SEC NEWS DIGEST Issue 2007-86 May 4, 2007 COMMISSION ANNOUNCEMENTS SEC ANNOUNCES AGENDA AND PANELISTS FOR FEDERAL PROXY RULES AND STATE CORPORATION LAW ROUNDTABLE The Securities and Exchange Commission announced today the final agenda and participants for the Roundtable on the Federal Proxy Rules and State Corporation Law scheduled for May 7, 2007. The Roundtable - which will be webcast live at http://www.sec.gov - will cover a number of topics, including: (1) the federal role in upholding shareholders' state law rights; (2) the purpose and effect of the federal proxy rules; (3) non-binding proposals under the proxy rules; and (4) binding proposals under the proxy rules. Panelists will include: Stephen Bainbridge (UCLA School of Law) R. Franklin Balotti (Richards, Layton & Finger, P.A.) John C. Coffee (Columbia Law School) Richard J. Daly (BroadRidge Financial Solutions, Inc.) Jill E. Fisch (Fordham University School of Law) Amy L. Goodman (Gibson, Dunn & Crutcher LLP) Joseph A. Grundfest (Stanford Law School) James J. Hanks, Jr. (Venable LLP) Stanley Keller (Edwards Angell Palmer & Dodge LLP) Cary Klafter (Intel Corporation) Stephen P. Lamb (Court of Chancery of the State of Delaware) Donald C. Langevoort (Georgetown University Law Center) Paul M. Neuhauser (University of Iowa College of Law) Larry E. Ribstein (University of Illinois College of Law) Roberta Romano (Yale Law School) Leo E. Strine, Jr. (Court of Chancery of the State of Delaware) William Underhill (Slaughter and May) Ted White (Knight Vinke Asset Management) John C. Wilcox (TIAA-CREF) Ann Yerger (Council of Institutional Investors) The Roundtable will take place in the Auditorium of the Commission's headquarters at 100 F Street, NE, Washington, D.C. on May 7, 2007 from 9:00 a.m. to 4:45 p.m. The Roundtable will be open to the public with seating on a first-come, first-served basis. Doors will open at 8:30 a.m. Visitors will be subject to security checks. Real time and archived audio webcasts will be accessible at http://www.sec.gov. The Roundtable Agenda, a Briefing Paper setting out issues to be addressed during the Roundtable, and other materials related to the Roundtable, including written statements submitted by participants for public distribution, are accessible at http://www.sec.gov/spotlight/proxyprocess.htm. For additional information, contact Lillian Brown at (202) 551-3200. (Press Rel. 2007-86) SEC, FEDERAL RESERVE BANK AND ELDER LAW JOURNAL TO PRESENT SENIOR INVESTOR PROTECTION SYMPOSIUM MAY 18 IN CHICAGO Securities and Exchange Commission Chairman Christopher Cox today announced the SEC will partner with the Elder Law Journal of the University of Illinois College of Law and the Federal Reserve Bank of Chicago to present the Senior Investor Protection Symposium in Chicago on May 18. The Symposium will feature a discussion panel including distinguished representatives from the business, law, regulatory and academic communities who have significant experience tackling the issues facing seniors as they prepare for and enjoy their retirement. The panelists will discuss how older Americans can protect themselves from investment fraud while financially preparing for the future. "This symposium comes at an important time, as many unscrupulous individuals have targeted older Americans for investment fraud. And this problem is growing as the Baby Boomer generation retires, people are living longer, and defined benefit plans are giving way to people managing their own retirement funds," said Chairman Cox. "At the symposium, we will discuss ways that seniors can protect their nest eggs so that they can enjoy a comfortable retirement." "Investor education is important for people of all ages, but older investors are often singled out as targets for micro-cap fraud, affinity fraud, identity theft, and other scams," said SEC Commissioner Paul S. Atkins. "They need to be armed with tools that will enable them to make sound investment decisions and to ask the right questions of those helping them to invest." The Symposium will be held May 18, 2007, from 9:00 a.m. to noon in the Illinois Rooms of the Federal Reserve Bank of Chicago, 230 South LaSalle Street, Chicago, Ill. The public is invited to attend, but seating is limited. If you plan to attend in person, please go to http://www.sec.gov/cgi-bin/registration-form-ss and complete the online registration form or call (312) 353-0626, by May 10, 2007. Because space is limited, attendance will be limited to those who receive a confirmation letter from the SEC. On the day of the event, attendees will need to arrive early to check-in between 8:00 and 9:00 a.m., and to present a government-issued picture ID to pass through security. The SEC will also offer a live audio and video webcast of the event on the SEC Web site, www.sec.gov. SENIOR INVESTOR PROTECTION SYMPOSIUM AGENDA 9:00-9:15: Opening Remarks and Introductions by SEC Chicago Regional Director Merri Jo Gillette 9:15-11:30: Panel Discussion: Moderated by SEC Chairman Christopher Cox Paul S. Atkins SEC Commissioner Professor Richard Kaplan Peer and Sarah Pedersen Professor of Law University of Illinois College of Law Louise Renne Partner, Attorney at Law Renne Sloan Holtzman Sakai LLP Patricia Struck Wisconsin Securities Administrator Wisconsin Department of Financial Institutions Elisse B. Walter Senior Executive Vice President Regulatory Policy & Programs National Association of Securities Dealers 11:30-12:00: Question and Answer Period and Closing Remarks by Merri Jo Gillette (Press Rel. 2007-87) ENFORCEMENT PROCEEDINGS COMMISSION SUSTAINS NASD DISCIPLINARY ACTION AGAINST HOWARD BRETT BERGER The Commission has sustained disciplinary action taken by NASD against Howard Brett Berger, an individual who applied for registration with an NASD member firm. NASD found that Berger violated NASD rules by failing to appear at two on-the-record interviews in connection with its investigation of an NASD member firm. For these violations, NASD barred Berger from associating with any NASD member in any capacity. Berger, who had been registered with NASD previously but had relinquished his registration, sought to renew his registration before his securities licenses lapsed. NASD determined that, by applying for registration with an NASD member firm, Berger subjected himself to NASD jurisdiction. In sustaining NASD's findings and sanction, the Commission found that Berger signed and submitted the application for registration, that he was a person associated with the NASD member firm through which he applied for registration, and that, as an associated person, he was subject to NASD disciplinary action. The Commission concluded that Berger's violations warranted the standard sanction of a bar. (Rel. 34-55706; File No. 3-12393) MASSACHUSETTS-BASED INVESTMENT ADVISER INDICTED IN FEDERAL COURT ON CHARGES OF INVESTMENT ADVISER FRAUD AND MAIL FRAUD The Commission announced today that, on April 27, 2007, the U.S. Attorney's Office for the District of Massachusetts announced the indictment of Frank J. Russo, a Wakefield, Massachusetts-based investment adviser on one count of investment adviser fraud and nineteen counts of mail fraud. The indictment alleges that during the period 1982 through 2006, Russo managed two limited partnership investment vehicles. According to the indictment, Russo represented to investors that they could expect "above average" positive returns and that their investments would be safe, but Russo did not invest his victims' money as promised and lost more than $20 million in investor funds. The indictment further alleges that, to conceal the losses and his misrepresentations, and to lull victims into further investments, Russo generated false account statements that reflected inflated balances and gains that did not exist. According to the indictment, more than 250 individuals were victims of Russo's scheme. The indictment also seeks the criminal forfeiture of at least $20 million and Russo's residence. The Commission had previously filed an emergency enforcement action against Russo and three related entities on June 6, 2006, in federal district court in Massachusetts alleging violations of the registration and anti-fraud provisions of the securities laws. The Commission obtained, by consent, preliminary injunctions, asset freezes and other relief against Russo and the three entities on that date. On June 28, 2006, the Commission amended its complaint to add Veritasiti Corporation, a California corporation, as a relief defendant based on its receipt of proceeds from the alleged fraud and obtained, by consent, an asset freeze against Veritasiti. The Commission's action is still pending against all parties. In addition, Massachusetts Secretary of State William Francis Galvin=s Securities Division had previously filed an administrative action against Russo on May 25, 2006 alleging violations of state securities laws and imposing a temporary restraining order requiring him to cease all investment advisory activities. That action is still pending. [U.S. v. Frank J. Russo (United States District Court for the District of Massachusetts, Cr.A. No. 07-10127-RCL); SEC v. Frank J. Russo, FJR Corporation, Russo Associates Limited Partnership and Eliot Partners (United States District Court for the District of Massachusetts, C.A. No. 06-10984-MEL)] (LR-20103) CLAIMS DISMISSED AGAINST FORMER HALLIBURTON OFFICER FOR FAILURE TO DISCLOSE A 1998 CHANGE IN ACCOUNTING PRACTICE The Commission announced that the U.S. District Court in Houston has dismissed the Commission's claims against Gary V. Morris, Halliburton's former chief financial officer. The district court's order came at the request of the Commission to dismiss the claims "in the interests of justice." The Commission's case, filed in 2004, concerned Halliburton's failure to disclose a 1998 change to its accounting practice. As a result of that undisclosed change, the Commission alleged that Halliburton's public statements regarding its income in 1998 and 1999 were materially misleading. In 2004, Halliburton and its former controller, Robert C. Muchmore, Jr., settled the Commission's enforcement actions by consenting to a Commission order to cease and desist from committing or causing future securities law violations. Additionally, Halliburton and Muchmore paid penalties of $7.5 million and $50,000 respectively, in a related civil action. Halliburton's penalty for the disclosure failure reflected lapses in the company's conduct during the course of the Commission investigation, which commenced in mid-2002. [SEC v. Gary V. Morris, Civil Action No. 4:04-CV-3096 (S.D. Tex.)] (LR-20104; AAE Rel. 2606) SEC CHARGES HAFIZ NASEEM, CREDIT SUISSE INVESTMENT BANKER, WITH INSIDER TRADING On May 2, the Commission charged Hafiz Naseem, an investment banker employed since at least March 2006 in New York by Credit Suisse (USA) LLC, with misappropriating from Credit Suisse and its clients material non-public information related to pending but unannounced business combinations and tipping that information to a person believed to be a banker in Pakistan. In a Second Amended Complaint in the insider trading case originally filed on March 2, 2007, against certain Unknown Purchasers of TXU call options, the Commission alleged that, on February 5,6,7,8 and 23, 2007, Naseem, in breach of his duty to Credit Suisse and its client, telephoned the Pakistani banker and conveyed to him non-public, material information concerning the proposed but unannounced leveraged buyout of TXU Corp. by an investor group led by Kohlberg Kravis Roberts & Co. and Texas Pacific Group., and other information. According to the Second Amended Complaint, the Pakistani banker, on Feb. 23, 2007, purchased 6,700 TXU call option contracts with March 2007 expiration dates through UBS AG London, and these purchases allowed him to reap, following the public announcement of the buyout, trading profits of approximately $5 million. The Second Amended Complaint further alleges that Naseem also made calls from his office phone to the Pakistani banker's home and cell phones and alerted him to pending business combinations and deals involving 9 other issuers: Hydril Company, Trammell Crow Co., John Harland Co., Energy Partners Ltd., Veritas DGC Inc., Jacuzzi Brands, Caremark Rx, Inc., and Northwestern Corporation. According to the Second Amended Complaint, Credit Suisse served as an investment banker or financial advisor in all of the involved deals, and the phone calls to the Pakistani banker were made close in advance of - and frequently the day of or the day before - announcements of the proposed deals. The Second Amended Complaint also alleges that the Pakistani banker purchased securities in those companies in advance of public merger announcements and profited by an additional $2.4 million. Finally, according to the Second Amended Complaint, Naseem, in order to insure he would obtain a personal, financial benefit from his misappropriations, in May 2006 opened up a brokerage account in Pakistan and granted trading authority over that account to the Pakistani banker, i.e., to his "tippee." The Commission alleges that, as a result of these activities, Naseem engaged in insider trading in violation of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Commission is seeking permanent injunctive relief, disgorgement of ill-gotten gains with prejudgment interest thereon, and civil monetary penalties. The Commission's complaint against the Unknown Purchasers alleges that between February 21 and February 23 - prior to the public disclosure of TXU Corp.'s merger agreement - while in possession of material, nonpublic information regarding the acquisition offer, the Unknown Purchasers, using overseas accounts, purchased over 8,020 call option contracts for TXU stock. The unrealized illicit profits on these option contracts total approximately $5.4 million. On March 2, 2007, the U.S. District Court for the Northern District of Illinois in Chicago entered a Temporary Restraining Order freezing assets of the Unknown Purchasers. On March 28, 2007, the District Court approved an extension of the asset freeze as to the Unknown Purchasers who purchased TXU securities through Credit Suisse in Zurich and Fimat Banque Frankfurt Zweigniederlassung. In its Second Amended Complaint, the Commission alleged that the person who purchased TXU securities through Fimat Frankfurt is Francisco Javier Garcia, believed to be a resident of Switzerland. The Court also approved a 60-day extension of the asset freeze as to the Unknown Purchaser who traded through UBS AG London. As a result of an Amended Complaint filed by the Commission, on March 28, 2007, the U.S. District Court for the Northern District of Illinois in Chicago entered a Temporary Restraining Order freezing assets of Sunil and Seema Sehgal, a married couple residing in the United Kingdom. The Amended Complaint added the Sehgals as defendants in the March 2, 2007, against certain Unknown Purchasers of TXU call options, and alleged that the Sehgals made highly profitable and suspicious purchases of 700 call option contracts for the common stock of TXU Corp. through accounts at Charles Schwab & Co., Inc., and Clark Dodge & Co, Inc., in January and February 2007. The Amended Complaint alleged that, as a result of the increase in price of TXU stock following the public announcement of the leveraged buyout, the illicit profits on the Sehgals' option contracts total approximately $270,000. On April 12, 2007, the Court approved a 60-day extension of the asset freeze as to the Sehgals. The Commission wishes to thank the Chicago Board Options Exchange, the NYSE, the Swiss Federal Banking Commission and the Financial Services Authority of the United Kingdom for their assistance in this matter. For further information see Litigation Rel. No. 20063, March 30, 2007, and Litigation Rel. No. 20030, March 7, 2007. [SEC v. One or More Unknown Purchasers of Call Options for the Common Stock of TXU Corp., et al., Civil Action No. 07C1208, USDC, ND Illinois, Eastern Division (Chicago)] (LR-20105; Press Rel. 2007-85) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-CBOE-2007-32) filed by the Chicago Board Options Exchange relating to transaction fees for certain electronically executed orders 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 May 7. (Rel. 34- 55677) A proposed rule change (SR-NYSE-2007-44) filed by the New York Stock Exchange to establish fees for NYSE Bonds 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 May 7. (Rel. 34-55698) PROPOSED RULE CHANGE The National Association of Securities Dealers filed a proposed rule change (SR-NASD-2007-027) to NASD By-Laws relating to SEC Section 31-related fees. Publication is expected in the Federal Register during the week of May 7. (Rel. 34-55697) ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission granted accelerated approval to a proposed rule change (SR-NYSEArca-2007-27) submitted by the NYSE Arca to list and trade shares of the iShares FTSE NAREIT Residential Index Fund. Publication is expected in the Federal Register during the week of May 7. (Rel. 34-55699) SECURITIES ACT REGISTRATIONS The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be obtained in person or by writing to the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. 20549-1090 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . S-3 CRAWFORD & CO, 5620 GLENRIDGE DR NE, ATLANTA, GA, 30342, 4042560830 - 0 ($5,351,876.00) Equity, (File 333-142569 - May. 3) (BR. 01A) S-3ASR SAVVIS, Inc., 1 SAVVIS PARKWAY, TOWN & COUNTRY, MO, 63017, 314-628-7000 - 0 ($0.00) Other, (File 333-142570 - May. 3) (BR. 08C) S-8 ANHEUSER-BUSCH COMPANIES, INC., ONE BUSCH PL, ST LOUIS, MO, 63118-1852, 3145772000 - 45,000,000 ($2,271,150,000.00) Equity, (File 333-142571 - May. 3) (BR. 02A) S-B EUROPEAN INVESTMENT BANK, 100 BD KONRAD ADENAUER, LUXEMBURG, N4, L 2900, 10,000,000,000 ($10,000,000,000.00) Debt, (File 333-142572 - May. 3) (BR. DN) S-8 NEW WORLD RESTAURANT GROUP INC, 1687 COLE BOULEVARD, GOLDEN, CO, 80401, 3035688000 - 0 ($16,524,000.00) Equity, (File 333-142573 - May. 3) (BR. 05B) F-6 China Sunergy Co., Ltd., NO.123 FOCHENG WEST ROAD, NANJING, F4, 211100, (8625)5276 6890 - 100,000,000 ($5,000,000.00) ADRs/ADSs, (File 333-142574 - May. 3) (BR. 10A) S-8 AGL RESOURCES INC, TEN PEACHTREE PLACE, ATLANTA, GA, 30309, 4045844000 - 5,000,000 ($218,900,000.00) Equity, (File 333-142575 - May. 3) (BR. 02A) S-8 DUSKA THERAPEUTICS, INC., TWO BALA PLAZA, SUITE 300, BALA CYNWYD, PA, 19004, 610- 660-6690 - 175,000 ($131,250.00) Equity, (File 333-142576 - May. 3) (BR. 01A) S-1 Titanium Group LTD, 4/F, BOCG INSURANCE TOWER, 134-136 DES VOEUX CENTRAL, HONG KONG, K3, NONE, 852-3427-3177 - 10,826,666 ($270,666.00) Equity, (File 333-142578 - May. 3) (BR. 03) S-8 COHU INC, 12367 CROSTHWAITE CIRCLE, POWAY, CA, 92064-6817, 858-848-8100 - 0 ($7,060,000.00) Equity, (File 333-142579 - May. 3) (BR. 10A) S-8 CHINA EXPERT TECHNOLOGY, INC., RM 2611-13 GREAT EAGLE CENTRE, 23 HARBOUR ROAD, WANCHAI, K3, 00000, 852 2802 1555 - 322,833 ($2,234,004.36) Equity, (File 333-142580 - May. 3) (BR. 09A) S-8 TENNANT CO, 701 N LILAC DR, PO BOX 1452, MINNEAPOLIS, MN, 55440, 6125401200 - 1,500,000 ($48,225,000.00) Equity, (File 333-142581 - May. 3) (BR. 06A) S-8 ICO INC, 1811 BERING DRIVE, SUITE 200, HOUSTON, TX, 77057, 7133514100 - 760,000 ($5,103,400.00) Equity, (File 333-142582 - May. 3) (BR. 06B) S-8 Sally Beauty Holdings, Inc., 3001 COLORADO BOULEVARD, DENTON, TX, 76210, (940) 898-7500 - 0 ($97,900,000.00) Equity, (File 333-142583 - May. 3) (BR. 02) S-3 KINDER MORGAN ENERGY PARTNERS L P, 370 VAN GORDON STREET, LAKEWOOD, CO, 80228, 3039144752 - 0 ($14,650,702.00) Other, (File 333-142584 - May. 3) (BR. 02C) F-3 EDAP TMS SA, PARC D'ACTIVITES LA POUDRETTE LAMARTINE, 4 RUE DU DAUPHINE, 69120 VAULX EN VELIN, I0, 0 ($1,268,000.00) Equity, (File 333-142585 - May. 3) (BR. 10B) S-3 OTELCO INC., 505 THIRD AVE E, ONEONTA, AL, 35121, 205-625-3574 - 0 ($76,866,000.00) Other, (File 333-142586 - May. 3) (BR. 11A) S-8 GS CARBON CORP, 0NE PENN PLAZA, SUITE 1612, NEW YORK, NY, 10119, 212-994-5374 - 50,000,000 ($500,000.00) Equity, (File 333-142587 - May. 3) (BR. 08A) S-8 MIDDLEBY CORP, 1400 TOASTMASTER DRIVE, ELGIN, IL, 60120, 8477413300 - 100,000 ($13,615,000.00) Equity, (File 333-142588 - May. 3) (BR. 06A) S-8 GEO GROUP INC, 621 NW 53RD STREET, SUITE 700, BOCA RATON, FL, 33487, 561-893-0101 - 0 ($36,848,000.00) Equity, (File 333-142589 - May. 3) (BR. 06C) S-4 MONMOUTH REAL ESTATE INVESTMENT CORP, 3499 ROUTE 9 N, SUITE 3-C, JUNIPER BUSINESS PLAZA, FREEHOLD, NJ, 07728, 7325779996 - 3,757,636 ($33,847,410.00) Asset-Backed Securities, (File 333-142590 - May. 3) (BR. 08B) S-3 CYTRX CORP, 11726 SAN VICENTE BOULEVARD, SUITE 650, LOS ANGELES, CA, 90049, 310-826-5648 - 8,765,000 ($36,550,050.00) Equity, (File 333-142591 - May. 3) (BR. 01A) S-8 NSTAR/MA, 800 BOYLSTON ST, BOSTON, MA, 02199, 6174242000 - 3,500,000 ($126,770,000.00) Equity, (File 333-142595 - May. 3) (BR. 02A) S-3 TRICO MARINE SERVICES INC, 250 N AMERICAN COURT, HOUMA, LA, 70363, 713 780 9926 - 0 ($150,000,000.00) Debt Convertible into Equity, (File 333-142596 - May. 3) (BR. 05C) S-8 LACROSSE FOOTWEAR INC, 18550 NE RIVERSIDE PARKWAY, PORTLAND, OR, 97230, 5037661010 - 0 ($4,803,000.00) Equity, (File 333-142597 - May. 3) (BR. 06B) S-8 LACROSSE FOOTWEAR INC, 18550 NE RIVERSIDE PARKWAY, PORTLAND, OR, 97230, 5037661010 - 0 ($1,601,000.00) Equity, (File 333-142598 - May. 3) (BR. 06B) SB-2 YTB International, Inc., 560 SYLVAN AVENUE, ENGLEWOOD CLIFFS, NJ, 07632, 2015678500 - 1,665,724 ($5,759,044.20) Equity, (File 333-142599 - May. 3) (BR. 05C) S-8 COFFEE PACIFICA INC, P O BOX 95012, VANCOUVER BC, A1, V6P 6V4, 6042748004 - 5,000,000 ($8,100,000.00) Equity, (File 333-142600 - May. 3) (BR. 02C) SB-2 COFFEE PACIFICA INC, P O BOX 95012, VANCOUVER BC, A1, V6P 6V4, 6042748004 - 6,550,584 ($4,323,385.44) Equity, (File 333-142601 - May. 3) (BR. 02C) 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 21ST CENTURY HOLDING CO FL 2.02,9.01 05/03/07 3M CO DE 1.01,2.03,9.01 05/03/07 ACME PACKET INC DE 8.01,9.01 05/03/07 ACNB CORP PA 7.01,9.01 05/01/07 ACTIVISION INC /NY DE 2.02,8.01,9.01 05/03/07 ACUSPHERE INC DE 1.01,8.01,9.01 04/27/07 ADMINISTAFF INC \DE\ DE 5.02 05/02/07 ADOLOR CORP 2.02,9.01 05/03/07 Advance America, Cash Advance Centers DE 2.02,8.01,9.01 05/02/07 ADVANCED MEDICAL INSTITUTE INC. NV 1.01 05/02/07 ADVANSTAR COMMUNICATIONS INC NY 1.01,9.01 05/02/07 ADVANSTAR INC DE 1.01,9.01 05/02/07 AES CORP DE 3.01 05/02/07 AETNA INC /PA/ PA 5.02 05/03/07 Agfeed Industries, Inc NV 3.02 04/29/07 AIRGAS INC DE 2.02,9.01 05/02/07 ALBANY INTERNATIONAL CORP /DE/ DE 1.01,2.03,9.01 04/27/06 ALBANY MOLECULAR RESEARCH INC DE 2.02,9.01 05/03/07 Aleris International, Inc. DE 7.01,9.01 05/03/07 ALLEGHENY ENERGY, INC MD 1.01,9.01 05/03/07 ALLSTATE CORP DE 8.01 05/03/07 ALLSTATE LIFE GLOBAL FUNDING DE 9.01 04/27/07 Alternative Loan Trust 2007-J1 8.01,9.01 05/03/07 Alternative Loan Trust 2007-OA4 8.01,9.01 03/01/07 AMCORE FINANCIAL INC NV 8.01,9.01 05/03/07 AMERICAN COMMERCIAL LINES INC. DE 1.01,2.03,9.01 04/27/07 AMERICAN EQUITY INVESTMENT LIFE HOLDI IA 7.01,9.01 05/02/07 AMERICAN FINANCIAL REALTY TRUST 2.02 05/03/07 American Railcar Industries, Inc./DE DE 2.02,9.01 05/02/07 AMERICAN TECHNICAL CERAMICS CORP DE 2.02,9.01 05/03/07 AMERICAN TECHNOLOGY CORP /DE/ DE 2.02,9.01 05/02/07 AMERICAN TOWER CORP /MA/ DE 8.01,9.01 05/02/07 AMERICHIP INTERNATIONAL INC 5.03 04/25/07 AMEND AMERICREDIT CORP TX 5.02 05/01/07 AMERIGON INC MI 2.02,9.01 05/03/07 AMERITYRE CORP NV 3.02,8.01 05/02/07 ANADYS PHARMACEUTICALS INC 2.02,9.01 05/03/07 ANDERSONS INC OH 2.02 05/02/07 AngioGenex, Inc. NV 7.01,9.01 05/03/07 ANSYS INC DE 2.02,9.01 05/03/07 AON CORP DE 2.02,9.01 05/03/07 APPLEBEES INTERNATIONAL INC DE 2.02,9.01 05/02/07 APPLIED NEUROSOLUTIONS INC DE 1.01 04/27/07 ARBIOS SYSTEMS INC DE 5.02,9.01 04/27/07 ARCH CAPITAL GROUP LTD. 8.01 05/02/07 ARENA RESOURCES INC NV 5.02 05/01/07 ARMSTRONG WORLD INDUSTRIES INC PA 2.02,9.01 05/03/07 ARRAY BIOPHARMA INC DE 8.01,9.01 05/03/07 ARTES MEDICAL INC 2.02,9.01 05/03/07 ARTISTDIRECT INC DE 8.01,9.01 05/03/07 ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 05/03/07 ASIAMART, INC. DE 5.02 04/29/07 ASPEN INSURANCE HOLDINGS LTD D0 7.01,9.01 05/03/07 ASV INC /MN/ MN 2.02,9.01 05/03/07 ATLANTIS PLASTICS INC FL 2.02,9.01 05/03/07 AUDIBLE INC 2.02,9.01 03/31/07 AVANEX CORP DE 2.02,9.01 05/03/07 AVANT IMMUNOTHERAPEUTICS INC DE 2.02,9.01 05/03/07 AWARE INC /MA/ MA 2.02,9.01 05/03/07 AXESSTEL INC NV 2.02,9.01 05/03/07 Axion Power International, Inc. DE 2.01,7.01 04/30/07 BAKBONE SOFTWARE INC 2.02,9.01 05/02/07 Banc of America Funding 2007-3 Trust DE 6.02 05/01/07 BANCTRUST FINANCIAL GROUP INC AL 2.02,9.01 04/30/07 BANK OF FLORIDA CORP FL 5.02,9.01 04/26/07 BANK OF THE JAMES FINANCIAL GROUP INC VA 2.02,9.01 04/20/07 BANNER CORP WA 2.02,9.01 05/02/07 AMEND BARNWELL INDUSTRIES INC DE 2.01 04/30/07 BAY BANKS OF VIRGINIA INC VA 8.01 05/01/07 BCSB BANKCORP INC 2.02,9.01 05/02/07 BE AEROSPACE INC DE 5.02 04/27/07 Bear Stearns Commercial Mortgage Secu DE 8.01,9.01 03/29/07 AMEND BEAZER HOMES USA INC DE 7.01 04/30/07 bebe stores, inc. CA 2.02,9.01 04/07/07 BECTON DICKINSON & CO NJ 8.01 05/03/07 BIG 5 SPORTING GOODS CORP DE 2.02,9.01 05/03/07 BigBand Networks, Inc. DE 2.02,9.01 05/03/07 BigString CORP DE 1.01,3.02,8.01,9.01 05/01/07 BIO RAD LABORATORIES INC DE 2.02,9.01 03/31/07 BioMed Realty Trust Inc MD 2.02,9.01 05/02/07 BIOMERICA INC DE 8.01 05/02/07 BIOVERIS CORP DE 1.01,9.01 05/02/07 BISYS GROUP INC DE 1.01,2.02,3.03,7.01,9.01 05/01/07 BLACKBAUD INC 2.02,9.01 05/03/07 BLONDER TONGUE LABORATORIES INC DE 5.02 04/27/07 BLOUNT INTERNATIONAL INC DE 2.02,9.01 05/03/07 BOOKHAM, INC. DE 2.02,9.01 05/03/07 BOSTON LIFE SCIENCES INC /DE DE 1.01,2.03,9.01 05/01/07 BRUSH ENGINEERED MATERIALS INC 7.01,9.01 05/03/07 BSD MEDICAL CORP DE 7.01,9.01 05/03/07 BUCKEYE TECHNOLOGIES INC DE 5.02 05/02/07 BUSINESS OBJECTS S.A. 7.01,8.01 05/03/07 BUSINESS OBJECTS S.A. 7.01,8.01 05/03/07 AMEND CABELAS INC DE 2.02,7.01,9.01 05/03/07 CACI INTERNATIONAL INC /DE/ DE 2.02,7.01,9.01 05/02/07 Cal Dive International, Inc. DE 2.02,7.01,9.01 05/02/07 CALIFORNIA MICRO DEVICES CORP CA 2.02,9.01 05/03/07 CALIPER LIFE SCIENCES INC DE 2.02,9.01 05/03/07 CALLAWAY GOLF CO /CA DE 2.02,9.01 05/03/07 CAPTARIS INC WA 2.02,9.01 05/03/07 CARBIZ INC A6 4.01,9.01 04/27/07 CardioVascular BioTherapeutics, Inc. DE 7.01,9.01 05/02/07 CAREER EDUCATION CORP DE 2.02,9.01 05/03/07 CAROLINA NATIONAL CORP SC 2.02,9.01 04/30/07 CARPENTER TECHNOLOGY CORP DE 5.02,9.01 05/03/07 CASCADE CORP OR 8.01 05/03/07 CASELLA WASTE SYSTEMS INC DE 2.06,8.01 04/30/07 CastlePoint Holdings, Ltd. D0 2.02,9.01 05/03/07 CB RICHARD ELLIS REALTY TRUST 2.01,2.03,9.01 04/27/07 CBEYOND, INC. 2.02,9.01 05/03/07 CBS CORP DE 2.02,9.01 05/03/07 CBS CORP DE 8.01,9.01 05/03/07 CEDAR FAIR L P DE 9.01 05/03/07 CEDAR SHOPPING CENTERS INC MD 1.01,9.01 05/01/07 CELGENE CORP /DE/ DE 2.02,9.01 05/03/07 CENTILLIUM COMMUNICATIONS INC DE 2.02,9.01 05/03/07 CENTRAL EUROPEAN DISTRIBUTION CORP DE 2.02,5.02,9.01 04/30/07 CENTRAL EUROPEAN MEDIA ENTERPRISES LT 2.02,9.01 05/03/07 CENTRAL EUROPEAN MEDIA ENTERPRISES LT 8.01,9.01 05/03/07 CENTURYTEL INC LA 2.02,8.01,9.01 04/30/07 CEPHEID CA 2.02,9.01 05/03/07 CF Industries Holdings, Inc. DE 5.02 04/30/07 CHARMING SHOPPES INC PA 1.01,2.03,3.02,8.01,9.01 04/30/07 CHARTER COMMUNICATIONS INC /MO/ DE 2.02,9.01 03/31/07 CHECKFREE CORP \GA\ DE 5.02 05/02/07 CHECKPOINT SYSTEMS INC PA 2.02,9.01 04/01/07 CHECKPOINT SYSTEMS INC PA 2.02,9.01 04/01/07 CHEMBIO DIAGNOSTICS, INC. NV 1.01,9.01 04/23/07 AMEND CHEMOKINE THERAPEUTICS CORP DE 8.01,9.01 05/03/07 CHEMUNG FINANCIAL CORP NY 2.01,9.01 05/03/07 CHILCO RIVER HOLDINGS INC 7.01,9.01 05/01/07 CHINA BAK BATTERY INC NV 2.02,9.01 05/02/07 CHINA EXPERT TECHNOLOGY, INC. NV 1.01,9.01 04/27/07 CIMNET INC/PA DE 1.01,9.01 05/02/07 Cinemark Holdings, Inc. DE 1.01,1.02,8.01,9.01 04/27/07 CITIGROUP DIVERSIFIED FUTURES FUND LP 3.02 05/01/07 CITIGROUP FAIRFIELD FUTURES FUND LP I 3.02 05/01/07 CLARIENT, INC DE 5.02 05/01/07 CLARIENT, INC DE 2.02,7.01,9.01 05/02/07 CLEAN POWER CONCEPTS INC. 8.01,9.01 05/02/07 CMS ENERGY CORP MI 2.01,9.01 05/02/07 CMS ENERGY CORP MI 2.02,9.01 05/03/07 COACHMEN INDUSTRIES INC IN 8.01,9.01 05/03/07 COCA COLA BOTTLING CO CONSOLIDATED /D DE 5.02 04/27/07 COINSTAR INC DE 2.02,9.01 05/03/07 Coley Pharmaceutical Group, Inc. DE 2.02,9.01 05/03/07 COLLINS & AIKMAN CORP DE 8.01 04/27/07 COMMUNITY CENTRAL BANK CORP MI 2.02,9.01 05/03/07 COMMUNITY FINANCIAL CORP /VA/ VA 2.02 05/02/07 COMSYS IT PARTNERS INC DE 2.02,9.01 05/03/07 CONVERSION SERVICES INTERNATIONAL INC DE 1.01,3.02,9.01 05/03/07 COOPER TIRE & RUBBER CO DE 1.01,9.01 05/01/07 CORPORATE OFFICE PROPERTIES TRUST MD 2.02,9.01 05/02/07 CORRECTIONS CORP OF AMERICA MD 2.02,9.01 05/03/07 COSINE COMMUNICATIONS INC DE 2.02,9.01 05/02/07 COST PLUS INC/CA/ CA 2.02,9.01 05/03/07 Cougar Biotechnology, Inc. 1.01,3.02,5.02,9.01 05/02/07 CPI CORP DE 1.01,9.01 05/01/07 Crocs, Inc. 2.02,5.02,8.01,9.01 05/03/07 Cryoport, Inc. 1.01 05/02/07 AMEND Curtis Acquisition, Inc. DE 1.01,2.01,3.02,5.01,5.03,9.01 05/02/07 CV THERAPEUTICS INC DE 8.01,9.01 05/03/07 CWABS Asset-Backed Certificates Trust DE 8.01,9.01 04/27/07 CWALT INC DE 8.01,9.01 03/29/07 CYBER DIGITAL INC NY 1.01 04/30/07 DDI CORP CA 2.02,9.01 05/03/07 DealerTrack Holdings, Inc. DE 2.02,9.01 05/03/07 DEAN FOODS CO DE 2.02,9.01 05/03/07 DEB SHOPS INC PA 2.02,9.01 05/03/07 DEBT RESOLVE INC DE 1.01,8.01,9.01 04/30/07 DELTATHREE INC DE 2.02,9.01 05/03/07 DENBURY RESOURCES INC DE 2.02,9.01 05/03/07 DEVCON INTERNATIONAL CORP FL 1.01,3.03,5.02,7.01,9.01 04/27/07 DEVON ENERGY CORP/DE DE 2.02,9.01 05/02/07 DIGITAL NETWORK ALLIANCE INTERNATIONA DE 2.01 03/02/07 DIGITAL RECORDERS INC NC 7.01,9.01 05/03/07 DILLARDS INC DE 7.01,9.01 05/01/07 DILLARDS INC DE 7.01,9.01 05/02/07 DIONEX CORP /DE CA 5.02 05/01/07 DISCOVER CARD MASTER TRUST I DE 8.01 04/30/07 DISCOVER CARD MASTER TRUST I DE 8.01,9.01 05/03/07 DISCOVERY LABORATORIES INC /DE/ DE 2.02,8.01,9.01 05/01/07 Dollarama Group L.P. A8 7.01,9.01 05/02/07 DORCHESTER MINERALS LP DE 2.02,7.01,9.01 03/31/07 Dorman Products, Inc. PA 2.02,9.01 03/31/07 DOT HILL SYSTEMS CORP NY 2.02,9.01 05/03/07 Dresser-Rand Group Inc. DE 2.02,9.01 05/02/07 DTE ENERGY CO MI 7.01,9.01 05/03/07 DUN & BRADSTREET CORP/NW DE 2.02,9.01 05/03/07 DUPONT E I DE NEMOURS & CO DE 8.01 05/03/07 DYNAMICS RESEARCH CORP MA 2.02,9.01 05/02/07 EDGE PETROLEUM CORP DE 2.02 05/03/07 EDGETECH SERVICES INC NV 2.01 05/01/07 EDO CORP NY 2.02 05/03/07 eHealth, Inc. DE 2.02,9.01 05/03/07 ELECTRONIC DATA SYSTEMS CORP /DE/ DE 2.02,9.01 05/03/07 ELIZABETH ARDEN INC FL 2.02,9.01 05/03/07 EMDEON CORP DE 2.02,7.01,9.01 05/03/07 Emergency Medical Services CORP DE 2.02,9.01 05/03/07 ENCORE CAPITAL GROUP INC DE 5.03,8.01,9.01 05/01/07 ENDOCARE INC DE 2.02,9.01 05/03/07 ENDURANCE SPECIALTY HOLDINGS LTD 2.02,9.01 05/02/07 ENERGROUP TECHNOLOGIES CORP UT 1.01,7.01,9.01 05/03/07 ENERGY EAST CORP NY 2.02,7.01,9.01 05/03/07 ENERGY PARTNERS LTD DE 2.02 05/03/07 ENPRO INDUSTRIES, INC NC 2.02,5.02,9.01 05/03/07 Enstar Group LTD D0 5.02,9.01 04/27/07 ENTRAVISION COMMUNICATIONS CORP DE 2.02,9.01 05/03/07 ENZO BIOCHEM INC NY 8.01,9.01 05/03/07 ESCALADE INC IN 5.02 04/27/07 ESPEED INC DE 2.02,9.01 05/02/07 ESSEX PROPERTY TRUST INC MD 2.02,9.01 03/30/07 ESTEE LAUDER COMPANIES INC DE 2.02,9.01 05/03/07 EVEREST REINSURANCE HOLDINGS INC DE 9.01 04/26/07 EXELIXIS INC DE 2.02,9.01 05/03/07 EYI INDUSTRIES INC. 1.01,1.02 04/30/07 FACTORY CARD & PARTY OUTLET CORP DE 5.02,9.01 04/30/07 FARO TECHNOLOGIES INC FL 2.02,7.01,9.01 05/02/07 Federal Home Loan Bank of Atlanta X1 2.03 04/30/07 Federal Home Loan Bank of Boston X1 2.03 05/01/07 Federal Home Loan Bank of Chicago X1 2.03 04/30/07 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 04/30/07 Federal Home Loan Bank of Dallas 2.03 04/27/07 Federal Home Loan Bank of Des Moines X1 2.03,9.01 04/30/07 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 04/30/07 Federal Home Loan Bank of New York X1 2.03,9.01 04/30/07 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 04/30/07 Federal Home Loan Bank of San Francis X1 2.03 04/30/07 Federal Home Loan Bank of Seattle 7.01,9.01 05/02/07 Federal Home Loan Bank of Seattle 2.03 05/02/07 Federal Home Loan Bank of Topeka 2.03 04/30/07 FF-TSY Holding CO II, LLC MD 4.01,9.01 04/27/07 FINLAY ENTERPRISES INC /DE DE 4.01 04/27/07 FINLAY FINE JEWELRY CORP DE 4.01 04/27/07 FIRST AMERICAN CORP CA 2.02,9.01 05/03/07 FIRST AVIATION SERVICES INC DE 1.01,2.03 04/27/07 FIRST BANCORP /NC/ NC 8.01,9.01 05/02/07 FIRST BANCORP /PR/ PR 2.02,8.01,9.01 05/03/07 FIRST BANCSHARES INC /MS/ MS 8.01,9.01 05/02/07 FIRST CHARTER CORP /NC/ NC 2.02,7.01,9.01 05/02/07 FIRST CONSULTING GROUP INC DE 2.02,9.01 05/03/07 FIRST KEYSTONE CORP PA 2.02 04/30/07 FIRST MERCHANTS CORP IN 8.01,9.01 05/03/07 FIRST MERCURY FINANCIAL CORP DE 2.02,9.01 05/02/07 FIRST MID ILLINOIS BANCSHARES INC DE 1.01,9.01 05/01/07 FIRST NIAGARA FINANCIAL GROUP INC DE 5.02,9.01 04/27/07 FIRST SOLAR, INC. DE 5.02 05/03/07 FIRST SOLAR, INC. DE 2.02,9.01 05/03/07 FIRSTENERGY CORP OH 2.02,9.01 05/03/07 Flag Intermediate Holdings CORP DE 2.02,9.01 04/30/07 FLEETWOOD ENTERPRISES INC/DE/ DE 2.02,9.01 05/03/07 Fortunet, Inc. NV 2.02,9.01 05/02/07 FRANKLIN ELECTRIC CO INC IN 1.01,2.03,5.03 05/03/07 FTI CONSULTING INC MD 7.01,9.01 05/01/07 GARDNER DENVER INC DE 5.02,9.01 05/01/07 GARTNER INC DE 2.02,9.01 05/03/07 GARTNER INC DE 5.03,9.01 05/03/07 GATEWAY FINANCIAL HOLDINGS INC NC 8.01,9.01 05/03/07 GEMSTAR TV GUIDE INTERNATIONAL INC DE 2.02,9.01 05/03/07 GENERAL DYNAMICS CORP DE 8.01 05/03/07 GENERAL MOTORS CORP DE 2.02,9.01 05/03/07 GENESIS ENERGY LP DE 2.02,9.01 05/03/07 GENTIVA HEALTH SERVICES INC DE 2.02,9.01 05/03/07 GeoPharma, Inc. FL 1.02,9.01 04/30/07 Georgetown Bancorp, Inc. X1 2.02,9.01 04/30/07 GLATFELTER P H CO PA 2.02,9.01 05/01/07 GLOBAL ENTERTAINMENT CORP NV 1.01,9.01 05/02/07 GLOBAL INDUSTRIES LTD LA 2.02,9.01 05/02/07 GLOBALSANTAFE CORP 2.02,9.01 05/02/07 GLOBETEL COMMUNICATIONS CORP DE 5.02 04/27/07 GOODYEAR TIRE & RUBBER CO /OH/ OH 8.01,9.01 05/03/07 GRAFTECH INTERNATIONAL LTD DE 2.02,9.01 05/03/07 GRANITE CITY FOOD & BREWERY LTD MN 2.02,9.01 05/03/07 GRAPHIC PACKAGING CORP DE 2.02,9.01 05/02/07 GREEN MOUNTAIN COFFEE ROASTERS INC DE 2.02,5.02,9.01 05/03/07 GREY WOLF INC TX 2.02,9.01 05/02/07 GRIFFON CORP DE 2.02,9.01 05/03/07 GRILL CONCEPTS INC DE 2.03,3.02 04/30/07 GRUBB & ELLIS CO DE 1.01,9.01 04/30/07 GRUBB & ELLIS CO DE 2.01,9.01 02/15/07 AMEND GSC INVESTMENT CORP. MD 1.01,9.01 05/01/07 GSI GROUP INC A3 2.02,9.01 05/03/07 GTC BIOTHERAPEUTICS INC MA 2.02,9.01 05/03/07 HAIN CELESTIAL GROUP INC DE 2.02,9.01 05/03/07 Hampden Bancorp, Inc. DE 2.02,8.01,9.01 04/30/07 HANMI FINANCIAL CORP DE 2.02,9.01 05/03/07 HANOVER CAPITAL MORTGAGE HOLDINGS INC MD 8.01 05/03/07 HANSEN MEDICAL INC 2.02,9.01 05/02/07 HarborView 2007-2 DE 6.02 05/01/07 HARLEY DAVIDSON INC WI 5.02 04/27/07 HARVEST NATURAL RESOURCES, INC. DE 2.02,9.01 05/03/07 HAVERTY FURNITURE COMPANIES INC MD 2.02,5.03,9.01 03/31/07 Hawaiian Telcom Communications, Inc. DE 1.01,9.01 04/29/07 HAYNES INTERNATIONAL INC DE 1.01,9.01 04/30/07 HCA INC/TN DE 2.02,7.01,9.01 05/03/07 HealthSpring, Inc. DE 2.02,9.01 05/02/07 HELIX ENERGY SOLUTIONS GROUP INC MN 2.02,7.01,9.01 05/02/07 HELIX ENERGY SOLUTIONS GROUP INC MN 5.04,9.01 04/27/07 HENNESSY ADVISORS INC 7.01,9.01 05/03/07 HEPALIFE TECHNOLOGIES INC FL 7.01,9.01 04/30/07 HERCULES TECHNOLOGY GROWTH CAPITAL IN MD 2.02,9.01 05/03/07 HERITAGE COMMERCE CORP CA 1.01,9.01 05/02/07 HF FINANCIAL CORP DE 5.02 04/26/07 HOME FEDERAL BANCORP, INC. OF LOUISIA 2.02,9.01 05/02/07 HOME PROPERTIES INC MD 7.01,9.01 04/27/07 AMEND HOMELAND ENERGY SOLUTIONS LLC 1.01 04/23/07 AMEND HORIZON BANCORP /IN/ IN 7.01,9.01 05/03/07 HORNBECK OFFSHORE SERVICES INC /LA DE 2.02,8.01,9.01 05/03/07 HOST HOTELS & RESORTS L.P. DE 1.02 05/02/07 HOST HOTELS & RESORTS, INC. MD 1.02 05/02/07 HOUSTON EXPLORATION CO DE 8.01,9.01 04/30/07 HUDSON HIGHLAND GROUP INC DE 2.02,9.01 05/02/07 HUDSON HIGHLAND GROUP INC DE 5.02,9.01 05/01/07 HUMAN GENOME SCIENCES INC DE 8.01 05/02/07 HUNGARIAN TELEPHONE & CABLE CORP DE 4.01 04/27/07 HUNGARIAN TELEPHONE & CABLE CORP DE 1.01,1.02,2.01,2.03,3.02,5.02, 04/27/07 9.01 HUNT J B TRANSPORT SERVICES INC AR 8.01,9.01 05/02/07 Huron Consulting Group Inc. DE 2.02,9.01 03/31/07 HYDRIL CO DE 8.01,9.01 05/02/07 HYPERCOM CORP DE 2.02,9.01 05/03/07 I FLOW CORP /DE/ DE 2.02 05/03/07 IAC/INTERACTIVECORP DE 2.02,7.01 05/03/07 IBASIS INC DE 2.02,9.01 05/03/07 IBERIABANK CORP LA 7.01,9.01 05/02/07 ICO Global Communications (Holdings) DE 5.02,9.01 05/01/07 ICO INC TX 2.02,7.01,9.01 05/02/07 ID SYSTEMS INC DE 2.02,9.01 05/03/07 IDEARC INC. DE 2.02,7.01,9.01 05/03/07 ILINC COMMUNICATIONS INC DE 2.02,9.01 05/03/07 IMMERSION CORP DE 2.02,9.01 05/03/07 IMMUNOGEN INC MA 2.02,9.01 05/03/07 INCYTE CORP DE 2.02,9.01 05/03/07 INFOCUS CORP OR 2.02,9.01 05/03/07 INFRASOURCE SERVICES INC DE 2.02,9.01 05/03/07 INNOSPEC INC. DE 2.02 05/03/07 INNOVO GROUP INC DE 5.02 05/01/07 InPlay Technologies, Inc. NV 2.02,9.01 05/03/07 INSIGHT COMMUNICATIONS CO INC DE 2.02,9.01 05/03/07 INSIGHT HEALTH SERVICES HOLDINGS CORP 2.04,8.01,9.01 05/01/07 INSMED INC VA 8.01,9.01 05/03/07 INTEGRA BANK CORP IN 4.01,9.01 04/30/07 Intermec, Inc. DE 2.02,7.01,9.01 05/03/07 INTERMUNE INC DE 2.02,9.01 05/03/07 INTERNAP NETWORK SERVICES CORP DE 2.02,9.01 05/03/07 INTERNATIONAL FLAVORS & FRAGRANCES IN NY 2.02,9.01 05/03/07 INTERNATIONAL PAPER CO /NEW/ NY 2.02,9.01 05/03/07 INTERNET CAPITAL GROUP INC DE 2.02,9.01 05/03/07 INTERSECTIONS INC DE 2.02,9.01 04/30/07 INVENTIV HEALTH INC DE 5.02,7.01 04/27/07 INVESTMENT TECHNOLOGY GROUP INC DE 2.02,9.01 05/03/07 INX Inc DE 2.02,7.01,9.01 05/03/07 ION MEDIA NETWORKS INC. DE 8.01,9.01 05/02/07 IOWA TELECOMMUNICATIONS SERVICES INC IA 2.02,9.01 05/03/07 IPASS INC DE 2.02,9.01 03/31/07 IPSCO INC 1.01,8.01,9.01 05/03/07 ISCO INTERNATIONAL INC DE 2.02,8.01,9.01 05/03/07 ISRAMCO INC DE 5.02,9.01 04/18/07 J C PENNEY CO INC DE 5.05,9.01 04/27/07 J P MORGAN CHASE & CO DE 9.01 05/01/07 J&J SNACK FOODS CORP NJ 8.01,9.01 05/03/07 JONES SODA CO WA 2.02,9.01 05/03/07 JOURNAL COMMUNICATIONS INC 5.02,9.01 05/03/07 JOURNAL REGISTER CO DE 5.02,9.01 05/02/07 KAMAN CORP CT 2.02,9.01 05/03/07 KAPSTONE PAPER & PACKAGING CORP DE 1.01,9.01 05/01/07 KEY TECHNOLOGY INC OR 2.02,9.01 05/03/07 KIMCO REALTY CORP MD 2.02 05/03/07 KKR Financial Corp 2.02,9.01 05/03/07 KLEVER MARKETING INC DE 9.01 04/20/07 KNBT BANCORP INC PA 7.01,9.01 05/03/07 KNOLOGY INC DE 2.02,9.01 05/02/07 LA JOLLA PHARMACEUTICAL CO DE 2.02,9.01 05/03/07 LANTRONIX INC DE 2.02,9.01 05/03/07 Lares Asset Securitization, Inc. DE 8.01,9.01 05/01/07 LASALLE RE HOLDINGS LTD 8.01,9.01 05/01/07 LAUREATE EDUCATION, INC. MD 2.02,9.01 04/26/07 LAWSON PRODUCTS INC/NEW/DE/ DE 2.02,9.01 05/01/07 Lawson Software, Inc. MN 8.01,9.01 04/27/07 LEAPFROG ENTERPRISES INC 2.02,9.01 05/03/07 LEMAITRE VASCULAR INC 2.02,9.01 05/03/07 LIFECORE BIOMEDICAL INC MN 5.02 05/01/07 LINCOLN EDUCATIONAL SERVICES CORP NJ 2.02,9.01 05/03/07 LIQUIDMETAL TECHNOLOGIES INC 5.02 04/30/07 LITTELFUSE INC /DE DE 5.02,8.01,9.01 04/27/07 LogSearch, Inc. NV 4.01,5.02,5.03,9.01 04/30/07 LONG-E INTERNATIONAL, INC. UT 4.01,9.01 04/27/07 LONGS DRUG STORES CORP MD 7.01,9.01 05/03/07 LOOKSMART LTD DE 2.02,9.01 05/03/07 LSB FINANCIAL CORP IN 2.02,9.01 05/02/07 LUMERA CORP 2.02,7.01,9.01 05/03/07 MAC-GRAY CORP DE 2.02,9.01 05/03/07 MACK CALI REALTY CORP MD 2.02,7.01,9.01 05/02/07 MAKEMUSIC, INC. MN 2.02,9.01 05/02/07 MANPOWER INC /WI/ WI 5.02,9.01 05/02/07 MARKWEST ENERGY PARTNERS L P 8.01,9.01 05/01/07 MARTHA STEWART LIVING OMNIMEDIA INC DE 2.02,9.01 05/03/07 MAUI LAND & PINEAPPLE CO INC HI 2.05 04/30/07 MCGRATH RENTCORP CA 2.02,9.01 05/03/07 MEDIVATION, INC. DE 7.01,9.01 05/03/07 MERCURY COMPUTER SYSTEMS INC MA 2.05,9.01 05/01/07 MERRILL LYNCH & CO INC DE 8.01,9.01 04/27/07 MERRILL LYNCH DEPOSITOR INC PREFERRED NY 8.01,9.01 05/01/07 METABASIS THERAPEUTICS INC 2.02,9.01 05/03/07 METABOLIX, INC. DE 1.01,5.02,9.01 05/03/07 MGM MIRAGE DE 2.02,9.01 05/03/07 MICROTUNE INC DE 1.01,5.02,8.01,9.01 04/27/07 MID AMERICA APARTMENT COMMUNITIES INC TN 2.02,9.01 05/03/07 MIDAS INC DE 2.02 05/03/07 MIDDLEBY CORP DE 5.03,9.01 05/03/07 MidgardXXI, Inc. DE 1.03 01/30/07 MIDWAY GAMES INC DE 2.02,9.01 05/03/07 MIDWEST AIR GROUP INC WI 8.01,9.01 05/03/07 MIDWEST BANC HOLDINGS INC DE 7.01,8.01,9.01 05/01/07 MILLENNIUM CELL INC DE 3.02,7.01,9.01 04/27/07 MITY ENTERPRISES INC UT 1.01,7.01,9.01 05/02/07 MOBILE MINI INC DE 2.02,9.01 05/03/07 MOBILITY ELECTRONICS INC DE 2.02,9.01 05/03/07 MOBILITY ELECTRONICS INC DE 1.01,5.02,7.01,9.01 05/01/07 MOD PAC CORP NY 8.01,9.01 05/02/07 MODINE MANUFACTURING CO WI 7.01,9.01 05/02/07 MONONGAHELA POWER CO /OH/ OH 1.01,9.01 05/03/07 Morgan Stanley ABS Capital I Inc. Tru DE 8.01,9.01 05/03/07 Morgan Stanley Mortgage Loan Trust 20 DE 1.01 05/02/07 Morningstar, Inc. IL 2.02,9.01 05/03/07 MULTIMEDIA GAMES INC TX 1.01,1.02,2.03,9.01 04/27/07 MWI Veterinary Supply, Inc. DE 5.02 04/30/07 NANO PROPRIETARY INC TX 8.01,9.01 05/03/07 NANOGEN INC DE 3.01,5.02 04/27/07 Nascent Wine Company, Inc. 3.02,9.01 04/27/07 AMEND NATCO GROUP INC DE 2.02,7.01,9.01 05/02/07 National CineMedia, Inc. DE 2.02,9.01 03/29/07 NationsHealth, Inc. DE 5.02 04/27/07 NATIONWIDE FINANCIAL SERVICES INC/ DE 2.02,7.01 05/03/07 NATURAL RESOURCE PARTNERS LP DE 2.02,9.01 05/03/07 NATUS MEDICAL INC DE 2.02,9.01 05/03/07 NAVIGANT CONSULTING INC DE 5.02 04/30/07 NEOSE TECHNOLOGIES INC DE 2.02,9.01 05/03/07 NEPHROS INC DE 8.01,9.01 05/03/07 NESCO INDUSTRIES INC NV 1.01,3.02,9.01 04/27/07 NETGEAR, INC DE 1.01,7.01,9.01 05/02/07 NETSCOUT SYSTEMS INC DE 2.02,9.01 05/03/07 NETWORK 1 SECURITY SOLUTIONS INC DE 8.01,9.01 04/30/07 NETWORK ENGINES INC DE 2.02,9.01 05/03/07 NEUROCRINE BIOSCIENCES INC CA 2.02,9.01 05/03/07 NEW CENTURY FINANCIAL CORP MD 4.01,9.01 04/27/07 NewPage Holding CORP DE 5.02 05/01/07 NewStar Financial, Inc. 2.02,9.01 05/03/07 NexCen Brands, Inc. DE 9.01 02/15/07 AMEND NEXTEST SYSTEMS CORP 2.02,9.01 05/03/07 NISOURCE INC/DE DE 2.02,9.01 05/03/07 NOBLE ENERGY INC DE 2.02,9.01 05/03/07 Nomura Asset Acceptance Corporation, DE 6.02,9.01 05/01/07 NORTEL NETWORKS CORP 2.02,9.01 05/03/07 NORTEL NETWORKS LTD 2.02,9.01 05/03/07 NORTH CENTRAL BANCSHARES INC IA 1.01,5.02,9.01 04/27/07 NORTHWEST BIOTHERAPEUTICS INC DE 1.01,2.03,9.01 04/27/07 NOVASTAR FINANCIAL INC MD 1.01,9.01 04/30/07 NOVASTAR MORTGAGE FUNDING CORP DE 1.01,9.01 03/29/07 NSTAR/MA MA 5.02,9.01 05/03/07 NU SKIN ENTERPRISES INC DE 2.02,9.01 05/03/07 NUMEREX CORP /PA/ PA 2.02,9.01 03/31/07 AMEND Oakmont Acquisition Corp. DE 1.01,9.01 04/30/07 ODYSSEY RE HOLDINGS CORP DE 2.02 05/03/07 OFFICEMAX INC DE 2.02,9.01 05/03/07 OLD NATIONAL BANCORP /IN/ IN 7.01,9.01 05/03/07 OLYMPIC STEEL INC OH 5.02,9.01 04/27/07 OM GROUP INC DE 2.02,9.01 05/03/07 ON ASSIGNMENT INC DE 2.02,9.01 05/02/07 ON2 TECHNOLOGIES, INC. DE 2.02,9.01 05/03/07 ONYX PHARMACEUTICALS INC DE 8.01 05/02/07 ORACLE CORP 2.04 04/30/07 ORCHID CELLMARK INC 2.02,9.01 05/03/07 ORIENTAL FINANCIAL GROUP INC PR 2.02,9.01 05/03/07 ORMAT TECHNOLOGIES, INC. DE 2.02,9.01 05/03/07 OSHKOSH TRUCK CORP WI 2.02,9.01 05/03/07 OSI RESTAURANT PARTNERS, INC. DE 7.01,9.01 05/03/07 OXIS INTERNATIONAL INC DE 1.01,5.02,9.01 03/08/07 AMEND Palace Entertainment Holdings, Inc. DE 1.01,5.02,9.01 05/01/07 PAM TRANSPORTATION SERVICES INC DE 2.02,9.01 05/02/07 Partners Financial CORP FL 8.01,9.01 05/03/07 PARTNERS TRUST FINANCIAL GROUP INC 2.01 05/03/07 Patriot Capital Funding, Inc. DE 2.02,9.01 05/03/07 PATTERSON COMPANIES, INC. MN 1.01,2.03,9.01 04/27/07 PATTERSON UTI ENERGY INC DE 2.02,9.01 05/03/07 PEETS COFFEE & TEA INC WA 2.02,9.01 05/03/07 PEGASYSTEMS INC MA 2.02,9.01 05/03/07 PENN VIRGINIA CORP VA 2.02,7.01,9.01 05/02/07 Penn Virginia GP Holdings, L.P. 2.02,7.01,9.01 05/02/07 PENN VIRGINIA RESOURCE PARTNERS L P DE 2.02,7.01,9.01 05/02/07 PEOPLES BANCORP INC OH 2.02,5.02,9.01 05/03/07 AMEND PeopleSupport, Inc. DE 2.02,9.01 05/02/07 PEPCO HOLDINGS INC DE 5.03,9.01 03/29/07 AMEND PERMA FIX ENVIRONMENTAL SERVICES INC DE 1.01,3.02,9.01 04/27/07 PETROQUEST ENERGY INC DE 2.02 05/03/07 PetroSouth Energy Corp. 3.02 05/01/07 PharmaNet Development Group Inc DE 2.02,9.01 05/03/07 PHARMION CORP 7.01,9.01 05/03/07 PHILADELPHIA CONSOLIDATED HOLDING COR PA 5.02,9.01 04/27/07 PHOENIX COMPANIES INC/DE DE 2.02,9.01 03/31/07 PHOTOMEDEX INC DE 5.02,9.01 05/01/07 PHOTOMEDEX INC DE 2.02,9.01 05/03/07 PINNACLE AIRLINES CORP DE 1.01,9.01 04/27/07 PIONEER NATURAL RESOURCES CO DE 2.02,9.01 04/30/07 PLAINS EXPLORATION & PRODUCTION CO DE 2.02,7.01,9.01 05/03/07 PLAYTEX PRODUCTS INC DE 2.02,9.01 05/03/07 PLC SYSTEMS INC 2.02,9.01 05/03/07 PMA CAPITAL CORP PA 2.02,9.01 05/03/07 POLYONE CORP 2.02,9.01 05/02/07 POPE RESOURCES LTD PARTNERSHIP DE 2.02,9.01 05/03/07 PPL CORP PA 2.02,7.01 05/03/07 PRIMUS TELECOMMUNICATIONS GROUP INC DE 2.02,9.01 05/03/07 PRINCETON REVIEW INC DE 1.01,5.02,9.01 04/27/07 PROCENTURY CORP 2.02,9.01 05/02/07 Proguard Acquisition CORP FL 8.01 05/01/07 PROLIANCE INTERNATIONAL, INC. DE 7.01,9.01 05/03/07 PROSPECT ENERGY CORP MD 8.01,9.01 05/03/07 PROTALEX INC DE 1.01,9.01 05/03/07 PURE BIOFUELS CORP NV 4.01,9.01 04/27/07 PURE VANILLA EXCHANGE INC NV 2.03,3.02,9.01 05/03/07 QC Holdings, Inc. KS 2.02,8.01,9.01 05/01/07 QLOGIC CORP DE 2.02,9.01 05/03/07 QUANEX CORP DE 7.01 05/03/07 QUANTA SERVICES INC DE 2.02,9.01 05/03/07 QUICKSILVER RESOURCES INC DE 2.02,9.01 05/02/07 RADIATION THERAPY SERVICES INC FL 2.02,9.01 05/02/07 RADIATION THERAPY SERVICES INC FL 2.02,9.01 05/02/07 RAM Holdings Ltd. D0 2.02,9.01 05/03/07 REALTY INCOME CORP MD 2.02,9.01 05/02/07 Red Lion Hotels CORP WA 2.02,9.01 05/03/07 REDDI BRAKE SUPPLY CORP NV 8.01,9.01 05/03/07 AMEND REGENCY CENTERS CORP FL 2.02,9.01 05/02/07 REGENERON PHARMACEUTICALS INC NY 2.02,9.01 05/02/07 REHABCARE GROUP INC DE 2.02,7.01,9.01 05/03/07 RELIANT ENERGY INC DE 2.02,9.01 05/03/07 RENAISSANCERE HOLDINGS LTD 1.01,2.03,9.01 04/27/07 Republic Property Trust MD 2.02,7.01,9.01 05/03/07 RESTORATION HARDWARE INC CA 1.01,9.01 04/27/07 RIGEL PHARMACEUTICALS INC DE 8.01,9.01 04/30/07 RIVERVIEW BANCORP INC WA 2.02,9.01 05/02/07 RIVIERA HOLDINGS CORP NV 1.01 05/03/07 RLI CORP IL 8.01,9.01 05/03/07 RNS SOFTWARE, INC. NV 1.01,9.01 05/03/07 ROFIN SINAR TECHNOLOGIES INC DE 2.02 03/31/07 ROGERS CORP MA 2.02,7.01,9.01 05/02/07 Rosetta Resources Inc. DE 7.01,9.01 05/03/07 ROYAL GOLD INC DE 2.02,9.01 05/03/07 ROYAL GOLD INC DE 8.01,9.01 05/03/07 RUBICON FINANCIAL INC DE 9.01 02/01/07 AMEND SABINE ROYALTY TRUST TX 2.02,9.01 05/03/07 SAFEGUARD SCIENTIFICS INC PA 2.02,9.01 05/03/07 SALIX PHARMACEUTICALS LTD 8.01,9.01 05/02/07 SALOMON SMITH BARNEY AAA ENERGY FUND 3.02 05/01/07 SALOMON SMITH BARNEY ORION FUTURES FU 3.02 05/01/07 SANTA FE ENERGY TRUST TX 4.02,8.01,9.01 05/03/07 SAVE THE WORLD AIR INC NV 8.01,9.01 04/27/07 SAVVIS, Inc. DE 8.01,9.01 05/03/07 SCIENTIFIC GAMES CORP DE 2.02,9.01 05/03/07 SCPIE HOLDINGS INC DE 2.02,9.01 03/31/07 SECURE COMPUTING CORP DE 1.01,9.01 04/30/07 SENOMYX INC DE 2.02,9.01 05/03/07 SHARPS COMPLIANCE CORP DE 8.01 05/02/07 SHAW GROUP INC LA 2.04,9.01 04/30/07 Shine Media Acquisition Corp. DE 5.02 04/30/07 Shire plc 8.01,9.01 05/03/07 SHOE PAVILION INC DE 5.02,9.01 05/03/07 SHORE BANCSHARES INC MD 7.01,9.01 05/02/07 SHORE BANCSHARES INC MD 5.02,8.01,9.01 01/24/07 AMEND SHUTTERFLY INC 2.02,9.01 05/03/07 SIGMATEL INC DE 2.02,9.01 05/03/07 SILICON IMAGE INC DE 2.02,9.01 05/03/07 SILVERLEAF RESORTS INC 7.01,9.01 05/01/07 SINCLAIR BROADCAST GROUP INC MD 8.01,9.01 05/02/07 SIRVA INC DE 1.01,5.02,8.01,9.01 04/27/07 SMART ONLINE INC 5.02 04/18/07 SMITH BARNEY POTOMAC FUTURES FUND LP 3.02 05/01/07 SMITH BARNEY WESTPORT FUTURES FUND LP 3.02 05/01/07 SOHU COM INC DE 2.02,9.01 05/03/07 SOUTH TEXAS OIL CO NV 4.02 05/03/07 SOUTHWEST GAS CORP CA 5.02,5.03 05/02/07 SOVEREIGN BANCORP INC PA 7.01,9.01 05/03/07 SPARK NETWORKS PLC X0 2.02,8.01 05/03/07 SPIRIT FINANCE CORP 2.02,7.01,9.01 05/03/07 Sputnik, Inc. NV 9.01 05/02/07 SRS LABS INC DE 2.02,9.01 05/03/07 ST JOE CO FL 1.01,9.01 04/30/07 STANDARD PARKING CORP DE 2.02,7.01 05/02/07 STAR SCIENTIFIC INC DE 8.01 05/02/07 STARBUCKS CORP WA 2.02,8.01,9.01 05/03/07 STEINWAY MUSICAL INSTRUMENTS INC DE 2.02,9.01 05/03/07 STERLING BANCORP NY 7.01,9.01 05/02/07 STERLING BANCORP NY 8.01 05/03/07 STRAYER EDUCATION INC MD 2.02,9.01 05/03/07 SUN RIVER ENERGY, INC CO 3.02 04/30/07 SUNGARD DATA SYSTEMS INC DE 2.02,9.01 05/03/07 SUNOCO INC PA 2.02,7.01,9.01 05/02/07 SUNRISE SENIOR LIVING INC DE 5.02,9.01 05/02/07 Sunstone Hotel Investors, Inc. MD 2.02,9.01 05/02/07 SUPERIOR ENERGY SERVICES INC DE 2.02,9.01 05/02/07 SUPERIOR ESSEX INC DE 5.02,9.01 05/03/07 SWIFT ENERGY CO 2.02,9.01 05/03/07 SYNTEL INC MI 5.02 04/27/07 SYS CA 2.02,9.01 05/02/07 TECHWELL INC 2.02,9.01 05/03/07 TEKELEC CA 2.02,9.01 05/03/07 TEKOIL & GAS CORP DE 1.01,9.01 04/30/07 TELECOMMUNICATION SYSTEMS INC /FA/ 2.02,9.01 05/03/07 TELEPHONE & DATA SYSTEMS INC /DE/ DE 3.01,9.01 04/30/07 TELIK INC DE 2.02,9.01 05/03/07 TENNANT CO MN 1.02,9.01 05/03/07 TERCICA INC DE 2.02,9.01 05/03/07 TESCO CORP 2.02,9.01 05/02/07 TESORO CORP /NEW/ DE 2.02,8.01,9.01 05/01/07 TESORO CORP /NEW/ DE 7.01,9.01 05/01/07 TESSERA TECHNOLOGIES INC DE 2.02,9.01 05/03/07 TETRA TECH INC DE 2.02,5.02,9.01 05/02/07 THIRD WAVE TECHNOLOGIES INC /WI DE 2.02,9.01 05/03/07 THOMAS GROUP INC DE 1.01,9.01 04/27/07 THORATEC CORP CA 2.02 05/03/07 TIERONE CORP 2.02,9.01 05/02/07 Tim Hortons Inc. DE 2.02,5.02,7.01,9.01 05/03/07 TIME WARNER TELECOM INC DE 1.01,2.02,9.01 05/02/07 TLC VISION CORP A6 8.01,9.01 05/03/07 TODCO DE 2.02,9.01 05/03/07 TONGA CAPITAL CORP CO 5.02,9.01 04/20/07 TOWER AUTOMOTIVE INC DE 1.01,8.01,9.01 05/01/07 Tower Group, Inc. DE 2.02,9.01 05/03/07 TRANSACT TECHNOLOGIES INC DE 2.02,9.01 05/03/07 TREDEGAR CORP VA 2.02,9.01 05/02/07 TRENWICK GROUP LTD 8.01,9.01 05/01/07 TRICO BANCSHARES / CA 1.01,5.02,9.01 04/26/07 TRIMBLE NAVIGATION LTD /CA/ CA 2.02,9.01 05/03/07 TRINITY INDUSTRIES INC DE 2.02,7.01 05/02/07 TRINITY INDUSTRIES INC DE 2.02,7.01 05/02/07 AMEND TRIQUINT SEMICONDUCTOR INC DE 5.02 04/27/07 TRONOX INC DE 2.01,9.01 05/02/07 TRUE PRODUCT ID, INC. DE 5.02,9.01 05/03/07 TRUMP ENTERTAINMENT RESORTS, INC. DE 2.02,5.01,7.01,9.01 05/03/07 TRX INC/GA GA 2.02,9.01 05/03/07 TXU CORP /TX/ TX 8.01 04/30/07 U S PHYSICAL THERAPY INC /NV NV 2.02 05/03/07 UIL HOLDINGS CORP CT 2.02,9.01 05/03/07 ULTRALIFE BATTERIES INC DE 2.02,9.01 05/03/07 UNICA CORP 2.02,9.01 05/03/07 UNION BANKSHARES CORP VA 7.01,8.01,9.01 04/27/07 UNIT CORP DE 2.02,9.01 05/03/07 UNITED BANCORPORATION OF ALABAMA INC DE 5.02,9.01 05/02/07 UNITED RENTALS INC /DE DE 2.02,9.01 05/02/07 UNIVERSAL ELECTRONICS INC DE 2.02,9.01 05/03/07 UNIVISION COMMUNICATIONS INC DE 8.01,9.01 05/03/07 USA TECHNOLOGIES INC PA 7.01 03/06/07 UTEK CORP 8.01,9.01 04/30/07 VALASSIS COMMUNICATIONS INC DE 2.02,9.01 05/03/07 VENTAS INC DE 8.01 05/03/07 VENTAS INC DE 1.01,9.01 04/27/07 VERSO TECHNOLOGIES INC MN 2.02,9.01 05/03/07 VERTIS INC DE 5.02 04/30/07 VICAL INC DE 2.02,9.01 05/03/07 VIEWPOINT CORP DE 2.01,9.01 04/30/07 VINEYARD NATIONAL BANCORP CA 2.02,9.01 05/03/07 VITRAN CORP INC 8.01 05/02/07 WALTER INDUSTRIES INC /NEW/ DE 2.02,9.01 05/02/07 WARWICK VALLEY TELEPHONE CO NY 8.01,9.01 05/03/07 WATERFORD GAMING LLC DE 8.01 05/03/07 WEB.COM, INC. MN 2.02,9.01 05/03/07 WEIGHT WATCHERS INTERNATIONAL INC VA 2.02,9.01 05/03/07 Western Refining, Inc. DE 2.02,9.01 05/03/07 WESTLAKE CHEMICAL CORP 2.02,9.01 05/03/07 WEYCO GROUP INC WI 2.02,9.01 05/02/07 WIFIMED HOLDINGS COMPANY, INC. NV 4.01,9.01 04/30/07 WILD OATS MARKETS INC DE 2.02,9.01 05/03/07 Willdan Group, Inc. DE 2.02,9.01 05/03/07 WILLIAMS COMPANIES INC DE 2.02,9.01 05/03/07 Williams Partners L.P. 2.02,9.01 05/03/07 WINLAND ELECTRONICS INC MN 2.02,9.01 05/03/07 WJ COMMUNICATIONS INC DE 5.02,9.01 04/27/07 WORLD WRESTLING ENTERTAINMENTINC DE 2.02,9.01 05/03/07 XL CAPITAL LTD 1.01 04/27/07 YADKIN VALLEY FINANCIAL CORP NC 2.02,9.01 04/30/07 ZYMOGENETICS INC WA 2.02,9.01 05/02/07