SEC NEWS DIGEST Issue 2006-69 April 11, 2006 ENFORCEMENT PROCEEDINGS IN THE MATTER OF BRAD WEAVER On April 10, 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, Making Findings and Imposing Remedial Sections (Order) against Brad A. Weaver. The Order finds that Weaver, a resident of Chicago, Illinois, was associated with Beta Capital Advisors, LLC, an unregistered investment adviser for Beta Capital Partners, L.P. and, from June 1999 through April 15, 2003, a registered representative associated with a registered broker-dealer. The Order also finds that on Feb. 3, 2006, a final judgment was entered by consent against Weaver, permanently enjoining him from future violations of Sections 17(a) of the Securities Act of 1933 and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, in the civil action entitled SEC v. Brad A. Weaver, et al., No. 04 C 8279, in the U.S. District Court for the Northern District of Illinois. The Commission's complaint alleged that beginning in at least March 2003, Weaver raised over $10 million from investors by falsely representing that he could profitably trade in the "error accounts" of a broker-dealer, a trading strategy that does not exist. Weaver also falsely told investors that he had rolled over purported error account trading profits into Beta Advisors. According to the complaint, Weaver misused investor funds, sent out false statements indicating that investor funds had earned returns, and otherwise engaged in a variety of conduct which operated as a fraud and deceit on investors. Based on the above, the Order bars Weaver from association with any broker, dealer or investment adviser. Weaver consented to the issuance of the Order without admitting or denying any of the findings in the Order. (Rels. 34-53627; IA-2507; File No. 3-12258) COMMISSION FILES SETTLED INSIDER TRADING CHARGES AGAINST FOUR INDIVIDUALS FOR TIPPING AND TRADING IN SUNSOURCE, INC. STOCK On April 10, the Commission filed three settled insider trading actions against three former employees of SunSource, Inc. and the nephew of one of those individuals. In complaints filed in the United States District Court for the Southern District of New York, the Commission alleged that Patrick I. Garvey, Diane Karaoulis, and Christopher M. Bernabei violated antifraud provisions of the federal securities laws by purchasing SunSource, Inc. stock in advance of the June 19, 2001, announcement of a merger agreement between SunSource and Allied Capital Corporation and that Kenneth Gerland violated these provisions by tipping Bernabei. Each of the defendants, without admitting or denying the Commission's allegations, has consented to the entry of a final judgment imposing injunctive and other relief. In the action against Gerland and Bernabei, the Commission alleged that, in April 2001, Gerland, who was SunSource's Director of Taxes and Manager of Budgeting & Performance analysis, began working on due diligence relating to the potential merger of SunSource and Allied. As further alleged in the complaint, from April through June 18, 2001, Gerland knowingly or recklessly provided his nephew Bernabei with material, nonpublic information about SunSource in breach of the duty of trust and confidence that he owed SunSource and its shareholders. Starting on April 18, 2001, and continuing through June 18, 2001, Bernabei purchased a total of 4,450 shares of SunSource stock based on the information provided to him by Gerland. Following the announcement of the merger agreement, SunSource's stock price rose $4.54 per share over the prior day's closing price and closed at $9.50 per share on June 19, 2001. Bernabei sold most of his SunSource shares that day, realizing trading profits of $20,670. Bernabei has consented to the entry of a final judgment enjoining him from violating Section 10(b) of the Securities Exchange Act of 1934 and Exchange Act Rule 10b-5, ordering him to disgorge $24,774.91 in trading profits plus pre- judgment interest, and ordering him to pay a civil penalty in the amount of $20,670. Gerland has consented to the entry of a final judgment enjoining him from violating Section 10(b) of the Exchange Act and Exchange Act Rule 10b-5 and ordering him to pay a civil penalty in the amount of $20,670. In the action against Garvey, the Commission alleged that he was a part-time consultant to SunSource who worked on due diligence for the proposed merger with Allied beginning in April 2001. Previously, senior management of SunSource had informed Garvey that he was precluded from trading in SunSource stock because of a potential transaction that was being considered. While working on the due diligence, Garvey purchased 400 shares of SunSource stock on June 1, 2001. According to the complaint, Garvey knew or was reckless in not knowing that the information that he had learned about SunSource's merger with Allied was material, nonpublic information and that trading in advance of the announcement of the merger agreement breached the duty that he owed to SunSource and its shareholders. By trading in advance of the announcement, Garvey had profits of $1,740. Garvey has consented to the entry of a final judgment enjoining him from violating Section 10(b) of the Exchange Act and Exchange Act Rule 10b-5, ordering him to disgorge $2,048 in trading profits plus pre- judgment interest, and ordering him to pay a civil penalty in the amount of $1,740. In the action against Karaoulis, the Commission alleged that she was the secretary to SunSource's chief financial officer and that senior management informed Karaoulis that she was precluded from trading in SunSource stock, due to the potential transaction. As a result of her position, Karaoulis knew of the ongoing merger negotiations between SunSource and Allied. According to the complaint, Karaoulis's spouse bought 255 shares of SunSource stock on April 12, 2001, at her direction. The complaint alleges that Karaoulis knew or was reckless in not knowing the information that she had learned about SunSource's merger with Allied was material, nonpublic information and that directing her spouse to trade in advance of the announcement of the merger agreement breached the duty that she owed to SunSource and its shareholders. As a result of the trading in advance of the announcement, Karaoulis had profits of $1,428. Karaoulis has consented to the entry of a final judgment enjoining her from violating Section 10(b) of the Exchange Act and Exchange Act Rule 10b-5, ordering her to disgorge $1,847 in trading profits plus pre-judgment interest, and ordering her to pay a civil penalty in the amount of $1,428. [SEC v. Kenneth M. Gerland and Christopher M. Bernabei, Civil Action No. 06 CV 2767, (JGK) USDC SDNY; SEC v. Patrick I. Garvey, Civil Action No. 06 CV 2766, (LAK) USDC SDNY, SEC v. Diane Karaoulis, Civil Action No. 06 CV 2768, (RMB)USDC SDNY] (LR-19649). SEC COMPLAINT CHARGES INTERNATIONAL INSIDER TRADING RING INCLUDING PERSONNEL AT MERRILL LYNCH AND GOLDMAN SACHS On April 11, the Commission sought leave to file a second amended complaint (Complaint) in its pending action in the U.S. District Court for the Southern District of New York, alleging insider trading in advance of the Aug. 3, 2005, announcement (Announcement) by Reebok International Ltd. (Reebok) that it had agreed to be acquired by adidas-Salomon AG (adidas). The Complaint alleges widespread and brazen international schemes of serial insider trading orchestrated by two individuals - Eugene Plotkin (Plotkin), a research analyst in the Fixed Income division of Goldman Sachs Group (Goldman Sachs), and David Pajcin (Pajcin), a former employee of Goldman Sachs - that yielded at least $6.7 million of illicit gains. In one scheme, Plotkin and Pajcin persuaded a mergers and acquisitions analyst at Merrill Lynch & Co., Inc. (Merrill Lynch) to provide tips on upcoming mergers in return for a share of the trading profits. In another scheme, Plotkin and Pajcin recruited two individuals to obtain jobs at a printing plant in Wisconsin, steal advance copies of BusinessWeek magazine and tip Plotkin and Pajcin on the names of companies discussed favorably in the "Inside Wall Street" (IWS) column before the magazine became public. Plotkin and Pajcin traded on the inside information, initially in an account in Pajcin's name and later, in accounts in the names of others in Europe and the United States. Plotkin and Pajcin also tipped several individuals in the United States and Europe in return for a share of their trading profits. In total, Plotkin and Pajcin traded in at least 25 stocks within one year based on inside information obtained through these schemes. The Commission's Complaint charges 13 individuals in the United States and Europe for their roles in the schemes. This Complaint follows two prior complaints filed by the Commission in August 2005, charging insider trading in Reebok securities and successfully freezing over $6 million in trading proceeds. In its initial filing in this matter, on Aug. 5, 2005, the Commission obtained a court order freezing a securities account in the name of Sonja Anticevic (Anticevic), a Croatian national and resident. The Anticevic account engaged in a series of highly profitable trades in "out of the money" call options of Reebok just prior to Reebok's Announcement. On August 18, 2005, the Court entered a Preliminary Injunction against Anticevic which, among other relief, continues the asset freeze. On Aug. 18, 2005, the Commission also filed an amended complaint seeking additional emergency relief against eight additional defendants, including residents of the United States, Croatia and Germany, trading through several domestic and off-shore accounts. As alleged in the amended complaint, the defendants acted in concert or under a common direction in placing the Reebok trades, and collectively netted a profit of over $6 million. Among others, the amended complaint charged Pajcin, who is Anticevic's nephew, alleging that Pajcin placed or directed some of the Reebok trades, and tipped other defendants who placed Reebok trades. Also charged were Henry Siegel, a resident of Pomona, New York; Monika Vujovic, a resident of New York, New York; Elvis Santana, a resident of Brooklyn, New York; Zoran Sormaz, a resident of Zagreb, Croatia; Perica Lopandic, a resident of Reinbek, Germany; Ilija Borac, a resident of Zagreb, Croatia; and Certain Unknown Persons trading in an account at an Austrian broker, Direktanlage.at AG (Direktanlage Traders). Acting on the Commission's request for emergency relief, the Court issued temporary restraining orders which, among other things, froze the proceeds of trading in Reebok securities in the domestic accounts and required the repatriation and freezing of the proceeds in the foreign accounts. Ultimately, the Court entered a preliminary injunction against all of the defendants, and, as a result, the Commission obtained Court orders freezing over $6 million in illegal profits stemming from insider trading in Reebok securities. The Commission's Complaint, today, alleges that Plotkin and Pajcin explored a variety of audacious insider-trading schemes. Among others, Plotkin and Pajcin met with a series of individuals employed at various investment banks in an attempt to get them to provide non- public information about deals those banks were handling. Plotkin and Pajcin also contemplated various schemes involving exotic dancers, including having them garner information from bankers while dancing, and using them to induce investment bankers to provide Plotkin and Pajcin with information. At least two schemes were consummated: The Merrill Lynch Scheme The Complaint alleges that Plotkin and Pajcin infiltrated the investment banking unit of Merrill Lynch, repeatedly learning of mergers and acquisitions transactions before they became public. In exchange for a share of the illegal profits, Stanislav Shpigelman (Shpigelman), an analyst at Merrill Lynch, leaked confidential information to defendants Plotkin and Pajcin concerning at least six mergers or acquisitions that Merrill Lynch was working on, prior to the time the deals became public, including deals between (i) The Proctor & Gamble Company and The Gillette Company; (ii) Novartis AG and Eon Labs, Inc.; (iii) Duke Energy and Cinergy Corp.; (iv) Quest Diagnostics, Inc. and LabOne, Inc.; (v) Celgene Corp. and a company considering acquiring Celgene; and (vi) Reebok and adidas. Plotkin and Pajcin traded on the insider information and passed the insider information on to individuals in the United States and Europe (Traders) who traded on it. Plotkin and Pajcin had an agreement with the Traders, pursuant to which they were to receive a percentage of the illicit profits made by the Traders. The Merrill Lynch Scheme yielded over $6.4 million in illicit trading profits. The BusinessWeek Scheme The Complaint further alleges that Plotkin and Pajcin also infiltrated one of the printing plants utilized by BusinessWeek, repeatedly obtaining advance copies of the market-moving IWS column in BusinessWeek. Plotkin and Pajcin recruited two individuals - first, Nickolaus Shuster (Shuster), and later Juan C. Renteria, Jr. (Renteria) - to obtain employment at Quad/Graphics, Inc., one of four printing plants that print BusinessWeek magazine, for the sole purpose of stealing copies of upcoming editions of the magazine, and calling Plotkin or Pajcin to read them key portions of IWS - a widely-read column in the magazine that generally moves the price of the securities of companies mentioned in it - prior to the time the column became available to the public. The Complaint alleges that Shuster and Renteria provided Plotkin or Pajcin with insider information concerning at least twenty companies that were featured in the IWS column. Plotkin and Pajcin then either traded on the IWS insider information or passed the information to some or all of the Traders, who traded on the insider information. The BusinessWeek Scheme yielded over $345,000 in illicit trading profits. The Commission's Complaint names 5 new defendants - Plotkin, Shpigelman, Shuster, Renteria, and Mikhail Plotkin. To date, the Commission has charged the following persons in this matter: Orchestrators of Fraud Eugene Plotkin, age 26, is a resident of New York, New York. Plotkin has been employed at Goldman Sachs since July 2000, where he is currently an Associate in the Fixed Income Research division. Plotkin was, along with Pajcin, the architect of the Merrill Lynch and BusinessWeek Schemes. Plotkin contributed funds to Pajcin's trading account, which traded on the basis of insider information obtained from the two schemes in certain of the securities referred to in the Complaint. Plotkin and Pajcin agreed to split the profits from Pajcin's trading, along with all the proceeds they collected from their tippees, evenly between themselves. David Pajcin, age 29, was, during the Relevant Period, a resident of Clifton, New Jersey. Pajcin was formerly associated with several broker-dealers, including Goldman Sachs. Pajcin was, along with Plotkin, the architect of the Merrill Lynch and BusinessWeek Schemes. Pajcin traded for his own account, on the basis of insider information obtained from the two schemes, in certain securities referred to in the Complaint. Pajcin also passed the insider information on to other persons in exchange for a share of their illicit profits. Sources of Insider Information Stanislav Shpigelman, age 23, is a resident of Brooklyn, New York. Shpigelman has been employed as a Mergers and Acquisitions Analyst at Merrill Lynch since July 2004. Shpigelman was the source of the non- public confidential information, and a tipper, in connection with the six mergers and acquisitions deals identified under the Merrill Lynch Scheme. Nickolaus Shuster, age 24, was, during the relevant period a resident of Newark, New Jersey, Hartford, Wisconsin, and, most recently, Lexington, Tennessee. Shuster was employed at Quad Graphics from approximately Oct. 11, 2004, to approximately Jan. 6, 2005, when he was terminated. Shuster was a source of the non-public confidential information, and a tipper, in the BusinessWeek Scheme. Juan C. Renteria, age 20, is a resident of Milwaukee, Wisconsin. Renteria began working at Quad on or about May 15, 2005, where he is currently employed. Renteria was a source of the non-public confidential information, and a tipper, in the BusinessWeek Scheme. Tippees/Nominees Sonja Anticevic, age 63, is a Croatian national residing in Omis, Croatia. Anticevic, a retired seamstress, is Pajcin's aunt. Certain of the securities referred to in the Complaint were traded through various domestic and foreign accounts held in Anticevic's name. Anticevic permitted Pajcin to trade through Anticevic's various accounts. Anticevic received at least 30,000 Euros for her participation in the frauds. Henry Siegel, age 55, is a resident of Pomona, New York. Siegel traded for his own account in certain of the securities referred to in the Complaint. Siegel was a tippee of Plotkin and Pajcin in the Merrill Lynch and BusinessWeek Schemes. Elvis Santana, age 23, is a resident of Brooklyn, New York. Santana traded for his own account in certain of the securities referred to in the Complaint. Santana was a tippee of Plotkin and Pajcin in the Merrill Lynch and BusinessWeek Schemes. Monika Vujovic, age 23, is a resident of New York, New York. Certain of the securities referred to in the Complaint were traded through an account held in Vujovic's name. Vujovic permitted Pajcin to trade through Vujovic's account. Vujovic was promised 50% of all fraudulent proceeds made through her account. Perica Lopandic, age 39, is a German national residing in Reinbek, Germany. Lopandic traded for his own account in certain of the securities referred to in the Complaint. Lopandic was both a tipper and a tippee in the Merrill Lynch and BusinessWeek Schemes. Mikhail Plotkin, age 49, is a resident of Palo Alto, California, and is Plotkin's father. Mikhail Plotkin traded in certain of the securities referred to in the Complaint. Mikhail Plotkin was a tippee of Plotkin and Pajcin in the Merrill Lynch and BusinessWeek Schemes. Zoran Sormaz, age 40, is a Croatian national residing in Zagreb, Croatia. Sormaz traded for his own account in certain of the securities referred to in the Complaint. Sormaz was a tippee in the Merrill Lynch and BusinessWeek Schemes. Ilija Borac, age 50, is a Croatian national residing in Zagreb, Croatia. Borac traded for his own account in certain of the securities referred to in the Complaint. Borac was a tippee in the Merrill Lynch and BusinessWeek Schemes. The Direktanlage Traders are certain unidentified individuals who traded in certain securities as set forth in the Complaint through Direktanlage account number 34401046. The Direktanlage Traders were tippees in the Merrill Lynch and BusinessWeek Schemes. The Commission alleges that, as a result of trading in various securities on the basis of material, non-public information obtained pursuant to the Merrill Lynch Scheme or the BusinessWeek Scheme, the defendants engaged in illegal insider trading in violation of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. In addition, the Commission alleges that defendants Plotkin, Pajcin, and Shpigelman violated Section 14(e) of the Exchange Act and Rule 14e-3 thereunder by trading in the stock of a company while in possession of material, non-public information related to a cash tender offer for such company's stock. Among other things, the Complaint seeks permanent injunctive relief, the disgorgement of all illegal profits plus prejudgment interest, the imposition of civil monetary penalties, and orders requiring the defendants to repatriate to the United States proceeds of the fraud in accounts outside the United States. The Commission acknowledges the assistance of the U.S. Attorney's Office for the Southern District of New York and the Federal Bureau of Investigation. The Commission also acknowledges the assistance of the Financial Supervisory Authority in Denmark, the Financial Market Authority in Austria, the Croatian Securities Commission, and the Financial Services Authority in the United Kingdom. [SEC v. Sonja Anticevic, et al., 05 Civ. 6991, KMW, SDNY] (LR-19650) SEC FILES SETTLED CIVIL INJUNCTIVE ACTION AGAINST FORMER BIOPURE CORPORATION EXECUTIVE AND BOARD MEMBER The Commission today filed a civil injunctive action against Carl Rausch, former Vice Chairman of the Board of Directors and Senior Technology Officer of Biopure Corporation of Cambridge, Massachusetts, for his role in Biopure's misleading public statements about the company's efforts to obtain FDA approval for its primary product, a synthetic blood product. The action, filed in federal district court in Massachusetts, charges Rausch, 57, of Belmont, Massachusetts, with aiding and abetting violations of the reporting provisions of the federal securities laws in connection with materially misleading statements by Biopure between April and December, 2003. Without admitting or denying the Commission's allegations, Rausch consented to the entry of a final judgment permanently enjoining him from violating certain provisions of the federal securities laws and ordering him to pay a $40,000 civil penalty. The Commission's Complaint alleges that, beginning in April 2003, Biopure received negative information from the FDA regarding its efforts to obtain FDA approval of its synthetic blood product Hemopure but failed to disclose the information, or falsely described it as positive developments. Specifically, the Complaint alleges that in April 2003, the FDA placed a clinical hold barring Biopure from conducting clinical trials of Hemopure on human trauma victims in hospitals because of safety concerns about Hemopure. As alleged, during the next eight months, Biopure failed to disclose the imposition of and reasons for the clinical hold while making public statements about its plans to obtain approval for trauma uses of Hemopure. In addition, according to the Complaint, in July 2003 the FDA informed Biopure that it had not approved Biopure's application for use of Hemopure in orthopedic surgery because of extensive and significant deficiencies in Biopure's application and because of concerns about the lack of safety and efficacy of Hemopure. Biopure, however, issued public statements and Commission filings beginning on Aug. 1, 2003, describing the FDA's communication as good news, causing its stock price to increase by over 20%. The Complaint alleges that Biopure continued to make misleading statements until December 2003 while simultaneously raising over $35 million from investors. The Complaint further alleges that as the true status of Biopure's efforts to obtain FDA approval gradually became public, through a series of incomplete and misleading disclosures between late October and the end of December 2003, the company's stock price plummeted almost 66% from its August 1 price. According to the Complaint, Rausch was aware of the true status of Biopure's FDA applications, yet reviewed, approved, and, in several instances, signed Biopure's misleading statements. The Commission previously filed a civil injunctive action on September 14, 2005 against Biopure and three other Biopure executives concerning their roles in this matter. Simultaneously with the filing of the Complaint, Rausch, without admitting or denying the Commission's allegations, consented to the entry of a final judgment that permanently enjoins him from aiding and abetting violations of Section 13(a) of the Securities Exchange Act of 1934 and Rules 12b-20, 13a-11 and 13a-13 thereunder, and requires him to pay a civil penalty of $40,000. For further information, see Litigation Release No. 19376 (Sept. 14, 2005, Biopure and others charged by the Commission). [SEC v. Carl Rausch, Civil Action No. 06- 10642-PBS (D. MA)] (LR-19651) INVESTMENT COMPANY ACT RELEASES VAN ECK ASSOCIATES CORPORATION, ET AL. A notice has been issued giving interested persons until May 1, 2006, to request a hearing on an application filed by Van Eck Associates Corporation, et al. for an order to permit series of open-end management investment companies to issue shares of limited redeemability that would trade in the secondary market at negotiated prices. The order would permit dealers to sell shares of the series in the secondary market unaccompanied by a prospectus when prospectus delivery is not required by the Securities Act of 1933. The order also would permit certain affiliated persons of the series to deposit securities into, and receive securities from, the series. Finally, the order would permit certain registered management investment companies and unit investment trusts outside of the same group as the series to acquire shares of the series. (Rel. IC- 27283 - April 7) SELF-REGULATORY ORGANIZATIONS PROPOSED RULE CHANGE The Municipal Securities Rulemaking Board filed a proposed rule change (SR-MSRB-2006-02) relating to Restated Articles of Incorporation and By-laws. Publication of the notice in the Federal Register is expected during the week of April 10. (Rel. 34-53616) IMMEDIATE EFFECTIVENESS OF A PROPOSED RULE CHANGE The Commission issued notice of immediate effectiveness of a proposed rule change (SR-NASD-2006-043) filed by the National Association of Securities Dealers, through its subsidiary, The Nasdaq Stock Market, Inc., to establish a fee for the Brut Workstation. Publication of the notice in the Federal Register is expected during the week of April 10. (Rel. 34-53617) ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission granted accelerated approval to a proposed rule change, as amended, submitted by the Chicago Board Options Exchange (SR-CBOE- 2006-32) to list for trading options on the iShares MSCI Emerging Markets Index Fund. Publication of the notice in the Federal Register is expected during the week of April 10. (Rel. 34-53621) 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-1 PERLEGEN SCIENCES INC, 2021 STIERLIN COURT, MOUNTAIN VIEW, CA, 94043, 650-625-4500 - 0 ($115,000,000.00) Equity, (File 333-133120 - Apr. 10) (BR. 01C) S-1 ING LIFE INSURANCE & ANNUITY CO, 151 FARMINGTON AVE, HARTFORD, CT, 06156, 860-723-4646 - 50,000,000 ($5,350.00) Other, (File 333-133151 - Apr. 10) (BR. 20) S-1 ING LIFE INSURANCE & ANNUITY CO, 151 FARMINGTON AVE, HARTFORD, CT, 06156, 860-723-4646 - 0 ($1.00) Other, (File 333-133157 - Apr. 10) (BR. 20) S-1 ING LIFE INSURANCE & ANNUITY CO, 151 FARMINGTON AVE, HARTFORD, CT, 06156, 860-723-4646 - 0 ($1.00) Other, (File 333-133158 - Apr. 10) (BR. 20) S-8 PENFORD CORP, 7094 SOUTH REVERE PARKWAY, CENTENNIAL, CO, 80112-3932, 303-649-1900 - 0 ($12,800,000.00) Equity, (File 333-133160 - Apr. 10) (BR. 04C) S-8 VITAL LIVING INC, 5080 NORTH 40TH STREET, SUITE 105, PHOENIX, AZ, 85018, 602-952-9909 - 40,000,000 ($1,535,000.00) Equity, (File 333-133161 - Apr. 10) (BR. 01C) F-10 CENTRAL FUND OF CANADA LTD, #805-1323 15TH AVE SW, HALLMARK ESTATES, CALGARY ALBERTA CANA, A6, T3C 0X8, 4062285861 - 0 ($49,999,996.10) Equity, (File 333-133165 - Apr. 10) (BR. 07B) S-3 AMERICA FIRST APARTMENT INVESTORS INC, SUITE 100, 1004 FARNAM STREET, OMAHA, NE, 68102, 4024441630 - 0 ($7,596,750.00) Equity, (File 333-133166 - Apr. 10) (BR. 08A) S-8 VARIAN SEMICONDUCTOR EQUIPMENT ASSOCIATES INC, 35 DORY ROAD, GLOUCESTER, MA, 01930-2297, 9782812000 - 0 ($60,000,000.00) Other, (File 333-133167 - Apr. 10) (BR. 10C) SB-2 DNAPRINT GENOMICS INC, 900 COCONUT AVE., SARASOTA, FL, 34231, 9413663400 - 600,000,000 ($13,200,000.00) Equity, (File 333-133168 - Apr. 10) (BR. 01A) S-3ASR UNITED FIRE & CASUALTY CO, 118 SECOND AVE SE, CEDAR RAPIDS, IA, 52407, 3193995700 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-133169 - Apr. 10) (BR. 01C) S-3 WFN CREDIT CO LLC, 800 TECHCENTER DR, GAHANNA, OH, 43230, 6147294000 - 0 ($1,000,000.00) Asset-Backed Securities, (File 333-133170 - Apr. 10) (BR. 05D) S-3ASR GameStop Corp., 625 WESTPORT PARKWAY, GRAPEVINE, TX, 76051, 817-424-2000 - 0 ($0.00) Equity, (File 333-133171 - Apr. 10) (BR. 02) S-8 ACURA PHARMACEUTICALS, INC, 616 N. NORTH COURT, SUITE 120, PALATINE, IL, 60067, 847-705-7709 - 30,000,000 ($17,400,000.00) Equity, (File 333-133172 - Apr. 10) (BR. 01A) S-3 Energy Transfer Partners, L.P., 2838 WOODSIDE, -, DALLAS, TX, 75204, 9184927272 - 0 ($1,500,000,000.00) Unallocated (Universal) Shelf, (File 333-133174 - Apr. 10) (BR. 02B) S-4 FLUSHING FINANCIAL CORP, 1979 MARCUS AVENUE , SUITE E140, LAKE SUCCESS, NY, 11042, 718-961-5400 - 1,598,698 ($26,484,733.00) Equity, (File 333-133175 - Apr. 10) (BR. 07C) S-3 Energy Transfer Partners, L.P., 2838 WOODSIDE, -, DALLAS, TX, 75204, 9184927272 - 0 ($1,000,000,000.00) Limited Partnership Interests, (File 333-133176 - Apr. 10) (BR. 02B) SB-2 BODISEN BIOTECH, INC, NORTH PART OF XINQUIA ROAD, YANG LING AG, HIGH-TECH INDUSTRIES DEMONSTRATION ZONE, YANG LING, F4, 712100, 86-29-87074957 - 0 ($7,375,599.33) Equity, (File 333-133177 - Apr. 10) (BR. 04A) SB-2 MILLENIA HOPE INC, 4055 ST. CATHERINE ST, SUITE 142 H3Z 3J8, MONTREAL QUEBEC, A6, 62704, 5148465757 - 74,181,818 ($5,550,000.00) Equity, (File 333-133178 - Apr. 10) (BR. 01B) SB-2 ZAXIS INTERNATIONAL INC, 115 EAST 57TH STREET, SUITE 1118, NEW YORK, NY, 10022, 646-202-9679 - 76,400,000 ($1,528,000.00) Equity, (File 333-133179 - Apr. 10) (BR. 09A) SB-2 AeroGrow International, Inc., 900 28TH STREET, SUITE 201, BOULDER, CO, 80303, 303-444-7755 - 7,308,451 ($39,788,317.75) Equity, (File 333-133180 - Apr. 10) (BR. 09) S-3 BCAP LLC, 200 PARK AVENUE, NEW YORK, NY, 10166, (212) 412-4000 - 0 ($5,501,000,000.00) Mortgage Backed Securities, (File 333-133181 - Apr. 10) (BR. 05) SB-2 HEALTH BENEFITS DIRECT CORP, 2900 GATEWAY DRIVE, POMPANO BEACH, FL, 33069, 954-944-4447 - 0 ($114,908,750.00) Equity, (File 333-133182 - Apr. 10) (BR. 01) S-8 A CONSULTING TEAM INC, 200 PARK AVE S, SUITE 901, NEW YORK, NY, 10003, 2129798228 - 975,000 ($4,368,000.00) Equity, (File 333-133183 - Apr. 10) (BR. 11B) S-1 NEIMAN MARCUS GROUP INC, ONE MARCUS SQUARE, 1618 MAIN STREET, DALLAS, TX, 75201, 214-741-6911 - 0 ($1.00) Debt, (File 333-133184 - Apr. 10) (BR. 02A) S-8 NMS COMMUNICATIONS CORP, 100 CROSSING BLVD, FRAMINGHAM, MA, 01702, 5086501300 - 0 ($2,594,101.00) Equity, (File 333-133185 - Apr. 10) (BR. 11C) S-4 NEIMAN MARCUS GROUP INC, ONE MARCUS SQUARE, 1618 MAIN STREET, DALLAS, TX, 75201, 214-741-6911 - 0 ($1,200,000,000.00) Debt, (File 333-133186 - Apr. 10) (BR. 02A) S-3ASR CONTINENTAL AIRLINES INC /DE/, 1600 SMITH STREET 3303D, DEPT HQSEO, HOUSTON, TX, 77002, 7133245000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-133187 - Apr. 10) (BR. 05B) S-3 NMS COMMUNICATIONS CORP, 100 CROSSING BLVD, FRAMINGHAM, MA, 01702, 5086501300 - 0 ($13,772,578.32) Equity, (File 333-133188 - Apr. 10) (BR. 11C) S-1 Millennium India Acquisition CO Inc., 330 EAST 38TH STREET, SUITE 46C, NEW YORK, NY, 10016, 212-681-6763 - 0 ($205,000,100.00) Other, (File 333-133189 - Apr. 10) (BR. ) S-3 ENTREMED INC, 9640 MEDICAL CNTR DR, STE 200, ROCKVILLE, MD, 20850, 3012179858 - 0 ($23,614,680.00) Equity, (File 333-133190 - Apr. 10) (BR. 01A) SB-2 FOLDERA, INC, 17011 BEACH BLVD., HUNTINGTON BEACH, CA, 92647, 480-659-8036 - 8,655,366 ($54,051,510.00) Equity, (File 333-133192 - Apr. 10) (BR. 02B) 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 ------------------------------------------------------------------------------------------------------- 724 SOLUTIONS INC 1.01,8.01,9.01 04/03/06 AARON RENTS INC GA 7.01,9.01 04/10/06 ABERCROMBIE & FITCH CO /DE/ DE 7.01,9.01 04/06/06 ABERDENE MINES LTD 7.01,9.01 04/05/06 ACCEPTANCE INSURANCE COMPANIES INC DE 8.01,9.01 04/06/06 Accredited Mortgage Loan Trust 2006-1 1.01,9.01 03/28/06 AFFILIATED COMPUTER SERVICES INC DE 8.01 04/07/06 AFFIRMATIVE INSURANCE HOLDINGS INC DE 1.01,3.01,5.02,9.01 04/04/06 AFFORDABLE RESIDENTIAL COMMUNITIES IN MD 1.01,9.01 04/05/06 AMERICA SERVICE GROUP INC /DE DE 8.01 04/07/06 AMERICAN BILTRITE INC DE 8.01 04/04/06 AMERICAN SEAFOODS GROUP LLC DE 2.02,9.01 04/07/06 AMERICANWEST BANCORPORATION WA 7.01 04/06/06 AMERICASBANK CORP MD 8.01,9.01 04/07/06 AMERIGROUP CORP 1.01 03/31/06 AMERIPRISE FINANCIAL INC DE 7.01,9.01 04/10/06 ANNALY MORTGAGE MANAGEMENT INC MD 1.01,3.03,9.01 04/06/06 ANNTAYLOR STORES CORP DE 8.01 04/10/06 ANZA CAPITAL INC NV 4.01 04/10/06 APPALACHIAN POWER CO VA 8.01,9.01 04/10/06 ARRAY BIOPHARMA INC DE 8.01,9.01 04/10/06 ARTISTDIRECT INC DE 1.01,8.01,9.01 04/07/06 ASG Consolidated LLC DE 2.02,9.01 04/07/06 ATP OIL & GAS CORP TX 5.02 04/04/06 AVOCENT CORP DE 7.01,9.01 04/10/06 Banc of America Mortgage Securities M DE 8.01,9.01 12/27/05 AMEND BANK OF AMERICA CORP /DE/ DE 7.01,9.01 04/10/06 BANK OF GRANITE CORP DE 2.02,9.01 04/10/06 BIOGEN IDEC INC DE 1.01 04/04/06 BJS WHOLESALE CLUB INC DE 1.01 04/04/06 BLUE NILE INC DE 4.01,9.01 04/04/06 BLYTH INC DE 1.01,9.01 04/04/06 BOWATER INC DE 1.01,5.02,9.01 04/04/06 BURLINGTON COAT FACTORY WAREHOUSE COR DE 8.01,9.01 04/10/06 CABLEVISION SYSTEMS CORP /NY DE 8.01 04/07/06 CALLIDUS SOFTWARE INC 5.02,9.01 04/10/06 CALLWAVE INC 1.01,9.01 04/07/06 CALPINE CORP DE 2.05,2.06 04/04/06 CAPITAL CORP OF THE WEST CA 1.01,9.01 04/07/06 AMEND Caribou Coffee Company, Inc. MN 2.02,9.01 04/10/06 CARSUNLIMITED COM INC NV 4.01,9.01 03/13/06 CENTERSTATE BANKS OF FLORIDA INC FL 4.01,9.01 04/04/06 CENUCO INC DE 1.01,9.01 04/07/06 CHAMPION ENTERPRISES INC MI 2.01,9.01 06/30/05 AMEND CHASE ISSUANCE TRUST 8.01,9.01 04/07/06 CHINA DIGITAL COMMUNICATION GROUP NV 5.02,9.01 04/04/06 CIENA CORP DE 1.01,9.01 04/10/06 CIT Equipment Collateral 2006-VT1 6.01,8.01,9.01 03/23/06 CITADEL SECURITY SOFTWARE INC DE 3.01,9.01 04/10/06 CLEAR CHOICE FINANCIAL, INC. NV 1.01,9.01 04/05/06 COAST FINANCIAL HOLDINGS INC 8.01 04/07/06 Coastal Bancshares Acquisition Corp. TX 1.01,5.02,9.01 04/05/06 COCA COLA CO DE 8.01,9.01 04/10/06 COEUR D ALENE MINES CORP ID 8.01,9.01 04/09/06 COHEN & STEERS INC 1.01,9.01 04/10/06 COMMERCIAL NET LEASE REALTY INC MD 1.02 04/04/06 COMMUNITRONICS OF AMERICA INC UT 2.01 01/06/06 COMMUNITRONICS OF AMERICA INC UT 2.01 01/06/06 CONCUR TECHNOLOGIES INC WA 2.01,9.01 01/23/06 AMEND CONNETICS CORP DE 8.01,9.01 04/07/06 CONOCOPHILLIPS DE 8.01 04/04/06 CORAUTUS GENETICS INC DE 2.02,8.01,9.01 04/10/06 CORRECTIONS CORP OF AMERICA MD 1.02,5.02,9.01 04/10/06 CRAY INC WA 3.01,7.01,9.01 04/07/06 CRIMSON EXPLORATION INC. TX 2.02,9.01 04/06/06 CROSS COUNTRY HEALTHCARE INC DE 8.01,9.01 04/06/06 CROSS COUNTRY HEALTHCARE INC DE 5.02 04/10/06 CROSS COUNTRY HEALTHCARE INC DE 8.01,9.01 04/06/06 AMEND CURATIVE HEALTH SERVICES INC 1.01,2.03,8.01,9.01 04/05/06 CWABS Asset-Backed Certificates, Seri DE 8.01,9.01 03/30/06 DANA CORP VA 8.01,9.01 04/10/06 DATALINK CORP MN 1.01,8.01,9.01 04/05/06 DAYSTAR TECHNOLOGIES INC DE 5.02,9.01 04/04/06 DIAMOND OFFSHORE DRILLING INC DE 7.01,9.01 04/10/06 DIGICORP UT 1.01,2.03,3.02,9.01 03/23/06 DOMINION HOMES INC OH 2.02,7.01,9.01 04/07/06 DOR BIOPHARMA INC DE 3.02,8.01,9.01 04/10/06 DRUGMAX INC NV 2.02,9.01 04/10/06 DUSA PHARMACEUTICALS INC NJ 8.01,9.01 04/10/06 DUSA PHARMACEUTICALS INC NJ 1.01,5.02,9.01 04/04/06 EARTH BIOFUELS INC DE 1.01,2.01,3.02,9.01 03/31/06 ECOLLEGE COM DE 8.01 04/07/06 ELCOM INTERNATIONAL INC DE 1.01,9.01 03/30/06 ELECTROGLAS INC DE 1.01,5.02,9.01 04/07/06 EMBARCADERO TECHNOLOGIES INC 2.02,9.01 04/10/06 EMC INSURANCE GROUP INC IA 7.01 04/10/06 EMISPHERE TECHNOLOGIES INC DE 1.01,3.03,5.02,5.03,9.01 04/07/06 ENDOCARE INC DE 8.01 04/07/06 Energy Transfer Partners, L.P. DE 2.02,7.01,9.01 04/10/06 ENGELHARD CORP DE 8.01,9.01 04/10/06 EPICOR SOFTWARE CORP DE 4.01,9.01 04/04/06 ESPEED INC DE 5.02,9.01 04/05/06 ETHAN ALLEN INTERIORS INC DE 7.01,9.01 04/10/06 ETRIALS WORLDWIDE INC. 5.05,9.01 04/06/06 EXPLORATION CO OF DELAWARE INC DE 7.01,9.01 04/06/06 FEDERAL AGRICULTURAL MORTGAGE CORP 8.01 04/06/06 FEDERATED DEPARTMENT STORES INC /DE/ DE 1.01,9.01 04/04/06 FERRO CORP OH 2.04,7.01,9.01 04/05/06 FIDELIS ENERGY INC NV 1.01,9.01 04/07/06 FIDELITY SOUTHERN CORP GA 7.01,9.01 04/10/06 FIRSTENERGY CORP OH 1.01,7.01,9.01 04/07/06 FOAMEX INTERNATIONAL INC DE 5.02 04/07/06 FOLDERA, INC 9.01 04/05/06 AMEND FRISCHS RESTAURANTS INC OH 2.02,9.01 04/10/06 FULL HOUSE RESORTS INC DE 1.01,7.01,9.01 04/06/06 GENCORP INC OH 2.02,7.01,9.01 04/10/06 GENERAL MOTORS ACCEPTANCE CORP DE 8.01 04/10/06 GENERAL MOTORS CORP DE 8.01 04/10/06 GENSYM CORP DE 1.01 03/07/06 AMEND GLOBAL ENTERTAINMENT CORP NV 8.01,9.01 04/10/06 GLOBAL IMAGING SYSTEMS INC DE 4.01,9.01 04/05/06 GLOBAL INDUSTRIES LTD LA 1.01 04/10/06 GLOBAL INNOVATIVE SYSTEMS INC NV 3.02 04/03/06 GLOBALNET CORP NV 8.01 04/07/06 GREAT ATLANTIC & PACIFIC TEA CO INC MD 8.01,9.01 04/04/06 GREENS WORLDWIDE INC AZ 1.01,9.01 04/10/06 GTECH HOLDINGS CORP DE 3.02 04/06/06 HARRINGTON WEST FINANCIAL GROUP INC/C 4.01,9.01 04/05/06 HARTFORD LIFE INSURANCE CO CT 8.01,9.01 04/10/06 AMEND HERSHA HOSPITALITY TRUST MD 1.01,2.01,9.01 02/08/06 AMEND HNI CORP IA 1.01,2.03,9.01 04/05/06 HOST MARRIOTT CORP/ MD 1.01,2.03,9.01 04/04/06 HOST MARRIOTT L P DE 1.01,2.03,9.01 04/04/06 HOUSTON EXPLORATION CO DE 1.01,9.01 04/07/06 Hughes Communications, Inc. DE 7.01,9.01 04/06/06 I MANY INC DE 1.01,9.01 04/07/06 IDACORP INC ID 8.01 04/10/06 IMAGE ENTERTAINMENT INC DE 7.01,9.01 04/04/06 INNOVO GROUP INC DE 5.02,9.01 04/07/06 Integrated Healthcare Holdings Inc NV 9.01 03/03/06 AMEND Integrated Security Technologies, Inc 5.03,9.01 04/10/06 INVESTMENT TECHNOLOGY GROUP INC DE 8.01,9.01 04/10/06 ISIS PHARMACEUTICALS INC DE 1.01,2.01,3.02,9.01 04/07/06 ISTAR FINANCIAL INC MD 1.01 04/04/06 JACOBS ENTERTAINMENT INC DE 9.01 02/28/06 JOHN D. OIL & GAS CO 4.01,5.02,9.01 04/04/06 KANSAS CITY SOUTHERN DE 8.01,9.01 04/07/06 KIMBERLY CLARK CORP DE 7.01,9.01 04/10/06 LADENBURG THALMANN FINANCIAL SERVICES FL 3.02,9.01 03/25/05 AMEND LAKELAND INDUSTRIES INC DE 2.02 04/10/06 LEHMAN ABS CORP BACKED TRUST CERTS SE DE 8.01,9.01 03/28/06 LEHMAN ABS CORP BACKED TRUST CERTS SE DE 8.01,9.01 03/29/06 LEHMAN ABS CORP MOTOROLA DEBENTURE BA DE 8.01,9.01 04/01/06 LEXINGTON RESOURCES INC NV 9.01 04/10/06 LIBERTY DIVERSIFIED HOLDINGS INC NV 1.02 04/10/06 LIBERTY PROPERTY TRUST MD 5.03,9.01 04/05/06 LIBERTY STAR GOLD CORP NV 1.01,3.02,9.01 04/06/06 LIN TV CORP DE 5.02 04/06/06 Linn Energy, LLC DE 4.02 04/03/06 AMEND LIONS GATE ENTERTAINMENT CORP /CN/ 1.01 04/04/06 LITHIA MOTORS INC OR 8.01,9.01 04/05/06 LOCAL TELECOM SYSTEMS INC NV 2.01,2.02 03/22/06 M&F BANCORP INC /NC/ NC 5.02,9.01 04/10/06 MAINSOURCE FINANCIAL GROUP IN 9.01 04/10/06 MANARIS CORP NV 2.01,3.02,9.01 04/04/06 MARATHON OIL CORP DE 2.02,9.01 04/06/06 MATHSTAR INC MN 8.01,9.01 04/07/06 MATTSON TECHNOLOGY INC DE 7.01,9.01 04/10/06 MEDIA GENERAL INC VA 1.01,9.01 04/06/06 METRETEK TECHNOLOGIES INC DE 3.02,9.01 04/07/06 MICRON ENVIRO SYSTEMS INC NV 8.01 04/07/06 MICRON TECHNOLOGY INC DE 2.02,9.01 04/10/06 MINDSPEED TECHNOLOGIES, INC DE 1.01 04/05/06 MISSION WEST PROPERTIES INC CA 4.01 04/04/06 MORTONS RESTAURANT GROUP INC DE 8.01,9.01 03/10/06 MOST HOME CORP NV 3.02 04/06/06 MOTIVE INC DE 3.01,9.01 04/07/06 NAVIGATORS GROUP INC DE 8.01 04/07/06 NAVISTAR FINANCIAL DEALER NOTE MASTER DE 8.01,9.01 02/28/06 NAVISTAR FINANCIAL DEALER NOTE MASTER DE 8.01,9.01 02/28/06 NDS GROUP PLC X0 5.02,9.01 04/10/06 New Century Home Equity Loan Trust 20 2.01,9.01 04/06/06 NEWMONT MINING CORP /DE/ DE 8.01,9.01 04/04/06 NEWS CORP 8.01,9.01 04/10/06 NNN 2003 VALUE FUND LLC 9.01 12/19/05 AMEND NNN 2003 VALUE FUND LLC 9.01 01/24/06 AMEND NOBLE CORP 7.01 04/10/06 NORTH FORK BANCORPORATION INC DE 8.01 04/10/06 NORTHSTAR REALTY 1.01,9.01 04/06/06 NUWAY MEDICAL INC DE 5.02 04/06/06 ON SEMICONDUCTOR CORP DE 1.01,8.01,9.01 04/05/06 ONE VOICE TECHNOLOGIES INC NV 4.02,9.01 03/31/06 ONYX PHARMACEUTICALS INC DE 5.02 04/04/06 Orange 21 Inc. DE 2.02,9.01 04/10/06 OTELCO INC. AL 1.01,9.01 04/10/06 P F CHANGS CHINA BISTRO INC 2.02,9.01 04/05/06 PATHMARK STORES INC DE 1.01 04/04/06 PETROHAWK ENERGY CORP DE 2.02,9.01 04/04/06 PETROQUEST ENERGY INC DE 7.01,9.01 04/10/06 Pharma-Bio Serv, Inc. 5.02,9.01 04/03/06 PHARMACYCLICS INC DE 1.01,2.01,9.01 04/07/06 PHARSIGHT CORP CA 1.01,5.02 04/05/06 PHELPS DODGE CORP NY 5.02,7.01,9.01 04/04/06 PHOTOMEDEX INC DE 8.01,9.01 04/01/06 PIEDMONT NATURAL GAS CO INC NC 8.01 04/07/06 PINNACLE AIRLINES CORP DE 8.01,9.01 04/04/06 PIONEER NATURAL RESOURCES CO DE 2.02,7.01,9.01 04/10/06 PIXELWORKS INC OR 5.02,9.01 04/06/06 PLY GEM HOLDINGS INC DE 8.01,9.01 04/10/06 PMC SIERRA INC DE 1.01,3.02,7.01,9.01 04/04/06 POORE BROTHERS INC DE 8.01,9.01 04/10/06 PPlus Trust Series LTD-1 1.01,8.01 03/31/06 PRACTICEXPERT INC NV 2.06 04/04/06 PRAECIS PHARMACEUTICALS INC DE 7.01,9.01 04/10/06 PREMIER EXHIBITIONS, INC. 1.01 04/03/06 PREMIERWEST BANCORP OR 2.02,9.01 04/10/06 PROASSURANCE CORP DE 8.01,9.01 04/10/06 PUBLIC MEDIA WORKS INC 1.01,1.02,5.02,8.01 04/06/06 QMED INC DE 2.02,9.01 04/10/06 QUEST RESOURCE CORP NV 8.01,9.01 04/10/06 RADNOR HOLDINGS CORP DE 1.01,2.03,3.02,7.01 04/04/06 RAMP Series 2006-RZ1 Trust DE 8.01,9.01 04/05/06 AMEND RED HAT INC DE 1.01,3.02 04/07/06 RED ROBIN GOURMET BURGERS INC DE 1.01 03/20/06 Refco Inc. 5.02 04/07/06 RENTECH INC /CO/ CO 8.01,9.01 04/09/06 RESIDENTIAL CAPITAL CORP DE 7.01,8.01 04/10/06 RICHARDSON ELECTRONICS LTD/DE DE 1.02,5.02,7.01,9.01 04/04/06 RITE AID CORP DE 1.01 04/04/06 RIVIERA HOLDINGS CORP NV 7.01 04/10/06 RIVIERA TOOL CO MI 3.01 03/31/06 ROCK OF AGES CORP DE 4.02 04/10/06 ROCKELLE CORP. DE 4.01 08/20/05 ROCKFORD CORP AZ 7.01,9.01 04/06/06 SAFEWAY INC DE 7.01,9.01 04/10/06 SANDISK CORP DE 5.02,5.03,9.01 04/05/06 SAVIENT PHARMACEUTICALS INC DE 5.02,9.01 04/05/06 SBM CERTIFICATE CO MN 8.01 04/10/06 SCHNITZER STEEL INDUSTRIES INC OR 2.02,9.01 04/10/06 SCORES HOLDING CO INC UT 8.01 03/31/06 SENSIENT TECHNOLOGIES CORP WI 4.01,9.01 04/06/06 SENSIENT TECHNOLOGIES CORP WI 4.01,9.01 04/06/06 SEQUENOM INC DE 1.01,5.02,9.01 04/06/06 SHAW GROUP INC LA 2.02,9.01 04/10/06 SILVER STAR ENERGY INC 1.01,9.01 01/01/06 SILVERLEAF RESORTS INC 2.01,7.01,9.01 04/04/06 SKY FINANCIAL GROUP INC OH 8.01,9.01 04/06/06 SKY PETROLEUM, INC. NV 9.01 04/10/06 SL INDUSTRIES INC NJ 2.01,9.01 01/26/06 AMEND SOLAR ENERTECH CORP NV 3.01,5.03,9.01 04/10/06 SOLOMON TECHNOLOGIES INC DE 5.03,9.01 04/04/06 Somaxon Pharmaceuticals, Inc. DE 8.01,9.01 04/10/06 SONIC CORP DE 5.02 04/06/06 Soundview Home Loan Trust 2006-OPT2 DE 9.01 03/14/06 SPECTRALINK CORP CO 5.02 04/10/06 SPHERIX INC DE 3.02 07/22/05 STAGE STORES INC NV 8.01,9.01 04/05/06 STEEL DYNAMICS INC IN 7.01,9.01 04/10/06 STELLENT INC MN 1.01,5.02,9.01 04/04/06 SUNRISE TELECOM INC 2.02 03/31/06 SUNRISE TELECOM INC 1.01 04/05/06 SUNTERRA CORP MD 4.01,9.01 03/21/06 AMEND T REIT INC VA 9.01 01/31/06 AMEND TAPESTRY PHARMACEUTICALS, INC DE 1.01,3.02,3.03,5.03,9.01 04/04/06 TD AMERITRADE HOLDING CORP DE 9.01 01/23/06 AMEND Telesis Technology Corp 8.01,9.01 04/07/06 TENFOLD CORP /UT DE 2.02,9.01 04/04/06 TERAFORCE TECHNOLOGY CORP DE 1.03,3.03 04/06/06 THINK PARTNERSHIP INC NV 2.01,3.02,9.01 04/05/06 THINK PARTNERSHIP INC NV 9.01 01/20/06 AMEND TOPPS CO INC DE 2.02,9.01 04/10/06 TOWER AUTOMOTIVE INC DE 8.01,9.01 04/06/06 Triple Crown Media, Inc. DE 1.01,9.01 04/07/06 Triton Resources, Inc. 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