SEC NEWS DIGEST Issue 2007-112 June 12, 2007 COMMISSION ANNOUNCEMENTS COMMISSION ANNOUNCES AGENDA FOR JUNE 19TH ROUNDTABLE ON RULE 12b-1 The Securities and Exchange Commission today announced the panelists and final agenda for the June 19th Roundtable on Rule 12b 1 under the Investment Company Act of 1940. Rule 12b-1 permits mutual funds to use fund assets to pay for the sale of fund shares and other distribution- related activities. The roundtable will consist of panels addressing * the historical circumstances that led to the adoption of Rule 12b-1, and the original intended purpose of the rule; * the evolution of the uses of Rule 12b-1 and the rule's current role in fund distribution practices; * the costs and benefits of the current use of Rule 12b-1; and * the options for reform or rescission of Rule 12b-1. The agenda and the list of panelists can be found at http://www.sec.gov/spotlight/rule12b-1/rule12bagenda-061907.htm. Additional materials related to the roundtable are available at http://www.sec.gov/spotlight/rule12b-1.htm. The roundtable will begin at 9:00 a.m., and will be held in the Auditorium at the Commission's headquarters at 100 F Street, N.E., Washington, D.C. 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., and visitors will be subject to security checks. The roundtable also will be available by webcast on the Commission's Web site at www.sec.gov. Although only a limited number of individuals can participate at the roundtable, the Commission encourages all interested persons to provide their views on the questions raised in the agenda, the issues discussed at the roundtable, or on any other issue relating to the use of fund assets to pay for the sale of fund shares. Of particular interest to the Commission are ideas for alternative regulatory approaches to the issues raised by rule 12b-1. Please submit your comments by July 19, 2007. The information that is submitted will become part of the public record of the roundtable. Submissions to the Commission may be provided by any of the following methods: Electronic submissions: * Use the Commission's Internet submission form at www.sec.gov/news/press.shtml; or * Send an e-mail to rule-comments@sec.gov. Paper submissions: * Send paper submissions in triplicate to Nancy M. Morris, Secretary, Securities and Exchange Commission, 100 F Street, N.E., Washington, DC 20549-1090. All submissions should refer to File Number 4-538. This file number should be included on the subject line if e-mail is used. To help process and review your submissions more efficiently, please use only one method. The Commission will post all submissions on the Commission's web site at http://www.sec.gov/comments/4-538/4- 538.shtml. Please note that all submissions received will be posted without change; the SEC does not edit personal identifying information from submissions. You should submit only information that you wish to make available publicly. (Press Rel. 2007-112) COMMISSION MEETINGS CLOSED MEETING - MONDAY, JUNE 18, 2007 - 2:00 P.M. The subject matter of the closed meeting scheduled for Monday, June 18, will be: Formal orders of investigations; Institution and settlement of injunctive actions; Institution and settlement of administrative proceedings of an enforcement nature; Regulatory matter regarding a financial institution; Resolution of litigation claims; and Other matters related to enforcement proceedings. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551-5400. ENFORCEMENT PROCEEDINGS COURT ENTERS PERMANENT INJUNCTIONS AGAINST IRA DICAPUA IN "PUMP-AND- DUMP" SCHEME The Commission announced that on June 5 the Honorable Victor Marrero, U.S. District Judge for the Southern District of New York entered a judgment by consent against defendant Ira Dicapua. The judgment enjoins Ira Dicapua from future violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder. Dicapua consented to the entry of the judgment without admitting or denying any of the allegations in the Commission's complaint. The Court also ordered that Dicapua pay disgorgement and prejudgment interest in an amount to be determined a after further proceedings, and that it would determine in those proceedings whether Dicapua should pay a civil penalty. Previously, on May 2, 2007, the Court entered default judgments against Dicapua's co-defendants World Information Technology, Inc. and Gary Morgan. [Litigation Release No. 20109] (May 10, 2007). For further information, see Litigation Release No. 19910 (Nov. 15, 2006). [SEC v. World Information Technology, Inc., et al., Civil Action No. 06-CV-13181 (VM) (S.D.N.Y.)] (LR-20149) COURT ENTERS DEFAULT JUDGMENTS AGAINST DARRELL MUSICK, RICHARD WENSEL, ARTHUR CARLSON, III, GARY SPIRK, AND RICHARD WALLACE AND ORDERS THE PAYMENT OF OVER $2.5 MILLION The Commission announced that on June 12 a Pennsylvania District Court entered default judgments against Darrell G. Musick (Musick), Richard E. Wensel (Wensel), Arthur B. Carlson, III (Carlson), Gary J. Spirk (Spirk), and Richard C. Wallace (Wallace), defendants in an action that was filed by the Commission in February 2004. In total, the Court ordered these defendants to pay in excess of $2.5 million in disgorgement, prejudgment interest, and civil penalties; and each has been permanently enjoined from future violations of the charged provisions of the federal securities laws. On the same date, at the Commission's request, the District Court also ordered the dismissal of the case against Apacor Financial, Inc. (Apacor), Continental Capital Group, Ltd., and Secure Investments, Inc., because each of these entities is defunct; ordered the dismissal of the case against Security Asset Capital Corporation (Security Asset), a bankruptcy debtor with liabilities that overwhelmingly exceed its assets and is no longer doing business; and also ordered the case dismissed against defendant David S. Walton, who is quite ill and unable to defend the action. The Commission filed its complaint against these defendants in February 2004, alleging that defendants made material misrepresentations and omissions in the offering of nine-month promissory notes, issued by Security Asset and/or by Apacor, whereby investors were promised secure investments with 12% (or more) annual returns, but instead lost their money. The alleged misrepresentations and omissions related to, among other things, the use of the offering proceeds and the risks associated with the investment. Specifically, the complaint alleged that, contrary to representations, at the time of the offerings each of these issuers was in dire financial circumstances, and the offering proceeds were used, not for the purchase of productive assets as promised, but, largely, to pay commissions, officers' salaries and personal expenses, and to pay interest to prior investors. The complaint further alleged that no registration statement was in effect as to these promissory notes; nor were they exempt from registration, and that, in connection with the charged conduct, Wensel, Carlson, and Spirk acted as unregistered broker-dealers. The Court's Final Judgments enjoined Musick, Wensel, Carlson, Spirk, and Wallace from future violations of the antifraud provisions, Section 17(a) of the Securities Act of 1933 (Securities Act) and Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder, as well as the securities registration provisions, Sections 5(a) and 5(c) of the Securities Act. In addition, defendants Wensel, Carlson, and Spirk were enjoined from future violations of the broker-dealer registration provisions, Section 15(a)(1) of the Exchange Act. Musick was ordered to pay disgorgement of $100,026, prejudgment interest of $47,387, and a civil penalty of $110,000; Wensel was ordered to pay disgorgement of $130,642, prejudgment interest of $61,891, and a civil penalty of $110,000; Carlson was ordered to pay disgorgement of $124,169, prejudgment interest of $58,824, and a civil penalty of $120,000; and Spirk was ordered to pay disgorgement of $1,104,016, prejudgment interest of $523,020, and a civil penalty of $120,000. No monetary relief was ordered against Wallace, in light of his criminal conviction for, in addition to other charges, the same conduct as was charged in the Commission's complaint, and sentencing to, among other sanctions, 37 months in prison and restitution orders totaling $2,117,496. For further information, please see Litigation Release Number 18580 (Feb. 18, 2004). [SEC v. Security Asset Capital Corporation, et al., Civil Action No. 04-0683, E.D. Pa.] (LR-20150) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change (SR-NYSEArca-2007-44) filed by NYSE Arca relating to Rule 14.3 - references to Wave Securities, L.L.C., 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 11. (Rel. 34-55866) SECURITIES ACT REGISTRATIONS The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be obtained in person or by writing to the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. 20549-1090 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . S-1 ZARS INC/UT, 1142 WEST 2320 SOUTH, SUITE A, SALT LAKE CITY, UT, 84119, 801-350-0202 - 0 ($86,250,000.00) Equity, (File 333-143633 - Jun. 11) (BR. 01) S-3ASR MOLSON COORS BREWING CO, P.O. BOX 4030, MAIL #NH375, GOLDEN, CO, 80401, 3032773271 - 0 ($575,000,000.00) Other, (File 333-143634 - Jun. 11) (BR. 02B) F-3 DIANA SHIPPING INC., PENDELIS 16, 175 64 PALAIO FALIRO, ATHENS, J3, 00000, 30-210-947-0100 - 8,000,000 ($173,360,000.00) Equity, 500,000,000 ($500,000,000.00) Unallocated (Universal) Shelf, (File 333-143635 - Jun. 11) (BR. 05A) S-8 HSBC HOLDINGS PLC, 8 CANADA SQUARE, LONDON, X0, E145HQ, 442079912652 - 0 ($420,178,078.98) Equity, (File 333-143639 - Jun. 11) (BR. 07B) SB-2 ELRAY RESOURCES, INC., 2678 POINT GREY ROAD, VANCOUVER, A1, V6K 1A5, 604.732.9583 - 2,643,750 ($105,750.00) Equity, (File 333-143640 - Jun. 11) (BR. 04) SB-2 HEALTHCARE BUSINESS SERVICES GROUPS, INC., 1126 WEST FOOTHILL BLVD, SUITE 105, UPLAND, CA, 91786, (909) 608-2035 - 5,096,816 ($91,742.69) Equity, (File 333-143641 - Jun. 11) (BR. 08C) S-8 ENTOURAGE MINING LTD, SUITE 614, 475 HOWE STREET, VANCOUVER, A1, V6C 2B3, 604-669-4367 - 100,000 ($21,000.00) Equity, (File 333-143642 - Jun. 11) (BR. 04B) S-1 Northfield Bancorp, Inc., 1731 VICTORY BOULEVARD, STATEN ISLAND, NY, 10314, (718) 448-1000 - 0 ($224,052,650.00) Equity, (File 333-143643 - Jun. 11) (BR. 07) SB-2 SUPPORT SPAN INC, 422 OAKLAND DRIVE, RALEIGH, NC, 27609, 919-782-5155 - 651,000 ($65,100.00) Equity, (File 333-143644 - Jun. 11) (BR. 08) S-8 PETER KIEWIT SONS INC /DE/, 1000 KIEWIT PLAZA, 3555 FARNAM STREET, OMAHA, NE, 68131, 4023422052 - 175,000 ($9,878,750.00) Equity, (File 333-143646 - Jun. 11) (BR. 06C) S-8 Phantom Entertainment, Inc., 800 FIFTH AVENUE, SUITE 4100, SEATTLE, WA, 98104, 941.917.0788 - 0 ($285,500.00) Equity, (File 333-143647 - Jun. 11) (BR. 09A) SB-2 NORTHERN OIL & GAS, INC., 130 LAKE STREET WEST, SUITE 300, WAYZATA, MN, 55391, 952-476-9800 - 4,671,573 ($19,620,607.00) Equity, (File 333-143648 - Jun. 11) (BR. 09A) S-8 COUSINS PROPERTIES INC, 191 PEACHTREE STREET N.E., SUITE 3600, ATLANTA, GA, 30303-1740, 404-407-1000 - 900,000 ($27,891,000.00) Equity, (File 333-143649 - Jun. 11) (BR. 08A) SB-2 HUMAN BIOSYSTEMS INC, 1127 HARKER AVE, PALO ALTO, CA, 94301, 6503230943 - 20,000,000 ($1,600,000.00) Equity, (File 333-143650 - Jun. 11) (BR. 01C) S-8 MOBILITY ELECTRONICS INC, 17800 N. PERIMETER DR., SCOTTSDALE, AZ, 85255, 4805960061 - 1,000,000 ($2,850,000.00) Equity, (File 333-143651 - Jun. 11) (BR. 03C) S-8 RadNet, Inc., 1516 COTNER AVE, LOS ANGELES, CA, 90025, 3104787808 - 1,000,000 ($7,570,000.00) Equity, (File 333-143652 - Jun. 11) (BR. 09B) S-8 MODERN MEDICAL MODALITIES CORP, 1719 ROUTE 10 SUITE 117, PARSIPPANY, NJ, 07054, 2015389955 - 2,000,000 ($1,340,000.00) Equity, (File 333-143653 - Jun. 11) (BR. 06A) SB-2 ERF Wireless, Inc., 2911 SOUTH SHORE BLVD, SUITE 100, LEAGUE CITY, TX, 77573, 281-538-2101 - 4,975,625 ($696,587.00) Other, (File 333-143654 - Jun. 11) (BR. 11A) SB-2 ROO GROUP INC, 228 EAST 45TH STREET, 8TH FLOOR, NEW YORK, NY, 10017, 646-320-4394 - 0 ($28,470,000.00) Equity, (File 333-143655 - Jun. 11) (BR. 11C) SB-2 IntelGenx Technologies Corp., 6425 ABRAMS, VILLE SAINT LAURENT, A8, H4S 1X9, 514-331-7440 - 4,285,714 ($3,385,714.06) Equity, (File 333-143657 - Jun. 11) (BR. 01B) S-3ASR BioMed Realty Trust Inc, 17140 BERNARDO CENTER DRIVE, SUITE 222, SAN DIEGO, CA, 92128, 858-485-9840 - 0 ($138,250,000.00) Equity, (File 333-143658 - Jun. 11) (BR. 08C) S-3 GULFPORT ENERGY CORP, 14313 NORTH MAY AVENUE, SUITE 100, OKLAHOMA CITY, OK, 73134, 4058488807 - 0 ($100,000,000.00) Other, (File 333-143659 - Jun. 11) (BR. 04C) S-1 Pzena Investment Management, Inc., 120 WEST 45TH STREET, 20TH FLOOR, NEW YORK, NY, 10036, 212-583-0594 - 0 ($150,000,000.00) Equity, (File 333-143660 - Jun. 11) (BR. ) S-8 CORGI INTERNATIONAL LTD, 17/F, OTERPRISE SQUARE, 26 NATHAN ROAD, TSIMSHATSUI, KOWLOON, K3, 00000, 925-979-1500 - 0 ($1,608,704.20) Equity, (File 333-143661 - Jun. 11) (BR. 05C) S-11 Dividend Capital Total Realty Trust Inc., 518 SEVENTEENTH STREET, 17TH FLOOR, DENVER, CO, 80202, (303)228-2200 - 0 ($2,000,000,000.00) Other, (File 333-143662 - Jun. 11) (BR. 08A) S-8 PROGRESSIVE GAMING INTERNATIONAL CORP, 920 PILOT ROAD, LAS VEGAS, NV, 89119, 7028963890 - 0 ($23,072,645.92) Equity, (File 333-143663 - Jun. 11) (BR. 06B) S-8 CORGI INTERNATIONAL LTD, 17/F, OTERPRISE SQUARE, 26 NATHAN ROAD, TSIMSHATSUI, KOWLOON, K3, 00000, 925-979-1500 - 0 ($7,340,450.32) Equity, (File 333-143664 - Jun. 11) (BR. 05C) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: 1.01 Entry into a Material Definitive Agreement 1.02 Termination of a Material Definitive Agreement 1.03 Bankruptcy or Receivership 2.01 Completion of Acquisition or Disposition of Assets 2.02 Results of Operations and Financial Condition 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant 2.04 Triggering Events That Accelerate or Increase a Direct Financial Obligation under an Off-Balance Sheet Arrangement 2.05 Cost Associated with Exit or Disposal Activities 2.06 Material Impairments 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 3.02 Unregistered Sales of Equity Securities 3.03 Material Modifications to Rights of Security Holders 4.01 Changes in Registrant's Certifying Accountant 4.02 Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review 5.01 Changes in Control of Registrant 5.02 Departure of Directors or Principal Officers; Election of Directors; Appointment of Principal Officers 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year 5.04 Temporary Suspension of Trading Under Registrant's Employee Benefit Plans 5.05 Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics 6.01. ABS Informational and Computational Material. 6.02. Change of Servicer or Trustee. 6.03. Change in Credit Enhancement or Other External Support. 6.04. Failure to Make a Required Distribution. 6.05. Securities Act Updating Disclosure. 7.01 Regulation FD Disclosure 8.01 Other Events 9.01 Financial Statements and Exhibits 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. 20549-1090 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE 8K ITEM NO. NAME OF ISSUER CODE DATE COMMENT 1ST SOURCE CORP IN 8.01 06/11/07 AAR CORP DE 5.02 04/11/07 AMEND ACACIA RESEARCH CORP DE 8.01,9.01 06/11/07 ACCEPTANCE INSURANCE COMPANIES INC DE 8.01,9.01 06/07/07 ACCESS PHARMACEUTICALS INC DE 1.01 06/11/07 ACHILLION PHARMACEUTICALS INC 5.02 06/06/07 ADMINISTAFF INC \DE\ DE 8.01 06/07/07 ADOLOR CORP 8.01,9.01 06/11/07 AECOM TECHNOLOGY CORP DE 5.02,9.01 06/05/07 AEP INDUSTRIES INC DE 2.02,9.01 06/11/07 AETHLON MEDICAL INC NV 8.01,9.01 06/11/07 AFFILIATED COMPUTER SERVICES INC DE 8.01,9.01 06/10/07 AFTERMARKET TECHNOLOGY CORP DE 5.02 06/05/07 AFTERMARKET TECHNOLOGY CORP DE 5.02 06/11/07 AMEND AIRNET SYSTEMS INC OH 5.03,8.01,9.01 06/06/07 Allegiant Travel CO NV 1.01 06/05/07 ALLIANCE ONE INTERNATIONAL, INC. VA 4.02 06/11/07 ALLIANCEBERNSTEIN HOLDING L.P. DE 7.01,9.01 06/11/07 ALLIANCEBERNSTEIN L.P. DE 7.01,9.01 06/11/07 ALLIED WASTE INDUSTRIES INC DE 7.01 06/11/07 Altus Pharmaceuticals Inc. DE 1.02,7.01 06/06/07 AMERICAN CAPITAL STRATEGIES LTD 5.05 06/11/07 AMERICAN ELECTRIC POWER CO INC NY 7.01 06/11/07 AMERICAN PHYSICIANS SERVICE GROUP INC TX 2.01,9.01 04/01/07 AMEND AMERICAN TOWER CORP /MA/ DE 1.01,1.02,2.03,9.01 06/08/07 AMKOR TECHNOLOGY INC DE 1.02,7.01,9.01 06/11/07 Amtrust Financial Services, Inc. DE 8.01,9.01 06/08/07 ANALOGIC CORP MA 5.02 06/05/07 Ancor Resources Inc. NV 5.03,8.01 06/06/07 ANTIGENICS INC /DE/ DE 1.01,3.03,5.02,5.03,9.01 06/06/07 APOLLO INVESTMENT CORP MD 7.01 06/08/07 APPLIED INDUSTRIAL TECHNOLOGIES INC OH 1.01,9.01 06/06/07 ARES CAPITAL CORP MD 7.01,9.01 06/11/07 ARGENTEX MINING CORP NV 3.02 06/07/07 ARI NETWORK SERVICES INC /WI WI 5.02 06/06/07 ASPEN TECHNOLOGY INC /DE/ DE 4.02,9.01 06/06/07 ASTEA INTERNATIONAL INC DE 4.01,9.01 06/07/07 ATLANTIC SYNDICATION NETWORK INC NV 5.02 06/11/07 AUTHENTIDATE HOLDING CORP DE 1.01,2.01,9.01 06/06/07 BALLY TOTAL FITNESS HOLDING CORP DE 5.02,8.01,9.01 06/05/07 BANK JOS A CLOTHIERS INC /DE/ DE 2.02,9.01 06/11/07 BANKRATE INC FL 7.01 06/11/07 Bear Stearns Asset Backed Securities DE 9.01 06/08/07 Bear Stearns Mortgage Funding Trust 2 DE 6.04 04/25/07 Behringer Harvard Opportunity REIT I, MD 7.01,9.01 06/11/07 BELL INDUSTRIES INC /NEW/ CA 1.01 06/05/07 BIO SOLUTIONS MANUFACTURING, INC. NY 1.01,8.01,9.01 05/01/07 BOMBAY CO INC DE 1.01,2.03,9.01 06/11/07 BRUSH ENGINEERED MATERIALS INC 7.01,9.01 06/11/07 BUILDING MATERIALS CORP OF AMERICA DE 2.01,9.01 03/26/07 AMEND BUREAU OF NATIONAL AFFAIRS INC DE 5.02 06/11/07 CACHE INC FL 2.02,9.01 06/05/07 CANARGO ENERGY CORP DE 1.01,1.02,3.02,7.01,9.01 06/05/07 CAPITAL CORP OF THE WEST CA 5.02,9.01 06/11/07 CAPITAL CORP OF THE WEST CA 5.02,9.01 06/11/07 CASCADE CORP OR 2.02,5.02,9.01 06/05/07 CASCADE ENERGY, INC. NV 5.02 05/14/07 CENTRAL WIRELESS INC UT 1.01,2.01,3.02,5.01,5.02,9.01 06/08/07 CHEROKEE INTERNATIONAL CORP DE 2.02,9.01 06/11/07 CHICAGO MERCANTILE EXCHANGE HOLDINGS DE 8.01 06/11/07 CHINA BROADBAND INC 1.01,2.01,2.03,9.01 04/01/07 CHL Mortgage Pass-Through Trust 2007- DE 8.01,9.01 06/11/07 Citicorp Mortgage Securities Trust, S DE 8.01,9.01 06/11/07 CMALT (CitiMortgage Alternative Loan DE 8.01,9.01 06/11/07 CNX Gas CORP DE 7.01 06/11/07 COBRA ELECTRONICS CORP DE 5.02,9.01 06/06/07 Coley Pharmaceutical Group, Inc. DE 1.01,2.01,9.01 06/08/07 COLONIAL BANCGROUP INC DE 8.01 06/08/07 COMMERCE BANCORP INC /NJ/ NJ 8.01 06/11/07 CONAGRA FOODS INC /DE/ DE 7.01 06/11/07 CONNECTICUT WATER SERVICE INC / CT CT 8.01,9.01 06/06/07 CONSOLIDATED EDISON INC NY 8.01 06/01/07 CONSOLIDATED GRAPHICS INC /TX/ TX 8.01,9.01 06/11/07 CONTINENTAL AIRLINES INC /DE/ DE 7.01,9.01 06/11/07 CORAUTUS GENETICS INC DE 1.01,3.01,3.02,4.01,5.01,5.02, 06/05/07 5.03,5.05,9.01 Cowen Group, Inc. DE 5.02,8.01,9.01 06/07/07 CUTTER & BUCK INC WA 3.01,3.03,5.01,5.02,8.01,9.01 06/08/07 CWHEQ Revolving Home Equity Loan Trus 8.01,9.01 05/31/07 CWHEQ Revolving Home Equity Loan Trus 8.01,9.01 05/31/07 CYBER DIGITAL INC NY 1.01 06/08/07 DAYTON POWER & LIGHT CO OH 8.01,9.01 06/07/07 DIRECTV GROUP INC DE 5.02,9.01 06/05/07 Disaboom, Inc. CO 1.01,9.01 06/06/07 DIVX INC 5.02,9.01 06/06/07 DOLLAR GENERAL CORP TN 8.01,9.01 06/11/07 DOUBLE EAGLE PETROLEUM CO MD 5.03,9.01 06/11/07 DPL INC OH 8.01,9.01 06/07/07 El Palenque Vivero, Inc. NV 8.01 06/01/07 EMBARCADERO TECHNOLOGIES INC 8.01,9.01 06/11/07 EMISPHERE TECHNOLOGIES INC DE 8.01 06/11/07 EMVELCO CORP. DE 1.01,9.01 06/05/07 Energy Transfer Equity, L.P. DE 5.02,9.01 06/11/07 Energy Transfer Partners, L.P. DE 5.02,9.01 06/11/07 ENERGY WEST INC MT 5.02 06/06/07 ENERGY XXI (BERMUDA) LTD D0 1.01,2.03,7.01,9.01 06/05/07 ENGLOBAL CORP NV 8.01,9.01 05/08/07 Enstar Group LTD D0 1.01,9.01 06/05/07 Epic Bancorp 8.01 06/11/07 EVANS SYSTEMS INC TX 9.01 05/30/07 FAIRCHILD SEMICONDUCTOR INTERNATIONAL DE 5.02 06/07/07 FERRO CORP OH 1.01,2.03,9.01 06/05/07 FIFTH THIRD BANCORP OH 9.01 05/21/07 AMEND FINLAY ENTERPRISES INC /DE DE 2.02,9.01 05/10/07 FINLAY FINE JEWELRY CORP DE 2.02,9.01 05/10/07 Fittipaldi Logistics, Inc. NV 1.01,5.02,8.01 05/31/07 FREEDOM TAX CREDIT PLUS LP DE 8.01,9.01 06/11/07 Fuel Systems Solutions, Inc. DE 3.01,9.01 06/08/07 FX ENERGY INC NV 8.01,9.01 06/11/07 G REIT INC MD 7.01,9.01 06/11/07 Gales Industries Inc DE 9.01 04/24/07 AMEND GASTAR EXPLORATION LTD 7.01,9.01 06/11/07 GENELINK INC 1.01,3.02 06/06/07 GENESIS ENERGY LP DE 8.01,9.01 06/07/07 GLOBAL 1 INVESTMENT HOLDINGS CORP GA 4.01 03/20/07 AMEND Global Telecom & Technology, Inc. DE 7.01,9.01 06/11/07 GMAC LLC DE 8.01 06/11/07 GREEN PLAINS RENEWABLE ENERGY, INC. IA 5.01,9.01 06/11/07 GTSI CORP DE 4.01,9.01 06/05/07 GULF RESOURCES, INC. DE 1.01,2.01,2.03,3.02,9.01 06/08/07 HAYNES INTERNATIONAL INC DE 7.01,9.01 06/11/07 HICKORY TECH CORP MN 8.01,9.01 06/11/07 HMS HOLDINGS CORP 5.02,7.01,9.01 06/06/07 HOLMES FUNDING LTD 8.01,9.01 06/11/07 HOOKER FURNITURE CORP VA 2.02,9.01 06/06/07 HS3 TECHNOLOGIES INC. 1.01,9.01 05/22/07 HUDSON CITY BANCORP INC DE 5.02 06/05/07 IA GLOBAL INC DE 8.01,9.01 06/11/07 IDACORP INC ID 8.01,9.01 06/11/07 IDEARC INC. DE 5.02 06/08/07 Index Oil & Gas Inc. NV 8.01,9.01 06/11/07 Infosmart Group, Inc. CA 5.02 06/04/07 INFOSPACE INC DE 8.01 06/08/07 INFRASOURCE SERVICES INC DE 8.01 06/08/07 INLAND WESTERN RETAIL REAL ESTATE TRU MD 7.01,9.01 06/11/07 Inova Technology Inc. NV 4.01 06/08/07 INTERDIGITAL COMMUNICATIONS CORP PA 7.01,9.01 06/11/07 Intermec, Inc. DE 7.01,9.01 06/11/07 INTERNET CAPITAL GROUP INC DE 8.01,9.01 06/11/07 INTUIT INC DE 5.02,9.01 06/11/07 IONATRON, INC. DE 8.01 06/11/07 IROBOT CORP DE 1.01,2.03 06/05/07 ITT CORP IN 7.01,9.01 06/11/07 J P MORGAN CHASE & CO DE 9.01 06/07/07 JAMBA, INC. DE 2.02,5.03,9.01 06/07/07 JAMES RIVER GROUP, INC DE 1.01,5.02,8.01,9.01 06/11/07 KATY INDUSTRIES INC DE 1.01,2.01,9.01 06/11/07 KBS Real Estate Investment Trust, Inc MD 1.01 06/05/07 KEYSTONE AUTOMOTIVE INDUSTRIES INC CA 8.01,9.01 06/08/07 Kohlberg Capital CORP DE 2.02 06/11/07 KORN FERRY INTERNATIONAL DE 5.02 06/05/07 KRONOS INC MA 2.01,3.01,3.03,5.01,5.02,9.01 06/11/07 LANDSTAR SYSTEM INC DE 1.01 06/08/07 LEHMAN ABS CORP DAIMLERCHRYSLER DEBEN DE 8.01 06/07/07 LEHMAN ABS DAIMLERCHRYSLER DEB-BKD SE DE 8.01 06/07/07 LIBERTY TAX CREDIT PLUS II L P DE 8.01,9.01 06/11/07 LIBERTY TAX CREDIT PLUS III LP DE 8.01,9.01 06/11/07 LIME ENERGY CO. DE 5.02 06/08/07 LIME ENERGY CO. DE 5.03,9.01 06/06/07 LIPID SCIENCES INC/ AZ 8.01,9.01 06/07/07 LONE STAR TECHNOLOGIES INC DE 8.01,9.01 06/11/07 LOOKSMART LTD DE 1.01,9.01 06/10/07 Lotus Bancorp, Inc. MI 5.02 06/05/07 LSI INDUSTRIES INC OH 1.01,2.03,9.01 06/06/07 MAGUIRE PROPERTIES INC MD 1.01 06/05/07 MARINEMAX INC DE 1.01,9.01 06/05/07 MARSH & MCLENNAN COMPANIES, INC. DE 8.01,9.01 06/11/07 MAXIM INTEGRATED PRODUCTS INC DE 5.02 06/07/07 MCDONALDS CORP DE 7.01,9.01 06/08/07 MCG CAPITAL CORP DE 1.01,2.03,9.01 06/06/07 MEDALLION FINANCIAL CORP DE 1.01,2.03,8.01,9.01 06/07/07 MEDIVATION, INC. DE 8.01,9.01 06/11/07 MENTOR GRAPHICS CORP OR 7.01,8.01,9.01 06/11/07 Merrill Lynch Mortgage Investors Trus DE 8.01,9.01 06/11/07 METAL MANAGEMENT INC DE 8.01 06/07/07 METROPCS COMMUNICATIONS INC DE 1.01,8.01,9.01 06/06/07 MGT CAPITAL INVESTMENTS INC DE 8.01,9.01 06/04/07 MILLENNIUM QUEST INC DE 8.01,9.01 06/11/07 MONSTER WORLDWIDE INC DE 5.02,9.01 06/06/07 MOVIE STAR INC /NY/ NY 8.01,9.01 06/11/07 N-VIRO INTERNATIONAL CORP DE 7.01,8.01 06/08/07 NATIONAL RURAL UTILITIES COOPERATIVE DC 5.02 06/06/07 NATURAL RESOURCE PARTNERS LP DE 8.01 05/22/07 NAVISTAR INTERNATIONAL CORP DE 8.01 06/11/07 NEWTEK BUSINESS SERVICES INC NY 8.01,9.01 06/05/07 NOBILITY HOMES INC FL 2.02,9.01 06/07/07 NOBILITY HOMES INC FL 4.01,9.01 06/05/07 NORTH AMERICAN NATURAL GAS INC WA 5.02 06/06/07 NORTH CENTRAL BANCSHARES INC IA 5.02,7.01,9.01 06/11/07 NORTHRIM BANCORP INC AK 8.01,9.01 06/08/07 NOVATEL WIRELESS INC DE 5.02,9.01 06/06/07 NxStage Medical, Inc. DE 7.01,8.01,9.01 06/11/07 NYMEX HOLDINGS INC DE 8.01 06/08/07 OCWEN FINANCIAL CORP FL 2.01,9.01 06/06/07 OI CORP OK 7.01,9.01 06/08/07 OI CORP OK 8.01,9.01 06/11/07 OPLINK COMMUNICATIONS INC DE 5.02,9.01 06/05/07 OPTICAL COMMUNICATION PRODUCTS INC DE 5.01,5.02,8.01,9.01 06/05/07 Organetix NJ 5.02,9.01 05/30/07 OVERSEAS SHIPHOLDING GROUP INC DE 1.01,9.01 06/05/07 PACIFIC SUNWEAR OF CALIFORNIA INC CA 5.02,7.01,9.01 06/07/07 PALADIN REALTY INCOME PROPERTIES INC MD 1.01,9.01 06/05/07 PATRIOT TAX CREDIT PROPERTIES LP DE 8.01,9.01 06/11/07 PENN TRAFFIC CO DE 5.02,7.01,9.01 06/08/07 PEOPLES LIBERATION INC DE 5.02 06/05/07 PERVASIVE SOFTWARE INC DE 8.01 06/11/07 PHYTOMEDICAL TECHNOLOGIES INC NV 7.01,9.01 06/05/07 PINNACLE ENTERTAINMENT INC DE 1.01,2.03,8.01,9.01 06/05/07 PLAINS EXPLORATION & PRODUCTION CO DE 9.01 05/31/07 AMEND POWER AIR CORP NV 2.03,3.02,9.01 06/05/07 POWER INTEGRATIONS INC CA 2.02,9.01 06/05/07 AMEND POWERCOLD CORP NV 2.03,3.02 03/22/07 POZEN INC /NC 5.02 06/08/07 PRESSTEK INC /DE/ DE 5.02 06/07/07 PRINCETON REVIEW INC DE 5.02,9.01 06/05/07 QUADRAMED CORP DE 5.02,8.01,9.01 06/07/07 QUAKER FABRIC CORP /DE/ DE 1.01,9.01 06/11/07 QWEST COMMUNICATIONS INTERNATIONAL IN DE 5.02,9.01 06/08/07 RENOVIS INC DE 8.01,9.01 06/08/07 RETAIL VENTURES INC OH 2.02,9.01 06/11/07 RIVIERA HOLDINGS CORP NV 7.01,9.01 06/11/07 RYLAND GROUP INC MD 2.04,9.01 06/11/07 SAFEGUARD SCIENTIFICS INC PA 5.02,9.01 06/11/07 SCANNER TECHNOLOGIES CORP NM 5.02,9.01 05/31/07 SE FINANCIAL CORP 2.02,9.01 06/08/07 SEAENA INC. 5.02 06/05/07 SEAMLESS WI-FI, INC. 1.01,2.01 06/08/07 SERACARE LIFE SCIENCES INC 2.03,9.01 06/07/07 SHUMATE INDUSTRIES INC DE 8.01 06/06/07 SI INTERNATIONAL INC DE 1.01,2.03,8.01,9.01 06/08/07 SILICON GRAPHICS INC DE 1.01,9.01 06/05/07 SOURCE INTERLINK COMPANIES INC DE 2.02,7.01,9.01 06/11/07 SPAN AMERICA MEDICAL SYSTEMS INC SC 1.01,2.03,9.01 06/05/07 STRATS SM TRUST FOR Goldman Sachs Cap 8.01 06/05/07 STRATS SM TRUST FOR IBM CORP SEC SERI 8.01 06/05/07 STRATS SM TRUST FOR JPMORGAN CHASE & 8.01 06/05/07 STRATS(SM) TRUST FOR DOMINION RESOURC 8.01 06/05/07 STRATS(SM) TRUST FOR GEN ELEC CAP COR 8.01 06/05/07 STRATS(SM) Trust For Morgan Stanley S 8.01 06/05/07 SUTRON CORP VA 1.01,9.01 06/05/07 Syzygy Entertainment Ltd OH 1.01,2.01,9.01 06/01/07 AMEND T REIT INC VA 7.01,9.01 06/11/07 TEMPUR PEDIC INTERNATIONAL INC DE 1.01,2.03,9.01 06/08/07 TEXAS INSTRUMENTS INC DE 7.01,9.01 06/11/07 THAXTON GROUP INC SC 1.01,9.01 06/08/07 THUNDER MOUNTAIN GOLD INC WA 1.01,2.01,2.03,9.01 06/06/07 TODD SHIPYARDS CORP WA 8.01 06/11/07 TRANSNATIONAL FINANCIAL NETWORK INC CA 3.01 06/05/07 AMEND TREX CO INC DE 8.01,9.01 06/11/07 TWEETER HOME ENTERTAINMENT GROUP INC DE 1.03,9.01 06/11/07 U. S. Premium Beef, LLC 7.01,9.01 06/11/07 UGODS, INC. NV 5.02 06/08/07 ULTICOM INC NJ 2.02,8.01,9.01 06/11/07 UNITED COMPONENTS INC DE 5.02,9.01 06/11/07 UNITED STATES STEEL CORP DE 1.01,9.01 06/07/07 UNITED WESTERN BANCORP INC CO 8.01 06/08/07 UPFC Auto Receivables Trust 2007-A TX 8.01,9.01 06/08/07 URSTADT BIDDLE PROPERTIES INC MD 2.02,9.01 06/08/07 US XPRESS ENTERPRISES INC NV 5.02 06/05/07 uWink, Inc. UT 1.01,2.03,3.02,9.01 06/08/07 uWink, Inc. UT 1.01,2.03,3.02,9.01 06/08/07 VAXGEN INC DE 1.02 05/31/07 VECTr SYSTEMS INC 1.01,3.02,8.01,9.01 05/30/07 VERINT SYSTEMS INC 2.02,7.01,9.01 06/11/07 Vestin Realty Mortgage I, Inc. 8.01,9.01 06/11/07 Vestin Realty Mortgage II, Inc 8.01,9.01 06/11/07 VIDEO DISPLAY CORP GA 5.02,9.01 06/11/07 VIEWSONIC CORP DE 5.02,9.01 06/07/07 VION PHARMACEUTICALS INC DE 8.01,9.01 06/11/07 Vyteris Holdings (Nevada), Inc. NV 1.01 06/05/07 W&T OFFSHORE INC TX 7.01,9.01 06/08/07 WaMu Asset-Backed Certificates, WaMu DE 6.01 06/11/07 Warner Music Group Corp. DE 8.01,9.01 06/11/07 Washington Mutual Mortgage Pass-Throu DE 9.01 05/25/07 Washington Mutual Mortgage Pass-Throu DE 9.01 05/25/07 Waterbank of America (USA) Inc. UT 8.01,9.01 06/04/07 Waterbank of America (USA) Inc. UT 9.01 10/16/06 AMEND WEATHERFORD INTERNATIONAL LTD D0 1.01,1.02,5.02,9.01 06/11/07 WELLPOINT INC IN 5.02 06/05/07 WIRELESS RONIN TECHNOLOGIES INC MN 7.01 06/08/07 WYNDHAM WORLDWIDE CORP DE 8.01,9.01 06/08/07 YARDVILLE NATIONAL BANCORP NJ 1.01,9.01 06/07/07