SEC NEWS DIGEST Issue 2006-233 December 5, 2006 RULES AND RELATED MATTERS SEC ADOPTS RULE TO REQUIRE ELECTRONIC FILING OF TRANSFER AGENT FORMS The Commission adopted amendments to the rules and forms under Section 17A of the Securities Exchange Act of 1934 to require that the forms filed with respect to transfer agent registration, annual reporting, and withdrawal from registration be filed with the Commission electronically. The forms will be filed on the Commission's EDGAR database in XML format and will be accessible to Commission staff and the public for search and retrieval. The rulemaking is designed to improve the Commission's ability to utilize the information reported on the forms in performing its oversight function of transfer agent operations and to publicly disseminate the information on the forms. Publication of the proposal is expected in the Federal Register during the week of December 4. (Rel. 34 54864) SEC AMENDS RULES TO DELEGATE AUTHORITY TO CHIEF ADMINISTRATIVE LAW JUDGE The SEC has amended its rules to delegate authority to the Chief Administrative Law Judge to issue orders to discontinue administrative proceedings as to a particular respondent who has died or cannot be found, or because of a mistake in the identity of a respondent named in the order for proceedings. The delegation is intended to conserve Commission resources, as well as expedite disposition of administrative proceedings. For further information, please contact Geoffrey D. Kruczek, Office of Administrative Law Judges, at (202) 551-6030. (Rel. 34-54867) ENFORCEMENT PROCEEDINGS IN THE MATTER OF HEALTH ENHANCEMENT PRODUCTS, INC. On December 4, the Commission issued an Order Instituting Cease-and- Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934 against Health Enhancement Products, Inc. (HEPI), a Nevada corporation with its principal place of business in Tempe, Arizona. HEPI's common stock is registered with the Commission pursuant to Section 12(g) of the Exchange Act. HEPI describes itself as a "fast growing nutraceutical company" that is "directed specifically at the development and marketing of supplementary health-enhancing products using only pure, all-natural and herbal extracts." The Order finds that HEPI disseminated materially misleading information about HEPI and the company's primary product, ProAlgaZyme, a purported natural dietary supplement, in press releases and the company's annual, quarterly, and current public filings. For instance, in a January 20, 2004 press release, HEPI announced that the biochemistry department of Arizona State University (ASU) had conducted an independent study that "concluded that . . ProAlgaZyme . . . possesses fibrinolytic properties, required in the breakdown of pathological fibrin gel, thus decreasing the risk of a stroke or heart attack." This representation was false. In fact, the ASU scientists did not conclude that ProAlgaZyme reduced the risk of a stroke or heart attack. Based on the above, the Order finds that HEPI violated Sections 10(b) and 13(a) of the Securities Exchange Act of 1934 and Rules 10b-5, 12b- 20, 13a-1, 13a-11, and 13a-13 thereunder. HEPI consented to the issuance of the Order without admitting or denying any of the findings in the Order. In a related matter, the Commission announced that it filed an enforcement action in the United States District Court against Howard R. Baer, HEPI's Chairman and sole director, and Kevin Baer, formerly HEPI's executive vice president. In its complaint, the Commission alleges that Howard Baer, a recidivist securities law violator, orchestrated a scheme to inflate artificially the price of HEPI's common stock from approximately October 2003 to February 2004 by obtaining control over a majority of the stock of HEPI and becoming CEO, and then, to increase the value of the stock, directing HEPI to issue materially misleading press releases. Kevin Baer, Howard Baer's son and an executive vice president at HEPI, assisted Howard Baer in disseminating the materially misleading public statements. (Rels. 33- 8758; 34-54868; File No. 3-12497) SEC FILES EMERGENCY ENFORCEMENT ACTION TO HALT $18.2 MILLION PRIME BANK SCHEME ARLINGTON, VIRGINIA COMPANY SOLICITED INVESTORS IN BRITISH COLUMBIA AND PACIFIC NORTHWEST The Commission yesterday filed an emergency action against Daniel Eric Byer, Malcolm Cameron Boyd Stevenson, Preston David Pinkett II, and International Fiduciary Corp., S.A. (IFC), alleging that the defendants defrauded over 180 investors in a fraudulent "Prime Bank" scheme which appears to have raised at least $18.2 million to date. IFC is a Virginia corporation with offices in Arlington, Virginia. Pinkett, who also lists an Arlington, Virginia address, is IFC's chairman and CEO. Byer and Stevenson are Canadians. The complaint alleges that defendants solicited investors in the Pacific Northwest, primarily in the Canadian province of British Columbia, including Abbotsford, B.C. According to the SEC's pleadings, investors were requested to, and did, send their investments to a bank in Arlington, Virginia. The Commission alleged that the defendants violated the registration and antifraud provisions of the Securities Act of 1933 (Securities Act) and the antifraud of the Securities Exchange Act of 1934 (Exchange Act). For permanent relief, the Commission requested injunctions against future violations, disgorgement, prejudgment interest and civil penalties as to all defendants. The Court subsequently entered an order, among other things, temporarily restraining defendants from violating Section 10(b) of the Exchange Act (15 U.S.C. § 78j(b)), Rule 10b-5 (17 C.F.R. § 240.10b-5) and Sections 5 and 17(a) of the Securities Act (15 U.S.C. §§ 77(e) and 77q(a)); freezing investors' funds wherever located and all assets of the defendants; prohibiting the defendants from accepting or depositing additional funds from actual or potential investors; requiring an immediate accounting; preventing document alteration or destruction; expediting discovery; and requiring defendants to repatriate all investor funds into the United States. [SEC v. International Fiduciary Corp., S.A., et al., USDC for Eastern District of Virginia, Civil Action No. Civil Action No. 1:06CV1354] (LR-19934; Press Rel. 2006-201) FORMER HOMESTORE EXECUTIVES SENTENCED FOR ROLE IN FINANCIAL FRAUD SCHEME The Commission today announced that the Honorable Percy Anderson, U.S. District Judge for the Central District of California, sentenced John Giesecke, Jr., 45, Joseph J. Shew, 41, and John R. DeSimone, 37, based upon their 2002 guilty pleas for their role in a scheme to inflate Homestore's advertising revenues. Giesecke, Homestore's former COO, was sentenced on Nov. 13, 2006, to serve twelve months in federal prison followed by six months of home detention. Shew, Homestore's former CFO, was sentenced on Nov. 20, 2006, to serve six months in federal prison followed by six months of home detention. Giesecke and Shew were also ordered to serve three years of supervised release following their prison terms. DeSimone, Homestore's former vice president of finance, was sentenced on Oct. 30, 2006, to serve six months of home detention followed by three years of probation, plus 300 hours of community service. In their plea agreements, Giesecke, Shew, and DeSimone each admitted that during the first three quarters of 2001, each participated in a scheme to inflate Homestore's advertising revenues through the use of illegal round-trip transactions. All three individuals settled with the Commission on Sept. 25, 2002, by consenting to the entry of permanent injunctions against them in addition to other monetary and non-monetary relief. The Commission has settled enforcement actions with a total of 15 individuals for their roles in the Homestore scheme. All of the money collected from these individuals in connection with their settlements, has been paid into a fund to benefit the defrauded Homestore shareholders pursuant to the Fair Funds provision of the Sarbanes-Oxley Act of 2002. To date, approximately $9 million has been collected and deposited into the fund. [SEC v. John Giesecke, Jr., Joseph J. Shew, and John R. DeSimone, USDC for the Central District of California, Civil Action No. 02 CV 7471 SVW (RZx))] (LR-19935; AAE Rel. 2521) ADDITIONS AND CORRECTIONS A summary in yesterday's Digest entitled "JEFFERIES SETTLES SEC CHARGES ARISING OUT OF THE ILLEGAL PROVISION OF $2 MILLION IN GIFTS AND EXCESSIVE ENTERTAINMENT TO MUTUAL FUND COMPANY TRADERS FOR BROKERAGE BUSINESS" omitted the release numbers in the Matter of Kevin W. Quinn. They are as follows: Rel. 34-54862; IC-27588; File No. 3- 12496. SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change filed by the New York Stock Exchange to waive the initial listing fee and the one-time special charge in connection with listing a new class of common shares payable by any company listed on another national securities exchange that transfers the listing of its primary class of common shares to the NYSE (SR-NYSE- 2006-104) 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 December 4. (Rel. 34-54849) A proposed rule change filed by the New York Stock Exchange to prohibit specialists from charging commissions on transactions in their specialty securities (SR-NYSE-2006-105) has become immediately 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 December 4. (Rel. 34-54850) A proposed rule change filed by The NASDAQ Stock Market regarding guidance for adjudicating clearly erroneous transactions under Nasdaq Rule 11890 (SR-NASDAQ-2006-046) has become immediately 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 December 4. (Rel. 34-54854) A proposed rule change filed by the New York Stock Exchange to amend the fees charged to member organizations for transactions in equity securities (SR NYSE-2006 106) has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934 and Rule 19b-4(f)(2) thereunder. Publication is expected in the Federal Register during the week of December 4. (Rel. 34-54856) ACCELERATED APPROVAL OF PROPOSED RULE CHANGES The Commission granted accelerated approval to a proposed rule change (SR-Amex-2006-48) and Amendment No. 1 thereto submitted by the American Stock Exchange modifying the independent director and audit committee corporate governance standards. Publication is expected in the Federal Register during the week of December 4. (Rel. 34-54851) The Commission approved a proposed rule change, as modified by Amendment No. 1, on an accelerated basis (SR-NYSE-2006-76), submitted by the New York Stock Exchange relating to Exchange Rule 104.10 (Dealings by Specialists). Publication is expected in the Federal Register during the week of December 4. (Rel. 34-54860) PROPOSED RULE CHANGES The Depository Trust Company filed a proposed rule change (SR-DTC- 2006-15) to amend DTC's Rule 30, Canadian-Link Service, to allow Canadian-Link transactions to settle in U.S. dollars. Publication is expected in the Federal Register during the week of December 4. (Rel. 34-54855) A proposed rule change (SR-NASD-2006-101) has been filed by the National Association of Securities Dealers to provide for the payment of a $200 honorarium per case for each arbitrator who considers contested motions for the issuance of subpoenas. Publication is expected in the Federal Register during the week of December 4. (Rel. 34-54857) 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 FRANKLIN COVEY CO, 2200 W PKWY BLVD, SALT LAKE CITY, UT, 84119-2331, 8018177171 - 2,000,000 ($11,380,000.00) Equity, (File 333-139048 - Dec. 1) (BR. 05B) SB-2 PLUSH MALL, INC., 2764 LAKE SAHARA DRIVE, SUITE 111, LAS VEGAS, NV, 89117, (702) 938-3656 - 3,200,000 ($160,000.00) Equity, (File 333-139049 - Dec. 1) (BR. ) S-4 PNC FINANCIAL SERVICES GROUP INC, ONE PNC PLAZA, 249 FIFTH AVENUE, PITTSBURGH, PA, 15222, 412-762-2000 - 0 ($3,685,925,889.00) Equity, (File 333-139050 - Dec. 1) (BR. 07B) S-8 GOLD RESOURCE CORP, 222 MILWAUKEE ST, SUITE 301, DENVER, CO, 80206, 303-320-7708 - 6,000,000 ($9,750,000.00) Equity, (File 333-139051 - Dec. 1) (BR. 09) SB-2 NEWGOLD INC, 3090 BOEING RD, CAMERON PARK, CA, 95612, 9166651840 - 24,865,593 ($8,205,646.00) Equity, (File 333-139052 - Dec. 1) (BR. 04A) S-3ASR CHESAPEAKE ENERGY CORP, 6100 N WESTERN AVE, OKLAHOMA CITY, OK, 73118, 4058488000 - 0 ($792,000,000.00) Non-Convertible Debt, (File 333-139053 - Dec. 1) (BR. 04B) S-3 COMBINATORX, INC, 245 FIRST STREET, 16TH FLOOR, CAMBRIDGE, MA, 02142, 617-301-7000 - 0 ($16,305,187.00) Equity, (File 333-139054 - Dec. 1) (BR. 01A) S-3 ELECTRO OPTICAL SCIENCES INC /NY, 3 WEST MAIN STREET, SUITE 201, IRVINGTON, NY, 10533, 914-591-3783 - 0 ($19,412,459.00) Equity, (File 333-139056 - Dec. 1) (BR. 10B) S-8 EDO CORP, 60 EAST 42ND STREET, 42ND FLOOR, NEW YORK, NY, 10165, 2127162000 - 0 ($25,920,000.00) Equity, (File 333-139057 - Dec. 1) (BR. 05A) S-3 Allis Chalmers Energy Inc., 5075 WESTHEIMER, SUITE 890, HOUSTON, TX, 77056, 713-369-0550 - 0 ($1,500,000,000.00) Unallocated (Universal) Shelf, (File 333-139058 - Dec. 1) (BR. 04A) S-8 NATIONAL LAMPOON INC, 8228 SUNSET BOULEVARD, THIRD FLOOR, LOS ANGELES, CA, 90046, 3104745252 - 6,767,446 ($16,478,731.00) Equity, (File 333-139060 - Dec. 1) (BR. 05B) S-8 RAVEN INDUSTRIES INC, 205 E 6TH ST, PO BOX 5107, SIOUX FALLS, SD, 57117, 6053362750 - 0 ($1,399,750.00) Equity, (File 333-139063 - Dec. 1) (BR. 10C) S-8 OVERLAND STORAGE INC, 4820 OVERLAND AVENUE, SAN DIEGO, CA, 92123, 8585715555 - 0 ($2,420,000.00) Equity, (File 333-139064 - Dec. 1) (BR. 03C) S-8 WOLSELEY PLC, PARKVIEW 1220 ARLINGTON BUSINESS PARK, TEAL READING, UNITED KINGDOM, X0, R67 4FA, 441189298700 - 2,000,000 ($43,740,000.00) Other, (File 333-139065 - Dec. 1) (BR. 06B) S-8 TB WOODS CORP, 440 N FIFTH AVE, CHAMBERSBURG, PA, 17201, 7172647161 - 325,000 ($4,818,125.00) Equity, (File 333-139066 - Dec. 1) (BR. 06A) S-8 HEMOSENSE INC, 651 RIVER OAKS PARKWAY, SAN JOSE, CA, 95134, 408-719-1393 - 560,000 ($2,049,600.00) Equity, (File 333-139067 - Dec. 1) (BR. 10B) SB-2 OXFORD MEDIA, INC., ONE TECHNOLOGY DRIVE, BUILDING H, IRVINE, CA, 92618, (949) 341-0050 - 19,717,857 ($9,858,928.50) Equity, (File 333-139068 - Dec. 1) (BR. 11C) N-2 UBS PW CREDIT & RECOVERY FUND LLC, 1285 AVE OF THE AMERICAS, NEW YORK, NY, 10019, 2127132000 - 60,000,000 ($600,000,000.00) Equity, (File 333-139071 - Dec. 1) (BR. 17) S-8 ION NETWORKS INC, 120 CORPORATE BLVD, SOUTH PLAINFIELD, NJ, 07080, 9085463900 - 9,000,000 ($101.12) Equity, (File 333-139072 - Dec. 1) (BR. 03B) S-8 CALTON INC, 2050 40TH AVENUE, SUITE ONE, VERO BEACH, FL, 32960, 7727941414 - 1,225,000 ($465,500.00) Equity, (File 333-139073 - Dec. 1) (BR. 06C) S-8 FORMFACTOR INC, 7005 SOUTHFRONT ROAD, LIVERMORE, CA, 94551, 9252433522 - 0 ($84,102,684.00) Equity, (File 333-139074 - Dec. 1) (BR. 10B) S-8 VOIP INC, 151 SOUTH WYMORE ROAD, SUITE 3000, ALTAMONTE SPRINGS, FL, 32714, 407-389-3232 - 2,000,000 ($780,000.00) Equity, (File 333-139075 - Dec. 1) (BR. 11C) S-4 Novelis South America Holdings LLC, 3399 PEACHTREE STREET NE, SUITE 1500, ATLANTA, GA, 30326, 404 814 4200 - 0 ($1,400,000,000.00) Non-Convertible Debt, (File 333-139076 - Dec. 1) (BR. ) S-8 NexCen Brands, Inc., 1330 AVENUE OF THE AMERICAS, 40TH FLOOR, NEW YORK, NY, 10019, 2122771100 - 0 ($25,340,000.00) Equity, (File 333-139078 - Dec. 1) (BR. 06B) F-6 Banca Intesa, PIAZZA SCALA 6 - 20121, MILANO, L6, 00000, 39-02-87911 - 0 ($5,000,000.00) ADRs/ADSs, (File 333-139079 - Dec. 1) (BR. ) S-8 OPEN ENERGY CORP, 674 GRANVILLE STREET, PO BOX 54037, VANCOUVER, A1, V6C 3P4, 604.657.2246 - 8,500,000 ($4,080,000.00) Equity, (File 333-139080 - Dec. 1) (BR. 04C) SB-2 Cyberkinetics Neurotechnology Systems, Inc., SUITE 240, 100 FOXBOROUGH BLVD., FOXBOROUGH, MA, 02035, 508-549-9981 - 12,842,656 ($18,108,144.96) Equity, (File 333-139081 - Dec. 1) (BR. 10A) S-3 SIGA TECHNOLOGIES INC, 420 LEXINGTON AVE, SUITE 601, NEW YORK, NY, 10170, 2126729100 - 500,000 ($1,652,000.00) Equity, (File 333-139082 - Dec. 1) (BR. 01C) S-4 PARK NATIONAL CORP /OH/, 50 NORTH THIRD ST, NEWARK, OH, 43055, 6143498451 - 859,284 ($82,456,437.00) Equity, (File 333-139083 - Dec. 1) (BR. 07A) S-11 FIRST REPUBLIC PREFERRED CAPITAL CORP, 111 PINE ST, SAN FRANCISCO, CA, 94111, 415-392-1400 - 0 ($115,000,000.00) Other, (File 333-139084 - Dec. 1) (BR. 08A) S-3 Eagle Hospitality Properties Trust, Inc., 100 E. RIVERCENTER BLVD., SUITE 480, COVINGTON, KY, 41011, (859)292-5500 - 0 ($6,395,458.00) Equity, (File 333-139085 - Dec. 1) (BR. 08B) S-3ASR Viacom Inc., 1515 BROADWAY, NEW YORK, NY, 10036, (212) 258-6000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-139086 - Dec. 1) (BR. 11B) SB-2 Akeena Solar, Inc., 605 UNIVERSITY AVENUE, LOS GATOS, CA, 95032, 408-395-7774 - 0 ($8,853,300.00) Equity, (File 333-139087 - Dec. 1) (BR. 02A) F-1 Melco PBL Entertainment (Macau) LTD, THE PENTHOUSE, 38TH FLOOR, THE CENTRIUM, 60 WYNDHAM STREET, CENTRAL, K3, 00000, (852) 3151-3777 - 0 ($1,100,792,308.00) ADRs/ADSs, (File 333-139088 - Dec. 1) (BR. ) S-8 LIBBEY INC, 300 MADISON AVE, PO BOX 10060, TOLEDO, OH, 43604, 4193252100 - 3,033,306 ($58,937,135.58) Equity, (File 333-139089 - Dec. 1) (BR. 06B) S-8 ACCESS INTEGRATED TECHNOLOGIES INC, 55 MADISON AVENUE, SUITE 300, MORRISTOWN, NJ, 07960, 973-290-0080 - 1,350,000 ($12,204,000.00) Equity, (File 333-139091 - Dec. 4) (BR. 08A) S-1 Employers Holdings, Inc., 9790 GATEWAY DRIVE, RENO, NV, 89521, 775-327-2936 - 0 ($287,960,000.00) Equity, (File 333-139092 - Dec. 4) (BR. 01) S-3ASR ATMOS ENERGY CORP, 1800 THREE LINCOLN CTR, 5430 LBJ FREEWAY, DALLAS, TX, 75240, 9729349227 - 0 ($0.00) Equity, (File 333-139093 - Dec. 4) (BR. 02B) S-1 Omrix Biopharmaceuticals, Inc., 630 FIFTH AVENUE, 22ND FLOOR, NEW YORK, NY, 10111, (212) 887-6500 - 0 ($80,406,562.00) Equity, (File 333-139094 - Dec. 4) (BR. 01B) F-6 STERLITE INDUSTRIES (INDIA) LTD, VEDANTA, 75 NEHRU ROAD, VILE PARLE (EAST),, MUMBAI, K7, 400099, 91-22-66434500 - 400,000,000 ($20,000,000.00) ADRs/ADSs, (File 333-139102 - Dec. 4) (BR. 04) S-1 COMPBENEFITS CORP, 100 MANSELL COURT EAST, STE 400, ROSWELL, GA, 30076, 770998936 - 0 ($150,000,000.00) Equity, (File 333-139103 - Dec. 4) (BR. 01) S-8 Energy Metals CORP, SUITE 1238, 200 GRANVILLE STREET, VANCOUVER, A1, V6C 1S4, 604-684-9007 - 6,676,809 ($39,493,325.24) Equity, (File 333-139104 - Dec. 4) (BR. 04B) S-8 BANYAN CORP /OR/, 1925 CENTURY PARK EAST, SUITE 500, LOS ANGELES, CA, 90067, 1-800-808-0899 - 38,204,082 ($187,200.00) Equity, (File 333-139105 - Dec. 4) (BR. 01A) F-6 MMX Mineracao e Metalicos S.A., PRAIA DO FLAMENGO, NO. 154, 5TH FLOOR, FLAMENGO, RIO DE JANEIRO, D5, 22210-030, 55 21 2555-5557 - 50,000,000 ($2,500,000.00) ADRs/ADSs, (File 333-139106 - Dec. 4) (BR. ) S-8 BON TON STORES INC, 2801 E MARKET ST, YORK, PA, 17402-2406, 7177577660 - 0 ($25,158,000.00) Equity, (File 333-139107 - Dec. 4) (BR. 02A) S-8 PNM RESOURCES INC, ALVARADO SQUARE, NEW MEXICO, ALBUQUERQUE, NM, 87158, 5052412700 - 0 ($1,500,000.00) Equity, (File 333-139108 - Dec. 4) (BR. 02A) S-3ASR PRICELINE COM INC, 800 CONNECTICUT AVE, NORWALK, CT, 06854, 2037053000 - 0 ($0.00) Equity, (File 333-139109 - Dec. 4) (BR. 08C) SB-2 EDENTIFY, INC., 74 WEST BROAD STREET, SUITE 350, BETHLEHEM, PA, 18018, 6108146830 - 5,791,363 ($3,474,817.80) Equity, (File 333-139110 - Dec. 4) (BR. 03B) S-4 ILLUMINA INC, 9885 TOWNE CENTRE DRIVE, SAN DIEGO, CA, 92121, 8582024500 - 0 ($599,185,862.36) Equity, (File 333-139111 - Dec. 4) (BR. 10B) S-8 GASTAR EXPLORATION LTD, 1331 LAMAR STREET, SUITE 1080, HOUSTON, TX, 77010, 7137391800 - 5,000,000 ($11,700,000.00) Equity, (File 333-139112 - Dec. 4) (BR. 04B) SB-2 MICHELEX CORP, 430 4TH STREET, OGEN, UT, 84404, 8013926056 - 37,500,000 ($1,200,000.00) Equity, (File 333-139113 - Dec. 4) (BR. 09B) S-4 COMSYS IT PARTNERS INC, 4400 POST OAK PARKWAY, SUITE 1800, HOUSTON, TX, 77027, 713-386-1400 - 1,500,000 ($26,430,000.00) Equity, (File 333-139114 - Dec. 4) (BR. 11C) S-8 VENTURE FINANCIAL GROUP INC, 721 COLLEGE STREET, P O BOX 3800, LACEY, WA, 98509, 3604591100 - 1,000,000 ($11,420,000.00) Equity, (File 333-139115 - Dec. 4) (BR. 07A) F-1 Teekay Offshore Partners L.P., TEEKAY SHIPPING (CANADA) LTD.,, SUITE 2000 - 550 BURRARD STREET, VANCOUVER, A1, V6C 2K2, 242-502-8820 - 0 ($169,050,000.00) Equity, (File 333-139116 - Dec. 4) (BR. ) SB-2 Epazz Inc, 27 N WACKER DR N261, CHICAGO, IL, 60606, 3129558161 - 9,482,940 ($2,370,735.00) Equity, (File 333-139117 - Dec. 4) (BR. ) S-3ASR DEVELOPERS DIVERSIFIED REALTY CORP, 3300 ENTERPRISE PARKWAY, BEACHWOOD, OH, 44122, 2167555500 - 0 ($0.00) Equity, (File 333-139118 - Dec. 4) (BR. 08A) S-1 BROADCAST INTERNATIONAL INC, 7050 UNION PARK AVENUE, #600, SALT LAKE CITY, UT, 84047, 801-562-2252 - 5,970,914 ($8,060,733.90) Equity, (File 333-139119 - Dec. 4) (BR. 08A) SB-2 FOLDERA, INC, 17011 BEACH BLVD., HUNTINGTON BEACH, CA, 92647, 480-659-8036 - 0 ($29,503,823.69) Equity, (File 333-139120 - Dec. 4) (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 100 F Street, N.E., Washington, D.C. 20549-1090 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT ------------------------------------------------------------------------------------------------------- 3D SYSTEMS CORP DE 5.02,5.03,8.01,9.01 11/30/06 ACCESS WORLDWIDE COMMUNICATIONS INC DE 1.01,9.01 11/28/06 ACCURIDE CORP DE 5.02,9.01 11/28/06 ACE COMM CORP MD 5.02 12/01/06 Advance Nanotech, Inc. DE 1.01,2.03,5.02,9.01 11/13/06 ADVANCED MICRO DEVICES INC DE 8.01,9.01 11/29/06 ADVANCED PHOTONIX INC DE 2.02,4.02,9.01 11/10/06 ADVANCED PHOTONIX INC DE 2.02,4.02,9.01 11/13/06 AFFIRMATIVE INSURANCE HOLDINGS INC DE 5.02,9.01 11/27/06 AGCO CORP /DE DE 1.01,9.01 12/01/06 ALESCO FINANCIAL INC 8.01 11/27/06 ALLIED WORLD ASSURANCE CO HOLDINGS LT 1.01,9.01 11/29/06 Allis Chalmers Energy Inc. DE 5.02,9.01 11/27/06 AMASYS CORP DE 5.02 11/27/06 AMERICAN AIRLINES INC DE 7.01 12/01/06 AMERICAN MORTGAGE ACCEPTANCE CO MA 5.02,9.01 11/28/06 AMERICANWEST BANCORPORATION WA 5.02,9.01 11/28/06 AMERIPRISE FINANCIAL INC DE 5.03,9.01 11/28/06 AMERISOURCEBERGEN CORP DE 8.01,9.01 12/01/06 AMPAL-AMERICAN ISRAEL CORP NY 1.01,2.03,3.02,9.01 11/28/06 AMR CORP DE 7.01 12/01/06 AMYLIN PHARMACEUTICALS INC DE 5.02 11/28/06 ANAREN INC NY 4.02,9.01 11/27/06 ANSYS INC DE 5.02,9.01 12/01/06 API Nanotronics Corp. DE 4.01,9.01 11/29/06 APOLLO INVESTMENT CORP MD 5.02,9.01 11/30/06 APPLERA CORP DE 5.03,9.01 11/30/06 APPLIX INC /MA/ MA 1.01,9.01 12/01/06 ARAMARK CORP/DE DE 7.01 12/01/06 ASSET ACCEPTANCE CAPITAL CORP 8.01 11/28/06 ASSURANCEAMERICA CORP NV 8.01,9.01 11/27/01 ATLAS AIR WORLDWIDE HOLDINGS INC DE 1.01 11/28/06 Averion International Corp. 1.01,3.02 11/28/06 Avicena Group, Inc. DE 3.02,9.01 11/27/06 BANCSHARES OF FLORIDA INC FL 8.01,9.01 12/01/06 BANK OF AMERICA CORP /DE/ DE 5.02,9.01 12/01/06 BANKUNITED FINANCIAL CORP FL 2.02,9.01 10/24/06 AMEND Bayview Financial Mortgage Pass-Throu DE 8.01,9.01 11/17/06 BB&T CORP NC 8.01 11/30/06 Bear Stearns Asset Backed Securities DE 9.01 11/16/06 Bear Stearns Mortgage Funding Trust 2 DE 9.01 09/29/06 BLOCKBUSTER INC DE 5.02,9.01 11/29/06 BOSTON BEER CO INC MA 7.01 11/29/06 BRANDYWINE OPERATING PARTNERSHIP LP / DE 5.02 12/01/06 BRANDYWINE REALTY TRUST MD 5.02 12/01/06 CADENCE PHARMACEUTICALS INC 2.02,9.01 11/29/06 CAPITAL ONE FINANCIAL CORP DE 2.01,5.02,9.01 12/01/06 CARBO CERAMICS INC DE 7.01,9.01 12/01/06 CAREY W P & CO LLC DE 8.01,9.01 12/01/06 CBOT HOLDINGS INC DE 8.01,9.01 12/01/06 CDEX INC NV 9.01 11/22/06 CELL GENESYS INC DE 5.02 12/01/06 CENTRAL PACIFIC FINANCIAL CORP HI 1.01,9.01 11/29/06 CENTURY BANCORP INC MA 8.01,9.01 11/29/06 Chaparral Steel CO DE 8.01 12/01/06 Chardan North China Acquisition Corp DE 1.01,9.01 11/28/06 CHEESECAKE FACTORY INCORPORATED DE 2.02,9.01 11/30/06 CHEESECAKE FACTORY INCORPORATED DE 7.01,9.01 11/30/06 CHEMBIO DIAGNOSTICS, INC. NV 7.01,9.01 12/01/06 CHEMED CORP DE 5.02,9.01 12/01/06 CHICAGO MERCANTILE EXCHANGE HOLDINGS DE 8.01 12/01/06 CHURCHILL DOWNS INC KY 7.01,9.01 12/01/06 CITIZENS FIRST CORP KY 7.01,9.01 12/01/06 CLAIMSNET COM INC DE 1.01,2.01,2.03,9.01 11/29/06 CLAIRES STORES INC DE 8.01,9.01 12/01/06 CLEARCOMM L P DE 2.04,8.01 11/28/06 COGNIZANT TECHNOLOGY SOLUTIONS CORP 5.02,9.01 12/01/06 COHEN & STEERS INC 8.01,9.01 11/30/06 COLONIAL BANCGROUP INC DE 7.01,9.01 12/01/06 COMPETITIVE TECHNOLOGIES INC DE 5.02,9.01 11/27/06 COMPUTER SOFTWARE INNOVATIONS INC 1.01,9.01 11/27/06 CONSOLIDATED EDISON CO OF NEW YORK IN NY 8.01,9.01 12/01/06 COOPER TIRE & RUBBER CO DE 1.01,9.01 11/30/06 Copano Energy, L.L.C. DE 8.01,9.01 11/30/06 Core-Mark Holding Company, Inc. DE 5.02 12/01/06 CORNELL COMPANIES INC DE 8.01,9.01 12/01/06 CORPORATE PROPERTY ASSOCIATES 12 INC MD 2.01,5.03,9.01 12/01/06 CORPORATE PROPERTY ASSOCIATES 14 INC MD 2.01,2.03,9.01 12/01/06 CORTLAND BANCORP INC OH 2.02 12/01/06 CORTS TRUST FOR INTL BUSINESS MACHINE DE 8.01,9.01 11/29/06 Crawford Lake Mining Inc. NV 8.01 11/30/06 CrossPoint Energy CO NV 1.01,2.01,2.03,3.02, 12/01/06 5.02,5.06,7.01,9.01 CRYSTAL INTERNATIONAL TRAVEL GROUP, I DE 1.01,3.02,9.01 11/27/06 CSS INDUSTRIES INC DE 2.05 11/27/06 CWALT INC DE 9.01 11/29/06 CYANOTECH CORP NV 2.02,4.02,9.01 11/28/06 CYTOKINETICS INC 8.01,9.01 12/01/06 DADE BEHRING HOLDINGS INC DE 5.02,9.01 12/01/06 DaimlerChrysler Financial Services Am 8.01,9.01 12/01/06 DAIMLERCHRYSLER WHOLESALE RECEIVABLES DE 8.01,9.01 11/28/06 DAYSTAR TECHNOLOGIES INC DE 5.02,9.01 11/27/06 DCT Industrial Trust Inc. MD 5.02,9.01 11/27/06 DECORIZE INC DE 5.02,9.01 12/01/06 DIAMETRICS MEDICAL INC MN 3.03,9.01 11/28/06 DIAMOND HILL INVESTMENT GROUP INC OH 8.01 11/30/06 DIGITAL INSIGHT CORP DE 5.02,9.01 11/29/06 Digital Realty Trust, Inc. MD 8.01,9.01 11/27/06 DIGITAL RECORDERS INC NC 7.01,9.01 12/01/06 DILLARDS INC DE 7.01,9.01 11/30/06 DreamWorks Animation SKG, Inc. 5.02,9.01 11/28/06 DREW INDUSTRIES INC DE 8.01,9.01 12/01/06 DYNAVAX TECHNOLOGIES CORP DE 5.02 11/30/06 EDULINK INC NV 1.01,2.01,5.01,5.02, 08/11/06 AMEND 5.03,5.06,9.01 EGL INC TX 5.02 12/01/06 EL PASO CORP/DE DE 5.02,8.01,9.01 11/30/06 EL PASO ELECTRIC CO /TX/ TX 8.01 12/01/06 ELECTRONIC GAME CARD INC NV 1.01,3.02,7.01,9.01 11/29/06 ELEMENT 21 GOLF CO DE 1.01,3.02,9.01 11/30/06 ELEPHANT TALK COMMUNICATIONS INC CA 1.01,3.02,9.01 12/01/06 EMERGENCY FILTRATION PRODUCTS INC/ NV NV 8.01,9.01 12/01/06 EN POINTE TECHNOLOGIES INC DE 2.02,9.01 12/01/06 EnerSys DE 7.01,8.01,9.01 11/21/06 ENTRAVISION COMMUNICATIONS CORP DE 8.01 11/27/06 ERGO SCIENCE CORP /DE/ DE 2.05 11/27/06 EXXON MOBIL CORP NJ 9.01 12/01/06 FARMERS CAPITAL BANK CORP KY 8.01,9.01 11/30/06 Federal Home Loan Bank of Atlanta X1 5.02,9.01 11/30/06 Federal Home Loan Bank of San Francis X1 7.01,9.01 12/01/06 FIRST CENTURY BANKSHARES INC WV 1.01,9.01 11/29/06 FIRST COMMUNITY BANCSHARES INC /NV/ NV 2.01,9.01 12/01/06 First Horizon Asset Sec HELOC Notes S DE 8.01,9.01 11/21/06 FIRST INTERSTATE BANCSYSTEM INC MT 1.01 11/27/06 FIRST LITCHFIELD FINANCIAL CORP DE 8.01,9.01 11/30/06 FIRST TRUST VALUE LINE R & IBBOTSON E 8.01,9.01 11/30/06 FLOW INTERNATIONAL CORP WA 4.01,9.01 08/10/06 FMC TECHNOLOGIES INC DE 7.01,9.01 12/01/06 FORCE PROTECTION INC NV 7.01 12/01/06 FORD MOTOR CO DE 5.02,8.01,9.01 12/01/06 FORWARD INDUSTRIES INC NY 5.02 11/30/06 Fresh Harvest Products, Inc. 4.02 12/01/06 AMEND GALAXY ENERGY CORP CO 2.03,9.01 11/30/06 GARMIN LTD 8.01,9.01 12/01/06 GateHouse Media, Inc. DE 1.01,9.01 12/01/06 GENERAL METALS CORP DE 7.01 11/28/06 GEOCOM RESOURCES INC NV 7.01 11/30/06 Global Cash Access Holdings, Inc. DE 1.01 11/27/06 GLOBAL GOLD CORP DE 8.01 11/30/06 GLOBAL INNOVATIVE SYSTEMS INC NV 4.01,9.01 11/25/06 AMEND GMAC LLC DE 7.01,9.01 12/01/06 GOLDRANGE RESOURCES, INC. NV 1.01,9.01 11/30/06 GOODRICH PETROLEUM CORP DE 8.01,9.01 11/30/06 GRAFTECH INTERNATIONAL LTD DE 1.01 12/01/06 GREAT WALL ACQUISITION CORP DE 4.02 11/21/06 GREIF INC DE 2.01,9.01 11/30/06 GROUP 1 AUTOMOTIVE INC DE 8.01,9.01 11/30/06 GROUP 1 AUTOMOTIVE INC DE 1.01,5.02,8.01,9.01 11/06/06 AMEND GRYPHON GOLD CORP NV 7.01,9.01 11/30/06 Hampden Bancorp, Inc. DE 5.02 11/28/06 HARBOR FLORIDA BANCSHARES INC DE 8.01,9.01 12/01/06 HARVEST NATURAL RESOURCES, INC. DE 7.01,9.01 12/01/06 HEALTHWAYS, INC DE 1.01,1.02,2.01,2.03,9.01 12/01/06 HEI INC MN 2.02,9.01 12/01/06 HEMISPHERX BIOPHARMA INC DE 1.01 12/01/06 HERITAGE OAKS BANCORP CA 8.01,9.01 11/29/06 HINES REAL ESTATE INVESTMENT TRUST IN 1.01 11/28/06 HOME CITY FINANCIAL CORP OH 3.03,8.01 11/30/06 HOME DEPOT INC DE 7.01 12/01/06 Home Equity Asset Trust 2006-8 DE 8.01,9.01 12/01/06 HOST HOTELS & RESORTS L.P. DE 2.04 11/29/06 HOST HOTELS & RESORTS, INC. MD 2.04 11/29/06 HUDSON HOLDING CORP DE 3.02 11/28/06 HYPERDYNAMICS CORP DE 3.02 11/29/06 HYPERTENSION DIAGNOSTICS INC /MN MN 5.02 11/30/06 I CRYSTAL INC DE 1.01,2.01,3.02,5.02, 09/21/06 5.06,7.01,9.01 IA GLOBAL INC DE 2.03,9.01 11/27/06 ICEWEB INC 8.01,9.01 11/29/06 iDNA, Inc. DE 1.01,5.02,9.01 11/29/06 Ignis Petroleum Group, Inc. 5.02,9.01 11/17/06 IKON OFFICE SOLUTIONS INC OH 8.01,9.01 11/30/06 IMPAC SECURED ASSETS CORP., MORTGAGE CA 9.01 11/16/06 INCENTRA SOLUTIONS, INC. NV 5.02 12/01/06 India Globalization Capital, Inc. MD 5.02,9.01 11/27/06 INNCARDIO, INC UT 1.01 11/30/06 INSURANCE AUTO AUCTIONS, INC IL 2.04 11/27/06 INTERNET CAPITAL GROUP INC DE 8.01 12/01/06 IPAYMENT INC DE 7.01,9.01 11/30/06 iPCS, INC DE 8.01,9.01 11/30/06 IPSCO INC 2.01,8.01,9.01 12/01/06 ISLE OF CAPRI CASINOS INC DE 2.02,9.01 11/30/06 JEFFERIES GROUP INC /DE/ DE 1.01,9.01 11/27/06 JK Acquisition Corp. 8.01,9.01 12/01/06 KELLWOOD CO DE 2.02,9.01 12/01/06 KEYCORP /NEW/ OH 1.01,9.01 12/01/06 KEYCORP /NEW/ OH 8.01,9.01 11/29/06 KIMBALL INTERNATIONAL INC IN 5.02 12/01/06 KNOLL INC DE 7.01,9.01 11/30/06 LANDAUER INC DE 1.01,9.01 11/29/06 LASER MASTER INTERNATIONAL INC NY 2.01 11/21/06 LEADIS TECHNOLOGY INC DE 5.02,9.01 11/29/06 LEAR CORP DE 1.01,9.01 11/30/06 LEHMAN ABS CORP AT&T NOTE BACKED SERI DE 8.01,9.01 11/15/06 LEHMAN ABS CORP AT&T NOTE BACKED SERI DE 8.01,9.01 11/15/06 LEHMAN ABS CORP BCKD TR CRTS FRD MOT DE 8.01,9.01 11/15/06 LEHMAN ABS CORP BELLSOUTH DEBT- BACKE DE 8.01,9.01 11/15/06 LEHMAN ABS CORP CNA FINANCIAL DEBENTU DE 8.01,9.01 11/15/06 LEHMAN ABS CORP CORPORATE BACKED TRUS DE 8.01,9.01 11/15/06 LEHMAN ABS CORP GOLDMAN SACHS CAP 1 S DE 8.01,9.01 11/15/06 LEHMAN ABS CORP SPRINT CAPITAL BACK S DE 8.01,9.01 11/15/06 LEHMAN BROTHERS HOLDINGS INC DE 5.02 12/01/06 LIFESTREAM TECHNOLOGIES INC NV 1.01,1.03,7.01,9.01 11/27/06 LINCOLN NATIONAL CORP IN 2.04,8.01,9.01 11/27/06 LONE STAR STEAKHOUSE & SALOON INC DE 1.01,8.01,9.01 11/30/06 LONE STAR TECHNOLOGIES INC DE 1.01,8.01,9.01 11/30/06 MASTEC INC FL 5.02 11/27/06 MATHSTAR INC MN 7.01 12/01/06 MATTEL INC /DE/ DE 1.01,9.01 11/29/06 MAX RE CAPITAL LTD 8.01,9.01 11/29/06 MCDATA CORP DE 2.02,7.01,9.01 11/30/06 MEADE INSTRUMENTS CORP DE 1.01,8.01 11/30/06 MEDICAL STAFFING SOLUTIONS INC NV 8.01 11/28/06 MENTOR GRAPHICS CORP OR 5.02,9.01 11/29/06 MEXORO MINERALS LTD CO 4.02 11/01/06 MICREL INC CA 8.01 12/01/06 MICROMED CARDIOVASCULAR INC DE 5.02 11/27/06 MICRUS ENDOVASCULAR CORP 1.01,3.02,9.01 11/30/06 MINERALS TECHNOLOGIES INC DE 5.02,9.01 11/27/06 AMEND MONMOUTH REAL ESTATE INVESTMENT CORP MD 3.03,5.03,8.01,9.01 11/30/06 Morgan Stanley ABS Capital I Inc. Tru DE 1.01,9.01 06/23/06 Morgan Stanley ABS Capital I Inc. Tru DE 1.01,9.01 06/30/06 Morgans Hotel Group Co. DE 1.01,9.01 11/30/06 Morningstar, Inc. IL 7.01 12/01/06 MOVIE STAR INC /NY/ NY 1.01,9.01 11/28/06 MSC SOFTWARE CORP DE 1.01,9.01 11/27/06 NANOSCIENCE TECHNOLOGIES INC NV 1.02,8.01 12/01/06 NARA BANCORP INC DE 5.02,9.01 11/27/06 NASB FINANCIAL INC MO 2.02 09/30/06 NASH FINCH CO DE 1.01,2.03,8.01,9.01 12/01/06 NATIONAL CITY CORP DE 8.01,9.01 12/01/06 NATIONAL HEALTHCARE TECHNOLOGY INC CO 5.02 11/22/06 NATIONWIDE FINANCIAL SERVICES INC/ DE 1.01,8.01,9.01 11/27/06 NEOMAGIC CORP DE 1.01,8.01,9.01 12/01/06 NEW AGE TRANSLATION INC 8.01,9.01 11/29/06 New Alberto-Culver LLC DE 2.05,5.02,9.01 11/27/06 NEW JERSEY RESOURCES CORP NJ 7.01,9.01 12/01/06 NEW MEDIUM ENTERPRISES INC NV 3.02 12/01/06 NEWALLIANCE BANCSHARES INC 8.01 11/27/06 Newkirk Realty Trust, Inc. MD 8.01,9.01 11/27/06 NewPage Holding CORP DE 5.02,9.01 11/30/06 NOBLE INTERNATIONAL, LTD. DE 7.01,9.01 12/01/06 NOBLE INTERNATIONAL, LTD. DE 5.02 12/01/06 NORD RESOURCES CORP DE 8.01,9.01 11/30/06 NORTEL NETWORKS CORP 5.02 11/30/06 AMEND NORTEL NETWORKS LTD 5.02 11/30/06 AMEND NOVASTAR FINANCIAL INC MD 8.01,9.01 12/01/06 NS GROUP INC KY 8.01 12/01/06 NVIDIA CORP DE 5.02 11/27/06 OGE ENERGY CORP OK 8.01 12/01/06 OKLAHOMA GAS & ELECTRIC CO OK 8.01 12/01/06 OLIN CORP VA 2.05 11/27/06 OMEGA PROTEIN CORP NV 1.01,5.01,5.02,8.01,9.01 11/28/06 OMNIVISION TECHNOLOGIES INC DE 5.02 11/27/06 ONE VOICE TECHNOLOGIES INC NV 4.01,9.01 11/27/06 OPEN ENERGY CORP NV 4.01,9.01 11/15/06 AMEND PALMETTO REAL ESTATE TRUST SC 8.01 11/27/06 PEETS COFFEE & TEA INC WA 5.02 11/27/06 PEPSI BOTTLING GROUP INC DE 5.02 11/29/06 PHARSIGHT CORP CA 3.02 12/01/06 PLAYLOGIC ENTERTAINMENT INC DE 4.02,9.01 11/30/06 AMEND PLUG POWER INC DE 5.02,9.01 11/27/06 PNM RESOURCES INC NM 9.01 12/01/06 AMEND POSSIS MEDICAL INC MN 7.01,9.01 11/29/06 POWER-SAVE ENERGY CO NV 5.02,5.03,8.01 11/30/06 AMEND PREMIERE GLOBAL SERVICES, INC. GA 7.01,9.01 12/01/06 PRIDE INTERNATIONAL INC DE 7.01,9.01 12/01/06 PRINCIPAL FINANCIAL GROUP INC DE 5.02,7.01,9.01 11/27/06 PROVIDENT BANKSHARES CORP MD 8.01,9.01 11/27/06 PROVIDENT FINANCIAL HOLDINGS INC DE 2.06,9.01 12/01/06 QLT INC/BC A1 5.02,9.01 11/28/06 QLT INC/BC A1 8.01,9.01 11/30/06 QSGI INC. DE 3.01 11/29/06 QUALCOMM INC/DE DE 5.02 11/27/06 QUANTUM CORP /DE/ DE 1.01,2.03 12/01/06 QUOTESMITH COM INC DE 7.01 12/01/06 RAYONIER INC NC 8.01 11/30/06 RBC Bearings INC 8.01,9.01 12/01/06 RECKSON ASSOCIATES REALTY CORP MD 8.01,9.01 12/01/06 Revelstoke Industries, Inc. NV 5.03,8.01 12/01/06 RG GLOBAL LIFESTYLES INC CA 5.02 11/30/06 ROTATE BLACK INC CO 1.03,8.01,9.01 11/30/06 ROWAN COMPANIES INC DE 5.02 12/01/06 SABA SOFTWARE INC DE 1.01,2.03,5.03,9.01 11/28/06 SCHNITZER STEEL INDUSTRIES INC OR 5.02,9.01 11/27/06 SCOTTISH RE GROUP LTD E9 1.01,2.03,9.01 11/30/06 Securitized Asset Backed Receivables 8.01,9.01 12/01/06 Select Notes Trust LT 2004-1 DE 8.01,9.01 12/01/06 SHEFFIELD PHARMACEUTICALS INC DE 1.01,3.02,9.01 11/28/06 SIMMONS FIRST NATIONAL CORP AR 7.01 12/01/06 SIMTEK CORP CO 8.01,9.01 11/30/06 SMART VIDEO TECHNOLOGIES INC 5.02,9.01 11/29/06 SONIC CORP DE 7.01,9.01 11/30/06 SONOCO PRODUCTS CO SC 7.01,9.01 12/01/06 SOUTH JERSEY INDUSTRIES INC NJ 7.01 12/01/06 Spirit AeroSystems Holdings, Inc. DE 1.01,2.03,9.01 11/27/06 ST PAUL TRAVELERS COMPANIES INC MN 7.01 11/30/06 STAGE STORES INC NV 8.01,9.01 11/30/06 STAR SCIENTIFIC INC DE 7.01,8.01 11/30/06 STERLING FINANCIAL CORP /WA/ WA 8.01,9.01 12/01/06 STONEMOR PARTNERS LP DE 5.02,9.01 11/27/06 STRAYER EDUCATION INC MD 8.01,9.01 11/30/06 SUMMIT BANK CORP GA 5.02,9.01 11/27/06 SUNRISE REAL ESTATE DEVELOPMENT GROUP TX 5.02,9.01 11/28/06 SYMBOL TECHNOLOGIES INC DE 8.01,9.01 12/01/06 SYMBOL TECHNOLOGIES INC DE 1.01,9.01 11/27/06 SYNERGETICS USA INC 7.01,9.01 11/30/05 T-3 ENERGY SERVICES INC TX 8.01,9.01 11/30/06 Tabatha V, Inc. CO 1.01,9.01 12/01/06 TALLY HO VENTURES INC DE 2.01,9.01 11/30/06 AMEND Tarpon Industries, Inc. MI 5.02 11/27/06 TELEDYNE TECHNOLOGIES INC DE 9.01 09/15/06 AMEND TEMPUR PEDIC INTERNATIONAL INC DE 1.01,7.01,9.01 11/27/06 TEREX CORP DE 8.01 11/30/06 TERREMARK WORLDWIDE INC DE 1.01,9.01 12/01/06 TETRA TECHNOLOGIES INC DE 5.02,9.01 11/30/06 THANKSGIVING COFFEE CO INC CA 4.01,9.01 11/28/06 THAXTON GROUP INC SC 8.01,9.01 11/28/06 TIDEWATER INC DE 7.01,9.01 11/29/06 TIMKEN CO OH 7.01 11/29/06 TOREADOR RESOURCES CORP DE 3.01,4.02 12/01/06 TOYS R US INC DE 1.01,8.01,9.01 12/01/06 TRANSACT TECHNOLOGIES INC DE 1.01,8.01 11/27/06 TRANSMETA CORP DE 8.01 11/30/06 TRANSOCEAN INC E9 7.01,9.01 12/01/06 TRUSTMARK CORP MS 5.02 11/29/06 TRX INC/GA GA 5.02 11/29/06 TSB Financial CORP NC 5.02 11/28/06 U-Store-It Trust MD 5.02,9.01 12/01/06 UNITEDHEALTH GROUP INC MN 7.01,9.01 12/01/06 UNIVERSAL PROPERTY DEVELOPMENT & ACQU NV 2.01,3.02,9.01 11/29/06 Universal Truckload Services, Inc. MI 1.01,9.01 11/28/06 US LEC CORP DE 5.02 11/27/06 UTEK CORP 2.02,9.01 12/01/06 VALSPAR CORP DE 7.01,9.01 12/01/06 Venoco, Inc. DE 1.01,9.01 12/01/06 VENTAS INC DE 3.02,8.01,9.01 11/27/06 VERIZON COMMUNICATIONS INC DE 8.01 12/01/06 VERSANT CORP CA 5.02 11/30/06 Vestin Realty Mortgage I, Inc. 8.01,9.01 12/01/06 Vestin Realty Mortgage II, Inc 8.01,9.01 12/01/06 VIEWPOINT CORP DE 3.01,9.01 11/27/06 VISTEON CORP DE 1.01,2.03,9.01 11/27/06 VITAL IMAGES INC MN 8.01,9.01 11/29/06 VOIP INC 2.03,3.02,9.01 11/27/06 2-Track Global, Inc. 8.01 12/04/06 ABOVENET INC DE 8.01 12/04/06 ACADIA PHARMACEUTICALS INC DE 1.01,9.01 11/30/06 ACADIA REALTY TRUST MD 8.01,9.01 12/01/06 ACADIA REALTY TRUST MD 8.01,9.01 12/04/06 ACCESS INTEGRATED TECHNOLOGIES INC DE 2.03 11/28/06 ACORDA THERAPEUTICS INC 8.01 12/04/06 ACT TELECONFERENCING INC CO 5.02,9.01 11/28/06 ACURA PHARMACEUTICALS, INC NY 1.01,2.03,8.01,9.01 11/30/06 ADSERO CORP DE 3.01 11/28/06 ADVANSTAR COMMUNICATIONS INC NY 1.01,9.01 11/29/06 ADVANSTAR INC DE 1.01 11/29/06 ADVANTA BUSINESS RECEIVABLES CORP 8.01,9.01 12/04/06 AFLAC INC GA 3.01,9.01 12/01/06 Agassiz Energy, LLC MN 1.01 11/28/06 AGCO CORP /DE DE 1.01,2.03,8.01,9.01 12/04/06 AGERE SYSTEMS INC DE 1.01,8.01,9.01 12/04/06 AIRGUIDE, INC. OK 5.02 12/04/06 ALCHEMY ENTERPRISES, LTD. NV 2.01,5.03,9.01 11/27/06 ALCHEMY ENTERPRISES, LTD. NV 5.02,9.01 12/01/06 ALDILA INC DE 4.01,9.01 11/27/06 AMEND Alexza Pharmaceuticals Inc. DE 1.01,2.01,3.02,9.01 12/01/06 ALLEGHENY TECHNOLOGIES INC DE 7.01,9.01 12/04/06 ALLERGAN INC DE 5.02,9.01 12/04/06 ALPHATRADE COM NV 1.01,9.01 07/19/06 Alternative Loan Trust 2006-OC9 DE 8.01,9.01 11/15/06 AMERICAN ACCESS TECHNOLOGIES INC FL 1.01,3.02,9.01 12/01/06 AMERICAN DENTAL PARTNERS INC DE 2.01,9.01 12/01/06 AMERICAN EXPRESS CO NY 8.01,9.01 12/01/06 AMERIVEST PROPERTIES INC MD 1.01,2.01,9.01 11/29/06 ANHEUSER-BUSCH COMPANIES, INC. DE 8.01,9.01 11/30/06 ARK RESTAURANTS CORP NY 1.01,7.01,9.01 12/01/06 Arran Funding LTD XX 8.01 12/04/06 Ascent Solar Technologies, Inc. DE 5.02,9.01 11/30/06 ASHLAND INC. KY 8.01,9.01 11/29/06 ASTRO MED INC /NEW/ RI 7.01,9.01 12/04/06 ATMOS ENERGY CORP TX 8.01 12/04/06 AUTOCAM CORP/MI MI 5.02 12/04/06 AVALON PHARMACEUTICALS INC 5.02 12/01/06 AXCESS INTERNATIONAL INC/TX DE 3.02,9.01 12/01/06 BAB, INC. DE 4.01,9.01 12/04/06 BABYUNIVERSE, INC. FL 5.02,9.01 11/28/06 BALLY TECHNOLOGIES, INC. NV 5.02,9.01 12/01/06 BANK OF NEW YORK CO INC NY 8.01,9.01 12/03/06 BANYAN CORP /OR/ OR 9.01 02/10/06 AMEND BARNWELL INDUSTRIES INC DE 8.01,9.01 12/04/06 BASIC EARTH SCIENCE SYSTEMS INC DE 8.01,9.01 12/04/06 BCSB BANKCORP INC 8.01,9.01 12/01/06 BEA SYSTEMS INC DE 4.02,9.01 11/30/06 Bear Stearns Mortgage Funding Trust 2 DE 9.01 11/10/06 BIG CAT ENERGY CORP 4.01,9.01 12/01/06 BIO REFERENCE LABORATORIES INC NJ 1.01 11/28/06 BioScrip, Inc. DE 5.02,9.01 11/29/06 BJs RESTAURANTS INC CA 8.01,9.01 12/01/06 BLACKSANDS PETROLEUM, INC. NV 4.01,9.01 10/26/06 AMEND BRADY CORP WI 5.02,9.01 11/30/06 BROWN SHOE CO INC NY 7.01,9.01 12/04/06 AMEND CADMUS COMMUNICATIONS CORP/NEW VA 5.02,9.01 11/28/06 CAMDEN NATIONAL CORP ME 5.02 11/28/06 CATALYST SEMICONDUCTOR INC DE 5.02,5.03,9.01 11/28/06 CATHAY MERCHANT GROUP, INC. DE 5.02 12/04/06 CB RICHARD ELLIS GROUP INC DE 5.02 11/28/06 AMEND CDI CORP PA 1.01,2.03 11/28/06 CECIL BANCORP INC MD 1.01,7.01,9.01 11/30/06 CENTRAL EUROPEAN DISTRIBUTION CORP DE 8.01,9.01 12/04/06 CENTRAL FREIGHT LINES INC NV 1.01,3.01,3.03,5.01, 11/27/06 5.02,5.03,8.01,9.01 CHARTERMAC DE 1.01,5.02,9.01 11/28/06 Chartwell International, Inc. NV 2.03,3.02 11/29/06 CHINA EXPERT TECHNOLOGY, INC. NV 1.01,9.01 12/04/06 China Media Group CORP TX 1.01 12/01/06 Citigroup Mortgage Loan Trust 2006-WF 9.01 10/27/06 CITIZENS COMMUNICATIONS CO DE 8.01,9.01 12/04/06 CITY NATIONAL BANCSHARES CORP NJ 1.01,9.01 12/04/06 CMGI INC DE 2.02,9.01 12/04/06 COLLINS & AIKMAN FLOOR COVERINGS INC DE 5.02,9.01 11/30/06 COLOMBIA GOLDFIELDS LTD 4.02,9.01 11/20/06 AMEND COMMSCOPE INC DE 2.02,9.01 12/04/06 COMMUNITY FINANCIAL SHARES INC DE 5.03,9.01 11/29/06 CommunitySouth Bancshares Inc SC 5.02,9.01 11/21/06 COMTECH TELECOMMUNICATIONS CORP /DE/ DE 2.02,9.01 12/04/06 CONCUR TECHNOLOGIES INC WA 2.02,9.01 12/04/06 Consolidated Communications Holdings, DE 7.01,9.01 12/04/06 CONTINENTAL AIRLINES INC /DE/ DE 8.01,9.01 12/01/06 CONTINENTAL AIRLINES INC /DE/ DE 5.03,8.01,9.01 11/29/06 Copano Energy, L.L.C. DE 7.01,9.01 11/29/06 CORE BOND PRODUCTS LLC DE 8.01,9.01 11/30/06 CORECARE SYSTEMS INC DE 8.01,9.01 12/04/06 COTT CORP /CN/ 1.02,5.02 11/28/06 Cowen Group, Inc. DE 5.02,9.01 12/04/06 CRAFTMADE INTERNATIONAL INC DE 1.01,1.02,9.01 11/28/06 CREDIT SUISSE (USA) INC DE 9.01 11/29/06 CVD EQUIPMENT CORP NY 8.01 12/01/06 DANA CORP VA 8.01,9.01 12/04/06 DAVI SKIN, INC. NV 1.01 11/28/06 DCP Midstream Partners, LP DE 7.01,9.01 12/04/06 DEERE & CO DE 7.01 12/04/06 DEERE & CO DE 5.03,9.01 11/29/06 DEERE & CO DE 5.02 11/29/06 DEVELOPERS DIVERSIFIED REALTY CORP OH 8.01 10/01/06 DEVELOPERS DIVERSIFIED REALTY CORP OH 8.01,9.01 10/20/06 DHB INDUSTRIES INC DE 8.01,9.01 11/30/06 DISCOVER CARD MASTER TRUST I DE 8.01 11/30/06 DOLLAR GENERAL CORP TN 5.02 11/28/06 DOUBLE EAGLE PETROLEUM CO MD 7.01,9.01 12/04/06 DPL INC OH 1.01,2.06,9.01 11/28/06 DRUGSTORE COM INC DE 1.01,5.02,9.01 11/28/06 DUANE READE HOLDINGS INC 7.01 12/04/06 DYNEGY INC /IL/ IL 8.01,9.01 11/30/06 EASTERN VIRGINIA BANKSHARES INC VA 3.01 11/30/06 ELEPHANT & CASTLE GROUP INC 8.01,9.01 12/01/06 EMPIRE GLOBAL CORP. DE 5.02 08/21/06 AMEND EMPIRE GLOBAL CORP. DE 3.02 08/21/06 AMEND ENERGEN CORP AL 7.01,9.01 12/04/06 ENTRADE INC PA 4.01,9.01 11/30/06 AMEND ES Bancshares, Inc. MD 5.02,9.01 11/30/06 EUROBANCSHARES INC 8.01 12/01/06 EUROBANCSHARES INC 7.01,9.01 12/04/06 EXCHANGE NATIONAL BANCSHARES INC MO 8.01,9.01 12/01/06 eXegenics Inc DE 1.01,3.02,9.01 11/30/06 EXELIXIS INC DE 8.01 12/01/06 EXPRESSJET HOLDINGS INC DE 8.01,9.01 11/30/06 FACTORY CARD & PARTY OUTLET CORP DE 8.01,9.01 12/04/06 Federal Home Loan Bank of Dallas 2.03 11/28/06 Federal Home Loan Bank of Indianapoli X1 5.02,9.01 12/04/06 FEDERAL TRUST CORP FL 5.02,9.01 12/04/06 FEDERATED DEPARTMENT STORES INC /DE/ DE 8.01,9.01 12/04/06 FEI CO OR 5.02,9.01 11/28/06 FEMALE HEALTH CO WI 2.02,9.01 12/04/06 FENTURA FINANCIAL INC MI 5.02,9.01 11/30/06 FINANCIAL INDUSTRIES CORP TX 2.02,9.01 12/04/06 FINLAY ENTERPRISES INC /DE DE 5.02,8.01,9.01 11/28/06 FINLAY FINE JEWELRY CORP DE 5.02,8.01,9.01 11/28/06 FIRST BANCORP /NC/ NC 5.02,8.01,9.01 12/01/06 FIRST BANCSHARES INC /MO/ MO 8.01,9.01 12/01/06 FIRST CHARTER CORP /NC/ NC 8.01,9.01 12/04/06 First Clover Leaf Financial Corp. MD 5.02,9.01 11/28/06 FIRST HARTFORD CORP ME 2.03 12/01/06 FIRST MERCURY FINANCIAL CORP DE 1.01,5.02 11/28/06 FIRST NATIONAL BANCSHARES INC /SC/ SC 2.02,9.01 12/01/06 FRANKLIN BANK CORP 8.01,9.01 12/04/06 GEORESOURCES INC CO 7.01 11/29/06 GEORGIA POWER CO GA 8.01,9.01 12/04/06 GLOBAL GOLD CORP DE 3.01 12/01/06 GMX RESOURCES INC OK 7.01,9.01 12/04/06 Gold Kist Inc. DE 1.01,3.03,8.01,9.01 12/03/06 GOLDMAN SACHS GROUP INC/ DE 5.02 11/28/06 GOODRICH PETROLEUM CORP DE 1.01,8.01,9.01 11/30/06 GRAMERCY CAPITAL CORP MD 7.01,8.01,9.01 12/04/06 Granite Master Issuer plc X0 9.01 11/29/06 GREAT WALL ACQUISITION CORP DE 8.01,9.01 12/04/06 GreenPoint Mortgage Funding Trust 200 DE 6.02 12/01/06 GREENS WORLDWIDE INC AZ 5.02 11/29/06 GULFMARK OFFSHORE INC DE 4.01,9.01 12/04/06 AMEND HARMONIC INC DE 1.01 11/29/06 HEALTH CARE PROPERTY INVESTORS INC MD 8.01,9.01 11/29/06 HEALTH ENHANCEMENT PRODUCTS INC NV 5.02 12/04/06 Health Fitness Corp /MN/ MN 5.02,8.01,9.01 11/30/06 HEARTLAND, INC. MD 8.01,9.01 12/27/05 AMEND HERCULES OFFSHORE, INC. DE 8.01,9.01 11/29/06 HM PUBLISHING CORP DE 8.01,9.01 11/28/06 HOME FEDERAL BANCORP IN 5.02,9.01 11/28/06 HUMAN GENOME SCIENCES INC DE 5.02 11/28/06 IA GLOBAL INC DE 8.01 11/30/06 ICON CASH FLOW PARTNERS L P SEVEN DE 5.02 12/01/06 ICON INCOME FUND EIGHT /DE DE 5.02 12/03/06 ICON INCOME FUND EIGHT B LP 5.02 12/03/06 ICON INCOME FUND NINE LLC DE 5.02 12/03/06 ICON INCOME FUND TEN LLC DE 5.02 12/03/06 ICON Leasing Fund Eleven, LLC DE 5.02 12/03/06 ICT GROUP INC PA 7.01,9.01 12/04/06 IDEARC INC. DE 5.02,9.01 12/01/06 IMCLONE SYSTEMS INC DE 5.02 12/01/06 ImmunoCellular Therapeutics, Ltd. DE 5.02,8.01 11/30/06 IndyMac MBS Home Equity Mortgage Loan 9.01 09/08/06 INERGY HOLDINGS, L.P. 2.02,7.01,9.01 12/04/06 INERGY L P DE 2.02,7.01,9.01 12/04/06 INFOCUS CORP OR 5.02,9.01 11/28/06 INFOUSA INC DE 2.01,9.01 12/04/06 INGERSOLL RAND CO LTD 5.02,9.01 11/30/06 INGLES MARKETS INC NC 2.02,9.01 12/04/06 INGRAM MICRO INC DE 5.02 11/28/06 INNOFONE COM INC NV 8.01,9.01 11/30/06 INNOSPEC INC. DE 8.01 12/04/06 INSMED INC VA 8.01 12/04/06 INTEGRAL TECHNOLOGIES INC NV 1.01,7.01,9.01 11/27/06 INTERNATIONAL BANCSHARES CORP TX 7.01 12/01/06 INTERPUBLIC GROUP OF COMPANIES, INC. DE 7.01,9.01 12/04/06 ISCO INTERNATIONAL INC DE 7.01,9.01 12/04/06 iVOW, Inc. DE 4.01,8.01,9.01 11/17/06 AMEND J P MORGAN CHASE & CO DE 9.01 11/30/06 JEFFERIES GROUP INC /DE/ DE 7.01 12/04/06 JETBLUE AIRWAYS CORP DE 1.01,7.01,9.01 12/01/06 JLG INDUSTRIES INC PA 8.01,9.01 12/04/06 KAYNE ANDERSON ENERGY DEVELOPMENT CO MD 8.01,9.01 12/04/06 KINETIC CONCEPTS INC /TX/ TX 1.01 11/28/06 KODIAK ENERGY, INC. DE 5.02 12/04/06 KREISLER MANUFACTURING CORP DE 1.01,2.03,9.01 12/01/06 L 3 COMMUNICATIONS HOLDINGS INC DE 5.02,9.01 12/04/06 LEHMAN ABS CORP BACKED TR CERT LIB ME DE 8.01 11/30/06 LEHMAN BROTHERS HOLDINGS INC DE 9.01 11/28/06 Lexington Energy Services Inc. NV 8.01 11/30/06 Liberty Global, Inc. 5.02,9.01 11/30/06 LINCARE HOLDINGS INC DE 1.01,1.02,9.01 12/01/06 Lincolnway Energy, LLC IA 8.01 11/30/06 LITHIUM TECHNOLOGY CORP DE 3.03,5.03,9.01 11/28/06 LITTLE SQUAW GOLD MINING CO AK 8.01,9.01 11/27/06 Live Nation, Inc. DE 8.01,9.01 07/14/06 AMEND LSI LOGIC CORP DE 1.01,8.01,9.01 12/03/06 MANGAPETS, INC. DE 1.01 12/04/06 MARKWEST ENERGY PARTNERS L P 7.01,9.01 12/04/06 MARSHALL & ILSLEY CORP/WI/ WI 8.01,9.01 12/01/06 MAXWELL TECHNOLOGIES INC DE 5.02 12/04/06 MCDATA CORP DE 2.02,7.01,9.01 11/30/06 AMEND MDC PARTNERS INC A6 2.01,9.01 11/15/06 AMEND MEDICAL SOLUTIONS MANAGEMENT INC. NV 1.01,3.02,9.01 11/28/06 MEDIVATION, INC. DE 1.01,3.03,9.01 12/04/06 MEDTRONIC INC MN 8.01,9.01 12/04/06 MELLON FINANCIAL CORP PA 8.01,9.01 12/03/06 METALDYNE CORP DE 7.01,9.01 12/04/06 MICROMET, INC. DE 5.02 11/28/06 MICROTUNE INC DE 7.01,9.01 12/04/06 MID AMERICA APARTMENT COMMUNITIES INC TN 5.02,9.01 11/30/06 MID WISCONSIN FINANCIAL SERVICES INC WI 5.02 12/01/06 MODTECH HOLDINGS INC CA 4.01,9.01 11/21/06 AMEND MOHEGAN TRIBAL GAMING AUTHORITY 5.02 11/28/06 MONARCH SERVICES INC MD 1.01,2.01 11/28/06 MortgageIT Holdings, Inc. MD 5.04,8.01,9.01 11/29/06 MOVENTIS CAPITAL, INC. DE 7.01,9.01 12/04/06 MTI TECHNOLOGY CORP DE 1.01,9.01 12/01/06 MTS MEDICATION TECHNOLOGIES, INC /DE/ DE 1.01,2.03,9.01 12/04/06 MTS SYSTEMS CORP MN 5.02,5.03,9.01 11/28/06 MUELLER INDUSTRIES INC DE 1.01,2.03,9.01 12/01/06 Mueller Water Products, Inc. DE 8.01 11/29/06 MULTIMEDIA GAMES INC TX 8.01 12/01/06 N-VIRO INTERNATIONAL CORP DE 8.01,9.01 11/28/06 NATIONAL CITY CORP DE 5.02,9.01 11/29/06 NATIONAL HOME HEALTH CARE CORP DE 1.01,9.01 11/28/06 National Investment Managers Inc. FL 1.01,2.01,9.01 12/01/06 NationsHealth, Inc. DE 3.01 11/28/06 NATURAL RESOURCE PARTNERS LP DE 2.02,9.01 12/01/06 NAVISTAR INTERNATIONAL CORP DE 2.02,9.01 12/04/06 NAVTEQ CORP DE 1.01,2.03,9.01 11/30/06 NDS GROUP PLC X0 8.01,9.01 12/04/06 NEOPHARM INC DE 8.01,9.01 12/01/06 NEOPROBE CORP DE 1.01,3.02,9.01 11/30/06 New Century Energy Corp. CO 8.01,9.01 12/01/06 NEW PACIFIC VENTURES INC CO 4.01,9.01 11/14/06 NEXMED INC NV 1.01,3.02,4.01,9.01 11/29/06 NOBEL LEARNING COMMUNITIES INC DE 7.01,9.01 12/04/06 NORPAC TECHNOLOGIES, INC. NV 3.02,9.01 11/30/06 NORTH PITTSBURGH SYSTEMS INC PA 8.01,9.01 12/04/06 NUWAY MEDICAL INC DE 3.02,9.01 11/28/06 NVIDIA CORP DE 8.01 12/01/06 Odimo INC DE 1.02,2.01,2.06,8.01,9.01 12/01/06 OLD REPUBLIC INTERNATIONAL CORP DE 1.01 11/30/06 OMNI ENERGY SERVICES CORP LA 8.01,9.01 11/28/06 OMNIVISION TECHNOLOGIES INC DE 5.02 11/28/06 ONYX PHARMACEUTICALS INC DE 8.01,9.01 12/04/06 OPENWAVE SYSTEMS INC DE 1.01,1.02,9.01 11/28/06 OPINION RESEARCH CORP DE 8.01 12/04/06 ORIENTAL FINANCIAL GROUP INC PR 1.01,5.02,9.01 11/28/06 ORION ETHANOL, INC KS 1.01,9.01 11/28/06 ORLEANS HOMEBUILDERS INC DE 5.02,9.01 11/30/06 OSI SYSTEMS INC CA 1.01,3.03,5.02,8.01 11/30/06 OVERSEAS SHIPHOLDING GROUP INC DE 2.01,9.01 11/28/06 PACIFIC GAS & ELECTRIC CO CA 8.01 11/28/06 PACKETEER INC DE 5.02 12/01/06 PANDA ETHANOL, INC. NV 1.01,3.02,7.01,9.01 12/01/06 Pathogenics, Inc. 1.01,9.01 11/28/06 PEOPLES SIDNEY FINANCIAL CORP DE 8.01,9.01 12/04/06 PG&E CORP CA 8.01 11/28/06 PLAINS ALL AMERICAN PIPELINE LP DE 7.01 12/04/06 PLM EQUIPMENT GROWTH & INCOME FUND VI CA 2.01,9.01 12/01/06 PLM EQUIPMENT GROWTH & INCOME FUND VI CA 2.01,9.01 12/04/06 PLM EQUIPMENT GROWTH FUND V CA 2.01,9.01 12/01/06 PLM EQUIPMENT GROWTH FUND VI CA 2.01,9.01 12/01/06 PLM EQUIPMENT GROWTH FUND VI CA 2.01,9.01 12/04/06 PLURIS ENERGY GROUP INC NV 5.03,9.01 11/21/06 POPE RESOURCES LTD PARTNERSHIP DE 7.01,9.01 12/01/06 PRECISION OPTICS CORPORATION INC MA 1.01,9.01 11/28/06 PRICELINE COM INC DE 5.02,8.01,9.01 12/04/06 PRINCIPAL FINANCIAL GROUP INC DE 1.01,9.01 11/28/06 PROFESSIONAL LEASE MANAGEMENT INCOME DE 2.01,9.01 12/04/06 Promotora Valle Hermosa CORP FL 2.02,9.01 12/04/06 Propex Inc. DE 1.01,5.02,9.01 11/30/06 PROQUEST CO DE 1.01,2.01,8.01,9.01 11/28/06 PROTECTIVE LIFE INSURANCE CO TN 9.01 11/30/06 QLT INC/BC A1 5.02 11/28/06 AMEND QMED INC DE 5.02,9.01 11/28/06 QUANTA CAPITAL HOLDINGS LTD 7.01 12/04/06 QUANTA SERVICES INC DE 1.01,9.01 11/28/06 QUOTEMEDIA INC NV 7.01,9.01 12/04/06 RANCHER ENERGY CORP. NV 1.01,9.01 11/29/06 REALOGY CORP DE 1.01,7.01,9.01 11/29/06 RECKSON ASSOCIATES REALTY CORP MD 8.01,9.01 12/04/06 RELM WIRELESS CORP NV 5.02 11/29/06 AMEND Republic Companies Group, Inc. DE 8.01,9.01 12/04/06 Rocketinfo Inc. DE 8.01,9.01 12/04/06 Rockwood Holdings, Inc. DE 1.01,9.01 11/29/06 ROKWADER, INC. 1.01,2.03,9.01 12/04/06 RURAL CELLULAR CORP MN 3.02 11/29/06 RYERSON INC. DE 7.01,9.01 12/01/06 SALAMON GROUP INC 4.01 11/16/06 AMEND SANGAMO BIOSCIENCES INC DE 1.01,3.02,7.01,9.01 12/04/06 SB PARTNERS NY 2.01 12/04/06 SCHLUMBERGER LTD /NV/ P8 8.01,9.01 11/29/06 SCIENTIFIC INDUSTRIES INC DE 7.01 12/04/06 SED INTERNATIONAL HOLDINGS INC DE 8.01,9.01 12/04/06 SERVICE AIR GROUP INC NJ 1.01,3.02,9.01 11/29/06 SERVICE CORPORATION INTERNATIONAL TX 5.02 11/30/06 Shire plc 8.01,9.01 12/01/06 SIMPLETECH INC CA 7.01,9.01 12/04/06 SIMTROL INC DE 1.01,3.02 11/28/06 Sirion Holdings, Inc. DE 5.02,8.01,9.01 12/01/06 SKREEM ENTERTAINMENT CORP 5.02,9.01 11/01/06 SKREEM ENTERTAINMENT CORP 1.01,2.03,3.02,9.01 11/30/06 SL GREEN REALTY CORP MD 7.01,8.01,9.01 12/04/06 SLM Student Loan Trust 2006-10 DE 1.01,2.01,9.01 11/30/06 SMART & FINAL INC/DE DE 2.03,9.01 11/29/06 SMITHTOWN BANCORP INC NY 5.02 11/28/06 SMITTEN PRESS LOCAL LORE & LEGENDS IN 5.02 04/10/06 SNAP ON INC DE 2.01,2.03,9.01 11/28/06 SOVRAN SELF STORAGE INC MD 1.01,9.01 11/28/06 SOYODO GROUP HOLDINGS INC DE 1.01,9.01 12/01/06 SPECTRX INC DE 1.01,2.03 12/04/06 ST MARY LAND & EXPLORATION CO DE 5.02,9.01 12/04/06 STANDARD REGISTER CO OH 7.01,9.01 12/02/06 STATION CASINOS INC NV 8.01,9.01 12/02/06 STIFEL FINANCIAL CORP DE 1.01,9.01 11/28/06 STRATEGIC DISTRIBUTION INC DE 1.01 11/30/06 STREICHER MOBILE FUELING INC FL 8.01,9.01 11/29/06 SUNESIS PHARMACEUTICALS INC 8.01 11/27/06 SUPERTEL HOSPITALITY INC VA 5.02,8.01 11/29/06 Surge Global Energy, Inc. 1.01,3.02,9.01 12/04/06 SYNOVUS FINANCIAL CORP GA 5.02 12/04/06 Teleplus World, Corp. 8.01 11/28/06 TEXAS INDUSTRIES INC DE 7.01,9.01 12/04/06 THORATEC CORP CA 5.02,9.01 11/22/06 TIME WARNER INC DE 2.03 12/04/06 TOTAL SYSTEM SERVICES INC GA 5.02 12/04/06 TRANSMERIDIAN EXPLORATION INC DE 1.01,3.02,3.03,5.03,9.01 11/28/06 TRIQUINT SEMICONDUCTOR INC DE 7.01,9.01 11/29/06 U.S. Helicopter CORP DE 8.01 12/04/06 uBid.com Holdings, Inc. DE 5.02,9.01 12/01/06 UNITED AUTO GROUP INC DE 7.01,9.01 11/30/06 UNITIL CORP NH 8.01,9.01 11/29/06 UNIVERSAL AMERICAN FINANCIAL CORP NY 2.01,9.01 12/01/06 UNIVERSAL HEALTH SERVICES INC DE 8.01,9.01 12/04/06 UNIVERSAL TECHNICAL INSTITUTE INC DE 5.02 11/28/06 UROPLASTY INC MN 7.01,9.01 12/04/06 VA SOFTWARE CORP DE 2.02,9.01 12/04/06 VALUECLICK INC/CA DE 8.01,9.01 12/04/06 VARIAN MEDICAL SYSTEMS INC DE 5.02,8.01 11/30/06 VASO ACTIVE PHARMACEUTICALS INC DE 8.01,9.01 12/01/06 VECTREN CORP IN 8.01 12/04/06 Veri-Tek International, Corp. MI 2.01,9.01 11/30/06 Vertical Communications, Inc. DE 1.01,2.01,2.03,3.02, 12/01/06 5.02,5.03,8.01,9.01 VERTIS INC DE 5.02,9.01 11/28/06 VIASPACE Inc. NV 1.01,3.02,9.01 11/29/06 VIASPACE Inc. NV 8.01,9.01 12/04/06 VMS NATIONAL PROPERTIES JOINT VENTURE IL 1.01,9.01 11/28/06 WALTER INDUSTRIES INC /NEW/ DE 8.01 11/29/06 WEBMETHODS INC DE 5.02 09/12/06 AMEND WELLS FARGO & CO/MN DE 5.02,5.03,8.01,9.01 11/28/06 Welwind Energy International CORP DE 1.01,3.02,8.01,9.01 11/28/06 Williams Partners L.P. 1.01,3.02,8.01,9.01 11/28/06 XENOMICS INC FL 5.02 11/28/06 XL CAPITAL LTD 8.01 11/29/06 ZAPATA CORP NV 2.01,9.01 11/28/06 ZILA INC DE 1.01,2.01,2.03,3.02,9.01 11/13/06 AMEND WACHOVIA CORP NEW NC 5.02,9.01 12/01/06 WALT DISNEY CO/ DE 1.01,5.03,9.01 11/28/06 WALTER INDUSTRIES INC /NEW/ DE 1.01 11/27/06 Warner Music Group Corp. DE 2.02,7.01,9.01 12/01/06 WARRANTECH CORP DE 1.01,9.01 11/28/06 WATCHIT MEDIA, INC. DE 1.01,2.02,5.02,8.01,9.01 09/01/06 WELLCARE HEALTH PLANS, INC. DE 1.01,9.01 12/01/06 WESTERN DIGITAL CORP DE 5.02,8.01 11/27/06 WILSONS THE LEATHER EXPERTS INC MN 5.02 11/28/06 Winthrop Realty Trust OH 8.01,9.01 11/28/06 WORKSTREAM INC 5.02 11/28/06 WPS RESOURCES CORP WI 8.01,9.01 11/28/06 WYETH DE 7.01,9.01 11/30/06 WYNDHAM WORLDWIDE CORP DE 8.01,9.01 11/30/06 XCORPOREAL, INC. DE 1.01,5.02,7.01,9.01 11/30/06 XETA TECHNOLOGIES INC OK 7.01 11/30/06 XETA TECHNOLOGIES INC OK 5.02 12/01/06 YORK WATER CO PA 8.01,9.01 11/30/06 YOUNG INNOVATIONS INC MO 1.01,2.03,9.01 11/28/06 ZUNICOM INC TX 8.01,9.01 10/25/06