SEC NEWS DIGEST Issue 2007-53 March 20, 2007 COMMISSION ANNOUNCEMENTS ANDREW PETILLON NAMED ASSOCIATE REGIONAL DIRECTOR AND CO-HEAD OF ENFORCEMENT FOR THE SEC'S PACIFIC REGIONAL OFFICE The Commission announced today the appointment of Andrew G. Petillon as an Associate Regional Director for Enforcement in the Commission's Pacific Regional Office, located in Los Angeles. In his new position, Mr. Petillon will serve as co-head, with Michele Wein Layne, of the Los Angeles office's enforcement program, which consists of a large staff of attorneys and accountants who investigate and prosecute federal securities law violations in California, Arizona, Nevada, Oregon, Washington, Idaho, Montana, Alaska, and Hawaii. Mr. Petillon, 46, is currently an assistant regional director in the Los Angeles office's investment adviser/investment company inspection program, where he has served since 2005. He has a total of over 21 years of experience at the Commission in different capacities, including as a branch chief and staff attorney in the Los Angeles office's enforcement program and as a staff attorney in the Commission's Division of Corporation Finance in Washington, D.C. In 2006, Mr. Petillon received the Commission's Supervisory Excellence Award based on his outstanding performance as both an enforcement branch chief and as an assistant regional director in the inspection program. Linda Chatman Thomsen, Director of the SEC's Division of Enforcement, said, "Andrew is an outstanding lawyer with a deep background in the enforcement, investment management, and corporation finance arenas. His wealth of experience and considerable talent will be of enormous value as he helps to lead our enforcement program in Los Angeles." Randall R. Lee, Director of the Commission's Pacific Regional Office, added, "Not only does Andrew have the proven ability to lead enforcement and inspection teams on challenging and complex matters, he is an accomplished manager whose thoughtful and collaborative approach is widely respected. I know he will be an outstanding manager and leader of our enforcement program, and I am delighted to welcome him into this important position." During his tenure in enforcement at the SEC, Mr. Petillon investigated and/or supervised dozens of cases of nearly every type in all major program areas, including accounting and disclosure fraud, market manipulation, insider trading, misconduct by regulated entities, and investment fraud scams. Some of the more noteworthy cases supervised or handled by Mr. Petillon include a complaint against Security Trust Company, N.A. and three former executives for facilitating and participating in fraudulent mutual fund late trading and market timing schemes; an action against Fidelity Brokerage Services for violating recordkeeping requirements and failing to reasonably supervise its employees; an emergency action against Security Brokerage, Inc. and its president, Daniel Calugar, for a late trading and market timing scheme; and significant cases against Portfolio Advisory Services and Renberg Capital Management involving best execution violations. Mr. Petillon earned his bachelor's degree from Pomona College in 1982 and his law degree from Loyola Law School in 1985. (Press Rel. 2007- 48) ENFORCEMENT PROCEEDINGS SEC CHARGES THAT COMPANY AND CEO PROMOTED STOCK WITH PHONY HOMELAND SECURITY DEAL The Commission today announced the filing of a civil injunctive action alleging that a Utah-based corporation and its Chief Executive Officer made at least $1.5 million selling shares while disseminating false claims of a lucrative purchase order from the Department of Homeland Security. In its complaint, filed today in the U.S. District Court for the Eastern District of Pennsylvania, the Commission alleged that CyberKey Solutions, Inc. of St. George, Utah (CyberKey) and its CEO James E. Plant ("Plant," collectively, the "Defendants"), between November 2005 and the present, have engaged in an ongoing unregistered offering of CyberKey shares, promoted with a series of false press releases describing a putative purchase order worth in excess of $24 million from the U.S. Department of Homeland Security (DHS) to buy CyberKey's flash memory drives. In fact, the Commission's complaint alleges, CyberKey had no business relationship at all, either directly or indirectly, with DHS. Additionally, according to the complaint, CyberKey and Plant made other false statements to unsuspecting investors, including statements claiming CyberKey had shipped products to DHS and received payments pursuant to the phony purchase order, and that CyberKey was in the process of preparing and releasing audited financials. The Commission's complaint further alleges, that, as a result of their scheme, the Defendants violated Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and seeks as relief permanent injunctions against future violations of these provisions by the Defendants, and disgorgement of all the Defendants' ill-gotten gains, including prejudgment interest and civil penalties. In a related criminal action, Plant was arrested on March 13, 2006, in St. George, Utah, by agents of the Federal Bureau of Investigation's Philadelphia Economic Crimes Squad on charges of securities fraud and aiding and abetting securities fraud. The Commission acknowledges the assistance and cooperation of the Federal Bureau of Investigation, the Office of the United States Attorney for the Eastern District of Pennsylvania and the National Association of Securities Dealers in the investigation of this matter. [SEC v. Cyberkey Solutions, Inc. and James E. Plant, Civ. Action No. 07 1084 (CMR) (E.D. Pa)] (LR-20049; Press Rel. 2007-47) INVESTMENT COMPANY ACT RELEASES JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.), ET AL. A notice has been issued giving interested persons until April 13, 2007, to request a hearing on an application filed by John Hancock Life Insurance Company (U.S.A.), John Hancock Life Insurance Company (U.S.A.) Separate Account H, John Hancock Life Insurance Company of New York and John Hancock Life Insurance Company of New York Separate Account A (Applicants). Applicants seek an order approving the substitution of shares of certain series of John Hancock Trust for shares of certain series of other registered investment companies. (Rel. IC-27752 - March 19) SELF-REGULATORY ORGANIZATIONS ACCELERATED APPROVAL OF THE PROPOSED RULE CHANGES The Commission granted accelerated approval to a proposed rule change (SR-NYSEArca-2006-67) as modified by Amendment No. 1 thereto submitted by NYSE Arca to trade shares of the PowerShares DB US Dollar Index Funds Pursuant to Unlisted Trading Privileges. Publication is expected in the Federal Register during the week of March 19. (Rel. 34-55484) The Commission granted accelerated approval to a proposed rule change (SR-BSE-2007-12) submitted by the Boston Stock Exchange to apply the Non-BeX executed trade fee retroactively. Publication is expected in the Federal Register during the week of March 19. (Rel. 34-55486) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change (SR-CBOE-2007-28) filed by the Chicago Board Options Exchange for early inclusion of NYMEX Holdings, Inc. to the CBOE Exchange Index 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 March 19. (Rel. 34-55485) 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-3 ADDVANTAGE TECHNOLOGIES GROUP INC, 1221 E. HOUSTON, BROKEN ARROW, OK, 74012, 9182519121 - 200,000 ($686,000.00) Equity, (File 333-141387 - Mar. 19) (BR. 02C) S-3 DENDREON CORP, 3005 FIRST AVENUE, SEATTLE, WA, 98121, 206254545 - 0 ($146,800,000.00) Other, (File 333-141388 - Mar. 19) (BR. 01A) S-4 EQUIFAX INC, 1550 PEACHTREE ST NW, ATLANTA, GA, 30302, 4048858000 - 0 ($824,232,370.00) Equity, (File 333-141389 - Mar. 19) (BR. 11B) S-8 COMARCO INC, 25541 COMMERCENTRE DRIVE, ., LAKE FOREST, CA, 92630, 949-599-7400 - 40,000 ($315,600.00) Equity, (File 333-141390 - Mar. 19) (BR. 11B) S-8 First California Financial Group, Inc., 1880 CENTURY PARK EAST, SUITE 800, LOS ANGELES, CA, 90067, 310-277-2265 - 0 ($8,410,570.24) Equity, (File 333-141391 - Mar. 19) (BR. 07) S-4 DIVERSA CORP, 4955 DIRECTORS PLACE, SAN DIEGO, CA, 92121, 858-526-5000 - 0 ($2,094,629.00) Equity, (File 333-141392 - Mar. 19) (BR. 01A) S-3ASR BE AEROSPACE INC, 1400 CORPORATE CTR WY, WELLINGTON, FL, 33414, 5617915000 - 0 ($0.00) Other, (File 333-141393 - Mar. 19) (BR. 06B) S-8 ADVANTEST CORP, SHIN-MARUNOUCHI CENTER BUILDING, 1-6-2 MARUNOUCHI,, CHIYODA-KU, TOKYO 100-0005, M0, 00000, 81-3-3214-7500 - 348,000 ($17,546,160.00) Equity, (File 333-141394 - Mar. 19) (BR. 11B) SB-2 DRINKS AMERICAS HOLDINGS, LTD, 372 DANBURY ROAD, WILTON, CT, 06997, 2037627000 - 11,266,667 ($26,251,334.00) Equity, (File 333-141395 - Mar. 19) (BR. 09A) S-8 SOURCEFIRE INC, 9770 PATUXENT WOODS DRIVE, COLUMBIA, MD, 21046, 4102901616 - 0 ($130,426,580.54) Equity, (File 333-141396 - Mar. 19) (BR. 03B) S-8 Royal Dutch Shell plc, CAREL VAN BYLANDTLAAN 30, THE HAGUE, P7, 2596 HR, 31-70-377-9111 - 2,000,000 ($36,260,000.00) Equity, (File 333-141397 - Mar. 19) (BR. 04C) S-1 Aldabra 2 Acquisition Corp., 540 MADISON AVENUE, 17TH FLOOR, NEW YORK, NY, 10022, 212-710-4100 - 0 ($428,000,000.00) Other, (File 333-141398 - Mar. 19) (BR. ) S-3 PARKERVISION INC, 8493 BAYMEADOWS WAY, JACKSONVILLE, FL, 32256, 9047371367 - 992,441 ($10,738,211.62) Equity, (File 333-141400 - Mar. 19) (BR. 11B) S-8 BigBand Networks, Inc., 475 BROADWAY, REDWOOD CITY, CA, 94063, 650-995-5000 - 24,730,231 ($169,798,105.91) Equity, (File 333-141401 - Mar. 19) (BR. 11A) S-8 BRADY CORP, 6555 W GOOD HOPE RD, P O BOX 571, MILWAUKEE, WI, 53201-0571, 4143586600 - 0 ($64,314,375.00) Equity, (File 333-141402 - Mar. 19) (BR. 06A) S-3 ORTHOVITA INC, 45 GREAT VALLEY PKWY, MALVERN, PA, 19355, 2156401775 - 0 ($100,000,000.00) Other, (File 333-141403 - Mar. 19) (BR. 10C) S-8 KVH INDUSTRIES INC \DE\, 50 ENTERPRISE CENTER, MIDDLETOWN, RI, 02842, 4018473327 - 1,050,000 ($9,900,000.00) Equity, (File 333-141404 - Mar. 19) (BR. 11B) SB-2 TOWERSTREAM CORP, 55 HAMMERLUND WAY, MIDDLETOWN, RI, 02842, (401) 848-5848 - 0 ($81,007,905.00) Equity, (File 333-141405 - Mar. 19) (BR. 05C) SB-2 SCHOOL4CHAUFFEURS, INC., 1830 MIRALOMA, SUITE D, PLACENTIA, CA, 92870, 714-524-2198 - 750,000 ($75,000.00) Equity, (File 333-141406 - Mar. 19) (BR. ) S-8 META FINANCIAL GROUP INC, 121 EAST FIFTH STREET, P O BOX 1307, STORM LAKE, IA, 50588, 7127324117 - 200,000 ($5,972,422.00) Other, (File 333-141407 - Mar. 19) (BR. 07C) S-8 Northstar Neuroscience, Inc., 2401 FOURTH AVENUE, SUITE 300, SEATTLE, WA, 98121, (206) 728-1477 - 515,733 ($5,889,670.86) Equity, (File 333-141408 - Mar. 19) (BR. 10B) S-4 GREENE COUNTY BANCSHARES INC, 100 NORTH MAIN STREET, GREENEVILLE, TN, 37743-4992, 4236395111 - 0 ($102,600,000.00) Equity, (File 333-141409 - Mar. 19) (BR. 07A) F-10 NOVAGOLD RESOURCES INC, PO BOX 24, SUITE 2300, 200 GRANVILLE STREET, VANCOUVER, A1, V6C 1S4, 604-669-6227 - 0 ($500,000,000.00) Equity, (File 333-141410 - Mar. 19) (BR. 04B) S-3ASR VIROPHARMA INC, 397 EAGLEVIEW BLVD, EXTON, PA, 19341, 6104587300 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-141411 - Mar. 19) (BR. 01C) SB-2 ACORN ACQUISITION CORP, 1035 PARK AVENUE, SUITE 7B, NEW YORK, NY, 10028, 646-827-9362 - 21,092,000 ($63,276,000.00) Equity, (File 333-141412 - Mar. 19) (BR. 09A) S-8 TECHWELL INC, 408 EAST PLUMERIA DRIVE, SAN JOSE, CA, 95134, 408-435-3888 - 0 ($10,489,759.00) Equity, (File 333-141413 - Mar. 19) (BR. 10) S-3 Altus Pharmaceuticals Inc., 125 SIDNEY STREET, CAMBRIDGE, MA, 02139, 617-299-2900 - 0 ($125,000,000.00) Equity, (File 333-141414 - Mar. 19) (BR. 01C) S-3 PUBLIC SERVICE CO OF COLORADO, 1225 17TH ST STE 900, DENVER, CO, 80202, 3035717511 - 0 ($975,000,000.00) Other, (File 333-141416 - Mar. 19) (BR. 02C) S-3 BIOLASE TECHNOLOGY INC, 981 CALLE AMANECER, SAN CLEMENTE, CA, 92673, 7143611200 - 96,464 ($829,590.40) Equity, (File 333-141417 - Mar. 19) (BR. 10A) SB-2 UTIX GROUP INC, 7 NEW ENGLAND EXECUTIVE PARK, SUITE 610, BURLINGTON, MA, 01803-2933, 781 229 2589 - 3,035,530 ($3,986,169.00) Equity, (File 333-141418 - Mar. 19) (BR. 05C) S-4 ALCOA INC, 201 ISABELLA ST, ALCOA CORPORATE CTR, PITTSBURGH, PA, 15212-5858, 4125532576 - 0 ($1,377,182,000.00) Non-Convertible Debt, (File 333-141419 - Mar. 19) (BR. 06B) S-1 BERLINER COMMUNICATIONS INC, 20 BUSHES LANE, ELMWOOD PARK, NJ, 07407, 201.791.3200 - 0 ($9,492,500.00) Equity, (File 333-141420 - Mar. 19) (BR. 11C) F-1 Capital Product Partners L.P., 3 IASSONOS STREET, PIRAEUS, J3, 18537, 0030 210 458 4950 - 0 ($283,762,500.00) Limited Partnership Interests, (File 333-141422 - Mar. 19) (BR. ) S-3ASR TELETECH HOLDINGS INC, 9197 S PEORIA STREET, ENGLEWOOD, CO, 80112, 303-397-8100 - 0 ($0.00) Equity, (File 333-141423 - Mar. 19) (BR. 08C) S-4 MGIC INVESTMENT CORP, 250 EAST KILBOURN AVENUE, MILWAUKEE, WI, 53202, 4143476480 - 0 ($4,445,266,288.00) Equity, (File 333-141424 - Mar. 19) (BR. 01C) 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 1 800 FLOWERS COM INC DE 5.02 03/16/07 3M CO DE 5.02,9.01 03/14/07 5 G WIRELESS COMMUNICATIONS INC NV 3.02,9.01 11/01/06 ACADIA PHARMACEUTICALS INC DE 8.01,9.01 03/19/07 ACE Securities Corp. Home Equity Loan DE 2.01,9.01 02/15/07 ACT TELECONFERENCING INC CO 5.02,9.01 03/19/07 ACTIVE POWER INC DE 2.02,3.01,9.01 03/16/07 ACUSPHERE INC DE 2.02,9.01 03/19/07 ADMAX RESOURCES INC. NV 1.01,3.02 03/16/07 ADMAX RESOURCES INC. NV 1.01,3.02 03/16/07 AES CORP DE 2.02,4.02,8.01 03/19/07 AFFIRMATIVE INSURANCE HOLDINGS INC DE 2.02 03/19/07 AGILE SOFTWARE CORP DE 2.02,9.01 03/19/07 AKAMAI TECHNOLOGIES INC DE 8.01 03/13/07 ALASKA AIR GROUP INC DE 7.01 03/19/07 ALEXION PHARMACEUTICALS INC DE 8.01,9.01 03/15/07 ALLEGHENY TECHNOLOGIES INC DE 7.01,9.01 03/19/07 ALLEGRO BIODIESEL CORP DE 1.01,9.01 03/14/07 ALLIED HOLDINGS INC GA 5.02 03/15/07 ALLIED HOLDINGS INC GA 8.01 03/16/07 ALLIED WORLD ASSURANCE CO HOLDINGS LT 5.02 03/14/07 AMEND Allis Chalmers Energy Inc. DE 7.01,9.01 03/19/07 Altra Holdings, Inc. DE 5.02 03/13/07 Altra Industrial Motion, Inc. DE 5.02 03/13/07 AMERIANA BANCORP IN 8.01,9.01 03/16/07 AMERICAN ACCESS TECHNOLOGIES INC FL 1.01,9.01 03/13/07 AMERICAN AIRLINES INC DE 8.01 03/19/07 AMERICAN OIL & GAS INC NV 2.02,7.01,9.01 03/19/07 AMERIGON INC MI 4.01,9.01 03/14/07 AMH Holdings, Inc. DE 5.02 03/14/07 AMPEX CORP /DE/ DE 2.02,8.01,9.01 03/15/07 AMR CORP DE 8.01 03/19/07 AMREP CORP. OK 2.02,9.01 03/19/07 ANDERSONS INC OH 1.01,2.03,9.01 03/14/07 APPLIED SIGNAL TECHNOLOGY INC CA 1.01 03/14/07 ARDEN GROUP INC DE 5.02,8.01 03/13/07 ARGONAUT GROUP INC DE 1.01,9.01 03/14/07 AMEND ASPEN TECHNOLOGY INC /DE/ DE 2.02,9.01 03/15/07 ASPYRA INC CA 1.01 03/16/07 ASSOCIATED MATERIALS INC DE 5.02 03/14/07 ASTRO MED INC /NEW/ RI 8.01,9.01 03/13/07 ATHEROGENICS INC GA 8.01,9.01 03/19/07 ATLAS AIR WORLDWIDE HOLDINGS INC DE 4.01,9.01 02/21/07 AMEND ATMEL CORP DE 5.02,9.01 03/13/07 AXSYS TECHNOLOGIES INC DE 1.01 03/15/07 BARNES & NOBLE INC DE 5.02 03/19/07 Baseline Oil & Gas Corp. NV 1.01,1.02,2.01,3.02,9.01 03/15/07 BAUSCH & LOMB INC NY 5.02,9.01 03/19/07 BEA SYSTEMS INC DE 5.02 03/13/07 BELDEN CDT INC. DE 1.01,2.03,9.01 03/13/06 Bidz.com, Inc. CA 2.02,9.01 03/16/07 BioMETRX DE 1.01,9.01 03/16/07 BioScrip, Inc. DE 2.02,9.01 03/16/07 BLACK HILLS CORP /SD/ SD 1.01,2.03,9.01 03/19/07 BLACK HILLS CORP /SD/ SD 5.02,9.01 03/19/07 BLAIR CORP DE 8.01,9.01 03/19/07 BOISE CASCADE HOLDINGS, L.L.C. DE 5.02 03/13/07 BOOKHAM, INC. DE 5.02 03/13/07 BOVIE MEDICAL CORP DE 8.01 03/12/07 BUSINESS OBJECTS S.A. 5.03,9.01 03/13/07 CABCO SERIES 2004-102 TRUST (SBC COMM DE 8.01,9.01 03/15/07 CALAIS RESOURCES INC 1.01,3.02 03/15/07 CalAmp Corp. DE 1.01 03/16/07 Cardiac Science CORP 5.02,8.01,9.01 03/15/07 CARMIKE CINEMAS INC DE 2.02,9.01 03/16/07 CATERPILLAR INC DE 7.01 03/19/07 CATUITY INC DE 5.02 03/15/07 CDOOR CORP DE 8.01,9.01 03/09/07 CECO ENVIRONMENTAL CORP DE 1.01,9.01 03/15/07 CENTENNIAL COMMUNICATIONS CORP /DE DE 2.01,9.01 03/19/07 CENTENNIAL COMMUNICATIONS CORP /DE DE 9.01 03/19/07 AMEND CENTRAL EUROPEAN DISTRIBUTION CORP DE 7.01,9.01 03/19/07 CHINA BIOPHARMACEUTICALS HOLDINGS INC DE 4.02,5.02,8.01 03/13/07 CHINA MEDICINE CORP 8.01 03/15/07 China VoIP & Digital Telecom Inc. NV 8.01,9.01 03/19/07 CHIQUITA BRANDS INTERNATIONAL INC NJ 8.01,9.01 03/19/07 CIGNA CORP DE 7.01 03/19/07 CINCINNATI FINANCIAL CORP OH 5.02,9.01 03/19/07 CITIGROUP INC DE 9.01 03/16/07 Citigroup Mortgage Loan Trust 2006-AR 2.01,9.01 11/17/06 CITIZENS COMMUNICATIONS CO DE 7.01,8.01,9.01 03/19/07 CITIZENS FIRST CORP KY 5.03,9.01 03/15/07 CITY NETWORK INC NV 3.01 02/21/07 CLEVELAND BIOLABS INC DE 1.01,3.02,5.03,8.01,9.01 03/16/07 COACHMEN INDUSTRIES INC IN 5.02 02/11/07 Coconut Palm Acquisition Corp. DE 7.01,8.01,9.01 03/16/07 COMFORT SYSTEMS USA INC 8.01,9.01 03/16/07 COMM BANCORP INC PA 8.01,9.01 03/19/07 COMMSCOPE INC DE 8.01,9.01 03/19/07 COMMUNICATION INTELLIGENCE CORP DE 1.01,2.03,3.02,7.01 03/15/07 COMMUNITY HEALTH SYSTEMS INC DE 1.01,8.01,9.01 03/19/07 COMPUCREDIT CORP GA 1.01 03/13/07 Conmed Healthcare Management, Inc. DE 3.03,8.01,9.01 03/19/07 CONSOLIDATED CAPITAL INSTITUTIONAL PR CA 1.02 03/15/06 CONSOLIDATED WATER CO LTD E6 2.02,9.01 03/16/07 CONVERA CORP DE 2.02,9.01 03/14/07 Convergence Ethanol, Inc. 2.04 03/13/07 COSI INC DE 2.02,9.01 03/19/07 COTT CORP /CN/ 5.02 03/14/07 CROWLEY MARITIME CORP DE 8.01,9.01 03/19/07 CROWN CRAFTS INC DE 8.01,9.01 03/19/07 DATATRAK INTERNATIONAL INC OH 8.01,9.01 03/16/07 DENTSPLY INTERNATIONAL INC /DE/ DE 1.01,2.03,9.01 03/13/07 DIAMOND HILL INVESTMENT GROUP INC OH 8.01,9.01 03/19/07 DIAMOND OFFSHORE DRILLING INC DE 7.01,9.01 03/19/07 DIGITAL RECORDERS INC NC 1.01,5.02,7.01 03/15/07 DIME COMMUNITY BANCSHARES INC DE 5.02 03/15/07 DIODES INC /DEL/ DE 5.02 01/11/07 DOUBLE EAGLE PETROLEUM CO MD 7.01,9.01 03/19/07 DOV PHARMACEUTICAL INC DE 8.01 03/14/07 DUSA PHARMACEUTICALS INC NJ 5.02 03/13/07 DXP ENTERPRISES INC TX 2.02,9.01 12/31/06 Dynegy Acquisition, Inc. DE 8.01,9.01 03/14/07 EAGLE EXPLORATION CO CO 4.01,9.01 03/19/07 EDUCATE INC DE 1.01,2.03,4.02,9.01 03/13/07 EGL INC TX 1.01,3.03,7.01,9.01 03/18/07 ELECTRONIC CONTROL SECURITY INC NJ 1.01,9.01 03/15/07 ELEPHANT & CASTLE GROUP INC 8.01,9.01 03/16/07 EMERITUS CORP\WA\ WA 2.02,9.01 03/15/07 ENERGY EAST CORP NY 8.01,9.01 03/19/07 Energy Transfer Equity, L.P. DE 7.01 03/16/07 ENTRADE INC PA 1.01,2.03 03/14/07 EPL Intermediate, Inc. DE 1.01 03/14/07 ESTERLINE TECHNOLOGIES CORP DE 1.01,2.01,2.03,7.01,9.01 03/13/07 FAIRPOINT COMMUNICATIONS INC DE 5.02,8.01,9.01 03/14/07 FIELDSTONE INVESTMENT CORP 8.01,9.01 03/16/07 FINANCIAL INDUSTRIES CORP TX 2.01,9.01 12/29/06 AMEND FINISH LINE INC /IN/ IN 8.01,9.01 03/19/07 First Federal of Northern Michigan Ba 8.01,9.01 03/15/07 FIRST LITCHFIELD FINANCIAL CORP DE 2.02,9.01 03/16/07 FIVE STAR PRODUCTS INC DE 1.01,9.01 03/13/07 FLORIDA PUBLIC UTILITIES CO FL 4.02 03/16/07 FLORIDA PUBLIC UTILITIES CO FL 2.02,9.01 03/19/07 FOSSIL INC DE 3.01,9.01 03/13/07 FRANKLIN COVEY CO UT 1.01,2.03,8.01,9.01 02/19/07 FRANKLIN RESOURCES INC DE 1.01 03/13/07 FREEPORT MCMORAN COPPER & GOLD INC DE 1.01,9.01 03/19/07 FREEPORT MCMORAN COPPER & GOLD INC DE 1.01,2.01,5.02,5.03,9.01 03/19/07 FREEPORT MCMORAN COPPER & GOLD INC DE 8.01,9.01 03/19/07 Fuel Systems Solutions, Inc. DE 3.01,4.02,8.01,9.01 03/19/07 FUSA CAPITAL CORP 1.01 03/01/07 G&K SERVICES INC MN 5.02,9.01 03/13/07 GAMCO INVESTORS, INC. ET AL NY 2.02,4.02,9.01 03/13/07 GENTEK INC DE 7.01,8.01 03/16/07 GEO GROUP INC FL 8.01,9.01 03/13/07 GLENAYRE TECHNOLOGIES INC DE 8.01,9.01 03/16/06 GLOBAL ENTERTAINMENT HOLDINGS/EQUITIE CO 5.02,9.01 03/16/07 GLOBAL PARTNERS LP 1.01,3.02,8.01,9.01 03/16/07 GOLD CREST MINES INC 5.02 03/13/07 Golden Aria Corp. 1.01,9.01 03/15/07 GOLDLEAF FINANCIAL SOLUTIONS INC. TN 1.01,5.02,8.01,9.01 03/19/07 GOLDMAN SACHS GROUP INC/ DE 8.01,9.01 03/19/07 GOTTSCHALKS INC DE 5.02,9.01 03/12/07 GRAHAM PACKAGING HOLDINGS CO DE 2.02,7.01 03/19/07 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 02/28/07 GREAT AMERICAN FINANCIAL RESOURCES IN DE 5.02,9.01 03/19/07 Great Lakes Dredge & Dock CORP DE 5.02 03/13/07 GSAA Home Equity Trust 2007-S1 DE 9.01 02/26/07 HarborView 2007-1 DE 8.01,9.01 03/09/07 HARLAND JOHN H CO GA 8.01,9.01 03/19/07 HECLA MINING CO/DE/ DE 5.02,9.01 03/19/07 HEICO CORP FL 1.01,9.01 03/16/07 HENRY COUNTY BANCSHARES INC 8.01,9.01 03/08/07 HIBBETT SPORTS INC 5.02 03/13/07 HIGHLANDS BANKSHARES INC /VA/ VA 8.01 03/14/07 HOME DEPOT INC DE 5.02 03/14/07 HOOPER HOLMES INC NY 2.02 03/14/07 HOST HOTELS & RESORTS L.P. DE 8.01,9.01 03/19/07 HOST HOTELS & RESORTS L.P. DE 7.01,9.01 03/19/07 HOST HOTELS & RESORTS, INC. MD 8.01,9.01 03/19/07 HOST HOTELS & RESORTS, INC. MD 7.01,9.01 03/19/07 HUNGARIAN TELEPHONE & CABLE CORP DE 2.02,9.01 03/19/07 ICF International, Inc. DE 8.01,9.01 03/15/07 ID-CONFIRM, INC. NV 1.01,2.04,3.02,9.01 02/01/07 IHS Inc. DE 5.02,9.01 03/16/07 IMAX CORP A6 2.02,4.02,9.01 03/16/07 IMPSAT FIBER NETWORKS INC DE 1.01,9.01 03/15/07 INCYTE CORP DE 5.02 03/13/07 INDUSTRIAL ELECTRIC SERVICES INC 1.01,2.01,5.01,5.06,9.01 03/15/07 INFRASOURCE SERVICES INC DE 8.01,9.01 03/19/07 INFRASOURCE SERVICES INC DE 8.01,9.01 03/19/07 INFRASOURCE SERVICES INC DE 8.01,9.01 03/19/07 INNOCOM TECHNOLOGY HOLDINGS, INC. NV 8.01,9.01 03/19/07 INTELLIGENT SYSTEMS CORP GA 2.02 03/19/07 Intrepid Global Imaging 3D, INC. DE 1.01 03/19/07 IROBOT CORP DE 5.02 03/13/07 JANUS CAPITAL GROUP INC DE 7.01 03/19/07 JDA SOFTWARE GROUP INC DE 5.02,9.01 03/13/07 JER Investors Trust Inc 5.03,9.01 02/21/07 KANA SOFTWARE INC DE 5.02 03/13/07 KB HOME DE 8.01,9.01 02/01/07 KNOLOGY INC DE 1.01 03/14/07 L-1 IDENTITY SOLUTIONS, INC. DE 7.01,9.01 03/19/07 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 03/19/07 LADENBURG THALMANN FINANCIAL SERVICES FL 2.02,9.01 03/19/07 LAKE AREA CORN PROCESSORS LLC 5.03,9.01 03/16/07 LAMAR ADVERTISING CO/NEW DE 5.02,8.01 03/15/07 LANDAUER INC DE 5.02,9.01 03/19/07 LANDRYS RESTAURANTS INC 8.01,9.01 03/16/07 LANDRYS RESTAURANTS INC 4.02,9.01 03/16/07 LAS VEGAS GAMING INC NV 5.02 03/12/07 LATTICE SEMICONDUCTOR CORP DE 4.01,9.01 03/13/07 LAUREATE EDUCATION, INC. MD 4.01,9.01 03/13/07 LEARNING TREE INTERNATIONAL INC DE 1.01 03/15/07 LEHMAN ABS CORP BCKD TR CRTS GDYR TR DE 8.01,9.01 03/15/07 LEHMAN ABS CORP CORPORATE BACKED TRUS DE 8.01,9.01 03/07/07 LENNOX INTERNATIONAL INC DE 5.02,9.01 03/19/07 LENOX GROUP INC DE 5.02,8.01 03/13/07 LIBERTY STAR GOLD CORP NV 5.02 03/12/07 LIFETIME BRANDS, INC DE 2.02,9.01 03/19/07 Lightstone Value Plus Real Estate Inv MD 2.01,9.01 01/04/07 AMEND LITTELFUSE INC /DE DE 8.01,9.01 03/15/07 LITTELFUSE INC /DE DE 5.02 03/13/07 LONG-E INTERNATIONAL, INC. UT 4.01,9.01 03/14/07 LSB CORP MA 1.01,9.01 03/16/07 MAINE & MARITIMES CORP ME 2.02,9.01 03/19/07 MAINE & MARITIMES CORP ME 5.02,9.01 03/19/07 MAJESCO ENTERTAINMENT CO DE 2.02,9.01 03/19/07 MARRIOTT INTERNATIONAL INC /MD/ DE 2.02,9.01 03/19/07 MASS MEGAWATTS WIND POWER INC 2.02,9.01 03/19/07 MATRITECH INC/DE/ DE 5.02,9.01 03/14/07 MEADOW VALLEY CORP NV 7.01,9.01 03/14/07 MedAire, Inc. NV 8.01 03/19/07 MEDALLION FINANCIAL CORP DE 2.02,8.01,9.01 03/19/07 MEDQUIST INC NJ 2.02,9.01 03/19/07 MICRON ENVIRO SYSTEMS INC NV 8.01,9.01 03/16/07 MILLENNIUM CELL INC DE 1.01,5.02,9.01 03/13/07 MILLENNIUM CELL INC DE 1.01,5.02,9.01 03/13/07 AMEND MINRAD INTERNATIONAL, INC. 5.02,8.01 03/13/07 MODERN TECHNOLOGY CORP NV 8.01,9.01 03/12/07 AMEND MOLEX INC DE 8.01 03/19/07 Morningstar, Inc. IL 8.01,9.01 03/16/07 MOVIE GALLERY INC DE 2.02,9.01 03/19/07 NANOSCIENCE TECHNOLOGIES INC NV 1.01,2.03,3.02,5.02,9.01 12/19/06 National CineMedia, Inc. DE 2.02,9.01 03/19/07 National Health Partners Inc 1.01,2.03,9.01 03/13/07 NATIONAL HOME HEALTH CARE CORP DE 2.02,9.01 03/19/07 NATIONAL MEDICAL HEALTH CARD SYSTEMS DE 7.01,9.01 03/19/07 NATIONAL PATENT DEVELOPMENT CORP DE 1.01,9.01 03/13/07 NATURAL HEALTH TRENDS CORP DE 8.01 03/15/07 NEOSE TECHNOLOGIES INC DE 2.02,9.01 03/16/07 AMEND NEUTRON ENTERPRISES INC NV 9.01 01/03/07 AMEND NEW CENTURY FINANCIAL CORP MD 2.04,8.01 03/14/07 NewGen Technologies, Inc NV 1.01,2.03,3.02,9.01 03/19/07 NEWMONT MINING CORP /DE/ DE 2.02 02/22/07 AMEND NEWPOWER HOLDINGS INC DE 8.01,9.01 03/16/07 NEWS CORP 8.01,9.01 03/19/07 NNN 2003 VALUE FUND LLC 2.01,9.01 03/14/07 No Borders, Inc. NV 5.02,8.01,9.01 03/19/07 NORCROSS SAFETY PRODUCTS LLC DE 5.02 03/19/07 NORTHERN STATES POWER CO MN 8.01 03/09/07 NOVASTAR FINANCIAL INC MD 2.05,9.01 03/14/07 NTS REALTY HOLDINGS LP DE 8.01,9.01 03/19/07 Nuance Communications, Inc. DE 1.01,9.01 03/13/07 OI CORP OK 7.01,9.01 03/19/07 OLD STONE CORP RI 8.01,9.01 03/19/07 ONE LIBERTY PROPERTIES INC MD 1.01,2.03,9.01 03/15/07 Opexa Therapeutics, Inc. TX 2.02,9.01 03/16/07 PACIFIC PREMIER BANCORP INC DE 7.01,9.01 03/19/07 Paradigm Holdings, Inc WY 1.01,9.01 03/13/07 PAULSON CAPITAL CORP OR 8.01,9.01 03/19/07 PDL BIOPHARMA, INC. DE 8.01 03/16/07 PECO ENERGY CO PA 1.01,2.03,9.01 03/19/07 PHI INC LA 2.02,9.01 03/16/07 PONIARD PHARMACEUTICALS, INC. WA 2.02,5.02,9.01 03/15/07 PRAXAIR INC DE 8.01,9.01 03/15/07 Precision Aerospace Components, Inc. DE 2.03,9.01 03/19/07 PREMIERWEST BANCORP OR 8.01,9.01 03/19/07 PRIME RESOURCE INC UT 1.01,9.01 03/16/07 PROLOGIS MD 5.02,9.01 03/18/07 PROTECTION ONE ALARM MONITORING INC DE 5.02 03/13/07 PROTECTION ONE INC DE 5.02 03/13/07 PROTECTIVE LIFE INSURANCE CO TN 9.01 03/15/07 PW EAGLE INC MN 8.01,9.01 03/16/07 PXRE GROUP LTD 1.01,5.02,9.01 03/13/07 AMEND QUANTA CAPITAL HOLDINGS LTD 7.01,9.01 03/16/07 QUEST RESOURCE CORP NV 2.02,7.01,9.01 03/16/07 QUIKBYTE SOFTWARE INC CO 8.01 03/16/07 Quintana Maritime LTD 1T 1.01,2.03,9.01 03/14/07 RAYONIER INC NC 5.02,9.01 03/14/07 RECLAMATION CONSULTING & APPLICATIONS CO 1.01,2.03,3.02,9.01 03/12/07 REPUBLIC AIRWAYS HOLDINGS INC DE 1.01,9.01 03/19/07 RESEARCH FRONTIERS INC DE 1.01 03/19/07 Rochdale Mining Corp. NV 5.02,5.03 03/16/07 RONSON CORP NJ 2.02,9.01 03/14/07 Rosetta Resources Inc. DE 7.01,9.01 03/16/07 Rosetta Resources Inc. DE 7.01,9.01 03/16/07 ROWAN COMPANIES INC DE 5.02,9.01 03/14/07 RURAL/METRO CORP /DE/ DE 7.01,8.01,9.01 03/16/07 RURAL/METRO CORP /DE/ DE 1.01,9.01 03/13/07 SABRE HOLDINGS CORP DE 8.01,9.01 03/13/07 AMEND Safety Products Holdings, Inc. DE 5.02 03/19/07 SALAMON GROUP INC 4.01,9.01 11/16/06 AMEND SANTANDER BANCORP 9.01 12/31/06 SBA COMMUNICATIONS CORP FL 5.02 02/23/07 SCIVANTA MEDICAL CORP DE 3.02,5.02,9.01 03/15/07 SENTO CORP UT 5.02,7.01,9.01 03/15/07 Serino 4, Corp. NJ 1.02,3.02,5.01,5.02,9.01 03/13/07 SERVICE 1ST BANCORP CA 8.01,9.01 03/16/07 SERVICEMASTER CO DE 8.01,9.01 03/18/07 SHAW GROUP INC LA 4.01 03/19/07 SHAW GROUP INC LA 1.01,8.01,9.01 03/19/07 Shire plc 8.01,9.01 03/19/07 SHOE CARNIVAL INC IN 5.02,5.03 03/13/07 SIGA TECHNOLOGIES INC DE 8.01,9.01 03/19/07 SLM Student Loan Trust 2007-3 DE 1.01,2.01,9.01 03/15/07 SMTC CORP DE 2.02,9.01 03/13/07 SOLAR ENERGY LTD DE 5.02 03/14/07 SONICWALL INC CA 5.02 03/19/07 SONUS NETWORKS INC DE 8.01 03/15/07 SONUS PHARMACEUTICALS INC DE 2.02,9.01 03/14/07 SOUTHERN COMMUNITY FINANCIAL CORP 5.02 03/19/07 SOUTHWEST AIRLINES CO TX 8.01,9.01 03/15/07 SPARE BACKUP, INC. DE 1.01 03/16/07 SPARTAN STORES INC MI 7.01,9.01 03/19/07 Spectrum Brands, Inc. WI 7.01,9.01 03/16/07 SPECTRX INC DE 8.01,9.01 03/19/07 SPHERIX INC DE 3.02 07/22/05 AMEND SPORT CHALET INC DE 5.02,7.01,9.01 03/15/07 ST MARY LAND & EXPLORATION CO DE 3.02,9.01 03/19/07 STEELCLOUD INC VA 2.02,9.01 03/14/07 STEINER LEISURE LTD C5 8.01 03/15/07 Stereotaxis, Inc. DE 1.01,8.01,9.01 03/15/07 STERLING CHEMICALS INC DE 8.01 03/16/07 STERLING CHEMICALS INC DE 2.02,7.01,9.01 03/16/07 STERLING CONSTRUCTION CO INC DE 2.02,5.02,9.01 03/15/07 SUN WORLD PARTNERS INC NV 5.02 01/09/07 Susser Holdings CORP DE 2.02,9.01 03/19/07 TARGETED GENETICS CORP /WA/ WA 1.01 03/16/07 TARRAGON CORP NV 2.02,7.01,8.01,9.01 03/19/07 TD BANKNORTH INC. DE 8.01,9.01 03/19/07 TEAM FINANCIAL INC /KS KS 1.01,9.01 03/14/07 TECHNICAL OLYMPIC USA INC DE 7.01,9.01 03/16/07 TECHNICAL OLYMPIC USA INC DE 2.02,9.01 03/19/07 TECHNITROL INC PA 2.05 03/13/07 TELEFLEX INC DE 5.02 03/16/07 TELKONET INC 2.01,9.01 03/15/07 TESCO CORP 7.01,9.01 03/16/07 THERAGENICS CORP DE 4.01,9.01 03/13/07 THOMAS GROUP INC DE 4.02,9.01 03/13/07 THOMAS GROUP INC DE 8.01,9.01 03/15/07 THOMAS PROPERTIES GROUP INC DE 8.01,9.01 03/01/07 TODCO DE 8.01,9.01 03/19/07 TORVEC INC NY 8.01 03/19/07 TOWERSTREAM CORP DE 2.01,9.01 01/12/07 AMEND TRANSGENOMIC INC DE 5.02 03/16/07 TransMontaigne Partners L.P. DE 2.02,9.01 03/16/07 TRIAD HOSPITALS INC DE 1.01,1.02,9.01 03/19/07 TRUEYOU.COM DE 5.02 03/14/07 UDR, Inc. MD 7.01,8.01,9.01 03/19/07 UNIGENE LABORATORIES INC DE 8.01,9.01 03/19/07 United States Oil Fund, LP DE 9.01 03/19/07 UPSTREAM BIOSCIENCES INC. NV 1.01,3.02 02/26/07 URANIUM RESOURCES INC /DE/ DE 8.01,9.01 03/19/07 US DRY CLEANING CORP DE 9.01 12/30/05 AMEND USG CORP DE 1.01,8.01,9.01 03/15/07 VAIL RESORTS INC DE 1.01,2.03 03/13/07 VALHI INC /DE/ DE 7.01,9.01 03/16/07 VECTOR GROUP LTD DE 2.02,9.01 03/16/07 VECTOR GROUP LTD DE 8.01,9.01 03/14/07 Venoco, Inc. DE 7.01,9.01 03/19/07 VERMONT PURE HOLDINGS LTD/DE DE 2.02,9.01 03/19/07 VINEYARD NATIONAL BANCORP CA 2.02,9.01 03/19/07 VIRGIN MEDIA INC. DE 1.01 03/19/07 VOIP INC 3.03,8.01 03/16/07 VSB BANCORP INC NY 8.01,9.01 03/16/07 Wachovia Mortgage Loan Trust, Series DE 6.01 03/19/07 WALTER INDUSTRIES INC /NEW/ DE 1.01,5.02,9.01 03/13/07 WARWICK VALLEY TELEPHONE CO NY 5.02 03/19/07 WARWICK VALLEY TELEPHONE CO NY 2.02,9.01 03/19/07 WATAIRE INTERNATIONAL, INC. WA 7.01 03/19/07 WEBSENSE INC DE 5.02,9.01 03/13/07 WELLS FARGO & CO/MN DE 5.03,9.01 03/15/07 WELLS REAL ESTATE FUND II GA 7.01,9.01 03/19/07 WELLS REAL ESTATE FUND II-OW GA 7.01,9.01 03/19/07 WESTAFF INC DE 5.01 02/28/07 AMEND WHITE MOUNTAINS INSURANCE GROUP LTD D0 1.01,9.01 03/14/07 WIND RIVER SYSTEMS INC DE 5.02 03/13/07 WORLD FINANCIAL NETWORK CREDIT CARD M DE 8.01,9.01 03/15/07 WORLD WRESTLING ENTERTAINMENTINC DE 5.02,9.01 03/19/07 WPCS INTERNATIONAL INC DE 2.02,9.01 03/19/07 XCEL ENERGY INC MN 8.01,9.01 03/14/07 XCEL ENERGY INC MN 2.02,8.01,9.01 03/09/07 XTX ENERGY INC NV 1.01,2.01,3.02,5.01,5.02,5.06, 03/16/07 7.01,9.01 YUM BRANDS INC NC 5.02 03/19/07 ZANETT INC DE 2.02,9.01 03/19/07