SEC NEWS DIGEST Issue 2006-154 August 10, 2006 RULES AND RELATED MATTERS EXTENSION OF SECTION 404(b) COMPLIANCE DATE FOR CERTAIN FOREIGN PRIVATE ISSUERS The Commission is granting relief from Section 404(b) compliance for foreign private issuers that are accelerated filers (but not large accelerated filers), and that file their annual reports on Form 20-F or 40-F. Under the new compliance schedule, foreign private issuers that are accelerated filers will have their compliance deadline extended for an additional year, so that they will not begin complying with the Section 404(b) requirement to provide an auditor's attestation report on internal control over financial reporting in their annual reports until fiscal years ending on or after July 15, 2007. This group of issuers will be required to comply only with the Section 404(a) requirement to include management's assessment report in the Form 20-F or 40-F annual report filed for their first fiscal year ending on or after July 15, 2006. For further information see Press Rel. 2006-136; Rels. 33-8730; 34-54294; S7-06-03. PROPOSED RELIEF FROM THE SECTION 404(a) AND (b) REPORTING REQUIREMENTS FOR SMALLER PUBLIC COMPANIES AND NEWLY PUBLIC COMPANIES The Commission is proposing to extend the date by which non- accelerated filers must start providing a report under Section 404(a) by management assessing the effectiveness of the company's internal control over financial reporting. The date for compliance with Section 404(a) for these companies would be moved from fiscal years ending on or after July 15, 2007, until fiscal years ending on or after Dec. 15, 2007. The Commission also proposes to move the compliance date of the Section 404(b) requirement, concerning auditor attestation reporting, from fiscal years ending on or after July 15, 2007, until fiscal years ending on or after Dec. 15, 2008. If adopted, this amendment to the rules would mean that non-accelerated filers would begin to provide an auditor's attestation report on internal control over financial reporting in the first annual report they file for a fiscal year ending on or after Dec. 15, 2008. As a result, all non-accelerated filers would be required to complete only the management's portion of the internal control requirements in their first year of compliance with the requirements. Additionally, the Commission is proposing a permanent transition period for all newly public companies, of any size, whether foreign or domestic. The Commission is proposing to amend its rules so that a company would not be required to provide either a management assessment or an auditor attestation report until the company has previously filed one annual report with the Commission. This relief is being proposed in recognition of the fact that preparation of a newly public company's first annual report can be a time-consuming and resource intensive process that may quickly follow an IPO or initial listing. The Commission is soliciting public comment on these proposals. Comments should be received by the Commission within 30 days of their publication in the Federal Register. For further information see Press Rel. 2006-136; Rels. 33-8731; 34-54295; S7-06-03. ENFORCEMENT PROCEEDINGS THIRD DEFENDANT PLEADS GUILTY, FOURTH FOUND GUILTY AFTER TRIAL BY JURY IN SCHEME TO OBTAIN STOCK IN NEWALLIANCE BANCSHARES IPO The Commission announced that on July 28, 2006, in a case prosecuted by the U.S. Attorney for the District of Connecticut, a jury in New Haven, Connecticut returned a guilty verdict against John M. Lucarelli, age 34, of Greenwich, Connecticut, on one count of conspiracy and one count of securities fraud in connection with the NewAlliance Bancshares, Inc. initial public offering (IPO). The Commission also announced that, on June 29, 2006, just prior to the start of the criminal trial, Lucarelli's co-defendant, Chance M. Vought, age 56, of Quogue, New York, pled guilty to one count of securities fraud. Robert Ross and George Kundrat had previously pled guilty to related charges. The indictment in this matter charged Vought and Lucarelli with conspiring to illegally obtain shares of NewAlliance stock. As alleged in the indictment, Vought, Lucarelli, and their co-conspirators were not eligible to obtain NewAlliance NAB stock at its $10 IPO price because they were not eligible account holders of New Haven Savings Bank (the predecessor of NewAlliance). However, Vought and Lucarelli are alleged to have participated in a scheme to purchase the stock at that $10 price by having individuals who were account holders purchase the stock for them. The Indictment alleges that, after purchasing the shares in the names of other people, the members of the conspiracy then sold the shares at a profit, which was shared among the defendants and the other members of their conspiracy. On June 28, 2005, the Commission filed a complaint in the U.S. District Court for the District of Connecticut against Vought, Lucarelli, and others based upon the same fraudulent scheme that is the subject of the current indictment. [U.S. v. Chance M. Vought and John M. Lucarelli, USDC, D. Connecticut, 3:05-cr-268-JBA; SEC v. Robert R. Ross, et al., 3:05-CV-01036-JBA, USDC, D. Conn.] (LR-19797) ADDITIONS AND CORRECTIONS The cite for a summary in yesterday's Digest entitled "SEC CHARGES FORMER COMVERSE TECHNOLOGY, INC. CEO, CFO, AND GENERAL COUNSEL IN STOCK OPTION BACKDATING SCHEME; U.S. Attorney's Office for the Eastern District of New York Files Separate Criminal Complaint" should have appeared as follows: [SEC v. Jacob (Kobi) Alexander, David Kreinberg and William F. Sorin, USDC, EDNY, Civil Action No. 06-CV-3844, Judge Garaufis] (LR-19796; AAE Rel. No. 2472). SELF-REGULATORY ORGANIZATIONS APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change (SR-PCX-2005-54) and Amendment Nos.1 and 2 thereto submitted by Pacific Exchange (n/k/a NYSE Arca, Inc.) to amend NYSE Arca Rule 9.20 (Telemarketing). Publication is expected in the Federal Register during the week of August 14. (Rel. 34-54282) The Commission approved a proposed rule change (SR-PCX-2005-97) and Amendment Nos.1 and 2 thereto submitted by Pacific Exchange (n/k/a NYSE Arca, Inc.) to amend NYSE Arca Equities Rule 9.20 (Telemarketing). Publication is expected in the Federal Register during the week of August 14. (Rel. 34-54283) The Commission approved a proposed rule change (SR-ISE-2006-30) and Amendment No. 1 thereto filed by the International Securities Exchange increasing the Linkage Inbound Principal Order Fee. Publication is expected in the Federal Register during the week of August 14. (Rel. 34-54296) PROPOSED RULE CHANGES The NASDAQ Stock Market filed a proposed rule change (SR-NASDAQ-2006- 016) to eliminate registration of foreign associates under Nasdaq membership rules. Publication is expected in the Federal Register during the week of August 14. (Rel. 34-54284) The International Securities Exchange filed a proposed rule change (SR-ISE-2006-48) to adopt rules to govern its electronic trading system for equities. Publication is expected in the Federal Register during the week of August 14. (Rel. 34-54287) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-NASDAQ-2006-023) filed by The NASDAQ Stock Market regarding technical and conforming changes to Nasdaq Rule 7018 has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of August 14. (Rel. 34-54285) A proposed rule change filed by The NASDAQ Stock Market to establish a new service called FilterView (SR-NASDAQ-2006-028) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of August 14. (Rel. 34-54286) SECURITIES ACT REGISTRATIONS The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be obtained in person or by writing to the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. 20549-1090 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . S-8 GOLD RESERVE INC, 926 W SPRAGUE AVENUE, SUITE 200, SPOKANE, WA, 99201, 5096231500 - 200,000 ($493,000.00) Equity, (File 333-136423 - Aug. 9) (BR. 04C) SB-2 La Burbuja Cafe, Inc., 7710 HAZARD CENTER DR.STE.E #302, SAN DIEGO, CA, 92108, 775-352-4056 - 1,800,000 ($18,000.00) Equity, (File 333-136424 - Aug. 9) (BR. 09) S-8 HARMONIC INC, 549 BALTIC WAY, SUNNYVALE, CA, 94089, 4085422500 - 0 ($12,029,000.00) Equity, (File 333-136425 - Aug. 9) (BR. 11B) S-3 PLACER SIERRA BANCSHARES, 525 J STREET, SACRAMENTO, CA, 95814, 9165544821 - 153,346 ($3,141,292.81) Equity, (File 333-136426 - Aug. 9) (BR. 07B) F-10 CANADIAN SUPERIOR ENERGY INC, 3300 400 3RD AVENUE SW, CALGARY, A0, 00000, 0 ($142,549,731.90) Equity, (File 333-136427 - Aug. 9) (BR. 04B) S-3 GAMCO INVESTORS, INC. ET AL, ONE CORPORATE CENTER, 401 THEODORE FREMD AVENUE, RYE, NY, 10580, 9149213700 - 0 ($86,999,403.56) Equity, (File 333-136428 - Aug. 9) (BR. 07C) S-3 Energy Transfer Partners, L.P., 2838 WOODSIDE, -, DALLAS, TX, 75204, 9184927272 - 0 ($1,500,000,000.00) Unallocated (Universal) Shelf, (File 333-136429 - Aug. 9) (BR. 02B) S-3ASR APPALACHIAN POWER CO, 1 RIVERSIDE PLAZA, COLUMBUS, OH, 43215, 614-716-2663 - 0 ($0.00) Debt, (File 333-136432 - Aug. 9) (BR. 02B) S-3ASR OMNICOM FINANCE INC, 467,496,000 ($454,032,116.00) Debt Convertible into Equity, (File 333-136434 - Aug. 9) (BR. 11) SB-2 DIAGNOSTIC IMAGING INTERNATIONAL CORP, 21 MALTA, DOLLARD DES-ORMEAUX, A8, H9B 2E6, 514-825-7118 - 356,674 ($53,501.10) Equity, (File 333-136436 - Aug. 9) (BR. 09) S-4 GOODRICH CORP, 4 COLISEUM CENTRE, 2730 WEST TYVOLA ROAD, CHARLOTTE, NC, 28217, 7044237000 - 0 ($545,342,000.00) Non-Convertible Debt, (File 333-136437 - Aug. 9) (BR. 05B) S-8 S3 INVESTMENT COMPANY, INC., 43180 BUSINESS PARK DRIVE SUITE 202, TEMECULA, CA, 92590, 951-587-3618 - 100,000,000 ($100,000.00) Equity, (File 333-136438 - Aug. 9) (BR. 09) S-3 MARSHALL EDWARDS INC, 140 WICKS RD., NORTH RYDE, C3, NSW 2113, 0 ($26,321,674.00) Equity, (File 333-136440 - Aug. 9) (BR. 01C) S-8 ASPEN INSURANCE HOLDINGS LTD, MAXWELL ROBERTS BUILDING, 1 CHURCH STREET, HAMILTON HM 11, D0, HM 11, 1 441 295 8201 - 0 ($9,276,000.00) Equity, (File 333-136441 - Aug. 9) (BR. 01A) S-8 PEABODY ENERGY CORP, 701 MARKET ST, ST LOUIS, MO, 63101-1826, 3143423400 - 100,000 ($5,046,000.00) Equity, (File 333-136443 - Aug. 9) (BR. 04A) S-1 Willdan Group, Inc., 2401 EAST KATELLA AVENUE, SUITE 300, ANAHEIM, CA, 92806, 800-424-9144 - 0 ($28,750,000.00) Equity, (File 333-136444 - Aug. 9) (BR. 06) S-1 G III APPAREL GROUP LTD /DE/, 512 SEVENTH AVE, NEW YORK, NY, 10018, 2126298830 - 0 ($25,576,228.00) Equity, (File 333-136445 - Aug. 9) (BR. 02C) S-8 HYTHIAM INC, 11150 SANTA MONICA BOULEVARD, SUITE 1500, LOS ANGELES, CA, 90025, 310 444 4300 - 0 ($2,800,000.00) Equity, (File 333-136446 - Aug. 9) (BR. 01C) S-8 VIROPHARMA INC, 397 EAGLEVIEW BLVD, EXTON, PA, 19341, 6104587300 - 0 ($17,350,000.00) Equity, (File 333-136447 - Aug. 9) (BR. 01C) S-3ASR TANGER FACTORY OUTLET CENTERS INC, 3200 NORTHLINE AVENUE SUITE 360, GREENSBORO, NC, 27408, 3362923010 - 0 ($0.00) Equity, (File 333-136448 - Aug. 9) (BR. 08C) S-3 BUSINESS OBJECTS S.A., 4089536000 - 0 ($59,300,000.00) Equity, (File 333-136449 - Aug. 9) (BR. 03B) S-3ASR CHARLES RIVER LABORATORIES INTERNATIONAL INC, 261 BALLARDVALE STREET, WILMINGTON, MA, 01867, 9786586000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-136450 - Aug. 9) (BR. 01A) S-3ASR MILLIPORE CORP /MA, 290 CONCORD ROAD, BILLERICA, MA, 01821, 978-715-4321 - 0 ($565,000,000.00) Equity, (File 333-136451 - Aug. 9) (BR. 10B) S-8 CERUS CORP, 2411 STANWELL DR, CONCORD, CA, 94520, 9252886000 - 800,000 ($4,696,000.00) Equity, (File 333-136452 - Aug. 9) (BR. 01A) S-8 CONMED CORP, 525 FRENCH ROAD, UTICA, NY, 13502, 3157978375 - 1,000,000 ($19,640,000.00) Other, (File 333-136453 - Aug. 9) (BR. 10A) S-8 CIT GROUP INC, 1 CIT DRIVE, LIVINGSTON, NJ, 07039, 9737405000 - 7,500,000 ($343,003,835.21) Equity, (File 333-136454 - Aug. 9) (BR. 07A) SB-2 MICROMED CARDIOVASCULAR INC, 8965 INTERCHANGE DRIVE, HOUSTON, TX, 77054, 713-580-8236 - 14,263,977 ($46,357,925.25) Equity, (File 333-136457 - Aug. 9) (BR. 10B) S-8 GlobalOptions Group, Inc., 75 ROCKEFELLER PLAZA, 27TH FLOOR, NEW YORK, NY, 10019, 212-445-6262 - 15,000,000 ($31,200,000.00) Equity, (File 333-136458 - Aug. 9) (BR. 09A) S-8 MASSEY ENERGY CO, 4 NORTH 4TH STREET, RICHMOND, VA, 23219, 9493492000 - 3,500,000 ($91,350,000.00) Equity, (File 333-136459 - Aug. 9) (BR. 04C) S-8 MASTERCARD INC, 2000 PURCHASE STREET, PURCHASE, NY, 10577, 9142492000 - 0 ($5,186,000.00) Equity, (File 333-136460 - Aug. 9) (BR. 08B) S-8 AIRGAS INC, 259 N. RADNOR-CHESTER ROAD, SUITE 100, RADNOR, PA, 19087, 6106875253 - 2,000,000 ($72,920,000.00) Equity, (File 333-136461 - Aug. 9) (BR. 06C) N-2 HIGHLAND FLOATING RATE ADVANTAGE FUND, TWO GALLERIA TOWER, 13455 NOEL ROAD, SUITE 1300, DALLAS, TX, 75240, 9726284100 - 0 ($944,300,000.00) Equity, (File 333-136462 - Aug. 9) (BR. 16) S-8 AIRGAS INC, 259 N. RADNOR-CHESTER ROAD, SUITE 100, RADNOR, PA, 19087, 6106875253 - 6,000,000 ($6,000,000.00) Other, (File 333-136463 - Aug. 9) (BR. 06C) S-8 NU SKIN ENTERPRISES INC, 75 WEST CENTER ST, ATTN: D. MATTHEW DORNY, PROVO, UT, 84601, 801-345-6100 - 6,000,000 ($97,824,932.50) Equity, (File 333-136464 - Aug. 9) (BR. 09B) S-3 EMISPHERE TECHNOLOGIES INC, 765 OLD SAW MILL RIVER ROAD, TARRYTOWN, NY, 10591, 9143472220 - 34,527,897 ($34,527,897.00) Debt Convertible into Equity, (File 333-136465 - Aug. 9) (BR. 01A) S-8 RENTRAK CORP, ONE AIRPORT CTR, 7700 N E AMBASSADOR PL, PORTLAND, OR, 97220, 5032847581 - 1,000,000 ($10,923,538.00) Equity, (File 333-136466 - Aug. 9) (BR. 05C) SB-2 GlobalOptions Group, Inc., 75 ROCKEFELLER PLAZA, 27TH FLOOR, NEW YORK, NY, 10019, 212-445-6262 - 45,359,500 ($100,131,251.00) Equity, (File 333-136468 - Aug. 9) (BR. 09A) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: 1.01 Entry into a Material Definitive Agreement 1.02 Termination of a Material Definitive Agreement 1.03 Bankruptcy or Receivership 2.01 Completion of Acquisition or Disposition of Assets 2.02 Results of Operations and Financial Condition 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant 2.04 Triggering Events That Accelerate or Increase a Direct Financial Obligation under an Off-Balance Sheet Arrangement 2.05 Cost Associated with Exit or Disposal Activities 2.06 Material Impairments 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 3.02 Unregistered Sales of Equity Securities 3.03 Material Modifications to Rights of Security Holders 4.01 Changes in Registrant's Certifying Accountant 4.02 Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review 5.01 Changes in Control of Registrant 5.02 Departure of Directors or Principal Officers; Election of Directors; Appointment of Principal Officers 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year 5.04 Temporary Suspension of Trading Under Registrant's Employee Benefit Plans 5.05 Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics 6.01. ABS Informational and Computational Material. 6.02. Change of Servicer or Trustee. 6.03. Change in Credit Enhancement or Other External Support. 6.04. Failure to Make a Required Distribution. 6.05. Securities Act Updating Disclosure. 7.01 Regulation FD Disclosure 8.01 Other Events 9.01 Financial Statements and Exhibits 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. 20549-1090 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE 8K ITEM NO. NAME OF ISSUER CODE DATE COMMENT ------------------------------------------------------------------------------------------------------- 3COM CORP DE 1.01,5.02,8.01,9.01 08/08/06 3D SYSTEMS CORP DE 2.02,9.01 08/09/06 4 KIDS ENTERTAINMENT INC NY 2.02,9.01 08/09/06 724 SOLUTIONS INC 8.01,9.01 08/08/06 A CONSULTING TEAM INC NY 2.02,9.01 08/09/06 A.C. Moore Arts & Crafts, Inc. PA 1.01,9.01 08/03/06 ABX AIR INC 2.02,9.01 08/09/06 ACCREDITED HOME LENDERS HOLDING CO DE 2.02,9.01 08/09/06 ACROSS AMERICA REAL ESTATE CORP CO 1.01,9.01 08/09/06 ACTIVIDENTITY CORP DE 2.02,9.01 08/09/06 ACUSPHERE INC DE 2.02,9.01 08/09/06 ADAPTEC INC DE 2.02,9.01 08/01/06 AMEND ADOLOR CORP 1.01,8.01,9.01 08/08/06 Advanced Life Sciences Holdings, Inc. 2.02,9.01 08/09/06 ADVANTA BUSINESS RECEIVABLES CORP 8.01,9.01 08/09/06 AFFILIATED COMPUTER SERVICES INC DE 2.02,9.01 08/09/06 AFFIRMATIVE INSURANCE HOLDINGS INC DE 2.02,7.01,9.01 08/09/06 AFFYMETRIX INC DE 2.02,4.02,9.01 08/09/06 AKSYS LTD DE 5.02 08/09/06 Aleris International, Inc. DE 1.01,9.01 08/07/06 ALEXION PHARMACEUTICALS INC DE 2.02,9.01 08/08/06 ALLEGHANY CORP /DE DE 2.02,9.01 08/09/06 ALLIANCE ONE INTERNATIONAL, INC. VA 2.02,9.01 06/30/06 ALLIED WASTE INDUSTRIES INC DE 5.02 08/04/06 ALLIED WORLD ASSURANCE CO HOLDINGS LT 2.02,9.01 08/08/06 Allis Chalmers Energy Inc. DE 1.01,7.01,9.01 08/08/06 Allis Chalmers Energy Inc. DE 7.01,9.01 08/08/06 ALLSTATE LIFE GLOBAL FUNDING DE 8.01 08/08/06 Alon USA Energy, Inc. DE 2.01,2.03,5.02,9.01 08/04/06 Alphatec Holdings, Inc. DE 1.01,9.01 08/04/06 Alternative Loan Trust 2006-J5 8.01,9.01 07/28/06 AMERIANA BANCORP IN 2.02,9.01 08/09/06 AMERICAN ACCESS TECHNOLOGIES INC FL 2.02,9.01 08/09/06 American Home Mortgage Investment Tru DE 2.01,9.01 06/30/06 AMERICAN INDEPENDENCE CORP DE 2.02,9.01 06/30/06 AMERICAN MOLD GUARD INC 5.02 08/07/06 AMERICAN MORTGAGE ACCEPTANCE CO MA 5.02,8.01,9.01 08/03/06 AMERICAN PHYSICIANS SERVICE GROUP INC TX 2.02 08/09/06 AMERICAN REAL ESTATE PARTNERS L P DE 8.01 08/09/06 AMERICAN SCIENCE & ENGINEERING INC MA 7.01 08/09/06 AMERICAN SCIENCE & ENGINEERING INC MA 2.02,9.01 08/09/06 AMERICAN STATES WATER CO CA 2.02,9.01 08/09/06 AMERICAN VANGUARD CORP DE 2.02,9.01 08/07/06 AMERITYRE CORP NV 5.02,9.01 08/09/06 AMERIVEST PROPERTIES INC MD 2.02,9.01 08/09/06 AMERUS GROUP CO/IA IA 2.02,7.01,9.01 08/09/06 AMKOR TECHNOLOGY INC DE 8.01 08/09/06 AMSURG CORP TN 7.01,9.01 08/09/06 ANDRX CORP /DE/ DE 2.02,9.01 08/08/06 ANESIVA, INC. DE 2.02,9.01 08/09/06 ANTHRACITE CAPITAL INC MD 2.02,8.01 08/09/06 APAC CUSTOMER SERVICE INC IL 7.01,9.01 08/02/06 AMEND APCO ARGENTINA INC/NEW 2.02,9.01 08/08/06 ARAMARK CORP/DE DE 2.02 08/09/06 ARDEN GROUP INC DE 2.02,9.01 08/09/06 ARES CAPITAL CORP MD 2.02,7.01,9.01 08/09/06 ARIEL WAY INC FL 2.01,9.01 04/28/05 AMEND ARIEL WAY INC FL 1.01,2.01,8.01,9.01 02/28/05 AMEND ARIEL WAY INC FL 2.01,9.01 02/08/05 AMEND ASPEN EXPLORATION CORP DE 5.02 08/06/06 ASYST TECHNOLOGIES INC CA 2.02,9.01 08/03/06 ATARI INC DE 2.02,9.01 08/09/06 ATMEL CORP DE 3.01 08/08/06 ATMOS ENERGY CORP TX 2.02,9.01 08/09/06 ATSI COMMUNICATIONS INC/DE NV 2.02,9.01 08/09/06 AVANIR PHARMACEUTICALS CA 2.02,9.01 08/09/06 AVANIR PHARMACEUTICALS CA 9.01 05/22/06 AMEND AVATAR HOLDINGS INC DE 2.02,7.01,9.01 08/09/06 AVENTINE RENEWABLE ENERGY HOLDINGS IN 2.02,9.01 08/08/06 AVNET INC NY 2.02,9.01 08/09/06 BankFinancial CORP 7.01,9.01 08/08/06 BAXTER INTERNATIONAL INC DE 8.01,9.01 08/03/06 BEACON ROOFING SUPPLY INC 2.02,9.01 08/09/06 BERRY PETROLEUM CO DE 2.02,9.01 08/09/06 BILL BARRETT CORP 2.02,7.01,9.01 08/07/06 BIO KEY INTERNATIONAL INC MN 4.01,9.01 07/24/06 AMEND BIOCRYST PHARMACEUTICALS INC DE 2.02,9.01 08/09/06 BIODELIVERY SCIENCES INTERNATIONAL IN DE 1.01,9.01 08/02/06 BioMETRX DE 1.01,5.02,9.01 08/04/06 BIOMIMETIC THERAPEUTICS, INC. DE 2.02,9.01 08/09/06 BIOSPHERE MEDICAL INC DE 1.01,9.01 08/03/06 BIRNER DENTAL MANAGEMENT SERVICES INC CO 2.02 08/09/06 BLACK HILLS CORP /SD/ SD 2.02,9.01 08/09/06 BlueLinx Holdings Inc. DE 2.02,9.01 08/09/06 BofI Holding, Inc. DE 1.01,2.02,9.01 08/03/06 BOOKS A MILLION INC DE 1.01 08/03/06 BOOTS & COOTS INTERNATIONAL WELL CONT DE 2.02,9.01 08/08/06 BORLAND SOFTWARE CORP DE 2.02,9.01 08/09/06 BOTTOMLINE TECHNOLOGIES INC /DE/ DE 2.02,9.01 08/09/06 BRADLEY PHARMACEUTICALS INC DE 2.02,8.01,9.01 08/09/06 BRE PROPERTIES INC /MD/ MD 8.01,9.01 08/08/06 BRINKS CO VA 8.01,9.01 08/09/06 Bristow Group Inc DE 1.01,2.03,9.01 08/03/06 BRODER BROS CO MI 2.02,9.01 08/09/06 BRYN MAWR BANK CORP PA 8.01,9.01 08/08/06 CALIFORNIA COASTAL COMMUNITIES INC DE 2.02,9.01 08/07/06 CALIPER LIFE SCIENCES INC DE 2.02,9.01 08/09/06 CAPITAL SENIOR LIVING CORP DE 2.02,9.01 08/08/06 CAPITALSOURCE INC DE 2.02 08/09/06 CAPSTONE TURBINE CORP DE 2.02,9.01 08/09/06 CAREER EDUCATION CORP DE 2.02,9.01 08/03/06 CARSUNLIMITED COM INC NV 1.01,3.02,5.03,9.01 08/08/06 CASEYS GENERAL STORES INC IA 1.01,9.01 08/04/06 CATO CORP DE 2.02,9.01 08/03/06 CECIL BANCORP INC MD 2.02,7.01,9.01 08/07/06 Centerplate, Inc. DE 2.02,9.01 08/09/06 CentraCore Properties Trust MD 2.02,9.01 08/09/06 CENTRAL VERMONT PUBLIC SERVICE CORP VT 2.02,7.01,9.01 08/09/06 CENTURY CASINOS INC /CO/ DE 2.02 08/08/06 Century Petroleum Corp. NV 5.03,7.01,9.01 08/09/06 CHARLES RIVER LABORATORIES INTERNATIO 2.02,9.01 08/08/06 CHARTERMAC DE 2.02,9.01 06/30/06 CHEMBIO DIAGNOSTICS, INC. NV 3.02,7.01,9.01 07/03/06 CHESAPEAKE ENERGY CORP OK 8.01,9.01 08/03/06 CHESAPEAKE UTILITIES CORP DE 2.02,9.01 08/08/06 CHICAGO BRIDGE & IRON CO N V 2.02,9.01 08/09/06 CHICOS FAS INC FL 5.02 08/09/06 CHRISTOPHER & BANKS CORP DE 1.01,9.01 08/06/06 CHYRON CORP NY 2.02,9.01 08/09/06 CITIZENS FIRST BANCORP INC DE 2.02,9.01 08/04/06 COACH INC MD 2.02,9.01 08/01/06 COGENT COMMUNICATIONS GROUP INC 2.02,9.01 08/08/06 COLDWATER CREEK INC DE 8.01 08/08/06 Coley Pharmaceutical Group, Inc. DE 2.02,9.01 08/09/06 COLLEGIATE PACIFIC INC DE 2.02,7.01,8.01,9.01 08/09/06 COLORADO INTERSTATE GAS CO DE 8.01,9.01 08/09/06 COLUMBIA LABORATORIES INC DE 2.02,9.01 08/09/06 Commerce Planet UT 5.03,9.01 08/03/06 COMMONWEALTH BIOTECHNOLOGIES INC VA 2.02,9.01 08/08/06 COMMUNITY CAPITAL BANCSHARES INC 2.02 08/09/06 COMMUNITY CAPITAL CORP /SC/ SC 5.02,9.01 08/04/06 COMPASS MINERALS INTERNATIONAL INC DE 1.01,9.01 08/03/06 COMPUTER HORIZONS CORP NY 2.02,9.01 08/09/06 COMPUWARE CORP MI 1.01,9.01 07/27/06 Comtech Group Inc MD 1.01,9.01 08/06/06 Comtech Group Inc MD 2.02,9.01 08/09/06 CONCEPTUS INC DE 2.02,7.01,8.01,9.01 07/25/06 CONCORDE CAREER COLLEGES INC DE 2.02,9.01 08/09/06 CONSECO INC DE 1.01,5.02,9.01 08/09/06 Consolidated Communications Holdings, DE 2.02,9.01 08/09/06 CONSOLIDATED WATER CO LTD E6 1.01,9.01 08/04/06 CONSUMERS BANCORP INC /OH/ OH 5.02 08/08/06 CORVEL CORP DE 1.01,9.01 08/03/06 COSI INC DE 2.02,9.01 08/09/06 COTT CORP /CN/ 1.01 08/02/06 COUNTRYWIDE FINANCIAL CORP DE 2.02,9.01 08/09/06 CRAY INC WA 2.02,9.01 08/07/06 CREDENCE SYSTEMS CORP DE 7.01,9.01 08/09/06 CREDIT SUISSE (USA) INC DE 9.01 08/09/06 CROSSTEX ENERGY INC DE 2.02,9.01 08/09/06 CROSSTEX ENERGY LP DE 2.02,9.01 08/09/06 CROWN MEDIA HOLDINGS INC DE 2.02,9.01 08/09/06 CRYOCOR INC DE 1.01,5.02,9.01 08/03/06 CTS CORP IN 7.01,9.01 08/09/06 CULP INC NC 3.01,5.02 08/03/06 CWHEQ, Inc. 8.01,9.01 08/09/06 CYPRESS BIOSCIENCE INC DE 2.02,9.01 08/09/06 CYTOMEDIX INC DE 2.02,9.01 08/09/06 DATASCOPE CORP DE 2.02,9.01 08/08/06 DAVI SKIN, INC. NV 1.01,1.02,5.02,8.01 07/13/06 DAYBREAK OIL & GAS INC WA 5.02 08/03/06 DB Commodity Index Tracking Fund 7.01 08/09/06 DDI CORP CA 2.02,9.01 08/09/06 Delek US Holdings, Inc. 2.02,9.01 08/09/06 DELTA AIR LINES INC /DE/ DE 2.02,9.01 08/09/06 DIALYSIS CORP OF AMERICA FL 2.02,9.01 08/09/06 DIGENE CORP DE 2.02,9.01 08/08/06 DIGITAL GENERATION SYSTEMS INC DE 2.02,9.01 08/09/06 Digital Realty Trust, Inc. MD 8.01,9.01 08/08/06 DPAC TECHNOLOGIES CORP CA 2.02,9.01 08/09/06 DTS, INC. DE 2.02,9.01 08/09/06 DYNEGY INC /IL/ IL 2.02,9.01 08/09/06 Eagle Bulk Shipping Inc. 2.02 08/07/06 EASYLINK SERVICES CORP DE 2.02,9.01 08/09/06 EDISON INTERNATIONAL CA 7.01,9.01 08/09/06 EFUNDS CORP DE 2.02 08/09/06 EL PASO CORP/DE DE 2.01,9.01 08/03/06 ELECTRO ENERGY INC FL 1.01,9.01 08/07/06 ELECTRONIC CLEARING HOUSE INC NV 2.02,9.01 08/09/06 ELOYALTY CORP DE 7.01,9.01 08/09/06 EMAK Worldwide, Inc. DE 2.02,9.01 08/09/06 ENCORE MEDICAL CORP DE 5.02,7.01,9.01 08/01/06 ENDEAVOUR INTERNATIONAL CORP NV 7.01,9.01 08/09/06 ENERGY PARTNERS LTD DE 2.02 08/09/06 ENESCO GROUP INC IL 2.04,9.01 08/07/06 ENTREMED INC DE 2.02,9.01 08/09/06 EPOCH HOLDING CORP DE 5.02,9.01 08/07/06 ERICO INTERNATIONAL CORP 2.02,9.01 08/09/06 ESCALA GROUP INC NY 1.01 07/25/06 ESCHELON TELECOM INC 2.02,9.01 08/09/06 ETRIALS WORLDWIDE INC. 8.01,9.01 08/08/06 EVERGREEN HOLDINGS INC OR 8.01,9.01 08/08/06 EZ EM INC DE 1.01 08/04/06 FAIRCHILD CORP DE 2.02,9.01 08/09/06 FEDERAL NATIONAL MORTGAGE ASSOCIATION 2.02,3.02,8.01,9.01 08/09/06 FEDERATED DEPARTMENT STORES INC /DE/ DE 2.02,9.01 08/09/06 FelCor Lodging Trust Inc MD 2.02,9.01 08/08/06 Feldman Mall Properties, Inc. MD 2.02,9.01 08/09/06 FIRST AMERICAN CORP CA 8.01 08/09/06 FIRST LITCHFIELD FINANCIAL CORP DE 2.02,9.01 08/08/06 FIRST SECURITY GROUP INC/TN TN 5.02 08/02/06 FIRSTCITY FINANCIAL CORP DE 2.02,7.01,9.01 08/09/06 FIRSTCITY FINANCIAL CORP DE 1.01,9.01 08/03/06 FIRSTPLUS FINANCIAL GROUP INC NV 3.02 08/03/06 FORD MOTOR CO DE 5.02 08/09/06 Forest Resources Management CORP DE 1.01,5.03,8.01,9.01 08/04/06 FOSTER WHEELER LTD D0 2.02,9.01 08/09/06 FTD Group, Inc. 2.02,9.01 08/09/06 FUTOMIC INDUSTRIES INC NJ 8.01 08/07/06 G/O INTERNATIONAL INC CO 5.03,7.01,8.01,9.01 08/01/06 GA Computer Sciences Inc. NV 1.01,9.01 08/04/06 GARUDA CAPITAL CORP NV 7.01,9.01 08/09/06 GCI INC AK 2.02,9.01 08/08/06 GENELABS TECHNOLOGIES INC /CA CA 8.01,9.01 08/08/06 GENERAL CABLE CORP /DE/ DE 2.02,9.01 07/25/06 AMEND GENERAL COMMUNICATION INC AK 2.02,9.01 08/08/06 GENERAL GROWTH PROPERTIES INC DE 2.02,7.01,9.01 08/07/06 AMEND GENESEE & WYOMING INC DE 9.01 06/01/06 AMEND GENTEK INC DE 2.02,9.01 08/09/06 GLOBAL CROSSING LTD 2.02,9.01 08/09/06 GLOBALNET CORP NV 1.01,2.03,3.02,5.02,8.01,9.01 08/04/06 GMH Communities Trust MD 2.02,9.01 08/07/06 GOLDEN STAR RESOURCES LTD 2.02,9.01 08/08/06 GP STRATEGIES CORP DE 2.02,9.01 08/09/06 GRAMERCY CAPITAL CORP MD 8.01,9.01 08/03/06 GRAY TELEVISION INC GA 2.02,9.01 08/09/06 GREAT LAKES BANCORP, INC. DE 2.02,9.01 08/09/06 GREAT PLAINS ENERGY INC MO 8.01 08/09/06 GTECH HOLDINGS CORP DE 8.01 08/09/06 GTSI CORP DE 4.02,9.01 08/04/06 GTX INC /DE/ DE 8.01 08/07/06 GWIN INC DE 8.01,9.01 08/01/06 HALLMARK FINANCIAL SERVICES INC NV 5.02,7.01,9.01 08/06/06 HALOZYME THERAPEUTICS INC NV 8.01,9.01 08/09/06 HAMPSHIRE GROUP LTD DE 1.01,3.01,8.01,9.01 08/08/06 HAMPTON ROADS BANKSHARES INC VA 8.01 08/09/06 HARLAND JOHN H CO GA 2.02,9.01 06/30/06 HARVEST NATURAL RESOURCES, INC. DE 2.02,9.01 08/09/06 HEALTHTRONICS, INC. GA 2.02,7.01,9.01 06/30/06 HERITAGE PROPERTY INVESTMENT TRUST IN MD 2.02,9.01 08/09/06 HERSHA HOSPITALITY TRUST MD 2.02,9.01 08/08/06 HERTZ CORP DE 1.01 08/03/06 Hiland Partners, LP 2.02,7.01,9.01 08/09/06 HOLLYWOOD MEDIA CORP FL 2.02,9.01 08/09/06 HOME PROPERTIES INC MD 7.01,9.01 08/03/06 AMEND HOSPIRA INC DE 2.02,9.01 08/09/06 HS3 TECHNOLOGIES INC. 5.02 07/13/06 HUB INTERNATIONAL LTD A6 5.02,7.01 08/08/06 HUMAN GENOME SCIENCES INC DE 2.02,9.01 08/09/06 HUNGARIAN TELEPHONE & CABLE CORP DE 2.02,9.01 08/09/06 HUSKER AG LLC NE 5.02,8.01 08/03/06 HYTHIAM INC DE 2.02,9.01 08/09/06 I2 TECHNOLOGIES INC DE 2.02,8.01,9.01 08/09/06 IBERIABANK CORP LA 1.01,7.01,9.01 08/09/06 ICO INC TX 1.01 08/03/06 ICOP DIGITAL, INC CO 2.02,9.01 08/09/06 IMAGE SENSING SYSTEMS INC MN 2.02,9.01 08/08/06 IMEDIA INTERNATIONAL INC DE 1.01,2.03 08/08/06 Implantable Vision, Inc. UT 8.01,9.01 08/09/06 INDEPENDENCE HOLDING CO DE 2.02,9.01 06/30/06 IndyMac INDX Mortgage Loan Trust 2006 8.01,9.01 07/28/06 INFOCROSSING INC DE 2.02,7.01,9.01 08/09/06 INFORMATION ARCHITECTS CORP NC 9.01 08/09/06 AMEND INFOSONICS CORP 2.02,9.01 08/09/06 INNODATA ISOGEN INC DE 2.02,9.01 08/09/06 INSMED INC VA 2.02,9.01 08/09/06 INTEGRATED SILICON SOLUTION INC DE 7.01,9.01 08/09/06 INTELSAT LTD 4.01,9.01 08/03/06 INTELSAT LTD 9.01 07/03/06 AMEND INTERVEST BANCSHARES CORP DE 5.02,9.01 08/09/06 INTERVEST MORTGAGE CORP NY 5.02,9.01 08/09/06 INTERVIDEO INC CA 2.02,9.01 08/09/06 INTEST CORP DE 2.02,9.01 08/02/06 INTROGEN THERAPEUTICS INC 2.02,9.01 08/09/06 INYX INC NV 7.01,9.01 08/07/06 IONATRON, INC. DE 3.02,9.01 08/08/06 ISECURETRAC CORP DE 2.02,9.01 08/09/06 ITERIS, INC. DE 2.02,9.01 08/09/06 J P MORGAN CHASE & CO DE 9.01 08/07/06 J2 GLOBAL COMMUNICATIONS INC DE 7.01,9.01 08/09/06 JEFFERSONVILLE BANCORP NY 2.02,9.01 08/09/06 KERYX BIOPHARMACEUTICALS INC DE 2.01,9.01 08/08/06 KFX INC DE 7.01,9.01 08/04/06 KINDRED HEALTHCARE, INC DE 8.01,9.01 08/08/06 KING PHARMACEUTICALS INC TN 2.02,9.01 08/09/06 KNOLOGY INC DE 2.02,9.01 08/08/06 KV PHARMACEUTICAL CO /DE/ DE 2.02,9.01 08/08/06 KYPHON INC DE 7.01,9.01 08/08/06 LAMPERD LESS LETHAL INC NV 4.01,9.01 07/26/06 LANDRYS RESTAURANTS INC 2.02,9.01 08/09/06 LANGER INC NY 2.02,9.01 08/09/06 LECROY CORP DE 2.02,9.01 08/09/06 LENNAR CORP /NEW/ DE 5.05,9.01 08/04/06 LEUCADIA NATIONAL CORP NY 8.01,9.01 08/09/06 LIBERTY MEDIA CORP 2.02 08/09/06 LIBERTY MEDIA LLC 2.02 08/09/06 LIFEWAY FOODS INC IL 1.01,2.01,2.03,9.01 07/27/06 LIGAND PHARMACEUTICALS INC DE 2.02,9.01 08/09/06 LINCOLN BANCORP /IN/ IN 1.01,5.02,9.01 08/03/06 Linn Energy, LLC DE 1.01,9.01 08/03/06 LIONS GATE ENTERTAINMENT CORP /CN/ 2.02,9.01 08/09/06 LIQUIDITY SERVICES INC 1.01,9.01 08/01/06 LITTELFUSE INC /DE DE 2.02,9.01 08/09/06 LODGIAN INC DE 2.02,9.01 08/09/06 LOEWS CORP DE 1.01,7.01,9.01 08/09/06 LONGPORT INC DE 5.02 08/09/06 LOUDEYE CORP DE 2.02,8.01,9.01 08/09/06 LOUDEYE CORP DE 1.01 08/07/06 LYONDELL CHEMICAL CO DE 1.01,9.01 08/03/06 MACE SECURITY INTERNATIONAL INC DE 1.02,8.01,9.01 08/04/06 MAGNA ENTERTAINMENT CORP DE 7.01,9.01 08/03/06 Maidenform Brands, Inc. DE 2.02,9.01 08/08/06 MARKWEST HYDROCARBON INC DE 2.02,9.01 08/07/06 MATHSTAR INC MN 2.02,9.01 08/08/06 MATRIX SERVICE CO DE 3.02 08/03/06 MB FINANCIAL INC /MD MD 7.01 08/09/06 MC SHIPPING INC 5.03 08/09/06 MECHANICAL TECHNOLOGY INC NY 2.02,9.01 06/30/06 MEDALLION FINANCIAL CORP DE 2.02,9.01 08/08/06 MEDCATH CORP DE 2.02,9.01 08/09/06 MEDIACOM COMMUNICATIONS CORP DE 2.02,9.01 08/09/06 Mediavest, Inc. NJ 1.01,3.02,5.02,9.01 08/03/06 MEDICALCV INC MN 8.01,9.01 08/08/06 MEDICINOVA INC DE 2.02 08/09/06 MEMORY PHARMACEUTICALS CORP 2.02,9.01 08/09/06 MERCER INTERNATIONAL INC. WA 2.02,9.01 08/08/06 AMEND MEREDITH CORP IA 8.01,9.01 08/09/06 MERRILL LYNCH MORTGAGE INVESTORS INC DE 8.01,9.01 08/08/06 METALDYNE CORP DE 7.01,9.01 08/08/06 METROPOLITAN HEALTH NETWORKS INC FL 2.02,9.01 08/07/06 METROPOLITAN HEALTH NETWORKS INC FL 1.01,9.01 08/03/06 MEXICAN RESTAURANTS INC TX 2.02,9.01 08/07/06 MICROTUNE INC DE 2.02,7.01,9.01 08/09/06 MIRANT CORP DE 2.02,9.01 08/09/06 MIVA, INC. DE 2.02,9.01 08/07/06 ML MACADAMIA ORCHARDS L P DE 2.02,9.01 08/08/06 MOD PAC CORP NY 2.02,9.01 08/09/06 MONEYGRAM INTERNATIONAL INC 8.01 08/09/06 MONMOUTH REAL ESTATE INVESTMENT CORP MD 2.02,9.01 08/09/06 Mortgage Assistance Center Corp FL 8.01,9.01 07/27/06 Mortgage Loan Asset-Backed Certificat DE 8.01,9.01 07/25/06 MOSCOW CABLECOM CORP DE 8.01,9.01 08/09/06 MOTHERS WORK INC DE 8.01,9.01 08/03/06 NANOGEN INC DE 2.02,9.01 08/09/06 NCI BUILDING SYSTEMS INC DE 5.02 08/03/06 NDS GROUP PLC X0 1.01 08/07/06 Neenah Paper Inc DE 2.02,9.01 08/08/06 Neenah Paper Inc DE 1.01,9.01 08/04/06 Neenah Paper Inc DE 1.01,9.01 08/09/06 NEOPHARM INC DE 1.01,2.02,5.02,9.01 08/04/06 NEOSE TECHNOLOGIES INC DE 2.02,9.01 08/09/06 NET PERCEPTIONS INC DE 2.02,9.01 08/08/06 NEUSTAR INC 8.01 08/08/06 NEW RIVER PHARMACEUTICALS INC VA 2.01,9.01 08/08/06 NEWCASTLE INVESTMENT CORP MD 2.03 08/08/06 NEXMED INC NV 2.02,9.01 08/09/06 NORTH PITTSBURGH SYSTEMS INC PA 2.02,9.01 08/09/06 Northstar Neuroscience, Inc. WA 2.02,9.01 08/09/06 NORTHSTAR REALTY 2.02,9.01 08/09/06 NOVA OIL INC NV 1.01,5.02,7.01,9.01 07/31/06 AMEND NOVADEL PHARMA INC DE 8.01,9.01 08/09/06 NOVASTAR FINANCIAL INC MD 7.01,9.01 08/09/06 NOVASTAR RESOURCES LTD. NV 1.01,9.01 08/08/06 NOVEN PHARMACEUTICALS INC DE 2.02 08/09/06 NYER MEDICAL GROUP INC FL 2.02,9.01 08/09/06 NYER MEDICAL GROUP INC FL 1.01,2.03,2.04,9.01 08/05/06 NYMAGIC INC NY 2.02,9.01 08/07/06 ODYSSEY HEALTHCARE INC DE 2.02,9.01 08/09/06 ODYSSEY RE HOLDINGS CORP DE 8.01 08/09/06 OLD LINE BANCSHARES INC 2.02,9.01 08/08/06 OneTravel Holdings, Inc. DE 8.01,9.01 08/02/06 OPINION RESEARCH CORP DE 2.02,9.01 08/08/06 OPTI INC CA 1.01,8.01,9.01 08/03/06 Oracle Healthcare Acquisition Corp. 4.02 08/08/06 ORASURE TECHNOLOGIES INC DE 7.01,9.01 08/08/06 ORIGEN FINANCIAL INC DE 2.02,9.01 08/07/06 ORION HEALTHCORP INC DE 2.02,9.01 08/09/06 ORTHOLOGIC CORP DE 2.02,9.01 08/09/06 OSCIENT PHARMACEUTICALS CORP MA 2.02,9.01 08/08/06 OSI PHARMACEUTICALS INC DE 2.02,8.01,9.01 07/28/06 OUTDOOR CHANNEL HOLDINGS INC 2.02,9.01 08/09/06 OVERSEAS SHIPHOLDING GROUP INC DE 8.01,9.01 08/07/06 OVERSEAS SHIPHOLDING GROUP INC DE 2.02,9.01 08/08/06 OXFORD INDUSTRIES INC GA 2.02,9.01 08/08/06 OXFORD INDUSTRIES INC GA 1.01,9.01 08/03/06 PAC-WEST TELECOMM INC 5.02,9.01 08/03/06 PACIFIC FUEL CELL CORP NV 3.02 08/08/06 PAIN THERAPEUTICS INC DE 2.02,9.01 08/09/06 PARALLEL PETROLEUM CORP DE 8.01,9.01 08/09/06 PARALLEL PETROLEUM CORP DE 2.02,9.01 08/07/06 PARALLEL PETROLEUM CORP DE 7.01,9.01 08/07/06 PDL BIOPHARMA, INC. DE 2.02,9.01 08/03/06 PEABODY ENERGY CORP DE 7.01,9.01 08/09/06 PECO II INC OH 2.02,9.01 08/09/06 PEDIATRIC SERVICES OF AMERICA INC DE 2.02,9.01 08/09/06 PEOPLES FINANCIAL CORP /MS/ MS 5.02,9.01 08/09/06 PERRIGO CO MI 2.02,9.01 08/09/06 PETROHAWK ENERGY CORP DE 2.02,9.01 08/09/06 PHARMACOPEIA DRUG DISCOVERY INC DE 7.01,9.01 08/09/06 PHARMACYCLICS INC DE 5.02,5.03,9.01 08/08/06 PINNACLE BANCSHARES INC AL 2.02,9.01 08/08/06 PLANAR SYSTEMS INC OR 8.01,9.01 08/09/06 PMC COMMERCIAL TRUST /TX TX 2.02,9.01 08/08/06 POINT THERAPEUTICS INC DE 2.02,9.01 08/08/06 POOL CORP DE 7.01,9.01 08/09/06 POWELL INDUSTRIES INC NV 1.01,2.01,8.01,9.01 08/07/06 PRG SCHULTZ INTERNATIONAL INC GA 2.02,9.01 08/07/06 PRIME GROUP REALTY TRUST MD 2.02,9.01 06/30/06 PRINCETON REVIEW INC DE 2.02,9.01 08/09/06 PRINCIPAL LIFE INSURANCE CO IA 9.01 08/04/06 PRINCIPAL LIFE INSURANCE CO IA 9.01 08/04/06 PROXYMED INC /FT LAUDERDALE/ FL 2.02,9.01 08/08/06 PSS WORLD MEDICAL INC FL 2.02,9.01 06/30/06 PURE BIOFUELS CORP NV 5.03,7.01,9.01 08/07/06 QUALITY SYSTEMS INC CA 1.01,9.01 08/08/06 QUEPASA CORP NV 5.02,9.01 08/09/06 QUIPP INC FL 2.02,9.01 08/04/06 QUOVADX INC DE 7.01,9.01 08/09/06 RADALE IMPORTS INC 8.01,9.01 08/04/06 RALCORP HOLDINGS INC /MO MO 2.02,9.01 08/07/06 RANGE RESOURCES CORP DE 2.01,9.01 06/19/06 AMEND RCM TECHNOLOGIES INC NV 2.02 07/01/06 RCN CORP /DE/ DE 2.02,7.01,9.01 08/09/06 Refco Inc. 5.02 08/03/06 RENTECH INC /CO/ CO 2.02,9.01 08/09/06 RENTECH INC /CO/ CO 2.02,9.01 08/09/06 AMEND RENTRAK CORP OR 2.02,9.01 08/08/06 Republic Companies Group, Inc. DE 1.01,9.01 08/04/06 Resource Capital Corp. MD 8.01,9.01 08/09/06 RGC RESOURCES INC VA 2.02,9.01 08/09/06 Rockville Financial Inc. 8.01,9.01 08/09/06 ROCKWELL MEDICAL TECHNOLOGIES INC MI 2.02,7.01,9.01 08/09/06 RONCO CORP DE 1.01,8.01,9.01 07/21/06 ROWAN COMPANIES INC DE 8.01,9.01 08/07/06 ROYAL FINANCIAL, INC. DE 7.01 08/07/06 SANDERS MORRIS HARRIS GROUP INC TX 5.02,8.01,9.01 08/08/06 SAUER DANFOSS INC DE 2.02,9.01 08/09/06 SAXON CAPITAL INC MD 2.02,9.01 08/09/06 SCOTTISH RE GROUP LTD E9 2.02,9.01 08/03/06 SEABOARD CORP /DE/ DE 2.02,9.01 08/09/06 SEAGATE TECHNOLOGY E9 8.01,9.01 08/08/06 SEITEL INC DE 2.02,9.01 06/30/06 SELECTICA INC DE 2.02,9.01 08/09/06 SERVOTRONICS INC /DE/ DE 1.01,9.01 08/04/06 SGX PHARMACEUTICALS, INC. DE 2.02,9.01 08/08/06 SIERRA PACIFIC RESOURCES /NV/ NV 8.01 08/07/06 SIMPLETECH INC CA 2.02,9.01 08/09/06 SIRONA DENTAL SYSTEMS, INC. DE 2.02,9.01 08/09/06 SIRONA DENTAL SYSTEMS, INC. DE 9.01 06/20/06 AMEND SITEL CORP MN 1.01,5.02,9.01 08/04/06 SIZELER PROPERTY INVESTORS INC DE 2.02,7.01,9.01 08/08/06 SKY FINANCIAL GROUP INC OH 8.01,9.01 08/09/06 SL GREEN REALTY CORP MD 1.01,9.01 08/03/06 SNAP ON INC DE 1.01 08/03/06 Somaxon Pharmaceuticals, Inc. DE 2.02,9.01 08/09/06 SONA MOBILE HOLDINGS CORP DE 5.02,9.01 08/07/06 SONICBLUE INC DE 8.01,9.01 06/30/06 SOUTHERN UNION CO DE 9.01 03/01/06 AMEND SOUTHWALL TECHNOLOGIES INC /DE/ DE 8.01 08/07/06 SOUTHWEST GAS CORP CA 2.02 08/09/06 SOUTHWEST WATER CO DE 8.01,9.01 08/09/06 SPECIALIZED HEALTH PRODUCTS INTERNATI DE 2.02,9.01 08/09/06 SPECTRALINK CORP CO 2.02,9.01 08/08/06 SPEEDWAY MOTORSPORTS INC DE 2.02,9.01 08/09/06 SPESCOM SOFTWARE INC CA 5.02 08/08/06 STAKTEK HOLDINGS INC DE 2.02,9.01 08/09/06 STAR GAS PARTNERS LP DE 2.02,7.01,9.01 08/09/06 StatSure Diagnostic Systems, Inc. DE 1.01,9.01 07/31/06 Stereotaxis, Inc. DE 2.02,7.01,9.01 08/09/06 STIFEL FINANCIAL CORP DE 2.02,9.01 06/30/06 STRATEGIC HOTELS & RESORTS, INC 2.01,5.02,9.01 08/03/06 STRATEGIC HOTELS & RESORTS, INC 2.02,9.01 08/03/06 STRATUS PROPERTIES INC DE 2.02,9.01 08/09/06 SUMMIT FINANCIAL GROUP INC WV 8.01,9.01 08/09/06 SUN HYDRAULICS CORP FL 2.02,9.01 08/08/06 SUNGARD DATA SYSTEMS INC DE 2.02,9.01 08/09/06 SUNSET FINANCIAL RESOURCES INC 1.01 08/03/06 SUPERIOR GALLERIES INC DE 1.02,9.01 08/03/06 SUPERIOR INDUSTRIES INTERNATIONAL INC CA 2.02,9.01 08/03/06 SYMMETRICOM INC DE 2.02,9.01 08/09/06 Synova Healthcare Group Inc 1.01,9.01 08/02/06 TAL International Group, Inc. DE 2.02,9.01 08/08/06 TANGER FACTORY OUTLET CENTERS INC NC 8.01,9.01 08/09/06 TANGER PROPERTIES LTD PARTNERSHIP /NC NC 8.01,9.01 08/09/06 TARGACEPT INC 2.02,9.01 08/09/06 TELEPHONE & DATA SYSTEMS INC /DE/ DE 2.02,3.01,8.01,9.01 08/09/06 TERREMARK WORLDWIDE INC DE 7.01,9.01 08/08/06 THERAGENICS CORP DE 5.02 08/09/06 THERMADYNE HOLDINGS CORP /DE DE 1.01,5.02,9.01 08/07/06 THOMAS PROPERTIES GROUP INC DE 2.02,9.01 08/08/06 Thomas Weisel Partners Group, Inc. DE 2.02,9.01 08/09/06 THRESHOLD PHARMACEUTICALS INC DE 1.01,1.02,2.02,2.05,3.03, 08/08/06 5.02,5.03,9.01 TIME WARNER INC DE 3.02 08/04/06 TLC VISION CORP A6 4.02 08/08/06 TLC VISION CORP A6 2.02,9.01 08/09/06 TOLL BROTHERS INC DE 2.02,9.01 08/09/06 TOTAL LUXURY GROUP INC IN 5.02,9.01 08/08/06 TRADESTAR SERVICES, INC. NV 2.01,9.01 08/09/06 AMEND TRANSOCEAN INC E9 7.01 08/07/06 TRESTLE HOLDINGS INC DE 2.02 08/09/06 TRICO MARINE SERVICES INC DE 7.01,9.01 08/08/06 TRINITY INDUSTRIES INC DE 8.01,9.01 08/04/06 TRIPATH TECHNOLOGY INC 5.02,9.01 08/03/06 TRUSTMARK CORP MS 8.01 08/09/06 TUFCO TECHNOLOGIES INC DE 2.02,9.01 08/08/06 U S GOLD CORP CO 7.01,9.01 08/08/06 UCN INC DE 2.02,9.01 08/09/06 UMH PROPERTIES, INC. MD 7.01,9.01 08/09/06 UNICO AMERICAN CORP NV 2.02 08/09/06 UNITED STATES CELLULAR CORP DE 2.02,3.01,8.01,9.01 08/09/06 URANERZ ENERGY CORP. NV 8.01,9.01 08/09/06 URBAN OUTFITTERS INC PA 2.02,9.01 08/08/06 URS CORP /NEW/ DE 2.02,9.01 08/09/06 US CONCRETE INC DE 2.02,9.01 08/09/06 USA Mobility, Inc DE 2.02,7.01,9.01 08/08/06 UTG INC 1.01,9.01 08/08/06 UTSTARCOM INC DE 2.02,9.01 08/09/06 VALENCE TECHNOLOGY INC DE 2.02,9.01 08/09/06 VALENTIS INC DE 2.05,8.01,9.01 08/07/06 VECTOR GROUP LTD DE 2.02,9.01 08/09/06 VENTAS INC DE 8.01,9.01 08/08/06 VERISIGN INC/CA DE 8.01,9.01 08/09/06 Viacom Inc. DE 2.02,9.01 08/09/06 VIASPACE Inc. NV 8.01,9.01 08/09/06 VIGNETTE CORP DE 1.01 08/07/06 VIPER NETWORKS INC UT 3.02,5.01,7.01,9.01 08/07/06 VISTA GOLD CORP 8.01,9.01 08/08/06 W&T OFFSHORE INC TX 2.02,9.01 08/08/06 WALT DISNEY CO/ DE 2.02,9.01 08/09/06 WaMu Mortgage Pass-Through Certificat DE 9.01 07/25/06 WARNACO GROUP INC /DE/ DE 2.02,4.02,9.01 08/03/06 WCI COMMUNITIES INC 2.02,7.01,9.01 08/09/06 WD 40 CO DE 1.01,9.01 08/09/06 WESTAR ENERGY INC /KS KS 2.02,9.01 08/09/06 Western Refining, Inc. DE 2.02,9.01 08/08/06 WESTMORELAND COAL CO DE 8.01,9.01 08/09/06 WESTWOOD ONE INC /DE/ DE 2.02,8.01,9.01 08/07/06 WHEELING PITTSBURGH CORP /DE/ DE 8.01,9.01 08/08/06 WHEELING PITTSBURGH CORP /DE/ DE 1.01,1.02,9.01 08/03/06 Winthrop Realty Trust OH 4.02,9.01 08/04/06 WIRELESS AGE COMMUNICATIONS INC NV 1.01,3.02,5.03 08/03/06 WIRELESS XCESSORIES GROUP INC DE 2.02,7.01 08/08/06 WORLD FUEL SERVICES CORP FL 2.02,7.01,9.01 08/09/06 WorldSpace, Inc DE 2.02,9.01 08/09/06 WORLDSPAN L P DE 2.02,9.01 08/09/06 WORLDWIDE STRATEGIES INC NV 3.02,5.02,8.01 06/22/06 WPS RESOURCES CORP WI 8.01 08/09/06 XCEL ENERGY INC MN 2.02,9.01 08/09/06 XENOPORT INC DE 2.02,9.01 08/09/06 YADKIN VALLEY FINANCIAL CORP NC 8.01,9.01 08/08/06 YORK WATER CO PA 2.02,9.01 08/09/06 YOUNG BROADCASTING INC /DE/ DE 2.02,9.01 08/09/06 ZIX CORP TX 2.02,9.01 08/08/06 ZOMAX INC /MN/ MN 2.02,9.01 08/09/06 ZOMAX INC /MN/ MN 1.01,9.01 08/08/06