SEC NEWS DIGEST Issue 2007-76 April 20, 2007 COMMISSION ANNOUNCEMENTS COMMISSION MEETINGS CLOSED MEETING - THURSDAY, APRIL 26, 2007 - 2:00 P.M. The subject matter of the closed meeting scheduled for Thursday, April 26, will be: Formal orders of investigations; Institution and settlement of injunctive actions; Institution and settlement of administrative proceedings of an enforcement nature; Litigation matters; and Other matters related to enforcement proceedings. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551-5400. ENFORCEMENT PROCEEDINGS IN THE MATTER OF TENET HEALTHCARE CORPORATION On April 19, the Commission issued an Order Under Section 27A(b) of the Securities Act of 1933, and Section 21E(b) of the Securities Exchange Act of 1934, Granting Waivers of the Disqualification Provisions of Section 27A(b)(1)(A)(ii) of the Securities Act and Section 21E(b)(1)(A)(ii) of the Exchange Act. The Order finds that Tenet submitted a letter, dated March 28, 2007, requesting a waiver of the disqualification provisions of Section 27A(b)(1)(A)(ii) of the Securities Act and Section 21E(b)(1)(A)(ii) of the Exchange Act arising from the settlement of a civil injunctive proceeding with the Commission. Based on the representations set forth in Tenet's request, the Commission determined that, under all of the circumstances, a waiver of the disqualifications resulting from the entry of the Final Judgment would be in the public interest and for the protection of investors and should be granted. Based on the above, the Order pursuant to Section 27A(b) of the Securities Act and Section 21E(b) of the Exchange Act granting a waiver from the disqualification provisions of Section 27A(b)(1)(A)(ii) of the Securities Act and Section 21E(b)(1)(A)(ii) of the Exchange Act as to Tenet resulting from the entry of the Final Judgment was issued. (Rel. 33-8792; 34-55649) IN THE MATTER OF DANIEL LOVAGLIO On April 20, 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 Daniel Lovaglio (Lovaglio). In the Order, the Division of Enforcement alleges that on July 30, 2003, Lovaglio 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. Daniel Lovaglio, 03 Cr. 562 (D.N.J.). The Order further alleges that the sole count of the criminal information to which Lovaglio pled guilty alleged, among other things, that Lovaglio, while employed as an unregistered representative at Valley Forge Securities, Inc. (Valley Forge), a broker-dealer registered with the Commission, contacted Valley Forge customers, posed as a registered broker, and used false and misleading sales practices to sell securities to Valley Forge customers in exchange for undisclosed commissions. A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Lovaglio an opportunity to dispute these allegations, and to determine what, if any, remedial sanctions against Lovaglio 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. 34-55651; File No. 3-12619) SEC FILES FOR CIVIL CONTEMPT AGAINST SHERWIN P. BROWN AND JAMERICA FINANCIAL, INC. The Commission announced that on April 3, 2007, the Commission filed a motion for a civil contempt against Sherwin P. Brown (Brown) and Jamerica Financial, Inc. (Jamerica) for violating the Agreed Order of Preliminary Injunction and Asset Freeze (Preliminary Injunction) entered by the Honorable Paul A. Magnuson of the U.S. District Court for the District of Minnesota on April 14, 2006. The Preliminary Injunction prohibited Brown and Jamerica from violating certain antifraud and recordkeeping violations of the federal securities laws. The Commission filed an emergency action on March 29, 2006, against Brown, Jamerica, a Minneapolis, Minnesota-based investment advisor of which Brown serves as the majority owner and President, and Brawta Ventures, LLC (Brawta), the private investment fund formed by Brown and Jamerica. The complaint alleged that Brown and Jamerica raised at least $1.65 million from 53 investors for Brawta. The Commission further alleged that the defendants defrauded the investors of Brawta by misappropriating at least $569,950 of investor funds to pay for Brown's personal expenses and Jamerica's business expenses, and by misrepresenting the value of Brawta to the investors by failing to disclose or account for the funds that were diverted. In its motion for civil contempt, the Commission submitted evidence that Brown and Jamerica, in violation of the Preliminary Injunction, continued to provide false valuations to the investors of Brawta, which substantially overstated the value of their investment. In support of its motion for civil contempt, the Commission submitted evidence that the true value of Brawta was worth less than half of what Brown and Jamerica claimed it to be. In addition, the Commission contended that Brown and Jamerica have failed to make and keep true, accurate and current records relating to the business of Jamerica, also in contempt of the Preliminary Injunction. [SEC v. Sherwin P. Brown, Jamerica Financial, Inc. and Brawta Ventures, LLC, Civil Action No. 06-1213, D. Minn., Magnuson, J.] (LR-20081) FINAL JUDGMENT ENTERED AGAINST DEFENDANT SANJAY KUMAR The Commission announced that on April 13, 2007, the U.S. District Court for the Eastern District of New York entered a final judgment on consent against Sanjay Kumar, the former CEO and Head of Sales at Computer Associates International, Inc., (CA), in the action SEC v. Sanjay Kumar and Stephen Richards, 04 Civ. 4104 (E.D.N.Y.) (Glasser, I.L.). The Final Judgment against Kumar does not impose a civil penalty or disgorgement based on Kumar's obligation to pay restitution payments in the criminal action, United States v. Kumar et ano., S2-04 Cr. 846 (ILG). Kumar consented, without admitting or denying the allegations against him, to a judgment that reincorporates equitable relief previously ordered by the Court, including permanent injunctions prohibiting Kumar and Richards from violating Section 17(a) of the Securities Act of 1933, Sections 10(b), 13(a) and 13(b) of the Securities Exchange Act of 1934 and Rules 10b-5, 12b-20, 13a-1, 13a- 13, and 13b2-1 promulgated thereunder, and an order barring Kumar from serving as an officer or director of a publicly held company. Previously, on April 24, 2006, Kumar pleaded guilty to eight felony criminal charges in the related criminal case brought by the United States Attorney's Office for the Eastern District of New York. On Nov. 27, 2006, Judge I. Leo Glasser sentenced Kumar to serve a 12 year prison term. On April 13, 2007, Judge Glasser entered a Stipulation and Order in the criminal action imposing a Restitution Judgment against Kumar in the amount of $798,600,000, and directing Kumar to pay $40 million on or before April 30, 2007, $10 million on or before July 31, 2007, and $2 million on or before Dec. 31, 2008. Judge Glasser directed Kumar to pay the balance of the restitution obligation upon release from incarceration by annual payments of 20% of Kumar's income. On Sept. 22, 2004, the Commission filed complaints alleging that Kumar and violated the antifraud and other provisions of the federal securities laws. The Commission alleged that from 1998 to 2000, CA routinely kept its books open to record revenue from contracts executed after the quarter ended in order to meet Wall Street quarterly earnings estimates. In total, CA prematurely recognized over $3.3 billion in revenue. In addition, Kumar obstructed the Commission's investigation into the company's accounting practices. The Commission acknowledges the assistance and cooperation of the U.S. Attorney's Office for the Eastern District of New York and the Federal Bureau of Investigation in this matter. [SEC v. Sanjay Kumar and Stephen Richards, 04 Civ. 4104 (E.D.N.Y.)(Glasser, I.L.).] (LR-20082; AAE Rel. 2597) FLORIDA COURT ORDERS BOCA RATON MAN CHARGED WITH FRAUD TO PAY $120,000 PENALTY The Commission today announced that the federal court in Orlando entered a final judgment on April 16, 2007, against Bernard Shinder, of Boca Raton, Florida, ordering him to pay a $120,000 penalty. Shinder, without admitting or denying the allegations against him, consented to the entry of the judgment in the U.S. District Court for the Middle District of Florida. This judgment concludes the Commission's litigation concerning Bio One Corp., a nutritional supplement company located in Winter Springs, Florida where Shinder served as CFO. The Commission's complaint alleged fraud and other securities law violations against Shinder and Bio One's former CEO Armand Dauplaise. Shinder had previously consented to a permanent injunction that enjoins him from future violations of the federal securities laws and bars him from acting as an officer or director of any public company. For additional information, including details of the complaint's allegations and the prior injunctions against Shinder and Dauplaise, see Litigation Release Nos. 19387 (Sept. 22, 2005), No. 19643 (April 6, 2006), and No. 19808 (Aug. 17, 2006). [SEC v. Bernard Shinder, Civil Action No. 6:05-cv-0139 (M.D. Fla.)] (LR-20083; AAE Rel.. 2598) SELF-REGULATORY ORGANIZATIONS PROPOSED RULE CHANGES The Chicago Board Options Exchange filed a proposed rule change (SR- CBOE-2007-27) and Amendment No. 1 thereto relating to class quoting limits. Publication is expected in the Federal Register during the week of April 23. (Rel. 34-55644) The Commission noticed a proposed rule change (SR-NASDAQ-2007-040) submitted by The NASDAQ Stock Market relating to the waiver of fees upon relisting of companies removed for late filings. Publication is expected in the Federal Register during the week of April 23. (Rel. 34-55645) The New York Stock Exchange filed a proposed rule change (SR-NYSE- 2007-02) and Amendment No. 1 thereto to adopt new Rule 447 (Emergency Powers). Publication is expected in the Federal Register during the week of April 23. (Rel. 34-55646) 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-1 WOLVERINE TUBE INC, 200 CLINTON AVENUE WEST, SUITE 1000, HUNTSVILLE, AL, 35801, 2568900460 - 46,454,545 ($51,100,000.00) Equity, (File 333-142209 - Apr. 19) (BR. 06C) S-1 AIRVANA INC, 1000 WINTER STREET, STE 4500, WALTHAM, MA, 02109, 0 ($75,000,000.00) Equity, (File 333-142210 - Apr. 19) (BR. 11) S-1 United States Heating Oil Fund, LP, 1320 HARBOR BAY PARKWAY, SUITE 145, ALAMEDA, CA, 94502, (415) 584-1927 - 1,000,000 ($50,000,000.00) Equity, (File 333-142211 - Apr. 19) (BR. 08) SB-2 FLORHAM CONSULTING CORP, 64 BEAVER STREET, SUITE 233, NEW YORK, NY, 10004, 6462068280 - 65,700 ($98,550.00) Equity, (File 333-142212 - Apr. 19) (BR. 08) S-8 CHECK POINT SOFTWARE TECHNOLOGIES LTD, 3A JABOTINSKY ST, RAMAT GAN 52520, ISRAEL, L3, 751,756 ($10,862,874.20) Equity, (File 333-142213 - Apr. 19) (BR. 03A) SB-2 RECYCLE TECH INC, 7393 WEST 44TH AVE, WEST RIGDE, CO, 80033, 323,000 ($167,960.00) Equity, (File 333-142214 - Apr. 19) (BR. 02) S-8 nFinanSe Inc., 6015 31ST STREET EAST, BRADENTON, FL, 34203, 941-753-2875 - 2,300,000 ($6,668,714.00) Equity, (File 333-142215 - Apr. 19) (BR. 11A) SB-2 SP Holding CORP, 3317 THIRD AVENUE SOUTH,, SEATTLE,, WA, 98134, (206) 838-4670 - 0 ($42,905,754.00) Equity, (File 333-142220 - Apr. 19) (BR. 05C) S-8 TGC INDUSTRIES INC, 1304 SUMMIT AVE STE 2, PLANO, TX, 75074, 9728811099 - 0 ($8,438,690.00) Equity, (File 333-142221 - Apr. 19) (BR. 04C) S-8 ADVANCED ANALOGIC TECHNOLOGIES INC, 830 E. ARQUES AVENUE, SUNNYVALE, CA, 94085-4519, (408) 737-4600 - 1,446,942 ($9,611,669.66) Equity, (File 333-142223 - Apr. 19) (BR. 10A) SB-2 TEKOIL & GAS CORP, 25050 I-45 NORTH, SUITE 525, THE WOODLANDS, TX, 77380, 281-364-6950 - 41,360,390 ($57,490,942.00) Equity, (File 333-142224 - Apr. 19) (BR. 04B) S-8 ORACLE CORP, 500 ORACLE PARKWAY, MAIL STOP 5 OP 7, REDWOOD CITY, CA, 94065, 6505067000 - 0 ($49,140,000.00) Equity, (File 333-142225 - Apr. 19) (BR. 03B) S-8 SONA MOBILE HOLDINGS CORP, 825 THIRD AVENUE, 32ND FLOOR, NEW YORK, NY, 10022, 2124868887 - 0 ($2,803,492.00) Equity, (File 333-142228 - Apr. 19) (BR. 03A) S-8 TIBCO SOFTWARE INC, 3303 HILLVIEW AVENUE, PALO ALTO, CA, 94304, 6508461000 - 5,279,883 ($48,627,722.43) Equity, (File 333-142229 - Apr. 19) (BR. 03B) S-3ASR NATIONAL RURAL UTILITIES COOPERATIVE FINANCE CORP /DC/, WOODLAND PARK, 2201 COOPERATIVE WAY, HERNDON, VA, 20171-3025, 7037096700 - 2,000,000,000 ($2,000,000,000.00) Debt, (File 333-142230 - Apr. 19) (BR. 11A) S-3ASR FEDERAL REALTY INVESTMENT TRUST, 1626 EAST JEFFERSON STREET, ROCKVILLE, MD, 20852-4041, 3019988100 - 1,165,065 ($106,137,421.50) Unallocated (Universal) Shelf, (File 333-142231 - Apr. 19) (BR. 08B) S-1 CardioVascular BioTherapeutics, Inc., 1635 VILLAGE CENTER CIRCLE, SUITE 250, LAS VEGAS, NV, 89134, 702-248-1174 - 20,992,075 ($27,919,460.00) Equity, (File 333-142232 - Apr. 19) (BR. 01C) S-4 BALTIMORE GAS & ELECTRIC CO, 39 WEST LEXINGTON STREET, BALTIMORE, MD, 21201, 4107833624 - 0 ($700,000,000.00) Equity, (File 333-142233 - Apr. 19) (BR. 02A) S-8 BLUE COAT SYSTEMS INC, 420 NORTH MARY AVENUE, SUNNYVALE, CA, 94085, 4082202200 - 500,000 ($18,155,000.00) Equity, (File 333-142234 - Apr. 19) (BR. 03C) S-3 MERRILL LYNCH MORTGAGE INVESTORS INC, 4LD FINANCIAL CENTER FLOOR 10, NEW YORK, NY, 10281-1310, 2124491000 - 0 ($1,000,000.00) Mortgage Backed Securities, (File 333-142235 - Apr. 19) (BR. 05D) S-11 Cypress Sharpridge Investments, Inc., 65 EAST 55TH STREET, NEW YORK, NY, 10022, (212) 705-0160 - 0 ($300,000,000.00) Equity, (File 333-142236 - Apr. 19) (BR. ) F-3 CORGI INTERNATIONAL LTD, UNIT 10, 16/F, WAH WAI CENTRE, 38-40 AU PUI WAN STREET, FOTAN, NEW TERRITORIES, K3, 00000, 01185222566000 - 0 ($46,961,314.75) Equity, (File 333-142237 - Apr. 19) (BR. 05C) S-1 CICERO INC, 8000 REGENCY PARKWAY, SUITE 542, CARY, NC, 27518, 9194612574 - 40,641,978 ($45,122,595.62) Equity, (File 333-142238 - Apr. 19) (BR. 03B) S-1 ZHONGPIN INC., C/O PRYOR CASHMAN SHERMAN & FLYNN LLP, 410 PARK AVENUE, NEW YORK, NY, 10022, 212-326-0846 - 10,603,131 ($75,600,323.00) Equity, (File 333-142239 - Apr. 19) (BR. 05C) 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 ------------------------------------------------------------------------------------------------------- ACCENTIA BIOPHARMACEUTICALS INC 1.01,2.03,9.01 04/17/07 ACCESS PHARMACEUTICALS INC DE 1.01,8.01,9.01 04/19/07 ACE Securities Corp. Home Equity Loan DE 1.01,9.01 04/19/07 ADVANCED MICRO DEVICES INC DE 2.02,7.01,9.01 04/19/07 ADVANTA BUSINESS RECEIVABLES CORP 8.01,9.01 04/19/07 AeroGrow International, Inc. NV 5.02 04/16/07 AFS SenSub Corp. 8.01,9.01 04/19/07 ALL AMERICAN SEMICONDUCTOR INC DE 3.01,9.01 04/18/07 ALLEGHENY TECHNOLOGIES INC DE 8.01 04/19/07 ALLIANCE FINANCIAL CORP /NY/ NY 2.02,9.01 04/19/07 Allis Chalmers Energy Inc. DE 5.02,9.01 04/17/07 ALLOS THERAPEUTICS INC DE 8.01,9.01 04/19/07 ALPHA PRO TECH LTD DE 5.02 04/16/07 ALTRIA GROUP, INC. VA 2.02,9.01 04/18/07 Altus Pharmaceuticals Inc. DE 8.01,9.01 04/18/07 AMB PROPERTY CORP MD 2.02,5.02,8.01,9.01 04/17/07 AMBASSADORS INTERNATIONAL INC DE 8.01 04/17/07 AMCON DISTRIBUTING CO DE 2.02,5.02,9.01 04/17/07 American Basketball Association, Inc. UT 8.01 04/18/07 AMERICAN ELECTRIC POWER CO INC NY 2.02,7.01,9.01 04/19/07 AMERICAN EXPRESS CO NY 2.02,7.01 04/19/07 AMERICAN ITALIAN PASTA CO DE 3.01 04/13/07 AMERICAN OIL & GAS INC NV 7.01,9.01 04/18/07 AMERICAN RIVER BANKSHARES CA 2.02,9.01 04/19/07 AMERICAN STANDARD COMPANIES INC DE 2.02,7.01,9.01 04/19/07 American Telecom Services Inc 8.01,9.01 04/19/07 AMERITRANS CAPITAL CORP DE 8.01 04/19/07 AMETEK INC/ DE 2.02,9.01 04/19/07 AMTECH SYSTEMS INC AZ 5.02 04/13/07 ANTS SOFTWARE INC DE 7.01 04/17/07 APPLE HOSPITALITY TWO INC VA 8.01 04/16/07 Aquacell Water, Inc. DE 2.01,9.01 04/17/07 ARBITRON INC DE 2.02,9.01 04/19/07 ARMOR HOLDINGS INC DE 2.02,9.01 04/19/07 ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 04/19/07 ASHFORD HOSPITALITY TRUST INC MD 2.01,9.01 04/11/07 AMEND ASHWORTH INC DE 5.02,9.01 04/16/07 Aspreva Pharmaceuticals CORP A1 2.02,9.01 04/19/07 ASSOCIATED BANC-CORP WI 2.02,9.01 04/19/07 ASTEC INDUSTRIES INC TN 1.01 04/13/07 ASTORIA FINANCIAL CORP DE 2.02,8.01,9.01 04/18/07 ATEL CAPITAL EQUIPMENT FUND VIII LLC CA 4.01,9.01 02/05/07 AMEND ATHEROGENICS INC GA 5.02 04/16/07 ATLANTIC EXPRESS TRANSPORTATION CORP NY 7.01,8.01,9.01 04/19/07 ATLAS PIPELINE PARTNERS LP DE 1.01,3.03,9.01 04/18/07 AUBURN NATIONAL BANCORPORATION INC DE 2.02,9.01 04/18/07 AURORA GOLD CORP DE 8.01,9.01 04/18/07 AVAX TECHNOLOGIES INC DE 1.01,3.02,8.01,9.01 04/13/07 Avicena Group, Inc. DE 5.02 04/17/07 AVICI SYSTEMS INC DE 8.01,9.01 04/18/07 Aviza Technology, Inc. DE 1.01,9.01 04/13/07 AXS ONE INC DE 2.02,9.01 04/19/07 BANCFIRST CORP /OK/ OK 2.02,9.01 04/18/07 BANK JOS A CLOTHIERS INC /DE/ DE 5.02 04/13/07 BANK OF AMERICA CORP /DE/ DE 2.02,7.01,8.01,9.01 04/19/07 BANK OF FLORIDA CORP FL 2.02,8.01,9.01 04/19/07 BAR HARBOR BANKSHARES ME 8.01 04/19/07 Battle Mountain Gold Exploration Corp 1.01,9.01 04/17/07 BAXTER INTERNATIONAL INC DE 2.02,9.01 04/19/07 BB&T CORP NC 2.02,9.01 03/31/07 Bear Stearns Mortgage Funding Trust 2 DE 8.01,9.01 03/30/07 AMEND Bear Stearns Mortgage Funding Trust 2 DE 8.01,9.01 03/30/07 AMEND BIONOVO INC DE 8.01,9.01 04/18/07 BIOTIME INC CA 2.02,9.01 04/19/07 BIOVEST INTERNATIONAL INC DE 1.01,2.03,9.01 04/17/07 BJs RESTAURANTS INC CA 8.01,9.01 04/18/07 BlackRock Inc. DE 2.02,9.01 04/19/07 BORLAND SOFTWARE CORP DE 2.05 04/16/07 BRIGGS & STRATTON CORP WI 2.02,9.01 04/19/07 BROOKLINE BANCORP INC DE 2.02 04/19/07 CALPINE CORP DE 7.01,9.01 04/18/07 CANO PETROLEUM, INC 7.01,9.01 04/19/07 CAPITAL CORP OF THE WEST CA 5.02,9.01 04/19/07 CAPITAL CORP OF THE WEST CA 5.02,9.01 04/19/07 CAPITAL CORP OF THE WEST CA 5.02,9.01 04/19/07 CAPITAL CORP OF THE WEST CA 5.02,9.01 04/19/07 CAPITAL CORP OF THE WEST CA 5.02,9.01 04/19/07 CAPITAL LEASE FUNDING INC 1.01,2.01,2.02,2.03,9.01 04/17/07 CAPITAL ONE FINANCIAL CORP DE 2.02,7.01,8.01,9.01 04/19/07 CAPITAL SOUTHWEST CORP TX 5.02,9.01 04/18/07 CARDIOGENESIS CORP /CA CA 5.02,8.01,9.01 04/18/07 CARMIKE CINEMAS INC DE 5.02,9.01 04/13/07 Carrington Mortgage Loan Trust, Serie DE 8.01,9.01 04/19/07 CATERPILLAR INC DE 7.01 04/19/07 CBOT HOLDINGS INC DE 2.02,9.01 04/19/07 CENTRAL EUROPEAN DISTRIBUTION CORP DE 1.01,2.03,9.01 04/16/07 CENTRAL VALLEY COMMUNITY BANCORP CA 8.01,9.01 04/18/07 CERNER CORP /MO/ DE 2.02,9.01 04/19/07 CFS BANCORP INC IN 2.02,9.01 04/19/07 CHEMUNG FINANCIAL CORP NY 5.02,9.01 04/19/07 CHENIERE ENERGY INC DE 7.01,9.01 04/16/07 Cheniere Energy Partners, L.P. DE 7.01,8.01,9.01 04/16/07 CHILDRENS PLACE RETAIL STORES INC 5.02,9.01 04/16/07 CHITTENDEN CORP /VT/ VT 2.02,9.01 04/19/07 CIBER INC DE 5.02,9.01 04/19/07 CIRCUIT CITY STORES INC VA 5.02,5.03,9.01 04/19/07 CIRRUS LOGIC INC DE 7.01,9.01 04/18/07 CITIGROUP MORTGAGE LOAN TRUST 2007-AM 2.01,9.01 02/15/07 AMEND CITIZENS FINANCIAL SERVICES INC PA 8.01,9.01 04/19/07 CITIZENS FINANCIAL SERVICES INC PA 2.02,9.01 04/19/07 CITIZENS SOUTH BANKING CORP DE 8.01,9.01 04/17/07 CITY HOLDING CO WV 2.02,9.01 04/17/07 CLAIRES STORES INC DE 2.02,9.01 04/18/07 CLARKE AMERICAN CORP. DE 1.01,3.03,7.01,9.01 04/19/07 CLEAR CHANNEL COMMUNICATIONS INC TX 1.01,7.01,9.01 04/18/07 CLEARWIRE CORP DE 7.01,9.01 04/19/07 CLEVELAND CLIFFS INC OH 8.01 04/18/07 COLONIAL BANCGROUP INC DE 8.01,9.01 04/19/07 COMMAND SECURITY CORP NY 1.01,2.01,3.02,5.02,9.01 04/12/07 COMMODORE APPLIED TECHNOLOGIES INC DE 7.01,9.01 04/18/07 COMPASS BANCSHARES INC DE 2.02,9.01 04/19/07 COMPETITIVE TECHNOLOGIES INC DE 1.01,9.01 04/17/07 COMPUTER TASK GROUP INC NY 7.01,9.01 04/19/07 CONTINENTAL AIRLINES INC /DE/ DE 2.02,9.01 04/19/07 CONTINENTAL AIRLINES INC /DE/ DE 7.01,9.01 04/19/07 COOPER INDUSTRIES LTD 2.02,9.01 04/19/07 Copano Energy, L.L.C. DE 8.01,9.01 04/18/07 COSI INC DE 2.02,9.01 04/19/07 COUSINS PROPERTIES INC GA 5.02 04/13/07 Cowen Group, Inc. DE 5.02,5.03,9.01 04/16/07 CREDO PETROLEUM CORP CO 7.01,9.01 04/16/07 CREE INC NC 2.02,9.01 04/19/07 CRESCENT REAL ESTATE EQUITIES CO TX 5.02 03/01/07 AMEND CRESCENT REAL ESTATE EQUITIES LTD PAR DE 5.02 03/01/07 AMEND CRUISESTOCK INC. TX 4.01 04/13/07 CSB BANCORP INC /OH OH 2.02,9.01 04/19/07 CSK AUTO CORP DE 7.01 04/19/07 CYBERSOURCE CORP DE 2.02,9.01 04/19/07 CYTEC INDUSTRIES INC/DE/ DE 2.02 04/19/07 DANAHER CORP /DE/ DE 2.02,9.01 04/18/07 DATATRAK INTERNATIONAL INC OH 5.02,8.01,9.01 04/16/07 DCB FINANCIAL CORP OH 2.02,9.01 04/19/07 DEARBORN BANCORP INC /MI/ MI 2.02,9.01 04/18/07 DEVCON INTERNATIONAL CORP FL 2.02,7.01,9.01 04/17/07 DEVRY INC DE 8.01,9.01 04/19/07 DIALYSIS CORP OF AMERICA FL 5.02 04/19/07 DIGITAL LIFESTYLES GROUP INC DE 5.02,9.01 04/18/07 DONEGAL GROUP INC DE 7.01 04/19/07 DOUBLE EAGLE PETROLEUM CO MD 7.01,9.01 04/19/07 DOUBLE EAGLE PETROLEUM CO MD 7.01,9.01 04/19/07 Douglas Lake Minerals Inc. 8.01,9.01 04/19/07 DREW INDUSTRIES INC DE 5.02 04/17/07 DUN & BRADSTREET CORP/NW DE 1.01,1.02,2.03,9.01 04/19/07 EAGLE BANCORP/MT 2.02 04/19/07 EAU TECHNOLOGIES, INC. DE 5.02,9.01 04/16/07 ECB BANCORP INC NC 2.02,9.01 04/17/07 EDGEWATER TECHNOLOGY INC/DE/ DE 5.02 04/13/07 EGPI FIRECREEK, INC. NV 1.01,3.02,9.01 04/01/07 ELECTRO RENT CORP CA 8.01,9.01 04/19/07 ELEPHANT & CASTLE GROUP INC 2.02,9.01 04/17/07 EMCORE CORP NJ 1.01,2.01,5.02,8.01,9.01 04/13/07 EMERITUS CORP\WA\ WA 5.02 04/13/07 ENGLOBAL CORP NV 8.01,9.01 04/19/07 ENPATH MEDICAL, INC. MN 1.01,8.01,9.01 04/05/07 Enstar Group LTD D0 1.01,9.01 04/15/07 EQUITABLE FINANCIAL CORP 8.01,9.01 04/19/07 ES Bancshares, Inc. MD 3.03,9.01 04/15/07 ESB FINANCIAL CORP PA 2.02,9.01 04/17/07 ESPEED INC DE 8.01,9.01 04/19/07 EV Energy Partners, LP DE 1.01,9.01 04/13/07 EVANS BOB FARMS INC DE 7.01,9.01 04/19/07 EVERGREENBANCORP INC WA 8.01 04/19/07 AMEND EXACT SCIENCES CORP DE 7.01,9.01 04/17/07 FAIRCHILD SEMICONDUCTOR INTERNATIONAL DE 2.02 04/19/07 FAR EAST ENERGY CORP 5.02,9.01 04/14/07 FASTENTECH INC DE 7.01,9.01 04/19/07 FEDERAL AGRICULTURAL MORTGAGE CORP 2.03,7.01,9.01 04/19/07 Federal Home Loan Bank of Atlanta X1 2.03 04/16/07 Federal Home Loan Bank of Boston X1 2.03 04/16/07 Federal Home Loan Bank of Chicago X1 2.03 04/17/07 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 04/16/07 Federal Home Loan Bank of Dallas 2.03 04/16/07 Federal Home Loan Bank of Des Moines X1 2.03,9.01 04/16/07 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 04/16/07 Federal Home Loan Bank of New York X1 2.03,9.01 04/17/07 Federal Home Loan Bank of New York X1 2.02,8.01,9.01 04/19/07 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 04/16/07 Federal Home Loan Bank of Pittsburgh PA 5.02 04/16/07 Federal Home Loan Bank of San Francis X1 2.03 04/16/07 Federal Home Loan Bank of Seattle 2.03 04/18/07 Federal Home Loan Bank of Seattle 8.01 04/19/07 Federal Home Loan Bank of Topeka 2.03 04/16/07 FEDERAL MOGUL CORP MI 2.02,9.01 04/19/07 FIELDSTONE INVESTMENT CORP 1.01,9.01 04/13/07 FIFTH THIRD BANCORP OH 2.02,7.01,9.01 04/19/07 FINISH LINE INC /IN/ IN 8.01,9.01 04/19/07 FINOVA GROUP INC DE 8.01 04/16/07 FIRST CITIZENS BANC CORP /OH OH 5.02 04/17/07 FIRST COMMONWEALTH FINANCIAL CORP /PA PA 5.02,9.01 04/13/07 FIRST COMMUNITY BANCORP /CA/ CA 2.02,9.01 04/18/07 FIRST COMMUNITY CORP /SC/ SC 2.02,9.01 04/18/07 FIRST DATA CORP DE 2.02,9.01 04/19/07 FIRST FINANCIAL CORP /IN/ IN 2.02,9.01 04/19/07 FIRST FINANCIAL HOLDINGS INC /DE/ DE 2.02,9.01 04/19/07 FIRST HARTFORD CORP ME 8.01,9.01 04/02/07 FIRST HORIZON NATIONAL CORP TN 5.02,9.01 04/13/07 FIRST INDIANA CORP IN 5.02,9.01 04/18/07 FIRST M&F CORP/MS MS 2.02,7.01,9.01 04/18/07 FIRST NATIONAL COMMUNITY BANCORP INC PA 2.02,9.01 04/19/07 FIRST NATIONAL CORP /VA/ 2.02,9.01 04/19/07 FIRST STATE FINANCIAL CORP/FL 2.02 04/19/07 FIRST STATE FINANCIAL CORP/FL 5.02 04/18/07 FNB CORP/FL/ FL 2.02,9.01 04/19/07 FNB FINANCIAL SERVICES CORP NC 2.02,9.01 04/17/07 FOAMEX INTERNATIONAL INC DE 5.02,5.03,8.01,9.01 04/14/07 FOREST OIL CORP NY 7.01,9.01 04/18/07 FOREST OIL CORP NY 5.02 04/15/07 FORTUNE INDUSTRIES, INC. DE 2.01,9.01 04/13/07 FRANKLIN BANK CORP 2.02,9.01 04/19/07 FURNITURE BRANDS INTERNATIONAL INC DE 1.01,2.01,5.02,9.01 04/19/07 FUSION TELECOMMUNICATIONS INTERNATION 7.01,9.01 04/18/07 FX ENERGY INC NV 7.01,9.01 04/19/07 Gales Industries Inc DE 5.02 04/13/07 GANNETT CO INC /DE/ DE 2.02,9.01 04/01/07 GATEWAY FINANCIAL HOLDINGS INC NC 7.01 04/19/07 GAYLORD ENTERTAINMENT CO /DE DE 1.01,7.01,9.01 04/18/07 GENERAL GROWTH PROPERTIES INC DE 1.01,2.03,3.02,9.01 04/16/07 GENUINE PARTS CO GA 2.02,9.01 04/19/07 GENVEC INC DE 5.02,9.01 04/17/07 GEVITY HR INC FL 1.01,5.02,9.01 04/17/07 GLOBAL CROSSING LTD 2.02,7.01,9.01 04/19/07 GLOBETEL COMMUNICATIONS CORP DE 1.01,3.02 04/13/07 GMX RESOURCES INC OK 2.02,9.01 04/19/07 Google Inc. DE 1.01,8.01,9.01 04/13/07 Google Inc. DE 2.02,8.01,9.01 04/19/07 GRAMERCY CAPITAL CORP MD 2.02,7.01,8.01,9.01 04/18/07 GRANITE CITY FOOD & BREWERY LTD MN 5.02,5.03,9.01 04/13/07 Greenville Federal Financial CORP 2.02,8.01,9.01 04/19/07 H&R BLOCK INC MO 1.01,2.03,2.06,7.01 04/15/07 HALF ROBERT INTERNATIONAL INC /DE/ DE 2.02,9.01 04/19/07 HANCOCK HOLDING CO MS 8.01,9.01 04/17/07 HARLEY DAVIDSON INC WI 2.02,9.01 04/19/07 HARSCO CORP DE 2.03,9.01 04/16/07 HEALTHSOUTH CORP DE 1.01,9.01 04/19/07 HERBALIFE LTD. E9 8.01,9.01 04/18/07 HERCULES INC DE 8.01 03/31/07 HERSHEY CO DE 2.02,9.01 04/16/07 HEWITT ASSOCIATES INC DE 5.02,9.01 04/19/07 HI/FN INC DE 2.02,9.01 03/31/07 HNI CORP IA 2.02,9.01 04/19/07 HOME BANCSHARES INC 2.02,7.01,9.01 03/31/07 HOME FEDERAL BANCORP INC 5.02,5.03,9.01 04/17/07 HORTON D R INC /DE/ DE 2.02,9.01 04/19/07 HOST AMERICA CORP DE 1.01,3.02,7.01,9.01 04/17/07 HOUSTON AMERICAN ENERGY CORP DE 4.01,9.01 04/16/07 HUNTINGTON BANCSHARES INC/MD MD 2.02,9.01 04/19/07 HUTTIG BUILDING PRODUCTS INC DE 2.02,9.01 04/19/07 iBroadband, Inc. NV 3.02 04/19/07 IDEX CORP /DE/ DE 2.02,9.01 04/19/07 IMATION CORP DE 2.02,7.01,9.01 04/19/07 IMMUCELL CORP /DE/ DE 2.02,9.01 04/19/07 INDUSTRIAL MINERALS INC DE 5.02,9.01 04/16/07 INFOCUS CORP OR 5.02,9.01 04/17/07 INFORMATICA CORP DE 2.02,9.01 04/19/07 INNOVO GROUP INC DE 1.01,9.01 04/13/07 INSTEEL INDUSTRIES INC NC 2.02,9.01 04/19/07 INSWEB CORP DE 1.01 04/16/07 INTERNATIONAL GAME TECHNOLOGY NV 2.02 04/19/07 INTUITIVE SURGICAL INC DE 2.02,9.01 04/19/07 ISCO INTERNATIONAL INC DE 2.02,8.01,9.01 04/18/07 J P MORGAN CHASE & CO DE 7.01,9.01 04/19/07 JEFFERIES GROUP INC /DE/ DE 5.02 04/16/07 AMEND JOURNAL REGISTER CO DE 2.02,7.01,9.01 04/19/07 KBR, INC. DE 5.02 04/17/07 Kearny Financial Corp. X1 5.02 04/16/07 KNIGHT TRANSPORTATION INC AZ 2.02,9.01 04/18/07 KNOLL INC DE 2.02,9.01 04/19/07 KVH INDUSTRIES INC \DE\ DE 2.02,9.01 04/19/07 KVH INDUSTRIES INC \DE\ DE 5.02 03/06/07 AMEND LANDSTAR SYSTEM INC DE 2.02,9.01 04/19/07 LAWSON PRODUCTS INC/NEW/DE/ DE 5.02,5.03,9.01 04/13/07 LEESPORT FINANCIAL CORP PA 2.02,9.01 04/17/07 LEGACY RESERVES L P 2.01,3.02,9.01 04/19/07 LEGGETT & PLATT INC MO 2.02,9.01 04/19/07 LINEAR TECHNOLOGY CORP /CA/ DE 8.01,9.01 04/18/07 LITTLE SIOUX CORN PROCESSORS LLC 7.01,9.01 04/17/07 LKA INTERNATIONAL INC /DE/ DE 4.02 04/13/07 LNB BANCORP INC OH 5.02 04/17/07 LONGVIEW FIBRE CO WA 8.01,9.01 04/19/07 MACATAWA BANK CORP MI 8.01,9.01 04/19/07 Macquarie Infrastructure CO Trust DE 1.01,7.01,9.01 04/16/07 MAGNITUDE INFORMATION SYSTEMS INC DE 1.01,8.01,9.01 04/19/07 MAGUIRE PROPERTIES INC MD 1.01,7.01,9.01 04/13/07 MAJESCO ENTERTAINMENT CO DE 1.01,9.01 04/13/07 MAKEMUSIC, INC. MN 5.03,9.01 04/16/07 MARCUS CORP WI 2.01,9.01 04/19/07 MARRIOTT INTERNATIONAL INC /MD/ DE 2.02,9.01 04/19/07 Marvel Entertainment, Inc. DE 1.01,9.01 04/16/07 MASSEY ENERGY CO DE 8.01 04/19/07 MATRIA HEALTHCARE INC DE 5.03,9.01 04/13/07 MATTHEWS INTERNATIONAL CORP PA 2.02 04/19/07 MAXCO INC MI 3.01,9.01 04/18/07 MCG CAPITAL CORP DE 2.02,9.01 04/19/07 MEDIA GENERAL INC VA 2.02,9.01 04/19/07 MENTOR CORP /MN/ MN 2.02,9.01 04/19/07 MERCK & CO INC NJ 2.02,9.01 04/19/07 MERRILL LYNCH & CO INC DE 2.02,9.01 04/19/07 MERRILL LYNCH DEPOSITOR INC PPLUS TRU DE 8.01,9.01 04/16/07 MERRILL LYNCH DEPOSITOR INC PREFERRED DE 8.01,9.01 04/16/07 MERRILL LYNCH MORTGAGE INVESTORS INC DE 1.01 04/12/07 METALICO INC 7.01,9.01 04/19/07 MGP INGREDIENTS INC KS 5.02,7.01,9.01 04/16/07 MICROCHIP TECHNOLOGY INC DE 5.02 04/19/07 MIDLAND CO OH 2.02,9.01 04/19/07 MISSION WEST PROPERTIES INC CA 2.02 04/18/07 ML MACADAMIA ORCHARDS L P DE 4.01 03/23/07 AMEND MOBIUS MANAGEMENT SYSTEMS INC DE 9.01 04/19/07 AMEND MOHAWK INDUSTRIES INC DE 2.02,9.01 04/19/07 MOLEX INC DE 2.02,9.01 04/19/07 MOTHERS WORK INC DE 8.01,9.01 04/18/07 MS STRUCTURED SATURNS SERIES 2002-15 DE 8.01,9.01 04/16/07 NANO PROPRIETARY INC TX 8.01,9.01 04/17/07 NASDAQ STOCK MARKET INC DE 2.02,9.01 04/19/07 NATHANIEL ENERGY CORP NV 1.01,2.03 04/16/07 NATIONAL BANKSHARES INC VA 2.02,9.01 03/31/07 NATIONAL HEALTH REALTY INC MD 7.01,9.01 04/19/07 NATIONAL HOME HEALTH CARE CORP DE 8.01,9.01 04/19/07 NATIONSTAR HOME EQUITY LOAN TRUST 200 DE 8.01,9.01 04/19/07 NATURAL RESOURCE PARTNERS LP DE 1.01,5.03,8.01,9.01 04/18/07 NEW FRONTIER ENERGY INC CO 7.01,9.01 04/19/07 NEW WORLD RESTAURANT GROUP INC DE 8.01,9.01 04/19/07 NEW YORK TIMES CO NY 2.02,9.01 04/19/07 NOBLE CORP 2.02,9.01 04/19/07 NOVACEA INC DE 5.02 04/18/07 NOVASTAR FINANCIAL INC MD 7.01,9.01 04/19/07 NOVELL INC DE 8.01 03/27/07 NS8 CORP DE 5.02,9.01 04/19/07 NUCOR CORP DE 2.02,9.01 04/19/07 OAKLEY INC WA 2.02 04/19/07 OCEAN SHORE HOLDING CO X1 8.01,9.01 04/18/07 Oilsands Quest Inc 4.02,8.01,9.01 03/13/07 Option One Mortgage Loan Trust 2007-4 DE 9.01 04/06/07 Option One Mortgage Loan Trust 2007-F DE 2.01,9.01 03/23/07 optionsXpress Holdings, Inc. DE 2.02,9.01 04/19/07 ORBITAL SCIENCES CORP /DE/ DE 2.02 04/19/07 OWENS & MINOR INC/VA/ VA 2.02,9.01 04/18/07 Pacific Coast National Bancorp CA 4.01,9.01 04/16/07 PACIFIC PREMIER BANCORP INC DE 2.02,9.01 04/19/07 PACKETEER INC DE 2.02,9.01 04/19/07 PAINEWEBBER R&D PARTNERS III L P DE 2.01 04/03/07 PARALLEL PETROLEUM CORP DE 7.01,9.01 04/19/07 PATHMARK STORES INC DE 2.02,9.01 04/19/07 PATHMARK STORES INC DE 8.01 04/18/07 PEABODY ENERGY CORP DE 2.02,9.01 04/19/07 PEERLESS SYSTEMS CORP DE 1.01,7.01,9.01 04/17/07 PENN TRAFFIC CO DE 8.01 04/12/07 PEOPLES BANCORP OF NORTH CAROLINA INC NC 2.02,9.01 04/16/07 PERFECTENERGY INTERNATIONAL LTD NV 5.03,7.01,9.01 04/16/07 Piedmont Community Bank Group, Inc. GA 8.01,9.01 04/19/07 Platinum Research Organization, Inc. DE 1.01,2.01,3.02,3.03,5.01,5.02, 04/18/07 5.06,8.01,9.01 PLAYLOGIC ENTERTAINMENT INC DE 2.02,9.01 04/19/07 PLAYTEX PRODUCTS INC DE 1.01,2.01,9.01 04/13/07 POINT ACQUISITION CORP NV 1.01,9.01 04/19/07 POLARIS INDUSTRIES INC/MN MN 7.01 04/19/07 PONIARD PHARMACEUTICALS, INC. WA 8.01,9.01 04/13/07 POOL CORP DE 2.02,7.01,9.01 04/19/07 PORTLAND GENERAL ELECTRIC CO /OR/ OR 8.01 04/16/07 PPG INDUSTRIES INC PA 2.02,9.01 04/19/07 PREMIERE GLOBAL SERVICES, INC. GA 1.01,2.02,2.03,5.02,5.03,8.01, 04/18/07 9.01 ProtoKinetix, Inc. 4.02 04/19/07 AMEND PROVIDENT BANKSHARES CORP MD 2.02,9.01 04/19/07 PUBLIC SERVICE ELECTRIC & GAS CO NJ 3.03 04/17/07 PULASKI FINANCIAL CORP MO 8.01,9.01 04/17/07 PULTE HOMES INC/MI/ MI 2.02,9.01 04/18/07 PURE VANILLA EXCHANGE INC NV 2.03,3.02,9.01 04/18/07 PVF CAPITAL CORP OH 2.02,8.01,9.01 04/18/07 QUAKER FABRIC CORP /DE/ DE 2.02,9.01 04/18/07 QUANTRX BIOMEDICAL CORP NV 1.01,8.01,9.01 04/05/07 QUEST DIAGNOSTICS INC DE 2.02,9.01 04/19/07 QUEST DIAGNOSTICS INC DE 1.01,9.01 04/15/07 RADIOSHACK CORP DE 8.01 04/19/07 RED ROBIN GOURMET BURGERS INC DE 5.02,9.01 04/17/07 REGIONS FINANCIAL CORP DE 7.01,9.01 04/19/07 RELIANCE STEEL & ALUMINUM CO CA 2.02,9.01 04/19/07 REPLIDYNE INC DE 5.02 04/13/07 REPUBLIC BANCORP INC /KY/ KY 2.02,9.01 04/19/07 RIGHTNOW TECHNOLOGIES INC MT 2.02,5.02,9.01 04/15/07 RURBAN FINANCIAL CORP OH 2.02,7.01,9.01 04/18/07 SAKS INC TN 5.02,5.03,8.01,9.01 04/17/07 SBE INC DE 8.01,9.01 04/11/07 SCHERING PLOUGH CORP NJ 2.02,9.01 04/19/07 SCHOOL SPECIALTY INC WI 2.02 04/12/07 AMEND SCIELE PHARMA, INC. DE 8.01,9.01 04/18/07 SEDONA CORP PA 4.01 04/13/07 SEMTECH CORP DE 5.02,8.01 04/16/07 SHERWIN WILLIAMS CO OH 2.02,9.01 04/19/07 SHOE PAVILION INC DE 2.02,9.01 04/19/07 SIMMONS FIRST NATIONAL CORP AR 2.02 04/19/07 SIRF TECHNOLOGY HOLDINGS INC 2.02,9.01 04/19/07 SKINS INC. NV 5.02,9.01 04/13/07 SKINVISIBLE INC NV 8.01,9.01 04/11/07 SKY FINANCIAL GROUP INC OH 2.02,9.01 04/19/07 SKYNET TELEMATICS INC NV 4.01 04/16/07 SM&A DE 9.01 02/12/07 AMEND SMITH & WOLLENSKY RESTAURANT GROUP IN DE 5.02,9.01 04/16/07 SOLECTRON CORP DE 5.02 04/16/07 SOLOMON TECHNOLOGIES INC DE 4.02 01/11/07 AMEND SONESTA INTERNATIONAL HOTELS CORP NY 1.01 04/19/07 SONO TEK CORP NY 7.01,9.01 04/17/07 SOUTH FINANCIAL GROUP INC SC 2.02,9.01 04/19/07 Southridge Technology Group, Inc. DE 5.02 04/19/07 SOUTHWEST AIRLINES CO TX 2.02 03/31/07 SOUTHWEST CASINO CORP 1.02 04/13/07 SOVEREIGN BANCORP INC PA 2.02,9.01 04/18/07 SPECTRANETICS CORP DE 2.02,9.01 04/19/07 Spectre Technology CORP NV 3.02,9.01 04/15/07 SPRINGHILL LAKE INVESTORS LTD PARTNER MD 8.01 03/26/07 ST JUDE MEDICAL INC MN 2.02,9.01 04/19/07 ST JUDE MEDICAL INC MN 8.01,9.01 04/19/07 ST LAWRENCE SEAWAY CORP IN 1.01,9.01 04/16/07 ST MARY LAND & EXPLORATION CO DE 2.02,9.01 04/19/07 STALLION GROUP NV 5.03,9.01 04/17/07 STAR GAS PARTNERS LP DE 1.01,9.01 04/17/07 Star Resorts Development Inc. NV 5.03,7.01,9.01 04/19/07 STERLING FINANCIAL CORP /PA/ PA 8.01,9.01 04/19/07 Sterling Mining CO ID 3.02,5.02 02/28/07 Structured Asset Mortgage Investments DE 9.01 01/31/07 AMEND Structured Asset Mortgage Investments DE 9.01 02/28/07 AMEND STURM RUGER & CO INC DE 2.01,9.01 04/16/07 SUN BANCORP INC /NJ/ NJ 2.02,2.03,9.01 04/19/07 SUNESIS PHARMACEUTICALS INC 5.02,9.01 04/19/07 SUNTERRA CORP MD 8.01,9.01 04/19/07 SUPERVALU INC DE 2.02,9.01 04/19/07 SWIFT TRANSPORTATION CO INC NV 2.02,9.01 04/18/07 TAKE TWO INTERACTIVE SOFTWARE INC DE 5.02,9.01 04/16/07 TALBOTS INC DE 1.01,2.03,9.01 04/16/07 TAUBMAN CENTERS INC MI 2.02,9.01 04/19/07 TECUMSEH PRODUCTS CO MI 4.01,9.01 04/16/07 TELECOMUNICACIONES DE PUERTO RICO INC PR 5.02 04/13/07 TELTRONICS INC DE 2.02,9.01 04/19/07 TEMPUR PEDIC INTERNATIONAL INC DE 2.02,7.01,9.01 04/19/07 TERADYNE, INC MA 2.02,9.01 04/18/07 TETROS INC DE 5.01,5.02,9.01 04/04/07 TEXAS CAPITAL BANCSHARES INC/TX DE 2.02,9.01 04/18/07 TEXTRON INC DE 2.02,9.01 04/19/07 THORNBURG MORTGAGE INC MD 2.02,9.01 04/19/07 TOTAL SYSTEM SERVICES INC GA 2.02,7.01,9.01 04/19/07 TOUCHSTONE SOFTWARE CORP /CA/ DE 8.01 04/18/07 TRANSNATIONAL FINANCIAL NETWORK INC CA 1.02 01/13/07 TRIBUNE CO DE 2.02,9.01 04/01/07 TRW AUTOMOTIVE HOLDINGS CORP DE 8.01,9.01 04/19/07 TVI CORP MD 2.02,5.02,9.01 04/18/07 TXU CORP /TX/ TX 1.02,5.02,8.01 04/13/07 ULTRATECH INC DE 2.02,9.01 04/19/07 UMPQUA HOLDINGS CORP OR 2.02,9.01 04/18/07 UMPQUA HOLDINGS CORP OR 7.01 04/19/07 UMPQUA HOLDINGS CORP OR 8.01,9.01 04/19/07 UNION PACIFIC CORP UT 2.02,9.01 04/19/07 UNION PACIFIC RAILROAD CO/DE DE 2.02,9.01 04/19/07 UNIONBANCAL CORP DE 2.02,9.01 04/19/07 UNITEDHEALTH GROUP INC MN 2.02,9.01 04/19/07 UNIVERSAL CITY DEVELOPMENT PARTNERS L 5.02 04/13/07 Universal City Florida Holding Co. I FL 5.02 04/13/07 UROPLASTY INC MN 2.02,8.01,9.01 04/18/07 USA TRUCK INC DE 2.02,9.01 03/31/07 UTSTARCOM INC DE 3.01,9.01 04/17/07 VALLEY NATIONAL BANCORP NJ 2.02,9.01 04/18/07 VALMONT INDUSTRIES INC DE 2.02,9.01 04/18/07 VASCULAR SOLUTIONS INC DE 2.02,9.01 04/19/07 VIRAGEN INC DE 1.01,9.01 04/16/07 VIRAGEN INTERNATIONAL INC DE 1.01,9.01 04/16/07 VISION SCIENCES INC /DE/ DE 1.01,5.02,9.01 04/17/07 VS HOLDINGS, INC. DE 5.02,9.01 04/09/07 WACCAMAW BANKSHARES INC NC 2.02 04/18/07 WATSCO INC FL 2.02,9.01 04/19/07 WEBSENSE INC DE 5.03,9.01 04/17/07 WEBSTER FINANCIAL CORP DE 2.02,8.01,9.01 04/18/07 WEINGARTEN REALTY INVESTORS /TX/ TX 4.01 04/13/07 WESCO INTERNATIONAL INC DE 2.02,9.01 04/19/07 WEST BANCORPORATION INC IA 8.01,9.01 04/18/07 WEST CORP DE 2.02,9.01 04/18/07 WHERIFY WIRELESS INC DE 1.01,3.02 04/18/07 WILEY JOHN & SONS INC NY 2.01 04/19/07 AMEND WINTRUST FINANCIAL CORP IL 5.02,5.03,9.01 04/18/07 WSB Financial Group, Inc. WA 2.02,9.01 04/19/07 WYETH DE 2.02,9.01 04/19/07 X-CHANGE CORP NV 4.01,7.01,9.01 04/12/07 XETA TECHNOLOGIES INC OK 7.01,9.01 04/18/07 YADKIN VALLEY FINANCIAL CORP NC 8.01,9.01 04/19/07 YELLOWCAKE MINING INC. 1.01,9.01 04/12/07 ZHONE TECHNOLOGIES INC DE 2.02,9.01 04/19/07 ZIONS BANCORPORATION /UT/ UT 2.02,9.01 04/19/07 ZOLTEK COMPANIES INC DE 5.02,9.01 04/16/07