SEC NEWS DIGEST Issue 2007-123 June 27, 2007 COMMISSION ANNOUNCEMENTS SEC ESTABLISHES ADVISORY COMMITTEE TO MAKE U.S. FINANCIAL REPORTING SYSTEM MORE USER-FRIENDLY FOR INVESTORS Securities and Exchange Commission Chairman Christopher Cox today announced the establishment of an advisory committee that will examine the U.S. financial reporting system with the goals of reducing unnecessary complexity and making information more useful and understandable for investors. The SEC Advisory Committee on Improvements to Financial Reporting will study the causes of complexity and recommend to the Commission how to make financial reports clearer and more beneficial to investors, reduce costs and unnecessary burdens for preparers, and better utilize advances in technology to enhance all aspects of financial reporting. "Our current system of financial reporting has become unnecessarily complex for investors, companies, and the markets generally," Chairman Cox said. "The time is ripe to review how that system can be made less complex and more useful to investors." Robert C. Pozen, chairman of MFS Investment Management in Boston and former vice chairman of Fidelity Investments, will chair the SEC's advisory committee. Chairman Cox said he expects between 13 and 17 additional members with varied backgrounds to be named to the advisory committee within the next few weeks. "In addressing the complexity of the current system, our advisory committee will focus not only on offering better guidance to preparers of financial reports, but also on providing more user-friendly disclosures to meet the different needs of various types of investors," Mr. Pozen said. SEC Chief Accountant Conrad Hewitt said, "The advisory committee will be studying the very important subject of complexity and transparency in order to help investors better understand the financial statements upon which they rely." Chairman Cox said that the Commission will direct the advisory committee to conduct its work with a view toward removing practical and structural impediments that reduce transparency or unnecessarily increase the cost of preparing and analyzing financial reports to the detriment of the investor. The advisory committee will focus on the following areas before making recommendations to the Commission: * the current approach to setting financial accounting and reporting standards; * the current process of regulating compliance by registrants and financial professionals with accounting and reporting standards; * the current systems for delivering financial information to investors and accessing that information; * other environmental factors that drive unnecessary complexity and reduce transparency to investors; * whether there are current accounting and reporting standards that impose costs that outweigh the resulting benefits, and * whether this cost-benefit analysis is likely to be impacted by the growing use of international accounting standards. As part of its consideration of these areas, the advisory committee will focus on how technology can help address accounting complexity by making financial information more useful to a greater number of investors. Through the power of XBRL, hyperlinks, and other technological advances, the opportunity exists to redesign the financial reporting system to deliver the type and level of information that investors need to access their preferred indicators of company performance. Chairman Cox noted that Chairman Robert Herz of the Financial Accounting Standards Board (FASB) and Chairman Mark Olson of the Public Company Accounting Oversight Board (PCAOB) have been instrumental in raising awareness about the need to increase the usefulness of the financial reporting system. The advisory committee is looking forward to the continued cooperation and support of both organizations in studying these issues. The advisory committee will begin its work after additional members are named and the SEC staff files the committee's charter with Congress. Biographical Notes: ROBERT C. POZEN Robert C. Pozen is Chairman of MFS Investment Management®, which manages more than $200 billion in assets for more than five million investors worldwide. He was named to his current position in February 2004. Mr. Pozen is an independent director of Medtronics and BCE (Bell Canada Enterprises). In both companies, he has served as a member of the Audit Committee. In addition, he is involved in various non-profit organizations, such as the Council on Foreign Relations and The Commonwealth Fund. He was recently elected as a fellow of the American Academy of Arts and Sciences. Mr. Pozen was formerly vice chairman of Fidelity Investments and president of Fidelity Management & Research Company, the investment advisor to the Fidelity mutual funds. During his five years as president, Fidelity's assets under management almost doubled. While previously serving as managing director and general counsel of Fidelity Investments, he created Fidelity's Charitable Gift Fund and launched Fidelity's entry into the Japanese mutual fund business. Prior to joining Fidelity, Mr. Pozen served as Associate General Counsel for the SEC, and taught law and economics at New York University. During 2002 and 2003, Pozen was the John Olin Visiting Professor at Harvard Law School, teaching interdisciplinary courses focused on corporate governance and financial institutions. In 2003, he served as Secretary of Economic Affairs for Massachusetts Governor Mitt Romney, helping to close the state's large budget gap and re-organize its functions in business and technology, labor and workforce training, and consumer affairs. Mr. Pozen also served on President Bush's Commission to Strengthen Social Security in late 2001 and 2002. He later developed a detailed proposal to restore solvency to Social Security, known as progressive indexing, that grows benefits more slowly for higher earners while maintaining scheduled benefits for low earners. (Press Rel. 2007-123) ENFORCEMENT PROCEEDINGS IN THE MATTER OF RAJEEV JOHAR On June 26, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (Order) barring Rajeev Johar (Johar), of West Monroe, Louisiana, from association with any investment adviser. Johar consented to the issuance of the Order without admitting or denying any of the findings in the Order, except as to the entry of a final judgment against him. The Order finds that on June 4, 2007, a final judgment was entered by consent against Johar permanently enjoining him 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, and Sections 206(1) and 206(2) of the Investment Advisers Act, in the civil action entitled SEC v. Amit Mathur et al., Civil Action No. 05- CV-10729 (MLW) in the U.S. District Court for the District of Massachusetts. (Rel. IA-2611; File No. 3-12669) IN THE MATTER OF GARY J. SPIRK On June 26, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Order) against Gary J. Spirk of Washington Borough, Pennsylvania. In the Commission's Order, the Division of Enforcement alleges that on Feb. 18, 2004, the Commission filed a civil action against Spirk and others [SEC v. Security Asset Capital Corporation, et al., Civil Action Number 04-CV-0683 (E.D. Pa.)]. The Order further alleges that the Commission's complaint charged that Spirk made material misrepresentations and omissions in the offering of nine-month promissory notes issued by Security Asset Capital Corporation (Security Asset) and Apacor Financial, Inc. (Apacor); the alleged misrepresentations and omissions related to, among other things, the use of the offering proceeds and the risks associated with the investment. Finally, the complaint alleged that no registration statement was in effect as to these promissory notes; nor were they exempt from registration, and that Respondent, in connection with the charged conduct, acted as an unregistered broker-dealer. The Order alleges that as a result of this civil action, a Final Judgment was entered against Spirk, on his default. The District Court ordered Spirk to pay disgorgement of $1,104,016, prejudgment interest of $523,020, and a civil penalty of $120,000 and permanently enjoined Spirk 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; the securities registration provisions, Sections 5(a) and 5(c) of the Securities Act; and the broker-dealer registration provisions, Section 15(a)(1) of the Exchange Act. A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Spirk an opportunity to respond to these allegations, and to determine what sanctions, if any, are appropriate and in the public interest. As directed by the Commission, an administrative law judge shall issue an initial decision in this matter no later than 210 days from the date of service of the Order Instituting Proceedings. For further information, please see Litigation Release Number 18580 (Feb. 18, 2004) and see Litigation Release Number 20150 (June 12, 2007). (Rel. 34-55965; File No. 3-12670) IN THE MATTER OF ARTHUR B. CARLSON, III On June 26, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 (Order) against Arthur B. Carlson, III of St. Paul, Minnesota. In the Commission's Order, the Division of Enforcement alleges that on Feb. 18, 2004, the Commission filed a civil action against Carlson and others [SEC v. Security Asset Capital Corporation, et al., Civil Action Number 04-CV-0683 (E.D. Pa.)]. The Order further alleges that the Commission's Complaint charged that Carlson made material misrepresentations and omissions in the offering of nine-month promissory notes issued by Security Asset Capital Corporation (Security Asset) and Apacor Financial, Inc. (Apacor); the alleged misrepresentations and omissions related to, among other things, the use of the offering proceeds and the risks associated with the investment. The complaint further alleged that no registration statement was in effect as to these promissory notes; nor were they exempt from registration, and that Respondent, in connection with the charged conduct, acted as an unregistered broker-dealer. Finally, the Order alleges that Carlson was registered with the Commission as an investment adviser at the time this civil action was filed. The Order further alleges that as a result of this civil action, a Final Judgment was entered against Carlson, on his default. The District Court ordered Carlson to pay disgorgement of $124,169, prejudgment interest of $58,824, and a civil penalty of $120,000 and permanently enjoined Carlson 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; the securities registration provisions, Sections 5(a) and 5(c) of the Securities Act; and the broker-dealer registration provisions, Section 15(a)(1) of the Exchange Act. A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Carlson an opportunity to respond to these allegations, and to determine what sanctions, if any, are appropriate and in the public interest. As directed by the Commission, an administrative law judge shall issue an initial decision in this matter no later than 210 days from the date of service of the Order Instituting Proceedings. For further information, please see Litigation Release Number 18580 (Feb. 18, 2004) and see Litigation Release Number 20150 (June 12, 2007). (Rels. 34-55966; IA-2612; File No. 3-12671) IN THE MATTER OF RICHARD E. WENSEL On June 26, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Order) against Richard E. Wensel of Scottsdale, Arizona. In the Commission's Order, the Division of Enforcement alleges that on Feb. 18, 2004, the Commission filed a civil action against Wensel and others [SEC v. Security Asset Capital Corporation, et al., Civil Action Number 04-CV-0683 (E.D. Pa.)]. The Order further alleges that the Commission's complaint charged that Wensel made material misrepresentations and omissions in the offering of nine-month promissory notes issued by Security Asset Capital Corporation (Security Asset); the alleged misrepresentations and omissions related to, among other things, the use of the offering proceeds and the risks associated with the investment. Finally, the complaint alleged that no registration statement was in effect as to these promissory notes; nor were they exempt from registration, and that Respondent, in connection with the charged conduct, acted as an unregistered broker-dealer. The Order further alleges that as a result of this civil action, a Final Judgment was entered against Wensel, on his default. The District Court ordered Wensel to pay disgorgement of $130,642, prejudgment interest of $61,891, and a civil penalty of $110,000 and permanently enjoined Wensel 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; the securities registration provisions, Sections 5(a) and 5(c) of the Securities Act; and the broker-dealer registration provisions, Section 15(a)(1) of the Exchange Act. A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Wensel an opportunity to respond to these allegations, and to determine what sanctions, if any, are appropriate and in the public interest. As directed by the Commission, an administrative law judge shall issue an initial decision in this matter no later than 210 days from the date of service of the Order Instituting Proceedings. For further information, please see Litigation Release Number 18580 (Feb. 18, 2004) and see Litigation Release Number 20150 (June 12, 2007). (Rel. 34-55967; File No. 3-12672) COMMISSION REVOKES REGISTRATION OF SECURITIES OF LAMINAIRE CORP. (n/k/a CAVICO CORP.) FOR FAILURE TO MAKE REQUIRED PERIODIC FILINGS On June 27, the Commission revoked the registration of each class of registered securities of Laminaire Corp.(n/k/a Cavico Corp.) (Cavico) for failure to make required periodic filings with the Commission. Without admitting or denying the findings in the order, except as to jurisdiction, which it admitted, Cavico consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Laminaire Corp. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of Cavico's securities pursuant to Section 12(j) of the Exchange Act. This order settled the charges brought against Cavico in In the Matter of Laminaire Corp. (n/k/a Cavico Corp.), et al., Administrative Proceeding File No. 12658. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows: No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . . For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Laminaire Corp. (n/k/a Cavico Corp.), et al., Administrative Proceeding File No. 12658, Exchange Act Release No. 55901 (June 13, 2007). (Rel. 34-55968; File No. 3-12658) SEC CHARGES SIMPSON CAPITAL MANAGEMENT, INC., ROBERT A. SIMPSON AND JOHN C. DOWLING WITH MUTUAL FUND LATE TRADING SCHEME The Commission announced that on June 27 it filed civil fraud charges against Simpson Capital Management, Inc. (Simpson Capital), a hedge fund manager, Robert A. Simpson, its president and owner, and John C. Dowling, Simpson Capital's head trader. In its complaint, filed in the U.S. District Court for the Southern District of New York, the Commission alleges that, between May 2000 and September 2003, Simpson and Dowling, both of New York City, defrauded hundreds of mutual funds and their shareholders of approximately $57 million when they placed thousands of illegal "late trades" after the close of the market, which enabled them to trade based on after-market events while still obtaining the prices in effect before the market closed. Defendants' late trades were part of a profitable investment strategy that depended for its success on mutual fund trading based on information obtained after the markets closed at 4:00 p.m. ET. The complaint alleges that Simpson Capital is the investment adviser to two hedge funds, Simpson Partners, L.P. and Simpson Offshore, Ltd. (collectively, the Simpson Funds). Between May 2000 and September 2003, Simpson Capital, through Simpson and Dowling, used five separate introducing broker-dealers to place more than 10,700 trades in over 375 mutual funds after 4:00 p.m. ET, and improperly received the current day's net asset value (NAV). Some trades were placed as late as 5:45 p.m. By fraudulently late trading, the defendants realized approximately $57 million in ill-gotten gains for the Simpson Funds, and caused corresponding harm to innocent shareholders in the affected mutual funds. The Commission's complaint further alleges that Simpson was an investor in the Simpson Funds and, as a result of the fraudulent trading, Simpson personally earned at least $19 million in fees and profits. Dowling received more than $996,000 in salary and bonuses during the late trading scheme. The Commission's complaint alleges that by their conduct, the defendants violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and seeks permanent injunctions, disgorgement of all ill-gotten gains together with prejudgment interest, and civil monetary penalties. [SEC v. Simpson Capital Management, Inc., et al., Civil Action No. 07-CV-6072 (S.D.N.Y.)] (LR- 20168) INVESTMENT COMPANY ACT RELEASES JOHN HANCOCK TRUST, ET AL. An order has been issued on an application filed by John Hancock Trust, et al. under Section 12(d)(1)(J) of the Investment Company Act for an exemption from Sections 12(d)(1)(A) and (B) of the Act, and under Sections 6(c) and 17(b) of the Act for an exemption from Section 17(a) of the Act. The order permits certain registered open-end management investment companies to acquire shares of other registered open-end management investment companies and unit investment trusts that are within and outside the same group of investment companies. (Rel. IC-27873 - June 26) AMERISTOCK ETF TRUST, ET AL. An order has been issued on an application filed by Ameristock ETF Trust, et al. The order permits: (a) open-end management investment companies, the series of which will be 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-27874 - June 26) STEPHENS INC., ET AL. An order has been issued on an application filed by Stephens Inc., et al. under Sections 6(b) and 6(e) of the Investment Company Act. The order exempts certain investment funds formed for the benefit of eligible current and former employees of Stephens Inc. and its affiliates from certain provisions of the Act. Each fund will be an "employees' securities company" within the meaning of Section 2(a)(13) of the Act. (Rel. IC-27875 - June 26) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-Amex-2007-61) filed by the American Stock Exchange to clarify the method by which Specialists execute odd-lot market orders in Rule 205?AEMI has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of July 2, 2007. (Rel. 34-55949) A proposed rule change (SR-Amex-2007-57) filed by the American Stock Exchange relating to the extension of the pilot period applicable to the listing and trading of options on the iShares MSCI Emerging Markets Index has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of July 2, 2007. (Rel. 34-55955) APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change (SR-BSE-2007-09) and Amendment No. 1 thereto submitted by the Boston Stock Exchange relating to appointment of Market Makers. Publication is expected in the Federal Register during the week of July 2, 2007. (Rel. 34-55950) ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission granted accelerated approval to a proposed rule change (SR-NYSE-2007-46), as modified by Amendment No. 1 thereto, submitted by the New York Stock Exchange relating to the listing and trading of shares of the HealthShares™ Orthopedic Repair Exchange-Traded Fund. Publication is expected in the Federal Register during the week July 2, 2007. (Rel. 34-55953) 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 CampusU, 803 SYCOLIN RD S E, SUITE 204, LEESBURG, VA, 20175, 703-777-9110 - 0 ($28,750,000.00) Equity, (File 333-144034 - Jun. 26) (BR. 02) S-3 BIONOVO INC, 5858 HORTON STREET,, SUITE 375, EMERYVILLE, CA, 94608, 510-601-2000 - 24,937,656 ($100,000,000.00) Equity, (File 333-144035 - Jun. 26) (BR. 01C) SB-2 EnerJex Resources, Inc., 7300 WEST 110TH, 7TH FLOOR, OVERLAND PARK, KS, 66210, 913-693-4600 - 3,000,000 ($3,000,000.00) Equity, (File 333-144036 - Jun. 26) (BR. 04B) S-4 MOBILE MINI INC, 7420 SOUTH KYRENE ROAD, SUITE #101, TEMPE, AZ, 85283, 480-894-6311 - 0 ($150,000,000.00) Non-Convertible Debt, (File 333-144038 - Jun. 26) (BR. 06B) S-8 WATSON PHARMACEUTICALS INC, 311 BONNIE CIRCLE, CORONA, CA, 92880, 9092701400 - 0 ($185,884,405.85) Equity, (File 333-144039 - Jun. 26) (BR. 01C) S-8 Opko Health, Inc., 4400 BISCAYNE BLVD., SUITE 900, MIAMI, FL, 33137, 305-575-6015 - 0 ($193,289,882.14) Equity, (File 333-144040 - Jun. 26) (BR. 09A) S-8 Pricester.Com, Inc., 3900 HOLLYWOOD BLVD, SUITE 203, HOLLYWOOD, FL, 33021, 954-272-1200 - 1,000,000 ($130,000.00) Equity, (File 333-144041 - Jun. 26) (BR. 08B) S-8 Pricester.Com, Inc., 3900 HOLLYWOOD BLVD, SUITE 203, HOLLYWOOD, FL, 33021, 954-272-1200 - 1,000,000 ($130,000.00) Equity, (File 333-144042 - Jun. 26) (BR. 08B) S-3ASR Huntsman CORP, 500 HUNTSMAN WAY, SALT LAKE CITY, UT, 84108, (801) 584-5700 - 0 ($457,180,880.00) Equity, (File 333-144043 - Jun. 26) (BR. 06A) S-8 FOOT LOCKER INC, FOOT LOCKER INC., 112 WEST 34TH STREET, NEW YORK, NY, 10120, 2127204477 - 6,000,000 ($131,640,000.00) Equity, (File 333-144044 - Jun. 26) (BR. 02B) SB-2 Debut Broadcasting Corporation, Inc., 1209-16TH AVENUE SOUTH, SUITE 200, NASHVILLE, TN, 37212, 615-866-0530 - 9,430,316 ($14,711,293.00) Equity, (File 333-144046 - Jun. 26) (BR. 05A) S-8 PPL CORP, TWO N NINTH ST, ALLENTOWN, PA, 181011179, 6107745151 - 0 ($9,184,000.00) Equity, (File 333-144047 - Jun. 26) (BR. 02B) S-3 SECURITIZED ASSET BACKED RECEIVABLES LLC, 0 ($10,000,000,000.00) Mortgage Backed Securities, (File 333-144049 - Jun. 26) (BR. 05D) S-1 ENERGY XXI (BERMUDA) LTD, CANONS COURT, 22 VICTORIA STREET PO BX HM 1179, HAMILTON, D0, 00000, 713 351 3003 - 0 ($236,351,792.00) Equity, (File 333-144050 - Jun. 26) (BR. 04A) SB-2 Lake Victoria Mining Company, Inc., 6805 SUNDANCE TRAIL, RIVERSIDE, CA, 92506, 951-907-9911 - 2,000,000 ($200,000.00) Equity, (File 333-144051 - Jun. 26) (BR. 04) S-8 Andover Medical, Inc., 510 TURNPIKE STREET, STE 204, N. ANDOVER, MA, 01845, 978-557-1001 - 0 ($9,000,000.00) Equity, (File 333-144052 - Jun. 26) (BR. 10A) S-3 ENDWAVE CORP, 130 BAYTECH DRIVE, SAN JOSE, CA, 95134, (408)522-3100 - 0 ($45,329,829.00) Equity, (File 333-144054 - Jun. 26) (BR. 11C) S-3 ALLOY INC, 151 WEST 26TH STREET, 11TH FLOOR, NEW YORK, NY, 10001, 2122444307 - 0 ($1,497,000.00) Equity, (File 333-144055 - Jun. 26) (BR. 11B) S-1 Heckmann CORP, 75080 FRANK SINATRA DRIVE, PALM DESERT, CA, 92211, 760-341-3606 - 0 ($1,060,937,600.00) Equity, (File 333-144056 - Jun. 26) (BR. 09) S-8 AMERICAN OIL & GAS INC, 1050 17TH STREET, SUITE 1850, DENVER, CO, 80265, 3039910173 - 0 ($9,750,000.00) Equity, (File 333-144057 - Jun. 26) (BR. 04B) S-8 M I HOMES INC, 3 EASTON OVAL STE 500, COLUMBUS, OH, 43219, 6144188000 - 1,200,000 ($39,426,373.60) Equity, (File 333-144058 - Jun. 26) (BR. 06B) S-8 HARRIS & HARRIS GROUP INC /NY/, 111 WEST 57TH STREET, SUITE 1100, NEW YORK, NY, 10019, 212-582-0900 - 0 ($17,396,361.84) Equity, (File 333-144059 - Jun. 26) (BR. 16) S-8 MAXWELL TECHNOLOGIES INC, 8888 BALBOA AVENUE, SAN DIEGO, CA, 92123, 8582795100 - 1,000,000 ($13,525,000.00) Equity, (File 333-144060 - Jun. 26) (BR. 10B) S-8 Chelsea Therapeutics International, Ltd., 13950 BALLANTYNE CORPORATE PLACE, UNIT 325, CHARLOTTE, NC, 28277, 704-341-1516 - 1,500,000 ($8,445,000.00) Equity, (File 333-144061 - Jun. 26) (BR. 01A) S-4 BERKSHIRE HILLS BANCORP INC, 24 NORTH ST., PITTSFIELD, MA, 01201, 4134435601 - 0 ($65,701,043.00) Equity, (File 333-144062 - Jun. 26) (BR. 07B) SB-2 SUMMIT EXPLORATION INC., 350 SOUTH CENTER STREET, SUITE 500, RENO, NV, 89501, (866) 680-7649 - 15,000,000 ($750,000.00) Equity, (File 333-144063 - Jun. 26) (BR. 04C) S-3 POKERTEK INC, 1020 CREWS ROAD, SUITE J, MATTHEWS, NC, 28106, 7048490867 - 1,949,999 ($24,160,488.00) Equity, (File 333-144064 - Jun. 26) (BR. 06B) S-8 PC CONNECTION INC, ROUTE 101A, 730 MILFORD RD, MERRIMACK, NH, 03054, 6036832000 - 500,000 ($6,060,000.00) Equity, (File 333-144065 - Jun. 26) (BR. 02A) S-8 ALLOY INC, 151 WEST 26TH STREET, 11TH FLOOR, NEW YORK, NY, 10001, 2122444307 - 0 ($19,960,000.00) Equity, (File 333-144066 - Jun. 26) (BR. 11B) S-4 NCO Group, Inc., 507 PRUDENTIAL ROAD, HORSHAM, PA, 19044, (215) 441-3000 - 0 ($365,000,000.00) Non-Convertible Debt, (File 333-144067 - Jun. 26) (BR. ) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: 1.01 Entry into a Material Definitive Agreement 1.02 Termination of a Material Definitive Agreement 1.03 Bankruptcy or Receivership 2.01 Completion of Acquisition or Disposition of Assets 2.02 Results of Operations and Financial Condition 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant 2.04 Triggering Events That Accelerate or Increase a Direct Financial Obligation under an Off-Balance Sheet Arrangement 2.05 Cost Associated with Exit or Disposal Activities 2.06 Material Impairments 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 3.02 Unregistered Sales of Equity Securities 3.03 Material Modifications to Rights of Security Holders 4.01 Changes in Registrant's Certifying Accountant 4.02 Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review 5.01 Changes in Control of Registrant 5.02 Departure of Directors or Principal Officers; Election of Directors; Appointment of Principal Officers 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year 5.04 Temporary Suspension of Trading Under Registrant's Employee Benefit Plans 5.05 Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics 6.01. ABS Informational and Computational Material. 6.02. Change of Servicer or Trustee. 6.03. Change in Credit Enhancement or Other External Support. 6.04. Failure to Make a Required Distribution. 6.05. Securities Act Updating Disclosure. 7.01 Regulation FD Disclosure 8.01 Other Events 9.01 Financial Statements and Exhibits 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. 20549-1090 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT ------------------------------------------------------------------------------------------------------- ABRAXAS PETROLEUM CORP NV 7.01,9.01 06/26/07 ACTUANT CORP WI 5.02 06/25/07 ADVANCED BATTERY TECHNOLOGIES, INC. DE 5.02 06/21/07 AeroVironment Inc DE 2.02 04/30/07 ALANCO TECHNOLOGIES INC AZ 8.01,9.01 06/22/07 Alliance Bancorp Trust 2007-OA1 9.01 05/29/07 Alliance Holdings GP, L.P. DE 7.01,9.01 06/21/07 ALLIANCE RESOURCE PARTNERS LP DE 7.01,9.01 06/21/07 Allis Chalmers Energy Inc. DE 7.01,9.01 06/26/07 ALLSTATE LIFE GLOBAL FUNDING DE 9.01 06/20/07 ALTRIA GROUP, INC. VA 2.05,9.01 06/26/07 AMALGAMATED ACQUISITION CORP. DE 5.01,5.02,9.01 06/26/07 AMERICAN PHYSICIANS CAPITAL INC MI 7.01,9.01 06/25/07 AMERICAN VANGUARD CORP DE 8.01,9.01 06/21/07 ANTIGENICS INC /DE/ DE 8.01 06/25/07 APOLLO RESOURCES INTERNATIONAL INC UT 1.01,9.01 06/19/07 APPLIED MATERIALS INC /DE DC 1.01,7.01,9.01 06/25/07 ATEL CASH DISTRIBUTION FUND V L P CA 4.01,9.01 02/05/07 AMEND AURIGA LABORATORIES, INC. DE 1.01,5.02,9.01 06/22/07 AVIGEN INC \DE DE 8.01,9.01 02/13/07 BALLISTIC RECOVERY SYSTEMS INC MN 1.01,3.02,5.02,8.01,9.01 06/22/07 BEAR STEARNS COMPANIES INC DE 8.01,9.01 06/22/07 BEAR STEARNS COMPANIES INC DE 8.01,9.01 06/25/07 BEHRINGER HARVARD REIT I INC MD 3.03,7.01,9.01 06/20/07 BI-OPTIC VENTURES INC 7.01,9.01 06/20/07 BIOSPECIFICS TECHNOLOGIES CORP DE 5.02 06/26/07 BIOVERIS CORP DE 2.01,3.01,5.01,8.01,9.01 06/26/07 BKF CAPITAL GROUP INC DE 8.01,9.01 06/22/07 BlackRock Inc. DE 8.01,9.01 06/26/07 BNCCORP INC DE 5.02,8.01 06/20/07 BRE PROPERTIES INC /MD/ MD 5.02,9.01 06/21/07 BREEZE-EASTERN CORP DE 8.01,9.01 06/25/07 BRIDGE BANCORP INC NY 8.01,9.01 06/25/07 BROOKE CORP KS 5.02,7.01,9.01 06/20/07 CACI INTERNATIONAL INC /DE/ DE 5.02 06/26/07 CAMDEN NATIONAL CORP ME 7.01,9.01 06/26/07 CAMDEN NATIONAL CORP ME 7.01,9.01 06/26/07 Cape Fear Bank CORP NC 5.02 06/21/07 CAPITAL ONE FUNDING, LLC 8.01,9.01 06/22/07 CARDINAL HEALTH INC OH 7.01,9.01 06/26/07 CARDIODYNAMICS INTERNATIONAL CORP CA 1.01,2.06,9.01 06/25/07 CATCHER HOLDINGS, INC 1.01,3.02,9.01 06/20/07 CBRL GROUP INC TN 7.01,9.01 06/26/07 Chase Mortgage Finance Trust Series 2 DE 8.01,9.01 06/26/07 Chase Mortgage Finance Trust Series 2 DE 8.01,9.01 06/26/07 Chemtura CORP DE 8.01,9.01 06/26/07 CHENIERE ENERGY INC DE 1.01,9.01 06/25/07 Cheniere Energy Partners, L.P. DE 1.01,9.01 06/25/07 Citicorp Mortgage Securities Trust, S DE 9.01 06/26/07 CITIZENS COMMUNICATIONS CO DE 8.01,9.01 06/26/07 CITIZENS REPUBLIC BANCORP, INC. MI 5.02 06/21/07 CLAIBORNE LIZ INC DE 5.02,9.01 06/20/07 CLARCOR INC DE 7.01,8.01,9.01 06/25/07 COLORADO GOLDFIELDS INC. NV 1.01,5.01,9.01 06/17/07 COMMAND SECURITY CORP NY 2.02,9.01 06/20/07 COMMUNITY BANCORP /VT VT 8.01,9.01 06/25/07 CONVERGYS CORP OH 5.02 06/26/07 CORE LABORATORIES N V P7 8.01,9.01 06/26/07 COVAD COMMUNICATIONS GROUP INC DE 5.02 06/20/07 CrossPoint Energy CO NV 5.02,9.01 06/21/07 CROWN MEDIA HOLDINGS INC DE 5.02,9.01 06/21/07 CSK AUTO CORP DE 5.02,9.01 06/23/07 CWABS Asset-Backed Certificates Trust DE 8.01,9.01 04/27/07 DANKA BUSINESS SYSTEMS PLC 1.02,7.01,9.01 06/25/07 DDI CORP CA 2.02,9.01 06/25/07 DENBURY RESOURCES INC DE 7.01,9.01 06/25/07 Digital Music Group, Inc. DE 1.01,2.02,3.02,9.01 06/21/07 DIGUANG INTERNATIONAL DEVELOPMENT CO. NV 5.02,9.01 06/20/07 DOLLAR FINANCIAL CORP DE 1.01,8.01,9.01 06/20/07 DOLLAR GENERAL CORP TN 7.01,9.01 06/26/07 Domtar CORP DE 1.01,9.01 06/22/07 DOUBLE EAGLE PETROLEUM CO MD 7.01,9.01 06/26/07 Dragon Gold Resources, Inc. NV 8.01,9.01 06/19/07 DUCKWALL ALCO STORES INC KS 5.02,7.01,9.01 06/20/07 EAGLE MATERIALS INC DE 5.02,9.01 06/20/07 EATON CORP OH 8.01 06/04/07 ELUXURYHOUSE INC 4.01,9.01 06/20/07 Embarq CORP DE 5.02,9.01 06/22/07 ENCYSIVE PHARMACEUTICALS INC DE 2.05,5.02,7.01,9.01 06/20/07 ENERGEN CORP AL 5.02,9.01 06/26/07 Energtek 2.01,9.01 06/25/07 ENTRUST INC MD 5.02 06/26/07 ENXNET INC OK 7.01,9.01 06/25/07 ENXNET INC OK 7.01,9.01 06/26/07 EPLUS INC DE 1.01,3.01,9.01 06/25/07 ETERNAL TECHNOLOGIES GROUP INC DE 8.01 06/18/07 EXPEDITORS INTERNATIONAL OF WASHINGTO WA 7.01 06/26/07 Extra Space Storage Inc. MD 1.01,2.01,3.02,7.01,9.01 06/25/07 FAMILY DOLLAR STORES INC DE 1.01,5.02,8.01,9.01 06/22/07 FAMILY HEALTHCARE SOLUTIONS INC NV 1.01,2.01,3.02,4.01,5.01,5.02, 06/20/07 5.03,5.06,9.01 FANTATECH INC DE 5.02 06/26/07 FAVRILLE INC DE 1.01,5.02 06/21/07 Federal Home Loan Bank of Atlanta X1 2.03 06/20/07 Federal Home Loan Bank of Boston X1 2.03 06/20/07 Federal Home Loan Bank of Chicago X1 2.03 06/21/07 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 06/20/07 Federal Home Loan Bank of Dallas 2.03 06/20/07 Federal Home Loan Bank of Des Moines X1 2.03,9.01 06/21/07 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 06/20/07 Federal Home Loan Bank of New York X1 2.03,9.01 06/20/07 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 06/20/07 Federal Home Loan Bank of San Francis X1 2.03 06/20/07 Federal Home Loan Bank of Seattle 2.03 06/26/07 Federal Home Loan Bank of Topeka 2.03 06/21/07 FERRO CORP OH 7.01,9.01 06/26/07 First California Financial Group, Inc DE 5.02,5.03,8.01,9.01 06/21/07 FIRST FEDERAL BANKSHARES INC DE 8.01,9.01 06/21/07 FIRST FINANCIAL SERVICE CORP KY 7.01,9.01 06/15/07 FLEXSTEEL INDUSTRIES INC MN 1.01,9.01 06/25/07 FORCE PROTECTION INC NV 1.01,9.01 06/20/07 FORCE PROTECTION INC NV 5.02,9.01 06/21/07 FOUNDRY NETWORKS INC DE 8.01,9.01 06/26/07 FRANKLIN BANK CORP 1.01,8.01,9.01 06/19/07 FREDERICK COUNTY BANCORP INC MD 8.01,9.01 06/26/07 FREDERICK COUNTY BANCORP INC MD 8.01,9.01 06/26/07 AMEND FreightCar America, Inc. DE 8.01,9.01 06/25/07 FURNITURE BRANDS INTERNATIONAL INC DE 5.02,9.01 06/19/07 GAYLORD ENTERTAINMENT CO /DE DE 1.01,9.01 06/25/07 GENAERA CORP DE 8.01,9.01 06/25/07 GENERAL MOTORS CORP DE 8.01 06/26/07 GENESIS HEALTHCARE CORP PA 1.01,9.01 06/20/07 Global Cash Access Holdings, Inc. DE 1.01,9.01 06/22/07 GLOBALSANTAFE CORP 8.01,9.01 06/25/07 GLOWPOINT INC DE 2.02,5.02,8.01,9.01 06/25/07 GoFish Corp. 1.01,8.01,9.01 06/21/07 GOLF TRUST OF AMERICA INC MD 1.01,3.03,9.01 06/25/07 GP STRATEGIES CORP DE 5.02,9.01 06/20/07 GRANITE CITY FOOD & BREWERY LTD MN 8.01,9.01 06/26/07 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 06/22/07 GREENSHIFT CORP DE 1.01,2.03,3.02 06/26/07 GRILL CONCEPTS INC DE 5.02 06/20/07 GS Auto Loan Trust 2007-1 8.01,9.01 06/26/07 GSI COMMERCE INC DE 8.01 06/26/07 GTA-IB, LLC FL 1.01,9.01 06/25/07 HANMI FINANCIAL CORP DE 5.02,9.01 06/20/07 HAYNES INTERNATIONAL INC DE 7.01,9.01 06/20/07 HCA INC/TN DE 1.01,9.01 06/20/07 HealthSpring, Inc. DE 5.02 06/20/07 HERBST GAMING INC NV 2.01,9.01 06/26/07 HERCULES INC DE 5.03,9.01 06/26/07 HEXCEL CORP /DE/ DE 1.01,9.01 06/21/07 Home System 1.01,9.01 06/26/07 Huntsman CORP DE 8.01,9.01 06/26/07 IDERA PHARMACEUTICALS, INC. DE 2.03 06/12/07 INDYMAC MBS INC RESIDENTIAL ASSET SEC 8.01 05/25/07 IndyMac RAST 2004-R2 8.01 06/25/07 INLAND WESTERN RETAIL REAL ESTATE TRU MD 7.01,9.01 06/22/07 INNOVO GROUP INC DE 1.01,8.01,9.01 06/25/07 Inova Technology Inc. NV 4.01 05/29/07 INPHONIC INC 2.02,9.01 06/20/07 INTERNATIONAL BUSINESS MACHINES CORP NY 8.01 06/25/07 INTERNATIONAL BUSINESS MACHINES CORP NY 5.02 06/26/07 INTRAWARE INC DE 5.02 06/19/07 IOMAI CORP 2.03 06/25/07 ISA INTERNATIONALE INC DE 1.01,9.01 03/31/07 ISCO INTERNATIONAL INC DE 1.01,2.03,3.02,9.01 06/26/07 ITT CORP IN 7.01,9.01 06/26/07 IXI Mobile, Inc. DE 4.01,5.02,9.01 06/20/07 J P MORGAN CHASE & CO DE 9.01 06/22/07 James River Coal CO VA 7.01,9.01 06/26/07 JMP Group Inc. DE 2.02,9.01 06/21/07 Joystar Inc CA 5.03,9.01 06/21/07 KBS Real Estate Investment Trust, Inc MD 1.01,2.01 06/21/07 KEY ENERGY SERVICES INC MD 1.01,7.01,9.01 06/20/07 KROGER CO OH 2.02,9.01 06/26/07 KV PHARMACEUTICAL CO /DE/ DE 7.01,9.01 06/26/07 LANGER INC NY 1.01,3.01,8.01,9.01 06/20/07 LAUREATE EDUCATION, INC. MD 2.03 06/22/07 LCA VISION INC DE 5.02 06/20/07 LCC INTERNATIONAL INC DE 8.01,9.01 06/26/07 LEHMAN ABS CORP DAIMLERCHRYSLER DEBEN DE 8.01,9.01 06/12/07 LEHMAN ABS CORP DAIMLERCHRYSLER DEBEN DE 8.01,9.01 06/13/07 LEHMAN ABS DAIMLERCHRYSLER DEB-BKD SE DE 8.01,9.01 06/12/07 LENNAR CORP /NEW/ DE 2.02,9.01 06/26/07 Lexaria Corp. 1.01,9.01 06/21/07 Liberty Global, Inc. 8.01,9.01 05/22/07 LIBERTY TAX CREDIT PLUS III LP DE 4.02 06/26/07 LIGAND PHARMACEUTICALS INC DE 5.02 06/20/07 LILM, INC. NV 4.02,9.01 03/30/07 LION INC/WA WA 8.01,9.01 06/26/07 LOUD TECHNOLOGIES INC WA 2.01,9.01 04/11/07 AMEND MAGNETEK, INC. DE 8.01 06/26/07 MARVELL TECHNOLOGY GROUP LTD D0 8.01,9.01 06/26/07 MATRITECH INC/DE/ DE 8.01 06/08/07 AMEND MATRIX SERVICE CO DE 8.01,9.01 06/26/07 MAX CAPITAL GROUP LTD. 8.01,9.01 06/20/07 MEDICINOVA INC DE 8.01,9.01 06/26/07 MEDTRONIC INC MN 5.02 06/20/07 MENS WEARHOUSE INC TX 8.01,9.01 04/01/07 MERRILL LYNCH & CO INC DE 8.01,9.01 06/26/07 Merrill Lynch First Franklin Mortgage DE 8.01,9.01 06/26/07 Merrill Lynch Mortgage Investors Trus DE 8.01,9.01 06/26/07 MICROISLET INC NV 5.02,7.01,9.01 06/25/07 MIDWEST AIR GROUP INC WI 3.01,8.01,9.01 06/25/07 MILESTONE SCIENTIFIC INC/NJ DE 5.02,8.01,9.01 06/25/07 MISSION ENERGY HOLDING CO DE 8.01 06/25/07 MIT Holding, Inc. DE 4.01,5.03,9.01 05/04/07 MULTI FINELINE ELECTRONIX INC 8.01,9.01 06/26/07 MVP Network, Inc. NV 1.01,9.01 06/25/07 Nalco Finance Holdings LLC 1.01,2.03,9.01 06/22/07 Nalco Holding CO 1.01,2.03,9.01 06/22/07 Nalco Holdings LLC DE 1.01,2.03,9.01 06/22/07 NATIONAL MENTOR HOLDINGS, INC. DE 7.01,9.01 06/26/07 NAVISTAR INTERNATIONAL CORP DE 2.02,9.01 06/26/07 NEON Communications Group, Inc. DE 1.01,7.01,9.01 06/24/07 NETWORK CN INC DE 1.01,9.01 06/20/07 New England Bancshares, Inc. 8.01,9.01 06/26/07 NIKE INC OR 2.02,9.01 06/26/07 NMT MEDICAL INC DE 5.02,9.01 06/21/07 NOBLE CORP 7.01,9.01 06/25/07 NOVAMED INC DE 1.01,9.01 06/20/07 NUVEEN INVESTMENTS INC DE 8.01 06/21/07 NUVELO INC DE 1.01,1.02,9.01 06/26/07 O A K FINANCIAL CORP MI 5.02 06/21/07 OI CORP OK 5.02,9.01 06/25/07 OMNIRELIANT HOLDINGS, INC. NV 1.01,9.01 06/18/07 ORACLE CORP 2.02,9.01 06/26/07 ORTHOFIX INTERNATIONAL N V 5.02,9.01 06/20/07 PACIFIC GAS & ELECTRIC CO CA 7.01,9.01 06/25/07 PALMETTO BANCSHARES INC SC 1.01,9.01 05/02/07 PARK OHIO HOLDINGS CORP OH 1.01,9.01 06/20/07 PARKE BANCORP, INC. NJ 1.01,2.02 06/21/07 PAULSON CAPITAL CORP OR 3.01,9.01 06/25/07 PEOPLES BANCORP IN 1.01 06/26/07 PETSMART INC DE 5.02,9.01 06/20/07 PG&E CORP CA 7.01,9.01 06/25/07 PHARSIGHT CORP CA 1.01,9.01 06/21/07 PIPEX PHARMACEUTICALS, INC. DE 3.01,9.01 06/26/07 PQ CORP PA 1.01,8.01,9.01 06/26/07 PRESIDENT CASINOS INC DE 4.01,9.01 06/26/07 PROFESSIONALS DIRECT INC MI 1.01,8.01 06/25/07 PROVIDENT FINANCIAL HOLDINGS INC DE 8.01,9.01 06/25/07 QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 1.01,3.02,9.01 06/22/07 QUEST SOFTWARE INC CA 1.01,9.01 06/20/07 QUIDEL CORP /DE/ DE 1.01,5.02,9.01 06/26/07 QUIKSILVER INC DE 1.01,1.02 06/20/07 REGIONS FINANCIAL CORP DE 8.01,9.01 06/26/07 REHABCARE GROUP INC DE 7.01,9.01 06/26/07 RENTRAK CORP OR 5.02 06/25/07 RONSON CORP NJ 1.01,2.03,9.01 06/25/07 S&C HOLDCO 3 INC 2.02,5.02,7.01,9.01 06/25/07 Sabine Pass LNG, L.P. DE 1.01,9.01 06/25/07 SALEM COMMUNICATIONS CORP /DE/ DE 5.02,5.03,8.01,9.01 06/25/07 SBT Bancorp, Inc. CT 5.02,9.01 06/25/07 SCM MICROSYSTEMS INC DE 2.02,9.01 06/26/07 SEARCHHELP INC 5.02 05/15/07 SEQUENOM INC DE 5.02 06/25/07 SES SOLAR INC. 8.01,9.01 06/21/07 Shire plc 8.01,9.01 06/25/07 SIGNATURE LEISURE INC CO 4.01 06/20/07 SIRIUS SATELLITE RADIO INC DE 1.01,2.03,9.01 06/20/07 SLC Student Loan Trust 2007-1 DE 8.01,9.01 06/26/07 Solar Thin Films, Inc. DE 1.01,5.02,9.01 06/20/07 Solera National Bancorp, Inc. DE 7.01,9.01 06/21/07 SONIC SOLUTIONS/CA/ CA 3.01,9.01 06/20/07 SONO TEK CORP NY 7.01,9.01 06/25/07 SOUTH CAROLINA ELECTRIC & GAS CO SC 5.03,9.01 06/22/07 Spectra Energy Corp. DE 5.02,9.01 06/21/07 SPHERION CORP DE 8.01 06/25/07 SRA INTERNATIONAL INC DE 1.01,7.01,9.01 06/20/07 SRI SURGICAL EXPRESS INC FL 1.01,9.01 06/20/07 STEELCASE INC MI 2.02,9.01 06/26/07 STERLING FINANCIAL CORP /PA/ PA 1.01,2.03,9.01 06/26/07 STONELEIGH PARTNERS ACQUISITION CORP. DE 8.01,9.01 06/26/07 Storm Cat Energy CORP 5.02,9.01 06/20/07 STRATASYS INC DE 4.01,9.01 06/08/07 AMEND STRIDE RITE CORP MA 2.02,9.01 06/01/07 SYNERGETICS USA INC 1.01,2.03,9.01 06/20/07 Synova Healthcare Group Inc 5.02 06/20/07 SYNTHETECH INC OR 1.01,2.03,9.01 06/20/07 TECHPRECISION CORP 1.01,5.02,9.01 06/19/07 TEKTRONIX INC OR 8.01,9.01 06/25/07 Tennessee Commerce Bancorp, Inc. TN 5.02 06/14/07 THEGLOBE COM INC DE 3.02,8.01,9.01 06/25/07 TMT CAPITAL CORP FL 1.03,8.01,9.01 06/21/07 TOREADOR RESOURCES CORP DE 7.01,9.01 06/25/07 TOTAL LUXURY GROUP INC IN 8.01,9.01 06/25/07 Tower Group, Inc. DE 2.01,9.01 04/10/07 AMEND Transnational Automotive Group, Inc. NV 2.02,4.02,9.01 06/25/07 TREDEGAR CORP VA 1.01,5.02,9.01 06/26/07 TURBODYNE TECHNOLOGIES, INC NV 7.01,9.01 06/26/07 TYCO INTERNATIONAL LTD /BER/ D0 1.02 06/26/07 UNIVERSAL HOSPITAL SERVICES INC MN 4.01 06/20/07 UNIVERSAL SECURITY INSTRUMENTS INC MD 1.01,2.03,9.01 06/22/07 UNIVERSAL TRAVEL GROUP NV 7.01,9.01 06/20/07 UQM TECHNOLOGIES INC CO 1.01,3.02,8.01,9.01 06/26/07 URANERZ ENERGY CORP. NV 5.03,8.01 06/19/07 URANERZ ENERGY CORP. NV 8.01,9.01 06/26/07 VARSITY GROUP INC 4.01,9.01 06/21/07 VERENIUM CORP DE 1.01,2.01,5.02,5.03,8.01,9.01 06/20/07 VERTEX PHARMACEUTICALS INC / MA MA 5.02 06/22/07 Viacom Inc. DE 1.01,9.01 06/20/07 VICORP RESTAURANTS INC CO 2.03,9.01 06/26/07 VINEYARD NATIONAL BANCORP CA 3.03,5.03,8.01,9.01 06/20/07 W HOLDING CO INC PR 2.06,8.01 06/19/07 WACHOVIA ASSET SECURITIZATION INC 200 8.01,9.01 06/25/07 WACHOVIA ASSET SECURITIZATION INC AST 8.01,9.01 06/25/07 WaMu Asset Acceptance Corp. DE 9.01 06/25/07 WaMu Asset Acceptance Corp. DE 9.01 06/25/07 Washington Mutual Mortgage Pass-Throu DE 6.01 06/26/07 Washington Mutual Mortgage Pass-Throu DE 6.01 06/26/07 WELLPOINT INC IN 5.02 06/22/07 Wells Timberland REIT, Inc. MD 5.02 06/26/07 WESBANCO INC WV 1.01,2.03,9.01 06/26/07 WEST MARINE INC DE 7.01,9.01 06/26/07 WESTERN RESERVE BANCORP INC 5.02,9.01 06/21/07 WINNEBAGO INDUSTRIES INC IA 5.02,9.01 06/20/07 WINSONIC DIGITAL MEDIA GROUP LTD NV 5.03,9.01 06/22/07 WMPH 2, Inc. NV 5.03,5.06 06/25/07 WORLDGATE COMMUNICATIONS INC DE 8.01,9.01 06/20/07 ZILOG INC CA 8.01,9.01 06/25/07 ZION OIL & GAS INC DE 2.06,8.01,9.01 06/20/07 ZOOM TECHNOLOGIES INC DE 5.02 06/22/07