options Exchange filed a proposed rule change (SR- CBOE-2006-84) and Amendment Nos. 1, 2, 3, and 4 thereto, to list and trade Credit Default Options. Publication is expected in the Federal Register during the week of February 12. (Rel. 34-55251) 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-3 TRANSWITCH CORP /DE, THREE ENTERPRISE DRIVE, SHELTON, CT, 06484, 2039298810 - 3,746,713 ($5,058,062.55) Equity, (File 333-140509 - Feb. 8) (BR. 10C) S-4 Barrington Broadcasting Group LLC, C/O BARRINGTON BROADCASTING GROUP LLC, 2500 W. HIGGINS ROAD, SUITE 155, HOFFMAN ESTATES, IL, 60169, (847) 884-1877 - 0 ($125,000,000.00) Debt, (File 333-140510 - Feb. 8) (BR. 11) S-1 NeoStem, Inc., 420 LEXINGTON AVENUE, SUITE 450, NEW YORK, NY, 10170, 212-584-4171 - 0 ($7,503,712.00) Equity, (File 333-140512 - Feb. 8) (BR. 01C) SB-2 Pioneer Capital Associates, Inc., 3422 OLD CAPITOL TRAIL, SUITE 225, WILMINGTON, DE, 19808, 302-996-3074 - 5,000,000 ($1,000,000.00) Equity, (File 333-140514 - Feb. 8) (BR. 11) S-8 LIBERTY BANCORP INC, 16 WEST FRANKLIN STREET, LIBERTY, MO, 64068, (816) 781-4822 - 226,340 ($2,489,740.00) Equity, (File 333-140515 - Feb. 8) (BR. 07B) F-1 China Discovery Acquisition Corp., 2666 EAST BAYSHORE ROAD, SUITE B, PALO ALTO, CA, 94303, 650-812-1200 - 0 ($107,766,770.40) Equity, (File 333-140516 - Feb. 8) (BR. 09) S-8 DAVI SKIN, INC., 301 NORTH CANON DRIVE, SUITE 207, BEVERLY HILLS, CA, 90210, 310-205-9906 - 0 ($130,000.00) Equity, (File 333-140517 - Feb. 8) (BR. 06C) S-3 TITAN PHARMACEUTICALS INC, 400 OYSTER POINT BLVD, SUITE 505, SAN FRANCISCO, CA, 94080, 4152444990 - 50,000,000 ($50,000,000.00) Equity, (File 333-140518 - Feb. 8) (BR. 01C) S-8 MOLDFLOW CORP, 492 OLD CONNECTICUT PATH, SUITE 401, FRAMINGHAM, MA, 01701, 508-358-5848 - 202,622 ($2,863,048.86) Equity, (File 333-140524 - Feb. 8) (BR. 03C) S-3 GLOBAL PARTNERS LP, P.O. BOX 9161, 800 SOUTH STREET, WALTHAM, MA, 02454, (781) 894-8800 - 0 ($400,000,000.00) Unallocated (Universal) Shelf, (File 333-140525 - Feb. 8) (BR. 04) S-1 BPZ ENERGY INC, 580 WESTLAKE PARK BLVD., SUITE 525, HOUSTON, TX, 77079, 2815566200 - 0 ($26,650,000.00) Equity, (File 333-140526 - Feb. 8) (BR. 04A) F-10 ONCOLYTICS BIOTECH INC, 1167 KENSINGTON CRES NW SUITE 210, CALGARY ALBERTA CANADA T2N 1X7, ALBERTA CANADA, A0, 00000, 4036707380 - 0 ($10,125,728.00) Equity, (File 333-140529 - Feb. 8) (BR. 01B) SB-2 FREEDOM FINANCIAL HOLDINGS INC, 6615 BROTHERHOOD WAY, STE A, FT WAYNE, IN, 46825, 260 490 5363 - 3,239,464 ($6,914,933.00) Equity, (File 333-140530 - Feb. 8) (BR. ) S-1 BGC Partners, Inc., 111 EAST 58TH STREET, NEW YORK, NY, 10022, 212-935-5000 - 0 ($460,000,000.00) Equity, (File 333-140531 - Feb. 8) (BR. ) S-4 FOREST OIL CORP, 707 SEVENTEENTH STREET, SUITE 3600, DENVER, CO, 80202, 3038121400 - 0 ($818,124,339.00) Equity, (File 333-140532 - Feb. 8) (BR. 04A) SB-2 CATUITY INC, 2711 EAST JEFFERSON AVE, DETROIT, MI, 48207, 3135674348 - 0 ($700,000.00) Equity, 0 ($1,800,000.00) Non-Convertible Debt, (File 333-140533 - Feb. 8) (BR. 03C) 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 A.C. Moore Arts & Crafts, Inc. PA 2.05,7.01 12/08/06 AMEND ABERCROMBIE & FITCH CO /DE/ DE 2.02,7.01,9.01 02/08/07 ACE LTD D0 1.01,9.01 02/05/07 ACETO CORP NY 2.02,9.01 02/08/07 ACIES CORP NV 2.02,8.01,9.01 02/07/07 Acquicor Technology Inc DE 5.02,8.01,9.01 02/08/07 ACTIVIDENTITY CORP DE 2.02,9.01 02/08/07 Adams Respiratory Therapeutics, Inc. DE 7.01,9.01 02/08/07 ADESA INC 2.02,9.01 02/08/07 Advance America, Cash Advance Centers DE 2.02,9.01 02/07/07 ADVANCE TECHNOLOGIES INC NV 4.01,9.01 01/03/07 AMEND ADVANCED ANALOGIC TECHNOLOGIES INC DE 2.02,9.01 02/08/07 ADVO INC DE 2.02,9.01 02/08/07 AEROPOSTALE INC 7.01,9.01 02/08/07 AETNA INC /PA/ PA 2.02,9.01 02/08/07 AFP IMAGING CORP NY 2.02,9.01 02/08/07 AIR PRODUCTS & CHEMICALS INC /DE/ DE 8.01 02/06/07 Aircastle LTD D0 1.01,8.01,9.01 02/08/07 ALION SCIENCE & TECHNOLOGY CORP DE 1.01,2.03,9.01 01/26/07 ALLEGHENY TECHNOLOGIES INC DE 8.01,9.01 02/08/07 ALLIANCE BANCORP INC OF PENNSYLVANIA X1 8.01,9.01 02/06/07 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 02/08/07 ALLIANCE ONE INTERNATIONAL, INC. VA 2.02,9.01 12/31/06 ALLIANCE ONE INTERNATIONAL, INC. VA 2.02,9.01 12/31/06 ALLIANT ENERGY CORP WI 2.02,8.01,9.01 02/08/07 ALTEON INC /DE DE 5.02 02/05/07 AMC ENTERTAINMENT INC DE 7.01,9.01 02/08/07 AMERICAN EXPRESS RECEIVABLES FINANCIN DE 8.01,9.01 02/07/07 American Express Receivables Financin DE 8.01,9.01 01/24/07 AMERICAN MEDICAL TECHNOLOGIES INC/DE DE 5.02 02/02/07 AMERICAN POWER CONVERSION CORP MA 8.01,9.01 02/08/07 AMERICAN TECHNOLOGY CORP /DE/ DE 2.02,9.01 02/08/07 AMERIGON INC MI 8.01,9.01 02/06/07 AML COMMUNICATIONS INC DE 2.02,9.01 02/07/07 ANESIVA, INC. DE 2.02,9.01 02/08/07 ANNTAYLOR STORES CORP DE 2.02,9.01 02/08/07 APARTMENT INVESTMENT & MANAGEMENT CO MD 2.02,9.01 02/08/07 APEX RESOURCES GROUP INC UT 1.02,3.02 11/29/06 APOLLO INVESTMENT CORP MD 9.01 02/07/07 APOLLO INVESTMENT CORP MD 8.01,9.01 02/07/07 APPLEBEES INTERNATIONAL INC DE 8.01,9.01 02/08/07 APPLIED INDUSTRIAL TECHNOLOGIES INC OH 8.01,9.01 02/07/07 APPLIX INC /MA/ MA 2.02,9.01 02/08/07 APRIA HEALTHCARE GROUP INC DE 2.02,9.01 02/07/07 ARBIOS SYSTEMS INC DE 1.01 02/02/07 ARGON ST, Inc. DE 2.02,9.01 02/08/07 ASSOCIATED ESTATES REALTY CORP OH 2.02,9.01 12/31/06 ATARI INC DE 2.02,9.01 02/08/07 AUTHENTIDATE HOLDING CORP DE 2.02,9.01 02/08/07 AUTOLIV INC DE 2.02,7.01,9.01 12/31/06 AUTONATION INC /FL DE 5.02,9.01 02/02/07 AUXILIUM PHARMACEUTICALS INC 7.01,9.01 02/08/07 AVI BIOPHARMA INC OR 5.02,7.01,8.01,9.01 02/06/07 AWARE INC /MA/ MA 1.01,5.02,9.01 02/08/07 AXM PHARMA INC 5.02 02/08/07 BADGER METER INC WI 2.02,9.01 02/06/07 BAKERS FOOTWEAR GROUP INC MO 2.02,7.01,9.01 02/08/07 BANDAG INC IA 2.02,9.01 02/07/07 BANK JOS A CLOTHIERS INC /DE/ DE 2.02,9.01 02/08/07 BANK OF FLORIDA CORP FL 7.01,8.01,9.01 02/08/07 BAR HARBOR BANKSHARES ME 2.02 02/08/07 BEARINGPOINT INC DE 2.02,5.02,8.01,9.01 02/02/07 BEAZER HOMES USA INC DE 5.02 02/05/07 bebe stores, inc. CA 2.02,9.01 02/03/07 BECKMAN COULTER INC DE 2.02,9.01 02/08/07 Behringer Harvard Opportunity REIT I, MD 7.01,9.01 02/08/07 BELDEN CDT INC. DE 2.02,9.01 02/08/07 BELDEN CDT INC. DE 1.01,9.01 02/02/07 BENACQUISTA GALLERIES INC NV 1.02,9.01 02/02/07 BERLINER COMMUNICATIONS INC DE 1.01,2.03,3.03,9.01 02/02/07 BIODELIVERY SCIENCES INTERNATIONAL IN DE 7.01,8.01,9.01 02/08/07 BLACK & DECKER CORP MD 7.01,9.01 02/08/07 BLACK GARDENIA CORP NV 1.02,5.01 02/02/07 BLACK HILLS CORP /SD/ SD 8.01,9.01 02/07/07 BLACK HILLS CORP /SD/ SD 1.01,2.03,8.01,9.01 02/07/07 BLUE COAT SYSTEMS INC DE 2.02,9.01 02/08/07 BMC SOFTWARE INC DE 2.02,9.01 02/08/07 BORGWARNER INC DE 2.02,2.05,9.01 02/08/07 BORLAND SOFTWARE CORP DE 1.01,2.03,3.02,8.01,9.01 02/06/07 BRISTOL WEST HOLDINGS INC 2.02,9.01 02/07/07 BROADCOM CORP CA 2.02,9.01 02/08/07 BROADCOM CORP CA 8.01,9.01 02/05/07 BRT REALTY TRUST MA 2.02,9.01 02/07/07 BRUKER BIOSCIENCES CORP DE 7.01,9.01 02/07/07 Bunge LTD 2.02,5.02,9.01 02/07/07 CALLAWAY GOLF CO /CA DE 2.02,9.01 02/08/07 CALLWAVE INC 2.02,9.01 02/08/07 CAPITAL CORP OF THE WEST CA 8.01,9.01 02/08/07 CAPITAL CORP OF THE WEST CA 2.02,9.01 02/08/07 CAPITAL ONE FINANCIAL CORP DE 8.01,9.01 02/05/07 CARACO PHARMACEUTICAL LABORATORIES LT MI 7.01,9.01 02/08/07 CARDIODYNAMICS INTERNATIONAL CORP CA 8.01,9.01 02/08/07 CARLISLE COMPANIES INC DE 2.02,9.01 02/08/07 CARROLLTON BANCORP MD 7.01,9.01 02/08/07 CB RICHARD ELLIS GROUP INC DE 1.02,5.02 02/02/07 CBOT HOLDINGS INC DE 8.01,9.01 02/07/07 CECIL BANCORP INC MD 2.02,7.01,9.01 02/08/07 CEDAR FAIR L P DE 9.01 02/08/07 CENTRAL BANCORP INC /MA/ MA 2.02,9.01 02/07/07 CENTRAL VERMONT PUBLIC SERVICE CORP VT 7.01 02/08/07 CF Industries Holdings, Inc. DE 2.02,9.01 02/08/07 Challenger Powerboats, Inc. NV 1.01,2.01,2.03,3.02,5.02,9.01 01/30/07 CHANNELL COMMERCIAL CORP DE 1.01,9.01 02/07/07 CHART INDUSTRIES INC DE 1.01,7.01,9.01 02/07/07 CHILDRENS PLACE RETAIL STORES INC 2.02,9.01 02/08/07 CHINA CLEAN ENERGY INC DE 7.01,9.01 02/08/07 China Yingxia International, Inc. FL 5.02,9.01 02/02/07 CHINACAST EDUCATION CORP DE 5.02,5.03,8.01,9.01 02/02/07 Cistera Networks, Inc. NV 7.01,9.01 02/03/07 Citicorp Mortgage Securities Trust, S DE 8.01,9.01 02/08/07 CITY CAPITAL CORP NV 4.01,9.01 02/07/07 CLAIRES STORES INC DE 2.02,9.01 02/08/07 CLEARONE COMMUNICATIONS INC UT 8.01 02/08/07 CLINICAL DATA INC DE 7.01,9.01 02/08/07 COINSTAR INC DE 2.02,9.01 02/08/07 COINSTAR INC DE 5.02,9.01 02/02/07 COLDWATER CREEK INC DE 7.01,9.01 02/08/07 COLLINS & AIKMAN FLOOR COVERINGS INC DE 2.05,9.01 12/04/06 AMEND COLOR KINETICS INC DE 2.02,9.01 02/08/07 Commercial Vehicle Group, Inc. DE 2.02,7.01,9.01 02/08/07 Comtech Group Inc MD 2.02,9.01 02/08/07 COMVERSE TECHNOLOGY INC/NY/ NY 5.02 02/02/07 CONTINUCARE CORP FL 2.02,9.01 02/08/07 CORAUTUS GENETICS INC DE 1.01,9.01 02/07/07 Core-Mark Holding Company, Inc. DE 1.02,9.01 02/08/07 CORILLIAN CORP OR 2.02,9.01 02/08/07 CORRECTIONS CORP OF AMERICA MD 2.02,9.01 02/08/07 CORVEL CORP DE 2.02,9.01 02/08/07 COST PLUS INC/CA/ CA 2.02,9.01 02/08/07 CRA INTERNATIONAL, INC. MA 2.04,9.01 02/02/07 CRDENTIA CORP DE 1.01,3.02 02/08/07 CRITICAL THERAPEUTICS INC DE 2.02,5.02,9.01 02/06/07 CV THERAPEUTICS INC DE 2.02,8.01,9.01 02/07/07 CWABS Asset-Backed Certificates Trust DE 8.01,9.01 01/11/07 CYPRESS BIOSCIENCE INC DE 5.02 02/07/07 CYPRESS SEMICONDUCTOR CORP /DE/ DE 2.04 02/05/07 CYTYC CORP DE 2.02,9.01 02/07/07 DEB SHOPS INC PA 2.02,9.01 02/08/07 DECORIZE INC DE 1.01,3.02,9.01 02/08/07 DELTA AIR LINES INC /DE/ DE 7.01,9.01 02/07/07 DESIGN WITHIN REACH INC DE 1.01,9.01 02/02/07 DIAMOND OFFSHORE DRILLING INC DE 2.02,9.01 02/08/07 DIAMOND OFFSHORE DRILLING INC DE 7.01,9.01 02/08/07 DIEDRICH COFFEE INC CA 2.01,9.01 02/02/07 DIGITAL RIVER INC /DE DE 2.02,9.01 02/08/07 DIGITAL RIVER INC /DE DE 4.02,8.01,9.01 02/06/07 AMEND DILLARDS INC DE 7.01,9.01 02/05/07 DIVX INC 2.02,9.01 02/08/07 Dolby Laboratories, Inc. DE 5.02,9.01 02/06/07 DOLLAR GENERAL CORP TN 2.02,7.01,9.01 02/08/07 DOLLAR TREE STORES INC VA 2.02,7.01,9.01 02/08/07 Double-Take Software, Inc. DE 2.02,9.01 02/08/07 DUPONT E I DE NEMOURS & CO DE 5.02 02/02/07 DURECT CORP DE 2.02,9.01 02/08/07 DYNCORP INTERNATIONAL INC. DE 2.02,9.01 02/07/07 EAGLE BROADBAND INC TX 2.03,3.02 02/02/07 Eddie Bauer Holdings, Inc. DE 1.02,9.01 02/08/07 Education Management LLC DE 2.02,9.01 02/07/07 Education Management LLC DE 5.02,8.01,9.01 02/08/07 ELANDIA, INC. DE 1.01,2.03,9.01 02/05/07 EMCORE CORP NJ 2.04,5.02,8.01,9.01 02/02/07 Emergency Medical Services CORP DE 2.02,9.01 02/08/07 ENCYSIVE PHARMACEUTICALS INC DE 1.01,2.01,2.03,7.01,9.01 02/06/07 ENDURANCE SPECIALTY HOLDINGS LTD 2.02,9.01 02/07/07 ENXNET INC OK 7.01,9.01 02/07/07 EQUIFAX INC GA 5.02,7.01,9.01 02/02/07 EQUITY OFFICE PROPERTIES TRUST MD 8.01,9.01 02/07/07 EQUITY RESIDENTIAL MD 7.01,9.01 02/07/07 ESCHELON TELECOM INC 2.02,9.01 02/08/07 ESSEX PROPERTY TRUST INC MD 2.02,9.01 02/07/07 EXPRESS SCRIPTS INC DE 2.02,7.01,9.01 02/08/07 EXTREME NETWORKS INC DE 5.02 02/04/07 FAIRCHILD SEMICONDUCTOR INTERNATIONAL DE 2.01,7.01 02/05/07 FAMILY DOLLAR STORES INC DE 7.01,9.01 02/08/07 Federal Home Loan Bank of Atlanta X1 2.03 02/05/07 Federal Home Loan Bank of Boston X1 2.03 02/05/07 Federal Home Loan Bank of Chicago X1 2.03 02/05/07 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 02/05/07 Federal Home Loan Bank of Dallas 2.03 02/05/07 Federal Home Loan Bank of Des Moines X1 2.03,9.01 02/05/07 Federal Home Loan Bank of Indianapoli X1 2.02,9.01 02/05/07 Federal Home Loan Bank of New York X1 2.03,9.01 02/05/07 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 02/05/07 Federal Home Loan Bank of San Francis X1 2.03 02/05/07 Federal Home Loan Bank of Seattle 2.03 02/07/07 Federal Home Loan Bank of Topeka 2.03 02/05/07 FEDERAL MOGUL CORP MI 2.02,9.01 02/08/07 FEDERATED DEPARTMENT STORES INC /DE/ DE 2.02,9.01 02/08/07 Fidelity National Financial, Inc. 2.02,9.01 02/05/07 FIRST ACCEPTANCE CORP /DE/ DE 2.02,7.01,9.01 02/08/07 FIRST CONSULTING GROUP INC DE 5.02,9.01 02/07/07 First Franklin Mortgage Loan Trust, S DE 8.01,9.01 02/08/07 FIRST IPSWICH BANCORP /MA MA 1.01,2.05 02/05/07 FIRST STATE BANCORPORATION NM 8.01,9.01 02/06/07 FLEXSTEEL INDUSTRIES INC MN 2.02,9.01 02/07/07 FLIR SYSTEMS INC OR 2.02,7.01,9.01 02/08/07 FMC CORP DE 7.01 02/08/07 FNB FINANCIAL SERVICES CORP NC 8.01,9.01 02/08/07 FOOT LOCKER INC NY 2.02,9.01 02/08/07 FOREST OIL CORP NY 7.01,8.01,9.01 02/08/07 FreightCar America, Inc. DE 2.02,9.01 02/08/07 GALLAGHER ARTHUR J & CO DE 7.01,9.01 02/08/07 GAMCO INVESTORS, INC. ET AL NY 2.02,9.01 02/07/07 GAP INC DE 2.02,9.01 02/08/07 GARDNER DENVER INC DE 2.02,9.01 02/07/07 GATEWAY INC DE 2.02,9.01 02/08/07 GENCO SHIPPING & TRADING LTD 2.02,9.01 02/08/07 GENESIS BIOVENTURES INC NY 1.01,2.03,3.02,9.01 01/08/07 GETTY IMAGES INC DE 7.01 02/07/07 GIBRALTAR INDUSTRIES, INC. DE 7.01,9.01 02/08/07 Global Cash Access Holdings, Inc. DE 2.02,9.01 02/08/07 GLOBAL IMAGING SYSTEMS INC DE 1.01,9.01 02/06/07 GMH Communities Trust MD 1.01 02/06/07 GOLDEN TELECOM INC DE 1.01,9.01 02/06/07 GOLF TRUST OF AMERICA INC MD 1.02,5.02,9.01 02/04/07 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 02/02/07 GREAT PLAINS ENERGY INC MO 1.01,8.01,9.01 02/07/06 GREAT PLAINS ENERGY INC MO 2.02,9.01 02/07/07 GREATBATCH, INC. DE 2.02,9.01 02/08/07 GREENFIELD ONLINE INC DE 2.02,9.01 02/08/07 GREENS WORLDWIDE INC AZ 1.01,2.03,2.04,8.01,9.01 11/20/06 GRIFFIN LAND & NURSERIES INC DE 7.01,9.01 02/08/07 GRUBB & ELLIS CO DE 8.01 02/02/07 GSE SYSTEMS INC DE 1.01,5.02,9.01 02/08/07 GTC TELECOM CORP NV 3.02 02/02/07 GYMBOREE CORP DE 1.01,2.02,9.01 02/03/07 HARLAND JOHN H CO GA 2.02,9.01 12/31/06 Hawaiian Telcom Communications, Inc. DE 1.01,1.02,8.01,9.01 02/05/07 HAWK CORP DE 1.01,2.01,9.01 02/02/07 HEALTH NET INC DE 2.02,9.01 02/08/07 HEALTHWAYS, INC DE 5.02,9.01 02/02/07 HENRY JACK & ASSOCIATES INC DE 2.02,9.01 02/07/07 HEPALIFE TECHNOLOGIES INC FL 7.01,9.01 02/05/07 HIBBETT SPORTING GOODS INC DE 2.02,7.01,9.01 02/08/07 HOME EQUITY MORTGAGE LOAN ASSET-BACKE DE 2.01,9.01 11/17/06 Horne International, Inc. DE 5.02 02/08/07 HOUSTON EXPLORATION CO DE 7.01,8.01 12/31/06 HSBC Finance CORP 7.01,9.01 02/07/07 HSBC USA INC /MD/ MD 5.03,9.01 02/05/07 HUDSON HIGHLAND GROUP INC DE 2.02,9.01 02/07/07 HUDSON HIGHLAND GROUP INC DE 5.02,9.01 02/06/07 Hughes Communications, Inc. DE 1.01,2.02,7.01,9.01 02/07/07 Hughes Network Systems, LLC DE 1.01,2.02,7.01,9.01 02/07/07 I/OMAGIC CORP NV 1.01,2.03,9.01 02/02/07 IBASIS INC DE 2.02,9.01 02/08/07 ICO INC TX 7.01 02/08/07 IDEARC INC. DE 2.02,7.01,9.01 02/08/07 IMMTECH PHARMACEUTICALS, INC. DE 8.01,9.01 02/08/07 INFINITY PHARMACEUTICALS, INC. DE 2.02,9.01 02/07/07 INFINITY PROPERTY & CASUALTY CORP OH 2.02,9.01 02/08/07 Information Services Group Inc. DE 8.01,9.01 02/05/07 INFOUSA INC DE 5.02,9.01 02/02/07 INLAND RETAIL REAL ESTATE TRUST INC MD 8.01,9.01 02/07/07 INNOSPEC INC. DE 2.02 02/08/07 INNUITY, INC. /UT/ UT 5.02 02/02/07 INTEGRATED ELECTRICAL SERVICES INC DE 7.01,9.01 02/08/07 INTERFACE INC GA 5.02 02/07/07 INTERMUNE INC DE 2.02,9.01 02/08/07 International Coal Group, Inc. DE 2.02,7.01,9.01 02/07/07 INTERSIL CORP/DE DE 8.01,9.01 02/07/07 INTRUSION INC DE 2.02,9.01 02/08/07 INVESTMENT TECHNOLOGY GROUP INC DE 8.01,9.01 02/08/07 IROBOT CORP DE 5.02 02/07/07 ISTA PHARMACEUTICALS INC DE 5.02 02/02/07 ITC Holdings Corp. MI 8.01,9.01 02/06/07 ITC Holdings Corp. MI 5.02,8.01,9.01 02/07/07 ITLA CAPITAL CORP CA 2.02,9.01 02/05/07 iWorld Projects & Systems, Inc. NV 5.02 02/08/07 J P MORGAN CHASE & CO DE 9.01 02/06/07 JO-ANN STORES INC OH 2.02,9.01 02/08/07 JOURNAL REGISTER CO DE 5.03,9.01 02/07/07 JUNIPER NETWORKS INC DE 8.01,9.01 02/08/07 KANSAS CITY SOUTHERN DE 2.02,9.01 02/06/07 KBW, INC. 5.02 02/08/07 KEANE, INC. MA 1.01,5.01,9.01 02/06/07 KENDLE INTERNATIONAL INC OH 2.02,9.01 02/06/07 KEY TECHNOLOGY INC OR 2.02,9.01 02/08/07 KILROY REALTY CORP MD 5.02,9.01 02/02/07 KOHLS CORPORATION WI 2.02,9.01 02/08/07 KV PHARMACEUTICAL CO /DE/ DE 2.02,9.01 02/07/07 LANNETT CO INC DE 2.02,9.01 02/07/07 LANTRONIX INC DE 2.02,9.01 02/08/07 LATTICE SEMICONDUCTOR CORP DE 5.02,9.01 02/06/07 LEINER HEALTH PRODUCTS INC DE 2.02,9.01 02/07/07 LENNOX INTERNATIONAL INC DE 2.02,9.01 02/08/07 Lexington Energy Services Inc. NV 7.01,9.01 02/07/07 LEXINGTON REALTY TRUST MD 8.01 02/08/07 LGL GROUP INC IN 8.01 02/02/07 LIQUIDITY SERVICES INC 7.01,9.01 02/07/07 LIVEPERSON INC DE 2.02,8.01,9.01 02/08/07 LODGENET ENTERTAINMENT CORP DE 2.01,9.01 02/07/07 LOGICVISION INC DE 5.02,8.01 02/02/07 LSB FINANCIAL CORP IN 8.01,9.01 01/22/07 MACKINAC FINANCIAL CORP /MI/ MI 1.02,5.02,9.01 02/05/07 MAGNA ENTERTAINMENT CORP DE 1.01,1.02,9.01 02/07/07 MANGAPETS, INC. DE 5.02 02/08/07 Marquee Holdings Inc. DE 7.01,9.01 02/08/07 MARRIOTT INTERNATIONAL INC /MD/ DE 2.02,9.01 02/08/07 MARTIN MARIETTA MATERIALS INC NC 2.02,7.01,9.01 02/08/07 MASCO CORP /DE/ DE 5.03,9.01 02/06/07 MAXIM INTEGRATED PRODUCTS INC DE 5.02 02/02/07 MBI Financial, Inc. NV 5.02 02/05/07 McAfee, Inc. DE 5.02,9.01 02/06/07 McAfee, Inc. DE 2.02,9.01 02/08/07 MCDONALDS CORP DE 7.01,9.01 02/08/07 MCGRATH RENTCORP CA 5.05,9.01 02/02/07 Measurement Specialties Inc NJ 2.02,9.01 02/07/07 MEDCATH CORP DE 2.02,9.01 02/08/07 MEDUSA STYLE CORP NV 1.01 02/08/07 MEGOLA INC 1.01,9.01 02/07/07 Mercantile Bancorp, Inc. DE 2.02,9.01 02/07/07 MERCHANTS & MANUFACTURERS BANCORPORAT WI 2.02,9.01 02/08/07 METTLER TOLEDO INTERNATIONAL INC/ DE 2.01,9.01 02/08/07 MGP INGREDIENTS INC KS 2.02,7.01,9.01 02/08/07 MICROFINANCIAL INC MA 2.02,9.01 02/07/07 MICROTUNE INC DE 2.02,9.01 02/08/07 MILLENNIUM PHARMACEUTICALS INC DE 2.02,5.02,8.01 02/07/07 MIVA, INC. DE 2.05,9.01 02/08/07 MOBILE AREA NETWORKS INC 4.01,9.01 02/01/07 AMEND MOD PAC CORP NY 2.02,9.01 02/08/07 MONACO COACH CORP /DE/ DE 2.02,9.01 02/08/07 MONMOUTH REAL ESTATE INVESTMENT CORP MD 2.02,9.01 02/08/07 Monogram Biosciences, Inc. DE 2.02,9.01 02/08/07 Morgans Hotel Group Co. DE 1.01,2.01,2.03,8.01,9.01 02/08/07 MOTIENT CORP DE 7.01,9.01 02/08/07 MPS GROUP INC FL 2.02,9.01 02/08/07 MS STRUCTURED SATURNS SERIES 2001-3 DE 8.01 02/07/07 MS STRUCTURED SATURNS SERIES 2002-8 DE 8.01 02/07/07 MS STRUCTURED SATURNS SERIES 2004-5 DE 8.01 02/07/07 MSGI SECURITY SOLUTIONS, INC NV 1.01,9.01 02/07/07 MTI TECHNOLOGY CORP DE 7.01,9.01 02/08/07 MWI Veterinary Supply, Inc. DE 5.02,5.03,9.01 02/07/07 N-VIRO INTERNATIONAL CORP DE 8.01,9.01 02/08/07 Nalco Finance Holdings LLC 2.02,9.01 02/07/07 Nalco Holding CO 2.02,9.01 02/07/07 Nalco Holdings LLC DE 2.02,9.01 02/07/07 NAPSTER INC DE 2.02,5.02,9.01 02/06/07 NATCO GROUP INC DE 5.02 02/08/07 NATIONAL QUALITY CARE INC DE 4.01,9.01 01/30/07 NATIONAL TAX CREDIT INVESTORS II CA 8.01 01/19/07 NATIONWIDE FINANCIAL SERVICES INC/ DE 2.02,7.01 02/08/07 NATIONWIDE LIFE INSURANCE CO OH 2.02,9.01 02/08/07 NATURALLY ADVANCED TECHNOLOGIES INC A1 8.01 01/23/07 NATURES SUNSHINE PRODUCTS INC UT 4.01,9.01 02/02/07 NATUREWELL INC CA 8.01,9.01 02/08/07 NAVTEQ CORP DE 2.02,8.01,9.01 02/08/07 NBOG BANCORPORATION INC GA 5.02 02/02/07 nCoat, Inc. DE 3.01,5.02,5.03,8.01,9.01 02/06/07 NEUROBIOLOGICAL TECHNOLOGIES INC /CA/ DE 2.02,9.01 02/08/07 NEUTRON ENTERPRISES INC NV 7.01,9.01 02/07/07 New York & Company, Inc. 2.02,7.01,9.01 02/08/07 NEW YORK HEALTH CARE INC NY 5.02,9.01 02/05/07 NEWARK GROUP, INC NJ 7.01 02/02/07 NEWFIELD EXPLORATION CO /DE/ DE 2.02,7.01,9.01 02/07/07 Nilam Resources Inc. NV 5.02,9.01 02/05/07 NOBEL LEARNING COMMUNITIES INC DE 2.02,9.01 02/08/07 NORDSTROM INC WA 7.01 02/08/07 NORTECH SYSTEMS INC MN 1.01,2.01,9.01 02/02/07 NTL INC DE 5.03,9.01 02/06/07 NU SKIN ENTERPRISES INC DE 7.01 02/08/07 O CHARLEYS INC TN 2.02,2.06,7.01,9.01 02/07/07 OAKLEY INC WA 2.02 02/08/07 Oakmont Acquisition Corp. DE 8.01,9.01 02/08/07 OIL STATES INTERNATIONAL, INC DE 2.02,9.01 02/07/07 OMEGA VENTURES GROUP INC NV 1.02,3.02 11/29/06 Omniture, Inc. DE 2.02,9.01 02/08/07 OMTOOL LTD DE 5.02 02/02/07 ON SEMICONDUCTOR CORP DE 8.01,9.01 02/07/07 OPEN TEXT CORP A6 2.02,9.01 02/08/07 Option One Mortgage Loan Trust 2007-1 DE 2.01,9.01 01/16/07 optionsXpress Holdings, Inc. DE 2.02,9.01 01/31/07 ORASURE TECHNOLOGIES INC DE 5.02 02/01/07 ORBIT E COMMERCE INC NV 4.01,9.01 02/01/07 ORION HEALTHCORP INC DE 9.01 12/01/06 AMEND ORLEANS HOMEBUILDERS INC DE 2.02,9.01 02/07/07 ORTHOVITA INC 5.02,9.01 02/07/07 OSTEOTECH INC DE 2.02,9.01 02/07/07 PACER INTERNATIONAL INC TN 2.02,8.01,9.01 02/07/07 PACIFIC GAS & ELECTRIC CO CA 7.01,9.01 02/08/07 PACIFICNET INC DE 4.01 01/19/07 AMEND PALOMAR MEDICAL TECHNOLOGIES INC DE 2.02,9.01 02/08/07 PARKER HANNIFIN CORP OH 1.01,3.03,9.01 02/08/07 PATRICK INDUSTRIES INC IN 2.02,9.01 02/08/07 PEDIATRIC PROSTHETICS INC 8.01,9.01 02/08/07 PEOPLES BANCORP INC OH 8.01,9.01 02/08/07 PEOPLES LIBERATION INC DE 5.02 02/02/07 PEOPLES SIDNEY FINANCIAL CORP DE 1.01,9.01 02/08/07 PEPSICO INC NC 2.02,9.01 02/08/07 PETROHAWK ENERGY CORP DE 8.01 02/07/07 PG&E CORP CA 7.01,9.01 02/08/07 PHARMACOPEIA DRUG DISCOVERY INC DE 5.02,9.01 02/05/07 PHILLIPS VAN HEUSEN CORP /DE/ DE 7.01,9.01 02/07/07 PHYTOMEDICAL TECHNOLOGIES INC NV 7.01,9.01 02/05/07 PINNACLE AIRLINES CORP DE 1.01,8.01,9.01 02/05/07 Pioneer Capital Associates, Inc. DE 6.05 02/08/07 PLATO LEARNING INC DE 1.02 02/05/07 PLUM CREEK TIMBER CO INC DE 5.02,5.03,8.01,9.01 02/05/07 PLY GEM HOLDINGS INC DE 2.05,7.01,9.01 02/08/07 POINT THERAPEUTICS INC DE 8.01,9.01 02/08/07 POINT THERAPEUTICS INC DE 3.01,9.01 02/08/07 POLO RALPH LAUREN CORP DE 5.02 02/06/07 POLYCOM INC DE 1.01,7.01,9.01 02/07/07 PONIARD PHARMACEUTICALS, INC. WA 5.03,9.01 02/07/07 POWELL INDUSTRIES INC NV 2.02,9.01 02/07/07 PRAXAIR INC DE 8.01,9.01 02/07/07 PROGRESS SOFTWARE CORP /MA MA 7.01 02/07/07 PROGRESSIVE CORP/OH/ OH 5.02,9.01 02/02/07 PROSPECT MEDICAL HOLDINGS INC DE 3.02 01/31/07 PROTECTIVE LIFE CORP DE 2.02,9.01 02/07/07 PYR ENERGY CORP DE 1.01,7.01,9.01 02/08/07 PYRAMID BREWERIES INC WA 5.02,8.01,9.01 02/07/07 QC Holdings, Inc. KS 2.02,9.01 02/08/07 QUALITY SYSTEMS INC CA 2.02,9.01 02/05/07 QUEPASA CORP NV 4.01,9.01 01/31/07 AMEND QUIKBYTE SOFTWARE INC CO 3.02,5.01 02/07/07 QWEST COMMUNICATIONS INTERNATIONAL IN DE 2.02,5.02 02/06/07 R F INDUSTRIES LTD NV 5.02,9.01 02/01/07 RADIATION THERAPY SERVICES INC FL 2.02,9.01 02/07/07 RASC Series 2007-KS1 Trust DE 8.01,9.01 02/06/07 RBC Bearings INC 2.02,9.01 02/08/07 REGAL ENTERTAINMENT GROUP DE 2.02,8.01,9.01 02/08/07 RENAISSANCERE HOLDINGS LTD 8.01,9.01 02/06/07 REPLIGEN CORP DE 2.02,9.01 02/08/07 REPUBLIC SERVICES INC DE 5.02 02/02/07 REUNION INDUSTRIES INC DE 2.04 02/02/07 REYNOLDS AMERICAN INC 2.02,9.01 02/08/07 RIGEL PHARMACEUTICALS INC DE 2.02,9.01 02/06/07 ROSS STORES INC DE 2.02,9.01 02/08/07 SAFENET INC DE 8.01,9.01 02/07/07 SAKS INC TN 8.01,9.01 02/08/07 Sally Beauty Holdings, Inc. 2.02,7.01,9.01 02/08/07 SAN JOAQUIN BANCORP CA 2.02,9.01 02/07/07 SANGAMO BIOSCIENCES INC DE 2.02,9.01 02/08/07 SAVE THE WORLD AIR INC NV 1.01,8.01,9.01 02/02/07 SBD International, Inc FL 1.01,9.01 02/07/07 SCIELE PHARMA, INC. DE 5.02,9.01 02/02/07 SCIVANTA MEDICAL CORP DE 1.02,3.02,5.02,5.03,8.01,9.01 01/29/07 SEAENA INC. 5.02 02/06/07 SELECTICA INC DE 2.02,9.01 02/08/07 SENECA FOODS CORP /NY/ NY 2.02,9.01 02/07/07 Seneca Gaming Corp XX 8.01 02/08/07 SENOMYX INC DE 2.02,9.01 02/08/07 SENSOR SYSTEM SOLUTIONS INC 5.02,8.01,9.01 02/05/07 SHOE CARNIVAL INC IN 2.02,9.01 02/08/07 SHORE BANCSHARES INC MD 2.02,9.01 02/05/07 SHUFFLE MASTER INC MN 1.02,9.01 02/04/07 SHUTTERFLY INC 2.02,9.01 02/08/07 SIBONEY CORP MD 1.01 02/02/07 SIX FLAGS INC DE 7.01,9.01 02/08/07 SONORAN ENERGY INC WA 4.01 02/02/07 SONORAN ENERGY INC WA 4.01,9.01 01/22/07 AMEND Soundview Home Loan Trust 2006-EQ2 DE 2.01,9.01 12/20/06 SOUTH TEXAS OIL CO NV 1.01,8.01,9.01 02/08/07 SOYO GROUP INC NV 1.01 02/08/07 SPARE BACKUP, INC. DE 8.01 02/02/07 SPECTRALINK CORP CO 1.01,9.01 02/07/07 Spectrum Brands, Inc. WI 2.02,9.01 02/08/07 Spirit AeroSystems Holdings, Inc. DE 2.02,9.01 02/08/07 STATER BROS HOLDINGS INC DE 2.02,9.01 02/06/07 STERLING BANCORP NY 7.01,9.01 02/07/07 SUBURBAN PROPANE PARTNERS LP DE 2.02,9.01 02/08/07 SUBURBAN PROPANE PARTNERS LP DE 5.02 02/05/07 SUNPOWER CORP CA 1.01,2.03,8.01,9.01 02/02/07 Sunstone Hotel Investors, Inc. MD 2.02,9.01 02/07/07 SUPPORTSOFT INC DE 2.02,5.02,9.01 02/06/07 SUREWEST COMMUNICATIONS CA 4.01,9.01 02/07/07 AMEND SURF Mortgage Loan Asset-Backed Certi DE 8.01,9.01 01/24/07 Surge Global Energy, Inc. 7.01,9.01 02/05/07 SWIFT ENERGY CO 2.02 12/31/06 Symmetry Medical Inc. DE 2.02,9.01 02/08/07 SYMYX TECHNOLOGIES INC DE 2.02,9.01 02/08/07 SYNERGY FINANCIAL GROUP INC /NJ/ NJ 5.02 02/06/07 Synovics Pharmaceuticals NV 1.01,3.02,9.01 02/01/07 SYNTAX-BRILLIAN CORP DE 2.02,9.01 02/08/07 TALBOTS INC DE 2.02,9.01 02/08/07 TALEO CORP DE 5.02,9.01 02/06/07 TARRAGON CORP NV 5.02,8.01,9.01 02/08/07 TECH DATA CORP FL 5.02,9.01 02/07/07 TECHPRECISION CORP 1.02,9.01 01/29/07 TELVUE CORP DE 5.02 02/08/06 TERRA INDUSTRIES INC MD 2.02,9.01 02/08/07 TERRA NITROGEN CO L P /DE DE 2.02,9.01 02/08/07 THERAVANCE INC DE 2.02,9.01 02/08/07 THERMO FISHER SCIENTIFIC INC. DE 2.02,9.01 02/08/07 TIER TECHNOLOGIES INC DE 2.02,9.01 02/08/07 TIFFANY & CO DE 8.01,9.01 02/08/07 Tiger Ethanol International Inc. NV 1.01,9.01 12/29/06 Tim Hortons Inc. DE 8.01,9.01 02/07/07 TIMBERLAND CO DE 2.02,5.02,9.01 02/07/07 TOLL BROTHERS INC DE 2.02,9.01 02/08/07 TRAVEL HUNT HOLDINGS INC 8.01 02/02/07 TRIBUNE CO DE 2.02,9.01 12/31/06 TRIDENT MICROSYSTEMS INC DE 5.02 02/05/07 Trinsic, Inc. DE 1.01,1.03,2.03,5.02 02/07/07 TRIQUINT SEMICONDUCTOR INC DE 2.02,9.01 02/08/07 True North Energy CORP 1.01,8.01,9.01 02/07/07 TYSON FOODS INC DE 5.03,9.01 02/02/07 U S GLOBAL INVESTORS INC TX 2.02 02/08/07 ULTIMATE SOFTWARE GROUP INC DE 2.02,9.01 02/07/07 ULURU INC. NV 8.01,9.01 02/08/07 UNITED ONLINE INC DE 2.02,9.01 02/08/07 UNIVERSAL ENERGY CORP. 7.01,9.01 02/06/07 URANERZ ENERGY CORP. NV 1.01 02/01/07 URANERZ ENERGY CORP. NV 1.01 02/01/07 URSTADT BIDDLE PROPERTIES INC MD 5.02,9.01 02/02/07 US LEC CORP DE 1.01,9.01 02/08/07 USA Mobility, Inc DE 8.01 02/07/07 VALENCE TECHNOLOGY INC DE 3.02,9.01 02/01/07 VCG HOLDING CORP CO 3.02,8.01,9.01 02/02/07 VISEON INC NV 4.01,8.01,9.01 02/08/07 VITRAN CORP INC 8.01 02/08/07 VNUS MEDICAL TECHNOLOGIES INC 2.02,9.01 02/08/07 WAL MART STORES INC DE 2.02,9.01 02/06/07 WALTER INDUSTRIES INC /NEW/ DE 2.02,8.01,9.01 02/07/07 WaMu Mortgage Pass-Through Certificat DE 9.01 01/24/07 Warner Music Group Corp. DE 2.02,7.01,9.01 02/08/07 WASTE MANAGEMENT INC DE 2.02,9.01 02/08/07 Watson Wyatt Worldwide, Inc. DE 2.02,9.01 02/08/07 Welwind Energy International CORP DE 5.02,7.01,9.01 02/02/07 WESTBOROUGH FINANCIAL SERVICES INC MA 2.02,9.01 02/08/07 WEYCO GROUP INC WI 8.01,9.01 02/07/07 Wi-Tron, Inc. DE 5.02,9.01 02/08/07 WILEY JOHN & SONS INC NY 1.01,2.01,9.01 02/08/07 WILLBROS GROUP INC R1 2.01,9.01 02/07/07 WILLIAM LYON HOMES DE 1.01,2.03,9.01 02/02/07 WILLIAMS CONTROLS INC DE 2.02,9.01 02/08/07 WINDSTREAM CORP DE 2.02,9.01 02/08/07 WMS INDUSTRIES INC /DE/ DE 2.02,9.01 02/05/07 WRIGLEY WM JR CO DE 2.02,5.03,9.01 02/06/07 XFONE INC NV 1.01,1.02,3.02,9.01 02/08/07 YOUNG INNOVATIONS INC MO 2.02,8.01,9.01 02/07/07 ZALE CORP DE 2.02 02/08/07 ZIPREALTY INC 5.02,9.01 02/02/07 ZYNEX MEDICAL HOLDINGS INC NV 2.02,9.01 02/06/07