SEC NEWS DIGEST Issue 2007-44 March 7, 2007 ENFORCEMENT PROCEEDINGS SEC OBTAINS ORDER FREEZING $3 MILLION IN PROCEEDS OF SUSPECTED FOREIGN-BASED ACCOUNT INTRUSION SCHEME On March 6, the Commission filed an emergency action in the U.S. District Court for the District of Columbia to freeze the assets held in a Latvian-based bank's U.S. trading account being used to conduct a hi-tech market manipulation scheme. The Commission's request for a temporary restraining order and an asset freeze was granted by the Honorable Ricardo M. Urbina, who froze $3 million pending a preliminary hearing. The Commission's complaint alleges a complex scheme that combines electronic intrusions into online brokerage accounts with a traditional market manipulation. From at least December 2005 through December 2006, one or more foreign-based unknown traders purchased, through four sub-accounts of an omnibus trading account titled in the name of Relief Defendant JSC Parex Bank and held at Pinnacle Capital Markets LLC of North Carolina, shares in 15 U.S.-based Nasdaq-traded companies. These unknown traders then hacked into unsuspecting investors' online brokerage accounts at seven major online broker- dealers and sold off investors' existing securities holdings. They then used the proceeds to buy shares on the open market of the thinly- traded issuers the unknown traders had previously purchased in their own sub-accounts. This illicit account activity artificially heightened the share price and trading volume for each of the thinly- traded issues and enabled the unknown traders to sell their holdings at a substantial profit, realizing at least $732,941 in ill-gotten gains. The unknown traders also used electronic means to hide their identities and mask the means by which they intruded into accounts. The Commission's complaint charges that the unknown traders violated Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder and seeks permanent injunctions against future violations by the unknown traders and disgorgement of all the unknown traders' ill-gotten gains, including prejudgment interest and civil penalties. The complaint also seeks a final judgment requiring Relief Defendant Parex to disgorge any assets it may have obtained as a result of the unknown traders' scheme. The SEC's Office of Investor Education and Assistance has previously issued an investor alert, available on the SEC's website, which provides tips for avoiding becoming a victim of an online intrusion. See http://www.sec.gov/investor/pubs/onlinebrokerage.htm. [SEC v. One or More Unknown Traders in the Common Stock of Certain Issuers, Defendants, and JSC Parex Bank, Relief Defendant, Civil Action No. 1:07-CV-00431 (D.D.C.)] (LR-20030; Press Rel. 2007-33) FINAL JUDGMENTS BY CONSENTS ENTERED AS TO DAVID SARNA AND ISAAC NUSSEN The Commission announced today that on March 5 the Honorable Richard J. Holwell, U.S. District Judge for the Southern District of New York, entered Final Judgments as to Defendants David Sarna and Isaac Nussen (collectively, the Defendants), enjoining each of them from future violations of Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Defendants consented to the entry of the judgments without admitting or denying the allegations of the Commission's complaint. The Commission's complaint, filed on Aug. 10, 2006, alleged that in May and June 2006, Sarna and Nussen orchestrated a fraudulent scheme to manipulate the market for Aurora Medical Technology, Inc. In May and June 2006, Sarna and Nussen participated in an undisclosed kickback arrangement with a former stock promoter and business partner of Sarna and another individual whom Sarna and Nussen believed to be associated with a brokerage firm. To generate additional stock sales and create trading volume in Aurora stock, Sarna and Nussen agreed to pay these individuals an amount equal to 30% of Sarna's and Nussen's stock sale proceeds as a kickback for soliciting customers of the brokerage firm. On June 8, 2006, in accordance with the illicit arrangement, Sarna and Nussen deposited 3,286,403 shares of Aurora stock into an account at the brokerage firm. On June 21 and 22, 2006, the individuals sold 83,000 and 56,000 Aurora shares, respectively, from Sarna and Nussen's nominee account to other accounts at the brokerage firm. On July 3, 2006, Sarna and Nussen received the sale proceeds of approximately $25,000. On July 6, 2006, Sarna and Nussen paid a kickback to the individuals with a $7,500 check. On Aug. 10, 2006, in a case entitled U.S. v. Sarna, et ano., Criminal No. 06-CR-1067 (JFK) (S.D.N.Y.), the U.S. Attorney's Office for the Southern District of New York arrested the Defendants for their roles in the scheme. In November 2006, the Defendants each pled guilty to one count of conspiracy to commit securities fraud. The Defendants are scheduled to be sentenced on March 15, 2007. For further information, see Litigation Release Number 19798 (Aug. 10, 2006). [SEC v. David Sarna, et ano., Civil Action No. 06-CV-6084 (RJH) SDNY] (LR-20031) COURT ENTERS FINAL JUDGMENT SETTING DISGORGEMENT AND A CIVIL PENALTY AGAINST DEFENDANT JAMES KOENIG The Commission announced that on Nov. 30, 2006, the Honorable James Lawrence King, U.S. District Judge for the Southern District of Florida entered a final judgment setting disgorgement and a civil penalty against Defendant James Koenig. The final judgment ordered Koenig to disgorge $41,538.40, representing the ill-gotten gains he received as a result of his violations of the federal securities laws, prejudgment interest of $9,631.48 and a civil money penalty of $120,000. Previously on May 1, 2003, Koenig, without admitting or denying the allegations of the complaint in the case, consented to the entry of an injunction against future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 and Sections 20(a) and 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. Koenig was also barred from participating in any offering of a penny stock. [SEC v. GetAnswers, Inc., et al., Case No. 03-20048-CIV-KING (S.D. Fla)] (LR-20032) CONSENT JUDGMENT OF PERMANENT INJUNCTION AND OTHER RELIEF ENTERED AGAINST DAVID NEPO The Commission announced that on March 4, 2004, the Honorable James Lawrence King, United States District Judge for the Southern District of Florida, entered a Consent Judgment of Permanent Injunction and Other Relief as to David Nepo. Nepo consented to the entry of an injunction against future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. In addition, the Consent Judgment ordered Nepo to pay a $40,000 civil money penalty and barred him from participating in any offering of a penny stock. Nepo paid the civil money penalty in full on or about March 17, 2004. Previously, on March 3, 2004, the Commission filed a Motion for Leave to File an Amended Complaint, in which it sought to name Nepo and others as additional defendants. The Amended Complaint alleged, in pertinent part, that: (1) Nepo was GetAnswers, Inc.'s founder and chairman of its board of directors, he directly participated in the management of GetAnswers, and he was involved in its operations at the highest levels; (2) by reason of his position at GetAnswers, Nepo had decision-making authority and controlled, or had the power to control, the business of GetAnswers; (3) Nepo reviewed or approved GetAnswers' private placement memoranda and marketing materials; and (4) Nepo regularly received GetAnswers' comptroller reports detailing the company's expenditures. [SEC v. GetAnswers, Inc., et al., Case No. 03- 20048-CIV-KING (S.D. Fla)] (LR-20033) INVESTMENT COMPANY ACT RELEASES SA INVESTMENT PARTNERS, LLC, ET AL. A notice has been issued giving interested persons until March 30 to request a hearing on an application filed by SA Investment Partners, LLC, et al. for an order to exempt investment funds formed for the benefit of eligible current and former employees of Sidley Austin LLP and its affiliates from certain provisions of the Investment Company Act. Each fund will be an "employees' securities company" as defined in Section 2(a)(13) of the Act. (Rel. IC-27747 - March 5) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule (SR-CBOE-2007-25) change filed by the Chicago Board Options Exchange establishing fees for the CBOE Stock Exchange 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 March 5. (Rel. 34-55395) A proposed rule change (SR-NYSE-2007-25) filed by the New York Stock Exchange relating to Rule 123D (Openings and Halts In Trading) 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 March 12. (Rel. 34-55398) PROPOSED RULE CHANGES The Commission issued notice of filing of a proposed rule change submitted by The NASDAQ Stock Market (SR-NASDAQ-2007-020) to establish a directed order type. Publication is expected in the Federal Register during the week of March 12. (Rel. 34-55405) The Chicago Stock Exchange filed a proposed rule change (SR-CHX-2007- 02) to amend the CHX Fee Schedule on a retroactive basis to clarify the application of a credit against specialist fixed fees. Publication is expected in the Federal Register during the week of March 12. (Rel. 34-55408) APPROVAL OF PROPOSED RULE CHANGES The Commission approved proposed rule changes filed by the National Association of Securities Dealers, the New York Stock Exchange, and the American Stock Exchange (SR-NASD-2006-131; SR-NYSE-2006-111; SR- Amex-2007-05) to increase the frequency of the short interest reporting requirements. Publication is expected in the Federal Register during the week of March 12. (Rel. 34-55406) JOINT INDUSTRY PLAN RELEASES IMMEDIATE EFFECTIVENESS OF THE TWENTY FOURTH AMENDMENT TO THE RESTATED ITS PLAN Pursuant to Rule 608 under the Securities Exchange Act of 1934, the Intermarket Trading System Operating Committee has filed an amendment to the ITS Plan (4-208) relating to the elimination of the ITS Plan. Publication is expected in the Federal Register during the week of March 12. (Rel. 34-55397) 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: . N-2 ROBECO SAGE TRITON FUND LLC, 120 BLOOMINGDALE ROAD, WHITE PLAINS, NY, 10605, 9149480300 - 250,000 ($250,000,000.00) Limited Partnership Interests, (File 333-141079 - Mar. 6) (BR. 18) S-3ASR UNITED STATES STEEL CORP, 600 GRANT ST, ROOM 1500, PITTSBURGH, PA, 15219-2800, 415 433 2967 - 0 ($0.00) Equity, (File 333-141080 - Mar. 6) (BR. 06A) F-3 pSivida LTD, LEVEL 12 BGC CENTRE, 28 THE ESPLANADE, PERTH, C3, 6000, 61 8 9226 5099 - 105,826,680 ($19,632,797.00) Equity, (File 333-141083 - Mar. 6) (BR. 10C) S-3ASR UNION PACIFIC CORP, 1400 DOUGLAS STREET, STOP 0310, OMAHA, NE, 68179, 402 544 5214 - 0 ($0.00) Equity, (File 333-141084 - Mar. 6) (BR. 05C) S-1 RANCHER ENERGY CORP., 1050 17TH STREET, SUITE 1700, DENVER, CO, 80265, 303 629-1155 - 146,848,816 ($242,300,546.40) Equity, (File 333-141086 - Mar. 6) (BR. 04B) S-8 WGL ENTERTAINMENT HOLDINGS, INC., 963 HELMSLEY COURT, UNIT 107, LAKE MARY, FL, 32746, 4073288538 - 500,000,000 ($5,000,000.00) Equity, (File 333-141087 - Mar. 6) (BR. 05C) S-8 FERRO CORP, 1000 LAKESIDE AVE, CLEVELAND, OH, 44114-1183, 2166418580 - 3,000,000 ($60,900,000.00) Equity, (File 333-141088 - Mar. 6) (BR. 06B) S-4 GLACIER BANCORP INC, 49 COMMONS LOOP, ., KALISPELL, MT, 59901, 4067564200 - 0 ($9,959,460.00) Equity, (File 333-141089 - Mar. 6) (BR. 07B) N-2 BlackRock Kelso Capital CORP, 40 EAST 52ND STREET, NEW YORK, NY, 10022, 212-754-5300 - 0 ($1,500,000.00) Equity, (File 333-141090 - Mar. 6) (BR. 22) F-3 pSivida LTD, LEVEL 12 BGC CENTRE, 28 THE ESPLANADE, PERTH, C3, 6000, 61 8 9226 5099 - 0 ($60,000,000.00) Equity, (File 333-141091 - Mar. 6) (BR. 10C) S-1 Starent Networks, Corp., 30 INTERNATIONAL PLACE, TEWKSBURY, MA, 01876, 978-851-1100 - 0 ($115,000,000.00) Equity, (File 333-141092 - Mar. 6) (BR. ) SB-2 Grand Motion, Inc., 601 UNION SQUARE CENTER, SUITE 4200, SEATTLE, WA, 98101, 206-652-3283 - 25,000,000 ($375,000.00) Equity, (File 333-141094 - Mar. 6) (BR. ) S-3 ICAGEN INC, 4222 EMPEROR BLVD, SUITE 350, DURHAM, NC, 27703, 919-941-5206 - 20,821,896 ($41,643,792.00) Equity, (File 333-141095 - Mar. 6) (BR. 01A) S-8 FRIENDLY ICE CREAM CORP, 1855 BOSTON ROAD, WILBRAHAM, MA, 01095, 4135432400 - 0 ($901,500.00) Equity, (File 333-141096 - Mar. 6) (BR. 05B) S-8 IOMAI CORP, 20 FIRSTFIELD ROAD, SUITE 250, GAITHERSBURG, MD, 20878, 301-556-4537 - 0 ($4,122,500.00) Equity, (File 333-141097 - Mar. 6) (BR. 01C) S-3 OccuLogix, Inc., 2600 SKYMARK AVENUE, UNIT 9, SUITE 201, MISSISSAUGA, A6, L4W 5B2, 905-602-0887 - 9,441,749 ($15,578,886.00) Equity, (File 333-141098 - Mar. 6) (BR. 10C) 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 1 800 CONTACTS INC DE 2.02,9.01 03/06/07 ABM INDUSTRIES INC /DE/ DE 2.02,8.01,9.01 03/05/07 ACADIA PHARMACEUTICALS INC DE 2.02,9.01 03/06/07 ACCURIDE CORP DE 2.02,9.01 03/06/07 ACORN FACTOR, INC. DE 1.01,5.02,9.01 02/08/07 ADEZA BIOMEDICAL CORP DE 5.02 02/28/07 ADVANCE DISPLAY TECHNOLOGIES INC CO 3.02,5.02,8.01,9.01 03/01/07 Advanced Refractive Technologies, Inc DE 4.01,9.01 09/25/06 ADVENTRX PHARMACEUTICALS INC DE 5.02,9.01 02/28/07 AFFIRMATIVE INSURANCE HOLDINGS INC DE 5.02 02/28/07 Aftersoft Group DE 5.02,8.01,9.01 03/01/07 AKORN INC LA 1.01,2.02,5.02,9.01 03/05/07 ALABAMA NATIONAL BANCORPORATION DE 1.01,2.03,9.01 03/02/07 ALABAMA POWER CO AL 3.02 03/06/07 ALLEGHENY ENERGY, INC MD 1.01 02/28/07 ALLIANCE HEALTHCARD INC 1.01,2.01,2.03,3.02,5.01, 02/28/07 5.02,9.01 ALLIED BANCSHARES INC GA 1.01,9.01 03/01/07 ALLIED HOLDINGS INC GA 8.01,9.01 03/02/07 ALLIED WORLD ASSURANCE CO HOLDINGS LT 1.01,2.03,9.01 02/28/07 Alon USA Energy, Inc. DE 1.01 03/02/07 ALPINE GROUP INC /DE/ DE 5.02 02/28/07 ALTAIR NANOTECHNOLOGIES INC A6 1.01,3.02,7.01,9.01 03/02/07 American Basketball Association, Inc. UT 4.01,9.01 03/01/07 AMERICAN OIL & GAS INC NV 2.06,4.02,7.01,9.01 02/28/07 AMERICAN PHYSICIANS CAPITAL INC MI 7.01,9.01 03/06/07 AMERICAN REAL ESTATE PARTNERS L P DE 2.02,9.01 03/06/07 AMERICAN REALTY INVESTORS INC NV 8.01 03/05/07 AMERICAN RIVER BANKSHARES CA 7.01,9.01 03/06/07 AMERICAN SHARED HOSPITAL SERVICES CA 2.02,9.01 03/06/07 AMERICAN SKIING CO /ME DE 8.01,9.01 02/16/07 AMERICAN SOFTWARE INC GA 2.02,9.01 03/06/07 AMERICAN TECHNICAL CERAMICS CORP DE 1.01 03/01/07 American Telecom Services Inc 8.01,9.01 03/06/07 AMERICANWEST BANCORPORATION WA 7.01,9.01 03/06/07 APAC CUSTOMER SERVICE INC IL 7.01,9.01 03/06/07 AQUACELL TECHNOLOGIES INC DE 1.01,9.01 03/03/07 ARBITRON INC DE 7.01,9.01 03/06/07 ARCADIA RESOURCES, INC NV 5.02,8.01,9.01 02/28/07 ARCH CAPITAL GROUP LTD. 5.02 02/28/07 ARGENTEX MINING CORP NV 3.02 02/28/07 ARGON ST, Inc. DE 5.02,5.03,8.01,9.01 02/28/07 ASPECT MEDICAL SYSTEMS INC DE 5.02 02/28/07 ASPEN EXPLORATION CORP DE 4.01,9.01 03/01/07 ATC HEALTHCARE INC /DE/ DE 3.02,9.01 03/05/07 ATLANTIC COAST FEDERAL CORP X1 5.02,9.01 03/01/06 ATSI COMMUNICATIONS INC/DE NV 8.01,9.01 03/06/07 ATWOOD OCEANICS INC TX 8.01,9.01 03/06/07 AUDIOVOX CORP DE 8.01 03/05/07 AVANEX CORP DE 7.01,9.01 03/06/07 AVISTA CORP WA 7.01 03/06/07 AXESSTEL INC NV 5.02 02/28/07 AZZ INC TX 5.02 03/01/07 BARE ESCENTUALS INC DE 2.02,9.01 02/28/07 BAUSCH & LOMB INC NY 2.02,8.01 03/06/07 BEA SYSTEMS INC DE 5.02 02/28/07 BERLINER COMMUNICATIONS INC DE 1.01,2.01,2.03,3.02,5.02,9.01 02/28/07 BFC FINANCIAL CORP FL 7.01 03/05/07 BIOCRYST PHARMACEUTICALS INC DE 1.01,8.01,9.01 03/05/07 BJS WHOLESALE CLUB INC DE 5.02 02/28/07 BLACK HILLS CORP /SD/ SD 8.01,9.01 03/05/07 BLUE VALLEY BAN CORP KS 2.02,7.01,9.01 03/06/07 BNP RESIDENTIAL PROPERTIES INC MD 3.01,3.03,5.01,5.02,9.01 02/28/07 BOSTON SCIENTIFIC CORP DE 7.01,9.01 03/01/07 BRIGHAM EXPLORATION CO DE 2.02,7.01,9.01 03/05/07 BROWN FORMAN CORP DE 2.02,9.01 01/31/07 C-COR INC PA 5.02,9.01 03/05/07 CALPINE CORP DE 5.02 03/06/07 CANADIAN DERIVATIVES CLEARING CORP A6 9.01 02/28/07 CAPITAL RESOURCE FUNDING INC NC 2.01,3.02,5.01,5.06,9.01 02/28/07 CAPITAL TRUST INC MD 2.02,9.01 02/28/07 CARACO PHARMACEUTICAL LABORATORIES LT MI 7.01,9.01 03/06/07 CARDINAL HEALTH INC OH 1.01,9.01 02/28/07 CARDIODYNAMICS INTERNATIONAL CORP CA 8.01,9.01 03/05/07 Cardium Therapeutics, Inc. 1.01,3.02,8.01,9.01 03/06/07 CATHAY GENERAL BANCORP DE 8.01,9.01 03/06/07 CB RICHARD ELLIS GROUP INC DE 9.01 12/20/06 AMEND CBRL GROUP INC TN 7.01,9.01 03/06/07 CDI CORP PA 1.01,1.02,2.03 02/28/07 CEC ENTERTAINMENT INC KS 2.02,9.01 12/31/06 CECO ENVIRONMENTAL CORP DE 1.01,2.01,2.03,5.02,8.01,9.01 02/27/07 CEDAR SHOPPING CENTERS INC MD 2.02,7.01,9.01 03/06/07 CELADON GROUP INC DE 8.01,9.01 03/05/07 CENTURY ALUMINUM CO DE 5.02 03/05/07 CENTURY CASINOS INC /CO/ DE 1.01,9.01 02/28/07 CERAGENIX PHARMACEUTICALS, INC. DE 7.01,9.01 03/05/07 CHARLES & COLVARD LTD NC 5.02,8.01 03/06/07 CHARYS HOLDING CO INC 1.01,2.03,8.01,9.01 02/15/07 AMEND CHICOS FAS INC FL 2.02,9.01 03/06/07 CHICOS FAS INC FL 8.01,9.01 03/06/07 CHINACAST EDUCATION CORP DE 4.01 02/28/07 CIGNA CORP DE 5.02 01/30/07 AMEND CIT GROUP INC DE 8.01,9.01 03/05/07 CITIBANK CREDIT CARD ISSUANCE TRUST DE 8.01,9.01 03/01/07 Citicorp Mortgage Securities Trust, S DE 8.01,9.01 03/06/07 CITIGROUP DIVERSIFIED FUTURES FUND LP 3.02 03/01/07 CITIGROUP FAIRFIELD FUTURES FUND LP I 3.02 03/01/07 CITIGROUP INC DE 8.01,9.01 03/06/07 CLARCOR INC DE 8.01,9.01 03/05/07 CLAYTON HOLDINGS INC 5.02,7.01,9.01 02/28/07 CNB Financial Corp. MA 2.02,9.01 03/05/07 COAST FINANCIAL HOLDINGS INC 2.06,9.01 03/03/07 COCA COLA BOTTLING CO CONSOLIDATED /D DE 1.01 02/28/07 COCA COLA CO DE 5.02,9.01 02/28/07 COLLAGENEX PHARMACEUTICALS INC DE 2.02,9.01 03/06/07 COMBINATORX, INC DE 2.02,9.01 03/06/07 COMERICA INC /NEW/ DE 7.01,9.01 03/06/07 COMM BANCORP INC PA 1.01,9.01 03/05/07 COMMERCIAL METALS CO DE 1.01,8.01,9.01 03/02/07 Community Bancorp NV 7.01,9.01 03/05/07 COMMUNITY TRUST BANCORP INC /KY/ KY 7.01 12/31/06 COMPOSITE TECHNOLOGY CORP NV 7.01,9.01 03/05/07 COMTEX NEWS NETWORK INC DE 1.01,9.01 02/28/07 COOPER COMPANIES INC DE 1.01,9.01 03/05/07 Copano Energy, L.L.C. DE 2.02,9.01 12/31/06 Copano Energy, L.L.C. DE 7.01,9.01 03/01/07 CORNELL COMPANIES INC DE 5.02 03/05/07 COST U LESS INC WA 1.01,9.01 03/06/07 COVENANT TRANSPORT INC NV 5.02 02/28/07 CPG INTERNATIONAL INC. DE 7.01,9.01 03/06/07 CRDENTIA CORP DE 1.01,1.02,2.04,3.02,5.02,9.01 02/28/07 CREDIT ACCEPTANCE CORPORATION MI 7.01,9.01 03/06/07 CREDITRISKMONITOR COM INC NV 8.01,9.01 03/05/07 CROSSTEX ENERGY INC DE 7.01,9.01 03/05/07 CROSSTEX ENERGY LP DE 7.01,9.01 03/05/07 Crusade Global Trust No. 1 of 2007 8.01,9.01 03/06/07 CWABS Asset-Backed Certificates Trust DE 8.01,9.01 02/28/07 Cyberkinetics Neurotechnology Systems DE 1.01,9.01 02/28/07 DATALOGIC INTERNATIONAL INC DE 1.01,2.01,2.04,3.02,5.02,8.01, 01/01/07 9.01 DATASCOPE CORP DE 8.01 03/02/07 DEBT RESOLVE INC DE 5.02,9.01 02/28/07 DEVELOPERS DIVERSIFIED REALTY CORP OH 9.01 02/27/07 DEXCOM INC 1.01,2.03 02/28/07 DEXCOM INC 8.01,9.01 03/06/07 DIAMOND OFFSHORE DRILLING INC DE 7.01,9.01 03/06/07 DIGITAL RIVER INC /DE DE 5.02,8.01,9.01 02/28/07 DIRECT GENERAL CORP 8.01,9.01 03/06/07 DORCHESTER MINERALS LP DE 2.02,7.01,9.01 12/31/06 DREW INDUSTRIES INC DE 8.01,9.01 03/05/07 DRINKS AMERICAS HOLDINGS, LTD DE 2.06,4.02 03/06/07 DYCOM INDUSTRIES INC FL 5.03 02/27/07 AMEND Eagle Bulk Shipping Inc. 1.01,9.01 02/28/07 ECC Capital CORP 1.02,3.01,9.01 02/28/07 EDEN BIOSCIENCE CORP WA 4.01,9.01 03/02/07 Electronic Sensor Technology, Inc 1.01 03/05/07 EMERITUS CORP\WA\ WA 1.02,2.03,8.01,9.01 02/28/07 ENDEAVOUR INTERNATIONAL CORP NV 2.02,9.01 03/05/07 ENDO PHARMACEUTICALS HOLDINGS INC DE 7.01,9.01 03/06/07 Energy Transfer Equity, L.P. DE 7.01,9.01 03/06/07 Energy Transfer Partners, L.P. DE 7.01,9.01 03/06/07 ENVIRONMENTAL CONTROL CORP. NV 1.01,3.02,9.01 02/26/07 Epic Bancorp 8.01 03/06/07 EPICOR SOFTWARE CORP DE 5.02 03/01/07 EQUITY RESIDENTIAL MD 9.01 03/06/07 ESTEE LAUDER COMPANIES INC DE 3.02 03/06/07 EURONET WORLDWIDE INC DE 5.02,9.01 03/06/07 ExlService Holdings, Inc. DE 2.02,9.01 03/06/07 FAUQUIER BANKSHARES INC VA 5.02 03/05/07 Federal Home Loan Bank of Atlanta X1 2.03 03/01/07 Federal Home Loan Bank of Boston X1 2.03 02/28/07 Federal Home Loan Bank of Chicago X1 2.03 02/28/07 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 02/28/07 Federal Home Loan Bank of Dallas 2.03 02/28/07 Federal Home Loan Bank of Des Moines X1 2.03,9.01 03/01/07 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 02/28/07 Federal Home Loan Bank of New York X1 2.03,9.01 02/28/07 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 02/28/07 Federal Home Loan Bank of San Francis X1 2.03 02/28/07 Federal Home Loan Bank of Seattle 2.03 03/05/07 Federal Home Loan Bank of Topeka 2.03 02/28/07 FIBERNET TELECOM GROUP INC\ DE 1.01,9.01 03/01/07 FIRST ALBANY COMPANIES INC NY 8.01,9.01 03/06/07 FIRST AMERICAN CORP CA 1.01,9.01 03/01/07 FIRST COMMONWEALTH FINANCIAL CORP /PA PA 5.02 02/28/07 FIRST INDIANA CORP IN 2.02,7.01,9.01 03/06/07 FORCE PROTECTION INC NV 4.02,9.01 03/01/07 FOXHOLLOW TECHNOLOGIES, INC. DE 5.02 02/28/07 FPL GROUP INC FL 7.01 03/05/07 FREEDOM TAX CREDIT PLUS LP DE 8.01,9.01 03/05/07 FREMONT GENERAL CORP NV 8.01 02/28/07 G REIT INC MD 1.01,9.01 02/28/07 Gener8xion Entertainment, Inc. NY 4.01,9.01 02/27/07 AMEND GENERAL NUTRITION CENTERS, INC. 1.01,3.03,9.01 03/05/07 GENESIS ENERGY LP DE 7.01 03/06/07 GENSYM CORP DE 8.01,9.01 03/06/07 Gentor Resources, Inc. FL 8.01 03/01/07 GEORGIA GULF CORP /DE/ DE 8.01 03/05/07 GIGA TRONICS INC CA 5.02,9.01 03/05/07 GLENAYRE TECHNOLOGIES INC DE 4.02 02/28/07 GLENAYRE TECHNOLOGIES INC DE 2.02,9.01 03/06/07 Global Beverage Solutions, Inc. 1.01,2.01,3.02 02/23/07 Global Employment Holdings, Inc. 1.01,1.02,2.01,2.03,5.03,9.01 02/28/07 Golden Spirit Enterprises Ltd. DE 1.01,8.01,9.01 03/06/07 GRAN TIERRA ENERGY, INC. NV 1.01,2.04,9.01 11/17/06 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 03/02/07 GREAT ATLANTIC & PACIFIC TEA CO INC MD 1.01,9.01 03/04/07 Greenpoint Mortgage Funding Trust 200 DE 6.02 03/01/07 Greenpoint Mortgage Funding Trust 200 DE 9.01 03/06/07 GREY WOLF INC TX 5.02,9.01 03/01/07 GROUP 1 AUTOMOTIVE INC DE 7.01,9.01 03/06/07 GRUBB & ELLIS CO DE 8.01,9.01 02/28/07 GS Cleantech Corp DE 1.01,3.02 02/28/07 GSAMP Trust 2007-HE1 DE 8.01,9.01 02/23/07 HALLIBURTON CO DE 8.01 03/01/07 HARTFORD LIFE INSURANCE CO CT 9.01 03/06/07 HEALTHTRONICS, INC. GA 1.01,9.01 02/28/07 Heelys, Inc. DE 2.02,9.01 03/06/07 HEXCEL CORP /DE/ DE 2.02,7.01,9.01 03/01/07 Hill International, Inc. DE 5.02 02/28/07 HUDSON HIGHLAND GROUP INC DE 2.02,4.02,9.01 03/01/07 HYPERDYNAMICS CORP DE 7.01 03/06/07 ICT GROUP INC PA 1.02 02/28/07 IDERA PHARMACEUTICALS, INC. DE 1.01,2.02,9.01 03/06/07 IMMERSION CORP DE 5.02 02/28/07 IMMUCOR INC GA 5.02,9.01 03/01/07 IMMUNE RESPONSE CORP DE 3.02 02/28/07 INFOCROSSING INC DE 5.02 03/05/07 INFOSONICS CORP 2.02,9.01 03/06/07 INNOFONE COM INC NV 1.01,9.01 03/01/07 INNUITY, INC. /UT/ UT 2.02,9.01 03/06/07 INSIGHT COMMUNICATIONS CO INC DE 2.02,9.01 03/06/07 INTERACTIVE SYSTEMS WORLDWIDE INC /DE DE 8.01,9.01 03/06/07 INTERDIGITAL COMMUNICATIONS CORP PA 5.02,9.01 03/06/07 INTERLINE BRANDS, INC./DE DE 5.02,8.01,9.01 03/01/07 Intermec, Inc. DE 7.01,9.01 03/06/07 INTERMOUNTAIN COMMUNITY BANCORP ID 2.02,5.02,9.01 02/28/07 INTERNET COMMERCE CORP DE 2.02,9.01 03/01/07 INTERPUBLIC GROUP OF COMPANIES, INC. DE 2.02,9.01 02/28/07 INTERSTATE BAKERIES CORP/DE/ DE 5.02,7.01,9.01 02/28/07 INVACARE CORP OH 7.01,9.01 03/05/07 INX Inc DE 2.02,7.01,9.01 03/06/07 IOMEGA CORP DE 1.01 02/28/07 IPG PHOTONICS CORP DE 2.02,9.01 03/06/07 IPORUSSIA INC DE 5.02 03/06/07 AMEND IRON MOUNTAIN INC DE 5.02,7.01 03/05/07 ISIS PHARMACEUTICALS INC DE 1.01,9.01 03/01/07 ISLAND PACIFIC INC DE 4.01,4.02,9.01 03/06/07 AMEND ISTA PHARMACEUTICALS INC DE 2.02,9.01 03/06/07 ITERIS, INC. DE 1.01,5.02,9.01 03/01/07 ITT CORP IN 7.01,9.01 03/06/07 IXYS CORP /DE/ DE 3.01,5.02 02/28/07 J C PENNEY CO INC DE 5.02,5.03,9.01 02/28/07 J P MORGAN CHASE & CO DE 9.01 03/01/07 Jazz Technologies, Inc. DE 1.01,2.02,9.01 02/28/07 JONES SODA CO WA 1.01,5.02,9.01 02/27/07 K&F Industries Holdings, Inc. 1.01,9.01 03/05/07 KANSAS CITY LIFE INSURANCE CO MO 8.01 03/06/07 KB HOME DE 5.02,9.01 02/28/07 KINTERA INC 5.02,9.01 02/28/07 KOPIN CORP DE 2.02,9.01 03/06/07 KRAFT FOODS INC VA 8.01 03/01/07 KRISPY KREME DOUGHNUTS INC NC 8.01,9.01 03/05/07 LAKES ENTERTAINMENT INC MN 8.01,9.01 02/28/07 LAND O LAKES INC 8.01 03/06/07 Lawson Software, Inc. MN 2.05 02/28/07 LAZARE KAPLAN INTERNATIONAL INC DE 5.02 03/01/07 LEAPFROG ENTERPRISES INC 5.02 02/28/07 LEHMAN ABS CORP CORPORATE BACKED TRUS DE 8.01 03/02/07 LEUCADIA NATIONAL CORP NY 1.01,2.03,8.01,9.01 03/06/07 LIBERTY TAX CREDIT PLUS II L P DE 8.01,9.01 03/05/07 LIBERTY TAX CREDIT PLUS III LP DE 8.01,9.01 03/05/07 LIBERTY TAX CREDIT PLUS LP DE 8.01,9.01 03/05/07 LIFETIME BRANDS, INC DE 2.02,9.01 03/06/07 LINN ENERGY, LLC DE 7.01,9.01 03/06/07 LODGIAN INC DE 5.02,9.01 02/02/07 AMEND LOGILITY INC GA 2.02,9.01 03/06/07 LSB INDUSTRIES INC DE 3.03,9.01 03/06/07 MAGMA DESIGN AUTOMATION INC DE 8.01 02/28/07 MAGNA ENTERTAINMENT CORP DE 2.02,9.01 03/05/07 MAGNA ENTERTAINMENT CORP DE 1.01,9.01 03/05/07 MAGUIRE PROPERTIES INC MD 8.01,9.01 03/05/07 Maidenform Brands, Inc. DE 2.02,9.01 03/05/07 MARATHON OIL CORP DE 5.02 02/28/07 MARINEMAX INC DE 1.01,5.02,9.01 02/28/07 MARKWEST HYDROCARBON INC DE 2.02,9.01 03/06/07 MARTIN MIDSTREAM PARTNERS LP DE 7.01,9.01 03/05/07 MAVERICK OIL & GAS, INC. 1.01,9.01 02/28/07 MAX RE CAPITAL LTD 8.01,9.01 02/28/07 MAXWELL TECHNOLOGIES INC DE 2.02,9.01 03/06/07 Mayflower Bancorp Inc MA 2.02,9.01 03/02/07 MCA Holdings CORP NV 8.01 03/05/07 MCDONALDS CORP DE 4.01,9.01 02/28/07 MCDONALDS CORP DE 4.01,9.01 02/28/07 MEADE INSTRUMENTS CORP DE 5.02,9.01 02/28/07 MEMORY PHARMACEUTICALS CORP 8.01 03/05/07 MERCER INTERNATIONAL INC. WA 7.01,9.01 03/05/07 MEXCO ENERGY CORP CO 8.01,9.01 03/06/07 MFA MORTGAGE INVESTMENTS MD 7.01,9.01 03/06/07 MICROTEK MEDICAL HOLDINGS, INC GA 2.02,9.01 03/06/07 MICROWAVE FILTER CO INC /NY/ NY 5.02 03/06/07 MINERALS TECHNOLOGIES INC DE 5.02 02/28/07 MIVA, INC. DE 2.02,9.01 03/05/07 Morningstar, Inc. IL 5.02,9.01 03/06/07 MOSAIC CO 5.02 03/02/07 MPLC, Inc. DE 1.01,3.02,5.03,9.01 02/28/07 MS STRUCTURED SATURNS SERIES 2001-4 DE 8.01,9.01 03/01/07 MS STRUCTURED SATURNS SERIES 2002-3 DE 8.01,9.01 03/01/07 MS STRUCTURED SATURNS SERIES 2002-4 DE 8.01,9.01 03/01/07 MS STRUCTURED SATURNS SERIES 2002-7 DE 8.01,9.01 03/01/07 MS STRUCTURED SATURNS SERIES 2005-3 DE 8.01,9.01 03/01/07 MultiCell Technologies, Inc. DE 1.01,2.03,3.02,8.01,9.01 03/06/07 MUZAK HOLDINGS LLC DE 8.01 03/06/07 NARROWSTEP INC DE 1.01,3.02,9.01 03/02/07 NATIONAL COAL CORP FL 1.01,3.02 02/28/07 National Collegiate Student Loan Trus 8.01,9.01 03/06/07 National Investment Managers Inc. FL 1.01,2.01,2.03,3.02,9.01 02/28/07 NATURAL HEALTH TRENDS CORP DE 3.01,9.01 03/01/07 NATURAL RESOURCE PARTNERS LP DE 1.01,8.01,9.01 03/02/07 NEOMAGIC CORP DE 5.02,9.01 03/05/07 NEOWARE INC DE 5.02 03/01/07 NETSMART TECHNOLOGIES INC DE 8.01,9.01 03/02/07 NETWORK 1 SECURITY SOLUTIONS INC DE 1.01,9.01 02/28/07 NEW JERSEY RESOURCES CORP NJ 1.01,8.01,9.01 03/06/07 NEW WORLD RESTAURANT GROUP INC DE 8.01,9.01 03/01/07 NEWS CORP 8.01,9.01 03/06/07 NexCen Brands, Inc. DE 1.01,2.01,3.02,8.01,9.01 02/28/07 NMT MEDICAL INC DE 2.02,9.01 03/06/07 No Borders, Inc. NV 5.03,9.01 06/21/06 NOBLE ROMANS INC IN 4.01,9.01 03/06/07 AMEND NORDSTROM INC WA 5.02 03/01/07 NTELOS HOLDINGS CORP 5.02,9.01 03/05/07 OPSWARE INC DE 2.02,9.01 03/06/07 OPSWARE INC DE 5.02 02/28/07 OPSWARE INC DE 1.01 03/06/07 OPTIMAL GROUP INC 7.01 03/06/07 ORACLE CORP 1.01,8.01,9.01 02/28/07 ORIENTAL FINANCIAL GROUP INC PR 1.01 01/17/07 ORTHOFIX INTERNATIONAL N V 2.02,9.01 03/06/07 OXIGENE INC DE 2.02,9.01 03/06/07 PACIFIC GAS & ELECTRIC CO CA 8.01 03/06/07 PACKAGING CORP OF AMERICA 7.01,9.01 03/05/07 PALADIN REALTY INCOME PROPERTIES INC MD 1.01 02/28/07 PALL CORP NY 2.02,9.01 03/01/07 PANDA ETHANOL, INC. NV 5.02,9.01 02/28/07 PARTNERS TRUST FINANCIAL GROUP INC 5.03,9.01 02/28/07 Patient Safety Technologies, Inc DE 5.02,8.01,9.01 02/28/07 PATRIOT TAX CREDIT PROPERTIES LP DE 8.01,9.01 03/05/07 PAYLESS SHOESOURCE INC /DE/ DE 5.02 03/01/07 PAYLESS SHOESOURCE INC /DE/ DE 2.02,7.01,9.01 03/06/07 PEABODY ENERGY CORP DE 7.01,9.01 03/06/07 PEGASYSTEMS INC MA 2.02,4.02,5.04 02/28/07 PERFORMANCE FOOD GROUP CO TN 5.02,9.01 03/02/07 PERMA FIX ENVIRONMENTAL SERVICES INC DE 2.02,9.01 03/06/07 PETROLEUM DEVELOPMENT CORP NV 8.01,9.01 03/06/07 PG&E CORP CA 8.01 03/06/07 PHASE FORWARD INC DE 5.02,9.01 02/28/07 PINNACLE AIRLINES CORP DE 1.01,9.01 03/01/07 PLAINS ALL AMERICAN PIPELINE LP DE 7.01 03/06/07 PLATO LEARNING INC DE 2.02,9.01 03/06/07 PNC FINANCIAL SERVICES GROUP INC PA 1.01,1.02,3.03,9.01 02/28/07 POLARIS INDUSTRIES INC/MN MN 7.01 03/06/07 POTLATCH CORP DE 5.02,9.01 03/05/07 PPL CORP PA 8.01,9.01 03/06/07 PRIDE INTERNATIONAL INC DE 5.02 02/28/07 PRIMEDIA INC DE 7.01,9.01 03/06/07 PRIMUS TELECOMMUNICATIONS GROUP INC DE 2.02,9.01 03/06/07 PROGRESSIVE CORP/OH/ OH 5.02 03/02/07 PROGRESSIVE GAMING INTERNATIONAL CORP NV 2.02,9.01 03/05/07 PROLIANCE INTERNATIONAL, INC. DE 1.01,9.01 02/28/07 Promotora Valle Hermosa CORP FL 5.02,9.01 03/01/07 PUBLIC SERVICE ENTERPRISE GROUP INC NJ 7.01,9.01 03/06/07 QUIKBYTE SOFTWARE INC CO 1.01,3.02,5.01,5.03,9.01 03/05/07 RAFAELLA APPAREL GROUP,INC. DE 5.02 03/02/07 RANCHER ENERGY CORP. NV 2.01,9.01 12/22/06 AMEND RASER TECHNOLOGIES INC UT 1.01 03/06/07 REFLECT SCIENTIFIC INC UT 1.01,7.01,9.01 11/15/06 AMEND Regency Energy Partners LP DE 8.01,9.01 03/01/07 REINSURANCE GROUP OF AMERICA INC MO 8.01,9.01 03/06/07 REINSURANCE GROUP OF AMERICA INC MO 7.01,9.01 03/06/07 RENAISSANCE CAPITAL GROWTH & INCOME F TX 1.01,9.01 03/01/07 RENASANT CORP MS 1.01,9.01 03/02/07 RENTRAK CORP OR 5.02,9.01 02/28/07 Republic Property Trust MD 5.02,5.05,9.01 02/28/07 RES CARE INC /KY/ KY 2.02,9.01 03/05/07 RES CARE INC /KY/ KY 1.01,5.02,9.01 02/28/07 RIVERVIEW BANCORP INC WA 5.02,5.03,9.01 03/01/07 ROCKWELL MEDICAL TECHNOLOGIES INC MI 2.02,7.01,9.01 03/06/07 Rosetta Resources Inc. DE 2.02,7.01 03/05/07 ROYAL GOLD INC DE 1.01 03/01/07 ROYAL GOLD INC DE 1.01,9.01 02/28/07 ROYALITE PETROLEUM CO INC. NV 2.01,3.02,5.01,5.02,9.01 02/28/07 RUSS BERRIE & CO INC NJ 5.02 07/06/06 AMEND RYERSON INC. DE 5.02,8.01,9.01 03/03/07 SABINE ROYALTY TRUST TX 2.02,9.01 03/05/07 SAFEGUARD SCIENTIFICS INC PA 1.01 02/28/07 SALOMON SMITH BARNEY ORION FUTURES FU 3.02 03/01/07 SEACOR HOLDINGS INC /NEW/ DE 5.02 02/26/07 AMEND SEALY CORP DE 5.02,9.01 03/06/07 Select Notes Trust LT 2004-1 DE 8.01,9.01 03/01/07 SERVICE 1ST BANCORP CA 2.02,9.01 03/05/07 AMEND SGX PHARMACEUTICALS, INC. DE 2.02,9.01 03/06/07 Sibling Entertainment Group, Inc. NY 1.01,3.02,9.01 02/28/07 SIGMATEL INC DE 5.02,9.01 02/28/07 SILICON IMAGE INC DE 5.02 03/02/07 SKY PETROLEUM, INC. NV 4.01,9.01 03/01/07 SKYSTAR BIO-PHARMACEUTICAL CO NV 4.01,9.01 02/28/07 SMITH BARNEY POTOMAC FUTURES FUND LP 3.02 03/01/07 SMITH BARNEY WESTPORT FUTURES FUND LP 3.02 03/01/07 SORELL, INC NV 2.01,3.02,9.01 02/28/07 SOUNDVIEW HOME LOAN TRUST 2007-1 DE 9.01 02/16/07 SOUTH TEXAS OIL CO NV 4.01,5.02,9.01 03/06/07 SOUTHERN CONNECTICUT BANCORP INC CT 5.02,5.03,8.01,9.01 02/28/07 SOUTHERN IOWA BIOENERGY LLC 1.01 03/06/07 SOUTHERN UNION CO DE 5.02 02/28/07 SPARTAN MOTORS INC MI 7.01,9.01 03/06/07 SPRINT NEXTEL CORP KS 5.02,9.01 03/01/07 SRI SURGICAL EXPRESS INC FL 2.02,9.01 03/05/07 STAR SCIENTIFIC INC DE 7.01,8.01 03/05/07 STIFEL FINANCIAL CORP DE 1.01,9.01 02/28/07 AMEND STRATAGENE CORP DE 2.02,9.01 03/06/07 STURM RUGER & CO INC DE 2.02 03/05/07 SUNTERRA CORP MD 1.01,2.05,2.06,4.02,8.01,9.01 02/28/07 SUPERGEN INC DE 5.02 03/06/07 SUREWEST COMMUNICATIONS CA 1.01,2.01,9.01 02/28/07 Sweet Success Enterprises, Inc NV 5.02 03/01/07 SYKES ENTERPRISES INC FL 2.02,9.01 03/05/07 TAKE TWO INTERACTIVE SOFTWARE INC DE 1.01,8.01,9.01 02/28/07 TANDY LEATHER FACTORY INC DE 2.02,9.01 03/06/07 TAPESTRY PHARMACEUTICALS, INC DE 2.02,9.01 03/06/07 Tarpon Industries, Inc. MI 1.01,2.03,9.01 02/28/07 TBS INTERNATIONAL LTD 1.01,7.01 03/06/07 TBW Mortgage-Backed Trust Series 2007 DE 1.01 02/27/07 TECHNOLOGY SOLUTIONS COMPANY DE 5.02 03/01/07 TEMECULA VALLEY BANCORP INC CA 1.01,5.02,9.01 02/21/07 AMEND TERRA NOSTRA RESOURCES CORP. NV 5.02 02/20/07 THEGLOBE COM INC DE 8.01 02/28/07 TMSF HOLDINGS INC UT 1.02 03/06/07 TMSF HOLDINGS INC UT 1.01 02/14/07 AMEND TOPPS CO INC DE 1.01,5.02,8.01,9.01 03/05/07 TOPPS CO INC DE 1.01,5.02,8.01,9.01 03/05/07 AMEND TORO CO DE 1.01,2.03,9.01 03/05/07 TOWN SPORTS INTERNATIONAL HOLDINGS IN DE 2.02,9.01 03/06/07 TRANSGENOMIC INC DE 2.01 02/28/07 TRANSOCEAN INC E9 8.01 03/02/07 TRANSWITCH CORP /DE DE 2.05,9.01 03/05/07 TRIQUINT SEMICONDUCTOR INC DE 1.01,5.02 11/15/06 TSR INC DE 1.01,9.01 03/01/07 TUMBLEWEED COMMUNICATIONS CORP DE 1.01,9.01 03/06/07 UAP HOLDING CORP DE 5.02 03/05/07 UAP HOLDING CORP DE 5.02,9.01 03/06/07 UNITED DOMINION REALTY TRUST INC MD 7.01,9.01 03/06/07 UNITED FUEL & ENERGY CORP NV 1.01,2.03,9.01 02/28/07 UNITED STATES CELLULAR CORP DE 8.01,9.01 03/06/07 UNITEDHEALTH GROUP INC MN 7.01,9.01 03/06/07 UNIVERSAL POWER GROUP INC. TX 2.02,9.01 03/05/07 UNIVISION COMMUNICATIONS INC DE 7.01,9.01 02/27/07 US AIRWAYS GROUP INC DE 2.02,9.01 03/06/07 USA REAL ESTATE INVESTMENT TRUST /CA CA 8.01 02/28/07 uWink, Inc. UT 7.01 03/06/07 VCG HOLDING CORP CO 2.01,2.03,8.01,9.01 03/02/07 VERIDIGM, INC. DE 1.01,5.02 03/04/07 VERISIGN INC/CA DE 5.03,9.01 02/28/07 VFINANCE INC DE 4.02 03/06/07 VIASPACE Inc. NV 8.01,9.01 03/06/07 VION PHARMACEUTICALS INC DE 2.02,9.01 03/02/07 VITAL IMAGES INC MN 5.02 02/02/07 VOICE DIARY INC DE 1.01 03/05/07 VOLT INFORMATION SCIENCES, INC. NY 2.02,9.01 03/06/07 VS HOLDINGS, INC. DE 5.02,9.01 03/02/07 WASTE CONNECTIONS INC/DE DE 5.02 03/01/07 WATERMARK INVESTORS REALTY TRUST TX 8.01,9.01 02/28/07 WELLCARE HEALTH PLANS, INC. DE 1.01,9.01 03/02/07 WESTERN SIZZLIN CORP DE 5.02 02/28/07 White River Capital Inc 2.02,9.01 03/05/07 WILSONS THE LEATHER EXPERTS INC MN 2.02,5.02,9.01 02/28/07 World Energy Solutions, Inc. DE 1.02 02/28/07 XILINX INC DE 7.01,9.01 03/05/07 ZANETT INC DE 1.01,9.01 03/06/07