SEC NEWS DIGEST Issue 2007-106 June 4, 2007 COMMISSION ANNOUNCEMENTS JOHN WHITE TO TESTIFY John W. White, Director of the Commission's Division of Corporation Finance, will testify before the Senate Permanent Subcommittee on Investigations on Tuesday, June 5, concerning Tax and Accounting Issues Related to Employee Stock Option Compensation. The hearing will begin at 9:00 a.m. in Room 342 of the Dirksen Senate Office Building. ENFORCEMENT PROCEEDINGS COMMISSION DECLARES INITIAL DECISION FINAL AS TO SNELL AND LECROY The decision of an administrative law judge barring Anthony C. Snell and Charles E. LeCroy from associating with any broker, dealer or municipal securities dealer; and, also dismissing charges against them of willfully violating Rule G-38 of the Municipal Securities Rulemaking Board and Section 15B(c)(1) of the Exchange Act has become final. The law judge found that Snell, of Smyrna, Georgia, a member of J.P. Morgan's (JPM) public finance group and LeCroy of Winter Park, Florida, Snell's supervisor, each pleaded guilty to two counts of wire fraud. The law judge found that, in April 2003, Snell and LeCroy devised a scheme to pay Ronald A. White, an attorney in Philadelphia, with close ties to Philadelphia's mayor, to ensure that White would use his influence to procure work for JPM . Snell had held meetings with White to discuss the possibility of JPM retaining White as their Rule G-38 consultant (although the draft Rule G-38 agreement was never executed). Snell and LeCroy intended to retain White's law firm in connection with a Mobile Alabama school district transaction. However, the Alabama law firm that served as underwriter's counsel did not want to share liability with an out-of-state law firm; and, they were also unwilling to split their fees with White's firm. With Snell and LeCroy's urging, White submitted an invoice to JPM in the amount of $50,000 as a fee for services as a special counsel on the project. These fees were calculated on the basis of what White would have received, if he had, in fact, been hired for the project. Both Snell and LeCroy knew that the invoice White submitted to JPM was fraudulent, since White had performed no legal work on the Mobile transaction. Snell and LeCroy have both served their sentences for the wire fraud convictions. Snell was sentenced to ninety days of house arrest and three years of probation. LeCroy was sentenced to three months of incarceration, followed by two years of supervised release, including ninety days of home custody. LeCroy paid $50,000 in restitution. Both Snell and LeCroy were fined $15,000 and a $200 special assessment. The law judge concluded that the record did not support a finding that either Snell or LeCroy violated Rule G-38 or Exchange Act Section 15(B)(1). (Rel. 34-55850; File No. 3-12359) IN THE MATTER OF JUSTIN SCOTT On June 4, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (Order) against Justin Scott. The Order finds that Scott, age 49, a resident of Marblehead, Massachusetts, was a portfolio manager, managing director and chief investment officer of Putnam Investments (Putnam), a registered investment adviser. Putnam is the investment adviser for the Putnam Family of Funds and is the sub-adviser to certain unaffiliated institutional portfolios. On June 4, a final judgment was entered by consent against Scott, permanently enjoining him from future violations of Sections 206(1) and 206(2) of the Advisers Act, in the civil action entitled SEC v. Justin Scott and Omid Kamshad, Civil Action Number 03-12082, in the U.S. District Court for the District of Massachusetts. The final judgment provides that Scott is liable for disgorgement in the amount of $489,439, plus prejudgment interest thereon in the amount of $159,474, and a civil penalty in the amount of $400,000, for a total monetary obligation of $1,048,914. The final judgment further provides that Scott shall satisfy his monetary obligation by paying $524,457 to the Securities and Exchange Commission, together with proof of payment of $524,427 to the Secretary of State of the Commonwealth of Massachusetts in connection with a related action, In the Matter of Putnam Investment Management, Inc. et al., Docket No. E-2003-061. The Commission's complaint alleged that Scott engaged in inappropriate trading of Putnam mutual funds shares in his Putnam-administered deferred compensation and retirement accounts, including trading of shares of funds over which he exercised investment authority, in violation of Sections 206(1) and (2) of the Advisers Act. Based on the above, the Order suspends Scott from association with any investment adviser for a period of twelve months from the date of this Order. Scott consented to the issuance of the Order without admitting or denying any of the findings except as to the Commission's jurisdiction over him, the subject matter of the proceedings and the entry of the federal court's final judgment. (Rel. IA-2608; File No. 3-12650) IN THE MATTER OF OMID KAMSHAD On June 4, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (Order) against Omid Kamshad. The Order finds that Kamshad, 44 years old, a resident of London, England, was a portfolio manager, managing director and chief investment officer of Putnam Investments (Putnam), a registered investment adviser. Putnam is the investment adviser for the Putnam Family of Funds and is the sub-adviser to certain unaffiliated institutional portfolios. On June 4, a final judgment was entered by consent against Kamshad, permanently enjoining him from future violations of Sections 206(1) and 206(2) of the Advisers Act, in the civil action entitled SEC v. Justin Scott and Omid Kamshad, Civil Action Number 03-12082, in the U.S. District Court for the District of Massachusetts. The final judgment provides that Kamshad is liable for disgorgement in the amount of $57,157, plus prejudgment interest thereon in the amount of $13,709, and a civil penalty in the amount of $400,000, for a total monetary obligation of $470,866. The final judgment further provides that Kamshad shall satisfy his monetary obligation by paying $235,433 to the Securities and Exchange Commission, together with proof of payment of $235,433 to the Secretary of State of the Commonwealth of Massachusetts in connection with a related action, In the Matter of Putnam Investment Management, Inc. et al., Docket No. E-2003-061. The Commission"s complaint alleged that Kamshad engaged in inappropriate trading of Putnam mutual funds shares in his Putnam-administered deferred compensation and retirement accounts, including trading of shares of funds over which he exercised investment authority, in violation of Sections 206(1) and (2) of the Advisers Act. Based on the above, the Order suspends Kamshad from association with any investment adviser for a period of twelve months from the date of this Order. Kamshad consented to the issuance of the Order without admitting or denying any of the findings except as to the Commission's jurisdiction over him, the subject matter of the proceedings and the entry of the federal court's final judgment. (Rel. IA-2609; File No. 3-12651) COMMISSION FILES SUBPOENA ENFORCEMENT ACTION AGAINST O.J. CHIDOLUE The Commission filed an application on June 1 in the U.S. District Court for the District of Columbia for an order to enforce an investigative subpoena served on O.J. Chidolue of Houston, Texas. The Commission's application and supporting papers allege that, on Feb. 2, 2006, the Commission issued a formal order of private investigation authorizing its staff to investigate whether ERHC Energy Inc., a Colorado-incorporated, publicly-traded company operating out of Houston, Texas (ERHC), and others may have violated certain of the anti-bribery, books and records, and internal controls provisions of the federal securities laws. On Nov. 15, 2006, the Commission served an investigative subpoena on Chidolue, requiring him to produce documents relevant to the investigation and to appear before the Commission staff for testimony. The Commission alleges that, despite a number of extensions of time granted to Chidolue, as of the date of the application, he has failed to produce the subpoenaed documents and has failed to appear for testimony. Accordingly, the Commission seeks a court order to compel him to produce the subpoenaed documents and to appear for testimony. The Commission alleges that Chidolue, an attorney licensed and practicing in Houston, Texas, is counsel for Chrome Energy, LLC (Chrome Energy), a Delaware limited liability company also based in Houston, Texas. Chrome Oil Services Ltd., a subsidiary of Chrome Energy, is the majority shareholder of ERHC. The Commission further alleges that, in addition to Chidolue's legal representation of Chrome Energy, he also served, during at least a portion of the time period of 2005-2007, as the Secretary and a director of Chrome Management Services Inc. (Chrome Management). Chrome Management is a Texas corporation affiliated with Chrome Energy. The Commission's subpoena required Chidolue to produce, among other things, certain documents concerning the business activities of ERHC, Chrome Energy, and its affiliates. A hearing on the Commission's application has not yet been scheduled. [SEC v. O.J. Chidolue, Civil Action No. 1: 07-MC-00247 (D.D.C.)] (LR- 20139) SEC v. HAROLD S. LONGS AND YOUR MONEY WORTH, INC. On June 1, the Commission filed an emergency action against Harold S. Longs (Longs) and Your Money Worth, Inc. (YMW), alleging that the defendants have raised at least $755,000 and defrauded over 60 investors by promising annual returns of up to 96% in connection with the unregistered offer and sale of YMW securities. In its complaint, the SEC alleges that from at least January 2006 to the present, the defendants solicited investors nationwide by selling memberships into a "private community of invested believers sharing a new trend of higher finance." The complaint further alleges that, after paying a membership fee, investors are allowed to invest in any of at least eight investment programs or "opportunities" that claim to guarantee principal and provide investors with annual returns from 36% to 96% through investments in "high growth investment products on all major markets of the world." In actuality, the complaint alleges, the defendants used investor funds to pay the returns in a classic Ponzi scheme. The complaint also alleges that the defendants enriched themselves at the expense of investors by misappropriating investor funds for their benefit, including payments to restaurants, hotels, and airlines. The complaint charges Longs and YMW with violating Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933, and Section 10(b) of Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The court granted, among other relief, a temporary restraining order that included an asset freeze. In its enforcement action, the SEC is seeking additional relief, including permanent injunctions, disgorgement, and civil penalties against Longs and YMW. [SEC v. Harold S. Longs and Your Money Worth, Inc., Civil Action No. 4-07-CV- 00000537-SWW (U.S.D.C./E.D. Arkansas, Western Division)] (LR-20140) SEC SETTLES ACTION AGAINST FORMER PUTNAM PORTFOLIO MANAGERS The Commission announced today that a final judgment by consent was entered by the U.S. District Court of the District of Massachusetts against Justin Scott and Omid Kamshad, two former Managing Directors and portfolio managers at Putnam Investments. The final judgments against Scott, age 49 of Marblehead, Massachusetts, and Kamshad, age 44, of London, England, permanently enjoin them from violating antifraud provisions of the Investment Advisers Act, require them to disgorge their ill-gotten gain, plus prejudgment interest, and order them each to pay a $400,000 civil penalty. Scott and Kamshad have also consented to entry of an Order suspending them from association with an investment adviser for one year. The Commission's complaint, filed Oct. 28, 2003, alleged that Scott and Kamshad engaged in inappropriate trading of Putnam mutual funds shares, including in mutual funds over which they had investment authority. The Commission charged that Scott and Kamshad's short-term trades, which were made in their Putnam-administered deferred compensation and retirement accounts, violated their responsibilities to other fund shareholders, that Scott and Kamshad failed to disclose their trading and that, by their trading, they potentially harmed other fund shareholders. To settle the Commission's charges, Scott consented, without admitting or denying the allegations of the complaint, to the entry of a final judgment permanently enjoining him from violation of Sections 206(1) and (2) of the Advisers Act. The judgment orders Scott to pay disgorgement of ill-gotten gain in the amount of $489,439, plus prejudgment interest in the amount of $159,475. The judgment also orders Scott to pay a civil penalty in the amount of $400,000. The judgment provides that half of Scott's total liability of $1,048,914 may be offset by payments made by Scott to settle a related action brought by the Secretary of State of the Commonwealth of Massachusetts. In addition, Scott also consented to the issuance of an SEC order, based on the entry of the injunction in the federal court action, which suspends him from association with any investment adviser for one year. To settle the Commission's charges, Kamshad similarly consented, without admitting or denying the allegations of the complaint, to the entry of a final judgment permanently enjoining him from violation of Sections 206(1) and (2) of the Advisers Act. The judgment orders Kamshad to pay disgorgement of ill-gotten gain in the amount of $57,157, plus prejudgment interest in the amount of $13,709. The judgment also orders Kamshad to pay a civil penalty in the amount of $400,000. The judgment provides that half of Kamshad's total liability of $470,866 may be offset by payments made by Kamshad to settle a related action brought by the Secretary of State of the Commonwealth of Massachusetts. In addition, Kamshad also consented to the issuance of an SEC order, based on the entry of the injunction in the federal court action, which suspends him from association with any investment adviser for one year. For further information, see Litigation Release No. 18428 (Oct. 28, 2003). The Commission acknowledges the assistance of the Secretary of State of the Commonwealth of Massachusetts in this matter. [SEC v. Justin Scott and Omid Kamshad, et al., Civil Action No. 03-12082-EFH (D. Mass.)] (LR-20141) INVESTMENT COMPANY ACT RELEASES AMERISTOCK ETF TRUST, ET AL. A notice has been issued giving interested persons until June 25 to request a hearing on an application filed by Ameristock ETF Trust, et al. for an order to permit (a) series of registered open-end management investment companies based on certain fixed-income securities indices, to issue shares that can be redeemed only in large aggregations, (b) secondary market transactions in shares of the series to occur at negotiated prices, (c) dealers to sell the series' shares to purchasers in the secondary market unaccompanied by a prospectus when prospectus delivery is not required by the Securities Act of 1933, and (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series. (Rel. IC-27847 - May 30) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change (SR-NYSEArca-2007-51) filed by NYSE Arca relating to extension of pilot program for initial and continued financial listing standards for common stock until Nov. 30, 2007, 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 June 4. (Rel. 34-55838) PROPOSED RULE CHANGE The American Stock Exchange filed a proposed rule change (SR-Amex- 2004-27), as modified by Amendment Nos. 2 and 3 thereto, relating to the listing and trading of Fixed Return Options. Publication is expected in the Federal Register during the week of June 4. (Rel. 34- 55843) ADDITIONS AND CORRECTIONS An incorrect release number was included in the May 31st issue of the Digest pertaining to SR-Amex-2007-52 under SELF-REGULATORY ORGANIZATIONS. The correct release number is 34-55824. 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 CHINA EXPERT TECHNOLOGY, INC., RM 2611-13 GREAT EAGLE CENTRE, 23 HARBOUR ROAD, WANCHAI, K3, 00000, 852 2802 1555 - 10,443,150 ($64,434,235.50) Equity, (File 333-143430 - Jun. 1) (BR. 09A) S-4 Complete Production Services, Inc., 11700 OLD KATY ROAD, SUITE 300, HOUSTON, TX, 77079, 281-372-2300 - 0 ($650,000,000.00) Non-Convertible Debt, (File 333-143431 - Jun. 1) (BR. 04) S-8 PINNACLE WEST CAPITAL CORP, 400 NORTH FIFTH STREET, ., PHOENIX, AZ, 85004, 6023792500 - 8,858,287 ($406,063,876.08) Equity, (File 333-143432 - Jun. 1) (BR. 02B) S-8 INTUITIVE SURGICAL INC, 4085232100 - 2,242,421 ($305,350,467.57) Equity, (File 333-143433 - Jun. 1) (BR. 10B) S-3 ELITE PHARMACEUTICALS INC /DE/, 165 LUDLOW AVENUE, NORTHVALE, NJ, 07647, 2017502646 - 3,186,094 ($7,359,877.00) Equity, (File 333-143434 - Jun. 1) (BR. 01A) SB-2 Healthsport, Inc., 7633 E 63RD PLACE, SUITE 220, TULSA, OK, 74133, 877-570-4776 - 22,249,952 ($48,949,894.40) Equity, (File 333-143435 - Jun. 1) (BR. 08C) S-8 WEST PHARMACEUTICAL SERVICES INC, 101 GORDON DR, P O BOX 645, LIONVILLE, PA, 19341-0645, 6105942900 - 1,100,000 ($53,999,000.00) Equity, (File 333-143437 - Jun. 1) (BR. 06B) S-8 BANCINSURANCE CORP, 250 EAST BROAD STREET, 10TH FLOOR, COLUMBUS, OH, 43215, 6142282800 - 350,000 ($2,231,308.80) Equity, (File 333-143438 - Jun. 1) (BR. 01A) SB-2 RidgeStone Resources, Inc., 1806 LONDON STREET, NEW WESTMINSTER, A1, V3M 3E3, (778) 227-0111 - 4,140,000 ($41,400.00) Equity, (File 333-143439 - Jun. 1) (BR. 04) S-3 TUTOGEN MEDICAL INC, 13709 PROGRESS BLVD., ALACHUA, FL, 32615, 386-462-0402 - 1,626,012 ($16,390,200.96) Equity, (File 333-143440 - Jun. 1) (BR. 09A) S-3 Oncologix Tech Inc., 2850 THORNHILLS AVE. SE, SUITE 104, GRAND RAPIDS, MI, 49546, 616-977-9933 - 6,746,684 ($2,901,074.00) Equity, (File 333-143441 - Jun. 1) (BR. 11C) S-8 LSB FINANCIAL CORP, 101 MAIN ST, LAFAYETTE, IN, 47902, 7657421064 - 81,000 ($2,017,710.00) Equity, (File 333-143442 - Jun. 1) (BR. 07A) S-1 BPZ ENERGY INC, 580 WESTLAKE PARK BLVD., SUITE 525, HOUSTON, TX, 77079, 2815566200 - 0 ($42,287,800.00) Equity, (File 333-143443 - Jun. 1) (BR. 04A) S-4 Dollarama Group Holdings L.P., 5430 FERRIER, MONTREAL, A8, H4P1M2, 514-737-1006 - 0 ($383,600,000.00) Non-Convertible Debt, (File 333-143444 - Jun. 1) (BR. 02) S-8 BRYN MAWR BANK CORP, 801 LANCASTER AVE, BRYN MAWR, PA, 19010, 6105252300 - 0 ($9,836,878.00) Equity, (File 333-143445 - Jun. 1) (BR. 07C) S-8 INTROGEN THERAPEUTICS INC, 301 CONGRESS AVE, SUITE 1850, AUSTIN, TX, 78701, 5127089310 - 0 ($7,280,000.00) Equity, (File 333-143446 - Jun. 1) (BR. 01A) SB-2 ARBIOS SYSTEMS INC, 8797 BEVERLY BOULEVARD, #206, LOS ANGELES, CA, 90048, (310) 657-4898 - 746,602 ($627,145.68) Equity, (File 333-143447 - Jun. 1) (BR. 10A) S-8 INTELLI CHECK INC, 246 CROSSWAYS PARK WEST, ., WOODBURY, NY, 11797, 516-992-1900 - 1,925,000 ($11,406,058.00) Equity, (File 333-143448 - Jun. 1) (BR. 03C) SB-2 SKYSTAR BIO-PHARMACEUTICAL CO, RM 10601, JIEZUO PLAZA, NO. 4, FENGHUI ROAD SOUTH, GAOXIN DISTRICT, XIAN PROVINCE, F4, 00000, 407-645-4433 - 4,727,000 ($4,963,350.00) Equity, (File 333-143449 - Jun. 1) (BR. 03A) S-3 ONE LIBERTY PROPERTIES INC, 60 CUTTER MILL RD, SUITE 303, GREAT NECK, NY, 11021-3190, 5164663100 - 750,000 ($17,347,500.00) Equity, (File 333-143450 - Jun. 1) (BR. 08C) S-3ASR KKR Financial Holdings LLC, 555 CALIFORNIA STREET, 50TH FLOOR, SAN FRANCISCO, CA, 94104, (415) 315-3620 - 0 ($0.00) Other, (File 333-143451 - Jun. 1) (BR. 08B) S-3 CELL THERAPEUTICS INC, 501 ELLIOTT AVE W, STE 400, SEATTLE, WA, 98119, 2062707100 - 0 ($150,000,000.00) Unallocated (Universal) Shelf, (File 333-143452 - Jun. 1) (BR. 01A) S-3 HQ SUSTAINABLE MARITIME INDUSTRIES, INC., MELBOURNE TOWERS, 1511 THIRD AVENUE,, SUITE 788, SEATTLE, WA, 98101, 206-621-9888 - 0 ($16,675,200.00) Equity, (File 333-143453 - Jun. 1) (BR. 04B) S-3 China Precision Steel, Inc., 8TH FLOOR, TEDA BUILDING, 87 WING LOK STREET, SHEUNGWAN, HONG KONG, K3, 000, 86 21 5994 8500 - 0 ($50,000,000.00) Equity, (File 333-143454 - Jun. 1) (BR. 06A) S-3 WELLS FARGO STUDENT LOANS RECEIVABLES I LLC, MAC #N9305-173, SIXTH & MARQUETTE, MINNEAPOLIS, MN, 55479, 6126672085 - 1,000,000 ($1,000,000.00) Asset-Backed Securities, (File 333-143455 - Jun. 1) (BR. 07) SB-2 De Beira Goldfields Inc., 30 LEDGAR ROAD, BALCATTA, C3, 6021, 011-61-89-240-2836 - 13,882,500 ($11,106,000.00) Equity, (File 333-143456 - Jun. 1) (BR. 04) S-8 EMC INSURANCE GROUP INC, 717 MULBERRY ST, DES MOINES, IA, 50309, 5153452902 - 2,000,000 ($48,950,000.00) Equity, (File 333-143457 - Jun. 1) (BR. 01C) S-8 RED ROBIN GOURMET BURGERS INC, 6312 FIDDLER'S GREEN CIRCLE, GREENWOOD VILLAGE, CO, 80111, 3038466000 - 0 ($42,810,000.00) Equity, (File 333-143458 - Jun. 1) (BR. 05C) S-3 ALMOST FAMILY INC, 9510 ORMSBY STATION ROAD, STE 300, LOUISVILLE, KY, 40223, 5028911000 - 0 ($86,590,000.00) Unallocated (Universal) Shelf, (File 333-143459 - Jun. 1) (BR. 09B) S-8 XM SATELLITE RADIO HOLDINGS INC, 1500 ECKINGTON PL NE, WASHINGTON, DC, 20002, 2023804000 - 0 ($290,750,000.00) Equity, (File 333-143460 - Jun. 1) (BR. 11B) S-8 MOTORSPORTS EMPORIUM, INC., 16055 N. DIAL BLVD., SUITE 5, SCOTTSDALE, AZ, 85260, 480-419-8607 - 2,900,000 ($290,000.00) Equity, (File 333-143461 - Jun. 1) (BR. 05C) S-8 RadNet, Inc., 1516 COTNER AVE, LOS ANGELES, CA, 90025, 3104787808 - 1,000,000 ($6,750,000.00) Equity, (File 333-143462 - Jun. 1) (BR. 09B) S-3 Alliance Holdings GP, L.P., P.O. BOX 22027, TULSA, OK, 74121, 918-295-7600 - 47,363,000 ($1,310,534,210.00) Equity, (File 333-143463 - Jun. 1) (BR. 04B) SB-2 American Media Systems Co., 5190 NEIL ROAD, SUITE 430, RENO, NV, 89502, 866-651-2219 - 8,000,000 ($400,000.00) Equity, (File 333-143464 - Jun. 1) (BR. 05A) S-8 Nuance Communications, Inc., 1 WAYSIDE ROAD, BURLINGTON, MA, 01803, 781-565-5000 - 640,284 ($3,380,699.52) Equity, (File 333-143465 - Jun. 1) (BR. 03C) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: 1.01 Entry into a Material Definitive Agreement 1.02 Termination of a Material Definitive Agreement 1.03 Bankruptcy or Receivership 2.01 Completion of Acquisition or Disposition of Assets 2.02 Results of Operations and Financial Condition 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant 2.04 Triggering Events That Accelerate or Increase a Direct Financial Obligation under an Off-Balance Sheet Arrangement 2.05 Cost Associated with Exit or Disposal Activities 2.06 Material Impairments 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 3.02 Unregistered Sales of Equity Securities 3.03 Material Modifications to Rights of Security Holders 4.01 Changes in Registrant's Certifying Accountant 4.02 Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review 5.01 Changes in Control of Registrant 5.02 Departure of Directors or Principal Officers; Election of Directors; Appointment of Principal Officers 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year 5.04 Temporary Suspension of Trading Under Registrant's Employee Benefit Plans 5.05 Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics 6.01. ABS Informational and Computational Material. 6.02. Change of Servicer or Trustee. 6.03. Change in Credit Enhancement or Other External Support. 6.04. Failure to Make a Required Distribution. 6.05. Securities Act Updating Disclosure. 7.01 Regulation FD Disclosure 8.01 Other Events 9.01 Financial Statements and Exhibits 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. 20549-1090 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE 8K ITEM NO. NAME OF ISSUER CODE DATE COMMENT 1 800 CONTACTS INC DE 1.01,8.01,9.01 05/25/07 1ST SOURCE CORP IN 2.01,9.01 06/01/07 21ST CENTURY HOLDING CO FL 1.01,9.01 06/01/07 ACRONGENOMICS INC NV 5.02,9.01 05/08/07 ACTIVISION INC /NY DE 2.02,9.01 05/31/07 ADUDDELL INDUSTRIES INC CO 1.01,5.02,9.01 05/25/07 ADVANCE AUTO PARTS INC DE 5.02,7.01,9.01 05/25/07 Advance Nanotech, Inc. DE 7.01 06/01/07 ADVANCED ENVIRONMENTAL RECYCLING TECH DE 5.02 06/01/07 AEROSONIC CORP /DE/ DE 1.02,2.02,9.01 05/25/07 AFC ENTERPRISES INC MN 2.02,9.01 05/31/07 AFFILIATED COMPUTER SERVICES INC DE 2.06 05/31/07 AGILYSYS INC OH 1.01,7.01,9.01 05/25/07 AIRNET SYSTEMS INC OH 5.02,9.01 05/29/07 ALFACELL CORP DE 5.02 05/25/07 Alliance Holdings GP, L.P. DE 7.01,9.01 06/01/07 ALLIANCE RESOURCE PARTNERS LP DE 7.01,9.01 06/01/07 ALLIED WASTE INDUSTRIES INC DE 1.01 05/29/07 ALLOS THERAPEUTICS INC DE 8.01,9.01 05/31/07 ALMOST FAMILY INC DE 5.02 05/25/07 Alternative Loan Trust 2007-14T2 DE 8.01,9.01 05/30/07 American Home Mortgage Assets Trust 2 DE 8.01,9.01 05/31/07 American Home Mortgage Assets Trust 2 DE 9.01 05/31/07 AMERICAN MEDIA OPERATIONS INC DE 5.02 05/29/07 AMERICAN TOWER CORP /MA/ DE 5.02,9.01 05/31/07 AMERICAN URANIUM CORP NV 5.02 05/29/07 AMERIGROUP CORP 8.01 05/30/07 AMERISOURCEBERGEN CORP DE 5.04 05/25/07 AMPCO PITTSBURGH CORP PA 8.01 06/01/07 AMSCAN HOLDINGS INC DE 1.01,1.02,2.03,9.01 05/25/07 ANTHRACITE CAPITAL INC MD 1.01,2.03,9.01 05/29/07 APPLE HOSPITALITY FIVE INC VA 8.01,9.01 06/01/07 ARCH CHEMICALS INC VA 5.02 05/25/07 ARCHSTONE SMITH OPERATING TRUST 1.01,5.02,5.03,9.01 05/28/07 ARCHSTONE SMITH TRUST MD 1.01,5.02,9.01 05/28/07 ARISTOTLE CORP DE 7.01,9.01 04/16/07 ARROWHEAD RESEARCH CORP DE 5.02 05/29/07 ARTHROCARE CORP DE 8.01,9.01 05/31/07 ARVINMERITOR INC IN 1.01,2.01,9.01 05/17/07 AMEND ASSURANCEAMERICA CORP NV 8.01,9.01 05/31/07 AT&T INC. DE 5.02 04/27/07 AMEND ATHEROGENICS INC GA 2.05,8.01,9.01 05/31/07 ATS MEDICAL INC MN 8.01 05/31/07 AUXILIO INC NV 5.02 06/01/07 AVICI SYSTEMS INC DE 5.02,8.01,9.01 05/31/07 AXS ONE INC DE 2.03,3.02,5.02,9.01 05/29/07 BALLY TOTAL FITNESS HOLDING CORP DE 5.02,8.01,9.01 05/28/07 BANDAG INC IA 2.01,3.01,5.01,5.02,8.01,9.01 05/31/07 BANK OF AMERICA CORP /DE/ DE 8.01,9.01 05/23/07 BEARINGPOINT INC DE 1.01,2.03,8.01 06/01/07 BEKEM METALS INC UT 5.02,9.01 05/30/07 BELK INC 2.02,9.01 05/30/07 BELLAVISTA CAPITAL INC MD 2.02,9.01 06/01/07 BIG 5 SPORTING GOODS CORP DE 4.01,9.01 05/25/07 BIOMET INC IN 8.01 05/31/07 BJs RESTAURANTS INC CA 8.01,9.01 06/01/07 BLACK BOX CORP DE 8.01 05/29/07 BOOKHAM, INC. DE 1.01 05/28/07 BRIDGFORD FOODS CORP CA 2.02,9.01 06/01/07 BRINKER INTERNATIONAL INC DE 7.01,8.01,9.01 05/30/07 Burger King Holdings Inc DE 8.01,9.01 05/31/07 CACI INTERNATIONAL INC /DE/ DE 2.01,7.01,8.01,9.01 06/01/07 CALAIS RESOURCES INC 4.01 05/25/07 Calibre Energy, Inc. NV 3.03,9.01 05/31/07 CANO PETROLEUM, INC 2.03 05/31/07 CANYON RESOURCES CORP DE 5.03,9.01 05/31/07 CARDIODYNAMICS INTERNATIONAL CORP CA 4.01,9.01 05/29/07 Celanese CORP DE 5.02,9.01 05/28/07 Celsia Technologies, Inc. NV 1.01,2.03,3.02,5.02,9.01 05/25/07 CENTENE CORP 5.02 05/25/07 CENTERPOINT ENERGY INC 8.01,9.01 05/31/07 CHAMPION INDUSTRIES INC WV 2.02,9.01 06/01/07 CHASE CORP MA 8.01,9.01 05/30/07 CHENIERE ENERGY INC DE 1.01,2.03,8.01,9.01 05/31/07 CHENIERE ENERGY INC DE 1.01,2.03,9.01 05/31/07 CHENIERE ENERGY INC DE 1.01,5.02,9.01 05/25/07 CIB MARINE BANCSHARES INC WI 5.02 05/31/07 CINCINNATI BELL INC OH 1.01,9.01 06/01/07 CIRTRAN CORP NV 1.01,9.01 05/25/07 CKE RESTAURANTS INC DE 2.02,7.01,9.01 05/29/07 CKX, Inc. DE 1.01,9.01 06/01/07 CLEARANT INC 1.01,9.01 06/01/07 COACH INDUSTRIES GROUP INC NV 3.01,8.01 05/31/07 COMMUNITY TRUST BANCORP INC /KY/ KY 1.01,9.01 05/31/07 Complete Production Services, Inc. DE 8.01,9.01 05/31/07 COMPUTER SOFTWARE INNOVATIONS INC 1.01,2.01,2.03,3.03,9.01 05/29/07 Comstock Homebuilding Companies, Inc. DE 5.02 05/29/07 CONSOLIDATED GRAPHICS INC /TX/ TX 5.05,7.01,9.01 05/25/07 CONSOLIDATED NATURAL GAS CO/VA DE 8.01,9.01 05/31/07 CONSOLIDATED WATER CO LTD E6 1.01,3.03,9.01 05/30/07 CORE BOND PRODUCTS LLC DE 8.01,9.01 05/30/07 CORTLAND BANCORP INC OH 2.02 06/01/07 COST PLUS INC/CA/ CA 5.02 05/25/07 CRA INTERNATIONAL, INC. MA 2.02,9.01 05/31/07 CRIMSON EXPLORATION INC. 3.02 05/29/07 CROFF ENTERPRISES INC UT 1.01,9.01 06/01/07 CROWN MEDIA HOLDINGS INC DE 5.02,9.01 05/28/07 CSS INDUSTRIES INC DE 5.02 05/25/07 CUISINE SOLUTIONS INC DE 1.01,2.03,9.01 05/24/07 CYPRESS BIOSCIENCE INC DE 1.01,8.01,9.01 05/30/07 CYTRX CORP DE 3.02 05/30/07 DATA I/O CORP WA 7.01 05/30/07 DealerAdvance, Inc. 1.01,2.03,3.02,8.01,9.01 05/25/07 dELiAs, Inc. DE 1.02 05/31/07 DEXCOM INC 7.01,9.01 05/31/07 Diamond I, Inc. DE 4.01,9.01 04/30/07 AMEND DIEDRICH COFFEE INC CA 5.02 05/11/07 DigiCurve, Inc. NV 5.02 05/28/07 DigiCurve, Inc. NV 4.01,5.02,9.01 05/14/07 AMEND DISCOVER CARD MASTER TRUST I DE 8.01 05/31/07 Dividend Capital Total Realty Trust I MD 9.01 03/20/07 AMEND DOMINION RESOURCES INC /VA/ VA 8.01,9.01 05/31/07 Dujour Products, Inc. NV 5.02 05/25/07 Duke Energy CORP DE 8.01,9.01 05/29/07 DUQUESNE LIGHT HOLDINGS INC PA 1.01,1.02,2.03,5.01,5.02,5.03, 05/31/07 9.01 DYADIC INTERNATIONAL INC DE 5.02 05/30/07 Education Realty Trust, Inc. MD 7.01 06/01/07 ELECTRONIC SYSTEMS TECHNOLOGY INC WA 8.01,9.01 06/01/07 EMERITUS CORP\WA\ WA 5.03,9.01 05/30/07 ENCYSIVE PHARMACEUTICALS INC DE 8.01 06/01/07 ENDEAVOUR INTERNATIONAL CORP NV 5.02,9.01 05/29/07 ENDURANCE SPECIALTY HOLDINGS LTD 1.01,5.02,9.01 06/01/07 ENSCO INTERNATIONAL INC DE 5.02,9.01 05/30/07 ERP OPERATING LTD PARTNERSHIP MD 8.01,9.01 05/30/07 ESTERLINE TECHNOLOGIES CORP DE 2.02,9.01 05/31/07 EVERLAST WORLDWIDE INC DE 8.01,9.01 06/01/07 EXELON CORP PA 8.01,9.01 05/30/07 Federal Home Loan Bank of Boston X1 2.03 05/25/07 FERRELLGAS PARTNERS L P DE 1.01,2.03 06/01/07 FINOVA GROUP INC DE 5.02,8.01 05/30/07 FIRST CHESTER COUNTY CORP PA 1.01 05/08/07 FIRST DATA CORP DE 1.01,9.01 05/30/07 FIRST HORIZON ASSET SECURITIES INC DE 8.01 05/31/07 FIRST LITCHFIELD FINANCIAL CORP DE 8.01,9.01 05/31/07 FIRST MERCURY FINANCIAL CORP DE 8.01,9.01 05/29/07 FIRST NATIONAL BANCSHARES INC /SC/ SC 2.02 06/01/07 FIRSTCITY FINANCIAL CORP DE 7.01,9.01 06/01/07 FLORIDA POWER & LIGHT CO FL 8.01,9.01 05/22/07 FORD MOTOR CO DE 8.01,9.01 06/01/07 FOX PETROLEUM INC. NV 1.01,3.02,9.01 05/17/07 GALAXY ENERGY CORP CO 1.01,9.01 12/29/06 AMEND GASTAR EXPLORATION LTD 7.01,9.01 06/01/07 GENERAL MOTORS CORP DE 8.01 06/01/07 GENETHERA INC FL 8.01 05/31/07 GEOGLOBAL RESOURCES INC. DE 7.01,9.01 06/01/07 GEOKINETICS INC DE 1.01,5.02,9.01 05/24/07 GeoMet, Inc. DE 8.01,9.01 05/31/07 GLOBAL 1 INVESTMENT HOLDINGS CORP/GA GA 4.01 03/20/07 AMEND GLOBAL ENERGY INC NV 1.01,9.01 05/24/07 GLOBAL GOLD CORP DE 1.01,2.01 05/31/07 GREEN PLAINS RENEWABLE ENERGY, INC. IA 8.01,9.01 06/01/07 GUESS INC DE 4.01,9.01 06/01/07 AMEND HAIGHTS CROSS COMMUNICATIONS INC DE 2.04 05/29/07 Halo Technology Holdings, Inc. NV 2.01,2.04,9.01 05/25/07 HARRIS CORP /DE/ DE 1.01,7.01,9.01 05/31/07 HAWK CORP DE 5.05,9.01 05/30/07 HAYES LEMMERZ INTERNATIONAL INC DE 1.01,9.01 05/25/07 HEALTH MANAGEMENT ASSOCIATES INC DE 5.02,9.01 05/29/07 HEALTHSOUTH CORP DE 1.01,9.01 06/01/07 Heelys, Inc. DE 9.01 04/11/07 AMEND HELIX BIOMEDIX INC DE 5.02 05/30/07 HEPALIFE TECHNOLOGIES INC FL 7.01,9.01 05/29/07 HERBALIFE LTD. E9 1.01,9.01 05/29/07 HERITAGE OAKS BANCORP CA 1.01,9.01 05/29/07 HIBBETT SPORTS INC 5.02,7.01,9.01 05/31/07 HORIZON HEALTH CORP /DE/ DE 1.01,1.02,2.01,2.03,3.01,3.03, 05/31/07 5.01,5.02 HOST HOTELS & RESORTS L.P. DE 1.01,2.03,9.01 05/25/07 HOST HOTELS & RESORTS, INC. MD 1.01,2.03,9.01 05/25/07 HOVNANIAN ENTERPRISES INC DE 2.02 04/30/07 HSBC CREDIT CARD MASTER NOTE TRUST (U DE 8.01 06/01/07 HYDROGEN ENGINE CENTER, INC. NV 9.01 05/31/07 HYDROMER INC NJ 8.01 05/31/07 IBSG INTERNATIONAL INC FL 4.02 12/31/06 AMEND IKON OFFICE SOLUTIONS INC OH 7.01 05/30/07 IMAGE ENTERTAINMENT INC DE 1.01,5.02,9.01 05/31/07 INDUSTRIAL ELECTRIC SERVICES INC 1.01,9.01 05/31/07 INPHONIC INC 5.02 05/30/07 InPlay Technologies, Inc. NV 1.01,9.01 05/31/07 INTEGRAL SYSTEMS INC /MD/ MD 5.02,9.01 05/30/07 INTEGRITY BANCSHARES INC GA 5.02 05/31/07 INTERVOICE INC TX 1.01,8.01,9.01 05/25/07 INTRAWARE INC DE 8.01 05/31/07 IPSCO INC 8.01,9.01 06/01/07 ITERIS, INC. DE 1.01,1.02 05/25/07 JEFFERIES GROUP INC /DE/ DE 5.02,9.01 05/29/07 KKR Financial Holdings LLC DE 8.01 06/01/07 LAIDLAW INTERNATIONAL INC DE 7.01,9.01 06/01/07 LANCASTER COLONY CORP OH 8.01,9.01 06/01/07 LANDAUER INC DE 8.01,9.01 06/01/07 LEAP WIRELESS INTERNATIONAL INC DE 8.01,9.01 06/01/07 LHC Group, Inc 8.01,9.01 06/01/07 LIONS GATE ENTERTAINMENT CORP /CN/ 8.01 05/31/07 LOCKHEED MARTIN CORP MD 8.01,9.01 06/01/07 LOUD TECHNOLOGIES INC WA 5.02,9.01 05/30/07 LUMINENT MORTGAGE CAPITAL INC 8.01,9.01 05/31/07 LYONDELL CHEMICAL CO DE 1.01,2.03,9.01 06/01/07 M & F WORLDWIDE CORP DE 5.02,9.01 05/29/07 MAGUIRE PROPERTIES INC MD 2.01,7.01,9.01 05/25/07 MARGO CARIBE INC PR 1.01,3.02,9.01 05/25/07 MARKETAXESS HOLDINGS INC 8.01 06/01/07 Marvel Entertainment, Inc. DE 5.02 05/31/07 MAVERICK OIL & GAS, INC. 5.02 06/01/07 MEDIMMUNE INC /DE DE 5.01,5.02,8.01,9.01 06/01/07 MERISEL INC /DE/ DE 5.02 06/01/07 MERRILL LYNCH & CO INC DE 8.01,9.01 06/01/07 MERRILL LYNCH & CO INC DE 8.01,9.01 05/31/07 METALICO INC 8.01,9.01 06/01/07 MGM MIRAGE DE 7.01,8.01,9.01 06/01/07 MHI Hospitality CORP MD 5.02 05/25/07 MHI Hospitality CORP MD 1.01,2.01,9.01 05/25/07 MIDSOUTH BANCORP INC LA 5.02,9.01 05/31/07 MILLENNIUM QUEST INC DE 8.01,9.01 05/26/07 MORGAN STANLEY DE 8.01,9.01 05/31/07 MORGAN STANLEY DE 8.01,9.01 06/01/07 Morgans Hotel Group Co. DE 7.01,9.01 06/01/07 Morningstar, Inc. IL 7.01 06/01/07 MULTI FINELINE ELECTRONIX INC 8.01,9.01 06/01/07 MWI Veterinary Supply, Inc. DE 7.01,9.01 05/31/07 NCI BUILDING SYSTEMS INC DE 2.02,9.01 05/31/07 nCoat, Inc. DE 1.01,3.02,7.01,9.01 05/25/07 NEOPHARM INC DE 5.02 05/25/07 NEWMONT MINING CORP /DE/ DE 8.01 05/25/07 NEWS CORP 8.01,9.01 06/01/07 NEXIA HOLDINGS INC NV 8.01 06/01/07 NOBLE INTERNATIONAL, LTD. DE 7.01,9.01 06/01/07 NORTHWEST BIOTHERAPEUTICS INC DE 2.03 05/25/07 NORTHWEST NATURAL GAS CO OR 1.01,1.02,2.03,9.01 05/31/07 NOVACEA INC DE 1.01,3.02,9.01 05/29/07 Novastar Mortgage Funding Trust, Seri DE 8.01,9.01 06/01/07 NUTRACEA CA 8.01,9.01 04/11/07 OMI CORP/M I 5.01,5.02,8.01,9.01 05/25/07 OMNIRELIANT HOLDINGS, INC. NV 1.01,3.02,9.01 05/25/07 Oncologix Tech Inc. NV 2.02,9.01 08/31/06 OPEN ENERGY CORP NV 7.01 05/31/07 Opes Exploration Inc. NV 5.01,5.02 06/01/07 Option One Mortgage Loan Trust 2007-H DE 2.01,9.01 04/13/07 OUTDOOR CHANNEL HOLDINGS INC 1.02,5.02,9.01 05/31/07 PAPA JOHNS INTERNATIONAL INC DE 1.02,9.01 05/31/07 PAULSON CAPITAL CORP OR 8.01,9.01 06/01/07 PEAK INTERNATIONAL LTD D0 1.01,9.01 05/30/07 PEAK INTERNATIONAL LTD D0 3.01,5.02 05/14/07 AMEND PETRO RESOURCES CORP DE 5.02,9.01 06/01/07 PetroHunter Energy Corp MD 1.01,9.01 12/29/06 AMEND PHARMACYCLICS INC DE 8.01,9.01 06/01/07 PHARSIGHT CORP CA 3.02 06/01/07 PHASE FORWARD INC DE 8.01,9.01 06/01/07 PINNACLE AIRLINES CORP DE 7.01 05/31/07 PLAINS EXPLORATION & PRODUCTION CO DE 2.01,2.03,9.01 05/31/07 PMC SIERRA INC DE 1.01,5.02,9.01 05/25/07 POGO PRODUCING CO DE 1.01,9.01 05/28/07 PQ CORP PA 8.01,9.01 06/01/07 PREMIER DEVELOPMENT & INVESTMENT INC NV 7.01 05/31/07 PRESSURE BIOSCIENCES INC MA 1.01,9.01 05/29/07 PRG SCHULTZ INTERNATIONAL INC GA 3.02 05/25/07 PRIMEDIA INC DE 5.02 05/30/07 PRIMUS TELECOMMUNICATIONS GROUP INC DE 8.01,9.01 06/01/07 PRINCETON REVIEW INC DE 5.02 05/25/07 PROTECTIVE LIFE CORP DE 5.02 06/01/07 PROXYMED INC /FT LAUDERDALE/ FL 5.02,9.01 05/31/07 PSYCHIATRIC SOLUTIONS INC DE 1.01,2.01,2.03,7.01,9.01 05/31/07 PUGET SOUND ENERGY INC WA 8.01,9.01 05/30/07 PYR ENERGY CORP DE 5.02 05/30/07 RAE SYSTEMS INC DE 1.01,2.01,9.01 01/03/07 RAINING DATA CORP DE 5.02 05/30/07 RALI Series 2007-QS7 Trust DE 8.01,9.01 06/01/07 RAMBUS INC DE 3.01,9.01 05/25/07 RAVEN GOLD CORP NV 1.01,2.03,9.01 05/17/07 REFLECT SCIENTIFIC INC UT 9.01 11/15/06 AMEND REIT AMERICAS, INC. MD 1.01,9.01 05/25/07 RENASANT CORP MS 8.01 06/01/07 REPLIGEN CORP DE 5.02 05/30/07 RESOURCE AMERICA INC DE 1.01,1.02,2.03,9.01 05/24/07 RITE AID CORP DE 8.01,9.01 06/01/07 RITE AID CORP DE 8.01,9.01 06/01/07 ROCKELLE CORP. DE 5.02 06/01/07 ROCKFORD CORP AZ 3.01,7.01,9.01 05/31/07 ROO GROUP INC DE 5.02,9.01 05/29/07 RPM INTERNATIONAL INC/DE/ DE 5.02,7.01,9.01 06/01/07 RTI INTERNATIONAL METALS INC OH 1.01,8.01,9.01 05/30/07 RURAL CELLULAR CORP MN 2.03 05/30/07 RussOil CORP 1.01,9.01 05/31/07 SAN HOLDINGS INC CO 5.02 06/01/07 SCHOLASTIC CORP DE 2.03,8.01,9.01 06/01/07 SCHWEITZER MAUDUIT INTERNATIONAL INC DE 5.02 06/01/07 SEATTLE GENETICS INC /WA DE 5.02,9.01 05/30/07 SELECTICA INC DE 5.02 05/31/07 SEMTECH CORP DE 1.01,2.03,7.01,8.01,9.01 05/30/07 SENIOR HOUSING PROPERTIES TRUST MD 5.03,8.01,9.01 05/30/07 SENTO CORP UT 8.01,9.01 05/25/07 SERVICE 1ST BANCORP CA 8.01,9.01 06/01/07 SERVICEMASTER CO DE 5.04,9.01 05/25/07 SHAW GROUP INC LA 5.02,9.01 06/01/07 Shire plc 8.01,9.01 06/01/07 Sibling Entertainment Group, Inc. NY 5.02,9.01 05/31/07 SIENA TECHNOLOGIES, INC. NV 1.01,5.02,9.01 05/25/07 SILVERSTAR HOLDINGS LTD B0 2.01,9.01 06/01/07 AMEND Somaxon Pharmaceuticals, Inc. DE 5.02,9.01 05/31/07 SONOCO PRODUCTS CO SC 8.01 05/29/07 SOUTHWALL TECHNOLOGIES INC /DE/ DE 5.02,9.01 05/30/07 Spansion Inc. DE 8.01 05/31/07 STAR GAS PARTNERS LP DE 5.02,9.01 05/31/07 STARTEK INC DE 7.01 05/31/07 STEEL DYNAMICS INC IN 8.01,9.01 05/29/07 STEEL TECHNOLOGIES INC KY 2.01,3.01,3.03,5.01,5.02,5.03, 06/01/07 9.01 STRATEGIC HOTELS & RESORTS, INC 1.01,7.01,9.01 05/29/07 SULPHCO INC NV 5.03,9.01 05/29/07 SUNCOM WIRELESS HOLDINGS, INC. 5.02 05/30/07 SUNTRUST BANKS INC GA 2.03,9.01 05/31/07 SYNNEX CORP DE 5.02,9.01 05/25/07 SYNOPSYS INC DE 5.02,9.01 05/30/07 Synutra International, Inc. DE 1.01,3.02,9.01 05/24/07 AMEND TAG IT PACIFIC INC DE 1.01 05/25/07 TAIWAN FUND INC DE 7.01,9.01 04/01/07 TEAM INC TX 5.02 05/25/07 TELKONET INC 8.01,9.01 05/25/07 TEPPCO PARTNERS LP DE 7.01,9.01 06/01/07 TESCO CORP 5.03,9.01 05/30/07 THAXTON GROUP INC SC 8.01,9.01 05/29/07 THEGLOBE COM INC DE 1.01,3.02,9.01 05/29/07 THERMADYNE HOLDINGS CORP /DE DE 8.01,9.01 05/25/07 THERMO FISHER SCIENTIFIC INC. DE 2.06 06/01/07 THESTREET COM DE 5.02 05/24/07 TIDEWATER INC DE 8.01,9.01 05/31/07 Titan Global Holdings, Inc. UT 1.01,1.02,9.01 05/31/07 TODCO DE 7.01,9.01 06/01/07 TOLLGRADE COMMUNICATIONS INC \PA\ PA 1.01,7.01,9.01 05/31/07 TOYS R US INC DE 5.02,8.01,9.01 05/29/07 TRACEGUARD TECHNOLOGIES, INC. 1.01,3.02,5.02,9.01 05/29/07 TRANSACTION SYSTEMS ARCHITECTS INC DE 2.01,9.01 08/28/06 AMEND TRANSGENOMIC INC DE 4.01,9.01 05/16/07 AMEND TreeHouse Foods, Inc. DE 2.01,7.01,9.01 05/31/07 TRI-CONTINENTAL CORP MD 7.01,9.01 06/01/07 TRIBUNE CO DE 8.01,9.01 06/01/07 TRUE RELIGION APPAREL INC NV 4.01,9.01 05/11/07 AMEND TRW AUTOMOTIVE HOLDINGS CORP DE 1.01,8.01,9.01 05/29/07 UNIVERSAL ELECTRONICS INC DE 1.01,9.01 05/31/07 UNIVERSAL HEALTH SERVICES INC DE 5.02,9.01 06/01/07 URANERZ ENERGY CORP. NV 5.02,9.01 05/29/07 US GEOTHERMAL INC DE 5.02,9.01 03/23/07 USEC INC DE 1.01 05/31/07 VALCOM, INC DE 1.01,9.01 05/31/07 VALHI INC /DE/ DE 7.01,9.01 05/31/07 VCA ANTECH INC DE 1.01,8.01,9.01 06/01/07 VELOCITY EXPRESS CORP DE 1.01 06/01/07 VERISIGN INC/CA DE 5.02,8.01 06/01/07 VERSO TECHNOLOGIES INC MN 1.01,9.01 05/25/07 Vertical Communications, Inc. DE 1.01,2.03,9.01 05/25/07 VIRGIN MEDIA INC. DE 5.02,9.01 05/16/07 VIRTUALHEALTH TECHNOLOGIES INC. DE 2.01,3.02,5.01,5.06,9.01 04/03/07 AMEND VitalTrust Business Development CORP 4.02,9.01 05/28/07 VOIP INC 1.01 05/25/07 Voyant International CORP NV 5.01 05/25/07 WEBEX COMMUNICATIONS INC DE 3.01,5.01,5.03,9.01 05/25/07 WELLS REAL ESTATE INVESTMENT TRUST II MD 8.01 06/01/07 WESTAFF INC DE 1.01,9.01 05/24/07 Western Refining, Inc. DE 1.01,1.02,2.01,2.03,9.01 05/31/07 WILMINGTON TRUST CORP DE 1.01,5.02 06/01/07 WILSHIRE BANCORP INC CA 8.01,9.01 05/31/07 WIND ENERGY AMERICA INC. MN 4.01 05/12/07 AMEND WINLAND ELECTRONICS INC MN 7.01,9.01 05/23/07 WIRELESS AGE COMMUNICATIONS INC NV 1.01,5.02,9.01 02/04/07 AMEND WORLD WASTE TECHNOLOGIES INC CA 5.02 06/01/07 XM SATELLITE RADIO HOLDINGS INC DE 5.02,8.01,9.01 06/01/07 YADKIN VALLEY FINANCIAL CORP NC 8.01,9.01 06/01/07 ZAP CA 5.02 05/30/07