SEC NEWS DIGEST Issue 2006-68 April 10, 2006 COMMISSION ANNOUNCEMENTS SEC ADVISORY COMMITTEE ON SMALLER PUBLIC COMPANIES PLANS PUBLIC TELEPHONE CONFERENCE MEETING The Securities and Exchange Commission Advisory Committee on Smaller Public Companies has announced plans for a public telephone conference meeting on Wednesday, April 12, 2006, at 10:00 A.M., E.D.T. The purpose of the meeting is to further consider the draft of the Advisory Committee's final report. Members of the public may take part in the meeting by listening to the Webcast accessible on the Commission's Web site at www.sec.gov or by calling (800) 260-0718 and using code number 823292. The discussion materials for the meeting are available on the SEC's Web site at http://www.sec.gov/info/smallbus/acspc.shtml. The agenda for the meeting includes five items. * Opening remarks * Discussion of events since last meeting of Feb. 21, 2006 * Discussion of comments received on Exposure Draft of Committee's final report * Review of Discussion Draft of final report dated April 10, 2006 * Discussion of next steps The Advisory Committee was established by the SEC to examine the impact of the Sarbanes-Oxley Act of 2002 and other federal securities laws on smaller companies. The Committee is required to present its final report to the Commission by April 23, 2006. The Committee plans to have its final meeting at the Commission's Washington, D.C., headquarters on April 20, 2006, at 10:00 A.M., E.D.T. (Press Rel. 2006-51) SEC CHAIRMAN CHRISTOPHER COX APPOINTS ANDREW DONOHUE TO BE THE COMMISSION'S NEXT DIRECTOR OF THE DIVISION OF INVESTMENT MANAGEMENT Chairman Christopher Cox announced today that leading Wall Street fund lawyer Andrew "Buddy" Donohue will join the Securities and Exchange Commission as its next Director of the Division of Investment Management. "Buddy brings invaluable expertise and three decades of experience with mutual fund regulation to our investor protection mission," said Chairman Cox. "His knowledge will help ordinary American investors get the information they need. I know that he is committed to promoting effective mutual fund governance, sturdy compliance, and plain English information for mutual fund and ETF purchasers. He will work to get investors more accurate and more timely information through the use of the latest technology. As a leader of the Commission, Buddy will be every retail investor's champion." "This is a great honor," Mr. Donohue said. "With increasing numbers of Americans investing in our growing capital markets, and with great revolutions in the markets underway because of new technology, this is a wonderful time to be given the opportunity to apply the lessons I've learned over the years to benefit all investors." Mr. Donohue, 55, is Global General Counsel for Merrill Lynch Investment Managers. In that position, he oversees the firm's legal and regulatory compliance functions for over $500 billion in assets including mutual funds, fixed income funds, hedge funds, private equities, managed futures, and exchange funds. He is also Chairman of the firm's Global Risk Oversight Committee. Mr. Donohue is well known for his extensive knowledge of mutual fund regulation and compliance issues under the Investment Company Act and the Investment Advisers Act, and he will work with others at the Commission to continue to improve the usability of disclosures by mutual funds, closed-end funds, UITs, ETFs, and other funds available to retail investors. He will also work closely with the Commission to expand the use of interactive data to make mutual fund disclosures more useful and to find and develop additional ways in which technology may improve the accessibility and utility of SEC-mandated information for investors. Prior to his service at Merrill Lynch Investment Managers, Mr. Donohue spent more than a decade as Executive Vice President, General Counsel, Director, and member of the Executive Committee for Oppenheimer Funds, one of the nation's leading retail mutual fund management companies, with managed assets of over $150 billion. Previously, he was a corporate and securities law partner with the firm of Kraft & McManimon (now McManimon & Scotland, LLC), a multi- practice firm for private and government clients based in Newark, N.J. Mr. Donohue's commitment to the needs of individual investors is longstanding. He has served as Senior Vice President, General Counsel, and Director for First Investors Corporation, one of the oldest financial service companies in the country dedicated to the individual investor. The firm has more than $5 billion in assets in over 400,000 individual and institutional accounts nationwide. Mr. Donohue earned his J.D. from New York University School of Law in 1975 and his B.A., cum laude, with honors in Economics from Hofstra University in 1972. Mr. Donohue will be sworn in by Chairman Cox on May 15, 2006. ({Press Rel. 2006-52) COMMISSION SUSPENDS TRADING IN THE SECURITIES OF KSW INDUSTRIES, INC. The Securities and Exchange Commission announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934, of trading of the securities of KSW Industries, Inc. (KSW Industries) at 9:30 a.m. EDT on April 7, 2006, and terminating at 11:59 p.m. EDT on April 21, 2006. The Commission temporarily suspended trading in the securities of KSW Industries because of questions that have been raised about the accuracy and adequacy of publicly disseminated information concerning, among other things: (1) the identity of KSW Industries' current chief executive officer and president; and (2) its business activities, including a joint venture it purportedly entered into in or about November 2005, a letter of intent it issued in or about February 2006, and negotiations it entered into in or about March 2006 to license the company's purported EM-100 process. See In the Matter of KSW Industries, Inc., File No. 500-1 (Rel.. 34-53613). Contacts: Robert B. Kaplan, Assistant Director (202) 551-4969; Nina B. Finston, Branch Chief (202) 551-4961. ENFORCEMENT PROCEEDINGS IN THE MATTER OF METROPOLITAN LIFE INSURANCE COMPANY On April 10, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 (Order) concerning an enforcement action against Metropolitan Life Insurance Company (MetLife) for failing reasonably to supervise a registered representative who defrauded the Fulton County, Georgia Sheriff's Office with respect to the investment of $7.2 million in public funds. MetLife also failed to retain certain required books and records relating to those investments. Without admitting or denying the Commission's findings, MetLife simultaneously agreed to settle the proceedings by consenting to a cease-and-desist order, a censure, and payment of a $250,000 civil penalty. MetLife also previously undertook to return almost all of the amount invested to the Sheriff's Office and to revise certain of its compliance policies and procedures. In its Order, the Commission found that a registered representative of MetLife violated the antifraud provisions of the federal securities laws by, among other things, falsely representing to the Sheriff's Office that an entity receiving proceeds for investment from the Sheriff's Office was an affiliate of MetLife when it was not. The registered representative also caused bogus account statements to be sent to the Sheriff's Office. In its Order, the Commission found that MetLife had been on notice of compliance concerns concerning the registered representative from the time it first hired him in February 2000. Despite ongoing compliance concerns, MetLife permitted the registered representative to work at an offsite location, separate and apart from his primary supervisor and without any heightened supervisory procedures. During the time period the registered representative worked offsite without heightened supervision, he was found by MetLife to have repeatedly violated policies and procedures relating to review and retention of customer files and correspondence. MetLife took no steps at this time, however, to heighten supervision of the registered representative or implement procedures to review adequately his customer files and correspondence. In July 2002, the registered representative's newly assigned primary supervisor formally requested that MetLife investigate the registered representative for potential money laundering. However, MetLife had no policies or procedures in place regarding the timeliness of conducting investigations into registered representatives suspected of compliance violations or specifying the manner in which such investigations were to be conducted. Partly because of these omissions, the requested investigation did not begin in earnest until January 2003, six months after the request. During those intervening six months, MetLife failed to establish any heightened supervisory procedures for the registered representative. Once started, the investigation revealed that he had recently been sued for securities fraud by a former customer. No personnel at MetLife, however, took any steps to investigate or follow-up on these allegations of securities fraud, choosing instead to rely on the information provided by the registered representative. If MetLife had reasonably investigated and responded to the allegations of compliance violations against the registered representative---e.g., through heightened supervision and/or implementing procedures to review adequately his customer files and correspondence---it is likely that the firm could have prevented and/or detected the registered representative's fraud. The Commission's Order found that MetLife failed reasonably to supervise the registered representative within the meaning of Section 15(b)(4)(E) of the Securities Exchange Act of 1934 (Exchange Act). Additionally, the Commission found that MetLife failed to retain certain suitability and asset allocation forms completed by the Sheriff's Office along with certain correspondence sent to the Sheriff's Office, in violation of Section 17(a)(1) of the Exchange Act and Rule 17a-4(b)(4) thereunder. (Rel. 34-53624; File No. 3-12257) COMMISSION SEEKS CONTEMPT AGAINST FOUNDER OF ATLANTA, GEORGIA DAY- TRADING FIRM On April 3, the Commission filed an application with the U.S. District Court for the Northern District of Georgia seeking an order requiring James Vincent O'Brien to show cause why he should not be held in contempt for failure to comply with the Court's Oct. 6, 2004 Judgment. That Judgment directed O'Brien and his day-trading firm, Trades Access Centers, to disgorge $1.6 million, which represented the commissions that Traders Access Centers received while operating as an unregistered broker-dealers in violation of Section 15 of the Securities Exchange Act of 1934. The Judgment found O'Brien jointly and severally liable for this disgorgement award as the control person for Traders Access. According to the Commission's contempt application, O'Brien and Traders Access have not paid the disgorgement or provided any explanation for their failure to pay the disgorgement. [SEC v. James Vincent O'Brien, et al., Case No. 1:02-CV-2117 (N.D. Ga.)] (LR-19646) CIVIL AND ADMINSTRATIVE PROCEEDINGS RESOLVED AS TO THOMAS GERBASIO The Commission announced today that it has resolved all of its pending litigation with Thomas J. Gerbasio (Gerbasio). On March 30, 2006, the Honorable J. William Ditter, Jr., United States District Court Judge, signed a Final Judgment permanently enjoining Gerbasio from violations of antifraud provisions of the federal securities laws (Final Judgment). Securities and Exchange Commission v. Thomas J. Gerbasio, et al., Civil Action No. 05-1833 (E.D. Pa.). Gerbasio consented to the Final Judgment without admitting or denying the allegations of the Commission's complaint, except as to jurisdiction. In the civil injunctive action filed by the Commission on April 21, 2005, the Commission alleges that from August 2002 until April 2004, Gerbasio was in charge of a New York office of Fiserv Securities, Inc. that placed tens of thousands of market timing trades for certain hedge fund customers. The complaint alleges that, from at least August 2002 until October 2003, Gerbasio defrauded hundreds of mutual funds and their shareholders by engaging in deceptive market timing practices for two hedge fund customers, with the result that thousands of market timing trades were placed that would otherwise have been rejected by the fund companies. Specifically, the Complaint alleges that Gerbasio employed a variety of deceptions on behalf of the hedge fund customers, including misrepresenting the nature of their trades to the funds, opening dozens of accounts under different names to conceal the customers' identities from the funds, entering trades in amounts designed to avoid the funds' detection triggers, trading in funds less likely to detect the market timing, and advising the customers on strategies to conceal their market timing from funds that objected to and/or prohibited this trading. Under the Final Judgment, Gerbasio is permanently enjoined from violations of Section 10(b) of Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Final Judgment orders Gerbasio to pay disgorgement together with prejudgment interest in the amount of $540,044, but waives payment of all but $100,000, and does not impose a civil penalty, based on Gerbasio's sworn financial statements submitted to the Commission. On April 10, the Commission also issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions barring Gerbasio from association with any broker or dealer, which is based on the permanent injunction contained in the Final Judgment. [SEC v. Thomas J. Gerbasio, et al., Civil Action No. 05 1833 (E.D. Pa.)] (LR-19647); Administrative Proceeding - (Rel. 34-53622; File No. 3-12256) SEC FILES SETTLED INSIDER TRADING CASE On April 7, the Honorable Rebecca R. Pallmeyer, U.S. District Court Judge for the Northern District of Illinois, entered an Order permanently enjoining Xiangsha Feng (Feng), a resident of Vernon Hills, Illinois, from future violations of the antifraud provisions of the securities laws, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder (Order), in connection with insider trading in the securities of Telular Corporation (Telular). The Order also requires Feng to disgorge her trading profits of $14,568 and to pay a one-time civil penalty equal to her trading profits. The Commission filed its Complaint on April 3. The Commission's complaint alleges that, on three occasions from at least April 2003 through June 2004, Feng learned material, non-public information about Telular's business from her husband, a Telular vice president. Without her husband's knowledge, Feng improperly traded in Telular stock based on that information and realized $14,568 in illegal insider trading profits. Feng agreed to the entry of the Order without admitting or denying the allegations in the Complaint. The Commission acknowledges the assistance and cooperation of the National Association of Securities Dealers Market Regulation Section of Surveillance and Compliance. [SEC v. Xiangsha Feng, Civil Action No. 06C 1817, N.D. Ill.] (LR-19648) SELF-REGULATORY ORGANIZATIONS PROPOSED RULE CHANGES The American Stock Exchange filed a proposed rule change (SR-Amex- 2005-112) relating to trade shredding. Publication of the proposal is expected in the Federal Register during the week of April 10. (Rel. 34-53597) The Boston Stock Exchange filed a proposed rule change (SR-BSE-2006- 05) to modify the Boston Options Exchange's Fee Schedule to impose surcharge fees for transactions in options on ETFs on a retroactive basis. Publication of the proposal is expected in the Federal Register during the week of April 10. (Rel. 34-53607) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-ISE-2006-17) filed by the International Securities Exchange. relating to fees on the Russell 1000 Index has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of April 10. (Rel. 34-53608) A proposed rule change (SR-PCX-2006-24) and Amendments No.1 and 2 thereto filed by the Pacific Exchange, through its wholly-owned subsidiary, PCX Equities, Inc., to change the names of the Pacific Exchange, Inc., PCX Equities, Inc., PCX Holdings, Inc., and the Archipelago Exchange, L.L.C. has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of April 10. (Rel. 34-53615) ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission granted accelerated approval to a proposed rule change (SR-NYSEArca-2006-01) filed by NYSE Arca, Inc. relating to brokers executing as principal orders they represent as agent. Publication of the proposal is expected in the Federal Register during the week of April 10. (Rel. 34-53609) The Commission granted accelerated approval to a proposed rule change (SR-Phlx-2006-15) and Amendment Nos. 1 and 2 thereto filed by the Philadelphia Stock Exchange relating to registration filing requirements and reporting requirements. Publication of the proposal is expected in the Federal Register during the week of April 10. (Rel. 34-53612) 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 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . S-3 QUESTAR MARKET RESOURCES INC, 180 EAST 100 SOUTH, SALT LAKE CITY, UT, 84145-0433, 350,000,000 ($350,000,000.00) Debt, (File 333-133060 - Apr. 7) (BR. 04A) SB-2 Premier Commercial Bancorp, 2400 E. KATELLA AVE., SUITE 125, ANAHEIM, CA, 92806, (714) 978-2400 - 0 ($15,999,984.00) Equity, (File 333-133061 - Apr. 7) (BR. 07) S-3ASR HARRAHS ENTERTAINMENT INC, ONE HARRAHS COURT, LAS VEGAS, NV, 89119, 7024076000 - 0 ($0.00) Other, (File 333-133062 - Apr. 7) (BR. 05A) SB-2 CORGENIX MEDICAL CORP/CO, 12061 TEJON STREET, 303-751-4831, WESTMINSTER, CO, 80234, 3034574345 - 0 ($13,149,284.66) Equity, (File 333-133063 - Apr. 7) (BR. 01A) S-1 Williams Partners L.P., ONE WILLIAMS CENTER, TULSA, OK, 74172-0172, (918) 573-2000 - 8,050,000 ($261,947,000.00) Limited Partnership Interests, (File 333-133065 - Apr. 7) (BR. 02) S-1 Security Capital Assurance Ltd, ONE BERMUDIANA ROAD, HAMILTON, D0, HM 11, 441-292-8515 - 0 ($100,000,000.00) Equity, (File 333-133066 - Apr. 7) (BR. 01) S-1 AVALON PHARMACEUTICALS INC, 20358 SENECA MEADOWS PARKWAY, GERMANTOWN, MD, 20876, 3015569900 - 0 ($8,508,329.93) Equity, (File 333-133067 - Apr. 7) (BR. 01) S-8 RAVEN MOON ENTERTAINMENT INC, 120 INTERNATIONAL PARKWAY, SUITE 220, HEATHROW, FL, 32746, 2,000,000,000 ($600,000.00) Equity, (File 333-133068 - Apr. 7) (BR. 05C) F-6 OJSC Gazprom, 16 NAMETKINA ST., MOSCOW, 1Z, 117997, 7 (495) 719-30-01 - 5,000,000,000 ($250,000,000.00) ADRs/ADSs, (File 333-133069 - Apr. 7) (BR. ) S-8 NETSOL TECHNOLOGIES INC, 23901 CALABASAS ROAD, SUITE 2072, CALABASAS, CA, 91302, 8182229195 - 0 ($10,150,000.00) Equity, (File 333-133070 - Apr. 7) (BR. 03A) S-3 INFINITY ENERGY RESOURCES, INC, 950 SEVENTEENTH STREET, SUITE 800, DENVER, CO, 80202, 720-932-7800 - 0 ($8,810,874.00) Equity, (File 333-133071 - Apr. 7) (BR. 04A) SB-2 UROPLASTY INC, 2718 SUMMER STREET NE, MINNEAPOLIS, MN, 55413, 6123781180 - 0 ($143,452.50) Equity, (File 333-133072 - Apr. 7) (BR. 10C) S-8 BRINKS CO, 1801 BAYBERRY COURT, P O BOX 18100, RICHMOND, VA, 23226-1800, 8042899623 - 5,000,000 ($254,100,000.00) Equity, (File 333-133073 - Apr. 7) (BR. 05A) S-8 OWENS ILLINOIS INC /DE/, ONE SEAGATE, TOLEDO, OH, 43666, 4192475000 - 0 ($123,929,940.00) Equity, (File 333-133074 - Apr. 7) (BR. 06C) S-3 KANBAY INTERNATIONAL INC, 6400 SHAFER CT, STE 1000, ROSEMONT, IL, 60018, 8473846100 - 0 ($61,896,587.00) Equity, (File 333-133075 - Apr. 7) (BR. 03B) S-1 ING USA ANNUITY & LIFE INSURANCE CO, 1475 DUNWOODY DRIVE, SUITE 400, WEST CHESTER, PA, 19380-2700, 610-425-3400 - 0 ($1.00) Other, (File 333-133076 - Apr. 7) (BR. 20) SB-1 SILVANUS ENTERPRISES, INC., 9548-D MT. HOLLY-HUNTERSVILLE RD., #312, HUNTERSVILLE, NC, 28078, 704-577-7490 - 0 ($8,000,000.00) Non-Convertible Debt, (File 333-133077 - Apr. 7) (BR. 09) S-8 FEDERATED DEPARTMENT STORES INC /DE/, 7 WEST SEVENTH STREET, CINCINNATI, OH, 45202, 5135797000 - 75,000 ($5,433,750.00) Equity, (File 333-133078 - Apr. 7) (BR. 02A) SB-2 SUMMIT EXPLORATION INC., SUITE 700, ONE EXECUTIVE PLACE, 1816 CROWCHILD TRAIL N.W., CALGARY, A0, T2M 3Y7, 64 3 541 9558 - 5,000,000 ($500,000.00) Equity, (File 333-133079 - Apr. 7) (BR. 04) S-8 FEDERATED DEPARTMENT STORES INC /DE/, 7 WEST SEVENTH STREET, CINCINNATI, OH, 45202, 5135797000 - 1,500,000 ($108,675,000.00) Equity, (File 333-133080 - Apr. 7) (BR. 02A) S-8 US LEC CORP, 704-319-1000 - 0 ($7,800,000.00) Equity, (File 333-133081 - Apr. 7) (BR. 11A) S-3 iVOW, Inc., 2101 FARADAY AVENUE, CARLSBAD, CA, 92008, 7606039120 - 0 ($1,808,722.30) Equity, (File 333-133082 - Apr. 7) (BR. 01C) SB-2 MEXORO MINERALS LTD, 609 GRANVILLE STREET, SUITE 880, VANCOUVER, A1, V7Y 1G5, 6046855535 - 22,500,000 ($29,250,000.00) Equity, (File 333-133083 - Apr. 7) (BR. 09B) SB-2 PACIFIC BIOMETRICS INC, 220 WEST, HARRISON STREET, SEATTLE, WA, 98119, 2062980068 - 6,157,892 ($8,867,364.48) Equity, (File 333-133084 - Apr. 7) (BR. 01B) S-3ASR LINCOLN NATIONAL CORP, 1500 MARKET STREET STE 3900, CENTRE SQUARE WEST TOWER, PHILADELPHIA, PA, 19102, 2154481475 - 9,475,000 ($513,545,000.00) Equity, (File 333-133086 - Apr. 7) (BR. 01C) S-3 EMISPHERE TECHNOLOGIES INC, 765 OLD SAW MILL RIVER ROAD, TARRYTOWN, NY, 10591, 9143472220 - 6,000,000 ($48,300,000.00) Equity, (File 333-133087 - Apr. 7) (BR. 01A) S-3 NEOMAGIC CORP, 3250 JAY STREET, 3250 JAY STREET, SANTA CLARA, CA, 95054, (408) 988- - 0 ($30,000,000.00) Unallocated (Universal) Shelf, (File 333-133088 - Apr. 7) (BR. 10B) N-2 INDIA FUND INC, 345 PARK AVENUE, NEW YORK, NY, 10154, 866-800-8933 - 0 ($673,646,753.64) Equity, (File 333-133089 - Apr. 7) (BR. 16) S-8 ANDREA ELECTRONICS CORP, 65 ORVILLE DRIVE, BOHEMIA, NY, 11716, (631) 719-1800 - 0 ($156,066.00) Equity, (File 333-133090 - Apr. 7) (BR. 11C) S-1 RELIASTAR LIFE INSURANCE CO OF NEW YORK, 1000 WOODBURY ROAD, SUITE 102, WOODBURY, NY, 11797, 610-425-3400 - 0 ($1.00) Other, (File 333-133091 - Apr. 7) (BR. 29) S-3 WELLMAN INC, 595 SHREWSBURY AVENUE, SHREWSBURY, NJ, 07702, (732)212-3300 - 0 ($400,000,000.00) Other, (File 333-133092 - Apr. 7) (BR. 06B) N-2 UTEK CORP, 202 SOUTH WHEELER STREET, PLANT CITY, FL, 33563, 8137544330 - 0 ($10,408,208.00) Equity, (File 333-133093 - Apr. 7) (BR. 16) S-8 CONCUR TECHNOLOGIES INC, 6222 185TH AVE NE, REDMOND, WA, 98052, 4257028808 - 0 ($18,371,175.00) Equity, (File 333-133094 - Apr. 7) (BR. 03C) S-3ASR PMI GROUP INC, 3003 OAK ROAD, WALNUT CREEK, CA, 94597-2098, 925-658-7878 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-133095 - Apr. 7) (BR. 01B) S-8 METABASIS THERAPEUTICS INC, 9390 TOWNE CENTRE DRIVE, SAN DIEGO, CA, 92121, 0 ($11,278,180.20) Equity, (File 333-133096 - Apr. 7) (BR. 01B) S-3ASR YUM BRANDS INC, 1441 GARDINER LANE, LOUISVILLE, KY, 40213, 5028748300 - 0 ($0.00) Debt, (File 333-133097 - Apr. 7) (BR. 05C) S-8 PAYLESS SHOESOURCE INC /DE/, 3231 SOUTH EAST SIXTH STREET, TOPEKA, KS, 66607-2207, 7852335171 - 0 ($14,868,000.00) Equity, (File 333-133098 - Apr. 7) (BR. 02B) S-4 PLACER SIERRA BANCSHARES, 525 J STREET, SACRAMENTO, CA, 95814, 9165544821 - 0 ($181,891,139.00) Equity, (File 333-133100 - Apr. 7) (BR. 07B) S-8 CONOCOPHILLIPS, CONOCOPHILLIPS, 600 NORTH DAIRY ASHFORD ROAD, HOUSTON, TX, 77079, 2812931000 - 40,500,000 ($2,614,275,000.00) Equity, (File 333-133101 - Apr. 7) (BR. 04C) SB-2 ROCKELLE CORP., 162 MILLER PLACE ROAD, -, MILLER PLACE, NY, 11764, 6312449841 - 18,150,000 ($12,990,000.00) Equity, (File 333-133102 - Apr. 7) (BR. 02C) S-3 ATLANTIC TELE NETWORK INC /DE, 19 ESTATE THOMAS, HAVEN SIGHT, ST. THOMAS, VI, 00802, 3407778000 - 0 ($200,000,000.00) Equity, (File 333-133103 - Apr. 7) (BR. 11C) SB-2 Gulf Coast Oil & Gas Inc., SUITE 3600, 250 WEST 34TH STREET, NEW YORK, NY, 10119, 212-849-6849 - 544,403,329 ($23,409,343.15) Equity, (File 333-133104 - Apr. 7) (BR. 04) S-1 SPESCOM SOFTWARE INC, 10052 MESA RIDGE CT., SUITE 100, SAN DIEGO, CA, 92121, 858 625 3000 - 0 ($6,877,638.00) Equity, (File 333-133105 - Apr. 7) (BR. 03A) S-3 GAIAM INC, 360 INTERLOCKEN BLVD #300, BROOMFIELD, CO, 80021, 3032223600 - 0 ($100,000,000.00) Equity, (File 333-133106 - Apr. 7) (BR. 05B) S-3 PECO II INC, 1376 STATE ROUTE 598, GALION, OH, 44833, 4194687600 - 18,235,168 ($36,835,039.36) Equity, (File 333-133107 - Apr. 7) (BR. 06C) S-8 American Caresource Holdings, Inc., 8080 TRISTAR DRIVE, SUITE 100, IRVING, TX, 75063, 972-871-7912 - 2,249,329 ($11,921,444.00) Equity, (File 333-133108 - Apr. 7) (BR. 08B) S-3 GULFPORT ENERGY CORP, 14313 NORTH MAY AVENUE, SUITE 100, OKLAHOMA CITY, OK, 73134, 4058488807 - 6,935,662 ($105,352,705.78) Equity, (File 333-133109 - Apr. 7) (BR. 04C) SB-2 American Caresource Holdings, Inc., 8080 TRISTAR DRIVE, SUITE 100, IRVING, TX, 75063, 972-871-7912 - 4,292,280 ($22,749,084.00) Equity, (File 333-133110 - Apr. 7) (BR. 08B) S-1 Energy Services Acquisition Corp., 2450 FIRST AVENUE, HUNTINGTON, WV, 25703, 304-528-2791 - 0 ($194,000,100.00) Equity, (File 333-133111 - Apr. 7) (BR. ) S-8 PECO II INC, 1376 STATE ROUTE 598, GALION, OH, 44833, 4194687600 - 2,500,000 ($5,050,000.00) Equity, (File 333-133112 - Apr. 7) (BR. 06C) S-3 COSI INC, COSI INC, 1751 LAKE COOK ROAD SUITE 650, DEERFIELD, IL, 60015, 847-597-3200 - 5,057,240 ($53,404,454.40) Equity, (File 333-133113 - Apr. 7) (BR. 05A) S-3 ADSTAR INC, 4553 GLENCO AVENUE, SUITE 325, MARINA DEL RAY, CA, 90292, 1,025,000 ($1,955,000.00) Equity, (File 333-133114 - Apr. 7) (BR. 08A) S-3ASR VENTAS INC, 10350 ORMSBY PARK PLACE, SUITE 300, LOUISVILLE, KY, 40223, 5023579000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-133115 - Apr. 7) (BR. 08C) S-11 BEHRINGER HARVARD REIT I INC, 0 ($1,209,000,000.00) Equity, (File 333-133116 - Apr. 7) (BR. 08A) S-3 OHIO EDISON CO, 76 S MAIN ST, AKRON, OH, 44308, 2163845100 - 0 ($650,000,000.00) Debt, (File 333-133117 - Apr. 7) (BR. 02B) S-3ASR CHARTERMAC, 625 MADISON AVENUE, NEW YORK, NY, 10022, 2124215333 - 539,383 ($10,588,088.29) Equity, (File 333-133118 - Apr. 7) (BR. 08A) S-8 DiamondRock Hospitality Co, 6903 ROCKLEDGE DRIVE, SUITE 800, BETHESDA, MD, 20817, 240-744-1150 - 1,219,000 ($16,480,880.00) Equity, (File 333-133119 - Apr. 7) (BR. 08B) 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 450 Fifth Street, N.W., Washington, D.C. 20549 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 ------------------------------------------------------------------------------------------------------- 360 GLOBAL WINE CO NV 1.01,2.01,3.02,9.01 03/31/06 360 GLOBAL WINE CO NV 1.01,2.01,3.02,9.01 03/31/06 AMEND 724 SOLUTIONS INC 3.01,9.01 04/03/06 724 SOLUTIONS INC 8.01,9.01 04/06/06 AB WATLEY GROUP INC DE 8.01 03/21/06 ACME COMMUNICATIONS INC DE 1.01,2.03,9.01 03/29/06 ACTUANT CORP WI 1.01 04/03/06 ACUSPHERE INC DE 1.01,7.01,9.01 04/06/06 Advance Nanotech, Inc. CO 1.01,5.02,9.01 04/05/06 Advanced BioEnergy, LLC DE 1.01,2.03 03/08/06 AMEND AFFILIATED MANAGERS GROUP INC DE 1.01,2.03,3.02,9.01 04/03/06 ALFA CORP DE 2.02,9.01 04/05/06 ALLERGAN INC DE 8.01,9.01 04/06/06 ALLERGAN INC DE 7.01,9.01 04/06/06 ALLIED DEFENSE GROUP INC DE 3.01,9.01 04/03/06 ALONG MOBILE TECHNOLOGIES INC NV 1.01,2.01,4.01,5.01,5.02, 12/02/05 AMEND 5.03,5.06,8.01,9.01 AMBASSADORS INTERNATIONAL INC DE 1.01,9.01 04/06/06 AMERICAN AIRLINES INC DE 5.02 04/07/06 AMERICAN EAGLE OUTFITTERS INC DE 7.01,9.01 04/05/06 AMERICAN OIL & GAS INC NV 7.01,9.01 04/07/06 AMERICAN PHYSICIANS CAPITAL INC MI 8.01,9.01 04/06/06 AMERIVEST PROPERTIES INC MD 5.02,9.01 04/04/06 Ames True Temper, Inc. DE 1.01,2.01,2.03,9.01 04/07/06 AMR CORP DE 5.02 04/07/06 ANNALY MORTGAGE MANAGEMENT INC MD 8.01,9.01 04/06/06 ANTHRACITE CAPITAL INC MD 1.01,9.01 03/31/06 APO HEALTH INC /NV/ NV 1.01,3.02,9.01 04/07/06 APPLIED IMAGING CORP DE 5.02 04/03/06 AQUA SOCIETY, INC. NV 5.02,9.01 03/22/06 AMEND ARIAD PHARMACEUTICALS INC DE 8.01 04/05/06 AROTECH CORP DE 1.01,3.01,3.02,9.01 04/06/06 Asset Backed Securities CORP Home Equ DE 8.01,9.01 04/07/06 ATLANTIC TELE NETWORK INC /DE DE 9.01 09/15/05 AMEND AURA SYSTEMS INC DE 4.01,9.01 04/03/06 Avalon Oil & Gas, Inc. CO 2.01 04/06/06 AVERY SPORTS TURF INC DE 1.01,9.01 03/27/06 Aviza Technology, Inc. DE 1.01,9.01 04/04/06 AZZ INC TX 2.02,8.01,9.01 04/07/06 BANCCAP ASSET SECURIZATION ISSUANCE C DE 8.01,9.01 04/07/06 BANKRATE INC FL 1.01,5.02,9.01 04/03/06 Bayview 2006-B DE 8.01 04/07/06 BEBE STORES INC CA 2.02,9.01 04/01/06 BEKEM METALS INC UT 5.02 04/03/06 BELK INC 5.02 04/03/06 BIO TRACKING SECURITY INC FL 8.01,9.01 04/06/06 BIOMET INC IN 8.01 04/06/06 BIOTIME INC CA 5.02,9.01 04/03/06 BON TON STORES INC PA 1.01 04/03/06 BOOKHAM, INC. DE 2.03 04/03/06 BORLAND SOFTWARE CORP DE 3.01,9.01 04/03/06 BOSTON LIFE SCIENCES INC /DE DE 8.01,9.01 03/31/06 BOSTON SCIENTIFIC CORP DE 1.01,8.01,9.01 04/05/06 BPI Energy Holdings, Inc. 8.01,9.01 04/07/06 BRANDPARTNERS GROUP INC DE 1.01,3.02 04/03/06 BROADWING CORP DE 1.01,5.02,9.01 04/03/06 BROOKFIELD HOMES CORP DE 2.02,9.01 04/05/06 BROOKMOUNT EXPLORATIONS INC NV 1.01,5.02 03/05/06 BUCKEYE TECHNOLOGIES INC DE 8.01,9.01 04/05/06 BURLINGTON COAT FACTORY WAREHOUSE COR DE 2.02,9.01 04/05/06 BUSINESS OBJECTS S.A. 5.03,9.01 04/03/06 CA, INC. DE 1.01,9.01 04/04/06 CALIFORNIA PIZZA KITCHEN INC DE 5.02,9.01 04/07/06 Cambridge Display Technology, Inc. DE 1.02 04/06/06 CAPITAL CORP OF THE WEST CA 1.01,9.01 04/07/06 CARRIAGE SERVICES INC DE 7.01,9.01 04/07/06 CARRIZO OIL & GAS INC TX 3.01,9.01 04/03/06 CDW CORP IL 8.01,9.01 04/07/06 CHECKERS DRIVE IN RESTAURANTS INC /DE DE 1.01,9.01 04/05/06 Chemtura CORP DE 1.01,9.01 04/06/06 CHESAPEAKE ENERGY CORP OK 8.01,9.01 04/04/06 CHINA-BIOTICS, INC DE 8.01,9.01 04/04/06 CHIRON CORP DE 1.01,8.01,9.01 10/30/05 CHL Mortgage Pass-Through Trust 2006- DE 9.01 03/28/06 AMEND CHL Mortgage-Pass Through Trust 2006- DE 8.01,9.01 03/17/06 AMEND CHRISTOPHER & BANKS CORP DE 1.01,8.01,9.01 04/05/06 CITADEL SECURITY SOFTWARE INC DE 2.02,9.01 04/05/06 CNL Hotels & Resorts, Inc. MD 1.01,9.01 04/03/06 COCA COLA ENTERPRISES INC DE 8.01,9.01 04/07/06 COFFEE PACIFICA INC NV 4.01 05/03/05 COFFEE PACIFICA INC NV 4.01 03/17/06 AMEND COMBINATORX, INC DE 8.01,9.01 04/07/06 COMMERCE BANCSHARES INC /MO/ MO 1.01,8.01,9.01 04/04/06 Commercial Vehicle Group, Inc. DE 1.01,9.01 04/05/06 COMMUNITY BANK SYSTEM INC DE 4.01,9.01 04/03/06 COOPER TIRE & RUBBER CO DE 2.01 04/07/06 Cooper-Standard Holdings Inc. DE 2.02,9.01 04/03/06 Copano Energy, L.L.C. DE 7.01,9.01 04/06/06 Copano Energy, L.L.C. DE 1.01 04/03/06 Core-Mark Holding Company, Inc. DE 4.01,4.02,9.01 03/20/06 AMEND COST U LESS INC WA 2.02,9.01 04/06/06 COUNTRYWIDE FINANCIAL CORP DE 1.01,9.01 04/03/06 COVANTA HOLDING CORP DE 1.01,9.01 04/05/06 COVENANT TRANSPORT INC NV 1.01,2.03,7.01,9.01 04/03/06 CREDIT SUISSE (USA) INC DE 9.01 04/05/06 CSS INDUSTRIES INC DE 1.01,5.02 04/03/06 DAYSTAR TECHNOLOGIES INC DE 1.01,9.01 04/03/06 DECKERS OUTDOOR CORP DE 1.01,9.01 04/03/06 DELMARVA POWER & LIGHT CO /DE/ DE 8.01 04/06/06 DELPHAX TECHNOLOGIES INC MN 5.02,9.01 04/05/06 DENDREON CORP DE 1.01,9.01 04/04/06 DENNYS CORP DE 2.02,9.01 03/29/06 DEXCOM INC 1.01,9.01 04/04/06 DHB INDUSTRIES INC DE 3.01,9.01 04/03/06 DHB INDUSTRIES INC DE 5.02 04/07/06 DIGITAL ECOSYSTEMS CORP. NV 1.01,9.01 03/31/06 Dividend Capital Total Realty Trust I MD 1.01,9.01 04/07/06 DOR BIOPHARMA INC DE 1.01,9.01 04/06/06 DOV PHARMACEUTICAL INC DE 5.02 04/04/06 DOVER MOTORSPORTS INC DE 7.01,9.01 04/04/06 DUKE CAPITAL LLC DE 8.01,9.01 04/03/06 Duke Power CO LLC NC 1.01,2.01,3.03,8.01,9.01 04/03/06 DVL INC /DE/ DE 5.02 04/07/06 E COM VENTURES INC FL 8.01,9.01 04/07/06 EATON VANCE CORP MD 5.02,9.01 04/07/06 ELECTRIC CITY CORP DE 1.01,2.01,9.01 04/03/06 EMAGEON INC 1.01 03/31/06 EMAK Worldwide, Inc. DE 1.01,8.01,9.01 04/03/06 EMERSON RADIO CORP DE 5.02,9.01 04/03/06 EnerSys DE 7.01 04/03/06 ENPRO INDUSTRIES, INC NC 8.01,9.01 04/07/06 ENTERCOM COMMUNICATIONS CORP PA 8.01,9.01 04/07/06 ENTRX CORP DE 2.04 04/03/06 ENVIRONMENTAL TECTONICS CORP PA 1.01,3.02,5.03,9.01 04/06/06 EP MEDSYSTEMS INC NJ 2.02,9.01 04/03/06 Expedia, Inc. 1.01,1.02,5.02,7.01,9.01 04/05/06 EXTREME NETWORKS INC DE 2.02,9.01 04/06/06 FACTORY CARD OUTLET CORP DE 2.02,9.01 04/06/06 FelCor Lodging Trust Inc MD 8.01 04/03/06 FENTURA FINANCIAL INC MI 8.01,9.01 04/07/06 FIBERSTARS INC /CA/ CA 2.02,9.01 04/03/06 Fieldstone Mortgage Investment CORP MD 8.01,9.01 03/23/06 FIRST FINANCIAL CORP /TX/ TX 8.01 03/22/06 FIRST FRANKLIN FINANCIAL CORP GA 5.02 04/07/06 FIRST IPSWICH BANCORP /MA MA 5.02 04/07/06 FIRST NATIONAL BANCSHARES INC /SC/ SC 8.01,9.01 04/07/06 FIRST OAK BROOK BANCSHARES INC DE 7.01,9.01 04/07/06 Fitmedia Inc. DE 4.01,9.01 03/24/06 AMEND FIVE STAR QUALITY CARE INC 8.01,9.01 04/05/06 FORD MOTOR CO DE 5.02,9.01 04/06/06 FORTUNE BRANDS INC DE 8.01,9.01 01/04/06 AMEND FRONTIER OIL CORP /NEW/ WY 1.01,9.01 04/07/06 FUEL TECH N V 5.02 04/05/06 GAMCO INVESTORS, INC. ET AL NY 5.02,8.01,9.01 04/03/06 GE Commercial Mortgage Corporation, S DE 8.01,9.01 03/23/06 GENCO SHIPPING & TRADING LTD 5.03,9.01 04/04/06 GENELABS TECHNOLOGIES INC /CA CA 3.01,9.01 04/04/06 GENIO GROUP INC DE 5.02 04/04/06 GENTA INC DE/ DE 5.02 04/05/06 GENTEK INC DE 1.01,2.06,9.01 04/03/06 GENTEK INC DE 5.03,9.01 03/09/06 AMEND GLATFELTER P H CO PA 1.01,1.02,2.01,2.03,9.01 04/03/06 GlobalOptions Group, Inc. NV 8.01 04/03/06 GLOWPOINT INC DE 5.02,9.01 04/06/06 GOLDMAN SACHS HEDGE FUND PARTNERS LLC DE 7.01 04/07/06 GOLFSMITH INTERNATIONAL HOLDINGS INC DE 1.01 04/05/06 GONDWANA ENERGY LTD / NY NV 5.01 04/07/06 GRAN TIERRA ENERGY, INC. NV 8.01,9.01 03/31/06 GRIFFON CORP DE 8.01 04/07/06 GS Mortgage Securities Trust 2006-GG6 8.01,9.01 03/31/06 GSAA Home Equity Trust 2006-1 DE 8.01,9.01 03/24/06 GSAA Home Equity Trust 2006-3 DE 8.01,9.01 03/24/06 GTSI CORP DE 3.01,4.02,9.01 04/03/06 Gulf Coast Oil & Gas Inc. 2.03,3.02 04/05/06 HAMPSHIRE GROUP LTD DE 9.01 04/04/06 HANOVER GOLD CO INC DE 5.02 03/16/06 HARRIS INTERACTIVE INC DE 1.01,9.01 04/03/06 HARTFORD LIFE INSURANCE CO CT 8.01,9.01 04/07/06 HAWAIIAN ELECTRIC INDUSTRIES INC HI 2.03,9.01 04/03/06 HEALTH CARE REIT INC /DE/ DE 7.01,8.01,9.01 04/06/06 HEALTH MANAGEMENT ASSOCIATES INC DE 8.01,9.01 04/06/06 HEALTH MANAGEMENT ASSOCIATES INC DE 1.01,9.01 04/04/06 HEALTHEXTRAS INC DE 7.01,9.01 04/05/06 HEALTHTRONICS, INC. GA 1.01,3.01,9.01 04/03/06 HEMISPHERX BIOPHARMA INC DE 3.01,9.01 04/03/06 HERCULES OFFSHORE, INC. DE 1.01,9.01 04/07/06 HICKORY TECH CORP MN 8.01,9.01 04/07/06 HILFIGER TOMMY CORP 8.01,9.01 04/07/06 HINES REAL ESTATE INVESTMENT TRUST IN 2.01,2.03,9.01 04/03/06 HOME SOLUTIONS OF AMERICA INC DE 5.02,5.03,8.01,9.01 04/03/06 HOOPER HOLMES INC NY 2.06,3.01,8.01,9.01 04/03/06 HORIZON HEALTH CORP /DE/ DE 2.02,9.01 04/06/06 IA GLOBAL INC DE 2.01,9.01 04/04/06 ICON Leasing Fund Eleven, LLC DE 8.01 04/07/06 IKON OFFICE SOLUTIONS INC OH 1.01,8.01,9.01 04/03/06 INFOSPACE INC DE 1.01,5.02,9.01 04/06/06 INSIGHT COMMUNICATIONS CO INC DE 1.01,9.01 03/27/06 INTERCELL INTERNATIONAL CORP NV 1.03,9.01 04/06/06 INTERLINK ELECTRONICS INC DE 3.01 04/05/06 INTERNET SECURITY SYSTEMS INC/GA DE 2.02,9.01 04/07/06 INTRAOP MEDICAL CORP 1.01,3.02,9.01 04/07/06 InZon CORP NV 1.01,9.01 03/31/06 IRIS INTERNATIONAL INC DE 1.01,2.01,5.02,9.01 04/03/06 IRWIN FINANCIAL CORP IN 8.01 04/07/06 IVANHOE ENERGY INC 3.02,9.01 04/06/06 IVI COMMUNICATIONS INC NV 1.01,9.01 02/15/06 AMEND iVOW, Inc. DE 8.01,9.01 04/07/06 iVOW, Inc. DE 5.02,9.01 11/18/05 AMEND IXIA CA 2.02,9.01 04/07/06 J P MORGAN CHASE & CO DE 5.03 03/21/06 JACOBS ENGINEERING GROUP INC /DE/ DE 5.02 04/04/06 AMEND JAVELIN PHARMACEUTICALS, INC DE 8.01,9.01 04/06/06 JMG Exploration, Inc. NV 7.01 04/06/06 JONES FINANCIAL COMPANIES LP LLP MO 1.01,9.01 04/03/06 JONES SODA CO WA 5.02 04/04/06 JORGENSEN EARLE M CO /DE/ DE 1.01,2.01,2.03,2.04, 04/03/06 3.03,5.02,5.03,9.01 K-SEA TRANSPORTATION PARTNERS LP DE 1.01,2.03,9.01 04/03/06 KADANT INC DE 1.01,9.01 04/03/06 KANBAY INTERNATIONAL INC 1.01,9.01 04/05/06 KELLY SERVICES INC DE 1.01,9.01 04/04/06 KENNAMETAL INC PA 2.05,9.01 04/04/06 KEYNOTE SYSTEMS INC DE 1.01,2.01,9.01 04/03/06 KEYNOTE SYSTEMS INC DE 1.01 04/03/06 KNIGHT RIDDER INC FL 2.03 04/03/06 LAKES ENTERTAINMENT INC MN 7.01,9.01 04/03/06 LAKES ENTERTAINMENT INC MN 1.01,1.02,9.01 04/03/06 LAS VEGAS GAMING INC NV 2.03 03/31/06 LAS VEGAS SANDS CORP NV 5.02 04/03/06 LEXINGTON PRECISION CORP DE 2.02,9.01 04/06/06 LINCOLN NATIONAL CORP IN 1.01,8.01,9.01 04/03/06 LIPIDVIRO TECH INC NV 9.01 04/06/06 LML PAYMENT SYSTEMS INC A1 1.01,9.01 04/03/06 LML PAYMENT SYSTEMS INC A1 1.01,9.01 04/03/06 MATTSON TECHNOLOGY INC DE 3.01,9.01 04/03/06 MAXUS REALTY TRUST INC MO 1.01 04/07/06 MEDAREX INC NJ 1.01,8.01,9.01 04/07/06 MEDICALCV INC MN 1.01,5.02,8.01,9.01 04/03/06 MEDICSIGHT INC DE 5.02 03/31/06 MEDINA INTERNATIONAL CORP 7.01,9.01 04/06/06 MERCANTILE BANKSHARES CORP MD 1.01 03/29/06 AMEND MERIX CORP OR 5.02 04/06/06 MERRILL LYNCH & CO INC DE 7.01 04/07/06 MERRILL LYNCH MORTGAGE INVESTORS INC DE 8.01,9.01 04/07/06 MEXORO MINERALS LTD CO 2.03,3.02 03/31/06 MEXORO MINERALS LTD CO 1.01,9.01 04/06/06 MGM MIRAGE DE 1.01,2.03,8.01,9.01 04/05/06 MIVA, INC. DE 1.01,5.02,9.01 04/03/06 MMI PRODUCTS INC DE 8.01,9.01 04/07/06 MODTECH HOLDINGS INC CA 5.02 04/03/06 MOLECULAR IMAGING CORP DE 1.01,1.02,9.01 03/31/06 MOMENTA PHARMACEUTICALS INC DE 5.02 04/04/06 Morningstar, Inc. IL 7.01 04/07/06 MOST HOME CORP NV 5.02 04/03/06 MOTIVE INC DE 3.01,9.01 04/03/06 MYLAN LABORATORIES INC PA 1.01,5.02,9.01 04/03/06 N-VIRO INTERNATIONAL CORP DE 2.02,9.01 04/07/06 NAPSTER INC DE 2.02,9.01 03/06/06 NET 1 UEPS TECHNOLOGIES INC FL 1.01,8.01,9.01 03/03/06 AMEND NETFABRIC HOLDINGS, INC DE 5.02 04/03/06 NETSMART TECHNOLOGIES INC DE 1.01,9.01 04/05/06 NEURO-HITECH PHARMACEUTICALS INC DE 5.02,9.01 04/03/06 NEW FRONTIER ENERGY INC CO 7.01,9.01 04/07/06 NEW MEDIUM ENTERPRISES INC NV 3.02 04/07/06 NEW MEDIUM ENTERPRISES INC NV 3.02 04/07/06 AMEND NEW MEDIUM ENTERPRISES INC NV 3.02 04/07/06 AMEND NEWS CORP 8.01,9.01 04/07/06 NEXT INC/TN DE 1.01 04/06/06 NORTEL NETWORKS CORP 2.02,8.01,9.01 04/06/06 NORTEL NETWORKS LTD 2.02,8.01,9.01 04/06/06 NOVASTAR RESOURCES LTD. NV 5.02,9.01 04/06/06 NUTRA PHARMA CORP CA 1.01,1.02,3.02,5.02,9.01 04/01/06 NYMEX HOLDINGS INC DE 5.02 04/07/06 OAKRIDGE ENERGY INC UT 1.01,8.01,9.01 04/04/06 OccuLogix, Inc. DE 1.01,5.01,9.01 04/04/06 OCEAN WEST HOLDING CORP DE 1.01,9.01 04/02/06 ONEIDA LTD NY 5.02,9.01 03/31/06 ONYX SOFTWARE CORP/WA WA 8.01,9.01 04/07/06 OPPENHEIMER HOLDINGS INC A6 9.01 01/03/03 AMEND ORCHID CELLMARK INC 2.02,3.01,4.02,8.01,9.01 04/03/06 ORTEC INTERNATIONAL INC DE 3.02,9.01 04/04/06 OSK CAPITAL II CORP NV 4.02,9.01 04/07/06 OSK CAPITAL II CORP NV 4.01,9.01 02/07/06 AMEND OSK CAPITAL II CORP NV 1.01,2.01,5.01,7.01,9.01 04/28/05 AMEND OWENS & MINOR INC/VA/ VA 1.01,8.01,9.01 04/03/06 OXFORD MEDIA, INC. NV 1.02 04/03/06 PACER HEALTH CORP FL 1.01,3.02,9.01 04/01/06 PACIFIC BIOMETRICS INC DE 3.02 04/04/06 PACIFIC FINANCIAL CORP WA 7.01 04/07/06 PANERA BREAD CO DE 5.02 04/03/06 PARKWAY PROPERTIES INC MD 1.02 04/04/06 PATCH INTERNATIONAL INC/CN NV 5.02,8.01,9.01 03/31/06 PDI INC 5.02 04/07/06 PEMSTAR INC MN 2.02,9.01 04/06/06 PENTAIR INC MN 1.01,5.02,9.01 04/05/06 PEPCO HOLDINGS INC DE 8.01 04/06/06 PERINI CORP MA 1.01 04/05/06 PETROLEUM DEVELOPMENT CORP NV 4.02 04/07/06 AMEND PHI INC LA 1.01,2.03,8.01,9.01 04/06/06 PHYTOMEDICAL TECHNOLOGIES INC NV 1.01,5.02,7.01,9.01 04/03/06 PIERRE FOODS INC NC 1.01,9.01 04/03/06 PIONEER COMPANIES INC DE 1.01,9.01 04/06/06 PIXAR \CA\ CA 1.01,9.01 04/03/06 PLANGRAPHICS INC CO 1.02 04/03/06 PLC SYSTEMS INC 1.01,5.02 04/03/06 PLY GEM HOLDINGS INC DE 7.01 04/07/06 POWERLINX INC NV 1.01,3.02,9.01 03/29/06 AMEND PRB Gas Transportation, Inc. NV 8.01,9.01 04/03/06 PRESIDENT CASINOS INC DE 5.02,5.03,9.01 04/04/06 PROGRESSIVE CORP/OH/ OH 1.01,5.02 04/07/06 Propex Fabrics Inc. DE 2.02,9.01 03/31/06 AMEND QLOGIC CORP DE 1.01,2.01,9.01 04/03/06 QUEST OIL CORP NV 5.02,8.01,9.01 04/07/06 QUEST OIL CORP NV 5.02,8.01,9.01 04/07/06 AMEND QUEST RESOURCE CORP NV 7.01 03/31/06 QUOVADX INC DE 4.01,9.01 04/03/06 QUOVADX INC DE 1.01,8.01,9.01 04/04/06 RADIOSHACK CORP DE 1.01,1.02,9.01 04/06/06 RALI Series 2006-QA2 Trust DE 8.01,9.01 04/06/06 AMEND RECKSON ASSOCIATES REALTY CORP MD 5.02,8.01,9.01 04/03/06 REFLECT SCIENTIFIC INC UT 1.01,2.01,7.01,9.01 04/04/06 RELIANCE STEEL & ALUMINUM CO CA 1.01,2.01,2.03,2.04,8.01,9.01 04/03/06 REPUBLIC BANCORP INC /KY/ KY 5.02 04/07/06 RICHARDSON ELECTRONICS LTD/DE DE 7.01 04/06/06 RICHARDSON ELECTRONICS LTD/DE DE 2.02,4.02,9.01 04/04/06 RITE AID CORP DE 8.01 04/07/06 RIVIERA HOLDINGS CORP NV 1.01,3.03,5.03,9.01 04/05/06 SAFARI ASSOCIATES INC 5.02 04/07/06 SAFECO CORP WA 1.01,8.01,9.01 04/03/06 SCANSOURCE INC SC 2.02,9.01 04/07/06 SCOTTS LIQUID GOLD INC CO 1.01 04/04/06 SEALED AIR CORP/DE DE 1.01,9.01 04/04/06 Shire plc 8.01,9.01 04/06/06 SHOE PAVILION INC DE 2.02,9.01 04/06/06 SI INTERNATIONAL INC DE 1.01,9.01 04/04/06 SILVERLEAF RESORTS INC 1.01 04/05/06 SIMTEK CORP CO 9.01 12/30/05 AMEND Siouxland Ethanol, LLC NE 1.01 04/03/06 SKYLINE CORP IN 2.02,9.01 04/07/06 SKYWEST INC UT 7.01 04/07/06 Smart-tek Solutions Inc NV 8.01,9.01 04/06/06 SMITH A O CORP DE 2.01,9.01 04/04/06 SMITH MICRO SOFTWARE INC DE 1.01,2.01,9.01 04/03/06 SONORAN ENERGY INC WA 2.01,9.01 11/02/05 Soundview Home Loan Trust 2006-1 DE 2.01,9.01 02/06/06 SOUTHWESTERN ENERGY CO AR 7.01 04/07/06 SRKP 4 INC 1.01,2.01 04/03/06 ST MARY LAND & EXPLORATION CO DE 2.02,9.01 04/07/06 STAAR SURGICAL CO DE 1.01 04/04/06 STANDARD MICROSYSTEMS CORP DE 1.01,5.02 04/05/06 STAR GAS PARTNERS LP DE 2.02,8.01,9.01 04/06/06 STEWART & STEVENSON SERVICES INC TX 8.01,9.01 04/07/06 STRATEGIC HOTELS & RESORTS, INC 1.01,7.01,9.01 04/04/06 STRATS SM TRUST FOR IBM CORP SEC SERI 8.01,9.01 03/29/06 STUDENT LOAN CORP DE 5.02 04/07/06 STURM RUGER & CO INC DE 2.02 04/07/06 SUMTOTAL SYSTEMS INC DE 8.01 04/06/06 SUPERGEN INC DE 2.01,9.01 04/04/06 SWIFT TRANSPORTATION CO INC NV 1.01,9.01 04/03/06 TALX CORP MO 1.01,2.03,7.01,8.01,9.01 04/03/06 Tarpon Industries, Inc. MI 1.01,9.01 04/03/06 TEL INSTRUMENT ELECTRONICS CORP NJ 2.02 04/06/06 TELEPHONE & DATA SYSTEMS INC /DE/ DE 3.01,8.01,9.01 04/03/06 THAXTON GROUP INC SC 8.01,9.01 03/30/06 TIENS BIOTECH GROUP USA INC 8.01,9.01 04/04/06 TIME WARNER TELECOM INC DE 5.02 04/06/06 TOPPS CO INC DE 8.01 04/04/06 TOREADOR RESOURCES CORP DE 7.01,9.01 04/06/06 TORRENT ENERGY CORP CO 4.01,9.01 03/28/06 AMEND Tower Group, Inc. DE 5.02,9.01 04/07/06 TOYS R US INC DE 1.01,5.02 04/07/06 TRANSMETA CORP DE 1.01 04/03/06 TREND MINING CO DE 4.01,9.01 04/06/06 TWC Holding LLC DE 7.01 04/07/06 TWEETER HOME ENTERTAINMENT GROUP INC DE 2.02,9.01 04/06/06 UNITED FIRE & CASUALTY CO IA 5.02,9.01 04/07/06 UNITED STATES CELLULAR CORP DE 3.01,8.01,9.01 04/03/06 UNITEDHEALTH GROUP INC MN 7.01 04/07/06 UPSTREAM BIOSCIENCES INC. NV 7.01 04/06/06 USA Mobility, Inc DE 2.02,3.01,4.02,7.01,9.01 04/03/06 USEC INC DE 1.01 04/06/06 VALEANT PHARMACEUTICALS INTERNATIONAL DE 5.02 04/04/06 VALLEY NATIONAL BANCORP NJ 1.01,7.01,9.01 04/05/06 Venoco, Inc. DE 2.02,9.01 04/04/06 VERSO TECHNOLOGIES INC MN 3.02 04/03/06 Viacom Inc. DE 8.01,9.01 04/05/06 VITA FOOD PRODUCTS INC NV 1.01,9.01 04/04/06 VNUS MEDICAL TECHNOLOGIES INC 5.02,9.01 04/03/06 W HOLDING CO INC PR 8.01 04/06/06 WACHOVIA ASSET SECURITIZATION INC 200 8.01,9.01 03/27/06 WACHOVIA ASSET SECURITIZATION INC AST 8.01,9.01 03/27/06 WEIS MARKETS INC PA 1.02 04/04/06 Wells Fargo Mortgage Backed Securitie DE 8.01,9.01 03/23/06 Wells Fargo Mortgage Backed Securitie DE 8.01,9.01 03/23/06 WEST CORP DE 2.01,9.01 04/04/06 WEST MARINE INC DE 1.01,5.02,9.01 04/07/06 WESTERN SIERRA MINING CORP UT 4.01 03/22/06 AMEND Williams Partners L.P. DE 1.01,7.01,9.01 04/06/06 WORLD AIR HOLDINGS, INC. 3.01,9.01 04/03/06 Wornick CO DE 7.01 04/07/06 WORTHINGTON INDUSTRIES INC OH 7.01,9.01 04/07/06 XENOMICS INC FL 5.02,9.01 04/04/06 XEROX CORP NY 1.01,1.02,2.03,9.01 04/07/06 XETHANOL CORP CO 1.01,3.02,9.01 04/03/06 XPONENTIAL INC DE 1.01,9.01 04/03/06 ZONE 4 PLAY INC NV 5.02 04/07/06