SEC NEWS DIGEST Issue 2007-68 April 10, 2007 ENFORCEMENT PROCEEDINGS IN THE MATTER OF GEOFFREY BROD On April 9, the Commission instituted administrative and cease-and- desist proceedings against Geoffrey Brod. Brod was formerly a portfolio manager at Aeltus Investment Management, LLC (now known as ING Investment Management Co.), a registered investment adviser. The Division of Enforcement (Division) alleges that, from 1999 to 2003, Brod concealed his own stock trading, including trading in stocks held by mutual funds he managed, by failing to disclose his trades and falsifying internal reports. During this period, Brod executed but failed to disclose approximately 3,500 trades in public company stocks and made about $410,000 in profit from these trades. The Division alleges that through this conduct Brod willfully violated Section 17(j) of the Investment Company Act of 1940 and Rules 17j-1(b) and 17j-1(d) thereunder. A hearing will be scheduled before an Administrative Law Judge to determine whether such allegations are true, to afford the respondent an opportunity to establish defenses to the allegations, to determine whether remedial action is appropriate and in the public interest, to determine whether respondent should be ordered to cease and desist from committing or causing violations of and any future violations of the securities laws, and to determine whether respondent should be ordered to pay disgorgement. The Administrative Law Judge will issue an initial decision no later than 300 days from the date of service of the Order Instituting Proceedings, pursuant to Rule 360(a)(2) of the Commission's Rules of Practice. (Rel. IA-2600; IC-27780; File No. 3-12611) ORDER APPROVING APPLICATION FOR RELIEF FROM A STATURORY DISQUALIFICATION On April 9, the Commission issued an Order approving the application of the National Association of Securities Dealers, Inc. (NASD), for relief from a statutory disqualification to permit Harry M. Richardson to associate as a general securities representative with Emmett A. Larkin, Inc. (Larkin), a member of NASD. The Order states that, based on the representations made by NASD and Larkin with respect to the supervision of Mr. Richardson and the conditions placed on his employment, the Commission will not institute proceedings pursuant to Sections 15(b)(4), 15(b)(6), 19(h)(2), or 19(h)(3) of the Securities Exchange Act of 1934 (Exchange Act), and will not direct NASD to bar the proposed association, as provided in Section 15A(g)(2) of the Exchange Act. (Rel. 34-55601) FORT WORTH ATTORNEY LINDSEY VINSON SUSPENDED UNDER RULE 102(e) FROM APPEARING OR PRACTICING BEFORE THE COMMISSION FOR HIS ROLE IN SUBMITTING FORGED AUDIT REPORTS On April 9, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission's Rules of Practice, Making Findings and Imposing Remedial Sanctions (Order) against Lindsey Vinson. The Order finds that Vinson, from Fort Worth, Texas, is an attorney who from October 2003 through Jan. 29, 2004, was president and chairman of the board of directors of Moliris Corp. (Moliris). The Order also finds that from Jan. 29, 2004, through August 2005, Vinson functioned as the de facto principal executive and principal financial officer of Moliris. The administrative proceedings were based on a permanent injunction entered against Vinson on Dec. 11, 2006, by the U.S. District Court for the Northern District of Texas, Dallas Division. The injunction enjoined Vinson, by consent, from future violations of the violating Sections 10(b) and 13(b)(5) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 10b-5, 13b2-1 and 13b2-2 thereunder, and from aiding or 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. The Commission's complaint alleged that from about October 2003 through August 2005, Vinson, who had been previously enjoined by a federal court from violating the federal securities laws: (a) concealed his control of Moliris, (b) approved the filing of false and misleading Commission reports, and (c) in an attempt to profit from his activities, arranged for Moliris's stock to be listed and publicly traded on the OTC Bulletin Board (OTC-BB) without disclosing his continuing role at Moliris, his SEC disciplinary background and his prior bankruptcies. After having obtained the OTC-BB listing, Vinson participated in the public release of false information regarding a change in Moliris's line of business and its business prospects. While engaging in the alleged misconduct, Vinson used Moliris's bank accounts to pay a variety of personal expenses. The Order suspends Vinson from appearing or practicing as an attorney before the Commission. Vinson consented to the issuance of the Order without admitting or denying the findings in the Order except that he admitted the entry of the injunction. (Rel. 34-55603; AAE Rel. 2594; File No. 3-12610) IN THE MATTER OF JOSEPH DEPERGOLA On April 10, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing (Order) against Joseph Depergola (Depergola). In the Order, the Division of Enforcement alleges that on Oct. 18, 2005, Depergola pled guilty to one count of conspiracy to commit securities fraud before the U.S. District Court for the District of New Jersey, United States v. Joseph Depergola, 05 Cr. 748 (D.N.J.). The Order further alleges that the sole count of the criminal information to which Depergola pled guilty alleged, among other things, that Depergola, while employed at Valley Forge Securities, Inc. (Valley Forge), a broker-dealer registered with the Commission, participated in a scheme to manipulate the price of Select Media Communications, Inc. and to receive undisclosed, excessive commissions from the sales of stocks while employed at Valley Forge. A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Depergola an opportunity to dispute these allegations, and to determine what, if any, remedial sanctions against Depergola are appropriate and in the public interest pursuant to the Exchange Act. The Commission directed that an administrative law judge issue an initial decision in this matter within 210 days from the date of service of the Order Instituting Proceedings. (Rel. 34-55605; File No. 3-12612) SELF-REGULATORY ORGANIZATIONS PROPOSED RULE CHANGES The American Stock Exchange filed a proposed rule change (SR-Amex- 2006-107) and Amendment No. 1 thereto under Section 19(b)(1) of the Securities Exchange Act of 1934 relating to Amex Book Clerks. Publication is expected in the Federal Register during the week of April 9. (Rel. 34-55583) A proposed rule change (SR-NASD-2006-109) has been filed by the National Association of Securities Dealers, through its wholly owned subsidiary, NASD Dispute Resolution, Inc., regarding a proposal to amend rules relating to representation in arbitration and mediation. Publication is expected in the Federal Register during the week of April 9. (Rel. 34-55604) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change filed by the International Securities Exchange relating to access to the Exchange by Sponsored Customers (SR-ISE- 2007-19) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of April 9. (Rel. 34-55586) A proposed rule change (SR-NYSE-2007-29) and Amendment No. 1 thereto filed by the New York Stock Exchange relating to Rules 13 (Definitions of Orders) and 17 (Use of Exchange Facilities) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of April 9. (Rel. 34-55590) A proposed rule change filed by the Chicago Stock Exchange relating to participant fees and credits (SR-CHX-2007-14) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of April 9. (Rel. 34-55595) A proposed rule change filed by NYSE Arca, through its wholly owned subsidiary NYSE Arca Equities, Inc., amending fees for transactions in listed and Nasdaq securities priced less than one dollar (SR-NYSEArca- 2007-30) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of April 9. (Rel. 34-55596) A proposed rule change (SR-Phlx-2007-32) filed by the Philadelphia Stock Exchange relating to the equity option and index option floor brokerage assessment 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 April 9. (Rel. 34- 55599) SECURITIES ACT REGISTRATIONS The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be obtained in person or by writing to the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. 20549-1090 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . S-8 VANTAGEMED CORP, 3017 KILGORE ROAD, SUITE 195, RANCHO CORDOVE, CA, 95670-6149, 9166384744 - 0 ($2,691,879.00) Equity, (File 333-141957 - Apr. 9) (BR. 03A) F-1 OCEANFREIGHT INC., 80 KIFISSIAS AVENUE, ATHENS 15125, J3, 00000, (011)(30) 210 614 02 - 0 ($259,612,500.00) Equity, (File 333-141958 - Apr. 9) (BR. 05C) S-1 ASPEN TECHNOLOGY INC /DE/, TEN CANAL PARK, CAMBRIDGE, MA, 02141, 6179491000 - 0 ($270,756,000.00) Equity, (File 333-141959 - Apr. 9) (BR. 03C) S-3 INTER PARFUMS INC, 551 FIFTH AVE, STE 1500, NEW YORK, NY, 10176, 2129832640 - 200,000 ($5,039,000.00) Equity, (File 333-141963 - Apr. 9) (BR. 06C) S-3 Chelsea Therapeutics International, Ltd., 13950 BALLANTYNE CORPORATE PLACE, UNIT 325, CHARLOTTE, NC, 28277, 704-341-1516 - 3,442,798 ($18,763,249.10) Equity, (File 333-141964 - Apr. 9) (BR. 01A) S-3ASR BARNES GROUP INC, 123 MAIN ST, BRISTOL, CT, 06010, 8605837070 - 0 ($100,000,000.00) Other, (File 333-141968 - Apr. 9) (BR. 06C) S-3 FIRST KEYSTONE FINANCIAL INC, 22 WEST STATE ST, MEDIA, PA, 19063, 610 565-6210 - 400,000 ($7,824,000.00) Equity, (File 333-141970 - Apr. 9) (BR. 07C) F-10 Gammon Lake Resources Inc., 1601 LOWER WATER STREET, SUITE 402, SUMMIT PLACE, PO BOX 2067, HALIFAX, A5, B3J 2Z1, (902) 468-0614 - 0 ($200,000,000.00) Equity, (File 333-141971 - Apr. 9) (BR. 04A) SB-2 PACIFIC GOLD CORP, 157 ADELAIDE STREET WEST, STE. 600, TORONTO, A6, M5H 4E7, 416-214-1483 - 12,500,000 ($2,187,500.00) Equity, (File 333-141972 - Apr. 9) (BR. 04A) SB-2 O2DIESEL CORP, 1601 FIFTH AVENUE, SUITE 2100, SEATTLE, WA, 98101, 12,805,987 ($8,836,131.00) Equity, (File 333-141974 - Apr. 9) (BR. 02B) S-8 GREM USA, 315 E. WALLACE ST., FORT WAYNE, IN, 46803, 260-456-2354 - 560,000,000 ($280,000.00) Equity, (File 333-141975 - Apr. 9) (BR. 02A) S-3 VIASPACE Inc., 171 NORTH ALTADENA DR., SUITE 101, ALTADENA, CA, 91107, 626-768-3360 - 0 ($7,293,191.00) Equity, (File 333-141976 - Apr. 9) (BR. 10C) S-3 METABASIS THERAPEUTICS INC, 9390 TOWNE CENTRE DRIVE, SAN DIEGO, CA, 92121, 0 ($40,000,003.20) Equity, (File 333-141977 - Apr. 9) (BR. 01B) S-8 INTEGRAMED AMERICA INC, TWO MANHATTANVILLE RD, PURCHASE, NY, 10577-2100, 9142538000 - 100,000 ($1,495,000.00) Equity, (File 333-141978 - Apr. 9) (BR. 01C) S-3 VIASPACE Inc., 171 NORTH ALTADENA DR., SUITE 101, ALTADENA, CA, 91107, 626-768-3360 - 0 ($50,000,000.00) Equity, (File 333-141979 - Apr. 9) (BR. 10C) N-2 Eaton Vance Risk-Managed Diversified Equity Income Fund, THE EATON VANCE BUILDING, 255 STATE STREET, BOSTON, MA, 02109, 617-482-8260 - 50,000 ($1,000,000.00) Equity, (File 333-141981 - Apr. 9) (BR. 16) S-3ASR Spectra Energy Corp., 5400 WESTHEIMER COURT, HOUSTON, TX, 77056, 704-382-8160 - 0 ($0.00) Other, (File 333-141982 - Apr. 9) (BR. 02A) S-8 METABASIS THERAPEUTICS INC, 9390 TOWNE CENTRE DRIVE, SAN DIEGO, CA, 92121, 0 ($10,891,949.00) Equity, (File 333-141983 - Apr. 9) (BR. 01B) S-3ASR INNKEEPERS USA TRUST/FL, 306 ROYAL POINCIANA PLZ, STE 100, PALM BEACH, FL, 33480, 5612271331 - 0 ($0.00) Equity, (File 333-141984 - Apr. 9) (BR. 08B) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: 1.01 Entry into a Material Definitive Agreement 1.02 Termination of a Material Definitive Agreement 1.03 Bankruptcy or Receivership 2.01 Completion of Acquisition or Disposition of Assets 2.02 Results of Operations and Financial Condition 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant 2.04 Triggering Events That Accelerate or Increase a Direct Financial Obligation under an Off-Balance Sheet Arrangement 2.05 Cost Associated with Exit or Disposal Activities 2.06 Material Impairments 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 3.02 Unregistered Sales of Equity Securities 3.03 Material Modifications to Rights of Security Holders 4.01 Changes in Registrant's Certifying Accountant 4.02 Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review 5.01 Changes in Control of Registrant 5.02 Departure of Directors or Principal Officers; Election of Directors; Appointment of Principal Officers 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year 5.04 Temporary Suspension of Trading Under Registrant's Employee Benefit Plans 5.05 Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics 6.01. ABS Informational and Computational Material. 6.02. Change of Servicer or Trustee. 6.03. Change in Credit Enhancement or Other External Support. 6.04. Failure to Make a Required Distribution. 6.05. Securities Act Updating Disclosure. 7.01 Regulation FD Disclosure 8.01 Other Events 9.01 Financial Statements and Exhibits 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. 20549-1090 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT ------------------------------------------------------------------------------------------------------- ACCENTURE LTD 8.01 04/09/07 ACCURAY INC CA 1.01 04/03/07 ADVANCED MICRO DEVICES INC DE 2.02,9.01 04/09/07 AEGIS INDUSTRIES, INC. NV 8.01,9.01 03/20/07 AFFORDABLE RESIDENTIAL COMMUNITIES IN MD 8.01,9.01 04/09/07 ALIGN TECHNOLOGY INC DE 5.02,9.01 04/05/07 AMERICAN BANCORP OF NEW JERSEY INC NJ 8.01,9.01 04/09/07 AMERICAN LEISURE HOLDINGS, INC. NV 5.02 03/22/07 AMERICAN MEDICAL ALERT CORP NY 5.02,9.01 04/03/07 AMERICAN MORTGAGE ACCEPTANCE CO MA 2.01,9.01 04/03/07 AMERICAN TECHNOLOGIES GROUP INC NV 1.01,9.01 04/09/07 AMERIGROUP CORP 1.01,1.02,2.03,3.02,8.01,9.01 04/03/07 AMERISTAR CASINOS INC NV 1.01,9.01 04/03/07 AMKOR TECHNOLOGY INC DE 2.03,9.01 04/09/07 Apple REIT Seven, Inc. VA 1.01 04/04/07 ASPEN INSURANCE HOLDINGS LTD D0 1.01,5.02,9.01 04/09/07 AspenBio Pharma, Inc. CO 2.02,7.01,9.01 04/09/07 ASSET ACCEPTANCE CAPITAL CORP 5.02 04/02/07 AVOCENT CORP DE 7.01,9.01 04/06/07 AVOCENT CORP DE 7.01,9.01 04/09/07 AVP INC DE 1.01,9.01 04/05/07 AZZ INC TX 8.01,9.01 04/09/07 B2Digital, Inc. DE 1.01,9.01 03/19/07 BELK INC 2.02,8.01,9.01 04/04/07 BERLINER COMMUNICATIONS INC DE 1.01,2.03,9.01 04/03/07 BEVERLY NATIONAL CORP MA 8.01,9.01 04/09/07 BIG DOG HOLDINGS INC DE 1.01,3.02,9.01 04/03/07 BILL BARRETT CORP 7.01,9.01 04/05/07 BIOPURE CORP DE 5.02 04/04/07 BLAIR CORP DE 8.01,9.01 04/09/07 BLUE COAT SYSTEMS INC DE 8.01,9.01 04/09/07 BLUEGATE CORP NV 5.02 04/05/07 BOSTON LIFE SCIENCES INC /DE DE 8.01 04/09/07 BROWN FORMAN CORP DE 1.01 04/04/07 BSD MEDICAL CORP DE 7.01,9.01 04/09/07 CALIFORNIA PIZZA KITCHEN INC DE 2.02,5.02,9.01 04/09/07 CANDELA CORP /DE/ DE 5.02,9.01 04/05/07 CANDELA CORP /DE/ DE 5.02 04/03/07 CAPITAL ALLIANCE INCOME TRUST REAL ES DE 2.02,9.01 04/03/07 CAPITAL ALLIANCE INCOME TRUST REAL ES DE 5.02 04/05/07 Caribou Coffee Company, Inc. MN 2.02,9.01 04/09/07 CARMAX INC VA 5.02,9.01 04/09/07 CARRIER ACCESS CORP DE 2.02,2.05,2.06,9.01 04/05/07 Castle Brands Inc 2.02,9.01 04/09/07 CHANNELL COMMERCIAL CORP DE 2.02 04/09/07 Chaparral Steel CO DE 8.01 04/09/07 CHEESECAKE FACTORY INC DE 1.01,1.02,2.03 04/03/07 Chemtura CORP DE 5.02,9.01 04/09/07 CHINA RECYCLING ENERGY CORP 1.01,9.01 04/08/07 China VoIP & Digital Telecom Inc. NV 8.01,9.01 04/05/07 China VoIP & Digital Telecom Inc. NV 8.01,9.01 03/26/07 CHORDIANT SOFTWARE INC DE 2.02,9.01 04/09/07 CNL INCOME PROPERTIES INC MD 2.01,9.01 04/06/07 CNL INCOME PROPERTIES INC MD 2.01,9.01 04/06/07 AMEND COLUMBIA BANCORP \OR\ OR 5.02,9.01 04/06/07 COMMUNITY FIRST INC TN 5.02,7.01 03/29/07 CONEXANT SYSTEMS INC DE 2.02,9.01 04/09/07 CONSOLIDATED RESOURCES HEALTH CARE FU GA 7.01 04/09/07 CONSTELLATION BRANDS, INC. DE 5.02 04/03/07 CONSTELLATION BRANDS, INC. DE 5.02,7.01,9.01 04/04/07 CRESCENT REAL ESTATE EQUITIES CO TX 1.01 04/06/07 CRESCENT REAL ESTATE EQUITIES LTD PAR DE 1.01 04/06/07 CRESTED CORP CO 1.01 04/03/07 CROSS COUNTRY HEALTHCARE INC DE 8.01,9.01 04/09/07 CRYOCOR INC DE 8.01,9.01 04/09/07 Crystal River Capital, Inc. MD 5.02 04/04/07 Crystal River Capital, Inc. MD 7.01,9.01 04/09/07 CSMG TECHNOLOGIES, INC. TX 2.01 04/03/07 DARLING INTERNATIONAL INC DE 7.01,9.01 04/09/07 Delek US Holdings, Inc. 2.01,8.01,9.01 04/05/07 DELL INC DE 3.01,9.01 04/05/07 DELTA & PINE LAND CO DE 2.02,9.01 02/28/07 DEXCOM INC 7.01 04/06/07 DISCOVERY LABORATORIES INC /DE/ DE 8.01,9.01 04/06/07 DIVX INC 2.02,9.01 04/09/07 DOMINION HOMES INC OH 2.02,7.01,9.01 04/06/07 DOW CHEMICAL CO /DE/ DE 8.01 04/09/07 DUNE ENERGY INC DE 8.01 04/04/07 DYADIC INTERNATIONAL INC DE 5.02 04/05/07 ECC Capital CORP 5.02,9.01 04/05/07 EDGAR ONLINE INC DE 1.01,3.02,9.01 04/05/07 Education Management LLC DE 5.02,9.01 03/30/07 EL PASO NATURAL GAS CO DE 1.01,2.03,3.03,9.01 04/04/07 ELECTRONICS FOR IMAGING INC DE 3.01,8.01 03/15/07 EMTA Holdings, Inc. NV 8.01,9.01 04/05/07 EP MEDSYSTEMS INC NJ 5.02,9.01 04/03/07 EPICEPT CORP 8.01,9.01 04/06/07 ETRIALS WORLDWIDE INC. 5.02 03/30/07 EURONET WORLDWIDE INC DE 1.01,1.02,2.01,2.03,3.02,3.03, 04/04/07 7.01,9.01 EXPLORATION CO OF DELAWARE INC DE 7.01,9.01 04/03/07 FAMILYMEDS GROUP, INC. NV 2.01,5.02,9.01 04/02/07 FASTENTECH INC DE 7.01,9.01 04/06/07 FEDERAL AGRICULTURAL MORTGAGE CORP 8.01 04/05/07 FIELDSTONE INVESTMENT CORP 2.05,9.01 04/03/07 FINANCIAL SECURITY ASSURANCE HOLDINGS NY 2.02,9.01 04/05/07 FIRST AMERICAN CAPITAL CORP /KS KS 7.01,9.01 04/02/07 FIRST CHARTER CORP /NC/ NC 8.01,9.01 04/09/07 GENERAL COMPONENTS, INC. NV 2.01,9.01 03/27/07 GIGABEAM CORP DE 1.01 04/08/07 GLOBAL AXCESS CORP NV 2.01,9.01 04/04/07 GOLD STANDARD INC UT 5.03,9.01 03/29/07 GREATER ATLANTIC FINANCIAL CORP DE 8.01 04/06/07 GTJ REIT, Inc. MD 9.01 03/29/07 AMEND HAMPTONS LUXURY HOMES INC DE 8.01,9.01 04/09/07 HANDHELD ENTERTAINMENT, INC. DE 8.01,9.01 04/05/07 HARRIS INTERACTIVE INC DE 1.01,2.03,9.01 04/03/07 HEALTH DISCOVERY CORP TX 8.01,9.01 04/09/07 HEALTH SCIENCES GROUP INC DE 1.02,5.02 03/31/07 HERBALIFE LTD. E9 8.01,9.01 04/09/07 HERITAGE OAKS BANCORP CA 1.02,2.04 04/09/07 HOLLY CORP DE 5.02,9.01 04/05/07 HURCO COMPANIES INC IN 5.02,9.01 04/04/07 I/OMAGIC CORP NV 4.02,9.01 04/04/07 IDEARC INC. DE 5.02,9.01 04/03/07 IMAX CORP A6 3.03,9.01 04/09/07 INNOFONE COM INC NV 5.02 04/03/07 InPlay Technologies, Inc. NV 5.02 04/09/07 INSIGNIA SOLUTIONS PLC 1.01,2.01,5.02,9.01 04/04/07 INTEGRATED BIOPHARMA INC DE 1.01,2.03,9.01 04/09/07 Integrative Health Technologies, Inc. DE 8.01 04/09/07 Intermec, Inc. DE 2.02,9.01 04/09/07 INTERNATIONAL RECTIFIER CORP /DE/ DE 1.01,2.01,4.02,7.01,9.01 03/30/07 INTEST CORP DE 2.02,5.02,9.01 03/06/07 AMEND INTRAWARE INC DE 5.02 04/04/07 Intrepid Holdings, Inc. NV 5.02,9.01 04/03/07 iPCS, INC DE 2.02,8.01,9.01 04/09/07 itLinkz Group, Inc. FL 5.03,8.01,9.01 04/04/07 J P MORGAN CHASE & CO DE 9.01 04/05/07 JACK IN THE BOX INC /NEW/ DE 5.02 03/20/07 JACKSONVILLE BANCORP INC IL 2.02,9.01 04/09/07 JDS UNIPHASE CORP /CA/ DE 5.02,9.01 04/03/07 JMG Exploration, Inc. NV 4.02 04/04/07 JOURNAL REGISTER CO DE 5.02,9.01 04/09/07 KAYNE ANDERSON ENERGY DEVELOPMENT CO MD 8.01,9.01 04/09/07 LAIDLAW INTERNATIONAL INC DE 2.02,9.01 04/09/07 LANGER INC NY 9.01 01/23/07 AMEND Lawson Software, Inc. MN 2.02,9.01 04/09/07 LEHMAN BROTHERS HOLDINGS INC DE 9.01 04/03/07 MAGELLAN MIDSTREAM HOLDINGS LP 8.01 04/03/07 MANAGEMENT NETWORK GROUP INC 3.01,9.01 04/04/07 MANHATTAN PHARMACEUTICALS INC DE 1.01,9.01 04/03/07 MANTECH INTERNATIONAL CORP DE 1.01,9.01 04/06/07 MARINE PRODUCTS CORP DE 8.01,9.01 04/09/07 MARSHALL & ILSLEY CORP/WI/ WI 1.01,9.01 04/03/07 MASCO CORP /DE/ DE 5.02,7.01,9.01 04/03/07 MEDIALINK WORLDWIDE INC DE 8.01,9.01 04/02/07 MELLON FINANCIAL CORP PA 9.01 04/09/07 MENS WEARHOUSE INC TX 8.01,9.01 04/09/07 MERRILL LYNCH & CO INC DE 8.01,9.01 04/04/07 METROPOLITAN HEALTH NETWORKS INC FL 5.02,9.01 04/09/07 MEXICAN RESTAURANTS INC TX 5.02,9.01 04/04/07 MFIC CORP DE 5.02,8.01,9.01 04/06/07 MICROWAVE FILTER CO INC /NY/ NY 5.02 04/09/07 MID-STATE BANCSHARES CA 8.01 04/06/07 MIRANT CORP DE 8.01,9.01 04/09/07 MMC ENERGY, INC. DE 8.01,9.01 04/09/07 MS STRUCTURED TILES SERIES 2006-1 DE 9.01 04/09/07 NATHANIEL ENERGY CORP NV 1.01,2.03 12/05/06 NEKTAR THERAPEUTICS DE 5.02,9.01 04/02/07 NETLOGIC MICROSYSTEMS INC 8.01 04/05/07 NETLOGIC MICROSYSTEMS INC 5.02,9.01 04/05/07 NEVADA GOLD & CASINOS INC NV 5.02,9.01 04/05/07 NEW FIBER CLOTH TECHNOLOGY INC NV 4.01,9.01 10/09/06 NEW FIBER CLOTH TECHNOLOGY INC NV 4.01 04/05/07 NEW PLAN EXCEL REALTY TRUST INC MD 5.01 04/05/07 NEWNAN COWETA BANCSHARES INC 5.02,9.01 04/03/07 NEWS CORP 5.02 04/09/07 NightHawk Radiology Holdings Inc 5.02,8.01,9.01 04/04/07 NightHawk Radiology Holdings Inc 1.01,2.01,2.03,9.01 04/05/07 NORTHERN GROWERS LLC SD 1.01 03/21/07 Novastar Mortgage Funding Trust, Seri DE 1.01,9.01 02/28/07 NUCRYST Pharmaceuticals Corp. A0 9.01 04/03/07 AMEND NYSE Euronext DE 1.01,2.03,9.01 04/04/07 OCM HoldCo, LLC 1.01,2.03,9.01 04/02/07 ON THE GO HEALTHCARE INC 1.02 04/09/07 PACER INTERNATIONAL INC TN 1.01,1.02,2.03,9.01 04/05/07 PACIFIC PREMIER BANCORP INC DE 7.01,9.01 04/09/07 PDL BIOPHARMA, INC. DE 5.02,9.01 04/08/07 PEGASYSTEMS INC MA 5.02,9.01 04/03/07 People's United Financial, Inc. DE 7.01,9.01 04/05/07 PEOPLES BANCTRUST CO INC AL 7.01,9.01 04/09/07 PINNACLE AIRLINES CORP DE 8.01,9.01 04/06/07 PINNACLE FINANCIAL PARTNERS INC TN 7.01,9.01 04/09/07 PIXELWORKS, INC OR 1.01,5.02,9.01 04/03/07 PRESIDENTIAL REALTY CORP/DE/ DE 8.01 04/04/07 PRESSTEK INC /DE/ DE 3.01 04/03/07 Prestige Brands Holdings, Inc. 2.02,7.01,9.01 04/09/07 PROGRESSIVE GAMING INTERNATIONAL CORP NV 7.01 04/09/07 QMED INC DE 1.01 03/16/07 QUIDEL CORP /DE/ DE 1.01,9.01 04/05/07 Quintana Maritime LTD 1T 1.01,9.01 04/03/07 RAAC Series 2007-SP1 Trust DE 8.01,9.01 04/05/07 Rackable Systems, Inc. DE 1.01,9.01 04/03/07 RADIAN GROUP INC DE 7.01,8.01,9.01 04/05/07 Ready Mix, Inc. NV 1.01,9.01 04/03/07 Remote Dynamics Inc DE 5.02 04/03/07 REPUBLIC AIRWAYS HOLDINGS INC DE 1.01,9.01 04/09/07 Robcor Properties Inc 1.01,3.02,9.01 04/06/07 ROYAL GOLD INC DE 9.01 04/03/07 AMEND SANMINA-SCI CORP DE 2.02 04/09/07 SANTANDER DRIVE AUTO RECEIVABLES LLC DE 8.01,9.01 04/04/07 SCHNITZER STEEL INDUSTRIES INC OR 2.02,9.01 04/09/07 SCHNITZER STEEL INDUSTRIES INC OR 5.02 04/04/07 SIRVA INC DE 2.02,7.01,9.01 04/06/07 SLM Student Loan Trust 2007-4 DE 1.01,2.01,9.01 04/05/07 SMART ONLINE INC 8.01 04/03/07 SOUNDVIEW HOME LOAN TRUST 2007-WMC1 DE 2.01,9.01 03/13/07 SOURCEFIRE INC DE 2.02,9.01 04/09/07 SOUTHWEST BANCORP INC OK 8.01 04/09/07 SPARTAN MOTORS INC MI 7.01,9.01 04/09/07 SPATIALIGHT INC NY 8.01 04/09/07 ST JOE CO FL 5.02,9.01 04/09/07 STANLEY WORKS CT 8.01,9.01 04/09/07 STONEMOR PARTNERS LP DE 1.01,2.03,9.01 04/03/07 STRUC PROD CORP TIERS PRIN PRO MIN RE DE 8.01 04/02/07 STRUCTURED PRODUCTS CORP TIERS PP AS DE 8.01 04/02/07 STRUCTURED PRODUCTS CORP CASTSM STEP DE 8.01 04/02/07 STRUCTURED PRODUCTS CORP TEIRS PP ASS DE 8.01 04/02/07 STRUCTURED PRODUCTS CORP TIER PP ASSE DE 8.01 04/02/07 STRUCTURED PRODUCTS CORP TIER PP ASSE DE 8.01 04/02/07 STRUCTURED PRODUCTS CORP TIER PP ASSE DE 8.01 04/02/07 STRUCTURED PRODUCTS CORP TIERS PP ASS DE 8.01 04/02/07 STRUCTURED PRODUCTS CORP TIERS PP ASS DE 8.01 04/02/07 STRUCTURED PRODUCTS CORP TIERS PP ASS DE 8.01 04/02/07 STRUCTURED PRODUCTS CORP TIERS PP ASS DE 8.01 04/02/07 STRUCTURED PRODUCTS CORP TIERS PP MI DE 8.01 04/02/07 STRUCTURED PRODUCTS CORP TIERS PRINCI DE 8.01 04/02/07 STRUCTURED PRODUCTS CORP TIERS PRINCI DE 8.01 04/02/07 STRUCTURED PRODUCTS CORP TIERS PRINCI DE 8.01 04/02/07 SUPERTEL HOSPITALITY INC VA 2.01,2.03,9.01 04/04/07 T-3 ENERGY SERVICES INC TX 7.01,9.01 04/09/07 T-3 ENERGY SERVICES INC TX 2.02,9.01 04/09/07 TECUMSEH PRODUCTS CO MI 3.01,7.01,9.01 04/03/07 TELECOM COMMUNICATIONS INC 5.02 04/02/07 Teleplus World, Corp. 4.02,5.02,9.01 04/09/07 THERMADYNE HOLDINGS CORP /DE DE 8.01 04/03/07 THOR INDUSTRIES INC DE 4.02,9.01 04/04/07 TIME WARNER CABLE INC. DE 1.01,2.03,8.01,9.01 04/04/07 TIME WARNER INC DE 1.01,2.03,9.01 04/04/07 TODD SHIPYARDS CORP WA 8.01 04/09/07 TONGA CAPITAL CORP CO 4.02,9.01 04/09/07 AMEND TORVEC INC NY 8.01 04/05/07 TRM CORP OR 3.01,9.01 04/03/07 U. S. Premium Beef, LLC 7.01,9.01 04/09/07 UMB FINANCIAL CORP MO 5.02 04/03/07 UNITED STATES CELLULAR CORP DE 1.01,2.03,9.01 04/04/07 Universal Capital Management, Inc. DE 5.02 04/04/07 US AIRWAYS GROUP INC DE 7.01,9.01 04/06/07 US AIRWAYS GROUP INC DE 2.02,9.01 04/06/07 US ENERGY CORP WY 1.01 04/03/07 US XPRESS ENTERPRISES INC NV 5.02 04/06/07 USB HOLDING CO INC DE 5.04,9.01 04/03/07 USI HOLDINGS CORP DE 8.01,9.01 04/09/07 uWink, Inc. UT 5.02,9.01 04/03/07 VALSPAR CORP DE 7.01,9.01 04/09/07 VIASPACE Inc. NV 8.01,9.01 04/09/07 VIDEO DISPLAY CORP GA 5.02,9.01 04/09/07 Vistula Communications Services, Inc. DE 1.01,2.03,3.02,7.01,9.01 04/06/07 VS HOLDINGS, INC. DE 5.02,9.01 04/04/07 WELLSFORD REAL PROPERTIES INC MD 5.03,9.01 04/09/07 WGL HOLDINGS INC VA 8.01,9.01 04/02/07 WIFIMED HOLDINGS COMPANY, INC. NV 8.01,9.01 03/06/07 WORKSTREAM INC 1.01,9.01 04/04/07 WORLD AIR HOLDINGS, INC. 1.01,8.01,9.01 04/05/07 World Energy Solutions, Inc. DE 1.01,9.01 04/05/07 WORLD HEART CORP A6 5.02 04/04/07 WPCS INTERNATIONAL INC DE 1.01,2.01,9.01 04/05/07 WUHAN GENERAL GROUP (CHINA), INC NV 5.02 04/04/07 XTENT INC 1.01 04/03/07